w (Da) | Mn (Da) | PDI |\n| BF3.EtO2 | 0.02 | 97 | 282000 | 44100 | 6.39 |\n| FeCl3 | 0.1 | 90 | 45200 | 17400 | 2.60 |\n| SnCl4 | 0.1 | 93 | 111000 | 25200 | 4.40 |\n| AlCl3 | 0.1 | 0 | - | - | - |\n| TiCl4 | 0.1 | 0 | - | - | - |\n| HBF4 | 0.02 | 95 | 85000 | 22500 | 3.78 |\n| CF3SO3H | 0.1 | 92 | 165000 | 35700 | 4.62 |\n| ClSO3H | 0.1 | 0 | - | - | - |\n| CF3CO2H | 0.1 | 0 | - | - | - |\n| H2SO4 | 0.1 | 0 | - | - | - |\n\nMw = weight average molecular weight, Mn = number average molecular weight, PDI = polydispersity index\n\nThe analysis of the copolymers produced from reactions was conducted with gel permeation chromatography (GPC) and was calibrated with polymethacrylate polymers. The GPC analysis of the monomer (2.17) indicated a number average molecular weight (Mn) of about 1500 Da.\n\nOut of the five evaluated Lewis acids, only three of the Lewis acids (BF3.EtO2, FeCl3 and SnCl4) yielded the desired copolymers when (2.17) was used. On the other hand, two out of the three superacids (HBF4, CF3SO3H) were able to catalyze the copolymerization of (2.17) with THF. Meanwhile, the relatively weak acids (CF3CO2H and H2SO4) were not able to catalyze the reaction.\n\nFor all the acids that were able to catalyze the copolymerization reaction (BF$_3$.EtO$_2$, FeCl$_3$, SnCl$_4$, HBF$_4$ and CF$_3$SO$_3$H), a control reactions for each acid was conducted, where the copolymerization reaction in Figure 4.8 was conducted using the same protocols but without (2.17) (Figure 4.9). The experimental results show that ring opening polymerization of THF catalyzed by these acids do not happen without (2.17) as they failed to get any oligomeric or polymer material and end up with the starting material. This indicates that the (2.17) was needed for the ring opening polymerization of THF under reaction condition in Figure 4.8.\n\n\n\nFigure 4.9 Control reactions of ring opening polymerization of THF with acid catalysts\n\nReferring to Table 4.1, two boron based compounds (BF$_3$.EtO$_2$ and HBF$_4$) were used at lower amounts (0.02 mol equivalent per mol of epoxide group) compared to other acids (0.1 mol equivalent) because when both boron based compounds were used at higher amounts (0.1 mol equivalent), the resultant copolymers were cross-linked (gelled) polymers, which were difficult to characterize. Based on the results in Table 4.1, both boron based acids were found to be better catalysts for the copolymerization of (2.17) with THF because lower catalyst loading was possible. Furthermore, BF$_3$.Et$_2$O was chosen as the catalyst for the copolymerization of epoxidized plant oils with THF for further studies because it can produce copolymers with higher molecular weight.\n\n4.2 COPOLYMERS OF EPOXIDIZED METHYL OLEATE AND TETRAHYDROFURAN\n\nThe epoxidized methyl oleate (EMO, 2.3) was copolymerized with THF and boron trifluoride etherate as the catalyst at room temperature to yield copolymers (EMO-THF, 4.4) (Figure 4.10). The following are the properties of the copolymers (4.4) tabulated in Table 4.2.\n\n\\[\n\\begin{align*}\n\\text{n} \\quad & \\text{R}_1 \\quad \\text{O} \\\\\n& \\text{R}_2 \\quad \\text{O} \\\\\n\\text{m} \\quad & \\text{O} \\\\\n\\text{BF}_3 \\cdot \\text{Et}_2 \\text{O} \\quad & \\text{20 °C, 24 h} \\\\\n\\end{align*}\n\\]\n\n(2.3) \\quad (4.4)\n\n\\[ R_1 = \\quad \\text{R}_2 = \\quad \\text{O} \\]\n\nFigure 4.10 Copolymerization of (2.3) with THF\n\nTable 4.2 Properties of (4.4)\n\n| Entry | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |\n|-------|---------------------------|-----------|------------------------------|\n| | | | M_w (Da) | M_n (Da) | PDI |\n| 1 | 0.01 | 0 | - | - | - |\n| 2 | 0.025 | 75 | 17700 | 8500 | 2.08|\n| 3 | 0.05 | 97 | 54200 | 26100 | 2.07|\n\nM_w = weight average molecular weight, M_n = number average molecular weight, PDI = polydispersity index\n\nGPC analysis was conducted on the produced copolymers with (2.3) as a standard, which indicated a M_n = 500 Da. Referring to Table 4.2, the optimum amount of catalyst needed to give good yield of copolymers (4.4) was 0.05 mol equivalent of\n\nBF₃·Et₂O per mol epoxide of (2.3) (Entry 3), which gave 97% copolymers (4.4) that have a number average molecular weight \\((M_n)\\) of 26100 Da. Lower yield of copolymers was obtained with lower catalyst loading and when the reaction was conducted with 0.01 mol equivalent of catalyst only starting material was recovered. MALDI-TOF-MS analysis confirmed that (4.4) (Figure 4.11) was a copolymer with a molecular weight up to 3000 Da. The peak at 664 Da corresponds to (4.5), a sodium adduct of (2.3) dimer (Figure 4.12) and the peak at 1817 Da corresponds to (4.6), a sodium adduct of (4.5) with 17 repeating units of ring opened THF (Figure 4.13).\n\n\n\n**Figure 4.11** MALDI-TOF-MS spectrum of (4.4) by using DHB as the matrix in the analysis\n\n\n\n**Figure 4.12** Dimer of (2.3)\n\nFigure 4.13 Dimer of (2.3) with 17 repeating units of ring opened THF\n\nFigure 4.14 shows the stacked 400 MHz $^1$H NMR spectrum of (2.3) and (4.4). Referring to the $^1$H NMR spectrum, the epoxide group of (2.3) at 2.80-3.15 ppm was ring opened to copolymerize with THF yielding ether and hydroxyl functionalities (3.51-3.60 ppm) and peaks corresponding to ring opened THF [1.56-1.66 ppm (peak b) and 3.35-3.45 ppm (peak a)].\n\nFigure 4.14 Stacked 400MHz $^1$H NMR spectrum of (2.3) and (4.4) in CDCl$_3$.\n\n4.3 COPOLYMERS OF EPOXIDIZED COCOA BUTTER AND TETRAHYDROFURAN\n\nThe copolymerization of epoxidized cocoa butter (ECB, 2.16) and THF was conducted using the same method as for (2.3) (Figure 4.15). The properties of the copolymers (ECB-THF, 4.7) are tabulated in Table 4.3.\n\n\n\n**Figure 4.15 Copolymerization of (2.16) with THF**\n\n| Entry | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |\n|-------|---------------------------|-----------|-------------------------------|\n| | | | Mₜ (Da) | Mₙ (Da) | PDI |\n| 1 | 0.02 | 0 | - | - | - |\n| 2 | 0.05 | 82 | 37100 | 16500 | 2.25 |\n| 3 | 0.1 | 93 | 83200 | 29600 | 2.81 |\n\nMₜ = weight average molecular weight, Mₙ = number average molecular weight, PDI = polydispersity index\n\nThe optimum catalyst loading for copolymerization of (2.16) with THF was 0.1 mol equivalent of BF₃.Et₂O, which yielded 93% (Entry 3) of copolymers (4.7). Lower\n\namount of catalyst gave lower yields of copolymers and lower $M_n$. Catalyst loading at 0.02 mol equivalent of BF$_3$.Et$_2$O was not sufficient to catalyze the reaction.\n\nMALDI-TOF-MS analysis of (4.7) (Figure 4.16) confirmed the copolymerization of (2.16) with THF, in which the peak at 1116 Da corresponds to the sodium adduct of (2.16) plus 3 units of THF (4.8) (Figure 4.17). Furthermore, the peak at 1920 Da corresponds to dimer of (2.16) plus 2 units of THF (4.9) (Figure 4.17).\n\n\n\n**Figure 4.16** MALDI-TOF-MS spectrum of (4.7) by using DHB as the matrix in the analysis\n\n\n\n**Figure 4.17** Copolymers of (2.16) with THF\n\nThe stacked 400 MHz $^1$H NMR spectrum of (2.16) and (4.7) (Figure 4.18) shows that the epoxide group of (2.16) at 2.78-3.05 ppm was ring opened to copolymerize with THF similar to (2.3).\n\n\n\n**Figure 4.18** Stacked 400 MHz $^1$H NMR spectrum of (2.16) and (4.7) in CDCl$_3$.\n\n### 4.4 COPOLYMERS OF EPOXIDIZED PALM OIL AND TETRAHYDROFURAN\n\nThe copolymerization of epoxidized palm oil (2.17) and THF was conducted in the same way as epoxidized cocoa butter (2.17) (Figure 4.19) and the products (4.10) were analyzed by GPC, MALDI-TOF-MS and $^1$H NMR as before. The properties of the copolymers (EPO-THF, 4.10) are tabulated in Table 4.4.\n\nFigure 4.19 Copolymerization of (2.17) with THF\n\nTable 4.4 Properties of (4.10)\n\n| Entry | Mol equivalent of BF$_3$.Et$_2$O | Yield (%) | Gel permeation chromatography |\n|-------|---------------------------------|-----------|-------------------------------|\n| | | | M$_w$ (Da) | M$_n$ (Da) | PDI |\n| 1 | 0.005 | 0 | - | - | - |\n| 2 | 0.01 | 80 | 147000 | 44800 | 3.28|\n| 3 | 0.02 | 97 | 366000 | 55800 | 6.56|\n| 4 | 0.03 | Gelled | - | - | - |\n\nM$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index\n\nReferring to Table 4.4, the optimum catalyst loading was 0.02 mol equivalent of BF$_3$.Et$_2$O, in which we were able to achieve about 95% yield of copolymers that have a number average molecular weight of about 56,000 Da. Catalyst loading at 0.005 mol equivalent was not sufficient to catalyze the reaction, while catalyst loading at 0.03 mol equivalent yielded cross-linked polymers, which indicates that higher amounts of catalyst generated more active polymer chains that promoted cross-linking during polymerization. This prompted the study on the effect of other\n\nreaction parameters (monomer ratio, temperature and duration) on the properties of copolymers\n\n4.5 EFFECT OF MONOMER RATIO ON THE PROPERTIES OF COPOLYMERS\n\n\\[\n\\begin{align*}\n&\\text{Figure 4.20 Copolymerization of (2.17) with THF on different monomer ratio} \\\\\n&\\text{For this study, epoxidized palm oil (2.17) was used as the renewable epoxidized plant oil to copolymerize with THF (Figure 4.20). The ratio between (2.17) and THF was varied in order to observe changes in the properties of the copolymers (4.10). The following Table 4.5 displays the properties of the copolymer from this study.}\n\\end{align*}\n\\]\n\nTable 4.5 Properties of (4.10) from different monomer ratio\n\n| Entry | Monomer ratio THF : (2.17) (ml : g) | Yield (%) | Gel permeation chromatography |\n|-------|-----------------------------------|-----------|------------------------------|\n| | | | M\\textsubscript{w} (Da) | M\\textsubscript{n} (Da) | PDI |\n| 1 | 4 : 1 | Gelled | - | - | - |\n| 2 | 8 : 1 | Gelled | - | - | - |\n| 3 | 12 : 1 | Gelled | - | - | - |\n| 4 | 16 : 1 | 79 | 147000 | 44800 | 3.28|\n| 5 | 20 : 1 | 81 | 173000 | 56000 | 3.09|\n| 6 | 24 : 1 | 83 | 169000 | 56100 | 3.01|\n\nM\\textsubscript{w} = weight average molecular weight, M\\textsubscript{n} = number average molecular weight, PDI = polydispersity index\n\nThe results in Table 4.5 shows that the minimum ratio between THF and (2.17) must be equal to or above the 16 : 1 ratio (Entry 4) in order to get non-cross-linked (liquid) product. Below the specific ratio, we achieved cross-linked copolymers (Entry 1 to 3). Higher ratios of THF to (2.17) (Entry 5 and 6) yielded copolymers with higher number average molecular weight as compared to copolymer from Entry 4.\n\nIt is proposed that the cross-linking of copolymers (Entry 1 to 3) was due to the higher amount of (2.17) presence in the monomers mixture. Results from section 2.5, (page 71) show that (2.17) will form cross-linked polymers if it was ring opened with BF\\textsubscript{3}.Et\\textsubscript{2}O without solvent. However, it will form liquid oligomeric polyols if it was ring opened in solvent. In other word, it needs solvent to prevent the formation of cross-linked products. In this copolymerization reaction system, THF acts as a monomer as well as a solvent for the reaction system. Therefore, at lower THF : (2.17) ratios (Entry 1 to 3), the amount of THF was not sufficient to prevent the\n\ncross-linking of (2.17). At higher THF ratios (Entry 4 to 6), the amount of THF as solvent was sufficient to prevent/retard cross-linking of the copolymers.\n\nHigher amounts of THF in the reaction mixture also yielded copolymers with higher molecular weights. This suggests that reaction RN4 (Figure 4.6) is now dominating the reaction pathway. Furthermore, the presence of THF in the reaction system activated the epoxy ring opening reaction because the amount of catalyst needed \\((\\text{BF}_3.\\text{Et}_2\\text{O})\\) (0.01 mol equivalent) for getting high yields of polymer was comparatively lower than similar epoxy ring opening reaction conducted without THF in n-hexane (0.035 mol equivalent). In other words, it takes less amount of catalyst to cause gelation in reaction conducted in THF than a reaction conducted in n-hexane.\n\n### 4.6 EFFECT OF REACTION TEMPERATURE ON THE PROPERTIES OF THE COPOLYMERS\n\nThe copolymerization of (2.17) with THF was repeated at different temperature to evaluate the effect of temperature on the properties of the copolymers (4.10). The following Table 4.6 tabulates the result of this study.\n\nTable 4.6 Properties of (4.10) from copolymerization at different temperature\n\n| Entry | Temperature (°C) | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |\n|-------|-----------------|----------------------------|-----------|------------------------------|\n| | | | | Mₜ (Da) | Mₙ (Da) | PDI |\n| 1 | 60 | 0.025 | 80 | 62900 | 16500 | 3.81 |\n| 2 | 20 | 0.025 | Gelled | - | - | - |\n\nMₜ = weight average molecular weight, Mₙ = number average molecular weight, PDI = polydispersity index\n\nWhen the reaction was conducted at 60 °C with 0.025 mol equivalent of BF₃.Et₂O (Entry 1), the product was liquid copolymers (80% yield) with an average molecular weight (Mₙ) of 16500. However, by lowering the reaction temperature to 20 °C (Entry 2), the product was a cross-linked (gelled) copolymer.\n\nResults from Chapter 2 show that gelation occurs during homopolymerization of (2.17) catalyzed by BF₃.Et₂O (page 71) and this occurred through cross-linking of epoxide. The same cross-linking of epoxide caused the gelation in the copolymerization of (2.17) and THF at 20 °C. This is due to the lower activation energy for epoxide ring opening (20 kcal/mol)¹⁰⁴ as compared to THF ring opening (51.3 kcal/mol).¹¹⁶ Therefore, when the copolymerization was conducted at low temperature (20 °C), the epoxide ring opening reaction predominates thus causing gelation but when the reaction was conducted at higher temperature (60 °C), the THF ring opening reaction predominates yielding liquid copolymers.\n\n4.7 THE EXTENT OF COPOLYMERIZATION REACTION AGAINST TIME\n\nA study was conducted to evaluate the extent of copolymerization reaction of (2.17) with THF catalyzed by $\\text{BF}_3\\cdot\\text{Et}_2\\text{O}$ against time (Figure 4.21). A small aliquot was removed from the reaction mixture after 5 minutes and 30 minutes of reaction and then at every hour of reaction. The small sample was washed with water to quench the reaction before analyzing it with GPC. The following Table 4.7 and Figure 4.22 show the result of this study.\n\nTable 4.7 The extent of copolymerization of (2.17) with THF catalyzed by BF$_3$.Et$_2$O against time\n\n| Reaction time (minutes) | Polymer content (%) | Gel permeation chromatography |\n|------------------------|---------------------|-------------------------------|\n| | | $M_w$ (Da) | $M_n$ (Da) | PDI |\n| 5 | 2 | 27900 | 26500 | 1.05 |\n| 30 | 22 | 50800 | 32300 | 1.57 |\n| 60 | 37 | 64000 | 36100 | 1.77 |\n| 120 | 54 | 87800 | 40800 | 2.15 |\n| 240 | 65 | 112000 | 46300 | 2.41 |\n| 480 | 73 | 150000 | 48600 | 3.09 |\n| 720 | 78 | 181000 | 53800 | 3.36 |\n| 1440 | 82 | 234000 | 58700 | 3.99 |\n\n$M_w =$ weight average molecular weight, $M_n =$ number average molecular weight, PDI = polydispersity index\n\nFigure 4.22 Graph to show the copolymerization of (2.17) with THF against time\n\nReferring to Table 4.7, after 5 minutes into the reaction, the amount of (4.10) was low (2%) but the $M_n$ of (4.10) was significantly high (26500 Da). The copolymers content increased progressively with reaction time, in which it reached 82% in 24 hours and at the same time the PDI of the copolymers also broadens indicating more\n\npolymer chains were cross-linking with the longer reaction time. Referring to Figure 4.20, the polymer content starts to level out (plateau), indicating that the polymer content will not increase significantly with a longer reaction time.\n\nThe number average molecular weight ($M_n$) of (4.10) analyzed by GPC was about 58700 Da. MALDI-TOF-MS analysis of (4.10) (Figure 4.23) shows peak at 1086 Da, which correspond to sodium adduct of epoxide ring opened (2.17) plus 2 units of THF (4.11) (Figure 4.24). The other peaks in the spectrum were (4.11) plus additional units of THF (72 Da). The peak 1158 Da to 1246 Da is an additional 89 Da which is a unit of THF (72 Da) plus one hydroxyl group (-OH, 17 Da).\n\nFigure 4.23 MALDI-TOF-MS spectrum of (4.10) by using DHB as the matrix in the analysis\n\nFigure 4.24 Copolymers of (4.11)\n\nThe reaction was also followed by $^1$H NMR and the following Figure 4.25 shows the stacked 400 MHz $^1$H NMR plot of copolymers (4.10) at 30 minute, 6 hours, 12 hours and 24 hours of reaction time. $^1$H NMR analysis shows that the epoxide group of (2.17) (2.80-3.10 ppm) diminishes with time as expected.\n\nFigure 4.25 Stacked 400 MHz $^1$H NMR spectrum of (2.17) and reaction mixture in CDCl$_3$ at certain reaction time during copolymerization.\n\n4.8 COPOLYMERS OF EPOXIDIZED RAPSEED OIL AND TETRAHYDROFURAN\n\n\\[\n\\begin{align*}\n&\\text{Figure 4.26 Copolymerization of (2.13) with THF} \\\\\n&\\text{The copolymerization of epoxidized rapeseed oil (2.13) and THF was conducted in the same way as epoxidized cocoa butter (2.16) (Figure 4.26) in order to evaluate the effect of higher epoxide functionality on the properties of the copolymers. The products (4.12) were analyzed by GPC, MALDI-TOF-MS and } ^1\\text{H NMR as before and the properties of the copolymers (ERO-THF, 4.12) are tabulated in Table 4.8.}\n\\end{align*}\n\\]\n\nTable 4.8 Properties of (4.12)\n\n| Entry | Monomer ratio THF : (2.13) (g : ml) | Mol equivalent of BF$_3$.Et$_2$O | Yield (%) | Gel permeation chromatography |\n|-------|-----------------------------------|-------------------------------|-----------|-----------------------------|\n| | | | | M$_w$ (Da) | M$_n$ (Da) | PDI |\n| 1 | 50 : 1 | 0.02 | Gelled | - | - | - |\n| 2 | 80 : 1 | 0.02 | 95 | 229000 | 53900 | 4.25|\n| 3 | 100 : 1 | 0.02 | 97 | 276000 | 74300 | 3.71|\n\nM$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index\n\nIn comparison to (2.17), the copolymerization of (2.13) needed more THF as solvent to prevent gelation of the reaction mixture, in which the ratio between THF and (ERO,X) must be at least 80 : 1 (THF : 2.13) to yield liquid copolymers. When the ratio was 100 : 1 (THF : 2.13), the yield of the copolymers was about 97% and the $M_n = 74300$ Da.\n\nMALDI-TOF-MS analysis of (4.12) (Figure 4.27) shows a peak at 1170 Da which corresponds to a ring opened (2.13) plus 3 units of THF (4.13), while peak at 1262 Da correspond to (4.14) (Figure 4.28). Subsequent peaks are (4.14) plus additional units of THF (72 Da) as shown in Figure 4.27.\n\n\n\n**Figure 4.27** MALDI-TOF-MS spectrum of (4.12) by using DHB as the matrix in the analysis\n\nFigure 4.28 Copolymers of (2.13) and THF, (4.13) and (4.14)\n\nThe stacked 400 MHz $^1$H NMR spectrum of (2.13) and (4.12) (Figure 4.29) shows that the epoxide group of (2.13) at 2.84-3.22 ppm was ring opened to copolymerize with THF. The larger incorporation of THF to the copolymer can also be seen.\n\nFigure 4.29 400 MHz $^1$H NMR spectrum of (2.13) and (4.12) in CDCl$_3$\n\n4.9 COPOLYMERS OF EPOXIDIZED SOYBEAN OIL AND TETRAHYDROFURAN\n\nThe copolymerization of epoxidized soybean oil (2.6) with THF was conducted in similar method as epoxidized rapeseed oil (2.13) (Figure 4.30).\n\nTable 4.9 Properties of (4.15)\n\n| Entry | Monomer ratio THF : (2.6) (g : ml) | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |\n|-------|----------------------------------|---------------------------|-----------|------------------------------|\n| | | | | Mₜ (Da) | Mₙ (Da) | PDI |\n| 1 | 50 : 1 | 0.02 | Gelled | - | - | - |\n| 2 | 80 : 1 | 0.02 | 96 | 233000 | 57800 | 4.03|\n| 3 | 100 : 1 | 0.02 | 98 | 364000 | 115000 | 3.17|\n\nMₜ = weight average molecular weight, Mₙ = number average molecular weight, PDI = polydispersity index\n\nSimilar to (2.13), the copolymerization of (2.6) needed more THF as solvent to prevent gelation of the reaction mixture, in which the ratio between THF and (2.6) must be at least 80 : 1 (THF : 2.6) to yield liquid copolymers. When the ratio was 100 : 1 (THF : 2.6), the yield of the copolymers was about 97% and the number\n\naverage molecular weight was about 115000 Da, which is higher than (4.12) because of the additional epoxide group of (2.6).\n\nMALDI-TOF-MS analysis of (4.15) (Figure 4.31) shows a peak at 1033 Da which corresponds to a ring opened (2.6) (4.16), while peak at 1103 Da correspond to (4.17) (Figure 4.32). Subsequent peaks are (4.17) plus additional units of THF (72 Da) as shown in Figure 4.31.\n\n\n\n**Figure 4.31** MALDI-TOF-MS spectrum of (4.15) by using DHB as the matrix in the analysis\n\n\n\n**Figure 4.32** Copolymers of (2.6) and THF, (4.16) and (4.17)\n\nSimilarly to (4.12), the stacked 400 MHz $^1$H NMR spectrum of (2.6) and (4.15) shown below (Figure 4.33) shows the large amount of THF incorporated.\n\n\n\n**Figure 4.33** Stacked 400 MHz $^1$H NMR spectrum of (2.6) and (4.15) in CDCl$_3$\n\n### 4.10 COPOLYMERS OF EUPHORBIA OIL AND TETRAHYDROFURAN\n\n\n\n**Figure 4.34** Copolymerization of (2.18) with THF\n\nThe copolymerization of euphorbia oil (2.18) with THF was conducted in similar method as epoxidized soybean oil (2.6) (Figure 4.34).\n\nTable 4.10 Properties of (4.18)\n\n| Entry | Monomer ratio (g : ml) | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |\n|-------|------------------------|----------------------------|-----------|------------------------------|\n| | THF : (2.18) | | | Mₜ (Da) Mₙ (Da) PDI |\n| 1 | 20 : 1 | 0.02 | Gelled | - - - |\n| 2 | 30 : 1 | 0.02 | 97 | 112000 33500 3.34 |\n\nMₜ = weight average molecular weight, Mₙ = number average molecular weight, PDI = polydispersity index\n\nThe liquid copolymers of (2.18) and THF can be produced at lower monomer ratio (THF : 2.18) as compared to (2.6) due to the lower epoxide functionality of EuO. The optimum monomer ratio was 30 : 1, which yielded 97% copolymers that have an average molecular weight of 33500 Da. The 400 MHz ¹H NMR spectrum of (4.18) shows similar peaks exhibited by previous plant oils and MALDI-TOF-MS analysis of (4.18) shows a peak at 1150 Da which corresponds to a (4.19), while peak at 1190 Da correspond to (4.20) (Figure 4.35).\n\nFigure 4.35 Copolymers of (2.18) and THF, (4.19) and (4.20)\n\n4.11 SUMMARY OF COPOLYMERIZATION OF EPOXIDIZED OILS AND TETRAHYDROFURAN\n\nThe following Table 4.11 shows the properties of copolymers of THF with epoxidized methyl oleate (2.3) and the 5 types of epoxidized plant oils (2.16, 2.17, 2.13, 2.6 and 2.18). These copolymers were produced through the optimum reaction conditions (yield) found for each type of oils. The reaction products were analyzed by $^1$H NMR and GPC.\n\nTable 4.11 Properties of copolymers from ring opened epoxidized oils and THF\n\n| EO | THF:EO | Mol eq. | Yield (%) | GPC | OHV | AV |\n|------|--------|---------|-----------|--------------|-----|----|\n| | | | | M$_w$ (Da) | M$_n$ (Da) | PDI | |\n| 2.3 | 20:1 | 0.05 | 97 | 54100 | 26100 | 2.07 | 25 | 7 |\n| 2.16 | 5:1 | 0.1 | 93 | 83200 | 29600 | 2.80 | 27 | 1 |\n| 2.17 | 30:1 | 0.02 | 97 | 366000 | 55800 | 6.56 | 40 | 1 |\n| 2.18 | 30:1 | 0.02 | 97 | 112000 | 33500 | 3.33 | 33 | 1 |\n| 2.13 | 100:1 | 0.02 | 97 | 276000 | 74300 | 3.71 | 48 | 1 |\n| 2.6 | 100:1 | 0.02 | 98 | 364000 | 115000| 3.17 | 56 | 1 |\n\nEO = epoxidized oil, THF:EO = monomer ratio (ml : g), Mol eq. = mol equivalent of BF$_3$.Et$_2$O, GPC = gel permeation chromatography, M$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index, OHV = hydroxyl value (mg KOH/g), AV = acid value (mg KOH/g)\n\nThe copolymerization reaction of THF with epoxidized oils (2.3) and (2.16) that have one epoxy group per molecule will not form cross-linked polymer even when catalyzed by 0.05 mol equivalent of BF$_3$.Et$_2$O and both the epoxidized oils (2.3 and 2.16) gave good yield of oligomeric polyols (97%, 93% respectively) with relatively\n\nlow PDI. The relatively high AV for (2.3) indicates significant hydrolysis during the reaction. While for epoxidized plant oils with multiple epoxide groups per molecule (2.17, 2.13, 2.6 and 2.18) the amount of catalyst must be less than 0.03 mol equivalents of BF$_3$.Et$_2$O to avoid formation of cross-linked products. Furthermore, the monomer ratio (THF : EO) for epoxidized oils increases with more epoxide groups per molecule as shown in Table 4.11 to avoid formation of cross-linked products. In general, epoxidized plant oils with more epoxides per molecule lead to larger molecular weights and hydroxyl values as expected.\n\nBoth (2.18) and (2.17) have 2 epoxide groups per molecule but (2.18) has 3 alkenes while (2.17) has none. Referring to Table 4.11, the copolymers made from (2.17) has higher $M_n$ and OHV than copolymers made from (2.18). This indicates that the alkenes of (2.18) has affected the properties of the copolymers and we think that the extra ‘kink’ on the fatty acid hydrocarbon chain of (2.18) is responsible for the lower $M_n$ and OHV of copolymers from (2.18). The epoxidized oils (2.13) and (2.6) have 4 and 5 epoxide groups per molecule respectively, which are higher than the other epoxidized plant oils in this study. This high epoxide content led to higher $M_n$ value and hydroxyl values.\n\nThe acid values of the copolymers (1 mg KOH/g) are considered low and acceptable for use in PU formulation and this indicates little hydrolysis happened during the copolymerization reaction; however copolymers based on (2.3) have a higher acid value due to the relative ease of hydrolysis of the methyl ester group. The hydroxyl value of the copolymers ranges from 25 to 60 mg KOH/g sample, depending on the starting material. In general, plant oils with a higher amount of epoxide functionality\n\nwill produce a higher hydroxyl value because the hydroxyl functionality was produced from the epoxide group through epoxide ring opening reactions.\n\nIn summary, copolymers of THF and various epoxidized plant oils can be prepared through ring opening polymerization catalyzed by BF$_3$.Et$_2$O. The properties of the copolymers depend on the degree of unsaturation of the plant oils as well as the reaction conditions (monomer ratio, catalyst amount, reaction temperature and reaction time).\n\nThese copolymers have hydroxyl groups that can react with diisocyanates, therefore they can theoretically be used to make polyurethane (PU) products. In the later sections, we will evaluate the properties of PU products made from these copolymers with PU product made from homopolymerization of THF.\n\n4.12 EFFECT OF WATER CONTENT ON THE PROPERTIES OF THE COPOLYMERS\n\nFigure 4.36 Copolymerization of THF and epoxidized oils\n\nEarlier in Section 4.1 (page 131), the screening of chemical compounds as potential catalyst for the copolymerization reaction between THF and epoxidized plant oils was discussed. Two boron based compounds were identified as suitable catalysts for\n\nthe copolymerization reaction, they were $\\text{BF}_3.\\text{Et}_2\\text{O}$ and $\\text{HBF}_4$. The two boron based compounds were used to catalyze the copolymerization reaction of THF with (2.3) and (2.17) under same reaction conditions in order to evaluate the catalytic activities of both compounds (Figure 4.36). The results of this study were tabulated in Table 4.12.\n\nTable 4.12 Properties of copolymers of THF and epoxidized oils\n\n| EO | THF:EO | Mol eq. | Catalyst | Polymer content (%) | GPC |\n|------|--------|---------|--------------|---------------------|--------------|\n| | | | | | $M_w$ (Da) | $M_n$ (Da) | PDI |\n| 2.3 | 5:1 | 0.05 | $\\text{BF}_3.\\text{Et}_2\\text{O}$ | 87 | 22900 | 11400 | 2.00 |\n| 2.3 | 5:1 | 0.05 | $\\text{HBF}_4$ | 56 | 3400 | 2700 | 1.26 |\n| 2.17 | 30:1 | 0.02 | $\\text{BF}_3.\\text{Et}_2\\text{O}$ | 97 | 366000 | 55800 | 6.56 |\n| 2.17 | 30:1 | 0.02 | $\\text{HBF}_4$ | 95 | 85000 | 22500 | 3.78 |\n\n$EO = \\text{epoxidized oil}, \\text{THF}:EO = \\text{monomer ratio (ml : g)}, \\text{Mol eq.} = \\text{mol equivalent of BF}_3.\\text{Et}_2\\text{O}, \\text{GPC} = \\text{gel permeation chromatography}, M_w = \\text{weight average molecular weight}, M_n = \\text{number average molecular weight}, \\text{PDI} = \\text{polydispersity index},$\n\nReferring to Table 4.12, for both epoxidized plant oils with mono-epoxide (2.3) and multi-epoxides (2.17) group per molecule, the $\\text{BF}_3.\\text{Et}_2\\text{O}$ catalyzed reactions yielded copolymers with larger molecular weight ($M_n$) and higher polymer content. One of the main differences between $\\text{BF}_3.\\text{Et}_2\\text{O}$ and $\\text{HBF}_4$ is that $\\text{HBF}_4$ was supplied in the form of 48% in water, while $\\text{BF}_3.\\text{Et}_2\\text{O}$ was supplied in solution of 48% in ethyl ether.\n\nIt is proposed that water content of $\\text{HBF}_4$ has significant effect on the properties of the copolymers. Therefore, the effect of water content in the reaction system on the properties of copolymers was evaluated by adding specific amounts of water into the reaction system. The study was conducted with (2.17) as the epoxidized oil (Figure 4.37) and the results of this study were tabulated in Table 4.13.\n\nFigure 4.37 Copolymerization of (2.17) and THF with addition of water\n\nTable 4.13 Properties of copolymers from copolymerization reaction with addition of water\n\n| Entry | THF:EO | Mol eq. | Addition of water (µL) | Water content (% w/w) | Polymer content (%) | GPC | Mw (Da) | Mn (Da) | PDI |\n|-------|--------|---------|------------------------|-----------------------|---------------------|-----|-------------------|------------------|-----|\n| 1 | 10:1 | 0.02 | 0 | 0.03 | Gelled | - | - | - | - |\n| 2 | 10:1 | 0.02 | 1 | 0.04 | Gelled | - | - | - | - |\n| 3 | 10:1 | 0.02 | 5 | 0.08 | 92 | 81600 | 18700 | 4.36 | |\n| 4 | 10:1 | 0.02 | 10 | 0.13 | 78 | 12800 | 7900 | 1.62 | |\n| 5 | 10:1 | 0.02 | 100 | 1.06 | 0 | - | - | - | |\n\nTHF:EO = monomer ratio (ml : g), Mol eq. = mol equivalent of HBF4, GPC = gel permeation chromatography, Mw = weight average molecular weight, Mn = number average molecular weight, PDI = polydispersity index\n\nThe results in Table 4.13 clearly show that increasing the amount of water in the reaction system impeded the copolymerization reaction, in which at a low level of water content (Entry 1), the product was a cross-linked copolymer while at 1% water content (Entry 5), the reaction did not produce any copolymers. Comparing the data from Entry 3 and 4, the additional amount of water in Entry 4 significantly reduced the polymer content and molecular weight of copolymers. This information provides another method to control the molecular weight of the copolymer by addition of specific amounts of water into the reaction system.\n\n4.13 HOMOPOLYMERIZATION OF TETRAHYDROFURAN CATALYZED BY TRIFLIC ACID\n\n\\[\nn \\text{O} \\xrightarrow{\\text{CF}_3\\text{SO}_3\\text{H}} \\xrightarrow{60^\\circ\\text{C}, 8\\text{ h}} \\text{H}^+\\text{O}\\left(\\text{CH}_2\\text{CH}_2\\text{O}\\right)_n\\text{H}\n\\]\n\n(4.19)\n\nThe homopolymerization of THF was conducted according to method published by Dorai\\textsuperscript{105} et al. The purpose of this work is to prepare homopolymers of THF as a benchmark in our study on the properties of PU made from copolymers of THF and epoxidized plant oils. The homopolymer of THF (4.19) was analyzed by GPC, MALDI-TOF-MS and $^1$H NMR. The Table 4.14 shows the properties of (4.19).\n\nTable 4.14 Properties of (4.19)\n\n| Mol eq. | Polymer content (%) | GPC | OHV | AV |\n|---------|---------------------|--------------|-----|----|\n| | | M_w (Da) | M_n (Da) | PDI |\n| 0.08 | 100 | 33800 | 18000 | 1.87 |\n\nMol eq. = mol equivalent of CF$_3$SO$_3$H, GPC = gel permeation chromatography, M$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index, OHV = hydroxyl value (mg KOH/g), AV = acid value (mg KOH/g)\n\nGPC analysis shows that the (4.19) has a M$_n$ = 18000 Da. While MALDI-TOF-MS analysis of (4.19) (Figure 4.38) shows a peak at 958 Da, which corresponds to sodium adduct of homopolymerized 13 units of THF (4.20) (Figure 4.39). The other peaks are (4.20) plus additional unit of the THF. The prepared (4.19) has hydroxyl functionality that can be used to make PU.\n\n4.14 ATTEMPTED COPOLYMERIZATION OF EPOXIDIZED PLANT OILS WITH OTHER HETEROCYCCLICS\n\nIn earlier sections, the successful copolymerization of THF with epoxidized plant oils was discussed. This prompts a study to look into the possibility of copolymerizing epoxidized plant oils with other heterocyclics by using the same optimized reaction condition for copolymerization of epoxidized plant oils and THF. The first two heterocyclics that were evaluated were the analogue of THF, namely 2-methyl tetrahydrofuran (4.21) and 3-methyl tetrahydrofuran (4.22) (Figure 4.40) in order to know whether the extra methyl group at position 2 and 3 of THF ring will\n\naffect the copolymerization reaction. The reactions were conducted with monomer ratio 20:1 (THF analogue: 2.17; ml:g) and with other reaction conditions as shown in Figure 4.40.\n\n\\[\n\\begin{align*}\n\\text{O} & \\quad + \\quad \\text{O} \\\\\n\\text{C}_3\\text{H}_6\\text{O} & \\quad + \\quad \\text{C}_5\\text{H}_8\\text{O} \\\\\n(4.21) & \\quad (2.17)\n\\end{align*}\n\\]\n\n0.1 mol eq. BF$_3$·Et$_2$O\n\n20 °C, 24 h\n\nCopolymer\n\nFigure 4.40 Copolymerization of (2.17) with (4.21) and (4.22)\n\nAfter several attempts, the reactions failed to produce any copolymers of (2.17) and (4.21) or (4.22). Literature on homopolymerization of (4.21) pointed out that the (4.21) was not able to polymerize with BF$_3$·Et$_2$O, SbCl$_5$ or 4-ClC$_6$H$_4$N$_2$PF$_6$ because of an unfavorable thermodynamic factor for ring opening of (4.21). Furthermore, during THF polymerization reaction, the attack of activated THF is at the α position of the oxygen atom, therefore, methyl substitution at the α position hinders the polymerization reaction. Chiang et al. show that (4.22) can be polymerized using high amounts (>10% mol) of catalysts such as PF$_5$ and low reaction temperature (-22 °C) for 45 days to yield 40% poly(3-methyltetrahydrofuran).\n\n4.15 COPOLYMERIZATION OF EPOXIDIZED PLANT OILS WITH ε - CAPROLACTONE\n\nThe ε-caprolactone (4.23) was copolymerized with (2.17) using the same reaction conditions employed for the synthesis of EPO-THF (4.10) (Figure 4.41) to yield copolymer (4.24). The results of the copolymerization were tabulated in Table 4.15.\n\n\n\n**Figure 4.41 Copolymerization of (4.23) with (2.17)**\n\n| Entry | (4.23 : 2.17) | Mol eq. | Polymer content (%) | GPC |\n|-------|---------------|---------|---------------------|--------------|\n| | | | | M_w (Da) | M_n (Da) | PDI |\n| 1 | 0.25 : 1 | 0.05 | 77 | 9000 | 6200 | 1.45|\n| 2 | 0.5 : 1 | 0.05 | 68 | 7700 | 5600 | 1.37|\n| 3 | 1 : 1 | 0.05 | 54 | 6400 | 5400 | 1.18|\n\n(4.23 : 2.17) = monomer ratio (mol : mol), Mol eq. = mol equivalent of BF₃.Et₂O, GPC = gel permeation chromatography, M_w = weight average molecular weight, M_n = number average molecular weight, PDI = polydispersity index.\n\nThe result in Table 4.15 shows that the average molecular weight of (4.24) as well as the polymer content decreases with increasing monomer ratio of (4.23) to (2.17) in the starting mixture. This indicates that the (4.23) retards the oligomerization of (2.17).\n\nGPC analysis shows that the average molecular weight of (4.24) was about 6200 Da. MALDI-TOF-MS analysis of (4.24) (Figure 4.42) shows a peak at 1177 Da (Figure 4.43) that correspond to structure (4.25), while additional peaks are (4.25) plus additional units of (4.23). Furthermore, oligomers of (2.17) plus a unit of (4.23) was also detected with a peak at 1953 Da, which corresponds to structure (4.26).\n\n$^1$H NMR spectroscopy (Figure 4.44) shows that copolymers of (4.24) have the ring-opened $\\varepsilon$-caprolactone moiety at 4.06 ppm ($\\varepsilon$-CH$_2$) and 3.61 ppm (HO-CH$_2$) as well as the ether and hydroxyl moiety of copolymers at 3.58 – 3.10 ppm. Furthermore, epoxide ring opening by carboxylic group of (4.23) was also detected by $^1$H NMR at 4.84 ppm.\n\nFigure 4.42 MALDI-TOF-MS spectrum of (4.24) by using DHB as the matrix of the analysis\n\nFigure 4.43 Copolymers of (4.24)\n\nFigure 4.44 400 MHz $^1$H NMR spectrum of (4.24) in CDCl$_3$\n\n4.16 POLYURETHANES MADE FROM COPOLYMERS OF EPOXIDIZED PLANT OILS AND TETRAHYDROFURAN\n\nThe prepared copolymers of epoxidized plant oils and tetrahydrofuran were used as starting materials for making polyurethane (PU) samples. These copolymers were reacted with 4,4'-diphenylmethane diisocyanate (MDI) and yielded quantitative amount of PU samples (Figure 4.45).\n\nThe ratio between the isocyanate group (NCO) and the hydroxyl group (OH) was kept at 1.05 to 1 (NCO/OH ratio = 1.05) in order to ensure that all the hydroxyl groups of copolymers were fully reacted and the PU samples were fully cured when the excess isocyanate group reacted with moisture from the air.\n\nThe PU synthesis was based on the six copolymers (4.4, 4.7, 4.10, 4.12, 4.15 and 4.18) and they were reacted with MDI according to ratio describe above. In addition, we have also included homopolymerized THF (4.19) as a control in the PU analysis. The PU samples made from these copolymers were cross-linked polymers, which\n\nindicate that all the copolymers have 2 or more hydroxyl functionality that enable the formation of cross-linked polymer.\n\nTensile testing was carried out on these PU samples in order to give a better understanding of the strength of these PU. Figure 4.46 shows the stress-strain curve of PU made from each type of copolymers. Furthermore, swelling tests was conducted on the PU samples in order to determine the cross-linking density of the PU samples by using the Flory-Rehner equation.\\textsuperscript{95} The following Table 4.16 shows the properties of the PU samples made from these copolymers.\n\n\n\n**Figure 4.46** Stress-strain curves of PU samples made from copolymers according to method EN ISO 529-4: 1997(CEN1997a)\n\n**4.19PU** – PU based on homopolymerized THF; (4.19)\n\n**4.4PU** – PU based on copolymer of epoxidized methyl oleate (2.3) and THF; (4.4)\n\n**4.7PU** – PU based on copolymer of epoxidized cocoa butter (2.16) and THF; (4.7)\n\n**4.10PU** – PU based on copolymer of epoxidized palm oil (2.17) and THF; (4.10)\n\n4.12PU – PU based on copolymer of epoxidized rapeseed oil (2.13) and THF; (4.12)\n4.15PU – PU based on copolymer of epoxidized soybean oil (2.6) and THF; (4.15)\n4.18PU – PU based on copolymer of euphorbia oil (2.18) and THF; (4.18)\n\nTable 4.16 Properties of PU samples made from copolymers\n\n| PU | Tensile strength (MPa) | Elongation at break (%) | Cross-link density x 10^{-4} (mol/cm^3) |\n|------|------------------------|-------------------------|----------------------------------------|\n| 4.19PU | 8.3 | 6 | 0.65 |\n| 4.4PU | 5.3 | 350 | 3.23 |\n| 4.7PU | 5.9 | 610 | 3.38 |\n| 4.10PU | 9.1 | 425 | 5.30 |\n| 4.12PU | 10.5 | 510 | 6.05 |\n| 4.15PU | 9.5 | 250 | 7.52 |\n| 4.18PU | 5.0 | 140 | 3.95 |\n\nReferring to Table 4.16 and Figure 4.46, the (4.19PU) shows significantly high tensile strength (8.3 MPa) but low elongation (6%). The tensile strength of (4.19PU) comes from the intermolecular force between polymer chains of (4.19) as the polymer chains of (4.19) are more regular in structure, which can form semicrystalline structure in (4.19PU) and this semicrystalline structure acts as a physical cross-link in the PU polymer matrix.\\textsuperscript{110} However, the cross-link density of (4.19PU) was low (0.65 x 10^{-4} mol/cm^3) because both the (4.19) and MDI are bifunctionals molecules that usually form linear polymers.\n\nBoth copolymers (4.4 and 4.7) were made from epoxidized oils with one epoxide group and the hydroxyl values of both copolymers were relatively lower than other copolymers. Therefore, the cross-link densities exhibited by PU made from both copolymers (4.4PU and 4.7PU) were relatively low (3.2-3.4 x 10^{-4} mol/cm^3). This\n\nrelatively low cross-link density translated to tensile strength in the region of 5.3 MPa to 5.9 MPa. However, there is a significant difference between these two PU as the elongation at break for (4.7PU) was significantly higher than (4.4PU). This better performance of (4.7PU) can be attributed to the plasticizing effect from the saturated fatty acid chains found in (4.7PU), which originated from epoxidized cocoa butter (2.16).\n\nIn comparison, (4.10PU) made from copolymers based on epoxidized palm oil (2.17), which has two epoxides functionality has a higher cross-link density and tensile strength exhibited than both (4.4PU and 4.7PU). However, the higher cross-link density also contributed to lower elongation at break as compared to (4.7PU). On the other hand, (4.18PU) made from (4.18) copolymers exhibited lower tensile strength and elongation at break as compared to (4.10PU) even though the copolymers (4.18) were made from euphorbia oil (2.18), which has the same level of epoxide functionalites as (2.17). As discussed earlier in Section 4.11 (page 156), the copolymer (4.18) has a lower hydroxyl value (33 mg KOH/g) as compared to (4.10) (40 mg KOH/g) due to the alkene groups still remaining in (4.18). The lower hydroxyl value of (4.18) contributed to lower cross-link density, tensile strength and elongation at break of (4.18PU). In addition, it is proposed that the extra ‘kink’ from alkene groups (4.18PU) also contributed to lower performance of (4.18PU) as compared to (4.10PU) by obstructing the packing of the PU polymer chains, which reduced the intermolecular force of the PU polymer chains.\n\nReferring to Figure 4.46, (4.12PU) exhibited the highest tensile strength among all the PU samples. This is due to the relatively high cross-link density of (4.12PU),\n\nwhich was contributed by the relatively higher hydroxyl value of (4.12) (48 mg KOH/g). In contrast, the (4.15PU) has a higher cross-link density than (4.12PU) due to the higher hydroxyl value of (4.15). However, the elongation at break of (4.15PU) was lower than (4.12PU) even though they have similar tensile strength. It is proposed that the cross-link density of (4.15PU) was now too high and that it made the PU (4.15PU) stiffer, which restricted the elongation of (4.15PU), resulting in lower elongation at break.\n\n4.17 POLYURETHANES MADE FROM COPOLYMERS OF EPOXIDIZED PLANT OILS AND ε - CAPROLACTONE\n\n\\[\n\\begin{align*}\n\\text{OCN} & \\quad \\text{MDI} \\\\\n& + \\\\\n\\text{HO} & \\quad \\text{R} & \\quad \\text{OH} \\\\\n(4.24)\n\\end{align*}\n\\]\n\n\\[\n\\begin{align*}\n\\left[ \\text{O} & \\quad \\text{C} & \\quad \\text{O} & \\quad \\text{N} & \\quad \\text{H} & \\quad \\text{N} & \\quad \\text{H} & \\quad \\text{O} & \\quad \\text{O} & \\quad \\text{R} & \\quad \\text{O} & \\quad \\text{O} & \\quad \\text{C} & \\quad \\text{O} & \\quad \\text{C} \\right]_n \\\\\n(4.24PU)\n\\end{align*}\n\\]\n\nFigure 4.47 Synthesis of PU from MDI and (4.24)\n\nThe copolymers of (4.24) made from epoxidized palm oil (2.17) and ε-caprolactone (4.23) were reacted with MDI (Figure 4.47) according to reaction condition described in Section 4.16 to produce (4.24PU). The (4.24PU) was subjected to tensile strength evaluation as well as swelling test in order to evaluate the physical properties of the PU. The following Figure 4.48 shows the stress-strain curve of (4.24PU).\n\nFigure 4.48 Stress-strain curve of (4.24PU) according to method EN ISO 529-4: 1997(CEN1997a)\n\nFigure 4.48 show that (4.24PU) has relatively low tensile strength and elongation at break. This may be due to the relatively low average molecular weight of (4.24), which range from 5000 Da to 6000 Da as compared to THF based copolymers which range from 26000 Da to 110000 Da. The properties of cross-linked PU, such as tensile strength and elongation generally increase with the increasing molecular weight of the polyols.\\textsuperscript{101}\n\n\\subsection*{4.18 THERMAL PROPERTIES OF POLYURETHANES MADE FROM COPOLYMERS}\n\nThermal gravimetric analysis (TGA) and differential scanning calorimetry (DSC) were conducted on the prepared PU samples made from copolymers in order to evaluate the thermal properties of these PU samples. In addition, PU made from\n\nhomopolymerized THF (4.19) was also evaluated for comparison purposes. The following are the results of the thermal analysis.\n\n**Thermal gravimetric analysis (TGA)**\n\nThe following Figure 4.49 and 4.50 show the TGA analysis of PU samples made from copolymers and (4.19).\n\n\n\n*Figure 4.49 TGA analysis of PU samples (4.4PU, 4.7PU and 4.10PU) and (4.19)*\n\n\n\n*Figure 4.50 TGA analysis of PU samples (4.12PU, 4.15PU and 4.18PU)*\n\nReferring to Figure 4.49 and 4.50, the PU made from copolymers and homopolymers of THF started to degrade at about 300 °C. The TGA analysis also shows that some of the PU samples (4.4PU and 4.18PU) exhibit a minor component and a major component in the samples. The minor component could be unreacted fatty acids / triglycerides. Meanwhile, the evaluated PU samples (4.7PU, 4.10PU, 4.12PU and 4.15PU) exhibit one component in the samples. All the PU samples were thermally stable up to 300 °C before they all start degrading.\n\n**Differential Scanning Calorimetry (DSC)**\n\nThe following Figure 4.51 and 4.52 show the DSC analysis of PU samples made from the copolymers. The DSC analysis shows that all the PU made from the copolymers have glass transition temperatures (Tg) at about -70 °C. This low Tg contributed to the flexibility of the PU and they are able to remain flexible even at low temperatures. Furthermore, each of the PU samples exhibited a softening/melting point at temperature ranges from 10 °C to 45 °C, depending on the copolymers used in making the PU before they degraded at 300 °C.\n\n\n\n*Figure 4.51 DSC analysis of PU samples (4.19PU, 4.4PU, 4.7PU and 4.10PU)*\n\n4.19 SUMMARY\n\nThe prepared epoxidized plant oils (2.3, 2.16, 2.17, 2.13, 2.6 and 2.18) can be copolymerized with THF to yield copolymers polyols through cationic ring opening reaction of both epoxide and THF catalyzed by $\\text{BF}_3\\cdot\\text{Et}_2\\text{O}$. The copolymerization reaction was affected by the amount of catalyst, reaction temperature, reaction duration and the ratio between the two monomers (epoxidized plant oils and THF).\n\nThe properties of the copolymers also depended on the degree of unsaturation of the plant oils. Plant oils with low unsaturation [methyl oleate (2.8), cocoa butter (2.9)] will yield copolymers with lower molecular weights (4.4 and 4.7); while plant oils with two or more unsaturations will produce high molecular weight copolymers and higher hydroxyl values (4.10, 4.12, 4.15 and 4.18).\n\nThe prepared copolymers were used to make PU samples. PU based on copolymers made from plant oil with low levels of unsaturation (2.3, 2.16) formed PU samples (4.4PU and 4.7PU) with lower levels of tensile strength but with acceptable elongation (flexibility). In fact, (4.7PU) showed the highest elongation at break due to the plasticizing effect from the saturated fatty acid chains found in (4.7PU). These PU samples (4.4PU and 4.7PU) have suitable mechanical properties for making elastomeric PU that requires very good flexibility. On the other hand, PU samples based on copolymers made from plant oils with higher levels of unsaturation (4.10PU, 4.12PU and 4.15PU) exhibited higher tensile strength and elongation. The highest tensile strength was exhibited by (4.12PU). These PU samples have suitable mechanical properties for making semi-flexible PU elastomers that require high tensile strength with some flexibility.\n\nThermal gravimetric analysis (TGA) shows that most the PU samples made from copolymers were stable up to 300 °C. The TGA analysis also shows that PU samples (4.4PU and 4.18PU) exhibit a minor component and a major component in the samples. The minor component could be unreacted fatty acids/triglycerides. Meanwhile, PU samples (4.7PU, 4.10PU, 4.12PU and 4.15PU) exhibit one component in the samples. The DSC analyses also reveal that all the PU samples have melting/softening points between 10 °C to 45 °C, depending on the copolymers used in making the PU sample. The DSC analysis also shows that all the PU samples have glass transition temperatures at about -70 °C, which is relatively low and this makes them suitable for applications that require low temperature flexibility.\n\nCHAPTER 5 – ONE-POT OLIGOMERIZATION OF PLANT OIL DERIVATIVES\n\n5.0 INTRODUCTION\n\nOn a commercial scale, the epoxidation of unsaturated plant oil (5.1) is carried out through the Prileshajev reaction, in which a peroxy acid is the epoxidation agent generated from a short-chain organic acid such as formic acid\\textsuperscript{111} (Figure 5.1). However, the selectivity of this reaction seldomly exceeds 90% due to side reactions such as dimerization of epoxidized plant oil (5.2) through ring opening of epoxide group by hydroxylated plant oil (5.3) generated \\textit{in-situ} during the reaction (Figure 5.2). The amount of dimerized plant oil (5.4) found in the reaction products was about 2% as analyzed by the GPC method.\\textsuperscript{111} In addition, analysis results reported in Chapter 2 (page 60) show that during the epoxidation of (5.1) with a tungsten based catalyst system, the reaction produced about 4% of (5.4) as a side product. In general, the amount of oligomers generated as side products during epoxidation of (5.1) was about 2% to 4%.\n\n\\[\n\\begin{align*}\n\\text{Figure 5.1 Epoxidation of palm oil with formic acid and hydrogen peroxide}\n\\end{align*}\n\\]\n\nFigure 5.2 Dimerization of epoxidized plant oil\n\nIn comparison, more significant amount of oligomeric products were obtained during the ring-opening of epoxidized soybean oil (2.6) with water\\textsuperscript{85} catalyzed by phosphoric acid. Likewise, the ring-opening of epoxidized soybean oil in methanol\\textsuperscript{86} catalyzed by fluoroboric acid was also reported to produce about 20% oligomers of triglycerides. In addition, results in Chapter 2 (page 94) show that oligomeric plant oils can be produced from homopolymerization of epoxidized plant oils in good yield. However, this process requires two steps namely epoxidation followed by epoxide ring opening. This prompted a study to investigate the possibility of producing oligomeric plant oils using a one-pot method.\n\n5.1 DIRECT OLIGOMERIZATION OF PLANT OIL WITH TUNGSTEN BASED CATALYST\n\nFigure 5.3 Oligomerization of unsaturated plant oils\n\nHaving established that low oligomerization (2-4%) can occur during the epoxidation reaction of rapeseed oil catalyzed by tungsten powder as described in Chapter 2\n\n(page 60), the next step was to investigate how the amount of oligomers can be increased by a) changing the catalyst ($\\text{Na}_2\\text{WO}_4$) and b) changing the plant oils feedstock (rape, palm, soy etc). The effect of these changes was compared at 100 °C (Figure 5.3). The experimental conditions for this study were listed in Table 5.1 and the results of this study were tabulated in Table 5.2.\n\nTable 5.1 Experiments conducted with various plant oils and reaction conditions\n\n| Entry | Plant oil | Catalyst | Mol equivalent |\n|-------|--------------------|------------|----------------|\n| 1 | Palm | $\\text{Na}_2\\text{WO}_4$ | 100: 2: 2: 500: 0: 0 |\n| 2 | Soy | $\\text{Na}_2\\text{WO}_4$ | 100: 2: 2: 500: 0: 0 |\n| 3 | 50%Palm + 50% Soy | $\\text{Na}_2\\text{WO}_4$ | 100: 2: 2: 500: 0: 0 |\n| 4 | Rapeseed | $\\text{Na}_2\\text{WO}_4$ | 100: 2: 2: 500: 0: 0 |\n| 5 | Rapeseed | $\\text{Na}_2\\text{WO}_4$ | 100: 2: 2: 150: 0: 0 |\n| 6 | 50%Palm + 50% Soy | W powder | 100: 0.5: 0.3: 95: 65: 1450 |\n| 7 | Rapeseed | W powder | 100: 0.5: 0.3: 95: 65: 1450 |\n\nMol equivalent = (alkene:catalyst:PTC:$\\text{H}_2\\text{O}_2$:Acid:$\\text{H}_2\\text{O}$), PTC= phase transfer catalyst Adogen 464; Acid= $\\text{H}_3\\text{PO}_4$\n\nTable 5.2 Analysis results of reaction products\n\n| Entry | Oligomer (%) | $M_w$ (Da) | $M_n$ (Da) | PDI | Yield % |\n|-------|--------------|------------|------------|-----|---------|\n| 1 | 20 | 2800 | 2600 | 1.08| 85 |\n| 2 | 24 | 3100 | 2700 | 1.15| 88 |\n| 3 | 33 | 3300 | 2800 | 1.18| 85 |\n| 4 | 27 | 2900 | 2600 | 1.12| 84 |\n| 5 | 18 | 5600 | 4900 | 1.20| 83 |\n| 6 | 23 | 3600 | 3100 | 1.16| 83 |\n| 7 | 39 | 11300 | 6700 | 1.67| 81 |\n\n$M_w =$ weight average molecular weight, $M_n =$ number average molecular weight, PDI = polydispersity index\n\nReferring to Table 5.2, direct oligomerization of palm oil (Entry 1) with $\\text{Na}_2\\text{WO}_4$ yielded 19.5% oligomers and GPC analysis showed that the oligomers have a $M_n$ of about 2600 Da, which indicates the formation of mainly dimers. The low amount of oligomers could be attributed to the relatively low unsaturation in palm oil. The $^1\\text{H}$ NMR spectrum of the product shows a significant peak at 3.2 -2.8 ppm, which indicates unreacted epoxide groups. When plant oils with higher alkene contents were used as the starting material, namely soya bean oil (Exp. 2), the amount of oligomers formed (24%) in the reaction product was higher than palm oil (19%) while the $^1\\text{H}$ NMR analysis shows the complete disappearance of the epoxide moiety, which suggests more effective formation of oligomers due to the higher amount of alkene group in the starting material.\n\n**Mixture of palm and soy oil**\n\nWhen an equal mixture of palm and soy oil was used (Exp. 3) as starting material, the amount of oligomers formed in the product was measured at 32.8%. This is significantly higher than observed in experiments conducted with pure soy (Exp. 2) or pure palm oil (Exp. 1). This suggests that the combination of soy and palm oil enhances the formation of oligomers in some way and may be due to the almost equal amount of oleic and linoleic acid found in the 50:50 mixtures of soy and palm oil.\n\nIn general the highest level of oligomers was formed using our original tungsten powder procedure (Entry 7, 39%) but this was not high enough to be useful as a one pot oligomerization procedure.\n\n5.2 OLIGOMERIZATION OF OLEIC ACID\n\nDue to the complexity of the triglyceride mixtures, similar reactions were conducted on simple fatty acids as model compounds (Figure 5.4). Oleic acid (5.5) (a monounsaturated fatty acid) was subjected to the oligomerization reaction with $\\text{Na}_2\\text{WO}_4$ as the catalyst and Adogen 464 as the phase transfer catalyst (PTC). These experiments were conducted with $\\text{Na}_2\\text{WO}_4$ as opposed to W powder because of a simpler experiment procedure. The gel permeation chromatography (GPC) analysis shows that 75% of the crude product from the reaction consists of dimer and higher oligomers. A detailed analysis is shown below (Table 5.3).\n\n\n\n**Figure 5.4** Oligomerization of (5.5) with $\\text{Na}_2\\text{WO}_4$ and $\\text{H}_2\\text{O}_2$\n\n**Table 5.3** GPC analysis of crude product from oligomerization of oleic acid\n\n| Component detected | Gel permeation chromatography (GPC) | Content % |\n|--------------------|-------------------------------------|-----------|\n| | $M_w$ (Da) | $M_n$ (Da) | PDI | |\n| 1 | 2800 | 2500 | 1.12 | 38 |\n| 2 | 1400 | 1400 | 1.00 | 24 |\n| 3 | 890 | 870 | 1.02 | 27 |\n| 4 | 530 | 520 | 1.02 | 11 |\n\n$M_w =$ weight average molecular weight, $M_n =$ number average molecular weight, PDI = polydispersity index\n\nThe crude product of the oleic acid oligomerization was subjected to column chromatography. The major component (75%) was subjected analyzed by $^1$H NMR, ESI-MS and MALDI-TOF-MS in order to determine the chemical structure of the compound (assigned as 5.6). $^1$H NMR analysis of (5.6) indicates two peaks that correspond to a methine proton attached to a carbon atom of a hydroxyl group (HO-C-H) and an ester group (O=C-O-C-H) at 3.7 ppm and 4.85 ppm respectively (Figure 5.5). Furthermore, $^1$H-$^1$H COSY analysis shows that both peaks are coupled to each other, which imply that both methine protons are next to each other as depicted in the proposed chemical structure of the compound (5.6) (Figure 5.6), which is an oligomer of oleic acid linked by an ester functionality known as estolide.\n\n\n\n**Figure 5.5** 400 MHz $^1$H NMR spectrum of (5.6) in CDCl$_3$\n\n\n\n**Figure 5.6** Proposed chemical structure of (5.6)\n\nCompound (5.6) was analyzed with MALDI-TOF-MS that usually detects protonated molecular ions \\([M+H]^+\\) and also sodium adduct ions \\([M+Na]^+\\) as well as fragmentation ions. The MALDI-TOF-MS analysis of (5.6) shows molecular weight ranges from 500 Da to 2000 Da with the dominant mass peak at 1104 Da (Figure 5.7). This 1104 Da mass peak corresponds to the cleaved sodium adducts \\([M+Na]^+\\) (5.7) of tetramer \\(n=4\\) (\\(M=1233\\) Da) as shown in Figure 5.8. Furthermore, the dimer, trimer and pentamer sodium ion adduct were also detected in the mass spectra of (5.6) at 637 Da, 935 Da and 1531 Da respectively. This further confirms that the reaction produced oligomers of oleic acid linked by the ester group (estolides) and the major product was the tetramer of oleic acid.\n\n\n\n**Figure 5.7** MALDI-TOF-MS spectrum of (5.6) by using DHB as the matrix in the analysis\n\n\n\n**Figure 5.8** Cleaved sodium adduct of (5.6)\n\nThese results show that the oleic acid was oligomerized to form estolides with the proposed chemical structure (5.6). The formation of estolides from oleic acid through this one-pot oligomerization reaction is believed to occur via a two steps process. The first step is believed to be the conversion of the alkene (C=C) group to the epoxide group through $\\text{Na}_2\\text{WO}_4$ catalyzed epoxidation reaction with hydrogen peroxide and the second step involves ring opening of the newly formed epoxy group by the carboxylic acid group of another fatty acid to yield the observed estolides (Figure 5.9). Based on MALDI-TOF-MS mass spectrum, the most abundant oligomer is the tetramer of oleic acid, followed by trimer and dimer.\n\n\n\n**Figure 5.9** Proposed mechanism for epoxy ring opening by carboxylic acid group of another fatty acid to yield the estolides\n\nWhen the same reaction was conducted with methyl oleate (5.8) (in substitution of oleic acid) (Figure 5.10), no formation of oligomers was observed. The $^1\\text{H}$ NMR spectrum of the crude product (Figure 5.11) from this reaction shows a singlet at $\\delta=3.55$ ppm, which corresponds to the methyl of ester group and supports the idea that oligomerization did not take place.\n\nFurthermore, no significant peaks at $\\delta = 3.7$ ppm and $4.85$ ppm was observed, which correspond to methine proton attached to carbon atom of a hydroxyl group (HO-C-H) and an ester group (O=C-O-C-H) at $3.7$ ppm and $4.85$ ppm respectively as seen in Figure 5.5. Again, this indicates no formation of oligomerized oleate compounds (estolides). The product from this reaction is dihydroxy methyl stearate (5.9) (Figure 5.12), which shows a peak at $\\delta = 3.33$ ppm in $^1$H NMR spectrum that corresponds to the methine proton attached to carbon atom of a hydroxyl group (HO-C-H) (Figure 5.11).\n\n\n\n**Figure 5.11** 400 MHz $^1$H NMR spectrum of (5.9) in CDCl$_3$\n\nThe other chemical compound that could be produced from the oligomerization reaction of oleic acid is a polyether polyol (5.10) where an alcohol has reacted with\n\nan epoxide instead of a carboxylic acid. This alternative product will have the same mass ion as discussed above for (5.6). The possible chemical structure is illustrated in Figure 5.13, which is an oligomer of oleic acid linked by ether functionality.\n\n\\[\n\\begin{align*}\n&\\text{OH} \\\\\n&\\text{O} \\\\\n&\\text{OH} \\\\\n&\\text{CO}_2\\text{H} \\\\\n&\\left[ \\text{OH} \\right]_n\n\\end{align*}\n\\]\n\n(5.10)\n\nFigure 5.13 Oligomers of oleic acid linked by ether functionality\n\nThis oligomer could be produced when the oxirane group of epoxidized oleic acid was ring opened by water to yield initially a dihydroxyl group (HO-C-C-OH) and then one of the newly formed hydroxyl groups can attack the epoxide group of another epoxidized oleic acid molecule to form an ether linkage between the two fatty acid chains (Figure 5.14). The other hydroxyl group could repeat this process and form higher oligomers.\n\nFigure 5.14 Mechanism for the formation of oleic acid oligomers linked by ether group\n\nReduction and saponification of (5.6)\n\nIn order to further confirm the chemical structure of (5.6) and rule out the formation of (5.10), the oligomerized compound (5.6) was subjected to two reactions, namely reduction (LiAlH₄) and saponification (NaOH). LiAlH₄ is a strong reducing agent and it is capable of reducing ester bonds to alcohols. Therefore, when oligomerized product (5.6) was subjected to reduction with LiAlH₄, the ester linkages between the repeating units of oleic acid should be broken and reduced to alcohol groups (causing depolymerization). If however the linkages between the monomers were ether linked then the compound would not be reduced to monomer. The same concept applies to the saponification reaction, where the ester linkages between monomer will be cleaved by NaOH but will not be cleaved if the linkages between monomer were ether groups.\n\nWhen (5.6) was subjected to saponification and the crude product was purified by column chromatography the major product produced from the reaction was 9,10-dihydroxystearic acid (5.11). Reduction reaction of oligomerized product (5.6) with LiAlH₄ gave 1,9,10-trihydroxysterol (5.12) as the major product (Figure 5.15). Both these reactions indicate that the linkage between fatty acid units was the expected ester linkage and ruled out an ether linkage.\n\n\\[\n\\begin{align*}\n&\\text{OH} \\\\\n&\\text{OH} \\\\\n&\\text{CO}_2\\text{H} \\quad (5.11)\n\\end{align*}\n\\]\n\n\\[\n\\begin{align*}\n&\\text{OH} \\\\\n&\\text{OH} \\\\\n&\\text{OH} \\quad (5.12)\n\\end{align*}\n\\]\n\nFigure 5.15 Major products from saponification and reduction of (5.6)\n\nMinor component from saponification reaction\n\nWhile the major product isolated from the saponification reaction of (5.6) was 9,10-dihydroxy stearic acid (5.11), a minor component was also isolated from the column and identified as the alternative polyether polyol (5.13) (10% yield), in which the repeating units of oleic acid were linked by an ether group. ESI mass spectrometry of this polyether polyol shows a dominant peak at 637 [M+Na]+, which correspond to a dimer of (5.11) linked by an ether bond with molecular structure (5.13) as depicted in Figure 5.16.\n\n\n\nIn conclusion, analysis of the product arising from Na₂WO₄ reaction with oleic acid suggests a composition of 90% ester linked (5.6) and 10% ether linkage (5.13).\n\n5.3 1,9-NONANEDIOIC (AZELAIC ACID)\n\n\n\nDuring the oligomerization of oleic acid, a co-product was isolated namely 1,9-nonanedioic (5.14) (azelaic acid) (Figure 5.17). Azelaic acid dissolves in hot water; therefore it dissolved in the aqueous layer during the oligomerization reaction but crashed out from the cooled aqueous layer as a white solid during product work-up at room temperature. The yield of azelaic acid obtained in this way from the\n\noligomerization reaction was low (about 2%), however, due to its known applications in polymer (nylon 69) and anti-acne products, the renewable nature of this co-product made it a target of further study. In particular, how is the azelaic acid formed during the oligomerization of oleic acid and is it possible to maximize the yield of this co-product?\n\nThe azelaic acid could be produced from oxidative cleavage of one or more compounds involved in the oligomerization reaction, namely the starting material (oleic acid) (5.5), the intermediate product epoxidized oleic acid (5.15) or product [dihydroxystearic acid (5.11), ester linked (5.6) and ether linked (5.13) oligomers] (Figure 5.18). Therefore by subjecting these compounds individually to the same oligomerization reaction conditions, the intermediate responsible for the formation of (5.14) can be determined.\n\n\n\nFigure 5.18 Chemical compounds involved in the oligomerization reaction\n\nIn order to achieve this goal, some oleic acid model derivatives were synthesized that represented the potential intermediate compounds involved in the oligomerization reaction. The oleic acid derivatives (5.11, 5.16, 5.17, 5.18) (Figure 5.19) were synthesized and subjected to the oligomerization reaction conditions.\n\nFigure 5.19 Synthesized oleic acid model derivatives\n\nThe following Figure 5.20 – 5.23 shows the synthesis of these oleic acid derivatives. Compound (5.16) represents an intermediate in the oligomerization of oleic acid while compounds (5.11), (5.17) and (5.18) represent models of possible products from the oligomerization reaction of oleic acid. Compound (5.11) is the monomer of the oligomers while both (5.17) and (5.18) represent possible oligomers from the reaction. Compound (5.17) has a similar estolide carbon backbone structure to (5.6) with the addition of three acetyl groups to mimic further the oligomers of oleic acid linked by ester linkages (estolides oligomers). Meanwhile, the compound (5.18) has two methoxy groups that mimic the oligomers of oleic acid linked by ether linkages (polyether oligomers).\n\nFigure 5.20 Synthesis of epoxidized methyl oleate (5.16)\n\nFigure 5.21 Synthesis of 9,10-dihydroxystearic acid (5.11)\n\n\\[\n\\begin{align*}\n&\\text{1) } \\text{H}_2\\text{O}_2, \\text{ HCO}_2\\text{H, H}_2\\text{SO}_4 \\\\\n&\\quad 90^\\circ\\text{C}, 24 \\text{ h} \\\\\n&\\quad \\downarrow \\\\\n&\\quad \\text{2) NaOH, 95 }^\\circ\\text{C, 24 h} \\\\\n&\\quad \\downarrow \\\\\n&\\quad \\text{50%}\n\\end{align*}\n\\]\n\nFigure 5.22 Synthesis of triacetyl estolides (5.17)\n\n\\[\n\\begin{align*}\n&\\text{(CH}_3\\text{CO)}_2\\text{O, H}_3\\text{PO}_4 \\\\\n&\\quad 100^\\circ\\text{C, 6 h} \\\\\n&\\quad \\downarrow \\\\\n&\\quad \\text{36%}\n\\end{align*}\n\\]\n\nFigure 5.23 Synthesis of 9,10-dimethoxystearic methyl ester (5.18)\n\n\\[\n\\begin{align*}\n&\\text{MeI, KOH, THF} \\\\\n&\\quad 40^\\circ\\text{C, 24 h} \\\\\n&\\quad \\downarrow \\\\\n&\\quad \\text{50%}\n\\end{align*}\n\\]\n\nEach of the four potential precursors to azelaic acid were reacted under the original oligomerization reaction conditions (namely 5 molar equivalents of $\\text{H}_2\\text{O}_2$ at 100 °C for 8 hours, catalyzed by $\\text{Na}_2\\text{WO}_4$ and a phase transfer catalyst, Aliquat 336).\n\nBased on analysis results, the formation of azelaic acid could only be detected when (5.11) and (5.16) were subjected to the oligomerization reaction with 1% and 3% yields respectively. Both (5.17) and (5.18) did not yield any azelaic acid when subjected to the same reaction conditions. Therefore, this indicates that the oxidative cleavage is a side reaction that happens before the formation of oligomers and it is not a continuation from the oligomerization reaction.\n\n### 5.4 OPTIMIZATION OF OLEIC ACID OLIGOMERIZATION TO ESTOLIDE (5.6)\n\n**Effect of reaction temperature**\n\nThis study was conducted to determine the most appropriate temperature for the oligomerization reaction. The temperature of the reaction was varied from 60 °C to 100 °C, while the other reaction parameters were kept constant. The following Figure 5.24 shows the stacked 400 MHz $^1\\text{H}$ NMR spectrum of crude reaction products from oligomerization reaction conducted at 60 °C, 80 °C and 100 °C respectively.\n\nReferring to Figure 5.24, when the oligomerization reaction was conducted at 60 °C, the alkene groups were not fully converted to epoxide group (compared to 100 °C). The $^1\\text{H}$ NMR spectrum indicates that some of the alkene has been converted to an epoxide group ($\\delta= 2.8-2.9$ ppm) and these epoxide groups would eventually be ring\n\nopened by the carboxylic group to form estolide oligomers if the reaction time was prolonged. This indicates that at 60 °C the rate of oligomerization is very slow.\n\nWhen the reaction was conducted at 80 °C, the alkene was fully converted to other functionalities. The $^1$H NMR spectrum shows similar peaks to those observed at 100 °C ($\\delta = 3.7$ ppm, 4.85 ppm), which correspond to estolides. However, the $^1$H NMR spectrum also shows a residual peak at $\\delta = 2.85$ ppm corresponding to the epoxide group. This means that at 80 °C, the oligomerization reaction could proceed to completion if the reaction time was prolonged. Therefore, the most optimum temperature for the oligomerization reaction is 100 °C because all alkene were converted to ester linkages of estolides oligomers in the shortest time possible.\n\nFigure 5.24 Stacked 400 MHz $^1$H NMR spectrum of reaction products in CDCl$_3$ from oligomerization reaction conducted at 60 °C, 80 °C and 100 °C respectively\n\nEffect of hydrogen peroxide : alkene molar ratio on oligomerization\n\nThe objective of this study was to determine the optimum molar ratio between $\\text{H}_2\\text{O}_2$ and the alkene functionality of the fatty acid. Three ratios were chosen (5:1, 2.5:1 and 1.5:1). When the ratio was lowered from 5:1 down to 2.5:1 ($\\text{H}_2\\text{O}_2$: C=C), the $^1\\text{H}$ NMR spectrum (Figure 5.25) showed that the amount of $\\text{H}_2\\text{O}_2$ was enough to fully convert all the alkene to oligomers as the alkene peak at $\\delta = 5.35$ ppm was not visible in the spectrum. However, when the ratio was further lowered to 1.5:1 ($\\text{H}_2\\text{O}_2$: C=C), the $^1\\text{H}$ NMR spectrum showed that the amount of $\\text{H}_2\\text{O}_2$ was insufficient to fully convert all the alkene to oligomers. Therefore, the optimum molar ratio was determined as 2.5:1 ($\\text{H}_2\\text{O}_2$: C=C), which is the minimum amount of $\\text{H}_2\\text{O}_2$ needed to fully convert alkene to ester linkages of estolides oligomers.\n\n\n\nFigure 5.25 Stacked 400 MHz $^1\\text{H}$ NMR spectrum of crude reaction products in CDCl$_3$ from oligomerization reaction conducted at 1.5 mol, 2.5 mol and 5 mol of $\\text{H}_2\\text{O}_2$ respectively\n\n5.5 ONE-POT OLIGOMERIZATION OF OLEIC ACID WITHOUT CATALYST\n\nA report\\textsuperscript{112} indicated that unsaturated fatty acids such as oleic acid (5.5) can be epoxidized in the presence of $\\text{H}_2\\text{O}_2$ with enzyme (Novozym 435) as the catalyst. The enzyme catalyzed the formation of peracid from the oleic acid with $\\text{H}_2\\text{O}_2$ as the source of oxygen. The newly formed oleic peracid in turn epoxidized the alkene group of another fatty acid. Based on this procedure, a study was conducted to determine whether (5.5) can be “self-epoxidized” without any catalyst (enzymatic or chemical). Therefore, (5.5) was reacted with hydrogen peroxide at 80 °C without any catalyst for 1 day in an attempt to yield estolides (5.6) and GPC analysis of the crude product showed 43% of oligomers and $^1\\text{H}$ NMR spectrum shows some of the alkene group still remained unreacted. Then, the reaction time was prolonged to 3 days (Figure 5.26) in order to increase the oligomeric content and GPC analysis (Table 5.4) indicated that the crude product had about 71% oligomeric content.\n\nTable 5.4 GPC analysis of crude product from oligomerization of oleic acid\n\n| Component detected | Gel permeation chromatography (GPC) | Content % |\n|--------------------|------------------------------------|-----------|\n| | $M_w$ (Da) | $M_n$ (Da) | PDI | |\n| 1 | 3300 | 2800 | 1.18 | 38 |\n| 2 | 1300 | 1200 | 1.05 | 33 |\n| 3 | 480 | 440 | 1.09 | 29 |\n\n$M_w =$ weight average molecular weight, $M_n =$ number average molecular weight, PDI = polydispersity index\n\nFigure 5.26 Self-oligomerization of oleic acid in the presence of $\\text{H}_2\\text{O}_2$\n\nThe following Figure 5.27 and 5.28 are the 400 MHz $^1$H NMR spectrum and $^1$H-$^1$H COSY NMR spectrum of the product respectively. Figure 5.27 shows two peaks that correspond to a methine proton attached to a carbon atom of a hydroxyl group (HO-C-H) and an ester group (O=C-O-C-H) at 3.6 ppm and 4.82 ppm respectively. Furthermore, Figure 5.28 analysis shows that both peaks are coupled to each other, which imply that both methine protons are next to each other as depicted in the proposed structure of (5.6)\n\nFigure 5.27 400 MHz $^1$H NMR spectrum of (5.6) in CDCl$_3$\n\nMALDI-TOF-MS analysis of product (Figure 5.29) shows oligomers of oleic acid with molecular weight of 1829 Da, which corresponds to sodium adduct of hexamer of oleic acid. The repeating unit of the estolides has a molecular weight of 298 Da, which corresponds to structure (5.19) depicted in Figure 5.30.\n\nFigure 5.28 400 MHz $^1$H-$^1$H COSY NMR spectrum of (5.6) in CDCl$_3$\n\nFigure 5.29 MALDI-TOF-MS spectrum of (5.6) by using DHB as the matrix in the analysis\n\n5.6 ONE POT OLIGOMERIZATION OF PLANT OIL WITH SUCCINIC ACID\n\nThe same method (one-pot oligomerization of oleic acid) was applied to make oligomers from plant oils. The reactions were conducted with succinic acid (5.20) as the substitute for oleic acid in order to incorporate more renewable chemicals into the oligomers. The unsaturated plant oils [cocoa butter (5.21), palm oil (5.22), rapeseed oil (5.23) and soybean oil (5.24)] (Figure 5.31) were used in this study and they were reacted with (5.20) and hydrogen peroxide at 80 °C for 7 days (Figure 5.32). The following Table 5.5 shows the GPC analysis results of the reaction products. Acetic acid was included in this study as a control reaction and it was reacted with (5.24) using the same protocol.\n\n(5.21)\n\n(5.22)\n\nFigure 5.31 Plant oils used in this study\n\n\\[\n\\begin{align*}\n&\\text{H}_2\\text{O}_2, \\ 80^\\circ\\text{C}, \\ 7 \\text{ days} \\\\\n&\\downarrow \\\\\n&\\text{Oligomers (5.25)}\n\\end{align*}\n\\]\n\nFigure 5.32 Oligomerization of soybean oil (5.24) with succinic acid (5.20) and H$_2$O$_2$ as an example\n\nTable 5.5 GPC analysis of reaction products\n\n| Entry | Plant oil | Yield (%) | Gel permeation chromatography |\n|-------|-----------|-----------|------------------------------|\n| | | | M$_w$ (Da) | M$_n$ (Da) | PDI |\n| 1 | Control | 25 | 5100 | 4400 | 1.16 |\n| 2 | 5.21 | 0 | - | - | - |\n| 3 | 5.22 | 50 | 8500 | 7400 | 1.15 |\n| 4 | 5.23 | 68 | 23900 | 8900 | 2.70 |\n| 5 | 5.24 | 75 | 80800 | 11600 | 6.97 |\n\nM$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index\n\nThe GPC analysis results show that the control reaction (Entry 1) only managed to yield 25% oligomeric products and the $^1$H NMR analysis of the products shows that (5.24) was majorly converted to epoxidized soybean oil (2.6). Next, the reaction was repeated with cocoa butter (5.21), which has one alkene group per molecule and it was reacted with (5.20) and H$_2$O$_2$. $^1$H NMR spectrum of product shows that (5.21) was epoxidized but was not oligomerized as shown by GPC analysis (Entry 2). The (5.21) with only one alkene group per molecule was not reactive to form oligomeric compounds with (5.20) due to the low level of unsaturation.\n\nPalm oil (5.22) which has two alkene groups per molecule was reacted using the same method and the GPC analysis shows that reaction product has about 50% oligomers (Entry 3). $^1$H NMR spectrum of the reaction product shows that the alkene groups of (5.22) were converted to hydroxyl groups. The higher alkene content of (5.22) as compared to (5.21) has contributed to higher amount of oligomers. When (5.22) was substituted with (5.23) which has higher alkene content, the GPC analysis (Entry 4) shows that higher amount of oligomers (68%) was produced as compared to (5.22). As expected, (5.24) produced the highest amount of oligomers (75%) as compared to other plant oils because it has the highest alkene content. This finding supports the hypothesis that plant oil with higher alkene content will produce more oligomers. In addition, the higher alkene content of a plant oil also contributed to oligomers with higher molecular weight and PDI. $^1$H NMR analysis of the oligomers (5.25) made from (5.24) (Figure 5.33) shows that all the alkene groups were converted to hydroxyl (3.4 - 3.8 ppm) and esters (4.8 – 4.9 ppm) moieties.\n\n5.7 ONE POT OLIGOMERIZATION OF PLANT OIL WITH ADIPIC ACID AND PHTHALIC ANHYDRIDE\n\nIn view that the direct oligomerization of unsaturated plant oils with succinic acid (5.20) needed 7 days of reaction time to yield significant amount of oligomers, (5.20) was substituted with other dicarboxylic acid to investigate the effect of different dicarboxylic acid on the oligomerization reaction. For this purpose, adipic acid (5.26) and phthalic anhydride (5.27) were chosen. Adipic acid was chosen because it is a C₆ linear aliphatic dicarboxylic acid, which has 2 extra -CH₂ group as compared to (5.20).\n\nThe study was conducted with (5.24) as the plant oil and it was reacted with (5.26) by using same one-pot oligomerization reaction as described in Section 5.6 (page 199) (Figure 5.34). $^1$H NMR analysis of reaction product (5.28) shows that all alkene groups of (5.24) were converted to epoxide as well as hydroxyl groups (Figure 5.35). It also shows that significant amount of epoxide group remained unreacted over the specific duration of reaction, which indicates that (5.26) is less reactive as compared to (5.20) in the oligomerization reaction. In addition, GPC analysis of reaction product shows that the oligomers content was about 40% ($M_w = 11000$ Da, $M_n = 8100$ Da, PDI = 1.36), which is significantly lower than product made with (5.20) under similar reaction condition. This may be due to the more hydrophobic nature of longer hydrocarbon chain of (5.26) as compared to (5.20) that made it less effective in an aqueous reaction system.\n\nWhen the same reaction was conducted with phthalic anhydride (5.27), the reaction was stopped after 1 day because the reaction mixture became too viscous to stir (Figure 5.36). Analysis of the reaction product (5.29) with GPC shows that the oligomeric content was about 75% ($M_w = 20100$ Da, $M_n = 10100$ Da, PDI = 1.99), which is a significant improvement from earlier studies conducted with (5.20). In addition, the reaction time was also significantly reduced from 7 days to 1 day. $^1$H NMR spectrum of (5.28) (Figure 5.37) shows the presence of aromatic ring, hydroxyl group and ester group moieties in the product.\n\n\n\n**Figure 5.35 400MHz $^1$H NMR spectrum of (5.28) in CDCl$_3$**\n\nEncouraged by this significant improvement, the same reaction was conducted with palm oil (5.22) that has lower level of unsaturation (Figure 5.38). The GPC analysis shows that the reaction product (5.30) contains about 66% oligomers ($M_w = 9200$ Da, $M_n = 7300$ Da, PDI = 1.26), which is significantly higher than oligomer content produced from reaction system using (5.20). Furthermore, the reaction time of was also reduced from 7 days to 1 days when (5.27) was used instead of (5.20).\n\n\\[\n\\begin{align*}\n&\\text{H}_2\\text{O}_2, \\ 80^\\circ\\text{C}, \\ 1 \\text{ day} \\\\\n&+ \\\\\n&\\text{Oligomers (5.30)}\n\\end{align*}\n\\]\n\nFigure 5.38 Oligomerization of (5.22) with (5.27) and $\\text{H}_2\\text{O}_2$\n\n$^1$H NMR spectrum (Figure 5.39) of (5.30) shows that all the alkene group of (5.22) was converted to hydroxyl moiety and the spectrum also shows that aromatic ring and ester group moieties were present in the product.\n\n\n\n### 5.8 POLYURETHANES MADE FROM ESTOLIDES (5.6) AND OLIGOMERS (5.25)\n\n\n\nThe prepared estolides (5.6) and oligomers (5.25) were reacted with 4,4'-diphenylmethane diisocyanate (MDI) and yielded quantitative amount of PU samples (5.31) and (5.32) respectively (Figure 5.40). The (5.31) and (5.32) were cross-linked polymers and were subjected to a tensile test in order to evaluate the strength of these PU samples and the following Figure 5.41 shows the stress-strain curve of (5.31) and (5.32).\n\n\n\n**Figure 5.41** Stress-strain curves of (5.31) and (5.32) according to method EN ISO 529-4: 1997(CEN1997a)\n\nReferring to Figure 5.41, (5.31) has high tensile strength (65 MPa) but low elongation at break (64%). These mechanical properties can be attributed to the high cross-link density ($43 \\times 10^{-4}$ mol/cm$^3$) found in (5.31), in which the highly cross-linked (5.31) requires more energy to pull it apart and at the same time restricts its elongation. The high cross-link density of (5.31) originated from high hydroxyl value of (5.6), which is 230 mg KOH/g sample. This range of hydroxyl value is suitable for making rigid PU products such as pipeline insulation materials and adhesives. On the other hand, the hydroxyl value of (5.25) was about 144 mg KOH/g sample. This\n\ncontributed to the lower cross-link density (30 x 10^{-4} \\text{ mol/cm}^3) of PU (5.32) and eventually leads to lower tensile strength (28 MPa) and elongation at break (25%).\n\n5.9 SUMMARY\n\nWhen plant oils with varying degree of unsaturation were subjected to one-pot oligomerization reaction in the presence of a tungsten based catalyst and hydrogen peroxide, the amount of oligomers generated from this process was about 20 - 40% depending on the feedstocks and the number average molecular weight of the oligomers ranges from 3000 – 6000 Da. In general, the tungsten catalyzed one-pot oligomerization was not very an effective method to prepare oligomers of plant oil derivatives.\n\nWhen the same reaction was repeated with oleic acid as the starting material, the reaction products were oligomers of oleic acid (estolides) and analysis with $^1$H NMR reveals that the estolides were linked by ester groups. Further confirmation of the estolides structure was achieved by reduction and saponification reactions. Furthermore, the one-pot oligomerization of oleic acid also yielded azelaic acid as a by-product and data from a series of investigative experiments indicated that the azelaic acid was produced mainly from epoxidized oleic acid before the oligomerization of oleic acid take place.\n\nThe oligomerization of oleic acid can also be achieved without any catalyst, in which the oleic acid was “self-epoxidized” by the peracid formed in situ from reaction\n\nbetween itself and $\\text{H}_2\\text{O}_2$. The epoxidized oleic acid was then ring opened by another oleic acid, thus forming the ester linked estolides.\n\nThis one-pot catalyst free oligomerization method was applied on various unsaturated plant oils by using renewable dicarboxylic acids such as succinic acid as the epoxidation and epoxide ring-opening agent to oligomerize the unsaturated plant oils. The results show that plant oils with two or more alkene groups per molecule can be oligomerized by succinic acid and the yield of oligomeric products were proportionate with the level of alkene group per molecule.\n\nIn comparison with succinic acid, longer chain aliphatic dicarboxylic acid (adipic acid) was less reactive in the oligomerization reaction, in which significant amount of epoxide groups remained unreacted. Meanwhile, aromatic anhydride (phthalic anhydride) was more reactive than succinic acid in the oligomerization procedure and the reaction time was reduced to only 1 day from 7 days. In addition, oligomerization with phthalic anhydride also produced higher amounts of oligomeric products as compared to succinic acid.\n\nThe estolides (5.6) and oligomers (5.25) prepared in this study were used to produce rigid PU by reaction with MDI. Both (5.6) and (5.25) have relatively high hydroxyl values and gave PU samples with relatively high cross-link density. The high cross-link density restricted the elongation of these PU and also translated to relatively high tensile strength. These PU samples are suitable for making rigid PU for thermal insulation purposes such as pipeline insulation.\n\nFuture Work\n\nThe results reported in Chapter 3 and 4 reveal that the properties of PU made from individual plant oil based polyols greatly depends on the level of unsaturation of the plant oils. Generally, plant oil with higher unsaturation level yields PU that exhibits higher tensile strength but lower elongation at break. Based on this structure-property relationship, the blending of plant oils with different level of unsaturation offers a method to tailor the properties of PU made from plant oil based polyols. In addition, the $OP$, $HP$ and copolymers of THF can be blended to produce PU with specific properties.\n\nFurthermore, the $OP$ can be subjected to saponification reaction to break the ester bond of the oligomerized plant oils and this will yield carboxylic acid groups, which can be reduced to hydroxyl, thus forming $OP$ with higher hydroxyl groups that can be used for making rigid PU. The said carboxylic acid groups can also be reacted with diamines to yield non-nylon polyamides or they can be converted to other functionalities that can be used for other applications.\n\n6.0 GENERAL INFORMATION AND PROCEDURES\n\nMaterials\n\nAll reactions were performed using commercially available chemicals and the purchased chemicals were used as received without any further purification.\n\nGeneral procedure\n\nThin layer chromatography was carried out on Merck 0.25 mm silica layer foiled-backed 60F-254 TLC sheets developed from potassium permanganate. Column chromatography was performed with Davisil silica gel Grade 633 pore size 60 Å particle size 40-63 µm.\n\nWet chemical analysis of product\n\nAll wet chemical analyses were performed according to the AOCS official\\textsuperscript{117} methods: acid value (AV), Te 1a-64 (89); hydroxyl value (OHV), Cd I3-60(89).\n\nProcedure for acid value analysis:\n\n(a) Weigh 0.5 g of sample into an Erlenmeyer flask.\n\n(b) Add approximately 100 ml of neutralized solvent (Isopropanol : Toluene, 50:50 mixture) and 3 drops of indicator (1% phenolphthalein in methanol)\n\n(c) Mix until sample completely dissolved.\n\n(d) Titrate with standardized alkali solution (0.1 N KOH in ethanol), stirring vigorously to the appearance of the first permanent pink color that persist for 1 minute.\n\nCalculation: Acid value, mg KOH per gram of sample =\n\n\\[\n\\frac{\\text{volume of alkali, mL} \\times N \\times 56.1}{\\text{mass of sample, g}}\n\\]\n\nwhere \\(N\\) = normality of alkali determined by standardization.\n\n**Procedure for hydroxyl value analysis:**\n\n(a) Weigh 1.0 g of sample into an Erlenmeyer flask.\n\n(b) Pipet 5.0 ml of pyridine-acetic anhydride reagent (pyridine : acetic anhydride, 3:1) into the flask containing the sample for acetylation. Thoroughly mix the contents by gentle swirling.\n\n(c) Pipet 5.0 ml of pyridine-acetic anhydride reagent into an empty flask for the reagent blank.\n\n(d) Place the samples and blank flasks on a hot plate, under a reflux condenser and heat at 100 °C for 1 hour.\n\n(e) Add 10 ml of water through the condenser to the flask and heat for an additional 10 minute with the reflux condenser attached.\n\n(f) Allow the flask to cool to room temperature with condenser attached.\n\n(g) Using a total of about 25 ml of neutralized butyl alcohol, wash the condenser with about 12 ml, remove the condenser and use the remaining butyl alcohol to wash the sides of the flask.\n\n(h) Add 1 ml of phenolphthalein indicator solution. Titrate to a faint pink end point with 0.5 N alcoholic KOH solution.\n\n**Calculation:** The hydroxyl value is calculated as follow:\n\n\\[\n\\text{Hydroxyl Value} = \\frac{B - S \\times N \\times 56.1}{W}\n\\]\n\nWhere\n\n\\[ B = \\text{volume, ml KOH solution required for the reagent blank} \\]\n\n\\[ S = \\text{volume, ml KOH solution required for titration of the acetylated sample} \\]\n\n\\[ N = \\text{normality of alcoholic KOH determined by standardization} \\]\n\n\\[ W = \\text{mass, gram of sample used for acetylation} \\]\n\n**Characterization**\n\nInfrared spectra were recorded as solid or liquid on Perkin-Elmer Spectrum100 FTIR spectrometer and absorption maxima (\\( \\nu_{\\text{max}} \\)) are recorded in wavenumbers (cm\\(^{-1}\\)). Solids were compressed into a thin table and non-volatile liquids were analyzed as thin film over diamond ATR top plate. Mass spectrometry of low resolution was recorded on Bruker Esquire ESI 2000 in which molecular ions, fragment ions and other major peaks are recorded as mass/charge (\\( m/z \\)) ratios. High resolution mass spectrometry was achieved by using Bruker MaXis instrument to carry out accurate ESI mass analysis. \\( ^1 \\)H and \\( ^{13} \\)C NMR spectroscopy were recorded on Bruker DPX-400 at 400 MHz and 100 MHz respectively at 298K with approximately 10% w/v solutions in deuterated NMR solvents. Chemical shifts are quoted in ppm relatively to internal standard tetramethylsilane (TMS) and reference to the residual solvent. All coupling constant are quoted in hertz (Hz). \\( ^1 \\)H and \\( ^{13} \\)C NMR assignments were routinely confirmed by \\( ^1 \\)H-\\( ^1 \\)H (COSY) and \\( ^1 \\)H-\\( ^{13} \\)C (HMQC) data. MALDI-TOF-MS measurement was performed with a Bruker Daltonics Ultraflex II TOF/TOF mass spectrometer equipped with a nitrogen laser delivering 3-ns laser pulses at 337 nm. 5 mg of sample was dissolved in 100 \\( \\mu \\)l tetrahydrofuran and 50 mg of 2,5-dihydroxybenzoic acid (DHB) as the matrix was dissolved in 200 \\( \\mu \\)l tetrahydrofuran. Sample solution (5 \\( \\mu \\)l) and matrix solution (20 \\( \\mu \\)l) were mixed and 0.5 \\( \\mu \\)l of this mixture was spotted on the target plate and analyzed. The sample was irradiated with\n\n(85%, 0.26 g, 2.24 mmol) in water (30 cm$^3$) was added into it (this is the tungsten catalyst solution). Methyl oleate (2.8) (100 g, 338 mmol) and Adogen 464 (0.45 g, 0.97 mmol) were charged into another 3-neck round bottom flask equipped with a motor stirrer. The methyl oleate mixture was heated to 50 °C and stirred vigorously. The tungsten catalyst solution was added to the methyl oleate mixture followed by deionized water (50 cm$^3$), hydrogen peroxide (65 g, 570 mmol). The temperature of the reaction mixture was kept at 70 °C for 3 hours. The reaction mixture was then poured into a separating funnel, and then saturated NaCl solution (100 cm$^3$) and diethyl ether (100 cm$^3$) were added to the reaction mixture. The aqueous layer was separated from the organic layer and the organic layer was neutralized with saturated sodium hydrogen carbonate solution (50 cm$^3$). The organic layer was again washed with NaCl solution (100 cm$^3$). The organic layer was dried over anhydrous MgSO$_4$ followed by removal of solvent *in vacuo* to yield epoxidised methyl oleate (EMO) (97 g, 311 mmol, 92% yield), which was a colorless liquid. $\\nu_{\\text{max}}$/cm$^{-1}$ 2924, 2855 (C-H) 1740 (C=O) 1170 (C-O) 825 (C-O-C) 723 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 3.60$ (3H, s, CH$_3$O), 3.20-2.80 (2H, m, CH$_2$CHOCHCH$_2$), 2.30 (2H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.67-1.54 (2H, m, O=CCH$_2$CH$_2$CH$_2$), 1.54-1.40 (4H, m, CHOCH$_2$CH$_2$), 1.37-1.15 (22H, m, CH$_2$CH$_2$), 0.87 (3H, t, $J= 7.5$ Hz, CH$_2$CH$_3$) $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 174.1$ (MeOC=O), 56.8-57.1 (CH$_2$CHOCHCH$_2$), 51.2 (CH$_3$O), 33.7 (O=CCH$_2$CH$_2$), 31.8-28.9 (CH$_2$CH$_2$), 27.7 (CHOCH$_2$CH$_2$), 24.8 (O=CCH$_2$CH$_2$CH$_2$), 22.5 (CH$_2$CH$_3$), 13.9 (CH$_2$CH$_3$); $m/z$ (ES$^+$) [M+Na$^+$] Required 335.2562, Found 335.2556\n\n184.108.40.206 Synthesis of Epoxidized Cocoa Butter (ECB, 2.16)\n\nThe experiment was conducted according to the procedure described in section 220.127.116.11. Tungsten powder (1.62 g, 8.8 mmol), hydrogen peroxide (30% w/w, 18 g, 160 mmol), deionized water (6 cm$^3$), H$_3$PO$_4$ (85%, 1 g, 8.67 mmol), deionized water (16 cm$^3$), cocoa butter (2.9) (300 g, 349 mmol), Adogen 464 (2.1 g, 4.52 mmol), deionized water (500 cm$^3$), hydrogen peroxide (96 g, 850 mmol). Epoxidised cocoa butter (ECB, 2.16) (275 g, 324 mmol, 93% yield), pale yellow liquid. $v_{\\text{max}}$/cm$^{-1}$ 2921, 2852 (C-H) 1743 (C=O) 1465 (CH$_2$) 1158 and 1113 (C-O) 820 (C-O-C) 721 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.20-5.10$ (1H, m, CHO) 4.19 (2H, dd, $J= 11.9$ Hz, 4.3 Hz, CH$_2$O), 4.02 (2H, dd, $J= 11.9$ Hz, 5.9 Hz, CH$_2$O), 2.94-2.74 (2H, m, CH$_2$CHOCHCH$_2$), 2.18 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.54-1.44 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.42-1.32 (4H, m, CHOCH$_2$CH$_2$), 1.31-1.08 (72H, m, CH$_2$CH$_2$), 0.76 (9H, t, $J= 7.5$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 172.8$, 172.4 (C=O), 68.9 (HC-O), 61.8, 61.6 (H$_2$C-O), 56.7 (CH$_2$CHOCHCH$_2$), 33.9 (O=CCH$_2$CH$_2$), 29.5-22.7 (CH$_2$CH$_2$), 27.9 (CHOCH$_2$CH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$); $m/z$ (ES$^+$) [M+Na$^+$] Required 899.7680, Found 899.7674\n\n18.104.22.168 Synthesis of Epoxidized Palm Oil (EPO, 2.17)\n\nThe experiment was conducted according to the procedure described in section 22.214.171.124. Tungsten powder (1.6 g, 8.7 mmol), hydrogen peroxide (30% w/w, 18 g, 160 mmol), deionised water (6 cm$^3$), H$_3$PO$_4$ (85%, 1 g, 8.67 mmol), deionized water (16 cm$^3$), palm oil (2.10) (300 g, 350 mmol), Adogen 464 (2 g, 4.31 mmol), deionized water (450 cm$^3$), hydrogen peroxide (90 g, 794 mmol). Epoxidised palm oil (EPO, 2.17) (296 g, 333 mmol, 95% yield), pale yellow liquid. $v_{\\text{max}}$/cm$^{-1}$ 2923, 2854 (C-H) 1742 (C=O) 1464 (CH$_2$) 1158 and 1111 (C-O) 821 (C-O-C) 722 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.28-5.21$ (1H, m, CHO) 4.30 (2H, dd, $J= 11.9$ Hz, 4.2 Hz, CH$_2$O), 4.13 (2H, dd, $J= 11.9$ Hz, 5.9 Hz, CH$_2$O), 3.10-2.80 (4H, m, CH$_2$CHOCHCH$_2$), 2.30 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.65-1.55 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.42 (8H, m, CHOCH$_2$CH$_2$), 1.42-1.20 (64H, m, CH$_2$CH$_2$), 0.89 (9H, t, $J= 7.5$ Hz CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 172.9$, 172.5 (C=O), 68.8 (HC-O), 61.8, 61.5 (H$_2$C-O), 56.5 (CH$_2$CHOCHCH$_2$), 33.7 (O=CCH$_2$CH$_2$), 29.4-22.4 (CH$_2$CH$_2$), 28.9 (CHOCH$_2$CH$_2$), 27.8 (O=CCH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$); $m/z$ (ES$^+$) [M+Na$^+$] Required 913.7467, Found 913.7467\n\n126.96.36.199 Synthesis of Epoxidized Rapeseed Oil (ERO, 2.13)\n\nThe experiment was conducted according to the procedure described in section 188.8.131.52. Tungsten powder (1.2 g, 6.52 mmol), hydrogen peroxide (30% w/w, 16 g, 141 mmol), deionized water (4 cm$^3$), H$_3$PO$_4$ (85%, 0.8 g, 6.94 mmol), deionized water (8 cm$^3$), rapeseed oil (2.11) (200 g, 227 mmol), Adogen 464 (1.6 g, 3.45\n\nmmol), deionized water (320 cm$^3$), hydrogen peroxide (120 g, 1058 mmol). Epoxidised rapeseed oil (ERO, 2.13) (200 g, 211 mmol, 93% yield), a pale yellow liquid. $v_{\\text{max}}$/cm$^{-1}$ 2924, 2854 (C-H) 1742 (C=O) 1464 (CH$_2$) 1155 and 1108 (C-O) 825 (C-O-C) 723 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.30-5.20$ (1H, m, CHO) 4.31 (2H, dd, $J= 11.9$ Hz, 4.2 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.9$ Hz, 6.0 Hz, CH$_2$O), 3.20-3.00 (2H, m, CH$_2$CHOCHCH$_2$CHOCHCH$_2$), 2.97-2.90 (2H, m, CH$_2$CHOCHCH$_2$CHOCHCH$_2$), 2.89-2.82 (4H, m, CH$_2$CHOCHCH$_2$), 2.31 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$CH$_2$), 1.82-1.68 (2H, m, CH$_2$CHOCHCH$_2$CHOCHCH$_2$), 1.66-1.56 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.56-1.42 (12H, m, CHOCH$_2$CH$_2$), 1.40-1.20 (54H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J= 7.5$ Hz, CH$_3$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 172.6$, 172.3 (C=O), 68.8 (HC-O), 61.8, 61.7 (H$_2$C-O), 56.7, 53.7 (CH$_2$CHOCHCH$_2$), 33.8 (O=CCH$_2$CH$_2$), 29.1-22.6 (CH$_2$CH$_2$), 27.7-26.5 (CHOCH$_2$CH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$); $m/z$ (ES$^+$) [M+Na$^+$] Required 969.7365, Found 969.7368\n\n### 184.108.40.206 Synthesis of Epoxidized Soybean Oil (ESO, 2.6)\n\nThe experiment was conducted according to the procedure described in section 220.127.116.11. Tungsten powder (1.8 g, 9.8 mmol), hydrogen peroxide (30% w/w, 24 g, 211 mmol), deionized water (6 cm$^3$), H$_3$PO$_4$ (85%, 1.2 g, 10.4 mmol), deionized water (12 cm$^3$), soybean oil (2.12) (300 g, 341 mmol), Adogen 464 (2.4 g, 5.17 mmol), deionized water (480 cm$^3$), hydrogen peroxide (180 g, 1588 mmol). Epoxidised\n\nsoybean oil (ESO, 2.6) (297 g, 310 mmol, 91% yield), a pale yellow liquid. \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\)\n\n2923, 2854 (C-H) 1741 (C=O) 1464 (CH₂) 1154 (C-O) 823 (C-O-C) 724 (CH₂); \\( ^1 \\)H NMR (400 MHz, CDCl₃): \\( \\delta_H = 5.28-5.20 \\) (1H, m, CHO) 4.30 (2H, dd, \\( J = 11.9 \\) Hz, 4.3Hz, CH₂O), 4.12 (2H, dd, \\( J = 11.9 \\) Hz, 6.0 Hz, CH₂O), 3.16-2.98 (4H, m, CH₂CHOCHCH₂CHOCHCH₂), 2.97-2.88 (4H, m, CH₂CHOCHCH₂CHOCHCH₂), 2.88-2.81 (2H, m, CH₂CHOCHCH₂), 2.30 (6H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.82-1.66 (4H, m, CH₂CHOCHCH₂CHOCHCH₂), 1.66-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.56-1.42 (12H, m, CHOCH₂CH₂), 1.42-1.20 (48H, m, CH₂CH₂), 0.89 (9H, t, \\( J = 7.5 \\) Hz, CH₂CH₃); \\( ^{13} \\)C NMR (100 MHz CDCl₃): \\( \\delta_C = 172.5, 172.1 \\) (C=O), 68.7 (HC-O), 61.8, 61.5 (H₂C-O), 56.5-53.7 (CH₂CHOCHCH₂), 33.7 (O=CCH₂CH₂), 29.3-22.3 (CH₂CH₂), 28.8-22.4 (CHOCH₂CH₂), 24.5 (O=CCH₂CH₂CH₂), 13.6 (CH₂CH₃); \\( m/z \\) (ES⁺) [M+Na⁺] Required 983.7158, Found 983.7158\n\n6.1.2 General Procedure for Oligomerization of Epoxidized Plant Oil without Solvent\n\n18.104.22.168 Oligomerization of epoxidized methyl oleate (2.3) catalyzed by BF₃.Et₂O without solvent as an example\n\nEpoxidized methyl oleate (2.3) (5 g, 16 mmol) was weighed into a round bottom flask and was heated to 20 °C. It was stirred under N₂ atmosphere for 30 minutes before BF₃.Et₂O (0.34 g, 2.4 mmol) was added drop-wise to it. After the addition of BF₃.Et₂O was completed, the reaction temperature was maintained at 20 °C under N₂ atmosphere for 24 hours. Then, the reaction mixture was poured into separation funnel and washed with sodium bicarbonate solution (50 ml). The aqueous layer was separated from the organic layer and CHCl₃ (50 ml) was added to organic layer. The\n\norganic layer was dried over anhydrous MgSO$_4$ and CHCl$_3$ was removed in vacuo to yield a yellowish liquid (4.95 g) $v_{\\text{max}}$/cm$^{-1}$ 3358 (O-H) 2925, 2855 (C-H) 1738 (C=O) 1460 (CH$_2$) 1170 (C-O) 724 (CH$_2$). $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 3.67$ (9H, s, HCO), 3.60-3.20 (6H, m, HCO), 2.31 (6H, t, $J = 7.5$ Hz, O=CCH$_2$CH$_2$), 1.68-1.56 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.20 (72H, m, CH$_2$CH$_2$CH$_2$), 0.9 (9H, t, $J = 7.5$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.8$ (C=O) 74.0, 73.2, 71.6 (C-O), 50.8 (OCH$_3$) 33.6 (O=CCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 31.1, 29.3, 28.9, 22.5 (CH$_2$CH$_2$CH$_2$), 13.7 (CH$_2$CH$_3$) $m/z$ (ES$^+$), [M+Na].Required 977.7991, Found 977.7991\n\n22.214.171.124 Oligomerization of epoxidized cocoa butter (2.16) catalyzed by BF$_3$.Et$_2$O without solvent\n\nThe experiment was conducted according to the procedure described in section 126.96.36.199. Epoxidized cocoa butter (2.16) (5 g, 5.7 mmol), BF$_3$.Et$_2$O (0.13 g, 0.9 mmol); a yellowish viscous liquid (4.9 g) $v_{\\text{max}}$/cm$^{-1}$ 3355 (O-H) 2916, 2849 (C-H) 1739 (C=O) 1466 (CH$_2$) 1164 (C-O) 721 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.28$-5.25 (1H, m, CHO), 4.29 (2H, dd, $J = 11.8$ Hz, 4.0 Hz, CH$_2$O), 4.14 (2H, dd, $J = 11.9$ Hz, 5.9 Hz, CH$_2$O), 3.85-3.25 (2H, m, CHO), 2.35 (6H, t, $J = 7.5$ Hz, O=CCH$_2$CH$_2$), 1.65-1.56 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.45-1.15 (72H, m, CH$_2$CH$_2$), 0.9 (9H, t, $J =$\n\n7.5 Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_{\\text{C}} = 173.3$, 172.8 (C=O) 72.5 (HC-O) 68.8 (HC-O), 61.9, 62.0 (H$_2$C-O), 33.9 (O=CCH$_2$), 24.7 (O=CCH$_2$CH$_2$CH$_2$), 29.6, 23.8 (CH$_3$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)\n\n188.8.131.52 Oligomerization of epoxidized palm oil (2.17) catalyzed by BF$_3$.Et$_2$O without solvent\n\nThe experiment was conducted according to the procedure described in section 184.108.40.206. Epoxidized palm oil (2.17) (5 g, 5.6 mmol), BF$_3$.Et$_2$O (0.23 g, 1.65 mmol). The reactant mixture gel-up / polymerized as soon as BF$_3$.Et$_2$O was added to it. The polymerized product was sticky and rubbery. $v_{\\text{max}}/\\text{cm}^{-1}$ 3326 (O-H) 2916, 2849 (C-H) 1740 (C=O) 1462 (CH$_2$) 1160 (C-O) 720 (CH$_2$)\n\n220.127.116.11 Oligomerization of epoxidized rapeseed oil (2.13) catalyzed by BF$_3$.Et$_2$O without solvent\n\nThe experiment was conducted according to the procedure described in section 18.104.22.168. Epoxidized rapeseed oil (2.13) (5 g, 5.3 mmol), BF$_3$.Et$_2$O (0.45 g, 3.17 mmol). The reactant mixture gel-up / polymerized as soon as BF$_3$.Et$_2$O was added to it. The polymerized product was sticky and rubbery. $v_{\\text{max}}/\\text{cm}^{-1}$ 3348 (O-H) 2920, 2853 (C-H) 1741 (C=O) 1463 (CH$_2$) 1165 (C-O) 721 (CH$_2$)\n\n22.214.171.124 Oligomerization of epoxidized soybean oil (2.6) catalyzed by BF$_3$.Et$_2$O without solvent\n\nThe experiment was conducted according to the procedure described in section 126.96.36.199. Epoxidized soybean oil (2.6) (5 g, 5.2 mmol), BF$_3$.Et$_2$O (0.55 g, 3.9 mmol). The reactant mixture gel-up / polymerized as soon as BF$_3$.Et$_2$O was added to it. The\n\npolymerized product was sticky and rubbery. \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3334 (O-H) 2922, 2856 (C-H) 1738 (C=O) 1460 (CH\\(_2\\)) 1171 (C-O) 723 (CH\\(_2\\))\n\n188.8.131.52 Oligomerization of euphorbia oil (2.18) catalyzed by BF\\(_3\\).Et\\(_2\\)O without solvent\n\nThe experiment was conducted according to the procedure described in section 184.108.40.206. Euphorbia oil (2.18) (5 g, 5.5 mmol), BF\\(_3\\).Et\\(_2\\)O (0.23 g, 1.65 mmol). The reactant mixture gel-up / polymerized as soon as BF\\(_3\\).Et\\(_2\\)O was added to it. The polymerized product was sticky and rubbery. \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3340 (O-H) 2924, 2855 (C-H) 1742 (C=O) 1458 (CH\\(_2\\)) 1160 (C-O) 736 (CH\\(_2\\))\n\n6.1.3 General Procedure for Oligomerization of Epoxidized Plant Oil with Solvent\n\n220.127.116.11 Oligomerization of epoxidized methyl oleate (2.3) catalyzed by BF\\(_3\\).Et\\(_2\\)O with solvent as an example\n\nEpoxidized methyl oleate (2.3) (100 g, 320 mmol) was weighed into a round bottom flask and hexane (200 ml) was added to it. The reactants mixture was stirred and heated at 20 °C under N\\(_2\\) atmosphere for 30 minutes before BF\\(_3\\).Et\\(_2\\)O (2.3 g, 16 mmol) was added drop-wise to (2.3). After the addition of BF\\(_3\\).Et\\(_2\\)O was completed, the reaction temperature was maintained at 20 °C for another 24 hours. Then, the reaction mixture was poured into separation funnel and washed with sodium bicarbonate solution (250 ml). The aqueous layer was separated from the organic layer and CHCl\\(_3\\) (500 ml) was added to organic layer. The organic layer was dried over anhydrous MgSO\\(_4\\) and CHCl\\(_3\\) was removed in vacuo to yield a yellowish liquid\n\n(2.22) (95.24 g); \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3350 (O-H) 2922, 2853 (C-H) 1739 (C=O) 1459 (CH₂) 1169 (C-O) 723 (CH₂) \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 3.66 \\) (9H, s, HCO), 3.60-3.05 (6H, m, HCO), 2.30 (6H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.68-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.55-1.20 (72H, m, CH₂CH₂CH₂), 0.87 (9H, t, \\( J = 7.5 \\) Hz, CH₂CH₃); \\( ^{13} \\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 173.9 \\) (C=O) 74.1, 73.4, 71.7 (C-O), 58.8 (OCH₃) 33.6 (O=CCH₂), 24.5 (O=CCH₂CH₂CH₂), 29.3, 28.9, 22.6 (CH₂CH₂CH₂), 13.7 (CH₂CH₃) \\( m/z \\) (ES⁺), [M+Na⁺], Required 977.7991, Found 977.7989\n\n18.104.22.168 Oligomerization of epoxidized cocoa butter (2.16) catalyzed by BF₃.Et₂O with solvent\n\nThe experiment was conducted according to the procedure described in section 22.214.171.124. Epoxidized cocoa butter (2.16) (50 g, 57 mmol), hexane (80 ml), BF₃.Et₂O (0.81 g, 5.7 mmol), a yellowish liquid (2.23, 49.3 g); \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3360 (O-H) 2918, 2850 (C-H) 1740 (C=O) 1468 (CH₂) 1165 (C-O) 722 (CH₂) \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.23-5.15 \\) (1H, m, CHO), 4.24 (2H, dd, \\( J = 11.7 \\) Hz, 3.7 Hz, CH₂O), 4.07 (2H, dd, \\( J = 11.9 \\) Hz, 6.0 Hz, CH₂O), 3.60-3.10 (2H, m, HCO), 2.26 (6H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.62-1.47 (6H, m, O=CCH₂CH₂CH₂), 1.45-1.10 (72H, m, CH₂CH₂), 0.82 (9H, t, \\( J = 7.5 \\) Hz, CH₂CH₃); \\( ^{13} \\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = \\)\n\n173.1, 172.6 (C=O) 72.5 (HC-O) 68.7 (HC-O), 61.9, 61.7 (H₂C-O), 33.8 (O=CCH₂), 24.6 (O=CCH₂CH₂CH₂), 29.6, 22.5 (CH₂CH₂CH₂), 13.8 (CH₂CH₃)\n\n126.96.36.199 Oligomerization of epoxidized palm oil (2.17) catalyzed by BF₃.Et₂O with solvent\n\nThe experiment was conducted according to the procedure described in section 188.8.131.52. Epoxidized palm oil (2.17) (100 g, 112 mmol), hexane (600 ml), BF₃.Et₂O (1.1g, 7.8 mmol), a yellowish liquid (2.24, 98.4 g); \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3348 (O-H) 2921, 2851 (C-H) 1742 (C=O) 1459 (CH₂) 1158 (C-O) 722 (CH₂) \\( ^1\\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.22-5.13 \\) (1H, m, CHO), 4.21 (2H, dd, \\( J = 11.9 \\) Hz, 4.1 Hz, CH₂O), 4.07 (2H, dd, \\( J = 11.8 \\) Hz, 5.9 Hz, CH₂O), 3.80-3.00 (4H, m, HCO), 2.23 (6H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.60-1.47 (6H, m, O=CCH₂CH₂CH₂), 1.35-1.10 (64H, m, CH₂CH₂), 0.79 (9H, t, \\( J = 7.5 \\) Hz, CH₂CH₃); \\( ^{13}\\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 173.2, 172.5 \\) (C=O) 72.4 (HC-O) 68.8 (HC-O), 61.8, 61.6 (H₂C-O), 33.9 (O=CCH₂), 24.7 (O=CCH₂CH₂CH₂), 29.5, 22.7 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)\n\n184.108.40.206 Oligomerization of epoxidized rapeseed oil (2.17) catalyzed by BF₃.Et₂O with solvent\n\nThe experiment was conducted according to the procedure described in section 220.127.116.11. Epoxidized rapeseed oil (2.13) (50 g, 53 mmol), dry dichloromethane (500 ml), BF₃.Et₂O (0.60 g, 4.24 mmol), a yellowish liquid (2.25, 49.5 g); \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3355 (O-H) 2920, 2851 (C-H) 1728 (C=O) 1459 (CH₂) 1072 (C-O) 752 (CH₂) \\( ^1\\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.35-5.21 \\) (1H, m, CHO), 4.30 (2H, dd, \\( J = 11.9 \\) Hz, 4.0 Hz, CH₂O), 4.14 (2H, dd, \\( J = 11.6 \\) Hz, 5.6 Hz, CH₂O), 3.80-3.05 (8H, m, HCO), 2.35 (6H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.70-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.42-1.12 (54H, m,\n\nCH\\textsubscript{2}CH\\textsubscript{2}), 0.88 (9H, t, $J = 7.5$ Hz, CH\\textsubscript{2}CH\\textsubscript{3}); $^{13}$C NMR (100 MHz CDCl\\textsubscript{3}): $\\delta_C =$ 173.1, 172.7 (C=O), 68.8 (HC-O), 65.6 (HC-O), 61.2, 61.8 (H\\textsubscript{2}C-O), 33.8 (O=CCH\\textsubscript{2}), 24.6 (O=CCH\\textsubscript{2}CH\\textsubscript{2}CH\\textsubscript{2}), 31.1, 29.4, 22.6 (CH\\textsubscript{3}CH\\textsubscript{2}CH\\textsubscript{2}), 13.8 (CH\\textsubscript{2}CH\\textsubscript{3})\n\n18.104.22.168 Oligomerization of epoxidized soybean oil (2.6) catalyzed by BF\\textsubscript{3}.Et\\textsubscript{2}O with solvent\n\nThe experiment was conducted according to the procedure described in section 22.214.171.124. Epoxidized soybean oil (2.6) (50 g, 53 mmol), dry dichloromethane (500 ml), BF\\textsubscript{3}.Et\\textsubscript{2}O (1.01 g, 7.1 mmol), a yellowish liquid (2.26, 49 g) $v_{\\text{max}}$/cm\\textsuperscript{-1} 3360 (O-H) 2922, 2853 (C-H) 1740 (C=O) 1458 (CH\\textsubscript{2}) 1075 (C-O) 754 (CH\\textsubscript{2}) $^1$H NMR (400 MHz, CDCl\\textsubscript{3}): $\\delta_H =$ 5.29-5.20 (1H, m, CHO), 4.30 (2H, dd, $J = 11.7$ Hz, 3.9 Hz, CH\\textsubscript{2}O), 4.14 (2H, dd, $J = 11.3$ Hz, 5.6 Hz, CH\\textsubscript{2}O), 3.90-3.05 (10H, m, HCO), 2.31 (6H, t, $J = 7.5$ Hz, O=CCH\\textsubscript{2}CH\\textsubscript{2}), 1.70-1.51 (6H, m, O=CCH\\textsubscript{2}CH\\textsubscript{2}CH\\textsubscript{2}), 1.50-1.20 (48H, m, CH\\textsubscript{2}CH\\textsubscript{2}), 0.88 (9H, t, $J = 7.5$ Hz, CH\\textsubscript{2}CH\\textsubscript{3}); $^{13}$C NMR (100 MHz CDCl\\textsubscript{3}): $\\delta_C =$ 172.9, 172.5 (C=O), 73.4 (HC-O), 68.7 (HC-O), 61.7, 61.9 (H\\textsubscript{2}C-O), 33.7 (O=CCH\\textsubscript{2}), 24.5 (O=CCH\\textsubscript{2}CH\\textsubscript{2}CH\\textsubscript{2}), 29.1, 22.4, 15.5 (CH\\textsubscript{2}CH\\textsubscript{2}CH\\textsubscript{2}), 13.7 (CH\\textsubscript{2}CH\\textsubscript{3})\n\n126.96.36.199 Oligomerization of euphorbia oil (2.18) catalyzed by BF\\textsubscript{3}.Et\\textsubscript{2}O with solvent\n\nThe experiment was conducted according to the procedure described in section 188.8.131.52. Euphorbia oil (2.18) (70 g, 77 mmol), dry dichloromethane (140 ml), BF\\textsubscript{3}.Et\\textsubscript{2}O (0.7 g, 5.0 mmol), a yellowish liquid (2.27, 50 g); $v_{\\text{max}}$/cm\\textsuperscript{-1} 3481 (O-H) 2924, 2854 (C-H) 1742 (C=O) 1464 (CH\\textsubscript{2}) 1161 (C-O) 756 (CH\\textsubscript{2}); $^1$H NMR (400 MHz, CDCl\\textsubscript{3}): $\\delta_H =$ 5.58-5.29 (6H, m, CH=CH), 5.28-5.23 (1H, m, CHO), 4.29 (2H,\n\ndd, $J = 11.8$ Hz, 3.9 Hz, CH$_2$O), 4.14 (2H, dd, $J = 11.7$ Hz, 5.5 Hz, CH$_2$O), 3.75 – 3.10 (4H, m, HCO), 2.30 (6H, t, $J = 7.5$ Hz, O=CCH$_2$CH$_2$), 2.10-1.95 (12H, m, CH$_2$CH=CH) 1.67-1.54 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.50-1.20 (50H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J = 6.9$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.2$, 172.8 (C=O), 129.7, 125.5 (HC=CH), 74.6, 73.7 (HC-O), 68.8 (HC-O), 62.0, 61.9 (H$_2$C-O), 33.9 (O=CCH$_2$), 27.1 (CH$_2$CH=CH), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 29.4, 22.7 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)\n\n### 6.1.4 Synthesis of dihydroxy methyl stearate (2.32) (DHMS)\n\nEpoxidized methyl oleate (2.3) (57.6 g, 184 mmol) was weighed into a round bottom flask. Deionized water (50 ml) and H$_3$PO$_4$ (1 g, 10 mmol) were added to (2.3). The mixture was stirred and heated to 80 °C for 12 hours. The reaction mixture was poured into a separating funnel and was washed with NaCl solution (100 ml), NaHCO$_3$ (100 ml) and NaCl (100 ml). The aqueous layer was discarded and CHCl$_3$ (100 ml) was added to the organic layer. The organic layer was dried over anhydrous MgSO$_4$ and CHCl$_3$ was removed in vacuo to yield a colorless liquid. The colorless liquid was dissolved in hot hexane (60 °C, 60 ml) and the mixture was left to cool to room temperature. White precipitate was formed from the mixture upon cooling and was filtered and washed with hexane to yield white solid (2.32, 33.0 g, 100 mmol, 54% yield). $\\nu_{\\text{max}}/\\text{cm}^{-1}$ 3342 (O-H) 2912, 2846 (C-H) 1742 (C=O) 1467 (CH$_2$) 1166, 1038 (C-O) 720 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 3.67$ (3H, s, HCO), 3.46-3.35 (2H, m, HCO), 2.31 (2H, t, $J = 7.5$ Hz O=CCH$_2$CH$_2$), 1.68-1.56 (2H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.39 (4H, m, HOCH$_2$), 1.37-1.20 (20H, m, CH$_2$CH$_2$CH$_2$), 0.88 (3H, t, $J = 7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 174.4$ (C=O) 74.3 (C-O), 51.3 (OCH$_3$) 33.8 (O=CCH$_2$), 33.2 (HOCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$),\n\n31.3, 29.4, 22.9 (CH₂CH₂CH₂), 13.9 (CH₂CH₃); \\( m/z \\) (ES⁺) [M+Na⁺] Required 353.2662, Found 353.2662; Melting point: 65-67 °C (literature\\(^{118}\\) 67-68 °C).\n\n\\[ \\text{HO} \\quad \\text{OH} \\quad \\text{CO}_2\\text{Me} \\quad (2.32) \\]\n\n### 6.1.5 General Procedure for Ring Opening of Epoxidized Plant Oil with Polyhydric Alcohol\n\n#### 184.108.40.206 Ring opening of epoxidized methyl oleate (2.3) with ethylene glycol as an example\n\nEthylene glycol (1.5 g, 24 mmol) was stirred and heated to 60 °C in a round bottom flask for 30 minutes before BF₃.Et₂O (0.34 g, 2.4 mmol) was added to it. The mixture was stirred and heated at 60 °C for another 30 minutes. Epoxidized methyl oleate (2.3) (5 g, 16 mmol) was stirred and heated to 60 °C in another round bottom flask. The mixture of ethylene glycol / BF₃.Et₂O was added drop-wise to (2.3). After the addition was completed, the reaction temperature was maintained at 60 °C for 24 hours. Then, the reaction mixture was poured into separation funnel and washed with sodium bicarbonate solution (50 ml). The aqueous layer was separated from the organic layer and CHCl₃ (50 ml) was added to organic layer. The organic layer was dried over anhydrous MgSO₄ and CHCl₃ was removed *in vacuo* to yield a yellowish liquid (2.34, 5.1 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3431 (O-H) 2924, 2854 (C-H) 1738 (C=O) 1457 (CH₂) 1076 (C-O) 723 (CH₂) \\( ^1\\text{H} \\) NMR (400 MHz, CDCl₃): \\( \\delta_{\\text{H}} = 4.19 \\) (2H, t, \\( J = 7.5 \\) Hz, H₂CO), 3.80 (2H, t, \\( J = 7.5 \\) Hz, H₂CO), 3.68 (6H, s, H₃CO), 3.60-3.10 (4H, m, HCO), 2.32 (4H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.70-1.56 (4H, m, O=CCH₂CH₂CH₂), 1.55-1.20 (48H, m, CH₂CH₂CH₂), 0.87 (6H, t, \\( J = 7.5 \\) Hz, CH₂CH₃) \\( ^{13}\\text{C} \\) NMR (100 MHz\n\nCDCl$_3$): $\\delta_C = 174.1$ (C=O), 72.5, 71.5 (C-O), 65.6 (H$_2$C-O), 60.6 (H$_2$C-O), 51.2 (H$_3$C-O) 33.8 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 31.4, 29.3, 28.9, 22.6 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$); $m/z$ (ES$^+$), [M+Na$^+$], Required 709.5589 Found 709.5589\n\n\n\n### 220.127.116.11 Ring opening of epoxidized cocoa butter (2.16) with ethylene glycol\n\nThe experiment was conducted according to the procedure described in section 18.104.22.168. Ethylene glycol (0.56 g, 9 mmol), BF$_3$.Et$_2$O (0.13 g, 0.9 mmol), epoxidized cocoa butter (2.16) (5 g, 6 mmol), a viscous yellowish liquid (4.95 g) $v_{\\text{max}}$/cm$^{-1}$ 3380 (O-H) 2916, 2850 (C-H) 1742 (C=O) 1467 (CH$_2$) 1162 (C-O) 719 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.21-5.11$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.9$ Hz, 4.2 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.8$ Hz, 5.9 Hz, CH$_2$O), 3.90-3.25 (4H, m, HCO), 2.23 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.60-1.45 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.42-0.95 (72H, m, CH$_2$CH$_2$), 0.79 (9H, t, $J = 7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.1$, 172.7 (C=O) 72.9, 72.6, 71.8 (HC-O) 68.5 (HC-O), 61.8, 61.9 (H$_2$C-O), 33.9 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 29.5, 22.5 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)\n\n### 22.214.171.124 Ring opening of epoxidized palm oil (2.17) with ethylene glycol\n\nThe experiment was conducted according to the procedure described in section 126.96.36.199. Ethylene glycol (1.05 g, 17 mmol), BF$_3$.Et$_2$O (0.23 g, 1.65 mmol), epoxidized palm oil (2.17) (5 g, 5.6 mmol), a viscous yellowish liquid (2.35, 4.9 g). $v_{\\text{max}}$/cm$^{-1}$ 3450 (O-H) 2922, 2854 (C-H) 1742 (C=O) 1465 (CH$_2$) 1161, 1096 (C-O)\n\n755 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.30-5.20$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.7$ Hz, 3.6 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.8$ Hz, 5.8 Hz, CH$_2$O), 3.90-3.25 (8H, m, HCO), 2.31 (6H, t, $J= 7.0$ Hz, O=CCH$_2$CH$_2$), 1.67-1.55 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.54-1.15 (64H, m, CH$_2$CH$_2$), 0.86 (9H, t, $J= 7.5$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.2$, 172.8 (C=O) 72.6, 72.2, 71.6, 68.7, (HC-O), 62.0, 61.8 (H$_2$C-O), 33.8 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 29.5, 22.6 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)\n\n188.8.131.52 Ring opening of epoxidized rapeseed oil (2.13) with ethylene glycol\n\nThe experiment was conducted according to the procedure described in section 184.108.40.206. Ethylene glycol (2.79 g, 45 mmol), BF$_3$.Et$_2$O (0.64 g, 4.5 mmol), epoxidized rapeseed oil (2.13) (5 g, 5.3 mmol), a viscous yellowish liquid (5.5 g) $v_{\\text{max}}$/cm$^{-1}$ 3430 (O-H) 2925, 2856 (C-H) 1739 (C=O) 1463 (CH$_2$) 1162, 1097 (C-O) 754 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.30-5.21$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.9$ Hz, 4.0 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.6$ Hz, 5.7 Hz, CH$_2$O), 3.90-3.30 (8H, m, HCO), 2.33 (6H, t, $J= 7.0$ Hz, O=CCH$_2$CH$_2$), 1.70-1.55 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.52-1.18 (54H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J= 7.0$Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.0$, 172.3 (C=O) 72.7, 69.8, 68.7, 60.8 (HC-O), 62.2, 61.8 (H$_2$C-O), 33.9 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 31.3, 29.4, 28.8, 22.7 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)\n\n220.127.116.11 Ring opening of epoxidized soybean oil (2.6) with ethylene glycol\n\nThe experiment was conducted according to the procedure described in section 18.104.22.168. Ethylene glycol (4.65 g, 75 mmol), BF$_3$.Et$_2$O (1.06 g, 7.5 mmol), epoxidized soybean oil (2.6) (10 g, 10.4 mmol). The reaction mixture polymerized overnight.\n\n22.214.171.124 Ring opening of epoxidized methyl oleate (2.3) with glycerol\n\nThe experiment was conducted according to the procedure described in section 126.96.36.199. Glycerol (9 g, 98 mmol), BF₃.Et₂O (1.2 g, 8.5 mmol), epoxidized methyl oleate (2.3) (20 g, 64 mmol), a yellowish liquid (2.36, 17.3 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3460 (O-H) 2924, 2854 (C-H) 1739 (C=O) 1458 (CH₂) 1170, 1075 (C-O) 723 (CH₂); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 3.67 \\) (9H, s, HCO), 3.57-3.10 (11H, m, HCO), 2.28 (6H, t, \\( J = 7.0 \\) Hz, O=CCH₂CH₂), 1.66-1.51 (6H, m, O=CCH₂CH₂CH₂), 1.49-1.15 (72H, m, CH₂CH₂CH₂), 0.85 (9H, t, \\( J = 7.0 \\) Hz, CH₂CH₃); \\( ^{13} \\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 174.3 \\) (C=O) 74.2, 73.2, 71.5, 65.1, 63.4, 61.4 (C-O), 51.2 (OCH₃) 33.8 (O=CCH₂), 24.7 (O=CCH₂CH₂CH₂), 31.3, 29.4, 22.6 (CH₂CH₂CH₂), 13.8 (CH₂CH₃); \\( m/z \\) (ES⁺), [M+Na⁺] Required 1051.8359 Found 1051.8359\n\n\n\n188.8.131.52 Ring opening of epoxidized cocoa butter (2.16) with glycerol\n\nThe experiment was conducted according to the procedure described in section 184.108.40.206. Glycerol (0.83 g, 9 mmol), BF₃.Et₂O (0.13 g, 0.9 mmol), epoxidized cocoa\n\nbutter (2.16) (5 g, 6 mmol), a viscous yellowish liquid (5 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3360 (O-H) 2920, 2851 (C-H) 1742 (C=O) 1466 (CH₂) 1163 (C-O) 721 (CH₂); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.29-5.22 \\) (1H, m, CHO), 4.30 (2H, dd, \\( J = 11.8 \\) Hz, 3.6 Hz, CH₂O), 4.14 (2H, dd, \\( J = 11.9 \\) Hz, 5.9 Hz, CH₂O), 3.9 – 3.2 (4H, m, HCO), 2.32 (6H, t, \\( J = 7 \\) Hz O=CCH₂CH₂), 1.55-1.67 (6H, m, O=CCH₂CH₂CH₂), 1.20-1.54 (72H, m, CH₂CH₂), 0.9 (9H, t, \\( J = 7.5 \\) Hz, CH₂CH₃); \\( ^{13} \\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 174.3 \\) (C=O) 74.2, 72.8, 61.4 (C-O), 51.2 (OCH₃) 33.8 (O=CCH₂), 24.7 (O=CCH₂CH₂CH₂), 31.3, 29.4, 22.6 (CH₂CH₂CH₂), 13.8 (CH₂CH₃).\n\n**220.127.116.11 Ring opening of epoxidized palm oil (2.17) with glycerol**\n\nThe experiment was conducted according to the procedure described in section 18.104.22.168. Glycerol (1.56 g, 17 mmol), BF₃.Et₂O (0.23 g, 1.65 mmol), epoxidized palm oil (2.17) (5 g, 5.6 mmol), the reaction mixture polymerized 10 minutes later. \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3295 (O-H) 2923, 2851 (C-H) 1742 (C=O) 1415 (CH₂) 1033 (C-O).\n\n**22.214.171.124 Ring opening of epoxidized rapeseed oil (2.13) with glycerol**\n\nThe experiment was conducted according to the procedure described in section 126.96.36.199. Glycerol (4.14 g, 45 mmol), BF₃.Et₂O (0.64 g, 4.5 mmol), epoxidized rapeseed oil (2.13) (5 g, 5.3 mmol), the reaction mixture polymerized 5 minutes later. \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3440 (O-H) 2925, 2855 (C-H) 1738 (C=O) 1464 (CH₂) 1163 (C-O) 753 (CH₂).\n\n**188.8.131.52 Ring opening of epoxidized soybean oil (2.6) with glycerol**\n\nThe experiment was conducted according to the procedure described in section 184.108.40.206. Glycerol (17.3 g, 0.19 mol), BF₃.Et₂O (2.7 g, 18.8 mmol), epoxidized\n\nsoybean oil (2.6) (25 g, 26.4 mmol), the reaction mixture polymerized 5 minutes later.\n\n\\[ \\nu_{\\text{max}}/\\text{cm}^{-1} \\quad 3332 \\ (\\text{O-H}) \\quad 2924, \\ 2855 \\ (\\text{C-H}) \\quad 1739 \\ (\\text{C=O}) \\quad 1457 \\ (\\text{CH}_2) \\quad 1161, \\ 1041 \\ (\\text{C-O}) \\quad 755 \\ (\\text{CH}_2). \\]\n\n### 220.127.116.11 Ring opening of epoxidized methyl oleate (2.3) with dihydroxy methyl stearate (2.32) (DHMS)\n\nThe experiment was conducted according to the procedure described in section 18.104.22.168. DHMS (7.9 g, 24 mmol), BF$_3$.Et$_2$O (0.34 g, 2.4 mmol), epoxidized methyl oleate (2.3) (5 g, 16 mmol), a yellowish liquid (2.37, 12.5 g) \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3354 (O-H) 2923, 2853 (C-H) 1736 (C=O) 1458 (CH$_2$) 1169 (C-O) 723 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): \\( \\delta_H = \\) 3.67 (6H, s, HCO), 3.60-3.25 (4H, m, HCO), 2.30 (4H, t, \\( J= 7.0 \\) Hz, O=CCH$_2$CH$_2$), 1.68-1.56 (4H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.20 (48H, m, CH$_2$CH$_2$CH$_2$), 0.88 (6H, t, \\( J= 7.0 \\) Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): \\( \\delta_C = \\) 174.1 (C=O) 74.3, 71.5 (C-O), 51.1 (OCH$_3$) 33.8 (O=CCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 31.2, 29.2, 22.6 (CH$_2$CH$_2$CH$_2$), 13.7 (CH$_2$CH$_3$); \\( m/z \\) (ES$^+$) [M+Na$^+$] Required 665.5327, Found 665.5327\n\n\n\n### 22.214.171.124 Ring opening of epoxidized cocoa butter (2.16) with dihydroxy methyl stearate (2.32) (DHMS)\n\nThe experiment was conducted according to the procedure described in section 126.96.36.199. DHMS (2.97 g, 9 mmol), BF$_3$.Et$_2$O (0.13 g, 0.9 mmol), epoxidized cocoa\n\nbutter (2.16) (5 g, 6 mmol), a yellowish liquid (7.1 g); \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3345 (O-H) 2921, 2852 (C-H) 1740 (C=O) 1459 (CH₂) 1163 (C-O) 722 (CH₂); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.30-5.22 \\) (2H, m, CHO), 4.31 (2H, dd, \\( J = 11.8 \\) Hz, 4.0 Hz, CH₂O), 4.14 (2H, dd, \\( J = 11.7 \\) Hz, 5.8 Hz, CH₂O), 3.67 (3H, s, HCO), 3.60-3.25 (4H, m, HCO), 2.30 (14H, t, \\( J = 7.0 \\) Hz, O=CCH₂CH₂), 1.66-1.55 (14H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (176H, m, CH₂CH₂), 0.9 (21H, t, \\( J = 7.0 \\) Hz, CH₂CH₃);\n\n\\( ^{13} \\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 174.1 \\) (C=O) 74.3, 72.1 (C-O), 68.7 (OCH), 61.9, 61.7 (CH₂O) 51.1 (OCH₃) 33.8 (O=CCH₂), 24.5 (O=CCH₂CH₂CH₂), 31.2, 29.2, 22.5 (CH₂CH₂CH₂), 13.8 (CH₂CH₃)\n\n### 188.8.131.52 Ring opening of epoxidized palm oil (2.17) with dihydroxy methyl stearate (2.32) (DHMS)\n\nThe experiment was conducted according to the procedure described in section 184.108.40.206. DHMS (5.45 g, 16.5 mmol), BF₃.Et₂O (0.23 g, 1.65 mmol), epoxidized palm oil (2.17) (5 g, 5.6 mmol), a yellowish liquid (2.38, 10.7 g); \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3438 (O-H) 2921, 2852 (C-H) 1736 (C=O) 1459 (CH₂) 1166 (C-O) 722 (CH₂); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.39-5.23 \\) (2H, m, CHO), 4.30 (2H, dd, \\( J = 11.8 \\) Hz, 3.6 Hz, CH₂O), 4.15 (2H, dd, \\( J = 11.7 \\) Hz, 5.8 Hz, CH₂O), 3.66 (3H, s, HCO), 3.60-3.26 (8H, m, HCO), 2.30 (18H, t, \\( J = 7.0 \\) Hz, O=CCH₂CH₂), 1.68-1.56 (18H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (144H, m, CH₂CH₂), 0.87 (18H, t, \\( J = 7.5 \\) Hz, CH₂CH₃);\n\n\\( ^{13} \\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 173.7 \\) (C=O) 74.3, 72.1 (C-O), 68.8 (OCH), 62.0, 61.8 (CH₂O) 51.2 (OCH₃) 33.8 (O=CCH₂), 24.6 (O=CCH₂CH₂CH₂), 29.5, 29.1, 22.6 (CH₂CH₂CH₂), 13.8 (CH₂CH₃)\n\n220.127.116.11 Ring opening of epoxidized rapeseed oil (2.13) with dihydroxy methyl stearate (2.32) (DHMS)\n\nThe experiment was conducted according to the procedure described in section 18.104.22.168. DHMS (14.9 g, 45 mmol), BF$_3$.Et$_2$O (0.64 g, 4.5 mmol), epoxidized rapeseed oil (2.13) (5 g, 5.3 mmol), a yellowish liquid (18.7 g), $v_{\\text{max}}$/cm$^{-1}$ 3440 (O-H) 2922, 2853 (C-H) 1735 (C=O) 1459 (CH$_2$) 1168 (C-O) 723 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.29-5.22$ (1H, m, CHO), 4.31 (2H, dd, $J= 11.6$ Hz, 4.0 Hz, CH$_2$O), 4.15 (2H, dd, $J= 11.7$ Hz, 5.7 Hz, CH$_2$O), 3.64 (3H, s, HCO), 3.62-3.20 (4H, m, HCO), 2.31 (8H, t, $J= 7.0$ Hz, O=CCH$_2$CH$_2$), 1.72-1.56 (8H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.18 (92H, m, CH$_2$CH$_2$), 0.88 (12H, t, $J= 6.5$Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 174.3$ (C=O) 74.4, 72.2 (C-O), 68.6 (OCH), 62.2, 61.8 (CH$_2$O) 51.2 (OCH$_3$) 33.8 (O=CCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 31.2, 29.3, 28.9, 22.6 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$).\n\n22.214.171.124 Ring opening of epoxidized soybean oil (2.6) with dihydroxy methyl stearate (2.32) (DHMS)\n\nThe experiment was conducted according to the procedure described in section 126.96.36.199. DHMS (12.4 g, 37 mmol), BF$_3$.Et$_2$O (0.45 g, 3.8 mmol), epoxidized soybean oil (2.6) (5 g, 5.2 mmol), a yellowish liquid (15.7 g) $v_{\\text{max}}$/cm$^{-1}$ 3354 (O-H) 2923, 2853 (C-H) 1736 (C=O) 1458 (CH$_2$) 1169 (C-O) 723 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.27-5.22$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.9$ Hz, 3.9 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.8$ Hz, 5.7 Hz, CH$_2$O), 3.66 (3H, s, HCO), 3.62-3.20 (4H, m, HCO), 2.30 (8H, t, $J= 7.0$ Hz, O=CCH$_2$CH$_2$), 1.68-1.55 (8H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.20 (88H, m, CH$_2$CH$_2$), 0.86 (12H, t, $J= 7.0$ Hz, CH$_2$CH$_3$);\n\n$^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 174.1$ (C=O) 74.3, 72.1, 61.3 (C-O), 68.7 (OCH), 62.2, 61.8 (CH$_2$O) 51.1 (OCH$_3$) 33.8 (O=CCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 29.3, 28.9, 22.5 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)\n\n### 188.8.131.52 Ring opening of epoxidized methyl oleate (2.3) with glucose\n\nThe experiment was conducted according to the procedure described in section 184.108.40.206. Glucose (4.32 g, 24 mmol), dry DMSO (10 ml), BF$_3$.Et$_2$O (0.34 g, 2.4 mmol), epoxidized methyl oleate (2.3) (5 g, 16 mmol), a white solid (4.92 g)\n\n$v_{\\text{max}}/\\text{cm}^{-1}$ 3349 (O-H) 2925, 2853 (C-H) 1740 (C=O) 1467 (CH$_2$) 1168 (C-O) 721 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 3.67$ (3H, s, HCO), 3.43-3.37 (2H, m, HCO), 2.31 (2H, t, $J= 7.0$ Hz, O=CCH$_2$CH$_2$), 1.68-1.54 (2H, m, O=CCH$_2$CH$_2$CH$_2$), 1.53-1.39 (4H, m, HOCCCH$_2$), 1.38-1.19 (20H, m, CH$_2$CH$_2$CH$_2$), 0.87 (3H, t, $J= 7.0$ Hz, CH$_2$CH$_3$), $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 174.3$ (C=O) 74.2 (C-O), 51.2 (OCH$_3$) 33.7 (O=CCH$_2$), 33.2 (HOCCCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 29.3, 22.6 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$); $m/z$ (ES$^+$) [M+Na$^+$] Required 353.2662, Found 353.2664; Melting point: 65-67 °C (literature$^{118}$ 67-68 °C).\n\n### 220.127.116.11 Ring opening of epoxidized cocoa butter (2.16) with glucose\n\nThe experiment was conducted according to the procedure described in section 18.104.22.168. Glucose (Glu) (1.62 g, 9 mmol), dry DMSO (5 ml), BF$_3$.Et$_2$O (0.13 g, 0.9 mmol), epoxidized cocoa butter (ECB) (5 g, 6 mmol), a yellowish liquid (4.1 g),\n\n$v_{\\text{max}}/\\text{cm}^{-1}$ 2916, 2850 (C-H) 1739 (C=O) 1470 (CH$_2$) 1172 (C-O) 757 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.30-5.22$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.9$ Hz, 4.3 Hz, CH$_2$O), 4.15 (2H, dd, $J= 11.8$ Hz, 5.8 Hz, CH$_2$O), 3.52-3.36 (2H, m, HCO),\n\n2.33 (6H, t, $J=7.6$ Hz, O=CCH$_2$CH$_2$), 1.68-1.53 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.52-1.19 (76H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J=7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.6$, 172.6 (C=O) 74.1 (HC-O), 68.8 (HC-O), 61.9, 61.8 (H$_2$C-O), 33.7 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 29.4, 22.5 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)\n\n**22.214.171.124 Ring opening of epoxidized palm oil (2.17) with glucose**\n\nThe experiment was conducted according to the procedure described in section 126.96.36.199. Glucose (Glu) (3.0 g, 16.8 mmol), dry DMSO (10 ml), BF$_3$.Et$_2$O (0.24 g, 1.7 mmol), epoxidized palm oil (2.17) (5 g, 5.8 mmol), a yellowish liquid (4.7 g) $v_{\\text{max}}$/cm$^{-1}$ 3450 (O-H) 2921, 2852 (C-H) 1738 (C=O) 1466 (CH$_2$) 1174 (C-O) 755 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.29$-5.22 (1H, m, CHO), 4.29 (2H, dd, $J=11.8$ Hz, 4.1 Hz, CH$_2$O), 4.13 (2H, dd, $J=11.9$ Hz, 5.8 Hz, CH$_2$O), 3.55-3.35 (2H, m, HCO), 2.31 (6H, t, $J=7.5$ Hz, O=CCH$_2$CH$_2$), 1.67-1.55 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.54-1.19 (72H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J=7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.8$, 172.8 (C=O) 74.3, 72.4, 62.8 (HC-O) 68.7 (HC-O), 62.1, 61.8 (H$_2$C-O), 33.8 (O=CCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 29.4, 22.5 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)\n\n**188.8.131.52 Ring opening of epoxidized rapeseed oil (2.13) with glucose**\n\nThe experiment was conducted according to the procedure described in section 184.108.40.206. Glucose (Glu) (8.1 g, 45 mmol), dry DMSO (10 ml), BF$_3$.Et$_2$O (0.64 g, 4.5 mmol), a yellowish liquid (4.7 g) $v_{\\text{max}}$/cm$^{-1}$ 3353 (O-H) 2924, 2854 (C-H) 1741 (C=O) 1465 (CH$_2$) 1165 (C-O) 755 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.30$-5.22 (1H, m, CHO), 4.29 (2H, dd, $J=11.9$ Hz, 4.0 Hz, CH$_2$O), 4.14 (2H, dd, $J=11.7$\n\nHz, 5.9 Hz, CH₂O), 3.75–3.36 (8H, m, HCO), 2.34 (6H, t, J= 7.3 Hz, O=CCH₂CH₂), 1.70-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.53-1.19 (68H, m, CH₂CH₂), 0.88 (9H, t, J = 7.6 Hz, CH₂CH₃); \\(^{13}\\)C NMR (100 MHz CDCl₃): δ_c = 173.6, 172.7 (C=O) 74.1, 72.2, 71.8 (HC-O) 68.7 (HC-O), 62.0, 61.7 (H₂C-O), 33.7 (O=CCH₂), 24.5 (O=CCH₂CH₂CH₂), 31.1, 29.3, 22.6 (CH₂CH₂CH₂), 13.8 (CH₂CH₃).\n\n### 220.127.116.11 Ring opening of epoxidized soybean oil (2.6) with glucose\n\nThe experiment was conducted according to the procedure described in section 18.104.22.168. Glucose (Glu) (6.75 g, 37.5 mmol), dry DMSO (10 ml), BF₃.Et₂O (0.53 g, 3.75 mmol), epoxidized soybean oil (2.6) (5 g, 5.7 mmol), a yellowish liquid (4.5 g)\n\n\\(v_{\\text{max}}/\\text{cm}^{-1}\\) 3440 (O-H) 2924, 2855 (C-H) 1740 (C=O) 1464 (CH₂) 1162 (C-O) 755 (CH₂); \\(^1\\)H NMR (400 MHz, CDCl₃): δ_H = 5.30-5.20 (1H, m, CHO), 4.29 (2H, dd, J= 11.9 Hz, 4.0 Hz, CH₂O), 4.14 (2H, dd, J= 11.7 Hz, 5.8 Hz, CH₂O), 3.80–3.20 (10H, m, HCO), 2.32 (6H, t, J= 7.0 Hz, O=CCH₂CH₂), 1.72-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.45-1.15 (64, m, CH₂CH₂), 0.88 (9H, t, J= 7.5 Hz, CH₂CH₃);\n\n\\(^{13}\\)C NMR (100 MHz CDCl₃): δ_c = 173.1, 172.6 (C=O) 74.1, 73.0, 71.8 (HC-O) 68.7 (HC-O), 61.9, 61.7 (H₂C-O), 33.6 (O=CCH₂), 24.5 (O=CCH₂CH₂CH₂), 29.3, 25.5, 22.4 (CH₂CH₂CH₂), 13.7 (CH₂CH₃)\n\n6.1.6 General Procedure for Ring Opening of Epoxidized Plant Oil with Water\n\n22.214.171.124 Ring opening of epoxidized palm oil (2.17) by water\n\nEpoxidized palm oil (2.13) (50 g, 56 mmol) was weighed into a round bottom flask. Deionized water (500 ml) and para-toluene sulfonic acid (21.5 g, 113 mmol) were added to (2.13). The mixture was stirred and heated to 100 °C for 7 hours. The reaction mixture was poured into a separating funnel and was washed with NaCl solution (100 ml), NaHCO₃ (100 ml) and NaCl (100 ml). The aqueous layer was discarded and CHCl₃ (100 ml) was added to the organic layer. The organic layer was dried over anhydrous MgSO₄ and CHCl₃ was removed in vacuo to yield a yellowish liquid (2.39, 51.6 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3355 (O-H) 2922, 2853 (C-H) 1742 (C=O) 1464 (CH₂) 1164 (C-O) 722 (CH₂); \\( ^1\\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.30-5.22 \\) (1H, m, CHO), 4.30 (2H, dd, \\( J = 11.8 \\) Hz, 3.8 Hz, CH₂O), 4.14 (2H, dd, \\( J = 11.9 \\) Hz, 5.7 Hz, CH₂O), 3.80-3.20 (4H, m, HCO), 2.30 (6H, t, \\( J = 6.5 \\) Hz O=CCH₂CH₂), 1.69-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.51-1.44 (8H, m, CH₂COH) 1.43-1.20 (64H, m, CH₂CH₂), 0.88 (9H, t, \\( J = 6.5 \\) Hz, CH₂CH₃); \\( ^{13}\\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 173.3, 172.8 \\) (C=O) 74.3, 72.3, 62.9 (C-O), 68.7 (OCH), 62.1, 61.8 (CH₂O), 33.8 (O=CCH₂), 24.6 (O=CCH₂CH₂CH₂), 31.3, 29.4, 29.5, 25.1, 22.5 (CH₂CH₂CH₂), 13.9 (CH₂CH₃).\n\n126.96.36.199 Ring opening of epoxidized soybean oil (2.6) by water\n\nThe experiment was conducted according to the procedure described in section 188.8.131.52. Epoxidized soybean oil (2.6) (5 g, 5 mmol), deionized water (15 ml), phosphoric acid (1 g, 10 mmol), a yellowish liquid (2.40, 5.4 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3358 (O-H) 2923, 2853 (C-H) 1743 (C=O) 1459 (CH₂) 1170 (C-O) 723 (CH₂); \\( ^1\\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.29-5.22 \\) (1H, m, CHO), 4.30 (2H, dd, \\( J = 11.9 \\) Hz, 4.0 Hz, CH₂O), 4.14 (2H, dd, \\( J = 11.5 \\) Hz, 5.7 Hz, CH₂O), 3.80-3.20 (10H, m, HCO), 2.31\n\n(6H, t, $J= 6.5$ Hz O=CCH$_2$CH$_2$), 1.70-1.55 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.52-1.44 (14H, m, CH$_2$COH) 1.43-1.20 (50H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J = 6.5$Hz, CH$_2$CH$_3$);\n\n$^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.2$, 172.8 (C=O) 74.2, 72.5, 65.9 (C-O), 68.7 (OCH), 62.0, 61.8 (CH$_2$O), 33.8 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 31.3, 29.4, 29.2, 25.0, 22.7 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$).\n\n### 6.2 GENERAL PROCEDURES FOR SUBSTRATES SYNTHESIZED IN CHAPTER 3\n\n#### 6.2.1 General procedure for polyurethanes synthesized with oligomeric polyols\n\n**Polyurethane (3.3) based on oligomeric polyol (2.24) as an example**\n\nOligomeric polyol (2.24) (1 g, hydroxyl value = 35.7 mg KOH/g sample) was weighed into a round bottom flask and chloroform (2 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4’-methylene diphenyl diisocyanate (MDI) (0.07 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the chloroform was removed by using a rotary evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane (3.3) was cured at 60 °C for 24 hours in an oven. $v_{\\text{max}}/\\text{cm}^{-1}$ 2916, 2849 (C-H) 1725 (C=O) 1530 (aromatic =CH) 1173 (C-O) 721 (CH$_2$);\n\n6.2.2 General procedure for polyurethanes synthesized with oligomeric polyols and 1,4-butanediol\n\nPolyurethane based on oligomeric polyol (2.24) as an example\n\nOligomeric polyol (2.24) (1 g, hydroxyl value = 35.7 mg KOH/g sample) and 1,4-butane diol (92 mg) were weighed into a round bottom flask and chloroform (7 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4'-methylene diphenyl diisocyanate (MDI) (0.33 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the chloroform was removed by using a rotary evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane was cured at 60 °C for 24 hours in an oven. \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 2915, 2849 (C-H) 1726 (C=O) 1527 (aromatic =CH) 1095 (C-O) 721 (CH₂);\n\n6.2.3 General procedure for polyurethanes synthesized with oligomeric polyols and polyethylene glycol\n\nPolyurethane (3.10) based on oligomeric polyol (2.24) as an example\n\nOligomeric polyol (2.24) (5 g, hydroxyl value = 35.7 mg KOH/g sample) and polyethylene glycol (average molecule weight = 3350) (6.5 g) were weighed into a round bottom flask and chloroform (25 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4'-methylene diphenyl diisocyanate (MDI) (1.7 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the\n\nchloroform was removed by using a rotary evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane (3.10) was cured at 60 °C for 24 hours in an oven. $v_{\\text{max}}/\\text{cm}^{-1}$ 2922, 2853 (C-H) 1743 (C=O) 1597 (aromatic =CH) 1095 (C-O) 721 (CH$_2$);\n\n6.2.4 General procedure for polyurethanes synthesized with oligomeric polyols, glycerol and polyethylene glycol\n\nPolyurethane (3.18) based on oligomeric polyol (2.23) as an example\n\nOligomeric polyol (2.23) (7 g, hydroxyl value = 31 mg KOH/g sample), polyethylene glycol (average molecule weight = 3350) (6.5 g) and glycerol (0.42 g) were weighed into a round bottom flask and chloroform (70 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4'-methylene diphenyl diisocyanate (MDI) (3.6 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the chloroform was removed by using a rotary evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane (3.18) was cured at 60 °C for 24 hours in an oven. $v_{\\text{max}}/\\text{cm}^{-1}$ 2916, 2850 (C-H) 1734 (C=O) 1597 (aromatic =CH) 1014 (C-O) 793 (CH$_2$);\n\n6.3 General Procedures for Substrates Synthesized in Chapter 4\n\n184.108.40.206 General procedure for copolymerization of epoxidized plant oils with tetrahydrofuran [epoxidized cocoa butter (2.16) as an example]\n\nEpoxidized cocoa butter (2.16) (50 g, 57 mmol) was weighed into a round bottom flask and dry tetrahydrofuran (250 ml) was added to it. The reactants mixture was stirred and heated at 20 °C under N₂ atmosphere for 30 minutes. Then BF₃.Et₂O (0.81 g, 5.7 mmol) was added drop-wise to the epoxidized cocoa butter (2.16) / tetrahydrofuran mixture. After the addition of BF₃.Et₂O was completed, the reaction temperature was maintained at 20 °C under N₂ atmosphere for another 24 hours. Then, the reaction mixture was poured into separation funnel and then saturated NaCl solution (200 cm³) and chloroform (300 cm³) were added to the reaction mixture. The aqueous layer was separated from the organic layer and the organic layer was neutralized with saturated sodium hydrogen carbonate solution (100 cm³). The organic layer was again washed with NaCl solution (200 cm³). The organic layer was dried over anhydrous MgSO₄ followed by removal of solvent *in vacuo* to yield a clear viscous liquid (4.7) (120 g) \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3360 (O-H) 2921, 2850 (C-H) 1742 (C=O) 1105 (C-O) 754 (CH₂); \\( ^1\\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_{\\text{H}} = 5.24-5.28 \\) (1H, m, CHO) 4.25 (2H, dd, \\( J = 11.9 \\) Hz, 4.4Hz, CH₂O), 4.10 (2H, dd, \\( J = 11.9 \\) Hz, 5.9 Hz, CH₂O), 3.43 – 3.30 (64H, m, HCO), 2.26 (6H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.62-1.50 (72H, m, O=CCH₂CH₂CH₂, CH₂CH₂O), 1.30-1.18 (72H, m, CH₂CH₂), 0.83 (9H, t, \\( J = 6.8 \\) Hz, CH₂CH₃); \\( ^{13}\\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_{\\text{C}} = 173.2, 172.8 \\) (C=O) 70.4 (HC-O) 68.9 (HC-O), 62.0, 61.8 (H₂C-O), 33.9 (O=CCH₂), 26.3 (O=CCH₂CH₂CH₂, CH₂CH₂O), 29.5, 22.4 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)\n\n220.127.116.11 Copolymerization of epoxidized methyl oleate (2.3) with tetrahydrofuran\n\nThe experiment was conducted according to the procedure described in 18.104.22.168. Epoxidized methyl oleate (2.3) (50 g, 160 mmol), dry tetrahydrofuran (1000 ml), BF$_3$.Et$_2$O (1.13 g, 8 mmol), clear viscous liquid (4.4) (78 g) $\\nu_{\\text{max}}/\\text{cm}^{-1}$ 3353 (O-H) 2924, 2852 (C-H) 1739 (C=O) 1105 (C-O) 755 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 3.66$ (3H, s, CH$_3$O), 3.62-3.50 (2H, m, CHO), 3.46-3.34 (92H, m, CH$_2$O), 2.29 (2H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.69-1.55 (94H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.50-1.20 (24H, m, CH$_2$CH$_2$), 0.87 (3H, t, $J= 7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.4$ (C=O) 72.0, 70.1 (HC-O) 50.7 (H$_3$C-O), 33.4 (O=CCH$_2$), 26.0 (O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 31.1, 29.2, 22.4 (CH$_2$CH$_2$CH$_2$), 13.6 (CH$_2$CH$_3$)\n\n22.214.171.124 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran\n\nThe experiment was conducted according to the procedure described in 126.96.36.199. Epoxidized palm oil (2.17) (50 g, 56 mmol), tetrahydrofuran (2000 ml), BF$_3$.Et$_2$O (0.32 g, 2.3 mmol), clear viscous liquid (4.10) (403 g) $\\nu_{\\text{max}}/\\text{cm}^{-1}$ 3355 (O-H) 2918, 2851 (C-H) 1742 (C=O) 1103 (C-O) 746 (CH$_2$) $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H =$ 5.27-5.20 (1H, m, CHO), 4.27 (2H, dd, $J= 11.9$ Hz, 4.1Hz, CH$_2$O), 4.12 (2H, dd, $J= 11.9$ Hz, 5.9 Hz, CH$_2$O), 3.45-3.32 (400H, m, HCO), 2.31 (6H, t, $J= 7.8$ Hz, O=CCH$_2$CH$_2$), 1.68-1.52 (406H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.35-1.20 (64H, m, CH$_3$CH$_2$), 0.86 (9H, t, $J= 6.8$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C =$ 173.2, 172.8 (C=O) 70.6 (HC-O) 68.9 (HC-O), 62.2, 62.0 (H$_2$C-O), 33.9 (O=CCH$_2$), 26.3 (O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 29.6, 22.5 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)\n\n188.8.131.52 Copolymerization of epoxidized rapeseed oil (2.13) with tetrahydrofuran\n\nThe experiment was conducted according to the procedure described in 184.108.40.206.\n\nEpoxidized rapeseed oil (2.13) (10 g, 10 mmol), tetrahydrofuran (1000 ml), BF$_3$.Et$_2$O (0.13 g, 0.9 mmol), clear viscous liquid (4.12) (80 g) $v_{\\text{max}}$/cm$^{-1}$ 3353 (O-H) 2922, 2854 (C-H) 1740 (C=O) 1106 (C-O) 755 (CH$_2$), $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H =$ 5.8-5.22 (1H, m, CHO), 4.29 (2H, dd, $J=$ 11.8 Hz, 4.2Hz, CH$_2$O), 4.14 (2H, dd, $J=$ 11.9 Hz, 5.9 Hz, CH$_2$O), 3.48-3.33 (400H, m, HCO), 2.31 (6H, t, $J=$ 7.4 Hz, O=CCH$_2$CH$_2$), 1.68-1.54 (406H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.53-1.39 (12H, m, CHOCH$_2$CH$_2$), 1.38-1.22 (54H, m, CH$_2$CH$_2$), 0.87 (9H, t, $J=$ 6.4 Hz, CH$_2$CH$_3$);\n\n$^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C =$ 173.0, 172.6 (C=O) 70.4 (HC-O) 68.9 (HC-O), 62.3, 62.1 (H$_2$C-O), 33.8 (O=CCH$_2$), 26.3 (O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 29.5, 22.5 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)\n\n220.127.116.11 Copolymerization of epoxidized soybean oil (2.6) with tetrahydrofuran\n\nThe experiment was conducted according to the procedure described in 18.104.22.168.\n\nEpoxidized soybean oil (2.6) (10 g, 10 mmol), tetrahydrofuran (800 ml), BF$_3$.Et$_2$O (0.14 g, 1 mmol) clear viscous liquid (4.15) (85 g) $v_{\\text{max}}$/cm$^{-1}$ 3355 (O-H) 2940, 2858 (C-H) 1742 (C=O) 1105 (C-O) 746 (CH$_2$), $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H =$ 5.28-5.22 (1H, m, CHO), 4.30 (2H, dd, $J=$ 11.7 Hz, 3.2 Hz, CH$_2$O), 4.14 (2H, dd, $J=$ 11.9 Hz, 5.9 Hz, CH$_2$O), 3.46-3.35 (244H, m, HCO), 2.31 (6H, t, $J=$ 7.4 Hz, O=CCH$_2$CH$_2$), 1.67-1.56 (250H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.53-1.39 (10H, m, CHOCH$_2$CH$_2$), 1.40-1.24 (46H, m, CH$_2$CH$_2$), 0.89 (9H, t, $J=$ 6.8 Hz, CH$_2$CH$_3$);\n\n$^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C =$ 173.3, 172.9 (C=O) 70.3 (HC-O) 68.8 (HC-O),\n\n61.9, 61.6 (H\\textsubscript{2}C-O), 33.6 (O=CCH\\textsubscript{2}), 26.2 (O=CCH\\textsubscript{2}CH\\textsubscript{2}CH\\textsubscript{2}, CH\\textsubscript{2}CH\\textsubscript{2}O), 29.3, 22.4 (CH\\textsubscript{2}CH\\textsubscript{2}CH\\textsubscript{2}), 13.8 (CH\\textsubscript{2}CH\\textsubscript{3})\n\n22.214.171.124 Copolymerization of euphorbia oil (2.18) with tetrahydrofuran\n\nThe experiment was conducted according to the procedure described in 126.96.36.199. Euphorbia oil (2.18) (50 g, 55 mmol), tetrahydrofuran (1500 ml), BF\\textsubscript{3}.Et\\textsubscript{2}O (0.31 g, 2.2 mmol) clear viscous liquid (4.18) (175 g), \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3350 (O-H) 2941, 2861 (C-H) 1744 (C=O) 1107 (C-O) 745 (CH\\textsubscript{2}), \\( ^1\\text{H NMR} \\) (400 MHz, CDCl\\textsubscript{3}): \\( \\delta_H = 5.56-5.30 \\) (6H, m, CH\\textsubscript{2}=CH), 5.28-5.23 (1H, m, CHO), 4.30 (2H, dd, \\( J= 11.9 \\) Hz, 4.0 Hz, CH\\textsubscript{2}O), 4.14 (2H, dd, \\( J= 11.9 \\) Hz, 5.9 Hz, CH\\textsubscript{3}O), 3.48-3.35 (254H, m, HCO), 2.31 (6H, t, \\( J= 7.5 \\) Hz, O=CCH\\textsubscript{2}CH\\textsubscript{2}), 2.09-1.97 (12H, m, CH\\textsubscript{2}CH=CH) 1.68-1.56 (260H, m, O=CCH\\textsubscript{2}CH\\textsubscript{2}CH\\textsubscript{2}, CH\\textsubscript{2}CH\\textsubscript{2}O), 1.52-1.23 (48H, m, CH\\textsubscript{2}CH\\textsubscript{2}), 0.89 (9H, t, \\( J= 7.0 \\) Hz, CH\\textsubscript{2}CH\\textsubscript{3}); \\( ^{13}\\text{C NMR} \\) (100 MHz CDCl\\textsubscript{3}): \\( \\delta_C = 173.0, 172.6 \\) (C=O) 129.6, 125.3 (HC=CH), 70.4 (HC-O) 68.6 (HC-O), 62.1, 61.7 (H\\textsubscript{2}C-O), 33.7 (O=CCH\\textsubscript{2}), 26.3 (O=CCH\\textsubscript{2}CH\\textsubscript{2}CH\\textsubscript{2}, CH\\textsubscript{2}CH\\textsubscript{2}O), 29.1, (CH\\textsubscript{2}CH\\textsubscript{2}CH\\textsubscript{2}), 13.9 (CH\\textsubscript{2}CH\\textsubscript{3})\n\n188.8.131.52 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by AlCl\\textsubscript{3}\n\nThe experiment was conducted according to the procedure described in 184.108.40.206. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), AlCl\\textsubscript{3} (0.29 g, 2.2 mmol), yellowish liquid (6 g) \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3560 (O-H) 2924, 2854 (C-H) 1742 (C=O) 1163 (C-O) 723 (CH\\textsubscript{2}) \\( ^1\\text{H NMR} \\) (400 MHz, CDCl\\textsubscript{3}): \\( \\delta_H = 5.25-5.20 \\) (1H, m, CHO), 4.27 (2H, dd, \\( J= 11.9 \\) Hz, 4.3 Hz, CH\\textsubscript{2}O), 4.11 (2H, dd, \\( J= 11.9 \\) Hz, 5.9 Hz, CH\\textsubscript{2}O), 3.65-3.35 (4H, m, HCO), 2.29 (6H, t, \\( J= 7.5 \\) Hz, O=CCH\\textsubscript{2}CH\\textsubscript{2}), 1.64-1.54 (6H, m, O=CCH\\textsubscript{2}CH\\textsubscript{2}CH\\textsubscript{2}), 1.36-1.19 (64H, m, CH\\textsubscript{2}CH\\textsubscript{2}), 0.86 (9H, t, \\( J= 7.0 \\)\n\nHz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.1$, 172.7 (C=O) 73.3, 70.6 (HC-O), 68.7 (HC-O), 62.0, 61.8 (H$_2$C-O), 33.9 (O=CCH$_2$), 24.7 (O=CCH$_2$CH$_2$CH$_2$), 29.3, 22.8 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)\n\n220.127.116.11 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by FeCl$_3$\n\nThe experiment was conducted according to the procedure described in 18.104.22.168. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), FeCl$_3$ (0.35 g, 2.2 mmol) yellowish liquid (25 g) $v_{\\text{max}}/\\text{cm}^{-1}$ 3351 (O-H) 2934, 2853 (C-H) 1743 (C=O) 1104 (C-O) 725 (CH$_2$) $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.25-5.15$ (1H, m, CHO), 4.31 (2H, dd, $J= 11.7$ Hz, 4.3 Hz, CH$_2$O), 4.13 (2H, dd, $J= 11.9$ Hz, 5.9 Hz, CH$_2$O), 3.60-3.10 (180H, m, HCO), 2.28 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.75-1.40 (186H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.35-1.15 (64H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J= 7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.3$, 172.9 (C=O) 70.5 (HC-O) 68.9 (HC-O), 62.2, 61.8 (H$_2$C-O), 33.9 (O=CCH$_2$), 26.3 (O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 29.2, 22.4 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)\n\n22.214.171.124 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by SnCl$_4$\n\nThe experiment was conducted according to the procedure described in 126.96.36.199. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), SnCl$_4$ (0.58 g, 2.3 mmol) yellowish liquid (43 g) $v_{\\text{max}}/\\text{cm}^{-1}$ 3336 (O-H) 2919, 2852 (C-H) 1741 (C=O) 1107 (C-O) 746 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.28-5.23$ (1H, m, CHO), 4.29 (2H, dd, $J= 11.8$ Hz, 4.2Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.9$ Hz,\n\n5.9 Hz, CH₂O), 3.47-3.35 (252H, m, HCO), 2.30 (6H, t, J= 7.4 Hz, O=CCH₂CH₂), 1.67-1.57 (258H, m, O=CCH₂CH₂CH₂, CH₂CH₂O), 1.40-1.20 (64H, m, CH₂CH₂), 0.88 (9H, t, J = 6.8 Hz, CH₂CH₃); \\(^{13}\\)C NMR (100 MHz CDCl₃): \\(δ_C\\) = 172.9, 172.4 (C=O) 70.6 (HC-O) 68.9 (HC-O), 62.3, 61.9 (H₂C-O), 33.9 (O=CCH₂), 26.5 (O=CCH₂CH₂CH₂, CH₂CH₂O), 29.5, 22.5 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)\n\n188.8.131.52 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by TiCl₄\n\nThe experiment was conducted according to the procedure described in 184.108.40.206. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), TiCl₄ (0.29 g, 2.2 mmol), yellowish liquid (10 g) \\(ν_{\\text{max}}/\\text{cm}^{-1}\\) 3563 (O-H) 2927, 2855 (C-H) 1741 (C=O) 1162 (C-O) 724 (CH₂) \\(^1\\)H NMR (400 MHz, CDCl₃): \\(δ_H\\) = 5.29-5.22 (1H, m, CHO), 4.30 (2H, dd, J= 11.9 Hz, 4.2 Hz, CH₂O), 4.13 (2H, dd, J= 11.9 Hz, 5.9 Hz, CH₂O), 3.74-3.37 (4H, m, HCO), 2.31 (6H, t, J= 7.5 Hz, O=CCH₂CH₂), 1.67-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (64H, m, CH₂CH₂), 0.89 (9H, t, J = 7.0 Hz, CH₂CH₃); \\(^{13}\\)C NMR (100 MHz CDCl₃): \\(δ_C\\) = 173.3, 172.9 (C=O) 73.4, 72.3, 70.7 (HC-O), 68.8 (HC-O), 62.3, 61.9 (H₂C-O), 33.8 (O=CCH₂), 24.5 (O=CCH₂CH₂CH₂), 28.9, 22.5 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)\n\n220.127.116.11 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by HBF₄\n\nThe experiment was conducted according to the procedure described in 18.104.22.168. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), HBF₄ (80 mg, 0.45 mmol) clear viscous liquid (38 g) \\(ν_{\\text{max}}/\\text{cm}^{-1}\\) 3360 (O-H) 2930, 2858 (C-H)\n\n1740 (C=O) 1105 (C-O) 744 (CH$_2$) $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.29-5.22$ (1H, m, CHO), 4.29 (2H, dd, $J= 11.9$ Hz, 4.1 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.9$ Hz, 5.9 Hz, CH$_2$O), 3.45-3.32 (160H, m, HCO), 2.31 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.68-1.54 (166H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.53-1.20 (64H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J= 6.8$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.1$, 172.7 (C=O) 70.5 (HC-O) 68.8 (HC-O), 62.1, 62.0 (H$_2$C-O), 33.9 (O=CCH$_2$), 26.3 (O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 29.5, 22.4 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)\n\n### 22.214.171.124 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by HBF$_4$ with addition of water\n\nThe experiment was conducted according to the procedure described in 126.96.36.199. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (100 ml), de-ionised water (1 ml), HBF$_4$ (80 mg, 0.45 mmol) clear liquid (9 g), $v_{\\text{max}}/\\text{cm}^{-1}$ 3461 (O-H) 2922, 2853 (C-H) 1742 (C=O) 1160 (C-O) 722 (CH$_2$) $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.29-5.23$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.9$ Hz, 4.0 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.8$ Hz, 5.9 Hz, CH$_2$O), 3.65-3.30 (2H, m, HCO), 3.15-2.80 (2H, m, CH$_2$CHOCHCH$_2$), 2.31 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.64-1.50 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.48-1.36 (4H, m, CHOCH$_2$CH$_2$), 1.35-1.15 (64H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J= 6.8$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.1$, 172.6 (C=O) 74.1, 70.4 (HC-O), 68.7 (HC-O), 62.0, 61.7 (H$_2$C-O), 56.9 (CH$_2$CHOCHCH$_2$) 33.7 (O=CCH$_2$), 28.2 (CHOCH$_2$CH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 29.4, 22.4 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)\n\n188.8.131.52 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by triflic acid\n\nThe experiment was conducted according to the procedure described in 184.108.40.206. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), trifluoromethane sulfonic acid (0.34 g, 2.3 mmol) yellowish liquid (49 g); \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3460 (O-H) 2919, 2852 (C-H) 1742 (C=O) 1106 (C-O) 745 (CH₂); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.30-5.20 \\) (1H, m, CHO), 4.29 (2H, dd, \\( J = 11.8 \\) Hz, 4.1 Hz, CH₂O), 4.14 (2H, dd, \\( J = 11.9 \\) Hz, 5.9 Hz, CH₂O), 3.50-3.30 (230H, m, HCO), 2.31 (6H, t, \\( J = 7.4 \\) Hz, O=CCH₂CH₂), 1.70-1.53 (236H, m, O=CCH₂CH₂CH₂, CH₂CH₂O), 1.40-1.20 (64H, m, CH₂CH₂), 0.88 (9H, t, \\( J = 7.0 \\) Hz, CH₂CH₃); \\( ^{13} \\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 173.3, 172.7 \\) (C=O) 70.4 (HC-O) 68.8 (HC-O), 62.3, 61.7 (H₂C-O), 33.7 (O=CCH₂), 26.3 (O=CCH₂CH₂CH₂, CH₂CH₂O), 29.5, 22.6 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)\n\n220.127.116.11 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by sulfuric acid\n\nThe experiment was conducted according to the procedure described in 18.104.22.168. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), sulfuric acid (0.22 g, 2.2 mmol), yellowish liquid (9 g); \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3465 (O-H) 2922, 2853 (C-H) 1743 (C=O) 1159 (C-O) 722 (CH₂); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.30-5.22 \\) (1H, m, CHO), 4.30 (2H, dd, \\( J = 11.9 \\) Hz, 4.3 Hz, CH₂O), 4.14 (2H, dd, \\( J = 11.9 \\) Hz, 5.9 Hz, CH₂O), 3.76-3.34 (2H, m, HCO), 3.14-2.82 (2H, m, CH₂CHOCHCH₂), 2.31 (6H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.67-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.55-1.44 (4H, m, CHOCH₂CH₂), 1.43-1.19 (64H, m, CH₂CH₂), 0.89 (9H, t, \\( J = 6.8 \\) Hz,\n\n22.214.171.124 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by chlorosulfonic acid\n\nThe experiment was conducted according to the procedure described in 126.96.36.199. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), chlorosulfonic acid (0.29 g, 2.2 mmol), yellowish liquid (10 g) \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3563 (O-H) 2927, 2853 (C-H) 1740 (C=O) 1160 (C-O) 721 (CH₂); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.29-5.22 \\) (1H, m, CHO), 4.30 (2H, dd, \\( J = 11.9 \\) Hz, 4.0 Hz, CH₂O), 4.14 (2H, dd, \\( J = 11.9 \\) Hz, 5.9 Hz, CH₂O), 3.65-3.35 (2H, m, HCO), 3.15-2.85 (2H, m, CH₂CHOCHCH₂), 2.31 (6H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.68-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.45 (4H, m, CHOCH₂CH₂), 1.40-1.20 (64H, m, CH₂CH₂), 0.89 (9H, t, \\( J = 7.0 \\) Hz, CH₂CH₃); \\( ^{13} \\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 172.7, 172.3 \\) (C=O) 74.2, 72.6 (HC-O), 68.9 (HC-O), 62.1, 61.7 (H₂C-O), 56.6 (CH₂CHOCHCH₂) 34.1 (O=CCH₂), 28.3 (CHOCH₂CH₂), 24.8 (O=CCH₂CH₂CH₂), 29.7, 22.7 (CH₂CH₂CH₂), 14.0 (CH₂CH₃)\n\n188.8.131.52 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by trifluoroacetic acid\n\nThe experiment was conducted according to the procedure described in 184.108.40.206. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), trifluoroacetic acid (0.25 g, 2.2 mmol) yellowish liquid (7 g) \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3620 (O-H) 2923, 2853 (C-H) 1741 (C=O) 1161 (C-O) 823 (CHOCHCH₂) 724 (CH₂) \\( ^1 \\text{H NMR} \\)\n\n(400 MHz, CDCl₃): δ_H = 5.30-5.22 (1H, m, CHO), 4.30 (2H, dd, J= 11.9 Hz, 4.2 Hz, CH₂O), 4.14 (2H, dd, J= 11.9 Hz, 5.9 Hz, CH₂O), 3.73-3.41 (2H, m, HCO), 2.95-2.73 (2H, m, CH₂CHOCHCH₂), 2.32 (6H, t, J= 7.5 Hz, O=CCH₂CH₂), 1.67-1.57 (6H, m, O=CCH₂CH₂CH₂), 1.56-1.50 (4H, m, CHOCH₂CH₂), 1.49-1.24 (64H, m, CH₂CH₂), 0.89 (9H, t, J = 7.0 Hz, CH₂CH₃);¹³C NMR (100 MHz CDCl₃): δ_C = 173.1, 172.7 (C=O) 73.6, 71.8 (HC-O), 68.7 (HC-O), 62.0, 61.8 (H₂C-O), 57.3 (CH₂CHOCHCH₂) 33.9 (O=CCH₂), 27.9 (CHOCH₂CH₂), 24.6 (O=CCH₂CH₂CH₂), 29.3, 22.5 (CH₂CH₂CH₂), 13.7 (CH₂CH₃)\n\n220.127.116.11 Attempted copolymerization of epoxidized palm oil (2.17) with 2-methyl tetrahydrofuran\n\nThe experiment was conducted according to the procedure described in 18.104.22.168. Epoxidized palm oil (2.17) (1 g, 1.1 mmol), 2-methyl tetrahydrofuran (20 ml), BF₃.Et₂O (3 mg, 0.022 mmol) yield back starting material epoxidised palm oil (2.17) (0.7 g).\n\n22.214.171.124 Attempted copolymerization of epoxidized palm oil with 3-methyl tetrahydrofuran\n\nThe experiment was conducted according to the procedure described in 126.96.36.199. Epoxidized palm oil (2.17) (0.1 g, 0.11 mmol), 3-methyl tetrahydrofuran (1 ml), BF₃.Et₂O (3 mg, 0.022 mmol) yield back starting material epoxidised palm oil (2.17) (95 mg).\n\n6.3.3 Homopolymerization of tetrahydrofuran catalyzed by triflic acid\n\nTetrahydrofuran (THF) (150 g, 2.1 mol) was weighed into a round bottom flask and was stirred and heated at 60 °C under N₂ atmosphere for 30 minutes. Then triflic acid (CF₃SO₃H) (24.0 g, 0.16 mol) was added drop-wise to the THF. After the addition of triflic acid was completed, the reaction temperature was maintained at 60 °C under N₂ atmosphere for another 8 hours. Then, the reaction mixture was poured into separation funnel. Cyclohexane (300 ml) and deionized water (300 ml) were added to it. The aqueous layer was discarded and the organic layer was washed with sodium bicarbonate solution (300 ml). The organic layer was separated from the aqueous layer. The organic layer was again washed with deionized water (300 ml). The organic layer was separated from the aqueous and was dried over anhydrous MgSO₄. The cyclohexane was removed in vacuo to yield homopolymer of THF (4.19) (61.4 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3462 (O-H) 2924, 2854 (C-H) 1741 (C=O) 1464 (CH₂) 1088 (C-O) 723 (CH₂); \\( ^1\\text{H} \\) NMR (400 MHz, CDCl₃): \\( \\delta_H = 3.43 \\) (4H, t, \\( J = 7.7 \\) Hz, CH₂O), 1.68-1.56 (4H, m, CH₂); \\( ^{13}\\text{C} \\) NMR (100 MHz CDCl₃): \\( \\delta_C = 70.3, \\) (HC-O), 26.2 (CH₂CH₂)\n\n6.3.4 Copolymerization of ε-caprolactone with epoxidized palm oil (2.17)\n\nEpoxidized palm oil (2.17) (40 g, 45 mmol) and ε-caprolactone (10.2, 90 mmol) were weighed into a round bottom flask and dry dichloromethane (200 ml) was added to it. The reactants mixture was stirred and heated at 20 °C under N₂ atmosphere for 30 minutes. Then BF₃.Et₂O (640 mg, 4.5 mmol) was added drop-wise to the epoxidized palm oil / ε-caprolactone mixture. After the addition of BF₃.Et₂O was completed, the reaction temperature was maintained at 20 °C under N₂ atmosphere for another 24 hours. Then, the reaction mixture was poured into\n\nseparation funnel and CHCl₃ (100 ml) was added to it. The organic layer was washed with sodium bicarbonate solution (50 ml). The organic layer was separated from the aqueous layer. The organic layer was dried over anhydrous MgSO₄ and CHCl₃ was removed *in vacuo* to yield copolymers (4.24) (50 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3475 (O-H) 2923, 2853 (C-H) 1737 (C=O) 1461 (CH₂) 1164 (C-O) 722 (CH₂); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.29-5.22 \\) (1H, m, CHO), 4.87-4.80(1H, m, CHOC=O), 4.30 (2H, dd, \\( J = 11.8 \\) Hz, 3.8 Hz , CH₂O), 4.14 (2H, dd, \\( J = 11.8 \\) Hz, 5.8 Hz, CH₂O), 4.06 (2H, t, \\( J = 6.5 \\) Hz, O=COCH₂) 3.61 (2H, t, \\( J = 6.4 \\) Hz, HOCH₂ ), 3.58-3.10 (4H, m, HCO), 2.32 (8H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.71-1.52(10H, m, O=CCH₂CH₂CH₂), 1.53-1.39 (4H, m, CH₂CH₂), 1.36-1.18 (64H, m, CH₂CH₂), 0.88 (9H, t, \\( J = 6.6 \\) Hz, CH₂CH₃); \\( ^{13} \\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 173.1, 172.6 \\) (C=O) 76.2, 74.3, 72.0 (HC-O), 68.7 (HC-O), 63.7, 62.2, 61.8 (H₂C-O), 61.9 (H₂C-OH), 33.8 (O=CCH₂), 24.6 (O=CCH₂CH₂CH₂), 29.4, 22.6 (CH₂CH₂CH₂), 13.8 (CH₂CH₃)\n\n**6.3.5 General Procedure for Polyurethanes Synthesized with Copolymers Polyol**\n\n**188.8.131.52 Polyurethane made from copolymerized epoxidized palm oil and tetrahydrofuran (4.10) as an example.**\n\nCopolymerized epoxidized palm oil and tetrahydrofuran (4.10) (10 g, hydroxyl value = 30.5 mg KOH/g sample) was weighed into a round bottom flask and chloroform (150 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4'-methylene diphenyl diisocyanate (MDI) (1.7 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the chloroform was removed by using a rotary\n\nevaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane (4.10PU) was cured at 60 °C for 24 hours in an oven.\n\n\\[ \\nu_{\\text{max}}/\\text{cm}^{-1} \\]\n3308 (O=CNH) 2915, 2849 (C-H) 1729 (C=O) 1595 (aromatic =CH) 1098 (C-O) 721 (CH₂)\n\n### 6.3.6 Differential Scanning Calorimetric (DSC) and Thermogravimetric (TGA) method\n\nDSC and TGA of polyurethane samples were conducted in a Mettler Toledo TGA/DSC 1 system. For DSC analysis, the samples were scanned from -100 °C to 600 °C at a heating rate of 10 K per minute in the presence of nitrogen. For TGA analysis, the samples were scanned from 25 °C to 600 °C at a heating rate of 10 K per minute in the presence of nitrogen.\n\n### 6.3.7 Tensile test method\n\nTensile strength and elongation at break of polyurethane samples were determined according to EN ISO 529-4: 1997 (CEN1997a). This is the European standard test method for the determination of tensile properties of polymeric materials. Testing was conducted with an Instron 5800 universal testing machine with an initial cross-head speed of 1 mm/minute for 2 minutes and then 50 mm/minute. The test specimens were of the type 1BA.\n\n6.4 General Procedures for Substrates Synthesized in Chapter 5\n\n184.108.40.206 General procedure for one-pot oligomerization of unsaturated plant oil with Na₂WO₄\n\n[Rapeseed oil (2.11) as an example]\n\nRapeseed oil (70 g, 80 mmol), Na₂WO₄·2H₂O (3 g, 9 mmol), Aliquat 336 (4 g, 9 mmol) and H₂O₂ (30% w/w, 257 g, 2270 mmol) were charged into a 3-neck round bottom flask equipped with magnetic stirrer bar and reflux condenser. The mixture was heated to 100 °C and stirred vigorously for 8 hours. The mixture was then poured into a separating funnel and was left to cool. The aqueous layer was separated from the organic layer. The organic layer was diluted with equal amount of dichloromethane (100 ml) and neutralized with saturated Na₂CO₃ (50 ml). The organic layer was again washed with NaCl solution (100 cm³). The organic layer was dried over anhydrous MgSO₄ followed by removal of solvent *in vacuo* to yield a viscous pale yellow liquid (68.1 g).\n\n\\[ \\nu_{\\text{max}}/\\text{cm}^{-1} \\quad 2926, \\quad 2856 \\ (\\text{C-H}) \\quad 1738 \\ (\\text{C=O}) \\quad 1459 \\ (\\text{CH}_2) \\quad 1165 \\ (\\text{C-O}) \\quad 754 \\ (\\text{CH}_2); \\]\n\n¹H NMR (400 MHz, CDCl₃): \\( \\delta_H = 5.30-5.20 \\ (1\\text{H}, \\ m, \\ \\text{CHO}), \\ 4.32 \\ (2\\text{H}, \\ dd, \\ J= 11.9 \\ \\text{Hz}, \\ 3.7 \\ \\text{Hz}, \\ \\text{CH}_2\\text{O}), \\ 4.16 \\ (2\\text{H}, \\ dd, \\ J= 11.9 \\ \\text{Hz}, \\ 5.9 \\ \\text{Hz}, \\ \\text{CH}_2\\text{O}), \\ 3.75-3.30 \\ (4\\text{H}, \\ m, \\ \\text{CHO}), \\ 2.34 \\ (6\\text{H}, \\ t, \\ J= 7.5 \\ \\text{Hz}, \\ \\text{O=CCH}_2\\text{CH}_2), \\ 1.68-1.56 \\ (6\\text{H}, \\ m, \\ \\text{O=CCH}_2\\text{CH}_2\\text{CH}_2), \\ 1.39-1.21 \\ (54\\text{H}, \\ m, \\ \\text{CH}_2\\text{CH}_2), \\ 0.90 \\ (9\\text{H}, \\ t, \\ J= 7.5 \\ \\text{Hz}, \\ \\text{CH}_2\\text{CH}_3); \\]\n\n¹³C NMR (100 MHz CDCl₃): \\( \\delta_C = 173.1, \\ 172.7 \\ (\\text{C=O}), \\ 72.2 \\ (\\text{HC-O}), \\ 68.7 \\ (\\text{HC-O}), \\ 62.1, \\ 61.7 \\ (\\text{H}_2\\text{C-O}), \\ 33.7 \\ (\\text{O=CCH}_2\\text{CH}_2), \\ 31.2, \\ 29.2, \\ 22.6 \\ (\\text{CH}_2\\text{CH}_2), \\ 24.3 \\ (\\text{O=CCH}_2\\text{CH}_2\\text{CH}_2), \\ 13.7 \\ (\\text{CH}_2\\text{CH}_3). \\]\n\n220.127.116.11 One-pot oligomerization of palm oil (2.10) with sodium tungstate\n\nThe experiment was conducted according to the general procedure described in 18.104.22.168. Palm oil (2.10) (100 g, 116 mmol), Na₂WO₄·2H₂O (2.7 g, 8 mmol), Aliquat 336 (3.6 g, 8 mmol) and H₂O₂ (30% w/w, 224 g, 1976 mmol) viscous pale yellow liquid (95.8 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 2929, 2858 (C-H) 1741 (C=O) 1461 (CH₂) 1165 (C-O) 754 (CH₂); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.30-5.20 \\) (1H, m, CHO), 4.30 (2H, dd, \\( J = 11.9 \\) Hz, 4.2 Hz, CH₂O), 4.14 (2H, dd, \\( J = 11.9 \\) Hz, 5.9 Hz, CH₂O), 3.70-3.56 (2H, m, CHO), 2.35 (6H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.69-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.53-1.21 (64H, m, CH₂CH₂), 0.90 (9H, t, \\( J = 7.5 \\) Hz, CH₃CH₃); \\( ^{13} \\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 173.3, 172.9 \\) (C=O), 72.5 (HC-O), 68.9 (HC-O), 62.3, 61.9 (H₂C-O), 33.9 (O=CCH₂CH₂), 31.1, 29.3, 22.5 (CH₂CH₂), 24.4 (O=CCH₂CH₂CH₂), 13.8 (CH₂CH₃).\n\n22.214.171.124 One-pot oligomerization of soybean oil (2.12) with sodium tungstate\n\nThe experiment was conducted according to the general procedure described in 126.96.36.199. The experiment was conducted according to the general procedure described above. Soybean oil (2.12) (70 g, 80 mmol), Na₂WO₄·2H₂O (3.4 g, 10 mmol), Aliquat 336 (4 g, 9 mmol) and H₂O₂ (30% w/w, 267 g, 2355 mmol) viscous pale yellow liquid (67.5 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 2930, 2860 (C-H) 1742 (C=O) 1455 (CH₂) 1160 (C-O) 752 (CH₂); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.30-5.23 \\) (1H, m, CHO), 4.30 (2H, dd, \\( J = 11.9 \\) Hz, 4.1 Hz, CH₂O), 4.14 (2H, dd, \\( J = 11.9 \\) Hz, 5.8 Hz, CH₂O), 3.80-3.30 (4H, m, CHO), 2.34 (6H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.70-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.21 (48H, m, CH₂CH₂), 0.90 (9H, t, \\( J = 6.8 \\) Hz, CH₃CH₃); \\( ^{13} \\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 173.2, 172.8 \\) (C=O), 72.6 (HC-O), 68.8 (HC-O), 62.1, 61.8 (H₂C-O),\n\n33.5 (O=CCH₂CH₂), 31.2, 29.5, 22.3 (CH₂CH₂), 24.5 (O=CCH₂CH₂CH₂), 13.9 (CH₂CH₃).\n\n188.8.131.52 One-pot oligomerization of soybean oil (2.12) and palm oil (2.10) with sodium tungstate\n\nThe experiment was conducted according to the general procedure described in 184.108.40.206. The experiment was conducted according to the general procedure described above. Soybean oil (2.12) (50 g, 57 mmol), palm oil (2.10) (50 g, 57 mmol), Na₂WO₄·2H₂O (2.6 g, 8 mmol), Aliquat 336 (3.5 g, 8 mmol) and H₂O₂ (30% w/w, 220 g, 1941 mmol) viscous pale yellow liquid (97.8 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 2929, 2859 (C-H) 1740 (C=O) 1460 (CH₂) 1160 (C-O) 752 (CH₂); \\( ^1\\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.31-5.23 \\) (1H, m, CHO), 4.30 (2H, dd, \\( J = 11.7 \\) Hz, 4.1 Hz, CH₂O), 4.15 (2H, dd, \\( J = 11.8 \\) Hz, 6.0 Hz, CH₂O), 3.80-3.35 (4H, m, CHO), 2.33 (6H, t, \\( J = 7.6 \\) Hz, O=CCH₂CH₂), 1.70-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.53-1.21 (56H, m, CH₃CH₂), 0.90 (9H, t, \\( J = 7.0 \\) Hz, CH₂CH₃); \\( ^{13}\\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 173.1, 172.7 \\) (C=O), 72.1 (HC-O), 68.6 (HC-O), 62.0, 61.7 (H₂C-O), 33.7 (O=CCH₂CH₂), 31.0, 29.1, 22.2 (CH₂CH₂), 24.2 (O=CCH₂CH₂CH₂), 13.8 (CH₂CH₃).\n\n220.127.116.11 General procedure for the oligomerization of unsaturated plant oil with tungsten powder\n\n[Rapeseed oil (2.11) as an example]\n\nTungsten powder (12 \\( \\mu \\text{m}, 99.99\\%, 0.9 \\) g, 4.9 mmol), hydrogen peroxide (30% w/w, 8 g, 61.8 mmol) and deionised water (3.5 cm³) were charged into a round bottom flask equipped with a magnetic stirrer and reflux condenser. The mixture was stirred and heated up to 50 °C until the tungsten powder was totally dissolved, then H₃PO₄\n\n(85%, 0.65 g, 5.6 mmol) in water (7 cm$^3$) was added into it (this is the tungsten catalyst solution). Rapeseed oil (170 g, 0.21 mol) and Adogen 464 (1.2 g, 3 mmol) were charged into another 3-neck round bottom flask equipped with a motor stirrer. The oil mixture was heated to the desired temperature and stirred vigorously. The tungsten catalyst solution was added to the oil mixture followed by water (300 cm$^3$), hydrogen peroxide (115 g, 0.97 mol) and H$_3$PO$_4$ (101.1 g, 0.877 mol). The temperature of the oil mixture was kept at 100 °C for 8 hours. The oil mixture was then poured into a separating funnel, and then saturated NaCl solution (100 cm$^3$) and dichloromethane (100 cm$^3$) were added to the oil mixture. The aqueous layer was separated from the organic layer. The organic layer was neutralized with saturated sodium hydrogen carbonate solution (100 cm$^3$). The organic layer was again washed with NaCl solution (100 cm$^3$). The organic layer was dried over anhydrous MgSO$_4$ followed by removal of solvent \\textit{in vacuo} to yield a viscous pale yellow liquid (165 g).\n\n$\\nu_{\\text{max}}$/cm$^{-1}$ 2924, 2854 (C-H) 1740 (C=O) 1460 (CH$_2$) 1164 (C-O) 752 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.29-5.22$ (1H, m, CHO), 4.27 (2H, dd, $J= 11.9$ Hz, 4.4Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.6$ Hz, 5.8 Hz, CH$_2$O), 3.60-3.40 (1H, m, CHO), 2.36 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.70-1.55 (6H, m, O=CCH$_3$CH$_2$CH$_2$), 1.38-1.20 (54H, m, CH$_2$CH$_2$), 0.92 (9H, t, $J= 7.5$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 173.3$, 172.9 (C=O), 74.3 (HC-O), 68.8 (HC-O), 62.1, 61.8 (H$_2$C-O), 33.8 (O=CCH$_2$CH$_2$), 31.3, 28.9, 22.5 (CH$_2$CH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$).\n\n18.104.22.168 One-pot oligomerization of soybean oil (2.12) and palm oil (2.10) with tungsten powder\n\nThe experiment was conducted according to the general procedure described in 22.214.171.124. Tungsten powder (12 µm, 99.99%, 0.3 g, 1.6 mmol), hydrogen peroxide (30% w/w, 43 g, 380 mmol), deionised water (101.5 g), H₃PO₄ (85%, 28 g, 0.3 mol), soybean oil (50 g, 57 mmol), palm oil (50 g, 57 mmol), Adogen 464 (0.4 g, 1 mmol), a viscous pale yellow liquid (97.3 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 2920, 2850 (C-H) 1740 (C=O) 1465 (CH₂) 1168 (C-O) 751 (CH₂); \\( ^1\\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.29-5.21 \\) (1H, m, CHO), 4.29 (2H, dd, \\( J = 11.9 \\) Hz, 4.3 Hz, CH₂O), 4.14 (2H, dd, \\( J = 11.8 \\) Hz, 5.9 Hz, CH₂O), 3.76-3.33 (2H, m, CHO), 2.31 (6H, t, \\( J = 7.5 \\) Hz, O=CCH₂CH₂), 1.67-1.54 (6H, m, O=CCH₂CH₂CH₂), 1.53-1.21 (54H, m, CH₂CH₂), 0.88 (9H, t, \\( J = 6.8 \\) Hz, CH₂CH₃); \\( ^{13}\\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 173.5, 172.8 \\) (C=O), 73.5 (HC-O), 68.8 (HC-O), 62.1, 61.9 (H₂C-O), 33.8 (O=CCH₂CH₂), 31.0, 29.5, 22.3 (CH₂CH₂), 24.6 (O=CCH₂CH₂CH₂), 13.8 (CH₂CH₃).\n\n6.4.3 Synthesis of oleic acid based oligomers (5.6)\n\nOleic acid (5.5) (100 g, 0.354 mol), Na₂WO₄·2H₂O (2.5 g, 7.5 mmol), Aliquat 336 (3.4 g, 7.7 mmol), H₂O₂ (30% w/w, 215 g, 1.9 mol) were charged into a 3-neck round bottom flask equipped with magnetic stirrer bar and reflux condenser. The mixture was heated to 100 °C and stirred vigorously for 24 hours. The mixture was then poured into a separating funnel and was left to cool. The mixture separated into an organic and aqueous layer, with some white precipitate in the aqueous layer. The aqueous layer together with the white precipitate was separated from the organic layer. The white precipitate was filtered from the aqueous and washed with deionised water (3 x 100 ml) to remove any aqueous residual. Then it was dried in oven and\n\nwas characterized to be 1,9-nonanedioic acid (azelaic acid) (1.5 g, 7.98 mmol, 2.3%) (5.14). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 1695 (C=O) 2932, 2856 (C-H) 1684 (C=O) 1468 (CH₂) 1251 (C-O) 912 (CH₂); \\( ^1 \\text{H NMR} \\) (400 MHz, DMSO-d₆): \\( \\delta_H = 12.0 \\) (2H, s, COOH), 2.20 (4H, t, \\( J = 7.5 \\text{Hz}, \\ O=C\\text{CH}_2\\text{CH}_2\\)), 1.46-1.53 (4H, m, \\( \\ O=C\\text{CH}_2\\text{CH}_2\\text{CH}_2\\)), 1.08-1.40 (6H, m, CH₂CH₂CH₂) \\( ^{13} \\text{C NMR} \\) (100 MHz DMSO-d₆): \\( \\delta_C = 174.4 \\) (C=O), 34.0 (O=CCH₂), 28.8 (CH₂CH₂CH₂), 24.4 (O=CCH₂CH₂CH₂); \\( m/z \\) (ES⁺) [M+Na⁺] Required 211.0941, Found 211.0941; melting point = 106 - 108 °C ( literature¹¹³: 105 – 107 °C) [Found: C, 58.0; H, 8.7; C₉H₁₆O₄ Required C, 57.4; H, 8.6; O, 34].\n\nThe organic layer was diluted with equal amount of dichloromethane (100 ml) and dried over MgSO₄. It was filtered and the solvent removed in vacuo to yield crude product (5.6) (95 g) as a viscous pale yellow liquid. A small amount of (5.6) (250 mg) was purified by column chromatography R_f 0.3 (petroleum ether (40-60°C)/ethyl acetate, 8:2) to yield purified (5.6) (190 mg, 0.157 mmol, 64%) as a viscous liquid. \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3354 (O-H), 2924, 2854 (C-H) 1708 (C=O) 1175 (C-O); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 4.86-4.80 \\) (2H, m, HCOC=O), 3.61-3.56 (2H, m, HCO) 3.44-3.39 (2H, m, HCO), 2.33 (6H, t, \\( J= 7.5 \\text{ Hz}, \\ O=C\\text{CH}_2\\text{CH}_2\\)), 1.70-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.51-1.21 (72H, m, CH₂CH₂CH₂), 0.9 (9H, t, \\( J= 7.5 \\text{ Hz}, \\ CH_2CH_3 \\)) \\( ^{13} \\text{C NMR} \\) (100 MHz, CDCl₃): \\( \\delta_C = 179.7 \\) (C=O), 77.4, 77.6, 72.7 (C-O), 34.0 (O=CCH₂), 29.2 (O=CCH₂CH₂CH₂), 33.0, 29.2, 29.0, 22.6 (CH₂CH₂CH₂), 15.0 (CH₂CH₃); \\( m/z \\) (ES⁺) [M+Na⁺] Required 935.7527, Found 935.7522.\n\n6.4.4 Saponification of estolides (5.6)\n\n2.5 g (2.06 mmol) of (5.6) was dissolved in 20 ml tetrahydrofuran in a 100 ml round bottom flask equipped with a magnetic stirrer. Then 1.3 g (32.5 mmol) of sodium hydroxide was dissolved in 20 ml deionised water and this sodium hydroxide solution was added to the round bottom flask. The mixture was heated to 80 °C for 12 hour under reflux, which was then acidify to pH=1 with 2 M HCl. The reaction mixture was poured into a separating funnel and the aqueous layer was separated from the organic layer. The aqueous layer was extracted with CHCl₃ (100 ml) and the CHCl₃ was combined with the organic layer, which was dried over MgSO₄. The organic layer was filtered and the solvent removed *in vacuo* to yield crude product (2.05 g). A small amount of crude product (250 mg) was purified by column chromatography (petroleum ether (40-60°C)/ethyl acetate, 7:3) to yield purified (5.11) (182 mg, 0.576 mmol, 57%) as a white solid. R_f 0.3 (petroleum ether (40-60°C)/ethyl acetate, 7:3); ν_max/cm⁻¹ 3292 (O-H) 2915, 2847 (C-H) 1716 (C=O) 1467 (CH₂) 1076 (C-O) 719(CH₂) ¹H NMR (400 MHz, DMSO-d₆): δ_H = 12.0 (1H, s, COOH), 3.24-3.18 (2H, m, HCOH), 2.2 (2H, t, J= 7.5 Hz, O=CCH₂), 1.65-1.55 (2H, m, HOOCCH₂CH₂), 1.50-1.35 (2H, m, HOCHCH₂), 1.35-1.20 (20H, m, CH₂CH₂CH₂), 0.85 (3H, t, J= 7.5 Hz, CH₂CH₃) ¹³C NMR (100 MHz DMSO-d₆): δ_C = 174.5 (C=O), 73.1 (C-OH), 33.6 (O=CCH₂), 31.3 (HOCHCH₂), 24.3 (O=CCH₂CH₂CH₂), 29.1, 28.0, 22.6 (CH₂CH₂CH₂), *m/z* (ES⁺), [M+Na⁺] Required 339.2511, Found 339.2506; melting point = 95 - 96 °C (literature¹¹⁴: 94 °C) [Found: C, 68.3; H, 11.5; C₁₈H₃₆O₄ Required C, 68.3; H, 11.5; O, 20.2].\n\n6.4.5 Reduction of estolides (5.6)\n\n2.5g (2.06 mmol) of (5.6) was dissolved in 25 ml dry tetrahydrofuran in a 100 ml round bottom flask equipped with a magnetic stirrer under nitrogen gas atmosphere. The reactant was cooled to 0 °C with an ice bath. Then, 40 ml of LiAlH₄ (1M, 40 mmol) was slowly added to the reactant while the reactant was being stirred. After the addition has finished, the reaction temperature was raised to room temperature and held for 24 hours. After 24 hours, the excess LiAlH₄ was decomposed with deionised water and 20 ml of H₂SO₄ (10% concentration) was added to reactant mixture. The reaction mixture was poured into separating funnel and the aqueous layer was separated from the organic layer. The aqueous layer was extracted with CHCl₃ (2 x 100 ml) and the CHCl₃ was combined with the organic layer, which was dried over MgSO₄. The organic layer was filtered and the solvent removed *in vacuo* to yield crude product (1.63 g). A small amount of crude product (250 mg) was purified by column chromatography (petroleum ether (40-60°C)/ethyl acetate, 8:2) to yield purified (5.12) (175 mg, 0.58 mmol, 46%) as a white solid. R_f 0.3 (petroleum ether (40-60°C)/ethyl acetate, 8:2); ν_max/cm⁻¹ 3340 (O-H) 2915, 2847 (C-H) 1463 (CH₂) 1057(C-O) 723 (CH₂); ¹H NMR (400 MHz, CDCl₃): δ_H = 3.60 (2H, t, J= 6.6 Hz, HCOH), 3.43-3.38 (2H, m, HCOH), 1.64-1.51 (2H, m, HOCH₂), 1.50-1.42 (2H, m, HOCH₂) 1.40-1.20 (22H, m, CH₂CH₂CH₂), 0.87 (3H, t, J= 7.5 Hz, CH₂CH₃) ¹³C NMR (100 MHz CDCl₃): δ_C = 72.7, 62.4 (C-OH), 33.0 (HOCHCH₂), 29.2 (O=CCH₂CH₂CH₂), 29.0, 28.7, 25.1, 22.6 (CH₂CH₂CH₂), 15.0 (CH₂CH₃); m/z (ES⁺),[M+Na⁺] Required 325.2713, Found 325.2714; melting point = 70 - 82 °C (literature¹¹⁵: 82 °C) [Found: C, 71.3; H, 12.4; C₁₈H₃₆O₄ requires C, 71.5; H, 12.7; O, 15.9].\n\n6.4.6 Synthesis of 9,10-dihydroxystearic acid (5.11) from oleic acid\n\nOleic acid (5.5) (250 g, 708 mmol), H$_2$O$_2$ (10 g, 88 mmol), H$_2$SO$_4$ (0.6 g, 6 mmol) and HCOOH (41.4 g, 900 mmol) were weighed into a 3-neck round bottom flask. The mixture was stirred without heating as this is an exothermic reaction and when the temperature of the mixture reaches 40 °C, another portion of H$_2$O$_2$ (80 g, 706 mmol) was added drop-wise to the mixture while maintaining the reaction temperature at 60 °C. Once the addition of H$_2$O$_2$ was completed, the reaction temperature was raised and maintained at 90 °C for 24 hour. Then, the reaction mixture was poured into separating funnel and the organic layer was separated from the aqueous layer. Then 150 ml of NaOH solution (50% concentration) was added to the organic layer and the mixture was heated to 100 °C under reflux for 8 hour. Then the mixture was acidify to pH=1 with 2 M HCl and poured into separating funnel, where the organic layer was separated from the aqueous layer. The organic layer was dissolved in hot n-hexane at 60 °C and was left to recrystalize overnight. The white precipitate was filtered and washed with n-hexane to yield about 140 g of (5.11) (440 mmol, 62% yield).\n\n6.4.7 Synthesis of diacetate estolides (5.17)\n\nThe compound (5.11) (31.6 g, 100 mmol), acetic anhydride (31 g, 304 mmol) and H$_3$PO$_4$ (1 g, 10 mmol) were weighed into a round bottom flask and was heated to 100 °C for 6 hour. Then, the mixture was poured into separating funnel and 100 ml of CHCl$_3$ was added to the mixture. The organic layer was separated from the aqueous layer and the aqueous layer was again extracted with 100 ml of CHCl$_3$. The organic layer was combined, dried over MgSO$_4$ and was filtered. The solvent was removed *in vacuo* to yield (5.17) (26.7 g, 360 mmol, 36% yield). $\\nu_{\\text{max}}/\\text{cm}^{-1}$ 2925, 2855 (C-H)\n\n1737, 1710 (C=O) 1465 (CH$_2$) 1371 (O=CCH$_3$) 1225 (C-O-C) 1022 (C-O) $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H = 5.03-4.96$ (4H, m, HCOC=O), 2.43 (2H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 2.33 (2H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 2.06 (9H, s, O=CCH$_3$), 1.69-1.57 (4H, m, O=CCH$_2$CH$_2$CH$_2$), 1.56-1.47 (8H, m, OCHCH$_2$), 1.38-1.18 (40H, m, CH$_2$CH$_2$), 0.87 (6H, t, $J= 6.8$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\\delta_C = 179.3$, 173.3, 170.6 (C=O) 73.2, 72.9 (C-O), 35.1, 34.2 (O=CCH$_2$), 29.1 (CH$_2$CHO), 24.1 (O=CCH$_2$CH$_2$CH$_2$), 22.6 (O=CCH$_3$), 28.6, 24.1, 22.6, 20.6 (CH$_2$CH$_2$CH$_2$), 14.1 (CH$_2$CH$_3$); $m/z$ (ES$^+$),[M+Na$^+$] Required 763.5336, Found 763.5333.\n\n6.4.8 Synthesis of 9,10-dimethoxy methyl stearate (5.18)\n\nPotassium hydroxide (KOH) (20 g, 357 mmol) was grounded to powder and was charged into a round bottom flask. Then, 9,10-dihydroxy methyl stearate (5.9) (30 g, 91 mmol) and anhydrous tetrahydrofuran (50 ml) were added to this mixture with stirring and the temperature was maintained at 40 °C for another an hour. Thereafter, methyl iodide (50 g, 350 mmol) was added drop-wise to the mixture and the reaction temperature was maintained at 40 °C for 24 hour. Then, the mixture was poured into separating funnel. 200 ml of NaCl solution and 300 ml of CHCl$_3$ was added to the mixture. The organic layer was separated from the aqueous layer and the aqueous layer was again extracted with 300 ml of CHCl$_3$. The organic layer was combined, dried over MgSO$_4$ and was filtered. The solvent was removed in vacuo to yield (5.18) as a pale yellow oil (16.3 g, 45.5 mmol, 50% yield). $\\nu_{\\text{max}}$/cm$^{-1}$ 2922, 2853 (C-H) 1741 (C=O) 1455 (CH$_2$) 1094 (C-O) 722 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\\delta_H =$ 3.63 (3H, s, HCO), 3.40 (6H, s, HCO), 3.30-3.20 (2H, m, HCO) 2.30 (2H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.60-1.50 (2H, m, O=CCH$_2$CH$_2$CH$_2$), 1.50-1.40 (4H, m, MeOCCH$_2$), 1.35-1.25 (22H, m, CH$_2$CH$_2$CH$_2$), 0.88 (3H, t, $J= 7.5$ Hz, CH$_2$CH$_3$); $^{13}$C\n\nNMR (100 MHz CDCl₃): \\( \\delta_C = 174.1 \\) (C=O), 81.9 (HC-OMe), 57.1 (OCH₃), 49.5 (O=CCH₃), 39.1 (O=CCH₂), 30.3 (CH₂CHO), 27.1 (O=CCH₂CH₂CH₂), 26.6, 23.7 (CH₂CH₂CH₂), 14.5 (CH₃CH₃); \\( m/z \\) (ES⁺), [M+Na⁺] Required 381.2981, Found 381.2975.\n\n### 6.4.9 General procedure for oxidative cleavage of fatty acid derivatives\n\n#### 126.96.36.199 Oxidative cleavage of epoxidized methyl oleate (5.16) as an example\n\nEpoxidised methyl oleate (5.16) (50 g, 160 mmol), Na₂WO₄ (1.25 g, 3.79 mmol), Aliquat 336 (1.7 g, 3.85 mmol) and H₂O₂ (30% w/v) (100 g, 880 mmol) were weighed into a round bottom flask and the reaction mixture was stirred and heated to 100 °C for 24 hour. After 24 hour, 100 ml deionised water and 4 g H₃PO₄ were added to the reaction mixture. The reaction mixture was stirred and heated at 100 °C for another 24 hour. The reaction mixture was poured into separating funnel after 24 hour of reaction and 100 ml of NaCl solution was added to the separating funnel, then the mixture was left overnight for any azelaic acid to precipitate from the aqueous layer. The precipitated azelaic acid (5.14) in the aqueous layer was filtered and washed with deionised water, then dried overnight in oven. The weight of (5.14) collected is 0.92 g (4.9 mmol, 3% yield).\n\n#### 188.8.131.52 Oxidative cleavage of 9,10-dihydroxystearic acid (5.11)\n\nThe experiment was conducted according to the procedure described in 184.108.40.206. The compound (5.11) (12 g, 38 mmol), Na₂WO₄ (0.22 g, 0.68 mmol), Aliquat 336 (0.3 g, 0.68 mmol) and H₂O₂ (30% w/v) (19.3 g, 170 mmol). The weight of azelaic acid (5.14) collected is 70 mg (0.37 mmol, 0.98% yield).\n\n220.127.116.11 Oxidative cleavage of diacetate estolides (5.17)\n\nThe experiment was conducted according to the procedure described in 18.104.22.168. The compound (5.17) (25 g, 33.7 mmol), Na₂WO₄ (0.41 g, 1.24 mmol), Aliquat 336 (0.55 g, 1.24 mmol), H₂O₂ (30% w/v) (35.5 g, 313 mmol). No precipitation was observed in the aqueous layer and the major compounds in the crude organic layer were identified as (5.11) and (5.17).\n\n22.214.171.124 Oxidative cleavage of 9,10-dimethoxy methyl oleate (5.18)\n\nThe experiment was conducted according to the procedure described in 126.96.36.199. The compound (5.18) (20 g, 55.9 mmol), Na₂WO₄ (0.4 g, 1.2 mmol), Aliquat 336 (0.53 g, 1.2 mmol), H₂O₂ (30% w/v) (32 g, 282 mmol). No precipitation was observed in the aqueous layer and the major compound in the crude organic layer was identified as (5.18).\n\n6.4.10 Oligomerization of oleic acid without catalyst\n\nOleic acid (5.5) (50 g, 177 mmol) and hydrogen peroxide (30% w/w, 100 g, 890 mmol) were weighed into a round bottom flask. The mixture was stirred and heated at 80 °C for 3 days. The mixture was poured into a separating funnel and CHCl₃ (50 ml) was added to it. The organic layer was separated from the aqueous layer. The organic layer was dried over anhydrous MgSO₄ and CHCl₃ was removed *in vacuo* to yield a colorless liquid (5.6) (50 g) \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3467 (OH) 2923, 2854 (C-H) 1708 (C=O) 1174 (C-O) 723 (CH₂); \\( ^1\\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 4.87-4.80 \\) (2H, m, HCOC=O), 3.63-3.55 (2H, m, HCO) 3.45-3.38 (2H, m, HCO), 2.32 (6H, t, \\( J=7.1 \\) Hz, O=CCH₂CH₂), 1.68-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (72H, m,\n\nCH₂CH₂CH₂), 0.88 (12H, t, $J=6.0$ Hz, CH₂CH₃), $^{13}$C NMR (100 MHz CDCl₃): $\\delta_C =$ 179.2, 173.9 (C=O), 76.1 (HCOC=O), 74.4, 72.4 (HC-O), 33.9 (O=CCH₂), 24.4 (O=CCH₂CH₂CH₂), 31.3, 29.5, 24.6, 22.8 (CH₂CH₂CH₂), 13.8 (CH₂CH₃); $m/z$ (ES⁺) [M+Na⁺] (n=3) Required 935.7527, Found 935.7519\n\n6.4.11 General procedure for oligomerization of plant oil with succinic acid\n\n188.8.131.52 Oligomerization of soybean oil (5.24) with succinic acid as an example\n\nSoybean oil (5.24) (5 g, 5.3 mmol), succinic acid (2.5 g, 21 mmol) and hydrogen peroxide (30% w/w, 30 g, 0.26 mol) were weighed into a round bottom flask. The mixture was stirred and heated at 80 °C for 7 days. The mixture was poured into a separating funnel and CHCl₃ (50 ml) was added to it. The organic layer was separated from the aqueous layer. The organic layer was dried over anhydrous MgSO₄ and CHCl₃ was removed in vacuo to yield a yellowish liquid (5.25) (6.5 g).\n\n$v_{\\text{max}}/\\text{cm}^{-1}$ 3446 (OH) 2923, 2856 (C-H) 1736 (C=O) 1163 (C-O) 754 (CH₂); $^1$H NMR (400 MHz, CDCl₃): $\\delta_H = 5.30-5.22$ (1H, m, CHO), 4.31 (2H, dd, $J=11.9$ Hz, 4.5 Hz, CH₂O), 4.15 (2H, dd, $J=11.9$ Hz, 5.9 Hz, CH₂O), 3.85-3.37 (4H, m, HCO), 2.63 (2H, t, $J=7.4$ Hz O=CCH₂CH₂), 2.33 (6H, t, $J=7.5$ Hz O=CCH₂CH₂), 1.66-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.52-1.20 (48H, m, CH₂CH₂), 0.89 (9H, t, $J=7.5$Hz, CH₂CH₃). $^{13}$C NMR (100 MHz CDCl₃): $\\delta_C =$ 177.9, 175.7, 173.2, 172.8 (C=O) 78.7, 76.9, 74.3, 72.3 (HC-O), 68.8 (HC-O), 62.1, 61.7 (H₂C-O), 33.7, 28.3 (O=CCH₂), 24.4 (O=CCH₂CH₂CH₂), 29.4, 22.5 (CH₂CH₂CH₂), 13.7 (CH₂CH₃)\n\n184.108.40.206 Oligomerization of rapeseed oil (5.23) with succinic acid\n\nThe experiment was conducted according to the procedure described in 220.127.116.11.\n\nRapeseed oil (5.23) (5 g, 5.3 mmol), succinic acid (2.7 g, 23 mmol) and hydrogen peroxide (30% w/w, 26 g, 0.23 mol), yellowish liquid (6.9 g); \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3450 (OH) 2924, 2854 (C-H) 1710 (C=O) 1164 (C-O) 755 (CH₂); \\( ^1\\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.30-5.22 \\) (1H, m, CHO), 5.12-5.04 (1H, m, CHO), 4.90-4.78 (1H, m, CHO), 4.29 (2H, dd, \\( J = 11.8 \\) Hz, 4.5 Hz, CH₂O), 4.15 (2H, dd, \\( J = 11.7 \\) Hz, 5.8 Hz, CH₂O), 3.80-3.30 (4H, m, HCO), 2.66 (2H, t, \\( J = 7.5 \\) Hz O=CCH₂CH₂), 2.33 (6H, t, \\( J = 7.0 \\) Hz O=CCH₂CH₂), 1.70-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (54H, m, CH₂CH₂), 0.88 (9H, t, \\( J = 6.8 \\) Hz, CH₂CH₃); \\( ^{13}\\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 178.6, 176.3, 173.3, 172.1 \\) (C=O) 77.0, 74.4, 72.5 (HC-O), 68.8 (HC-O), 62.1, 61.9 (H₂C-O), 33.9, 28.6 (O=CCH₂), 24.6 (O=CCH₂CH₂CH₂), 29.5, 25.1, 22.7 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)\n\n18.104.22.168 Oligomerization of palm oil (5.22) with succinic acid\n\nThe experiment was conducted according to the procedure described in 22.214.171.124.\n\nPalm oil (5.22) (5 g, 5.6 mmol), succinic acid (1.39 g, 11.7 mmol) and hydrogen peroxide (30% w/w, 13.4 g, 0.118 mol), a yellowish liquid (4.5 g); \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3451 (OH) 2925, 2856 (C-H) 1725 (C=O) 1125 (C-O) 744 (CH₂); \\( ^1\\text{H NMR} \\) (400 MHz, CDCl₃): \\( \\delta_H = 5.29-5.22 \\) (1H, m, CHO), 4.92-4.78 (2H, m, CHO), 4.30 (2H, dd, \\( J = 11.8 \\) Hz, 4.6 Hz, CH₂O), 4.13 (2H, dd, \\( J = 11.9 \\) Hz, 5.8 Hz, CH₂O), 3.78-3.30 (4H, m, HCO), 2.63 (2H, t, \\( J = 7.5 \\) Hz O=CCH₂CH₂), 2.29 (6H, t, \\( J = 7.5 \\) Hz O=CCH₂CH₂), 1.68-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (64H, m, CH₂CH₂), 0.87 (9H, t, \\( J = 7.5 \\) Hz, CH₂CH₃). \\( ^{13}\\text{C NMR} \\) (100 MHz CDCl₃): \\( \\delta_C = 176.9, 173.6, 172.6 \\) (C=O) 78.2,\n\n126.96.36.199 Oligomerization of cocoa butter (5.21) with succinic acid\n\nThe experiment was conducted according to the procedure described in 188.8.131.52. Cocoa butter (5.21) (5 g, 5.8 mmol), succinic acid (5.21) (0.70 g, 5.8 mmol) and hydrogen peroxide (30% w/w, 6.6 g, 58 mmol), a yellowish liquid (4.7 g) which was characterized by $^1$H NMR to be epoxidized cocoa butter.\n\n6.4.12 Oligomerization of soybean oil (5.24) with adipic acid\n\nThe experiment was conducted according to the procedure described in 184.108.40.206. Soybean oil (5.24) (5 g, 5.3 mmol), adipic acid (4 g, 28 mmol) and hydrogen peroxide (30% w/w, 32 g, 0.28 mol), a yellowish liquid (4.8 g) which was characterized by $^1$H NMR to be epoxidized soybean oil.\n\n6.4.13 General procedure for oligomerization of plant oil with phthalic anhydride\n\n220.127.116.11 Oligomerization of soybean oil (5.24) with phthalic anhydride as an example\n\nSoybean oil (5.24) (5 g, 5.3 mmol), phthalic anhydride (4 g, 28 mmol) and hydrogen peroxide (30% w/w, 15 g, 0.138 mol) were weighed into a round bottom flask. The mixture was stirred and heated at 80 °C for 1 day. The mixture was poured into a separating funnel and CHCl$_3$ (50 ml) was added to it. The organic layer was separated from the aqueous layer. The organic layer was dried over anhydrous MgSO$_4$ and CHCl$_3$ was removed *in vacuo* to yield a yellowish liquid (5.29) (6.5 g).\n\n\\( \\nu_{\\text{max}}/\\text{cm}^{-1} 3449 \\) (OH) 2924, 2854 (C-H) 1720 (C=O) 1599 (Ar-CH) 1069 (C-O) 743 (CH\\(_2\\)); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl\\(_3\\)): \\( \\delta_H = 7.90-7.60 \\) (2H, m, Ar-H) 7.60-7.45 (2H, m, Ar-H), 5.32-5.22 (1H, m, CHO), 5.19-5.06 (1H, m, CHO) 4.29 (2H, dd, \\( J = 11.9 \\) Hz, 4.5 Hz, CH\\(_2\\)O), 4.15 (2H, dd, \\( J = 11.9 \\) Hz, 5.9 Hz, CH\\(_2\\)O), 3.90-3.35 (4H, m, HCO), 2.31 (6H, t, \\( J = 7.5 \\) Hz O=CCH\\(_2\\)CH\\(_2\\)), 1.72-1.56 (6H, m, O=CCH\\(_2\\)CH\\(_2\\)CH\\(_2\\)), 1.54-1.17 (48H, m, CH\\(_2\\)CH\\(_2\\)), 0.87 (9H, t, \\( J = 6.9 \\) Hz, CH\\(_2\\)CH\\(_3\\)). \\( ^{13} \\text{C NMR} \\) (100 MHz CDCl\\(_3\\)): \\( \\delta_C = 178.3, 173.3, 172.9 \\) (C=O) 131.2, 129.2 (Ar-C) 83.1, 78.5, 74.4, 72.8 (HC-O), 68.7 (HC-O), 62.2, 61.9 (H\\(_2\\)C-O), 33.8 (O=CCH\\(_2\\)), 24.5 (O=CCH\\(_2\\)CH\\(_2\\)CH\\(_2\\)), 29.5, 22.7 (CH\\(_2\\)CH\\(_2\\)CH\\(_2\\)), 13.8 (CH\\(_2\\)CH\\(_3\\))\n\n### 18.104.22.168 Oligomerization of palm oil (5.22) with phthalic anhydride\n\nThe experiment was conducted according to the procedure described in 22.214.171.124. Palm oil (5.22) (5 g, 5.6 mmol), phthalic anhydride (1.72 g, 21 mmol), hydrogen peroxide (30% w/w, 6.6 g, 58 mmol), a yellowish liquid (5.30) (6.7 g). \\( \\nu_{\\text{max}}/\\text{cm}^{-1} 3441 \\) (OH) 2922, 2853 (C-H) 1738 (C=O) 1601 (Ar-CH) 1070 (C-O) 755 (CH\\(_2\\)); \\( ^1 \\text{H NMR} \\) (400 MHz, CDCl\\(_3\\)): \\( \\delta_H = 7.85-7.67 \\) (2H, m, Ar-H) 7.58-7.47 (2H, m, Ar-H), 5.32-5.24 (1H, m, CHO), 5.17-5.04 (1H, m, CHO) 4.31 (2H, dd, \\( J = 11.9 \\) Hz, 4.6 Hz, CH\\(_2\\)O), 4.15 (2H, dd, \\( J = 11.9 \\) Hz, 6.0 Hz, CH\\(_2\\)O), 3.80-3.37 (4H, m, HCO), 2.31 (6H, t, \\( J = 7.3 \\) Hz O=CCH\\(_2\\)CH\\(_2\\)), 1.80-1.56 (6H, m, O=CCH\\(_2\\)CH\\(_2\\)CH\\(_2\\)), 1.54-1.15 (64H, m, CH\\(_2\\)CH\\(_2\\)), 0.88 (9H, t, \\( J = 6.4 \\) Hz, CH\\(_2\\)CH\\(_3\\)). \\( ^{13} \\text{C NMR} \\) (100 MHz CDCl\\(_3\\)): \\( \\delta_C = 177.9, 173.7, 172.7, 170.3 \\) (C=O) 131.1, 129.1 (Ar-C) 78.4, 74.3, 72.5 (HC-O), 68.7 (HC-O), 62.0, 61.7 (H\\(_2\\)C-O), 33.7 (O=CCH\\(_2\\)), 24.5 (O=CCH\\(_2\\)CH\\(_2\\)CH\\(_2\\)), 29.4, 22.6 (CH\\(_2\\)CH\\(_2\\)CH\\(_2\\)), 13.8 (CH\\(_2\\)CH\\(_3\\))\n\n6.4.14 Polyurethane synthesized from estolides (5.6)\n\nEstolides (5.6) (10 g, hydroxyl value = 230 mg KOH/g sample) was weighed into a round bottom flask and chloroform (50 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4'-methylene diphenyl diisocyanate (MDI) (7.7 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the chloroform was removed by using a rotary evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane (5.31) was cured at 60 °C for 24 hours in an oven. \\( \\nu_{\\text{max}}/\\text{cm}^{-1} \\) 3337 (O=CNH) 2924, 2854 (C-H) 1727 (C=O) 1597 (aromatic =CH) 1095 (C-O) 721 (CH₂)\n\n6.4.15 Polyurethane synthesized from oligomerized soybean oil with succinic acid (5.25)\n\nPolyol (5.25) (10 g, hydroxyl value = 144 mg KOH/g sample) was weighed into a round bottom flask and chloroform (50 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. 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The club was launched two years ago, attracting 800,000 members which immediately caused a drop in pricing of club CDs as a direct result of the newly created competitive arena.\n\n\"The only conclusion one can make on Warner's renegeing on its initial agreement to supply BMG with product is that it wants to have exclusive control over the flow of music to record club members in Canada,\" stated George McMillan, president and CEO of BMG Direct Ltd. \"Warner's behaviour is harmful to over 2 million Canadian record club members. They are being treated like second class citizens by being denied the benefits of competition enjoyed by US consumers.\"\n\nFor its part, Warner Music claims that the remedy being sought by the Bureau will lead to automatic compulsory licensing, something which would violate intellectual property rights of the artists and cripple their economic well-being.\n\nBut McMillan is accusing the label of employing \"scare tactics\" and of creating a \"smokescreen to hide the real issue.\"\n\n\"Bertelsmann is a leader in the music industry and would not, out of concern for its artists, support compulsory licensing for music or any other intellectual property.\"\n\nHMV’s Superstore to fete Yo-Yo Ma’s Bach series\n\nInternationally-acclaimed cellist Yo-Yo Ma has brought the Suites for Cello Solo by J.S. Bach into prominence in a film series titled Inspired by Bach. The series pairs Ma with six artists, each of whom has chosen one of the Bach Suites to explore in collaboration with Ma; choreographer Mark Morris, filmmakers Atom Egoyan and Francois Girard, ice dancers Torvill & Dean, garden designer Julie Moir Messervy and Kabuki actor Tamasaburo Bando.\n\nMa will be on hand for an exclusive performance and meet and greet at HMV’s Toronto Superstore (333 Yonge Street) on Oct. 24 from 12:30 to 2 pm to celebrate the release of the films’ soundtrack, an all-new recording of the Suites by Ma.\n\nMa’s first recording of the Bach Cello Suites, released on Sony Classical, won a 1984 Grammy Award. His interest in exploring the Suites again, in this unique manner, came after he took part in a 1991 symposium on Bach scholar Albert Schweitzer. He was apparently so fascinated by Schweitzer’s description of Bach’s music as “painterly” and “pictorial”, that he began planning his Inspired by Bach project. The series of six short films that came out of this vision will be aired over six weeks on TVO, with the first film’s premiere scheduled for Sunday, Oct. 26.\n\nTower in-store for Jethro Tull’s Toronto date\n\nFrom Noon until 1 pm on Oct. 20, Ian Anderson, Martin Barre and Andrew Giddings of Jethro Tull will be on hand at Tower Records in downtown Toronto.\n\nThe trio will perform three acoustic songs on the main floor, followed by a question and answer session open to the public and media. Vince Parr, Director of Marketing for Tower Records, is requesting that those wishing to take part should fax their questions to the marketing department, at 416-593-7995, ten of which will be chosen for the floor. After the Q&A session, the trio will sign autographs.\n\nThe Tower in-store is part of Jethro Tull’s 1997 North American Tour, promoting the EMI release of the Special 25th Anniversary Thick As A Brick. The band appears in concert at Massey Hall that same evening.\n\nCash injection extends life of Quality Dino\n\nLouis Kircos, CEO of Quality Dino Entertainment, has announced that the company will receive an additional $10 million in cash from its existing investors to provide for the same conversion terms as the new investment. The company is currently developing a new line of products including performing Chris Sheppard's Destination Dancefloor, and the 9th volume of the successful Don Cherry's Rock'Em Sock'Em hockey action figures.\n\nWALT SAYS . . . !\n\nAttitudes are changing!!! It's taken a long time, but there appears to be a whole new respect for country music from the multi-nationals in particular, and with some retailers. And you can see why. Gold and multi-platinum certifications for country albums have been on the increase, ever since Garth Brooks and Shania Twain led the way. Every multi-national, without exception, have a full roster of country acts. Attitudes have been difficult to change however. It's one thing to have a large country roster, but if there's resistance down the line at the label, the country act isn't going anywhere, and there's been a lot of proof of this over the past dozen months. Competition in country is keener than ever. No sooner does a pretty face hit #1 and another one is bidding for that slot. Now, if we can only convince retailers to boot out some of the pop and rock crap and front-rack country, we'd see a major chain in customer buying habits. I wonder if anyone at retail ever monitors how many calls they get for country records? (EC: Are you kidding???)\n\nThere's more to Q than Stern!!! They say \"as the morning goes, so goes the rest of the day,\" which is the case most of the time. When you have a shock-jock like Howard Stern opening the day, how do you program the rest of the day? Very carefully, I would imagine. So, it's been very interesting listening to what Pat Cardinal is doing with Q107. There's that feel of the old rock powerhouse, but with a difference. Cardinal is layering his music with a bit of his own shock and he's building a very entertaining format. It will be interesting to see just how the rest of the day is going. (EC: It's that western influence!!!)\n\nRewriting history!!! There are too many books coming out on the early evolution of Cancon that rewrite the facts and unfortunately there are many who will read this stuff and believe that it really happened. The truth is that many of the writers weren't there physically or mentally. The research is done by interviewing artists who they revere and believe anything they're told. The great book on early Cancon hasn't been written and it won't be by any of the current sycophants and free-loaders. Our doors are closed to researchers. We send them to the Toronto Music Library whose mandate is to use the public purse to store this Canadiana (EC: That's another story!!!) I've been writing the history of the industry for 33 1/3 years. This is Volume 66 Number 7, for those who are keeping track. Someday I'll condense it all into a book. (EC: Meanwhile, we'll have to live with the trash from L.L., M.M., R.F. and that ilk!!!)\n\nNow that's an awards show!! We predicted that the MuchMusic Video Awards would be a big ratings winner. But can you believe more than three million Canadian viewers? This is almost triple last year's audience and the highest rating ever for the show. And the demographics were between 12 and 34, pretty key when it comes to consumer buying, and you have to admit that some record sales must have been realized. That Denise Donlon sure knows how to get to the heart of the matter. (EC: Other awards shows producers should take Denise to lunch!!!)\n\nThe cart or the horse??? There's a radio station out west that's letting their attitude hang out for everyone to interpret, and not very positively from the people who have called me. The station will no longer break new songs or artists. These artists and/or songs \"must become chart items before consideration is given.\" Now, tell me, how do the artists and/or records become chart items if radio doesn't break them? (EC: Another reason for the CRTC to begin monitoring!!!)\n\nPeople are asking!!! Without looking, how many sprockets are there in the hole of a CD? (EC: Is there a hole???) At what speed does a CD revolve? At what speed did the old 78s revolve? Is the mouse looking for a hole to be more whole? If he got trapped into a bad company would that be a mousetrap? What record company doesn't have corporate citizenship in its bottom line? What ever happened to \"payola\"? (EC: He means how its done now as opposed to back then!!!) Why was there such a lack of press coverage of the CCMA Awards and why are photogs complaining? (EC: Who was to blame???)\n\nCelebrity roll call!!! With the new awakening at the Toronto Star, expect to see more photos of film celebrities in those colour spreads rumoured to be coming. Watch the Toronto Sun accelerate their celebrity coverage. The sports fans apparently love it and the entertainment advertisers are getting real excited. Watch the Globe and Mail to hire a photographer. Rumour has it they're looking for a younger readership.(EC: Photos in the dailies??? You must be dreaming . . . and IN COLOUR???)\n\nA cliff hanger!!! The Warner Warriors are the proud holders of the RPM Cup, beating out the Warner Wackers. The Warriors looked like they would take it in a two-game sweep, but the Wackers staged a pretty dramatic comeback, thanks to John Robbie's three run, two-out homer. Universal Music won the CRIA Trophy, sweeping PolyGram. It's Universal's first trophy win. (EC: Until next year!!!)\n\nEd Preston, then president of RCA Records Canada, and the recently deceased John Denver and his 1974 gold award for his Greatest Hits album. CHUM's J. Robert Wood was instrumental in taping a special on Denver which remains a classic. (photo by John Rowlands)\n\nCMAW'09\n\n| TW | LW | WO | TRACKS & WHERE TO FIND THEM |\n|----|----|----|-----------------------------|\n| 1 | 1 | 11 | FLY Sugar Ray - Floored Universal (promo CD) - P |\n| 2 | 3 | 5 | ANYBODY SEEN MY BABY? The Reflex Stunes - Bridges To Babylon Virgin 44712 (promo CD)-F |\n| 3 | 2 | 17 | BUILDING A MYSTERY Sarah McLachlan - Surfacing Nettwerk 39709 (promo CD)-F |\n| 4 | 5 | 7 | FOOLISH GAMES Jewel - Pieces Of You Warner Bros. 3301-F |\n| 5 | 10 | 6 | THE SOUND OF Jack Johnson - Happy? A&M 5207892 (promo CD) - Q |\n| 6 | 27 | 6 | PUSH Matchbox 20 - Yourself Or Someone Like You Lava/Atlantic (comp 97315 vol. 315) |\n| 7 | 7 | 4 | I DON'T WANT TO WAIT Paul Cole - I Don't Want Warner Bros. (promo CD) - P |\n| 8 | 4 | 7 | INVISIBLE MAN The Dap-Kings Columbia 530 796 (comp 61)-D |\n| 9 | 15 | 5 | ON MY OWN Peach Unison - Audiobeach Warner Bros. 33039 (promo CD)-H |\n| 10 | 9 | 24 | IF YOU COULD ONLY SEE Toric - The Lemon Parade Polydor 31543 1042-D |\n| 11 | 21 | 3 | SHOW ME LOVE The Black Keys - Rockin' In The Arista (promo CD) - N |\n| 12 | 35 | 2 | TUBTHUMPING The Prodigy - Tubthumping Universal 53099-J |\n| 13 | 18 | 11 | WALKIN' ON THE SUN Smokie Moon - Tush Yu Man Mercury 50101 (promo CD) - J |\n| 14 | 25 | 5 | 4 SEASONS OF LONELINESS Boyz II Men - Evolution Motown (promo CD) - Q |\n| 15 | 13 | 15 | I BECOME 1 Simple Plan - Simple Plan Virgin 42174-F |\n| 16 | 8 | 9 | HONEY Enya - Butterfly Polydor 31543 1042-D |\n| 17 | 24 | 21 | ALL FOR YOU Sister Hazel - Middle Nowhere More Familiar Atlantic 53035-J |\n| 18 | 11 | 12 | IT COULD HAPPEN TO YOU Blue Riders - I'm Here Now EMI (promo CD) - H |\n| 19 | 19 | 3 | SOMETHING ABOUT THE WAY... Elton John - Something About The Way Mercury 314 588 109-Q |\n| 20 | 12 | 25 | SEMI-CCHARMED LIFE The Black Keys - Third Eye Blind Elektra 52012-E |\n| 21 | NEW | 1 | DON'T GO AWAY Oasis - Be Here Now EMI (promo CD) - H |\n| 22 | 22 | 6 | MOST PRECIOUS Blues Traveler - Shining On Warner Bros. 3301-F |\n| 23 | NEW | 1 | HITCHIN' A RIDE Green Day - Nimmo Reprise (comp 335)-P |\n| 24 | 18 | 22 | OUR PLAYIN' GAMES WITH... Matchbox 20 - Playtime: Boys Jive/Zomba 15981-N |\n| 25 | 14 | 7 | TAKES A LITTLE TIME Amy Grant - Behind The Eyes Capitol 3301-F |\n| 26 | 28 | 8 | TRUST ME Amanda Marshall - Amanda Marshall Columbia 530 796 (comp 61)-D |\n| 27 | 27 | 7 | THE IMPRESSION THAT I GET Mighty Mighty Bosstones - Let's Face It Mercury (comp 520) - Q |\n| 28 | 30 | 2 | YOUR BOY You Me At Six - Flaming Pie EMI (comp 161)-F |\n| 29 | 43 | 2 | LEGEND OF A COWGIRL Shania Twain - Come Cloppola Columbia 58851-H |\n| 30 | 32 | 3 | AUTOMATIC FLOWERS Our Lady Peace - Clumsy Columbia 530 796 (comp 61)-H |\n| 31 | 45 | 6 | MY ADDICTION Dylana Manning - Volume 1 EMI 53852 (comp 17) - F |\n| 32 | 20 | 5 | CANDLE IN THE WIND '97 Whitney Houston - The album Rocket (promo CD) - Q |\n| 33 | 47 | 3 | BLAME Colbie Caillat - Disappointed Breakdown Atlantic (promo 395)-P |\n| 34 | 33 | 7 | BARBIE GIRL Aqua - Aquarama Universal (promo CD) - J |\n| 35 | 2 | 3 | THREE MARLENAS The Wallflowers - Bringing Down The Horse Universal (comp 17) - F |\n| 36 | 23 | 12 | EVERYBODY Backstreet Boys - Backstreet's Back Jive/Zomba 41617-N |\n| 37 | 31 | 24 | THE DIFFERENCE The Wallflowers - Bringing Down The Horse Interscope 80059-J |\n| 38 | 60 | 15 | TO THE MOON AND BACK Savage Garden - Savage Garden Columbia 58854 (comp 17) - H |\n| 39 | 71 | 14 | MORE THAN THIS 10,000 Maniacs - Lost Among The Ruins Geffen (comp 17) - F |\n| 40 | 17 | 15 | WHERE'S THE LOVE Hanson - Middle Of Nowhere Music 534615 |\n| 41 | NEW | 1 | DO WHAT I CAN Justin Timberlake - Present Aquarius 6075 (promo CD) - F |\n| 42 | 42 | 4 | PINK Aerosmith - Nine Lives Columbia (promo CD) - H |\n| 43 | 26 | 6 | HOW DO I LIVE LeAnn Rimes - I Can't Fight Up My Life Epic (promo CD) - F |\n| 44 | 44 | 27 | THE FRESHMEN Verve Poe - Villains RCA 688029-N |\n| 45 | 36 | 7 | SHED A LIGHT Nickelback - Kissing Rain RV International 43978 (promo CD) - N |\n| 46 | 81 | 8 | I AM THE MAN Phil Collins - Kings Are The Man Columbia (comp 128) - H |\n| 47 | 28 | 10 | CONGO Genesis - Calling All Stations Atlantic (comp 330) - F |\n| 48 | NEW | 1 | SURROUNDED Chantal Kreviazuk - Under These Rocks And Stones Columbia 87926 (promo CD) - H |\n| 49 | NEW | 1 | TOUCH PEEL STAND Talk Of The Town - Days Of The New Outlook 30004-J |\n| 50 | NEW | 1 | CRIMINAL Fabolous - Tell It Sony 67439-H |\n| 51 | 29 | 9 | TURN MY HEAD Live - Secret Sessions Retrospect 41609 (comp 10) - J |\n| 52 | NEW | 1 | ORDINARY DAY Great Big Sea - Play WEA 50101 (promo CD) - P |\n| 53 | 37 | 19 | WHEN I'M UP (I CAN'T GET DOWN) Great Big Sea - Play Warner 18992 (comp 323) - P |\n| 54 | 53 | 15 | DO YOU KNOW WHAT IT TAKES Razorlight - Run In Here EMI 64985-5 |\n| 55 | 64 | 2 | ALL THAT YOU ARE Echobelly - Crush - The Devil You Know EMI 314 588 109-Q |\n| 56 | 50 | 5 | GOT TIL IT'S GONE James Blunt - Reckless Virgin 44783 (promo CD) - F |\n| 57 | 66 | 4 | IT'S OK, IT'S ALRIGHT Gavin Hoyle - I'm Popular (promo CD) - P |\n| 58 | 55 | 3 | HEAVY Gazelle Twin - Zuchercabaty Mercury (comp 520) - Q |\n| 59 | 72 | 26 | BITCH Miley Cyrus - Blurring The Edges Capitol 31014 (promo CD) - F |\n| 60 | 54 | 16 | THIRD OF JUNE Corey Hart - Corey Hart Columbia 530 796 (comp 61)-H |\n| 61 | 38 | 7 | SILVER SPRINGS Pavement Inc. - The Dance Reprise (comp 311) - F |\n| 62 | 41 | 2 | YOU SHOULD BE HAVING FUN Bon Jovi - Last Call - I'll Tomorrow Columbia (comp 084) - H |\n| 63 | 70 | 6 | DOWNTIME The Generals - Sold For A Smile Virgin 18970 (promo CD) - J |\n| 64 | 48 | 3 | LAST OF THE BIG GAME HUNTERS Bastille Prophets - Last Of The Big Game Hunters Mercury (comp 520) - Q |\n| 65 | 52 | 4 | OPEN UP BABY Big Sugar - Harm-Vision A&M (comp 7) - F |\n| 66 | 63 | 2 | SIDE BLUE 38 Special - Flash Back A&M 39749-D |\n| 67 | 76 | 25 | SUNNY CAME HOME The Beach Boys - Two Small Repairs Columbia 87119 (comp 60) - H |\n| 68 | 46 | 3 | PEARLY WHITE Junoshine - Fuzz Columbia 53096 (promo 084) - H |\n| 69 | 85 | 28 | CLUMSY Our Lady Peace - Clumsy Columbia 80242-H |\n| 70 | 51 | 2 | HAVE YOU SEEN ME LATELY? The Wallflowers - Recovering The Satellites Universal (comp 12) - F |\n| 71 | 58 | 2 | BLUE BOY The Fogerty - Blue Moon Swirls Warner Bros. 54203-P |\n| 72 | 87 | 16 | NUMBER Holly Michael - Stuff Universal 53075 (promo CD) - J |\n| 73 | 75 | 1 | LAZY EYE Goo Goo Dolls - Batman and Robin D.S.T. Warner Bros. 46202-F |\n| 74 | NEW | 1 | STILL WATERS Lee Seals - Still Waters Polydor 3145373022-Q |\n| 75 | 57 | 2 | WHAT I THINK SHE SEES Our Lady Peace - Sweet Sucker's Parade A&M 215407052-Q |\n| 76 | 39 | 8 | MARCHING TO MARS Simple Plan - Marching To Mars Track Factory 53096 |\n| 77 | 73 | 15 | MEN IN BLACK THEME Will Smith - Men In Black D.S.T. Columbia 681119 (promo CD) - H |\n| 78 | 88 | 31 | I WANT YOU The Dap-Kings - Savage Garden Columbia 9435 (promo CD) - H |\n| 79 | 80 | 4 | SMILE AND WAVE The Dap-Kings - Smile And Wave Universal (promo CD) - J |\n| 80 | 40 | 2 | CRY LOVE Sugar Cain - Diamonds and Debris Columbia 68019-H |\n| 81 | NEW | 1 | ONE DAY OF KISSES Carol Medina - N/A Polydor 314 588 109-Q |\n| 82 | 65 | 10 | NO TENGO DINERIO Los Umbriellos - Red Hot Latin Hits EMI 57398-F |\n| 83 | 62 | 13 | DRIVING IN' L.A. Ben Van 50307 - Uber AudioGram 10105-Select |\n| 84 | 74 | 7 | MAKING LOVE OUT OF NOTHING AT ALL M-Aposis - N/A Third World Entertainment |\n| 85 | 59 | 17 | TEMPTATION The Part Time - Transgression EMI 68370 (promo CD) - F |\n| 86 | 83 | 7 | JANIE, DON'T TAKE YOUR LOVE TO TOWN Jon Bon Jovi - Destination Anywhere Mercury (comp 507) - Q |\n| 87 | 87 | 13 | FOUR LEAF CLOVER Arctic Monkeys - Strongest Places Arista 185392-N |\n| 88 | 95 | 1 | AU NATUREL See Spun Hun - Au Naturel High Longplay 1138 (promo CD) - Q |\n| 89 | 69 | 2 | GOOD ENOUGH Dodgy - Good Enough Swirls A&M 314 540 373 (promo 5) - Q |\n| 90 | 56 | 12 | D'YOU KNOW WHAT I MEAN? Oasis - D'You Know What I Mean? Columbia 3289-H |\n| 91 | 79 | 28 | CHANGE Scott Stapp - Sheryl Crow A&M 314 540 587-Q |\n| 92 | 77 | 11 | MO MONEY MO PROBLEMS The Neptunes - Mo Money After Death Asylum 79100 (comp 30) - H |\n| 93 | 82 | 13 | I'LL BE MISSING YOU Put Daddy - With Faith Evans - No Way Out Bad Boy 50102 (comp 19) - N |\n| 94 | 68 | 23 | WAYNE Chantel Kreviazuk - Under These Rocks And Stones Columbia 802246 (comp 61) - H |\n| 95 | 78 | 6 | LOST HIGHWAY Lori Yester - Lost Highway Virgin (promo CD) - F |\n| 96 | 81 | 9 | FOR YOU I WILL Monica - Space Jam O.S.T. Atlantic (comp 310) - F |\n| 97 | 86 | 27 | MMMBOP Hanson - Middle Of Nowhere Mercury (comp 507) - Q |\n| 98 | 89 | 13 | RETURN OF THE MACK Mark Morrison - Mark Morrison WEA 17286 |\n| 99 | 92 | 12 | BREAK MY STRIDE Usher - Level II Columbia 91161 (comp 62) - H |\n| 100| 84 | 18| LAST NIGHT ON EARTH U2 Island 504334 (comp 4) - J |\n\nA Present from Sass Jordan -- in the Present\n\nby Rod Cardine\n\n\"Something good did come out of all that,\" she says. \"It was very dark and difficult but I'm really glad because I learned so much. I wouldn't have been able to do it without my family, my friends and my fans.\"\n\nKACY CROWLEY - Pop/Rock\nAnchorless\nAtlantic 13038-P\n\nThis former deadhead plays the guitar and sings but hang on a sec, we mean sing. Here's a sample: \"Will I surrender and learn to fight/ Like camouflage through the dark and the light/ From the bottom of my dreams comes the sound/I wear my music like a broken crown.\" Kacy Crowley was signed to Atlantic because her music is all about sincerity and plaintive emotion. She's a thinker who seems to elude the people who try most to achieve them. A native of Northampton Massachusetts, the singer/songwriter was baptised into popular music by the likes of John Denver and John Cougar Mellencamp. And despite the Grateful Dead period that followed her into late adolescence, she has managed to hold on to the fiery, groovy roots that marked her earlier influences. In Singers Are Ugly, Crowley makes cracks about people like Mick Jagger and... herself: \"My dreams become bone thin/Bone dust indie my skin/in the city.\" Atlantic and Warner Bros. are planning a big push for the musician and are expecting a big reception in North America. For that reason, you will hear Hand To Mouth on your local radio where it will be a strong contender for the big CHR hit. Comparisons to Sheryl Crow might be informative but are ultimately pointless; this girl is dominating her very own corner in the pop world, a corner that stands to get a hell of a lot bigger in the months to come.\n\nTHE VERVE\nUrban Hymns\nVirgin 44913-F\n\nIn the seven years since their crash into the British music scene, The Verve have elicited all sorts of conflicting responses, turning them into a type of pop pariah par excellence. Much has been said -- for example, of the grandiose comments -- a la Oasis -- to a less than impressed media, of their hotel room antics and of their drug fuelled spats. And then there's the music. But before we go on to explain why Urban Hymns is a fantastically achieved pop album, we are obliged to refer to the past, when three singles, notably All In The Mind, She's A Superstar and Gravity Grave made this band a reference point for much of the stuff this decade has cranked out. Now back to Urban Hymns. The album has had an early introduction on CHR with Bitter Sweet Symphony, a tune that excludes the consequence that The Verve are accused of being arrogant for continually pointing out. In truth, Urban Hymns progresses to a semblance of their elder brothers in Oasis by concentrating guitar pop and breathy ballads into a '90s psychedelia that inexplicably makes this pop music a little sinister, a brittle and edgy piece of work. Talk about pa d'olive. Songs like Sonnet, which showcase strong words in a framework of perfect melody structure and playful delivery will ensure that this album will be canonsed among the best the period -- and the country -- has produced. Single to follow will be The Drugs Don't Work.\n\nPOP CAN\n- Pop/Alternative\nVarious Artists\nAlert 81033-Q\n\nThis cleverly titled release purports to contain some of the most refreshing indie pop currently fizzling in Toronto. Alert Music, who threw a nice little soiree for this thing last week sometime, is the one putting the compilation together under what must have been the guiding philosophy of any independent pop that works. The triumph of the release, and what it claims over other releases that try to bring together unknown bands, is that if the music has the stamp of commercial radio despite (or because of) its independent freshness, there is a lot to quench the thirst on the rock (all of sixteen tracks for a hot summer day). In our humble opinion, the standouts include Cool Blue Halo (Too Much Kathleen), Universal Honey (Wouldn't Want To Be In Your Shoes), Cinnamon (Another Edit) and the gem of the piece which belongs to that rockin' group of pop hipsters, Clue. Sour Mashslide (Hired Cook), You Will Hear Me and interesting on New Despots (an existential new wave pop experiment) and Minstrels (quaint pop with echoes of baja surfi). A release which is both well executed and important to showcasing the kinds of talent that is currently brewing in our own front doorstep. The release notes for the album called it cool, sweet, simple and pure. That about sums it. Oh, and did we mention it was 100% pure Canadian?\n\nSANDBOX\n- Alternative\nA Murder In The Glee Club\nEMI 857585-F\n\nCool. Here's an album that could be described as that game called Clue... or maybe it would be more intriguing to make the disingenuous association of James Joyce's Ulysses... or maybe it's choose your own adventure. Whatever the true concept of this concept album, the point is that Sandbox have learned a lot about zest, subtlety and strong pop melodies since their last album (1995's Bianco). That album, however, was No. 1, got quiet some promising attention, top ten action on Much, and a slew of nominations from the Junos, CASBY and ECMA's. Despite all that, it's good to hear the band still maintains its independent fervour, something which is evident from a concept album allegorically based on a murder mystery. While the lyrics give us much room to ponder whether Mr. White did it in the red room with a rope, the music stays close to the pop sensibilities that made Curious the wunderhit of yesteryear. Which means that while Murder In The Glee Club might not crown any sleuths over the next month, it will have the tendency to mysteriously appear on radio. The single called Carry and So It Goes will surely follow over at EMI tremendous possibilities for promotion. Of course it has a great chance at success. That's just elementary, my dear Watson.\n\nKEVIN CLOSS\n- Folk 'n Pop\nHomecoming\nTower Bay-1\n\nCarefull Kevin Closs could be catching. After reading the accompanying promotion piece, out of sheer curiosity, his squeaky clean instrumental (acoustic guitar) version of Canada was the first track sampled. The inspiration emerged from a trip to Ireland without saying. Closs is an artist with balls and a unique vocal property to play touch-and-go with not only his own but also the imagination of his listener. His folk roots are pretty obvious. He tailor-fits his word imaging to a warm, almost cuddly projection that creates a message title that fits several moods, all positive. Key here are Homecoming, Pell Mell, Nowhereland, and The Camp Song. But don't overlook Red Dan's Lament. Also Key is Old Voice, written by Ian Tamblyn, who also produced the album and doubles on several instruments, and the Paul Dunn penning of Careful What You Wish For. Recorded at Ottawa's Sound of One Hand and mastered by Bill Kipper at SNB in Montreal.\n\n11:11 - Newfoundland Classics\nNewfoundland Women Sing\nSongs by Ron and Connie Hynes\nTMP-1111\n\nThere's nothing more that captures the very essence of The Rock and its lush heritage than the works of Newfoundland's Ron and Connie Hynes. Add to that the individual vocal charm and a no-kidding delivery by 11 of the island's best known female vocalists, and you have an entertainment package that underscores not only the importance of being a Newfoundland but a female to boot. Needless to say, this has been a two-year labour of love by Ron and Connie and producer Declan O'Doherty, not to mention the support of TMP The Music Producer. All tracks are key, and whether by accident or design, the music and lyrics fit perfectly, the personality of each of the vocalists. Ants In The House (Met At A Bar), Dammit Doyle (He's Not Wild About You), Liz Picard (Picture To Remember), Kim Stockwood (Leave Or Be The One), Colleen Power (Mary Got A Baby), Vicki Hynes (If You Let Me Go I'll Fall), Mary Barry (April Fools), Shirley Montague (Only Lonely Sometimes), Shirley Dalton (I've Got Thin Lines), Pamela Morgan (May I Shiver Here?), and Kathy Phippard (Heart Of A Man). Recorded at The Junction Sound Studios in Toronto and mastered by Ted Carson at MusicLane Inc. in Markham, Ontario. Available through TMP The Music Producer 416-986-7788. Distributed on the east coast by Tidemark.\n\nOLIVE\nExtra Virgin\nRCA 67507-N\n\nSure, BMG staffers Dale I Wish I Was Dick Assman' Peters and Cameron Carpenter bagged the every RPM staff with boozoo, turkey subs and olives when they dropped off this release, but that's not why you are currently reading this review. Olive pricked our ears because we heard in it what 500,000 Britons heard when they rushed out to buy the first single from the exploding UK phenom. The song was You're Not Alone and is, of course, included here in the trio's third North American release called Extra Virgin. The sound harkens to something we've heard before, notably Everything But The Girl, though Olive aims to throw a tasty splash of R&B into the techno-tinged trip hop mix that give their particular potion the taste of heaven. Something about the new Extra Virgin plays itself out, suggesting us that there's a huge crossover market for this music, including CHR, A/C and alternative. The fluid, soulful ebbs and flows reach crescendoes with Miracle, Safer Hands and, of course, You're Not Alone. Understandably, there is big anticipation for a North American invasion and the possibility seems glaringly tangible after a cursory listen to the album. Like their natural counterpart, Olive may be a matter of taste, but whatever you do, don't fail to give it a listen. You might be missing out on one of the main events of the year.\n\nTHE LAST TIME I COMMITTED SUICIDE\nSoundtrack - Various Artists\nBlue Note-36736-F\n\nThe music is good, the lyrics are interesting, but the album is not really all that. It's a bit too long and the songs are a bit too similar to each other. The vocals are also a bit too high-pitched for my taste.\n\nCOLUMBIA PICTURES WILL RELEASE KIRKLAND'S FAVORITE MOVIE SOUNDTRACK ON OCTOBER 21. THE LAST TIME I COMMITTED SUICIDE IS A COLLECTIVE OF MUSIC FROM THE FILM OF THE SAME NAME. THE ALBUM FEATURES A VARIETY OF GENRES, INCLUDING ROCK, POP, AND JAZZ. THE SONGS ARE ALL ORIGINAL COMPOSITIONS BY VARIOUS ARTISTS, INCLUDING BRIAN ENO, ROGER DALTREY, AND RICHARD HAMILTON. THE ALBUM IS AVAILABLE AT MOST RECORD STORES AND ONLINE.\n\n| TW | LW | WO | Artist/Title | Label | Catalog |\n|----|----|----|--------------|-------|---------|\n| 1 | 1 | 5 | AQUA | Aquarium (MCA) 895020 |\n| 2 | NEW| | JANET JACKSON | Velvet Rope (Virgin) 47692 |\n| 3 | 3 | 2 | LOREENA McKENNITT | The Book Of Secrets (WEA) 19404 |\n| 4 | 7 | 4 | JEWEL | Pieces Of You (Atlantic) 82700 |\n| 5 | 6 | 9 | BACKSTREET BOYS | Backstreet's Back (Jive) 41617 |\n| 6 | 4 | 13 | SARAH McLACHLAN | Surfacing (Nettwerk) 30116 |\n| 7 | 2 | 2 | THE ROLLING STONES | Bridges To Babylon (Virgin) 44712 |\n| 8 | 8 | 12 | PUFF DADDY & THE FAMILY | No Way Out (Bad Boy) 3072 |\n| 9 | 10 | 4 | MARIAH CAREY | Butterfly (Columbia) 67835 |\n| 10 | 14 | 15 | ANDREA BOCELLI | Romantica (Philips) 56456 |\n| 11 | 9 | 3 | BOYZ II MEN | Evolution (Motown) 30818 |\n| 12 | 12 | 7 | TRISHA YEARWOOD | Songbook (Universal) 70001 |\n| 13 | 11 | 13 | JANIN ARDEN | Happy? (Asm) 40789 |\n| 14 | 13 | 4 | SOULFOOD O.C.S.| Various Artists (Arista) 26041 |\n| 15 | 15 | 38 | OUR LADY PEACE | Cuntry (Columbia) 80242 |\n| 16 | 5 | 2 | PORTISHEAD | Portishead (London) 539189 |\n| 17 | 17 | 15 | PRODIGY | The Fat Of The Land (XL Recordings/Koch) 40121 |\n| 18 | 19 | 12 | SUGAR RAY | Flavors (Atlantic) 83006 |\n| 19 | 18 | 44 | SPICE GIRLS | Spice (Virgin) 42174 |\n| 20 | 16 | 3 | ELTON JOHN | The Big Picture (Mercury) 538286 |\n| 21 | 20 | 7 | OASIS | Be Here Now (Epic) 68530 |\n| 22 | 33 | 4 | CHUMBAWUMBA | Tubthumper (MCA) 53059 |\n| 23 | 22 | 4 | BROOKS & DUNN | Greatest Hits Collection (Arista) 18852 |\n| 24 | 25 | 29 | MATCHBOX 20 | Yourself Or Someone Like You (Lava) 92721 |\n| 25 | 24 | 3 | DANCE HITS ALL STARS | Various Artists (Pipper) 80150 |\n| 26 | NEW| | FRANCOIS PERUSSE | L'Album Du Peu (Zol) 90009 |\n| 27 | 23 | 24 | NOW! 2 | Various Artists (WEA) 35296 |\n| 28 | 21 | 5 | LEANN RIMES | You Light Up My Life (Curb) 77895 |\n| 29 | 23 | 8 | HANSON | Middle Of Nowhere (Mercury) 34615 |\n| 30 | 52 | 13 | HELMUT LOTTI | Various Artists (Masc) 1884 |\n| 31 | 29 | 45 | WALLFLOWERS | Bringing Down The... (MCA) 90055 |\n| 32 | 31 | 54 | AMANDA MARSHALL | Amanda Marshall (Columbia) 80229 |\n| 33 | 39 | 8 | SMASH MOUTH | Fush-Ya Mang (Interscope) 90142 |\n| 34 | 34 | 30 | DAFT PUNK | Homework (Virgin) 42609 |\n| 35 | 36 | 3 | PURE DANCE | Various Artists (PolyTel) 40106 |\n| 36 | 42 | 53 | BACKSTREET BOYS | Backstreet Boys (Jive/Zomba) 15981 |\n| 37 | 26 | 3 | BJORK | Homogenic (Elektra) 62061 |\n| 38 | 44 | 4 | MC MARIO DANCE | Various Artists (Sony) 24028 |\n| 39 | 35 | 4 | BUSTA RHYMES | When Disaster Strikes (Elektra) 62064 |\n| 40 | 32 | 15 | MEN IN BLACK O.S.T. | Various Artists (Columbia) 68189 |\n| 41 | 30 | 2 | THE VERVE | Urban Hymns (Virgin) 44913 |\n| 42 | 45 | 21 | FOO FIGHTERS | Colour And The Shape (EMI) 55632 |\n| 43 | 38 | 29 | NOTORIOUS B.I.G.| Lite After Death (Blues Boy) 073011 |\n| 44 | 47 | 21 | GREAT BIG SEA | Play (Warner Bros.) 18592 |\n| 45 | 43 | 34 | LIVE | Secret Sumachi (Radioactive) 11590 |\n| 46 | 27 | 2 | BOB DYLAN | Time Out Of Mind (Columbia) 68556 |\n| 47 | 40 | 16 | THE TEA PARTY | Transmission (EMI) 55358 |\n| 48 | 41 | 26 | SAVAGE GARDEN | Savage Garden (Columbia) 67954 |\n| 49 | NEW| | EVERCLEAR | So Much For The After Glow (EMI) 36503 |\n| 50 | 37 | 17 | RADIOHEAD | OK Computer (EMI) 55229 |\n| 51 | NEW| | DIANA PRINCESS OF WALES 1961-1997 | Various Artists (London) 480000 |\n| 52 | NEW| | HOLLY COLE | Dark Dear Heart (Alert) 81034 |\n| 53 | 50 | 3 | USHER | My Way (Arista) 28043 |\n| 54 | 55 | 16 | ROBYN | Robyn Is Here (RCA) 67477 |\n| 55 | 99 | 2 | SWEET P MORIFOD | 20 Ans Depa... (Dorr) 79345 |\n| 56 | 59 | 54 | CELINE DION | Falling Into You (Columbia) 33068 |\n| 57 | 53 | 8 | FLEETWOOD MAC | The Dance (Reprise) 46702 |\n| 58 | 46 | 9 | 98 DEGREES | 98 Degrees (Motown) 530796 |\n| 59 | 49 | 50 | JAMIROUQAI | Traveling Without Moving (Columbia) 91109 |\n| 60 | 51 | 54 | ELTON JOHN | Love Songs (MCA) 11481 |\n| 61 | 58 | 6 | CMT COLLECTION | Various Artists (EMI/BMG) 1253 |\n| 62 | 57 | 8 | ESCAPES Vol. 2 | Various Artists (Warner Bros.) 35691 |\n| 63 | 48 | 4 | SOUL GROOVE | Various Artists (Universal) 81058 |\n| 64 | 68 | 16 | WYCLEF JEAN | Presents...The Carnival (Columbia) 67974 |\n| 65 | 54 | 8 | BRUNO PELLETIER | Miraire (Born) 30116 |\n| 66 | 62 | 21 | MEREDITH BROOKS | Blurring The Edges (EMI) 36919 |\n| 67 | 60 | 22 | TONIC | Lemon Parade (PolyGram) /1042 |\n| 68 | 56 | 4 | ADAM SANDLER | What's Your Name? (Warner Bros.) 46738 |\n| 69 | 61 | 19 | TIM McGRAW | Everywhere (Curb) 77888 |\n| 70 | NEW| | THE PHILOSOPHER KINGS | Famous, Rich And Beautiful (Columbia) 80291 |\n| 71 | 63 | 21 | TRAGICALLY HIP | Live Between Us (Universal) 81055 |\n| 72 | 67 | 54 | NO DOUBT | Tragic Kingdom (Interscope) 90003 |\n| 73 | 64 | 22 | THIRD EYE BLIND | Third Eye Blind (Elektra) 62012 |\n| 74 | 75 | 4 | MACK 10 | Based On A True Story (Virgin) 50675 |\n| 75 | 81 | 4 | BRIGHTMAN/CURA | Time to Say Go (A&M) 58311 |\n| 76 | 70 | 30 | AEROSMITH | Nine Lives (Columbia) 67547 |\n| 77 | 66 | 9 | SVW | Release Some Tension (RCA) 67525 |\n| 78 | 93 | 19 | DUBMETIQUE | The Force de Compre... (Select) 43022 |\n| 79 | 80 | 16 | BRAN VAN 3000 | Gee (Select) 77105 |\n| 80 | 77 | 16 | MY BEST FRIEND'S WEDDING O.S.T. | Various Artists (Epic) 68168 |\n| 81 | 65 | 4 | PAUL BRANDT | Outside The Frame (WEA) 46635 |\n| 82 | 71 | 11 | SPAWN O.S.T. | Various Artists (Epic) 69494 |\n| 83 | 76 | 34 | BLUR | Blur (EMI) 55582 |\n| 84 | 82 | 54 | TONI BRAXTON | Secrets (Ja Face) 26020 |\n| 85 | 84 | 21 | NEW COUNTRY 4 | Various Artists (Warner) 35328 |\n| 86 | 79 | 7 | DIANA KRALL | Low Scenes (Impulse/Universal) 50234 |\n| 87 | 73 | 16 | HOLLY McNARLAND | Stuff (Universal) 53075 |\n| 88 | 68 | 8 | BOB DYLAN | The Best Of Bob Dylan (Sony) 24037 |\n| 89 | 72 | 50 | DEANA CARTER | Did I Shave My Legs (EMI) 96080 |\n| 90 | 78 | 54 | LEANN RIMES | Blue (Curb) 77821 |\n| 91 | 83 | 6 | MONEY TALKS O.S.T. | Various Artists (Arista) 18875 |\n| 92 | NEW| | JIMI HENDRIX | South Saturn Delta (MCA) 11684 |\n| 93 | 85 | 25 | VERVE PIPE | Villains (BMG) 88809 |\n| 94 | 74 | 19 | WU-TANG CLAN | Wu-Tang Forever (BMG) 69805 |\n| 95 | 89 | 3 | EPMD | Back In Business (DefJam) 536389 |\n| 96 | 91 | 54 | BECK | Odelay (Geffen) 24623 |\n| 97 | 92 | 14 | BLUE RODEO | Tremolo (WEA) 19253 |\n| 98 | 88 | 7 | COOLIO | Coolia My Soul (Tommy Boy) 1180 |\n| 100| 95 | 54 | SHERYL CROW | Sheryl Crow (A&M) 314540 587 |\n\nGary Fjellgaard has been selected to perform at the 9th annual Western Music Festival which will be held in Calgary, Alberta from October 24-26. The festival is a showcase for Western music and features performances by some of the best artists in the genre.\n\nChely Wright is on the same edition where she will talk about her new single \"Shut Up And Drive.\" The song is from her upcoming album \"The Other Side,\" which is set to be released later this year. Chely has been making waves in the country music scene with her powerful vocals and unique style.\n\nannounced plans for a 14-city tour of Germany as well as a 20-city tour of the U.S. in November and December.\n\n### RPM Adult Contemporary Tracks\n\n**Record Distributor Codes:**\n- BMG - N\n- EMI - F\n- Universal - J M Quality\n- Polygram - Q\n- Sony - H\n- Warner - P\n- Koch - K\n\n#### October 20, 1997\n\n| TW | LW | WD |\n|----|----|----|\n| 1 | 1 | 6 |\n| 2 | 12 | 12 |\n| 3 | 3 | 12 |\n| 4 | 7 | 7 |\n| 5 | 6 | 7 |\n| 6 | 7 | 10 |\n| 7 | 5 | 17 |\n| 8 | 10 | 11 |\n| 9 | 9 | 9 |\n| 10 | 11 | 14 |\n| 11 | 8 | 12 |\n| 12 | 13 | 11 |\n| 13 | 16 | 12 |\n| 14 | 14 | 13 |\n| 15 | 17 | 31 |\n| 16 | 12 | 31 |\n| 17 | 18 | 15 |\n| 18 | 15 | 18 |\n| 19 | 20 | 8 |\n| 20 | 21 | 15 |\n\n#### CANDLE IN THE WIND '97\nElton John - CD single\nRocket (supplied by Digital Counter)\n\n#### TAKES A LITTLE TIME\nAmy Grant - From The Eyes\nCapitol-1464 (pro single)-F\n\n#### THE SOUND OF\nJohn Alden - Heartbeat\nAtlantic-19703 (pro single)-Q\n\n#### SOMETHING ABOUT THE WAY YOU LOOK\nElton John - Title track\nRocket-316-574-8912 (pro single)-Q\n\n#### 2 BECOME 1\nSheryl Crow - Space\nVirgin-2174 (pro single)-F\n\n#### BUILDING A MYSTERY\nAmy Grant - The Eyes\nNetswtrks-30116 (pro single)-F\n\n#### IF MY HEART HAD WINGS\nAmy Sky - Cool Rain\nWarner-31085 (CD track)-N\n\n#### HONEY\nMiriam Carey - Butterfly\nColumbia-67835 (CD single)-H\n\n#### SHED A LIGHT\nAmy Grant - Kissing Rain\nR.V International/3M-43978 (pro single)-N\n\n#### IT COULD HAPPEN TO YOU\nAmy Grant - The Eyes\nWFA-19253 (comp 327)-P\n\n#### FOOLISH GAMES\nJames - Pieces Of Your Soul\nAtlantic-19703 (CD single)-P\n\n#### GOOD MAN, FEELING BAD\nTim Crochere - Songs Of A Circling Spirit\nEMI-44688 (pro single)-Q\n\n#### WHERE'S THE LOVE\nHanson - Middle Of Nowhere\nMercury-314-534-6152 (comp 509)-Q\n\n#### I DON'T WANT TO WAIT\nTrisha Yearwood - Greatest Hits\nMCA-79079 (CD track)-U\n\n#### SEMI-CHARMED LIFE\nLyle Lovett - Self-titled\nElektra-82012 (CD track)-P\n\n#### TO THE MOON AND BACK\nSavage Garden - Self-titled\nColumbia-67834 (comp 058)-H\n\n#### DO WHAT YOU DO\nCarolyn Arezzo - Feel Free\nPhilips-4466466 (comp 30306-2) (CD track)\n\n#### SILVER SPARKS\nFlawed Mic - The Dance\nReprise-46702 (comp 331)-P\n\n#### ANYBODY SEEN MY BABY\nThe B-52's - The Eyes Of Babylon\nVirgin-44712 (pro single)-E\n\n#### SUNNY CAME HOME\nShawn Colvin - New Small Repairs\nColombia-67834 (comp 19704)-H\n\n#### FOR YOU I WILL\nMonica - Space Jam OST\nAtlantic-19703 (CD single)-P\n\n#### A SMILE LIKE YOURS\nNatalie Cole - Title track OST\nWarner Bros-62093 (comp 328)-H\n\n#### HOW DO I LIVE\nLeAnn Rimes - Light Up My Life\nCurb-77885 (pro single)\n\n#### HEALING WATERS - FOR DIANA\nCynthia - Self-titled\nColumbia (CD single env)\n\n#### HOW DO I LIVE\nTrisha Yearwood - Greatest Hits\nMCA-79079 (CD track)-U\n\n#### MORE THAN THIS\n10,000 Maniacs - Love Among The Ruins\nGeffen-25000 (comp 10)-H\n\n#### SITTING ON TOP OF THE WORLD\nAerosmith - Love Song\nEpic-80229 (comp 061)-H\n\n#### I'VE JUST SEEN A FACE\nTina Turner - Private Part\nA&M-615-201-024 (pro single)-Q\n\n#### DO YOU KNOW WHAT IT TAKES\nRobyn - Robin In Her Eyes\nRCA-44688 (pro single)-Q\n\n#### GO THE DISTANCE\nMichael Bolton - Disney's Hercules OST\nColumbia-98938 (pro single)-H\n\n#### ALL FOR YOU\nRoger Hanin - Somewhere More Familiar\nUniversal-53030 (pro single)-J\n\n#### INVISIBLE MAN\nThe Black Crowes - Self-titled\nMotown-316-530-796 (comp 6)-Q\n\n#### THE DIFFERENCE\nThe Wallflowers - Bringing Down The Horse\nInterscope-30268 (CD track)-J\n\n#### DO WHAT I CAN\nSara Jordan - Present\nAquarius-80229 (pro single)-F\n\n#### WHEN I'M UP (I Can't Get Down)\nGreat Big Sea - Play\nWEA-18592 (comp 323)-P\n\n#### MY NEW JUDGMENT\nDiana Marroquin - Vigo-1\nEMI-56635 (CD track)-F\n\n#### TIME TO SAY GOODBYE\nBarbara Streisand - Romanza\nPhilips-566466 (CD track)-U\n\n#### NO TENGO DINERO\nLos Urrutelos - Red Hot Latin Hits\nEMI-77393 (comp 328)-H\n\n#### YOU SHOULD BE HAVING FUN\nBarenaked Ladies - Legendary Hearts - Til Tomorrow\nColumbia-80252 (comp 064)-H\n\n#### DO YOU LOVE ME THAT MUCH\nThe Beach Boys - Self-titled\nRiver North-768-74-2313 (CD track)-Q\n\n#### A CHANGE WOULD DO YOU GOOD\nSteryl Crow - Self-titled\nA&M-615-201-024 (comp 3)-Q\n\n#### YOUNG BOY\nPaul McCartney - Flaming Pie\nCapitol-50000 (CD single)-F\n\n#### SOLDIER'S BOY\nSpirit Of The West - Weights & Measures\nWEA-19716 (comp 334)-P\n\n#### IF I WAIT THERE FOR YOU\nThe Beach Boys - Self-titled\nNar/Popne-001 (CD track)\n\n#### SO BEAUTIFUL\nChris de Burgh - Greatest Songs\nArista-615-040-734 (comp 7)-H\n\n#### TO MAKE YOU FEEL MY LOVE\nBilly Joel - Greatest Hits Vol. III\nColumbia-67834 (comp 19704)-H\n\n#### IT'S OKAY, I UNDERSTAND\nGavin Hone - No album\nPopular (pro single)-P\n\n#### PUSH\nMarching 20 - Yourself With Someone\nLava-92721 (CD single)-J\n\n#### COME BACK\nThe Black Crowes - Self-titled\nTV-1 (CD track)\n\n#### GOOD ENOUGH\nDana - Good Enough\nAsm-514-540-573 (comp 3)-O\n\n#### I DON'T WANT TO\nToni Braxton - Secrets\nLaFace-80229 (CD single)-N\n\n#### STILL WATERS RUN DEEP\nThe Black Crowes - Self-titled\nPolydor-31453-7302 (comp 520)-O\n\n#### SO HELP ME GIRL\nGary Clark - Self-titled\nArista-07822-18549 (comp 241)-N\n\n#### FLY\nScott Ray - Hooray\nAtlantic-43008 (CD single)-P\n\n#### ON MY OWN\nPeachy King - Audeoptron\nMCA-79079 (CD track)-U\n\n#### SEE THE PEOPLE\nSoul Attitudes - Self-titled\nEpic-80234 (comp 058)-H\n\n#### SAY A LITTLE PRAYER\nDonna King\nSony-H\n\n#### CAN YOU KEEP A SECRET\nFirst Base\nArista-N\n\n#### YOUR NOT ALONE\nDana\nBMG-N\n\n#### MARIA\nRobert Maran\nColumbia-H\n\n#### GET UP GO INSANE\nStretch N Vern\nPolydor-Q\n\n#### FIX\nBlacstreet\nUniversal-J\n\n#### SONG FOR MY BROTHER\nKenny Rankson - That's Right\nUniversal\n\n#### CAN YOU FEEL IT\nThe Party\nA&M-D\n\n#### PUT YOUR HANDS WHERE MY...\nBusta Rhymes\nVerve\n\n#### ONE DAY OF KISSES\nCarol Medina\nPopular-P\n\n### RPM Dance\n\n**Record Distributor Codes:**\n- BMG - N\n- EMI - F\n- Universal - J M Quality\n- Polygram - Q\n- Sony - H\n- Warner - P\n- Koch - K\n\n#### October 20, 1997\n\n| TW | LW | WD |\n|----|----|----|\n| 1 | 2 | 2 |\n| 2 | 1 | 7 |\n| 3 | NEW | 1 |\n| 4 | 8 | 4 |\n| 5 | 3 | 9 |\n| 6 | 22 | 9 |\n| 7 | 13 | 2 |\n| 8 | 18 | 8 |\n| 9 | 11 | 2 |\n| 10 | 4 | 8 |\n\n#### HONEY (REMIX)\nMiriam Carey\nColumbia-67835-F\n\n#### BABIE GIRL\nKylie\nUniversal - J\n\n#### FEEL SO GOOD\nKylie\nRCA-N\n\n#### BEEN AROUND THE WORLD\nPuff Daddy\nCapitol-N\n\n#### GET READY TO BOUNCE\nBrooklyn Bounce\nA&M\n\n#### NOT TONIGHT\nU2\nKing\nWarner - P\n\n#### ANGUS\nNathan Camp\nBMG-N\n\n#### EVERYBODY\nBackstreet Boys\nBMG-N\n\n#### SOMEONE\nSWV/Puff Daddy\nRCA-N\n\n#### RIPGROOVE\nDouble 98\nIce Cream-N\n\n#### EXTASY\nElite\nQuicks-M\n\n#### C-LIME WOMAN\nThe People Movers\nPopular-P\n\n#### FREE\nUltra Nate\nQuality - M\n\n#### MO MONEY MO PROBLEMS\nNotorious B.I.G.\nBMG-N\n\n#### HOLD YOUR HEAD UP HIGH\nBono Dugosh P, Booom\nSPRM\n\n#### DO IT TO IT\nMichelle\nSolid\n\n#### MOVE YA FEET\nPJ\nStickman\n\n#### GOT TIL' IT'S GONE\nJanelle Monae\nFatl-Virgin\n\n#### I'LL BE MISSING YOU\nPuff Daddy\nRox Records\n\n#### PIECE OF MY HEART\nShaggy\nVirgin-F\n\n#### SAY A LITTLE PRAYER\nDonna King\nSony-H\n\n#### CAN YOU KEEP A SECRET\nFirst Base\nArista-N\n\n#### YOUR NOT ALONE\nDana\nBMG-N\n\n#### MARIA\nRobert Maran\nColumbia-H\n\n#### GET UP GO INSANE\nStretch N Vern\nPolydor-Q\n\n#### FIX\nBlacstreet\nUniversal-J\n\n#### SONG FOR MY BROTHER\nKenny Rankson - That's Right\nUniversal\n\n#### CAN YOU FEEL IT\nThe Party\nA&M-D\n\n#### PUT YOUR HANDS WHERE MY...\nBusta Rhymes\nVerve\n\n#### ONE DAY OF KISSES\nCarol Medina\nPopular-P\n\nCLASSIFIEDS\n\nAPPLICATIONS BEING ACCEPTED TO UPDATE FILES\n\nYou are Invited\n\nTo The Second Annual Music Industry Holiday Luncheon\n\nTo Benefit The Canadian Music Therapy Trust Fund\n\nAt The Toronto Ballroom in the Metropolitan Hotel 108 Chestnut Street, Toronto\n\nOn Friday, December 5th, 1997\n\nCocktails 12:00 PM Luncheon 12:30 - 3:00 PM Includes Auction\n\nTickets $125 per person\n\nFor Reservations Please Call (416) 488-6363\n\nMusic Therapy is a method of treatment which uses music to help people cope more effectively with their lives and with their difficulties. The goal of music therapy is to develop the potential of each person involved, not to promote musical ability.\n\nThe Music Therapy Trust Fund is a charitable non-profit organization, supported by volunteers, which raises funds for music therapy projects in Canada. In this past year, with help of the Canadian Music Industry, the Canadian Music Therapy Trust Fund has been able to give assistance to 32 such projects. These range from hospices for terminally ill persons with cancer or AIDS, centres for the aged, schools for children who are autistic, physically or mentally challenged, and for street kids.\n\nCanadian Music Therapy Trust Fund Advisory Board\n\nLaura Bartlett HMV, Rodney Bowes Rodney Bowes Design, Sarah Crawford MuchMusic, Joni Daniels Joni Daniels Management, Fran Herman Chairperson, Carl Herman CMTTF, Steve Kane Virgin, Christine Liber Universal Concerts, John Marshall The NewMusic, Garry Newman Warner, Don Oates Sony, Keith Porteus BMG, John Reid Polygram, Jeff Rogers handsome boy/Swell, Don Simpson Universal Concerts, Steve Tennant Universal Records, Robyn Walters EMI"}}}],"truncated":false,"partial":true},"paginationData":{"pageIndex":2044,"numItemsPerPage":100,"numTotalItems":208496,"offset":204400,"length":100}},"jwt":"eyJhbGciOiJFZERTQSJ9.eyJyZWFkIjp0cnVlLCJwZXJtaXNzaW9ucyI6eyJyZXBvLmNvbnRlbnQucmVhZCI6dHJ1ZX0sImlhdCI6MTc3MTMzMTM0Miwic3ViIjoiL2RhdGFzZXRzL1RlbGVBSS1BSS1GbG93L0luZm9ybWF0aW9uQ2FwYWNpdHkiLCJleHAiOjE3NzEzMzQ5NDIsImlzcyI6Imh0dHBzOi8vaHVnZ2luZ2ZhY2UuY28ifQ.b55t6vcpuDDgTN3hOfHdCYMjkZOrOh4miUmbNRCdOJ-yy-E8v9mobubsB05MHBx67uq7U7xf1UNbyP5a230ICw","displayUrls":true,"splitSizeSummaries":[{"config":"default","split":"train","numRows":208496,"numBytesParquet":2762384337}]},"discussionsStats":{"closed":1,"open":0,"total":1},"fullWidth":true,"hasGatedAccess":true,"hasFullAccess":true,"isEmbedded":false,"savedQueries":{"community":[],"user":[]}}">
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INTRODUCTION
Defendant Kenosha Education Association (“KEA”) opposes Plaintiffs’ Motion for Summary Judgment. Plaintiffs seek a declaration that all collective bargaining agreements between KEA and other labor union Defendants (collectively referred to as “Defendants”) and the Kenosha Unified School District (“KUSD”) negotiated and ratified in November 2013 are invalid. Plaintiffs have failed to provide the court with sufficient evidence to demonstrate even a prima facie claim for relief, and for that reason alone their motion should be denied. Moreover, as a matter of law, at the time the Collective Bargaining Agreements at issue were negotiated and agreed upon, the parties to those negotiations were vested with full authority to negotiate and enter into them, and to negotiate the specific terms therein, and thus they are entirely valid. For
the reasons shown below the court should deny Plaintiffs’ Motion for Summary Judgment and instead grant summary judgment to KEA.
FACTS
In the Argument section below, KEA will discuss Plaintiffs’ failure to provide the court with the evidence necessary to support their prima facie case. Plaintiffs’ factual presentation also omits many facts which support KEA’s position in this dispute. Those facts are provided below, and are supported by affidavits and other admissible evidence provided herewith.
2011 Act 10 and 2011 Act 32 (collectively “Act 10”) amended the Wisconsin statutes governing public sector collective bargaining, including the Municipal Employment Relations Act, Wis. Stat. 111.70 et seq. (“MERA”). On August 18, 2011, Madison Teachers, Inc., its President Peggy Coyne, Public Employees Local 61, AFL-CIO (representing sanitation workers for the City of Milwaukee), and its business manager John Weigman, brought a lawsuit under Wisconsin’s Declaratory Judgment Act against Governor Walker and the Commissioners of the Wisconsin Employment Relations Commission (WERC), in their official capacities. *Affidavit of Packard*, Ex. 1. The WERC is the state executive branch agency charged with interpretation, implementation, administration and enforcement of the public sector labor laws, including MERA. That matter was captioned *Madison Teachers, Inc., et al. v. Scott Walker, et al.*, Dane County Circuit Court Case No. 11CV3774, Hon. Juan Colás, presiding, and challenged the constitutionality of portions of Act 10 which amended MERA. The
defendants were represented by the Attorney General, who defended the constitutionality of the challenged provisions of Act 10 at all stages of the case.
On September 14, 2012, Judge Colás issued a Decision and Order on Plaintiffs’ Motion for Summary Judgment and Defendants’ Motion for Judgment on the Pleadings, declaring portions of Act 10 to be unconstitutional, null and void, and without effect (“9/14/12 Decision”). *Affidavit of Packard*, Ex. 2. Specifically relevant here, Judge Colás held the following portions of MERA applying to general employees and their unions (like the Defendants here) and school districts (like KUSD) unconstitutional on their face, null and void, and without effect:
- Wis. Stat. 111.70(1)(f) and (2), prohibiting “fair share” dues agreements;
- Wis. Stat. 111.70(3g), prohibiting payroll deduction of dues;
- Wis. Stat. 111.70(4)(mb), prohibiting collective bargaining on anything but “total base wages” and capping base wage increases to cost of living; and
- Wis. Stat. 111.70(4)(d)3., imposing annual recertification elections by a supermajority of 51% of all employees in the bargaining unit.
*Affidavit of Packard*, Ex. 2, 3.
Prior to Act 10, once certified, collective bargaining agents were not required to undertake annual recertification elections under MERA; agents remained certified until and unless decertified through an election called for by collective bargaining unit members and so voted upon. Prior to Act 10, there were very few prohibited subjects of bargaining under MERA, wage increases were not capped, and there was no ban on dues and fair share contribution deductions from wages. *See, e.g.*, Wis. Stat. §111.70, et seq. (2009-11).
There is sharp dispute in this case as to whether those portions of Act 10 declared facially unconstitutional, void and without effect on September 14, 2014 were somehow nevertheless in effect between that date and July 31, 2014, when the Wisconsin Supreme Court reversed the circuit court’s decision. That is largely a legal dispute, but there are a number of facts about what the Defendants, courts, Commissioners, Governor and Attorney General did and did not do which bear on the resolution of that dispute. Those facts are outlined here.
The Commissioners and Governor, by and through the Attorney General, appealed the 9/14/12 Decision, and repeatedly sought to stay enforcement of the circuit court’s ruling pending appeal. The circuit court denied those officials’ motion to stay on October 22, 2012. *Affidavit of Packard*, Ex. 4. On March 12, 2013, the Wisconsin Court of Appeals likewise denied a motion to stay that ruling pending appeal. *Affidavit of Packard*, Ex. 5. The Court of Appeals did not decide the merits of the appeal, rather, it certified the appeal to the Wisconsin Supreme Court, and Certification was granted on June 14, 2013. *Affidavit of Packard*, Ex. 6. On October 25, 2013, the Attorney General, on behalf of the Commissioners and Governor filed with the Supreme Court an “Emergency Motion to Stay” enforcement of the 9/14/12 Decision. *Affidavit of Packard*, Ex. 7. On October 29, 2013, the Supreme Court declined to immediately rule on the motion to stay enforcement of the 9/14/12 Decision, and instead asked the parties to be prepared to address the motion at oral arguments set for November 11, 2013, which they did. *Affidavit of Packard*, Ex. 8, ¶ 10. The Court never stayed enforcement of the 9/14/12 Decision. On July 31, 2014, it reversed that decision. *Affidavit of Packard*, Ex. 9.
Despite the fact that the final judgment in Dane County Circuit Court Case No. 11CV3774 held Wis. Stat. § 111.70(4)(d)3. unconstitutional on its face, void, and without effect, and despite the fact that the circuit court’s final judgment was not stayed pending appeal, the Governor and Commissioners, parties to that case, purported to promulgate emergency administrative rules implementing that provision, which mandated annual certification elections, including setting deadlines to petition for elections, scheduling such elections, and setting forth the procedure for conducting them (the “emergency rules”). The scope statement for the emergency rules was approved by the Governor on April 19, 2013 and approved by the WERC on June 3, 2013; the Governor approved the emergency rules on July 3, 2013. *Affidavit of Packard, Ex. 10, p. 1.*¹ These were the first acts by the State officials named as defendants in 11CV3744 that sought to implement any of the provisions voided and declared to be without effect by the 9/14/12 Decision.
In light of the WERC Commissioners’ and Governor’s actions, the original plaintiffs in 11CV3774 returned to the Dane County Circuit Court to seek injunctive relief, preventing further implementation of the unconstitutional provisions by the State officials named as defendants in that case. However, because the emergency rules did not purport to apply the unconstitutional provisions to those plaintiffs, and thus those plaintiffs did not face irreparable harm by the efforts to implement those provisions, on September 17, 2013, the circuit court found that it could not enjoin the defendants.
¹ Notably, the emergency rules explicitly did not apply to “the plaintiffs in Case 11CV3744 unless and until the Circuit Court’s decision is no longer in effect.” *Id., p. 2.*
Nevertheless, the court made it clear to the Commissioners and the Governor that “the defendants are bound by the court’s judgment, even as to non-parties” and that they “may not enforce [the provisions found facially unconstitutional] under any circumstances, against anyone.” *Affidavit of Packard*, Ex. 11.
Despite that clarification and admonishment, the Commissioners and the Governor did attempt to enforce the provisions found facially unconstitutional against those who were not parties in 11CV3774. In particular, the next day, on September 18, 2013, Peter Davis, general counsel for WERC, indicated publicly the agency’s intention to enforce the recertification provisions of Act 10, and associated emergency rules, against those who were not parties in 11CV3774. *Affidavit of Pines*, Ex. 1.
This was particularly concerning to the Defendants in this case--Kenosha Education Association (“KEA”), SEIU Local 168 and AFSCME Local 2383--because under emergency rule ERC 70.03(7), if a labor organization did not pay for and request a recertification election by August 30, 2013, the union lost its status as certified collective bargaining agent and, at the request of a municipal employer, the WERC was required to issue a “notice of consequences” of this determination if, after offering the labor organization an opportunity to speak to the issue, the WERC reached that determination. That process had been initiated by the Kenosha Unified School District (“KUSD”) on September 6, 2013 as to all of these Defendants when the KUSD requested “written notification from the WERC . . . that the Kenosha Education Association, SEIU and Local 2383 did not file petitions for recertification and will no longer be recognized as the agent of record here in Kenosha.” *Affidavit of Pines*, Ex. 2. Applying the
emergency rule, the WERC provided these Defendants until September 23, 2013 to respond to the request. *Id.*
Thus, the WERC general counsel’s statement that the WERC intended to enforce the unconstitutional provisions, despite the circuit court’s clear mandate to the Commissioners and Governor not to, “under any circumstances, against anyone,” put the Defendants in this case at risk of decertification. Indeed, even before receiving any response from these Defendants, chief legal counsel for WERC Peter Davis informed officials at the KUSD that KEA, having failed to submit a petition for recertification election by August 30, 2013, was decertified. Specifically, he stated in an email to KUSD officials:
I have advised all who have inquired that per WERC administrative rules, the absence of a timely filed petition=loss of status as the collective bargaining representative as of 4:31 pm August 30.
*Affidavit of Pines*, Ex. 2.
In an effort to avoid further litigation, counsel for these Defendants and other unions wrote to the Commissioners to seek their compliance with the circuit court’s orders to not enforce the invalid enactments against anyone. *Affidavit of Hawks*, Ex. 1. Unfortunately, that effort was rebuffed. *Affidavit of Hawks*, Ex. 2. Consequently, on September 24, 2013, the Defendants in this case along with other labor unions brought a motion in 11CV3774 pursuant to Wis. Stat. § 785.03(1)(a) to hold the Commissioners in contempt and for remedial sanctions.\(^2\) *Affidavit of Packard*, Ex. 12.
\(^2\) The motion was brought by Wisconsin Education Association Council; AFT-Wisconsin, AFL-CIO; SEIU Healthcare Wisconsin, CTW, CLC; Wisconsin Federation of Nurses and Health Care Professionals, AFT, AFL-CIO; District Council 40, AFSCME, AFL-CIO, and Kenosha Education Association. Defendant SEIU
After briefing, a hearing was held on October 21, 2013 before the Honorable Judge Colás. In a ruling from the bench, the court enjoined the Commissioners “to bar them from doing or continuing to do what they ought not have done in the first place . . . they may not enforce a law that has no legal existence against anyone.” The court further held the Commissioners in contempt, allowing them to purge the contempt by ceasing to implement “any of the provisions that this court found unconstitutional anywhere in the state against anyone.” *Affidavit of Packard*, Ex. 13, p. 53. Counsel for the Commissioners assured the court that they would comply with the court’s ruling, by whatever means were necessary. *Id.*, pp. 54-55. The court explained that the Commissioners were to both cease all efforts “to implement the provisions that I declared unconstitutional last year . . . and to the extent that they need to be reversed, be reversed.” *Id.*, p. 55. As to WERC general counsel’s communication to Defendant KEA and the KUSD indicating that KEA was decertified, the Commissioners disavowed that WERC had in fact decertified the union. *Id.*, pp. 60-61. Nevertheless, the court ordered the Commissioners to send a letter withdrawing its earlier communications making such suggestions. *Id.*, pp. 63-64.
Judge Colás’s written Order Granting Motion to Hold Defendants James R. Scott and Rodney G. Pasch in Contempt of Court and for Remedial Sanctions was entered four days later (“10/25/13 Order”). *Affidavit of Packard*, Ex. 14. That order (1) held the Commissioners in contempt by their refusal to comply with the 9/14/12 Decision, (2)
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Local 168 and SEIU Healthcare of Wisconsin are both subsidiaries of SEIU. Defendant AFSCME Local 2383 is a member of District Council 40, AFSCME, AFL-CIO.
directed the Commissioners to “cease enforcement of those parts of 2011 Wisconsin Act 10 and Wisconsin Act 32 which the Court declared in its September 14, 2012 decision and order to be unconstitutional,” *id.*, p. 2, and (3) allowed the Commissioners to purge their contempt by, among other things, taking the following actions and inactions:
- Cease and desist from their refusal to comply with the 9/14/12 Decision;
- Cease and desist from implementing the emergency rules for administration of annual certification elections;
- Inform the public and interested parties through posting on the WERC website that “Wis. Adm. Code ECR 70.03 was enacted without lawful authority and was therefore void when enacted, has no legal effect and will not be implemented or enforced so long as the” 9/14/12 Decision “remains in effect;”
- Accord labor organizations the “same status with respect to municipal employer that they would have had if ECR 70.03 had not been adopted;”
- Immediately inform the KUSD that WERC’s chief legal counsel’s prior communications “with respect to the status of the Kenosha Education Association were in error and are withdrawn and affirmatively inform the KUSD that the Kenosha Education Association has the same status it would have had ECR 70.03 not been enacted and had the withdrawn communications not been sent;” and
- Take no further steps of any kind to implement ECR 70.03.
*Id.*
While the Commissioners appealed the 10/25/13 Order, they chose at the same time to purge their contempt, though they could have chosen not to. To do so, on October 21, 2013, by its chief legal counsel, the WERC informed the KUSD and Defendant KEA that “the Commission’s emergency administrative rules as to certification elections are, at the present time, null and void. Thus, at the present time,
my prior emails to you and the District as to the impact of those rules on a union that did not file a certification are withdrawn.” *Affidavit of Pines, Ex. 3.* It reiterated this message in an October 27, 2013 communication to KUSD and Defendant KEA, and affirmatively informed the KUSD “that the Kenosha Education Association has the same status it would have had had ERC 70.03 not been enacted and had the withdrawn communications not been sent.” *Id.* Further, the Commissioners posted a notice on the WERC website on October 26, 2013 informing the public and all interested parties that “Wis. Adm. Code ERC 70.03 was enacted without lawful authority and was therefore void when enacted, has no legal effect, and will not be implemented or enforced so long as the Decision and Order of the Dane County Circuit Court dated September 14, 2012 remains in effect.” This notice also informed the public and interested parties that “labor organizations are to be accorded the same status with respect to municipal employers that they would have had if ERC 70.03 had not been adopted.”*3* *Affidavit of Packard, Ex. 15.*
On October 28, 2013, the Wisconsin Court of Appeals denied a request from the Commissioners for temporary ex parte relief in the form of a stay of the effect of the 10/25/13 Order. *Affidavit of Packard, Ex. 16.* At the same time they sought a stay of the 10/25/13 Order from the Court of Appeals, the Commissioners also sought a stay from the Wisconsin Supreme Court. On October 29, the Supreme Court announced it would
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3 This court inquired at the September 5, 2014 hearing whether the WERC singled out KEA in application of its retraction of the applicability of its efforts to implement Act 10. The notice on its website, addressed to the public and all interested parties, demonstrates that the WERC’s retraction was intended to be broadly applied to all municipalities and the unions of municipal employees. Moreover, the WERC additionally specifically addressed KEA in its retraction of any decertification and confirmation of its certified status.
take no action on that motion, but advised that if requested, it would take up the matter of a stay of the 10/25/13 Order at the oral arguments scheduled for November 11, 2013. *Affidavit of Packard*, Ex. 8. On November 4, 2013, after expedited briefing, the Court of Appeals denied the Commissioners’ motion to stay enforcement of the 10/25/13 Order until it decided the merits of the appeal of that order. *Affidavit of Packard*, Ex. 17. On November 5, the Commissioners asked the Supreme Court to not only take up the matter of the requested stay of the 10/25/13 Order, but also asked that the Court provide “immediate relief” from both the 9/14/12 Decision and 10/25/13 Order, before the arguments on November 11. *Affidavit of Packard*, Ex. 18. No “immediate relief” was granted, and the arguments were held as scheduled on November 11. *Affidavit of Packard*, ¶ 10.
Also on November 11, 2013, KEA and KUSD reached and signed a tentative agreement on terms for Collective Bargaining Agreements for all of KEA’s bargaining units and the bargaining units for the other Defendants for the periods July 1, 2013 through June 30, 2014 and July 1, 2014 through June 30, 2015. *Affidavit of Kiriaki*, ¶ 3; *Affidavit of McGrath*, Ex. G. Defendant KEA participated in the negotiations and reached the Tentative Agreement with KUSD in light of and in full reliance on the WERC’s public acknowledgement that emergency rule ERC 70.03 “was enacted without lawful authority and was therefore void when enacted, had no legal effect, and will not be implemented or enforced.” *Affidavit of Packard*, Ex. 15; *Affidavit of Kiriaki*, ¶ 4. Defendant KEA’s participation in negotiations and the tentative agreement also occurred in light of and in full reliance on the WERC’s retraction of any expression of decertification of KEA
as the bargaining agent for employees of the KUSD and affirmation that KEA’s status was unaffected by void emergency rule ERC 70.03. *Affidavit of Kiriaki*, ¶5. Finally, KEA reached the terms of the 2013-2014 and 2014-2015 agreements in reliance on the declaration set forth in the 9/14/12 Decision that Wis. Stat. §§ 111.70(1)(f), (2), (3g), (4)(mb), and (4)(d)3, as amended or created by Act 10, were facially unconstitutional, null and void, and without effect, and the directive in the 10/25/13 Order to the Commissioners and Governor to “cease enforcement of those parts of 2011 Wisconsin Act 10 and Wisconsin Act 32 which the Court declared in its September 14, 2012 decision and order to be unconstitutional.” *Affidavit of Kiriaki*, ¶6; *Affidavit of Packard*, Ex. 14, p. 2.
On November 12, 2013, each of Defendant KEA’s bargaining units ratified the Collective Bargaining Agreements described in the tentative agreement attached as Exhibit G to the McGrath Affidavit. *Affidavit of Kiriaki*, ¶7. On November 15, 2013, KUSD ratified all of the Collective Bargaining Agreements with KEA described in the tentative agreement attached as Exhibit G to the McGrath Affidavit. *Affidavit of Kiriaki*, ¶8.
Throughout this time, between October 25, 2013 and until well after KEA and KUSD ratified the Collective Bargaining Agreements challenged in this lawsuit, the 9/14/12 Decision and the 10/25/13 Order remained in full force and effect, despite numerous and repeated efforts by the Commissioners and the Governor to stay them while they were appealed. The Wisconsin Supreme Court ultimately vacated the 10/25/13 Order on November 21, 2013 in a *per curiam* order. *Affidavit of Packard*, Ex. 19.
In that same order, however, it declined to stay the 9/14/12 Decision while it considered the merits appeal. *Id.*, p. 2. It reversed the 9/14/12 Decision in an opinion dated July 31, 2014.
**ARGUMENT**
Plaintiffs devote a substantial portion of their brief to argue a matter that was decided on July 31, 2014 by the Wisconsin Supreme Court—the constitutionality of Act 10. While it is true that Act 10 was found constitutional on that date, that is irrelevant to the question before this court. The question before this court is of the validity of collective bargaining agreements reached during the “window” of time after a circuit court issued a declaratory judgment finding certain portions of Act 10 facially unconstitutional, void, and without effect—i.e., not law at all—and prior to the Supreme Court’s ruling on July 31, 2014 finding that Act constitutional, prior to any decertification of the Defendants, and during a time that enforcement of the relevant portions of Act 10 was enjoined, and in full reliance on all of these legal facts and actions.
As shown in Section III.A below, it is black letter law that once statutes are declared to be facially unconstitutional, they have no effect, unless and until such declaration is reversed or narrowed by a higher court. Moreover, as shown in Section III.B below, actions taken in reliance on a judgment are protected from retroactive invalidity, even when that judgment is later found to be erroneous. A similar legal principle prevents retroactive invalidity of contracts by operation of legislation, and thus any argument that the contracts are invalid because emergency rule ERC 70.03 was
used to retroactively decertify these Defendants long after the contracts were negotiated and ratified, must fail, as shown in Section III.C below.
Yet this court need not reach those substantive questions at all. The well-known standards for summary judgment, described in Section I, are not met. Specifically, as shown in Section II, Plaintiffs have failed to demonstrate a prima facie case for summary judgment by failing to demonstrate the existence of facts, through admissible evidence, essential to their case.
I. STANDARDS FOR SUMMARY JUDGMENT.
Summary judgment is appropriate where, based on evidence admissible at trial and provided to the Court, “there is no genuine issue as to any material fact and . . . the moving party is entitled to a judgment as a matter of law.” Wis. Stat. § 802.08(2); Voss v. City of Middleton, 162 Wis. 2d 737, 748, 470 N.W.2d 625 (1991). Before a court may reach the legal issues presented in a motion for summary judgment, it must first examine the pleadings to determine that a claim for relief is stated and a genuine issue of material fact is presented. Giffin v. Poetzl, 2001 WI App 207, ¶ 6, 247 Wis. 2d 906, 634 N.W.2d 901. If that hurdle is met, the court must next examine the moving party’s affidavits to determine whether a prima facie case for summary judgment has been made. Schultz v Industrial Coils, Inc., 125 Wis. 2d 520, 521, 373 N.W.2d 74 (Ct. App. 1985). “[I]t is the burden of the party asserting a claim on which it bears the burden of proof at trial ‘to make a showing sufficient to establish the existence of an element essential to that party’s case.’” Holsen v. Heritage Mut. Ins. Co., 182 Wis. 2d 457, 461-62, 513 N.W.2d 690
That showing must be made by submitting evidentiary material “‘set[ting] forth specific facts,’ Rule 802.08(3), Stats., material to that element.” *Id.*
It is only after the moving party has made such a showing that the court turns to the opposing party’s evidence to determine whether a genuine factual issue exists which would entitle that party to a trial. *Wolski v. Wilson*, 174 Wis. 2d 533, 537, 497 N.W.2d 794 (Ct. App. 1993). In this portion of the analysis, doubts regarding the existence of a genuine issue of material fact are resolved against the moving party. *Lambrecht v. Estate of Kaczmarczyk*, 2001 WI 25, ¶ 23, 241 Wis. 2d 804, 623 N.W.2d 751.
When, and only when, all of these hurdles have been surmounted and the court finds that material facts are not in dispute, the court applies controlling law to the undisputed facts. *Stone v. Board of Regents*, 2007 WI App 223, ¶ 9, 305 Wis. 2d 679, 741 N.W.2d 774.
Thus, the court must (1) determine from the pleadings that a claim for relief has been stated and a genuine issue of material facts is presented; (2) determine that the moving party has presented through admissible evidence a prima facie case; and (3) determine that there is no genuine issue as to any material fact; before reaching the legal issues presented in a motion for summary judgment. If the court determines that the legal issues should resolve in favor of the non-moving party, it may grant summary judgment to the non-moving party, even though that party has not so moved. *M&I Marshall Bank v. Town of Somers*, 141 Wis. 2d 271, 285, 414 N.W.2d 824 (1987); Wis. Stat. § 802.08(6).
II. PLAINTIFFS FAIL TO MAKE A PRIMA FACIE CASE FOR SUMMARY JUDGMENT.
Plaintiffs’ Motion for Summary Judgment states that it seeks by summary judgment a declaration that “the collective bargaining agreements [KEA] negotiated and entered into with the Kenosha School District in November, 2013 are void as a matter of law.” Essential to such relief, as an element of the prima facie case, is proof of the existence and terms of such agreements. Plaintiffs utterly fail to present such evidence. Consequently, the court has at best incomplete evidence of the collective bargaining agreements challenged. It therefore cannot proceed to the next steps in the summary judgment process: determining whether a genuine factual issue exists which would entitle the non-moving party to a trial, and, in the absence of such factual dispute, determining whether either party has shown a basis for summary judgment as a matter of law.
Specifically, the only evidence of any portion of the terms of the contracts negotiated and entered into between KEA and KUSD in November 2013 is the “Tentative Agreement” attached as Exhibit G to the McGrath Affidavit. That document is signed by representatives of KSUD and the Defendants, including KEA, but does not reflect the full terms of the agreements between KEA and KUSD. Rather, the parties’ agreement was to use the terms of their various 2011-2013 Collective Bargaining Agreements as the starting point for the CBA’s for July 1, 2013 through June 30, 2014, and for the CBA’s for June 1, 2014 through June 30, 2015, and for those CBA’s to contain the same terms as the 2011-2013 CBA’s except as modified in the Tentative Agreement.
That is, the terms of the new agreements are reflected in the various 2011-2013 Collective Bargaining Agreements, as modified by the November 2013 Tentative Agreement. This process created more than three new CBAs. *Second Amended Complaint*, ¶57, *KEA Amended Answer to Second Amended Complaint*, ¶57. None of those CBA’s have been presented in admissible form.
As stated in its Amended Answer to Plaintiffs’ Second Amended Complaint, paragraph 18, KEA is the collective bargaining agent for five (5) different bargaining units: (1) all regular full-time and all regular part-time certified teaching personnel employed by the School District, (2) all regular full-time and regular part-time Education Support Professionals employed by the School District, (3) all substitute teachers employed by the School District, (4) all regular licensed full-time and part-time educational interpreters employed by the School District, and (5) all carpenters and painters employed by the School District. For the 2011-2013 term, each of these bargaining units had separate contracts. *Affidavit of Kiriaki*, ¶2. Plaintiffs have failed to present admissible evidence of the terms of these various bargaining units’ 2011-2013 Collective Bargaining Agreements, which comprise in substantial part the terms of the contracts that Plaintiffs challenge in this lawsuit.
At most, Plaintiffs have presented as Exhibit E to McGrath’s Affidavit a document that KEA admits is “genuine,” and which McGrath contends is “the 2011-2013 contract between the Kenosha School District and KEA.” *Affidavit of McGrath*, ¶6. Mr. McGrath’s affidavit presents no evidence that the assertion is based on his personal knowledge, and indeed KEA denied the assertion in the pleadings. *KEA’s Amended*
Answer to the Second Amended Complaint, ¶ 58. Moreover, in their brief, Plaintiffs differently contended that this document is “the expired collective bargaining agreement” “between the School District and the Union Defendants,” Plaintiffs’ Brief in Support of Motion for Summary Judgment, p. 4, which is contrary to Mr. McGrath’s affidavit, unsupported by any evidence, and untrue. At most, this is one of the five different 2011-2013 contracts negotiated between KEA and KUSD: KEA negotiated a separate contract for each of the five collective bargaining units it represented at that time. Affidavit of Kiriaki, ¶ 2. Which one it is, if any, is not presented by evidence in admissible form, and there can be no dispute that there is no sign in the record of the remaining four contracts.
In sum, Plaintiffs ask the court to declare void contracts, the complete terms of which are not before the court. As outlined in Section I above, Plaintiffs bear the burden to prove a prima facie case for summary judgment by presenting the court with admissible evidence on each element essential to their case. They have utterly failed in that burden. Therefore, the court cannot move on to the next steps in the summary judgment. Instead, Plaintiffs’ Motion for Summary Judgment must be denied.
III. THE CHALLENGED COLLECTIVE BARGAINING AGREEMENTS ARE VALID AS A MATTER OF LAW.
A. The Dane County Circuit Court’s 9/14/12 Decision Had the Effect of an Injunction, Thus the Terms of the CBAs at Issue Are Valid.
A declaratory judgment action challenging the constitutionality of a state statute is properly brought against the state agency or officials charged with its administration.
Lister v. Board of Regents, 72 Wis.2d 282, 303, 240 N.W.2d 610 (1976). Such an action is brought against the officer or agency charged with administering the statute on the premise that the officer or agency is acting outside the bounds of his or its constitutional or jurisdictional authority by enforcing or implementing the law. *Id.* That was exactly the premise of the action brought in Dane County Circuit Court Case No. 11CV3774, and precisely why the plaintiffs there sued the WERC Commissioners and the Governor.
"[A] law repugnant to the Constitution is void." *Helgeland v. Wisconsin Municipalities*, 2008 WI 9, ¶ 13, 307 Wis. 2d 1, 745 N.W.2d 1. "A legislative act that has been ruled unconstitutional has no legal effect or existence." *Hunter v. School Dist. Gale-Ettrick-Trempealeau*, 97 Wis. 2d 435, 444, 293 N.W.2d 515 (1980). "An unconstitutional act of the Legislature is not a law; it confers no rights, it imposes no penalties, it affords no protection, and is not operative, and in legal contemplation it has no existence." *State ex rel. Kleist v. Donald*, 164 Wis. 545, 552-53, 160 N.W. 1067 (1917). Particularly when, as in the 9/14/12 Decision, a court determines that a statute facially intrudes on free-speech rights, third persons, as well as those who are parties to the case, are entitled to rely on that determination unless and until it is stayed, reversed or overruled. *See Lounge Mgmt., Ltd. v. Town of Trenton*, 219 Wis. 2d 13, 22-23, ¶¶ 15-16, 580 N.W.2d 156 (1998).
Declaratory relief, like an injunction, "is primarily anticipatory and preventative in nature." *Lister v. Board of Regents*, 72 Wis. 2d 282, 307, 240 N.W.2d 610 (1976). Even when the relief is only declaratory, "the declaratory relief alone has virtually the same
practical impact as a formal injunction would.” *Samuels v. Mackell*, 401 U.S. 66, 72 (1971).
No explicit injunction was necessary to halt all ability to rely on the provisions found unconstitutional. “If a court holds a statute unconstitutional on its face, the state may not enforce it under any circumstances, unless an appropriate court narrows its application. . .” *State v. Konrath*, 218 Wis. 2d 290, 304, n. 13, 577 N.W.2d 601 (1998); *see also Hunter v. School Dist. Gale-Ettrick-Tremealeau*, 97 Wis. 2d 435, 293 N.W.2d 515 (“A legislative act that has been ruled unconstitutional has no legal effect or existence.”). Moreover, when a *facial* constitutional challenge to a statute is made under the Declaratory Judgment Act, a decision in favor of the challenger directly affects ALL of those subject to the statute, regardless of whether they participated in the litigation. *Helgeland v. Wisconsin Municipalities*, 2006 WI App 216, ¶¶ 17, 19, 296 Wis. 2d 880, 724 N.W.2d 208, *aff’d*, 2008 WI 9, 307 Wis. 2d 1, 745 N.W.2d 1. As the Wisconsin Supreme Court stated in *Helgeland*: “[O]n a practical level--the level at which our analysis must focus--the municipalities [who were not parties] arguably may be affected if a judgment is entered against DETF.” *Helgeland*, 2008 WI 9, ¶ 58. Even the dissent, authored by Justice Prosser, agreed: “As ‘a practical matter,’ this suit is equivalent to a class action.” *Helgeland*, 2008 WI 9, ¶ 167.
The Attorney General represented the State defendants and asserted the constitutionality of the challenged portions of Act 10 at every stage of the *Madison Teachers* litigation. Both WERC and the Attorney General “are charged by law with the duty to defend the constitutionality of” Act 10. *See Helgeland v. Wisconsin Municipalities,*
When the Attorney General defends a statute against a claim of unconstitutionality, he is acting in a representative capacity in behalf of all persons having an interest in upholding the validity of the statute under attack. *White Horse Milk*, at 247. His representation extends to citizens and political subdivisions of the state alike. *Helgeland*, at ¶ 91. “The obligation of both the [Attorney General] and public officers charged with the enforcement of state statutes [here WERC] is clear: they must defend the statute regardless of whether they have diverse constituencies with diverse views.” *Id.*, at ¶ 108.
If the circuit court finds a state statute unconstitutional, the Attorney General is under a positive duty to appeal from that decision:
[We] cannot conceive of the attorney general failing to perform his duty of appealing, if the trial court should adjudge [the statute] unconstitutional. The issue of the validity of such statute is of such state-wide concern that he would be derelict in his duty if he did not appeal an adverse judgment. We must presume that he will perform his duty until such time as we are presented with convincing evidence to the contrary.
*White Horse Milk*, at 250.
The Supreme Court has relied on these principles to harmonize two facially incompatible parts of § 806.04(11). On the one hand, that provision makes clear that declaratory relief is available to challenge the constitutionality or validity of a statute or ordinance, as long as the Attorney General is “served with a copy of the proceeding and . . . entitled to be heard.” On the other hand, it also commands that “all persons shall be
made parties who have or claim an interest which would be affected by the declaration, and no declaration may prejudice the right of persons not parties to the proceeding.”
In *White Horse Milk*, the Supreme Court concluded that, because the Attorney General and the relevant officials act in a representative capacity, § 806.04(11) does not require “the joinder as parties, in a declaratory action to determine the validity of a statute or ordinance, of any persons other than the public officers charged with the enforcement of the challenged statute or ordinance.” *White Horse Milk*, at 249, quoted in *Helgeland*, at ¶ 140. Otherwise, “the valuable remedy of declaratory judgment would be rendered impractical and indeed often worthless for determining the validity of legislative enactments, either state or local, since such enactments commonly affect the interests of large numbers of people.” *Town of Blooming Grove v. City of Madison*, 275 Wis. 328, 334, 81 N.W.2d 713 (1957), quoted in *Helgeland*, at ¶ 140.
Thus, in the absence of a stay or other subsequent order, as of September 14, 2012, those portions of Act 10 declared unconstitutional had no legal effect, and could not limit municipalities and collective bargaining agents as to the terms negotiated in their CBA’s.
To the extent there was any actual confusion about what authority the WERC had and did not have to implement the nullified portions of MERA, the circuit court clarified that in its September 17, 2013 Decision and Order, saying that “the defendants are bound by the court’s judgment, even as to non-parties.” and that they “may not enforce [the provisions found facially unconstitutional] under any circumstances, against anyone.” *Affidavit of Packard*, Ex. 11. That clarification should have stopped the
WERC from continuing to implement the voided statutes. While no injunction was necessary, that clarification, as well as the October 25, 2013 Order commanding the Commissioners to cease all implementation and enforcement of the nullified provisions, eliminated all question as to whether the Defendants and KUSD could bargain as they had prior to enactment of the voided provisions of Act 10. If the window to bargain without the restraints of the voided provisions of Act 10 was not open before October 25, 2013, it most certainly was open by that date, and remained open until after the challenged contracts were ratified on November 15, 2013, indeed until July 31, 2014, when the Supreme Court reversed.
B. The Unions and KUSD Were Entitled to Rely on the 9/14/12 Judgment Declaring the Relevant Parts of Act 10 Unconstitutional in Negotiating the CBAs in November 2013.
As an alternative and separate basis for confirming the validity of the Collective Bargaining Agreements negotiated between KEA and KUSD on November 11, 2013 and fully ratified on November 15, 2013, the CBA’s were made in reliance on the judgment of a court, specifically, the 9/14/12 Decision finding relevant portions of Act 10 to be facially unconstitutional, void, and without effect.
Plaintiffs devote substantial efforts to argue that the circuit court’s 9/14/12 Decision and 10/25/13 Order are “nonprecedential.” This is true, and irrelevant. “Precedent” is not the question. Rather, the question is what effect those circuit court rulings have, until and unless stayed or reversed, on the ability of others to negotiate contracts and otherwise conduct their behavior in reliance on those rulings. The
answer, as shown below, is that actions taken in reliance upon a judgment are protected from interference, even if that judgment is later found to be erroneous.
In particular, the Wisconsin Supreme Court held in *Slabosheske v. Chikowske*, 273 Wis. 144, 150, 77 N.W.2d 497 (1956), that “when a court has jurisdiction of the parties and the subject matter its judgment, however erroneous, is a complete justification, until reversed or set aside, of acts done in its enforcement and *a protection to those who acted in good faith upon it*.” (emphasis added). Those protected by reliance on a circuit court’s judgment, even if later determined erroneous, include nonparties: *Slabosheske* was an action on a promissory note. The note was taken by a school district, District 7, after a circuit court confirmed a referendum and determined that it, and not District 2, was the valid school district. Slabosheske was not a party in that case, captioned *State ex rel. Oelke v. Doepke*. The circuit court’s decision in *State ex rel. Oelke* was reversed on appeal, but while that appeal was pending, District 7, relying on the circuit court’s judgment borrowed money from Slabosheske. The Supreme Court rejected the argument that the borrowing of money by District 7 created no legal obligation to Slabosheske because of the later appellate ruling. Instead, it held: “until we reversed the trial court in *State ex rel. Oelke v. Dopeke, supra*, the judgment confirming the referendum, for the protection of those acting in reliance upon it, must be considered effective until reversed. . . .Those who dealt with the district in reliance upon its apparent status, such as the plaintiffs, are protected by the circuit court judgment.” *Id.* at 152-153.
*Slabosheske*’s holding was reaffirmed in *Kett v. Cmty. Credit Plan, Inc.*, 222 Wis. 2d 117, 586 N.W.2d 68 (Ct. App. 1998) *aff’d*, 228 Wis. 2d 1, 596 N.W.2d 786 (1999). There,
the court cited *Slabosheske* for the proposition that “[a] voidable judgment, [as opposed to a void judgment], *has the same effect and force as a valid judgment* until it has been set aside,” and that judgment “protects actions taken under it before it is reversed.” *Kett*, 222 Wis. 2d at 127-28 (emphasis added). Applying that case law, the ruling finding portions of Act 10 to be facially unconstitutional was valid until it was reversed. *See also In re the Marriage of Harris*, 141 Wis. 2d 569, 585, 415 N.W.2d 586, 593 (Ct. App. 1987).
There can be no question that the circuit courts of Wisconsin have the authority to declare statutes unconstitutional; such rulings are not merely advisory.
“[D]etermination of constitutionality reasonably cannot abide initial adjudication by the appellate court . . .” *City of Milwaukee v. Wroten*, 160 Wis. 2d 207, 217, 466 N.W.2d 861 (1991); *see also Just v. Marinette County*, 56 Wis. 2d 7, 26, 201 N.W.2d 761 (1972). Therefore the parties to the CBA’s at issue had every right in November 2013 to rely on the September 2012 ruling that found the relevant portions of Act 10 to be void and without effect, particularly in light of the September 2013 clarification of the meaning of that ruling and the October 2013 directives to the Commissioners.
Taken together, *Slabosheske, Harris* and *Kett* confirm the validity of the 2013-2014 and 2014-2015 CBA’s between KEA and KUSD challenged in this action. They were negotiated and ratified in reliance upon a valid judgment that portions of Act 10 were unconstitutional. Although that judgment was later found to be erroneous, under *Slabosheske* and *Kett*, any actions taken in reliance on that judgment are protected.
C. KEA was a Certified Bargaining Agent, Duly Authorized to Negotiate CBA’s With KUSD: Legislation Retroactively Divesting It of Its Authority Cannot Invalidate the CBA’s.
Plaintiffs have presented no evidence that KEA was decertified prior to the dates in November 2013 when it and KUSD negotiated and ratified the challenged CBA’s. Indeed, the only evidence before the court is that KEA and KUSD relied on the WERC’s own pronouncements of its lack of authority to enforce and implement the invalidated recertification provisions in Act 10 following the October 21, 2013 hearing, and its invalidation of emergency rule ERC 70.03. Specifically, on October 26, 2013, the WERC notified the public and all interested parties that its emergency rule “Wis. Adm. Code ERC 70.03 was enacted without lawful authority and was therefore void when enacted, has no legal effect, and will not be implemented or enforced so long as the Decision and Order of the Dane County Circuit Court dated September 14, 2012 remains in effect.” This notice also informed the public and interested parties that “labor organizations are to be accorded the same status with respect to municipal employers that they would have had if ERC 70.03 had not been adopted.” Affidavit of Packard, Ex. 15.
Moreover, specific as to KEA’s certification status, in late October 2013 the WERC (1) disavowed that it had decertified KEA prior to the October 21, 2013 hearing, Affidavit of Packard, Ex. 13, pp. 60-61; (2) explicitly told KEA and KUSD that “the Commission’s emergency administrative rules as to certification elections are, at the present time, null and void,” Affidavit of Pines, Ex. 3, (3) withdrew prior communications implying that KEA had been decertified, id.; and (4) told KUSD and KEA that “the Kenosha Education
Association has the same status it would have had had ERC 70.03 not been enacted and had the withdrawn communications not been sent.” *Id.*
Plaintiffs may assert that regardless of what had occurred as of the date the CBA’s were negotiated and ratified, KEA was decertified on February 5, 2014, retroactive to August 31, 2013, through retroactive application of emergency rule ERC 70.03 and the Notice of Consequences dated February 5, 2014, and therefore the contracts reached in November 2013 are invalidated. The problem with that assertion is that a retroactive decertification and invalidation of contracts valid when entered into, by operation of a legislative act like emergency rule ERC 70.03, cannot be effective. Such invalidation runs afoul of the doctrine of legislative impairment of contract.
This doctrine, based on the Contract Clauses of both the Wisconsin and United States Constitutions (Article I, Sec. 12 and Article I, Sec. 10, respectively) invalidates legislative acts to the extent they substantially impair existing contracts, absent “significant and legitimate public purpose” behind the regulation, and a finding that the interference is a reasonable and narrowly tailored means of promoting the public purpose behind the regulation. *Energy Reserves Group, Inc. v. Kansas Power & Light Co.*, 459 U.S. 400, 411-413 (1983); *see also Pfister v. Milwaukee Econ. Dev. Corp.*, 216 Wis. 2d 243, 260-61, 576 N.W.2d 554, 560 (Ct. App. 1998). The severity of interference increases the level of scrutiny, such that total invalidation merits the highest level of scrutiny. *Id.* No public purpose has or can be shown significant enough to support the total invalidation proposed by Plaintiffs here, nor can it be demonstrated that the regulation is narrowly tailored to promote the public purpose asserted to be behind the regulation. For those
reasons, the court should find that emergency rule ERC 70.03 cannot be found to invalidate the collective bargaining agreements challenged by the Plaintiffs here.
IV. THE PLAINTIFFS HAVE NEITHER PLED NOR SHOWN A COLORABLE ANTITRUST CLAIM UNDER CHAPTER 133 AND THEREFORE HAVE NO CLAIM FOR ATTORNEY FEES.
The sum and substance of this lawsuit is the Plaintiffs’ effort to have the 2013-2014 and 2014-2015 collective bargaining agreements covering District employees declared invalid and enjoined as in violation of Act 10, which Judge Colás had declared unconstitutional in 11CV3774. That decision has been reversed, but long after these contracts were ratified and therefore, as shown above, the contracts should not be invalidated. Even if this court should rule for the Plaintiffs on that issue and grants the declaratory and injunctive relief, Plaintiffs do not have a claim for attorney fees under the Declaratory Judgment Act. See Gorton v. Hostak, Heinzl & Bichler, S.C., 217 Wis. 2d 493, ¶ 33, 577 N.W.2d 617 (1998); Cobb v. Milwaukee County, 60 Wis. 2d 99, 119-20 (1973); Lenhardt v. Lenhardt, 2000 WI App 201, ¶ 15, 238 Wis. 2d 535, 618 N.W.2d 218.
Consequently, it is obvious that they have inserted an antitrust claim under Wis. Stat. § 133.03 into their complaint simply because Wis. Stat. § 133.18(1) provides for fee awards in antitrust cases. To demonstrate a violation of § 133.03, which is analogous to § 1 of the federal Sherman Act, a plaintiff must prove (1) the existence of a conspiracy, combination or contract; (2) that results in the unreasonable restraint of trade in a relevant market; and (3) the existence of an “anti-trust injury.” Agnew v. National
Plaintiffs have come nowhere near to proving these elements.
No court has ever held that unions and employers violate the antitrust laws simply by entering collective bargaining agreements, yet that is what the Plaintiffs ask this court to do, so that they can dun the Unions for their attorney fees. Simply contracting collectively with an employer over its employees’ wages, hours and conditions of employment is not and has never been an antitrust violation. Indeed, the activities of labor unions have long been exempt from both federal and state antitrust laws. Wisconsin’s antitrust statute recognizes that, [t]he labor of a human being is not a commodity or article of commerce,” and thus, labor unions may engage in activities to carry out the legitimate goals of their organization without running afoul of the antitrust laws. Wis. Stat. § 133.07(1). The law specifically allows “[w]orking people [to] organize themselves” to promote “the regulation of their wages and their hours and conditions of labor,” id. § 133.08(1), and states the antitrust laws should not be construed to prohibit collective bargaining. Id. § 133.09. See also § 133.08(2).
The Plaintiffs acknowledge, as they must, that Wis. Stat. § 133.03, on which they purport to ground their antitrust claim, “was intended as a reenactment of the first two sections of the federal Sherman Act of 1890, 15 U.S.C. §§ 1 and 2 . . . and that the question of what acts constitute a combination or conspiracy in restraint of trade is controlled by federal court decisions under the Sherman Act.” See Grams v. Boss, 97 Wis. 2d 332, 346, 294 N.W.2d 473 (1980).
Thus, the language of the Sherman Act, related Acts from which Wis. Stat. Ch. 133 also derives, and cases interpreting them, are instructive here. Section 1 of the Sherman Act states, in relevant part as it did when first enacted in 1890: “Every contract, combination in the form of trust or otherwise, or conspiracy, in restraint of trade or commerce among the several states, or with foreign nations, is declared to be illegal.” 15 U.S.C. § 1. Section 133.03 of the Wisconsin Statutes similarly provides: “Every contract, combination in the form of trust or otherwise, or conspiracy in restraint of trade or commerce is illegal.”
The Sherman Act was supplemented by the Clayton Act of 1914, § 6 of which, 15 U.S.C. § 17, states, as it did when first enacted:
The labor of a human being is not a commodity or article of commerce. Nothing contained in the antitrust laws shall be construed to forbid the existence and operation of labor, agricultural, or horticultural organizations, instituted for the purposes of mutual help, and not having capital stock or conducted for profit, or to forbid or restrain individual members of such organizations from lawfully carrying out the legitimate objects thereof; nor shall such organizations, or the members thereof, be held or construed to be illegal combinations or conspiracies in restraint of trade, under the antitrust laws.
Similarly, Wis. Stat. § 133.07 provides:
This chapter shall not prohibit the existence and operation of labor, agricultural or horticultural organizations, instituted for the purpose of mutual help, and not having capital stock or conducted for profit, or organizations permitted under ch. 185 or 193; shall not forbid or restrain individual members of such organizations from lawfully carrying out the legitimate objects thereof; and such organizations, or the members thereof, shall not be held or construed to be illegal combinations or conspiracies in restraint of trade, under this chapter. The labor of a human being is not a commodity or article of commerce.
The significance of the explicit command in § 6 of the Clayton Act that “The labor of a human being is not a commodity or article of commerce,” was explained by the United States Supreme Court in *Apex Hosiery Co. v. Leader*, 310 U.S. 469 (1940):
A combination of employees necessarily restrains competition among themselves in the sale of their services to the employer; yet such a combination was not considered an illegal restraint of trade at common law when the Sherman Act was adopted, either because it was not thought to be unreasonable or because it was not deemed a “restraint of trade.” Since the enactment of the declaration in § 6 of the Clayton Act that “the labor of a human being is not a commodity or article of commerce * * * nor shall such (labor) organizations, or the members thereof, be held or construed to be illegal combinations or conspiracies in restraint of trade, under the anti-trust law,” it would seem plain that *restraints on the sale of the employee’s services to the employer, however much they curtail the competition among employees, are not in themselves combinations or conspiracies in restraint of trade or commerce under the Sherman Act.*
*Apex Hosiery*, at 502-03 (emphasis added, ellipsis in original).
The Court observed that the Sherman Act aimed at the protection of competition, not between employees in their dealings with their employer, but between businesses in the provision of goods and services to the public:
[The Sherman Act] was enacted in the era of “trusts” and of “combinations” of businesses and of capital organized and directed to control of the market by suppression of competition in the marketing of goods and services, the monopolistic tendency of which had become a matter of public concern. The end sought was the prevention of restraints to free competition in business and commercial transactions which tended to restrict production, raise prices or otherwise control the market to the detriment of purchasers or consumers of goods and services, all of which had come to be regarded as a special form of public injury.
*Id.*, at 492-93 (1940).
Even before the interposition of the Clayton Act and the Norris-LaGuardia Act of 1932, 29 U.S.C. §§ 101, *et seq.*, the Supreme Court applied the Sherman Act to labor
union activity only when a union colluded with or conscripted third parties, such as the employer’s customers or its competitors, in an effort to stifle the employer’s ability to compete in the market for its goods and services. One such case was the one cited by the Plaintiffs, *Loewe v. Lawlor*, 208 U.S. 274 (1907). In *Loewe*, the Supreme Court condemned, as a violation of the Sherman Act, not the employees’ effort to bargain collectively with their employer, a manufacturer of hats, but the union’s organization of a nationwide boycott of the employer’s hats and anyone who sold them, in support of that effort. *See Loewe*, at 300-01.
Following the enactment of the Clayton and Norris-LaGuardia Acts, the legality of union activity that had previously been viewed as an unlawful restraint of trade was “to be determined only by reading the Sherman Law and § 20 of the Clayton Act and the Norris-LaGuardia Act as a harmonizing text of outlawry of labor conduct.” *Hutcheson*, at 231.⁴
This did not affect the status of union activity that had never been regarded as a “restraint of trade” outlawed by the Sherman Act: employees bargaining collectively with their employer over wages, hours and terms and conditions of employment. Such activity remained excluded from Sherman Act coverage because it merely “restrain[ed] competition among [the employees] themselves in the sale of their services to the
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⁴One effect of Landrum-Griffin, in direct repudiation of *Loewe*, was the removal of secondary boycotts from the ambit of unlawful restraints of trade under the Sherman Act. *See Milk Wagon Drivers v. Lake Valley Farm Products*, 311 U.S. 91, 103 (1940). Secondary boycotts were again made illegal under the Labor-Management Relations (Taft-Hartley) Act of 1947, creating § 8(b)(4) of the National Labor Relations (Wagner) Act (NLRA), 29 U.S.C. § 158(b)(4). Taft-Hartley, however, did not return secondary boycotts to the status of antitrust violations. Instead, it made them violations of the labor law, subject to injunction only at the behest of the National Labor Relations Board (NLRB). *See* 29 U.S.C. § 160(l).
employer.” *Apex Hosiery*, 310 U.S. at 502. This *ab initio* exclusion from the antitrust law has come to be called the implicit “nonstatutory labor exemption,” in contrast to the explicit “statutory exemptions” embodied in the Clayton and Norris-LaGuardia Acts. *See Connell Const. Co. v. Plumbers & Steamfitters Local 100*, 421 U.S. 616, 621-22 (1975).
A union, however, treads into Sherman Act coverage when it *agrees* with a “nonlabor party,” such as a competitor or customer of the employer “to restrain competition in a business market.” *Id.* at 622-23. For example:
- In *Allen Bradley Co. v. Local 3, Electrical Workers*, 325 U.S. 797 (1945), Local 3 in New York City obtained agreements with local contractors to purchase electrical equipment only from local manufacturers who had closed shop agreements with Local 3 and with local manufacturers to sell only to contractors employing Local 3’s members. This effectively excluded electrical equipment manufacturers in other parts of the country from the New York City market. The Court held: “When the unions participated with a combination of business men who had complete power to eliminate all competition among themselves and to prevent all competition from others, a situation was created not included within the exemptions of the Clayton and Norris-LaGuardia Acts.” *Allen-Bradley*, at 809.
- In *Mine Workers v. Pennington*, 381 U.S. 657 (1965) large coal companies negotiating with the United Mine Workers (UMW) in 1950 sought to curb overproduction by eliminating smaller companies. In exchange for UMW’s support for mechanization, the companies agreed to higher wage rates than smaller companies could afford. They also obtained UMW’s pledge to impose
the terms of the 1950 agreement on all other operators without regard to their ability to pay. This forced many of the smaller operators out of the business. The UMW and the large companies also agreed upon other active steps to exclude the marketing, production and sale of nonunion coal. Finding an illegal restraint of trade, the Court held:
[A] union forfeits its exemption from the antitrust laws when it is clearly shown that it has agreed with one set of employers to impose a certain wage scale on other bargaining units. One group of employers may not conspire to eliminate competitors from the industry and the union is liable with the employers if it becomes a party to the conspiracy. This is true even though the union’s part in the scheme is an undertaking to secure the same wages, hours or other conditions of employment from the remaining employers in the industry.
*Pennington*, at 665-66.
- In *Connell*, a New York City union’s multiemployer agreement with a mechanical subcontractors association included a “most favored nation” clause, in which the union agreed that, if it granted a more favorable contract to any other employer it would extend same terms to the association’s members. The union then pressured many general contractors, whose employees it did not wish to represent, to sign agreements to subcontract mechanical work only to association members. The Court held the Sherman Act applicable to the contracts with the general contractors because they had “a potential for restraining competition in the business market in ways that would not follow naturally from elimination of competition over wages and working conditions.”
*Connell*, 421 U.S. at 635.
The Plaintiffs’ citation to a number of cases involving collegiate and professional athletics adds nothing but makeweight to their argument. The most that those cases establish is that employers may violate the antitrust laws if they agree *with each other* to establish uniform terms and conditions of hiring or employment. That was the situation in *Law v. NCAA*, 134 F.3d 1010 (10th Cir. 1998), where the colleges and universities in Division I of the NCAA collectively agreed that none would pay an entry-level “restricted-earnings coach” a salary greater than $16,000 per year. Similarly, “no-switching” agreements, whereby employers agree not to hire each other’s present or former employees, are subject to the antitrust laws:
[A]greements among supposed competitors not to employ each other’s employees not only restrict freedom to enter into employment relationships, but may also, depending upon the circumstances, impair full and free competition in the supply of a service or commodity to the public.
*Nichols v. Spencer Intern. Press, Inc.*, 371 F.2d 332, 336 (7th Cir. 1967).
This should come as no surprise. If a labor union forfeits its exemption from the antitrust laws by joining in an agreement between such “nonlabor parties,” as occurred in *Pennington* and *Connell*, the result of such collusion between “nonlabor parties” in the complete absence of a union should be obvious.
In fact, the only situation in which the antitrust laws were held not to be implicated by an agreement among employers alone to establish uniform terms and conditions of employment was that presented in *Brown v. Pro Football, Inc.*, 518 U.S. 231 (1996). There, after bargaining to impasse as a group with the NFL Players Association, the NFL teams collectively implemented their final offer, which included fixed salaries
of $1,000 per week for entry-level “developmental squad” players. The Supreme Court held that, because an employer’s unilateral post-impasse implementation of its final offer in collective bargaining was permitted by the National Labor Relations Act, it was embraced by the implicit nonstatutory exemption to the Sherman Act:
The labor laws give the [NLRB], not antitrust courts, primary responsibility for policing the collective-bargaining process. And one of their objectives was to take from antitrust courts the authority to determine, through application of the antitrust laws, what is socially or economically desirable collective-bargaining policy.
*Brown*, at 242.
It is against this federal backdrop that Plaintiffs’ antitrust claim under Wis. Stat. § 133.03 must be examined. In the first place, it must be remembered that “the labor of a human being is not a commodity or article of commerce” under Wis. Stat. § 133.07, just as under § 6 of the Clayton Act. While Act 10 jettisoned much, it left § 133.07 untouched. Consequently, “restraints on the sale of the employee’s services to the employer, however much they curtail the competition among employees, are not in themselves combinations or conspiracies in restraint of trade or commerce” under § 133.03 any more than they are under the Sherman Act, the Plaintiffs’ strenuous assertion at page 14 of their brief to the contrary notwithstanding. *See Apex Hosiery*, 310 U.S. at 502-03.
The contracts that Plaintiffs allege as “unlawful restraints of trade” are collective bargaining agreements between an employer, the District, and the labor unions representing bargaining units of District employees, concerning those employees’ wages, hours and conditions of employment. In short, the subject of these contracts is
only “the labor of human beings.” Consequently, they do not involve “commodities or articles of commerce,” nor do they restrain “trade or commerce” as those terms are used in Wis. Stats. Chapter 133.
Second, these contracts are not agreements with “nonlabor parties,” strangers to the employer-employee relationship, to restrain competition in the marketplace of goods and services. Therefore, they remain outside the ambit of “restraints of trade” that are forbidden by § 133.03.
This is true even if the contracts are forbidden by Act 10. A contract does not become a “restraint of trade” for purposes of the antitrust laws simply because it is made unlawful by another statute. *See Sitkin Smelting & Refining Co. v. FMC Corp.*, 575 F.2d 440, 447 (3d Cir. 1978). The Seventh Circuit has stated:
[T]he use of conventional antitrust language in drafting a complaint will not extend the reach of the Sherman Act to wrongs not germane to that act, even though such wrongs be actionable under state law. We are not concerned with labels. Otherwise, an adroit antitrust lawyer might use his skill in the use of words to convert many unlawful acts into antitrust violations. The antitrust laws were never meant to be a panacea for all wrongs.
*Parmalee Transp. Co. v. Keeshin*, 292 F.2d 794, 804 (7th Cir. 1961).
The Supreme Court’s decision in *Apex Hosiery* bears this out. It held the Sherman Act inapplicable to the strike there, even though it was carried out by illegal means, including the forcible takeover of the employer’s plant, since the union was not acting in combination with the employer’s competitors to suppress competition or fix prices. *See Apex Hosiery*, 310 U.S. at 501.
In sum, whether or not Plaintiffs have established that the subject collective bargaining agreements violate Act 10 or are void in light of Act 10, they have neither alleged nor shown a “contract, combination in the form of trust or otherwise, or conspiracy, in restraint of trade or commerce,” actionable under § 133.03. Since that is the only claim on which they could ground a demand for attorney fees, Plaintiffs’ demand must fail.
V. CONCLUSION.
For the reasons set forth in this brief, Plaintiffs’ Motion for Summary Judgment must be denied, and the court should grant summary judgment in favor of KEA.
Dated this 30th day of October, 2014.
Respectfully Submitted,
CULLEN WESTON PINES & BACH LLP
By:
Tamara B. Packard, SBN 1023111
Attorneys for the Plaintiff
Kenosha Education Association
Post Office Address:
122 W. Washington Avenue
Suite 900
Madison, Wisconsin 53703
(608) 251-0101 (telephone)
(608) 251-2883 (facsimile)
email@example.com
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Teaching Social Justice Through Legal Writing
Pamela Edwards
*CUNY School of Law*
Sheilah Vance
*Cheyney University*
TEACHING SOCIAL JUSTICE THROUGH LEGAL WRITING
Pamela Edwards\(^1\) and Sheilah Vance\(^2\)
INTRODUCTION
Because the topic of social justice is important to both of the authors, we were pleased to participate in the 2000 Legal Writing Institute Conference,\(^3\) even though neither of the authors is currently a legal writing professor; however, we both were in the past.\(^4\) Incorporating social justice in legal writing assignments provides benefits for professors and students. The first section of this article discusses the parameters of social justice and the goals advanced by incorporating social justice issues into legal writing curricula. The second section provides practical suggestions for creating fact patterns that contain social justice issues either as the background to the assignment or as the body of substantive law. The article then addresses concerns that may arise when professors incorporate social justice issues in legal writing assignments, including issues of academic freedom and job security for non-tenured professors and discusses how to resolve some of these concerns.
I. PARAMETERS OF SOCIAL JUSTICE
Before the article discusses why both professors and students benefit from teaching social justice through legal writing assign-
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\(^1\) Pamela Edwards is an Assistant Professor of Law at CUNY School of Law.
\(^2\) Sheilah Vance is Assistant Dean for Academic Support and an Adjunct Professor of Law at Villanova University School of Law. Professor Vance wishes to thank her research assistants, Alyssa Schwartz and Mary McAnally, for their assistance with this article.
\(^3\) This article summarizes the presentation the authors made at the 2000 Legal Writing Institute Conference on July 21, 2000.
\(^4\) Prior to joining CUNY, Professor Edwards taught legal writing at Hofstra Law School for four years. Currently, among other courses, she teaches a Lawyering Seminar course that incorporates legal writing as well as other lawyering skills. Professor Vance taught legal writing at Villanova University School of Law for two years before becoming Director of Academic Support. Currently, she teaches an Education Law Seminar in which students learn legal writing skills through writing seminar papers.
ments, it is important to define the concept of social justice.
A. What issues constitute "social justice"?
Social justice is the process of remedying oppression, which includes "exploitation, marginalization, powerlessness, cultural imperialism, and violence." Issues of social justice include problems involving race, ethnicity, and interracial conflict, "class conflict, gender distinctions, ... religious differences," and sexual orientation conflicts. Social justice also includes public interest work in its many guises.
B. Why teach social justice in legal writing courses?
Several important reasons exist that justify teaching social justice in legal writing courses. Benefits inure to both law students and law professors. This section of the article discusses the benefits to law students.
1. Teaching social justice issues encourages a diverse student body.
Some of the benefits of having a diverse student body accrue not only to members of underrepresented or outsider groups, but also to members of the dominant group or "ingroup." Scholars have argued that by hearing outsider stories, members of the ingroup will develop the ability to understand the different perspectives and experiences of outsider groups. These different perspectives and experiences will help to identify and eventually to eliminate biases in the law.
Many times, members of outsider groups are called upon to educate their ingroup colleagues. Addressing social justice issues in legal writing would expose ingroup students to alternative perspectives while alleviating some of the burden outsider students bear to provide this perspective.
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5 John O. Calmore, *A Call to Context: The Professional Challenges of Cause Lawyering at the Intersection of Race, Space, and Poverty*, 67 Fordham L. Rev. 1927, 1937 (1999).
6 Randall Kennedy, *Race Relations Law in the Canon of Legal Academia*, 68 Fordham L. Rev. 1985, 1986 (2000).
7 Richard Delgado, *Storytelling for Oppositionists and Others: A Plea for Narrative*, 87 Mich. L. Rev. 2411, 2435-2440 (1989).
8 See Glenn Omatsu, *Teaching for Social Change: Learning How to Afflict the Comfortable and Comfort the Afflicted*, 32 Loy. L.A. L. Rev. 791 (1999) (discussing how understand2. Teaching social justice issues maintains student interest.
Students attend law school for a variety of reasons and with differing career aspirations. Even so, most law students cannot see the connection between first-year mandatory courses and their ultimate careers. By introducing issues of social justice early in law school, professors introduce students who entered law school with an interest in practicing public interest law to situations they will face as attorneys. They especially will begin to realize the importance of legal writing and research to practitioners by being exposed to some of the types of writing attorneys engage in on behalf of their clients. While this is extremely important to professors in schools, such as City University of New York School of Law, which are devoted to training public interest lawyers, some students in other law schools also desire to practice public interest law.
In addition, law students who come from backgrounds other than white, middle class backgrounds may find little in law school that bears out their life experiences. In a law review article on his experiences in school, one Ivy League law school graduate has remarked on "how little of the legal academic world intersects even with the everyday world of even middle class African-Americans." Although he wrote this in the context of his property law course, the observation is true in many law school courses. Law professors typically incorporate in their courses the usually unstated assumption of common experiences that everyone has shared. However, many outsider students do not share in these "common experiences."
3. Teaching social justice raises and addresses issues of race, ethnicity, class, and gender in society.
Issues of race, gender, ethnicity, and class are central social issues, not marginal ones. As adults, law students can best undertake critical scrutiny of their personal values and of their individual culture's values, assumptions, and beliefs. Therefore, faculty should provide students with "disorienting moments" that will
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9 Brian Owsley, Black Ivy: An African-American Perspective on Law School, 28 Colum. Hum. Rts. L. Rev. 501, 527 (1997).
10 Fran Quigley, Seizing the Disorienting Moment: Adult Learning Theory and the Teaching of Social Justice in Law School Clinics, 2 Clin. L. Rev. 37, 47-48 (1995). Quigley attributes this "critical theory" of adult learning to adult learning theorists Paulo Freire and Jack Mezirow. Id. at 47, 48.
cause them to question their values and beliefs.\textsuperscript{11} This need to expand our students' horizons is especially critical because legal writing pedagogy silences outsider voices with its emphasis on an audience of attorneys that is largely white, male and allegedly "neutral."\textsuperscript{12} By raising social justice issues, professors let students know that their prelaw school experiences and concerns have value in the legal profession.\textsuperscript{13}
4. Teaching social justices supports the creation of more sensitive and understanding attorneys.
All aspects of the law school curriculum, including legal writing, should be reviewed to ensure that course content prepares students to serve a diverse client base.\textsuperscript{14} To that end, students must
\textsuperscript{11} \textit{Id.} at 51. Quigley defines the disorienting moment this way:
Adult learning theory maintains that when a learner begins describing an experience with the phrase, "I just couldn't believe it when I saw . . . . , an opportunity for significant learning has been opened. This phenomenon is called the disorienting moment, when the learner confronts an experience that is disorienting or even disturbing because the experience cannot be easily explained by reference to the learner's prior understanding - - referred to in learning theory as "meaning schemes" - - of how the world works.
\textit{Id.}
She further explains that the role of the instructor is to provide a three-step process for the disorienting moment to occur. First, "the instructor must design learning experiences that will provide an opportunity for disorienting moments to occur." \textit{Id.} at 52. This may include class readings and discussions. Second, the instructor must facilitate "the productive assimilation of the experience through reflection and exploration of other information related to the disorienting experience . . . ." \textit{Id.} at 52. Examples of media for reflection include classroom discussion, with a spirit of mutuality and instructor respect for the student and inclusion in class planning; explicit opportunities for student to student discussion; journals and other forms of self-evaluation; and supervisor-student conferences. \textit{Id.} at 55, 57-62. Third, reorientation, which is learning, occurs. \textit{Id.} at 52.
\textsuperscript{12} Kathryn M. Stanchi, \textit{Resistance Is Futile: How Legal Writing Pedagogy Contributes to the Law's Marginalization of Outsider Voices}, 103 Dick. L. Rev. 7 (1998) (providing a comprehensive discussion on muting).
\textsuperscript{13} See Thomas L. Shaffer & Robert Rodes, Jr., \textit{A Christian Theology for Roman Catholic Law Schools}, 14 U. Dayton L. Rev. 5, 14 (1998). Professors must let students know that "their moral impulses are useful things for a lawyer to have." \textit{Id.} These authors address the importance of raising social issues this way:
What we must steadily ask of the world if we are to be truthful teachers and scholars is what effect legal transactions have on the people underneath them. How does our real estate law affect people who need a place to live? How does our law on corporate mergers affect working poor and their families? How does our criminal justice system affect the ability of the urban poor to walk out on their streets? How does the First Amendment affect their ability to teach their children to live decent lives?
\textit{Id.} at 17.
\textsuperscript{14} See Phoebe A. Haddon, \textit{Keynote Address: Redefining Our Roles in the Battle for the Inclusion of People of Color in Legal Education}, 31 New Eng. L. Rev. 709, 721 (1997). "Few
become more sensitive to, and understanding of, various cultures and social groups.\textsuperscript{15} This sensitivity can arise from making the study of the needs and problems of clients from underserved communities an essential component of legal education.\textsuperscript{16}
\textbf{5. Teaching social justice broadens students' exposure.}
In raising social justice issues, a professor helps students develop a broader sense of the themselves and of the world. Law students are adult learners, and adult learners are in the best position psychologically to develop a broader sense of self.\textsuperscript{17} One of the intellectual challenges of law school should be students' reassessing their vision of what social justice means to them now and what social responsibility will mean to them later as attorneys. Raising social justice issues in the classroom is problem-posing education, which is an adult education theory of challenging learners to critically perceive the world in which they live and their values.\textsuperscript{18} Problem-posing education offers possibilities for critical self-reflection.\textsuperscript{19} Finally, students should be exposed to multiethnic and diverse experiences to appreciate fully the pluralism of contemporary society.\textsuperscript{20}
\begin{quote}
schools examine their own teaching and curriculum holistically--with an eye toward the clients that lawyers will be serving in the twenty-first century, or if they do, the assumption is that the clients will be wealthy, globe-trotting megacorporations, not the underserved." \textit{Id.}
\textsuperscript{15} Phoebe A. Haddon, \textit{Education for a Public Calling in the 21st Century}, 69 Wash. L. Rev. 573, 580 (1994). "Hence, lawyering includes the ability to understand and to critique existing and emerging visions of the profession in relation to interdisciplinary and multicultural perspectives." \textit{Id.} at 581.
\textsuperscript{16} \textit{Id.} at 585. "Legal education should socialize students to be more sensitive to existing inequities and should provide opportunities for them to think about the problems of mobilizing resources to ensure that the legal system can serve underrepresented poor clients' interests as well as the interests of corporate and other paying clients."
\textsuperscript{17} See Quigley, \textit{supra} n. 7, at 56.
Most psychological human development "stage" theories hold that the development of a broader sense of self as responsibly interactive with outside society is best able to be accomplished in adulthood. Therefore, in human development terms, adult law students are likely to respond to rather than retreat from the challenges of reassessing their vision of social justice and social responsibilities as lawyers.
\textit{Id.}
\textsuperscript{18} See Paulo Freire, \textit{Pedagogy of the Oppressed} (Herder & Herder 1970) (discussing problem-posing education). Freire explains, "In problem-posing education, men develop their power to perceive critically the way they exist in the world with which and in which they find themselves; they come to see the world not as a static reality, but as a reality in process, in transformation." \textit{Id.} at 70-71.
\textsuperscript{19} \textit{Id.} at 72.
\textsuperscript{20} See generally Linda Karen Clemons, \textit{Alternative Pedagogies for Minority Students}, 16 Thurgood Marshall L. Rev. 635 (1991) (explaining that "[t]he world view of Black and Hispanic students is often different than that of macrocultural students." \textit{Id.} at 635, 636).
\end{quote}
6. Teaching social justices develops and provides an outlet for students' voices.
Some of the alternative pedagogies that can be used in teaching social justice, such as journals, diaries, or personal narratives, can provide an outlet for students who feel silenced by traditional legal education.\textsuperscript{21} Addressing social justice issues can also minimize the potential for, and damage, of muting.\textsuperscript{22} Using alternative approaches in legal writing teaches the value of both the legal voice and the personal voice, especially the voice of "outsiders."\textsuperscript{23}
Perhaps raising multicultural issues will help those students who, because of their status as outsiders, lose their identity, self-esteem and will to succeed in law school.\textsuperscript{24} Multicultural law students often feel that they are socially isolated in law schools, that they are invisible, and that they have concerns which are considered unimportant.\textsuperscript{25} This has a negative impact on students' acclimation to law school, their self-confidence, and their academic performance.\textsuperscript{26} A number of articles have discussed the alienation that white women, people of color, gays and lesbians, and other outsiders face in law schools.\textsuperscript{27} One of the manifestations of this alienation is the silencing of alternative voices.\textsuperscript{28}
\textsuperscript{21} See Marina Angel, \textit{Criminal Law and Women: Giving the Abused Woman Who Kills a Jury of Her Peers Who Appreciates Trifles}, 33 Am. Crim. L. Rev. 229 (1996) (inject narrative theory in first-year to encourage students to tell their own stories in their own words); James R. Elkins, \textit{Writing Our Lives: Making Introspective Writing a Part of Legal Education}, 29 Williamette L. Rev. 45 (1993) (have students keep diaries or journals reflecting on their introduction to law and legal theories).
\textsuperscript{22} Stanchi, \textit{supra} n. 12, at 52-57) (encouraging the use of alternative pedagogies to minimize and offset the damage of muting).
\textsuperscript{23} \textit{Id.} at 18.
\textsuperscript{24} Haddon, \textit{supra} n. 14, at 723.
\textsuperscript{25} Pamela Edwards, \textit{The Culture of Success: Improving the Academic Success Opportunities for Multicultural Students in Law School}, 31 N. Eng. L. Rev. 739, 757-759 (1997).
\textsuperscript{26} \textit{Id.} at 759, n. 131 (citing Cathaleen A. Roach, \textit{A River Runs through It: Tapping into the Informational Stream to Move Students from Isolation to Autonomy}, 36 Ariz. L. Rev. 667, 675-676, in which Assistant Dean Roach writes: "[I]n addition to psychological consequences, racial isolation also has academic consequences. Students of color are often excluded from important yet informal networking systems, which means that the student is 'often shut off from the intra-institutional methods by which white students tend to acquire information about how to function in this new role, including advice from upper-class students and faculty members." (footnote omitted) (quoting Kevin Deasy, \textit{Enabling Black Students to Realize Their Potential in Law School: A Psycho-Social Assessment of an Academic Support Program}, 16 T. Marshall L. Rev. 547, 562-563 (1991)).
\textsuperscript{27} \textit{E.g.}, Linda R. Crane, \textit{Coloring the Law School Experience}, 6 Wis. L. Rev. 1427, 1428-1430 (1991); Edwards, \textit{supra} n. 25 at 757-759 & nn. 122-131 (1997); Placido G. Gomez, \textit{White People Think Differently}, 16 Thurgood Marshall L. Rev. 543 (1991); Margaret E. Montoya, \textit{Mascaras, Trenzas y Grenad: Unmasking the Self while Unbraiding Latina Stories and Legal Discourse}, 15 Chicano-Latino L. Rev. 1 (1994); Roach, \textit{supra} n. 26.
\textsuperscript{28} Stanchi, \textit{supra} n. 12, at 7.
importance to these outsider groups in the curriculum will not only encourage ingroup students to examine the law from another perspective but will also encourage students who are members of outsider groups to express their ideas and share their experiences in writing, even if they hesitate to speak up in class.\textsuperscript{29} Students who are members of outsider groups often are made to feel unwelcome in law school. By incorporating social justice issues into legal writing classes, legal writing professors will afford students from outsider groups the opportunity to feel included in law school without a transparent overt effort to do so.
The theme of the 2000 Legal Writing Institute Conference was preparing students for life after the first year of law school. Many schools offer upper level courses on women and the law, on race relations law, or on legal perspectives, such as critical race theory and feminist jurisprudence. Incorporating social justice issues into the first-year legal writing course can help broaden students' perspectives for these courses by providing a broader foundation for these jurisprudence courses. Moreover, an introduction to alternative schools of thought on jurisprudence may encourage students to take one of these elective courses. Even students who do not take one of these elective courses will benefit from an introduction to alternative legal perspectives in the curriculum.
Writers enthusiastic about their topics are more likely to produce a better product. Incorporating issues of social justice into legal writing assignments is more likely to increase student interest in the writing assignment, especially when problems are based on current events. Examples include the issues of racial profiling by law enforcement officials, or gays in the military and the "don't ask, don't tell" policy.
Those professors who use the "process" approach\textsuperscript{30} to teaching legal writing try to encourage students to focus on the audience who will read the documents. This approach focuses on predicting how judges and other attorneys expect to receive information; however, this focus frequently results in what has been called "regnant" lawyering.\textsuperscript{31} Regnant lawyering, the opposite of client-centered lawyering, puts the attorney's professional expertise ahead of the client's interests. In teaching law students to think "like lawyers,"
\textsuperscript{29} Clemons, \textit{supra} n. 20, at 635-636.
\textsuperscript{30} See generally Linda L. Berger, \textit{Applying New Rhetoric to Legal Discourse: The Ebb and Flow of Reader and Writer}, \textit{Text and Context}, 49 J. Leg. Educ. 155 (1999) (discussing the development of the process approach as applied in law school). The process approach generally refers to the study of the individual and social processes of writing and how these processes create meaning. \textit{Id.} at 156-168.
\textsuperscript{31} Calmore, \textit{supra} n. 5, at 1933.
professors frequently overlook the client's role in the process. Some professors try to compensate for this omission by having students draft client letters; however, even in a client letter, the attorney's expertise is still the focus.
Although a client-centered approach may still require attorneys to translate their clients' stories for other attorneys or judges, this approach encourages attorneys to focus more on the client as a person rather than solely as a legal issue. However, focusing on the client may result in a conflict between the client's desires and the attorney's social justice mission. For example, a client's desire to have his day in court and tell his story may conflict with his attorney believes is the best legal strategy to prevail.\(^{32}\) It is never too early to assist students in developing strategies to deal with this type of conflict, including deciding whether to represent a client and whether to join a particular law firm, law office or other legal organization.
Social justice should be taught in legal writing, before students have become thoroughly indoctrinated into traditional legal thinking. By the end of the first year, many students will have assimilated the language of the law and will be unable or unwilling to see the biases in the law.\(^{33}\) Teaching social justice in legal writing will train students to see the social, political, and economic implications of the law and the various legal arguments they make.
7. **Teaching social justice introduces students to attorneys' role in developing law.**
As practitioners, legislators, or judges, attorneys play an important role in developing law, primarily through their writing. Many people believe that attorneys have a moral obligation to advance the law's justice mission to alleviate the effects of oppressive legal and socio-political power structures in society.\(^{34}\) Attorneys who practice public interest law (and students who aspire to do so) must consider how the law might be "reinterpreted and reformed to achieve social justice."\(^{35}\) Legal writing courses are the perfect place in which to introduce law students to this form of legal analysis.
\(^{32}\) *Infra* n. 70.
\(^{33}\) Stanchi, *supra* n. 12, at 28.
\(^{34}\) Brook K. Baker, *Transcending Legacies of Literacy and Transforming the Traditional Repertoire: Critical Discourse Strategies for Practice*, 23 Wm. Mitchell L. Rev. 491 (1997); Omatsu, *supra* n.8, at 792, 797.
\(^{35}\) Baker, *supra* n. 34, at 517.
II. HOW TO TEACH SOCIAL JUSTICE THROUGH PREDICTIVE AND PERSUASIVE WRITING
Several methods exist for law professors to use teach social justice through both predictive and persuasive writing assignments. The social justice issue can provide the factual background for the legal issue in the assignment or the social justice issue could be the primary legal issue.
A. Social justice issues can provide the background against which to place the entire fact pattern or the client.
Social justice issues can form the background for legal writing problems throughout the year. For example, problems can be set in a racially tense neighborhood. All memos and briefs can address the legal issues that would or could arise in such a neighborhood including ethnic intimidation, and intentional infliction of emotional distress. Alternatively, a same-sex couple could encounter various legal issues, including contract and property issues, such as a landlord reneging on a rental agreement upon learning that the couple is homosexual. Writing assignments also can demonstrate how the same legal issues are handled differently. For example, an assignment could include a fact pattern based on laws related to obtaining a home mortgage and issues of redlining and zip code discrimination. The problem could illustrate how one family has no trouble obtaining a mortgage, while another has great difficulty because of the family's race or residential area. In addition, the professor can develop one factual scenario but have students research case law in two different jurisdictions to show how states with differing statutes and differing social values would handle the problem. Another example would involve demonstrating how a statute, such as one implementing the flat tax, affects different socioeconomic groups. The social justice issue may add background to a straight legal issue, such as an assignment on the issue of surrogacy contracts between the parties of different races.
B. Social justice issues can be tied to traditional first-year subjects and throughout first year curriculum.
Legal writing professors use issues from the range of doctrinal course subject matter throughout the entire law school curriculum.
Social justice issues, too, can cover the range of first-year subjects and beyond. Consider the following memorandum and brief problems that Professor Vance used one academic year. All memoranda and brief problems stemmed from the experiences of one client and her family. The intent was to replicate what happens in law practice when one client is the source of multiple legal matters. Professor Vance created Ruby Howard, an African-American woman, who was the lead singer of a Motown-type girl group called Ruby and the Gemtones. Ruby had a teenaged daughter and son. Ruby toured on the oldies circuit, but gave it up because she was tired of constantly being on the road. For nostalgic reasons, she opened a 1950s-style diner in an old nightclub where she used to perform. The neighborhood is the racially tense Gray's Ferry neighborhood in Southwest Philadelphia, which is not fictional. Ruby was unaware of the racial tensions in the neighborhood when she decided to reside there. Shortly after Ruby moved in, another African-American family was driven out of their home after racially-motivated verbal harassment, damage to their property, and physical violence. This incident was true.
The writing assignments were handled in the following ways. The issues in the first open research memorandum involved the tort of intentional infliction of emotional distress. Ruby's neighbor, an elderly white woman, harassed Ruby in an attempt to get her to close the restaurant and move. Consequently, Ruby suffered emotional distress and resultant physical symptoms. Professor Vance expected students to address the social justice issue of what standard the court apply to determine outrageous conduct. Should that standard be the way that people act in a neighborhood where overt racist acts are common? Perhaps in that neighborhood racist acts are not considered outrageous. If not, then can the appropriate standard be the way people act in neighborhoods where overt racist acts are essentially nonexistent, and, hence, outrageous?
For the second open research memorandum, one class researched and wrote about a contracts problem involving interpretation of contract terms under the Uniform Commercial Code. This problem arose from Ruby's experience in ordering liquor for the restaurant. The other class researched and wrote about a criminal law problem involving reckless endangerment and terrorist threats, arising from Ruby's son's run-in with the white male his sister was dating and that male's uncle, who was a policeman.\(^{36}\)
The appellate brief involved a civil procedure issue that con-
\(^{36}\) Professor Vance rejected a criminal law assignment that involved ethnic intimidation. See infra, section III.A. of this article for a discussion of that assignment.
cerned personal jurisdiction law as applied to the Internet. Ruby had to return to the oldies' circuit because her harassing neighbor caused the restaurant business to slow down. That neighbor took her crusade against Ruby on-line to a restaurant review chat room. Ruby sued the Internet company that operated the chat room.
C. Using social justice as the substantive law to be addressed in the students' work
Instead of including a social justice piece as a side issue in an assignment, a professor may elect to use social justice as the substantive law to be addressed in the students' work. For example, a number of states have enacted bias crime and hate crime statutes that enhance the penalties for crimes motivated by the race, gender, religion, or sexual orientation of the victim. Current prominent litigation can be a fruitful source for social justice issues. For example, the court challenges to the law admissions practices of several public law schools may be particularly relevant and interesting to current law students. Other examples of social justice issues that students may relate to include: (1) renewed attacks on the voting rights in communities of color; (2) environmental justice and the placement of undesirable projects in areas where the residents have little political power; and (3) racial profiling by law enforcement agencies. Several years ago, Professor Edwards based a legal writing assignment on an issue involving the application of The Religious Freedom Restoration Act of 1993 to prison inmates.\(^{37}\) The problem involved prison dress code regulations promulgated to hinder gang-related activities and whether these regulations violated the right of inmates to wear religious beads.
Professors can use the same process to generate social justice assignments as they do to generate other assignments. Whether the social justice issue is used as background for the assignment or the substantive law of the assignment, professors should take advantage of the opportunity to enrich their assignments by incorporating a social justice perspective. On the other hand, concerns may arise in doing so.
\(^{37}\) 42 U.S.C. §§ 2000bb to 2000bb-4 (Supp. V 1998). Professor Edwards assigned this issue before the U.S. Supreme Court ruled in *Boerne v. Flores*, 521 U.S. 507 (1997), that the Act is unconstitutional as applied to the states because Congress exceeded the scope of its Fourteenth Amendment § 5 enforcement powers. The Act still is in effect with respect to the federal government.
III. ISSUES THAT CAN ARISE IN THE COURSE OF TEACHING SOCIAL JUSTICE IN LEGAL WRITING
When law professors decide to incorporate a social justice issue into a legal writing assignment, they should be prepared for several issues that can arise, including their own discomfort in discussing the issue, student discomfort with the issue, and questions of academic freedom.
A. Teacher comfort with the topic can become a concern.
Social justice problems can touch on issues that are personal to the professor and that may make the professor uncomfortable.\(^{38}\) Professor Vance's experience with Ruby Howard is a good example. As an African-American woman, one of Professor Vance's goals in using an African-American client was to raise the racial sensitivity of students in the law school where perhaps 10% of the students were minority. Another goal was to use problems that reflected the real world and that would be interesting for the students and the professor alike. The incident in which an African-American woman was driven from her home in a predominantly white neighborhood actually occurred in a Philadelphia neighborhood in the first few weeks of the academic year.\(^{39}\) Professor Vance was disgusted by the fact that this type of racism still existed. Also around the time of the incident, President Clinton announced his initiative on race. And personally, Professor Vance was feeling disconnected from both the predominantly white law school, where minority faculty were literally a handful, and the surrounding neighborhood, which also was predominantly white.\(^{40}\)
\(^{38}\) See Maurianne Adams & Linda Marchesani, *Multiple Issues Course Overview*, in *Teaching for Diversity and Social Justice* 269-271 (Maurianne Adams et al. eds., Routledge 1997), for a discussion of the relationship between the instructor's comfort level with social justice issues to creating a safe classroom climate.
\(^{39}\) *Farrakhan Talks of Grays Ferry Strife*, Phila. Inquirer R1 (Aug. 14, 1997). The incidents of harassment lasted for weeks, drew national attention, and prompted Nation of Islam minister Louis Farrakhan to visit Philadelphia. *Id.* These incidents culminated in a march in that neighborhood against racism and ethnic intimidation that drew a number of marchers. *Id.*
\(^{40}\) At the same time, Professor Vance's teaching assistant, a white woman, was quite interested in doing a criminal law problem. To have the second assignment build upon the first, which used racial harassment as an issue, Professor Vance considered an assignment that escalated the verbal harassment from a tort to a crime. She also wanted students to understand that racism can be a crime. Professor Vance acknowledges her grateful appreciation to her former teaching assistant Gretchen Witte for raising the issues that caused Professor Vance to question and to resolve her concerns about teaching social justice through legal writing.
Professor Vance's teaching assistant drafted a problem and researched the case law. Some of the language in the problem was and had to be racially inflammatory. For example, words such as "Nazi white trash," "pansy white boy," and "jungle fever" were used in the fact pattern she drafted. Similarly, the case law cited inflammatory language. Courts used the word "nigger" frequently. That caused Professor Vance to wonder whether she really wanted the students to write "nigger" in their papers. She grappled with this issue around the time that the NAACP talked about taking "nigger" out of the dictionary.\(^{41}\) Did she want to read "nigger" as many times as it would have been necessary to do in those papers? Professor Vance considered whether she could be objective if someone said that calling someone else a "nigger" was not outrageous. Could she agree with opinions which said that it was not?\(^{42}\) Did she want to perpetuate or encourage that type of jurisprudence?
Moreover, as a year-to-year, non-tenure track professor, Professor Vance had no job security. She was convinced that she would be the one to suffer any repercussions for possibly "inflaming racial passions" with this fact pattern. So she stayed away from that fact pattern because she was uncomfortable with it. This troubled both Professor Vance and her teaching assistant, who questioned why the professor shied away from the fact pattern. The professor pondered the same question, shared her hesitation about the fact pattern with other legal writing faculty, and decided to speak about it at the upcoming legal writing conference. While Professor Vance did not feel that she had the resources to handle that problem adequately then, in the course of preparing for this presentation, she learned some ways that she could have, and should have, addressed the issues.\(^{43}\)
The format of the presentation of social issues can be controversial because students may feel that the professor is trying to instill her values into the students.\(^{44}\) However, such concerns should be addressed by using caution in presenting the subject
\(^{41}\) Definition of Racial Slurs Angers NAACP Merriam-Webster Is Asked to Modify Epithet's Entry, S.F. Chron.; A1 (Oct. 17, 1997).
\(^{42}\) See Cmmw. v. Ferino, 640 A.2d 934 (Pa. Super. 1994), aff'd, 655 A.2d 506 (Pa. 1995); People v. Johnston, 641 N.E.2d 898 (Ill. App. 1st Dist. 1994) (both finding no ethnic intimidation when the word "nigger" was used); but see Commonwealth v. Rink, 574 A.2d 1078 (Pa. Super. 1990); Wichita v. Edwards, 939 P.2d 942 (Kan. Ct. App. 1997) (both upholding the ethnic intimidation charge when the defendant used the word "nigger").
\(^{43}\) Infra section III.D. (on Trying and Applying Alternative Pedagogies).
\(^{44}\) As one writer put it, "[R]etreat from the view of law as an abstract science brings forth the risk of legal education denigrating into an organized attempt to instill instructor values into their students." Quigley, supra n. 10, at 42.
matter rather than avoiding it.\textsuperscript{45} Instead of indoctrinating the students, faculty can "invite" students to explore the issues that arise from social justice problems. This approach follows the Socratic concept that persuasion is more of an invitation than a command.\textsuperscript{46}
\textit{B. Student comfort with the topic may be a concern.}
Students may be uncomfortable with issues that are too personal or with issues they do not want to confront. Students may disagree with court opinions that do not reflect their concerns, especially if they are "outsider" students. Although legal writing pedagogy requires students to use "relevant facts," the facts that are relevant to people of different cultures often differ from that the prototypical audience, largely white male judges or attorneys, considers relevant in the context of the dominant law and legal language.\textsuperscript{47} Outsider students may become frustrated that what the court deems outcome determinative does not reflect their experience or knowledge.\textsuperscript{48} This results in a troubling and unsettling gap between the personal "self" and the professional "self" of outsiders.
In the outrageous conduct problem discussed in Sections II and III, the students did not address the issue of race until Professor Vance instructed them to do so on the rewrite. It seemed that any discussion of race was taboo, perhaps because the professor was an African-American and the students were concerned about what would offend her. Only one student, a white woman, saw the issue that the fact pattern raised involving the neighborhood standard of outrageous conduct. When she raised it with other students, they thought that she was wrong. She told them that there must be some reason why the memorandum problem instructions included the newspaper article about the woman who was forced from her home.
Even the few African-American students in the class did not "get it." Professor Vance thought a great deal about why they did not, or if they did, why they did not raise it. Perhaps they felt unempowered to address these issues because discussions of race did not fit into the values and mores of the law school at that time.\textsuperscript{49} The students really were not being exposed to racial issues in other
\textsuperscript{45} \textit{Id.} at 42.
\textsuperscript{46} \textit{Id.} at 61, 62.
\textsuperscript{47} Stanchi, \textit{supra} n. 12, at 10-12.
\textsuperscript{48} \textit{Id.} at 34, 35.
\textsuperscript{49} At the time, there was no course at the law school purely devoted to race, like Critical Race Theory.
classes. Perhaps the dominant culture had silenced them instead of enabling them to accept the richness of their culture.\textsuperscript{50} Perhaps because of their higher income and higher educational level, these students could not relate to a lower income woman who was driven out of her house.
On the other hand, Professor Vance wanted to shield the African-American students from the ethnic intimidation problem. She believed that the African-American students would feel uncomfortable discussing this case with other students. Alternatively, she felt that they would have to spend more time than they wanted educating other students about the impact of racially derogatory language.
C. Academic freedom of legal writing professors may be a concern.
Some legal writing professors may question whether they have the academic freedom, both in the classroom and within the legal writing program, to assign social justice issues to their students, especially if their colleagues fail or refuse to do so. The possibility of complaints from the non-legal writing professors on the law school faculty about controversial social justice assignments may also concern legal writing professors. Professors who incorporate social justice issues in their legal writing assignments may also have to use alternative pedagogies in preparing students to handle these issues.
1. Academic freedom in the classroom
The discussion about the legal writing professor's comfort level in raising social justice issues in the classroom relates to academic freedom. Academic freedom, in this context, concerns the individual First Amendment freedom of a teacher to communicate in the classroom unobstructed by the administration.\textsuperscript{51} While the courts
\textsuperscript{50} See Freire, \textit{supra} n. 18, at 49 ("At a certain point in their existential experience, the oppressed feel an irresistible attraction towards the oppressor and his way of life.")
\textsuperscript{51} \textit{Sweezy v. N.H.}, 354 U.S. 234 (1957). The Court's oft-cited definition of academic freedom is:
The essentiality of freedom in the community of American universities is almost self-efficient. No one should underestimate the vital role in a democracy that is played by those who guide and train our youth. To impose any strait jacket upon the intellectual leaders in our colleges and universities would imperil the future of our Nation. No
have highlighted academic freedom as a special concern of the First Amendment, they have hesitated to define its scope, particularly in the context of in-class speech in university settings.\textsuperscript{52} However, some courts have given professors at law schools the highest degree of academic freedom.
In \textit{Blum v. Schlegel},\textsuperscript{53} the Second Circuit acknowledged the unique aspects of a law school environment and the need to protect speech that is a matter of public concern. In \textit{Blum}, the court considered a tenure-track professor's promotion of the legalization of marijuana and criticism of the nation's drug control policy via in-class hypotheticals to be protected speech regarding an issue of public concern, and regarded such in-class speech as not interfering with the state school's mission as a law school.\textsuperscript{54} However, in a footnote, the court cautioned that "politically charged hypotheticals are often confusing."\textsuperscript{55} Nevertheless, the court was firm in its position that controversial speech in the classroom was central to the mission of a state university's law school.\textsuperscript{56}
A district court's decision in a case involving a graduate business school writing professor could have an impact on the legal writing professor who raises social issues in the classroom. In \textit{Scal-}
\textit{Id.} at 250.
The Supreme Court has also construed academic freedom to mean the freedom of the university from government control. \textit{Id.} at 263 (Frankfurter, J., concurring). "It is the business of a university to provide that atmosphere which is most conducive to speculation, experiment and creation. It is an atmosphere in which there prevail 'the four essential freedoms' of a university — to determine for itself on academic grounds whom may teach, what may be taught, how it shall be taught, and who may be admitted to study." \textit{Id.} at 263.
Besides "freedom of teaching within the university," the American Association of University Professors, in its seminal \textit{Statement of Principles of Academic Freedom and Tenure}, defined academic freedom to include "freedom of inquiry and research; . . . and freedom of extramural utterance and action." This Statement does not have the force of law, but it is the guiding principle for hundreds of institutions of higher education. \textit{Am. Assn. Univ. Profs., 1940 Statement of Principles on Academic Freedom and Tenure in Policy Documents and Reports} 3 (1984) (available at <http://www.aaup.org/1940stat.htm>).
\textsuperscript{52} \textit{Keyishian v. Bd. of Regents}, 385 U.S. 589, 603 (1967).
\textsuperscript{53} 18 F.3d 1005 (2d Cir. 1993). This case concerned a state-run law school. It is unclear whether the same analysis would apply to a private law school, but the precedent exists, nonetheless.
\textsuperscript{54} \textit{Id.} at 1014. However, Blum was not reinstated to his position since he failed to prove that "but for" his in-class speech, he would have been retained. \textit{Id.}
\textsuperscript{55} \textit{Id.} at 1011 n. 5.
\textsuperscript{56} \textit{Id.} at 1012.
let v. Rosenblum, the court held that a non-tenured professor's in-class speech advocating diversity and using alternative pedagogies was not protected under the First Amendment. The professor was a strong advocate of diversity. He sought to broaden classroom materials and the business community to make them more accessible to women and minorities. The court held that the professor's in-class speech obstructed the mission of the school to effectively deliver a required first-year writing course to its students in a uniform and essentially content-neutral fashion.
The Scallet opinion is interesting for a number of reasons. First, significant similarities exist in the facts between Professor Scallet's position and those of most legal writing professors. Scallet was a full-time non-tenured instructor at the University of Virginia's Graduate School of Business. He taught one section of a required first-year course in writing and speech called Analysis and Communications (A & C). Although their status is slowly changing, most legal writing professors occupy non-tenure track positions that do not have the protections of job security. Second, like many legal writing directors, Scallet also had administrative responsibilities as course head, which included administering the course, managing other A & C faculty, all of whom were adjuncts, and developing the curriculum for the course. Third, many law schools have writing programs which require all of the legal writing professors to assign the same problems. A court adopting the rationale of the Scallet court might determine that law schools also have a mission to deliver a uniform writing program to their first-year students that would be undermined by professors who add material to their classes.
2. Academic freedom within the legal writing program
Some of the issues raised in Scallet are relevant to the amount of academic freedom allowed in a legal writing program, depending on the program model at the school. There is a question about whether one legal writing professor can really be divergent in her class in legal writing programs that are essentially uniform, using
57 911 F. Supp. 999 (W.D. Va. 1996), aff'd, 106 F.3d 391 (4th Cir. 1997). The district court also held that Scallet's pro-diversity comments made in faculty meetings and his placement of pro-diversity materials on the wall outside of his office were protected forms of expression under the First Amendment Id. at 1017-1019.
58 Id. at 1016.
59 E.g. Pamela Edwards, Teaching Legal Writing: Life on the Fringes of the Academy, 4 Cardozo Women's L.J. 75 (1997).
60 911 F. Supp. at 1007-1008.
a common syllabus, common textbook, and common due dates for memos and briefs. Can she give her class more assignments than others, such as requiring students to read articles on social issues to inform their understanding of related court opinions and having students keep a journal reflecting their feelings on these issues? Does she run the risk that the students will complain to the legal writing director that their class differs significantly from the other professors' classes? Will the students complain to her? Can she convince her colleagues to support what she is doing and to address social justice issues in their classes?
There is a risk that the legal writing program director or the dean might rein in the professor who addresses social issues in the classroom, especially if the legal writing professor must have her memorandum and brief assignments "approved" by the director or other doctrinal faculty. That professor might be told that the law school policy requires delivery of the same level of instruction to all students in the legal writing course.
3. Academic freedom within the law school
The *Scallet* opinion also raises the issue of whether other professors will complain that the legal writing professor who uses alternative pedagogies to address social issues in the classroom is giving students materials that are similar to what the professor gives the students in such classes as critical race theory or feminist jurisprudence.\(^{61}\) No one really owns these issues, but one wonders whether the academic or curriculum committee could legitimately decide, as in *Scallet*, that discussion of such issues belongs in upper-level jurisprudence courses, not in the first-year legal writing program.\(^{62}\)
Further, law schools are restricting the number of new hires or making hires with no promise of tenure or job permanency. This policy creates a tenuous position for the legal writing professor who raises social issues in the classroom in a school where the majority of the faculty do not undertake and are not supportive of such an approach.\(^{63}\) This lack of job security is a real problem for those on year-to-year contracts. Even legal writing professors on the tenure
\(^{61}\) See 911 F. Supp. at 1015-1017.
\(^{62}\) See id.
\(^{63}\) See Haddon, *supra* n. 14, at 713. "It need not be paranoid to imagine that in the future contract review can be a time for faculty and administrators to consider whether the candidate has demonstrated the appropriate civility and collegiality warranting renewal—a time, in other words, to isolate and discipline some faculty members." *Id.*
track may not have any more security to rock the social justice boat and still obtain tenure. Another question is whether raising social justice issues has a negative effect on the professor's evaluations.\textsuperscript{64}
\textit{D. Questions on trying and applying alternative pedagogies may arise.}
In order to incorporate social justice issues into legal writing assignments, professors may have to use alternative pedagogies. As mentioned earlier, traditional legal training focuses more on attorney expertise and professional judgment. In order to address a social justice issue effectively, students will probably have to take a more client-centered approach to lawyering – one that their professors will have to teach them.
Professors may want to change teaching methodology as well. One technique is called “cooperative controversy,”\textsuperscript{65} which is described in a law review article as “a cooperative learning technique which involves having four members in a group who are given study materials on a controversial issue. Two members argue one side while the other two oppose them. Then the teams switch roles and argue the opposite side. Finally the group must come to a consensus.”\textsuperscript{66}
The students are given ground rules for exhibiting and maintaining mutual respect for the other participants. This approach not only has been successfully used to teach controversial material, but it appears to be a better approach for teaching students of color.\textsuperscript{67} “Research on constructive controversy indicates that [this method] is more effective than debate or individual study . . . [for retaining] information.”\textsuperscript{68}
In incorporating social justice in a legal writing class, professors need to be aware of the silencing of outsider voices mentioned earlier. Legal writing professors may contribute to this silencing by emphasizing the prototypical audience when teaching legal writ-
\textsuperscript{64} Reginald Leamon Robinson, \textit{Teaching from the Margins: Race as a Pedagogical Subtext, A Critical Essay}, 19 W. New Eng. L. Rev. 151, 169 (1997) (providing an excellent discussion on the negative evaluations that can result when a professor raises social justice issues in the classroom).
\textsuperscript{65} Clemons, \textit{supra} n. 20, at 637.
\textsuperscript{66} \textit{Id.}
\textsuperscript{67} \textit{Id.}
\textsuperscript{68} \textit{Id.}
ing.\textsuperscript{69} In the process of trying to address the issue in “neutral” terms, students (especially outsider students) may hesitate to incorporate their own perspectives in their writing. It is incumbent on the legal writing professor to allow space for these perspectives. The first step is to be aware of how “thinking like a lawyer” may alter the landscape.\textsuperscript{70} In one law review article, a clinical professor tells a cautionary tale of how, in his presenting a client’s case in language that satisfied the existing legal standard and could be readily accepted by his “audience,” he omitted facts that his client deemed relevant.\textsuperscript{71} Thus, even though the client “prevailed,” he felt silenced and deprived of having his day in court.\textsuperscript{72}
\textit{E. The length of the professor’s teaching experience may influence the decision to incorporate social justice issues into assignments.}
When beginning a teaching career, a legal writing professor will focus on developing competencies in teaching the basics of legal writing. However, professors with a number of years of legal writing teaching experience may find that teaching social justice as part of a legal writing class adds texture to the problems they assign.
Many law professors may not have had experience with social justice issues as practitioners. These professors will have to bring themselves up to speed, but that is true of any issue with which they are unfamiliar. The same background information, such as, but not limited to, law review articles, newspaper or magazine articles, and articles from non-legal sources, that some professors may assign to their students will provide sufficient information. Also, professors may be able to get information from the attorneys who handled the case if the assignment is based on an actual case.
Depending on the social justice issue one selects, it is possible that students may have experience with the same issue. Professors should plan in advance how to handle the situation if the experi-
\textsuperscript{69} Stanchi, \textit{supra} n. 12, at 28.
\textsuperscript{70} Clark D. Cummingham, The Lawyer as Translator, Representation as Text: Towards an Ethnography of Legal Discourse, 77 Cornell L. Rev. 1298, 1299, 1328-1330, 1363, 1365-68, 1375-76, 1385-87 (1992) (discussing a client’s dissatisfaction with the legal system, even after acquittal, when his attorneys failed to raise the question of the role race played in a Terry-stop which arguably led to a pretextual arrest).
\textsuperscript{71} Id. at 1298-1329.
\textsuperscript{72} Id. at 1329-1330.
ence was painful or traumatic for the student.
F. Questions on training and preparing students to address social issues may arise.
Traditional legal analysis and legal advocacy encourages law students and attorneys to extract legal issues from the factual backgrounds in which they are presented and to ignore the broader social contexts in which they arose. This is a result of students' immersion in the law, which is the goal of the first year of law school generally, and the "social view" method of teaching legal writing specifically. Therefore, professors must take particular care to prepare students to address social issues.
After deciding to assign a social justice issue, professors may want to assess how controversial their students will find the issue. Professors may do so by assigning readings on the topic and having students write reflective opinion pieces about the readings. These opinion pieces will elicit potential difficulties that some students may have with the social justice issue. Even professors who do not have students write reflection memoranda have the option to assign readings that provide background information of the issue and then discuss the readings in class. Moreover, using the cooperative controversy method before distributing the assignment may allow professors to diffuse some of the tension.
As students research and analyze the social justice issue, it may be useful to have them keep a journal of their feelings, thoughts, and concerns about the issue. While these reflections may not appear in the final memorandum or brief, a journal would afford students (especially outsider students) the opportunity to confront the gap between their professional and personal voices. Finally, keeping in mind the tenuous position of too many legal writing teachers (short term contracts, low status, etc.), using reflection memoranda will allow students to express their hostility about the assignment before they complete the course evaluations.
CONCLUSION
Teaching social justice through legal writing can be a reward-
---
73 Stanchi, supra n. 12, at 8-9 & nn. 7-14. The social view focuses on assimilating students into the study of the law. The social view has "as its goal the socialization or acculturation of the novice legal communicator into the legal discourse community through the learning of legal vocabulary, legal customs, and legal culture." Id. at 9 (internal quotations and citations omitted).
ing experience for both law students and legal writing professors. With some advance planning, social justice issues can be used successfully as either the main issue or a subsidiary issue in a legal writing assignment. Especially for experienced professors, incorporating social justice issues into assignments can add texture and improve opportunities to challenge students to provide more nuanced analyses. For students who enter law school planning to practice public interest law, the early exposure to social justice issues at or near the beginning of their law school careers will help them to develop the lawyering skills necessary to become creative lawyers capable of using different legal perspectives to achieve their goals. However, even those students who are not initially interested in social justice issues will benefit from the broader perspective gained from some exposure to diverse client problems and situations. Professors who incorporate social justice issues into their legal writing assignments may also benefit from the opportunity to use alternative pedagogies.
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|
100 years of seismic research on the Moho
Claus Prodehl\textsuperscript{a}, Brian Kennett\textsuperscript{b}, Irina M. Artemieva\textsuperscript{c}, Hans Thybo\textsuperscript{c,*}
\textsuperscript{a} Geophysical Institute, University of Karlsruhe, Karlsruhe Institute for Technology, Hertzstr. 16, D76167 Karlsruhe, Germany
\textsuperscript{b} Research School of Earth Sciences, The Australian National University, Canberra, ACT 0200, Australia
\textsuperscript{c} Department of Geography and Geology, University of Copenhagen, Øster Voldgade 10, DK-1350 Copenhagen K, Denmark
**Article history:**
Received 6 June 2012
Received in revised form 27 May 2013
Accepted 29 May 2013
Available online 12 June 2013
**Keywords:**
Moho
Crust
Lithosphere
Seismology
Refraction
Receiver functions
**Abstract**
The detection of a seismic boundary, the “Moho”, between the outermost shell of the Earth, the Earth’s crust, and the Earth’s mantle by A. Mohorovičić was the consequence of increased insight into the propagation of seismic waves caused by earthquakes. This short history of seismic research on the Moho is primarily based on the comprehensive overview of the worldwide history of seismological studies of the Earth’s crust using controlled sources from 1850 to 2005, by Prodehl and Mooney (2012). Though the art of applying explosions, so-called “artificial events”, as energy sources for studies of the uppermost crustal layers began in the early 1900s, its effective use for studying the entire crust only began at the end of World War II. From 1945 onwards, controlled-source seismology has been the major approach to study details of the crust and underlying crust–mantle boundary, the Moho. The subsequent description of history of controlled-source crustal seismology and its seminal results is subdivided into separate chapters for each decade, highlighting the major advances achieved during that decade in terms of data acquisition, processing technology, and interpretation methods.
Since the late 1980s, passive seismology using distant earthquakes has played an increasingly important role in studies of crustal structure. The receiver function technique exploiting conversions between P and SV waves at discontinuities in seismic wavespeed below a seismic station has been extensively applied to the increasing numbers of permanent and portable broad-band seismic stations across the globe. Receiver function studies supplement controlled source work with improved geographic coverage and now make a significant contribution to knowledge of the nature of the crust and the depth to Moho.
© 2013 Elsevier B.V. All rights reserved.
**Contents**
1. Introduction .......................................................................................................................... 9
2. The first 40 years of Moho research .................................................................................. 10
3. The beginning of systematic crustal studies by controlled-source seismology .............. 11
4. Special crustal study programs in the 1950s ..................................................................... 12
5. Worldwide crustal studies in the 1960s ............................................................................. 14
6. The 1970s: focus on anomalous crustal structures and the subcrustal lithosphere ....... 17
7. The 1980s: the decade of large-scale seismic-reflection campaigns and the first decade of ray-tracing modeling of seismic-refraction data ................................................................. 18
8. The 1990s and early 2000s: the introduction of digital recording enables simultaneous recording of seismic-refraction and teleseismic data ................................................................. 22
9. Passive seismology: receiver based studies .................................................................... 28
9.1. Regional passive seismic studies to 2005 .................................................................. 29
10. Summary and conclusions ............................................................................................... 31
Acknowledgments .................................................................................................................. 33
References ............................................................................................................................... 33
1. Introduction
The investigation of the crust–mantle boundary, termed the Mohorovičić discontinuity (short “Moho”) after the first person to observe it (Mohorovičić, 1910), started at the beginning of the 20th century by the application of advanced methods of earthquake research.
It was recognized in the early 1910s as a worldwide boundary separating rocks with fundamentally different physical properties, e.g. seismic wave speed or density, and it was soon discovered that its depth distribution shows substantial variations.
The Moho soon became the target of controlled source seismology investigations, where location and time of events were exactly known. A detailed history of controlled source seismology from its beginnings at around 1850 to its advanced stage of knowledge in 2005 was recently published as Memoir 208 of the Geological Society of America (Prodehl and Mooney, 2012). The following short history of research on the Moho outlines in brief the most important results, and the reader is referred to this Memoir for more details about controlled source techniques. The Memoir contains an Appendix with a collection of controlled-source seismology data, reproductions of rare historic publications, as well as a reproduction of the publication of Finlayson (2010) who has compiled a complete collection of references to deep seismic sounding experiments in Australia.
Passive seismic methods exploiting distant earthquakes have become increasingly important for studies of the Moho in recent years. We introduce the major approaches in current use, notably receiver functions, and describe the applications across the globe to 2005 to match the coverage of the controlled source experiments.
The origin of the Moho has been debated since its discovery, and the debate is still ongoing. From seismic results, it must represent a relatively abrupt change in physical parameters, primarily seismic velocities and density (Oliver, 1982), but also changes in seismic anisotropy (Jones et al., 1996) and scale lengths of heterogeneity (Enderle et al., 1997) may occur across this boundary. Petrologically, it is mostly interpreted as a change in composition between the felsic crust and the mafic mantle, and this transition is often termed the petrological Moho (O’Reilly and Griffin, this volume). However, the Moho may also be shallower or deeper if the lower crust or upper mantle have been subject to metamorphic reactions. A shallower seismic than petrological Moho may occur where mafic to ultra-mafic lower crustal material has been transformed into eclogite facies (Griffin and O’Reilly, 1987); in which case the seismically determined Moho may correspond to the transition between an undisturbed mafic lower crust and similar material in eclogite facies. Such transition has been proposed for the Moho in Variscan Central Europe (Artemieva and Meissner, 2012; Mengel and Kern, 1992), in an area of the southern North Sea (Abramovitz et al., 1998), and at several passive margins (Mjelde et al., this volume). The seismic Moho may also be deeper than the crust–mantle boundary if the upper mantle has been metamorphosed into low-velocity rocks, such as serpentinite depending on the degree of metamorphism (Coleman, 1971). O’Reilly et al. (1996) describe a case at the Rockall Trough where a substantial part of the upper mantle rocks has been partially metamorphosed into serpentinite, although with velocity close to mantle velocity. Serpentinization is believed to have major importance in subduction zones (Kamiya and Kobayashi, 2000; Bostock, this volume). Tectonic shear localisation may further shift the location of the seismic Moho away from the crust–mantle boundary by introducing localized anisotropy with high velocity in preferred directions (Jousselin et al., 2012; Vauchez et al., 2012). An example of such shear zones may be found in the MONA LISA data set (England et al., 1997). In the following we discuss the historical development of seismic research on the Moho.
2. The first 40 years of Moho research
In 1909 Andrija Mohorovičić at Zagreb, while studying seismograms of a strong local earthquake, constructed a travel-time–distance plot. This event occurred on October 8, 1909 in the nearby Kulpa Valley (approximately 40 km south of the observatory) and had many aftershocks recorded throughout central Europe. Mohorovičić noticed that exclusively for distances between 300 km and 720 km an additional P-wave and a corresponding S-wave could be identified (Fig. 1), from which he deduced a discontinuity with a velocity jump from 5.68 to 7.75 km/s at a depth which he calculated to be 54 km. He stated: “Since the P−wave can only reach down to a depth of 50 km, this depth marks the limit of the upper layer of the Earth, the Earth’s crust. At this surface, there must be a sudden change of the material which makes up the interior of the Earth, because there a step in the velocity of the seismic wave must exist” (Mohorovičić, 1910). This boundary, based on the phase P, later labeled Pn, was shortly thereafter defined as the crust–mantle boundary and was named the Mohorovičić discontinuity (subsequently shortened to “Moho”) that separates the crust with average velocity of 6.0–6.8 km/s from the uppermost mantle with velocities of around 8 km/s.
Fifteen years later, the internal structure of the Earth’s crust was detected for the first time. In 1925, when investigating the records of the Tauern earthquake of November 20, 1923, Victor Conrad of Central Meteorological Institute in Vienna detected a phase P" which he interpreted to originate from an intracrustal discontinuity (Conrad, 1925). He could establish its existence in his later studies, but at different depths when he investigated a 1927 earthquake (Conrad, 1928). Subsequently many other investigators worldwide confirmed this discontinuity and it was named the Conrad-discontinuity. The early seismic measurements were sparsely distributed because only few seismometers existed and they were generally not mobile (Figs. 2 and 3).
In his book “The Earth”, Jeffreys (1929) discussed in much detail the subdivision of the crust based on near-earthquake observations in continental regions. In his summary on the upper layers of the Earth he concludes that three layers are concerned: an upper layer, 10 km thick, with P-velocities 5.4–5.6 km/s, an intermediate layer, 20 km thick, with 6.2–6.3 km/s and a lower layer with 7.8 km/s and, comparing the velocities with laboratory measurements on the compressibility of rocks, he suggested that the three layers are probably composed of granite, tachylite (glassy basalt) and dunite, and that there is probably no layer of crystalline basalt. Though the conditions below the oceans had been “less thoroughly studied”, he saw evidence that the granitic layer there was thin or absent.
From 1923 onwards, large explosions, e.g., quarry blasts or explosions carried out for construction purposes were recognized as ideal sources (controlled “artificial earthquakes”) for systematic recording of seismic waves for studies of the Earth’s crust in detail (e.g., Angenheister, 1927, 1928; Wiechert, 1926, 1929). Similar methods were applied in California and the eastern United States, but results were not published until 1935. Most investigations of artificial events, however, did not observe the base of the earth’s crust. The only study of that time in the USA, which
observed Moho at 31 km depth based on quarry blast investigations, was published by Byerly and Wilson (1935).
From earthquake studies, Gutenberg (1924) found data that prove the fundamental difference between continental and oceanic crust, thus confirming observations made by Tams, Angenheister, and Macelwane in 1921–22 of faster surface wave propagation across the oceanic than the continental parts of the Earth (Gutenberg, 1924, see also Tables 54–65 of Macelwane, 1951). He proposed a method for inversion of the dispersion of surface waves for determination of upper mantle structure, similar to the method ultimately applied in the late 1950s. His inversion for crustal thickness indicated a thick crust under the continents and a thinner crust under the oceans, with a crustal thickness of only 5 km under the Pacific. From these results, Gutenberg became convinced that there were large structural differences between continents and oceans in the outermost parts of the Earth, a view that formed a significant part of his model of continental drift (Gutenberg, 1936). Other early estimations of crustal thickness in oceanic areas were made by Hayes (1936) and Bullen (1939). They used records from earthquakes to determine the crustal thickness around New Zealand. Controlled-source seismic experiments in water-covered areas began as early as 1927 (Rosaire and Lester, 1932) and continued during the 1930s at the Atlantic coastal shelf (e.g., Ewing et al., 1937), but the results concentrated on upper crustal properties.
In Volume VII of Physics of the Earth, edited by B. Gutenberg, on the internal constitution of the Earth, first published in 1939 and re-published with revisions in 1951, Macelwane (1951) summarized velocity measurements of the entire Earth in 38 tables (Tables 36–73), based on 244 references. The tables concerning the Earth’s crust include both earthquake and explosion seismology results. Table 43 shows the varying velocities of the phase Pn* defining the Conrad-discontinuity and Table 44 provides a summary of Pn*-velocities as published by 1939 (Macelwane, 1951). Macelwane’s Table 41 concentrates on P- and S-velocities of waves caused by explosions and blasts only, also as recorded up to 1939. With a few exceptions, the majority of velocity measurements relate to sedimentary layers and the uppermost crystalline crust.
3. The beginning of systematic crustal studies by controlled-source seismology
By the end of World War II, systematic studies of the Earth’s crust began. In the USSR, some of the early studies of this period include crustal studies in central Asia and in the Caucasus (Gamburtsev, 1952, 1960). In particular, very large explosions recorded in the Caucasus between 1941 and 1945 were used to deduce the presence of a 20 km thick upper crust underlain by a basaltic intermediate layer; its lower boundary could not be determined from the refraction data but was estimated from deep reflections to be located near 48 km depth (Tvaltzadze, 1950). In Soviet Central Asia, underwater explosions in the lakes during 1949–50 served to investigate the crustal structure of the northern Tien-Shan region (Gamburtsev et al., 1955), which was interpreted as a 10–15 km thick granitic layer underlain by a 30–40 km thick basaltic layer.
In Canada, large rock bursts with successful timing were recorded by observatories between 1938 and 1945 at up to 1000 km offset. The interpretation indicated a depth to Moho of 36 km (Hodgson, 1947). Continued research in 1947–51 led to a model in terms of a one-layer, 36 km thick crust with 6.1 km/s average velocity above a mantle with 8.18 km/s velocity (Hodgson, 1953). Byerly (1946) reported on a large explosion of ammunition in 1944 near Port Chicago, California, and Gutenberg and Richter (1946) reported on the first nuclear tests. Tuve et al. (1948) used mobile stations and recorded large quarry blasts in the Appalachian Mountains to 350 km offset.
Very early seismic investigations were also carried out in South Africa, by recordings of frequent earth tremors in the Witwatersrand gold mining area (Gane et al., 1946). This experience was used by Willmore et al. (1952) for more extended seismic field surveys in 1948 and 1949 with up to 500 km recording offset. Depending on interpretation method, a 36 km thick one-layer crust or a 39 km thick two-layer crust resulted.
The techniques of seismic measurements were further developed at sea during World War II, and experiments could be extended from shallow coastal waters into the deep ocean basins using hydrophones soon after 1945. Numerous offshore expeditions were undertaken in the second half of the 1940s in the Atlantic and Pacific.
Oceans (e.g., Drake et al., 1952, Ewing et al., 1950; Hill and Swallow, 1950; Raitt, 1949).
The large explosions at Heligoland in 1947 and in the Black Forest in 1948 (Reich et al., 1948; Schulze, 1947), probably had the greatest impact on crustal studies at this time. These explosions marked the beginning of controlled source scientific seismology in central Europe (Schulze, 1974). The explosion seismic data, which had been recorded by mobile stations out to 300 km offset, were interpreted by a 26–30 km thick crust under northern Germany (Reich et al., 1951, Schulze and Förtsch, 1950; Willmore 1949), while from the Haslach explosion (Fig. 4) a detailed crustal model was interpreted with Moho depths varying between 30 and 33 km and uppermost mantle velocities of 8.19–8.34 km/s (Förtsch, 1951; Rothé and Peterschmitt, 1950).
In the early 1950s, an overall overview of crustal thickness had been established, as is evidenced by worldwide summaries of Gutenberg (1951), Gutenberg (1955) and Reinhardt (1954). Reinhardt’s review provided a fundamental study on the use of quarry blasts for deep crustal investigations, and he published a location map and corresponding crustal structure columns based on explosive sources around the world (for details, see Prodehl and Mooney, 2012).
4. Special crustal study programs in the 1950s
The 1950s saw major efforts to image details of crustal structure by specially designed controlled-source seismology projects. In central Europe, the German Research Society in 1957 funded a priority program “Geophysical Investigation of Crustal Structure in Central Europe” which lasted for 10 years and involved all German geophysical university and state institutions and prompted collaboration with similar institutions in the neighboring countries. New recording systems were developed and deep seismic reflection and refraction experiments were carried out (Closs, 1960; Closs and Behnke, 1961, 1963; Giese et al., 1976). The experiments were mainly based on the use of large quarry blasts, and over the years they covered a dense network of up to 300 km long seismic refraction lines, which were partly reversed, but mostly unreversed. First results revealed a mean depth of 30 km for the Moho below most parts of Germany (Closs and Behnke, 1961, 1963; German Research Group for Explosion Seismology, 1964). This program was further supported by commercial geophysical exploration companies in Germany which showed particular interest in the scientific deep-seismic sounding programs and helped these efforts by recording their normal-incidence profiles with up to 12 s two-way traveltime (e.g., Dohr, 1959; Liebscher, 1964).
Already in the beginning of the 1950s the Alps became a special target of deep crustal studies by the foundation of the Subcommission of Alpine Explosions under the umbrella of the International Union of Geodesy and Geophysics (I.U.G.G.), initiating the first major European fieldwork in 1954, 1956 and 1960 in the western Alps (Closs and Labrouste, 1963). Due to the topography, the areal distribution of the recording sites, and different types of instruments, the interpretation of the data was extremely difficult and differing models were proposed. Fuchs et al. (1963) assumed that a secondary strong phase was to be interpreted as a converted phase S’P and their resulting model showed that the depth to Moho increases from about 30 km under the outer crystalline massifs in the west to a maximum of 53 km in the east under the Ivrea zone. In contrast, Labrouste and co-workers derived a different model, assuming only one crustal layer, which lower boundary drops from near 10 km depth under the Ivrea gravity high to 40 km depth under the western crystalline massifs, thus assuming that the surface of the Ivrea Zone is part of the Moho (Closs and Labrouste, 1963). Also in the eastern Alps various attempts were undertaken to explore the crust, using quarry blasts and organized drill-hole explosions at the northern margin of the Alps (e.g. Reich, 1958, 1960), but Moho was not reached.
Systematic deep seismic sounding (DSS) experiments in the USSR started as early as 1948–1954 (Zverev and Kosminskaya, 1978). Beginning in the middle of the 1950s, deep-seismic sounding profiles were recorded on the Russian platform as well as on the Russian part of the Baltic Shield, in Central Asia, the Caucasus, the Urals, Siberia, and the Far East, covering thousands of kilometers (for references to selected publications in Russian see Pavlenkova, 1996). A major research project was launched in 1957–58 to study the transition zone from the Asian continent to the Pacific Ocean (Galperin and Kosminskaya, 1964). Nearly 30 profiles of several hundred kilometers in length were laid out across the Sea of Okhotsk between Kamchatka and the islands of Sakhalin and Hokkaido and across the southern Kuril islands, mainly perpendicular to the strike of the continental margin (Fig. 5). Crustal thickness decreases from 30 km to less than 25 km in the center of the Sea of Okhotsk between Sakhalin and Kamchatka, but also shows transitions to oceanic crust in the south, near Hokkaido. Oceanic crust of 10 km thickness or less was encountered at the outermost southeastern end of the lines traversing the continental margin. Other early marine seismic studies of the crust were conducted in the Caspian Sea (Hagelgantz et al., 1958), the Black Sea (Neprochnov et al., 1959), and the Sea of Japan (Sysoev et al., 1958); under the Black Sea basin the Moho depth was found to be less than 25 km. Explosion seismic profiling of Soviet scientists also covered Central Asia, where Moho depth was found to be 40 and 50 km underneath the Tashkent and Fergana depressions and the Tien Shan (Gamburtev et al., 1955; Godin et al., 1960). Similar values were estimated for the Russian platform (Godin and Egorkin, 1960).
In Japan, controlled source seismology also started as early as 1950. On the occasion of a large explosion to be carried out for a dam construction, an ad-hoc Research Group for Explosion Seismology was established which would remain active throughout the following decades with the aim of studying the Earth’s crust below Japan and surrounding waters, in order to achieve reliable crustal models for improving the quality of earthquake research. As one of the first results of the early profiling, a total crustal thickness of 32 km was determined below the island of Honshu (Research Group for Explosion Seismology, 1954). With additional data, the crustal thickness was later corrected to less than 30 km. The authors pointed out that the Moho is not 50 km deep as the standard model for the crust based on earlier earthquake studies assumed, but is between 20 and 30 km deep only (Matuzawa et al., 1959; Research Group for Explosion Seismology, 1958; Usami et al., 1958).
On continental Australia, the first definitive measurement of Moho depth was interpreted from recordings of nuclear explosions at Maralinga (South Australia) westwards across the Nullarbor Plain (Bolt et al., 1958; for other references see Finlayson, 2010). Assuming a one-layer crust, because intermediate arrivals could not be recognized, the interpretation of the P data resulted in a crustal thickness of $32 \pm 3$ km and $39 \pm 3$ km, as interpreted from $P_n$ and $S_n$ data,
respectively. In New Zealand, in 1952 the first crustal seismic refraction profile was recorded in the Wellington area, providing 36 km crustal thickness (Eiby, 1955; Garrick, 1968).
Similar to the central European programs, measurements of waves from blasts and rockbursts were used for studies of the crust in North America (Gutenberg, 1952; Hodgson, 1953; Tuve et al., 1948, 1954). Tatel and Tuve (1955) and Katz (1955) carried out seismic-refraction experiments in various geological provinces of the United States. Their publications include descriptions of instrumentation as well as details and problems of their experimental stage. At that time the interpretation was based on traveltime picks of first and secondary arrivals and the correlations were made as straight lines. Of particular interest was the cross-over distance of $P_g$ and $P_n$ (named $P_1$ and $P_2$ in their publications). For the coastal areas in Maryland–Virginia as well as in California and Washington they estimated crustal thickness of mostly less than 30 km. For the interior of the continent, under the Appalachians of Tennessee–Virginia and the Great Plains of Minnesota, they found Moho depths of 37–39 km. They emphasized that a shallow depth of 30 km in Utah and Arizona is surprising (Tatel and Tuve, 1955). Similar shallow depths to Moho in Utah were also reported by Berg et al. (1960), but these authors hesitated to interpret the underlying layer with 7.6 km/s as the uppermost mantle. From numerous quarry-blast based observations in Pennsylvania and New York, Katz (1955) reported an average crustal thickness of 34–35 km. A major project of the University of Wisconsin in 1959 investigated the Great Plains and adjacent Rocky Mountains in Montana (e.g., McCamy and Meyer, 1964). Their fence diagram shows Moho depths of 40–50 km.
Also Alaska and adjacent northwestern Canada became a target of seismic research in the 1950s. One of the main results was the observation of clear differences in traveltimes for various azimuths in many of the areas studied. The College Fiord shots to the northeast gave a crustal thickness of 48–53 km, while to the southwest in the region of the Kenai Peninsula the crust appeared as 10–15 km thinner. Northwest of Skagway, the Moho was found at 36–42 km depth, but north of Skagway it is only 35 km (Berg, 1973; Hales and Asada, 1966).
A seismic expedition into the Andean region (Tatel and Tuve, 1958) found depths to the Moho of 65–70 km under the Altiplano of Peru and Chile and 51–56 km at the flanks of the plateau. A Belgian Antarctic expedition in 1959 and 1960 made seismic-refraction and other geophysical measurements near the Belgian station in the Breidvika Bay (about 70°S, 24°E), but, although long recording distances had been planned, it unfortunately failed to determine the Moho depth due to bad-weather conditions (Dieterle and Peterschmitt, 1964). However, by surface wave dispersion studies, the crustal thickness underneath Antarctica was determined to be 35 km in East Antarctica and 25 km in West Antarctica (Evison et al., 1959).
The seismic refraction method for work at sea was already well established before the development of the first systematic experiments targeting the continental crust. The initial investigations concentrated particularly on the ocean basins and were mainly two-ship operations (for details see Ewing and Ewing, 1959). The experiments of Ewing and coworkers in the 1950s concentrated mainly on the Northwestern Pacific, but the Gulf of Mexico and the Caribbean Sea were also investigated in several areas. The estimated Moho depth below the deep basins averaged around 10 km. Worldwide offshore expeditions were carried out by U.S. and British researchers in the Eastern Atlantic, the Pacific, and the Mediterranean Sea. Also the Indian Ocean became the focus of several seismic refraction investigations. Furthermore, numerous Soviet expeditions were undertaken (e.g., Galperin and Kosminskaya, 1958, 1964; Neprochnov, 1960). During the 1940s and 1950s oceanographic research had made considerable progress and publications appeared in healthy numbers in the international journals. Therefore, by the end of the 1950s, it was suggested by scientists of the Scripps Institution of Oceanography to sum up the present knowledge in a comprehensive work “The Sea”, which was published in three volumes, edited by M.N. Hill (Hill, 1963a). The achievements of marine controlled-source seismic work were described in detail in the first seven chapters of Section 1 “Geophysical exploration” of Volume 3. Within this framework, a detailed overview and summary on oceanic crustal structure studies was published by Raitt (1963), based on the results of seismic-refraction experiments in the 1950s (Fig. 6).
By the end of the 1950s, a basic knowledge on global crustal structure had been established, based on a considerable number of seismic refraction seismic investigations, that recorded man-made explosions out to distances of several hundreds of kilometers, as described in reviews by Steinhart and Meyer (1961) and Closs and Behnke (1961,
These reviews are reproduced in the Appendix of Prodehl and Mooney (2012). Ewing (1963a) also gave detailed and critical reviews of state of the art regarding methodology and its limitations, including the state of instrumentation and major field problems.
5. Worldwide crustal studies in the 1960s
The development of new types of instruments which had begun in the 1950s continued in the 1960s and led to the production of powerful instruments for wide-angle seismic profiling in large numbers, in particular in Western Europe, North America, and the USSR. With this equipment, a major breakthrough in the study of the Earth's crust could be achieved, and major fieldwork began in Europe (Closs, 1969), in the USSR (Kosminskaya et al., 1969), and in the United States (Healy and Warren, 1969). While seismic energy in central Europe was mostly based on quarry blasts, borehole or underwater explosions were organized in most other parts of the world. At the end of the 1960s, networks of seismic profiles covered the western United States (Pakiser, 1963; Prodehl, 1979), the central Europe (German Research Group for Explosion Seismology, 1964; Giese et al., 1976), the northern Europe (Vogel, 1971), and the southwestern USSR (Sollogub et al., 1972).
Under the heading of the priority program "Geophysical Investigation of Crustal Structure in Central Europe" and the following "Upper Mantle" program, a rather detailed picture of the crust and the shape of the Moho in central Europe could be developed. Contour maps of depth to Moho and other seismic parameters were published for Germany and for the Alps (German Research Group for Explosion Seismology, 1964; Giese and Stein, 1971; Giese et al., 1976), based on a dense network of seismic refraction profiles. Most of the seismic refraction data had been acquired by systematic use of quarry blasts, although several series of underwater explosions were used in remote Alpine lakes, such as Lago Lagorai in 1961 and 1962, and in Lago Bianco in 1963 and 1964 (Fig. 7; Choudhury et al., 1971; Giese et al., 1967; Giese et al., 1976). Detailed seismic refraction profiles were also obtained in and around the Massif Central in France (Perrier and Ruegg, 1973), in Italy (Giese and Morelli, 1973), in and around Britain, applying land–sea operations (Bamford, 1971), and during the Trans-Scandinavian Deep Seismic Sounding project (Vogel, 1971). The numerous data sets confirmed that the Moho depth under most parts of central and western Europe (Britain, France, Germany) is rather uniform and undulates around 30 km. Under the Alps, maximum depths of 50 km were measured, while Moho depth of around 40 km was determined below the center of the Baltic Shield in Scandinavia, and not more than 30 km below the Caledonides of Britain and southern Scandinavia.
In 1963 a large seismic crustal project was initiated in eastern and southeastern Europe, when 13 international profiles were planned traversing Bulgaria, Czechoslovakia, East Germany, Hungary, Poland, Romania, Yugoslavia, and in particular southern Russia and Ukraine including the adjacent Black Sea area (Kosminskaya et al., 1969; Sollogub, 1969). In 1971, five of the international profiles were partly completed and ready for a first publication (e.g., Radulescu and Pompilian, 1991; Sollogub et al., 1972, 1973; Vogel, 1971). The Moho contour map of Sollogub et al. (1972), which summarizes the interpretations of the Soviet scientists until the end of the 1960s, displays best the complex structure with variations in Moho depth between 35 and 55 km in the area of southern Russia and the Ukraine (the Voronezh Massif), up to 40–50 km depth under the western Carpathians in Poland and Czechoslovakia and the Dinarides in Yugoslavia, and to less than 25 km in central Hungary (the Pannonian Basin). In the USSR, explosion seismic profiling also continued in various regions across the country, including marine studies (Zverev and Tulina, 1971). A Moho depth contour map of the entire USSR published by Belyaevsky et al. (1973) is the result of a compilation of some 215 crustal sections along deep-seismic sounding profiles of over 50,000 km length, obtained during the 1960s and before. Using both seismic and gravity data, Morelli et al. (1967) compiled a Moho map for all of Europe from the British Isles in the west to the Russian (East European) platform in the east. This would not have been possible without the very fruitful international collaborations within the controlled-source seismology community, both regarding experiments and interpretation as well as mutual exchange of data and results.
In North America a major seismic refraction survey was initiated in the 1960s by the U.S. Geological Survey (Pakiser, 1963; Warren,
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**Fig. 6.** Example of data from the Mid-Pacific expedition in 1950. The traces illustrate the variation in signal characteristics with frequency. From Raitt (1956); reproduced by permission of the Geological Society of America.
Fig. 7. Example record sections from the intensive exploration of crustal structure in the Alps in 1963–64. From Giese et al. (1976); reproduced by permission of Springer Science + Business Media.
and several university projects also focused on seismic crustal research. The main target was the crustal structure of the western United States. The first seismic-refraction recording of 1961 resulted in 45–50 km crustal thickness under eastern Colorado (Jackson et al., 1963). However, the field work served primarily to test thoroughly the new seismic-refraction equipment for recording, communication and timing (Warrick et al., 1961). In the remainder of 1961 and in the following two years, a network of 64 seismic-refraction profiles was recorded by the U.S. Geological Survey in Nevada and California as well as in adjacent areas of Idaho, Wyoming, Utah, and Arizona. In addition, two recording lines extended into the western Snake River Plain of Idaho and the southern Cascade Range in California. Other profiles were recorded in the Coast Ranges of California, in the Colorado Plateau, and in the Middle Rocky Mountains. Also nuclear test sites were included in the program. Following many publications on individual profiles and areas, the complete data set was later published in a U.S. Geological Survey Professional Paper in the form of record sections by Prodehl (1979) including a fence diagram and a Moho depth contour map for much of the western United States. Moho depths were found to be on average 30 km under the Basin and Range province, and more than 40 km in the surrounding Sierra Nevada, Colorado Plateau and middle Rocky Mountains, as well as below the southern Rocky Mountains and the adjacent Great Plains (Prodehl and Lipman, 1989; Prodehl and Pakiser, 1980). Another large cooperative project, EDZOE, covered much of Canada and aimed at studying the structure of the North American Great Plains and the Rocky Mountains (e.g., Berry, 1973; Berry and Forsyth, 1975).
Other investigations in the 1960s covered areas in California and Arizona (Walter and Mooney, 1982; Warren, 1969) and in the central United States (McCamy and Meyer, 1966; Mitchell and Landisman, 1971; Stewart, 1968; Tryggvason and Qualls, 1967; Warren, 1968; Warren et al., 1966, 1973). A special crustal survey of 1965 explored the southern Appalachians around the Cumberland Plateau Seismic Observatory near Minville, Tennessee (Prodehl et al., 1984; Warren, 1968). A reconnaissance survey with 20–50 km spacing of the recording units was carried out across the eastern coastal plains to the Atlantic Ocean where it connected to the ECOOE (East Coast On-shore Off-shore Experiment) survey (Hales et al., 1968; Warren, 1968). The available interpretations on crustal structure in the United States of North America were reviewed from time to time (see, e.g., Healy and Warren, 1969; Pakiser and Steinhart, 1964;) and in particular compiled for a transcontinental geophysical transect across the United States between 35° and 39°N latitude (Pakiser and Zietz, 1965; Warren, 1968). On the basis of the numerous new data gathered in the 1960s, Warren and Healy (1973) created fence diagrams of crustal cross sections throughout the United States and compiled a Moho map for the entire United States with a table of references.
Another focus became the Lake Superior region (Steinhart and Smith, 1966). The Lake Superior experiments, which involved all major North American research institutions comprised detailed crustal studies, and in particular the EARLY RISE project of 1965, and opened another dimension by recording man-made events to distances of several thousand kilometer, thus demonstrating that parts of the uppermost mantle could be systematically studied with controlled-source seismology.
In Japan, considerable progress was made in instrumentation and seismic fieldwork for crustal studies from 1964 (Research Group for Explosion Seismology, 1966). From the resulting data, crustal cross sections were derived and it was concluded that the northern part of the NE Japan arc is characterized by a low (~7.5 km/s) uppermost mantle velocity (Aoki et al., 1972; Okada et al., 1973; Yoshii and Asano, 1972).
In Australia several large-scale experiments provided initial results on crustal thickness for southeastern and northern Australia (Denham et al., 1972; Cleary, 1973; see also Finlayson, 2010). In Africa, the first seismic investigation of the East African rift system was initiated in Kenya by British scientists (Griffiths et al., 1971). The very first explosion seismic investigation in South America concentrated on the Andes with a reconnaissance survey of the Peru–Bolivia Altiplano involving recording distances of 320–400 km (Ocola and Meyer, 1972).
Also during the 1960s experimental seismic reflection profiling surveys were undertaken in different parts of the world with the aim of imaging the whole crust and determining Moho depths, in particular in Canada (e.g., Clowes et al., 1968; Kanasewich and Cumming, 1965), Germany (e.g., Dohr and Fuchs, 1967; Liebscher, 1964), the USSR (e.g., Belousov et al., 1962; Kosminskaya and Riznichenko, 1964) and Australia (Mathur, 1974; Moss and Dooley, 1988). These experiments demonstrated that near-vertical profiling methods used in oil and gas exploration can be applied to imaging geological structures within basement rocks and that reflections from the deep crust and the Moho can be recorded at long recording times. As an example Liebscher (1964) derived depth contour maps of the two main crustal boundaries in southern Germany, the Conrad and the Mohorovičić-discontinuities at about 20 and 30 km depth, by calculating histograms of the number of reflections per time interval based on long recordings from the seismic reflection industry. A special project applying the common depth point techniques of exploration seismics to crustal scale dimensions was successfully carried out by R. Meissner in 1964 in the Bavarian Molasse basin. Shot points and the relatively few mobile recording units (Fig. 8) were systematically moved apart around a central common depth point to make recordings to the wide-angle distance range for each target depth (Meissner, 1966, 1967). A similar project was designed a few years later in the Rhenish Massif. Both near-vertical and wide-angle reflections were successfully recorded and interpreted by Meissner and colleagues (cf. Giese et al., 1976). Also in central and southeastern Australia reflection profiling in basins provided strong reflections from the Moho in the 1960s, but were only published much later (Dooley and Moss, 1988; Moss and Dooley, 1988).
In parallel with the field methodology, the art of interpretation was developed. For seismic-refraction profiles, the interpretations in the 1960s were almost exclusively based on the correlation of waves by travel times, read from picked arrival times, plotted in time–distance graphs and correlated by straight or curved lines, but gradually seismic phase correlation using record sections became common. Furthermore, new developments in the theory of seismic wave propagation became available by the use of the rapidly developing new computer technology. The known methods were made more efficient and new methods were developed to interpret the increasing number of new observations. This enabled the recognition of fine structure in the crust and at the crust–mantle boundary. Mueller and Landisman (1966) demonstrated evidence for, what was believed to be, a globally existing crustal low-velocity zone. Independently, Giese (1968) investigated the characteristics of reflected waves in detail. He showed that, in the ideal case of a sharp discontinuity, the reflection appears as a hyperbola of the corresponding traveltime curve in a time–distance diagram, and that the curvature of the traveltime curve and its position changes when the discontinuity is replaced by a transition zone with a strong, finite velocity gradient. Giese (Giese, 1968; Giese and Stein, 1971; see also chapters in Giese et al., 1976) also demonstrated that many observations may be explained by crustal velocity inversions. Based on wide and near-angle observations, Meissner (1966, 1967; see also chapters in Giese et al., 1976) discussed the reflectivity of the lower crust, which in places is very strong. Detailed studies led to the model of the ‘Moho’ as a transition zone (Meissner, 1973). In general, seismic investigations of the Moho were interpreted by a laminar transition zone of a few kilometers thickness, including stepwise increase and decrease, down to a layer with P-wave velocity around 8 km/s in the uppermost part of the upper mantle (Meissner, 1973).
At sea, all instruments in use in the 1950s and 1960s, were essentially echo sounders utilizing pulses of low frequency sonic energy and a graphic recording system that displayed the data in the form of cross sections. The analysis methods, available also during the 1960s (Ewing, 1963a), used least-squares slope-intersect solutions for picked first arrivals, but did not allow for velocity gradients. On the basis of many observations in the Atlantic Ocean, a detailed overall picture of the oceanic crust was established (Ewing, 1969), but significant deviations from this average were found on the flanks of the Mid-Atlantic ridge. Numerous new data were also gathered in the Indian and Pacific Ocean (e.g., Francis and Raitt, 1967; Francis and Shor, 1966; Kosminskaya et al., 1973; Neprochnov et al., 1969; Shor and Raitt, 1969; Shor et al., 1970, 1971; Sutton et al., 1971; Zverev, 1970). Detailed surveys involved, for example, the surroundings of the islands of Hawaii and archipelagos to the northeast of Australia (Furumoto et al., 1973). For the first time, the existence of seismic anisotropy of the uppermost mantle was discussed and investigated by a series of special anisotropy experiments in various areas of the Pacific Ocean (e.g., Backus, 1965; Francis, 1969; Raitt et al., 1969, 1971).
A wealth of data was acquired in the 1960s, based on the integration of gradual improvement in seismic-refraction and reflection techniques, instrumental development and the art of interpretation. In many experiments seismic energy produced by effective explosive sources was recorded out to large distances of several hundred kilometers. Moho contour maps of Europe (Morelli et al., 1967), the USSR (Belyaevsky et al., 1973) and the United States (Warren and Healy, 1973) were based on a large number of published models, which became available by the end of the 1960s. The models not only resulted in a relatively complete picture of the gross velocity–depth structure of the Earth’s crust below the northern hemisphere, but also detected specific properties of different tectonic areas such as shields, platforms, orogens, basins, rift zones, and other. By the end of the 1960s, computer algorithms for computation of synthetic seismograms were ready for application (e.g., Fuchs and Müller, 1971; Müller, 1970). In total, the development allowed for new understanding of the crustal structure, including fine structure of the hitherto homogeneously layered crust. In particular, the character of the crust–mantle boundary was attracting new interest.
Fig. 8. A mobile seismic station from University of Munich in the early 1960s, equipped with a 3-component seismometer, and recording with three galvanometers on photographic paper; left and right two timing systems based on reception of radio signals. Photograph by C. Prodehl.
6. The 1970s: focus on anomalous crustal structures and the subcrustal lithosphere
The 1970s can be characterized by several highlights. Making use of the rapidly developing new computing facilities, fast traveltime programs allowed for a rapid interpretation of large quantities of observed data. The reflectivity method (Fuchs and Müller, 1971) enabled the calculation of synthetic seismograms including the full wave field in laterally homogeneous structures. Development and application of the time-term method led unexpectedly to the detection of uppermost mantle velocity anisotropy under the continents (Bamford, 1973; Bamford et al., 1979). Its existence in the oceanic upper mantle has been recognized much earlier.
In the USSR, the unique and unprecedented seismic refraction and wide-angle reflection studies were carried out in late 1960s to early 1990s using Peaceful Nuclear Explosions (PNE) as sources (Egorkin and Pavlenkova, 1981; Egorlín et al., 1987; and summaries in Fuchs, 1997; Sultanov et al., 1999). The PNE explosions comparable to magnitude 5–6 earthquakes were complemented by chemical explosions. Reversed seismic data along eight 3000–4000 km long PNE profiles (four sub-lattitudinal and four sublongitudinal) were recorded with 3-component seismographs located at ca. 10 km intervals and provided spectacular images of the crust and the upper mantle seismic structure down to a depth of ca. 700 km (Burmakov et al., 1987; Mechie et al., 1993, 1997; Morozova et al., 1999; Nielsen and Thybo, 2006; Nielsen et al., 2003; Ryberg et al., 1995).
With the relatively powerful instrumentation developed in the 1960s and acquired in large numbers in the 1970s, in particular in Western Europe, North America, and the USSR, controlled-source seismology approached new frontiers. Underwater shots in the Lake Superior experiment of 1965 had shown that controlled seismic sources could efficiently be recorded to at least 2000 km distance if the recording conditions were favorable. In particular, it was recognized that the hitherto uniform $P_n$ phase at distances of several hundred kilometers in reality consists of a number of phases reflected from various depth levels in the uppermost mantle (e.g., Ansorge, 1975; Ansorge and Mueller, 1971). This enabled seismic investigation of hitherto unknown depth ranges below the Moho and led to the detection of fine structure in the lower lithosphere down to 80–100 km depth. A considerable number of long-range profiles was subsequently organized and recorded throughout Europe, accompanied by coincident detailed crustal studies. 1000 km long lines through France (Hirn et al., 1973, 1975; Sapin and Prodehl, 1973), Britain (Bamford et al., 1978; Faber and Bamford, 1979), along the axis of the Alps (Alpine Explosion Seismology Group, 1976; Yan and Mechie, 1989), through the Rhenish Massif (Mechie et al., 1983) and a 2000 km long line through Scandinavia (Guggisberg and Berthelsen, 1987; Guggisberg et al., 1991; Percuch and Thybo, 1996) became well-known experiments.
Long-range profiles were also recorded in the oceans (cf. the compilation of long-range profiles by Prodehl, 1984; see also Fuchs et al., 1987). The seismic structure of the crust and upper mantle was imaged in the Pacific Ocean (e.g., Asada and Shimamura, 1979; Goltyanitsa and Iliev, 1977; Orcutt and Dorman, 1977), the Atlantic Ocean (e.g., RRISP Working Group, 1980; Steinmetz et al., 1977), the Indian Ocean (Neprochnov et al., 1976), and in the Mediterranean (e.g., Hirn et al., 1977; Steinmetz et al., 1983). A general result of these investigations was that details of the hitherto unique phase $P_n$ phase could be interpreted by fine structure in the uppermost mantle, whereby the uppermost part of the mantle underlying the Moho was interpreted as a high-velocity lid representing the lower lithosphere, overlying the asthenosphere with low upper-mantle velocity.
Another highlight of the 1970s was the advancement in the understanding of rifting processes. Detailed studies were carried out in the central European Rift System through Germany and France by advanced seismic refraction programs in the Upper Rhinegraben and the Rhônegrabén (summarized in Fuchs et al., 1983; Prodehl et al., 1995). The projects demonstrated the presence of a shallow Moho beneath the graben areas. Numerous seismic profiles were recorded across the deep Dnieper–Donets rift and the Donbas region in the USSR (Belousov et al., 1980). In the basin areas around the Tornquist–Teysserre-Zone in Poland, an anomalous crustal block was identified with Moho depths at around 50 km between the approximately 30 km thick Variscan crust of central Europe and the 40–50 km thick crust of the East European Platform (Guterch et al., 1983). The countries around the Mediterranean were also covered by several seismic crustal profiles in the 1970s, including Portugal (e.g., Prodehl et al., 1975), Spain (Explosion Seismology Group Pyrenees, 1980; Working Group for Deep Seismic Sounding in Spain 1974–1975, 1977), Morocco (Makris et al., 1985), Greece (e.g., Makris, 1977), and Israel (Ginzburg et al., 1979). In Italy both the northern Apennines and adjacent Mediterranean Sea including the island of Corsica and southernmost Italy were the focus of seismic land and sea investigations (e.g. Morelli et al., 1977).
In the Afro-Arabian rift system crustal seismic surveys were undertaken in the western Jordan–Dead Sea transform (Ginzburg et al., 1979), in the Afar triangle of Ethiopia (Berckheimer et al., 1975), and in Saudi Arabia (Gettings et al., 1986). Major projects in North America investigated the Mississippi embayment (Mooney et al., 1983), the Rio Grande rift (Olsen et al., 1979) and the suggested hot spot of the Yellowstone–Snake River plain area (Braile et al., 1982; Smith et al., 1982).
In the 1970s, for the first time, large scale seismic near-vertical incidence reflection experiments were organized with more than 100 km long profile lines, which provided new insight into details of crustal structure and composition of the earth's crust down to Moho. Academic researchers took advantage of the expertise, techniques and the equipment of the petroleum industry, to determine internal structure of the whole crystalline crust in addition to geophysical models in terms of velocity, density and attenuation (Oliver, 1986). In the 1970s, the first national large-scale seismic-reflection programs were initiated. COCORP (Consortium for Continental Reflection Profiling) in the United States (e.g., Oliver et al., 1976) was purely a seismic reflection program. This was soon followed by the Canadian equivalent COCRUST (Consortium of Canadian university and government CRUSTAL seismologists) (Merew et al., 1989) which, however, carried out combined reflection and refraction studies. Similar large-scale seismic near-vertical incidence reflection profiles (Fig. 9), accompanied by wide-angle reflection observations (Fig. 10), were recorded in Germany (Bartelsen et al., 1982; Meissner et al., 1980). In addition to the internal crustal reflectivity, the Moho could usually be defined as the depth where crustal reflectivity vanishes.
The 1970s was also the decade, when ocean-bottom seismometers (OBS) and ocean-bottom hydrophones (OBH) were developed by several institutions and successfully tested in experiments around the world. Numerous new investigations with airguns and expendable sponobuys carried out in the 1970s led to a detailed picture of the oceanic crust. A worldwide study of the lower crust and upper mantle using ocean bottom seismographs (OBS) and shots by large airguns in the oceans was carried out by the Shirshov Institute of Oceanology, Moscow in the period from 1977 to 1984 (e.g. summary by Neprochnov, 1989). Matching reflectivity method synthetic seismograms with deep-ocean seismic data proved powerful in unraveling details of the basement structure (e.g. Fowler, 1976; Spudich and Orcutt, 1980). It was shown that the structure was better represented by velocity gradient zones than by discrete constant-velocity layers (e.g. Kennett, 1977). There was also research on determining if seismic anisotropy is observable in the oceanic crust. Bibee and Shor (1976) assessed a large number of standard marine refraction studies and concluded that anisotropy in the crust is insignificant, whereas mantle velocities increase with age and show about 5% anisotropy, with the highest velocity in the direction perpendicular to the local magnetic anomalies. A localized low-velocity zone at a fast-spreading ridge was detected for the first time by OBS refraction experiments on the northern East Pacific Rise (Minshull, 2002;
This zone was interpreted as resulting from the presence of a magma chamber containing partially molten rocks. Other seismic studies in the 1970s were concentrated on the slow-spreading Mid-Atlantic Ridge (Neprochnov et al., 1976). Here, early OBS refraction data showed no evidence for neither a low-velocity zone corresponding to magma chamber nor a strong velocity contrast at Moho. Instead, the crust–mantle boundary was defined by a gradual increase in velocities (Fowler, 1976, 1978; Minshull, 2002).
The numerous crustal studies acquired a large amount of crustal data which was available by 1980. Meissner (1986) published a crustal thickness map for the whole of Europe. Both Kosminskaya and Pavlenkova (1979) and Zverev and Kosminskaya (1980) published a representative collection of crustal and uppermost mantle cross sections for various regions of the USSR. Based on the results of 273 publications, a global crustal thickness map was published by Soller et al. (1981). The new edition of the “Landolt–Börnstein” series of special volumes devoted to geophysics (Fuchs and Soffel, 1984) includes a chapter on the main features of parameters describing the crust and uppermost mantle as available at the end of the 1970s. The data was compiled in tables giving details such as thickness of the entire crust, of the upper and lower crustal layers, and the corresponding average velocities (Prodehl, 1984; see also Appendix of Prodehl and Mooney, 2012).
Fundamental for future decades, new achievements in theory and instrumentation were made in the 1970s. A new type of analog instrument, the so-called “cassette recorder” (Fig. 11), was developed in the United States and was built in large numbers (~150) during the late 1970s. It was easy to handle and allowed planning of future experiments with a much greater density of individual stations than before, aiming for intervals of 1 km or less between stations (Healy et al., 1982; Murphy, 1988). It was successfully tested in 1978 in Saudi Arabia.
During the second half of the 1970s, the ray method was developed (Cervený et al., 1977), which led to the development of several ray tracing algorithms for calculation of theoretical traveltimes and synthetic seismograms in models of complex tectonic structures (Fig. 12). These algorithms were to become standard tools for interpretation of seismic data in the 1980s and following decades up to the present day. Several other groups were also writing synthetic seismogram routines based on the ray theory (e.g. McMechan and Mooney, 1980; Spence et al., 1984).
7. The 1980s: the decade of large-scale seismic-reflection campaigns and the first decade of ray-tracing modeling of seismic-refraction data
The 1980s was characterized by increased interest in details of the Earth’s crust and crust–mantle transition zone, the Moho. Computer programs for ray tracing were available for application to the interpretation of the fast growing amount of data for crustal and upper mantle research.
In Europe, three developments advanced knowledge of the Moho and lithospheric structure substantially: (1) Crustal research in Europe received a new impulse from reflection seismology; (2) The European Geotraverse carried out a continent-crossing, large-scale seismic-refraction traverse; and (3) Continental deep drilling was accompanied by detailed reflection–refraction surveys.
Following the establishment of COCORP in the United States and COCRUST in Canada in the late 1970s, national groups in Europe rapidly were formed in the early 1980s, such as BIRPS (British Institutions Reflection Profiling Syndicate) in Britain (Klemperer and Hobbs, 1991), DEKORP (Deutsches KOntinentales Reflexionseisimisches Programm) in Germany (Meissner et al., 1991), ECORS (Etude de la Croûte Continentale et Océanique par Réflexion et Réfraction Sismique) in France (Bois et al., 1986), BELCORP (Belgian Continental Reflection Program) in Belgium, NFP (National-Fond Project) in Switzerland, in Czechoslovakia, and CROP (CROsta Profonda) in Italy. All seismic reflection surveys accomplished by 1988 were compiled in a location map by Sadowsiak et al. (1991). The multinational program BABEL (Baltic And Bothnian Echoes from the Lithosphere) was initiated for studying the Baltic Shield and transition into younger Europe in the Baltic Sea by integrated seismic methods (BABEL Working Group, 1991a, 1991b; BABEL Working Group, 1993a, 1993b).
All programs were based on the ideas developed in the late 1970s by COCORP to investigate the Earth’s crust in great detail by applying vertical-incidence reflection profiling, although some programs integrated the studies with other seismic and seismological observation and other geophysical interpretations. COCORP, in contrast to most of the early near-vertical incidence seismic reflection work of the 1950s–1960s in Canada, Germany, the USSR, USA, and Australia, contracted the field surveys to a commercial reflection company and applied commercial processing and interpretation techniques to the new data for imaging the whole crust (Oliver et al., 1976). The same approach was used by the national European large-scale seismic reflection programs. From 1985, also the Australian Geological Survey Organisation (AGSO) acquired a large number of deep seismic reflection profiles in offshore and onshore Australia (Finlayson, 2010).
In 1984 a series of international symposia on seismic probing of the continents and their margins was started with the main focus initially on discussion of large-scale seismic-reflection surveys and their impact on our knowledge of the Earth’s crustal structure. With time, the scope of these symposia became significantly broader (Barazangi and Brown, 1986a,b; Matthews and Smith, 1987; Leven et al., 1990; Meissner et al., 1991, Clowes and Green, 1994; White
The large-scale project ‘European Geotraverse’ covered a corridor through all major tectonic units of Europe from the North Cape to Tunisia, North Africa by multidisciplinary data acquisition and interpretation centered around a large-scale seismic-refraction survey (Blundell et al., 1992). For organizational purposes, the seismic-refraction investigation was split into northern (EUGENO-S Working Group, 1988; Guggisberg et al., 1991), central (EUGEMI Working Group, 1990; Scarsacia and Cassinis, 1997) and southern (Egger et al., 1988) sections and was carried out over a period of several years. The Swiss national seismic reflection profile NFP20 through the central Alps was integrated into the EGT program (Valasek et al., 1991) to provide additional detailed image of the subduction of the European crust under the Alps. The Iberian Lithosphere Heterogeneity and Anisotropy (ILHA) Project was designed as project no. 11 of the European Geotraverse, because only the Iberian peninsula had dimensions where large sea shots could be recorded up to 800–1100 km distance on reversed long-range profiles traversing the assumed homogeneous Hercynian crust under different azimuths (ILHA DSS Group, 1993).
Projects on the British Isles and surrounding seas did not only involve the seismic reflection experiments by BIRPS. The North Sea project involved both refraction and reflection work (Barton and Wood, 1984). The CSSP (Caledonian Suture Seismic Project) profile traversed northern Britain with shots in the North and Irish Seas (Bott et al., 1985) and stimulated the first seismic crustal profile through Ireland (Jacob et al., 1985), which was soon followed by several seismic campaigns using both land and sea profiling in and around Ireland (Landes et al., 2005).
In the USSR, deep seismic sounding (DSS) investigations actively continued through the 1980s, and the dense network of seismic profiles, including continuing three-component magnetic recordings on the super-long PNE profiles, covered almost the whole territory of the country (Burianov et al., 1985; Druzhinin et al., 1990; Garetskii et al., 1990; and summaries by Belousov et al., 1992; Benz et al., 1992; Pavlenkova, 1996; Fuchs, 1997). In particular, numerous controlled-source refraction profiles were acquired in the Uralns after the 1960s, and in the early 1990s the Urals orogen was covered by eight long DSS profiles (Ryzhiy et al., 1992). Due to small station spacing between some hundred meters to ten kilometers in different seismic campaigns, the crustal structure of the orogen was resolved in detail. The results show a pronounced crustal root (50 to 60 km) below the axis of the Urals (Druzhinin et al., 1990). These results from refraction profiles were confirmed by interpretations of seismic data along the RUBIN PNE profile (Egorkin et al., 1987). The increasing interest in deep continental drilling and the search for suitable super-deep drill sites initiated a variety of large-scale seismic-refraction and reflection surveys, particularly in the USSR around the Kola super-deep drillhole (Kozlovsky, 1984, 1988) and in central Europe at two proposed drill sites in Germany (Emmermann and Wohlenberg, 1989).
In the Afro-Arabian rift, major crustal research activities concentrated in the Red Sea area. Several symposia were held to report on
Fig. 12. Examples of early synthetic seismic sections calculated by the popular ray tracing method developed by Červený and Pšenčík. From Červený and Pšenčík (1984). © Commonwealth of Australia (Geoscience Australia) 2013. This product is released under the Creative Commons Attribution 3.0 Australia License. http://creativecommons.org/licenses/by/3.0/au/deed.en.
the state of the art (e.g., Le Pichon and Cochran, 1988; Makris et al., 1991). In 1984 a second survey explored the eastern part of the Jordan–Dead Sea transform in Jordan (El-Isa et al., 1987). In the East African Rift in Kenya the first international KRSP (Kenya Rift International Seismic Project) operation took place in 1985 (Henry et al., 1990).
For India, Mahadevan (1994) summarized all crustal seismic surveys undertaken by the end of the 1980s. A total of 6000 km had been acquired along 20 long-range refraction and wide-angle reflection profiles. The investigations aimed, in particular, at the crustal structure of basins and rift systems, adopting continuous profiling over major portions of the deep-sounding profiles. Using geophone spacing of 200 m and shotpoint intervals of 20–40 km, recordings with useful energy were obtained up to distances of 400 km.
In China, a major collaborative program between Chinese institutions and European and North American institutions began for deep crustal studies of Tibet. A joint Sino-French study, one of the first large explosion seismology operations in the region, investigated the Himalayan border and the adjacent Lhasa block to the north (e.g., Hirn et al., 1984). For detailed crustal studies of the whole of China, in the 1980s some 250 standardized instruments for deep seismic sounding, recording on two-channel magnetic tape cassettes, were distributed among various research groups of the State Seismological Bureau of China. This marked the start of a major activity of seismic research which has continued in China since then (Li and Mooney, 1998).
In Japan, onshore seismic crustal research in the 1980s was mainly carried out in the frame of the national Earthquake Prediction Program and focused on the upper crustal structure, searching particularly for major fault zones and tectonic lines (e.g., Ikami et al., 1986; Matsu’ura et al., 1991).
The emphasis of deep crustal research in Australia was on seismic reflection surveys (Finlayson, 2010). During 1980–1982 deep reflection data were acquired in the central Eromanga basin in southwestern Queensland, resulting in 1400 km of continuous profiles up to 270 km long in a regional grid (Moss and Mathur, 1986). Following these successful studies, the Australian Continental Reflection Profiling Program (ACORP) was initiated and in 1985 two major north–south oriented deep seismic reflection surveys were conducted in central Australia for acquisition of 486 line kilometers across the Arunta block and the Amadeus basin (Wright et al., 1990).
In North America, COCORP continued its seismic-reflection program and many new areas were systematically covered (Brown et al., 1986). In parallel, the new seismic-refraction equipment of the U.S. Geological Survey led to increased activity. One of the many new projects was a large-scale seismic refraction experiment across the Basin and Range province, parallel to the 40° COCORP survey (Catchings and PASSCAL Working Group, 1988). In the southwestern USA, the PACE project (Pacific to Arizona Crustal Experiment) aimed at studying the evolutionary history of metamorphic core complexes of the western Cordillera (McCarthy et al., 1991). New crustal data were also collected in the southern Rio Grande rift area (Prodehl and Lippman, 1989; Sinno et al., 1986). In northeastern United States and adjacent Canada a seismic refraction/wide-angle reflection experiment crossed the northern Appalachians and the Adirondack Massif into the Grenville province of the North American craton (Hughes and Luettgent, 1991).
The Canadian research program COCRUST (Mereu et al., 1989) was followed by LITHOPROBE (e.g., Clowes, 1993), a joint program of all Canadian geophysical institutions for systematic crustal and uppermost-mantle investigation of the Canadian territory by multidisciplinary research, including coincident seismic refraction and reflection data acquisition. Furthermore, a seismic transect through Alaska, the Trans-Alaska Crustal Transect project (TACT) was covered by seismic data in several steps from 1984 to 1990 (Fuis et al., 2008; Plafker and Mooney, 1997). Braile et al. (1989) and Mooney and Braile (1989) summarize the seismic refraction profiles recorded in North America until about 1988.
Major activities of crustal seismic research in South America were initiated when a geoscientific interdisciplinary research group “Mobility of active continental margins” was established in 1982 at the Free University of Berlin, Germany. The main objective was to investigate the Andes of Chile. Several onshore seismic-refraction profiles with lengths up to 260 km in northern Chile and adjacent Bolivia and Argentina were acquired (Wigger et al., 1994). Energy was primarily obtained from quarry blasts in copper mines, but also some self-organized borehole shots were added. Underwater shots in the Pacific Ocean were also arranged, fired by the Chilean navy close to the Chilean coast.
With improved technology the Antarctica could also be investigated by seismic research projects. The Institute of Geophysics of the Polish Academy of Sciences undertook several expeditions to explore the structure underneath West Antarctica from 1979 until 1988 (Janik, 1997). Seismic refraction profiles were also recorded in 1980 and 1981 at the southern end of the Ross Sea to investigate the east–west boundary of the McMurdo Sound (McGinnis et al., 1985).
A particular aspect of the new era of continental crustal research in the 1980s was the acquisition of coincident, high-resolution seismic reflection and refraction data. Comparative studies of these two fundamentally different types of data could potentially provide new insight into the relation between macro- and micro-structure of the crust and lithosphere. The different incidence-angles and frequency ranges of the seismic waves of near-incidence and wide-angle reflection data often led to different presentations of crustal structure. Mooney and Brocher (1987) compiled a global review of coincident seismic reflection/refraction studies of the continental lithosphere until the mid-1980s. An important result was that the Moho depth derived from the two methods was largely identical. Initially COCORP did not carry out wide-angle piggyback experiments and the different types of data were only jointly discussed after some time. In central Europe, Canada and Australia, close cooperation between the “reflection” and “refraction” groups began early. The Canadian research programs COCRUST and LITHOPROBE involved the use of both methods. In Europe, ECORS profiling was always accompanied by coincident wide-angle operations as were the first long reflection profiles accompanying the search for deep drill sites in southern Germany. The Alpine part of the EGT refraction line was covered by the Swiss reflection seismic program. Almost all seismic-reflection profiles of BIRPS, ECORS, and DEKORP from Caledonian and Variscan basement showed clear termination of crustal reflectivity at the Moho. The same observation was made on seismic-reflection profiles recorded in the Basin and Range province and other extensional areas of the mobile Western United States (see review by Mooney and Meissner, 1992, of crustal reflectivity for deep seismic reflection profiles around the world). Later reflection studies have shown that in the cratonic areas the termination of crustal reflectivity is often uncertain since the crust, as defined from seismic refraction and wide-angle reflection data, often includes non-reflective zones, also in the lower crust (e.g., Abramovitz et al., 1997).
A comprehensive review of the seismic velocity structure of the continental lower crust (Fig. 13) was published by Holbrook et al. (1992), who included a table of lower-crustal velocities in different tectonic environments. Other compilations contain summaries of crustal and upper mantle structure based on controlled source seismology observations, both seismic reflection and refraction, for different continents or large parts of those continents, e.g. by Meissner et al. (1987) for Europe, Belousov et al. (1992) for the territory of the former Soviet Union, Braile et al. (1989) and Mooney and Braile (1989) for North America, and Mechie and Prodehl (1988) for the Afro-Arabian rift. A series of discussion workshops (Olsen, 1995, Ziegler, 1992a,b,c) led to the publication of reviews of continental rifts.
In the oceans, the number of marine seismic experiments investigating the entire crust with advanced techniques literally exploded
from the beginning of the 1980s. The experiments were designed for obtaining large offsets and large-aperture seismic refraction/wide angle reflection data as well as near-vertical incidence reflections with dense spatial sampling. Non-explosive sources became sufficiently effective in the 1980s to be successfully recorded over long distance (of several hundred kilometers) ranges at sea and onshore in onshore–offshore experiments. The number of ocean bottom seismographs increased substantially during the 1980s which led to offshore data acquisition at much better signal-to-noise ratios than could be obtained with strings of hydrophones, which always are affected by noise from the towing ship. By careful planning of the observations, BABEL Working Group (1991b) succeeded in making onshore observations of seismic signals from airgun shots in the shallow water Baltic Sea to distances beyond 700 km in the low noise environment of the Baltic Shield.
Only a few examples of marine surveys can be mentioned here. The Shirshov Institute of Oceanology, Moscow, continued studies of the oceanic crust and upper mantle in the Atlantic, Indian and Pacific oceans (e.g. summary by Neprochnov, 1989). The North Atlantic Transect (NAT Study Group, 1985) provided a major improvement on the knowledge of the structure of the oceanic crust and its variability on regional scale. White et al. (1990) demonstrated widespread occurrence of intracrustal reflectivity in the western Central Atlantic Ocean. The research project RAPIDS (Rockall And Porcupine Irish Deep Seismic project) of the Dublin Institute for Advanced Studies and partners acquired data along two orthogonal wide-angle seismic profiles totaling 1600 km. A 1000 km long east–west seismic profile from Ireland to the Iceland Basin, across troughs, basins and intervening banks, was constructed by acquisition along a series of 200–250 km long individual profiles (e.g., Hauser et al., 1995). The ocean–continent transition at continental margins was studied, for example in the vicinity of the northern Japan trench (Suyehiro and Nishizawa, 1994) and across the east Oman continental margin north of the Masirah Island ophiolite (Barton et al., 1990). An extended offshore marine survey targeted the crustal structure off Norway on the Voering plateau (Zehnder et al., 1990) and along the Lofoten margin (Mjelde et al., 1992). The 1981 Large Aperture Seismic Experiment (LASE) was one of the first experiments on the Atlantic continental margin of North America (e.g., Trehu et al., 1989).
8. The 1990s and early 2000s: the introduction of digital recording enables simultaneous recording of seismic-refraction and teleseismic data
The change from analog to digital recording caused a major breakthrough for recording and interpretation techniques in the early 1990s. The desire for increasingly high density recording increased the demand for recording devices, which triggered further collaboration between research groups. Thus, seismic projects were carried out as part of large-scale research programs that involved a multitude of
Fig. 13. Seismic crustal model of the Schwarzwald area, where a very reflective lower crust was intensively studied in the 1980s. From Gajewski and Prodehl (1987).
collaborating institutions, and also led to further interdisciplinary cooperation between scientists from various geoscientific fields.
In North America, IRIS/PASSCAL, in close cooperation with the U.S. Geological Survey in the United States and LITHOPROBE in Canada, took the lead in the development of new digital recording devices that were produced in large numbers. As a result, research groups from the whole world could apply for access to instruments, with high recording and storage capacity, for teleseismic and large-scale seismic refraction projects. In Europe, scientists did not manage to establish a large European equipment pool. Instead, powerful national pools were established such as at GFZ Potsdam in Germany in 1990 and in Britain from 2000. Nevertheless, many European projects in Europe and Africa depended on the strong support of the US equipment (Fig. 14).
The large number of digital recording devices that can record continuously over long time periods has opened a new dimension for crustal investigations. Digital technology had taken over, and recording devices for controlled source seismology had been replaced by digital equipment in the 1990s, with further improvement of the technology in the beginning of the 2000s. The EarthScope program provided new funding for acquisition that enabled PASSCAL to renew their instrumentation to include nearly 1000 instruments for both long-term seismological and short-term seismic projects. In a similar manner, Australian equipment was steadily improved (Finlayson, 2010). In 2000 the British seismic community was awarded a grant from NERC to acquire large numbers of Guralp 6TD and 40 T seismometers, together with a number of the Guralp 3Ts, bringing the British scientists to the forefront of observational broadband seismology (Maguire and SEIS-UK, 2002). In Germany, in 2000 GFZ-Potsdam began to gradually renew its instrument pool for short-period and broad band seismology by replacing worn-out Reftek and PDAS data loggers with a new system, Earth Data PR6-24. Up to mid-2007 almost 240 of these new data loggers have been acquired and made available to the geophysical community.
One of the first projects with the new dedicated digital refraction seismic equipment was LEGS (LEinster Granite Seismics) in the southeastern Ireland (Hodgson et al., 2000) with the support of 200 TEXAN stations from the University of Texas at El Paso and 100 TEXAN stations from the University of Copenhagen (Fig. 14). VARNET (VARiscan front NETwork) was a cooperative seismic and magnetotelluric research program studying the Variscan front in southwestern Ireland, mainly based on the instrumental pool of GFZ Potsdam. The project determined the overall crustal thickness in Ireland to be 32–33 km, reducing to 28 km below the center of the main granite body and near the coast of southern Ireland (Landes et al., 2003).
One of the very first east–west cooperation in the field after 1989 was the DEKORP 3/MVE 90 seismic reflection survey, a modern seismic-reflection line across the former inner-German border, exploring the Saxothuringian area of the central-European Hercynian mountain system from the Hessen depression in the west to the Erzgebirge in the east (DEKORP Research Group, 1994). In 1995 by a parallel seismic-refraction survey, GRANU-95, combined with seismic reflection measurements, followed across the Saxonian Granulite Mountain metamorphic core complex (DEKORP and OROGENIC PROCESSES Working Groups, 1999; Enderle et al., 1998). DEKORP continued its activities into Northeast Germany in 1996. The DEKORP-BASIN Group, centered at GFZ Potsdam, undertook a major seismic-reflection survey in the southeastern Baltic Sea and in the lowlands of East Germany. In the Baltic Sea, a grid of marine seismic-reflection profiles was recorded, covering the area between southern Sweden, Denmark, the island of Bornholm, and the region of northeastern Germany between the Bay of Kiel and the island of Ruegen (Bleibinhaus et al., 1999; DEKORP/BASIN Research Group, 1998, 1999; Krawczyk et al., 2002). The marine survey was extended on land into northeastern Germany by a detailed seismic-reflection profile BASIN 9601 along a 330 km long, SSW directed line from the island of Ruegen to the Harz Mountains (Bayer et al., 1999). In general, the reflection Moho in the Baltic Sea was observed at 28–35 km depth.
Following the many successful marine seismic-reflection and refraction investigations of the 1980s carried out in North Sea and the adjacent Skagerrak, two major seismic projects were carried out in the 1990s: in 1992 a BIRPS experiment and in 1993 the MONA LISA project (Marine and Onshore North Sea Acquisition for Lithospheric Seismic Analysis). The BIRPS project of 1992 was a two-ship coincident near-vertical and wide-angle experiment to determine the continental structure of the central North Sea (Singh et al., 1998). The principal results along the 135 km long profile were an upper crustal thickness of 19 km and a Moho depth of 32–34 km. The main aim of the MONA LISA project was to image plate collision structures and reflectivity characteristics of the crust and uppermost mantle in order to map the Caledonian Deformation Front and possible remains of the Tornequist and Lapetus lithospheric plates and to identify rifting processes by profiles crossing the Central Graben and the Horn Graben of the North Sea (MONA LISA Working Group, 1997). The interpretations (Abramovitz and Thybo, 2000; Abramovitz et al., 1998) reveal a three-layered crust of Baltica in the north thinning from 34–35 km to 29–30 km at the Tornequist Suture Zone and changing into a 24–25 km thick two-layered crust of East Avalonia in the south. Furthermore, detailed seismic investigations of the deep structure were carried out in the transition zones west and north of Spitsbergen (Czuba et al., 1999) as well as in eastern Greenland and its margin on the western side of the northernmost Atlantic Ocean (e.g., Mandler and Jokat, 1998). In Denmark, in 2004 and 2005 project ESTRID (Explosion Seismic Transects around a Rift In Denmark) investigated primarily the lower crust and Moho around the Silkeborg gravity high in central Denmark underneath the Mesozoic sedimentary Danish Basin. Along the E–W profile the Moho shows a substantial relief with depth variation between 27 and 34 km (e.g., Thybo et al., 2006) and 28–33 km along a NS profile (Sandrin and Thybo, 2008a,b). Seismic velocity shows extreme variation along the profiles with high velocities (6.7 km/s at 10 km depth to 7.5 km/s at Moho) below the gravity high, which the authors interpret as a magmatic intrusion with a total volume of at least 40,000 km$^3$ in a single magmatic body. Later additional experiments have shown that the volume is at least 60,000 km$^3$ and that a layered structure around the Moho may represent mafic underplating in sill-like structures that extend for up to 120 km distance from the feeder dikes at the main magmatic body (Sandrin et al., 2009; Thybo and Nielsen, 2011).
EUROPROBE was founded in 1992 to encourage East–Central–West European collaboration, supported by the European Science Foundation, as a Lithosphere Dynamics program for studies of the origin and
evolution of the continent (Gee and Zeyen, 1996; Gee and Stephenson, 2006; http://www.geofys.ttu.se/eprobe/). The program enabled the realization of nine major projects, which aimed to investigate the whole lithosphere in close multinational collaboration between geologists, geophysicists and geochemists. EUROPROBE projects which involved both major controlled-source seismic and long-lasting teleseismic components were (1) the TESZ project investigating the Trans-European Suture Zone in Scandinavia and Poland, (2) the Uralides project with major seismic campaigns (the ESRU and URSEIS projects) in the Urals, (3) the GEORIFT project to examine the crustal structure of the Paleozoic Dnieper–Donets rift, (4) the EUROBRIDGE project with focus on the change in crustal structure from the Ukrainian to the Baltic Shield by acquiring seismic refraction data along a seismic crustal traverse between Ukraine and southern Sweden, (5) the PANCARDI project as an interdisciplinary geoscientific frame for large-scale investigations in the Carpathian area with main focus on the deep-earthquake region of Vrancea in the Romanian Carpathians, (6) the SVEKALAPKO (SVEcofennian–KArelia–LAPland–KOla) project of multidisciplinary investigations of the Fennoscandian Shield including seismic and MT data acquisition campaigns, (7) the IBERIA project with focus on imaging the lithosphere of the Variscan transpressional orogen using deep seismic reflection profiling, wide-angle studies, (8) the CAUCASUS project with focus on the Cenozoic collision-related foredeep sedimentary basins along the northern slopes of the Great Caucasus, and (9) the TIMPEBAR (TIMan–Pechora–BARentS) project to study the evolution of Europe’s north-eastern Arctic shelf. Only the last two of the EUROPROBE projects did not include a seismic component.
The first collaborative seismic project between Russian and west European scientists began in 1991 along the 3000 km long DSS profile GRANIT between eastern Ukraine and the northern part of the West Siberian basin (Rybalka and Kashubin, 1992). It included an anisotropy subproject, ASTRA, characterized by dense multi-azimuthal more-component recordings in the near-vertical to wide-angle incidence offset range along several 280 km long profiles. Coincident with the 1991 GRANIT line across the Middle Urals, in 1993 the ESRU (Europrobe Seismic Reflection profiling in the Urals) project was carried out in a joint effort of Russian, Swedish, U.S. and German scientists. Five seismic reflection experiments were carried out in the Middle Urals until 1999, approximately at latitude 58°N, with a total length of 335 km (Juhlin et al., 1995, 1996; Kashubin et al., 2006). The ESRU line, that crosses the orogen close to the Urals Deep Borehole SG4, was followed by the URSEIS ‘95 transect that crosses the Urals at about 53°N, ca. 400 km further south than the ESRU line and extends from the East European platform in the Uralian foreland to the West Siberian basin (Berzin et al., 1996, Carbonell et al., 1996, Knapp et al., 1998). The URSEIS’95 project, at that time the largest international seismic project carried out in Russia after 1990, was an integrated seismic experiment designed by scientists from Russia, Germany, the United States, and Spain, to reveal the detailed crustal and upper-mantle structure of the Urals. Two independent groups (Carbonell et al., 2000b; Stadtländer et al., 1999) found the presence of an at least 10 km thick crustal root beneath the central part of the orogen, where the crustal thickness increases from 43 to 45 km at the margins of the transect to up to 53–56 km beneath the central part of the profile. Interestingly, the center of this crustal root appears to be displaced by 50–80 km to the east of the present-day maximum topography.
In the Baltic Shield, new reflection seismic profiles, FIRE 1–4, were acquired in Finland from 2001 to 2003 across all major tectonic units and boundaries of the Baltic Shield in Finland (FIRE Consortium, 2006). On the Kola peninsula, the Russian company Spetsgeofisika conducted in 2000–2002 a vibroseis CMP experiment across the western and central Mezen Basin and along a line across the Timan Range as decided based on the data obtained in 1998–2000 (Kostyuchenko et al., 2004). Several new long-range seismic refraction profiles have been recorded in Russia in the early 2000s. Two of them transect the Russian platform, from the Kola peninsula to the Caucasus (Mints, 2011), and across the Volga–Uralia subcraton (Trofimov, 2006).
The deep lithospheric structure of the East European Craton between the exposed Proterozoic and Archean complexes of the Baltic and Ukrainian Shields was studied along a ca. 2000 km long EUROBRIDGE integrated transect (Bogdanova et al., 2006). The main part of the EUROBRIDGE project was a major seismic refraction and wide-angle reflection experiment, conducted in several legs from 1994 to 1997 (EUROBRIDGE Seismic Working Group, 1999; EUROBRIDGE’95 Seismic Working Group, 2001; Thybo et al., 2003). The DOBRE (DOmBas REfraction and Reflection) project was continued as an international collaborative project between researchers from Ukraine, Poland, the Netherlands, Germany, Denmark, and the US with, so far, five main data acquisition projects that largely cover the Ukrainian territory. Initially, it concentrated on the Donbas Foldbelt of the Dnieper–Donets rift system by comprising comprehensive seismic surveys in 1999 and 2000 (DOBRefraction ’99 Working Group, 2003; Lyngsie et al., 2007; Maystrenko et al., 2003, Stephenson et al., 2006).
Centered in Poland, two major seismic refractions programs were organized on the initiative of researchers from Copenhagen and Warsaw within the context of the EUROPROBE program. The first large seismic-refraction program of 1997, POLONAISE (POlish Lithosphere ONsets – An International Seismic Experiment), involved a network of five long recording lines, using more than 600 field stations and 64 borehole shots for investigation of the deep lithospheric structure in the Trans-European Suture Zone (TESZ) in east-central Europe and the southwestern part of the East European Craton (Guterch et al., 1999). The profiles provide a detailed overview of the Moho in the study area (e.g. Grad et al., 2003; Janik et al., 2002; Jensen et al., 1999). The second project CELEBRATION-2000 (Central European Lithospheric Experiment Based on RefrAcTion) targeted the Trans-European Suture Zone (TESZ) region, the southwestern portion of the East European Craton (southern Baltica), the western Carpathian Mountains, the Pannonian basin, and the Bohemian massif (Fig. 15; Guterch et al., 2001, 2003a). Here 1230 recording devices were installed for one month to record shots and earthquakes along 10 lines covering southeastern Poland, the Czech Republic, Slovakia, Hungary, and reaching into Austria and Germany in the west, and Belarus and Russia in the northeast. In southeast Romania a major joint seismic refraction and teleseismic survey was realized in 1999 and 2001 with two crossing seismic-refraction lines through the earthquake-prone Vrancea zone of the eastern Carpathians (Hauser et al., 2001; 2002, 2007) and a teleseismic survey covering the southeastern bend of the Carpathians and its foreland (Martin et al., 2005).
The CELEBRATION’2000 project was carried out in close collaboration with the ALP’2000 project, which aimed at determining the structure of the lithosphere in the eastern Alps around Austria. It was followed by ALP 2002 with focus on the Eastern Alps and western Carpathians (Brueckl et al., 2003, 2010, Sumanovac et al., 2009). Some of the profiles traversed the Bohemian Massif in the Czech Republic, while other profiles were centered in the Pannonian basin of Hungary, also touching the Dinarides of Slovenia and Croatia. A total of 4300 km along 13 seismic refraction profiles were obtained, recorded from 40 borehole shots by about 920 TEXAN stations from PASSCAL and University of Copenhagen. The experimental layout of the two ALPS projects allows for high-resolution inversion of velocity structure and thickness of the crust in 3 dimensions based on a new interpretation method (Behm et al., 2007, Brueckl et al., 2010). Another major large-scale interdisciplinary project in central Europe targeted the Alps with a seismic-reflection traverse TRANSALP through the Eastern Alps, carried out in several phases from 1998 to 2001. The resulting data reveal a maximum crustal thickness of 55 km, and two 80–100 km long transcrustal ramps are observed: north of the axis: a southward dipping ‘Sub-Tauern-Ramp’ and south of the crest a northward dipping ‘Sub-Dolomites-Ramp’ (Gebrande et al., 2006; Lueschen et al., 2004).
The project SUDETES 2003 was launched in 2003 as a 3-D refraction seismic experiment to investigate the deep crustal structure of the northern part of the Bohemian Massif, the largest outcropping part of the Late Paleozoic Variscan orogen in Central Europe. 53 shots were fired into a network of six profiles, which, with an average station spacing of 3–4 km, covered a total of 3450 km (e.g., Grad et al., 2008; Majdanski et al., 2006). A passive teleseismic tomography project, BOHEMA, was added from 2001 to 2003 with the aim developing a three-dimensional geodynamic model of the whole lithosphere–asthenosphere system (Babuska et al., 2003). An overview of all long-range controlled source seismic experiments in central Europe from 1997 to 2003 was published by Guterch et al. (2007).
Major crustal research activities on the central European rift system were carried out in the early 1990s in the southern Rhinegraben (e.g., Mayer et al., 1997) with seismic steep- and wide-angle observations and in the Limagne graben across the Massif Central with a joint teleseismic–seismic-refraction survey (Granet et al., 1995; Zeyen et al., 1997).
The main crustal research activities in the Mediterranean area were carried out in Spain, Italy, and Greece. The Spanish national seismic reflection program ESCI (Estructura Sismica de la Corteza Iberica) was initiated in the 1990s involving a combination of land and sea-based projects in three key areas: the northwestern Hercynian Peninsula, the northeastern Spain – Valencia trough, and the Betics; 450 km of onshore and 1325 km of offshore profiles in northern, eastern and southern Iberia were recorded (Diaz and Gallart, 2009). In 2001, the IBERSEIS deep seismic reflection transect across the SW Iberian Massif and in 2007 project ALCUDIA was added with coincident Vibroseis normal-incidence reflection and refraction/wide-angle reflection profiling (e.g. Palomeras et al., 2009). A detailed review on crustal structure of the Iberian peninsula is given by Diaz and Gallart (2009), who provide a location map of all seismic profiles observed in on- and off-shore Spain since the 1970s. Cross sections from coast to coast, and a Moho depth contour map accompanied by a topographic map including the individual observation points, demonstrate the gradual crustal thickening from near 10 km under the Atlantic margin areas to 30 km under the Variscan Iberian Massif. Maximum crustal thicknesses are observed at 50 km under the Pyrenees and 40 km both under the Iberian Chain in eastern Spain and the Betic Chain in Southern Spain. Towards east and south the crust thins abruptly to 15 km under the Valencia Trough and the Alboran Sea. Moho depth is locally about 25 km below the Balearic Islands.
The Italian seismic reflection program CROP was particularly active during its second phase in the 1990s (Scrocca et al., 2003) with seismic reflection traverses through the Italian peninsula and a dense network of profiles in the Mediterranean Sea. More than 8000 km of seismic profiles were recorded during two phases of the CROP MARE project in the Ligurian, Tyrrhenian, and Ionian Seas. The Greek area was investigated by two French–Greek marine-based projects, project STREAMERS of 1992 targeting the Ionian Sea (Hirn et al., 1996), and the project SEISGRECE of 1997 in the Gulf of Corinth. Moho is observed at 40 km depth under the western Gulf north of Aigion and 32 km under its north coast, north of Corinth (Clément et al., 2004).
Major efforts were undertaken to unravel the details of crustal structure beneath the Afro-Arabian rift system, based on the experiences collected by the earlier expeditions. In 1990 and 1994 two major international KRISP campaigns (Fig. 16) explored the crust and upper mantle under the East African rift of Kenya combining seismic refraction and teleseismic tomography investigations (Birt et al., 1997; Fuchs et al., 1997; Prodehl et al., 1994). Prodehl and collaborators (Fuchs et al., 1997) summarize the projects undertaken within the Afro-Arabian Rift System from 1969 to 1995. In 2001 the northern end of the East African Rift system in Ethiopia was the target of another major seismic experiment (Mackenzie et al., 2005; Maguire et al., 2003), and international seismic campaign began in 2000 to cover both sides of the Dead Sea transform in Jordan and Israel (DESERT Group, 2004; DESERT Team, 2000).
In Asia a series of data acquisition projects (BEST – Baikal Explosion Seismic Transects) were carried out around the Baikal Lake with participation from Novosibirsk, Ulan-Ude, Warsaw and Copenhagen in the early 2000s. The new data demonstrated that crustal thinning does not necessarily lead to Moho uplift as magmatic intrusions may compensate totally for the thinning (Nielsen and Thybo, 2009; Thybo and Nielsen, 2009). This finding calls for care when crustal thinning is estimated for geodynamic modeling, as was already indicated by results from similar seismic experiments at the DONBAS and East African rift zones (Lyngsie et al., 2007; Thybo et al., 2003).
In India, the National Geophysical Research Institute at Hyderabad undertook national large-scale COCORP-equivalent studies. Particular targets were the structure and tectonics of the Aravalli–Delhi fold belt in northwestern India (Prasad et al., 1998) and the crust of southern India. Other investigations in the Himalayas and southern...
India used information from natural sources (Krishna et al., 1999, Rai et al., 2006).
The seismic investigations of the crust and upper mantle in China with explosion seismology of the 1980s were continued even more intensively with the acquisition of many deep seismic sounding (DSS) profiles in mainland China in the 1990s (e.g., Li et al., 2006). It was, however, in particular Tibet that attracted scientists from all over the world. One of the largest cooperative seismic projects was INDEPTH in southern Tibet, which involved both near-vertical and wide-angle seismic reflection methodology as well as teleseismic tomography, and was accomplished with major U.S. and German participation in several phases, starting in 1992 (e.g. Nelson et al., 1996). The studies made observations of some of the thickest crust in the world as well as unexpected melting in the upper crust below Tibet (e.g. Makovsky et al., 1996; Ross et al., 2004).
Controlled source seismology in Japan was activated in the 1990s as part of the Japanese Earthquake Prediction Program. Following the destructive Kobe earthquake of January 17, 1995, seismic measurements were carried out in the surroundings of Kobe (e.g., Ohmura et al., 2001). Other experiments in Japan have focused on the deep crustal structure (Fig. 17), including the lower crust and Moho, beneath the SW and NE Japan arcs (e.g. Iwasaki et al., 2002, 2004). A seismic reflection survey for deep structural studies was undertaken for the first time in Japan in 1994, through the Hidaka Collision zone, Hokkaido.
Subsequent reflection surveys in 1996–1997 provided a clear image of delamination structure and a reflective lower crust in the collision zone (Ito, 2002; Tsumura et al., 1999). Since then, integrated seismic surveys with both reflection and refraction methods have been common in Japan, and detailed crustal sections were presented for NE Japan and Hokkaido (e.g. Iwasaki et al., 2004; Sato et al. 2002).
Since 1985 the Australian Geological Survey Organisation (AGSO) has conducted a large program of deep seismic reflection surveys in off- and on-shore Australia. Several reviews (e.g., Clitheroe et al., 2000; Collins et al., 2003; Finlayson, 2010; Goleby et al., 1994) summarize the results of crustal and upper-mantle studies of Australia. Clitheroe et al. (2000) supplemented onshore refraction information with a systematic study of crustal structure using receiver functions at more than 60 stations across the continent. This data set was further augmented with off-shore refraction results by Collins et al. (2003) to produce a revised crustal thickness map. The latest compilation by Kennett et al. (2011) uses more than 150 receiver function results and information from more than 10,000 km of seismic reflection profiling to produce a much more detailed map of depth to Moho. In general, within Archean regions of Western Australia the Moho appears to be relatively shallow with a large velocity contrast, while the Moho is significantly deeper under the Proterozoic North Australian platform, under central Australia and under Phanerozoic southeastern Australia.
To understand the processes involved in continental collision, New Zealand, being deformed by the oblique collision of several plates, was the object of a joint US–New Zealand geophysical project SIGHT (South Island Geophysical Transect), undertaken in 1995–1996. The project involved both active source and passive seismology (Davey et al., 1998). Another project in 2001–2002 investigated the Central Volcanic Region or Taupo Volcanic Zone (TVZ) occupying the northern half of the North Island of New Zealand (Harrison and White, 2006; Stratford and Stern 2008).
In North America, LITHOPROBE projects investigated systematically the crust and uppermost mantle of Canada (e.g., Clowes et al., 2005). The results are published in a series of interdisciplinary summary volumes of the Canadian Journal of Earth Sciences for each particular transect (e.g., Hajnal et al., 2005; Ludden and Hynes, 2000; Wardle and Hall, 2002). Numerous detailed seismic studies were undertaken in the western United States along the coast, of which the projects SHIPS around Seattle (Snelson et al., 2007), BASIX around San Francisco (Brocher et al., 1991) and LARSE around Los Angeles (Fuis et al., 1996, 2001) investigated the crustal structure in earthquake-prone regions in much detail. A similar project, JTEX, targeted the crustal structure beneath a large continental silicic magmatic system in the Jemez Mountains of New Mexico (Baldrige et al., 1997). The “Deep Probe” experiment of 1995 (Gorman et al., 2002; Snelson et al., 1998) followed approximately the 110th meridian and spanned a distance range of 3000 km from the southern Northwest Territories to southern New Mexico targeting the velocity structure between the base of the crust and depths of the mantle transition zone near 400 km depth. Also in 1995, the interdisciplinary geoscience project CD-ROM (Continental Dynamics – ROccy Mountain) was created with the aim of realizing a detailed crustal and upper mantle interdisciplinary investigation of the Southern Rocky Mountains from central Wyoming to central New Mexico, approximately along the 101st meridian, involving integrated studies based on tectonics, structural geology, regional geophysics, geochemistry, geochronology, xenolith studies and seismics (Karlstrom and Keller, 2005). The seismic component involved seismic reflection and seismic refraction experiments in 1999 as well as teleseismic studies along a 1000 km long north–south directed traverse along the southern Rocky Mountains (Fig. 18).
In Central and South America, several seismic profiling projects investigated the area of the deep drilling project in the Chicxulub impact crater, at the coast of the Yucatan peninsula, Mexico (e.g., Snyder
Fig. 17. Onshore recording of off-shore airgun shots. This type of profiling with dense arrays of onshore stations allows for hitherto unknown density of information, which may lead the way to full waveform inversion of seismic structure. After Iidaka et al. (2004).
et al., 1999), northern Venezuela and the Carribean (Schmitz et al., 2002, 2005, 2008), and central Brazil (Berrocal et al., 2004). The majority of seismic investigations in South America have been carried out around the Andes mountains in Chile and the adjacent Pacific Ocean, mainly by the German Collaborative Research Center 267 (CRC 267) “Deformation Processes in the Andes” at Berlin and Potsdam, which was funded by the German Research Society for 15 years and strongly supported by various South American research facilities (Giese et al., 1999). In the years 1994 to 1996 three major seismic projects PISCO 94, CINCA 95, and ANCORP 96 were conducted in northern Chile and adjacent parts of Bolivia and Argentina (e.g., ANCORP Working Group, 2003). Also in 1995, within the multidisciplinary CONDOR (Chilean Offshore Natural Disaster and Ocean Environmental Research) project, a marine operation investigated the Valparaiso Basin offshore from Valparaiso, central Chile, along two marine–seismic reflection and refraction profiles north and south of latitude 33°S (Flueh et al., 1998). In 2000, southern Chile became the target of the Collaborative Research Center CRC 267 at Berlin and Potsdam, Germany. The first project ISSA 2000 consisted of a temporary seismological network and a seismic-refraction profile. It was followed in 2001 by the project SPOC (Subduction Processes Off Chile, e.g., Krawczyk and the SPOC Team, 2003), which involved a shipborne geophysical experiment and two predominantly land-based onshore–offshore experiments. The seismic arrays also recorded teleseismic, regional and local events. Furthermore broadband stations were deployed along some of the lines (Oncken et al., 2006).
During the 1990s digital equipment also became available for marine seismic research, with both digital streamers to study details of sedimentary structure beneath the ocean bottom and a new generation of ocean-bottom seismometers, which were built in large numbers. Underwater explosions as energy sources had been banned almost completely; instead powerful airgun arrays became available.
Fig. 18. Record section from the CD-ROM experiment in central USA, here the large number of available Texan instruments were used to ensure very dense recording at 800 m intervals. From Snelson et al. (2005); reproduced by permission of American Geophysical Union.
which provide sufficient energy to be recorded over hundreds of kilometers. Seismic research projects in the 1990s and 2000s were largely devoted to the investigation of details of the mid-ocean rises, such as the East Pacific Rise, and the subduction zones.
For example, projects around the Galapagos hot spot and the Cocos–Nazca Spreading Center (e.g., Sallares et al., 2003) and the Garrett Fracture Zone (Grevenmeyer et al., 1998) were undertaken. A large number of Japanese marine surveys, some of which also involved onshore recordings, targeted the trench system in the Philippine Sea and northwestern Pacific Ocean around Japan. In particular, the Nankai Trough and the Japan trench south and east of Honshu has been intensively investigated (e.g., Kodaira et al., 2000; Miura et al., 2003; Tsuru et al., 2002). A large number of marine surveys were made around the Caribbean, the Mediterranean, and Indonesia subduction systems.
A large number of seismic reflection surveys studied the margins of Australia (Finlayson, 2010). In the Indian Ocean the Ninetyeast Ridge was also investigated (Grevenmeyer et al., 2001a).
In the Atlantic the Mid-Atlantic Ridge (e.g., Grevenmeyer et al., 2001b; Hooft et al., 2000), and the continent–ocean transitions were major targets (Fig. 19). In particular in the northern Atlantic Ocean projects targeted the microcontinents and intervening basins off Ireland (e.g., Mackenzie et al., 2002), the Norwegian margin (e.g., Raum et al., 2002), the Faeroe–Iceland Ridge (e.g., Smallwood et al., 1999), the northwestern Barents Sea southeast of Spitsbergen (Brevik et al., 2002), the East Greenland Ridge (Dossing et al., 2008), and eastern Greenland (e.g., Dahl-Jensen et al., 1998; Holbrook et al., 2001; Schmidt-Aursch and Jokat, 2005). The Arctic-2000 transect in the Arctic Ocean between 164°W and 165°E (Lebedeva-Ivanova et al., 2006) and the investigation of the North American margin off Canada (e.g., Funck et al., 2003) were other large marine projects.
In 2010 the first refraction seismic experiment was carried out in the interior of Greenland as part of the Topo-Greenland project. An international team of six scientists, led by the University of Copenhagen, acquired data from 8 shot points with 350 Texan stations from PASSCAL in two months on the ice cap along a 320 km long profile at 71°N from eastern Greenland across the center of the ice cap. The data is of very high quality and indicates a gradual deepening of the Moho to ca. 50 km depth below the center of Greenland (cf. Artemieva and Thybo, this volume). A recent Japanese experiment in Antarctica has provided explosion data for full crustal studies. The interpretation indicates that the Moho is ca. 40 km deep below a highly reflective lower crust in Eastern Dronning Maud Land, Antarctica (Kanao et al., 2011).
Special sessions on large national and international seismic programs became important components of the annual meetings of the various national and international geoscientific organizations, such as, e.g. the American Geophysical Union and the European Geophysical Union. Special meetings of earth scientists at regular intervals also continue such as the meetings of the special subcommission of the ESC (European Seismological Commission) “Structure of the Earth’s Interior”, the series of workshops held by Commission on Controlled Source Seismology (CCSS), and the series of “International Symposia on Deep Seismic Profiling of the Continental Lithosphere” which continues biannually into the 21st century with meetings at Ulvik, Norway, in 2000 (Thybo, 2002), in Taupo, New Zealand, in 2003 (Davey and Jones, 2004), in Mont-Tremblant, Quebec, Canada, in 2004 (Snyder et al., 2006), in Hayama, Japan, in 2006 (Ito et al., 2009), in Saariselkä, Finland, in 2008 (Thybo et al., 2011), and in Cairns, Queensland, Australia, in 2010.
9. Passive seismology: receiver based studies
Although some parts of the world have managed to sustain progress in controlled source seismology, particularly reflection profiling, in recent years the regulatory environment in many countries can make large explosions for refraction studies difficult. Since the 1990s developments in seismic instrumentation have meant that, rather than being restricted to a few high-quality stations, broad-band seismic recording of high-fidelity ground motion has become widely available at observatories and for portable instrument deployments, with increasing numbers of stations. Such deployments now cover broad continental areas including difficult environments such as deserts and the frozen continent of Antarctica.
The ready availability of high-quality seismological data has lead to the development of a range of techniques oriented towards the seismic structure near recording stations, particularly for the crust and the crust–mantle transition (Moho). Such approaches mostly exploit the wave conversions and reverberations that accompany the onset of the seismic signal.
The most popular approach has been the use of receiver functions, which emphasize conversions between P and S waves induced by discontinuities in seismic wavespeed (see, e.g., Kennett, 2002, Section 28.2). For a group of related seismic phases the three components of ground motion acquire the same spectral contribution from the source, and will also share the propagation path until the local seismic discontinuities. Thus, in principle, deconvolution of one component of ground motion by another will remove the contribution from the source and much of the propagation path. The resulting traces termed receiver functions by Langston (1977) then bear the imprint of the local wave propagation through, e.g., P to SV wave conversions. For an incident P wave from a distant source on a stratified crust, P–SV conversions will appear dominantly on the radial component of motion (directed along the great-circle between source and receiver), with a smaller contribution on the vertical component. The conversions can then be emphasized by deconvolving the radial by the vertical component to produce a radial receiver function. There are merits in making allowance for the influence of the free surface through a rotation of components (Vinnik, 1977) or a transformation (Reading et al., 2003b) since these procedures diminish the influence of the main P wave on the receiver function trace. A comparable approach for incident S waves exploits conversions to P that lie dominantly on the vertical component. For such S wave receiver functions the P conversions arrive before the main arrival and hence separate from any reverberations (Farra and Vinnik, 2000). This means that even though the frequency of S is lower and structural resolution is reduced, results can be obtained from highly reverberative stations where P receiver functions are unhelpful (e.g. Ford et al., 2010).
There are many ways of implementing the receiver-function deconvolution in either the time domain (e.g. Julià et al., 2000; Ligorria and Ammon, 1999) or in the frequency domain (e.g., Ammon, 1991; Helffrich 2006; Park and Levin, 2000). Where the Moho transition is sharp, a distinctive pattern of conversions is generated and crustal properties for a simple one-layer model can be extracted by stacking (Zhu and Kanamori, 2000). In more complex situations with gradient zones, a common approach is to match observed and computed receiver functions for specified models, normally some class of stratified structure. Because the crust–mantle transition is generally the largest contrast in seismic wavespeeds, the Moho conversion is commonly prominent, and the depth to the transition and its character can therefore be extracted.
Alternatively with sufficient station density, the various paths sampled by the receiver functions can be migrated to produce a direct image in depth (e.g. Bertrand et al., 2002; Chen et al., 2006; Morozov and Dueker, 2003). A related approach migrates the full scattered wavefield across a dense network (Bostock and Rondenay, 1999, Rondenay et al., 2002).
Much depends on the quality of the receiver function results. Stacking over many sources improves the stability of the trace and is routinely used. The use of sources over a wide range of azimuths allows a test of a simple stratified model; dipping interfaces can be picked up by distinctive azimuth patterns (see, e.g., Peng and Humphreys, 1997; Bannister et al., 2003).
The dependence of the receiver function trace on structural parameters is strongly non-linear, which can cause considerable difficulties with simple linearized inversion (Ammon et al., 1990) with a strong dependence on the starting model. Non-linear inversion schemes with a broad exploration of parameter space (e.g. Sambridge 1999a; Sandvol et al., 1998a; Shibutani et al., 1996) can overcome such difficulties, and have the advantage of producing an ensemble of models with satisfactory fit as well as a single best-fit model. The ensemble enables the nature of the constraints on structure to be more clearly expressed (Sambridge, 1999b).
Irrespective of the inversion scheme used to match receiver function traces, the position of seismic discontinuities are better resolved than the absolute velocities. In some circumstances, it is possible to use local surface wave dispersion, and to conduct a joint inversion of receiver functions and dispersion to improve controls on wavespeed and the nature of discontinuities (e.g., Chang et al., 2004; Tkalcic et al., 2012).
A recent innovation in seismological work has been the exploitation of the ambient seismic noise field to extract structural information (Shapiro and Campillo, 2004). The stacked autocorrelation of continuous ground motion at a pair of seismic stations extract the Green’s function, i.e., the response at one station due to a source at the other. Generally, the surface wave portion can be quite well recovered over frequency ranges that are helpful for crustal studies. With a network of stations effective surface wave tomography can be conducted (e.g., Shapiro et al., 2005 and Moschetti et al., 2010 for the USA; Yang et al., 2007 and Stehly et al., 2009 for Europe; Saygin and Kennett, 2010, 2012 for Australia). Localized dispersion information can then be extracted to supplement receiver function results (e.g., Tkalcic et al., 2012). Further, in principle, the stacked autocorrelation of the ground motion at a single station provides information on the reflection structure beneath the site. This approach detects the strongest discontinuity, often the Moho, and can provide a useful supplement to other classes of results with only a relatively brief deployment of a month or two (Gorbatov et al., 2013).
We provide below a survey across the globe of the development of passive seismic methods for crustal studies, to 2005, as for the controlled source work. The wide repertoire of receiver-function tools and the dramatic spread of broad-band seismic stations has meant that there has been a veritable explosion in crustal studies using this approach. More than 100 papers on crustal structure and the Moho using receiver function methods were published in 2010–2011, and the flow shows no sign of abating. Indeed receiver function studies play an important role in many of the other papers in this volume.
A related method to receiver functions is the exploitation of P wave reflections from the Moho associated with arrivals from distant earthquakes. For distances in the range 35–50° an S wave is able to couple to P waves in the crust on reflection at the surface. Such waves have been exploited by Chen et al. (this volume) to map out Moho thickness variations in Tibet.
### 9.1. Regional passive seismic studies to 2005
In North America, receiver function studies commenced with studies of individual stations or groups of stations (e.g. Ammon et al., 1989; Cassidy and Ellis, 1993; Langston, 1977; Owens et al., 1987) and then exploited existing dense networks as in southern California (e.g. Ichinose et al., 1996; Zhu and Kanamori, 2000). With advent of large deployments of portable broad-band instruments, receiver functions have been used to map variations in lithospheric structure and Moho depth over substantial areas (e.g. Sheehan et al., 1997). The Cascadia region was an early focus of activity (Cassidy and Ellis, 1993; Langston 1977, 1979; Rondenay et al., 2002), and also the Basin and Range province and its surroundings (Özalaybey et al., 1997; Peng and Humphreys, 1997, 1998; Sheehan et al., 1997). A number of studies in California revealed the complexity of crustal structure and notable Moho topography (Baker et al., 1996; Jones and Phinney, 1998; Zhu and Kanamori, 2000; Lewis et al., 2000). Receiver functions have enabled new Moho information to be collected in difficult northern terrains in Alaska and the Yukon (Ai et al., 2005; Lowe and Cassidy, 1995). The value of adding other classes of regional seismic information was recognized by Langston (1994), and many subsequent studies use receiver functions in association with surface wave dispersion or other results, including controlled source studies where available. A major project was the CD-ROM experiment of 1999, which provided a wealth of active and passive source data on the Southern Rocky Mountains region (Burek and Dueker, 2005; Sheehan et al., 2005).
Work in Canada started with a broad survey across the national seismic network (Cassidy, 1995a), with more detailed work on the Cordillera (Cassidy, 1995b; Lowe and Cassidy, 1995). Studies have
been directed at the nature of transitions in the Precambrian Shield (Eaton and Hope, 2003; Zelt and Ellis, 1999) and the structure of the High Arctic region (Darbyshire, 2003). Broad-scale studies in North America have combined information from both permanent and portable stations (Li et al., 2002; Ramesh et al., 2002).
Early studies in Central America concentrated on the Caribbean islands (e.g. Cuba, Toiran, 2003) and the connection to South America (Niu et al., 2007). Baumont et al. (2001) used receiver functions in the central Andes, where studies of Moho topography were later undertaken by Yuan et al. (2002). Receiver functions have played an important role in constraining crustal structure across Brazil (An and Assumpção, 2004; Assumpção et al., 2002; Franca and Assumpção, 2004; Kruger et al., 2002). Portable instruments in Patagonia provided the first glimpse of crustal structure in this region (Lawrence and Wiens, 2004).
In Australia broad-band deployments started with the SKIPPY experiment that was exploited by Shibutani et al. (1996) and van der Hilst et al. (1998) to provide enhanced crustal thickness information in eastern Australia in areas where there had been no prior refraction work. The full continental deployment was used by Clitheroe et al. (2000) to add over 60 receiver function results for Moho depth and nearly double the available information across the continent. Subsequently, a set of detailed studies were made across the cratons and sutures in Western Australia (Goleby et al., 2006; Reading and Kennett, 2003; Reading et al., 2003a,b), and revealed systematic patterns of Moho variation between the cratonic sub-terranes. In New Zealand receiver function inversion (Bannister et al., 2004) has helped to elucidate the complex crustal structure and enigmatic Moho across the Taupo volcanic zone.
The Kaapvaal seismic experiment in southern Africa covered a broad sweep across the cratons and mobile belts with portable seismic stations, and led to a number of receiver function based studies of crustal thickness in Southern Africa (Harvey et al., 2001; Midzi and Ottemoller, 2001; Nair et al., 2006; Nguuri et al., 2001; Niu and James, 2002; Stankiewicz et al., 2002; Wright et al., 2003). In eastern Africa, there was early work combining information from receiver functions and surface wave dispersion (Last et al., 1997). Extensive deployments of portable instruments have supplemented the limited number of permanent stations, and have begun to reveal the nature of the East African rift along its length (Dugda et al., 2005); such studies have been carried much further since by a number of groups. In northern Africa, the first results came from the work of Sandvol et al. (1998a, 1998b). Deployments of new broad-band stations around the Mediterranean have improved knowledge of crustal structure in the region (Marone et al., 2003; van der Meijde et al., 2003).
There has been considerable use of receiver function analysis in the Middle East and Arabia, with early work by Sandvol et al. (1998a) and Levin and Park (2000). Although most receiver function studies employ seismic events at teleseismic distances (> 30°), Park and Levin (2001) were able to demonstrate effective results in Arabia using regional events. Other studies of the Arabian Shield include Sandvol et al. (1998b), Kumar et al. (2002), Al-Damegh et al. (2005), Julià et al. (2003) and Tkaličić et al. (2006), who also included surface wave dispersion results. The structure of the Sinai sub-plate was studied by Hofstetter and Bock (2004).
In Europe, Kind et al. (1995) showed the value of receiver function results with analyses for the stations of the German regional seismic network. Bertrand and Deschamps (2000) examined the complex structure of the southern French Alps. The Appenines in Italy were studied by Agostinetti et al. (2002) and Mele and Sandvol (2003) with a clear demonstration of a deep crustal root. Ottemoller and Midzi (2003) used receiver functions to expand coverage of crustal structure in Norway. Many of the studies in Europe have been made with experiments designed explicitly to exploit receiver function information, these vary from modest scale in Bohemia (Geiser et al., 2000; Wilde-Piorko et al. 2005) and Romania (Diehl et al., 2005) to very large-scale deployments as in TOR that had stations from northern Germany to the Baltic Shield and SVEKALAPKO in Finland (Alinaghi et al., 2003; Goser et al., 1999; Wilde-Piorko et al., 2002). The TRANSALP experiment employed both controlled source and passive seismic methods in a profile across the eastern Alps (Kummerow et al., 2004). In the Hellenic arc Li et al. (2003) were able to image crustal thickness variations and also follow the oceanic Moho of the descending African plate beneath Crete. Receiver function results have also proved valuable in the British Isles, where there were limited controls from controlled source results (Champion et al., 2006; Tomlinson et al., 2003, 2006), and in Ireland (Landes et al., 2006). Receiver functions have been extensively used in studies of the crust in Iceland (Du and Foulger 1999, 2001; Du et al., 2002; Schindlwein, 2006) even through the relatively high natural seismic noise means that careful processing is required.
A number of studies have been made using receiver functions for crustal structure and Moho depth in Turkey (Çakır and Erduran, 2004; Çakır et al., 2000; Saunders et al., 1998) and in Iran and the Caspian Sea region (Doloei and Roberts, 2003; Hatzfeld et al., 2003; Mangino and Priestley, 1998). Central Asia has been the focus of studies in the Tien Shan (Bump and Sheehan, 1998; Vinnik et al., 2004), and particularly in Tibet (Galvé et al., 2002; Wittlinger et al., 2004) with many later works often linked to controlled source information. The Moho beneath the various parts of the Indian Shield has been studied by Zhou et al. (2000), Kumar et al. (2001, 2004), Sarkar et al. (2003), Rai et al. (2003), Ramesh et al. (2005a) and Tseng and Chen (2006) complementing the earlier controlled source seismic profiles. The evolution of the Moho under the Himalayas has been addressed by Rai et al. (2006) with receiver function constraints. In East Asia, early crustal studies using receiver functions were made in the Philippines (Besana et al., 1995), and subsequently in China (Mangino et al., 1999; Wu et al., 2001) and Taiwan (Kim et al., 2004; Tomfohrde and Nowack, 2000). Receiver Functions in Japan have provided control on Moho depth in southwest Japan (Shiozmi et al., 2006; Yamauchi et al., 2003). The extensive station installations in Japan since the 1995 Kobe earthquake have been exploited to produce high resolution images of the Moho on the islands and in the descending plates (Ramesh et al., 2005b). Chang and Baag (2005) have combined receiver function results and surface wave dispersion in a study of South Korea. In the Russian Far-East, Levin et al. (2002) have made use of both permanent and portable stations to develop and image of crustal structure and Moho depth in Kamchatka.
The presence of ice causes additional reverberations in receiver functions so good control is required on ice thickness to secure reliable results with the P-receiver functions, S-receiver functions with their earlier conversions can be helpful in this regard (Hansen et al., 2009). Nevertheless, receiver function analysis has provided substantial extensions of knowledge of the Moho in both Greenland and Antarctica. In Greenland, Dahl-Jensen et al. (2003) exploited the records from a number of specially deployed stations to provide a general pattern of Moho variation. However, subsequent S-wave receiver functions gave different depths to the Moho in some locations, probably because the P- and S-wave receiver functions preferably sample two different discontinuities (Artemieva and Thybo, 2008). Work in Antarctica commenced with receiver function studies near the coast (Kanao, 1997), and across the transition between West and East Antarctica using portable stations (Bannister et al., 2003). Reading (2004) used Antarctic receiver function results in a comparison with Australia, as a step towards reconstructing Gondwanan lithosphere. Passive seismic methods continue to play a major role in studying the crustal structure of Antarctica, through analysis of portable instruments deployed deep into the continent notably TAMSEIS (Lawrence et al., 2006) and the more recent GAMESEIS (Hansen et al., 2010) where both receiver function and surface wave dispersion were employed. Such studies have dramatically improved knowledge of Moho depth in Antarctica (see Baranov et al., this volume).
10. Summary and conclusions
An overview of interpretation methods used in the 1990s for interpretation of combined active and passive studies was given at one of the CCSS (Commission on Controlled Source Seismology) workshop meetings, held in Dublin in 1999 (Jacob et al., 2000). Introduced in the 1970s (Červený and Horn, 1980; Červený et al., 1977; McMechan and Mooney, 1980; Spence et al., 1984), the ray-tracing method has remained an almost universal method for data interpretation. The most commonly used programs include ray-theoretical and Gaussian-beam synthetic seismograms (Červený, 1985) and the ray-theoretical ray tracing algorithm by Zelt and Smith (1992). Ray-tracing using a finite-difference approximation of the eikonal equation was first introduced for calculation of first arrival times, and later improved in the 1990s to also calculate travel times of reflected arrivals and second arrival refractions from prograde traveltime branches (Hole and Zelt, 1995). In addition commonly used methods in the processing of near-vertical incidence seismic reflection data, such as normal moveout correction and migration, were applied to refraction/wide-angle reflection data (e.g., Lafond and Levander, 1995; Pilipenko et al., 1999, 2003). In the 1990s, theory and associated computer programs on traveltime tomography developed by Colin Zelt and others became popular and evolved to a method widely applied as a first approach to model large amounts of data as well as a check of the validity of a model (Zelt, 1998, 1999). Today there is hardly a publication on crustal and upper mantle interpretation which does not first apply a tomographic approach to the seismic data, before refined ray-tracing modeling is applied (for example, interpretations of the Polonaise and Celebration 2000 data, see e.g., Guterch et al., 2003a,b).
From the 1990s, large-scale teleseismic tomography projects (so-called passive studies based on long-term recording of seismic arrivals from teleseismic earthquakes) were carried out in association with large-scale seismic refraction programs (so-called active source studies based on records of waves from controlled sources, such as quarry blasts, borehole and underwater explosions, vibrators or airguns), thus extending crustal and uppermost mantle research to greater depth ranges. A few examples of such projects are the KRISP and EAGLE investigations of the East African Rift System in Kenya (Fuchs et al., 1997; Prodehl et al., 1994) and Ethiopia (Maguire et al., 2003), the onshore–offshore investigations of the Andean region in South America (e.g., ANCORP Working Group, 2003; Flueh et al., 1998; Giese et al., 1999; Krawczyk and the SPOC Team, 2003; Oncken et al., 2006; Rietbrock et al., 2005), the INDEPTH expeditions to Tibet (e.g., Brown et al., 1996; Nelson et al., 1996; Zhao et al., 1993, 1997, 2001), and the CD-ROM project in the Southern Rocky Mountains (Karlstrom and Keller, 2005). Other large-scale projects such as the SKIPPY experiments in Australia (Kennett, 2003; van der Hilst et al., 1994, 1998), and subsequent developments, were carried out after refraction studies had been completed. The inversion of the different aspects of the seismic wavefield to produce images of seismic wavenoises has developed in many ways (see, e.g., Kennett 2002, Part V). Full 3-D inversion schemes are now available for both travel-time from body waves (e.g. Gorbatov and Kennett, 2003) and the waveforms of surface waves (e.g. Fichtner et al., 2009).
Receiver function methods (Langston, 1977; Vinnik, 1977) have taken on increasing importance in recent years as a contribution to crustal studies. P-wave receiver function analysis developed in the 1980s and S-wave received functions (from the late 1990s) give good control on major discontinuities in seismic wavenoises such as the Moho. Station deployments of a few months are sufficient in many locations, but the quality of receiver function results are enhanced by longer durations of recording. The ready accessibility of seismic data from permanent stations through international data centers, and the expansion of deployments of portable instruments with high-quality sensors is providing crustal-structure data in many areas where prior controlled source studies were patchy or absent.
Mainly on regional scales, reviews on seismic data and results have been repeatedly published, as was summarized in Tables of Prodehl and Mooney (2012), including Moho and other contour maps (e.g., Artemieva and Meissner, 2012; Artemieva and Thybo, 2008; Belyaevsky et al., 1973; Braile et al., 1989; Collins et al., 2003; Finlayson, 2010; Freeman and Muller, 1992; Giese et al., 1976; Grad et al., 2009; Healy and Warren, 1969; Kosminskaya, 1969; Li and Mooney, 1998; Meissner, 1986; Morelli et al., 1967; Pavlenkova, 1996; Tesarou et al., 2008; Thybo, 2000; Warren and Healy, 1973; Woollard, 1975). New compilations for different continents, oceans, and their large parts are presented in this volume. Recent efforts to produce Moho maps for the continents have used a wide range of information, building strongly on refraction and reflection results, but using also receiver functions and gravity information to fill-in areas and link results (e.g. Grad et al., 2009 and Molinari and Morelli, 2011 for Europe, Keller et al., 2005 for the western United States, and Kennett et al., 2011 for Australia).
The idea of compiling all data available world-wide was already born shortly after Mintrop’s first review, in the early 1950s when, e.g., Macelwane (1951) and Reinhardt (1954) compiled and published all hitherto available explosion seismic data in tables, and when Class and Behnke (1961, 1963) constructed world-wide crustal cross sections, based on the knowledge obtained until the end of the 1950s. A tabular collection of then known facts of physics in general was published by the Springer Publishing Company (Heidelberg-New York-Tokyo) in the early 1950s in the series of handbooks “Landolt–Börnstein”: Numbers and Functions from Natural Sciences and Techniques, of which Volume III (Bartels and ten Bruggencate, 1953) was dedicated to astronomy (editor P. ten Bruggencate) and geophysics (editor J. Bartels) and appeared in 1952.
Subsequent worldwide overviews on the seismic velocity structure of the lithosphere obtained from controlled-source seismic data can be found in monographs, which are not readily available (e.g., Reinhardt, 1954; Soller et al., 1981; Steinhart and Meyer, 1961). In the early 1980s, the Springer Publishing Company edited a new series of the “Landolt–Börnstein” handbooks presenting a worldwide overview on Natural Sciences and Techniques. Group V was dedicated to Geophysics and Space Research, with Subvolume V/2 in particular to Geophysics of the Solid Earth, the Moon and the Planets. In this volume V/2 a world-wide compilation of explosion seismic data on crust and uppermost mantle structure was published in tabular form as representative velocity–depth functions for the crust together with the corresponding location maps for Europe, North America, and the rest of the world (Prodehl, 1984).
In the late 1990s and early 2000s, Lee et al. (2002) compiled the International Handbook of Earthquake and Engineering Seismology, in which Mooney et al. (2002) provided an overview of the results for the continents available until the end of the 1990s, while Minshull (2002) gave an overview on the achievements of marine seismology, probing the Earth’s crust underneath oceans and continental margins. The most recent worldwide history and results of controlled-source seismology experiments and their main results was compiled by Prodehl and Mooney and published in 2012 by the Geological Society of America as Memoir 208. It contains a series of crustal thickness contour maps for the world (Fig. 20) and for the individual continents, accompanied by maps showing the individual data points, based on the data points available in the data base until about 2008 (Fig. 21).
More than a decade after Prodehl’s and Soller’s global compilations, a $2^\circ \times 2^\circ$ cell model called 35MAC was constructed (Nataf and Ricard, 1996). It was derived using both seismological data and non-seismological constraints such as chemical composition, heat flow, and hotspot distribution, from which estimates of seismic velocities and the density in each layer were made. Two years later, CRUST 5.1 was introduced (Mooney et al., 1998) incorporating twice the amount of active source seismic data as 35MAC. At this time also regional compilations of depth-to-Moho values for the Middle East
Subduction zone
Mid-Oceanic Ridges and Transform Faults
Oceanic Crust
Continental Crust
Shelf
Mesozoic-Cenozoic (250-0 Ma)
Late Paleozoic (400-250 Ma)
Early Paleozoic (543-400 Ma)
Neoproterozoic (1.0-0.54 Ga)
Mesoproterozoic (1.8-1.0 Ga)
Paleoproterozoic (2.5-1.6 Ga)
Archean (3.8-2.5 Ga)
and North Africa were published (Seber et al., 2001). The $5^\circ \times 5^\circ$ resolution of CRUST 5.1, however, was still too coarse for regional studies. In 2000, CRUST 2.0 updated the ice and sediment thickness information of CRUST 5.1 at $1^\circ \times 1^\circ$ resolution, while basically redistributing the crustal thickness data onto a $2^\circ \times 2^\circ$ grid (Bassin et al., 2000).
Without the addition of a significant amount of new data, however, the redistribution of information available for CRUST 2.0 did little to clarify the crustal structure at higher resolution. Therefore, recently announced CRUST 1.0, that is now under final testing, is expected to overcome many problems of the two early global crustal models. Additionally, the Global Seismic profiles Catalog (GSC) is being assembled since the 1990s at the Office for Earthquake Studies, U.S. Geological Survey, in Menlo Park, California under the leadership of Walter Mooney and Shane Detweiler. This continuously growing data base, having assembled more than 50 years of data on seismic crustal and uppermost-mantle structure studies, had already throughout the 1990s enabled the construction of various worldwide syntheses of crustal parameters or the compilation of syntheses on selected continental and oceanic areas (e.g., Christensen and Mooney, 1995; Chulick and Mooney, 2002; Mooney, 2002, 2007; Mooney et al., 1998). Similar studies have been undertaken by many other research groups worldwide. This volume presents these regional databases, which include the results of the most recent studies as well as earlier results, which were not always published in easily accessible places. Finally, regional databases are assembled and summarized in a new global crustal database presented in this volume.
Acknowledgments
The component of the paper reviewing controlled-source seismology research is partly based on Geological Society of America Memoir 208 (Prodehl and Mooney, 2012). The authors thank Walter Mooney and Alex Ferguson, Office for Earthquake Studies of the U.S. Geological Survey at Menlo Park, California, for compiling and drafting Figs. 20 and 21. The Geological Society of America provided permission to republish the figures.
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Reproductive biology of blacktip grouper, *Epinephelus fasciatus*, in Sulu Sea, Philippines
Hiroaki MISHINA\textsuperscript{1,3}, Benjamin GONZALES\textsuperscript{2}, Honorio PAGALIAWAN\textsuperscript{2}, Masato MOTEKI\textsuperscript{1*} and Hiroshi KOHNO\textsuperscript{1}
**Abstract**: The maturation size, spawning season, sex ratio and hermaphroditism were studied in blacktip grouper, *Epinephelus fasciatus*, caught from Sulu Sea and landed at the Puerto Princesa City Market, Palawan, Philippines. Histological observations on gonads extracted from 1,119 individuals (105–330 mm in total length, TL) showed 542 individuals (125–280 mm TL) to be females, with 347 (153–330 mm TL) males, 139 (148–310 mm TL) hermaphrodites and 91 indeterminable individuals. Spawning occurred year round, although the gonadosomatic indices of females declined at the ends of both the dry (May) and rainy (October) seasons. The minimum size at maturity was determined to be 138 and 175 mm TL for females and males, respectively. Hermaphrodites were judged to function as males, because 127 out of 139 hermaphroditic individuals possessed mature testes. The sex ratio was 0.640 or 0.897 (hermaphrodites included as functioning males).
**Keywords**: *Epinephelus fasciatus*, *Spawning season*, *Sex ratio*, *Hermaphrodite*, *Gonad development*
1. Introduction
Groupers belonging to the subfamily Epinephelinae are commercially important tropical/subtropical fishes in the Indo-Pacific Ocean, especially in southeast Asian countries. The reproductive biology of the group has been frequently investigated, including studies by SHAPIRO (1987: review of grouper reproduction), ABU-HAKIMA (1987: reproductive biology of *Epinephelus tauvina*), KUO et al. (1988: artificial sex reversal in *E. fario*), MISHINA and GONZALES (1994: reproductive biology of *Cromileptes altivelis*), TAN-FERMIN et al. [1994: artificial sex reversal in *E. suillus* (= *coioides*)], ADAMS et al. (2000: sex ratio of *Plectropomus leopardus*) and LEE et al. (2002: reproductive biology of *E. merra*). The blacktip grouper, *E. fasciatus*, is one of the most common and the most widespread *Epinephelus* species, ranging from the coast of East Africa to the southeastern Pacific Ocean (HEEMSTRA and RANDALL, 1993). The species’ reproductive biology of the species, including the spawning season, spawning behavior, sex ratio and seasonal changes of gonadosomatic index has been well studied, especially in Japan (MURAI et al., 1984; OKAMURA, 1991, 1992; HAZAMA, 1993; KAWABE et al., 2000). However, the study area has been limited to temperate/subtropical waters on the distributional margin of the fish. Moreover, no histological studies of the gonads have been carried out. Although the tropical waters around the Philippines are central to the species’ distribution, blacktip grouper being locally abundant and commercially important (INGLES and PAULY, 1984; KOHNO, 1987), little information is available on their
reproductive biology in that area. Therefore, this study investigated the maturation size, spawning season, sex ratio and hermaphroditism of *E. fasciatus* from the Philippines, based mainly on histological observations of the gonads.
2. Materials and Methods
Specimens used in the present study totaled 1,119 individuals (105–330 mm in total length, TL), having been caught by fishermen, using hook and lines, in Puerto Princesa Bay, depth of ca. 30 m, and landed at Puerto Princesa City Market, Palawan Island, Philippines, in the period from 1995 to 2000. Sampling was conducted irregularly from 1995 to 1998 and essentially monthly from 1999 to 2000. The TL and the body and gonad weights (*BW*, *GW*), measured nearest to 1 mm and 0.01 g, respectively, of each specimen were measured while fresh. Gonadosomatic index (GSI) was calculated as $GSI = \frac{GW}{(BW - GW)} \times 1,000$.
For sex determination and histological observation, extracted gonads were fixed in 10% buffered formaldehyde seawater solution formalin immediately after the samplings, and the middle portions were dehydrated by ethanol and embedded in meta-acrylic resin (Technovit 7100), sectioned at 6 μm, and stained with basic fuchsin and methylene blue. Gonad phases were defined by the most developed germ cells. Nomenclature for description of the stages of oogenesis and spermatogenesis was taken from YAMAMOTO et al. (1965) and OOTA et al. (1965), respectively. The criteria outlined by SADOVY and SHAPIRO (1987) were used in the diagnosis of protogynous hermaphroditism.
3. Results
3.1. Fish size and gonad development
Out of 1,119 individuals examined, 91 (8.1%) were not sexually determined even based on histological observations. The residual 1,028 were classified into three sexual categories: females, males and transitions.
The mean TL of females was 190 mm ($n = 542$, 52.7% of sex-determined specimens), ranging from 125–280 mm (Fig. 1) and the mean BW 115 g ranging from 30.4–366 g. Their ovaries were classified into the following five phases (Fig. 2), based on the most developed egg-cells in each ovary: phase 1—until peri-nucleolus stage (Fig. 2A); phase 2—until yolk vesicle stage (Fig. 2B); phase 3—until yolk globule stage (Fig. 2C); phase 4—until ripe-cell stage (Fig. 2D); phase 5—until atretic oocyte stage (Fig. 2E).
The mean of males were 230 mm ($n = 347$, 33.8%, range 153–330 mm TL) (Fig. 1) and 202 g (62.0–580 g BW), respectively. Their testes were divided into the following five phases, based on the most developed germ-cells in each testis (Fig. 3): phase 1—until spermatogonium stage; phase 2—until spermatocyte stage; phase 3—until spermatid stage; phase 4—until mature spermatozoa stage; phase 5—empty crypts with residual spermatozoa. In many males (344 out of 347 specimens), ovigerous lamella and an ovarian cavity were clearly apparent. Atretic oocytes were observed in the gonads of 109 males, and gonads of large males were covered with thick tunica.
Transitions numbered 139 (13.5%) with a mean TL and BW of 208 mm (range 148–310 mm) (Fig. 1) and 154 g (53.0–535 g), respectively. Transitional individuals possessed both the spermatozoa and oocytes as follows (Fig. 4): in a 180 mm TL specimen, peri-nucleolus stage oocytes and crypts filled with mature spermatozoa were observed, and ovarian lumen and sperm sinuses were also present (Fig. 4A);
and the yolk globule stage oocytes with crypts filled with spermatids were recognized in a 235 mm SL specimen (Fig. 4B). In most of the transitions (138 of 139), ovigerous lamella and an ovarian cavity were clearly apparent. Atretic oocytes were observed in the gonads of 39 transitions.
3.2. Sex ratio
Females comprised more than 80% of specimens of 100–150 mm TL, their ratio decreasing with growth to 15.7% of 250–300 mm TL specimens (Fig. 5). On the other hand, males were not identified among specimens < 150 mm TL but comprised 12.9% of 150–200 mm TL.
Fig. 3. Histological sections of male blacktip grouper, *Epinephelus fasciatus*, gonads. *spe*, spermatocytes; *spt*, spermatids; *spz*, spermatozoa. Arrows indicate spermatogonia.
Fig. 4. Histological sections of transitional gonads of blacktip grouper, *Epinephelus fasciatus* (A, 180 mm TL; B, 235 mm TL). *at*, atretic oocyte; *ol*, ovarian lumen; *po*, peri-nucleolus oocytes; *spt*, spermatids; *spz*, spermatozoa; *ygo*, yolk globule oocytes.
Fig. 5. Sex frequencies in blacktip grouper, *Epinephelus fasciatus*, caught at Palawan Island, Philippines, shown by 50-mm-TL-interval size classes. Open area, sex unidentified; shaded area, females; oblique-lines, males; horizontal-lines, hermaphrodites.
specimens, the ratio increasing with growth and reaching 80% of specimens of 300–350 mm TL. Transitions occupied about 10% of each size class greater than 150 mm TL.
3.3. GSI development with growth
The GSI values of females increased in specimens from ca. 140 mm TL, reaching the highest value (ca. 100) in specimens of ca. 200 mm TL and decreasing suddenly in specimens > 270 mm TL (Fig. 6). Ovarian developmental phase 1 appeared in specimens from 125–270 mm TL, phase 2 from 128–240 mm TL, phase 3 from 138–280 mm TL, phase 4 from 142–275 mm TL and phase 5 from 145–255 mm TL. Specimens determined as mature (developmental phases ≥ 3) showed GSI values from 2.0 to 100.0.
On the other hand, male GSI values were low, ranging from 0.1 to 16.0 (Fig. 7). Testicular developmental phase 1 appeared in specimens from 160–290 mm, phase 2 from 160–240 mm, phase 3 from 175–280 mm, phase 4 from 160–330 mm and phase 5 from 153–305 mm.
GSI values of transitions ranged from 0.1 to 14.7 (Fig. 8). Ovarian development in 127 specimens was recognized as phase 1, in 7 specimens as phase 2, in 5 specimens as phase 3 and 1 specimen as phase 5. Testicular development in
Fig. 6. Relationship between gonadosomatic index (GSI) and total length in female blacktip grouper, *Epinephelus fasciatus*, caught at Palawan Island, Philippines, with gonad developmental phases (see text).
Fig. 7. Relationship between gonadosomatic index (GSI) and total length in male blacktip grouper, *Epinephelus fasciatus*, caught at Palawan Island, Philippines, with gonad developmental phases (see text).
Fig. 8. Monthly changes of gonadosomatic index (GSI) in “female” (upper) and “male” (lower) hermaphroditic blacktip grouper, *Epinephelus fasciatus*, with gonad developmental phases (see text).
28 specimens was phase 3, being phases 4 and 5 in 72 and 27 specimens, respectively.
3.4. Seasonal changes of GSI and gonad developmental phase
The mean GSI values fluctuated from month to month, those in females varying from 2.3 in May to 19.9 in December and from 0.7 in March to 2.0 in August in males (Fig. 9). The mean GSI values were relatively low at the ends of both the dry (May) and rainy (October) seasons in both sexes.
Both female and male specimens with gonad developmental phases $\geq 3$ were found all year round (Fig. 10). In females, individuals possessing the gonad developmental phases $\geq 3$ occupied more than 70% in February, July and December, while in males those with the gonad developmental phases $\leq 2$ appeared only in January, May, June, August and October.
4. Discussion
The present study confirmed that the blacktip grouper, *Epinephelus fasciatus*, is a protogynous hermaphrodite. This is provided by the fact that transitional atretic oocytes were present within the testes and that sperm sinuses were found in the gonadal wall, all of which being features strongly indicative of protogeny (SADOVY and SHAPIRO, 1987). Furthermore, the gonadal and population structures of the species were characteristic of a monandric species (SADOVY and SHAPIRO, 1987; NAKAI and SANO, 2002); many males had gonads retaining the ovigerous lamella and an ovarian cavity, and bi-modal size frequency distributions were observed, in which modal size of females being less than that of males.
The spawning of blacktip grouper occurs year round in Palawan waters, Philippines, specimens of both sexes with gonad developmental phases $\geq 3$ appearing throughout the year. High GSI were maintained in both sexes year round with much higher values in females than in males. Spawning activities would decrease, however, at the ends of both the dry and rainy seasons (May and October) when female GSI values were lower.
In captivity in Japan, the spawning season of this species was reported as June-November in Kochi Prefecture (Okamura, 1992), June and July in Wakayama Prefecture (Hazama, 1993) and throughout the year at the Ogasawara (Bonin) Islands (Kawabe et al., 2000), the former two sites being temperate and the latter, subtropical. However, wild specimens caught by hook and line in Ogasawara indicated that the spawning season would be limited to April to June (Murai et al., 1984). According to Shapiro (1987), spawning occurs from September to February in New Caledonia, tropical southern hemisphere waters. These findings indicate that the spawning season of the species depends mainly on water temperature, higher temperatures having a prolonging effect; thus the spawning season is longer in lower latitude (tropical) waters. However, especially in captivity, the nutritional condition of the fish, as well as water temperature, would affect the spawning period, as pointed out by Kawabe et al. (2000).
Although sex was determined in specimens as small as 125 and 153 mm TL (females and males, respectively) in the present study, the smallest specimens with the mature gonads (developmental phases $\geq 3$) were 138 and 175 mm TL for the respective sexes. Therefore, the former sizes are recognized as the biological minimum size for each sex in blacktip grouper. Hermaphrodites, the smallest recorded being 148 mm TL, are believed to function mainly as males, because only a few (6 out of 139 specimens) possessed ovaries at developmental phases $\geq 3$, in contrast to those having testes of phase 3 or greater (127 out of 139 specimens).
Grouper sex ratios are known to be less than 1.0, males being fewer than females, because of protogynous hermaphroditism (Tan and Tan,
In the present study, out of 1,028 sex-determined specimens, female, male and hermaphrodite numbers were 542, 347 and 139, occupying 52.7%, 33.8% and 13.5%, respectively, resulting in a sex ratio of 0.640. Including the hermaphrodites as functioning male results in the sex ratio increasing to 0.897. The reported sex ratio of wild blacktip grouper at the Ogasawara Islands is 0.743 (Murai et al., 1984), compared with 1.238 in captivity in Kochi (Okamura, 1991, 1992).
In other grouper species, reported sex ratios are: 0.075 for Cromileptes altivelis (Mishina and Gonzares, 1994), 0.075 for Epinephelus tauvina (Abu-Hakima, 1987), 0.18–0.35 for E. guttatus and 0.53–1.0 for E. striatus (Colin et al., 1987), and 0.193 for E. morio (Brule et al., 1999). According to Heemstra and Randall (1993), the maximum sizes of the aforementioned species range between 700 and 1,000 mm TL. Although the sex ratio of these larger grouper species (maximum TL > 700 mm) is usually much lower than 1.0, it is generally higher (0.640–0.897) in blacktip grouper [maximum TL 400 mm, according to Heemstra and Randall (1993)]. Such differences in sex ratios between large and small grouper species may reflect different reproductive strategies. Further studies are necessary for confirmation of this.
Acknowledgments
We thank G. Hardy, Ngunguru, New Zealand, for critical comments on the manuscript. We also thank the staff of Puerto Princesa Campus, West Philippine University, venders of Puerto Princesa City Market and the D. Arcinas family in Perto Princesa for their contributions to our fish sampling.
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*Received April 25, 2006*
*Accepted May 29, 2006*
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Science-based ecosystem restoration for the 2020s and beyond
Science Task Force for the UN Decade on Ecosystem Restoration
Science-based ecosystem restoration for the 2020s and beyond
Science Task Force for the UN Decade on Ecosystem Restoration
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The views expressed in this publication do not necessarily reflect those of IUCN or other partnering organisations.
This report was produced under the Decade on Ecosystem Restoration Consortium Project with the support of the International Climate Initiative (IKI) under the Federal Ministry for the Environment, Nature Conservation, Building and Nuclear Safety (BMUB), Germany.
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Published by: IUCN, Gland, Switzerland
Copyright: © 2021 IUCN, International Union for Conservation of Nature and Natural Resources
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Citation: Science Task Force for the UN Decade on Ecosystem Restoration (2021). *Science-based ecosystem restoration for the 2020s and beyond*. Gland, Switzerland: IUCN.
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# CONTENTS
Acknowledgments vi
Executive summary vii
Introduction 1
Why we need the UN Decade on Ecosystem Restoration 4
Fundamental questions to achieve the goals of the Decade 5
- What does it mean to undertake ecosystem restoration? 6
- Why have many previous restoration efforts been only partially successful and what needs to change? 10
- How can individuals, groups and sectors contribute to effective ecosystem restoration actions? 11
- What are good starting points to implement long-lasting ecosystem restoration? 14
Key messages to inform the framework for the reversal of ecosystem degradation 17
1. Ecosystem restoration offers multiple benefits though they may be unevenly distributed 18
2. Key enabling conditions, particularly local norms and governance, can tip the balance towards restoration 19
3. Effective ecosystem restoration requires managing trade-offs equitably 23
4. Finance and market infrastructure is critical for scaling up and sustaining ecosystem restoration 25
5. Adaptive management and monitoring are keys to effective and long-term restoration actions 28
Recommendations: building the ecosystem restoration movement 31
Case studies and examples linked to key messages 35
Glossary 48
Literature cited 50
The IUCN-led Science Task Force provides an authoritative scientific reference for the UN Decade on Ecosystem Restoration, bringing together scientific experts and organisations working on terrestrial, freshwater and marine ecosystem restoration. It offers an overarching coordination and scientific rigour function in the production, collating and conveying of scientific information in support of the implementation of the UN Decade.
IUCN convened the Science Task Force to lead the production of this think piece through the development of concise and relatable key messages and supporting explanation on implementation of science-based ecosystem restoration for the Decade. IUCN expresses its deepest thanks to the members of the Science Task Force for their dedication and contributions to the production of this think piece. Through an active discussion and exchange they provided honest, science-based reflections about the topic. The wealth of their combined expertise and knowledge made it possible to identify the most critical aspects that need to be tackled for the Decade to succeed.
For 2021, the following members form the Science Task Force:
1. Luc Gnacadja, Founder and President, Governance and Policies for Sustainable Development (Benin) and Chair of the Science Task Force.
2. Mike Acreman, UK Centre for Ecology & Hydrology (United Kingdom).
3. Angela Andrade, Senior Climate Change and Biodiversity Director at Conservation International Colombia and Chair of IUCN Commission on Ecosystem Management (Colombia).
4. James Kairo, Chief Scientist, Kenya Marine and Fisheries Research Institute (Kenya).
5. Gam A. Shimray, Secretary General, Asia Indigenous Peoples Pact (Thailand).
6. Priya Shyamsundar, Lead Economist, The Nature Conservancy (USA).
7. Bernardo Strassburg, Executive Director, International Institute for Sustainability (Brazil).
The Science Task Force of the UN Decade on Ecosystem Restoration would like to thank the following experts for their contributions to the preparation of this think piece:
**Drafting team:** Robin L. Chazdon (lead), Daniella Schweizer, Victoria Gutierrez, Sarah J. Wilson, Renato Crouzeilles, Katherine N. Suding and Pedro H.S. Brancalion.
**Contributions on Indigenous Peoples’ and local communities’ rights:** Thomas Worsdell.
**Peer reviewers:** Angela Arthington, Rene Zamora, Ruchicka Singh and Nicole Schwab.
**Coordinator of the Science Task Force and oversight for this publication:** Adriana Vidal and Carole Saint-Laurent, respectively.
Actions that sustain and restore diverse and functioning ecosystems are essential for human safety, health and prosperity. With 2021–2030 declared as the United Nations Decade on Ecosystem Restoration, efforts are scaling up to halt, reverse and prevent future degradation of ecosystems worldwide, including natural, semi-natural, managed, production and urban ecosystems. Sustaining and restoring ecosystems requires public support and leadership from nation-states and civil society, underpinned by sound science, and is driven by the collective action of multiple actors whose actions impact and are impacted by ecosystems. To move the goals of the UN Decade on Ecosystem Restoration forward, the Science Task Force of the Decade presents this think piece, which addresses four fundamental questions, presents five key messages to bring effective and long-term action, and provides recommendations on how to build the ecosystem restoration movement.
**What does it mean to undertake ecosystem restoration?**
In short, restoration actions prevent further degradation and promote the recovery of impacted ecosystems in landscapes, freshwater systems and seascapes, while ensuring that restoring ecosystems in one region does not displace pressures and cause ecosystem degradation elsewhere. Different solutions exist in a continuum of restoration actions to promote the recovery and function of local and regional socio-ecological systems to deliver nature-based services and support native biodiversity. Change does not happen overnight – positive impacts can be seen early on but whole restorative processes may take decades and require an intergenerational compact. Multi-sector coalitions and integrated programmes have the opportunity to take coordinated action at regional scales that have a longer timeframe and broader ecosystem outcomes than locally implemented projects.
**Why have previous restoration efforts been only partially successful and what needs to change?**
Many previous restoration efforts have failed because of inadequate attention to livelihood needs, limited consideration of trade-offs, inequitable distribution of benefits and costs, limited or ineffective engagement with decision makers and planners, poor science underpinning and focus on unsustainable short-term actions. Future restoration efforts need to draw lessons from previous successes and failures and build on a holistic understanding of the drivers of ecosystem degradation and benefits of ecosystem restoration. Restoring ecosystems at the massive scale needed will require redesigning multiple systems that enable coordinated human use, financing of ecosystem goods and services and developing new institutional mechanisms. Effective restoration strategies need to accommodate the operational needs and vision of decision makers and communities in unique biogeographical contexts. Continued social and ecological research will help ensure that ecosystem restoration is based on the best scientific knowledge.
**How can individuals, groups and sectors contribute to effective ecosystem restoration actions?**
Agents of change from different sectors of society, both rural and urban, need to be empowered to take actions that reverse degradative cycles and promote socio-ecological restoration actions and outcomes. The impetus for restoration can come from individuals, communities, governments, non-governmental organisations or the private sector. Restoration can be implemented under a wide range of governance mechanisms and financing arrangements. Local action is essential as community engagement in ecosystem restoration can boost social capital and livelihood security, in addition to providing direct economic benefits. Thus, restoration that incorporates local knowledge or cultural traditions and legitimates the role of communities as stewards of land and water is likely to be the most successful. Corporate sectors and industry leaders can also be powerful champions of ecosystem restoration by developing net positive practices in their supply and market chains that halt negative impacts on natural ecosystems and apply restorative action across their ecosystem-based operations. Entrepreneurship for ecosystem restoration can bring about innovation, create jobs and increase investment in local enterprises.
**What are good starting points to implement long-lasting ecosystem restoration?**
Successful ecosystem restoration outcomes are more likely when founded on a common vision. Coalitions and partnerships that work towards this vision can support joint action to scale-up restoration efforts. Collaboration among sectors is also fundamental to realise ecosystem restoration. In a globalised, digital and connected world, online restoration platforms are likely to play a key role in integrating restoration movements, connecting actors, finance, tracking progress and disseminating good practices. This is an unparalleled opportunity for mainstream science to reach out to a larger audience, including implementers, decision makers and supporters.
**Key messages to inform a framework for reversing ecosystem degradation**
1. **Ecosystem restoration offers multiple benefits though they may be unevenly distributed (Key message 1).**
Ecosystem restoration can produce multiple social and environmental benefits, including enhancing human health and well-being, helping mitigate and adapt to climate change, improving water quality and flows, reducing soil erosion and flooding, regaining soil fertility and preventing species extinction. The different outcomes, benefits and costs of restoration actions become manifest over various temporal and spatial scales. Understanding the distribution of benefits and costs associated with restoration is critical as aggregate benefits can hide significant imbalances,
with benefits skewed towards a few stakeholders and costs borne by others. Inclusive engagement in restoration planning may enable more equitable distribution of net benefit and increase the potential for long-term success.
2. **Key enabling conditions, particularly local norms and governance, can tip the balance towards restoration (Key message 2)**. Effective restoration entails negotiating and balancing multiple objectives and forging enduring and meaningful partnerships with and across local communities and institutions. Secure tenure, property and use rights are critical foundations for local governance, resource stewardship, livelihood development, benefit-sharing and the realisation of human rights. Government financing and incentives are particularly important for restoring non-monetised public goods that do not attract to private sector investment. Scaling up ecosystem restoration may require the phasing out of counterproductive policies and subsidies and the repurposing of resources for conservation and restoration. Integrating and harmonising traditional and scientific knowledge is vital to foster effective restoration actions. Where key enabling conditions are not present, it is critical that additional resources be invested to create them, in order to build local and long-term capacity, motivation and engagement.
3. **Effective ecosystem restoration requires managing trade-offs equitably (Key message 3)**. To ensure success, it is crucial that the different perspectives, goals and needs of stakeholders are communicated and accounted for in a spatially explicit manner, through participatory planning. Nature’s contributions to people and biodiversity vary over time and space, and can be negative as well as positive, depending on which restoration actions are implemented; with different choices creating winners and losers and inescapable trade-offs. Robust spatial planning to support decision-making can ensure that the actions taken are ecologically sound and cost-effective, and address compromises among restoration goals, demands from other development challenges and available financing. National governments, international organisations, local communities and regional restoration stakeholders need to identify and prioritise locations and restoration approaches that balance benefits, costs and risks.
4. **Finance and market infrastructure is critical for scaling up and sustaining ecosystem restoration (Key message 4)**. Restoration needs greatly exceed the budgets of national governments, international donors and multilateral development banks. Thus, meeting estimated large shortfalls in available funding for restoration will require drawing on both public and private sector resources. The potential of restoration to address multiple global challenges has stimulated the development of several innovative financial instruments, including those that supply capital and mitigate risk. Matching financial instruments to the scale of opportunities available will require significant modifications to private sector operations. A restoration economy can mobilise local stakeholders through livelihood enhancement, job creation and business development.
5. **Adaptive management and monitoring are keys to effective and long-term restoration actions (Key message 5)**. Transparent monitoring, evaluation and adaptive management are integral and cross-sectional components of the ecosystem restoration process. Capitalising on good practices for ecosystem restoration relies on learning from both successes and failures. High restoration aspirations stimulate actions and motivate engagement and commitment, but failure to achieve ambitious goals can discourage action, reduce investment and generate distrust. Incremental moving restoration targets are likely to be more effective than static targets. Baseline ecological and social data and analysis are key to producing robust restoration action plans. Local communities can be actively engaged in the design of assessment, management and monitoring frameworks and tools. Monitoring indicators should incorporate information on broader societal outcomes.
**Building the ecosystem restoration movement**
This think piece details specific actions for ecosystem restoration by different social agents, based on the following broad recommendations:
- Restoration is a process that builds over a long period of time and opens up new opportunities for engagement, learning and innovation.
- Local communities must be empowered to lead restoration movements.
- Restoration requires fundamental shifts in economic and political institutions so that they pay attention to the long-term and varied benefits of functioning ecosystems.
- The ideals of the UN Decade on Ecosystem Restoration – partnership, inclusiveness and joint coordinated action – need to be based on shared core principles, good practices and practical approaches to monitoring and evaluation.
- Ecosystem restoration actions create opportunities for multiple agents of change to work together.
INTRODUCTION
Introduction
Ecosystem restoration has never been more relevant. The United Nations (UN) Decade on Ecosystem Restoration 2021–2030 launched this year, setting out the grand aim of supporting and scaling up efforts to halt, reverse and prevent future degradation of ecosystems worldwide and raise awareness of the importance of successful ecosystem restoration (UNEP, 2020). As identified by the UN, restoration is a cross-cutting strategy that can help achieve a wide range of social, economic and environmental outcomes. Globally, case studies of successful restoration showcase good practice and enabling policies and institutions that can motivate restoration (Woodworth, 2013; Hanson et al., 2015; Reij and Winterbottom, 2015; Besseau et al., 2018; Rakotoarisoa et al., 2020). In the next decade, we urgently need to enhance and scale-up ecosystem restoration by promoting established science-based practices and creating the appropriate conditions to drive ecosystem restoration as a critical response to multiple socio-environmental challenges.
Evidence shows that restoration actions contribute to human society right now, as well as benefiting future generations (Díaz et al., 2019). Ecosystems provide goods and services, ranging from production of fuelwood, fodder and food to removing pollutants and thereby improving air and water quality, as well as flood mitigation services, allowing human populations to thrive, though these benefits vary in space and time and between different members of society and can be positive and negative. Thus, sustaining diverse and functioning ecosystems, both natural and managed, is essential for human safety, health and continued prosperity (Sandifer et al., 2015). Conversely, *ecosystem degradation*, by contributing to the irreversible loss of species on land, in freshwater systems (Case study 9) and seas, risk of *ecosystem collapse*, ocean acidification, diminishing freshwater, soil erosion and climate change, increases the risks human communities face in their daily lives (UNEP, 2021b). Recent zoonotic disease pandemics, such as the COVID-19 virus, illustrate the strong links between human well-being and *ecosystem degradation* (Schmeller et al., 2020).
A recent global IUCN typology describes 108 unique ecosystem types, distributed across 25 biomes and five realms of the biosphere (Keith et al., 2020). These include natural, semi-natural, managed and urban ecosystems, such as temperate deciduous forests, tropical savannas, annual croplands, rivers, wetlands and lakes, coastal river deltas, surface ocean waters and deep-sea trenches. Deterioration of these ecosystems threatens critical life support systems, making attainment of the Sustainable Development Goals more challenging and potentially more costly. Degradation in many of these ecosystems is driven by both direct human actions and indirectly by catastrophic weather events and shifting climatic regimes. Managed ecosystems that provide food, fibre and fuel are also susceptible to degradation from climate change and unsustainable farming practices. *Ecosystem collapse* or the tipping point is often irreversible, but some ecosystems may recover over a long timeframe with restoration effort (Keith et al., 2013). The IUCN Red List of Ecosystems, which allocates ecosystem types into different categories of risk, is enabling countries to assess risk across different ecosystem types (Bland et al., 2019). While restoring many degraded ecosystems is vital for maintaining critical Earth systems, not all ecosystems can or need to be restored to prior natural conditions (Hobbs, 2016; Coleman et al., 2020). In many situations with a long history of anthropogenic stress it is important to be realistic about the potential for restoration towards a near-natural ecological system state (Geist and Hawkins, 2016) and intensively managed agriculture and urban systems are also essential to support humankind.
People are integral to restoring ecosystems and inhabit many areas to be restored. Successful restoration requires partnerships and a shared long-term vision (Ferwerda, 2015) with communities who use sea, land and riverscapes that need restoration actions (Walters et al., 2021). An estimated 1.87 billion people live on 44% of the Earth’s terrestrial area identified as important for conservation and restoration (Allan et al., 2021). An additional 300 million people inhabit lands targeted for tropical forest restoration (Erbaugh et al., 2020) and over 1.6 billion people live near forests – and likely depend on their resources (Newton et al., 2020). In all instances, the agents of change living on restoration priority territories are predominantly from low or lower-middle income countries. Thus, to realise the ambitious targets of the UN Decade on Ecosystem Restoration, local peoples and local needs may need to be prioritised relative to other restoration commitments (Holl, 2017).
Ecosystems and human societies often operate at different scales, with ecosystems benefits accruing to a multiplicity of people living in different geographies and time periods. For instance, degraded forest can lead to local reductions in fuel and food, and to global climate
change, with widespread and long-lasting impacts (Lamb, 2011). Decisions regarding harvesting and management of ecosystems often result in changes that transcend local spatial and temporal scales, creating a divergence between private and public needs at each of these scales. Thus, the costs and benefits of restoration do not always align or accrue to the same set of people, which can paralyse action. Additionally, the impacts of changes in ecosystem services, for instance, reduction in pollination services, are challenging to quantify, let alone understand their monetary value. Hence, many services are unaccounted for in market-based decisions and in public allocations based on national indicators such as Gross National Product (Dasgupta, 2021). Sustaining and restoring ecosystems will, therefore, require public support from nation-states and global communities who benefit from them. It will require collective action by multiple actors in today’s societies and intergenerational compacts.
To identify a set of pathways that can help achieve the goals of the UN Decade on Ecosystem Restoration, we first address some fundamental questions:
- What does it mean to undertake ecosystem restoration?
- Why have many previous restoration efforts been only partially successful and what needs to change?
- How can individuals, groups and sectors contribute to effective restoration?
- What are good starting points to implement long-lasting ecosystem restoration?
We present a framework, centred on empowering agents of change from different sectors of society, to reverse degradative cycles. We synthesise our learning on actions needed to drive restoration in five key messages that focus on: 1) ensuring that ecosystem restoration is designed and implemented to attain multiple benefits and generate long-term positive outcomes; 2) key enabling conditions to tip the balance towards restoration; 3) managing trade-offs when measuring costs and benefits in planning and implementing ecosystem restoration; 4) providing finance and market infrastructure for scaling up and sustaining ecosystem restoration; and 5) monitoring and adaptive management to ensure long-term ecosystem restoration success (Figure 1). We conclude with specific recommendations for action by different social actors and to build partnerships to restore ecosystems together in local areas and all around the world.
Why we need the UN Decade on Ecosystem Restoration
Despite many examples of projects and programmes focused on restoration approaches of all kinds and scales, restoration progress has been slow (Waltham et al., 2020), inadequately monitored (Lindenmayer, 2020), and poorly funded (Liagre et al., 2015; Löfgvist and Ghazoul, 2019) and communicated (Jellinek et al., 2019; Mills et al., 2020). If restoration is truly the win–win–win nature-based solution the world needs, why are we not overwhelmed by the massive scale of effective actions being undertaken? The reality is that restoration is more complicated than most people envisage. As with most interventions, restoration involves shared visions, trade-offs, negotiation among conflicting values and interests, and is often hampered by structural barriers that require coordination and strong society support to overcome.
The global economy clearly does not value ecosystem restoration sufficiently. Globally and nationally powerful entrenched economic interests drive habitat loss and degradation, and they resist the systemic transformations required to stimulate and sustain restorative actions. National governments have a poor track record for leading effective and consistent long-term restoration actions. National political agendas are generally focused on achieving short-term goals that are quickly reversed when there is a change in administration or policy. These realities further compromise the effectiveness of multinational agreements and resolutions, and the creation of policy and market incentives and disincentives for tipping the balance towards restoration (Brancalion et al. 2017).
Ecosystem restoration is not a simple ‘fix-it’ operation that can easily compensate for environmental damage done (Chazdon, 2020). This view reflects a lack of understanding of the spatial and temporal complexities of socio-ecological systems and the importance of addressing key feedbacks (Chazdon and Brancalion, 2019; Liu et al., 2021). When ecosystem restoration interventions are undertaken, the socio-economic benefits often fail to reach all stakeholders, especially dispersed and marginalised local communities. Documented benefits are usually expressed as aggregates, obscuring negative impacts on some stakeholder groups and disproportionate benefits to others (Example 2: Key message 1). Such inequities often lead to project failures, disengagement and lack of trust. Restoration cannot succeed nor persist without support and engagement from local and regional governments, institutions, local communities and businesses. In large-scale restoration, the goals, needs and knowledge of local communities are often disregarded in project planning and implementation, a key reason why restoration projects fail (Höhl et al., 2020). Failed projects and disappointed stakeholders lead to discouraged funders and decision makers. These cascading effects place a check on rising restoration ambitions.
Where restoration progress has been strong and steady, the positive influence of multi-sector coalitions and implementation platforms is evident (Case study 2). But strong and effective multi-sector policy platforms are lacking in most regions. Effective restoration actions often span traditional government silos of conservation, agriculture, forestry, water management, finance, law enforcement and sustainable development. But governments and their policies, agencies and institutions continue to operate within these silos and fail to address the integrated nature of socio-ecological problems and their solutions. Most of the time, one arm of government works to fix the problems created by another arm of government.
Strategies of international conventions and agreements – based on multilateral agreements and focused on targets informed by science – have failed to generate the governmental and societal changes needed. Despite the promise of the Paris Agreement, the world is not on course to limit global warming to 2°C above pre-industrial levels (UNEP, 2021b). Achievement of the Aichi Biodiversity Targets has been limited, with none of the 20 targets fully achieved at the global level (Secretariat of the Convention on Biological Diversity, 2020). These targets and agreements have been more effective in generating hope and commitments than in generating real change and progress.
FUNDAMENTAL QUESTIONS
Fundamental questions to achieve the goals of the Decade
What does it mean to undertake ecosystem restoration?
Restoration actions focus on preventing further degradation, fostering recovery and preventing future degradation of impacted ecosystems across the entire ecosystem spectrum. We define ecosystem restoration based on the central theme of the UN Decade on Ecosystem Restoration (UNEP, 2020) as: *Preventing, halting, and reversing the degradation of ecosystems worldwide to regain their ecological functionality and to improve the productivity and capacity of ecosystems to meet the needs of society* (UNEP, 2021a). Depending on objectives and socio-ecological context, the restoration of ecosystems can follow different trajectories and apply different approaches (*Table 1*). The scope of ecosystem restoration implicitly includes conservation and environmental protection – as well as actions to reduce the degradation of land, waters and ecological support systems. Consequently, to address the drivers of degradation and avoid further degradation in landscapes, freshwater systems or seascapes, it is essential to ensure that stakeholders understand where, when, how and to what degree *ecosystem degradation* has occurred, and the potential for restoration. Under varied circumstances, a ‘wholescape’ approach may be needed (Maltby et al., 2019) so that restoration of ecosystems in one region does not displace pressures and degrade ecosystems elsewhere (Mansourian and Sgard, 2021).
Ecosystem restoration action is about changing the nature of the human footprint within and across ecosystems rather than removing the human footprint. Ecosystem restoration aims to promote the recovery and function of socio-ecological systems to deliver nature-based services and support native biodiversity (see *Table 1* and *Figure 1*). It is a broad concept that encompasses a continuum of *restorative actions* that combine human engineered and ecological solutions to assist recovery of native ecosystems (Gann et al., 2019, Table 1). Notably, ecosystem restoration is deliberate human activity to overcome the negative consequences of anthropogenic degradation across all ecosystem types (*Table 1*, *Figure 1*). We recognise that full restoration of all ecosystems to a pre-human intervention baseline is neither possible nor sometimes desirable due to the need to maintain intensively managed agricultural and urban systems in some places to support humankind.
Ecosystem restoration encompasses activities carried out at different spatial scales. Restoration actions can be undertaken within entire watersheds or catchments (Paudyal et al., 2017), across diverse agricultural landscapes (Barrow, 2014; *Case study 7*), or within more delimited sites (*Table 1*). Restorative practices can include enhancing the diversity and sustainability of crop production; *silvicultural interventions* to enhance sustainability of wood products and non-timber forest products (see *Case study 1*); aquaculture to enhance sustainability of fish production; reforestation practices to restore forest cover lost through harvesting, conversion to farmland, or fires; or ecological restoration practices to assist recovery of native terrestrial and aquatic ecosystems and biodiversity (*Table 1*).
Restorative processes may take decades or centuries and require an intergenerational compact. Recovery of lost properties of ecosystems can be a slow process, including the re-establishment or recovery of native species, populations, functional groups and species interactions that were constituents of the prior ecosystem (Moreno-Mateos et al., 2020). Restoration actions are an investment in future generations of people and all forms of biodiversity. Socio-economic benefits of restoration actions may lag behind the environmental benefits, requiring that planning and implementation focus on rapid delivery of economic benefits to meet the needs of local communities (Gregorio et al., 2015). Multiple project phases and funding cycles are usually required to build the momentum, leadership and governance for long-term restoration actions. *Multi-sector coalitions* and alliances can generate coordinated activities at regional scales that have a longer timeframe and broader ecosystem consequences than local projects (*Case study 2*).
Table 1. The scope of ecosystem restoration actions and objectives
This table is based on the Society for Ecological Restoration’s Restorative Continuum, which includes a range of activities and interventions that can improve environmental conditions and reverse ecosystem and landscape degradation (Gann et al., 2019). The UN’s broad concept of ecosystem restoration embraces all of these restorative actions.
| Restoration context | ‘Wild’ native ecosystems* | Managed natural or semi-natural ecosystems | Damaged ecosystem | Managed production ecosystems | Matrix of ecosystems |
|---------------------|---------------------------|--------------------------------------------|-------------------|-------------------------------|----------------------|
| **Examples** | Terrestrial, aquatic, coastal and marine ecosystems | Rivers, lakes, forests, wetlands, grasslands, coastal and marine areas | Open pit mines, post-industrial sites, landfills, polluted water bodies, drained wetlands or peatlands | Croplands, grazing lands, agroforestry systems, plantations, fisheries | Landscapes, watersheds, deltas, urban areas, seascapes |
| **Restorative actions** | Reduce human impacts; protect existing natural ecosystems, reintroduce lost species, protect highly vulnerable species | Increase sustainability of ecosystem management and natural resource extraction, manage for multiple social and environmental benefits | Remove or mitigate toxic waste, replace topsoil, replace grey infrastructure with green infrastructure, reconstruct hydrology | Improve management and sustainable production, reduce climate vulnerability, reduce negative impacts on adjacent ecosystems and native species | Restore connections within and across ecosystems; improve multiple functions and integrity of multiple ecosystem types |
| **Terminology for restorative actions** | Conservation, avoided degradation, assisted natural regeneration, ecological restoration, rewilding | Rehabilitation, invasive species control, sustainable forest management, wetland management, coastal zone management, fisheries management | Land reclamation, land remediation, land restoration | Sustainable production, sustainable land management, land restoration, climate-smart agriculture, regenerative agriculture | Landscape restoration, integrated landscape management |
| **Objective** | Protect unique and threatened biodiversity, cultures and ecosystems; fully regain ecological structure and composition | Sustain use and functions of natural or semi-natural ecosystems and enhance nature’s contributions to people; avoid biodiversity loss | Reconstruction of a modified ecosystem with some natural components that reduces health and environmental risks in local communities | Recover and sustain ecosystems managed for production of food, fibre, clean water and energy; support sustainable livelihoods | Recover multiple ecological and socio-economic functions and enhance nature’s contributions to people |
| **Scale** | Single or multiple associated spatial units | Single spatial unit | Single spatial unit | Single or multiple associated spatial units | Multiple associated spatial units |
* Wild ecosystems are not managed for production and are targets for conservation and protection as intact or relatively intact ecosystems. Humans have coexisted with ecosystems for tens of thousands of years, and few or no ecosystems exist that are not influenced in some way by past or present human modification. A large extension of indigenous territories is located in these ecosystems which have been used for centuries for local production, through sustainable use practices.
Effective restoration requires considering interconnected socio-ecological systems. Ecosystems are interconnected within larger-scale landscapes, freshwater systems and seascapes (Case study 8). Terrestrial ecosystems, for instance, are tightly linked with freshwater, coastal and marine ecosystems through catchment, riparian and river systems, forming ‘wholescapes’ (Maltby et al., 2019). Ecosystems and how they are managed are also closely tied to social and economic systems. Changes in land and waterscapes are driven by economic and cultural demands placed on fish, forest products or coral reefs, for instance, and underlying governance systems that facilitate these needs. Thus, it is important to understand the nature of linked ecological and socio-economic systems in undertaking restoration. Ecosystem restoration requires connecting inputs and outputs in a positive feedback loop across spatial scales and actors (Chazdon and Brancalion, 2019; Fischer et al., 2021). The most effective engagement pathways depend on both local conditions and overarching policy contexts that create enabling conditions for restoration (see Key message 2).
Restoration can achieve a wide range of social and environmental outcomes. Degraded socio-ecological systems (depicted in grey shading) occur across a range of biophysical and socio-economic contexts from natural areas to semi-natural and managed land and urban and peri-urban systems. Figure 1 emphasises five key messages that are critical to achieving multiple outcomes and lasting benefits from ecosystem restoration.
1. Ecosystem restoration (from degraded to restored systems) is a means to attain multiple benefits and ensure nature’s contributions to people across a spectrum of ecosystem types (Key message 1).
2. Key enabling conditions tip the balance towards restoration by changing the relationship between people and nature to one based on interconnection, cooperation and synergy (transformations within socio-ecological systems, Key message 2).
3. The specific goals and actions applied within each socio-ecological system will vary across the spectrum, making it essential to consider trade-offs when planning and implementing ecosystem restoration to maximise synergies and minimise negative outcomes (Key message 3).
4. Finance and market infrastructure are enabling conditions that are critical for scaling up and sustaining ecosystem restoration (Key message 4).
5. Monitoring and adaptive management (feedback to restoration process) are an important part of the learning process that ensures long-term success of ecosystem restoration (Key message 5).
Figure 1. Key considerations to achieve lasting benefits from ecosystem restoration
- **KEY MESSAGE 1**: Ecosystem restoration can be a means to attain multiple benefits though they may be unevenly distributed.
- **KEY MESSAGE 2**: Enabling conditions, particularly local norms and governance, tip the balance toward restoration.
- **KEY MESSAGE 3**: Effective ecosystem restoration requires managing trade-offs equitably.
- **KEY MESSAGE 4**: Finance and market infrastructure is critical for scaling up and sustaining ecosystem restoration.
- **KEY MESSAGE 5**: Adaptive management and monitoring are keys to effective and long-term restoration.
Why have many previous restoration efforts been only partially successful and what needs to change?
Ecosystem management is not new. However, the challenge for the UN Decade is mainstreaming ecosystem restoration into a broader global development agenda, whilst helping achieve the aims of biodiversity conservation and climate change agendas. Many past restoration efforts have failed because of lack of attention to near-term livelihood needs, limited consideration of trade-offs, limited or ineffective engagement with decision makers and planners, poor science underpinning and a dearth of institutions focused on sustaining restoration efforts over longer periods (Suding, 2011; Höhl et al., 2020). Furthermore, development projects to improve agriculture, enhance water resources or exploit timber or minerals have often lacked awareness of ecosystem benefits, and have thereby contributed to ecosystem degradation and rarely involved restoration.
Restoration often requires attending to multiple socio-environmental elements to restore different functions and processes in ecosystems (Suding et al., 2015; Perring et al., 2018; Chazdon and Brancalion, 2019). For example, economic benefits, intergenerational fairness, inclusive governance, indigenous knowledge, gender and social equity are some social considerations that may play a role in decisions about effective restoration actions suited for different contexts (Osborne et al., 2021). Restoration in its next phase has to draw lessons from previous successes and failures and build on an understanding of what drives development projects that degrade ecosystems without addressing restoration needs. Additionally, restoration-related information and guidance need to be delivered in a way that resonates with citizens, entrepreneurs, decision makers, planners and actors.
Systemic change is needed to bring ecosystem restoration to scale. Ecosystem restoration requires engagement and cooperation among different types of social agents that work together towards a common vision (Table 2). Yet, achieving unity is elusive and may require changing habits, questioning assumptions, and making personal sacrifices. Effective ecosystem restoration actions require long-term thinking, planning, policy alignment and social innovation, to provide at least some short-term benefits and ensure their equitable distribution (UNEP, 2021a). Restoring ecosystems at the massive scale needed to sustain and improve the quality and diversity of life on Earth will require redesigning multiple systems that enable coordinated human use and financing of ecosystem goods and services.
Global economic and political systems can be unfavourable to restoration. Distant global and national market interests often drive habitat loss and degradation (for instance, deforestation driven by global markets for products such as meat, fish, soy and timber) and resist the systemic transformations required to stimulate and sustain restorative actions. Externalities, such as biodiversity loss from land degradation or water pollution are not valued in the same manner as associated market goods such as crops that may contribute to degradation. This precludes their inclusion in traditional cost–benefit analyses. Lack of investment in ecosystem restoration stems from systemic issues, such as entrenched institutions and policies that advance short-term gains, differences between beneficiaries of degradation and those who bear the costs of degradation and restoration, and spatial variation and uncertainties related to who gains or loses from changes in ecosystem services due to degradation. Furthermore, the long-term nature of restoration means it is invariably less favoured relative to land and water uses with higher short-term returns on investment (Chazdon, 2020). Thus, for ecosystem restorations to be successful, we need to develop new institutional mechanisms that can help surmount these challenges and alter incentives that drive degradation.
National governments have a poor track record for leading effective and consistent long-term restoration actions. Scaling up requires clear goals, resource mobilisation, technological expertise, inclusive and informed governance schemes and monitoring protocols, which are often absent from ecosystem restoration efforts in many countries (Guariguata and Brancalion, 2015). Political agendas are generally focused on achieving short-term goals. These realities can compromise the effectiveness of multinational agreements and resolutions, and challenge the creation of policy and market incentives and disincentives for tipping the balance towards restoration (Brancalion et al., 2017).
There is an urgent need to identify fit-for-purpose ecosystem solutions. The Decade on Ecosystem Restoration is partly a communication exercise to convince resource managers, rights holders, planners, decision makers and engineers that ecosystem restoration and healthy functional ecosystems can help meet their goals (Table 1). This requires re-orienting restoration strategies to accommodate the operational needs and visions of decision makers in each biogeographical context. Today we have a better scientific understanding of the benefits and costs of ecosystem restoration; methods to help
develop strategic portfolios of restoration measures and to predict the responses of species and communities to individual and multiple-stressor configurations (Palmer et al., 2005; Sabater et al., 2018). New tools, including advances in remote sensing technology, enable low-cost monitoring of restoration progress (Reytar et al., 2021) and a better understanding of funding mechanisms, participatory approaches and enabling conditions. These new approaches will need to be deployed to strengthen local social networks that can advocate for restoration because it meets their needs. For instance, strengthening tenure could secure stakeholder benefits, through investments that facilitate business development in sustainable supply chains and by triggering sustainable financing (Lovelock and Brown, 2019; McLain et al., 2021). Fit-for-purpose restoration will need to attend to both what information is delivered and how it is delivered to multiple decision makers and planners, whose background may be in agriculture, economics, law or politics and who may have limited knowledge of biodiversity and ecosystem processes. Additionally, we need a continued research effort to develop, test and adapt tools to ensure ecosystem restoration is based on best scientific knowledge.
**How can individuals, groups and sectors contribute to effective ecosystem restoration actions?**
*Different social agents, motivated by differing needs, can all contribute to the restoration process.* The impetus for restoration can come from individuals, communities, governments, non-governmental organisations or the private sector, and its implementation can happen under a wide range of governance mechanisms and financing arrangements (Mansourian and Sgard, 2021; Walters et al., 2021). In the *restoration supply chain*, farmers or land managers, for example, often provide critical knowledge, labour, land and materials, while investors and financiers can provide capital and promote restoration activities that yield a return on investment (see *Key message 4*). Government agencies are, often, involved in planning, assessment and policy development (see *Key message 5*), with research groups and civil society organisations providing data and tools, raising awareness, communicating and demonstrating restoration possibilities. Different actors (see Table 2) will need to be aligned under the right set of enabling conditions (*Key message 2*) for successful restoration. This alignment is, however, not always easy to achieve and may require innovative institutional arrangements, supported by critical financing (Kingsford et al., 2021).
*Local actions are essential avenues for ecosystem restoration across urban and rural spaces.* Local community and landscape stakeholders will need to be at the centre of restoration movements, as they often have the knowledge to guide and the motivation to proceed or block restoration if it does not benefit them (Valencia, 2019; Gritten et al., 2018). Furthermore, decision-making processes that ignore local knowledge or cultural traditions and the legitimate role of communities as stewards of land and waters, are unlikely to be successful (Reyes-García et al., 2019). Individual restoration actions can be small-scale but when combined, within appropriate landscape planning, can have a large-scale impact. Local activities can include many different opportunities, such as restoring community land or public areas (rural and urban), establishing community gardens and farmers’ markets to support local production, sharing cultural values and practices, and involving schools, clubs, youth groups, women’s collectives, sport teams and religious organisations to establish or monitor plants, coral reefs, animal populations or assist in natural habitat recovery (Constant and Taylor, 2020). Community engagement in restoration can boost social capital and livelihood security in addition to providing direct economic benefits (Valenzuela et al., 2020; Wainaina et al., 2021). Restoring urban green spaces provides opportunities for engagement of local governments (*Case study 3*). In both rural and urban contexts, communities and institutions can partner with groups in other regions to enhance their knowledge of ecosystem processes, scale up their effort and maximise beneficial outcomes (Hall et al., 2021). Some stakeholders may require scientific and technical support to understand, visualise, design and implement best practice within their restoration plans and actions.
*Corporate sectors and industry leaders can be powerful champions of ecosystem restoration by changing market incentives.* The risk to businesses from nature loss has become material and therefore the incentive to engage in preserving and restoring ecosystem function has gained strategic importance particularly for those companies directly relying on these services for the products that they are sourcing. As a result, a growing number of coalitions and platforms suggest that corporate and industry leaders are recognising their pivotal role in creating *net positive practices* in their supply and market chains, including the Net Positive Project and the 1t.org Corporate Alliance. Corporate leadership has the power and the potential to meet the needs of both stakeholders and implementers. Commitment voiced by coalitions of corporate as well as financial actors has led to optimism in recent years (see *Key message 4*). For example, six Principles for Responsible Investment (UNEP, 2006) were
developed by investors to embrace environmental, social and governance factors in global investment practice. The number of signatories to these principles has increased significantly over the last few years, from under 1,500 in 2015 to over 3,500 in 2021 (PRI, 2021). Moving from aspiration to action must be the next critical step.
More than 20% of the world’s largest 2000 companies now have net-zero targets, which heightens their interest in ecosystem restoration and increases the potential of interventions such as Natural Climate Solutions for unlocking investment from the private sector (World Economic Forum, 2021b).
### Table 2. Different types of social agents and entry points for their engagement in ecosystem restoration
| Social agent | Entry points for engagement in ecosystem restoration | What has helped or prevented this happening before 2020? | What needs to change to enable this to happen more in the future? |
|--------------|-----------------------------------------------------|--------------------------------------------------------|-----------------------------------------------------------------|
| Landowners, landholders, managers and workers that own or manage the areas to be restored, including Indigenous Peoples and local communities, farmers and fisherfolk | People and communities play a critical role in ecosystem restoration, as they work and live in the ecosystems to be restored and are directly impacted by **ecosystem degradation**. Local ecological knowledge generated by Indigenous Peoples and local communities forms the basis through which restoration decisions can be made to both leverage natural recovery processes and benefit local livelihoods (Reyes-Garcia et al. 2019). | Local communities have not been consulted, nor local knowledge taken into account. Appropriate local organisations were not in place to involve them. Planners and decision makers were not sufficiently aware of the value of local community involvement. | More awareness raising and training is required for planners and decision makers to help them realise that local land user community involvement can produce positive outcomes and local knowledge can strengthen interventions and make them more sustainable. Training is needed for the communities on sustainable land use/management. Install improved governance structures and leaders in the communities so that common problems can be raised. Local institutions (for instance, watershed management organisations) may need to be strengthened to enable collective action required for managing shared ecosystem resources. |
| Private sector companies and industries | The private sector can influence the actions of landowners and managers, tipping the balance from restorative/sustainable resource use to degradative/unsustainable use. Companies influence the supply and market chains for the inputs and the outputs of ecosystem restoration. Entrepreneurship for ecosystem restoration can bring innovation, create jobs and increase investment in local enterprises. The agriculture, forestry, water supply, energy and mining sectors are major stakeholders in ecosystem restoration and can become engaged at many levels. | Many private sector companies have not recognised the benefits of ecosystem restoration and not given adequate incentive to support actions. The costs of **ecosystem degradation** have not been internalised within private sector finances, though this is changing. | Planners and decision makers need to work in partnership with landowners and managers in ecosystem restoration, to bring innovation, create jobs, and increase investment in local enterprises. Large companies, who are often large landowners, need to be included as they have resources and power to implement ecosystem restoration. Incentives to encourage private sector engagement in sustainable or restoration practices are required along with procurement practices that support restoration and regenerative practices, and enabling environments for local regenerative enterprises. The costs of ecosystem degradation need to be internalised more widely within private sector finances. Global agreements related to biodiversity and climate change, with accompanying national policies, can help shift the norms among private companies, enabling them to attend to restoration needs. |
| Government agencies and organisations | Governments are key agents of restoration at local, regional and national levels (Chazdon et al., 2016; UNDP, 2021). | Governments have tended to opt for development projects based on built infrastructure as opposed to ecosystem-based solutions. | Governments need to direct the flow of more public finance into ecosystem restoration projects and
| Social agent | Entry points for engagement in ecosystem restoration | What has helped or prevented this happening before 2020? | What needs to change to enable this to happen more in the future? |
|-------------|---------------------------------------------------|--------------------------------------------------------|-----------------------------------------------------------------|
| Local governments | Local governments play a critical role in supporting ecosystem restoration, particularly when they partner with local businesses and community organisations. Regulations and government institutions mediate interactions among social agents and influence who pays costs and who receives benefits. These governance arrangements include legal instruments and policies, roundtables, market regulations and cooperation among countries. Governments control the flow of public finance into ecosystem restoration projects and programmes, including construction of infrastructure, funding of incentive or compensation programmes, and providing services and utilities to communities. | safer options and have tended to view ecosystem restoration as a ‘nice to have’ rather than an essential element. | programmes, including construction of infrastructure, funding of incentive or compensation programmes, and providing services and utilities to communities. Natural capital accounting can help reflect the contributions of healthy ecosystems on a national level and price the risks associated with nature’s losses. Clear incentive systems, such as payments for ecosystem services and environmental safeguards for public procurement are required. |
| Finance and investment sectors | Private sector investors play key roles in supporting ecosystem restoration in ways that complement and enhance public sector investments. Private sector investment can take many forms and can also involve partnerships with local governments and businesses (Key message 4). | Investment opportunities in ecosystem restoration were limited or not attractive to investors. | More opportunities need to be initiated to integrate private investors in ecosystem restoration in ways that complement and enhance public sector investments. Reductions in barriers to growth in offset markets would also provide additional financing. |
| Civil society (non-governmental organisation) | Civil society organisations can play key roles in resource mobilisation, capacity building and raising awareness on the degradation of ecosystems and the need to restore them. These include women’s, youth and environmental organisations. | Civil society organisations were often not fully involved or represented adequately and did not have confidence that outcomes could work in their favour. | Involvement of civil society organisations needs to be mainstreamed and support provided to ensure they have essential information in a form they can understand and are represented adequately in planning and decision-making. New global coalitions (for instance, the Extinction Rebellion) can galvanise civil society to support restoration. |
| Research groups | Researchers have a key role in identifying and communicating the causes of degradation. They need to design appropriate restoration interventions based on scientific understanding of ecological processes, recovery potential and social, economic and political dimensions of different restoration approaches. | Research results have been employed in many projects, but ignored in others either deliberately or due to lack of availability in readily understandable form. The evidence base for restoration practices is poorly developed and communicated, despite strong research, such as in the positive and negative influences of forests (Gilmour, 2014) and wetlands (Bullock and Acreman, 2003) in the water cycle. | Research results need to be synthesised and made available in understandable form, such as the effectiveness of nature-based solutions to water problems (Acreman et al., 2021). Further research and outreach efforts are required to enable the outcomes of ecosystem restoration to be projected accurately and for adaptive management strategies to be defined. There are also research gaps in identifying how short- and longer-term trade-offs can be minimised. |
Note: Specific restoration actions for each of these groups are listed in Table 5.
What are good starting points to implement long-lasting ecosystem restoration?
Implementing ecosystem restoration will be easier and more likely to succeed when founded on a common set of widely shared principles. Shared understanding and principles can reduce uncertainty regarding what actions may benefit different stakeholders and avoid unintended consequences (see Key message 1). A global consultative process was underway in 2021 to adopt principles for ecosystem restoration to underpin implementation throughout the UN Decade and across sectors, biomes and regions (see the ten principles below). Alignment on principles may also help create large, like-minded coalitions and enable partnerships that support joint action for up-scaling restoration successes. Partnerships (SDG 17) are essential to bring about systemic change and to coordinate and align scientific understanding, finance, infrastructure and capacity development with implementation of ecosystem restoration actions (MacDonald et al., 2018). Within countries, multi-sector coalitions and networks can provide a highly effective platform for collective action across business, government and research (Boedihartono and Sayer, 2012; Imbach and Vidal, 2019). They can also enable communities, such as Indigenous Peoples, for instance, to engage in and trust that restoration processes will also bring benefits for them (Arthington et al., 2018; Anderson et al., 2019).
The Task Force on Best Practices for the UN Decade on Ecosystem Restoration adopted ten principles for underpinning ecosystem restoration, following a global consultation in 2021:
**Principle 1:** contributes to the UN Sustainable Development Goals and the goals of the Rio Conventions.
**Principle 2:** promotes inclusive and participatory governance, social fairness, and equity from the start and throughout the process and outcomes.
**Principle 3:** includes a continuum of restorative activities.
**Principle 4:** aims to achieve the highest level of recovery for biodiversity, ecosystem health and integrity, and human well-being.
**Principle 5:** addresses the direct and indirect causes of ecosystem degradation.
**Principle 6:** incorporates all types of knowledge and promotes their exchange and integration throughout the process.
**Principle 7:** is based on well-defined short-, medium- and long-term ecological, cultural and socio-economic objectives and goals.
**Principle 8:** is tailored to the local ecological, cultural and socio-economic contexts, while considering the larger landscape or seascape.
**Principle 9:** includes monitoring, evaluation and adaptive management throughout and beyond the lifetime of the project or programme.
**Principle 10:** is enabled by policies and measures that promote its long-term progress, fostering replication and scaling up.
(FAO, IUCN CEM & SER, 2021)
Collaboration between sectors can be very effective in motivating ecosystem restoration. The potential for enhanced collaboration between engineers and ecologists is a prime example. Finding solutions to natural resource management issues is often not a simple choice of either hard engineering or nature-based solutions; where appropriate ecosystem restoration integrates with built infrastructure to provide optimum solutions to human welfare, development and conservation issues (Case studies 5 and 6).
Platforms can speed up the process of scaling up restoration. Platforms will become the ‘community centres’ of restoration, uniting people and organisations across borders, languages and backgrounds. They can make restoration action visible and will create entry points for engagement, knowledge exchange, monitoring, and communicating lessons learned and effective practices (see for instance, the UN Decade online platform that seeks to provide information and facilitate linkages amongst different components of the global restoration movement). In a globalised, digital and connected world, online restoration platforms are likely to play a key role for integrating restoration movements, tracking progress and disseminating good practices. Platforms can also provide data and technical skills to enable spatial planning (Linke et al., 2019), which can help ensure that ecosystem restoration brings social, economic and environmental benefits to multiple stakeholders (see Key message 3). Good examples of country-led initiatives exist, such as the Bonn Challenge as the largest global movement for forest landscape restoration and the regional platforms that support it such as AFR100, Initiative 20x20 and ECCA30 (Saint-Laurent et al., 2020).
Innovative restoration policies and institutions are essential for wins to biodiversity, climate and human well-being. Effective restoration actions will require a focus on governance mechanisms, property and user rights, and clarity on who has, or should have, access to resources. If these aspects, for instance, tenure-related uncertainties, are not properly resolved and integrated within restoration actions, it is unlikely that net positive outcomes will emerge for people or for ecosystems (McLain et al., 2021). Building effective governance arrangements and policies to achieve net positive outcomes from restoration is possible by increasing alignment and interaction across sectors and levels of government (Chazdon et al., 2021b). Existing policies, institutions and power relations may create obstacles for ecosystem restoration and may require modification and realignment to provide the right enabling conditions (Sapkota et al., 2021; Sayer et al., 2021). Institutional arrangements need to address the spatial and temporal mismatch between restoration benefits and socio-economic needs.
16
KEY MESSAGES
Key messages to inform the framework for the reversal of ecosystem degradation
1. Ecosystem restoration offers multiple benefits though they may be unevenly distributed
Ecosystem restoration has the potential to produce multiple social and environmental benefits. Restoration is an approach that can raise capacity for environmental stewardship within communities (Kittinger et al., 2016), enhance people’s mental and physical health and well-being (Aronson et al., 2020; Breed et al., 2020), help mitigate and adapt to climate change (Example 1: Key message 1), improve water quality (Acreman et al., 2021), reduce soil erosion (Teng et al. 2019), restore soil fertility (Case study 7) and prevent species extinction (Newmark et al. 2017). In many cases, benefits can be long-lasting and cost-effective (Reij and Garrity, 2016), broadening ecosystem-related options for future generations. However, in some cases there will be trade-offs where ecosystem restoration disbenefits some members of society.
Ecosystem restoration, typically a nature-based solution, can complement technical engineering solutions and production-based ecosystems. Natural and engineered infrastructure can work together to increase benefits for society and the environment (Case study 4). Where engineered infrastructure is required, ecosystem restoration should also be implemented to support effective functioning and to mitigate potential damage to local ecosystems. Ecosystem restoration can also be implemented at larger scales, such as catchment landscapes, coastal areas and seascapes, to provide refugia and corridors for biodiversity, to protect water supply, and to create buffers that minimise impacts of windstorms, floods, landslides, tsunamis and fires. Built infrastructure can be repurposed to support ecosystem restoration (Case study 5). Natural systems can be engineered to increase goods and services (Case study 6). For example, many countries around the world receive flood protection benefits from natural and replanted mangroves (Menéndez et al., 2020).
Different outcomes and benefits and costs from restoration actions become manifest over different temporal and spatial scales. Benefits and some outcomes may be achieved only after a significant time, particularly in the case of forest and coral reef restoration where tree and coral lifespans can exceed several centuries. High up-front implementation costs and delays in receiving material benefits are major obstacles to ecosystem restoration. Innovative financing approaches and new institutional arrangements are needed to overcome these impediments to action (see Key message 4).
Understanding the distribution of benefits and costs associated with restoration is as critical as assessing the overall returns to restoration investments. Land, coastal waters, rivers and ocean systems are often contested resources that are used by multiple stakeholders. Thus, aggregate benefits from restoration can hide significant imbalances (Lele and Srinivasan, 2013, Example 2: Key message 1), with benefits skewed towards a few stakeholders and costs borne by others. Restoration decisions can be replete with trade-offs. For example, restoring forests and headwater wetlands may be good for biodiversity and climate mitigation, but usually reduces downstream water yield (Filoso et al., 2017; Acreman et al., 2021). Or, provisioning ecosystem services can be unevenly distributed among community members and forest user groups (Lakerveld et al., 2015), leading to challenging questions regarding who may benefit if degraded forests are restored. Also, as discussed above, the costs of restoration may occur immediately, while the benefits occur over time. Identifying how, when and to whom the benefits of restoration accrue is critical for successful restoration. Inclusive engagement in restoration planning from the onset may contribute to more equitable distribution of net benefits (Hall et al., 2021) and increase the potential for successful restoration.
2. Key enabling conditions, particularly local norms and governance, can tip the balance towards restoration
Robust restoration entails negotiating and balancing multiple objectives. Restoration actions and decisions emerge from interactions between actors with competing claims and interests across biophysical, biodiversity, livelihood, gender or spiritual parameters (Mansourian, 2021). Stakeholders might expect different outcomes from managing a shared natural resource (Stanturf et al., 2019). Understanding the political, social and economic processes that influence decision-making at multiple scales and across different stakeholder groups is key to navigating potentially conflicting motivations to restore ecosystems (Ellis et al., 2021). Global motivations to restore ecosystems (e.g., avoiding species extinction, climate change mitigation or adaptation) may not resonate with local motivations to restore, which often centre on local needs (e.g., clean water, spiritual and livelihood benefits) (Holl and Brancalion, 2020; Höhl et al., 2020). Within any location, people’s motivation to restore will depend on ecological, social, political, economic and legal contexts, influenced by historical processes, social relations and inequities. These motivations may be overlooked if rapid ‘at scale’ restoration initiatives prioritise top-down approaches as opposed to plural, democratic and localised strategies (Ellis et al., 2021). Simultaneously, satisfying global demands will be critical to safeguard financial support. Mechanisms and strategies at multiple scales, ranging from global agreements to community-driven associations, that can negotiate varied interests are vital for long-term restoration.
Restoration requires forging enduring and meaningful partnerships with local peoples and institutions. Designing restoration actions in a way that is inclusive, responds to local perceptions and demonstrates how restoration can meet local needs is key to successful restoration in places where people use the land (Wilson and Coomes, 2019). Degradation of natural resources is often driven by conflicts over ownership, unclear tenure, and/or weak governance (International Fund for Agricultural Development (IFAD), 2016). For instance, while half the Earth’s terrestrial area falls under the customary ownership of Indigenous Peoples and local communities, only a tenth has any legal recognition (Rights and Resources Initiative, 2015). Secure tenure and property rights are absolutely critical for restoration success (Bissell, 2020; Mansourian, 2017; McLain et al., 2021). They are foundational for local governance, resource stewardship, livelihoods, benefit-sharing and the realisation of human rights (Larson and Springer, 2016). Without clearly recognised rights, respect for rule of law, law enforcement and accountability mechanisms in place; local norms, conflicts, histories and traditional knowledge systems (Lopes et al., 2021) (see Example 3: Key message 2) can be overlooked, making restoration success uncertain.
Restoration policies and actors span multiple government sectors. Many of the systemic changes required to foster ecosystem restoration rely on government decisions, through policy interventions that promote or hamper degrading and restorative activities. Government incentives are particularly important for promoting restoration of public goods that are not monetised and are not attractive to private sector investment (Ding et al., 2017). Several countries have made ambitious pledges to global restoration commitments to achieve climate and other global ecosystem service goals, but achieving these goals relies on integrating restoration pledges across multiple political and regulatory levels, so that national aspirations can become action plans that are able to mainstream restoration on the ground (Holl, 2017). Like any emerging economic activity, restoration is likely to proceed more rapidly with government support to overcome critical barriers and reduce risk for private investments (Hanson et al., 2015; Chazdon et al., 2017). The establishment of cross-sectoral restoration initiatives aligned with public policies and social agendas at multiple levels can leverage restoration actions, reform tenure regimes and link local interventions with political aspirations (Rights and Resources Initiative, 2020) (Case study 2). The growth in new markets for nature-based solutions is illustrative. Currently, few countries recognise community rights to carbon on lands owned or designated to communities. Thus, as new financial opportunities rise, we will need adaptations to existing legal frameworks or new frameworks that incentivise local action and benefit-sharing while safeguarding against elite capture (Rights and Resources Initiative and McGill University, 2021).
The scaling up and the dissemination of ecosystem restoration may call for the phasing out of counterproductive policies and subsidies and the repurpose of resources for conservation and restoration. The current agricultural policies and subsidies are often not conducive to conservation and restoration goals. In fact, support for conservation, production retirement and other public goods account only for 5% of
the US$ 600 billion per year in agricultural financial support provided on average, from 2014 to 2016, by countries that produce two-thirds of the world’s agricultural output (Searchinger et al., 2020).
Combining and co-producing traditional and scientific knowledge is the key to effective restoration. Ecosystem restoration is a multidisciplinary activity that can be promoted through many different approaches and relies on different types of knowledge. Having the right information and expertise available to guide decisions in the appropriate timing is key to overcoming the ecological and social barriers preventing an effective and long-lasting restoration process. Both traditional knowledge and scientific knowledge are equally vital, and must be properly integrated and harmonised (Arthington, 2021). Research and development initiatives can greatly contribute to creating restoration solutions that help address implementation challenges. In many cases, critical information exists but is not available for decision makers. Combining traditional and scientific knowledge requires equitable partnerships and reconciling historical processes that marginalised plural knowledge systems to allow their entry into policy (Anderson et al., 2019). Capacity-building initiatives that focus on applying knowledge to practice in a way that is fitting and appropriate to the local context can be an important step towards creating enabling conditions for restoration (Bloomfield et al., 2019). The co-production of interdisciplinary knowledge will require engaging with diverse and legitimate biodiversity perspectives and applying ethical and adaptive procedures negotiated with local actors (Pascual et al., 2021).
Some places are more amenable to restoration than others. Many different enabling conditions exist, with their relative importance for restoration varying across different socio-ecological contexts. Many previous documents have addressed this topic. Table 3 presents a comprehensive, but not exhaustive, list of enabling conditions that are generally important for restoration success that focus on governance and rights. One strategy for ecosystem restoration is to focus efforts on localities where the conditions are most likely to yield successful outcomes and reduce costs and risks (see Key message 3). Where key enabling conditions are not present, it is often critical that additional resources be invested to create them (Baynes et al., 2017).
Table 3. Key aspects of local governance and rights relevant for ecosystem restoration
| Aspect | Guiding questions to assess status or situation | Potential action based on assessment | References |
|-------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------|
| Land tenure and rights | Are resource rights/tenure arrangements secure and amenable to restoration (including zoning regulations)? Do landholders feel that their rights to access/manage resources are secure? The perception of secure land tenure/use rights is key for successful restoration in a range of contexts, as it allows those managing the land to benefit from the restoration in the future. Is there political will to recognise land rights? | Governments need to recognise, assess and adapt land and user rights where necessary to allow those governing or managing the land and water to benefit from the restoration in the future. | Baynes et al., 2015; Baynes et al., 2017; Byron, 2001; Cronkleton et al., 2017; Mansourian et al., 2019; Mercer, 2004; RRI, 2020; Wilson, 2016 |
| Engagement of women and | Are women engaged in decision-making processes around natural resource use and rights? Are there marginalised groups who depend on natural resources for their livelihoods? Are the access, benefits and control equitable? Gender, race, caste, class and so forth can affect how people interact with their environment, and different groups may consider different benefits more or less important. Women in particular have been found to be essential for nature conservation in a range of contexts. Engaging the full spectrum of users is important for restoration success. | Governments, NGOs, civil society organisations and others involved in implementing restoration need to engage community members in decision-making processes in an inclusive way, with a special effort to include voices that may otherwise not be heard, and address gender inequalities. | Baynes et al., 2019, Broeckhoven and Cliquet, 2015; Singh et al., 2021; Siqueira et al., 2021 |
| marginalised groups | | | |
| Polycentric governance | Does the region have mechanisms in place for, or a history of, collaboration and partnership between different levels of governance? Polycentric governance – where many different governing levels and bodies work together to make and enforce rules – can promote restoration because it is more adaptable and less risky than other governance models. | Implementers should work to connect different relevant governing bodies and levels through engagement, awareness building, training and (if needed) governance restructuring to ensure collaboration and partnership between different scales and levels of governance. | Carlisle and Gruby, 2019; Long et al., 2018; Ota et al., 2020 |
| structure | | | |
| Political context | Are social conditions transparent and relatively stable (e.g. in terms of political stability and internal conflict)? Are culturally appropriate systems in place for conflict resolution and rule enforcement? Areas that are politically unstable may be more subject to conditions that could detract from restoration (including corruption, lower prioritisation of restoration compared to other issues, more pressing issues, volatility around rights and tenure, etc.). Conversely, locally relevant processes for resolving conflict can aid restoration implementation and promote longevity. | Awareness building and training are required for planners and decision makers to appreciate how resolving conflict can aid restoration implementation and promote longevity. Places where conflict is rife may not be the best candidates for restoration until conflict is resolved. | Baynes et al., 2015; Le et al., 2012 |
| Policy context | Is the policy context supportive of restoration or do policies contradict each other? Do ‘overlapping policies’ – where policies governing resources at the national and sub-national levels | Policies governing resources at the national and sub-national levels | Baynes et al., 2015; Chazdon et al., 2016; Djenontin et al., 2018 |
Continued...
| Aspect | Guiding questions to assess status or situation | Potential action based on assessment | References |
|------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------|
| Policies | Some policies support while others do not – exist? Policies governing resources at the national or sub-national levels can promote or hinder restoration, even if the policies do not address restoration explicitly. Overlapping policies can cause confusion and regulatory issues during implementation. | Need to be reviewed and changed to ensure they promote rather than hinder restoration. | Baynes et al., 2017; Wilson and Coomes, 2019 |
| History of social cohesion | Are communities or areas with a history of community cohesion and self-organisation present? Do areas have a history of self-organisation, working collaboratively across sectors, or social movements? Where there are local conflicts over resource use or there are no systems in place of working together, the social investment required to restore can be considerable. Finding places where people are able to work well together is important for cost-effective restoration. | Implementers should focus on finding places where people are able to work well together for mutual benefit through cost-effective restoration. Where social cohesion is lower, implementers may have to invest in trust building, resolving local conflict and/or developing community groups and collective governance capacity. | Baynes et al., 2017; Wilson and Coomes, 2019 |
| Local leadership | Are leaders able to engage with restoration? Visionary leaders can be important for bringing restoration into the culture of a local area and building the support needed for lasting stewardship. | Implementers can identify, train and support leaders and champions for ecosystem restoration to develop and enhance a culture of restoration within development activities. | Le et al., 2012; Metcalf et al., 2015; Nerfa et al., 2021; Wilson and Coomes, 2019 |
| History of resource use/culture | Do regions have a history of sustainable natural resource use and management, and/or ties to the resource base? Places with a history of natural resource use and management may make good candidates for restoring ecosystems for livelihood benefits. | Implementers, governments, researchers can create partnerships with communities and document good practices where restoring ecosystems through sound natural resource use and management has benefitted livelihoods and use these to catalyse work in other areas. | Reyes-Garcia et al., 2019 |
| Market access and information | Do communities/organisations in the region have a history of local production through cooperatives or other means? Are there existing mechanisms for coordinating market access? If this is not the case, resources will have to be allocated to develop them. | Implementers can provide support to create cooperatives and associations for aggregating production, (for example, sustainable shade-grown coffee cooperatives). Allocate resources and time to developing mechanisms for ensuring market access. | Byron, 2001; Le et al., 2012; Brancalion et al., 2017 |
| Knowledge and its availability | Is a plurality of knowledge – local, traditional, scientific, citizen science approaches that produce evidence, etc. – accessible to planners and decision makers? Is local knowledge incorporated or documented? Scientific, local and traditional knowledge are crucial for making the right decisions in restoration | Implementers and planners can: 1) undertake assessments of available local and scientific knowledge; 2) ensure the active equitable inclusion and participation of knowledge holders; 3) | Djenontin et al., 2018; Reyes-Garcia et al., 2019; Garzón et al., 2020; Chazdon et al., 2021a |
Continued...
3. Effective ecosystem restoration requires managing trade-offs equitably
The goals and values of stakeholders, when properly represented, will often drive restoration-related actions. Restoration can result in varied benefits and costs, with stakeholders and rights holders weighing these benefits and costs differently based on cultural values and knowledge systems (Constant and Taylor, 2020). Planners, practitioners and communities often face a menu of decisions regarding benefits and outcomes, ecosystem types to restore, restoration methods to use, species to plant, location and area targets, financing, and considerations of risks and uncertainties (Brancalion et al., 2019). The decision problem is complex because all aspects can, and typically do, vary by location and time across landscapes, and the relative importance of each aspect can vary across stakeholders. Thus, to ensure success, it is crucial that different perspectives are thoroughly understood and accounted for in a spatially explicit manner. Participation should be promoted across all steps of a restoration process, from vision, design and implementation to monitoring (Evans et al., 2018; Kingsford et al., 2021). To make participatory planning a reality, restoration planners and other actors will need to set aside the necessary time and resources.
Critical trade-offs among different ecological, economic and social objectives and outcomes may emerge in a restoration programme. Restoration may create winners and losers and inescapable trade-offs (Case study 8). Nature’s contributions to people will vary over time and space. Early stages of restoration often provide greater regulatory services, with older stages providing greater provisioning services, such as timber products (Naime et al., 2020; Zeng et al., 2019). Generally, forests can increase infiltration of water into the ground but this does not make up for very high interception and evaporation losses, so that overall forests reduce water yield downstream in the same catchment (Filoso et al., 2017; Acreman et al., 2021), even if potentially increasing water yield elsewhere via increased precipitation. Furthermore, headwater wetlands normally increase floods and reduce water resources (Bullock & Acreman, 2003; Acreman et al., 2021). In arid and semi-arid regions, increased vegetation cover from restoration can decrease water flows (Shi et al., 2021). Additionally, restoration of urban wetlands can expose humans to mosquito- and other vector-borne diseases; and the maintenance of large woody debris in rivers to provide fish habitat can create a recreational hazard (Finlayson and Horwitz, 2015). These realities highlight the need to develop a shared understanding of benefits and potential costs that different groups may experience from restoration over time to motivate people and mobilise resources (Boedhihartono and Sayer, 2012).
Trade-offs can be better analysed by addressing key questions related to the distribution of restoration costs and benefits in the planning process. These questions are: 1) How do ecosystem goods and services change with degradation, conservation or restoration? 2) What are the causes and risks of ongoing ecosystem degradation and who gains and who loses? 3) What benefits/outcomes/disbenefits are likely to be achieved with restoration, at what time scales, and what is their distribution? 4) What are the implications of identifying trade-offs for restoration priorities? 5) Which areas or types of restoration may maximise multiple benefits while minimising costs? 6) Where and when should restoration actions be scheduled in space and time? 7) Where and how intensively should restoration actions be implemented? Answering these questions and negotiating between different viewpoints is fundamental for lasting
and successful restoration (see the five pointers above) (Metzger et al., 2017). Partnerships with practitioners and scientists are critical and require that scientists participate in on-the-ground restoration projects and collaborative decision-making. Successful restoration projects are characterised by community involvement and transfer of knowledge among scientists, practitioners, community members and administrative organisations in the decision-making process (Dickens and Suding, 2013). It is critical to consider research groups’ knowledge of ecological processes and interactions alongside site-specific knowledge of stakeholders.
Robust restoration spatial planning to support decision-making can increase the likelihood of cost-effective and sustainable restoration outcomes. Spatial restoration planning can help make restoration decisions that clarify benefits, acknowledge trade-offs and limit the risk of restoring ecosystems in inappropriate places (see Example 4: Key message 3) (Strassburg et al., 2019, 2020; Hermoso et al., 2015). Spatial planning also helps ensure that decisions are ecologically sound and cost-effective, which is important given the inevitable need to make some compromises among ecosystem restoration ambitions, demands from other important development challenges and available financing (Example 5: Key messages 3 and 4). It is important that spatial planning incorporates social aspects at the appropriate scale and through inclusive processes, or clarifies its limitations when unable to do so.
National governments, international organisations, local communities and other restoration stakeholders at sub-national levels need to identify and prioritise cost-effective locations for restoration actions. Locations where benefits are high relative to their socio-economic costs and risks are places where restoration is more likely to achieve sustainability (Hermoso et al., 2015). These locations are also where restoration actions are more likely to attract private investment needed to augment government funding and official development assistance. As the global community prepares to scale up efforts during the UN Decade on Ecosystem Restoration, it is important to support decision makers with a robust spatial restoration planning approach and process to strike the right balance across different restoration aspects. The five guidelines below synthesise conceptual understanding, applied frameworks and key principles to help create the social capital needed to manage and deal with restoration trade-offs through a robust spatial restoration planning approach and process.
4. Finance and market infrastructure is critical for scaling up and sustaining ecosystem restoration
Restoration investments need public and private sources of finance. Restoration needs exceed the budgets of national governments, international donors and multilateral development banks (Sewell et al., 2020). While restoration can generate significant net benefits (e.g. forest landscape restoration may create between US$ 7 and US$ 30 for every US$ 1 invested (Verdone and Seidl, 2017)), there is an estimated US$ 300 billion per year shortfall in global funding for restoration and conservation combined (Ding et al., 2017). Filling this global investment gap will require financing from both public and private sectors (Llagre et al., 2015). Emerging from the COVID-19 pandemic, economic recovery packages in several countries have enhanced the availability of public funding for restoration tied to rural development, climate change and biodiversity conservation. For example, some resources tied to the EU’s long-term budget 2021–2027 and NextGenerationEU (budget of €1.8 trillion), aimed at rebuilding a post-Covid Europe (Directorate-General for Budget, 2021), will contribute to restoration. More generally, in addition to funds directly allocated to restoration, public schemes focused on rural development also offer resources for restoration. For instance, India’s Mahatma Gandhi National Rural Employment Scheme, one of the world’s largest livelihood support programmes, supports large-scale land restoration (Ravindranath and Murthy, 2021). Private funding for restoration can be tied to different sources such as corporate social responsibility funds, market-based carbon offset schemes, or mitigation banks and various financial instruments (see Example 5: Key messages 3 and 4).
There is a business case for corporations to invest in restoration. Increasing evidence of the negative effects of land, sea, freshwater and climate deterioration, growing realisation of how these nature losses directly affect business (World Economic Forum, 2020), pro-environmental consumer preferences, regulatory changes and shifts from a shareholder to stakeholder models (Schoenmaker, 2017) have begun to shift private sector incentives, encouraging companies to look beyond short-term profits. A business case for restoration lies in recognising that there are restoration opportunities to grow profits, reduce risks and increase business resiliency, and provide value-based leadership (World Economic Forum, 2021 a, b). In the US alone, the restoration economy creates US$ 25 billion per year in economic output, including US$ 9.5 billion in direct annual revenue and US$ 15 billion annually in economic output through indirect (business-to-business) linkages and increased household spending (BenDor et al., 2015). In southern England, recent evidence points to landscape-scale restoration of agricultural land potentially increasing the contribution of farmland to economic development and employment by increasing flows of multiple ecosystem services (Newton et al., 2021). Carbon-markets, though currently small, are growing in the forest and land use space (Forest Trends’ Ecosystem Marketplace, 2020), offering additional market-based financing opportunities.
Many public and private sustainable finance instruments are available to support restoration. Restoration’s potential to address multiple global challenges such as climate mitigation, poverty alleviation and biodiversity loss has stimulated the development of several innovative financial instruments (Table 4), including those that supply capital (equity and debt instruments including green bonds) and mitigate risk such as insurance mechanisms. Financial and market mechanisms, which offer products or services that make a profit while restoring lands and waterways, can create the right economic incentives for restoration (Brancalion et al., 2017; Besacier et al., 2021). However, matching financial instruments to the scale of opportunities available will require significant modifications to private sector operations. For instance, the low-risk appetite of institutional actors such as long-term pension funds and bureaucratic procedures, and time scales at which corporations operate, run counter to the needs of local restoration actors. Institutional innovations such as blended finance mechanisms, which bring together private financing with public or philanthropic resources and intermediary organisations, which can respond to local needs while reducing investor risks (Example 5: Key messages 3 and 4), will need to grow.
A restoration economy can mobilise local stakeholders through local livelihood enhancement, job creation and business development. Jobs, business opportunities tied to a restoration economy, and clarity on how restoration complements and improves local livelihoods, are essential for restoration to occur at global scale. In the US, for instance, the restoration economy supports some 220,000 jobs (BenDor et al., 2015) and India’s rural employment guarantee scheme employs millions of people to undertake land restoration (Ravindranath and Murthy, 2021). Coastal habitat restoration projects in the US created an average of 17 jobs per US$ 1 million spent, a similar ratio to conservation sectors, and much higher than traditional industries including coal, gas and nuclear energy.
generation (Edwards et al., 2013). Generally, initiatives that link restoration to broader economic, social and cultural activities are likely to grow because they add value on multiple fronts. Delivering such an approach, however, requires planners to recognise that restoration is more than a technical activity (e.g. tree planting). National regulations need to incentivise restoration, and financial opportunities should be made accessible to a wider group of restoration actors over lengthier periods.
The private sector can be a major driver of restoration, with the right enabling policies and incentives. Private financing is generally based on assessments of returns and risks to investors. Policies and incentives that increase revenues (e.g. improve price and market conditions for restoration products by reducing competition from illegal deforestation; regulations that lead to a higher value of carbon sequestration), reduce costs (e.g. improved tax structures) and mitigate risks (e.g. improved legal frameworks supporting investments in restoration) can contribute to an increase in private investment in restoration. The uneven distribution of costs and benefits of restoration projects can make them risky investments. Additionally, where restoration primarily yields public benefits (for instance, improvements in water quality) and few short-term private benefits (improved agricultural yields or jobs, for example), private financing may be limited to the realm of corporate social responsibility. On the other hand, with the right conditions, restoration products (e.g. sustainable wood harvesting) and services (e.g. carbon sequestration) can provide attractive returns to investors. Public actions that increase mutual knowledge among financiers and restoration communities about their respective domains and improve trust among governments, investors and civil society would contribute to growing private financing (Tobin-de la Puente and Mitchell, 2021). National and sub-national institutions have an essential role to play as good governance will reduce risks, improve trust and increase the likelihood of funding flowing into restoration investments and environmental service payments with long-term returns (Canning et al., 2021). In addition, the social capital created by corporate social responsibility programmes can provide a kind of insurance policy that pays off when investors and the overall economy face a severe crisis of confidence (Lins et al., 2019).
Table 4. Innovative finance mechanisms promoting natural capital (restoration and conservation) - examples
| Green financial instruments | What are they? | Examples |
|-----------------------------|--------------------------------------------------------------------------------|--------------------------------------------------------------------------|
| Debt-for-nature swaps | Debt is purchased from a developing country in exchange for local investments in conservation. | Leonardo di Caprio Foundation and TNC facilitated US$ 26 million low interest loan and grants for Seychelles marine project comprising 30% of ocean surrounding islands. |
| Mitigation and conservation banking | Credits to compensate for genuinely unavoidable environmental damage, endangered species or ecosystems. Revenues are used to conserve or protect elsewhere. | Mitigation banking instruments were introduced in the US for the protection of wetlands, with standards for mitigation banks set in 2008. |
| Impact investment | Aims to maximise the positive environmental and social impacts of business activities. | Eco.business Fund set up in 2014 by German Development Bank, Conservation International and Finance in Motion. Has attracted over US$ 600 million. Terra Bella Fund, a private equity fund that provides seed capital to high impact, community-based emission reduction projects. |
| Climate and green bonds | Debt security that can be traded between parties. | Global Environment Facility (GEF) issued Blue Bonds focused on coastal ecosystems. International Finance Corporation (IFC) issued Forest Bonds generated by the Kasigau REDD+ Corridor Project in Kenya. In 2017 HSBC launched US$ 1 billion Sustainable Bond to support SDG-related outcomes. |
| Biodiversity offsets | Economic instruments used to facilitate economic development whilst delivering biodiversity objectives. Should be a last resort after attempts to avoid and minimise biodiversity loss. | The EU Birds and Habitats Directives support the use of biodiversity offsets across the EU-wide Natura 2000 network. |
| Asset class | Broad group of investments in ecosystems that bundle projects together by region. | Credit Suisse and McKinsey launched position paper ‘Conservation Finance: from Niche to Mainstream’ in 2016. |
| Grants | Funds provided for specific purposes that are not paid back. | Adaptation Fund, an international fund for initiatives that help communities in developing countries adapt to climate change. |
5. Adaptive management and monitoring are keys to effective and long-term restoration actions
Transparent monitoring, evaluation and adaptive management are integral and cross-sectional components of the ecosystem restoration process. Restoration monitoring can be conducted from a local project scale to global scale (Reytar et al., 2020). Yet, many restoration actions are not monitored and do not have any formal monitoring plan or funds allocated to monitoring programmes (Wortley et al., 2013). In a survey of restoration projects in Mexico, only 2% monitored social indicators (Méndez-Toribio et al., 2021). Adaptive management is a vital component of a project cycle; a systematic framework involving four phases: visioning, conceptualising, acting and sustaining. Feedback at regular intervals in the cycle allows for opportunities to shuffle priorities, shift implementation activities, and realign resources in response to changing conditions and new information by continuous learning coupled with adapting to increased knowledge (Stanturf et al., 2019). Adaptive management promotes flexible decision-making to modify existing activities or create new activities if new circumstances arise or if projects are not meeting their goals. Adaptive management has been used to enhance coastal restoration projects in Florida (LoSchiavo et al., 2013), as well as in watershed restoration in Nepal (Bhattarai et al., 2021), among other examples (see Examples 6 and 7: Key message 5).
Efforts to capitalise on good practices for ecosystem restoration rely on learning from both successes and failures. Learning about how the socio-ecological system and its many components respond to ecosystem restoration actions creates opportunities to adapt and adjust in ways that reduce uncertainties, identify conditions that impede progress and improve outcomes of projects, programmes and practices (Murray and Marmorek, 2003). Often, in emphasising the success stories, failed aspects of ecosystem restoration projects, programmes, or practices are ignored and are not effectively used as learning experiences (see Key message 2; Bull et al., 2018). Efforts to capitalise on good practices for ecosystem restoration rely on learning from both successes and failures that are revealed from robust case studies, analysis of project monitoring data, and documentation of experiences and outcomes. Learning pathways are important at all levels: within government agencies that set policy; non-governmental organisations that implement programmes to achieve social and environmental impacts; investors and financiers that aim to reduce risk in their investments; corporate and industrial sectors that rely on supply chains for their products, and communities that are directly impacted by ecosystem degradation and restoration.
The goals of ecosystem restoration should be moving, rather than static targets. Ecosystems are complex and dynamic, and it is typically impossible to know how socio-ecological systems will respond to restoration action and ecosystem change (Timpane-Padgham et al., 2017). Most ecosystems and their surroundings face an unpredictable future, including significant impacts of climate change and effects of established invasive species (Belote et al., 2017). In the future, novel types of ecosystems may be outcomes of restoration, as returning to reference ecosystem conditions may not be possible or feasible (Acreman et al., 2014; Higgs et al., 2014). Although high restoration aspirations stimulate action and motivate engagement and commitments, failure to achieve ambitious or impossible goals can discourage actions, reduce investment and generate distrust. Being adaptive by proposing incremental goals and resetting aims and action plans over time in response to observed changes allows restoration actions to be embedded within a theory of change and within the context of a wide array of objectives (Newton et al., 2016; Table 2).
Effective monitoring and evaluation require baseline assessments. All too often, restoration actions are taken without a robust assessment of baseline social and ecological conditions. While available science can often provide guidance, precise knowledge of ecosystem processes is not readily transferable from site to site. Baseline ecological and social data and analysis are key to producing robust local action plans; without them real progress cannot be assessed quantitatively. Baseline assessments provide an important entry point for engagement of multiple stakeholders, allowing them to become agents of change (Arthington, 2021). Restoration actions may provide the first opportunity for input on how to halt or reduce degradation and undertake restorative actions. Baseline assessments should include biophysical indicators of degradation of land, freshwaters, or seawaters and indicators of socioeconomic conditions and human well-being, indicators that are monitored throughout the restoration process.
Monitoring criteria are highly context dependent, particularly when considering the entire ecosystem spectrum of ecosystems (Figure 1). Monitoring frameworks for ecosystem restoration can be based on
a principle–criteria–indicator framework (Chazdon et al., 2020) or on a suite of project objectives (Buckingham et al., 2019). In either case, local communities can be actively engaged in the design of assessment, management and monitoring frameworks and tools. Participatory monitoring can be a highly effective way to engage local communities and to track multiple aspects of socio-ecological change (Evans et al., 2018). Successful participatory monitoring systems collect information on a few simple indicators, respond to local priorities, provide appropriate incentives for participation, catalyse learning and decision-making based on frequent analyses and multilevel interactions with other stakeholders (Evans et al., 2018). Acknowledging the multi-layered and differentiated responsibility of various stakeholders and the power dynamics that embed decision-making, assessment of outcomes, and enforcement of rules and regulations is crucial for adaptive management and stakeholder participation (Osborne et al., 2021). In this context, recognising and empowering the agents of change contributes to their sense of ownership of the restoration process and their motivations for continued engagement. Remote sensing-based monitoring can be effective for evaluating changes in vegetation quality and tree or shrub cover across a range of spatial scales (Reytar et al., 2021; Almeida et al., 2021), but is unlikely to provide information on social dimensions or changes in populations or diversity of animals or understory plant species in forest ecosystems.
Local, regional, national and global monitoring frameworks should be designed to provide complementary and verifiable information for a range of purposes. At the scale of local projects, monitoring indicators should include outcomes of specific practices and implementation techniques; ecological conditions; social conditions and human well-being, including women, youth and marginalised groups; leadership and capacity; and cost-effectiveness. At the local level, monitoring indicators should incorporate information on broader societal outcomes of ecosystem restoration actions such as disaster risk reduction, livelihood development and job creation; capacity development and training; impacts on biodiversity; policy development and cross-sector integration. For example, application of the Landscape Sustainability Index for Restoration in El Salvador shows how different socio-economic and biophysical indicators interact to provide a general status of restoration in a landscape (Zamora-Cristales et al., 2020). At the national level, these metrics should also include impacts of ecosystem restoration actions on reducing degradation within and across different land-use and water-use categories. Global monitoring of restoration actions will focus on use of remote sensing imagery to detect changes in vegetation cover and its properties, land-use change, impacts on rivers, and to identify areas where degradation and recovery are occurring at significant spatial scales. Independent national and international monitoring tools and platforms can support reporting to UN conventions and to global platforms such as the Restoration Barometer, developed by IUCN initially to track progress on forest landscape restoration and from 2022 across all terrestrial ecosystems, including coastal and inland waters. Similar coordinated action does not yet exist to track progress across all areas of ecosystem restoration (Tickner et al., 2020). FAO and partners of the Decade’s Monitoring Task Force launched in 2021 the Framework for Ecosystem Restoration Monitoring, as a collaborative effort to monitoring progress under the Decade.
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RECOMMENDATIONS
Recommendations: building the ecosystem restoration movement
Restoration is a process that builds over a long period of time and opens up new opportunities for engagement, learning and innovation. Restoration is an opportunity to engage in collective action and to forge new alliances with multiple stakeholders, including Indigenous, marginalised or poorly recognised societal groups. Successful restoration requires the development of effective long-term partnerships, and in so doing, creates multiple social, economic and ecological, even cultural and spiritual benefits. Restoration actions need to be long-lasting, making it important that these actions are inclusive and responsive to the needs of diverse individuals and entities who have stakes in land and waterscapes that need restoring.
Local communities must be empowered to lead restoration movements. Community and landscape right-holders and stakeholders need to be at the centre of restoration movements through their legitimate positions as land stewards, property owners and local decision makers. Local and community organisations can directly address local needs and may have the capacity, motivation and local knowledge to take effective restoration action. Local knowledge can, additionally, be supplemented with technical support to enable restoration based on the best scientific practices. Empowering local decision-making processes for restoration by incorporating local knowledge and cultural traditions can contribute to enduring outcomes.
Restoration requires fundamental shifts in economic and political institutions so that they pay attention to the long-term and varied benefits of functioning ecosystems. Learning from previous restoration successes and failures must be implemented to bring ecosystem restoration to scale. To drive the investment and commitment needed to achieve the goals of the UN Decade on Ecosystem Restoration, the immediate and long-term values of restoring ecosystems need careful attention. Restoration offers varied benefits in different settings and over different time periods, enabling both short-term improvements in livelihoods and adaptation to uncertain future climate threats. New forms of economic and governance institutions that recognise the short- and long-term roles of ecosystems in growing resilient economies may need to be forged.
The ideals of the UN Decade on Ecosystem Restoration – partnership, inclusiveness and joint coordinated action – need to be based on shared core principles, good practices and practical approaches to monitoring and evaluation. As ecosystem restoration becomes increasingly adopted, implementation must be supported by evidence, tools and methods that translate generic concepts to the realities of socio-environmental contexts. Coordinating and aligning actions may require time and support to strengthen local social capital, which is needed for effective implementation (Chazdon et al., 2021b). Shared core principles can form the basis for developing priorities for restoration interventions and guide monitoring and adaptive management (Chazdon et al., 2020; Kingsford et al., 2021). These principles will need to be adapted to local realities by incorporating local and traditional ecological knowledge and practitioner experience.
Ecosystem restoration actions create opportunities for multiple agents of change to work together. Restoration requires user-friendly information sharing and inclusive engagement from the outset for collective actions that can contribute to trust, social and political capital, creating more resilient economies (Ostrom, 1990). In addition to the sector-level actions recommended in Table 5, we emphasise the importance of forming multi-sector alliances, particularly at sub-national levels (Case study 2). These alliances can play a unique role in building bridges for communicating, understanding and balancing restoration trade-offs, galvanising support for long-term and effective partnerships between public and private sectors. They can also support building an evidence base for restoration from scientific knowledge, practitioner experience, traditional and local knowledge, and policy experience that dispels myths and poor science and recognises trade-offs.
Table 5. Specific recommendations for ecosystem restoration actions by different social agents
Each of these agents has its own needs and motivations. They contribute to restoration in unique ways, but these efforts need to be synergised in ways that build on each other and that make ecosystem restoration actions a shared enterprise. In some cases the optimum approach to restoration may be integration of nature-based solutions and hard engineering (see Case Studies 5 and 6). Below is a non-exhaustive list of recommendations for all types of actors.
Actions for landowners, landholders and resource managers
- Organise to form cooperatives to support each other in implementing restoration.
- Be open to adopting and sharing new practices and demonstrating results to others.
- Recognise and reduce the drivers of degradation from poor land use or resource management practices.
- Engage family and community members in restoration activities on farms and managed areas, in surrounding landscapes/seascapes.
- Apply and document local knowledge and experiences.
Actions for the business sector
- Innovate new commercial products, services and technological platforms that support restoration activities and knowledge sharing.
- Identify and recognise the risk reducing benefits of restoration to varied supply chains.
- Create new markets for restoration-based products and services.
- Transition to a nature-positive, net-zero economy.
- Recognise and reduce the drivers of degradation within corporate supply chains, including unsustainable extractive activities.
- Become leaders of the ecosystem restoration movement, in partnership with governments, Indigenous Peoples and civil society.
- Integrate and promote community decision-making into investment models.
- Invest in local and regional conservation and restoration actions.
Actions for government agencies and organisations
- Develop and enforce laws, accountability frameworks, metrics and transparency mechanisms that regulate and restrict activities that drive ecosystem degradation (including mining, habitat loss, illegal animal trade, illegal hunting, overharvesting).
- Recognise and reduce the drivers of degradation within government initiatives.
- Develop long-term vision and planning for restoration with engagement of key right-holders and stakeholders.
- Encourage cross-sector task forces that align restoration with climate mitigation, biodiversity conservation and sustainable development.
- Reform land tenure policies and devolve land management to local communities.
- Reward/pay local stewards for protecting and restoring ecosystems services.
- Raise capacity at all levels, including developing new institutions focusing on long-term effective governance objectives.
- Enhance transparency and fight corruption in governance systems that relate to ecosystem management.
Actions for finance and investment sectors
- Find innovative ways to reduce risk in restoration investments and to increase opportunities, including by integrating natural accounting into investment decisions.
- Develop social safeguards, due diligence, accountability frameworks, metrics and transparency.
- Expand opportunities to integrate natural capital accounting into investment decisions.
- Divest from companies and sectors that degrade ecosystems.
- Provide microfinance for local restoration actions through investments.
- Develop blended finance mechanisms in partnership with public agencies and civil society organisations.
- Support long-term process funding for restoration.
Actions for civil society organisations
- Create channels for community engagement, action and leadership and for women’s groups and youth groups.
- Identify and promote restoration ‘champions’ across society and inspire young people.
- Help build a community of restoration practitioners across all levels of society.
- Work holistically. Couple restoration actions with economic opportunities and livelihood support, including opportunities for women and youth.
- Incentivise stewards of ecosystem restoration through direct cash payments and other reward schemes.
- Showcase restoration actions through pilot projects.
- Become leaders of the ecosystem restoration movement, in partnership with governments and civil society.
Action for scientists and technical advisors
- Synthesise past research and indicate in an unbiased manner how and where ecosystem restoration can work and the limitations of available knowledge.
- Assess how ecosystem restoration fits with other development priorities and approaches (such as engineering solutions).
- Identify social and economic benefits of restoration and the distribution of these benefits. Be clear about trade-offs and disbenefits of restoration.
- Disseminate best scientific advice in readily understandable language.
- Provide a service to interpret scientific findings and advice.
- Undertake new research in priority areas that helps to design effective restoration actions and inform decision makers.
CASE STUDIES AND EXAMPLES
Case studies and examples linked to key messages
This section presents case studies of ecosystem restoration projects and examples that relate directly to the key messages. While the case studies cover a broad range of ecosystem restoration projects across a wide number of regions, the relevant key message numbers are referenced in the example box titles so they can be easily linked.
CASE STUDY 1. RESTORING FARMS AND LIVELIHOODS BY HELPING TREES REGENERATE NATURALLY IN DRYLANDS
Drylands occupy more than 40% of the world’s land area and are home to an estimated two billion people. In the 1970s and 1980s, the Miradi and Zinder dryland regions of Niger in the West African Sahel faced multiple droughts and famine in addition to severe scarcity of fuelwood, building materials and fodder. Soil degradation made agriculture nearly untenable. Farmer-managed natural regeneration (FMNR) was included as part of a Food for Work programme in the 1980s, in which farmers were incentivised with food aid to encourage the growth of trees on portions of uncultivated land (Tougiani et al., 2009). The FMNR approach generally involves selecting existing tree stumps and seedlings to be protected, pruning stems, and protecting regenerating seedlings by fencing and/or establishing social rules and norms around tree protection and fire control (Tougiani et al., 2009). Adoption of FMNR techniques vastly improved agricultural yields, and once accepted by farmers, was relatively easy to implement. The benefits of FMNR to local livelihoods were overwhelmingly positive: increased yields, firewood availability, income and production diversity (Chomba et al., 2020). Within the first year of adoption, farmers saw an increase in fuelwood and fodder and reduced soil erosion (Sendzimir et al., 2011). FMNR spread throughout the region through both external interventions, and by word of mouth and farmer-to-farmer learning and exchange. Vast areas of these regions went from severely degraded farmland to agroforests through the spread of FMNR. These simple methods are now encouraged by multiple levels of government in Niger, and practised over hundreds of thousands of hectares in dryland ecosystems of Niger and throughout many countries of Africa and Asia.
CASE STUDY 2. MULTI-SECTOR RESTORATION INITIATIVES FIND FERTILE GROUND IN BRAZIL
The Atlantic Forest Restoration Pact (Pact) in Brazil exemplifies a bottom-up, smart governance mechanism that promotes stakeholders’ participation and engagement for ecosystem restoration (Brancalion et al., 2013). Formed in 2009, with the goal of restoring 15 million hectares of Atlantic Forest by 2050, the Pact has grown to 350 institutional members and is organised into six working groups and 18 regional units. During 2011–2015, 673,000–740,555 ha of forest was restored through natural regeneration and restoration plantations (Crouzeilles et al., 2019). The Pact has a coordinating council, elected in plenary by the signatories, a general coordinator and a vice coordinator, elected by the council. Part of the Pact’s success in promoting large-scale ecosystem restoration is related to the development of governance, communication and articulation strategies to engage, connect and promote capacity building and involvement in different sectors of the restoration supply chain, also promoting a vision and strategies to influence public policies and actions at multiple scales (Crouzeilles et al., 2019). Inspired by the Pact’s success, the Alliance for Restoration of the Amazon (Alliance) was founded in 2017. The Alliance has grown to 80 institutional members, which include 10 governmental groups, 13 academic/research groups, 21 companies, and 36 civil society organisations and associations. This past year they produced a map showing 2,773 restoration initiatives across the Brazilian Amazon, totalling 113,520 ha, that were largely initiated or supported by Alliance members. In their latest position paper, they present ten pathways to expand the scale of restoration in the Amazon, through a positive agenda focused on compliance and improvement of legislation, development of sustainable production chains and the engagement of the government, private sector, financial, training, research and extension sectors, and all of civil society.
CASE STUDY 3. RESTORING URBAN FORESTS IN NEW ZEALAND
The Hamilton Ecological District (159,376 ha) in the northern North Island is one of the most modified districts in New Zealand – only 1.6% of the indigenous vegetation remains. At least 20% of its indigenous flora is threatened or extinct and more than one half of its indigenous bird species have disappeared. Research on urban restoration ecology has been conducted in Hamilton City (population 160,000) since the mid-1990s (Wallace and Clarkson, 2019). The potential for reconstructing indigenous forest within the city was recognised in 2000 when 60 ha of abandoned pasture on public land was set aside for the establishment of Waiwhakareke Natural Heritage Park in an effort to restore parts of the distinctive gully landform that occupies some 750 ha (8% of the city). Forest restoration has been a joint effort between local government and community, continuing a 15-year partnership that has overcome political inconsistency and turnover in leadership of charitable groups. A strong emphasis on partner engagement made the progression of the restoration plan possible. Partners receive benefits through their connection to on-the-ground restoration work (Wallace and Clarkson, 2019). Urban green spaces do not have to be completely restored for citizens to enjoy them. Participating in early stages of ecological restoration can be a therapeutic experience; planting and weeding by volunteers provides a needed connection with nature and builds community for urban residents (Matsuoka and Kaplan, 2008). In addition to ecological recovery of indigenous forest biodiversity and aquatic life, forest restoration brings numerous and wide-ranging improvements to urban residents, including environmental, aesthetic, scenic and cultural benefits.
CASE STUDY 4. FOREST RESTORATION EMPOWERS A HYDROELECTRIC DAM
Itaipu, a huge hydroelectric dam on the Paraná River on the border between Brazil and Paraguay, is one of the most economic and financially efficient hydropower projects in the world. Soil erosion due to deforestation of the Itaipu dam’s watershed leads to huge dredging costs of several million US$ per year. During 2000–2010, 1.02 million ha of forests were lost in the whole watershed, with Paraguay showing a greater rate of forest loss. Continued forest degradation at this rate is likely to impact the Itaipu dam operationally and economically.
Forest restoration in the buffer zone of the Itaipu reservoir through the Cultivating Good Water Program has contributed to reducing siltation and increasing flows of streams into the reservoir. The programme, operated in 29 cities across the Paraná River Watershed from 2003 to 2017, consists of 20 programmes and 63 initiatives dedicated to issues including environmental education, watershed management, biodiversity, sustainable rural development, medicinal plants, fish production and fish farming.
CASE STUDY 5. ENHANCING ECOSYSTEM RESTORATION THROUGH ENGINEERING
The National Trust’s Holnicote Estate comprises around 40 km² of land from Exmoor (in the south) northwards towards Porlock Bay in the UK. Two main rivers drain this area, namely Horner Water and the River Aller. Significant flooding events from 2000 to 2007 caused much economic damage and prompted greater interest in the role of surface water runoff from the rural environment and the inter-relationships between river channels and floodplains and adjacent settlements. Ecosystem restoration of the Holnicote catchment (National Trust, 2015) involved reforestation of the upland catchment and reconnection of the river and its floodplain. However, the most significant benefit of the work was reduced flood risk to downstream settlements that was actually achieved by building embankments and deflectors on the floodplain to increase flood water retention, demonstrating the success of integrating natural and engineering approaches. Palmer et al. (2014) provide another example of an emerging form of urban stream restoration, which involves transforming the stream channel into a stormwater management structure designed to reduce peak flows and enhance hydraulic retention of stream flow with the goals of reducing bank erosion and promoting retention of nutrients and suspended sediments.
CASE STUDY 6. RE-PURPOSING BUILT INFRASTRUCTURE FOR ECOSYSTEM RESTORATION
Under natural conditions some 6,000 km² of the Waza-Logone floodplain in northern Cameroon is inundated annually by the River Logone, which runs north into Lake Chad (Tchamba, 1995). For centuries, this natural flood supported vital ecosystem services for local communities. The fishing, grazing and flood recession agriculture of the floodplain has been valued at US$ 2.5 million per year (Loth, 2004). Approximately 150,000 ha of the floodplain was designated as the Waza National Park in 1968 supporting elephant, giraffe, lions and various antelope. Due to low rainfall in the 1970s and increasing food demands from a rising population, a dam and embankments were built along the river and across the floodplain creating Lake Maga to supply water to an intensive rice cultivation scheme. This led to reduced floodplain inundation, devastating the floodplain fisheries and pastoral economy, and loss of biodiversity that reduced tourist potential of the park (Acreman, 1994). To rectify this situation, the embankments were modified in 1994 and large water releases were subsequently made from Lake Maga to allow flood waters to reach the floodplain once again, revitalising the traditional natural resources, farming and fishing practices and biodiversity in the park. The existence of the dam and embankments means that floods can be controlled and are more consistent from year to year compared with the natural high hydrological variability which often brought massive floods one year and no flood the following year. This provides an example of integrated management of natural floodplain functioning and built infrastructure to deliver optimum benefits to people.
CASE STUDY 7. RESTORING DEGRADED SOILS THROUGH REGENERATIVE AGRICULTURE
The core intent of regenerative agriculture is to improve soil health, which enhances the quality of water, vegetation and land productivity. Regenerative agriculture seeks to produce more crops from less land area, with less input of chemicals, less use of water, less emission of greenhouse gases, less risk of soil degradation, and less use of energy-based inputs (Lal, 2020). Regenerative agriculture is essentially a recasting of sustainable agriculture, sustainable intensification, climate-smart agriculture, organic farming, and agroecology into one package (Giller et al., 2021). Methods of regenerative agriculture not only increase the amount of soil organic matter (SOM) in existing soils, but also build new soil. Enhancing SOM content also increases retention of water, soil fertility and disease resistance (Lal, 2020). The greatest opportunities to increase soil carbon are found in low yielding regions on clay (as opposed to sandy) soils, where increasing crop yields increase available biomass stock and inputs of organic matter to the soil. Among the practices associated with regenerative agriculture, agroforestry in its many practices probably has the greatest potential to contribute to climate change mitigation through carbon storage by both above- and below-ground components (Giller et al., 2021). Transitioning from conventional to regenerative agriculture involves more than a suite of mitigation and adaptation practices. Rather, it involves subjective decisions associated with culture, values, ethics, identity and emotion that operate at individual, household and community scales and interact with regional, national and global processes (Gosnell et al., 2019).
CASE STUDY 8. TRADE-OFFS IN COASTAL RESTORATION AND PROTECTION
On 29 October 2012 Hurricane Sandy struck the New York–New Jersey area causing US$ 50 billion in damage and resulting in 117 fatalities (Eastern Research Group, 2016). This catastrophic event provided opportunities to restore ecosystems and make informed decisions that take into account the trade-offs among different benefits from ecosystem restoration. A survey evaluated trade-offs between four ecosystem services provided by saltmarsh restoration at Forsythe National Wildlife Refuge (NWR): 1) bird habitat; 2) recreation; 3) protection of homes from storm surge; and 4) protection of homes from non-surge flooding. Perceptions of trade-offs were evaluated based on individual’s willingness to pay for different ecosystem services resulting from saltmarsh restoration. People living 100 miles from Forsythe were willing to pay 60%, 95%, 35% and 49% of the amount that people within a mile of Forsythe are willing to pay for protecting 5,000 homes from flooding, for minimal or significant habitat improvements, for minimal recreational improvements, and for significant recreation improvements, respectively. Also, people who reported no impact of Hurricane Sandy were not willing to pay anything for protecting homes from flooding, very little for minimal recreation improvements, and slightly more for significant recreation improvements and significant habitat improvements.
As terrestrial ecosystems recover, carbon accumulates in above- and below-ground biomass and soils, providing a sink for atmospheric carbon dioxide that can partially counteract carbon sources and mitigate climate change, in addition to providing other ecological and socio-economic benefits (Locatelli et al., 2015; Griscom et al., 2017). In regions of China where six major forest restoration projects were conducted since the 1970s, over half of the total annual carbon sequestration during 2000–2010 was attributed to implementation of restoration projects (Lu et al., 2018). Restored coastal wetlands, such as mangroves, seagrasses and salt marshes, can also be important sinks storing carbon on a larger area basis compared to inland wetlands (Taillardat et al., 2020). Although they occupy less than 0.05% of the world’s ocean surface area, these ‘blue carbon’ ecosystems store 50–70% of the total carbon stored in ocean sediment (Nellemann et al., 2009; Donato et al., 2011). Carbon capture and storage on abandoned farmland can be accelerated via managing plant diversity through restoration approaches, creating and applying biochar to soil, and co-developing renewable energy technologies (Yang et al., 2020). Grassland restoration significantly increased carbon in soils based on experimental studies in China and Kenya (Mbaabu et al., 2020; Song et al., 2018). Restoration is also a means to address climate adaptation in the context of sustainable development, while also contributing to climate mitigation (Locatelli et al., 2015; Stanturf et al., 2015). Community-based restoration of degraded subtropical thickets in South Africa aims to achieve broad climate mitigation and adaptation goals as well as enhancing local livelihoods and economies (Favretto et al., 2018). Climate change also brings risks and challenges for ecosystem restoration, emphasising the importance of identifying sources of ecological resilience as a critical step in restoring ecosystems in a changing climate (Timpane-Padgham et al., 2017). The ecosystem attributes of species diversity and connectivity are commonly considered to confer resilience because they apply to a wide variety of species and ecosystems (Timpane-Padgham et al., 2017).
EXAMPLE 2: KEY MESSAGE 1
Disbenefits of wildlife for farmers in southwestern Ethiopia
In southwestern Ethiopia, a survey of community members revealed an uneven distribution of benefits from conservation and reforestation activities that emerged from household interactions with the natural and biophysical components of the landscape (Dorrestein et al., 2017). While the rural community members benefitted from growing coffee in the forest, for example, they also experienced disbenefits, such as wild animals raiding their agroforestry plots. Disaggregation of benefits and disbenefits across different household types revealed that some households experienced higher benefits and lower disbenefits from forests than others and this had to do with characteristics such as household size and proximity to the forest. This case study underscores the importance of evaluating the costs and benefits of conservation and restoration actions alongside livelihood activities, and understanding trade-offs between different community groups. This data can improve the evaluation of management strategies that can minimise or mitigate for existing disbenefits and tailor strategies based on the targeted groups affected (Pascual et al., 2017).
EXAMPLE 3:
KEY MESSAGE 2
Empowering Indigenous Peoples and local communities to restore ecosystems
Around the world, indigenous lands and territories have demonstrated better management of natural resources, including lower levels of deforestation and better resource stocks (Baragwanath and Bayi, 2020). Local management by non-indigenous groups can also lead to better outcomes if communities are able to benefit from the lands and resources they manage (Bray et al., 2003). Working with these groups to restore ecosystems has demonstrated success in a range of contexts (Reyes-Garcia et al., 2019). Indigenous and local peoples are ideally situated to do the work and provide the stewardship required to restore ecosystems, provided they are empowered to benefit from their work in a way that supports local livelihoods and is culturally relevant (Oldekop et al., 2020). At the local level, land tenure security and good governance are keys for restoration success (Le et al., 2012; Baynes et al., 2015). But good governance practices take time to implement – for example, processes for consultation, inclusion, identifying who is impacted, capacity building of actors and so forth, and are often costly. Working with communities and organisations that have these processes in place can save time and effort.
EXAMPLE 4: KEY MESSAGE 3
Optimising selection of global priority areas for ecosystem restoration based on biodiversity, climate and costs
A global analysis showed that cost-effectiveness for biodiversity conservation, climate change mitigation and cost savings can increase up to thirteenfold with optimised multi-criteria spatial planning compared with business-as-usual approaches that do not take into account spatial optimisation planning (Strassburg et al., 2020). Restoring 15% of converted land in priority areas could avoid 60% of expected extinctions while sequestering 299 GtCO₂, or 30% of the total CO₂ increase in the atmosphere since the industrial revolution. This analysis also highlights the value of considering several ecosystems simultaneously in the spatial planning process, as these ecosystems vary in their relative contribution to the benefits (biodiversity conservation and climate change mitigation) and costs (implementation and opportunity costs). Wetlands and forests are of the highest relative importance for biodiversity conservation and the mitigation of climate change, respectively. Arid ecosystems and grasslands are of the highest relative importance for cost savings. When targeting all benefits and costs, all ecosystems provide important priority areas for restoration.
EXAMPLE 5: KEY MESSAGES 3 AND 4
Blended finance for integrated landscape restoration
Blended public and private finance is essential for generating monetisable and non-monetisable social, natural and financial returns. Commonland (CL) is a landscape-scale integrated framework for ecosystem restoration (over a minimum period of 20 years) that clarifies the need and arrangements for blended finance. Seeking four types of returns (inspiration or hope, and natural, financial and social capital) (Ferwerda, 2015), restoration under this framework includes social, ecological, economic and cultural interventions necessary for achieving impacts. Non-monetisable values (inspiration) include building common ground and trust between stakeholders and creating opportunities for sharing purposes that connect and energise.
There are many advantages to this approach. By intertwining business prototyping and development early on with partnership-building, the approach seeks to promote innovation that can lead to the creation of companies and market access. For example, Almendrehesa in Spain, a company which now exports regenerative almonds to the EU market, emerged about a year after the establishment of the landscape partnership ‘Association AlVeAl’ in 2015. The long-range (20-year) financial plan for this landscape-scale project estimates that 30% of the funds will come from grants and public works funding and 70% will come from business investments in regenerative agriculture, forestry, processing plants and composting (Ferwerda and Moolenaar, 2016).
Other examples show how businesses within a restoration landscape can also generate income for project interventions. Wide Open Agriculture, a regenerative food and agriculture company formed by farmers in the Wheatbelt region of Western Australia in 2015, was listed in the Australian Stock market in 2018. Funding pots generated by the company are directed to social interventions at landscape level in order to build trust and partnerships with Aboriginal communities, local NGOs and other stakeholders, who jointly aim to restore and connect native vegetation, sacred land and regenerative agriculture.
EXAMPLE 6: KEY MESSAGE 5
Adaptive management challenges
Analysis of ecosystem restoration projects in eight tidal salt marshes in the Sacramento–San Joaquin Delta of San Francisco Bay, USA revealed several challenges for implementing adaptive management. In the delta, adaptive management is not yet a well-defined or easily implemented strategy for restoration managers. In some cases, challenges arise due to conflicting regulatory priorities. From a regulatory perspective, tidal marsh restoration is complex because it generally involves converting one wetland type into another (e.g., managed wetland to tidal marsh), which can have a harmful effect on pre-existing species. Fulfilling mandated restoration targets creates challenges for practitioners in properly funding to fulfill restoration obligations. Coordinating science and management, and coordinating multiple agencies involved in restoration projects are additional challenges reported by practitioners and managers (Nagarkar and Raulund-Rasmussen, 2016).
EXAMPLE 7: KEY MESSAGE 5
Restoration of vegetated coastal ecosystems
Vegetated coastal ecosystems, including mangroves, seagrasses, saltmarshes and kelp forests, are critical habitats that provide a diverse array of ecosystem services such as fisheries production, sediment and nutrient trapping, storm protections and carbon storage. Mangroves are confined to tropical and sub-subtropical coasts (Giri et al., 2011). Seagrass beds are found from cold polar seawaters to the tropics, while salt marshes are found in all regions, but most commonly in temperate areas. Kelp forests are primarily associated with temperate and arctic seawaters worldwide (Wernberg et al., 2019). Combined, these ecosystems cover approximately 207 million ha; with more than 10% of each habitat type occurring within marine protected areas (UNESCO, 2020).
Rapid loss of coastal habitats is experienced around the world as a result of human activities (over-exploitation of resources, hydrological alterations, decreased coastal sediment supply, pollution and emplacement of coastal infrastructure) as well as climate change (Mcleod et al., 2011). Cumulative losses over the last 50–100 years have been measured at 25–50% of total global area of each habitat type (Giri et al., 2008; Bunting et al., 2018). This decline continues today, with estimated losses of 0.5–3% annually depending on ecosystem type (Pendleton et al., 2017). At current conversion rates, 30–40% of tidal marshes and seagrasses and nearly 100% of mangroves could be lost in the next 100 years (IPCC, 2019). Loss of kelp forests has been variable across the world, with some ecoregions such as South America recording a 38% decline over the last 50 years (Filbee-Dexter and Wernberg, 2018).
Restoration of marine ecosystems can transform degraded ecosystems to healthier and productive states. Depending on the approaches used, marine restoration can be an expensive undertaking, but in most cases potential benefits of restored areas are significantly higher than the real costs. The average reported cost of restoration of one hectare of marine coastal habitat is around US$ 1,600,000 (Bayraktarov et al., 2016); though significantly lower in developing economies. Seagrass ecosystems are among the most expensive ecosystems to restore, when compared to mangroves and salt marshes.
EXAMPLE 8. KEY MESSAGE 2
Freshwater ecosystems
Freshwater ecosystems include springs, rivers, lakes, wetlands (such as bogs, fens, marshes), groundwaters and transitional environments such as estuaries and coastal lakes with variable salinity. Freshwater makes up only 0.01% of the world’s water and freshwater ecosystems cover only approximately 0.8% of the Earth’s surface, yet freshwater ecosystems support almost 6% of all described species (Dudgeon et al., 2006). Some 2,314 freshwater sites are designated as Wetlands of International Importance (Ramsar Sites) covering 242,409,779 ha (Ramsar Convention on Wetlands, 2018). However, not all sites are well managed or adequately protected from threatening processes (Acreman et al., 2018; Acreman et al., 2020) and many are degrading and require restoration.
The major threats to freshwater ecosystems have been synthesised in six main categories: hydrological alterations, habitat degradation and loss, pollution, over-exploitation, invasive species, and climate change (Dudgeon et al. 2006). These have been mapped at global scale (Reis et al. 2017; Grill et al. 2019) and elaborated as new pollutants and configurations of stress emerge (Reid et al. 2019). Yet, in spite of considerable restoration efforts, freshwater biodiversity loss and ecosystem degradation continue in most countries. The Freshwater Living Planet Index of 944 species of mammals, birds, amphibians, reptiles and fishes has declined by an average of 84% – far exceeding the rate of decline found in species populations in marine or terrestrial biomes (WWF, 2020). Freshwater biodiversity was the over-riding conservation priority during the International Decade for Action – ‘Water for Life’ – 2005 to 2015, but considerable restoration action is still needed. To this end, an Emergency Recovery Plan for freshwater biodiversity (Tickner et al., 2020), sets out six major priorities for global action and policy development to “bend the curve of freshwater biodiversity loss”.
Freshwater ecosystems are distributed around the landscape, from mountains to coasts. They are interconnected with the landscape and with each other by the movement of water that carries nutrients and sediment and allows species to disperse and migrate into diverse habitats. Connectivity among them needs to include longitudinal (between upstream and downstream reaches), lateral (between river and adjacent side channels and floodplains) and vertical (between surface water and groundwater) dimensions. However, this connectedness makes them vulnerable to environmental change in catchments, riparian zones, upstream channels as well as locally at any site. In particular, dams and weirs have led to fragmentation of freshwater ecosystems and only 23% of large rivers flow uninterrupted to the sea (Grill et al., 2019). Climate change has altered water availability to and within freshwater ecosystems worldwide (Gudmundsson et al., 2021). Land use changes, such as deforestation, have altered river flows such as in Brazil (Levy et al., 2018) and Malawi (Palamuleni et al., 2011) and pollutants have decreased water quality, such as in China (Yan et al., 2015) and river channel alterations have degraded habitats, such as in Europe (Aarts et al., 2004). We recognise that some alteration of freshwater ecosystems, such as dams, diversions and water withdrawals, is essential to support human life, but these activities can be restricted to a few carefully selected river basins allowing others to be restored and conserved.
Restoration of freshwater ecosystems presents many challenges, not least the need to address numerous issues in the whole catchment feeding these water-dependent systems. Restoration actions often need to include reinstatement of terrestrial ecosystems within the catchment upstream, riparian restoration, release of appropriate water flows from storages, installation of fish passes at barriers, reduction of pumping from groundwater, prevention of pollution from farming and industries, and at-site replacement of habitats. These restoration activities have implications for many businesses, government departments and agencies, non-governmental organisations and dispersed local communities, with potential for diverse, conflicting aspirations. Freshwater ecosystem restoration typically requires collaborative planning, design, decision-making and action at landscape or catchment scale (Finlayson et al., 2018) and significant effort to integrate traditional cultural and scientific knowledge (Arthington et al., 2018). The emerging model is that freshwater ecosystems and their catchments are coupled human and natural systems, wherein setting restoration objectives and devising management solutions require engagement and collaboration among engineers and hydrologists, ecologists, social scientists and citizens (Bunn 2016; Arthington, 2021).
**Adaptive management**
A systematic process for continually improving management policies and practices by learning from the outcomes of previously employed policies and practices. (Millennium Assessment). It uses management as a tool to not only change the system, but also learn about the system.
http://www.millenniumassessment.org/documents/document.776.aspx.pdf
**Ecological restoration**
A process intended to assist the return of an ecosystem to its historical trajectory and to recover a self-sustaining native ecosystem as close to the original state as possible. Restoration can involve a continuum of interventions that vary in scale, intensity and cost and may require long time frames for full recovery.
**Ecosystem collapse**
A condition when it is virtually certain that an ecosystem’s defining biotic or abiotic features are lost, and the characteristic native biota are no longer sustained. Collapse is considered an endpoint of ecosystem decline and degradation.
**Ecosystem degradation**
A persistent reduction in the capacity of an ecosystem to support native species and provide ecosystem services.
http://www.millenniumassessment.org/documents/document.776.aspx.pdf
**Ecosystem functionality**
How well ecosystem processes work together. Ecosystem functions include all of the biological and physical interactions that occur in an environment, such as the exchange of energy and nutrients in the food chain.
**Indigenous knowledge (or local knowledge)**
The understandings, skills and philosophies developed by societies with long histories of interaction with their natural surroundings. For many Indigenous Peoples and local communities, indigenous knowledge informs decision-making about fundamental aspects of day-to-day life.
**Managed ecosystems**
Complex, dynamic systems with spatially varying inputs and outputs that are the result of interrelated physical processes, biological processes, and human decision-making processes. Examples include agricultural and agroforestry systems, forestry plantations, fish farms and other grazing systems.
**Multi-sector coalition**
An alliance or partnership created when individuals and organisations from different sectors – e.g., nonprofit, government, philanthropic, research and business – use their diverse perspectives and resources to jointly solve a societal problem and achieve a shared goal.
**Nature’s contributions to people**
The contributions, both positive and negative, of living nature (i.e. diversity of organisms, ecosystems, and their associated ecological and evolutionary processes) to the quality of life for people. These contributions include material and non-material aspects.
https://ipbes.net/glossary/natures-contributions-people
**Net positive practices**
A way of doing business that puts back more into society, the environment and the global economy than it takes out. Becoming net positive requires organisations and companies to plan for long-term outcomes, going beyond risk avoidance, externalising environmental damage and incremental improvements.
https://www.forumforthefuture.org/net-positive
**Reclamation**
Commonly used in the context of mined lands where the objective is to return land and watercourses to an acceptable standard of productive use, ensuring that any landforms and structures are stable, and any watercourses are of acceptable water quality. Reclamation typically involves a number of activities such as removing any hazardous materials, reshaping the land, restoring topsoil, and planting native grasses, trees, or ground cover.
**Rehabilitation**
The reparation of ecosystem processes, productivity and services rendered with regard to achieving the fullest possible re-establishment of the species composition and community structure of the original ecosystem.
**Remediation**
The reduction or elimination of contaminants from a place where they are not wanted. Phytoremediation is the process of removing toxic metals or other substances from soils or substrates using plant species that accumulate these substances in their tissues. Bioremediation involves a suite of techniques using bacteria or other microorganisms to break down toxic contaminants.
Restoration
A process intended to assist the return of an ecosystem to its historical trajectory and to recover a self-sustaining native ecosystem as close to the original state as possible. Restoration can involve a continuum of interventions that vary in scale, intensity and cost and may require long time frames for full recovery.
Restoration supply chain
The entire process of making and selling commercial goods to support restoration activities, including every stage from the supply of materials and the manufacture of the goods through to their distribution and sale.
Restorative actions
Actions to prevent, halt and reverse the degradation of ecosystems. Examples of restorative actions can include reducing emissions from deforestation; halting ecosystem degradation; conserving, sustainably managing and enhancing forest carbon stocks; reducing vulnerability and increasing adaptation to climate change; restoring the structure, function and composition of ecosystems, landscapes and seascapes; improving sustainability of agriculture and fisheries; and rehabilitating mined and polluted areas (see Table 1 for examples).
Rewilding
The practice of returning areas of land to a wild state, including the reintroduction of animal species that are no longer naturally found there.
Semi-natural ecosystem
An ecosystem that has been altered by human actions, but which retains significant native species and ecological interactions.
Silvicultural interventions
Pre-logging or post-logging treatments in natural forest stands or plantations designed to increase sustainable production of commercial timber or to reduce risks of disease and fire. Treatments can include enrichment planting, thinning, or applying herbicides.
Socio-ecological system
An interdependent and linked system of people and nature, nested across spatial and temporal scales. The social-ecological system is influenced by many external factors such as population growth, technological change, markets, trade and political change.
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INTERNATIONAL UNION FOR CONSERVATION OF NATURE
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Double-stranded oligonucleotides
Antisense sequences, including duplex RNAi compositions, which possess improved properties over those taught in the prior art are disclosed. The invention provides optimized antisense oligomer compositions and method for making and using the both in *in vitro* systems and therapeutically. The invention also provides methods of making and using the improved antisense oligomer compositions.
Description
Related Applications
[0001] This application claims the priority of U.S. provisional patent application no. 60/353,203, filed on February 1, 2002, application no. 60/436,238, filed December 23, 002, and application no. 60/438,608, filed January 7, 2003. This application also claims the priority of 60/353,381, filed February 1, 2002. The entire contents of the aforementioned applications are hereby expressly incorporated herein by reference.
Background of the Invention
[0002] Complementary oligonucleotide sequences are promising therapeutic agents and useful research tools in elucidating gene function. However, oligonucleotide molecules of the prior art are often subject to nuclease degradation when applied to biological systems. Therefore, it is often difficult to achieve efficient inhibition of gene expression (including protein synthesis) using such compositions.
[0003] In order to maximize the usefulness, such as the potential therapeutic activity and *in vitro* utility, of oligonucleotides that are complementary to other sequences of interest, it would be of great benefit to improve upon the prior art oligonucleotides by designing improved oligonucleotides having increased stability both against serum nucleases and cellular nucleases and nucleases found in other bodily fluids.
Summary of the Invention
[0004] The instant invention is based, at least in part, on the discovery that double-stranded oligonucleotides comprising an antisense oligonucleotide and a protector oligonucleotide, are capable of inhibiting gene function. Thus, the invention improves the prior art antisense sequences, *inter alia*, by providing oligonucleotides which are resistant to degradation by cellular nucleases.
[0005] Accordingly, the invention provides optimized oligonucleotide compositions and methods for making and using both in *in vitro*, and *in vivo* systems, e.g., therapeutically.
[0006] In one aspect, the invention pertains to a double-stranded oligonucleotide composition having the structure:
```
Antisense
X → 5'-oligo(N)-3' ← Y
↓
3'-oligo(N)-5' ← Sense
↑
oligo(N) = (N)_{12-40}
```
*Figure 1.*
where (1) N is a nucleomonomer in complementary oligonucleotide strands of equal length and where the sequence ofNs corresponds to a target gene sequence and (2) X and Y are each independently selected from a group consisting of nothing; from about 1 to about 20 nucleotides of 5' overhang; from about 1 to about 20 nucleotides of 3' overhang; and a loop structure consisting from about 4 to about 20 nucleomonomers, where the nucleomonomers are selected from the group consisting of G and A.
[0007] An "overhang" is a relatively short single-stranded nucleotide sequence on the 5'- or 3'-hydroxyl end of a double-stranded oligonucleotide molecule (also referred to as an "extension," "protruding end," or "sticky end").
[0008] In one embodiment, the number ofNs in each strand of the duplex is between about 12 and about 50 (*i.e.*, in the figure above, oligo(N) has between about 12 and about 50 nucleomonomers). In other embodiments, the number of Ns in each strand of the duplex is between about 12 and about 40; or between about 15 and about 35; or more particularly between about 20 and about 30; or even between about 21 and about 25.
[0009] In one embodiment, X is a sequence of about 4 to about 20 nucleomonomers which form a loop, wherein the nucleomonomers are selected from the group consisting of G and A.
In one embodiment, two of the Ns are unlinked, i.e., there is no phosphodiester bond between the two nucleomonomers. In one embodiment, the unlinked Ns are not in the antisense sequence.
In one embodiment, the nucleotide sequence of the loop is GAAA.
In another aspect, the invention pertains to a double-stranded oligonucleotide composition having the structure:
\[
\begin{align*}
\text{Antisense} \\
5'-(Z)_{2-8}-(N)_{15-40}-(M)_{2-8}-3' \\
3'-(Z)_{2-8}-(N)_{15-40}-(M)_{2-8}-5'
\end{align*}
\]
\[
\text{Sense}
\]
Figure 2.
where (1) N is a nucleomonomer in complementary oligonucleotide strands of equal length where the sequence of Ns corresponds to a target gene sequence; and (2) Z is a nucleomonomer in complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length and where the sequence of Zs optionally corresponds to the target sequence; and (3) where M is a nucleomonomer in complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length and where the sequence of Ms optionally corresponds to the target sequence. Although the sequences of N nucleomonomers should be of the same length, the sequences of Z and M nucleomonomers may optionally be of the same length.
In one embodiment, Z and M are nucleomonomers selected from the group consisting of C and G.
In one embodiment, the sequence of Zs or Ms is CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGC, CGGG, GCCC, CCCC, GGGG, GCGC, CGCG, GGGC, CCGG, CGGG, GCCC, GGCC, or CCGG.
In another aspect, the invention pertains to a double-stranded oligonucleotide composition having the structure:
\[
\begin{align*}
\text{Antisense} \\
5'-(N)_{15-40}(M)_{2-8}-3' \\
X \quad 3'-(N)_{15-40}(M)_{2-8}-5'
\end{align*}
\]
\[
\text{Sense}
\]
Figure 3.
where (1) N is a nucleomonomer in complementary oligonucleotide strands of equal length and where the sequence of Ns corresponds to a target gene sequence and (2) X is selected from the group consisting of nothing; 1-20 nucleotides of 5' overhang; 1-20 nucleotides of 3' overhang.
In some embodiments, X is a loop structure consisting of from about 4 to about 20 nucleomonomers, where the nucleomonomers are selected from the group consisting of G and A.
In the structure above, M is a nucleomonomer in complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length which optionally correspond to the target sequence. In one embodiment, M is a nucleomonomer selected from the group consisting of contain C and G.
In one embodiment, the sequence of M is CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGC, CGGG, GCCC, CCCC, GGGG, GCGC, CGCG, GGGC, CCCG, CGGG, GCCC, GGCC, or CCGG.
In another aspect, the invention pertains to a double-stranded oligonucleotide composition having the structure:
\[
5'-(Z)_{2-8}(N)_{12-40}-3'
\]
\[
3'-(Z)_{2-8}(N)_{12-40}-5'
\]
where (1) N is a nucleomonomer in complementary oligonucleotide strands of equal length and which correspond to a target gene sequence and (2) Y is selected from the group consisting of nothing; 1-20 nucleotides of 5' overhang; 1-20 nucleotides of 3' overhang; a loop consisting of a sequence of from about 4 to about 20 nucleomonomers, where the nucleomonomers are all either Gs or A's and (3) where Z is a nucleomonomer in complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length and which comprise a sequence which can optionally correspond to the target sequence.
In one embodiment, Zs are nucleomonomers selected from the group consisting of C and G.
In one embodiment, the sequence of Zs is CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGC, CGGG, GCCC, CCCC, GGGG, GCGC, CGCG, GGGC, CCCG, CGGG, GCCC, GGCC, or CCGG.
In another aspect, the invention pertains to a method of regulating gene expression in a cell, comprising forming a double-stranded oligonucleotide composition as described herein and contacting a cell with the double-stranded duplex, to thereby regulate gene expression in a cell.
In one embodiment, the invention pertains to a method of increasing the nuclease resistance of an antisense sequence, comprising forming a double-stranded oligonucleotide composition as described herein, such that a double-stranded duplex is formed, wherein the nuclease resistance of the antisense sequence is increased compared to a double-stranded, unmodified RNA molecule.
Methods of stabilizing oligonucleotides, particularly antisense oligonucleotides, by formation of a oligonucleotide compositions comprising at least 3 different oligonucleotides, are disclosed in co-pending application no. U.S. __, filed on the same day as the present application, bearing attorney docket number "SRI-013," and entitled "Oligonucleotide Compositions with Enhanced Efficiency." This application and all of its teachings is hereby expressly incorporated herein by reference in its entirety.
**Brief Description of the Drawings**
Figure 1 shows that the length of double-stranded oligonucleotides and the presence or absence of overhangs has no effect on function.
Figure 1 B shows the effect of structural changes on the efficacy of siRNAs targeting β-3-Integrin.
Figure 2 shows that there is no correlation was observed between the length of the double-stranded oligonucleotide and the level of PKR induction for the given sequences.
Figure 2B shows effect of β-3-integrin targeted 21-mer and 27-mers on PKR expression in HMVEC Cells.
Figure 3 shows the effect of 5' or 3' modification on activity of double-stranded RNA duplexes.
Figure 4 shows the effect of the size of the modifying group on activity of the double-stranded RNA duplex.
Figure 5 shows the results of 2'-O-Me modifications on the activity of double-stranded RNA duplexes.
Figure 6 shows the inhibition of p53 by 32- and 37-mer blunt-end siRNAs.
**Detailed Description of the Invention**
[0026] The instant invention advances the prior art by providing double-stranded oligonucleotide compositions for use, both *in vitro* and *in vivo*, e.g., therapeutically, and by providing methods of making and using the double-stranded antisense oligomer compositions.
**Double-stranded Oligonucleotide Compositions**
[0027] Double-stranded oligonucleotides of the invention are capable of inhibiting the synthesis of a target protein, which is encoded by a target gene. The target gene can be endogenous or exogenous (e.g., introduced into a cell by a virus or using recombinant DNA technology) to a cell. As used herein, the term "target gene" includes polynucleotides comprising a region that encodes a polypeptide or polynucleotide region that regulates replication, transcription, translation, or other process important in expression of the target protein; or a polynucleotide comprising a region that encodes the target polypeptide and a region that regulates expression of the target polypeptide; or non-coding regions such as the 5' or 3' UTR or introns. Accordingly, the term "target gene" as used herein may refer to, for example, an mRNA molecule produced by transcription a gene of interest. Furthermore, the term "correspond," as in "an oligomer corresponds to a target gene sequence," means that the two sequences are complementary or homologous or bear such other biologically rational relationship to each other (e.g., based on the sequence of nucleomonomers and their base-pairing properties).
[0028] The "target gene" to which an RNA molecule of the invention is directed may be associated with a pathological condition. For example, the gene may be a pathogen-associated gene, e.g., a viral gene, a tumor-associated gene, or an autoimmune disease-associated gene. The target gene may also be a heterologous gene expressed in a recombinant cell or a genetically altered organism. By determining or modulating (e.g., inhibiting) the function of such a gene, valuable information and therapeutic benefits in medicine, veterinary medicine, and biology may be obtained.
[0029] The term "oligonucleotide" includes two or more nucleomonomers covalently coupled to each other by linkages (e.g., phosphodiesters) or substitute linkages. In one embodiment, it may be desirable to use a single-stranded nucleic acid molecule which forms a duplex structure (e.g., as described in more detail below). For example, in one embodiment, the oligonucleotide can include a nick in either the sense of the antisense sequence.
[0030] The term "antisense" refers to a nucleotide sequence that is inverted relative to its normal orientation for transcription and so expresses an RNA transcript that is complementary to a target gene mRNA molecule expressed within the host cell (e.g., it can hybridize to the target gene mRNA molecule through Watson-Crick base pairing). An antisense strand may be constructed in a number of different ways, provided that it is capable of interfering with the expression of a target gene. For example, the antisense strand can be constructed by inverting the coding region (or a portion thereof) of the target gene relative to its normal orientation for transcription to allow the transcription of its complement, (e.g., RNAs encoded by the antisense and sense gene may be complementary). Furthermore, the antisense oligonucleotide strand need not have the same intron or exon pattern as the target gene, and noncoding segments of the target gene may be equally effective in achieving antisense suppression of target gene expression as coding segments.
[0031] Accordingly, one aspect of the invention is a method of inhibiting the activity of a target gene by introducing an RNAi agent into a cell, such that the dsRNA component of the RNAi agent is targeted to the gene. In one embodiment, an RNA oligonucleotide molecule may contain at least one nucleomonomer that is a modified nucleotide analogue. The nucleotide analogues may be located at positions where the target-specific activity, e.g., the RNAi mediating activity is not substantially effected, e.g., in a region at the 5'-end or the 3'-end of the double-stranded molecule, where the overhangs may be stabilized by incorporating modified nucleotide analogues.
[0032] In another aspect, double-stranded RNA molecules known in the art can be used in the methods of the present invention. Double-stranded RNA molecules known in the art may also be modified according to the teachings herein in conjunction with such methods, e.g., by using modified nucleomonomers. For example, see U.S. 6,506,559; U.S. 2002/0,173,478 A1; U.S. 2002/0,086,356 A1; Shuey, et al., "RNAi: gene-silencing in therapeutic intervention." Drug Discov. Today 2002 Oct 15;7(20):1040-6; Aoki, et al., "Clin. Exp. Pharmacol. Physiol. 2003 Jan;30(1-2):96-102; Cioca, et al., "RNA interference is a functional pathway with therapeutic potential in human myeloid leukemia cell lines. Cancer Gene Ther. 2003 Feb;10(2):125-33.
[0033] Further examples of double-stranded RNA molecules include those disclosed in the following references:
Kawasaki, et al., "Short hairpin type of dsRNAs that are controlled by tRNA(Val) promoter significantly induce RNAi-mediated gene silencing in the cytoplasm of human cells." Nucleic Acids Res. 2003 Jan 15;31(2):700-7; Cottrell, et al., "Silence of the strands: RNA interference in eukaryotic pathogens." Trends Microbiol. 2003 Jan;11(1):37-43; Links, "Mammalian RNAi for the masses." Trends Genet. 2003 Jan;19(1):9-12; Hamada, et al., "Effects on RNA interference in gene expression (RNAi) in cultured mammalian cells of mismatches and the introduction of chemical modifications at the 3'-ends of siRNAs." Antisense Nucleic Acid Drug Dev. 2002 Oct;12(5):301-9; Links, "RNAi and related mechanisms and their potential use for therapy." Curr. Opin. Chem. Biol. 2002 Dec;6(6):829-34; Kawasaki, et al., "Short hairpin type of dsRNAs that are controlled by tRNA(Val) promoter significantly induce RNAi-mediated gene silencing in the cytoplasm of human cells." Nucleic Acids Res. 2003 Jan 15;31(2):700-7.)
[0034] A nick is two non-linked nucleomonomers in an oligonucleotide. A nick can be included at any point along the sense or antisense nucleotide sequence. In a preferred embodiment, a nick is in the sense sequence. In another preferred embodiment, the nick is at least about four nucleomonomers in from an end of the duplexed region of the oligonucleotide (e.g., is at least about four nucleomonomers away from the 5' or 3' end of the oligonucleotide or away from a loop structure. For example, in one embodiment, the nick is present in the middle of the sense strand of the duplex molecule (e.g., if the sense sequence of the duplex is 30 nucleomonomers in length, nucleomonomers 14 and 15 or 15 and 16 are unlinked). In an embodiment, a nick may optionally be ligated to form a circular nucleic acid molecule.
[0035] For example, in the structure below, the indicated U nucleomonomer is not bonded to the neighboring nucleomonomer, e.g., by a phosphodiester bond. The 5' OH of the nick may optionally be phosphorylated to allow enzymatic ligation of the oligonucleotide into a circle.
![Figure 5]
(SEQ ID NO: ##)
[0036] As used herein, the term "nucleotide" includes any monomeric unit of DNA or RNA containing a sugar moiety (pentose), a phosphate, and a nitrogenous heterocyclic base. The base is usually linked to the sugar moiety via the glycosidic carbon (at the 1' carbon of pentose) and that combination of base and sugar is called a "nucleoside." The base characterizes the nucleotide with the four customary bases of DNA being adenine (A), guanine (G), cytosine (C) and thymine (T). Inosine (I) is an example of a synthetic base that can be used to substitute for any of the four, naturally-occurring bases (A, C, G, or T). The four RNA bases are A, G, C, and uracil (U). Accordingly, an oligonucleotide may be a nucleotide sequence comprising a linear array of nucleotides connected by phosphodiester bonds between the 3' and 5' carbons of adjacent pentoses. Other modified nucleosides/nucleotides are described herein and may also be used in the oligonucleotides of the invention.
[0037] Oligonucleotides may comprise, for example, oligonucleotides, oligonucleosides, polydeoxyribonucleotides (containing 2'-deoxy-D-ribose) or modified forms thereof, e.g., DNA, polyribonucleotides (containing D-ribose or modified forms thereof), RNA, or any other type of polynucleotide which is an N-glycoside or C-glycoside of a purine or pyrimidine base, or modified purine or pyrimidine base. The term oligonucleotide includes compositions in which adjacent nucleomonomers are linked via phosphorothioate, amide or other linkages (e.g., Neilsen, P.E., et al. 1991. Science. 254: 1497). Generally, the term "linkage" refers to any physical connection, preferably covalent coupling, between two or more nucleic acid components, e.g., catalyzed by an enzyme such as a ligase.
[0038] In addition to its art-recognized meaning (e.g., a relatively short length single or double-stranded sequences of deoxyribonucleotides or ribonucleotide linked via phosphodiester bonds), the term "oligonucleotide" includes any structure that serves as a scaffold or support for the bases of the oligonucleotide, where the scaffold permits binding to the target nucleic acid molecule in a sequence-dependent manner.
[0039] Oligonucleotides of the invention are isolated. The term "isolated" includes nucleic acid molecules which are synthesized (e.g., chemically, enzymatically, or recombinantly) or are naturally occurring but separated from other nucleic acid molecules which are present in a natural source of the nucleic acid. Preferably, a naturally occurring "isolated"
nucleic acid molecule is free of sequences which naturally flank the nucleic acid molecule (i.e., sequences located at the 5' and 3' ends of the nucleic acid molecule) in a nucleic acid molecule in an organism from which the nucleic acid molecule is derived.
[0040] The term "nucleomonomer" includes a single base covalently linked to a second moiety. Nucleomonomers include, for example, nucleosides and nucleotides. Nucleomonomers can be linked to form oligonucleotides that bind to target nucleic acid sequences in a sequence specific manner.
[0041] In one embodiment, modified (non-naturally occurring) nucleomonomers can be used in the oligonucleotides described herein. For example, nucleomonomers which are based on bases (purines, pyrimidines, and derivatives and analogs thereof) bound to substituted and unsubstituted cycloalkyl moieties, e.g., cyclohexyl or cyclopentyl moieties, and substituted and unsubstituted heterocyclic moieties, e.g., 6-member morpholino moieties or, preferably, sugar moieties.
[0042] Sugar moieties include natural, unmodified sugars, e.g., monosaccharides (such as pentoses, e.g., ribose, deoxyribose), modified sugars and sugar analogs. Possible modifications of nucleomonomers, particularly of a sugar moiety, include, for example, replacement of one or more of the hydroxyl groups with a halogen, a heteroatom, an aliphatic group, or the functionalization of the hydroxyl group as an ether, an amine, a thiol, or the like. One particularly useful group of modified nucleomonomers are 2'-O-methyl nucleotides, especially when the 2'-O-methyl nucleotides are used as nucleomonomers in the ends of the oligomers. Such 2'-O-methyl nucleotides may be referred to as "methylated," and the corresponding nucleotides may be made from unmethylated nucleotides followed by alkylation or directly from methylated nucleotide reagents. Modified nucleomonomers may be used in combination with unmodified nucleomonomers. For example, an oligonucleotide of the invention may contain both methylated and unmethylated nucleomonomers.
[0043] Some exemplary modified nucleomonomers include sugar-or backbone-modified ribonucleotides. Modified ribonucleotides may contain a nonnaturally occurring base (instead of a naturally occurring base) such as uridines or cytidines modified at the 5-position, e.g., 5-(2-amino)propyl uridine and 5-bromo uridine; adenosines and guanosines modified at the 8-position, e.g., 8-bromo guanosine; deaza nucleotides, e.g., 7-deaza-adenosine; and N-alkylated nucleotides, e.g., N6-methyl adenosine. Also, sugar-modified ribonucleotides may have the 2'-OH group replaced by a H, alkoxy (or OR), R or alkyl, halogen, SH, SR, amino (such as NH$_2$, NHR, NR$_2$), or CN group, wherein R is lower alkyl, alkenyl, or alkynyl.
[0044] Modified ribonucleotides may also have the phosphoester group connecting to adjacent ribonucleotides replaced by a modified group, e.g., of phosphothioate group. More generally, the various nucleotide modifications may be combined.
[0045] In one embodiment, sense oligomers may have 2' modifications on the ends (1 on each end, 2 on each end, 3 on each end, and 4 on each end, and so on; as well as 1 on one end, 2 on one end, 3 on one end, and 4 on one end, and so on; and even unbalanced combinations such as 1 on one end and 2 on the other end, and so on). Likewise, the antisense strand may have 2' modifications on the ends (1 on each end, 2 on each end, 3 on each end, and 4 on each end, and so on; as well as 1 on one end, 2 on one end, 3 on one end, and 4 on one end, and so on; and even unbalanced combinations such as 1 on one end and 2 on the other end, and so on). In preferred aspects, such 2'-modifications are in the sense RNA strand or the sequences other than the antisense strand.
[0046] To further maximize endo- and exonuclease resistance, in addition to the use of 2' modified nucleomonomers in the ends, inter-nucleomonomer linkages other than phosphodiesters may be used. For example, such end blocks may be used alone or in conjunction with phosphothorothioate linkages between the 2'-O-methyl linkages. Preferred 2'-modified nucleomonomers are 2'-modified C and U bases.
[0047] Although the antisense strand may be substantially identical to at least a portion of the target gene (or genes), at least with respect to the base pairing properties, the sequence need not be perfectly identical to be useful, e.g., to inhibit expression of a target gene's phenotype. Generally, higher homology can be used to compensate for the use of a shorter antisense gene. In some cases, the antisense strand generally will be substantially identical (although in antisense orientation) to the target gene.
[0048] One particular example of a composition of the invention has end-blocks on both ends of a sense oligonucleotide and only the 3' end of an antisense oligonucleotide. Without wishing to be bound by theory, the inventors believe that a 2'-O-modified sense strand works less well than unmodified because it is not efficiently unwound. Accordingly, another embodiment of the invention includes duplexes in which nucleomonomer-nucleomonomer mismatches are present in a sense 2'-O-methyl strand (and are thought to be easier to unwind).
[0049] Accordingly, for a given first oligonucleotide strand, a number of complementary second oligonucleotide strands are permitted according to the invention. For example, in the following Tables, a targeted and a non-targeted oligonucleotide are illustrated with several possible complementary oligonucleotides. The individual nucleotides may be 2'-OH RNA nucleotides (R) or the corresponding 2'-OMe nucleotides (M), and the oligonucleotides themselves may contain mismatched nucleotides (lower case letters).
**Targeted Oligonucleotide:**
| First Strand: | CCCCUCUGUCUUUGAACAUGAG |
|---------------|-------------------------|
| Second Strand: | CTgATGTTCAAGACAGAAcGG |
| (methyl groups →) | MMMMMMMMMMMMMMMMMMMMM |
| First Strand: | CTgATGTTCAAGACAGAAcGG |
|---------------|-------------------------|
| Second Strand: | RRRRRRRRRRRRRRRRRRDD |
| (methyl groups →) | MMMMMMMMMMMMMMMMM |
| First Strand: | CTCAUGUUCAAGACAGAAGGG |
|---------------|-------------------------|
| Second Strand: | RRRRRRMMMMMMMMMMRRRRR |
| (methyl groups →) | MMMMMMMRRRRRRRRRMMMMM |
| First Strand: | CTCAUGUUCAAGACAGAAGGG |
|---------------|-------------------------|
| Second Strand: | RMRMRMRMRMRMRMRMRMRMR |
| (methyl groups →) | MMMMMMMRRRRRRRRRMMMMM |
**Non-Targeted Oligonucleotide:**
| First Strand: | GAGTACAAGTTCTGTCTTCCC |
|---------------|-------------------------|
| Second Strand: | GGcAAGACAGAACTTGTAgTC |
| (methyl groups →) | MMMMMMMMMMMMMMMMMMMMM |
| First Strand: | GGGAAGACAGAACTTGTACTC |
|---------------|-------------------------|
| Second Strand: | RRRRRRMMMMMMMMMMRRRRR |
| (methyl groups →) | MMMMMMMRRRRRRRRRMMMMM |
| First Strand: | GGGAAGACAGAACTTGTACTC |
|---------------|-------------------------|
| Second Strand: | RMRMRMRMRMRMRMRMRMRMR |
| (methyl groups →) | MMMMMMMRRRRRRRRRMMMMM |
[0050] Another example of further modifications that may be used in conjunction with 2'-O-methyl nucleomonomers are modification of the sugar residues themselves, for example alternating modified and unmodified sugars, particularly in the sense strand.
[0051] In some embodiments, the length of the sense strand can be 29, 28, 27, 26, 25, 24, 23, 22, 21, 20, 19, or 18 nucleotides, with a complementary duplexed RNA strand, optionally having overhangs.
[0052] As a further example, the use of 2'-O-methyl RNA may beneficially be used in circumstances in which it is desirable to minimize cellular stress responses. RNA having 2'-O-methyl nucleomonomers may not be recognized by cellular machinery that is thought to recognize unmodified RNA. The use of 2'-O-methylated or partially 2'-O-methylated RNA may avoid the interferon response to double-stranded nucleic acids, while maintaining target RNA inhibition. This RNAi ("stealth RNA") is useful for avoiding the interferon or other cellular stress responses, both in short RNAi (e.g., siRNA) sequences that induce the interferon response, and in longer RNAi sequences that may induce the interferon response.
[0053] An especially advantageous use of the present invention is in gene function studies in which multiple RNAi sequences are used. According to present methods known in the art, frequently there is no way of predicting which sequences might induce a stress response, including the interferon response, and in this regard the present invention significantly advances the state of the art. For example, if all of the multiple sequences are partially 2'-O-methylated, the stress response, including interferon response, may be avoided, and thus avoid confounding results in which some
sequences affect cellular phenotype independent of the target gene inhibition. Other chemical modifications in addition to 2'-O-methylation may also achieve this effect.
For example, modified sugars include D-ribose, 2'-O-alkyl (including 2'-O-methyl and 2'-O-ethyl), i.e., 2'-alkoxy, 2'-amino, 2'-S-alkyl, 2'-halo (including 2'-fluoro), 2'-methoxyethoxy, 2'-allyloxy (-OCH$_2$CH=CH$_2$), 2'-propargyl, 2'-propyl, ethynyl, ethenyl, propenyl, and cyano and the like. In one embodiment, the sugar moiety can be a hexose and incorporated into an oligonucleotide as described (Augustyns, K., et al., Nucl. Acids. Res. 1992. 18:4711). Exemplary nucleomonomers can be found, e.g., in U.S. Patent 5,849,902, incorporated by reference herein.
The term "alkyl" includes saturated aliphatic groups, including straight-chain alkyl groups (e.g., methyl, ethyl, propyl, butyl, pentyl, hexyl, heptyl, octyl, nonyl, decyl, etc.), branched-chain alkyl groups (isopropyl, tert-butyl, isobutyl, etc.), cycloalkyl (alicyclic) groups (cyclopropyl, cyclopentyl, cyclohexyl, cycloheptyl, cyclooctyl), alkyl substituted cycloalkyl groups, and cycloalkyl substituted alkyl groups. In certain embodiments, a straight chain or branched chain alkyl has 6 or fewer carbon atoms in its backbone (e.g., C$_3$-C$_6$ for straight chain, C$_3$-C$_6$ for branched chain), and more preferably 4 or fewer. Likewise, preferred cycloalkyls have from 3-8 carbon atoms in their ring structure, and more preferably have 5 or 6 carbons in the ring structure. The term C$_3$-C$_6$ includes alkyl groups containing 1 to 6 carbon atoms.
Moreover, unless otherwise specified, the term alkyl includes both "unsubstituted alkyls" and "substituted alkyls," the latter of which refers to alkyl moieties having substituents replacing a hydrogen on one or more carbons of the hydrocarbon backbone. Such substituents can include, for example, alkenyl, alkynyl, halogen, hydroxyl, alkylcarbonyloxy, arylcarbonyloxy, alkoxycarbonyloxy, aryloxycarbonyloxy, carboxylate, alkylcarbonyl, arylcarbonyl, aminocarbonyl, alkylaminocarbonyl, dialkylaminocarbonyl, alkylthiocarbonyl, alkoxyl, phosphate, phosphonato, phosphonato, phosphinato, cyano, amino (including alkyl amino, diakylamino, aylamino, diarylamino, and alkylarylamino), acylamino (including alkylcarbonylamino, arylcarbonylamino, carbamoyl and ureido), amidino, imino, sulfhydryl, alkylthio, arylthio, thiocarboxylate, sulfates, alkylsulfanyl, sulfonato, sulfamoyl, sulfonamido, nitro, trifluoromethyl, cyano, azido, heterocyclyl, alkylaryl, or an aromatic or heteroaromatic moiety. Cycloalkyls can be further substituted, e.g., with the substituents described above. An "alkylaryl" or an "arylalkyl" moiety is an alkyl substituted with an aryl (e.g., phenylmethyl (benzyl)). The term "alkyl" also includes the side chains of natural and unnatural amino acids. The term "n-alkyl" means a straight chain (i.e., unbranched) unsubstituted alkyl group.
The term "alkenyl" includes unsaturated aliphatic groups analogous in length and possible substitution to the alkyls described above, but that contain at least one double bond. For example, the term "alkenyl" includes straight-chain alkenyl groups (e.g., ethenyl, propenyl, butenyl, pentenyl, hexenyl, heptenyl, octenyl, nonenyl, decenyl, etc.), branched-chain alkenyl groups, cycloalkenyl (alicyclic) groups (cycloprenyl, cyclopentenyl, cyclohexenyl, cycloheptenyl, cyclooctenyl), alkyl or alkenyl substituted cycloalkenyl groups, and cycloalkyl or cycloalkenyl substituted alkenyl groups. In certain embodiments, a straight chain or branched chain alkenyl group has 6 or fewer carbon atoms in its backbone (e.g., C$_2$-C$_6$ for straight chain, C$_3$-C$_6$ for branched chain). Likewise, cycloalkenyl groups may have from 3-8 carbon atoms in their ring structure, and more preferably have 5 or 6 carbons in the ring structure. The term C$_2$-C$_6$ includes alkenyl groups containing 2 to 6 carbon atoms.
Moreover, unless otherwise specified, the term alkenyl includes both "unsubstituted alkenyls" and "substituted alkenyls," the latter of which refers to alkenyl moieties having substituents replacing a hydrogen on one or more carbons of the hydrocarbon backbone. Such substituents can include, for example, alkyl groups, alkenyl groups, halogens, hydroxyl, alkylcarbonyloxy, arylcarbonyloxy, alkoxycarbonyloxy, aryloxycarbonyloxy, carboxylate, alkylcarbonyl, arylcarbonyl, alkoxycarbonyl, aminocarbonyl, alkylaminocarbonyl, dialkylaminocarbonyl, alkylthiocarbonyl, alkoxyl, phosphate, phosphonato, phosphinato, cyano, amino (including alkyl amino, diakylamino, aylamino, diarylamino, and alkylarylamino), acylamino (including alkylcarbonylamino, arylcarbonylamino, carbamoyl and ureido), amidino, imino, sulfhydryl, alkylthio, arylthio, thiocarboxylate, sulfates, alkylsulfanyl, sulfonato, sulfamoyl, sulfonamido, nitro, trifluoromethyl, cyano, azido, heterocyclyl, alkylaryl, or an aromatic or heteroaromatic moiety.
The term "alkynyl" includes unsaturated aliphatic groups analogous in length and possible substitution to the alkyls described above, but which contain at least one triple bond. For example, the term "alkynyl" includes straight-chain alkynyl groups (e.g., ethynyl, propynyl, butynyl, pentynyl, hexynyl, heptynyl, octynyl, nonynyl, decynyl, etc.), branched-chain alkynyl groups, and cycloalkyl or cycloalkenyl substituted alkynyl groups. In certain embodiments, a straight chain or branched chain alkynyl group has 6 or fewer carbon atoms in its backbone (e.g., C$_2$-C$_6$ for straight chain, C$_3$-C$_6$ for branched chain). The term C$_2$-C$_6$ includes alkynyl groups containing 2 to 6 carbon atoms.
Moreover, unless otherwise specified, the term alkynyl includes both "unsubstituted alkynyls" and "substituted alkynyl," the latter of which refers to alkynyl moieties having substituents replacing a hydrogen on one or more carbons of the hydrocarbon backbone. Such substituents can include, for example, alkyl groups, alkynyl groups, halogens, hydroxyl, alkylcarbonyloxy, arylcarbonyloxy, alkoxycarbonyloxy, aryloxycarbonyloxy, carboxylate, alkylcarbonyl, arylcarbonyl, alkoxycarbonyl, aminocarbonyl, alkylaminocarbonyl, dialkylaminocarbonyl, alkylthiocarbonyl, alkoxyl, phosphate, phosphonato, phosphinato, cyano, amino (including alkyl amino, diakylamino, aylamino, diarylamino, and alkylarylamino), acylamino (including alkylcarbonylamino, arylcarbonylamino, carbamoyl and ureido), amidino, imino, sulfhydryl, alkylthio, arylthio, thiocarboxylate, sulfates, alkylsulfanyl, sulfonato, sulfamoyl, sulfonamido, nitro, trifluoromethyl,
cyano, azido, heterocycl, alkylaryl, or an aromatic or heteroaromatic moiety.
[0061] Unless the number of carbons is otherwise specified, "lower alkyl" as used herein means an alkyl group, as defined above, but having from one to five carbon atoms in its backbone structure. "Lower alkenyl" and "lower alkynyl" have chain lengths of, for example, 2-5 carbon atoms.
[0062] The term "alkoxy" includes substituted and unsubstituted alkyl, alkenyl, and alkynyl groups covalently linked to an oxygen atom. Examples of alkoxy groups include methoxy, ethoxy, isopropoxy, propxy, butoxy, and pentoxy groups. Examples of substituted alkoxy groups include halogenated alkoxy groups. The alkoxy groups can be substituted with groups such as alkenyl, alkynyl, halogen, hydroxyl, alkylcarbonyloxy, arylcarbonyloxy, alkoxycarbonyloxy, aryloxy-carbonyloxy, carboxylate, alkylcarbonyl, arylcarbonyl, arylcarbonyl, aminocarbonyl, alkylaminocarbonyl, dialkylaminocarbonyl, alkylthiocarbonyl, alkoxyl, phosphate, phosphonato, phosphinato, cyano, amino (including alkyl amino, di-alkylamino, arylamino, diarylamino, and alkylarylamino), acylamino (including alkylcarbonylamino, arylcarbonylamino, carbamoyl and ureido), amidino, imino, sulfhydryl, alkylthio, arylthio, thiocarboxylate, sulfates, alkylsulfinyl, sulfonato, sulfamoyl, sulfonamido, nitro, trifluoromethyl, cyano, azido, heterocycl, alkylaryl, or an aromatic or heteroaromatic moieties. Examples of halogen substituted alkoxy groups include, but are not limited to, fluoromethoxy, difluoromethoxy, trifluoromethoxy, chloromethoxy, dichloromethoxy, trichloromethoxy, etc.
[0063] The term "heteroatom" includes atoms of any element other than carbon or hydrogen. Preferred heteroatoms are nitrogen, oxygen, sulfur and phosphorus.
[0064] The term "hydroxy" or "hydroxyl" includes groups with an -OH or -O (with an appropriate counterion).
[0065] The term "halogen" includes fluorine, bromine, chlorine, iodine, etc. The term "perhalogenated" generally refers to a moiety wherein all hydrogens are replaced by halogen atoms.
[0066] The term "substituted" includes substituents which can be placed on the moiety and which allow the molecule to perform its intended function. Examples of substituents include alkyl, alkenyl, alkynyl, aryl, \((\text{CR'}\text{R''})_{0-3}\text{NR'}\text{R''}\), \((\text{CR'}\text{R''})_{0-3}\text{CN}\), \(\text{NO}_2\), halogen, \((\text{CR'}\text{R''})_{0-3}\text{C(halogen)}_3\), \((\text{CR'}\text{R''})_{0-3}\text{CH(halogen)}_2\), \((\text{CR'}\text{R''})_{0-3}\text{CH}_2(\text{halogen})\), \((\text{CR'}\text{R''})_{0-3}\text{CONR'}\text{R''}\), \((\text{CR'}\text{R''})_{0-3}\text{S(O)}_{1-2}\text{NR'}\text{R''}\), \((\text{CR'}\text{R''})_{0-3}\text{CHO}\), \((\text{CR'}\text{R''})_{0-3}\text{O}(\text{CR'}\text{R''})_{0-3}\text{H}\), \((\text{CR'}\text{R''})_{0-3}\text{S(O)}_{0-2}\text{R'}\), \((\text{CR'}\text{R''})_{0-3}\text{O}(\text{CR'}\text{R''})_{0-3}\text{H}\), \((\text{CR'}\text{R''})_{0-3}\text{COR'}\), \((\text{CR'}\text{R''})_{0-3}\text{CO}_2\text{R'}\), or \((\text{CR'}\text{R''})_{0-3}\text{OR'}\) groups; wherein each R' and R'' are each independently hydrogen, a C\(_1\)-C\(_5\) alkyl, C\(_2\)-C\(_6\) alkenyl, C\(_2\)-C\(_5\) alkynyl, or aryl group, or R' and R'' taken together are a benzylidene group or a \(-(\text{CH}_2)_2\text{O}(\text{CH}_2)_2-\) group.
[0067] The term "amine" or "amino" includes compounds or moieties in which a nitrogen atom is covalently bonded to at least one carbon or heteroatom. The term "alkyl amino" includes groups and compounds wherein the nitrogen is bound to at least one additional alkyl group. The term "dialkyl amino" includes groups wherein the nitrogen atom is bound to at least two additional alkyl groups.
[0068] The term "ether" includes compounds or moieties which contain an oxygen bonded to two different carbon atoms or heteroatoms. For example, the term includes "alkoxyalkyl," which refers to an alkyl-, alkenyl, or alkynyl group covalently bonded to an oxygen atom which is covalently bonded to another alkyl group.
[0069] The term "base" includes the known purine and pyrimidine heterocyclic bases, deazapurines, and analogs (including heterocyclic substituted analogs, e.g., aminoethoxy phenoxazine), derivatives (e.g., 1-alkyl-, 1-alkenyl-, heteroaromatic- and 1-alkynyl derivatives) and tautomers thereof. Examples of purines include adenine, guanine, inosine, diaminopurine, and xanthine and analogs (e.g., 8-oxo-N\(^9\)-methyladenine or 7-diazaxanthine) and derivatives thereof. Pyrimidines include, for example, thymine, uracil, and cytosine, and their analogs (e.g., 5-methylcytosine, 5-methyluracil, 5-(1-propynyl)uracil, 5-(1-propynyl)cytosine and 4,4-ethanocytosine). Other examples of suitable bases include non-purinyl and non-pyrimidinyl bases such as 2-aminoipyridine and triazines.
[0070] In a preferred embodiment, the nucleomonomers of an oligonucleotide of the invention are RNA nucleotides. In another preferred embodiment, the nucleomonomers of an oligonucleotide of the invention are modified RNA nucleotides.
[0071] The term "nucleoside" includes bases which are covalently attached to a sugar moiety, preferably ribose or deoxyribose. Examples of preferred nucleosides include ribonucleosides and deoxyribonucleosides. Nucleosides also include bases linked to amino acids or amino acid analogs which may comprise free carboxyl groups, free amino groups, or protecting groups. Suitable protecting groups are well known in the art (see P.G.M. Wuts and T.W. Greene, "Protective Groups in Organic Synthesis", 2nd Ed., Wiley-Interscience, New York, 1999).
[0072] The term "nucleotide" includes nucleosides which further comprise a phosphate group or a phosphate analog.
[0073] As used herein, the term "linkage" includes a naturally occurring, unmodified phosphodiester moiety (-O-(PO\(_2\))-O-) that covalently couples adjacent nucleomonomers. As used herein, the term "substitute linkage" includes any analog or derivative of the native phosphodiester group that covalently couples adjacent nucleomonomers. Substitute linkages include phosphodiester analogs, e.g., phosphorothioate, phosphorodithioate, and P-ethoxyphosphodiester, P-ethoxyphosphodiester, P-alkyloxyphosphotriester, methylphosphonate, and nonphosphorus containing linkages, e.g., acetals and amides. Such substitute linkages are known in the art (e.g., Bjergarde et al. 1991. Nucleic Acids Res. 19: 5843; Caruthers et al. 1991. Nucleosides Nucleotides. 10:47).
[0074] In certain embodiments, oligonucleotides of the invention comprise 3' and 5' termini (except for circular oligonucleotides). In one embodiment, the 3' and 5' termini of an oligonucleotide can be substantially protected from nucleases e.g., by modifying the 3' or 5' linkages (e.g., U.S. patent 5,849,902 and WO 98/13526). For example, oligonucleotides can be made resistant by the inclusion of a "blocking group." The term "blocking group" as used herein refers to substituents (e.g., other than OH groups) that can be attached to oligonucleotides or nucleomonomers, either as protecting groups or coupling groups for synthesis (e.g., FITC, propyl (CH$_2$-CH$_2$-CH$_3$), phosphate (PO$_4^{2-}$), hydrogen phosphonate, or phosphoramidite). "Blocking groups" also include "end blocking groups" or "exonuclease blocking groups" which protect the 5' and 3' termini of the oligonucleotide, including modified nucleotides and non-nucleotide exonuclease resistant structures.
[0075] Exemplary end-blocking groups include cap structures (e.g., a 7-methylguanosine cap), inverted nucleomonomers, e.g., with 3'-3' or 5'-5' end inversions (see, e.g., Ortigao et al. 1992. Antisense Res. Dev. 2:129), methylphosphonate, phosphoramidite, non-nucleotide groups (e.g., non-nucleotide linkers, amino linkers, conjugates) and the like. The 3' terminal nucleomonomer can comprise a modified sugar moiety. The 3' terminal nucleomonomer comprises a 3'-O that can optionally be substituted by a blocking group that prevents 3'-exonuclease degradation of the oligonucleotide. For example, the 3'-hydroxyl can be esterified to a nucleotide through a 3'→3' internucleotide linkage. For example, the alkylxy radical can be methoxy, ethoxy, or isopropoxy, and preferably, ethoxy. Optionally, the 3'→3' linked nucleotide at the 3' terminus can be linked by a substitute linkage. To reduce nuclease degradation, the 5' most 3'→5' linkage can be a modified linkage, e.g., a phosphorothioate or a P-alkyloxyphosphodiester linkage. Preferably, the two 5' most 3'→5' linkages are modified linkages. Optionally, the 5' terminal hydroxy moiety can be esterified with a phosphorus containing moiety, e.g., phosphate, phosphorothioate, or P-ethoxyphosphate.
[0076] In one embodiment, the sense strand of an oligonucleotide comprises a 5' group that allows for RNAi activity but which renders the sense strand inactive in terms of gene targeting. Preferably, such a 5' modifying group is a phosphate group or a group larger than a phosphate group.
[0077] In another embodiment, the antisense strand of an oligonucleotide comprises a 5' phosphate group.
[0078] In one embodiment, the oligonucleotides included in the composition are high affinity oligonucleotides. The term "high affinity" as used herein includes oligonucleotides that have a Tm (melting temperature) of or greater than about 60°C, greater than about 65°C, greater than about 70°C, greater than about 75°C, greater than about 80°C or greater than about 85 °C. The Tm is the midpoint of the temperature range over which the oligonucleotide separates from the target nucleotide sequence. At this temperature, 50% helical (hybridized) versus coil (unhybridized) forms are present. Tm is measured by using the UV spectrum to determine the formation and breakdown (melting) of hybridization. Base stacking occurs during hybridization, which leads to a reduction in UV absorption. Tm depends both on GC content of the two nucleic acid molecules and on the degree of sequence complementarity. Tm can be determined using techniques that are known in the art (see for example, Monia et al. 1993. J. Biol. Chem. 268:145; Chiang et al. 1991. J. Biol. Chem. 266:18162; Gagnor et al. 1987. Nucleic Acids Res. 15:10419; Monia et al. 1996. Proc. Natl. Acad. Sci. 93:15481; Publislis and Tinoco. 1989. Methods in Enzymology 180:304; Thuong et al. 1987. Proc. Natl. Acad. Sci. USA 84:5129).
[0079] In one embodiment, an oligonucleotide can include an agent which increases the affinity of the oligonucleotide for its target sequence. The term "affinity enhancing agent" includes agents that increase the affinity of an oligonucleotide for its target. Such agents include, e.g., intercalating agents and high affinity nucleomonomers. Intercalating agents interact strongly and nonspecifically with nucleic acids. Intercalating agents serve to stabilize RNA-DNA duplexes and thus increase the affinity of the oligonucleotides for their targets. Intercalating agents are most commonly linked to the 3' or 5' end of oligonucleotides. Examples of intercalating agents include acridine, chlorambucil, benzopyridoquinoxaline, benzopyridoindole, benzophenanthridine, and phenazinium. The agents may also impart other characteristics to the oligonucleotide, for example, increasing resistance to endonucleases and exonucleases.
[0080] In one embodiment, a high affinity nucleomonomer is incorporated into an oligonucleotide. The language "high affinity nucleomonomer" as used herein includes modified bases or base analogs that bind to a complementary base in a target nucleic acid molecule with higher affinity than an unmodified base, for example, by having more energetically favorable interactions with the complementary base, e.g., by forming more hydrogen bonds with the complementary base. For example, high affinity nucleomonomer analogs such as aminoethoxy phenoazine (also referred to as a G clamp), which forms four hydrogen bonds with guanine are included in the term "high affinity nucleomonomer." A high affinity nucleomonomer is illustrated below (see, e.g., Flanagan, et al., 1999. Proc. Natl. Acad. Sci. 96:3513).
Other exemplary high affinity nucleomonomers are known in the art and include 7-alkenyl, 7-alkynyl, 7-heteroaromatic-, or 7-alkynyl-heteroaromatic-substituted bases or the like which can be substituted for adenosine or guanosine in oligonucleotides (see, e.g., U.S. patent 5,594,121). Also, 7-substituted deazapurines have been found to impart enhanced binding properties to oligonucleotides, i.e., by allowing them to bind with higher affinity to complementary target nucleic acid molecules as compared to unmodified oligonucleotides. High affinity nucleomonomers can be incorporated into the oligonucleotides of the instant invention using standard techniques.
In another embodiment, an agent that increases the affinity of an oligonucleotide for its target comprises an intercalating agent. As used herein, the language "intercalating agent" includes agents which can bind to a DNA double helix. When covalently attached to an oligonucleotide of the invention, an intercalating agent enhances the binding of the oligonucleotide to its complementary genomic DNA target sequence. The intercalating agent may also increase resistance to endonucleases and exonucleases.
Exemplary intercalating agents are taught by Helene and Thuong (1989. Genome 31:413), and include e.g., acridine derivatives (Lacoste et al. 1997. Nucleic Acids Research. 25:1991; Kukreti et al. 1997. Nucleic Acids Research. 25:4264); quinoline derivatives (Wilson et al. 1993. Biochemistry 32:10614); benzo[f]quinol[3,4-b]quinoxaline derivatives (Marchand et al. 1996. Biochemistry. 35:5022; Escude et al. 1998. Proc. Natl. Acad. Sci. 95:3591).
Intercalating agents can be incorporated into an oligonucleotide using any convenient linkage. For example, acridine or psoralen can be linked to the oligonucleotide through any available -OH or -SH group, e.g., at the terminal 5' position of the oligonucleotide, the 2' positions of sugar moieties, or an OH, NH₂, COOH, or SH incorporated into the 5'-position of pyrimidines using standard methods.
In one embodiment, when included in an RNase H activating antisense nucleotide sequence, an agent that increases the affinity of an oligonucleotide for its target is not positioned adjacent to an RNase activating region of the oligonucleotide, e.g., is positioned adjacent to a non-RNase activating region. Preferably, the agent that increases the affinity of an oligonucleotide for its target is placed at a distance as far as possible from the RNase activating domain of the chimeric antisense sequence such that the specificity of the chimeric antisense sequence is not altered when compared with the specificity of a chimeric antisense sequence which lacks the intercalating compound. In one embodiment, this can be accomplished by positioning the agent adjacent to a non-RNase activating region. The specificity of the oligonucleotide can be tested by demonstrating that transcription of a non-target sequence, preferably a non-target sequence which is structurally similar to the target (e.g., has some sequence homology or identity with the target sequence but which is not identical in sequence to the target), is not inhibited to a greater degree by an oligonucleotide comprising an affinity enhancing agent than by an oligonucleotide directed against the same target that does not comprise an affinity enhancing agent.
The double-stranded oligonucleotides of the invention may be formed by a single, self-complementary nucleic acid strand or two separate complementary nucleic acid strands. Duplex formation can occur either inside or outside the cell containing the target gene.
As used herein, the term "double-stranded" includes one or more nucleic acid molecules comprising a region of the molecule in which at least a portion of the nucleomonomers are complementary and hydrogen bond to form a duplex.
As used herein, the term "duplex" includes the region of the double-stranded nucleic acid molecule(s) that is (are) hydrogen bonded to a complementary sequence.
The double-stranded oligonucleotides of the invention comprise a nucleotide sequence that is sense to a target gene and a complementary sequence that is antisense to the target gene. The sense and antisense nucleotide sequences correspond to the target gene sequence, e.g., are identical or are sufficiently identical to effect target gene inhibition (e.g., are about at least about 98%, 96% identical, 94%, 90% identical, 85% identical, or 80% identical) to the target gene sequence.
When comprised of two separate complementary nucleic acid molecules, the individual nucleic acid molecules can be of different lengths.
In one embodiment, a double-stranded oligonucleotide of the invention is double-stranded over its entire length, i.e., with no overhanging single-stranded sequence at either end of the molecule, i.e., is blunt-ended. In another embodiment, a double-stranded oligonucleotide of the invention is not double-stranded over its entire length. For instance, when two separate nucleic acid molecules are used, one of the molecules, e.g., the first molecule comprising an antisense sequence can be longer than the second molecule hybridizing thereto (leaving a portion of the molecule single-stranded). Likewise, when a single nucleic acid molecule is used a portion of the molecule at either end can remain single-stranded.
In one embodiment, a double-stranded oligonucleotide of the invention is double-stranded over at least about 70% of the length of the oligonucleotide. In another embodiment, a double-stranded oligonucleotide of the invention is double-stranded over at least about 80% of the length of the oligonucleotide. In another embodiment, a double-stranded oligonucleotide of the invention is double-stranded over at least about 90%-95% of the length of the oligonucleotide. In another embodiment, a double-stranded oligonucleotide of the invention is double-stranded over at least about 96%-98% of the length of the oligonucleotide.
In one embodiment, the double-stranded duplex constructs of the invention can be further stabilized against nucleases by forming loop structures at the 5' or 3' end of the sense or antisense strand of the construct. For example, the construct can take the form:
\[
\begin{align*}
\text{Antisense} & \\
X & \rightarrow 5'\text{-oligo(N)}-3' & Y \\
& \rightarrow 3'\text{-oligo(N)}-5' & \\
\text{Sense} & \\
\text{oligo(N)} = & \\
(N)_{12-40} &
\end{align*}
\]
Figure 1.
where the Ns are nucleomonomers in complementary oligonucleotide strands (i.e., the top N strand is complementary to the bottom N strand) of equal length (e.g., between about 12 and about 40 nucleotides in length) and X and Y are each independently selected from a group consisting of nothing (i.e., the construct is a blunt ended construct with no loops and no overhang); from about 1 to about 20 nucleotides of 5' overhang; from about 1 to about 20 nucleotides of 3' overhang; a GAAA loop (tetra-loop); and a loop consisting from about 4 to about 20 nucleomonomers (where the nucleomonomers are all either Gs or A's).
The sequence of Ns corresponds to the target gene sequence (e.g., is homologous or identical to a nucleotide sequence that is sense or antisense to the target gene sequence), while the nucleotide sequence of the loop structure does not correspond to the target gene sequence.
For example, such loops can comprise all Gs and A's and be from about 4 to about 20 nucleotides in length. In one embodiment, such a loop can be a tetra-loop having a sequence GAAA.
In one embodiment, the number of Ns is about 27.
In embodiments in which loops are at one or both ends of the construct, the oligonucleotide can be divided by having a "nick" which is two non-linked nucleomonomers at any point along the sense or antisense strand, but preferably along the sense strand. Preferably, the nick is at least four bases from the nearest end of the duplexed region (to provide enough thermodynamic stability).
In another embodiment, a construct of the invention can take the form:
\[
5'-(Z)_{2-8}-(N)_{15-40}-(M)_{2-8}-3' \quad (\text{Antisense})
\]
\[
3'-(Z)_{2-8}-(N)_{15-40}-(M)_{2-8}-5' \quad (\text{Sense})
\]
where the Ns are complementary nucleomonomers in oligonucleotide strands of equal length (e.g., between 12-40 nucleomonomers in length); Zs are nucleomonomers in complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length and which comprise a sequence which can optionally correspond to the target sequence; and where Ms are nucleomonomers in complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length and which can optionally correspond to the target sequence.
Preferably, the Zs and Ms are nucleomonomers selected from the group consisting of Cs and Gs to make the end of the duplex more thermodynamically stable. Ends of duplexes can become single stranded transiently, and since duplex RNA is more stable than single-stranded RNA, the enhanced stability of the duplex on the ends will result in higher nuclease stability.
A preferred sequence for Z or M in the antisense strand is from 2-8 nucleomonomers in length or preferably from 3-4 nucleomonomers in length, e.g., (from 5' to 3') CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGC, CGGG, GCCC, CCCC, GGGG, GCGC, CGCG, GGGC, CCCG, CGGG, GCCC, GGCC, or CCGG. The complementary strand would have the corresponding complementary sequence.
In still another embodiment, a construct of the invention has the form:
where Ns are nucleomonomers in complementary oligonucleotide strands (i.e., the top N strand is complementary to the bottom N strand) of equal length (e.g., from between about 12 to about 40 nucleomonomers in length) and X is selected from the group consisting of nothing (i.e., leaving blunt ends with no loop or overhang); 1-20 nucleotides of 5' overhang; 1-20 nucleotides of 3' overhang; a GAAA loop (tetra-loop); and a loop consisting of from about 4 to about 20 nucleomonomers (where the nucleomonomers are all either Gs or A's) and where Ms are nucleomonomers in complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length (which can optionally correspond to the target sequence). Preferably, Ms are nucleomonomers selected from the group consisting of contain Cs and Gs.
[0102] A preferred sequence for M in the antisense strand is from 2-8 nucleomonomers in length or preferably from 3-4 nucleomonomers in length, e.g., (from 5' to 3') CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGC, CGGG, GCCC, CCCC, GGGG, GCGC, CGCG, GGGC, CCCG, CGGG, GCCC, GGCC, or CCGG and the corresponding complement on the opposite strand.
[0103] In another embodiment, the construct can take the form:
where Ns are nucleomonomers in complementary oligonucleotide strands of equal length (e.g., from between about 12 to about 40 nucleomonomers in length) and Y is selected from the group consisting of nothing (i.e., leaving blunt ends with no loop or overhang; 1-20 nucleotides of 5' overhang; 1-20 nucleotides of 3' overhang; a GAAA loop (tetra-loop); and a loop consisting of a sequence of from about 4 to about 20 nucleomonomers (where the nucleomonomers are all either Gs or A's) and where Zs are nucleomonomers in complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length and which comprise a sequence which can optionally correspond to the target sequence. Preferably, the Zs are nucleomonomers selected from the group consisting of Cs and Gs to make the end of the duplex more stable.
[0104] A preferred sequence for Z in the antisense strand is from 2-8 nucleomonomers in length or preferably from 3-4 nucleomonomers in length, e.g., (from 5' to 3') CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGC, CGGG, GCCC, CCCC, GGGG, GCGC, CGCG, GGGC, CCCG, CGGG, GCCC, GGCC or CCGG (and the corresponding complement on the opposite strand). For example, in the following structure, GGCC on the end (and its complement) confers additional stability:
GGCCCUUCUGUCUUGAACAUGAGUU G A A
CCGGGaaGaCaGaaCTTGTaCTCAA A A A AG
(SEQ ID NO: ##)
Figure 9.
[0105] The invention also relates to a double-stranded oligonucleotide composition having the following structure:
Figure 10.
wherein (1) oligoA is an oligonucleotide of a number of nucleomonomers; (2) oligoB is an oligonucleotide that has the same number of nucleomonomers as oligoA and that is complementary to oligoA; (3) either oligoA or oligoB corresponds to a target gene sequence.
[0106] In this structure, X may be selected from (a) nothing; (b) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 5' end of oligoA and constituting a 5' overhang; (c) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 3' end of oligoB and constituting a 3' overhang; (d) and an oligonucleotide of about 4 to about 20 nucleomonomers covalently bonded to the 3' end of oligoB and the 5' end of oligoA and constituting a loop structure, where the nucleomonomers are selected from the group consisting of G and A.
[0107] Similarly, Y may be selected from (a) nothing; (b) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 5' end of oligoB and constituting a 5' overhang; (c) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 3' end of oligoA and constituting a 3' overhang; (d) and an oligonucleotide of about 4 to about 20 nucleomonomers covalently bonded to the 3' end of oligoA and the 5' end of oligoB and constituting a loop structure, where the nucleomonomers are selected from the group consisting of G and A.
[0108] Similarly, the invention includes a double-stranded oligonucleotide composition having the structure:
Figure 11.
wherein (1) oligoA is 5'-(N)_{15-40}-(M)_{2-8}-3' and oligoB is 5'-(N)_{15-40}-(M)_{2-8}-3', wherein each of N and M is independently a nucleomonomer; (2) both of the sequences of Ns are complementary oligonucleotide strands of equal length having between about 15 and 40 nucleomonomers; (3) at least one of the sequences of Ns, optionally with some or all of the flanking Ms, corresponds to a target gene sequence. Both of the sequences of Ms are complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length. The two M strands are optionally of the same length.
[0109] The group X indicated by the curved line is selected from (a) nothing; (b) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 5' end of oligoA and constituting a 5' overhang; (c) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 3' end of oligoB and constituting a 3' overhang; (d) and an oligonucleotide of about 4 to about 20 nucleomonomers covalently bonded to the 3' end of oligoB and the 5' end of oligoA and constituting a loop structure, where the nucleomonomers are selected from the group consisting of G and A.
Likewise, the invention pertains to a double-stranded oligonucleotide composition having the structure:
\[
\begin{align*}
&\text{5'-oligoA-3'} \\
&\quad \swarrow \\
&\quad Y \\
&\quad \searrow \\
&\text{3'-oligoB-5'}
\end{align*}
\]
**Figure 12.**
wherein (1) oligoA is 5'-(Z)_{2-8}-(N)_{12-40}-3' and oligoB is 5'-(Z)_{2-8}-(N)_{12-40}-3', wherein each of N and Z is independently a nucleomonomer; (2) both of the sequences of Ns are complementary oligonucleotide strands of equal length having between about 12 and 40 nucleomonomers; (3) at least one of the sequences of Ns, optionally with some or all of the flanking Zs, corresponds to a target gene sequence. Both of the sequences of Zs are complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length. The two Z strands are optionally of the same length.
Here, Y is selected from (a) nothing; (b) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 5' end of oligoB and constituting a 5' overhang; (c) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 3' end of oligoA and constituting a 3' overhang; (d) and an oligonucleotide of about 4 to about 20 nucleomonomers covalently bonded to the 3' end of oligoA and the 5' end of oligoB and constituting a loop structure, where the nucleomonomers are selected from the group consisting of G and A.
In one embodiment, the double-stranded duplex of an oligonucleotide of the invention is from between about 12 to about 50 nucleomonomers in length, i.e., the number of nucleotides of the double-stranded oligonucleotide which hybridize to the complementary sequence of the double-stranded oligonucleotide to form the double-stranded duplex structure is from about 12 to about 50 nucleomonomers in length. In another embodiment, the double-stranded duplex of an oligonucleotide of the invention is from between about 12 to about 40 nucleomonomers in length.
In one embodiment, the double-stranded duplex of an oligonucleotide of the invention is at least about 25 nucleomonomers in length. In one embodiment, the double-stranded duplex is greater than about 25 nucleomonomers in length. In one embodiment, a double-stranded duplex is at least about 26, 27, 28, 29, 30, at least about 40, at least about 50, or at least about 60, at least about 70, at least about 80, or at least about 90 nucleomonomers in length. In another embodiment, the double-stranded duplex is less than about 25 nucleomonomers in length. In one embodiment, a double-stranded duplex is at least about 10, at least about 15, at least about 20, at least about 22, at least about 23 or at least about 24 nucleomonomers in length.
In one embodiment, the number of Ns in each strand of the duplex is about 12, 13, 14, 15, 16, 17, 18, 19, 20, 21, 22, 23, 24, 25, 26, or 27. In another embodiment, the number of Ns in each strand of the duplex is about 30, 35, 40, 45, or 50. In one embodiment, the number of Ns in each strand of the duplex is about 19. In a preferred embodiment, the number of Ns in each strand of the duplex is about 27. In another embodiment, the number of Ns in each strand of the duplex is about 27 (e.g., is 26, 27, or 28). In another embodiment, the number of Ns in each strand of the duplex is 27.
In one embodiment, an individual nucleic acid molecule of a double-stranded oligonucleotide of the invention is at least about 25 nucleomonomers in length. For example, when the double-stranded oligonucleotide of the invention is comprised of one nucleic acid molecule, that individual molecule is at least about 25 nucleomonomers in length or when the double-stranded oligonucleotide of the invention is comprised of two separate nucleic acid molecules, the length of at least one of the individual nucleic acid molecules is at least about 25 nucleomonomers in length.
A variety of nucleotides of different lengths may be used. In one embodiment, an individual nucleic acid molecule comprising a double-stranded oligonucleotide of the invention is greater than about 25 nucleomonomers in length. In one embodiment, an individual nucleic acid molecule comprising a double-stranded oligonucleotide of the invention is at least about 26, 27, 28, 29, 30, at least about 40, at least about 50, or at least about 60, at least about 70, at least about 80, or at least about 90 nucleomonomer in length. In another embodiment, an individual nucleic acid molecule comprising a double-stranded oligonucleotide of the invention is less than about 25 nucleomonomers in length. In one embodiment, an individual nucleic acid molecule comprising a double-stranded oligonucleotide of the invention is at least about 10, at least about 15, at least about 20, at least about 22, at least about 23 or at least about 24 nucleomonomers in length.
The double-stranded molecules of the invention comprise a first nucleotide sequence which is antisense to at least part of the target gene and a second nucleotide sequence which is complementary to the first nucleotide sequence; i.e., is sense to at least part of the target gene. In one embodiment, the second nucleotide sequence of the doublestranded molecule comprises a nucleotide sequence which is at least about 100% complementary to the antisense molecule.
[0118] In another embodiment, the second nucleotide sequence of the double-stranded molecule comprises a nucleotide sequence which is at least about 95% complementary to the antisense molecule. In another embodiment, the second nucleotide sequence of the double-stranded molecule comprises a nucleotide sequence which is at least about 90% complementary to the antisense molecule. In another embodiment, the second nucleotide sequence of the double-stranded molecule comprises a nucleotide sequence which is at least about 80% complementary to the antisense molecule. In another embodiment, the second nucleotide sequence of the double-stranded molecule comprises a nucleotide sequence which is at least about 60% complementary to the antisense molecule. In another embodiment, the second nucleotide sequence of the double-stranded molecule comprises a nucleotide sequence which is at least about 100% complementary to the antisense molecule.
[0119] To determine the percent identity of two nucleic acid sequences, the sequences are aligned for optimal comparison purposes (e.g., gaps can be introduced in one or both of a first and a second amino acid or nucleic acid sequence for optimal alignment and non-identical sequences can be disregarded for comparison purposes). When a position in the first sequence is occupied by the same nucleotide as the corresponding position in the second sequence, then the molecules are identical at that position. The percent identity between the two sequences is a function of the number of identical positions shared by the sequences, taking into account the number of gaps, and the length of each gap, which need to be introduced for optimal alignment of the two sequences. The percent complementarity can be determined analogously; when a position in one sequence occupied by a nucleotide that is complementary to the nucleotide in the other sequence, then the molecules are complementary at that position.
[0120] The comparison of sequences and determination of percent identity between two sequences can be accomplished using a mathematical algorithm. In a preferred embodiment, the percent identity between two nucleotide sequences is determined using e.g., the GAP program in the GCG software package, using a NWSgapdna.CMP matrix and a gap weight of 40, 50, 60, 70, or 80 and a length weight of 1, 2, 3, 4, 5, or 6. In another embodiment, the percent identity between two nucleotide sequences is determined using the algorithm of E. Meyers and W. Miller (Comput. Appl. Biosci. 4:11-17 (1988)) which has been incorporated into the ALIGN program (version 2.0), using a PAM120 weight residue table, a gap length penalty of 12 and a gap penalty of 4.
[0121] The nucleic acid sequences of the present invention can further be used as a "query sequence" to perform alignments against sequences in public databases. Such searches can be performed using the NBLAST and XBLAST programs (version 2.0) of Altschul et al. (1990) J. Mol. Biol. 215:403-10. BLAST nucleotide searches can be performed with the NBLAST program, score = 100, wordlength = 12. To obtain gapped alignments for comparison purposes, Gapped BLAST can be utilized as described in Altschul et al. (1997) Nucleic Acids Res. 25(17):3389-3402. When utilizing BLAST and Gapped BLAST programs, the default parameters of the respective programs (e.g., XBLAST and NBLAST) can be used. See, e.g., the NIH website.
[0122] In yet another embodiment, a first antisense sequence of the double-stranded molecule hybridizes to its complementary second sequence of the double-stranded molecule under stringent hybridization conditions. As used herein, the term "hybridizes under stringent conditions" is intended to describe conditions for hybridization and washing under which nucleotide sequences at least 60% complementary to each other typically remain hybridized to each other. Preferably, the conditions are such that sequences at least about 70%, more preferably at least about 80%, even more preferably at least about 85% or 90% complementary to each other typically remain hybridized to each other.
[0123] Such stringent conditions are known to those skilled in the art and can be found in Current Protocols in Molecular Biology, John Wiley & Sons, N.Y. (1989), 6.3.1-6.3.6. A preferred, non-limiting example of stringent hybridization conditions are hybridization in 6X sodium chloride/sodium citrate (SSC) at about 45°C, followed by one or more washes in 0.2 X SSC, 0.1% SDS at 50°C, preferably at 55°C, more preferably at 60°C, and even more preferably at 65°C. Ranges intermediate to the above-recited values, e.g., at 60-65°C or at 55-60°C are also intended to be encompassed by the present invention. Alternatively, formamide can be included in the hybridization solution, using methods and conditions also known in the art.
[0124] One of the sequences (or molecules) of the double-stranded oligonucleotide of the invention is antisense to the target gene. As used herein, the term "antisense sequence" includes nucleotide sequences which bind to the "sense" strand of the nucleotide sequence of the target gene (e.g., polynucleotides such as DNA, mRNA (including pre-mRNA)) molecules. When the antisense sequences of the invention bind to nucleic acid molecules, they can bind to any region of a nucleic acid molecule, including e.g., introns, exons, 5', or 3' untranslated regions. Antisense sequences that work by binding to a target and activating RNase H preferably bind within an intron, an exon, the 5' untranslated region, or the 3' untranslated region of a nucleic acid target molecule.
[0125] Preferably, the oligonucleotide compositions of the invention do not activate the interferon pathway, e.g., as evidenced by the lack of induction of the double-stranded RNA, interferon-inducible protein kinase, PKR.
[0126] In one embodiment, modifications are made to a double-stranded RNA molecule which would normally activate the interferon pathway such that the interferon pathway is not activated. For example, the interferon pathway is activated
by double-stranded unmodified RNA. The cellular recognition of double-stranded RNA is highly specific and modifying one or both of the strands of a double-stranded duplex enable the double-stranded RNA molecule to evade the double-stranded RNA recognition machinery of the cell but would still allow for the activation of the RNAi pathway.
[0127] The ability of a double-stranded oligonucleotide to activate interferon could be assessed by testing for expression of the double-stranded RNA, Interferon-Inducible Protein Kinase, PKR using techniques known in the art and also testing for the ability of the double-stranded molecule to effect target gene inhibition. Accordingly, in one embodiment, the invention provides a method of testing for the ability of a double-stranded RNA molecule to induce interferon by testing for the ability of the oligonucleotide to activate PKR. Compositions that do not activate PKR (i.e., do not activate the interferon pathway) are then selected for use to inhibit gene transcription in cells, e.g., in therapeutics or functional genomics.
[0128] Without being limited to any particular mechanism of action, an antisense sequence used in a double-stranded oligonucleotide composition of the invention that can specifically hybridize with a nucleotide sequence within the target gene (i.e., can be complementary to a nucleotide sequence within the target gene) may achieve its affects based on, e.g.; (1) binding to target mRNA and sterically blocking the ribosome complex from translating the mRNA; (2) binding to target mRNA and triggering mRNA cleavage by RNase H; (3) binding to double-stranded DNA in the nucleus and forming a triple helix; (4) hybridizing to open DNA loops created by RNA polymerase; (5) interfering with mRNA splicing; (6) interfering with transport of mRNA from the nucleus to the cytoplasm; or (7) interfering with translation through inhibition of the binding of initiation factors or assembly of ribosomal subunits (i.e., at the start codon).
[0129] In one embodiment, an antisense sequence of the double-stranded oligonucleotides of the invention is complementary to a target nucleic acid sequence over at least about 80% of the length of the antisense sequence. In another embodiment, the antisense sequence of the double-stranded oligonucleotide of the invention is complementary to a target nucleic acid sequence over at least about 90-95 % of the length of the antisense sequence. In another embodiment, the antisense sequence of the double-stranded oligonucleotide of the invention is complementary to a target nucleic acid sequence over the entire length of the antisense sequence.
[0130] In yet another embodiment, an antisense sequence of the double-stranded oligonucleotide hybridizes to at least a portion of the target gene under stringent hybridization conditions.
[0131] In one embodiment, antisense sequences of the invention are substantially complementary to a target nucleic acid sequence. In one embodiment, an antisense RNA molecule comprises a nucleotide sequence which is at least about 100 % complementary to a portion of the target gene. In another embodiment, an antisense RNA molecule comprises a nucleotide sequence which is at least about 90 % complementary to a portion of the target gene. In another embodiment, an antisense RNA molecule comprises a nucleotide sequence which is at least about 80 % complementary to a portion of the target gene. In another embodiment, an antisense RNA molecule comprises a nucleotide sequence which is at least about 60 % complementary to a portion of the target gene. In another embodiment, an antisense RNA molecule comprises a nucleotide sequence which is at least about 100 % complementary to a portion of the target gene. Preferably, no loops greater than about 8 nucleotides are formed by areas of non-complementarity between the oligonucleotide and the target.
[0132] In one embodiment, an antisense nucleotide sequence of the invention is complementary to a target nucleic acid sequence over at least about 80% of the length of the antisense sequence. In another embodiment, an antisense sequence of the invention is complementary to a target nucleic acid sequence over at least about 90-95 % of the length of the antisense sequence. In another embodiment, an antisense sequence of the invention is complementary to a target nucleic acid sequence over the entire length of the antisense sequence.
[0133] The antisense sequences used in an oligonucleotide composition of the invention may be of any type, e.g., including Morpholino oligonucleotides, RNase H activating oligonucleotides, or ribozymes.
[0134] In one embodiment, a double-stranded oligonucleotide of the invention can comprise (i.e., be a duplex of) one nucleic acid molecule which is DNA and one nucleic acid molecule which is RNA.
[0135] Antisense sequences of the invention can be "chimeric oligonucleotides" which comprise an RNA-like and a DNA-like region. The language "RNase H activating region" includes a region of an oligonucleotide, e.g., a chimeric oligonucleotide, that is capable of recruiting RNase H to cleave the target RNA strand to which the oligonucleotide binds. Typically, the RNase activating region contains a minimal core (of at least about 3-5, typically between about 3-12, more typically, between about 5-12, and more preferably between about 5-10 contiguous nucleomonomers) of DNA or DNA-like nucleomonomers. (See, e.g., US patent 5,849,902). Preferably, the RNase H activating region comprises about nine contiguous deoxyribose containing nucleomonomers.
[0136] In one embodiment, the contiguous nucleomonomers are linked by a substitute linkage, e.g., a phosphorothioate linkage. In one embodiment, an antisense sequence of the invention is unstable, i.e., is degraded in a cell, in the absence of the second strand (or self complementary sequence) which forms a double-stranded oligonucleotide of the invention. For example, in one embodiment, a chimeric antisense sequence comprises unmodified DNA nucleomonomer in the gap rather than phosphorothioate DNA.
[0137] The language "non-activating region" includes a region of an antisense sequence, e.g., a chimeric oligonucleotide, that does not recruit or activate RNase H. Preferably, a non-activating region does not comprise phosphorothioate DNA. The oligonucleotides of the invention comprise at least one non-activating region. In one embodiment, the non-activating region can be stabilized against nucleases or can provide specificity for the target by being complementary to the target and forming hydrogen bonds with the target nucleic acid molecule, which is to be bound by the oligonucleotide.
[0138] Antisense sequences of the present invention may include "morpholino oligonucleotides." Morpholino oligonucleotides are non-ionic and function by an RNase H-independent mechanism. Each of the 4 genetic bases (Adenine, Cytosine, Guanine, and Thymine/Uracil) of the morpholino oligonucleotides is linked to a 6-membered morpholine ring. Morpholino oligonucleotides are made by joining the 4 different subunit types by, e.g., non-ionic phosphorodiamidate inter-subunit linkages. An example of a 2 subunit morpholino oligonucleotide is shown below.
![Figure 13]
[0139] Morpholino oligonucleotides have many advantages including: complete resistance to nuclease (Antisense & Nuc. Acid Drug Dev. 1996. 6:267); predictable targeting (Biochimica Biophysica Acta. 1999. 1489:141); reliable activity in cells (Antisense & Nuc. Acid Drug Dev. 1997. 7:63); excellent sequence specificity (Antisense & Nuc. Acid Drug Dev. 1997. 7:151); minimal non-antisense activity (Biochimica Biophysica Acta. 1999. 1489:141); and simple osmotic or scrape delivery (Antisense & Nuc. Acid Drug Dev. 1997. 7:291). Morpholino oligonucleotides are also preferred because of their non-toxicity at high doses. A discussion of the preparation of morpholino oligonucleotides can be found in Antisense & Nuc. Acid Drug Dev. 1997. 7:187.
Uptake Of Oligonucleotides By Cells
[0140] Oligonucleotides and oligonucleotide compositions are contacted with (i.e., brought into contact with, also referred to herein as administered or delivered to) and taken up by one or more cells or a cell lysate. The term "cells" includes prokaryotic and eukaryotic cells, preferably vertebrate cells, and, more preferably, mammalian cells. In a preferred embodiment, the oligonucleotide compositions of the invention are contacted with human cells.
[0141] Oligonucleotide compositions of the invention can be contacted with cells in vitro, e.g., in a test tube or culture dish, (and may or may not be introduced into a subject) or in vivo, e.g., in a subject such as a mammalian subject. Oligonucleotides are taken up by cells at a slow rate by endocytosis, but endocytosed oligonucleotides are generally sequestered and not available, e.g., for hybridization to a target nucleic acid molecule. In one embodiment, cellular uptake can be facilitated by electroporation or calcium phosphate precipitation. However, these procedures are only useful for in vitro or ex vivo embodiments, are not convenient and, in some cases, are associated with cell toxicity.
[0142] In another embodiment, delivery of oligonucleotides into cells can be enhanced by suitable art recognized methods including calcium phosphate, DMSO, glycerol or dextran, electroporation, or by transfection, e.g., using cationic, anionic, or neutral lipid compositions or liposomes using methods known in the art (see e.g., WO 90/14074; WO 91/16024; WO 91/17424; U.S. Patent No. 4,897,355; Bergan et al. 1993. Nucleic Acids Research. 21:3567). Enhanced delivery of oligonucleotides can also be mediated by the use of vectors (See e.g., Shi, Y. 2003. Trends Genet 2003 Jan 19; Reichhart JM et al. Genesis. 2002. 34(1-2):160-4, Yu et al. 2002. Proc Natl Acad Sci U S A 99:6047; Sui et al. 2002. Proc Natl Acad Sci U S A 99:5515) viruses, polyamine or polycation conjugates using compounds such as polylysine,
Conjugating Agents
[0143] Conjugating agents bind to the oligonucleotide in a covalent manner. In one embodiment, oligonucleotides can be derivitized or chemically modified by binding to a conjugating agent to facilitate cellular uptake. For example, covalent linkage of a cholesterol moiety to an oligonucleotide can improve cellular uptake by 5- to 10-fold which in turn improves DNA binding by about 10-fold (Boutorin et al., 1989, FEBS Letters 254:129-132). Conjugation of octyl, dodecyl, and octadecyl residues enhances cellular uptake by 3-, 4-, and 10-fold as compared to unmodified oligonucleotides (Vlassov et al., 1994, Biochimica et Biophysica Acta 1197:95-108). Similarly, derivatization of oligonucleotides with poly-L-lysine can aid oligonucleotide uptake by cells (Schell, 1974, Biochem. Biophys. Acta 340:323, and Lemaitre et al., 1387, Proc. Natl. Acad. Sci. USA 84:648).
[0144] Certain protein carriers can also facilitate cellular uptake of oligonucleotides, including, for example, serum albumin, nuclear proteins possessing signals for transport to the nucleus, and viral or bacterial proteins capable of cell membrane penetration. Therefore, protein carriers are useful when associated with or linked to the oligonucleotides. Accordingly, the present invention provides for derivatization of oligonucleotides with groups capable of facilitating cellular uptake, including hydrocarbons and non-polar groups, cholesterol, long chain alcohols (i.e., hexanol), poly-L-lysine and proteins, as well as other aryl or steroid groups and polycations having analogous beneficial effects, such as phenyl or naphthyl groups, quinoline, anthracene or phenanthracene groups, fatty acids, fatty alcohols and sesquiterpenes, diterpenes, and steroids. A major advantage of using conjugating agents is to increase the initial membrane interaction that leads to a greater cellular accumulation of oligonucleotides.
Encapsulating Agent
[0145] Encapsulating agents entrap oligonucleotides within vesicles. In another embodiment of the invention, an oligonucleotide may be associated with a carrier or vehicle, e.g., liposomes or micelles, although other carriers could be used, as would be appreciated by one skilled in the art. Liposomes are vesicles made of a lipid bilayer having a structure similar to biological membranes. Such carriers are used to facilitate the cellular uptake or targeting of the oligonucleotide, or improve the oligonucleotide's pharmacokinetic or toxicologic properties.
[0146] For example, the oligonucleotides of the present invention may also be administered encapsulated in liposomes, pharmaceutical compositions wherein the active ingredient is contained either dispersed or variously present in corpuscles consisting of aqueous concentric layers adherent to lipidic layers. The oligonucleotides, depending upon solubility, may be present both in the aqueous layer and in the lipidic layer, or in what is generally termed a liposomal suspension. The hydrophobic layer, generally but not exclusively, comprises phospholipids such as lecithin and sphingomyelin, steroids such as cholesterol, more or less ionic surfactants such as diacetylphosphate, stearylamine, or phosphatidic acid, or other materials of a hydrophobic nature. The diameters of the liposomes generally range from about 15 nm to about 5 microns.
[0147] The use of liposomes as drug delivery vehicles offers several advantages. Liposomes increase intracellular stability, increase uptake efficiency and improve biological activity. Liposomes are hollow spherical vesicles composed of lipids arranged in a similar fashion as those lipids which make up the cell membrane. They have an internal aqueous space for entrapping water soluble compounds and range in size from 0.05 to several microns in diameter. Several studies have shown that liposomes can deliver nucleic acids to cells and that the nucleic acids remain biologically active. For example, a liposome delivery vehicle originally designed as a research tool, such as Lipofectin, can deliver intact nucleic acid molecules to cells.
[0148] Specific advantages of using liposomes include the following: they are non-toxic and biodegradable in composition; they display long circulation half-lives; and recognition molecules can be readily attached to their surface for targeting to tissues. Finally, cost-effective manufacture of liposome-based pharmaceuticals, either in a liquid suspension or lyophilized product, has demonstrated the viability of this technology as an acceptable drug delivery system.
Complexing Agents
[0149] Complexing agents bind to the oligonucleotides of the invention by a strong but non-covalent attraction (e.g., an electrostatic, van der Waals, pi-stacking, etc. interaction). In one embodiment, oligonucleotides of the invention can be complexed with a complexing agent to increase cellular uptake of oligonucleotides. An example of a complexing agent includes cationic lipids. Cationic lipids can be used to deliver oligonucleotides to cells.
[0150] The term "cationic lipid" includes lipids and synthetic lipids having both polar and non-polar domains and which are capable of being positively charged at or around physiological pH and which bind to polyanions, such as nucleic
acids, and facilitate the delivery of nucleic acids into cells. In general cationic lipids include saturated and unsaturated alkyl and alicyclic ethers and esters of amines, amides, or derivatives thereof. Straight-chain and branched alkyl and alkenyl groups of cationic lipids can contain, e.g., from 1 to about 25 carbon atoms. Preferred straight chain or branched alkyl or alkene groups have six or more carbon atoms. Alicyclic groups include cholesterol and other steroid groups. Cationic lipids can be prepared with a variety of counterions (anions) including, e.g., Cl\(^-\), Br\(^-\), I\(^-\), F\(^-\), acetate, trifluoroacetate, sulfate, nitrite, and nitrate.
[0151] Examples of cationic lipids include polyethylenimine, polyamidoamine (PAMAM) starburst dendrimers, Lipofectin (a combination of DOTMA and DOPE), Lipofectase, Lipofectamine, DOPE, Cytofectin (Gilead Sciences, Foster City, CA), and Eufectins (JBL, San Luis Obispo, CA). Exemplary cationic liposomes can be made from N-[1-(2,3-dioleoloyl)-propyl]-N,N,N-trimethylammonium chloride (DOTMA), N-[1-(2,3-dioleoloyl)-propyl]-N,N,N-trimethylammonium methylsulfate (DOTAP), 3β-[N-(N',N'-dimethylaminoethane)carbamoyl]cholesterol (DC-Chol), 2,3, dioleloyloxy-N-[2(sperminecarboxamido)ethyl]-N,N-dimethyl-1-propanaminium trifluorooacetate (DOSPA), 1,2-dimyristoyloxypropyl-3-dimethylhydroxyethyl ammonium bromide; and dimethyldioctadecylammonium bromide (DDAB). The cationic lipid N-(1-(2,3-dioleoloyl)propyl)-N,N,N-trimethylammonium chloride (DOTMA), for example, was found to increase 1000-fold the antisense effect of a phosphorothioate oligonucleotide. (Vlassov et al., 1994, Biochimica et Biophysica Acta 1197:95-108). Oligonucleotides can also be complexed with, e.g., poly (L-lysine) or avidin and lipids may, or may not, be included in this mixture, e.g., sterly-poly (L-lysine).
[0152] Cationic lipids have been used in the art to deliver oligonucleotides to cells (see, e.g., U.S. 5,855,910; 5,851,548; 5,830,430; 5,780,053; 5,767,099; Lewis et al. 1996. Proc. Natl. Acad. Sci. USA 93:3176; Hope et al. 1998. Molecular Membrane Biology 15:1). Other lipid compositions which can be used to facilitate uptake of the instant oligonucleotides can be used in connection with the claimed methods. In addition to those listed supra, other lipid compositions are also known in the art and include, e.g., those taught in U.S. patent 4,235,871; U.S. patents 4,501,728; 4,837,028; 4,737,323.
[0153] In one embodiment lipid compositions can further comprise agents, e.g., viral proteins to enhance lipid-mediated transfections of oligonucleotides (Kamata, et al., 1994. Nucl. Acids. Res. 22:536). In another embodiment, oligonucleotides are contacted with cells as part of a composition comprising an oligonucleotide, a peptide, and a lipid as taught, e.g., in U.S. patent 5,736,392. Improved lipids have also been described which are serum resistant (Lewis, et al., 1996. Proc. Natl. Acad. Sci. 93:3176). Cationic lipids and other complexing agents act to increase the number of oligonucleotides carried into the cell through endocytosis.
[0154] In another embodiment N-substituted glycine oligonucleotides (peptoids) can be used to optimize uptake of oligonucleotides. Peptoids have been used to create cationic lipid-like compounds for transfection (Murphy, et al., 1998. Proc. Natl. Acad. Sci. 95:1517). Peptoids can be synthesized using standard methods (e.g., Zuckermann, R. N., et al. 1992, J. Am. Chem. Soc. 114:10646; Zuckermann, R.N., et al. 192. Int. J. Peptide Protein Res. 40:497). Combinations of cationic lipids and peptoids, liptoids, can also be used to optimize uptake of the subject oligonucleotides (Hunag, et al., 1998. Chemistry and Biology. 5:345). Liptoids can be synthesized by elaborating peptoid oligonucleotides and coupling the amino terminal submonomer to a lipid via its amino group (Hunag, et al., 1998. Chemistry and Biology. 5:345).
[0155] It is known in the art that positively charged amino acids can be used for creating highly active cation lipids (Lewis et al. 1996. Proc. Natl. Acad. Sci. U.S.A. 93:3176). In one embodiment, a composition for delivering oligonucleotides of the invention comprises a number of arginine, lysine, histidine or ornithine residues linked to a lipophilic moiety (see e.g., U.S. patent 5,777,153).
[0156] In another, a composition for delivering oligonucleotides of the invention comprises a peptide having from between about one to about four basic residues. These basic residues can be located, e.g., on the amino terminal, C-terminal, or internal region of the peptide. Families of amino acid residues having similar side chains have been defined in the art. These families include amino acids with basic side chains (e.g., lysine, arginine, histidine), acidic side chains (e.g., aspartic acid, glutamic acid), uncharged polar side chains (e.g., glycine (can also be considered non-polar), asparagine, glutamine, serine, threonine, tyrosine, cysteine), nonpolar side chains (e.g., alanine, valine, leucine, isoleucine, proline, phenylalanine, methionine, tryptophan), beta-branched side chains (e.g., threonine, valine, isoleucine) and aromatic side chains (e.g., tyrosine, phenylalanine, tryptophan, histidine). Apart from the basic amino acids, a majority or all of the other residues of the peptide can be selected from the non-basic amino acids, e.g., amino acids other than lysine, arginine, or histidine. Preferably a preponderance of neutral amino acids with long neutral side chains are used. For example, a peptide such as (N-term) His-Ile-Trp-Leu-Ile-Tyr-Leu-Trp-Ile-Val-(C-term) (SEQ ID NO: ##) could be used. In one embodiment such a composition can be mixed with the fusogenic lipid DOPE as is well known in the art.
[0157] In one embodiment, the cells to be contacted with an oligonucleotide composition of the invention are contacted with a mixture comprising the oligonucleotide and a mixture comprising a lipid, e.g., one of the lipids or lipid compositions described supra for between about 12 h to about 24 h. In another embodiment, the cells to be contacted with an oligonucleotide composition are contacted with a mixture comprising the oligonucleotide and a mixture comprising a lipid, e.g., one of the lipids or lipid compositions described supra for between about 1 and about five days. In one embodiment, the cells are contacted with a mixture comprising a lipid and the oligonucleotide for between about three days to as long as about 30 days. In another embodiment, a mixture comprising a lipid is left in contact with the cells for
at least about five to about 20 days. In another embodiment, a mixture comprising a lipid is left in contact with the cells for at least about seven to about 15 days.
[0158] For example, in one embodiment, an oligonucleotide composition can be contacted with cells in the presence of a lipid such as cytosefectin CS or GSV (available from Glen Research; Sterling, VA), GS3815, GS2888 for prolonged incubation periods as described herein.
[0159] In one embodiment the incubation of the cells with the mixture comprising a lipid and an oligonucleotide composition does not reduce the viability of the cells. Preferably, after the transfection period the cells are substantially viable. In one embodiment, after transfection, the cells are between at least about 70 and at least about 100 percent viable. In another embodiment, the cells are between at least about 80 and at least about 95% viable. In yet another embodiment, the cells are between at least about 85% and at least about 90% viable.
[0160] In one embodiment, oligonucleotides are modified by attaching a peptide sequence that transports the oligonucleotide into a cell, referred to herein as a "transporting peptide." In one embodiment, the composition includes an oligonucleotide which is complementary to a target nucleic acid molecule encoding the protein, and a covalently attached transporting peptide.
[0161] The language "transporting peptide" includes an amino acid sequence that facilitates the transport of an oligonucleotide into a cell. Exemplary peptides which facilitate the transport of the moieties to which they are linked into cells are known in the art, and include, e.g., HIV TAT transcription factor, lactoferrin, Herpes VP22 protein, and fibroblast growth factor 2 (Pooga et al. 1998. Nature Biotechnology. 16:857; and Derossi et al. 1998. Trends in Cell Biology. 8:84; Elliott and O'Hare. 1997. Cell 88:223).
[0162] For example, in one embodiment, the transporting peptide comprises an amino acid sequence derived from the antennapedia protein. Preferably, the peptide comprises amino acids 43-58 of the antennapedia protein (Arg-Gln-Ile-Lys-Ile-Trp-Phe-Gln-Asn-Arg-Arg-Met-Lys-Trp-Lys-Lys) (SEQ ID NO: ##) or a portion or variant thereof that facilitates transport of an oligonucleotide into a cell (see, e.g., WO 91/1898; Derossi et al. 1998. Trends Cell Biol. 8:84). Exemplary variants are shown in Derossi et al., supra.
[0163] In one embodiment, the transporting peptide comprises an amino acid sequence derived from the transportan, galanin (1-12)-Lys-mastoparan (1-14) amide, protein. (Pooga et al. 1998. Nature Biotechnology 16:857). Preferably, the peptide comprises the amino acids of the transportan protein shown in the sequence GWTLNSAGYLLGKINLKAL-AALAKKIL (SEQ ID NO : ##) or a portion or variant thereof that facilitates transport of an oligonucleotide into a cell.
[0164] In one embodiment, the transporting peptide comprises an amino acid sequence derived from the HIV TAT protein. Preferably, the peptide comprises amino acids 37-72 of the HIV TAT protein, e.g., shown in the sequence C (Acm)FITKALGISYGRKKRRQRRR-PPQC (SEQ ID NO: ##) (TAT 37-60; where C(Acm) is Cys-acetamidomethyl) or a portion or variant thereof, e.g., C(Acm)GRKKRRQRRPPQC (SEQ ID NO: ##) (TAT 48-40) or C(Acm)LGISYGRKKRQRRPPQC (SEQ ID NO. ##) (TAT 43-60) that facilitates transport of an oligonucleotide into a cell (Vives et al. 1997. J. Biol. Chem. 272:16010). In another embodiment the peptide (G)CFITKALGISYGRKKRRQR-RRPPQGSQTHQVLSLKQ (SEQ ID NO: ##) can be used.
[0165] Portions or variants of transporting peptides can be readily tested to determine whether they are equivalent to these peptide portions by comparing their activity to the activity of the native peptide, e.g., their ability to transport fluorescently-labeled oligonucleotides to cells. Fragments or variants that retain the ability of the native transporting peptide to transport an oligonucleotide into a cell are functionally equivalent and can be substituted for the native peptides.
[0166] Oligonucleotides can be attached to the transporting peptide using known techniques, e.g., (Prochiantz, A. 1996. Curr. Opin. Neurobiol. 6:629; Derossi et al. 1998. Trends Cell Biol. 8:84; Troy et al. 1996. J. Neurosci. 16:253), Vives et al. 1997. J. Biol. Chem. 272: 16010). For example, in one embodiment, oligonucleotides bearing an activated thiol group are linked via that thiol group to a cysteine present in a transport peptide (e.g., to the cysteine present in the β turn between the second and the third helix of the antennapedia homeodomain as taught, e.g., in Derossi et al. 1998. Trends Cell Biol. 8:84; Prochiantz. 1996. Current Opinion in Neurobiol. 6:629; Allinguant et al. 1995. J. Cell Biol. 128: 919). In another embodiment, a Boc-Cys-(Npys)OH group can be coupled to the transport peptide as the last (N-terminal) amino acid and an oligonucleotide bearing an SH group can be coupled to the peptide (Troy et al. 1996. J. Neuroses. 16:253).
[0167] In one embodiment, a linking group can be attached to a nucleomonomer and the transporting peptide can be covalently attached to the linker. In one embodiment, a linker can function as both an attachment site for a transporting peptide and can provide stability against nucleases. Examples of suitable linkers include substituted or unsubstituted C₁-C₂₀ alkyl chains, C₂-C₂₀ alkenyl chains, C₂-C₂₀ alkynyl chains, peptides, and heteroatoms (e.g., S, O, NH, etc.). Other exemplary linkers include bifunctional crosslinking agents such as sulfosuccinimidyl-4-(maleimidophenyl)-butyrate (SMPB) (see, e.g., Smith et al. Biochem J 1991. 276:417-2).
[0168] In one embodiment, oligonucleotides of the invention are synthesized as molecular conjugates which utilize receptor-mediated endocytotic mechanisms for delivering genes into cells (see, e.g., Bunnell et al 1992. Somatic Cell and Molecular Genetics. 18:559 and the references cited therein).
Targeting Agents
[0169] The delivery of oligonucleotides can also be improved by targeting the oligonucleotides to a cellular receptor. The targeting moieties can be conjugated to the oligonucleotides or attached to a carrier group (i.e., poly(L-lysine) or liposomes) linked to the oligonucleotides. This method is well suited to cells that display specific receptor-mediated endocytosis.
[0170] For instance, oligonucleotide conjugates to 6-phosphomannosylated proteins are internalized 20-fold more efficiently by cells expressing mannose 6-phosphate specific receptors than free oligonucleotides. The oligonucleotides may also be coupled to a ligand for a cellular receptor using a biodegradable linker. In another example, the delivery construct is mannosylated streptavidin which forms a tight complex with biotinylated oligonucleotides. Mannosylated streptavidin was found to increase 20-fold the internalization of biotinylated oligonucleotides. (Vlassov et al. 1994. Biochimica et Biophysica Acta 1197:95-108).
[0171] In addition specific ligands can be conjugated to the polylysine component of polylysine-based delivery systems. For example, transferrin-polylysine, adenovirus-polylysine, and influenza virus hemagglutinin HA-2 N-terminal fusogenic peptides-polylysine conjugates greatly enhance receptor-mediated DNA delivery in eucaryotic cells. Mannosylated glycoprotein conjugated to poly(L-lysine) in aveolar macrophages has been employed to enhance the cellular uptake of oligonucleotides. Liang et al. 1999. Pharmazie 54:559-566.
[0172] Because malignant cells have an increased need for essential nutrients such as folic acid and transferrin, these nutrients can be used to target oligonucleotides to cancerous cells. For example, when folic acid is linked to poly(L-lysine) enhanced oligonucleotide uptake is seen in promyelocytic leukemia (HL-60) cells and human melanoma (M-14) cells. Ginobbi et al. 1997. Anticancer Res. 17:29. In another example, liposomes coated with maleylated bovine serum albumin, folic acid, or ferric protoporphyrin IX, show enhanced cellular uptake of oligonucleotides in murine macrophages, KB cells, and 2.2.15 human hepatoma cells. Liang et al. 1999. Pharmazie 54:559-566.
[0173] Liposomes naturally accumulate in the liver, spleen, and reticuloendothelial system (so-called, passive targeting). By coupling liposomes to various ligands such as antibodies are protein A, they can be actively targeted to specific cell populations. For example, protein A-bearing liposomes may be pretreated with H-2K specific antibodies which are targeted to the mouse major histocompatibility complex-encoded H-2K protein expressed on L cells. (Vlassov et al. 1994. Biochimica et Biophysica Acta 1197:95.-108).
Assays of Oligonucleotide Stability
[0174] Preferably, the double-stranded oligonucleotides of the invention are stabilized, i.e., substantially resistant to endonuclease and exonuclease degradation. An oligonucleotide is defined as being substantially resistant to nucleases when it is at least about 3-fold more resistant to attack by an endogenous cellular nuclease, and is highly nuclease resistant when it is at least about 6-fold more resistant than a corresponding, single-stranded oligonucleotide. This can be demonstrated by showing that the oligonucleotides of the invention are substantially resist nucleases using techniques which are known in the art.
[0175] One way in which substantial stability can be demonstrated is by showing that the oligonucleotides of the invention function when delivered to a cell, e.g., that they reduce transcription or translation of target nucleic acid molecules, e.g., by measuring protein levels or by measuring cleavage of mRNA. Assays which measure the stability of target RNA can be performed at about 24 hours post-transfection (e.g., using Northern blot techniques, RNase Protection Assays, or QC-PCR assays as known in the art). Alternatively, levels of the target protein can be measured. Preferably, in addition to testing the RNA or protein levels of interest, the RNA or protein levels of a control, non-targeted gene will be measured (e.g., actin, or preferably a control with sequence similarity to the target) as a specificity control. RNA or protein measurements can be made using any art-recognized technique. Preferably, measurements will be made beginning at about 16-24 hours post transfection. (M. Y. Chiang, et al. 1991. J Biol Chem. 266:18162-71; T. Fisher, et al. 1993. Nucleic Acids Research. 21 3857).
[0176] The ability of an oligonucleotide composition of the invention to inhibit protein synthesis can be measured using techniques which are known in the art, for example, by detecting an inhibition in gene transcription or protein synthesis. For example, Nuclease S1 mapping can be performed. In another example, Northern blot analysis can be used to measure the presence of RNA encoding a particular protein. For example, total RNA can be prepared over a cesium chloride cushion (see, e.g., Ausebel et al., 1987. Current Protocols in Molecular Biology (Greene & Wiley, New York)). Northern blots can then be made using the RNA and probed (see, e.g., Id.). In another example, the level of the specific mRNA produced by the target protein can be measured, e.g., using PCR. In yet another example, Western blots can be used to measure the amount of target protein present. In still another embodiment, a phenotype influenced by the amount of the protein can be detected. Techniques for performing Western blots are well known in the art, see, e.g., Chen et al. J. Biol. Chem. 271:28259.
[0177] In another example, the promoter sequence of a target gene can be linked to a reporter gene and reporter
gene transcription (e.g., as described in more detail below) can be monitored. Alternatively, oligonucleotide compositions that do not target a promoter can be identified by fusing a portion of the target nucleic acid molecule with a reporter gene so that the reporter gene is transcribed. By monitoring a change in the expression of the reporter gene in the presence of the oligonucleotide composition, it is possible to determine the effectiveness of the oligonucleotide composition in inhibiting the expression of the reporter gene. For example, in one embodiment, an effective oligonucleotide composition will reduce the expression of the reporter gene.
[0178] A "reporter gene" is a nucleic acid that expresses a detectable gene product, which may be RNA or protein. Detection of mRNA expression may be accomplished by Northern blotting and detection of protein may be accomplished by staining with antibodies specific to the protein. Preferred reporter genes produce a readily detectable product. A reporter gene may be operably linked with a regulator DNA sequence such that detection of the reporter gene product provides a measure of the transcriptional activity of the regulatory sequence. In preferred embodiments, the gene product of the reporter gene is detected by an intrinsic activity associated with that product. For instance, the reporter gene may encode a gene product that, by enzymatic activity, gives rise to a detectable signal based on color, fluorescence, or luminescence. Examples of reporter genes include, but are not limited to, those coding for chloramphenicol acetyl transferase (CAT), luciferase, β-galactosidase, and alkaline phosphatase.
[0179] One skilled in the art would readily recognize numerous reporter genes suitable for use in the present invention. These include, but are not limited to, chloramphenicol acetyltransferase (CAT), luciferase, human growth hormone (hGH), and beta-galactosidase. Examples of such reporter genes can be found in F. A. Ausubel et al., Eds., Current Protocols in Molecular Biology, John Wiley & Sons, New York, (1989). Any gene that encodes a detectable product, e.g., any product having detectable enzymatic activity or against which a specific antibody can be raised, can be used as a reporter gene in the present methods.
[0180] One reporter gene system is the firefly luciferase reporter system. (Gould, S. J., and Subramani, S. 1988. Anal. Biochem., 7:404-408 incorporated herein by reference). The luciferase assay is fast and sensitive. In this assay, a lysate of the test cell is prepared and combined with ATP and the substrate luciferin. The encoded enzyme luciferase catalyzes a rapid, ATP dependent oxidation of the substrate to generate a light-emitting product. The total light output is measured and is proportional to the amount of luciferase present over a wide range of enzyme concentrations.
[0181] CAT is another frequently used reporter gene system; a major advantage of this system is that it has been an extensively validated and is widely accepted as a measure of promoter activity. (Gorman C. M., Moffat, L. F., and Howard, B. H. 1982. Mol. Cell. Biol., 2:1044-1051). In this system, test cells are transfected with CAT expression vectors and incubated with the candidate substance within 2-3 days of the initial transfection. Thereafter, cell extracts are prepared. The extracts are incubated with acetyl CoA and radioactive chloramphenicol. Following the incubation, acetylated chloramphenicol is separated from nonacetylated form by thin layer chromatography. In this assay, the degree of acetylation reflects the CAT gene activity with the particular promoter.
[0182] Another suitable reporter gene system is based on immunologic detection of hGH. This system is also quick and easy to use. (Selden, R., Burke-Howie, K. Rowe, M. E., Goodman, H. M., and Moore, D. D. (1986), Mol. Cell. Biol., 6:3173-3179 incorporated herein by reference). The hGH system is advantageous in that the expressed hGH polypeptide is assayed in the media, rather than in a cell extract. Thus, this system does not require the destruction of the test cells. It will be appreciated that the principle of this reporter gene system is not limited to hGH but rather adapted for use with any polypeptide for which an antibody of acceptable specificity is available or can be prepared.
[0183] In one embodiment, nuclease stability of a double-stranded oligonucleotide of the invention is measured and compared to a control, e.g., an RNAi molecule typically used in the art (e.g., a duplex oligonucleotide of less than 25 nucleotides in length and comprising 2 nucleotide base overhangs) or an unmodified RNA duplex with blunt ends.
Oligonucleotide Synthesis
[0184] Oligonucleotides of the invention can be synthesized by any method known in the art, e.g., using enzymatic synthesis and chemical synthesis. The oligonucleotides can be synthesized *in vitro* (e.g., using enzymatic synthesis and chemical synthesis) or *in vivo* (using recombinant DNA technology well known in the art).
[0185] In a preferred embodiment, chemical synthesis is used. Chemical synthesis of linear oligonucleotides is well known in the art and can be achieved by solution or solid phase techniques. Preferably, synthesis is by solid phase methods. Oligonucleotides can be made by any of several different synthetic procedures including the phosphoramidite, phosphite triester, H-phosphonate, and phosphotriester methods, typically by automated synthesis methods.
[0186] Oligonucleotide synthesis protocols are well known in the art and can be found, e.g., in U.S. patent 5,830,653; WO 98/13526; Stec et al. 1984. J. Am. Chem. Soc. 106:6077; Stec et al. 1985. J. Org. Chem. 50:3908; Stec et al. J. Chromatog. 1985. 326:263; LaPlanche et al. 1986. Nuc. Acid. Res. 1986.14:9081; Fasman G. D., 1989. Practical Handbook of Biochemistry and Molecular Biology. 1989. CRC Press, Boca Raton, Fla.; Lamone. 1993. Biochem. Soc. Trans. 21:1; U.S. Patent 5,013,830; U.S. Patent 5,214,135; U.S. Patent 5,525,719; Kawasaki et al. 1993. J. Med. Chem. 36:831; WO 92/03568; U.S. Patent 5,276,019; U.S. Patent 5,264,423.
The synthesis method selected can depend on the length of the desired oligonucleotide and such choice is within the skill of the ordinary artisan. For example, the phosphoramidite and phosphite triester method can produce oligonucleotides having 175 or more nucleotides while the H-phosphonate method works well for oligonucleotides of less than 100 nucleotides. If modified bases are incorporated into the oligonucleotide, and particularly if modified phosphodiester linkages are used, then the synthetic procedures are altered as needed according to known procedures. In this regard, Uhlmann et al. (1990, Chemical Reviews 90:543-584) provide references and outline procedures for making oligonucleotides with modified bases and modified phosphodiester linkages. Other exemplary methods for making oligonucleotides are taught in Sonveaux. 1994. "Protecting Groups in Oligonucleotide Synthesis"; Agrawal. Methods in Molecular Biology 26:1. Exemplary synthesis methods are also taught in "Oligonucleotide Synthesis- A Practical Approach" (Gait, M.J. IRL Press at Oxford University Press, 1984). Moreover, linear oligonucleotides of defined sequence, including some sequences with modified nucleotides, are readily available from several commercial sources.
The oligonucleotides may be purified by polyacrylamide gel electrophoresis, or by any of a number of chromatographic methods, including gel chromatography and high pressure liquid chromatography. To confirm a nucleotide sequence, oligonucleotides may be subjected to DNA sequencing by any of the known procedures, including Maxam and Gilbert sequencing, Sanger sequencing, capillary electrophoresis sequencing the wandering spot sequencing procedure or by using selective chemical degradation of oligonucleotides bound to Hybond paper. Sequences of short oligonucleotides can also be analyzed by laser desorption mass spectroscopy or by fast atom bombardment (McNeal, et al., 1982, J. Am. Chem. Soc. 104:976; Viari, et al., 1987, Biomed. Environ. Mass Spectrum. 14:83; Grotjahn et al., 1982, Nuc. Acid Res. 10:4671). Sequencing methods are also available for RNA oligonucleotides.
The quality of oligonucleotides synthesized can be verified by testing the oligonucleotide by capillary electrophoresis and denaturing strong anion HPLC (SAX-HPLC) using, e.g., the method of Bergot and Egan. 1992. J. Chrom. 599:35.
Other exemplary synthesis techniques are well known in the art (see, e.g., Sambrook et al., Molecular Cloning: a Laboratory Manual, Second Edition (1989); DNA Cloning, Volumes I and II (DN Glover Ed. 1985); Oligonucleotide Synthesis (MJ Gait Ed, 1984; Nucleic Acid Hybridisation (BD Hames and SJ Higgins eds. 1984); A Practical Guide to Molecular Cloning (1984); or the series, Methods in Enzymology (Academic Press, Inc.)).
Uses of Oligonucleotides
This invention also features methods of inhibiting expression of a protein in a cell including contacting the cell with one of the above-described oligonucleotide compositions.
The oligonucleotides of the invention can be used in a variety of in vitro and in vivo situations to specifically inhibit protein expression. The instant methods and compositions are suitable for both in vitro and in vivo use.
The methods of the invention may be used for determining the function of a gene in a cell or an organism or for modulating the function of a gene in a cell or an organism, being capable of responding to or mediating RNA interference. The cell is preferably a eukaryotic cell or a cell line, e.g., an animal cell such as a mammalian cell, e.g., an embryonic cell, a pluripotent stem cell, a tumor cell, e.g., a teratocarcinoma cell, or a virus-infected cell. The organism is preferably a eukaryotic organism, e.g., an animal such as a mammal, particularly a human.
The invention includes methods to inhibit expression of a target gene in a cell in vitro. For example, such methods may include introduction of RNA into a cell in an amount sufficient to inhibit expression of the target gene, where the RNA is a double-stranded molecule of the invention. By way of a further example, such an RNA molecule may have a first strand consisting essentially of a ribonucleotide sequence that corresponds to a nucleotide sequence of the target gene, and a second strand consisting essentially of a ribonucleotide sequence that is complementary to the nucleotide sequence of the target gene, in which the first and the second strands are separate complementary strands or are joined by a loop, and they hybridize to each other to form said double-stranded molecule, such that the duplex composition inhibits expression of the target gene. The duplex composition may include modified nucleomonomers as discussed above.
The invention also relates to a method to inhibit expression of a target gene in an invertebrate organism. Such methods include providing an invertebrate organism containing a target cell that contains the target gene, in which the target cell is susceptible to RNA interference and the target gene is expressed in the target cell. Such methods further include contacting the invertebrate organism with an RNA composition of the invention. For example, the RNA may be a double-stranded molecule with a first strand consisting essentially of a ribonucleotide sequence that corresponds to a nucleotide sequence of the target gene and a second strand consisting essentially of a ribonucleotide sequence that is complementary to the nucleotide sequence of the target gene. In such cases, the first and the second ribonucleotide sequences may be separate complementary strands or joined by a loop, and they hybridize to each other to form the double-stranded molecule. Finally, such methods include a step of introducing the duplex RNA composition into the target cell to thereby inhibiting expression of the target gene.
In one embodiment, the oligonucleotides of the invention can be used to inhibit gene function in vitro in a
method for identifying the functions of genes. In this manner, the transcription of genes that are identified, but for which no function has yet been shown, can be inhibited to thereby determine how the phenotype of a cell is changed when the gene is not transcribed. Such methods are useful for the validation of genes as targets for clinical treatment, e.g., with oligonucleotides or with other therapies.
[0197] To determine the effect of a composition of the invention, a variety of end points can be used. In addition to the assays described previously herein, for example, nucleic acid probes (e.g., in the form of arrays) can be used to evaluate transcription patterns produced by cells. Probes can also be used detect peptides, proteins, or protein domains, e.g., antibodies can be used to detect the expression of a particular protein. In yet another embodiment, the function of a protein (e.g., enzymatic activity) can be measured. In yet another embodiment, the phenotype of a cell can be evaluated to determine whether or not a target protein is expressed. For example, the ability of a composition to affect a phenotype of a cell that is associated with cancer can be tested.
[0198] In one embodiment, one or more additional agents (e.g., activating agents, inducing agents, proliferation enhancing agents, tumor promoters) can be added to the cells.
[0199] In another embodiment, the compositions of the invention can be used to monitor biochemical reactions such as, e.g., interactions of proteins, nucleic acids, small molecules, or the like, for example the efficiency or specificity of interactions between antigens and antibodies; or of receptors (such as purified receptors or receptors bound to cell membranes) and their ligands, agonists or antagonists; or of enzymes (such as proteases or kinases) and their substrates, or increases or decreases in the amount of substrate converted to a product; as well as many others. Such biochemical assays can be used to characterize properties of the probe or target, or as the basis of a screening assay. For example, to screen samples for the presence of particular proteases (e.g., proteases involved in blood clotting such as proteases Xa and VIIa), the samples can be assayed, for example using probes which are fluorogenic substrates specific for each protease of interest. If a target protease binds to and cleaves a substrate, the substrate will fluoresce, usually as a result, e.g., of cleavage and separation between two energy transfer pairs, and the signal can be detected. In another example, to screen samples for the presence of a particular kinase(s) (e.g., a tyrosine kinase), samples containing one or more kinases of interest can be assayed, e.g., using probes are peptides which can be selectively phosphorylated by one of the kinases of interest. Using art-recognized, routinely determinable conditions, samples can be incubated with an array of substrates, in an appropriate buffer and with the necessary cofactors, for an empirically determined period of time. If necessary, reactions can be stopped, e.g., by washing and the phosphorylated substrates can be detected by, for example, incubating them with detectable reagents such as, e.g., fluorescein-labeled anti-phosphotyrosine or anti-phosphoserine antibodies and the signal can be detected.
[0200] In another embodiment, the compositions of the invention can be used to screen for agents which modulate a pattern of gene expression. Arrays of oligonucleotides can be used, for example, to identify mRNA species whose pattern of expression from a set of genes is correlated with a particular physiological state or developmental stage, or with a disease condition ("correlative" genes, RNAs, or expression patterns). By the terms "correlate" or "correlative," it is meant that the synthesis pattern of RNA is associated with the physiological condition of a cell, but not necessarily that the expression of a given RNA is responsible for or is causative of a particular physiological state. For example, a small subset of mRNAs can be identified which are modulated (e.g., upregulated or downregulated) in cells which serve as a model for a particular disease state. This altered pattern of expression as compared to that in a normal cell, which does not exhibit a pathological phenotype, can serve as a indicator of the disease state ("indicator" or "correlativie" genes, RNAs, or expression patterns).
[0201] Compositions which modulate the chosen indicator expression pattern (e.g., compared to control compositions comprising, for example oligonucleotides which comprise a nucleotide sequence which is the reverse of the oligonucleotide, or which contains mismatch bases) can indicate that a particular target gene is a potential target for therapeutic intervention. Moreover, such compositions may be useful as therapeutic agents to modulate expression patters of cells in an *in vitro* expression system or in *in vivo* therapy. As used herein, "modulate" means to cause to increase or decrease the amount or activity of a molecule or the like which is involved in a measurable reaction. In one embodiment, a series of cells (e.g., from a disease model) can be contacted with a series of agents (e.g., for a period of time ranging from about 10 minutes to about 48 hours or more) and, using routine, art-recognized methods (e.g., commercially available kits), total RNA or mRNA extracts can be made. If it is desired to amplify the amount of RNA, standard procedures such as RT-PCR amplification can be used (*see*, e.g., Innis et al eds., (1996) PCR Protocols: A Guide to Methods in Amplification, Academic Press, New York). The extracts (or amplified products from them) can be allowed to contact (e.g., incubate with) probes for appropriate indicator RNAs, and those agents which are associated with a change in the indicator expression pattern can be identified.
[0202] Similarly, agents can be identified which modulate expression patterns associated with particular physiological states or developmental stages. Such agents can be man-made or naturally-occurring substances, including environmental factors such as substances involved in embryonic development or in regulating physiological reactions.
[0203] In one embodiment, the methods described herein can be performed in a "high throughput" manner, in which a large number of target genes (e.g., as many as about 1000 or more, depending on the particular format used) are
assayed rapidly and concurrently. Further, many assay formats (e.g., plates or surfaces) can be processed at one time. For example, because the oligonucleotides of the invention do not need to be tested individually before incorporating them into a composition, they can be readily synthesized and large numbers of target genes can be tested at one time. For example, a large number of samples, each comprising a biological sample containing a target nucleic acid molecule (e.g., a cell) and a composition of the invention can be added to separate regions of an assay format and assays can be performed on each of the samples.
**Administration of Oligonucleotide Compositions**
[0204] The optimal course of administration or delivery of the oligonucleotides may vary depending upon the desired result and/or on the subject to be treated. As used herein "administration" refers to contacting cells with oligonucleotides and can be performed in *vitro* or *in vivo*. The dosage of oligonucleotides may be adjusted to optimally reduce expression of a protein translated from a target nucleic acid molecule, e.g., as measured by a readout of RNA stability or by a therapeutic response, without undue experimentation.
[0205] For example, expression of the protein encoded by the nucleic acid target can be measured to determine whether or not the dosage regimen needs to be adjusted accordingly. In addition, an increase or decrease in RNA or protein levels in a cell or produced by a cell can be measured using any art recognized technique. By determining whether transcription has been decreased, the effectiveness of the oligonucleotide in inducing the cleavage of a target RNA can be determined.
[0206] Any of the above-described oligonucleotide compositions can be used alone or in conjunction with a pharmaceutically acceptable carrier. As used herein, "pharmaceutically acceptable carrier" includes appropriate solvents, dispersion media, coatings, antibacterial and antifungal agents, isotonic and absorption delaying agents, and the like. The use of such media and agents for pharmaceutical active substances is well known in the art. Except insofar as any conventional media or agent is incompatible with the active ingredient, it can be used in the therapeutic compositions. Supplementary active ingredients can also be incorporated into the compositions.
[0207] Oligonucleotides may be incorporated into liposomes or liposomes modified with polyethylene glycol or admixed with cationic lipids for parenteral administration. Incorporation of additional substances into the liposome, for example, antibodies reactive against membrane proteins found on specific target cells, can help target the oligonucleotides to specific cell types.
[0208] Moreover, the present invention provides for administering the subject oligonucleotides with an osmotic pump providing continuous infusion of such oligonucleotides, for example, as described in Rataiczak et al. (1992 Proc. Natl. Acad. Sci. USA 89:11823-11827). Such osmotic pumps are commercially available, e.g., from Alzet Inc. (Palo Alto, Calif.). Topical administration and parenteral administration in a cationic lipid carrier are preferred.
[0209] With respect to *in vivo* applications, the formulations of the present invention can be administered to a patient in a variety of forms adapted to the chosen route of administration, e.g., parenterally, orally, or intraperitoneally. Parenteral administration, which is preferred, includes administration by the following routes: intravenous; intramuscular; interstitially; intraaerially; subcutaneous; intra ocular; intrasynovial; trans epithelial, including transdermal; pulmonary via inhalation; ophthalmic; sublingual and buccal; topically, including ophthalmic; dermal; ocular; rectal; and nasal inhalation via insufflation.
[0210] Pharmaceutical preparations for parenteral administration include aqueous solutions of the active compounds in water-soluble or water-dispersible form. In addition, suspensions of the active compounds as appropriate oily injection suspensions may be administered. Suitable lipophilic solvents or vehicles include fatty oils, for example, sesame oil, or synthetic fatty acid esters, for example, ethyl oleate or triglycerides. Aqueous injection suspensions may contain substances which increase the viscosity of the suspension include, for example, sodium carboxymethyl cellulose, sorbitol, or dextran, optionally, the suspension may also contain stabilizers. The oligonucleotides of the invention can be formulated in liquid solutions, preferably in physiologically compatible buffers such as Hank's solution or Ringer's solution. In addition, the oligonucleotides may be formulated in solid form and redissolved or suspended immediately prior to use. Lyophilized forms are also included in the invention.
[0211] Pharmaceutical preparations for topical administration include transdermal patches, ointments, lotions, creams, gels, drops, sprays, suppositories, liquids and powders. In addition, conventional pharmaceutical carriers, aqueous, powder or oily bases, or thickeners may be used in pharmaceutical preparations for topical administration.
[0212] Pharmaceutical preparations for oral administration include powders or granules, suspensions or solutions in water or non-aqueous media, capsules, sachets or tablets. In addition, thickeners, flavoring agents, diluents, emulsifiers, dispersing aids, or binders may be used in pharmaceutical preparations for oral administration.
[0213] For transmucosal or transdermal administration, penetrants appropriate to the barrier to be permeated are used in the formulation. Such penetrants are known in the art, and include, for example, for transmucosal administration bile salts and fusidic acid derivatives, and detergents. Transmucosal administration may be through nasal sprays or using suppositories. For oral administration, the oligonucleotides are formulated into conventional oral administration
forms such as capsules, tablets, and tonics. For topical administration, the oligonucleotides of the invention are formulated into ointments, salves, gels, or creams as known in the art.
[0214] Drug delivery vehicles can be chosen e.g., for *in vitro*, for systemic, or for topical administration. These vehicles can be designed to serve as a slow release reservoir or to deliver their contents directly to the target cell. An advantage of using some direct delivery drug vehicles is that multiple molecules are delivered per uptake. Such vehicles have been shown to increase the circulation half-life of drugs that would otherwise be rapidly cleared from the blood stream. Some examples of such specialized drug delivery vehicles which fall into this category are liposomes, hydrogels, cyclodextrins, biodegradable nanocapsules, and bioadhesive microspheres.
[0215] The described oligonucleotides may be administered systemically to a subject. Systemic absorption refers to the entry of drugs into the blood stream followed by distribution throughout the entire body. Administration routes which lead to systemic absorption include: intravenous, subcutaneous, intraperitoneal, and intranasal. Each of these administration routes delivers the oligonucleotide to accessible diseased cells. Following subcutaneous administration, the therapeutic agent drains into local lymph nodes and proceeds through the lymphatic network into the circulation. The rate of entry into the circulation has been shown to be a function of molecular weight or size. The use of a liposome or other drug carrier localizes the oligonucleotide at the lymph node. The oligonucleotide can be modified to diffuse into the cell, or the liposome can directly participate in the delivery of either the unmodified or modified oligonucleotide into the cell.
[0216] The chosen method of delivery will result in entry into cells. Preferred delivery methods include liposomes (10-400 nm), hydrogels, controlled-release polymers, and other pharmaceutically applicable vehicles, and microinjection or electroporation (for *ex vivo* treatments).
[0217] The pharmaceutical preparations of the present invention may be prepared and formulated as emulsions. Emulsions are usually heterogenous systems of one liquid dispersed in another in the form of droplets usually exceeding 0.1 μm in diameter.
[0218] The emulsions of the present invention may contain excipients such as emulsifiers, stabilizers, dyes, fats, oils, waxes, fatty acids, fatty alcohols, fatty esters, humectants, hydrophilic colloids, preservatives, and anti-oxidants may also be present in emulsions as needed. These excipients may be present as a solution in either the aqueous phase, oily phase or itself as a separate phase.
[0219] Examples of naturally occurring emulsifiers that may be used in emulsion formulations of the present invention include lanolin, beeswax, phosphatides, lecithin and acacia. Finely divided solids have also been used as good emulsifiers especially in combination with surfactants and in viscous preparations. Examples of finely divided solids that may be used as emulsifiers include polar inorganic solids, such as heavy metal hydroxides, nonswelling clays such as bentonite, attapulgite, hectorite, kaolin, montmorillonite, colloidal aluminum silicate and colloidal magnesium aluminum silicate, pigments and nonpolar solids such as carbon or glyceryl tristearate.
[0220] Examples of preservatives that may be included in the emulsion formulations include methyl paraben, propyl paraben, quaternary ammonium salts, benzalkonium chloride, esters of p-hydroxybenzoic acid, and boric acid. Examples of antioxidants that may be included in the emulsion formulations include free radical scavengers such as tocopherols, alkyl gallates, butylated hydroxyanisole, butylated hydroxytoluene, or reducing agents such as ascorbic acid and sodium metabisulfite, and antioxidant synergists such as citric acid, tartaric acid, and lecithin.
[0221] In one embodiment, the compositions of oligonucleotides are formulated as microemulsions. A microemulsion is a system of water, oil and amphiphile which is a single optically isotropic and thermodynamically stable liquid solution. Typically microemulsions are prepared by first dispersing an oil in an aqueous surfactant solution and then adding a sufficient amount of a 4th component, generally an intermediate chain-length alcohol to form a transparent system.
[0222] Surfactants that may be used in the preparation of microemulsions include, but are not limited to, ionic surfactants, non-ionic surfactants, Brij 96, polyoxyethylene oleyl ethers, polyglycerol fatty acid esters, tetraglycerol monolaurate (ML310), tetraglycerol monooleate (MO310), hexaglycerol monooleate (PO310), hexaglycerol pentaoleate (FO500), decaglycerol monocaprate (MCA750), decaglycerol monooleate (MO750), decaglycerol sequioleate (S0750), decaglycerol decaoleate (DA0750), alone or in combination with cosurfactants. The cosurfactant, usually a short-chain alcohol such as ethanol, 1-propanol, and 1-butanol, serves to increase the interfacial fluidity by penetrating into the surfactant film and consequently creating a disordered film because of the void space generated among surfactant molecules.
[0223] Microemulsions may, however, be prepared without the use of cosurfactants and alcohol-free self emulsifying microemulsion systems are known in the art. The aqueous phase may typically be, but is not limited to, water, an aqueous solution of the drug, glycerol, PEG300, PEG400, polyglycerols, propylene glycols, and derivatives of ethylene glycol. The oil phase may include, but is not limited to, materials such as Captex 300, Captex 355, Capmul MCM, fatty acid esters, medium chain (C$_8$–C$_{12}$) mono, di, and tri-glycerides, polyoxyethylated glyceryl fatty acid esters, fatty alcohols, polyglycolized glycerides, saturated polyglycolized C$_8$–C$_{10}$ glycerides, vegetable oils and silicone oil.
[0224] Microemulsions are particularly of interest from the standpoint of drug solubilization and the enhanced absorption of drugs. Lipid based microemulsions (both oil/water and water/oil) have been proposed to enhance the oral bioavailability
of drugs.
[0225] Microemulsions offer improved drug solubilization, protection of drug from enzymatic hydrolysis, possible enhancement of drug absorption due to surfactant-induced alterations in membrane fluidity and permeability, ease of preparation, ease of oral administration over solid dosage forms, improved clinical potency, and decreased toxicity (Constantinides et al., Pharmaceutical Research, 1994, 11:1385; Ho et al., J. Pharm. Sci., 1996, 85:138-143). Microemulsions have also been effective in the transdermal delivery of active components in both cosmetic and pharmaceutical applications. It is expected that the microemulsion compositions and formulations of the present invention will facilitate the increased systemic absorption of oligonucleotides from the gastrointestinal tract, as well as improve the local cellular uptake of oligonucleotides within the gastrointestinal tract, vagina, buccal cavity and other areas of administration.
[0226] In an embodiment, the present invention employs various penetration enhancers to effect the efficient delivery of nucleic acids, particularly oligonucleotides, to the skin of animals. Even non-lipophilic drugs may cross cell membranes if the membrane to be crossed is treated with a penetration enhancer. In addition to increasing the diffusion of non-lipophilic drugs across cell membranes, penetration enhancers also act to enhance the permeability of lipophilic drugs.
[0227] Five categories of penetration enhancers that may be used in the present invention include: surfactants, fatty acids, bile salts, chelating agents, and non-chelating non-surfactants. Other agents may be utilized to enhance the penetration of the administered oligonucleotides include: glycols such as ethylene glycol and propylene glycol, pyrrols such as 2-15 pyrrol, azones, and terpenes such as limonene, and menthone.
[0228] The oligonucleotides, especially in lipid formulations, can also be administered by coating a medical device, for example, a catheter, such as an angioplasty balloon catheter, with a cationic lipid formulation. Coating may be achieved, for example, by dipping the medical device into a lipid formulation or a mixture of a lipid formulation and a suitable solvent, for example, an aqueous-based buffer, an aqueous solvent, ethanol, methylene chloride, chloroform and the like. An amount of the formulation will naturally adhere to the surface of the device which is subsequently administered to a patient, as appropriate. Alternatively, a lyophilized mixture of a lipid formulation may be specifically bound to the surface of the device. Such binding techniques are described, for example, in K. Ishihara et al., Journal of Biomedical Materials Research, Vol. 27, pp. 1309-1314 (1993), the disclosures of which are incorporated herein by reference in their entirety.
[0229] The useful dosage to be administered and the particular mode of administration will vary depending upon such factors as the cell type, or for in vivo use, the age, weight and the particular animal and region thereof to be treated, the particular oligonucleotide and delivery method used, the therapeutic or diagnostic use contemplated, and the form of the formulation, for example, suspension, emulsion, micelle or liposome, as will be readily apparent to those skilled in the art. Typically, dosage is administered at lower levels and increased until the desired effect is achieved. When lipids are used to deliver the oligonucleotides, the amount of lipid compound that is administered can vary and generally depends upon the amount of oligonucleotide agent being administered. For example, the weight ratio of lipid compound to oligonucleotide agent is preferably from about 1:1 to about 15:1, with a weight ratio of about 5:1 to about 10:1 being more preferred. Generally, the amount of cationic lipid compound which is administered will vary from between about 0.1 milligram (mg) to about 1 gram (g). By way of general guidance, typically between about 0.1 mg and about 10 mg of the particular oligonucleotide agent, and about 1 mg to about 100 mg of the lipid compositions, each per kilogram of patient body weight, is administered, although higher and lower amounts can be used.
[0230] The agents of the invention are administered to subjects or contacted with cells in a biologically compatible form suitable for pharmaceutical administration. By "biologically compatible form suitable for administration" is meant that the oligonucleotide is administered in a form in which any toxic effects are outweighed by the therapeutic effects of the oligonucleotide. In one embodiment, oligonucleotides can be administered to subjects. Examples of subjects include mammals, e.g., humans and other primates; cows, pigs, horses, and farming (agricultural) animals; dogs, cats, and other domesticated pets; mice, rats, and transgenic non-human animals.
[0231] Administration of an active amount of an oligonucleotide of the present invention is defined as an amount effective, at dosages and for periods of time necessary to achieve the desired result. For example, an active amount of an oligonucleotide may vary according to factors such as the type of cell, the oligonucleotide used, and for in vivo uses the disease state, age, sex, and weight of the individual, and the ability of the oligonucleotide to elicit a desired response in the individual. Establishment of therapeutic levels of oligonucleotides within the cell is dependent upon the rates of uptake and efflux or degradation. Decreasing the degree of degradation prolongs the intracellular half-life of the oligonucleotide. Thus, chemically-modified oligonucleotides, e.g., with modification of the phosphate backbone, may require different dosing.
[0232] The exact dosage of an oligonucleotide and number of doses administered will depend upon the data generated experimentally and in clinical trials. Several factors such as the desired effect, the delivery vehicle, disease indication, and the route of administration, will affect the dosage. Dosages can be readily determined by one of ordinary skill in the art and formulated into the subject pharmaceutical compositions. Preferably, the duration of treatment will extend at least through the course of the disease symptoms.
[0233] Dosage regima may be adjusted to provide the optimum therapeutic response. For example, the oligonucleotide
may be repeatedly administered, e.g., several doses may be administered daily or the dose may be proportionally reduced as indicated by the exigencies of the therapeutic situation. One of ordinary skill in the art will readily be able to determine appropriate doses and schedules of administration of the subject oligonucleotides, whether the oligonucleotides are to be administered to cells or to subjects.
**Treatment of Diseases or Disorders**
[0234] By inhibiting the expression of a gene, the oligonucleotide compositions of the present invention can be used to treat any disease involving the expression of a protein. Examples of diseases that can be treated by oligonucleotide compositions include: cancer, retinopathies, autoimmune diseases, inflammatory diseases (i.e., ICAM-1 related disorders, Psoriasis, Ulcerative Colitis, Crohn’s disease), viral diseases (i.e., HIV, Hepatitis C), and cardiovascular diseases.
[0235] In one embodiment, *in vitro* treatment of cells with oligonucleotides can be used for *ex vivo* therapy of cells removed from a subject (e.g., for treatment of leukemia or viral infection) or for treatment of cells which did not originate in the subject, but are to be administered to the subject (e.g., to eliminate transplantation antigen expression on cells to be transplanted into a subject). In addition, *in vitro* treatment of cells can be used in non-therapeutic settings, e.g., to evaluate gene function, to study gene regulation and protein synthesis or to evaluate improvements made to oligonucleotides designed to modulate gene expression or protein synthesis. *In vivo* treatment of cells can be useful in certain clinical settings where it is desirable to inhibit the expression of a protein. There are numerous medical conditions for which antisense therapy is reported to be suitable (*see*, e.g., U.S. 5,830,653) as well as respiratory syncytial virus infection (WO 95/22,553) influenza virus (WO 94/23,028), and malignancies (WO 94/08,003). Other examples of clinical uses of antisense sequences are reviewed, e.g., in Glaser. 1996. Genetic Engineering News 16:1. Exemplary targets for cleavage by oligonucleotides include, e.g., protein kinase Ca, ICAM-1, c-raf kinase, p53, c-myb, and the bcr/abl fusion gene found in chronic myelogenous leukemia.
[0236] The practice of the present invention will employ, unless otherwise indicated, conventional techniques of cell biology, cell culture, molecular biology, microbiology, recombinant DNA, and immunology, which are within the skill of the art. Such techniques are explained fully in the literature. *See*, for example, Molecular Cloning A Laboratory Manual, 2nd Ed., ed. by Sambrook, J. et al. (Cold Spring Harbor Laboratory Press (1988)); Short Protocols in Molecular Biology, 3rd Ed., ed. by Ausubel, F. et al. (Wiley, NY (1995)); DNA Cloning, Volumes I and II (D. N. Glover ed., 1985); Oligonucleotide Synthesis (M. J. Gait ed. (1984)); Mullis et al. U.S. Patent No: 4,683,195; Nucleic Acid Hybridization (B. D. Hames & S. J. Higgins eds. (1984)); the treatise, Methods In Enzymology (Academic Press, Inc., N.Y.); Immunochemical Methods In Cell And Molecular Biology (Mayer and Walker, eds., Academic Press, London (1987)); Handbook Of Experimental Immunology, Volumes I-IV (D. M. Weir and C. C. Blackwell, eds., (1986)); and Miller, J. Experiments in Molecular Genetics (Cold Spring Harbor Press, Cold Spring Harbor, N.Y. (1972)),
[0237] The invention is further illustrated by the following examples, which should not be construed as further limiting.
**EXAMPLES**
*Example 1. Oligonucleotide Compositions Comprising Chimeric Antisense Sequences.*
[0238] A gapped antisense oligonucleotide comprising 2'-O-methyl RNA arms and an unmodified DNA gap was synthesized. A complementary oligonucleotide was also synthesized using unmodified RNA. A double-stranded duplex was formed and the composition was found to inhibit expression of the target gene.
*Example 2. Length of Double-Stranded Oligonucleotides and the Presence or Absence of Overhangs Has No Effect on Function.*
[0239] Twenty one and 27-mers were designed to target each of two sites on the p53 molecule (89-90 site, and 93-94 site). The double-stranded molecules were designed with or without 3'-deoxy TT overhangs. The test oligonucleotides were 21-mers with 2 nucleotide 3' deoxy TT overhangs and without overhangs (blunt ends); and 27-mers with 2 nucleotide 3' deoxy TT overhangs and without overhangs (blunt ends). Two positive controls were included in the experiment (p53) and two negative controls were also included (FITC).
[0240] A549 cells were transfected with 100 nM of the double-stranded molecules plus 2 ug/mL Lipofectamine 2000. A549 cells were examined 24 hours post-transfection. FITC-labeled molecules were taken up well by cells. Both 21-mers (with or without overhangs) and 27-mers (with or without overhangs) were non-toxic to cells. Figure 1 shows the result of an experiment comparing the ability of different oligonucleotide constructs to inhibit p53 and shows that length or the presence or absence of a 3' deoxy TT overhang did not affect the activity of the oligonucleotide. The results in Figure 1 show the amount of p53 RNA normalized to the amount of an irrelevant message, GAPDH. The level of RNA
was determined using RT-PCR analysis. The observed percent inhibition of p53 expression is shown below:
| SITE | overhang | no overhang | overhang | no overhang |
|-------|----------|-------------|----------|-------------|
| 93-94 | 58% | 65% | 62 % | 62% |
| 89-90 | 81 % | 75% | 67% | 70% |
[0241] Similar results were observed for β-3-integrin; both 21-mer and 27-mer double-stranded molecules were found to inhibit integrin mRNA. Two double-stranded RNA complexes designed to target the same site of the β-3-integrin gene were transfected in HMVEC cells. Both complexes contained a two nucleotide (TT) overhang: one complex was a 21-mer (with 19 nucleotides complementary to the target gene) and the other was a 27-mer (with 25 nucleotides complementary to the target gene). RT-PCR analysis showed that the two complexes inhibited the target gene to the same extent. HMVEC cells were transfected using 100 nM oligomer complexed with 2ug/mL of Lipofectamine 2000 in media containing serum for 24 hours. Twenty-four hours after transfection, the cells were lysed and the RNA was isolated for analysis by RT-PCR. No significant toxicity was observed. The results in Figure 1B show the amount of β-3-integrin mRNA normalized to the amount of GAPDH, as determined by RT-PCR analysis.
Example 3. Activation of the Double-Stranded RNA, Interferon-Inducible Protein Kinase, PKR.
[0242] PKR is activated by double-stranded RNA molecules. Active PKR leads to the inhibition of protein synthesis, activation of transcription, and a variety of other cellular effects, including signal transduction, cell differentiation, cell growth inhibition, apoptosis, and antiviral effects. The effect of p53-targeted double-stranded RNA molecules on PKR expression was tested. The level of mRNA was determined using RT-PCR analysis. As shown in Figure 2, no correlation was observed between the length of the double-stranded oligonucleotide and the level of PKR induction. Accordingly, long oligonucleotides can be used without activating PKR, a marker for interferon induction.
[0243] As illustrated in Figure 2B, analysis of relative amounts of PKR mRNA after the 21- and 27-mer transfection in HMVEC cells showed approximately a 2 fold increase in PKR RNA of the siRNA control sequences over no treatment, and approximately a 2 fold increase of PKR mRNA of the 27-mer compared to the 21-mer targeted double-stranded RNA complexes.
Example 4. The Effect of 5' vs. 3' Modification on the Activity of Double-Stranded Oligonucleotides.
[0244] Oligonucleotide duplexes were modified at either the 3' or 5' end with FITC groups. The modifications were made on either the antisense strand or the sense strand. 5' or 3' modification of the sense strand had no effect on the percent inhibition of p53 mRNA. 3' modification of the antisense strand had little affect on activity, while 5' modification of the antisense strand reduced activity significantly. 3' modification of both strands also had little affect on activity, while 3' and 5' modification of both strands reduced activity. See Figure 3.
[0245] The effect of the size of the group used to modify the 5' end was tested. The results of this experiment are shown in Figure 4. The inclusion of a 5' phosphate group had little affect on activity, whereas the modification of the antisense strand or both strands had a greater effect. The inclusion of a propyl group had more of an effect, with a 5' propyl group on the antisense strand showing a large reduction in activity; there was also an effect when this group was added to both strands. Similarly, the inclusion of a FITC group at the 5' end of the antisense molecule (or to both molecules) also significantly reduced the activity of the RNA duplex.
Example 5. Comparison of the Efficacy of 2'-O-Me Modified and Unmodified Double-Stranded RNA, Oligonucleotides.
[0246] A549 cells were transfected with modified or unmodified RNA duplexes complexed at 100 nM with 2 ug/mL Lipofectamine 2000 (Invitrogen) and were transfected for 24 hours. The A549 cells were plated at 20,000/well in 48 well plates. After 24 hours, FITC-labeled double-stranded oligonucleotides were visible in A549 cells; the inclusion of a 2'-O-Me group did not affect uptake. The Table below shows the results of this experiment.
The affect of 2'-O-Me modifications to one or both strands of a double-stranded RNA molecule is shown in Figure 5.
**Example 6. Toxicity of p53-Targeted siRNAs in A549 Cells.**
[0248] 27-mer siRNAs targeting p53 were not toxic to cells when compared to standard 21-mer siRNAs having 3' deoxy TT overhangs. In this experiment, both siRNA constructs inhibited p53 to a similar extent (83% inhibition for 27-mer vs. 90% inhibition for 21-mer). siRNAs were designed to target p53 and were constructed as blunt-end 27-mers or as 21-mers with 3' deoxy TT overhangs. A549 cells were plated at 20,000 cells per well in 48-well plates on the day prior to transfection. On the day of transfection, cells were approximately 60-70% confluent. Cells were transfected with 100 nM siRNAs complexed with 2 ug / mL Lipofectamine 2000 for 24 hours. Following transfection, cells were stained with Dead Red stain to visualize the extent of cell death. The siRNA sequences used were as follows:
21-mer with overhangs targeted (5'-3'):
ACCUCAAAGCUGUUCCGUCTT (SEQ ID NO: ##)
GACGGAAACAGCUUUGAGGUTT (SEQ ID NO: ##)
Blunt-end 27-mer targeted (5'-3'):
ACGCACACCUAAAGCUGUUCCGUCCC (SEQ ID NO: ##)
GGGACGGAACAGCTTTGAGGTGTGCCT (SEQ ID NO: ##)
**Example 7. Toxicity of Blunt-End 27-mer siRNAs Targeting p53 in A549 Cells.**
[0249] The toxicity of targeted blunt-end 27-mer siRNAs targeting p53 was observed to be not significantly different than a control nucleic acid or no treatment. siRNAs were designed to target p53 and were constructed as blunt-end 27-mers. The corresponding control consisted of chemistry-matched, scrambled sequences with a similar base-pair composition. A549 cells were plated at 20,000 cells per well in 48-well plates on the day prior to transfection. On the day of transfection, cells were approximately 60-70% confluent. Cells were transfected with 100 nM siRNAs complexed with 2 ug / mL Lipofectamine 2000 for 24 hours. Following transfection, the cells were stained with Dead Red stain to visualize the extent of cell death. The siRNA sequences used were as follows
Blunt-end 27-mer targeted (5'-3' on top):
ACGCACACCUAAAGCUGUUCCGUCCC (SEQ ID NO: ##)
GGGACGGAACAGCTTTGAGGTGTGCCT (SEQ ID NO: ##)
Corresponding control (5'-3' on top):
CCCTGCCTTTTCGAAAACCTCCACACGC (SEQ ID NO: ##)
TGCGTGTGGAGTTTCGACAAGGCAGGG (SEQ ID NO: ##)
Example 8. Toxicity of Blunt End 32-mer siRNAs Targeting p53 in A549 Cells.
[0250] Similarly, blunt-end 32-mer siRNAs targeting p53 were not observed to be toxic to cells in comparison with a control nucleic acid and no treatment, as determined by Dead Red staining. siRNAs were designed to target p53 and were constructed as blunt-end 32-mers. The corresponding control consisted of chemistry-matched, scrambled sequences with a similar base-pair composition. A549 cells were plated at 20,000 cells per well in 48-well plates on the day prior to transfection. On the day of transfection, cells were approximately 60-70% confluent. Cells were transfected with 100 nM siRNAs complexed with 2 ug / mL Lipofectamine 2000 for 24 hours. Following transfection, cells were stained with Dead Red stain to visualize the extent of cell death. The siRNA sequences used were as follows:
Targeted blunt-end 32-mer (5'-3' on top):
CCCTCACGCACACCUCAAAGCUGUUCCGUCCC (SEQ ID NO: ##)
GGGACGGAACAGCTTTGAGGTGTGCGTGAGGG (SEQ ID NO: ##)
Corresponding control (5'-3' on top):
CCCTGCCTTGTGCGAAAACCTCCACACGCACTCCC (SEQ ID NO: ##)
GGGAGTGCGTGTGGAGTTTCGACAAGGCAGGG (SEQ ID NO: ##)
Example 9. Inhibition of p53 by 32- and 37-mer Blunt-End siRNAs.
[0251] Figure 6 depicts the results of inhibition of p53 by 32- and 37-mer blunt-end siRNAs in comparison with various control experiments. siRNAs were designed to target each of two sites (93-93 site) and (89-90 site) along the coding region of p53. siRNAs were constructed as blunt-end 32-mers or blunt-end 37-mers. Positive control siRNAs were 21-mers with 3' deoxy TT overhangs. Corresponding controls consisted of chemistry-matched, scrambled sequences with a similar base-pair composition. A549 cells were plated at 20,000 cells per well in 48-well plates on the day prior to transfection. On the day of transfection, cells were approximately 60-70% confluent. Cells were transfected with 100 nM siRNAs complexed with 2 ug / mL Lipofectamine 2000 for 24 hours. Following transfection, cells were lysed and poly (A) mRNA was harvested for RT-PCR. Inhibition of p53 expression was determined by quantitative real-time RT-PCR (TaqMan) analysis. Expression of p53 was standardized by quantifying GAPDH for each sample. The data in Figure 6 represent three separate transfections analyzed in duplicate and normalized to the internal control (GAPDH). The siRNA sequences used were as follows (depicted with the 5'-3' strand on top):
Targeted 32-mer (89-90 site):
CCCTCACGCACACCUCAAAGCUGUUCCGUCCC (SEQ ID NO: ##)
GGGACGGAACAGCTTTGAGGTGTGCGTGAGGG (SEQ ID NO: ##)
32-mer control (89-90 site):
CCCTGCCTTGTGCGAAAACCTCCACACGCACTCCC (SEQ ID NO: ##)
GGGAGTGCGTGTGGAGTTTCGACAAGGCAGGG (SEQ ID NO: ##)
32-mer targeted (93-94 site):
CCCUUCUGUCUUGAACAUGAGTTTTTATGGC (SEQ ID NO: ##)
GCCATAAAAAACTCATGTTCAAGACAGAAGGG (SEQ ID NO: ##)
32-mer control (93-94 site):
CGGTATTTTTTGAGTACAAGTTCTGTCTTCCC (SEQ ID NO: ##)
GGGAAGACAGAACCTTGACTCTAAAAATACCG (SEQ TD NO: ##)
37-mer targeted (93-94 site):
CCCTTCTGTCTTTGAACATGAGTTTTTTATGGGGGGAG (SEQ ID NO: ##)
CTCCCGCCATAAAAAACTCATGTTCAAGACAGAAGGG (SEQ ID NO: ##)
37-mer control (93-94 site):
GAGGGCCGTATTTTTTGAGTACAAGTTCTGTCTTCCC (SEQ ID NO: ##)
GGGAAGACAGAACTTGTACTCAAAAAATACGCCCTC (SEQ ID NO: ##)
21-mer targeted (89-90 site):
ACCUCAAAGCUGUUCCGUCTT (SEQ ID NO: ##)
GACGGAAACAGCUUUGAGGUTT (SEQ ID NO: ##)
21-mer targeted (93-94 site):
CCCUUCUGUCUUGAACAUGTT (SEQ ID NO: ##)
CAUGUUCAAGACAGAAGGGTT (SEQ ID NO: ##)
Example 10. Enhanced Cellular Stability of Double-Stranded 2'-O-Methyl RNA.
[0252] In this example, the single-stranded control oligomer was transfected at 800 nM. Accumulation was observed in the nucleus at 6 hours post transfection, however by 25 hours the fluorescence of the single-stranded oligomer had largely dissipated, indicating the oligomer was no longer intact (Fisher, T., T. Terhorst, et al. (1993). "Intracellular disposition and metabolism of fluorescently-labeled unmodified and modified oligonucleotides microinjected into mammalian cells." NAR 21: 3857-3865). The relative fluorescence of fluorescently-labeled oligomers transfected into A549 cells was observed to fit the following pattern:
| | single-stranded (800 nM) | double-stranded (100 nm) |
|----------------|--------------------------|--------------------------|
| 6 h | ++++ | +++++ |
| 25 h | + | +++++ |
[0253] The double-stranded oligomer duplex, wherein the second strand was 2'-O-methyl modified RNA, was transfected at 100nM, and was also clearly visible at 6 hours post transfection. However, in contrast to the single-stranded oligomer, the double-stranded was still largely intact in the nucleus at 24 hours, even though the concentration transfected was 8-fold less, thereby demonstrating that the 2'-O-methyl second strand stabilized the oligomer in the cell.
[0254] The oligomers were all 2'-O-CH$_3$ with a phosphodiester backbone containing 6-carboxyfluorescein (6-FAM) tethered to the 5' hydroxyl. The single-stranded control oligomer was transfected at 800nM complexed with 4 ug/mL of Lipofectamine 2000, and the double-stranded complex was transfected at 100 nM complexed with 1 ug/mL of Lipofectamine 2000.
[0255] Fluorescent signal was seen accumulating in the nucleus at 6 hours post transfection, however by 24 hours the single-stranded oligomer has significantly dissipated, indicating the oligomer is no longer intact. The double-stranded duplexes (wherein the second strand is 2'-O-methyl modified RNA with a 5' 6-FAM) was transfected at 100nM, and was also clearly visible at 6 hours post transfection. In contrast to the single-stranded oligomer, the double-stranded was still largely intact in the nucleus at 24 hours, even though the concentration transfected was 8-fold less. This experiment demonstrates that the 2'-O-methyl second strand stabilizes the duplex in the cell.
Example 11. Enhanced Stability in Cells and Accumulation in Cytoplasm of RNA Hybridized to 2'-O-Methyl RNA.
[0256] The fluorescence signal, corresponding to uptake of FITC-labeled RNA and 2'-O-methyl modified RNA duplexes, was measured at 6 and 24 hours. RNA complexes were transfected in A549 cells with 100 nM oligomer complexed with 2ug/mL Lipofectamine 2000 as described below. Cells were continuously transfected for 24 hours and fluorescent uptake was assessed at 6 and 24 hours. Oligomers were 2'-O-methyl modified RNA with 5' 6-FAM (FITC-2'-OMe), 19-mer RNA with two deoxynucleotides on the 3' end with 5' 6-FAM (FITC-RNA) or 19-mer RNA with two deoxynucleotides on the 3' end (RNA) complexed. At 6 hours, the FITC-2'-O-methyl duplexes show localization in the nucleus and the FITC-2'-O-methyl/RNA and 2'-O-methyl/FITC-RNA complexes show a more diffuse pattern of uptake (these RNA/2'-O-methyl complexes are a substrate for the RISC complex and are therefore retained in the cytoplasm where the RISC complex has been reported to be active). At 24 hours, the FITC-2'-O-methyl/RNA and 2'-O-methyl/FITC-RNA complexes
were still visible in the cell, whereas typically not even the single-stranded FITC-2'-O- was visible, even when transfected at significantly higher concentrations, demonstrating that the 2'-O-methyl RNA protects the RNA strand from degradation in the cell.
[0257] RNA oligomers having a phosphodiester backbone with 2'-O-methyl nucleotides were synthesized using standard phosphoramidite chemistry. Oligomers were purified by denaturing polyacrylamide gel electrophoresis (PAGE). Purity of oligomers was confirmed by (PAGE) and mass spectrometry. All oligomers were greater than 90% full length, and mass data obtained was consistent with expected values. Target-specific siRNA duplexes consisted of 21-nt sense and 21-nt antisense strands with symmetric 2-nt 3' deoxy TT overhangs. 21-nt RNAs were chemically synthesized using phosphoramidite chemistry. For duplex preparation, sense- and antisense oligomers (each at 50 μM) were combined in equal volumes in annealing buffer (30 mM HEPES pH 7.0, 100 mM potassium acetate, and 2 mM magnesium acetate), heat-denatured at 90°C for 1 min and annealed at 37 °C for one hour. Duplexes were stored at 80 °C until used.
[0258] A549 cells (ATCC #CCL-185) were cultured at 37 °C in Dulbecco's Modified Eagle Medium (DMEM, Life Technologies #11960-044) supplemented with 2 mM L-glutamine, 100 units / mL penicillin, 100 μg / mL streptomycin, and 10% fetal bovine serum (FBS). HeLa cells (ATCC #CCL-2) were cultured at 37 °C in Minimal Essential Medium (MEM, Life Technologies #10370-021) supplemented with 2 mM L-glutamine, 1.5 g / L sodium bicarbonate, 1.0 mM sodium pyruvate, 100 units / mL penicillin, 100 μg / mL streptomycin, and 10% FBS. Cells were passaged regularly to maintain exponential growth. On the day prior to transfection, cells were trypsinized, counted, and seeded in 48-well plates at a density of 20 x 103 cells per well in 250 μL fresh media. On the day of transfection cells were typically 60-65% confluent. Transfection of siRNA duplexes and oligomers was carried out using Lipofectamine 2000 (Life Technologies). Briefly, a 10X stock of Lipofectamine 2000 was prepared in Opti-Mem (Life Technologies) and incubated at room temperature for 15 minutes. An equal volume of a 10X stock of siRNA duplex or oligomers in Opti-Mem was added and complexation carried out for 15 minutes at room temperature. Complexes were then diluted 5-fold in full growth media. Culture media was removed from each well prior to the addition of 250 μL complexes per well. Cells were incubated at 37 °C/5% CO₂ for 6 or 24 hours prior to assessing the uptake.
Equivalents
[0259] Those skilled in the art will recognize, or be able to ascertain using no more than routine experimentation, many equivalents to the specific embodiments of the invention described herein. Such equivalents are intended to be encompassed by the following claims. The entire contents of all patents, published patent applications and other references cited herein are hereby expressly incorporated herein in their entireties by reference.
[0260] The applications also contains the subject matter of the following paragraphs, which correspond to the claims as filed in WO03/06426.
1. A double-stranded oligonucleotide composition having the structure:
\[
\begin{align*}
&\text{X} \quad \rightarrow \quad 5'\text{-oligo(N)-3'} \\
&\quad \rightarrow \quad 3'\text{-oligo(N)-5'} \quad \leftarrow \quad \text{Y}
\end{align*}
\]
\[
\text{oligo(N)} = (N)_{12-40}
\]
wherein
(1) N is a nucleomonomer in complementary oligonucleotide strands of equal length and where the sequence of Ns corresponds to a target gene sequence and
(2) X and Y are each independently selected from a group consisting of nothing; from about 1 to about 20 nucleotides of 5' overhang; from about 1 to about 20 nucleotides of 3' overhang; and a loop structure consisting from about 4 to about 20 nucleomonomers, where the nucleomonomers are selected from the group consisting of G and A.
2. A double-stranded oligonucleotide composition having the structure:
\[
\begin{array}{c}
X \xrightarrow{\text{5'-oligoA-3'}} \\
\downarrow \\
3'-oligoB-5' \\
Y
\end{array}
\]
wherein
(1) oligoA is an oligonucleotide of a number of nucleomonomers;
(2) oligoB is an oligonucleotide that has the same number of nucleomonomers as oligoA and that is complementary to oligoA;
(3) either oligoA or oligoB corresponds to a target gene sequence;
(4) X is selected from a group consisting of (a) nothing; (b) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 5' end of oligoA and constituting a 5' overhang; (c) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 3' end of oligoB and constituting a 3' overhang; (d) and an oligonucleotide of about 4 to about 20 nucleomonomers covalently bonded to the 3' end of oligoB and the 5' end of oligoA and constituting a loop structure, where the nucleomonomers are selected from the group consisting of G and A and
(5) Y is selected from a group consisting of (a) nothing; (b) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 5' end of oligoB and constituting a 5' overhang; (c) an oligonucleotide or about 1 to about 20 nucleotides covalently bonded to the 3' end of oligoA and constituting a 3' overhang; (d) and an oligonucleotide of about 4 to about 20 nucleomonomers covalently bonded to the 3' end of oligoB and the 5' end of oligoB and constituting a loop structure, where the nucleomonomers are selected from the group consisting of G and A.
3. The composition of paragraph 1 wherein the number of nucleomonomers in each strand of the duplex is between about 12 and about 40.
4. The composition of paragraph 2. wherein the number of nucleomonomers in each strand oligoA and oligoB is between about 12 and about 40.
5. The composition of paragraph 1. wherein the number of nucleomonomers in each strand of the duplex is about 27.
6. The composition of paragraph 2. wherein the number of nucleomonomers in each strand of oligoA and oligoB is about 27.
7. The composition of paragraph 1, wherein X is a sequence of about 4 to about 20 nucleomonomers which form a loop, wherein the nucleomonomers are selected from the group consisting of G and A.
8. The composition of paragraph 2, wherein X or Y is a sequence of about 4 to about 20 nucleomonomers that forms a loop, wherein the nucleomonomers are selected from the group consisting of G and A.
9. The composition of paragraph 8, wherein two of the adjacent Ns are unlinked.
10. The composition of paragraph 8, wherein the nucleotide sequence of the loop is GAAA.
11. A double-stranded oligonucleotide composition having, the structure:
wherein
(1) each of N, Z, and M is independently a nucleomonomer;
(2) both of the sequences of Ns are complementary oligonucleotide strands of equal lengths having between about 15 and about 40 nucleomonomers;
(3) at least one of the sequences of Ns, optionally with some or all of the flanking Ms or Zs, corresponds to a target gene sequence;
(4) both of the sequences of Zs are complementary oligonucleotide strands or between about 2 and about 8 nucleomonomers in length; and
(5) both of the sequences of Ms are complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length.
12. The composition of paragraph 11. wherein each Z and M nucleomonomer is selected from the group consisting of C and G.
13. The composition of paragraph 12 wherein, the sequence of Zs or Ms is CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGC, CGGG, GCCC, GCCC, GGGG, CGGC, CGCG, GGGC, CCGC, CGGG, GGCC, GGCC, or CCGG.
14. A double-stranded oligonucleotide composition having the structure:
\[
X \rightarrow 5'-(N)_{15-40}(M)_{2-8}-3'
\]
\[
3'-(N)_{15-40}(M)_{2-8}-5'
\]
wherein n
(1) N is a nuclomonomer in complementary oligonucleotide strands of equal length and where the sequence of Ns corresponds to a target gene sequence and
(2) X is selected from the group consisting of nothing; 1-20 nucleotides of 5' overhang; 1-20 nucleotides of 3'overhang; a loop structure consisting of from about 4 to about 20 nucleomonomers, where the nucleomonomers are selected from the group consisting of G and A, and
(3) where M is a nucleomonomer in complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length which optionally correspond to the target sequence.
15. A double-stranded oligonucleotide composition having the structure:
\[
X \rightarrow 5'-oligoA-3'
\]
\[
3'-oligoB-5'
\]
wherein
(1) oligoA is 5'-(N)$_{15-40}$(M)$_{2-8}$-3' and oligoB is 5'-(N)$_{15-40}$(M)$_{2-8}$-3', wherein each of N and M is independently a nucleomonomer;
(2) both of the sequences of Ns are complementary oligonucleotide strands of equal length having between about 15 and 40 nucleomonomers;
(3) at least one of the sequences of Ns, optionally with some or all of the flanking Ms, corresponds to a target gene sequence;
(4) X is selected from a group consisting of (a) nothing; (b) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 5' end of oligoA and constituting a 5' overhang; (c) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 3' end of oligoB and constituting a 3' overhang; (d) and an oligonucleotide of about 4 to about 20 nucleomonomers covalently bonded to the 3' end of oligoB and the 5' end of oligoA and constituting a loop structure, where the nucleomonomers are selected from the group consisting of G and A; and
(5) both of the sequences of Ms are complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length.
16. The composition of paragraph 15, wherein M nucleomonomer is selected from the group consisting of contain C and G.
17. The composition of paragraph 16, wherein the sequence of M is CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGC, CGGG, GCCC, CCCC, GGGG, GCGC, CGCG, GGGC, CCCG, CGGG, GCCC, GGCC, or CGCG.
18. A double-stranded oligonucleotide composition having the structure:
\[
5'-(Z)_{2-8}(N)_{12-40}-3'
\]
\[
3'-(Z)_{2-8}(N)_{12-40}-5'
\]
wherein
(1) N is a nucleomonomer in complementary oligonucleotide strands of equal length and which correspond to a target gene sequence and
(2) Y is selected from the group consisting of nothing: 1-20 nucleotides of 5' overhang; 1-20 nucleotides of 3' overhang; a loop consisting of a sequence of from about 4 to about 20 nucleomonomers, where the nucleomonomers are all either Gs or A's and
(3) where Z is a are nucleomonomer in complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length and which comprise a sequence which can optionally correspond to the target sequence.
19. A double-stranded oligonucleotide composition having the structure:
wherein
(1) oligoA is 5'-(Z)_{2-8}-(N)_{12-40}-3' and oligoB is 5'-(Z)_{2-8}-(N)_{12-40}-3', wherein each of N and Z is independently a nucleomonomer;
(2) both of the sequences of Ns are complementary oligonucleotide strands of equal length having between about 12 and 40 nucleomonomers;
(3) at least one of the sequences of Ns, optionally with some or all of the flanking Zs, corresponds to a target gene sequence:
(4) Y is selected from a group consisting of (a) nothing; (b) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 5' end of oligoB and constituting a 5' overhang; (c) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 3' end of oligoA and constituting a 3' overhang; (d) and an oligonucleotide of about 4 to about 20 nucleomonomers covalently bonded to the 3' end of oligoA and the 5' end of oligoB and constituting a loop structure, where the nucleomonomers are selected from the group consisting of G and A; and
(5) both of the sequences of Zs are complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length,
20. The composition of paragraph 19, wherein the Z nucleomonomers are selected from the group consisting of C and G.
21. The composition of paragraph 20, wherein the sequence of Z is CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGC, CGGG, GCCC, CCCC, GGGG, GCGC, CGCG, GGGC, CCCG, CGGG, GCCC, GGCC, or CCGG.
22. A method of regulating gene expression in a cell, comprising contacting a cell with the double-stranded duplex oligonucleotide composition of paragraph 1, to thereby regulate gene expression in a cell.
23. A method of increasing the nuclease resistance of an antisense sequence, comprising forming a double-stranded oligonucleotide composition of paragraph 1, such that a double-stranded duplex is formed, wherein the nuclease resistance of the antisense sequence is increased compared to a control composition.
SEQUENCE LISTING
<110> LIFE TECHNOLOGIES CORPORATION
<120> DOUBLE-STRANDED OLIGONUCLEOTIDES
<130> IVGN 481.1 EP DIV 2
<140> EP 03708949.7
<141> 2003-02-03
<150> PCT/US03/03223
<151> 2003-02-03
<150> 60/438,608
<151> 2003-01-07
<150> 60/436,238
<151> 2002-12-23
<150> 60/353,203
<151> 2002-02-01
<150> 60/353,381
<151> 2002-02-01
<160> 37
<170> PatentIn version 3.5
<210> 1
<211> 66
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<220>
<221> source
<223> /note="Description of Combined DNA/RNA Molecule: Synthetic oligonucleotide"
<400> 1
ucuugaacau gaguugaaag aaaactcat gttcaagaca gaagggccga aagaaaggcc 60
cuucug 66
<210> 2
<211> 21
<212> RNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 2
ccuuucuguc uugaacauga g 21
<210> 3
<211> 21
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 3
ctgatgttca agacagaacg g
<210> 4
<211> 21
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<220>
<221> source
<223> /note="Description of Combined DNA/RNA Molecule: Synthetic oligonucleotide"
<400> 4
ctcauguuca agacagaagg g
<210> 5
<211> 21
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 5
gagtacaagt tctgtctttcc c
<210> 6
<211> 21
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 6
ggcaagacag aacttgtagt c
<210> 7
<211> 21
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 7
gggaagacag aacttgtact c
<210> 8
<211> 58
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 8
ggcccuucug ucuugaacau gaguugaaag aaaactcat gttcgaacaa gaagggcc 58
<210> 9
<211> 10
<212> PRT
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic peptide"
<400> 9
His Ile Trp Leu Ile Tyr Leu Trp Ile Val
1 5 10
<210> 10
<211> 16
<212> PRT
<213> Unknown
<220>
<221> source
<223> /note="Description of Unknown: Antennapedia peptide"
<400> 10
Arg Gln Ile Lys Ile Trp Phe Gln Asn Arg Arg Met Lys Trp Lys Lys
1 5 10 15
<210> 11
<211> 27
<212> PRT
<213> Unknown
<220>
<221> source
<223> /note="Description of Unknown: Transportan peptide"
<400> 11
Gly Trp Thr Leu Asn Ser Ala Gly Tyr Leu Leu Gly Lys Ile Asn Leu
1 5 10 15
Lys Ala Leu Ala Ala Leu Ala Lys Lys Ile Leu
20 25
Human immunodeficiency virus
Cys Phe Ile Thr Lys Ala Leu Gly Ile Ser Tyr Gly Arg Lys Lys Arg Arg Gln Arg Arg Arg Pro Pro Gln Cys
Human immunodeficiency virus
Cys Gly Arg Lys Lys Arg Arg Gln Arg Arg Arg Pro Pro Gln Cys
Human immunodeficiency virus
Cys Leu Gly Ile Ser Tyr Gly Arg Lys Lys Arg Arg Gln Arg Arg Pro Pro Gln Cys
Human immunodeficiency virus
Gly Cys Phe Ile Thr Lys Ala Leu Gly Ile Ser Tyr Gly Arg Lys Lys Arg Arg Gln Arg Arg Arg Pro Pro Gln Gly Ser Gln Thr His Gln Val
Ser Leu Ser Lys Gln
DNA
Artificial Sequence
Description of Artificial Sequence: Synthetic oligonucleotide
source
<223> /note="Description of Combined DNA/RNA Molecule: Synthetic Oligonucleotide"
<400> 16
accucaaaagc uguuccguct t
<210> 17
<211> 21
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic Oligonucleotide"
<400> 17
gacggaacag cuuugaggut t
<210> 18
<211> 27
<212> RNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic Oligonucleotide"
<400> 18
acgcacaccu caaagcuguu ccguccc
<210> 19
<211> 27
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic Oligonucleotide"
<400> 19
gggacggaac agctttgagg tgtgcgt
<210> 20
<211> 27
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic Oligonucleotide"
<400> 20
ccctgccttg tcgaaactcc acacgca
<210> 21
<210> 27
<211> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 21
tgcgtgtgga gtttcgacaa ggcaggg
<210> 22
<211> 32
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<220>
<221> source
<223> /note="Description of Combined DNA/RNA Molecule: Synthetic oligonucleotide"
<400> 22
ccctcacgca caccucaaag cuguuccguc cc
<210> 23
<211> 32
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 23
gggacggaac agctttgagg tgtgcgtgag gg
<210> 24
<211> 32
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 24
ccctgccttg tcgaaactcc acacgcactc cc
<210> 25
<211> 32
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 25
gggagtgctg gtggagtttc gacaaggcag gg
<210> 26
<211> 32
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 26
ccuuucuguc uugaacauga gttttttatg gc
<210> 27
<211> 32
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 27
gccataaaaa actcatgttcc aagacagaag gg
<210> 28
<211> 32
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 28
cggtattttt tgagtacaag ttctgtcttc cc
<210> 29
<211> 32
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<400> 29
ggaagacag aacttgtact caaaaatac cg
<210> 30
<211> 37
<212> DNA
Artificial Sequence
source
/note="Description of Artificial Sequence: Synthetic oligonucleotide"
30
cccttcgtgc ttgaacatga gttttttatg gcgggag
31
37
DNA
Artificial Sequence
source
/note="Description of Artificial Sequence: Synthetic oligonucleotide"
31
ctcccccat aaaaaactca tgttcaagac agaaggg
32
37
DNA
Artificial Sequence
source
/note="Description of Artificial Sequence: Synthetic oligonucleotide"
32
gagggcggtta ttttttgagt acaagttctg tctttccc
33
37
DNA
Artificial Sequence
source
/note="Description of Artificial Sequence: Synthetic oligonucleotide"
33
ggaagaacag aacttgtact caaaaatac cgccctc
34
21
DNA
Artificial Sequence
source
/note="Description of Artificial Sequence: Synthetic oligonucleotide"
source
/note="Description of Combined DNA/RNA Molecule: Synthetic oligonucleotide"
34
accucaaagc uguuccguct t
<210> 35
<211> 21
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<220>
<221> source
<223> /note="Description of Combined DNA/RNA Molecule: Synthetic oligonucleotide"
<400> 35
gacggaacag cuuugaggut t
<210> 36
<211> 21
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<220>
<221> source
<223> /note="Description of Combined DNA/RNA Molecule: Synthetic oligonucleotide"
<400> 36
cccuucuguc uugaacaugt t
<210> 37
<211> 21
<212> DNA
<213> Artificial Sequence
<220>
<221> source
<223> /note="Description of Artificial Sequence: Synthetic oligonucleotide"
<220>
<221> source
<223> /note="Description of Combined DNA/RNA Molecule: Synthetic oligonucleotide"
<400> 37
caugucaag acagaagggt t
Claims
1. A double-stranded oligonucleotide having the structure:
wherein
(1) oligoA is an oligonucleotide of a number of nucleomonomers;
(2) oligoB is an oligonucleotide that has the same number of nucleomonomers as oligoA and that is complementary to oligoA;
(3) either oligoA or oligoB corresponds to a target gene sequence;
(4) X is selected from a group consisting of (a) nothing; (b) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 5' end of oligoA and constituting a 5' overhang; (c) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 3' end of oligoB and constituting a 3' overhang; where the nucleomonomers are selected from the group consisting of G and A and
(5) Y is selected from a group consisting of (a) nothing; (b) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 5' end of oligoB and constituting a 5' overhang; (c) an oligonucleotide of about 1 to about 20 nucleotides covalently bonded to the 3' end of oligoA and constituting a 3' overhang; where the nucleomonomers are selected from the group consisting of G and A.
2. An oligonucleotide as claimed in claim 1, wherein the number of nucleomonomers in each strand oligoA and oligoB is between about 12 and about 40; preferably about 27.
3. A double-stranded oligonucleotide having the structure:
\[ 5'-(Z)_{2-8}-(N)_{15-40}-(M)_{2-8}-3' \]
\[ 3'-(Z)_{2-8}-(N)_{15-40}-(M)_{2-8}-5' \]
wherein
(1) each of N, Z, and M is independently a nucleomonomer;
(2) both of the sequences of Ns are complementary oligonucleotide strands of equal length having between about 15 and about 40 nucleomonomers;
(3) at least one of the sequences of Ns, corresponds to a target gene sequence;
(4) both of the sequences of Zs are complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length; and
(5) both of the sequences of Ms are complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length.
4. An oligonucleotide as claimed in claim 3, wherein the at least one sequence of Ns with some or all of the flanking Ms or Zs, corresponds to a target gene sequence.
5. An oligonucleotide as claimed in claim 3 or claim 4, wherein each Z and M nucleomonomer is selected from the group consisting of C and G; optionally wherein, the sequence of Zs or Ms is CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGC, CGGG, GCCC, CCCC, GGGG, CGCG, GGGC, CCCG, CGGG, GCCC, GGCC, or CGGG.
6. An oligonucleotide as claimed in claim 1 having the structure:
wherein
(i) oligoA is 5'-(N)\textsubscript{15-40}-(M)\textsubscript{2-8}-3' and oligoB is 3' - (N)\textsubscript{15-40} (M)\textsubscript{2-8}-5' wherein each of N and M is independently a nucleomonomer;
(ii) both of the sequences of Ns are complementary oligonucleotide strands of equal length having between about 15 and 40 nucleomonomers;
(iii) at least one of the sequences of Ns corresponds to a target gene sequence; and
(iv) both of the sequences of Ms are complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length.
7. An oligonucleotide as claimed in claim 6, wherein the at least one of the sequences of Ns with some or all of the flanking Ms corresponds to a target gene sequence.
8. An oligonucleotide as claimed in claim 6 or claim 7, wherein M nucleomonomer is selected from the group consisting of contain C and G; optionally wherein the sequence of M is CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGGG, GCCC, CCCC, GGGG, GCGC, CGCG, GGGC, CCCG, CGGG, GCCC, GGCC, or CCGG.
9. An oligonucleotide as claimed in claim 1 having the structure:
\[
\begin{align*}
&5'-\text{oligoA-3'} \\
&\quad \swarrow \\
&\quad \nwarrow \\
&3'-\text{oligoB-5'}
\end{align*}
\]
wherein
(i) oligoA is 5'-(Z)\textsubscript{2-8}-(N)\textsubscript{12-40}-3' and oligoB is 3'-(Z)\textsubscript{2-8}-(N)\textsubscript{12-40}-5', wherein each of N and Z is independently a nucleomonomer;
(ii) both of the sequences of Ns are complementary oligonucleotide strands of equal length having between about 12 and 40 nucleomonomers;
(iii) at least one of the sequences of Ns, corresponds to a target gene sequence.
(iv) both of the sequences of Zs are complementary oligonucleotide strands of between about 2 and about 8 nucleomonomers in length.
10. An oligonucleotide as claimed in claim 9, wherein the at least one of the sequences of Ns with some or all of the flanking Zs, corresponds to a target gene sequence.
11. An oligonucleotide as claimed in claim 9 or claim 10, wherein the Z nucleomonomers are selected from the group consisting of C and G; optionally wherein the sequence of Z is CC, GG, CG, GC, CCC, GGG, CGG, GCC, GCG, CGC, CGGG, GCCC, CCCC, GGGG, GCGC, CGCG, GGGC, CCCG, CGGG, GCCC, GGCC, or CCGG.
12. An oligonucleotide as claimed in any of claims 1 to 11,
(a) wherein the two separate complementary oligonucleotide strands are different lengths; or
(b) which is double stranded over its entire length so the molecule is blunt ended;
or
(c) which is not double stranded over its entire length.
13. A composition comprising an oligonucleotide of any of claims 1 to 12 and a agent selected from (a) a conjugating agent bound covalently to the oligonucleotide, e.g. cholesterol; (b) encapsulating agents which entrap the oligonucleotide; (c) complexing agents which bind to the oligonucleotide by non-covalent interaction.
14. A method of regulating gene expression in a cell, comprising contacting a cell with the double-stranded duplex oligonucleotide composition of claim 13, to thereby regulate gene expression in a cell.
15. A method of increasing the nuclease resistance of an antisense sequence, comprising forming a double-stranded
oligonucleotide composition of claim 13, such that a double-stranded duplex is formed, wherein the nuclease resistance of the antisense sequence is increased compared to a control composition.
FIGURE 1.
Effect of structural changes on efficacy of siRNAs targeting p53:21-mers vs. 27-mers with and without 3'-deoxy TT overhangs.
FIGURE 1B.
Effect of structural changes on the efficacy of siRNAs targeting β3-integrin: 21-mer v. 27-mer.
FIGURE 2.
Effect of p53-targeted and non-targeted siRNAs on PKR expression in A549 cells.
FIGURE 2B.
Effect of β3-integrin targeted 21-mer and 27-mers on PKR expression in HMEC cells.
FIGURE 3.
Effect of 5' vs. 3' modification on activity.
- modified antisense
- modified sense
- both strands modified
percent inhibition of p53
none 5'-FUTC 3'-FUTC
modification
FIGURE 4.
Effect of the size of the modifying group on activity of the double-stranded RNA duplex.
FIGURE 5.
Effect of 2'OMe modified siRNAs on p53 expression.
(Left to right: first three targeted, next three matched controls, then one targeted, and three additional controls.)
FIGURE 6.
Inhibition of p53 by 32- and 37-mer blunt-end siRNAs.
p53 / GAPDH
0.4 0.3 0.2 0.1 0.0
32-mer (89-90) control (89-90) 37-mer (93-94) control (93-94) p53 (89-90) p53 (93-94) control 1 control 2 FITC duplex no rx
32- 37- 21+
## DOCUMENTS CONSIDERED TO BE RELEVANT
| Category | Citation of document with indication, where appropriate, of relevant passages | Relevant to claim | CLASSIFICATION OF THE APPLICATION (IPC) |
|----------|--------------------------------------------------------------------------------|------------------|----------------------------------------|
| X,P | WO 02/44321 A2 (MAX PLANCK GESELLSCHAFT [DE]; TUSCHL THOMAS [DE]; ELBASHIR SAYDA [DE];) 6 June 2002 (2002-06-06) * page 14, line 9 - line 20; figures 1,5; examples 2,3 * | 1-15 | INV. C12N15/00 A61K31//13 C12N15/11 |
| X | ELBASHIR S M ET AL: "Functional anatomy of siRNAs for mediating efficient RNAi in Drosophila melanogaster embryo lysate", EMBO JOURNAL, OXFORD UNIVERSITY PRESS, SURREY, GB, vol. 20, no. 23, 3 December 2001 (2001-12-03), pages 6877-6888, XP002225998, ISSN: 0261-4189 * the whole document * | 1-12,14,15 | |
| X | PARRISH S ET AL: "Functional Anatomy of a dsRNA trigger: differential requirement for the two trigger strands in RNA interference", MOLECULAR CELL, CELL PRESS, CAMBRIDGE, MA, US, vol. 6, November 2000 (2000-11), pages 1077-1087, XP002226361, ISSN: 1097-2765 * figure 2 * | 1 | |
The present search report has been drawn up for all claims.
**Place of search**: Munich
**Date of completion of the search**: 30 May 2011
**Examiner**: Armandola, Elena
### CATEGORY OF CITED DOCUMENTS
- **X**: particularly relevant if taken alone
- **Y**: particularly relevant when combined with another document of the same category
- **A**: technological background
- **O**: non-written disclosure
- **P**: intermediate document
- **T**: theory or principle underlying the invention
- **E**: earlier patent document, but published on, or after the filing date
- **D**: document cited for the application
- **L**: document cited for other reasons
- **&**: member of the same patent family, corresponding document
| Category | Citation of document with indication, where appropriate, of relevant passages | Relevant to claim | CLASSIFICATION OF THE APPLICATION (IPC) |
|----------|---------------------------------------------------------------------------------------------------------------------------------------------|------------------|----------------------------------------|
| Y | BOUTORINE A S ET AL: "Reversible covalent attachment of cholesterol to oligodeoxyribonucleotides for studies of the mechanisms of their penetration into eucaryotic cells", BIOCHIMIE, MASSON, PARIS, FR, vol. 75, no. 1-2, 1 January 1993 (1993-01-01), pages 35-41, XP023479576, ISSN: 0300-9084, DOI: DOI:10.1016/0300-9084(93)90022-K [retrieved on 1993-01-01] * the whole document * | 13,14 | |
| Y | OBERHAUSER B ET AL: "EFFECTIVE INCORPORATION OF 2'-O-METHYL-OLIGORIBONUCLEOTIDES INTO LIPOSOMES AND ENHANCED CELL ASSOCIATION THROUGH MODIFICATION WITH THIOCHOLESTEROL", NUCLEIC ACIDS RESEARCH, OXFORD UNIVERSITY PRESS, SURREY, GB, vol. 20, no. 3, 1 January 1992, (1992-01-01), pages 533-538, XP001246859, ISSN: 0305-1048 * the whole document * | 13,14 | |
| A | ELBASHIR S M ET AL: "DUPLEXES OF 21-NUCLEOTIDE RNAS MEDIATE RNA INTERFERENCE IN CULTURED MAMMALIAN CELLS", NATURE, NATURE PUBLISHING GROUP, LONDON, GB, vol. 411, 24 May 2001 (2001-05-24), pages 494-498, XP001167187, ISSN: 0028-0836, DOI: DOI:10.1038/35078107 ---- -/-- | 1-15 | |
The present search report has been drawn up for all claims
Place of search: Munich
Date of completion of the search: 30 May 2011
Examiner: Armandola, Elena
CATEGORY OF CITED DOCUMENTS
T: theory or principle underlying the invention
E: earlier patent document, but published on, or after the filing date
D: document cited in the application
L: document cited for other reasons
A: technological background
O: non-written disclosure
P: intermediate document
&: member of the same patent family, corresponding document
## DOCUMENTS CONSIDERED TO BE RELEVANT
| Category | Citation of document with indication, where appropriate, of relevant passages | Relevant to claim | CLASSIFICATION OF THE APPLICATION (IPC) |
|----------|--------------------------------------------------------------------------------|------------------|----------------------------------------|
| A | CAPLEN NATASHA J ET AL: "Specific inhibition of gene expression by small double-stranded RNAs in invertebrate and vertebrate systems", PROCEEDINGS OF THE NATIONAL ACADEMY OF SCIENCES, NATIONAL ACADEMY OF SCIENCES, vol. 98, no. 17, 14 August 2001 (2001-08-14), pages 9742-9747, XP002206452, ISSN: 0027-8424, DOI: DOI:10.1073/PNAS.171251798 * the whole document * | 1-15 | |
### TECHNICAL FIELDS SEARCHED (IPC)
The present search report has been drawn up for all claims.
**Place of search**: Munich
**Date of completion of the search**: 30 May 2011
**Examiner**: Armandola, Elena
### CATEGORY OF CITED DOCUMENTS
- X: particularly relevant if taken alone
- Y: particularly relevant if combined with another document of the same category
- A: technological background
- O: non-written disclosure
- P: intermediate document
- T: theory or principle underlying the invention
- E: earlier patent document, but published on, or after the filing date
- D: document forming the application
- L: document cited for other reasons
- & : member of the same patent family, corresponding document
## ANNEX TO THE EUROPEAN SEARCH REPORT
### ON EUROPEAN PATENT APPLICATION NO.
**EP 10 18 3959**
This annex lists the patent family members relating to the patent documents cited in the above-mentioned European search report. The members are as contained in the European Patent Office EDP file on. The European Patent Office is in no way liable for these particulars which are merely given for the purpose of information.
**30-05-2011**
| Patent document cited in search report | Publication date | Patent family member(s) | Publication date |
|---------------------------------------|------------------|-------------------------|------------------|
| WO 0244321 A2 | 06-06-2002 | AT 373724 T | 15-10-2007 |
| | | AU 3574402 A | 11-06-2002 |
| | | AU 2007203385 A1 | 09-08-2007 |
| | | AU 2010212438 A1 | 09-09-2010 |
| | | BR 0115814 A | 23-03-2004 |
| | | CA 2429814 A1 | 06-06-2002 |
| | | CN 1568373 A | 19-01-2005 |
| | | CZ 20031839 A3 | 15-10-2003 |
| | | DE 60130583 T2 | 12-06-2008 |
| | | DK 1407044 T3 | 28-01-2008 |
| | | EP 1407044 A2 | 14-04-2004 |
| | | EP 1873259 A1 | 02-01-2008 |
| | | ES 2215494 T1 | 16-10-2004 |
| | | HU 0302557 A2 | 28-10-2003 |
| | | JP 4095895 B2 | 04-06-2008 |
| | | JP 2004526422 T | 02-09-2004 |
| | | JP 4494392 B2 | 30-06-2010 |
| | | JP 2007111053 A | 10-05-2007 |
| | | JP 2009284915 A | 10-12-2009 |
| | | JP 2010131031 A | 17-06-2010 |
| | | KR 20080069602 A | 28-07-2008 |
| | | MX PA03004836 A | 08-09-2005 |
| | | NO 20032464 A | 21-07-2003 |
| | | NZ 525888 A | 28-04-2006 |
| | | PL 365784 A1 | 10-01-2005 |
| | | PT 1407044 E | 02-01-2008 |
| | | RU 2322500 C2 | 20-04-2008 |
| | | SI 1407044 T1 | 30-04-2008 |
| | | TR 200401292 T3 | 21-07-2004 |
| | | US 2005234006 A1 | 20-10-2005 |
| | | US 2005234007 A1 | 20-10-2005 |
| | | US 2009155174 A1 | 18-06-2009 |
| | | US 2004259247 A1 | 23-12-2004 |
| | | US 2011054159 A1 | 03-03-2011 |
| | | US 2010010207 A1 | 14-01-2010 |
| | | US 2011014123 A1 | 20-01-2011 |
| | | US 2007093445 A1 | 26-04-2007 |
| | | US 2008269147 A1 | 30-10-2008 |
| | | US 2011065773 A1 | 17-03-2011 |
| | | US 2011070162 A1 | 24-03-2011 |
| | | US 2010292456 A1 | 18-11-2010 |
| | | US 2011027883 A1 | 03-02-2011 |
| | | US 2004229266 A1 | 18-11-2004 |
| | | US 2005026278 A1 | 03-02-2005 |
| | | US 2004259248 A1 | 23-12-2004 |
| | | US 2010316703 A1 | 16-12-2010 |
For more details about this annex: see Official Journal of the European Patent Office, No. 12/82
This annex lists the patent family members relating to the patent documents cited in the above-mentioned European search report. The members are as contained in the European Patent Office EDP file on. The European Patent Office is in no way liable for these particulars which are merely given for the purpose of information.
| Patent document cited in search report | Publication date | Patent family member(s) | Publication date |
|---------------------------------------|------------------|-------------------------|------------------|
| WO 0244321 A2 | | US 2011065109 A1 | 17-03-2011 |
| | | US 2011020234 A1 | 27-01-2011 |
| | | US 2011112283 A1 | 12-05-2011 |
For more details about this annex: see Official Journal of the European Patent Office, No. 12/82
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Mind the Gap: Two Dissociable Mechanisms of Temporal Processing in the Auditory System
Lucy A. Anderson\textsuperscript{1} and Jennifer F. Linden\textsuperscript{1,2}
\textsuperscript{1}Ear Institute, University College London, London, WC1X 8EE, United Kingdom, and \textsuperscript{2}Department of Neuroscience, Physiology and Pharmacology, University College London, London, WC1E 6BT, United Kingdom
High temporal acuity of auditory processing underlies perception of speech and other rapidly varying sounds. A common measure of auditory temporal acuity in humans is the threshold for detection of brief gaps in noise. Gap-detection deficits, observed in developmental disorders, are considered evidence for “sluggish” auditory processing. Here we show, in a mouse model of gap-detection deficits, that auditory brain sensitivity to brief gaps in noise can be impaired even without a general loss of central auditory temporal acuity. Extracellular recordings in three different subdivisions of the auditory thalamus in anesthetized mice revealed a stimulus-specific, subdivision-specific deficit in thalamic sensitivity to brief gaps in noise in experimental animals relative to controls. Neural responses to brief gaps in noise were reduced, but responses to other rapidly changing stimuli unaffected, in lemniscal and nonlemniscal (but not polysensory) subdivisions of the medial geniculate body. Through experiments and modeling, we demonstrate that the observed deficits in thalamic sensitivity to brief gaps in noise arise from reduced neural population activity following noise offsets, but not onsets. These results reveal dissociable sound-onset-sensitive and sound-offset-sensitive channels underlying auditory temporal processing, and suggest that gap-detection deficits can arise from specific impairment of the sound-offset-sensitive channel.
Key words: auditory; gap detection; hearing; mouse; temporal processing; thalamus
Significance Statement
The experimental and modeling results reported here suggest a new hypothesis regarding the mechanisms of temporal processing in the auditory system. Using a mouse model of auditory temporal processing deficits, we demonstrate the existence of specific abnormalities in auditory thalamic activity following sound offsets, but not sound onsets. These results reveal dissociable sound-onset-sensitive and sound-offset-sensitive mechanisms underlying auditory processing of temporally varying sounds. Furthermore, the findings suggest that auditory temporal processing deficits, such as impairments in gap-in-noise detection, could arise from reduced brain sensitivity to sound offsets alone.
Introduction
Many sounds encountered in daily life (whispered speech, rustling leaves) are defined primarily by rapid changes in intensity over time. The ability to detect rapid changes in sound intensity is therefore critical to auditory scene analysis. Psychophysically, this ability is often quantified by measuring duration thresholds for detection of brief gaps in noise (gap-detection thresholds), which are commonly assumed to represent a general measure of auditory temporal acuity (Green, 1971). Gap-detection thresholds are also used clinically as an index of the integrity of central auditory temporal processing mechanisms. Abnormally high gap-detection thresholds are considered a symptom of developmental auditory processing disorder (American Speech-Language-Hearing Association, 2005) and have also been reported in patients with autism spectrum disorders (Bhatara et al., 2013) and autoimmune disease (Benasich, 2002; Bruner et al., 2009). Auditory gap-detection deficits are also commonly observed in elderly adults, even when there is no peripheral hearing loss (Gordon-Salant and Fitzgibbons, 1993; Snell, 1997; Strouse et al., 1998; Snell and Frisina, 2000). These gap-detection deficits are usually interpreted as reflecting developmental abnormalities...
in, or age-related decline of, mechanisms of auditory temporal processing.
BXSB/Mpj-Yaa mice are an interesting model system in which to study the neural mechanisms of auditory temporal processing and gap-detection deficits. All BXSB/Mpj-Yaa mice have autoimmune disease (Andrews et al., 1978), which in humans has been linked with a high incidence of auditory temporal processing abnormalities and gap-detection deficits (Benasich, 2002; Bruner et al., 2009). Approximately 30%–50% of BXSB/Mpj-Yaa mice also have localized disruptions of neocortical lamination (ectopias) (Sherman et al., 1987, 1990), which resemble those observed in humans with auditory processing and developmental language disorders (Galaburda et al., 1985; Kaufmann and Galaburda, 1989; Ramus, 2004; Boscario et al., 2011). Intriguingly, although the ectopias occur in frontal cortex and not in auditory cortex, ectopic BXSB/Mpj-Yaa mice have greater difficulty than their nonectopic littermates with behavioral tasks involving detection of brief gaps in noise (Clark et al., 2000b). However, ectopic animals perform normally on tasks involving detection of longer gaps in noise, suggesting a problem with auditory temporal acuity rather than overall hearing sensitivity. Ectopic BXSB/Mpj-Yaa mice are therefore an animal model of gap-detection deficits, and with their nonectopic BXSB/Mpj-Yaa littermates as genetically matched controls, can be used to investigate the neural mechanisms of auditory temporal processing abnormalities.
Here we investigated auditory temporal processing in three different subdivisions of the auditory thalamus in both ectopic and nonectopic BXSB/Mpj-Yaa mice. We focused on the auditory thalamus because previous studies have suggested that both ectopia-like cortical abnormalities in animal models (Herman et al., 1997; Peiffer et al., 2002) and developmental disorders in humans (Galaburda et al., 1994; Díaz et al., 2012) cause abnormalities in the auditory thalamus. Furthermore, previous work had suggested that the abnormalities could be specific to particular central auditory pathways, and the three major ascending auditory pathways (lemniscal, nonlemniscal, and polysensory) are much more easily distinguished in the thalamus (Anderson and Linden, 2011) than in the cortex (Lee and Sherman, 2011).
We report that, in ectopic mice, thalamic neurons in two of the three central auditory pathways exhibit reduced sensitivity to brief gaps in ongoing noise, but responses to other sounds, including other rapidly changing sounds, are unaffected. Furthermore, we find that neural responses to sound offsets, which likely originate in the central rather than peripheral auditory system, occur less frequently in the auditory thalamus of ectopic mice, and this abnormality alone can account for both the stimulus specificity and subdivision specificity of the deficit in thalamic sensitivity to brief gaps in noise. We introduce a simple phenomenological model of central auditory intensity processing incorporating gain control and dissociable onset-sensitive and offset-sensitive channels, and we show that thalamic abnormalities in ectopic mice can be reproduced with a weakening of the contribution from the offset-sensitive channel. The results demonstrate the existence of two dissociable mechanisms of auditory temporal processing, one most sensitive to sound onsets and the other to sound offsets. Moreover, the findings indicate that apparent deficits in auditory temporal acuity could arise from specific abnormalities in central auditory processing of sound offsets.
Materials and Methods
Subjects. All procedures were approved under the United Kingdom Animals (Scientific Procedures) Act of 1986. Experiments were conducted in 33 male mice of the inbred BXSB/Mpj strain (i.e., BXSB/Mpj-Yaa mice; 14 ectopic and 19 nonectopic, as identified in postmortem histological analysis). Of these 33 mice, 13 ectopic and 14 nonectopic mice were used for both thalamic recordings and auditory brainstem response (ABR) recordings, and an additional 1 ectopic and 5 nonectopic mice were used for ABR recordings only.
BXSB/Mpj-Yaa mice carry the Y-linked autoimmune acceleration locus (Yaa) on the Y chromosome, which is the result of a duplication of a 4 Mbp, 19 gene telomeric segment of the X chromosome onto the Y chromosome (for details and references, see http://jaxmice.jax.org/strain/000740.html). All male mice of the BXSB/Mpj strain (i.e., both ectopic and nonectopic BXSB/Mpj-Yaa animals) have the mutant Yaa-containing Y chromosome, which causes accelerated development of autoimmune disease (Andrews et al., 1978) typically by 20 weeks of age. Animals were therefore used in experiments at ages of 8–20 weeks. There were no significant differences in age at recording time between ectopic and nonectopic animals (mean ± SD of ages of mice used for thalamic recordings: ectopic 127 ± 12 d, nonectopic 126 ± 17 d, Student’s t test, p = 0.90; similar results obtained when including animals only used for ABR recording).
Surgical procedures and acoustic calibration. Surgical procedures were similar to those described previously (Anderson and Linden, 2011), except for the use of urethane (1.9 g/kg in a 20% solution, Sigma) for anesthesia and buprenorphine (0.1 mg/kg) for analgesia. All auditory stimuli were presented free-field to the left ear (contralateral to the thalamic recording site), using a speaker (FF1, Tucker-Davis Technologies) positioned at −45° in azimuth relative to the animal and at the same elevation as the left auditory canal. A sound-attenuating ear plug was placed in the right ear. Before the start of each experiment, acoustic stimuli were calibrated near the opening of the animal’s left auditory canal; after correction, the sound system frequency response was flat to within ±2 dB from 2 to 90 kHz.
Auditory thalamic recordings. Extracellular single-unit and multiunit recordings were obtained from all major subdivisions of the right auditory thalamus. Multichannel electrode arrays were custom-made to enable simultaneous recording from multiple medial geniculate body (MGB) subdivisions. Linear arrays of eight parylene-coated tungsten microelectrodes (WPI, TM33A20) were mounted (by hand) onto a printed circuit board. The eight electrodes were spaced ∼75 μm apart, ensuring that the electrode array would completely span the mediolateral dimension of the mouse MGB. Each individual electrode on the array typically had an impedance of 1–2 MΩ at 1 kHz. Electrode arrays were positioned stereotaxically and advanced using a hydraulic probe drive (FHC 50-12-1C), which was controlled from outside the sound-attenuated booth (FHC Neurocraft MCM/MCU). To ensure consistency in depth measurements across penetrations, the motor controller was zeroed as the tip of the microelectrode touched the cortical surface (as confirmed by visual inspection under a microscope and by an acoustic change in the electrode signal). In all penetrations, the electrode was moved down 2200 μm below the cortical surface, then left to stabilize for ∼10 min. Neurons were located using 50 μs clicks presented at variable intensities. Trigger levels were set manually so that action potentials had to exceed a threshold of at least 2× SD of the background noise. To prevent erroneous artifacts from being recorded as spikes, potential action potentials had to pass both the positive and negative threshold within 700 μs of the first threshold crossing. Multiunit activity was recorded by the multichannel arrays, and single units were isolated by off-line spike sorting. We manually clustered spike waveforms in up to three dimensions (e.g., peak amplitude, trough amplitude, peak width) using spike-sorting software (Jan Schnupp’s Brainwave, Tucker-Davis Technologies). All results reported for analysis of pooled multiunit and single-unit data were also confirmed to be valid for single-unit data alone.
Once auditory responses were established, recordings were collected during 100 repetitions of a 50 μs click presented with at least an 800 ms interstimulus interval. Further recordings were collected during presentations of click trains; tones varying in frequency and intensity; gap-in-noise stimuli; and noise maskers followed by click probes. Click trains were 200 ms in duration and composed of 60 dB SPL clicks with
interclick intervals (ICIs) of 3.125, 6.25, 12.5, 25, 50, and 100 ms; responses to 20 repetitions of each train were recorded. To estimate each neuron’s frequency-intensity response area, characteristic frequency, and threshold, 3 repetitions of tone pips at variable frequencies and intensities were presented in a sequential manner (2–75 kHz, 5–80 dB SPL with tones presented at least every 1/5 octave in 5 dB steps; tones had a 5 ms rise/fall time, 100 ms duration and were presented with an inter-stimulus interval of 500 ms). Gap-in-noise stimuli (20 repetitions each) consisted of a 200 ms 60 dB SPL noise stimulus, followed by a 0, 1, 2, 4, 6, 8, 10, 20, 50, or 100 ms silent gap, followed by a second 60 dB SPL noise burst 50 ms in duration. The 0 ms gap condition was a no-gap control, corresponding to a continuous 250 ms noise. Noise masker/click probe stimuli (20 repetitions each) consisted of 60 dB SPL noise bursts 50, 100, or 200 ms in duration, followed 20 ms later by a 50 μs probe click (and 300–500 ms later by an additional 50 μs reference click, not otherwise discussed). Noise stimuli were generated as dense combs of overlaid tones with random starting phase, spaced 1/24 octave apart and spanning 2–80 kHz in frequency. Noise rise/fall time was 5 ms for noise masker/click probe stimuli and 0 ms for gap-in-noise stimuli. We used a 0 ms rise/fall for the gap-in-noise stimuli to avoid interference with measurement of neural gap-detection thresholds, which were often only 1–2 ms; spectral splatter would not be detectable, given that the noise stimulus was already so wideband as to cover virtually all of the hearing range of the mouse.
**ABR measurements.** Subdermal electrodes were placed at the vertex of the skull (+), over the ipsilateral bulla (−), and over the contralateral bulla (ground). Signals were amplified 20× with a Tucker-Davis Technologies low-impedance headstage (RA4LI), digitized with a 16-bit sigma-delta analog-to-digital converter (Tucker-Davis Technologies RA16SD, hardware bandpass filtering 2.2 Hz to 7.5 kHz), recorded at a 24.414 kHz sampling rate, and then bandpass filtered in software between 100 and 3000 Hz (fifth-order Butterworth filter). Click-evoked ABRs were recorded in response to 500–1000 repetitions of a click stimulus, 50 μs in duration, ranging in level from 5 to 80 dB SPL. ABR thresholds were defined as the lowest sound level at which at least two of the deflections in the ABR waveform exceeded 2× SE of the background signal. Wave amplitude and latency were measured from ABR waveforms in response to click stimuli presented at 80 dB SPL, and all results were confirmed at a level 20 dB above threshold.
**Data analysis.** All data analyses were conducted blind to the ectopic status of the animal. Results of statistical tests are described as “significant” if \( p < 0.01 \), and as “trends” where \( p > 0.01 \) but \( < 0.05 \). All statistical tests were nonparametric and two-tailed unless otherwise specified.
Recordings of neuronal responses to 100 presentations of a single click were used to define spontaneous firing rates, first-spike latency, and peak latency. The spontaneous firing rate of each neuron was calculated from the first 4 ms of recording to the click stimulus (i.e., after presentation of the click and before a response was observed). A response to the click was considered significant if a poststimulus time histogram (PSTH) compiled from 100 click repetitions using 0.5 ms time bins showed a peak in firing that exceeded 2× SD of the neuron’s spontaneous rate. The first-spike latency to the click was defined as the median of the times at which the first spikes were elicited in response to the click, across 100 click presentations. Peak latencies were calculated from the mode of the response following 100 click presentations. Latencies were calculated from the PSTH using 0.5 ms bins; similar results were obtained with 0.1 or 0.2 ms binwidths.
Trains of clicks with different ICIs were used to assess the neuron’s ability to follow temporally varying stimuli. The minimum ICI for synchronization was determined to be the minimum ICI for which the vector strength of the entire click train response was significant as determined using the Rayleigh test of uniformity (Rayleigh values > 13.8, \( p < 0.001 \)). For the fastest ICIs (6.25 and 3.125 ms), the onset portion of the response was excluded from vector-strength calculations to ensure that the onset response was not artificially contributing to synchronization. The peak firing rate and probability of firing were measured in response to each individual click for all ICI conditions for which the neuron showed statistically significant synchronization.
Responses to gap-in-noise stimuli with variable gap durations were used to assess neuronal sensitivity to brief gaps in noise. The neural gap-detection threshold was defined as the smallest gap that preceded a statistically significant response to the second noise stimulus. Assessment of the neural gap-detection threshold was performed for each neuron using PSTHs with 0.5 ms binwidths compiled from 20 repetitions of each gap-in-noise stimulus; all results were confirmed to be similar with 0.1 ms or 0.2 ms binwidths. The response to the second noise stimulus was considered significant if any part of the response exceeded 2× the SD of the average background firing over the preceding 10 ms. Neural gap-detection thresholds estimated according to this rule were always confirmed (and corrected if necessary) by visual inspection of responses to gap-in-noise stimuli across the full range of gap durations. In particular, estimates of the neural gap-detection threshold for neurons responding to noise offsets were checked for any significant elevations in firing during the gap periods before the second noise onset. In practice, latencies of responses to noise offsets were usually much longer than neural gap-detection thresholds, and also much longer than latencies of responses to noise onsets. Therefore, in neurons with both offset and onset responses to noise, responses to the offset of the first noise burst in a gap-in-noise stimulus typically could not be distinguished from responses to the onset of the second noise burst for gap durations of 10 ms or less, and estimates of the neural gap-detection threshold based on activity during the second noise burst were almost always confirmed as correct after visual inspection of gap-in-noise responses and consideration of any offset responses. Moreover, and very importantly, estimation of the neural gap-detection threshold for each recorded neuron was performed blind to both the ectopic or nonectopic status of the animal and the localization of the recording site.
Responses to a 250 ms broadband noise (equivalent to the 0 ms gap-in-noise condition) were used to categorize temporal PSTH shapes. These shapes were classified qualitatively as follows: (1) “On only” if the neuron had a transient response at the beginning of the 250 ms noise burst that returned to spontaneous rate within 30 ms after the initial response; (2) “On-sustain” if after the initial transient response, firing continued throughout the duration of the noise burst; (3) “Part-sustain” if firing continued 30 ms after the initial transient response, but not throughout the duration of the noise; (4) “Pauser” if following the transient onset response there was a clear period of inhibition (reduced firing) before firing recommenced, and the sustained firing varied in duration from a short burst (typically 30–50 ms) to continuing throughout the duration of the stimulus; (5) “Build-up” if the neuron had no initial transient and the sustained firing increased over the duration of the noise stimulus; (6) “On-off” if the neuron produced transient responses at the beginning and the end of the noise burst; and (7) “Off only” if the neuron produced a transient response only at the end of the noise burst.
Automated identification of cells with transient offset (or onset) responses to broadband noise was performed on data recorded during presentations of a 250 ms noise (the 0 ms gap-in-noise stimulus). Neuronal spike times were binned into a PSTH with 1 ms resolution, and the mean and SD of the bin-by-bin firing rates were computed for the 50 1 ms bins preceding noise onset (the control interval). A neuron was judged to have a significant offset response if, within an interval 10–60 ms after noise offset, the mean firing rate in at least two successive 1 ms bins (1) was significantly higher than the bin-by-bin firing rate in the control interval (Wilcoxon rank-sum test, \( p < 0.01 \)), and (2) rose between the two successive significant time bins. The same procedure, applied within an interval 0–50 ms after noise onset, was used to identify neurons with a significant onset response. This automated procedure identified the vast majority of offset (and onset) responses that were apparent by eye, and successfully excluded other types of responses. In particular, the automated approach successfully distinguished transient noise-offset responses from other possible spiking patterns after noise offset, such as prolonged decay of high noise-induced firing rates, or return to a high spontaneous firing rates following noise-induced suppression.
**Histological identification of thalamic recording sites and ectopias.** As in Anderson and Linden (2011), discrete electrolytic lesions (5 μA for 5–7 s) were created to indicate the region of recording within the thalamus. Once physiological recording at each rostrocaudal position had ceased (and before moving to a new rostrocaudal position), electrolytic lesions
were made in the most lateral and most medial electrode tracks that had yielded data. Lesions were created a fixed distance apart within each electrode track (as controlled by a hydraulic microdrive), allowing for estimation of tissue shrinkage and cutting angle. Histological reconstruction of all recording sites could then be accomplished using the recorded stereotaxic coordinates and estimated corrections for variations due to histological processing.
Procedures for histological processing were as described by Anderson et al. (2007). Briefly, following an overdose of sodium pentobarbital (Euthatal, i.p.), mice were transcardially perfused with 4% PFA (chilled). Brains were postfixed in 4% PFA for 12 h. Coronal sections from the olfactory bulbs to a position caudal to the auditory thalamus were cut using a vibratome. Sections were 50 μm thick and mounted on glass slides in two series of alternating sections. To clearly visualize MGB subdivisions and electrolytic lesions, one series was stained for the metabolic marker cytochrome oxidase by incubating sections for 3–5 h at 37°C in a solution containing 20 mg of diaminobenzidine hydrochloride in 10 ml of distilled water and 30 mg of cytochrome c with 3 g of sucrose in 30 ml of 0.1 M phosphate buffer titrated to pH 7.4. The second series was stained for Nissl substance using cresyl violet to visualize the presence of cortical ectopia. Cortical ectopias were identified using a light microscope, by a characteristic mushroom-like extrusion of cells into the molecular layer (layer I). The number, location, and hemisphere of the ectopia were recorded. Consistent with previous reports (Sherman et al., 1987, 1990), nearly half the BXS8/MpJ-Yaa animals had ectopias, usually only one, located in the frontal cortex.
Model description. The model we introduce here is not intended to be a physiologically realistic model of the auditory pathway, but rather an abstract description of essential stimulus transformations performed by the auditory pathway up to and including the thalamus. The basic computations performed by this simple model (integration, adaptation, delay, thresholding, and weighted summation) are not only biologically plausible but also fundamental; more elaborate models of central auditory processing would also involve some form of these computations. The model incorporates two key assumptions: (1) that auditory processing involves intensity gain control; and (2) that auditory thalamic population activity can be modeled as a weighted sum of outputs from two dissociable auditory channels, one most sensitive to sound onsets and another most sensitive to sound offsets.
The input to each channel is an integrated, adapted function of the time-varying sound level in dB SPL, s(t). This process implements intensity gain control. The “integration” component of the computation can be described in the following discretized formulation:
\[ r_I(t) = \sum_{i=t-N}^{t} w_I(t - i)s(i), \]
(1)
where \( r_I(t) \) is the integrated sound input, \( N \) is the maximum duration of the integration window, and temporal weights \( w_I \) are defined as follows:
\[ w_I(a) = \begin{cases} K_I \cdot e^{-a/\tau_I}, & \text{if } 0 \leq a \leq N \\ 0 & \text{otherwise}. \end{cases} \]
(2)
Thus, \( w_I \) defines an integration window that acts in Equation 1 to weight the stimulus by an exponentially decaying function of preceding time, with time constant \( \tau_I \). (For simplicity, the arbitrary scale factor \( K_I \) is chosen such that \( \sum_{a=0}^{N} w_I(a) = 1 \), and the maximum window duration \( N \) is set to 5\( \tau_I \) to ensure >99% decay of the exponential at the earliest time points falling within the window.) This integration step is linear in the stimulus and amounts to convolution of the time-varying stimulus (offset by the response latency) with the causal integration window defined by \( w_I \).
Adaptation is then implemented using a simple version of the standard nonlinear normalization equation (Carandini and Heeger, 2012) as follows:
\[ r_{IA}(t) = r_I(t) \cdot \frac{1}{1 + \sum_{j=t-M}^{t} w_A(t - j)r_I(j)} \]
(3)
where \( r_{IA}(t) \) is the integrated and adapted sound input within the channel, \( M \) is the maximum duration of the adaptation window for the channel, and temporal weights \( w_A \) are defined in a similar manner as for \( w_I \) as follows:
\[ w_A(b) = \begin{cases} K_A \cdot e^{-b/\tau_A}, & \text{if } 0 \leq b \leq M \\ 0 & \text{otherwise}. \end{cases} \]
(4)
Thus, \( w_A \) defines an adaptation window acting in Equation 3 to weight the integrated stimulus \( r_I(t) \) by an exponentially decaying function of preceding time, with time constant \( \tau_A \). (For simplicity, we again define the arbitrary scale factor \( K_A \) to be such that \( \sum_{b=0}^{M} w_A(b) = 1 \), and the maximum window duration \( M \) to be 5\( \tau_A \).) In other words, the integrated stimulus \( r_I(t) \) is normalized by the function of its recent magnitude defined by the causal adaptation window \( w_A \), to obtain the integrated, adapted channel input \( r_{IA}(t) \).
Substituting equation 1 for \( r_I(t) \) in Equation 3, we obtain the following equation for \( r_{IA}(t) \) in terms of only the time-varying stimulus level \( s(t) \), integration window weights \( w_I \) and adaptation window weights \( w_A \) as follows:
\[ r_{IA}(t) = \sum_{i=t-N}^{t} w_I(t - i) \cdot \frac{s(i)}{1 + \sum_{j=t-M}^{t} w_A(t - j)\left(\sum_{k=j-N}^{j} w_I(j - k)s(k)\right)} \]
(5)
Intuitively, \( r_{IA}(t) \) is the sound intensity integrated over the integration window, and scaled by an adaptive gain \( g(t) \) that depends on both the integration and adaptation windows:
\[ g(t) = \frac{1}{1 + \sum_{j=t-M}^{t} w_A(t - j)\left(\sum_{k=j-N}^{j} w_I(j - k)s(k)\right)} \]
(6)
When sound levels are very low (e.g., in “silence,” modeled here as very low-level, 10 dB SPL noise), the denominator in this adaptive gain term will be closer to 1, and so the adaptive gain \( g(t) \) will approach 1; \( r_{IA}(t) \) will therefore approach the integrated sound intensities falling within the integration window alone, \( \sum_{i=t-N}^{t} w_I(t - i)s(i) \). In contrast, when sound levels are continuously high (e.g., in continuous 60 dB SPL background noise), the denominator in the adaptive gain term will be large, and so the adaptive gain term \( g(t) \) will approach zero. Thus, the computations described above implement intensity gain control.
Model output is computed as the weighted sum of activity in two different channels receiving this integrated and adapted sound input. The first (onset-sensitive) channel provides a thresholded version of the integrated, adapted sound level (with a brief delay modeling non-zero response latency). In contrast, the second (offset-sensitive) channel provides an inverted and additionally delayed, then thresholded, version of the integrated, adapted input. The inversion in the second channel ensures that this channel produces suprathreshold signals only following sound offsets; such an inversion could in principle be implemented biologically through intracellular mechanisms (Kopp-Scheinpflug et al., 2011) or via disinhibition following transmission through inhibitory neurons. Longer delay for the offset-sensitive channel than for the onset-sensitive channel is consistent with our experimental observation that latencies of responses to noise offsets were longer than latencies of responses to noise onsets in both ectopic and nonectopic animals (see Results).
Importantly, the second (offset-sensitive) channel contributes to model output primarily following offsets of prolonged sounds (e.g., after a noise, or during gaps in noise), not following offsets of acoustic transients (clicks). The relative insensitivity of the second channel to click offsets arises because the output of this channel does not exceed the threshold baseline observed in “silence” (very low-level noise) unless two conditions are both met: there is a drop in sound level, and adaptive gain is lower than it would be during “silence.” These conditions co-occur only following offsets of prolonged sounds, not following offsets of very transient sounds on a “silent” background.
Model fitting and testing. Model parameters were chosen to obtain a good qualitative match between “nonectopic” model output for simulated noise onsets and offsets, and the temporal profiles of ventral MGB population responses to noise onsets and offsets in nonectopic mice. Six model parameters were chosen to optimize this fit: the integration time constant \((\tau_i = 6\) ms) and adaptation time constant \((\tau_A = 10\) ms); the onset-sensitive channel delay (ch1 delay \(= 5\) ms) and weighting (ch1 weight \(= 1.0\)); and the offset-sensitive channel delay (ch2 delay \(= 13\) ms) and weighting (ch2 weight \(= 0.5\)). Only one parameter was changed from the “nonectopic” model to produce the “ectopic” model: the offset-sensitive channel weighting (ch2 weight reduced from 0.5 to 0.25).
We then tested these “nonectopic” and “ectopic” versions of the model using simulated versions of other stimuli: gap-in-noise stimuli, click trains, and clicks following noise. Simulated stimuli were generated as for acoustic stimuli, with “silence” simulated as low-level 10 dB SPL noise, and clicks simulated as 3 ms noise bursts to better approximate the speaker response to a 50 µm voltage pulse and the neural population responses to isolated clicks. Our aim was to determine whether “nonectopic” and “ectopic” model outputs for gap-in-noise stimuli, click trains, and clicks following noise reproduced the observed similarities and differences between nonectopic and ectopic animals in ventral MGB population responses to these stimuli. This comparison is displayed in Results; similar results were obtained with small variations in the model parameters.
We also experimented with more complex models in which the integration and adaptation of the sound input involved different \(\tau_i\) and \(\tau_A\) parameters for the onset-sensitive and offset-sensitive channels, or the adaptive normalization was performed with nonunity scale factors, saturation factors, and exponents (Carandini and Heeger, 2012). However, this added complexity appeared to be unnecessary, as qualitatively excellent fits to the data could be achieved with the simpler six-parameter model.
**Figure 1.** Ectopic mice have a deficit in auditory thalamic sensitivity to brief gaps in noise. **a**, Extracellular *in vivo* recordings were obtained from neurons in the ventral (V), dorsal (D), and medial (M) subdivisions of the MGB of anesthetized mice during presentations of gap-in-noise stimuli with variable gap durations. Inset, Coronal section through MGB, stained for cytochrome oxidase. Arrowheads indicate electrolytic lesions. **b**, Examples of four common types of auditory thalamic responses to gap-in-noise stimuli, shown in rasters with superimposed PSTHs. Zero time corresponds to start of noise; firing rate is shown in spikes per second (sp/s). Green column represents silent gap. Black arrow indicates neural gap-detection threshold. **c**, Example neocortical ectopia in motor cortex, shown in successive coronal sections (left; arrows; scale bar, 1 mm) and in a magnified view of layer I (right; scale bar, 200 µm). **d**, Neural gap-detection deficit in MGB of ectopic mice. Red represents ectopic mice. Blue represents nonectopic mice. Dotted lines indicate individual animals. Solid lines with error bars indicate mean ± SE across animals. Dotted gray lines indicate median values. \(n\), total number of neural recordings across animals. **e–g**, Same analysis for neurons recorded in ventral MGB (**e**), dorsal MGB (**f**), and medial MGB (**g**). Results of Wilcoxon rank-sum tests for differences in medians are shown. N.S., Not significant. Kolmogorov–Smirnov tests for differences in distributions produced similar results (see Results).
Results
To identify possible neural correlates of previously described behavioral gap-detection deficits in ectopic BXSB/Mpj-Yaa mice, we recorded sound-evoked responses of neurons in three different subdivisions of the auditory thalamus in both ectopic and nonectopic animals. Extracellular recordings were obtained from single neurons and small populations of neurons (multiunits) in each of the ventral (lemniscal), dorsal (nonlemniscal), and medial (polysensory) subdivisions of the MGB, the auditory aspect of the thalamus (Fig. 1a). Experiments were performed in terminally anesthetized animals (for controls related to the use of anesthesia, see Controls for effects of anesthesia).
All experiments and data analyses were conducted blind to the ectopic or nonectopic state of the animal, which could only be determined through postmortem histology, not genotyping. Ectopic and nonectopic BXSB/Mpj-Yaa mice are male littermates of an inbred mouse strain; the ectopias are thought to be a low-penetrance consequence of genetic susceptibility to developmental disorders common to all inbred BXSB/Mpj-Yaa animals but expressed only stochastically or when triggered by environmental factors (Sherman et al., 1987, 1990). Therefore, comparisons made in this study are not between mutant and wild-type mice, but between genetically similar same-sex littermates of the same inbred strain, with or without a low-penetrance phenotypic abnormality (a cortical ectopia).
Ectopic animals were identified by the presence of one or more ectopias in cortical layer I in brain sections stained for Nissl substance (Fig. 1c). Most ectopic animals had a single ectopia, located in the motor cortex of either hemisphere. The presence or absence of ectopias was confirmed in all cases by a second observer blind to the outcome of the first observer’s assessment; the only disagreement between the two observers concerned the exact number of ectopias in one atypical animal with more than one ectopia.
Thalamic-subdivision-specific deficit in neural sensitivity to brief gaps in noise
We analyzed thalamic responses to “gap-in-noise” stimuli similar to those used in previous behavioral studies (Clark et al., 2000b), and observed a range of thalamic response profiles dominated by transient increases in neural firing rates at the onset of the first (200 ms) noise epoch, with further bursts of firing at the onset of the second (50 ms) noise epoch following sufficiently long gaps. We defined a “neural gap-detection threshold” for each neural recording by identifying the shortest gap followed by a statistically significant burst of firing (Fig. 1b, arrows; see Materials and Methods). Neural gap-detection thresholds were significantly longer in ectopic than nonectopic animals in the MGB overall (Fig. 1d; Wilcoxon rank-sum test for difference in medians, $p < 0.001$), suggesting a possible neural substrate for behavioral deficits in gap detection previously reported in ectopic BXSB/Mpj-Yaa animals (Clark et al., 2000b).
The abnormality in neural gap-detection thresholds in ectopic mice was statistically significant for neurons located in the ventral (lemniscal) MGB subdivision (Fig. 1e; Wilcoxon rank-sum test $p < 0.001$), with a similar trend evident in the dorsal (nonlemniscal) MGB subdivision (Fig. 1f; $p = 0.04$). However, there was no significant difference in neural gap-detection thresholds between ectopic and nonectopic mice for neurons in the medial (polysensory) MGB subdivision (Fig. 1g; $p > 0.1$). Similar results were obtained in all cases from Kolmogorov–Smirnov tests for differences in distributions (all MGB and ventral MGB, $p < 1 \times 10^{-13}$; dorsal MGB, $p = 0.02$; medial MGB, $p > 0.2$). The deficit in thalamic sensitivity to brief gaps in noise observed in ectopic mice therefore appeared to be subdivision-specific, affecting the lemniscal and perhaps nonlemniscal central auditory pathways but not the polysensory pathway (for further details on these pathways, see Anderson and Linden, 2011).
Evidence suggests a central rather than peripheral auditory origin
The fact that the deficit in thalamic sensitivity to brief gaps in noise was evident in only two of three auditory thalamic subdivisions in ectopic animals constitutes strong circumstantial evidence that this deficit arises within particular central auditory pathways (i.e., within the auditory brain rather than within the ear). Additional evidence supporting this conclusion comes from the observation that there were no statistically significant differences between ectopic and nonectopic animals in basic auditory thalamic response properties, such as spontaneous neural firing rates, peak first-spike latencies for responses to clicks, intensity thresholds for responses to tones, or preferred frequency for tone responses at threshold [characteristic frequency (CF)], whether the data were pooled across MGB overall or analyzed separately for each subdivision (Fig. 2a–d; Wilcoxon rank-sum tests for differences in medians and Kolmogorov–Smirnov tests for differences in distributions, all $p > 0.3$). Moreover, there were no statistically significant differences between ectopic and nonectopic animals in basic evoked-potential measures of auditory nerve and brainstem responses (Fig. 2e; Wilcoxon rank-sum tests for differences in medians: ABR thresholds, $p = 0.97$; ABR wave amplitudes, all $p > 0.4$; ABR wave latencies, all $p > 0.3$). Collectively, these findings indicate that the deficit in thalamic sensitivity to brief gaps in noise observed in ventral and dorsal MGB of ectopic mice is likely of central auditory origin.
No general deficit in central auditory temporal acuity
Does the deficit in thalamic sensitivity to brief gaps in noise observed in ectopic mice reflect a general deficit in central auditory temporal acuity? To test for “sluggish” auditory thalamic processing in ectopic BXSB/Mpj-Yaa mice, we examined responses in the three MGB subdivisions using another rapidly varying stimulus: a 200 ms train of clicks with ICIs spanning the range of intervals over which neural gap-detection deficits were observed (3.125–100 ms). Thalamic neurons in both ectopic and nonectopic animals generally produced a burst of firing in response to individual clicks at longer ICIs; as the ICI was reduced, these bursts merged into a less periodic response (Fig. 3a). For each neuron or cluster of neurons, we defined the “minimum ICI for synchronization” to be the smallest ICI at which locking to the click repetition period was observed (i.e., smallest ICI for which the response showed statistically significant vector strength; see Materials and Methods).
In contrast to neural gap-detection thresholds, minimum ICIs for synchronized firing to rapid click trains were statistically indistinguishable in ectopic and nonectopic mice in MGB overall and in each of the ventral, dorsal, and medial MGB subdivisions separately (Fig. 3b–e; Wilcoxon rank-sum tests for differences in medians and Kolmogorov–Smirnov tests for differences in distributions, all $p > 0.1$). Moreover, there were no significant differences between ectopic and nonectopic mice in thalamic responses to the individual clicks within the click trains, as illustrated in Figure 3f for first and second clicks in 6.25 ms ICI trains; similar results were obtained for third, fourth, and fifth clicks,
Auditory Thalamic Responses
**Figure 2.** No differences between ectopic and nonectopic mice in basic auditory thalamic response properties or in ABRs to clicks. All figure panels compare data from ectopic (red) and nonectopic (blue) animals and show results of Wilcoxon rank-sum tests for differences in medians; Kolmogorov–Smirnov tests for differences in distributions produced similar results. N.S., Not significant (see text). **a**, Pooled thalamic response data from neurons in all MGB subdivisions. Left to right, Spontaneous firing rates; peak latencies for responses to isolated clicks (click presentations separated by at least 800 ms); tone response thresholds; characteristic frequencies. Line histograms with error bars indicate mean ± SE across animals. **b–d**, Same as **a** but with neurons separated by MGB subdivision: ventral MGB (**b**), dorsal MGB (**c**), and medial MGB (**d**). **e**, Click ABR measures. Left to right, ABR thresholds; wave peak latencies for ABRs to 80 dB SPL clicks (inset, example ABR waveform with P1–N4 labeled); wave peak-to-trough amplitudes for ABRs to 80 dB SPL clicks. Symbols and error bars indicate mean ± SE across animals.
different ICIs, and whether data were analyzed for MGB overall (as in Fig. 3f) or for individual MGB subdivisions. Thus, there were no statistically significant differences between ectopic and nonectopic mice in thalamic sensitivity to rapid click trains, suggesting that the deficit in thalamic sensitivity to brief gaps in noise does not arise from a general deficit in central auditory temporal acuity.
No deficit in thalamic responses to noise onsets or sustained noise
Could abnormal auditory thalamic sensitivity to brief gaps in noise arise from abnormal responses to the noise preceding the gaps? There were no significant differences between ectopic and nonectopic animals in population responses to the 200 ms noise preceding the gap in either ventral or dorsal MGB (Fig. 4a, left and middle), suggesting that neural gap-detection deficits in these MGB subdivisions cannot be explained by differences in neural sensitivity to the noise stimulus. Measures of peak firing rate following noise onset, latency to peak firing, average firing rate 0–50 ms after noise onset, and steady-state firing rate in the last 50 ms of the noise revealed no statistically significant differences between ectopic and nonectopic mice in either ventral MGB or dorsal MGB (Wilcoxon rank-sum tests, all $p > 0.1$, except dorsal MGB 0–50 ms firing rate $p = 0.03$). Similar results were obtained in the medial MGB for the firing rate measures (Wilcoxon rank-sum tests, all $p > 0.1$); however, latencies to peak firing rate after noise onset were significantly shorter in ectopic than nonectopic animals (median [5%–95% CI]: ectopic mice, 10 [6–17.4] ms; nonectopic mice, 12 [8–25.9] ms; Wilcoxon rank-sum test, $p < 2 \times 10^{-6}$). This unexpected finding confirms our previous conclusion that central auditory processing is not more sluggish in ectopic than nonectopic mice; indeed, medial MGB responses to noise appear to be less sluggish in ectopic animals.
A specific deficit in thalamic activity following noise
Thus, the deficit in thalamic sensitivity to brief gaps in noise observed in ventral and dorsal MGB of ectopic mice arises neither from a general deficit in central auditory temporal acuity nor from abnormal neural sensitivity to noise. Could the deficit instead reflect an abnormality in neural activity following noise? During long (100 ms) gaps in gap-in-noise stimuli, population PSTHs of ventral and dorsal (but not medial) MGB neurons revealed increased neural activity $\sim 10–60$ ms following the offset of the 200 ms noise stimulus (Fig. 4b). This neural population response to noise offsets was significantly weaker in ectopic than nonectopic mice in the ventral MGB (Fig. 4b; Wilcoxon rank-sum test on peak firing rates and average firing rates, both $p < 0.0005$), with a similar trend evident in the dorsal MGB for both measures (peak firing rates, $p = 0.05$; average firing rates, $p = 0.03$). In the medial MGB, where we observed neither deficits in neural gap-detection (Fig. 1g) nor deflections in the population PSTH following noise offsets (Fig. 4b, right), there were no differences between ectopic and nonectopic animals in peak or average firing rates 10–60 ms following noise offset (Wilcoxon rank-sum test, both $p > 0.3$). Therefore, both neural gap-detection deficits and offset response deficits in ectopic animals occur only in those MGB subdivisions which, in nonectopic animals, show increases in population activity following noise offsets.
Intensity gain-control model with onset-sensitive and offset-sensitive channels replicates key features of thalamic population PSTHs
These results suggest that both the stimulus specificity and the subdivision specificity of thalamic deficits observed in ectopic mice could arise from abnormally weak central auditory activity following noise offsets. To demonstrate how abnormalities in thalamic population activity following noise offsets might arise, we developed a simple phenomenological model of central auditory processing of temporal variations in sound intensity (Fig. 5; for details, see Materials and Methods). This model transforms time-varying sound pressure level input into predicted auditory thalamic population output, using only biologically plausible computations, such as integration, adaptive normalization, thresholding, and weighted summation. The model incorporates two key assumptions: (1) that auditory processing involves intensity gain control; and (2) that auditory thalamic population activity can be modeled as a weighted sum of outputs from two dissociable auditory channels, one most sensitive to sound onsets and another most sensitive to sound offsets. The idea that onset-sensitive and offset-sensitive central auditory pathways are dissociable is consistent with results of previous physiological investigations (He, 2001; Schollet et al., 2010; Kopp-Scheinplug et al., 2011) as well as with our findings in BXS8/Mpj-Yaa mice. Intensity gain control has also been reported in many previous studies of central auditory processing (Robinson and McAlpine, 2009) and is essential in the model to ensure that offset responses are evoked primarily following prolonged sounds, not following acoustic transients such as clicks (see Materials and Methods).
This model successfully replicated many features of auditory thalamic responses to temporally varying sounds in nonectopic mice and could also account for deficits observed in ectopic mice as arising from a reduction in the contribution of an offset-sensitive central auditory channel to thalamic population activity. Model outputs mimicked the time course of ventral MGB population responses to noise onsets and offsets, and “nonectopic” and “ectopic” models differing only in a single model parameter, the weighting of the offset-sensitive channel, captured both similarities and differences between nonectopic and ectopic population PSTHs (Fig. 6a,b). Outputs of the “nonectopic”
and “ectopic” models for simulated 4 and 20 ms gaps in noise showed a remarkable similarity to ventral MGB population PSTHs (Fig. 6c,d), replicating temporal features of the thalamic population responses as well as differences between nonectopic and ectopic animals. In particular, we found that the difference between nonectopic and ectopic animals in the peak ventral MGB population response after a brief gap in noise showed a nonmonotonic dependence on gap duration that peaked $\sim10$ ms (Fig. 6e, right). A similar nonmonotonic dependence on gap duration, also peaking $\sim10$ ms, was evident in the difference between peak “nonectopic” and “ectopic” model outputs for simulated gap-in-noise stimuli (Fig. 6e, left). Indeed, the differences in peak thalamic gap-in-noise responses between nonectopic and ectopic mice were significantly correlated with differences in peak “nonectopic” and “ectopic” model outputs for simulated gaps in noise of the same duration (Fig. 6e, middle; Pearson’s $r = 0.84$, $p < 0.005$). This finding demonstrates that the model provided not only a qualitatively correct but also a quantitatively accurate description of the deficit in thalamic population responses to brief gaps in noise in ectopic mice. Moreover, the model also successfully replicated the key observation that responses to rapid click trains were similar in ectopic and nonectopic mice (Fig. 6f), although some detailed features of ventral MGB responses to rapid click trains (e.g., exact pattern of reduction in response to successive clicks) differed from model outputs.
Most importantly, the model also predicted additional stimulus-specific deficits in ventral MGB of ectopic mice, and these predictions were validated in further experiments. Specifically, the model predicted that ventral MGB activity evoked by a click 20 ms following noise would be stronger in nonectopic than ectopic animals (Fig. 7a,b, left), even though there were no differences between nonectopic and ectopic mice in ventral MGB responses to isolated clicks or rapid click trains. (The explanation for this prediction is essentially that the response to the click following noise is boosted by the larger noise-offset response in nonectopic than ectopic mice.) Moreover, the model predicted that the difference between nonectopic and ectopic animals in the peak response to a click 20 ms following noise would be similar for noise durations of 200, 100, and 50 ms (Fig. 7c, left) because all three noise durations are long compared with the predicted time course of intensity gain control (Fig. 5). We confirmed these predictions in experiments involving 4 of the ectopic and 3 of the nonectopic mice. As predicted by the model, ventral MGB population responses to clicks following noise were larger in nonectopic than ectopic animals, even for noise durations as short as 50 ms (Fig. 7a,b, right; one-tailed Wilcoxon rank-sum tests, $p < 0.001$ for all three noise durations). Moreover, peak firing rates to a click 20 ms following noise offset did not differ significantly between the 200, 100, and 50 ms noise-duration conditions, for either nonectopic or ectopic animals (Kruskal–Wallis test, $p > 0.1$ for both). Thus, the model successfully predicted stimulus conditions under which even the otherwise robust click responses appeared abnormal in ectopic animals.
**Fewer offset-responsive thalamic neurons in ectopic mice**
The modeling results indicated that the observed auditory thalamic abnormalities in ectopic mice could arise from a specific reduction in the contribution of an offset-sensitive central auditory channel to thalamic population activity. To investigate this possibility further, we examined the diversity of temporal profiles in neuronal responses to broadband noise, and the incidence of neurons with responses to noise offsets.
First, we performed a manual categorization of temporal response shapes, assigning each neuron to “On only,” “On-sustain,” “Part-sustain,” “Pauser,” “Build-up,” “On-off,” or “Off only” categories (Fig. 8a) based on the most prominent temporal feature of the response to a 250 ms broadband noise. This analysis, conducted blind to the ectopic status of the mice, revealed clear differences between ectopic and nonectopic animals in the proportions of neurons with different noise-response profiles (Figure 8c,d). In particular, the proportion of MGB neurons with...
Figure 5. Conceptual explanation of the model. **a**, Graphical description of integration and adaptation computations producing intensity gain control. Time-varying sound level $s(t)$ is convolved with the causal integration window $w_I(t)$ to obtain $r_I(t)$, the integrated stimulus input. Then, a time-varying gain function $g(t)$ is computed using a simple version of the standard normalization equation (Carandini and Heeger, 2012), with convolution of $r_I(t)$ and the causal adaptation window $w_A(t)$ in the denominator. This adaptive gain $g(t)$ is multiplied time point by time point with the integrated stimulus input $r_I(t)$ to obtain the integrated and adapted function $r_{IA}(t)$, incorporating intensity gain control. **b**, Diagram of the full two-channel model. The time-varying sound level forms the input to an intensity gain control process as outlined in **a**. In the onset-sensitive channel (ch1), intensity gain control computations are followed by a delay, then thresholding, then weighting before summation with channel 2 output. In the offset-sensitive channel (ch2), intensity gain-control computations are followed by inversion and a longer delay than in ch1; the weighting of ch2 after thresholding is also reduced relative to that of ch1. Model output is the sum of the weighted activity in the two channels. All plots of channel activity and model output show activity relative to that produced by extended “silence” (simulated as very low-level noise). For simulations shown in Figures 6 and 7, “nontopic” model parameters were as follows: integration $\tau_I = 6$ ms, adaptation $\tau_A = 10$ ms; onset-sensitive channel delay = 5 ms, weight = 1.0; offset-sensitive channel delay = 13 ms, weight = 0.5. “Ectopic” model parameters were identical, except that the weighting of the offset-sensitive channel was reduced to 0.25.
Figure 6. A simple phenomenological model of central auditory processing can reproduce both similarities and differences between nonectopic and ectopic animals in the temporal features of auditory thalamic responses. Parameters for “nonectopic” (blue) and “ectopic” (red) models were identical, except that the weighting of the offset-sensitive channel was reduced in the “ectopic” model (for details, see Fig. 5 and Materials and Methods). \(a–d\), Model outputs for simulated stimuli (left column) and ventral MGB population PSTHs to acoustic stimuli (right; conventions as in Fig. 4) are shown for the following: \(a\), onset of a 200 ms noise; \(b\), offset of a 200 ms noise; \(c\), 4 ms gap in noise; and \(d\), 20 ms gap in noise. \(e\), Left, Difference between peak “nonectopic” and “ectopic” model output after a gap in noise, as a function of gap duration. Right, Mean \(\pm\) SE of difference between peak nonectopic and ectopic ventral MGB population firing rates after a gap in noise, as a function of gap duration. Middle, Direct comparison of ordinate values from right and left plots. Each open circle represents a different non-zero gap duration. Dotted line indicates least-squares fit. Results of Pearson’s correlation test are shown. \(f\), Model output (left) and ventral MGB population PSTHs (right) for click train stimuli with 12.5 ms ICI. Conventions as in \(a–d\). Model output is in arbitrary units and is baseline-subtracted to show differences from model output in “silence” (simulated as very low-level, 10 dB SPL noise).
an “On–off” response profile was significantly lower in ectopic than nonectopic mice (Fisher’s exact test, $p < 5 \times 10^{-7}$); and conversely, the proportion of neurons with a “Build–up” response profile was higher ($p < 1 \times 10^{-5}$). Like the deficit in thalamic sensitivity to brief gaps in noise, the deficit in the proportion of neurons with an “On–off” response profile was significant in the ventral and dorsal MGB subdivisions individually ($p < 0.001$ for both), but not in the medial MGB subdivision ($p > 0.1$). We also noted that there were very few cells with a pure “Off only” response profile (i.e., transient response only to noise offset), in either ectopic or nonectopic animals. Thus, this categorization analysis demonstrated that thalamic neurons sensitive to noise offsets also tended to respond to noise onsets; and that, compared with nonectopic animals, ectopic mice had fewer ventral and dorsal MGB neurons with “On–off” response profiles (and more with “Build–up” response profiles).
One limitation of this categorization analysis was that prominent temporal features of the responses to noise onsets (e.g., “Pauser”-type responses) could override weak responses to noise offsets when cells were assigned to their most representative temporal profile category (e.g., Fig. 8b). To determine whether offset responses were less common in ectopic than nonectopic animals across all temporal response profiles, we devised an automated method for detecting significant responses to noise offsets (see Materials and Methods). We also used a similar method to detect noise-onset responses, to compare the strength and incidence of onset and offset responses to noise, independent of other aspects of the temporal response profile.
This automated analysis confirmed that offset-responsive thalamic neurons were rarer in ectopic than nonectopic mice and that most offset-responsive cells were also onset-responsive. In the MGB overall, 26% of neurons recorded in ectopic mice were significantly offset-responsive, compared with 35% of neurons in nonectopic mice (Table 1); the vast majority of these offset-responsive cells were also onset-responsive (98% in ectopic mice, 97% in nonectopic mice; Table 1). The difference between ectopic and nonectopic animals in the percentage of offset-responsive cells was significant (Fisher’s exact test, $p < 0.005$) and was not a consequence of reduced thalamic responsiveness overall because percentages of onset-responsive cells were comparable in ectopic and nonectopic animals (97% in both). Similar results were obtained in the ventral MGB subdivision alone (25% offset-responsive cells in ectopic animals vs 36% in nonectopic animals, $p < 0.01$). A consistent but not significant tendency toward reduced numbers of offset-responsive cells was also evident in the dorsal MGB subdivision (33% offset-responsive cells in ectopic mice vs 45% in nonectopic mice, $p = 0.15$), whereas in the medial MGB subdivision, there was little difference between ectopic and nonectopic animals (Table 1).
Thus, compared with nonectopic mice, ectopic mice had fewer offset-responsive cells in the ventral MGB, with perhaps a weakly similar tendency in the dorsal MGB but no apparent abnormality in the medial MGB. Analyzing offset-responsive cells alone, we found no significant differences between ectopic and nonectopic mice in either the firing rate or the response probability of noise-offset responses, either in the MGB overall or in any individual subdivisions (Wilcoxon rank-sum tests for differences in medians, all $p > 0.1$; Kolmogorov–Smirnov tests for differences in distributions, all $p \geq 0.1$). Therefore, we conclude that noise-offset responses in the auditory thalamus of ectopic mice were not grossly abnormal, but there was a thalamic-subdivision-specific deficit in the proportion of cells with offset responses. Moreover, we note that the pattern of subdivision specificity for this offset-response deficit mirrored that of the neural gap-detection deficit, suggesting that reduced noise-offset sensitivity could account for abnormally high neural gap-detection thresholds in ectopic mice.
**Offset-responsive cells are exceptionally sensitive to brief gaps in noise in nonectopic but not ectopic mice**
The preceding experimental and modeling results all point to the same conclusion: abnormally weak thalamic sensitivity to brief gaps in noise in ectopic BXSB/MpJ-Yaa mice arises primarily from reduced central auditory activity following sound offsets.
To test this idea directly, we compared neural gap-detection thresholds between MGB neurons with significant offset (and usually also onset; see Table 1) responses to a 250 ms broadband noise, and MGB neurons with significant onset but not offset responses to that noise. Figure 9a illustrates the estimation of the neural gap-detection threshold for two offset-responsive cells, both of which would fall into the “off” category in Figure 9b–e. As demonstrated by these two examples and also by the on-off example neuron shown in Figure 1b, responses to the offset of the first noise burst in a gap-in-noise stimulus typically could not be distinguished from responses to the onset of the second noise burst for gap durations of $\leq 10$ ms. Indeed, peak latencies of noise-offset responses typically exceeded 20 ms in both ectopic and nonectopic mice, whereas peak latencies of noise-onset responses were closer to 10 ms (e.g., in ventral MGB: median [5%–95% CI] latency to peak noise-offset response in offset-responsive cells, 26 [12–48.8] ms for ectopic and 25 [13–44] ms for nonectopic animals; latency to peak noise-onset response in onset-responsive cells, 11 [7–22.6] ms for ectopic and 11 [8–20.3] ms for nonectopic animals). Thus, our method for defining the neural gap-detection threshold, as the minimum gap duration followed by a significant change in firing rate, was appropriate for the majority of offset-responsive as well as onset-
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**Table 1. Numbers and percentages of significantly offset-responsive or onset-responsive neurons in auditory thalamus of ectopic and nonectopic mice**
| | Offset-responsive/onset-responsive | Nonectopic mice | Ectopic mice | Fisher’s test $p^b$ |
|----------------------|-----------------------------------|-----------------|--------------|---------------------|
| All MGB | Offset-responsive | 183/522 (35%) | 113/427 (26%)| 0.0048 |
| | Onset-responsive | 504/522 (97%) | 414/427 (97%)| 0.85 |
| | Onset-responsive | 178/183 (97%) | 111/113 (98%)| 0.71 |
| | among offset-responsive | | | |
| Ventral MGB | Offset-responsive | 112/314 (36%) | 62/248 (25%) | 0.0077 |
| | Onset-responsive | 304/314 (97%) | 237/248 (96%)| 0.50 |
| | Onset-responsive | 107/112 (96%) | 61/62 (98%) | 0.42 |
| | among offset-responsive | | | |
| Dorsal MGB | Offset-responsive | 45/101 (45%) | 23/69 (33%) | 0.15 |
| | Onset-responsive | 96/101 (95%) | 68/69 (99%) | 0.40 |
| | Onset-responsive | 45/45 (100%) | 22/23 (96%) | 0.34 |
| | among offset-responsive | | | |
| Medial MGB | Offset-responsive | 20/81 (25%) | 22/101 (22%) | 0.72 |
| | Onset-responsive | 79/81 (98%) | 101/102 (99%)| 0.58 |
| | Onset-responsive | 20/20 (100%) | 22/22 (100%) | 1.00 |
| | among offset-responsive | | | |
*a* The vast majority of offset-responsive neurons were also onset-responsive (96%–100% in all the table groups).
*b* Probability of the observed results under the null hypothesis that the proportion of responsive cells is no different in ectopic and nonectopic animals (Fisher’s exact test).
responsive neurons. As explained in Materials and Methods, we also corrected neural gap-detection threshold estimates where necessary by visual inspection of responses across gap durations while blinded to the ectopic or nonectopic status of the animal.
This analysis of neural gap-detection thresholds revealed that, in nonectopic animals, offset-responsive cells displayed very high sensitivity to brief gaps in noise. Neural gap-detection thresholds in nonectopic mice were significantly shorter for offset-responsive cells than for cells that were onset-but-not-offset-responsive, both in the MGB overall (Fig. 9b; Wilcoxon rank-sum test, cyan vs dark blue, $p < 0.005$) and in the ventral MGB alone (Fig. 9c–e; ventral MGB, $p < 0.005$; dorsal MGB, $p = 0.14$; medial MGB, $p = 0.61$). In contrast, in ectopic mice, there were no significant differences in neural gap-detection thresholds between offset-responsive and onset-but-not-offset-responsive cells, either in MGB overall (Fig. 9b, magenta vs dark red; $p = 0.87$) or in any of the individual subdivisions (Fig. 9c–e; all $p > 0.4$). Similar results were obtained from Kolmogorov–Smirnov tests for differences in distributions in MGB overall (off vs on-not-off: nonectopic mice, $p < 0.005$; ectopic mice, $p = 0.7$; differences not significant in individual subdivisions).
These findings indicate that (1) in nonectopic mice, offset-responsive cells are significantly more sensitive to very brief gaps in noise than onset-but-not-offset-responsive cells; and (2) in ectopic mice, the high gap-in-noise sensitivity of the offset-responsive neural population is greatly diminished. The results therefore suggest that abnormalities in offset-responsive cells contribute disproportionately to the thalamic deficit in gap-in-noise sensitivity observed in ectopic mice. However, it should
**Figure 9.** Deficit in thalamic sensitivity to brief gaps in noise in ectopic mice reflects loss of exceptional gap-in-noise sensitivity of offset-responsive cells. **a**, Examples of neural gap-detection threshold determination for two “off” cells: a rare offset-responsive cell with no onset response (left) and the more common occurrence of an offset-responsive cell, which also had an onset response (right). Conventions as in Figure 1b. **b**, Cumulative distributions of neural gap-detection thresholds for offset-responsive cells in nonectopic mice (cyan), onset-but-not-offset-responsive cells in nonectopic mice (dark blue), offset-responsive cells in ectopic mice (magenta), and onset-but-not-offset-responsive cells in ectopic mice (dark red). Solid lines with error bars indicate mean ± SE across animals. Dotted gray lines indicate median values. $n$, total number of neural recordings across animals. **c–e**, Same analysis for neurons recorded in ventral MGB (**c**), dorsal MGB (**d**), and medial MGB (**e**). For statistical results of subgroup comparisons, see text.
also be noted the deficit was not exclusively restricted to offset-responsive cells. In both the MGB overall and the ventral MGB subdivision individually, neural gap-detection thresholds were significantly longer in ectopic than nonectopic mice for both offset-responsive and onset-but-not-offset-responsive cells (Fig. 9b–e; Wilcoxon rank-sum tests, ectopic vs nonectopic mice: offset-responsive cells, all MGB $p < 3 \times 10^{-7}$, ventral MGB $p < 4 \times 10^{-8}$, dorsal MGB $p = 0.08$, medial MGB $p = 0.55$; onset-but-not-offset-responsive cells, all MGB $p < 3 \times 10^{-5}$, ventral MGB $p < 3 \times 10^{-6}$, dorsal MGB $p = 0.64$, medial MGB $p = 0.23$; similar results obtained from Kolmogorov–Smirnov tests for differences in distributions). Interestingly, in cells with a “Build-up” response profile as determined by manual categorization of PSTH shapes (which typically corresponded to a subset of the “on-not-off” cells identified by automated detection of onset and offset responses), neural gap-detection thresholds were not significantly different between ectopic and nonectopic animals (Wilcoxon rank-sum tests, MGB overall $p = 0.03$, individual subdivisions all $p > 0.09$; Kolmogorov–Smirnov tests, MGB overall and individual subdivisions all $p > 0.05$). However, there was still a weak trend among “Build-up” cells toward longer neural gap-detection thresholds in ectopic than nonectopic mice, and our sample sizes for this response profile were too limited (Fig. 8) to allow us to draw strong conclusions about the presence or absence of a neural gap-detection deficit in these cells.
**Abnormal tone-offset response characteristics in ectopic mice**
The previous results show both that the proportion of offset-responsive thalamic cells is abnormally low in ectopic relative to nonectopic mice and that the sensitivity of offset-responsive cells to brief gaps in noise is abnormally poor. We wondered whether responses of thalamic neurons to tone offsets were also abnormal in ectopic animals, and in particular, whether previously identified characteristics of tone-offset responses in the auditory forebrain differed between ectopic and nonectopic animals.
Previous studies in other rodent species have shown that tone-offset responses are often tuned to higher sound frequencies than tone-onset responses, in auditory thalamic and cortical neurons that exhibit both onset and offset responses to tones (He, 2001; Scholl et al., 2010). We estimated frequency tuning of tone-onset and tone-offset responses for the neurons in our dataset with clear onset and offset responses to tones, as determined by inspection of tone-evoked PSTHs and frequency-intensity response areas (examples, Fig. 10a). A total of 99 MGB cells from nonectopic mice and 45 from ectopic mice demonstrated clearly tuned responses to both tone onsets and tone offsets; of these, 50 nonectopic and 17 ectopic recordings were from ventral MGB.
In nonectopic mice as in other rodent species, tone-offset responses of auditory thalamic neurons were tuned to significantly higher sound frequencies than tone-onset responses (Fig. 10b; one-tailed sign tests, $p < 5 \times 10^{-6}$ in both MGB overall and ventral MGB alone). However, in ectopic mice, tone-offset CFs were not consistently or significantly higher than tone-onset CFs; there was a trend evident in MGB overall (sign test, $p = 0.03$) but no significant effect in the ventral MGB alone ($p = 0.5$). Because the power of our statistical test to detect differences between tone-offset and tone-onset CFs was lower for ectopic than nonectopic animals (due to the smaller number of cells in ectopic mice with both offset and onset responses to tones), we investigated this apparent abnormality more closely through direct comparisons between ectopic and nonectopic animals. We quantified onset-offset tuning asymmetry for each cell as the octave difference between tone-offset and tone-onset CFs (i.e., $\log_2\left(\frac{CF_{\text{off}}}{CF_{\text{on}}}\right)$) and found that tuning asymmetry was indeed significantly weaker in ectopic than nonectopic animals (Fig. 10c; Wilcoxon rank-sum tests, $p < 0.01$ both in MGB overall and in ventral MGB alone). Therefore, a defining characteristic of tone-offset responses in the auditory thalamus, higher frequency tuning for tone-offset than tone-onset responses, was clearly apparent in nonectopic mice but abnormally weak in ectopic mice.
Moreover, the weak onset-offset tuning asymmetry in ectopic animals appeared to arise specifically from abnormalities in the frefrequency tuning of tone-offset responses. Although tone-onset response tuning was statistically indistinguishable in ectopic and nonectopic animals (Fig. 10d; Wilcoxon rank-sum tests on tone-onset CFs, $p > 0.1$ for both MGB overall and ventral MGB alone), tone-offset responses were tuned to significantly lower sound frequencies in ectopic than nonectopic animals (Fig. 10e; Wilcoxon rank-sum tests on tone-offset CFs, $p < 0.0005$ in MGB overall, trend at $p = 0.014$ in ventral MGB alone). Therefore, compared with nonectopic mice, ectopic mice have abnormalities not only in the proportion of offset-responsive thalamic cells (Table 1) and the sensitivity of those cells to brief gaps in noise (Fig. 9), but also in the frequency tuning of offset responses (Fig. 10).
**Controls for effects of anesthesia**
In principle, it is possible that the incidence of offset responses might have been reduced by our use of urethane anesthesia and that physiological differences we observed between ectopic and nonectopic mice might have arisen from differing sensitivity to anesthesia. In fact, however, the proportions of offset-responsive cells we observed in auditory thalamus of nonectopic animals were similar to or larger than those reported in most previous studies of offset-responsive cells in the auditory forebrain (Volkov and Galazjuk, 1991; He, 2001), including in awake guinea pig thalamus (Edeline et al., 1999) and awake monkey auditory cortex (Recanzone, 2000). Moreover, internal controls provided by the experimental results themselves argue against the possibility that differences in susceptibility to anesthesia could explain the differences in offset-response incidence between ectopic and nonectopic animals. The physiological deficits in ectopic mice were not only specific to particular auditory thalamic subdivisions (i.e., ventral and perhaps dorsal MGB but not medial MGB) but also specific to particular auditory stimuli (i.e., gap-in-noise stimuli, noise offsets, and clicks following noise). Also, we found no significant differences between ectopic and nonectopic mice in thalamic response properties that would be most expected to vary with depth of anesthesia, such as spontaneous firing rates, click response latencies, tone intensity thresholds, and responses to rapid click trains.
Furthermore, we found no significant differences between ectopic and nonectopic animals in various measures of susceptibility to anesthesia and analgesia. For example, there were no significant differences between ectopic and nonectopic mice in the amount of anesthesia or analgesia required to maintain stability during recording experiments (Wilcoxon rank-sum test on dosages administered blind to ectopic/nonectopic status, $p > 0.7$ for both urethane and buprenorphine). There were also no significant differences between ectopic and nonectopic mice in total survival time under anesthesia (Wilcoxon rank-sum test, $p > 0.4$). Finally, physiological response properties appeared to be similarly stable under anesthesia in both ectopic and nonectopic animals; for example, there were no significant differences in neural gap-detection thresholds measured at the first two and last two recording sites of each experiment in either ectopic or nonectopic mice (Wilcoxon rank-sum tests, $p > 0.3$ for both ectopic and nonectopic mice). We conclude that the observed physiological differences between nonectopic and ectopic animals are unlikely to have arisen from differing sensitivity to anesthesia.
**Discussion**
Here we have shown that ectopic BXSB/MpJ-Yaa mice have a stimulus-specific, pathway-specific deficit in auditory processing that affects auditory thalamic representations of brief gaps in noise. This deficit does not appear to arise from a peripheral auditory problem, from a general deficit in central auditory temporal acuity, or from abnormalities in central auditory responses to noise onsets or prolonged noise. Rather, the key abnormality is reduced central auditory activity following noise offsets. This abnormality alone can account for both the stimulus specificity and the subdivision specificity of the thalamic deficits observed in ectopic animals. Moreover, data from both ectopic and nonectopic mice can be replicated by a novel phenomenological model of central auditory processing of temporal variations in sound intensity incorporating dissociable sound-onset-sensitive and sound-offset-sensitive channels. Differences in thalamic population activity between ectopic and nonectopic animals are captured by only one parameter change in this model: a reduction in the weighting of the sound-offset-sensitive channel. The model therefore provides a proof of concept that a specific deficit in central auditory sensitivity to sound offsets could be the neural mechanism underlying the thalamic abnormalities observed in ectopic mice.
In ectopic mice, we find that reduced thalamic population activity following sound offsets arises from a reduction in the proportion of offset-responsive cells. Moreover, the response characteristics of the offset-responsive cells in ectopic animals are abnormal, with reduced sensitivity to very brief gaps in noise and abnormal frequency tuning of offset responses relative to onset responses. Intriguingly, in nonectopic (i.e., control) mice, offset-responsive cells are more sensitive to very brief gaps in noise than onset-but-not-offset-responsive cells, but this exceptional temporal acuity of offset-responsive cells is lost in ectopic mice. All these abnormalities in ectopic mice are most pronounced in the lemniscal subdivision, ventral MGB, which also contains the largest proportion of offset-responsive neurons in nonectopic animals.
Previous studies have demonstrated that, in auditory cortex, changes in neural gap-detection thresholds of sound-onset-sensitive neurons parallel developmental or experience-related changes in behavioral gap-detection thresholds (Jiang et al., 2015; e.g., Zhao et al., 2015). Our results suggest that activity in offset-responsive neurons may be even more critical to auditory temporal acuity, particularly in the lemniscal thalamus. Moreover, the results indicate that auditory thalamic subdivisions in the mouse differ not only in temporal response properties such as latency, response reliability, and adaptation as previously described (Anderson et al., 2009; Anderson and Linden, 2011), but also in the prevalence of sound-offset responses.
**A specific deficit in central auditory activity following sound offsets**
In the visual system, an “on-off dichotomy” for visual processing has been recognized for decades: “on” and “off” processing channels emerge in the retina, are maintained into the visual thalamus, and are then integrated, interdigitated, and opposed in the visual cortex (Westheimer, 2007; Jin et al., 2008). In the auditory system, on the other hand, even the existence of an on-off dichotomy is a topic for debate. Most neurons in the central auditory system respond much more strongly to the onset of a sound than to its offset (Phillips et al., 2002); and accordingly, the majority of research on central auditory processing has focused on onset responses. However, recent research suggests that a dedicated “off” channel for auditory processing may emerge at the level of the auditory brainstem; cells in the superior paralaminar nucleus (SPN) have specialized cellular mechanisms for generating sound-offset responses (Kopp-Scheinflug et al., 2011). Offset-responsive neurons have also been observed in the cochlear nubut are more commonly reported in the ascending auditory pathway beyond the SPN, including the inferior colliculus (Fuzessery and Hall, 1999; Pérez-González et al., 2006; Kasai et al., 2012), the auditory thalamus (He, 2001, 2002, 2003), and the auditory cortex (Recanzone, 2000; Qin et al., 2007; Fishman and Steinschneider, 2009; Scholl et al., 2010). In the auditory thalamus, offset-responsive neurons have been reported to form segregated clusters (He, 2001), and in auditory cortical neurons, sound-onset and sound-offset responses appear to be driven by nonoverlapping sets of synapses (Scholl et al., 2010). Together, these findings support the existence of distinct onset-sensitive and offset-sensitive auditory processing channels (i.e., an on-off dichotomy in auditory processing).
The present work provides compelling new evidence for an on-off dichotomy in auditory processing, by demonstrating that abnormalities in auditory thalamic responses to sound onsets and offsets can be dissociated. The data also show that apparent deficits in central auditory temporal acuity, such as abnormally weak auditory thalamic responses to brief gaps in noise, can arise from deficits in auditory processing of sound offsets alone. More speculatively, because our results were obtained in a mouse model of neocortical ectopias that are also observed in humans with developmental disorders, the findings raise the possibility that specific deficits in brain sensitivity to sound offsets might underlie poorly understood auditory processing deficits in humans.
**Possible origins of the deficit and relation to ectopias**
The origin of the offset-response deficit in auditory thalamus of ectopic mice is presently unclear. Because the deficit is specific to offset-responsive thalamic cells, it may reflect an abnormality in a brainstem structure specialized for sound-offset detection, such as the SPN. The SPN sends a strong inhibitory projection to the inferior colliculus in the auditory midbrain (Kulesza and Berrebi, 2000; Saldaña et al., 2009), which then projects on to the auditory thalamus. If the inhibitory SPN projection innervates inhibitory cells in the inferior colliculus (Mellott et al., 2014), then SPN activity following sound offsets could disinhibit auditory thalamic neurons. Therefore, it is possible that the offset-response deficit observed in auditory thalamus of ectopic mice originates from an abnormality in the SPN or its projections to the inferior colliculus. However, the SPN also projects directly to the MGB, and particularly to the medial MGB (Schofield et al., 2014), which did not respond abnormally to either sound offsets or brief gaps in noise in ectopic animals. Thus, if the thalamic offset-response deficit arises within the ascending auditory pathway, it seems more likely to reflect an abnormality in the midbrain or in the thalamus itself than in the SPN.
Alternatively (or additionally), the offset-response deficit in auditory thalamus of ectopic mice might arise through descending cortical feedback. Responses to sound offsets are prominent in the auditory cortex (Recanzone, 2000; Qin et al., 2007; Fishman and Steinschneider, 2009; Scholl et al., 2010), and the cortex sends strong descending connections to the thalamus, including feedback from primary auditory cortex to the ventral MGB subdivision (Winer, 2006). Moreover, previous studies indicate that behavioral ability to detect brief gaps in noise is impaired by cortical lesions (Ison et al., 1991) and modulated by cortical activity (Weible et al., 2014). Therefore, it is possible that offset-response deficits (and gap-in-noise response deficits) in auditory thalamus of ectopic mice might arise from abnormalities in auditory cortical activity, propagated to the thalamus via corticothalamic projections. Partial support for this hypothesis comes from reports that sound-offset responses in the auditory thalamus can be facilitated by local cortical activation, whereas sound-onset responses are often suppressed (He, 2003). However, as this previous work itself illustrates, it is unclear how intracortical changes could alter corticothalamic feedback to produce a specific deficit in thalamic responses to sound offsets without also affecting thalamic responses to sound onsets.
The relationship between cortical ectopias and offset-response deficits in BXSB/Mpj-Yaa mice is another open question. There are two obvious possibilities: either the ectopias in frontal cortex somehow cause the offset-response deficit in auditory thalamus or the two abnormalities are distinct consequences of a common underlying developmental cause. Ectopias (molecular layer heterotopias) are observed in many inbred mouse strains (Ramos et al., 2008), but it is primarily in BXSB/Mpj-Yaa mice that these microabnormalities have been linked with auditory processing deficits (Clark et al., 2000b; Frenkel et al., 2000; Peiffer et al., 2002). Our ectopic BXSB/Mpj-Yaa animals typically had a single ectopia, located in the motor cortex. Recent studies have documented a strong projection from the motor cortex to auditory cortex in mice (Nelson et al., 2013), which suppresses auditory cortical activity during movement (Schneider et al., 2014). It is therefore possible that ectopia-induced abnormalities in motor cortex activity might directly affect the development of auditory cortical circuitry, and that subsequent alteration in patterns of corticothalamic activity could disrupt development of sound-offset responses in the auditory thalamus. Indeed, other previous studies have already demonstrated that neocortical malformations outside of the auditory cortex can affect auditory thalamocortical development and auditory processing behavior: induced developmental malformations in somatosensory cortex, generated by brief application of a freezing probe to the parietal skull in neonatal rats, produce abnormalities in auditory thalamic morphology, auditory cortical physiology, and auditory processing behavior in adult animals (Fitch et al., 1994; Herman et al., 1997; Clark et al., 2000a; Peiffer et al., 2004; Escabi et al., 2007; Higgins et al., 2008). In animals with spontaneously arising neocortical malformations, including BXSB/Mpj-Yaa mice, it is also possible that the neuronal migration abnormalities affecting cortical development may additionally and separately affect development and function of brainstem structures early in the auditory pathway (Truong et al., 2015). Further experiments are clearly necessary to explore these possibilities.
**Potential implications for humans**
An estimated 2%–3% of children have listening difficulties with otherwise normal hearing (Chermak and Musiek, 1997), but there is debate about whether this problem arises from specific developmental abnormalities in the central auditory pathway (Cacace and McFarland, 2005; ASHA, 2005; Dillon et al., 2012), or from more general attentional, cognitive, or language difficulties common to many brain disorders (Dawes and Bishop, 2009; Moore et al., 2013). Our results in ectopic and nonectopic BXSB/Mpj-Yaa mice provide neurophysiological support for the idea that developmental disruption can produce specific abnormalities in central auditory processing. The results also suggest that gap-detection deficits may reflect specific impairment of a sound-offset-sensitive auditory processing channel.
Both experimental data and mathematical modeling suggest that the auditory brain abnormality underlying gap-detection deficits in ectopic BXSB/Mpj-Yaa mice is best described as a weakening of a central auditory processing channel that is activated following sound offsets. In humans, such a subtle deficit would not be detected by standard clinical measures of hearing sensitivity that focus on measuring thresholds for detection of sound onsets. However, a deficit in sound-offset sensitivity could nevertheless impair listening ability under circumstances in which perceiving sound offsets may be as important as perceiving sound onsets (e.g., when listening to speech in noisy environments) (Hopkins and Moore, 2009).
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Young ED, Brownell WE (1976) Responses to tones and noise of single cells in dorsal cochlear nucleus of unanesthetized cats. J Neurophysiol 39:282–300. Medline
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Let's Talk Plants!
Newsletter of the San Diego Horticultural Society
February 2014, Number 233
The Wild World of Succulents
SEE PAGE 1
SEXY AVOCADOS
PAGE 5
SAY IT WITH FLOWERS
PAGE 6
SPRING HOME/GARDEN SHOW
PAGE 8
SPRING GARDEN TOUR
PAGE 10
On the Cover: Endangered Baobab trees in Madagascar
SDHS OUR 20TH YEAR!
San Diego County Orchid Society
Presents
A Symphony of Orchids
Orchid Show & Sale
March 21 -23, 2014
Friday: 3pm – 7pm
Saturday: 9am – 6pm
Sunday: 10am – 4pm
Admission: $7
Weekend pass: $10
Children under 12: Free
Parking: Free
Scottish Rite Center
1895 Camino Del Rio South
San Diego, CA 92108
Information:
www.sdorchids.com
Contact: (760) 529-2947
CALL FOR ENTRIES
GARDENS OF THE YEAR
Enter our free contest for a chance to have your beautifully landscaped home featured in our magazine.
Deadline May 5, 2014
For more information and entry forms, go to sandiegohomegarden.com
GREEN THUMB
SUPER GARDEN CENTERS
1019 W. San Marcos Blvd. • 760-744-3822
(Off the 78 Fwy. near Via Vera Cruz)
• CALIFORNIA NURSERY PROFESSIONALS ON STAFF
• HOME OF THE NURSERY EXPERTS • GROWER DIRECT
www.supergarden.com
Now on Facebook
WITH THIS VALUABLE Coupon
$10.00 OFF
Any Purchase of $60.00 or More!
• Must present printed coupons to cashier at time of purchase
• Not valid with any sale items or with other coupons or offers
• Offer expires 2/28/2014 at 6 p.m. or while supplies last
• Not valid with previous purchases • Limit 1 coupon per household
• Coupon expires 2/28/2014 at 6 p.m.
SUSTAINABLE TURF & LANDSCAPE Seminar
Thursday, March 6, 2014
**5 hours of DPR-CEU's have been applied for**
Nancy Wickus
Senior Biologist
County of San Diego
Kara Roskop-Waters
Senior Biologist
County of San Diego
Luke Yoder
Head Groundskeeper: Petco Park
Kimberly Gard
Syngenta Corporation
David Phipps
Golf Course Superintendents Association of America
Dr. Joe Vargas
Plant Pathology Professor
Michigan State University
$65.00 registration includes:
• Seminar and Trade Show
• Continental Breakfast and Lunch
Register today on the Ornamental Horticulture web site (cuyamaca.edu/ohweb)
For more information call O.H. Program Coordinator Don Schultz 619-660-4023
March 6, 2014 at the Performing Arts Theatre
Cuyamaca College, 900 Rancho San Diego Pkwy, El Cajon, CA 92019
Cuyamaca College Ornamental Horticulture
Five reasons to study horticulture at Cuyamaca.
- Largest horticulture facility in Southern California.
- Renowned instructional staff of landscape professionals.
- $26,000 in scholarships to OH students last year.
- Many on-site paid internships available.
- Eight different degree and certificate programs available.
(Arboriculture, Turf Management, Landscape Design, Landscape Technology, Nursery Technology, Floral Design, Irrigation Technology and Sustainable Urban Landscape)
Two of our rewarding and valuable Horticulture degree programs
ARBORICULTURE
Our Arboriculture degree or certificate will give you the knowledge and skills to become an ISA Certified Arborist and ISA Certified Tree Worker. Enjoy a great career as a professional arborist.
TURF MANAGEMENT
Learn about Turf Management from Nick Spardy, one of the best turf experts around. Enjoy a challenging and rewarding career working as a turf professional at golf courses, sports fields landscape sites.
For more information go to cuyamaca.edu/ohweb
Celebrating Community Farms & Gardens • 1994-2014
SPRING Garden Festival
Saturday May 3
9 am to 4 pm
Largest Plant Sale of the Year!
I Want to Grow That
Plant Food • Amendments & Mulch • Seed & Sod • Veggie & Flower Packs • Garden Tools
• Rainwater Harvesting • Irrigation
ENJOY TIME WITH YOUR FAMILY!
UPCOMING WORKSHOPS
PLANTING SPRING VEGGIES
10:00AM-12:00PM
Farmer Roy will help you grow an abundance of fresh veggies this spring. Learn the best soils to use, planting care, feeding, maintenance and more.
STEVE GOTO - GOTOMANIA
10:00AM-12:00PM
Learn from Growing Expert Steve Goto. Learn about the top tomato picks, benefits of soil optimizer, trellis use with tomatoes, diseases, pests, grafted tomato picks and much more!
www.granettos.com/events
Planting Spring Veggies
Escondido March 1
Encinitas March 8
Fallbrook March 29
Valley Center April 5
Steve Goto-Gotomania
Escondido March 22
ESCONDIDO
1105 W. Mission Ave
760-745-4671
ENCINITAS
189 S. Rancho Santa Fe
760-944-5777
VALLEY CENTER
29219 Juba Road
760-749-1828
FALLBROOK
530 E. Alvarado St.
760-728-6127
Register Today!
Create a Family Project
Grow Your Own Healthy Vegetables
www.granettosgardenclub.com
Gardening information delivered to your inbox! Best of all it’s FREE
JOIN TODAY!!
www.granettosgardenclub.com
Winter Cactus and Succulent Show and Sale
Presented by
The San Diego Cactus and Succulent Society
February 8, 2014
10:00 am to 4:00 pm
Room 101 and Adjacent Patio Area
Casa del Prado
Balboa Park, San Diego
Strange and exotic plants from the far corners of the world gathered together for your viewing amazement!!
Sale of choice specimen plants for the novice and collector as well as handmade stoneware planters and pots!!
Members only shopping from 9 to 10
For additional information visit: www.sdcss.net
Payments now accepted on-line
Next Meeting: February 10, 2014, 6:00 – 8:30 PM
Speaker: Kelly Griffin on The Wild World of Succulents:
Out of the Wild and Into Gardens
Meeting is open and everyone is welcome. Admission: Members/free, Non-Members/$15. Parking is free.
Meeting Place: Del Mar Fairgrounds, Surfside Race Place, Del Mar; Info: (619) 296-9215
This month we welcome Kelly Griffin, Manager of Succulent Plant Development for Altman Plants, which is the largest producer of succulents in the country. He is also co-owner of Xeric Growers, a wholesale and mail-order succulent nursery. Kelly will present some of the strange, beautiful and wonderful plants (mostly succulent) that he has had the good fortune to see in his travels, sharing his passion to observe plants in the wild in order to understand how they grow, and under what conditions. He will give some insight into the plants and habitats that are not so well known.
Kelly’s inclination has been towards agaves, aloes and echeverias, but there are many more plants that have garnered his attention. He has introduced over 100 succulents and created many cultivars. Some of his aloe cultivars include ‘Christmas Carol’, ‘Coral Edge’, ‘Angelo’, ‘Pink Blush’ and ‘Grassy Lassie’. His variegated agaves include ‘Blue Glow’, ‘Sun Glow’, and Agave guiengola ‘Crema Brulee’. Kelly holds a degree in Applied Physics, but his love of plants led to horticulture as a career. Prior to his current position he was Curator of Xerophytes at Rancho Soledad Nursery, where he was responsible for finding and creating new and different plants that could be utilized in garden settings. He has travelled extensively worldwide documenting plants and collecting seeds for propagation.
For more information visit http://tinyurl.com/febkelly and see page 3. Some marvelous succulents have been donated by Oasis Water Efficient Gardens for a Silent Auction, and they have also provided discount coupons for all attendees!
Everett Mehner (1928 – 2013)
We are sad to report the passing of longtime member Everett Mehner, who died in December. Everett volunteered to help at our meetings in 2006, serving as the projectionist if the person who ran the projector couldn’t attend. He also videotaped our speakers from 2006 to early 2011, providing an important resource for our organization. These were both very important tasks necessary to the smooth running of our meetings, and he was a reliable and much-appreciated volunteer. Everett was involved in many local non-profits, and you can learn more about this fine man at http://tinyurl.com/febmehner. He will be missed and remembered fondly.
Volunteers Needed
Spring Home Garden Show – Come Help SDHS and Have Fun!
This year’s Spring Home/Garden Show takes place on the weekend of February 28 to March 2 at the fairgrounds in Del Mar. Can you help staff our table? It’s an enjoyable few hours talking to folks about SDHS and signing up new members. Contact Volunteer Coordinator Patty Berg at firstname.lastname@example.org or call 760-815-0625.
Spring Garden Tour Volunteers
Can you lend a hand on April 5th in Olivenhain or Solana Beach? Nine fabulous gardens will be featured on this year’s “Surf & Turf” Tour (see page 10). We’ll have dozens of assignments for ticket sales, garden docents, parking guides and more. Sign up early and you may be able to select your assignment. Enjoy a special preview tour just for volunteers in the preceding week. Contact Volunteer Coordinator Patty Berg at 760-815-0625 or email@example.com.
Board Opening: Garden Tour Co-Chair for 2015
We’re already in the early planning stages for the 2015 Spring Garden Tour; even though the current year’s event is still a few months away. That’s because 2015 marks the Centennial Celebration at Balboa Park and we’ll be featuring gardens in that area. If you love gardens and have strong organizational skills, consider co-chairing this exciting event. Tasks include identifying the tour area; scheduling the tour date; finding and reviewing tour gardens; and working with homeowners, sponsor(s), and vendors. You’ll work with and supervise other volunteers who staff the gardens, create publicity materials, and sell tickets. Requires familiarity with email. Contact Jim Bishop at firstname.lastname@example.org.
Coordinate Free Workshops
Our free monthly workshops have been a big hit, and we’re looking for a member to take over as head of the 6-person committee that organizes them. As coordinator, you’ll work with the committee members to schedule workshops and enter the details into our website, etc. This should only take a few hours a month. To discuss the details of this fun task, please contact Susi Torre-Bueno at (760) 295-2173.
Fruit tree pruning workshop taught by Patty Berg
San Diego Horticultural Society
Balboa Park Fundraising
As you know, as part of the 2015 Balboa Park Centennial Celebration, the San Diego Horticultural Society is undertaking a major, multi-year project to restore the Balboa Park Lily Pond Gardens. Our restoration will incorporate sustainable, climate appropriate plant varieties introduced in the last 100 years, and honor the original horticulturist of Balboa Park, Kate Sessions, with the theme: “What would Kate do today?”
Our design team is busy at work on plans for the Lily Pond Gardens, and our fundraising efforts have begun (see page 6). We are grateful to the many donations we received in December and January, but we still have a long way to go. We need to raise around $1000 per month to reach our goal for this year. You can donate directly via our website at: www.sdhort.org/Donate and also find instructions there for donating by mail.
The good news is we have a major new fundraising opportunity for the Balboa Park project. We have just completed negotiations with the Left Coast Fund on a matching grant program to support the Lily Pond restoration. The Left Coast Fund (http://leftcoastfund.org) provides financial support to select organizations seeking innovative, long-term solutions to problems in the fields of health, education and the environment. The Left Coast Fund is a strong supporter of Wildcoast (http://wildcoast.net), a San Diego-based international team that conserves coastal and marine ecosystems and wildlife. World-famous for their work in Baja protecting California Gray Whales and Condors, a number of Wildcoast’s projects are right here in the county, including Marine Protected Areas at Swami’s, South La Jolla, Pt Loma and the Tijuana River Valley mouth.
Wildcoast’s annual fundraising event, the Baja Bash, is scheduled for Saturday evening June 28 at the Coronado Cays Yacht Club. We have confirmed the following very special arrangement with the Left Coast Fund that allows our members and friends to support both Wildcoast and SDHS, and have fun at the same time: For every SDHS member (friends & family, too) who purchases a ticket ($85) and attends the Baja Bash (tickets are transferable if you cannot attend), the Left Coast Fund will donate $100 to the SDHS Lily Pond Restoration project, up to a maximum grant of $5000 to the Hort Society. Ticket sales are first-come, first-served, and the event is expected to sell out early.
This is a great opportunity to support two different organizations, and you can more than double your contribution and have a great time doing it. For more information, including how to buy tickets to the Baja Bash while supporting our Balboa Park Centennial project, visit our website: www.sdhort.org.
Spring Garden Tour
Tickets on sale now! Save $5 per ticket and skip the ticket line at the tour by purchasing advance tickets for the Spring Garden Tour online at www.sdhort.org. You can learn more about this year’s tour on our website and on page 10. Also, be sure and let your garden friends and people at other organizations you are involved with know about the tour. We think our tour is one of the best in county, and you won’t want to miss it. Again this year, to encourage carpooling, any vehicle with four or more tour participants will receive a free guest pass to one of our regular meetings! This year, profits from the tour go towards our restoration of the gardens in Balboa Park.
Also, you can volunteer to help sell tickets, check-in attendees and greet and direct people at the gardens. See page 2 for information on how to volunteer.
To Learn More...
Plant Hunters
By Ava Torre-Bueno
Plant hunting is and isn’t the same as it was 150 years ago. You have to go out in the field, you have to collect and bring back viable specimens, but you can now use GPS and a jeep to get around. Here’s an article about what’s needed to have a career as a plant hunter:
http://sciencecareers.sciencemag.org/career_magazine/previous_issues/articles/2012_03_30/caredit.a1200037
On the other hand, here’s a plant hunter who explains why he’d leave a plant in place without taking seed or fruit: www.pbs.org/wgbh/nova/flower/hinkley.html
Here’s a British banker who had a nervous breakdown, and was saved by returning to biology and becoming a plant hunter: www.telegraph.co.uk/gardening/plants/10459938/The-banker-who-became-a-plant-hunter.html
Some plant hunters are better than others. Most interestingly, this article concludes with the fact that 15% to 30% of plants in the world have not yet been ‘discovered’ by Western science!
www.wired.co.uk/news/archive/2012-02/01/great-plant-hunters
Member Ava Torre-Bueno is a psychotherapist in private practice and the organizer of Gardeners 4 Peace. This group of volunteers is helping to create a peaceful, organic, permaculture garden at the San Diego Friends Center. To learn more visit www.sandiegofriendscenter.org/volunteers.htm.
Pat Welsh is a professional horticulturalist and San Diego celebrity known from her segments on TV, six books, and entertaining talks. Her beloved first book—groundbreaking because of its delightful presentation and concentration on our region—now called *Pat Welsh’s Southern California Organic Gardening, Month by Month*, has been in print for over twenty years and is available at bookstores everywhere and Amazon.com.
Pat’s love of gardens was sown in Yorkshire, England, where she was born in 1929. She moved with her parents, Emerson and Ruth Fisher-Smith, and older brother John, to her grandparents’ estate, Hoyle Court, after financial loss took her parents’ home. Eventually the family moved to the south of England, where Emerson produced movies, resulting in further financial loss, but Hoyle Court had awakened Pat’s passion for gardening:
“Playing in those glorious gardens and others of my youth, surrounded by extraordinary beauty, building miniature moss gardens of my own under the rhododendrons, and watching Viney, the head gardener, fill clay pots with compost in his potting shed or watering flowers and tomatoes in the greenhouses, inoculated my brother John and me forever with the love of gardens and of garden tasks.”
After her parents’ divorce, Emerson moved to Hollywood to work in the movies. Her mother and stepfather, fashion photographer Geoff Morris, immigrated to the United States in 1936, leaving the children in England. Pat and her brothers followed in 1939. “Carl Jung once wrote that a child who is abandoned by his parents is often adopted by nature,” Pat says. “That’s what happened to me.” The family moved to a farm in Pennsylvania, and as she says, “Our manure spreader, in constant use, resulted in an extremely productive all-organic family farm.”
Eventually the family moved to California, where Pat attended Hollywood High and Scripps College. She met her husband, Louis M. Welsh, a Los Angeles lawyer, on a blind date. They moved to San Diego, where he became a judge of the Superior Court, settled in Del Mar, and raised two daughters.
Pat’s philosophy of gardening has a touch of theater about it: “I advocate creating a garden of rooms, growing big drifts of drought resistant, easy-to-grow, but colorful plants, building pergolas and arbors, going ‘up in the air’ with vines and climbing roses, making paths lead to destinations, building two patios—one for summer and one for winter, using color schemes, and placing the swimming pool to one side, not bang smack in the middle of the backyard.”
Her knowledge about gardening is inspiring and earthy. When asked about common garden mistakes, she states: “The most common error a gardener can make is growing too many different things instead of choosing a few favorite, colorful and successful
---
**Book Review**
*Banana: The Fate of the Fruit That Changed the World*
By Dan Koeppel
Reviewed by Caroline McCullagh
When I first picked up this book, I was looking for information on how to salvage the one poor, non-productive banana plant that is struggling to live in my back yard. I didn’t get that, but I did get something more interesting. This is the history of the banana, primarily in the United States, and the facts are lurid enough to make you swear off bananas forever. You may not have to, however, because the bananas we eat may be about to disappear without a replacement.
As so many books do, this one starts with a chapter of “gee, wow” facts. Did you know that bananas are a berry and the banana plant is an herb? I didn’t. And it’s possible that the apple mentioned in Genesis was, in fact, a banana. Bananas originated in Asia, and are one of the oldest plants cultivated by humans. They’ve been part of our diet for more than seven thousand years.
There are more than a thousand types of bananas in the world, but few of them are edible, and therein lies the problem. The banana we eat, the Cavendish, has succumbed to an incurable virus in most of the world. It’s only a matter of time before that virus reaches the Americas. All the Cavendish bananas in the world are clones. They can only grow from cuttings. Remember those tiny black seeds in bananas. They’re not viable. Cavendish bananas reproduce only with the help of humans. Like American corn and soybeans, bananas are a monocrop. Any disease that will kill one will kill all.
Some of you may be old enough to remember the banana, named Gros Michel, that we ate before the Cavendish. They were almost completely wiped out by Panama disease after World War II. Now, the Cavendish, developed at the “last minute” and thought to be immune, is dying.
And that’s only half the story. The other half has to do with what has been done over the decades so that we can have cheap bananas on our tables and in our lunch boxes. For much of their history, bananas grown in Central and South America and shipped to North America have been cheaper than American-grown apples. How is that possible? Through worker exploitation, corruption of governments, and mass murder, when necessary. I said it is a lurid story, and it is, but it is also one that will fascinate you and make you think about a lot of things that you may not have thought about before. Dan Koeppel has definitely given us something to chew on.
*Banana* is available in paperback (ISBN 978-0-452-29008-2) for $16. It includes a timeline, a bibliography, and an index. I recommend it to you.
Trees, Please
A True & Sexy Avocado Story
By Robin Rivet
The kitchen was dark green with matching fridge, and there it was on a small plate: pitted and halved lengthwise, staring me in the face. Hours went by, and each time I tried a bite, it tasted more and more like swallowing green lard. Parents have such good intentions.
Hard to believe, but back then I despised avocados. I’m still amazed they’re considered a fruit. Not that it would have made any difference, since the taste and texture seemed so gross; but after all, I was only eight years old. Little did I know that one day we would tend five different avocado cultivars at home, with enough seasonal variation to supply a year-round harvest. Adulthood altered my palette to admire their silky texture, distinct mellow flavor and healthful qualities.
Avocados are evergreen, edible, stunning and large; just the sort of tree our region needs to mitigate looming climate change. Originating in southern Mexico, there are three distinct types: Mexican, Guatemalan and West Indian. If it freezes where you live, you’ll need to stick to the hardiest Mexican cultivars, although some avocado trees can survive temperatures down to about 19 degrees. High elevation varieties withstand colder temperatures, while the lowland types can be so tender they shrivel at the first sign of frost, although some grafts and hybrids moderate these tendencies.
So what about tree sex? During Pre-Columbian times the fruit was considered an aphrodisiac, and the word “avocado” evolved from the Aztec word “ahuacatl,” meaning “testicle,” ostensibly named for the shape of the fruit. In any case, avocado flowers are finicky about consummation. In fact, their needs are so complicated, that there are still mysteries about how avocado flowers are successfully pollinated. Ironically, although there are both male and female flowers on every tree, there are two different types, referred to as “A” and “B.” Believe it or not, A cultivar flowers (like Hass) open in the morning as females, and a day later they change into males by afternoon. B cultivars (like Fuerte) do the opposite; with the males getting up early and becoming female the next day in the afternoon. This discourages self-fertilization, but if you plant both A and B varieties in your backyard, you’ll ensure the best fruit production. With a little research, you too can have home-grown avocados all year; just don’t force the fruit on your kids.
Useful websites:
http://ucavo.ucr.edu/AvocadoVarieties/AvocadoVarieties.html
www.californiaavocado.com/fun-avocado-facts
www.crfg.org/pubs/ff/avocado.html
Member Robin Rivet is an ISA Certified Arborist, Tree Risk Assessor and UCCE Master Gardener; email@example.com
University of California Master Gardener Spring Seminar
Saturday, March 22, 2014
7:30am to 4:00pm
Registration Check-in Begins at 7:30
Hey, what are you doing on Saturday, March 22nd? Wanna spend the day with Nan Sterman, Debra Baldwin and Pat Welsh? How about Greg Rubin and Lucy Warren? Maybe you’d like to take a workshop on propagation or learn about South African bulbs from Jason Kubrick. Liz Youngflesh will teach you everything she knows about awesome Alstroemenias, and arborist attorney Randall Stamen will advise what you can and can’t do concerning your neighbor’s complaints about your beautiful trees. Come to the annual University of California Master Gardener Spring Seminar this year and meet a whole host of outstanding horticultural wizards.
We’ve combed the state and found the best of the best to entertain and enlighten your garden soul. We have 21 classes to choose from at the new County Operations Center in Kearny Mesa, one of the finest venues around. It looks and feels like a college campus. We’ll have important demonstrations on irrigation, composting, and a unique hassle-free in the ground method of vermiculture. Our fancy cafe will be open for a morning buffet and delicious offerings at lunch. And to top it all off, we’ve planned an enormous garden marketplace with a wide range of vendors. The San Diego Horticultural Society will be represented in our non-profit area of participants, along with the San Diego Water Authority. In the midst of all of this will be live music.
The focus of our seminar this year is water conservation, a serious concern that becomes more pressing with each season of drought. Yet, we Master Gardeners are an optimistic lot because we know from experience that abundant, appealing, and attractive gardens are possible when the appropriate water-thrifty plants are selected. This year we have speakers on native plants, succulents, water smart irrigation, drought tolerant plants from Australia, and rainwater harvesting. Indeed, all of our seminar speakers address this essential theme necessary for the success of the responsible SoCal home gardener. And don’t forget to stop by our literary tent to meet garden authors. When they aren’t in class they will be free to answer your questions and autograph your copy of their book.
You can register on-line at our website: www.mastergardenerSD.org, or mail in your registration. Our hotline will take any question you might have from 9 am to 3 pm weekdays at (858) 822-6910. If you call after hours, you can leave a message, or e-mail us at firstname.lastname@example.org. Parking is free and abundant. So mark your calendars now. That date again is Saturday, March 22nd. Classes tend to fill up rather quickly, so you’ll want to register as soon as possible.
Going Wild With Natives
Say it with Flowers
By Pat Pawlowski
As an Anna hummingbird suddenly appears, I think how beautiful it is; how its head and throat glisten ruby-red in the sunlight. I want to thank the little buzzer for just being there, hovering, sparkling, making my weeding and watering chores seem a lot less boring. But I can’t send it an email, can I? And I don’t speak Hummingbirdese, either.
So how can I, a garden geek if there ever was one, say how much I appreciate it?
I can say it with flowers, and not just ones that bloom for three seconds and then sink back, waiting for another whole year before they show their little flowery heads again. Instead, here is a list of long bloomers (and I don’t mean underwear).
But wait, while I’m at it, why not plant for butterflies and bennies too? Who, you might ask, is Benny, and what does he have to do with it? Actually, it’s bennies, short for beneficial insects. This garden geek, you see, is somewhat promiscuous. Little wings: the more the merrier, I say.
So, to wow wildlife, here’s a very incomplete list of some of my favorite long-blooming, nectar and pollen-producing native plants:
Alpine cleveland sage (*Salvia clevelandi* ‘Alpine’): Fragrant blue-green shrub offers sage advice and nectar to hummingbirds and butterflies.
Bladderpod (*Cleome isomeris*): Unlovely name for gray-green shrub with lovely bright yellow tubular flowers, attractive to hummingbirds; also host for Becker’s White butterfly.
California aster (*Aster chilensis*): Stubby perennial entices native bees and butterflies.
California buckwheat (*Eriogonum fasciculatum*): Gangly shrub with balls of small white flowers with pink (yes, pink!) pollen, favorite of many kinds of butterflies and bennies; also host plant for various hairstreak, blue, and metalmark butterfly species.
Desert willow (*Chilopsis linearis*): Deciduous willowy tree to sit under while hummers hum above your head.
Island bush snapdragon (*Glovezia speciosa*): Evergreen shrub with saucy tubes of lipstick red that lure hummers.
Narrowleaf milkweed (*Asclepias fascicularis*): Deciduous perennial with small white flowers and slender leaves that host the incomparable Monarch butterfly, plus offering nectar to other butterflies and bennies.
Seaside daisy (*Erigeron glaucus*): Perennial that draws bennies and petite butterflies.
Woolly blue curls (*Trichostema lanatum*): Fuzzy deep blue tubular flowers offer nectar for six whole months to hummers.
Two cousins of California natives are:
Chiapas sage (*Salvia chiapensis*): Evergreen; seemingly blooms forever. Hot pink flowers continuously visited by hummers, which seem to prefer it over many other sages.
Mexican tulip poppy (*Hunnemannia fumarifolia*): Floral cups of gleaming yellow; prodigious pollen producer visited by all kinds of bees.
Wild wings, how do I love thee? Let me count the ways… nah, forget it. Don’t try to say it yourself; let your flowering plants say it for you.
Member Pat Pawlowski is a writer/lecturer/garden consultant who obviously thinks flowers are pretty darn important. ☺
SDHS Fundraising For The Balboa Park Restoration Project
As described on pages 3 and 8, we are raising funds to restore the gardens adjacent to the lily pond in Balboa Park. Our goal is to raise $10,000 to help complete this pilot project in 2014. Visit www.sdhort.org for information about making donations. You can also donate at meetings and other events. Every contribution is very welcome, and helps us reach our goal. As of January 16th we have raised $1065.
Thank you to these generous donors:
**$200**
Bruce & Myra Cobbledick
**$100**
Ed Fitzgerald
(in memory of Eva Fitzgerald)
Bill Homyak and Meredith Sinclair
Wendy Nash
Princess Norman
Sam & Terri Seat
William & Linda Shaw
**$70**
Susan Morse
**$50**
Gleneva Belice
Fidelity Charitable
**$25**
Robert Foster
**$10 and above:**
Anonymous ($20)
Chuck Carroll
Cynthia Essary
Suzi Heap
Jane Morton
Cassidy Rowland
A new, non-profit horticultural organization has sprouted in San Diego! Tree San Diego is growing its mission to inspire and empower the people of San Diego County to value, plant and maintain a thriving community forest and tree canopy. It provides countywide education and advocacy to the public and professionals alike, highlighting the value of trees, emphasizing quality tree care and increasing plantings throughout the county. The Tree Steward program is the first public training activity of Tree San Diego.
Trees are disappearing throughout the county. Have you noticed this trend in your neighborhood? As a matter of fact, the City of San Diego has lost its Tree City USA designation from the Arbor Day Foundation! Tree loss is a travesty for sure, they do so much for us yet ask so little in return. They’re not just pretty things to look at and comfortable umbrellas to sit under. They have measurable benefits that can be translated into dollars and sense. Their shade reduces energy costs, the urban heat island effect, and water and heat stress of nearby plants. Their canopies improve air quality and reduce greenhouse gases. Evergreen tree canopies absorb rainwater and reduce storm water run-off, which in turn stabilizes slopes. They also improve our health, create wildlife habitat, provide open space, increase property values and business income and much, much more. Trees improve our quality of life.
Yet, with all they do for us, trees sometimes get a bad rap. Yes, they can lift pavement. Yes, branches do fall and cause damage and yes, they can interfere with solar panels, pools and more. But all of these “ills” can be avoided with proper tree selection, planting and maintenance. That’s why we are introducing Tree Steward training to the greater San Diego area and to the members of the Hort Society in particular!
You are invited to become a Tree Steward! Tree Stewards will serve as volunteers to advocate, plant and care for trees. Each volunteer will choose a level of involvement after the training which include options like
- assisting municipalities and private groups with Arbor Day and other tree planting events
- educating residents and businesses about tree care
- helping teachers with lessons about tree
- advocating for increasing tree canopy and improving tree care throughout the county or in their own neighborhoods.
Our Tree Steward program is modeled after successful programs in other cities, including Citizen Arborists of Los Angeles, Neighborhood Tree Stewards of Portland, and Citizen Foresters of Washington DC. Join us and help grow San Diego!
An initial one-day training will provide an overview of tree benefits, biology, identification, selection, planting, care, and advocacy for the community forest. Three identical sessions will be offered on different dates and in different parts of the county, each from 8:30 to 3:00 (attend only one):
- Friday, February 21 at the Water Conservation Garden in El Cajon
- Saturday, March 8 at the Girl Scout Program Center at the north edge of Balboa Park
- Sunday, March 23 at San Diego Botanic Garden in Encinitas
Register at http://www.eventbrite.com/e/tree-steward-training-tickets-10028799409. A $25 fee includes snacks, beverages, the San Diego Tree Steward’s Handbook and the beautifully photographed, hardbound tree identification/picture book, Ornamental Trees for Mediterranean Climates: The Trees of San Diego. The fee is $5 for students with proof of enrollment. You may bag your lunch or buy it at the door for $10.
Tree San Diego is also recruiting board members. Love trees or know someone who does? Come grow with us! For further information see their website (www.Treesandiego.org) or contact Rachele Melious, (858) 354-4158, or Anne Fege at email@example.com.
Volunteer Spotlight
Our Twentieth Year: Catch the Volunteer Spirit!
By Patty Berg, Volunteer Coordinator
We take great pride in fulfilling our stated mission: To promote the enjoyment, art, knowledge and public awareness of horticulture throughout the San Diego area. And the way SDHS has done this for the past nineteen years is by participating in the larger community to spread the good word. This year there are many exciting and fun events where your participation ensures that we can continue this proud tradition. See page 2 for our most urgent current needs.
Our spring events are always great fun and much-anticipated. This year’s Spring Home/Garden Show at the Del Mar Fairgrounds will take place February 28, March 1, and March 2. It’s a good opportunity to meet new people and introduce them to SDHS. You also get to enjoy the Show and gather ideas for your own gardens.
Then, on Saturday April 5, we present our 2014 Spring Surf & Turf Garden Tour in Olivenhain and Solana Beach. Volunteering for this event gets you free admission and a chance to tell all the tour-goers about SDHS, sell our tree book and beautiful gift cards, or perhaps be a docent in one of the featured gardens. We expect to need close to 60 volunteers and it’s certain to be our best ever!
From June 7 to July 6 we’ll once again be hosting a display garden at the Paul Ecke Jr. Flower & Garden Show at the 2014 Del Mar Fair. Garden Hosts enjoy free admission to the Fair and a great morning or afternoon talking plants with the fairgoers. Many volunteers are regulars for the Fair, and some lifelong friendships have been struck among our members who worked a shift together.
Our June meeting is when we host our annual Night at the Fair honoring our Horticulturist of the Year. We get the outdoor Flower & Garden Show all to ourselves! We depend on volunteers to help with set up, check in our members and guests and also serve cake. Yum.
Any of these activities is guaranteed to give you the satisfaction of knowing you have done your share – your “4 for Hort.” And they also get you on the guest list for our annual Volunteer Appreciation Party in the fall. We’re hoping to have the biggest party ever this year in celebration of SDHS’s 20th Anniversary. Please be sure to sign up for a volunteer post so you don’t miss out. Why not pick an event and get it on your calendar now?
Contact Volunteer Coordinator Patty Berg at firstname.lastname@example.org or call 760-815-0625.
The Friends of Balboa Park have asked the San Diego Horticultural Society to restore and landscape the gardens surrounding the lily pond in Balboa Park, a very big undertaking. This will be a pilot project (projected to be finished by June) to celebrate the 2015 centennial celebration of the Panama-California exposition in the park. How fortunate we are to have two very talented landscape architect member volunteers to head this project up: Cindy Benoit and Chris Drayer. They met at the lily pond on a beautiful sunny day for over three hours spent measuring all the hardscape and the gardens, transferring the existing tall plants and trees onto their drawings. Our job is to design and plant the understory.
Any of you lucky enough to have been to Rancho La Puerta in Tecate will have seen Chris Drayer’s planning, design and construction of over 40 gorgeous acres there. He was on site there for a better part of 15 years. He has also designed installations all over the world: Egypt, Mexico, Costa Rica, and right here in San Diego. Cindy Benoit (at left) has been creating award-winning urban centers, residential and commercial developments and public parks for over 25 years. She also has coordinated the garden show at the Del Mar Fairgrounds and is a SDHS Board member.
We will be working with the park horticulturist, Mario Llanos, who will approve our plan. He has given us permission to use whatever plants he has in the Park’s storage nursery, but they certainly won’t begin to fill the requirements needed for this restoration. So, please log on to the San Diego Horticultural Society’s web site (www.sdhort.org) to donate toward the project. Parts of the landscaping at Balboa Park are in really sad shape and can certainly use our help. We want the future gardens there to reflect our enthusiastic support and professional expertise. When this project is finished, it will provide the stimulus for others in the community to follow our lead.
Gardens, Plants, Fun – FOR FREE!
Spring Home/Garden Show
February 28 to March 2
By Lucy Warren
If you love plants, great garden design, and the chance to learn more about gardening, don’t miss the show from Friday, February 28 to Sunday, March 2 at the Del Mar Fairgrounds. As an SDHS member you get the absolute best discount for admission. Go to the this special page on the show website to get a free VIP pass for two: http://springhomegardenshow.com/SDHS. You’ll definitely want to bring your significant other or your best garden buddy.
San Diego Horticultural Society members have a vested interest in the Spring Home/Garden Show because we’ve made it ours. It is one of our biggest shows for public outreach to share our love of plants. For those who help at the show, SDHS will reimburse your parking. To volunteer, contact Patty Berg at email@example.com.
SDHS also sponsors the judging of the dramatically-lit display gardens designed and created specifically for this show. They are filled with ideas. Garden Masters put their best efforts into creative new ideas for wonderful gardens for the San Diego climate. See the creativity and style of top designers and horticulturists, all in one place.
Our seminar series is always educational, informative and packed full of ideas. The seminars cover a wide range of current gardening interests from sustainable landscaping, natives and succulents, to growing organic fruits and vegetables. The lectures are free for the price of admission. (Now let’s see…if you are a member with a VIP pass…that means completely free!)
If you want more personalized information, sign up for the ‘30 for 30’ private low-cost consultations hosted by professionals from the San Diego chapters of the American Institute of Architects (AIA), American Society of Interior Designers (ASID) and American Society of Landscape Architects (ASLA). It costs just $30 for a private 30-minute consultation, which can be reserved in advance at the show website: http://springhomegardenshow.com.
You’ll see interesting and unusual plants to tempt your wallet. Top growers and specialty nurseries are all located together, so you can find just the right plants without all the driving. Talk to these people; they have the expertise to share with you about how to make their plants thrive in your garden.
Many of our members especially love to help out at the Spring Home/Garden Show because they get to meet and interact with gardeners from all over San Diego and with other society members. What could be more fun than sharing good times with people with similar interests? Come. Enjoy. The 2014 Spring Home/Garden Show.
Right Plant, Wrong Place
In the December newsletter, I wrote about creating the planting beds in the backyard at my former home in Encinitas. I knew about the importance of the “bones” of the garden, and this month I’ll tell about the large plants I planted. I was very unfamiliar with most of the plants in San Diego so, I read the *Sunset Western Garden Book* from cover to cover and made mental notes of plants I liked. I went to many nurseries and read a lot of plant labels. I knew that wrong choices can be difficult to fix once plants grow in, and tried to avoid plants that required a lot of maintenance or tended to grow out of scale. I was also aware of the cost of water and the dry climate, so I tried to avoid plants that were big water users. Still, I made many mistakes.
I had plants delivered from Evergreen Nursery, including seven *Eucalyptus camphora* trees for the back slope, selected to block the view of the neighbor’s house and also provide shade. However, these quickly provided too much shade and I removed them one by one until there was only one left, which eventually grew into a focal point of the garden. Over the years the garden would mature to look as though the plants and hardscape where spiraling up to this tree on the slope. Unfortunately, the neighbor behind the house, who had removed all of his trees – bless his heart – protested to the Home Owners Association about my tree and my neighbor’s trees blocking his view. I lost the battle and had the tree removed when I sold the house. I’m so glad I wasn’t there to see the garden without the focal-point tree.
Lower down in the garden, I planted a coral tree, *Erythrina caffra*. I first noticed this tree in the San Diego Airport parking lot. I fell in love with the sturdy structure and lush look of the heart-shaped leaves. Over the years I learned this tree is totally unsuitable for a suburban backyard. I hated the way most coral trees were topped or cut back to large stumps each year, so I left mine alone. I learned fairly soon that the weight of the water-filled branches broke easily and disfigured the tree. Reluctantly, I began an annual maintenance program, and each winter removed much of the new growth... sometimes 20’ long branches. Luckily, it was easy to trim.
In the opposite corner of the garden was an existing *Ficus japonica*. This tree is also quite inappropriate for a suburban lot; it never stops growing! I was soon cutting it back eight or more feet every year. The surface roots uplifted everything and were so dense that little could grow under it.
Also on the back slope, I planted ceanothus and *Acacia kniphofia*. This ceanothus was a small-leafed variety and didn’t provide much of a screen from the neighbors. If it bloomed it was for a very short duration, and the flowers were so small they were barely noticeable. The acacias were quite happy and quickly outgrew the allotted space. I later removed a few and trained the remaining ones into small trees.
I planted three dwarf citrus trees on one side of the yard. However, other than the Myer lemon, they never did well and eventually I removed all save the lemon.
In the middle of the back bed on a small hill, I planted two 15-gallon Birds of Paradise (*Strelitzia reginae*). I thought the flowers were so exotic I simply had to grow them. Eventually, they became crowded and bloomed less and I spent hours cleaning out the dead leaves and snails that lived in them.
On the south facing slope, I planted a cute little purple New Zealand flax (*Phormium tenax*), Orchid Rockrose (*Cistus x purpureus*) and dwarf oleanders. They were all so small at first… imagine my surprise when the Phormiums grew to 9’ tall and wide and shaded the rockroses. It became an impossible maintenance task to remove the dead leaves and keep the plants looking good. The rockroses would reach for the sun, but since you were looking up at them, you mostly saw the unattractive underside of the plants. The oleanders never did very well.
During my travels, I had marveled at the spring blooms of the Pride of Madeira (*Echium candicans*) that were planted along the shore in Monterey. However, I knew this plant didn’t look good all year, so I planted one in the back corner of the garden. It would bloom beautifully each year, but leave behind a ton of seed that sprouted all over the garden. Nearby on the slope, I planted a plumbago. This freeway-proportioned plant did well and covered the dry slope, and only got a few major haircuts over the years.
As you can see from the list, I chose very few shrubs and, most notable for those of you have seen our current garden, there were no succulents!
Jim Bishop is President of San Diego Horticultural Society and a Garden Designer.
Join the San Diego Horticultural Society
Saturday, April 5, 9 AM to 4 PM
Nine Exceptional Private Gardens in Solana Beach & Olivenhain
We tempted you with two Surf gardens last month, and this month we feature two Turf gardens that will certainly continue to whet your garden touring appetite. The 2014 SDHS Surf and Turf Garden Tour promises to be our best tour ever, with nine fabulous gardens in Solana Beach (the surf) and Olivenhain (the turf). Mark Saturday, April 5 on your calendar, and plan on buying tickets early as we sold out last year. Fine artists will display their work in each garden, and over a dozen vendors will tempt you with jewelry, garden arts pottery, birdhouses, and other garden-related merchandise.
Many gardens in one is the best way to describe the garden of Dannie and Craig McLaughlin, San Diego Home/Garden Lifestyles garden of the year for 2013. From a formal rose garden at the entrance to the property, to the main patio flanked by wisteria and star jasmine vines, to a succulent garden, to a memory garden filled with fragrant white flowers and featuring a Koi pond, one could easily spend an entire day here. New additions include “Hansel and Gretel Way,” which winds through a stand of Juniper and Cypress and features birdhouses, gnomes, and other whimsical garden art; and a butterfly bog surrounded by California native plants. If the garden gods are smiling, the bog will be home to Monarchs and Painted Ladies in time for the tour.
Only twelve years ago, Heather and Morrie Callaghan bought a new home on a former turkey ranch in Encinitas. The New Zealand natives installed 6,000 square feet of grass on their new lot, but you won’t see much grass when you tour the garden. What you will see is about 1,000 varieties of plants that replaced all that water-thirsty grass. The garden features engineered drip irrigation, brick trellising, and a backyard designed with the concept of a celtic cross and a stone wall. There are six varieties of blooming Michelia champaca trees, a rose garden, and plants native to New Zealand and Australia. Other well-used plants are strawberry trees, espaliered apple trees, pluots, mandarin oranges, and green gage plums.
Advance purchase tickets for members of SDHS are $20. Non-member tickets are $25. Day of tour tickets will be $25 for all.
Purchase tickets at www.sdhort.org
Save $5 and buy your tickets early - the 2013 tour sold out!
- Day of tour tickets will be sold starting at 9AM at 1327-1335 La Sobrina Court, Solana Beach 92075
- To encourage carpools, each vehicle with at least 4 people will receive one FREE meeting pass (a $15 value).
No tickets will be mailed. If you purchase tickets in advance, your map will be e-mailed to you on April 3 and you may begin at any garden. If you purchase day of tour tickets, you will receive a map when you check in at La Sobrina Court.
Questions? Contact firstname.lastname@example.org or 619-296-9215 ext 5
By purchasing a ticket I understand that I will tour these gardens at my own risk. Host gardens and the San Diego Horticultural Society assume no liability whatsoever. Tour is not handicapped accessible. No pets allowed.
Welcome New Members
We encourage our 1300+ members to be active participants and share in the fun; to volunteer see page 2. A warm hello to these new members:
Lara Belice
Molly Cardranel
Jean Emeru
Meredith Garner
Susan Getyina
Susan Gutierrez
Brendan Laurs
Patricia Leon
Roberta Lohla
Katie Ostrander
Ellen Preston
Paul Redeker
Christine Vargas
Linda West
Hort Bucks Are Great!
Kudos to these members whose friends joined in 2014; they earned Hort Bucks worth $5 towards name badges, garden tours, dues and more! To get your Hort Bucks ask your friends to give your name when they join.
Gieneva Belice (2)
Julie Hasl (2)
Jenny Hawkins (1)
Suellen Lodge (1)
Rebecca Moore (1)
Stephanie Shigematsu (1)
Scott Spencer (1)
Sponsor Members (names in bold have ads)
Agri Service, Inc.
Anderson's La Costa Nursery
Aristocrat Landscape Installation & Maintenance
Barrels & Branches
Botaniscapes by Tracey
Briggs Tree Company
Buena Creek Gardens
Cedros Gardens
City Farmers Nursery
Coastal Sage Gardening
Columbine Landscape
Cuyamaca College
Dawy Tree Expert Company
www.EasyToGrowBulls.com
Evergreen Nursery
Glorious Gardens Landscape
Grangetto's Farm & Garden Supply
Green Thumb Nursery
Kellogg Garden Products
KRC Rock
Legoland California
Mariposa Landscape and Tree Service
Mark Lauman, Agricultural Sales & Consulting
Moosa Creek Nursery
Multifora Enterprises
Nature Designs Landscaping
Ornamental Gardens By Lisa
Pat Welsh Products
Renee's Garden
Revive Landscape Design
San Diego County Water Authority
San Diego Home/Garden Lifestyles
San Diego Hydroponics & Organics
Serra Gardens Landscape Succulents
Solana Succulents
Southwest Boulder & Stone Sterling Tours
St. Madeleine Sophie's Center
Sunshine Care
Sunshine Gardens
The Wishing Tree Company
The Worm's Way
Walter Andersen Nursery
Weidman's Gardens
Waterwise Botanicals
Westward Expos
Life Members *#Horticulturist of the Year
*Chuck Ades (2008)
*Valter Andersen (2002)
Norm Apelbaum &
Barbara Roper
*Bruce & Sharon Asakawa (2010)
Gladys T. Baird
Debra Lee Baldwin
*Steve Brigham (2009)
Laure Connable
Julian & Leslie Duval
*Edgar Engert (2002)
Jim Farley
Sue & Charles Fouquette
Penelope Hawic
Joyce James
Debbie & Richard Johnson
*Vince Lazaneo (2004)
*Jane Minshall (2006)
*Brad Monroe (2013)
*Bill Nelson (2007)
Tina & Andy Rathbone
*Jon Retman (2011)
Peggy Rusich
San Diego Home/Garden Lifestyles
Gerald D. Stewart
*Susi Torre-Bueno (2012) & Jose Torre-Bueno
Dorothy Walker
Lucy Warren
*Evelyn Weidner (2001)
*Pat Welsh (2003)
Betty Wheeler
Discounts For Members
(see ads for more discounts)
Get a 15% discount at Briggs Tree Co. (www.briggs.tree.com; tell them to look up the "San Diego Hort Society Member" account).
Get a 10% discount at San Diego Botanic Garden on Family/Dual or Individual memberships. Just state you are a current member of SDHS on your membership form. It cannot be done online, so mail it in or bring it to the Garden. Info: email@example.com.
Join Grangetto's FREE Garden Club for coupons and tips delivered to your inbox. www.grangettos.com/garden.
Davey Tree Expert Company offers a 10% discount to SDHS members.
Get a 25% discount at all 5 locations of San Diego Hydroponics & Organics (www.sdhydroponics.com). #*
What’s Up at San Diego Botanic Garden
The Best Dog Walk Ever!
Second Annual “5K Paw Walk in the Garden!”
For the second time in history, dogs are allowed in the San Diego Botanic Garden (SDBG) in Encinitas. The second annual 5K Paw Walk in the Garden will take place on Saturday, February 22. Registration and check in begins at 9:00 AM at 230 Quail Gardens Drive in Encinitas. Two-legged and 4-legged walkers and runners ‘set paw’ on the course at 9:30. Proceeds from the event benefit Rancho Coastal Humane Society and the SDBG.
The 5 kilometer (3.1 mile) course begins in the Hamilton Children’s Garden, then weaves through the 37 acre garden. The route winds through California Gardenscapes, South African, Australian, Canary Islands, Bamboo, Subtropical Fruit, Herb, and Mexican Gardens. Following the 5K Paw Walk, dogs and people can mingle while perusing pet products, treats for pets and people, great information for dog lovers, and a few extra fun activities.
This is a great way to bring some of your loves all to one place by bringing your lovable K9 along for a walk in the beautiful gardens you love so much. Following the 5K Paw Walk, participants, including dogs, have full access to SDBG until 2:00 PM. Our mission is to inspire people of all ages to connect with plants and nature. We hope that you will take this once a year opportunity and enjoy a great day of connecting in the Garden with your dog(s). Individuals and teams of all ages are welcome and every person registered will receive a 5K Paw Walk T-shirt. To sweeten the deal, groups can register for as little as $10 a person. So gather your friends and/or family and come as a group. A “Top Dog” prize will be given for the largest team of walkers.
More information about the 5K Paw Walk in the Garden is available at Rancho Coastal Humane Society at 389 Requeza Street, or San Diego Botanic Garden at 230 Quail Gardens Drive in Encinitas.
For updates or to pre-register online for the 2nd Annual 5K Paw Walk, visit www.sdpets.org or www.sdbgarden.org. Online registration closes February 20th. #*
Sharing Secrets
This column is written by you, our members! Each month we’ll ask a question, and print your responses the following month. You can find copies of previous Sharing Secrets on our website at https://sdhortwildapricot.org/SharingSecrets?eid=1093874.
NOW ONLINE: You can now continue the discussion by adding new replies to Sharing Secrets topics online. Here’s your chance to comment on how the plants you mentioned two years ago are doing today, or to suggest another way to do something in the garden.
The question for February was:
What plant would you not want to be without, and why?
Linda Chisari: Wouldn’t want to be without Sun Camellias; *Camellia* ‘hiemalis’ ‘Shishi Gashira’, *Camellia sasanqua* ‘Setsugekka’, *Camellia sasanqua* ‘Yuletide’, and *Camellia sasanqua* ‘Bonanza’. All are very drought-tolerant in my garden, having been planted 20-25 years ago; they enjoy east or southern exposures (under shade trees) in my coastal garden. I love their informal spreading shapes and the multitude of lovely single or double flowers. They began blooming in late September; it’s January 5th today and all are still in full glorious bloom. (The ‘Setsugekka’s stopped blooming on Jan. 9th!) I mulch all of my beds yearly with 2-3” of well-rotted compost, and I fertilize with a balanced time-release fertilizer around February 1st each year. Other than that, the only other care I give them is a light pruning to keep them in shape.
Marilyn Wilson: FILLERS! I’m a cut flower girl, taking bouquets wherever I go. Every day of the year there is something blooming in my garden. But unless it is a particularly spectacular bloom which can stand alone in a bud vase, I will use a variety of colors, common blooms or exotic specimens together in a bunch. And for that I need filler flowers: feverfew, Australian waxflowers, tiny gomphrena, etc. And, of course, some leatherleaf and maidenhair ferns, and a few boring privets for greenery.
Tammy Schwab: Ohhh, that is a tough question and way too broad! I am going to cheat and start with all succulents for their low water, easy care, and structure. For a particular shrub I really like Cuphea, both bat faced (*Cuphea llavea*) and cigar plant (*C. ignea*); they provide big bang for my buck, attract hummingbirds, and continually bloom. Going larger in terms of trees I am very fond of flowering trees and always have an *Arbutus unedo*.
Susan D’Vincent: Having just brought in another basketful of sweet satsuma mandarins, I can’t think of another plant that would top my list of favorite plants. The beauty of satsumas is that their season is winter, when other homegrown fruit is scarce. Our little tree stands up to the frost and doesn’t ask for much. Give it some fertilizer, some water, occasionally spray for scale, and it will give you back a lot! It is amazingly prolific, producing loads of tangerines regularly every year. We start eating satsumas in November and keep on going until the end of February. They are delicious little packages that you can grab and eat anytime or just fill that dessert spot after dinner. They’ve been a great way to lose weight after the holiday excesses.
Meredith French: At first I thought of what native I could give up, but then I thought of my Eureka lemon tree. I have fruit the year around and never have to pay supermarket prices. And then there are the herbs. It kills me when I have to buy a little package for 2-3 bucks. I may let other plants go, but not those.
Cathy Tylka: I love my passionflower ‘Donna Brigham’ hybrid. It is home for monarch butterflies, requires very little water for a vine, can cover an arch, and has beautiful, bright pink flowers. What’s not to love!
Vivian Blackstone: 1) feverfew (make tea for migraines); 2) comfrey (upset stomach or poultice); 3) spearmint (for tea to settle the stomach); 4) basil (add to soups and salads); 5) tomatoes (fresh salad, grow them all year round); 6) lettuce, mizumi and head lettuce; 7) blueberries, blackberries, alpine strawberries, Chandler strawberries.
Robert Foster: Roses, because they smell so good!
Wanda Mallen: Of course, this is an impossible question to answer! The category of plants I wouldn’t want to be without is trees. They give structure, grounding, and create a framework to highlight all the other plants. They make a garden look more established, and, of course, create beautiful light shade.
Katrin Utt: My roses! I have about 100, half of them in big pots. I get so much joy growing these beautiful plants.
Gloria Alexanderson: Succulents… easy to grow, easy to propagate, little water, they show color and texture all year round. What’s not to like?????
Tandy Pfost: I always grow gardenias wherever I live. They have become a tradition, and my one water-needy indulgence. They take no effort, are disease and bug resistant, and give wonderful flowers throughout the year! They are perfect for the one spot we all have that is partly shady, cool and moist.
Ruth Sewell: My sweet one million cherry tomato vine. Very tasty and reliable, just like Old Faithful.
Paula Suttle: I would not do without the geranium, because it blooms year round in all sorts of flower and leaf variety (form and color) and doesn’t die if you forget it a little. Also, if you fertilize it, it really performs! Another is the milkweed (Asclepias), because of the beautiful plant plus seedpods, and it brings caterpillars and butterflies.
Una Marie Pierce: Funny you should ask – it is feverfew. While I have to stay on top of them all the time to weed out the excess, I always let 3 or 4 grow to full size. I just got through rinsing and spinning a batch, I will then hang them up to dry and make a cup of tea with them every morning. I even took a supply of them to India and made the tea every morning. I found feverfew in an herbal book after my cleaning lady told me they were good for arthritis. Who knows if they really help, but it helps me to think they do! I originally bought one in a 4” pot because of the sweet, small, white flowers. They quickly tried to take over my yard. I use the flowers to make small vases to give out to my Meals on Wheels clients. If anyone wants a start or some leaves to try, just let me know.
Don Starr: Italian Flat Leaf Leaf Parsley. Good source of vitamins, especially C. Gives good flavor to food. Gives good visual appeal to foods and bouquets. Monarchs like this plant. I love the fresh smell.
Scott Jones: *Ornithostaphylos* (Palo Blanco), and the rest of the “San Diego-lowlands-madronesque-quatro-deluxe-group”: *Comarostaphylos* (Summer Holly), *Xylococcus* (Mission Manzanita), and *Arctostaphylos glandulosa* ssp. *crassifolia* (Del Mar Manzanita, though occurs south, east, and north of Del Mar). Preferred uses are in idealized habitat recreations, as they can be suitable for residential yards, if the architecture and space of the place is stylistically fitting for these plants – or not – it’s your choice.
Louise Anderson: I sorely missed my second cherry tree since it was not established enough to pollinate yet. (Royal Lee and Minnie Royal-come as a set.) I’m hoping for a bumper crop this year; since I missed one last year due to death of one tree. Excellent low chill cherries.
Candace Kohl: This is a VERY hard question and my answer would probably depend on what time of year it is. The only kind of plants I don’t care for much are those that produce food/fruits and vegetables. My favorite plant is not a plant but a family: the Proteaceae. They are so unique and varied, in or out of flower. I feel very special to have a garden where they are mostly happy. In particular, I enjoy the late winter/spring display of the Pincushions (*Leucospermums*) and I have a number of other special ones, some Banksias, some Proteas, some Leucadendrons, some Grevillas and some Mimetes.
Sue Lasbury: *Leucadendron ‘Jester’* (Variegated Coneflower Hybrid) is my favorite plant in the garden. They are lush and just the right mix of red, yellow and green. My wonderful landscape architect, Chris Drayer, planted one on each side of the walkway leading up to my front door. When I’m working in the front garden I see lots of my neighbors walking by and many of them comment on the Jester. It’s such a perfect plant and can easily be used in floral arrangements with other plants, or even alone.
Lisa Rini: It has to be *Gomphrena ‘Itsy-Bitsy’*; it has tiny magenta flowers most of the year, changes color with the seasons, can take dry or damp conditions, is loved by bees, has a nice sprawling look yet can be cut back and rebounds within the week, loves pots, but is also happy in the ground…you cannot kill it! Great plant!
Ron Hurov: *Pittosporum resiniferum*. It produces short-chain alkanes, which are a potential plant-based substitute for gasoline.
**Bobbi Hirschkoff:** My veggie garden. Last year we planted tomatoes in March and had tomatoes until the end of December. We also have acorn and butternut squash in the pantry as I write (early January). We love growing our own not only does it taste better, but we feel like we’re doing something right.
**Amelia Lima:** Could never do without Agaves! Because of the architectural element and their diversity, they are essential in any Mediterranean Garden.
**Sharon Ward:** I have two pots of orange mint on each end of my deck garden that I love. Without even touching it, it perfumes the air with the most delicious fragrance, especially in summer when the sun really warms it up. I cut it and muddle it in a pitcher and cover it with filtered water for a refreshing, aromatic beverage. I cut it and cut it and it keeps coming, and I cut it to keep it from reaching over into the pot next to it. I am limited in space, but my orange mint makes up for it.
**Nancy Kohrs:** Succulents are the best plants to have in California.
**Marilyn Guidroz:** I recommend the succulent *Aeonium canariense* ‘Salad Bowl’, which brings me great joy everyday. It is compact, not leggy like the other *Aeoniums*, and looks delicious enough to eat! It compliments a rounded ceramic pot in blue or red, and looks great all year long. If it is planted in the ground it commands a dramatic center stage, and can get much larger than in a pot.
**Al Myrick:** There are so many that I could not do without: bromeliads, staghorn ferns, native trees, plumerias, cycads, tree aloes, epiphyllums… But ok, ok…if they said, “It’s your plants or your life!” then I would fall on my trowel before I would let them take my epidendrum orchids. They bloom and thrive all year round with gross neglect. That means no soil (just a ball of coarse palm or leaf mulch), not much water (just soak them and let them drain quickly), and hardly any food (a spray of fish emulsion once or twice a year). They grow anywhere there is light and air circulation Put them in a tree-branch, in a hanging pot, in a ground pot, in the middle of a staghorn fern. If there is no light, they climb into it. They readily produce offsets (“keikis”) after the main bloom finishes; just wind or tie a little sphagnum or Spanish moss around a keiki and soon it will infuse the moss-ball with roots. After they look ready enough, they can be pulled off the stem to begin a new plant. So, they are well worth falling on your trowel over (but don’t).
**William Skimina:** This is a hard one. I thought of our compact *Buria capitata* selection, *Clivia, Ensete “Maurelli”*, but I think the choice is *Acca sellowiana* (Feijoa), because it has nice foliage, showy flowers in the spring, and large quantities of fall fruit with a unique taste. I like the fruit more than any others that you can grow here. Additionally, I never need to spray the plants for any problem, and they tolerate some drought and clay soil. It is a reliable plant.
**Susan Krzywicki:** Tecate Cypress; it smells heavenly; resinous and fresh. And it is easy to grow! It is native to a very small area from north San Diego County to just below Tecate, Mexico, so growing it in your garden helps to preserve it for future generations. It looks like a fat Italian Cypress. Try some today!
**Kay McGrath:** I couldn’t live without my pomegranate tree! It looks great when it turns color in the fall, and comes out so green for spring. You can prune and shape it anyway you want. The fruit is wonderful since my variety is “Wonderful”. When I have enough fruit I make jelly. This year I didn’t make jelly, so the birds had a party eating the fruit for a couple of weeks. Of course it is waterwise, too!
**Stephen Zolezzi:** Tomatoes: they are like blood flowing through my Italian body. Today’s problem is do I use grafted tomatoes, buy...
plants, or start from seed? Then, what types to grow: the selection is never ending, so I look at what I want to do with them; fresh, cooked or preserved. I put in enough variety and number needed to succeed. Then the real work starts to prepare the dirt, cultivate, pest control, pick and process. The best reward is to see my 4-year old granddaughter pluck cherry tomatoes like grapes and smile while the juice runs down her cheeks.
**Barbara Clark:** My favorite is the Heliotrope plant. It is perennial here and blooms nearly all year; with deep purple clusters of tiny flowers with a sweet delicate fragrance. It can be planted in the ground, or will flourish for years in a mid-sized container in full sun or part shade in warmer areas. Heliotrope reminds me of the local Heliotrope Ragtime Orchestra playing 1920’s music. I love them both!
**Ida Rigby:** The plant I could not want to be without depends on the season. At this very moment, it is a very tall, red emu flower because a hummingbird stands guard over it every day, loves it, and makes quite a scene chasing away intruders… Life in the winter garden.
**Bill Knowles:** Camellias; they are life’s joy, especially this time of year. Everyone should visit The Huntington Gardens and Nuccio’s Nursery in the Pasadena area and see a glorious display.
**Lisa Bellora:** I am currently in love with the Leucadendron, pretty much all of them. I am growing Safari Sunset, Discolor, Pom Pom, Safari Goldstrike, Ebony, and another smaller one. I am also using Winter Red, Summer Red, Jester, and Blush in my designs. They have such beautiful colors, interesting shape and texture, and if planted properly, are maintenance free. Who could ask for more than that?
**Steve Brigham:** There are thousands of kinds of plants that I would never want to be without! I chose, however, to move away from San Diego, so I’ve had to get used to not being able to grow subtropicals anymore. Now, 500 miles north on the cool, windblown, salty coast, I’ve still got hundreds of my favorite plants in my garden. Good thing I like a wide variety of plants! You want me to choose one plant? It’s pretty hard for me to imagine a garden of only one plant! But if I had to, it would be Rosemary (*Rosmarinus officinalis*). “Tuscan Blue” is the commonest variety, but there are lots more, all a little different. They’re quite handsome and serviceable evergreen shrubs that need little to no watering once established, and have pretty blue flowers. I include rosemary branches in bouquets for their fragrance, which is for “remembrance,” according to Shakespeare. And if you cook chicken or turkey, there’s no sense in even trying to cook your bird without using fresh rosemary stems!
**Jeanne Meadow:** I can’t imagine my garden without Golden Barrel cacti. This would surprise Steve McDearmon, the designer, as I was adamant about wanting NO cacti in my garden. Now it is a love affair. I have them in every area, including the driveway. While planting my steep driveway with them, one slipped out of the burlap and bounced to the bottom of the hill. It was in perfect condition, so we rolled it back in the burlap and into the position where it is today. These plants are hardy, and add a pop of bright yellow all year; it seems nothing bothers them, from frost to insects. Slow growers, they stay put and don’t need grooming.
**Steve Harbour:** This is a tough call because there are so many plants I would not live without. But I’d choose cacti and succulents. In my early 20’s I moved my small cactus collection (about 20 – 25 pieces) to Lake Tahoe, where they survived a cold and snowy winter set beside a wood-burning stove. Then I went back to Southern California for a while before moving again, this time to Sebastopol, in Sonoma County. This was when I began working in nurseries, so my collection...
expanded. Then back to San Diego, where many went into the ground for the first time. Five years later we moved to Alpine, so I dug up all the cacti and succulents and moved them to where I currently live. I have somewhere between 500 – 700 cacti and succulent plants now, a few still surviving from my early collection.
The question for March is:
Do you grow any plants because they are especially entertaining or weird? Please describe them, and include your zip code in your reply.
Send your reply by February 5 to firstname.lastname@example.org.
JANUARY 2014 Plant Display
By Susi Torre-Bueno
What is the Plant Display?
Each month members bring in plants, cuttings or flowers and put them in blue bottles on our display tables. What a great way to see what plants grow well in our area. EVERYONE is invited to participate. All plants are welcome. Write descriptions similar to those below, and put them with your plant(s).
Join the fun and bring something to the next meeting. We thank those people who brought in plants to show to other members.
*Buddleja salviifolia* SOUTH AFRICAN SAGE WOOD (Buddlejaceae) South Africa
This rangy semi-evergreen shrub has gray-green foliage and small pale lilac flowers in winter – they’re not at all showy, but have a delicious sweet scent. It thrives in full sun with moderate to low water, and can grow to 9’ tall by 6’ wide. (Susi Torre-Bueno, Vista, 1/14) – S.T.B.
*Cattleya Lew Sykora* (Orchidaceae)
This hybrid orchid has large flowers with white petals and sepals; the labellum (lip) is white and strikingly tipped with gold and deep purple. It grows best in bright indirect light and can take cool to hot conditions of 58°F to 85°F. Information supplied by the owner notes that “mature plants MUST dry out between waterings.” Six different species contributed to producing this hybrid, with 31% of the genes coming from *C. dowiana* and another 31% from *C. trianae*. (Charley Fouquette, El Cajon, 1/14) – S.T.B.
*Euryops speciosissimus* CLANWILLIAM EURYOPS (Asteraceae) South Africa
This fast-growing evergreen shrub grows to 6’ tall and about as wide, with threadlike gray-green leaves and 2”-3” wide yellow daisy-type flowers in winter. Over time it develops thick branches, and the bottom part of the plant is bare of leaves. Does well in full sun with moderate to little water. (Sheldon Lisker, Sun City, 1/14) – S.T.B.
*Ric. Lyn Evans* (Orchidaceae)
The Ric. Stands for Rhynchoelaiocattleya, a very complex hybrid indeed. The owner provided information about this beautiful orchid which indicated that it has genetic contributions from 16 different species. Grow this beauty in a greenhouse with bright indirect light.
It likes cool to can take cool to warm conditions of 58°F to 75°F (and up to 85°F at night). Also, “mature plants MUST dry out between waterings,” and it prefers weekly applications of weak fertilizer. (Charley Fouquette, El Cajon, 1/14) – S. T-B.
In addition to the plants described above, those below were also displayed.
What’s that in front of the plant name? Plants marked 3 are fully described in the Plant Forum Compilation. See www.sdhort.org for details on how to order this valuable reference tool.
Can you spot the phony plant this month? The phony plant in the January 2014 newsletter was *Salvia wagneriana* ‘Yellow Bracts’ UNDISCOVERED WAGNER’S SAGE.
*Acmena smithii* LILLY PILLY (Sheila Busch, Escondido, 1/14)
*Aloe rauhii* (Sue Fouquette, El Cajon, 1/14)
*Aloe sp. or cv.* (Sue Fouquette, El Cajon, 1/14)
*Cattleya* seedling (Charley Fouquette, El Cajon, 1/14)
*Echeveria* cv. or sp. (Sue Fouquette, El Cajon, 1/14)
*Gladiolus priori* (syn. *Homoglossum priorii*)
(Sheldon Lisker, Sun City, 1/14)
3 *Heuchera maxima* ISLAND ALUM ROOT
(Pat Pawlowski, El Cajon, 1/14)
*Hippastrum* ‘Bearded Dragon’ (Lizard Planter, Sun City, 1/14)
*Hippastrum* ‘Green Dragon’ (Sheldon Lisker, Sun City, 1/14)
*Kalanchoe* sp. or cv. (Sue Fouquette, El Cajon, 1/14)
*Penstemon parryi* PARRY’S PENSTEMON
(Susi Torres-Bueno, Vista, 1/14)
*Rossioglossum inskayi* (Jim Wright, San Diego, 1/14)
The Dirt On… Continued from page 4
plants and concentrating on growing big drifts of those. A second error is putting plants in the wrong place; for example, trying to grow a bougainvillea in shade or planting a jacaranda tree in a cold wind. And a third error is trying to grow a garden like the one you had back east. A new error that has cropped up now that so many people are growing veggies, is failing to plant with the seasons. It is so easy to pull things out when they’re done and plant winter vegetables in fall and winter and summer crops in spring and summer, but instead people cling onto worn out plants long after they’re any use.”
Pat continues to lecture and write books on gardening. Her artistic works include creation of the ninety-two foot mural outside the Del Mar Public Library. She’ll be a presenter at the Master Gardeners seminar in March – see page 5. Her very informative website is www.patwelsh.com. In recognition of her significant contribution to horticulture in San Diego, the SDHS honored Pat as our Horticulturist of the Year in 2003.
Member Carol Buckley is Assistant Librarian at the Athenaeum Music & Arts Library in La Jolla, as well as a freelance writer, editor, and poet. She is an informal student of plants and gardening.
The plants of Chile have "great potential" for some of our own gardens in California and, with that, at the January meeting Kathy Musial presented a slide show of flora she photographed and, in some cases, attempted to germinate back at home in Pasadena. Kathy is a founding member of the SDHS and Curator of Living Collections at the Huntington Botanical Gardens. In 2010 and 2011, she traveled to two regions in the northern half of Chile: the semi-desert region known as Norte Chico, and the mediterranean climate zone north of Valparaiso. She authored an article about the flora of Chile for *Pacific Horticulture* magazine in October 2011.
The long, narrow country of Chile, she noted, is comparable in length to the land that extends from south southern Alaska to the tip of Baja California. The climate is cooler than California; temperatures rarely get hot and. Kathy explained, a persistent high pressure belt blocks storms from the north, with little or no rain in the mid latitudes. A thermal inversion layer creates a fog that sits on the lomas (low hills). The mountains are a barrier to the moisture, and the land only five miles from the coast is devoid of plant life.
At Parque Nacional Llanos de Challe, she reports, fog sits on the lomas for weeks at a time, resulting in more permanent plant cover because of the moisture. She said the *Copiapoa* cactus clumps are as big as five to six feet across. The *Oxalis gigantea* (not the small weedy stuff we are plagued with, which is *Oxalis pes-caprae*) is shrubby, and has been successfully cultivated in California. The famed garra de león (*Leontachir ovalis*) grows in Llanos de Challe.
At the Fray Jorge National Park, Kathy said the hills look remarkably similar to those in California. She described a woodland area with *Griselinia scandens*, which is particular to the rainforest. Bead plants, ferns and mosses cover the ground under the trees and various small vines. The air here is quite humid, but cool like San Francisco.
In the Mediterranean climate zone north of Valparaiso, Chile, Kathy compared the matorral to our chaparral, and showed photographs of *Puya chilensis*, *Echinopsis litoralis*, *Calandrinia grandiflora* (which is very popular in San Diego), and *Lobelia polyphylla*. The Lobelia has been grown successfully at Huntington, she said.
Kathy also shared photos of the Chilean fox that visited her group during lunch, and the giant hummingbird, about the size of a robin, which is commonly seen hovering about here.
Thanks, Kathy, for an interesting look at an area with even less rainfall than we're having! If you missed this talk you can borrow the video of it at the next meeting you attend. ☺
**Thank You Meeting Donors!**
We thank all the donors for their generosity:
- Green Thumb Nursery
- Serra Gardens
- Sunshine Care
Special thanks to Ken Blackford for giving away 16 *Boophone disticha* plants he grew.
Pacific Horticulture Tours
Pacific Horticulture Society is offering a unique adventure “From Boston to Bar Harbor” this summer. Among the many included visits is Boston’s historic Mount Auburn Cemetery, founded in 1831 as “America’s first garden cemetery.” With classical monuments set in a rolling landscaped terrain, it marked a distinct break with Colonial-era burying grounds and church-affiliated graveyards and is credited as the beginning of the American public parks and gardens movement. Mount Auburn’s collection of over 5,500 trees includes nearly 700 species and varieties. In Maine visit the private garden of Jane Donelon, who has been developing her garden for over 30 years, now overflowing with many uncommon plants including unusual clematis and other vines, a bog garden, a rock garden, a fernery, a white garden, woodland and wildflower paths, hillside and stonewall gardens and more. And just confirmed is an exclusive visit to the Abby Aldrich Rockefeller Garden, a private garden in Seal Harbor, Maine that was built by Mrs. Rockefeller and her husband, John D. Rockefeller, Jr., in the 1920’s. The garden was designed by Beatrix Farrand, and blends Eastern and Western landscape traditions in a summer season display. Not to be missed!
SDHS is an affiliate member of the Pacific Horticulture Society, producers of Pacific Horticulture magazine. Tours are operated by SDHS sponsor, Sterling Tours. More info is at www.sterlingtoursltd.com.
Purchase SDHS Note Cards at our meetings
10 cards/$10
Last year we had a photo contest for striking images to be used on a set of note cards. The photos used range from succulents to seeds to garden vistas. These lovely cards are blank inside, perfect for gift giving, thank you cards, holiday greeting cards, birthday cards, or any special occasion (or you can frame them). Buy a set (or several) at the next meeting you attend.
Renew Now at www.sdhort.org - It's quick and easy!
| Membership Type | Online Newsletter | Printed Newsletter |
|-----------------------|-------------------|--------------------|
| Individual - 1 year | $30 | $42 |
| Individual - 3 years | $80 | $116 |
| Household - 1 year | $45 | $57 |
| Household - 3 years | $125 | $161 |
| Group or Business - 1 year | $50 | $62 |
| Group or Business - 3 years | $140 | $176 |
| Student - 1 year | $6 | $8 |
| Life Member | $700 | $700 |
Pay online for dues or events: When paying online you do not need a PayPal account. To pay with a Credit Card, click on the "Don't have a PayPal account?" link at the bottom of the payment page and this brings up instructions for paying with a credit card.
SDHS members... SAVE $4 on Pacific Horticulture
Only $24/year brings you a beautiful full-color magazine all about West Coast gardening!
Each fascinating issue has articles on places to visit, unique gardens, plant info, and lots more.
To get this great deal, go to www.pacifichorticulture.org/join and use discount code SDHS2013
25 Years Experience in So. California
Daniel F. E. Cannou
Consulting Horticulturist
Sunset Horticultural Services
(760) 726-3276
Professional solutions to problems with plants, soil and irrigation
Landscape renovation
Complete landscape care
THE 2014 SAN DIEGO COUNTY FAIR
June 7 – July 6
Is looking for YOU!
This year’s Flower and Garden Show theme is “FLOWER POWER”
The Fab Fair will kick off the summer of 2014 with a tribute to the British Invasion and music phenomena that began 50 years ago.
“FLOWER POWER” FEATURED THEME GARDEN COMPETITION ENTRIES – Entry Deadline - April 4
- Amateur Landscape Competitions
- Student Garden Displays
- Professional Landscape Competitions
- Garden Club Displays And Information Booths
- Bonsai Tray Landscape Competitions
- Specimen Orchid Plant Competitions
- Container Plant Competitions
- Speakers / Demonstrators
- Horticultural Information Booths
Come and be a part of educating and entertaining over 1.4 million visitors, while competing for cash prizes, ribbons and recognition. This is your chance to showcase your talents, advertise your company or club and be a “rock star”!
Please contact Garden Coordinator
Cindy Benoit at 858.755.1161 ext. 2462 for details, or e-mail: email@example.com
For more information visit www.sdfair.com/entry
SDHS SPONSOR
San Diego County Water Authority
eGuide to a WaterSmart Lifestyle
The “eGuide to a WaterSmart Lifestyle” is your go-to resource for living water-efficiently in San Diego County. This free digital magazine includes:
- Inspirational plant & garden photos
- Helpful videos
- Plant finders
- Interactive maps
- Animated graphics
- Home & garden calculators
- Design tools
- Rebates & Incentives
Visit watersmartsd.org/residential-guide
UCCE MASTER GARDENER PROGRAM OF SAN DIEGO COUNTY PRESENTS
2014 SPRING SEMINAR
COME GROW WITH US
Learn about Water Conservation, Edibles, New Gardening Skills, and more!
Classes, Workshops, Demonstrations & Garden Marketplace
SATURDAY, MARCH 22, 2014
7:30am-3:30pm
San Diego County Operations Center
Kearny Mesa
Check our website at www.mastergardenersd.org/seminar for updates on classes, speakers and registration.
Follow us on Facebook
Master Gardener Association of San Diego County supports the University of California Cooperative Extension Master Gardeners of San Diego County.
What’s Happening? for FEBRUARY 2014
The SDHS is happy to publicize items of horticultural interest. See other side for resources & ongoing events.
Send calendar listings by the 10th of the month before the event to Neal King at firstname.lastname@example.org.
DISCOVER EVERGREEN NURSERY
Landscaping? Relandscaping?
Just Sprucing Up Your Yard?
WHY PAY MORE?
BUY DIRECT FROM THE GROWER AND SAVE!
ONE STOP SHOPPING
Incredible selection. Over 500 varieties on 400 acres.
From small color packs to huge specimen trees.
DRIVE THRU SHOPPING
Use your car as a shopping cart!!
UNBEATABLE VALUE
The discount houses and depots can’t compete with our grower direct prices.
Come on out and see for yourself!
• 1 gallon plants starting at $2.99
• 5 gallon plants starting at $9.00
• 15 gallon plants starting at $35.00
PROMPT DELIVERY AVAILABLE
Winter Hours - call to confirm
Monday–Saturday 7:30–4:30; Sunday 9:00–4:30
Free Monthly Seminar
First Saturday of every month
Starting at 10am at two locations:
Carmel Valley and Oceanside
February 1: Landscaping With Succulents and Natives
Creating a beautiful landscape with succulents and natives without looking like a desert. Yes, it can be done and you’ll also use a lot less water.
Each FREE seminar is about 1 hour long. Refreshments will be provided. Seminar attendees will receive a coupon for an instant discount for any purchases made the day of the seminar!
To view our entire seminar schedule and check our hours of operation, visit us at www.evergreennursery.com
Send questions and comments to: email@example.com
Three Convenient Locations:
CARMEL VALLEY OCEANSIDE
13850 Carmel Valley Rd. 3231 Oceanside Blvd.
(858) 481-0622 (760) 754-0340
*****NEW location (limited hours, call first): EL CAJON
9708 Flinn Springs Rd., (619) 443-0873
Events at Public Gardens
✧ Alta Vista Gardens contact info on other side
See www.gardens.org for events & classes.
✧ San Diego Botanic Garden contact info on other side
Feb. 1, 9am-noon, Master Composter Course: Five week course, Saturday mornings through March 1. Priority will be given to residents of the City of Encinitas. See www.solanacenter.org to register.
Feb. 1 (9am-11am) & 8 (9-11am), Succulent Container Creations: Enjoy the tactile experience of making fun with a variety of stamps and other objects to create your own unique textured slab for a succulent container. Members $65, non-members $78. Materials fee paid to instructor on the first day: $25/student. Register by January 24.
Feb. 15, 9-11:30am, Outstanding Trees of San Diego: Members $20 non-members $24. Please register by February 7.
Feb. 25, 9am-2pm, Succulent Wreath Class: Make home a beautiful succulent wreath that you make yourself. Register by February 17. Members $60 non-members $72.
✧ The Water Conservation Garden
Register at www.thewatergarden.com; contact info on other side
Feb. 1, 10am-noon, Toss The Turf-Remove Your Lawn: A short course in lawn removal, tips for soil evaluation, tuning up your irrigation system. Free.
Feb. 1, 10am-noon, Home Composting Workshop: Learn the basics of composting. To register call the Solana Center at 760-436-7986 x 222, or see www.SolanaCenter.org.
Feb. 8, 10am-noon, How to Hire a Landscape Professional: Learn money saving tips and common pitfalls to avoid. Members Free, Non-Members $10.
Events Hosted by SDHS Sponsors:
Please thank them for supporting SDHS!
✧ Barrels & Branches Classes & Workshops
Info: firstname.lastname@example.org or (760) 753-2852. See ad on page 17.
✧ Cedros Gardens, Saturday and Sunday FREE classes.
Details at www.cedrosgardens.com.
✧ City Farmers Nursery Workshops
See www.cityfarmersnursery.com.
✧ Cuyamaca College - see insert in this issue
March 1, 10am & 1pm, Landscape Seminar: Register now!
See www.cuyamaca.edu/water.
✧ Evergreen Nursery: FREE Seminar Each Month
See column at left for details.
✧ Grangetto’s: FREE Workshops begin in March!
See insert in this issue or visit www.grangettosgardenclub.com.
✧ Sunshine Care FREE Seminar Each Month
Feb. 15, 10:30am, Successes and Failures in your fall/Winter Garden and Lawn – Spring is here!: We will go over your cool season crops and talk about your spring crops. FREE.
Address in ad on page 14. Info: (858) 752-8197 or www.sunshinecare.com.
✧ Walter Andersen Nursery FREE Saturday Classes
Details at www.walterandersen.com; addresses in ad on page 15.
Point Loma Park Poway 10am
Feb. 1 Winter Care of Cymbidium Orchids! Southern Ferns
Feb. 8 Why Plans Spring Bulbs Container Gardening
Feb. 15 Citrus & Avocado Culture & Care Fertilizers
Feb. 22 Spring Color! Plant Early & Wisely Landscaping With Natives
✧ Weidners’ Gardens classes & workshops
See www.weidners.com or call (760) 436-2194.
Next SDHS Meeting
February 10:
The Wild World of Succulents
See page I for details
More garden-related events on other side.
Free workshops for SDHS members!
Details & registration at www.sdhort.org
Feb. 1, Companion Gardening with Chickens (see page 8)
Learn how to successfully companion garden with chickens and all that they give back to one's garden.
Other Garden-Related Events:
Check with hosts to confirm dates & details
◆ Feb. 1 (noon–4) & 2 (10–4pm), San Diego Camellia Society Show & Sale: Balboa Park, Casa Del Prado, room 101. Info: 760-942-1919.
◆ Feb. 1, Ipm, American Begonia Society: Preserving “heritage” begonias 6040 Upland St. Info: (619) 262-7535 or email@example.com.
◆ Feb. 4, 6:30pm, San Diego Orchid Society: Orchids of Bhutan. Balboa Park, Casa Del Prado, rm 101. Info: www.sddoriches.org.
◆ Feb. 5, 6:30pm, Palomar Orchid Society: Paphiopedilum orchids. 1105 La Bonita Dr., San Marcos. See www.palomarorchid.org.
◆ Feb. 7, noon, Vista Garden Club: Container growing class & “Hummingbirds – Who Doesn’t Love Em!” McClellan Senior Center, 1200 Valle Terrace. Info: www.vistagardencub.org.
◆ Feb. 7, 1pm, Carlsbad Garden Club: Edibles in your landscape. 1775 Dove Ln, Carlsbad. See www.carlsbadgardenclub.com.
◆ Feb. 8 (10am–4pm), Cactus & Succulent Society Show & Sale: Balboa Park, Casa Del Prado Room 101. SEE INSERT IN THIS NEWSLETTER. Info: www.sdcssd.org or (858) 382-1797.
◆ Feb. 9, 1pm, Plumeria Society: Plumerias and Natives. Balboa Park, Casa Del Prado, Room 101. Info: www.socalplumeriasociety.org.
◆ Feb. 11, 10am, Dos Valles Garden Club: Benefits of Bees in Your Gardens. 31020 Cole Grade Rd., Valley Center. Info: www.dosvalleagardenclub.org.
◆ Feb. 12, 10am, Point Loma Garden Club: Flowering Trees. 2818 Avenida de Portugal. Info: www.plgjc.org or (619) 222-9304.
◆ Feb. 12, 10am, Poway Valley Garden Club: How to create an underground water garden. 14110 Midland Road, Poway. Info: www.powayvalleygardens.org or (760) 743-9500.
◆ Feb. 16, 10:30am-3:30pm, Wild Mushroom Fair: Native wild mushrooms on display; growing demonstrations. Balboa Park Casa Del Prado. Free. Info: www.sdmyco.org.
◆ Feb. 18, 7pm, California Native Plant Society: Defending the Rarest of the Rare, habitat restoration and research in support of Chorizanthe orcuttiana Balboa Park, Casa del Prado Botanical Library, Room 104. Info: www.cnps.org or (619) 282-8687.
◆ Feb. 20, Bernardo Gardeners Club: Join us for a trip to Descanso Gardens and a Tour of Old Pasadena. Info: www.bernardogardeners.org.
◆ Feb. 24, 2pm Lake Hodges Native Plant Club: Plant diseases that threaten your garden. 17110 Bernardo Center Drive, San Diego. Info: (858) 487-6661 or www.lhnpc.org.
◆ Feb. 25, 1pm, Fallbrook Garden Club: Grafted Veggies. 341 Heald Ln., Fallbrook. Info: www.fallbrookgardenclub.org.
◆ Feb. 26, 6pm, Mission Hills Garden Club: “Aloeicious” colorful and exotic Aloes that grow well in San Diego. 4070 Jackdaw St. Info: www.missionhillsgardenclub.org.
◆ March 22, Master Gardeners Spring Seminar: Register NOW! See page 3. Info: www.mastergardenerssandiego.org.
Do you belong to a garden club or organization whose events aren’t listed above?
For a FREE listing (as space permits) send details by the 10th of the month before the event to Neal King, our Calendar Editor, at firstname.lastname@example.org.
Resources & Ongoing Events
ALTA VISTA BOTANIC GARDENS: Open Monday-Friday 7:00-5:00 ; 10:00-5:00 on weekends. Fee: members/free; non-members/$2. 1270 Valle Terrace Drive, Vista. Info: www.avgardens.org or (760) 945-3954.
SAN DIEGO BOTANIC GARDEN: formerly QUAIL BOTANIC GARDEN. Open daily 9-5 (closed Thanksgiving, Christmas, New Year’s Day); 230 Quail Gardens Dr., Encinitas. Fee: $2/adults, $8/seniors, $6/kids; parking $2. Free to members and on the first Tuesday of every month. (760) 436-3036; www.SDBGarden.org.
THE WATER CONSERVATION GARDEN: Open 9-4 daily. FREE. Docent-led tours every Saturday at 10:00am. 12122 Cuyamaca College Drive West, El Cajon. (619) 660-0614 or www.thegarden.org.
MISSION BAY REGIONAL PARK: Guided hikes every Sat. & Sun. Visitor Center open 9-5, off Mission Gorge Rd., San Carlos, (858) 668-3275.
MASTER GARDENER HOTLINE: Gardening questions answered by trained volunteers Mon.-Fri., 9-3, (858) 822-6910, www.mastergardenerssandiego.org.
SAN ELIJO LAGOON CONSERVANCY: Free 90-minute public nature walk 2nd Saturday of each month start at 9 am. Call (760) 436-3944 for details.
DESERT WILDFLOWER HOTLINE: Anza-Borrego Desert State Park; (760) 767-4684. For information, events, road conditions, etc. call (760) 767-5311 or visit http://desertusa.com/wildlifedates.html.
WILDFLOWER HOTLINE: March to May call the Theodore Payne Foundation hotline: (818) 768-3533 for info. on blooms in Southern California and elsewhere. Visit http://theodorepayne.org.
BALBOA PARK:
Offshoot Tours: FREE 1-hr walking tour in Balboa Park every Sat., 10am. Meet at Visitors Center; canceled if rain or less than 4 people. (619) 235-1122.
Botanical Building is one of the world’s largest lath structures, with 1200+ plants and lavish seasonal displays. FREE. Open Friday—Wednesday, 10am to 4pm.
Botanical Library: Room 105, Casa del Prado, Mon.-Fri. and first Sat., 10am-3pm, FREE. Info: (619) 232-5762.
Japanese Friendship Garden: Tues. to Sun., 10-4. Fees: free Tuesday, $3/family; $2/adult, $1/seniors/students. (619) 232-3271, www.jfg.org.
CanyonWalk: FREE guided nature walks Saturday & Sunday. (619) 232-3821 X203 or www.sdhbm.org.
Balboa Park Ranger Tours: FREE guided tours of architecture/horticulture. Tuesdays & Sundays, 1pm, from Visitors Center. Info: (619) 235-1122.
San Diego Natural History Museum: Exhibits, classes, lectures, etc. (619) 232-3821; www.sdnhm.org.
S.D. Zoo: Garden day 3rd Friday of every month from 10am. Pick up schedule at entry. Info: (619) 231-1515, ext 4306; www.sandiegozoo.org.
Garden TV and Radio Shows:
Garden Compass Radio Show (local). Saturday 9–10am. KCEQ 1700AM radio, hosts Bruce Baginski and Audra, John Bagnasco. Call-in questions: (619) 370-1340 or (800) 660-4769.
GardenLife Radio Show (national). Saturday 8-9am and Sunday 8-10am. KCEQ 1000AM radio, hosts Bruce and Sharon Asakawa, John Bagnasco. Call-in questions: 866-606-TALK. Hear it streaming live on lifestyletalkradio.com. GardenLife shows are also archived at lifestyletalkradio.com.
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St. Mary Roman Catholic Church
32 Pearl Street, Claremont, NH 03743
Phone: (603) 542-9518 / Fax: (603) 542-9614
Website: www.stmaryparishnh.org
Email: email@example.com
Pastor
Rev. Maria Sebastian Susairaj, HGN
Administrative Assistant
Mary K. Keating
Music Director
Joe Labrecque
Interim Faith Formation Director
Kevin Krawiec
Please remember St. Mary’s Renovation Fund in your will.
WEEKEND LITURGY SCHEDULE
Saturday 4:00 PM
Sunday 8:00 AM / 10:30 AM
WEEKDAY LITURGY SCHEDULE
Monday / Thursday / Friday / Saturday 9:00 AM
MASSES AT OLD ST. MARY CHURCH
Saturday Morning Mass at 9:00 AM every week
(June to October) at Old St. Mary Church
SACRAMENT OF RECONCILIATION
Saturday 3:00 - 3:45 PM
VOCATIONS HOLY HOUR
Thursday 6:00 - 7:00 PM
ST. MARY CEMETERY
Old Church Road
Please call the Parish Office for inquiries or other information regarding the parish cemetery.
ADORATION CHAPEL
Closed until further notice!
Exposition of the Blessed Sacrament
Thursday ONLY 6:00 AM - 6:00 PM
Chapel Hours
Monday 8:00 AM - 2:00 PM
Tuesday 8:00 AM - 5:00 PM
Wednesday 8:00 AM - 5:00 PM
Thursday 6:00 AM - 6:00 PM
Friday 8:00 AM - 4:00 PM
Saturday 9:00 AM - 12 Noon
Sunday 1:00 PM - 2:00 PM
PARISH OFFICE HOURS
Monday - Thursday 8:00 AM - 2:00 PM
Friday 8:00 AM - 12:00 PM
June 5, 2022
Pentecost Sunday
The National Eucharistic Revival was created by the Bishops of the United States to address a reality in the Catholic Church today: that very few Catholics, approximately 30 percent, fully believe in the Real Presence of Jesus in the Eucharist. The National Eucharistic Revival is envisioned to be a true Revival to rediscover the source and summit of our Faith through a deep commitment of prayer, pilgrimage, and worship on the part of the entire Church in the United States.
Following the 10:30 AM Mass on the Feast of Corpus Christi (June 19th), there will be an hour of Eucharistic Adoration in St. Mary Church.
Come to Him. He is here for you.
WELCOME JESUS
INTO OUR DIOCESE, PARISHES, AND HOMES.
Diocesan-Parish Enthronement & Consecration
of the Sacred Heart of Jesus
& the Immaculate Heart of Mary
June 25, 2022
**June 4, 2022—June 12, 2022**
**Sat. Jun 4**
4:00 PM
Vigil of Pentecost Sunday
Dale Perkins (†)
By Family
**Sun. Jun 5**
8:00 AM
Pentecost Sunday
Alfred Villers (†)
By Family
10:30 AM
For the People
**Mon. Jun 6**
9:00 AM
The Blessed Virgin Mary, Mother of the Church
The United States of America
**Tue. Jun 7**
Weekday
No Mass
**Wed. Jun 8**
Weekday
No Mass
**Thur. Jun 9**
9:00 AM
Weekday
Robert Michaud (†)
By Family
**Fri. Jun 10**
9:00 AM
Weekday
Intentions of Stephen and Laura Grimm
By Buckley Family
**Sat. Jun 11**
9:00 AM—OSM
St. Barnabas, Apostle
Intentions of John and Mary Cassarino
By Buckley Family
4:00 PM
Vigil of The Most Holy Trinity
Deacon Paul Boucher (†)
By Karen Boucher
**Sun. Jun 12**
8:00 AM
The Most Holy Trinity
For the People
10:30 AM
Scott Burke (†) and Intentions of Deborah Burke
By Kevin Cameron
*The Rosary is prayed before each weekday Mass, beginning 20 minutes prior to the start of Mass.*
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**WEEKLY OFFERING . . . Stewardship**
Giving of Time, Talent and Treasure in gratitude for all of God’s gifts.
Thank you for your generosity!
Thank you also for those who make up envelopes!
**Offertory/Collections—May 29, 2022**
Online Collections
- Envelopes (43) $1,403.00
- Loose $1,127.00
- CCC $747.15
- Ascension Thurs $585.00
**Upcoming Second Collections**
- Fuel June 4/5
- Church Maintenance June 11/12
- Catholic Outreach June 18/19
**PLEASE NOTE** … Offertory checks made payable to: St. Mary Parish. You are welcome to indicate a second collection in the memo section of your check. Donations to Catholic Outreach should be made payable to “Catholic Outreach—St. Mary Parish.” NHCA checks should be made payable to “New Hampshire Catholic Appeal.”
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**PRAYER LIST**
Call the parish office to add/continue a person on the prayer list
| Becky Barl | Dennis Fontaine | Sylvia Michaud |
|------------|-----------------|----------------|
| Bill Beattie | David Grey | David Montano |
| Gloria Beattie | Jake Grey | Mary Ouellette |
| William Beattie | Deborah Hemingway | Melvin Parker |
| Deb Bedard | Kaiden Joseph | Don Pederson |
| Carol Braga | Timothy Houle | Roger Sheehan |
| Stephen Burlew | David Immic | Andrew St. Pierre |
| Angie Chicoine | Bob Jones | Elaine St. Pierre |
| Yvon Moe Derosier | Richard LaCasce | Mary St. Pierre |
| Mary DiFilippo | Lisa Laliberte | Mary Sullivan |
| Susan Doody | Claire Lessard | Peter Sullivan |
| Erick Eaton | Matthew Limoges | Christine Snyder |
| Charles Eastman | Roy Lucier | Scott Sweet |
| Joan Flaherty | Terry McGuire | Chee Chee Tyrrell |
| Charles Fletcher | Shirley McNutt | Louise Unger |
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**READINGS FOR THE WEEK . . .**
| Mon. Jun 6 | Gn 3:9-15, 20/Jn 19:25-34 |
|------------|----------------------------|
| Tues. Jun 7 | 1 Kgs 17:7-16/Mt 5:13-16 |
| Wed. Jun 8 | 1 Kgs 18:20-39/Mt 5:17-19 |
| Thurs. Jun 9 | 1 Kgs 18:41-46/Mt 5:20-26 |
| Fri. Jun 10 | 1 Kgs 19:9, 11-16/Mt 5:27-32 |
| Sat. Jun 11 | Acts 11:21-26; 13:1-3/Mt 5:33-37 |
| Sun. Jun 12 | Prv 8:22-31/Rom 5:1-5/Jn 16:12-15 |
The Anima Christi laminated prayer cards are to remain in the church so everyone may have the chance to enjoy their use at Mass. If you took one home, please return it to the church. The prayer may also be found on page 535 of the Pew Missal. Thank you!
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**Pope’s Monthly Prayer Intentions—June 2022**
**For Families**—We pray for Christian families around the world; may they embody and experience unconditional love and advance in holiness in their daily lives.
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The Sanctuary Lamp in St. Mary Church will burn this week in memory of the pour souls in purgatory.
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**Welcome New Parishioners…** Just moved to this area? We welcome you to St. Mary Parish. Please stop by the parish office or call (603) 542-9518 for “new parishioner” information!
HYMNS—Pentecost Sunday
Processional Hymn: #111—Come, Holy Ghost
Offertory Hymn: #198—O Breathe On Me O Breath of God
Communion Hymn: (Choir Only)
Recessional Hymn: #242—Sing of Mary
Sunday Meals
Fr. Sebastian is enjoying the food being provided for him on Sundays. If you are interested in setting aside an extra plate of food from your table or making a small meal for Father, please contact Gail Roberts at 603-543-4187 or firstname.lastname@example.org.
HOME VISITS
Fr. Sebastian is scheduling a monthly visit to the homebound on the 2nd Monday of each month. If you or someone you know would like to receive a visit from Fr. Sebastian, please call the Parish Office at 603-542-9518 or email Fr. Sebastian directly at his parish email address of email@example.com.
Knights of Columbus Fr. Cote Assembly 4th Degree
Business Meeting
Monday, June 6th, 7:00 PM
St. Joseph Hall
Father’s Day Bake Sale
Following 4:00 mass on June 18th and 8:00 & 10:30 masses on June 19th
Volunteer to help and/or bake your specialty.
Call Gail Leclerc-Roberts @ 603-543-4187 to coordinate your support.
Vocations
HOLY HOUR
Eucharistic Adoration & Benediction
Every Thursday Evening
6:00–7:00 PM
The Sanctuary candle burning in the church may be burned as an offering in memory of a loved one or for the special intention of someone by making a $10.00 donation to the parish. This is an offering that has been available at St. Mary Church but not given much attention over the past several years. The intention of the offering will be published in the bulletin. Offering requests made be scheduled for specific weeks of the year to commemorate special dates or anniversaries. Please contact the parish office for further information.
New Hampshire Catholic Appeal:
We are grateful to all parishioners who have given to the New Hampshire Catholic Appeal. As of today, our parishioners have raised $1,735.00 toward our goal of $28,422.00. 100% of the funds raised above this Appeal goal are returned to our parish this year. If you have not made your gift yet, please bring your gift envelope to Mass next weekend or make your gift online at www.catholicnh.org/nhca. Remember that the Appeal replaces several diocesan 2nd collections throughout the year. Extra gift envelopes are available in the pews. We need the support of all of our parish families to reach our parish goal. Thank you for your support of these important needs and ministries of the Church.
Please make all checks payable to New Hampshire Catholic Appeal.
Please consider online contributions to St. Mary Parish. Visit our website and click on the “Give Online” button.
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Persistent *Ascaris* Transmission Is Possible in Urban Areas Even Where Sanitation Coverage Is High
Drew Capone, Troy Barker, Oliver Cumming, Abeoseh Flemister, Riley Geason, Elizabeth Kim, Jackie Knee, Yarrow Linden, Musa Manga, Mackenzie Meldrum, Rassul Nala, Simrill Smith, and Joe Brown*
**ABSTRACT:** In low-income, urban, informal communities lacking sewerage and solid waste services, onsite sanitation (sludges, aqueous effluent) and child feces are potential sources of human fecal contamination in living environments. Working in informal communities of urban Maputo, Mozambique, we developed a quantitative, stochastic, mass-balance approach to evaluate plausible scenarios of localized contamination that could explain why the soil-transmitted helminth *Ascaris* remains endemic despite nearly universal coverage of latrines that sequester most fecal wastes. We used microscopy to enumerate presumptively viable *Ascaris* ova in feces, fecal sludges, and soils from compounds (i.e., household clusters) and then constructed a steady-state mass-balance model to evaluate possible contamination scenarios capable of explaining observed ova counts in soils. Observed *Ascaris* counts (mean = −0.01 log$_{10}$ ova per wet gram of soil, sd = 0.71 log$_{10}$) could be explained by deposits of 1.9 grams per day (10th percentile 0.04 grams, 90th percentile 84 grams) of child feces on average, rare fecal sludge contamination events that transport 17 kg every three years (10th percentile 1.0 kg, 90th percentile 260 kg), or a daily discharge of 2.7 kg aqueous effluent from an onsite system (10th percentile 0.09 kg, 90th percentile 82 kg). Results suggest that even limited intermittent flows of fecal wastes in this setting can result in a steady-state density of *Ascaris* ova in soils capable of sustaining transmission, given the high prevalence of *Ascaris* shedding by children (prevalence = 25%; mean = 3.7 log$_{10}$ per wet gram, sd = 1.1 log$_{10}$), the high *Ascaris* ova counts in fecal sludges (prevalence = 88%; mean = 1.8 log$_{10}$ per wet gram, sd = 0.95 log$_{10}$), and the extended persistence and viability of *Ascaris* ova in soils. Even near-universal coverage of onsite sanitation may allow for sustained transmission of *Ascaris* under these conditions.
**KEYWORDS:** onsite, sanitation, *Ascaris*, pathogens, helminths
**BACKGROUND**
When human feces is not safely managed, common in low- and middle-income countries,¹ susceptible individuals may be exposed to enteric pathogens through well-understood pathways.²⁻⁷ The environmental persistence of a pathogen is dependent on its characteristics and a range of environmental conditions, including temperature, moisture content, and UV exposure.³⁻⁵ By accounting for enteric pathogens entering and leaving a defined system and their proliferation or inactivation over time, a mass-balance approach for estimating fecal waste and fecal pathogen flows in specific settings of interest is possible. Such an approach may yield insights into the suitability of localized control strategies (e.g., improved onsite sanitation, safe child and animal feces management) to reduce exposures. In communities where onsite sanitation predominates and fecal wastes are initially sequestered in latrine pits, septic tanks, or other containment structures, further transport of wastes and accompanying pathogens is possible via emptying/desludging, flooding, leakage, aqueous effluent discharge or via flies and cockroaches.⁸⁻¹⁰ Such flows are typically quantitatively minor in comparison with the mass of fecal waste effectively sequestered on onsite sanitation systems but may still result in exposure risks if the mobilized pathogens in these media maintain viability in sufficient numbers to infect new hosts. Fecal wastes can also be released directly into the environment via open defecation or improper disposal of child feces,⁶,⁹ which is possible even where sanitation coverage is good; the presence of and access to a latrine does not guarantee use by all members of a household all of the time.¹¹
In addition, fecal wastes from animals may also contribute enteric pathogens to the living environment.¹²,¹³ Modeling the transport of human feces to soils may help explain why some...
onsite sanitation interventions did not achieve substantial reductions in enteric pathogen detection in soils, and may help inform and prioritize intervention strategies to control exposures and reduce the risk of infectious disease, and sequelae associated with enteric pathogens.
Recent cluster-randomized trials of sanitation interventions—and sanitation combined with water treatment and hygiene interventions—found mixed effects on child health outcomes. Some trials observed no effect on either child diarrhea or growth; while other trials observed improvements in growth but not diarrhea. These heterogeneous effects on child health outcomes may be because the interventions did not sufficiently reduce the transport of human and animal fecal wastes into the living environment.
Soils are studied in the context of sanitation and health because they may act as an important environmental pathway for enteric pathogens. Numerous studies have observed widespread fecal contamination in soils collected in and around the living environment. The enteric pathogens present in these soils reflect circulating enteric pathogens from ineffectively contained animal and human wastes. Enteric microbes have often been cultured from soils, suggesting the potential for infectivity at the point of sampling. Soil ingestion then poses a risk of infection to infants and young children where and when viable pathogens are present from the living or play environment. Potential infection risks may be high for the pathogens (e.g., protozoa and helminths) that can maintain viability for extended periods in soils.
Assessments of fecal contamination in soils often measure Escherichia coli, a fecal indicator bacterium, which can become naturalized in soils, or pathogen-associated nucleic acids via PCR. Quantitative estimates of the transport of child feces and fecal sludges to soils would be useful to inform sanitation interventions. However, using E. coli may overestimate the quantity transported due to the possibility of E. coli proliferation in soils. PCR-based approaches are feasible but would require consideration of nucleic acid persistence in soil.
Alternatively, the ova of Ascaris, a genus of soil-transmitted helminth (STH), can persist and maintain viability for years in soils, are only produced in the intestinal tract, and are commonly found in soils from endemic areas. Microscopic enumeration of ova is considered the gold standard. An estimated 760 million people worldwide are infected by Ascaris. Limitations to using Ascaris ova to estimate the transport of feces and sludges to soils include that ova are only shed by a subset of the population in endemic settings, microscopy requires highly trained technicians, and the ova of Ascaris lumbricoides, the species that infects humans, are morphologically similar to Ascaris ova shed by some animals (e.g., pigs shed Ascaris suum). Where these animals are absent, microscopic detection of Ascaris ova presents an opportunity to estimate fecal loading to soils.
Our research aim was to estimate the mass of human fecal loading to soils, bounded by confidence intervals, in four scenarios using a stochastic mass balance of Ascaris ova in soils from the living environment in Maputo, Mozambique. In scenario one, we assumed that all Ascaris ova enumerated in soils were transported from child feces; in scenario two, that all Ascaris ova were transported from fecal sludges; in scenario three, that Ascaris ova were transported from child feces and fecal sludges; and in scenario four, that all Ascaris ova were transported from the aqueous effluent of an onsite sanitation system. We subsequently modeled the transport of Ascaris ova to soils and quantitatively compared child feces, fecal sludges, and onsite sanitation system effluent as potential pathways of enteric pathogen transmission in this setting.
METHODS
Study Setting. This study was situated within the Maputo Sanitation (MapSan) trial, a controlled before-and-after trial that evaluated the impact of an urban onsite sanitation intervention (i.e., a pour-flush toilet to a septic tank with a soakaway pit) on children’s health outcomes. The study was located in low-income, informal neighborhoods of Maputo, Mozambique, where population density exceeded 15,000 inhabitants per km², sanitary conditions were poor, and the burden of disease was high. In this setting, clusters of households form compounds, which have a wall or fence to clearly delineate the property boundary. No pigs were present in the study area (Figure S1). The nongovernmental organization that delivered the sanitation intervention aimed to improve fecal sludge management in the study neighborhoods, but the intervention did not address child feces disposal practices. Knee et al. reported no impact of the onsite intervention on diarrhea or enteric pathogen carriage among intervention in children compared to those in the control group. At the 24-month follow-up of the MapSan trial, 5.6% (15/270) of intervention compounds and 30% (74/247) of control compounds reported emptying their onsite sanitation system in the previous 12 months, while 29% (289/980) of children aged one month to seven years defecated directly into the latrine. Among compounds that emptied in the previous year, most intervention compounds (10/15) reported mechanical emptying with a pump or vacuum truck, while most control compounds (67/74) reported manual emptying with buckets and shovels. While some residents were unsure where their fecal waste was ultimately disposed, most (57/74) control compounds and some intervention compounds (4/15) reported burying the pit contents inside the compound. The widespread detection of culturable E. coli and pathogen genes in soils 24 months post-intervention suggests that the intervention did not sufficiently reduce exposures despite nearly exclusive use (97%) among households served.
Four Scenarios. We relied on several fundamental assumptions and sources of data to estimate the transport of feces, fecal sludges, and aqueous effluent to soils inside a hypothetical compound (Table S1). First, we assumed that the soils from the four sampling points per compound were representative of the soils in the localized area. In addition, we assumed that ova only entered the system from child feces, fecal sludges, or effluent, that no soil or ova leave the boundary of the system, and that soil ingestion by residents is negligible compared to the quantity of soil in the localized area. Further, we applied a steady-state assumption to the number of ova in the localized area. We applied these assumptions to four plausible scenarios.
In scenario one, we assumed that the daily die-off of ova in the system was equal to the number of ova transported to soil from child feces (Figure 1). There was nearly universal latrine coverage and use during the MapSan trial, suggesting that the loading from adult open defecation may be negligible compared to the loading from child feces.
In scenario two, we assumed that the total ova die-off across the 1095-day timeframe was equal to the number of ova transported from fecal sludge to soil during a single event (e.g., emptying, overflow during flooding, or leakage). While infants and younger children are more likely to use diapers or a child potty, older children are more likely to defecate directly into the latrine.\textsuperscript{8,45} It is therefore expected that in some compounds, all children defecate directly into the latrine and the transport of child feces to soils may be negligible.
In scenario three, we assumed that the daily number of ova transported from child feces to soil was equal to half the daily ova die-off, and the resulting difference in ova at day 1095 compared to the initial value was equal to the number of ova transported to soil during a single transport event on day 1095. We assumed this ratio to demonstrate the potential transport that occurs from both sources, but no evidence exists to justify this assumption as more likely than a different assumption.
In scenario four, we assumed that the daily die-off of ova in the system was equal to the number of ova transported to soil daily from the onsite sanitation system’s aqueous effluent. While we did not observe sanitation systems with direct discharge to soil in this setting,\textsuperscript{7} these systems are common in other low-income urban areas,\textsuperscript{46–48} and these systems plausibly existed in study neighborhoods.
**Mass-Balance Model.** We applied a mass-balance approach to a hypothetical compound in Maputo, Mozambique. Presumptively viable \textit{Ascaris} ova were modeled stochastically in soil, stool, fecal sludge, and effluent (\textbf{eq 1}) to model four scenarios (\textbf{Text S1}). We use Ova\textsubscript{in,i} to denote the number of ova transported into the system on day $i$, Ova\textsubscript{out,i} for the number of ova that leave the system, and $-r_{a,i}$ to represent the number of ova that die off.
$$\text{Ova}_{\text{in},i} = \text{Ova}_{\text{out},i} - r_{a,i}$$
Assuming that Ova\textsubscript{out,i} = 0, because the quantity of soil that is transported out of the living environment or is ingested by residents is negligible, compared to the total quantity of soil in the system, we can rearrange our equation to Ova\textsubscript{in,i} = $-r_{a,i}$. The quantity of ova transported into the system (Ova\textsubscript{in,i}) can be described as the product of the concentration of ova in child feces, fecal sludge, or aqueous effluent ($C_{\text{ova},i}$) and the mass ($m_{\text{in},i}$) (\textbf{eq 2}).
$$\text{Ova}_{\text{in},i} = m_{\text{in},i} C_{\text{ova},i}$$
The die-off of ova ($-r_{a,i}$) can be described by \textbf{eq 3}, where $N_{t,(i-1)}$ is the initial number of ova in soil from the localized area and $N_{t,i}$ is the number of ova remaining on day $i$.
$$N_{t,(i-1)} - N_{t,i} = -r_{a,i}$$
Rearranging these equations enables us to solve for $m_{\text{in}}$, the mass of child feces or fecal sludge transported into the system (\textbf{eq 4}).
$$\frac{N_{t,(i-1)} - N_{t,i}}{C_{\text{ova}}} = m_{\text{in}}$$
**Initial Number of Ova in Soils.** We define the localized area for this study as the living environment for a hypothetical compound in a low-income urban unplanned settlement in Maputo, Mozambique (\textbf{Text S2}). We estimated the mass of soil that may potentially contain \textit{Ascaris} ova by accounting for the median compound surface area ($SA = 124$ m$^2$), the median percentage of the living environment covered by hardscape flooring ($P = 74\%$), the depth to which \textit{Ascaris} ova are likely transported ($d = 0.5$ cm), and the density of soil ($\rho_{\text{soil}} = 1.7$ g/cm$^3$)\textsuperscript{49} (\textbf{Text S2} and \textbf{eq 5}).
$$m_{\text{soil}} = SA(1 - P)d\rho_{\text{soil}}$$
We used maximum likelihood estimation (MLE, \textit{NADA} package in R) to fit a log-normal distribution to the observed number of viable ova in soils (\textbf{Figure S2}). In this process, we accounted for our recovery efficiency from sandy soil,\textsuperscript{50} which was 43% (\textbf{Text S3}). We randomly sampled the resulting log-normal distribution (\textbf{Table S1}) 274,000 times – the result of \textbf{eq 5} – to stochastically assign each gram of soil in the system a quantity of viable \textit{Ascaris} ova. We estimated $N_{t,(i-1)}$ (\textbf{eq 3}) for day 0 by summing the ova count across the simulated 274,000 grams of soil inside the system boundary.
**Ova Die-Off.** We assume a well-mixed batch reactor system that is recharged by feces, fecal sludge, or aqueous effluent, based on our simplifying assumptions. The die-off of \textit{Ascaris} ova each day can then be described by first-order kinetics in a batch system (\textbf{eq 6}).\textsuperscript{51}
$$\frac{dN}{dt} = -kN$$
Assuming isothermal conditions (i.e., $k$ is the constant) for each day, we integrate \textbf{eq 6} to obtain \textbf{eq 7}.
$$\int_{N_{t,(i-1)}}^{N_{t,i}} \frac{dN}{N} = \int_0^t k_i \, dt = k_i \int_0^t \, dt$$
Integrating \textbf{eq 7} then yields \textbf{eq 8}.
$$\ln \frac{N_{t,(i-1)}}{N_{t,i}} = k_i t$$
After rearranging \textbf{eq 8}, we can then solve for $N_{t,p}$, the number of viable ova remaining in the system, using \textbf{eq 9}.
$$N_{t,(i-1)} e^{-k_i t} = N_{t,i}$$
We calculated the decay constant, $k$, for each day using a temperature-dependent equation developed from the literature for wet soil with a pH of 7.2 (\textbf{eq 10} and \textbf{Figure S3}).\textsuperscript{51} We obtained temperature data corresponding to the three years preceding sample collection (June 1, 2015 to May 31, 2018) from the National Oceanic and Atmospheric Administration (Global Historical Climatology Network Daily Summary, \url{https://www.noaa.gov/}). In rare instances ($n = 16$ days) where data were not available, we used the previous day’s temperature data. With this approach, each day was modeled...
independently, and the number of ova estimated to die-off (i.e., \( N_{t,(t-1)} - N_{t,t} \)) each day was dependent on the historical average daily air temperature.
\[
\log_{10} k_b(T_t) = -0.0017T_t^2 + 0.303T_t - 9.9817
\]
(10)
**Transport of Ova into the System.** We modeled the transport of ova from child feces and liquid effluent to soil as a daily occurrence because both processes are likely to occur each day. However, we modeled the transport of ova in fecal sludge to soil after 1095 days (i.e., 3 years) because we previously observed that the mechanisms (e.g., emptying and flooding) that transport fecal sludge to the environment in this setting were infrequent.\(^{43}\) We selected 1095 days as the model timeframe because this represents the approximate amount of time from when MapSan trial data collection began and soil sampling occurred.\(^{41}\)
**Soil Collection and Microscopy.** In May 2018, we purposively collected soil at four locations from 90 compounds enrolled in the MapSan trial as part of a previous study.\(^{27}\) A subset of 140 samples from 35 compounds (15 intervention and 20 control compounds) were randomly selected via a random number generator for inclusion in this study. Standardized sample locations included a point 0.25 meters directly in front of (A) the household entrance, (B) the household’s solid waste storage container or pile, (C) the shared latrine entrance, and (D) a point where daily activities were frequently performed (e.g., dish or clothes washing and meal preparation). These locations were selected because pilot testing indicated they were easily identifiable by compound members and consistently accessible by field staff. Approximately 100 cm\(^3\) of soil was homogenized at each location and aliquoted into cryovials using an aluminum scoopula sterilized with 10% bleach and 70% ethanol between each sample. Samples were transported on ice to the Mozambican National Institute of Health (INS) in Maputo, Mozambique, where they were stored at \(-80\) °C. All samples were shipped from Maputo, Mozambique, to Atlanta, GA, on dry ice (\(-80\) °C) with temperature monitoring for analysis.
We developed and validated a rapid density flotation-based method to recover and enumerate helminth ova from soil (Text S4 and S5). Four grams of soil was combined with 10 mL of NaNO\(_3\) solution (specific gravity = 1.25) containing 0.1% Tween 80 in a sterile 15 mL centrifuge tube. The tube was shaken for two minutes and centrifuged at 500g for five minutes, and the resulting supernatant was analyzed using three mini-FLOTAC\(^{52}\) disks. Controlled experiments indicated recoveries of 43% from sandy soil, 16% from silty soil, and 77% from loamy soil (Text S3). In addition, we analyzed replicates from 20% of samples and used the mean of the two replicates as the overall result.
**Fecal Sludge Collection and Microscopy.** From October 2017–April 2018, we collected fecal sludges from onsite sanitation systems at a subset of intervention and control compounds enrolled in the MapSan trial. We randomly selected 18 samples (nine intervention, nine control) for microscopy from those that had previously tested positive for *A. lumbricoides* via PCR (prevalence = 88%)\(^{53}\) because PCR is more sensitive than microscopy for helminth ova, and we accounted for nondetects with eq 11. Detailed sample collection methods are described elsewhere.\(^{3}\) Briefly, we used a sludge nabber (Nasco, Fort Atkinson, WI) to collect fecal sludge from the surface of pit latrines and a modified Wheaton subsurface sampler (Fisher Scientific, Waltham, MA) to collect fecal sludge from the surface of the solid portion inside septic tanks. Sampling devices were sterilized with 10% bleach and 70% ethanol between uses. Sludge was collected into sterile 50 mL centrifuge tubes, transported to INS on ice, aliquoted into cryovials, stored at \(-80\) °C, and shipped to Atlanta, GA, on dry ice.
We adapted the mini-FLOTAC\(^{52}\) method for enumerating helminth ova from stools and soils for fecal sludges (Text S6). First, we added 0.5 grams of fecal sludge (wet weight) and 10 mL of NaNO\(_3\) solution (specific gravity = 1.25) into a sterile 15 mL centrifuge tube. Then, we manually shook the mixture for 20 seconds, pipetted 6 mL from the mixture to fill three mini-FLOTAC disks, waited for 10 minutes, rotated the disks, and then read the disks at 100X magnification.
**Stool Collection and Microscopy.** We collected stool from children aged 1 to 72 months as part of the MapSan trial.\(^{1}\) Each enrolled child and their caregiver were provided with stool collection supplies, including diapers or a child potty for older children no longer using a diaper. Field workers returned the following day to collect the stool specimens, which were stored on ice and transported to the Mozambican National Institute of Health’s Parasitology Lab. On the same day as sample collection, a lab technician at the Parasitology Lab enumerated helminth ova using the single-slide Kato-Katz technique (Vestergaard Frandsen, Lausanne, Switzerland).\(^{54}\) The MapSan trial protocol was approved by the Comite Nacional de Bioetica para a Saude (CNBS), Ministerio da Saude (333/CNBS/14), the Research Ethics Committee of the London School of Hygiene & Tropical Medicine (reference # 8345), and the Institutional Review Board of the Georgia Institute of Technology (protocol # H15160).
**Ova Classification.** As soils and fecal sludges were frozen for molecular analysis,\(^{15,53}\) we were unable to perform traditional STH viability assays after a period of embryonation.\(^{55}\) Instead, we used Schmitz et al.\(^{55}\) and other illustrative guides from the literature\(^{56–59}\) based on the lifecycle of *Ascaris* to classify ova as presumptively viable (Text S7). Any ova observed in the lifecycle of *Ascaris* from the single-cell stage to ova containing a visible larva were considered presumptively viable (hereafter referred to as viable ova). We used this approach because Cruz et al. indicated that early stages of ova development can further develop into infectious stages and should be considered when assessing viability.\(^{59}\) For a subset of soil samples and all fecal sludge samples, we also recorded the number of ova that appeared nonviable based on morphological characteristics (e.g., internal bubbling from heat inactivation)\(^{55}\) and the number that was infertile or dead.\(^{55}\) We assumed that all fertilized ova enumerated in stools were viable and infertile ova were not viable.
We accounted for child feces, fecal sludge, and aqueous effluent from which we did not detect viable *Ascaris* ova using eq 11. We divided each estimate of \(m_{\text{ova}}\) for stools or fecal sludges and aqueous effluent by the percentage (\(P_s\)) of children shedding *Ascaris* ova or pits containing ova, respectively.
\[
m_{\text{ova, total}} = m_{\text{ova}} \frac{1}{P_s}
\]
(11)
**Estimated Density of Ova in Stools and Fecal Sludges.** We assumed that if a child’s stool did not test positive\(^1\) for any *Ascaris* ova, then that child did not shed *Ascaris* ova, and likewise, if a fecal sludge sample was not positive for *Ascaris* ova via PCR, then that onsite system did
Table 1. *Ascaris* Ova in Soils, Fecal sludges, and Child Feces
| *Ascaris* classification | ≥1 ova observed | mean (SD) | median (IQR) |
|--------------------------|----------------|-----------|--------------|
| Soil (*Ascaris* ova per gram wet) | | | |
| presumptively viable | 64% (78/121) | −0.01 log₁₀ (0.71 log₁₀) | 1.3 (ND, 2.5) |
| presumptively nonviable | 60% (54/90) | −0.35 log₁₀ (0.84 log₁₀) | 0.66 (ND, 1.7) |
| any ova | 78% (70/90) | 0.45 log₁₀ (0.69 log₁₀) | 3.8 (1.2, 7.7) |
| Fecal Sludge (*Ascaris* ova per gram wet) | | | |
| presumptively viable | 100% (18/18) | 1.3 log₁₀ (0.95 log₁₀) | 41 (8, 310) |
| presumptively nonviable | 100% (18/18) | 1.3 log₁₀ (1.1 log₁₀) | 19 (3.5, 57) |
| any ova | 100% (18/18) | 2.1 log₁₀ (0.88 log₁₀) | 87 (29, 430) |
| Child Feces (*Ascaris* ova per gram wet) | | | |
| presumptively viable ova | 23% (124/548) | 3.7 log₁₀ (1.1 log₁₀) | 8400 (1500, 25000) |
“Stools (2%)” were positive exclusively for infertile *Ascaris* ova. The concentrations of presumptively viable ova for these samples were imputed from 1 ova/gram to the LOD of 24. ND = nondetect.
Figure 2. Presumptively viable *Ascaris* ova in soil samples by compound location (empirical data). Nondetects were imputed below the LOD, which is shown as the dashed red line.
not contain *Ascaris* ova. Exclusively infertile *Ascaris* ova were observed in stool from a small subset of children. Due to the biological plausibility that these children also shed fertilized viable ova, we imputed a random value from one to the Kato-Katz LOD, 24 ova per gram, for these children. Then, we used MLE (*fitdistr* package in R) to fit a log-normal distribution to the observed concentrations of viable ova in stools and fecal sludges.\(^{40}\) We did not include nondetect data to fit distributions because this would have negatively impacted the distribution fit to the data. Instead, we accounted for the input of feces and fecal sludges that did not contain ova using eq 11. This approach produced log-normal distributions characterizing the *Ascaris* ova density in child feces and fecal sludges, which we used as an input to our mass-balance model.
In addition, we estimated that the concentration of ova in the effluent was 5.5% of the concentration observed in fecal sludge. This value is based on the ratio of total solid concentrations reported for sludge and effluent in Manga 2017.\(^{41}\)
**Monte Carlo Simulation.** To propagate the variability in $C_{ova}$ for stools, fecal sludges, and aqueous effluent, we modeled eq 4 as a Monte Carlo simulation in R (version 4.0.4) (Figures S4 and S5). We randomly sampled from the log-normal distribution of ova in stools and aqueous effluent 10 times for each day, which we input to eq 4 to generate 10 different estimates of $m_{in}$ per day. The simulation ran using data for 1095 days and generated a total of 10,950 daily estimates of $m_{in}$ for each matrix. We modeled the transport of fecal sludges to soils as an event on day 1095. To propagate the variability in $C_{ova}$ for fecal sludge, we randomly sampled from the distribution of ova in fecal sludge 10,950 times to retain similarity with stool. Then, we solved eq 4 for $m_{in}$ using these estimates of $C_{ova}$ and calculated $m_{in, total}$ using eq 11. Finally, we pooled the daily estimates for stools and aqueous effluent across the entire timeframe and the estimates for fecal sludges from day 1095 to generate summary statistics.
**Sensitivity Analysis.** We conducted a sensitivity analysis by running the Monte Carlo simulation using different assumptions, including soil depth, soil density, recovery efficiency, fecal sludge transport frequency, and viability, to evaluate how changes in model parameters would impact our point estimates.
### RESULTS
**Soils.** We observed ≥1 viable *Ascaris* ova in 64% (78/121) of soil samples, with a mean of $-0.01 \log_{10} (\text{sd} = 0.71 \log_{10})$
Table 2. Estimates of Child Feces and Fecal Sludges Transported to Soil
| transport scenario | grams transported to soil per day | percentile of model output | grams transported to soil during a single event on day 1095 |
|--------------------|----------------------------------|-----------------------------|----------------------------------------------------------|
| | 10th | 50th | 90th | 10th | 50th | 90th |
| 1. only child feces| 0.04 | 1.9 | 84 | NA | NA | NA |
| 2. only fecal sludge| NA | NA | NA | 1000 | 17,000 | 260,000|
| 3. both child feces and fecal sludge| $2.4 \times 10^{-3}$ | 0.13 | 7.8 | 1100 | 17,000 | 260,000|
| 4. only aqueous effluent| 91 | 2700 | 82,000 | NA | NA | NA |
Viable *Ascaris* ova per gram of wet soil and a median of 1.3 ova per gram (Table 1). The viable ova counts per gram of wet soil were higher at latrine entrances (median = 1.4) and solid waste storage areas (median = 1.2), compared to household entrances (median = 0.61) and activity areas (median = nondetect) (Figure 2 and Table S2). We excluded 19 samples from analysis because they were evaluated using an incorrect concentration of Tween 80, while 121 samples were included. The median difference among the 27 replicates assessed was 0.67 viable ova per gram wet soil with an intraclass correlation coefficient (ICC) of 0.80, indicating good reliability. Among the 21 replicates analyzed by different technicians, the ICC was 0.76.
**Fecal Sludges.** We observed $\geq 1$ viable *Ascaris* ova in all fecal sludge samples ($n = 18$) that had been randomly chosen among those previously positive by PCR. The mean number of viable *Ascaris* ova per gram of fecal sludge (wet weight) was 1.8 log$_{10}$ (sd = 0.95 log$_{10}$), and the median was 41 ova per gram of fecal sludge (Figure S6).
**Child Feces.** We observed fertile *Ascaris* ova in 23% (124/545) of child feces and exclusively infertile *Ascaris* ova in 1.8% (10/545) of child feces. Among children shedding ova, there was a mean of 3.7 log$_{10}$ (sd = 1.1 log$_{10}$) ova per gram of feces and a median of 8,400 ova per gram of feces (Figure S6).
**Estimated Mass Transported to Achieve Steady State.** For model scenario one, where we assumed that all *Ascaris* ova in soil were transported from child feces, we estimated that the 10th percentile of fresh child feces transported to soil per day in the localized area was 0.04 grams, the 50th percentile was 1.9 grams, and the 90th percentile was 84 grams (Table 2). For model scenario two, where we assumed that all *Ascaris* ova were transported from fecal sludge to nearby soils during a single triennial event, we estimated that the 10th percentile of fecal sludge transported to soil was 1000 grams, the 50th percentile was 17,000 grams, and the 90th percentile was 260,000 grams. For scenario three, we assumed that half the daily die-off of *Ascaris* ova in soil was replaced by child feces, and fecal sludge transported *Ascaris* ova equivalent to the ova die-off after three years. In this scenario, we estimated that the 50th percentile of daily child feces transported to soil was 0.13 grams and the 50th percentile of annual fecal sludge transported to soil was 17,000 grams. For model scenario four, where we assumed that all *Ascaris* ova were transported from aqueous effluent, we estimated that the 10th percentile of effluent transported to soil per day was 91 grams, the 50th percentile was 2700 grams, and the 90th percentile was 82,000 grams (Table 2).
**Sensitivity Analysis.** Increasing the soil depth, soil density, recovery efficiency, and viable *Ascaris* ova in soil, which are used to calculate the initial number of viable ova in soils (i.e., $N_{1,0}$), resulted in increased mass loading estimates (Table S3). In scenario two, transport frequency had little effect on the estimated fecal sludge loading because nearly all *Ascaris* died off in the first year (Figure S7). Likewise, in scenario three, most of ova that died off needed to be replaced by ova from child feces to meaningfully reduce the estimated loading of fecal sludge during a transport event on day 1095 (Table S3).
**DISCUSSION**
Viable *Ascaris* ova were prevalent in soils and fecal sludges from household living environments in low-income urban communities in Maputo, Mozambique, with nearly universal onsite sanitation coverage. The observed concentration of *Ascaris* ova in soil could be held at the steady state by a relatively small amount of child feces or aqueous effluent transported to soil daily, or fecal sludge transported triennially. These findings suggest that nearly universal coverage of onsite sanitation alone may be insufficient to control pathogens such as *Ascaris* in endemic settings like Maputo.
The fact that each of these scenarios represents quantitatively limited inputs of fecal material reveals a key insight from this work: in endemic settings where STH and other enteric infections are common, the stakes for effective operation of sanitation infrastructure are high. Low- and middle-income settings are typically where basic technologies like pit latrines are proposed as solutions to achieve public health goals of sanitation expansion, but at the same time, they are places where even minor fecal flows carry non-negligible risks to people who may come into contact with environmental media (e.g., soils) contaminated with fecal wastes. The apparent challenge for the water, sanitation, and hygiene (WASH) sector and for sanitation innovation specifically is to develop control strategies that are completely effective in removing excreta from downstream human contact. Such strategies may require a substantial change from previous paradigms in WASH innovation, representing “transformative” approaches to controlling exposures. The definition of transformative WASH is debated, and while sewer systems remain a long-term goal in low-income settings, consensus is forming that packages of interventions tailored to locally relevant sources of fecal contamination, in addition to universal coverage of onsite sanitation, may be the foundation of transformative WASH.
The relative importance of the transmission routes we evaluated may vary in different contexts based on local sanitation infrastructure and practices. Additional work to define the localized relevance of these transmission routes, including in rural and peri-urban areas, would be helpful to inform interventions. Further, our model was limited to soil in the localized area. Exposures to *Ascaris* ova and other enteric pathogens occur through multiple well-understood pathways. Universal, comprehensive sanitation coverage requires safe management at each step in the disposal chain to reduce exposures.
The concept of a threshold effect, meaning that health gains are realized after a certain threshold of community level sanitation coverage is achieved, is important to the WASH field.\textsuperscript{67} Identification of these tipping points has been an aim of several studies to elucidate the hypothesized relationship with health outcomes.\textsuperscript{48–70} Our results directly inform this type of work. If such a threshold exists for \textit{Ascaris}, and potentially other enteric pathogens, it may require universal onsite sanitation coverage, as well as other complementary interventions that interrupt transmission from child feces, fecal sludges, and liquid effluent.
In scenario two, we estimated that the vast majority of \textit{Ascaris} ova died off in the first year, which has been demonstrated empirically under similar environmental conditions to those in Maputo.\textsuperscript{1,7,17,23} This provides further evidence that infrequent emptying is preferred over frequent emptying, given safe sequestration in the onsite system. Infrequent emptying limits the potential for spills, leaks, and aerosolization of sludge.\textsuperscript{59} During the 24-month phase of the MapSan trial, only 5.6% of intervention compounds reported emptying in the previous year, and most did so using hygienic mechanized emptying.\textsuperscript{13} On the other hand, 30% of control compounds emptied in the previous year, and most used less hygienic manual emptying. This difference may have contributed to the 38% reduction in the prevalence of \textit{A. lumbricoides} DNA that we observed in intervention latrine entrance soils compared to controls during the 24-month follow-up.\textsuperscript{13}
Any defecation event that does not completely and directly dispose of feces into an onsite containment structure or a toilet connected to a sewage network poses a risk of transporting some feces to the environment. Open defecation likely transfers some feces to soil even if the stool is picked up later, disposable diapers can break open or leak while stored in a solid waste pile, and reusable diapers require washing in water, which may be dumped onto nearby soil.\textsuperscript{59,74} This real-world heterogeneity, ranging from entire discarded stools to small quantities of stool transported from diapers or wash water, is reflected in the wide confidence interval around our child feces loading estimate in scenario one.
The age at which children begin directly using latrines varies based on prevalent sanitation technologies, culture, and other contextual determinants. A study in rural and peri-urban Cambodia found the mean age when caregivers believed their child could independently use a latrine was five years old.\textsuperscript{75} In low-income informal settlements in India, the median age caregivers reported beginning latrine training was three years and that they expected independent latrine use at five years. At the 24-month follow-up of the MapSan trial, only 29% (289/980) of children, who were one month to seven years old, defecated directly into the latrine.\textsuperscript{13} After this initial defecation event, MapSan trial caregivers reported that 17% (37/224) of child feces was ultimately disposed of in a latrine from children under two years and that 93% (547/574) was disposed in a latrine from children over two. In rural Bangladesh, caregivers reported that 89% of children under three years and 40% of children aged three to eight practiced open defecation.\textsuperscript{76} Open defecation by children may occur because caregivers believe that latrine use by their child would be unsafe or that their child is not developmentally capable.\textsuperscript{77} Latrine training mats, which offer increased safety and accessibility, are one potential intervention to increase latrine use by developmentally capable children.\textsuperscript{77}
There are limitations to our data collection and laboratory methods. First, we assessed \textit{presumptive} viability, which potentially misclassified ova. We estimated that 50% of \textit{Ascaris} ova in soils were viable, which is less than a recent study in rural Kenya (99%) and Bangladesh (70%).\textsuperscript{78} It is possible that we misclassified some roundworm ova from other animals, such as \textit{Toxocara} from cats and dogs or \textit{Ascaridia galli} from poultry, as \textit{Ascaris} ova. However, this was unlikely because \textit{Toxocara} are morphologically distinct, and we found no difference in ova counts between compounds with and without these animals (Figures S8 and S89). In addition, we collected fecal sludges near the surface of the solids in pit latrines and septic tanks, which represents relatively fresh feces. Ova at greater depths may have experienced greater die-off, suggesting that our methods underestimated the transport of fecal sludges to soils.
In addition, there are limitations to the modeling structure and parameters used. First, we applied simplifying assumptions to samples collected cross-sectionally, which permitted steady-state conditions, but included historical temperature data to account for temporal variation. We calculated the decay constant, $k$, via air temperature, not soil temperature, and assumed a constant pH and that the soil was wet. Variation in moisture content, pH, and sunlight may have resulted in an underestimation of \textit{Ascaris} ova die-off and subsequently underestimated the mass transported to soils. We also assumed a closed system, but mechanisms such as walking, wind, and yard cleaning can transport ova into or out of the localized area. Further, we only used data from children $\leq$7 years. However, there were likely no large-scale sources of \textit{Ascaris} ova except for child feces. Adult residents reported nearly universal latrine use and no pigs were present which eliminated the possibility of zoonotic shedding (e.g., of \textit{A. suum}\textsuperscript{41}). We observed greater \textit{Ascaris} ova counts in soils from latrine entrances and solid waste storage areas compared to household entrances and activity areas. By including these locations where ova may be more likely, we may have overestimated the initial number of ova in the system and subsequently overestimated fecal mass loading. Finally, this analysis represents a single pathogen in one low-income setting and required endemicity of \textit{Ascaris}.\textsuperscript{1,79} Yet, the flexibility of this approach offers the opportunity for similar mass-balance approaches using other common enteric pathogens that do not reproduce outside the gut (i.e., viruses, protozoa, and helminths) and targets shed universally in feces (e.g., human mitochondrial DNA).\textsuperscript{80} Such models may advance our understanding of how fecal wastes are transported to the localized environment.
At a localized scale in a low-income urban community, we estimated that a relatively small quantity of child feces or aqueous effluent transported daily to soil or a moderate quantity of fecal sludge transported infrequently could plausibly explain the observed density of \textit{Ascaris} ova in soils. In highly endemic settings, this indicates that nearly all fecal wastes must be safely sequestered because even small releases to the environment could allow the cycle of infection to continue. Foundational to helminth control efforts is mass drug administration (MDA), but in endemic settings, MDA is a short-term treatment strategy that should be accompanied by improvements to sanitation, hygiene, and housing to break the cycle of infection.\textsuperscript{31,82} However, onsite sanitation interventions have not demonstrated substantial reductions in environmental fecal contamination,\textsuperscript{13,83,84} and this work suggests that even nearly universal coverage of these systems alone may be
insufficient to interrupt *Ascaris* transmission in endemic settings. Instead, a sustainable environmental response to the risks posed by helminths and other fecal-oral pathogens will require policies and strategies capable of achieving a nearly complete reduction in the child feces and fecal sludges transported to the living environment.
**ASSOCIATED CONTENT**
**Data Availability Statement**
All data used in this paper will be available at a dedicated data repository at Open Science Framework (OSF.io) upon acceptance. Permanent link: [https://osf.io/8r4ty/](https://osf.io/8r4ty/).
**Supporting Information**
The Supporting Information is available free of charge at [https://pubs.acs.org/doi/10.1021/acs.est.2c04667](https://pubs.acs.org/doi/10.1021/acs.est.2c04667).
Text S1. Model framing; Text S2. mass of soil containing *Ascaris*; Text S3. recovery experiments; Text S4. microscopy training; Text S5. soil protocol; Figure S1. MapSan trial area; Figure S2. empirical and simulated ova in soil; Text S6. fecal sludge microscopy protocol; Text S7. presumptive *Ascaris* viability assessment; Figure S3. equation for decay constant $k$; Figure S4. empirical and simulated ova in fecal sludges; Figure S5. empirical and simulated ova in stool; Table S1. model parameters; Table S2. comparison of ova counts in soil; Figure S6. *Ascaris* concentration by matrix; Figure S7. ova in the system over time; Table S3. sensitivity analysis; Figure S8. chicken or ducks present; and Figure S9. dogs or cats present ([PDF](#)).
**AUTHOR INFORMATION**
**Corresponding Author**
Joe Brown — Department of Environmental Sciences and Engineering, Gillings School of Public Health, University of North Carolina at Chapel Hill, Chapel Hill, North Carolina 27599, United States; orcid.org/0000-0002-5200-4148; Phone: +1 919-360-8752; Email: email@example.com
**Authors**
Drew Capone — Department of Environmental and Occupational Health, School of Public Health, Indiana University, Bloomington, Indiana 47401, United States; orcid.org/0000-0002-2138-6382
Troy Barker — Department of Environmental Sciences and Engineering, Gillings School of Public Health, University of North Carolina at Chapel Hill, Chapel Hill, North Carolina 27599, United States
Oliver Cumming — Department of Disease Control, London School of Hygiene and Tropical Medicine, London WC1E 7HT, U.K.
Abasobeh Flemister — Department of Biology, University of North Carolina at Chapel Hill, Chapel Hill, North Carolina 27599, United States
Riley Geason — Department of Biology, University of North Carolina at Chapel Hill, Chapel Hill, North Carolina 27599, United States
Elizabeth Kim — Department of Biology, University of North Carolina at Chapel Hill, Chapel Hill, North Carolina 27599, United States
Jackie Knee — Department of Disease Control, London School of Hygiene and Tropical Medicine, London WC1E 7HT, U.K.; orcid.org/0000-0002-0834-8488
Yarrow Linden — Department of Environmental Sciences and Engineering, Gillings School of Public Health, University of North Carolina at Chapel Hill, Chapel Hill, North Carolina 27599, United States
Musaa Manga — Department of Environmental Sciences and Engineering, Gillings School of Public Health, University of North Carolina at Chapel Hill, Chapel Hill, North Carolina 27599, United States
Mackenzie Meldrum — Department of Civil and Environmental Engineering, Georgia Institute of Technology, Atlanta, Georgia 30332, United States
Rassul Nala — Ministério da Saúde, Instituto Nacional de Saúde Maputo, Maputo 1102, Mozambique
Simrill Smith — Department of Civil and Environmental Engineering, Georgia Institute of Technology, Atlanta, Georgia 30332, United States
Complete contact information is available at: [https://pubs.acs.org/doi/10.1021/acs.est.2c04667](https://pubs.acs.org/doi/10.1021/acs.est.2c04667)
**Funding**
This study was funded by the United States Agency for International Development ([www.usaid.gov](http://www.usaid.gov)) under Translating Research into Action (Cooperative Agreement No. GHS-A-00-09-00015-00) and the Bill & Melinda Gates Foundation ([www.gatesfoundation.org](http://www.gatesfoundation.org)) Grant OPP1137224. The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. D.C. was supported in part by an NIH T32 Fellowship (5T32ES007018-44).
**Notes**
The authors declare no competing financial interest.
**ACKNOWLEDGMENTS**
The authors would like to gratefully acknowledge data collection services and support provided by the WE Consult team, including the outstanding work of Zaida Adriano, Tesse Bijleveld, Bacelar Muneme, Isabel Maninha Chiquele, and Sérgio Adriano Macumbe.
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COLLISIONS BETWEEN ELECTRONS AND NUCLEI.
By B. Touschek.
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PREFACE.
This thesis represents a review of the work on electron excitation carried out by the author in collaboration with Dr. I. N. Sneddon during the years 1947 to 1949. It resulted from a lecture on isomeric states, which Mr. Angus delivered early in 1947 at the Physics Colloquium at this university. In this lecture the experiments of Wiedenbeck on the excitation of nuclei by electrons were discussed in some detail.
Most of the work was done independently from the work of other investigators (a paper on the disintegration of Be by Mamasachlisov was found when a letter on electron excitation had already been published by the author), but where in the meantime investigations of a similar type have come to our notice they were found to be in fair agreement with our results.
The basic methodological idea of the present thesis in which the transition of an electron from one state to another is understood as equivalent to a certain electromagnetic field which interacts with the nucleus stands somewhere between the Weizsäcker Williams method
and the expansion method used in the quantum theory of radiation. The results obtained are identical with those of the latter method.
This interpretation of the basic phenomenon which for some time appeared to be new has been previously used by other authors and is reviewed in relation to the disintegration of deuterium in Rosenfeld's 'Nuclear Forces'. Out of the whole complex of problems related to the interaction between electrons and nuclei that of the electron disintegration of deuterium has received maximum attention, owing partly to the fact that most of the properties of this nucleus (wavefunction) are well known and owing to the small energy expenditure in this process. Since the treatment of disintegration phenomena (as disintegration phenomena) is in general very similar to that reviewed in Rosenfeld's book this subject has not been included in the present thesis. Here disintegration is treated as a special case of nuclear excitation a concept closely related to the idea of the compound nucleus: the compound nucleus is formed under electron impact; if it decays under emission of a heavy particle we have a nuclear disintegration, but the mode of decay has little influence on
the formation of the compound nucleus. This concept seems to be better adapted to the treatment of heavy nuclei.
The main purpose of this investigation was to gain some insight into the most general properties of electrons as nuclear projectiles, mainly because it was felt that the machines shortly expected to operate in this department would make such knowledge useful and necessary. This purpose defines the frame of the present thesis from which all considerations related to particular nuclei have been excluded.
Paragraphs 1-3 contain a general development of the theory. The nuclear transition is described in terms of the matrix element of the current corresponding to this transition; the justification of this procedure in the case of magnetic transitions is given in appendix 2.
Paragraphs 4-7 contain the application of this theory to simple multipole transitions.
The following sections 8-10 discuss 'sum-rules' for the excitation of nuclei, similar to those known
in the theory of atomic spectra. These considerations establish the electron on the bottom of the scale of nuclear projectiles: their total cross sections are very small and the average energy transfer in a collision is only of the order of 1 MeV for heavy nuclei.
Paragraph 11 gives a brief account of the present status of the work on the behaviour of electronic excitation curves near the threshold. The agreement reached with the experimental data given by Wiedenbeck is poor and the work on this topic is still going on.
Paragraphs 12 and 13 establish a reasonable agreement with the experimental estimates of the order of magnitude of the cross section for electron excitation given by Collins and Waldmann.
Paragraphs 14 and 15 deal with the production of pseudoscalar mesons in collisions between electrons and nuclei, a question suggested by the development of electron accelerators in the 300 MeV region.
Appendix 1 gives the formalism for the determination of nuclear matrix elements. This formalism is applied to magnetic transitions in appendix 2.
The work on all the sections of this thesis has been greatly stimulated by numerous discussions in this department. I wish to thank in particular Professor P.I. Dee for his kindness, his criticisms and the encouragement given at all stages of the work, Professor J.C. Gunn to whom I am indebted for a valuable suggestion on the subject of meson production and Dr. I.N. Sneddon for many discussions and the hours of joint work.
CONTENTS.
1) The Interaction between Electrons and Nuclei. .......................... 1
2) The Electromagnetic Field produced in an Electron Transition. ........... 8
3) The Electromagnetic Interaction between Electrons and Nuclei. .......... 15
4) Determination of the Tensor S. ............................................ 21
5) The Multipole Approximation. ............................................... 24
6) Electric Dipole Transitions. ................................................ 29
7) Electric Quadripole and Magnetic Dipole Transitions. ..................... 32
8) Sum Rules for very High Energies. ......................................... 37
9) Sum Rules for the Dipole Approximation. ................................... 41
10) Estimate of the Error in Extrapolating the Dipole Sum Rules to Multipole Transitions. .............................................................. 49
11) The Threshold Problem. ....................................................... 56
12) Estimate of the Nuclear Quadripole Moment ................................ 63
13) Discussion. .............................................................................. 66
14) The Production of Mesons by Electrons. ..................................... 72
15) Numerical Evaluation of the Meson Spectrum and the Cross Section for Meson Production; Discussion of the Results. ................................. 82
Appendix 1. ..................................................................................... 89
Appendix 2. ..................................................................................... 100.
The Interaction between Electrons and Nuclei.
Since the discovery of the neutron it is generally assumed that electrons do not form a part of the atomic nucleus. To explain the various phenomena related to $\beta$-decay one has to assume a peculiar and essentially quantised interaction between electrons and nuclear matter in consequence of which electrons and neutrinos can be created and annihilated in the nucleus. Since the lifetimes of $\beta$-emitters are very long in comparison with the unit nuclear time $R/v$ (R = nuclear radius, v = some average velocity of a nucleon in an atomic nucleus) the forces arising from this interaction will be very small. Mathematically this smallness of interaction manifests itself in the form of a dimensionless constant $\gamma \approx 10^{-24}$ which in the theory of $\beta$-decay plays a rôle similar to that played by the Sommerfeld constant $\alpha = 1/137$ in the quantum theory of radiation. In addition to the specific interaction arising from the possibility of $\beta$-decay we have to assume electromagnetic forces between the electrons and the charges.
in the nucleus.
The introduction of the meson has brought some additional complication into the pattern of forces acting between electrons and nuclear matter. If a charged meson theory is assumed there will be an electromagnetic interaction between the electrons and the mesons. But since the mesons can be thought of as bound to the nucleons with an energy approximately equal to their rest energy their presence will only become apparent for very fast electrons that is when the de Broglie wavelength of the electron becomes small enough to resolve the meson cloud in the neighbourhood of a nucleon. In this case the exchange of charge (and magnetic moment) between the nucleons and the mesons will give rise to an electromagnetic field which in its turn will interact with the electrons. This interaction will give rise to the production of mesons in collisions between electrons and nuclei, the production of quanta and electron pairs in collisions between mesons and nuclei and other processes of this type.
The mesons are generally considered to be radioactive - an assumption which has recently been put on a solid quantitative basis [19]. Whatever the detailed nature of this radioactivity - which today is believed to lead over an intermediate longlived $\mu$-meson - one branch of it at least should in the end lead to the simultaneous production of an electron (carrying the charge of the meson) and a neutrino. In this way and in agreement with the original proposal made by Yukawa the mesons can be made responsible for the whole complex of $\beta$-decay phenomena, such that e.g. the $\beta$-activity of the neutron could be described in terms of the (virtual) processes
$$n \rightarrow p + \pi^- \rightarrow \ldots \rightarrow p + e + v$$
where the ... indicate processes involving the $\mu$-meson. As a consequence of the radio activity of the mesons there results a specific $\beta$-type interaction between the mesons and the electrons similar to that previously assumed for nucleons. The force resulting from this interaction will be describable in terms of a dimensionless constant $y'$, the magnitude of which can be estimated in the following way. Since it is known
that nucleons interact strongly with one another (the force acting between two closely spaced nucleons is certainly very much greater than the electrostatic force) the creation of a $\pi$-meson in a virtual process is a very frequent event. It follows that a nucleon will spend a considerable portion of its time in the resolved state, i.e. in the form: nucleon + one or several mesons. It can therefore be concluded that the constant $\chi'$ will be of approximately the same order (though possibly by a factor 10 larger) as the constant $\chi$ appearing in the original Fermi theory of $\beta$-decay.
The smallness of this constant justifies the neglect of any specific $\beta$-interaction, whenever the times involved in the process under consideration are small. This is particularly true for all scattering processes, since there the natural unit of time is the time required by the scattered particle to cross the nucleus. This can be easily verified by estimating the order of magnitude for a typical $\beta$-process, e.g. the production of a neutrino in a collision between an electron and a proton: $e + p \rightarrow n + \nu$. For
moderate energies (a few Mev above the threshold) this cross section will be of the order $\gamma \lambda_0^4$ where $\lambda_0$ is the Compton wavelength of the electron. With $\gamma \simeq 10^{-24}$ this gives $10^{-46} \text{ cm}^2$. The absorption length corresponding to this cross section would be larger than the diameter of the sun. Cross sections of this order may be of considerable cosmological importance but seem hardly detectable under laboratory conditions. The probability of the above process increases rapidly with energy up to a point where in the centre of mass system the wavelengths of the light particles are comparable with nuclear dimensions. Beyond this point the applicability of theory becomes doubtful and it seems probable that radiation-damping will check the increase to infinity of the cross section. But even if the increase in cross section beyond the critical energy region were real it would only be of importance for the fastest particles in cosmic radiation ($>10^{18} \text{ ev}$).
Fermi's original theory of $\beta$-decay shows a peculiar divergence phenomenon associated with a 'resonant' continuum of intermediate states and it might be argued, that this may give rise to cross sections in
excess of the value of $10^{-46}$ cm$^2$. This argument would hold in particular for processes such as the elastic scattering of an electron or a neutrino by a nucleon. This divergence difficulty is however a characteristic of Fermi's 'quadrilinear' formulation of the theory of $\beta$-decay. It does not appear if mesons are assumed as carriers of $\beta$-activity.
We are therefore left with a purely electromagnetic interaction between the electrons and the nucleus, particularly in an energy range of up to approximately 500 Mev to which the calculations in this paper are restricted. The limitation to energies of this order allows an approximately non-relativistic treatment of the nucleons. Recent calculations by Heitler and coworkers show that radiation damping - which will be neglected in the following - is of minor importance in this energy region.
2) The Electromagnetic Field Produced in an Electron - Transition.
In any scattering experiment with electrons as primary particles the electron undergoes a change of state. This change of state is accompanied by an electro-magnetic field which in its turn may interact with the scatterer.
We assume that the initial state of the electron can be described completely in terms of a Dirac wave function corresponding to a plane wave with momentum $p$ and energy $E$ ($E^2 = 1 + p^2$) at an infinite distance from the scatterer. In the following radiation units will be used: $m$, $c$, $\hbar = 1$ ( $m =$ mass of the electron, $c =$ velocity of light, $\hbar = h/2\pi$, $h =$ Planck's constant). In this system of units the unit of length is the Compton wavelength of the electron
$$\lambda_0 = 3.85 \times 10^{-11} \text{ cm}$$
and the elementary charge is given by
$$e^2 = \alpha = 1/137.$$
The system itself suggests the use of Born's approximation in which the effect of the charge is treated as a small perturbation. The final state of the electron
will be indicated by primed quantities: $E'$ describing the energy of the final state. To the transition $0 \rightarrow f$ from the initial state to the final state we may then ascribe a current density $(f|s_\nu(r)|0) e^{-i\kappa t}$, where $\kappa = E - E'$. For inelastic collisions we will have $\kappa > 0$, for elastic collisions $\kappa = 0$. The 4 components of $s$ satisfy the equation of continuity
$$\partial_\nu s_\nu = 0 \quad (1)$$
where $\partial_\nu = \frac{\partial}{\partial x_\nu}$ and $x_1, x_2, x_3, x_4 = x, y, z, it$. In the following we will have $s$ denote the kinematical current, i.e. the electric current divided by $e$. The electric forces may now be derived from a 4-potential $A_\nu$, the first 3 components of which form the vector potential. The 4-potential will be understood to be the retarded solution of the equation
$$\partial^2_\nu A_\mu = -4\pi s_\mu$$
which with the assumed time dependence of $s$ gives
$$A_\mu(r,t) = \int dr' S_\mu(r') \frac{e^{ik(t-|r-r'|)}}{|r-r'|} \quad (2)$$
From (2) one obtains a very simple form for the 4-potentials if the electron waves of the initial and final
states can be taken to be plane waves. In this case
\[ s_v = \alpha_v e^{i(\mathbf{k}r)} \]
(3)
with \( \mathbf{k} = \mathbf{p} - \mathbf{p}' \). \( \alpha_v \) represents the expectation value for the transition \( O \rightarrow f \) of the matrices \( \alpha_v = (\alpha, i) \). Inserting from equation (3) into equation (2) one obtains after an elementary integration and by enforcing convergence by a suitable 'screening-factor'
\[ A_v(r,t) = \frac{4\pi e \alpha_v}{k^2 - k'^2} e^{i((\mathbf{k}r) - \mathbf{k}t)} \]
(4)
The 4 components \( A_v \) are related by the Lorentz-equation
\[ \partial_v A_v = 0 \]
(5)
which follows from the equation of continuity (1). The exponent in equation (4) shows that the field produced by a change of state of the electrons has the form of a wave with a vector of propagation \( \mathbf{k} \). In the case of an inelastic collision it is interesting to note that \( (\mathbf{k}p) \) is always positive, so that the momentum carried by the wave can never be directed opposite to the momentum of the incident electron. The phase velocity of the wave is always smaller than the velocity of light, which it only approaches when \( p \) and \( p' \) are nearly parallel and both \( p, p' \gg \max(1, k) \). In this case
the transverse part of the field is nearly equal to that of a suitable spectrum of light quanta. The Weizsäcker-Williams method is based on this fact and therefore restricted to the above inequality. This is the reason why this method should not be applied to large energy transfers.
The spacepart of the exponent in equation (4) defines the momentum transferred from the electron to the scatterer, the time part the energy. Because of the conservation of energy the energy of the scatterer must change from $E_0$ to $E_0 + \kappa$. A part of the energy of the electronic transition will turn up as nuclear recoil, another as a change of the intrinsic energy of the scatterer. The recoil-energy is usually negligible being at most of the order $\hbar^2/4000$ (for a proton with mass $M = 2000$). However for electrons with energies of approximately 120 Mev the recoil energy of a single proton will be of the order of 8 Mev that is roughly equal to its binding energy within the nucleus.
It follows from equation (4) that - the energy
being given - the most frequent transitions will lead to a final state near to that corresponding to a minimum transfer of momentum. This effect will be most pronounced for extremely high electron energies and small energy transfers. It is due to the denominator $D = k^2 - \kappa^2 = p^2 + p'^2 - 2pp'\cos\theta - \kappa^2$ ($\theta$ being the angle between $p$ and $p'$). Using extreme relativistic approximation we have
$$p = E - \frac{1}{2E} + O(E^{-2})$$
so that
$$D = 2pp'(1 - \cos\theta) + \frac{\kappa^2}{pp'}.$$
We see therefore that the 4-potential corresponding to 'forward-transitions' is of the order of $4p^4p'^2/\kappa^2$ times stronger than for inelastic processes leading to backward scattering. This factor is approximately 1400 for electrons of 20 Mev energy and an energy transfer of 5 Mev. For the width of the maximum we obtain from equation (7): $\theta_{1/2} = \kappa/pp'$. It is defined in such a way that the amplitude of the 4 potential averaged over the solid angle $\theta_{1/2}\pi$ is roughly the same as the average
over the rest of the solid angle.
The perturbation formalism will in general lead to terms proportional to $D^0$, $D^{-1}$ and $D^{-2}$. For the term proportional to $D^0$ the large scattering angles will give the major contribution to the angular integration, for $D^{-1}$ large and small scattering angles will be of equal importance, whereas for terms proportional to $D^{-2}$ the backward component can be neglected. One would therefore expect that - since all cross sections calculated in this paper are proportional to the square of the amplitude - the behaviour of $D^{-2}$ would introduce a considerable simplification of the calculations. That this will not be the case is due to the fact that the angles occur in the factors $\alpha$, as well as in the denominator (this makes terms proportional to $D^0$ and $D^{-1}$ appear in the differential cross sections) and that the equation of continuity for the 4-current corresponding to the change of state of the nuclear scatterer causes a considerable cancellation in the forward direction. The important terms are those proportional to $1/D$. They are in the end responsible for the slow logarithmic increase.
with energy of the cross sections of most processes involving electrons as primary particles. This logarithmic increase can be deduced from the fact that because of \( d\cos\theta = -dk^2/2pp' \), the angular integration over the directions of the electron in the final state gives
\[
\int d\cos\theta/D = \log(p+p')/(p-p')
\]
and this is indeed the asymptotic behaviour for large energies of all the cross sections derived in this paper.
We have yet to specify the quantities \( \alpha_v \) occurring in equation (3). They can be expressed in terms of the Dirac matrices
\[
\sigma = \begin{pmatrix} 0 & \Sigma \\ \Sigma & 0 \end{pmatrix}
\]
with
\[
\sigma_x = \begin{pmatrix} 0 & 1 \\ 1 & 0 \end{pmatrix}, \quad \sigma_y = \begin{pmatrix} 0 & -i \\ i & 0 \end{pmatrix}, \quad \sigma_z = \begin{pmatrix} 1 & 0 \\ 0 & -1 \end{pmatrix}
\]
\( \alpha_v \) then becomes
\[
\alpha_k = (\alpha^\dagger \ast \alpha_k \alpha) \quad \alpha_4 = i(\alpha^\dagger \ast \alpha)
\]
(k = 1, 2, 3), where \( \alpha = \alpha(p, s) \) are the Dirac spin amplitudes for a plane wave. They are defined by the equation
\[
((\alpha p) + \beta - E_s)\alpha(p, s) = 0
\]
and the additional requirementsthat for \( s = 1, 2 \quad E_s > 0 \)
for $s = 3,4 \quad E_s < 0$, for $s = 1,3 \quad a^*(\sigma p)a = p$ and for $s = 2,4 \quad a^*(\sigma p)a = -p$. The $a(p,s)$ represent a complete set of eigensolutions to equation (9).
3) The Electromagnetic Interaction between Electrons and Nuclei.
In this paragraph we will discuss the form of the interaction matrix between the field corresponding to the transition of the electrons and the current corresponding to the transition carried out by the nucleus. Neglecting electrostatic forces acting between the nucleus as a whole and the electrons we may represent the electronic states by plane waves and use the method of approximation which has been developed by Born and applied by Möller and Bethe to the calculation of the energy-losses due to ionisation.
The limitations of this procedure will be discussed in paragraph II. In this place it may suffice to state that the method should be applicable to
light nuclei ($2\pi Z < 137$) and for electron energies $\gg mc^2$.
The physical picture underlying the method used in this paper is a nucleus situated at the origin and exposed to the electromagnetic field corresponding to the transition of the electron from its initial state to its final state. The electromagnetic field is defined in equation (4). We assume that under the influence of this field the nucleus will make transitions from a state $O$ with energy $0$ to a state $f$ with energy $\kappa$. The final state $f$ may belong to the continuous as well as to the discrete spectrum of the nucleus, though this distinction in nuclear theory is not nearly as rigid as in the field of atomic spectra. The theory can be carried quite far without specifying the nature of the final state. The nuclear transition will be characterised by a current 4-vector $j_\nu e^{i\omega t}$. The determination of $j_\nu$ - assuming the nuclear eigenfunctions of the initial and final state to be known - will be carried out in appendix 1. The 4 components of the current vector are related by the equation of continuity
$$\partial_\nu j_\nu \equiv (\nabla j_3) + \kappa j_4 = 0$$ \hspace{1cm} (10)
The interaction energy corresponding to the forces acting between the field and the nucleus is then given by
\[ H' = e \int d\mathbf{r} A_\nu(\mathbf{r}, t) j_\nu(\mathbf{r}) e^{i\mathbf{k}\cdot\mathbf{r}} \]
(11)
which after inserting from equation (4) and with the abbreviation
\[ J_\nu = \int d\mathbf{r} j_\nu(\mathbf{r}) e^{i(\mathbf{k}\cdot\mathbf{r})} \]
(12)
gives
\[ H' = \frac{4\pi a}{k^2 - \kappa^2} a_\nu J_\nu \]
(13)
By means of the equations of continuity and the Lorentz-condition we can eliminate the components with \( \nu = 4 \) in equation (13). For \( a_\nu \) we obtain by using equations (1) and (4)
\[ i(a_k) - \kappa a_4 = 0 \quad a_4 = \frac{i}{\kappa}(a_k) \]
(14)
Inserting for \( j_4 \) from equation (10) into equation (12):
\[ J_4 = \int e^{i(k\cdot r)} j_4(r) d\mathbf{r} = -\frac{1}{\kappa} \int e^{i(k\cdot r)} (\nabla j) d\mathbf{r} \]
we obtain by using Gauss's theorem
\[ J_4 = \frac{i}{\kappa}(k \cdot J) \]
(15)
Inserting this into the expression (13) for the perturbation energy we finally obtain
\[ H' = \frac{4\pi a}{k^2 - k'^2} (a, J - k \frac{(3k)}{k^2}) \] \hspace{1cm} (16)
From this equation we may now determine the cross section (in units of \( \lambda_o^2 \)) by means of the well known relation
\[ d\Phi = \pi \frac{e}{p} \sum_{sS'} |H'|^2 g_f \, d\omega \] \hspace{1cm} (17)
Here \( d\Phi \) denotes the differential cross section corresponding to an inelastic scattering process in which the electron is scattered into an element of solid angle \( d\omega \), \( g_f \) is the density of final states of the electron:
\[ g_f = (2\pi)^{-3} p'e' \] \hspace{1cm} (18)
and \( \sum_{sS'} \) represents a summation over the spin-eigenvalues of the initial and final state of the electron.
The cross section (17) therefore is the differential cross-section averaged over the directions of spin of the incident electron and summed over the directions of the final electron. Inserting from equations (16) and (18) into equation (17) one obtains
\[ d\Phi = 2a^2 \frac{ee'p'}{p} (k^2 - k'^2)^{-2} p \] \hspace{1cm} (19)
where $P$ is defined by the relation
$$P = \left| \int d\tau s_\nu \right|^2 = S^* S$$ \hspace{1cm} (20)
$S$ is the symmetric tensor
$$S = \sum_{ss'} ((I - \frac{k k}{k^2}) a a (I - \frac{k k}{k^2}))$$ \hspace{1cm} (21)
In this equation, all the vector products are dyadic.
Equation (19) is identical with a formula given by Bethe on the basis of the Möller theory of retarded electromagnetic interaction. The term $P$ is of the form
$$P = \left| \int j_\nu s_\nu d\tau \right|^2$$
and appears in this form in Bethe's theory of ionisation processes.
Equation (19) contains all information about the process of inelastic electromagnetic scattering in the range of validity of Born's approximation and the further calculations will proceed in three steps:
1) The determination of the tensor $S$ - defined in equation (21). Its value when inserted into (20) and (19) will give the differential cross section for a
given direction of \( p' \) averaged over the spin of the electron. The cross section so obtained will still depend upon the orientation of the nuclear spin in the initial and final states.
2) An averaging process over the spin-orientations of the nucleus in the initial state and a summation over the - physically equivalent - spin-orientations of the final state. When these summations are carried out the cross section will depend upon the direction of \( p' \) only.
3) Finally the integration over all the possible values of the vector \( p' \) will be carried out. We then obtain the total cross section for the production of a given final state of the nucleus in a collision between an electron and the nucleus.
If the energy of the electron is sufficiently large a further summation may be carried out over the possible final states of the nucleus. These states will be allowed to have different energies and simple relations are obtained when a certain average excitation energy is small compared with the energy of the electron. The result of this summation will then represent the total cross section for an inelastic collision between the electron and the nucleus. The average energy loss can be determined in a similar manner.
4)
**Determination of the Tensor S.**
Because of equation (21) the determination of the tensor $S$ may be reduced to the determination of the tensor $\sum_{ss'} \underline{a} \underline{a}$. According to equation (8) we may write for this quantity:
$$\sum_{ss'} \underline{a} \underline{a} = \sum_{ss'} (\underline{a}^* \underline{a} \underline{a}')(\underline{a}'^* \underline{a} \underline{a}) \quad (22)$$
The spin amplitudes $a_\nu(p, s)$ can be interpreted as unitary matrices with the spinor indices $\nu$. The Dirac-matrices are matrices in these spinor indices. For a given value of $p$ the $a_\nu(p, s)$ form a complete system such that
$$\sum_s a_\nu(p, s) a_\mu^*(p, s) = \delta_{\nu\mu} \quad (23)$$
This fact may be used for the evaluation of sums of the type (22). In a manner similar to that used by Heitler we exclude the negative energy values by introducing an operator
\[ K = \frac{1}{2E} ((\alpha p) + \beta + E) \]
(24)
which, when applied to a spin amplitude describing a state of positive energy, acts as a unit operator, but gives 0 when applied to a negative energy amplitude. Since the amplitudes occurring in equation (22) represent states of positive energy we may write
\[ a = Ka \quad a' = K'a' \]
(25)
and after inserting into equation (22) sum over all values of the spin variables \( s \) and \( s' \). Then by applying the identity (23) we obtain
\[ \sum_{ss'} aa = \frac{1}{4} sp(aaK'aaK) \]
(26)
where \( sp \) denotes the trace with respect to the spinor indices: \( sp(S_{\mu\nu}) = \sum_{\nu} S_{\nu\nu} \). This trace can be readily evaluated by considering that the trace of all odd products of the matrices \( \alpha \) and \( \beta \) vanishes and that
\[ sp(\beta^2) = sp(a_i^2) = 4 \quad i = 1, 2, 3 \]
By using the obvious relation
\[ (\alpha p)(\alpha p) + (\alpha p)\alpha = 2p \]
we obtain in this way:
\[ EE' \sum_{ss'} \underline{a} \underline{a} = I(EE' - (\underline{p} \underline{p'}) - 1) + \underline{p} \underline{p'} + \underline{p'} \underline{p} \]
where \( I \) is the unit tensor and the products \( \underline{p} \underline{p'}, \underline{p'} \underline{p} \) and \( \underline{a} \underline{a} \) are dyadic products. From this the tensor \( S \) may be obtained by means of equation (21). This gives
\[
EE'S = I(EE' - (\underline{p} \underline{p'}) - 1) + \underline{p} \underline{p'} + \underline{p'} \underline{p}
\]
\[
- \frac{1}{k} \left\{ E'(\underline{k} \underline{p} + \underline{p} \underline{k}) + E(\underline{k} \underline{p'} + \underline{p'} \underline{k}) \right\}
\]
\[
- \frac{1}{k^2} \underline{k} \underline{k} \left\{ EE' + (\underline{p} \underline{p'}) + 1 \right\}
\]
This rather complicated expression will be simplified considerably in the special cases treated in this paper. The calculation up to this state represents a small step forward in the direction indicated by the methods used by Weizsäcker and Williams. It allows to determine the field equivalent to an electron transition (rather than that equivalent to an electron state as in the Weizsäcker Williams method) and in the form (28) frees us of the troublesome complications brought about by the electron spin – the electron being described by only two characteristic parameters: mass and charge. The quantity inextricably connected with the electronic spin –
the magnetic moment of the electron has been eliminated in the spin summations.
It will be noted that $S$ is a symmetric tensor. Its components are effectively of the order $1/p^2$ (which can be seen by considering the case $\mathbf{p}' \parallel \mathbf{p}$). This is due to the fact that the forward component of the expression (4) is purely longitudinal but that on the other hand the transverse part of the field will cause the majority of nuclear transitions - a result to be expected from the Weizsäcker Williams method.
5)
The Multipole Approximation.
According to equations (19) and (20) the cross section for the excitation of a certain nuclear level is proportional to the matrix element $J$ defined by equation (12). This matrix element contains the field parameters as well as the nuclear eigenfunctions. However, if the fieldpart can be considered to vary only little within nuclear dimensions an expansion of the exponential $e^{i\mathbf{k}r}$ will become possible, so that (12)
can be written in the form
\[ \Sigma = \sum_{n=0}^{\infty} \frac{(i)^n}{n!} k^n \int r^n j(r) dr \] \hspace{1cm} (29)
where \( r^n \) as well as \( k^n \) stand for tensors of order \( n \) so that equation (29) may be interpreted to represent a scalar product between the tensor \( k^n \) (of order \( n \)) and the tensor \( r^n j \) (of order \( n+1 \)). The result of such a multiplication is a vector - or a 'tensor' of order 1. The first term in the expansion (29) represents the dipole approximation, the second an electric quadrupole if \( \int dr j \) is a symmetric tensor and a magnetic dipole if the integral is antisymmetric in the tensor-indices. Generally the \( n \)th term will represent an electric \( 2^n \)-pole transition together with a magnetic \( 2^{n-1} \)-pole transition.
The expansion (29) will give convergent results for all those values of \( k \) for which \( kR < \pi \), say. The convergency condition in our case is not uniform since to a given electron energy \( E \) there may belong a large variety of values \( k \). A sufficient - but far from necessary-condition is that \( pR \) should be less than \( \pi \). That
this condition cannot be necessary follows from the fact that it may just be the small values of $k$ which give a maximum contribution to the cross section.
Table 1. below gives the critical values of energy. They are chosen in such a way that for energies below this critical value the multipole approximation should be good. For the nuclear radius $R$ we have assumed $R = 1.56 \times 10^{-13} A^{1/3}$ cm, giving approximately $0.96 \times 10^{-12}$ cm
| $A$ | 5 | 10 | 15 | 20 | 50 | 100 | 200 |
|-----|---|----|----|----|----|-----|-----|
| $E_{out}$ (MeV) | 114 | 92 | 81 | 73 | 53 | 42 | 34 |
for uranium. $E$ is determined from the equation $E_{out} R = \frac{1}{2} \pi$.
In the following two paragraphs we shall determine the energy dependence of the cross section for electric dipole transitions and for electric quadripoles and magnetic dipoles. An upper limit for the validity of the calculation is given by the values of table 1, a lower limit is defined by the application of Born's method.
In the electric dipole case it follows from equation (29) that
\[ \mathcal{J} = \int j \cdot dr \]
(30)
should be a good approximation. For this expression we may write because of the equation of continuity (10)
\[ \mathcal{J} = i\kappa \int g \cdot r \cdot dr \quad g = -i \frac{j}{r} \]
(31)
In the case of an electric quadripole or a magnetic dipole we may write
\[ \mathcal{J} = i\kappa T k \]
(32)
where because of equation (29) \( T \) is defined by
\[ i\kappa T = i \int j \cdot r \cdot dr \]
(33)
the product between \( r \) and \( j \) being dyadic. In the case of electric quadripole transitions \( T \) is a symmetric tensor and we may restrict ourselves to the case in which \( T \) in a suitable system of coordinates reduces to the form
\[ T = \tau \begin{pmatrix} 0 & 1 & 0 \\ 1 & 0 & 0 \\ 0 & 0 & 0 \end{pmatrix} \]
(34)
where \( \tau \) is the electric quadripole moment of the transition. For electric magnetic dipole transitions on the other hand the tensor $T$ is antisymmetric and we shall treat the case
$$T = \mu \begin{pmatrix} 0 & 1 & 0 \\ -1 & 0 & 0 \\ 0 & 0 & 0 \end{pmatrix}$$ \hspace{1cm} (35)
where $\mu$ is the magnetic dipole moment of the transition.
It should be observed that the choice of the tensor $T$ can not be made arbitrarily but must be such as not to be in contradiction to the conditions
$$\int g r dr = 0 \quad \int g r dr = 0$$
the first of which expresses the orthogonality of the wave functions in the initial and final state and the second of which expresses the impossibility of electric dipole transitions. If the second condition would not be satisfied the tensor $T$ would only represent a correction to the dipole term and this correction will be small - of the order $ER$ - if the multipole approximation is at all justified. It may be easily verified that the choice (34) and (35) satisfies these conditions.
6) Electric Dipole Transitions.
Since the expression (30) for the matrix element $\mathbf{J}$ is independent of $\mathbf{k}$ in the dipole approximation, the summation over the directions of $\mathbf{j}$ (i.e., the summation over the orientations of the nucleus in the final state and the average over the orientations of the nucleus in the initial state) becomes identical with the summation over the orientations of $\mathbf{J}$, so that by equation (20)
$$\overline{\mathbf{P}} = \frac{1}{3} (S) |\mathbf{x}|^2 = (S) k^2 |\mathbf{x}|^2$$ \hspace{1cm} (36)
where the bar denotes the result of the averaging and the summation process and
$$\mathbf{x} = \int_{\Omega} \mathbf{x} d\mathbf{r}$$
is the 'geometrical' dipole moment with $\lambda_0$ as a unit. $(S)$ denotes the trace of $S$ with respect to the tensor-indices. In the derivation of (36) use is made of the theorem $\overline{\mathbf{ee}} = \frac{1}{3} I$, where the upper bar denotes that we take an average over all directions of the unit vector $\mathbf{e}$ and $I$ denotes the unit tensor. We therefore have to evaluate $(S)$. This can be done by means of equation (28) and by replacing the dyadic products occurring in this
expression by scalar products. We then have because of (I) = 3:
\[ EE'(S) = 3(EE' - (pp') - 1) + 2(pp') \]
\[- \frac{2}{k} \left\{ E'(kp) + E(kp') \right\} - \frac{k^2}{k^2} (EE' + (pp') + 1) \]
(37)
The occurrence of \( (k^2 - k^2)^2 \) in the denominator of the expression (19) for the cross section suggests an expansion of (S) in powers of \( k - k^2 \). This can easily be accomplished by replacing the scalar product \( (p \cdot p') \) wherever it occurs in equation (37) by \( \frac{1}{2}(p^2 + p'^2 - k^2) \).
An elementary calculation then gives
\[ EE'(S) = -2 + \frac{1}{k^2}(E^2 + E'^2)(k^2 - k^2) - \frac{1}{2k^2}(k^2 - k^2)^2 \]
(38)
This expression does not contain the azimuthal angle of the electron in the final state. The integration over the angles of \( p' \) therefore reduces to an integration over the angle \( \theta \). Now
\[ d\cos\theta = -dk^2/2pp' \]
and \( k^2 \) varies from \( (p-p')^2 \) to \( (p+p')^2 \), so that the integration over \( d\omega \) can be replaced by an integration over \( k^2 \). This integration can be carried out and gives immediately
\[ \phi = 4\pi a^2 |x|^2 \frac{p'}{p} \left\{ \frac{E^2 + E'^2}{pp'} \log \frac{EE' + pp' - 1}{k} - 2 \right\} \]
(39)
for the total cross section for a process leading to a specified nuclear level with energy $\kappa$. In the limiting case $p' \to 0$, i.e. near the threshold of the reaction, we have $E = 1 + \kappa$ and $E' = 1$ so that equation (39) reduces to
$$\Phi = 4\pi a^2 |x|^2 \frac{p'}{p} \left[ \frac{2}{\kappa} + \kappa \right]$$ \hspace{1cm} (40)
for nonrelativistic energies of the electron in the final state. It should however be noted that the expression (39) does not take account of the electrostatic field of the nucleus and will therefore become unreliable for heavy nuclei. The threshold behaviour in this case will be estimated in paragraph II.
In the limiting case $p \gg 1$ and $p' \leq p$ we have
$$\Phi = 4\pi a^2 |x|^2 \left( \log \frac{2E^2}{\kappa} - 1 \right)$$ \hspace{1cm} (41)
The close resemblance of this relation to a formula given by Bohr (and extended by Bethe to cover the quantum theoretical aspects of the process) for the ionisation losses of charged fast particles should be observed.
The validity of equation (41) is restricted to
One level excitation curves for dipole transitions. \( \epsilon' - 1 \) is the kinetic energy of the scattered electron, \( \Delta \) the excitation energy in units of \( mc^2 \). The figure does not take account of the electrostatic interaction between the nucleus and the electron.
energies less than the critical energy listed in table 1. Beyond this limit the higher order components of the transition will no longer be negligible. If further electrostatic forces are taken into account even equation (41) might have to be corrected by a factor of the order $2WZ/137$. This factor should be nearly constant since the deformation of the electronic eigenfunctions by the electrostatic field of the nucleus will be mainly defined by the velocity of the electron which is constant in the energy-range in which equation (41) is applicable.
The function $\Phi /4\pi a^2|x|^2$ was calculated for various values of the excitation energy $\kappa$ and the energy $E'$ of the scattered electron by means of equation (39). The results of this calculation are shown in figure 1.
7) Electric Quadripole and Magnetic Dipole Transitions.
If we insert from equation (32) into equation (20) we obtain
$$P = \pm (kTSTk)$$ \hspace{1cm} (42)
The + sign refers to electric quadripole transitions and the - sign to magnetic dipoles. In the quadripole case $T$ is symmetric and may be expressed in terms of the transition density $\rho$. Multiplying the equation of continuity (10) by the tensor $\mathbf{r} \cdot \mathbf{r}$ we obtain by integrating over the whole space:
$$\frac{i}{2} \int (\text{div} j) \mathbf{r} \cdot \mathbf{r} \, dV = -\frac{i}{2} k \int \rho \mathbf{r} \cdot \mathbf{r} \, dV$$
from which we obtain - because of the symmetry of $T$:
$$\frac{i}{2} \int (\text{div} j) \mathbf{r} \cdot \mathbf{r} \, dV = -\int j \mathbf{r} \, dV = -i k T$$
$\frac{i}{2} \int \rho \mathbf{r} \cdot \mathbf{r} \, dV$ is the conventional expression for the electric quadripole moment.
With the tensor $T$ defined in equation (34) we may write
$$T = \mathbf{a} \mathbf{a} - \mathbf{b} \mathbf{b}$$ \hspace{1cm} (43)
where - in the suitably chosen system of coordinates
$$\mathbf{a} = \left( \frac{1}{\sqrt{2}}, \frac{1}{\sqrt{2}}, 0 \right) \quad \mathbf{b} = \left( \frac{1}{\sqrt{2}}, -\frac{1}{\sqrt{2}}, 0 \right)$$
so that $(\mathbf{a} \cdot \mathbf{b}) = 0$. $\mathbf{a}$ and $\mathbf{b}$ are unit vectors. This gives for the product $T \mathbf{k}$
$$T \mathbf{k} = \mathbf{a}(\mathbf{a} \cdot \mathbf{k}) - \mathbf{b}(\mathbf{b} \cdot \mathbf{k}) = \mathbf{k} \times \mathbf{c}$$
where $\mathbf{c}$ is a unit vector. Inserting this into equation
(42) we obtain therefore
\[ P = \tau^2 ((c \times k) S (c \times k)) \]
To determine the average of this expression over all the orientations of the nucleus, we choose the direction of \( k \) as the x-axis of a new coordinate system so that \( k = (k, 0, 0) \). Then
\[ (c \times k) = (0, c_z, -c_y) \]
so that
\[ P = \tau^2 k^2 (S_{yy} c_z^2 + S_{zz} c_y^2 - 2 S_{zy} c_x c_y) \]
and therefore
\[ \overline{P} = \frac{\tau^2}{3} k^2 (S_{yy} + S_{zz}) = \frac{\tau^2}{3} (k^2 (S) - (k \cdot S \cdot k)) \]
By using equation (28) we thus obtain
\[ k^4 EE' (k \cdot S \cdot k) = k^4 (EE' + (p \cdot p') + 1) + 2 k^2 k^2 \]
\[ + \{ E'(k \cdot p) + E(k \cdot p') \} + k^2 k^2 (EE' - (p \cdot p') - 1) \]
\[ + 2 k^2 (p \cdot k)(p' \cdot k) \]
and after a few reductions similar to those carried out in the dipole case:
\[ (k \cdot S \cdot k) = \frac{1}{2 EE' k^2} \left\{ 4 EE' (k^2 - k^2)^2 - (k^2 - k^2)^3 \right\} \]
The expression \( (S) \) has been determined in equation (37) of the previous paragraph. Substituting from this equation and from equation (46) into equation (44) we have
\[ \overline{p} = \frac{c^2}{6EE'} \left\{ (k^2 - k'^2)^2 + 2(p^2 + p'^2)(k^2 - k'^2) - 4k^2 \right\} \]
(48)
Inserting from here into equation (19) and integrating over the directions of the scattered electron we obtain for the total cross section in the case of quadrupole transitions
\[ \phi = \frac{4\pi}{3} a^2 \tau^2 F(E', \kappa) \]
(48)
where the function \( F(E', \kappa) \) is defined by the equation
\[ F(E', \kappa) = \kappa^2 \frac{p^2 + p'^2}{p^2} \log \frac{EE' + pp' - 1}{\kappa} \]
(49)
In the limiting case \( p' \to 0 \) we have
\[ N.R. \quad \phi = \frac{4\pi}{3} a^2 \tau^2 (2\kappa + \kappa^2)^{1/2} p' \]
(50)
and for \( p, p' \to \infty \)
\[ E.R. \quad \phi = \frac{8\pi}{3} a^2 \tau^2 \kappa^2 \log \left( \frac{2p}{\kappa} \right) \]
(51)
Values of the function \( F(E', \kappa) \) were calculated for various values of the excitation energy \( \kappa \) by means of equation (49). The variation of this function with \( E' \) and \( \kappa \) is shown graphically in figure 2.
In the case of a magnetic dipole transition the tensor $T$ occurring in equation (42) may be taken to have the form (35). Introducing unit vectors $\underline{e}_x$ and $\underline{e}_y$ perpendicular to one another we may write
$$T = \mu (\underline{e}_x \underline{e}_y - \underline{e}_y \underline{e}_x)$$ \hspace{1cm} (52)
from which it follows that
$$T\underline{k} = \mu (\underline{e}_x k_y - \underline{e}_y k_x)$$ \hspace{1cm} (53)
Inserting this into equation (42) we obtain after some elementary transformations
$$\overline{P} = -\frac{1}{3} \mu^2 (\underline{k} \times S \times \underline{k})$$ \hspace{1cm} (53)
It follows immediately that all those terms in the dyadic representation of $S$ which contain a factor $\underline{k}$ cannot contribute to equation (53). $\underline{k} \times I \times \underline{k}$ can be easily determined by writing it down in coordinates. We have $\underline{k} \times I \times \underline{k} = -2k^2$. We therefore obtain by inserting from equation (28) into equation (53)
$$\overline{P} = \frac{\mu^2}{6 \varepsilon \varepsilon_0} \left\{ (k^2 - k'^2) + 2(\rho^2 + \rho'^2)(k^2 - k'^2) - 4k^2 \right\}$$ \hspace{1cm} (54)
Comparing this formula with equation (47) we see that
One level excitation curves for electric quadripole and magnetic dipole transitions. $e' - 1$ is the kinetic energy of the scattered electron, $\Delta$ the excitation energy in units of $mc$. The figure does not take account of the electrostatic interaction between the electron and the nucleus and should therefore only be valid for very light nuclei.
the integrations over the directions of the scattered electron are the same as in the case of electric quadrupole transitions. The cross section for the magnetic dipole case is therefore obtained from the cross section for the electric quadrupole case - given in equation (49) by replacing $\tau$ - the electric quadrupole moment - by $\mu$ - the magnetic dipole moment.
It should be noted that the result for the magnetic dipole is different from that obtained for the electric dipole. The difference - which is rather small - is due to the fact that the electron carries an electric charge - and not a magnetic charge. It is due mainly to the longitudinal component of the transition field.
8) Sum Rules for very High Energies.
In the previous paragraph we have been considering the excitation functions corresponding to the excitation of one particular nuclear level. If the energy of the electron is very large compared with the
average spacing of energy levels the excitation of one particular level in the primary process will lose its interest in favour of problems as that of the average energy expenditure in a collision between an electron and a nucleus or the total cross section for the excitation of a nucleus into any one of its excited states. Some of the levels reached in transitions of this kind will be deexcited by the emission of $\gamma$-rays, so that in general a particular level will be occupied directly (i.e. in the process of collision and from the groundstate) as well as indirectly over an intermediate state of higher energy.
In the following paragraphs we shall derive some expressions for the total cross section for nuclear excitation and for the average nuclear energy loss of electrons. The calculations will be based on the completeness of the set of nuclear eigenfunctions and represent an analogue to what is known as sum rules in the theory of atomic spectra. It will be assumed that the energy of the electron is large and for definiteness larger than the energy values given in table 2.
The mathematical procedure will be the following. The total cross-section for the excitation of a level $f$ with excitation energy $\kappa_f$ will have the form.
$$\Phi_f = \phi(\varepsilon, \varepsilon - \kappa_f, f)$$ \hspace{1cm} (55)
The total cross section for the excitation of any nuclear level - and these levels include the 'continuous' levels of the nucleus - is obtained from equation (55) by summing over all possible nuclear states $f$. If for a given state $f$ the cross section $\Phi_f$ varies only slowly with energy and if the levels with an energy $\gg \kappa$ do not contribute appreciably to the total cross section then a good approximation should be obtained by using the mean value theorem:
$$\sum_f \Phi_f \cong \sum_f \phi(\varepsilon, \varepsilon - \kappa, f)$$ \hspace{1cm} (56)
The summation over the final states $f$ now only concerns the nuclear part of the matrix element of the transition - i.e. the vector integral $J$ defined in equation (12). With this simplification the summation over the final states of the nucleus can be carried out by using the fact that the nuclear wavefunctions to states with energy less than a certain maximum energy form a nearly complete set - the completeness of which increases with increasing maximum energy. If $\sum_f \Phi_f$ is known the average energy loss may be defined by
$$\overline{k_f} = \frac{\sum_f k_f \Phi_f}{\sum_f \Phi_f}$$ \hspace{1cm} (57)
The sum in the numerator may be evaluated in the following way. We replace the nuclear Eigenfunction $u_f$ of the final state by $Hu_f/k_f$ where $H$ is the nuclear Hamiltonian normalised in such a way that the ground-state has energy 0. With this substitution use can be made of the completeness relations. The values of $\overline{k_f}$ thus obtained can then be inserted into the expression for the total cross section.
The method for the calculation of these average values becomes very cumbersome in the multipole region the lower limit of which is given in table 1. It will however be seen from a comparison of tables 1 and 2, that there is a considerable range of energy in which
$E \gg k$, so that the sum rules can be applied and also $E \ll E_{ON}$, so that the dipole approximation is justified. For very high energies and in particular for very heavy nuclei the applicability of the dipole approximation is no longer obvious. We shall derive sum rules for electric quadripole transitions and magnetic dipole transitions in paragraph 10 and it will be seen that their contribution to the average cross section is very small. A reason for this is that the multipole expansion is equivalent to an expansion in $v/c$ of the nucleons. The contributions of successive multipole terms therefore decrease by factors $T/M$ where $T$ is an average kinetic energy of a nucleon in the nucleus. Since this ratio is hardly ever greater than $1/10$ it can therefore be expected - and this expectation is verified for the lowest multipole orders - that higher multipole transitions - though of extreme importance for the excitation of particular levels - only represent a small portion of the total nuclear energy loss of very fast electrons.
9) Sum Rules for the Dipole Approximation.
In this approximation it follows from equation
(41) together with equation (56) that - provided that \( \kappa \) can be chosen in such a way that \( E \gg \kappa \) -
\[
\Phi = 8\pi \alpha^2 (\log \frac{2E^2}{\kappa} - 1) \sum_f |x_{fo}|^2
\]
(58)
The matrix element \( x_{fo} \) can be evaluated by means of the method given in the appendix. We may write
\[
\sum_f |x_{fo}|^2 = \sum_f \sum_i \int d\xi_1 \ldots d\xi_A \int d\xi'_1 \ldots d\xi'_A u^*_f(\xi_1 \ldots \xi_A) q_i x_i \\
u_f(\xi_1 \ldots \xi_A) u^*_f(\xi'_1 \ldots \xi'_A) x'_i q_i u_o(\xi'_1 \ldots \xi'_A)
\]
Here \( \xi_i \) represents all the coordinates of the ith nucleon (including the space variables \( r_i = (x_i, y_i, z_i) \), the spin variables \( s_i \) and the variables corresponding to the isotopic spin \( t_i \)). The indices \( i \) and \( j \) run from 1 to \( A \). \( q_i \) is an operator acting on the isotopic spin of the ith particle. It has the eigenvalue 1 for protons and 0 for neutrons. The completeness relation for the Schrödinger functions may be assumed to be of the form
\[
\sum_f u_f(\xi_1 \ldots \xi_A) u^*_f(\xi'_1 \ldots \xi'_A) = \delta(\xi - \xi')
\]
(58)
where \( \delta(\xi - \xi') \) is the antisymmetric \( \delta \)-function defined in the appendix. (\( \delta \) is a Kronecker symbol with regard to the discrete variables \( s \) and \( t \)). Using equation
(59) we obtain from equation (58)
\[ \sum_f |x|^2 = \sum_{i,j} \int d\xi_1 \ldots d\xi_A u_0^* q_i x_i x_j q_j u_0 \]
Here the terms with \( i \neq j \) do not contribute to the summation. (If \( u_0 \) represents an S state this is trivial and in the case of spatial asymmetry of the ground state the terms \( i \neq j \) vanish after averaging over all the possible orientations of the nucleus).
It follows from the antisymmetry of the \( u \)'s that all the terms with \( i = j \) are equal. Now, since the expectation value of \( q_i^2 \) is \( Z/A \) and there are \( A \) terms with \( i = j \) we have
\[ \sum_f |x|^2 = Z \overline{x^2} = \frac{1}{3} Z \overline{R^2} \]
where \( \overline{R^2} \) is the average radius square radius of the charge distribution in the nucleus. Assuming a constant charge distribution all over the nucleus (of radius \( R \)) we may write
\[ \sum_f |x|^2 = \frac{1}{5} Z R^2 \]
Inserting this result into equation (58) we obtain for the total cross section for all dipole transitions
\[ \Phi = \frac{8\pi e^2}{5} R^2 Z \left( \log \frac{2e^2}{\pi} - 1 \right) \]
It will be noticed that with $R > R_0 A^{1/3}$, this cross section increases roughly as $A^{7/3}$ thus favouring strongly the excitation of very heavy nuclei. The increase of the cross section with $A$ however is not strong enough to make the cross section absurdly small for the highest values of the atomic weight. Even for the heaviest nuclei the cross section remains well below 1/10 of the geometrical cross section of the nucleus. Equation (61) is incomplete as long as we cannot propose a suitable value for $\bar{\kappa}$. It will however be seen that the result does not depend critically on this value.
The determination of $\bar{\kappa}$ can be carried out in the manner outlined in the previous paragraph. Combining equation (57) with the result (41) for the dipole case we have - provided that $E \gg \bar{\kappa}$ -
$$\kappa \Phi = \bar{\kappa} \Phi \simeq 8\pi a^2 \left\{ \log \frac{2E^2}{\bar{\kappa}} - 1 \right\} \sum_f \kappa_f |x_{fo}|^2$$
(62)
The summation on the right hand side can now be carried out in the following manner: if $H$ is the Hamiltonian of the nuclear system normalised in such a way that $Hu_0 = 0$, then for every state $f \neq 0$
\[ \kappa_f u_f = Hu_f \]
and therefore
\[ \sum_f \kappa_f |x_f|^2 = \sum_{ij} \int d\xi_1 \ldots d\xi_A u_o^* q_i x_i H x_j q_j u_o \quad (63) \]
Here again only the diagonal terms \( i = j \) need be considered since the non diagonal terms cancel out in the average over the orientations. Since the expectation value of \( q^2 \) is \( Z/A \) we may write
\[ \sum_f \kappa_f |x_f|^2 = Z \int d\xi_1 \ldots d\xi_A u_o^* x_i H x_i u_o \quad (63') \]
This integral may now be evaluated by using the commutation properties of the nuclear Hamiltonian \( H \). In a nonrelativistic theory \( H \) can be assumed to be of the form
\[ H = \sum_i \frac{1}{2M} P_i^2 + F \]
where \( F \) is a function of the space coordinates of the nucleons and an operator with respect to the spin and isotopic spin coordinates. \( P_i \) is the momentum of the \( i \)th nucleon and \( M \) is an average nucleon mass. The function \( F \) will commute with \( x \). Now, since \( u_o \) is an eigen function to \( Hu_o = 0 \) we have
\[ H x_i u_o = [H x_i] u_o \]
where the square brackets denote the commutator \( Hx - xH \). The only non commuting term in the Hamiltonian is \( P_i^2/2M \).
Now, because of \([P_x] = -i\) we have
\[
[P_i^2 x_j] = -2i P_i
\]
Inserting this into equation (63') we obtain after a partial integration (remembering that \(P_i\) may be represented by the operator \(-i \partial/\partial x_i\))
\[
\overline{\kappa} \overline{\phi} = 4\pi a^2 \frac{Z}{M} \left\{ \log \frac{2E^2}{\overline{\kappa}} - 1 \right\}
\]
(64)
Comparing this with equation (51) we find
\[
\overline{\kappa} = \frac{5}{2MR^2}
\]
(65)
The expression \(1/MR^2\) is the natural nuclear energy unit (\(\hbar^2/MR\) in dimensional units) which for a given value of \(R\) gives a rough indication of the spacings of the lowest energy levels. The result of this analysis can therefore be said to be, that the average dipole excitation energy is 2.5 nuclear energy units for all nuclei. We see that this average excitation energy is very small - even for the lightest nuclei, so that the application of the completeness relations is justified for moderately high energies. The result (65) will represent an upper limit for energies only little in excess of the mean excitation energy \(\overline{\kappa}\).
In table 2, we have listed the values of $\kappa$ for different atomic weights $A$. The 2nd line gives the values in units of $mc^2$, the third in MeV. $R$ has been assumed to be of the form $R = R_0 A^{1/3}$ with $R_0 = 1.56 \times 10^{-13}$ cm.
Table 2.
| $A$ | 5 | 10 | 15 | 20 | 50 | 100 | 200 |
|-----|-----|-----|-----|-----|-----|-----|-----|
| | 27.4| 17.2| 13.1| 10.9| 5.9 | 3.7 | 2.3 |
| (Mev)| 14.0| 8.8 | 6.7 | 5.6 | 3.0 | 1.9 | 1.2 |
Table 3 gives the values for the total cross section for different values of $A$ and $E$. The cross sections are calculated from equation (61), in which $\kappa$ has been replaced by the values given in table 2. The unit of cross section was taken to be $10^{-28} \text{cm}^2$. The range of the energy values $E$ has been chosen in such a way that the dipole approximation as well as the application of sum rules is justifiable. It is seen that near the upper limit $E \sim E_{cu}$ the cross section varies only slowly with energy.
It is seen from table 3 that the total electron
Table 3.
Total cross sections for electron excitation; unit = $10^{-28}$ cm$^2$.
| A/E | 5 | 10 | 15 | 20 | 50 | 100 | 200 |
|-----|-----|-----|-----|-----|-----|-----|-----|
| 10 | | | | | 47 | 179 | 602 |
| 20 | | 4.34| 8.7 | 15.9| 76 | 261 | 845 |
| 30 | 1.52| 5.7 | 11.0| 19.7| 92 | 309 | 986 |
| 40 | 1.79| 6.4 | 12.5| 22.4| 101 | 342 | 1080|
| 50 | 2.00| 7.07| 13.7| 24.5| 111 | 368 | 1160|
| 60 | 2.19| 7.65| 14.8| 26.3| 119 | 392 | 1230|
| 70 | 2.33| 8.11| 15.7| 27.8| 125 | 410 | |
| 80 | 2.46| 8.54| 16.4| 29.1| 130 | 426 | |
| 90 | 2.58| 8.89| 17.1| 30.2| 135 | | |
| 100 | 2.68| 9.20| 17.7| 31.3| 139 | | |
| 120 | 2.84| 9.54| 18.6| 32.8| | | |
| 140 | 3.00| 10.2 | 19.5| 34.5| | | |
| 160 | 3.12| 10.6 | 20.4| | | | |
| 180 | 3.25| 11.0 | | | | | |
| 200 | 3.34| | | | | | |
cross sections are fairly large, particularly for heavy elements. On the other hand it has to be considered that
according to equation (64) the total energy loss /proton is practically independent of the atomic number (there is a slight increase with increasing atomic number due to the variation $\bar{k}$ in the logarithmic term.) For a heavy nucleus the average energy loss (of the order of 1 Mev) is so small that most of the levels excitable by electrons will lead to $\beta$-active or $\gamma$-active states rather than to particle emission.
10)
Estimate of the Error in Extrapolating the Dipole Sum Rules into the Multipole Region.
In this paragraph we want to give reasons which make us believe that the sum rules given in the previous paragraph hold even for energies for which the dipole approximation should no longer be reliable. We want to show that
(i) the contribution to the total cross section of electric quadripole and magnetic dipole transitions is small in comparison with the electric dipole contribution and
(ii) that with a simplified model in which all
energy transfers \( \lesssim E_{\text{out}} \) are treated as dipole transitions and all energy transfers with \( \gtrsim E \) as due to individual collisions between electrons and protons, the cross-section obtained in the dipole approximation only suffers a small correction and the total excess energy loss remains unaltered.
To prove (1) we have to go back to equation (51) which is valid if \( E \gg \bar{\kappa} \) - which we shall assume in the following. We then have to determine \( \sum_t k_t^2 \tau^t \) to obtain the total cross section. By a consideration similar to that carried out in the previous paragraph we obtain
\[
\sum_t k_t^2 \tau^t = Z \int d\xi_1 \ldots d\xi_A u_o^* x_i y_i H x_i y_i u_o
\]
(66)
Here again use can be made of \( H u_o \) and the products \( H_{xy} \) can be replaced by commutators. In this way one obtains
\[
\sum k^2 \tau^t = \frac{1}{M^2} \int d\xi_1 \ldots d\xi_A u_o^* (y_i P_{x_i} + x_i P_{y_i})^2 u_o
\]
and this integral is of the order \( P^2 R^4 / M^2 \). Comparing this result with that obtained in the electric dipole case, namely equation (62), we see that the quadripole contribution is of the order \( P^2 / M^2 \) times smaller than the dipole contribution. It should be noted that for
a rigorous proof of this statement we should have to determine the average energy loss $\overline{\kappa}_q$ for the quadrupole case. But since this energy loss will only show up under the logarithm of equation (51) an accurate determination of $\overline{\kappa}_q$ does not seem necessary.
This argument can be generalised to all electric transitions in such a way that the contribution of successive multipole orders has a ratio of the order T/M. It therefore appears that the majority of the transitions caused by electron impact are dipole transitions.
The contribution of magnetic dipole transitions can be estimated by using the expressions for the magnetic dipole moment given in appendix 2. For the orbital part of the dipole moment the considerations are quite similar to the electric quadripole case and lead to the same result. For the part due to the magnetic moments of protons and neutrons we obtained by applying the completeness relation (59) to equation (5) of appendix 2:
$$\sum \kappa_i^2 \mu_i^2 = \frac{A}{4M^2} \int d\xi_1 \ldots d\xi_A u_o^* (\mu_P q_1 + \mu_N (1-q_1))^2 u_o$$
(67)
where $\mu_p$ and $\mu_N$ are the magnetic moments of proton and neutron respectively. ($\mu_p = 2.79, \mu_N = -1.91$ nuclear magnetons.) The factor $1/4M^2$ is due to the nuclear magneton which in our units is $1/2M$. Putting $A \sim 2Z$ we obtain from equation (67)
$$\sum_f k_f^2 \mu^2 = \frac{Z}{4M^2} \left\{ \mu_p^2 + \mu_N^2 \right\} = \frac{10.5Z}{4M^2}$$
Comparing this with the result obtained in the electric dipole case we obtain
$$\overline{\Phi}^{(e)} / \overline{\Phi}^{(m)} \approx 12.8 A^{2/3}$$
where $\overline{\Phi}^{(e)}$ denotes the total cross section for the electric dipole and $\overline{\Phi}^{(m)}$ that for the magnetic dipole. It is seen that the dipole correction is of the order of less than 10% for the lightest nuclei. It is relatively less (a fraction of 1%) for very heavy nuclei.
For the comparison of electric and magnetic transition we have assumed that the average excitation energy of magnetic dipole transitions is of the same order as that for electric dipole transitions. Though this seems very plausible it is not quite easy to prove. The average energy loss comes out to depend strongly
on the assumptions made about the nuclear forces e.g. their spin- and isotopic spin-dependence. To make sure that the higher order transitions do not affect the average energy loss it seems useful to investigate the model proposed under alternative (ii) of this paragraph.
The physical justification for the application of model (ii) is that with increasing energy the electron becomes more and more 'shortsighted', so that in the end the fact that the electron nucleon is bound in a nucleus can no longer influence the behaviour of the cross section. In quantum theory the critical quantity is the energy transferred by the electron rather than the energy of the electron, so that for large energy transfers we should be entitled to treat the nucleons as free particles.
If $\overline{\Phi}_1$ denotes the cross section (in dipole approximation) corresponding to all those processes which lead to a transfer of energy less than $E_{\text{cut}}$ and as long as $E \overline{k}$ is small in comparison with $E_{\text{cut}}$ (which is always the case as can be seen from a comparison of tables 1. and 3.) we have
\[ \Phi_1 = \frac{8\pi a^2}{5} R^2 \log \frac{2EE_{\text{out}}}{k} \]
(70)
if only the leading term is taken into account:
\[ \log 2EE_{\text{out}}/k \gg 1. \]
In the case of a free proton the cross section for the production of a proton with momentum \( k \) can be derived from equations (19), (20) and (21) by putting
\[ I = \frac{k}{2M} \]
(71)
(For a free proton the magnetic moment does not contribute in non relativistic approximation owing to the lack of spin orbit coupling.) Inserting this into equations (19) and (20) we obtain for the differential cross section:
\[ d\Phi_2 = \frac{a^2}{2M^2} \frac{EE'p'}{p}(k^2-k'^2)^{-2}(\underline{kS}\underline{k}) \]
(72)
The expression \( (\underline{kS}\underline{k}) \) has been derived in equation (46), which when inserted into (72) gives
\[ d\Phi_2 \simeq a^2 \frac{E^2}{M^2k^2} \]
(73)
where it has been assumed that \( E^2 \gg k^2 \). Now the energy loss in the case of a free proton is simply \( k^2/2M \).
Inserting this value for \( k \) and integrating over all
angles leading to an energy transfer $> E_{\text{cut}}$, we have
$$\overline{\Phi}_z = Z \frac{\pi a^2}{E_{\text{cut}}^2}$$ \hspace{1cm} (74)
where again only the leading term has been written down.
Comparing this with the cross section $\overline{\Phi}_i$ (equation (70)) we see that the free particle contribution is comparatively small. The cross section (70) is larger by a factor of the order $\log \frac{E^2}{k}$ which is approximately 10 for very high energies. The replacement of $E$ by $E_{\text{cut}}$ in the logarithm of equation (70) also gives a correction of approximately 10% - compared with the uncorrected dipole result. The two corrections have opposite sign, so that by using this picture of the process we are again led to assume that the dipole approximation is very good even beyond its natural range of validity.
The situation is even better with regard to the total energy loss. Here
$$\overline{\kappa \Phi}_i = 4\pi a^2 \frac{Z}{M} \log \frac{2EE_{\text{cut}}}{k}$$ \hspace{1cm} (75)
and for the free proton
$$\overline{\kappa \Phi}_n = 4\pi a^2 \frac{Z}{M} \log \frac{E}{E_{\text{cut}}}$$ \hspace{1cm} (76)
and these two expressions add up to exactly the leading
term of equation (64) obtained for the dipole approximation.
II)
The Threshold Problem.
The results obtained in the previous sections are only valid if the electron in its initial as well as in its final state can be represented by a plane Dirac wave. This will never be the case since the electrostatic field of the nucleus may cause a considerable deformation of the electronic eigenfunctions. However, for very large energies this deformation will be comparatively small and will not depend very strongly on the energy, so that the sum rules should remain unaltered provided that the nuclear charge is not too high. The Coulomb-deformation of the eigenfunctions may be mitigated a little by the cut-off of the electric field strength in the neighbourhood of the nuclear radius. The influence of the electrostatic charge of the nucleus will always tend to increase the cross-section initiated by particles of negative charge, since the attraction between unlike charges makes the
makes the electronic eigenfunctions large in the neighbourhood of the nucleus. The magnitude of the effect however can not be immediately estimated from the Coulomb-correction of the electronic eigenfunctions at the origin: the electric field produced by an electronic transition will depend on the values of the eigenfunction at any distance from the origin owing to the large range of the electric interaction.
The mathematical programme for the determination of the electrostatic correction can be seen clearly from equation (2) into which the transition density or the transition current for an electron in a Coulomb-field would have to be inserted. The following calculations then proceed in a manner identical to the analysis of the previous paragraphs.
We shall here give an estimate of the electrostatic effect based on the Sommerfeld-Maue approximation and restrict ourselves to the dipole approximation. The shortcomings of the various approximations made will be discussed in paragraph 13. An accurate determination of the electrostatic correction - though possible - involves quite considerable analytical difficulties comparable and very similar to those in the relativistic theory of the internal conversion coefficient. Work on this problem is still in progress and seems necessary in view of the lack of agreement with experimental data - i.e. Wiedenbecks experiments.
Since the Coulomb force will be of particular importance for very slow electrons and since the first 'accessible' excited levels are usually about 1 Mev above the ground state a maximum correction will have to be expected near the threshold for the excitation of a given level. There the electron in the final state is very slow, but it is to be expected that the Coulomb correction for the initial state will not be very large. We shall therefore neglect the electrostatic correction for the initial state of the electron. The Coulomb correction for the final state on the other hand is described in terms of a zero order Sommerfeld Maue function
\[ \psi' = Na'e^{i(\vec{p}'\cdot r)}L_n(\varphi) \]
(77)
where \( L_n(\varphi) \) is the Laguerre transcendental function, \( n \) is defined by
\[ n = -i \alpha Z / \beta \]
(78)
\( \beta \) is the velocity of the scattered electron and \( i \varphi \) is the 'transverse' part of \( (p' \cdot r) \) i.e.
\[ \varphi = -i ((p' \cdot r) - p' \cdot r) \]
(79)
\( N \) is a normalisation factor which has to be chosen in such a way that the outgoing part of the wave (76) represents a spherical wave of unit amplitude. For this
\[ |N|^2 = \frac{2\pi |n|}{1 - e^{-2\pi |n|}} \]
(80)
With these abbreviations we obtain in dipole approximation, i.e. in that approximation in which \( A(r) \) is replaced by \( A(0) \) - the value of \( A \) at the origin:
\[ A_v^*(0) = eN^*a_v^*J \]
(81)
where \( J \) is the integral
\[ J = \int \frac{dr}{r} e^{-i(kr + (kr))} L_n(\varphi) \]
(82)
For the evaluation of the integral (81) we may use the integral representation of the Laguerrefunction, namely
\[ 2\pi i L_n(\varphi) = \oint (1 + y)^n y^{-(1+n)} e^{-\varphi y} dy \]
(83)
in which the path of integration goes round the points 0 and -1 in the positive sense. Inserting this into equation (82) the integration over \( x \) can be carried out and one obtains
\[
J = \frac{2}{i} \oint dy (1-y)^n y^{-n-1} \left\{ k^2 - k^2 - 2y(p'k + (p'k)) \right\}^{-1}
\]
(84)
Putting as an abbreviation
\[
\omega = 2 \left( p'k + (p'k) \right) / (k^2 - k^2) > -1
\]
(85)
we may write instead of (84)
\[
J = \frac{2}{i(k^2 - k^2)} \oint dy (1+y)^n y^{-n-1} (1-\omega y)^{-1}
\]
(84')
We note that in the limit \( p' = 0 \quad \omega \to 0 \). Further, with \( Z = 0 \) that is by taking a plane wave approximation for the final state, we obtain
\[
J = \frac{2}{i(k^2 - k^2)} \oint \frac{dy}{y} = \frac{4\pi}{k^2 - k^2}
\]
and this is identical with the equation of paragraph . The integral (84') may be evaluated by noting that
\[
\oint u^{a-1}(1-u)^{x-a-1}(1-ux)^{-b} du = (1-e^{-2\pi i a}) \frac{\Gamma(a)\Gamma(y-a)}{\Gamma(y)} F(a,b,y;x)
\]
where \( F(a,b,y;x) \) is the hypergeometric function. The integral (84') represents a special case of this integral with \( a = -n, b = y = 1 \) and therefore
\[ J = \frac{2(-1)^{-n-1}}{i(k^2 - k_0^2)} (1 - e^{2\pi in}) F(-n, 1, 1, -\omega) \Gamma(-n) \Gamma(i\omega) \]
Now by using the relation \( F(-n, 1, 1; -\omega) = (1 + \omega)^n \) and a well known property of the \( \Gamma \)-function we obtain:
\[ J = \frac{4\pi}{k^2 - k_0^2} (1 + \omega)^n \]
Since \( n \) is purely imaginary we have \( |(1 + \omega)^n| = 1 \) and therefore by disregarding a phasefactor which does not affect the final result
\[ J = \frac{4\pi N a_v}{k^2 - k_0^2} \]
This expression replaces equation (4) in the Sommerfeld Maue approximation for the outgoing electron. It is therefore seen that as far as this approximation goes the influence of the electrostatic interaction will just multiply the results obtained earlier by the factor \( |N|^t \) defined in equation (80). The following table 4. gives the values of the factor \( |N|^t \) for electron energies ranging from 1 to 1.15 electron units and for a medium heavy nucleus (\( Z = 48 \)). The factor \( |N|^t \) is familiar from the theory of \( \beta \) decay and numerical determinations have been carried out by many authors.
Table 4.
| $E'$ | 1.005 | 1.010 | 1.015 | 1.020 | 1.03 | 1.04 | 1.10 | 1.15 |
|------|-------|-------|-------|-------|------|------|------|------|
| $|N|^2$ | 22.1 | 15.6 | 12.9 | 11.2 | 9.2 | 8.02 | 5.3 | 4.5 |
$$\lim_{p' \to \infty} |N|^2 = 2.2$$
The result obtained in this section is surprising when one considers the argument given above, namely that the amplitude of the electro-magnetic potential should not only depend on the values of the wavefunction near the nucleus. One excuse may be perhaps be found in the fact that the wavelength of the equivalent quanta being very short, the argument about the long range of electro magnetic simply implies that the volume in which the electronic eigenfunction has to be known accurate is large compared with the cube of the wavelength of the quantum. This can still be small compared with the de Broglie wavelength of the outgoing electron. The principal objection however can be raised against the application of the Sommerfeld-Maue method, which in the case of a Coulomb type field does not converge properly near the origin: the wellknown factor $(\frac{1}{R})^{l+2}$ which should accompany the Coulombfactor $|N|^2$ can not be represented.
in terms of an expansion into powers of $e$ in a uniformly convergent manner. This together with the fact that owing to the long range character of electro-magnetic forces it is very hard to decide to which part of the electronic wavefunction one should attribute maximum weight, makes the Sommerfeld Maue method not very reliable for our purposes. A decision on the threshold problem (i.e. a decision as to whether such a problem exists at all) can only be expected from the application of the full Dirac eigenfunctions.
12) Estimate of the Nuclear Quadripole Moment.
In the foregoing sections the only nuclear property which entered the calculations was the radiative moment of the transition in question. Transition moments of this kind can be measured directly by observing resonance widths and these measurements turn out to be in rough agreement with the theoretical expectations derived from various nuclear models. One way of forming a theoretical opinion on the magnitude of nuclear transition moments is offered by the liquid drop
model. There certainly are many objections against the application of this model arising from the unsatisfactory way in which it deals with internal degrees of freedom. On the other hand it seems the only model capable of making systematic predictions on this subject.
According to the liquid drop model there should be no electric dipole moment and only quadripole and higher moments should occur. This arises from the fact that in this model the centre of gravity of the protons coincides with the centre of gravity of the nucleus as a whole. That there is no electric magnetic dipole moment is due to the lack of the rotational components of the displacement current and the logical neglect of exchange currents which represent one of the internal degrees of freedom necessarily neglected in a semiclassical theory of the nucleus.
In the liquid drop model the frequency $\omega$ of the $l$th harmonic of the surface wave is given by
$$\omega^2 = \frac{G}{8 \pi R^3} (l+2) l(l-1)$$ \hspace{1cm} (89)
where $G$ is the total surface energy, namely $9.6A^{1/3}$ (Mev),
\( \rho \) is the density of nuclear matter and \( S \) the surface of the nucleus. Only the mode \( l = 2 \) gives a contribution to the electric quadripole moment. The energy of the first excited level is \( \hbar \omega \) so that by taking the nuclear radius to be \( 1.56 \times 10^{-13} \text{ A}^{1/3} \text{ cm} \) we obtain
\[
\kappa = 39 \text{ A}^{-1/2}
\]
(90)
This would give a first excitation level at 4.9 MeV in oxygen and at 1.3 MeV for a heavy nucleus like uranium. The quadripole moment of a transition corresponds to
\[
\tau = \frac{Z R_0 b A^{1/2}}{5 \lambda_0^2}
\]
(91)
where \( b \) - the amplitude of the second Harmonic - is related to \( \kappa \) by
\[
m_e^2 \kappa = \frac{2 G b^2}{15 R^2}
\]
(92)
Combining these equations we obtain for the quadripole moment in electronic units:
\[
\tau = 1.2 Z A^{1/2} 10^{-5}
\]
(93)
This value may now be inserted into equation (48), to obtain the order of magnitude of the cross section.
As a general result of the foregoing sections we conclude that any reaction which can be caused by $\gamma$-rays can also be caused by electrons. This result is nearly trivial in view of the contents of the Weizsäcker Williams theory of Bremsstrahlung according to which - in a suitable frame of reference - an electron is equivalent to a continuous spectrum of quanta with an energy distribution $n(k) \propto dk/137k$. However, the method applied here goes a little further than the Weizsäcker Williams method: formally it is capable of extrapolation to the threshold in contrast to the Weizsäcker Williams method which may become very unreliable in this region - the results depending on the cut-off parameter. Formally our method is identical with Born's approximation in radiation theory, though the classical treatment of the electromagnetic field represents some simplification of the mathematical procedure, as we shall show in particular in paragraph 14 for the case of meson production.
From an experimental point of view there is one
important difference between electrons and $\gamma$-quanta: in the energy region above a few MeV quanta can only be produced in the form of a continuous spectrum, whereas the new machines are capable of delivering a 'monochromatic' beam of electrons. Can any use be made of this property of electrons? The answer seems to be in the affirmative, with the qualification that even with a monochromatic beam of electrons the electrons are equivalent to a continuous spectrum of $\gamma$-rays. In Born's approximation there is very little difference between this equivalent spectrum and the continuous spectrum produced in the process of Bremsstrahlung. However, since the Brems-spectrum used is usually a thick-target spectrum, the use of electrons will at least have the advantage of allowing one to work with something closely resembling a thin target spectrum under geometrical conditions which resemble the thick-target situation.
This advantage has indeed been successfully used by Wiedenbeck, who, in the 4 MeV region, finds excitation curves closely resembling the 'resonance curves'
observed in a Franck-Hertz experiment. This resemblance however is deceptive: in the Franck Hertz experiment the typical resonance behaviour is not due to a resonance at all but is caused by a peculiar property of the circuit together with the $U^{3/2}$-law of thermionic valves. A typical Wiedenbeck curve is shown in figure 3. For the first level the excitation curve derived from this measurement is shown in figure 4. One can see that the threshold is considerably better marked than in the case of $\gamma$ rays represented in figure 5. The threshold behaviour in Wiedenbecks experiments is even more favourable than one would expect from the rough theoretical model given in paragraph II. The prediction derived from this model is indicated by the dotted line in figure 4 and it is seen that the agreement of the two curves is very poor. It is hard to decide which of the assumptions leading to the theoretical estimate should be responsible for this discrepancy. The only approximately relativistic method may be one of the reasons, since it results in the neglect of the divergent behaviour of the s and p eigenfunctions of Dirac's theory. A correct consideration of
of this property of the Dirac wave functions might be expected to add a factor \((p'R)^{2s-2}\) where \(s = (1 - \alpha^2 Z)^{1/2}\) to the Coulomb factor \(\left|N\right|^2\) defined in equation (80). It can however be seen that this correction would vary too slowly to give a noticeable decrease of the excitation function near the threshold.
On the other hand there might be a few technical reasons which might alleviate the discrepancy from the experimental side. Wiedenbecks experiments were carried out with a constant current but it seems hard to assess what a constant current really means in terms of numbers of electrons actually hitting the target. A practically constant excitation curve could be turned into a curve showing a maximum near the threshold if the actual number of electrons would decrease sufficiently fast with increasing energy. This would also tend to make the higher excitation levels show more pronounced maxima - in agreement with Wiedenbecks measurement shown in figure 3. This is due to the fact that the negative slopes of the apparent excitation curves would add, so that the third excitation level should show a peak approximately one
Wiedenbeck's electron excitation curve.
The contribution of the first level of the excitation curve shown in figure 3. The dotted curve indicates the 'theoretical' curve discussed in paragraph 11.
A thick target $\gamma$-excitation curve measured by Wiedenbeck. The kinks correspond to the excited levels of the target nucleus.
third the width of the first. The general trend of the excitation curve to rise with increasing energy could then be explained by the factor $\kappa^{-1}$ occurring in the expression (50) for the threshold behaviour in the quadripole case. (It seems rather plausible to assume that the excited states represent quadripole transitions from the ground state, since the long lifetime of 50 min at an excitation energy of 195 kev in Cd suggests a transition with $\Delta I \sim 2$. Assuming that the spins of the excited states (at 1.25 and 1.68 Mev) lie halfway between the spins of the ground state and the metastable state, this gives a quadripole transition from the groundstate to the excited state.)
The order of magnitude of the predicted cross section may be checked against an estimate given by Collins and Waldmann. A first check of the quality of the liquid drop model is obtained by comparing the energy of 1.9 Mev calculated from equation (92) for $Z = 48$ (Cd) with the value 1.2 Mev observed in Wiedenbecks experiments. For the same value of $Z$ equation (93) gives a value of approximately $0.85 \times 10^{-3}$ for the quadripole moment. This is very large - nearly of the
order of the nuclear cross section. From figure 2, we find $F$ to be approximately 10 in the quadripole case and for an energy of about 100 keV above the threshold. This has to be multiplied by a factor of the order 5 to account for the rather strong Coulomb interaction between the nucleus and both the outgoing and incoming electron. We should therefore expect a cross section of the order of $10^{-29} \text{ cm}^2$.
This is in excess of the value $10^{-32}$ estimated by Collins and Waldmann for indium. However, considering the limitations of the liquid drop model and the assumptions which Collins and Waldmann had to introduce about the efficiency of their counters the discrepancy is not so large. If we use their estimate we could calculate back the quadripole moment required to give their value. It comes out of the order $0.4 \times 10^{-26}$ which is small but within the possible range of this quantity. There is no obvious reason to believe that Collins and Waldmann have actually observed a quadripole transition - an octupole would give excellent agreement with the estimated value of $10^{-32} \text{ cm}^2$ for the cross section. It is to be hoped that with the development of the synchrotron more experimental data will be forthcoming to make a quantitative check of the theory possible.
The Production of Mesons by Electrons.
The general formalism developed in paragraphs 2-4 may be used to calculate the cross section for the production of mesons by electrons. The production of a meson in a collision between an electron and an atomic nucleus, i.e. a process of the type
\[ e + (Z)^A \rightarrow (Z+1)^A + \pi^+ + e' \]
can be derived exhaustively from the matrix element of the current corresponding to the production of a meson. Recent investigations have shown that the problem of the production of mesons cannot be satisfactorily treated under neglect of radiation damping. However, the same considerations show that the effect of radiation damping on the cross section for the production of a (vector or pseudoscalar) meson is not excessively large for energies up to approximately 600 Mev. This is equally true for the production of mesons by \( \gamma \)-rays and the production of mesons in nucleon-nucleon collisions. In the following we shall
neglect radiation damping altogether. The results are therefore inapplicable to cosmic radiation problems but should give a reasonably good approximation in the 300 Mev range. The limitation to 'small' energies allows us to neglect the influence of heavy particle recoil - and the neglect of this effect will involve an error of the same order of magnitude (namely up to 50%) as the possible error due to the neglect of radiation damping.
The analysis will be carried out for pseudoscalar charged mesons the mass of which we assume to be approximately 300 electron masses.
The simplest interpretation of the process seems to be the following. The electron with momentum $p$ produces an electromagnetic field $(p' \mid A(p))$ (defined in equation (4)) in a transition to a state with momentum $p'$. The field carrying a momentum $k = p - p'$ interacts with the nucleus, which under the influence of the field makes a transition from a state with 'bound' or no mesons to a state with a free meson of momentum $q$. This transition can be described in terms of a current $(f \mid j \mid O)$, where $O$ signifies the initial state of the
nuclear system (consisting of the nucleons and the meson field) and $f$ its final state. The matrix-element corresponding to this process can then be assumed to have the form (11) for which - by using the equations of continuity-we may write
$$H' = \int d\tau \left\{ A \frac{\partial}{\partial t} - \frac{1}{k^2} (A \cdot k)(k \cdot j) \right\} e^{i\omega t}$$ \hspace{1cm} (95)
This expression may-in the extreme relativistic region of electron energies- be simplified considerably by means of the considerations of paragraph 2. Of the quantities involved in (95) $A$ is the only one which depends strongly on $k$. As a function of $k$, $A$ shows a pronounced maximum when $k$ is parallel to $p$ in which case $k \approx k$, the energy transferred from the electrons to the nuclear system. Whenever $k$ occurs in a quantity other than $A$, we may therefore write $k = k p/p$. With this approximation involving an error of the order $1/p'$ the right hand side of equation (95) reduces to the transverse part of the interaction between the vector potential and the transition current. Equation (95) may therefore be replaced by
$$H' = \int d\tau (A \cdot j) e^{i\omega t}$$ \hspace{1cm} (96)
where $F_\perp$ denotes the transverse part of the vector field $F$:
$$F_\perp = F - \frac{(Fk)}{k}.$$ With this simplification the whole calculation reduces to the determination of the matrix element of $j$ corresponding to the production of a free meson.
With the assumption of infinitely heavy nucleons (i.e. under neglect of recoil effects) the interactions between the nucleons and the mesons can be described in terms of the large sourcefunction alone. This, in the case of pseudo scalar meson has axial vector character. The Lagrangian function of the system consisting of nucleons and mesons may then be written
$$L = L_0 - \left\{ (\nabla \varphi^+)(\nabla \varphi) - \dot{\varphi}^+ \dot{\varphi} + \mu^2 \varphi^+ \varphi + (P \nabla \varphi^+) + (P^+ \nabla \varphi) \right\} \quad (97)$$
$L_0$ describes the bare nucleons, $\varphi^+$ and $\varphi$ are the meson operators, $\varphi^+$ corresponding to the production of a positive or the annihilation of a negative meson. $P$ is the vector source function. To ensure gauge-invariance it has to be assumed that under a gauge transformation $P$ transforms in the same way as $\varphi$. The only non vanishing matrixelements of $P$ then represent transitions from a proton- into a neutron state. The
expression (97) represents the Lagrangian in the absence of an electromagnetic field. In the presence of such a field we have to replace the operators $\frac{\partial}{\partial t}$ and $\nabla$ in (97) by $\frac{\partial}{\partial t} - i e A_0$ and $\nabla - i e A$ when acting on $\varphi$ and by their complex conjugates when acting on $\varphi^+$. With the usual procedure we then obtain for the current vector $j$:
$$j = \frac{\partial L}{\partial A} = i e \left\{ (\nabla \varphi^+) \varphi - \varphi^+ (\nabla \varphi) + P^+ \varphi - P \varphi^+ \right\} \quad (98)$$
This expression for the current vector has an obvious physical interpretation: In a model in which a proton is considered as a mixture of a bare proton state and a state consisting of a neutron and a 'bound' positive meson the production of a free meson may arise in either of two ways:
(i) The meson is produced spontaneously by the source, i.e. the bare proton is transmuted to a bare neutron and a free positive meson; or
(ii) the meson bound to the neutron is liberated by the action of the electromagnetic field.
Whereas the process (i) has no counterpart in a classical theory, (ii) bears a close resemblance to an ionisation process.
The commutation relations for the meson operators $\varphi^+$ and $\varphi$ can be satisfied by putting
$$\varphi = \varphi_{\text{free}} = \sum_q \sqrt{\frac{1}{2\kappa}} \left\{ a(q) \Phi_q(r) + b^\dagger(q) \Phi_q^*(r) \right\}$$
where the $(r)$ are wave functions with the asymptotic behaviour
$$\Phi_q(r) \sim e^{i(q \cdot r)}$$
Near the origin this simple form will be distorted as the result of the electrostatic interaction between the meson and the nucleus. This will give rise to a Coulomb factor which, in the first instance, we shall assume to be unity and which we shall reintroduce at a later stage of the calculation. The operators $a$ and $b$ correspond to the annihilation of positive and negative mesons respectively and for such transitions they have the value unity. Although they satisfy the commutation relations the expressions (99) do not, in the presence of sources, lead to a diagonal form for the Hamiltonian matrix. If we neglect the reaction of the meson field on the sources (i.e. if the source function $P$ is assumed to be known) the general solution of the problem may be written in the form
\[ \varphi = \varphi_0 + \varphi_{\text{free}} \]
where \( \varphi_0 \) is the solution of the static equation
\[ (\nabla^2 - \mu^2) \varphi_0 = - (\nabla P) \]
It is then easily verified that equation (100) defines a matrix \( \varphi \) which satisfies the necessary commutation relations and makes the Hamiltonian diagonal.
To obtain a solution of equation (101) we have to specify the source function \( P \). We have
\[ P = \frac{\sqrt{4\pi} f}{\mu} \sigma \frac{1}{i} (\tau_1 - i \tau_2) \]
where \( \sigma \) is the spin operator acting on the nucleons and the \( \tau \)'s are the Pauli isotopic spin matrices. The constant \( f \) is the coupling parameter which, in our system of units is of the order unity. We now have to determine the matrix element of (102) corresponding to a transition in which one of the nuclear protons is transformed into a neutron and a momentum \( \xi \) is transferred to the nuclear system. We may write for this matrix element
\[ P = \sqrt{4\pi} \frac{f}{\mu} e^{i(\xi r)} \sigma \]
in which is the expectation value of the matrix element \( \frac{1}{2} \sigma (\tau_1 - i \tau_2) \), that is
\[ \Sigma = \frac{1}{2} \sum_i \int d\xi_1 \ldots d\xi_A u^*_f (\xi_1, \ldots \xi_A) \sigma^{(i)} (t_1 - i t_2) u_o (\xi_1, \ldots \xi_A) \]
with the notation used in appendix 2. The solution of equation (101) can now be written down immediately:
\[ \varphi_0 = i \frac{\sqrt{4\pi}}{\mu \epsilon^2} f e^{i(\xi r)} \]
where \( \epsilon^2 = \mu^2 + \xi^2 \). This method of building up solutions based on the solutions of the static equation is justifiable only if the recoil energy of the nucleons can be treated as negligible.
Substituting from equations (99), (100) and (104) into the expression (98) for the matrix element of the current we obtain
\[ j = \sqrt{\frac{2m}{k}} e \frac{f}{\mu} \left\{ \frac{1}{\epsilon^2} (q + \xi)(\xi \sigma) - \sigma \right\} \]
According to equation (96) we have to combine this matrix element with the vector potential corresponding to a transition in which the momentum \( k \) is transferred from the electron to the system of mesons and nucleons. From the conservation of momentum it follows
\[ q - \xi = k \]
so that we obtain for the transverse component of the current:
\[ j_\perp = \sqrt{\frac{2\pi}{k}} e \frac{f}{\mu} \left\{ \frac{2}{\epsilon^2} q (\xi \sigma) - \sigma \right\} \]
(106)
Here again the first term is the ionisation term and it is seen that it gives rise to an anisotropic distribution of mesons with very high energy with a marked preference for the forward direction. The second term due to the direct conversion of a quantum into a meson gives an isotropic distribution of mesons. When added together the two terms tend to cancel each other in the forward direction, though this cancellation is far from being complete. It will be seen later that the major contribution at all meson energies is given by the second term in equation (106).
Inserting from equation (106) into equation (96) we obtain an expression for the matrix element \( H' \) which in Born's approximation is related to the differential cross section by the formula (17).
From equations (96), (106) and (17) we therefore obtain as a result of carrying out the summation over the orientations of the nucleus
\[ d\phi = \frac{1}{4\pi^3} \sigma_x^2 \frac{1}{2\gamma^2} \cdot \frac{f^2}{(37\mu)^2} dk q p^{12} d\Omega d\Omega'(k^2-k^2) \]
\[ \left\{ a_\perp \left( \frac{2}{\epsilon^2} q \xi - I \right) \left( \frac{2}{\epsilon^2} q \xi - I \right) a_\perp \right\} \]
where the spin summation over the tensor \( a_\perp a_\perp \) has yet
to be carried out. $\sigma_x$ denotes an arbitrary component of the vector $\sigma$. It is observed from this expression that the ionisation term tends to cancel the leading term for mesons in the forward direction.
In the determination of the cross section we first carry out the integration over the directions of the meson and obtain
$$\int d\Phi = \frac{\sigma_x^2}{\pi^2(2341)(137\mu)^2} \int dkq p^{1/2} d\Omega' (k^2 - k'^2)^{-2}$$
$$\left\{ 1 - \frac{2\mu^2}{kq} (\log \frac{k+q}{\mu} - \frac{q}{k}) \right\} (a_1 \cdot a_\perp)$$
where the dot now denotes a scalar product. In performing this integration it was assumed that in the meson terms $k \sim k'$ with the same degree of approximation as is used in the derivation of equation (96). The first term in the curly bracket is due to the process (i), while the second comes from (ii) and the interference between the processes (i) and (ii). The second term is usually small. For non relativistic mesons $q \ll \mu$ and this term behaves like $q^2/\mu^2$ while in the relativistic region it is of the order $2\mu/k^4$ times a slowly increasing logarithmic factor. Even in the case $k = 2\mu$ it amounts to only 26% of the leading term.
The scalar product \((\alpha_\perp \cdot \alpha_\perp)\) has been discussed earlier. It is simply equal to \(S\) where \(S\) is the tensor defined in equation (21). \((S)\) has been evaluated in equation (38). Inserting from this expression into equation (107), the integrations over the angles can immediately be carried out and give
\[
\int_{\Omega} \int_{\Omega'} d\phi = \frac{4\sigma_k^2 f^2}{\pi (2J+1)(137\mu)^2} S(k) dk
\]
(108)
in which \(S(k) dk\), the spectral distribution function of the mesons is given by
\[
S(k) dk = \frac{q dk}{E k} \left( \frac{E^2 + E'^2}{E^2} \right) \left\{ \log \frac{2EE'}{k} - \frac{2EE'}{E^2 + E'^2} \right\}
\]
\[
\left\{ 1 - \frac{2k^2}{kq} (\log \frac{k+q}{\mu} - \frac{q}{k}) \right\}
\]
(109)
The total cross section is obtained from this expression by integrating over \(dk\) from \(\mu\) to \(E\).
14) Numerical Evaluation of the Meson-Spectrum and the Cross Section for Meson Production; Discussion of the Results.
In the derivation of equations (108) and (109)
the effect of the electrostatic field of the nucleus has been neglected. We can correct this by multiplying $S(\kappa)$ by $N^2$ - a 'Gamow factor' for the meson wave. This factor is defined by $|N|^2 = |\Phi_q(0)|^2/|\Phi_q(\infty)|^2$ where $\Phi_q$ is a regular solution of the Schrödinger Gordon equation of a free meson in the electrostatic field of the nucleus. The nearly isotropic distribution of the mesons in the final state suggests that there is no appreciable error involved in taking s-waves for the meson functions. For light nuclei ($Z \ll 20$), for both positive and negative mesons $N^2$ can be taken to be unity. For large values of $Z$ we can make use of the W.B.K.-method to obtain an estimate of the function $\Phi_s(r)$ and hence of $N^2$. In the case of a negative meson it is easily shown that
$$N^2 = N_-^2 = q_s^{(-)} / q$$
where $q_s^{(d)}$ denotes the momentum of the meson at the surface of the nucleus, so that
$$q_s^{(+)} = \left\{ (\kappa + aZ/R)^2 - \mu^2 \right\}^{1/2}$$
When the meson has positive charge we must distinguish between two cases. In the first case the energy of the meson may be less than the Coulomb barrier: $\kappa - \mu < aZ/R$
in which case $N^2$ is very small so that in first approximation we may put $N = 0$, since the short wavelength of the meson will make the barrier practically impenetrable. For higher energies $\kappa - \mu > aZ/R$ we may take
$$N^2 = N_+^2 = q_s^{(+)} / q$$ \hspace{1cm} (111)
with $q_s^{(+)}$ defined as above. The spectral distributions for mesons - positive and negative - $S_\pm(\kappa) = N_\pm^2 S(\kappa)$ obtained by multiplying the expression (109) by the factors (110), (111) respectively are shown graphically in figure 6, for the case in which $aZ/R \approx 30$ (i.e. for a very heavy nucleus) and a maximum energy of 600. The meson mass has been assumed to be 300.
If we denote by $n_+$ and $n_-$ respectively the total number of positive and negative mesons produced under these conditions we find by a numerical integration that
$$n_- / n_+ = 1.74; \quad n_- / n_o = 1.27; \quad n_+ / n_o = 0.73$$
$n_o$ being proportional to the area under the dotted curve. The dotted curve gives the spectral distribution $S(\kappa)$ defined by equation (109). Even in the case of this extremely heavy nucleus the error involved in taking $N^2 = 1$ is less than 30% for this energy. For
The energy distribution of pseudoscalar mesons produced in a collision between an electron and a nucleus. $S_+$ and $S_-$ represent the spectral distribution functions of positive and negative mesons for a very heavy nucleus. $S$ is for a very light nucleus. $\kappa - \mu$ is the kinetic energy of the mesons in units of $mc^2$. The maximum energy was assumed to be $300mc^2$.
lower energies it is greater.
With the assumption $N^t = 1$ we may now proceed to estimate the total cross section for which we find from equations (108) and (109)
$$\Phi = \Phi_0 g(E) \sigma_x^2 / 23 + 1$$
(112)
where
$$\Phi_0 = \frac{4 f^2}{\pi (137 \mu)^2}$$
(113)
and
$$g(E) = \int_{\mu}^{E} S(\kappa) d\kappa$$
(114)
With $\mu = 300$ and $f^2 \sim 1$ we find that $\Phi_0 = 1.1 \times 10^{-30} \text{cm}^2$. If the energy of both the electron and the meson in the final state is large compared to some average nuclear excitation energy (of the order of 10 MeV) we may consider the possible final states of the nucleus to be energetically equivalent. Then by a process similar to that used in paragraph - i.e. by using the completeness of the set of nuclear eigenfunctions we may evaluate $\sum_{f} \sigma_x^2 / 23 + 1$ and obtain:
\[ \sum_{i,j+1}^{\delta^2} = \begin{cases}
Z, & \text{for positive mesons} \\
A-Z, & \text{for negative mesons}
\end{cases} \quad (115) \]
The integral \( g(E) \) can easily be estimated in the non-relativistic and extreme relativistic range of meson energies. From what has been said previously we may neglect the contribution to this integral made by the ionisation term. Replacing the logarithmic term in the integrand by a suitably chosen mean value \( (E' \sim \frac{1}{2}(E-\mu)) \) we find
\[ g(E) \sim \frac{2VZ}{3} \left( \frac{E-\mu}{\mu} \right)^{3/2} \log (E-\mu) \quad (116) \]
in non relativistic approximation and
\[ g(E) \sim \frac{4}{3} \log (2E) \quad (117) \]
in extreme relativistic approximation. As a result of a numerical integration of the spectral distribution function defined in equation (109) we find that \( g(600) \approx 1.9 \). This is a factor 4 less than the value given by either equation (116) or (117) but we would not expect better agreement in this case since the energy is outside the range of validity of both approximations. In deriving these approximations we have
neglected terms which would tend to decrease the total cross section, so that equations (116) and (117) should be considered to define upper limits.
It follows from these considerations that the cross section is proportional to the number of nucleons in the target nucleus, a result which is immediately evident by considering the small wavelengths of all particles occurring in this process. The absolute value of the cross section is very small; at 300 Mev it is approximately $2 \times 10^{-30} \text{ cm}^2$ per nucleon. From equation (117) it is seen that the cross section increases slowly with energy but the result is unreliable in the high energy reaction because we have neglected to take into account the effects of nuclear recoil and radiation damping. However it follows from recent calculations reviewed by Heitler that up to energies of 600 Mev the influence of radiation damping is not large in the case of pseudoscalar mesons.
The cross section for the production of mesons by nucleons is only about one hundredth part of the cross section for the production of mesons by $\gamma$-rays,
as determined by Chang (without radiation damping) and Peng. It should be observed however that the values for the cross section given by Morette and Peng are rather high owing to the small meson mass assumed in the calculations. In order to observe the production of mesons by electrons it appears therefore that very thin targets (of the order of one hundredth of a radiation length) must be used. In the case of lead this is of the order 0.05mm.
The shape of the meson spectrum produced by electrons is roughly the same as that produced by a thin target Brems spectrum of γ-rays. The reason for this is that the nucleus radiates its mesons under the influence of the Maxwell field of an electron transition. The spectrum of this equivalent Maxwell field is approximately the same as the spectrum derived from thin target radiation. Even quantitatively we should expect the resemblance to be close considering the equivalence of electrons and photons revealed in the Weizsäcker-Williams method.
The Becker Leibfried method of 'second quantisation' represents a very convenient way for the determination of matrix elements defined in terms of field operators. It is in a way a mathematical precisionation of the ideas of Hartree and Fock and hardly adds anything substantially new. In field theory however it helps one to avoid the cumbersome momentum representation and enables one to give a meaning to operators without any restrictions as to the choice of suitable coordinate systems in momentum space. In this capacity it has been recently used by Schwinger in his theory of the Lamb-shift.
Since no account of this method - in particular in its application to Fermi-systems - has been published - we shall outline the basic idea of the Becker and Leibfried approach in the following pages. The formulation given here is based on a discussion of
this method given by Heisenberg in his colloquium on the quantum theory of radiation and to many informal talks with Prof. Becker and Prof. Rellich in Göttingen.
In quantum theory a nucleon can be described in terms of five coordinates: the 3 space coordinates \( x, y, z \) a spin coordinate \( s \) (capable of the two values \( \pm \frac{1}{2} \)) and a coordinate of isotopic spin \( t \). The isotopic spin-variable is also capable of two eigenvalues \( \pm \frac{1}{2} \), the first of which describes the proton state. In the following we shall treat the nucleons in non relativistic approximation. It is well known that Fermi-fields can be described in terms of two wave-operators \( \Psi(\xi) \) and \( \Psi^+(\xi) \), the first of which symbolises the creation of a particle \( \xi \), that is the creation of a particle with spins \( s, t \) at the point \( r \) of ordinary space. A movement of a particle in this representation is a sequence of creation and annihilation processes along the points in the neighbourhood of its classical trajectory. The quantum properties of the field are expressed in terms of the commutation relations
\[
\{ \Psi(\xi) \Psi(\xi') \} = \{ \Psi^+(\xi) \Psi^+(\xi') \} = 0 \\
\{ \Psi^+(\xi) \Psi(\xi') \} = \delta(\xi - \xi')
\]
(1)
where the curly brackets denote the + commutator: \{AB\} = AB + BA. \( \delta(\xi - \xi') \) is used as an abbreviation for \( \delta(x-x') \delta(y-y') \delta(z-z') \delta_{\xi\xi'} \delta_{tt'} \). The \( \delta \)'s are Dirac functions when they act on a continuous variable and Kronecker symbols when they act on a discrete variable.
The operators \( \Psi^+(\xi) \) and \( \Psi(\xi) \) have to be such that the operator representing the energy obtains the form of a diagonal matrix. In non relativistic nuclear theory this operator — the Hamiltonian — has the form
\[
H = \int d\xi \frac{1}{2M} |\nabla \Psi|^2 + \\
+ \int d\xi \int d\xi' \Psi^+(\xi) \Psi^+(\xi') U(\xi - \xi') \Psi(\xi') \Psi(\xi) \\
+ \ldots
\]
Here M is the mass of a nucleon (the trivial mass-difference between neutron and proton has been neglected in equation (2)). The first term represents the kinetic energy of the nucleons, the second interaction between pairs of nucleons and the ... indicate 3- and more particle interactions. The order of the operators in the second term has been chosen in such a way that no selfenergy terms will occur.
It follows immediately from equations (1) and
(2) that the operator
\[ A = \int \psi^+(\xi) \psi(\xi) d\xi \]
commutes with \( H \) and therefore represents a constant of motion. The operator \( A \) has the following properties:
(i) the eigenvalues of \( A \) are real and positive,
(ii) One of the eigenvalues of \( A \) is 0.
(iii) the eigenvalues of \( A \) are integers.
The proof of (i) is trivial and follows from the positive definite form of §3. (ii) follows from the commutation relations (1):
\[ A\psi - \psi A = -\psi \]
\[ A\psi^+ - \psi^+A = +\psi^+ \]
If \( \chi_A \) is an eigen-vector of \( A \) to the eigenvalue \( A' \) then because of the first equation (4) \( \psi \chi_A \) is an eigen-vector of \( A \) to \( A'-1 \). Applying the operator \( \psi \) sufficiently often to the vector \( \chi_A \), we would therefore arrive at negative eigenvalues which is in contradiction to (i). It therefore follows that there must be an eigenvector \( \chi_0 \) with the property \( \psi \chi_0 = 0 \) and hence
\( A\chi_0 = 0 \) and that all the eigenvalues of \( A \) must be integers. The physical interpretation of the operator \( A \) is obvious: It represents the number of Fermi particles. The eigenvector \( \chi_0 \) corresponds to the vacuum state.
The operator \( A \) gains its importance from the fact that in most theories it commutes - or commutes approximately - with the Hamiltonian of the total system. It is therefore useful to divide the Hilbert space - on which the operators \( \Psi, \Psi^\dagger \) are allowed to act into subspaces each corresponding to a certain eigenvalue \( A' \) of \( A \), i.e. to a certain number of particles. In the case of the Hamiltonian (2) these different subspaces do not communicate: there are no matrix elements of the type \( \langle A' | M | A'' \rangle \neq 0 \) for \( A' \neq A'' \), provided that the quantity \( M \) is observable. It should be noted that the operators \( \Psi \) and \( \Psi^\dagger \) - the amplitudes of a Fermi-field - do not represent observable quantities.
Starting from the eigenvector \( \chi_0 \) which we assume to be normalised \( \langle \chi_0 | \chi_0 \rangle = 1 \), we may now proceed to construct the eigenvectors \( \chi_A \) by using equation (4). We obtain in this way:
\[ x_1(\xi_1) = \frac{1}{\sqrt{1!}} \psi^+(\xi_1) x_0 \]
\[ x_2(\xi_2, \xi_1) = \frac{1}{\sqrt{2!}} \psi^+(\xi_2) \psi^+(\xi_1) x_0 \]
\[ x_A(\xi_A, \ldots, \xi_1) = \frac{1}{\sqrt{A!}} \psi^+(\xi_A) \ldots \psi^+(\xi_1) x_0 \]
(5)
The Hilbert vectors defined in this way are functions of the coordinates of the particles. There is one Hilbert vector to each configuration of the particles in coordinate space. The normalisation employed in equation (5) gives the following orthogonality relation:
\[ (x_A, x'_A) = \frac{1}{A!} \sum_P (-)^P \prod_{j=1}^{A} \delta(\xi_j - \xi'_{j'}) \]
(6)
which follows immediately from (5) by applying the commutation relations (1). The scalar product between two vectors \( x_A \) and \( x_{A'} \) is nothing for \( A' \neq A \). The eigenvectors \( x_A \) defined in equation (5) are antisymmetric in all their variables: \( x_A(\ldots \xi_i \ldots \xi_k \ldots) = -x_A(\ldots \xi_k \ldots \xi_i \ldots) \).
The right hand side of equation (6) has the same property. (The summation has to be carried out over all permutations of the indices of \( \xi_i' \), \((-)^P\) being +1 for an even permutation and -1 for an odd permutation).
In the following we shall use the abbreviation $\delta(\xi - \xi')$ for the right hand side of equation (6). This antisymmetrised $\delta$-function can then be replaced by a normal Dirac-$\delta$-function whenever it acts on functions which are antisymmetric in all coordinates.
The vectors $x_A$ defined in equation (5) can be interpreted as basisvectors of the Hilbertspace on which the operators $U$ and $U^\dagger$ act. The quantities $\xi_1, \xi_2, \ldots, \xi_A$ correspond to the indices of the unit-vectors in an ordinary vector space.
The most general Hilbert vector $U$ in the subspace $A$ will have the form
$$U = \int d\xi_1 \cdots d\xi_A \ u(\xi_1, \ldots, \xi_A) x_A(\xi_1, \ldots, \xi_A)$$ \hspace{1cm} (7)
the functions $u(\xi_1, \ldots, \xi_A)$ representing the 'coordinates' of the vector $U$ in the frame of reference defined by the basisvectors (5). Without loss of generality we can assume that $u$ is antisymmetric in the same way as $x$ - the symmetric part would not contribute to the integration (7). The normalisation chosen for the basis vectors $x$ now guarantees that $U$ is a unit
vector \((UU) = 1\), provided that
\[
\int d\xi_1 \ldots d\xi_A |u(\xi_1 \ldots \xi_A)|^2 = 1
\]
(8)
This normalisation rule and the fact that \(u\) has to be antisymmetric suggests the interpretation of \(u\) as the Schrödinger function of the \(A\) particle problem.
The analysis now lets us determine unambiguously any operator built up in the conventional way out of the Fermi-amplitudes \(\Psi\) and \(\Psi^\dagger\). Let \(a\) denote a state with \(A\) particles and \(b\) a state with \(B\) particles. The state \(A\) can then be described in terms of a Schrödinger function \(u_a(\xi_1, \ldots \xi_A)\), the state \(b\) by \(u_b(\xi_1, \ldots \xi_B)\).
We can now determine the matrix-element of \(\Psi^\dagger\), say corresponding to the transition \(a \rightarrow b\). This matrix-element is simply \((bB|\Psi^\dagger(\xi)|aA) = (U_B\Psi^\dagger U_A)\) where \(U_A\) and \(U_B\) are defined in equation (8). Now, by using (5) and (6) and the symmetry property of the function we have
\[
(bB|\Psi^\dagger(\xi)|aA) = \delta_{A+1} \sqrt{B} \int d\xi_1 \ldots d\xi_A u_b^\dagger(\xi_1 \ldots \xi_A, \xi) u_a(\xi_1 \ldots \xi_A)
\]
(9)
We therefore see that the operator \(\Psi^\dagger\) corresponds to the creation of a particle - the number \(B\) of particles.
is one larger than the number $A$ of particles in the initial state. Taking the Hermitian adjoint of equation (9) we can determine the matrix-element of $\Psi$:
$$\langle bB | \Psi(\xi) | aA \rangle = \delta_{B+1,A} \sqrt{A} \int d\xi_1 \cdots d\xi_B u_a(\xi_1, \xi_B, \xi) u_b^*(\xi_1, \cdots \xi_B)$$ \hspace{1cm} (10)
and it is therefore obvious that the operator $\Psi$ represents the annihilation of particles.
The matrix-elements of the operators (10) and (9) may be very useful in the discussion of $\beta$-decay phenomena for which the number of electrons does not remain constant. Whereas the original procedure in Fermi's theory is to replace $\Psi^4$ by the conjugate of the wavefunction of the created electron we see from (9) that this procedure might lead to erroneous results - since even the one particle electron eigenfunctions are not orthogonal in the initial and final state (Change of Z!). This gives rise to exchange phenomena - introducing an exceedingly small correction in the shape of $\beta$-spectra - and to internal ionisation processes.
However, in the applications given in this paper we are mainly concerned with operators which leave the
the number $A$ of particles unaltered. By means of the equations (9) and (10) and the completeness relations for the Schrödinger functions
$$\sum_c u_c(\xi_1 \cdots \xi_A) u^*_c(\eta_1 \cdots \eta_A) = \theta(\xi - \eta)$$ \hspace{1cm} (11)
the matrix-element of the simplest operator of this type
$$\overline{Q}(\xi) = \Psi^+(\xi) Q_\xi \Psi(\xi)$$ \hspace{1cm} (12)
may be readily evaluated. $Q_\xi$ is an operator acting on the coordinate $\xi$. With the general rule for matrix multiplication we have
$$(bB|\overline{Q}(\xi)|aA) = \sum_{cc'} (bB|\Psi^+(\xi)|cC) Q_\xi (cC|\Psi(\xi)|aA)$$
and this relation can be immediately evaluated by means of equations (9), (10), (11). The result is
$$(bB|\overline{Q}(\xi)|aA) = A \delta_{AB} \int d\xi_1 \cdots d\xi_{A-1} u^*_b(\xi_1 \cdots \xi) Q_\xi u_a(\xi_1 \cdots \xi)$$ \hspace{1cm} (13)
The $\delta$-functions implies that the operator $\overline{Q}$ leaves the number of particles invariant. The factor $A$ is not immediately obvious but it can be understood that for $Q = I$ - the unit operator - $Q$ represents the particle
density. In this case the expectation value of
\[ \int d\xi Q(\xi) \] should be equal to the number of particles. (13) shows immediately that this is the case for \( a = b \) - i.e. for the expectation value.
In some cases average values of \( Q \) over the whole space will occur. Because of (13) - and keeping in mind the symmetry property of the wave functions - we may write for these
\[
(6B| \int Q d\xi |aA) = \sum_i \int d\xi_1 \ldots d\xi_A u_b^* Q_{\xi_i} u_a
\]
It will be seen that the method outlined above gives an unambiguous procedure for the determination of matrix-elements without reference to a transformation in momentum space. It therefore enables to deal with matrices of the type given in equation (12) as if they were one particle matrices and make the transformation to many particle situation at a very late stage of the calculation. This of course is one of the basic ideas of the Hartree Fock method but it seems to us to come out in a much more tangible form in the Becker Leibfried version of the theory.
Appendix 2.
Formal Remarks on the Magnetic Dipole Moment of Nuclear Transitions.
It is well known that the proton as well as the neutron has a magnetic moment. The proton moment is $2.79$ nuclear magnetons ($1/2M$ in our units), that of the neutron $-1.91$. One therefore has to assume that it is not only the charge of the nuclear particles which interacts with an electromagnetic field but their magnetic moments as well.
Throughout this paper it has been assumed that a 4-vector $j_v$ - subject to an equation of continuity - is a sufficient description of a nuclear transition, but the verification of this assumption is only obvious in the case where the charge of the nuclear particles is alone responsible for the interaction with the electromagnetic field. We want to show in this paragraph that the 'magnetic' interaction can also be described in the form of an equivalent current, such that the total current used previously has to be interpreted as the sum of an 'orbital' current.
j and a 'magnetic' current j'. A formula will be given for the determination of the 'magnetic' current in terms of the magnetic moments and spins of the nuclear particles.
We start from a Lagrangian for the system of nuclear particles in an electromagnetic field. We assume that this Lagrangian has the form
\[ \mathcal{L} = \int_0 (\Psi^+ \Psi_i (2q + ieqA_v) \Psi_i (2q - ieqA_v) \Psi) + \frac{1}{2} M_{ik} (\partial_i A_k - \partial_k A_i) \] \hspace{1cm} (1)
Here \( \Psi^+ \) and \( \Psi \) are the operators corresponding to the creation or annihilation of a nucleon respectively and q is an operator acting on the isotopic spin with the eigenvalues 1 for a proton and 0 for a neutron. \( q = \frac{1}{2}(1 + \tau_3) \). \( M_{ik} \) is an antisymmetric tensor (i, k l, 2, 3) representing the magnetic part of the interaction. We may write
\[ M_{ik} = \frac{1}{2M} \Psi^+ \left\{ 2.79q - 1.91(1-q) \right\} \sigma_{ik} \Psi \] \hspace{1cm} (2)
where \( \sigma_{ik} \) is the spin operator. In a relativistically invariant theory the tensor \( M_{ik} \) will have i-4-components as well, so that (1) has to be interpreted as a non-relativistic approximation. The current j may now be defined - by general principles of the
quantum theory of wave fields - as the functional derivative of the Lagrangian with respect to the components of the vector-potential. The current defined in this way satisfies the equation of continuity provided that the Lagrangian is gauge-invariant, i.e. invariant against the gauge transformation
\[ A_\nu \rightarrow A_\nu + \partial_\nu \Phi \]
\[ \psi \rightarrow e^{i e q \Phi} \psi \quad \psi^+ \rightarrow \psi^+ e^{-i e q \Phi} \]
This is certainly the case for the Lagrangian leading to the Hamiltonian (2) of appendix 1, and for the additional term \( M_{ik} \) introduced in equation (1). With this definition of the current we obtain
\[
\frac{\delta L}{\delta A_\nu} = \frac{\partial L}{\partial A_\nu} - \partial_\mu \frac{\partial L}{\partial (\partial_\nu A_\nu)} \quad j_i = j_i^{(o)} + \partial_k M_{ik}
\]
\[
j_4 = j_4^{(o)}
\]
the first term of which represents the 'orbital' current the second the current due to the magnetic moment of the nucleons. It is easily seen that both components of the current separately satisfy an equation of continuity. In the case of the magnetic component this is due to the absence of a four-component and the antisymmetry of \( M_{ik} \).
The magnetic dipole moment has been defined in
paragraph, equations (33) and (35). Considering the antisymmetry of $T$, equation (33) may be written
$$\kappa T_{ik} = \frac{1}{2} \int d\mathbf{r} \left\{ j_i \times_k - i_k \times_i \right\}$$ \hspace{1cm} (4)
Inserting from equation (3) we then have
$$\kappa T_{ik} = \kappa T_{ik}^{(o)} + \int d\mathbf{r} M_{ik}$$ \hspace{1cm} (5)
where $T_{ik}^{(o)}$ is that part of the magnetic dipole moment which is due to the orbital components of the current. The result (5) is obtained after a partial integration.
It is therefore seen that our definition (33) of the magnetic moment, namely $\mu = \frac{1}{\kappa} \int M d\mathbf{r}$ differs from the one commonly used by a factor $1/\kappa$. This difference is clearly trivial and due to the more convenient 'electric' interpretation of the magnetic dipole moment used in this paper. As a result of this interpretation our formulae show a close resemblance between the electric quadripole case and the magnetic dipole case, whereas commonly the resemblance lies between electric and magnetic dipoles. It appears however that for our problem the interpretation used is preferable, since the field produced by a moving electron does not show symmetry between the electric and magnetic field components - in contrast to the electromagnetic field of a quantum.
Owing to the magnitude of the magnetic moments and to the fact that the neutrons may also contribute in the case of magnetic dipole transitions, the orbital contribution of magnetic dipole transitions will generally be small. In the discussion in paragraph we have therefore neglected the orbital altogether. This will be the more justified since there are a great number of selection rules forbidding orbital magnetic dipole transitions and it will be remembered that in the theory of atomic spectra such transitions are altogether impossible for optical frequencies. If orbital magnetic dipole transitions are allowed they will in general behave very similar to magnet electric quadripoles.
References.
1) Wiedenbeck, Phys.Rev. 67, 92, 1945.
2) Mamasachlisov, J.Phys.USSR., 7, 239, 1943.
3) Touschek, Nature 160, 500, 1947.
4) Weizsäcker, Zeits.f.Phys. 88, 612, 1934; Williams, Phys.Rev. 45, 729, 1934.
5) Heitler, The Quantum Theory of Radiation (QTR), Qxf.Univ.Pr. 1935.
6) Rosenfeld: Nuclear Forces, Amsterdam, 1948; (in particular pp. 138-141).
7) Bohr and Kalckar, Kgl.dan.vid.selsk. 14, 10, 1936.
8) Bethe: 'Elementary Nuclear Theory' discusses this situation on pp 109-120.
9) Jordan: Anschauliche Quantentheorie (Berlin 1936) in particular pp 80 and ff.
10) Collins and Waldmann, Phys.Rev. 57, 1088, 1940.
11) Fermi, Zeits.f.Physik, 88, 161, 1934.
12) Yukawa, Proc.Jap. 17, 48, 1935, Yukawa and Sakata, Proc.Jap. 19, 1084, 1937.
13) The radioactivity of mesons has been checked in the case of cosmic ray mesons mainly by the Italian school: Conversi, Pancini and Piccioni, Phys.Rev. 71, 209, 1947, for artificially produced mesons in the Berkeley experiments; cf. Bethe's report at the Birmingham Conference 1948.
14) Touschek, Proc.Cambr.Phil.Soc. 44, 301, 1947.
15) Heitler, Rev.Mod.Phys., 21, 113, 1949.
16) cf. Heitler, QTR, p.85.
17) Born, Gött.Nachr., p.146, (1926); Zeits.f.Phys. 38, 803, 1926.
18) Möller, Zeits.f.Phys. 70, 786, 1931.
19) Bethe, Zeits.f. Phys. 76, 293, 1932.
20) Heitler, QTR., pp 149-150.
21) Sommerfeld, Atombau und Spektrallinien II, pp. 733-744 (Vieweg 1939).
22) Bohr, Phil.Mag., 30, 581, 1916.
23) Mott, Hanbuch der Physik, 24, 809, 1933.
24) Sommerfeld and Maue, Ann.d.Phys., 22, 629, 1935; see also Sommerfeld A.u.S.II, p.408.
25) Whittaker and Watson: A Course of Modern Analysis p.281, (Cambr.Univ.Press, 1946).
26) Bleuler and Zünti, Helv.Phys.Acta, 19, 375, 1946.
27) Bethe, Rev.Mod.Phys. 9, No.2., 1937, cf. pages 223/224.
28) cf. Grimsehl, Lehrbuch d.Physik, 2, 2, (Berlin 1934).
29) Chang, Kgl.dan.vid.selsk. 19, 10, 1942.
30) Morette and Peng, Nature 160, 59, 1947.
31) Becker and Leibfried, Phys.Rev. 69, 34, 1946. A more detailed account has meanwhile been published in Zeits.f.Physik., 125, 547 (1949).
32) Hartree and Fock, Zeits.f.Phys. 75, 622, 1932.
33) This lecture has been circulated in hectograph form.
34) Bethe: El.Th.of Nucl.Forces pp. 58/59.
35) Wentzel, Einführung in die Quantentheorie der Wellenfelder, footnote on p.65. (Wien 1943).
|
Local and Global Changes in Brain Metabolism during Deep Brain Stimulation for Obsessive-Compulsive Disorder
Juan Carlos Baldermann 1,*, Karl Peter Bohn 2, Jochen Hammes 2, Canan Beate Schüller 1, Veerle Visser-Vandewalle 3, Alexander Drzezga 2 and Jens Kuhn 1,4
1 Department of Psychiatry and Psychotherapy, University of Cologne, Medical faculty, 50937 Cologne, Germany
2 Department of Nuclear Medicine, University of Cologne, Medical faculty, 50937 Cologne, Germany
3 Department of Stereotactic and Functional Neurosurgery, University of Cologne, 50937 Cologne, Germany
4 Department of Psychiatry, Psychotherapy and Psychosomatic, Johanniter Hospital Oberhausen, 50937 Oberhausen, Germany
* Correspondence: email@example.com; Tel.: + 49-(0)-221-478-4005
Received: 25 July 2019; Accepted: 29 August 2019; Published: 30 August 2019
Abstract: Recent approaches have suggested that deep brain stimulation (DBS) for obsessive-compulsive disorder relies on distributed networks rather than local brain modulation. However, there is insufficient data on how DBS affects brain metabolism both locally and globally. We enrolled three patients with treatment-refractory obsessive-compulsive disorder with ongoing DBS of the bilateral ventral capsule/ventral striatum. Patients underwent resting-state 18F-fluorodeoxyglucose and positron emission tomography in both stimulation ON and OFF conditions. All subjects showed relative hypometabolism in prefronto-basal ganglia-thalamic networks compared to a healthy control cohort when stimulation was switched OFF. Switching the stimulation ON resulted in differential changes in brain metabolism. Locally, volumes of activated tissue at stimulation sites ($n = 6$) showed a significant increase in metabolism during DBS ON compared to DBS OFF (Mean difference $4.5\% \pm SD 2.8; p = 0.012$). Globally, differential changes were observed across patients encompassing prefrontal increase in metabolism in ON vs. OFF condition. Bearing in mind limitations of the small sample size, we conclude that DBS of the ventral capsule/ventral striatum for obsessive-compulsive disorder increases brain metabolism locally. Across distributed global networks, DBS appears to exert differential effects, possibly depending on localization of stimulation sites and response to the intervention.
Keywords: Deep brain stimulation; DBS; Obsessive-Compulsive Disorder; OCD; Positron emission tomography; 18F-fluorodeoxyglucose; FDG-PET
1. Introduction
Obsessive-compulsive disorder (OCD) is among the most common psychiatric disorders with a lifetime prevalence of 2–3% [1]. Characterized by the presence of unwanted and aversive thoughts (obsessions) and consequent repetitive neutralizing actions (compulsions), it is a chronic, often severely disabling disorder.
For severely affected patients that do not respond to first-line treatments such as cognitive behavioral therapy and pharmacotherapy, deep brain stimulation (DBS) for OCD has been investigated for over two decades. Despite clinical utility of the intervention and approval by the U.S. Food and Drug Administration (FDA) [2], the underlying mechanisms of the intervention are scarcely known.
Beyond an ongoing debate on which target may be best to treat OCD, recent approaches have suggested that clinical effects may be driven by broader network changes rather than focal brain modulation [3]. This notion is supported by reports of network modulations in DBS for other disorders such as Parkinson’s disease (PD) or Alzheimer’s disease [4,5]. However, there is insufficient data on how DBS for OCD affects brain functioning and metabolism both locally as well as in broader global networks.
Functionally, Figee et al. have reported that DBS of the VC/VS decreased excessive connectivity between the ventral striatum and the prefrontal cortex [6] and that decrease in connectivity is associated with overall treatment response in the Yale-Brown Obsessive-Compulsive Scale (Y-BOCS). A study using oxygen-15 positron emission tomography (¹⁵O-PET) showed that DBS ON compared to switched DBS OFF resulted in an increase of perfusion in the dorsal anterior cingulate cortex (dACC) and the basal ganglia, depending on the employed stimulation contacts of the DBS electrodes [7]. Similar to this, an early case report using ¹⁵O-PET described an increase in activity in the dorsolateral prefrontal cortex (DLPFC) and the cingulate cortex [8]. Contradicting these observations, Suetens et al. observed a decrease in brain metabolism using ¹⁸F-fluorodeoxyglucose and positron emission tomography (FDG-PET) in the ACC, the medial frontal gyrus, and in the right temporal gyrus in DBS ON vs. DBS OFF condition [9].
Overall, there is some evidence that DBS of the VC/VS induces changes in brain functioning beyond local and focal modulation around DBS electrodes. However, the data is limited and conflicting. Moreover, there is scarce data on the local effects of DBS OFF compared to DBS ON for OCD in humans.
Thus, we employed FDG-PET in a case series of patients with treatment-refractory OCD to further test how brain metabolism in both locally modulated brain areas and in broader connected areas respond to VC/VS-DBS. Specifically, we sought to investigate whole brain changes in metabolism as well as changes in the modelled electric fields based on individually applied stimulation programming.
2. Materials and Methods
2.1. Subjects
Derived from a larger clinical trial on VC/VS-DBS for OCD including 20 subjects [10], we offered patients to participate in the present FDG-PET study. Overall, five patients agreed to participate. Of these five patients, only three completed both ON and OFF conditions. In total, we enrolled three patients (two males, one female) with treatment-refractory OCD (see Table 1). The main reasons to reject study participation were concerns regarding radiation exposure and unwillingness to switch off the stimulation (due to anticipated symptom relapse). All included patients consented to the procedure according to the Declaration of Helsinki. The Ethics committee of the Medical Faculty of the University of Cologne and the radiation protection authorities approved the study (DRKS number: 00008583).
| Subject | Sex | Age at Surgery | Preoperative Y-BOCS | Postoperative Y-BOCS | Stimulation Settings | Medication |
|---------|-----|----------------|---------------------|----------------------|----------------------|------------|
| 1 | Male | 47 | 28 | 15 | 3+, 2-, c+; 11-, 10-, C+; 130 Hz; 3.3V; 120µs | Clomipramine 225mg/d Quetiapine 40mg/d Venlafaxine 225mg/d |
| 2 | Male | 45 | 37 | 31 | 2-, 1-, c+; 10-, 9-, c+; 130 Hz; 4.8V; 150µs | Mirtazapine 30mg/d |
| 3 | Female | 54 | 34 | 33 | 3-, 2-, c+; 11-, 10-, C+; 130 Hz; 4.2V; 90µs | Fluoxetine 80mg/d |
2.2. Surgical Procedure
Bilateral quadripolar electrodes (Model 3387 DBS Lead; Medtronic; Minneapolis, MN, USA) were stereotactically implanted bilaterally under local anesthesia. The two distal contacts (0, 1 on the left and 8, 9 on the right electrode, respectively) were placed in the nucleus accumbens within the ventral striatum bilaterally (see Figure 1 for an overview). The more proximal contacts (2, 3 and 10, 11) were located in the ventral part of the VC. Post-operative computer tomography (CT) was used to confirm the correct position of the electrodes post-operatively. For further description of the surgical procedure and patient inclusion criteria see [10].
**Figure 1.** Overview of electrode localization of each individual subject (1–3) and corresponding volumes of activated tissue (VAT) (red) depending on stimulation settings at time of imaging acquisition. More distal contacts were implanted in the ventral striatum (green); more proximal contracts were located in the ventral capsule. Only left electrodes are shown for display purposes. For a closer view see Figure S1.
2.3. PET Imaging and Analysis
Imaging acquisition was performed six to twelve months after DBS implantation with stable stimulation settings for at least four weeks. Each subjects underwent two scanning sessions: one with stimulation switched ON, one with stimulation switched OFF. The OFF condition measurement took place after the stimulation was switched off for 24 to 48 h. On average, four days passed between the two scanning sessions. In this period, medication remained stable (see Table 1) and no specific psychotherapy was applied.
FDG-PET scans were performed at the Department of Nuclear Medicine, University Hospital Cologne, Germany, with a Siemens Biograph mCT Flow 128 Edge scanner (Siemens, Knoxville, TN, USA). After the injection of 200 MBq [18F]-FDG, patients waited for 30 min lying in supine position in a room with dimmed light. After that, a static image was acquired over 15 min. A low-dose CT scan for the purpose of attenuation correction was acquired prior to PET acquisition. Scans were iteratively reconstructed using a 3-D OSEM algorithm (four iterations, 12 subsets, Gaussian filter: 5 mm full width at half maximum (FWHM), $400 \times 400$ matrix, slice thickness of 3 mm). The FDG scans were then spatially normalized to MNI space [11] to the FDG-PET template published by Della Rosa [12] with SPM 12 ([www.fil.ion.ucl.ac.uk/spm/software/spm12](http://www.fil.ion.ucl.ac.uk/spm/software/spm12)). The resulting image resolution was $2 \times 2 \times 2$ mm$^3$ with matrix dimensions of $79 \times 95 \times 78$ voxels. Standardized uptake value ratio (SUVR) image-datasets were created using the AAL-atlas cerebellum as reference region [13]. The cerebellum was chosen because changes in metabolism were expected in frontal cortical areas and the basal ganglia based on prior literature [6,7,9].
First, we assessed FDG-metabolism in DBS OFF condition for each subject by performing a voxel-wise comparison of individual subjects with an age-matched cohort of healthy subjects that is implemented in the NEUROSTAT software [14]. This publicly available healthy control group consisted of 22 subjects (7 men, 15 women). Thus, this control group does not constitute a separately recruited sample but rather a normative reference group. Second, intraindividual DBS induced changes
in FDG-metabolism between DBS ON and OFF condition were calculated by voxel-wise subtraction. The resulting difference maps were displayed in VINCI 4 [15]. Third, mean FDG-metabolism in both conditions was extracted from volumes of interest (see Section 2.4) using a custom-built Matlab script (The MathWorks, Inc., Natick, MA, USA) for statistical analysis.
2.4. Reconstruction of Volume of Tissue Activated
Volumes of interests (VOI) were selected to test how DBS affects brain metabolism locally within the electric field induced by the DBS system. To build such models of individual volumes of activated tissue (VAT), we reconstructed patients’ electrodes and electric fields in standard space using LEAD-DBS (https://www.lead-dbs.org/) [16]. Briefly, postoperative CT scans were linearly coregistered to preoperative magnetic resonance imaging (MRI) using SPM 12. Coregistrations were manually controlled for each patient and refined if needed using Advanced Normalization Tools (http://stnava.github.io/ANTS/). Images were then normalized into ICBM 2009b NLIN asymmetric space using the SyN approach implemented in Advanced Normalization Tools. A subcortical brain shift correction was applied using LEAD-DBS if needed to attain a more precise subcortical alignment. DBS electrodes were localized within MNI space by the artifact in the postoperative image using Lead-DBS software.
Volumes of tissue activated (VTA) estimation protocol followed the one by Horn and colleagues [17]. In brief, individual stimulation parameters were used to model an electric field in dependence of the surrounding brain tissue following the FieldTrip-SimBio pipeline (http://fieldtriptoolbox.org). This created bilateral VTAs that were used as VOI in the quantitative PET analysis. We used SPSS (IBM Corp. Version 25.0. Armonk, NY, USA) for non-parametric Wilcoxon signed-rank testing of dependent samples to assess differences in glucose uptake of VOIs during DBS ON and OFF conditions.
3. Results
All three patients underwent FDG-PET imaging in both DBS ON and OFF condition. When DBS was switched OFF), all three subjects showed a relative frontal hypometabolism compared to a cohort of healthy control subjects. This hypometabolism was most pronounced in subject 1 and 2 in the medial prefrontal cortex as well as in the basal ganglia and thalamus (see Figure 2). There was no distinct global hypermetabolism compared to healthy controls across subjects (see Figure S2 Supplementary Materials).
**Figure 2.** Glucose hypometabolism during stimulation OFF condition compared to an age-matched healthy control cohort. Patients showed most pronounced relative hypometabolism in the medial prefrontal cortex as well as the thalamus.
To assess changes in glucose metabolism induced by ongoing VC/VS-DBS, we calculated differential contrasts between DBS ON and OFF conditions. Global changes differed substantially between subjects (see Figure 3). Subject 1 revealed an increase in glucose uptake in ON compared to OFF condition in the frontal, parietal, and occipital lobes. Increased uptake was also present in the ventral striatum and
caudate nucleus. Contrary to this, subject 2 showed a marked hypometabolism in ON compared to OFF condition in the frontal and parietal cortex. Additionally, we observed a pronounced increase in glucose uptake in the thalamus. Of note, the thalamus of subject 2 showed a strong hypometabolism in the OFF condition compared to healthy controls, thus this hypometabolism was diminished when switching the stimulation ON. Subject 3 showed a relative hypermetabolism in the orbitofrontal cortex in ON vs. OFF condition as well as in the temporal cortex. However, overall, differences between conditions were less overt in subject 3.
**Figure 3.** Ratios of glucose metabolism in deep brain stimulation ON vs. OFF condition. Warm colours indicate increased uptake in ON condition compared to OFF condition. Cold colours indicate increased metabolism in OFF condition compared to ON condition. Colour bars represent ratios in standardized uptake values. Volumes of activated tissue are displayed in green.
In a VOI analysis we specifically assessed changes in glucose metabolism in the electric fields induced by the electrodes. Interestingly, we observed an increase of glucose uptake in all subjects and VTAs (see Figure 4) with a statistically significant increase of 4.4% ($Z = 2.201; SD = 2.6; p = 0.028$).
**Figure 4.** Volumes of interest analysis. We modelled volumes of activated tissue (VTA) based on the individually applied electric field per electrode, resulting in 6 VTAs for three subjects (VTA 1–2 = subject 1; VTA 3–4 = subject 2; VTA 5–6 = subject 3). Overall, a significant increase in glucose metabolism in VTAs of 4.4% was observed when switching DBS ON compared to DBS OFF in a non-parametric Wilcoxon signed-rank test ($Z = 2.201; SD = 2.6; p = 0.028$).
### 4. Discussion
The aim of this add-on study [10] was to study how VC/VS-DBS influences brain metabolism in patients with treatment-refractory OCD. Specifically, we explored changes in brain stimulation in the individually, directly altered brain areas through the electric field induced by the electrodes. Furthermore, we wanted to display global changes beyond stimulation sites across the whole brain. Whereas some larger studies addressed this important topic in patients with PD (e.g., [18,19]), the existing literature in the field of DBS for OCD is scarce and conflicting [7,9]. DBS for PD is clinically more established than DBS for OCD which is only performed in a small subset of severely affected, treatment-resistant patients, which limits potential study participants. Another possible explanation could be that, as in our study, patients refuse to participate due to concerns regarding radiation exposure and unwillingness to switch off the stimulation and possibly experience a symptom relapse. Nonetheless we managed to obtain three complete datasets with two scans each, revealing remarkable stimulation effects.
To assess local changes in metabolism, we calculated individual electric fields determined by the placement of DBS leads and the individually employed stimulation settings. The resulting models form an estimation of the actual anatomical expansion of electric fields, taking into account the tissue around the electrodes and the corresponding current conduction (albeit not other potentially influencing factors such as local fibre orientation). Notably, all subjects displayed an increase in FDG metabolism in each VAT (see Figure 4). Across all subjects, we observed a significant mean increase in FDG uptake of 4.4 (± 2.6) percent. We can therefore conclude that VC/VS-DBS increased glucose brain metabolism locally. Interestingly, similar effects of local stimulation-induced brain hypermetabolism have been observed in DBS of the nucleus basalis of Meynert [20]. Of note, these patients received low-frequency DBS (5–20 Hz) while in the present investigation subjects received high-frequency DBS (>90 Hz). Thus, local increase in glucose metabolism through DBS occurs likely during both high- and low-frequency stimulation.
Our finding somehow seems to contradict the former notion that DBS exerts a functional lesion in this area [21]. However, there is still no consensus whether high-frequency DBS results in local inhibition or in fact excitation of brain tissue [22]. A commonly acknowledged perspective is that DBS overrides putatively pathological neural activity [23]. Our results point towards local increase in glucose metabolism; still, it remains elusive whether this increase in metabolism results in phasic excitatory impulses or rather in a tonic activation of neurons that leads to an overriding of neural activity of this area. Apart from inhibition and excitation, recent electrophysiological approaches have suggested that DBS may disrupt abnormal information within stimulation sites [24]. It is conceivable that ongoing interference of cellular firing rate (either resulting in inhibition, excitation or disruption of incoming pathological signals) requires increased glucose metabolism. This in turn implies that DBS does not result in silent neural tissue but rather in a consuming state of activity. Yet, there are numerous unknown cellular and molecular mechanisms of DBS (including effects on glia cells and neuromodulators) that remain to be explored.
Looking at the whole brain changes between ongoing and switched-off DBS resulted in a heterogeneous effect. While in one subject (subject 3), we observed only a slight increase in metabolism in the orbitofrontal and temporal cortex, the other two subjects (1 and 2) showed a partly contradicting outcome. Subject 1 revealed a wide-spread increase in glucose metabolism involving the parietal cortex as well as the medial, lateral, and orbitofrontal prefrontal cortices with stimulation ON. Contrary to this, subject 2 showed a pronounced decrease in parietal and occipital cortical brain metabolism while FDG uptake in the thalamus was clearly enhanced with stimulation ON vs. stimulation OFF. Thus, we did not observe a clear common network effect, although increase in prefrontal activity in DBS ON condition was observed in subject 1 and partly subject 3 (but not in subject 2).
The heterogeneity of the global results makes the interpretation of these findings difficult. Considering the existing literature, one possible confounder could be treatment response and thus relative decrease in OCD symptoms. Subject 1 was the only patient that clearly responded to the intervention. In fact, this subject showed an early clinical improvement that withstood a relatively low stimulation amplitude of 3.3 Volts (see [10]). In this context, other studies could show that treatment response for OCD was accompanied by an increase in prefrontal glucose metabolism [25]. Congruent to this, response to DBS of the VC/VS correlated with increased prefronto-striatal functional connectivity [6] and increase in prefrontal theta oscillations [26]. We argue that in our subjects, response to the intervention may contribute to the heterogeneity of the results, with the only full responder displaying increased prefrontal activity ratio in ON vs. OFF condition. Notably, PET Scans in the DBS OFF condition revealed a relative prefrontal hypometabolism compared to age-matched healthy participants. Thus, successful DBS may in fact reduce this pathologic prefrontal hypometabolism.
Another possible explanation for the differential changes in glucose metabolism may result from the location of leads and the corresponding VTAs. In fact, differential changes in metabolism dependent on the employed DBS contacts have been described before [7]. In subject 3 we did not observe a clear change in brain metabolism between ON and OFF condition. As shown in Figure 1, VTAs in this subject were located most ventrally, whereas VTAs of subject 2 were located most caudally. The ventral capsule carries fibres to the entire prefrontal cortex through a complex and individual structural organization [27]. Hence, spatial differences of VTAs may also partly explain differences across subjects. Adjusting parameters in subject 2 and 3 may have resulted in better clinical outcome and thus similar changes in metabolism, although this data was not obtained. Overall, our results fit in the heterogeneous and contradicting reports on DBS induced changes in global brain metabolism [7,9] and underlie the possible influence of clinical improvement and localization of stimulation sites.
Another conceivable assumption can be derived from OFF condition measurements of glucose metabolism and clinical outcome. As presented in Figure 2, subject 1 revealed the most evident prefrontal hypometabolism compared to healthy subjects. Within the three subjects, this patient also showed the strongest improvement of OCD symptoms during DBS. Although it cannot be concluded from our data, one might speculate if specific preoperative metabolism patterns might indeed be useful
to predict outcome of this invasive and costly procedure. The potential of FDG-PET as a tool to predict response to pharmacotherapy and psychotherapy for OCD has been shown before [25]. Considering that up to now there are no reliable preoperative treatment predictors [28], this observation might be relevant for further research. Of note, this interpretation is based on the assumption, that the OFF condition metabolism can be linked to patients’ baseline brain metabolism. However, in this study, we did not assess preoperative FDG-PET as an actual baseline measurement. It has also been shown before that the implantation of DBS electrodes leads to changes in brain metabolism [29] independently of ongoing electric stimulation. These effects have mostly been linked to an insertional microlesion effect. Thus, our OFF condition results may be influenced by such a microlesional effect. Clinically, the insertion (or microlesion) effect is commonly observed in patients with PD, with an initial transient postoperative improvement of symptoms that usually declines within weeks [30]. The aforementioned animal study [29] assessed FDG PET within two weeks after surgery. In contrast, another study in humans did not observe differences between baseline and DBS OFF glucose metabolism [9]. Noteworthy, this sample underwent FDG PET 28 to 123 days after surgery. This indicates that the influence of the insertion effect on glucose metabolism (like the clinical effects) vanishes over time. In our sample, we assessed FDG PET at least six months after surgery. Although it cannot be assured in our study due to the lack of baseline measurements, we argue that the insertion effect on brain metabolism, if present, would be less pronounced in our sample. Nonetheless, the putative usefulness of preoperative prefrontal hypometabolism as a predictor for treatment response requires specific prospective investigations including baseline measurements. In this context, one has to keep and mind that our study compares brain metabolism with and without *ongoing* DBS and not with and without DBS. Hence, the DBS OFF condition does not constitute a true baseline condition.
The major and most overt limitation of this study is the very small sample size and the consequently missing statistical group analysis. The small sample size resulted mostly from low acceptance rates of the experimental protocol within the patient sample as both exposition to radiation and the risk of relapse of symptoms during the OFF condition discouraged patients to participate to the study. Another limitation is the lack of a healthy control sample. To partly overcome this limitation, we employed publicly available healthy cohorts to compare brain activity that are used in real-life clinical FDG-PET investigations. Further limitations relate to the modelling of VTAs. Although the employed model reflects one of the state-of-the-art approaches, it is inherently an approximation of the actual anatomical expansion of the electric fields, as several influencing factors (e.g., local fiber orientation, subject-specific neural alterations) are not taken into account. In the study design, neither patients nor investigators where blinded with regard to ON/OFF conditions. Thus, a placebo/nocebo effect cannot be ruled out. Differences in medication status may have also influenced brain metabolism, however differences between OFF and ON conditions should not be influenced by this and medication remained stable for months.
**5. Conclusions**
Notwithstanding the small sample size, our study revealed some important insights into how DBS for OCD changes brain metabolism both locally and globally. Using state-of-art methodology to locate electrodes and model individually applied electric fields, we were able to specifically test how glucose brain metabolism is directly affected with high-frequency DBS at stimulation sites. Specifically, our results revealed heterogeneous global changes of brain metabolism including DBS-induced prefrontal increase in glucose uptake, possibly influenced by the degree of improvement of OCD symptoms as well as localization of VTAs. Locally, we observed that high-frequency DBS induced a significant increase in brain metabolism within the individually applied electric fields.
**Supplementary Materials:** The following are available online at http://www.mdpi.com/2076-3425/9/9/220/s1, Figure S1: Close view of individual electrode localization, Figure S2: Glucose hypermetabolism during stimulation OFF condition compared to an age-matched healthy control cohort
Author Contributions: Conceptualization, J.K.; Data curation, C.S.; Formal analysis, K.P.B. and J.H.; Funding acquisition, J.K.; Investigation, J.C.B., C.S., V.V.-V. and J.K.; Methodology, J.C.B., K.P.B. and J.H.; Project administration, J.C.B., C.S., V.V.-V. and Jens Kuhn; Resources, V.V.-V., A.D. and J.K.; Software, K.P.B.; Supervision, V.V.-V., A.D. and J.K.; Validation, J.H.; Visualization, K.P.B. and J.H.; Writing—original draft, J.C.B., K.P.B., C.S., A.D. and J.K.; Writing review & editing, J.C.B. and C.S.
Funding: This research was funded by the University of Cologne FORUM program, grant number 2015-002377-38.
Conflicts of Interest: V.V.-V. has received payments for traveling, lodging, and financial compensation for contributions to advisory boards or workshops (mostly 2/year) by Medtronic, Abbott, and St. Jude Medical. J.K. has received financial support for Investigator initiated trials from Medtronic GmbH.
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Primary sensory cortices contain distinguishable spatial patterns of activity for each sense
M. Liang\textsuperscript{1}, A. Mouraux\textsuperscript{2}, L. Hu\textsuperscript{3} & G.D. Iannetti\textsuperscript{1}
Whether primary sensory cortices are essentially multisensory or whether they respond to only one sense is an emerging debate in neuroscience. Here we use a multivariate pattern analysis of functional magnetic resonance imaging data in humans to demonstrate that simple and isolated stimuli of one sense elicit distinguishable spatial patterns of neuronal responses, not only in their corresponding primary sensory cortex, but in other primary sensory cortices. These results indicate that primary sensory cortices, traditionally regarded as unisensory, contain unique signatures of other senses and, thereby, prompt a reconsideration of how sensory information is coded in the human brain.
\textsuperscript{1}Department of Neuroscience, Physiology and Pharmacology, University College London, London WC1E 6BT, UK. \textsuperscript{2}Institute of Neuroscience (IoNS), Université catholique de Louvain, Brussels B-1200, Belgium. \textsuperscript{3}Key Laboratory of Cognition and Personality and School of Psychology, Southwest University, Chongqing 400715, China. Correspondence and requests for materials should be addressed to M.L. (email: email@example.com).
The human brain receives a continuous flow of information from different senses. Processing this information is key to perception and behaviour. However, how sensory information is hierarchically processed in the cerebral cortex has been very much debated in recent years. The traditional view is that information from different senses is initially processed in anatomically distinct, primary unisensory areas and subsequently converges onto higher-order multisensory areas\(^1,2\). This notion is based on early evidence, both in animals and humans, of anatomo-functional segregation between different unisensory areas, as well as between unisensory and multisensory areas. First, lesions limited to primary sensory cortices (PSCs) determine ‘clearly unimodal’ sensory deficits\(^3–5\). Second, electrophysiological and functional neuroimaging studies report that sensory stimuli elicit activity in the primary sensory areas corresponding to the sensory modality of the eliciting stimulus, but not in other non-corresponding unisensory areas\(^6–9\). Third, tracing studies had demonstrated very few, if any, interconnections between primary somatosensory, auditory and visual cortices\(^10\).
An alternative hypothesis challenging this traditional view has been recently proposed—that these cortical areas, traditionally believed to be strictly unisensory, are instead multisensory\(^2,11\). There are two lines of evidence supporting this alternative possibility. First, a number of studies have shown that the responses elicited in unisensory cortices by corresponding sensory input can be modulated by concurrently applied non-corresponding sensory input\(^12–15\). For example, using high-resolution functional magnetic resonance imaging (fMRI) in macaque monkeys, it was observed that temporally coincident tactile stimuli enhance the activity elicited in or near the primary auditory cortex by auditory stimuli\(^15\). Second, other studies have showed that activity in PSCs can be elicited by stimuli belonging to a non-corresponding sensory modality, but only when these stimuli convey information related to the modality of the explored PSC, likely related to sensory imagery\(^16–18\). For example, visual stimuli conveying information related to the auditory modality (like, a silent videoclip of a barking dog or of a violin being played) have been shown to elicit activity in the auditory cortex\(^18\).
It is crucial to note that the two types of experiments detailed above do not provide unequivocal evidence that PSCs are essentially multisensory. Indeed, the observed multisensory effect either consist in a modulation of principal responses by concurrent stimuli of other modalities, or could result from stimulus-triggered sensory imagery within the modality corresponding to the PSC from which the responses are recorded.
Therefore, two key questions remain unresolved. First, can PSCs respond to stimuli of other senses when they are not temporally coincident with stimuli of the principal modality of the PSC from which the response is sampled, and/or when they do not trigger sensory imagery within that principal modality? Second, are such non-principal responses elicited in PSCs unique for each modality? In other words, are the responses elicited in a given primary sensory area (for example, V1) by stimuli belonging to two different and non-corresponding sensory modalities (for example, an auditory and a tactile stimulus) distinguishable?
Here, using a multivariate pattern analysis (MVPA) of fMRI signals in the human primary somatosensory (S1), auditory (A1) and visual cortex (V1), we examined the spatial patterns of the neural responses elicited by the presentation of simple and isolated tactile, painful, auditory and visual stimuli (Experiment 1), or tactile stimuli delivered to two different body locations and visual stimuli delivered to two different visual field locations (Experiment 2). We demonstrate that, in any explored PSC, the spatial pattern of the normalized fMRI responses elicited by each sensory stimulus of another modality is sufficiently distinct to allow a reliable classification of the stimulus modality (for example, discrimination between tactile and auditory stimuli using the fMRI responses sampled within V1). We further demonstrate that two stimuli of the same modality presented in different locations of the receptive surface also elicit distinguishable patterns of fMRI responses in non-corresponding PSCs (for example, discrimination between tactile stimuli delivered to two fingers using the fMRI responses sampled within V1). These findings indicate that transient and isolated stimuli of one sense elicit distinguishable spatial patterns of neural activity not only in their corresponding PSC but also in non-corresponding PSCs.
**Results**
**PSCs encode the modality of non-corresponding stimuli.** To avoid inducing responses related to multisensory integration and/or sensory imagery in PSCs, we delivered simple and isolated stimuli of four sensory modalities (tactile, painful, auditory and visual). Brain responses were sampled using 3T fMRI in 14 healthy participants, in four runs. Each run included an equal number of stimuli of each modality. Three anatomical masks corresponding to the PSCs (S1, A1 and V1) were defined in each participant using the Jülich probabilistic atlas\(^19\). MVPA\(^20,21\) was used to test the uniqueness of the spatial pattern of blood oxygen level-dependent (BOLD) activity elicited in each PSC by each type of sensory stimulus. It is important to note that in the present study the MVPA was performed on normalized BOLD fMRI signals. This ruled out the possibility that the MVPA classification was due to bulk differences in magnitude of the responses to different stimuli (owing, for example, to differences in stimulus saliency, arousal or attention) and, thus, ensured that it was necessarily due to differences in the fine-grained spatial distribution of the activity within the tested brain region. Also, the classification accuracy was not driven by differences in head motion between conditions (repeated-measures analysis of variance performed for each of the six motion parameters, in every subject; \(F_{\text{min}} = 0.39, F_{\text{max}} = 1.00, F_{\text{median}} = 0.97\)).
In each of the three PSCs (S1, A1 and V1), six two-way classifications were performed: ‘pain versus touch’, ‘pain versus audition’, ‘pain versus vision’, ‘touch versus audition’, ‘touch versus vision’ and ‘audition versus vision’. The group-average accuracies of each classification task are shown in Fig. 1 (red vertical lines), Supplementary Fig. S1b (red horizontal lines) and Supplementary Table S1. The classification accuracies obtained in each individual participant are also shown in Supplementary Fig. S1b (coloured dots). A statistical P-value against the chance level (50% for two-way classifications) was determined for each classification and region of interest (ROI) by comparing the group-average accuracy with its corresponding null distribution generated by 10,000 random permutations.
The results of this analysis showed that the accuracy of each classification was significantly higher than chance level regardless of whether one of the two sensory modalities involved in the classification corresponded to the modality of the given PSC (all \(P < 0.0001\), that is, none out of 10,000 random permutations reached the actual classification accuracies obtained from correctly labelled data). This finding clearly indicates that the spatial distribution of the normalized fMRI responses elicited in each PSC by each type of sensory stimulus was sufficiently distinct to allow a reliable classification of its modality (for example, correct discrimination between tactile and auditory stimuli using the fMRI response in V1). When comparing the classification accuracies of pertinent and non-pertinent tasks, pertinent classifications showed significantly higher accuracies.
Figure 1 | Classification accuracies and corresponding null distributions in Experiment 1. Null distributions were generated from 10,000 random permutations from data sets of 14 participants (see Methods for details). Classification accuracies are indicated by vertical red lines (see also Supplementary Fig. S1 and Table S1 for individual classification accuracies and statistical results). Each column represents a ROI defining a primary sensory cortex (S1, A1, V1 or a control, non-brain area). Each row represents a two-way classification. ‘Pertinent’ classifications (green frames) refer to the discrimination between two stimuli, one of which corresponds to the principal modality of the ROI. ‘Non-pertinent’ classifications refer to the discrimination between two stimuli, none of which corresponds to the principal modality of the ROI. Permutation tests ($n = 10,000$) show that all classification accuracies are significantly greater than chance level ($P < 0.0001$) except the accuracies from the non-brain control area ($P = 0.5$, $P = 0.33$, $P = 0.28$, $P = 0.63$, $P = 0.33$, $P = 0.25$ for ‘pain versus touch’, ‘pain versus audition’, ‘pain versus vision’, ‘touch versus audition’, ‘touch versus vision’ and ‘audition versus vision’, respectively).
than non-pertinent classifications, in all ROIs (Supplementary Tables S2–S4). Above-chance-level classification accuracies were also achieved when performing MVPA using the BOLD signal from the PSCs of each hemisphere separately (Supplementary Table S5). Importantly, possible saliency-related differences in BOLD signal did not contribute to classification accuracy (S1: $r = 0.17$, $P = 0.11$; A1: $r = 0.07$, $P = 0.55$; V1: $r = 0.07$, $P = 0.51$; Spearman’s correlation between the difference in saliency ratings and the corresponding classification accuracy). An additional analysis performed by repeating the same MVPA procedure on a control region composed of voxels randomly selected outside the brain showed that the accuracies of all two-way classifications were always near chance level (Fig. 1 and Supplementary Fig. S1; Supplementary Table S1).
The MVPA results reported above were obtained using the second fMRI volume acquired 4–6 s after each stimulus onset, that is, the volume corresponding to the expected peak of the BOLD response (Supplementary Fig. S1) and, thus, most likely to contain stimulus-related information. To reveal the time-course of the classification accuracy, we repeated the same MVPA using the fMRI volumes acquired before and after stimulus onset, for each ROI (Supplementary Fig. S2). This analysis revealed that classification accuracies were near chance level before the stimulus, peaked at 4–6 s and returned to pre-stimulus baseline level after 13–15 s. This temporal profile is consistent with the known time-course of the BOLD fMRI response\textsuperscript{22} and confirms that the successful predictions obtained using the 2nd volume is truly based on stimulus-induced neural activity within PSCs.
To visualize the spatial distribution of voxels that contributed most to the successful classifications, we computed, for each participant and classification task, sensitivity maps showing the weights obtained by linear support vector machine (SVM) (Fig. 2a and Supplementary Fig. S3). These maps revealed that the voxels contributing most to the classification accuracy were
**Figure 2 | Group-level sensitivity maps and distance matrices in Experiment 1.** (a) Group-level sensitivity maps obtained from 14 participants, showing the sparse spatial distribution of voxels significantly contributing to each classification task ($F$-test: $F_{(1,13)} > 4.67$, $P < 0.05$). $F$-values are represented in colour and express the contribution of each voxel to each classification task after inter-subject variability was taken into account. (b) Group-level distance matrices between sensitivity maps of different classifications, in each ROI (S1, A1, V1). The values in the antidiagonal entries (bottom-to-top, left-to-right) show the maximal distance between the maps of classifications with non-overlapping sensory modalities (for example, ‘pain versus audition’ and ‘touch versus vision’).
scattered within each PSC and, most importantly, that their spatial distributions were different for the different two-way classifications (Fig. 2a). We also used conventional general linear model (GLM) analysis to calculate the beta-values of the voxels contributing most to the classifications, and thus examine whether the classification accuracies were determined by BOLD signal increases (positive beta-values), BOLD signal decreases (negative beta-values) or a mixture of the two. This analysis showed that, regardless of which two sensory modalities were discriminated, the contributing voxels in a given ROI always responded more strongly to their corresponding sensory modality than to their non-corresponding modalities (Supplementary Fig. S4). Furthermore, the direction of the BOLD responses elicited by stimuli of non-corresponding modalities was mixed, that is, the classification accuracy was determined both by voxels with positive BOLD responses and voxels with negative BOLD responses (Supplementary Figs S5,S6). Taken together, these observations indicate that, within each PSC, the information of each stimulus modality is distinguishable at spatially distributed pattern level, and explains why such spatial differences cannot be easily detected by conventional mass-univariate analysis.\textsuperscript{21}
To further characterize the spatial distribution of the voxels contributing to the different classifications, we calculated, for each PSC, a distance matrix describing the dissimilarity of the group-level sensitivity maps between two different two-way classification tasks. A higher distance indicates more different spatial distributions of contributing voxels between two classifications. This dissimilarity analysis revealed that the spatial locations of voxels contributing to classifications of non-overlapping pairs of sensory modalities (for example, 'pain versus vision' and 'touch versus audition') have non-overlapping sensory modalities, whereas 'pain versus vision' and 'touch versus vision' have an overlapping modality, that is, vision) were the most dissimilar (Fig. 2b). This finding further confirms that each sensory modality elicits a distinguishable spatial pattern of neural activities in each PSC.
To test the ability of the classifier to predict the modality of the eliciting stimulus out of all four possible sensory modalities, a four-way classification was performed in each PSC of each participant. The accuracies of the four-way classifications are summarized as a $4 \times 4$ confusion matrix with each entry indicating the number of guesses made by the classifier for each stimulus modality (Fig. 3a). A confusion matrix of a successful classifier will display higher values in the top-to-bottom, left-to-right diagonal entries (that is, entries representing correct guesses). Confusion matrices of all PSCs revealed a clear diagonal pattern, indicating good classification accuracy (Fig. 3a). Permutation testing ($n = 10,000$; Fig. 3b, Supplementary Table S6) confirmed that the classification accuracies were always significantly greater than chance level (25%), even when the modality of the target stimuli did not correspond to that of the PSC (all $P < 0.0001$, meaning that none out of 10,000 random permutations reached the actual classification accuracies obtained from correctly labelled data, except $P = 0.0013$ when predicting auditory stimuli using BOLD signals in V1). In contrast, all classification accuracies obtained from the non-brain control region were around chance level (Fig. 3a,b, Supplementary Table S6). These results show that, even for four-way classifications, the distributed spatial pattern of BOLD responses in any given primary sensory area can reliably predict the modality of the eliciting stimulus, regardless of whether its sensory modality matches that of the primary sensory area.
**Modality coding in PSCs is not determined by edge voxels.** To test whether the successful predictions of the seven non-pertinent classifications could be merely determined by the fMRI signal obtained from voxels included in the PSC ROIs, but possibly belonging to neighbouring higher-level areas, in Control analysis A, we repeated the MVPA on two different sets of ROIs: smaller, eroded ROIs, generated by removing the voxels constituting the outer layer of the original ROIs, and ROIs manually defined based on anatomical landmarks. This control analysis yielded essentially the same results as in the main analysis (Supplementary Figs S7,S8). Therefore, although these results do not allow us to conclude that the core of the PSCs has no definite role in discriminating different sensory modalities, they rule out the possibility that voxels located in the peripheral part of the ROIs, possibly sampling neural activity of neighbouring higher-order areas, determined the successful predictions in the non-pertinent classification tasks.
**Modality coding is observed in some other brain regions.** To test whether the ability of discriminating between all sensory modalities is pervasive across the whole brain, in Control analysis B we parcellated the brain into 116 regions based on the AAL atlas\textsuperscript{23} and repeated the same MVPA on each of these regions. The results showed that only a subset of all brain regions appeared to contain information allowing discrimination of the sensory modality of the eliciting stimulus (Supplementary Fig. S9 and Table S7).
**PSCs also encode the location of non-corresponding stimuli.** In Experiment 1, the stimuli of each sensory modality were identical in their spatial location, intensity and temporal profile. Therefore, it was unclear whether different stimulus features besides modality can also be discriminated using BOLD signals in non-corresponding PSCs. To address this question, in Experiment 2 we recorded the fMRI responses to somatosensory stimuli (10-Hz innocuous electrical pulses) delivered to either the index finger ("Touch 1") or the little finger ("Touch 2") of the right hand, and to visual stimuli (10-Hz pattern reversal wedge-shaped checkerboards of 90° arc) presented in either the upper-right ('Vision 1') or the lower-right ('Vision 2') visual field (Supplementary Fig. S10). This allowed us to test whether BOLD signals in PSCs allow discriminating (1) between two different non-corresponding stimuli of the same modality, and (2) between non-corresponding modalities even when the responses to two different stimuli of the same modality (for example, 'Touch 1' and 'Touch 2') are pooled together.
The MVPA yielded two results. First, BOLD signals allowed higher-than-chance discrimination between two different non-corresponding stimuli ('Vision 1' versus 'Vision 2' in SI: $P = 0.0013$; 'Touch 1' versus 'Touch 2' in VI: $P = 0.0419$; 'Touch 1' versus 'Touch 2', and 'Vision 1' versus 'Vision 2' in AI: $P = 0.021$ and 0.016, respectively). Second, BOLD signals in AI allowed higher-than-chance discrimination between "Touch" and "Vision" even when different stimuli of the same modality were pooled together ($P = 0.0002$). Classification accuracies and permutation testing are shown in Fig. 4. These results indicate that BOLD signals elicited by non-corresponding stimuli in PSCs allow discriminating not only the modality of the eliciting stimuli, but also the spatial location of stimuli belonging to the same modality (although, in this case, classification accuracies, albeit always significantly higher than chance level, were reduced).
**Discussion**
In striking contrast with what is observed when analysing the data with traditional voxel-by-voxel univariate analysis of signal amplitude, our results demonstrate that transient and isolated stimuli of a given sensory modality elicit distinguishable spatial patterns of neural activity not only in their corresponding...
Figure 3 | Classification accuracies of four-way classifications in Experiment 1. (a) Group-average confusion matrices for all ROIs. The colour of each entry indicates the number of guesses made by the classifier for each sensory modality (y axis, guesses) against the actual modality of the eliciting stimulus (x axis, targets). Correct guesses are thus located in the top-to-bottom, left-to-right diagonal line. For all ROIs (except the control, non-brain ROI) confusion matrices exhibited a clear diagonal structure, indicating that the number of correct guesses was greater than chance level. (b) Group-average classification accuracies (vertical red lines) and corresponding null distributions generated from 10,000 random permutations from 14 participants. Each column represents a ROI. Each row represents the accuracy in predicting a given sensory modality (that is, the diagonal of the confusion matrix). ‘Pertinent’ classifications (green frames) refer to the prediction of target stimuli whose modality corresponds to the modality of the ROI. ‘Non-pertinent’ classifications refer to the prediction of target stimuli whose modality does not correspond to the modality of the ROI. Permutation tests ($n = 10,000$) show that all classification accuracies are significantly greater than chance level ($P = 0.0013$ for predicting ‘audition’ in V1; $P < 0.0001$ for all the rest) except the accuracies from the non-brain area ($P = 0.75$, $P = 0.91$, $P = 0.44$, $P = 0.18$ for predicting ‘pain’, ‘touch’, ‘audition’ and ‘vision’, respectively).
Figure 4 | Classification accuracies and null distributions of non-pertinent classification tasks in Experiment 2. Group-average classification accuracies (CR, correct rate) and corresponding P-values (obtained from 10,000 permutations) were obtained from 14 participants and are shown in the top-right corner of each inset. ‘Non-pertinent’ classifications refer to the discrimination between two stimuli, none of which corresponds to the principal modality of the ROI. ‘Vision 1’: visual stimuli presented on the upper-right visual field. ‘Vision 2’: visual stimuli presented on the lower-right visual field. ‘Touch 1’: somatosensory stimuli delivered to the right index finger. ‘Touch 2’: somatosensory stimuli delivered to the right little finger. ‘Touch’: pooled ‘Touch 1’ and ‘Touch 2’ stimuli. ‘Vision’: pooled ‘Vision 1’ and ‘Vision 2’ stimuli.
primary sensory areas, but also in non-corresponding primary sensory areas (Experiment 1, Fig. 1). Importantly, when two stimuli of the same modality are presented in different spatial locations, these stimuli also elicit distinguishable patterns of BOLD signals in non-corresponding PSCs (Experiment 2, Fig. 4). The scattered patterns revealed by the sensitivity maps (Fig. 2a and Supplementary Fig. S3), and the fact that the responses to non-corresponding sensory input constitutes a mixture of BOLD signal increases and decreases (Supplementary Figs S5,S6) may explain why these responses are unlikely to be detectable using conventional mass-univariate GLM analysis. Indeed, spatial smoothing is commonly applied to fMRI time-series to increase the signal-to-noise ratio. Furthermore, cluster thresholding, a commonly used method to control false-positive rate in mass-univariate analysis, implies consistent activation across neighbouring voxels.
Our results are very different from the few previous experimental results showing (i) that the activity elicited within a given PSC by its corresponding sensory stimuli can be modulated by the concomitant presentation of non-corresponding sensory stimuli (for example, when the activity elicited by visual stimuli in V1 is modulated by concomitant tactile input)\(^{12–14}\) or (ii), that complex unisensory stimuli conveying information pertaining to another sensory modality can elicit activity within the PSC corresponding to that other sensory modality (for example, silent videoclips of a barking dog eliciting activity in A1)\(^{16–18,24}\). Indeed, we used stimuli that were simple (that is, without any semantic content likely to trigger imagery in another sensory modality)—although we cannot completely rule out the possibility that sensory imagery contributed to our finding) and presented in isolation (that is, without concomitant stimuli of another modality) to show that sensory input of any given modality elicits, per se, a characteristic pattern of activation in non-corresponding PSCs. Therefore, our finding suggests that the non-principal responses in PSCs are more fundamental than previously suggested by, for example, the observation that A1 can be activated by viewing silent lipreading but not by viewing nonlinguistic facial movements\(^{15}\). A recent study\(^{24}\) reported that early responses in the auditory cortex contained information about visual stimuli only when these stimuli were contextually relevant to the auditory system. Although these studies\(^{16,23,24}\) suggest an important role of imagery or contextual information in the multisensory interactions observed in unisensory cortices, they do not exclude the possibility that spatially distinguishable responses can be induced in PSCs by stimuli of non-corresponding modalities even when appropriate contextual information is absent. Our results provide compelling evidence that spatially distinct responses are elicited in PSCs by (1) stimuli of different non-corresponding sensory modalities and (2) stimuli of the same non-corresponding modality presented at different spatial locations. Most importantly, the fact that these patterns of activation are spatially distinct raises the possibility that sensory inputs belonging to different modalities activate distinct populations of neurons in each unisensory area.
The distinguishable patterns of neural activity in non-principal PSCs are likely to reflect cortico-cortical feedback projections from higher-order multisensory areas\(^{25–27}\) and/or feedforward projections from principal primary sensory areas or subcortical structures\(^{28–30}\). We suggest two possible reasons for this widespread distribution of sensory information in multiple PSCs.
First, the responses to non-corresponding sensory input could underlie processes involved in multisensory integration. Indeed, these responses could modulate the state of neurons in PSCs and, thereby, influence the processing of possibly concomitant corresponding sensory input. The observation that responses to
non-principal sensory input were elicited by isolated unimodal stimuli (that is, in the absence of concomitant sensory input belonging to the principal sensory modality) does not necessarily argue against the hypothesis that the observed responses in unisensory areas might ultimately serve the function of facilitating multisensory integration. Indeed, it has been shown that unimodal somatosensory stimuli reset the phase of ongoing neural oscillations in A1 of awake macaques, possibly determining crossmodal effects (enhancement or suppression) on the responses elicited by concomitant auditory stimuli: depending on whether concomitant auditory input arrives during a high-excitability or a low-excitability phase, auditory responses would be enhanced or suppressed.
Second, the distinguishable neural signature of each sensory modality observed in non-principal sensory areas could reflect a reduction or active inhibition of tonically active neurons, which may enhance the contrast between neural activities in principal and non-principal sensory areas. Interestingly, a recent study performed in mice showed that the activation of A1 by a noise burst elicits hyperpolarization in the supra- and infragranular layers of V1 through cortico-cortical inputs that activate an inhibitory subcircuit originating in the deep layers of V1. This sound-driven local GABAergic inhibition on V1 resulted in reduced visually driven synaptic and spike responses upon bimodal audio-visual stimulation, thus suggesting that auditory cortex activation by salient auditory stimuli denotes the processing of potentially distracting visual stimuli within the visual cortex. Building on this hypothesis, the distinguishable spatial patterns of non-principal responses observed in the present study suggests that, within each PSC, distinct local circuits are recruited by different non-corresponding sensory modalities. Furthermore, although electrophysiological studies in animals have suggested that, within PSCs, the number of neurons responding to non-corresponding sensory input is very limited, our results suggest the opposite: that non-corresponding sensory stimuli activate a relatively large population of neurons, sufficient to elicit a detectable BOLD signal at the macro-scale level of fMRI data.
A top-down, attentional modulation of the neural activity in PSCs is not a likely explanation for the correct classification of the responses elicited by non-principal stimuli, because the attentional effects triggered by stimuli of different sensory modalities are not expected to modulate the activity within non-corresponding PSCs in a spatially distinct manner. Indeed, a number of studies have shown that stimuli of different modalities activate a single supramodal attentional control network, and it is unlikely that its possible top-down modulatory effect on PSCs is spatially different for different sensory modalities. The lack of correlation between the differences in subjective ratings of stimulus saliency and two-way classification accuracies also suggests that these were not driven by differences in attentional re-orientation or arousal. Furthermore, the MVPA classification was performed using normalized BOLD signals and, hence, correct classification of non-principal responses was not due to differences in the mean amplitude of the signal within each ROI but, instead, necessarily resulted from the fact that each of the different non-principal stimuli elicited a spatially distinct pattern of BOLD activity within each ROI. For the same reason, it seems unlikely that non-neural hemodynamic effects such as ‘blood stealing’ could have contributed to the correct classification of non-pertinent responses. Indeed, not only have such hemodynamic effects been shown only in neighbouring areas sharing the same vasculature, but also, should such long-distance effects occur, they could not explain the observation that touch and pain elicited spatially distinct BOLD signals in A1 and V1, given that the bulk of their BOLD responses are spatially indistinguishable, not only in S1 but also in the entire brain.
Finally, Control analysis B showed that the ability to discriminate the sensory modality of the eliciting stimulus is not pervasive across all brain regions, albeit not unique to the PSCs. Indeed, only 24% of the 116 brain regions provided accurate responses in all six classification tasks (Supplementary Fig. 59 and Table S7). These regions included both unisensory and multisensory areas, particularly in the parietal, temporal and occipital lobes (Supplementary Fig. 59).
In summary, our findings provide a compelling answer to the ongoing debate about the extent of the multisensory nature of the neocortex, demonstrating that even PSCs are essentially multisensory in nature. Crucially, the spatial patterns elicited by non-corresponding sensory inputs were distinguishable between different senses, suggesting that each sense elicits distinguishable spatial patterns of neural activities within each PSC. Importantly, these results do not argue against the notion that sensory inputs belonging to different sensory modalities are preferentially processed within their corresponding PSCs, and do not necessarily imply that PSCs are causally involved in the perception and sensory processing of non-corresponding sensory input. Rather, our results emphasize that PSCs do not solely respond to sensory input of their own principal modality. Following the present results, an intriguing question that needs to be addressed to understand the functional significance of these non-principal responses is whether they encode additional information, besides the modality and spatial location of the applied stimulus, such as its intensity and frequency.
**Methods**
**Sensory stimuli and design of Experiment 1.** Functional MRI data were collected from 14 healthy participants who gave written informed consent and the experimental procedures were approved by the Oxford Central University Research Ethics Committee. Participants received stimuli of four sensory modalities: touch (transcutaneous electrical pulses over the supraclavicular nerve), pain (flasher delivered on the foot dorsum), vision (a bright white dot presented above the right foot) and audition (right-lateralized 800 Hz tones delivered through pneumatic earphones). 3T fMRI data were acquired in a single session divided in four runs. Each run consisted of a stimulation period of 32 stimuli (8 stimuli/modality) presented in a pseudorandom (inter-stimuli interval = 1–19 s, ~3 consecutive stimuli of the same modality followed by a silent period of 1 min) during which participants rated the saliency of each stimulus type using a visual scale. Saliency rating were not different across modalities (repeated-measures analysis of variance: $F_{(3,39)} = 0.75$, $P = 0.53$). Detailed information can be found in Supplementary Methods.
**Regions of interest selection.** The Jülich probabilistic histological atlas was used to define three anatomical regions of interest (ROIs) including bilateral primary somatosensory (S1; BA 3a/3b), auditory (A1; BA 41) and visual (V1; BA 17) cortices. Each ROI was constructed by binarizing the corresponding probability volumes thresholded at $P = 0.5$. The ROIs were then transformed into each participant’s high-resolution structural image. For each participant, the boundaries of ROIs defined in S1 were trimmed to include only the mesial hemispheric wall (that is, the putative foot representation area of S1). Finally, all ROIs were transformed into each participant’s low-resolution functional space. These ROIs were the same as those used in our previous study. The anatomical locations of these ROIs, together with the representative average BOLD responses are shown in Supplementary Fig. S1. An additional ROI was defined by randomly selecting voxels located outside the brain of each subject. The number of voxels included in this control ROI was made equal to the average number of voxels of the ROIs defining S1, A1 and V1.
**Multivariate pattern analysis.** MVPA is a machine learning technique that uses a pattern classifier to identify the representational content of the neural responses elicited by different stimuli (in our case, stimuli belonging to four sensory modalities, based on the spatial pattern of the BOLD fMRI signal changes elicited by different stimuli). A brief introduction to MVPA, highlighting the key differences compared with conventional mass-univariate analyses is provided in Supplementary Methods.
After motion correction, linear detrending and normalization (Supplementary Methods), fMRI data were analysed using the PyMVPA software package, in combination with LibSVM’s implementation of the linear SVM.
A ‘leave-one-run-out’ cross-validation approach was employed to train and test the classifier. Considering that the TR was 3 s and the ISI was 10–19 s, at least three brain volumes were acquired after the onset of each stimulus. We used the 2nd volume after each stimulus onset (that is, the volume acquired at 4–8 s) for BOLD signal analysis in the main analysis, as this volume contains most of the BOLD signal evoked by the stimuli (Supplementary Fig. S1), and is thus the most likely to contain stimulus-related information. In addition, to reveal the time-course of the classification accuracies in each ROI, the same MVPA was also performed using the volume immediately before or at the onset of each stimulus (that is, 1st (−2 to 0 s), as well as the 3rd (1–3 s), 3rd (7–9 s), 4th (10–12 s), 5th (11–13 s) and 6th (15–17 s) volumes).
For each ROI and subject, we performed all possible two-way classifications (that is, ‘pain versus touch’, ‘pain versus audition’, ‘pain versus vision’, ‘touch versus audition’, ‘touch versus vision’ and ‘audition versus vision’). A ‘leave-one-run-out’ cross-validation approach was employed to train and test the classifier algorithm for each classification task, with data from the first three fMRI runs and tested on the fourth fMRI run. This procedure was repeated four times, using each time a different run as test data set. In each cross-validation step, classifier performance was calculated as the classification accuracy, that is, the number of correct guesses divided by the number of test trials. The overall performance for each classification task was obtained by averaging the classification accuracy obtained in each of the four cross-validation steps.
We also created sensitivity maps for each two-way classification task and ROI, in each participant. In these maps, the value of any given voxel represents its linear SVM weight. This value indicates the contribution of each voxel to the classifier’s accuracy in predicting the modality of the stimulus stimulus. Therefore, sensitivity maps can reveal which voxels within a given ROI provide greater contributions to each classification task.
For each ROI and participant, we also performed a six-way classification (that is, predicting the sensory modality of the stimulus from the ROIs resulting out of four possible sensory modalities). This was achieved by first performing a binary SVM classification on each of the six category pairs, and then determining the final result of the multiclass classification by the sensory modality that was predicted more times among the six binary classifications. Similarly, a ‘leave-one-run-out’ cross-validation approach was employed. Such four-way classification yields, for each ROI and subject, a 4 × 4 confusion matrix, with each entry indicating the number of guesses made by the classifier for each stimulus modality. Individual confusion matrices were averaged across subjects, to obtain a group-level confusion matrix for each ROI.
**Statistical analysis.** To test whether the accuracy of the classifier was higher than chance level (that is, 0.5 for two-way classifications and 0.25 for four-way classifications), we used permutation testing ($n = 10,000$) performed for both training and testing data sets (similar results were obtained when permuting the training data set only), as detailed in Supplementary Methods.
In addition, in each ROI we tested whether accuracies in pertinent classification tasks (that is, those in which the sensory modalities corresponded to that of the tested PSC) were higher than in non-pertinent classification tasks (that is, tasks in which one of the sensory modalities corresponded to that of the tested PSC), using the paired Wilcoxon signed-rank test.
To test whether possible differences in BOLD signal related to saliency could have contributed to the observed classification accuracy, for each given two-way classification task we calculated the difference in saliency ratings between the two sensory modalities of that task, and then performed a Spearman’s correlation analysis between the difference in saliency ratings and the corresponding classification accuracy.
To obtain statistical, group-level sensitivity maps showing the differential contribution of the voxels composing each ROIs to each two-way classifications, single-subject maps (based on SVM weights) for each classification task and ROI were firstly transformed into standard MNI space. Then, the value of each voxel was tested against zero using an $F$-test, to determine which voxels had significant non-zero weights (that is, which voxels significantly contributed to the accuracy of the classification) across subjects ($F_{(1,19)} = 4.67$, $P < 0.05$). In other words, the resulting $F$-maps can be considered as a group-level measure of contribution of each voxel after inter-subject variability is taken into account. Single-subject sensitivity maps of all non-pertinent classification in their individual, normalized anatomical spaces are shown in Supplementary Figs S5–S8.
To further characterize the relationship between sensitivity maps of different two-way classification tasks, we calculated, for each ROI, a distance matrix describing the dissimilarity of sensitivity maps between two different two-way classification tasks. This distance was defined as $1 - r$, where $r$ is correlation coefficient between the (two groups of) sensitivity maps.
Finally, we also performed a conventional univariate GLM analysis on each voxel of the thresholded sensitivity maps of each ROI and subject, to test whether the voxels contributing most to the classification sampled BOLD signal increases (positive beta-values), decreases (negative beta-values) or a mixture of increases and decreases (Supplementary Figs S4–S6).
**Control analyses.** In Control analysis A, we tested whether the voxels located on the outer layer of the ROIs (that is, voxels possibly reflecting neural activity of neighbouring higher-order areas) gave a determinant contribution to the successful predictions in the non-pertinent classification tasks by repeating the MVPA analysis on eroded ROIs and hand-drawn ROIs. In Control analysis B, we investigated whether the MVPA results obtained from PSCs could also be observed in other brain regions. Details of the control analyses are provided in Supplementary Methods.
**Sensory stimuli and design of Experiment 2.** 3T fMRI data were collected from a different group of 14 healthy participants who gave written informed consent, and the experimental procedures were approved by the Southwest University Ethics Committee. Participants received two different somatosensory stimuli and two different visual stimuli. Somatosensory stimuli were electrical pulses delivered to either the index finger (‘Touch 1’) or the little finger (‘Touch 2’) of the right hand. Visual stimuli were 10-Hz patterns of wedges and chevrons, delivered to either the upper-right (‘Vision 1’) or the lower-right (‘Vision 2’) visual field. The same parameters of Experiment 1 were used for image acquisition and data analysis. Detailed information is provided in Supplementary Methods.
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**Acknowledgements**
The authors thank Professor Colin Blakemore, Dr Peter Neri and all members of the Iannetti lab for their valuable comments on this work. This study was supported by Biotechnology and Biological Sciences Research Council (BB/S00617X/1 to G.D.I.), Wellcome Trust Project Grant (WT08712/Z/08/Z to G.D.I.), University of Sheffield University Research Fellowship (UF061613 to G.D.I.), Marie Curie European Reintegration 7/5 Grant (MC ERG 249251 to A.M.) and the National Natural Science Foundation of China (31200856 to L.H.). The funders had no role in study design, data collection and analysis, decision to publish or preparation of the manuscript.
**Author contributions**
M.L., A.M. and G.D.I. conceived and designed the study. A.M., G.D.I. and L.H. collected the data. M.L. analysed the data. M.L., A.M., L.H. and G.D.I. discussed the results and wrote the paper.
**Additional information**
Supplementary Information accompanies this paper at www.nature.com/naturecommunications.
**Competing financial interests:** The authors declare no competing financial interests.
**Reprints and permission** information is available online at http://www.nature.com/reprintsandpermissions/.
**How to cite this article:** Liang, M. et al. Primary sensory cortices contain distinguishable spatial patterns of activity for each sense. *Nat. Commun.* 4:1979 doi: 10.1038/ncomms2979 (2013).
This article is licensed under a Creative Commons Attribution 3.0 Unported License. To view a copy of this licence visit http://creativecommons.org/licenses/by/3.0/.
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van Uitert, E, Joachimi, B, Joudaki, S, Amon, A, Heymans, C, Köhlinger, F, Asgari, M, Blake, C, Choi, A, Erben, T, Farrow, DJ, Harnois-Déraps, J, Hildebrandt, H, Hoekstra, H, Kitching, TD, Klaes, D, Kuijken, K, Merten, J, Miller, L, Nakajima, R, Schneider, P, Valentijn, E and Viola, M
KiDS+GAMA: cosmology constraints from a joint analysis of cosmic shear, galaxy–galaxy lensing, and angular clustering
http://researchonline.ljmu.ac.uk/id/eprint/13342/
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van Uitert, E, Joachimi, B, Joudaki, S, Amon, A, Heymans, C, Köhlinger, F, Asgari, M, Blake, C, Choi, A, Erben, T, Farrow, DJ, Harnois-Déraps, J, Hildebrandt, H, Hoekstra, H, Kitching, TD, Klaes, D, Kuijken, K, Merten, J, Miller, L, Nakajima, R, Schneider, P, Valentijn, E and Viola, M (2018)
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KiDS+GAMA: cosmology constraints from a joint analysis of cosmic shear, galaxy–galaxy lensing, and angular clustering
Edo van Uitert,$^1$ Benjamin Joachimi,$^{1,*}$ Shahab Joudaki,$^{2,3,4}$ Alexandra Amon,$^5$ Catherine Heymans,$^5$ Fabian Köhlinger,$^{6,7}$ Marika Asgari,$^5$ Chris Blake,$^2$ Ami Choi,$^8$ Thomas Erben,$^9$ Daniel J. Farrow,$^{10}$ Joachim Harnois-Déraps,$^5$ Hendrik Hildebrandt,$^9$ Henk Hoekstra,$^6$ Thomas D. Kitching,$^{11}$ Dominik Klaes,$^9$ Konrad Kuijken,$^6$ Julian Merten,$^4$ Lance Miller,$^4$ Reiko Nakajima,$^9$ Peter Schneider,$^9$ Edwin Valentijn$^{12}$ and Massimo Viola$^6$
$^1$Department of Physics and Astronomy, University College London, Gower Street, London WC1E 6BT, UK
$^2$Centre for Astrophysics & Supercomputing, Swinburne University of Technology, PO Box 218, Hawthorn, VIC 3122, Australia
$^3$ARC Centre of Excellence for All-sky Astrophysics (CAASTRO)
$^4$Department of Physics, University of Oxford, Keble Road, Oxford OX1 3RH, UK
$^5$Institute for Astronomy, University of Edinburgh, Blackford Hill, Edinburgh EH9 3HJ, UK
$^6$Leiden Observatory, Leiden University, Niels Bohrweg 2, NL-2333 CA Leiden, the Netherlands
$^7$Kavli Institute for the Physics and Mathematics of the Universe (Kavli IPMU, WPI), The University of Tokyo Institutes for Advanced Study, The University of Tokyo, Kashiwa, Chiba 277-8583, Japan
$^8$Center for Cosmology and AstroParticle Physics, The Ohio State University, 191 West Woodruff Avenue, Columbus, OH 43210, USA
$^9$Argelander-Institut für Astronomie, Auf dem Hügel 71, D-53121 Bonn, Germany
$^{10}$Max-Planck-Institut für extraterrestrische Physik, Postfach 1312, Giessenbachstrasse, D-85741 Garching, Germany
$^{11}$Mullard Space Science Laboratory, University College London, Holmbury St Mary, Dorking, Surrey RH5 6NT, UK
$^{12}$Kapteyn Institute, University of Groningen, PO Box 800, NL-9700 AV Groningen, the Netherlands
Accepted 2018 February 23. Received 2018 February 16; in original form 2017 June 15
ABSTRACT
We present cosmological parameter constraints from a joint analysis of three cosmological probes: the tomographic cosmic shear signal in $\sim 450 \text{ deg}^2$ of data from the Kilo Degree Survey (KiDS), the galaxy–matter cross-correlation signal of galaxies from the Galaxies And Mass Assembly (GAMA) survey determined with KiDS weak lensing, and the angular correlation function of the same GAMA galaxies. We use fast power spectrum estimators that are based on simple integrals over the real-space correlation functions, and show that they are practically unbiased over relevant angular frequency ranges. We test our full pipeline on numerical simulations that are tailored to KiDS and retrieve the input cosmology. By fitting different combinations of power spectra, we demonstrate that the three probes are internally consistent. For all probes combined, we obtain $S_8 \equiv \sigma_8 \sqrt{\Omega_m/0.3} = 0.800^{+0.029}_{-0.027}$, consistent with Planck and the fiducial KiDS-450 cosmic shear correlation function results. Marginalizing over wide priors on the mean of the tomographic redshift distributions yields consistent results for $S_8$ with an increase of 28 per cent in the error. The combination of probes results in a 26 per cent reduction in uncertainties of $S_8$ over using the cosmic shear power spectra alone. The main gain from these additional probes comes through their constraining power on nuisance parameters, such as the galaxy intrinsic alignment amplitude or potential shifts in the redshift distributions, which are up to a factor of 2 better constrained compared to using cosmic shear alone, demonstrating the value of large-scale structure probe combination.
Key words: methods: data analysis – methods: statistical – large-scale structure of Universe.
1 INTRODUCTION
The total mass-energy content of the Universe is dominated by two components, dark matter and dark energy, whose unknown nature...
constitutes one of the largest scientific mysteries of our time. Our knowledge of these components will increase dramatically in the coming decade, due to dedicated large-scale imaging and spectroscopic surveys such as Euclid\(^1\) (Laureijs et al. 2011), the Large Synoptic Survey Telescope\(^2\) (LSST; LSST Science Collaboration 2009) and the Wide-Field Infrared Survey Telescope\(^3\) (Spergel et al. 2015), which will increase the mapped volume of the Universe by more than an order of magnitude. The two main cosmological probes from these surveys are the clustering of galaxies and weak gravitational lensing. Combined, they provide a particularly powerful framework for constraining properties of dark energy (Albrecht et al. 2006).
Weak gravitational lensing measures correlations in the distortion of galaxy shapes caused by the gravitational field of the large-scale structure in the foreground (Bartelmann & Schneider 2001) and is sensitive to the geometry of the Universe and the growth rate. These distortions can be extracted by correlating the positions of galaxies in the foreground (which trace the large-scale structure) with the shapes of the galaxies in the background, which is the galaxy–matter cross-correlation (often referred to as galaxy–galaxy lensing), or by correlating the observed shapes of galaxies, which is commonly referred to as cosmic shear (for a review, see Kilbinger 2015).
Most cosmic shear studies to date used the shear correlation functions (e.g. Heymans et al. 2013; Jee et al. 2013; Dark Energy Survey Collaboration 2016; Hildebrandt et al. 2017) or the shear power spectrum (e.g. Brown et al. 2003; Heymans et al. 2005; Kitching et al. 2007; Lin et al. 2012; Kitching et al. 2014; Dark Energy Survey Collaboration 2016; Köhlinger et al. 2016; Alsing, Heavens & Jaffe 2017; Köhlinger et al. 2017) to constrain cosmological parameters. An intriguing finding of the fiducial cosmic shear analyses of the Canada–France–Hawaii Lensing Survey (CFHTLenS; Heymans et al. 2013) and the Kilo Degree Survey (KiDS; Hildebrandt et al. 2017), two of the most constraining surveys to date, is that they prefer a cosmological model that is in mild tension with the best-fitting cosmological model from Planck Collaboration XIII (2016). The first cosmological results from the Dark Energy Survey (DES) are consistent with Planck, but their uncertainties are considerably larger. Also, the result from the Deep Lens Survey (DLS; Jee et al. 2016) agrees with Planck. Further investigation of this tension is warranted, because if it is real and not due to systematics, the implications would be far-reaching (see e.g. Battye & Moss 2014; MacCrann et al. 2015; Kitching et al. 2016; Joudaki et al. 2017b).
To tighten the constraints, we combine the cosmic shear measurements from KiDS with two other large-scale structure probes that are sensitive to cosmological parameters: the galaxy–matter cross-correlation function and the two-point clustering autocorrelation function of galaxies. These probes have been used to constrain cosmological parameters (e.g. Cacciato et al. 2013; Mandelbaum et al. 2013; More et al. 2015; Kwan et al. 2017; Nicola, Refregier & Amara 2017). Instead of combining the different cosmological probes at the likelihood level, which is what is usually done, we follow a more optimal ‘self-calibration’ approach by modelling them within a single framework, as this enables a coherent treatment of systematic effects and a lifting of parameter degeneracies (Nicola, Refregier & Amara 2016).
In this work, we adopt a formalism from Schneider et al. (2002) to estimate power spectra by performing simple integrals over the real-space correlation functions using appropriate weight functions. Schneider et al. (2002) demonstrate that this method works using analytical predictions of cosmic shear measurements. Brown et al. (2003) applied this formalism to data to measure shear power spectra, while Hoekstra et al. (2002) used it to constrain aperture masses. We extend the formalism to the galaxy–matter power spectrum and the angular power spectrum, and apply these power spectrum estimators for the first time to data. Although this approach is formally only unbiased if the correlation function measurements were available from zero lag to infinity, we show that it produces unbiased band power estimates over a considerable range of angular multipoles. This method is much faster than established methods for estimating power spectra. Furthermore, these cosmic shear power spectra are insensitive to the survey masks. Modelling the power spectra instead of the real-space correlation functions enables us to cleanly separate scales and to separate the cosmic shear signal in E modes and B modes, with the latter serving as a test for systematics, although it should be noted that this advantage is not exclusive to power spectra, as COSEBIs (Schneider, Eifler & Krause 2010), for example, also split the signal in E and B modes. Finally, it puts the different probes on the same angular-frequency scale, which could help with identifying certain types of systematics that affect particular angular frequency ranges.
We use the most recent shape measurement catalogues from the KiDS survey, the KiDS-450 catalogues (Hildebrandt et al. 2017), to measure the weak lensing signals, and the foreground galaxies from the Galaxies And Mass Assembly (GAMA) survey (Driver et al. 2009, 2011; Liske et al. 2015) from the three equatorial patches that are completely covered by KiDS, to determine the galaxy–matter cross-correlation as well as the projected clustering signal. A parallel KiDS analysis that is similar in nature, in which KiDS-450 cosmic shear measurements are combined with galaxy–galaxy lensing and redshift space distortions from BOSS (Dawson et al. 2013) and the 2dFLenS survey (Blake et al. 2016), will be released imminently in Joudaki et al. (2018).
The outline of the paper is as follows. We introduce the three power spectrum estimators in Section 2. The data and the measurements are presented in Section 3, which is followed by the results in Section 4. We conclude in Section 5. We validate our power spectrum estimators in Appendix A, and the entire fitting pipeline using N-body simulations tailored to KiDS in Appendix B. In Appendix C, we compare our cosmic shear power spectra to those estimated with a quadratic estimator, and in Appendix D we present our iterative scheme for determining the analytical covariance matrix. The full posterior of all fit parameters is shown in Appendix E. Finally, in Appendix F we check the impact of the flat-sky approximation on our power spectrum estimators, and in Appendix G we discuss the effect of cross-survey covariance when probes from surveys with different footprints on the sky are combined.
### 2 POWER SPECTRUM ESTIMATORS
Computing power spectra directly from the data, for example using a quadratic estimator (Hu & White 2001), is usually a complicated and CPU-intensive task (e.g. Köhlinger et al. 2016). This is particularly challenging for cosmic shear studies as the high signal-to-noise regime of the cosmological measurements is on relatively small scales, thus requiring high-resolution measurements. Alternatively, pseudo-\(C_l\) methods can be used (Hikage et al. 2011; Asgari et al. 2016), but they are sensitive to the details of the survey mask.
Here, we adopt a much simpler and faster approach: we integrate over the corresponding real-space correlation functions, which can be readily measured with existing public code. We will demonstrate that this method accurately recovers the power spectra over a relevant range of $\ell$. This ansatz is very similar to the ‘Spice/PolSpice’ methods (e.g. Chon et al. 2004; Becker et al. 2016), except that we calculate correlation functions via direct galaxy pair counts instead of passing through map-making and pseudo-$C_\ell$ estimation steps first.
### 2.1 Cosmic shear power spectrum
The weak lensing convergence power spectrum can be obtained from the 3D matter power spectrum $P_s$ via
$$P_{\kappa}(\ell) = \left( \frac{3H_0^2 \Omega_m}{2c^2} \right)^2 \int_0^{r_{\text{HI}}} d\chi \frac{g^2(\chi)}{a^2(\chi)} P_s \left( \frac{\ell + 1/2}{f_K(\chi)}, \chi \right),$$
with $H_0$ the Hubble constant, $\Omega_m$ the present-day matter density parameter, $c$ the speed of light, $\chi$ the comoving distance, $a(\chi)$ the scale-factor, $f_K(\chi)$ the comoving angular diameter distance, $\chi_{\text{HI}}$ the comoving horizon distance, and $g(\chi)$ a geometric weight factor, which depends on the source redshift distribution $p_s(z) dz = p_s(\chi) d\chi$:
$$g(\chi) = \int_{\chi}^{\chi_{\text{HI}}} d\chi' p_s(\chi') \frac{f_K(\chi' - \chi)}{f_K(\chi')}.$$
Hence for a given theoretical matter power spectrum $P_s$, we can predict the observed convergence power spectrum once the source redshift distribution is specified.
As in equation (1), we assume the Limber and flat-sky approximations throughout in our power spectrum estimator. We validate the latter explicitly in Appendix F. A number of recent papers have demonstrated for the case of cosmic shear that these approximations are very good on the scales that we consider (Kilbinger et al. 2017; Kitching et al. 2017; Lemos, Challinor & Efstathiou 2017). For all signals we employ the hybrid approximation proposed by Loverde & Afshordi (2008), which uses $\ell + 1/2$ in the argument of the matter power spectrum but no additional prefactors. Limber’s approximation is more accurate the more extended along the line of sight the kernel of the signal under consideration is (see e.g. Giannantonio et al. 2012). We will therefore assess the validity of our galaxy clustering estimator and model more carefully in Section 2.3.
The convergence power spectrum can be converted into the shear correlation functions:
$$\xi_+(\theta) = \int_0^\infty \frac{d\ell \, \ell}{2\pi} J_0(\ell \theta) P_\kappa(\ell),$$
$$\xi_-(\theta) = \int_0^\infty \frac{d\ell \, \ell}{2\pi} J_2(\ell \theta) P_\kappa(\ell),$$
where $J_n(x)$ are the $n$th order Bessel functions of the first kind. The use of shear correlation functions is popular in observational studies (Kilbinger 2015) because they can be readily measured from the data using $\hat{\xi}_{\pm} = \hat{\xi}_0 \pm \hat{\xi}_{\times,\times}$, with
$$\hat{\xi}_0(\theta) = \frac{\sum w_i w_j \epsilon_{i,j}(\theta)}{\sum w_i w_j}; \quad \hat{\xi}_{\times,\times}(\theta) = \frac{\sum w_i w_j \epsilon_{i,t} \epsilon_{j,t}}{\sum w_i w_j},$$
with $\epsilon_t$ and $\epsilon_{\times}$ the tangential and cross-component of the ellipticities of galaxies / and $j$, measured with respect to their separation vector, and $w$ the inverse variance weight of the shape measurements, which comes from our shape measurement method lenfit (Miller et al. 2013; Fenech Conti et al. 2017). The sum runs over all galaxy pairs whose projected separation on the sky falls inside a radial bin centred at $\theta$ and with a width $\Delta \theta$.
Although the shear correlation functions are easy to measure, power spectrum estimators have a number of advantages (Köhlinger et al. 2016). First, they enable a clean separation of different $\ell$ modes, while $\xi_+$ averages over them; if systematics are present that affect only certain $\ell$ modes, they are more easily identified in the power spectra. Furthermore, the covariance matrix of the power spectra is more diagonal than its real-space counterpart, also leading to a cleaner separation of scales, that is easier to model. Finally, the power spectrum estimators can be readily modified to extract the B-mode part of the signal, which should be consistent with zero if systematics are absent and hence serves as a systematic check.
We estimate $\ell^2 P_\kappa(\ell)$ in a band with an upper and lower $\ell$ limit of $\ell_{\text{lim}}$ and $\ell_{\text{u}}$ directly from the observed shear correlation functions using the estimator from Schneider et al. (2002):
$$P_{\text{band},i}^{\kappa} = \frac{1}{\Delta_i} \int_{\ell_{\text{li}}}^{\ell_{\text{ui}}} d\ell \, \ell \, P_\kappa(\ell)$$
$$= \frac{2\pi}{\Delta_i} \int_{\ell_{\text{li}}}^{\ell_{\text{ui}}} d\ell \, \ell$$
$$\times \int_{\theta_{\text{min}}}^{\theta_{\text{max}}} d\theta \left[ K_+ \xi_+(\theta) J_0(\ell \theta) + (1 - K_-) \xi_-(\theta) J_2(\ell \theta) \right]$$
$$= \frac{2\pi}{\Delta_i} \int_{\theta_{\text{min}}}^{\theta_{\text{max}}} d\theta \left[ K_+ \xi_+(\theta) [g_+(\ell_{\text{u}} \theta) - g_+(\ell_{\text{l}} \theta)] \right.$$
$$\left. + (1 - K_-) \xi_-(\theta) [g_-(\ell_{\text{u}} \theta) - g_-(\ell_{\text{l}} \theta)] \right],$$
with $\theta_{\text{min}}$ and $\theta_{\text{max}}$ the minimum and maximum angular scale that can be used, $\Delta_i = \ln (\ell_{\text{ui}}/\ell_{\text{li}})$, and
$$g_+(x) = x J_1(x); \quad g_-(x) = \left( x - \frac{8}{x} \right) J_1(x) - 8 J_2(x).$$
To ensure a clean E-/B-mode separation, the scalar $K_-$ should be fixed to 0.5. This can be seen by expressing $\xi_{\pm,\times}$ as a function of the E-/B-mode power spectra (see e.g. equation 9 in Joachimi, Schneider & Eifler 2008) and inserting that into equation (5).
This estimator is only unbiased if $\theta_{\text{min}} = 0$ and $\theta_{\text{max}} = \infty$. However, even if we restrict the range of the integral to what can be realistically measured in our data, we can retrieve unbiased estimates of $P_{\text{band},i}^{\kappa}$ over a large $\ell$ range, as is shown in Appendix A, because most of the information of a given $\ell$ mode comes from a finite angular range of the shear correlation functions. The lowest $\ell$ bins we adopt may have a small remaining bias, for which we derive an integral bias correction (IBC), as detailed in Appendix A. To compute the IBC, we need to adopt a cosmology, which makes the correction cosmology dependent. However, since the correction is smaller than the statistical errors, a small bias in the IBC due to adopting the wrong cosmology does not impact our results, and we will demonstrate that not applying the correction at all does not affect our results.
The B-mode part of the signal is measured by
$$P_{\text{band},i}^{\text{B}} := \frac{\pi}{\Delta_i} \int_{\theta_{\text{min}}}^{\theta_{\text{max}}} d\theta \left[ \xi_+(\theta) [g_+(\ell_{\text{u}} \theta) - g_+(\ell_{\text{l}} \theta)] \right.$$
$$- \xi_-(\theta) [g_-(\ell_{\text{u}} \theta) - g_-(\ell_{\text{l}} \theta)] \right],$$
which we measure simultaneously in the data to test for the presence of systematics.
A similar power spectrum estimator has been proposed in Becker & Rozo (2016) and applied to data in Becker et al. (2016), specifically designed to minimize E-mode/B-mode mixing. However, how
this estimator performs when $\hat{\xi}_+$ have been measured in limited angular ranges, has not yet been explored. Although our estimator has some E-mode/B-mode mixing, we demonstrate that it is negligible for all but the lowest $\ell$ bin, and we derive a robust correction scheme for it.
### 2.2 Galaxy-matter power spectrum
The projected galaxy–matter power spectrum is related to the matter power spectrum via
$$P_{\text{gm}}(\ell) = b \left( \frac{3H_0^2 \Omega_m}{2c^2} \right) \times \int_0^{z_{\text{fil}}} d\chi \frac{p_f(x)g(x)}{a(x)f_K(x)} P_\delta \left( \frac{\ell + 1/2}{f_K(x)}; x \right),$$
with $p_f(x)$ the redshift distribution of the foreground sample. We assume that the galaxy bias is linear and deterministic\(^4\) such that $b$ is the effective bias of the lens sample. We will motivate this choice in Section 3.4.
In analogy with equations (4) and (5), we estimate the projected galaxy–matter power spectrum as
$$P_{\text{gm}}(\ell) = 2\pi \int_0^\infty d\theta \gamma(\theta) J_2(\ell \theta),$$
with $\gamma(\theta)$ the tangential shear around foreground galaxies. The band galaxy–matter power spectrum estimator then follows from
$$P_{\text{band},i}^{\text{gm}} := \frac{1}{\Delta_i} \int_{\ell_{i1}}^{\ell_{i2}} d\ell \ell P_{\text{gm}}(\ell)$$
$$= \frac{2\pi}{\Delta_i} \int_{\theta_{\text{min}}}^{\theta_{\text{max}}} \frac{d\theta}{\theta} \gamma(\theta) \left[ h(\ell_{i1}\theta) - h(\ell_{i2}\theta) \right],$$
with
$$h(x) = -x J_1(x) + 2J_0(x).$$
The final result is derived by inserting equation (10) into the first line of equation (11), changing the order of the integrals, renaming the variables and making use of the derivative identity of Bessel functions. The analogy for the B-mode part of the signal is obtained by replacing $\gamma_t$ with the cross-shear part, $\gamma_\times$:
$$P_{\text{band},i}^{\text{gx}} := \frac{2\pi}{\Delta_i} \int_{\theta_{\text{min}}}^{\theta_{\text{max}}} \frac{d\theta}{\theta} \gamma_\times(\theta) \left[ h(\ell_{i1}\theta) - h(\ell_{i2}\theta) \right].$$
The tangential shear and cross-shear are measured with the following estimators:
$$\hat{\gamma}_t(\theta) = \frac{\sum_j \epsilon_{t,j} w_j}{\sum_j w_j}; \quad \hat{\gamma}_\times(\theta) = \frac{\sum_j \epsilon_{\times,j} w_j}{\sum_j w_j}.$$
In practice, we also measured the tangential shear and cross-shear signals around random points and subtracted that from the measurements around galaxies, as discussed in Section 3.2. As for the cosmic shear power spectra, we verify that our galaxy-matter power spectrum estimator is unbiased using analytical correlation functions and N-body simulations tailored to KiDS (see Appendices A and B). We also derive and apply the IBC, which is negligible for all but the lowest $\ell$ bin, and for the first $\ell$ bin it is smaller than the measurements errors.
### 2.3 Angular power spectrum
The angular power spectrum can be determined from the matter power spectrum via
$$P_{\text{gg}}(\ell) = b^2 \int_0^{z_{\text{fil}}} d\chi \frac{p_f^2(\chi)}{f_K^2(\chi)} P_\delta \left( \frac{\ell + 1/2}{f_K(\chi)}; \chi \right),$$
where, as above, $b$ corresponds to the effective bias of the sample (as motivated in Section 3.4).
The 0th order Limber approximation for the angular correlation function is accurate to less than a percent at scales $\ell > 5\chi(z_{\text{fil}})/\sigma_\chi$, with $\chi(z_{\text{fil}})$ the comoving distance of the mean redshift of the foreground sample and $\sigma_\chi$ the standard deviation of the galaxies’ comoving distances around the mean (see section IV-B of Loverde & Afshordi 2008). For our low- and high-redshift foreground samples (defined in Section 3), we obtain scales of $\ell \gtrsim 15$ and $\ell \gtrsim 25$, respectively. Since the minimum $\ell$ scale entering the analysis is 150, the Limber approximation is valid here.
Analogous to the cosmic shear and the projected galaxy–matter power spectra, we derive an estimator for the angular power spectrum:
$$P_{\text{gg}}(\ell) = 2\pi \int_0^\infty d\theta \theta w(\theta) J_0(\ell \theta),$$
with $w(\theta)$ the angular correlation function. We estimate the galaxy–galaxy band powers using:
$$P_{\text{band},i}^{\text{gg}} := \frac{1}{\Delta_i} \int_{\ell_{i1}}^{\ell_{i2}} d\ell \ell P_{\text{gg}}(\ell)$$
$$= \frac{2\pi}{\Delta_i} \int_{\theta_{\text{min}}}^{\theta_{\text{max}}} \frac{d\theta}{\theta} w(\theta) \left[ f(\ell_{i1}\theta) - f(\ell_{i2}\theta) \right],$$
with
$$f(x) = x J_1(x).$$
The angular correlation function is estimated from the data using the standard LS estimator (Landy & Szalay 1993):
$$\tilde{w}(\theta) = \frac{DD - 2DR + RR}{RR},$$
with $DD$ the number of galaxy pairs, $DR$ the number of galaxy–random point pairs, and $RR$ the number of random point pairs. The counts with random points are scaled with the ratio of the total number of galaxies and the total number of random points.
As for the cosmic shear and galaxy-matter power spectra, we verify that our angular power spectrum estimator is unbiased using analytical correlation functions and N-body simulations tailored to KiDS (see Appendices A and B). For completeness, we also apply the IBC, but the impact on the power spectra is negligible. Note that in the remainder of this paper, we omit the subscript ‘band, $i$’ from the band power estimates for convenience, which we do not expect to cause any confusion.
## 3 DATA ANALYSIS
### 3.1 Data
The KiDS (de Jong et al. 2013) is an optical imaging survey that aims to span 1500 deg\(^2\) of the sky in four optical bands, $u$, $g$, $r$, and $i$, complemented with observations in five infrared bands from the VISTA Kilo-degree Infrared Galaxy (VIKING) survey (Edge et al. 2013). The exceptional imaging quality particularly suits the main science objective of the survey, which is constraining cosmology using weak gravitational lensing.
Figure 1. Normalized redshift distribution of the four tomographic source bins of KiDS (solid lines), used to measure the weak gravitational lensing signal, and normalized redshift distributions of the two spectroscopic samples of GAMA galaxies (dashed lines), that serve as foreground sample in the galaxy–galaxy lensing analysis and that are used to determine the angular correlation function. For plotting purposes, the redshift distribution of GAMA galaxies has been multiplied by a factor 0.5. The shaded regions indicate the photometric redshift ($z_{\text{B}}$) selection of the tomographic source bins.
In this study, we use data from the most recent public data release; the KiDS-450 catalogues (Hildebrandt et al. 2017; de Jong et al. 2017), which contains the shape measurement and photometric redshifts of $450 \, \text{deg}^2$ of data, split over five different patches on the sky, which include the three equatorial patches that completely overlap with GAMA. Below, we give an overview of the main characteristics of this data set.
The redshift distribution of the source galaxies was determined using four different methods in KiDS-450. The most robust is the weighted direct calibration method (hereafter referred to as DIR), which is based on the work of Lima et al. (2008). In this method, catalogues from deep spectroscopic surveys are weighted in such a way as to remove incompleteness caused by their spectroscopic selection functions (see Hildebrandt et al. 2017, for details). The true redshift distribution for a sample of KiDS galaxies selected using their Bayesian photometric redshifts from BPZ (Benítez 2000) can then be determined by matching to these weighted spectroscopic catalogues. The resulting redshift distribution is well calibrated in the range $0.1 < z_B \leq 0.9$, with $z_B$ the peak of the posterior photometric redshift distribution from BPZ. In this work, we use the same four tomographic source redshift bins as adopted in Hildebrandt et al. (2017) by selecting galaxies with $0.1 < z_B \leq 0.3$, $0.3 < z_B \leq 0.5$, $0.5 < z_B \leq 0.7$ and $0.7 < z_B \leq 0.9$. The redshift distribution of the four source samples from the DIR method is shown in Fig. 1. The main properties of the source samples, such as their average redshift, number density and ellipticity dispersion, can be found in table 1 of Hildebrandt et al. (2017).
The galaxy shapes were measured from the $r$-band data using an updated version of the lensfit method (Miller et al. 2013), carefully calibrated to a large suite of image simulations tailored to KiDS (Fenech Conti et al. 2017). The resulting multiplicative bias is of the order of a percent with a statistical uncertainty of less than 0.3 per cent, and is determined in each tomographic bin separately. The additive shape measurement bias is determined separately in each patch on the sky and in each tomographic redshift bin as the weighted average galaxy ellipticity per ellipticity component, and has typical values of $\sim 10^{-3}$. We corrected the additive bias at the catalogue level, while the multiplicative bias was accounted for during the correlation function estimation.
To avoid confirmation bias, the fiducial cosmological analysis of KiDS (Hildebrandt et al. 2017) was blinded: three different shape catalogues were analysed, the original and two copies in which the galaxy ellipticities were modified such that the resulting cosmological constraints would differ. Only after the analysis was written up, an external blinder revealed which catalogue was the correct one. Since the lead authors of this paper were already unblinded elsewhere, the current analysis could no longer be performed blindly. However, since the shear catalogues were not changed after unblinding, we still partly benefit from the original blinding exercise.
We used the KiDS galaxies to measure the cosmic shear correlation functions, and to measure the tangential shear around the foreground galaxies from the GAMA survey (Driver et al. 2009, 2011; Liske et al. 2015). GAMA is a highly complete spectroscopic survey up to a Petrosian $r$-band magnitude of 19.8. In total, it targeted $\sim 240\,000$ galaxies. We use a subset of $\sim 180\,000$ galaxies that reside in the three patches of 60 deg$^2$ each near the celestial equator, G09, G12, and G15, as those patches fully overlap with KiDS. The tangential shear measurements in these three patches are combined with equal weighting. Due to the flux limit of the survey, GAMA galaxies have redshifts between 0 and 0.5. We select two GAMA samples, a low-redshift sample with $z_{\text{spec}} < 0.2$, and a high-redshift sample with $0.2 < z_{\text{spec}} < 0.5$. Their redshift distributions are also shown in Fig. 1.
We also use the same subset of GAMA galaxies to determine the angular correlation function, and thus the corresponding angular power spectrum. To determine the clustering, we make use of the GAMA random catalogue version 0.3, which closely resembles the random catalogue that was used in Farrow et al. (2015) to measure the angular correlation function of GAMA galaxies. We sample the random catalogue such that we have 10 times more random points than real GAMA galaxies.
### 3.2 Measurements
We use the shape measurement catalogues of KiDS-450 to measure the cosmic shear correlation functions, $\xi_+$ and $\xi_-$, and the tangential shear around GAMA galaxies. All projected real-space correlation functions in this work are measured with TreeCorr\footnote{https://github.com/rmjarvis/TreeCorr} (Jarvis, Bernstein & Jain 2004). Since the $\xi_+$ and $\xi_-$ measurements have already been presented in Hildebrandt et al. (2017), we will not show them here. The $\ell$ range in which we can obtain unbiased estimates of the power spectra depends on the angular range where we trust the correlation functions. For $\xi_+$ and $\xi_-$, we use an upper limit of $\theta < 120 \, \text{arcmin}$, as the measurements on larger scales become increasingly sensitive to residual uncertainties on the additive bias correction. The lower limit is 0.06 arcmin, but our power spectrum estimator is insensitive to any signal below 1 arcmin. The $P^{th}$ band powers are nearly unbiased in the range $\ell > 150$ (see Appendix A). We measure $\xi_+$ and $\xi_-$ in 600 logarithmically spaced bins between 0.06 and 600 arcmin, to account for the rapid oscillations of the window functions used to convert the shear correlation functions to the power spectra, but we only use scales $0.06 < \theta < 120 \, \text{arcmin}$ in the integral.
Figure 2. Cosmic shear power spectra for KiDS-450, derived with our power spectrum estimator that integrates the shear correlation functions in the range $0.06 < \theta < 120$ arcmin. The numbers in each panel indicate which shape (S) samples are correlated, with the numbers defined in the legend of Fig. 1. The panels on the left show the E modes, and the ones on the right the B modes. Error bars have been computed analytically. The B modes have been multiplied with $\ell$ instead of $\ell^2$ for improved visibility of the error bars. Solid lines correspond to the best-fitting model, for our combined fit to $P^{EE}$, $P^{EM}$, and $P^{BB}$. There is one $\ell$ bin whose B mode deviates from zero by more than $3\sigma$, the highest $\ell$ of the S2–S4 cross-correlation; the corresponding E mode is high as well. We have verified that excluding this bin from the analysis does not change our results.
To test the sensitivity of our estimator to a residual additive shear bias, we also measured the power spectra without applying the additive bias correction. This only affected the lowest $\ell$ bins by shifting them with a typical amount of $0.5\sigma$; the impact on other bins was negligible. Since the error on the additive bias correction is smaller than the correction itself, its impact on the power spectra is even smaller and can therefore be safely ignored.
Since $P^\theta$ does not vary rapidly with $\ell$, we only need a small number of $\ell$ bins to capture most of the cosmological information. We use five logarithmically spaced bins, whose logarithmic means range from $\ell = 200$ to $\ell = 1500$; the $\ell$ ranges they cover can be read off from Fig. A1. Truncating the integral to $\theta < 120$ arcmin leads to a small negative additive bias of the order of $10^{-6}$ in the lowest $\ell$ bin (smaller than the statistical errors). We derive an IBC for this in Appendix A and apply it to all power spectra, although not applying this correction leads to negligible changes of our results. The resulting E modes and B modes are shown in Fig. 2.
We obtain a clear detection for $P^{EE}$ in each tomographic bin combination. The signal increases with redshift, which is expected as the impact of more structures is imprinted on the galaxy ellipticities if their light traversed more large-scale structure and because of the geometric scaling of the lensing signal (see equation 2).
Fig. 2 also shows $P^{BB}$, the B modes that serve as a systematic test. Note that the IBC has also been applied to the B modes. There are a number of $\ell$ bins which appear to be affected by B modes; the most prominent feature is the highest $\ell$ bin for the cross-correlation between the second and fourth tomographic bins. To quantify this, we determined the reduced $\chi^2$ value of the null hypothesis for all bins combined, which has a value of 1.96. This corresponds to a $p$-value of 0.0001. This number is driven by this single $\ell$ bin; excluding this bin alone lowers the reduced $\chi^2$ to 1.55 (and a $p$-value of 0.0082), which is still a tentative sign of residual B modes.
Not applying the IBC slightly improves the overall reduced $\chi^2$ to 1.87 (1.45 after removing the suspicious $\ell$ bin). The origin of the B modes in KiDS is under active investigation and will be presented in Asgari et al. (in preparation). To test how it may affect our cosmological results, we repeat the test of Hildebrandt et al. (2017), subtract the B modes from the E modes, and run the cosmological inference. This B-mode correction shifts our main cosmological result by less than 0.5$\sigma$, thus demonstrating that if the source of the B modes also generates E modes in equal amounts, our results are not significantly biased if we do not account for that. More details of this test are provided in Appendix C.
The large amplitude of $P^{BB}$ of this suspicious $\ell$ bin suggests that the corresponding $P^{BB}$ measurement might not be trustworthy, and indeed, it appears high. We have tested that removing this single $\ell$ bin from the analysis does not affect the cosmological inference except for the goodness of fit. Another apparent feature is that the $P^{BB}$ of the first $\ell$ bins of the cross-correlation between the second tomographic bin and the second, third and fourth tomographic bins...
Figure 3. Tangential shear and cross-shear around GAMA galaxies measured with KiDS sources in tomographic bins, as indicated in the panels. The cross-shear measurements have been multiplied with a factor \((\theta/100)^{0.5}\) to ensure that the error bars are visible over the plotted angular range. Open squares show negative points of \(\gamma_t\) with unaltered error bars. The lensing signal measured around random points has been subtracted, which is consistent with zero on the scales of interest for all but the third tomographic source bin, where it is small but positive on scales \(>20\) arcmin. Furthermore, the signal has been corrected for the contamination of source galaxies that are physically associated with the lenses. The errors are derived from jackknifing over \(2.5 \times 3\) deg non-overlapping patches. They are only used to assess on which scales the signal is consistent with not being affected by systematics; when we fit models to our power spectra we use analytical errors throughout.
are \(\sim 2\sigma\) below the best-fitting model. However, the first \(\ell\) bins of the various tomographic bin combinations are fairly correlated (see e.g. Fig. B3 in Appendix B2), so this feature is less significant than it appears. Furthermore, in Section 4 we will show that excluding the lowest \(\ell\) bins from the fit does not impact our results.
We have also compared our power spectrum estimates with those derived using the quadratic estimator from Köhlinger et al. (2017). A detailed comparison is presented in Appendix C. Overall, we find good agreement between the E modes, although for one tomographic bin combination we find a noticeable difference at high \(\ell\). A possible explanation is the presence of some B modes in the cosmic shear correlation functions (as reported in Hildebrandt et al. 2017). This is further supported by the fact that we detect B modes at a higher significance than Köhlinger et al. (2017), where they are found to be consistent with zero. It is still unclear if or how this affects the cosmological inference, although the B-mode correction test we did in Appendix C suggests that the impact is small.
Next, we determined the galaxy-matter power spectrum, for which we needed to measure the tangential shear signal around GAMA galaxies first. This lensing signal is shown in Fig. 3. We also measured the signal with an independent code, and the results agreed very well. For illustrative purposes, we used 20 logarithmically spaced bins between 0.1 and 300 arcmin. To compute the power spectra, we need a much finer sampling, as the window functions used to convert the correlation functions to power spectra oscillate rapidly. Hence we measured the signal in 600 logarithmically spaced bins in the range \(0.06 < \theta < 600\) arcmin, but only used the measurements on scales \(\theta < 120\) arcmin to compute the power spectrum.
Some of the galaxies from the source sample are physically associated with the lenses. They are not lensed and bias the tangential shear measurements. As demonstrated in Mandelbaum et al. (2005), this bias can easily be corrected by multiplying the lensing signal with a boost factor, which contains the overdensity of source galaxies as a function of projected radial distance to the lens. The boost factor generally increases towards smaller separations, but decreases very close to the lens, due to problems with the background estimation caused by the lens light (see e.g. Dvornik et al. 2017). The boost factor can be made smaller by applying redshift cuts to the source sample; here, we do not apply such cuts because we want to use the exact same sources as in the cosmic shear measurements. In our case, the impact of the boost correction is negligible, as our estimator is insensitive to scales \(\theta < 2\) arcmin (see Appendix A). At 2 arcmin, the boost factor is 7 per cent at most for the F2–S2 bin, and decreases quickly with radius. For all other bins, the correction is much smaller. We have checked that not applying the boost correction does not significantly affect the power spectra.\(^6\)
The impact of magnification on the boost factor is negligible in this radial range and can safely be ignored. Furthermore, we measured the tangential shear around random points from the GAMA
\(^6\) The boost correction implicitly assumes that satellite galaxies are not intrinsically aligned with the foreground galaxies, although our model can account for such alignments. Most dedicated studies of this type of alignments show that it is consistent with zero (see e.g. Sifón et al. 2015, and references therein). If it is not, this could incur a small bias in the boost correction. We will address this in a future work.
Figure 4. Galaxy-matter power spectrum (top) and galaxy-cross-shear power spectrum (bottom) around GAMA galaxies in two lens redshift bins, measured with KiDS sources using four tomographic source bins. The numbers in each panel indicate the foreground (F) sample–shape (S) sample combination, as defined in Fig. 1. The errors are computed analytically and correspond to the 68 per cent confidence interval. $P^{\times \times}$ has been multiplied with $\ell$ instead of $\ell^2$ for improved visibility of the error bars. Solid lines correspond to the best-fitting model, for our combined fit to $P^E$, $P^m$, and $P^{\times \times}$. The $P^{\times \times}$ in the bottom rows serves as a systematic test and it is consistent with zero.
random catalogue, and subtracted that from the real signal. Apart from removing potential additive systematics in the shape measurement catalogues, this procedure also suppresses sampling variance errors (Singh et al. 2017).
To obtain the errors on our galaxy–galaxy lensing measurements, we split the survey into 24 non-overlapping patches of $2.5 \times 3$ deg, and used those for a ‘delete one jackknife’ error analysis. These errors should give a fair representation of the true errors, and thus be sufficient to assess at which scales we consider the measurements robust. Note that we used jackknife errors instead of analytical errors on these real-space measurements for convenience; we stress that in the cosmological inference, we used an analytical covariance matrix for all power spectra.
Fig. 3 also shows the cross-shear, the projection of source ellipticities at an angle of 45 deg with respect to the lens–source separation vector. Galaxy–galaxy lensing does not produce a parity violating cross-shear once the signal is azimuthally averaged, and hence it serves as a standard test for the presence of systematics. The cross-shear is consistent with zero on most scales, although some deviations are visible, e.g. at scales of half a degree for the F1–S4 bin. The cross-shear at small separations for the F2–S1 and F2–S2 bins is not worrisome, as our estimator is not sensitive to the galaxy–galaxy lensing signal on those scales. For consistency with the cosmic shear power spectrum, we only use the galaxy–galaxy lensing measurements in the range <120 arcmin. As demonstrated in Appendix A, we can obtain unbiased estimates on $P^{\times m}$ from $\gamma_1$ in the range $\ell \geq 150$.
We estimate $P^{\times m}$ using the same $\ell$ range as for $P^{E/B}$. The measurements are shown in Fig. 4. We apply the IBC, which on average causes a 6 per cent change in the lowest $\ell$ bin, and much smaller changes for the higher $\ell$ bins. We obtain significant detections for all lens–source bin combinations. The error bars have been computed analytically as discussed in Section 3.3. The amplitude of the power spectrum increases for higher source redshift bins as expected, because of the geometric scaling of the lensing signal. We also show $P^{\times \times}$, the power spectrum computed using the cross-shear, which serves as a systematic test. There are a few neighbouring $\ell$ bins that are systematically offset, for example the low-$\ell$ bins of F1–S3 and F1–S4. We already pointed out the presence of some cross-shear in Fig. 3 on the scale of half a degree for those bins, which translates into those $P^{\times \times}$ bins. On average, however, the amplitude of $P^{\times \times}$ is not worrisome as the reduced $\chi^2$ of the null hypothesis has a value of 1.13. The corresponding p-value is 0.27.
Finally, to determine $P^{\times E}$, we first measure the angular correlation function of the two foreground galaxy samples from GAMA. We show the signal in Fig. 5. Errors come from jackknifing over $2.5 \times 3$ deg patches and only serve as an illustration; in the cosmological inference, we use analytical errors for $P^{\times E}$. The angular correlation function is robustly measured on all scales depicted. Therefore, we use an upper limit of 240 arcmin in the integral to determine $P^{\times E}$. We adopt the same $\ell$ ranges as for $P^E$ and $P^{\times m}$ and show the band powers of $P^{\times E}$ in Fig. 6. The angular power spectrum of the F2 sample is lower than that of the F1 sample because the redshift range of F2 is wider. Note that the angular
correlation function $w(\theta)$ has an additive contribution due to the fact that the mean galaxy density is estimated from the same data set. This integral constraint only contributes to the $\ell = 0$ mode in $P^{\text{eff}}$ and therefore does not have to be considered further in our modelling.
### 3.3 Covariance matrix
We determine the covariance matrix of the combined set of power spectra analytically, following a similar formalism as in Hildebrandt et al. (2017). The covariance matrix includes the cross-covariance between the different probes. One particular advantage of this approach is that it properly accounts for super-sample covariance (SSC), which are the cosmic variance modes that are larger than the survey window and couple to smaller modes within. This term is typically underestimated when the covariance matrix is estimated from the data itself, for example through jackknifing, or when it is estimated from numerical simulations. Another advantage is that it is free of simulation sampling noise, which could otherwise pose a significant hindrance for joint probe analyses with large data vectors.
The analytical covariance matrix consists of three terms: (i) a Gaussian term that combines the Gaussian contribution to sample variance, shape noise, and a mixed noise-sample variance term, estimated following Joachimi et al. (2008), (ii) an in-survey non-Gaussian term from the connected matter trispectrum, and (iii) a SSC term. To compute the latter two terms, we closely follow the formalism outlined in Takada & Hu (2013), which can be readily expanded to galaxy–galaxy lensing and clustering measurements (e.g. Krause & Eifler 2017).
By subtracting the signal around random points from the galaxy-matter cross-correlation, we effectively normalize fluctuations in the galaxy distribution with respect to the mean galaxy density in the survey area instead of the global mean density. This substantially reduces the response to super-survey modes (Takada & Hu 2013) and diminishes error bars (Singh et al. 2017), and we do account for this effect in our covariance model.
One further complication is that the KiDS survey area is larger than GAMA. While the galaxy–matter power spectrum and the angular power spectrum are measured in the 180 deg$^2$ of the three GAMA patches near the equator that are fully covered by KiDS, the cosmic shear power spectrum is measured on the full 450 deg$^2$ of KiDS-450. This partial sky overlap of the different probes affects the cross-correlation and is accounted for (see Appendix G).
In order to compute the covariance matrix, we need to adopt an initial fiducial cosmology as well as values for the effective galaxy bias. For the fiducial cosmology, we use the best-fitting parameters from Planck Collaboration XIII (2016), and for the effective galaxy biases we assume values of unity for both bins. If our data prefers different values for these parameters, the size of our posteriors could be affected (as illustrated in Eifler, Schneider & Hartlap 2009, for the case of cosmic shear only). Therefore, after the initial cosmological inference, the analytical covariance matrix is updated with the parameter values of the best-fitting model. This is turned into an iterative approach, as detailed in Appendix D. It is made possible by the use of an analytical covariance matrix, which is relatively fast and easy to compute. Since the parameter constraints do not change significantly at the second iteration, we adopt the resulting analytical covariance matrix for all cosmological inferences in this paper.
The analytical covariance matrix for $\xi_+$ and $\xi_-$ has been validated against mocks in Hildebrandt et al. (2017). We repeat that exercise for the three power spectra in Appendix B. The analytical covariance matrix agrees well with the one estimated from the $N$-body simulations. Our choice of power spectrum estimator is not guaranteed to reach the expected errors that we calculate analytically, but the comparison with the simulations did not reveal any evidence for significant excess noise. We did not include intrinsic alignments or baryonic feedback in the covariance modelling, but since all our measurements are dominated by the cosmological signals, the impact of the astrophysical nuisances on sample variance...
is small.\footnote{By far the most strongly affected bin combination is F2–S1 whose redshift distributions have substantial overlap. For $A_{\text{IA}} = 1$, the galaxy position-intrinsic shape correlation contributes at most 17 per cent to the total signal, with little dependence on angular scale.} We have checked that a potential error on the additive bias correction has a negligible contribution to the covariance matrix.
### 3.4 Model fitting
To constrain the cosmological parameters, we used \textsc{cosmomc}\footnote{\url{http://cosmologist.info/cosmomc/}} (Lewis & Bridle 2002), which is a fast Markov Chain Monte Carlo code for cosmological parameter estimation. The version we use is based on Joudaki et al. (2017a),\footnote{\url{https://github.com/sjoudaki/CosmoLSS}} which includes prescriptions to deal with intrinsic alignment, the effect of baryons on the non-linear power spectrum, and systematic errors in the redshift distribution. This framework has been further developed to simultaneously model the tangential shear signal of a sample of foreground galaxies and redshift space distortions (Joudaki et al. 2018). We extended it by modelling the angular correlation function of the same foreground sample. Furthermore, we modified the code in order to fit the power spectra instead of the correlation functions. Since the conversion from power spectra to correlation functions could be skipped, the runtime decreased by a factor of 2. We computed the power spectra at the logarithmic mean of the band instead of integrating over the band width, as the difference between the two was found to be at the percent level and therefore ignored. We checked that the impact of this simplification on our cosmological parameter constraints was less than 0.3σ for our fiducial data vector.
The effect of non-linear structure formation and baryonic feedback are modelled in \textsc{cosmomc} using a module called \textsc{hmcode}, which is based on the results of Mead et al. (2015). Baryonic effects are accounted for by modifying the parameters that describe the shape of dark matter haloes, AGN and supernova feedback, for example, blow material out of the haloes, making them less concentrated. This is incorporated in \textsc{hmcode} by choosing the following form for the mass–concentration relation,
$$c(M, z) = B \frac{1 + z_t}{1 + z},$$
with $z_t$ the formation redshift of a halo, which depends on halo mass. The free parameter in the fit, $B$, modulates the amplitude of this mass–concentration relation. It also sets the amplitude of a ‘halo blowing’ parameter $\eta_0$ which changes the halo profile in a mass-dependent way (see equation 26 of Mead et al. 2015), where we follow the recommendation of Mead et al. (2015) by fixing $\eta_0 = 1.03 - 0.11B$. Setting $B = 3.13$ corresponds to a dark-matter-only model. The resulting model is verified with power spectra measured on large hydrodynamical simulations, and found to be accurate to 5 per cent for $k \leq 10 \ h \ \text{Mpc}^{-1}$. This is a relative uncertainty, not an absolute one (the absolute accuracy of any theoretical matter power spectrum prediction is not well established), and indicates the relative accuracy of their halo model fits with respect to hydrodynamical simulations, which are uncertain themselves. In addition, as fig. 2 of Mead et al. (2015) shows, this accuracy is strongly $k$-dependent, and at small $k$ ($k < 0.05 \ h \ \text{Mpc}^{-1}$), the agreement is much better than 5 per cent. Therefore, putting a meaningful prior on the accuracy of the theory predictions is currently out of reach. However, the main source of theoretical uncertainty is caused by baryonic feedback, which mainly affects the small scales (high $k$). By marginalizing over $B$, we account for this main source of uncertainty.
Intrinsic alignments affect both the cosmic shear power spectrum and the galaxy–matter power spectrum. For the cosmic shear power spectrum, there are two contributions, the intrinsic–intrinsic (II) and the shear-intrinsic (GI) terms (see equations 5 and 6 of Joudaki et al. 2017a). The galaxy–matter power spectrum has a galaxy-intrinsic contribution (e.g. Joachimi & Bridle 2010). These three terms can be computed once the intrinsic alignment power spectrum is specified, which is assumed to follow the non-linear modification of the linear alignment model (Catelan, Kamionkowski & Blandford 2001; Hirata & Seljak 2004; Bridle & King 2007; Hirata & Seljak 2010):
$$P_{\text{II}}(k, z) = -A_{\text{IA}} C_1 \rho_{\text{crit}} \frac{\Omega_m}{D(z)} P_g(k, z),$$
with $P_g(k, z)$ the full non-linear matter power spectrum, $D(z)$ the growth factor, normalized to unity at $z = 0$, $\rho_{\text{crit}}$ the critical density, $C_1 = 5 \times 10^{-3} h^{-2} \text{M}_\odot/\text{Mpc}^3$ a normalization constant, and $A_{\text{IA}}$ the overall amplitude, which is a free parameter in our model. Our intrinsic alignment model is minimally flexible with a single, global amplitude parameter. Since the mean luminosities of the different tomographic bins are similar, there is no need to account for a luminosity dependence in the model; in addition, there currently does not exist observational evidence for a significant redshift dependence (see e.g. Joudaki et al. 2017b, 2018). Adding flexibility to the intrinsic alignment model is therefore currently not warranted by the data.
To model $P^{\text{em}}$ and $P^{\text{gs}}$, we assume that the galaxy bias is constant and scale independent. Since we include non-linear scales in our fit, this bias should be interpreted as an effective bias. It is fitted separately for the low-redshift and high-redshift foreground sample. The scale dependence of the bias has been constrained in observations by combining galaxy–galaxy lensing and galaxy clustering measurements for various flux-limited samples and was found to be small (e.g. Hoekstra et al. 2002; Simon et al. 2007; Cacciato et al. 2012; Jullo et al. 2012). In a recent study on data from the Dark Energy Survey, Crocce et al. (2016) constrained the scale dependence of the bias using the clustering signal of flux-limited samples, selected with $i < 22.5$, modelling the signal with a non-linear power spectrum from Takahashi et al. (2012) with a fixed, linear bias as fit parameter. They report that their linear bias model reproduces their measurements down to a minimum angle of 3 arcmin for their low-redshift samples (although the caveat should be added that our foreground sample is selected with a different apparent magnitude cut). While the aforementioned studies report little scale dependence of the bias in real space, our assumption of a scale-independent bias is made in Fourier space. The largest $\ell$ bin is centred at 1500, which uses information from $\hat{\xi}_{++}$ down to scales of less than an arcminute (see Appendix A). Hence a strong scale dependence of the bias on scales less than 3 arcmin could violate our assumption. However, if the bias is strongly scale dependent on scales of $\ell < 1500$, this will show up in our measurements as a systematic offset between data and model for the highest $\ell$ bin of $P^{\text{gs}}$ (and, to a lesser extent, $P^{\text{em}}$). Also, on small scales, the cross-correlation coefficient $\epsilon$ might differ from one, which would lead to discrepancies between $P^{\text{em}}$ and $P^{\text{gs}}$. However, as Figs 4 and 6 show, there is no clear evidence for such a systematic difference, which serves as further evidence that our approach is robust. Also, when we exclude the highest $\ell$ bin of $P^{\text{em}}$ and $P^{\text{gs}}$ from our analysis, our results do not change significantly (see Section 4.1).
We validated the $P^{\text{gs}}$ model predictions using an independent code that was internally available to us. The signal agreed to within 3 per cent in the range $150 < \ell < 2000$, with a mean difference of 2 per cent. The small remaining difference is caused by different redshift interpolation schemes of the galaxy number density; in our code, we used a spline interpolation, while a linear interpolation was used in the independent code. When we adopted a spline interpolation in the independent code, the model signal agreed to within 1.5 per cent, with a mean difference of $\sim 1$ per cent. Since it is not a priori clear which interpolation scheme is better, we decided to keep using the spline interpolation scheme. The model prediction of $P^{\text{gs}}$ has been compared to independent code in Hildebrandt et al. (2017) and was found to agree well. We have not explicitly compared the predictions of $P^{\text{gs}}$ with an independent code, but since that model is built of components used in the computation of $P^{\text{gs}}$ and $P^{\text{cl}}$, we expect a similar level of accuracy.
We marginalize over the systematic uncertainty of the redshift distribution of our source bins following the same methodology adopted in Hildebrandt et al. (2017) and Köhlinger et al. (2017), that is by drawing a random realization of the redshift distribution in each step of the MCMC. This approach fully propagates the statistical uncertainties included in the redshift probability distributions, but does not account for sample variance in the spectroscopic calibration data. We investigated the robustness of this method by also fitting models in which we allowed for a constant shift in the redshift distributions. This procedure basically marginalizes over the first moment of the redshift distribution, which is, to first order, what the weak lensing signal is sensitive to Amara & Réfrégier (2007). We discuss the result of this test in Section 4.3. We do not account for the uncertainty of the multiplicative shear calibration correction, as Hildebrandt et al. (2017) showed that it has a negligible impact on correlation function measurements.
To obtain a crude estimate of how much cosmic variance in the source redshift distribution affects our cosmological results, we performed the following test. We used the DIR method separately on the different spectroscopic fields. The variation between the resulting redshift distributions suggests that cosmic variance and Poisson noise contribute roughly equally to the total uncertainty. To estimate the potential impact on our cosmological constraints, we fixed the redshift distribution to the mean from the DIR method, but allowed for a shift in the mean redshift of each tomographic bin, using a Gaussian prior with a width that equals the error on the mean redshift (from table 1 of Hildebrandt et al. 2017). Using this set-up, we recovered practically identical errors on the cosmological parameters compared to our fiducial approach. Next, we increased the width of the Gaussian prior by a generous factor of 1.5, to roughly include the impact of cosmic variance. This increased the error on our cosmology results by 5 per cent. Note that this is a conservative upper limit, as the cosmic variance between the separate spectroscopic fields is larger than the cosmic variance of all the fields combined. Hence we conclude that cosmic variance of the source redshift distribution affects our cosmological constraints by a few per cent at most. We do not adopt this as our fiducial approach, however, since our current method of estimating the impact is not sufficiently accurate.
We adopt top-hat priors on the cosmological parameters, as well as the physical ‘nuisance’ parameters discussed earlier in this section. The prior ranges are listed in Table 1. Furthermore, we fix $k_{\text{pivot}}$, the pivot scale where the scalar spectrum has an amplitude of $A_s$, to 0.05 Mpc$^{-1}$. Even though the sum of the neutrino masses is known to be non-zero, we adopt the same prior as Hildebrandt et al. (2017) and fix it to zero. We have tested that adopting 0.06 eV instead leads to a negligible change in our results. Note that the priors and fiducial values we adopted are the same as in Hildebrandt et al. (2017), which makes a comparison of the results easier. As a test, we also fitted our joint data vector adopting the broader priors on $H_0$ and $\Omega_b$ from Joudaki et al. (2017b) and found negligible changes to our results, showing that we are not sensitive to the adopted prior ranges of these parameters.
A number of the assumptions we made could affect the measured or theoretical power spectra, and thus our cosmological constraints, at the per cent level. We have decided to ignore the assumptions whose impact is of the order of 1 per cent or less. This includes the Limber approximation, the flat-sky approximation, and the uncertainty on the multiplicative bias correction. Other effects whose impact is either uncertain or expected to be larger are addressed in the text.
We ran cosmomc with 12 independent chains. To assess whether the chains have converged, we used a Gelman–Rubin test (Gelman & Rubin 1992) with the criterion that the ratio between the variance of any of the fit parameters in a single chain and the variance of that parameter in all chains combined is smaller than 1.03. Furthermore, we have checked that the chains are stable against further exploration. When analysing the chains, we removed the first 30 per cent of the chains as the burn-in phase. Before fitting the measured power spectra from the data, we ran cosmomc on our mock results, and verified that we retrieved the input cosmology. Details of this test can be found in Appendix B.3.
## 4 RESULTS
We fitted all power spectra simultaneously and show the best-fitting model as solid lines in Figs 2, 4, and 6. Overall, the model describes the trends in the data well. The reduced $\chi^2$ of the best-fitting model has a value of 1.29 (115.9/[100 data points − 10 fit parameters]) and the $p$-value is 0.034. Hence our model provides a fair fit. If we exclude the highest $\ell$ bin of the S2–S4 correlation of $P^{\text{cl}}$, whose corresponding B mode is high, the best-fitting reduced $\chi^2$ becomes 1.19 without affecting any of the results (a shift of 0.1$\sigma$ in $S_8$). We do include this particular $\ell$ bin in all our results below to avoid a posteriori selection.
### 4.1 Cosmological inference
The main result of this work is the constraint on $\Omega_m - \sigma_8$, which is shown in Fig. 7. It is this combination of cosmological parameters to which weak lensing is most sensitive. We recover the familiar ‘banana-shape’ degeneracy between these two parameters, which
| Parameter | Description | Prior range |
|-----------|-------------|-------------|
| $100\theta_{\text{MC}}$ | 100 × angular size of sound horizon | [0.5, 1.0] |
| $\Omega_c h^2$ | Cold dark matter density | [0.01, 0.99] |
| $\Omega_b h^2$ | Baryon density | [0.019, 0.026] |
| $\ln(10^{10} A_s)$ | Scalar spectral amplitude | [1, 7.5, 0] |
| $n_s$ | Scalar spectral index | [0.7, 1, 3] |
| $H_0$ | Dimensionless Hubble parameter | [0.6, 0.82] |
| $A_{\text{IA}}$ | Intrinsic alignment amplitude | [−6, 6] |
| $B$ | Baryonic feedback amplitude | [2, 4] |
| $\beta_{z,1}$ | Galaxy bias of low-$z$ lens sample | [0, 1.5] |
| $\beta_{z,2}$ | Galaxy bias of high-$z$ lens sample | [0, 1.5] |
is expected as gravitational lensing roughly scales as $\sigma_8^2 \Omega_m$ (Jain & Seljak 1997). Also shown are the main fiducial results of KiDS-450 (Hildebrandt et al. 2017) and the constraints from Planck Collaboration XIII (2016). Our confidence regions are somewhat displaced with respect to those of Hildebrandt et al. (2017) and our error on $S_8$ is 28 per cent smaller. Interestingly, our results lie somewhat closer to those of Planck Collaboration XIII (2016), showing better consistency with Planck than KiDS-450 cosmic shear alone. As discussed below, our cosmic shear-only results are fully consistent with the results from Hildebrandt et al. (2017), although not identical, because our power spectra weight the angular scales differently than the correlation functions. Hence this shift towards Planck must either be caused by $P^{gg}$ or $P^{EE}$ or a combination of the two.
We computed the marginalized constraint on $S_8 = \sigma_8 \sqrt{\Omega_m/0.3}$ and show the results in Fig. 8. The joint constraints for our fiducial setup is $S_8 = 0.806_{-0.027}^{+0.029}$. The fiducial result from KiDS-450 is $S_8 = 0.745 \pm 0.039$ (Hildebrandt et al. 2017), whilst those of Planck Collaboration XIII (2016) is $S_8 = 0.851 \pm 0.024$.
Compared to the results from Hildebrandt et al. (2017), our posteriors have considerably shrunk along the degeneracy direction. Since we applied the same priors, this improvement is purely due to the gain in information from the additional probes. Hence the real improvement becomes clear when we compare the constraints on $\Omega_m$ and $\sigma_8$, for which we find $\Omega_m = 0.326_{-0.057}^{+0.055}$ and $\sigma_8 = 0.776_{-0.064}^{+0.062}$, while Hildebrandt et al. (2017) report $\Omega_m = 0.250_{-0.053}^{+0.051}$ and $\sigma_8 = 0.849_{-0.120}^{+0.103}$. Hence our constraint on $\sigma_8$ has improved by roughly a factor of 2 compared to Hildebrandt et al. (2017).\footnote{The improvement compared to the $P^{EE}$ only results that are discussed below is $\sim$44 per cent.}
To understand where the difference between our results and Hildebrandt et al. (2017) comes from, and to learn how much $P^{gm}$ and $P^{gg}$ help with constraining cosmological parameters, we also ran our cosmological inference on all pairs of power spectra, as well as on $P^{EE}$ alone. The resulting constraints are shown in Fig. 8. Fig. 9 shows the relative difference of the size of the error bars, while Fig. 10 shows the marginalized posterior of $\Omega_m-\sigma_8$ and $\Omega_m-S_8$. Interestingly, the constraints from $P^{EE}$ and $P^{gm} + P^{gg}$ are somewhat offset, with the latter preferring larger values. The constraint on $S_8$ from $P^{EE}$ alone is $0.761 \pm 0.038$, hence close to the results from Hildebrandt et al. (2017), while for $P^{gm} + P^{gg}$ we obtain $S_8 = 0.835 \pm 0.037$. $P^{EE}$ is only weakly correlated with $P^{gm}$ and $P^{gg}$ (see e.g. Fig. B.3), and if we ignore this correlation (it is fully accounted for in all our fits), the constraints on $S_8$ from $P^{EE}$ and $P^{gm} + P^{gg}$ differ by 1.4$\sigma$. Since the reduced $\chi^2$ is not much worse for the joint fit, our data does not point at a strong tension between the probes, and they can be safely combined.
Combining $P^{EE}$ with $P^{gm}$ or $P^{gg}$ results in a relatively minor decrease of the errors of $S_8$ of 11 per cent. Also, the mean value of $S_8$ does not change much. The reason is that the amplitude of $P^{gm}$ and $P^{gg}$, which contains most of the cosmological information, is degenerate with the effective galaxy bias, and as a result, $P^{EE}$ drives the cosmological constraints. When both $P^{gm}$ and $P^{gg}$ are included in the fit, this degeneracy is broken. Fitting all probes jointly leads therefore to a larger decrease of 26 per cent compared to fitting only $P^{EE}$ (see Fig. 9); although this could partly be driven by the displacement of the posteriors in the $\Omega_m-\sigma_8$ plane between $P^{EE}$ and $P^{gm} + P^{gg}$. Finally, it is interesting to note that $P^{EE}$ and $P^{gm} + P^{gg}$ have similar statistical power, even though the latter is measured on less than half the survey area (see also Seljak et al. 2005; Mandelbaum et al. 2013). Using the full 3D information content of $P^{gg}$ instead of the projected quantities that we used here, will improve the cosmological constraining power of this probe even further.
We also performed two conservative runs to test the robustness of our results. In the first run, we excluded the lowest $\ell$ bins of all power
Figure 9. Ratio of the error bar on $S_8$ for various combinations of our data vector and for results from the literature, relative to our fiducial results ($P^E + P^{gm} + P^{gg}$). The solid vertical line indicates a ratio of unity, while the dashed lines are displaced by relative shifts of 0.2. Our error bar is 28 per cent smaller than the one from Hildebrandt et al. (2017), while the error bar from Planck Collaboration XIII (2016) is 18 per cent smaller than ours. The two points shown for Jee et al. (2016) are for the quoted lower and upper limit on $S_8$.
spectra, as it has the largest IBC and our results might be biased if the correction is cosmology dependent. In the second conservative run, we only removed the highest $\ell$ bins of $P^{gg}$ and $P^{gm}$, as these bins are potentially most biased if the effective galaxy bias (which we assumed to be constant) has some scale dependence, which would affect the small scales (largest $\ell$ bin) most. The constraints on $S_8$ are also shown in Fig. 8, and the relative increase in errors is shown in Fig. 9. We find fully consistent results. The errors on $S_8$ increase by 4 per cent and 11 per cent for the first and second conservative run, compared to the fiducial results. As a final test, we fitted $P^{gm} + P^{gg}$ only excluding the highest $\ell$ bins. The difference between the constraint on $S_8$ from this run and the fit of $P^E$ has decreased to 1.0$\sigma$, because of the increase of the error bars and because the results from $P^{gm} + P^{gg}$ are shifted to a slightly lower value.
Fig. 8 shows that our results agree fairly well with a number of recent results from the literature. There is a mild discrepancy with the results from Köhlinger et al. (2017), which is noteworthy as they also used the KiDS-450 data set to estimate power spectra, but with a quadratic estimator. The difference is likely caused by a conspiracy of several effects. First of all, Köhlinger et al. (2017) employed a different redshift binning and fitted the signal up to lower values of $\ell$, that is in the range $76 < \ell < 1310$; they report in their work that the signal on large scales prefers somewhat smaller values of $S_8$. In Appendix C, we directly compare the power spectrum estimators for the same redshift and $\ell$ bins. For the highest tomographic bins, the quadratic estimator band powers are lower than our $P^E$ estimates at high $\ell$. This is accommodated by the model fit of Köhlinger et al. (2017) with a large, negative intrinsic alignment amplitude of $A_{IA} = -1.72$. Since $A_{IA}$ and $S_8$ are correlated (e.g. see Fig. 12), this pushes the $S_8$ from Köhlinger et al. (2017) down relative to our results. Note that a thorough internal consistency check of KiDS-450 data, including a comparison of the information content from large and small scales, is currently underway (Köhlinger et al. in preparation). A more in-depth discussion of the difference is presented in Appendix C.
The constraints from the other works from the literature that we compare to are consistent with ours (i.e. differences are less than 2$\sigma$), as is shown in Fig. 8. This includes the results from Joudaki et al. (2017a), who re-analysed the shear correlation functions from CFHTLenS (Heymans et al. 2013) using the extended version of COSMOMC that we used here as well. Jee et al. (2016) presented results
Figure 10. Constraints on $\Omega_m$–$\sigma_8$ and $\Omega_m$–$S_8$ from this work for different combinations of power spectra. Also shown are the fiducial results for KiDS-450 (H+17; Hildebrandt et al. 2017) and Planck (P+16; Planck Collaboration XIII 2016).
Figure 11. Reduced $\chi^2$ values of the best-fitting models, corresponding $p$-values of the fit, and constraints on the amplitude of the intrinsic alignment model $A_{IA}$ and effective biases of the two foreground samples, $b_{z1}$ and $b_{z2}$, for the different combinations of power spectra. The lower points show the results of the conservative run, where we excluded the lowest $\ell$ bin from $P^{E}$ (c1) and the highest $\ell$ bin from $P^{99}_{\text{m}}$ and $P^{99}_{\text{g}}$ (c2) in the fit. The red, vertical dashed line in the second panel indicates a $p$-value of 0.05, the 2$\sigma$ discrepancy line.
based on a tomographic cosmic shear analysis of the DLS, a deep 20 deg$^2$ survey with a median source redshift of 1.2. Furthermore, we show the first constraints from the DES (Dark Energy Survey Collaboration 2016), who used 139 deg$^2$ of Science Verification data for a tomographic cosmic shear analysis, and finally, we show the results for WMAP7 (Hinshaw et al. 2013). We caution that the above works have been analysed with different models and assumptions, which complicates a detailed comparison of the results.
4.2 Constraints on astrophysical nuisance parameters
Our analysis constrains a number of physical ‘nuisance’ parameters, which are interesting in themselves. Their 1D marginalized posterior means and 68 per cent confidence intervals are shown in Fig. 11, together with the reduced $\chi^2$ of the best-fitting model, for all combinations of power spectra as well as for the conservative runs. Overall, we find a fair agreement between the constraints between probes. Interestingly, the fit of $P^{E}$ alone has the worst reduced $\chi^2$ of 1.46. However, that fit is relatively more affected by the highest $\ell$ bin of the S2–S4 cross-correlation, compared to the joint fit; excluding that bin from the fit leads to a reduced $\chi^2$ of 1.28, more in line with the $\chi^2$ values of the other fits.
The amplitude of the intrinsic alignment model is well constrained in the combined fit, with $A_{IA} = 1.27 \pm 0.39$. Most of the constraining power on $A_{IA}$ comes from $P^{99}_{\text{m}}$, as the redshift distributions of the foreground samples and the shape samples partly overlap, fitting only $P^{E}$, $A_{IA} = 0.92^{+0.76}_{-0.70}$ and is therefore only inconclusively detected. In an analysis of cosmic shear data from CFHTLenS combined with WMAP7 results, Heymans et al. (2013) reported $A_{IA} = -1.18^{+0.96}_{-0.90}$. Joudaki et al. (2017a) analysed CFHTLenS data and found $A_{IA} = -3.6 \pm 1.6$, while the correlation function analysis of KiDS (Hildebrandt et al. 2017) reported $A_{IA} = 1.10 \pm 0.64$. Hence, similar to Hildebrandt et al. (2017), our results prefer a positive intrinsic alignment amplitude, but we detect it with a larger significance. The preference for negative values in CFHTLenS but positive values in KiDS suggests that $A_{IA}$ is not simply a measure of the amount of intrinsic alignments of galaxies, but that in fact it accounts for systematic effects that might differ between surveys. Further evidence for this scenario is that the amplitude we obtain is larger than what is expected based on results from previous dedicated intrinsic alignment studies; although intrinsic alignments have been detected for luminous red galaxies (e.g. Joachimi et al. 2011; Singh, Mandelbaum & More 2015), the constraints for less luminous red galaxies and blue galaxies are consistent with zero (Mandelbaum et al. 2006; Hirata et al. 2007; Mandelbaum et al. 2011). We provide evidence that $A_{IA}$ effectively accounts for uncertainty in the redshift distributions in Section 4.3.
The effective biases of the foreground samples are constrained to $b_{z1} = 1.12 \pm 0.15$ and $b_{z2} = 1.25 \pm 0.16$ in the combined fit. The most remarkable difference is the lower value for $b_{z1} = 0.78^{+0.14}_{-0.18}$ for $P^{E} + P^{99}_{\text{m}}$, compared to $b_{z1} = 1.21 \pm 0.14$ for $P^{E} + P^{99}_{\text{g}}$, which is a 2.1$\sigma$ difference. The constraint on the bias, however, is dominated by the angular correlation functions, which is expected as it scales quadratically with the effective bias while the galaxy-matter power spectrum only linearly. A direct comparison of our bias constraints with results from other work is complicated, since most studies focus on volume-limited rather than flux-limited samples, and because the fitting methodology is different. However, values a bit larger than unity are typical for samples selected in luminosity or stellar mass bins close to the mean of our sample (e.g. Zehavi et al. 2011; Zu & Mandelbaum 2015; Crocce et al. 2016). Furthermore, we note that our cosmological results are not sensitive to the actual values of the biases, as the bias is degenerate with the $\Omega_m$–$\sigma_8$ degeneracy, as illustrated in Fig. B5 in Section B3.
The last physical nuisance parameter we fit is the baryonic feedback parameter $B$. Even when we include $P^{E}$ and $P^{99}_{\text{g}}$ in the fit, it is rather poorly constrained at $B = 2.97^{+0.52}_{-0.69}$. Fitting $P^{E}$ only, we obtain $B = 3.26^{+0.40}_{-0.22}$, while Hildebrandt et al. (2017) reported $B = 2.88^{+0.87}_{-0.88}$. All results are consistent with $B = 3.13$, a pure dark-matter-only model, but the errors are still large and do not rule out that baryonic feedback has some impact on the matter power spectrum (which is supported by observational results on the scaling relation between baryonic properties of haloes and their dark matter content, see e.g. Viola et al. 2015).
The full marginalized 2D posteriors of all fit parameter pairs is shown in Appendix E, and the mean and 68 per cent credible regions of the marginalized 1D posteriors are listed in Table E1.
4.3 Redshift distribution uncertainty
To investigate uncertainty in the redshift distribution, we performed an analysis where we allowed a constant shift in the redshift distributions of our source samples, independently for each tomographic source bin. These shifts $a[x]_i$ are defined as $n^{\text{shift}}(z) = n^{\text{orig}}(z + a[x]_i)$, with $n^{\text{orig}}$ and $n^{\text{shift}}$ the original and shifted source redshift distribution of tomographic bin $[x]$. We adopted priors in the range $[-0.1, 0.1]$, as larger shifts are extremely unlikely, given the differences between the various photometric redshift methods tested in Hildebrandt et al. (2017). The purpose of this test is two-fold: it enables us to roughly estimate the impact of unknown systematic uncertainties in the redshift distributions on our results, and it also tests whether our data point to systematic biases in the redshift distributions. The actual redshift bias may be more complicated than a simple shift of the distribution, and future work could explore more complicated redshift bias models, such as changes to the tails of the distribution.
We fit this extended model to our fiducial data set of $P^E + P^{\text{gm}} + P^{\text{gg}}$ and to $P^E$ only, to test whether they are internally consistent and to assess how much additional constraining power $P^{\text{gm}} + P^{\text{gg}}$ brings. The 2D marginalized posteriors of these four shift parameters, together with those on $S_8$ and the intrinsic alignment amplitude, are shown in Fig. 12. The constraints on the
Table 2. Mean and 68 per cent credible intervals of the shifts of the four tomographic redshift bins, $S_8$ and $A_{1A}$.
| Bin shift parameter | $P^{\text{E}} + P^{\text{EM}} + P^{\text{ES}}$ | $P^{\text{E}}$ |
|---------------------|---------------------------------|-------------|
| $a_{1-}$ | $-0.033^{+0.030}_{-0.020}$ | $0.008^{+0.077}_{-0.041}$ |
| $a_{2-}$ | $-0.022^{+0.019}_{-0.027}$ | $0.018^{+0.056}_{-0.036}$ |
| $a_{3-}$ | $-0.057^{+0.012}_{-0.042}$ | $-0.051^{+0.013}_{-0.009}$ |
| $a_{4-}$ | $0.033^{+0.068}_{-0.036}$ | $0.039^{+0.063}_{-0.034}$ |
| $S_8$ | $0.808^{+0.036}_{-0.035}$ | $0.765 \pm 0.045$ |
| $A_{1A}$ | $0.89^{+0.48}_{-0.58}$ | $1.01^{+1.18}_{-0.90}$ |
Shifts are listed in Table 2. Both data sets clearly prefer a negative offset for the third tomographic bin of $\sim -0.05$. The joint analysis disfavours a zero shift in this bin at $\sim 2\sigma$.
It has been suggested that the redshift distribution obtained by the DIR method (our fiducial one) and the CC method (a cross-correlation method based on the work of Schmidt et al. 2013; Ménard et al. 2013) are discrepant for this tomographic bin (Efstathiou & Efstathiou, private communication), and fig. 2 of Hildebrandt et al. (2017) indeed indicates that the redshift distribution of the CC method is shifted by roughly this amount towards lower values, relative to the DIR method. A similar shift between the mean of the redshift distributions of DIR and CC is reported in table 1 of Morrison et al. (2017), although this shift is not significant there given that the error on the mean for the CC method is large. Further evidence is presented in appendix A of Joudaki et al. (2017b), who fit for an unknown constant offset of the KiDS-450 shear correlation functions per tomographic bin, and report a weak preference for a negative shift of the third tomographic bin, and finally in Johnson et al. (2017), who cross-correlated galaxies from the 2dFLenS survey with KiDS galaxies using the same photometric redshift bins. For the other tomographic bins, the shifts are consistent with zero. Furthermore, it is interesting to note that including $P^{\text{EM}} + P^{\text{ES}}$ leads to tighter constraints on the shift for the first and second tomographic redshift bin, due to the overlap with the foreground sample.
Allowing for a shift does not significantly change our constraints on $S_8$, as Fig. 12 shows. For the combined data set, we obtain $S_8 = 0.808^{+0.029}_{-0.016}$, entirely consistent with our fiducial $0.800^{+0.029}_{-0.027}$. The uncertainty in $S_8$ is 29 per cent larger when we include the redshift shifts in the fit.
We also show the constraints on $A_{1A}$ in Fig. 12. As already alluded to in Section 4.2, $A_{1A}$ may effectively serve as a genuine nuisance parameter, rather than a parameter which corresponds to the actual intrinsic alignment amplitude of galaxies. Allowing for the shifts already leads to weaker constraints centred at lower values, that is $A_{1A} = 0.89^{+0.48}_{-0.58}$ (for the combined fit), but even more interesting is the degeneracy with the shift of the first and second tomographic redshift bin. If the shifts of these two bins are negative, the intrinsic alignment amplitude becomes smaller, which shows that in our fiducial runs, where the shifts are fixed to zero, $A_{1A}$ is at least partly serving as a nuisance parameter that absorbs potential biases in the redshift distributions.
5 CONCLUSIONS
We constrained parameters of a flat $\Lambda$CDM model by combining three cosmological probes: the cosmic shear measurements from KiDS-450, the galaxy-matter cross-correlation from KiDS-450 around two foreground samples of GAMA galaxies, and the angular correlation function of the same foreground galaxies. The analysis employed angular band power estimates determined from integrals over the corresponding two-point correlation functions. This simple formalism provides practically unbiased band powers over a considerable range in $\ell$. In our case, the range was $150 < \ell < 2000$ (see Appendix A).
We fitted cosmological models to our data using the updated version of the \textsc{cosmomc} pipeline from Joudaki et al. (2017a), extended to simultaneously model galaxy–galaxy lensing measurements (Joudaki et al. 2018). The baseline model consists of a flat $\Lambda$CDM model and physically motivated prescriptions for the intrinsic alignment of galaxies and baryonic feedback. We assumed a scale-independent effective galaxy bias for our foreground samples. Fitting this model to the three sets of power spectra simultaneously enabled us to coherently account for the physical nuisance parameters, lifting degeneracies between the fit parameters. We tested our full pipeline on numerical simulations that are tailored to KiDS and recovered the input cosmology.
In the model fitting, we used an analytical covariance matrix, accounting for all cross-correlations between power spectra and also for the partial spatial overlap between KiDS-450 and three equatorial GAMA patches. We validated the analytical covariance matrix with numerical simulations and obtained a reasonable level of agreement. Our approach of using an analytical covariance matrix has the advantage that we can accurately account for the effect of SSC, whose impact is subdominant compared to the other terms but not irrelevant. Furthermore, it enabled us to derive an iterative scheme where we updated the analytical covariance matrix with the best-fitting parameters of the previous run (see Appendix D). This led to a $\sim 1\sigma$ shift of the effective galaxy bias posteriors after one iteration, but the posterior of $S_8$ was not significantly affected (i.e. a shift of less than $0.5\sigma$ in the mean).
We obtained tight constraints on the two cosmological parameters to which weak gravitational lensing is most sensitive, $\Omega_m$ and $\sigma_8$. Our results can be summarized with the $S_8$ parameter, for which we obtained $S_8 = \sigma_8 / \sqrt{\Omega_m / 0.3} = 0.800^{+0.029}_{-0.027}$. We demonstrated that our three probes are internally consistent, and that including $P^{\text{EM}}$ and $P^{\text{ES}}$ in the fit leads to a 26 per cent improvement in constraining power on $S_8$. We compared our results to a number of recent studies from the literature and found good overall agreement. The fiducial KiDS-450 cosmic shear correlation function analysis (Hildebrandt et al. 2017) revealed a value for $S_8$ that is lower than the \textit{Planck} cosmology, with the tension being $2.3\sigma$. Interestingly, this result from our combined probe analysis point to a somewhat higher $S_8$ value, in-between the KiDS-450 and \textit{Planck} results (and consistent with both). Our constraints from cosmic shear alone are fully consistent with the results from Hildebrandt et al. (2017) and maintain the same level of discrepancy with \textit{Planck}.
The physical nuisance parameters that we marginalize over are interesting in themselves from an astrophysical perspective. However, they have to be interpreted with care. For example, when taken at face value, our constraints on the intrinsic alignment amplitude, $A_{1A} = 1.27 \pm 0.39$, suggests that galaxies are on average intrinsically aligned with the large-scale density field. However, by allowing for an additional shift in the source redshift distributions in the fit, we demonstrated that $A_{1A}$ could partly work as a nuisance parameter that accounts for such residual biases in the redshift distributions. This test also demonstrated that our data prefers a small, negative shift of the redshift distribution of the third bin with $\Delta z = -0.057^{+0.012}_{-0.014}$, but this does not impact our cosmological results. The nuisance parameters are better constrained when $P^{\text{EM}}$ and $P^{\text{ES}}$ are included in the fit, which highlights the power of combining these
cosmological probes. Marginalizing over wide priors on the mean of the tomographic redshift distributions yields consistent results for $S_8$ with an increase of 28 per cent in the error.
As in Hildebrandt et al. (2017), we detect B modes in the cosmic shear signal at a low level. Under the strong assumption that the underlying residual systematic generates the same amount of E and B modes, we obtain a 0.5σ shift in $S_8$ away from the Planck values. As the cause of the systematic is currently unknown, we caution that its eventual correction could lead to similar changes in the $S_8$ posterior.
Another KiDS study of a similar nature has run in parallel to this work and will be presented imminently in Joudaki et al. (2018) In that work, cosmic shear measurements from KiDS-450 are combined with galaxy–galaxy lensing and redshift space distortion measurements for a foreground sample of galaxies from BOSS (Dawson et al. 2013) and 2dFLenS (Blake et al. 2016). Even though the analyses differ in many aspects (e.g. different lens samples, different clustering statistics, different scales used in the fit, different methods to estimate the covariance matrices and different priors in the fit), the combination of probes used in that work lead to a similar $\sim 20$ per cent decrease of the error bar of $S_8$, but maintain in tension with Planck.
Our work shows that large-scale structure self-calibration methods work on real data. This not only leads to significant improvements in the constraints of cosmological parameters, but also properly accounts for nuisance effects such as galaxy bias, intrinsic alignments, and biases in the source redshift distributions. Future extensions of this work will include other cosmological probes such as redshift space distortions, but also explore extensions of the astrophysical and cosmological models considered.
ACKNOWLEDGEMENTS
We thank Elisabeth Krause for a helpful comparison of covariance models, Hiranya Peiris for useful discussions, and Andy Taylor, Niall MacCrann, and Gerrit Schellenberger for useful feedback on the draft. We thank our referee, Joe Zuntz, for valuable feedback. EVU and BJ acknowledge support from an STFC Ernest Rutherford Research Grant, grant reference ST/L00285X/1. BJ acknowledges support by an STFC Ernest Rutherford Fellowship, grant reference ST/J004421/1. JHD acknowledges support from the European Commission under a Marie-Sklodowska-Curie European Fellowship (EU project 656869). CH and MA acknowledge support from the European Research Council under grant number 647112. CB acknowledges the support of the Australian Research Council through the award of a Future Fellowship. Parts of this research were conducted by the Australian Research Council Centre of Excellence for All-sky Astrophysics (CAASTRO), through project number CE110001020. HH is supported by an Emmy Noether grant (No. Hi 1495/2-1) of the Deutsche Forschungsgemeinschaft. This work was supported by the World Premier International Research Center Initiative (WPI), MEXT, Japan. TDK is supported by a Royal Society URF. This work is supported by the Deutsche Forschungsgemeinschaft in the framework of the TR33 ‘The Dark Universe’. KK acknowledges support by the Alexander von Humboldt Foundation. The research leading to these results has received funding from the People Programme (Marie Curie Actions) of the European Union’s Seventh Framework Programme (FP7/2007-2013) under REA grant agreement number 627288. RN acknowledges support from the German Federal Ministry for Economic Affairs and Energy (BMWi) provided via DLR under project no. 50QE1103. MV acknowledges support from the European Research Council under FP7 grant number 279396 and the Netherlands Organisation for Scientific Research (NWO) through grants 614.001.103. This work is based on data products from observations made with ESO Telescopes at the La Silla Paranal Observatory under programme IDs 177.A-3016, 177.A-3017, and 177.A-3018. GAMA is a joint European–Australasian project based around a spectroscopic campaign using the Anglo-Australian Telescope. The GAMA input catalogue is based on data taken from the Sloan Digital Sky Survey and the UKIRT Infrared Deep Sky Survey. Complementary imaging of the GAMA regions is being obtained by a number of independent survey programs including GALEX MIS, VST KiDS, VISTA VIKING, WISE, Herschel-ATLAS, GMRT, and ASKAP providing UV to radio coverage. GAMA is funded by the STFC (UK), the ARC (Australia), the AAO, and the participating institutions. The GAMA website is http://www.gama-survey.org/.
Author Contributions: All authors contributed to the development and writing of this paper. The authorship list is given in three groups: the lead authors (EVU, BJ, SJ), followed by two alphabetical groups. The first alphabetical group includes those who are key contributors to both the scientific analysis and the data products. The second group covers those who have either made a significant contribution to the data products, or to the scientific analysis.
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APPENDIX A: ACCURACY OF THE POWER SPECTRUM ESTIMATORS
By definition, our power spectrum estimators from equations (5), (11), and (17) are unbiased when we integrate the corresponding real-space correlation functions from zero to infinity. However, even if the correlation functions are measured over a finite range, we can extract practically unbiased band powers over a considerable range in $\ell$. Outside this range, the measured power spectra can be corrected for this integral bias. We show that this correction is robust, but recommend only applying it when the bias correction is smaller than the statistical errors, as is the case here.
For this test, we compute the 3D matter power spectrum with the non-linear corrections from Takahashi et al. (2012) and the transfer function fit by Eisenstein & Hu (1998), adopting cosmological parameters that correspond to the best-fitting values of Planck Collaboration XIII (2016). We convert this into the convergence power spectrum using the redshift distribution of our fourth tomographic bin, which has the highest signal-to-noise and is therefore the most conservative test case. This is then converted into the shear correlation functions $\hat{\xi}_{\pm \pm}$ using equation (3), adopting the same $\theta$ binning as on the data. These are treated as the observed correlation functions, and inserted in equation (5) and (8) to estimate $P^B$ and $P^A$, respectively, using the same $\ell$ ranges that we adopted in the data.
In the first column on Fig. A1, we show how the recovered band powers vary when we increase the lower limit of the integrals of equation (5). Each row corresponds to a given $\ell$ range, as indicated in each panel. The solid black line is the recovered band power, while the dashed red line corresponds to the theoretical power spectrum at the logarithmic mean of the $\ell$ bin. The band powers become biased when the lower limit of the integral becomes larger than 1 arcmin. The higher $\ell$ bins are more strongly affected, as expected, as they retrieve more information from small angular scales. The cyan area...
Figure A1. Recovered band powers from analytically computed real-space correlation functions, obtained by varying the lower limit of the conversion integral whilst keeping the upper limit fixed to 600 arcmin (the first, third, fifth, and seventh column), or by varying the upper limit whilst keeping the lower limit fixed to 0.06 arcmin (the second, fourth, sixth, and eighth column). The black line indicates the recovered power spectrum, the red line the input power spectrum at the logarithmic mean of the $\ell$ bin. The five rows correspond to five different $\ell$ ranges, indicated in the panels. The first two columns are for $P^E$, column 3–4 for $P^B$, column 5–6 for $P^{gm}$, and column 7–8 for $P^{gg}$. We use the lens and source redshift distributions from the data, and select those bins that have the highest signal to noise. For $P^{E/B}$, that is the S4–S4 bin, for $P^{gm}$ it is F2–S4, and for $P^{gg}$ it is F2–F2. Other bins show similar trends. The cyan regions indicate the analytical error for those bins in our data. The thin dotted vertical lines show the maximum scales available in the data (2 deg for $P^E$ and $P^{gm}$, 4 deg for $P^{gg}$), showing that the lowest $\ell$ bin may suffer from a small bias, which we correct for.
indicates the analytical error on $P^B$ for the fourth tomographic bin of KiDS-450. Since we can measure the shear correlation functions to much smaller scales than 1 arcmin, we conclude that our band powers are not biased from shifting the minimum scale from zero to 0.06 arcmin.
In the second column, we repeat the exercise, but now changing the upper limit of the integral. The highest $\ell$ bins are completely unaffected. The band powers in the lower $\ell$ bin become biased if the upper limit becomes less than 200 arcmin. We measure the shear correlation functions in the data up to 120 arcmin. For that scale, there is a small bias for the lowest $\ell$ bin, but it is smaller than our statistical error. We apply an IBC by adding the difference between the observed and input power spectrum, to the one measured on the data. A similar correction scheme was implemented for a power spectrum estimator in Tröster et al. (2017) in the context of a cross-correlation study of gamma-ray maps with weak lensing data.
The third and fourth columns show the corresponding B modes. The trends are similar as for $P^E$: we recover B modes in the range where the E modes are biased. However, if there are significant B modes in the data, it does not automatically mean that they are caused by leakage in our band power estimators. If leakage is present, it is most likely to affect the first and the last $\ell$ bin.
The fifth and sixth column show the results for the galaxy-matter power spectrum. The analytical power spectra are determined with equation (10), where we used the redshift distribution of the F2 foreground sample from GAMA, adopted an effective bias of unity, and used the redshift distribution of the fourth tomographic shape sample from KiDS-450 to estimate the lensing efficiencies. We recover a similar result. Given the $\ell$ ranges, our band powers are unbiased as long as we use a minimum lower limit of 2 arcmin or less, which is trivially met. Furthermore, for a maximum scale of 120 arcmin (the maximum scale available in the data), there is a small bias in the lowest $\ell$ bin, which we correct for.
The final two columns repeat this test for the angular power spectrum. The angular power spectrum is more sensitive to the lower limit of the integral, and the highest $\ell$ bin becomes significantly biased if the minimum scale is less than 0.2 arcmin; we measure the angular correlation function up to 0.06 arcmin in the data, hence the highest $\ell$ bin is not affected by the integral bias. The lowest $\ell$ bin is recovered without bias as long as the maximum scale is 200 arcmin or more. Since we trust the angular correlation function up to 4 deg, also this bin should not be biased. The larger sensitivity to the lower limit of the integral comes from the mixing between $\theta$ and $\ell$ scales through $J_0 \cdot P^{\theta \ell}$, for example, uses information from both $\xi_+$ and $\xi_-$, which yields a different mixing between $\theta$ and $\ell$ scales through the combination of $J_0$ (for $\xi_+$) and $J_1$ (for $\xi_-$). If we adopt $K_+ = 1$ to compute $P^{\theta \ell}$ (i.e. only using information from $\xi_+$), the bias increases much faster when the lower limit of the integral increases, similar to what is observed for $P^{E/S}$.
Note that in Fig. A1, we chose the combinations of foreground sample and shape sample bins that resulted in the highest signal-to-noise, which are the most affected by the integral bias. We have checked that the relative impact of the integral bias is smaller for the other power spectra, relative to their statistical powers.
We computed the IBC for all power spectra and applied it to the data. We note that applying this correction has a negligible effect on our results; the constraints on $S_8$ shift by less than 0.2$\sigma$ if we do not apply the correction. The error on the IBC correction will therefore cause a shift of $S_8$ that is much smaller than 0.2$\sigma$.
To test the dependence of the IBC on cosmology, we repeated the test for a Planck cosmology where we either increased or decreased the value of $\sigma_8$ by 10 per cent. As a result, the curves shown in Fig. A1 shifted vertically, meaning that the error on the IBC linearly depends on the error of the amplitude of the theoretical power spectrum used to compute the correction. It is unlikely that the amplitude of the theoretical power spectrum is off by more than 10 per cent, which puts an upper limit on the bias of the IBC of $\sim 10$ per cent as well. As long as the IBC is smaller than the measurement errors, such an error is subdominant and will not impact the results. Second-order effects, such as small differences in the shape of the power spectrum, are expected to lead to even smaller biases. We note that the issue of a cosmology dependence of the IBC can be circumvented by computing a new correction for every cosmological model evaluated in the MCMC and applying that to the data before determining the likelihood.
APPENDIX B: VALIDATION ON MOCKS
Next, we determine the accuracy of our power spectrum estimators on numerical simulations, which enables us to test whether we measure the correlation functions correctly, and whether the redshift distributions are properly accounted for. The main purpose of these numerical simulations, however, is to compute the covariance matrix from different realizations in order to validate the analytical covariance matrix, and secondly, to test our cosmological inference pipeline by fitting the mock power spectra (using the analytical covariance matrix, hence mimicking the observational procedure), to verify whether we recover the input cosmology.
The mock catalogues are based on the Scinet Light Cone Simulations (Harnois-Déraps & van Waerbeke 2015), a series of about 1000 $N$-body simulations tailored for weak lensing surveys. Each realization follows the evolution of $1536^3$ dark matter particles in a cube that measures $505 \text{ Mpc} \ h^{-1}$ on a side, which are projected on 18 redshift mass planes in the range $0 < z < 3$. Light cones are then extracted from these planes on $7745^2$ pixel grids and turned into convergence and shear maps by ray-tracing. The cosmology is fixed to WMAP9 + SN + BAO,\footnote{https://lambda.gsfc.nasa.gov} that is $\Omega_m = 0.2905$, $\Omega_\Lambda = 0.7095$, $\Omega_b = 0.0473$, $h = 0.6898$, $\sigma_8 = 0.826$ and $n_s = 0.969$.
These mocks have been tailored specifically for the KiDS-450 analyses and were first presented in Hildebrandt et al. (2017), although the version we use here has a larger opening angle ($100 \text{ deg}^2$ instead of $60 \text{ deg}^2$). Source galaxies are placed at random positions in the mocks and are assigned both a true redshift (enforcing the tomographic $n(z)$ estimated with the DIR method, see Hildebrandt et al. 2017) and a photometric redshift, $z_h$, based on the joint probability distribution of these two quantities. This enables the selection of tomographic redshift bins whose true redshift distributions exactly match those of KiDS. The gravitational shears are interpolated from the simulated shear maps at the galaxy positions, while the intrinsic ellipticities are from a Gaussian with a width equaling the intrinsic ellipticity dispersion measured for KiDS galaxies.
To simulate a foreground galaxy sample, which we need to measure the galaxy–matter power spectrum and the angular power spectrum, we use the simulation boxes that are at a mean redshift of $z = 0.221$ and span a redshift range of $0.1747$ to $0.2680$. Lens positions are drawn from the projected mass maps with a probability that is proportional to the density, ensuring that the bias of the lens sample is constant at $b = 1$ and does not depend on scale. Having a lens sample with a known bias is advantageous as we can check whether we recover it. The disadvantage is that it does not enable us to test whether the effective galaxy bias is scale independent in the simulations. Although our mock foreground sample does not reproduce the galaxy sample from GAMA, it allows us to test our pipelines by replacing the GAMA clustering and redshift distribution by that of these mock foreground galaxies.
For simplicity, we only use one lens sample and two source samples, selected with $0.1 < z_h \leq 0.5$ and $0.5 < z_h \leq 0.9$, respectively. The various real-space correlation functions are measured with the same pipelines as those applied to the data, and converted into power spectra using the same angular scales.
B1 Validating the power spectrum estimator
We measured the cosmic shear correlation functions of our two source samples (two autocorrelations and one cross-correlation), the two tangential shear signals around the foreground sample, and the clustering signal of the foreground sample, and converted those into their respective power spectra, using the same angular ranges that we adopted in the data. We compare that to theoretical predictions, computed for the same cosmological parameters that were used in the mocks and using the non-linear corrections of either Smith et al. (2003) or Takahashi et al. (2012). These theoretical power spectra bracket the power spectrum measured directly from the simulations (see Harnois-Déraps & van Waerbeke 2015).
The ratio of the power spectra measured on the mocks and the theoretical power spectra is shown in Fig. B1. The theoretical power spectra computed using Smith et al. (2003) are up to 10 per cent smaller than the power spectra measured on the mocks, while the theoretical predictions using Takahashi et al. (2012) agree...
very well, and only overestimate the signal by $\sim 5$ per cent of the cosmic shear S2–S2 power spectrum. If the mock power spectra lie right in the middle of the Smith et al. (2003) and Takahashi et al. (2012) predictions (as was found in Harnois-Déraps & van Waerbeke 2015), we conclude that our power spectra are accurate to better than $\sim 5$ per cent. This is the relative precision with respect to the simulations, not the absolute precision of our estimator. As demonstrated in Appendix A, the absolute error of our estimator is much smaller than the statistical errors and can therefore be safely ignored in our error budget.
Note that the tangential shear signal around the foreground sample steeply drops on scales $\sim 2$ arcmin, which is a sign that their positions do not exactly coincide with the centre of their dark matter haloes. This may be due to the finite resolution of the simulations. However, as Fig. A1 shows, this does not affect $P^{\text{tot}}$, as the band power in the highest $\ell$ bin only becomes biased if the lower limit of the integral is larger than 3 arcmin.
### B2 Validating the covariance matrix
We computed the covariance matrix of the numerical power spectra using 136 different realizations of the mocks. We do this separately using galaxy shapes with and without intrinsic shape noise. We consider the case without shape noise as it enables us to assess whether the non-Gaussian in-survey term and the SSC term, which are subdominant in the presence of shape noise, are correctly modelled.
We computed the analytical covariance matrix using the specifics of the mocks, that is with the same cosmological parameters, the same mock foreground and source redshift distributions, the same mock intrinsic shear dispersion, and the same mock survey coverage (a total survey area of 100 deg$^2$, with complete overlap between the three probes).
A comparison of the covariance matrix for the mocks without shape noise is shown in Fig. B2. The left-hand panel shows the ratio of the square root of the diagonals, while the right-hand panel compares the off-diagonal terms. In the left-hand panel, we compare to analytical covariance matrices with and without a SSC contribution. The mocks have some SSC from the regions in the original simulation boxes that were outside the light cones, but not the full effect, hence we expect the two analytical predictions to bracket the result from the numerical simulations, which they do for the cosmic shear power spectra. For $P^{\text{tot}}$ and $P^{\text{tot}}$, the analytical error is $\sim 10$ per cent smaller than the error estimated from the mocks.
In the right-hand panel, we compare the off-diagonal terms of the mock covariance to the analytical one including SSC. We find a good overall agreement, suggesting that the cross-correlation of the different power spectra is correctly modelled with our analytical covariance matrix. The mean difference of the off-diagonal elements of the analytical and mock correlation matrix is only $\sim 0.06$.
In Fig. B3, we repeat the test for the case with shape noise. The left-hand panel shows that the analytical covariance with and without SSC is quite similar, because the covariance matrix is dominated by shape noise. We find a good overall agreement between the diagonals, with typical differences of the order of 10 per cent for the three power spectra. Given the small residual differences in the power spectra measurements, this level of agreement is expected. Also the off-diagonal terms match well. The covariance between the different power spectra is much smaller, and there is little correlation left between $P^E$ and $P^{\text{tot}}$ or $P^{\text{tot}}$.
### B3 Validating the cosmological inference
The final purpose of the mocks is to test our cosmological inference pipeline. We fit different combinations of mock power spectra, using the analytical covariance matrix that includes SSC. The mocks have an area of 100 deg$^2$, which is smaller than the survey area of the data. To ensure that the cosmological inference is unbiased given our current statistical precision on the data, we simply rescale the analytical covariance matrix such that it corresponds to an area of 500 deg$^2$. Consequently, the SSC contribution to the analytical covariance matrix is not completely correctly modelled, but since...
its impact is relatively small it is not expected to affect our results much.
We use the extended version of \textsc{cosmomc} using the same settings as on the data and with the same convergence criterion. The resulting constraints on $\Omega_m - \sigma_8$ are shown in Fig. B4. The input cosmology is indicated with the grey cross-hair and falls comfortably within the $1\sigma$ contours for all combinations of power spectra that we fit. Hence our cosmological inference pipeline correctly retrieves the input parameters of the mocks, and any remaining systematic bias is smaller than our statistical precision. The constraints from the various power spectrum combinations show little scatter, since we fit the mean signal of the different realizations of the mocks.
In all fits, the bias of the foreground sample is consistent with unity, the input value (except when we only fit $P^E$, which leaves $b$ unconstrained), although for $P^E + P^{EE} + P^{mm}$ it is shifted by 0.3$\sigma$ towards lower values. This explains why the cross-hair in Fig. B4 is not exactly centred in the middle of the contours for this power spectra combination. If we fix the bias to unity, the contours shrink dramatically and centre on the cross-hair. The degeneracy between the bias and the degeneracy direction of the posterior in the $\Omega_m - \sigma_8$ plane is further illustrated in Fig. B5, where we colour-coded the posterior of the $P^E + P^{EE} + P^{mm}$ fit using the average values of the bias.
Ideally, one would like to know whether our estimators are unbiased for a much larger survey (e.g. 10 times larger than KiDS).
However, we already noted in Section B1 that we do not exactly recover the input power spectra, but that there are differences left of up to $\sim 5$ per cent. It is unclear whether these differences are caused by limitations of our mocks, of our analytical predictions or of our power spectra estimators, although we note that the tests on the analytical power spectrum–correlation function pairs in Appendix A, as well as tests we have performed on Gaussian random fields (not reported here), suggest that the accuracy of our power spectrum estimator is much better than 5 per cent. For future surveys with improved statistical power, these tests need to be revisited to a higher level of precision.
**APPENDIX C: COMPARISON TO QUADRATIC ESTIMATOR**
We compare our band powers to the quadratic estimator from Köhlinger et al. (2017). To do that, we adopt the redshift binning from that work, that is three tomographic source redshift bins selected with SK1 = 0.1 < $z_h \leq 0.3$, SK2 = 0.3 < $z_h \leq 0.6$ and SK3 = 0.6 < $z_h \leq 0.9$. We measure the shear correlation functions with our standard angular binning, apply the shear calibration bias corrections, and estimate our power spectra for the same $\ell$ binning as Köhlinger et al. (2017). Note that we use the full KiDS-450 area to measure the shear correlation functions, while Köhlinger et al. (2017) exclude 36 deg$^2$ from disconnected patches. We have tested that excluding those fields does not affect our measurements. Furthermore, we do not apply an IBC to our band powers, which means that our first $\ell$ bin is biased low. These limitations should not affect the comparison much. The results are shown in Fig. C1. We plot the full statistical error bars in both cases. The differences between the power estimates should be substantially smaller than these errors as the input data is practically identical, although residual fluctuations will occur because the measurements are weighted differently in the quadratic and band power estimates.
We find a fair agreement for $P^B$ for the first and second tomographic bin. For the third tomographic bin, our band powers at high $\ell$ are higher than the quadratic estimator. This is most apparent in the SK3–SK3 bin. The B modes also appear to show fair agreement, except for the highest $\ell$ bin in the SK3–SK3 combination and in the SK2–SK3 combination, where again the band powers are higher than the power determined from the quadratic estimator. We note that both estimators were tested on very similar (B-mode free) Gaussian random field simulations and found to faithfully reproduce the input power, which implies that the differences seen are due to some systematic trend in the data that was not included in the mocks. A corresponding trend can be seen in fig. D11 of Hildebrandt et al. (2017). In their autocorrelation of the third tomographic bin (which has substantial overlap with SK3), $\xi_B$ displays a positive signal below $\sim 4$ arcmin. While our band power estimator is sensitive to these scales in the correlation function, the quadratic estimator is expected to be immune to systematics at a few arcminutes or less. Note that we find similar reduced $\chi^2$ values of the null-hypothesis as for our fiducial four redshift bin analysis, while
Köhlinger et al. (2017) report that their B modes are consistent with zero.
To test for the potential impact of B modes on the cosmological inference, Hildebrandt et al. (2017) applied a correction under the assumption that the underlying systematics contribute equally to the E- and B modes, which led to a downward shift in $S_8$ by $\sim 1\sigma$, in the direction of the Köhlinger et al. (2017) results. We repeated this test by creating a new data vector where we subtracted the B modes from the E modes. We updated the covariance matrix by adding the analytical B-mode covariance matrix to the E-mode one. The cosmological inference resulted in $S_8 = 0.787 \pm 0.034$, which is within 0.5σ of our fiducial result. As in Hildebrandt et al. (2017), the shift is towards the results from Köhlinger et al. (2017), but does not close the gap. As the source of the low-level B-mode contamination is currently unknown (see the discussion in Hildebrandt et al. 2017), we do not know how it affects the E modes, hence we do not attempt to remove it in our fiducial analysis but defer this to forthcoming work. It is interesting to note that the B-mode signature appears to vary with the choice of redshift binning (cf. Figs C1 and 2). The link between cosmic shear B modes and binning in terms of a photometric redshift point estimate will be explored in more detail in Asgari et al. (in preparation).
Fig. C1 also shows the best-fitting model from Köhlinger et al. (2017), our best-fitting model from fitting $P^{\text{E}}$ only on the default KiDS-450 four-bin data (but shown for the current three tomographic redshift bins), as well as the best-fitting model obtained by applying the cosmological inference method of Köhlinger et al. (2017) to our band powers. The differences between the latter two are small, which suggests that differences in modelling choices are not driving the shift of $S_8$; these include the approaches to the non-linear matter power spectrum, baryon feedback and massive neutrinos, which might contribute at a lower level. The lower quadratic estimator band powers at high $\ell$ for the SK3–SK5 bin is accommodated by the model with a negative intrinsic alignment amplitude, $A_{\text{IA}} = -1.72$ (weighted median), albeit with large error bars. The fit of the Köhlinger et al. (2017) to our band powers results in an intrinsic alignment amplitude of $A_{\text{IA}} = 1.53$. Since $A_{\text{IA}}$ is correlated with $S_8$ (see Fig. 12), this lowers the constraints on $S_8$ from Köhlinger et al. (2017) relative to our results. Such a large, negative intrinsic alignment amplitude is not expected from physical models of the effect. Given the findings of Section 4.3, the low value of $A_{\text{IA}}$ could point to inconsistencies in the relative strengths of the tomographic power spectra caused by biases in the redshift distributions.
APPENDIX D: ITERATED ANALYTICAL COVARIANCE MATRIX
In our first run on the data, we used an analytical covariance matrix computed using the best-fitting parameters of Planck Collaboration XIII (2016), and effective galaxy biases of unity for the two foreground samples. If the parameter values we adopted for the covariance model were far from the high-probability region in the resulting posterior, our inferred cosmological model would be inconsistent with the error model used in the likelihood. For example, if we underestimated the effective galaxy biases, the error bars on $P^{\text{E}}$ and $P^{\text{ES}}$ would be too small and these power spectra would get too much weight in the cosmological inference. Therefore, we updated the analytical covariance matrix using the best-fitting parameters from our initial fit to the data, and repeated the cosmological inference. We repeated this procedure a second time to make sure that this iterative approach is stable and converging. Ideally, one would like to update the analytical covariance matrix in each step in the chain during the cosmological inference, but the computational demands make this approach currently infeasible. Note that in these runs, we did not marginalize over the uncertainty of the source redshift distributions, as we found that to be less stable due to the increased noise.
In Fig. D1, we show the reduced $\chi^2$ of the best-fitting model, the constraints on $S_8$ and on the nuisance parameters $b_{z1}$ and $b_{z2}$ in each step of the iteration. The reduced $\chi^2$ of the initial fit is 1.34 and remains constant. The constraints on $S_8$ does not change much either and is therefore not sensitive to small changes in the parameters of the analytical covariance matrix. The effective biases, however, change significantly. The constraints from the initial fit are $b_{z1} = 1.25 \pm 0.13$ and $b_{z2} = 1.43 \pm 0.15$, while the constraints after the second iteration are $b_{z1} = 1.11 \pm 0.15$ and $b_{z2} = 1.25 \pm 0.17$. Hence the posteriors shift not only by about 1σ, but also the 68 per cent confidence intervals increase. The cosmological parameters that are degenerate with the galaxy biases, in particular $\Omega_m$ and $\sigma_8$, shifted by similar amounts. All cosmological inferences on data in this paper use the analytical covariance matrix based on the best-fitting parameters of the second iteration, as the parameters do not change significantly after another iteration.
To test the stability of this iterative procedure, we also computed the analytical covariance matrix using a WMAP9 cosmology (Hinshaw et al. 2013) and effective galaxy biases of 1.5 and used that as the starting point. The resulting parameter constraints are also shown in Fig. D1. The results converge after the first iteration and are thus not very sensitive to the exact starting point of the iterative procedure.
APPENDIX E: FULL POSTERIOR
We show the full posterior of all fit parameters in our fiducial run in Fig. E1, which highlights the degeneracies between parameters. The mean and 68 percent confidence interval of the fit parameters for the different combinations of power spectra are listed in Table E1.
Figure E1. Posterior of combinations of all fit parameters, obtained by marginalizing over all other parameters. The contours indicate the $1\sigma$ and $2\sigma$ regimes.
Table E1. Mean and 68 per cent confidence interval of the fit parameters (row 1–10) and derived parameters (row 11–13), $\chi^2$ of the best-fitting model (row 14) and the number of degrees of freedom (row 15). Also shown are the results from our conservative runs where we excluded the lowest $\ell$ bin of all power spectra (cons-1) and the highest $\ell$ bin of $P_{\text{em}}$ and $P_{\text{SS}}$ (cons-2) in the fit.
| Parameter | $P^E + P_{\text{em}} + P_{\text{SS}}$ | $P^E$ | $P^E + P_{\text{em}}$ | $P^B + P_{\text{SS}}$ | $P_{\text{em}} + P_{\text{SS}}$ | $P^E + P_{\text{em}} + P_{\text{SS}}$ cons-1 | $P^E + P_{\text{em}} + P_{\text{SS}}$ cons-2 | $P_{\text{em}} + P_{\text{SS}}$ cons-2 |
|-----------|----------------------------------|------|---------------------|---------------------|---------------------|------------------------------------------|------------------------------------------|------------------------------------------|
| $100\theta_{\text{MC}}$ | $1.082^{+0.045}_{-0.034}$ | $1.064^{+0.086}_{-0.038}$ | $1.063^{+0.090}_{-0.039}$ | $1.093^{+0.040}_{-0.032}$ | $1.087^{+0.046}_{-0.035}$ | $1.064^{+0.049}_{-0.039}$ | $1.094^{+0.040}_{-0.032}$ | $1.095^{+0.043}_{-0.033}$ |
| $\Omega_c h^2$ | $0.153^{+0.035}_{-0.038}$ | $0.134^{+0.044}_{-0.046}$ | $0.132^{+0.035}_{-0.042}$ | $0.169^{+0.034}_{-0.038}$ | $0.159^{+0.034}_{-0.031}$ | $0.133^{+0.031}_{-0.038}$ | $0.169^{+0.035}_{-0.032}$ | $0.173^{+0.037}_{-0.042}$ |
| $\Omega_b h^2 \times (10^{-2})$ | $2.25 \pm 0.35$ | $2.24^{+0.36}_{-0.34}$ | $2.24^{+0.36}_{-0.34}$ | $2.25 \pm 0.35$ | $2.25 \pm 0.35$ | $2.25 \pm 0.35$ | $2.25 \pm 0.35$ | $2.25 \pm 0.35$ |
| $\ln(10^{10}A_s)$ | $2.63^{+0.37}_{-0.14}$ | $2.75^{+0.29}_{-0.15}$ | $2.80^{+0.52}_{-0.34}$ | $2.30^{+0.20}_{-0.32}$ | $2.67^{+0.37}_{-0.22}$ | $2.92^{+0.45}_{-0.38}$ | $2.33^{+0.22}_{-0.38}$ | $2.43^{+0.31}_{-0.58}$ |
| $n_s$ | $0.97^{+0.14}_{-0.19}$ | $1.11^{+0.19}_{-0.05}$ | $1.08^{+0.06}_{-0.22}$ | $0.97^{+0.14}_{-0.18}$ | $0.93^{+0.07}_{-0.23}$ | $1.03^{+0.21}_{-0.06}$ | $0.99^{+0.15}_{-0.18}$ | $0.91^{+0.09}_{-0.21}$ |
| $h$ | $0.73^{+0.06}_{-0.05}$ | $0.74^{+0.06}_{-0.05}$ | $0.74^{+0.06}_{-0.05}$ | $0.73 \pm 0.06$ | $0.73 \pm 0.06$ | $0.73 \pm 0.06$ | $0.73 \pm 0.06$ | $0.73 \pm 0.06$ |
| $A_{\text{TI}}$ | $1.27 \pm 0.39$ | $0.92^{+0.76}_{-0.60}$ | $1.46 \pm 0.41$ | $0.88^{+0.65}_{-0.52}$ | $1.38 \pm 0.47$ | $1.27 \pm 0.46$ | $1.20 \pm 0.41$ | $1.42 \pm 0.55$ |
| $B$ | $2.97^{+0.56}_{-0.69}$ | $3.26^{+0.74}_{-0.22}$ | $3.28^{+0.72}_{-0.22}$ | $3.08^{+0.80}_{-0.16}$ | $2.86^{+0.72}_{-0.22}$ | $3.03^{+0.70}_{-0.26}$ | $2.99 \pm 0.62$ | $2.82^{+0.25}_{-0.25}$ |
| $b_{z1}$ | $1.12 \pm 0.15$ | $0.78^{+0.14}_{-0.11}$ | $1.21 \pm 0.14$ | $1.13 \pm 0.15$ | $1.00 \pm 0.17$ | $1.23^{+0.16}_{-0.17}$ | $1.24 \pm 0.18$ | $1.24 \pm 0.18$ |
| $b_{z2}$ | $1.25 \pm 0.16$ | $-1.45^{+0.27}_{-0.32}$ | $1.45 \pm 0.18$ | $1.23 \pm 0.17$ | $1.11 \pm 0.19$ | $1.37 \pm 0.17$ | $1.36 \pm 0.19$ | $1.36 \pm 0.19$ |
| $\Omega_m$ | $0.33^{+0.05}_{-0.06}$ | $0.29^{+0.08}_{-0.09}$ | $0.29^{+0.08}_{-0.07}$ | $0.36 \pm 0.06$ | $0.34^{+0.05}_{-0.06}$ | $0.39^{+0.05}_{-0.06}$ | $0.36 \pm 0.06$ | $0.37^{+0.06}_{-0.07}$ |
| $\sigma_8$ | $0.78^{+0.06}_{-0.08}$ | $0.80^{+0.10}_{-0.17}$ | $0.81^{+0.10}_{-0.13}$ | $0.70^{+0.08}_{-0.09}$ | $0.80^{+0.08}_{-0.09}$ | $0.84^{+0.08}_{-0.11}$ | $0.72^{+0.08}_{-0.09}$ | $0.74^{+0.07}_{-0.09}$ |
| $S_8$ | $0.800^{+0.028}_{-0.027}$ | $0.761 \pm 0.038$ | $0.769^{+0.036}_{-0.033}$ | $0.759^{+0.036}_{-0.032}$ | $0.835 \pm 0.037$ | $0.806^{+0.030}_{-0.028}$ | $0.778 \pm 0.033$ | $0.805^{+0.044}_{-0.043}$ |
| $\chi^2$ | 115.9 | 61.5 | 97.0 | 67.3 | 45.4 | 84.5 | 101.6 | 32.5 |
| d.o.f. | 90 | 42 | 80 | 50 | 40 | 70 | 80 | 30 |
APPENDIX F: VALIDITY OF FLAT-SKY APPROXIMATION
We check if the flat-sky approximation that underlies our power spectrum estimators has any impact on the accuracy of our measurements. Before taking band-power averages, the estimators can be expressed as
$$\hat{P}^{\text{kl}}(\ell) = \pi \int_0^\infty d\theta \left\{ K_{++}(\ell, \theta) \hat{\xi}_+(\theta) + K_{--}(\ell, \theta) \hat{\xi}_-(\theta) \right\}, \quad (F1)$$
$$\hat{P}^{\text{gm}}(\ell) = 2\pi \int_0^\infty d\theta K_{gm}(\ell, \theta) \hat{\gamma}(\theta), \quad (F2)$$
$$\hat{P}^{\text{ss}}(\ell) = 2\pi \int_0^\infty d\theta K_{ss}(\ell, \theta) \hat{w}(\theta). \quad (F3)$$
The full-sky expressions for the kernels $K_{\pm}$ were derived in Chon et al. (2004), while their result for the $TE$ spectrum can be adopted for our galaxy–galaxy lensing estimator. Together with the well-known full-sky relation between scalar power spectrum and correlation function (Peebles 1973), one obtains
$$K_{++}(\ell, \theta) = d_{22}^l(\theta) \sin \theta, \quad (F4)$$
$$K_{--}(\ell, \theta) = d_{22}^l(-\theta) \sin \theta, \quad (F5)$$
$$K_{gm}(\ell, \theta) = d_{20}^l(\theta) \sin \theta, \quad (F6)$$
$$K_{ss}(\ell, \theta) = d_{00}^l(\theta) \sin \theta, \quad (F7)$$
where $d_{lm}^l(\theta)$ is the Wigner small-$d$ matrix, and $d_{lm}^l(\theta) = P_l(\cos \theta)$ is a Legendre polynomial. The flat-sky (large $\ell$, small $\theta$) approximations for these kernels, denoted by $K^{\text{flat}}$, can be read off equations (1), (10), and (15); see Kitching et al. (2017), Kilbinger et al. (2017), and Lemos et al. (2017) for more detailed discussions.
We additionally propose an extended flat-sky approximation with the following kernels,
$$K_{++}^{\text{ext}}(\ell, \theta) = J_0[(\ell + 1/2)\theta] \theta, \quad (F8)$$
$$K_{--}^{\text{ext}}(\ell, \theta) = J_4[(\ell + 1/2)\theta] \theta, \quad (F9)$$
$$K_{gm}^{\text{ext}}(\ell, \theta) = J_2[(\ell + 1/2)\theta] \theta, \quad (F10)$$
$$K_{ss}^{\text{ext}}(\ell, \theta) = J_0[(\ell + 1/2)\theta] \theta, \quad (F11)$$
obtained from the standard flat-sky expression by replacing $\ell \rightarrow \ell + 1/2$. In Fig. F1, we show the difference between the standard and extended flat-sky approximated kernels and the full-sky expressions at $\ell = 100$, which is slightly beyond the largest scales that we consider. The extended approximation can readily be implemented in our current estimators, with the integral corresponding to the band power average now performed numerically.
We compare the power spectrum estimates under the assumptions of the standard and extended flat-sky approximations in the case of galaxy clustering, which extends to the largest angular scales and should thus be most affected. As expected, we find the largest discrepancy for the lowest $\ell$ bin, which amounts to a relative difference of $3.3 \times 10^{-5}$ in F1 and less than $10^{-6}$ in F2. Since the extended flat-sky approximation is typically two orders of magnitude more accurate over the scales used in this analysis (see Fig. F1, bottom panel), this implies that the discrepancy that we have measured is also the one between standard flat-sky approximation and full expression to within 1 per cent. It is reasonable to expect this discrepancy to be very small because we choose to altogether ignore large scales which are inaccessible from our data, rather than merely misrepresenting their geometry. We have demonstrated in Appendix A that the IBC, resulting from cutting in particular the large scales from the integrals in our estimators, is much larger but still well controlled in our measurements.
Figure F1. Comparison between kernels in the conversion from correlation functions to power spectra. Shown is the difference between the standard flat-sky ($K^{\text{flat}}$, solid lines), as well as the extended flat-sky ($K^{\text{ext}}$, dashed lines), approximation, and the exact full-sky kernel as a function of angular separation for fixed $\ell = 100$. The top panel shows the cosmic shear kernels relating to $\xi_{\pm}$; the bottom those for $P_{\text{gg}}$ and $P_{\text{gs}}$.
APPENDIX G: CROSS-SURVEY COVARIANCE
In this analysis we combine probes from two surveys with substantially different areas, where the smaller survey is fully contained in the larger’s area coverage. While the covariances of individual probes can be modelled analytically within the respective survey footprint over which they are measured, there may be significant cross-variances between probes due to the shared sky that need to be included in the joint likelihood analysis.
We model the cross-variances under the same assumptions applied to previous analytic approaches (e.g. Takada & Hu 2013), neglecting the explicit effect of the survey mask on modes well within the footprint, and only taking it into account for the coupling between in-survey and super-survey modes (the SSC). Under these assumptions, the spin-2 nature of gravitational shear does not impact on the covariance, so it is sufficient to work with the scalar weak lensing convergence and the galaxy number density. Moreover, shot/noise shape noise does not contribute to the cross-variances we consider. Therefore, we consider the simple, idealized power spectrum estimator (see Joachimi et al. 2008, for the analogous full calculation for gravitational shear estimates) for survey A
$$\tilde{P}_A(\ell) = \frac{1}{\Omega_A \Omega_R(\ell)} \int_{\Omega_R(\ell)} d^2 \ell_1 |\tilde{x}^{ab}_A(\ell_1)|^2,$$
with
$$\tilde{x}^{ab}_A(\ell) = \int d^2 \ell' \tilde{x}(\ell') \Delta_A(\ell - \ell'),$$
where $\Omega_A$ is the (effective) survey area, $\Omega_R(\ell)$ is the area of an annulus centred on $\ell$, and $\Delta_A$ is the Fourier transform of the survey aperture, divided by $4\pi^2$ (see equation 12 of Joachimi et al. 2008). For ease of notation, we consider a single random field $x$, but the following calculations hold equally for any combination of the weak lensing convergence and galaxy number density fields. The Fourier-transformed field is denoted by a tilde.
This power spectrum estimator is unbiased under certain assumptions about the survey footprint, which can be seen by taking the expectation value,
$$\langle \tilde{P}_A(\ell) \rangle = \frac{1}{\Omega_A \Omega_R(\ell)} \int_{\Omega_R(\ell)} d^2 \ell_1 \int d^2 \ell' \int d^2 \ell'' \langle \tilde{x}(\ell') \tilde{x}(\ell'') \rangle \times \Delta_A(\ell_1 - \ell') \Delta_A(-\ell_1 - \ell'')$$
$$= \frac{(2\pi)^2}{\Omega_A \Omega_R(\ell)} \int_{\Omega_R(\ell)} d^2 \ell_1 \int d^2 \ell' P_x(\ell') \Delta_A^2(\ell_1 - \ell'),$$
where in the second equality the definition of the power spectrum of the random field $x$ was used,
$$\langle \tilde{x}(\ell) \tilde{x}(\ell') \rangle = (2\pi)^2 \delta_D(\ell + \ell') P_x(\ell),$$
with $\delta_D$ the Dirac delta distribution. The larger the survey area, the closer $\Delta_A$ will be to a Dirac delta distribution. It is therefore appropriate to approximate $\Delta_A^2(\ell) \approx \delta_D(\ell) \Omega_A/(2\pi)^2$, as long as we consider modes well within the survey footprint. Inserting this expression, we find that equation (G1) is an unbiased estimate of the annular average of the power spectrum of $x$,
$$\langle \tilde{P}_A(\ell) \rangle = \frac{1}{\Omega_R(\ell)} \int_{\Omega_R(\ell)} d^2 \ell_1 P_x(\ell_1).$$
We use this estimator to calculate the cross-variance between surveys A and B,
$$\langle \Delta P_A(\ell) \Delta P_B(\ell') \rangle = \frac{1}{\Omega_A \Omega_B \Omega_R(\ell) \Omega_R(\ell')} \int_{\Omega_R(\ell)} d^2 \ell_1 \int_{\Omega_R(\ell')} d^2 \ell_2$$
$$\times \left\{ \langle \tilde{x}^{ab}_A(\ell_1) \tilde{x}^{ab}_B(\ell_2) \rangle \langle \tilde{x}^{ab}_A(-\ell_1) \tilde{x}^{ab}_B(-\ell_2) \rangle \right.$$
$$+ \langle \tilde{x}^{ab}_A(\ell_1) \tilde{x}^{ab}_B(-\ell_2) \rangle \langle \tilde{x}^{ab}_A(-\ell_1) \tilde{x}^{ab}_B(\ell_2) \rangle$$
$$+ \langle \tilde{x}^{ab}_A(\ell_1) \tilde{x}^{ab}_B(-\ell_1) \rangle \langle \tilde{x}^{ab}_A(\ell_2) \tilde{x}^{ab}_B(-\ell_2) \rangle \right\},$$
where the subscript $c$ denotes the connected correlator that encapsulates the non-Gaussian cosmic variance contributions. Here, $\Delta P$ denotes the fluctuation of the power spectrum estimator around its expectation. We continue with the first term of equation (G6), assuming without loss of generality that survey A is the larger of the two,
$$\langle \tilde{x}^{ab}_A(\ell_1) \tilde{x}^{ab}_B(\ell_2) \rangle \langle \tilde{x}^{ab}_A(-\ell_1) \tilde{x}^{ab}_B(-\ell_2) \rangle$$
$$= \int d^2 \ell_a \int d^2 \ell_b \int d^2 \ell_c \int d^2 \ell_d \langle \tilde{x}(\ell_a) \tilde{x}(\ell_b) \rangle \langle \tilde{x}(\ell_c) \tilde{x}(\ell_d) \rangle$$
$$\times \Delta_A(\ell_1 - \ell_a) \Delta_B(-\ell_2 - \ell_b) \Delta_A(-\ell_1 - \ell_c) \Delta_B(\ell_2 + \ell_d)$$
$$= (2\pi)^4 \int d^2 \ell_a \int d^2 \ell_c P_x(\ell_a) P_x(\ell_c) \Delta_A(\ell_1 - \ell_a)$$
$$\times \Delta_A(-\ell_1 - \ell_c) \Delta_B(-\ell_2 + \ell_a) \Delta_B(\ell_2 + \ell_d)$$
$$\approx (2\pi)^4 P_x^2(\ell_1) \Delta_A^2(\ell_1 - \ell_2)$$
$$\approx (2\pi)^4 \Omega_B P_x^2(\ell_1) \delta_D(\ell_1 - \ell_2).$$
To arrive at the third equality, we approximated the $\Delta_A$ of the larger survey A by the Dirac distribution. This assumption is fair as long as $\Omega_A \gg \Omega_B$; however, if the two surveys approached similar coverage, the standard expression for a single survey could be used to good accuracy anyway. The final equality results from the same approximation that was made in the derivation of equation (G5).
The remaining terms in equation (G6) are processed in full analogy to yield the following expression for the in-survey contributions
to the cross-variance,
\[
\left\langle \Delta P_A(\ell) \Delta P_B(\ell') \right\rangle_{\text{in+survey}} \approx \frac{8\pi^2}{\Omega_{\text{max}} \Omega_B(\ell)} \delta_{\ell \ell'} P_x^2(\ell)
\]
\[
+ \frac{1}{\Omega_{\text{max}} \Omega_B(\ell) \Omega_B(\ell')} \int_{\Omega_B(\ell)} d^2\ell_1
\]
\[
\times \int_{\Omega_B(\ell')} d^2\ell_2 T_x(\ell_1, \ell_2, -\ell_1, -\ell_2),
\]
where $\delta_{\ell \ell'}$ is the Kronecker delta acting on the angular frequency bins at which the covariance is evaluated, and where $T_x$ is the trispectrum of the field $x$. We have defined $\Omega_{\text{max}} \equiv \max(\Omega_A, \Omega_B)$. This result reduces to the standard expression for $\Omega_A \rightarrow \Omega_B$ and is straightforward to generalize to the multilevel and tomographic case (see e.g. Joachimi & Bridle 2010; Krause & Eifler 2017).
It remains to be shown how the SSC term is modified for the cross-variance across different surveys. We follow Takada & Hu (2013) closely and refer to their paper for detailed calculations. They showed that in the single-survey case the SSC of angular power spectra (again for a single field) is given by
\[
\left\langle \Delta P_A(\ell) \Delta P_A(\ell') \right\rangle_{\text{SSC}} = \int_0^{2\pi} d\chi \frac{K^4(\chi)}{f_K(\chi)^6} \frac{\partial P_\delta}{\partial \delta_b}
\]
\[
\times \frac{\partial P_\delta}{\partial \delta_b} \left[ \frac{\ell' / f_K(\chi)}{\ell / f_K(\chi)} \right] \sigma_A^2(\chi),
\]
where $\chi$ is comoving distance, $f_K(\chi)$ comoving angular diameter distance, and $K(\chi)$ the line-of-sight kernel of the signal under consideration. The expression above is based on the Limber approximation, which we expect to hold similarly well as for the signals we model, due to the broad line-of-sight distributions entering our signals. The derivatives of the matter power spectrum $P_\delta$ with respect to a fluctuation in the background density $\delta_b$ provide the response of the measurement to super-survey modes, while
\[
\sigma_A^2(\chi) = \frac{1}{\Omega_A} \int \frac{d^2\ell_1}{(2\pi)^2} P_A^{\text{lin}} \left( \frac{\ell_1}{f_K(\chi)} \right) |\Delta_A(\ell_1)|^2
\]
is the variance of this background density field within the mask of survey $A$. The linear matter power spectrum is employed in this expression. Repeating the derivation of Takada & Hu (2013), but now with the last term of equation (G6) as the starting point, which accounts for different survey footprints, we obtain
\[
\sigma_{AB}^2(\chi) = \frac{1}{\Omega_A \Omega_B} \int \frac{d^2\ell_1}{(2\pi)^2} P_A^{\text{lin}} \left( \frac{\ell_1}{f_K(\chi)} \right) \Delta_A(\ell_1) \Delta_B(-\ell_1).
\]
Note that $\sigma_{AB}^2$ remains real because the imaginary parts of the Fourier transforms of the survey masks are antisymmetric and will thus vanish after the area integration over $\ell_1$. Our implementation of the SSC contribution uses equation (G9) with $\sigma_{AB}^2$ determined from the explicit GAMA and KiDS survey footprints provided in the form of HEALPix maps. A more detailed study of the impact of survey geometry on covariance contributions will be presented in a forthcoming publication; see also Lacasa, Lima & Aguena (2016) for a detailed discussion of effects pertaining to the SSC term.
This paper has been typeset from a TeX/latex file prepared by the author.
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AGENDA
MARINA DEL REY DESIGN CONTROL BOARD
Thursday, November 19, 2009, 2:00 p.m.
Burton W. Chace Park Community Building
13650 Mindanao Way ~ Marina del Rey, CA 90292
Design Control Board Members
Peter Phimney, AIA – Chair - Fourth District
Simon Pastueha – Vice Chair - Third District
Helena Jubany – Member - First District
David Abelar – Member - Second District
Tony Wong, P.E. – Member - Fifth District
1. Call to Order, Action on Absences, Pledge of Allegiance, and Order of Agenda
2. Approval of Minutes
October 22, 2009
3. Design Control Board Reviews
A. Parcel 95 - Marina West Center - DCB #09-017
Approval of the record of the DCB October 22, 2009 action approving temporary signage for Images Furniture Warehouse, a new tenant
B. Parcel 50 - Waterside Marina del Rey - DCB #09-018
Approval of the record of the DCB October 22, 2009 action approving signage for Affordable Portables, a new tenant
4. Consent Agenda
The Chair may entertain a motion by a Board member at the beginning of the meeting to approve certain non-controversial agenda items as consent agenda items unless held by a Board member or member(s) of the public for discussion or separate action.
5. Old Business
A. Parcel 95 - Marina West Center - DCB #09-017-B
Further consideration of signage for Images Furniture Warehouse, a new tenant
6. New Business
A. Parcel 7 - Tahiti Marina - DCB #09-019
Consideration of new dock gates
B. 2010 DCB Meeting Schedule
Consideration of the 2010 DCB Meeting Schedule
7. **Staff Reports**
A. Temporary Permits Issued by the Department
B. Ongoing Activities Report
- Board of Supervisors Actions on Items Relating to Marina del Rey
- Regional Planning Commission’s Calendar
- Local Coastal Program Periodic Review Update
- Small Craft Harbor Commission Minutes
- Marina Design Guidelines Update
- Redevelopment Project Status Report
C. Marina del Rey and Beach Special Events
8. **Public Comment**
Public comment within the purview of this Board (three minute time limit per speaker)
9. **Adjournment**
ADA ACCOMMODATIONS: If you require reasonable accommodations or auxiliary aids and services such as material in alternate format or a sign language interpreter, please contact the ADA (Americans with Disability Act) Coordinator at (310) 827-0816 (Voice) or (310) 821-1734 (TDD), with at least three business days’ notice.
**Project Materials:** All materials provided to the Design Control Board Members are available (beginning the Saturday prior to the meeting) for public review at the following Marina del Rey locations: Marina del Rey Library, 4533 Admiralty Way, 310-821-3415; MdR Visitors & Information Center, 4701 Admiralty Way, 310-305-9546; Burton Chace Park Community Room, 13650 Mindanao Way, 310-305-9595; and (beginning the Monday prior to the meeting) Department of Beaches and Harbors Administration Building, 13837 Fiji Way, 310-305-9503. The material can also be accessed on our website at marinadelrey.lacounty.gov.
**Please Note:** The Los Angeles County Board of Supervisors adopted Chapter 2.160 of the Los Angeles County Code (Ord. 93-0031 §2(part), 1993) relating to lobbyists. Any person who seeks support or endorsement from the Design Control Board on any official action must certify that they are familiar with the requirements of this ordinance. A copy of this ordinance can be provided prior to the meeting and certification is to be made before or at the meeting.
**Departmental Information:** [http://beaches.co.la.ca.us](http://beaches.co.la.ca.us) or [http://labeaches.info](http://labeaches.info)
MINUTES
OF
MARINA DEL REY
DESIGN CONTROL BOARD
October 22, 2009 2:00 p.m.
Department of Beaches and Harbors
Burton Chace Park
Community Building – 13650 Mindanao Way
Marina del Rey, CA 90292
Members Present:
Peter Phinney, A.I.A., Vice-Chair, Fourth District
Helena Lin Jubany, First District
David Abelar, Second District
Tony Wong, P.E., Fifth District
Members Absent:
Simon Pastucha, Third District
Department Staff Present:
Charlotte Miyamoto, Chief, Planning Division
Ismael Lopez, Planner
Teresa Young, Secretary
County Staff Present:
Tom Faughnan, Principal Deputy County Counsel
Michael Tripp, Department of Regional Planning
Guests Testifying:
Jonathan King, LA County Department of Public Works
Iwen Tseng, LA County Department of Public Works
Jill Peterson, Pacific Ocean Management, LLC
Scott Struna, Images Furniture Warehouse
Ron Wolter, Factory Signage & Graphics
Brian Colacarro, Caruso Affiliated
1. **Call to Order, Action on absences and Pledge of Allegiance**
Mr. Phinney called the meeting to order at 2:05 p.m. and Ms. Jubany led the Pledge of Allegiance
Mr. Wong (Jubany) moved to excuse Mr. Pastucha from the meeting {Unanimous Consent}
2. **Approval of the DCB minutes**
Mr. Wong (Abelar) moved to approve September 24, 2009 minutes {Unanimous Consent}
3. **Design Control Board Reviews**
Mr. Phinney asked Mr. Faughnan if there was a requirement for Board Reviews and stated that the DCB only considers the Reviews to verify the motion language.
Mr. Faughnan noted there is no written procedure requiring the DCB to handle DCB Reviews and that the Board could change the process at any time.
Mr. Phinney said he would like to speed up the processing of DCB submittals by asking that the Board approve the review of the motion and any conditions following the Board’s approval of the item but during the same meeting rather than waiting until the next DCB meeting where the Review has been typically approved.
Mr. Faughnan recommended that staff prepare a draft review and the Board could review and finalize the draft review during the same meeting and request changes as deemed necessary.
For more complex motions, the Board at its discretion, may direct staff to prepare the Board Review for consideration at the following DCB meeting
A. Parcel 50 – Marina Towers – DCB #09-011
Approval of the record of the DCB September 24, 2009 action approving temporary signage for Fresh Brothers Pizza, a new tenant
**Ms. Jubany (Wong) moved to approve DCB Review #09-011 as submitted {Unanimous Consent}**
B. Parcel 95 – Marina West Center – DCB #09-014
Approval of the record of the DCB September 24, 2009 action approving signage modifications for Islands Fine Burgers & Drinks
**Ms. Jubany (Wong) moved to approve DCB Review #09-014 as submitted {Unanimous Consent}**
C. Parcel 76 – Marina Towers – DCB #09-015
Approval of the record of the DCB September 24, 2009 action approving signage modifications for Chase Bank
**Mr. Abelar (Jubany) moved to approve DCB Review #09-015 as submitted {Unanimous Consent}**
D. **Parcel 50 – Waterside Marina del Rey – DCB #09-016**
Approval of the record of the DCB September 24, 2009 action approving signage for Papillon, a new tenant
Ms. Jubany (Wong) moved to approve DCB Review #09-016 as submitted {Unanimous Consent}
4. **Consent Agenda**
None
5. **Old Business**
None
6. **New Business**
A. **Marina del Rey Water Conservation**
Mr. King from the Department of Public Works made a Power Point presentation
**Board Comments**
Mr. Abellar asked if there was any consideration for customers using less than the allowed allotment and if the amount not used carried over to the following month
Mr. King answered that their systems did not handle carryovers and that they asked people to stay within their allotments on a monthly basis to avoid additional fees
**Public Comments**
None
B. **Parcel 95 - Marina West Center - DCB #09-017**
Consideration of signage for Images Furniture Warehouse, a new tenant
Mr. Lopez gave an overview of the project
Ms. Peterson added that the pole sign lighting did not work, but the façade-mounted sign did
**Public Comments**
None
**Board Comments**
Mr. Phinney asked Mr. Faughnan if the Board could split the project into two requests; a temporary permit request and permanent signage request for separate action
Mr. Faughnan replied it was acceptable
Mr. Phinney suggested reversing the colors with black lettering on a white background
Ms. Jubany commented that the Board reviews signs for consistency with Marina standards and noted that the proposed sign appeared to be utilitarian in design and lacked design creativity.
Mr. Lopez stated that the Applicant had previously submitted a sign much like the banner which consisted of plain text on a white background and lacked design. At that time, staff asked for revisions to be made prior to presenting the submittal to the DCB. The Board is reviewing the revised submittal.
Mr. Phinney suggested navy blue lettering and graphics on a light blue background.
**Mr. Wong (Abelar) moved to approve DCB #09-017, as to the extension of the temporary sign for four months and to continue the permanent signage matter. The Applicant shall re-submit a different color scheme for the permanent sign at the next meeting.**
{Unanimous Consent}
C. **Parcel 50 – Waterside Marina del Rey – DCB #09-018**
Consideration of signage of Affordable Portables, a new tenant
Mr. Lopez gave the project overview.
**Public Comments**
None
**Board Comments**
Mr. Phinney suggested that approval be contingent on the submittal of the Variance application for the additional signs and kiosks at the Center, to the Department of Regional Planning prior to the next DCB meeting.
Mr. Colacarro noted they were scheduled for a submittal meeting on November 3, 2009.
**Mr. Wong (Abelar) moved to approve DCB #09-018 as submitted {Unanimous Consent}**
7. **Staff Reports**
All reports were received and filed.
Mr. Tripp commented that the hearing on the projects on Parcels 9, 10 and FF were continued by the Regional Planning Commission to February 10, 2010 to allow the applicant time to prepare a final Environmental Impact Report. He added that the Commission requested the projects return to the DCB to review the promenade design because of the zero setback proposal. He noted the Commission did not consider the setback variance request was justified and they asked for more pedestrian promenade amenities be proposed.
Mr. Tripp also noted that the Parcels 21 and OT project was continued to February 10, 2010. He added that the Commission considered the loss of public parking spaces and requested that
a parking analysis of all parking impacts resulting from Marina development projects be provided
8. **Public Comments**
Mr. Riley noted he was saddened by the tragic news of Mr. Stan Wisniewski.
Mr. Phinney stated that Mr. Wisniewski had passed away. He praised Mr. Wisniewski’s astounding work as a County employee, but most importantly as the former director of the Department of Beaches and Harbors. He then dedicated a moment of silence to observe the passing of Mr. Wisniewski and to adjourn the meeting in his honor.
**Adjournment**
Mr. Phinney moved to adjourn the Design Control Board meeting at 3:06 p.m. {Unanimous Consent}
Respectfully Submitted,
Teresa Young
Secretary for the Design Control Board
November 12, 2009
TO: Design Control Board
FROM: Santos H. Kreimann, Director
SUBJECT: AGENDA ITEM 3 - DESIGN CONTROL BOARD REVIEWS - DCB #09-017 and #09-018
The Design Control Board’s actions from October 22, 2009 are attached:
A. Parcel 95 - Marina West Center - DCB #09-017
B. Parcel 50 - Waterside Marina del Rey - DCB #09-018
SHK:CM
Attachments (2)
PARCEL NAME: Marina West Center
PARCEL NUMBER: 95
REQUEST: Consideration of signage for Images Furniture Warehouse, a new tenant
ACTION: Approval of existing temporary banner
CONDITIONS: Temporary banner approval for four months and Applicant shall return next month for review and approval of the revised main identification sign
MEETING DATE: October 22, 2009
PARCEL NAME: Waterside Marina del Rey
PARCEL NUMBER: 50
REQUEST: Consideration of signage for Affordable Portables, a new tenant
ACTION: Approved with conditions
CONDITIONS: The following conditions apply:
1) Lessee shall submit a Variance application for outstanding signage and kiosks on Parcel 50 to Regional Planning;
2) Applicant shall obtain further review and approval from the Regional Planning for this signage application;
3) Main entrance sign shall be lit according to existing center-wide lighting hours, from dusk until 11:30 p.m., or one hour after closing of the last restaurant, whichever is earlier; and
4) Rear entrance sign shall be lit according to existing center-wide lighting hours from dusk until midnight.
MEETING DATE: October 22, 2009
Location of November 19, 2009 DCB Item
Old Business:
None.
New Business:
6A; P-7; Tahiti Marina
Los Angeles County Department of Beaches and Harbors, Planning Division.
Marina del Rey Land Use Map for November 19, 2009 DCB Item
Marina del Rey Land Use
- Boat Storage
- Hotel
- Marine Commercial
- Office
- Open Space
- Parking
- Public Facility
- Residential
- Visitor-serving Commercial
- DCB Item
Los Angeles County Department of Beaches and Harbors, Planning Division.
November 12, 2009
TO: Design Control Board
FROM: Santos H. Kreimann, Director
SUBJECT: AGENDA ITEM 5A - PARCEL 95 - IMAGES FURNITURE WAREHOUSE
DCB #09-017-B
Item 5A on your agenda is a returning submittal by Images Furniture Warehouse (Applicant), located at 480 Washington Boulevard in the Marina West Center, for new business identification sign faces on two existing sign holders: one façade-mounted and one double-sided pole sign. During the October 22, 2009 meeting, your Board approved a temporary banner extension request but continued the request for the permanent signs (DCB #09-017) with a suggestion to change the proposed signage colors to dark blue lettering on a light blue background color.
Proposed Signs
The Applicant is proposing the same façade-mounted sign and pole sign design as previously submitted with aluminum retainers painted black satin; however, the signs have been modified to include your Board’s navy blue lettering on a light blue background (Option D below). The Applicant has also included for your Board’s consideration three alternate color options for both the pole sign and façade-mounted sign:
- **Option A**: Lettering and graphic will be the existing white polycarbonate face and the background will be painted black satin.
- **Option B**: Lettering and graphic will be black vinyl and the background will be the existing white polycarbonate face.
- **Option C**: Lettering and graphic will be light blue vinyl and the background will be dark blue.
- **Option D**: Lettering and graphic will be dark blue vinyl and the background will be light blue.
Facade-Mounted Sign
The existing internally illuminated sign cabinet located on the west façade (Washington Boulevard) is 10’ above grade, 16”-4” wide, 2’ tall and bordered by aluminum retainers painted black satin. The sign face is 13’ wide and will read “Images” followed by “FURNITURE SHOWROOM”, over a couch logo and the website address,
"www.imagesMDR.com". The letters "I" and "g" in "Images" will measure 12" and the letters "m", "a", "e" and "s" will measure 9" high in Georgia Bold font. The words "FURNITURE SHOWROOM" will be 8" high in Arial Bold font and the web address will be 4" high in Georgia Bold font. The sign message in its entirety measures 11'-10" wide by 12" tall.
**Pole Sign**
The two proposed pole sign inserts are also replacement faces to the existing freestanding pole sign, located near the northeast corner of the building along Washington Boulevard. Each new sign face will measure 6'-8" wide by 4'-2" high. The sign consists of a couch logo above the word "Images", over the words "FURNITURE SHOWROOM", and the website address, "www.imagesMDR.com", all with varying font sizes. The letters "I" and "g" in "Images" will measure 24" high and the letters "m", "a", "e" and "s" will measure 17" high, all in Georgia Bold font. The words "FURNITURE SHOWROOM" will be 5.5" high in Arial Bold font and the web address will measure 5" high in Georgia Bold font. The existing sign cabinet is located 7'-6" above grade.
**Hours of Illumination**
The business hours of operation are 10 a.m. through 7 p.m., nightly, except for Fridays, when the business is closed. The proposed signs will not be illuminated.
**STAFF REVIEW**
**Proposed Signage**
The proposed business signage represents new tenant identification, which, according to the *Revised Permanent Sign Controls and Regulations*, will be subject to review and approval first by your Board and then by the Department of Regional Planning.
*The Department recommends APPROVAL of DCB #09-017-B, any option, with the condition that Applicant obtains further review and approval of the signage by the Department of Regional Planning.*
SHK:CM:ks
November 12, 2009
TO: Design Control Board
FROM: Santos H. Kreimann, Director
SUBJECT: AGENDA ITEM 6A - PARCEL 7 – TAHITI MARINA - DCB #09-019
Item 6A on your agenda is a submittal by Tahiti Marina (Applicant), located at 13900 Tahiti Way, for the construction and installation of nine new steel pipe frame gates at the entrances of the existing docks.
**Proposed Dock Entry Gates**
Tahiti Marina requests to install gates at nine dock entry points, which are currently without gates, to prevent uninvited individuals from accessing the anchorage. The new eye-shaped gates consist of parallel 2¼” steel pipes that are set 1'-11" apart at the top and bottom of the "eye", narrowing and meeting to attach to the existing fence rail at the corners of the "eye". A wavy-line design cut into ¼"-thick steel plates will be attached to the land-side portion of the frame. The top of the frame will be capped with ¼"-thick translucent polyethylene panels fastened onto the frame. The new gates will be 7'-8" high at their highest point located above the doorway.
The gates will be finished with a rust resistant primer and matte black paint. The Applicant is also proposing to add steel cables running parallel to the existing railings throughout the parcel for added security and overall design improvement. The cables, which will be painted matte black, will be spaced to leave 4"-wide openings in the fence.
**STAFF REVIEW**
As proposed, the color and design treatment of the dock gates are consistent with the design guidelines for the waterfront promenade in Marina del Rey, *The Marina Walk*.
The Applicant’s gate proposal requires a Coastal Development Permit from the Department of Regional Planning (DRP). Your Board’s conceptual review and approval will be handled concurrently with the development permit process administered by DRP. A recommendation on architectural design must be provided to DRP within 120 days of the application for the Coastal Development Permit being filed. The application for the proposed dock gates is intended to be filed on November 19, 2009, thus providing your Board the full 120 days to approve the design that will be recommended to DRP.
The Department recommends APPROVAL of DCB #09-019, with the condition that the Applicant obtain a Coastal Development Permit from the Department of Regional Planning.
SHK:CM:ks
November 12, 2009
TO: Design Control Board
Kerry Silverstrom, Chief Deputy
FROM: Santos H. Kreimann, Director
SUBJECT: AGENDA ITEM 6B – 2010 MEETING SCHEDULE
The attached 2010 meeting and submittal filing schedule is provided for consideration. All of the meetings are scheduled to begin at 2:00 p.m. at the Burton Chace Park Community Building, 13650 Mindanao Way, Marina del Rey. However, as requested by your Board, evening meetings will be scheduled whenever there is an item for the agenda that has broad community interest, such as the first time a development project is presented to your Board. Meetings will be held on the fourth Thursday of the month, except for November and December 2010, when the meetings will take place on the third Thursday of the month.
SHK:CM:ty
Attachment
The Design Control Board (DCB) will meet on the dates listed below. The filing deadline for any DCB meeting submittal is noon, four Thursdays prior to the date of the meeting. Accordingly, the 2010 filing deadlines are as follows:
| Meeting Date | Filing Deadline |
|-------------------------------|-----------------------|
| January 28, 2010 @ 2:00 p.m. | December 31, 2009 |
| February 25, 2010 @ 2:00 p.m. | January 28, 2010 |
| March 25, 2010 @ 2:00 p.m. | February 25, 2010 |
| April 22, 2010 @ 2:00 p.m. | March 25, 2010 |
| May 27, 2010 @ 2:00 p.m. | April 29, 2010 |
| June 24, 2010 @ 2:00 p.m. | May 27, 2010 |
| July 22, 2010 @ 2:00 p.m. | June 24, 2010 |
| August 26, 2010 @ 2:00 p.m. | July 29, 2010 |
| September 23, 2010 @ 2:00 p.m.| August 26, 2010 |
| October 28, 2010 @ 2:00 p.m. | September 30, 2010 |
| November 18, 2010 @ 2:00 p.m. | October 21, 2010 |
| December 16, 2010 @ 2:00 p.m. | November 18, 2010 |
November 12, 2009
TO: Design Control Board
FROM: Santos H. Kreimann, Director
SUBJECT: AGENDA ITEM 7A - TEMPORARY PERMITS ISSUED BY THE DEPARTMENT
Item 7A on your agenda provides us an opportunity to advise your Board of permits issued by the Department for temporary banners, signs and canopies. Since our last report, the Department issued the following permits, copies of which are attached:
**TP #09-024** Temporary permit for one banner announcing new comedy nights at The Organic Panificio. The banner is permitted from October 20 through November 20, 2009.
**TP #09-025** Temporary permit for six banners announcing Marina back basin clean-up days. The banners will be placed at various locations at Chace Park, Parcel 44, Marina International Hotel, and Parking Lot 5. The banners are permitted for November 7 and 21, 2009, December 5 and 19, 2009, and January 9 and 23, 2010.
**TP #09-026** Temporary permit for one tent at the Cheesecake Factory. The tent is permitted from November 17, 2009 through December 28, 2009.
**TP #09-027** Temporary permit for one tent at Sapori Restaurant. The tent is permitted from December 5, 2009 through January 6, 2010.
SHK:CM
Attachment (4)
October 19, 2009
Joe Williams
Shovelt! Productions
3475 Clarington Ave. #209
Los Angeles, CA 90034
TEMPORARY BANNER AT
ORGANIC PANIFICIO/WATERFRONT RESTAURANT (PARCEL 33)
(TP 09-024)
Dear Mr. Williams:
By means of this letter, Organic Panificio is permitted to place one temporary vinyl banner at its premises located at 4211 Admiralty Way, as indicated below:
- One 3-foot high by 6-foot wide gray and red banner to be mounted on the corner of Admiralty and Palawan Ways. The banner will state “WAVES OF COMEDY” in 3.2-inch high blue Verdana type font; “EVERY THURS & SAT @ 8:30 PM” in 2.7-inch high yellow New Roman type font; and “THE HOTTEST COMICS IN THE COOLEST SPOT” in 2.7-inch high yellow Comic Sans MS type font. In addition, the banner will have a 13-inch wide by 28-inch high image of a microphone on the right.
The banner is permitted from October 20, 2009 through November 20, 2009. The banner must be removed by noon on November 21, 2009. Failure to remove it by this time will result in its removal and storage by the County of Los Angeles at your expense.
If desired, one consecutive 30-day extension may be granted, provided that the request for such is made in writing to the Department before the original permit expires. If you have any further questions or requests, please contact Cesar Espinosa at 310-305-9530.
Very truly yours,
SANTOS H. KREIMANN, DIRECTOR
Charlotte Miyamoto, Chief
Planning Division
SHK:CM:CE
cc: Wayne Schumaker
Mark Spiro
Ken Edson
Seth Curtis
Lynn Atkinson
Stephen Nguyen
November 3, 2009
Mr. Paul Skipper
S & K Dive Service, Inc.
13605 Fiji Way
Marina del Rey, CA 90292
MARINA DEL REY BASIN CLEAN-UP BANNERS
(TP 09-025)
Dear Mr. Skipper:
By means of this letter and the appropriate letters of concurrence (received from Marina del Rey Marina and Pacific Marina Venture), you are permitted to place six (6) temporary banners stating “MARINA DEL REY F & G BASIN CLEANUP DAYS” in 3-inch high blue Lucinda Sans type font; “CLEAN UP SERVICE PROVIDED BY” in 2.5-inch high blue Lucinda Handwriting type font; “PHONE 310.822.8349” in 2.7-inch high blue Lucinda Sans type font; “SEE US NOV. 7 & 21 – DEC. 5 & 19 – JAN. 9 & 23” in 2.5-inch high blue Lucinda Handwriting type font; and “S & K DIVE SERVICE, INC” in 4-inch high blue and green Stencil type font. The banners will be placed at the following locations:
- One 3-foot high by 6-foot wide white vinyl banner on the fence at the west end dock of Chace Park (P-EE);
- One 3-foot high by 6-foot wide white vinyl banner on the fence at the west side of Parcel 44, facing Basin G;
- One 3-foot high by 6-foot wide white vinyl banner on the fence at the southeast dock of Parcel 42 (Marina International Hotel), facing the main channel;
- One 3-foot high by 6-foot wide white vinyl banner on the fence at the northeast dock of Parcel 42 (Marina International Hotel), facing the main channel;
- One 3-foot high by 6-foot wide white vinyl banner on the fence at the north side of Parcel 42 (Marina International Hotel), facing Basin F; and
- One 3-foot high by 6-foot wide white vinyl banner on the fence at the west side of Parking Lot Five (P-UR), facing Basin F.
The banners are permitted only on November 7 and 21, 2009, December 5 and 19, 2009, and January 9 and 23, 2010. The banners must be removed by nightfall each day. Failure to remove the banners by this time will result in their removal and storage by the County of Los Angeles at your expense.
Because of the low intensity of the events, involving a person and a dinghy, no Right of Entry permit will be required. However, all activity to be done by S & K Dive Service, Inc. will be done at the company’s risk and all liability will be assumed by S & K.
Should you have any further questions or requests, please contact Cesar Espinosa at 310-305-9530.
Very truly yours,
SANTOS H. KREIMANN, DIRECTOR
Charlotte Miyamoto, Chief
Planning Division
SHK:CM:CE
cc: Wayne Schumaker
Mark Spiro
Ken Edson
Seth Curtis
Lynn Atkinson
Angelica Gunderson
Jules Trefler
Sal Iannotti
October 21, 2009
Ms. Sharon Swearingen
The Cheesecake Factory
4142 Via Marina
Marina del Rey, CA 90292
TEMPORARY TENT AT THE CHEESECAKE FACTORY (P-22)
(TP 09-026)
Dear Ms. Swearingen:
By means of this letter and subject to the terms and conditions of the appropriate permits from the County of Los Angeles Department of Public Works, Building and Safety Division (310-534-3760), and the Fire Department (310-358-2380), the Cheesecake Factory and Smart Party Rents are permitted to place one temporary white canopy-style tent with transparent windows, measuring 15' W by 45' L by 13' high, on a portion of its beachfront cafe area.
The tent is permitted from November 17, 2009 to December 28, 2009 and must be removed by noon on December 29, 2009. Failure to remove the tent by this time will result in its removal and storage by the County of Los Angeles at the permittee’s expense.
Very truly yours,
SANTOS H. KREIMANN, DIRECTOR
Charlotte Miyamoto, Chief
Planning Division
SHK:CM:CE
cc: Wayne Schumaker
Mark Spiro
Ken Edson
Seth Curtis
Lynn Atkinson
Bob Nickens
November 3, 2009
Jill Peterson
Pacific Ocean Management
13575 Mindanao Way
Marina del Rey, CA 90292
TEMPORARY TENT AT SAPORI RESTAURANT (PARCEL 56)
(TP 09-027)
Dear Ms. Peterson:
By means of this letter and the appropriate permits from the County of Los Angeles Department of Public Works, Building and Safety Division (310-534-3760) and the Fire Department (310-358-2380), Sapori Italian Restaurant is permitted to place one tent on their patio area at 13723 Fiji Way, Marina del Rey. The tent will be a 20-foot by 25-foot white canopy style with one transparent sidewall on the east side. It will be thirteen feet high at the center and eight feet high at the edges, secured with 70-pound bases at each leg and placed according to the attached site plan.
The tent is permitted from December 5, 2009 through January 4, 2010. The tent must be removed by noon on January 5, 2010. Failure to remove the tent by this time will result in its removal and storage by the County of Los Angeles at your expense. Please note: during this event, public access along the waterfront promenade must be maintained. If you have any further questions or requests, please contact Cesar Espinosa at 310-305-9530.
Very truly yours,
SANTOS H. KREIMANN, DIRECTOR
Charlotte Miyamoto, Chief
Planning Division
SHK:CM:CE
Cc: Wayne Schumaker
Mark Spiro
Ken Edson
Seth Curtis
Lynn Atkinson
Sal Iannotti
November 12, 2009
TO: Design Control Board
FROM: Santos H. Kreimann, Director
SUBJECT: ITEM 7B - ONGOING ACTIVITIES REPORT
BOARD OF SUPERVISORS ACTIONS ON ITEMS RELATING TO MARINA DEL REY
On November 3, 2009, the Board of Supervisors approved a cooperative agreement between the County and the Cities of Culver City and Los Angeles to provide for the transfer of approximately $1.5 million in Costco regional traffic mitigation funds to be used for the Admiralty Way from Fiji Way to Via Marina intersection improvement projects and/or the Washington Blvd. at Palawan Way project.
On September 15, 2009, the Board of Supervisors approved an assignment of a general partnership interest for Parcel 18R (Dolphin Marina) to facilitate the refinancing of the current loan on the leasehold.
REGIONAL PLANNING COMMISSION'S CALENDAR
Tentatively scheduled for the Regional Planning Commission's December 16, 2009 agenda is the continued hearing (from October 21, 2009) for the projects proposed on Parcel OT (Oceana Retirement Facility) and Parcel 21 (Panay Way Marina).
LOCAL COASTAL PROGRAM PERIODIC REVIEW UPDATE
County staff continues to work on the response to the Coastal Commission's Local Coastal Program Periodic Review recommendations and findings, which is due on April 29, 2010.
SMALL CRAFT HARBOR COMMISSION MINUTES
The July and September 2009 meeting minutes have not yet been approved by the Commission. There was no October 2009 meeting.
MARINA DESIGN GUIDELINES UPDATE
Staff is discussing minor revisions of the Design Guidelines as to the Streetscape chapter.
REDEVELOPMENT PROJECT STATUS REPORT
Attached is a copy of the project status report providing details and the current status of projects in the redevelopment process in the Marina. Copies of this report are also available at the Lloyd Taber-Marina del Rey Public Library and on the Department's website (marinadelrey.lacounty.gov).
SHK:ks
Attachment
| Map Key | Parcel No. -- Project Name/Leasee | Lessee Name/Representative | Redevelopment Proposed | Massing and Parking | Status | Regulatory Matters |
|---------|----------------------------------|---------------------------|------------------------|--------------------|--------|-------------------|
| 1 | Tahm Marina/K. Hakim | Karam Hakim | * Building refurbishment and relocating landside floating facilities
* Decks will not be reconstructed at this time | Parking – Possible slight reduction of parking due to relocation of landside floating facilities. Impact is currently unknown | Proprietary – Term sheet initiated on 9/28/09
Regulatory – Initial Study received by Regional Planning in May 2009 | No Variance proposed |
| 2 | Bay Club Decor Properties | David Nigel | * Building refurbishment, no-new construction
* Decks will be reconstructed | Parking – Two 43’ tall 5-story residential buildings over parking
* 50-foot wide waterfront promenade
* 75 slip parking spaces | Proprietary – Term sheet approved by BOS August 2008
Regulatory – DCB initial hearing May 2006; approved concept approval August 2008. Site Plan Review application filed with DRP on 12/4/08. The 9/6/08 public review of the MND ends 11/30/09 | No Variance proposed |
| 3 | Woodlin Suite Hotel and Waterway Ownership/ Woodlin Hotels | Ben Ryan | * 19-story, 288 room hotel (152 hotel rooms and 136 timeshare suites)
* 6-story, 560 stall parking structure
* New pool and fitness center
* 28 foot-wide waterfront promenade
* Wetland park | Massing – 19-story hotel with 5-story parking structure, 225’ tall, on northern half of parcel with view corridor and wetland park on southern half
Parking – All parking required of the project to be located on site | Proprietary – Term Sheet approved by BOS February 2007
Regulatory – DCB initial hearing May 2006, approved concept approval June 2006; Regional Planning application filed November 2006; RP Commission continued the item on 10/14/09 and requested a DCB review for preliminary improvements and setback variance prior to item returning to the Commissioner, anticipated DCB review on 12/17/09 | Timeshare component
Variance for enhanced signage and reduced setback adjacent to waterfront promenade |
| 4 | Neptune Marina/Legacy Partners | Scott McEachern | * 52-story apartments
* 145 units
* 7 co-ops
* 28 foot-wide waterfront promenade
* Replacement of public parking both on- and off-site | Massing – Four 55’ tall clustered 4-story residential buildings over parking with view corridor
Parking – 103 public parking spaces to be replaced off-site | Proprietary – Term sheet approved by BOS August 2006; knee documents approved by BOS August 2008
Regulatory – DCB initial hearing May 2006, approved in concept June 2006; Regional Planning application filed November 2006; RP Commission continued the item on 10/14/09 and requested a DCB review for preliminary improvements and setback variance prior to item returning to the Commissioner, anticipated DCB review on 12/17/09 | TCP attachment to allow apartments on Parcel FE; remove Open Space category; and to transfer development potential from other developed zones
Variance for enhanced signage and reduced setbacks |
| 5 | The Shoreline/Del Rey Shores | Jerry Epstein/ David Levine | * 548-unit apartment complex
* 10 new public parking spaces | Massing – Twelve 70’ tall 5-story residential buildings
Parking – All parking required of the project to be located on site plus 10 public beach parking spaces | Proprietary – Lease extension Option approved by BOS December 2008
Regulatory – Regional Planning approved June 2006; BOS board approved February 2006; and approved project March 2007. Per comment online, EIR relates also to grading; BOS approved EIR 12/10/08; Plancheck application filed | Variance for enhanced signage |
| 6 | Marina West Shopping Center/Gold Coast | Michael Poshan/ David Tabin | * 23,500 square feet of commercial/retail/restaurant | Massing – To be determined
Parking – All parking required of the project to be located on site | Proprietary – Term Sheet approved by BIS October 2007
Regulatory – DCB initial hearing May 2006; item then on June, July, and September agenda; conceptual approval granted November 2006 | |
| 7 | Marina International Hotel/IWF Marina View Hotel | Dale Margus/ Mike Barzani | * Complete refurbishment | Massing – 44 existing and proposed max height
Parking – To be determined | Proprietary – Term sheet under negotiation
Regulatory – DCB initial hearing November 2008; conceptual approval granted January 2009. Initial Study received by Regional Planning May 2008 | No Variance proposed |
| 8 | Occano Retirement Facility/Goldsmith & Kori Industries | Tony Goldschmidt/ Sherman Gardner | * 114-unit congregate care unit plus ancillary uses
* 297 apartments
* 32,400 square-foot restaurant/retail space
* Rooftop observation deck
* Replacement public parking both on- and off site
* Public accessway from Washington to Admiralty Way | Massing – One 5-story residential senior building over ground floor retail and parking, 67’ tall
Parking – 103 public parking spaces to remain on site
94 public parking spaces to be replaced off site near Marina Beach | Proprietary – Lease documents approved by BOS July 2008
Regulatory – Regional Planning approved June 2006; Regional Planning application filed May 2008. DEIR public review period from 9/3/10-10/10/09. RP Commission continued the project during the 10/21/09 hearing to 12/16/09 | TCP attachment to create Active Senior’s Accommodations Land Use Overlay Zone; TCP attachment to create Seniors Accommodations with Mixed Use Overlay Zone; and TCP attachment to create Senior Development Zones
Parking permit for senior retirement facility and to allow some replacement public parking off site
No Variance proposed |
| 9 | The Waterfront | Ed Craker/Derek Johnson | * 297 apartments
* 32,400 square-foot restaurant/retail space
* Rooftop observation deck
* Replacement public parking both on- and off site | Massing – Three 5-story mixed use residential/staff buildings (two 44’ tall and one 61’ tall) with view corridor
Parking – All required project parking to be located on site; 69 public parking spaces to be replaced on site. | Proprietary – Lease documents in process and economic terms being negotiated
Regulatory – DCB concept approval August 2004; revised project to DCB on August 2008. Item December 2008 where it was continued | LCP amendment to add Residential V and a Mixed Use Overlay Zone to Parcel 51, and, rezone NR to Visitor Serving/Commercial Business Use Overlay Zone.
Parking permit to allow some replacement public parking off site
No Variance required |
| 10 | Marriott Residence Inn/Pacific Hotels | Dale Margus/ Mike Barzani | * 147-room hotel
* Replacement of 4 publics; parking both on- and off site
* Marina Beach Promenade | Massing – Two hotel buildings above parking, 45’ tall, with view corridor
Parking – 197 public parking spaces to remain on site; 20 or 89 public parking spaces to be replaced off site | Proprietary – Lease documents approved by BOS Oct 2006
Regulatory – DCB approved in concept February 2008; Regional Planning application in preparation | LCP amendment to rezone site from Parking to Bond
Parking permit to allow some replacement public parking off site
No Variance required |
| 11 | Holiday Harbor Coast/Goldsmith & Kori Industries | Jenna Goldschmidt/ Sherman Gardner | Phase 1: * 5-story, 29,300 square-foot mixed-use building (health club, yoga club, marine office)
* 92 units
* 28 foot-wide waterfront promenade and pedestrian plaza
Phase 2: * Westcoast portion of land to revert to County for public parking | Massing – One 56’ tall commercial building with view corridor
Parking – All parking required of the project to be located on site, including 94 replacement spaces from Phase 1 | Phase 1
Proprietary – Lease documents approved by BOS July 2008
Regulatory – DCB’s conceptual approval granted August 2005. Regional Planning application (landmark) filed September 2006. DEIR public review period from 9/3/10-10/10/09. RP Commission continued the project during the 10/21/09 hearing to 12/16/09
Phase 2 (Part 1&2)
DCB hearing March and April 2006; item continued | LCP Amendment to transfer parking from OFE to 21 CDP for landmark from Coastal Commission
CDP for landmark from Coastal Commission
No Variance proposed |
| 12 | Marina del Rey Hotel/IWF MDR Hotel | Dale Margus/ Mike Barzani | * Complete refurbishment and dock replacement | Massing – 56’ tall hotel building
Parking – 372 parking spaces | Proprietary – Term sheet under negotiation
Regulatory – To be determined | No Variance proposed |
| 14 | Pacific Marine Venture | Ronald B. Davis/ David Tabin | * Rebuild 4 new wine serving commercial and dry storage buildings
* 191,089 s.f. visitor serving commercial space
* 100,000 s.f. 71.5’ tall view corridor proposed (255’ tall registered)
* 143 slips + 5 boaties and 214 slip storage spaces | Massing – Four new 5-story wine serving commercial buildings, maximum 50’ tall and one dry stack storage building, maximum 71.5’ tall, with view corridor proposed (255’ tall registered)
Parking – 581 + 40 dock parking spaces will be provided with shared parking agreement (402 parking spaces are required) | Proprietary – Term sheet approved by BOS July 2006. SCBRE approved March 2007. BOS approved Option May 2007
Regulatory – DCB on May 2007 continued from March 2007 meeting. April meeting cancelled. DEIR APPROVED! project. Regional Planning application filed December 2008. Scrutinized Draft EIR received July 2009. | Shared Parking Agreement
No Variance proposed |
| 15 | Fisherman’s Village/Gold Coast | Michael Poshan/ David Tabin | * 126-room hotel
* 65,700 square foot restaurant/retail space
* 30 slip new marina
* 28 foot-wide waterfront promenade | Massing – Nine mixed use hotel/visiting commercial/retail/dining structures (eight 40’ or 2-story and one 60’ tall hotel) over ground floor retail/restaurat; parking structure with view corridor
Parking – All parking required of the project to be located on site; must include parking for adjacent Parcel 64. Transfer of Ratio and replacement parking from Parcel 52 | Proprietary – Lease documents approved by BOS December 2005
Regulatory – DCB hearing May 2006; item continued; approval in concept July 2006. Regional Planning application filed May 2007. Scrutinized DEIR in review. | LCP amendment to rezone site to Boat Storage and to transfer Public Facility use to another parcel
Variance for reduced setbacks and Architectural Guidelines
Maximum building height will be within 15 ft. of bulkhead
Shared Parking Agreement
No Variance proposed |
| 16 | Villa Venetia/Lyon | Peter Zak | * Complete refurbishment | Massing – Existing 244 units in 3 stories with patios over parking
Parking – All parking located on site | Proprietary – Term sheet approved by BOS August 2008
Regulatory – DCB continued item from July 2008 and approved a redevelopment concept October 2008. Regional Planning application filed December 2008. Project has changed. Refurbishment rather than redevelopment now proposed. Initial study filed with DRP in May 2009. | No Variance proposed |
Note: Height information for projects will be shown as information becomes available.
PROJECT STATUS REPORT - KEY
Rev 07/29/09
November 12, 2009
TO: Design Control Board
FROM: Santos H. Kreimann, Director
SUBJECT: AGENDA ITEM 7C - MARINA DEL REY & BEACH SPECIAL EVENTS
MARINA DEL REY
47th ANNUAL HOLIDAY BOAT PARADE
Saturday, December 12
6:00 p.m. – 8:00 p.m.
Fireworks kicking off the start of the parade will be shot off the south jetty at 5:55 p.m. Beautifully lighted and decorated boats will participate in the event that is free to the public. The theme of this year’s parade is “Christmas In Paradise”. Boat owners will compete for numerous prize packages, including a trip to Hawaii.
Best spots for viewing the boat parade are Burton Chace Park, located at 13650 Mindanao Way, and Fisherman’s Village, located at 13755 Fiji Way, where spectators can see and hear the parade free of charge.
Parking is available in County lots throughout Marina del Rey.
For more information call: The Holiday Boat Parade at (310) 670-7130 or visit the website at mdrboatparade.org
FISHERMAN’S VILLAGE WEEKEND CONCERT SERIES
Sponsored by Pacific Ocean Management, LLC
All concerts from 2:00 p.m. - 5:00 p.m.
Saturday, November 14
LA CAT, playing Reggae
Sunday, November 15
2 AZZ 1 Body & Soul Band, playing Smooth Jazz with Vocals & Sax
Saturday, November 21
Spare Time, playing Smooth Jazz
Sunday, November 22
Bernie Meisinger Band, playing Jazz Standards & American Song Book
Saturday, November 28
Moondance, playing Big Band Swing
Sunday, November 29
Susie Hansen Latin Jazz Band, playing Latin Jazz
For more information call: Pacific Ocean Management at (310) 822-6866
BEACH EVENTS
MALIBU INTERNATIONAL MARATHON 2009/HEALTH & FITNESS EXPO
Zuma Beach
30500 Pacific Coast Highway, Malibu
Friday, November 13 11:00 a.m. – 7:00 p.m.
Saturday, November 14 9:00 a.m. – 5:00 p.m.
Sunday, November 15 7:00 a.m. – 1:30 p.m.
The Malibu International Health and Fitness expo will have a variety of cutting edge exhibitors. Take advantage of the expo experience - try on running gear, sample electrolytes, water and energy bars and listen to health experts give tips on running and nutrition. All racers are required to attend the Health & Fitness Expo.
For more information visit: website malibuintmarathon.com
GI JOE PIER-TO-PIER WALK/RUN
Hermosa Beach Pier
Saturday, November 14
7:00 a.m. – 10:00 a.m.
Approximately four-mile sand run for everyone of all fitness levels. Bring your family and friends and experience the challenge and the fun together.
For more information visit: Joe Charles at firstname.lastname@example.org
SAND SNOWMAN CONTEST
Hermosa Beach Pier
Saturday, December 12
9:00 a.m. to 12:00 p.m.
The weatherman says it's nothing but Sand! Sand! Sand! Bring your family and friends, shovels, scarves and mittens, because in Hermosa Beach, they are making SAND SNOWMEN! This unique holiday tradition is open to all ages and abilities. Come early and mark your spot for the best Sand Snowman! Event check-in begins at 8:45 a.m. with sand sculpting beginning at 9:00 a.m.
For more information call: Community Resources Department at (310) 318-0280
SHK:cm
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STATE OF WISCONSIN
CIRCUIT COURT
KENOSHA COUNTY
Kristi Lacroix and
CarrieAnn Glembocki,
Plaintiffs,
v.
Case No. 13-CV-1899
Kenosha Unified School District Board of Education,
Kenosha Unified School District, and
Kenosha Education Association Building Corporation,
d/b/a Kenosha Education Association,
Defendants.
PLAINTIFFS’ BRIEF IN SUPPORT OF MOTION FOR A TEMPORARY INJUNCTION
INTRODUCTION
On Friday, November 15, 2013, Defendant Kenosha Unified School District Board of Education (the “Board”) voted to approve a collective bargaining agreement between the Kenosha Unified School District (the “School District”) and the Kenosha Education Association Building Corporation, d/b/a Kenosha Education Association (“KEA”). That is a blatant violation of state law. The unlawful agreement contains provisions with respect both to wages and to the factors and conditions of employment that are illegal subjects for collective bargaining between school districts and their employees. In addition, the agreement requires teachers to pay union dues against their will under a so-called “fair share” provision. Such provisions are expressly prohibited by state law.
Plaintiffs’ Complaint seeks a declaration that the November 15, 2013, collective bargaining agreement (the “CBA”) between the School District and KEA is invalid on the grounds that: (a) KEA is not the authorized bargaining agent of Kenosha teachers; (b) the CBA is the product of unlawful collective bargaining in violation of Wis. Stat. § 111.70(4)(mb); (c) the CBA violates teachers’ rights under Wis. Stat. § 111.70(2); (d) the CBA is an unlawful agreement in restraint of trade in violation of Wis. Stat. § 133.03(1); and (e) the CBA was the result of a violation of the Wisconsin Open Meetings Act. The Plaintiffs are Kristi Lacroix, a
School District taxpayer, and CarrieAnn Glembocki, a Kenosha teacher. The Plaintiffs seek a temporary injunction under Wis. Stat. §813.02 preventing the implementation of the unlawful CBA pending a full hearing on the merits.
FACTUAL BACKGROUND
The Parties
Plaintiff Kristi Lacroix is a resident of the Town of Somers in Kenosha County and is a taxpayer whose taxes are used to fund the School District. (Lacroix Aff. ¶¶ 2-3.) Plaintiff CarrieAnn Glembocki is currently employed by the School District as a teacher. (Glembocki Aff. ¶ 2.) Ms. Glembocki has been employed by the School District since January, 2008. (Id.) She is a “general municipal employee” as defined in Wis. Stat. §111.70(1)(fm). The School District is a “municipal employer” as defined in Wis. Stat. §111.70(1)(j). The Board has the powers set forth in Wis. Stat. § 120.12. The School District and the Board are “governmental bodies” as defined in Wis. Stat. § 19.82(1). KEA is a union that purports to represent Kenosha public school teachers in collective bargaining with the Board and the School District.
Act 10
In 2011, the Wisconsin Legislature enacted sweeping changes to the statutes that govern collective bargaining between public employees and their employers. These changes included 2011 Act 10 together with 2011 Act 32, which amended and modified Act 10. Act 10 became the law in Wisconsin on June 29, 2011, Act 32 on July 1, 2011. Act 32 and Act 10 (together known as “Act 10”), among other things, amended Wis. Stat. § 111.70, the statute that governs collective bargaining between municipal employers and municipal employees. Section 111.70(4)(mb), as amended by Act 10, now prohibits municipal employers such as the School District from bargaining collectively with a union representing its employees with respect to any of the factors or conditions of employment, including the deduction of union dues or the payment of nonmember “fair share” fees, except for total base wages. Base wages do not include overtime, premium pay, merit pay, pay schedules, or automatic pay progression. Wis. Stat. § 111.70(4)(mb). Act 10 also prohibits municipal employers from “deduct[ing] labor organization dues from the earnings of a general municipal employee or supervisor.” § 111.70(3g).
Pursuant to Act 10, teachers have the right, among other things, to: (a) vote in an annual election on the certification of a collective bargaining agent; (b) refrain from union activity: (c) not pay union dues; and (d) not pay any amount under any so-called “fair share” agreements, i.e. provisions in union contracts that require non-union teachers to pay a union a portion of union dues against their wishes. Wis. Stat. § 111.70(2) and (4)(d).
**Act 10 Litigation**
In the wake of its passage by the Legislature, several lawsuits were filed that challenged the validity of Act 10 on constitutional or other grounds. The U.S. District Court for the Western District of Wisconsin dismissed many of these challenges and, on appeal, the U.S. Court of Appeals for the Seventh Circuit dismissed all challenges to the statute on federal constitutional grounds. *WEAC v. Walker*, 705 F.3d 640 (7th Cir. January 18, 2013).¹ On September 11, 2013, the U.S. District Court of the Western District of Wisconsin upheld Act 10 against a related constitutional challenge similar to the one raised in *Madison Teachers, Inc. v. Walker*, Dane County Circuit Court No. 11CV3774, discussed below, dismissing that case as well. *Laborers Local 236, AFL-CIO v. Walker*, 2013 WL 4875995 (W.D. Wis. Sept. 11, 2013). On October 23, 2013, the Dane County Circuit Court, the Honorable John Markson, presiding, upheld Act 10 against another constitutional challenge brought by state employees and a union representing them, dismissing that case. *Wisconsin Law Enforcement Association v. Walker*, Dane County Circuit Court No. 12CV4474.
But on September 14, 2012, contrary to these other judicial decisions, another Dane County Circuit Court judge, the Honorable Juan Colás, held parts of Act 10 to be in violation of the Wisconsin State Constitution. *Madison Teachers, Inc. v. Walker*, Dane County Circuit Court No. 11CV3774. That decision was appealed to the Wisconsin Court of Appeals, and then certified to the Wisconsin Supreme Court. The Wisconsin Supreme Court heard oral argument on November 11, 2013 but has not yet decided the case. On November 21, 2013, however, the Wisconsin Supreme Court vacated a contempt order issued by the circuit court in *Madison Teachers*.
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¹ Copies of each of the Act 10 cases cited in this section of the brief are being provided to the Court in a separate appendix filed herewith.
Recent History of the School District and KEA
At the time of the passage of Act 10 there was a collective bargaining agreement in place between the School District and the Kenosha Education Association (“KEA”). That agreement expired on June 30, 2013. (Lacroix Aff. ¶5.) A copy of the expired collective bargaining agreement is attached to the Complaint in this case as Exhibit L. The expired collective bargaining agreement contained numerous provisions that are no longer allowed to be the subject of lawful collective bargaining under Act 10. *See* Wis. Stat. § 111.70(4)(mb). Act 10 would now forbid, for example, the previous agreements on Working Conditions, Teacher Assignments, Fringe Benefits, Wages (other than base wages), Teacher Tenure, Dismissal, Non-Teaching Duties, Payroll Deductions, Union Dues, “Fair Share”, Sick Leave (and other absences), Teacher Evaluations, and Grievance Procedures set forth in the agreement. *See* Wis. Stats. § 111.70(4)(mb). In fact, virtually all of the expired collective bargaining agreement would be illegal under Act 10 because Act 10 limits the subject of collective bargaining to only base wages.
Moreover, under Act 10, KEA was automatically decertified as the collective bargaining representative for the Kenosha teachers at the end of the expired agreement (*i.e.*, as of June 30, 2013), unless it was recertified as their collective bargaining representative in an election on or before December 1, 2013, as required by Wis. Stat. § 111.70(4)(d)3.a. Section 111.70(4)(d)3.a. states as follows: “If no representative receives at least 51 percent of the votes of all of the general municipal employees in the collective bargaining unit [in the required election], *at the expiration of the collective bargaining agreement, the commission shall decertify the current representative and the general municipal employees shall be nonrepresented.*”) (emphasis added).
On September 13, 2013, KEA declared that it was not going to be filing for recertification and therefore would not request the election required by Act 10. Complaint, Exhibit C.² No election was held to certify KEA as the collective bargaining agent for Kenosha teachers after the expiration of the previous collective bargaining agreement on June 30, 2013. (Lacroix Aff. ¶ 6.) As a result, KEA was decertified as a matter of law by the provisions of Wis. Stat. § 111.70(4)(d)3.a., and KEA lacks the statutory authority to collectively bargain on behalf of Kenosha teachers including Ms. Glembocki, even over base wages.
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² The Court can take judicial notice of the public facts as set forth in the newspaper articles and Board records attached to the Complaint. *See* Wis. Stat. §902.01. The Plaintiffs do not anticipate that any of these public facts will be disputed.
On January 29, 2013, the Board approved the adoption of an employee handbook that would replace all school district employee contracts that were created through collective bargaining. (The January 29th Board minutes are attached to the Complaint as Exhibit D.) The handbook was scheduled to go into effect on July 1, 2013 which was the day after the expiration of the then existing collective bargaining agreement.
But the handbook was not implemented on July 1, 2013. Instead, the Board decided to collectively bargain with KEA in violation of Act 10. The agenda for the Board’s October 22, 2013, regular monthly meeting contains an item labeled “Old – Business Continued, L. Discussion/Action Adoption of Employee Handbook.” (The relevant sections of the October 22, 2013 agenda are attached to the Complaint as Exhibit F.)
Page 84 of the Agenda provides further information on the Agenda item:
Effective July 1, 2013, the collective bargaining agreements between Kenosha Unified School District and the Kenosha Education Association (Teachers, Educational Support Professionals, Interpreters, Carpenters and Painters and Substitute Teachers) and Local 2382 (Secretary Union) expired. Therefore, with the implementation of Act 10, which prohibits unions and employers from bargaining over conditions of employment other than base wages, the Administration is recommending the adoption of a district-wide employee handbook.
Although the handbook was originally adopted in January 2013, in July of 2013, the Board of Education directed the Administration to “meet and confer” with employees groups regarding concerns associated with the original handbook. A series of meetings were held and recommendations from those meetings were incorporated into the draft handbook which will be available on the KUSD website by noon on Tuesday, October 22, 2013.
At the October meeting, instead of taking up the Employee Handbook, Board member Taube introduced a three-part motion. She moved to “postpone action on the Employee Handbook” until November 26, 2013,” “that KUSD administration and members of the School Board begin to bargain with the respective represented groups regarding mandatory and permissive subjects to reach an agreement no later than November 15, 2013,” and “that the School Board maintain the status quo with respect to all mandatory subjects of bargaining as provided for by the represented groups’ respective 2011-2013 Agreements, and the SEIU 2009-
2013 Agreement,\(^3\) until new agreements have been ratified.” A copy of the Taube motion is attached the Complaint as Exhibit G.
The Agenda for the October 22, 2013, Board meeting contained no notice that the Board would be discussing and voting on engaging in collective bargaining with its employees’ unions, including KEA. The Board nevertheless approved the Taube motion by a vote of 4-3. Based upon the Board’s decision on October 22, 2013, the School District and the Board began collective bargaining with KEA, including but not limited to bargaining which occurred on Friday, November 8, 2013. Complaint, Exhibit H.
On Saturday, November 9, 2013, the Board held another meeting, most likely in response to complaints that it had violated the Open Meetings law by authorizing negotiation at its October meeting without placing that topic on its agenda. Thus, the Board met for the ostensible purpose of “discussion/action regarding commencing collective bargaining negotiations” (emphasis added), even though collective bargaining had already started. A copy of the notice for the November 9\(^{th}\) meeting is attached to the Complaint as Exhibit I. It is of course remarkable that the Board was meeting on November 9\(^{th}\) to discuss “commencing” collective bargaining that had already occurred the day before.
In any event, the unlawful (and apparently unauthorized) collective bargaining that had occurred on Friday, November 8\(^{th}\) led to agreement between the School District and KEA and on Monday, November 11\(^{th}\) they signed a copy of a Tentative Agreement. A copy of the Tentative Agreement is attached to the Complaint as Exhibit J. The Board then held a meeting on November 12, 2013, to determine whether it would ratify the Tentative Agreement. At the November 12\(^{th}\) meeting the Board voted to postpone the decision on whether or not to ratify the collective bargaining agreement until its regularly scheduled meeting on November 26, 2013.
However, on November 14, 2013, the Board scheduled a meeting on 24-hour’s notice for 10:00 a.m. on November 15, 2013 to ratify the collective bargaining agreement. A copy of the November 14\(^{th}\) notice is attached to the Complaint as Exhibit K. At the November 15\(^{th}\) meeting the Board, by the same 4-3 vote, ratified the terms of the Tentative Agreement (Complaint, Exhibit J) that had been negotiated based on the authorization at the October 22, 2013 meeting and which occurred on November 8, 2013. Their ratification resulted in a final agreement, the CBA.
\(^3\) The SEIU represents certain non-teacher employees.
The CBA consists of all of the terms of the collective bargaining agreement that had expired on June 30, 2013, as amended by the Tentative Agreement. A copy of the previous collective bargaining agreement is attached to the Complaint as Exhibit I. The copy of the previous collective bargaining agreement that is attached to the Complaint is not signed but it is the copy that was posted on the School District’s website while the agreement was in effect. (Lacroix Aff. ¶ 5.)
The CBA includes numerous provisions which are unlawful for collective bargaining under Act 10. It covers matters that go far beyond what is permitted by Act 10, including but not limited to provisions on working conditions, teacher assignments, fringe benefits, teacher tenure, payroll deductions for union dues, “fair share” payments, wages (other than base wages), employee healthcare contributions, retiree healthcare, pension, sick leave, and pay schedules, etc. all of which are expressly prohibited by Wisconsin law. Moreover, the CBA includes terms which violate the specific rights of teachers under Act 10.
ARGUMENT
I. THE PLAINTIFFS ARE ENTITLED TO A TEMPORARY INJUNCTION PROHIBITING THE IMPLEMENTATION OF THE CBA
Section 813.02 Wis. Stats. provides that “when during the litigation it shall appear that a party is doing or threatens or is about to do, or is procuring or suffering some act to be done in violation of the rights of another party and tending to render the judgment ineffectual, a temporary injunction may be granted to restrain such act.” The standards for the issuance of an injunction under § 813.02 are well-known:
The cause must be substantial. A temporary injunction is not to be issued unless the movant has shown a reasonable probability of ultimate success on the merits. Temporary injunctions are to be issued only when necessary to preserve the status quo. Injunctions are not to be issued without a showing of a lack of adequate remedy at law and irreparable harm, but at the temporary injunction stage the requirement of irreparable injury is met by a showing that, without it to preserve the status quo pendente lite, the permanent injunction sought would be rendered futile.
*Werner v. A. L. Grootemaat & Sons, Inc.*, 80 Wis. 2d 513, 519-20, 259 N.W.2d 310, 313-14 (1977).
The Plaintiffs can meet each of these requirements. The Plaintiffs have a high probability of success on the merits. Act 10 is constitutional and enforceable as against the Board, the School District, and KEA. The CBA ratified by the Board for the School District blatantly violates Act 10. The CBA requires the immediate lump sum payment of $1,100 to each of the School District’s teachers. There are approximately 1,500 teachers employed by the School District which amounts to a total immediate payment of approximately $1.65 million. (Lacroix Aff. ¶ 12.) Once this money is spent, it cannot be practically recouped. The payments are not the proper subject of a collective bargaining agreement. A lump sum payable to each teacher is not a negotiated increase in base wages. The CBA also provides for increases in teacher compensation that exceed the limits under Act 10. Even if the lump sum payment could be characterized as an increase in base wages, for certain teachers,\(^4\) the $1,100 increase would exceed the percentage increase permitted under Act 10. See Exhibit J at p. 5.
In addition, the CBA requires Kenosha teachers to make fair share payments to the KEA against their will in further violation of Act 10. Section XI(B) at pages 19-20 of the previous collective bargaining agreement (Complaint, Exhibit L) specifically states that “all employees covered by this Agreement shall become members of the Kenosha Education Association or pay to the Association their proportionate share of the cost of collective bargaining process and contract administration ....” This provision was not modified or amended in any way by the Tentative Agreement (Complaint, Exhibit J). It is unlawful both as a prohibited subject of collective bargaining, Wis. Stat. § 111.70(4)(mb) and as a violation of municipal employees’ rights under Act 10, § 111.70(2).
Section XI(B) further contains the procedures for the School District to automatically deduct such forced dues from the employees’ payroll checks. As well as being a prohibited subject of collective bargaining, § 111.70(4)(mb), such deductions are expressly prohibited by Act 10, § 111.70(3g).
The CBA also changes teachers’ work day from the current 8 hours to a 7 \( \frac{1}{2} \) hour. Kenosha taxpayers are harmed by that provision because they are paying more money for approximately 6% fewer work-hours. All-told, teachers will work approximately 135,000 fewer hours during a school year (1,500 teachers x 30 minutes per day x 180 school days). In any
\(^4\) Those teachers earning less than approximately $53,140 per year. See infra, Section I.B. for the calculation.
event, collective bargaining on the length of the work day is prohibited by Act 10. § 111.70(4)(mb).
The Plaintiffs have no adequate remedy at law to prevent this conduct absent an injunction, and the Plaintiffs will be irreparably injured by these violations of law. The status quo in Kenosha is that Act 10 is the law of the land and the CBA dramatically changes that status quo.
A. The Plaintiffs Have a Reasonable Probability of Success on the Merits
1. Act 10 is constitutional and applicable to the parties to this case
The Plaintiffs are entitled to rely on the strong presumption that Act 10 is constitutional. *In re Termination of Parental Rights to Diana P.*, 2005 WI 32, 279 Wis. 2d 169, 179-80, 694 N.W.2d 344, 350. As the Wisconsin Supreme Court found in that case:
Generally, a challenged statute is presumed to be constitutional. *Cole*, 264 Wis. 2d 520, ¶ 11, 665 N.W.2d 328; *Lounge Mgmt., Ltd. v. Town of Trenton*, 219 Wis. 2d 13, 20, 580 N.W.2d 156 (1998); *State v. Konrath*, 218 Wis. 2d 290, 302, 577 N.W.2d 601 (1998). This presumption is based on our respect for a co-equal branch of government and is meant to promote due deference to legislative acts. *Cole*, 264 Wis.2d 520, ¶ 18, 665 N.W.2d 328. “[E]very presumption must be indulged to sustain the law.” *Jackson v. Benson*, 218 Wis. 2d 835, 853, 578 N.W.2d 602 (1998); *accord Cole*, 264 Wis. 2d 520, ¶ 11, 665 N.W.2d 328.
The court must resolve any doubt about the constitutionality of a statute in favor of upholding its constitutionality. *Kelli B.*, 271 Wis. 2d 51, ¶ 16, 678 N.W.2d 831; *Cole*, 264 Wis. 2d 520, ¶ 11, 665 N.W.2d 328. Further, “‘[g]iven a choice of reasonable interpretations of a statute, this court must select the construction which results in constitutionality.’” *American Family Mut. Ins. Co. v. Wisconsin Dep’t of Revenue*, 222 Wis. 2d 650, 667, 586 N.W.2d 872 (1998) (quoting *State ex rel. Strykowski v. Wilkie*, 81 Wis. 2d 491, 526, 261 N.W.2d 434 (1978)).
A party challenging a statute's constitutionality bears a heavy burden to overcome the presumption of constitutionality. *Dowhower v. West Bend Mut. Ins. Co.*, 2000 WI 73, ¶ 10, 236 Wis. 2d 113, 613 N.W.2d 557. Therefore, it is insufficient for the party challenging the statute to establish either that the statute's constitutionality is doubtful or that the statute is probably unconstitutional. *Cole*, 264 Wis. 2d 520, ¶ 11, 665 N.W.2d 328; *Jackson*, 218 Wis. 2d at 853, 578 N.W.2d 602. Instead, a party challenging a statute's constitutionality must demonstrate that the statute is unconstitutional beyond a reasonable doubt. *Cole*, 264 Wis. 2d 520, ¶ 11, 665 N.W.2d 328; *Jackson*, 218 Wis. 2d at 853, 578 N.W.2d 602; *Konrath*, 218 Wis. 2d at 302, 577 N.W.2d 601.
In determining the constitutionality of Act 10, this Court is not bound by the Dane County Circuit Court’s decision in *Madison Teachers*. See *Kuhn v. Allstate Ins. Co.*, 181 Wis. 2d 453, 468, 510 N.W.2d 826, 832 (Ct. App. 1993) aff’d, 193 Wis. 2d 50, 532 N.W.2d 124 (1995) (“circuit court decision is neither precedent nor authority”); *Raasch v. City of Milwaukee*, 2008 WI App 54, ¶8, 310 Wis. 2d 230, 240, 750 N.W.2d 492, 497 (“[A]lthough circuit-court opinions may be persuasive because of their reasoning, they are never ‘precedential.’”) (emphasis in original).
The Dane County Circuit Court erred in *Madison Teachers* by conflating the constitutional right to associate with the statutory privilege of collective bargaining. Indeed, the United States District Court for the Western District of Wisconsin recently rejected the very constitutional argument accepted by the Dane County Circuit Court for that reason. *Laborers Local 236, AFL-CIO v. Walker*, No. 11-cv-462, 2013 WL 4875995 (W.D. Wis. Sept. 11, 2013). Moreover, the United States Court of Appeals for the Seventh Circuit rejected the same argument in *WEAC v. Walker*, 705 F.3d 640 (7th Cir. 2013), as did Judge Markson (another Dane County Circuit Court judge) in another action, *Wisconsin Law Enforcement Ass’n v. Walker*, Case No. 12-CV-4474 (Order dated Oct. 23, 2013).
Furthermore, the Wisconsin Supreme Court recently made clear that the ruling in *Madison Teachers* did not bar the application of Act 10 to non-parties – in essence that there was no “window” for other unions to avoid Act 10. Judge Colás’ October 25, 2013 order found WERC in contempt for its efforts to apply Act 10 to non-parties (including KEA) and directed the Commissioners to cease and desist from doing so. The Wisconsin Supreme Court vacated that order on November 21, 2013, finding that the circuit court had exceeded its authority by “expand[ing] the scope of the September 2012 declaratory judgment by granting injunctive relief to non-parties.” *Madison Teachers, Inc. v. Walker*, 2012AP2067, Nov. 21, 2013 Order, ¶20. The court ruled that “by requiring [WERC] to cease application of [the municipal portions of Act 10] against non-parties in order to purge the contempt order, the circuit court granted different relief than it originally granted in the September 2012 order.” *Id.* (emphasis added). Logically, that could only be true if the original order did not grant relief as to non-parties.
As demonstrated by the decisions of the United States Court of Appeals for the Seventh Circuit, the United States District Court for the Western District of Wisconsin, Judge Markson, and the Wisconsin Supreme Court, Act 10 is constitutional. And, according to the supreme
court, Act 10 is the law in Wisconsin except as to the specific parties to the Dane County case, which does not include the KEA.\(^5\)
2. **The KEA had no authority to bargain with the School District on behalf of School District employees**
Act 10 requires that annually, the Wisconsin Employment Relations Commissions “shall conduct an election to certify the representative of the collective bargaining unit,” and that such “election shall occur no later than December 1 for a collective bargaining unit containing school district employees.” § 111.70(4)(d)3.b. (emphasis added). “If no representative receives at least 51 percent of the votes of all of the general municipal employees in the collective bargaining unit, at the expiration of the collective bargaining agreement, the commission shall decertify the current representative and the general municipal employees shall be nonrepresented.” *Id.* (emphasis added).
Thus, any union that does not receive 51% of the votes of all bargaining unit employees in an annual recertification election shall be decertified and the teachers in that district shall be nonrepresented. That applies directly to KEA, which did not receive 51% of the votes of the Kenosha teachers in a recertification election and, as a result, was decertified as a matter of law and does not represent the Kenosha teachers. Any agreement negotiated by the Board or the School District with KEA is therefore void.
3. **The CBA violates Act 10**
Further, even if KEA was authorized to represent Kenosha teachers, the CBA itself, other than any agreement on base wages, was unlawful because it covers numerous subjects not permitted by Act 10. Section 111.70(4)(mb) expressly prohibits municipal employers such as the School District from bargaining collectively with a union representing its employees with respect to any of the factors or conditions of employment except for total base wages. Base wages do not include overtime, premium pay, merit pay, pay schedules, or automatic pay progression. Wis. Stat. § 111.70(4)(mb).
---
\(^5\) Although the KEA filed a motion in the *Madison Teachers* case seeking contempt, it did not move to intervene as a party, and furthermore was not involved in the case in any way at the time the court issued its September 2012 order.
The CBA contains provisions on Working Conditions, Teacher Assignments, Fringe Benefits, Teacher Tenure, Union Dues, “Fair Share” Payments, Wages (other than base wages) etc., all of which are expressly prohibited by Wisconsin law. It has been the law of Wisconsin for well over one hundred years that a contract made in violation of the law is void. *Melchoir v. McCarty*, 31 Wis. 252 (1872) (“The general rule of law is, that all contracts which are . . . contrary to the provisions of a statute, are void . . . .”); *Abbot v. Marker*, 2006 WI App 174, ¶6, 295 Wis. 2d 636, 722 N.W. 2d 162 (“A contract is considered illegal when its formation or performance is forbidden by civil or criminal statute . . . .”) (emphasis added).
This is as true for labor agreements as it is for other contracts. *Bd. of Ed. of Unified Sch. Dist. No. 1 v. WERC*, 52 Wis. 2d 625, 635, 191 N.W.2d 242, 247 (1971) (“A labor contract term that is violative of public policy or a statute is void as a matter of law.”); *Glendale Prof'l Policemen's Ass'n v. City of Glendale*, 83 Wis. 2d 90, 106, 264 N.W.2d 594, 602 (1978) (“When an irreconcilable conflict exists [between law and a labor agreement], we have held that the collective bargaining agreement should not be interpreted to authorize a violation of law.”). Because the CBA is a blatant violation of Act 10, it is void as a matter of law.
4. **The CBA violates Wis. Stat. §133.03**
The first Wisconsin antitrust statute was enacted in 1893. Amended several times since then, Chapter 133 of the Wisconsin statutes contains analogues to sections 1 and 2 of the Federal Sherman Act, as well as antitrust rules that are unique to Wisconsin law. Section 133.03 forbids agreements in restraint of trade, as does Section 1 of the Sherman Act. It is well-established that these state and federal antitrust statutes serve the same purposes, and federal court interpretations of the Sherman Act are controlling precedent for Wisconsin courts in their interpretation of Section 133.03. *See, e.g.*, *Grams v. Boss*, 97 Wis. 2d 332, 346, 294 N.W.2d 473, 480 (1980) (“We have repeatedly stated that sec. 133.01, Stats., was intended as a reenactment of the first two sections of the federal Sherman Antitrust Act of 1890 . . . and that the question of what acts constitute a combination or conspiracy in restraint of trade is controlled by federal court decisions under the Sherman Act.”); *State v. Waste Management, Inc.*, 81 Wis. 2d 555, 569, 261 N.W.2d 147, 153 (1978) (“[T]he broad variety of anticompetitive practices prohibited by the Sherman Act are illegal under the state act.”).
Historically, the U.S. Supreme Court generally held that the organized and concerted activities of employees to bargain as a unit with respect to the terms and conditions of their individual employment violated the Sherman Act as agreements in restraint of trade. *See, e.g.*, *Loewe v. Lawlor*, 208 U.S. 274 (1907). Thus, such activity would also constitute a violation of Wis. Stat. § 133.03.
In order to permit collective bargaining, Congress passed the Clayton Act, which provided an exception to the antitrust laws for labor organizations. Congress clarified and expanded this exception in the Norris-Laguardia Act of 1932, and subsequent court decisions have clarified the labor exemption by making it clear that it applies to the concerted activities of labor unions to the extent that their activities fall within the core labor market issues that are the subject of authorized collective bargaining. *See, e.g.*, *U.S. v. Hutcheson*, 312 U.S. 219 (1941); *Connell Constr. Co. v. Plumbers & Steamfitters, Local Union No. 100*, 421 U.S. 616 (1975).
However, but for this legislative exemption, collective bargaining would be unlawful as a matter of antitrust law. Collective bargaining by employees has the purpose and effect of eliminating competition among them and, absent the application of statutory labor market exemptions, the conduct of an employer in negotiating with a union would constitute an unlawful restraint of trade and thus violate the antitrust laws. “Among the fundamental principles of federal labor policy is the legal rule that employees may eliminate competition among themselves through a governmentally supervised majority vote selecting an exclusive bargaining representative.” *Wood v. NBA*, 809 F 2d. 954, 959 (2nd Cir. 1987) (emphasis added). Markets in which employees offer their services to employers are no different from other markets for antitrust purposes. *See, e.g.*, *In re NCAA I-A Walk-on Football Players Litigation*, 398 F. Supp. 2d 1144 (W.D. Wash. 2005); *Law v. NCAA*, 902 F. Supp. 1394 (D. Kan. 1995), aff’d, 134 F.3d 1010 (10th Cir. 1998). Agreements that restrict competition in labor markets are unlawful unless they are clearly related to and necessary to facilitate the authorized collective bargaining activity of legitimate labor unions. *See, e.g.*, *Brown v. Pro Football, Inc.*, 518 U.S. 231 (1996).
Like federal law, Wisconsin antitrust laws create an exemption for the otherwise anticompetitive conduct that occurs in the context of *lawful* labor negotiations. Section 133.09 specifically provides that Chapter 133 shall “be so construed as to permit collective bargaining…by associations of employees.” This exception cannot logically apply, however, to circumstances in which the State of Wisconsin has by statute expressly forbidden certain
employers from engaging in collective bargaining. As noted above, Act 10 made it unlawful for the School District to collectively bargain with the union, except for base wages. Their non-base wages negotiations and the subsequent CBA are not exempt from Wisconsin antitrust law, and under the well-established principles of antitrust jurisprudence described above they constitute an unlawful agreement in restraint of trade.
Section 133.14 provides that any agreement that “is founded upon, is the result of, grows out of or is connected with” a violation of § 133.03 “shall be void.” The CBA, except for the section on base wages, is just such an agreement.
5. **The CBA is voidable because the Board violated the Wisconsin Open Meeting Law**
The Board’s meeting on October 22, 2013 in which it authorized the collective bargaining with KEA was unlawful because the Board did not give notice that it intended to take up the issue of collective bargaining at that meeting. Certainly, the Agenda for the October 22, 2013 Board meeting contained no notice that the Board would be discussing and voting on engaging in collective bargaining with KEA. As a result, the public notice for the meeting did not adequately set forth the subject matter of said meeting in such form as was reasonably likely to inform the public and did not provide 24 hours prior notice of the subject matter of the meeting in violation of Wis. Stat. § 19.84.
Because the decision to collectively bargain was made in violation of the Wisconsin Open Meetings Law, any action taken as a result of such decision is voidable. Wis. Stat. § 19.97 (3); *State ex rel. Hodge v. Town of Turtle Lake*, 180 Wis. 2d 62, 74-75, 508 N.W.2d 603, 607 (1993) (pursuant to Section 19.97(4), if the district attorney refuses to prosecute an Open Meetings violation, a relator is empowered to bring an action and is entitled to have the decision voided if the Court finds that the public interest in enforcing the Open Meetings Law outweighs the public interest in sustaining the government body’s actions).
The entire process engaged in by the Board in this case was unlawful from the start. The Board authorized and began collective bargaining with KEA at an illegal meeting without adequate notice to the public. The Board and School District then collectively bargained with
KEA in express violation of Act 10. The egregious conduct of the Board easily justifies the Court voiding the CBA as the product of illegal Board conduct at the outset.\footnote{The Plaintiffs are not asking the Court to void the Board’s action under the Open Meetings Law at this time, because the required statutory prerequisites of Wis. Stat. § 19.97 have not yet been met – specifically, Plaintiff Lacroix filed a verified complaint with the Attorney General and Kenosha County District Attorney, but neither of those persons has declined to prosecute, nor has 20 days passed. The Plaintiffs merely demonstrate yet another potential claim they have that has a reasonable probability of success, when it is tried on the merits at a future point in time. That is sufficient to establish the first prong of the test for a temporary injunction.}
B. \textit{The Plaintiffs Lack an Adequate Remedy at Law and Will Be Irreparably Harmed if the CBA Is Implemented}
As taxpayers, the Plaintiffs are harmed by the spending of tax money for an unlawful purpose. \textit{Hart v. Ament}, 176 Wis. 2d 694, 699, 500 N.W.2d 312, 314 (1993) (plaintiffs possess taxpayer standing to bring action if they may suffer a pecuniary loss from the challenged transaction). As taxpayers, Plaintiffs each have a financial interest in public funds akin to that of a stockholder in a private corporation and they sue not only in their own right, but as representatives of all taxpayers. \textit{Id}. Here, the School District is about to spend at least $1.65 million of taxpayer money on a contract that is illegal.
Section 111.70(4)(mb) expressly \textbf{prohibits} municipal employers such as the School District from bargaining collectively with a union representing its employees with respect to any of the factors or conditions of employment except for total base wages. These lump sum payments are not part of “base wages.” “Base wages” do not include overtime, premium pay, merit pay, pay schedules, or automatic pay progression. § 111.70(4)(mb). Moreover, the bargaining over “base wages” is limited to an increase no greater than the increase in the Consumer Price Index (“CPI”). As can be seen from page 5 of the Tentative Agreement (Complaint, Ex. J) negotiated by the Board and/or the School District with KEA, most of the raises are at 2.07%, because 2.07% was the relevant CPI as of July 2013. But there is no way to justify a lump sum payment of $1,100 as a CPI-based pay increase of 2.07%. First, any teacher earning $53,140 per year or less would be receiving an increase greater than 2.07%. Second, paying this amount as a lump sum to teachers making more than $53,140 per year would mean that every such teacher that leaves the employ of the School District prior to the end of a full year would likely be receiving an increase greater than 2.07%.
Moreover, once this money is spent there is no practical way to get the money back. It is not likely that the School District would start individual lawsuits against 1,500 teachers in order to recoup this money. Absent this Court issuing a temporary injunction, the Kenosha taxpayers cannot be adequately protected from the unlawful payments to be made and costs to be incurred by the Board and the School District.
Taxpayers will also be injured by the expenditure of public funds in order to facilitate the payroll deductions for union dues. At the very least, administrative personnel will expend time to set up the deductions, and there may well be fees charged by financial institutions for the transfers. Neither the time spent by staff or the money spent on fees would be recoverable.
Similarly, the CBA imposes irreparable harm on Plaintiff Glembocki as a teacher. Ms. Glembocki has a right to be unrepresented and not to have to pay union dues under Wis. Stats. §§ 111.70(2) and 111.70(4)(d)3.b. and under the First Amendment. “[C]ompulsory [union] fees constitute a form of compelled speech and association that imposes a ‘significant impingement on First Amendment rights.’” *Knox v. SEIU Local 1000*, 132 S. Ct. 2277, 2298 (2012) (quoting *Ellis v. Railway Clerks*, 466 U.S. 435, 455 (1984)). Given that “‘freedom of association . . . plainly pre-supposes a freedom not to associate,’” *Knox*, 132 S. Ct. at 2288 (quoting *Roberts v. United States Jaycees*, 468 U.S. 609, 623 (1984)), a state infringes on First Amendment rights when it compels association for an expressive purpose. *Id.* at 2289; see, e.g., *Boy Scouts of Am. v. Dale*, 530 U.S. 640 (2000). This includes when a state compels individuals to accept and support an exclusive union representative for dealing with government, as the purpose of this mandatory association is to “petition the Government for a redress of grievances” within the meaning of the First Amendment. As shown here in the collective bargaining over the subjects prohibited by Act 10, “public-sector union takes many positions during collective bargaining that have powerful political and civic consequences,” *Knox*, 132 S. Ct. at 2289. Indeed, exacting compulsory fees even from public employees is an “‘unusual’ and ‘extraordinary’” exercise of state power. *Id.* at 2291 (quoting *Davenport v. Wash. Educ. Ass’n*, 551 U.S. 177, 184, 187 (2007)), which the State of Wisconsin through Act 10 has disavowed and disallowed.
The Board and the School District have taken away Ms. Glembocki’s statutory rights and infringed her First Amendment rights by forcing her to be represented by KEA. Such infringement constitutes irreparable injury. *Elrod v. Burns*, 427 U.S. 346, 373 & n. 29 (1976) (“The loss of First Amendment freedoms, for even minimal periods of time, unquestionably
constitutes irreparable injury.”). That action by the Board and the School District means that Plaintiff Glembocki must pay union expenses against her will and prevents her from representing herself in negotiations with their employer. The only way to protect Plaintiff Glembocki’s rights under Act 10 is to prohibit the CBA from being implemented.
Further, the CBA is unlawful as described above, and the Wisconsin Supreme Court has held that unlawful activity may be enjoined even in the absence of an express showing of irreparable harm. *Joint School Dist. No. 1, City of Wisconsin Rapids v. Wisconsin Rapids Educ. Ass’n*, 70 Wis. 2d 292, 309-310, 234 N.W. 2d 389 (1975). “The express basis for such holdings is that the fact that the activity has been declared unlawful reflects a legislative or judicial determination that it would result in harm which cannot be countenanced by the public.” *Id.*
There is a substantial public harm occurring here. The Board and the School District are acting in a manner expressly forbidden by state law. That conduct creates ongoing harm to the Plaintiffs and to the public that can only be prevented by an injunction.
C. An Injunction Is Necessary to Preserve the Status Quo.
Until the Board ratified the CBA, the status quo was that Act 10 was being complied with in Kenosha. Taxpayer money was not being spent illegally, and teachers’ statutory and constitutional rights were not being violated. The only way to preserve that status quo is to grant an injunction.
In fact, under Wisconsin law, where the complaint states a cause of action, and the motion papers disclose a reasonable probability of plaintiff’s ultimate success, “it is well-nigh an imperative duty of the court to preserve the *status quo* by temporary injunction, if its disturbance *pendente lite* will render futile in considerable degree the judgment sought, or cause serious and irreparable injury to one party; especially if injury to the other is slight.” *Shearer v. Congdon*, 25 Wis. 2d 663, 668, 131 N.W.2d 377, 381 (1964). This applies directly to this case. Allowing the unlawful CBA to go forward demolishes the status quo in a way that cannot be undone.
**CONCLUSION**
For the reasons set forth above the Plaintiffs request a temporary injunction prohibiting the implementation of the CBA.
Dated this 26th day of November, 2013.
WISCONSIN INSTITUTE FOR LAW & LIBERTY
Attorneys for Plaintiffs
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This is a repository copy of Effect of alkali treatment of lower concentrations on the structure and tensile properties of Pakistan's coarse cotton fibre.
White Rose Research Online URL for this paper:
http://eprints.whiterose.ac.uk/146530/
Version: Accepted Version
Article:
Azeem, F, Mao, N orcid.org/0000-0003-1203-9773 and Faisal, S (2019) Effect of alkali treatment of lower concentrations on the structure and tensile properties of Pakistan's coarse cotton fibre. Journal of the Textile Institute, 110 (10). pp. 1499-1507. ISSN 0040-5000
https://doi.org/10.1080/00405000.2019.1620501
(c) 2019 The Textile Institute. This is an Accepted Manuscript of an article published by Taylor & Francis in Journal of the Textile Institute on 23 May 2019, available online: https://doi.org/10.1080/00405000.2019.1620501
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Effect of alkali treatment of lower concentrations on the structure and tensile properties of Pakistan’s coarse cotton fibre
Faisal Azeem\textsuperscript{a,b}, Ningtao Mao\textsuperscript{a}, Saira Faisal\textsuperscript{c}
\textsuperscript{a} School of Design, University of Leeds, Leeds, United Kingdom
\textsuperscript{b} Beltexco Limited (Midas Safety), Pakistan
\textsuperscript{c} Textile Engineering Department, NED University of Engineering & Technology, Karachi, Pakistan
Contact: email@example.com
Abstract
Cotton fibres of high Micronaire values usually have adverse spinning performance, either reduction of the fibres’ fineness or increase of their tensile strength would improve the fibre spinnability. In this piece of research, the effects of alkali treatment at lower concentrations (0.75M–2.25M) and higher temperatures (70°C–100°C) on the changes of cotton fibre cross-section and tensile strength have been investigated through the observation in scanning electron microscopy (SEM) and single fibre tensile strength testing. It was found that the both the improved roundness of the fibre cross section and the increase of tensile strength of alkali treated cotton fibres have been observed at relatively lower concentration (0.75M) and relatively lower temperature (70°C), which was believed due to possible cellulose dissolution/transformations. It was thus concluded that the alkali treatment of cotton fibres at lower concentrations (0.75M) and 70°C for a shorter period of time (45 mins) could lead to improving tensile strength and roundness of fibre cross-section thereby improving micronaire.
Keywords: Micronaire; spinning potential; alkali treatment; Cellulose dissolution; Single Fibre Tensile Strength
Introduction
Cotton is a major natural fibre which exhibits pronounced variation in its properties
The production of cotton fibres of high Micronaire value, which is an indication of both fineness and maturity of cotton fibres, and hence greatly influenced by the geometry of fibre (Montalvo Jr, 2005), has become a quality issue for cotton all around the world. The US Upland cotton crop average Micronaire for the years 2009, 2010, 2011 and at end of September 2012 are 4.18, 4.52 4.53 and 4.76 respectively showing that the Micronaire is on the rise (Cotton Incorporated, 2012). In Australia, the percentage of cotton in the G5B Micronaire range (3.8–4.5) has fallen since 2000 to 2007 from 75% to 45% of the crop with the percentage of cotton in the coarser G5C range (4.5–4.9) soared from 10% to over 40% in the same period (Van der, Marinus, Gordon, & Long, 2008). A quality survey of Pakistani cotton crop conducted by Pakistan Central Cotton Committee for the year 2009–10 concluded that cotton grown in the Sind and Punjab provinces of Pakistan have average Micronaire values of 4.7 and 5.0 respectively. Percentages of the crop in the Micronaire range of 4.5–4.9 and 5.0–5.4 were 58.1% and 24.3%, and 37.3% and 57.4% for Sindh and Punjab respectively (Ismaili, 2010).
The spinning limit of cotton is dependent on fibre properties and spinning method. To produce high-quality ring-spun textiles, fibres must be fine and have sufficient strength to endure processing (Faulkner, Hequet, Wanjura, & Boman, 2012). Fineness is therefore considered as the dominant factor in determining the limiting count which could be spun out of the cotton fibres. Also, the uniformity of a yarn is largely determined by the average number of fibres in the yarn cross-section, therefore it follows that the finer the fibres, the more uniform is the yarn for a given yarn count; and the finer count that can be spun for a given number of fibres in the yarn cross-section (Morton & Hearle, 2008; Rieter, 2012; Zhu & Ethridge, 1998).
In order to spin cotton fibres into reasonable quality ring-spun yarn, in general the least number of fibres are required in the yarn cross section is 90 fibres for carded yarns and 70 for combed yarns (Steadman, 1997). For open-end yarns and air-jet spun yarns this requirement is at least 110 fibres (Steadman, 1997) and 75 fibres (Bange et al., 2009) respectively. The number of fibres (n) in the yarn cross section can be estimated from the relation:
\[ n = \frac{\text{tex}_{\text{yarn}}}{\text{tex}_{\text{fibre}}} \]
Where tex_{yarn} and tex_{fibre} are the linear densities of yarn and fibre respectively (Klein, 1998).
Various indexes have been devised to estimate the overall fibre quality in terms of its yarn spinnability. Fibre Quality Index (FQI) was established using High volume instrument (HVI) results by South Indian Textile Research Association in the following equation (Majumdar, Majumdar, & Sarkar, 2005):
\[ \text{FQI}_{\text{HVI}} = \frac{\text{UHML} \times \text{UI} \times \text{FS}}{\text{FF}} \]
Where FQI_{HVI} is the Fibre Quality Index (Dimensionless) based on HVI value, UHML is the Upper Half Mean Length (Inches), UI is the Uniformity Index (Dimensionless), FS is the tensile strength of fibre bundle (g/tex) and FF is the fibre fineness – Micronaire (Dimensionless)
Spinning Consistency Index (SCI) for predicting the spinnability of the US cotton fibres using multiple regression analysis was proposed by Zellweger Uster. It is based on the five-year crop average of US Upland and Pima Cotton and is calculated as follows (Majumdar, et al., 2004):
Where Rd is the reflectance degree and +b is the yellowness of cotton fibre.
Both the above mentioned indices are directly proportional to the spinning potential of the fibre (Majumdar, et al., 2005). Keeping all the other properties constant, both the indices are greater for finer fibres. Therefore, coarser fibres could only be spun into coarser yarns and are not capable of producing fine yarns of sufficient quality (Hake, Bragg, Mauney, & Metzer, 1990).
It is therefore become necessary to investigate into the possibility of utilising coarse cotton fibre to produce yarn with better productivity. Various strategies for achieving smaller Micronaire value and increasing the fibre tensile strength to improve potential fibre spinnability have been investigated in previous studies (Abbott & Robinson, 1977; Aboul-Fadl, Zeronian, Kamal, Kim, & Ellison, 1985; Karahan, Özdoğan, Demir, Aydin, & Seventekin, 2009; Karande, Bharimalla, Hadge, Mhaske, & Vigneshwaran, 2011; Lawson & Hertel, 1974; Malek & Holme, 2003; Pionteck, Berger, Morgenstern, & Fengel, 1996; Raes et al., 1971; Thibodeaux & Copeland, 1975; Thorsen, 1971; Wakelyn et al., 2006). However, none of the existing research has reported the effect of lower concentrations, that is, less than 5M, of alkali treatment on the changes of structure and tensile properties of coarse cotton fibres. In this paper, we investigate the effect of alkali treatment at lower concentrations and relatively higher temperatures on the roundness of cross-section geometry and tensile strength of Pakistan’s coarse cotton fibres.
**Experimental**
Material
Raw cotton fibres used in this research is MNH-93 which is grown in the Punjab province of Pakistan; their physical properties were determined using Uster HVI Spectrum as follows, Micronaire value 5.28, maturity 0.93, length 1.091 inches, length uniformity 82.9%, bundle Strength 31.1 cN/tex. The sample was provided by Amna Industries Private Limited, Karachi, Pakistan and taken following standard procedure of sampling.
The chemicals used in the experiments are as follows: Sodium Carbonate Reagent Plus® ≥ 99.5% (Sigma-Aldrich, UK), Sodium Hydroxide ACS Reagent ≥ 97.0% (Sigma-Aldrich, UK), Acetic Acid ACS Reagent ≥ 99.7% (Sigma-Aldrich, UK) and Sandozin NIN (Clariant, UK) used as received.
Scouring of Raw Cotton
Approximate more than 100g of raw cotton was carded and blended manually and gently using hand card gently. 100g of the resultant hand-carded cotton was taken was spread in a thin layer and small pinches of fibres were taken from 32 different locations to make up a raw cotton sample of 10g. From the remaining 90g of cotton fibres, 60g of them were taken using the same pinching technique for scouring at 60°C for 30 minutes at a liquor ratio of 1:100 in a solution containing 0.2% weight by volume of Sandozin NIN and 0.2M Na₂CO₃ in a Roaches Roto-Dryer.
The fibres were dried in ambient room for 24 hours and then conditioned for 48 hours under standard laboratory temperature of 20±2 °C and 65±2% relative humidity according to BS EN ISO 20139 (British Standard Institute, 2011). The scoured cotton fibres were carded and blended gently again using hand card.
Alkali Treatment
In this research work, each treatment was performed in triplicate (n = 3). 5g of the scoured cotton fibres was used as control sample, and nine samples (each is of 4.5g) were made utilizing the above pinching technique and were subject to alkali treatment in the Roaches Roto-Dryer with sodium hydroxide for 45 minutes at the liquor ratio of 1:100. Each of the cotton samples was treated in sodium hydroxide solutions of three different concentrations (0.75M, 1.50M and 2.25M) at three different temperatures (70°C, 85°C and 100°C), as shown in Table 1.
After alkali treatment, each sample was washed under warm water flow (temperature between 48 - 52°C) for 10 minutes, then was neutralized using 0.2M acetic acid solution at the liquor ratio of 1:100 for 10 minutes at the same temperature at which the treatment with sodium hydroxide was earlier performed.
After the neutralization, samples were washed using warm water flow (temperature between 48-52°C) for 10 minutes and then using normal tap water flow (temperature between 18-22°C) for 10 minutes. The samples were dried in ambient air for 24 hours and then conditioned for 48 hours under standard laboratory temperature of 20±2°C and 65±2% relative humidity according to BS EN ISO 20139 (British Standard Institute, 2011). Each sample was then manually carded and blended gently using hand card.
Table 1. Sodium hydroxide treatment scheme (time duration: 45 minutes)
| Sample ID | Sodium Hydroxide Concentration (M) | Treatment and Neutralization Temperature (°C) |
|-----------|-----------------------------------|---------------------------------------------|
| R | None | |
| Control | Scoured | |
| T11 | 0.75 | 70 |
| T12 | 0.75 | 85 |
| T13 | 0.75 | 100 |
| T21 | 1.5 | 70 |
| T22 | 1.5 | 85 |
| T23 | 1.5 | 100 |
| T31 | 2.25 | 70 |
| T32 | 2.25 | 85 |
|-----|------|----|
| T33 | 2.25 | 100|
**Fibre Characteristics and Discussions**
The cross-section and surface morphology of the fibres in each group were examined using Scanning Electron Microscopy (SEM).
**Fibre Linear Density**
The fibre linear density and corresponding standard deviations (SD) of the raw, scoured and treated cotton fibres were shown in Table 2. The fibre linear density was tested according to gravimetric method specified in standard BS EN ISO 1973:1996 and calculated by using following equation:
\[
d_{tex} = \frac{10000 \times (W)}{L \times N}
\]
Where, W is weight of bundle of fibres in mg, L is length of bundle of fibres in mm (15 mm) and N is number of fibres in a bundle (N=500). An average of six bundle weight within each sample was obtained.
It is evident in Table 2 that linear density of cotton fibres decreases from 2.02 dtex (control sample) to 1.65 dtex as the concentration of sodium hydroxide and treatment temperature increases. This decrease in linear density was observed to be due to decrease in fibre mass which shows that weight loss occurred in cellulose. These findings are in accordance with previous studies (Warwicker & Hallam, 1970). Additionally there is no statistically significant difference among alkali treatments (T11-T33).
**Single Fibre Tensile Strength**
The fibre tensile strength and corresponding standard deviations (SD) of the raw,
scoured and treated cotton fibres were shown in Table 2 and compared in Figure 1. The fibre strength was tested according to standard BS EN ISO 5079 (British Standard Institute, 1996) using an INSTRON universal strength tester. It is important to note that Micronaire value cannot be assumed same before and after treatments, therefore, value listed in Table 2 is for raw cotton reference only. It is, for the same reason, that fibre absolute tensile strength are used, as treatments are expected to alter fibre linear density and hence tensile strength. One-way ANOVA was applied on the changes in the fibre tensile strength (gf) and linear density (dtex) of the cotton samples before and after alkali treatment to determine if variance across the alkali treatments were homogenous. The results were expressed as means ± SD from three replicates of each treatment and shown in Table 2.
Table 2. Single fibre tensile strength (gf) and linear density (dtex) of untreated and treated samples (raw Cotton micronaire = 5.28).
| Sample ID | Tensile strength (gf) | Linear density (dtex) | Difference in linear density (dtex)a |
|-----------|-----------------------|-----------------------|-------------------------------------|
| R | 5.392 ± 1.375 | 2.075 ± 0.109 | – |
| Control | 7.272 ± 2.259 | 2.021 ± 0.127 | – |
| T11 | 7.748 ± 2.237\(^{(a)}\) | 1.964 ± 0.262\(^{(a)}\) | 0.057 ± 0.387 |
| T12 | 5.968 ± 1.804\(^{(b,c)}\) | 1.903 ± 0.097\(^{(a)}\) | 0.118 ± 0.072 |
| T13 | 4.806 ± 1.510\(^{(c)}\) | 1.865 ± 0.305\(^{(a)}\) | 0.156 ± 0.382 |
| T21 | 6.014 ± 1.735\(^{(b,c)}\) | 1.880 ± 0.166\(^{(a)}\) | 0.140 ± 0.240 |
| T22 | 5.563 ± 2.239\(^{(b,c)}\) | 1.809 ± 0.204\(^{(a)}\) | 0.211 ± 0.213 |
| T23 | 5.707 ± 1.890\(^{(b,c)}\) | 1.756 ± 0.225\(^{(a)}\) | 0.265 ± 0.171 |
| T31 | 6.478 ± 2.458\(^{(b)}\) | 1.776 ± 0.193\(^{(a)}\) | 0.245 ± 0.169 |
| T32 | 5.735 ± 2.057\(^{(b,c)}\) | 1.691 ± 0.150\(^{(a)}\) | 0.329 ± 0.242 |
| T33 | 5.512 ± 1.654\(^{(b,c)}\) | 1.651 ± 0.218\(^{(a)}\) | 0.369 ± 0.104 |
Within each column, values with the same letters are not statistically different (p > 0.05).
\textsuperscript{a}Difference in linear density = dtex\textsubscript{(control)} – dtex\textsubscript{(treatment)}.
Figure 1. Single fibre tensile strength (gf) of untreated and treated samples; R and Control shows the tensile strength of raw and scoured samples. Error lines represent ± standard deviation of the mean
It is evident from Figure 1 that after scouring the fibre tensile strength increased considerably from the raw cotton, this could be attributed to the increase of moisture regain of the cotton by scouring (Kang & Epps, 2009). It is also evident that after alkaline treatment the strength of treated cotton fibres increased, this could be attributed to the elimination of non-cellulose materials from the cellulose (Rajkumar, Manikandan, & Saravanakumar, 2016) and increased moisture regain imparted by the treatments.
The tensile strength of samples following alkali treatments shows a particular trend. For any given concentration of sodium hydroxide, the tensile strength decreases as the temperature is increased from 70°C to 85°C and 100°C. For higher concentration of alkali at both 1.50M and 2.25M, the tensile strength of the treated fibres is nearly the same level around 5.7 gf. For the fibres obtained from all of the nine experiments of combined alkali concentration and treatment temperature, the greatest fibre tensile strength (7.7 gf) is obtained at the processing conditions at 0.75M of the alkali concentration and 70°C in temperature while the smallest tensile strength of 4.8 gf for sample treated in 0.75M of alkali concentration at 100°C. The degree of hydration of alkali hydroxide ions affects their ability to enter and swell cellulose fibres (Wakelyn, et al., 2006). At low concentrations of sodium hydroxide, the diameters of the hydrated ions are too large for easy penetration into the high-order crystalline regions of the fibres (Krässig, 1993; Wakelyn, et al., 2006). But these hydrated ions can penetrate into the cellulose in the primary cell wall which is a low order crystalline region having lower molecular weight and lower degree of polymerization between 2000 to 6000 (Hsieh, 2007).
The alkali treatment always causes a reduction in the thickness of fibre due to the removal of alkali soluble fractions like waxy layer, lignin etc. This treatment produces small voids and thus causes a rougher surface for the fibre (Sreekumar et al., 2009). A detailed review of cellulose dissolution in sodium hydroxide is presented elsewhere (Budtova & Navard, 2016; Medronho & Lindman, 2014). Additionally, Tukey’s test (Bewick, Cheek, & Ball, 2004) was used for post-hoc comparisons to determine which treatment differs. All statistical tests were performed at the 95% confidence level (p<0.05). Data was analysed using the Minitab software version 17. Significant
differences between treatment T11 and all other treatments (T12 – T33) was observed at the p< 0.05 level (Table 2).
On effect of temperature, cellulose dissolution is favoured by a decreased temperature (Lindman, Karlström, & Stigsson, 2010). This is suggested to be due to possible conformational changes in the cellulose chain, which would make the polymer less polar at higher temperatures reducing the attractive interactions with the polar solvent. Alternatively, the more polar configurations are suggested to be favoured at lower temperature due to better interaction with the solvent and hence support dissolution (Medronho & Lindman, 2014).
It is interesting to note that the highest fibre tensile strength is obtained with the lowest NaOH concentration and temperature. This means that the positive effect of alkali treatment on coarse cotton fibres could be stronger at even lower concentrations of NaOH and/or lower temperature; the effect of further combinations of the two variables as well as with the combination of the time durations of the alkali treatments are under further investigation and this will be reported in future study.
**Fibre Morphology**
The Scanning Electron Microscope images of the surfaces and cross-sections of the untreated and treated cotton fibres are shown in the Figure 3 – Figure 6. Following observations were considered while analysing these images:
- For the surface images, any sign of cellulose dissolution from surface erosion or cracking,
- For the cross-sectional images, the cross-sectional swelling (increase in area) or slimming (dissolution), the visibility of pores in the section and fuzziness of the edges.
These effects are shown in the Figure 2.
A comparative and qualitative analysis of the surface and cross-section SEM images shown in Figure 3, having above mentioned effects is utilized to give insight into the changes in the cotton fibre morphology brought about by the alkali treatment. It is evident from Figure 3(A-1), raw cotton have characteristic parallel ridges and grooves (Yonghua & Hardin, 1997).
Figure 3: SEM images of the surface and cross-session of (A) raw cotton, (B) scoured cotton
Figure 4 shows SEM images of the surface and cross-session view of cotton fibre treated with different concentration of sodium hydroxide at 70°C.
Figure 4. SEM micrographs of the surface and cross-section of cotton fibres treated at different concentration of sodium hydroxide at 70°C (A) 0.75 M (T11), (B) 1.5 M (T21), and (C) 2.25 M (T31)
Sample T11 (0.75M NaOH at 70°C): The surface and cross-section SEM images (Figure 4(A-1) and Figure 4(A-2)) of fibre sample treated at 0.75M concentration and 70°C shows that the surface of the treated fibre looks smooth with cross-section without
noticeable fuzziness. Diluted alkali penetrates only in the accessible regions of the fibres (Wakelyn, et al., 2006) thus the least changes in linear density (dtex) (see Table 2) was observed at the lowest concentration and the lowest temperature, the cross-section of this sample is seen more circular, giving this sample highest tensile strength (7.7 gf).
Sample T21 (1.5M NaOH at 70°C): When the cotton fibres were treated in a higher concentration keeping the treatment temperature at 70°C, the effect will be more than the sample T11. SEM image (Figure 4(B-1)) of the surface of the treated cotton fibres show erosion on the surface; less number of fibres have narrow ribbon shapes in their cross-section (Figure 4(B-2)) which is indicative that cellulose swollen and erosion had occurred while the presence of some flat fibres was also observed and the decreases of tensile strength (6.0 gf) of this sample was noticed.
Sample T31 (2.25M NaOH at 70°C): When the cotton fibres treated in a further higher concentration of 2.25M at the temperature of 70°C, the characteristic parallel ridges and grooves on the surface raw cotton fibres were hardly observed, this indicates the eroded fibre surfaces (Figure 4(C-1)). At the same time, this sample (Figure 4(C-2)) shows considerable swollen fibre of larger cross-section areas. This might explain the slight increases of their tensile strength in comparison with the sample T21, the cotton fibres treated in a lower concentration of 1.5M.
SEM images of the surface and cross-section of cotton fibres treated with different concentrations of sodium hydroxide at 85°C are shown in Figure 5.
Figure 5. SEM micrographs of the surface and cross-section of cotton fibres treated at different concentration of sodium hydroxide at 85°C (A) 0.75 M (T12), (B) 1.5 M (T22), and (C) 2.25 M (T32)
Sample T12 (0.75M NaOH at 85°C): Most of the fibres treated show apparent swollen fibre cross-sections and fibres having ribbon cross section were hardly shown in the SEM image (Figure 5(A-2)) of the sample treated at 0.75M and a relatively higher
temperature of 85°C, while a few fibres still have characteristic parallel ridges and grooves on the fibre surfaces (Figure 5(A-1)) indicating the occurrence of possible cellulose dissolution and mass losses. It should be noted that this was not observed in sample T11. This differences might be due to the penetration of alkali into the fibre is higher when temperature is increased due to kinetics of the chemical reaction (Wakelyn, et al., 2006).
Sample T22 (1.5M NaOH at 85°C): Upon doubling the concentration than previous sample and keeping the treatment temperature at 85°C, more deterioration on the fibre surfaces were observed (Figure 5(B-1)) while less number of fibres swollen in cross-section was shown (Figure 5(B-2)).
Sample T32 (2.25M NaOH at 85°C): Further increase in the concentration of sodium hydroxide solution to 2.25M keeping the temperature at 85 °C, has led to the swollen of most of the fibres in cross-sections (Figure 5(C-2)) while similar sever fibre erosion on fibre surfaces (Figure 5(C-1)) to the sample T22 was observed, this might be due to severer penetration of alkali into the microstructure of cotton celluloses.
Figure 6 shows the SEM images of the surface and cross-section view of cotton fibres treated with different concentrations of sodium hydroxide at 100°C.
Figure 6. SEM micrographs of the surface and cross-section of cotton fibres treated at different concentration of sodium hydroxide at 100°C (A) 0.75 M (T13), (B) 1.5 M (T23), and (C) 2.25 M (T33)
Sample T13 (0.75M NaOH at 100°C): SEM images of sample T13 (Figure 6(A-1) and Figure 6(A-2)) has shown similar trends to sample T12 (Figure 5A). This is likely to be due to the mechanism that low concentration of sodium hydroxide are limited in
penetration into the ordered regions of the secondary wall due to large hydrated ions (Wakelyn, et al., 2006), the increases in temperature increased activity of alkali on the peripheral regions (primary wall).
Sample T23 (1.5M NaOH at 100°C): In Sample T23 more deterioration on the fibre surfaces was observed (Figure 6(B-1)). While most of the fibres swollen in a larger cross-section area were visible, the fibre cross-section was not in more circular but still kept in irregular ribbon shapes (Figure 6(B-2)).
Sample T33 (2.25M NaOH at 100°C): There were fibres showing visible cracks on the surfaces (Figure 6(C-1)), and most of the fibres appearing in almost perfect circular cross-sections (Figure 6(C-2)) which is indicative of the rapid and severe swelling of the fibres. Therefore, cotton fibres treated in sodium hydroxide solutions of relatively higher concentration greater than 2.25M and higher temperature (100°C) could be severely deteriorated.
It is also worth to note that the roundness of the fibre cross section is improved due to fibre swollen effect shown in Figure 4 (A, B and C). Moreover, the areas of the pores in lumen have disappeared after the treatment, impacting positively on the Micronaire value.
4. Conclusions
In a summary, it was found that coarse cotton fibres treated with sodium hydroxide of low concentrations (0.75M) at lower and higher temperatures behave differently. Cotton fibres treated at lower concentrations (0.75M) and lower temperatures (70°C) favour the improvement of the roundness of fibre cross-sections with an increase of fibre tensile strength. Therefore, it is possible to change the cotton fibre fineness of coarse fibres (thus improving the spinning potential of the fibres) without comprising their tensile
strength by controlling fibre cross-sections and dissolution of cellulose by using sodium hydroxide treatment in lower concentrations. While in the absence of quantitative measure for cross-sectional area, no quantitative conclusions could be given in this paper, this research suggests a novel route to be considered for improving the utilisation of coarse cotton fibres in the cotton textile industries.
**Acknowledgement**
The authors wish to express their profound gratitude to the Management of Amna Industries Private Limited, Karachi, Pakistan, for providing the cotton samples for this research work. The authors would also like to give their thanks to Mr Algy Kazlauciunas (School of Chemistry, University of Leeds, UK) for his assistance in the examination of cotton fibres in the scanning electron microscopy. The authors gratefully acknowledge NED University of Engineering & Technology for moral support.
**Disclosure statement**
No potential conflict of interest was reported by the authors.
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Message from the WGO President
WGO 2005–2009—some thoughts
It has been my great privilege and honor to have served as President of the World Gastroenterology Organisation over the past 4 years and to have attempted to follow in the footsteps of my eminent predecessors and mentors, Guido Tytgat and Meinhard Classen. Thanks to their stewardship and the wise management of our finances by Joseph Geenen, my colleagues and I inherited an organization that was financially sound and whose governance was on a firm footing, ably supported by Bridget Barbieri and her staff at Medconnect.
In 2005, therefore, we had an opportunity to expand the activities of WGO. Recognizing the organization’s limited resources, we decided to concentrate on training and education. Furthermore, aware of the special needs of those areas of the world where gastroenterology is poorly developed, we sought to concentrate our efforts considerably, though not exclusively, on such areas. To serve these goals, we next came to define the Training Centers, the Train-the-Trainers (TTT) programs, the International Digestive Cancer Alliance, and our Global Guidelines as our flagship educational programs and sought to establish cohesion between them in order to pursue our central mission—training and education in gastroenterology. Other supporting projects were developed or enhanced: the WGO website, *World Gastroenterology News*, the WGO e-newsletter, the “Ask a Librarian” service and, most recently, the tremendously successful World Digestive Health Day—each and every one of these activities promoting our message and disseminating important information on digestive health and disease worldwide.
I am proud of what we have achieved over these past few years, but it would be remiss if I did not acknowledge all who have supported these endeavors: from those who served on our Executive, Governing
Continued on Page 4
Message from the WGO President
Eamonn M.M. Quigley
Treasurer’s report
David J. Bjorkman
The serrated pathway to colorectal cancer
René Lambert, Michael J. O’Brien, Edgar Jaramillo, and Michael Vieth
IBD guidelines—an interview with the editors of Inflammatory Bowel Diseases
Justus Krabshuis
Mentoring for residents
Roque Sáenz
Unprecedented success in 2009
Working Party reports: Overview and summaries
Histology for gastrointestinal neuromuscular pathology: an interview with the chairs of the GASTRO 2009 Working Party
WGO highlights at GASTRO 2009
WGO Training Centers: Enhancing education in the developing world through global collaboration
A Message from the WGO Foundation
The Masters of the World Gastroenterology Organisation
VOL. 14, ISSUE 2
Editor: Eamonn Quigley
Managing editor: Tuula Rytkönen
Design and production: studi
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The past year has created financial challenges for everybody, from governments to individuals, and the WGO has also been affected by the global economic downturn. The WGO investment portfolio lost 12.3% of its value in 2008, compared to a 33.8% drop in the Dow Jones average. While our equity investments sustained substantial losses, these were partially offset by our diversification into fixed-income assets. In the first 5 months of 2009, the value of our equity investments has increased substantially in 2009. These investments are actively managed to enhance our financial position, but are subject to changes in the global markets.
In the past, the WGO has relied on income from each World Congress of Gastroenterology to provide the funds needed to support the WGO programs for the next four years. Those funds have been supplemented by some contributions from industry. The past funding pattern, however, will not be viable for the future. We can no longer rely on conference revenues, and industry support for medical societies and programs has dropped precipitously. Like other organizations, the WGO must develop a new paradigm for long-term financial success.
In the short term, the WGO Executive Committee has looked at each of our programs and decreased the expenses. As a result, the WGO budget for 2009 has decreased 45% from 2008, and the draft budget for 2010 plans for another reduction of 30%. This budget reduction has been accomplished by closely evaluating each of our programs, economizing where possible, and decreasing the scope of some activities. For example, the number of Train-the-Trainers workshops will be limited by lack of funding, but the quality of the workshops will remain high. Other WGO activities may be scaled back to maintain quality in the setting of limited resources.
In addition to decreasing expenses, the WGO is looking for additional funding opportunities. We do not feel comfortable increasing our dues to member societies, as they are facing the same difficult financial climate. The WGO Foundation has been launched under the direction of Dr. Bernard Levin with a dedicated board of directors. After consultation with fundraising experts, we are optimistic that the Foundation will be able to attract substantial philanthropic funding for the activities of WGO. We are continuing to look for opportunities and apply for funding from foundations and industry. We are very pleased with the partnerships we have developed with some member societies to support specific programs. We will be able to increase our activities in other areas where direct sponsorship and support are available.
The net result is that the WGO has carefully evaluated its financial situation and has made changes necessary to maintain its financial strength in these difficult economic times. As we have seen with governments and individuals, this has forced us to make difficult decisions to limit some WGO activities. We are confident, however, that Gastro 2009, in partnership with UEGF, will be an extremely successful World Congress. Our share of the proceeds from this meeting, along with the success of the WGO Foundation and direct programmatic sponsorship, will allow us to continue the programs critical for the WGO mission. We are also confident that as the global economy rebounds, the WGO will realize additional revenues that will allow us to expand our programs.
We look forward to continuing to work with our member societies to meet their needs and promote the digestive health of people around the world.
Cont. Message from the WGO President
Council, committees, working groups, editorial boards, guideline groups and other groups, to those who volunteered of their time and talents to teach at a Training Center, a TTT, an IDCA symposium or other teaching activity, to the national and regional societies that so actively joined with us in supporting training centers, TTIs, and IDCA, and to all of those who so readily provided invaluable input, whether as organizations or as individuals. As I have often said, “WGO is your society.”
Highlights: witnessing the wonders that you perform in the Training Centers, sharing in the unique spirit of learning and comradeship that is TTI, seeing the impact on the world literature and medical practice of our unique Global Guidelines, knowing of the importance that the Declarations of Brussels and Rabat will have in the fight against digestive cancers, and feeling the enthusiasm generated around the world by WDHD topics such as inflammatory bowel syndrome, nutrition and hepatitis. These are some of the headlines, but the memories that I will retain will be more personal and will be my own recollections of people met, topics discussed, and experiences shared with you as individuals and with your patients and colleagues.
As I come towards the end of my Presidency, I can marvel on the one hand at how WGO has progressed to assume the rightful place it now has as “the global guardian of digestive health,” but on the other I must also admit to having concerns for our future. We must recognize that WGO has not been immune to the financial crisis that has enveloped the globe and to the particular challenges that face gastroenterology. WGO has traditionally benefited either directly or in a number of indirect ways from the largesse of the biomedical industry; indeed, none of our programs would be possible without such support, and for that we are most grateful. For a variety of reasons, industry support for educational events in gastroenterology has begun to wane. WGO is facing this challenge by establishing a Foundation under the chairmanship of Bernard Levin to develop a broad base of support for WGO and thereby secure the organization’s future. We look forward to your enthusiastic support for WGOF!
Finally, a word of thanks to my immediate colleagues—David Bjorkman, Henry Cohen, Michael Farthing, Michael Fried, Richard Kozarok, Douglas Labrecque, Bernard Levin, Guido Tytgat, and James Touli—who have given so much of their time and wisdom; to Bridget Barbieri, Molly Fassbender, Heather Wynn, Rachel Fischer, Michael Roberts and all the staff, current and past, at Medconnect; and to Justus Krabshuis at Highland Data; these are the people who actually got the job done.
Eamonn M.M. Quigley, MD
President, World Gastroenterology Organisation; Professor of Medicine and Human Physiology, Alimentary Pharmabiotic Center, University College Cork, Cork, Ireland
The serrated pathway to colorectal cancer
Introduction
Carcinomas of the serrated pathway are now thought to account for 15–20% of all colorectal cancers. They usually present in the eighth decade of life, are more common in women, and are found predominantly in the proximal colon. These cancers may also be disproportionately represented among carcinomas overlooked at screening or surveillance colonoscopy (interval carcinoma). One reason that has been put forward for this is that, in addition to being located in the less accessible proximal colon, the precursor serrated lesions (and in many cases the endpoint superficial carcinomas) of this pathway are nonpolypoid or flat and they are therefore more easily overlooked at endoscopy.
Superficial lesions of the colorectal mucosa
The Paris classification will be applied to the current discussion of serrated lesions. Both serrated and nonserrated lesions of the colorectal mucosa are called superficial when there is no invasion, or when invasion is present but limited to the mucosa or submucosa. The morphology of a lesion is determined by the predominant direction of growth: upward for polypoid and nondepressed lesions; transverse for lesions of the laterally spreading type (LST); downward for nonpolypoid depressed lesions. The Paris classification, briefly, is as follows: type I, polypoid lesions, with subtypes Ip (pedunculated) or Is (sessile); type II, nonpolypoid lesions, with subtypes IIa (slightly elevated), IIb (flat) or IIc (depressed). Ulcerated (type III) lesions are never superficial [5,6].
High-resolution video colonoscopes, which provide magnification and image-enhancement techniques such as narrow-band imaging (NBI), increase the ability to analyze the surface of superficial lesions, whether they belong to the serrated pathway or to the conventional adenoma–carcinoma sequence. The surface microarchitecture or pit pattern is assessed optimally on magnification combined with dye chromoscopy, or with image processing. A type I pit pattern refers to small and regular pit openings, as in the normal mucosa. Type II indicates large and regular stellate pit openings, as found in most serrated lesions, which also may show a mosaic of pit patterns. Types III, IIIS, IV, V, and V_N with sinuous short, long, or branched crypts are seen in dysplastic lesions, serrated or conventional. Types V, and V_N in carcinoma have a degree of irregularity that suggests invasion into the submucosa, under or above the limit of 1000 μm, respectively. There has also been a recent trend to use magnification and NBI in transparency to analyze the network of superficial capillaries or the vascular pattern, classifying lesions into categories that have been shown to have a predictive value for the risk of malignancy and/or the extent of invasion into the submucosa.
Serrated lesions
Nondysplastic serrated lesions. This category consists of mucosal lesions, previously known as hyperplastic polyps (HPs) or metaplastic polyps, representing the great majority of serrated lesions or polyps. Most are small, less than 5 mm in diameter, with nonpolypoid morphology, slightly elevated or even flat, and classified as subtypes IIa or IIb (Paris classification). Small HPs are found mainly (at least 80%) in the distal colon and rectum. Larger HPs, over 10 mm in diameter, are less frequent and are preferentially located in the proximal colon; their morphology is often nonpolypoid, flat, slightly elevated, or even polypoid and sessile. The surface microarchitecture or pit pattern of HPs is usually classified as category II, with large stellate pit openings, but large, normal-appearing round pits with an increased...
pericryptal zone are characteristic of the goblet cell serrated polyp (GCSP) variant (see below).
In the past, HPs were viewed as a homogeneous histological category. Through the work of Torlakovic and Snover [7], it is now recognized that there are three distinct histological subtypes: microvesicular serrated polyp (MVSP), goblet cell serrated polyp (GCSP), and sessile serrated lesions (SSL; also known as sessile serrated adenoma, SSA), each with its own molecular-genetic profile and biological characteristics. A fourth type, mucin-poor hyperplastic polyp (MPHP), appears to be extremely rare and is currently considered likely to represent a variant of MVSP.
Microvesicular serrated polyps (MVSPs) occur predominantly in the distal colon and rectum and represent the most frequent subtype of HPs. The architecture of the crypt is serrated, particularly in its upper and middle thirds. The component cells of the upper crypts show abundant enlarged microvacuolated columnar cells, mixed with scattered goblet cells. An activating mutation of the BRAF oncogene is found in up to 80% of these polyps.
Goblet cell hyperplastic polyps (GCSP) are typically diminutive, less than 5 mm, and represent less than 10% of proximal hyperplastic polyps and 25% of distal hyperplastic polyps. The crypts are enlarged, but show little or no serration. The mature cells of the upper crypt are mainly large goblet cells. An activating mutation of the KRAS gene is found in 50% of these polyps. Both the microvesicular cells of MVSPs and the goblet cells of GCSPs are thought to represent hypermature or senescent cells that acquire this phenotype as an adaptive response to the activating mutations of KRAS or BRAF kinases. These kinases act in tandem as part of a highly conserved growth-controlling intracellular signaling pathway known as the RAS-RAF-MAPkinase pathway. The adaptive signaling that ensues may explain why these lesions are not transformed or dysplastic as in a conventional APC-mutated small adenoma; nonetheless, many now consider that they represent true early neoplasms rather than “hyperplasia.” The progression to more advanced neoplasia or dysplasia in small hyperplastic polyps is uncommon in the distal colon, but is more likely to occur in proximal lesions.
Sessile serrated lesion (SSL) is a histologically atypical variant of hyperplastic polyp, and as such it is at the nexus in the progression from a unicryptal aberrant crypt focus (ACF) to a dysplastic serrated polyp. It usually displays a nonpolypoid morphology and is classified as Ila, or IIa + Is. The surface is frequently covered with a plaque of yellow mucus; when this is rinsed, it may be difficult to identify an underlying serrated lesion without chromoendoscopy and/or magnification under NBI to reveal the abnormal surface microarchitecture—mainly a type II or mosaic pit pattern.
There is substantial evidence that sessile serrated lesions are successor lesions of typical hyperplastic polyps. Most occur in the proximal colon, and the presence of the characteristic histology correlates strongly with size and location. The histology is essentially that of a hyperplastic polyp, with superimposed alterations of the crypts that indicate disordered growth. These include irregularity of the crypt bases, with irregular branching and horizontal elongation producing T-shaped and boot-shaped crypts. Other features include crypt dilation and abundant mucus production. These lesions do not show cytological...
dysplasia, by definition, but their potential for further progression is indicated by the high frequency with which contiguous SSLs are found in resected dysplastic serrated adenomas (so-called “mixed polyps”).
Reflecting their presumed origin, 75% of SSLs show *BRAF* mutations and 10% have *KRAS* mutations. A notable feature of *BRAF*mut SSL is a high level of CpG island methylation, a finding that indicates a proclivity to inactivation of mutator and suppressor genes. Inactivation of the mismatch repair gene *hMLH1* by methylation of the CpG islands of its promoter region is the molecular signature of *BRAF*mut microsatellite instability (MSI) colorectal carcinoma, the major end point carcinoma of the serrated pathway.
**Dysplastic serrated lesions.**
Dysplastic serrated polyps also encompass several histological subtypes and synonyms—SSL with dysplasia, serrated adenoma, not otherwise specified, traditional serrated adenoma, and mixed polyps. Serrated polyps with dysplasia appear to represent the penultimate stage before the emergence of carcinoma in the serrated pathway, although some have proposed (with little supporting evidence) that the atypical hyperplastic polyp variant SSL can progress to carcinoma via a minor or short-lived dysplastic component. Mixed polyps (SSL with an adjacent adenoma component) capture the transition from disordered crypt architecture of SSL to a dysplastic (adenomatous) serrated polyp.
Dysplastic serrated polyps are much less common than nondysplastic variants. In a survey of 10,532 polyps in Japan by Iwabuchi et al. [8], the proportion of lesions classified as serrated adenomas (dysplastic serrated polyps) was 1.8%. By contrast, SSLs have been estimated by Spring et al. [9] to represent 9% of all polyps.
For clinical decision-making, dysplastic serrated polyp (or serrated adenoma) is a sufficient term, and the nature and biology of these advanced serrated polyps may be more accurately revealed by their molecular profile rather than by morphological variations. Approximately 70% of dysplastic serrated polyps have a *BRAF* mutation, and these include the precursors of CpG island methylator phenotype (CIMP)-High and MSI serrated carcinoma; 20% show a *KRAS* mutation, and these are the presumptive precursors of *KRAS*mut serrated carcinomas, a group of cancers that are more distally distributed in the colon and rectum and show microsatellite stability (MSS), aneuploidy (indicating chromosomal instability) and frequent p53 mutations. In all these respects, these *KRAS*mut serrated cancers resemble conventional adenocarcinomas of the adenoma–carcinoma sequence.
**Clinical significance of sessile serrated lesions**
Given its high prevalence and demonstrated potential for progression to more advanced dysplastic serrated polyps, SSLs are an important focus for intervention in the prevention of serrated pathway cancers. There are several issues of clinical importance related to this lesion: detection and removal, accurate pathologic classification, risk assessment, and surveillance. The dependence of the rate of detection of nondysplastic serrated hyperplastic polyps (HPs) on the endoscopist has been shown by Chen and Rex [10], who demonstrated that among 10,034 colonoscopies in 1999–2004 conducted by nine endoscopists at Indiana University Hospital, the prevalence of these lesions varied by endoscopist from 11.8% to 34.9%. In addition, a number of studies have indicated low reproducibility among pathologists in the distinction between HPs and SSLs. It appears, however, that reproducibility in classification can be significantly improved by using agreed prospective criteria.
As a practical matter, proximal HPs—particularly if they are large—should perhaps be regarded as SSLs unless proven otherwise. Finally, in terms of risk assessment and the need for surveillance, associated factors such as multiple additional serrated or conventional adenomas, a family history of colorectal cancer, older age, and the possibility of hyperplastic polyposis syndrome need to be evaluated when planning a surveillance strategy.
**Endoscopic assessment of serrated lesions**
The diagnosis of lesions of the colorectal mucosa with a superficial appearance at endoscopy is conducted in two distinct steps: detection of an area of suspicion, followed by characterization of the abnormal area with respect to the risk of malignancy. The detection step is conducted with standard white-light endoscopy and requires training for the application of criteria other than visible shapes, elevations, or depressions. New criteria include a change in the color of the mucosa or an interruption of the course of superficial capillaries. The purpose of characterization is to predict the histology from the endoscopic appearance. Chromoscopy with indigo carmine solution or NBI helps disclose the morphology of the anomaly in the subtypes of the category 0 of the Paris classification and the surface microarchitecture (pit pattern or vascular pattern).
Small nodules or papules on the surface of SSLs may indicate the presence of a mixed polyp. These small nodules frequently present areas containing dysplastic tubular or tubulovillous structures depicting a pit pattern type III, and most frequently type IV at magnifying endoscopy. The presence of type III, and IV pit patterns through the whole lesion predicts a more advance form with considerable dysplastic change.
The topographic distinction between proximal and distal lesions is relevant to the efficacy of complete colonoscopy in screening protocols. There is no doubt that large and nonpolypoid lesions, both serrated and nonserrated lesions, are often missed in the cecum and ascending colon during colonoscopy. The proximal colon, the preferential site for poorly visible and large nonpolypoid serrated lesions, requires special attention and careful washing of any mucus covering the mucosa. Lesions missed in the proximal colon are a relevant cause of the preferential localization in the proximal colon of interval cancer detected within 5 years after a negative screening colonoscopy. This also explains the lack of protection from colorectal cancer mortality afforded by complete colonoscopy in the Ontario population-based study conducted by Baxter et al. [11]. The occurrence of a previous complete colonoscopy was investigated in the history of patients who had died of cancer and of control individuals who had no cancer. A previous colonoscopy was strongly associated with fewer deaths for left-sided CRC (OR 0.33), but not for right-sided cancer (OR 0.99). The difference was attributed to poor detection of lesions in the proximal colon.
**Assessment of the risk of malignancy in serrated lesions**
**Scale of risk.** The endoscopic evaluation of the nature of a mucosal lesion can be summarized in a pragmatic classification that applies to serrated as well as to nonserrated lesions and estimates the risk of malignancy. This pragmatic classification supports treatment decisions, which should of course be controlled by the results of histopathology after treatment. There are five categories of risk.
1. **No risk in nondysplastic serrated lesions.** This corresponds to categories 1 and 2 in the Vienna classification.
of neoplasia in the gastrointestinal mucosa and applies to small hyperplastic polyps less than 10 mm, located in the distal colon and with a type II pit pattern at magnifying endoscopy. At lower magnification with high-resolution endoscopes, the pit pattern appears as small dots evenly distributed throughout the lesion. No endoscopic treatment is necessary; biopsy and decision of local surveillance is optional.
2. **Low risk in nondysplastic serrated lesions.** Some potential for progression to carcinoma may exist in large hyperplastic polyps > 10 mm, proximally located hyperplastic polyps, and in SSLs usually presenting a type II pit pattern. Endoscopic resection with histopathologic validation of the resected specimen is recommended.
3. **Low risk in dysplastic serrated or nonserrated lesions.** This corresponds to categories 3 and 4-1 to 4-4 of the Vienna classification and concerns adenomas classified as low-grade intraepithelial neoplasia (IEN), adenomas with noninvasive high-grade IEN, and also well-differentiated intramucosal carcinoma with low-grade cell atypia. These lesions at endoscopy frequently present pit patterns type III.I and IV. The risk for lymph-node metastasis is low and endoscopic resection is recommended, as well as surveillance after treatment (advanced adenoma protocol).
4. **Intermediate risk in dysplastic serrated or nonserrated lesions.** This corresponds to category 4-4 in the Vienna classification and to category 5; it concerns differentiated intramucosal carcinoma with high-grade cellular atypia, poorly differentiated intramucosal carcinoma with signet ring cells, and differentiated submucosal carcinoma with low histological grade and a depth of invasion in the submucosa < 1000 μm. The majority of these lesions at endoscopy present a type V₁ (irregular) pit pattern at magnifying endoscopy. The optional decision between endoscopic resection and surgical treatment can be revised after pathologic examination.
5. **High risk in neoplastic serrated or nonserrated lesions.** A high risk of progression corresponds to poorly differentiated carcinoma with invasion of the submucosa, and to well-differentiated submucosal carcinoma with high-grade histology or invasion over 1000 μm. The majority of these lesions present a type V₂ (nonstructured) pit pattern at magnifying endoscopy. There is a high risk for lymph-node metastasis. Surgical treatment is required.
**Surveillance strategy in the serrated pathway**
In current practice in the United States and other Western countries, hyperplastic polyps are usually removed when encountered at colonoscopy. It is probably unnecessary to attempt to remove every small hyperplastic polyp found in the distal sigmoid and rectum. Proximally located serrated polyps, even those with endoscopic features reported to be highly predictive of hyperplastic histology, should be completely removed if possible, since they are likely to represent SSLs and the probability of a finding of dysplasia in such lesions, according to a study by Rex et al. [12], is approximately 4%. East et al. [13] urge the colonoscopist to weigh up the risks and benefits of immediate polypectomy of large flat lesions, especially in the thin-walled proximal colon, against observation with biopsy to confirm SSL and/or allow resection at a later date.
Surveillance of patients following removal of SSLs is warranted, especially if there are additional risk factors such as large size and multiple additional serrated or other polyps, or if there is a family history of colorectal carcinoma.
or features that suggest hyperplastic polyposis syndrome. The time frame for progression of SSL to dysplasia and ultimately to carcinoma is not known and the appropriate frequency of surveillance colonoscopy has not been evaluated, but guidelines similar to those that apply to conventional adenomas may be appropriate. Assuming a prevalence of 10% of SSL in the U.S. population over 50 years, the risk of CRC development can be calculated on the basis of estimates of the annual incidence of serrated carcinomas (15% of the total incidence) and the number of patients in the population over 50. This calculation yields a risk of cancer by year in individuals harboring any SSL as 0.25%/year—a value very similar to the estimate of the risk for CRC developing in an individual with any conventional adenoma, as calculated by Eide in 1986 using autopsy prevalence rates and the known CRC incidence [14]. For the purposes of a surveillance strategy, it may therefore be reasonable to assign a single SSA without dysplasia the status of a small tubular adenoma and to regard the more advanced dysplastic serrated polyps as the equivalent of advanced adenomas. Finally, the mean age of SSL patients appears to be approximately 20 years lower than that of patients with incident MSI carcinomas. This suggests that the time frame for progression and the window of opportunity for intervention in the serrated pathway may be as long as, or longer than, that in the conventional APC adenoma–carcinoma sequence.
REFERENCES
1. Jass JR. Classification of colorectal cancer based on correlation of clinical, morphological and molecular features. Histopathology 2007;50:113–30.
2. Jaramillo E, Watanabe M, Rubio C, Slezak P. Small colorectal serrated adenomas: endoscopic findings. Endoscopy 1997;29:1–3.
3. Makinen MJ. Colorectal serrated adenocarcinoma. Histopathology 2007;50:131–50.
4. O’Brien MJ, Yang S, Huang CS, et al. The serrated polyp pathway to colorectal carcinoma. Diagn Histopathol 2008;14:78–93.
5. The Paris endoscopic classification of superficial neoplastic lesions: esophagus, stomach, and colon: November 30 to December 1, 2002. Gastrointest Endosc 2003;58(6 Suppl):S3–43.
6. Kudo S, Lambert R, Allen JJ, et al. Nonpolypoid neoplastic lesions of the colorectal mucosa. Gastrointest Endosc 2008;68(4 Suppl):S2–47.
7. Torlakovic E, Snover DC. Sessile serrated adenoma: a brief history and current status. Crit Rev Oncog 2006;12:27–39.
8. Iwabuchi M, Sasano H, Hiwatashi N, et al. Serrated adenoma: a clinicopathological, DNA ploidy, and immunohistochemical study. Anticancer Res 2000;20:1141–7.
9. Spring KJ, Zhao ZZ, Karamatic R, et al. High prevalence of sessile serrated adenomas with BRAF mutations: a prospective study of patients undergoing colonoscopy. Gastroenterology 2006;131:1400–7.
10. Chen SC, Rex DK. Variable detection of nonadenomatous polyps by individual endoscopists at colonoscopy and correlation with adenoma detection. J Clin Gastroenterol 2008;42:704–7.
11. Baxter NN, Goldwasser MA, Paszat LF, et al. Association of colonoscopy and death from colorectal cancer. Ann Intern Med 2009;150:1–8.
12. Rex DK, Johnson DA, Anderson JC, et al. American College of Gastroenterology guidelines for colorectal cancer screening 2009. Am J Gastroenterol 2009;104:739–50.
13. East JE, Saunders BP, Jass JR. Sporadic and syndromic hyperplastic polyps and serrated adenomas of the colon: classification, molecular genetics, natural history, and clinical management. Gastroenterol Clin North Am 2008;37:25–46.
14. Eide TJ. Risk of colorectal cancer in adenoma-bearing individuals within a defined population. Int J Cancer 1986;38:173–6.
The World Gastroenterology Organization (WGO) is proud to have had the recent Guideline on inflammatory bowel disease (IBD) published in the world’s leading journal on the condition, *Inflammatory Bowel Diseases* (published by Wiley, www3.interscience.wiley.com/journal/113307010/home). IBD is to be the focus of World Digestive Health Day (WDHD) in 2010. We are pleased that the WGO’s focus on “resourcesensitive” solutions in the management of IBD has been so enthusiastically received by the journal’s editors, Dr. Richard MacDermott and Dr. Robert Burakoff.
WGN’s interview with the editors shows that IBD is a global problem that requires local solutions. While gold standards are important in the ideal situation, there are wide variations both between countries and even within countries, and WGO is proud to have the journal’s support for its concept of “cascades”—resourcesensitive options for diagnosis and management. The guideline was produced by a global team headed by Dr. Charles Bernstein from Canada. Versions are also available in French, Portuguese, Mandarin, Russian and Spanish from the WGO web site (www.worldgastroenterology.org).
The IBD journal version is available for download worldwide through academic institutions and libraries.
**WGN:** Is a special focus on IBD needed in developing countries? To what extent is IBD a problem in developing countries, and is it growing?
**MacDermott and Burakoff:** Ulcerative colitis and Crohn’s disease are steadily increasing in incidence and prevalence around the world. In most countries, the incidence and prevalence of IBD are greater in urban, as opposed to rural, areas. A leading potential cause of IBD includes an alteration in intestinal bacteria. This may be due to diet or the use of some medications such as antibiotics. It may also be that IBD is emerging in developing countries because of the adoption of a Western lifestyle.
**WGN:** Are there ethnic or cultural issues in the global epidemiology of the conditions?
**McD & B:** The worldwide increase in IBD is occurring among a variety of ethnic groups. Hence, there may be many different genes that predispose to ulcerative colitis and Crohn’s disease, but since the gene pool is not changing...
as rapidly as IBD is emerging in developing nations, this points to the importance of environmental factors.
**WGN:** What are the issues and challenges involved in IBD throughout the world—in connection with financial concerns and resources, for example?
**McD & B:** The diagnosis and treatment of ulcerative colitis and Crohn’s disease is particularly challenging if resources are limited. Therefore, the approach to diagnosing and treating IBD needs to be adjusted depending on the resources available and the patient population being evaluated.
**WGN:** How can the WGO and its guideline on IBD be helpful here?
**McD & B:** The World Gastroenterology Organisation’s “Global Guidelines for the Diagnosis and Management of IBD” are the first IBD guidelines to take account of the available resources and the way in which resource availability affects diagnosis and treatment around the world.
**WGN:** The IBD guideline is unique in including resource-sensitive options, designed by Dr. Charles Bernstein, which we call “cascades.”
**McD & B:** The cascade options outlined in the WGO’s IBD guidelines make it possible to take scarce resources into consideration. Some people may think that resource-sensitive guidelines would be most applicable to countries that have fewer financial resources. However, resource-sensitive guidelines are in fact applicable in all countries around the world due to the increasing costs of health care, which are making budget constraints necessary in health-care systems all over the world.
**WGN:** Do you think all guidelines should take account of such resource-sensitive management options, or should guidelines simply present the available “gold standard” recommendations?
**McD & B:** “Gold standard” guidelines are important for the ideal situation. However, there is wide variability within each country, depending on the medical budget available in each individual region or district. Although it is important to be aware of ideal gold standards, the long-term (1–2-year) remission rate obtained with biologic drugs is less than 40%, and not every IBD patient will benefit from more costly biologics. It is in fact appropriate to use less expensive and equally well-established medications, such as immunomodulators, first. Furthermore, major side effects can occur due to biologics. In the future, therefore, guidelines for the diagnosis and treatment of ulcerative colitis and Crohn’s disease in all countries will need to take the availability of resources and the cost of medications into consideration.
**WGN:** Why did you see your journal, *Inflammatory Bowel Diseases*, as a suitable vehicle for disseminating the world guidelines?
**McD & B:** The journal *Inflammatory Bowel Diseases* is dedicated to the publication of articles concerning ulcerative colitis and Crohn’s disease, with regard to every aspect of IBD patient care, clinical research, and basic research. The journal is available for download worldwide through academic institutions and libraries and has an impact factor of 4.975. *Inflammatory Bowel Diseases* is therefore proud and delighted to have had the opportunity to publish the World Gastroenterology Organisation’s global guidelines on the diagnosis and management of IBD.
Interview conducted by Justus Krabshuis, Highland Data, Tourtoirac, France
Mentoring for residents
Introduction: benefits of mentoring, definition
Everyone needs to know where they are and where they are trying to get to—especially on the first rungs of a career in medicine. When we are looking for a way forward, it’s often helpful to have guidance from someone more experienced whom we can respect and admire. Just as an average mountaineer couldn’t get to the top of K2 without a Sherpa, people starting on medical careers can find it difficult to scale the peaks and fulfil their potential without guidance and assistance from more experienced practitioners. A skilled guide can point you in the right direction, help you avoid obstacles, and point out alternative routes—in a word, can be a mentor. Able and dedicated clinical teachers willing to act as mentors are difficult to find, however.
Teachers, role models, and mentors (Figs. 1, 2)
Teaching staff can sometimes become mentors and role models without realizing it—finding ways of passing on values, attitudes and ways of behaving. But mentors can also take an active role in guiding their colleagues—a role that requires training, time, and mutual trust.
Why should resident physicians need mentoring? The process can make residency periods more rewarding, hospital departments better, and perhaps even the medical specialty as a whole stronger. The benefits of mentoring for individuals in the short term and for large organizations in the longer term have long been recognized in the business world. In medicine, however, mentoring is typically undervalued and is not associated with any financial reimbursement or academic recognition for the time invested. As a result, it is aimed at achieving specific career goals for the mentee.
Mentors can be assigned to residents as part of a formal program, but mentoring relationships based on free choice tend to be more satisfactory, with more frequent communication and a greater contribution to the residents’ personal growth and career development being reported. A mentor becoming increasingly difficult to obtain nowadays. The benefits of the mentoring relationship for mentors themselves may be entirely subjective, with successful mentors being largely motivated by the opportunity to have a positive and substantial effect on another person’s life and career.
Mentoring versus teaching
Being a mentor to a resident is different from being a teacher. Teachers’ contacts with residents are episodic and focused on imparting medical knowledge. Mentoring involves the development of a personal relationship and mutual understanding, with interactions can have more than one protégé (or protégée), but generally there should not more than two or three at once due to time constraints. Conversely, mentoring is not an exclusive relationship, and residents can benefit from having several different mentors. Residents’ needs vary at different stages of training, and several mentors may therefore be needed.
The three main components of successful mentorship are accessibility, interpersonal chemistry, and expertise.
The resident’s point of view
Residents can have a wide variety of different mentoring needs during training. They should choose mentors...
with whom they feel they have the right connection, to whom they have easy access, who are generous with their time and who can provide them with the opportunities they need to succeed in their goals.
As residents progress through their training, their mentoring needs evolve as well. Early on during training, residents need to learn how to succeed in the department they are working in. As residency also coincides with child-rearing years, many can benefit from mentors who are also familiar with balancing career and family needs. Women are under the greatest stress in coping with career and family roles, and many lack adequate role models or mentors who can offer advice on finding the right balance.
**Department**
At the departmental level, faculty members and residents can discuss their expectations before moving forward and investing...
time in setting up a mentoring relationship and research project. It is the responsibility of mentors to match residents to projects that are appropriate to their needs and abilities. Residents need to be aware that mentorship is available.
However, a number of barriers can arise that prevent residents from seeking mentors:
- Fear of approaching someone
- Feeling there’s no one you can trust
- Not having considered seeking out a mentor
Departments should cultivate a mentoring culture in order to minimize these barriers. Mentors need to receive information about what makes for successful mentorship—including respecting confidentiality, focusing on how to identify protégés’ needs and how to help them achieve their goals. In successful mentoring relationships, both parties will enjoy the interaction. Protégés should feel that their mentors are genuinely interested and have time for them. Mentors should feel that their advice is being considered thoughtfully and their time respected.
To improve mentoring services in endoscopy residence programs (Fig. 3), departments should consider setting up a separate award for mentoring. The existence of the award will emphasize the importance of mentoring to the entire department and it also indicates that mentoring is seen as being different from teaching.
**Conclusions**
Key points for mentees:
- The process should be fun
- Be honest with the mentor
- Follow through on lessons learnt
- Do not become friends with the mentor
- Do not be afraid to ask questions
Tips for mentors:
- Ensure a positive learning environment
- Try to understand the trainee’s point of view
- Identify common problems
- Direct the trainee toward learning resources
- Encourage reflections
- Teach by example
- Give frequent feedback
- Seek comments from the trainee
In conclusion, mentoring helps ensure the trainee’s future success, and the relationship is an essential aspect of career development. Successful mentoring of residents is crucial, as the entire specialty depends on the way in which today’s residents face tomorrow’s challenges.
**FURTHER READING**
Dosani S. Mentoring. *BMJ Careers* 2006;332:93–5.
Drossman DA. On mentoring. *Am J Gastroenterol* 2007;102:1848–52.
Paice E, Heard S, Moss F. How important are role models in making good doctors? *BMJ* 2002;325:707–10.
Roque Saenz, MD, Clinica Alemana, Universidad del Desarrollo, Santiago de Chile, Chile, E-mail: email@example.com
Unprecedented success in 2009
The WGO celebrates World Digestive Health Day (WDHD) every 29th May, initiating a worldwide public health campaign through its 110 national and regional societies and over 50,000 members. Each year focuses on a particular digestive disorder in order to increase general public awareness of prevention, early diagnosis, and optimal therapy. World Digestive Health Day has grown into an event that is celebrated in every part of the globe.
In 2009, World Digestive Health Day tackled a global problem that reportedly affects the life of millions—irritable bowel syndrome (IBS). WGO recognizes that in spite of all the volumes of research published on the prevalence and impact of IBS worldwide, there is a real unmet need to bring the latest information on IBS to medical practitioners, other health-care professionals, and the general public. 62 events for World Digestive Health Day were held this year in over 40 countries.
India
India was one of the most active countries taking part in World Digestive Health Day in 2009. In Bhubaneswar (Fig. 1), a community meeting was held on IBS, and educational materials about IBS were published in Hindi and Oriya for the first time. In Kerala, continuing medical training was given at Calicut Medical College. In Nagpur, free consultations were made possible for the local population, and an article about IBS was published in the local newspaper. Finally, in Pune, a local and national media campaign about IBS was launched, leading to an IBS article being published in the *Times of India*, one of world’s largest-circulation English broadsheet newspapers.
USA
The initial meeting of the WGO IBS Task Force Summit, held in Cincinnati, Ohio (Fig. 2), brought together leading IBS experts from around the world to assess the global status of IBS prevalence, impact, and management. To address various aspects of IBS in different parts of the world, the similarities and differences in the presentation and management of IBS between various regions and the development of strategies for diagnosis and treatment were considered as the main objectives for the work of this group of experts. The Task Force findings will be presented at a special...
satellite symposium at Castro 2009 in London on 22 November 2009 at 18:00–19:30 at the Excel Conference Centre (N7/8).
**Sudan**
WDHD was marked in Sudan with eminent local gastroenterologists giving lectures on IBS for medical students, physicians, and gastroenterologists (Fig. 3). A guest lecturer from England, Peter Cartwright, adopted a unique approach to IBS and WDHD by speaking about new perspectives on IBS in war regions.
**Argentina**
In Argentina, WDHD was observed with unprecedented media impact: public awareness about IBS was increased all around the country through educational materials, and a prominent press conference dedicated to IBS resulted in numerous articles in some of Argentina’s largest newspapers (Fig. 4). Altogether, six events were held all around Argentina, and WGO is pleased to announce that the *Sociedad Argentina de Gastroenterología* (SAGE), one of South America’s national gastroenterology societies, has also translated into Spanish the IBS tools that WGO developed for WDHD 2009 in cooperation with Danone.
**Pakistan**
In Pakistan, WDHD events were held in three parts of the country—Lahore, Karachi, and Peshawar. In Peshawar, a large symposium with lectures and a public awareness session was organized to highlight IBS (Fig. 5). A lively discussion followed lectures by an expert panel, with doctors and the general public alike putting questions about IBS to some of Pakistan’s most widely known gastroenterologists. The local media also joined the Pakistan Society of Gastroenterology in marking WDHD, with national and regional newspapers publishing articles about IBS.
**Spain**
The Spanish Federation of Gastroenterology organized an open day focusing on IBS, held in the Science Park in Granada on World Digestive Health Day 2009 (Fig. 6). During this special event, members of the general public were able to find out more about the condition as IBS specialists
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**Fig. 3** Eminent local gastroenterologists gave lectures on IBS at a symposium in Khartoum.
**Fig. 4** Argentina: an article published the Bahía Blanca newspaper *La Nueva Provincia*.
**Fig. 5** The IBS symposium in Peshawar.
discussed this global problem. The WGO “Global Guideline on Irritable Bowel Syndrome” was also presented to the public for further information.
**Slovakia**
Thanks to the provision of unrestricted educational funds by Danone to national gastroenterology societies in Europe, South America, and Africa in order to raise awareness about IBS, several events were held all over the world, IBS information was translated into local languages, and press conferences and symposia were held.
For example in Slovakia, various hospitals were provided with IBS educational materials and information about the condition in Slovak for patients (Fig. 7). The President of the Slovakian Gastroenterology Society also gave a radio interview to inform the public about IBS, and a nationwide public awareness campaign was launched.
**Unprecedented success**
It is clear that World Digestive Health Day 2009 was an unprecedented success. WGO would like to extend its warmest thanks to all of the national gastroenterology societies and other event organizers who joined us in raising global awareness and informing the general public about IBS. It is the generous and committed work of these volunteers that makes WDHD an event with a truly global impact.
**WDHD 2010: inflammatory bowel disease**
The next challenge for national societies and industry partners will be World Digestive Health Day 2010—focusing on inflammatory bowel disease. Next year, WGO will be concentrating its efforts on informing the general public and gastroenterologists alike about inflammatory bowel disease (IBD) under the guidance of the WDHD 2010 campaign leader, world-renowned IBD expert Dr. Charles Bernstein.
Throughout the year, the focus will be on issues such as general awareness of IBD, the importance of accurate IBD diagnosis, and assessment and appropriate therapy—critical issues for the millions of people all over the world living with IBD. World Digestive Health Day 2009 amply illustrated the way in which a WGO-led global campaign on digestive health can truly make a difference. Looking ahead to 2010, WGO invites all national societies and other WDHD partners to join us in raising IBD awareness to a new level.
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**Fig. 6** WDHD event programme from Spain
**Fig. 7** Educational material on IBS in Slovak.
Working Party reports: overview and summaries
The Gastro 2009 Working Parties will be presenting their results at the World Congress in London in November, and their reports will later be submitted for publication in peer-reviewed journals. The Working Party concept has been one of the real success stories of previous World Congresses and has resulted in the publication of important documents such as the “Sydney Classification” and “The LA Grading System.” For almost 2 years, the GASTRO 2009 Working Parties have been working on key global issues in gastroenterology. All of the topics have been reviewed and approved by the GASTRO 2009 Scientific Program Committee. We are confident that these reports will have a global and lasting impact on the management of important digestive disorders. An overview of the GASTRO 2009 Working Party reports is presented here.
Endoscopy guidelines for credentialing
Chair: Doug Faigel, USA; Co-Chair: Peter Cotton, USA. The London OMED guidelines for credentialing and quality assurance in digestive endoscopy emphasize the importance of both the professionalism of those who carry out endoscopic procedures and the need to consider quality assurance as a continuous process for measuring aspects of endoscopic performance, focusing on the endoscopy unit.
Guidelines for evaluation of new screening tests for colorectal and gastric cancers
Chair: Graeme P. Young, Australia; Co-Chair: Jack Mandell, USA; Gastric Cancer Co-Chair: Joseph Sung, Hong Kong. The goal of the Working Party has been to develop practical guidelines on how best to compare “new” with proven screening tests in terms of their clinical context, optimal end points, and appropriate study design. As a result, a four-phase approach to new test evaluation is proposed, which will allow efficient evaluation of new screening tests and ensure that their impact on population outcomes, including mortality, can be estimated relative to proven screening tests.
HCV genotypes 4, 5, and 6: the neglected genotypes
Chair: Nabil Antaki, Syria; Co-Chair: Patrick Marcelin, France. HCV genotypes 4, 5, and 6 represent 20% of all HCV infection cases worldwide. Their incidence in areas in which genotypes 4, 5 and 6 have traditionally been rare is changing, and as a result of this Working Party’s efforts, the impact of these changes has been evaluated and new recommendations for treatment are provided.
Continued on next page
Postinfective IBS: a global perspective
Chair: Robin Spiller, UK; Co-Chair: Paul Erck, Germany. About 10–20% of inflammatory bowel syndrome (IBS) cases are thought to start after a gastrointestinal infection. The Working Party set up a web-based survey for IBS patients to report the mode of onset of their IBS symptoms, which suggests that postinfective IBS accounts for 22% of all IBS cases and occurs throughout the world, with clinical features that are similar to non-postinfective IBS.
The London position statement on biological therapies in IBD treatment
Chair: Jean-Frédéric Colombel, France. Biological therapy is a significant advance in the management of inflammatory bowel disease (IBD), although it is only indicated for patients in whom conventional therapy has failed. This London position statement generates recommendations for when to initiate and when to end biological therapy in patients with IBD, and discusses the choice of drugs, the issue of adverse events, and the prediction of responses. Pregnancy and pediatric IBD are also taken into account.
Recent advances in the pathogenesis of gallbladder cancer and precancer
Chair: Robert Goldin, UK. In order to assess the level of agreement between histopathologists in classifying the preinvasive stages of gallbladder cancer, to describe clearly the individual histological features that contribute to the diagnosis, and then to develop a classification of the preinvasive stages of gallbladder cancer, this Working Party set up an exclusive web site for specialist input. On the basis of these interactive diagnoses and their evaluation, the London classification of preinvasive gallbladder cancer was developed.
Early recognition of Barrett’s esophagus–related neoplasia: the BORN project
Chair: Prateek Sharma, USA. The BORN project team has worked closely during the past year and a half on a high-quality teaching tool for endoscopists for the recognition of early Barrett’s neoplasia and on examining the ability of expert and nonexpert endoscopists to recognize early lesions.
Guidelines on histological techniques and reporting: the London classification of GI neuromuscular pathology
Chair: Charles Knowles, UK; Co-Chair: Roberto de Giorgio, Italy. The Working Party has already produced guidelines on histological techniques and reporting and is developing a contemporary classification of gastrointestinal neuromuscular pathology based on defined histopathological criteria and using the already created guidelines as a platform.
Working Party reports: The Working Parties will be representing their work at GASTRO 2009 at special sessions dedicated to the landmark results of the Working Parties’ Research. For further information, please consult the congress website, www.gastro2009.org.
Histology for gastrointestinal neuromuscular pathology:
an interview with the chairs of the GASTRO 2009 Working Party, Charles Knowles and Roberto de Giorgio
WGN: When did your Working Party for the “Guidelines on histological techniques and reporting: the London Classification of GI neuromuscular pathology” start its work? Could you tell us a little about why you wanted to be involved in the Working Party?
Knowles and de Giorgio: The idea originated from informal discussions held at the Festschrift meeting for Prof. Peter Milla at the Institute of Child Health in London in March 2006. Prof. Milla and other colleagues had long wished to try and rationalize the practice of histological reporting and disease classification for gastrointestinal neuromuscular conditions. We agreed to try and push the process forward after his retirement. After a failure to formalize the process by other means, we applied for selection as a Gastro 2009 Working Party. Work started in earnest in July 2007 with the recruitment of other members.
The subject area was one for which all of the members recognized that there was an urgent need for standardization. From our own perspective, both of us are often faced with the dilemma of giving opinions on the results of histology to patients without a firm international consensus on the validity and interpretation of such results. The implications of this for the patient are serious.
WGN: Have the Working Party’s guidelines already been published?
K & deG: The detailed guidelines were published in the August edition of Acta Neuropathologica. This “opus” spans 31 pages of the paper journal and has 172 accompanying references, numerous figures and tables, as well as several key sets of reporting and referral recommendations to guide the general pathologist. Supplemental material is provided digitally. The full reference is given below [1]. Free reprints of the article will be available at the Working Party meeting on 23 November 2009.
WGN: Will you be developing a classification, and if so, does it have global applicability?
K & deG: We are in the process of developing a contemporary classification of gastrointestinal neuromuscular pathology based on defined histopathological criteria and using the guidelines as a platform. In recognition of its origins and first presentation in London at the World Congress of Gastroenterology 2009, GASTRO 2009, it has been named the “London Classification.” The classification needs to be seen as a starting-point for future modification as new data become available. It will have global applicability. We anticipate publication of the classification later this year in a major general gastroenterology journal.
WGN: How do the Working Parties help improve patient care?
K & deG: With regard to our own Working Party, we believe that the process facilitated by the WGO will have significant benefits for patient care. The immediate implementation of the guidelines and classification
should allow diagnostic standardization and provide useful prognostic and therapeutic information. As the classification develops further, it is envisaged that it will provide a firmer base for longer-term collaborative studies, with the development of databases leading to a better understanding of underlying disease mechanisms, developments in diagnostic biomarkers, and perhaps more effective (targeted) therapies.
**WGN:** What is the next step for your Working Party?
**K & deG:** The classification offers a provisional “snapshot in time” that uses the best available current evidence and a consensus of expert opinion. Particularly relevant to future modification is the definition of quantitative normative data for gastrointestinal neuromuscular pathology that are specific for age, gender and region. The Working Party identified this as the area where there is a critical need for future research, as the histopathological phenotypes defined by the guidelines were deliberately kept highly conservative, due to the absence of adequate data to provide quantitative limits of normality in the individual. The Working Party has nevertheless suggested standards that might result in the establishment of normal values that would be applicable in different centers and regions. An international cooperative study group may be developed to pursue this research in the future. We would like to thank all the members of the Working Party for all their hard work.
**REFERENCES**
1. Knowles CH, De Giorgio R, Kapur RP, et al. Gastrointestinal neuromuscular pathology: guidelines for histological techniques and reporting on behalf of the Gastro 2009 International Working Group. *Acta Neuropathol* 2009;118:271–301.
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**Learn more about this Working Party’s results at GASTRO 2009:**
- Working Party Report: Guidelines on histological techniques and reporting: the London Classification of GI neuromuscular pathology
- Date: Monday, 23 November 2009
- Time: 11:00–12:30
- Venue: Platinum 3/4
WGO is one of the host societies for GASTRO 2009 and together with United European Gastroenterology Federation (UEGF), the Organisation Mondiale d’Endoscopie Digestive/World Organization of Digestive Endoscopy (OMED) and the British Society of Gastroenterology (BSG) we have arranged a landmark meeting that will set the standard for future conferences. During GASTRO 2009, the WGO will be organizing symposia focused on education and training, following up on World Digestive Health Day 2009 with the latest news from the WGO IBS Task Force, and inviting all its members and partners to the WGO booth to meet world-renowned gastroenterology experts and exchange ideas with colleagues.
**WGO booth**
Find out what WGO can do for you and how you can join us in promoting global digestive health. As a world organization for gastroenterologists, we are delighted to be able to offer GASTRO 2009 attendees the chance to meet some of the leadership of both WGO and the WGO Foundation. During GASTRO 2009 exhibition days we are pleased to invite you to stop by the WGO booth and exchange ideas with our most prominent professionals. The WGO booth will be open on 20–25 November 2009 and the WGO leaders will be available on 23–25 November 2009.
The WGO expert on detailed medical literature searches, Justus Krabhuys, will also be available for questions and comments at the WGO booth during the exhibition hours.
**WGO Symposia—the latest developments in gastroenterology**
**WGO IBS Task Force symposium.**
New horizons in irritable bowel syndrome: developments in pathogenesis and a report from the WGO IBS Task Force. Irritable bowel syndrome (IBS) has long been recognized as a common and often very bothersome problem in North America and western Europe, which in severely affected individuals can have a significant impact on work, family, and personal life. Management of the condition has traditionally posed challenges, related in part to a failure to understand its cause(s). Two recent developments require a more global approach to IBS: firstly, the recognition that IBS is common almost everywhere, but that there may be differences in its demographics and symptomatology in different parts of the world; and secondly, research that indicates potential roles for the gut flora and the host immune response in the pathophysiology of IBS. We all have much to learn from experience with IBS in different parts of the world. This is the essence of the WGO Global Task Force on IBS—to obtain a truly global picture of IBS, to appreciate similarities and differences in the presentation and management of IBS between various regions, and to develop strategies for diagnosis and treatment that are mindful of these issues.
WGO welcomes you to discover the findings of the WGO IBS Task Force at this special satellite symposium chaired by Professor Eamonn Quigley, the WDHD 2009 Campaign Leader and WGO President. *Chair:* Eamonn Quigley, Ireland. Sunday 22 November 2009, 18:00–19:30, N7/8.
**Global education for gastroenterologists.** As the global guardian of digestive health, WGO regards global training and education as part of its mission. This symposium offers an insight into the global impact of WGO’s core educational initiatives: the Train-the-Trainers workshops and WGO Training Centers. *Chair:* Eamonn Quigley, Ireland. Monday 23 November 2009, 15:45–17:15, N11/12.
**WGO Brohé Medal and Lecture:** Acid secretion in the developed world: now too much of a good thing? During every World Congress of Gastroenterology, WGO devotes two plenary lectures that are named after two of WGO’s founding fathers, Georges Brohé and Henry Bockius, to the discussion of some of the latest and “hottest” topics in the field of gastroenterology. *WGO Speaker:* Kenneth McColl, United Kingdom. Tuesday 24 November 2009, 08:30–09:00, S4/5.
**WGO Henry L. Bockus Medal and Lecture:** Science, society and the gastroenterologist: the influence of politics, pharma and professors. *WGO Speaker:* Richard Hunt, Canada. Tuesday 24 November 2009, 14:00–15:30, N9/10.
**UEGF/IDCA/ESDO/IARC:** European Guidelines for quality assurance in colorectal cancer screening – network meeting and UEGF workshop. *Organising committee:* C. O’Morain, M. Classen, S. Madaj, J. Patrick, N. Segnan, L. Faulds Wood, L. von Karsa. Saturday 21 November 2009, 08-18:00, SG 26/26
WGO Training Centers: Enhancing education in the developing world through global collaboration
Dr. Des Leddin and Ms. Heather Wynn
The WGO Training Centers play a pivotal role in the delivery of gastroenterology care around the globe through direct patient care, honing the skills of established experts, and training the next generation of caregivers in areas where training in gastroenterology is not readily available.
The needs of the centers, and potentially the number of centers, are growing. While these centers benefit from many experts who donate their time voluntarily, there are costs related to travel and accommodation, the provision of equipment and accessories, and to the development of effective communication between centers in order to enhance best practices and gain from each other’s experiences.
The WGO cannot meet these needs on its own. However, the WGO is in the unique position of being able to provide a global framework to facilitate links between training centers and gastroenterology societies, to help coordinate the educational efforts at each center and between centers, and to provide direct teaching and technical support.
Training Center partnership agreement
An important part of this global framework is now complete. The WGO has developed a template agreement that defines the relationships between training centers, the WGO, and potential national society sponsors of the training centers. Under the terms of this agreement, each party is aware of its own roles and responsibilities. The challenge now is to encourage more national societies to lend their support to the training centers. This is already well under way. Societies from every region have shown enthusiasm, and we are confident that progress will accelerate with the new structure in place.
Telemedicine Network
With the invaluable assistance of Professor Shuji Shimizu, the WGO Training Centers are being linked electronically though the Academic Network for Research and Education. As the Training Centers are connected, they will have an opportunity to participate remotely in courses offered by the other centers, extending the reach of these courses and allowing real-time communication between the centers.
The network was presented to the
Centers during DDW 2009 and met with unanimous enthusiasm. The first live broadcast between centers took place in October between the Mexico City Training Center, the Ribeirão Preto Training Center in Brazil, and the Seattle Science Foundation in the USA. The WGO hopes to use this network in the partnership program as well, allowing remote broadcasting of training courses from abroad into the Training Centers and enhancing the curriculum for WGO trainees through the ability to communicate with international experts.
**Outreach program**
In an effort to bring much-needed equipment to both WGO Training Centers and the home institutions of WGO trainees in areas of need, the WGO Outreach Committee has been established in order to solicit industry donations. The WGO would like to offer special thanks to Fujinon, Inc., for its generous donation to the WGO Suva Training Center in Fiji. Before the donation, the center in Fiji had only two gastrosopes, both more than 10 years old, and two serviceable colonoscopes. Thanks to Fujinon’s donation, the WGO Suva Training Center is now better equipped to train gastroenterologists in the South Pacific region, where gastroenterology training had previously been unavailable, and to offer endoscopic services to a local population of nearly one million.
The equipment was received and installed immediately before the start of the Training Center’s annual gastroenterology course, organized in collaboration with volunteers from the Gastroenterological Society of Australia (GES) to the benefit of both trainers and trainees. The new endoscopy unit was inaugurated during the course, and the benefits of the donation are already being seen in the center.
Fujinon’s generosity is also continuing—a donation to the WGO Ribeirão Preto Training Center in Brazil is currently underway. The WGO would like to express its thanks and recognition to Kurt Cannon, Vice-President of Operations of the Endoscopy Division at Fujinon, for his pivotal role in bringing these donations to fruition.
**Join the WGO in supporting the Training Centers**
We welcome all those interested in assisting the WGO in supporting the Training Centers—e.g., from industry partners who wish to donate equipment to gastroenterology societies that want to become involved in centers’ training programs. Please contact the WGO Executive Secretariat for further details.
The WGO Foundation has been hard at work in 2009 trying to raise funds to support WGO’s Training and Education programs and to ensure equal access to digestive health care.
**WDHD 2009**
The theme for World Digestive Health Day (WDHD) 2009 was irritable bowel syndrome (IBS). The condition reportedly affects millions of individuals (around one in 10) throughout the world and it has a significant influence on quality of life both in reported cases and in the unreported ones (around five in 10). There is an unmet need to bring the latest information on IBS to medical practitioners, other health-care workers, and the general public. The WGO Foundation was able to partner with industry sponsors such as Danone, Procter and Gamble Healthcare, and Boehringer-Ingelheim to focus attention on IBS. Many educational tools on IBS were developed for WDHD 2009, including a digestive health test, edu-lessons, and 10 tips for living with IBS. Further details are given on the Foundation’s web site (www.wgofoundation.org).
**WDHD 2010**
For WDHD 2010, WGO has chosen to focus on inflammatory bowel disease (IBD). IBD represents a group of idiopathic chronic inflammatory intestinal conditions, the two main disease categories being Crohn’s disease and ulcerative colitis. Epidemiologic research is showing that IBD is having an increasing global impact. The WGO is honored to have Dr. Charles N. Bernstein of the University of Manitoba leading the WDHD campaign on IBD.
For WDHD 2010, the WGO Foundation is concentrating on developing relationships with a variety of sponsors, including Danone and Procter and Gamble, aiming to produce further educational tools and achieve increased awareness among both the medical community and the general public. We hope these and other similar initiatives will continue to enhance our collaborative relationships with nutrition companies and the pharmaceutical industry.
**Fundraising initiatives**
The WGO Foundation engaged CCS, an international professional fund-raising group to conduct a feasibility study on the prospects for a major global fund-raising campaign. Over 75 individuals, including international leaders in gastroenterology, representatives from the instrument and pharmaceutical industries, and World Gastroenterology Foundation leaders were interviewed to ascertain their opinions concerning the Foundation and the feasibility of a campaign. Based on the results of the feasibility study, a fund-raising campaign will begin in January 2010. The success of this effort will depend heavily on the efforts of WGO members worldwide.
The WGO Foundation is also proud to announce the Masters of the WGO Fundraising Campaign, described below by Richard Fedorak.
In these lean economic times, it is a challenge to raise the funds needed to support WGO’s essential training and education programs focused on developing and low-resource countries. We are working diligently to support these programs, which have come to mean so much to doctors and their patients. Digestive disorders—from diarrhea to obesity to cancer—are ranked by the World Health Organization among the 10 leading causes of mortality, and gastrointestinal and liver malignancies are the single greatest cause of cancer mortality. Unfortunately, however, these common disorders rank disproportionately low in both public awareness and health-care priority in many countries.
**Bernard Levin, MD**
Chair, WGO Foundation Board
Professor Emeritus, University of Texas M.D. Anderson Cancer Center
E-mail: firstname.lastname@example.org
As part of the award, the WGO will create a WGO Training Center Fellowship or Studentship at a designated WGO Training Center, which will be permanently endowed in the Master’s name. Each individual Master’s fellowship or studentship will offer promising up-and-coming gastroenterologists from developing countries support in attending the designated WGO Training Center and furthering their education and training in digestive disease. The fellowship or studentship will be uniquely directed toward supporting those talented individuals who are committed to improving care for patients with digestive disorders in their home country. Their training at the WGO Training Center will be specifically designed to give them optimal preparation for this.
The Masters of the World Gastroenterology Organisation award is the highest honor the WGO can bestow, and the legacy of a dedicated Fellowship or Studentship will establish this honor for generations of gastroenterologists in the future. We will be honoring the 2009 Masters of the World Gastroenterology Organisation during Gastro 2009 at the WGO General Assembly on 24 November 2009 at the Convention Centre in London. The 2009 Masters of the World Gastroenterology Organisation are:
Luiz P. de Paula Castro, MD
Suliman Fedail, MD
Joseph E. Geenen, MD
Solly Marks, MD
Melvin Schapiro, MD
Issy Segal, MD
Ziad Sharaiha, MD
Shu-Dong Xiao, MD
Rakesh Tandon, MD
Guido N. J. Tytgat, MD
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Performance of a Magnesium-Rich Primer on Pretreated AA2024-T351 in Full Immersion: a Galvanic Throwing Power Investigation Using a Scanning Vibrating Electrode Technique.
Kannan, B., Glover, C., McMurray, H., Williams, G. & Scully, J. (2018). *Journal of The Electrochemical Society*, 165(2), C27-C41.
http://dx.doi.org/10.1149/2.07111802jes
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Performance of a Magnesium-Rich Primer on Pretreated AA2024-T351 in Full Immersion: a Galvanic Throwing Power Investigation Using a Scanning Vibrating Electrode Technique
B. Kannan, C. F. Glover, H. N. McMurray, G. Williams, and J. R. Scully
1Center for Electrochemical Science and Engineering, Department of Materials Science and Engineering, University of Virginia, Charlottesville, Virginia 22904, USA
2Materials Research Centre, School of Engineer, Swansea University, Bay Campus, SA1 8EN Wales, United Kingdom
The scanning vibrating electrode technique (SVET) was employed to examine the effect of ‘galvanic throwing power’ and the distance over which a Mg-rich primer (MgRP) provided sacrificial anode-based cathodic protection to AA2024-T351. Three systems were investigated in full immersion conditions where the same MgRP was used with three different pretreatments: Non-film forming (NFF), trivalent chromium pretreatment (TCP) and anodization with a chromate seal (ACS). Experiments were conducted with two control/defect areas allowing for parameters such as: 1) the number and height of local anodes, inferring the location and intensity of pits, 2) the current density profile at the coating/defect interface (CDI region) and 3) total galvanic anode- and cathodic current density values of defined areas in the defect region moving progressively away from the CDI. The NFF-based system was shown to provide the superior galvanic throwing power and a quasi-steady-state galvanic current distribution was detected in the defect region adjacent to the CDI indicating enhanced cathodic activity in response to the MgRP. High resistance between the MgRP and the substrate, due to the thickness of the pretreatment layer, appeared to mediate galvanic interactions in the case of TCP and ACS-based systems.
© The Author(s) 2018. Published by ECS. This is an open access article distributed under the terms of the Creative Commons Attribution 4.0 License (CC BY, http://creativecommons.org/licenses/by/4.0/) which permits unrestricted reuse of the work in any medium, provided the original work is properly cited. [DOI: 10.1149/2.0711802jes]
Manuscript submitted October 10, 2017; revised manuscript received January 4, 2018. Published January 13, 2018. This was Paper 743 presented at the National Harbor, Maryland Meeting of the Society, October 1–5, 2017.
Aerospace aluminum alloys are highly susceptible to localized corrosion due to their heterogeneous nature. They rely on multilayered coatings to provide barrier protection, active corrosion protection and other specialized functions. Over the past few years, commercial organic coatings containing a Mg-rich primer (MgRP) have been developed for the active corrosion protection of aerospace aluminum alloys. The commercial MgRP coating system consists of a surface pretreatment, an epoxy resin with metallic Mg pigment and, where applicable, a polyurethane topcoat. The active corrosion protection of any Al alloy is provided by galvanic coupling of more active Mg pigment in the primer which is active compared to the more noble AA2024-T351 substrate. This approach has been well established and widely reported in the design of zinc-rich primers for use on various steels. The galvanic protection potential is usually established by mixed potential measurements and mediated by various electrolytic/ionic resistances between the anode and cathode such as the barrier layer properties of the MgRP, pretreatment resistances, electrolyte chemistry, electrolyte thickness and geometry, and anode/cathode ratio. Barrier protection is afforded by the MgRP itself and also the pretreatment layer. Furthermore, the pretreatment may provide additional corrosion protection by the release of anionic species that inhibit both anodic and cathodic kinetics of AA2024-T351. However, the pretreatment may limit or delay sacrificial protection function of MgRP by adding electrical resistance between the anode and the cathode.
Previous work on rare element-based corrosion-resistant metallic coatings has established how multi-function coatings with various modes of corrosion protection, such as sacrificial anode protection and inhibitor release, can simultaneously provide barrier protection as well as active corrosion protection. One critical issue in passive protection is the capacity of the reservoir of chemical inhibitor and its release characteristics. Another critical issue in active corrosion protection systems is determining the distance over which a coating can provide corrosion protection. The distance over which an active corrosion protection system can protect a scratch or a defect exposing a bare metal surface is termed ‘throwing power’. The corrosion protection of a defect might be either by galvanic (sacrificial protection) or chemical (inhibitor release/redeposition) and both have their own throwing power.
The ‘galvanic throwing power’ of Mg on AA2024-T351 has been previously studied using multi-electrode arrays (MEA) and finite element analysis (FEA). The role of electrolyte chemistry and thickness, environmental wet-dry cycling, polymer resistances and Mg pigment depletion on the galvanic throwing power has been elucidated by both approaches. FEA successfully predicted that increasing the NaCl solution concentration by an order of magnitude increased the galvanic current density over the AA2024 by almost one order of magnitude. Increased electrolyte layer thickness resulted in less ohmic drop through the electrolyte and allowed greater cathodic polarization of the AA2024-T351 to a lower $E_{\text{applic}}$ which produced greater cathodic current density at the far geometrical limit of the AA2024-T351 in the model. This is consistent with an increase of throwing power for thicker electrolyte layers, when other conditions are held constant. Regarding polymer resistance, it was found that the ionic resistance of the added polymer layer over the Mg electrode significantly mediated the galvanic current passing between anodes and cathodes and, when large enough, completely prevented the galvanic coupling of the electrodes altogether.
Galvanic systems have been studied previously using MEA, FEA and post-exposure corrosion volume loss characterization to study throwing power and defect protection. In microelectrode arrays, wires of systems of interest are mounted in an epoxy matrix and galvanic current distribution between the wires are studied using zero resistance ammeters (ZRAs). However, limitations include the inability to study localized corrosion such as pitting in a continuous bare substrate or a flush mounted array of electrodes made from wires is limited by wire dimensions. The effect of a resistive pretreatment layer on galvanic interaction between metal-rich primer and the bare defect is also difficult to determine using these techniques. The FEA approach will not be able to account for transients as it calculates galvanic current and potential from steady state boundary conditions given by static E-I kinetics suitable for stable galvanic couples. Furthermore, volume loss measurement would not be able to account for real time galvanic interactions. In this work, an in-situ scanning vibrating electrode technique (SVET) was utilized to follow the location and intensity of current density ($j$) distributions of unpolarized AA2024-T351 in aqueous environments in the presence of a MgRP with an artificial defect. SVET has been previously used to elucidate...
localized corrosion and its inhibition for steel, magnesium and aluminum substrates using organic and inorganic inhibitors.\textsuperscript{36–43} The main advantage of using \textit{in-situ} SVET over conventional electrochemical and non-electrochemical techniques is that it is capable of analyzing both the net anodic and cathodic behavior of the primer/defect galvanic couple and the local anodic activity associated with AA2024 micro-galvanic couples. The suppression of corrosion at artificial defects on AA2024 is somewhat different than that for a conventional galvanic couple in a stationary electrochemical system where anodic and cathodic kinetics are static with time. As such, the aim of this current study is to utilize SVET to sense quantitatively the galvanic throwing power of the defects of a pretreated MgRP systems on AA2024-T351 substrate when fully immersed in NaCl\textsubscript{(aq)} solution. The greatest value of local anodic maxima (inferior in the location and intensity of pits), the local current density profile at the coating/defect interface (CDI) region and the total integrated anodic and cathodic current density values of defined areas in the defect region moving progressively away from the CDI are presented.
**Experimental**
**Materials.**—AA2024-T351 sheets of 1.6 mm thickness were pretreated with 3 different surface pretreatments. The first is Prekote, a non-film forming chromate-free surface pretreatment supplied by Pantheon containing approximately 95% water and less than 3% each of diethylene glycol monobutyl ether and N-methyl-2-pyrrolidone (NMP). This pretreatment will be referred to as non-film filming (NFF) from here onwards. The second is a trivalent chromium based pretreatment (TCP) SurTec 650, supplied by SurTec. This coating is a fluoroizincate-based conversion coating with an enrichment in Cr\textsuperscript{3+} compounds such as Cr\textsubscript{2}O\textsubscript{3} and Cr(OH)\textsubscript{3}, and a dry film thickness of 0.4 µm. The third pretreatment is an anodization with alkaline cavitation aluminum sealing (ACS) with a dry film thickness of 8.9 µm. For anodization pretreatments, a thin film sulfuric acid anodizing MIL-A-8625F: Type II pretreatment procedure was followed.\textsuperscript{44} Pretreatment thicknesses were measured using SEM-EDS, the details of this are given elsewhere.\textsuperscript{45}
The Mg-rich primer and Topcoat were both provided by Akzo Nobel Coatings (Waukegan, Illinois). The Mg-rich primer consists of one part epoxy matrix with Mg metal flake pigment of a diameter 20 µm with pigment volume concentration of 45 % (3rd generation 2100P003, Lot: 493-190) and a dry film thickness of 40 µm. The topcoat was an Aerodur 5000 High-performance Advanced Coating with 50 µm dry-film thickness, (ECM-G7875) a gloss white finish, two component polyurethane topcoat developed for military application in variety of exposure environments.\textsuperscript{44}
**Sample preparation.**—A large size defect (2.5 cm × 2.5 cm) was created on the coated samples by laser ablation. Samples were irradiated with a KrF excimer laser (\(\lambda = 248\) nm, 25 ns full width at half maximum) at a repetition rate of 10 Hz and a fluence of 2 J cm\textsuperscript{-2}. All specimens were rastered using a Newport linear actuator for a total irradiation 16–20 laser pulses per area (PPA) for the pretreatment/primer only systems and 24–28 PPA for topcoated system and a 90% overlap with a cylindrical-shaped spot size of 0.6 mm × 29 mm. The details of the equipment setup for laser ablation are reported elsewhere.\textsuperscript{45,46} A laser-pulse intensity was selected such that only the first 10 µm of the surface would be affected in order to minimize any effect of laser ablation on the microstructure. To further minimize any laser effects, the PPA were optimized for each system in such a way that the intact coating was not completely removed, leaving a few microns of intact coating on the surface. This remaining coating was removed by mechanical polishing to expose the original, unaffected AA2024-T351 microstructure. The specimens were ground to a 240 grit finish to leave a rough sample to accelerate localized corrosion. An area of ca. 10 mm × 10 mm (the exact size of which was noted in each case) was isolated in the center of the bare AA2024-T351 for control experiments. The two coating/defect ratio (CDR) configurations used in experiments are given in Figure 1. An insulating extended PTFE self-adhesive tape was used to isolate the scan area for exposure.
**Laboratory full immersion exposures of pretreated AA2024-T351 coated with MgRP and topcoat.**—The global galvanic protection potential of intact coating systems, galvanic couple potential at the defect and barrier properties of intact coating system were monitored using open circuit potential (OCP) measurements and electrochemical impedance spectroscopy (EIS). All full-immersion studies reported herein were conducted in quiescent 2 M NaCl\textsubscript{(aq)} (pH: 6.9 ± 0.4) open to laboratory air. Potential control during electrochemical experiments was maintained using a Gamry Potentiostat\textsuperscript{®} (Ref 600/PC14) or Biologic Potentiostat with computer interface software. A saturated calomel electrode (SCE) and Pt mesh were used as reference and counter electrodes, respectively. The EIS spectra were acquired in swept sine mode from 100 kHz to 0.01 Hz with six per decade. Coated panels with intact coatings exhibiting high impedance were scanned with an AC amplitude of 80 mV to 100 mV to reduce noise. The tests were conducted in quiescent 2 M NaCl as discussed, after 1 h exposure at open circuit for bare/pretreated/MgRP coated panels. The experiments were conducted at different full immersion exposure times for a total time duration of 36 hours to track global galvanic protection potential and barrier properties of the coatings. All of these experiments were conducted in the intact region. In a separate experiment, the galvanic protection potential was also monitored for samples with an artificial defect (which will be referred to as “galvanic couple potential”) for two different CDR configurations as indicated in Figure 1. The laboratory full immersion study for chosen pretreatments/MgRP with/without topcoat has been studied extensively and the scatter and reproducibility are reported in our previous work.\textsuperscript{4–8}
**Scanning vibration electrode technique (SVET).**—Scanning vibrating electrode measurements were carried out using an SVET probe comprising a 125 µm diameter platinum wire sealed in a glass sheath, so that the active portion of the probe tip consisted of a 125 µm diameter platinum micro-disc electrode with a total tip diameter of ~250 µm. The probe vibration frequency was 140 Hz and the peak-to-peak vibration amplitude (\(A_{pp}\)), as measured stroboscopically in air was 30 ± 5 µm. Movement of the SVET probe-vibrator assembly was achieved using three orthogonal linear bearings driven by stepper motors (Time and Precision Ltd). The SVET voltage signal was detected using a Perkin Elmer 7265 lock-in amplifier and subject...
to digital signal averaging (typically of 10 successive measurements) to further enhance signal-to-noise ratio. A full description of SVET probe/vibrator assembly design, along with details on probe surface preparation and reference electrode type are given elsewhere.\textsuperscript{43} Details of SVET calibration are also reported elsewhere.\textsuperscript{43} In brief, by Ohm’s law, the peak-to-peak SVET voltage signal ($V_{pp}$) is related to the current flux density ($j_x$) along the axis of probe vibration by:
$$V_{pp} = j_x(A_{\text{spot}}/\kappa) \quad [1]$$
where $\kappa$ is solution conductivity such that a quantity $G = \kappa/A_{\text{spot}}$ may be defined as the SVET calibration factor. The SVET calibration was checked galvanostatically in NaCl (aq) electrolyte of different concentrations using a specially devised two-compartment cell. Each compartment contained a 1 cm$^2$ Pt electrode and the two compartments were linked by a vertically orientated, electrolyte-filled glass tube of length 70 mm and of internal diameter 5 mm. During calibration, the SVET probe was inserted a distance of ca. 5 mm downward into the glass lumen. At this position, the current flux density was constant across the tube diameter and equal to the cell current divided by the internal area of cross section (minus the cross-sectional area of the SVET probe). Furthermore, the current flux was aligned vertically i.e. parallel with the tube axis and parallel with the axis of probe vibration. At all electrolyte concentrations and for $j_x = -15$ A/m$^2$ to 15 A/m$^2$ plots of $V_{pp}$ vs. $j_x$ gave good straight lines (correlation co-efficient > 0.998) and the values of G obtained from plot gradients agreed with those calculated using Equation 1 to within ± 10%. Bare and coated samples were completely immersed, exposed area uppermost, in an electrolyte bath containing 2 M NaCl$_{\text{aq}}$ at pH 6.5. Electrolyte temperature was controlled to 10 °C during the chosen studies. The bath was left unstirred and in contact with room air at a nominal temperature of 20 °C. The SVET probe was held vertically and scanned at a fixed height (100 µm) above the metal surface. Each scan took ca. 30–45 minutes and produced a square matrix of 9000–12000 $V_{pp}$ data points. Individual $V_{pp}$ values were converted to $j_x$, using the relevant calibration factor G as described above.\textsuperscript{43} Samples were scanned immediately following immersion, and continuously thereafter for a period of 24–36 hours. The spatial resolution of SVET in experiments conducted is 100 µm. Experiments were repeated in and representative results are presented here.
**Optical profilometry.**—A Zygo optical profilometer (Newview 7200/7300 model) was used. The environmentally exposed samples were first exposed to concentrated nitric acid for 15 minutes to remove corrosion products present in the defect as per the ASTM G-1 Standard.\textsuperscript{47} Image refinement and pit volume calculation was performed using *MountainsMaps* imaging topography software.\textsuperscript{48–50} Calculations were made by multiplying the average pit volume by the total number of pits and normalizing for area.
**Results**
**Laboratory full immersion exposures of pretreated AA2024-T351 coated with MgRP and topcoat.**—Results for open circuit potential (or global galvanic protection potential) and low-frequency EIS measurements conducted in 2 M NaCl$_{\text{aq}}$ full immersion conditions of intact coating systems are summarized in Figures 2a and 2b, respectively. Results for MgRP systems incorporating the three pretreatments (NFF, TCP and ACS) with no topcoat, and one topcoated MgRP system with the NFF pretreatment, are presented. Typical OCP values for bare AA2024-T351 (~ −0.51 V vs SCE) and pure Mg (~ −1.5 V vs SCE) are shown by the labelled dashed lines. The non-topcoated NFF-based system initially exhibited very negative global galvanic protection potentials close to −1.5 V vs SCE before stabilizing at values of ~−1.2 V vs SCE after 12 hours and for the remaining exposure time. This highly suppressed potential tendency over that of pure Mg suggests that the potential of the MgRP has a strong influence over the mixed potential of the system, an indicator of successful galvanic coupling. A similar trend in the initial stages of immersion can be observed for the ACS-based system where values are moderately suppressed toward the OCP of pure Mg before rising toward that for bare AA2024-T351 and remaining within the region of −0.75 and −0.51 V vs SCE, intermediate between the given values for pure Mg and AA2024-T351. Values for the TCP-based system remain close to that for bare AA2024-T351 throughout the 36 h experiment.
Low frequency impedance ($Z_{(0.01)}$) measured as a function of exposure time for the intact coating systems (Figure 2b) indicates that barrier degradation occurs as a function of exposure time in all cases, albeit minimally in the time frame of the experiment. A ranking order, in terms of ionic resistance, is established whereby: topcoated system >> ACS > TCP > NFF and values for the NFF-based system are 1 and 2 orders of magnitude lower than the TCP-based and ACS-based systems, respectively.
The results presented here indicate that the level of resistance (low frequency impedance ($Z_{(0.01)}$)) afforded by the coating system (where, in this study, any deviation is wholly dependent on the pretreatment as the only variable between the uncoated systems) directly effects the global galvanic protection potential. In the case of NFF-based systems, the results suggest that the resistance of the pretreatment layer is low enough that a galvanic couple between the AA2024-T351 substrate and the MgRP primer is established and the global galvanic
Figure 3. OCP measurements of AA2024-T351 with a coating system comprising a pretreatment (NFF, TCP or ACS), a MgRP layer with/without topcoat. Each sample has an artificial defect region exposing bare AA2024-T351 substrate. Two coating/defect area ratios (CDR) configurations are given a) CDR: 0.3 and b) CDR: 5. Samples were fully immersed in 2 M NaCl(aq).
Protection potential is mixed (demonstrated by mixed potential theory applied to a galvanic corrosion cell). For ACS-based systems, the significantly higher barrier properties can be attributed to a thick (~9 μm) and resistive oxide layer sealed by hexavalent chromium which is reflected in a global galvanic protection potential similar to that of bare AA2024-T351 suggesting that any galvanic coupling is limited or even negligible.
Global galvanic protection potential values measured for the NFF-based topcoated system also remained in the region of bare AA2024-T351 having very positive initial values. The drop in potential observed between 12.5 hours and 17.5 hours may coincide with to a drop in ionic resistance due to increased wetting of the coating system during this period. This is demonstrated by a concurrent drop in impedance at the same immersion time shown in Figure 2b and the plateau reached after this time is three orders of magnitude greater than the non-topcoated NFF sample.
It was expected that a MgRP coating with a defect would provide the most effective sacrificial protection to the exposed substrate when in the presence of a pretreatment offering minimal resistance between the primer and substrate. The galvanic couple potential, as a function of exposure time, was also monitored for the same four systems with different coating/defect. Two coating/defect area ratio configurations, CDR: 0.3 and CDR: 5 (Figure 1) were chosen for galvanic couple experiments and the results are summarized in Figures 3a and 3b, respectively. Typical OCP values for bare AA2024-T351 and pure Mg are again shown by the labelled dashed lines. For both CDR configurations, NFF/MgRP initially showed more negative galvanic couple potentials tending toward the potential expected for Mg. A shift to more positive potential values occurred after ~8 hours. The TCP-based system exhibited intermediate galvanic couple potentials and indicated delayed and limited galvanic protection as can be inferred by a potential consistently more negative than that of bare AA2024-T351. In both ACS based systems and topcoated systems, the galvanic couple potential was heavily mediated where relatively positive galvanic couple potentials were observed.
Localized corrosion of bare AA2024-T351.—A baseline for current density distribution as a function of time for unpolarized, freely corroding bare AA2024-T351 immersed in 2 M NaCl(aq) in ambient conditions was established using repetitive in-situ SVET. Figures 4a–4c show representative current density maps obtained after 0, 4, 14, 26 and 36 hours, respectively. The data map obtained immediately upon immersion (Figure 4a) indicates that local anodic activity initiates within minutes of exposure to the 2 M NaCl(aq) solution. The first stable pit, denoted by a local anodic peak, was formed after half an hour and further pit initiation in multiple sites was observed within 4 hours of full immersion, as evidenced from Figure 4b. The time required for repassivation varied depending on individual pits with shortest period being 30 minutes and longest being 1950 minutes. The total number of visible pits formed was 25 pits per cm$^{-2}$ and the average life time of each pit was 520 minutes. The maximum peak height was ~30 Am$^{-2}$. Figure 4f shows the visual appearance of the sample after 38 h of full immersion wherein the physical pits can be correlated to the previously discussed electrochemical pits indicated by the anodic maxima given on the current density SVET maps.
Galvanic coupling of Bare AA2024-T351 and Bare Mg.—An experiment was conducted to assess the baseline anodic and cathodic current densities when bare AA2024-T351 was directly coupled to bare Mg without the constraints of an ohmic drop (as demonstrated previously by King et al. with a mixed potential theory model) caused by resistive coatings and polymer coatings. Figure 5a shows the surface plot of net local current density of the bare AA2024-T351 coupled to bare, commercially pure, Mg when freely corroding in 2M NaCl(aq) in ambient conditions. The surface current density map shows net anodic and cathodic activity at bare Mg and bare AA2024-T351 surfaces, respectively (Figure 5a). A representative SVET-derived current density profile across the Mg/AA2024-T351 interface is given in Figure 5b. Due to intense gas evolution on the Mg surface, high levels of noise disrupt the baseline, however, net anodic and cathodic current density values measured across the bare Mg and bare AA2024-T351 both approximate +/-~500 Am$^{-2}$. A slight but progressive reduction in anodic/cathodic current densities can be observed with time, directly corresponding to the CDI. For both substrates, in the regions directly adjacent to the joint (within ~2 mm), a substantial increase in the respective anodic and cathodic current can be observed up to values of ~750 Am$^{-2}$. Figure 5c shows the visual appearance of the galvanic couple after 1 h of full immersion. Significant corrosion can be observed on both the Mg and AA2024-T351 surfaces. The black layer shown on the AA2024-T351 surface on the right-hand-side can be attributed to enhanced cathodic activity where the local pH of the cathodic region increases significantly resulting in cathodic corrosion of amphoteric AA2024-T351. This effect might be regulated by the resistance of Mg buried in a primer resin. The result presented here also suggests that galvanic protection offered by a MgRP coating system may be limited by the distance of the bare surface away from the coating. As such, the proceeding work assesses the area-averaged current densities of areas...
Figure 4. Surface plots showing the distribution of normal current density $j_z$ emerging from a AA2024-T351 alloy sample freely corroding in aerated 2 M NaCl solution. Data were obtained from SVET scans carried out (a) 0 h, (b) 4 h, (c) 14 h, (d) 26 h and (e) 36 h after sample immersion. (f) shows the visual appearance of the sample after 36 h immersion.
Galvanic coupling of Bare AA2024-T351 and AA2024-T351/Pretreatment/MgRP.—In the current section, samples with artificial defects, as represented in Figure 1a, were chosen to study the distance range of galvanic protection offered by MgRP-based systems and the effect of any increased resistance of NFF, TCP and ACS-based pretreatments. For all experiments discussed in the current section, the small coating-free defect area ($\sim 0.5 \text{ cm}^2$) was chosen in order to study the effect of distance from the defect/coating interface on the galvanic protection afforded the bare AA2024-T351 whereas these were fully immersed in NaCl(aq) electrolyte in ambient conditions. Immersed samples were scanned using in situ SVET over a period of 38 h and the resulting data are analyzed here in two ways:
1. Line profiles of representative SVET-derived current density measurements along the axis of probe vibration ($j_z$). This will enable the study of maximum peak height and number of local anodes and the distribution of general cathodic activity as a function of distance from the CDL.
2. In terms of SVET-derived area-averaged anodic and cathodic current densities for specific 2 mm-wide sections in the defect area moving progressively away from the defect/coating interface (represented schematically in Figure 9).
Sacrificial protection of AA2024-T351 by MgRP and role of pretreatments: preliminary trends.—Figures 6, 7 and 8a–8e show representative SVET-derived current density surface maps for AA2024-T351/MgRP samples with NFF, TCP and ACS pretreatment systems, respectively. A CDR: 0.3 configuration has been used in all cases. Maps are presented at times 0, 4, 14, 24 and 36 hours after immersion and a post-exposure photograph, at 36 hours immersion time, is given.
In all cases, local anodic current density maxima can be observed at the artificial defect, denoting the onset of pitting corrosion. This indicates that, for each pretreatment system, any galvanic coupling between the MgRP and the substrate was not sufficient to completely suppress all localized corrosion in the defect region. A summary of representative SVET-derived current density line profiles across the CDI and the full length of the defect region for the control experiment and each pretreatment system is given in Figure 10 at times 4, 14 and 24 hours after immersion. This enables a comparative study of any galvanic coupling and the current densities associated with individual pits for each system.
The SVET-derived line profiles for bare AA2024-T351 given in Figure 10a, taken from the maps presented in Figures 4a–4e, shows intense local pits ($j_{\text{pit}}$), as indicated by anodic $j_a$ maxima that increase from $\sim 3 \text{ Am}^{-2}$ to $\sim 32 \text{ Am}^{-2}$ with increasing exposure time. A corresponding increase in the cathodic current density baseline can be observed where the remainder of the measured surface displays consistent values that reach $\sim 0.5 \text{ Am}^{-2}$ after 24 h.
The representative SVET-derived line profiles for the NFF-based system is given in Figure 10b where two distinct regions can be observed in the defect region. The region adjacent to the CDI, extending to 4 mm away exhibits an increased quasi-steady state galvanic cathodic current density with a progressive cathodic increase to $\sim 0.35 \text{ Am}^{-2}$ by 36 h. This suggests that the sufficient ingress of electrolyte to activate galvanic coupling is reliant upon the wetting of the epoxy matrix of the MgRP. The region > 4 mm away from the CDI exhibited anodic peaks with max $j_{\text{pit}}$ values in the region of 6–10 $\text{Am}^{-2}$ which is substantially lower than those observed in the control on bare AA2024-T351. 11 anodes per cm$^2$ appeared over the duration of the experiment. This suggests that the MgRP offers full protection in the region 4 mm for the CDI and partial protection beyond this where $j_{\text{pit}}$ is much lower than the control experiment.
The representative SVET-derived line profiles for the TCP-based system (Figure 10c) show peak $j_{\text{pit}}$ values of $\sim 15 \text{ Am}^{-2}$ at 4 h. These values reduce to $\sim 6 \text{ Am}^{-2}$ by 26 h immersion time. Quasi steady-state galvanic cathodic current density at the CDI reaches values of $\sim 0.3 \text{ Am}^{-2}$ by 26 h and extends to $\sim 2 \text{ mm}$ from the CDI. No anodic activity is observed in this region. The lower cathodic values and presence of pits in closer proximity to the CDI (when compared to the NFF-based system) suggests that the resistance of the TCP pretreatment restricts the contact and thus galvanic interaction between the MgRP and the substrate such that no galvanic current is mediated. The reduction over time of pit current density could be attributed to a contribution from inhibitor ion release from the TCP pretreatment as there is no evidence to suggest that the cathodic current densities reach a sufficient level or distance to effect the pits in the remaining areas of the defect. 17 anodes per cm$^2$ appeared over the duration of the experiment.
In the case of ACS-based systems (Figure 10d), no increase in cathodic current density in the region adjacent to the CDI is observed. The SVET-derived current density baseline measured across the defect is shown to be uniform and also consistently low ($\sim 0.05 \text{ Am}^{-2}$) throughout the experiment. 15 anodes per cm$^2$ appeared in all regions of the defect and in very close proximity to the CDI over the duration of the experiment. However, substantial inhibition is observed where $j_{\text{pit}}$ values are shown to be an order of magnitude lower than those measured in the control experiment where max $j_{\text{pit}}$ values up to $\sim 1.8 \text{ Am}^{-2}$ area measured. The lack of evidence for any galvanic current suggests that the inherently high electrical resistance of the ACS pretreatment (as demonstrated in Figure 2b) severely limits galvanic interaction between the MgRP and primarily the bare AA2024-T351 surface, preventing any galvanic coupling in the presence of a penetrating electrolyte. The greatly reduced current densities of the anodic peaks suggests that an alternative mode of inhibition comes into play offering corrosion protection to the bare defect where inhibition by the leaching of anionic species from the ACS pretreatment, and their redeposition in the defect, lowers both the overall anodic and cathodic activity in the defect, this has been reported elsewhere.\textsuperscript{4,29}
**Sacrificial protection and the role of pretreatments: Semi-quantitative analysis.**—Semi-quantitative analysis of the corrosion activity for the whole scan area was carried out by determining the total SVET-derived integrated anodic and total cathodic currents ($J_a$ and $J_c$, respectively) for 5 individual regions moving progressively away from the CDI (as demonstrated in Figure 9). Results are given in Figures 11 and 12 for NFF, TCP and ACS-based systems at 5 exposure times during full immersion in 2 M NaCl(aq).
For NFF-based systems, all total net anodic current density ($J_a$) values for each distance ($x$) from the CDI were very similar over the first four hours of immersion. At a distance of 6–10 mm, $J_a$ remained almost constant for the 36 h immersion period (Figure 11a) and were similar to those measured in the control experiment indicating limited corrosion protection at this distance. For a distance of 0–2 mm, i.e. the immediate vicinity of the CDI, a substantial decrease in net anodic current density is observed beyond 4 hours where values are 2–3 orders of magnitude lower than the control. The general trend for NFF-based systems is progressive increase in $J_a$ with increasing distance from...
Figure 6. Surface plots showing the distribution of normal current density $j_z$ above a AA2024-T351 alloy adjacent to AA2024-T351/NFF/MgRP in aerated 2 M NaCl(aq) solution. Data was obtained from SVET scans carried out (a) 0 h, (b) 4 h, (c) 14 h, (d) 26 h and (e) 36 h after sample immersion. (f) shows the visual appearance of the sample after 38 h immersion. A coating/defect area ratio (CDR) configuration of 0.3 was used.
the CDI. In contrast, the total net cathodic current densities ($J_n$), given in Figure 12a show a slight but progressive decrease with increased distance from the CDI. This is as expected as the gradual reduction in quasi-steady state galvanic cathodic current density demonstrated in Figure 10b signifies weakening in galvanic coupling between the MgRP and the substrate as x increases.
For the TCP-based system, there is no direct correlation between x and measured $J_n$ values (Figure 11b). $J_n$ values in the region up to 4 mm from the CDI are similar to the control experiment. ACS-based systems also show no direct correlation between x and measured $J_n$ values (Figure 11c). However, between 4 h and 26 h, with the exception of the area farthest from CDI, all ACS-based $J_n$ values are an order of magnitude lower than the control sample. For both TCP-based and ACS-based systems (Figures 12b and 12c) $J_n$ values are relatively consistent as a function of time and also distance from CDI and no increased $J_n$ values in the vicinity of the CDI (0 mm–2 mm region) are observed. $J_n$ values for TCP-based systems are very similar to the control experiment and an order of magnitude lower for ACS-based systems, which would be expected in order to balance the generally lower $J_n$ values measured for this system. The results suggest that for both TCP and ACS systems, no galvanic coupling is occurring offering sacrificial corrosion protection in the artificial defect. The reduced $J_n$ and $J_c$ values observed for ACS-based systems likely derive from inhibition from the leaching of inhibitor ions from the pretreatment.
Effect of coating to defect area ratio on galvanic corrosion protection.—During environmental exposure, it is likely that the active ratio of coated surface to bare AA2024-T351 will vary considerably due to Mg pigment depletion during exposure and the limited conductive pathways at various stages of barrier degradation. The effect of anode/cathode ratio on the galvanic corrosion potential and galvanic current can be explained by mixed potential model, as reported previously by King et al.\textsuperscript{10} In addition to this effect, a higher ratio of AA2024-T351/Pretreatment/MgRP to a bare AA2024-T351 defect would enhance the area available for facilitating alternative methods of corrosion inhibition i.e., by the leaching of Mg\textsuperscript{2+} ions and/or anionic species. To assess these possibilities, experiments were carried out on unpolarized and when fully immersed in 2 M NaCl\textsubscript{(aq)} samples with a higher coating to defect area ratio than the previous experiments (CDR:5). Figure 13 summarizes representative SVET line scans obtained from SVET maps for the chosen systems after 4, 14 and 24 h of immersion. The results for NFF (Figure 13a) and TCP-based (Figure 13b) systems demonstrate the enhanced cathodic current density peaks in the defect region reaching $-0.3$ A m\textsuperscript{-2} and $-0.4$ A m\textsuperscript{-2}, respectively. In both cases this suggests that galvanic coupling is occurring.
For the ACS-based MgRP system, cathodic activity appears to be evenly distributed along the length of the surface (including the MgRP coated region) matching the anodic peaks that are greatly suppressed in contrast to the control sample, as was the case with the CDR: 0.3 experiments. This lack of defect-specific cathodic activity is as
Figure 8. Surface plots showing the distribution of normal current density $j_z$ above a AA2024-T351 alloy adjacent to AA2024-T351/ACS/MgRP in aerated 2 M NaCl(aq) solution. Data was obtained from SVET scans carried out (a) 0 h, (b) 4 h, (c) 14 h, (d) 26 h and (e) 36 h after sample immersion. (f) shows the visual appearance of the sample after 38 h immersion. A coating/defect area ratio (CDR) configuration of 0.3 was used.
expected because no sign of galvanic coupling was demonstrated in the OCP experiments carried out on samples with the same geometry presented here. For all three pretreatment systems, the results are consistent with previous trends observed with a small coating to defect area ratio.
The net anodic and cathodic current densities were calculated for the 2 mm defect region for each pre-treatment system, the results are summarized in Figures 14a and 14b respectively. Significantly lower SVET-derived integrated $J_z$ values were obtained for both TCP-based and ACS-based systems at the higher CDR:5 compared to values measured in the immediate vicinity of the CDI for CDR: 0.3 (Figures 11b and 12c respectively). Results for NFF-based systems are shown to be similarly irrespective of the CDR.
Slightly higher anodic current densities at a higher coating to defect ratio can be correlated to enhanced anodic activity in the defect at high pH conditions before Mg(OH)$_2$ redeposition. The change in coating to defect area ratio (CDR), simultaneously increases the area of the anode whilst decreasing the area of active cathode. In addition, there was more active surface of Mg for self-corrosion. Both of these might contribute to increased concentration of Mg$^{2+}$ ion in the solution as well as increased pH. This result in chemical dissolution and redeposition of Mg$^{2+}$ ions in defect to form protective Mg(OH)$_2$ in high pH conditions.\textsuperscript{33–35} The Mg(OH)$_2$ inhibits both anodic and cathodic reaction in defect with time as could be inferred from Figures 14a and 14b. Anionic species leaching from the pretreatment might also bring down the anodic activity at defect by acting as cathodic inhibitor.\textsuperscript{28}
The protection of the defect by Mg(OH)$_2$ and anionic species leaching in both lab accelerated life test (LALT) and field exposures for pretreated systems has been previously reported.\textsuperscript{47,53} Further investigation of the chemical protection mechanism and the conditions required for chemical protection will be reported in future work.\textsuperscript{56}
**Corrosion volume loss after long term full immersion exposures.**—The spatial distribution of corrosion volume loss measured in the defect region of AA2024-T351/pretreated/MgRP systems was studied using optical profilometry with 0.3 and 5 CDR configurations, as described for the aforementioned SVET experiments. In this instance, a longer term full immersion exposure of up to 275 h was conducted in 2 M NaCl(aq) solution to intensify the propagation of any pitting to increase measurement accuracy. Figure 15 provides a summary of corrosion volume loss ($\mu$m$^3$/µm$^2$) for each pretreatment in both configurations in terms of distance from the CDI (for CDR: 0.30) and in terms of total volume loss in the defect for both configurations (Figures 15a and 15b, respectively). For the NFF-based system, a significant reduction in volume loss when compared to the control experiment is demonstrated in the region $\leq$ 4 mm from the CDI (Figure 15a). Values are shown to be 50 times lower in this region compared to the rest of the defect where values are very similar to those observed for the control experiment. This suggests that no galvanic interaction between the MgRP and the AA2024-T351 provides some sacrificial protection in this closer region. The ACS-based system shows consistently high values, similar to those measured in the control experiment, irrespective of the distance from the CDI suggesting that no form of galvanic interaction occurs. A reduction in volume loss is demonstrated for TCP-based systems when compared to the control experiment. A contribution from galvanic protection from the MgRP is inferred by this reduction and, discounting the region...
directly adjacent to the CDI, volume loss values increase progressively with increasing distance from the CDI but remain consistently lower than those measured in the control experiment.
A summary of volume loss for the defect region within 2 mm of the CDI for each CDR configuration is given in Figure 15b. For the CDR: 0.3 configuration, the volume loss in this area for the NFF-based system is an order of magnitude lower than values measured for any other experiment. For a CDR: 5 configuration values were significantly reduced compared to the control and other pretreatment systems but to a much lesser extent than CDR: 0.3. For the TCP-based and ACS-based systems there is no significant difference when comparing this portion of the defect for both area configurations. For both configurations, the TCP-based system shows a moderate reduction in volume loss compared to the control experiment. For the ACS-based system values are similar to the control experiment.
The results presented here, obtained using the optical profilometry technique, demonstrate a strong correlation to those reported using SVET, where NFF-based MgRP primer systems are shown to provide protection from pitting corrosion in the bare AA2024-T351 defect region 4 mm from the CDI. Furthermore, results for TCP-based systems show very limited galvanic interaction between the substrate and primer. ACS-based systems have shown no inhibition by galvanic interactions.
**Discussion**
**Correlation of galvanic currents from SVET to FEA results.**— Previous work has utilized FEA as a tool to predict the galvanic couple current and potential distribution between Mg and AA2024-T351 in a MgRP configuration with zero pretreatment resistance.\textsuperscript{10} While the exact configurations such as electrolyte thickness, concentration and polymer resistances differ from this work, several configurations were chosen for comparison and the results are summarized in Table I where the results show good correlation. It is to be noted that while FEA predicts the potential distribution for fixed conditions, such as fixed electrolyte chemistry and thickness, SVET can be utilized to study the current density distributions as a function of actual position and time dependent electrolyte solution chemistry and pH and also surface modifications such as formation of Mg(OH)\textsubscript{2} and effects of inhibitor leaching from the pretreatment. The FEA model uses fixed E-logi boundary conditions and predicts the quasi-steady state galvanic current and galvanic couple potential distribution. In real systems, a slight suppression of galvanic couple potential significantly affects the microgalvanic coupling of intermetallic phases which result in local pitting. The SVET method used here was able to account for both quasi-steady state current distributions as well as the role of galvanic couple potential suppression and reduction in galvanic coupling. Modifications to the FEA model to improve correlation with environmental exposure would involve considerations for barrier properties of pretreatment and their degradation and the effect of Mg(OH)\textsubscript{2} anionic species leaching and redeposition on galvanic current and potential distribution.
**Long term full immersion exposures.**—All SVET experiments conducted herein were carried out for a maximum immersion time of 36 h.\textsuperscript{8} No significant degradation of barrier properties of the pretreatment was observed in this time frame. A further study to assess long term immersion would enable an understanding of the effect of pretreatment degradation on galvanic coupling. This would also aid the understanding of MgRP pretreatments that are enabled for sacrificial protection at a delayed exposure time.
**Figure 11.** Total SVET-derived anodic current density as a function of exposure time for selected AA2024-T351/Pretreatment/MgRP systems; (a) NFF/MgRP; (b) TCP/MgRP and (c) ACS/MgRP. The anodic current densities were calculated at five different regions in the defect at various distances from the coating interface, as indicated in the legend. Anodic current densities for bare AA2024-T351 are provided for comparison.
**Figure 12.** Total SVET-derived cathodic current density as a function of exposure time for selected AA2024-T351/Pretreatment/MgRP systems; (a) NFF/MgRP; (b) TCP/MgRP and (c) ACS/MgRP. The cathodic current densities were calculated at five different regions in the defect at various distances from the coating interface, as indicated in the legend. Cathodic current densities for bare AA2024-T351 are provided for comparison.
Figure 13. Representative SVET-derived line profiles showing the distribution of normal current density $j_n$ AA2024-T351 alloy adjacent to AA2024-T351/Pretreat/MgRP in aerated 2 M NaCl(aq) solution (a) NFF/MgRP, (b) TCP/MgRP and (c) ACS/MgRP. A coating/defect area ratio (CDR) configuration of 5 was used.
Figure 14. Total anodic (a) and cathodic (b) current density as a function of exposure time for selected AA2024-T351/Pretreatment/MgRP systems for AA2024-T351/Pretreatment/MgRP fully immersed in 2 M NaCl(aq) solution. Three pretreatment systems, NFF, TCP and ACS and given for coating/defect area ratio (CDR) configuration of 0.3 and 5. Anodic and cathodic current density for the control experiment (bare AA2024-T351) is provided for comparison.
Figure 15. Corrosion volume loss of exposed bare AA2024-T351 defect region adjacent to the coating (< 2 mm) in selected coating systems after full immersion exposure in 2 M NaCl\textsubscript{aq} for 275 h. (a) corrosion volume loss as a function of distance from coating interface (b) corrosion volume loss as a function of coating to defect area ratio (CDR).
Conclusions
The scanning vibrating electrode technique (SVET) was utilized in conjunction with standard electrochemical tests to study the galvanic throwing power of coating systems in full immersion (2 M NaCl\textsubscript{aq}) conditions. Each system comprised of a pretreatment and a Mg-rich primer (MgRP) for an AA2024-T351 substrate.
SVET revealed that the corrosion of bare AA2024-T351 is characterized by the onset of local anodic current density maxima denoting pitting corrosion where peak values of 30 A/m\textsuperscript{2} were measured and 25 pits per cm\textsuperscript{2} initiated during a 36 h period.
- Coating systems comprising the three different pre-treatments were ranked, following EIS measurements, according to their electrical resistance of galvanic coupling between the substrate and the MgRP, whereby: NFF/topcoated system >> ACS > TCP > NFF (where the latter three pretreatments listed did not have a topcoat).
- Bare AA2024-T351 coupled to bare commercial purity (CP) Mg of identical area demonstrated intense galvanic coupling where the more noble AA2024-T351 was the cathode and the CP Mg the anode. Consistent cathodic current density values of ~500 A/m\textsuperscript{2} were measured for the length of the bare AA2024-T351 whilst in the region within 1 mm of the interface this increased to ~1000 A/m\textsuperscript{2}. Very similar (positive) values were observed for the CP Mg.
- Inspection of SVET-derived cathodic current density data in the defect region in close proximity (within 4 mm) to the coating/defect interface (CDI) indicated galvanic coupling between the MgRP and the AA2024-T315 for NFF pretreatment systems. TCP-based systems demonstrated moderated galvanic coupling after 24 h and were limited to a 2 mm range from the CDI. For ACS-based systems no galvanic coupling was observed and values remain similar to those measured throughout the remainder of the defect region.
- For NFF-based systems with a coating/defect ratio (CDR) of 0.3, no local anodic maxima corresponding to pits were detected in the region extending to a distance of 4 mm from the CDI for periods of 36 h. Total integrated anodic current densities within the 0 mm–2 mm region were progressively reduced with increasing exposure time corresponding to a reduction of the resistance of the MgRP via the wetting of the epoxy matrix.
- TCP-based systems (CDR: 0.3) exhibited a mediated galvanic couple potential resulting in either delayed or limited sacrificial anode based protection and correlation between SVET-derived integrated anodic current density and the distance to the CDI was observed.
- ACS-based systems (CDR: 0.3) demonstrated no galvanic protection. The peak values of anodic maxima were dramatically reduced in comparison to the control experiment. However, no correlation between SVET-derived integrated anodic current density and the distance to the CDI was observed. The high resistance measured on intact ACS-based systems and the lack of increased cathodic current density near the CDI suggests that the reduction of anodic current density at pit sites is due to an alternative mode of inhibition in the form of leaching of the inorganic species from the pretreatment.
- The geometric area ratio of coverage of MgRP to a bare AA2024-T351 defect affected the protection function for TCP and ACS-based systems. When the CDR was increased from 0.3 to 5, both cases exhibited lowered anodic currents with increasing exposure time. No significant cathodic protection, as indicated by the quasi steady-state current distribution was detected. This may indicate that other alternative inhibition mechanisms such as Mg(OH)\textsubscript{2} redeposition and anionic species leaching play a prominent role for
Table I. Values of galvanic corrosion at the defect as measured by SVET and estimated with FEA.
| Case | Galvanic current at the defect (SVET), A/m\textsuperscript{2} | Galvanic current at defect (FEA), A/m\textsuperscript{2} |
|------|----------------------------------------------------------|--------------------------------------------------|
| Case 1 (2024-T351 and Mg couple) SVET: 2 M NaCl, 10 mm electrolyte thickness, R\textsubscript{polymer}: 0 Ω·m\textsuperscript{2}; FEA: 1 M NaCl, 0.5 mm electrolyte thickness, R\textsubscript{polymer}: 0 Ω·m\textsuperscript{2} | 500–1000 A/m\textsuperscript{2} | 100–1000 A/m\textsuperscript{2} |
| Case 2 (2024-T351 and NFF/MgRP couple) SVET: 2 M NaCl, 10 mm electrolyte thickness, R\textsubscript{polymer}: 100 Ω·m\textsuperscript{2} | 0.1 – 0.2 A/m\textsuperscript{2} | 0.09 A/m\textsuperscript{2} |
FEA: 1 M NaCl, 0.1 mm electrolyte thickness, R\textsubscript{polymer}: 10 Ω·m\textsuperscript{2}
the larger CDR. NFF exhibited similar galvanic currents for both CDR configurations and the same degree of cathodic protection was indicated.
Acknowledgments
This work was supported by the U. S. DoD OUSD Corrosion University Pilot Program under the direction of Daniel Dummire and by the National Science Foundation under NSF DMR #0906663. This material is based on research sponsored by the U. S. Air Force Academy under agreement number FA7000-13-2-0020. The U. S. Government is authorized to reproduce and distribute reprints for Governmental purposes notwithstanding any copyright notation thereon. The views and conclusions contained herein are those of the authors and should not be interpreted as necessarily representing the official policies or endorsements, either expressed or implied, of the U. S. Air Force Academy or the U. S. Government NRL/JA/7330-2014-217. Members of NAVAIR and Battelle Memorial Institute are acknowledged for the generous supply and preparation of MgRP-coated Al Alloy AA2024-T351 panels specifically: Craig Matzdorf, Frank Pepe, Jerry Curran, and William Abbott.
ORCID
C. F. Glover https://orcid.org/0000-0002-9220-622X
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|
Imaging Breast Adipose and Fibroglandular Tissue Molecular Signatures by Using Hybrid MRI-Guided Near-Infrared Spectral Tomography
Ben Brooksby
*Dartmouth College*
Brian W. Pogue
*Dartmouth College*
Shudong Jiang
*Dartmouth College*
Hamid Dehghani
*Dartmouth College*
Subhadra Srinivasan
*Dartmouth College*
Follow this and additional works at: [https://digitalcommons.dartmouth.edu/facoa](https://digitalcommons.dartmouth.edu/facoa)
Part of the Bioimaging and Biomedical Optics Commons, Radiology Commons, and the Women's Health Commons
Dartmouth Digital Commons Citation
Brooksby, Ben; Pogue, Brian W.; Jiang, Shudong; Dehghani, Hamid; Srinivasan, Subhadra; Kogel, Christine; Tosteson, Tor D.; Weaver, John; Poplack, Steven P.; and Paulsen, Keith D., "Imaging Breast Adipose and Fibroglandular Tissue Molecular Signatures by Using Hybrid MRI-Guided Near-Infrared Spectral Tomography" (2006). *Dartmouth Scholarship*. 1399.
[https://digitalcommons.dartmouth.edu/facoa/1399](https://digitalcommons.dartmouth.edu/facoa/1399)
Authors
Ben Brooksby, Brian W. Pogue, Shudong Jiang, Hamid Dehghani, Subhadra Srinivasan, Christine Kogel, Tor D. Tosteson, John Weaver, Steven P. Poplack, and Keith D. Paulsen
This article is available at Dartmouth Digital Commons: https://digitalcommons.dartmouth.edu/facoa/1399
Imaging breast adipose and fibroglandular tissue molecular signatures by using hybrid MRI-guided near-infrared spectral tomography
Ben Brooksby*, Brian W. Pogue*†‡, Shudong Jiang*, Hamid Dehghani*, Subhadra Srinivasan*, Christine Kogel†, Tor D. Tosteson§, John Weaver†, Steven P. Poplack†, and Keith D. Paulsen*
*Thayer School of Engineering, Dartmouth College, 8000 Cummings Hall, Hanover, NH 03755; and Departments of †Diagnostic Radiology and §Community and Family Medicine, Dartmouth Medical School, Dartmouth Hitchcock Medical Center, Lebanon, NH 03756
Edited by Britton Chance, University of Pennsylvania School of Medicine, Philadelphia, PA, and approved April 21, 2006 (received for review November 5, 2005)
Magnetic resonance (MR)-guided near-infrared spectral tomography was developed and used to image adipose and fibroglandular breast tissue of 11 normal female subjects, recruited under an institutional review board-approved protocol. Images of hemoglobin, oxygen saturation, water fraction, and subcellular scattering were reconstructed and show that fibroglandular fractions of both blood and water are higher than in adipose tissue. Variation in adipose and fibroglandular tissue composition between individuals was not significantly different across the scattered and dense breast categories. Combined MR and near-infrared tomography provides fundamental molecular information about these tissue types with resolution governed by MR T1 images.
hemoglobin | magnetic resonance imaging | water | fat | oxygen saturation
Near-infrared (NIR) imaging and spectroscopy are emerging technologies for functional characterization of biological tissues with specific information about a few important biological molecules and structures. Optical measurements of tissue have significant potential to elucidate the biochemical/structural constituents of the tissue. IR spectroscopy of tissue can be done directly or indirectly through Raman spectroscopy, and both methods have recently shown significant promise as tools to identify the biochemical components of different breast tissues (1, 2). These may become excellent intrasurgical or biopsy guides to determine which tissue should be removed, having a demonstrated sensitivity and specificity of 88% and 93%, respectively, for breast cancer microcalcifications in biopsied samples (3). These techniques measure the basic biochemical constituents such as collagen, fat, beta-carotene, cholesterol, and water and the type of calcification deposit present. The caveat of these methods is that they have short penetration and so are optimally suited for small tissue volume identification or surface imaging applications. In contrast, NIR light penetrates much further in tissue, yet has fewer and broader chemical specific absorption bands, to identify components of the tissue (4, 5) and has reported data with extremely high sensitivity and specificity for cancer based on *in vivo* studies quantifying hemoglobin and oxygenation (6). The key spectral features are from water, hemoglobin, deoxyhemoglobin, lipids, and some potential for quantifying scattering, which is due to micrometer-sized structures such as collagen and membrane-bound organelles. Thus, the microscopic constituents of tissue are identifiable with NIR imaging, yet with more macroscopic resolution than Raman spectroscopy and supplying perhaps less chemical-specific information. This work reports the previously undescribed implementation of NIR spectral imaging in a combined magnetic resonance imaging (MRI)–NIR imaging system to study identification of these biochemical features in breast adipose and fibroglandular tissues.
The potential of NIR spectroscopic measurements to determine tissue physiology and composition *in vivo* has been studied since the 1970s (7). Because NIR light can be used to propagate entirely through ≈10 cm of tissue, research has focused on applications in breast imaging (4–6, 8, 9), thereby providing this biochemical information noninvasively and in an imaging mode. In clinical breast imaging, diagnostic mammography, ultrasonography, and MRI provide structural information and comparatively little data on molecular-level changes. When contrast MRI is used, vascular function is assessed. Supplementing conventional imaging with functional information is an avenue to improve our understanding of tissues *in vivo* in both research and clinical settings. In a recent report, Chance *et al.* (6) demonstrated that NIR tomography measurements could be used for extremely high sensitivity and specificity (96% and 93%, respectively) for tumors as small as 0.8 cm. It is generally thought that the only major limitation for NIR tomography lies in the area of low spatial resolution, and if it could be implemented in a manner that used the strengths of existing clinical modalities with the benefits of NIR contrast, the modality could become an accepted tool for clinical breast cancer imaging. This work demonstrates the type of information that can be obtained with a hybrid MRI–NIR tomography system that has been optimized to produce intrinsic molecular concentrations of oxy- and deoxy-hemoglobin as well as water, along with measures of the subcellular scattering response in normal breast tissue.
Relationships between NIR molecular parameters and demographic factors such as body mass index (BMI), age, hormonal status, breast size, and mammographic parenchymal pattern (i.e., radiographic density) have been investigated in the past (5, 9, 10). These studies have all been based on bulk tissue estimates, and the incorporation of conventional imaging provides an opportunity to understand how the spatial distribution of the parenchymal components within the breast affects disease incidence and progression. For example, mammography has been used in large epidemiological studies to demonstrate that radiographic density is correlated to the risk of developing cancer (11). Elucidating the causal link between density and the risk of cancer remains a challenge because the tools to evaluate breast composition are limited. In this context, NIR measurements appear to provide an independent assessment of tissue density based on scattering indices, hemoglobin, and water content (12). Hemoglobin concentration is an indicator of tissue vascularity, which is increased in breast malignancy (13, 14). Further, NIR absorption differences in tumor and normal breast tissue offer...
one of the highest intrinsic biological contrasts available in medical imaging, being up to 200% or more, which is equivalent to the contrast available in x-ray imaging of microcalcifications. Lower levels of oxygen saturation also have been found in malignancies, a consequence of tumor cell proliferation combined with compromised perfusion and supply rate mechanisms (15). MRI-guided NIR spectral tomography offers the possibility of monitoring these physiological and pathophysiological changes with high resolution.
Multimodality imaging is increasingly being used to interrogate tissue morphology and function simultaneously because of the inherent benefit of optimized coregistration. Initial demonstrations of MRI-guided NIR tomography was demonstrated by Ntziachristos et al. (16) in breast tumor imaging. The present work explores the integration of MRI (structural) and NIR tomography (functional) into a single platform for the study of breast tissue. Significant improvement in the stability and accuracy of the reconstruction process can be obtained through MRI segmented anatomical information as an input to the NIR parameter estimation problem. However, the way in which the prior information is used is critical (17–22). Misguided constraints can lead to errors that are detrimental to the image outcome. To date, NIR techniques have been combined with several high-spatial-resolution, structure-bearing imaging modalities, including x-ray tomosynthesis (23), ultrasound (24), and MRI (25, 26), to study human tissues and small animals. Here, integration of tissue structure is achieved by partitioning the regularization matrix according to the MRI segmentation and by using a Laplacian mathematical construct (22, 26). The approach seamlessly integrates MRI priors into a multispectral NIR tomography reconstruction and allows molecular imaging of the different tissue compositions within the breast. The work shows previously undescribed cross-sectional NIR images of molecular signatures known to exist in breast tissue where the spatial boundaries are preserved by MRI. A pilot population of healthy female volunteers has been imaged and the properties of adipose and fibroglandular tissues are examined to identify variations in composition within the breast and between subjects.
**Results**
**Image and Data Acquisition.** The tomographic imaging system, described in detail by Brooksby et al. (27) and shown in Fig. 1, records measurements of NIR light transmission through a pendant breast in a planar, anatomically coronal geometry. The NIR and T1-MRI data acquisition occur in parallel with a total examination time of <10 min. Full-volume T1-weighted MR scans are acquired (50 coronal slices, 25-ms repetition time (TR), 6-ms time to echo (TE), 45° flip angle, 2-mm slice thickness), which provide a map of tissue structure with millimeter spatial resolution that clearly differentiates adipose from fibroglandular tissue. Anatomically axial and coronal slices from three representative cases are shown in columns 1 and 2 of Fig. 2, respectively. The coronal MR slices show the structure of the breast in the plane of optical measurement, and the bright spots around the tissue perimeter represent fiducial markers attached to each optode. The age and radiographic density of these women were 65, 52, and 43, and scattered, extremely dense, and heterogeneously dense, respectively. There are few similarities in the parenchymal patterns in these three breasts. Grayscale values in the first (Fig. 2 Top) indicate predominantly adipose composition intermixed with small amounts of vasculature and fibroglandular tissue. The second case (Fig. 2 Middle) appears to contain predominantly fibroglandular tissue intermixed with fat, whereas the third (Fig. 2 Bottom) shows a well differentiated layer of surrounding adipose tissue.
The MRI-guided NIR reconstruction technique was applied, and reconstructed images of total hemoglobin concentration ([HbT], μM) are presented in column 4 of Fig. 2. High contrast is observed with MR-like resolution. In each case, fibroglandular tissue shows higher [HbT] than adipose tissue. This result is expected because more vessels are found in fibroglandular breast than in the fibrous and adipose stroma. Three additional cases are shown in Fig. 3. Here, reconstructed images of additional NIR parameters have been included: [HbT], hemoglobin oxygen saturation (S$_O_2$, %), water fraction (H$_2$O, %), scattering amplitude ($A$), and scattering power ($SP$). Interestingly, the spatial distributions in the NIR images do not exactly match the segmented MRI regions in all cases, and some heterogeneity
occurs, although the predominant effect is the significant change in optical properties that results between the adipose and fibroglandular boundaries.
**Summary of Breast Data.** Cumulative results are presented in Table 1 for the 11 subjects enrolled in the study. All parameters lie within, or overlap the ranges of, the bulk average breast properties measured previously (4, 5, 8–10), which uniformly report large intersubject variations in the NIR estimations. Based on the standard deviations observed here, SP shows the highest relative variability between subjects (61% in fibroglandular tissue), and hemoglobin oxygen saturation shows the lowest (12% in adipose tissue). Chromophore concentration intersubject variations were not significantly different between fibroglandular and adipose tissue (Table 1). Numerical values in Table 1 are plotted graphically in Fig. 4.
The differences in the optical properties of the two predominant tissue types were analyzed. Table 2 shows that $S_oO_2$ is the only parameter not significantly different in adipose versus fibroglandular tissue in all 11 exams. These trends match several expectations based on physiology. Specifically, fibroglandular tissue is known to contain more blood vessels than adipose and to have a greater blood supply and water content (28). The connection between physiology and NIR scattering parameters $A$ and SP is less clear. However, one *ex vivo* validation of these findings is provided by Peters *et al.* (29), who measured the scattering spectrum of excised breast tissue in the NIR wave-
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**Fig. 2.** Breast images are displayed from MRI and NIR. Anatomically axial (column 1 from left) and coronal (column 2) T1-weighted MR scans through three normal breasts. The coronal slices correspond to the plane of NIR measurement. Fiducial markers attached to each optical fiber are visible at the tissue perimeter and are projected onto the model surface (as dots in column 3). Coronal slices are used to create 2D meshes (column 3), which accurately represent the breast structure in the plane of interest, as well as to locate the measurement positions with millimeter accuracy. Each mesh location (node) is classified to define either adipose or fibroglandular tissue based on segmentation of the MRI grayscale intensities, and the dimensions are shown in millimeters, in the middle column of breast meshes. These meshes are used in the NIR image reconstruction from simultaneously acquired optical data. Images of the corresponding total hemoglobin concentration ($[Hb_T]$, $\mu$M) are shown in column 4.
**Fig. 3.** Breast images are displayed for MRI and NIR. Anatomically axial (column 1 from left) and coronal (column 2) T1-weighted MRIs slices through three normal breasts. Subjects were 69, 43, and 43 years old with scattered (*Top*), heterogeneously dense (*Middle*), and heterogeneously dense (*Bottom*) radiodensities, respectively. (Columns 3–7) Reconstructed images of chromophores and scatter parameters from simultaneously acquired NIR measurements (left to right) are as follows: total hemoglobin concentration ($[Hb_T]$, $\mu$M), hemoglobin oxygen saturation ($S_oO_2$, %), water fraction ($H_2O$, %), scattering amplitude ($A$), and $SP$. The spatial dimensions are similar to Fig. 2, with all breasts being $\sim 8–10$ cm in diameter.
**Table 1.** Average values, SDs, and total ranges for total hemoglobin concentration, hemoglobin oxygen saturation, water fraction, scattering amplitude, and scattering power of adipose and fibroglandular tissue
| Property | Adipose tissue | Glandular tissue |
|---------------------------|----------------|------------------|
| | Mean ± SD | Total range | Mean ± SD | Total range |
| $Hb_T$ concentration, $\mu$M | 17.1 ± 3.2 | 11.7–22.9 | 22.4 ± 7.3 | 9.8–35.6 |
| $S_oO_2$, % | 70.7 ± 8.6 | 51.8–77.4 | 69.7 ± 10.4 | 38.8–80.2 |
| Water fraction, % | 46.8 ± 18.5 | 23.0–78.5 | 60.3 ± 23.6 | 17.5–93.5 |
| $A$ | 1.34 ± 0.54 | 0.86–2.77 | 0.94 ± 0.38 | 0.32–1.79 |
| $SP$ | 0.56 ± 0.32 | 0.00–0.94 | 0.79 ± 0.48 | 0.00–1.36 |
length range and observed a higher SP in fibroglandular components. It is likely that scattering amplitude and power are surrogate measures of particle density and size, respectively (30, 31), but experimental confirmation is an area of active research.
**Discussion**
The segmented MRI in the NIR imaging plane provides estimates of the percentage of adipose tissue by area, which was used to guide data analysis and ranged from 49% to 86%, with an average of 70% in the 11 subjects evaluated. We observed a correlation between age and percent adipose tissue ($r = 0.69$, $P = 0.02$), and a paired $t$ test confirmed that women with scattered radiographic density had a higher adipose content than those with heterogeneously dense, or extremely dense, breast classifications ($r = 0.30$, $P = 0.001$). In previous work, adipose fraction was seen as a correlate to body mass index, which likely represents the fact that higher body mass correlates with increase fat content in most women (9). Results from stand-alone NIR imaging systems, which probe the entire breast, have produced correlations with age, radiographic density, and body mass index (9, 10, 32) that could reflect changes in the volume fraction of adipose and fibroglandular tissues, rather than changes in their individual compositions. Pifferi *et al.* (32) noted significant variation in the scattering parameters existed both between breasts and even spatially within the breast tissue of an individual. It is likely that MRI-guided NIR tomography will elucidate the origin of this heterogeneity, because the spatial variation in the adipose and fibroglandular tissues can be dissected from the MRI images. Correlation coefficients and associated $P$ values were calculated for relationships between age, percent adipose tissue, and the NIR parameters. No correlation was observed between subject age and any of these tissue characteristics, supporting the assumption that the intrinsic characteristics of fat, for example, do not change with age regardless of findings from previous studies. Percent adipose tissue did correlate with adipose oxygen saturation ($r = 0.66$, $P = 0.027$), although it is not immediately obvious why these two parameters should be related. In addition to age, the relative abundance of adipose and fibroglandular tissue is known to depend on the subject’s weight, race, and behavioral factors.
Relationships between NIR parameters derived from the two tissue types also were studied. The only significant connection appears between water and oxygen saturation for fibroglandular tissue ($r = 0.70$, $P = 0.015$). We assessed the relationship between radiographic density and NIR properties for adipose and fibroglandular tissue as well. Table 2 showed that none of the NIR parameters for fat were significantly different between breasts with different radiodensity classifications. Similarly, most of the fibroglandular tissue parameters did not differ, except hemoglobin, which did correlate with increasing density for this tissue type. It is currently unknown whether the composition of fibroglandular tissue is truly different in breasts scored in these different density categories. It could be that the vascular compartment within the fibroglandular zone is greater in the denser breast. Another explanation for the difference observed here may be found in Fig. 2. It is clear that the parenchyma patterns for women with different densities can vary, and it is well known that during menopause, with the cessation of ovarian hormonal function, breast lobules in glandular tissue atrophy; hence, the relative adipose and fibrous stromal volumes may increase. It is also possible that the resolution of the MRI–NIR image segmentation is too coarse to capture accurately parenchymal distributions for image reconstruction, especially in scattered densities. The size of associated fibroglandular regions may be overestimated, leading to an underestimation of the localized absorption contrast due to hemoglobin by means of an averaging effect with the adjacent misclassified fat that actually exists.
The study presented here demonstrates the capability of MR-guided NIR imaging. The technique provides high-resolution images of both tissue structure through MRI and tissue function through NIR contrast. The incorporation of anatomical information indicates that improved NIR image quality is achieved and will likely increase the potential for relevant physiological investigation. It appears increasingly probable that optical techniques will play important clinical roles when combined with other imaging systems, as recently demonstrated by Chance *et al.* (6), demonstrating high sensitivity and specificity values when imaging breast cancer tumors. For example, optical signatures can be specific to molecular changes in tissue, as recently demonstrated with Raman spectroscopy (1, 3), and use of vascular permeability agents (33), lymphatic agents (34), and/or molecular specific contrast agents (35) in this sort of tomography geometry will likely lead to useful diagnostic testing for specific disease processes. Integrating optical imaging with MRI may provide enhanced information about hemodynamics and metabolism at minimal additional cost and complexity compared with the
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**Table 2.** *P* values from paired $t$ tests on differences between NIR-derived properties associated with tissue type with adipose vs. glandular tissue in scattered vs. dense breasts
| Property | Adipose vs. glandular | Scattered ($n = 6$) vs. dense ($n = 5$) |
|----------|-----------------------|----------------------------------------|
| | Mean diff. | Adipose, mean diff. | Glandular mean diff. |
| $[Hb_T]$ | 0.022* | 0.902 | 0.009* |
| $S_{O_2}$| 0.798 | 0.166 | 0.170 |
| Water | 0.040* | 0.769 | 0.068 |
| A | 0.005* | 0.673 | 0.579 |
| SP | 0.045* | 0.324 | 0.892 |
All numbers are $P$ values. Adipose vs. glandular, $n = 11$; scattered, $n = 6$; dense, $n = 5$. *, $P < 0.05$.
MR system itself. In using this type of a hybrid system, care has been taken to apply it to two well understood tissue types first, namely adipose and fibroglandular tissues, which have very well known differences in vascular volume, fat, and water composition. Use of the system in more complex and less well understood tissues, such as different types of tumors, will require extensive validation with independent methods. It is not clear at this time whether this system will be successful in characterizing or detecting small tumors; based on phantom studies it does appear that it will be more accurate than a stand-alone NIR tomography system.
Although this study presents an important step in the development of a hybrid system for MRI and optical tomography, further questions clearly remain as to the functionality and utility of the system. A priority is validation of the chromophore quantification, and only extensive phantom studies with complex phantom geometries mimicking the interior complexity of the breast will suffice for this validation. Initial studies with three-layer phantoms, in previous papers, indicate that hemoglobin quantification in broad regions is possible (22, 26, 36, 37). More complex and highly heterogeneous phantoms should be analyzed in the future to ensure the accuracy of this type of hybrid system and to determine what the minimum resolution and “effective” complexity is possible to segment out from the background tissue for this type of volumetric NIR spectroscopy. In addition, further validation of the quantification of water is possible by comparison with water quantification in MRI (38). Initial data in this area are encouraging, yet concerns about the ability to quantify water concentration with MRI remain and will always have some level of uncertainty, because of the varying MR spectrum of bound vs. unbound water.
**Materials and Methods**
**Human Subjects.** An MR-guided NIR imaging system was used to study the breast tissue properties of 11 women with normal mammography. The Institutional Review Board at the Dartmouth Hitchcock Medical Center approved the clinical examination protocol, and written informed consent was obtained from all subjects before participation. The average age of the volunteers was 53 years and ranged from 43 to 69 years. Four of the women were premenopausal, and seven were postmenopausal, none of whom were taking hormone replacement therapy. Six of the women had scattered radiographic density, four were heterogeneously dense, and one was extremely dense. Given the accurate MR coregistration, each NIR property image location was associated with either adipose or fibroglandular tissue, and the average properties of each tissue, along with their standard deviation and total range across the subject pool, were determined.
**Imaging System Design.** The NIR imaging system consisted of six laser diodes (660–850 nm), which were amplitude-modulated at 100 MHz. The bank of laser tubes was mounted on a linear translation stage that sequentially coupled the activated source into 16 bifurcated optical fiber bundles. The central seven fibers delivered the source light, while the remaining fibers collected transmitted light and were coupled to photomultiplier tube (PMT) detectors. For each source, measurements of the amplitude and phase shift of the 100-MHz signal were acquired from 15 locations around the breast. As shown in Fig. 1b, the fibers extended 13 m into a 1.5-T whole-body MRI (GE Medical Systems), and the two data streams (i.e., NIR and MRI) were acquired simultaneously. The participant lay on an open architecture breast array coil (Invivo, Orlando, FL), shown in Fig. 1c, which also houses the MR-compatible fiber positioning system. The plane of fibers spanning the circumference of a pendant breast can be positioned manually from nipple to chest wall if multiple planes of NIR data are desired. Two fiber-breast interface prototypes were constructed. The first, pictured in Fig. 1d, allows each of the 16 fibers to move independently in a radial direction, and tissue contact is enforced with bronze compression springs. The second, shown in Fig. 1e, maintains a circular breast circumference and allows more user control. Generally, we have observed that NIR data quality and image reconstruction is more effective on circular geometries than on some of the distended shapes commonly observed with the first design. This finding was anticipated by Pogue et al. (39), who showed that geometries that maximize symmetry in the projection angles between source and detectors often yield the best images.
**Image Reconstruction Algorithm.** Image reconstruction has been outlined in detail in previous papers (22, 26), but the salient features are summarized here. A frequency-domain diffusion model was used to simulate measured signals for any specified distribution of absorption and reduced scattering coefficients, $\mu_a$ and $\mu'_s$, within an imaged volume given by
$$-\nabla \cdot D(r)\nabla \phi(r, \omega) + \left(\mu_a(r) + \frac{i\omega}{c}\right)\phi(r, \omega) = S(r, \omega),$$
where $S(r, \omega)$ is an isotropic light source and $\phi(r, \omega)$ is the photon density at position $r$; $c$ is the speed of light in tissue; $\omega$ is the frequency of light modulation; and $D = 1/[3(\mu_a + \mu'_s)]$ is the diffusion coefficient. Customized software tools were used to automatically create meshes in which each location corresponded to either adipose or fibroglandular tissue as illustrated in Fig. 2.
Having obtained the measurements at the periphery of the breast, image reconstruction was carried out by repeated solution of Eq. 1 to estimate the chromophore concentrations and scattering parameters. The inversion process minimized the least-squares functional
$$\chi^2 = \sum_{j=1}^{Mn} (\phi_j^m - \phi_j^c)^2 + \beta \sum_{j=1}^{Mn} L(\mu_j - \mu_{o,j})^2,$$
where $Mn$ is the total number of measurements at all wavelengths (240 × 6), and $\phi_j^m$ and $\phi_j^c$ are, respectively, the measured and calculated fluence at the boundary for each measurement point $j$. $\beta$ is the regularizing factor for the spatial prior, and $L$ is a matrix generated from MRI-derived spatial data, acting on the solution $\mu$. $L$ links all of the locations in a particular type tissue (fibroglandular or fatty) and respects the MR-defined internal boundaries by applying a second differential, Laplacian-shaped operator to each region separately (26). The effect is similar to that of total variation minimization (40) because it allows sharp boundary transitions to exist but provides the flexibility to encode these boundaries from MRI information and has the effect of smoothing continuous regions. Spectral relationships for absorption from Beer’s law and scattering based on Mie theory were incorporated into the reconstruction directly (41). Beer’s law states that $\mu_a(\lambda) = \sum_{i=0}^{n} [\varepsilon(\lambda)]c_i$, where $\varepsilon(\lambda)$ is the molar absorption spectra of the absorbing tissue chromophores each having concentration $c_i$. Similarly, a power law $\mu'_s(\lambda) = A\lambda^{-SP}$ describes the relationship between the reduced scattering coefficient, $A$, and $SP$ (42). The minimization of Eq. 2 is accomplished with a Newton–Raphson iterative method by using a modified Levenberg–Marquardt approach to regularization, and the final matrix equation that is solved is (21)
$$(J^TJ + \beta L^TL)\partial \mu = J^T\partial \phi.$$
$\beta$ is set to 10 times the maximum value of the diagonal of $\hat{J}^T \hat{J}$. This value was determined in previous studies (26) and appears optimal regardless of the complexity of the regional distribution of the imaged volume encoded in $L$.
**Statistical Analysis of Data.** Statistical analysis of the data was completed with a standard paired $t$ test on differences between the NIR-derived properties associated with the two tissue types adipose and fibroglandular, to examine whether there was a difference in composition between scattered and dense breasts.
This work was supported by National Institutes of Health Grants R01CA69544 and P01CA80139.
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We are delighted to present the annual report of Maris Stella College for the academic year 2022-23. This report offers a comprehensive overview of the accomplishments, challenges, and progress made during the past year. Higher education plays a pivotal role in shaping the future of our society, making it crucial to monitor developments and changes in this field. Our aim through this report is to highlight significant advancements in teaching and learning methodologies, breakthroughs in research and technology, and initiatives promoting diversity, equity, and inclusion. We take immense pride in sharing the success stories of our institution and showcasing the remarkable contributions made by our faculty and students in pursuit of our shared objectives. It is our hope that this annual report provides you with a deeper understanding of our institution and inspires your support for our ongoing efforts to create a better future through education.
RE-OPENING:
The academic year 2022-23 began on different dates for various student groups at Maris Stella College. For II & III year UG students, it started on 4 July, 2022. The I year UG students began their academic year on 26 September, 2022, with a week-long Induction Programme from 26 - 30 September, 2022. The II-year PG students started their academic year on 6 October, 2022, while the I year PG students commenced on 6 November, 2022. The PG Department of Business Administration organized a Student Induction Programme for newly admitted students from 9 to 10 December, 2022.
APPOINTMENTS:
Dr. Sr. Leena Quadras has been appointed as the Academic Officer at Maris Stella College. Dr. Sr. P. Japamalai has been appointed as the Head of the Department of Zoology. Dr. D. Ramakrishna from the Department of Sanskrit has been appointed as the Inter Vice Principal.
RESULTS:
PG programmes registered 100% results while Degree programmes registered 88.05% for the academic year 2022-23.
UG Programmes
B.A
| Semester | Appd. | Passed | Pass % |
|----------|-------|--------|--------|
| I | 113 | 79 | 69.91 |
| II | 113 | 98 | 86.73 |
| III | 101 | 83 | 82.18 |
| IV | 113 | 93 | 82.30 |
| V | 112 | 99 | 88.39 |
B.COM
| Semester | Appd. | Passed | Pass % |
|----------|-------|--------|--------|
| I | 79 | 54 | 68.35 |
| II | 81 | 69 | 85.19 |
| III | 74 | 58 | 78.38 |
| IV | 77 | 47 | 61.04 |
| V | 79 | 63 | 79.75 |
### BMS
| Semester | Appd. | Passed | Pass |
|----------|-------|--------|--------|
| I | 9 | 6 | 66.67% |
| II | 9 | 9 | 100.00%|
| III | 7 | 5 | 71.43% |
| IV | 8 | 6 | 75.00% |
| V | 8 | 7 | 87.50% |
### BBA
| Semester | Appd. | Passed | Pass % |
|----------|-------|--------|--------|
| I | 18 | 13 | 72.22% |
| II | 18 | 18 | 100.00%|
| III | 18 | 13 | 72.22% |
| IV | 18 | 14 | 77.78% |
| V | 17 | 13 | 76.47% |
### B.Sc
| Semester | Appd. | Passed | Pass % |
|----------|-------|--------|--------|
| I | 232 | 182 | 78.45% |
| II | 242 | 221 | 91.32% |
| III | 226 | 189 | 83.63% |
| IV | 241 | 183 | 75.93% |
| V | 233 | 197 | 84.55% |
HIGHLIGHTS:
- In the Education World Rankings 2022, Maris Stella College is ranked 86 at the national level and 11 at the state level.
- Maris Stella College celebrated its Diamond Jubilee with a grand two-day event on 15 & 16 July, 2022 attended by students, staff, alumni and esteemed guests, including the Honorable Vice President, Sri Venkaiah Naidu. The occasion was marked by various activities, such as the unveiling of a captivating Diamond Jubilee Souvenir, expressing the college’s rich heritage and gratitude to its generous benefactors. A mesmerizing cultural program highlighted women’s empowerment and paid homage to their remarkable achievements. The second day began with a thanksgiving mass, followed by the inauguration of a new building named after Bl. Mary of the Passion, symbolizing the college’s reverence for her virtuous life. The festivities concluded with a festive meal and a profound message from the Honorable Governor, Sri Biswabhusan Harichandan. The celebration served as a testament to the college’s illustrious past and its commitment to women’s education, inspiring anticipation for a promising future shaped by education and unity.
• English is an essential language for achieving various personal and professional goals. Recognizing the importance of English proficiency among students, the college management, in collaboration with the U.S. Consulate, initiated an English Access Microscholarship Program which was officially launched on 13 October 2022 by Ms. Jennifer Larson, U.S. Consul General, U.S. Consulate, Hyderabad.
• M. Reshma Revathi, III BA HEP had the honour of participating in the prestigious Study of United States Institute (SUSI) program from 18 June to 20 July 2022. The program took place at the University of Washington, Seattle and was hosted by the Foundation for International Understanding Through Students (FIUTS). Reshma’s participation in this program was made possible through full funding provided by the U.S. Government’s Department of State. Together with participants from Brazil, India, Indonesia, Nigeria, and Tunisia, Reshma delved into the theme of “Student Leaders on Education & Future of Work,” engaging in insightful discussions and exploration.
• Rishitha Jaladi, B.Sc. CBZ and Saranya BA HEP 2020-21 passed out, had the privilege of completing the Study of United States Institute (SUSI) program in November 2022. Rishitha and Saranya were selected for the SUSI program during their second year of their degree. Due to the pandemic, they initially attended virtual sessions from 1st June to 30th July 2021, followed by an in-person component in November 2022. The program was organized in collaboration with Meridian International Center, with the Foundation for International Understanding Through Students (FIUTS) hosting it at the University of Washington, Seattle.
• The Department of MBA has received recognition as a Research Centre by Krishna University on 13 March 2023 for a period of 3 years i.e. 2022-23, 2023-24 & 2024-25. Three faculty members, Dr. K. Naga Sundari, Dr. G. Malathi, and Dr. H. Kanaka Durga, have been recognized as research supervisors. This recognition signifies the department’s commitment to promoting research and scholarly activities. Their expertise and guidance will contribute to fostering a research-oriented environment within the college and nurturing the research aspirations of students.
• Dr.N.Baratha Jyothi, Dept. of Zoology, developed a Monitored Chemical Dispensing System in collaboration with 13 Science Faculty of Andhra Pradesh and Tamilnadu. This innovative system has been granted a patent (Patent No. 200954) in the field of Chemical Sciences and has been published by the Government of India. The Monitored Chemical Dispensing System ensures safe and controlled dispensing of chemicals, enhancing laboratory safety and efficiency.
• Dr.N.Baratha Jyothi, Dept. of Zoology, registered a design for a device for production of Cancer Vaccines by Intellectual Property Office, UK on 17 May 2023.
• Dr.Sr.Ramana K. Asst. Professor, Dept. of MBA completed prestigious UB Fellow Study Trip to International Christian University, Tokyo and Sophia University, Tokyo, Japan from 17 - 28 April, 2023.
• Ms. Padmaja and Ms. Swetha, Dept. of Commerce and Management registered for Ph.D. at Andhra University, Visakhapatnam.
• A Memorandum of Understanding (MoU) was signed between the Department of Botany, Maris Stella College, Vijayawada and Thanu Sree Mushroom Cultivation for the period of 2022-2024.
• A Memorandum of Understanding (MoU) was signed between the Department of Botany, Maris Stella College, Vijayawada and Deepthi garment industry for the period of 2022-2024.
• A Memorandum of Understanding (MoU) was signed between the Department of Microbiology, Maris Stella College, Vijayawada and PEARL Research laboratory, Guntur for the period 2022-25.
**CONDOLENCES:**
Miss M. Drakshaveni, a student of II B.Sc. MPCS passed away on 5 June, 2022, after a brief illness. The college staff and students paid homage and expressed their condolences to the bereaved family during this difficult time.
**AWARDS/RECOGNITION:**
Dr.N.Baratha Jyothi, Dept. of Zoology, has accomplished a remarkable feat in the literary realm. On 22 July, 2022 she received recognition from the India Book of Records for her exceptional role as the editor of an anthology titled “Farmer Agony,” which consists of an astounding 7575 poems. The anthology was published by ESN Publications, located in Chennai, India.
Dr.N.Baratha Jyothi, Dept. of Zoology, was recognised with the prestigious “Research Excellence Award” by the M.S. Swaminathan School of Agriculture on 5 September, 2022. This esteemed recognition was conferred by Centurion University of Technology and Management in Odisha, India.
Dr.G.Kranthi Kumar, Dept. of Botany, received the “Certificate of Excellence” in Peer Reviewing from Global Press Hub on 28 October, 2022.
Dr.Alice Jayapradhha C, Dept. of Bio-Chemistry, organized a successful World Diabetes Day event on
14, 2022. It was recognized and listed among 813 events in 113 countries on the International Diabetes Day Website, emphasizing its global significance. Additionally, the event received coverage in a local newspaper, highlighting its impact in raising awareness about diabetes.
Dr. N. Baratha Jyothi, Dept. of Zoology, was recognized with a certificate of appreciation for her invaluable contributions in overseeing the successful organization of the 3rd Eklavya Model Residential School National Sports Meet in Andhra Pradesh. This prestigious event was held from 17-22 December, 2022.
B. Karuna Harika, Dept. of Hindi, has attained an extraordinary accomplishment in the literary realm. On 22 July, 2022 she was bestowed with recognition from the India Book of Records for her exceptional role as the editor of an anthology titled “My Mother.” This anthology encompasses a remarkable collection of 7575 poems and was published by ESN Publications in Chennai, India.
B. Karuna Harika, Dept. of Hindi, was honoured with the prestigious “Best Innovator Award” during a one-day webinar on “Agriculture and Allied Science Education-Trends and Needs” on 5 September 2022. The event was hosted by M.S. Swaminthian School of Agriculture Centurion University of Technology and Management, Odisha, India.
B. Karuna Harika, Dept. of Hindi, was conferred a “Research Excellence Award” during Two Days International Conference on “Contemporary Issues in Science and Management Research” on 7 & 8 January 2023 jointly organised by Sidvi Foundation and Sree Venkateswara College of Engineering (SVCN).
Dr. Alice Jayapradha C, Dept. of Bio-Chemistry, has been recognized for her expertise and contribution
Dr. N. Baratha Jyothi, Dept. of Zoology, was honored with the esteemed Best Academician Award on 5 September 2022 at the International Conference and Award Ceremony on Multidisciplinary Research and Global Transformation. The event was jointly organized by Research Educational Solutions and Sidvi Foundation.
Dr. N. Baratha Jyothi, Dept. of Zoology, has been honored with the prestigious Keynote Speaker Award at a two-day international conference held on 7 & 8 January 2023. The conference was organized by Sree Venkateswara College of Engineering in Nellore, Andhra Pradesh.
SUBJECT EXPERTS/ RESOURCE PERSONS
Dr.Sr.P.Japamalai, Head, Department of Zoology has been appointed as a University Nominee for the Board of Studies (BoS) at SDMS College, Vijayawada, for a three-year term.
Dr.K.Naga Sundari, Director & Head, Dept. of MBA and Dr.G.Little Flower, Head, Dept. of Physics, were selected as esteemed members of the Subject Expert Committee by the Andhra Pradesh State Council of Higher Education (APSCHE). Their primary responsibility was to design the syllabus for the fourth year UG Honours program, specifically for Semesters VII and VIII.
Dr.K.Naga Sundari, Director & Head, Dept. of MBA was invited as resource Person for a two-day National Conference on Emerging Trends in Business Management, organized by Andhra Loyola College, Vijayawada on 23 & 24 February 2023.
Dr.K.Naga Sundari was the resource person and motivational speaker for COWE Swvalamban Sashakt, talks organised by Confederation of women Entrepreneurs on 10 August, 2022.
Dr.D.Ramakrishna, Head, Dept. of Sanskrit is a member of Board of Studies (BoS) at the National Sanskrit University in Tirupathi and Krishna University, Machilipatnam.
Dr.D.Ramakrishna, Head, Dept. of Sanskrit serves as an adjudicator and chairman for conducting vivas at the National Sanskrit University, Tirupathi.
Dr.D.Ramakrishna, Head, Dept. of Sanskrit acted as an adjudicator for the first All India Sanskrit Students Talent Festival held on April 19 and 20, 2023.
Dr.D.Ramakrishna, Head, Dept. of Sanskrit, served as a resource person for a guest lecture on the topic “Vidyarthenam Pancha Tantrasya Avasyakatha” at St. Pious X Degree & PG College for Women in Hyderabad on 28 November, 2022.
Dr.D.Ramakrishna, Head, Dept. of Sanskrit was invited as a resource person at a three-day National Seminar on the topic “Major Issues and Challenges in English and Oriental Languages and Literature” held from 16 -18 February, 2023, at Andhra Loyola College, Vijayawada.
Dr.D.Ramakrishna, Head, Dept. of Sanskrit, delivered a lecture on the topic “Upanishadam Parichayah” as a resource person at the Vedavignana Sata Vyakhyan Sumamalika event held on 18 January, 2023, at the Sanskrit Academy, Hyderabad and Maharshi Sandeepanee Rashtriya Veda Vidya Pratishtan, Ujjain, Madhya Pradesh.
Dr.D.Ramakrishna, Head, Dept. of Sanskrit, delivered a lecture as a resource person at the Acharya TN Dharmadhikari Smriti Vyakhyanamala event held on 19 September, 2022, at Vaidika Samsodhana Mandalam in Pune. The topic of the lecture was “Andhra Desiyeshu Sila Sasaneshu Vedadhyayana Paramparayaah Prastavah.”
Dr.D.Ramakrishna, Head, Dept. of Sanskrit, acted as a resource person for the Professional Development Programme titled “Tw-Day Workshop on Professionalism, Work Ethics & Ethos for Professional Growth.” organized by IQAC, Maris Stella College on 11 & 12 November, 2022.
A Jyothsna Valenteena, Head, Dept. of Political Science is a member of Board of Studies (BoS) at Andhra Loyola College, Vijayawada.
Dr.V.Prasada Rao, Dept. of Political Science is subject expert at SVKP & Dr.K.S.Raju Arts & Science College, Penugonda, W.G. District.
Dr.P.Lakshmana Swamy, Head, Dept. of Agriculture and Rural Development, was invited as a subject expert for the Board of Studies (BoS) meeting by the Department of Agriculture and Rural Development in Ch. S. D. St. Theresa College for Women, Eluru. The meeting took place on 4 February, 2023.
Dr.N.Baratha Jyothi, Dept. of Zoology, was invited as the Guest of Honor at a significant one-day webinar focused on Agriculture and Allied Science Education, Trends, and Needs in 2022. The event was organized by the Society for Ecological Sustainability in Odisha, India.
VISIT TO OTHER UNIVERSITIES/INSTITUTIONS
Ms.V.Sudha Devi, Dept. of Mathematics, Ms.K.H.Anuhya, Head, Dept. of Electronics Dr.D.Kranthi Kumar, Head, Dept. of Botany visited CHRIST (Deemed to be University), Bangalore, Karnataka from 9 - 11 March, 2023 to learn the Service-Learning initiatives and other best practices at the University.
FACULTY EXCHANGE PROGRAMMES
Ms.K.H.Anuhya, Head, Dept. of Electronics delivered online lectures on Microprocessor for the III B.Sc. MECs students of Little Flower Degree & PG College, Uppal, Hyderabad, Telangana in the faculty exchange programme between Maris Stella College (A), Vijayawada and Little Flower Degree & PG College, Uppal, Hyderabad, Telangana as a part of academic collaborative activity under Xavier Board of Higher Education from 15-23 September 2022.
Dr.N.Baratha Jyothi, Dept. of Zoology delivered an endowment lecture on “Skill Development to enhance quality Education for the empowerment of women” for the I B.Com. and I B.Sc. CBZ students of JMJ college for women (A) Tenali, Guntur district on 10 January 2022.
RESEARCH PUBLICATIONS:
Dr. C. Krishnaveni, Dept. of Mathematics, published a research paper, on ‘Results on Residue Product of Bipolar Fuzzy Graphs’, in the AIP Conference Proceedings, Volume 2707, Issue 1, 020016, 9 May 2023, Pages: 020016-1 to 020016-8.
Dr.D.Kranthi Kumar, Dept. of Botany and Dr.D.Silpa, Dept. of Microbiology have authored a textbook titled “PG-Entrance Life Sciences.” The textbook, published by Divya Lakshmi Publishers in Uttar Pradesh, is aimed at students preparing for postgraduate entrance exams in the field of life sciences.
Dr.D.Kranthi Kumar, Dept. of Botany and Dr.D.Silpa, Dept. of Microbiology have published a book titled “TS PGCET (2023) - Botany D.” The book, published by Divya Lakshmi Publishers in Uttar Pradesh, is specifically designed to help students prepare for the Telangana State Post Graduate Common Entrance Test (TS PGCET) in the field of Botany.
Dr.V.Prasada Rao, Dept. of Politics, published a book on “India’s Foreign Policy and Contemporary International Issues.” The book was released on 11 May, 2023, by Prof. K. Hemachandra Reddy, Chairman of APSCHE, highlighting Dr. Rao’s expertise and contribution to the field of politics.
Dr.R.Srinivasarao, Dept. of Telugu, contributed 5 research articles in the book titled “Girijana Sahityam Bhasha Samskruthi.” It was published in August 2022 by Bhojanna Publications with ISBN No. 978-93-5493-477-3.
Ms.T.Grace Eunice, Dept. of Physics, published a book chapter titled “Prevalence of Anaemia, Pica Disorder due to Stress Raised during Lockdown Period of COVID-19 among Adolescents” in the book “Emerging Trends in Science, Social Science, Engineering, and Management - A Multi-Disciplinary Approach.” It is published on pages 218-225 by Research Circle in collaboration with the International Institute of Knowledge and Research (Malaysia) in 2022. The ISBN is 978-93-5546-016-5.
Ms.Ch.Madhavi Latha, Dept. of Commerce and Management published a chapter with the title, “A Brief Review of Ocean Plastic Pollution”, in the book Recent Trends and Latest Innovations in Life Sciences Volume II, ISBN : 978-6258284-21-8, Year of Publication : November 2022.
Dr.K.Naga Sundari & Dr.G.Malathi, Dept. of MBA, published a chapter “Brand Loyalty: A Strategic Tool for Hyper Competitive Markets” for the edited book titled “Strategic Tools in Trade and Business”, in March 2023.
Dr.K.Naga Sundari & Dr.G.Malathi, Dept. of MBA published chapter “Influencer Marketing: Growth Strategy for Business Development” for the edited book titled “Strategic Tools in Trade and Business”, in March 2023.
Dr.K.Naga Sundari & Dr.G.Malathi, Dept. of MBA published a chapter “Novel Business Strategies: Success Tools for Business Development” for the edited book titled “Strategic Tools in Trade and Business”, in March 2023.
Dr.K.Naga Sundari & Dr.G.Malathi, Director & Head, Dept. of MBA published a chapter “Emerging Trends of Service Industry in India-Opportunities and Challenges” for the edited book titled “Service Industry: Challenges and Opportunities”, ISBN No : 978-93-90863-66-2, National Press Associates.
Dr.K.Naga Sundari & Dr.G.Malathi, Dept. of MBA published a paper on “Parents Perception towards the Post-Covid Behavioral Changes among School Going Children”, Gradiva Review Journal, an UGC-Care approved Group II and Indexed by Scopus, Vol.9, Issue-3, ISSN : 0363-8057, March-2023, Page No’s : 423-430.
Dr.K.Naga Sundari & Dr.G.Malathi, Dept. of MBA published a paper on “Gen Z’s Perception towards Entrepreneurial Capabilities”, Gradiva Review Journal, an UGC-Care approved Group II and Indexed by Scopus, Vol.9, Issue-3, ISSN : 0363-8057, March-2023, Page No’s :431-440.
Dr.K.Naga Sundari & Dr.G.Malathi, Dept. of MBA published a paper on “Impulse Buying Behaviour of Consumers-An Empirical Study”, Madhya Bharti-Humanities and Social Sciences, Peer Reviewed Refereed UGC Care Listed Journal, Impact Factor : 6.4, Vol-83, ISSN : 0974-0066, (January-June) 2023, Page No’s :110-115.
Dr.K.Naga Sundari & Dr.G.Malathi, Dept. of MBA published a paper on “Factors Impeding the Career Advancement of Women in the Corporate Sector-An Empirical Study”, Phalanx- A Quarterly Review for Continuing Debate, Peer Reviewed Refereed UGC Care Listed Journal, Impact Factor : 5.6, Vol-18, No.1, ISSN :2320-7698, (January-March) 2023, Page No’s :133-138.
Dr.K.Naga Sundari & Dr.G.Malathi, Dept. of MBA published a paper on “Perception of Women towards the Glass Ceiling- An Empirical Study”, Journal of The Asiatic Society of Mumbai, UGC Care List Group-I Journal, Impact Factor :5.29, Vol-97, No.1, ISSN :0972-0766, January 2023, Page No’s :118-123.
Dr.K.Naga Sundari & Dr.G.Malathi, Dept. of MBA published a paper on “Customer Satisfaction on Service Quality Dimensions in Airlines”, Phalanx- A Quarterly Review for Continuing Debate, Peer Reviewed Refereed UGC Care Listed Journal, Impact Factor : 5.6, Vol-17, No.4, ISSN :2320-7698, (October-December) 2022, Page No’s :153-157.
Dr.K.Naga Sundari & Dr.G.Malathi, Dept. of MBA published a paper on “Glass Ceiling Factors Affecting Women’s Career in Corporate Organizations: A Case Study”, Journal of The Asiatic Society of Mumbai, UGC Care List Group-I Journal, Impact Factor :5.29, Vol-96, No.12, ISSN :0972-0766, (December) 2022, Page No’s :124-128.
Dr.H.Kanak Durga, Dept. of MBA published a research paper on “A Study on Fintech: The New Financial Revolution in Indian Financial Service Sector” on UGC CARE Listed Group I Journal of the Asiatic Society of Mumbai March 2023, ISSN : 0972-0766 with impact factor 5.29, Volume 97, page numbers 68-72.
Dr.H.Kanaka Durga, Dept. of MBA published a research paper titled “A Study on Capital Markets in India: A Comparative Analysis During The Financial Years 2020-21 AND 2021-22” on Phalanx: A Quarterly Review for Continuing Debate vol-18, No-1, January-March, 2023 UGC Care Listed Journal with ISSN: 2320-7698, Page numbers 139-142, Impact Factor 5.6
Dr.H.Kanaka Durga, Dept. of MBA published a research article titled “A Study on Present Scenario of Big Data Analytics In Insurance Sector” in Gradiva Review Journal an UGC Approved Group I Care listed Indexed by Scopus, ISSN NO: 0363-8057, Volume 9, Issue 3, Page no: 357-362 with the impact factor 6.1, March 2023.
Dr.H.Kanaka Durga, Dept. of MBA published a research paper with the title “A Study on Consumer Preferences and Satisfaction on Parle Biscuits at Vijayawada” in UGC Approved International Journal of creative Research thoughts (IJCRT) January 2022 page numbers c 435 to c43, ISSN: 2320-2882 with an Impact Factor 7.97
Dr.D.Ramakrishna, Head, Dept. of Sanskrit, published a research paper titled “Vrushadhipa Satakanuseelanamu Auchithyam.” The paper was published in a UGC-CARE listed Journal with ISSN 2583-4797 by Dr. Rambhatla Parvatheeswara Sarma Publishers, Visakhapatnam.
Dr.D.Ramakrishna, Head, Dept. of Sanskrit, published a research paper titled “Sribhashyam Vijayasarathi Mahakaveh Nyaya Vaiseshika Samkhya Yoga Darsana” in Vaidushyam Sribhashyam Vijayasarathi Saraswata Varivasya Journal (Page No. 23-26) ISBN No: 978-93-80171-73-9 published by Sanskrit Academy, Osmania University, Hyderabad.
Dr.D.Ramakrishna, Head, Dept. of Sanskrit, published a research paper titled “Ujjvala Sastra Vaibhavam” in Sruti Pratyakshayoh Virodhaparihaare Tatva Suddhikarasaya Vivechanam (Page 468 & 469) ISBN No: 978-93-91214-44-9 published by Shivalik Prakashan, Delhi.
Dr.V.N.Managa Devi, Head, Dept. of Telugu, published a paper titled “Yanadula Gaddapara Muhurthum” in Vihanga Mahila Sahitya Patrika an online Magazine with ISSN 2278-478.
Dr.R.Srinivasarao, Dept. of Telugu, published a research paper titled “Telugu States Telugu Bhashaku Yeduravuthunna Samasyalu- Savallu” in AmmaNudi Monthly Online Telugu Magazine. ISSN 2582-8738 UGC Group 1 care listed.
Dr.R.Srinivasarao, Dept. of Telugu, published a research article titled “Adhunika Sahityamulo Hasyam Prdhanyatha” in Hasya Chandrika with ISBN 978-93-5768-777-5 in April 2023.
K.Sarath Chandra, Dept. of Journalism, published a paper titled “Social Media Usage in Transmission of News among Broadcast Journalists” Jan-June 2022, Anvesak UGC Care Journal.
Dr.K.Swaroop Kumar, Dept. of Economics published a research paper titled “Technology Towards Economical Educational Development” in the International Journal of Management and Social Science Research Review. E-ISSN: 2349-6746, ISSN: 2349-6738.
Dr.K.Swaroop Kumar, Dept. of Economics, authored a research paper titled “Transforming On-Campus Education: Promise and Peril of Information Technology in Traditional Universities.” The paper was published in the International Journal of Advanced Research in Science, Communication, and Technology (IJARSCT) with the ISSN No.: 2581-9429.
Dr.K.Swaroop Kumar, Dept. of Economics, published a research article on the “effects of the Swarnajayanti Gram Swarozgar Yojana on poverty alleviation in Telangana State”. The research findings were published in the International Journal of Multidisciplinary Educational Research. ISSN: 2277-7881 : IMPACT FACTOR: 7.816 (2022)
Dr.D.Kranthi Kumar and Dr.D.Silpa, Depts. of Botany and Microbiology, published a paper on the hydroxymate type of siderophore production by rhizobacterial strains isolated from the root nodules of Vigna trilobata. *Research Journal of Biotechnology*, Vol. 17 (9) September (2022), 107-110.
Dr.D.Kranthi Kumar and Dr.D.Silpa, Depts. of Botany and Microbiology, published a paper on the nodulation diversity and leg hemoglobin content of Vigna trilobata (L.) Verde. Cultivars from Andhra Pradesh and Telangana State. *Open Access Journal of Microbiology & Biotechnology*- 7 (4): 1-4
Dr.D.Kranthi Kumar, Dept. of Botany and Dr.D.Silpa, Dept. of Microbiology, published a research article titled “First Report on Amylase Production by Bacillus pumilus DS5 Isolated from Agricultural Field Soils” in the International Journal of Pharmaceutical Sciences and Research (IJPSR). The article is published in Volume 14, Issue 6, spanning pages 2021-2025.
Dr.D.Kranthi Kumar, Dept. of Botany and Dr.D.Silpa, Dept. of Microbiology published articles on the genetic characterization and diversity analysis of heavy metal-resistant rhizobacterial strains isolated from the root nodules of Vigna trilobata. Environment and Ecology, 41 (2) : 22-28.
Dr.G.Little Flower, Dept. of Physics, published a research paper titled “Exploring the Antimicrobial Properties of Silver Nanoparticles against Various Bacterial Strains,” investigates the potential of silver nanoparticles for their antimicrobial activity against different bacterial strains. International Journal for Innovative Engineering and Management Research. Vol 12 Issue 02, Feb 2023, ISSN 2456 – 5083.
Dr.G.Little Flower, Dept. of Physics, published a research paper titled “Centella Asiatica: Phytochemical Extraction with Bio Solvents and Phytochemical Screening” in the International Journal for Innovative Engineering and Management Research in 2023. The paper focuses on the extraction and screening of phytochemicals from Centella Asiatica. It was published in Volume 12, Issue 02, with ISSN 2456-5083.
Ms.T.Grace Eunice, Dept. of Physics, published a case report titled “Misdiagnosed and an Unusual Presentation of Scrub Typhus in an Adolescent” in the World Journal of Pharmacy and Pharmaceutical Sciences. The paper highlights a unique case of scrub typhus misdiagnosis in an adolescent. The journal is ISO 9001:2015 certified with an impact factor of 7.632 and ISSN 2278-4357. It was published in Volume 11, Issue 12, 2022.
D.V.Saraja, Dept. of Statistics, published a research paper titled “A New Generalisation of Darna Distribution with Properties and Applications” in the Dickensian Journal in June 2022. The paper introduces a new generalization of the Darna distribution and explores its properties and applications.
D.V.Saraja, Dept. of Statistics, published a research paper titled “Some Contributions to Darna Distribution with Properties and Applications in Medical Science” in the Dickensian Journal in June 2022. The paper discusses further contributions to the Darna distribution and its properties and applications in medical science.
D.V.Saraja, Dept. of Statistics, published a research paper titled “Assessment of the Reliability and Performance of the Engineering System Using Exponentiated Weibull Distribution” in the Neuro Quantology journal in December 2022. The paper focuses on evaluating the reliability and performance of an engineering system using the exponentiated Weibull distribution.
Syed M. Parveen, Dept. of Statistics, published a case report titled “Ureteropelvic Junction Obstruction in the Anomalous Kidney” in the World Journal of Pharmacy and Pharmaceutical Sciences on 5 February, 2023. The case report highlights a specific condition of ureteropelvic junction obstruction in an anomalous kidney.
G. Usha Kumari and K. Tabitha, Dept. of Mathematics published a paper on Applications of Graph Theory. Real Life Journal of Applied Science and Computations July, 2022, 125-134 Volume-IX, Issue VII ISSN No : 1076-5131 http://j-asc.com/Volume-IX_Issue-VII-July/2022/ https://drive.google.com/file/d/1ZzxLvgv3couBOkfKZifsGmyhS1XiP_z/view?usp=sharing
Dr. Sr. P. Japamalai, Dept. of Zoology published a paper on ‘Autoimmune Disease Guillain-Barre Syndrome:’, A Case Report. World Journal of Pharmacy and Pharmaceutical Sciences - SJIF Impact Factor 7.632 Volume 12, Issue 1, 2023, 1552-1558 Case Study ISSN 2278 – 4357, ISO 9001:2015 Certified Journal.
Dr. Sr. P. Japamalai, Dept. of Zoology published a paper on ‘Ureteropelvic junction obstruction in the anomalous kidney:’ a case report. World Journal of Pharmacy and Pharmaceutical Sciences - SJIF Impact Factor 7.632 Volume 12, Issue 3, 2023, 820 - 828 Case Study ISSN 2278 – 4357, ISO 9001:2015 Certified Journal.
Dr. R. Ramani, Dept. of Zoology published a paper, titled ‘Impact of Covid-19 on Maternal Health - Scoping View’. Scieng Publications Journal Nov, 2022.
Dr. R. Ramani, Dept. of Zoology, & Mrs. V. Swapna, Dept. of Economics published a paper titled “Wolf Disease - Semilupus Erythematos in Women” in the Global Academy Journal in January 2023. The paper explores the specific condition of semilupus erythematos in women, commonly known as Wolf Disease. ISBN: 978-625-8284-21-8.
Dr. N. Baratha Jyothi, Dept. of Zoology, published a paper titled “Mucormycosis: Assessment of Risk Factors in a Subject Suffering from Congenital Hemophilia” in the World Journal of Pharmaceutical and Pharmacy Sciences in June 2022.
Dr.N.Baratha Jyothi, Dept. of Zoology, published a case report titled “A Misdiagnosed and Unusual Presentation of Scrub Typhus in an Adolescent” in the World Journal of Pharmaceutical and Pharmacy Sciences in December 2022.
Dr.N.Baratha Jyothi, Dept. of Zoology, published a case report titled “Autoimmune Disease Guillain-Barre Syndrome: A Case Report” in the World Journal of Pharmaceutical and Pharmacy Sciences in January 2023.
Dr.N.Baratha Jyothi, Dept. of Zoology, published a paper titled “Ureteropelvic Junction Obstruction in the Anomalous Kidney: A Case Report” in the World Journal of Pharmaceutical and Pharmacy Sciences in March 2023.
Dr.N.Baratha Jyothi, Dept. of Zoology, published an article on the “effects of nitrogen and phosphorus on wheat crop growth and production”. The findings of this study were published in the Journal of Pharmaceutical Negative Results on 20 February 2023.
Dr.Baratha Jyothi, Dept. of Zoology, published a research article on the phytochemical compounds of Asparagus Racemosus and their effects on human health. The research findings were published in the Entomologica Bari journal on 14 March 2023.
Dr.N.Baratha Jyothi, Dept. of Zoology, has contributed to a publication titled “Corona Virus Crisis – Deltacron Wild child” along with Aruna M and Lmr Swarupa Rani. This publication is part of the book “Recent Trends and Latest Innovations in Life Sciences,” specifically Volume II. The ISBN of the book is 978-625-8284-21-8.
Dr.N.Baratha Jyothi, Dept. of Zoology, published a paper on “Breast Cancer Awareness among Female Adolescents and Adults.” Recent Trends and Latest Innovations in Life Sciences Volume – II ISBN : 978-625-8284-21-8 (Turkey) Yayımcı Hukuki Adı (Publisher Legal Name), November 2022.
Dr.N.Baratha Jyothi, Dept. of Zoology, published a paper on the “Corbevax Vaccine among Adolescents of Rural Areas of Guntur” in November 2022. Recent Trends and Latest Innovations In Life Sciences Volume – II ISBN : 978-625-8284-21-8 (Turkey) Yayımcı Hukuki Adı (Publisher Legal Name)
Dr.N.Baratha Jyothi, Dept. of Zoology published a paper on “Awareness on Mosquito-Borne Diseases” in November 2022. Recent Trends and Latest Innovations in Life Sciences Volume – II ISBN : 978-625-8284-21-8 (Turkey) Yayımcı Hukuki Adı (Publisher Legal Name)
Dr. N. Baratha Jyothi, Dept. of Zoology, published a paper on “Awareness of Routine Vaccination for Children in Rural Areas” in November 2022. Recent Trends and Latest Innovations in Life Sciences Volume – II ISBN: 978-625-8284-21-8 (Turkey) Yayımçı Hukuki Adı (Publisher Legal Name)
Dr. N. Baratha Jyothi, Dept. of Zoology, published a paper on Wolf Disease - Semilupus Erythematous in women. Recent Trends and Latest Innovations in Life Sciences Volume – II ISBN: 978-625-8284-21-8 (Turkey) Yayımçı Hukuki Adı (Publisher Legal Name)
Dr. P. Lakshmana Swamy, A. Chennaiah, M. Priyanka, K. Manoj Kumar Reddy & P. Suma Gracia, Dept. of Agriculture and Rural Development published a paper on Solid Waste Management and Conversion on a College Campus: Maris Stella College, Vijayawada, NTR District, Andhra Pradesh, India.” in International Journal of Agricultural Technology, International Journal of Agricultural Technology. (Under reviver)
Submission URL: https://li04.tcithaijo.org/index.php/IJAT/authorDashboard/submission/310
International Journal of Agricultural Technology
Dr. P. Lakshmana Swamy, A. Chennaiah, M. Priyanka, K. Manoj Kumar Reddy & P. Suma Gracia, Dept. of Agriculture and Rural Development published a paper on Knowledge and Perception of Farmers Regarding Agrochemicals Usage and toxic affected by Rural Farming Villages of Krishna district, Andhra Pradesh, India. International Journal of Science and Research (IJSR) link https://www.ijsr.net/reviewerapplyEmail.php
Ch. Madhavi Latha & Ms. Swetha, Dept. of Commerce & Management published a research paper titled “A Study on Fintech: A New Financial Revolution in the Indian Financial Service Sector. Journal of the Asiatic Society. ISSN: 0972-0766.
PSL Padmaja & Ms. Swetha, Dept. of Commerce & Management published a research paper titled “A Study on Augmented Reality in Shopping: Is it Gimmick or Real-time Experience?” UGC Care List Group I Journal of the Asiatic Society with ISSN: 0972-0766.
PSL Padmaja, Dept. of Commerce & Management published a research paper titled “A Study on Impact of Social Media on Higher Education” published in an International Research Journal titled Wesleyan Journal of Research, UGC care approved, Peer Reviewed and Refereed Journal (2021)
Ms. K. Poojitha, Dept. of Commerce & Management published a research paper titled “A Study on Present Scenario of Big Data Analytics in Insurance Sector in Gradiva Review Journal. ISSN : 0363-8057, Vol. 9, Issue 3, March 2023 an UGC care approved Group II Journal (March 2023).
Dr. Ramana K., Dept. of MBA published a research paper on “Academic Leadership in Indian Higher Education” in a Three-Day International Conference on Academic Leadership and Management in Higher Education in a Globalised Economic Era: Perspectives and Challenges organized by Krishna University, Machilipatnam from 2-4 March, 2023.
**PAPER PRESENTATIONS:**
Dr. K. Naga Sundari & Dr. G. Malathi, Dept. of MBA presented paper on “Sustainable Business Practices-Strategies for Survival of Business” in two-day National Seminar on “Emerging Trends in Business Management”, Andhra Loyola College on 23 & 24 February 2023.
Dr. K. Naga Sundari & Dr. G. Malathi, Dept. of MBA presented paper on “Digital Marketing-Promotional Strategies Adopted by the Organizations” in two-day National Seminar on “Emerging Trends in Business Management”, Andhra Loyola College on 23rd and 24th February 2023.
Dr. K. Naga Sundari & Dr. G. Malathi, Dept. of MBA presented paper on “Privatization of Indian Higher Education-Benefits and Challenges” in three-day International Seminar on “Academic Leadership and Management in Higher Education in a Globalized Economic Era: Perspectives and Challenges”, Krishna University from 03-04 March, 2023.
Dr. K. Naga Sundari & Dr. G. Malathi, Dept. of MBA presented paper on “Internationalization of Indian Higher Education-Prospects and Challenges” in three-day International Seminar on “Academic Leadership and Management in Higher Education in a Globalized Economic Era: Perspectives and Challenges”, Krishna University on 3 & 4 March, 2023.
Dr. K. Naga Sundari & Dr. G. Malathi, Dept. of MBA presented paper on “Business Transformation-Beyond 2022” in two-day UGC Sponsored National Seminar on “Emerging Trends in Global Business, Acharya Nagarjuna University” on 24 & 25 March 2023.
Dr.K.Naga Sundari & Dr.G.Malathi, Dept. of MBA presented paper on “Sustainable Business Practices with Special Reference to Automobile Industry” in two-day UGC Sponsored National Seminar on “Emerging Trends in Global Business, Acharya Nagarjuna University” on 24 & 25 March 2023.
Dr.H.Kanaka Durga, Dept. of MBA presented a paper in UGC Sponsored two day national seminar on Emerging Trends in Global Business titled “Fintech: New Financial Revolution In Indian Financial Service Sector” organised by the Department of International Business Studies, ANU AP on 24 & 25 March 2023.
Dr.H.Kanaka Durga, Dept. of MBA presented a paper on “Privatisation of Higher Education in India-Problems and Prospects” presented in a three day International conference on Academic Leadership and Management in higher education in a Globalised Economic Era: Prospectives and Challenges, organised by the department of Commerce and Business Management, Krishna University and APSCHE, AP on 2 April 2023.
Dr.H.Kanaka Durga, Dept. of MBA presented a paper on “A Study on Capital Markets in India: Comparative Analysis during the Financial Years 2020-21 & 2021-22” in Two Day National Conference on “Emerging Trends in Business Management.” It was also published in International Journal for Innovative Engineering and Management Research by the Department of Business Administration organized by Andhra Loyola College, Vijayawada, on 23 & 24 February 2023.
Dr.D.Ramakrishna, Head, Dept. of Sanskrit, attended a workshop on Champa Kavyani at the Academy, on 23 & 25 March 2023 organised by Osmania University in Hyderabad. During the workshop, he presented a paper titled “Nala Champa Kavya Sameekshanam.”
B.Karuna Harika, Dept. of Hindi presented a paper titled “Desh kee Aata hai Hindi” at an International seminar held in Andhra Loyola College on 28 February, 2023.
Dr.B.Josephin S Rani the Dept. of Economics presented a paper titled “Substantial Economy through Recycling Bulky Garbage” at the UGC National Seminar on “Socio-environmental Issues and Sustainable Development.” The paper was included in the seminar proceedings. ISBN.978-93-95944-40-3
D.Santha Kumari, Head, Department of Chemistry, presented a paper on “Microscale Experiments” at the conference held from 4 - 6 August, 2022 at Krishna University, Machilipatnam.
Dr. Sr.P.Japamalai, Head, Dept. of Zoology presented a paper in the Triennial Conference of Xavier Board of Higher Education in India on the topic “Catholic Ecosystem to Foster Women Leadership in Higher Education Institutions.” The conference was held at Goa from 22 - 24 October, 2022.
**IQAC:**
Ever conscious of its role as the key unit for the development of a system for conscious, consistent, and catalytic action to improve the academic and administrative performance of the institution, the IQAC has initiated several measures for the sustenance and promotion of quality in academics as well as governance.
- The Internal Quality Assurance Cell (IQAC), organised the FDP : One Week workshop on ‘Measurement of Attainment of Course Outcomes’ from 5 - 12 July 2022
- The Internal Quality Assurance Cell (IQAC), with the support of the United Board, organised a two-day workshop titled “Towards a Meaningful Service-Learning : Tips and Strategies” on 25 & 26 July 2022. The workshop aimed to provide faculty and students with valuable insights and practical strategies for engaging in meaningful service-learning experiences. 56 faculty members participated in it.
- The Internal Quality Assurance Cell (IQAC) organized One-day National Webinar on “Effective Implementation of NEP 2020 : Role of Teachers & Institutions “ on 8 October 2022. 268 members from across the country participated actively.
- The Internal Quality Assurance Cell (IQAC) organized Faculty Development Programme titled “Three Day Workshop on Learning through Language Supportive Interactive and Inclusive Pedagogy” from 12-14 September, 2022 in collaboration with US Consulate, Hyderabad. 52 faculty members participated in it.
- The Internal Quality Assurance Cell (IQAC) organized Professionalism Development Programme (PDP) on “Professionalism, Work Ethics & Ethos for Professional Growth” on 11 & 12 November, 2022. 70 faculty members participated actively.
- The Internal Quality Assurance Cell (IQAC) organized Phase I : Five-day Virtual Capacity Building Workshop on “Research & Publications in Service-Learning Programs” from 9 – 13 January 2023. 51 faculty members participated in it.
The Internal Quality Assurance Cell (IQAC) organized Phase II: Two-day Capacity Building Workshop organized by the IQAC on ‘Research Methodology & Manuscript Writing on Service-Learning Programmes’ on 25 & 26 April, 2023 sponsored by the United Board. 52 faculty members participated in the program.
WEBINARS/CONFERENCES/WORKSHOPS ORGANIZED
- The Department of Agriculture & Rural Development organized a national webinar on “Horticulture Innovations in India” on 7 September, 2022.
- The Department of Journalism, in association with Acharya Nagarjuna University, organized a workshop on “Role of the Print and Electronic Media for Science Popularisation in Andhra Pradesh and Telangana” on October 28, 2022, and October 29, 2022.
- The National Institute of Disaster Management, New Delhi, in association with Maris Stella College, organized a workshop on “Role of Adolescents in Disaster Risk Management and Climate Change Adaptation” on 9 November, 2022.
- The Students’ Welfare Committee, in collaboration with the Internal Quality Assurance Cell (IQAC), organized a workshop on “Emotional Well-being & Social Harmony” on 21 February, 2023.
- The Eco-Ambassadors of Green Club, in collaboration with the Internal Quality Assurance Cell (IQAC), organized an online workshop on “Sustainable Electronic Waste Management” on 21 February, 2023.
- The Departments of Life Sciences, Maris Stella College, Vijayawada organized Three-Day Hands-On Training in “Immunological Techniques and Mushroom Cultivation” from 15 to 17 February 2023 to the Life Science Students.
- The Department of Computer Science and the Internal Quality Assurance Cell (IQAC) jointly organized a state-level webinar on “Revolutionizing Connectivity: An Introduction to the Capabilities of 5G Technology” on February 25, 2023.
- The Department of Commerce and Management Studies organised a workshop on “E-filing of Returns” on 17 March, 2023.
- The Department of Commerce and Management Studies organised a workshop on “Start-up Dynamics & Strategies” on 17 September, 2022.
- The Department of Commerce and Management studies has conducted an orientation program for the Intermediate Second Year students on 14 February 2023.
GUEST LECTURES ORGANIZED:
- Maris Stella College, in collaboration with the Internal Quality Assurance Cell (IQAC) and Maarpu Trust, Vijayawada, conducted a series of guest lectures on the theme of “Girls’ Safety and Security and Legal Perspectives.” The lectures took place on 25 July, 2022, and were attended by Second Year Degree students. Eminent resource persons including Smt. R. Suez, Director of MAARPU TRUST & Former Director of AP Mahila Commission, Smt. Koteswaramma, Legal Counselor from DV Cell, Smt. D. Kalyani, Counselling Psychologist, and Smt. L. Sudha, Social Counselor, addressed the students during the lectures.
- The Department of Commerce and Management Studies, organized a guest lecture on “Facebook Marketing” to familiarize the students with the concept of social media marketing, particularly on Facebook. The lecture was held on July 30, 2022. Mr. Raj Kumar Kotha, a social media paid campaign expert working with Paragon Digital Services, a Chennai-based MNC, was invited as the resource person.
- As part of World Tourism Day, the Department of Tourism and Travel Management, in collaboration with the Internal Quality Assurance Cell (IQAC), arranged a guest lecture on “Buddhist Circuits in India and their Tourist Importance” on 27 September, 2022. Dr. Ch. Swaruparani delivered the guest lecture with PowerPoint presentation. The session was followed by an interactive session and facilitation of the guest speaker. Approximately 150 students from the second and third year of the B.A. program participated in the event.
- The Departments of Physics and Life Sciences have organized a guest lecture featuring Dr.Rajkumar Vutukuri, an international resource person. Dr.Vutukuri is a Research Assistant at the University of Marburg, Germany, and a Guest Scientist undergoing Ph.D training at the University of Saarland, Germany. The lecture, titled “Biophysics: Research trends, Job opportunities, and Global Education,” is scheduled for February 2, 2023.
- Dr. Namburu Praveen Kumar from Harshika Aquaculture Laboratories, located in Namburu, Pedakakani, Guntur, delivered a guest lecture on the analysis of water parameters on 28 June, 2022.
- A guest lecture on “Sustainable Aquaculture Management” was delivered by Prof. Padmavathi from the Department of Zoology at ANU (Acharya Nagarjuna University) on 6 September, 2022.
The Department of English organized a virtual guest lecture on the topic of ‘Inner Laws: An Overview’ for second-year Literature and TTM (Travel and Tourism Management) students in the course ‘Women’s Writings’. The lecture took place on 25 February, 2023, from 11 a.m. to 12 noon. Dr. K. Satya Sudha, Former Head, Department of English at Maris Stella College, Vijayawada, served as the resource person for the lecture.
**FIELD TRIPS/STUDY TOURS/INDUSTRIAL VISITS**
- On July 21, 2022, the Department of Agriculture and Rural Development organized a Field Day cum Awareness Program on black rice for farmers in Thotlavalluru, Krishna district. Third-year agriculture and rural development students actively participated in the program, sharing their knowledge and expertise.
- The Life Science Departments of Maris Stella College arranged an industrial visit on 21 October, 2022, for Botany students. The visit took place at the Indian Institute of Oil Palm Research in Pedavegi, West Godavari.
- On 16 November 2022, 45 Journalism students visited the Radio Mirchi studio in the morning session to celebrate National Press Day. RJ Kavya warmly welcomed the students and engaged in a friendly conversation, showing interest in their future plans. She patiently answered their questions and explained the importance of voice modulation and script writing in becoming a successful RJ.
- On December 9th, 2022, the departments of Physics and Electronics organized an industrial visit to E@ronics Systems Private Limited in Mangalagiri. Forty students were accompanied by two staff members from 1 p.m. to 6 p.m. The visit aimed to bridge the gap between theoretical training and practical learning by providing students with an opportunity to interact with technical professionals and gain additional knowledge in a real-life industrial environment.
- The Department of Botany organized a botanical tour to Kondapalli Forest on March 3rd, 2023, for I B.Sc. CBZ students.
- The Department of Biotechnology & Microbiology has organized an industrial tour to the 4 Kids Food factory on March 29th, 2023, to enhance students’ knowledge on the subject.
- The Department of Chemistry organized an industrial visit to CIPET-Surampalli on 25 January, 2023, for third-year B.Sc. students in MPC, CBZ, and FMC. Two lecturers and 45 students participated in the visit and benefitted from live demonstrations on petrochemicals by industry experts.
On 5 July, 2022, the students of Zoology gained experiential knowledge through a visit to the local Fish Market, Besant Road, Vijayawada.
The students of II B.A.TTM went for a two-day study tour to Hyderabad on 18 and 19 October 2022. Students were escorted by Ms.P.V.Sridevi, HoD TTM and Lt.N.Sailaja.
II B.A.TTM students went on a one-day History study tour to Warangal on 10 December, 2022 enhancing their knowledge of Andhra History. They were accompanied by Dr. G. Beulah and Lt. Mrs. N. Sailaja.
The students of I B.Sc. Agriculture & Rural Development visited Polavaram Major Irrigation Project & Pattiseema Lift Irrigation Project on 13 May 2023 escorted by Dr.P.Lakshmana Swamy and Ms.Sumu Gracia.
**TRAINING PROGRAMMES:**
- The Department of Agriculture and Rural Development organized a one-day training program on 21 July, 2022 focused on farm machinery for second-year Agriculture and Rural Development students.
- The training took place at Kankipadu crop fields, where the students learned about the efficient use of tractors with cultivators, disc harrows, and rotavators for single operations. The technical expert, Sri Ravi Kumar, provided hands-on training to approximately 45 students, showcasing various farm implements and machinery to enhance their knowledge and skills in this area.
- The English Language Fellow (ELF) program for I MBA students was conducted from 18 January to 10 February, 2023. Twenty four students benefited from the course titled English Language Speaking Skills. The course was conducted on every Monday to Friday from 3.00 to 4.00 pm. Students received certificates at the end of the course.
- The Dept. of Commerce & Management organised a training session for Senior Intermediate students of Maris Stella College to show some of the tips to protect themselves from the usage of social media titled “Training on safe browsing and usage of social media by Women” on 14 February 2023.
- On 27 & 28 February, 2023 the Department of Chemistry conducted training sessions for II B.Sc. students on the “Identification of Food Adulterants” in the chemistry lab. The students were taught how to test for adulterants in various food items such as milk, honey, ghee, jaggery, red chili powder, turmeric powder, tea, and coffee powders using both physical and chemical methods.
A Virtual ELF program is underway for the I UG and II MBA students from 10 April, 2023. Interested students of I UG had a diagnostic English test and were divided into Advanced and Lower levels for their classes. Two I UG batches having students around 20 each attend the virtual classes twice a week from 3.00 to 4.00 pm. On the other hand, 31 II MBA students attend the virtual classes thrice a week from 11.40 am to 12.40 pm.
**CLUB / CELL ACTIVITIES:**
**Inspire Club:**
- The inspire Club of the Department of Physics, Maris Stella College arranged an ‘Inter-Collegiate Physics Inspire Club Meet – 2022’. Nuclear bombings of Hiroshima on 6th August and Nagasaki on 9th August 1945.
- The inspire Club also celebrated National Science Day on February 28, 2023, at its audio-visual room, Maris Stella. The theme for National Science Day 2023 was “Global Science for Global Well-being.”
**Green Club:**
- The Eco Ambassadors of the Green Club joined hands with the Academy of Gandhian Studies in Vijayawada to commemorate Gandhi Jayanthi. In alignment with the Gandhian principles of environmental conservation, the “WOW” (Wellness out of Waste) Department of the Academy organized a greening and plantation drive at the Municipal Park in Gurunank Colony, Vijayawada. The event took place on 1 October, 2022, from 7:30 a.m. to 10:00 a.m. and saw the enthusiastic participation of 14 Eco Ambassador students and a faculty member.
**SPARK LIT. Club:**
- SPARK LIT. Club of English department conducted a Creative Writing Competition on 22 February 2023 to inculcate writing skill in the students. Around 20 students of MBA, Degree and Intermediate came out with their original compositions of different genres.
**EDC Cell:**
- Maris Stella College’s EDC (Entrepreneurship Development Cell), along with ALEAP and HL Human Foundation, organized a one-month income-generating training program for women from 12 September – 11 October 2022.
Maris Stella College’s EDC (Entrepreneurship Development Cell) and Inner Wheel Club Midtown jointly organized a Sankranthi Mela on January 7th, 2023, at the college auditorium from 10.00 am to 8.30 pm. The primary objective of the event was to provide a platform for small and medium enterprises, encouraging women to be a part of entrepreneurship.
A Five Day Training Programme on ‘Food Processing and Marketing’ an outreach programme by EDC & IQAC in Collaboration with ALEAP sponsored by Canara Bank, Vijayawada, was organized for 33 DWACRA women in Vijayawada from 22.02.23 to 27.02.23 in Maris Stella College.
**Women Empowerment Cell:**
The Department of Women Empowerment Cell celebrated International Women’s Day on 8 March 2023. The theme for International Women’s Day 2023 is ‘DigitALL’ - Innovation and technology for gender.
**AICUF:**
Maris Stella College All India Catholic Universities Federation (AICUF) Unit hosted a badge ceremony on 9 December, 2022. The AICUF AP advisor, Fr.B. Bala, was invited as the chief guest and Mr.Pity Parker as the guest of honor.
**OTHER ACTIVITIES:**
On 6 September 2022, English Language Fellow, Shannon Smith and Dr. B. Josephin S Rani, the Head of the Department of Economics, facilitated a panel discussion with third-year students from BA Literature and BA Travel and Tourism Management. The discussion focused on exploring the role of teachers.
On 6 September, 2022, the Department of Economics screened the movie “Madam Geetha Rani” for third-year degree students from BA Literature, Travel and Tourism Management, HEP, SW, and Journalism. After the screening, students were asked to review the film, which revolves around a headmaster’s efforts to transform a poorly run school into one of the best in the state.
Journalism students of Maris Stella College actively participated in a two-day workshop on “Role of Print and Electronic Media for Science Popularisation in A.P. & Telangana” on organized by Acharya Nagarjuna University, in association with NIT Warangal on 28 & 29 October 2022.
During the National Breast Cancer Week, Department of Sanskrit organised a session with the title “Think Pink, Save Lives” for Intermediate students on 31 October, 2022. Dr. V. S. N. Rao, from the Department of Oncology, HCG Cancer Hospital, Vijayawada was the resource person.
In honor of the renowned Indian mathematician Mr. Srinivasa Ramanujan, the Department of Statistics, in collaboration with the Department of Mathematics, celebrated National Mathematics Day on 22 December 2022. As part of the celebrations, the departments organized an intercollegiate Mathematics & Statistics Meet titled “Saankhya 22”. The event aimed to promote the study and appreciation of mathematics and statistics among participating colleges.
On 19 January, 2023 the Department of Journalism held an interactive session on ‘Core Values and Ethics in Journalism’. Kommineni Srinivasa Rao, Chairman of A.P. Press Academy, emphasized the significance of credibility and objectivity in journalism. The session aimed to provide valuable insights into the ethical principles that govern responsible journalism practices.
On 27 January, 2023, the Commissioner Board of Intermediate organized the “Pariksha pe Charcha” program. The Honorable Governor of the state, Sri Viswa Bhushan Harichandan, attended the live program, which was streamed from New Delhi. The event featured an interactive session with Prime Minister Sri Narendra Modi, aimed at motivating students to stay stress-free during examination time. The Governor released materials prepared by Sri Narendra Modi and distributed them to schools and college students.
On 13 February, 2023 Intermediate students participated in a rally starting from Maris Stella College to Government Polytechnic College. The purpose of the rally was to support book readers and encourage students to visit a book exhibition. Dr. Rama Krishna, the Intermediate Vice Principal, addressed the students and emphasized the importance of reading various books, journals, and resources on subjects like maths, science, current affairs, and competitive exams that are available in books.
The Department of Chemistry organized an outreach program on Food Adulteration in Common Foods at Christ the King School, Christurajapuram, on 2 March, 2023. The program was conducted by II B.Sc. Chemistry students and targeted IX and X - grade students. The aim of the program was to raise awareness about food adulteration and its impact on health among the participants.
On 9 March, 2023 an orientation program was organized for Intermediate students. The program featured a speech by Sr. Sleeva, the Correspondent, who addressed the students on the significance of time management and exam planning. The aim of the program was to provide guidance and support to the students in preparing for their exams effectively.
The Dept. of Journalism organized interactive sessions for students with A.P. Press Academy Chairman Kommineni Srinivasa Rao on 19 January 2023 at 10.00 a.m. – 11.00 a.m.
The Dept. of Journalism organized interactive sessions for students with A.P. NRTS President Venkat S. Medapati on the theme “Study and Work Opportunities Abroad” on 19 January 2023 at 11.00 a.m. – 12.00 p.m.
Students’ Welfare Committee of Maris Stella College in collaboration with IQAC, organized one-day workshop on ‘Memory Enhancement Training for Academic Success’ on 26 April, 2023, and trained first-degree students of all UG programs. The workshop aimed to provide students with techniques to improve their memory power, concentration, and focus to enhance their academic performance and overall learning.
The Students’ Welfare Committee, in collaboration with IQAC, organized an Integrated Workshop on “Emotional Intelligence, Academic Excellence, and Essential Life Skills” on 25 April 2023 for first-degree students from all UG programmes.
**FDPS ATTENDED BY FACULTY**
Dr.N.Baratha Jyothi, Dept. of Zoology, Syed.M.Parveen, Dept. of Statistics, Ms.K.Poojitha, Dept. of Commerce and Management participated in an International Virtual Faculty Development Program on “Research and Writing” conducted by Andhra Loyola Institute of Engineering and Technology, Vijayawada, & Cape Comorin Trust, India from 26-30 June 2022.
Dr.N.Baratha Jyothi, Department of Zoology, participated in a Refresher Course – “Faculty Development Program for Young Faculty of Colleges and Universities”. The program was organized by St. Christopher’s College of Education, Chennai, India from 12 - 16 July, 2022. The event was sponsored by the United Board.
A. Jyothsna Valenteena, Head, Dept. of Political Science, attended an FDP on “Education in the 21st Century: Implementing NEP 2020 for Quality HEI Education.” The FDP took place from 9 -16 August 2022 and was organized by Thakur College of Science & Commerce and Guru Angad Dev Teaching Learning Centre, SgTB Khalsa College. The event was funded by the Pandit Madan Mohan Malavya National Mission on Teachers and Teaching (PMMMNTT).
Dr.C.Krishnaveni, Dept. of Mathematics, participated in one-week FDP on ‘The Framework for Improving the Quality of Scientific Research in Universities’ organised by the Departments of Biosciences & Biotechnology, Krishna University, Machilipatnam from 22 - 27 August, 2022.
Ms.E.Grace Lydia, Ms. P. Vidhyavathi and Ms. P. Malathi participated One week Faculty Development Program On “Amazon Web Services” During the period of 22 - 27 August 2022 organized by Departments of CSE & IT of Andhra Loyola Institute of Engineering & Technology in collaboration with Brainovision Solutions India Pvt. Ltd & All India Council for Technical Education – AICTE.
Dr.K.Naga Sundari, Director & Head, Dept. of MBA participated in one week FDP on Design Thinking organized by the Department of Business Management, Krishna University, Machilipatnam from 17 - 23 August, 2022.
Dr.Sr.P.Japamalai Dept. of Zoology attended A.P. State six days FDP on “Frontiers and new vistas in Molecular Cell Biology research organized by the Department of Biosciences and Biotechnology”, Krishna University, Machilipatnam from 29 August, 2022 to 03 September 2022.
Dr.K.Naga Sundari, Director & Head, Dept. of MBA participated in one week FDP on Research Methodology and Data Analytics in Business Management organized by Department of Business Management, Krishna University, Machilipatnam from 25 - 30 August, 2023.
Dr.C.Krishnaveni, Dept. of Mathematics, participated in the FDP : Three-day workshop on ‘Learning Through Language Supportive, Interactive & Inclusive Pedagogy’ from 12 - 14 September, 2022 organised by the IQAC, Maris Stella College in collaboration with the US Consulate, Hyderabad.
Dr.G.Little Flower, Ms.Padmalatha, Ms.T.Grace Eunice & Ms.R. Sarakumari, Dept. Physics participated in Five Day National Level Online FDP on “Effective Pedagogy for Science” from 29 November 2022 to 03 December 2022 jointly organized by Departments of Physics and Mathematics, JMJ College for Women (Autonomous), Tenali.
Ms.E.Grace Lydia, Ms. P. Vidhyavathi, Ms. P. Malathi and Sr. Sujitha completed 3-Day Virtual FDP on “Creating Engaging OER for Engineering Education” from 8-10 March, 2023, jointly organized by Koneru Bhaskara rao & Hemalatha Human Development Foundation & Hyderabad Institute of Technology & Management (HITAM).
Dr. Alice Jayapradha C, Dept. of Biochemistry attended a one-week Faculty Development Program (FDP) on “Recent Trends in Cognitive Science & its Applications.” The FDP was organized by the Department of Computer Science and Engineering (CSE) in collaboration with VNRVJIET, Vikram University, Oriental University, and SOC IPS Academy, Indore. The program took place from 13 – 18 March, 2023.
Sr.Sujitha Sudar Vizhi, Dept. of Computer Science & PSL Padamaja, Dept. of Commerce and Management attended Faculty Development Programme for Young Faculty of Colleges and Universities from 11-15, April 2023 organised by Christopher College of Education, Chennai and funded by the United Board.
Dr.C.Krishnaveni, Dept. of Mathematics, participated in five-day FDP on ‘Teaching Engineering Mathematics through PYTHON’, during 17 - 21, April 2023, organised by VIT, Chennai.
**WORKSHOPS ATTENDED BY FACULTY**
Dr. Alice Jayapradha C, Dept. of Biochemistry participated in a two-day International English Language Degree-Faculty workshop titled “(Inter) Activate your Teaching.” The workshop took place from 10 - 12 August, 2022 and was sponsored by St. Joseph’s College for Women (A), Visakhapatnam, in collaboration with SJC Language Centre and the Regional English Language Office, U.S. Embassy, New Delhi. The workshop was presented by Mina Gavell, Shannon Smith, and Thomas Kral.
Dr.C.Krishnaveni, Dept. of Mathematics, participated in the online workshop on ‘E-content Development and MOOCs’ held on 26 August 2022 organised by the UGC Human Resource Development Centre, Mizoram University, Mizoram
Dr.C.Krishnaveni, Dept. of Mathematics, participated in the National webinar on ‘Applications of Mathematics’ organised by the Dept. of Mathematics in association with the IQAC, DS Govt. College for Women, Ongole on 30 August, 2022
Dr.C.Krishnaveni, Dept. of Mathematics, participated in International webinar on ‘MatLab - An Overview’ on 20 September, 2022 organised by the Departments of Mathematics & Computer Science of Dasari Narayana Rao Govt. Degree College, Palakollu.
Dr.C.Krishnaveni, Dept. of Mathematics, participated in one-day National workshop on ‘PPTs, Video Making & Video Editing through OBS & Openshot Software Tools’ on 22 October, 2022 organised by the Department of Mathematics & IQAC, V.K.V. Govt. Degree College, Kothapeta.
Dr.C.Krishnaveni, Dept. of Mathematics, participated in International webinar on ‘Environmental sustainability and Development’ organised by the Departments of Chemistry, Physics, Zoology, Aquaculture Technology & IQAC of Y.V.N.R. Government Degree College, Kaikaluru in association with Sir. C. R. Reddy College for Women, Eluru on 9 - 10 November, 2022.
Dr.Jasintha Quadras, Dept. of Mathematics, attended One-Day One Online Workshop on “NAAC & MBA Accreditation” organized by Educorp Centre for Research and Advanced Studies Pvt. Ltd., on 14 November, 2021.
D.V.Saraja, Head, Dept. of Statistics, attended a one-day State level Workshop for Autonomous & NAAC Accredited Degree Colleges on India Rankings-2023. The workshop took place on 21 November, 2022 and was organized by the Quality Assurance Cell (IQAC) at Andhra Pradesh State Council of Higher Education (APSCHE), held at SDMS Mahila Kalasala, Vijayawada.
Dr.Alice Jayapradhha C, Dept. of Biochemistry attended a two-day workshop on “Application of Design Thinking in Higher Education.” The workshop was organized by NAAC (National Assessment and Accreditation Council) in collaboration with RV Institute of Management. The workshop took place on 22 & 23 November, 2022.
Dr.C.Krishnaveni, Dept. of Mathematics, participated in one-day National webinar on 30 November, 2022 organised by the Departments of Mathematics and Commerce of Govt. Degree College, Narasanna Peta, Srikakulam Dt.
Dr.Alice Jayapradhha C, Dept. of Biochemistry participated in a two-day workshop on NAAC (National Assessment and Accreditation Council) on 22 & 23 December 2022 organized by RV Institute of Management, Bangalore.
Dr. Alice Jayapradhac, Dept. of Biochemistry participated in a two-day workshop titled “Application of Design Thinking in Higher Education” on 22 & 23 December, 2022. The workshop was organized by the IQAC, RV Institute of Management, Bangalore.
Mrs. Syed.M Parveen, Dept. of Statistics, participated in a seven-day Virtual National Level Workshop on “Data Analysis Using JAMOVI.” The workshop took place from February 23 - 01 March, 2023, and was organized by Nagarjuna College of Management Studies, Chikkamarali Village, Nandi Hobli, Chickballapura, Karnataka. The workshop was conducted in association with Primax Foundation.
Dr. Sr. Ramana K., Dept. of MBA attended Online Capacity Building Workshop on “Effective Research Methodology & Publication Strategies from 27 February – 3 March, 2023 jointly organized by All India Association for Christian Higher Education, New Delhi & Madras Christian College (Autonomous) Chennai.
Dr. G. Little Flower, Head, Dept. Physics participated in a Two-Day Workshop on “Curriculum Development for the 4th Year of 4-Year UG Honours Programmes” on 10 & 11 March 2023 conducted by Andhra Pradesh State Council of Higher Education in association with Andhra Loyola College (A), Vijayawada.
Ms. A. Jyothsna Valenteena, Dean of Academic Affairs, D.V. Saraja, Head, Dept. of Statistics, Sr. Sahya Mary, Head, Dept. of Social Work, Dr. Sr. Innyasamma, Dept. of English participated in a three-day Workshop on “Participatory Learning and Evaluation” from 29-31 March 2023 at Lady Doak, College, Madurai, Tamilnadu funded by the United Board.
Dr. C. Krishnaveni, Dept. of Mathematics, attended DELNET-British Council Lecture ‘Library Partnerships in an Age of Openness’ by Liz Jolly, Chief Librarian, BL, UK, organised by, DELNET- Developing Library Network, New Delhi on 11 April, 2023.
Dr. Jasinthia Quadras, Dept. of Mathematics, attended “Indian Christian Higher Education Leaders Summit” held at Women’s Christian College, Chennai from 13 - 15 April, 2023.
SEMINARS / WEBINARS / CONFERENCES / GUEST LECTURES ATTENDED BY FACULTY
Dr.G.Kranthi Kumar, Dept. of Botany & Dr.D.Silpa, Dept. of Microbiology, Dr. K. Naga Sundari, Dept. of MBA participated in the 5 - Day International Nutritional Webinar from 1 – 5 September, 2022 organized by St. Joseph’s College for Women, Visakhapatnam sponsored by Autonomy funds, Maris Stella College.
B. Karuna Harika, Dept. of Hindi, attended a one-day webinar on “Agriculture and Allied Science Education-Trends and Needs” on 5 September 2022 organised by M.S. Swaminthan School of Agriculture Centurion University of Technology and Management, Odisha, India. On the occasion of World Ozone Day Dr.G.Kranthi Kumar, Dr. B. Rajeswari, Dept. of Botany & Dr.D.Silpa, Dept. of Microbiology attended a guest lecture on 16 September, 2022 by Koneru Lakshmaiah Education Foundation. It is sponsored by Indian Aerosol Science & Technology Association.
Dr.Sr.P.Japamalai Dept. of Zoology, Dr.B.Rajeswari, J.Swarnalatha, Dept. of Botany, & Sr.Sahaya Mary, Dept. of Social Work, participated in one-day Webinar on the “Advances in Forensic Sciences and Opportunities for Higher Studies and Job” on 22 September, 2022 organised by the Department of Biochemistry, Maris Stella College, Vijayawada.
Dr.N.Baratha Jyothi, Dept. of Zoology participated in the National Webinar on “Women and Environment: Issues and Challenges” on 19 October 2022, conducted by Acharya University, Guntur.
Dr.Sr.P.Japamalai, Dept. of Zoology attended Triennial Conference of Xavier Board of Higher Education in India, journeying with Synodal spirit through Networking and Academic Collaboration - Together in Communion, Participation and Mission held at Goa from 22 - 24 October, 2022.
Dr. Alice Jayapradhha C, Department of Biochemistry participated in a three-day national level webinar on “Research Guidelines, focusing on Literature Review, Questionnaire Designing, and Application of Statistical Tools” from 2 - 4 November, 2022. The webinar was conducted by Sivananda Sarma Memorial R.V. College, Bengaluru.
Dr. Alice Jayapradhha C, Department of Biochemistry & Dr.N.Baratha Jyothi, Dept. of Zoology participated in an interdisciplinary six-day national webinar cum Faculty Development Programme on Emerging Trends and Technologies in Development of Skills in Higher Education. The webinar was jointly organized by the Department of English and Zoology of JMJ College for Women (Autonomous), Tenali, and took place from 21 - 26 November, 2022.
Dr. N. Baratha Jyothi, Dept. of Zoology participated in the One day webinar on “National Intellectual Property Rights” conducted by NIPAM, Central Government of India on 8 December 2022.
Dr. N. Baratha Jyothi, Dept. of Zoology participated in the Five-day International Webinar on Current Trends and Future Advances in Chemical Sciences & Life Sciences from 13–17 December, 2022 organized by the Department of Chemistry and Botany, JMJ College for Women (A), Tenali.
B. Karuna Harika, Dept. of Hindi, participated in the Two Days International Conference on “Contemporary Issues in Science and Management Research” on 7 & 8 January 2023 jointly organised by Sidvi Foundation and Sree Venkateswara College of Engineering (SVCN).
Dr. P. Lakshmana Swamy, Head, Dept. of Agriculture and Rural Development, participated in a two-day UGC Sponsored national seminar on “Advances in Phytomedicine & Phytonanocomposites.” The seminar was organized by the College of Pharmaceutical Sciences at Acharya Nagarjuna University. The event took place on 1 & 2 February, 2023.
Dr. Alice Jayapradha C, Dept. of Biochemistry attended a one-day webinar titled “Fighting Pandemics and Building a Healthier and more Equitable World - Getting back on track to end AIDS.” The webinar was organized by Labroots and took place on 6 February, 2023.
Dr. G. Little Flower, Head, Dept. Physics participated in a three day International Conference on “Emerging Trends in Science, Engineering and Technology (ICESET-2023) from 20 – 22 February 2023 organized by the Department of Electronics, Andhra Loyola College, Vijayawada.
Ms. E. Grace Lydia participated in the International Webinar on Academic Writing jointly organized by IQAC- Government College (Autonomous) Rajahmundry & Dept. of Research & Publications, A2Z EduLearningHub LLP, Kerala, India on 25 February 2023.
Dr. G. Little Flower, Ms. Padmalatha, Head, Dept. Physics participated in the National Conference on “Recent Trends in Smart Materials and Applications” NCRTSMA-2023, held at Andhra Loyola College (Autonomous), Vijayawada, on 27 & 28 February, 2023.
Dr. Sr.P.Japamalai, Dept. of Zoology, Dr.B.Josephin S Rani, Department of Economics, D.V.Saraja, Dept. of Statistics & Dr.Sr.Ramana, Dept. of MBA attended 5 Days National Level Webinar on “Revised NAAC Criteria”, conducted by St.Teresa’s Degree College For Women, Bengaluru, from 22 - 28 February 2023.
Dr.K.Swaroop Kumar, attended UGC sponsored Two Day National Seminar on “75 years of Indian Economy-Economic Growth and Distributive Justice” on 9 & 10 March 2023 organised by the Dept. of Economics, Acharya Nagarjuna University. He presented a paper on “Revisiting India’s Development Trajectory: An Analysis of Poverty, Inequality and Government Interventions since Independence.”
Ms. E. Grace Lydia participated in the International Webinar on “Google Colab”- Verticals in Education & Research organized by Dept. of Computer Applications, DPG School of Technology and Management, Gurugram, Haryana in association with Dept. of Research & Publications, A2Z EduLearningHub LLP, Kerala on 23 March 2023.
Dr. Alice Jayapradhha C, Dept. of Biochemistry attended a webinar titled “Boost Microbial Detection Sensitivity with Unbiased Human Host DNA and RNA Depletion.” The webinar was organized by Labroots and took place on 9 April, 2023.
**CERTIFICATIONS:**
Dr.N.Baratha Jyothi, Department of Zoology, successfully completed a Coursera course on Emotional and Social Intelligence. The course spanned over a duration of four weeks and concluded on March 31, 2023.
Dr.N.Baratha Jyothi, Department of Zoology, successfully completed a Coursera course on The Growth Mindset. The course spanned over a duration of four weeks and concluded on 7 April 2023.
Dr.N.Baratha Jyothi, Department of Zoology, successfully completed a Coursera course on Critical Thinking Skills for the Professionals. The course spanned over a duration of four weeks and concluded on 8 April 2023.
Ms.K.H.Anuhya, Head, Dept. of Electronics completed a course on Elementary English as a Second Language offered by Saylor.org Academy on 5 Jan 2023.
Ms.K.H.Anuhya, Head, Dept. of Electronics completed a course on Energy Literacy as a part of the Energy Literacy Drive of the Energy Swaraj Foundation and supported by Maanaveeya Development & Finance Private Limited on 13 Feb, 2023.
Dr.G.Kranthi Kumar Head, Dept. of Botany, completed UGC sponsored online short term course in employability and soft skills Development, Bharathidasan University. It was held from 7 -13 December 2022.
Dr.B.Rajeswari Dept. of Botany completed UGC sponsored online short term course in employability and soft skills Development, Bharathidasan University. It was held from 7 -13 December 2022.
Dr.D.Silpa Dept. of Microbiology, completed UGC sponsored online short term course in employability and soft skills Development, Bharathidasan University. It was held from 7 -13 December 2022.
Ms.E.Grace Lydia, Head, Dept. of Computer Science completed a course titled “ASP.Net Web Forms Live Project” from Udemy Educational Technology Company.
Ms.P.Malathi, Dept. of Computer Science completed a course titled “ASP.Net Web Forms Live Project” from Udemy Educational Technology Company.
D.V.Saraja, Head, Dept. of Statistics, completed a virtual certificate course on ‘Adaptive Design for Learning’ from 4 July to 30 September, 2022. The course was conducted by the Ateneo SALT Institute and Gokongwei Brothers School of Education and Learning Design.
Dr.Sr.Ramana K. Asst. Professor, Dept. of MBA completed an online international program titled “United Board Fellows Program SMU Leadership Institute” conducted by Singapore Management University and funded by the United Board from August 2022 – March 2023, two days in a month.
LEADERSHIP SESSIONS FOR STUDENTS
- The Department of Economics in collaboration with MR Pai Foundation Mumbai organized a Two Day Leadership Training Camp on 22 & 23 August, 2022 for Undergraduate BA Students The Resource Persons Mr. Vivek Patki and Mr. Rajiv Luv from MR Pai Foundation trained the students on various smart goals, such as setting & achieving goals, sharpening vital skills, the power of habits, effective communication, coming together -a beginning, understanding self & others etc.
A workshop on Mind Management and Leadership was organised on 20 September, 2022, specifically designed for leaders from all classes. The workshop was organized by the Deans of Student Affairs in collaboration with the Internal Quality Assurance Cell (IQAC). Renowned expert Mr. Siva Sankar from IIT Chennai, who holds international acclaim, was invited as the resource person for the event.
CAREER GUIDANCE & PLACEMENT:
- The Career Guidance and Placement Cell in association with IQAC organized a two-day training programme on “Soft Skills and Resume Building” for the final year UG students in the Indoor Stadium on 25-26 July 2022.
- The Career Guidance and Placement Cell in association with IQAC organized 10 hours training programme on ‘Financial Education for Young Citizens’ as part of the KONA KONA SIKHA, a CSR initiative of Kotak Securities in collaboration with NISM for the final year Commerce and Agriculture B.Sc. students in the AV Room from 21 November 2022 to 02 December 2022 in two batches.
- The Career Guidance and Placement Cell in association with IQAC organized a guest lecture on “Career Opportunities after Graduation” for all the second year UG students on 6 March 2023 from 03:00 to 04:00 PM.
- The Career Guidance and Placement Cell organized online, on-campus and off-campus placement drives for UG and PG students. Wipro, TCS, Deloitte, Bright Star Educational Institution, QSpiders organized online campus placement drives. ADP, Nobel Institute of Communicative English, Speaking Tree, ULearn conducted on-campus placement drives.
CHRISTMAS FETE
A joyful Christmas fete was celebrated on 26 November 2022. The event witnessed enthusiastic participation from the students, who actively engaged in fundraising activities.
To contribute to the fundraising efforts, students from each class organized food stalls and engaging mind and fun games at affordable prices. The fete events spanned an entire week, during which various captivating shows were also conducted.
Throughout the week, each day served as an opportunity for students and staff to work towards raising funds for charitable causes. The culminating day of this week-long endeavor was the final Christmas fete, where the fundraising event concluded successfully.
**PARENT TEACHER MEET**
A Parent-Teacher Meet was organized on 10 January, 2023 with the primary objective of fostering effective communication and collaboration between parents and teachers. The meet spanned from 9:00 a.m. to 1:00 p.m., providing ample time for meaningful interactions.
During the meet, parents had the opportunity to engage in one-on-one discussions with their child’s teachers. These individual sessions allowed for personalized conversations concerning the student’s academic progress, behavior, and overall development. Teachers shared valuable insights and feedback based on their careful observations and assessments.
At 11:45 a.m., all parents convened in the Audio Visual room for a common session. The session was led by Ms. K. Hannah Anuhya, the Vice Principal of the Degree program, and Ms. A. Jyostna Valenteena, the Dean of Academic Affairs. During this session, the parents were enlightened about short-term and long-term internships. The speakers elaborated on the college’s commitment to taking every precautionary measure to ensure students are placed in reputable companies.
**INTERNSHIP:**
Internships are more than just resume boosters; they have the potential to shape our perspectives, develop invaluable skills, and open doors to a world of opportunities. In a recent conversation with Ms. Jyotsna, the Internship Coordinator, a group of students who completed internships shared their experiences, lessons learned, and plans for the future.
Reshma Revathi, a BA HEP student, expressed gratitude for the first-hand insights gained into their desired fields. Through internships, they witnessed the inner workings of industries they aspire to join. This exposure provided them with a deeper understanding and motivation to pursue their chosen careers.
Besma D’Costa, a BA Lit. student, highlighted the transformative role internships played in their development. Actively participating in day-to-day operations allowed them to cultivate a diverse range of skills, particularly honing their communication skills through collaboration with colleagues, superiors, and clients.
Navya Nikitha, a BBA DM student, shared her experience of applying classroom knowledge in a real-world setting. Developing a social media campaign for a new product launch allowed her to utilize her marketing principles, target audience analysis, content creation, and data analysis skills. The impact of her work and feedback from experienced professionals was truly rewarding.
Similarly, B.Sc. MPCS student acknowledged the hands-on application of their skills during a technology internship. The challenges they faced while developing a software application enhanced their problem-solving abilities and provided a deeper understanding of the industry.
The students unanimously agreed that internships influenced their perspectives on future challenges and opportunities. By observing professionals in action and experiencing the day-to-day realities of the industry, they gained awareness of the intricacies and nuances that textbooks cannot capture. This awareness will guide their decision-making and help them navigate future career challenges.
Completing internships was described as a significant milestone in personal and professional journeys. The knowledge and experiences gained equipped them with practical skills highly valued in the professional world, such as effective communication, problem-solving, and time management. The confidence gained from successfully handling real-life challenges instilled belief in their ability to thrive in their chosen fields.
In brief, the conversation with the Internship Coordinator and the students revealed the transformative power of internships. Their first-hand experiences, practical skills, industry insights, and networking connections have set them on a path to success in their chosen fields. With a strong foundation and a sense of direction, these students are well-prepared to embark on their future endeavors. Best of luck to them as they continue their journey toward personal and professional growth.
STUDENT ACHIEVEMENTS:
Seven literature students and one Journalism student of III BA have been selected in the screening test conducted for Content Creation, Data Entry & Video Editing internship in Yuvi Education Private Ltd., Vijayawada.
The Career Guidance and Placement Cell organized on-line, on-campus and off-campus placement drives for UG and PG students. Wipro, TCS, Deloitte, Bright Star Educational Institution, QSpiders organized on-line campus placement drives. ADP, Nobel Institute of Communicative English, Speaking Tree, ULearn conducted on-campus placement drives. 54 students from UG attended TCS off-campus placement drive at ANS College, Tenali. 21 students from UG and PG were placed through online placement drives, 116 students from UG and PG were placed through on-campus placement drives.
Altogether nearly 80-100 students participated in various online competitions such as video making, essay writing, singing, lecture contest etc. Almost in every competition, the Stella students left their impressions in online mode too. Some of the highlights are as follows.
During the period of 27th June to 3rd July 2022, LD College of Engineering in Ahmedabad, Gujarat, hosted the “Ek Bharat, Shreshtha Bharat” event. This event was organized by the Government of India, Ministry of Youth Affairs & Sports, and the National Service Scheme Regional Directorate in collaboration with LD College of Engineering. Emmanuel Blessy from II FMB secured the second prize in the Quiz competition.
On 11th and 12th August 2022, as part of the India Independence Movement & Azadika Ka Amrut Mahotsav, KBN College in Vijayawada and JMJ College in Tenali organized an Elocution competition where V. Harshita, a student from III B.A Journalism, won the second prize. Additionally, on 12th August 2022, V. Harshitha from II B.A Journalism secured the first prize in essay writing during the Taruni Tarangalu event organized by KBN College, Vijayawada.
During the International Women Equality Day organized by SAFE at PSCMR Engineering College in Kothapet, M. Reshma Revathi, a student from III B.A (HEP), secured the first prize in Elocution.
Furthermore, on 29th and 30th September 2022, Andhra Loyola College’s PG Mathematics Department in Vijayawada organized a Quiz competition called MATHLETS-2K22. M. Sree Roshitha, B. Surya Tejaswi, and R. Rizwana Tahseen, students from III MPCs & III MSCs, won the second prize in the competition.
In the TECH MANTHAN-2K competition organized by Nalanda Degree College in Vijayawada on 14th December 2022, R. Gayathri Devi, D. Sai Meghana, and G. Tejaswini from II MSCs secured the first prize in the Quiz competition.
Moving on to recent events, on 30th January 2023, an Intercollegiate competition called TECHNOESIS-2K23 was organized by Andhra Loyola College’s Electronics Department. M. Mahitha from II MECS won the second prize in the PPT presentation category, and K. Jessika from IBSC.MECs received a participation certificate in the Treasure Hunt activity.
Lastly, on 6th April 2023, P.B. Siddhartha College in Vijayawada organized a one-day state-level event named ELECTRO VISION 2K23. During this event, K. Jessika participated in the Treasure Hunt activity and received a certificate.
2 students of II MBA participated in start-up exhibition on 10 January, 2023 and won first and second place.
19 students of I MBA participated in Management meet held in SRK College of Engineering and Technology on 9th and 10th February.
The students of I MBA participated in Management meet AFOSEC held in VR Siddhartha College of Engineering and Technology on 24 and 25 February 2023.
These achievements highlight the exceptional talents and skills demonstrated by the students in various academic and extracurricular competitions, showcasing their dedication and commitment to their respective fields of study.
DAYS OF SIGNIFICANCE:
- As a part of Mental Health Week, an orientation program on “Mental Health & Well Being in Teenagers” was organized for Intermediate students on 12 June 2022, in association with Vasavya Nursing Home, Vijayawada.
- As a part of International Yoga Day, all the army wing cadets demonstrated yogasanas to their family members from their homes on 21 June 2021.
- Department of Statistics observed National Statistics Day on 29 June 2022.
National Service Scheme Regional Directorate in collaboration with LD College of Engineering, Emmanuel Blessy from II FMB secured the second prize in the Quiz competition.
On 11th and 12th August 2022, as part of the India Independence Movement & Azadika Ka Amrut Mahotsav, KBN College in Vijayawada and JMJ College in Tenali organized an Elocution competition where V. Harshita, a student from III B.A Journalism, won the second prize. Additionally, on 12th August 2022, V. Harshitha from II B.A Journalism secured the first prize in essay writing during the Taruni Tarangalu event organized by KBN College, Vijayawada.
During the International Women Equality Day organized by SAFE at PSCMR Engineering College in Kothapet, M. Reshma Revathi, a student from III B.A (HEP), secured the first prize in Elocution.
Furthermore, on 29th and 30th September 2022, Andhra Loyola College’s PG Mathematics Department in Vijayawada organized a Quiz competition called MATHLETS-2K22. M. Sree Roshitha, B. Surya Tejaswi, and R. Rizwana Tahseen, students from III MPCs & III MSCs, won the second prize in the competition.
In the TECH MANTHAN-2K competition organized by Nalanda Degree College in Vijayawada on 14th December 2022, R. Gayathri Devi, D. Sai Meghana, and G. Tejaswini from II MSCs secured the first prize in the Quiz competition.
Moving on to recent events, on 30th January 2023, an Intercollegiate competition called TECHNOESIS-2K23 was organized by Andhra Loyola College’s Electronics Department. M. Mahitha from II MECS won the second prize in the PPT presentation category, and K. Jessika from IBSC.MECs received a participation certificate in the Treasure Hunt activity.
Lastly, on 6th April 2023, P.B. Siddhartha College in Vijayawada organized a one-day state-level event named ELECTRO VISION 2K23. During this event, K. Jessika participated in the Treasure Hunt activity and received a certificate.
2 students of II MBA participated in start-up exhibition on 10 January, 2023 and won first and second place.
19 students of IMBA participated in Management meet held in SRK College of Engineering and Technology on 9th and 10th February.
The students of I MBA participated in Management meet AFOSEC held in VR Siddhartha College of Engineering and Technology on 24 and 25 February 2023.
These achievements highlight the exceptional talents and skills demonstrated by the students in various academic and extracurricular competitions, showcasing their dedication and commitment to their respective fields of study.
**DAYS OF SIGNIFICANCE:**
- As a part of **Mental Health Week**, an orientation program on “Mental Health & Well Being in Teenagers” was organized for Intermediate students on 12 June 2022, in association with Vasavya Nursing Home, Vijayawada.
- As a part of **International Yoga Day**, all the army wing cadets demonstrated yogasanas to their family members from their homes on 21 June 2021.
- Department of Statistics observed **National Statistics Day** on 29 June 2022.
- The Department of Economics in association with IQAC conducted various activities on the occasion of **World Population Day** on 11 July 2021.
- On the occasion of **World Day Against Human Trafficking**, Dept. of Social Work organized an awareness session on 30 July 2022 in association with Child Line, Vijayawada.
- The UG Dept. of Commerce and Management Studies organised **Teachers Day** celebrations on 5 September 2022 collaborated by the Student Council.
The Dept. of Sanskrit organised **Sanskrit Day** celebrations on 11 August, 2022. Dr. VN Manga Devi, the Head of the Department of Telugu, delivered a guest lecture on the topic of “The Influence of Sanskrit on Telugu,” which was highly relevant to the occasion. The lecture was well received by the 210 participants in attendance, highlighting the significance of Sanskrit’s impact on the Telugu language.
The Dept. of Economics in collaboration with IQAC organized 75\textsuperscript{th} **Independence Day**. The chief guests were Mrs. Panabaka Rachna, Deputy Collector, Govt. of AP and DR.A.Bhargava Sekhar IRS, Asst. Commissioner of Income Tax.
On 26 November, 2022, the NCC Naval wing cadets conducted a pledge ceremony as part of the **Construction Day** celebrations. The cadets took an oath to contribute towards the development and progress of the nation through their dedication and hard work in various construction-related fields.
To commemorate **World AIDS Day** NCC Naval Wing cadets went on a rally from Eluru Lakulu to Tummalapalli Ksetram on 1 December, 2022. The rally aimed to raise awareness about HIV/AIDS, promote prevention and support measures, and emphasize the importance of eradicating the stigma surrounding the disease.
The Department of Computer Science observed **World Computer Literacy Day** on 2 December, 2022. The day served as a platform to raise awareness about the importance of computer literacy and digital skills in today’s technologically driven world.
The National Cadet Corps (NCC) Army Wing celebrated **National Youth Day** on 12 January 2023 with great enthusiasm. The event aimed to commemorate the birth anniversary of Swami Vivekananda, a prominent youth icon and philosopher. The NCC Army Wing organized various activities and programs to inspire and empower the youth, emphasizing the values of leadership, discipline, and social responsibility.
The Inspire Club of the Department of Physics at Maris Stella College organised an Inter-Collegiate Physics Inspire Club Meet - 2022 with the objective of educating and sensitizing young girls about the **nuclear bombings of Hiroshima and Nagasaki** in August 1945. The event aimed to raise awareness among the participants about the devastating impact of weapons and war.
On the occasion of **World Photography Day** on August 19, 2022 the students of Journalism had an orientation on the theme “Monsoon Mania” by Film and Television Institute of Hyderabad (FTIH), at Moghalrajpuram, Vijayawada. On this occasion photography competition was also conducted.
Analysis of potable groundwater samples of our students’ locality is carried out in the Chemistry Lab on 21 March 2023 on the occasion of “World Water day”. Twenty water samples were collected from different localities of students’ and analysed for total hardness, conductivity, pH, alkalinity.
On the occasion of World Water Day, Eco-Ambassadors of Green Club organized an awareness programme with the theme “Accelerating Change” for the I Degree students on 21 March, 2023.
The Department of English has observed ‘The World Literacy Day’ on 8 September 2022.
On the occasion of National Press Day on 16 November 2022, the students of Journalism visited the Radio Mirchi Studio and interacted with RJ Kavya and on the same day afternoon RJ addressed the students on the topic “A Day in the Life of an RJ” in the college campus.
The Department of Telugu observed Telugu Bhasha Dinostavam on 25 August 2022. The event aimed to celebrate and promote the Telugu language, fostering awareness and appreciation among students and participants.
On the occasion of World Tourism Day, the Department of Tourism and Travel Management, in collaboration with IQAC, organized a guest lecture and cultural program on 27 and 28 September 2022. The event aimed to raise awareness about the importance of tourism and provide valuable insights from industry experts.
The Dept. of History and Tourism celebrated National Tourism Day on 20 January 2023. Mr. Govinda Rao IAS, Executive Directors for Operations APTDC, Govt. of A.P. was the chief guest for the programme.
To commemorate World Diabetic Day, undergraduate students of the Biochemistry Department organized an exhibition on the theme “Diabetes: Education to Protect the Future.” The event aimed to raise awareness about diabetes and its impact on the future, emphasizing the importance of education in prevention and management.
The Department of Economics in association with IQAC has organized Poster Making Competition on 24 January 2023 on the day of International Education Day. 15 Students from BA, HEP & SW group presented skit on the importance of Education. The Department of Computer Science in collaboration with Spypro Security Solutions Pvt. Ltd., organized State Level Technical Event on Ethical Hacking Competitions on 30-11-2022 from 09:30 am to 3:30 pm in Auditorium.
The Women Empowerment Cell celebrated **International Women’s Day** on March 8th, 2023. The theme for International Women’s Day 2023 is ‘DigitALL’ - Innovation and technology for gender.
Department of Agriculture and Rural Development organized a celebration on the occasion of **National Farmers Day (Kisan Divas)** on 23 December, 2022.
The Dept. of Agriculture and Rural Development celebrated **International Year of Millets 2023 (IYOM2023)** on 18 March 2023.
The Dept. of History organized **Gandhi Jayanthi Celebrations** on 26 September 2022. Chief Guest Dr. Christian Bartoff, President, Gandhian Information Centre, Berlin, Germany and the other speakers included Prof. Prasad Gollapalli, Managing Trustee, Gandhi King Foundation, Hyderabad and Sri Gopala Krishna Murthy, Executive Director cum Member Secretary of Academy of Gandhian Studies.
Department of Agriculture and Rural Development organized celebrations and awareness on the occasion of “**National Soil Day**”. The event included a rally and took place on 5 December, 2022.
**GENDER EQUITY:**
The IQAC organised a seminar titled ‘Gender Audit in HEI’ on 1 December 2022, featuring Prof. Meenakshi Gopinath, a Padmashree Awardee and former Principal of Lady Shri Ram College, New Delhi, as the resource person. The seminar aimed to provide faculty members with a comprehensive understanding of gender audit, including guidelines and practical instructions for conducting it within a higher education institution. The seminar witnessed active participation from seventy faculty members.
The Dept. of Journalism organized interactive sessions for students and staff with prominent social activist P. Andal Devi, Hyderabad on 28 February, 2023. The sessions focused on “Promoting Gender Equity in Classrooms” and “Gender Audit to Ensure Justice in HEIs.”
**EXHIBITIONS**
Departments Life Sciences organized a science fair on 26 & 27 August, 2022, in the College auditorium. A number of students from various nearby schools came to learn from the exhibited stalls. The chief guest for this exhibition was Sri. Bellam Durga, one of the Deputy Mayors in Vijayawada.
In accordance with the directives from the UGC for Teacher’s Day with the name Shikshak Parv, weeklong celebrations were observed from 5-9 September, 2022. In commemoration of this, the Department of Economics organized a panel discussion on the changing role of teachers and screened educational movies. The Department of Mathematics screened the movie “Shankuntala Devi” and analyzed it with students, while the Department of Library Sciences conducted book reading sessions. Additionally, 24 departments of the college participated in an exhibition highlighting the Contribution of Teachers in the Indian Knowledge Education System.
**SPORTS:**
- The Krishna District Basketball Association organized the 8th A.P. Inter District Basketball Championship at Guntur NTR Stadium from 18 – 22 August 2022. Two students from our college, P. Bhavani, II MBA and P. Rajeswari, III BMS, participated in the event.
- The Krishna District Basket Ball Association organised 8th A.P. Inter District Basketball Championship at Guntur NTR Stadium from 18 – 22 August 2022. Two students of our college A.Jasmine II B.A. TTM, N.Durga II B.A. TTM represented East Godavari District.
- Maris Stella College Basket Ball team secured first place in National Sports Day Tournament held at I.G.M.C. Stadium from 28 & 29 August 2022.
- Maris Stella College Basket Ball team secured first place in First City Level Basket Ball Tournament held at Maris Stella College on 23 & 24 September 2022.
- Maris Stella College Basket Ball team secured third place in the tournament held at S.K.V.T College, Rajahmundry E.G. District on 30 September to 03 October 2022.
- Three Maris Stella College students were selected for the Krishna District Netball Association Tournament held on 29 & 30 October 2022 and won first place.
- Maris Stella College students secured third place in the S.A.A.P selection Trials for Kabaddi Women Tournament for C.M. Cup on 10 November 2022 at I.G.M.C. Stadium, Vijayawada.
- In the Krishna District Net Ball Association 8th A.P. Inter District (Junior) Net Ball Championship, held on 26 & 27 November 2022, six Maris Stella College students won first place and one student got selected for state level team.
In the Krishna University Inter-Collegiate Volley Ball Tournament Cum selections trials held at Siddhartha Women’s College, Vijayawada, on 29 November 2022 Maris Stella College students bagged first place.
The Krishna University Inter-Collegiate Basketball Tournament cum selection trials were held at Maris Stella College, Vijayawada, on 5 December, 2022. Maris Stella College bagged the first place in the tournament. Five students from our college were selected for the Krishna University Team and represented the South Zone Inter University, which was held at the University of Madras, Chennai (Surya College of Engineering & Technology, Vikravandi) from 4 – 8 January, 2023.
On 6 December, 2022, ten students from Maris Stella College participated in the Krishna University Inter-Collegiate Kabaddi Tournament cum selection trials held at K.V.R College in Nandigama.
The 46th D.A.R Memorial Invitational Basketball Tournament for Men and Women was held at Nuzvid, Krishna District, A.P. from 11-13 January, 2023 at D.A.R College. Maris Stella College students achieved the third place in the tournament.
The Krishna University Inter-Collegiate Handball tournament cum team selections took place at KBN College, Vijayawada on 28 January, 2023. Our college team secured the second place in the tournament. Three of our college students, namely P.Haritha II B.A. TTM, P.Sravya I B.Sc. and Ch.Marina I B.Sc. were selected to represent the Krishna University Team. They participated in the South Zone Inter University event held at Mahatma Gandhi University, Kottayam, Kerala.
The Krishna University Inter-Collegiate Netball tournament cum team selections were held at S.D.M.S.M Kalasala, Vijayawada on 4 February, 2023. Maris Stella College team secured the first place in the tournament. Four more students, namely N.Durga II B.A. TTM, B.Mounkia IM.B.A, K.Jayasree III B.COM, and K.Angel Sathvika II B.COM, were selected to represent the Krishna University Team. They participated in the South Zone Inter University event held at Central University, Haryana.
**NCC:**
As part of the Maris Stella College NCC-Combined Annual Training Camp-I (SSB) was conducted from 1-10 July, 2022. CORPORAL K.Blessy, with the registration number AP20SWA375216, was selected and attended the camp. Additionally, CORPORAL K.Blessy received a Certificate of Excellence for her outstanding drill performance.
As part of the Maris Stella College NCC-Advance Leadership Camp - II took place from July 6 -17 July 2022. Corporal M.Namratha, with the registration number AP20SWA375201, represented the AP&T Directorate at the Advance Leadership Camp - II held in Lakholi, Arang, Raipur.
The Special National Integration Camp (SNIC) was conducted at Sri Prakash Vidyaniketan, Devancheruvu, Rajahmundry from 30 September to 9 October, 2022. Cadet U.Akhila, with the registration number AP21SWA375194, was selected to participate in various activities such as the Guard of Honour and NIAP (National Integration Awareness Program).
The All India Girls Trekking Expedition, Tamilnadu Trek- 2022, took place from 27 October to 3 November, 2022. SERGEANT J.Madhuri, with the registration number AP20SWA375205, was selected and actively participated in the trekking expedition.
An NCC Associate NCC Officers Cum Alumni meet, known as A.N.O Cum Alumni meet, was organized by the Group Head Quarter Kakinada at NTR Convention Centre, Adikavi Nannaya University, Rajahmundry on 20 November, 2022.
In observance of World AIDS Day, a rally was organized by the 8(A) Air Squadron NCC, Vijayawada. The rally took place on 1 December, 2022, starting at 7.30 a.m. from Gandhi Nagar to Thummalapalli Kalakshetram. Ten cadets from the NCC Army wing actively participated in this event and were honored with a memento and a certificate for their involvement.
As part of the Navy Day celebrations, the NCC Naval Wings of Maris Stella College and PBS College organized an exhibition on 3 December, 2022. The exhibition was inaugurated by the chief guest, Mr. Kasi Viswanadh, who also addressed the students, encouraging them to actively participate in nation-building and community development.
**GREEN INITIATIVES:**
The college has shown a strong commitment to sustainability and conservation through a range of green initiatives. One of the key initiatives is the implementation of rainwater harvesting pits. These pits effectively collect and store excess rainwater, which is then utilized for practical classes of agriculture students. Additionally, the collected rainwater undergoes purification using appropriate methods, such as reverse osmosis, to make it suitable for drinking purposes for both staff and students.
In line with the college’s environmental consciousness, **a plastic-free campus policy** has been put into effect. This policy aims to minimize plastic waste and encourages the use of eco-friendly alternatives. Furthermore, the college has taken measures to conserve water, including the installation of sprinklers in the garden. This ensures the optimal use of water resources while maintaining a healthy and vibrant green space on the campus.
Energy efficiency is another focus area of the college’s green initiatives. To reduce electricity consumption, **energy-efficient LED bulbs** have been installed in common areas. This transition to LED technology not only contributes to energy conservation but also helps to create a more sustainable campus environment.
To raise awareness about climate change and other environmental issues, the **Eco-Ambassadors of the Green Club actively engage with experts** in the field. The students had interaction with renowned individuals such as Frederick De Gryse and Patrizia Civetta, founders of the Social Ecology Education Fund, Brussels gaining valuable insights and knowledge about the importance of addressing climate change.
On special occasions like Independence Day and Gandhi Jayanthi, the college **organizes events and drives** to emphasize the significance of environmental conservation. The mega plantation drive organized by the Department of Botany on Independence Day highlights the importance of tree planting and its positive impact on the environment. Collaboration with the Academy of Gandhian Studies for the greening and plantation drive on Gandhi Jayanthi aligns with the college’s mission to promote environmental values inspired by Mahatma Gandhi.
Addressing the issue of e-waste, the college conducted a virtual workshop on “**Sustainable Electronic Waste Management**” in collaboration with the IQAC. The workshop featured resource persons from the Future Recyclers Foundation in Mumbai, who provided valuable insights on managing electronic waste in a sustainable manner. This workshop aimed to raise awareness among students and faculty about the growing problem of e-waste and its impact on the environment and human health.
Through these various green initiatives and awareness programs, the college is actively promoting environmental consciousness, sustainability, and responsible practices among its students and faculty. These efforts contribute to creating a greener and more sustainable future for the college community and beyond.
COMMUNITY SERVICE:
Students took up a wide range of activities as part of their community service project. They also focused on creating awareness on important issues such as cyber-crimes. This involved organizing informational sessions and workshops to educate local residents on how to protect themselves from online scams and other forms of cybercrime.
Health was another area of focus for the students. They organized health fairs and educational events in community centers and parks to promote health and wellness among local residents.
Career counseling was another important aspect of the community service project. The students recognized the importance of employment and financial stability, and as a result, organized career counseling sessions to support individuals as they sought to improve their prospects.
In addition, the students recognized the importance of education, and organized a tutoring program for children in underprivileged communities.
The students also took up other initiatives such as the “Each One Plant One” campaign, where they encouraged local residents to plant trees to improve the local environment.
They also distributed paper bags to promote the use of eco-friendly products and displayed charts to educate people on the importance of environmental protection.
The Service Learning Course ‘English for Communication’ offered by Dept. of English is designed to cultivate interest in the young students in their formative years in speaking in English. 17 Sem III students of HELP & HELT have chosen this course. Students of eighth standard of Boyapati Siva Rama Krishnayya Municipal High School, Near Jammichettu, Vijayawada have been selected for this project to test whether they acquire the communicative ability in English with good exposure and practice.
NSS:
The NSS played a crucial role in the college, organizing programs that contributed to various areas of importance. It organized a vaccination drive on 20th July 2022, promoting public health by administering corona booster doses. The NSS also organized the 2K Walk for Women’s Equality on 15th July 2022, advocating for social causes and empowering students. Additionally, the Campus Clean & Green Drive
conducted from 11th to 17th July 2022 emphasized environmental sustainability. NSS volunteers participated in a Job Mela on 23rd and 24th July 2022, enhancing their skills and employability. They actively engaged in patriotic activities during the 75 Years Independence Day Celebrations on 13th, 14th, and 15th August 2022, fostering national unity. The distribution of organic Vinayaka Idols on 30th August 2022 demonstrated social responsibility. NSS focused on character building and values on NSS Day celebrated on 24th September 2022. The Walk for Freedom on 15th October 2022 raised awareness about human trafficking and advocated for victims’ rights. Lastly, the Communal Harmony Campaign Week from 19th to 25th November 2022 promoted peace, harmony, and national integration. Overall, the NSS’s involvement showcased its significant role in various areas within the college and beyond.
**SEMESTER-END EXAMINATIONS:**
Due to the disruptions caused by the ongoing pandemic, it was not feasible to establish a standardized date for semester-end examinations across different semesters. Consequently, the second-year students concluded their semester-end examinations on 15 April, 2023, while the third-year students completed their final year projects viva on 4 May, 2023. Similarly, the first-year Degree students are expected to finish their examinations on 28 June, 2023.
**FUTURE PLANS:**
- Expansion of Academic Programmes
- Emphasis on Skill Development
- Community Engagement
- Industry-Academia Collaboration
- MoUs with Foreign Universities
- Strengthening Research & Innovation
**CONCLUSION:**
2022-23 is a year of great significance for Maris Stella. It marks 60 years of service to the cause of women’s education. The college looks forward to continuing this service into the future, driven by the mission of actualizing its vision, unswerving in the pursuit of excellence without compromise.
1. Annual Academic Calendar 2022-23:
Prepared college Handbook with the Annual Academic Calendar inserted for the academic year 2022-23 and displayed it on the college website.
2. Measurement of attainment of COs:
(i) The IQAC conducted one-week workshop on ‘Measurement of Attainment of Course Outcomes’ from 5th to 12th July 2022 to train the faculty on the direct method of measurement of course outcomes in order to determine the CO attainment. Dr. C. Krishnaveni, IQAC Coordinator was the resource person. She shared her insights and information on how CO attainment levels can be measured based on the performance of the students in the continuous internal assessment and semester end examinations and gave a comprehensive demonstration on the calculation of overall attainment of COs and how to find out the attainment gap.
(ii) The attainment of COs has been measured by both direct and indirect methods for the courses taught for the batches 2020, 2021 and 2022. Also measured the overall CO attainment for each course and obtained the attainment gap.
(iii) Measured the attainment of PSOs and POs.
3. Department and College Activities:
(i) Departments and the coordinators of each cell and committee planned for the activities to be organized and presented the plan of action in general staff meeting.
(ii) The scheduled departmental activities and the activities planned by the IQAC and different committees were organized as per the schedule and the details were entered in the ‘College Activities Register: 2022-23’.
4. Programmes were organized on:
(a) Environmental Consciousness and Sustainability
(b) Awareness of Trends in Technology
(c) Human Values and Professional Ethics
(d) Intellectual Property Rights (IPR)
(e) Research Methodology
(f) Entrepreneurship Development
(g) Capacity Development and Skill Enhancement
(h) Leadership Training Programmes and Workshops
(i) Conferences and Seminars
(j) Inclusion & Situatedness
(k) Days of significance / Commemorative days
(l) Extension Activities & Outreach Programmes
(m) NSS
(n) NCC
(o) Sports and Cultural Activities
5. Mini-Project for SEC in Sem V:
(i) Included a ‘Mini-Project’ in each ‘Skill Enhancement Course’ as a part of 2nd component, worth fifteen marks in semester V. The guidelines, the format and evaluation plan for the mini-project were prepared by the IQAC Coordinator and shared them with the faculty.
(ii) With each SEC, the students completed a mini-project assigned to them, and they turned in their project / field reports to the course teachers in accordance with the requirements for assessment.
6. Gender Sensitization Programmes and Programmes on Code of Conduct:
(i) The ‘Annual Gender Sensitization Action Plan’ and ‘Annual Awareness Programme on Code of Conduct’ for the academic year 2022-23 which are prepared by the IQAC are displayed on the college website. The scheduled activities were done and the details of the activities held were displayed on the ‘College Activities Register: 2022-23’.
(ii) Added ‘Mobile Policy’ to the existing ‘Student Code of Conduct’ and modified it in order to implement it w.e.f. the academic year 2023-24.
(iii) No. of Gender Equity / Sensitization programmes held: 4
(iv) Awareness programmes on code of conduct were held.
7. FDPs, PDPs, Training Programmes, and Workshops:
The IQAC has prepared the list of FDPs, PDPs, training programmes, workshops and awareness programmes for the quality sustenance and promotion to be organized by the IQAC for the faculty, staff and students and conducted the programmes as per the schedule. Number of programmes conducted for:
the Faculty: 8, the Admin Staff: 1, the Support Staff: 1, and the Students: 23.
8. Diamond Jubilee Scholarships:
Sixty Diamond Jubilee Scholarships are intended to be established in commemoration of the Diamond Jubilee year 2022, to provide financial assistance to deserved students.
The institution had created sixteen ‘Diamond Jubilee Scholarships’ to aid financially disadvantaged students by raising money from sixteen generous individuals. The college website lists the specifics of these scholarships.
9. **Landscaping:**
Relayed and levelled the campus roadways and developed garden with variety of flowering plants, crotons, shrubs, fruit trees, and new pathways.
10. **National Webinar on NEP:**
The IQAC organized one-day National Webinar on ‘Effective Implementation of NEP 2020: Role of Teachers & Institutions’ on 8th Oct. 2022 to discuss the holistic approach to the concept of education and the quality of teaching-learning, and the role of teachers and higher education institutions in the effective implementation of NEP 2020.
Resource Persons:
Prof. K. Rama Mohan Rao, Vice-Chairman, APSCHE.
Prof. G. Soral, Former President, Indian Accounting Association, Formerly at Mohanlal Sukhadia University, Udaipur & Mizoram University, Aizwal.
Prof. Lalhmasai, Chairperson, Dean, School of Education, Mizoram University.
11. **Research and publications in S-L programmes:**
Organized capacity-building workshops for the faculty in two phases, in collaboration with the MCC Research Colloquium, Madras Christian College, Chennai to promote research based service-learning activities.
(i) The IQAC organized the United Board sponsored Phase I: Five-day Virtual Capacity-Building Workshop for faculty on ‘Research & Publications through Service-Learning Programmes’ from 9th to 13th Jan. 2023 to provide an overview of the research process in Service-Learning Programmes.
(ii) The IQAC organized the United Board sponsored Phase II: Two-day Capacity-Building Workshop for faculty on ‘Research Methodology & Manuscript Writing in Service-Learning Programmes’ from 25th to 26th April 2023 to help faculty members have an in-depth understanding of research methodology and how to write a manuscript for service-learning initiatives.
12. **English Access Microscholarship Programme:**
The IQAC in collaboration with the U.S. Consulate implemented the ‘English Access Microscholarship Programme’, started regular classes on 29 Aug. 2022 and launched the programme officially on 13 Oct. 2022 by Ms. Jennifer Larson, U.S. Consul General, U.S. Consulate, Hyderabad for English language proficiency among students.
13. Polyhouse, Vermicomposting and Mushroom cultivation:
(i) A Polyhouse has been set up by the College, providing the Agriculture and Rural Development students with practical training in growing fruits, vegetables, and cut flowers.
(ii) Constructed a larger vermicomposting facility to manage solid waste and to produce organic fertilizers. During their practical hours, the students studying Agriculture and Rural Development programme worked diligently to produce the compost.
(iii) Created a new mushroom cultivation unit to impart students with entrepreneurial skills and improve their employability.
14. Semester-long Internship:
(i) Offered semester-long internship project for all students in the semester VI.
(ii) The college has signed agreements and MoUs with various organizations, agencies, companies and industries to place the students for semester-long internship project.
(iii) All the 3rd year UG students successfully completed their semester-long internship project and were given 12 credits on submitting the project report in the prescribed format upon attending a viva-voce.
(iv) Dr. C. Krishnaveni, IQAC coordinator gave orientation to all UG third year students on ‘Role of Intern and Guidelines’ on 12, 13, 18 Oct. 2022 and on ‘Project Report and Assessment’ on 27 March 2023 with regard to the semester-long internship programme.
(v) Dr. C. Krishnaveni, IQAC coordinator gave an orientation to all UG first year students on ‘Community Service Project Report and Assessment’ on 17 Oct. 2022.
15. Swayam-NPTEL Courses:
Enrolled 758 students for NPTEL: July-Dec 2022 courses and 68 for NPTEL: Jan-April courses.
16. EDC Activities:
(i) Entrepreneurship Development Cell (EDC) of Maris Stella, in collaboration with the ALEAP and HL Human Foundation, organized a one-month income-generating training programme for women from 12 Sept.-11 Oct. 2022.
(ii) The EDC and the Inner Wheel Club Midtown jointly organized a Sankranthi Mela on 7 Jan. 2023, at the college auditorium from 10.00 am to 8.30 pm. The primary objective of the event was to provide a platform for small and medium enterprises, encouraging women to be a part of entrepreneurship.
(iii) A Five-day training programme on ‘Food Processing and Marketing’ an outreach programme by the EDC in collaboration with the ALEAP sponsored by Canara Bank, Vijayawada, was organized for 33 DWACRA women in Vijayawada from 22-27 Feb. 2023 in Maris Stella College.
(iv) The EDC in collaboration with the SRM University organized a Boot Camp for entrepreneurial development, on 17 Sept. 2022 the resource person being Ms. Lakshmi Rajasekhar, an independent distributor.
17. **College Bus:**
For the purpose of providing staff and students with transportation for outreach, extension and service-learning programmes as well as community service projects, the college has brought a bus. The bus facility was utilized by students and teachers who were in-charge of outreach, extension, service-learning, and community service initiatives to attend and finish their fieldwork.
18. **LMS and new ERP:**
(i) Signed an MoU with the Edu-Tech company, ReferenceGlobe in order to offer staff and students a single step integrated digital platform with ERP, CRT and LMS as part of e-Governance on 27 March 2023.
(ii) The IQAC conducted workshops on the modules of the ReferenceGlobe and use of LMS in two phases both for staff and students: 9 - 11 May 2023 in phase-1, and 21-26 Aug. 2023 in phase-2.
19. **Research Guideship in the discipline of Business Management:**
(i) The college has applied to Krishna University for research guideship to start a ‘Research Centre’ for the study of Business Management on 07.02.2023.
(ii) On 2 March 2023, a committee from Krishna University paid a visit to the institution to assess the necessary facilities in this regard. On 13 March 2023, the Krishna University granted a research centre for the study of Business Management with Dr. K. Naga Sundarari, Dr. G. Malathi, and Dr. H. Kanaka Durga from the PG Department of Business Administration as research guides.
20. **Centre to offer skill courses:**
Established a ‘Skill Centre’, a facility in the H-Block dedicated to offer ‘Skill Courses’ and Hands-on training in accordance with the NEP 2020.
21. **College autonomy:**
(i) Sent reminders to Krishna University for the awarding of PG autonomous status and to the UGC and Krishna University regarding the renewal of college autonomy.
(ii) Received UGC proceedings of the extension of the autonomous status to Maris Stella on 06.07.2023.
(iii) The Krishna University granted the autonomous status for PG programmes on 12.09.2023 after visiting the college on 13.06.2023.
22. **Infrastructure development:**
The auditorium was renovated and a centralized air conditioning system was installed; The terrace of the main block was waterproofed.; CCTV cameras were installed where they were required; the necessary furnishings for the new administrative building was acquired; and the necessary hardware and software were purchased.
23. **Awards for publishing research articles:**
To publish their research works in Scopus, Web of Science, and the UGC CARE list, faculty members received publication charges support from the college management. The sum of Rs. 92,900 was expended in this context.
24. **Gender Audit:**
(i) The NSS unit organized a 2K walk for ‘Women’s Equality’ on 15 July 2022, advocating for social causes and empowering students.
(ii) Guest Lectures on Girls’ Safety and Security and Legal Perspectives were organized by the Department of Social Work & IQAC in collaboration with MAARPU TRUST on 25 July 2022.
(iii) The IQAC organized a seminar on 'Gender Audit in HEI' on 1 Dec. 2022 to give faculty members a deeper understanding of the concept, the method, the components, and the tools associated with gender auditing. Prof. Meenakshi Gopinath, a Padmashree Awardee and former Principal of Lady Shri Ram College, New Delhi, was the resource person.
(iv) The Dept. of Journalism in association with the IQAC organized interactive sessions for students and staff with prominent social activist P. Andal Devi, Hyderabad on 28 Feb., 2023. The sessions focused on ‘Promoting Gender Equity in Classrooms’ and ‘Gender Audit to Ensure Justice in HEIs.’
(v) Constituted a committee for taking up ‘Gender Audit’.
**Composition:**
Principal – Chairperson
IQAC Coordinator
Three faculty members
(One each from Sciences, Arts and Commerce & Management Studies)
Three student representatives
(One each from Sciences, Arts and Commerce & Management Studies)
25. Electoral Literacy Club (ELC):
Celebrated the National Voters’ day on 25 Jan.2023. On this occasion, an awareness programme was organized by the college to highlight the importance of voting in a democracy.
26. Internal Academic and Administrative Audit:
The IQAC of the college conducted an Internal Academic and Administrative Audit for the academic year 2022-23 to assess the effectiveness of the institution's various departments and to make recommendations for future quality enhancements in curriculum, teaching-learning, evaluation, research, innovation, extension, and administration from 02.05.2023 to 04.05.2023. A report was prepared with observations and suggestions and was displayed on the College website.
27. Academic Bank of Credits:
Registered for Academic Bank of Credits and student details were entered in the portal.
28. Four-year UG Honours Programmes:
(i) An orientation to all final year UG students and faculty on the 4-year UG Honours Programmes, 4-year UG Honours with Research Programmes and the curriculum framework for the semesters VII & VIII of these programmes was given on 27.04.2023 by the IQAC Coordinator, Dr. C. Krishnaveni.
(ii) Offered the APSCHE 4-year UG Honours Programmes and 4-year UG Honours with Research Programmes for 2020 batch students.
29. Four-year UG Honours Programmes with single major:
(i) An orientation on ‘Curriculum Framework, Modalities for Four-year UG Honours Programmes with single major’ was given to the faculty on 17.06.2023 by Dr. C. Krishnaveni, IQAC Coordinator.
(ii) Introduced the APSCHE 4-year UG Honours Programmes with single major w.e.f. the academic year 2023-24 as per the APSCHE directions after getting approval from the APSCHE and CCE.
30. French as a 2nd language:
Resolved to offer ‘French’ as a ‘Second Language’ w.e.f. the academic year 2023-24.
Dr. Beulah, Head Dept. of History has been appointed as the faculty-incharge.
31. Skill Development Programme:
(i) Designed a specialized training programme, ‘Power Skills’ for the UG 3rd year students to offer it w.e.f. the academic year 2023-24 in collaboration with MN Rao & Associates, Sridhar’s CCE, and Vidhyardi Empowerment Enterprises, Vijayawada.
(ii) CareToAction, a distinguished NGO, graciously extended its support to fund this programme which is committed to overseeing and evaluating the progress of each participant.
(iii) Dr. Sr. Ramana K., Dept. of MBA was appointed as the Chief Coordinator, and Dr. V. Prasad Rao, Head, Dept. of Political Science, Ms. Grace Lydia, Head, Dept. of Computer Science and Ms. Swetha Priya Kumari, Dept. of Commerce were appointed as the coordinators for Arts, Science and Commerce students respectively.
(iv) The following courses are planned to offer w.e.f. the academic year 2023-24:
For Arts Students: English, Reasoning and Arithmetic to prepare for competitive examinations.
For Commerce Students: Tally, GST and MS Excel.
For Physical Sciences & BBA Students: Full Stack Web Development, Digital Marketing and Data Analytics.
32. Capacity Development Programme:
Resolved to offer a capacity-development programme ‘English Communication Skills’ for the 1st year students w.e.f. the academic year 2023-24.
33. ISBN Allotment:
The college has registered with Raja Ramamohun Roy National Agency for ISBN for allotment of ISBN. An ISBN has been earmarked for our application.
[Signature]
PRINCIPAL
MARIS STELLA COLLEGE
VIJAYAWADA-520 008
I. Curricular Aspects:
(i) Revised syllabi for courses offered in semesters V / VI across all programmes.
(ii) Prepared college handbook with the academic calendar inserted for the year 2022-23 and displayed it on the college website.
(iii) Implemented ‘Semester-long Internship Project’ for the 2020 batch students in semester VI.
(iv) Offered six months ‘On Job Specialization Internship’ for the 2020 batch Tourism students during semester VI.
(v) Included ‘Mini-Project’ as a part of 2nd component in each ‘Skill Enhancement Course’ in semester V.
II. Teaching-Learning and Evaluation:
(i) The IQAC designed guidelines and assessment methodology for Service-Learning and Semester-long Internship Projects.
(ii) Dr. C. Krishnaveni, IQAC Coordinator gave orientation to all UG third year students on ‘Role of Intern and Guidelines’ on 12, 13, 18 Oct. 2022 and on ‘Project Report and Assessment’ on 27 March 2023 with regard to the semester-long internship programme.
(iii) Dr. C. Krishnaveni, IQAC Coordinator gave an orientation to all UG first year students on ‘Community Service Project Report and Assessment’ on 17 Oct. 2022.
(iv) An orientation to all final year UG students and faculty on the 4-year UG Honours Programmes, 4-year UG Honours with Research Programmes and the curriculum framework for the semesters VII & VIII of these programmes was given on 27 April 2023 by the IQAC Coordinator, Dr. C. Krishnaveni.
(v) Question banks for all courses in semester V are prepared by the concerned course teachers in which questions are mapped with the course outcomes and RBT levels.
(vi) The IQAC conducted one-week workshop on ‘Measurement of Attainment of Course Outcomes’ from 5 -12 July 2022 to train the faculty on the direct method of measurement of Course Outcomes in order to determine the CO attainment.
(vii) The attainment of COs has been measured by both direct and indirect methods for the courses taught for the batches 2020, 2021 and 2022. Also measured the overall CO attainment for each course, obtained the attainment gap and measured the attainment of PSOs and POs.
III. Research, Innovations and Extension:
(A) MoUs:
Six new Memorandums of Understanding (MoUs) were signed with institutions and industries for collaborative initiatives in skill development, internships, training, research and extension activities.
Signed an MoU with the
(i) Anoor Test Labs & Engineering Services Pvt. Ltd. on 14.09.2022 to establish specific skill development programmes, extend lab and infrastructure facility in the area of agriculture and rural development, serve as guest faculty, and to provide internships, and arrangement of visits to the labs.
(ii) College of Social Work, Nirmala Niketan, Mumbai on 24.10.2022 for research collaboration, faculty exchange programmes, student exchange programmes, promotion of integrated studies for related studies, conduct of cultural projects, study tours, conduct of workshops and seminars etc.
(iii) Thanusri Mushrooms on 12.10.2022 to provide internships, exchange of ideas and expertise in mushroom cultivation, innovative ideas in marketing and self-employment, hands-on experience on mushroom cultivation.
(iv) Wido Technologies Pvt. Ltd. on 01.11.2022 for hosting seminars and workshops, internship and placement assistance, live academic projects for commerce students.
(v) Pasteur Education and Research Training Laboratory, Guntur on 22.11.2022 to provide internship programmes, exchange of ideas and expertise in research methodology, innovative ideas in research and self-employment, hands on experience in instrumentation.
(vi) Edu-Tech company, ReferenceGlobe in order to offer staff and students a single step integrated digital platform with ERP, CRT and LMS as part of e-Governance on 27.03.2023.
(B) Research:
(i) The college has applied to Krishna University for research guideship to start a ‘Research Centre’ for the study of Business Management on 07 Feb. 2023. On 13 March 2023, the Krishna University granted a research centre for the study of Business Management with Dr.
K. Naga Sundari, Dr. G. Malathi, and Dr. H. Kanaka Durga from the PG Department of Business Administration as research guides.
(ii) To publish their research works in Scopus, Web of Science, and the UGC CARE list, faculty members received publication charges support from the college management. The sum of Rs. 92,900 was expended in this context.
(iii) The IQAC organized the United Board sponsored Phase I: Five-day Virtual Capacity-Building Workshop for faculty on ‘Research & Publications through Service-Learning Programmes’ from 9 - 13 Jan. 2023 in collaboration with the MCC Research Colloquium, Madras Christian College, Chennai to provide an overview of the research process in Service-Learning Programmes.
(iv) The IQAC organized the United Board sponsored Phase II: Two-day Capacity-Building Workshop for faculty on ‘Research Methodology & Manuscript Writing in Service-Learning Programmes’ on 25, 26 April 2023 in collaboration with the MCC Research Colloquium, Madras Christian College, Chennai to help faculty members have an in-depth understanding of research methodology and how to write a manuscript for service-learning initiatives.
(v) The college has registered with Raja Ramamohun Roy National Agency for ISBN for allotment of ISBN and an ISBN has been earmarked for the institution.
(a) No. of papers published in Journals: 42
(b) No. of papers published in Conference Proceedings: 12
(c) No. of chapters in books published: 24
(d) No. of papers presented in conferences/seminars: 14
(e) No. of Books published: 4
(C) Innovation:
(i) The Department of Commerce and Management Studies and the Department of Business Administration organised a workshop on ‘Start-up Dynamics & Strategies’ on 17 Sept. 2022. Resource Person:
Mr. Pradeep Inti, Proprietor Pradeep Farms Pvt. Ltd.
Number of beneficiaries/participants: 108
(ii) PG Department of Business Administration in association with MEITY & ALEAP has organised a workshop on ‘Incubation and Sensitizing the Students on Ideation and Government Funding Schemes’ on 14 March 2023. Resource Person:
T. Venkat Suresh, Incubation Manager, AIC ALEAP, WE-HUB.
Number of beneficiaries/participants: 154.
During their fieldwork on campus, the Agriculture and Rural Development students cultivated ‘black rice’ (*Oryza sativa L. Indica*). They raised awareness among the local farmers about the importance of black rice cultivation and the process involved in growing it.
(D) **Extension & Outreach:**
(a) **EDC Activities:**
(i) Entrepreneurship Development Cell (EDC) of Maris Stella, in collaboration with the ALEAP and HL Human Foundation, organized ‘One-month Income-Generating Training Programme for Women’ from 12 Sept. -11 Oct. 2022.
Resource Person: Ms. Kalpana, Director of Kalpana Arts & Krafts.
No. of participants/beneficiaries: 20.
(ii) The EDC in collaboration with the SRM University organized a ‘Boot Camp’ for entrepreneurial development, on 17 Sept. 2022.
Resource Person: Ms. Lakshmi Rajasekhar, an independent distributor.
No. of participants/beneficiaries: 30.
(iv) The EDC and the Inner Wheel Club, Midtown jointly organized a ‘Sankranthi Mela’ on 7 Jan. 2023, at the college auditorium. The primary objective of the event was to provide a platform for small and medium enterprises, encouraging women to be a part of entrepreneurship.
Resource Person: Ms. Karambeer Kaur, President Inner Wheel Club, Midtown.
No. of participants/beneficiaries: 1500.
(iv) Five-day training programme on ‘Food Processing and Marketing’ an outreach programme by the EDC in collaboration with the ALEAP sponsored by Canara Bank, Vijayawada, was organized for 33 DWACRA women in Vijayawada from 22-27 Feb. 2023.
Resource Persons:
Dr. Venlatalakshmi, SMS, Scientist Agronomy, KVK, Ghantasala,
Dr. Venlatalakshmi, SMS, Scientist Agronomy, KVK, Ghantasala,
Mr. Y.KoteswarRao, Assistant professor, Agri Economics ANGRAU,
Mrs. Reshma, Designer, Dreaminstudio, Gannavaram,
Mrs Sailaja, Assistant Professor of MBA, KBN College, Vijayawada.
No. of participants/beneficiaries: 33.
(b) **Community Service & Service-Learning Projects:**
(i) All the 1st year UG students successfully completed 180-hour community service project and were given 4 credits on submitting the project report in the prescribed format.
upon attending a viva-voce.
(ii) The 2nd year UG students successfully completed 30-hour service-learning project and were given 1 credit on submitting the project report. Nineteen out of twenty offered certificate courses in service-learning were put into practice.
(c) NSS:
The NSS unit organized (i) ‘Campus Clean & Green Drive’ from 11 to 17 July 2022 highlighting environmental sustainability (ii) ‘2K walk for Women’s Equality’ on 15 July 2022, advocating for social causes and empowering students. (iii) a vaccination drive on 20 July 2022, promoting public health by administering corona booster doses. (iv) patriotic activities during the 75 years Independence Day celebrations on 13, 14, and 15 Aug. 2022, fostering national unity. (v) the distribution of organic Vinayaka Idols on 30 Aug. 2022 demonstrating social responsibility. (vi) activities focused on character building and values on NSS Day celebrated on 24 Sept. 2022. (vii) a ‘Walk for Freedom’ on 15 Oct. 2022 raising awareness about human trafficking and advocating for victims’ rights. (viii) ‘Communal Harmony Campaign Week’ from 19 - 25 Nov. 2022 promoting peace, harmony, and national integration.
(d) NCC:
(i) NCC Naval wing organised the ‘Punit Sagar Abhiyan’ on 25 Sept. 2022 at Punnami Ghat as part of Swachcha Bharat to create an awareness on keeping water and river bodies clean in the community.
(ii) In observance of World AIDS Day, a rally was organized by the 8(A) Air Squadron NCC, Vijayawada. The rally took place on 1 Dec. 2022 from Gandhi Nagar to Thummalapalli Kalakshetram, Vijayawada. Ten cadets from the NCC Army wing actively participated in this event and were honored with a memento and a certificate for their involvement.
(iii) As part of the Navy Day celebrations, the NCC Naval Wing of Maris Stella College and PBS College organized an exhibition on 3 Dec. 2022. The exhibition was inaugurated by the chief guest, Mr. Kasi Viswanadh, who also addressed the students, encouraging them to actively participate in nation-building and community development.
(iv) The NCC Naval Wing arranged a rally and made a substantial donation to the families of the martyrs on 27 Dec. 2022, to honor Armed Forces Flag Day.
(e) Outreach Activities:
(i) The Department of Chemistry organised an outreach programme on ‘Food Adulteration in Common Foods’ in Christ the King School, Christurajapuram, on 2 Mar. 2023 for 9th and 10th
class students by the II B.Sc. Chemistry students.
(ii) II year UG students undertook diverse Service-Learning projects in collaboration with community organizations, addressing pressing social issues and fostering community development:
Students (a) partnered with NGO Navajeevan Bal Bhavan, Vijayawada, raising awareness about challenges faced by female migrant workers and government schemes to assist them (b) conducted a survey on communicable diseases in Christurajapuram, addressing issues of poor sanitation and hygiene practices (c) focused on ‘Health and Nutrition’, highlighting issues among sedentary workers in Vijayawada and emphasizing the importance of proper nutrition and hygiene (d) collaborated with ‘Jan Shikshan Sansthan’ for vocational education, empowering financially weak women with tailoring and embroidery skills (e) conducted a project on ‘Energy Conservation and Sustainability’, promoting energy-efficient lighting in Patamata, Gunadala, and Ramalingeswara Nagar, Vijayawada (f) conducted awareness programmes on contagious diseases and e-Literacy which underscored the students' commitment to community well-being and digital literacy (g) addressed UPI transaction problems and fraud awareness among unorganized retailers, offering solutions and legal tips (h) conducted surveys on human rights awareness, legal processes, and community engagement, enhancing human rights literacy and fostering dialogue in PNT colony, Teacher’s colony, and Gurunanak colony.
No. of beneficiaries: 700.
IV. Infrastructure and Learning Resources:
(i) A ‘Polyhouse’ has been set up by the college, providing the Agriculture and Rural Development students with practical training in growing fruits, vegetables, and cut-flowers.
(ii) Constructed a larger vermicomposting facility to manage solid waste and to produce organic fertilizers. During their practical hours, the students studying Agriculture and Rural Development programme worked diligently to produce the compost.
(iii) Created a new ‘Mushroom Cultivation Unit’ to impart students with entrepreneurial skills and improve their employability.
(iv) For the purpose of providing staff and students with transportation for outreach, extension and service-learning programmes as well as community service projects, the college has bought a bus. The bus facility was utilized by students and teachers who were in charge of outreach, extension, service-learning, and community service initiatives to attend and finish their fieldwork.
(v) Signed an MoU with the Edu-Tech company, ReferenceGlobe in order to offer staff and students a single step integrated digital platform with ERP, CRT and LMS as part of e-Governance on 27 March 2023.
The IQAC conducted workshops on the modules of the ReferenceGlobe and use of LMS in two phases both for staff and students: 9 - 11 May 2023 in phase-1, and 21- 26 Aug. 2023 in phase-2.
(vi) The auditorium was renovated and a centralized air conditioning system was installed; the terrace of the Main Block was waterproofed; CCTV cameras were installed where they were required; the necessary furnishings for the new administrative building was acquired; and the required hardware and software were bought.
(vii) Relayed and levelled the campus roadways and developed garden with variety of flowering plants, crotons, shrubs, fruit trees, and new pathways.
(viii) Employee attendance is managed through three distinct systems each serving a specific purpose. In all three systems, employees are required to mark the in-time and out-time. These systems include (a) AP FRS (Andhra Pradesh Facial Recognition System) which has been in use since 16 Jan. 2023. Fifteen aided employees (both teaching and non-teaching) have registered themselves on this app and are marking their attendance (b) Jnanabhumi FRS-RNIT (Jnanabhumi Facial Recognition System) was in use since Nov. 2022. Seventy staff registered on this portal and 54 staff are enrolled in this attendance system. (c) HIKVISION Value Series Face Access Terminal which is an initiative of Maris Stella. All teaching, non-teaching, and support staff are mandated to mark their attendance using this device. A total of 148 staff members have been enrolled and are using this device for attendance marking. This system has been operational since June 2023. Before its implementation, a fingerprint-based attendance system was utilized.
V. Student Support and Progression:
(A) Scholarships:
(i) The institution had created sixteen ‘Diamond Jubilee Scholarships’ to aid financially disadvantaged students by raising money from sixteen generous individuals. The college website lists the specifics of these scholarships.
(ii) Launched the ‘English Access Microscholarship Programme’ on 13 Oct. 2022 by Ms. Jennifer Larson, U.S. Consul General, U.S. Consulate, Hyderabad for English language proficiency among students. The commencement of classes took place on 29 Aug. 2022.
(iii) For the 229 deserved students, scholarships of Rs.25,82,280 were awarded to assist their academic pursuits.
(B) Internships:
(i) All the 3rd year UG students successfully completed their 540-hour semester-long internship project and were given 12 credits on submitting the project report in the prescribed format upon attending a viva-voce.
(ii) All the 2nd year UG students successfully completed their 180-hour summer-internship project and were given 4 credits on submitting the project report in the prescribed format upon attending a viva-voce.
(C) Industrial Tours & Field Trips:
(i) On 21 July 2022, the Department of Agriculture and Rural Development organized a ‘Field Day cum Awareness Programme’ on ‘Black Rice’ for farmers in Thotlavalluru, Krishna district. Third-year Agriculture and Rural Development students actively participated in the programme, sharing their knowledge and expertise.
(ii) On 5 July 2022, the students of Zoology gained experiential knowledge through a visit to the local Fish Market, Besant Road, Vijayawada.
(iii) The 2nd year Tourism students went for a two-day study tour to Hyderabad on 18 and 19 Oct. 2022 and visited Charminar, Salarjung Museum, Choumuhalla Palace, Lumbini gardens and Ramoji Film City.
(iv) The Life Science Departments arranged an industrial visit on 21 Oct. 2022, for Botany students. The visit took place at the Indian Institute of Oil Palm Research in Pedavegi, West Godavari District.
(v) On 16 Nov. 2022, 45 Journalism students visited the Radio Mirchi studio to celebrate National Press Day. RJ Kavya warmly welcomed the students and engaged in a friendly conversation, showing interest in their future plans. She patiently answered their questions and explained the importance of voice modulation and script writing in becoming a successful RJ.
(vi) On 9 Dec. 2022, the departments of Physics and Electronics organized an industrial visit to Efftronics Systems Private Ltd. in Mangalagiri. Forty students were accompanied by two staff members. The visit aimed to bridge the gap between theoretical training and practical learning by providing students with an opportunity to interact with technical professionals and gain additional knowledge in a real-life industrial environment.
(vii) The 2nd year Tourism students went on a one-day History study tour to Warangal on 10 Dec. 2022 enhancing their knowledge of Andhra History.
(viii) The Department of Chemistry organized an industrial visit to CIPET-Surampalli on 25 Jan. 2023, for UG third-year Chemistry students. Two lecturers and 45 students participated in the visit and benefitted from live demonstrations on petrochemicals by industry experts.
(ix) The Department of Botany organized a botanical tour to Kondapalli Forest on 3 March 2023, for I year CBZ students for collection of medicinal plants to prepare herbarium.
(x) The Departments of Biotechnology & Microbiology have organized an industrial tour to the 4 Kids Food factory on 29 March 2023, to enhance students' knowledge on the subject.
(xi) The 1st year Agriculture & Rural Development students visited Polavaram Major Irrigation Project & Pattiseema Lift Irrigation Project on 13 May 2023.
(D) Training Programmes:
(i) One-day training programme on ‘Farm Machinery and Farm Implements’ was organized by the Department of Agriculture and Rural Development on 21 July 2022.
Resource Person:
Sri. Ravi Kumar, Technical Person.
Number of beneficiaries/participants: 48.
(ii) The Department of Economics in collaboration with MR Pai Foundation Mumbai organized a Two-day ‘Leadership Training Camp’ on 22-23 August, 2022 for BA students to train them on various smart goals, such as setting & achieving goals, sharpening vital skills, the power of habits, effective communication, coming together-a beginning, understanding self & others etc.
The Resource Persons:
Mr. Vivek Patki and Mr. Rajiv Luv from MR Pai Foundation.
No. of beneficiaries/participants: 123.
(iii) The Department of Agriculture and Rural Development organised one-day training programme on ‘ZBNF and Organic Farming in Rythu Nestam Foundation’, Guntur for all second year Agriculture and Rural Development students on 29 Aug. 2022.
Number of Beneficiaries/participants: 52.
(iv) The Department of Computer Science organized a webinar on ‘Designing of Cloud’ on 5 Dec. 2022.
Resource Person:
Samule Kaluvuri, Ph.D., CEO, Apyhub, Ireland.
Number of beneficiaries/participants: 109.
(v) An Interactive Session on ‘Core Values and Ethics in Journalism & Study and Work Opportunities Abroad’ jointly organised by Andhra Pradesh Press Academy and Department of Journalism on 19 Jan. 2023.
Resource Person:
K. Srinivasa Rao, A.P. Press Academy Chairman and Venkat S. Medapati, APNRTS President.
Number of beneficiaries/participants: 100.
(vi) The Departments of Physics and Life Sciences have arranged a guest lecture on the topic ‘Biophysics: Research Trends, Job Opportunities, and Global Education’ on 2 Feb. 2023. Dr. Raj Kumar presented a comprehensive overview of the latest research trends, principles of Physics involved, advancements in the understanding of biological systems and the development of new technologies for studying these systems. He also highlighted the various job opportunities available for professionals in the field, including roles in academia, industry, and government.
Resource persons:
Dr. Rajkumar Vutukuri, Research Assistant, University of Marburg, Germany and a Guest Scientist Ph.D. Training, University of Saarland, Germany.
Number of beneficiaries/participants: 400.
(vii) Three-day hands-on training in ‘Immunological Techniques and Mushroom Cultivation’ was organised by the Departments of Botany, Microbiology, Biochemistry, Food Science & Technology from 15 to 17 Feb. 2023 to provide students with practical knowledge of various immunological techniques, such as PCR, different types of Electrophoresis, ELISA, Vidal, Hepatitis B antigen, estimation of blood parameters and cultivation of mushrooms.
Resource Persons:
(a) Dr. M. Guravaiah, Director, PEARL Research laboratory, Guntur.
(b) Sri. T. Jaychand, Director, Thanusri Mushroom Cultivation.
No. of participants/beneficiaries: 68.
(viii) The Computer Science Department organized State-Level webinar on ‘Revolutionizing Connectivity: An Introduction to the Capabilities of 5G Technology’ on 25 Feb. 2023.
Resource Person:
Ms. Neeraja Danthuri, Program Manager, Intel Corporation, Hyderabad.
Number of beneficiaries/participants: 445.
(ix) Workshop on E-filing of Returns organised by the Department of Commerce and Management Studies on 17 Mar. 2023.
Resource Person:
Ms. Lakshmi Vatsalya, CA.
Number of beneficiaries/participants: 66.
(E) Certification:
(a) No. of certificate courses conducted: 10 & No. of students certified: 371.
No. of Service-Learning certificate courses conducted: 19 & No. of students certified: 310.
(b) No. of students certified for CPBFI: 79
(c) No. of students trained in ELF/VELF: 292.
(d) English Language Programme by Ms Shanon Smith for ‘English Proficiency’: 663.
(e) No. of students benefitted of Micro-Scholarship Access Programme: 55.
(f) No. of students certified for NPTEL courses: 8
(F) Career Guidance & Placements:
(i) The Career Guidance & Placement Cell organized on-line, on-campus and off-campus placement drives for UG and PG students. Wipro, TCS, Deloitte, Bright Star Educational Institution, QSpiders organized on-line campus placement drives. ADP, Nobel Institute of Communicative English, Speaking Tree, ULearn conducted on-campus placement drives.
(ii) The Career Guidance and Placement Cell in association with IQAC organized
- Two-day training programme on ‘Soft Skills and Resume Building’ for the final year UG students on 25-26 July 2022.
Resource Persons:
Mr. Lingeswara Prasad, Chief Executive, Lingeswar Informatrix;
Mr. Vijay Kumar Chilukuri, Director, Muves Consultancy.
No. of beneficiaries/participants: 441.
- Ten-hours training programme on ‘Financial Education for Young Citizens’ as part of the KONA KONA SIKHA, a CSR initiative of Kotak Securities in collaboration with NISM for the final year Commerce and Agriculture B.Sc. students from 21 Nov. 2022 to 2 Dec. 2022 in two batches.
Resource Person:
Mr. Vijay Kumar Chilukuri, Director, Muves Consultancy.
No. of beneficiaries/participants: 90.
- A guest lecture on ‘Career Opportunities after Graduation’ for all the second year UG students on 6 March 2023.
Resource Person:
Sanga N L N Sarma, IIM Indore.
No. of beneficiaries/participants: 342.
(a) No. of students trained: UG - 390; PG - 32.
(b) No. of students placed through on/off campus drives: 213.
VI. Governance, Leadership and Management:
(A) The IQAC organised training programmes / workshops / FDP / PDP:
(a) Programmes organised for faculty:
(i) FDP: One-week workshop on ‘Measurement of Attainment of Course Outcomes’ from 5 - 12 July 2022.
Resource Person: Dr. C. Krishnaveni, IQAC Coordinator.
No. of participants/beneficiaries: 55.
(ii) United Board sponsored workshop for faculty & students on ‘Towards a Meaningful Service-Learning: Tips & Strategies’ on 25 & 26 July 2022.
Resource Persons:
Dr.A.S.Priscilla, Asst. Prof of Zoology, Dean, Academic Affairs, Lady Doak College, Madurai;
Dr.G.Jayanthi Kalaiyani, Asst. Prof of Chemistry & Coordinator, Center for Life Frontier Engagement (LiFE), Lady Doak College, Madurai.
No. of participants/beneficiaries: 60.
(iii) FDP: Three-day workshop on ‘Learning through Language Supportive Interactive and Inclusive Pedagogy’ from 12-14 Sept. 2022 in collaboration with US Consulate, Hyderabad.
Resource Persons:
Shannon Smith & Thomas Kral, English Language Fellow
No. of participants/beneficiaries: 52.
(iv) One-day National webinar on ‘Effective Implementation of NEP 2020: Role of Teachers & Institutions’ on 8 Oct. 2022.
Resource Persons:
Prof. K. Rama Mohan Rao, Vice-Chairman, APSCHE;
Prof. G. Soral, Former President, Indian Accounting Association, Formerly at Mohanlal Sukhadia University, Udaipur & Mizoram University, Aizwal;
Prof. Lalhmasai, Chairperson, Dean, School of Education, Mizoram University;
No. of participants/beneficiaries: 269.
(v) PDP on ‘Professionalism, Work Ethics & Ethos for Professional Growth’ on 11 & 12 Nov. 2022.
Resource Persons:
Dr.Sr.Leena Quadras, Administrative Officer;
Dr.D.Ramakrishna, Head, Dept. of Sanskrit;
Mr.Ch.Vijay Kumar, Founder & Managing Director, MUVES Consultancy Services.
No. of participants/beneficiaries: 70.
(vi) Seminar on ‘Gender Audit in HEI’ 1 Dec. 2022.
Resource Person:
Prof. Meenakshi Gopinath, Chair, Centre for Policy Research (CPR) & Director of Women in Security, Conflict Management and Peace (WISCOMP), Padmashri Awardee.
No. of participants/beneficiaries: 70.
(vii) United Board sponsored FDP: Phase I: Five-day Virtual Capacity-Building workshop on ‘Research & Publications in Service-Learning Programmes’ United Board. From 9-13 Jan. 2023.
Resource Persons:
Dr. R. Vijay Solomon, Coordinator, MCC Research Colloquium;
Dr. Tabitha Durai, Dean Research & Development, MCC;
Dr. Paul Wilson, Principal and Secretary, MCC;
Dr. Nirmal Thyagu, Assistant professor of Physics, MCC;
Dr. B. Chinna Muthu, Assistant Professor of Commerce, MCC;
No. of participants/beneficiaries: 51.
(viii) United Board sponsored FDP: Phase II: Two-day Capacity-Building Workshop on ‘Research Methodology & Manuscript Writing on Service-Learning Programmes’ on 25 & 26 April, 2023.
Resource Persons:
Dr.N.Nirmal Thyagu, Assistant Professor of Physics, MCC;
Dr.Feminna Sheeba, Assistant Professor of Computer Applications, MCC;
Dr.Vasupradha, Assistant Professor, Head, Dept. of Communication, MCC;
Dr. Tabitha Durai, Dean Research & Development, MCC;
Dr.Jabarali, Assistant Professor of Statistics;
Dr.R.Vijay Solomon, Coordinator, MCC Research Colloquium;
Dr.U.Senthil Kumar, Assistant Professor of Botany, MCC;
No. of participants/beneficiaries: 52.
(ix) Comprehensive orientation classes and workshop for both staff and students in collaboration with ReferenceGlobe, an Edu-tech platform on 9 – 11 May 2023.
Resource Persons:
Mr. Vinay and Mr. Keshava Rao, Business Development Executive at ReferenceGlobe.
No. of participants/beneficiaries: 60 Staff & 500 Students.
(b) Programme organised for administrative staff:
Workshop on ‘Web Designing’ on 8 Oct. 2022.
Resource Persons:
Mr.Ranadheer Kumar Pallisetti, Managing Director, E-Digital Technologies, Vijayawada;
Mr.Abdul Kareem, Web Designer, E-Digital Technologies, Vijayawada.
No. of participants/beneficiaries: 9.
(c) Programme organised for support staff:
Workshop on ‘Time and Stress Management’ on 12 Nov. 2022.
Resource Persons: Rev. Sr. Sleeva Thumma, Correspondent, Maris Stella College and Dr. V. N. Manga Devi, Head, Department of Telugu, Maris Stella College
No. of participants/beneficiaries: 30
(d) Programmes organized for students:
(i) Workshop on ‘Mind Management and Leadership’ on 20 Sept. 2022, specifically designed for all class representatives.
Resource Person: Mr. Siva Sankar, Freelance Mind Management Trainer, Hyderabad.
No. of beneficiaries/participants: 113.
(ii) Student Induction Programme for I UG students from 26 Sept. to 1 Oct. 2022 featuring a diverse range of sessions covering academics, campus facilities, extracurricular activities, and personality development.
Resource Persons:
Fr. Dhan Paul, Andhra Loyola College, Vijayawada,
Dr. Manasa, Director, Psychiatric Nursing Home, Vijayawada,
Mr. Ashok Kumar, Retd. Bank Manager, SBI, Ahmedabad.
Ms. Shanon Smith, English Language Fellow, USA.
The Correspondent, Principal, Vice-Principals, Librarian, Academic Deans, Students Deans, Director MBA, Head, Dept. of Social Work, and Head, Dept. of Telugu of Maris Stella.
Number of beneficiaries/participants: 250.
(iii) Workshop on ‘Role of Adolescents in Disaster Risk Management and Climate Change Adaptation’ in collaboration with NIDM on 9 Nov. 2022.
Resource Persons:
Dr.Balu.I, Programme Associate and Mr.Ranjan Kumar, Programme Associate, CCDRR Centre, NIDM.
Number of beneficiaries/participants: 452
(iv) Student Induction Programme for newly admitted I MBA students from 9 to 10 Dec. 2022.
Resource Persons:
(a) Dr. Sr. Leena Quadras, Administrative Officer, Maris Stella College.
(b) Mr. Ashok Kumar, Retd. Bank Manager, SBI, Ahmedabad.
(c) Mr. Sunil Rockey, Freelance Soft Skills Trainer, Vijayawada.
(d) Rev. Fr. Bollineni, Counselling Psychologist, Andhra Loyola College, Vijayawada.
(e) Sr. Sahaya Mary, Head, Dept. of Social Work.
(f) Dr. D. Ramakrishna, Head, Dept. of Sanskrit.
Number of beneficiaries/participants: 24
(v) Workshop on ‘Emotional Well-being and Social Harmony’ on 21 Feb. 2023.
Resource Person:
Dr. Jaya Mohan, a renowned psychologist, Delhi University.
Number of beneficiaries/participants: 415.
(vi) Integrated workshop on ‘Emotional Intelligence, Academic Excellence, and Essential Life Skills’ on 25 April 2023.
Resource Person:
Mr. Ranzith Kumar Nukathoti, a Psychologist, Sriharikota.
Number of beneficiaries/participants: 300.
(vii) Workshop on ‘Memory Enhancement Training for Academic Success’ on 26 April 2023.
Resource Person:
Mr. Ranzith Kumar Nukathoti, a Psychologist, Sriharikota.
Number of beneficiaries/participants: 300.
(B) Alumnae Support:
Through their expertise, donations, scholarships, collaborations, and mentorship, alumnae have impacted various aspects of the college. Their involvement has fostered a strong sense of community, inspired students, and enhanced the overall educational experience. Alumnae served as members of the BoS, Academic Council, resource persons and chief guests at different events hosted by the college. Instituted scholarships and provided internships. Their contribution of Rs. 20,91,502 for the growth of the institution is invaluable.
(C) Awards & Recognition and Membership:
(i) The College received an ‘Award of Appreciation’ for imparting knowledge, education and women empowerment from Rotary Midtown, Vijayawada on 25.04.2023.
(ii) In the Education World Rankings 2022, Maris Stella College is ranked 86 at the national level and 11 at the state level.
(iii) Maris Stella was placed 51, 54, and 89 respectively among Arts, Science, and Commerce Colleges in AP and Telangana in The Week Hansa Survey 2023.
(iv) Among Indian colleges of arts, science, commerce, and business administration, the college was ranked 87, 97, 129, and 47 in the year 2023 India Today Rankings.
(v) Participated in India Today rankings and NIRF.
(vi) The college received a membership certificate from DELNET on May 17, 2021, and it was renewed again on June 17, 2022, and June 17, 2023.
(vii) College had acquired NDLI club membership for a period of two years: 04.08.2021 – 04.08.2023.
VII. Institutional Values and Best Practices:
(A) Celebration of Days of National/International Significance:
The IQAC and departments in association with the IQAC celebrated days of National and International significance, commemorative and national festivals in order to assist students, learn and develop a strong sense of cultural identity and to prepare them for life as responsible citizens.
(B) Gender Equity:
(i) The NSS unit organized a 2K walk for ‘Women’s Equality’ on 15 July 2022, advocating for social causes and empowering students.
(ii) Guest Lectures on ‘Girls’ Safety and Security and Legal Perspectives’ were organized by the Department of Social Work & IQAC in collaboration with MAARPU TRUST on 25 July 2022. Resource Persons:
Smt. R. Suez, Director MAARPU TRUST & Former Director of AP Mahila Commission,
Smt. Koteswaramma, Legal Counsellor, DV Cell,
Smt. D. Kalyani, Counselling Psychologist and
Smt. L. Sudha, Social Counsellor.
Number of beneficiaries/participants: 342.
(iii) The IQAC organized a seminar on ‘Gender Audit in HEI’ on 1 Dec. 2022 to give faculty members a deeper understanding of the concept, the method, the components, and the tools associated with gender auditing. Prof. Meenakshi Gopinath, a Padmashree Awardee and former Principal of Lady Shri Ram College, New Delhi, was the resource person.
Number of beneficiaries/participants: 70.
(iv) The Dept. of Journalism in association with the IQAC organized interactive sessions for students and staff with prominent social activist P. Andal Devi, Hyderabad on 28 Feb. 2023. The sessions focused on ‘Promoting Gender Equity in Classrooms’ and ‘Gender Audit to Ensure Justice in HEIs.’
Number of beneficiaries/participants: 250.
(v) Constituted a committee for taking up ‘Gender Audit’.
**Composition:**
Principal – Chairperson
IQAC Coordinator
Three faculty members (One each from Sciences, Arts and Commerce & Management Studies)
Three student representatives (One each from Sciences, Arts and Commerce & Management Studies)
**(C) Green Initiatives:**
(i) A faculty member and 14 Eco-Ambassadors of the Green Club of Maris Stella in collaboration with the Academy of Gandhian Studies, Vijayawada took active part in a ‘Greening and Plantation Drive’ at the Municipal Park in Gurunank Colony, Vijayawada on 1 Oct. 2022 organized by the ‘WOW (Wellness out of Waste) Department of the Academy’.
(ii) Energy efficiency is another focus area of the college’s green initiatives. To reduce electricity consumption, energy-efficient LED bulbs have been installed in common areas.
(iii) To raise awareness about climate change and other environmental issues, the Eco-Ambassadors of the Green Club had interaction with renowned individuals Frederick De Gryse and Patrizia Civetta, founders of the Social Ecology Education Fund, Brussels gaining valuable insights and knowledge about the importance of addressing climate change.
(iv) On Independence Day and Gandhi Jayanthi, the Department of Botany organized mega plantation drive highlighting the importance of tree planting and its positive impact on the environment.
(v) Addressing the issue of e-waste, the IQAC conducted a virtual workshop on ‘Sustainable Electronic Waste Management’. The workshop featured resource persons from the Future Recyclers Foundation in Mumbai, who provided valuable insights on managing electronic waste in a sustainable manner. This workshop aimed to raise awareness among students and faculty about the growing problem of e-waste and its impact on the environment and human health. Ms. Shriya Pitre, Manager of Re Teck, Mumbai was the resource person.
**(D) Other Quality Initiatives:**
(i) **Internal Academic and Administrative Audit:**
The IQAC of the college conducted an Internal Academic and Administrative Audit for the academic year 2022-23 to assess the effectiveness of the institution's various departments and to make recommendations for future quality enhancements in curriculum, teaching-learning, evaluation, research, innovation, extension, and administration from 02.05.2023 to 04.05.2023. A report was prepared with observations and suggestions and was displayed on the College website.
(ii) **Feedback:** The feedback on curriculum and infrastructure facilities which was collected from students, faculty, alumna and employers was analysed and prepared ATR. Also, SSS was done.
(iii) **IQAC External Peer Team Visit:**
The IQAC External three-member Peer Team comprising of Dr. Fr. Francis Xavier. S.J, Director, Andhra Loyola Institute of Engineering & Technology, Dr. Saraswathi Raju Iyer, Head, Department of Sociology and Social Work, Acharya Nagarjuna University and Dr. S. Kalpana, Principal, SDMS Mahila Kalasala, Vijayawada conducted a comprehensive evaluation visit to Maris Stella College on 13 April 2023. During their visit, the team interacted with the college management and faculty members, checked the documentation of the various bodies, cells and processes, while thoroughly reviewing the functioning of both statutory and non-statutory bodies of the institution.
In order to assist students, learn and develop a strong sense of cultural identity and to prepare them for life as responsible citizens, the institution observes days that have social, economic, commemorative, and festive significance.
National festivals are observed to enable students learn about the history and cultural heritage of the nation as well as to promote and uphold social peace. Celebrated Gandhi Jayanthi, Republic Day, and Independence Day in order to teach students about the important and enormous accomplishments made by freedom fighters and their difficult journey towards an independent India.
Teachers Day, National Mathematics Day, National Statistics Day, National Science Day, Constitution Day, Telugu Bhasha Dinotsavam, Hindi Diwas, National Farmers Day, and National Youth Day are all observed to help students reflect on the past, draw inspiration from the lives of great people, and share their ideas about how to make their country proud.
World Water Day, World AIDS Day, International Yoga Day, World Ozone Day, and World Diabetic Day are marked to bring attention to health-related issues.
To enhance awareness of the significance of these days, commemoration of World Tourism Day, National Tourism Day, World Day against Human Trafficking, World Photography Day, World Population Day, Sanskrit Day, World Literacy Day, National Forensic Week, International Education Week, National Press Day, National Security Day, World Computer Literacy Day, World Soil Day, National Consumers Day, International Day of Education, International Women's Day etc. were held.
The IQAC and departments and cells in association with the IQAC celebrated the following days of national and international significance, commemorative days during 2022-23:
Department of Statistics observed **National Statistics Day** on 29 June 2022. The department organized a National-level quiz competition and a poster presentation competition for statistics students from various colleges, as part of the celebration. A total of 192 students participated in the quiz competition, and four students presented their posters.
The Department of Economics in association with the IQAC conducted various competitions such as quiz, essay writing and poster making on the theme ‘A world of 8 billion: Towards a Resilient Future for All - Harnessing Opportunities and Ensuring Rights and Choices for All’ on the occasion of **World Population Day** on 11 July 2022. A guest lecture by Dr. Y. Indira Kumari, former Head, Dept. of Economics, Maris Stella college was arranged as well.
On the occasion of **World Day Against Human Trafficking**, the Dept. of Social Work organized an awareness session on 30 July 2022 in association with the Child Line, Vijayawada.
The Inspire Club of the Department of Physics organized an Inter-Collegiate Physics Inspire Club Meet - 2022 during 6 – 9 Aug. 2022 with the objective of educating and sensitizing young girls about the **nuclear bombings of Hiroshima and Nagasaki** in August 1945. The event aimed to raise awareness among the participants about the devastating impact of weapons and war.
The Dept. of Sanskrit organized **Sanskrit Day** celebrations on 11 Aug. 2022. Dr. VN Manga Devi, the Head of the Department of Telugu, delivered a guest lecture on the topic ‘The Influence of Sanskrit on Telugu’. The lecture was well received by the 210 participants in attendance, highlighting the significance of Sanskrit's impact on the Telugu language.
The Dept. of Economics in collaboration with IQAC organized 75th **Independence Day**. The chief guests were Mrs. Panabaka Rachna, Deputy Collector, Govt. of AP and Dr.A.Bhargava Sekhar IRS, Asst. Commissioner of Income Tax. The mega plantation drive organized by the Department of Botany on Independence Day highlights the importance of tree planting and its positive impact on the environment.
On the occasion of **World Photography Day** on 19 Aug. 2022 the students of Journalism had an orientation on the theme ‘Monsoon Mania’ by Film and Television Institute of Hyderabad (FTIH), at Moghalrajapuram, Vijayawada. On this occasion student took part in the photography competition conducted.
The Department of Telugu observed *Telugu Bhasha Dinostavam* on 25 Aug. 2022. The event aimed to celebrate and promote the Telugu language, fostering awareness and appreciation among students and participants.
The Department of Political Science organised an awareness programme on the Importance of Voting’ on 25 Jan. 2023 in view of National Voters Day.
The Department of English has observed The World Literacy Day on 8 Sept. 2022. As part of this program, 25 final year students along with faculty members of the department had visited the Municipal Corporation Girls High School, Patamata, Vijayawada and provided awareness to the young students on the importance of literacy through different activities like skit, songs and elocution by which they were greatly motivated. To encourage the students, competitions like tongue twisters, songs and word building were conducted. Best performers were given prizes.
The Dept. of Commerce and Management Studies and Student Council organized Teachers Day celebrations on 5 Sept. 2022. As per the guidelines of the UGC the Dept. of Electronics organized an exhibition on ‘Contribution of Teachers in the Indian Knowledge System’ on 9 Sept. 2022 in commemoration of Shikshak Parv. To acknowledge the dignity of the teaching profession and the contribution of teachers in nurturing young minds and nation building, students came up with a chart and model presentation of eminent personalities.
The Department of Hindi organized a guest lecture on the occasion of Hindi Diwas on 14 Sept. 2022.
The NSS unit organised activities focused on character building and values on NSS Day celebrated on 24 Sept. 2022.
15 Oct. 2022 is celebrated as World Students’ Day to commemorate the birth anniversary of Dr. APJ Abdul Kalam, a celebrated Aerospace scientist and former President of India. In view of this, the department of Physics arranged a field visit for all Physics students to the Super Speciality Unit of Government General Hospital, Ring Road, Vijayawada. Ms. Nissy, Bio Medical Engineer, Government Hospital, Vijayawada was the resource person.
The Department of Economics organized World Ozone Day on 16 Sept. 2022 and conducted various activities such as virtual guest lecture, national level quiz, chart exhibition and model presentation.
The Dept. of History organized Gandhi Jayanthi Celebrations on 26 Sept. 2022. The Chief Guest was Dr. Christian Bartoff, President, Gandhian Information Centre, Berlin, Germany and the other speakers included Prof. Prasad Gollapalli, Managing Trustee, Gandhi King Foundation, Hyderabad and Sri Gopala Krishna Murthy, Executive Director cum Member
Secretary of Academy of Gandhian Studies. The Eco Ambassadors of the Green Club joined hands with the Academy of Gandhian Studies in Vijayawada to commemorate Gandhi Jayanthi. Collaboration with the Academy of Gandhian Studies for the greening and plantation drive at the Municipal Park in Gurunank Colony, Vijayawada on Gandhi Jayanthi aligns with the college's mission to promote environmental values inspired by Mahatma Gandhi. The event took place on 1 October, 2022, from 7:30 a.m. to 10:00 a.m. and saw the enthusiastic participation of 14 Eco Ambassador students and a faculty member.
On the occasion of World Tourism Day, the Department of Tourism and Travel Management, in collaboration with the IQAC, organized a guest lecture and cultural program on 27 and 28 Sept. 2022. The event aimed to raise awareness about the importance of tourism and provide valuable insights from industry experts.
The Department of Biochemistry hosted a webinar on ‘Advances in Forensic Sciences and Opportunities for Higher Studies and Jobs’ on 29 Sept. 2022, to commemorate National Forensic Week.
International Education Week was held on 12 Nov. 2022, by the PG Department of Business Administration. ‘Learn Local - Explore Global’ was the topic of a panel discussion.
To commemorate World Diabetic Day on 14 Nov. 2022, undergraduate students of the Biochemistry Department organized an exhibition on the theme ‘Diabetes: Education to Protect the Future.’ The event aimed to raise awareness about diabetes and its impact on the future, emphasizing the importance of education in prevention and management.
On the occasion of National Press Day on 16 Nov. 2022, the students of Journalism visited the Radio Mirchi Studio and interacted with RJ Kavya and on the same day afternoon RJ addressed the students on the topic ‘A Day in the Life of an RJ’ in the college campus.
The NSS unit conducted ‘Communal Harmony Campaign Week’ from 19 - 25 Nov. 2022 promoting peace, harmony, and national integration.
On 26 Nov. 2022, the NCC Naval wing cadets conducted a pledge ceremony as part of the Constitution Day celebrations. The cadets took an oath to contribute towards the development and progress of the nation through their dedication and hard work in various constitution-related fields.
On the occasion of National Security Day, the Department of Computer Science in collaboration with Spypro Security Solutions Pvt. Ltd., organized State Level Technical Event on Ethical Hacking Competitions on 30 Nov. 2022 in the college auditorium.
To commemorate World AIDS Day, NCC Naval Wing cadets went on a rally from Eluru Lakulu to Tummalapalli Khetram, Vijayawada on 1 Dec. 2022. The rally aimed to raise
awareness about HIV/AIDS, promote prevention and support measures, and emphasize the importance of eradicating the stigma surrounding the disease.
The Department of Computer Science observed **World Computer Literacy Day** on 2 Dec. 2022. The day served as a platform to raise awareness about the importance of computer literacy and digital skills in today's technologically driven world. Conducted competitions such as Pop the Question, Just-a-Minute (JAM), Seminar, and Poster Presentation.
Department of Agriculture and Rural Development, organized celebrations and awareness on the occasion of **World Soil Day**. The event included a rally and took place on 5 Dec. 2022.
The Department of Mathematics and Statistics observed **National Mathematics Day** on 19 Dec. 2022, in honour of the eminent Indian Mathematician Srinivasa Ramanujan. The departments held ‘Saankhya-22 - Inter Collegiate Mathematics and Statistics Meet, which featured competitions for quiz, spell bees, powerpoint presentation, and poster presentation.
**National Consumer Day** was organized by the PG Department of Business Administration on 12 Dec. 2022. Guest Lecture, Awareness Programme, Mime and Skit were conducted.
Department of Agriculture and Rural Development, organized a celebration on the occasion of **National Farmers Day** (Kisan Diwas) on 23 Dec. 2022. Felicitation of Innovative organic farmers in and around Andhra Pradesh took place.
The NCC Naval Wing arranged a rally and made a substantial donation to the families of the martyrs on 27 Dec. 2022, to honor **Armed Forces Flag Day**.
The National Cadet Corps (NCC) Army Wing celebrated **National Youth Day** on 12 Jan. 2023 with great enthusiasm. The event aimed to commemorate the birth anniversary of Swami Vivekananda, a prominent youth icon and philosopher. The NCC Army Wing organized various activities and programs to inspire and empower the youth, emphasizing the values of leadership, discipline, and social responsibility.
The Dept. of History and Tourism and Travel Management celebrated **National Tourism Day** on 20 Jan. 2023. Mr. Govinda Rao IAS, Executive Director for Operations APTDC, Govt. of A.P. was the chief guest for the programme. A folk dance competition was conducted.
The Department of Economics in association with IQAC has organized poster making and essay writing competitions on 24 Jan. 2023 on the day of **International Education Day**. 15 Students from BA, HEP & SW group presented skit on the importance of Education.
Celebrated the **National Voters’ Day** on 25 Jan. 2023. On this occasion, an awareness programme was organized by the in the college to highlight the importance of voting in a democracy.
Republic Day Celebrations were organized by the Department of History, Tourism and Travel Management and the two wings of NCC (Army and Naval). Dr. Sr. Leena Quadras, Academic Officer, addressed the students and encouraged them to give their best to the nation and to be responsible citizens. Sr. Sleeva Thumma, the college correspondent greeted the students.
The Inspire Club of Maris Stella celebrated National Science Day on 28 Feb. 2023. The theme for National Science Day 2023 was ‘Global Science for Global Well-being.’
The Women Empowerment Cell celebrated International Women’s Day on 8 March 2023. The theme for International Women’s Day 2023 is ‘DigitALL - Innovation and technology for gender.’ A guest lecture and student presentations on the theme were held.
The Dept. of Agriculture and Rural Development celebrated International Year of Millets 2023 (IYOM2023) on 18 March 2023 to bring awareness about the importance of Millets and sow Foxytle, Pearl, Finger, Little Millets in the college agriculture field.
Analysis of potable groundwater samples of our students’ locality is carried out in the Chemistry Lab on 21 March 2023 on the occasion of World Water Day. Twenty water samples were collected from different localities of students’ and analyzed for total hardness, conductivity, pH, and alkalinity.
On the occasion of World Water Day, Eco-Ambassadors of Green Club organized an awareness programme with the theme ‘Accelerating Change’ for the I Degree students on 21 March 2023.
The Quality Assurance Initiatives of the institution include:
- Regular meetings of the IQAC.
- Preparation of annual plans of action, minutes of the meetings and action taken reports, annual IQAC reports, and college activities register.
- Ensuring credible assessment and evaluation processes.
- Organization of intra- and inter-institutional workshops and seminars on quality-related themes and promotion of quality circles.
- Documentation of various programmes / activities leading to quality improvement.
- Collecting feedback on curriculum, teaching-learning and evaluation, infrastructure facilities, student support from the stakeholders, analyzing, preparing plan of action and implementing it for improvement of the institution.
- Organizing FDPs, PDPs, Training programmes, and Awareness programmes for teaching, and non-teaching staff.
- Organizing Workshops, Orientation and Awareness programmes for students.
- Developing and maintaining of institutional database.
- Coordinating the quality-related activities of the institution.
- Curriculum Revision and New Courses / Programmes.
- Research and Infrastructure development.
- Conducting Academic and Administrative Audit (Internal & External).
- Facilitating collaborative quality initiatives with other institutions.
- Participating in NIRF and India Today rankings.
- Facilitating quality audits: Green, energy, environment audits, Gender audit, Disabled Friendly audit etc.
- Submitting AQAR to the NAAC.
MoUs
Six new Memorandums of Understanding (MoUs) were signed with institutions and industries for collaborative initiatives in skill development, internships, training, research and extension activities.
Signed an MoU with the
- Anoor Test Labs & Engineering Services Pvt. Ltd. on 14.09.2022 to establish specific skill development programmes, extend lab and infrastructure facility in the area of agriculture and rural development, serve as guest faculty, and to provide internships, and arrangement of visits to the labs.
- College of Social Work, Nirmala Niketan, Mumbai on 24.10.2022 for research collaboration, faculty exchange programmes, student exchange programmes, promotion of integrated studies for related studies, conduct of cultural projects, study tours, conduct of workshops and seminars etc.
- Thanusri Mushrooms on 12.10.2022 to provide internships, exchange of ideas and expertise in mushroom cultivation, innovative ideas in marketing and self-employment, hands-on experience on mushroom cultivation.
- Wido Technologies Pvt. Ltd. on 01.11.2022 for hosting seminars and workshops, internship and placement assistance, live academic projects for commerce students.
- Pasteur Education and Research Training Laboratory, Guntur on 22.11.2022 to provide internship programmes, exchange of ideas and expertise in research methodology, innovative ideas in research and self-employment, hands on experience in instrumentation.
- Edu-Tech company, ReferenceGlobe in order to offer staff and students a single step integrated digital platform with ERP, CRT and LMS as part of e-Governance on 27.03.2023.
FDPs/Training Programmes / Workshops on Quality: Organized by IQAC
For Faculty:
- FDP: One-week workshop on ‘Measurement of Attainment of Course Outcomes’ from 5 - 12 July 2022.
- United Board sponsored workshop for faculty & students on ‘Towards a Meaningful Service-Learning: Tips & Strategies’ from 25 - 26 July 2022.
• FDP: Three-day workshop on ‘Learning through Language Supportive Interactive and Inclusive Pedagogy’ from 12-14 Sept. 2022 in collaboration with US Consulate, Hyderabad.
• One-day National webinar on ‘Effective Implementation of NEP 2020: Role of Teachers & Institutions’ on 8 Oct. 2022.
• PDP on ‘Professionalism, Work Ethics & Ethos for Professional Growth’ on 11 & 12 Nov. 2022.
• Seminar on ‘Gender Audit in HEI’ 1 Dec. 2022.
• United Board sponsored FDP: Phase I: Five-day Virtual Capacity-Building workshop on ‘Research & Publications in Service-Learning Programmes’ United Board. From 9-13 Jan. 2023.
• United Board sponsored FDP: Phase II: Two-day Capacity-Building Workshop on ‘Research Methodology & Manuscript Writing on Service-Learning Programmes’ on 25 & 26 April, 2023.
For Administrative Staff:
• Workshop on ‘Web Designing’ on 8 Oct. 2022.
For Non-Teaching Staff:
• Workshop on ‘Time and Stress Management’ on 12 Nov. 2022
Collaborative Quality Initiatives with other Institutions
• Guest Lectures on ‘Girls’ Safety and Security and Legal Perspectives’ in collaboration with MAARPU TRUST on 25 July 2022.
• Two-day ‘Leadership Training Camp’ on 22-23 August, 2022 in collaboration with MR Pai Foundation Mumbai.
• ‘One-month Income-Generating Training Programme for Women’ from 12 Sept. -11 Oct. 2022 in collaboration with the ALEAP and HL Human Foundation.
• A ‘Boot Camp’ for entrepreneurial development, on 17 Sept. 2022 in collaboration with the SRM University.
• ‘English Access Microscholarship Programme’ on 13 Oct. 2022 in collaboration with the U.S. Consulate, Hyderabad.
• Workshop on ‘Role of Adolescents in Disaster Risk Management and Climate Change Adaptation’ in collaboration with NIDM on 9 Nov. 2022.
• Ten-hours training programme on ‘Financial Education for Young Citizens’ as part of the KONA KONA SIKHA, a CSR initiative of Kotak Securities in collaboration with NISM for the final year Commerce and Agriculture B.Sc. students from 21 Nov. 2022 to 2 Dec. 2022 in two batches.
• Workshop on ‘Electronic Waste Management’ in collaboration with Future Recyclers Foundation, Mumbai on 22 Feb. 2023.
• Five-day training programme on ‘Food Processing and Marketing’ an outreach programme on 22 - 27 Feb. 2023, in collaboration with the ALEAP.
• A workshop on ‘Incubation and Sensitizing the Students on Ideation and Government Funding Schemes’ on 14 Mar. 2023 in collaboration with MEITY & ALEAP.
• Comprehensive orientation classes and workshop for both staff and students in collaboration with ReferenceGlobe, an Edu-tech platform on 9 - 11 May 2023.
**Orientation/Training Programmes on Quality Organized**
**For Students:**
• Two-day training programme on ‘Soft Skills and Resume Building’ for the final year UG students on 25-26 July 2022.
• A workshop on ‘Start-up Dynamics & Strategies’ on 17 Sept. 2022.
• Workshop on ‘Mind Management and Leadership’ on 20 Sept. 2022, specifically designed for all class representatives.
• Student Induction Programme for newly admitted I UG students from 26 Sept. to 1 Oct. 2022.
• A webinar on ‘Designing of Cloud’ on 5 Dec. 2022.
• Student Induction Programme for newly admitted I MBA students from 9 to 10 Dec. 2022.
• Workshop on ‘Emotional Well-being and Social Harmony’ on 21 Feb. 2023.
• State-Level webinar on ‘Revolutionizing Connectivity: An Introduction to the Capabilities of 5G Technology’ on 25 Feb. 2023.
• Interactive sessions on ‘Promoting Gender Equity in Classrooms’ and ‘Gender Audit to Ensure Justice in HEIs’ for students and staff on 28 Feb. 2023.
• A guest lecture on ‘Career Opportunities after Graduation’ for all the second year UG students on 6 Mar. 2023.
• Workshop on E-filing of Returns on 17 Mar. 2023.
• Integrated workshop on ‘Emotional Intelligence, Academic Excellence, and Essential Life Skills’ on 25 April 2023.
• Workshop on ‘Memory Enhancement Training for Academic Success’ on 26 April 2023.
**Academic and Administrative Audit**
The IQAC conducted an Internal Academic and Administrative Audit for the academic year 2022-23 from 2 May to 4 May 2023.
**NIRF Ranking**
Submitted Institute Data for NIRF-2022 to take part in NIRF ranking’.
**ISO Certification**
The college was awarded with a certificate for Providing Quality Education by HYM International Certifications Pvt. Ltd.
Issue Date: 21.12.2021.
Renewal Date: 20.12.2024.
The college was awarded with Gender Sensitization Audit Certification by HYM International Certifications Pvt. Ltd.
Issue Date: 26.03.2022.
Renewal Date: 25.03.2023.
The college was awarded with Good Hygiene Practices Certification by HYM International Certifications Pvt. Ltd.
Issue Date: 05.08.2021.
Renewal Date: 04.08.2022.
Certified ISO 14001: 2015 for Implementation of Greenery and Environmental Promotion Activities by HYM International Certifications Pvt. Ltd.
Issue Date: 26.03.2021
Renewal Date: 25.03.2024
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*Signature*
**PRINCIPAL**
MARIS STELLA COLLEGE
VIJAYAWADA-520 008
The IQAC takes considerable effort to ensure the participation of the staff in Faculty Development Programmes (FDP), Professional Development Programmes (PDP), Refresher Courses (RC), Orientation Courses (OC), Induction Programmes (IP), Short Term Courses (STC) conducted by Academic Staff Colleges.
| Department (UG & PG) | FDP/PDP |
|-------------------------------|---------|
| Languages | - |
| Arts | - |
| Physical Sciences | 8 |
| Life Sciences | 6 |
| Commerce & Management Studies | - |
| Business Administration | 2 |
| **Total** | **16** |
The IQAC conducts FDPs, PDPs, Training Programmes, and Workshops for the faculty to improve their professional knowledge and competence.
| | FDP | PDP | Workshops | Seminars/Webinars | Training Prg | Orientation Programmes | Induction Programmes |
|----------------------|-----|-----|-----------|-------------------|--------------|------------------------|----------------------|
| Teaching Staff | 4 | 1 | 1 | 2 | - | 1 | - |
| Administrative Staff | - | - | 1 | - | - | 1 | - |
| Non-Teaching Staff | - | - | 1 | - | - | - | - |
| Students | - | - | 9 | 2 | 4 | 9 | 2 |
The faculty are also encouraged to attend Training Programmes (TP), Workshops (WS), Conferences (Conf.), Seminars/Webinars (National & International) organized by the other institutions and take-up Certificate Courses for professional development.
| Department (UG & PG) | TP/WS/Conf./Sem./Web./FDPs/Certificate Courses done |
|---------------------------------------|-----------------------------------------------------|
| Languages | 21 |
| Arts | 29 |
| Physical Sciences | 107 |
| Life Sciences | 61 |
| Commerce & Management Studies | 26 |
| Business Administration | 11 |
| **Total** | **255** |
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**Principal**
**Maris Stella College**
**Vijayawada-520 008**
The objective of the Academic and Administrative Audit (AAA) is to assess the effectiveness of the institution's various departments and to make recommendations for future quality enhancements in curriculum, teaching-learning, evaluation, research, innovation, extension, and administration.
The IQAC of the college conducted an Internal Academic and Administrative Audit for the academic year 2022-23, from 02.05.2023 to 04.05.2023 to review the quality of the academic process in the college and to assess the efficiency of its administrative practices.
The format, ‘Departmental Data’, a self-study report from each department, of its performance during the academic year 2022-23 on curricular aspects, teaching-learning and evaluation, research, innovation and extension, student support and progression, best practices and distinctiveness was submitted by each department with valid documents to support claims.
**Members of the Internal AAA:**
1. Dr. Sr. Jasinthia Quadras, Chairperson, IAAA
2. Dr. Sr. Leena Quadras, Academic Officer
3. Ms. K. Hannah Anuhya, Vice-Principal
4. Dr. S. Vanilatha, Dean, Academic Affairs
5. Ms. A. Jyothsna Valentina, Dean, Academic Affairs
6. Dr. G. Little Flower, Head, Dept. of Physics & Dean, Student Affairs
7. Dr. K. Naga Sundari, Director, MBA
8. Dr. B. Josephine Sandhya Rani, Head, Dept. of Economics
9. Dr. C. Krishnaveni, IQAC Coordinator & Coordinator, IAAA
| S. No. | Department | Date | Time |
|-------|---------------------------------------------------------------------------|------------|---------------|
| Day 1 | English; Telugu; Sanskrit; Hindi | 02.05.2023 | 9.00 am - 11.00 am |
| | History; TTM; Economics; Political Science | | 11.00 am - 1.00 pm |
| | Social Work; Journalism; Mathematics; Statistics | | 2.00 pm - 4.00 pm |
| Day 2 | Physics; Chemistry; Computer Science; Electronics | 03.05.2023 | 9.00 am - 11.00 am |
| | Botany; Zoology; Food Science & Technology; Microbiology | | 11.00 am - 1.00 pm |
| | Biochemistry; Biotechnology; Agriculture & Rural Development | | 2.00 pm - 4.00 pm |
| Day 3 | Commerce & Management Studies; MBA; Library & Information Sciences | 04.05.2023 | 9.00 am - 11.00 am |
| | Examination Section; Administrative Office; IT Department | | 11.00 am - 1.00 pm |
| | Physical Education; NSS; NCC; STARS; Cells / Committees | | 2.00 pm - 4.00 pm |
Each department had 20 minutes to use PowerPoint to present their "Departmental Data" and the department's strengths, weaknesses, Opportunities and challenges.
The committee reviewed the "Departmental Data" of each department and made notes on its findings and suggestions for an academic framework that prioritises quality. The committee also reviewed the records and documentation that each department (both individual and departmental) and the committee are required to keep and update in accordance with the check list.
The IQAC was presented with the Internal AAA report in order to examine the actions of the departments and the institution and to create a strategy for carrying out the recommendations.
Maris Stella College is a vibrant educational institution that stands out for its progressive curriculum, cutting-edge infrastructure, and unwavering commitment to student development and support.
1. Curriculum Excellence:
1.1 Autonomy: Maris Stella College operates with academic autonomy, empowering the institution to design and revise its curriculum to align with evolving educational needs and global trends. The college employs a semester-based academic structure, promoting a dynamic and focused learning approach throughout the academic year.
1.2 Updated Curriculum: Maris Stella College emphasizes the continual evolution of its curriculum, ensuring that it remains relevant and incorporates the latest advancements in various disciplines.
1.3 Whole-person Education: Beyond academics, the college is committed to nurturing students holistically, focusing on character development, soft skills, and ethical values.
1.4 Distinguished Faculty: The institution boasts a faculty of accomplished educators who are both highly qualified and experienced, ensuring top-quality education for its students.
1.5 Experiential Learning: Students engage in field trips, study tours and industrial visits, enabling them to gain practical insights into real-world applications of their studies.
1.6 Hands-on Training: The college emphasizes participative learning, offering experiential opportunities that bridge the gap between theory and practice.
1.7 Holistic Engagement: Co-curricular and extra-curricular activities abound, encouraging students to explore their talents, interests, and passions beyond the classroom.
1.8 Skill Enhancement: Capacity development and skill enhancement programmes are integral to the curriculum, preparing students with the practical skills demanded by the job market.
1.9 Career Guidance: Maris Stella College provides comprehensive career guidance and placement support, assisting students in making informed decisions about their professional trajectories.
1.10 Mentoring and Counseling: Students benefit from personalized mentoring and counseling services, fostering their emotional well-being and academic success.
1.11 Value Added Courses: An array of value-added certificate courses supplements the core curriculum, equipping students with specialized skills and knowledge.
1.12 Internship Opportunities: The college facilitates internships, enabling students to gain real-world experience and establish connections within their chosen fields.
1.13 Community Engagement: Maris Stella College promotes community service, service-learning, and outreach programmes via STARS, and green initiatives reflecting environmental responsibility instilling a sense of social responsibility and civic engagement.
2. Infrastructure Facilities:
2.1 Advanced Connectivity: The campus is fully WiFi-enabled, providing students with seamless access to online resources and learning platforms.
2.2 Cutting-edge Laboratories: Well-equipped laboratories offer students hands-on experience and practical training in various scientific disciplines.
2.3 Modern Infrastructure: The college boasts excellent facilities that provide a conducive environment for effective teaching, learning, and research.
2.4 Digital Library: A digital library with internet access empowers students to conduct research and access a wide range of academic resources.
2.5 Smart Classrooms: Classrooms are spacious, well-ventilated, and equipped with WiFi connectivity and modern teaching aids, enhancing the learning experience.
2.6 Comprehensive Accommodation: Hostel facilities cater to the needs of outstation students, offering a secure and comfortable living environment.
2.7 Green Campus: The lush green campus serves as a serene backdrop for intellectual growth and personal development.
2.8 Skill Development Centers: E-Learning and Skill Development Centers enable students to enhance their technical and vocational skills.
2.9 Athletic Facilities: Sports facilities, including a sports ground, indoor stadium, and gymnasium, promote physical well-being and sportsmanship.
2.10 Canteen & RO Plants: The college provides a canteen and clean drinking water via RO plants for staff and students.
2.11 Convenience Services: On-campus amenities include a bank, stationery and photocopy center, ensuring students' practical needs are met.
2.12 Modern Learning Environments: Virtual and digital classrooms utilize technology to enhance the educational experience.
2.13 Accessibility: Lifts and ramps ensure that the campus is accessible to all students, and staff regardless of mobility challenges.
2.14 Sustainability: Solar panels contribute to the college's commitment to environmental sustainability.
2.15 Safety Measures: Fire extinguish services are in place to ensure the safety and security of all students and staff.
3. Comprehensive Student Support:
3.1 Sports and Wellness: The college promotes physical fitness and well-being through sports and games, enhancing students' overall health.
3.2 Language Enhancement: Collaboration with the US Consulate brings English language programmes, improving students' communication skills.
3.3 Engagement with Parents: Regular parent-teacher meetings foster a strong partnership between the college and families.
3.4 Citizenship Programs: Participation in organizations like NCC (Army & Naval) and NSS cultivates leadership, discipline, and community service.
3.5 Student Clubs: Specialized clubs cater to students' interests in arts, science, commerce, and literature, promoting camaraderie and skill development.
3.6 Cultural Enrichment: The college hosts cultural and literary activities, celebrating diversity and nurturing creativity.
3.7 Resource Access: A book-bank facility ensures that students have access to essential academic resources.
3.8 Nutritional Support: Mid-day meals contribute to students' well-being, ensuring they receive proper nourishment.
3.9 Academic Assistance: Remedial coaching and peer teaching initiatives provide additional academic support to students who need it.
4. Research:
4.1 Guideship: The PG Department of Business Administration achieved recognition as a 'Research Centre' by Krishna University, with three faculty members gaining recognition as research supervisors. This recognition speaks to the college's commitment to promoting research and contributing to academic advancements.
4.2 MoUs: The institution signed two new and renewed some of the existing Memorandums of Understanding (MoUs) to foster collaborative activities.
4.3 Publications: The college's emphasis on research is evident through a substantial number of research publications in reputed journals and books.
4.4 FDPs & Training: The institution also demonstrates dedication to nurturing students' leadership and professional skills through various training and leadership programmes. Faculty Development Programmes and training programmes, as well as research activities, underscored the institution's commitment towards faculty and student development.
5. Awards & Recognition:
5.1 The College received an 'Award of Appreciation' for imparting knowledge, education and women empowerment from Rotary Midtown, Vijayawada on 25.04.2023.
5.2 In the Education World Rankings 2022, Maris Stella College is ranked 86 at the national level and 11 at the state level.
5.3 Maris Stella was placed 51, 54, and 89 respectively among Arts, Science, and Commerce Colleges in AP and Telangana in The Week Hansa Survey 2023.
5.4 Among Indian colleges of arts, science, commerce, and business administration, the college was ranked 87, 97, 129, and 47 in the year 2023 India Today Rankings.
Other observations:
1. Less Industry - Academia
2. Weak in revenue generation from consultancy and corporate training
3. Weak in resource mobilization
4. Less student pursuing higher studies
5. Less patents
Recommendations:
1. Scope for funded National / International Level conferences and Symposia
2. Scope to take up funded research projects
3. Scope to generate e-content
4. Scope for interdisciplinary and sponsored / funded projects
IQAC Report on Results: 2022-23
PG programmes registered 100% results while Degree programmes registered 88.05% for the academic year 2022-23.
UG Programmes
B.A
| Semester | Appd. | Passed | Pass % |
|----------|-------|--------|--------|
| I | 113 | 79 | 69.91 |
| II | 113 | 98 | 86.73 |
| III | 101 | 83 | 82.18 |
| IV | 113 | 93 | 82.30 |
| V | 112 | 99 | 88.39 |
B.COM
| Semester | Appd. | Passed | Pass % |
|----------|-------|--------|--------|
| I | 79 | 54 | 68.35 |
| II | 81 | 69 | 85.19 |
| III | 74 | 58 | 78.38 |
| IV | 77 | 47 | 61.04 |
| V | 79 | 63 | 79.75 |
### BMS
| Semester | Appd. | Passed | Pass % |
|----------|-------|--------|---------|
| I | 9 | 6 | 66.67 |
| II | 9 | 9 | 100.00 |
| III | 7 | 5 | 71.43 |
| IV | 8 | 6 | 75.0 |
| V | 8 | 7 | 87.50% |
### BBA
| Semester | Appd. | Passed | Pass % |
|----------|-------|--------|---------|
| I | 18 | 13 | 72.22 |
| II | 18 | 18 | 100.00 |
| III | 18 | 13 | 72.22 |
| IV | 18 | 14 | 77.78 |
| V | 17 | 13 | 76.47 |
### B.Sc
| Semester | Appd. | Passed | Pass % |
|----------|-------|--------|---------|
| I | 232 | 182 | 78.45 |
| II | 242 | 221 | 91.32 |
| III | 226 | 189 | 83.63 |
| IV | 241 | 183 | 75.93 |
| V | 233 | 197 | 84.55 |
## PG Programmes
### 2021 Batch
#### MBA
| Semester | Appd. | Pass | Pass% |
|----------|-------|------|-------|
| I | 31 | 31 | 100.00|
| II | 31 | 31 | 100.00|
| III | 31 | 31 | 100.00|
| IV | 31 | 31 | 100.00|
---
**PRINCIPAL**
MARIS STELLA COLLEGE
VIJAYAWADA-520 008
Transparency and prompt service and information delivery are the primary goals of e-governance. Some of the fundamental principles on which the idea of e-governance relies and finds its foundation are convenience, quick and less expensive communication, transparency, accountability, improved customer services, and increased access to information. For the benefit of all stakeholders, information and communication technology (ICT) is being used in the institution as a platform to promote shared workspace and resources, better information access, collaborative teaching and learning, new methods of assessment and evaluation, and a stronger administration and management system.
**Academics: Teaching-Learning & Evaluation**
Staff and students use smartphones to utilize the benefits of modern-day technologies available in the field of higher education. Both staff and students on campus have access to fast internet and WiFi.
The various documents such as attendance records, teaching diaries, mark registers, course schedules, mentoring records, result analysis, action taken reports, departmental and institutional activities registers, stock registers etc. have been maintained in electronic form. Open-source software has been used to prepare faculty and student timetables.
Weblinks to ICT-enabled teaching, learning, and assessment tools, as well as e-resources, are provided on the College website to make them easier for staff and students to browse and use. Google Apps are widely used for effective teaching-learning and evaluation, feedback analysis and storing data. Assessment tools such as Mentimeter, Slido, Socrative, quizizz etc. are used effectively for computer-based testing.
For a better learning experience, regular classroom activities use infrastructure including computer laboratories, virtual classrooms, virtual cum digital classroom, a digital lab with 30 computers, a laptop, and a whiteboard, English language labs, and whiteboards.
As College had subscribed to Google Education and Microsoft Teams, the Meet App is used to conduct classes online, to hold meetings, webinars, workshops, training programmes, virtual conferences, etc. WhatsApp is used for communication of information and knowledge sharing among different groups such as Management-Faculty, Management-Staff, Faculty-Students, Examination Section-Faculty etc.
The college website is managed by the website committee using the resources at their disposal, and it features high-quality content and up-to-date information.
**Examinations**
The successful implementation of IT integration in the examination section showcases various components that have enhanced efficiency and effectiveness. The key features include:
- **Digital Camera Utilization**: The introduction of digital cameras has enabled the monitoring of confidential work, ensuring the secure handling of sensitive information.
- **Spreadsheet Implementation**: A comprehensive spreadsheet system has been implemented to record marks for short-term and semester internships, as well as community service projects. Additionally, soft copies of students' project reports are stored in Google Drive, providing easy access and collaboration.
- **Communication through PowerPoint Presentations**: Rules and regulations pertaining to examinations are effectively communicated to students through engaging PowerPoint presentations during orientation sessions, ensuring clarity and understanding.
- **WhatsApp Group for Information Sharing**: A dedicated WhatsApp group has been established to facilitate seamless information sharing between faculty and students regarding examinations, ensuring timely updates and notifications.
- **Online Submissions of Question Papers**: The introduction of an online system allows examiners to submit question papers electronically for both internal and external assessments, ensuring streamlined and efficient assessment processes.
- **Effective Examination Management System**: An advanced examination management system has been implemented, supporting various examination initiatives and reforms. This system facilitates online registration and payment of examination fees by students, streamlining the administrative process.
- **Portal for Attendance and Internal Marks**: Faculty members can conveniently enter attendance and internal marks information in a dedicated portal. Students, using their login
credentials, can access this portal to view their attendance records and internal marks, promoting transparency and easy access to academic information.
- Portal for Hall Tickets and Examination Results: A user-friendly portal enables students to download their hall tickets and view their examination results, providing them with quick and convenient access to these essential documents.
The integration of these IT components has significantly improved the overall governance and management of the examination section, enhancing efficiency, transparency, and accessibility for both faculty and students.
**Administration**
The College signed an MoU in March 2023 with the ReferenceGlobe, an Edu-Tech Company which provides ‘One Stop and Integrated Digital Platform’ and offers ERP, LMS, CRT, NAAC accreditation, Mentoring and Feedback and Alumni modules. A three-day workshop and orientation sessions were conducted for the faculty and the I year students on the same.
**Training and Placement Module:**
- As a part of Training and Placement Module, a Campus Recruitment Training (CRT) programme which includes a lot of tests ranging from general awareness to aptitude are provided on the platform.
- Students can login from their accounts and write the tests and keep a track of their performance.
- The Training and Placement Officer (TPO) can also keep track of the students’ performance from her login.
- The TPO can also put up some tests apart from those offered on the platform.
- In addition to CRT, students also get to know the various recruitment drives that are being conducted by different companies.
- ReferenceGlobe itself has tieups with some companies and interested students can participate in the recruitment drives conducted by those companies through the platform.
- The TPO can also send alerts to the students regarding various recruitment drives either on/off campus through the platform.
Learning Management System (LMS) Module:
- The LMS module enables the staff to promote digital learning on the platform through various means.
- Unlike the conventional teaching process, the staff can make use of the audio-visual medium to make the students understand better.
- On the platform, the staff can (i) share and upload the relevant notes and videos (ii) upload course schedule, teaching dairy and lesson plans (iii) conduct assignments for the students (iv) share external sources such as videos from YouTube (v) keep a track of the students’ performance and much more.
The staff got a first-hand experience of the LMS through the workshop and orientation sessions that were conducted in the college.
Academic Course Module:
- Academic Course Module can be called a subset of the LMS as the entire syllabus including certificate and value added courses are uploaded on the platform.
- Students and Staff opt their respective courses for the respective semesters. This helps the staff to identify students available for a particular course in a particular semester.
- The staff can then share the notes and other resources available for that particular course on the platform as a part of LMS.
- The platform has readymade material and question banks available for some of the courses.
- Students can go through these material and question banks which are available on the platform apart from the class notes.
Mentoring Module:
- The mentoring module allows the students to get mapped to their mentors.
- The mentors can keep track of the mentoring sessions and the mentoring given to students.
Feedback Module:
- There are various feedback forms that are designed to get the feedback from different stakeholders.
- All these templates are uploaded on the platform and the students can give their feedback using this module.
Enterprise Resource Planning (ERP) Module:
- The ERP Module which is the heart of the entire administration covers every aspect of the student right from the admission to the fee payment and to very end where the student gets the TC and moves out from the college.
- ERP basically consists of (i) Admission (ii) Fee (iii) Attendance (iv) Examination (v) Library and (vi) Hostel Modules
- It is being customized according to the needs of the college and is expected to be delivered soon.
Alumnae Module:
- Alumnae Module which connects the past students of not only this college but from the students across different colleges is yet to be delivered.
Finance
The institution continues to use Wings Accounting software since 2003, for all finance and accounting purposes. Scholarships are awarded using Jnanabhumi site login credentials.
Admissions
For full-fledged online admissions, the college has improved the online admissions platform. The Admission Module is where applications are sold, fee receipts are created, and student information is entered. The admission register in the admission module also generates Transfer Certificates and Study Certificates (group-wise).
The college website has a link for online application. Students fill out the application page's details online through the web portal, pay the application cost, and submit their application. Students pay their college tuition online, and a report that includes information on applications and payments is available for download.
Library
The MoU with DELNET was extended in order to support the latter's union catalogues, archives, full-text digital library resources, and other database online resources and services. e-books, e-articles, e-lectures, and other digital information are available to faculty and students through DELNET, NList, etc.
The College became a member of the NDLI club to provide e-resources to the teachers, staff, and students. The Calibre e-books are made available on the library blog for reading and downloading.
The e-Learning Centre in the library block provides students with facilities to browse and learn. Fifty-six desktops are available for students to take online certificate courses, visit various websites for their study projects, and assignments and make presentations.
|
Dear Sir or Madam,
I beg to enclose you a copy of the statement re The League of Nations and Slavery which I have been impelled to prepare through studying Lady John Simon's terrible exposure of Slavery, as still carried on in many parts of the world, and the reports of the League of Nations re the Slavery Conventions. I implore your sympathetic consideration of this statement and your earnest co-operation in enlisting the enthusiastic help of all your friends and of any organisations and their Leaders you are connected with or can influence so that public opinion in Christendom may be aroused, informed and focussed concerning this crucial question of Slavery until this wicked and cruel traffic shall no longer be tolerated.
Already I have received most kind assurances of interest and sympathy from the Archbishops of Canterbury and York, the Archbishop of Dublin, the Archbishop of Nova Scotia, who has kindly promised to submit the subject to the consideration of the Bishops of his Province, the Archbishop of New South Wales and from the Archbishop of the West Indies, who promptly responded by taking energetic action to arouse interest in this effort. Also very kind and encouraging replies have been received from the following Denominational and other Leaders and the Secretaries of National Organisations - some of which have already passed resolutions unanimously.
Rev. J.H. Rushbrooke, M.A., D.D., Secretary Baptist World Alliance.
Rev. M.E. Aubrey, M.A., Secretary The Baptist Union of Great Britain and Ireland.
Rev. P.B. Hawkridge, Convenor of The Religion and Morals Committee of the Presbyterian Church of England.
Rev. Ernest G. Braham, M.A., Secretary National Sunday School Union.
Rev. E.R. Squire, Secretary C.E. Union of Great Britain and Ireland.
Rev. Robert Bond, D.D., Secretary The Methodist Conference.
Rev. George Allen, B.A., Secretary Young Methodism Federation.
Rev. Sidney M. Berry, M.A., D.D., Secretary Congregational Union of England and Wales.
Rev. J.W. Tuffley, General Secretary, The Brotherhood Movement.
Harold Clayton, Esq., C.I.E., Secretary Church of England Men's Society.
F.J. Chamberlain, Esq., C.B.E., General Secretary, National Council Y.M.C.A.
H.L. Hemmens, Esq., Secretary, Baptist Laymen's Missionary Movement.
Rev. E. A. Payne, B.A., B.D., B.Litt., President Baptist Young Men's Movement.
Rev. Peter Hughes Griffiths, President General Assembly of The Presbyterian Church in Wales.
Rev. P.T.R. Kirk, General Director Industrial Christian Fellowship.
Rev. Thomas Naylor, B.A., Secretary Ministerial Training Committee of Methodist Church.
Rev. A.F. Blandford, Secretary Congregational Union of Jamaica.
Rev. W.E. Atkinson, Secretary Union of Regular Baptist Churches of Ontario and Quebec.
Rev. C.E. MacLeod, Secretary The Baptist Convention of Ontario and Quebec.
A.G. Ward, Esq., Secretary Pentecostal Assemblies of Canada.
Rev. Absalom Deans, B.A., Secretary Congregational Union of Australia.
Rev. E. Middleton Weaver, Chairman Methodist Missionary Society North Ceylon District.
Rev. Wm. L. Patison, Ministerial Secretary Congregational Union of New South Wales.
Dr. Harold A. Moody, President The League of Coloured Peoples.
Rev. F. G. Tucker, Acting Chairman and General Superintendent The Methodist Missionary Society Sierra Leone District, West Africa.
F. A. Allen, Esq., Hon.Secretary, Congregational Union of Tasmania.
Rev. Harry Johnson, Secretary and Moderator The Congregational
Union of New Zealand.
Rev. Arthur C. File, Secretary The Methodist Church of South Africa.
Rev. E.J. Stacy, General Secretary Congregational Union of South
Australia.
Rev. Arthur J. Barclay, Secretary-General, General Conference
Methodist Church of Australasia.
Bishop H. Lester Smith, Secretary, Board of Bishops, Methodist
Episcopal Church, America.
Rev. John A. Ingham, D.D., Stated Clerk, General Synod of the
Reformed Church in America.
Rev. Lewis S. Mudge D.D., L.L.D., Stated Clerk, The Presbyterian
Church in the United States of America.
Rev. O.H. Milligan, D.D., Clerk, The General Assembly of the United
Presbyterian Church of North America.
Miss A. Honora Enfield, Secretary, International Co-operative
Women's Guild.
Miss Doris M. Rose, Secretary, Baptist Women's League.
Miss E. Horscroft, Secretary, Women's International League.
Miss Mary A. Dingman, President, Disarmament Committee of the
Women's International Organisations and Ex-Associate
General Secretary, World's Young Women's Christian
Association.
Robert M. Hopkins, Esq., D.D., L.L.D., General Secretary, World's
Sunday School Association, New York.
Rev. Alfred Williams Anthony, Corresponding Secretary, General
Conference of Free Baptists, America.
Miss Katherine Bompas, Headquarters Secretary International
Alliance of Women for Suffrage and Equal Citizenship.
Rev. L.K. Williams, President Board of Directors, National Baptist
Convention United States of America.
Mej.E.A. van Veen, Executive Secretary International Council of
Women.
The General Secretary, The World Union of Women for International
Concord.
Mrs. M.I. Corbett Ashby, President International Alliance of Women
for Suffrage and Equal Citizenship.
Miss Emily G. Balch, International Hon.Secretary Women's International
League for Peace and Freedom.
Rev. M.W.P. Lascelles, Secretary The Baptist Union of New Zealand.
Rev. S.W. Hughes, D.D., General Secretary National Council, of the
Evangelical Free Churches.
Miss Blanche Roulet, Secretary Women's International League for
Peace and Freedom.
Angus Watson, Esq., J.P., Chairman Congregational Union of England
and Wales,
Mme Eidenschenk-Patin, Secrétaire générale: Ligue Internationale des
Mères et des Educatrices pour la Paix.
Professor J. Riess, Foreign Secretary, Baptist Union of Latvia.
Rev. James Reid, M.A., D.D., Moderator (English) Presbyterian Synod.
Rev. T.T. James, M.A., Ex-Chairman Congregational Union of
England & Wales.
Rev. Albert C. Hill, B.A., B.D., Secretary South Australian Baptist
Union.
The Archbishop of New Zealand and the House of Bishops.
William Dent Priestman, Esq., Hull, East Yorks.
May your sympathy and compassion ensure a speedy response.
Yours very sincerely,
F. C. LUSTY.
N.B. It would greatly assist this crusade if you will kindly
submit a Resolution to your Council or Executive similar
to the one enclosed and forward it as suggested. F.C.L.
THE LEAGUE OF NATIONS AND SLAVERY.
The Historical Summary of the League of Nations' efforts against Slavery, issued by the League of Nations Union, calls for the earnest consideration of all friends of oppressed and enslaved people. The Fourteenth Assembly requested the Council of the League to appoint the
PERMANENT SLAVERY COMMISSION
which held its first meeting last January.
The progress during the past ten years, in the abolition of slavery in British Colonies, Dependencies or Mandated Territories and other Member States of the League, is encouraging. Tremendous opposition and difficulties have been overcome, but much remains to be done before this infamous traffic is destroyed, as evidenced by the following terrible indictment of slavery published last year in a Midland evening paper.
"Sir John Harris, the Parliamentary Secretary of the Anti-Slavery and Aborigines Protection Society, stated in an interview with a Press Representative that it is still necessary to fight slavery to-day as fiercely as it was fought a hundred years ago.
"It is estimated", he said, "that there are still 5,000,000 persons suffering the misery of slavery even in this year of grace, 1933."
CHINA'S 2,000,000 SLAVES.
China and Abyssinia are the great plague spots of the world to-day. Each, it is estimated, has no fewer than 2,000,000 slaves, and in China's case the figure may be higher.
These millions of people are secured and marketed often to the accompaniment of the most terrible suffering. The horrors and degradations of slave-markets and slave raids still exist. Thousands die from exhaustion on the long forced marches from raided villages to the markets.
Few of the slaves escape from the more brutal forms of the whip and the chain gang. In hundreds, if not thousands of cases, there is branding, torture, amputation and death.
From Abyssinia slaves are shipped in cargoes to Arabia, where they are sold in street slave markets.
NEARLY ALL LITTLE GIRLS
Most of China's two million slaves are little girls. They are sold into appalling conditions of slavery. Frequently the sales take place in houses or secluded spots. In one case they amounted to 4,000 in one town, and all, said Sir John, were carried through by slave-traders in private transactions".
Lady John Simon, Viscount Cecil, the present Lord Halifax and Sir John Harris have appealed for help in arousing interest and creating public opinion in support of the League of Nations' efforts to abolish slavery.
WHAT IS CHRISTENDOM DOING
TO HELP THE LEAGUE OF NATIONS IN THIS CAMPAIGN? Can we not appeal with hope and confidence to the Roman Catholic, Greek, Anglican, Lutheran and Free Churches of Europe, America, Canada, and especially of Great Britain and Ireland, to speed this noble cause.
Can we longer endure this outrage upon our enslaved brothers and sisters?
Can we longer witness the slaves' agony and ponder their piteous appeals, as described in Lady John Simon's dreadful exposure of the cruelties of slavery, and not take action?
We have the responsibilities of knowledge, power and opportunity.
I. KNOWLEDGE.
The facts have been broadcast and are known universally.
II. POWER.
The Churches of Christendom and kindred Organisations should be resistless in their federated might.
III. OPPORTUNITY.
The moral consciousness of mankind is aroused and demands action, but it urgently requires the dynamic of spiritual leadership, and the momentum of concentrated Moral impetus.
Surely the time has come for the churches and all allied organisations to focus attention on this problem, to study the facts, to concentrate the moral and spiritual forces of the world in
A MIGHTY CRUSADE
during the next five years to abolish this monstrous evil.
It can be done if the churches do and dare unitedly, courageously and resolutely, for God wills it.
THE ASTONISHING EFFORTS
and achievements of Granville Sharp, Wilberforce, Clarkson, Buxton and Knibb, whose devoted labours and victories we recently celebrated, should inspire us, - proving what seeming impossibilities can be accomplished by faith, prayer, courage and enthusiasm.
May the flame of Whittier's ardour and indignation Fire our Souls with unquenchable zeal.
F. C. LUSTY,
July 1934.
"My God! can such things be?
Hast Thou not said that whatsoe'er is done
Unto Thy weakest and Thy humblest one
Is even done to Thee?
Oh, from the fields of cane,
From the low rice swamp, from the trader's cell;
From the black slave - ship's foul and loathesome hell,
And coffle's weary chain:
Hoarse, horrible and strong,
Rises to Heaven that agonising cry,
Filling the arches of the hollow sky,
How long, O God, how long?
Is not this the fast that I have chosen? to loose the bands
of wickedness, to undo the heavy burden, and to let the oppressed
go free, and that ye break every yoke?
Isaiah 58-6."
Dear Sir,
I beg to enclose you a copy of the statement re The League of Nations and Slavery which I have been impelled to prepare through studying Lady John Simon's terrible exposure of Slavery, as still carried on in many parts of the world, and the reports of the League of Nations re the Slavery Conventions. I implore your sympathetic consideration of this Statement and your earnest co-operation in submitting the enclosed Resolution to your Council or Executive, and in enlisting the enthusiastic help of all your federated churches or organisations and their Ministers or Leaders, so that public opinion in Christendom may be aroused, informed and focussed concerning this crucial question of Slavery until this wicked and cruel traffic shall no longer be tolerated.
Already I have received most kind and sympathetic assurances from the Archbishops of Canterbury and York, who are conferring as to the best means of giving effect to similar resolutions, from the Archbishop of Dublin and from The Archbishop of Nova Scotia who has kindly promised to submit the subject for the consideration of the Bishops of his Province at their next meeting. Also very kind and encouraging replies have been received from the following Denominational Leaders and the Secretaries of National Organisations - some of which have already passed resolutions unanimously.
Rev. J.H. Rushbrooke, M.A., D.D., Secretary Baptist World Alliance.
Rev. M. E. Aubrey, M.A., Secretary The Baptist Union of Great Britain and Ireland.
Rev. P. B. Hawkridge, Convener of The Religion and Morals Committee of the Presbyterian Church of England.
Rev. Ernest G. Braham, M.A., Secretary National Sunday School Union.
Rev. E.R. Squire, Secretary C.E. Union of Great Britain and Ireland.
Rev. Robert Bond, D.D., Secretary The Methodist Conference.
Rev. George Allen, B.A., Secretary Young Methodism Federation.
Rev. Sidney M. Berry, M.A., D.D., Secretary Congregational Union of England and Wales.
Rev. J. W. Tuffley, General Secretary, The Brotherhood Movement.
Harold Clayton, Esq., C.I.E. Secretary Church of England Men's Society.
F.J. Chamberlain, Esq., C.B.E., General Secretary, National Council Y.M.C.A.
H.L. Hemmens, Esq., Secretary, Baptist Laymen's Missionary Movement.
The President Baptist Young Men's Movement.
The President General Assembly of The Presbyterian Church in Wales.
The Industrial Christian Fellowship.
P.S. Please fill in the correct description of your Synod or assembly. Yours very truly,
F.C. Lusty
I am able to adopt the Resolution.
Dear Sir,
More than a year ago I addressed to you a letter and statement with copy of a suggested resolution re The League of Nations and Slavery, and appealed for your kind help and influence in arousing, educating and focussing public opinion concerning the cruel and revolting traffic in slaves still being carried on in many parts of the world, as attested in Lady John Simon's terrible exposure of slavery, published just six years ago. I presume my letter reached you as it has not been returned to me. If you have received it safely I shall be glad to know, per return of post, if it has been possible for you to do anything so that we may decide on the further steps to be taken to speed the abolition of Slavery in all its forms.
You will note by enclosed letter how widespread and encouraging have been the responses already to hand.
With the Season's compliments and kindest regards,
Yours very truly,
F. C. LUSTY.
|
Negative Baryon density and the Folding structure of the $B=3$ Skyrmion
David Foster† and Steffen Krusch§
School of Mathematics, Statistics and Actuarial Science,
University of Kent, Canterbury CT2 7NF, United Kingdom
Abstract. The Skyrme model is a non-linear field theory whose solitonic solutions, once quantised, describe atomic nuclei. The classical static soliton solutions, so-called Skyrmions, have interesting symmetries and can only be calculated numerically. Mathematically, these Skyrmions can be viewed as maps between two three-manifolds and, as such, their stable singularities can only be folds, cusps and swallowtails. Physically, the occurrence of singularities is related to negative baryon density. In this paper, we calculate the charge three Skyrmion to a high resolution in order to examine its singularity structure in detail. Thereby, we explore regions of negative baryon density. We also discuss how the negative baryon density depends on the pion mass.
† email@example.com
§ firstname.lastname@example.org
1. Introduction
The Skyrme model is a \((3+1)\)-dimensional nonlinear theory of pions and was conjectured by Skyrme as a model of baryons [1]. In 1983, Witten stimulated a surge in research activity by relating the Skyrme model to QCD – in the large colour limit [2]. The minimum-energy solutions of the model are called Skyrmions and, once quantised, are identified as baryons.
In this article we are interested in static solutions of the Skyrme model, best defined by the static energy functional
\[
E = \frac{1}{12\pi^2} \int \left\{ -\frac{1}{2} \text{Tr}(R_i R_i) - \frac{1}{16} \text{Tr}([R_i, R_j][R_i, R_j]) + m^2 \text{Tr}(I_2 - U) \right\} d^3x,
\]
where \(R_\mu = (\partial_\mu U)U^\dagger\) is an \(su(2)\) Lie algebra-valued current, and \(U(x,t)\) is an \(SU(2)\) Lie group-valued scalar field. The parameter \(m\) is related to the physical pion mass \(m_\pi\) via \(m = 2m_\pi/(eF_\pi)\) where \(F_\pi\) is the pion decay constant and \(e\) is the Skyrme constant. Here we have presented the energy functional in so-called Skyrme-units, see [6, 7] for the “standard values” and [8, 9] for a more detailed discussion of our current understanding. For non-zero pion mass the finite energy requirement forces the field \(U : \mathbb{R}^3 \to SU(2)\) to satisfy
\[
\lim_{r \to \infty} U = I_2,
\]
and we choose the same boundary condition for \(m_\pi = 0\). This one-point compactifies \(\mathbb{R}^3\) to the 3-sphere \(S^3\). Using the fact that the group manifold of \(SU(2)\) is also \(S^3\) the field can be extended to a map \(U : S^3 \to S^3\). All finite energy field configurations \(U(x)\) belong to an element of \(\pi_3(S^3) = \mathbb{Z}\), and hence have an associated integer \(B \in \mathbb{Z}\). It is this \(B\) which is identified as the baryon number and can be explicitly calculated as
\[
B = -\frac{1}{24\pi^2} \int \varepsilon_{ijk} \text{Tr}(R_i R_j R_k) d^3x,
\]
\[
= \frac{1}{2\pi^2} \int \det(J(x)) \, d^3x,
\]
where \(J(x)\) is the Jacobian of the map [10]. Naively, the density of \(B\) could be assumed to be positive for all \(x \in \mathbb{R}^3\), but this does not have to be the case. It was argued in [11] that as \(\mathbb{R}^3\) covers \(S^3\) – the group manifold of \(SU(2)\) – there is a folding structure. On these folds the Jacobian-determinant becomes zero which results in tubes of zero baryon density. Inside these tubes singularity theory predicts regions of negative baryon density, but this was never observed in numerical calculations of the full field equations, without imposing any symmetries. This is what we are interested in this paper. It is useful to define two
\[||\] The quantisation of Skyrmions is the subject of much ongoing research. While semi-classical quantisation has had some recent successes, see e.g. [3], there are also problems with this approach. For example quantum corrections (see e.g. [4] for a detailed discussion) do not necessarily cancel when comparing different sectors [5]. A full discussion of quantisation issues goes beyond the scope of this paper which focuses on classical solutions in the Skyrme model.
quantities,
\begin{align}
B_+(x) &= \frac{1}{2\pi^2} \max\{\det(J(x)), 0\}, \\
B_-(x) &= \frac{1}{2\pi^2} \max\{-\det(J(x)), 0\},
\end{align}
where $B = \int B(x) d^3 x$ and trivially $B(x) = B_+(x) - B_-(x)$. We refer to these quantities as the positive baryon density and negative baryon density, respectively. Furthermore, the total negative baryon density is defined as
\begin{equation}
B_- = \int B_-(x) d^3 x
\end{equation}
and measures how much negative baryon density occurs in a given field configuration.
The paper is laid out as follows. Section 2 reviews the geometric formulation of the Skyrme model proposed in [10] and discusses the Jacobian. In particular, we show an important identity relating the Jacobian of the Skyrme field to a simpler quantity. Section 3 reviews the rational map ansatz [12] as well as the non-holomorphic rational map ansatz [11]. In section 4 we examine the folding structure of the $B = 3$ Skyrmion using both full field simulation and the non-holomorphic rational map ansatz. Section 4.1 discusses the effects of the pion mass term on the folding structure. In section 4.2 we locally expand the pion fields around the origin and reproduce the singular surface. We end with a conclusion.
2. Geometric setting for Skyrmions
Instead of considering the Skyrme model in a physical field theoretic setting, it can be very insightful to consider it geometrically [10, 13]. In the following, we give a brief account of this approach and set up our notation.
A field configuration is a map $\pi$ from a physical space $\mathbb{R}^3$ to a target space $SU(2)$. Physical space $\mathbb{R}^3$ and target space $SU(2) \cong S^3$ both are 3-dimensional, connected and orientable Riemannian manifolds. Here we choose the Kronecker delta $\delta_{ij}$ as the flat-metric on $\mathbb{R}^3$ and $\gamma_{\alpha\beta}$ as the metric on $S^3$. We denote a point in $\mathbb{R}^3$ as $x$ and a point in $S^3$, the image of $x$, as $\pi(x)$. As $\mathbb{R}^3$ is flat we trivially choose its dreibein to be $\delta_{ij}$, and we choose $\zeta_\mu^\alpha(\pi(x))$ as the dreibein on $S^3$ with
\begin{equation}
\zeta_\mu^\alpha \zeta_\nu^\beta \gamma_{\alpha\beta} = \delta_{\mu\nu}.
\end{equation}
Note the inverse of $\zeta_\mu^\alpha$ is $\zeta^\mu_\alpha$, i.e. $\zeta^\mu_\alpha \zeta_\nu^\alpha = \delta^\mu_\nu$ and $\zeta^\mu_\alpha \zeta_\mu^\beta = \delta_\alpha^\beta$.
Now we can define the Jacobian matrix associated with the map $\pi(x)$ as
\begin{equation}
J_i^\mu(x) = (\partial_i \pi^\alpha(x)) \zeta_\alpha^\mu(\pi(x)).
\end{equation}
The matrix $J_i^\mu(x)$ is a measure of the deformation induced by the map $\pi$ at the point $x$ in $\mathbb{R}^3$. We can define a useful quantity called the strain tensor $D_{ij}$, as
\begin{equation}
D_{ij}(x) = J_i^\mu(x) J_j^\nu(x) \delta_{\mu\nu} = (\partial_i \pi^\alpha(x)) (\partial_j \pi^\beta(x)) \gamma_{\alpha\beta}.
\end{equation}
The strain tensor is invariant under rotations in target space (i.e. rotations of the frame fields $\zeta_\mu{}^\alpha(\pi(x))$), but not under orthogonal rotations of the physical space $\mathbb{R}^3$. But it is well known that the characteristic polynomial $P = \det(D - \lambda I_3)$ is invariant under rotations. So, we can now define the three invariants,
\begin{align}
\text{Tr}(D) &= \lambda_1^2 + \lambda_2^2 + \lambda_3^2, \\
\frac{1}{2}(\text{Tr}(D))^2 - \frac{1}{2}\text{Tr}(D^2) &= \lambda_1^2\lambda_2^2 + \lambda_1^2\lambda_3^2 + \lambda_2^2\lambda_3^2, \\
\det(D) &= \lambda_1^2\lambda_2^2\lambda_3^2,
\end{align}
where $\lambda_1^2, \lambda_2^2, \lambda_3^2$ are the non-negative eigenvalues of the symmetric matrix $D_{ij}$.
Reparametrising the $SU(2)$-valued field in the traditional way with the three Pauli matrices, $\tau_a$, and the four scalar fields $\sigma(x), \pi_a(x)$ ($a = 1, 2, 3$) as
\[ U(x) = \sigma(x) + i\pi(x) \cdot \tau, \]
we see that $\sigma(x)$ and $\pi(x)$ must satisfy the constraint $\sigma^2 + \pi \cdot \pi = 1$ for all $x \in \mathbb{R}^3$. As pointed out in [13], $\pi^a(x)$ in the above geometric discussion can be identified with the vector $\pi_a$ in (2.9) and $\sigma(x)$ is a function of $\pi_a(x)$ which ensures that $U(x) \in SU(2)$. Now, we can define the induced-metric on $S^3$ as
\[ \gamma_{\alpha\beta}(x) = \delta_{\alpha\beta} + \frac{\pi_\alpha\pi_\beta}{\sigma^2}. \]
A short calculation in [13] shows that
\[ D_{ij}(x) = -\frac{1}{2}\text{Tr}(R_i R_j), \]
and the energy functional (1.1) can be rewritten as
\begin{align}
E &= \text{Tr}(D) + \frac{1}{2}(\text{Tr}(D))^2 - \frac{1}{2}\text{Tr}(D^2), \\
&= \lambda_1^2 + \lambda_2^2 + \lambda_3^2 + \lambda_1^2\lambda_2^2 + \lambda_1^2\lambda_3^2 + \lambda_2^2\lambda_3^2.
\end{align}
Also, it is easy to see from the above relations that the baryon number integral (1.2) can be written in terms of these eigenvalues as
\[ B = \frac{1}{2\pi^2} \int \lambda_1\lambda_2\lambda_3 \ d^3 x. \]
### 2.1. The Jacobian
In the following we calculate the Jacobian in stereographic coordinates. This is needed for the analysis of the numerically found solutions. Consider the Skyrme field in sigma model coordinates $(\sigma(x), \pi_a(x))$ with $\sigma^2 + \pi^2 = 1$. Then we can define stereographic coordinates by projecting from the North pole $N$ ($\sigma = 1$) as
\[ \Phi_N^\alpha = \frac{\pi^\alpha}{1 - \sigma}. \]
Note that the metric in stereographic coordinates for this chart is given by
\[
ds_N^2 = \sum_{\alpha=1}^{3} \frac{4}{(1 + R_N^2)^2} (d\Phi_N^\alpha)^2,
\]
(2.13)
where \(R_N^2 = \sum_{\alpha=1}^{3} (\Phi_N^\alpha)^2 = \frac{1+\sigma}{1-\sigma}\). Since the metric (2.13) is diagonal we can define the frame fields
\[
\zeta_N{}_\mu{}^\alpha = \frac{1 + R_N^2}{2} \delta_\mu{}^\alpha \quad \text{and its inverse} \quad \zeta_N{}^\mu{}_\alpha = \frac{2}{1 + R_N^2} \delta^\mu{}_\alpha.
\]
(2.14)
Hence, the components of the Jacobian matrix \(J_N\) are given by
\[
J_N{}_{m}{}^\mu = \frac{\partial \Phi_N^\alpha}{\partial x_m} \zeta_N{}^\mu{}_\alpha = \frac{\partial \Phi_N^\alpha}{\partial x_m} \frac{2}{1 + R_N^2}.
\]
(2.15)
Using (2.7) we can calculate the strain tensor \(D_{mn}\) and obtain
\[
D_{Nmn} = \frac{4}{(1 + R_N^2)^2} \frac{\partial \Phi_N^\alpha}{\partial x_m} \frac{\partial \Phi_N^\beta}{\partial x_n} \delta_{\alpha\beta}.
\]
(2.16)
Note ‘\(N\)’ is not an index to be summed over.
To obtain a well-defined \(SO(3)\) frame bundle the frame fields \(\zeta_S\) have to be chosen as
\[
\zeta_S{}_\mu{}^\alpha = -\frac{1 + R_S^2}{2} \delta_\mu{}^\alpha \quad \text{and its inverse}.
\]
(2.17)
See e.g. [14] for further details. This leads to
\[
J_S{}_{m}{}^\mu = -\frac{\partial \Phi_S^\mu}{\partial x_m} \frac{2}{1 + R_S^2},
\]
(2.18)
where \(\Phi_S^\alpha = \frac{x^\alpha}{1+\sigma}\) is the South pole projection.
The minus sign in (2.18) arises because stereographic coordinates are related by inversion, which has negative determinant. The expression for the strain tensor \(D_{Smn}\) is
\[
D_{Smn} = \frac{4}{(1 + R_S^2)^2} \frac{\partial \Phi_S^\alpha}{\partial x_m} \frac{\partial \Phi_S^\beta}{\partial x_n} \delta_{\alpha\beta}
\]
(2.19)
There is a sign ambiguity when defining the Jacobians \(J_N\) and \(J_S\). Here we have chosen the Jacobian such that the standard hedgehog has positive Jacobian. In fact, for \(B = 1\) the hedgehog can be written as
\[
\sigma = \cos(f(r)) \quad \text{and} \quad \pi_i = \frac{x_i}{r} \sin(f(r)),
\]
(2.20)
where \(r = \sqrt{x_1^2 + x_2^2 + x_3^2}\) and \(f\) is a real radial shape function that can be determined numerically. Asymptotically, \(f(r) \approx \pi - Ar\) as \(r \to 0\) with \(A > 0\) and \(f(r) \approx \frac{C}{r^2}\) as \(r \to \infty\) with \(C \approx 2.16\), see e.g. [15]. Near the origin, \(\sigma \approx -1\), so we project from the north pole and obtain \(\det J_N \approx A^3 > 0\), whereas as \(r \to \infty\), \(\sigma \approx 1\) we project from the south pole and \(J_S \approx \frac{2C^3}{r^9} > 0\). These expression of the Jacobians (\(J_N\) and \(J_S\)) are useful when examining the
behaviour near the north and south pole, which corresponds to the vacuum $\sigma = 1$ and the anti-vacuum $\sigma = -1$ respectively.\footnote{Here, vacuum and anti-vacuum refers to the absence of pion fields. Vacuum and anti-vacuum are antipodal points when viewing the target space $SU(2)$ as a 3-sphere. For massless pions, $m = 0$, any constant field has zero energy (1.1), yet for massive pions, $m > 0$, the vacuum $\sigma = 1$ is the unique configuration with zero energy.}
For analysis of numerical data later in the paper, we can express the Jacobian directly in terms of the four pion fields as
\begin{align}
J_{N m}{}^\mu &= (1 - \sigma) \frac{\partial \Phi_N{}^\mu}{\partial x_m} \\
&= \frac{\partial \pi^\mu}{\partial x_m} + \frac{\pi^\mu}{(1 - \sigma)} \frac{\partial \sigma}{\partial x_m} \\
&= \frac{\partial \pi^\mu}{\partial x_m} - \sum_\nu \frac{\pi^\mu \pi^\nu}{\sigma (1 - \sigma)} \frac{\partial \pi^\nu}{\partial x_m},
\end{align}
where we used the identity
\begin{equation}
\sigma \frac{\partial \sigma}{\partial x_j} = - \sum_{\nu = 1}^3 \pi^\nu \frac{\partial \pi^\nu}{\partial x_j},
\end{equation}
which is derived by differentiating the normalisation condition.
As a check, we can evaluate
\begin{equation}
D_{mn} = J_m{}^\mu(x) J_n{}^\nu(x) \delta_{\mu\nu}
\end{equation}
and obtain
\begin{equation}
D_{mn} = \frac{\partial \pi^\mu}{\partial x_m} \frac{\partial \pi^\nu}{\partial x_n} \left( \delta_{\mu\nu} - \frac{\pi_\mu \pi_\nu}{\sigma^2} \right).
\end{equation}
The term in the brackets corresponds to the induced metric in $(\sigma, \pi_i)$ coordinates. Using the identity (2.24) we obtain the more familiar expression
\begin{equation}
D_{mn} = \frac{\partial \sigma}{\partial x_m} \frac{\partial \sigma}{\partial x_n} + \frac{\partial \pi^\mu}{\partial x_m} \frac{\partial \pi^\nu}{\partial x_n} \delta_{\mu\nu}.
\end{equation}
With this expression, equation (2.10) gives the pion field version of the Skyrme Lagrangian which is often used for numerical simulations, see e.g. [16]. It can be shown by direct calculation that
\begin{equation}
\det(J_N) = - \det(J_0)/\sigma,
\end{equation}
where the components of the unframed Jacobian matrix $J_0$ is given by
\begin{equation}
J_{0ji} = \frac{\partial \pi_i}{\partial x_j}.
\end{equation}
Hence $\det J_N$ vanishes when $\det J_0$ does for $\sigma \neq 0$, therefore $J_N$ and $J_0$ have the same singular surfaces. Equation (2.28) is useful in section 4.2 when discussing the folding structure of $B = 3$.
3. Rational map ansatz
The rational map ansatz\(^+\) [12] makes use of the feature that a point in \( \mathbb{R}^3 \) can be written in polar coordinates \((r, z)\) where the angular coordinate \(z\) is represented by a point on the Riemann sphere via \(z = e^{i\phi} \tan \frac{\theta}{2}\). The Skyrme field \(U(x)\) then takes the form
\[
U(r, z) = \exp(i f(r) n(z) \cdot \tau),
\]
(3.30)
where \(f(r)\) is a real valued profile function with the boundaries \(f(0) = \pi\) and \(f(\infty) = 0\); \(\tau = (\tau_1, \tau_2, \tau_3)\) is the triplet of Pauli matrices and \(n\) is the unit vector
\[
n(z) = \frac{1}{1 + |R(z)|^2}(R(z) + \overline{R(z)}, i(R(z) - R(z)), 1 - |R(z)|^2).
\]
\(R(z)\) is a holomorphic rational map between Riemann spheres, and is given by the two polynomials \(p(z), q(z)\),
\[
R(z) = \frac{p(z)}{q(z)}.
\]
Then the baryon number is equal to the algebraic degree of \(R(z)\),
\[
\deg (R(z)) = \max \left\{ \deg(p(z)), \deg(q(z)) \right\}.
\]
Such a field configuration is a suspension and gives rise to an isomorphism between \(\pi_3(S^3)\) and \(\pi_2(S^2)\). This point of view proved very useful for quantising Skyrmions in [17] because a suspension provides a natural way to calculate homotopy groups of the Skyrmion configuration space from the space of rational maps. It is the choice of \(R(z)\) which replicates the polyhedral shape of Skyrmions, and the symmetries of the accepted numerical solutions. The benefit of the rational map ansatz is that it gives rise to the following three simple eigenvalues of the strain tensor,
\[
\begin{align*}
\lambda_1 &= -f'(r) \\
\lambda_2 = \lambda_3 &= \frac{\sin f}{r} \frac{1 + |z|^2}{1 + |R|^2} \left| \frac{dR}{dz} \right|.
\end{align*}
\]
Inserting these eigenvalues into equation (2.10) gives the simple radial energy functional
\[
E = 4\pi \int \left( f'^2 r^2 + 2B(f'^2 + 1) \sin^2 f + I \frac{\sin^4 f}{r^2} + 2m^2 r(1 - \cos f) \right) dr,
\]
(3.32)
where
\[
I = \frac{1}{4\pi} \int \left( \frac{1 + |z|^2}{1 + |R|^2} \left| \frac{dR}{dz} \right| \right)^4 \frac{2idzd\bar{z}}{(1 + |z|^2)^2}.
\]
\(^+\) Technically, this is not an \textit{ansatz} but rather an \textit{approximation}. It is a very useful tool for obtaining initial configurations for numerical minimisations, and it gives a more fundamental understanding of the symmetries of Skyrmions. However, since this term is widely used in the literature we will also refer to the rational map approximation as the rational map ansatz.
This energy functional can be easily minimised by choosing the correct degree polynomials \( p(z), q(z) \) which minimise \( \mathcal{I} \), then numerically minimising the profile function \( f(r) \). The minimum energy solutions found using this method only exceed the non-symmetry numerical solutions by about 3%, see e.g. [12, 16, 18].
This holomorphic ansatz is very successful at capturing the major features of the Skyrme model and is a very useful technique to give initial configurations which are close to the minimum energy solutions for numerical minimisation. This avoids numerically expensive collisions which were previously used to create appropriate initial conditions [19, 16]. A feature of the holomorphic ansatz is that it locally preserves orientation. Hence there cannot be regions of negative baryon density. This constrains the possible configurations. We can extend the ansatz to non-holomorphic \( R(z, \bar{z}) \) as in [11]. This now allows points in \( \mathbb{R}^3 \) with negative baryon density. In this case the three eigenvalues of the strain tensor \( D_{ij} \) are slightly more complicated and are
\[
\lambda_1 = -f'(r),
\]
\[
\lambda_2 = \frac{\sin f}{r}(|R_z| + |R_{\bar{z}}|)\frac{1 + |z|^2}{1 + |R|^2},
\]
\[
\lambda_3 = \frac{\sin f}{r}(|R_z| - |R_{\bar{z}}|)\frac{1 + |z|^2}{1 + |R|^2},
\]
where \( R_z \) and \( R_{\bar{z}} \) are the derivatives of \( R \) with respect to \( z \) and \( \bar{z} \), respectively. It is now apparent that for non-holomorphic (or non-antiholomorphic) \( R \) the angular strains \( \lambda_2, \lambda_3 \) are no longer isotropic, and only when \( R_z \) (or \( R_{\bar{z}} \)) equal zero do we regain the previous holomorphic ansatz. The energy functional for this more general ansatz is
\[
E = \frac{1}{3\pi} \int \left( f'^2 r^2 + 2\mathcal{J}(f'^2 + 1)\sin^2 f + \tilde{\mathcal{I}}\frac{\sin^4 f}{r^2} + 2m^2 r(1 - \cos f) \right) dr,
\]
where
\[
\mathcal{J} = \frac{1}{4\pi} \int \left( (|R_z|^2 + |R_{\bar{z}}|^2)\left(\frac{1 + |z|^2}{1 + |R|^2}\right)^2 \right) \frac{2idz d\bar{z}}{(1 + |z|^2)^2},
\]
\[
\tilde{\mathcal{I}} = \frac{1}{4\pi} \int \left( (|R_z|^2 - |R_{\bar{z}}|^2)\left(\frac{1 + |z|^2}{1 + |R|^2}\right)^2 \right)^2 \frac{2idz d\bar{z}}{(1 + |z|^2)^2},
\]
and
\[
B = \frac{1}{2\pi} \int f'(r)\sin^2 f(r) \left( (|R_z|^2 - |R_{\bar{z}}|^2)\left(\frac{1 + |z|^2}{1 + |R|^2}\right)^2 \right) \frac{2idz d\bar{z}}{(1 + |z|^2)^2}.
\]
Again \( f(r) \) is a profile function which is a solution of the ODE
\[
(r^2 + 2\mathcal{J}\sin^2 f)f'' + 2rf' + (\mathcal{J}f'^2 - \mathcal{J} - \tilde{\mathcal{I}}\frac{\sin^2 f}{r^2})\sin 2f - m^2 r \sin f = 0,
\]
with the boundary conditions \( f(0) = \pi \) and \( f(\infty) = 0 \).
As above, we restrict to maps of the form
\[ R(z, \bar{z}) = \frac{p(z, \bar{z})}{q(z, \bar{z})}, \]
where the \( \bar{z} \) dependence is chosen in such a way as to preserve the symmetry of the original minimal energy rational map. Then the baryon number is generically equal to \( N_1 - N_2 \), where \( N_1 \) is the maximal holomorphic degree of \( (p, q) \) and \( N_2 \) is the maximal antiholomorphic degree of \( (p, q) \).
In (3.39) \( J \) replaces the role of \( B \) in the holomorphic rational map ansatz. This has a significant effect on the profile function \( f \). To study this effect we linearise (3.39) about \( r = 0 \) and set \( f(r) = \pi - \nu(r) \) where \( \nu(r) \ll 1 \). This gives the new linear ODE
\[ r^2 \nu'' + 2r\nu' - 2J\nu + m^2 r\nu = 0, \tag{3.40} \]
with the solution
\[ f(r) = \pi - Cr\left(\frac{1+\sqrt{1+8J}}{2}\right) + \ldots \tag{3.41} \]
For \( m = 0 \), equation (3.40) is a Cauchy-Euler equation, whereas for \( m \neq 0 \) the solution is given in terms of a Bessel function. Numerical calculations show that as the pion mass is increased, \( J \) becomes larger and hence \( f \) decays slower about the origin. We can now play the same trick for the limit of \( r \) going to infinity. Here we set \( f(r) = \epsilon(r) \) where \( \epsilon(r) \ll 1 \), giving the linearised equation
\[ r^2 \epsilon'' + 2r\epsilon' - 2J\epsilon - m^2 r\epsilon = 0. \]
This gives the solutions
\[ f(r) = \begin{cases}
Cr^{-\left(\frac{1+\sqrt{1+8J}}{2}\right)}, & \text{if } m = 0, \\
\frac{Ce^{-2m\sqrt{r}}}{r^{3/4}} \left(1 + \frac{4(1+8J)-1}{16m\sqrt{r}} + \ldots\right), & \text{if } m \neq 0.
\end{cases} \]
The effect of the mass term is to make the solution more localised around the origin.
### 4. The \( B = 3 \) Skyrmion
It has been known for a long time that the baryon density for the \( B = 3 \) Skyrmion is tetrahedrally symmetric [20, 19]. A lot of its features can be explained by a tetrahedrally symmetric rational map [12]. But, as shown in [11], the non-holomorphic rational map allows negative baryon density and has lower energy than the holomorphic map. The non-holomorphic rational map gives rise to four singular tubes (\( \det(J) = 0 \)) which start at the origin, pass through the faces of the tetrahedron then go off to infinity. It has been shown in [11] that there are three folding lines equally spaced along these tubes. Also, in the centre of these tubes there are regions of negative baryon density. This inspired us to explore the form and amount of negative baryon density in actual minimum-energy Skyrme solutions. The
calculations in [11] were performed for zero pion mass, $m = 0$. Therefore, we first describe the $m = 0$ case and then discuss the effects of non-zero pion mass, $m > 0$, in section 4.1.
The family of rational maps for the $B = 3$ Skyrmion with the correct symmetry is
$$R = \frac{p_1 \cos \chi + p_2 \sin \chi}{q_1 \cos \chi + q_2 \sin \chi},$$
(4.42)
where the polynomials $p_1, p_2, q_1$ and $q_2$ are
$$\begin{align*}
p_1(z, \bar{z}) &= i\sqrt{3}z^3\bar{z} + i\sqrt{3}z^3 - z\bar{z} - 1, \\
p_2(z, \bar{z}) &= z^4 - 2i\sqrt{3}z^2 + 1,
\end{align*}$$
$$\begin{align*}
q_1(z, \bar{z}) &= z^4\bar{z} + z^3 - i\sqrt{3}z^2\bar{z} - i\sqrt{3}z, \\
q_2(z, \bar{z}) &= -z^4\bar{z} + 2i\sqrt{3}z^2\bar{z} - \bar{z}.
\end{align*}$$
(4.43)
With a simple numerical scanning algorithm we find that the family of rational maps in (4.42) attains its minimum energy for $\chi = 0.154$. This gives $E/B = 1.161$. Note this is lower than the minimum energy for the holomorphic ansatz ($E/B = 1.184$). This value of $\chi$ is slightly lower than that found in [11]. This difference is believed to be due to numerical accuracy.
To find the $B = 3$ minimum energy solution we numerically minimised this rational map ansatz on a lattice of $250^3$ points, with spacing $\Delta x = 0.08$ using fourth order accurate derivatives. For $m = 0$ we find $E/B = 1.146$ and the negative baryon density $B_- = 4.5 \times 10^{-5}$. This is in reasonable agreement with $B_- = 9.25 \times 10^{-5}$ found for the non-holomorphic rational map for $\chi = 0.154$. A surface of constant baryon density (ie. constant Jacobian determinant) is displayed in figure 1 for this solution.
To truly capture these regions of negative baryon density we were forced to have a very large box. It is known that asymptotically the $B = 3$ Skyrmion decays as a $B = -1$ Skyrmion [21]. The $B = 1$ Skyrmion can be calculated from the highly symmetric rational map, $R = z$, known as the hedgehog ansatz. Then the equations of motion (3.39) can be linearised to obtain the asymptotic behaviour of the radial profile function $f \sim C/r^2$ as $r \to \infty$ for some constant $C$. Substituting this into the radial energy-density (3.35) and baryon density (3.38), we find that the energy-density scales as $1/r^4$ and the baryon-density as $1/r^7$. We have checked numerically that choosing $U(x) = I_2$ on the boundary of the numerical box contains the baryon-density within the accuracy of our numerics. However, for an evaluation of the total energy to a high order of accuracy contributions from outside the box need to be included, see e.g. [22] for further details.
Figure 2: Minimisation of the central region of the $B = 3$ non-holomorphic rational map for zero pion mass, $m = 0$.
Figure 1 shows the regions of negative baryon density of the minimum-energy baryon number three Skyrmion. A point of particular interest is the tetrahedron of negative baryon density in the centre of the Skyrmion. Each of the corners of this dual-tetrahedron gives rise to tubes of $\det(J) = 0$, which pass though the faces of the tetrahedron with positive baryon density. However, the singular surface tubes may or may not be connected to the dual tetrahedron singular surface in the centre. In order to explore how these singular surfaces are connected we performed a numerical simulation over a box centred at the origin with $(\Delta x = 0.01, n = 180)$ sides about 9% of the large box. This is a large increase in resolution, increasing the number of points per unit distance by a factor of 8 in each direction. The boundary conditions, on the surface of the box, are important. One option would be to
interpolate the numerical configuration displayed in figure 2. However, due to the large number of additional points such an interpolation is very challenging to calculate and not necessary very reliable. We chose the boundary conditions to be the rational map (4.42) with the minimum-energy profile function found numerically which is a good approximation to the exact solution. The result of our numerical calculation is presented in figure 2 and shows the singularity structure near the origin of the $B = 3$ Skyrmion.
Figure 2a shows the folding tubes in yellow. Contrary to the conjecture in [11] the tubes do not seem to pinch off to singular points. This is evidence that there are no swallowtails in the $B = 3$ Skyrmion and will be discussed further in the next subsection. Figure 2b is also interesting. It shows that it is energetically favourable for the $B = 3$ Skyrmion to ‘create’ two more pre-images of the anti-vacuum, one with positive orientation and one with negative orientation. The rational map ansatz (3.30) has the anti-vacuum as a suspension point. Hence for the rational map ansatz there are only three pre-images of the vacuum, all at the origin and with positive orientation. The extra pre-images in figure 2b are very similar to the monopole zeros of the Higgs field in [23] where they find five monopole zeros, four positive and one negative. As outlined in [23], one would naively suspect that a positive orientation point would annihilate with a negative orientation point. However, the configuration may be stabilised by tetrahedral symmetry.
### 4.1. The effects of the pion mass on the folding structure
It is well known that the Skyrme theory describes atomic nuclei better when a pion mass term is included, see [7, 24, 3] for a discussion of $m \neq 0$ and [8] for the implications to spinning Skyrmions. This inspired us to investigate how the surfaces of $\det(J(\mathbf{x})) = 0$ vary as a function of $m$. In this section, we first examine this question using the non-holomorphic rational map ansatz and then check our results using full field minimisation. As a side effect, this analysis provides a good test of the effectiveness of the rational map ansatz.
In order to find the minimum-energy rational map in (4.43) for given $m$ we minimised the numerical integral of (3.35) with respect to $\chi$ using a standard search algorithm. The resulting function $\chi(m)$ is displayed in figure 3a for values of $m$ between 0 and 1. The energy per baryon number is shown in figure 3b. Note that $E/B$ increases monotonically as $m$ increases which agrees with the findings in [24]. A point worth noting is that it is energetically favourable for $\tilde{I}$ to decrease slightly, see figure 3c, and for $J$ to increase as $m$ increases, see figure 3d. This has an effect on the behaviour of the shape function around the origin as can be seen from equation (3.41).
The radial integral of the baryon density in (3.38) can be evaluated exactly using the boundary conditions of $f(r)$. Using the minimum-energy $\chi(m)$ we then integrated the negative baryon density $B_-$ over $S^2$ to give the total negative baryon density $B_-$ as defined in (1.4). Figure 4a shows $B_-$ as a function of $m$. It is apparent that as the mass $m$ increases it is more energetically efficient for the $B = 3$ Skyrmion to have more negative baryon density, $B_-$. As shown in figure 4a there is a 40% increase in negative baryon density as $m$ increases.
The value of $\chi$ which yields the minimum-energy $E/B$ in (3.35) for the optimal value of $\chi$ as a rational map ansatz (4.42).
$\tilde{T}$ in (3.37) for the optimal value of $\chi$ as a function $\mathcal{J}$ in (3.36) for the optimal value of $\chi$ as a function of $m$.
Figure 3: The minimum-energy $E/B$, $\tilde{T}$, $\mathcal{J}$ and $\chi$ as a function of $m$.
from 0 to 1.
In the rational map ansatz, the negative baryon density arise as tubes emanating from the faces of the tetrahedral polyhedron, very similar to the yellow tubes in figure 1. To study how these tubes change as a function of mass, we numerically integrated the area of a negative baryon density tube over $S^2$. This is shown in figure 4b. Hence, the rational map ansatz predicts that the tubes of negative baryon density increase in size roughly linearly with $m$.
To proceed we used the rational maps for the values of the pion mass given above to generate the initial conditions for a full field minimisation on a square lattice of $250^2$ points with lattice spacing $\Delta x = 0.08$, as before. The results are shown in figures 5. It is worth discussing the actual full field minimum-energy $B = 3$ solutions. One should first note that the hole in the level-set of positive $\det(J(x))$ becomes smaller for increasing $m$. This is
The total negative baryon density $B_-$ (1.4) as a function of $m$.
Figure 4: Data arising from the minimum-energy $B = 3$ rational map (4.42).
well understood as the potential term forces the Skyrmion field to reach the vacuum value exponentially. Also, as $m$ increases the singular tubes become more pronounced. This is clearly seen in figure 5 where the singular tubes are much more defined for $m = 1$ than for $m = 0.1$.
As shown in figure 6a, the energy per baryon for the full field minimisation is about 2% lower than that for the rational map ansatz, for all $m$. This is expected, because as previously shown the rational map ansatz forces all of the pre-images of the anti-vacuum to be at the origin.
As can be seen in figure 2a the Skyrme field has a fifth pre-image at the origin with negative orientation showing that there is also negative baryon density at the origin. This region of negative baryon density is inside a tetrahedron, which is dual to a surface of positive baryon density. In this central region $\sigma \approx -1$, and this is where the potential energy (the pion mass term) is maximal. Hence as $m$ increase the negative baryon density at the origin decreases. To verify this we numerically integrated over the central tetrahedron of negative baryon density. This is shown in figure 6c where as $m$ increases the total negative baryon density in the central dual tetrahedron decreases. Hence, as the pion mass $m$ increases there are two competing trends. On the one hand, the negative baryon density in the folds increases as in the non-holomorphic rational map ansatz. On the other hand, the negative baryon density at the centre decreases. This gives a heuristic explanation of the behaviour of the total negative baryon density shown in figure 6b. Initially it decreases, as $m$ increases from $m = 0$ to $m \approx 0.7$. Then the negative baryon density starts to increase again. This trend is further verified because we also found the minimum-energy $B = 3$, $m = 2$ solution. This solution has $E/B = 1.551$, $B_- = 4.1 \times 10^{-5}$ and a $B_-$ dual tetrahedron with total baryon density of $1.2 \times 10^{-5}$. Figure 6c is not very smooth. This is most likely due to the numerical grid and the algorithm which identified the edge of the dual tetrahedron.
Figure 5: $B = 3$ Skyrmion of varying $m$. Red is a level set of $B = \text{const} > 0$, yellow is $B = 0$.
Comparison of $E/B$ for the non-holomorphic rational map ansatz and $E/B$ found from full field Total negative baryon density (1.4) in full field minimisation as a function of $m$.
Total negative baryon density (1.4) in the central tetrahedron as a function of $m$ (integrating only over central tetrahedron).
Figure 6: $B = 3$ full field minimum-energy solutions data.
### 4.2. Expansion around the origin
The tetrahedral symmetry of the $B = 3$ Skyrme field poses stringent restrictions on the allowed terms in a Taylor expansion around the origin. Here we calculate the allowed polynomials and estimate the relevant coefficients from the numerical solution.
The rational map of the $B = 3$ Skyrmion is given by
$$R(z) = \frac{\sqrt{3}iz^2 - 1}{z^3 - \sqrt{3}iz} \quad (4.44)$$
which is $T_d$ tetrahedrally symmetric using the same orientation as in [12]. This symmetry is generated by a $C_2$ symmetry
$$z \mapsto -z, \quad R \mapsto -R, \quad (4.45)$$
and a $C_3$ symmetry
$$z \mapsto \frac{i\bar{z} + 1}{-i\bar{z} + 1}, \quad R \mapsto \frac{-i\bar{R} + i}{R + 1},$$
for the tetrahedral symmetry $T$, together with an additional reflection symmetry
$$z \mapsto \frac{\bar{z} - i}{-i\bar{z} + 1}, \quad R \mapsto \frac{\bar{R} - i}{-i\bar{R} + 1}.$$
The corresponding symmetries in component notation for the $C_2$ generator is
$$(x_1, x_2, x_3) \mapsto (-x_1, -x_2, x_3), \quad (\pi_1, \pi_2, \pi_3) \mapsto (-\pi_1, -\pi_2, \pi_3).$$
and
$$(x_1, x_2, x_3) \mapsto (x_2, x_3, x_1), \quad (\pi_1, \pi_2, \pi_3) \mapsto (\pi_3, \pi_1, \pi_2)$$
for the $C_3$ generator. The reflection symmetry is given by
$$(x_1, x_2, x_3) \mapsto (x_1, -x_3, -x_2), \quad (\pi_1, \pi_2, \pi_3) \mapsto (\pi_1, -\pi_3, -\pi_2)$$
Hence the field $\pi$ can be expanded around the origin as
$$\pi = a_1 \begin{pmatrix} x_1 \\ x_2 \\ x_3 \end{pmatrix} + b_1 \begin{pmatrix} x_2 x_3 \\ x_1 x_3 \\ x_1 x_2 \end{pmatrix} + c_1 \begin{pmatrix} x_1^3 \\ x_2^3 \\ x_3^3 \end{pmatrix} + c_2 r^2 \begin{pmatrix} x_1 \\ x_2 \\ x_3 \end{pmatrix}$$
$$+ d_1 \begin{pmatrix} x_2 x_3 x_1^2 \\ x_1 x_3 x_2^2 \\ x_1 x_2 x_3^2 \end{pmatrix} + d_2 r^2 \begin{pmatrix} x_2 x_3 \\ x_1 x_3 \\ x_1 x_2 \end{pmatrix} + \ldots,$$
where $r^2 = x_1^2 + x_2^2 + x_3^2$. The tetrahedral symmetry can be augmented to spherical symmetry by setting $b_1 = 0$, $c_1 = 0$ and $d_1 = d_2 = 0$, which corresponds to the Taylor expansion of the hedgehog ansatz around the origin. This provides a useful check that we have implemented the tetrahedral symmetry correctly.
In order to compare the Taylor expansion of $\pi$ to the numerical solution, we have to calculate the coefficients in (4.51). We used the following approach. Setting $x_2 = 0$ and $x_3 = 0$ in (4.51) gives a polynomial in $x_1$. We fitted this polynomial to our numerical data using a least square fit, and this allows us to calculate $a_1$ and $c_1 + c_2$. Similarly, setting $x_2 = x_1$, and $x_3 = 0$ gives $a_1$, $b_1$, $c_1 + 2c_2$ and $2d_2$. Finally, setting $x_2 = x_1$ and $x_3 = x_1$ also gives an equation in $d_1$. In order to improve the approximation close to the origin, we fitted to a polynomial of higher degree. By plotting numerical data and approximation we found that the values $a_1 = -0.41$, $b_1 = -2.1$, $c_1 = -2.2$, $c_2 = 1.2$, $d_1 = 0.76$ and $d_2 = 0.64$ are a reasonable approximation for $-0.5 < x_1, x_2, x_3 < 0.5$. Note that the errors in particular for the coefficients $d_1$ and $d_2$ are rather large. We can now evaluate the Jacobian of the map. At the origin $x = 0$, the Jacobian is non-zero, namely, $\det(J_0) = a_1^3 < 0$. The value of $\det J_0(0) = -0.055$ calculated numerically from the exact solution matches the value for the expansion (4.51).
Figure 7 shows a plot of the surface $\det J = 0$ inside a cube of length 0.5. This clearly looks very similar to the surface $\det J = 0$ arising from the numerical solution displayed in
Using our expansion, we can check whether the singular surface pinches off at a point. By setting $x_2 = x_1$, and $x_3 = x_1$ in the Jacobian $J_0$ we can show that $\det J_0 = 0$ for $x_1 = -0.09$ but there is no positive solution within the box. We were careful to include terms up to fourth order because the normal form of the swallowtail singularity is given by
\begin{align*}
y_1 &= x_1^4 + x_1^2 x_2 + x_1 x_3, \\
y_2 &= x_2, \\
y_3 &= x_3,
\end{align*}
which includes a fourth order term. The Jacobian matrix of (4.52) is given by
$$J = \begin{pmatrix} 4x_1^3 + 2x_1 x_2 + x_3 & x_1^2 & x_1 \\ 0 & 1 & 0 \\ 0 & 0 & 1 \end{pmatrix}.$$
The singular set $\det J = 0$ consists of folds, cusps and swallowtails and is given by $x_3 = -4x_1^3 - 2x_1 x_2$. The fold surfaces meet to form four cusp lines which in turn meet at the origin where the swallowtail is located.
In summary, we have deduced the following folding structure for the $B = 3$ Skyrmion. There are four folding tubes through the faces of a tetrahedron. These tubes smoothly connect to the corners of a dual tetrahedron at the origin. The folding surface are not intersecting each other, so there are no swallowtail singularities in the $B = 3$ Skyrmion, contrary to
the conjecture in [11]. By symmetry, the cusp lines are expected to lie on the edges of the tetrahedron, and there is some numerical evidence.
5. Conclusion
This paper was motivated by the results of [11], where the authors found regions of negative baryon density in the rational maps for the $B = 3$ minimum-energy Skyrmion. For small $m$ these regions of negative baryon density are very small, but we have been able to numerically verify their existence. Also we have discovered a tetrahedron of negative baryon density at the origin, which is dual to a tetrahedron produced as a level-surface of positive constant baryon density. The singularities corresponding to surfaces of zero baryon density form four tubes which smoothly join up at the dual tetrahedron at the origin. Contrary to the conjecture in [11], there are no swallowtail singularities in the $B = 3$ Skyrmion configuration. We have also found that for the $B = 3$ Skyrmion there are five pre-images of the anti-vacuum, four with positive orientation, on the vertices of a tetrahedron, and one with negative orientation at the origin. This behaviour is also seen in monopoles [23].
The authors of [11] did not find any regions of negative baryon density in the rational map ansatz for the $B = 4$ minimum-energy solution. This has been verified here numerically. Furthermore, assuming octahedral symmetry we have shown in appendix Appendix A that there are no regions of negative baryon density around the origin. These results are also consistent with the instanton ansatz [25].
It has already been discussed that regions of negative Jacobian-determinant occur for the charge three instanton [25]. This is significant because there is a BPS extended Skyrme model which can be derived from Yang-Mills instantons [26], which must contain regions of negative baryon density. This extended model has an infinite number of vector mesons. There has also been research into a truncated version of this model [27], where only a few extra terms are included. Understanding the form and distribution of the negative baryon density in these models would be very interesting. It should be noted that there is another BPS Skyrme model [28], where the Bogomolny equation shows that the baryon density is proportional to the square root of the potential. Hence, if the potential is positive definite through space, so is the baryon density.*
Acknowledgments
SK would like to thank N Manton for useful discussions, and in particular for discussing the singularities of $B = 4$. The authors acknowledge the EPSRC for the grant EP/I034491/1.
* This was pointed out by M. Speight.
Appendix A. $B = 4$
It has been shown [11] that even when the $B = 4$ rational map ansatz is extended to be non-holomorphic no negative baryon density is found. This is also seen in our full field minimisation of the $B = 4$ Skyrmion for $m = 0$ and $m = 1$, see figure A1a and A1b, respectively. For $m = 0$ we found $E/B = 1.12$, and for $m = 1$ we found $E/B = 1.30$. In both cases, up to numerical accuracy, we did not find any negative baryon density.
In the following, we show that the $B = 4$ minimum-energy octahedrally symmetric Skyrmion does not have regions of negative baryon density near the origin. This is where the non-holomorphic rational map ansatz is not a good approximation of the exact solution. As a starting point, we consider the rational map of the $B = 4$ Skyrmion is given by
$$R(z) = \frac{z^4 + 2\sqrt{3}iz^2 + 1}{z^4 - 2\sqrt{3}iz^2 + 1}, \tag{A.1}$$
which is octahedrally symmetric. This symmetry is generated by a $C_4$ symmetry:
$$z \mapsto iz, \quad R \mapsto \frac{1}{R}, \tag{A.2}$$
and a $C_3$ symmetry
$$z \mapsto \frac{iz + 1}{-iz + 1}, \quad R \mapsto e^{-\frac{2\pi i}{3}}R. \tag{A.3}$$
The corresponding symmetries in component notation for the $C_4$ generator is
$$(x_1, x_2, x_3) \mapsto (x_2, -x_1, x_3), \quad (\pi_1, \pi_2, \pi_3) \mapsto (\pi_1, -\pi_2, -\pi_3). \tag{A.4}$$
\[(x_1, x_2, x_3) \mapsto (x_2, x_3, x_1), \quad (\pi_1, \pi_2, \pi_3) \mapsto \left(-\frac{1}{2}\pi_1 - \frac{1}{2}\sqrt{3}\pi_2, \frac{1}{2}\sqrt{3}\pi_1 - \frac{1}{2}\pi_2, \pi_3\right)\] (A.5)
for the $C_3$ generator. Hence the field $\pi$ can be expanded around the origin as
\[\pi = b_1 \begin{pmatrix} x_1^2 + x_2^2 - 2x_3^2 \\ -\sqrt{3}x_1^2 + \sqrt{3}x_2^2 \\ 0 \end{pmatrix} + c_1 \begin{pmatrix} 0 \\ 0 \\ x_1x_2x_3 \end{pmatrix}\]
\[+ d_1 \begin{pmatrix} x_1^4 + x_2^4 - 2x_3^4 \\ -\sqrt{3}x_1^4 + \sqrt{3}x_2^4 \\ 0 \end{pmatrix} + d_2 \begin{pmatrix} 2x_1^2x_2^2 - x_1^2x_3^2 - x_2^2x_3^2 \\ -\sqrt{3}x_1^2x_3^2 + \sqrt{3}x_2^2x_3^2 \\ 0 \end{pmatrix} + \ldots\]
A similar expansion as $r$ tends to infinity has been performed in [22]. We can now evaluate the Jacobian of the map. At the origin $x = 0$, the Jacobian is identically zero. Hence the singularity is clearly non-generic since for a generic singularity the Jacobian has rank 2. The determinant of the Jacobian can be expanded into $O-$symmetric polynomials. The lowest order term is
\[\det(J) = \sqrt{3}b_1^2c_1 \left(x_1^2x_2^2 + x_2^2x_3^2 + x_3^2x_1^2\right) + \ldots\]
Hence the singularities are on the three coordinate axes which meet at the origin. Furthermore, sufficiently close to the origin $\det(J)$ is positive, and hence there is no negative baryon density.
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Gene sharing networks to automate genome-based prokaryotic viral taxonomy
Ho Bin Jang\textsuperscript{1*}, Benjamin Bolduc\textsuperscript{1*}, Olivier Zablocki\textsuperscript{1}, Jens H. Kuhn\textsuperscript{2}, Simon Roux\textsuperscript{3}, Evelien M. Adriaenssens\textsuperscript{4}, J. Rodney Brister\textsuperscript{5}, Andrew M Kropinski\textsuperscript{6, 7}, Mart Krupovic\textsuperscript{8}, Dann Turner\textsuperscript{9} & Matthew B. Sullivan\textsuperscript{1, 10#}
\textsuperscript{1} Department of Microbiology, Ohio State University, Columbus, OH, USA
\textsuperscript{2} Integrated Research Facility at Fort Detrick, National Institute of Allergy and Infectious Diseases, National Institutes of Health, Fort Detrick, Frederick, MD, USA
\textsuperscript{3} U.S. Department of Energy Joint Genome Institute, Walnut Creek, CA, USA
\textsuperscript{4} Institute of Integrative Biology, University of Liverpool, Liverpool, UK
\textsuperscript{5} National Center for Biotechnology Information, National Library of Medicine, National Institutes of Health, Bethesda, MD, USA
\textsuperscript{6} Department of Pathobiology, Ontario Veterinary College, University of Guelph, Guelph, ON, Canada N1G 2W1
\textsuperscript{7} Department of Food Science, University of Guelph, Guelph, ON, Canada, N1G 2W1
\textsuperscript{8} Institut Pasteur, Unité Biologie Moléculaire du Gène chez les Extrêmophiles, Department of Microbiology, Paris 75015, France
\textsuperscript{9} Centre for Research in Biosciences, Department of Applied Sciences, Faculty of Health and Applied Sciences, University of the West of England, Coldharbour Lane, Bristol, UK
\textsuperscript{10} Department of Civil, Environmental and Geodetic Engineering, Ohio State University, Columbus, OH, USA
\# correspondence to: Matthew Sullivan, email@example.com
* These authors contributed equally to this work.
ABSTRACT
Viruses of bacteria and archaea are likely to be critical to all natural, engineered and human ecosystems, and yet their study is hampered by the lack of a universal or scalable taxonomic framework. Here, we introduce vConTACT 2.0, a network-based application to establish prokaryotic virus taxonomy that scales to thousands of uncultivated virus genomes, and integrates confidence scores for all taxonomic predictions. Performance tests using vConTACT 2.0 demonstrate near-identical correspondence to the current official viral taxonomy (>85% genus-rank assignments at 96% accuracy) through an integrated distance-based hierarchical clustering approach. Beyond “known viruses”, we used vConTACT 2.0 to automatically assign 1,364 previously unclassified reference viruses to tentative taxa, and scaled it to
modern metagenomic datasets for which the reference network was robust to adding 16,000 viral contigs. Together these efforts provide a systematic reference network and an accurate, scalable taxonomic analysis tool that is critically needed for the research community.
Main text
Bacteria and archaea modulate the nutrient and energy cycles that drive ocean and soil ecosystems\textsuperscript{1-4}, and impact humans by producing metabolites that alter health, behavior, and susceptibility to disease\textsuperscript{5}. Viruses that infect these microbes modulate these ‘ecosystem roles’ via killing, metabolic reprogramming and gene transfer\textsuperscript{6,7}, with substantial impacts predicted in the oceans\textsuperscript{8-10}, soils\textsuperscript{11,12} and human microbiome\textsuperscript{13,14}. However, ecosystem-scale understanding is bottlenecked by the lack of universal genes or methods that could facilitate a formalized taxonomy and comparative surveys. In fact, viruses do not share a single gene\textsuperscript{15}, and, thus, no analog to microbial 16S rRNA-based phylogenies and OTUs are possible\textsuperscript{16}.
Another potential challenge is that some viruses are prone to high rates of gene exchange (i.e., ‘rampant mosaicism’\textsuperscript{17}), which, if broadly true, would stymie genome-based prokaryotic virus taxonomy\textsuperscript{18}. Fortunately, explorations of viral sequence space are revealing structure\textsuperscript{19,20} and population genetic support for a biological species definition\textsuperscript{21}, and new hypotheses to explain variable evolution among prokaryotic viruses\textsuperscript{22}. Such findings, alongside rapidly expanding viral genome databases, led the International Committee on Taxonomy of Viruses (ICTV) to present a consensus statement suggesting a shift from the traditional (i.e., phenotypic and genotypic criteria to classify viruses within community-curated taxonomic ranks) approach\textsuperscript{23} towards a genome-centered, and perhaps one-day, largely automated, viral taxonomy\textsuperscript{24}. This shift is particularly critical given the modern pace of viral discovery in which, as of March 2018, hundreds of thousands of metagenome-derived viral reference genomes and large genome fragments (369,518 at IMG/VR\textsuperscript{25}) now dwarf the 26,223 available from prokaryotic virus sequences in the NCBI GenBank database\textsuperscript{26}. Thus, evaluation of approaches to establish a scalable,
genome-based viral taxonomy is needed as the implementation of a commonly agreed-upon approach available to the community would be highly desirable.
Multiple genome-based strategies have been proposed to develop such a unified bacterial\textsuperscript{15,27–32}, archaeal\textsuperscript{33} and eukaryotic\textsuperscript{34} virus taxonomic framework. For bacterial viruses (“phages”), the first approach targeted phage relationships only by using complete genome pairwise protein sequence comparisons in a phylogenetic framework (the “phage proteomic tree”) and was broadly concordant with ICTV-endorsed virus groupings of the time\textsuperscript{15}. Such efforts were not widely adopted, presumably because (i) need was low (few metagenomics studies existed), and (ii) the paradigm was that “rampant mosaicism” would blur taxonomic boundaries and violate the assumptions of the underlying phylogenetic algorithms used in the analyses\textsuperscript{17}. Other efforts sought to establish percent of genes shared and percent identity of-shared genes cut-offs to define genera and sub-family affiliations\textsuperscript{35,36}, but lacked taxonomic resolution for several virus groups. This lack of resolution was due to the likelihood that the mode and tempo of prokaryotic virus evolution could vary significantly across the viral sequence space\textsuperscript{22}. Building upon a prokaryotic classification algorithm, the Genome Blast Distance Phylogeny (GBDP)\textsuperscript{37}, a freely accessible online tool (VICTOR) now provides phage genomes for classification via combined phylogenetic and clustering methods from nucleotide and protein sequences\textsuperscript{30}. Although a key advance, this method suffers from limited scalability (100-genomes limit) and taxonomic assignment challenges for the many novel, environmental viruses that lack genes shared with reference genomes.
Alternatively, several groups reasoned that the highly variable evolutionary rates across phage sequence space could be examined through gene sharing networks\textsuperscript{28,29,38} to determine whether a meaningful structure, and therefore taxonomic signal, occurs in this space. These networks, based on shared protein clusters (PCs) between viral genomes, were largely concordant with ICTV-endorsed taxa independent of whether monopartite\textsuperscript{28} (a single node type, i.e., viral genomes) or bipartite networks\textsuperscript{33,38} (two node types, i.e., viral genomes and genes) were used. Given these successes, we previously revisited the monopartite gene sharing network approach to establish an iVirus\textsuperscript{39} app (vConTACT) to automate a
network-based classification pipeline for prokaryotic virus genomes. Performance tests indicated that the network analytics used by vConTACT produced viral clusters (VCs) that are ~75% concordant with accepted ICTV prokaryotic viral genera, even with seven times more genomes now available\textsuperscript{29}. The capacity to incorporate these genomes and accuracy of the network-based analytics have resulted in viral taxonomy applications across large-scale studies of ocean\textsuperscript{40,41}, freshwater\textsuperscript{42} and soil\textsuperscript{143}, and studies of single-virus amplified genomes (vSAGs)\textsuperscript{44,45}. vConTACT 1.0 was an important step forward but could not be used for automatic tentative taxonomic assignments because \textit{(i)} it creates artefactual clusters of both under-sampled genomes (i.e., low number of genomes in a VC) and highly-overlapped regions of sequence space among some genomes\textsuperscript{29}, and \textit{(ii)} lacks several key, community-desired features such as confidence metrics for the resultant VCs, a metric for establishing hierarchical taxonomy, and scalability.
Here we introduce and evaluate vConTACT v2.0, which updates the network analytics and feature set of the original program. We apply this program to \textit{(i)} establish a centralized, ‘living’ taxonomic reference network as a foundational community resource and \textit{(ii)} demonstrate that the updated vConTACT is robust and scalable to modern datasets.
**RESULTS AND DISCUSSION**
**vConTACT 2.0 key features and updates**
The underlying goal of vConTACT is to automatically assign viral genomes into relevant established or tentative taxa, with performance assessed relative to ICTV-assigned, manually-curated taxa. Viral reference genomes of a single ICTV genus that are correctly grouped by vConTACT into a single viral cluster (VC) are deemed ‘concordant VCs’. The original vConTACT 1.0 performed well in this area, with ~75% of VCs corresponding to ICTV genera\textsuperscript{29}. However, ~25% of VCs did not match ICTV genera (termed ‘discordant VCs’). These mismatches broadly represented three scenarios: \textit{(i)} VCs that encompass ICTV genera represented by 1-2 genomes (termed ‘undersampled VCs’), \textit{(ii)} VCs that
encompass ICTV genera represented by virus genomes that shared many genes and/or modules with other VCs (termed ‘overlapping VCs’), and (iii) VCs that encompass ICTV genera represented by virus genomes that shared many genes and/or gene modules across genomes within the VC, and within subsets of the genomes in the VC (termed ‘structured VCs’). Further, vConTACT 1.0 lacked several key features to enable broader adoption and utility as described above.
To address these issues and establish vConTACT v2.0, we (i) implemented a new clustering algorithm, (ii) established confidence scores and measures of distance-based taxon separation that are crucial for hierarchical taxonomy, and (iii) optimized expansion to a large-scale viral metagenomic dataset. Briefly, the clustering algorithm was upgraded from Markov cluster (MCL) to ClusterONE\textsuperscript{46} (CL1), resulting in single parameter optimization (i.e., the inflation factor, IF) to determine VC generation being converted to three processes to better disentangle confounding signals across problematic regions of the networks (Online Methods). All three processes consider edge weight, (i.e., degree of connection between genomes), to (i) identify outlier genomes, (ii) detect and separate genomes that bridge overlapping VCs, and (iii) break down structured VCs into concordant VCs through distance-based hierarchical clustering. In addition, to help differentiate between meaningful taxonomic assignments and those that might be artefacts, each VC now receives a topology-based confidence score (value range 0-1), which aggregates information about network topological properties, and a taxonomic (genus) prediction score (value range 0-1), which estimates the likelihood of VCs to be equivalent to a single ICTV genus (Online Methods). In both scores, higher values indicate either more confident linkages (topology-based confidence score) or higher taxonomic agreement (taxonomic prediction score). Therefore, vConTACT 2.0 assigns taxonomy by a two-step clustering approach, in which VCs are first defined using CL1, and then VCs are further subdivided using hierarchical clustering to maximize the taxonomic prediction score. In such cases where VCs were further sub-divided, these are referred to as sub-VCs (benchmarking below).
Performance comparison of vConTACT versions 1.0 and 2.0
To assess clustering performance of vConTACT v1.0 and v2.0 (hereafter ‘v1.0’ and ‘v2.0’, respectively), we quantified ICTV correspondence from 336 comparisons (Online Methods) against all available ICTV-classified archaeal and bacterial virus genomes (n=2,304, accessed January 2018). Notably, though some combination of family, order, genus and species designations were available for all of these viruses, only 41% (n=940) had genus-level classifications (Supplementary Table 1). Our performance comparisons focused on this subset of classified genomes. Composite performance, the sum of six metrics (cluster-wise sensitivity, $Sn$; positive prediction value, $PPV$; geometric accuracy of $Sn$ and $PPV$, $Acc$; cluster-wise separation, $Sep_{cl}$; complex (ICTV taxon)-wise separation $Sep_{co}$; and geometric mean of $Sep_{cl}$ and $Sep_{co}$, $Sep$) was used to assess overall performance of v1.0 and v2.0 (Fig. 1a). Each of these metrics has values range from 0 to 1 with 1 indicating perfect clustering accuracy and/or coverage (Online Methods). We found that v1.0 organized the 2,304 analysed viral genomes into 305 VCs at its best inflation factor (IF=7), and 77.5% of these were concordant at the genus rank, whereas v2.0 identified 279 VCs, and 79.2% of these were concordant at the genus rank (Supplementary Table 2). Moreover, we added to v2.0 a post-processing, Euclidean distance-based hierarchical clustering step to split mismatched VCs. This step accurately and automatically classified 36 additional genera from structured VCs (Supplementary Table 1), resulting in the highest composite score of 5.4 (maximum achievable score of 6.0) at the genus rank, with a concordance of 85.0% and accuracy of 96.4% (Fig. 1a and Supplementary Table 2). Together, these findings suggest that both upgrading the clustering algorithm and adding hierarchical clustering were critical to improve automatic VC designations.
Next, we assessed how v2.0 handled areas of the reference network that represented discordant VCs. First, 55% of ICTV genera are undersampled (Supplementary Table 1), which in a gene-sharing network manifests as weakly connected, small VCs prone to artefactual clustering. In v1.0, undersampled VCs accounted for 64% (28/44) of all discordant VCs, and they could not be resolved by increasing IF values (Fig. 1b and d and Supplementary Table 1). In contrast, v2.0 automatically and accurately
handled these same 28 undersampled VCs (comprising 60 genomes) by splitting the 37 problematic genera into 22 outliers (i.e., genera with only one member) and correctly placing the remaining 38 genomes from 15 genera into 15 VCs (Fig. 1c and d and Supplementary Table 1). Thus, in instances in which v1.0 performed poorly on undersampled VCs, v2.0 was able to resolve all undersampled VCs into their appropriate ICTV genera.
Second, we evaluated the ability of v2.0 to handle overlapping VCs, which share more genes across VCs than expected, presumably due to gene exchange that could erode structure in the network. In v1.0, overlapping VCs could not be identified. In v2.0 we automated their detection via a ‘match coefficient’ between each VC that measured the connection within- and between- other VCs, and sensitivity analyses established a maximum cluster overlap value of 0.8 as diagnostic (Online Methods). In this way, nine overlapping VCs (ICTV-classified genera only) were detected. These clusters contained 30 viruses across 11 ICTV genera, which included viruses with known mosaic genomes (e.g., lambdoid or mu-like phages of the P22virus, Lambdavirus, N15virus, and Bcepmuvirus genera), temperate phages (i.e., Mycobacterium phages of the Bignuzvirus, Phayoncevirus, and Fishburnevirus genera and Gordonia phages of the genus Wizardvirus), and three newly-established genera (i.e., Cd119virus, P100virus and archaeal Alphapleolipovirus), all bearing low topology-based confidence scores (averages of 0.29 for these VCs versus 0.50 for concordant VCs; P-value = 2.09e-08, Mann-Whitney U test) (Supplementary Fig. 1). Interestingly, this set of viruses within overlapping VCs (74 in total, including non-classified genomes from ICTV) contained 31 phages having a high gene content variation due to extensive gene flow (HGCF, Fig. 1e), related to the recently proposed framework of phage evolutionary lifestyles. Further, these VCs contained highly recombinogenic temperate phages, more likely to exchange genes as opposed to low gene content flux (LGCF) phages that follow a predominantly lytic life cycle (Supplementary Fig. 1b). Thus, this observation may indicate a high linkage between overlapping genomes and phages with high gene flow. Although unresolvable in v1.0, v2.0 could assign eight of the 11 ICTV genera (24 viruses) into eight ICTV-concordant VCs (Supplementary Table 1). The remaining
three ICTV genera, all comprised of *Mycobacterium* phages\(^{50}\) (six genomes), could not be resolved. This lack of resolution is presumably due to high gene flow resulting from a predominantly temperate lifestyle that is associated with an exceptionally high fraction (avg = 69%) of genes shared across VCs (Supplementary Table 3). Undoubtedly, these genomes are the most challenging to classify, and may not be amenable to automated taxonomy. Whether such highly recombinogenic genomes are the exception or the norm across environments is unknown.
Third, structured VCs contained genomes that our gene sharing networks placed into a single VC (due to many shared genes and/or gene modules across all the member genomes), whereas ICTV delineated multiple genera (due to subsets of the genomes also sharing additional genes). V1.0 qualitatively and selectively handled these structured VCs via decomposing hierarchical patterns of gene sharing\(^{27}\). In v2.0, we formalized an optimized, quantitative hierarchical decomposition distance measure (9.0, Online Methods, Fig. 2c, and Supplementary Fig. 2) that maximized composite scores of two geometric mean values of performance metrics (*Acc* and *Sep*; Online Methods) that divide discordant VCs into concordant (to ICTV genera) sub-VCs, and used this distance as a generalized threshold. In the v2.0 network, 31 discordant VCs contained 101 phage and two archaeal virus genera, in which 23 (74%) were structured VCs spanning 86 genera (Fig. 2a,b and Supplementary Table 1). This v2.0 approach resolved 30% (26 of 86) of these ICTV genera from 6 of the 23 structured VCs (Fig. 2c). Curiously, one such structured VC was comprised of T4-like phages (of which nine out of ten T4-related genera were resolved; Supplementary Note 1), in which hierarchical ‘T4 core’ and ‘cyano T4 core’ gene sets are well documented\(^{51}\). In our networks, the T4-like phages represent a single VC, but with sub-VCs that are consistent with ICTV-established genera (VC 1 in Fig. 2c and Supplementary Table 1). Extrapolating from this network, we interpret structured VCs to represent areas of viral sequence space that are well-sampled to the point that the core gene sets that define a virus (capsid, tail, replication machinery) establish the VC in the network, whereas ecologically diverse viral genomes within the VC reveal structure due to niche-defining genes that represent adaptation to diverse environments and/or hosts. We
posit that the 19 structured VCs that cannot be resolved towards ICTV concordance (Fig. 2c and Supplementary Table 1), represent either regions of the network where niche-defining genomic information is lacking or may require complementary phenotypic or evolutionary evidence to establish ICTV genera, as done for the archaeal fuselloviruses (VC42) and bacterial microviruses (VCs 30 and 49). Thus, whether these structured VCs result from lack of resolution in v2.0 or from genera needing ICTV revision remains an outstanding question.
Finally, given such strong performance, we suggest that this gene sharing network already offers significant new taxonomic insights. First, as described earlier, only 41% of the 2,304 reference virus genomes are classified by ICTV at the genus rank. Thus, we propose that the remaining 1,364 currently genus-unclassified reference viruses, which organized into 304 well-supported hierarchically decomposed sub-VCs (Supplementary Table 1), represent genomes from *bona fide* novel virus genera. This finding, if officialised, immediately doubles established viral taxonomy and invites a framework for manual curation of these automatic assignments, which in itself will improve future vConTACT analytic performance. As first evidence of the value of such an iterative process, we note that v2.0 clustering suggested an alternative taxonomy among ten current ICTV genera: *Barnyardvirus*, *Bcep78virus*, *Bpp1virus*, *Che8virus*, *Jerseyvirus*, *P68virus*, *Pbunavirus*, *Phietavirus*, *Phikmvirus*, and *Yuavirus* (Supplementary Fig. 3 and Note 2), and manual inspection had already recommended some of these ICTV genera be revised (e.g. *Phikmvirus* viruses, ICTV proposal 2015.007a-Db). An automated vConTACT-based approach would systematically identify such problematic taxa and drastically speed up these critical revisions as new data become available.
**vConTACT v2.0 is scalable to modern virome datasets**
A major bottleneck regarding automated taxonomic assignments is the ability to robustly integrate large sets of newly discovered virus genomes. To evaluate this concern, we added ~16K curated viral genomes and large genome fragments from the Global Ocean Virome (GOV) dataset\(^{40}\) to our reference
network. We added these genomes and genome fragments in successive 10% increments (i.e., 0%-10%, [...], 0%-100%), to assess the impact of various data scales on the reference network stability of VC assignments. Network changes were tracked by assessing (i) network performance metrics ($Sn$, $Acc$ & $PPV$, as above), (ii) ‘normalized mutual information’ (NMI), as a measure of VC similarity (values range from 0 to 1 with 0 indicating that none of the original member genomes within a VC remained in that same VC and 1 indicating that all members in a VC remain in that same VC across time), and (iii) ‘change centrality’ (CC), reflecting how much each node’s connections changed as more sequences were added to the network (values range from 0-1 with 0 indicating no change and 1 indicating complete change), classified over three ‘change intensity’ groups: low (0 - 0.283), medium (0.283 - 0.506) and high (0.506 - 0.999) groups (Online Methods). Although CC indicates changes in connections between nodes, these may still remain in a given VC, albeit re-shuffled. Together, NMI and CC assess the impact of additional data on the network clusters and topology, respectively, while $Sn$, $Acc$ and $PPV$ assess concordance with ICTV taxonomy.
All measures indicated that most network changes occurred with early additions of the novel GOV data (up to 20-30% of the dataset), with the network largely stabilized after that (Fig. 3). For example, $Acc$ (mean value of $Sn$ and $PPV$) is reduced by 12% when only using 20% of the GOV data, but stabilizes at a ~7% decrease (Supplementary Fig. 4); similar responses were observed in NMI (Fig. 3b). This initial drop appears driven by formation of novel, undersampled VCs, a disruptive effect similarly observed with undersampled ICTV genera bearing low quality or confidence in VC membership. With more data, undersampled VCs reach ‘saturation’, which increases confidence scores for these new VCs and buffers from further disruption. This stabilization is likely due to strong intra-cluster forces (within VCs) vastly out-weighing inter-cluster forces (between VCs). The lasting minimal decrease represents the novelty of sequence space in GOV relative to RefSeq and the fact that these additions are commonly large genome fragments rather than complete genomes. Sequential CC analysis showed minimal impact on the RefSeq network structure and VC membership, as 85% of reference genomes had low-to-medium change,
whereas 0.05% of genomes experienced high change. The remaining 15% were classified as either singleton, outlier, or overlaps. These data support a similar pattern as NMI fluctuations (Fig. 3d): as data accumulated, fewer and fewer nodes or VCs were impacted due to new data influencing only pre-existing areas in the network. Therefore, as a network grows in scale, adding new data mostly similar to pre-existing data will have minimal impact on the underlying network structure (e.g., adding new marine data to a marine network), as newly added data is already “represented,” whereas utterly novel data will generate novel VCs and increase CC values. Indeed, most unaffected VCs (CC = 0) were non-marine or soil in origin e.g., *Andromedavirus* viruses, *Saetivirus* viruses, two archaeal viruses (Methanobacterium virus psiM2, Methanothermobacter virus psiM100), *Thermus* phages, or cyanobacterial mat viruses.
As contigs accumulate, the number of VCs also increases linearly ($R^2 = 0.998$, P-value = $1.2 \times 10^{-12}$). We examined whether GOV data may partially resolve ICTV outlier and singleton genomes. More data should create new connections to singletons, whereas outliers may get connected to new or existing VCs. Out of 38 single-member VCs of singleton and outlier genomes (Supplementary Fig. 5), three *Mycobacterium* phages clusters were improved, with two other *Mycobacterium* viruses genomes merged into six-genera heterogeneous VCs. Together, this analysis suggests that v2.0’s underlying methodology is sufficiently robust to handle large amounts of data. With 100% of GOV added (16,960 total contigs), 919 new VCs are created, representing potentially 919 new viral genera over existing RefSeq genomes.
**Community availability and future needs**
The utility of v2.0 depends upon its expert evaluation and community availability. To maximize this evaluation, members of the ICTV Bacterial and Archaeal Viruses Subcommittee were invited as co-authors to critique the work, and we made the resulting optimized tool available in two ways. First, the source code is available through Bitbucket (https://bitbucket.org/MAVERICLab/vcontact2 as a downloadable python package. Second, v2.0 is available as an app through iVirus\textsuperscript{39}, the viral ecology
apps and data resource embedded in the CyVerse Cyberinfrastructure, with detailed usage protocols available through Protocol Exchange (https://www.nature.com/protocolexchange/) and protocols.io (https://www.protocols.io/). Finally, the curated reference network is available at each of these sites.
Although v2.0 performance metrics are strong and provide a critically needed, systematic reference viral taxonomic network, limitations still remain. First, our reference network needs to be rebuilt each time new data are added. Avoiding this reconstruction step will require the development of approximation methods and/or a placement algorithm (akin to PPlacer for 16S phylogenies\textsuperscript{52}) to incorporate new data. Second, although v2.0 handles reference prokaryotic virus genomes (including ssDNA or dsDNA phages) and large GOV genome fragments, this framework has not been designed, tested or validated for eukaryotic viruses, which pose unique computational challenges\textsuperscript{34}. Third, shorter prokaryotic virus genomes and genome fragments (e.g., $\leq$ 3 PCs or $\leq$ 5 genes) are of low statistical power in the v2.0 framework, and will require new solutions to establish higher confidence VCs. Fourth, genomes identified as singletons, outliers or overlapping are currently excluded from the gene-sharing network. Although singletons and outliers can be resolved by the addition of new data, overlapping VCs can remain challenging to resolve, particularly for the HGCF phages\textsuperscript{22} that are highly recombinogenic. Such rampantly mosaic virus genomes are problematic for viral taxonomy. However, they are identifiable in the networks and, at least to date, represent the minority of known viral sequence space. Most ($\sim$75%) are LGCF viruses that remain amenable to automated genome-based viral taxonomy. Whether this situation will remain so awaits further exploration of viral sequence space—particularly where temperate phages may predominate (e.g., soils\textsuperscript{53}, human gut\textsuperscript{54}). For now, we propose vConTACT 2.0 as a tool that offers a robust, systematic and automatic means to aid the classification of bacterial and archaeal viruses.
METHODS
Data sets. Full-length viral genomes were obtained from the National Center for Biotechnology Information (NCBI) viral reference dataset\textsuperscript{26,55} (‘ViralRefSeq’, version 85, as of January, 2018), downloaded from NCBI’s viral genome page (https://www.ncbi.nlm.nih.gov/genome/viruses/) and eukaryotic viruses were removed. The resulting file contained a total of 2,304 RefSeq viral genomes including 2,213 bacterial viruses and 91 archaeal viruses (Supplementary Table 1). In parallel, the ICTV taxonomy (ICTV Master Species List v1.3, as of February, 2018) was retrieved from the ICTV homepage (https://talk.ictvonline.org/files/master-species-lists/). ICTV-classifications were available for a subset of genomes at each taxonomic rank, and final dataset included; 884 viruses from two orders, 974 viruses from 23 families, 363 viruses from 28 subfamilies, and 975 viruses from 264 genera. To maintain hierarchical ranks of taxonomy, we manually incorporated 2016 and 2017 ICTV updates\textsuperscript{56–58} to NCBI taxonomy when ICTV taxonomy was absent.
Network construction. A total of 231,165 protein sequences were extracted from the 2,304 viral genomes (above). To group protein sequences into homologous protein clusters (PCs)\textsuperscript{29}, all proteins were subjected to all-to-all BLASTP\textsuperscript{59} searches (default parameters, cut-offs of $1E^{-5}$ on e-value and 50 on bit score). A subsequent application of the MCL with inflation factor 2.0 grouped 204,540 protein sequences into 25,510 PCs, with the remaining 26,625 proteins being to singletons (those that do not have close relatives). The resulting output was parsed in the form of a matrix comprised of genomes and PCs (i.e., $2,304 \times 25,510$ matrix). We then determined the similarities between genomes by calculating the probability of finding a common number of PCs between each pair of genomes, based on the following hypergeometric equation as per Lima-Mendez et al\textsuperscript{28}:
$$P(X \geq c) = \sum_{i=c}^{\min(a,b)} \frac{C_a^i C_b^{c-b-i}}{C_n^c}$$
(1)
in which $c$ is the number of PCs in common; $a$ and $b$ are the numbers of PCs and singletons in genomes A and B, respectively; and $n$ is the total number of PCs and singletons in the dataset. A score of similarity between genomes was obtained by taking the negative logarithm (base 10) of the hypergeometric P-value multiplied by the total number of pairwise genome comparisons (i.e., $2,304 \times 2,303$). Genome pairs with a similarity score $\geq 1$ were previously shown to be significantly similar through permutation test of PCs and/or singletons between genomes\textsuperscript{29}. Afterwards, a gene (protein)-sharing network was constructed, in which nodes are genomes and edges connect significantly similar genomes. This network was visualized with Cytoscape software (version 3.6.0; http://cytoscape.org/), using an edge-weighted spring embedded model, which places the genomes sharing more PCs closer to each other.
**Parameter optimization of vConTACT v1.0 and 2.0.** Due to different criteria for parameter optimization between the clustering methods, different number and size of the clusters are often generated, which can make objective performance comparisons difficult\textsuperscript{60}. Thus, to more comprehensively compare performance, v1.0’s MCL-based VCs were generated at inflation factors (IFs) of 2.0 to 7.0 by 1.0 increments, with an optimal IF of 1.4 showing the highest intra-cluster clustering coefficient (ICCC)\textsuperscript{28} (Supplementary Table 1 and Supplementary Fig. 6). CL1, which was incorporated into a new version of vConTACT (v2.0), operates in multiple stages of complex detection\textsuperscript{46}. Unlike the MCL that uses a single parameter\textsuperscript{28}, CL1 uses a set of parameters, which can act as the threshold for each stage of complex detection. For example, as four main parameters of CL1, the minimum density, node penalty, the haircut, and the overlap automatically quantifies (i) the cohesiveness of cluster, (ii) the boundaries of the clusters (outliers), and (iii) the size of overlap between clusters, respectively\textsuperscript{46}. Of these parameters, the first two are used to detect the coherent groups of VCs as follows:
$$C = \frac{w_{in}(V)}{w_{in}(V) + w_{out}(V) + p|C|}$$
(2)
in which $W_{in}(V)$ and $W_{out}(V)$ are the total weight of edges that lie within cluster $V$ and that connect the cluster $V$ and the rest of the network, respectively, $|C|$ is the size of the cluster, $p$ is a penalty that counts the possibility of uncharted connections for each node.
As another parameter of CL1, the haircut can find loosely connected regions of the network (outliers) by measuring the ratio of connectivity of the node $g$ within the cluster $c$ to that of its neighbouring node $h$ as:
$$\Delta_{out} = \frac{k \sum_{j=1}^{l} W_{h,j}}{\sum_{i=1}^{k} W_{g,i}}$$ \hspace{1cm} (3)
in which $k$ is the number of edges of the node $g$, and $W$ is the total weight of edges of the respective nodes $g$ and $h$. If the total weight of edges from a node ($h$) to the rest of the cluster ($c$) is less than $x$ times that we specified the average weight of nodes ($g$) within the given cluster, CL1 will remove the node ($h$) from a given VC and place it into the outlier.
Additionally, CL1 can specify the maximum allowed overlap ($\omega$) between two clusters, measured by the match coefficient, as follow:
$$\omega = \frac{i^2}{a * b}$$ \hspace{1cm} (4)
in which $i$ is the size of overlap, which is divided by the product of the sizes of the two clusters under consideration ($a$ and $b$). Since CL1 identifies overlap between VCs, it can consequently find both hierarchical and overlapping structures of viral groups. This capability is a significant improvement over v1.0, given v1.0’s MCL cannot handle modules with overlaps\(^7\). Specifically, CL1 (i) finds cluster(s) having less than maximum value of specified overlap threshold (above) and (ii) merges these clusters together with their interacting cluster(s) to make the results easier to interpret. Thus, in the resulting output file, viral groups (or clusters) having the identical member viruses can be found in multiple clusters, called ‘overlapping clusters’ (Supplementary Table 1). CL1 was run with varying conditions
for these four parameters (minimum density ranging from 0 to 1 by 0.1 increments; node penalty from 1 to 10 by 1.0; haircut from 0 to 1 by 0.05; overlap from 0 to 1 by 0.05) and default settings for other parameters: 2 as minimum cluster size, weighted as edge weight, single-pass as merging, unused nodes as seeding. We therefore obtained a total number of 53,361 clustering results, which we evaluated individually to yield the highest performance on taxonomic data set (above), in terms of geometric mean value of prediction accuracy ($Acc$) and clustering-wise separation ($Sep$, see next section), as previously described\textsuperscript{61} We then used minimum density = 0.3, node penalty = 2.0, haircut = 0.65, and overlap = 0.8 to derive the final set of clusters, resulting in a total of 279 VCs (\textit{Supplementary Table 1}). As a post-clustering step of v2.0, all VCs including discordant clusters (those comprising $\geq 2$ taxa) were further hierarchically separated into sub-clusters using the unweighted pair group method with arithmetic mean (UPGMA) with pairwise Euclidean distances implemented in Scipy. To optimize the distance-based sub-clustering of VCs, we assessed the distances of sub-clusters across all the VCs. These distances (ranging from 1 to 20 in 0.5 increments) maximized the geometrical mean values of the prediction accuracy ($Acc$) and clustering-wise separation ($Sep$) at the ICTV genus rank (see next section). This optimization resulted in the distance of 9.0 yielding the highest composite score of $Acc$ and $Sep$ (\textit{Supplementary Fig. 2}).
Notably, vConTACT v2.0 was designed to help users optimize (i) parameters for grouping of genomes/contigs into VCs and (ii) distance for post-decomposition of VCs into sub-clusters. This tool automatically evaluates the robustness of VCs and sub-clusters, respectively, based on the external performance evaluation statistics (below).
**Performance comparison between vConTACT v1.0 and v2.0.** Since the external measures such as precision, recall, and others often neglect overlapping clusters, which might not reflect the true performance of CL1, we used 6 external quality metrics that were successfully used for performance comparison between MCL and CL1\textsuperscript{61} (see below). Specifically, the performance of v1.0 (MCL) and v2.0 (CL1 alone and CL1 + hierarchical sub-clustering, respectively) were evaluated based on: (i) cluster-wise
sensitivity, $Sn$ (ii) positive predictive value, $PPV$ (iii) geometric accuracy of $Sn$ and $PPV$, $Acc$ (iv) cluster-wise separation, $Sep_{cl}$ (v) complex (ICTV taxon)-wise separation $Sep_{cos}$, and (vi) geometric mean of $Sep_{cl}$ and $Sep_{cos}$. As an internal parameter, we computed the intra- and inter-cluster proteome similarities (fraction of shared genes between genome that are within the same VCs and different VCs, respectively). For vConTACT v1.0, clustering result yielding the highest clustering accuracy value (inflation of 7.0) was subsequently used for comparison to v2.0’s clusters and sub-clusters.
To generate six external measures, we first built a contingency table $T$, in which row $i$ corresponds to the $i^{th}$ annotated reference complex (i.e., ICTV-recognized order, family, subfamily, or genus), and column $j$ corresponds to the $j^{th}$ predicted complex (i.e., sub-/clusters). The value of a cell $T_{ij}$ denotes the number of member viruses in common between the $i^{th}$ reference complex and $j^{th}$ predicted complex. Here, $N_i$ is the number of member viruses belonging to reference complex $n$. $Sn$ and $PPV$ are then defined as follows:
$$Sn = \frac{\sum_{i=1}^{n} \max_j \{T_{ij}\}}{\sum_{i=1}^{n} N_i}$$
(5)
$$PPV = \frac{\sum_{j=1}^{n} \max_i \{T_{ij}\}}{\sum_{j=1}^{n} T_i}$$
(6)
Generally, higher $Sn$ values indicate a better coverage of the member viruses in the real complexes, whereas higher $PPV$ values indicates that the predicted clusters are likely to be true positives. As a summary metric, the $Acc$ can be obtained by computing the geometrical mean of the $Sn$ and $PPV$ values:
$$Acc = \sqrt{Sn \times PPV}$$
(7)
With the same contingency table used for $Sn$, $PPV$, and $Acc$, we calculated the averages of complex-wise separation $Sep_{co}$, and cluster-wise separation $Sep_{cl}$, respectively, below:
$$Sep_{co} = \frac{\sum_{i=1}^{n} Sep_{co_i}}{n} \quad (8)$$
$$Sep_{cl} = \frac{\sum_{j=1}^{m} sep_{cl_j}}{m} \quad (9)$$
High $Sep_{co}$ and $Sep_{cl}$, (both have maximal values of 1.0) indicate how well a given complex is isolated from the other complexes and a cluster from other clusters, respectively. To estimate these separation results as a whole, the geometric mean (clustering-wise separation; $Sep$) of $Sep_{co}$ and $Sep_{cl}$ was computed:
$$Sep = \sqrt{Sep_{co} \times Sep_{cl}} \quad (10)$$
High clustering-wise separation values indicate a bidirectional correspondence between a sub-/cluster and each ICTV taxon: maximal value of 1.0 can be obtained when a sub-/cluster corresponds perfectly to each taxon.
As an internal measure, the fraction of PCs\textsuperscript{29} between two genomes (i.e., proteome similarity) was computed by using the geometric index (G). The proteome similarity was estimated as:
$$G_{AB} = \frac{|N(A) \cap N(B)|}{|N(A)| \times |N(B)|} \quad (11)$$
in which $N(A)$ and $N(B)$ indicate the number of PCs in the genomes of A and B, respectively. A total of 400,234 pairs of genomes with >1% proteome similarity are shown in Supplementary Table 3.
**Clustering-based confidence score.** To generate the confidence score per sub-cluster, we used four confidence scoring methods, as previously described\(^{62,63}\), with some modifications. Three of them exploit the network topology properties by assessing (i) the significance of clustering coefficient, (ii) the weight of cluster quality, and (iii) the probability of cluster quality. We then used combined these three values into an aggregate topology-based confidence score.
Specifically, for the significance of the clustering coefficient, we quantified the fidelity \((F)\) of the edge \((p)\) by calculating cumulative hypergeometric P-values using Equation 1 (above) between sub-clusters. The fidelity values are lower (close to 0) for the genomes having the higher number of shared genes. We then defined the confidence of sub-cluster cohesiveness as the product of the fidelity values of total edges (i.e., \(p1\) and \(p2\)) within the sub-cluster \(c\) as below:
\[
\text{Confidence}(c) = F_{p1,c} \times F_{p2,c}
\]
(12)
For the second scoring method, we computed the quality \((Q)\) of sub-cluster \((c)\) as:
\[
Q_c = W_{in}/W_{in} + W_{out}
\]
(13)
in which \(W_{in}\) and \(W_{out}\) are the total weight of edges that lie within sub-cluster \(c\) and across others, respectively. For the third method, we evaluated the P-value of a one-sided Mann-Whitney U test for in-weights and out-weights of sub-clusters. The rationale behind this test is that sub-clusters with a lower P-value contains significantly higher in-weights than out-weights, thus indicative that a formed sub-cluster is valid, and not a random fluctuation. All pairs of three values above were then incorporated into the topology-based confidence score with the Spearman rank correlation coefficient by using in-house python scripts and Scipy. Along with this confidence score, we quantified the likelihood that each sub-cluster
corresponds to an ICTV-sanctioned genus (or equivalent) by using distance threshold that are specified at the ICTV genus rank, which we refer to as “taxon predictive score”. This score can be calculated as:
\[
\text{prediction} = \sum l_{i,j} / l_c
\]
(14)
Specifically, for a sub-cluster (c) having the genus-level assignment, vConTACT v2.0 automatically measures the maximum distance between taxonomically-known member viruses and calculate the scores by dividing the sum of links having less than the given maximum distance threshold between nodes (i and j) by the total number of links (\(l_c\)) between all nodes. For a sub-cluster that does not have the genus-level assignment, v2.0 uses Euclidean distance of 9.0 that can maximize the prediction accuracy and clustering-wise separation (see above) as distance threshold.
**Measuring effect of GOV on network structural changes.** GOV contigs (14,656) were added in 10% increments (randomly selected at each iteration) to NCBI Viral RefSeq and processed using vConTACT 2.0 with one difference – Diamond\(^{64}\) instead of BLASTp was used to construct the all-versus-all protein comparison underlying the PC generation. Once generated, vConTACT 2.0 networks were post-processed using a combination of the Scipy\(^{65}\), Numpy, Pandas\(^{66}\) and Scikit-learn\(^{67}\) python 3.6 packages. Networks were rendered using iGraph\(^{68}\). To calculate NMI, each network’s genomes and their VC membership was compared in pairwise fashion to all other networks using the “adjusted mutual info score” function of Scikit-learn. Intra-cluster distances were calculated using the agglomerative clustering functions “linkage” with distance calculated from shared PCs using the cluster average (also known as UPGMA), and novel clusters identified using the “fcluster” function of Scipy’s hierarchical clustering. In parallel, the method to calculate change centrality was calculated as described previously\(^{69}\). CCs were calculated in a successive way, in which each addition was compared to Viral RefSeq 85 independently of other additions (0% versus 10%, 0% vs 20%, […], 0% vs 100%).
Code availability. The vConTACT v2.0 package is freely distributed through Bit Bucket as a python package (https://bitbucket.org/MAVERICLab/vcontact2).
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ACKNOWLEDGEMENTS. We thank Laura Bollinger, Gareth Trubl, and Igor Tolstoy for their comments on improving the manuscript, as well as Wesley Zhi-Qiang You for helping push the network analytics. High performance computational support was provided as an award from the Ohio Supercomputer Center to MBS. Funding was provided in part by the Department of Energy’s Genome Sciences Program Soil Microbiome Scientific Focus Area award (#SCW1632) to Lawrence Livermore National Laboratory; an NSF Biological Oceanography award (OCE#1536989), and a Gordon and Betty
Moore Foundation Investigator Award (#3790) to MBS. Funding was provided to JRB by the Intramural Research Program of the NIH, National Library of Medicine. The work conducted by the U.S. Department of Energy Joint Genome Institute is supported by the Office of Science of the U.S. Department of Energy under Contract DE-AC02-05CH11231 to SR. This work was funded in part through Battelle Memorial Institute’s prime contract with the US National Institute of Allergy and Infectious Diseases (NIAID) under Contract No. HHSN272200700016I to JHK. The content of this publication does not necessarily reflect the views or policies of the US Department of Health and Human Services or of the institutions and companies affiliated with the authors.
**AUTHOR CONTRIBUTIONS.** HBJ, BB and MBS designed the study. OZ and MBS wrote the manuscript with significant contributions from all co-authors. HBJ and BB performed the statistical and network analyses.
**COMPETING INTERESTS.** The authors declare no competing interests.
**MATERIALS & CORRESPONDENCE.** Correspondence and material requests should be addressed to Matthew B. Sullivan at firstname.lastname@example.org.
a
Composite score
Clustering-wise separation (Sep)
Complex-wise separation (Sep_{cl})
Cluster-wise separation (Sep_{cl})
Accuracy (Acc)
Cluster-wise positive prediction (PPV)
Complex-WG sensitivity (Sn)
Order
F Family
S Subfamily
G Genus
b
vConTACT v1.0
MCL_IF7.0 (305 VCs)
c
vConTACT v2.0
CL1 (279 VCs)
d
% of shared PCs
e
Unknown_T (2)
Mixed_T (7)
HGCF_L (5)
HGCF_T (26)
LGCF_T (2)
Figure 1: Viral clusters (VCs) and their protein clusters (PCs). (a) A network of VCs, with each node representing a VC and edges connecting VCs that share at least one PC. VCs are color-coded by genus. (b) The percentage of shared PCs between VCs within and across genera. (c) A phylogenetic tree of VCs, with each branch representing a VC and the color indicating its genus. The tree is annotated with the number of shared PCs between VCs.
a
30% (5,737)
70% (10,638)
100% (14,524)
b
GOV % Added
0 10 20 30 40 50 60 70 80 90 100
0 0.24 0.28 0.32 0.36 0.4 0.44 0.48
c
Average Euclidean Distance within VC
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
Original Trimmed 2 3 4 5 6 7 8 12 13 14 15
d
Successive Change
Change Centrality
0.0 0.2 0.4 0.6 0.8 1.0 1.2
Centric Genome VC
GOV %
10 20 30 40 50 60 70 80 90 100
|
Wallaceward the American Literature Survey Course Takes Its Way
Ralph Clare
Boise State University, firstname.lastname@example.org
Follow this and additional works at: https://scholarworks.boisestate.edu/english_facpubs
Part of the American Literature Commons, and the Literature in English, North America Commons
Publication Information
Clare, Ralph. (2019). "Wallaceward the American Literature Survey Course Takes Its Way". *Approaches to Teaching the Works of David Foster Wallace*, 75-84.
This document was originally published in *Approaches to Teaching the Works of David Foster Wallace* by Modern Language Association of America. Copyright restrictions may apply.
Wallaceward the American Literature Survey Course Takes Its Way
Ralph Clare
Finding a comfortable fit for David Foster Wallace’s work in the American literature survey is a challenge that raises a host of questions regarding Wallace and American literature itself. Wallace criticism has tended to situate his oeuvre in relation to postmodernism in general and, more specifically, to postmodern meta-fiction. This is an important critical task, to be sure. Like many, I have taught Wallace’s stories, essays, and novels in an array of courses, including twentieth-century American literature, postmodernist literature, and the single author course, all formats in which I had a luxurious amount of time to get students acquainted with Wallace’s complex on-again, off-again relationship with that often exciting, if sometimes terrifying, thing called postmodernism. But what happens when Wallace is not the focal point of a course, or when a course reaches back before the twentieth century, or when students read only one of Wallace’s shorter pieces at the tail end of a course packed with numerous writers and poets, some of whose works seemingly have nothing in common with Wallace’s? What gets inevitably overlooked in the limited, though nuanced, context of twentieth-century or theme-based courses that feature Wallace is his work’s relation to the American literary tradition as a whole, as well as questions about the ways in which we can understand Wallace’s place in the ever-evolving American canon. Teaching Wallace in the survey course provides a prime opportunity to address such pressing concerns.
One of the unique features of the literature survey is that it provides a longue durée that establishes shared concerns and themes and demonstrates their transformation over time. Placing Wallace in the context of the survey means that we ought to consider him as one of many writers who have significantly questioned and altered how we view literature, ourselves, and America in ways that are relevant beyond the present in which they wrote. Hence, this essay will explore two specific ways in which Wallace might fit into the American canon beyond the obvious post-postmodern periodization of his oeuvre, and it will consider which of Wallace’s works are best suited to the aims of the survey.
The American Self
The Chris Fogle chapter, section 22, in *The Pale King* is quite possibly the best candidate of Wallace’s fiction to complement the survey course. Though the chapter is an excerpt from a novel, it works well as a stand-alone piece that contains many of Wallace’s familiar themes; its novella length makes it a readable size for a survey; and, perhaps most important, it forges connections with texts likely to have been covered earlier in the course, especially in the longer survey.
Postmodernism, when it arrives in the survey, earns at best a few weeks at the end of an exhausting semester. When and if the question of post-postmodernism arises, students are probably already studying for finals and frantically finishing papers, hence the benefit of finding a work by Wallace that enters into dialogue with several of the works the class has read over the semester.
If one can manage it, setting aside two classes to discuss Fogle’s narrative of his transformation from a self-described “wastoid” and “nihilist” into a serious and driven IRS agent will serve students best. The first day can be spent exploring the story’s themes of freedom, choice, and individualism, as well as the ways in which Wallace turns Fogle’s story into an allegory about the ongoing political and cultural challenges facing America in the twenty-first century. The second day offers an opportunity to discuss the story’s generic and formal features and its links to earlier American literary genres and to consider how Wallace works within tradition while reworking it.
Some preliminary remarks about Wallace’s critique of postmodernism will establish a useful framework for students to think about the story. By this point in the course, we will just have finished roughly two to three weeks on postmodernism, usually having read Pynchon’s “Entropy,” Barthelme’s “The Balloon,” and Hunter S. Thompson’s *Fear and Loathing in Las Vegas*. Having at least one high postmodern text in this grouping is helpful in that postmodernism’s penchant for textual play and disinterest in fleshed-out characters is something that Wallace’s work reacts against. Indeed, one could bring in an excerpt from Wallace’s McCaffery interview to emphasize this point.
For new college students, many of whom are still acclimating to university life and deciding on their majors, Fogle’s first-person narrative relating his struggle to find himself in life is sure to resonate. Students are likely to see Fogle’s dilemma primarily as an existential one, raising such fundamental questions as, What is the meaning of life? What is truly worth doing? To what degree do the expectations of my family or society matter in my decisions? To be sure, these questions underlie Fogle’s experiences, but the trick is to get students to see that Wallace is up to much more than telling simply another coming-of-age tale.
The existential question of the burden of freedom, in the broadest sense, is a theme most students will have homed in on; a good question to pose students at the beginning of discussion is, in what ways is Fogle free during his college years? Students will surely note that Fogle is exemplary of someone with the freedom to do whatever he wants, which he exercises by essentially doing nothing but partying, taking drugs, dropping out of school, and making cynical fun of the world around him. He sees himself as a rebel, and students will probably have strong opinions regarding the familiar figure of the American rebel or maverick so often depicted as free from society’s petty and hypocritical constraints.
Since the discussion of freedom up to this point will have been fairly abstract, it will be necessary to start directing it toward the story’s greater concerns regarding American democracy. To this end, a quick poll asking students to write down what freedom means to them will generate some common answers: freedom of (consumer) choice or thought, freedom from intrusive government, freedom to pursue happiness, freedom to do whatever you want so long as it does not harm someone else, etc. After listening to these answers, it is important to point out to students that they are equating freedom with individual freedoms or liberties. The next question should address whether Fogle as an individual is using or abusing his freedoms. Is there a positive and negative way to use freedom?
Undoubtedly some students will point out that Fogle is wasting his life and thus his freedoms too. This is a perfect opportunity to have students parse Fogle’s realization that “I drifted . . . because nothing meant anything, no one choice was really better. That I was, in a way, too free, or that this kind of freedom wasn’t actually real—I was free to choose ‘whatever’ because it didn’t really matter. . . . I had somehow chosen to have nothing matter” (223). Here, students should consider how Fogle can be “too free” and what “real” freedom entails—active engagement instead of passive acceptance. Handing out an excerpt from Alexis de Tocqueville’s *Democracy in America* will also help to spur a more focused discussion about the interrelation of freedom, self-interest, and the greater community. Democracy, Tocqueville writes, “at first, only saps the virtues of public life; but, in the long run, . . . attacks and destroys all others, and is at length absorbed in downright egotism” (98). Tocqueville’s warning recalls early American texts that ponder the promise and perils of a young nation, such as J. Hector St. John de Crèvecœur’s letter claiming that Americans’ “labour is founded on the basis of nature, self-interest; can it want a stronger allurement?” (44) as well as John Winthrop’s “A Model of Christian Charity,” with its religious argument and corporeal metaphor for the establishment and bonding of community through love. With these texts in mind, students can explore what freedom of choice means politically, and not just existentially, in statements like “[i]f I wanted to matter . . . I would have to be less free, by deciding to choose in some kind of definite way” (*Pale King* 224). In short, Wallace shows how Fogle’s dilemma, and our own, is still related to fundamental questions about the relation between the one and the many, and between personal liberties and governmental authority. Students should benefit from Wallace’s renewal of these questions that can sometimes seem stuffy or dated but are as relevant and urgent as ever.
Once students have grasped the personal-as-political stakes of Fogle’s story, they should be prepared to identify larger questions regarding the sustainability of American democracy. Pointing out that Fogle accidentally attends the lecture that will change his life instead of taking a final exam on *The Federalist Papers* will allow the class to revisit the question posed in *Federalist No. 1* as to “whether societies of men are really capable or not of establishing good government from reflection and choice” (Rossiter 27) and the argument elaborated in *Federalist No. 10* apropos of “the numerous advantages promised by a well-constructed Union, [such as] its tendency to break and control the violence of faction” (71). In the light of *The Federalist Papers*, I recommend asking students what “factions” or sides exist in the story and what the qualities are of each. Following students’ suggestions, drawing this schema on the board will yield a division
between Fogle’s father, a representative of the conservative 1950s, and Fogle (and his mother), representative of the “Me Generation” in bloom after the heady years of the ‘60s (*Pale King* 165–68). This visual chart illustrates the gaping generational chasm and resulting authority vacuum. Fogle describes a culture in which the father’s moral authority no longer holds sway, having been rightfully criticized by a radical ‘60s politics. Yet, as the story shows, without a replacement for that authority, “pretty much every red-blooded American in [the] late-Vietnam and Watergate era felt desolate and disillusioned and unmotivated and directionless and lost” (213). At this point reminding students about Wallace’s position vis-à-vis literary postmodernism and the postmodern era should help them see the ways in which Wallace is criticizing Fogle and his generation’s failure to respond to troubled times with anything but irony and cynicism, for “all of the directionless drifting and laziness and being a ‘wastoid’ which so many of us in that era . . . believed was cool and funny . . . was, in reality, not funny” (223).
Students will recall that the goal of *The Federalist Papers* is not to end but to manage faction by arguing that states should adopt the Constitution and submit to a strong central power for the good of the nascent nation. What, students might consider, represents such a power in the story? Directing students to the passage in which Fogle describes his encounter with the Jesuit professor will make for a provocative discussion, since Fogle’s statement that “a real authority was not the same as a friend or someone who cared about you, but could nevertheless be good for you, and that the authority relation was not a ‘democratic’ or equal one yet could have value for both sides” (227) may at first strike students as counterintuitive. What value might be accorded an authority that is not democratic? Does this mean that one should unquestionably submit to whoever holds power, and does this not lead to tyranny or fascism? After some discussion, pointing out that the *Federalist No. 10* proposes a republican form of government and not a “pure democracy” (76) should help students to see that Fogle’s situation as a “free” individual at war with his father’s generation is analogous to the antifederalists who resisted relinquishing any power to a strong central government for fear of tyranny. What Fogle eventually realizes is that the Jesuit’s authority, like any power, is not exactly one-sided, that “[i]t was a certain kind of power that he exerted and that I was granting him, voluntarily” (227). Thus Wallace suggests that Fogle must make a deliberate choice to commit to something larger than himself (say, civic duty), which will cost him a certain amount of “freedom,” in order to overcome his personal nihilism. By extension, the same goes for American politics, in which political infighting and party politics can trump the government’s ability to make sound decisions for the betterment of the nation as a whole.
After establishing Wallace’s portrayal of the dangers of an American individualism given over to selfishness and nihilism, it is just as important that students explore the positive side of individualism or, more precisely, what Fogle’s ability to change his life for the better says about the capacity of the individual self. To
this end, I would call attention to the notable Emersonian feel to Fogle’s description of his Pauline decision to “[p]ut away childish things” (172) because “there were depths to me that were not bullshit or childish but profound, and were not abstract but actually much realer than my clothes or self-image, and that blazed in an almost sacred way” (187). The sovereign or sacred self that emerges at the moment of decision, or is actually always there to begin with, shares something with Emerson’s divinity of the soul. A survey incorporating an Emerson essay, such as “The Poet,” “The American Scholar,” or an excerpt from *Nature*, as well as selections from Thoreau’s *Walden*, can help to establish Wallace’s link to the transcendentalists. Emerson’s “Self-Reliance” is especially apt as its lauding of the divine self—“[n]othing is at last sacred but the integrity of our own mind” (1165)—and diatribe against conformity pairs creatively with the young “rebel” Fogle’s ironic realization that “I was just as much a conformist as he [his father] was, plus a hypocrite” (165). Asking students what Emerson and Thoreau might have thought about Fogle’s decision to join the “Service” (as Fogle calls it) with its seemingly institutional conformity prompts them to consider what individualism meant in the nineteenth century and what Wallace thinks it means today. Emerson, after all, claimed that “a greater self-reliance,—a new respect for the divinity in man,—must work a revolution in all the offices and relations of men” (1175), and it is curious to consider Wallace as a post-postmodern Emerson in this respect. Moreover, Thoreau’s “Resistance to Civil Government,” with its criticism of the ways in which governmental institutions may dominate individuals and its call for a citizen not to “resign his conscience to the legislator” (1858), offers a compelling foil to Fogle’s unquestioned belief in the civic good of working for the IRS. Yet who in the modern world is ever free of an institutional affiliation (from one’s work to the very university that teaches about individualism) or is completely “off the grid,” in today’s parlance? In this light, students should look closely at the Jesuit’s rallying sermon, which recalls Frederick Jackson Turner’s *The Significance of the Frontier in American History*. The Jesuit claims that “accountants . . . are today’s cowboys” who are “[r]iding the American range. Riding herd on the unending torrent of financial data” (233). Moreover, “[y]esterday’s hero pushed back at bounds and frontiers” and “generated facts,” whereas “the heroic frontier now lies in the ordering and deployment of those facts . . . . To put it another way, the pie has been made—the contest is now in the slicing” (232). If this is so, does Fogle provide a model for how to remain an individual within an institution?
The second day spent analyzing Fogle’s narrative should focus mainly on the literary techniques and genre conventions that Wallace employs. Fogle’s story is clearly a “conversion narrative” and resonates with the tradition of the Puritan sermon. It also shares generic qualities with captivity narratives, such as Mary Rowlandson’s, and slave narratives, such as *The Narrative of the Life of Frederick Douglass*, as well as autobiographical texts, such as the first chapter of W. E. B. Du Bois’s *The Souls of Black Folk* and *The Education of Henry Adams*, both of which link personal revelation to national discovery. Students can trace the
similarities and differences between these narratives and Fogle’s, which is distinct from the earlier texts in that it displays a self-consciousness of generic conventions, though it does not, following Wallace’s critique of postmodernism, use any metafictional techniques to parody or ironize these conventions. After a short introduction to the conversion narrative, students might complete a short written response to the questions, In what ways does the story illustrate the features of a conversion narrative, and why might Wallace employ the genre?
Having already discussed the “sacred self” with its Emersonian overtones, students should recognize the spiritual aspect of Fogle’s narrative and understand Wallace’s aim of converting the reader, so to speak, to the pursuit of an aware, responsible, and morally earnest citizenship. Fogle’s tale can be put in fruitful dialogue with Jonathan Edwards’s “Personal Narrative,” an example of a Great Awakening text that reacts to Enlightenment sentimentalism by emphasizing the emotional experience of spiritual awakening. Students might compare and contrast Wallace’s religiously tinged yet secular conversion story with Edwards’s. That Fogle, for instance, gives a metacritique and a psychological explanation of a onetime Christian classmate’s conversion, but does not discount its actual effects, is compelling. In the light of Wallace’s aversion to postmodern cool and irony and his desire to stress emotion and feeling in his work, students may be asked to consider the postmodern challenge to Enlightenment ideas of the self and the rational world, the degree to which Wallace’s text rejects or accepts Enlightenment values, and the possibility that post-postmodernism might mark a new kind of sentimentalism in America literature. Introducing Paul Giles’s argument that Wallace is a “sentimental posthumanist” (291) can help to clarify such questions for the class. Students should debate whether Wallace reworks the conversion narrative in a way that is self-aware enough to refute charges that he is merely naïve or nostalgic for a former, mythic, Emersonian self.
Unlike these generically structured and carefully ordered texts, moreover, Fogle’s story exhibits a style similar to the stream of consciousness in Ernest Hemingway’s “The Snows of Kilimanjaro” or in William Faulkner’s “Barn Burning.” T. S. Eliot’s “The Love Song of J. Alfred Prufrock” could come into play here too, as Eliot’s narrator appears to ramble, offering seemingly disordered reflections that on further study prove to be bound to one another by images, allusions, and symbols. Asking students to distinguish how stream of consciousness works differently in each of these texts helps demonstrate the evolution of this modernist stylistic device. Wallace’s story is not merely a catalogue of imbricated senses, emotions, memories, and desires, however. It evinces a kind of meta-aware stream of consciousness in which Fogle attempts, with some success and in keeping with the theme of willful choice, to guide his thoughts, memories, and reflections. It is as if Fogle has become a participant-observer of his own stream of consciousness, marking a kind of meta-awareness typical of an age in which neuroscience has transformed our understanding of the mind, so that consciousness appears paradoxically both more transparent and opaque than
even an erstwhile modernist depth psychology, with its Freudian, Jungian, and mythic underpinnings, represented it to be.
**Before and beyond Irony**
The survey setting can also reveal how one of Wallace’s most important themes, the destructiveness of postmodern irony, shares a genealogy with the American preoccupation with innocence and experience. “My Appearance” or “Little Expressionless Animals” may be sequenced with Nathaniel Hawthorne’s “Young Goodman Brown,” Henry James’s “Daisy Miller: A Study,” T. S. Eliot’s “Pru-frock,” Flannery O’Connor’s “Good Country People,” and Jhumpa Lahiri’s “Sexy” to create a cluster of texts expressing the theme of lost innocence. In all these stories, characters struggle to overcome skepticism or to accommodate painful knowledge about the world, which sometimes leads them to dire cynicism and other times to guarded optimism.
Such texts simultaneously interrogate the notion of “the American as Adam” that R. W. B. Lewis traced in nineteenth-century American literature and that can comprise one thematic route of inquiry throughout the survey. The optimistic Adam, in following the spirit of the new nation, is a figure usually free of history, personal ties, and obligations. He is the Emersonian individual, whose “moral position was prior to experience, and . . . was fundamentally innocent” (5). Adam is thus part of the larger myth of America as a place of newness, innocence, optimism, and self-invention. Familiarizing students with the Adamic figure will allow them to consider and challenge Lewis’s claims in a wide array of works. They may observe that Wallace’s critique of postmodern culture is not far from Lewis’s complaint, regarding early-twentieth-century literature, that “irony has withered into mere mordant skepticism” and “[t]he new hopelessness is . . . as simple-minded as innocence” (196)—a comparison that helps situate Wallace’s battle against irony in the long American tradition of weighing innocence against experience.
A good place to begin exploring the theme of innocence and experience in the shorter survey is “Young Goodman Brown,” in which the naïve protagonist adopts a holier-than-thou attitude toward his community, believing he has witnessed the moral hypocrisy of his entire village. Since students often align their views of the Puritan community with Brown’s, it is a good idea to ask them why he ends up living an alienated and bitter life as “[a] stern, a sad, a darkly meditative, a distrustful, if not desperate man” (1297) whose “dying hour was gloom” (1298). Students will invariably note how Hawthorne upsets our assumption that innocence is always positive and experience negative. Young Goodman Brown walls himself behind the cynical presumption that human nature is essentially corrupt in order to avoid a transformative experience, only confirming his naïveté. Brown’s innocence keeps him from ever testing the claims of his superior
morality; thus his supposed knowledge becomes a platform from which he looks down on others. During the class discussion, I suggest employing Wallace's phrase that "cynicism and naïveté are [not] mutually exclusive" ("Westward" 304) to sum up Brown's predicament. By the time the class reaches Wallace at the semester's end, the theme of innocence and experience will have been neatly encapsulated by this phrase (which can also apply to the texts discussed below), and students are likely to identify this theme immediately in Wallace's work.
The theme of experience masking innocence also appears in works by James, Eliot, and O'Connor that portray intelligent characters who view the world from detached, ironic stances, much to their detriment. Since for Wallace, irony (even its postmodern variation) has its time and place ("E. Unibus Pluram" [Supposedly] 66–68), it is important to underscore for students that irony and cynicism are acceptable modes of defense for characters in these texts. This will help later on when distinguishing Wallace's negative take on such attitudes in his criticism of postmodern society and culture. Nonetheless, what Wallace sees as a cultural problem in the postmodern era can also be read as a common and personal one in many twentieth-century texts. Consider the sophisticated Winterbourne's failed attempts to figure out the naïve Daisy in "Daisy Miller." Although Daisy is equated with innocence and Winterbourne with experience, James breaks down this binary as Winterbourne's so-called knowledge leads him to misread Daisy and to mask, as he later admits to his aunt, his true feelings toward her and thus, ironically, his own naïveté in matters of the heart. One moral of this story that gels with Wallace's work is that, although others are technically unknowable, true relationships require that one must risk being vulnerable to the other.
In the war-shattered world of "Prufrock," knowledge leads not even to a belated, if ineffectual, enlightenment but to inaction and an increased sense of alienation. Prufrock's ironic view of modern life (tinged with nostalgia for a supposedly more innocent time) and his fear that the limits of language prevent him from expressing his subjective emotions trap him in unending solipsistic despair. This debilitating state is similar to that of numerous Wallace characters, from Infinite Jest's Hal to the depressed person in Brief Interviews with Hideous Men.
Finally, nowhere does Wallace's assertion about the relation between cynicism and naïveté seem more apt than in "Good Country People," in which the pretentious Hulga bitterly plays the perpetual teenager, torturing her blindly quixotic mother. Yet Hulga, a master of irony and black humor, is humbled after a trickster bible salesman steals her wooden leg and reveals her philosophical nihilism to be merely a cynical armor covering deep psychological wounds. In each of these stories, so-called experience and knowledge lead to a character's ironic attitude and cynical resignation toward the world as they see it, an ultimately destructive behavior. Students will often respond positively to the cynicism of these characters or texts (particularly Hulga's character) because they expose society's hypocrisies. In final preparation for Wallace's critique of irony, then, I recommend pointing out to students that the characters' cynicism, although perfectly understandable, only compounds their problems. This sets the stage as the course
moves on to an age in which, per Wallace, irony cannot be reduced merely to an individual’s or a character’s defensive shield against an untenable reality because postmodern irony itself ultimately helps constitute and sustain this reality and must be faced directly without resort to further ironic modes of disengagement.
Wallace’s “My Appearance” and “Little Expressionless Animals” are well suited to tie into the theme of innocence and experience, though the former story is perhaps the better fit. An excerpt of the last paragraph of “E Unibus Pluram” will contextualize Wallace’s story vis-à-vis postmodernism, but I advise directing students’ attention to the fact that Wallace sees his stance against irony as a moral decision. This frees Wallace’s work from being seen as merely a reaction to postmodernism. “My Appearance,” which relates a B celebrity’s puzzling over how to appear sincere while actually being sincere on NBC’s Late Night with David Letterman, illustrates the dangers of treating irony as a mode of being, and Edilyn’s struggle to remain sincere in a media-saturated age of irony is something to which a generation of social media users can relate. Edilyn’s husband, Rudy, claims that the way to survive Letterman lies not in being sincere or insincere but in “being not-sincere” (185). But there is a problem with putting on such an act. As Edilyn says to him later, “if no one is really the way we see them . . . that would include me. And you” (200). Not unlike Winterbourne, Prufrock, and Hulga, Rudy adopts a cynical attitude rather than grapple with the complexities of being—an honest undertaking that would require remaining open and trusting toward others—in a world of appearances. The final irony, however, is that he takes an obvious illusion—a meta-TV show meant to entertain—to be the reality of daily life, a rather naïve mistake that will cost him his marriage at the very least. Edilyn resists this pessimism, however, and realizes that playing along with Letterman constitutes just that, play. The end of the story is not exactly a happy one, but Edilyn manages to keep a strong sense of her own identity and authenticity in a world in which reality and image have imploded. The choice to reject irony and its attendant cynicism as a way of life, Wallace suggests, is difficult but possible.
The sober ending of “My Appearance” also resonates with “Sexy,” which updates and inverts the international theme of “Daisy Miller” in its story about a white woman, Miranda, who carries on a failing affair with an Indian émigré, Dev. Miranda’s failure to realize the difference between perceiving herself as a sexy mistress and being a truly cared-for lover mirrors her inability to learn about Indian culture in a multicultural America and globalized world. While claiming to offer access to all cultures to those who can afford it, the commodification of those very cultures both incites and hinders any real cross-cultural transmission. As in “My Appearance,” authenticity is not what it seems, and an American citizen on American soil can feel as dislocated as an immigrant. Globalization, like the media in Wallace’s stories, has clearly transformed the space and place of understanding self and culture, and there is no escape from this. Miranda’s decision that her affair with Dev must end signals a tempering of her earlier romanticizing of him—a false form of knowledge stemming from innocence as
ignorance—and her acceptance of the reality that she is a mistress and not a true lover. The story’s final image of the Mapparium, which resembles the Taj Mahal—the “everlasting monument to love,” as Laxmi calls it, in contrast to the fleeting, loveless affair Miranda is engaged in (3254)—is not wholly ironic, as the image creates a peaceful scene against a “clear-blue sky spread over the city” (3264), suggesting that Miranda, like Edilyn in “My Appearance,” has not become cynical after her self-realization.
Taken together, these texts allow students to see the ways in which the myth of American self-invention is caught up in a binary of innocence and experience. For many characters, losing innocence means losing optimism, the capacity to be open to others, and faith in the world. Experience thus results in pessimism, solipsism, and an ironic attitude toward life in general. Wallace’s work, as “My Appearance” and Fogle’s story demonstrate, calls attention to the ongoing moral challenge for the erstwhile American Adam, the Emersonian self, or the individual citizen to avoid accepting a cynical and corrosive view of an admittedly troubled world. This means recognizing the inescapable fact that the individual is dependent on others, yet also recognizing that the individual self must, at times, choose not to participate in a culture in which selfishness and disaffection are the norm. Wallace’s post-postmodern Adam, as the cases of Fogle and Edilyn suggest, does not leave the Garden mourning a lost innocence, as it might be argued Young Goodman Brown or Prufrock does, for that would simply be nostalgic or reactionary. Nor does this newly exposed Adam employ irony as a defensive shield or a weapon, as can be seen in “Daisy Miller” and “Good Country People,” because that might lead only to solipsism and despair. Instead, Wallace’s American Adam must make an earnest decision to fall openly into the world, to embrace sentiment but not sentimentality, and to recognize the difference between received knowledge and lived experience.
What is at stake in teaching Wallace in the survey is nothing less than his critical reputation. If Wallace is to be seen as more than just a postmodernist, then it will be incumbent upon literary critics to make the case for his continued inclusion in the American canon, a highly contested area these days. If you want to know how a battle is really going, outside the maps, the statistics, and the generals’ generalizing, getting a look at the ground might be a good way to start. In the battles of canon formation, the trenches are surely in the surveys. How the survey is conceived, taught, and received today will affect literary and cultural transmission tomorrow. Including Wallace in the survey in a truly thoughtful and productive fashion, one that affects both our reading of his work and our conception of American literary history, requires some imagination and a willingness to let Wallace roam outside his, and our, postmodern comfort zone. Doing so will ultimately strengthen the case for the importance of one of the most engaging and transformational American writers of our time.
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20 • Piper Flyer May 2020
The difficult task of seat sewing is within the capability of most owners, but it’s important to test-fit, measure correctly, and have the right tools on hand to complete the job. By Dennis Wolter
In the process of writing these articles, I’ve come to realize that some readers may wonder why a businessperson would show a group of airplane owners all the tricks of the trade. For some of you, supporting the cost of owning an airplane may require giving up other things such as new cars, fancy vacations, and so on.
Life can be an exercise in managing priorities. I learned this early in my life. My first means of powered transportation was a used Sears 50cc moped. If I wanted to attend a Catholic high school and also take flying lessons, a moped was the only financially realistic answer to my ground transportation needs.
To do my part in keeping our aging airplanes flying, I’m sharing what we’ve learned at Air Mod during 47 years of renovating airplanes. I hope that I may help you save some time and money as you maintain and upgrade your aircraft.
Another strong motivation for sharing this information is that over the years I’ve witnessed the passing of many of my aviation mentors, generous, knowledgeable pilots, and mechanics who never got around to officially sharing all they learned about maintaining and flying these wonderful machines. All that important information went into the ground with their mortal remains.
So, I guess I’m challenging my fellow A&Ps to get on it and start writing and speaking about what years of practicing your craft has taught you. Pay it forward!
Now, for confession time. If anyone saw my handwritten drafts of these articles, they would quickly realize I’m no writer. That said, it’s thanks to my lovely wife Cynthia who paid attention in English class and takes my often poorly written notes and manicures them into readable and understandable documents.
Whether you plan to do this work or have a professional do it for you, I think reading my series of interior renovation articles will help you make better choices in the following ways:
It conveys the eye-opening complexity involved in renovating the interior of a 40-plus year old airplane; clearly illustrating the commitment of time and money.
Gathering information allows an owner to decide how best to create a renovation plan.
For those having work performed by a professional shop, this information enables them to make an informed choice of a shop best suited to meet their expectations. Realize that there will be a difference in downtime and costs between a cover-up job and a true cabin renovation.
Proceeding through the various renovation steps exposes a reader to the many potentially concerning aging-airplane issues that are revealed when the cabin is completely stripped out, likely affecting the extent of work needed.
Knowing the scope and detail of this work, as well as possible pitfalls, may help
prevent an owner from becoming involved in a project that is beyond their available skill level or time allotment.
Owning and flying light airplanes is all about planning. Would anyone embark on a long cross-country flight without checking weather and preflighting the airplane? Committing to renovating an airplane also requires the same due diligence.
Enough of the disclaimers. For those who want to sew their own seats as well as readers who are just curious to see how it’s done, let’s get started!
**A challenging process**
Of the various tasks involved in aircraft interior renovation, I think the most skill-demanding one is the sewing and mounting of seats. Next time you’re at Oshkosh, check out the interiors in some of the homebuilts and you will notice some beautiful metalwork, painting, instrument panels, and side panels; only to be disappointed by poorly sewn and ill-fitting seats.
For the do-it-yourselfer, don’t expect total success on the first try. The sewing process can be a difficult skill to master. Be prepared for some re-work, but if you stick with it, you’ll be amazed at how much you can accomplish.
For those who wish to leave this work to a professional, I would suggest checking out some car shows and airshows. Find out who in your area is doing good car interiors or ask homebuilders who helped them with their interiors.
Believe me, the hot rodders and homebuilders will know. You could employ these artisans to sew and mount your seats and side panels. Also, check out the advertisements in this and other magazines to source companies who provide interior services and customer-installed kits.
If you are going to do this yourself, we can give you some direction. Sewing seat and side panel upholstery requires a sewing machine that can sew through up to eight layers of different materials. For this, you will need the right sewing machine. It is unrealistic to plan on using your home machine.
Home sewing machines have only one foot advancing those thick layers of material through the sewing head. Also, the lift-and-stroke of home machines is too shallow, making it difficult, if not impossible, to pass thick materials through the sewing head. This results in too many stitches per inch. Since each stitch is a hole, you will end up with a very weak seam, much like perforated paper in a checkbook or note pad. It will eventually tear loose.
What we’re dealing with on each seat is a layer of three materials: the finish upholstery (fabric, vinyl, or leather), glued to backing foam that is either 1/4 inch or 1/2 inch thick, and cambric fabric lining the back of the foam.
Where some of the seams are concerned, this can mean two layers of upholstery, two layers of foam, two layers of cambric and, if cording is used at the edges of the seats, two more layers of finish material. No way is this happening on your home machine!
**The right tools for the job**
This type of sewing requires using a walking foot, needle-feed commercial upholstery sewing machine. They are quite expensive if purchased new, but can be acquired used for $800 to $1,200. Make sure you buy a walking foot, needle-feed machine where the upper foot, needle, and lower foot move simultaneously to advance the heavy material through the machine.
Commercial dress and drapery machines look very much like an upholstery machine, but do not have this feature and won’t do the job. Two common walking foot, needle-feed machines available for this type of use are a Singer 211 and a Juki LU562.
If you’re going to engage in owner-performed maintenance on this level, I strongly recommend that you check out what’s going on at a local EAA chapter. Here is a friendly, helpful, welcoming, and very knowledgeable group of airplane builders and pilots who have extensive experience in all things light airplane.
**Of the various tasks involved in aircraft interior renovation, I think the most skill-demanding one is the sewing and mounting of seats.**
It’s likely that someone there has already done what you are about to try or knows someone who has. It’s also possible that they may have access to or own a walking foot needle-feed upholstery machine.
The rest of the tools and skills needed are pretty obvious and will be covered as we progress through this series. If you live in a larger town or city, you can probably find an upholstery supply house that can also be a good source for equipment and information. Don’t forget to use the internet to find what you need.
In this month’s installment, I’m going to show you the initial steps we take to create finish coverings for our ergonomically designed seats. Some of the steps we incorporate into our seats could be left out and the seat will still look darn good at delivery. However, over time you can end up with premature failure or ill-fitting covers. If you are doing this work yourself, be perseverant, stick with it, and try to follow all the steps.
Materials
Costs being what they are for flame-retardant FAR 25.853a-approved materials, it’s important to purchase enough material for the entire job, including allowance for a mistake or two and additional yardage for future repairs (maybe a yard of fabric or vinyl or a half-hide of leather).
Aviation-approved materials are constantly changing and can be discontinued even before your project is completed. If you’re a novice, you may want to work with some less expensive, non-aircraft vinyl or fabric for practicing difficult stitching or perfecting fitting techniques. A penny spent can be a dollar saved.
If a four-place interior is to be done in a combination of fabric and vinyl, we will usually order 6 or 8 yards of fabric and 8 yards of vinyl (obviously more for a six-place airplane). Certain seat designs, as well as some patterned materials, may require additional yardage.
For a leather interior, we usually buy about five 50 (+/-) square foot hides of leather to cover the seats and side panels in a four-place Piper; again, more for a six-place airplane. This allows for a 10% loss for cutting out leather defects and the half-hide leftover allowance for possible future needs. While we’re on the subject of materials, we usually buy a 12-foot by 6-foot or 12-foot by 8-foot piece of carpet and 3 or 4 yards of headliner material.
Test fitting
It’s time to discuss an often-overlooked but important step. Once the seats, armrests, and metal side panels are ready for the sewing and covering process, temporarily install all of these unupholstered components in the airplane. Check to see that the seats don’t rub side panels, that armrests don’t interfere with the seats, and pay attention to how well the side panels are secured to the cabin side structure. More mounting tabs and screws may be required.
With the side panels installed in the airplane, lay out and draw the pleating patterns for the new upholstery design. This will ensure that all side panel pleating
...it’s important to purchase enough material for the entire job, including allowance for a mistake or two and additional yardage for future repairs...
and different material division lines are in proper registration when finally sewn, mounted, and installed.
With all the interior components checked for alignment, security, and fit, it is time to efficiently lay out the materials. The crew in our sewing room like to make a set of thin card stock patterns of all the numerous pieces of finished materials. They then roll out the finish materials and efficiently lay out all of the patterns, reducing material loss and mistakes.
Patterns and seams
Since an ergonomically designed seat has several compound shaped surfaces, it’s necessary to create patterns that conform to these compound shapes. We use an inexpensive, thin product called cambric; a lightweight, closely woven cloth available at upholstery supply stores. We simply rough-cut an oversized piece and lightly, temporarily spray glue it to the seat foam with Camie 300 spray contact cement.
Using a marker, we outline the shape of the seat we are patterning. We remove the cambric and cut along the perimeter line to create our precise pattern. We then lightly glue the cambric to our thin cardboard, add a 1/4 to 3/8-inch seam allowance, and cut out the final pattern piece.
Using patterns to efficiently lay out the many pieces that create a finished seat cover.
The heavy paper or thin cardboard patterns can be laid out on the finish material and trimmed to create the shapes of the pieces that will eventually be sewn together. Art supply stores are a great source for large sheets of thin cardboard; look for something that is about the weight of a file folder. We pay careful attention to how we lay out our patterns for the most efficient use of the material and, in the case of leather, to work around defects.
The 1/4 to 3/8-inch seam allowance is necessary for the material to properly pass through the sewing machine head during the stitching process, and also to give the sewn seam strength once it’s sewn. If you’re sewing too close to the cut edge of your material, cloth will unravel and vinyl or leather will tear loose at the stitch.
Where possible, we also double-stitch the seams for extra strength by flipping the material over and re-stitching it from the other direction. Over the past
Using staples to temporarily hold the various seat cover pieces together during the sewing process.
If you’re going to engage in owner-performed maintenance on this level, I strongly recommend that you check out what’s going on at a local EAA chapter.
47 years, we have experienced no seam failures with this technique.
If you’re sewing for the first time, I would allow a full 3/8 inch for seam allowance. More allowance means more control of the stitch. Also for the first-timer, there is another advantage to having a slightly more generous seam allowance. You can use a hand stapler to staple the seam together as an aid in holding several layers of material together during the sewing process. It takes a little more time but it sure makes it easier.
Don’t forget to pull out the staples after the seam is sewn. They will surely work their way to the surface if you leave them in. Ouch! Once the pieces are sewn together carefully trim the seam allowance down to approximately 1/4 inch.
At this point, we are ready to start sewing and that brings us to a good stopping point for this article. So stay tuned, the real fun starts next month. Until then, fly safe!
Industrial designer and aviation enthusiast Dennis Wolter is well known for giving countless seminars and contributing his expertise about all phases of aircraft renovation in various publications. Wolter founded Air Mod in 1973 in order to offer private aircraft owners the same professional, high-quality work then only offered to corporate jet operators. Send questions or comments to firstname.lastname@example.org.
RESOURCES
PFA Supporters
Air Mod
airmod.com
Seat Materials
Aircraft Spruce & Specialty Co.
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Further Reading
FAR 25.853-1
faa.gov/regulations_policies/advisory_circulars/index.cfm/go/document.information/documentid/22673
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Chapter 400 Representative of Inventor or Owner
401 Patent Office Cannot Aid in Selection of Attorney
Rule 31. Applicants May Be Represented by Attorney or Agent. An applicant for patent may file and prosecute his own case, or he may be represented by an attorney or agent authorized to practice before the Patent Office in patent cases. The Patent Office cannot aid in the selection of an attorney or agent.
402 Power of Attorney
Rule 34. Power of attorney or authorization. Before any attorney or agent, original or associate, will be allowed to inspect papers or take action of any kind in any application or proceeding, a written power of attorney or authorization, from the person or persons entitled to prosecute the application or from the principal attorney or agent in the case of an associate attorney or agent, must be filed in that particular application or proceeding.
Rule 35. Limited recognition. Any person not registered and not entitled to be recognized under rule 341 as an attorney or agent to represent applicants generally may, upon a showing of circumstances which render it necessary or justifiable, be recognized by the Commissioner to prosecute as attorney or agent a specified application or applications, but this limited recognition shall not extend further than the application or applications specified.
Sometimes in a joint application one of the coinventors gives to the other the power of attorney in the case. Such power will be recognized even though the one to whom it is given is not registered.
402.02 Appointment of Associate Attorney
The principal attorney (either original or substituted) may appoint an associate attorney. The associate attorney cannot appoint another attorney; this being indicated by the portion of Rule 34 which states that the power of attorney or authorization must be "from the principal attorney or agent in the case of an associate attorney or agent." See also 408.
402.03 Appointment of Substitute Attorney
In order to simplify the procedure relative to new powers of attorney filed in connection with the formation, dissolution or reorganization of firms, a power of attorney signed by the attorney or firm originally empowered to act appointing a substitute attorney or firm, will be accepted provided that the original power of attorney authorizes a substitution, and provided further that the substitute attorney or firm includes at least one person who was empowered to act under the original power of attorney.
Except as indicated above, no appointment of a substitute attorney will be accepted unless it is signed or concurred in by the applicant or the assignee of the entire interest. In all cases where the substitute power of attorney is accepted, the name of the replaced attorney or firm will be cancelled from the file.
The Docket Clerk of the examining division will enter all proper substitute powers of attorney filed in ex parte cases which are signed by the principal attorney or firm. Other substitute powers of attorney should be forwarded immediately to the Docket Branch for acknowledgment, acceptance and entry when properly signed or for return when not in compliance with this Notice. (Basis: Notice of April 28, 1957.)
See 402.07.
402.04 Power of Attorney to a Firm
Rule 346. Signature and certificate of attorney. Every paper filed by an attorney or agent representing an applicant or party to a proceeding in the Patent Office must bear the signature of such attorney or agent, except papers which are required to be signed by the applicant or party in person (such as the application itself and affidavits required of applicants). The signature of an attorney or agent to a paper filed by him, or the filing or presentation of any paper by him, constitutes a certificate that the payer has been read; that its filing is authorized; that to the best of his knowledge, information, and belief there is good ground to support it; and that it is not interposed for delay. When an applicant or party is represented by a registered firm, such papers must carry the signature of the firm or the signature of an individual member of the firm or an individual registered attorney or agent employed by the firm and duly authorized to sign on behalf of the firm in addition to the firm name, and the certification constituted by the signing or presentation of the paper shall be a certification by and on behalf of the firm and by the individual.
Note that, in the case of a power of attorney to a firm, Rule 346 requires (1) the signature of the firm, or (2) the signature of an individual member of the firm, or (3) the signature of an individual registered attorney or agent employed by the firm and duly authorized to sign on behalf of the firm. Under (3), above, the name of the firm must appear but may be either written or typed. The name of the firm may be used on the drawing as in the past. (Basis: Notice of March 7, 1949.)
402.04(a) Firm of Attorneys Changes Name
Where a firm having power of attorney in a case changes its firm name, due, for example, to the addition of a new member or the withdrawal or death of one of the members the prosecution of the case may be continued in the name of the original firm, if desired. (Basis: Notice of Sept. 4, 1894.)
A mere change of firm name will be accepted regardless of whether or not authority to substitute another attorney was included in the original power of attorney. It is entered by the docket clerk of the division by amending the old firm name on the face of the file wrapper. See 402.03 and 410. A notice of the change of firm name should be signed in the name of the firm as constituted immediately before the change.
Notation of change of firm name must be filed in each application involved. It is not sufficient merely to notify the Clerk, Committee on Enrollment.
402.05 Revocation
Extract from Rule 36. Revocation of power of attorney or authorization; withdrawal of attorney or agent. A power of attorney or authorization of agent may be revoked at any stage in the proceedings of a case, and an attorney or agent may withdraw, upon application to and approval by the Commissioner; and when it is so revoked, or the attorney or agent so withdrawn, the Office will communicate directly with the applicant, or with such other attorney or agent as he may appoint. An attorney or agent, except an associate attorney or agent whose address is the same as that of the principal attorney or agent, will be notified of the revocation of his power of attorney or authorization and the applicant will be notified of the withdrawal of the attorney or agent.
Upon revocation of the power of the principal attorney, appropriate notification is sent by the Docket Branch. Note: The Examiner notifies associate attorney of his revocation, see 402.05(a).
Revocation of the power of the principal attorney revokes powers granted by him to other attorneys.
Revocation of the power of attorney becomes effective on the date that the revocation is RECEIVED in the Office (in contradistinction to the date of ACCEPTANCE).
402.05(a) Examiner Must Notify Associate of Revocation
An associate attorney whose power has been revoked shall be formally notified of such revocation by the Examiner unless the case is in interference or on appeal. If the case is in interference, the Docket Branch notifies the attorney, the reason being that all parties to the interference must be notified. Such notice addressed to the associate attorney will take the form of the usual letter from the examiner on blank (POL-90) and will be in the following language:
You are hereby informed that the associate power of attorney to______________in the above-entitled case was revoked_____________by ____________________________
___________________________Examiner.
This letter will not be counted as an action on the application in which it is entered.
Note: Docket Branch always notifies principal attorney of his revocation, see 402.05.
402.06 Attorney Withdraws
See Extract from Rule 36 in 402.05.
In the event that a notice of withdrawal is filed by the attorney or attorneys of record, the file will be forwarded to the Docket Branch where appropriate procedure will be followed pertaining to the withdrawal.
402.07 Assignee Can Revoke Power of Attorney of Applicant
The assignee of the entire interest can revoke the power of attorney of the applicant unless an "irrevocable" right to prosecute the case had been given.
Rule 38. Prosecution by assignee. The assignee of record of the entire interest in an application for patent is entitled to conduct the prosecution of the application to the exclusion of the inventor.
Extract from Rule 38. An assignment will not of itself operate as a revocation of a power or authorization previously given, but the assignee of the entire interest may revoke previous powers and be represented by an attorney or agent of his own selection.
A power of attorney by the assignee of the whole interest, if the assignment is recorded in the Office, revokes all powers given by applicant.
402.08 Application in Interference
While an application is involved in interference, no power of attorney of any kind should be entered in such application by the Docket Clerk of the Group.
If a power of attorney or revocation is received for an application while in interference, it should be forwarded to the Docket Branch because all parties to the interference must be notified. See 410.
403 Correspondence—With Whom Held
Rule 35 states that when an attorney has been duly appointed to prosecute an application correspondence will be held with the attorney. Double correspondence with an applicant and his attorney, or with two representatives, will not be undertaken. See 403.01, 403.02 and 714.01(d).
In a joint application with no attorney, the applicant whose name first appears in the papers receives the correspondence, unless other instructions are given. All applicants must sign the responses. See 714.01(a).
403.01 Correspondence Held With Associate Attorney
Where the attorneys bear relation of principal attorney and associate attorney, the correspondence will be had with the associate attorney unless the principal attorney directs otherwise. Ex parte Eggan, 1911 C.D. 213; 172 O.G. 1091.
403.02 Two Attorneys for Same Applications
If applicant simultaneously appoints two principal attorneys he should indicate with which correspondence is to be conducted. If one is a local (D.C.) attorney and applicant fails to indicate either attorney, correspondence will be conducted with the local attorney.
If, after one attorney is appointed, a second attorney is later appointed without revocation of the power of the first attorney, the name of the second attorney is entered on the face of the file (Ex parte Eggan, 1911 C.D. 213; 172 O.G. 1091), with notation that the Office letters are to be sent to him. This applies also to associate attorneys.
404 Conflicting Parties Having Same Attorney
See Rule 208 in 1101.01(k).
405 Attorney Not of Record
When an amendment is filed, signed by an attorney whose power is not of record, see 714.01(c).
406 Death of Attorney
Member of Firm
Death of an individual attorney does not terminate a power of attorney to his firm. See 5 J.P.O.S. 337, 338. See 402.04(a) for change of firm name due to death of an attorney.
Sole Attorney
When an attorney listed as deceased by the Committee on Enrollment still appears as the sole attorney of record at the time of taking the next Office action, the Examiner will, as a precautionary measure, mail the carbon copy of the action (labeled COPY) directly to the applicant, the other copy being mailed to the office address of the deceased attorney with the following statement: "The Patent Office having received notice of the death of the attorney of record thus terminating his power, a copy of this action is being mailed directly to the applicant. Applicant may appoint a new attorney."
When, after the death of the attorney of record, an amendment is filed by an attorney whose power is not of record, the amendment should be placed in the file and the applicant and the attorney who filed the amendment should be notified that it cannot be entered unless it is promptly ratified by the applicant or by an attorney whose power has been made of record at the time of such ratification.
An amendment signed by an assistant in the office of the attorney, the latter having died, may be admitted, subject to future ratification.
It should be observed that the death of the principal attorney results in the lapse of power of any associate attorney appointed by him. Accordingly, an amendment signed by such associate attorney and filed after the death of the principal attorney cannot be entered and should be treated as directed hereinabove in the case of an attorney whose power is not of record.
If the ratification is promptly filed, the amendment should be entered as of the date on which the amendment was filed.
In carrying out these instructions, Primary Examiners should not set a definite time within which ratification must be filed, but the word "promptly" as used above should be used in the notification. The question of promptness or undue delay in ratification should be left for determination when the ratification is filed and the question of entry of the amendment arises. In forming a judgment as to whether any particular ratification has been filed promptly, consideration should be given to the place of residence of the applicant and other pertinent circumstances.
407 Disbarred Attorney
See 105.
408 Telephoning Attorneys
Present Office policy places great emphasis on telephone interviews initiated by the Examiner. For this reason, it is no longer deemed necessary for an attorney to request a telephone interview as specified in the old Optimum Examining Procedure memos. Examiners are no longer required to note or acknowledge requests for telephone calls or state reasons why such proposed telephone interviews would not be considered effective to advance prosecution. However, it is still desirable for an attorney to call the Examiner if the attorney feels the call will be beneficial to advance prosecution of the case. See 713.05.
Specific Telephone Interviews
Restriction of invention (812.01).
Multiplicity (706.03(1)).
Many attorneys have offices or representatives in Washington and it sometimes expedites business to interview them concerning an application. When the Examiner believes the progress of the application would be advanced thereby, he may call the attorney in the case by telephone and ask him to come to the Office. Listings of Washington representatives of out-of-town attorneys are kept in the offices of the various Directors of Operations.
409 Death, Insanity, or Unavailability of Inventor
If the inventor is dead, insane or otherwise legally incapacitated, refuses to execute an application, or cannot be found, an application may be made by someone other than the inapplication, thus eliminating the necessity of filing any other proofs:
"I, ____, Consul of the United States of America, at ____, duly commissioned and qualified, do hereby certify that there have been exhibited to me papers issued by ____ the authorized authorities in this jurisdiction which show that ______ is the person authorized to act as executor or administrator of the estate of _____, deceased, late of ______.
"In testimony whereof, I hereunto set my hand and seal this ___ day of ____, 19__.
U.S. Consul"
Use of such forms has been discontinued by the Department of State. The consular officer may, as heretofore, authenticate the signature of the foreign officer attesting to the papers submitted as proof of authority. Unusual situations may be referred to the Office of the Solicitor.
409.01(c) After Administrator or Executor Has Been Discharged
When an Administrator or Executor has performed his functions and has been discharged and it is desired to make an application for an invention of the deceased, it is necessary for the Administrator or Executor to take out new letters of administration in order that he may file a new application of the deceased inventor.
409.01(d) Exception in Some Foreign Countries
The terms "Executor" and "Administrator" do not find an exact counterpart in all foreign countries and the procedure is governed by the necessity of construing those terms to fit the circumstances of the case. Hence the person or persons having authority corresponding to that of Executor or Administrator are permitted to make application as, for example, the heirs in Germany. The authority of such persons must be proved by an appropriate certificate.
409.01(e) If Applicant of Assigned Application Dies
Where an applicant, carrying on the prosecution of an application after assignment, dies, his administrator may carry on the prosecution on filing letters of administration unless and until the assignee intervenes.
409.01(f) Intervention of Executor Not Compulsory
When an inventor dies after filing an application the executor or administrator should intervene, but the allowance of the application will not be withheld nor the application withdrawn from the issue if the executor or administrator does not intervene. (Basis: Order No. 2076.)
The practice set forth in the foregoing order is applicable to an application which has been placed in condition for allowance or passed to issue prior to notification of the death of the inventor. See 409.01.
409.02 Insanity or Other Legal Incapacity
Rule 43. When the inventor is insane or legally incapacitated. In case an inventor is insane or otherwise legally incapacitated, the legal representative (guardian, conservator, etc.) of such inventor may sign the application papers and make the necessary oath, and apply for and obtain the patent.
The provisions of Order No. 1838, Revised (see 409.01(b)) are applicable in case of insanity or other legal incapacity of an inventor.
409.03 Unavailability of Inventor
Rule 47. Filing by other than inventor. (a) If a joint inventor refuses to join in an application for patent or cannot be found or reached after diligent effort, the application may be made by the other inventor on behalf of himself and the omitted inventor. Such application must be accompanied by proof of the pertinent facts and must state the last known address of the omitted inventor. The Patent Office shall forward notice of the filing of the application to the omitted inventor at said address. Should such notice be returned to the Office undelivered, or should the address of the omitted inventor be unknown, notice of the filing of the application shall be published in the Official Gazette. The omitted inventor may subsequently join in the application on filing an oath of the character required by rule 65. A patent may be granted to the inventor making the application, upon a showing satisfactory to the Commissioner, subject to the same rights which the omitted inventor would have had if he had been joined.
(b) Whenever an inventor refuses to execute an application for patent, or cannot be found or reached after diligent effort, a person to whom the inventor has assigned or agreed in writing to assign the invention or who otherwise shows sufficient proprietary interest in the matter justifying such action may make application for patent on behalf of and as agent for the inventor. Such application must be accompanied
ventor, as specified in the following paragraphs.
Rule 44. Proof of authority. In the cases mentioned in rules 43 and 45, proof of the power or authority of the legal representative must be recorded in the Patent Office or filed in the application before the grant of a patent.
409.01 Death of Inventor
Unless it is coupled with an interest (i.e., the attorney is also an assignee or part-assignee), the death of the inventor (or one of joint inventor) terminates the power of attorney and a new power from the heirs, administrators, executors or assigns is necessary (but see 409.01(f)) and also a ratification of any amendment filed after the death of the inventor by the first-appointed attorney. Such an amendment may, however, save the case from abandonment. Therefore ratification is called for together with proof of authority of the one ratifying the action. See In re Mattullah, 1912 C.D. 490; 179 O.G. 853. See following paragraphs.
409.01(a) Prosecution by Administrator or Executor
Rule 42. When the inventor is dead. In case of the death of the inventor, the legal representative (executor, administrator, etc.) of the deceased inventor may sign the application papers and make the necessary oath, and apply for and obtain the patent. Where the inventor dies during the time intervening between the filing of his application and the granting of a patent thereon, the letters patent may be issued to the legal representative upon proper intervention by him.
One who has reason to believe that he will be appointed legal representative of a deceased inventor may apply for a patent as legal representative in accordance with Rule 42. Such application will be considered as having been made on the date of receipt of all its required parts, or of the part which renders it complete, (Rules 51 and 53) provided proof of applicant's authority as legal representative is subsequently filed. The filing date corresponding to said date of receipt will be canceled if another person is appointed legal representative. In the latter case, the application will be given an application date no earlier than the date on which the properly appointed legal representative actually executed the papers. The foregoing applies to the legal representative of a deceased sole or deceased joint inventor.
Application may be made by the heirs of the inventor, as such, if accompanied by a certificate from the court that they are all the heirs and that the estate was under the sum required by state law for the appointment of an administrator.
409.01(b) Proof of Authority of Administrator or Executor
Whenever because of the death of an inventor, the right of applying for and obtaining a patent for an invention devolves upon an executor or administrator, or whenever an executor or administrator desires to intervene prior to the granting of a patent, proof of the authority of such executor or administrator should in all cases be made of record in the Patent Office by filling in the application or recording in the assignment records a certificate of the clerk of a competent court or the register of wills that his appointment is still in full force and effect. Such certificate shall be signed by an officer and authenticated by the seal of the court by which the same was issued. The authority of other legal representatives of the inventor must be similarly established.
Should such certificate of appointment be found to be insufficient for any reason, there may be required to be filed or recorded a certified and properly authenticated copy of the letters testamentary or of the letters of administration, in order that the scope of authority of the persons who seek to intervene may be a matter of record in this Office.
All applications filed by an executor or administrator are initially referred to the Assignment Branch to ascertain whether proper authority has been recorded or "filed in the application" (Rule 44) and for suitable endorsement on the file. If the authority is insufficient, correspondence is conducted by the Assignment Branch. When a reply is received to such correspondence and also in cases where the executor or administrator intervenes (after filing) the case should be sent immediately to the Assignment Branch.
In any case in which the Chief of the Assignment Branch reports that the authority of the executor or administrator of record in the case is insufficient, the Examiner will require the filing in the application or the recording in the Assignment Branch of a certificate of such appointment or a certified copy of letters testamentary or of letters of administration in such case before finally passing the case to issue. (Basis: Order No. 1838.)
In the case of foreign executors or administrators, it was formerly the practice to have the following form executed by a consular officer of the United States and filed in the
by proof of the pertinent facts and a showing that such action is necessary to preserve the rights of the parties or to prevent irreparable damage, and must state the last known address of the inventor. The assignment, written agreement to assign or other evidence of proprietary interest, or a verified copy thereof, must be filed in the Patent Office at the time of filing the application. The Office shall forward notice of the filing of the application to the inventor at the address stated in the application. Should such notice be returned to the office undelivered, or should the address of the inventor be unknown, notice of the filing of the application shall be published in the Official Gazette. The inventor may subsequently join in the application on filing an oath of the character required by rule 65. A patent may be granted to the inventor upon a showing satisfactory to the Commissioner.
Rule 47(a) and 35 U.S.C. 116 permit a joint inventor to file an application "on behalf of" himself and a joint inventor who "cannot be found or reached after diligent effort" or who refuses to sign application papers. Rule 47(b) and 35 U.S.C. 118 allow a person with a demonstrated proprietary interest to make application "on behalf of and as agent for" the inventor under the same circumstances. Neither section of Rule 47, however, is intended as an alternative to Rule 42 since the language "cannot be found or reached after diligent effort" has no reasonable application to a deceased inventor. In re Application Papers filed September 10, 1954, 703 O.G. 434. See Rule 42 and 409.01.
Application papers submitted under Rule 47 are forwarded by the Application Branch to the Office of the Solicitor for determination whether the papers are proper and complete and whether the verified showing justifies acceptance under either paragraph of the rule. Where a refusal of the inventor to sign the application papers is alleged, the circumstances of this refusal must be specified in the affidavit. Where inability to find or reach an inventor "after diligent effort" is the reason for filing under Rule 47, the affidavit should include the exact circumstances which are relied upon to establish that a diligent effort was made. Where the application is made under Rule 47(b) and 35 U.S.C. 118, the papers must also show the necessity for so filing and must be accompanied at filing by papers establishing an assignment or written agreement to assign, or by other satisfactory evidence of proprietary interest.
Rule 65(b) requires that in Rule 47 applications the joint applicant in applications under Rule 47(a) or the person having a proprietary interest in applications under Rule 47(b), state his relationship to the inventor and, upon information and belief, the facts which the inventor is required by Rule 65 to make oath to. In applications under Rule 47(b) and 35 U.S.C. 118, in addition, the petition must request grant of the patent to the inventor.
If an application under Rule 47 is accepted, a statement to this effect is entered in the file, a notice sent to the "inventor designee" at his last known address, and the application given a serial number. The Examiner will act on the Rule 47 application in the usual manner except that papers filed by an inventor who did not originally join in the application and papers relating to its Rule 47 status will be forwarded to the Solicitor's Office for consideration.
The Office of the Solicitor will determine, in such event, whether the papers meet the requirements of Rule 65 including the requirement, implicit in that rule, that the oath be made on the basis of actual knowledge of the application papers on file. This knowledge may be demonstrated by reference in the oath to an attached copy of the application.
The "inventor designee" may protest his designation as an inventor and offer evidence to support his position. The Office in such case, although it will allow the "inventor designee" to make his position of record in the file of the application and will grant him access to the application, will not institute inter partes proceedings in the Rule 47 application. The rights of said inventor are protected by the fact that that in an application filed under Rule 47(b) and 35 U.S.C. 118 the patent must issue to the inventor and in an application filed under Rule 47(a) and 35 U.S.C. 118 the inventor has the rights of a joint applicant. In re Application of Hough et al., 703 O.G. 200.
The Office of the Solicitor, after indication by the Examiner that the case is allowable (unless completely executed papers have meanwhile been filed) will notify the inventor designee and set a period of time, usually thirty days, in which he may take any action he considers appropriate. At the same time the record will be finally reviewed to determine whether it shows an adequate effort has been made to obtain his signature. If the application meets the requirements of Rule 47, the Examiner at the expiration of the period set, will be so notified by memorandum and the application may be passed to issue. The fact that the application was made under Rule 47 will be indicated in the heading of the patent.
410 Handling of Papers Received After Application Is Filed
The following should be sent to the Docket Branch for acceptance, acknowledgment and entry when properly signed or for return:
Principal power of attorney. (See 402.)
Substitute power of attorney signed by applicant or assignee. (See 402.03.)
Revocation of principal power of attorney. (See 402.05.)
Withdrawal of attorney. (See 402.06.)
All powers of attorney or revocation of powers of attorney in applications involved in interference. (See 402.08.)
The Docket Clerk of the Division will enter the following provided the application is not involved in interference:
Change of name of attorney or assigning Associate power of attorney. (See 402.03.)
Substitute power of attorney signed by original attorney. (See 402.08.)
Change in firm name. (See 402.03.)
Revocation of associate power of attorney. (See 402.05(a).)
The Assignment Branch will consider and enter all papers pertaining to the intervention by an Executor, Administrator, Guardian, Conservator or other such legal representative of the inventor if proof of authority is recorded and not merely "filed" in the application. See 409.01(b) and 409.02.
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This is a repository copy of Blast furnace slag-Mg(OH)(2) cements activated by sodium carbonate.
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Walling, S.A., Bernal, S.A., Gardner, L.J. orcid.org/0000-0003-3126-2583 et al. (2 more authors) (2018) Blast furnace slag-Mg(OH)(2) cements activated by sodium carbonate. RSC Advances, 8 (41). pp. 23101-23118. ISSN 2046-2069
https://doi.org/10.1039/c8ra03717e
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Blast furnace slag-\(\text{Mg(OH)}_2\) cements activated by sodium carbonate
Sam A. Walling, Susan A. Bernal, Laura J. Gardner, Hajime Kinoshita and John L. Provis*
The structural evolution of a sodium carbonate activated slag cement blended with varying quantities of \(\text{Mg(OH)}_2\) was assessed. The main reaction products of these blended cements were a calcium–sodium aluminosilicate hydrate type gel, an Mg–Al layered double hydroxide with a hydrotalcite type structure, calcite, and a hydrous calcium aluminate phase (tentatively identified as a carbonate-containing Al-m structure), in proportions which varied with \(\text{Na}_2\text{O}/\text{slag}\) ratios. Particles of \(\text{Mg(OH)}_2\) do not chemically react within these cements. Instead, \(\text{Mg(OH)}_2\) acts as a filler accelerating the hardening of sodium carbonate activated slags. Although increased \(\text{Mg(OH)}_2\) replacement reduced the compressive strength of these cements, pastes with 50 wt% \(\text{Mg(OH)}_2\) still reached strengths of \(\sim 21\) MPa. The chemical and mechanical characteristics of sodium carbonate activated slag/\(\text{Mg(OH)}_2\) cements makes them a potentially suitable matrix for encapsulation of high loadings of \(\text{Mg(OH)}_2\)-bearing wastes such as Magnox sludge.
1. Introduction
Alkali-activated slag cements are Portland cement-free binders produced through the chemical reaction between an alkaline activator and ground granulated blast furnace slag (GGBS). The performance of these materials is strongly dependent on the mineralogy and composition of the slag, and the nature and concentration of the alkaline activator chosen,\(^1\) among other factors. Sodium carbonate-activated slags have attracted less attention than other alkali-activated slag cements which use sodium hydroxide or sodium silicate as the main activators, despite proven successful usage in Eastern Europe and the CIS as alternative cements for production of mortars and concretes.\(^2\) This is mainly because of the longer setting times identified in these binders (often >5 days),\(^3,4\) compared with cements produced using other alkali-activators.
The use of sodium carbonate as the activator for GGBS has advantages compared with sodium hydroxide or silicate solutions,\(^5\) as it is easier and safer to handle due to its powdered and less hygroscopic nature, and when dissolved in water will reach a lower pH than that of sodium hydroxide or silicate solutions with an equivalent content of alkalis.\(^6\) Recent studies have demonstrated\(^7,8\) that the often-observed delayed hardening of these cements is strongly dependent on the chemistry of the slag used, and therefore, the general assumption that setting time problems will occur when using this activator is misleading.
The UK has accumulated significant quantities of radioactive \(\text{Mg(OH)}_2\) sludges from its Magnox nuclear programme, which are classed as intermediate level waste (ILW) streams.\(^9\) These wastes consist of up to 100% sludge, predominantly \(\text{Mg(OH)}_2\) with some uranium metal or oxides, along with varying radionuclides from nuclear fission.\(^10,11\) Other ILW streams are processed by encapsulation/immobilisation in composite cements based on ordinary Portland cement, GGBS and pulverised fuel ash.\(^12\) This \(\text{Mg(OH)}_2\)-rich sludge is more challenging to treat using such binders, due to the high water content of the waste.\(^13\) Equally, any alternative cementitious matrices which could make use of the abundant Mg within these wastes as part of the encapsulation process could potentially improve upon conventional wasteform properties.\(^13\)
GGBS rich-binders are beneficial in the encapsulation of radioactive wastes, as the slag contains sulphide and potentially Fe(II) which act as reducing agents, controlling the solubility of key radionuclides.\(^14,15\) The hydration of GGBS in cements also often forms layered double hydroxides with a hydrotalcite-type structure (general formula \(M_{2-x}^{2+}\text{M}_{x}^{3+}(\text{OH})_{2x+2y-z-n}(\text{A}^{n-})_z\cdot m\text{H}_2\text{O}\), where \(A^{n-}\) is often \(\text{OH}^-\), \(\text{Cl}^-\) or \(\text{CO}_3^{2-}\), and \(x/y\) is generally between 2 and 3 (ref. 16–18), which is of particular interest for immobilisation of nuclear wastes due to its ability to retain certain long-lived radionuclides such as \(^{129}\text{I}\) and \(^{36}\text{Cl}\) (ref. 19) that are present in Magnox sludges.\(^20\)
A high MgO content within GGBS favours hydrotalcite formation in sodium silicate-activated\(^21,22\) and sodium carbonate activated slags.\(^6\) The addition of either reactive MgO\(^23\)
or calcined Mg-Al layered double hydroxides to alkali-activated slag binders can also favour the formation of larger amounts of hydrotalcite-group phases. Activated slag cements with increased contents of such phases appear to be more resistant to degradation by carbonation and chloride penetration, potentially opening the door to the development of more durable cementitious materials.
The effect of the addition of Mg(OH)$_2$ to alkali-activated binders has not been reported in the open literature, although Collier et al. identified that the addition of Mg(OH)$_2$ to Portland cement/slag cement composites potentially promoted the formation of higher contents of hydrotalcite. If this were to additionally hold true for Mg(OH)$_2$ addition to alternative binders, then this could interact with the cement, enhancing hydration and forming part of the binding phase, increasing the achievable waste loadings in an immobilisation context.
In this study a sodium carbonate activated slag binder was blended with varying quantities of Mg(OH)$_2$ (10, 30 and 50 wt% of the total binder). Kinetics of reaction were assessed via isothermal calorimetry, and hardened samples were evaluated using X-ray diffraction, Fourier transform infrared spectroscopy, thermogravimetry, solid state nuclear magnetic resonance, and scanning electron microscopy, focussing on both early age and longer-term aged samples. Particular emphasis is laid on exploring and understanding the binding gels within this system, and the degree to which Mg(OH)$_2$ might have influenced their chemistries, to assess the level of structural substitution of Mg-containing phases that is possible.
## 2. Experimental programme
### 2.1. Materials
A ground granulated blast furnace slag (GGBS) supplied by Civil and Marine Ltd. was used in this study, the chemical composition of which is reported in Table 1. The GGBS had a particle size range between 0.5 and 59 µm, with $D_{50} = 13.2$ µm measured by laser particle analysis (Malvern Mastersizer 3000 in 2-propanol), and a measured Blaine fineness of $515.1 \pm 1.1$ m$^2$ kg$^{-1}$. The chemical composition in Table 1 gives a slag basicity coefficient ($K_B = (\text{CaO} + \text{MgO})/(\text{SiO}_2 + \text{Al}_2\text{O}_3)^{0.627}$) of 1.01, indicating that this is a basic slag, with a quality coefficient ($Q_S = (\text{CaO} + \text{MgO} + \text{Al}_2\text{O}_3)/(\text{SiO}_2 + \text{TiO}_2)^{0.7}$) of 1.70. Commercial magnesium hydroxide (Mg(OH)$_2$, Alfa Aesar, >95% purity, Blaine fineness $1179.2 \pm 5.9$ m$^2$ kg$^{-1}$) was blended into the binder mixes, and as an alkaline activator reagent-grade sodium carbonate (Na$_2$CO$_3$ (>99.5% purity), Sigma-Aldrich) was used.
### 2.2. Sample preparation
All binders were formulated with 10 g of Na$_2$CO$_3$ per 90 g of GGBS + Mg(OH)$_2$ binder, with the proportion of Mg(OH)$_2$/GGBS varied (Table 2). Although the overall Na$_2$CO$_3$ content remained constant, the equivalent ratio of Na$_2$O to slag increased as more of the GGBS was replaced by Mg(OH)$_2$.
Samples were prepared in a Kenwood benchtop mixer by first combining the required quantity of water and solid sodium carbonate. After dissolution of the solid Na$_2$CO$_3$, the GGBS was added to the mix over 2 minutes, followed by the addition of the Mg(OH)$_2$ over a further 2 minutes of mixing. The amount of water added was increased commensurate with Mg(OH)$_2$ addition, to maintain roughly consistent fluidity between samples (judged during mixing). The pastes for hardened-state analysis were cast in 50 mL centrifuge tubes and stored at 20 °C and >90% relative humidity until analysis at ages of 28 days and 18 months.
For fresh pastes, isothermal calorimetry measurements were carried out using a TA Instruments TAM Air isothermal calorimeter at $\pm 0.02$ °C. The materials were mixed externally, then 20 g samples of paste were weighed into plastic ampoules and placed into the calorimeter. Heat output was measured for 14 days (336 hours).
After curing, the samples were crushed, ground in an agate mortar, and sieved to <63 µm prior to analysis. X-ray diffraction (XRD) was undertaken using a STOE STADI P diffractometer (Cu K$\alpha$ radiation, 1.5418 Å) with an imaging plate detector (IP-PSD) to collect data from $10^\circ < 2\theta \leq 60^\circ$, and angle-corrected using an external silicon standard. Fourier transform infrared (FTIR) spectroscopy was undertaken on a Perkin Elmer Spectrum 2000 spectrometer in mid-infrared (MIR) mode, using 2 wt% of powdered sample in a pressed KBr disc. Solid-state $^{27}\text{Al}$ MAS nuclear magnetic resonance (NMR) spectra were collected on a Varian VNMR 400 (9.4 T) at 79.438 MHz using a 6 mm zirconia rotor, at a 6 kHz spinning rate. Pulse duration was 4.5 µs (90°), with a 10 s relaxation time for a minimum of 6000 repetitions, with chemical shifts externally referenced to tetramethylsilane (TMS) at 0 ppm. $^{27}\text{Al}$ MAS NMR spectra were collected on a Varian VNMR 400 (9.4 T) at 104,199 MHz using a 4 mm zirconia rotor, at a 14 kHz spin rate. Pulse duration was 1 µs (25°), with a 0.2 s relaxation time for a minimum of 5200 repetitions. Chemicals shifts were referenced externally to 1 M aqueous Al(NO$_3$)$_3$.
| Oxide | Quantity (wt%) |
|-------|----------------|
| MgO | 8.4 |
| Al$_2$O$_3$ | 12.6 |
| SiO$_2$ | 35.4 |
| CaO | 40.3 |
| TiO$_2$ | 0.6 |
| Others | 2.48 |
| Sample ID | Mg(OH)$_2$ | GGBS | Na$_2$CO$_3$ | Water/solids ratio | g Na$_2$O/100 g GGBS |
|-----------|-------------|------|--------------|--------------------|-----------------------|
| M0 | — | 90 | 10 | 0.30 | 6.50 |
| M10 | 10 | 80 | 10 | 0.35 | 7.31 |
| M30 | 30 | 60 | 10 | 0.50 | 9.75 |
| M50 | 50 | 40 | 10 | 0.60 | 14.62 |
Scanning electron microscopy (SEM) was carried out on monolithic samples sliced using a diamond wafering blade; each specimen was mounted in epoxy resin, ground and polished using diamond paste to a 1 μm finish. Analysis was undertaken on a Hitachi TM3030 desktop SEM at 15 kV accelerating voltage, operating under a low vacuum, so coating of the samples was not needed. This was coupled with energy dispersive X-ray analysis (EDX) using a Bruker Quantax 70 Energy Dispersive X-ray Spectrophotometer for elemental mapping and spot analysis.
All samples analysed by thermogravimetry (TGA) were flushed with nitrogen for 30 minutes prior to analysis to remove surface water. Samples cured for 28 days were analysed using a Perkin Elmer Pyris 1 TGA, using 20 mg of material in an alumina crucible, heating at 10 °C min⁻¹ up to 1000 °C in a nitrogen atmosphere. Aged (18 months) samples were analysed in a Perkin Elmer TGA 4000 instrument, using 20 mg of material in an alumina crucible, heating at 5 °C min⁻¹ up to 950 °C in a nitrogen atmosphere. For these samples, the composition of the gases released during the TGA test was also determined using a Hiden Analytical mass spectrometer (MS) attached to the thermogravimeter.
### 3. Results and discussion
#### 3.1. Early age evolution of a Mg(OH)₂-modified sodium carbonate-activated slag cement
The effects of GGBS replacement by Mg(OH)₂ on the reaction kinetics of a sodium carbonate-activated slag cement were determined by isothermal calorimetry, Fig. 1 and 2, along with XRD analysis (Fig. 3) of the pastes during the first week of curing. Calorimetric data are normalised to both overall mass of sample (Fig. 1), and to content of dry GGBS (Fig. 2) for further interpretation.
Three main regions are identified from the calorimetric curves: <1 h, <24 h and 3–7 days, that correspond to distinct
exotherms. Within the first hour, initial particle wetting and dissolution, and disturbance from the insertion of vials into the calorimeter, dominate. Following this, each sample exhibited an exotherm between 5-24 h, which can be attributed to formation of gaylussite \((\text{Na}_3\text{Ca}(\text{CO}_3)_2 \cdot 5\text{H}_2\text{O}\), powder diffraction file (PDF) # 074-1235\) and thermonatrite \((\text{Na}_2\text{CO}_3 \cdot \text{H}_2\text{O}\), PDF #008-0448) identified by XRD in all the samples after 1 day of curing (Fig. 3), independent of the content of Mg(OH)\(_2\). Additionally, calcite was identified in samples with higher contents of Mg(OH)\(_2\) (Fig. 3C and D). These results are consistent with what has been reported for sodium carbonate activated slag cements, where the Ca\(^{2+}\) released from the dissolving slag reacts with CO\(_3^{2-}\) from the activator to form carbonate salts such as calcite and gaylussite, increasing the pH through the release of hydroxide ions.\(^{46}\)
The exothermic peak associated with the formation of carbonate phases was significantly delayed in cements without Mg(OH)\(_2\), appearing ~10 hours later than for samples with 30 wt% and 50 wt% Mg(OH)\(_2\). After this event, negligible heat evolution was observed for up to 3 days in all cases, although the XRD results (Fig. 3) demonstrated that the formation of gaylussite at the expense of thermonatrite continued during this time.
Between 3 and 7 days each sample exhibited a further large exotherm, consistent with an acceleration-deceleration period, associated with the nucleation, growth and precipitation of reaction products including a calcium silicate hydrate (C-S-H):
type gel, as evidenced by the appearance of a diffuse scattering feature at $\sim 29^\circ$ 2$\theta$ in the X-ray diffractograms of all the cements assessed (Fig. 3). The formation of this gel – which is likely to contain significant substitution by alkalis and aluminium, and so is more accurately described as C-(N)A-S-H\textsuperscript{38–40} – was significantly accelerated in each of the samples containing Mg(OH)\textsubscript{2}.
The overall heat output of 10 wt% and 30 wt% substitution of Mg(OH)\textsubscript{2} (M10 and M30 in Fig. 1) is similar to that without Mg(OH)\textsubscript{2} addition (M0). This demonstrates that Mg(OH)\textsubscript{2} can be safely added to an alkali-carbonate activated slag matrix without prompting an increased exotherm, which is highly desirable in the context of nuclear waste immobilisation. The heat of reaction is spread over a much wider timeframe than is typical in Portland cement blends, where the majority of heat is evolved within 40 h.\textsuperscript{31,32} This brings the opportunity to lower the wasteform peak temperature and ensure safer processing. Further replacement of GGBS by Mg(OH)\textsubscript{2}, up to 50 wt% (M50), lowers the overall heat of reaction due to the reduced quantities of GGBS available to react, and the increased quantity of water within this sample diluting the heat output per gram of total material (as Fig. 1 is normalised to total sample mass).
Normalising the data to the mass of dry GGBS (Fig. 2B) highlights a clear progression towards higher heat of reaction per gram of GGBS as the Mg(OH)\textsubscript{2} content is increased up to 50 wt%, indicating either increased dissolution of the GGBS or a chemical reaction involving Mg(OH)\textsubscript{2}; the latter possibility will be the particular focus of the following sections of this paper. Presentation of the heat flow data normalised in this way (Fig. 2A) also shows the monotonic increase in the intensity of the first heat release peak (up to 15 hours) with Mg(OH)\textsubscript{2} addition. Relative to the other samples, the composition containing 50 wt% Mg(OH)\textsubscript{2} produces more heat per gram of GGBS during the timeframe associated with C-(N)A-S-H formation (3–7 days), suggesting that there may be more extensive dissolution of the slag in this sample.
The effect of Mg(OH)\textsubscript{2} addition in accelerating the precipitation of bulk reaction products (i.e. earlier onset of the second main reaction peak in all samples containing Mg(OH)\textsubscript{2} compared to the M0 sample in Fig. 1 and 2) could be a consequence of either a threshold effect of increasing the Na\textsubscript{2}O/GGBS ratio upon Mg(OH)\textsubscript{2} incorporation (see Section 2.2 and Table 2), or a filler effect from the Mg(OH)\textsubscript{2} itself. The higher proportion of activator to GGBS might have moved the composition beyond a point at which the formation of hydration products is accelerated, compared to the baseline mix without Mg(OH)\textsubscript{2}.
However, as the absolute quantity of Na\textsubscript{2}CO\textsubscript{3} is kept constant, and the higher water content will serve to dilute its alkalinity, the acceleration of reaction product precipitation might also be linked to a filler effect, whereby the added particles of Mg(OH)\textsubscript{2} act as sites around which reaction products can nucleate and precipitate.\textsuperscript{33,34}
According to the data in Fig. 2, the accelerating effect does not increase with higher additions of Mg(OH)\textsubscript{2} beyond 10 wt%, which tends to suggest that nucleation rather than a threshold chemical ratio is the controlling factor.
### 3.2. Long term structural evolution of a Mg(OH)\textsubscript{2} modified sodium carbonate activated slag cement
#### 3.2.1. X-ray diffraction. After 28 days of curing, X-ray diffraction patterns (Fig. 4A) show the continued growth of a C-S-H type phase when compared with the 7 days data in...
Fig. 3. High intensity reflections of the crystalline phases brucite (Mg(OH)$_2$) and gaylussite were also identified. In all of the samples a reflection at $11.6^\circ \ 2\theta$ was identified, and assigned to the formation of a hydrotalcite-like phase resembling Mg$_{0.4}$Al$_{1.6}$[CO$_3$](OH)$_{16} \cdot 4$H$_2$O (PDF # 041-1428) but potentially with differences in Mg/Al ratio and/or interlayer species; the effects of these two factors are convoluted in the XRD analysis of hydrotalcite-group phases relevant to alkali-activated cements.\textsuperscript{35} This phase was not observable after 7 days of curing (Fig. 3), and so has grown in quantity and/or crystallinity during ongoing curing of the hardened samples. The main reflection assigned to this phase is especially prominent in samples with high contents of Mg(OH)$_2$ (Fig. 4A, M30 and M50). More intense reflections assigned to calcite (CaCO$_3$, PDF # 005-0586) and brucite were observed in the specimens containing 30 wt% and 50 wt% Mg(OH)$_2$. The most intense reflection of calcite at $29.4^\circ \ 2\theta$ overlaps with the broad C-(N-)A-S-H reflection, however secondary reflections at $39.4^\circ$, $43.1^\circ$, $47.5^\circ$ and $48.5^\circ \ 2\theta$ confirm the presence of large quantities of calcite in both of these samples.
Magnesium is known to be incorporated into calcite, forming magnesian calcites. This has been well studied within marine calcites, with Mg incorporation varying depending on $pCO_2$, temperature and pH.\textsuperscript{36,37} However, any possible formation of magnesian calcite would be difficult to determine from the XRD data presented here; although magnesium incorporation affects the calcite lattice, resulting in a slight shift in the diffraction peaks, at low levels of incorporation this is difficult to discern from diffractograms as complex as those shown in Fig. 4. In the literature higher Mg : Ca ratios are observed to affect CaCO$_3$ polymorph formations and stabilities, stabilising aragonite and vaterite by retarding growth of calcite, and enhancing the formation of monohydrocalcite.\textsuperscript{37–40} None of these are identified within any of the samples analysed here, suggesting that there is little involvement of the added Mg(OH)$_2$ in such processes, or that the quantities formed are too low (or of low crystallinity) to be easily detected in this XRD analysis.
Although all of the cements analysed here show similar phases after 28 days of curing, their compressive strengths differ notably (Table 3); lower compressive strengths were obtained as more Mg(OH)$_2$ replaces GGBS. In the mix designs used here (Table 2), Mg(OH)$_2$ addition also necessitated an increased water to solids ratio to enable mixing and casting. In alkali activated materials this increased water content would typically reduce the concentration of the activator, however this does not occur here as activator dose was held constant with respect to the total solids content, meaning that the Na$_2$O/GGBS ratio increases at higher Mg(OH)$_2$ contents. The fact that the sample without Mg(OH)$_2$ displays a lower strength than with 10 wt%, despite its lower water/solids ratio, suggests that the addition of Mg(OH)$_2$ does influence the bulk properties of the cements in a substantive way.
The phase assemblage of each binder continued to develop from 28 days up to 18 months of curing (Fig. 4B), with only minor gaylussite reflections identified in the samples at 18
---
**Fig. 5** FTIR spectra of sodium carbonate activated slag binders after (A) 28 days, and (B) 18 months of curing.
**Fig. 6** Expanded FTIR spectra of sodium carbonate activated slag binders after 18 months of curing.
months. In place of gaylussite, the continued formation of calcite was observed in all the samples, increasing in intensity with higher degrees of replacement of the slag by Mg(OH)$_2$. A high intensity reflection of hydrotalcite was observed in all samples, displaying especially strong reflections in the sample with 30 wt% Mg(OH)$_2$ (Fig. 4B, M30). The reflections assigned to Mg(OH)$_2$ were strong in all samples in which Mg(OH)$_2$ was added, suggesting that if there was any chemical reaction between Mg(OH)$_2$ and the other mix constituents, it was far from complete. Thermodynamic calculations of the stable phase assemblage for sodium carbonate-activated slag binders containing high Mg contents have predicted brucite as a stable constituent of the phase assemblage,\textsuperscript{41} and the observation of its limited reaction here is consistent with those calculations. The increasing content of Mg(OH)$_2$ did not appear to influence the observed phase assemblage, other than increasing the intensity of the reflections assigned to calcite, C-(N)-A-S-H and hydrotalcite, which is commensurate with an increased degree of slag dissolution due to the increased activator/slag ratio in the higher-Mg(OH)$_2$ samples.
The overall phase evolution of these slag cements was similar to the processes previously identified in sodium carbonate activated slags.\textsuperscript{4,42} The major difference from the established literature is the presence of calcite, and the absence of the CaCO$_3$ polymorphs aragonite and vaterite, which is contrary to other results available in the literature for aged samples.\textsuperscript{4,42}
For sodium carbonate activation of a slag with a comparable composition to that which was studied here, Myers \textit{et al.}\textsuperscript{40,43} predicted the formation of a C-(N)-A-S-H gel, calcite, the zeolitic phase natrolite (Na$_2$Al$_2$Si$_3$O$_{10}$·2H$_2$O), a hydrotalcite-group Mg-Al LDH phase with OH$^-$ groups dominating its interlayer (MA-OH-LDH), and a calcium monocarboaluminate phase in the AFm family (Ca$_2$ACH$_{11}$). In this study, neither natrolite nor AFm phases were detected directly by XRD, however the presence of Ca$_2$ACH$_{11}$ remains possible as its key Bragg reflections (PDF # 041-0219\textsuperscript{44}) present significant overlap with those of hydrotalcite-like phases, making confident identification difficult. The distinction between the MA-OH-LDH phase and carbonate-containing hydrotalcite-group phases is also challenging due to their similar diffraction patterns; this will be revisited below using thermogravimetry and mass spectroscopy. Gaylussite is not predicted to be a stable phase within these cements, which is in line with the decrease in its reflections here from 28 days to 18 months, and in agreement with other studies.\textsuperscript{4}
**Fig. 7** Thermogravimetric (TG) and differential thermogravimetric (DTG) analysis of samples after (A) 28 days curing and (B) 18 months curing, with M0 DTG data highlighted as an inset to show the characteristic hydrotalcite peaks.
**Fig. 8** MS data for all samples after 18 months curing. (A) combined H$_2$O and CO$_2$, (B) CO$_2$ response.
3.2.2. Fourier transform infrared (FTIR) spectroscopy.
Fig. 5 shows the infrared spectra of the samples at 28 days and 18 months. In both Fig. 5A (samples cured for 28 days) and Fig. 5B (samples cured for 180 days), the most notable difference among the samples is related to the sharp peak at 3698 cm$^{-1}$, which is assigned to the O–H stretching vibration mode of brucite.\textsuperscript{44} As expected, reduced contents of Mg(OH)$_2$ in the cement give a lower intensity in this band. Although significant quantities of Mg(OH)$_2$ remain in the samples after 18 months of curing, especially when adding high contents of Mg(OH)$_2$ (Fig. 5B, M50), a slight reduction in the intensity of this band is observed when comparing pastes containing lower Mg(OH)$_2$ contents cured for 18 months, against the data at 28 days. This tentatively suggests Mg(OH)$_2$ might not be completely inert, though there is potential for this to be an artifact of sample preparation or analysis, due to the 17 months sampling interval between data sets.
The broad band centred at 3458 cm$^{-1}$ in each of the samples at 28 days, and 3455 cm$^{-1}$ at 18 months, corresponds to the H–OH stretching mode of bound water, while the resonance at 1644 cm$^{-1}$ is assigned to the bending mode of the H–OH bond.\textsuperscript{45,46} These resonances are typical of bound and interlayer water within C-A-S-H type gels,\textsuperscript{47,48} along with crystal water within a hydrotalcate-type phase and in gaylussite,\textsuperscript{46} consistent with the phases observed by X-ray diffraction (Fig. 4).
The Si–O–(Al,Si) stretching vibration mode of the C-(N)-A-S-H gel is identified at 957–960 cm$^{-1}$,\textsuperscript{47} overlapping resonances from residual slag. The position of this band was not affected by the addition of different quantities of Mg(OH)$_2$, which indicates that there were not significant changes identifiable in either the degree of crosslinking or the chemical composition of the C-(N)-A-S-H phase as a result of Mg(OH)$_2$ addition.
The broad band at 1420 cm$^{-1}$ is attributed to the $v_3$ carbonate stretching band typical of carbonate phases, consistent with the identification of calcite, gaylussite and the hydrotalcate-like phase in the XRD data (Fig. 3 and 4) for these samples.\textsuperscript{49,50} Carbonate vibrations from calcite were more clearly evident in a sharp peak ($v_2$ band) at 874–875 cm$^{-1}$, which increased in intensity in the samples with higher contents of Mg(OH)$_2$ and also with curing age. This correlates well with the trends in the XRD reflections assigned to calcite (Fig. 4).
Both the OH stretching (3800–3600 cm$^{-1}$) and carbonate vibration (900–850 cm$^{-1}$) regions of the FTIR spectra of aged samples are shown in an expanded view in Fig. 6, as these regions provide evidence for the formation (or absence) of other carbonate or hydroxy-carbonate phases.
Due to the large quantity of Mg(OH)$_2$ in these samples, there might exist opportunities for the formation of magnesium carbonate phases. Magnesite (MgCO$_3$) typically exhibits a sharp vibration at $\sim$885 cm$^{-1}$,\textsuperscript{46} while other hydrated magnesium
carbonates display sharp vibrations between 3700–3500 cm\(^{-1}\) (e.g. nesquehonite \((\text{MgCO}_3 \cdot 3\text{H}_2\text{O})\) at 3570 cm\(^{-1}\),\(^{46}\) hydro-magnesite \((\text{Mg}_5(\text{CO}_3)_4(\text{OH})_2 \cdot 4\text{H}_2\text{O})\) at 3645, 3505 and 3445 cm\(^{-1}\),\(^{46}\) and dypingite \((\text{Mg}_5(\text{CO}_3)_4(\text{OH})_2 \cdot 5\text{H}_2\text{O})\) at 3648 cm\(^{-1}\).\(^{50}\)) The absence of these vibration modes, combined with the lack of reflections characteristic of magnesium carbonates from the XRD data as shown above, rules out the formation of pure magnesium carbonates other than the hydrotalcite-like phase. This analysis also rules out the formation of the CaCO\(_3\) polymorphs aragonite and vaterite, as they display characteristic infrared vibrations in the region 900–850 cm\(^{-1}\).\(^{46,51}\)
The possibility of magnesium incorporation within Ca-containing carbonate phases is somewhat more difficult to determine within these samples. Huntite \((\text{CaMg}_3(\text{CO}_3)_6)\) can be excluded, as this mineral exhibits strong vibrational modes at 892 and 869 cm\(^{-1}\),\(^{46}\) which are not observed in Fig. 6. Dolomite \((\text{CaMg}(\text{CO}_3)_2)\) is known to have slow crystallisation kinetics so is rarely formed in cements in any case,\(^{22}\) and typically displays a sharp vibration at 881 cm\(^{-1}\).\(^{51}\) Incorporation of Mg into calcite to form a magnesian calcite is much more difficult to ascertain, as was the case for the XRD analysis in the preceding section. FTIR analysis of calcites of different Mg contents has shown that the wavenumber of the carbonate \(v_2\) vibrational mode increases with the proportion of magnesium in the calcite structure, though this is typically only up to \(\sim 876–7\) cm\(^{-1}\) in naturally occurring magnesian calcites (e.g. \(\text{Ca}_{0.83}\text{Mg}_{0.16}\text{CO}_3\) analysed in\(^{54}\)). The carbonate \(v_2\) vibration within these samples does not alter in position from 0 to 50% Mg(OH)\(_2\) addition, suggesting that there is little to no Mg incorporation within the calcite that is formed.
### 3.2.3. Thermogravimetric analysis
Thermal analysis of the samples after 28 days (Fig. 7A) and 18 months (Fig. 7B and 8) shows a mass loss at temperatures below 200 °C, which can be attributed to removal of loosely bonded water, and the initial loss of the interlayer and structural water present in the C-(N)-Al-S-H.\(^{55,56}\) The sharp peak at 110 °C is assigned to gaylussite dehydration,\(^{57}\) in agreement with the identification of this phase by XRD analysis, where notably reduced gaylussite intensities were observed after 18 months of curing.
Dehydroxylation of Mg(OH)\(_2\) was prominent at \(\sim 400\) °C, where mass loss increased commensurately with the addition of Mg(OH)\(_2\). At \(\sim 630\) °C, calcite decomposition was observed, followed by gaylussite decarbonation.\(^{58}\) The decomposition of the hydrotalcite-like phase was more difficult to determine as it typically exhibits a multi-step process of dehydration, dehydroxylation and/or decarbonation up to \(\sim 600\) °C, depending on the structure and interlayer anions,\(^{39,61}\) and potentially overlapping with the mass loss due to Mg(OH)\(_2\) decomposition. This is highlighted within the differential thermogram of the 18
**Fig. 10** Backscattered electron micrographs (A) low magnification, (B) higher magnification) and corresponding EDX maps of a sodium carbonate activated slag with 10 wt% Mg(OH)\(_2\) addition, after 18 months of curing.
months cured sample without Mg(OH)$_2$ addition (inset Fig. 7B), which shows a distinct shoulder at $\sim 200$ °C and further mass loss at $\sim 350$ °C. This is characteristic of a hydrotalcite-like phase\textsuperscript{62} and can be noted in the other 18 months samples in Fig. 7B, where there is an apparent shift in the Mg(OH)$_2$ decomposition peak from $\sim 380$ °C towards a lower temperature, $\sim 350$ °C.
The TG-MS data (Fig. 8) for samples with different contents of Mg(OH)$_2$ addition after 18 months might provide further insight into the nature of this Mg-LDH phase, as the XRD analysis presented above was not able to unequivocally define whether it is a solely hydroxide-containing product, or whether it contains carbonate. In these samples, the mass loss at $\sim 350$ °C only registered in the mass spectroscopy data as H$_2$O, not as CO$_2$. Typically a carbonated hydrotalcite-like phase would evolve interlayer CO$_2$ in this temperature range.\textsuperscript{63} Plotting data for CO$_2$ alone (Fig. 8B) does reveal slight evolution of CO$_2$ here, however this is part of a broader decarbonation culminating in calcite decomposition at $\sim 630$ °C rather than a discrete event which could be attributed to a carbonate-containing LDH. Unfortunately Mg-Al-CO$_3$ LDH phases have been shown to release CO$_2$ at $>400$ °C,\textsuperscript{64} which overlaps with CaCO$_3$ decomposition. Although evidence from thermodynamic modelling predictions of Myers \textit{et al.}\textsuperscript{59,61} suggest that the hydrotalcite-group phase formed in these systems is in fact an MA-OH-LDH phase rather than a carbonate containing phase,
TG-MS is unable to definitely determine this within these samples.
3.2.4. Microstructural features of aged Mg(OH)$_2$-containing sodium carbonate-activated cements. Backscattered electron (BSE) micrographs of the sample without Mg(OH)$_2$ (M0) are displayed in Fig. 9, with corresponding elemental maps. The slag grains (labelled ‘s’ in the micrographs) have undergone varying degrees of dissolution, resulting in the formation of a dense matrix composed of a C-(N)-A-S-H type gel, as evidenced by the widespread distribution of Al, Si, Ca and Na, in which all the other features are embedded. The remnant slag grains are surrounded by thin darker reaction rims (labelled ‘r$_f$’ in Fig. 9A), clearly observed at a higher magnification (Fig. 9B). This ‘rim’-like region is particularly evident for slag fines, where the slag grains have entirely reacted, leaving regions with darker grey-scale values than the bulk matrix (these are labeled ‘r’ in Fig. 9A and particularly evident in the Mg map in Fig. 9B), without a bright remnant slag core. This region is richer in Mg than the bulk matrix, indicating the presence of the hydralcelite-like phase identified above, and consistent with observations by other authors in slag cements activated by sodium hydroxide or silicate,\textsuperscript{54,55} and in aged sodium carbonate-activated slag cements.\textsuperscript{6}
Large darker regions (labelled as ‘g’ in Fig. 9A) are assigned to gaylussite, identified by enrichment in Na and C compared to the bulk matrix, and the absence of Al and Si. Similar features have been observed in sodium carbonate/silicate-activated slag cements,\textsuperscript{7} where gaylussite is reported as secondary reaction product. Formation of calcite (labelled ‘c’ in Fig. 9A), corresponding to the regions observed in the EDX maps to be rich in Ca and C but lacking in Al and Si, was observed around gaylussite. The large darker patches (labelled ‘ca’ in Fig. 9A) are particularly low in Si but still contain appreciable quantities of Ca, C and Al, suggesting the formation of a hydrous calcium carboaluminate phase. This may potentially be the monocarbonate Afm (C$_2$A$\text{CH}_1$$_{11}$, or ‘CO$_2$-Afm’) phase predicted by Myers \textit{et al.}\textsuperscript{8,9,41} in sodium carbonate-activated slag cements \textit{via} thermodynamic modelling, and recently identified by Ke \textit{et al.}\textsuperscript{6} in aged cements of that composition.
SEM results for specimens with 10 wt% Mg(OH)$_2$ (sample M10) are shown in Fig. 10. Again, a significant quantity of unreacted slag (marked s) remained, around which reaction rims (r$_s$) have developed. As in Fig. 9, remnant reaction rims from dissolution of slag fines (r$_f$) are observed, along with the presence of gaylussite (g), and with calcite (c) forming on the edges of gaylussite patches. Small Mg(OH)$_2$ particles (b) are observed throughout the sample, and do not appear to have undergone any reaction but instead remain embedded within the C-(N)-A-S-H rich bulk matrix. Fig. 10B presents a higher magnification view of two large Mg(OH)$_2$ particles, which are
embedded in the bulk gel. The EDX maps do not reveal any reaction region surrounding the particles, nor is there evidence of decalcification or Al enrichment in the bulk surrounding these particles which would indicate MA-OH-LDH formation around the Mg(OH)$_2$ particles. This suggests that the Mg(OH)$_2$ is not participating in any reaction with the slag, and is merely acting as a filler or site for nucleation for a C-(N)-A-S-H gel.
Further increasing the level of replacement of GGBS by Mg(OH)$_2$ (30 wt%, sample M30) resulted in a substantial change in the microstructure of the hardened cement paste, and an increased tendency to cracking and desiccation during sample preparation for electron microscopy. In M30 (Fig. 11), little unreacted slag remains, and that which is left is surrounded by large reaction rims ($r_s$), which are higher in Mg and Al than the bulk matrix. Significant amounts of finely dispersed Mg(OH)$_2$ particles (b) are observed embedded throughout the matrix. As in Fig. 10, these particles appear to be unreacted, with no transition or visible reaction rims that could indicate participation in the chemical reaction of the cementing system. The XRD analysis (Fig. 4B) suggested the presence of increased amounts of calcite in this sample compared with those with lower Mg(OH)$_2$ contents. The observations here from SEM are consistent with this, as large clusters of calcite (c) are identified, instead of the gaylussite observed in the specimens with lower
Mg(OH)$_2$ contents. Like the gaylussite, calcite is largely confined to large clusters rather than being uniformly distributed throughout the sample. It is, however, also present as minor clusters associated with the regions identified above as potentially being the CO$_2$-AFm phase, in Fig. 11. This micrograph shows the extensive formation of this hydrous calcium carboaluminate phase in three locations, highlighted by dashed regions and identifiable by a very strong content of Ca and Al within the EDX maps.
The replacement of 50 wt% of the GGBS by Mg(OH)$_2$ (M50) further changes the observed microstructure of the cement. No remnant slag grains are identified in Fig. 12A and B, having undergone full dissolution and leaving large reaction regions ($r_1$) enriched in Mg and Al. These appear to have also developed a secondary reaction rim, deficient in Si and Ca relative to both the bulk and interior of the reaction regions. This was in some instances further encircled by a thin layer of calcite (c). Mg(OH)$_2$ (b) was dispersed throughout the sample, both as large clumps and as smaller particles, commensurate with the very high replacement level in this sample. A distinct CO$_2$-AFm growth (ca) can be observed in Fig. 12A, which appeared to be growing around one of the Mg(OH)$_2$ particles, although no reaction region is identified within the particle itself, and Mg substitution into the AFm structure is not likely. The AFm phase appeared lighter in this micrograph than in previous samples, but this was likely a contrast effect due to the high Mg(OH)$_2$ content and lack of unreacted slag, which typically appeared lighter in the micrographs. Looking at a wider section of the sample in Fig. 12B, the morphology was quite different from that of samples containing less Mg(OH)$_2$. Very large clusters of calcite (c) were present, along with fine speckles of calcite distributed throughout the binder.
Looking more closely at one of the reacted slag particles in this sample, Fig. 13, distinct multiple reaction rims ($r_n$) are observable. The inner reaction rim ($r_1$) is similar in Si, Ca and Na concentrations to the bulk matrix, although enriched in Mg and Al. This is identified as formation of a C-(N)-A-S-H gel intermixed with an MA-OH-LDH phase, as the degree of incorporation of Mg into C-S-H type gels is known to be very limited.\textsuperscript{66} The next reaction rim has a lower density darkened ring deficient in most elements (\textit{i.e.} is a porous region), followed by another ring ($r_n$) enriched in only Al and Mg, indicating the presence of the MA-OH-LDH phase alone. This was also observed in several reacted slag regions throughout the sample. Both sites highlighted also exhibit thin calcite (c) deposits around the outer rings; similar Liesegang-type ring formations have been observed in aged silicate-activated slag concrete,\textsuperscript{67} and their presence suggests that the reaction of these cements at advanced age, independent of the activator used, is likely to follow an Oswald supersaturation–nucleation–depletion cycle.
Further analysing the large Mg(OH)$_2$ particle marked (b) in Fig. 13, the distributions of Ca, Si, Al and Na all reach up to the particle edge according to the EDX maps, indicating that this particle is embedded directly within a C-(N)-A-S-H gel. There is no preferential accumulation of Al along the particle edge which would indicate the formation of a hydralcotile-like phase. Any formation of a magnesium silicate hydrate (M-S-H) as a reaction product would lead to competition between Ca-rich and Mg-rich phases for the Si, and this would leading to regions rich in Mg and Si only, to the exclusion of Ca. However, no such regions are identified along the edge of this Mg(OH)$_2$ particle, nor any others in the analysis presented here, so it can be concluded that the bulk Mg(OH)$_2$ did not react to form M-S-H to a significant extent within this system. This also indicates that the source of Mg for formation of the hydralcotile-like phase identified by XRD analysis (Fig. 3) was the slag alone, which had an MgO content of 8.4 wt%, Table 1.
### 3.2.5. Chemical composition of the main reaction products.
Spot EDX measurements were taken throughout the bulk matrix, the reaction rims and the AFm phase. Table 4 details the average atomic ratios measured for these distinct features (rim, bulk, inner rim and outer rim) throughout all the samples after 18 months of curing. The Ca/Si ratio of the bulk gel remained fairly similar between samples MO – M50, ranging from 1.09 to 1.22. This is typical a Ca/Si ratio for sodium carbonate activated slags,\textsuperscript{4} though higher than typically identified in sodium silicate activated binders.\textsuperscript{68} The same Ca/Si ratio was measured in the reaction rims featured in all of the samples studied, supporting the identification of these regions being intermixed MA-OH-LDH and C-(N)-A-S-H, while the bulk was largely a C-(N)-A-S-H gel with some MA-OH-LDH present.
The Al/Si values of the rims were consistently higher than those of the bulk (up to 1.74 for sample M50), which also correlated with a higher Mg/Al ratio in the rims. The exception to this is the measured Mg/Al ratio of 7.69 in M50, where it is postulated that the bulk spot maps included Mg(OH)$_2$ particles due to their fine dispersal throughout the microstructure of this sample.
Fig. 14 correlates Ca/Si vs. Al/Si atomic ratios of the bulk matrix in all of the samples. There is considerable scatter between the individual points, however there is no discernible
| | Ca/Si | Mg/Si | Ca/Al | Mg/Al | Al/Si |
|--------|-------|-------|-------|-------|-------|
| **M0** | | | | | |
| Rim | 1.13 | 0.47 | 2.36 | 0.95 | 0.49 |
| SD | 0.18 | 0.10 | 0.54 | 0.11 | 0.06 |
| Bulk | 1.09 | 0.17 | 3.50 | 0.53 | 0.31 |
| SD | 0.15 | 0.05 | 0.62 | 0.11 | 0.03 |
| **M10**| | | | | |
| Rim | 1.10 | 0.82 | 1.82 | 1.33 | 0.61 |
| SD | 0.19 | 0.13 | 0.33 | 0.10 | 0.07 |
| Bulk | 1.11 | 0.28 | 3.60 | 0.89 | 0.31 |
| SD | 0.18 | 0.09 | 0.69 | 0.24 | 0.03 |
| **M30**| | | | | |
| Rim | 1.12 | 1.47 | 1.48 | 1.92 | 0.77 |
| SD | 0.20 | 0.15 | 0.31 | 0.10 | 0.07 |
| Bulk | 1.09 | 0.47 | 4.07 | 1.74 | 0.27 |
| SD | 0.17 | 0.15 | 0.83 | 0.37 | 0.02 |
| **M50**| | | | | |
| Inner rim ($r_1$) | 1.16 | 2.45 | 1.15 | 2.47 | 1.02 |
| SD | 0.17 | 0.20 | 0.20 | 0.18 | 0.09 |
| Outer rim ($r_n$) | 1.19 | 4.95 | 0.73 | 2.88 | 1.74 |
| SD | 0.24 | 1.19 | 0.21 | 0.23 | 0.49 |
| Bulk | 1.22 | 2.22 | 4.21 | 7.69 | 0.29 |
| SD | 0.22 | 0.52 | 0.93 | 2.11 | 0.03 |
difference between any of the samples, suggesting that the overall bulk composition of calcium, aluminium and silicon within the gel does not change as Mg(OH)$_2$ is added into the system. This does not, however, mean that no changes are occurring; as changes in Al–Si ordering, or interactions with excess Na, are not easily observed through bulk EDX. There will be an increase in Na/Si ratios when 30 wt% or 50 wt% Mg(OH)$_2$ replaces GGBS, though Na is easily lost in sample preparation and so its analysis by EDX is often unreliable. A higher Na content raises the possibility of increased charge compensation within a C-(N)-A-S-H gel, leading to structural changes, or the potential formation of a co-precipitated N-A-S-H gel. Neither of these would be easily determined via bulk EDX analysis, but the following section will address these points by NMR analysis.
The Al/Si values of the bulk gel for samples M0 – M50 were very similar, at 0.27–0.31. Although this is high for a C-(N)-A-S-H gel, the true Al/Si ratio of the gel will be lower once the Al present in MA-OH-LDH is removed from the analysis (as determined below). We postulate that the nature of this gel is likely to change as a result of the increased Na/Si ratio associated with higher Mg(OH)$_2$ replacement levels, as the Na$_2$O/GGBS ratio also increased. Due to the significant quantity of Na$_2$CO$_3$ used relative to the GGBS in formulations M30 and M50 (9.75 and 14.62% Na$_2$O eq. respectively), there is the potential for the additional formation of an N-A-S-H gel, as will be assessed in more detail in the following sections.
Analysis of compositional changes within the bulk matrix is to some degree complicated by the formation of the MA-OH-LDH phase. Although this has been noted to mainly precipitate in rims surrounding GGBS particles (or in the remnants of dissolved particles), analysis of the Mg/Si vs. Al/Si spot map data (as plotted in Fig. 15 for M0) shows evidence for its formation within the bulk as well.
There is a clear positive linear correlation between Mg and Al contents, indicating LDH formation in this sample, in both bulk and rim regions. Linear regression of these data to zero Mg content (the intercept with the horizontal axis) shows that the Al/Si ratio in the C-(N)-A-S-H gel is 0.21, and the slope of the trending indicates an Mg/Al ratio within the MA-OH-LDH phase of 1.68. This is a lower Mg/Al ratio than is typically found in hydrotalcite-group minerals, which are more commonly $\sim$2–3.\textsuperscript{17} This suggests either that an unusually Al-rich LDH phase has formed here, or that there is an additional Al-rich phase present intermixed with the bulk matrix. It may be possible that some of the AFm-structured material is finely dispersed through the bulk gel in addition to its presence in discrete crystallites as identified by SEM. However, a more likely explanation is the formation and intermixing of a disordered sodium aluminosilicate hydrate (N-A-S-H) type gel, as identified by Myers et al.\textsuperscript{20} in sodium silicate-activated slag cements, and this will be further addressed by NMR in the following section.
It was not possible to perform this type of quantitative analysis of Mg/Si vs. Al/Si ratios to determine phase compositions in samples with Mg(OH)$_2$ additions, as the fine dispersion of Mg(OH)$_2$ throughout the samples meant that not all of the Mg detected could be assigned to a hydrotalcite-like phase. Nonetheless, Fig. 16 shows the Mg/Si vs. Al/Si ratios for the bulk and rim EDX points in samples M0 – M30, along with the data points for the phase in M0 identified as the CO$_2$-AFm as a comparison. Overall, the Mg content of both the bulk and the reaction rims in Mg(OH)$_2$-containing samples appeared to increase, due to interference from dispersed Mg(OH)$_2$ particles, which caused the bulk to appear rich in Mg, and also caused the reaction rim appear to have a higher Mg/Al ratio than its true value. Interestingly, the outer rim in the M50 sample showed a much higher Mg/Al ratio than the reacted slag rims in that sample. This mirrors the observations from the EDX maps, suggesting that this is almost completely a Mg-Al LDH phase, rather than a mix of C-(N)-A-S-H and MA-OH-LDH as was the case for the inner reaction rims, and for the slag rims observed in the other samples.
3.3. Solid state nuclear magnetic resonance spectroscopy
The $^{29}$Si and $^{27}$Al MAS NMR spectra of 18 months-cured samples with different contents of Mg(OH)$_2$ are displayed in Fig. 17, along with the spectrum of unreacted GGBS for reference. All spectra are normalised to integrated area for comparison. The incomplete, and potentially incongruent, dissolution of slag glass in sodium carbonate activated slag pastes hinders detailed deconvolution of the $^{29}$Si MAS NMR spectra. However, no residual slag was detected by SEM in the M50 sample (Fig. 12 and 13), and so this spectrum was deconvoluted (Fig. 18) and the resultant peak positions were used as the basis for interpretation of the other spectra.
The spectral deconvolution for sample M50 (Fig. 18) was conducted following, where possible, the peak assignments previously determined by Myers et al.$^{29}$ for alkali activated slag binders, who interpreted this structure as a mixture of C-(N)-A-S-H and N-A-S-H type gels. The data presented show strong similarities to those for slag cements activated with both with sodium carbonate and sodium silicate activators.$^{6,32,69}$ Four distinct peaks were readily identifiable within the $^{29}$Si MAS NMR spectra (Fig. 17A), along with a broad resonance centred at $\sim-74$ ppm associated with residual slag. Other peaks and broad shoulders were inferred from the deconvolution presented in Fig. 18. The Q$^1$ region is split into two sites ($-77.0$ and $-79.2$ ppm), following the reasoning of Myers et al.$^{29}$ who highlighted the potential existence of multiple Q$^1$ environments due to differences in shielding by charge balancing Ca$^{2+}$, H$^+$ and Na$^+$ cations. In general, as GGBS is replaced by Mg(OH)$_2$, the broad resonance associated with the slag decreases in intensity. The proportion of Q$^1$(Al) to Q$^2$ sites appears to remain constant, as both component peaks increase in intensity, consistent with the formation of longer chains in a cross-linked bulk C-(N)-A-S-H gel and more extensive dissolution of the slag at higher Mg(OH)$_2$ replacement levels.
The deconvoluted $^{29}$Si MAS NMR spectrum for the paste with 50 wt% Mg(OH)$_2$ (Fig. 18) had a lower proportion of Q$^1$(II) and
**Fig. 16** Plots of EDX spot map atomic ratios, comparing Mg/Si vs. Al/Si ratios of 18 months samples with up to 50% Mg(OH)$_2$. (A) Full plot, (B) enlargement of the lower-left region. Abbreviations used: B = Bulk, R = Rim, OR = outer rim [r$_o$], LDH = layered double hydroxide.
**Fig. 17** Solid state MAS NMR spectra of anhydrous GGBS and sodium carbonate activated slag binders after 18 months of curing. (A) $^{29}$Si, (B) $^{27}$Al.
Q\(^1\) (1AI), and a larger Q\(^2\) contribution, than is typically identified for alkali-activated slag systems.\(^{32,36,69}\) Although all the slag glass had reacted in sample M50, a minor Q\(^0\) peak at \(-73.5\) ppm remained, which is tentatively attributed to residual ordered aluminosilicate-like regions\(^{48}\) from the slag which were less reactive than the glass (although not sufficiently crystalline to be identified by XRD), as also seen in all other \(^{29}\text{Si}\) MAS NMR spectra (Fig. 17A). The reduced intensity for the Q\(^1\) (1AI) site indicates that the C-(N)-A-S-H gel contains a lower degree of Al substitution than silicate-activated slag binders,\(^{32,39}\) consistent with the Al being incorporated into hydratolite-like and C\(_x\)A\(_y\)CH\(_z\) phases previously identified via XRD (Fig. 4) and SEM analysis (Fig. 12).
The presence of a N-A-S-H-type gel, as postulated above, is supported by the existence of resonances upfield of that of the Q\(^2\) site. The resonance at \(-88.0\) ppm has been assigned to both Q\(^1\) (1AI) from cross linking within the C-(N)-A-S-H gel, and to a Q\(^4\) (4AI) site from a N-A-S-H type gel. This cannot arise from a C-(N)-A-S-H gel alone, as the total resonance intensity at this frequency is much larger than is possible for a C-(N)-A-S-H gel (Table 5), which structurally can accommodate a maximum of 1 Q\(^1\) (1AI) per 4 Q\(^2\) (0,1AI) sites.\(^{71}\) The presence of a further resonance at \(-94.3\) ppm, which is assigned to a Q\(^3\) (3AI) site, provides additional evidence for the contribution from a N-A-S-H gel.
Although this sample (M50) contained a substantial proportion of Mg(OH)\(_2\), there was no evidence of the reaction of this Mg(OH)\(_2\) to form additional magnesium-containing phases according to FTIR, XRD or SEM as presented above. If an M-S-H type phase was formed, this would be expected to show distinct resonances between \(-86\) and \(-89\) ppm and between \(-93\) and \(-98\) ppm, depending on the M-S-H composition.\(^{73,74}\) Although these fall in the regions assigned to Q\(^1\) (1AI)/Q\(^4\) (4AI) and Q\(^3\) (3AI) here, there was no evidence for the formation of these from any other techniques, and the fact that the atomic ratio correlation plots indicate that the additional disordered phase present is Al-rich rather than Mg-rich (\(i.e.\) N-A-S-H not M-S-H) supports this argument.
The resonances in the \(^{27}\text{Al}\) MAS NMR spectra (Fig. 17B) are split into Al[IV], Al[V] and Al[VI] regions. The Al[IV] region contains Al resonances from the unreacted glassy slag, along with the cross linking Al sites within the C-(N)-A-S-H gel, which combined form a broad feature centred around 60 ppm. Within the Al[IV] region, different q\(^n\) sites have been tentatively designated, denoting connectivity comparable to the Q\(^n\) notation for Si. Considering the results of Myers et al.\(^{29}\) for sodium silicate activated slag cements, two q\(^1\) sites are observed, corresponding to Al sites in a C-(N)-A-S-H gel. A resonance at 74 ppm has been reported as being due to the Al in bridging positions linked to Q\(^2\) (1AI) silicon environments within a C-(N)-A-S-H gel, and would typically exhibit a sharp peak,\(^{38}\) but is not so prominent within these spectra. This is in agreement with the reduced prominence of the Q\(^1\) (1AI) Si site in these samples (Fig. 17A) compared to the existing literature. The q\(^{-1}\) site, which is the bridging crosslink site in C-(N)-A-S-H, is particularly prominent within these samples, and q\(^n\) sites are characteristic of N-A-S-H. This fits well with the identification of Q\(^4\) (4AI) and Q\(^3\) (3AI) sites within the \(^{29}\text{Si}\) MAS NMR spectra.
The Al[VI] region shows only a minor Al environment in the range \(-45\)–20 ppm, present in the glassy slag fraction, which correspondingly disappeared in samples with higher contents of Mg(OH)\(_2\) replacement (M30 and M50) as the slag underwent reaction. The C-(N)-A-S-H here does now show a significant presence of Al(v) in its interlayer.
The Al[VI] region only displays a single broad resonance at 8–9 ppm, associated with a combination of MA-OH-LDH hydratolite-like structures and the hydrated calcium aluminate (postulated C\(_x\)A\(_y\)CH\(_z\)) phase,\(^{74,75}\) which have similar chemical shifts and so overlap in the spectra. This made further elucidation of the signals in this region difficult, but the presence of both contributions is supported by the identification of both these phases in the XRD and SEM/EDX analysis.
The NMR analysis here demonstrates the presence of a highly cross-linked C-(N)-A-S-H gel, an N-A-S-H gel, and MA-OH-LDH and CO\(_2\)-AFn phases. This is a complex system, with many phases which have the potential to immobilise or retain radionuclides if used in a waste immobilisation application. None of the key binding phases appear to have undergone any reaction or ionic substitution with Mg from the Mg(OH)\(_2\), which was added into these cements. There is ultimately no evidence presented here for the formation of a M-S-H or M-A-S-H gel, from either NMR, XRD or SEM, and this indicates encapsulation of Mg(OH)\(_2\) rather than its incorporation through chemical reaction.
### Table 5
Peak positions and widths (ppm) for deconvolution of \(^{29}\text{Si}\) MAS NMR data for M50 at 18 months [intensity as % area of integrated total fit]
| Q\(^0\) | Q\(^1\) (I) | Q\(^1\) (II) | Q\(^2\) (1AI) | Q\(^2\) (4AI) | Q\(^3\) (3AI) |
|---------|-------------|--------------|---------------|---------------|---------------|
| Intensity (%) | 2 | 7 | 11 | 26 | 23 | 22 | 9 |
| Centre | \(-73.5\) | \(-77.0\) | \(-79.2\) | \(-81.9\) | \(-84.9\) | \(-88.0\) | \(-94.3\) |
| FWHM | 2.0 | 4.3 | 2.5 | 2.8 | 2.9 | 6.5 | 6.0 |
4. Conclusions
This study has highlighted the hydration mechanisms and products of sodium carbonate activated slags, both with and without the addition of Mg(OH)$_2$. A C-(N)-A-S-H/N-A-S-H assemblage, a hydrotalcite-like compound and a hydrous Afm-structured calcium carboaluminase phase were the major reaction products identified in all samples, with calcite increasingly formed as the slag was replaced with Mg(OH)$_2$ and the Na$_2$CO$_3$/slag ratio thus increased. The hydrotalcite-like compound was identified as a carbonate-free layered double hydroxide, containing OH$^-$ interlayer anions, in agreement with recent thermodynamic modelling for similar systems. Carbonate appears to be sequestered initially within gaylussite, which progressively dissolves and converts to calcite over time.
The added Mg(OH)$_2$ appeared only to act as a filler and nucleation seed, reducing the time taken for major strength forming phases to develop, while undergoing little to no further reaction with any other components within the system. No magnesium bearing phases were identified as rims around the Mg(OH)$_2$ particles, suggesting that the nucleation seeding primarily influenced C-(N)-A-S-H (and maybe N-A-S-H) gels.
Overall, a sodium carbonate activated slag matrix would be suitable for the encapsulation of Mg(OH)$_2$-bearing wastes such as Magnox sludge. Little if any reaction would be expected to occur between the Mg(OH)$_2$-bearing waste material and the cementitious matrix. The release of heat of reaction is accelerated when adding Mg(OH)$_2$, though this does not increase the cumulative heat of reaction above that which is observed in Mg(OH)$_2$-free samples. The slow hydration of these samples means they can be safely processed without risk of thermal runaway or heat-induced cracking in larger samples.
Conflicts of interest
There are no conflicts of interest to declare.
Acknowledgements
This study was sponsored by the Engineering and Physical Sciences Research Council through the University of Sheffield/University of Manchester Doctoral Training Centre ‘Nuclear FiRST’ under grant EP/G037140/1 and through a Nuclear Decommissioning Authority CASE award, under supervision from the National Nuclear Laboratory. Solid-state NMR spectra were obtained at the EPSRC UK National Solid-state NMR Service at Durham, and we are grateful for the assistance of Dr David Apperley related to the experiments conducted at that facility. This research was performed in part at the MIDAS Facility, at the University of Sheffield, which was established with support from the Department of Energy and Climate Change.
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|
Troop Leadership Training
BOY SCOUTS OF AMERICA®
Leadership is a vital part of the Scouting program. Scouts in positions of leadership run their patrols and the troop. They take care of the many tasks necessary for troop meetings and activities to run smoothly and well. By accepting the responsibilities of troop and patrol leadership, they are preparing themselves to be leaders throughout their lives.
Scouting offers young people a rich and varied arena in which to learn and use leadership skills. Among the challenges encountered by a troop’s youth leaders are
- Organizing patrols
- Using duty rosters
- Planning menus and figuring out food costs
- Encouraging advancement
- Guiding a patrol’s involvement in problem solving
- Teaching outdoor skills
- Ensuring patrol safety during outings
- Handling patrol finances
- Helping other Scouts make the most of their own leadership opportunities
The badge of office presented to a Scout who is accepting a position of troop leadership does not automatically make him a good leader.
Leadership experiences can be frustrating and disappointing for a Scout if he is not given the knowledge, skills, and encouragement he must have to fulfill his leadership assignment. It is the Scoutmaster’s responsibility to make sure the Scout has all the necessary tools and to encourage the Scout to be successful through coaching and mentoring.
Training youth to be leaders is an ongoing process that begins immediately when a Scout accepts a new position in his troop—even that of becoming a new member of a patrol—or when he is elected to a leadership position in his patrol or troop. Troop Leadership Training (TLT) is Scoutmaster-directed training, divided into three modules and designed to be used by the Scoutmaster in separate or back-to-back sessions. The first module should be conducted within a week of a Scout’s acceptance of his new leadership responsibilities and should always immediately follow patrol and troop elections. Each youth leader should have experienced all three modules before going on to the council-sponsored National Youth Leadership Training (NYLT) course. Completion of all three modules qualifies the Scout to wear the Trained patch. Scoutmasters should insist that a Scout participate in TLT each time he changes leadership roles within the troop or his patrol.
Like NYLT, the TLT sessions are organized into topics that explain
- What he must *Know* to successfully fill his leadership position
- What a youth leader must *Be* to be successful
- What he must *Do* to carry out his new responsibilities.
Each module is designed to take no more than one hour. The material draws from and reinforces the elements of the *Patrol Leader Handbook*, the *Scoutmaster Handbook*, and NYLT.
When a Scout takes on a new leadership position in his patrol or troop, he will immediately want to know what is expected of him and how he can fulfill his obligations successfully. Although curious about the concept of leadership, he might not know who to approach or even what questions to ask. The three TLT sessions have been developed to help the Scout overcome limitations and provide him with a foundation for successfully executing his leadership responsibilities. These sessions should be conducted in consecutive order, either individually as stand-alone sessions or all three on the same day.
- **Module One—Introduction to Leadership (Know).** Conducted within a week of a Scout’s acceptance of his new position, this session focuses on what a new leader must *know*.
- **Module Two—How to Do Your Job (Be).** This session on how to fulfill the role’s responsibilities focuses on what a leader must *be*.
- **Module Three—What Is Expected of Me? (Do).** This session focuses on what a leader must *do*.
The youth leadership development process begins with “Module One—Introduction to Leadership,” what a leader must *know*. The Scoutmaster conducts this session for the senior patrol leader and new Scouts. Scouts in other leadership positions may receive their training from someone who has been approved by the Scoutmaster. This may provide the opportunity for new patrol leaders to train new assistant patrol leaders.
PREPARING THE NEW SENIOR PATROL LEADER
The following discussion should take place between the Scoutmaster and a new senior patrol leader before the “Module One—Introduction to Leadership” training session takes place. It is important that a new senior patrol leader be trained first, so that he may fully participate in the training of other youth leaders.
BREAKING THE ICE
Welcome the senior patrol leader formally to this special session. Explain that you will help him grow in this role and in leadership skills, as well as in his Scouting skills. He will grow in his ability to work with his peers and with adults, and he will make a substantial contribution to the Scouts in the troop.
Now ask him to mention some of the benefits he feels a young man can get from Scouting. He will probably start with the fun things—camping, hiking, outdoor skills, trips, making friends. Guide him toward understanding Scouting’s role in developing personal growth—the values of citizenship, character, ideals, and overall fitness. As the two of you discuss this, help him understand that he is an important influence who can cause such growth to take place, and that it is a major part of his role as senior patrol leader to influence other youth leaders in a positive way.
Caution: Don’t bog down this discussion with trivial issues. Explain that the patrol method is what makes Scouting special. The senior patrol leader makes the difference in whether the troop is an effective troop. Together, you as Scoutmaster and he as senior patrol leader will make the difference. Explain that it is his responsibility to lead the troop through the patrol leaders’ council. Explain that although it is your responsibility to give him direction and support, he is the key leader.
Help the new senior patrol leader to understand that everything the troop does should be as a result of decisions made by the patrol leaders’ council, which he leads. Be quick to assure him that you will have many opportunities to discuss these meetings together, and that you will certainly be there to help him.
POSITION DESCRIPTION
Give him a copy of the pocket card for the position description of the senior patrol leader. Explain that together, you will walk through this summary of his chief duties to give him an overall idea of what his position entails. Discuss each point individually. As you do so, encourage him to react with comments and questions. Invite the senior patrol leader to make notes. Some of these topics can generate exciting discussion, but be careful not to let the meeting run too long.
EXPECTATIONS
Tell the senior patrol leader that all of the points in the position description just discussed add up to leadership and service. In addition to the position description, tell him that you expect the following from him:
- Live by the Scout Oath and Law.
- Agree on a written vision of success for his term of office and a plan to get there.
- Set a good example (uniform, language, behavior).
- With the Scoutmaster’s assistance, conduct “Module One—Introduction to Leadership” for the assistant senior patrol leader and patrol leaders.
- Attend Troop Leadership Training.
- Complete advancement requirements.
- Devote the time necessary to handle the responsibilities of the position.
- Work with other troop leaders to make the troop go.
- Attend the council National Youth Leadership Training course (a leadership growth opportunity).
Now tell the senior patrol leader it is time to turn the discussion around to what he can expect from you. Tell him that you have reviewed what he is expected to do, and it’s a big task, but he is not expected to do it alone. He can expect the following from you:
- You and he will have many meetings in preparation for his role.
- You will be available for discussions or phone calls (give best times).
- You will back up his decisions within reason (give some examples).
- You will listen to his ideas.
- You will be fair.
- You will listen to all sides of any issue.
- You will set a good example for him (uniform, language, behavior, etc.).
- You will provide direction, coaching, and support.
- You will share a vision of success for the troop and a plan to get there. (Do this now.)
RESOURCES
Refer to the description card for his position and point out other materials that he will need to use in training other youth leaders. Point out specific tools from the *Scoutmaster Handbook*, *Patrol Leader Handbook*, *Senior Patrol Leader Handbook*, and *Boy Scout Handbook*. Suggest that he review these materials to help him learn his role.
CONTINUING TRAINING
Almost everything the Scout does will contribute to his training. Much of his training will come from mutual leadership and counsel during his tenure as senior patrol leader. Tell him that he can qualify to wear the Trained strip on his uniform after participation in Troop Leadership Training. Announce the scheduled date and explain that you expect him to help conduct the training.
QUESTIONS
Give the Scout an opportunity to ask questions. Answer them the best you can.
ASSIGNING TASKS
Tell him that his first task will be to help train his assistant senior patrol leader and patrol leaders. Explain that this will be a joint task between you and him. Review “Module One—Introduction to Leadership” and the description card for the patrol leader position with the senior patrol leader. Make him feel comfortable and able to accept more responsibility.
FOLLOW UP
Be certain that you follow up weekly with the senior patrol leader as you both agreed, so that you can mutually evaluate each assignment. As time passes, go back to the plan for success to which you both agreed and benchmark your progress. Always be prepared for his next assignment at the weekly meeting.
RELATIONSHIP
Express to the Scout that this was a get-acquainted meeting and that you hope it will be the first of many more meetings. Help him understand this and encourage him to discuss his thoughts and concerns with you. Be sincere; really mean it. Give him a Scout handshake and a big smile, and tell him how much you enjoyed the discussion.
Opportunities to develop leadership skills are every bit as important to Scouts and to Scouting as any other advancement requirements. The first step in youth leadership training is introducing the Scout to the position he has agreed to do. In many cases, the Scoutmaster is the one who can most effectively conduct this introduction for the senior patrol leader and new youth leaders. The chart on this page suggests the appropriate leaders to conduct the introduction for each troop position. The introduction is an extremely important occasion to give a new youth leader the clear message that he has the ability to handle the position, that he is trusted, and that he can get all of the support and guidance he needs in order to succeed.
| YOUTH LEADER POSITION | CONDUCTED BY |
|----------------------------------------------|--------------------------------------------------|
| Senior patrol leader | Scoutmaster |
| Assistant senior patrol leader | Scoutmaster and senior patrol leader |
| Patrol leaders (except for new-Scout patrol) | Scoutmaster and senior patrol leader |
| Assistant patrol leaders | Patrol leaders |
| Patrol leader—new-Scout patrol (required as rotated) | Assistant Scoutmaster—new-Scout patrol and troop guide |
| Troop guide | Assistant Scoutmaster—new-Scout patrol |
| Den chief | Assistant Scoutmaster—new-Scout patrol |
| Venture patrol leader | Assistant Scoutmaster—Venture patrol |
| Junior assistant Scoutmaster | Scoutmaster |
| Instructor | Scoutmaster and assistant senior patrol leader |
| Librarian | Assistant senior patrol leader |
| Order of the Arrow troop representative | Assistant senior patrol leader |
| Troop historian | Assistant senior patrol leader |
| Quartermaster and scribe | Assistant senior patrol leader and troop committee members responsible for equipment (quartermaster) and records and finance (scribe) |
| Chaplain aide | Assistant senior patrol leader and chaplain |
TROOP LEADERSHIP TRAINING
The introduction gives each youth leader an immediate overview of his opportunities and sets him off on the right foot toward becoming an effective leader. The next step in this training is Troop Leadership Training, which provides him with a broader understanding of ways he can work with other youth leaders to make the troop a success and gives him strategies for dealing with many of the challenges he is likely to face. Upon completion of Troop Leadership Training, the youth is qualified to wear the Trained emblem on his uniform.
It is the Scoutmaster’s privilege and responsibility to organize and lead Troop Leadership Training, though he will want and need to involve other adult Scouters—and should involve previously trained youth.
The sessions are three one-hour modules designed to help key youth leaders understand what they must Know, Be, and Do to be effective troop leaders. The training, which should occur within a week of a Scout’s acceptance of his new position, is most constructive when attended by six or more Scouts. Give priority to elected troop leaders (senior patrol leader, assistant senior patrol leader, troop guide, patrol leaders, and Venture patrol leaders). If a unit is small and does not have enough youth leaders for an effective session, work with the unit committee to identify other units in the area with whom you can organize a cluster training event. It is most important that the Scoutmasters of the involved troops organize and conduct the training session. The Scoutmaster is part of the team being built, so it is imperative that he or she is actively involved in the training exercise.
The objectives are twofold—to give you and your youth leaders a greater sense of mutual trust, and to show how useful a shared style of leading will be in the patrol and the troop.
To help ensure a productive session, do the following.
- Review the materials well ahead of time and practice how you will present each portion of the session.
- Set a time, date, and location that is convenient for the adult and youth leaders who will be attending.
- Choose a location with comfortable seating.
- Prepare a list of training aids you will need to conduct the session, and have them on hand well in advance.
- Schedule one hour for each session, but remain flexible in how long the group spends on each phase of its training. Give Scouts plenty of time to complete discussions and ask questions. If a portion of the session begins to drag, though, move on.
MATERIALS NEEDED
- Troop organization chart for YOUR troop
- Position description cards
- National Honor Patrol handout
- Patrol Leader Handbook
- Scoutmaster Handbook
## MODULE ONE—INTRODUCTION TO TROOP LEADERSHIP (KNOW)
| Content | Led By |
|------------------------------------------------------------------------|-----------------|
| 1. The Boy-Led Troop and Living the Scout Oath and Law | SM |
| Discuss chapter 3 of the *Scoutmaster Handbook*, “The Boy-Led Troop.” | |
| 2. Discussion of a Boy-Led Patrol | SPL |
| Discuss chapter 4 of the *Scoutmaster Handbook*, “The Boy-Led Patrol.” | |
| 3. Review of the Troop Organization Chart | SM or a designee|
| The optimum troop organization charts for small and large troops are found in the *Scoutmaster Handbook*. | |
| 4. Position Overview | SM, SPL |
| Review each position as described in the *Scoutmaster Handbook*, and introduce the position description cards found in *Troop Leadership Training*. | |
| 5. National Honor Patrol Award Requirements | SPL or experienced PL |
1. **Scoutmaster’s Vision of Success**
The vision of success should be written and shared as a handout. The SPL also shares his written vision of success. The two visions should be aligned as the result of the SPL training session.
2. **Teaching EDGE Discussion**
EDGE (explain, demonstrate, guide, enable) is a process for training that will be taught at the council-level NYLT course. Introduce EDGE as the method we use to teach in our troop. The key to making EDGE work is to use it for all teaching opportunities. Make it a habit.
The four-step process is simple for teaching any skill.
1. **Explain**—The trainer explains how something is done.
2. **Demonstrate**—After the trainer explains, the trainer demonstrates while explaining again.
3. **Guide**—The learner tries the skill while the trainer guides him through it.
4. **Enable**—The trainee works on his own under the watchful eye of the trainer. The trainer’s role in this step is to remove any obstacles to success, which enables the learner to succeed.
3. **Troop Progress Discussion**
How is the troop doing? Capture this discussion on a flip chart and save it for follow-up at the following patrol leaders’ council meeting. Be sure to use the “Start, Stop, Continue” assessment tool.
- What should we start doing that we are not currently doing?
- What do we stop doing that is not working?
- What should we continue doing that is working well and helps us succeed?
4. **Assignment**
Get to know the Scouts you are responsible for leading. What do they need?
MODULE THREE—
WHAT IS EXPECTED OF ME? (DO)
| Content | Led By |
|------------------------------------------------------------------------|--------|
| 1. Position Descriptions and Expectations | SPL or ASPL |
| As part of “Module One—Introduction to Leadership,” review the position descriptions and expectations. | |
| 2. Servant Leadership—Motivating Scouts to Lead | SM |
| The Scoutmaster should lead a discussion of why Scouts should choose to be leaders. | |
| Most youth will very quickly tell you that they would rather tell people what to do than be told what to do. That is human nature, not just the nature of an adolescent. Leadership in the troop is not about the patch. It is about a choice to lead. It is about a choice to give rather than receive. | |
| What we need to build into the makeup of our youth leaders is the concept of servant leadership. We trust effective leaders because they care about others and about helping others succeed. That is the true role of a patrol leader—helping the members of the patrol succeed. Servant leaders understand what success looks like not only for the patrol as a group, but for each member of the patrol. They do everything they can to help the patrol and each individual member succeed. When the patrol leader has this focus, he serves his patrol well. That service earns him the patrol’s respect. When he has that respect, he has earned the title and role of leader. | |
| Each patrol member has personal advancement goals and challenges. A patrol leader who seeks to serve knows his patrol members well enough to help them succeed. | |
| Servant leaders help their patrols through the day-to-day operation of a troop. Every patrol has chores and tasks that must be accomplished as part of its role in the troop, so duties must be delegated and roles assigned. Patrol leaders manage the processes of the patrol. They should focus on how to help every member be successful in their assigned task, then the patrol will come together quicker as a team. | |
| Servant leaders want to lead because they know they can help make a difference and provide a better experience for every individual. | |
| 3. Defining Success in Your Position | SM |
| The Scoutmaster leads this thinking/writing session for new leaders. The Scoutmaster guides each patrol leader to write the definition of what success looks like in his patrol. | |
| 4. Scoutmaster Conference | SM |
| Personal coaching from the Scoutmaster helps patrol leaders set their goals to achieve success. | |
FURTHERING THE IDEALS OF SCOUTING THROUGH YOUTH LEADERSHIP TRAINING
Helping young people become good leaders is an ongoing process. To reinforce skills they learned during Troop Leadership Training, you and the Scouts must put those skills into practice. At patrol leaders’ council meetings, talk about leadership issues that have arisen during troop meetings. Recognize effective leadership and praise Scouts who are attempting to use leadership skills. Open the discussion to include instances when problems arose in a meeting, then help the youth leaders devise ways to handle similar situations in the future. Support your youth leaders by providing direction and by coaching them, both as a group and as individuals. In this way, you will help them learn leadership by leading. Along the way, you might also find a marked improvement in your own abilities to listen, counsel, and lead.
ADDITIONAL HINTS FOR TRAINING YOUTH LEADERS
As a Scoutmaster, you will discover many ways to encourage and coach youth leaders. Here are several.
• Meet with the senior patrol leader before every patrol leaders’ council meeting to help him develop the meeting agenda.
• Ensure that there is an opportunity for training during each patrol leaders’ council meeting.
• Involve members of the patrol leaders’ council in the troop’s annual program planning conference, and rely on the council to help plan the troop’s yearlong program.
• As a means of recognition and to teach specialized skills, consider conducting special patrol leaders’ council events such as hikes, outings, and high-adventure activities.
• To ensure there has been adequate preparation for a troop meeting or outing, have the senior patrol leader meet with the patrol leaders and give you a status report before the event.
• Include leadership topics in your Scoutmaster’s Minutes.
• Make it a point to be aware of each youth’s strengths and weaknesses. Praise those things he does well and help him in positive ways with areas that need improvement.
• Use Scoutmaster conferences for additional coaching.
LEADERSHIP TRAINING OPPORTUNITIES FOR YOUTH
NATIONAL YOUTH LEADERSHIP TRAINING
Many councils conduct training conferences—weeklong outdoor experiences designed to enhance the leadership abilities of Scouting’s youth leaders while living the Scout Oath and Law in an exciting outdoor environment. Each conference is organized by the council training committee and follows the *National Youth Leadership Training* staff guide and syllabus as an outline.
NYLT reaffirms the Scoutmaster’s responsibility to train youth leaders and reinforce the guidance already provided. In addition, the conferences have the following objectives.
- Give participants greater confidence and skill in leading their troop programs.
- Provide participants with further knowledge of Scouting’s leadership tools and how they can best use these tools to carry out their troop responsibilities.
- Offer participants time to share ideas and experiences with youth leaders of other troops.
- Create an atmosphere in which youths can experience Scouting at its best.
- Have plenty of fun.
The knowledge that youth leaders gain by attending these conferences has proven to be of such value that troop committees often find ways to raise the funds necessary to allow their youth leaders to attend. Most conferences require that participants be First Class Scouts who are at least 13 years of age. Each youth should be his troop’s senior patrol leader or assistant senior patrol leader, or should expect to hold one of these positions soon.
Scoutmasters will find that young men who have attended youth leadership training conferences are eager to incorporate new methods into their troop leadership positions. Councils should offer orientation sessions to provide Scoutmasters with an overview of the NYLT course content and guidance in how they can take full advantage of the enthusiasm and skills youth leaders will bring home with them.
An important part of the council NYLT conference is the vision of success and goal setting that each Scout creates during the course. This includes the post-course meeting between the Scoutmaster and each Scout to review the goals, and a plan for the Scout to achieve the goals in the unit.
“I attended the Junior Leader Training program at Philmont as a teenager. It was the only management and leadership training I ever felt I needed.”
—Bob Gates, former director of the Central Intelligence Agency
NATIONAL YOUTH LEADER INSTRUCTOR CAMP AND NATIONAL ADVANCED YOUTH LEADERSHIP EXPERIENCE
These national training opportunities are conducted through the Philmont Training Center. The National Youth Leader Instructor Camp program focuses on helping Scouts develop teaching skills that they can use to conduct the council NYLT conferences. This is a train-the-trainer program and does not specifically teach leadership skills. It is assumed that those youth who are selected to represent the council have a good grasp of basic leadership skills. During the course these skills will be used by each youth in his daily activities.
This program gives youths from across the nation an opportunity to train together, to gain new insights from one another as they live the Scout Oath and Law, and to learn new ways of presenting materials. It is recommended that each council send at least two youth members each year to this program. Historically, the National Youth Leader Instructor Camp has had great success building motivation in the youths who have attended. More importantly, it builds a commitment to living the values of Scouting every hour of every day. A Scout must be nominated by his local council and then be invited to attend by the Chief Scout Executive.
The National Advanced Youth Leadership Experience is being developed and will be a Philmont-based course. NAYLE is a scenario-based wilderness encounter that will motivate Scouts to follow a life of servant leadership based on the values of the Scout Oath and Law. Troop-level leadership training and National Youth Leadership Training conducted by the council will be the prerequisites for this course.
DEN CHIEF TRAINING
Many councils offer training for den chiefs at selected council gatherings. On occasion, den chiefs may also take part in troop leadership training.
NATIONAL LEADERSHIP SEMINAR
The Order of the Arrow National Leadership Seminar is a weekend conference focusing primarily on the skills and attributes of leadership. It is intended primarily to enhance the leadership skills of the Order of the Arrow’s key youth and adult members as they seek to improve their service to the Boy Scouts of America and the greater community.
Youth participants should be at least 15 years of age or a lodge officer. Prior completion of the Lodge Leadership Development Program is desirable. The seminar is an intensive experience in learning about the nature of leadership and practicing some of the skills that leaders use. While it is designed to be fun, the course is also mentally challenging. Participants should be developmentally, physically, and mentally prepared to engage in an exhausting, invigorating weekend.
At the end of the seminar, participants make a contract with themselves to apply the skills learned in the seminar on projects in their unit, lodge, council, and community.
The region organizes and schedules the seminar, promotes the event, and sends invitations to the council, lodge, and Arrowmen.
IN SUMMARY
Training Scouts to lead is one of the Scoutmaster’s most important, rewarding, and never-ending challenges. At roundtables you can share experiences with others who are involved in guiding young men into troop leadership positions. Just as leadership is a skill that youths learn by doing, you also will find that your own ability to help Scouts develop leadership skills will increase through experience.
Formal training is important and forms the basis of Scouting’s youth leadership training program. However, the continuing training opportunities that occur during actual troop activities are essential to fully developing each Scout’s leadership abilities.
Leadership training not only develops the youth, it strengthens the troop. Take the time to use the teaching moments that accompany meetings and outings. Help each Scout appreciate the experiences he has had and understand how he can make the next event even better for himself and for his fellow Scouts. The most important leadership training tool you have is the example you set. The values you demonstrate in your everyday dealings will be observed by your Scouts, and the way you live your life will speak much louder than all of the words you say. The Scoutmaster’s responsibility is awesome. With patience and fortitude, you will enjoy the rewards of seeing your Scouts grow in their ability to lead and to be a positive influence on others.
NOTES
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DISTANCE LEARNING MASTER’S PROGRAM IN ECUMENICAL STUDIES
UKRAINIAN CATHOLIC UNIVERSITY
DISTANCE LEARNING MASTER’S PROGRAM
Dear Prospective Student,
The DLPES is a cooperation between the committed and innovative staff of the Institute of Ecumenical Studies, an accomplished, multi-confessional and international faculty, and the dynamic spirit of the Ukrainian Catholic University. Being part of this exciting cooperation will be an academically productive and spiritually enlightening experience for students in both the Church and the world. I wholeheartedly give my blessing to the Distance Learning Program, its students, faculty, and new staff, and I look forward to seeing the fruits of this new, border-less, boundary-less ecumenical education.
His Excellency Borys Gudziak
Ph.D. Rector,
Ukrainian Catholic University
I am proud to present to you the first-ever distance learning Master’s program in Ecumenical Studies. This program is the fruit of the preparation and contemplation of several years, and we are now able to offer you a truly unique and worthwhile experience in distance learning.
The inspiration to create such a program in ecumenism came from the nature of the field itself: ecumenism is driven by a desire to gather the dispersed people of God. Distance learning gives us the opportunity to gather those deeply concerned by the disunity of the Body of Christ from around the world, thereby creating an online community who can address critical questions and explore possibilities for healing.
We created this program with the aim of building an international, inter-confessional, academic community, who could establish constructive inter-denominational dialogue. We do not promote confessionalism, nor do we attempt to reduce to the differences between Christian denominations or between Christians and non-Christians. The varying Christian approaches, or denominations, will receive faithful and unembarrassed representation from their adherents among both our faculty and our student body, helping to establish genuine dialogue.
You will enjoy and benefit from our carefully selected reading materials, our accomplished and ecumenically committed professors, the flexibility of the program, the ability to participate while at a distance, and the ecumenical community which we have created and which we continue to create.
We look forward to working with you.
Antoine Arjakovsky
Founder of the Institute of Ecumenical Studies
WHAT IS THE DISTANCE LEARNING PROGRAM?
The Distance Learning Master’s Degree Program in Ecumenical Studies (DLPES) at the Institute of Ecumenical Studies is the first and only distance program in Ecumenical Studies offered in the world. This innovative program offers students throughout the world the opportunity to study the depth and diversity of contemporary ecumenism under the guidance of a world-class teaching faculty. Our program is ideal for the independent, motivated student who wants the opportunity to study ecumenism through reading - and writing-intensive courses as well as to participate in an international, ecumenical network of students and scholars of ecumenism.
Our program offers foundational courses that include introductory courses to the Christian theological traditions as well as others concerning ecumenical theology, ecclesiology, and history. In addition to these foundational courses, electives are offered throughout the academic year and provide students with the opportunity to study particular aspects of historical or contemporary ecumenism according to their interest. In all, students must successfully complete fifteen courses within the program in order to be eligible to be awarded the Master’s degree of Ecumenical Studies. Upon successful completion of these fifteen required courses, degree-seeking students may devote one academic semester to completing a Master’s thesis under the supervision of a member of the DLPES faculty. In addition to their coursework, students of the program report on visits to churches of confessions other than their own as a way to incorporate course work into observational practice.
COURSES OFFERED
FALL SEMESTER
History of the Ecumenical Movement
Dr. Taras Kurylets (Ukraine)
Survey of the Catholic Tradition
Dr. Peter De Mey (Belgium)
Survey of the Protestant Tradition
Dr. Ted Campbell (USA)
Oriental Churches and Ecumenical Rapprochement
Fr. Dr. Ken Yossa (USA)
Liturgy and Sacraments
Fr. Dr. Thaddee Barnas (Belgium)
Ecumenical Hagiology
Deacon Didier Rance (France)
Bi-Lateral and Multi-Lateral Ecumenical Dialogues
Fr. Dr. Thomas Baima (USA) and Dr. Heleen Zorgdrager (Netherlands)
SPRING SEMESTER
Christian History - An Ecumenical Perspective
Dr. Antoine Arjakovsky (France)
Ecumenical Social Ethics
Dr. Konrad Raiser (Germany)
Opposition to Ecumenism
Fr. Dr. Michael Plekon (USA)
Ecumenical Biblical Hermeneutics
Halyna Teslyuk (Ukraine)
Methods in Ecumenical Dialogue
Laurent Cleenewerck (USA)
Ecumenical Theology
Pavlo Smytsnyuk (Ukraine)
Survey of the Eastern Christian Tradition
Dr. Elizabeth Theokritoff (USA)
Eastern Catholic Churches and Ecumenism
Fr. Dr. Ivan Dacko and Dr. Taras Kurylets (Ukraine)
WHAT DOES EACH COURSE CONSIST OF?
It is the priority of the DLPES to offer its students both flexibility and structure during their study experience within the program. The organization of DLPES courses strikes the balance between structure and flexibility as best as possible.
Each DLPES course consists of a course syllabus, bibliography, and thematic introductions provided by the course professor to each of the seven, two-week long sections of a course. At the end of each section, students will submit a short response paper that is read and constructively evaluated by their course professor. Students are also encouraged to share questions, reflections, and analyses with their peers and professors through the online course forum. At the end of each semester, students complete their final papers for all of their courses. Each course therefore includes fourteen consecutive weeks of coursework and five weeks of independent work on the final paper.
DLMPEs also incorporates video conferences into the courses so that students and professors can have closer interactions.
Our Faculty
The Distance Learning Program in Ecumenical Studies is proud to offer its students the opportunity to study under the guidance of some of the most respected experts in ecumenism today from around the world and across Christian traditions. Among our professors:
**Fr. Dr. Michael Plekon**
Father Michael Plekon is a professor in both the department of Sociology/Anthropology and the Program of Religion & Culture at Baruch College at the City University of New York (CUNY). He has written extensively on Kierkegaard’s theology and social criticism, and also studied the thinkers of the Russian emigration in Paris and their efforts to bring the church into conversation with the modern world. Additionally, he has translated and edited many of their writings. He is a priest of the Orthodox Church in America.
**Dr. Konrad Raiser**
Reverend Dr. Konrad Raiser studied Protestant theology in Tubingen, Heidelberg and Zurich from 1957-63. In 1965-66, he studied sociology and social psychology at Harvard University in Cambridge, Massachusetts (USA). From 1967-69, he was an assistant in Practical Theology at the Protestant Theological Department in Tubingen (Germany). In 1969, he joined the staff of the World Council of Churches in Geneva (Switzerland), first in the Commission on Faith and Order and later as Deputy General Secretary and Staff Moderator of the Unit on Justice and Service. From 1983 to 1993, he was a Professor of Systematic Theology/Ecumenics at the Protestant Theological Department of the University of the Ruhr in Bochum (Germany). He assumed leadership of the WCC as General Secretary in 1993 and retired from this office in 2003.
**Fr. Dr. Thomas A. Baima**
The Very Rev. Thomas A. Baima is the Vicar for Ecumenical and Interreligious Affairs of the Archdiocese of Chicago and Vice Rector for Academic Affairs of the University of Saint Mary of the Lake / Mundelein Seminary, where he is also a full professor of systematic theology. His research interests are in fundamental theology, interreligious dialogue, organizational studies as they apply to North American religion, theology of religion and contemporary Lutheran ecumenism. Father Baima was President of the Illinois Conference of Churches and the Council of Religious Leaders of Metropolitan Chicago. He was one of the organizers the 1993 Parliament of the World’s Religions. He currently serves the US Bishops’ Committee on Ecumenical and Interreligious Affairs as a member of the National Catholic-Muslim Consultation. Father Baima was appointed by the Holy See to the Assyrian-Catholic Consultation.
**Fr. Dr. Thaddee Barnas**
Father Thaddee Barnas is a monk of the Benedictine Monastery of Chevetogne in Belgium. He came to Belgium in 1964 to join the Chevetogne Monastery, known for its ecumenical work and its affinity for the Eastern Churches. Father Barnas teaches ecumenics at the Studium Notre-Dame in Namur, Belgium. He is also a chronicler and the editorial secretary of the journal Irenikon. He is active in ecumenical commissions on local, national, and European levels.
Dr. Heleen Zorgdrager
Reverend Dr. Heleen Zorgdrager obtained her Ph.D. (cum laude) in 2003 at the Theological University of Kampen. She works in the Mission Department (Kerk in Actie) of the Protestant Church in the Netherlands as Program Officer for Europe, and is also a Delegated Lecturer at Ukrainian Catholic University (Lviv). Dr. Zorgdrager is an ordained pastor in the Protestant Church in the Netherlands.
Dr. Zorgdrager’s areas of specialization include Protestant systematic theology, ecumenical theology, theology of mission, and pastoral theology. She has published works on Friedrich Schleiermacher, Karl Barth, women’s studies, and ecumenical issues.
Dr. Peter De Mey
Dr. Peter De Mey’s teaching and research focuses on Roman Catholic ecclesiology and ecumenism. He is the director of the Faculty’s Centre for Ecumenical Research and am currently the President of the European association of ecumenical research, and member of the steering group of the of the American Academy of Religion. He is a member of the National Commission for Ecumenism, an institution sponsored by the Catholic Church in Belgium. He is also involved in the faculty choir and regularly plays in a string quartet with colleagues and students.
Dr. Elizabeth Theokritoff
Elizabeth Theokritoff completed a doctoral thesis in liturgical theology at Oxford under the supervision of Bishop Kallistos Ware; she subsequently served for 7 years as Secretary of the Anglican-Orthodox Fellowship of St Alban and St Sergius in London, during which time when was seconded to the Ecumenical Institute of the WCC (Bossey) as Orthodox tutor for the 1988-89 Graduate School. She is an independent scholar, freelance translator of theological works from modern Greek and occasional lecturer (including at the Institute for Orthodox Christian Studies in Cambridge).
Deacon Didier Rance
Since 1985, he has been Deacon in both the Latin and the Byzantine rites. He studied History at the Sorbonne University (Paris), and holds a Master’s degree in Medieval History. His main area of research is Byzantine History. Deacon Rance has spent ten years in the Middle East and Africa doing Humanitarian work. He worked with ACN (Aid to the Church in Need), was the Director of ACN-France (1980-2005), and was a member of the New Martyrs Commission in Rome (1995-2000). Deacon Rance is the author of about twenty books, mainly on martyrs and persecuted Churches. His current fields of research are martyrdom, forgiveness, St. Ephrem and the Syrian Churches, and ecumenism.
Dr. Ted Campbell
Dr. Ted A. Campbell as associate professor of Church History with a concentration in Methodist history. Campbell currently serves as visiting professor of the History of Christianity at Claremont School of Theology in Claremont, CA, He previously served as president of Garrett-Evangelical Theological Seminary in Evanston, IL. He has taught at the Methodist Theological School in Ohio, Duke Divinity School, and was professor of the History of Christianity at Wesley Theological Seminary in Washington, D.C. Also, Campbell has served as pastor of United Methodist congregations
HOW LONG DOES IT TAKE?
The Master’s program is designed to be completed in two years. However, students wishing to study on a part-time basis may take up to six years to finish their degree.
WHAT IF I JUST WANT TO TAKE ONE COURSE?
Students can register for individual classes of the program, without seeking the Master’s degree.
HOW WILL THIS PROGRAM BE USEFUL FOR MY FUTURE?
This program is intended primarily as an introductory or supplementary education for individuals working in other academic or non-academic disciplines, particularly in ministry. It can be particularly important for those interested in working in an ecumenical field, or continuing on to a Ph.D. program in that field. Nevertheless, we do not seek to educate professionals only. The DLPES is strongly recommended for all those who have an interest in matters of Christian unity. The flexible, distance-learning format of this program enables anyone, regardless of primary occupation, to learn and participate in this project.
WHERE CAN I FIND OUT MORE, AND HOW DO I APPLY?
Please visit our website for more information and for the application form. We look forward to seeing you at...
www.iesdistance.org.ua
Penny Cavill
I am very much involved in ecumenical work and activities here in South Wales partly through the Catholic charismatic renewal and also through my work as a Street Pastor where I work with Pastors from all the other churches in the town. We are fortunate here to have very good relations and unity between the different churches. I felt that it was particularly important for me to not only be able to worship with other denominations, but also to confidently engage in ecumenical discussion to help further the journey towards a greater visible unity.
This program has enabled me to study my specific area of interest whilst because it is on-line, it has a flexibility that allows me to carry on with my work other activities. I find it such a great opportunity and privilege to be able to study and engage with teachers and students from all over the world from such diverse backgrounds. I thoroughly recommend the course to anyone who is passionate about Christian unity.
Timothy Flanders
I am very pleased with the education and studies of the distance program. It is very convenient and easy to work on studies from home online, and the readings are very good and I learn a lot. I’ve been very passionate about Ecumenism for about six years now because I feel great sorrow in my heart over brothers who hate brothers, and how alienating that is to the rest of the world who does not know Christ. I want to work for Christian reconciliation because I love Christ and the Church, and we have been given the «ministry of reconciliation.»
I do feel very benefited by the program and have learned a lot so far, and I plan to complete the Master’s program and write a thesis.
Ecumenism is the constant search and finding of what unites Christians and the constant rethinking of what sets them apart. This attitude of fervent prayer, humility, studying each other and cooperating in concordance is the vector, backbone, and essence of the contemporary ecumenical movement.
This means the search in one's spirit for truth - and mainly love - for more roads, leading to reconciliation and mutual forgiveness, for the explanation of mistakes which have accumulated throughout history. Ecumenism expects and calls forth directly methanoya - internal spiritual conversion and penance. It becomes fruitful where there is humility and obedience.
Protopresbyter Ivan Dacko,
Dr. Theol., President of the IES
UKRAINIAN CATHOLIC UNIVERSITY
INSTITUTE OF ECUMENICAL STUDIES
vul. Ilariona Sventsitskoho, 17
Lviv, 79011, Ukraine
tel.: (+38 032) 240 99 40
www.iesdistance.org.ua
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Nematode response to nitrogen and phosphorus in grasslands, assessed by microscopy and molecular methods
Xiaoyun Chen
National University of Ireland, Galway
Ph.D 2012
Nematode response to nitrogen and phosphorus in grasslands, assessed by microscopy and molecular methods
A thesis presented for the degree of
Doctor of Philosophy (Microbiology)
On Research carried out in
Teagasc, Environment Research Centre, Johnstown Castle, Wexford, Ireland
Soil Ecology, The James Hutton Institute, Invergowrie, Dundee, UK
And
The department of Microbiology, School of Natural Science,
National University of Ireland, Galway, Ireland
By
Xiaoyun Chen, MSc
This work was supervised by
Prof. Bryan Griffiths, Teagasc, Ireland
Dr. Tim Daniell and Dr. Roy Neilson, The James Hutton Institute, UK
Prof. Vincent O’Flaherty, NUIG, Ireland
June 2012
# Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Table of Contents | i |
| List of Tables | v |
| List of Figures | vii |
| Abstract | xi |
| Acknowledgements | xii |
| Declaration | xv |
| Chapter 1. General Introduction | 1 |
| 1.1. The role of grasslands in terrestrial ecosystems | 1 |
| 1.2. Grassland management in Ireland | 1 |
| 1.3. Grassland biodiversity | 3 |
| 1.4. Nematodes as an indicator in grasslands | 6 |
| 1.5. Aims | 7 |
| Chapter 2. Literature Review-A comparison of molecular methods for monitoring soil nematodes and their use as biological indicators | 8 |
| 2.1. Introduction | 8 |
| 2.1.1. Nematodes as biological indicators for soils | 8 |
| 2.1.2. Limitations to routine monitoring | 9 |
| 2.1.3. Molecular methods for fauna identification | 9 |
| 2.2. Molecular methods for nematode community analysis | 10 |
| 2.2.1. DNA Barcoding or sequencing | 10 |
| 2.2.2. PCR-DGGE | 12 |
| 2.2.3. PCR-TRFLP | 13 |
| 2.2.4. Real-time PCR | 14 |
| 2.3. Comparison of molecular vs. morphological technique | 15 |
| 2.4. The role of nematodes in monitoring schemes for soil quality and biodiversity | 17 |
| Chapter 3. Long-term effects of P fertiliser on nematode community structure and soil microbial community structure | 19 |
| 3.1. Introduction | 19 |
| 3.2. Material and methods | 21 |
| 3.2.1. Site description and experimental design | 21 |
3.2.2. Soil nutrient analysis 22
22.214.171.124. Soil samples collection and preparation 22
126.96.36.199. Soil analysis 22
3.2.3. Soil sampling and nematode extraction 24
3.2.4. Nematode DNA extraction and amplification 25
3.2.5. Directed T-RFLP 25
3.2.6. Soil microbial properties 26
3.2.7. Statistical analysis 28
3.3. Results 29
3.3.1. Soil nutrient characteristics 29
3.3.2. Impact of P fertilizer on nematodes community structure 32
188.8.131.52. Nematode morphological data 32
184.108.40.206. Total nematode abundance and nematode community structure from morphology 32
220.127.116.11. Molecular analysis (TRFLP) of nematode communities 35
18.104.22.168. Comparison of nematode community composition determined by molecular and morphological methods 37
3.3.3. Impact of P fertilizer on soil microbial biomass C, N and P 39
3.3.4. Impact of P fertilizer on bacterial biomass 42
3.3.5. Impact of P fertilizer on PLFA profiles 43
3.4. Discussion 45
3.4.1. Comparison among soil nutrients in different P treatments 45
3.4.2. The effects of P fertilizer on nematode community structure 47
3.4.3. Comparison of molecular and morphological methods on nematode composition analysis 48
3.4.4. The effects of P fertilizer on soil microbial biomass and microbial C, N and P ratios 49
3.4.5. The effects of P fertilizer on soil microbial community structure 50
3.4.6. Conclusion 51
Chapter 4. Responses of grassland soil nematodes to applications of cattle slurry and N fertilizer 53
4.1. Introduction 53
4.2. Materials and methods 56
4.2.1. Site and experimental setup 56
4.2.2. Slurry analysis 57
4.2.3. Herbage yields and N uptake analysis 57
4.2.4. Soil sampling and nematode extraction 59
4.2.5. Nematode DNA extraction, DAN dilution, PCR amplification and digestion 59
4.2.6. Molecular identification of nematode taxa 60
4.2.7. Statistical analysis 60
4.3. Results 60
4.3.1. Cattle slurry and N fertilizer application 60
4.3.2. Effects of N fertilizer and cattle slurry on herbage yields and herbage N uptake 60
4.3.3. Effects of N fertilizer and cattle slurry on nematode abundance 63
4.3.4. Comparison of 1/10 and 1/100 nematode DNA dilution on nematode community analysis 64
4.3.5. Effects of N fertilizer and cattle slurry on nematode community Structure 64
4.4. Discussion and conclusion 68
4.4.1. Effects of N fertilizer and cattle slurry on nematode abundance and nematode community structure 68
4.4.2. T-RFLP method on nematode community analysis 70
4.4.3. Effects of N fertilizer and cattle slurry on herbage yields and herbage N uptake 71
4.4.4. Conclusion 71
Chapter 5. Are all nematodes eutelic? -The correlation between rDNA copy number and body size in four species of nematode 73
5.1. Introduction 73
5.2. Materials and methods 75
5.2.1. Nematode culture and isolation 75
5.2.2. Optimisation of single nematode DNA extraction 75
22.214.171.124. NaOH method 76
126.96.36.199. NaOH method + purification 76
188.8.131.52. Bead-beating 76
184.108.40.206. MOBIO kit 76
220.127.116.11. Lysis buffer+ Proteinase-K 76
5.2.3. Testing different nematode primers for PCR amplification 77
5.2.4. Plasmid DNA preparation, cloning and sequencing from the four
| Section | Page |
|------------------------------------------------------------------------|------|
| 5.2.5. Preparation of reference spike | 78 |
| 5.2.6. Morphological examination, DNA extraction and inhibition test of single nematodes | 79 |
| 5.2.7. Quantitative real-time PCR assay | 79 |
| 18.104.22.168. SSU rDNA copy number from individual nematodes | 80 |
| 22.214.171.124. Standard curve for qPCR quantification | 80 |
| 5.2.8. Data analysis | 81 |
| 5.3. Results | 81 |
| 5.3.1. Nematode species | 81 |
| 5.3.2. Nematode DNA extraction | 81 |
| 5.3.3. Primer testing for PCR amplification | 82 |
| 5.3.4. Standard curve from quantitative real-time PCR | 84 |
| 5.3.5. Inhibition test for quantitative real-time PCR | 85 |
| 5.3.6. Variance in nuclear 18S genome copy number with different nematode species | 86 |
| 5.4. Discussion and conclusion | 89 |
| 5.4.1. Different methods on single nematode DNA extraction | 89 |
| 5.4.2. qPCR for single nematode DNA assessment | 89 |
| 5.4.3. Inhibition in quantitative real-time PCR | 90 |
| 5.4.4. The relationships between biovolume and copy number from 4 nematode species | 90 |
| 5.4.5. Utilization of the relationships between biovolume and copy number from four nematode species to the nematode community analysis | 91 |
| 5.4.6. Conclusion | 92 |
| Chapter 6. General conclusion and future work | 93 |
| 6.1. Conclusions | 93 |
| 6.2. Wider implications of the results | 94 |
| 6.3. Future work | 96 |
| 6.2.1. Developing nematode community analysis as a soil indicator | 96 |
| 6.2.2. Developing molecular methods on nematode community analysis | 97 |
| Reference | 98 |
| Publications | 121 |
List of Tables
Table 3.1. Historical and current P applications and stocking levels for six treatments of the Cowlands trial. Each P treatment has 6 replicate plots. 23
Table 3.2. T-RFLP peaks were assigned to nematode taxa. Source indicates whether the peak was assigned by sequencing or in silico digest of database sequences. 29
Table 3.3. Nematode species identified from the first sampling across all plots 33
Table 3.4. Two-way ANOVA results of P treatments (T) and sampling time (S) on nematode abundance for the three year’s samples. 33
Table 3.5. Two-way ANOVA results of P treatments (T, including P0, P15 and P30) and sampling time (S) on percent nematode functional groups assessed by morphology for the three year’s samples. 40
Table 3.6. Effects of P application on nematode trophic groups from morphological data. 35
Table 3.7. Two-way ANOVA results of P treatments (T) and sampling time (S) on percent nematode functional groups assessed by T-RFLP for the three year’s samples. 40
Table 3.8. Two-way ANOVA results of P treatments (T) and sampling time (S) on soil microbial biomass C, N, P and microbial C: N, C: P and N: P ratio for the three year’s samples. 40
Table 4.1. Soil chemical and physical properties in the study site. 57
Table 4.2. Dates for N fertilizer and slurry application, grass cut and soil sampling. 59
Table 4.3. The information from slurry analysis applied into the plots. DM means slurry dry matter, and TN means slurry total nitrogen content. 60
Table 4.4. Two-way ANOVA results of N fertilizer and slurry treatments (T) and sampling time (S) on herbage DM yield and total N uptake. 62
Table 4.5. Two-way ANOVA results of N fertilizer and slurry treatments (T) and sampling time (S) on nematode abundance for all samples. 63
Table 4.6. Effect of N fertilizer and cattle slurry application on nematode abundance. 64
Table 4.7. Comparison of T-test on nematode DNA dilution 1: 10 and 1: 100 on nematode functional groups assessed by T-RFLP. Nematode functional groups included (a) bacterial
feeders (Ba); (b) fungal feeders (Fu); (c) plant-feeding (Pl); (d) omnivores (Om) and (e) predators (Pr).
**Table 4.8.** Two-way ANOVA results of N fertilizer and slurry treatments (T) and sampling time (S) on nematode functional groups assessed by T-RFLP.
**Table 5.1.** Primer pairs tested for nematode DNA amplification.
**Table 5.2.** Different methods to extract single nematode DNA, and then checked by a combination of PCR and agarose gel electrophoresis. ‘+’ and ‘−’ represented a positive or negative signal on the agarose gel, ‘+ + +’ represented a stronger signal than ‘+’ (n = 4).
**Table 5.3.** Results from primer pairs used in PCR and qPCR for single nematode DNA. PCR determined by agarose gel electrophoresis; qPCR determined by Ct values from LightCycler 480; and plasmid determined by cp values of nematode plasmid DNA from LightCycler 480 ‘+’ represented positive, and ‘−’ represented negative.
**Table 5.4.** Results from relationships between nematode copy number and biovolume: copy number = a × biovolume + b.
**Table 5.5.** The copy number per individual calculated from the correlation of 4 species, assuming that the nematode biovolumes are 0.00063, 0.00100, 0.00158, 0.00398, and 0.01 mm³, which were within the biovolumes of every species.
**Table 5.6.** Utilization of the relationships between biovolume and copy number to calculate the mixed nematodes community to compare the compositions of abundance, biovolume and copy number.
List of Figures
Figure 3.1. Map of the Cowlands trial experimental field (Wexford, Ireland), showing layout of six replicate plots for each of six P treatments. Treatments P0, P15 and P30 were originally high-stocking rate plots and have had constant P application and stocking rates since 1968. Treatments P0-30, P15-5 and P30-0 were originally low-stocking rate plots and P applications were changed in 1999 and stocking was increased to the high-stock level.
Figure 3.2. Mean precipitation, air and soil temperature per month from April 2009 to April 2011. Climatic data were provided by the monitoring station at Johnstown Castle, courtesy of Met Éireann (Glasnevin, Dublin, Ireland).
Figure 3.3. Background soil nutrient composition of the Cowlands Trial in 2011. Values were means of samples from each of six replicate plots of each P treatment. The soil analysis included total P (A), Morgan’s P (B), Morgan’s K (C), Lime (D), Morgan’s Mg (E) and pH extracted from water (F). The different letter was significant different ($P < 0.05$).
Figure 3.4. Relationship between (A) soil total P with total P application during 1968-2011; (B) soil available P measured by soil Morgan P with total P application during 1968-2011; and (C) pH with LR value. Each data points were the mean of six replicates. Error bars represented standard error, $n = 6$ and all $P < 0.0001$.
Figure 3.5. Principal Component analysis of the relationship between different treatments ■ and soil nutrients ▲ ($n = 6$). The factor1 and factor2 explained 79.89% of the variation, bars represented standard error.
Figure 3.6 $K_2SO_4$ extracted C (A), N (B) and NaHCO$_3$ extracted Olsen P (C) in different P treatments. Vertical bars were standard errors ($n = 6$); and a, b, c and d came from LSD test, and different letter meant significant difference for the samples within the same year ($P < 0.05$).
Figure 3.7. Mean abundance (+ SE, $n = 6$) of nematodes in Cowlands grassland in the three sampling time. The letters a, b, c and d came from LSD test, and different letter meant significant difference for the samples within the same year ($P < 0.05$).
Figure 3.8. Principal component analysis of the relationship between different treatments and...
nematode community and composition. ▲ represented nematode species identified by morphology, ■ represented six P treatments. Bars represented standard error, n = 6.
**Figure 3.9.** Mean percent of nematode functional groups for the three year’s samples using T-RFLP method. The letters a, b, c and d came from LSD test, and different letter meant significant difference for the samples within the same year (P < 0.05).
**Figure 3.10.** Principal Component analysis of the relationship between different treatments and peaks, including (A) all years’ data, (B) 2009, (C) 2010, and (D) 2011. ▲ represented peaks from T-RFLP, ■ represented six P treatments (n = 6).
**Figure 3.11.** Percent of nematode taxa for the three sampling times using morphological and T-RFLP method for different nematode families. Bars represented standard error, n = 6.
**Figure 3.12.** Comparing morphological and T-RFLP method on the ratio between fungal to bacterial feeder for the three sampling times using for different nematode families. The letters a, b, c and d came from LSD test, and different letter meant significant difference for the samples within the same method (P < 0.05)
**Figure 3.13.** The effects of P fertilizer on microbial biomass C (A), N (B) and P (C). Means (+SE) based on n = 6, and the letters a, b, c and d came from LSD test, and the different letter meant significant difference for the samples within the same year (P < 0.05).
**Figure 3.14.** The effects of P fertilizer on microbial C: N ratio (A), C: P (B) and N: P (C). Means (+SE) based on n = 6, and the letters a, b, c and d came from LSD test, and the different letter meant significant difference for the samples within the same year (P < 0.05).
**Figure 3.15.** The effects of P fertilizer on soil bacterial biomass assessed by quantitative real-time PCR. The letters a, b, c and d came from LSD test, and the different letter meant significant difference for the samples within the same year (P < 0.05). Bars represented standard error, n = 6.
**Figure 3.16.** The effects of P fertilizer on PLFAs. (A) Total PFLAs from the soil in 2010 (■) and 2011(■); (B) Total bacterial biomass from PLFAs; (C) Total fungal biomass from PLFAs; (D) the ratio of fungal to bacterial biomass. The letters a, b, c and d came from LSD test, and the different letter meant significant difference for the samples within the same year (P < 0.05). Bars represented standard error, n = 6.
**Figure 3.17.** PCA plot of PLFA profiles from the sampling in 2010 (A) and 2011 (B) in
relation to different P application treatments. ▲ represented PLFA profiles, ■ represented treatment. Bars represented standard error, n = 6.
**Figure 3.18.** PCA plot of plant vegetation cover under different P treatment. (The data came from King-Salter’s PhD thesis, 2009).
**Figure 4.1.** The detailed information on the N fertilizer and cattle slurry application plots in Johnstown Castle, Wexford sampled in this experiment. Treatments are listed as described in Section 4.2.1. Blank plots contain treatments not sampled for nematodes.
**Figure 4.2.** N fertilizer and slurry manure application on (a) herbage production, (b) N content, and (c) N uptake from 3 herbage harvests; values are means of six field replicates; The different letter was significant different ($P < 0.05$) in the same sampling time. Bars represented standard error.
**Figure 4.3.** N fertilizer and slurry manure application on (a) total herbage yield and (b) total N uptake during the whole sampling time (from Feb-2010 until Mar-2011); values were means of six field replicates; The different letter was significant different ($P < 0.05$). Bars represented standard error.
**Figure 4.4.** N fertilizer and slurry application effects on herbage nutrient composition from the grass samples in June-2010 (cut 1), (A) total P, (B) total K, (C) total Ca, (D) total Mg, and (D) total Mn. Values were means of six field replicates; The different letter was significant different ($P < 0.05$). Bars represented standard error.
**Figure 4.5.** Comparison of nematode DNA 1: 10 and 1: 100 dilutions on nematode trophic groups analysis using T-RFLP. Nematode functional groups included (a) bacterial feeders (Ba); (b) fungal feeders (Fu); (c) plant-feeder (Pl); (d) omnivores (Om) and (e) predators (Pr).
**Figure 4.6.** Principal component analysis of the relationship between different treatments ■ and nematode community and composition (TRFLP – peaks, see Table 3.2) ▲ treatments. N = 6, bars represented standard error.
**Figure 4.7.** Mean percent of nematode functional groups for the every time’s samples using T-RFLP method. The letters a, b, c and d came from LSD test, and the different letter meant significantly difference for the samples within the same sampling time ($P < 0.05$).
**Figure 5.1.** Neighbour joining tree showing sequence groups from the four individuals of A (C.elegans), B (Panagrolaimus detritophagus), C (Anatonchus tridentatus) and D
(Aporcelaimellus obtusicaudatus) clustered with database sequences. Indicating phylogenetic relationships between the 4 species of free-living nematodes based on SSU and 18S ribosomal DNA sequences (sample C4 was lost). The sequences of other nematodes were acquired from gene Bank (NCBI/ BLAST).
**Figure 5.2.** Standard curve establishment for quantification of the 4 nematode species. Plasmid DNA, ranging from $10^9$ to $10^1$ (copies $\mu l^{-1}$), was used as the template for real-time qPCR analysis. Threshold cycle versus log concentration for replicates of each concentration determined the linear dynamic range of plasmid DNA for 4 nematode species. Bars (which were negligible) represented standard errors.
**Figure 5.3.** Quantification of standard DNA (spike) added to extracts of individual nematodes *C.elegans*, *Panagrolaimus*, *Anatonchus*, and *Aporcelaimellus*. Log spike versus log biovolume determined the linear dynamic range of relationship between the biovolume and spike of 4 nematode species. Regression band meant confidence level > 95%. ‘— • —’ meant the concentration of standard spike tested by real-time PCR ($1.98 \times 10^6$ copy numbers, and Log = 6.29).
**Figure 5.4.** Correlation between log biovolume and log gene copy number estimated by relative real-time PCR for 4 nematode species. A, B, C and D indicated the 4 species, *C.elegans*, *Panagrolaimus*, *Anatonchus* and *Aporcelaimellus*, respectively. Regression band meant confidence level > 95%. The blue, coloured circles and the dotted line ‘…………’ represented raw qPCR data, while the red symbols and solid line ‘———’ represented data whose copy number had been modified to account for inhibition.
**Figure 5.5.** Correlation between log biovolume and log gene copy number estimated by relative real-time PCR for 4 nematode species. A, B, C and D indicated the 4 species, *C.elegans*, *Panagrolaimus*, *Anatonchus* and *Aporcelaimellus*, respectively. BCD was the analysis of covariance of *Panagrolaimus* (B), *Anatonchus* (C) and *Aporcelaimellus* (D) together.
Abstract
Although nematode community analysis is considered to be a useful environmental indicator, a major impediment to its wider adoption is the need for detailed morphological identification. Molecular techniques offer an alternative to this time-consuming traditional way. With both directed molecular T-RFLP approach and traditional microscopy for nematode analysis, this study characterized the responses of belowground nematode diversity and other associated soil processes to P fertilization in a long-term grassland trial and to inorganic N and cattle slurry application in short-term grassland plot.
P fertilization (> 40 years) increased the proportion of bacterial-feeding nematodes, while decreased that of fungal-feeding nematodes, indicating a shift from fungal to bacterial pathways in more intensively managed systems. In addition, the microbial PLFA profiles confirmed fungal biomass and fungal-bacterial ratio decreased, but soil microbial biomass C, N and P increased, with P fertilization.
Over the short-term period trial (< 2 years), nematode abundance increased significantly with slurry application, but not with inorganic N application. Inorganic N significantly increased bacterial-feeding nematodes, and decreased omnivorous ones, while slurry had no effects. Compared with slurry, higher inorganic N increased the herbage production and enhanced N uptake, indicating a faster N flux following inorganic N fertilization.
The traditional and molecular techniques yielded comparable results on profiling nematode community. The rapid, easy and replicable T-RFLP approach was suitable for the routine monitoring of the soil nematode community, which helped to advance the characterization of soil biodiversity and monitoring the soil quality. Further, real-time PCR assessment was used to determine the correlation between SSU rDNA copy number and body size of four free-living nematode species. No correlation was found for *Caenorhabditis elegans*, showing it is eutelic. The three other species (*Panagrolaimus detritophagus*, *Anatonchus tridentatus* and *Aporcelaimellus obtusicaudatus*, however, are non-eutelic, showing that rDNA copy number increased significantly with body size.
Acknowledgements
I would like to express my great thanks to the following people, who have helped me in so many ways during my Ph.D study. Without their guidance, help and patience, I would have never been able to accomplish this thesis.
Thanks for my chief supervisor Professor Bryan Griffiths allowing me to carry out this project, and for so much help and an extreme amount of patience on my Ph.D study. His rich knowledge and experience, his assistance with laboratory analysis and fieldwork, and his conscientious approach and commitment ensure that I met the deadlines.
I thank my other supervisors: Dr. Tim Daniell gave me so much knowledge on molecular knowledge, so much patience on my endless emails, and opened my eyes to much deeper insight in nematode molecular biology research; Dr. Roy Neilson also gave me so much enthusiasm and support during my Ph.D study; Professor Vincent O’Flaherty organized the meetings, and provided the lab space and equipments for me.
My gratitude to Dr. Fiona Brennan for sharing her molecular technique on nematode analysis, invaluable advice throughout assistance with lab work, information, discussions and the wealth of knowledge she so generously gave to me.
Thanks to all my roommates I met in Lodge Garden, Johnstown Castle, Fiona Brennan, Sinead O’Keeffe, Rochelle Fritch, Anne Baily, Sarah McManus, Laurent Sax and Sara Vero. They gave me lots of laughing, cooking and undescribable memories in Ireland.
I am grateful to all in Teagasc Johnstown Castle for their compassion, friendship and help. Thanks Alan Cuddihy for helping the herbage cut; Teresa Cowman and Carmel O’Connor for herbage and soil nutrient analysis; Eddie McDonald for posters printing; Denis Brennan for the C, N analysis; Cathal Somers for the G.C. running; Rioch Fox for the student house keeping
well. Thanks security staff Joe Caesar, Walter Kelly, Brendan Connick, Patrick Hayes, Donal Doyle and John Sinnott who talked to me every weekend. Mairead Esmonde gave me lots of help for the documents of my visa.
I would also like to thank all the past and present students in Johnstown, Orlaith O’Connor, Dominika Krol, Fred Bourdin, Mohammad Jahangir, Niamh Rogers, Emma Moynihan, Diana Selbie, Enda Cahalan, for their help in the lab, advice and friendship.
I am indebted to all staffs in the Microbial Ecology Lab (NUIG) for all the help during my staying there. I would particularly like to thank Dr. Niamh Bhreathnach for the help and advice in the lab, for her always booking the instruments for me. Dr. Anne-Marie Enright, taught me how to clone and sequence. I am also very grateful to Professor Ann Burnell from NUI Maynooth gave me the cultured nematodes.
I also wish to thank Professor Feng Hu and Professor Huixin Li, who brought me into nematology world and encouraged me to start my Ph.D study.
Big thanks to my family for their full support during the whole Ph.D period. My husband, Manqiang Liu, as my strong back support, gave me all his love, encouragement and assistance during my research work. My daughter, Yuanyuan (Tangrun Liu), for her smiling that always softens me and makes me re-energetic during occasionally stressful times. I am also extremely grateful to my mother-in-law, Yuzhi Sun, whose endless encouragement and selfless love for looking after my family.
Declaration
I declare that I am the author of this thesis; that the work of which this is a record has been done by myself, except where specifically stated in the text and acknowledgements, and all references cited have been consulted. This work has not been previously accepted for a higher degree.
Xiaoyun Chen
1.1. The role of grasslands in terrestrial ecosystems
Grasslands, including steppes, savannas and prairies, are important terrestrial ecosystems covering about a quarter of the Earth's land surface (Bardgett and Cook, 1998). Also grasslands account for about 34% of the total global terrestrial organic carbon storage and store 7.3–11.4% of soil organic C (Jobbagy and Jackson, 2000). Grasslands generate soil systems that are different from those of forests and other vegetation types, even from the same parent material. A key feature of grasslands is a high turnover of shoot and root biomass leading to a large pool of labile organic matter at the soil surface (Bardgett and Cook, 1998). While the potential effects of global N enrichment on these ecosystems are currently best understood within an aboveground context, as an increase in production and a decrease in plant species diversity (Fynn and O'Connor, 2005; Suding et al., 2005), it is recognized that in most terrestrial ecosystems the belowground biota supports a much greater diversity of organisms than does the aboveground biota (Wardle, 2006). Because of more intensive management, such as fertilization and overgrazing, grassland systems both above-ground and below-ground have experienced rapid shifts in composition, functioning, and services driven primarily by human disturbance (White et al., 2000).
Grasslands are also a potential source of pollution, either through leaching (NO$_3^-$), gaseous emissions (N$_2$O) or surface runoff (P). For example, Hyde et al. (2006) assessed longer term studies to estimate the annual emission of N$_2$O from Irish fertilized and grazed grassland which represented between 3.17% and 7.22% of applied N. These emissions are the products of biological activity in the soil. Intensive grassland management aims to achieve a uniform sward through slurry and fertilizer applications to unify soil nutrient content, while grazing management aims to unify spatial and temporal exploitation of the field. The effects and consequences of these changes in above-ground heterogeneity on the soil biodiversity responsible for important ecosystem services are largely unknown.
1.2. Grassland management in Ireland
Grasslands are the main agricultural land use in Ireland, with permanent grassland the largest agricultural land use option, accounting for 80% of land area (Rath and Peel, 2005). But even within these systems there is a range of management options from unstocked, low input and organic systems through to intensively stocked pastures with applied slurry and
fertiliser. New economic drivers, such as abolition of milk quota and rapid increase in prices of milk and cereals, will encourage localised intensification of agricultural land use with potential effects on soil biodiversity and function.
Projections indicate that the world population may increase from about 6 to 8.2–9.3 billion inhabitants in 2030 (Nakićenović, 2000). Food production will have to increase to meet the increasing demand for the growing population, while with increasing prosperity and falling production costs dietary patterns may shift towards a higher share of meat and milk. The decrease in costs of animal products is related to the increasing share of production in efficient mixed and industrial production systems and decreasing share of traditional pastoral systems (Delgado, 1999). Grassland management affects the production and utilization of grass. Grassland overuse and land conversion into grasslands are driven by the demand for forage production since significant portions of world milk (27%) and beef (23%) production occur on grasslands managed solely for those purposes (Seré and Steinfeld, 1996). Despite the rapid increase of ruminant production by 40% in the 1970–1995 period, the global area of grassland has increased by only 4% (FAO, 2001). Under this situation, the intensification of grassland, such as intensive fertilized, over-grazing and mowing, has been established for maximum production.
In many developed countries, much of commercial farming operates under the influence of increasingly multifunctional expectations by consumers. Such farming must thus be sustainable within a range of economic, social, and environmental criteria. For example, the European Union (EU) Common Agricultural Policy (CAP) reform agreement provides direct payments [commonly referred to as single farm payments (SFP)] to farmers who comply with a range of requirements relating to the environment, animal welfare, and food safety. This involves major changes and uncertainty in business conditions and operating practices for many farmers (Schnepf and Hanrahan, 2011).
In most agricultural systems, N, P and other nutrients are essential elements as mineral fertilizers for planting and animal growth. Use of nitrogen fertilizer is considered essential as a management tool for systems involving grazing livestock for intensive dairy production. A recent UK survey (Jarvis, 1999) reported that mean yearly N application rates on dairy farm swards amounted to 281 kg N ha\(^{-1}\) (varying from 100-689 kg N ha\(^{-1}\)). Such high N fertilization rates allow for large grassland and forage production, sustaining high animal densities (Jarvis et al., 1989). In Ireland, mean stocking rate was 202 kg organic-N ha\(^{-1}\) deposited by grazing livestock, while overall fertilizer-N use on the farms decreased from 266 to 223 kg N ha yr\(^{-1}\) during the study, with the rate of fertilizer-N in the first
application each year decreasing from 49 to 33 kg N ha\(^{-1}\), while the rate of fertilizer-N applied for first cut silage production also fell from 106 to 96 kg N ha\(^{-1}\) (Humphreys et al., 2008). It is important that farmers manage their production systems to minimize N losses between application to the soil and uptake by the plants (Humphreys et al., 2009). Farmers must also remain cognizant of P losses since small losses (of the order of 1 kg P ha\(^{-1}\) year\(^{-1}\)) are adequate to promote increased plant growth in rivers and lakes (Tunney et al., 2000). A suitable P application strategy (e.g. Culleton et al., 2000a; 2000b) is essential to minimize surpluses and the long-term accumulation of soil P on farms.
Cattle slurry is an important asset on livestock farms as it reduces the need to use chemical fertiliser reducing variable costs. Slurry is typically composed of 50% ammoniacal N which is plant available and 50% organic N which is released more slowly to the plant providing a long-term supply of nitrogen (Hoekstra et al., 2011). Animals housed over the winter period in Ireland can produce up to 300 l livestock unit (LU) of slurry per week (Nitrates Directive, 2006), over the 2.5-5 month housing period. This equates to roughly 3,100 – 6,200 l of slurry being produced during housing. The nutrient content of slurry is highly variable (Martinez-Suller et al., 2010) and should be recycled safely to land after the winter housing period. Large animal farms produce substantial amounts of slurry, which can potentially causes environmental problems. The amount of liquid manure depends on animal species, its age, kind of nutrition and on the method of husbandry (i.e. animals housed with or without litter). Cattle give about 10-20 litters of liquid manure a day containing, when stored properly, 1-3% of dry matter, 0.3-0.6% N, 0.5-0.8% K and 0.04-0.08% P (Wesolowski, 1999).
In pasture systems specifically, the combination of plant defoliation due to grazing, deposition of manure and urine, and compaction caused by mechanical clipping and trampling alters the soil chemical and physical environment (Mills and Adl, 2011).
### 1.3. Grassland biodiversity
Grassland management is about more than just production, and above-ground management has brought a series of threats, such as loss of soil organic matter, erosion, compaction and contamination, which affect grassland sustained utilization and grassland biodiversity. For example, high fertilizer inputs effects not only limit plant diversity but also leads to tremendous changes in the chemical, biological, and indirectly, physical status of soil (Plantureux et al., 2005). It is now well established that large ruminants are able to enhance
plant diversity at low stocking rates, but decrease it at higher stocking rates (Olff and Ritchie, 1998). The proposed European Soil Framework Directive is formulated towards a sustainable use of soil. It emphasizes that the protection of soil biodiversity is necessary for sustainable land use and the provision of ecosystem services that contribute to the livelihood for land users (Creamer et al., 2010).
Over the past several decades, many ecologists have focused on trying to understand why different communities or ecosystems differ in the diversity of organisms that they contain (e.g. MacArthur and Wilson, 1967; Grime, 1973; Tilman, 1982). Historically, most of the effort devoted to addressing this question in terrestrial ecosystems has focused on aboveground plant and animal species. However, it is well recognized that in most terrestrial ecosystems the belowground biota supports a much greater diversity of organisms than does the aboveground biota (Torsvik and Ovreas, 2002).
While the vast majority of species of soil biota have yet to be described, several key groups (bacteria, fungi, nematodes and insects) almost certainly contain several hundreds of thousands to millions of species globally (De Deyn and Van der Putten, 2005). This diversity is also apparent at local scales; for example, a few grams of soil may contain a few 1000 species of bacteria and several hundreds species of invertebrates (Wardle et al., 2002). In spite of this critical contribution to global biodiversity, soil organisms have only weakly engaged the attention of taxonomists compared with other groups like higher plants and vertebrates (Decaëns et al., 2006). The weakness of current taxonomic knowledge is of particular concern since the profile of below-ground taxa remains very low in systematic and taxonomy journals (Decaëns et al., 2008). The scarcity of taxonomic expertise and of standardized sampling methods and designs has often been proposed to explain this trend (Andre et al., 2002; Decaëns et al., 2008). Another explanation is the lack of wider public interest in below-ground biota. This is highlighted by the relationship between the amount of scientific literature dedicated to a given taxon and its representation on the internet (which reflects public interest) (Wilson et al., 2007). When compared with above-ground biota, soil animals are poorly represented both on the internet and in the scientific literature and, for a given number of websites, also tend to have a lower scientific presence (Decaens, 2010). Consequently, the less fashionable soil organisms are receiving relatively less scientific attention than the high-profile above-ground animals. As highlighted by Wilson et al. (2007), the existence of such taxonomic gaps defeats ecologists’ claimed objective to construct generalizations. A wider research scope is thus needed to both wildlife management and teaching should consciously include less studied groups such as soil biota.
Raising awareness of soil biota is a key strategy that must be encouraged in the international arena through diverse initiatives to raise the profile of soil biological diversity. In historic dimensions, traditionally managed grasslands have been extensively utilized by mowing and grazing and have received relatively little artificial fertilizer. These semi-natural grasslands provided a wide range of habitats supporting a high biological diversity (Eriksson et al., 1995; Partel and Zobel, 1999). But intensive grassland management including high nutrient input and increased defoliation frequency on the one hand and the abandonment of marginal grassland on the other has led to a dramatic decline in observed grassland biodiversity over the last decades (Janssens et al., 1998; Hansson and Fogelfors, 2000). There is evidence that grassland management by grazing livestock at moderate levels contributes to the maintenance of plant diversity by reducing the abundance of competitive dominant species (Collins and Schwartz, 1998; Olff and Ritchie, 1998). Several studies have furthermore shown that mowing at moderate cutting intensity maintained plant species richness in grasslands (Hansson and Fogelfors, 2000; Fischer and Wipf, 2002). For both management regimes, grazing as well as cutting, it has been well established that high nitrogen fertiliser applications generally decrease species diversity (Jacquemyn et al., 2003; Maurer et al., 2006).
Nowadays, species-rich grasslands can only be maintained if farmers receive compensation payments against intensification by means of agri-environment subsidies or if the intensification in management is not cost-effective (Hodgson et al., 2005). Up to now, a variety of agri-environment schemes have been applied in European countries to preserve and enhance biological diversity in agricultural systems (Kleijn and Sutherland, 2003), but their efficiency has been questioned (Kleijn et al., 2001). Recent studies have indicated that management agreements that include financial compensation for farmers are failing to prevent the process of diversity loss (Balmford et al., 2002; Ferraro and Kiss, 2002).
In most cases, intensive grass production from grasslands appears to be incompatible with maintaining a high level of biodiversity. The key question is how to restore biodiversity in intensive grasslands while limiting the technical and economical consequences? Two aspects arise here, 1) the relative lack of knowledge on grassland biodiversity, and 2) the objectives of biodiversity enhancement and its evaluation. In order to enhance the efficiency of management measures prescribed in agri-environment schemes, there is an urgent need to determine the underlying factors that control grassland plant species and soil biodiversity in managed grasslands, to understand the interaction between above-ground and below-ground diversity. For example, Benizri and Amiaud (2005) found decreases of
plant biodiversity with increasing nitrogen fertilization treatments in a grassland trial, and also bacteria extracted from rhizosphere of highly N fertilized plots showed a lower catabolic ability. The authors emphasized that it could be linked to a lower diversity in root rhizodeposit exudates in the fertilized treatment. Microbial community and soil process responses in grassland are less well known, except in a few cases, e.g., abundance of mycorrhizal fungi and the C: N ratio of microbial biomass tend to decline with N fertilization (Johnson et al., 2003; Treseder et al., 2004). With a greater comprehension of soil biodiversity, its function and the connection with above-ground diversity in grasslands, grassland management strategies can be developed directed at manipulating the soil biota to encourage a greater reliance on ecosystem self-regulation than on artificial inputs such as fertilizers and pesticides (Yeates and King, 1997).
1.4. Nematodes as an indicator in grasslands
Nematodes are one of the most abundant groups of soil invertebrates. More than four out of five metazoan individuals on earth are nematodes, often reaching several millions per square metre (Bongers and Bongers, 1998). Soil nematodes are believed to have profound effects on soil processes, such as residue decomposition, nutrient release through high turnover rates and their influence on the composition and activity of soil microflora (Ingham et al., 1985; Moore et al., 1988). Based on model calculations, approximately 30% of the annual N mineralization in Lovinkhoeve agricultural soil was due to the contribution of bacterivorous nematodes (de Ruiter et al., 1998).
The diversity of fauna in grassland soils is very rich. In general, the nematodes, microarthropods and annelids are the most abundant in terms of both number and biomass. Nematodes are very abundant in grassland soils, where population densities can be as high as 10 million m\(^{-2}\) in highly productive lowland grasslands (Yeates and King, 1997) or as low as 1 million m\(^{-2}\) in acidic, infertile upland grassland soils (Bardgett et al., 1997).
Soil nematodes have been used as indicators of overall ecological condition because of the wide range of feeding types and the fact that they seem to reflect the successional stages of the systems in which they occur (Ferris et al., 2001). Furthermore, nematodes are sensitive to environmental perturbation and changes in their distribution and activity are diagnostic of changes in soil health (Ferris and Bongers, 2006). They are also the most abundant of the soil metazoa. Nematode species occurring in soils encompass a wide variety of feeding strategies, including many free-living species that feed on soil microbes (bacteria or fungi).
Microbial-feeding nematodes are among the most important consumers of bacteria and fungi in many systems, and their interactions with microbial decomposers affect ecosystem processes such as decomposition and nutrient cycling. Plant-feeding nematodes, omnivorous nematodes and predators also play an essential role in ecosystem functioning, and they are recognized that they may be capable indicators of environmental health, soil quality, and ecosystem resilience.
In the following chapters, I will review the molecular techniques used on nematode identification, and compare with morphological identification (Chapter 2) and then morphology and molecular comparison on fertilization grasslands (Chapter 3) and molecular technique on nematode community (Chapter 4) about the grassland management, mainly different fertilization schemes, and its effects on nematode community structure in Irish grassland.
1.5. Aims
Considering the central role of nematode in the soil ecosystem, the aims of this research were to:
- Use soil nematodes as an indicator for the assessment of grassland biodiversity under different grassland fertilization management.
- Evaluate a molecular tool, based on T-RFLP to investigate grassland soil nematode assemblages, by comparison with traditional light microscopy methods of nematode identification.
- Develop a better understanding of grassland soil food webs.
2.1. Introduction
2.1.1. Nematodes as biological indicators for soils
In recent years, interest has been shown by soil scientists and ecologists in measuring soil quality, particularly since the drafting of the Soil Framework Directive and the increased national requirements for soil monitoring (Creamer et al., 2010). Soil quality is a combination of the physical, chemical and biological properties that contribute to soil function. Indicators of soil quality should be responsive to management practices, integrate ecosystem processes, and be components of existing, accessible data bases (Knoepp et al., 1998). Such indicators must be quantified to document the improvement, maintenance or degradation of soil quality (Larson and Pierce, 1992), represent different aspects of soil quality in different ecosystems (Elliott, 1997), and strive to monitor or measure three basic functions or parameters: 1) soil structure development; 2) nutrient storage and 3) biological activity (Elliott, 1997).
Soil invertebrates are recognised as useful indicators as most are highly sensitive to perturbations and disturbances, for example, earthworms have been used to indicate soil properties (Blackshaw et al., 2006) and soil pollution (van Gestel et al., 2009); nematodes for environmental monitoring (Bongers, 1990; Bongers and Ferris, 1999); macroinvertebrates for soil heavy metal pollution (Nahmani and Rossi, 2003; Nahmani et al., 2006); and collembola for the restoration of environmental conditions (Zeppelini et al., 2009). Nematodes have been used as indicators of overall ecological condition because of the wide range of feeding types and the fact that they seem to reflect the successional stages of the systems in which they occur (Bongers, 1990; Ettema and Bongers, 1993; Yeates and Bongers, 1999; Ferris et al., 2001). Furthermore, nematodes are sensitive to environmental insults, and changes in their distribution and activity are diagnostic of changes in soil health (Gupta and Yeates, 1997; Ritz and Trudgill, 1998; Bongers and Ferris, 1999; Ekschmitt et al., 2001; Ferris et al., 2001; Fiscus and Neher, 2002; Yeates, 2003), and also they are the most abundant of the soil metazoa (Ekschmitt et al., 2001). Nematode species occurring in soils encompass a wide variety of feeding strategies (Yeates et al., 1993), including many...
free-living species that feed on soil microbes (bacteria or fungi). Microbial-feeding nematodes are among the most important consumers of bacteria and fungi in many systems (Griffiths et al., 1999), and their interactions with microbial decomposers affect ecosystem processes such as decomposition and nutrient cycling (Freckman, 1988).
2.1.2. Limitations to routine monitoring
The identification of soil fauna often requires a high degree of taxonomic expertise (Andre et al., 2001; Coleman et al., 2004). Furthermore, the time spent on identification (with the corresponding costs) makes it difficult to produce results over a relatively short period of time with affordability. This is particularly true for the nematodes. Identification of all individuals to the species level is time-consuming (Lawton et al., 1998), so the characterisation of nematode communities continues to be resolved more coarsely than at the species level (i.e. genus, family, trophic group) (Porazinska et al., 1999; Porazinska et al., 2007), leaving ecological analysis potentially ambiguous or superficial (Yeates and Bongers, 1999). There is also a constraint where identification of species is only possible from adult specimens which usually represent only a small percentage of the overall nematode assemblage (Griffiths et al., 2002).
So in spite of many advantages of using nematodes as biological indicators, identification even to functional group relies on highly trained experts (Ritz et al., 2009). A possible solution is to find an appropriate surrogate molecular method allowing empirical assessment of soil fauna biodiversity. This is especially the case as currently training in classical taxonomic techniques is in decline while that in molecular methods is increasing.
2.1.3. Molecular methods for fauna identification.
Andre et al. (2002) highlighted the need for the development and consistency of methods in soil faunal monitoring, commenting that molecular techniques for community analysis are now widely used in soil microbiology and have greatly expanded knowledge on soil microbes. Molecular methods provide an alternative to traditional morphological identification for routine assessment of described species. Their application has enabled profiling of environmental samples of soil microbial populations, overcoming the need to culture and identify bacteria and fungi from complex mixtures (Amann et al., 1995) and similarly potentially reducing the taxonomic expertise currently required to characterise microfaunal communities. New, high-throughput sequencing technologies provide an opportunity to generate very large amounts of sequence data in a very short time and at low
cost. One of the most important applications of those molecular methods is the ability to identify large numbers of species from complex communities (Opik et al., 2008). In addition to more rapid high throughput discrimination requiring less specialised skills, molecular techniques may also readily allow identification of cryptic species and juveniles (Blouin, 2001; Powers, 2004), although care needs to be taken with identifications made from a single gene target especially where taxa are currently represented by few confirmed sequences. Amplification and sequencing of diagnostic regions (i.e. rapidly evolving regions of SSU rDNA and LSU rDNA coding for the small and large subunit of rRNA, respectively) of single nematode specimens has resulted in the development of extensive public DNA sequence databases that are available for blast-match searching (Ye et al., 2007) and phylogenetic comparison (Blaxter et al., 1998; Griffiths et al., 2006). Although DNA-based databases are strongly biased towards plant-parasitic nematode taxa (De Ley et al., 2005), the utility of these searches for identification of free-living taxa that comprise the majority of soil nematodes is continuously improving. Recent publications on the phylogeny of terrestrial nematodes now make the identification of nematodes, and their ecological function, far more robust (Holterman et al., 2008).
2.2. Molecular methods for nematode community analysis
Vanderknaap et al. (1993) used an arbitrarily primed PCR technique to differentiate closely related bacterial-feeding nematode species (from agar culture) that could not be morphologically distinguished, and suggested that the technique could be used in an ecological context. It would, however, require PCR-amplification of individual nematodes with at least three different primer sets and could not identify the nematodes without considerable calibration. Since that early example, more practical solutions have been developed.
2.2.1. DNA Barcoding or sequencing
DNA barcoding, based on the sequencing of a small segment of the genome, in the form of a specific sequence which carries both the species-specific and phylogenetic information of an organism, and which provides taxonomic identification for a specimen, is a technique that should be applicable to all organisms (Floyd et al., 2002; Blaxter et al., 2004; Hamilton et al., 2009; Powers et al., 2009). DNA barcodes can be used in the identification of unknown specimens, to assist the phylogenetic placement of unknown taxa through
comparison with known reference sequences, and to enable the definition of molecular operational taxonomic units (MOTUs). Theoretically, this should allow rapid and high-throughput identification, either of individual organisms or of sequences isolated from an environmental DNA sample. DNA barcoding has been used to perform surveys of nematodes, tardigrades and other meiofauna in terrestrial and marine habitats (Floyd et al., 2002; Waite et al., 2003; Blaxter et al., 2004; Hamilton et al., 2009; Powers et al., 2009). For example, Floyd et al. (2002) used PCR amplification products from 166 individual cultured specimens to analyse MOTUs of 74 randomly sampled individuals from their study site of a hill farm grassland ecosystem. They also developed a simplified system that would permit diversity and abundance estimation of nematodes in soils, and then suggested modifications to make the method applicable to community analysis.
Hamilton et al. (2009) extracted faunal DNA directly from soil samples, and then used PCR with metazoan specific primers and sequencing to characterise micro- and meso-faunal community composition. The technique captured the more abundant faunal groups (nematodes, Collembola, Acari, tardigrades, enchytraeids) and provided sufficient taxonomic resolution to describe the overall structure of the soil faunal communities, although the nematodes were only separated into two major taxonomic classifications (Chromadorea and Enoplea). Powers et al. (2009) estimated nematode diversity and nematode distribution among soil, litter, and understorey habitats based on MOTU analysis in a tropical rainforest.
The effectiveness of barcoding is dependant on the identity of the standardised gene region that is selected. To date, barcoding has been tested most extensively in the animal kingdom using a 648-bp region of the cytochrome c oxidase I (\textit{COI}) gene (Seifert et al., 2007). Much of the research undertaken on soil and marine nematodes has used the 18S rRNA gene although in the case of Bhadury et al. (2006) a range of gene targets were used, including \textit{COI}, but reliable PCR amplification was only obtained from the 18S rRNA gene (Floyd et al., 2002; Bhadury et al., 2006). More recently the \textit{COI} gene was used successfully to identify filarial nematodes (Ferri et al., 2009). An advantage of the 18S rRNA gene is the large amount of sequence data available, but there may be future developments to align nematode barcodes with those used for other animal phyla.
The next step in using a sequencing approach is the application of pyrosequencing or other of the so-called ‘next generation’ sequencing technologies. This approach is almost untried for the analysis of nematode communities, although Porazinska et al. (2007) presented results strongly supporting the suitability of 454-technology for identification of all
nematode individuals from environmental samples. Porazinska et al. (2009) assessed the suitability of massively parallel sequencing technologies (GS FLX Roche / 454 Life Sciences) for analysis of artificially-assembled nematode diversity from metagenomic samples, involving 41 diverse reference nematodes of known identities and densities. He revealed that although neither rDNA section recovered all nematode species, the use of both SSU rDNA and LSU rDNA loci improved the detection level of nematode species from 90 to 97%. They also used seven datasets, which represent three, independent, in-house PCR amplifications and independent sequencing replicates, that come from replicated experiments using the same multi-nematode species DNA template, and identical amplification and sequencing conditions to test the reproducibility of these metagenetic experiments. Their results suggested that both qualitative and quantitative data were consistent and highly reproducible. Variation associated with in-house PCR amplification or emPCR and sequencing were present but the representation of each nematode was very consistent from experiment to experiment and supported the use of read counts to estimate relative abundance of taxa in a metagenetic sample (Porazinska et al., 2010). At this point, however, the use of the distribution reads for inferring the relative abundances of species within a nematode community is premature. However, the use of such technology for monitoring is probably inappropriate as real strength lies in the ability to extract enormous amounts of information from relatively few samples (Poinar et al., 2006), whereas the requirements for biological monitoring are for relatively little information from enormous numbers of samples.
In the paper, van Megen et al. (2009) made a selection of ca 1200 (nearly) full-length SSU rDNA sequences from representatives throughout the phylum Nematoda. It is the most species rich and diverse nematode tree based on molecular data published so far and, it is biased towards terrestrial nematodes living in moderate climate zones. It is, still incomplete even at the ordinal level, and it is based on only a single gene. Nevertheless, it provides numerous insights into the evolutionary relationships within the Nematoda in all its trophic and ecological diversity. This framework can be used to (quantitatively) detect single targets in highly complex DNA backgrounds, such as specific plant parasites in a soil community.
2.2.2. PCR-DGGE
Several research teams have already attempted to analyse soil or marine nematode communities using denaturing gradient gel electrophoresis (DGGE) (Waite et al., 2003;
Foucher et al., 2004; Bhadury et al., 2006; Okada and Oba, 2008). PCR-DGGE has been used to estimate nematode diversity in soil, by detecting nematode taxa as different bands of equal size PCR products that are separated according to their DNA sequence on a denaturing gradient gel.
Waite et al. (2003) also used DGGE to analyse nematode communities from DNA directly extracted from a single gram of soil. This latter approach gave a community ‘finger-print’ which differed between sites, but from which it was not possible to infer much about the genetic diversity or relative abundance of any particular taxa (Waite et al., 2003). Foucher et al. (2004) extracted nematodes from soils prior to DNA extraction, a method that allows larger soil samples to be analysed (100-200g soil, more representative of environmental conditions than 1g soil) and minimises the risks of amplifying non-target organisms, but similarly without making any analysis of the taxa present or their abundance from the molecular data. Sato et al. (2009) examined the relationship between the damage to radish by *Pratylenchus penetrans* and the soil nematode community structure analyzed by PCR-DGGE, suggesting that the damage to radish might be predicted from the soil nematode community structure. An evaluation of the soil nematode community structure by PCR-DGGE could be used to distinguish soils that could suffer low damage from those that could suffer high damage.
From a soil monitoring point of view, the difficulty in relating bands to particular functional groups or taxa would be a disadvantage. Although PCR-DGGE is used for bacterial biodiversity in the Dutch Soil Monitoring Network (Rutgers et al., 2009), just the number and intensity of bands are used. This method lacks the taxonomic or functional assessment that makes other nematode community analyses so useful.
### 2.2.3. PCR-TRFLP
Terminal restriction fragment length polymorphism (TRFLP) analysis is a highly reproducible method in which fluorescently labelled products are sized and quantified in an automated DNA sequencer (Liu et al., 1997). TRFLP analysis can either be designed using a pre-existing sequence library to select restriction enzymes to yield diagnostic peaks of interest (directed TRFLP) so that different taxa result in distinct restriction fragment (RF) peaks. Alternatively, it can utilise an essentially random digestion to give a ‘fingerprint’ with no taxonomic information (random TRFLP). Initially developed for bacterial communities, similar approaches are now available for nematode identification (Donn et al., 2008).
Donn *et al.* (2008) demonstrated TRFLP based on a single, randomly chosen enzyme digest to be sufficient to discriminate between nematode communities extracted from five habitats (arable agriculture, sand dune, coniferous forest, permanent pasture and moorland). Hermann *et al.* (2008) also used random TRFLP analysis to assess the community structures of protozoa and nematodes, using group-specific PCR primers, showing the potential of TRFLP procedures to differentiate the community structures based on the response of the soil biota to organic inputs (Hermann *et al.*, 2008). Gibb *et al.* (2008) analyzed soil mite assemblages using TRFLP, and found that the mite community was represented by a series of DNA fragment lengths that reflected mite sequence diversity. Their approach was to use a random TRFLP coupled with a reference sequence database of identified mites, but the current paucity of soil mite sequences in the public databases was a limiting factor (Gibb *et al.*, 2008). Another approach is directed TRFLP, where sequence information is first obtained, and the sequences are analysed to find an enzyme combination that would separate the taxa present to provide relevant ecological information (Donn *et al.*, 2008). As a result every peak in the community profile can be allocated to a nematode taxon at a level allowing inference of function from the putative trophic group (Donn *et al.*, 2008).
The main advantage of TRFLP is the ability to easily compare data from different sequencer runs unlike DGGE where comparison between gels is difficult (Moeseneder *et al.*, 1999; Nunan *et al.*, 2005). The inclusion of a size standard with every sample allows accurate sizing of fragments and thus comparison across electrophoretic runs (Marsh, 1999). Fragments can be sized accurately up to 700 bp; beyond this a small degree of error may be associated with sizing up to 1000 bp (Osborn *et al.*, 2000). Automated sample loading with a capillary sequencer reduces variability between runs and the digital output allows rapid, objective data analysis (Osborn *et al.*, 2000). Community fingerprints from TRFLP can also be translated into taxonomic information especially with a directed approach (Donn *et al.*, 2008; Gibb *et al.*, 2008). The ability to perform TRFLP in 96 or 384 well plate format, coupled with the electronic data output and automated fragment calling software means it is a truly high throughput technique with rapid data analysis. This permits large scale temporal and spatial studies with the replication required to lend statistical power to the analysis and make the technique ideal for monitoring purposes.
### 2.2.4. Real-time PCR
Real-time quantitative PCR-based detection is more rapid, specific and sensitive than conventional PCR (Bustin, 2002; Schaad and Frederick, 2002; Gachon *et al.*, 2004), and
widely used for the quantification of species of particular economic importance. Real-time PCR was, for example, able to detect DNA at a concentration eight times lower than conventional PCR (Gachon et al., 2004). Potato cyst nematodes, for example, can be distinguished by morphological differences and their ability to reproduce on various hosts (Nowaczyk et al., 2008; Quader et al., 2008), but real-time PCR methods for the simultaneous detection and quantification of species of potato cyst nematodes have been developed (Bulman and Marshall, 1997; Bates et al., 2002). The real-time PCR method was more rapid, reliable and easier to interpret, especially when few cysts were available, than morphological and reproduction tests and so represent a convenient alternative for studies with a limited amount of starting material (Bustin, 2000).
Jones et al. (2006a) used a combination of low power microscopy and taxon-specific real-time probes, which was the first time showed that 18S probing successfully assigned all nematodes to their specific taxonomic group, and then real-time PCR, using multiplexed probes and primers specific to that subset of taxa, could further diagnose nematode taxonomy down to the species level. The development of real-time PCR to assess nematode taxonomic identity within the microbial-feeding nematodes on the Konza Tallgrass Prairie enabled the identification of 19 microbial-feeding nematode taxa across four families, and positively assigned the majority of nematodes to genus/species groups 96% and 83%, respectively (Jones et al., 2006b).
Sato et al. developed a direct quantification method, consisting of soil compaction and real-time polymerase chain reaction (PCR), for the soybean cyst nematodes *Heterodera glycines* (Goto et al., 2009) and *Pratylenchus penetrans* (Sato et al., 2010) in soil. In the proposed method, nematodes at any stage, including cyst, egg and vermiform, were destroyed by compaction to release their DNA and their numbers are quantified by real-time PCR with primers specific to the nematodes. In addition, Sato et al. (2011) reported this method for *Pratylenchus penetrans* in the soils of radish fields, to reveal the relationship between density of *P. penetrans* and damage to radish caused by *P. penetrans* in order to evaluate the economic threshold in radish cultivation. Their results suggest that the combination method has an advantage in the estimation of damage to radish by the nematode.
A current development is towards a DNA-based version of the Maturity Index (Bongers, 1990), made possible as many nematode families appear as monophyletic groups in a phylogenetic tree (Powers, 2004). Primers designed to quantitatively monitor each of these
families within a nematode community will provide a community analysis based on molecular rather than morphological traits (Neilson et al., 2009).
2.3. Comparison of molecular vs. morphological technique
Demonstrating a clear correlation of the analytical results between those obtained by conventional morphological methods and those by developing molecular methods is of key importance in the transition from the current mainly morphological approaches to future molecular scenarios. Molecular techniques need to reflect the relative abundances of the particular species or functional guilds (Yeates and Bongers, 1999).
Griffiths et al. (2006) combined morphological identification and molecular sequencing to establish the potential for analysing nematode communities by molecular biological characterization, but found that nematodes from the Rhabditida and Tylenchida were under-represented in the molecular characterisation compared to the morphological method. Better relationships between the quantification of nematode types and the amount of nematode DNA, at least the total biomass of each type, rather than abundance of each type, made it difficult to use some molecular data to calculate nematode assemblage as ecological indices. In their study of mite communities, Gibb et al. (2008) argued that there will never be complete convergence between the two methods (molecular and morphological) because there are just too many steps where 100% recovery or efficiency is not achieved with either methodology. The reasons for this are varied and often unknown, but can occur anywhere from the point of faunal or DNA extraction through to a bias in PCR amplification. DNA from all organisms present in a sample may not be amplified with the same efficiency or sub-sampling inherent in morphological methods may prevent all individuals from being identified (Wang et al., 2004).
There are more and more research works which have compared molecular and morphological techniques. Okada and Oba (2008) compared the results on nematode communities between DGGE and morphological identification. The correlation coefficients between the two methods were not extremely large (0.400-0.603), but they were always significant. Interestingly the authors argued that the analytical result obtained by morphology may not always reflect the ‘true’ community because only 150 individuals per sample were examined without replication, due to the laboriousness of the morphological identification (Okada and Oba, 2008). Wang et al. (2008) assessed the effect of copper contamination on soil nematode diversity by PCR-DGGE and morphological analysis, and found that
PCR-DGGE could give more information on nematode genera, and the intensity of the bands could reflect the abundance of nematode genera in the assemblage.
Hamilton *et al.* (2009) compared the results obtained using a DNA sequence-based molecular approach to results obtained using a traditional, microscopy-based approach and found that the results were broadly similar. However, since biases were inherent in both methods it is unclear which method provided a more accurate assessment of community composition. Although the sequencing approach was based on a relatively small number of sequences (65–88) the taxonomic identification sequencing can provide will be more accurate and consistent across research groups, facilitating effective comparisons of meso-faunal surveys (Hamilton *et al.*, 2009). Bhadury *et al.* (2008) also compared morphological data with PCR-DNA sequencing. They concluded that current taxonomy based on morphological characters detected using light-microscopy may be unable to discriminate possible species complexes and that the biodiversity of marine nematodes may often be underestimated due to the presence of morphologically cryptic species complexes.
### 2.4. The role of nematodes in monitoring schemes for soil quality and biodiversity
It is probable that any monitoring scheme will use a suite of indicators and not rely solely on any single biological indicator. For example the ‘environmental assessment of soil for monitoring’ (ENVASSO) project selected three separate tools, one representative from the macrofauna, mesofauna and microflora (Gardi *et al.*, 2009). The Dutch soil monitoring network (BISQ), lists 25 soil parameters of which the density and diversity of nematodes are included (Rutgers *et al.*, 2009); while in a framework for selecting candidate soil indicators, Ritz *et al.* (2009) identified nematodes as a valuable indicator in a suite, further differentiating between the morphological identification of nematodes (which is currently available) and a molecular technique (PCR-TRFLP) which would be ready for deployment in the short-term.
Although existing monitoring schemes successfully use morphological methods to assess nematode communities, such as the Biological indicator-system for Soil Quality (BiSQ) which was designed in 1997 for the Dutch Ministry of Housing, Spatial Planning and the Environment (Schouten *et al.*, 2002). The major disadvantage for morphology is the specialised taxonomic expertise needed and laborious nature of the task. Molecular approaches are developing rapidly and should become more common place once the
comparison between morphological and molecular methods is defined. The major advantage of a faunal approach is that a direct comparison between morphological and molecular methods can be undertaken, something not possible for microorganisms.
Chapter 3. Long-term effects of P fertiliser on nematode community structure and soil microbial community structure
3.1. Introduction
The chemical element phosphorus (P) is essential for plant and animal life. It is one of the least available of all essential nutrients in the soil and its concentration is generally below that of many other micronutrients (Zvomuya et al., 2006). Low availability of P is a major constraint for crop production in many low-input systems of agriculture worldwide (Raghothama, 1999). Many soils in the world, when unfertilized, are relatively low in phosphorus, and this can have adverse effects on plant and animal health. Meanwhile, its low natural concentration and low solubility in the soil, makes it commonly a key growth-limiting nutrient in soils and waters (Sharpley et al., 2001). Phosphorus therefore usually controls primary productivity in most natural ecosystems, both terrestrial and aquatic.
In Ireland, historically up to the Second World War soil P levels were extremely low. During the period of 1941-1946, P inputs to agriculture were lower than P removals. Lack of P limited plant and animal production up to the 1950s before the rapid increase in use of chemical P fertilizer in the 1960/70s, which was helped by a government subsidy on P fertilizer to correct P deficiency (Tunney, 1990). Use of P fertilizer then stabilized at just over 60 000 t / yr from the early 1980s to the mid 1990s. Since 1996 there has been a downward trend in P fertilizer use, mainly because research indicated that P inputs were in excess of outputs and concerns that these P inputs were a contributory factor in eutrophication of surface waters (Foy et al., 1997; Tunney, 2002). Usage has dropped in recent years to approximately 50,000t in 2000 (Culleton et al., 2002).
In 2006, the Nitrate Directive (through Statutory Instruments) S.I. 378 (Anon, 2006), which demands that nutrient application rates do not exceed grass demand, nor result in nutrient losses that may have a negative impact on water quality, was implemented in Ireland, aimed at reducing nutrient losses from agriculture to water bodies, i.e. surface waters, groundwater and estuarine waters. This legislation introduced strict regulation of nutrient management on Irish farms. Although the fate of phosphorous when applied to soil remains something of an enigma (Fey, 1988), it is widely accepted that a combination of biological, chemical, physical, and environmental properties and processes, together with the history
and intensity of grassland use and management determine the form, dynamics and mobility of P in soil-plant-animal-water system (Condron et al., 1996).
A long term trial in grassland, the Cowlands Trial experiment at Johnstown Castle Research Centre, Co. Wexford, was established in 1968 with replicate plots receiving different amount of P fertilizer, and has continued over since. The aim of the experiment was to determine the optimum rate of phosphorous (P) fertilizer application required for grassland grazed by beef cattle. In these plots, research has been done to assess the effects of P application on soil fertilization, nutrient loss, soil physical and chemical properties. For examples, Tunney et al. (1990, 2000, 2002, 2010) published a series of papers about the impacts of P fertilizer on the changes in Morgan’s soil test P, P nutrient loss from soil to water, and live weight gain of mature beef animals over the ten years (1999-2008). They found that soil test P, as measured by Morgan’s extractant, stabilized over the past 10 years on the three original treatments, while it has decreased significantly where P application was stopped on the highest P treatment and has increased significantly where P was applied on the zero P treatment. Kurz et al. (2005) assessed the effects of grassland management practices on the loss of nutrients from agricultural land to water bodies, and found there was a clear increase in P loss in overland flow from the low to the medium and high soil P sites. McGrath and Tunney (2010) determined that after 31 years P fertilizer application increased heavy-metal content in Cowlands grassland. Fu (2009) examined the spatial variation of soil test phosphorus (STP) at the Cowlands, and found a log-normal distribution, with a median of 5.3 mg L\(^{-1}\) and an arithmetic mean of 6.2 mg L\(^{-1}\). Also he found statistically positive correlations between soil P and pH, soil P and Mg and soil P and K. King-Salter (2008) studied the response of arbuscular mycorrhizal fungi in the Cowlands to long-term phosphate fertilisation, and found that phosphate application had a significant effect on the composition of the plant community, and altered the arbuscular-mycorrhizal fungal community.
From the above work, most studies dealing with the application of P fertilizer have been interested in how it influences soil nutrient, plant performance, leaching losses and soil chemistry, and animal production. It is clear that little information is available on the consequences of historic P-fertilizer use on soil microbial community and soil nematodes, which are good indicators in soil nutrient decomposition and soil food web (Ferris et al., 2001).
Better knowledge of factors affecting turnover of the microbial biomass, and the information on soil nematode community structure would improve current understanding of
nutrient fluxes in P-treated soils. The soil micro-fauna, i.e. protozoa and nematodes, are important consumers of the microbial biomass (Forge *et al.*, 2003), and are therefore indicative of microbial turnover and flux of nutrients through the soil food web. Soil animals may affect microbial communities directly, by feeding on various microorganisms, or indirectly, by mixing and channelling detritus, dispersing microbial propagules and excreting nutrient-rich wastes (Griffiths and Bardgett, 2000). Generally, the overall effects of these microbial faunal interactions are increased rates of nutrient turn-over and plant uptake of available nutrients (Ingham *et al.*, 1985; Bonkowski *et al.*, 2000).
In this chapter, soil nematode community as well as microbial communities and microbial biomass was observed in order to understand the cycling of P in Cowlands grassland. This study also evaluated the potential to use a Terminal restriction fragment length polymorphism (T-RFLP) technique to characterise nematode community structure. The specific objectives of the present study were to:
1) identify nematode abundance and diversity,
2) evaluate changes in nematode families, functional groups or communities through time using traditional morphology and a high-throughput molecular method, and
3) determine the driving factors of nematode community change in response to pasture management intensity.
The identification of specific nematode bioindicators would enable the evaluation of soil quality relatively efficiently and inexpensively. This information would be particularly useful in situations where permanent pasture is used, or where soil chemical analysis would provide limited agroecological resolution.
### 3.2. Material and methods
#### 3.2.1. Site description and experimental design
The Cowlands Trial (Figure 3.1) was established in 1968 at Johnstown Castle Research Centre, Co. Wexford (52°18'N, 06°30'W). Monthly average precipitation and air temperature for the period of study are shown in Figure 3.2. Initially, three P treatments were set up, with fertilization rates of 0, 15 and 30 kg P ha\(^{-1}\) yr\(^{-1}\) (subsequently referred to P0, P15 and P30) in the form of calcium super phosphate. Nitrogen and potassium were applied evenly across all plots, at mean annual application rate of 240 kg N ha\(^{-1}\) as ammonium nitrate and 20 kg K ha\(^{-1}\) as potassium chloride. Each year, P and K were applied between late February and early March, and nitrogen was spread between March and September. With each P treatment, the 12 plots were divided between a low stocking rate of
2200 kg stock ha\(^{-1}\) and high stocking rate of 3300 kg stock ha\(^{-1}\), each with six replicates. This regime continued unaltered from the establishment of the trial in 1968 through to 1998, but in 1999 the treatments were altered. From 1999 onwards all plots had the same stocking rate (3300 kg stock ha\(^{-1}\)) but, six of the 12 P0 plots now received 30 kg P ha\(^{-1}\) yr\(^{-1}\) (P0-30), six of the 12 P15 plots received 5 kg P ha\(^{-1}\) yr\(^{-1}\) (P15-5), and six of the 12 P30 plots received no P (P30-0). The N and K fertilisation regime on the plots continued unaltered, so that from 1999 onwards there were six P treatments, each with six replicate plots (See Table 3.1 for details, Culleton et al., 2002).
### 3.2.2. Soil nutrient analysis
#### 126.96.36.199. Soil samples collection and preparation
Soil samples were taken in May 2009, October 2010 and April 2011. Thirty cores in a stratified random design were taken using an auger to a depth of 10cm from each plot and mixed together to give a composite sample from each plot. Prior to nematode extraction and soil microbial analysis, all samples were stored at 4°C. Moisture content of fresh soil was determined by drying at 105°C for 12 h, while samples for nutrient analysis were dried at 40°C for 24 h.
At the first sampling time, only soil nematodes and microbial biomass were measured. Considering more useful information compared to nematodes community, total soil bacterial DNA and PLFA were measured from the second and third samples, as well as soil nematodes and microbial biomass. In order to understand the application on P on soil nutrient, the third soil samples were used to analyze soil total P, Morgan’s P, Morgan’s K and Morgan’s Mg, pH and Lime requirement.
#### 188.8.131.52. Soil analysis
**Soil total P:** The P analysis of a soil sample is carried out using British Standards ISO 11466:1995, extracted soluble in Aqua Regia (3:1 mixture of hydrochloric acid and nitric acid, which is used to dissolve the organic matrix of the soil). Following extraction, phosphorus is analysed colorimetrically using the chemical reaction between P and ammonium molybdate. Phosphorus is measured on a Camspec 230 UV spectrophotometer at 675 nm.
Figure 3.1. Map of the Cowlands trial experimental field (Wexford, Ireland), showing layout of six replicate plots for each of six P treatments. Treatments P0, P15 and P30 were originally high-stocking rate plots and have had constant P application and stocking rates since 1968. Treatments P0-30, P15-5 and P30-0 were originally low-stocking rate plots and P applications were changed in 1999, while stocking was increased to the high-stock level.
Table 3.1. Historical and current P applications and stocking levels for six treatments of the Cowlands trial. Each P treatment has 6 replicate plots.
| P treatment | 1968-1998 | 1999-2009 |
|-------------|-----------|-----------|
| | P application Kg ha\(^{-1}\) yr\(^{-1}\) | Cattle stocking rate Kg ha\(^{-1}\) | P application Kg ha\(^{-1}\) yr\(^{-1}\) | Cattle stocking rate Kg ha\(^{-1}\) |
| P0 | 0 | 3300 | 0 | 3300 |
| P0-30 | 0 | 2200 | 30 | 3300 |
| P15 | 15 | 3300 | 15 | 3300 |
| P15-5 | 15 | 2200 | 5 | 3300 |
| P30 | 30 | 3300 | 30 | 3300 |
| P30-0 | 30 | 2200 | 0 | 3300 |
Figure 3.2. Mean precipitation, air and soil temperature per month from April 2009 to April 2011. Climatic data were provided by the monitoring station at Johnstown Castle, courtesy of Met Éireann (Glasnevin, Dublin, Ireland).
**Morgan’s P, Morgan’s K and Morgan’s Mg**: Soil test P, K and Mg were determined using Morgan’s extraction solution (10% sodium acetate in 13% acetic acid buffered at pH 4.8). A 8ml volume of soil was mixed with 40 ml of Morgan’s extraction solution and shaken for 30 min. The suspension was filtered into an Istamec Kasette Track of disposable test tube. The Kasette Track was then placed on the automated Istamec Transporters for analysis.
**Lime requirement (LR)**: Soil LR was measured by a pH buffer solution method (Shoemaker *et al.*, 1961), in which 10g soil was mixed with 20 ml SMP buffer solution (1:2 soil: buffer), and stood for 15 min before recording pH with a Thermo Orion 420 pH meter.
**pH**: Soil pH was measured in deionised water (Thomas, 1996). 10 g oven-dried soils were mixed with 10 ml deionised water in a 100 ml beaker. After 10 min, pH was recorded with a Thermo Orion 420 pH meter.
### 3.2.3. Soil sampling and nematode extraction
Nematodes were extracted from 100 g composite samples using the Oostenbrink Elutriation method followed by Baermann funnel extraction over 48 h (Verschoor and de Goede, 2000).
The resulting nematode suspension was vigorously shaken and divided into two equal parts. Nematodes in one part were killed at 65°C for 4min, preserved by 0.4% formaldehyde, and
the first 150 individual identified microscopically according to (Bongers, 1988) for the 2009 samples, while for the nematode samples in 2010 and 2011, only nematodes in the P0, P15 and P30 treatments were identified. Nematodes in the second part were allowed to sediment, most of the overlying water pipetted off and the nematode pellet in approximately 300 µl water was stored frozen at -20°C until DNA extraction.
3.2.4. Nematode DNA extraction and amplification
DNA was extracted as described by Donn et al. (2008). Briefly, nematode samples stored in 2ml tubes were thawed and beaten for 2 min (Mini Beadbeater-8, Biospec Products, Bartlesville, USA) with 0.05 g 0.50-0.75 mm diameter sterile glass beads (Thistle Scientific, Glasgow, UK) in 1.2ml of extraction buffer from a PureLink PCR purification kit (Invitrogen, Paisley, UK). Following beating, samples were heated to 95°C for 3 min, and purified (PureLink PCR purification kit) as per manufactories’ instructions. DNA eluted in 50 µl PCR elution buffer and then stored at -20°C. Small subunit ribosomal DNA (18S rDNA) was selectively amplified using the primers: Nem_SSU_F74 (AARCYGCGWAHRGCTCRKTA) and fluorescently labelled VIC-Nem_18S_R (GGGCGGTATCTRATCGCC) (Eurofins MWG Operon, Ebersberg, Germany) (Donn et al., 2011). PCR was performed in a 50 µl final volume containing: 5 µl 10× PCR buffer (Bioline, London, UK); 4µl 50 mM MgCl₂; 4µl 10 pM of each PCR primer; 1 µl of 10 mM dNTP mix; 4 µL DNA template; 27.6µl distilled water and 0.4µL of 4 units Start Taq polymerase. All PCRs were performed on a G-STORM Thermal Cycler (Gene Technologies Ltd., Braintree, Essex, UK ) with the following run parameters: one initial denaturation cycle at 94°C for 2 min, followed by 35 cycles at 94°C for 30 s, 51°C for 30 s, and 68°C for 1 min. A final elongation step was run at 68°C for further 10 min. Positive (DNA extracted from mixed nematodes, confirmed by preliminary study) and negative (distilled water) controls were included for each amplification series.
3.2.5. Directed T-RFLP
Terminal restriction fragment length polymorphism (T-RFLP) was applied to the amplified nematode community DNA. An enzyme mix was made consisting of 1 x NEBuffer4 (20 mM Tris-acetate, 10 mM magnesium acetate, 50 mM potassium acetate, 1 mM dithiothreitol (pH 7.9)), 100 µg ml⁻¹ BSA (supplied with enzyme) and 2 units Piel per µl enzyme mix (all reagents from New England Biolabs, Hitchin, UK). 1 µl Piel enzyme mix was added to 10 µl PCR products which were digested at 37°C for 60 min, followed by
65°C for 20 min, to denature the enzyme. Products were then digested with 2 units BtsCI (diluted as above in 1 x NEBuffer4 with BSA) by incubating at 50°C for a further 1 h. Digest products were diluted 1 in 10 and 1 µl was mixed with 9 µl Hi-Di™ Formamide and 0.05 µl ROX labelled MapMarker 1000 (BioVentures, Murfreesboro, Tennessee, USA). Fragments were analysed on an ABI 3730 capillary sequencer, at the James Hutton Institute, Dundee, UK.
3.2.6. Soil microbial properties
Microbial Biomass C, N and P: Soil from each composite sample was sieved through a 2-mm diameter mesh and stored at 4°C prior to analysis. Soil microbial biomass C (MBC), N (MBN) and P (MBP) were determined by the chloroform-fumigation extraction method (Joergensen, 1995). 10 gram aliquots of field-moist soil were fumigated with ethanol-free chloroform for 24 h, and non-fumigated soils were incubated at the same room temperature. Both fumigated and non-fumigated soils were extracted with the ratio 1:4 of soil: 0.5 M K₂SO₄ (for MBC and MBN) or the ratio 1:20 of soil: 0.5 M NaHCO₃ for MBP by shaking for 30 min, and then filtrated to cleaned bottles. Both fumigated and non-fumigated filtrated suspensions extracted by K₂SO₄ were measured by TOC-VCPH and TNM-1 (Shimadzu Scientific Instruments, USA) for MBC and MBN. The P in the extracts was measured by a modified ammonium molybdate–ascorbic method (Murphy and Riley, 1962). The $k$-factors used for converting extractable C, N and P flush to microbial C, N and P were respectively 0.41 (Sparling et al., 2000), 0.45 (Jenkinson et al., 1988) and 0.40 (Brookes et al., 1985). Also all un-fumigated data was used as soil extractable C, N and P in the results.
Bacterial biomass: Soils were sieved (2-mm mesh) immediately after sampling, and were stored at -80°C in plastic bags for soil DNA extraction and PLFA analysis. Soil 16S rDNA was extracted by UltraClean® Soil DNA Isolation Kit (Mumy and Findlay, 2004), and then diluted to 1/100 for quantitative real-time PCR assessment. A bacterial strain, *Escherichia coli* K12 (DSM 4304), was used to construct the standard curves. Genomic DNA was extracted from the pure standard strain culture (Yu et al., 2006). The target 16S rRNA gene sequence was amplified from each genomic DNA sample by conventional PCR with the corresponding primers. The resulting PCR products were purified and cloned into pGEM-T Easy vectors (Promega, Mannheim, Germany). The concentrations of the recombinant plasmids were measured in duplicate using a TD-700 fluorometer (Turner Designs, Sunnyvale, CA) with the PicoGreen dsDNA Quantification Reagent (Molecular Probes,
Eugene, OR), and the corresponding copy concentrations were calculated using the equation (Whelan et al., 2003). For each plasmid, a 10-fold serial dilution series ranging from $10^0$ to $10^9$ copies ml$^{-1}$ was generated and amplified in triplicate using real-time PCR with the corresponding primer and probe sets. Each reaction well contained 2 µl template DNA, 2 µl distilled water, 1 µl primers BCT 338F (ACTCCTACGGGAGGCAG) and BAC (GACTACCAGGGTATCTAATCC) and 10 µl LightCycler 480 probes Master (Roche Applied Science, Germany). The following general real-time PCR protocol was used: preincubation program (94°C for 10 min), a two-segment amplification and quantification program repeated 45 times (94° for 10 s, 60°C for 30 s), and finally a cooling down program to 40°C for 30 s. We used at least three non-zero standard concentrations per assay, and the plasmid DNA concentrations ranged from $1 \times 10^9$ to $1 \times 10^3$ ng of final reaction. Target copy numbers for each reaction were calculated from the standard curves, assuming that the average molecular mass of a double-stranded DNA molecule is 660 g mol$^{-1}$.
**Bacterial biomass and fungal biomass assessed by phospholipid fatty acid (PLFA) analysis:** Subsamples of 10 g soil from each sample were frozen and then freeze-dried for PLFA analysis. PLFAs were extracted from soil according to described methodology (Bossio and Scow, 1998). 5 g freeze-dry soils were extracted with 20 ml a one-phase mixture (1:2:0.8 v/v/v) of chloroform, methanol, and citrate buffer (0.15 M, pH 4.0), and fractionated into neutral, glyco-, and phospholipids on columns containing silicic acid (Frostegård et al., 1991). After centrifugation for 10 min at 2000 rpm, the supernatant was decanted to a clean glass media bottle. In order to separate the organic layer into 2 phases, a further 4ml chloroform and 4ml citrate buffer were added, and then left overnight to allow a clear interface between the two phases. The organic lower layer was dried under a stream of N$_2$ at 36°C, re-suspended with 1ml chloroform, and phospholipids separated from neutral and glycolipids on solid phase extraction columns, (0.50 g Sep-Pak Vas Silica 3cc, Waters Corporation, Milford, Massachusetts, USA) containing 0.5 g sodium sulphate. The column was conditioned with 2ml methanol, acetone and chloroform firstly; lipids were transferred to the column and eluted with 5 ml chloroform, followed by 12 ml acetone; polar lipids were eluted with 8 ml methanol and dried under N$_2$ at 37°C. 200 µl methanol containing Nonadecanoic acid Methyl Ester (19:0) as an internal standard was added to the dried samples and dried again under N$_2$ at 37°C. After that, samples were then subjected to mild alkaline methanolysis by dissolving in 1 ml 1:1 toluene: methanol and 1 ml 0.2 M KOH, and heating at 37°C for 30 min. The reaction was stopped by adding 0.25 ml of 1 M acetic
acid. Resulting fatty acid methyl esters were extracted with 5 ml aliquots of 4:1 v/v hexane: chloroform and 3 ml deionised water, sonicated for 30 minutes, and left overnight to separate two phases. Sodium hydroxide was used here as a base wash to clean the samples and remove any underrivatised fatty acids or other acidic components. The top layer was added with 3 ml of 0.3 M NaOH and filtered the top layer through sodium sulphate to a clean glass media bottle, and evaporated to dryness under N₂ at 22°C. Samples were then redissolved in 200 µl hexane and were ready to inject into G.C., and measured by gas chromatography. The weights of individual PLFAs were measured as ng g⁻¹ dry soil. Total weight of PLFAs was used as a measure of total microbial biomass.
A total of 26 different PLFA were detected and identified. The biomass of bacteria was determined using the combined weights of fatty acids i15:0, a15:0, 15:0, i16:0, i17:0, cy17:0, 17:0 and cy19:0. That of fungi was determined as the sum of 18:2ω6c, 18:1ω9c and 18:1ω9t (Frostegård and Bååth, 1996; Bossio and Scow, 1998; Mikola and Setälä, 1998).
### 3.2.7. Statistical analysis
All results were expressed on the basis of the oven-dry soil (12 h at 105°C). Means (n = 6) and their standard error (SE) of the measured variables are presented. The significant difference among the fertilization treatments at each sampling time was tested by one-way ANOVA followed by the Fisher LSD test.
To define the nematode community/assemblage morphologically nematodes were assigned to five main trophic groups (bacterial feeders (Ba), fungal feeders (Fu), plant-feeders (Pl), omnivores (Om) and predators (Pr) after Yeates *et al.* (1993). Additionally, the ratio of fungivore decomposers to bacterivore (Fu/Ba), was calculated to reflect the main pathways in the soil decomposition processes (Yeates, 2003). From directed T-RFLP analysis, the relative abundance of T-RFLP peaks corresponding to nematode families, and thus the five main trophic groups (Donn *et al.*, 2011) were analysed. Peaks in the directed T-RFLP profiles were assigned to nematode taxa on the basis of sequencing from nematode assemblages and design of the enzyme digest. A number of small peaks (representing < 5% of the total peak area) were assigned to taxa on the basis of in *silico* digest of database sequences (Table 3.2).
Principal component analysis (PCA) was used to determine differences in nematode community composition and PLFA community. Data were tested by one-way ANOVA followed by the Fisher LSD test (*P* < 0.05).
All statistical analyses were performed using the Statistica software package (StatSoft Inc.,
Tulsa, OK, USA). Analysis of variance (ANOVA) was used to quantify the variations of soil test, which included parameters of soil nutrient, nematode community, microbial biomass, bacterial and fungal biomass among the treatments.
**Table 3.2.** T-RFLP peaks were assigned to nematode taxa. Source indicates whether the peak was assigned by sequencing or in silico digest of database sequences.
| T-RFLP peak size | Taxa | Source |
|------------------|-----------------------------|------------|
| 132 | Rhabditidae, *Panagrolaimus* | sequencing |
| 137 | Rhabditidae, *Mesorhabditis* | database |
| 160 | Monhysterida | database |
| 226 | Aphelenchida, *Aphelenchoides* | sequencing |
| 296 | Tylenchidae | sequencing |
| 308 | Dorylaimida | sequencing |
| 325 | Mononchida* | sequencing |
| 356 | Tylenchidae | database |
| 366 | Plectida | sequencing |
| 466 | Aphelenchoididae | database |
| 470 | *Rhabditoides* | database |
| 579 | *Mesorhabditis* | database |
| 585 | Tylenchidae | sequencing |
| 588 | *Pratylenchoides* | sequencing |
| 592 | *Helicotylenchus* | sequencing |
| 598 | *Rhabditiis* | sequencing |
| 605 | Dorylaimida, *Longidorus* | sequencing |
| 622 | Nygolaimidae* | database |
| 636 | Aphelenchidae | database |
| 639 | Cephalobidae | sequencing |
| 768 | Cephalobidae | sequencing |
*Mononchida: only found *Anatonchus* in morphological data; *Nygolaimidae: no this family found in morphological data, so calculated to family Dorylaimida.
### 3.3. Results
#### 3.3.1. Soil nutrient characteristics
Soil nutrient data came from the third sampling time (2011) for the six P treatments of the Cowlands Trial are shown in Figure 3.3. Both P fractions (total and available) were affected by the rate of P application. Total soil P ranged from 393 g kg\(^{-1}\) in P0 to 930 g kg\(^{-1}\) in P30 (Figure 3.3A), and was positively correlated \((r = 0.97, P < 0.001)\) with the sum total of P applied to the plots (Figure 3.4A). Soil available P measured by Morgan’s P ranged from 2.7 g kg\(^{-1}\) in P0 to 18.6 g kg\(^{-1}\) in P30 (Figure 3.3B), and also was positively correlated \((r = 0.96, P < 0.001)\) with the sum total of P applied to the plots (Figure 3.4B).
Soil available K did not differ significantly between P treatments (Figure 3.3C), while other data showed significant differences between P treatments. Morgan’s Mg ranged from 138 g kg\(^{-1}\) in P0 to 280 g kg\(^{-1}\) in P15-5 (Figure 3.3E), and pH measured in water varied from pH 5.5 in P0 to pH 6.1 in P15-5 (Figure 3.3F), indicating the similar tendency that treatments
P15-5, P0-30 and P15 showed significantly higher than the values from other treatments. The data from soil lime requirement was different to other nutrient data, higher in P0 with 5.6 t ha\(^{-1}\), while was lower in P15-5 with 1.8 t ha\(^{-1}\) (Figure 3.3D), and was negatively correlated \((r = 0.98, P < 0.001)\) with pH (Figure 3.4C).
The effects on soil P fractions of P applied during the two time periods (1968-1998 and 1999-2011) were different. For soil total P, P15 and P15-5 were similar, while from P0 to P0-30, and from P30 to P30-0, while total P has decreased significantly where P application was stopped on the highest P treatment (from P30 to P30-0) and has increased significantly where P was applied on the zero P treatment (from P0 to P0-30). For the Morgan’s P, the differences were not obvious, and available P was only increased significantly from P0 to P0-30 (Figure 3.4). From the PCA plot (Figure 3.5), it can be seen that soil nutrients varied between treatments, but the two P applied time periods showed differently.
**Figure 3.3.** Background soil nutrient composition of the Cowlands Trial in 2011. Values were means of samples from each of six replicate plots of each P treatment. The soil analysis included total P (A), Morgan’s P (B), Morgan’s K (C), Lime (D), Morgan’s Mg (E) and pH extracted from water (F). The different letter was significantly different \((P < 0.05)\). Error bars represented standard error.
The $K_2SO_4$ extracted C, N and NaHCO$_3$ extracted (Olsen) P from unfumigated soil was used as an indicator of soil nutrient availability. The Olsen P values were significantly lower ($P < 0.01$) in P0, and the increasing application of P increased Olsen P values, but has no effect on extractable C and N (Figure 3.6).
**Figure 3.4.** Relationship between (A) soil total P with total P application during 1968-2011; (B) soil available P measured by soil Morgan P with total P application during 1968-2011; and (C) pH with LR value. Each data points were the mean of six replicates. Error bars represented standard error, n = 6 and all $P < 0.0001$.
**Figure 3.5.** Principal Component analysis of the relationship between different treatments ■ and soil nutrients ▲ (n = 6). The factor1 and factor2 explained 79.89% of the variation, bars represented standard
3.3.2. Impact of P fertilizer on nematodes community structure
184.108.40.206. Nematode morphological data
From the first sampling in 2009, 22 genera of nematodes, representing 17 families, were identified from all 36 plots (Table 3.3).
220.127.116.11. Total nematode abundance and nematode community structure from morphology
Total nematode abundance was affected significantly ($P < 0.001$) by P application and the sampling times, and their interaction (Table 3.4). From 3 years’ nematode data, the average of nematode abundance was 21.0 per gram soil in 2010, which was very close to 20.6 per gram soil in 2011, while was higher than nematodes in 2009 with average of 18.3 per gram soil. Nematodes were significantly more abundant in P30 treatment in 2009, with no significant differences between the other treatments. Nematode abundance differed on the samples of 2010 and 2011, with significantly more nematodes in P15 (Figure 3.7).
Table 3.3. Nematode species identified from the first sampling across all plots
| Family | Genus | Groupa | cp valueb |
|-------------------|----------------|--------------|-----------|
| Tylenchidae | Malenchus | Plant feeders| 2 |
| Hoplolaimidae | Helicotylenchus| Plant feeders| 3 |
| Paratylenchidae | Paratylenchus | Plant feeders| 2 |
| Leptonchidae | Tylenchorhynchus| Plant feeders| 3 |
| Longidoridae | Longidorus | Plant feeders| 5 |
| Tylenchidae | Filenchus | Fungal feeders| 2 |
| Aphelenchoioidae | Aphelenchoides | Fungal feeders| 2 |
| Cephalobidae | Eucephalobus | Bacterial feeders| 2 |
| Cephalobidae | Acroboloids | Bacterial feeders| 2 |
| Cephalobidae | Teratocephalus | Bacterial feeders| 2 |
| Panagrolaimidae | Panagrolaimus | Bacterial feeders| 1 |
| Rhabditidae | protorhabditis | Bacterial feeders| 1 |
| Plectidae | Anaplectus | Bacterial feeders| 2 |
| Alaimidae | Amphidelus | Bacterial feeders| 4 |
| Diploscapteridae | Diploscapter | Bacterial feeders| 1 |
| Qudsianematidae | Eudorylaimus | Omnivorous | 4 |
| Thornenematidae | Laimydorus | Omnivorous | 4 |
| Thornenematidae | Prodorylaimus | Omnivorous | 4 |
| Aporcelaimidae | Aporcelaimellus| Omnivorous | 5 |
| Tripylidae | Tripyla | Carnivorous | 3 |
| Anatonchidae | Anatonchus | Carnivorous | 4 |
a Group designation is according to Yeates et al., 1993.
b Colonist-persistor value (cp value) seee Bongers, 1990; Bongers and Bongers, 1998.
Table 3.4. Two-way ANOVA results of P treatments (T) and sampling time (S) on nematode abundance for the three year’s samples.
| | d.f. | MS | F | P |
|----------------------|------|------|------|-------|
| Treatment (T) | 5 | 68.61| 6.03 | *** |
| Sampling time (S) | 2 | 76.49| 6.72 | *** |
| T*S | 10 | 41.61| 3.66 | *** |
| Error | 90 | 11.38| | |
Factor-ratios and degree of freedom (d.f.) for principal in the AVOVA; values labelled ‘***’ were significant at $P < 0.001$.
Nematode morphological data in 2009 showed that every treatment had its own dominant species (Figure 3.8). PCA showed that P0 and P0-30 were in the same statistical group, and had more *Filenchus*, *Helicotylenchus*, *Dorylaimus*, and *Tripyla* than the other treatments. P15, P15-5 and P30 belonged to the same statistical group, with more *Anatonchus*, *Laimydorus*, and *Acroboloides*. The P30-0 treatment was a different group again which contained the dominant species *Paratylenchus*, *Diploscapter*, *Prodorylaimus*, *Malenchus*, and *Longidorus*.
Figure 3.7. Mean abundance (+SE, n = 6) of nematodes in Cowlands grassland in the three sampling time. The letters a, b, c and d came from LSD test, which compared the data from the same sampling year, and different letters meant significantly difference for the samples within the same year (P < 0.05).
Figure 3.8. Principal component analysis of the relationship between different treatments and nematode community and composition. ▲ represented nematode species identified by morphology, ■ represented six P treatments. Bars represented standard error, n = 6.
Two-way ANOVA data showed that P application had significant effects on bacterial feeders and plant-feeding nematodes (P < 0.001), while sampling time affected fungal
feeders, omnivore, and predator significantly ($P < 0.05$) (Table 3.5). Of the five main trophic groups, bacterial-feeders and plant-feeders were the most abundant in the Cowlands, averaging 38% and 34% of the community respectively, in 2009 across all plots (Table 3.6). Bacterial-feeding nematodes were a significantly greater percentage, while fungal-feeding nematodes were a significantly lower percentage in P0 and P0-30 than in the other P treatments. No significant differences were observed between P application on plant-feeding and omnivore nematodes. Also predators were scarce, 2.4% in P0, which is the highest in all plots.
For the samples in 2010 and 2011, nematodes in the P0, P15 and P30 treatments contained average of 30% and 33% of bacterial-feeders and plant-feeding nematodes, similar to the first samples (Table 3.6). P application increased significantly bacterial-feeders, while decreasing plant-feeding nematodes.
**Table 3.6.** Effects of P application on the percentage composition (%) of nematode trophic groups from morphological data.
| | Bacterial-feeders | Fungal-feeders | Plant-feeders | Omnivorous | Carnivorous |
|----------------|-------------------|----------------|---------------|------------|-------------|
| **2009** | | | | | |
| Treatment | N | Mean | SE | Mean | SE | Mean | SE | Mean | SE | Mean | SE |
| P0 | 6 | 30.91 | 1.29 | c | 17.87 | 1.56 | a | 33.52 | 2.50 | a | 15.28 | 1.42 | a | 2.42 | 0.65 | a |
| P0-30 | 6 | 35.23 | 2.24 | bc | 14.06 | 1.65 | b | 32.72 | 2.94 | a | 16.59 | 1.93 | a | 1.40 | 0.35 | ab |
| P15 | 6 | 43.31 | 2.85 | a | 8.65 | 0.87 | c | 32.78 | 2.19 | a | 14.37 | 1.51 | a | 0.88 | 0.31 | b |
| P15-5 | 6 | 41.96 | 2.96 | ab | 7.28 | 0.95 | c | 35.90 | 2.75 | a | 14.25 | 1.07 | a | 0.60 | 0.16 | b |
| P30 | 6 | 40.69 | 2.22 | ab | 9.69 | 1.01 | c | 34.36 | 3.31 | a | 13.83 | 0.98 | a | 1.43 | 0.38 | ab |
| P30-0 | 6 | 40.15 | 4.13 | ab | 8.99 | 1.15 | c | 35.11 | 1.65 | a | 15.20 | 1.64 | a | 0.55 | 0.26 | b |
| **2010** | | | | | |
| P0 | 6 | 23.86 | 1.98 | b | 17.76 | 1.09 | a | 39.61 | 1.84 | a | 18.01 | 0.73 | a | 0.77 | 0.37 | a |
| P15 | 6 | 33.57 | 2.55 | a | 21.96 | 3.07 | a | 29.52 | 2.50 | b | 13.43 | 1.65 | a | 1.52 | 0.20 | a |
| P30 | 6 | 33.40 | 3.56 | a | 20.34 | 1.70 | a | 30.75 | 3.09 | b | 14.32 | 2.59 | a | 1.19 | 0.19 | a |
| **2011** | | | | | |
| P0 | 6 | 23.64 | 1.47 | b | 14.54 | 1.25 | a | 38.56 | 0.65 | a | 20.49 | 2.45 | a | 2.76 | 0.36 | a |
| P15 | 6 | 38.06 | 3.44 | a | 12.13 | 1.99 | a | 25.31 | 2.27 | b | 22.69 | 2.43 | a | 1.81 | 0.49 | a |
| P30 | 6 | 42.26 | 4.86 | a | 10.58 | 0.95 | a | 25.18 | 3.69 | b | 19.59 | 2.31 | a | 2.38 | 0.44 | a |
The letters a, b, c and d came from LSD test, and the different letter meant significantly difference for the samples within the same year ($P < 0.05$).
### 18.104.22.168. Molecular analysis (T-RFLP) of nematode communities
Nine main nematode groups detected by T-RFLP were Rhabditida, Plectida, Aphelenchida, Tylenchidae, Dorylaimida, Longidorus, Mononchidae, Pratylenchoides, and Helicotylenchus. Similar to the morphological data, two-way ANOVA molecular data showed that P application had significant effects on bacterial feeders and plant-feeding nematodes ($P < 0.001$), while sampling time affected fungal feeders, omnivores, and predators significantly ($P < 0.001$) (Table 3.7). The molecular abundance data was
dominated by bacterial-feeders and plant-feeding nematodes (Figure 3.9). P15 had more ($P < 0.05$) bacterial feeders than the other treatments at all three sampling times, while fewer plant-feeding nematodes were detected in P15. P application did not significantly affect the other three trophic groups significantly.
**Figure 3.9.** Mean percent of nematode functional groups for the three year’s samples using T-RFLP method. The letters a, b, c and d came from LSD test, and the different letter meant significantly difference for the samples within the same year ($P < 0.05$).
T-RFLP profiles were used to assess the relationships between P treatments and nematode taxa, which came with different T-RFLP peaks (Table 3.2). PCA was performed on the composition data from three years (Figure 3.10A), showing that the P0 treatment was significantly separated from the other P application treatments. There was no clear separation of other treatments. But from T-RFLP data assessed from separated years (Figure 3.10B, C and D), it can be seen that P application and sampling time were both associated with different nematode taxa.
Figure 3.10. Principal component analysis of the relationship between different treatments and peaks, including (A) all years’ data, (B) 2009, (C) 2010, and (D) 2011. ▲ represented peaks from T-RFLP, ■ represented six P treatments (n = 6).
22.214.171.124. Comparison of nematode community composition determined by molecular technique to that determined by morphological methods
All nematode samples in 2009, and those from P0, P15 and P30 treatment in 2010 and 2011 were analyzed using morphological and molecular methods (Figure 3.11). In both methods, P15 and P30 increased the percentage of Rhabditida significantly, especially P15 in the 2009 and 2010 samples. But comparing the two data sets, there was a significantly (P < 0.05) greater percentage of Rhabditida in the T-RFLP than the morphological analysis.
For the plant-feeding Tylenchida, the percentage composition as determined by both methods did not differ significantly between P0, P15 and P30 during the three sampling times. However, the proportion from morphology was much higher than from the molecular data (Figure 3.11). The same tendency was seen with another plant-feeding nematode *Helicotylenchus*, but in this case the proportion of *Helicotylenchus* in P0 was similar to that
Dorylaimida showed few differences between the methods, indicating that the molecular and morphological methods matched most closely with Dorylaimida.
There was a lower composition of Aphelenchida (< 8%) and Mononchidae (< 6%) and differences in the composition of two methods.
The ratio of fungivore to bacterivore nematode (Fu/Ba), from all morphological data in 2009 and 2011, were significantly higher in the P0 treatment ($P < 0.05$), while because of big standard error showed in 2010, there was no significantly difference between P0, P15 and P30. From the data assessed by T-RFLP, we found that there was still the same
tendency that the Fu/Ba ratio was higher significantly in P0 treatment, but in different year, showed differences (Figure 3.12).
**Figure 3.12.** Comparing morphological and T-RFLP method on the ratio between fungal to bacterial feeders for the three sampling times. The letters a, b, c and d came from LSD test, and the different letter meant significant difference for the samples within the same year and same method ($P < 0.05$). Bar represented standard error, $n=6$.
### 3.3.3. Impact of P fertilizer on soil microbial biomass C, N and P
The two-way ANOVA (Table 3.8) showed that P application had significant effects on microbial biomass C, N and P, also affected the microbial C: N, C: P, N: P ratio ($P < 0.001$). Except microbial biomass P ($P < 0.05$), sampling time affected all the microbial indices significantly ($P < 0.001$).
Microbial biomass C was much lower in 2009 than in 2010 and 2011, and was significantly higher in the P30-0, P30 and P15 than other three treatments (Figure 3.13A). While just the P30 and P30-0 treatments had more microbial biomass C ($P < 0.05$) in 2010 and 2011, and also even higher microbial biomass C showed in P0 and P0-30 than in the treatments of P15 and P15-5 in 2010, while no differences was found in 2011 between the treatments P0, P0-30, P15 and P15-5.
Table 3.5. Two-way ANOVA results of P treatments and sampling time (S) on percent nematode functional groups assessed by morphology for the three year’s samples.
| d.f. | Bacterial-feeder | Fungal-feeders | Plant-feeders | Omnivorous | Predator |
|------------|------------------|----------------|---------------|------------|----------|
| | MS | F | P | MS | F | P | MS | F | P | MS | F | P | MS | F | P |
| Treatment (T) | 2 | 926 | 16 | *** | 49 | 3 | *** | 345 | 9 | *** | 25 | 1 | 2 | 2 |
| Sampling time (S) | 2 | 291 | 5 | * | 363 | 23 | *** | 84 | 2 | | 222 | 10 | *** | 6 | 6 | ** |
| T*S | 4 | 44 | 1 | | 78 | 5 | ** | 98 | 2 | | 15 | 1 | 2 | 2 |
| Error | 45 | 59 | | | 16 | | | 40 | | | 22 | | 1 |
F-ratios and degree of freedom (d.f.) for principal factors in the AVOVA; values labelled with ‘*’, ‘**’ and ‘***’ were significant at $P < 0.05$, $P < 0.01$ and $P < 0.001$, respectively.
Table 3.7. Two-way ANOVA results of P treatments (T) and sampling time (S) on percent nematode functional groups assessed by T-RFLP for the three year’s samples.
| d.f. | Bacterial-feeder | Fungal-feeders | Plant-feeders | Omnivorous | Predator |
|------------|------------------|----------------|---------------|------------|----------|
| | MS | F | P | MS | F | P | MS | F | P | MS | F | P | MS | F | P |
| Treatment (T) | 5 | 1695 | 15 | *** | 11 | 1 | 905 | 18 | *** | 127 | 3 | * | 30 | 1 |
| Sampling (S) | 2 | 511 | 4 | * | 91 | 9 | *** | 258 | 5 | * | 778 | 16 | *** | 399 | 19 | *** |
| T*S | 10 | 241 | 2 | * | 12 | 1 | 92 | 2 | | 59 | 1 | | 17 | 1 |
| Error | 90 | 114 | | | 10 | | | 51 | | | 48 | | 21 |
F-ratios and degree of freedom (d.f.) for principal factors in the AVOVA; values labelled with ‘*’, ‘**’ and ‘***’ were significant at $P < 0.05$, $P < 0.01$ and $P < 0.001$, respectively.
Table 3.8. Two-way ANOVA results of P treatments (T) and sampling time (S) on soil microbial biomass C, N, P and microbial C:N, C:P and N:P ratio for the three year’s samples.
| d.f. | Microbial biomass C | Microbial biomass N | Microbial biomass P | Microbial C:N ratio | Microbial C:P ratio | Microbial N:P ratio |
|------------|---------------------|---------------------|---------------------|---------------------|---------------------|---------------------|
| | MS | F | P | MS | F | P | MS | F | P | MS | F | P | MS | F | P |
| Treatment (T) | 5 | 1151651 | 16 | *** | 16179 | 28 | *** | 905 | 18 | *** | 10 | 11 | *** | 852 | 7 | *** | 7 | 11 | *** |
| Sampling time (S) | 2 | 8668237 | 122 | *** | 17227 | 30 | *** | 258 | 5 | * | 320 | 366 | *** | 47448 | 387 | *** | 354 | 519 | *** |
| T*S | 10 | 172114 | 2 | * | 877 | 2 | | 92 | 2 | | 3 | 4 | *** | 1014 | 8 | *** | 9 | 13 | *** |
| Error | 90 | 70832 | | | 575 | | | 51 | | | 1 | | 123 | | 1 |
F-ratios and degree of freedom (d.f.) for principal factors in the AVOVA; values labelled with ‘*’, ‘**’ and ‘***’ were significant at $P < 0.05$, $P < 0.01$ and $P < 0.001$, respectively.
Figure 3.13. The effects of P fertilizer on microbial biomass C (A), N (B) and P (C). Means (+SE) based on n = 6, and the letters a, b, c and d came from LSD test, and the different letter meant significant difference for the samples within the same year ($P < 0.05$).
Reverse to microbial biomass C, microbial biomass N was higher in 2009 than in 2010 and 2011, and also except the P15-5 treatment in 2010 was no difference, P application increased significantly microbial biomass N in three years’ soil samples ($P < 0.05$, Figure 3.13B).
Microbial biomass P showed differences on 3 years’ samples. In 2009, P application increased
significantly microbial biomass P ($P < 0.05$). In 2010, only the P30 was significant higher than other treatments, and also in 2011 only the P30 and P30-0 were significant higher than other treatments (Figure 3.13C), indicating seasonal changes on microbial biomass P.
Soil microbial C: N, C: P, N: P ratio also showed differences across sampling times (Figure 3.14). Microbial C:N ratios covered a low and narrow range (6.0-7.1) in 2009, as same tendency as in 2011 with the range (9.1-12.0), and only the P0 treatment was significantly higher than P15-5 ($P < 0.05$). While microbial C:N ratios ranged from 10.7 in P15 to 14.9 in P0 with the samples in 2010, and decreased significantly all P treatments.
The microbial N: P ratios in 2009 ranged from 1.7 in P30 to 2.4 in P0, and were significantly higher in P0 and P15-5 than P30 and P30-0. While in 2010, the microbial N: P ratios ranged from 1.7 in P30-0 to 1.0 in P30, meaning differences on the sampling time. But no differences were found in 2011.
**Figure 3.14.** The effects of P fertilizer on microbial C: N ratio (A), C: P (B) and N: P (C). Means (+SE) based on n=6, and the letters a, b, c and d came from LSD test, and the different letter meant significant difference for the samples within the same year ($P<0.05$).
### 3.3.4. Impact of P fertilizer on bacterial biomass
Soil DNA analysis was included in this study because of its potential to provide information on soil biology that is not available using traditional technique. Two year’s soil bacterial DNA was tested using the samples from 2010 and 2011. Of the soil DNA samples in 2010, the P0-30 treatment had a significantly greater bacterial biomass than P0 and other P treatments. While in 2011, P0 and P15-5 were significantly greater than the P30 and P30-0 treatments (Figure 3.15).
Figure 3.15. The effects of P fertilizer on soil bacterial biomass assessed by quantitative real-time PCR. The letters a, b, c and d came from LSD test, and the different letter meant significant difference for the samples within the same year ($P < 0.05$). Bars represented standard error, $n = 6$.
3.3.5. Impact of P fertilizer on PLFA profiles
The total amount of PLFAs is an indicator of the mass of microbial cell membranes, a measure of total microbial biomass. The abundances of total PLFAs from the samples of 2011 were similar, just significantly higher in P30-0 comparing to P0, while were greater in all P treatments than P0 for the samples of 2010 (Figure 3.16A).
P application increased bacterial biomass, while decreased fungal biomass from the PLFA data (Figure 3.16C), which was very similar to nematode community. In addition, the ratio from fungal/bacterial biomass affirmed that P fertilizer favoured the bacterial pathway in soil decomposition processes (Figure 3.16D).
Principal components analysis showed that P application did significantly influence PLFA profiles (Figure 3.17A, and B), and that there were differences between the two samples in 2010 and 2011. P0 plots were significantly different from each other for the 2011’s samples, and no obvious functional groups were close to any treatment. While P0 and P0-30 were different to other P treatments in 2011, and also they had positive relationships with fungal groups 18:2ω6c, 18:1ω9c and 18:1ω9t.
Figure 3.16. The effects of P fertilizer on PLFAs. (A) Total PFLAs from the soil in 2010 (■) and 2011(□); (B) Total bacterial biomass from PLFAs; (C) Total fungal biomass from PLFAs; (D) the ratio of fungal to bacterial biomass. The letters a, b, c and d came from LSD test, and the different letter meant significant difference for the samples within the same year ($P < 0.05$). Bars represented standard error, $n = 6$.
Figure 3.17. PCA plot of PLFA profiles from the sampling in 2010 (A) and 2011 (B) in relation to different P application treatments. ▲ represented PLFA profiles, ■ represented treatment. Bars represented standard error, n = 6.
3.4. Discussion and conclusion
3.4.1. Comparison among soil nutrients in different P treatments
Total soil P and soil inorganic P (Morgan’s P) both have strong linear relationships with the total quantity of P applied, indicating substantial accumulation of inorganic P in the soil. In 1968, the mean soil phosphorus level was 6 g kg\(^{-1}\) of soil, over the entire site (Culleton, 2002). The P treatments had a dramatic influence on soil P status. Where no P (P0) was applied, soil P levels had dropped to 2.6 g kg\(^{-1}\). On the other hand, when 15 and 30 kg P/ha was applied, soil P levels rose to 7.6 and 18.6 g kg\(^{-1}\). Much of the applied fertiliser P has remained in the soil.
If we look at the labile nutrients in the soil, the P0 plots had very low levels of labile P, and relative high levels of labile C and N (Figure 3.6), suggesting P limitation was greater than N limitation, which may be due to the equal amount of N fertilizer applied to all the plots.
It is well known that soil pH plays a vital role in P solubility and absorption processes (Havlin et al., 2005). Nevertheless P dynamics in soil are a complex function of soil chemical composition, particularly of the amount and reactivity of clay minerals, CaCO\(_3\), and Fe oxides, and of the size, timing, and duration of P additions (Afif et al., 1993). A major physico-chemical control of P availability in soil is pH. Even small pH changes strongly affect P concentrations in soil solution and thus plant uptake. P application increased pH significantly, but not significantly so for the treatment P0-30, which indicates that the change in pH is a longer-term processes requiring more than 10 years application to cause a significant increase. Treatments P15 and P15-5 belonged to the same statistical group (Figure 3.5). One reason may be that both treatments received the same amount of P fertilizer for first 30 years and after that, the treatment which P application reduced from 15 to 5 kg P ha\(^{-1}\) yr\(^{-1}\) was relatively small. On the other hand, another two groups, P0 and P0-30, P30 and P30-0 showed significant differences for the data analysis on total P, Morgan’s Mg, while no significant differences on Morgan’s P, pH and LR value. The main reason was that P application hugely increased from 0 to 30 kg ha\(^{-1}\) yr\(^{-1}\) and decreased hugely from 30 to 0 kg ha\(^{-1}\) yr\(^{-1}\).
Generally, adsorption of phosphate decreases as pH is raised from 5.5 to 6.5, as this reduces the concentrations of soluble and exchangeable Fe and Al ions which could react with fertilizer phosphate to form the sparingly soluble Fe and Al phosphates (Haynes, 1982). Furthermore, liming can increase phosphate availability by stimulating mineralization of soil organic P. At high soil pH values, liming increases phosphate fixation by precipitation of relatively insoluble Ca phosphates and accordingly phosphate availability decreases (Sample et al., 1980). In Ireland, the pH values of grassland soils are commonly lower than 6.5, which is not considered ideal for grass growth. Therefore lime is applied to maintain the soil pH
value. The lower the pH value, the more lime should be applied in the field. In the experimental plots, a significantly negative correction between pH and LR was found, which means that P application not just changed soil acidity, but also soil acidity influenced a number of important aspects of soil fertility including phosphorus availability, and LR value.
3.4.2. The effects of P fertilizer on nematode community structure
In grasslands, the key management variables that strongly influence the soil physical and chemical properties are fertiliser application (organic and inorganic) and the activities of grazing ruminant livestock (Bardgett and Cook, 1998). It is widely reported that application of organic manures and mineral fertilizer applications impact the diversity and abundance of nematode trophic groups (Neher, 1999; Yeates et al., 1999; de Goede et al., 2003; Forge et al., 2005), especially organic fertilizers which increased nematode numbers due to increased substrate availability, plant growth, and altered soil conditions (Griffiths and Bardgett, 2000). Bardgett and Cook (1998) mentioned that in temperate agricultural grassland, nematode populations are dominated by plant-feeders and bacterial-feeders, which matches the results found in the Cowlands soils. Omnivorous and fungal-feeders were a similar, though smaller proportion of the total nematode population and predators were the least abundant. P application increased nematode abundance, especially increasing bacterial-feeding nematodes, indicating a shift from fungal to bacterial dominated soil decomposition, which were proved from the F/B ratio in 2009 and 2011, but not in 2010. The ratio of fungal- to bacterial-feeding nematodes has been proposed and used as an indicator of decomposition pathways (Freckman and Ettema 1993, Todd, 1996). Wardle (2002) found at a non-fertilized site, the proportion of fungal-feeding nematodes to bacterial plus fungal feeders was 44%, and possibly the fungal channel was more active than bacterial channel, which was similar to our results. Intensively managed grasslands (P15 and P30) appear to correspond to the ‘fast cycle’ dominated by labile substrates and bacteria, while less productive grasslands related to the ‘slow cycle’ dominated by more resistant substrates and fungi (P0).
On the other hand, in Cowlands, although the stocking rate was the same (Cattle stocking rate 3300 Kg ha\(^{-1}\)), the animals grazed the different treatments for different times. So, P30 plots had plenty of grass so the cattle graze longer than the P0. Different above-ground grazing is known to affect soil biota through, for example, the consumption of phytomass (Bardgett and Wardle, 2003), microclimatic changes of soil temperature and moisture (Merrill et al., 1994), deposition of dung (Bardgett et al., 1998), and soil compaction (Petersen et al., 2004). In the present plots, application of P and different grazing presumably changed the above-ground
plant diversity and even plant biomass (Figure 3.18, King-Salter, 2009), which might also affect nematode abundance and community structure. Plant species are also known to influence microbial and microfaunal diversity of the rhizosphere, and microbial biomass have been shown to be affected by temporal changes in the productivity of different grass species (Bardgett et al., 1999).
**Figure 3.18.** PCA plot of plant vegetation cover under different P treatment.
### 3.4.3. Comparison of molecular and morphological methods on nematode composition analysis
Nematode taxonomy has traditionally been based on morphological identification. Now under the development of molecular methods on soil microorganisms, the molecular approaches have employed as an alternative to morphological identification of soil nematode community (Floyd et al., 2002; Waite et al., 2003; Griffiths et al., 2006; Jones et al., 2006b; Okada and Oba, 2008). Advantages of molecular methods have been discussed previously in Chapter 2, but it is essential that the two methods are comparable with each other to explain the role of nematodes in soil biological processes.
There might be some reasons why big differences exist between nematode taxa, especially in the Rhabditida, *Helicotylenchus*, and Tylenchida, determined by the two methods. First, the analytical result obtained by the morphological method may not always reflect the ‘true’ community in question because in this case, just 100 individuals per sample, out of a total of approximately 1000 individuals, were examined due to the laborious work for morphological identification. Second, DNA extraction and PCR amplification might work with different
efficiencies for different nematode species; for examples here, Rhabditida, which are very susceptible to bead beating used in the extraction, might give more DNA compared to bigger nematodes such as Dorylaimida. Third, there are still some questions about whether the quantification of nematode types by T-RFLP is dependent on the amount of nematode DNA and thus the total volume (biomass) of each type, rather than the numerical abundance of each type. This latter point is the subject of Chapter 5.
3.4.4. The effects of P fertilizer on soil microbial biomass and microbial C, N and P ratios
In general, microbial C pools are not only related to the below-ground resource base (i.e. bottom-up control), but also to predators such as soil nematodes that consume them (i.e. top-down control) (Wardle et al., 2002). For example, the pools of bacterial-feeding nematodes at our P plots were greater than those in no P treatments, possibly indicating more bacterial turnover and activity, and also appreciable grazing on the microbial biomass at those plots. In contrast, the No-P plots had the lowest number of bacterial-feeding nematodes. This would indicate a low turnover rate of microbial biomass at P0 plots, and consistent with its low soil net N mineralization. In the Cowlands experiment, the results showed P application increased soil microbial biomass C, N and P, especially in the higher P treatment (P30 and P30-0) during long-term fertilization. Over a period covering more than 50 years, the soil fertility had been improved for livestock production. This improved fertility has resulted from continued application of fertilizers and the introduction of high producing grasses and legumes. Analyses of microbial communities in plant diversity experiments indicate that fungal biomass in particular increases with plant diversity (Zak et al., 2003; Chung et al., 2007), pointing to increasing importance of the fungal energy channel in species-rich plant assemblages (Figure 3.18), which matched F:B ratio increase in the P0 (Figure 3.14).
Decomposition of organic matter may proceed through different channels in the soil food web. At one extreme, materials of high cellulose and lignin content and high C: N ratio are decomposed through fungal-dominated pathways; at the other extreme, moist, N-rich tissues are decomposed through bacterial-dominated pathways (Wardle and Yeates, 1993). In natural systems, a high C: N ratio of the organic material in soil may be necessary for long-term sustained production. In this case, decomposition channels tend to be fungal-mediated. Nematode faunal analysis is readily applied to such higher resolution food web diagnostics (Ferris et al., 2001). The molar C: N ratios in soil microbial biomass averaged 8.6 ± 0.3 and ranged from 3 to 24, and molar N: P ratios averaged 6.9 ± 0.4, ranging from 1 to 55 (Cleveland and Liptzin, 2007). Higher C: N ratios in microbial biomass suggest relatively
high C: N ratios in fungal biomass, indicating higher fungal biomass in total microbial biomass. In the Cowlands, the microbial molar C: N ratios average 12.7±1.1, being significantly higher in P0 (14.0±0.5) than P treatments (12.2±0.8), indicating that in P0, more fungal biomass without P fertilization. Much higher than average soil microbial N: P ratios suggest P demand in the soils. But in our Cowlands, the microbial N: P ratios were very lower than the average, and in a narrow range (4.2±0.7), indicating that soil microbial biomass assimilates N and P in those proportions when these nutrients are moderately available. This situation could arise on farms that if no P was applied to soils, the microbial biomass probably has a P limitation, and therefore immobilizes and competes with plant for labile P (Saggar et al., 1998; 2000).
3.4.5. The effects of P fertilizer on soil microbial community structure
Because of the limitations of traditional culture-dependent methods to characterize most of the microorganisms (Scully et al., 2005), the culture independent method of real-time PCR was used to detect bacterial 16S rRNA gene (rDNA) and PLFA analysis for bacteria and fungi. From the nematode and PFLA data, the implication was that P application increased bacterial biomass. Actually from the bacterial DNA data, it is evident that bacterial biomass was significantly higher in P0-30 in 2010, and significantly higher in P0 and P15-5 compared to P30-0, indicating that from bacteria direct data that P application didn’t increasing bacterial biomass, the reason is easily understood. In P0 and P0-30 treatments, lower abundances of bacterial-feeders means less bacteria consumption by bacterial-feeding nematodes. Microbial feeding nematodes are known to be the most important grazers of the microflora in terrestrial ecosystems (Ingham et al., 1985; 1986), concomitant with an increase in microbial turnover in the presence of microfauna grazing on microflora which may result in a decrease in bacterial numbers (Bonkowski et al., 2000).
Griffiths (1994) discussed the importance of soil fauna in N mineralization, approximately 30% of total net nitrogen mineralization was due to the direct effects of soil fauna. de Ruiter et al. (1993) had modeled the possible indirect effects of fauna by deleting particular faunal groups from their food web model, and calculating the subsequent effects on N mineralization. They showed that bacterial-feeding nematodes could potentially account for up to 10% of total net nitrogen mineralization. So the soil available C and N in P0 were higher than P treatments, especially P30 and P30-0 treatments, possibly because of the contribution from bacterial-feeding nematodes in P0 treatment.
PLFA method was used for the analysis of the biomass and structure of microbial
communities in the soils. There are two approaches to analyzing PLFA data. One relies on using the whole PLFA pattern, filtered through a multivariate statistical technique, and gets the changes in the community due to different treatments. Another approach involves trying to elucidate the effects on specific groups of microorganisms (Frostegård et al., 2011). In this study, different P fertilizer application significantly influenced PLFA profiles.
There were significant unidirectional changes across the long-term P fertilization for both the microbial community (assessed by microbial biomass and PLFA) and the nematode community. The most significant compositional changes observed were the relative importance of the fungal to bacterial energy channels of the soil food web. Across the P fertilization, there were substantial decreases in both the fungal to bacterial ratio (Figure 3.14D, PLFA data), and the fungal feeding to bacterial feeding nematode ratio (Figure 3.10). This indicates that as P fertilization managed grasslands and nutrient becoming richer, bacterial metabolism become increasingly favoured relative to fungal metabolism. The increasing role of the bacterial-based energy channel with increasing nutrient contribute to faster rates of mineralisation, the higher productivity, and at the same time, maybe cause some environmental problems, such as greenhouse gas emissions, and water pollution.
3.4.6. Conclusion
In the 1950’s when soil P levels were low, animal productivity and health were serious national concerns. During the last 50 years Irish agriculture benefited greatly from the continuous use of fertiliser. As soil P levels rose, production increased steadily. Agronomically, a valuable capital asset was created in the form of a large pool of soil phosphorus. However, it becomes apparent that the large inputs of P fertiliser and the increasing soil P status contributed to increased loss of P to water (Tunney, 1990).
The shifts in many of the variables in this study from ‘time 0’ to the first 30 years of P fertilization, and then another 10 to 12 years’ changes demonstrate that to effectively evaluate the effects of long-term P application on soil ecosystem function, it is essential to assess their effects when the agricultural ecosystem has attained different degree of equilibrium.
In grasslands, therefore, a shift from fungal to bacterial pathway happened in more intensively managed systems which were possibly related to the deterioration of ecosystem complexity following continuous P application. On the other hand, soil ecosystems contain many specific interactions at different spatial and temporal scales with food webs. Studies of soil food web complexity in grassland system have been conducted in relation to systems stability and nutrient cycling. In addition, above-ground plant diversity and grazing have strong effect on
the soil ecosystems, which we have not been mentioned in the Cowlands experiment.
Chapter 4. Responses of grassland soil nematodes to applications of cattle slurry and N fertilizer
4.1. Introduction
Nitrogen is an essential element for plant growth, and is often the key limiting nutrient in grassland soil systems (Haynes and Williams, 1993; Moir, 2007). Dairy cattle manure and slurry are a potentially important source of nitrogen (N), as well as phosphorus (P), potassium (K) and other nutrients, and can replace or supplement the use of chemical fertilizers in crop production (Bittman et al., 1999). Slurry provides a rich source of labile inorganic nutrients, and increases microbial activity and the growth of soil organisms (Bardgett et al., 1998; Wardle et al., 2004). In addition to major plant nutrients, manures contain an array of organic compounds such as carbohydrates, fatty acids and peptides that are substrates for growth of heterotrophic soil microorganisms (Paul and Beauchamp, 1989), whereas chemical fertilizer does not (Bittman et al., 2005). Although in more intensively managed pastures inorganic nutrients provide an increase in bacterial biomass in the short term, the physical increase in organic matter resulting from manure and urine deposition contribute to an overall increase in soil fungal biomass over the long term (de Vries et al., 2007).
Fertilization with inorganic and organic fertilizer is common in grassland management, especially when initial levels of soil organic matter are low, so soil organic matter content and soil biological activity can be enhanced through inorganic as well as organic fertilizers (van Eekeren et al., 2009). Inorganic N fertilizers (containing only mineral N) feed the plant and soil microorganisms directly and the entire soil biota both directly and indirectly by increased root biomass and exudates and plant litter and through increased microbial biomass. However, inorganic N fertilizers involve high fossil energy consumption and N is relatively easily lost from the soil by nitrate leaching and denitrification (van Eekeren et al., 2009). Organic fertilizers (20–50% mineral N) on the other hand, such as cattle manure and leguminous green manure, rely upon microbial degradation and mineralization of organic matter, to supply nutrients for subsequent crop use (Bolton et al., 1985), and feed the soil biota directly and the crop both directly (inorganic constituents) and indirectly following mineralization of organic constituents (Sonneveld and Bouma, 2003; Reijis et al., 2007). When more N is organic and mineralized slowly, the risk of leaching is reduced as long as an actively growing crop is present that can take up the nutrients supplied. Nitrogen is mineralized by predators of bacteria and fungi, such as protozoa and microbivorous nematodes. Excess nitrogen generated
by microbial grazing is released to the soil and becomes available for plant uptake. Additions of organic matter to soil are, therefore, expected to increase numbers of bacteriovorous and fungivorous nematodes and decrease numbers of plant-parasitic nematodes (Griffiths et al., 1994).
Many previous studies have shown that even single applications of dairy manure under pasture would increase soil microbial biomass (Barkle et al., 2001; Stenger et al., 2001), whereas some research work showed that application of inorganic fertilizer generally does not increase soil microbial biomass (Biederbeck et al., 1996; Hopkins and Shiel, 1996). Better knowledge of factors affecting turnover of the microbial biomass would improve current understanding of nutrient fluxes in manure-treated soil.
The soil micro-fauna, i.e. protozoa and nematodes, are important consumers of the microbial biomass (Hunt et al., 1987; Forge et al., 2003) and are therefore indicative of microbial turnover and fluxes of nutrients through the soil food web. Soil fauna affects the mineralization of nutrients from soil organic matter. Their contribution to N mineralization has been estimated at about 30% for a range of natural ecosystems and agro-ecosystems (Verhoef and Brussaard, 1990). Soil micro-fauna, such as nematodes, occupy several key functional groups in the soil food web, and consequently nematode community structure is responsive to changes to both the basal soil food resources as well as soil physico-chemical conditions (Ferris et al., 2001). Most nematode indices have previously provided insight into the dynamics of the nematode community in the relation to the comparison of agricultural systems. Nematode excretion may contribute, at certain times, up to 27% of soluble nitrogen (Ekschmitt et al., 1999).
The abundance of microbivorous nematodes and some indices of nematode community structure have been correlated with net N mineralization or potentially mineralizable N across sites or fertility treatments in field studies (Forge and Simard, 2001; Ferris and Matute, 2003). Opperman et al. (1993) correlated bacteriovorous nematode population growth with soil nitrate levels after the application of cattle slurry to soil. Whereas Griffiths et al. (1998) related differences between cattle and pig slurries, in terms of dissolved organic carbon content and potential for denitrification, to differential population growth of bacteriovorous nematodes and protozoa.
Most studies focused on 'disturbed' soil. After disturbance, microbivorous nematodes (bacterivores and fungivores, called ‘colonizers’) with high reproduction rates and short life cycles, are thought to respond rapidly to high nutrient availability. Omnivorous and predatory nematodes (called ‘persisters’), with low reproduction rates and longer life cycles, are
believed to be more sensitive to soil disturbance (Bongers, 1990). Any soil disturbance can affect nematode trophic structure and total abundance. In agroecosystems, tillage is the major disturbance to soil and it causes the redistribution of plant residue and soil organic matter, subsequently changing microbial structure and nematode trophic structure. For examples, Fu et al. (2000) monitored the response of different trophic groups of soil nematodes to residue decomposition in conventional tillage (CT) and no-till (NT) regimes, which were two sources of soil disturbances in their experiment treatments: application of crop residue (resource enrichment) and plowing (physical disturbance). They found that bacterivorous nematodes responded much earlier and faster to residue application than fungivorous nematodes, and fungivore numbers started increasing 1 month after residue application at both layers in CT and at the surface layer, but not in the deep layer of the NT treatment. Dmowska and Kozlowska (1988) also pointed out that plowing on arable land stimulated mineralization and resulted in increase of nematode numbers and dominance of the opportunistic taxa. Yeates and King (1997), who compared intensively managed grasslands with adjacent sites on the same parent material, which had been managed under organic prescriptions for several years, found that nematode populations were larger in the organically managed grassland systems and fungal-feeders were twice as abundant as in conventionally managed soils. Coleman et al. (1983) concluded that intensively managed grasslands appear to correspond to the ‘fast cycle’ dominated by labile substrates and bacteria, while less productive, organically fertilized grasslands relate to the ‘slow cycle’ dominated by more resistant substrates and fungi.
The effective and efficient use of livestock manures as sources of nutrients is an important component of sustainable crop production system. In Atlantic Europe, particularly in Ireland, North of France and the UK, ruminant livestock production is based on grazing of grass *in situ*. The seasonal variation in growth rates usually results in a requirement for animals to be housed during periods of low grass growth during which time the animal diet is based on conserved grass forages that have been harvested and stored during high growth periods. Developments in grazing management technologies are increasing the length of the grazing season, thereby reducing the housed period. Seasonal sampling therefore in this study may increase understanding of soil processes in grassland management.
In Chapter 3, differences were observed between the morphological identification and T-RFLP analysis on nematode community structure. To determine if the nematode DNA dilutions (1: 10 dilution used in chapter 4) affect the PCR products and the final T-RFLP results, two series of nematode DNA dilution (1: 10 and 1: 100) will be compared in this chapter.
The hypothesis here is that nematode abundance would be stimulated more by organic than inorganic fertilizers, thus the objective of this experiment is to (1) compare the effects of an inorganic N fertilizer and cattle slurry on soil nematode abundance and community structure, particularly over time; (2) identify nematode taxa stimulated by different resources of fertilization, using the terminal restriction fragment length polymorphism (T-RFLP) technique developed earlier to characterise the nematode community structure; (3) explore the links between below-ground nematode community and N-cycling from the herbage dry matter production and N uptake, in order to understand soil microbiological status and nitrogen flux.
4.2. Materials and methods
4.2.1. Site and experimental setup
The experimental sites were located at Johnstown Castle, County Wexford (52°18’; 6°30’W) (JC), Ireland. The field plots sampled in this study were part of a multifaceted study of the effects of the nitrification inhibitor dicyandiamide (DCD) mixed with cattle slurry on herbage dry matter production and N uptake (Cahalan et al., 2011). The study applied dairy cattle slurry and N fertilizer to grassland at variable rates and frequencies from 2008 - 2011. The sward at each site was predominately perennial ryegrass (*Lolium perenne*) and has been used for silage production. White clover (*Trifolium repens*) and broad-leaved docks (*Rumex obtusifolius*) were removed from the swards using MCPA AMINE 500 herbicide (Nufarm, UK Limited) at the start of the experiment.
The experiment consisted of a randomized complete block design (Figure 4.1). Soil physical and chemical properties are presented in Table 4.1. The total area of the site was divided into six paddocks (blocks), each approximately 10 m$^2$. Plot sizes were 5m $\times$ 2m, with an additional 0.5 m discard area around each plot to prevent edge effects. A basal dressing of P and K as 0-7-30 (N-P-K) compound fertilizer at 250 kg ha$^{-1}$, i.e. in excess of plant requirements, was applied in autumn 2007 (i.e. the year before the experiment began) to ensure any herbage response would be solely due to the addition of N fertilizer. Cattle slurry was applied at the rate of 33 m$^3$ ha$^{-1}$ in March, June or October of each year. These are common application dates and a typical application rate for slurry in Ireland. October and March are either side of the closed period for slurry applications and in June it is common practise to apply cattle slurry onto grass stubble after the first cut silage has been removed. Separate plots were used for the March, June and October slurry treatments rather than reusing each plot after 4 months to avoid variability due to mineralization of the organic N fraction of the slurry from the previous slurry application.
The 5 treatments sampled in this study were: 1) Control, no fertilizer or slurry application (CON); 2) Fertilizer, 40 kg N ha\(^{-1}\) (Fer40); 3) Fertilizer, 120 Kg N Ha\(^{-1}\) (Fer120); 4) Cattle slurry (CS), and 5) Cattle slurry applied only in October (Oct CS). Fertilizer (Fer40, Fer120) and cattle slurry (CS) were applied to the plots in March, June and October of 2010 and next February of 2011, while Oct CS was only applied in October in 2010. Cattle slurry was applied manually using modified watering cans to simulate splash plate spreading.
**Table 4.1.** Soil chemical and physical properties in the study site.
| Property Unit | Sand % | Silt % | Clay % | N % | C % | C/N ratio | pH |
|---------------|--------|--------|--------|-----|-----|-----------|----|
| | 47.2 | 37.7 | 15.1 | 0.27| 3.1 | 11.3 | 6.3|
### 4.2.2. Slurry analysis
Slurry NH\(_4^+\)-N contents were determined by extracting each slurry liquid sample with 0.1 \(M\) HCl acid and diluted to 1:10 in 250 ml flask, shaking thoroughly by hand hardly for 3 min to make sure the suspension was well-disturbed. Then the filtered suspension was followed by analysis on an Aquakem 600 discrete analyser (Thermo Electron OY, Vantaa, Finland).
### 4.2.3. Herbage yields and N uptake analysis
Herbage was harvested 4 months (cut 1, from 3\(^{rd}\) March to 30\(^{th}\) June 2010) after treatment applications in March and June allowing sufficient time for uptake of nutrients applied in the slurry. A residual harvest (cut 2, 2\(^{nd}\) Oct. 2010) was taken from each plot 3 months after cut 1 to take into account N becoming available from the organic fraction of the slurry. A final herbage sample was taken at the end of the experiment (Cut 3, 15\(^{th}\) of March 2011), the herbage harvest dates are detailed in Table 3.2. Harvesting was carried out using a Haldrup plot harvester with a cutting width of 1.5 m. A central strip was cut through each plot ruling out the influence of edge effects. The fresh weight of the harvested herbage from each plot was recorded and sub-samples (\(c.\) 100 g) of herbage were taken for herbage dry matter (DM) determination for each individual plot. Each herbage sample was dried at 40°C for at least 16h before being milled to 2mm. Chemical analysis was then carried out on the milled samples for % N by a LECO-FP 200 combustion analyser and P, K, S, Mg, Ca and Na were determined using a nitric/perchloric acid microwave digestion followed by ICP analysis using a Varian Liberty ICP spectrometer. Here only herbage from Cut 1 was used for P, K, S, Mg, Ca and Na analysis, to know the basic grass nutrient conditions.
Nitrogen uptake was calculated by multiplying the N concentration in the herbage by the DM
yield and expressed as g N uptake per plot. Herbage growth rates were calculated by dividing the herbage mass after cutting by the number of days between harvest and treatment application.
Figure 4.1. The detailed information on the N fertilizer and cattle slurry application plots in Johnstown Castle, Wexford sampled in this experiment. Treatments are listed as described in Section 4.2.1. Blank plots contain treatments not sampled for nematodes.
4.2.4. Soil sampling and nematode extraction
In the early spring of 2010 (Feb.), soil samples were taken from the 5 treatments before N fertilizer and cattle slurry application, then one week and one month after N fertilizer and cattle slurry application in spring, summer, autumn of 2010 and early spring 2011 (Table 4.2). Twenty cores in a stratified random design were taken using an auger to a depth of 10cm from each plot and mixed together. Prior to nematode extraction, all soil samples were stored at 4°C. The moisture content of fresh soil was determined by oven drying at 105°C for 12 h. Soil samples for nutrient analysis were oven-dried at 40°C for 24 h.
4.2.5. Nematode DNA extraction, DNA dilution, PCR amplification and digestion
Nematode DNA extraction, PCR amplification and dilution are described in Section 3.2.4. Considering Fer40 and Fer120 were both N fertilizer treatments, the Fer120 treatment was chosen to represent the N application treatment. Nematode samples, analyzed with T-RFLP, were collected from four treatments CON, Fer120, CS and Oct CS.
To determine the amount of DNA necessary in the digestion to allow detection of soil nematode types with the T-RFLP method, two DNA dilution series were made to 1: 10 and 1: 100 from the samples in Autumn 2010. After comparison, the 1: 10 dilution was selected for T-RFLP assessment of extracted nematode DNA.
Table 4.2. Dates for N fertilizer and slurry application, grass cut and soil sampling.
| Sample date | Operation | Sampling |
|-------------|-----------|----------|
| | fertilizer and slurry | cut | |
| 10-Feb-10 | | | ✓ |
| 03-Mar-10 | ✓ | | |
| 10-Mar-10 | | | ✓ |
| 14-Apr-10 | | | ✓ |
| 30-Jun-10 | | ✓ | |
| 05-Jul-10 | ✓ | | |
| 12-Jul-10 | | | ✓ |
| 10-Aug-10 | | | ✓ |
| 02-Oct-10 | | | ✓ |
| 03-Oct-10 | ✓ | | |
| 10-Oct-10 | | | ✓ |
| 18-Dec-10 | | | ✓ |
| 02-Feb-10 | | | ✓ |
| 08-Feb-10 | ✓ | | |
| 15-Feb-11 | | | ✓ |
| 08-Mar-11 | | | ✓ |
| 15-Mar-11 | | | ✓ |
4.2.6. Molecular identification of nematode taxa
Nematode community data analyzed from T-RFLP peaks were assigned to the following trophic groups characterized by feeding habits: bacterial feeders (Ba), fungal feeders (Fu), plant-feeders (Pl), omnivores (Om) and predators (Pr) (Donn, 2008), as detailed in Table 3.2.
4.2.7. Statistical analysis
All soil and herbage results were expressed on the basis of the oven-dry weight. Data is shown as means (n = 6) and standard errors (SE) of the measured variables. The significant difference among the fertilization treatments at each sampling time was tested by one-way ANOVA followed by the Fisher’s least significant difference (LSD) test. In addition, two-way ANOVA was used to analyze the treatment effect, sampling effect and their interaction on herbage yield, N uptake, soil nematode abundance, and nematode community analysis. Principal components analysis (PCA) was performed to explore the nematode community in relation to N fertilizer and cattle slurry manure management. All statistical analysis was done using the Statistica software package (StatSoft Inc., Tulsa, OK, USA).
4.3. Results
4.3.1. Cattle slurry and N fertilizer application
The N applied to each plot from Fer40 and Fer120 were 20 g and 60 g for every application, while the N from cattle slurry was around 16.5 g (Table 4.3). The total N applied to the plots was 240 g N for Fer120, 80 g for Fer40 66.2 g, CS, 17.1 g N in total Oct CS treatment.
Table 4.3. The information from slurry analysis applied into the plots. DM means slurry dry matter, and TN means slurry total nitrogen content.
| Date | DM % | pH | NH₄⁺-N mg/kg | Slurry TN % | Total N applied to plots g |
|----------|------|------|--------------|-------------|---------------------------|
| Mar-2011 | 7.56 | - | 1554 | 0.25 | 16.2 |
| Jun-2011 | 7.12 | 7.97 | 775 | 0.25 | 15.8 |
| Oct- 2011| 5.7 | 7.36 | 1711 | 0.31 | 17.1 |
| Feb-2012 | 6.04 | 7.13 | 1537 | 0.31 | 17.1 |
4.3.2. Effects of N fertilizer and cattle slurry on herbage yields and herbage N uptake
The two-way ANOVA data (Table 4.4) showed that both fertilizer application and sampling time had significant effects on herbage DM yield and N uptake ($P < 0.001$), and also their interaction had a significant effect on herbage DM yield ($P < 0.01$), but not on N uptake.
There was a seasonal variation in the herbage DM yield, N content and N uptake of the herbage (Figure 4.2a, b and c). There were higher DM yields with a high N uptake in herbage
in Cut1 while N content was lower.
Herbage N content showed no difference in Cut 2, while cattle slurry application increased herbage N absorbed in summer harvest. In Cut 3 N content in Fer40, Fer120 and CS treatments were significantly higher than CON and Oct CS treatments.
Compared to the control treatment CON, both medium Fer40 and higher Fer120 N application significantly increased total herbage DM yields over the entire experiment by 34.5% and 85.7%, respectively (Figure 4.3). While slurry application (CS and Oct CS) did not affect total herbage DM significantly.
**Figure 4.2.** N fertilizer and slurry manure application on (a) herbage production, (b) N content, and (c) N uptake from 3 herbage harvests; values are means of six field replicates; A different letter indicates significant difference ($P < 0.05$) in the same sampling time. Bars represented standard error.
**Figure 4.3.** N fertilizer and slurry manure application on (a) total herbage yield and (b) total N uptake during the whole sampling time (from Feb-2010 until Mar-2011); values were means of six field replicates; Different letter indicates significant difference ($P < 0.05$). Bars represented standard error.
Table 4.4. Two-way ANOVA results of N fertilizer and slurry treatments (T) and sampling time (S) on herbage DM yield and total N uptake.
| d.f. | Herbage DM yield | Total N uptake | N content |
|------------|------------------|----------------|-----------|
| | MS | F | P | MS | F | P | MS | F | P |
| Treatment (T) | 499099 | 21.25 | *** | 339.11 | 17.58 | *** | 0.36 | 4.34 | ** |
| Sampling time (S) | 10021221 | 426.60 | *** | 2,171.97 | 112.57 | *** | 26.53 | 319.13 | *** |
| T*S | 82776 | 3.52 | ** | 38.91 | 2.02 | ns | 0.44 | 5.26 | *** |
| Error | 23491 | | | 19.30 | | | 0.08 | | |
Values labelled ‘***’ and ‘****’ were significant at $P < 0.01$ and $P < 0.001$, respectively; ‘ns’ was not significant.
In general, fertilisation increased total N uptake during the whole sampling time (Figure 4.3). Significantly higher levels were observed in the Fer120 treatment which increased N uptake 115.4% over the control treatment. CS and Fer40 treatments had a significantly higher effect (54.3% and 49.8, respectively) than CON, while no differences were found between CON and Oct CS.
The herbage nutrient parameters from Cut 1, showed that N fertilizer (Fer40 and Fer120) increased plant P and Mg absorption from soils, Fer120 had a favourable effect, not only on total P and Mg, but also on total K, Ca and Mn uptake. Oct CS application did not affect the plant nutrient uptake, while CS only significantly increased the plant Mg uptake (Figure 4.4).
4.3.3. Effects of N fertilizer and cattle slurry on nematode abundance
Total nematode abundance was affected significantly ($P < 0.001$) by the treatments, sampling times and their interaction (Table 4.5).
Compared with the control, CS treatment increases abundance significantly from mid-summer,
while the Oct CS caused a spike immediately after autumn slurry application (Table 4.6). N Fertilizer did not increase nematode abundance.
Figure 4.4. N fertilizer and slurry application effects on herbage nutrient composition from the grass samples in June-2010 (cut 1), (A) total P, (B) total K, (C) total Ca, (D) total Mg, and (E) total Mn. Values were means of six field replicates; A different letter indicates significant difference ($P < 0.05$). Bars represented standard error.
Table 4.5. Two-way ANOVA results of N fertilizer and slurry treatments (T) and sampling time (S) on nematode abundance for all samples.
| d.f. | MS | F | P |
|----------|------|------|-------|
| Treatment (T) | 163.42 | 15.48 | *** |
| Sampling time (S) | 132.05 | 12.50 | *** |
| T*S | 28.97 | 2.74 | *** |
| Error | 10.56 | | |
Values labelled ‘***’ were significant at $P < 0.001$.
4.3.4. Comparison of 1/10 and 1/100 DNA dilution on nematode community analysis
Table 4.7, comparing the effects of nematode DNA dilutions on nematode functional groups with T-test, revealed that the 1: 10 and 1: 100 dilutions gave very similar results for the nematode community analysis using T-RFLP ($P > 0.05$).
Comparing the different nematode functional groups determined with the two DNA dilutions from T-RFLP analysis (Figure 4.5), there were slight differences in mean values between the two DNA dilutions. From the whole data analysis, no significant differences between 1: 10 and 1: 100 DNA dilutions were determined. The 1: 10 DNA dilution was therefore used for all subsequent nematode analyses.
**Table 4.6.** Effect of N fertilizer and cattle slurry application on nematode abundance (nematode number/g dry soil)
| Year | Sampling date | Application | CON | Fer40 | Fer120 | CS | Oct CS |
|--------|---------------|-------------|---------|----------|----------|---------|---------|
| 2010 | 10th Feb | before | 13.9±1.4 a | 12.6±1.5 abc | 9.9±1.3 bc | 9.2±1.5 c | 13.2±1.0 ab |
| 2010 | 10th Mar | after 1 week| 14.3±1.1 | 17.0±0.7 | 17.6±2.0 | 18.1±0.9 | 16.4±1.3 |
| 2010 | 14th Apr | after 1 month| 19.9±1.2 a | 21.0±0.5 a | 19.9±0.7 a | 19.8±0.5 a | 15.8±0.8 b |
| 2010 | 12th Jul | after 1 week| 20.9±1.3 bc | 19.3±1.1 bc | 24.1±2.7 ab | 27.8±1.7 a | 18.3±2.0 c |
| 2010 | 10th Aug | after 1 month| 19.2±0.9 ab | 16.7±1.0 bc | 14.3±2.1 c | 21.6±1.1 a | 15.9±0.8 bc |
| 2010 | 10th Oct | after 1 week| 15.0±1.1 b | 15.6±1.5 b | 16.5±1.4 b | 22.8±2.3 a | 22.4±1.5 a |
| 2011 | 2nd Feb | before | 15.4±1.4 b | 15.9±2.0 b | 13.2±0.2 b | 22.4±1.6 a | 16.3±0.9 b |
| 2011 | 15th Feb | after 1 week| 15.8±1.6 ab | 15.6±0.3 b | 15.0±1.4 b | 20.3±2.0 a | 15.2±1.5 b |
Values are means of six field replicates; A different letter indicates significant difference ($P < 0.05$) within the same sampling date.
**Table 4.7.** Comparison of T-test on nematode DNA dilution 1: 10 and 1: 100 on nematode functional groups assessed by T-RFLP. Nematode functional groups included (a) bacterial feeders (Ba); (b) fungal feeders (Fu); (c) plant-feeders (Pl); (d) omnivores (Om) and (e) predators (Pr) (Yeates et al., 1993).
| | 1:10 Dilution | 1:100 Dilution | t-value | d.f. | p | F-ratio |
|--------|----------------|-----------------|---------|------|------|---------|
| Ba | 1:10 vs. 1:100 | 40.45 | 38.58 | 1.01 | 94 | 0.313 | 1.117 |
| Fu | 1:10 vs. 1:100 | 0.75 | 0.57 | 0.60 | 94 | 0.548 | 1.570 |
| Pl | 1:10 vs. 1:100 | 24.14 | 24.82 | -0.45| 94 | 0.651 | 1.158 |
| Om | 1:10 vs. 1:100 | 26.38 | 26.54 | -0.10| 94 | 0.922 | 1.310 |
| Pr | 1:10 vs. 1:100 | 8.28 | 9.49 | -0.87| 94 | 0.389 | 1.047 |
4.3.5. Effects of N fertilizer and cattle slurry on nematode community structure
Nematode communities and functional groups assessed by T-RFLP were affected significantly ($P < 0.001$) by treatments and the sampling times, and their interaction across time (Table 4.8).
Nine main nematode groups detected by T-RFLP were Rhabditida (Panagrolaimus,
Mesorhabditis, Rhabditis, and Cephalobidae), Plectida, Aphelenchida, Tylenchidae, Dorylaimida (Dorylaimida and Nygolaimidae), Longidorus, Mononchidae, Pratylenchoides, and Helicotylenchus. From the T-RFLP data, the most abundant nematode taxa were Longidorus, Rhabditis and Pratylenchoides. Populations of plant-feeding nematodes (average 37.1%) and bacterial-feeding nematodes (average 37.6%) were significantly higher in all treatments than the other three functional groups.
Table 4.8. Two-way ANOVA results of N fertilizer and slurry treatments (T) and sampling time (S) on (a) nematode taxa and (b) nematode trophic groups assessed by T-RFLP.
| | Value | F | Effect d.f. | Error d.f. | p |
|------------------|---------|-------|-------------|------------|------|
| **(a) nematode taxa** | | | | | |
| Treatment (T) | 0.1985 | 7.26 | 48 | 482.62 | *** |
| Sampling time (S)| 0.0041 | 10.53 | 128 | 1180.92 | *** |
| T × S | 0.0065 | 2.65 | 384 | 2219.18 | *** |
| **(b) nematode trophic groups** | | | | | |
| Treatment (T) | 0.4692 | 12.71 | 12 | 460.65 | *** |
| Sampling time (S)| 0.0273 | 33.29 | 32 | 643.28 | *** |
| T × S | 0.1646 | 4.16 | 96 | 691.82 | *** |
Values labelled ‘***’ were significant at $P < 0.001$.
PCA from all sampling data was performed on the composition data from T-RFLP profiles (Figure 4.6). CON was associated with 620, 582, 226 and 137, which were mainly fungal-feeding nematodes; inorganic N was associated with 132, 137 and 593, which were bacterial-feeding nematodes; CS and Oct CS were associated with 326, 599, 356 and 298, which represented different trophic groups. PCA performed a separation of the 4 treatments, while just CON had a clear difference to other three treatments, indicating that N fertilizer and cattle slurry application changed the nematode community composition compared to the CON treatment.
From the first sampling time before spring N fertilizer and cattle slurry application, there were more bacterial feeders in the CS and Oct CS treatments, more plant feeders in Fer120 than the control (Figure 4.7), but a greater proportion of omnivorous nematodes in the CON treatment. After slurry and fertilizer application, the nematode community in all treatments underwent complicated changes. N fertilization tended to significantly increase bacterial-feeding nematodes, while, there were no obvious differences in CS and Oct CS after slurry application.
From Figure 4.7, it was apparent that the proportion of fungal-feeding nematodes in the community was very small (average 1.21%), and fungal-feeding nematodes mainly occurred in CON treatment rather than in other three treatments.
Figure 4.5. Comparison of nematode DNA 1: 10 and 1: 100 dilutions on nematode functional groups analysis using T-RFLP. Nematode trophic groups included (a) bacterial feeders (Ba); (b) fungal feeders (Fu); (c) plant-feeders (Pl); (d) omnivores (Om) and (e) predators (Pr) (Yeates et al., 1993).
4.4. Discussion and conclusion
The objectives of this experiment were to evaluate: (1) the effects of N fertilizer and cattle slurry application on soil nematode abundance and community structure over time (assessed using T-RFLP); (2) combining the herbage DM yield and N uptake, to find the links between above-ground herbage growth and the below-ground nematode community; and (3) to understand short-term effects of N application on soil microbiological status and nitrogen flux.
4.4.1. Effects of N fertilizer and cattle slurry on nematode abundance and nematode community structure
The hypothesis, that the abundance of nematodes would be stimulated more by organic than inorganic fertilizers was confirmed. The experimental data showed that slurry application increased nematode abundance on most sampling occasions compared to N fertilizer treatments and the control. The inorganic N fertilizer treatments Fer40 and Fer120 did not affect nematode abundance on most sampling occasions. Yeates (1987) observed a positive
relationship between total nematode abundance and increased herbage production in New Zealand grasslands. However, the data from this study showed that whilst a statistically significant increase in herbage production was observed due to inorganic N fertilizer, there was no significant effect on nematode abundance. There was a significant increase in nematode abundance due to cattle slurry application, but no increase in herbage production. The main reason may be that in this plot, slurry N application (CS, 16 g N for each N applied time) is much lower than the highest level of inorganic N (Fert120) but much closer to the lower inorganic N level Fert40 (60 g N for each N applied time). The differential availability of the inorganic and organic N probably accounts for the observed differences in herbage yield. While the inorganic fertilizer N is readily available for absorption by the grass, the slurry is spatially separated, in that the solid component remains on the soil surface leaving ammonia readily and temporally volatilizable, as the organic fractions will only release N slowly as decomposition progresses.
When averaged over all sample dates, bacterivorous nematodes were more abundant in the high fertilizer treatment Fer120 and in the two different slurry manure treatments CS and Oct CS than in the control treatment CON. This is inconsistent with previous findings that bacterivorous nematodes were more prevalent under organic than conventional chemical fertilizer treatment (Ferris et al., 1996; Neher, 1999; Berkelmans et al., 2003). But their studies focused on managed agricultural soils rather than grassland soils, which might be the reason why my results differed with others.
Combining the consistency on the increase in bacterial-feeding nematodes and above-ground herbage yield, N uptake, suggesting that inorganic N application is undergoing a bacteria-dominated decomposition pathway (Ferris et al., 2001). Griffiths et al. (1998) observed that the number of protozoa responded more quickly to the application of pig manure slurry than cattle manure slurry and explained this by the greater proportion of readily available C in pig slurry compared to cattle slurry. So it explained that the slurry was higher C/N manure, and N releases were slower to provide the sufficient N to grass growth.
Generally, slurry manure is surface applied to grassland, leading to environmentally unacceptable N emissions through ammonia volatilization (Huijsmans et al., 2001). To reduce ammonia emissions, alternative slurry manure application methods were developed (Wouters, 1995), which led to a range of so-called low-emission techniques, from injection at a depth of 15 cm to band spreading. Schils and Kok (2003) found that slit injection had a positive effect on N utilization of grassland. De Goede et al. (2003) studied slit injection on grassland, and found that in the summer slit injection had a negative effect on the earthworm population. A
reduced earthworm population signifies a potentially lower N mineralization. In the experimental plots, slurry is applied to the surface and not incorporated, so available nutrients would be slowly leached into the soil and would not be immediately available for microbes and nematodes. Perhaps there are indirect effects through increased root production. The main effects are in CS, which had a continued slurry application, rather than Oct CS so something might build up in the soil to encourage nematodes.
4.4.2. T-RFLP method on nematode community analysis
T-RFLP has several key advantages over morphological methods for studying nematode diversity, particularly the considerable saving in time. In addition, morphological identification of soil nematodes is a skilled task that requires training and much practice to achieve rapid results, whereas the T-RFLP technique requires only rudimentary skills in molecular biology.
Plant-parasitic and bacterivorous nematodes were the most abundant trophic groups present in the soils given inorganic and organic fertilizer. Although numbers of both trophic groups were greater in fertilized plots, these results contrast with other reports that suggest that numbers of plant-parasitic nematodes decrease after additions of organic amendments (Bohlen and Edwards, 1994; Griffiths et al., 1994; Clark et al., 1998). This may be due to the incorporation of organic matter in the former studies whereas the slurry was not incorporated in this study.
Fungivore: bacterivore ratios observed in this study were relatively small (median = 0.10), indicating a predominance of bacterivorous nematodes in both management systems. This study contrasts with that of Bohlen and Edwards (1994), who found smaller bacterivore: fungivore ratios in soils amended with leguminous green manures (1.45) and ammonium nitrate (1.66) than with cow manure (1.83). The T-RFLP indicated a very small percent of fungal feeders in my plots. This may be because T-RFLP is not so sensitive at detecting the fungal-feeding nematodes. For example, from the Cowlands study (Chapter 3), the average percentage of fungal-feeding nematodes was 13.6% with morphological identification, but only 4.2% with T-RFLP identification. This might arise if: (a) DNA was extracted less efficiently from fungal-feeders; (b) DNA from fungal-feeders was discriminated against during PCR amplification, or (c) the small size of fungal-feeders, for example, Aphelenchida in this study, with average body length 530 µm, was smallest nematodes in all nematode samples, and could have led to a reduced TRFLP signal. This latter point is explored in Chapter 5.
Commonly agricultural managements such as fertilizer application lead to disturbance and
changes in the composition of nematode fauna (Yeates and King, 1997), and the effects of inorganic and organic fertilization may be different. From the results of this experiment, nematode abundance in cut grassland benefits was more responsive to cattle slurry than N fertilizer application.
4.4.3. Effects of N fertilizer and cattle slurry on herbage yields and herbage N uptake
Herbage dry matter (DM) yields followed local seasonal patterns, i.e. it was generally greatest in spring, declined during the dry summer months, and then decreased in the winter. DM production was highest in Cut 1 (Figure 4.2, spring season), and then decreased in the Cut 2 (Nov-2010, i.e. summer growth) and Cut 3 (Mar-2011, i.e. autumn and winter growth). Grassland systems in temperate climates are typically associated with a potential to produce high annual herbage dry matter yields, with seasonally variable grass growth rates (Creamer et al., 2010).
Comparing the different seasons on herbage N content, the N concentration in the herbage was lowest in the summer harvest, while the herbage DM yield was highest. This was due to the dilution effect on available N during rapid herbage growth. A more complete analysis of grass growth in the main experiment at the site showed similar results (Cahalan, 2012).
Many studies, mainly in arable soils, have shown that organic fertilizers can increase organic matter content, soil biological activity, and potential N mineralization (Bittman et al., 2005; Fliessbach et al., 2007; Birkhofer et al., 2008). However, in grassland soils with a year-round crop, dense roots, and no soil tillage, the effects of the crop on the build-up and maintenance of soil organic matter and biological activity may be larger than in arable soils, and the added effects of organic fertilizers may be less clear (Van Eekeren et al., 2009). The results reported here showed that higher inorganic N fertilizer application strongly affected the herbage DM production and total herbage N uptake. For example, by increasing the N fertilizer rate, from Fer40 to Fer120, increased herbage yields and N uptake. The cattle slurry was slightly less than the Fert40 in terms of the amount of N applied but gave significantly lower responses of herbage production, which probably reflected the differences in availability between the organic and inorganic forms of N.
4.4.4. Conclusion
In this study, the T-RFLP methodology proved successful in revealing changing nematode assemblage composition over season and with different N fertilization strategies in an Irish grassland. Inorganic N and cattle slurry applications had different effects on nematode
abundance and community structure. Nematode abundance increased significantly with slurry application, but not with inorganic N application. Both cattle slurry and inorganic N fertiliser induced similar changes in the soil nematode community structure, indicating increased involvement of the bacterial decomposition channel. The physical distribution of slurry may have prevented the nematode population from responding in a more extensive manner as hypothesized.
Chapter 5. Are all nematodes eutelic?
-The correlation between rDNA copy number and body size in four species of nematode
5.1. Introduction
Nematodes constitute one of the largest and most widely distributed groups of animals in marine, freshwater, and terrestrial habitats (Holterman et al., 2006). PCR amplification of the nematode small subunit ribosomal RNA gene (SSU rDNA) has generated a more complete understanding of nematode ecology and evolution (Blaxter et al., 2005). In recent years, molecular techniques have been increasingly applied to nematode community analysis due to the specialist and time-consuming nature of morphological identification examples. While much of the early work was directed towards plant and animal parasites, the recognition of the important roles free-living soil and marine nematodes play in ecosystems has led to a wider interest in the phylum. Blaxter et al. (1998) and Aleshin et al. (1998) published the first phylum-wide molecular analyses of the Nematoda and more recently, phylogenetics projects based on hundreds of sequences covering the entire phylum (Holterman et al., 2006; Meldal et al., 2007) have greatly increased the knowledge base which is necessary for molecular analyses. Molecular analysis of nematode communities relies on an existing framework to match morphological identifications supplied with nucleic acid sequences generated from accurately identified individuals.
However, the majority of previous studies have seen some differences between morphological and molecular assessment of nematode community analysis. For example, several studies have examined the potential of denaturing gradient gel electrophoresis (DGGE) in estimating nematode species diversity, and have found that when DGGE band patterns were compared with morphological taxonomic identification, DGGE tended to underestimate nematode diversity (Foucher et al., 2004; Bhadury et al., 2006). Information gained from Terminal Restriction Fragment Length Polymorphism (T-RFLP) analysis has also been used to assess nematode community structure. This method has enabled an assessment of nematode taxonomy at the family level across an entire community (Griffiths et al., 2012, Donn et al., 2011). The relative area of the T-RFLP peaks could be used quantitatively if applied in combination with a measure of abundance or biomass. From previous work it was suggested, from a comparison of T-RFLP to morphological identification, that the quantification of
nematode types by T-RFLP is dependent on the amount of nematode DNA and thus potentially, at least approximately, the total volume (biomass) of each type, rather than the numerical abundance of each type may be reflected in T-RFLP analysis (Griffiths et al., 2006).
Nematodes are widely considered to be eutelic, i.e. to have an adult cell number that does not vary among wild-type individuals irrespective of size as a consequence of invariant cell lineages (Malakov, 1994). Free-living nematodes, which usually have restricted nuclear division, will undergo six to ten fold increase in body length after hatching. Thus, if there is an absence of extensive nuclear division, nematode growth must be due to an increase in cell size and not to an increase in cell number (Sin and Pasternak, 1970). This eutelic assumption of nematode development probably results from the extrapolation of the remarkable constancy of *Caenorhabditis elegans* development to the rest of the phylum (Sachs 1994), because for *C. elegans*, it is well known that a constant and defined number of cells are present in all individuals (Sulston et al., 1983). However, recent studies suggest that most nematodes show considerable amounts of variation for cell number in at least some somatic tissues (Cunha et al., 1999; Azevedo et al., 2000). Sin and Pasternak (1970) found that the number of nuclei in the hypodermis, nerve, and intestine, from the free-living nematode *Panagrellus silusiae*, remains fairly constant during maturation, but there was a slight increase (~57%) in the number of muscle nuclei. Thus, this organism is not stringently eutelic. Cunha et al. (1999) reported that eight of thirteen species showed intraspecific variance in the number of epidermal nuclei, with higher variability for species with more nuclei. Azevedo et al. (2000) tested 13 free-living nematode species from three families (Cephalobidae, Panagrolaimidae and Rhabditidae), and found that the adult epidermis of most species contained variable numbers of nuclei.
*C. elegans*, one of the most-used and best-understood model organisms in science, possesses the same number of cells in all individuals, and so differs from mammals and other invertebrates in which body size changes are caused by increases in cell number rather than by increased cell volume (Azevedo et al., 2000, 2001). *C. elegans* is therefore eutelic, but some preliminary results showed some epidermal cell number variation which indicates that the idea of eutely should rather be a statistical one (Cunha and Leroi, 1998).
While ecologists assess microbial abundance in soils in terms of biomass, assemblages of other soil organisms usually are expressed as abundance of individuals (Ferris et al., 1996). Yeates (1988) suggested calculation of biovolume as a measure of the importance of nematodes in soil systems but that approach has not been widely adopted. Clearly, the average
data of nematode abundance from the family level is not a good predictor of the weight of many of the genera and species within that family. If the dominant taxon in a sample is of a size lower than the mean, biomass calculations based on average-sized individuals will be inflated; if greater, they will be depressed (Ferris, 2010).
The majority of applications of real time PCR method have applied absolute methods where a standard curve is generated from a serial dilution of a clone of the target amplicon allowing estimation of copy number in reactions using the same conditions. Specific primers designed for nematode T-RFLP analysis Nem_SSU_F74 and Nem_18S_R (Chapter 3 and Chapter 4) produce more than 930 bp of PCR products, and thus the product was considered to be too long to be suitable for qPCR. Therefore other primer pairs, creating a PCR product of shorter length, were assessed for suitability.
To fully interpret the nematode directed T-RFLP pattern used throughout this thesis, a better understanding of the 18S copy numbers within and between species is required. In order to fully evaluate the relationship between nematode body size and amount of SSU rDNA, we used a real-time PCR assessment of gene copy numbers was carried out from four target nematode species, two were cultured bacterial-feeding nematodes and two were the most common predatory and omnivorous nematodes in the experimental plots used for field studies elsewhere in this thesis. This information may help interpret the T-RFLP patterns in terms of nematode abundance or biomass.
5.2. Materials and methods
5.2.1. Nematode culture and isolation
Bacterial-feeding nematodes *Caenorhabditis elegans* Maupas, 1900 and *Panagrolaimus detritophagus* Fuchs, 1930, were cultured on nematode growth media (NGM) seeded with *Escherichia coli* strain OP50 at 15°C (Wood, 1988).
Predatory and omnivorous nematodes were isolated from Cowlands soil samples (see Chapter 3, Section 3.3.1.) by a standard Oostenbrink-elutriator procedure (Verschoor and de Goede, 2000). After 48 h at room temperature, nematodes that had migrated into the bottom of the funnel were collected. Individual nematodes of one characteristic genus from each of the Mononchidae and the Dorylaimidae were then hand-picked under a dissecting microscope and placed in individual eppendorfs.
5.2.2. Optimisation of single nematode DNA extraction
In previous chapters Bead beating and PureLink PCR purification kit methods were applied
for the extraction of nematode communities. Prior to the analysis of a large dataset of single nematodes, several methods of DNA extraction were tested to check DNA extraction from individual nematode.
126.96.36.199. NaOH method
DNA from single nematodes was extracted using a modification of the method described by Stanton et al. (1998). Briefly, individual nematodes were put into 5 µl of 0.25 M NaOH in 1.5 ml tubes, and kept at room temperature (20-25°C) overnight. Thereafter, samples were incubated at 99°C for 3 min and 2.5 µl 0.25 M HCl, 1.25 µl 0.5 M Tris-HCl (pH 8.0) and 1.25 µl 2% Triton X-100 were added to each tube. Samples were incubated at 99°C for a further 3 min, cooled and stored at -20°C.
188.8.131.52. NaOH method + purification
Individual nematode DNA was extracted with the NaOH method as described above and then purified using a PureLink PCR purification kit (Invitrogen, Paisley, UK) following manufacturer's instructions. DNA was eluted as described in section 184.108.40.206 in 20 µl PCR elution buffer and then stored at -20°C.
220.127.116.11. Bead-beating
This extraction method was exactly the same method used for the nematode community DNA extraction in Chapter 3, Section 3.2.4. The only differences were that individual nematodes were used and single nematode DNA was eluted in 20 µl PCR elution buffer and then stored at -20°C.
18.104.22.168. MOBIO kit
Individual nematodes were added to the 2ml Bead Solution tubes provided in an UltraClean Soil DNA Isolation Kit (MOBIO Laboratories, Inc.), and then extracted according to the instructions listed by the manufacturer, with DNA eluted in 20 µl elution buffer, and stored at -20°C.
22.214.171.124. Lysis buffer+ Proteinase-K
Single nematodes were transferred to a 0.5-ml micro-tube with lysis buffer (25 µl of 0.4 M NaCl, 0.4 M Tris-HCl (pH 8.0), 2% (v/v) b-mercaptoethanol, and 800 µg/ml Proteinase-K). Lysis took place in a shaker at 65°C and 200 rpm for 2 h, following by 5 min incubation at
100°C. Lysate was stored at -20°C (Holterman et al., 2006).
The five methods were tested for the extraction of DNA from individual nematodes and its suitability for subsequent PCR.
5.2.3. Testing different nematode primers for PCR amplification
Primers used in the following steps for the amplification of small subunit (18S) rDNA are listed in Table 5.1. All primers were synthesised by Eurofins MWG Operon (Westway Estate, London, UK).
Single nematode DNA extracted using the NaOH method was amplified using the different pairs of primers (Table 5.1).
**Table 5.1.** Primer pairs tested for nematode DNA amplification.
| Group | Forward primer | Reverse primer | Length | Source |
|-------|--------------------|-------------------|--------|---------------------------------------------|
| 1 | Nem_SSU_F74 | Nem_18S_R | 890 | www.nematode.org\(^1\) |
| 2 | SSU_F_22 | SSU_R_23 | 878.5 | www.nematode.org |
| 3 | Nem_SSU_F74 | SSU_R_09 | 475.5 | www.nematode.org |
| 4 | SSU_F_22 | SSU_R_09 | 151.5 | www.nematode.org |
| 5 | SSU_F_22 | Nem_18S_R | 566 | www.nematode.org |
| 6 | Nem_F1 | Nem_896R | | Waite et al., 2003 |
| 7 | Euk–A | Euk–B | | Countway et al., 2005 |
\(^1\)Full URL: http://www.nematodes.org/barcoding/sourhope/nemoprimers.html.
PCR was performed in a 25 µl final volume containing 2 µl template DNA, 2.5 µl 10× PCR buffer (Bioline, London, UK), 2 µl 50 mM MgCl₂, 2 µl 10 pM of each PCR primer, 0.5 µl 10 mM dNTP Mix, 13.8 µl distilled water and 0.2 µl 4 units Start Taq polymerase (Bioline, London, UK). All PCRs were performed on a G-STORM Thermal Cycler (Gene Technologies Ltd., Braintree, Essex, UK) with the following run parameters: one initial denaturation cycle at 94°C for 2 min, followed by 35 cycles at 94°C for 30 s, 51°C for 30 s, and 68°C for 1 min. A final elongation step was run at 68°C for further 10 min. Positive (nematode DNA, confirmed from chapter 3) and negative controls (DNase-free water) were included for each amplification series. Success of PCR and size of product was determined by agarose gel electrophoresis. An aliquot of PCR product was mixed 5:1 with gel loading buffer (Bioline, London, UK), and separated on a 1% agarose gel in 1% TAE buffer strained with GelRed Nucleic Acid Gel Stain (Cambridge Bioscience, UK), and HyperLadder 1 (Bioline, London, UK) was used as a size marker. Stained nucleic acid was visualised on a Gel Doc XR (Biorad)
to check the position of DNA.
5.2.4. Plasmid DNA preparation, cloning and sequencing from the four nematode species
PCR products, which came from the primers Nem_SSU_F74 and Nem_18S_R, from four individual nematodes of each of the four nematode types were purified using S.N.A.P.™ Gel purification Kit (Invitrogen, Paisley, UK), and then cloned into TOPO XL PCR Cloning Kit (Invitrogen, UK) following the manufactures’ protocols. After growth on LB (Invitrogen, UK) /kanamycin (50 µg/ml) plates at 37°C overnight, 96 recombinant colonies from each species were picked randomly into 200 µl of LB broth with 50µg/ml kanamycin in 96-well microtitre plates and grown overnight at 37°C. Inserts in the recombinant plasmids were amplified from 1 µl of overnight liquid culture as template in a PCR reaction using the primers M13_F (CTGGCCGTCGTTTAC) and M13_R (CAGGAAACAGCTATA) (Blaxter et al., 2005), and amplification assessed by gel electrophoresis as described above. Four clones containing PCR product of the correct size of each species were selected and grown again in 5 ml LB broth with kanamycin at 37°C overnight. The plasmid DNA from these cultures was extracted using the QIAprep Spin Miniprep Kit (Qiagen, Cologne, Germany); and an aliquot used for sequencing on a 3730 capillary sequencer (Applied Biosystems) by the sequencing service at the James Hutton Institute, Dundee, UK and another portion was stored at -20°C for the preparation of standard curves for qPCR.
The sequences were organised in Fasta format, and the cloning vectors were identified and removed from the sequence using the VecScreen Tool http://www.ncbi.nlm.nih.gov/VegScreen/VegScreen.html. The orientation of sequences was checked in relation to the primers present and all sequence were arranged from the 5’→3’ direction with an online orientation checker http://www.bioinformatics-toolkit.org/Web-ReverseComplement/. All database sequences from each clone used in alignments were imported to BioEdit (Hall, 1999), and a consensus sequence was created, by the introduction of degenerate bases, encompassing the entire target region. Sequences were then compared to those in the Genbank database BLAST (http://www.ncbi.nlm.nih.gov/BLAST) for identification purposes.
Sequences were aligned in MEGA 4 and a Neighbour Joining tree was constructed with bootstrap support calculated over 500 replications. Sequence groups were defined by separating at 0.02 substitutions per base. Sequence groups were then assigned to order on the basis of clustering and bootstrap support on the Neighbour Joining tree. A phylogenetic tree for the four species was made using MEGA 4.
5.2.5. Preparation of reference spike
The reference spike was generated by PCR in situ mutagenesis (Vallette *et al.*, 1989) to form a product in which the four 3’ terminal recognition bases of both PRIMER-1 (CCTACGGGAGGCAGCAC) and PRIMER-2 (ATTACCGCGGCTGCTGG) were altered to the requisite complementary bases providing a template suitable for amplification with the Mut-F (CCTACGGGAGGCAGGGTC) and Mut-R primers (ATTACCGCGGCTGCACC) (Daniell *et al.*, unpublished). This was performed in a two stage PCR process using 342FMut (CCTACGGGAGGCACGTCTGGGGAATAT) and R534 (ATTACCGCGGCTGGGACCCACGGAGTTA) in the first reaction and Mut-F and 534RMut in the second using PCR conditions given above and 1 µl *E. coli* genomic DNA used as template in round one and 1 µl of 100 fold diluted round one product as template in the second reaction. PCR success was assessed by 1.5% agarose gel electrophoresis.
Products was cloned into pGEM t easy (Promega) following the manufacturer's instructions and transformed into *E. coli* DH10B electrocompetent cells prepared following the method of Tung and Chow (1995). Colonies were screened for mutation success by PCR with relevant PCR primers and conditions outlined above. Sequence identity of selected clones for both the mutated and wild-type products was confirmed by sequencing in a total volume of 10 µl using 1:8 dilution of BigDye® Terminator v3.1 Cycle Sequencing kit (Applied Biosystems, Warrington, UK) with vector primers directed against the SP6 or T7 promoter regions and following manufacturer’s instructions. Sequencing reactions were purified by ethanol precipitation and run on an ABI Prism 3700 DNA Analyzer (Applied Biosystems, Warrington, UK). Transformants with the correct insert were placed into long term storage at -80°C in 20% glycerol and plasmid generated from a single selected colony by large scale plasmid prep using Plasmid Midiprep System (Promega) following manufacturer's instructions. Plasmid was quantified by absorption at 260nm to give a mass concentration and converted to copies using the following formula:
\[
\text{Total number of A/T bases in the insert} + \text{plasmid} \times 601 + \text{Total number of G/C bases in the insert} + \text{plasmid} \times 618 = \text{molecular weight (g/mole) of the plasmid} + \text{insert}.
\]
The number of copies of plasmid/µl =
\[
(\mu g \text{ plasmid DNA calculated from 260nm absorption/molecular weight of plasmid+insert}) \times \text{Avagadros number}
\]
5.2.6. Morphological examination, DNA extraction and inhibition test of single nematodes
Forty-five specimens from each of the four nematode species were picked individually into drops of sterile distilled water on a microscope slide. Their body length (L) and width (W) was determined using a light microscope (Olympus BX51) equipped with differential interference contrast optics and a camera (Retiga Exi High resolution Cam) to take digital images of each nematode. Nematode volume (V) was calculated using the formula $V = \pi (W/2)^2 L$ (Browning et al., 2004).
Individual nematode DNA was extracted using the NaOH method (See 5.2). In order to evaluate the potential presence of PCR inhibitors in the nematode DNA extract, a known quantity of a reference spike (equivalent to $1.98 \times 10^6$ copies in the final qPCR reaction) was added to the 5 $\mu l$ 0.25M NaOH solution prior to each DNA extraction (Daniell et al., unpublished).
### 5.2.7. Quantitative real-time PCR assay
#### 126.96.36.199. SSU rDNA copy number from individual nematodes
A LightCycler 480 (Roche Applied Science, Germany) was used for real-time PCR amplification and detection. Real-time PCR was performed in 20 $\mu l$ reaction mixture in LightCycler® 480 white Multiwell 96-well Plates and sealed with LightCycler® 480 Sealing Foil. Each reaction well contained 1 $\mu l$ template DNA (10 times diluted template DNA from an individual nematode) and 10 $\mu l$ LightCycler 480 Green 1 Master (Roche Applied Science, Germany). The following general real-time PCR protocol was used for all pairs of primers: denaturation program (95°C for 10 min), a three-segment amplification and quantification program repeated 40 times (95°C for 10 s, 65°C for 10 s and 72°C for 40 s), melting curve program (95-65°C with a heating rate of 0.06°C/s and continuous fluorescence measurements), and finally a cooling program down to 40°C.
#### 188.8.131.52. Standard curve for qPCR quantification
Plasmid DNA from each of the four species was purified with phenol chloroform and ethanol precipitation (Donn et al., 2008), and was linearised with restriction enzyme Sac1 (GAGCT/C, Biolabs, UK), incubated for 1 hour at 37°C, and inactivated for 20 minutes at 65°C (Daniell et al., unpublished). Thereafter it was quantified using Magic Blue High sensitivity dsDNA Quantitation Assay (Biotium, U.S.A.) on a Fluorescence Microplate reader (ModulusTM Microplate, Turner Biosystem, US). The plasmid DNA copy number (PICN) can be calculated from the formula of Pushnova et al. (2000).
PICN per genome = \[ \frac{\text{Size of chromosomal DNA (bp)} \times \text{Amount of plasmid DNA (pg)}}{\text{Size of plasmid DNA (bp)} \times \text{Amount of genomic DNA (pg)}} \]
The $10^9$-$10^1$ serial ten fold dilutions of plasmid DNA were prepared in triplicate to establish the standard curves. The standard curves were the plots of the threshold cycle (Ct) values versus log concentration (Co), which got through real time PCR and the Roche software. For any unknown total DNA sample, gene copy numbers were obtained by interpolating its Ct value against the standard curve.
5.2.8. Data analysis
In this chapter, 18S rDNA was used as a phylogenetic marker for determination of lineage relationships within the data. The correlation between biovolume and copy number, among the same nematode species was tested by General Linear Model (GLM), while the relationship between biovolume and copy number between the different nematode species were assessed using a GLM analysis of covariance. The significance of correlation coefficients and differences among the relationships were analyzed using an Ellipse test ($P < 0.05$). All statistical analysis and graphics were carried out using Excel 2002 and STATISTICA 6.0 softwares. The non-normal distribution of points in the residual plot suggested that log transformations of the data would be useful to create constant variance. Unless stated otherwise, all analyses were done on log-transformed data.
5.3. Results
5.3.1. Nematode species
Four species of free-living nematodes from four families: Rhabditidae, Panagrolaimidae, Anatonchidae, and Aporcelaimidae. Sequence groups were defined by separating at 0.05 substitutions per base (Figure 5.1). From the sequence tree, we confirmed Rhabditidae (*Caenorhabditis elegans*) and Panagrolaimidae (*Panagrolaimus detritophagus*), which came from agar culture. All individuals selected by handpicking from soil extraction tightly cluster to known species of Anatonchidae (*Anatonchus tridentatus*), and Aporcelaimidae (*Aporcelaimellus obtusicaudatus*), known to be common in grassland soils.
5.3.2. Nematode DNA extraction
Different extraction methods were tested to determine which one was the best to extract DNA
from single nematodes (Table 5.2). According to the extracted efficiency from DNA quantification, the NaOH and lysis/proteinase K methods provided the most consistent extraction of DNA from individual nematodes, with the NaOH method giving a consistently greater yield, which was then used for all subsequent analysis.
5.3.3. Primer testing for PCR amplification
Conventional PCR reactions and quantitative real-time PCR were performed to evaluate the efficiency of primers for the SSU rDNA target region. Primers in real-time PCR are ideally designed to produce 100-200 bp products (Toyota et al., 2008). The primer pair SSU_F_22 and SSU_R_09, which produced 151 bp of PCR product, was found to be suitable for quantitative detection using real-time PCR. While other pairs of primers were also tested, primers pair SSU_F_22 and SSU_R_09 were found to be the best after considering amplification using both conventional PCR reactions and quantitative real-time PCR (Table 5.3).
5.3.4. Standard curve from quantitative real-time PCR
The standard curves, from plasmid DNA of 4 nematode species, from real-time PCR were established to build the relationship between nematode DNA copy number and Ct values. Before determining the linear dynamic range, the qPCR amplification efficiency was evaluated from the absolute gradient value of Ct versus log Copy number curve. As shown in Figure 5.2, the absolute gradients of the curves for targeted plasmid DNA PCR product of *Caenorhabditis*, *Panagrolaimus*, *Anatonchus* and *Aporcelaimellus* were 3.348, 3.311, 3.344 and 3.518, respectively, resulting in a small percentage difference, 0.79%, 0.34%, 0.66% and 5.91% from the theoretical value. Standard curves indicate only slight differences, but non significant ($P > 0.05$) between the four species. Each standard curve was used to calculate its own species copy number.
Figure 5.1. Neighbour joining tree showing sequence groups from the four individuals of A (Caenorhabditis elegans), B (Panagrolaimus detritophagus), C (Anatonchus tridentatus) and D (Aporcelaimellus obtusicaudatus)
clustered with database sequences, indicating phylogenetic relationships between the four species of free-living nematodes based on SSU and 18S ribosomal DNA sequences (sample C4 was lost). The sequences of other nematodes were acquired from Gene Bank (NCBI/ BLAST).
**Table 5.2.** Different methods to extract single nematode DNA, and then checked by a combination of PCR and agarose gel electrophoresis. ‘+’ and ‘-’ represent a positive or negative signal on the agarose gel, ‘+++’ represents a stronger signal than ‘+’ (n = 4).
| DNA extracted Methods | *Caenorhabditis elegans* | *Panagrolaimus detriophagus* | Mononchidae | Dorylaimidae |
|-----------------------|--------------------------|-------------------------------|-------------|--------------|
| NaOH method | +++ | +++ | +++ | +++ |
| NaOH method + purification | – | – | – | – |
| PureLink Kit | – | – | – | – |
| MoBio Kit | – | – | – | – |
| Lysis buffer+ Proteinase-K | + | + | ++ | + |
**5.3.4. Standard curve from quantitative real-time PCR**
The standard curves, from plasmid DNA of 4 nematode species, from real-time PCR were established to build the relationship between nematode DNA copy number and Ct values. Before determining the linear dynamic range, the qPCR amplification efficiency was evaluated from the absolute gradient value of Ct versus log Copy number curve. As shown in Figure 5.2, the absolute gradients of the curves for targeted plasmid DNA PCR product of *Caenorhabditis*, *Panagrolaimus*, *Anatonchus* and *Aporcelaimellus* were 3.348, 3.311, 3.344 and 3.518, respectively, resulting in a small percentage difference, 0.79%, 0.34%, 0.66% and 5.91% from the theoretical value. Standard curves indicate only slight differences, but non significant \((P > 0.05)\) between the four species. Each standard curve was used to calculate its own species copy number.
**Table 5.3.** Results from primer pairs used in PCR and qPCR for single nematode DNA. PCR determined by agarose gel electrophoresis; qPCR determined by Ct values from LightCycler 480; and plasmid determined by cp values of nematode plasmid DNA from LightCycler 480 ‘+’ = positive, and ‘-’ = negative.
| Groups | Forward primer | Reverse primer | Length | PCR | qPCR Bacterial feeders | qPCR Others | plasmid |
|--------|------------------|------------------|--------|-----|------------------------|-------------|---------|
| 1 | Nem_SSU_F74 | Nem_18S_R | 890 | + | - | + | + |
| 2 | SSU_F_22 | SSU_R_23 | 878.5 | + | - | + | - |
| 3 | Nem_SSU_F74 | SSU_R_09 | 475.5 | + | + | + | - |
| 4 | SSU_F_22 | SSU_R_09 | 151.5 | + | + | + | + |
| 5 | SSU_F_22 | Nem_18S_R | 566 | + | + | + | + |
| 6 | Nem_F1 | Nem_896R | - | - | - | - | - |
| 7 | Euk–A | Euk–B | - | - | - | - | - |
Figure 5.2. Standard curve establishment for quantification of the four nematode species. Plasmid DNA, ranging from $10^9$ to $10^1$ (copies $\mu l^{-1}$), was used as the template for real-time qPCR analysis. Threshold cycle versus log concentration for replicates of each concentration determined the linear dynamic range of plasmid DNA for four nematode species. Bars (which were negligible) represented standard errors.
5.3.5. Inhibition test for quantitative real-time PCR
An assessment of the presence of any substances inhibitory to PCR in DNA extracts is necessary for qPCR. In the regression plots of biovolume and spike copy number (Figure 5.3), a different trend was observed for each of the four species. For *C.elegans* and *Aporcelaimellus*, the relationship was not statistically significant. In contrast, inhibition was significantly decreased with nematode biovolume in *Panagrolaimus*, but increased significantly with biovolume in *Anatonchus*.
Figure 5.3. Quantification of standard DNA (spike) added to extracts of individual nematodes *C.elegans*, *Panagrolaimus*, *Anatonchus*, and *Aporcelaimellus*. Log spike versus log biovolume determined the linear dynamic range of relationship between the biovolume and the spike of four nematode species. Regression band meant confidence level < 0.05. ‘—’ meant the concentration of standard spike tested by real-time PCR (1.98×10^6 copy numbers, and Log = 6.29).
5.3.6. Variance in nuclear 18S gene copy number with different nematode species
Relative quantification uses the spike to control for inhibition or losses during each individual extraction. Figure 5.4 showed the relationship between log copy number and log biovolume without any correction for inhibition and after the inhibition calculation. The relationship between biovolume and copy number were different for the four species. *C. elegans* showed no difference in copy number when the individual body size changed (Figure 5.4 a, $r^2 = 0.0003$ and $P = 0.9096$). While for the other three species, *Panagrolaimus*, *Anatonchus* and *Aporcelaimellus*, copy numbers increased slightly but significantly when the individual body sizes increased (Figure 5.4 b, c, d), and the values from $r^2$ were 0.2130, 0.3932 and 0.3025, respectively; while the values from $p$ were 0.0014, 0.00009 and 0.0008, respectively.
Figure 5.4. Correlations between log biovolume and log gene copy number estimated by relative real-time PCR for 4 nematode species. A, B, C and D indicated the 4 species, *C.elegans*, *Panagrolaimus detritophagus*, *Anatonchus tridentatus* and *Aporcelaimellus obtusicaudatus*, respectively. Regression band meant confidence level > 95%. The blue, coloured circles and the dotted line ‘…………’ presented raw qPCR data, while the red symbols and solid line ‘———’ represented data whose copy number had been modified to account for inhibition.
No transformation on the data for the regression was calculated, from the relationship (trend line) between copy number and biovolume (Table 5.4). Assuming nematode biovolumes are 0.00063, 0.001, 0.00158 mm$^3$ for all four species, 0.00398 and 0.01mm$^3$ only for *Anatonchus* and *Aporcelaimellus* (Table 5.5), different copy numbers are calculated from the different trend line. Combining the copy number data from *Panagrolaimus*, *Anatonchus* and *Aporcelaimellus*, there was a similar tendency for the relationship between log-copy number and log-biovolume, while *C. elegans* was significantly different. Analysis of covariance between the three species (Figure 5.5), suggested that copy number was increased significantly by body size within the three species, indicating that copy number, and therefore, cell number were not invariant, at least for these three nematode species. And also the slope in the Figure 5.5 was 0.8254, less than 1, which meant that if nematode body size doubled, the
copy number increased to a lower degree indicating lower than expected cell division.
**Table 5.4.** Results from relationships between nematode copy number and biovolume: copy number = \(a \times\) biovolume + \(b\).
| | \(a\) | \(b\) | \(r^2\) |
|------------------|-----------|----------|---------|
| *Caenorhabditis* | 3.00E+07 | 133677 | 0.0017 |
| *Panagrolaimus* | 6.00E+07 | 71198 | 0.092 |
| *Anatonchus* | 1.00E+08 | 154340 | 0.3801 |
| *Aporcelaimellus*| 4.00E+07 | 154340 | 0.3796 |
**Table 5.5.** The copy number per individual calculated from the correlation of four species, assuming that the nematode biovolumes are 0.00063, 0.00100, 0.00158, 0.00398, and 0.01mm\(^3\), which were within the biovolumes of every species.
| Biovolume (mm\(^3\)) | *Caenorhabditis* | *Panagrolaimus* | *Anatonchus* | *Aporcelaimellus* |
|-----------------------|------------------|-----------------|--------------|-------------------|
| 0.00063 | 1.53E+05 | 1.09E+05 | 2.17E+05 | 1.80E+05 |
| 0.00100 | 1.64E+05 | 1.31E+05 | 2.54E+05 | 1.94E+05 |
| 0.00158 | 1.81E+05 | 1.66E+05 | 3.12E+05 | 2.18E+05 |
| 0.00398 | n/a | n/a | 5.52E+05 | 3.14E+05 |
| 0.01000 | n/a | n/a | 1.15E+06 | 5.54E+05 |
**Figure 5.5.** Correlation between log biovolume and log gene copy number estimated by relative real-time PCR for four nematode species. A, B, C and D indicated, *Caenorhabditis*, *Panagrolaimus*, *Anatonchus* and *Aporcelaimellus*, respectively. BCD is the analysis of covariance of *Panagrolaimus* (B), *Anatonchus* (C) and *Aporcelaimellus* (D) together.
5.4. Discussion and conclusion
In this chapter, the relationship between nematode body size and SSU rDNA copy number was investigated using single nematode DNA extraction with relative qPCR and comparing to nematode biovolume for four different nematode species.
To date, there has been no study to test the efficiency of DNA extraction techniques for single nematode. So we also tested a series of DNA extracted methods selecting the NaOH lysis method as it consistently generated greater yield of PCR product. Also a pair of primers, SSU_F_22 and SSU_R_09, suited the real-time PCR assessment was used in the real-time PCR experiment.
5.4.1 Different methods on single nematode DNA extraction
Hübschen et al. (2004) successfully used a sodium hydroxide extraction for DNA extraction from the whole community, while Donn et al. (2008) found this method was not successful in nematode community DNA extraction. The NaOH method was originally designed for the extraction of DNA from single nematodes, appearing to be more favourable for this type of extraction than for extraction from community sample (Stanton et al., 1998). NaOH method in this experiment gave better yields and quality of recovered DNA from individual nematodes than the other extraction methods tested.
Proteinase K lysis followed by phenol chloroform extraction produced the highest DNA yield from nematode community DNA extraction (Donn et al., 2008), and has also been used successfully to detect single nematode DNA (Holterman et al., 2008). Here, however, the DNA signal from agarose gel electrophoresis of the PCR amplification product was weaker than that of the NaOH method.
The PureLink Kit with bead-beating (Chapter 3, Section 3.2.4) and MoBio Kit (data not shown) were successful to extract DNA from soil nematode community, but failed to extract single nematode DNA. Both these methods incorporate a bead-beating step and dynamics of the beads and nematodes may not be favourable with only a single individual.
5.4.2. qPCR for single nematode DNA assessment
In theory, PCR efficiency or the slope of the standard curve should be computed as absolute gradient = $1/(\lg^2) = 3.322$. In other words, theoretically, for a ten fold difference in template amount, a Ct value of 3.322 cycles should be expected. The absolute gradients of the curves from targeted plasmid DNA PCR product of *C.elegans*, *Panagrolaimus*, *Anatonchus* and *Aporcelaimellus* were 3.348, 3.311, 3.344 and 3.518, respectively, were very close to the
theoretical value. In addition, the four standard curves were perfectly linear (all $R^2 > 0.99$, Figure 5.2) suggesting an efficient estimation range from $10^1$ to $10^9$ copies of plasmid DNA.
**5.4.3. Inhibition in quantitative real-time PCR**
Some, or all, of the biological samples may contain inhibitors, which are not present in the nucleic acid samples used to construct that calibration curve, leading to an underestimation of the DNA levels in the test samples (Stahlberg *et al.*, 2005). Various methods can be used to assess the presence of inhibitors within biological samples. The PCR efficiency in a test sample can be assessed by serial dilution of the sample (Stahlberg *et al.*, 2003), although this is impossible when using very small amount of DNA extracted, as was the case with single nematode in this study. We instead placed a known concentration of spike into the extraction, and assessed the inhibition of single nematode DNA extraction, and amplification after qPCR. From our inhibition test, two bacterial-feeding nematodes showed no inhibition, while *Anatonchus* and *Aporcelaimellus* had more inhibition; probably because of habitat and what they eat. The bacterial-feeding nematodes came from agar-cultured plates, while another two nematodes came from soil samples, so inhibitions may be different for those two kinds of nematodes. Considering the huge differences in body size of these species, which *Anatonchus* and *Aporcelaimellus* have 10 and 20 times greater average body sizes than *C.elegans* and *Panagrolaimus*, the small nematode species may yield lower amount of DNA, so less inhibition showed in bacterial-feeding nematodes than predatory and omnivorous nematodes. This would have to be further tested, because the DNA concentration was below the level of detection from some samples with the Qubit™ dsDNA HS Assay Kits.
**5.4.4. The relationships between biovolume and copy number from four nematode species**
Although molecular methods have been widely used to analyze soil nematode communities (Foucher *et al.*, 2004; Griffiths *et al.*, 2006; Holterman *et al.*, 2008), most advances in quantitative PCR detection of nematodes have occurred based on studies of important species of plant parasitic nematodes (Bates *et al.*, 2002). To our knowledge the use of qPCR to assess the 18S copy number of individual soil nematodes has not previously been reported. Neither has the relationship between copy number and nematode species, or the relationship between copy number and body size within a species. The results presented here demonstrated that the nematode SSU rDNA copy number from four species changed with body volume dependent on nematode species.
5.4.5. Utilization of the relationships between biovolume and copy number from four nematode species to the nematode community analysis
The results presented here demonstrated that the relationship between biovolume and copy number from nematode species were variable. But the question remains as to how we can use the information from the relationship between nematode biovolume and copy number to analyse soil nematode communities, further releasing time from time-consuming laboratory morphological identification.
So if we look at the data from real-time PCR assessment about nematode DNA amplification from four species (Table 5.5), we can see there are differences of copy number per individual between species, and between different biovolumes within a species, with the exception of *C. elegans*, where copy number did not change significantly between individuals.
**Table 5.6.** Utilization of the relationships between biovolume and copy number to calculate the mixed nematodes community to compare the compositions of abundance, biovolume and copy number.
| Composition (%) | Caenorhabditis | Panagrolaimus | Anatonchus | Aporcelaimellus |
|-----------------|---------------|---------------|------------|-----------------|
| **a) Same abundance and biovolume** | | | | |
| abundance | 25.00 | 25.00 | 25.00 | 25.00 |
| biovolume | 25.00 | 25.00 | 25.00 | 25.00 |
| copy number | 19.17 | 22.81 | 42.73 | 15.29 |
| Composition (%) | Caenorhabditis | Panagrolaimus | Anatonchus | Aporcelaimellus |
|-----------------|---------------|---------------|------------|-----------------|
| **b) Same abundance and two biovolumes mixed** (biovolumes were 0.00063 and 0.00158 mm$^3$) | | | | |
| abundance | 25.00 | 25.00 | 25.00 | 25.00 |
| biovolume | 25.00 | 25.00 | 25.00 | 25.00 |
| copy number | 26.07 | 21.84 | 38.42 | 13.67 |
| Composition (%) | Caenorhabditis | Panagrolaimus | Anatonchus | Aporcelaimellus |
|-----------------|---------------|---------------|------------|-----------------|
| **c) Same abundance and two biovolumes mixed** (biovolumes were 0.001 and 0.00158 mm$^3$ for *Caenorhabditis* and *Panagrolaimus*; biovolumes were 0.001 and 0.01 mm$^3$ for *Anatonchus* and *Aporcelaimellus*) | | | | |
| abundance | 25.00 | 25.00 | 25.00 | 25.00 |
| biovolume | 9.50 | 9.50 | 40.50 | 40.50 |
| copy number | 16.06 | 15.10 | 50.52 | 18.32 |
These findings suggest why differences are observed between morphological and molecular analyses of soil nematode communities. For example, only the mixed nematode communities from four species with same abundance (Table 5.6a), with same biovolumes (Table 5.6b) and different biovolumes (Table 5.6c), the composition of copy number from four species are changing. The predatory nematode *Anatonchus* occurs much in higher proportion than the other two bacterial-feeders and one omnivorous nematode. This indicates that if we use
molecular methods to analyze the much more complicated nematode community extracted from soil samples, we should consider about some factors here, such as different nematode size within the same species, and abundance composition, which yield different copy number. However, the effect of averaging in a large community assemblage, which reduces effects of division, remains to be measured.
5.4.6. Conclusion
Our results confirmed previous studies (Sulston et al., 1983, Sachs, 1994, Malakov 1994, Cunha et al., 1999) that for *C. elegans*, there was no correlation between body size and copy number showing that *C. elegans*, is eutelic. However, the three other species of soil free-living nematodes tested, *Panagrolaimus detritophagus*, *Anatonchus tridentatus* and *Aporcelaimellus obtusicaudatus*, showed a pattern where SSU rDNA copy number was increased significantly by the body size. This may provide support for the assertion of Cunha et al. (1999) that many, perhaps most, nematode species are not eutelic.
But the question is how we can use the data from real-time PCR to analyze the mixed nematode community, and find the connection between the real-time PCR data and T-RFLP. There are still more puzzles to be resolved in the future.
Chapter 6. Conclusion and future work
6.1. Conclusion
This study focused on the effects of grassland management, in terms of N and P fertilization, on the soil nematode community and used soil nematodes as an indicator of soil processes in grassland soil. The aim was to improve the understanding of grassland soil biodiversity and led to a better management of grassland soil food webs. The study also evaluated a high-throughput method for nematode community analysis, directed T-RFLP, for use as a potential bioindicator.
The main finding of the work reported here can be summarized as follows:
- **With long-term P fertilization (> 40 years) of grazed grassland**
a) The soil nematode community showed significant changes with P management. P fertilization increased the proportion of bacterial-feeding nematodes and decreased that of fungal-feeding nematodes, indicating a shift from fungal to bacterial decomposition pathways in the more intensively fertilised systems which was possibly related to the deterioration of ecosystem complexity following continuous P application.
b) Soil microbial biomass and community structure was also modified significantly. P fertilization increased soil microbial biomass C, N and P content, especially in the higher P treatments. P fertilization also significantly changed microbial PLFA profiles, confirming the reduced fungal biomass and fungal-bacterial ratio at high P fertilization.
c) qPCR determination of the bacterial standing crop taken together with the nematode community analysis, indicated that bacterial turnover in grassland soils increased with P addition.
- **With short-term inorganic N and cattle slurry application (< 2 years)**
a) Inorganic N and cattle slurry applications had different effects on nematode abundance and community structure. Nematode abundance increased significantly with slurry application, but not with inorganic N application. Inorganic N fertilization significantly increased the proportion of bacterial-feeding nematodes and decreased that of omnivorous nematodes, while no obvious differences were found following slurry application.
b) Compared with slurry, higher inorganic N application increased the herbage
production and N uptake, indicating that inorganic N facilitated a faster N flux in this grassland system, as supported by the increasing proportion of bacterial-feeding nematodes. The discrepancy between plant performance and soil nematode community in response to slurry and inorganic N application revealed that the limiting factors for plants and soil nematodes were different.
c) Cattle slurry application stimulated nematode abundance, its lower N content applied to soil as well as slow N mineralization might mask its advantage on the herbage yields and N uptake, comparing with inorganic N fertilizer application.
- **T-RFLP for nematode community analysis**
Directed T-RFLP was used as a molecular profiling approach to provide information regarding to trophic group composition of nematode community. Results obtained from both molecular and morphological analysis in the long-term P fertilization grassland trial were not identical but similarly indicated that P application resulted in a shift from fungi to bacteria dominated decomposition pathway. The rapid, easy and replicable T-RFLP approach is a robust tool for the routinely monitoring soil nematode community, which helps to advance the characterization of soil biodiversity and assessment of soil quality.
- **Real-time PCR assessment on nematode gene copy number**
To account for the mismatch between molecular and morphological analysis of the nematode community, real-time PCR was adopted to determine the correlations between SSU rDNA copy number and body size in four species of soil free-living nematodes. For the bacterial-feeding *Caenorhabditis elegans*, there was no correlation between body size and copy number, showing that it was eutelic. However, for the three other species of soil nematodes tested, the bacterial-feeding nematode *Panagrolaimus detritophagus*, the predatory nematode *Anatonchus tridentatus* and the omnivorous nematode *Aporcelaimellus obtusicaudatus*, there were non-eutelic traits as the rDNA copy number increased significantly with body size.
**6.2. Wider implications of the results**
Because of the need to use grassland by sustainable way, there has been much recent interest in the characterization of soil biodiversity and its function in agricultural grasslands. Much of this interest has come from the need to develop grassland management strategies directed at manipulating the soil biota to encourage a greater reliance on ecosystem self-regulation than on artificial inputs such as fertilizers and pesticides (Yeates *et al.*, 1997).
How has the soil community reacted over the ten years since change the fertilization? This is exactly a question having been answered from the Cowlands experiment (Chapter 3). A more rapid respond was observed to P addition (from P0 to P0-30) than to stopping P addition (from P30 to P30-0). This means that available P can accumulate in the plant-soil system. This can be seen from the nematode, microbial and chemical data in Chapter 3. It might indicate that P fertilization can be more accurately managed by monitoring soil biological as well as chemical attributes and that P can be better used by not applying during those years when in excess. The response to P deficient long-term systems shifts to a more conserved P cycles, as indicated by the altered NCR and the microbial B: F ratio. The fungal dominated systems mean that organisms have long generation times and process matter at slower rates than those with the bacterial pathway (Moore et al., 2005).
Interestingly a parallel study was undertaken at the same time on a cut, rather than grazed in grasslands, which showed no such response in microbial biomass or nematode community structure to a similar range of P fertilization (Massey, unpublished data). This may reflect the comparison between cutting, which no return of organic matter and nutrients back to soil system, and grazing. In grasslands, a large percentage of nutrients taken up by plants in grazing ecosystems is cycled directly through animal excreta, resulting in accelerated soil incorporation, particularly of nitrogen and phosphorus (Ruess and McNaughton, 1987). Therefore, soils of grazed grasslands tend to have small amounts of dead litter on the soil surface but have large amounts of organic nitrogen and carbon (Bardgett et al., 1996), which are recycled by the grazing animals. These features combine to produce a soil environment that sustains an abundant and diverse faunal and microbial community. Grazing livestock increases incorporation of surface litter into the soil, which can increase total soil organic matter. Furthermore, herbivory can increase root exudation of labile C compounds, which can stimulate growth of the rhizosphere microbial community (Hamilton et al., 2001). Bardgett and Wardle (2003) proposed that the positive effects from grazing on soil biota are most common in ecosystems of higher soil fertility, which exactly happened in the Cowlands. Grazing results in a clear increase in soil biomass C and N forms, and also significantly influenced soil nematode communities (Wang et al., 2006).
Slurry application to grassland in this study (Chapter 4) did not cause such large change to the nematode community as in the P experiment, or as has been seen from other studies where slurry has been incorporated into soil. Forge et al. (2005) found long-term use of manure application increased microbial biomass and abundance of microbivorous nematodes, which were indicative of enhanced microbial turnover and flux of nutrient through the soil food web.
The relatively small effects on the nematodes might be related to spatial aspects of slurry applied to grassland in this study and to the shorter term of the study compared to the P experiment. Here slurry was applied on top of the grass, which effectively separated soil from substrate and could result in lower residue decomposition rate and slower distribution of organic matter at soil depth. This is similar to no-till versus conventional-till systems in arable soils, tillage causes the redistribution of organic matter subsequently changing microbial structure and nematode trophic structure. Fu et al. (2000) simulated the decomposition of organic matter in conventional and no-till systems and found the fungal feeders/bacterial-feeder ratio increased with time after residue application in the CT treatment and did not increase in the NT treatment until the end of the experiment, which suggested the added C at the surface was slower and different decomposed than when the C is mixed into the soil. Also they found that soil nematodes used carbon more efficiently under CT than NT system (Fu et al., 2000).
The diversity of feeding habits and habitat preferences of soil nematodes in grasslands has helped gain a better understanding of grassland soil food webs. The use of nematodes in this way will be made easier by the use of molecular techniques.
Despite the change in copy number with body size of individual nematodes from the four species in Chapter 5, real-time PCR analysis offers a high potential to be further developed as a low-cost and high-throughput method for nematode diagnostics, also is useful for nematode DNA quantitative analysis (Derycke et al., 2010; Holterman et al., 2012). Because the body sizes of nematodes are totally different, for example, the range of biovolumes from the nematodes used in Chapter 5, $7.5 \times 10^{-5} - 1.1 \times 10^{-3}$ mm$^3$ in *Caenorhabditis elegans*, $5.0 \times 10^{-5} - 2.9 \times 10^{-3}$ mm$^3$ in *Panagrolaimus detritophagus*, $7.4 \times 10^{-4} - 1.1 \times 10^{-2}$ mm$^3$ in *Anatonchus tridentatus* and $5.4 \times 10^{-4} - 1.9 \times 10^{-2}$ mm$^3$ in *Aporcelaimellus obtusicaudatus*. The differences in body size will be averaged out over the whole nematode samples, which allow the quantitative approaches to work on analyzing the nematode community.
### 6.3. Future work
#### 6.3.1. Developing nematode community analysis as a soil indicator
Although soil nematode community analysis is widely considered as a good candidate to indicate soil condition, there are still many more questions to be answered in order to fully explore its indicative value. In this study, the different responses of nematode community to inorganic N and cattle slurry applications, as well as the time-lag responses to P additions,
imply that future studies should be aware of much more functional information associated with the nematode community. On the one hand, the relations between nematode community and other soil properties should be verified, in particular the functional parameters characterizing soil process and ecosystem services. Correlational or investigative studies will provide sufficient knowledge on this respect. Comprehensively understanding such relationships will not only strengthen its indicative value, but also help us understand the functional implications and interpret the inherent mechanisms. On the other hand, it is also important to know the functional contributions of nematode community to soil process and soil ecosystem services. More manipulative studies are needed to clarify how nematode composition will affect various soil process and ecosystem services (Van Camp et al., 2004). Such information will not only form the bases of utilizing nematode community analysis as a bioindicator, but also contribute to clarifying the relations between soil biodiversity and ecological functions and to aid future sustainable soil management.
6.3.2. Developing molecular methods on nematode community analysis
Although the directed T-RFLP method for nematode community analysis showed high potential in determining nematode community, there were still some mismatches between the molecular and morphological results of nematode communities. Compared with the long history of morphological identification method via microscope, the new-born molecular analysis of whole nematode assemblage in soil is still in the developing stage. I provided some clues from real-time PCR assessment of SSU rDNA copy numbers within and between nematode trophic group, but more nematode species, such as those belonging to fungivorous and herbivorous nematodes, should also be included. More investigations combining both molecular and morphological methods in different habitats and ecosystem types are needed to corroborate the reliability of the molecular method and improve the molecular databases. The ecologically relevant information for interpreting nematode molecular results should also be strengthened. For this target, the relations between molecular results of nematode community and other soil parameters (as mentioned above) should be emphasized. There is no doubt that the development of nematode molecular analysis will also benefit from the fast development of molecular techniques in other research fields.
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A comparison of molecular methods for monitoring soil nematodes and their use as biological indicators
X.Y. Chen\textsuperscript{a,c,d,*}, T.J. Daniell\textsuperscript{b}, R. Neilson\textsuperscript{b}, V. O’Flaherty\textsuperscript{c}, B.S. Griffiths\textsuperscript{a}
\textsuperscript{a}Teagasc, Environment Research Centre, Johnstown Castle, Wexford, Ireland
\textsuperscript{b}Scottish Crop Research Institute, Invergowrie, Dundee DD2 5DA, UK
\textsuperscript{c}Dept Microbiology, National University of Ireland, Galway, Ireland
\textsuperscript{d}Soil Ecology Lab, College of Resources and Environmental Sciences, Nanjing Agricultural University, Nanjing 210095, China
**Article history:**
Received 5 March 2010
Accepted 7 May 2010
Available online 21 May 2010
Handling editor: Hermann Verhoef
**Keywords:**
Biodiversity
Soil fauna
Nematodes
Morphological identification
Molecular methods
**Abstract**
Soil fauna, especially soil nematode communities may be used as indicators for monitoring soil biodiversity and ecological processes. A major drawback facing ecologists is the specialised taxonomic knowledge and labour intensive nature of the work required for traditional morphological identification of soil fauna. We review rapid molecular methods, including: DNA Barcoding or sequencing, PCR-DGGE, PCR-TRFLP and real-time PCR, which could enable an empirical assessment of soil nematode assemblages and lead to their use as monitoring tools. Based on advantages of: high-throughput; ease of comparison between samples; and rapid data analysis, we argue that PCR-TRFLP is well suited to monitoring purposes.
© 2010 Elsevier Masson SAS. All rights reserved.
1. Introduction
1.1. Nematodes as biological indicators for soils
In recent years, interest has been shown by soil scientists and ecologists in measuring soil quality, particularly since the drafting of the Soil Framework Directive and increased national requirements for soil monitoring [17]. Soil quality is a combination of the physical, chemical and biological properties that contribute to soil function. Indicators of soil quality should be responsive to manage practices, integrate ecosystem processes, and be components of existing, accessible databases [41]. Such indicators must be quantified to document the improvement, maintenance or degradation of soil quality [42], represent different aspects of soil quality in different ecosystems [21], and strive to monitor or measure three basic functions or parameters: 1), soil structure development; 2), nutrient storage; and 3), biological activity [21].
Soil invertebrates are recognised as useful indicators as most are highly sensitive to perturbations and disturbances, for example, earthworms have been used to indicate soil properties [7] and soil pollution [68]; nematodes for environmental monitoring [11,12]; macroinvertebrates for soil heavy metal pollution [47,48]; and collembola for the restoration of environmental conditions [78]. Nematodes have been used as indicators of overall ecological condition because of the wide range of feeding types and the fact that they seem to reflect the successional stages of the systems in which they occur [11,22,24,76]. Furthermore, nematodes are sensitive to environmental insults and changes in their distribution and activity are diagnostic of changes in soil health [12,20,24,25,35,49,62,75], and they are the most abundant of the soil metazoa [20]. Nematode species occurring in soils encompass a wide variety of feeding strategies [77], including many free-living species that feed on soil microbes (bacteria or fungi). Microbial-feeding nematodes are among the most important consumers of bacteria and fungi in many systems [33], and their interactions with microbial decomposers affect ecosystem processes such as decomposition and nutrient cycling [28].
1.2. Limitations to routine monitoring
The identification of soil fauna often requires a high degree of taxonomic expertise [3,16]. Furthermore the time spent on identification (with the corresponding costs) makes it difficult to have results over a relatively short period of time with affordability. This is particularly true for the nematodes, identification of all individuals to the species level is time-consuming [43], so the characterisation of nematode communities continues to be resolved more coarsely than...
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JURIST 1988
THE JURIST
Volume VI, nineteen hundred eighty-eight
Texas Tech University
School of Law
Lubbock, Texas
TABLE OF CONTENTS
Dedication ........................................... 2
Comments ............................................ 3
Student Body ......................................... 6
Faculty and Staff ..................................... 36
Organizations and Activities .................. 48
Alumni Directory .................................... 68
DEDICATED TO THE MEMORY OF AL ALLISON
THE DAY MY GRADE POINT DIED
A long, long time ago, I can still remember when undergrad was really fun. I knew if they'd let me be a part of this academy I'd show 'em how it was done. August came and I was frightened; but I was soon enlightened. I really must confess, I hated legal process. I can't remember if I cried when my final grades I finally spied. Something touched me deep inside the day my grade point died.
So bye, bye my new way of life, No Mercedes, no big bucks no more rich wife. The law review folks were studying all the time were saying hey boy, I hoped you learned. I hope all your bridges ain't burned.
Edgar it must be quite a joke that you failed a whole lot of folks; but or did Newton fail you too? Or is it just our rotten luck that a whole bunch of us almost flunked or is this some new Baylor policy. I know I'll get last laugh because I caught the Dean with the cleaning staff. O what a sight to see sexual immorality. But you know it's just my luck my rumor won't win that hundred bucks because all will know I lied the day my grade point died.
And we were singing Bye, Bye my new way of life, no Mercedes, no big bucks, no more rich wife. Them big Dallas firms were all ignoring me saying hey boy it looks like you'll be working in a clinic for free.
Zaffrin always speaks her heart. She loads her books in a shopping cart. Lately she's had a loss of voice. I went down to the SBA store where I bought my books just five months before; but of course you know it wasn't open. In the forum the smokers smoking, Chris Rhodes is still a choking. Next door the dominoes playing and Taggert's still got his hand raised. The three books that I used so well Case Notes, Gilberts and Emmanuels but at least I know they'll resale — too late my grade point died.
We had those 1st year law school blues.
THE DAY MY GRADE POINT DIED
To You, My Friends
When hard times come and there seems to be no one,
Open this book and remember someone.
We touched each others lives,
As we went through the law school strife.
Flip through these pages, laugh, cry, or curse,
And remember that law school was the worst.
Good luck in your endeavors.
Hope your career is the best ever.
Candace Norris
CLASS OF 1988
Aguilar, Kelly
Arditti, Regina
Arth, James
Backus, David
Bednarz, Timothy
Bennett, Catherine
Berry, Don "Bor"
Blankenship, Mark
Borchers, Mary Ann
Brocato, Walter
Broome, Amy
Brumbelow, Betsy
Buck, Teresia
Campanelli, Barbara
Cantacuzene, Rodion
Casner, Richard
Cozby, Raymond
Curnutt, Lisa
Doepfner, Phil
Doyle, Chris
Fisher, David
Fitzpatrick, John
Foreman, Rafe
Glasheen, Elaine
Glasheen, Kevin
Godfrey, Amy
Gomez, Pete
Gonzales, Frank
Gray, Brenda
Greenberg, Mark
Griffith, Ross
Hagemann, Jody
Hamilton, Terry
Hatch, Les
Herauf, Debra
Hill, Bobbye
Hobbs, Lonnie
Hoyl, Ronald
Hrabal, James
Humphries, Cynthia
James, Jay
Jordan Zellrin
Keith, Scott
Keils, Kathy
Kiss, Fuy
Knight, Michael
Ladd, Larry "Rusty"
Lee, Elaine
Loyd, Audrey
Marks, Robert
Martin, Charlie
Martin, Patricia
McDonald, Melody
McKenzie, Melanie
Merritt, Johnny
Montman, Lisa
Moore, William
Morris, Synthia
Morse, Charles
Norris, Candace
Old, James
Poole, David
Reecer, Dena
Rhodes, Chris
Rhodes, Rhonda
Roden, Jane
Roden, Russell
Rommer, Greg
Southers, Steve
Sradar, Sabra
Taggart, Alan
Tatom, Kyle
Thomas, Lori
Todd, Melissa
Tomme, Curtis
Turner, Jan
Turner, Shelly
Vrana, Mike
Webb, Jonathan
Webber, David
Wendt, Bryan
Westerfield, Sonja
Whelan, Katie
White, Timothy
Winn, Reeves
Womack, Tim
Wood, Trey
Young, John
Graduation 1980
18
19
CLASS OF 1989
Allbright, Jeana
Allison, Jana
Baugh, Ronnie
Burt, Richard
Cary, Elizabeth
Cavazos, Ernesto
Chandler, Frank
Clester, Kelli
Cook, Pamela
Copeland, Mary
Cox, Larry
Curry, Gregory
Davie, Kelli
Druce, Tracy
Duggan, Christopher
Elliot, William
Fletcher, Richard
Freas, Charles
Gross, Kim
Hardy, Brent
Harger, Gary
Hawk, Kenneth
Hendershot, Karen
Hendrickson, Gabriel
Herrington, Lex
Holland, Brennan
Hymer, David
Jackson, Rameia
Jacob, Beau
Jones, Cathy
Jones, James
Jones, Paula
Jung, Kenneth
Kemp, Kerry
Lambert, Kenneth
Lewis, Larry
Lindley, Todd
Lumaden, Sharyn
Lungwitz, Kevin
Matthews, Marty
Michals, Britt
Miller, Paul
Moore, Timothy
Nashley, Perry
Nashitt, Earl
Nichols, Roger
Newby, Byron
Nolen, Charles
Novak, Lana
Nugent, Carla
O'Briant, Robert
Orren, Gary
Owen, Susan
Phillips, Roger
Price, William
Prigmore, Jana
Ratliff, Sunny
Sanders, Eve
Sanders, Jeff
Schultz, George
Schurr, Patrick
Summerford, Leslie
Tatom, Teena
Thompson, Michael
Toler, William
Tyer, Tanya
von Kreisler, Alexander
Wagoner, Ruth
Wells, Pamela
Wheeler, Dureen
Willingham, David
Wyatt, Chris
Hopkins, Jean
CLASS OF 1990
Ashley, Lynn
Barclay, Shella
Blalock, Amy
Bond, Nina
Borcata, Thomas
Browder, Robert
Brown, Kevin
Byrd, Lance
Casto, Larry
Chapman, Susan
Cooke, Brian
Colburn, Jolyn
Curry, Michel
Davis, Drue
Duncan, David
Durrett, Joel
Dutton, James
Duva, Louisa
Dyer, James
Ensign, Mark
Evans, Karen
Fletcher, Kelly
Frazier, G. W.
Gotelli, Holly
Goyett, Brett
Hamilton, Rita
Hays, Gloria
Hays, Phillip
Harwell, Gregory
Heald, Robert
Hensley, Dana
Husband, Linda
Hill, Robert
Hughes, Simon
Jackson, Jennifer
Johnson, Kristi
Joplin, James
Kerbon, Thomas
Koehler, Bruce
Lasley, Kyle
Lawson, John
Lee, Maurice
Love, Gregory
Lovett, Tina
Mayes, Thomas
McAlister, James
Moore, Sara
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THOMAS E. BAKER
Associate Professor of Law, 1979. B.S. Florida State University 1974; J.D. The University of Florida 1977. Admitted to practice in Florida.
HAL M. BATEMAN
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CHARLES P. BUBANY
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DONALD M. HUNT
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ARANI
VOL. 6 - FALL EDITION
OCTOBER 2018
An Expression of Srishti
Bengali Cultural Association of Charlotte, North Carolina
INDIA GROCERS
Providing the highest quality, ethnic grocery and spice products
Where Quality Meets Value, Low Prices Every Day!
Wishing all a very Happy Dussehera
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Original Location
509 North Polk St, (South Blvd)
Pineville, NC 28134
Directions: 2 miles from Carolina Place Mall and I-485 (exit 65-B towards Pineville). Same Shopping Center as Subway and Sherwin Williams. Across the street from Performance Honda / Suzuki
704.889.2210 Fax: 704.889.2211
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Open Seven Days a Week:
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We accept EBT Cards & Major Credit Cards (Including American Express)
Visit us online at INDIAGROCERSNC.COM
Like us on Facebook at India Grocers Charlotte
2nd Location
8215 – F University City Blvd
Charlotte, NC 28213
704.597.9913
Open Seven Days a Week:
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HAPPY DURGA PUJA
On this joyous occasion, may the Goddess shower her blessings and love on you and your family!
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We were jolted out of our sleep at 3:45 am by the loud ring of the phone call. It took me a minute before I reminded myself that I was in a beautiful hotel room for our family’s trip to Jaipur. Slowly, my husband Uttam answered the phone and heard the voice of our neighbor from the US. He sounded frantic and worried as he conveyed the news that our house had been hit by lightning and the roof was set aflame by this cruel form of nature’s fury. Being 8000 miles away from our home, our hearts raced and we shook in fear terrified, at the thought of what had happened. The turquoise colors of the room failed to calm us down. The soft blanket was anything but comforting. For the first time in my life, we had faced the possibility of losing our home. A few minutes later we heard from our neighbor again, this time on a video call to show us the condition of the house. Much to our relief, the damage was very small and easily repairable. The Fire Marshall spoke to us too, which was truly reassuring. As we put the pieces of information together, we realized that more than one person had helped at that critical moment. Alert neighbors stepped out to see what had caused a loud bang, one called 911, another tried to contact us, the amazing firefighting team arrived immediately and put out the fire in no time. It is because of them that our house is still standing. Our travel agent, left no stone unturned to acquire a new ticket for my husband to return to the US. In the days that followed, friends called to check on us, offer moral support, dealt with the repairers while we were en route, and went out of their way to make meals and do airport pick-ups. Each one of them took time out of their busy schedules to show care and concern without expecting anything in return.
It is still hard to believe that an electrical charge of over five billion Joules zapped the roof of our house, but we are very grateful to God for the safety of our family and the kindness demonstrated by the people in our neighborhood and by our friends. That very quality is what evolves a group of people into a community. It is what builds hope when you are vulnerable and encourages generosity when you are secure. Life is unpredictable and within one catastrophic second you may have to face your worst nightmare.
The good news is that there are so many ways in which one can express benevolence. Let’s take Leena Basu, for example. A very active member of Srishhti, she says that growing up in a joint family, the idea of giving back was really just a part of her family and culture. She believes that, “they (family) made me realize that we make our life by what we give and it was in our vein…. love only grows by sharing.” After Leena worked with ‘special kids’ as a Special Ed teacher in Indian Institute of Cerebral Palsy, she experienced what Helen Keller describes as, “The unselfish effort to bring cheer to others will be the beginning of a happier life for ourselves” In Leena’s words, “I feel content to offer my skills, my time to those who can use them in an easy way to give back. I support donation to charity. In return it satisfies my soul and it brings a profound ripple effect.”
I couldn’t agree more. One of the most rewarding experiences we had as a family was participating in the Pay It Forward 5k in Mooresville, NC. At the end of the race, all finishers received a bottle with not just a message but cash. To my delight, I discovered $200 in my water bottle and note saying that the money was to help pay for an act of kindness. My daughter tried to convince me that contributing the crisp $100 bills toward the family vacation was a worthy cause. After some friendly debating we decided on the organizations to support. My husband and children chose to donate their share to the local Children’s Theatre, as they “never want it to close down.” I chose National Public Radio (NPR) not because it is hard to sit through their donation drives, but it is among other things, my secret weapon. Picture this, if the kids bicker in the car then NPR comes on and forces them to look for a way to resolve their current disagreements. The threat of continuing to put up with “Here and Now”, unites these siblings in their common goal of listening to their favorite music.
In the same 5K, I saw groups in matching t-shirts collectively supporting their cause, laughing and building a sense of camaraderie, at the same time getting some exercise on a cold morning that would otherwise be spent lazing around and eating a big breakfast. If you love running too, be sure check out “Bhag Srishti Bhag” featuring our very own members.
We cannot single handedly change the world, but we surely can make a difference. No effort is too small. For instance, by reducing the use plastic objects we can collectively protect the environment. Shalini Dey shares her message in, “Beat Plastic Pollution”.
But there are some who go above and beyond in their quest towards betterment of society. We have such a rare gem among us, an individual who has made it her mission in life to empower women in India. Through her organization “Yes She Rises”, Indrami Nayar-Gall is gearing up to educate and employ women trapped in the Devadasi system in pockets of Karnataka, India. In a heart wrenching short story, “Unmoving Darkness”, she writes about the fictitious Durgamma struggling to make sense of her life within this abhorrent practice.
When my co-editor, Saswati Collam and I were discussing this topic, she shared an interesting perspective. She said, “What amazes me is the fact that the very five billion joules that has the power to incinerate all and reduce everything to ashes, also has the capability to coalesce grains of sand and form a material as delicate and pristine as glass. We like to think that ARANI oozes with that unique “oorja” (energy) that charges Srishtrians, and brings them together once in a year to make this unique literary effort successful each year, every year”. And now a few resourceful ladies from Srishhti led by the likes of Anita Sarkar and Shanta Dutta hope to tap into that reserve of resident energy. Under a new initiative aptly titled as “Oorja” and fueled by the thought, “If not me, who?”, the group aspires to channelize this energy, our community’s amazing skill sets as well as the cognitive surplus that exists amongst each of us to get engaged actively with some of the social causes in Charlotte like education, stimulating upward mobility and several others. We hope that you too will choose to be a trailblazer and participate. Let’s also pray that Maa Durga gives us the strength to support the right thing and that her blessings guide us to create a better world. Jai Maa Durga!
The Editorial Team Wishes You and Your Near & Dear Ones a Joyous Durgotsav.
TEAM ARANI 2018
Editor's Desk
Saswati Collam
Shyama Parui
Munmun Naskar
Fund Raising
Sekhar Naskar
Subrato Dey
Shomit Banerjie
Debsundar
Shoma Sengupta
Karli Bose
Creative Design
Priyanka Mandal
| Page | Title |
|-------|--------------------------------------------|
| 11-17 | Shetu |
| 20-21 | Best of both worlds |
| 22 | Postcards |
| 25 | Memories |
| 26-27 | Bhag Srishti Bhag |
| 30 | The Phoenix |
| 31 | Contemplations on the Cosmos |
| 32 | Children's Poetry |
| 34-36 | Poems by Gunjan |
| 38-39 | Breast Cancer |
| 41 | Maangsho Bhaat on the beach |
| 42-43 | A Tete-Tete with a Taekwondo legend |
| 44 | Gratitude brings positivity |
| 46 | Photo Collage |
| 50-51 | Hairball on the loose |
| 52 | The Life cycle of stars |
| 55 | Normal |
| 57-60 | Make Up madness |
| 61 | Purpose |
| 63-65 | Unmoving Darkness |
| 66 | Mata Kaali Katha |
| 67-70 | Collection of bengali stories and poems |
| 71 | Beat Plastic pollution |
| 72 | Within Reach |
| 73 | Poetry Collection by Shireen |
| 76-87 | Arani Artists Gallery |
SRSHTI of Charlotte is a registered (Federal ID# 47-2245896) non-profit organization that is dedicated towards social, cultural, charitable and educational purposes.
SRSHTI of Charlotte is a beacon for promoting Bengali culture, literature, art and its rich heritage throughout Carolinas. The organization’s goal is to both preserve as well pass on this rich and vibrant heritage to the next generation of millennials growing up in this great country. It fosters unity and creates a cross cultural interaction and appreciation of diverse cultures, engages in cultural exchanges with like-minded organizations and participates in social welfare activities.
Srishti of Charlotte organizes opportunities for local individuals to present Indian and South Asian performing arts such as dance, music and drama. Special efforts are taken to encourage youth participation so that they learn and continue these art forms and add to the diversity of their talents. Srishti of Charlotte actively partners and engages with various educational institutions in the Charlotte Area. It also organizes donation drives to serve the needs of the community like Hope House (Huntersville), Ekal Vidyalaya, Devadasi Now, The Souls Divine besides others.
Like every year, we are excited to host our largest annual event namely our Durga Puja / (Sharodiya Utsav) from Friday, October 19th to Sunday, October 21st 2018. This social and cultural extravaganza is typically attended by over 600 people from the Carolinas and its neighboring states.
We primarily rely on contributions from our members and commercial and corporate organizations like you to support our growing association. We humbly request your sponsorships by placing an advertisement in ARANI that cover both the print and the internet media for a full year. If you have any questions please feel free to contact us at firstname.lastname@example.org
Thank you,
With warm regards,
SRSHTI of Charlotte
https://www.srishtiofcharlotte.org/
Committee Members
President
Subashish Halder
Board Of Directors
Santanu Sarkar
Rajtilak De
Avishek Saha
Pujo
Monmotho Chakravarthy
Suryadip Chakraborty (Sunny)
Finance
Sumit Biswas
Food
Sanat Sarkar
Chiranjeeb Kundu
Culturals
Anindita Agarwal
Leena Basu
Marketing
Avishek Saha
Social Outreach & Fundraising
Sekhar Naskar
Logistics
Rajtilak Dey
সেতু
চন্দ্রলী বন্দ্যোপাধ্যায়
(১)
বিক্রম গড়িয়ে সঙ্গো নামব করছে। ফুলের বাগান শেরিয়ে, শৌটা চারেক সিডি টাপকে, বাড়ির সংলগ্ন ছোট বারান্দায় উঠে এসে, সন্তর্পণে সদর দরজার হাতলটায় হাত রাখতেই আস্তে আস্তে দরজাটা খুলে গেল। আশ্চর্য হল নীল। চবি পকেটেই ছিল অবশ্য, কিন্তু বার করার প্রয়োজন হল না।
দরজা খুলে করিডোরে ফুকে দরজাটা ‘লক’ করে দিল সে। বাড়িটা নীলের হলিডে বিট্টা। বেশির ভাগ সময়ে খালি থাকে। এখন, এসময়ে করো এ বাড়িতে থাকার কথা নয়। খুব পা চিপে চিপে, দুরু দুরু বক্ষে, নিচের তলার কিনটি শোবার ঘর, খাবার ঘর, রায়মার, টিভি রুম, সবই খুরে দেখে নিল একবার। নাই! কোথাও কেউ নেই। ছিমছাম আসবাব দিয়ে সাজানো ছবির মত পরচ্ছলা, তার মা যে ভাবে রেখে গিয়েছিলেন গত ক্রিসমাস-নতুন বছরের ছুটির সময়ে, ঠিক তেমনই আছে।
এই বড়ি ফেনার পিছনের ছোট ইতিহাসটা নীলের হাঁটে মনে পড়ে গেল। বছর চারেক আগে অস্ট্রেলিয়া থেকে দক্ষিণ নিউ জিলান্ডে বেড়াতে এসে তার মা করবী প্রোমে পড়ে গেলেন আর্থর পাসের। প্রবাল জেল ধরলেন যে এখানে প্রতি বছর ছুটি কাটাবার জন্য একটা বাড়ি তাকে কিনতেই হবে। নীলের ডাকার বাবা অজয়ের কিংবা প্রতিবাদে বিশেষ ফল হল না। অগতা, তিনি দেন রায়মার রাজে বাসনো ছোট্ট এই দেনতলা বাড়িটা বাবা কিনেই ফেললেন। প্রতি বছরই সেই থেকে জানুয়ারী মাসে ছুটি কাটাতে এখানে আসে নীল তার বাবা মায়ের সাথে।
নীলের এবারকার অনা সময়ে আসতা অবশ্য বাবা-মার সঙ্গে নয়।
এখন জুন মাসের শেষে নিউ জীল্যান্ড-এর আর্থর পাসের এই অঞ্চলে জমজমাট নীতা। নীলের রিট্রাইভেন সামনে পাথরে ওপর প্রায় তিন ইঞ্চি পুরু বরফ জমে আছে। আলেপপেশের সব কটা বাড়ির ছুটো বরফের কম্বল ঢেকে সাদা। সুন্দরে রাস্তার ওপরে পাইনের ঘন জঙ্গলের পিছনে উচু উচু তুষার-শুষ্ক পাহাড়গুলো যেন ধামাকায় হয়ে দাঁড়িয়ে আছে।
সিডি দেখে ওপরে উঠে এলো নীল। ওপরে আর্টিকে পাশাপাশি দুটো যায়। একটা নীলের শোবার ঘর, অপরটা স্টাডি। নিচের শোবার ঘরে তুলে ঘরের অপর প্রাচীরের দরজা খুলে বালকনিতে গিয়ে কিছুক্ষণ স্কাঁ হয়ে চেয়ে রইল সে। পাইনের ঘন সুরু আর পাথরের ওপর জমাট বরফের শুভতার মিলেমিশে কর্ণুক্ষে ট্রাখ জুড়িয়ে গেল। একটু পরে নীল ঘরে যেতে তার বিচানো এসে বসল। বুকের ধুকুপুকানি একফক্ষে অনেকটা কমে গিয়েছে। শরীর আর মন জুড়ে নেমে আসছে অবসাদ।
(২)
সেলিন সকালে নীল আর তার বন্ধুরা কুইন্স টাউন থেকে, ওয়েস্ট পোর্ট ছাড়িয়ে, আর্থর পাসে এই হলিডে বিট্টারের দিকেই আসছিল। সিডনী বিশ্ববিদ্যালয়ের প্রথম বছর ছাত্র ওরা। বছরের মাঝে টার্ম ব্রেকে ছুটির অবকাশে, তার চার অন্তরঙ্গ বন্ধু - ক্রিস, মাইট, প্রশান্ত ও শরীফকে - নীল রাজী করিয়েছিল নীতের বরফে ঢাকা নিউজিল্যান্ডের দক্ষিণ দ্বীপে বেড়াতে আসছে।
নীলের মা করবী বার বার বারন করে বলেছিলেন, ‘এই শিশুতে ওখানে সবই বরফে ঢাকা। রাস্তাগুলো সরু এবং শোলমেলো। এখন ওখানে না যাওয়াই ভাল।’
আঁটারো বছরের নীল দু হাত তুলে মাকে নিরস্ত করার ভঙ্গিতে বলেছিল, ‘মা, তোমার সব তাড়েই ভয়। এত ভয় শোনে আগামোহোবিয়া নিয়ে বাড়িতে বসে থাকতে হবে। কোথাও বেরোন চলবে না। রিলাক্স মা। আমরা সকলেই সতর্ক হয়ে গাড়ি চালাই।’
প্রশান্ত ও শরীফকে বাড়ি থেকেও মুখু আপার্ত উঠেছিল। কান দেখে নি ওরা। বারা লিন আলো এয়ার নিউজিল্যান্ড ফ্লাইট কাইন্স চার্ট এসে দেখেছিল ওরা। বকবকে একটা হতভুরো পেশাগত গাড়ি ভাঙা নিয়ে হৈ হৈ করে বেরিয়ে পড়েছিল অত্যাধুনিক, দক্ষিণ নিউজিল্যান্ড পর্যটক। দরজন ঘোরা হল কুইন্স টাউন, মিলফোর্ড সাউথ এবং প্রেশিয়ার এলাকাগুলোতে। শীতের বরফ সংকুল পাথর বেশ কিছুটা গাড়ি চালালেন ওরা। বাবা-মায়ের আওতায় বাহার, পুরোপুরি স্বাধীন তাবে সাংখ্যাতিক আড্ডাভেক্সের এরকম ছিল এর আগে কখনও অনুভূত করে নি নীল এবং তার বন্ধুর।
অবশেষে ওয়েস্টার্ন পোর্ট থেকে আধার পাসের রাস্তায় সৈছে দেখা গেল উচু পাহাড়ের গায়ের উপর দিয়ে উঠতে গিয়েছে সপিল, সরক পথ। মাইলের পর মাইল একে-বৈকে চলেছে – বনফে ঢাকা, বৃষ্টিতে পিছলা। স্পেসটিং কারের ছাদ সম্পূর্ণ উন্মুক্ত। সবে দুর্গর তখন, মহিল দিনের আলো করে আসছে।
গাড়ির চালক উদিন বছরের ক্রিস উল্লস্ত হয়ে বলে উঠল, ‘দা বিয়েল চ্যালেজ অফ ড্রাইভিং লাইস হিয়ার, ফোকস। আই কেট উই আর গোহিং টু এঞ্জে দা ড্রাইভ।’
সহসা, পিছনে পামেলজার সীটে বসা নীল অজনা আশ্চর্যকর কাট হয়ে গেল। শা শির শির করতে লাগল তার। থেকে থেকে মার কথা মনে পড়তে লাগল। কতবার বারন করেছিল এসময়ে এখনো আসতে। ক্রিস কিছু মহা মুখিতে, বা হাতে ধরা বিয়ার বোতলে চুমুক দিতে দিতে এক হাতেই গাড়ির স্টিমারির ঘুরিয়ে এখিয়া চলছে। বাঁকা পথে ঘুরতে ঘুরতে আয়ার্টারির ওপর ওর পায়ের চাপও যেন ক্রমশ বেড়েই চলছে। সিডিতে তারঘরে ইউ টু বায়েরের গান চলছে। নীল ছাড়া সকলেই মাঝে সেই গানে যোগ দিচ্ছে আর মন ঘন বিয়ারের বোতলে চুমুক দিচ্ছে।
(৩)
দুরের পাহাড়গুলোর দিকে তাকিয়ে থাকতে থাকতে এক সময় মুচুচে তুড়ে এক রাস্তা ঘুম নেমে গেল। শায়ার ওপর পাতা সবুজ মোহোয়ারের হালা কলসার ট্রেনে নিয়ে গুরু পড়ল নীল। কতকগুলি ঘুমিয়েছিল ট্রে পায় নি হঠাং সবের মধ্যে কান বাঁধি করে দেওয়া প্রাচুর্য আয়ার্টারে ঘুম ভেঙে গেল। অসন্তুষ্ট বেগে বেড়ে উঠল হাঙ্গিয়ের গতি। দামে ভিজে শোল সর্বাধি। ঘড়িমড় করে উঠে বসল সে। চোখের সামনে দিয়ে মারে দীরে ভেসে গেল একের পর এক কতগুলো ছবি . . .
তারে ভাবনায় সংকুচিত হয়ে বসে আছে নীল পিছনের সীটে। তার পাশে বসে আছে মাটি। নীলকে কনুইয়ের গুঁতো মেরে বললে, ‘নীল, হোয়াই হ্যাভ ইউ সান্ডেলি গন সো কোয়ার্টে? আর ইউ ক্যেয়ারড, মানুষ’
কাতহাসি হেসে নীল বলল, ‘ক্যেয়ারড মী!‘ তার বয়সের চেলেদের বুঝি ভয় পাওয়া মানুষ!
মাটির পাশে বসা প্রশান্ত বিজের মত মন্তব্য করল, ‘কাম অন, বয়েজ! উই আর হ্যাভিং সাচ ফান। চিয়ার আপ, নীল নামিং টু ওয়ারি আয়ার্টার। আর ইউ মিসিস মা, মাস লিটল ব্যাখ’
সবাই হো হো করে হেসে উঠল। বন্ধুর সকলেই জানে নীল এই বয়সেও বেশ মা-হেয়ে। এই নিয়ে ওরা প্রায়ই ওকে ক্ষাপায়। নীল কখনও প্রতিবাদ করে না। এখনও করল না।
ভাবুক ভজ্জিতে মাটি বলল, ‘উই আর হ্যাভিং সাচ এ বিউটিফুল টাইম। উইশ মনিকা ওয়াজ হিয়ার। রিয়ালি মিসিং হারা।’ মনিকা মাটির নতুন বাক্সী। পুরু হচ্ছে ছিল মনিকাকেও এই ট্রিপ সাক্ষে আনে। মাত্রার পরিকল্পনা পর্যন্ত বাক্সও করেছিল মনের ইচ্ছে।
শরীফ বাদ সেঁদেছিল, ‘মনিকাকে সাথে নিলে, আমাদের গলফেক্সদেরও আসতে বলতে হবে। আজন্ত ইউ নো জলি ওয়েল হোয়াট গাল্স আর লাইক। দে উইল রইন অল দা ফান আজন্ত শিল।’
একে মাটির মোর আপন্তি উল্লেখ্য করে তারা বিদেশে যাচ্ছে, তার ওপর সঙ্গে গার্ল ফ্রেন্ড নিলে আর যে রক্ষা থাকবে না নীল সোটা অনুমান করে বলেছিল, ‘ইয়েন, উই স্টোর নই কমপিকেট হিংস বাই ইনভাইটিং দা গাল্স। স্টোর ইট বী এ মেনস আডভেঞ্চার।’ নীলের অবশ্য এখনও সিরিয়াস গার্ল-ফ্রেন্ড হয় নি।
মাটি আহত হয়ে নীলের দিকে ঢুঁকে বলেছিল, ‘উই আর সেঁয়িং অল দিস ‘কজ ইউ ডোন্ট হাভ এ গার্ল ফ্রেন্ড।’ মন্তব্যাত স্বনে নীলের মাথে লেগেছিল বৈকি। সাতিই অন্যান্য স্থানের মত তার এখনও কোন বাক্সী হয় নি। এজন লজ্জার অন্ত নেই তার। নীল যদিও আঁটারো বছর শেষের কয়েক মাস এগিয়েছে, এখনও শৌখিন ক্রেতা দেখে চেয়ে নি মুখে। সুদৃশ, সুলকমান চেহারা, দেখলে মনে হয় ট্রেন্ড বছরের ছেলে। একটি বাচ্চার অভাবে দে আপাততঃ আন্তনিনাতায় তুলছিল।
অবশেষে চারটি মত বিক্রয়ে হওয়ায় মাটির প্রস্তাব ট্রেকে নি।
এমন বর্ণ-সম জায়গায়, মনিকার জন্য মাটার হা-ছতোশের উত্তরে ক্রিস বলল, ‘উই আর হাভিং এ কুল টাইম উইদাউট দেম। আর উই নট, নীল।’
নীল কিছু বলার আগেই শরীফ বলে উঠল, ‘নাউ, ওয়াচ আউট, ক্রিস! উই আর অ্যাপ্রোচিং এ নাসটি বেন্ড।’
উত্তরে ক্রিস রাস্তার ওপর থেকে চোখ সরিয়ে নিয়ে কন্ট্রোল করে শরীফের দিকে তাকাল। এক হাতে বিয়ারের বোতল, অপর হাতে স্টিয়ারিং ঘোরাতে ঘোরাতে কড়াবরে বলল, ‘আর ইউ সাজেস্টিং আই আমায় নট এ গুড ড্রাইভার? আর ইউ সেমিং আই ডোনট ফেমার।’
এবার শরীফ আর প্রশান্ত সমস্তে বললে উঠল, ‘ফেমারফুল!! ওয়াচ দ রোড মান।’
দিব্যবিজ্ঞায়ির ভঙ্গিতে ক্রিস হাঁহ গাড়ির গতি বাড়িয়ে দিয়ে বলল, ‘ও কে,, ও কে,, আই উইল শো ইউ হাউ আই ড্রাইভ না---ও।’
উৎপাতিত গাড়ী ছুটে চলাল মিনিট দশেক, আর তারপরে বিক্ষোভ এক নিখেছেন। গাড়ি গড়তে গড়তে রাস্তা থেকে নেমে এসিয়ে শোল নিচে ধন পাইন বনের মধ্যে দিয়ে আমার মত স্থান বিশাল নদীর দিকে। গাড়ির পড়তে পড়তে নীলের মধ্যে হল করেক মিনিটের জন্য যেন এক ধন কালো পর্দা নেমে এসে দিয়ে আরো ঢুকে চারিদিকে ছাঁচে দিয়ে গাড়ির অঙ্কুর। একটা দেশালাইয়ের শোলার মত তাদের গাড়ীটা লাফিয়া লাফিয়া নীচে নেমে চলেছে। ভূমিতে পাহাড়ের গা থেমে সারি সারি দীর্ঘভূমি আছে পাহিঙ্গুলো। আরও কয়েকটা বিশেষরূপ। তাদের চারিদিকে নেমে এসে শোলস্থানে নিখেছেন। কতক্ষণ পরে নীলের ইষ্ট হল। ছুটে গাড়ী থেকে বেরিয়া এবং বাইরে দড়াল পাহিনে যেরা জঙ্গলের অসমতল পাহাড়ী মাটির ওপর। গাড়ীটা দাঁড় দাঁড় করে জালছে। আশ্চর্য্য হয়ে দেখল তার গায়ে অচ্ছড়ি লাগে নি। মায়ের ক্রোহ-ভালবাসার মর্য তাকে যে সব সময়ই দিয়ে রাখে, নতুন করে উপলক্ষ করাল সে। ক্রিস, শরীফ, মাটি ও প্রশান্তকে কয়েকবার চেঁচিয়ে থেকে কোন সাড়া শোল না। বন্ধুদের শেষ পরিণত যে কি হয়েছে, আর বুঝতে বাকী রইল না তার।
দুহাতে মুখ ঢেকে, মাটিতে বসে পড়ে ছোট ছেলের মতই হাত হাত করে কাঁদতে লাগল নীল। মা কতবার বাকর বলেছিল এখানে এসময়ে আসতো মাকে এখন কি বলবে সে। কতক্ষণ পর যেখানে হল তাদের হলি ডে হোম এখন থেকে আর মাত্র দশ কিলোমিটার। আকাশের বুকে তখনও শেষ দুপুরের আলো। উদ্বাস্ত, অভিভূতের মত হলি ডে হোমের দিকে হাঁটতে আরম্ভ করল সে।
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অনুভূতিপে, শোকে, দুঃখে আবার দু হাতে মুখ ঢেকে বসে রইল নীল। কি করবে কিছুই বুঝতে পারছে না। বাবা, মাকে কি করবে মুখ দেখাবে? ক্রিস, মাটি ও শরীফের বাবা, মা ও বাকবাসের সুন্দর পাহাড়ী কি বলবে? কেন? মায়ারে ওই গাড়ী থেকে বেরিয়া এলো সে। কেনই বা বন্ধুদের ওই জলন্ত গাড়ীতে ফেলে রেখে চলে এলো! পুলিশের সাথেই বা কেন যেখানে করল না! কেন? কেন? কেন? মন থেকে কোন উত্তর পেল না। এক জমাট বাঁধা ভয় বুঝে চোপে বসে যেন তার শাস্ত শোর করে যেখানে সারাক্ষণ। ভাবতে ভাবতে সে আবার বুঝে পড়ল।
মুম ভাঙল ফোনের তীক্ষ্ণ চীৎকারে। ধড়মড়িয়ে উঠে কল নীল। ফোনের গুপ্তত্বে ছোট ছোট না কেন এখন, এই মুহূর্তে নীল কারো সাথে কথা বলতে পারবে না।
আকাশে ভোরের আলো ফুটে উঠছে। বাইরে থেকে বকরে ঢাকা পাহাড়গুলো বিশ্বাসীত দেয়ে আছে নীলের দিকে। নিবর্ধি করে বুঝি পড়ে রাস্তা-দাঁত ধুয়ে গিয়েছে। পাইন গাছের সারি হাওয়ায় বুলু দুলু নাচছে। সে দিকে চেয়ে নীল বলল, ‘কি আশ্চর্য্য পথিবিতা যে এত সুন্দর, কখনই আমার মনে হয় নি।’ কাটা দিন কেটে গোল নিয়ে, জাগান এবং থেকের মধ্যে দিয়ে। সাংখ্যাতিক মানসিক উত্তেজের মধ্যে খিদে-তেতার কথাও মনে পড়ল না।
এরপর একদিন। দুপুর গড়িয়ে বিকেল নেমেছে সেন। তপ্তাক্ষর নীল হাঁত শুনতে পেল নীচে সদর দরজা শোলার আওয়াজ। ধড়মড়িয়ে উঠে বসে কান পেতে রইল সে। কারা যেন বাড়ীর মধ্যে ঢুকে দরজা বন্ধ করছে। নীল আত্মে তার ঘরের দরজা দিয়ে উঁকি মেরে দেখল। প্রায় আন্দোকারের মধ্যে নীল আবছা আলোয় আগুন্তুকের দেখতে পেয়ে পরক্ষেই রক্ত হিম হয়ে শোল।
তার বাবা, মা, মাটার বাবাবী মনিকা এবং শরীফের বাবা-মা, কামরুল ও তাহিয়া তামান ওগুটিগুটি বসার ঘরের দিকে এগিয়ে যাচ্ছেন। সকলের চেহারাতেই গভীর শোকের চাম। মনিকার চোখ-মুখ কেঁদে দেখে লাল। তার মানে আকৃষ্টভেটের খবরটা এঁরা পেয়েছেন। এবার কি করবে নীল। তখনই সে ঠিক করে নিল, একদিন মধ্যে বন্ধ কেটে ওপরে উঠে আসেন, তখনই সে তার নিজের ঘরের আলামারির মধ্যে বুঝিয়া পড়বে। এঁদের মুখমুখি দাড়াতে সে কিছুতেই পারবে না। নীল বাড়ীত আর সবলে কি ভাবে গাড়ীর মধ্যে পড়ে চাই হয়ে শোল এ রহস্যের জবাব তার জানা নেই। লুকিয়ে ধারার সকলক নিয়ে সে তার ঘরের দরজাতা ফিরে করে দাঁড়িয়ে রইল।
ওরা ফ্যামিলি করে গিয়ে একে একে চেয়ার নিয়ে বসলেন। নীল এবার তার দর থেকে সাঙ্গুনে বেরিয়ে এসে শিড়ির রেলিং ধরে দাড়াল। এখন ফেকে ফ্যামিলি এরিয়ার ভেতরটায় খানিক দেখা যায়। নীল তার মা করলীকে দেখতে পাচ্ছিল। মায়ের বিষ্ট চেহারা দেখে তার মন হল যেন সারা পথিবিতা ভেঙে পড়েছে মায়ের মাথার ওপর। অন্তর মুচ্ছে উঠল সেই মুখ দেখে। চিরকাল নীল তার মায়ের আদুলে ‘ছোট্ট ছেলে’। মন চাইল এখন ছুটে গিয়ে মায়ের কোলে মুখ জুড়ে বলে, ‘মা, দেখ আমি টিক আছি কিছুই হয় নি আমারা’ কিছু পারল না। চুপ করে পাড়িয়ে রইল সে।
হঠাৎ নিরবতা ভেঙে কামরুলের গলা শোনা গেল, ‘কাল খুব ভোরে নেরোতে হবে। পুলিস অফিস থেকে লোক দিয়ে আমাদের সাথে যাওয়ার জন্য। ওরাই আমাদের মর্শ নিয়ে যাও।’
নীলের বাবা অজয় বললেন, ‘আইডেন্টিফাই করা সহজ হবে না। সকলেই বিশ্বাসের পুড়ে পিয়েছে শুনলাম।’
কামরুল যায়ে যায়ে বললেন, ‘তুমি – জামা কাপড় – কিছু চিহ্ন হ্যাত –’
তার কথা শেষ হওয়ার আগেই তাহিরা ছ ছ করে কৈলে উঠলেন। নীলের পাখর হয়ে যাওয়া মা তাহিরার কাছে সরে এসে তার মাথায় হাত বোলতে কোলাতে অস্ফুট্টে বললেন, ‘কতবার বায়ন করেছিলাম এসময়ে এখনে না আসতো।’
ওপর থেকে নীল অস্ফুট্ট বলল, ‘জানি, মা। সারাক্ষণ আমারও মনে পড়তে তোমার সেই বারন। আই আমার সো সরি।’ নীলের কথাগুলো নিশ্চিন্তভাবে মিলিয়ে লেল। নীচ অবস্থা পৌছল না।
করবী আবার বললেন, ‘এক এক সময়ে মনে হচ্ছে, এ বড়িটা কেনাই ভুল হয়েছিল আমার। এলিকে না এলে তো এসব কিছুই ঘটত না।’
নীল আবার ফিসফিস করে বলল, ‘মা, প্লিজ ডোন্ট হ্যান্ডেল। হ্যাঁ ওয়াস অল আওয়ার ফলটা। হ্যাঁ ওনলি ক্রিস ওয়াস এ বিট মোর কেয়ারফুল।’
হঠাৎ মনিকা উঠে দড়িয়ে বললেন, ‘লেই মী মেক ইউ অল এ কাপ অফ টী।’
নীল যায়ে যায়ে বলল, ‘খাকে ইউ, মনিকা। প্লিজ হেলপ দেম কোপ ইফ ইউ ক্যান।’
তারপর নিজের মনেই সে আনার বলল, ‘মা, আমি যে কৈলে আছি সে ত তুমি জানো না এখনও। আমি যে দাঁতনাস্তুল থেকে পালিয়ে এসেছিলাম। তাই এখন তোমাদের কাছ থেকে লুকিয়ে বেড়াচ্ছি – পিলট, তবু আর লজ্জার তার মাথায় নিয়ে।’
নীরবে কাদতে কাদতে সে নিজের যারে চুকে দরজা বন্ধ করে দিল।
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পরদিন সকালে উঠে সে উঠে দেখল ওরা সকালে বেরিয়ে গিয়েছেন। নীল তার ঘরের সামনের বারান্দায় বসে সুমুখের পাহাড়গুলোর দিকে চেয়ে রইল। কিছুক্ষণের জন্য মনটা অস্ফুট প্রশ্নিতে ভরে গেল। আকাশে বেশ বর্ণমাত্রে বোদ উঠেছে আজ।
হঠাৎ স্মৃতির জানালা বেরে যেন কত দূর থেকে কানে ভেসে এল প্রশাস্তর গলা, ‘হেলিন আমরা সিডনি ফিরে যাচ্ছি, তার দু দিন পরেই সোনালীর সুহাট সিক্রেটিন পার্টি। আই আম মেন্ট টু বী দ্য এম সী ফর দ্য অকেন্দ্র। হ্যাড টু ডু এ স্পিচ ফর হার।’
ক্রিস বলে উঠল, ‘ইজ্ দিস হোয়াই ইউ হ্যাত বীন সো ফোয়ায়েট অল মনিং।’
মার্ট চিপ্পনী কটিল, ‘অফ কোর্স হী হ্যাদ বীন ব্লিডিং ওভার ইট অল দ্য টাইম – মিসিং আউট অন অল দ্য একসাইটিমেন্ট অফ্ সিস ট্রিপ।’
শরীফ বলল, ‘প্রোলে সেন প্রশাস্ত, ইউ সুন্দরি হ্যাত কাম উইথ আস আট্ট অল – ইফ ইউ আর মিসিং হার সো মাচ।’
প্রশাস্ত লাড়ুক হেসে বক্সের তিরস্কার মেনে নিয়ে বলল, ‘ও.কে. ও.কে. লেটাস টেজ দা সানজেন্ট। হোয়াট আর উই পোরিং টু ডু হোয়েন উই টো টু নীলস হালিয়ে হোম?’
নীল সোৎসাহে বলে উঠল, ‘ইয়েস, লেটিস প্ল্যান আছে। ইট ইস এ ভেরি কোয়ার্টে প্লেস বার্ট ভেরি পিকচারেসকু। মে বী উই ক্যান স্পেন্ড সাম আওয়ার্স টুমরো ইন দা ন্যাশনাল পার্ক – ওয়াফিং, ক্লাসিফিং, এক্সপ্লোরিং।’
মে বী, মে বী, মে বী . . .
প্রস্থাবাতা সবলেরই মনে ধরল। মাটি বলল, ‘বার্ট হোয়ার্ট আর উই ডুয়িং টুনহাইট হোয়েন উই রীচ দেয়ার? নীল, ডু ইউ হাত সাম গেমস্ অ্যাট ইউর প্লেস? এ টি.ভি. আন্ড এ ভি.ভি. ডি. প্লেয়ার?’
নীল মাথা নেড়ে বলল, ‘অফ কোর্স।’
গাজী চালাতে চালাতে ক্রিস টিউনিনি ফাটল, ‘নীল হ্যাস এজুবিথি। ডু ইউ নট, লাকি বয়? এ . ভ . রি . থি . এ . এ . কু সে প ট এ . ই . যা . ৬ ল্যা . স .।’
প্রশাষ্ট হেসে বলল, ‘ডোন্ট ওয়ারি নীল, হু নোস ইউ মে ইভন্ মীট ইউর ট্রিম গার্ল হিয়ার, সামহোয়ের ইন্ এ কোয়ার্টে কন্নার অফ্ আর্থার্স পাস। ইউ ফাইন্ড হার, মান – সুন।’
ইংরাজী ছেড়ে তারপর বাংলায় ছেড়ে উঠল, ‘প্রেমের জাল পাতা এ ভুলনে . . .’
কত গলপগুজব হয়েছিল সেদিন সকালে, সারাদিন খারে, অপারাহ্নের সেই মুহূর্তে অবধি যখন ক্রিস হঠাৎ ক্ষেপে নিয়ে দুখটানা বালিয়ে বসল।
নীল ভাবল, সোনালীর জন্মদিনের পার্টি কি শেষ অবধি হবে? প্রশাষ্ট ছাড়াই? প্রশাস্তর স্পীচ ছাড়া? কারও অভাবে কি কিছু আটকে থাকে? নিন, রাত ত এখনও আসছে, যাচ্ছে। চাপ, সুর্যাণ নিয়ম মত উঠছে, অন্ত যাচ্ছে। আমিও তো হেঁচে আছি। নিঃশ্বাস নিছি। সে বিড়বিড় করে বলল, ‘লাইফ ভাস্ট পোস আন।’
এই উপলক্ষ্টি সহসা তার মনে জোর এনে দিল। সে নিজেকে বলল, ‘আর লুকিয়ে থাকা চলবে না। মাকে আজ রাতে জানাতেই হবে আমি হেঁচে আছি।’
(৪)
সঙ্গো খানিয়ে এলো। নীচে কারার ঘরে সকলে বসে আছেন। কাটরের তুকরো এনে খোলা ফ্যায়ার প্লেসে আগুন বেলে দিয়েছেন করলী। অজয় গলা পরিষ্কার করে বললেন, ‘দেয়ার ইস আস্তাসলিটার্ট নো ডাউট আবার্ট ইট। দে আর অল গন।’ অজয় আর কামরূল মর্শে পিয়েছিলেন দুখটানায় নিঃশ্বাসের সনাক্ত করতে। মনিকার সাথে করবী আর তাহিরা কাছেই একটা পার্কে অপেক্ষা করছিলেন।
নীল সিডিতে নাড়িয়ে ওনের কথা ভাবতে চেষ্টা করছিল। সে মাথা নেড়ে ফিসফিস করে বলল, ‘বাবা, আমি হেঁচে আছি। আর্কিটেক্ট আমার কিছুই হয় নি। কিছু তোমাদের সামনে এসে দাঁড়াতে আমার লজ্জা করছে। বড় ভয় করছে, বাবা। তোমারা আমার ওপর এত হেঁচে যাবে। মনিকাকে আমি মুখ দেখাব কি করে? আর শরীরের মাঝে?’
নীল স্নেহে পেল মনিকা ধরা গলায় বললেছে, ‘ইট মাসট হাত্ত বীন হারফিক। আই ওনলি হোপ ইট ওয়াস কুইক ফর দেম।’
তাহিরা আর করবী নির্শালে কাঁদছেন। যে সমাজে তারা দীর্ঘনিঃ বাস করছেন, সেখান প্রকাশে কাঁদা অমর্ত্য আচরণ। করবীর মনে হল, জোর, চীৎকার বললে, গলা ফাটিয়ে কাঁদতে পারলে আজ হয়তো তার মন স্পষ্ট শেষে কিছুটা।
রেশ কিছুকমন এভাবেই ফেটে পেল। ওঁরা সবলে পাখর হয়ে বসে আছেন নীচে। নীল সিডিতে ওপর দড়িয়ে আছে সবার অলক্ষ্মী। হঠাৎ সে চীৎকার করলে ডাকল, ‘মা, মা, এখানে এসো। আই ওনান্ট টু টক টু ইউ।’
অত জোরে ডাকসম্বেত তার গলা থেকে বর ফুটল না। যেন বোবায় থেরেছে। নীল এবার কাঁদতে, কাঁদতে তার ঘরে ফিরে এসে টোকাটের ওপর দড়িয়ে নীচতলায় মুখ বাড়িয়ে আরও জোরে ডাকল, ‘মা, মা, মা, ওপরে এসো। ডু ইউ হিয়ার মীঃ কাম আপন্টেন্ট্যার্স।’
নীচে করলী চমকে উঠলেন। নীল যেন তাকছে তাকে! এখানে ওসে অবধি এবার তিনি ওপরে ওঠেন নি। নীলের ঘরে ঢুকতে তার মন চায় নি। এই মুহূর্তে তিনি নিশ্চিত জানেন ওপরে আপাতত কেউ নেই। তবে কে তাকে অমন কতরভাবে ঢাকছে ওপর ফেলে। অবিশ্বাস। করলী চেয়ার ছেড়ে উঠে বাললেন, ‘আমি এখনি আসছি’ কেউ কেন প্রশ্ন করল না, বাধা দিল না। এই সাংখ্যাতিক সময়ে করলী আশ্চর্য সহজ ও মনের জোর দেখিয়েছেন।
ধীর পায়ে ওপরে উঠতে লাগলেন করলী। পিড়ি দিয়ে উঠে ছেটে একফলি বারাদার ওপর পর পর দুটি ঘর। অঙ্ককারে আছেন। নীলের ঘরে ঢুকে উল্টেছিলেন, বাহিরের বারাদার সামনের দরজার পালাদুটা পুরাপারি খুলে দিলেন তিনি। স্থচ নীল আকাশে পুর্ণিমার চাঁদ আলো টেকারছে। কেই আলোর ঘরের মধ্যে যেন এক মায়ামায় পরিবেশ সৃষ্টি হয়েছে। নীল তখনও ঘরের ভিতরদিকের টোকারের ওপর দাঁড়িয়ে বিস্ফোরিত নয়নে চেয়ে চেয়ে মাকে দেখছে। আবিষ্কা চেহারা নজরে পড়ছে। সে ভাবছে, শোকে-দুঃখে মা বুঝি কানে কালা হয়ে গিয়েছেন। চেষ্টে যেন আর তেমন দেখিয়েন না! নীলের তার পাশ কাটিয়ে ঘরে ঢুকলেন অচ্ছ লক্ষ্য করলেন না তাকে!
সে আবার টেরিয়ে ডাকল, ‘মা, ক্যান ইউ হিয়ার মী? আমি নীল।’
ঘরের ভিতর চাঁদের আলো ও অঙ্ককারের মধ্যে করলী চারিদিক হাতড়ে বেড়েছেন। যেন আবছা কাউকে দেখতে পাচ্ছেন, যেন অস্পষ্ট শব্দতরঙ ভোঁসে আসছে তার কানে। কিছু তিক হাঁচর করতে পারছেন না।
নীল এবার দরজার কাছ থেকে সরে এসে মায়ের মুখমুখি দাঁড়াল। খুব জোরে চীৎকার করে বলল, ‘মা, বুঝ আচ্ছি মী। আমি বৈঠে আচ্ছি। তোমার সামনে দাঁড়িয়ে আচ্ছি। কেনো না, প্রীতা।’
করলীও যেন এতক্ষণে আবাহাভাবে তার ছেলেকে দেখতে শেখে পেছে ত্রুটিত হয়ে গেলেন। মুখে তার কথা সরল না।
নীল আবার বলল, ‘আমার কিছুই হয় নি। আই হাতু সাতভুড় দা আক্সিস্টেড, মা।’ একটু থেমে বিস্ময় গলায় বলল, ‘কিছু ওরা কেউ বলে নি। দে ওরের নট সো লাকি। আই আম রিয়েল সরি, মা। আন্ড আই আম্ম আন্ডেড। আমি ভম পেরে ওঠান থেকে একা পালিয়ে চলে এসেছিলাম। আই ভিড নট স্টপ টু হেলপ দেম। আই জাস্ট রান, আন্ড রান, আন্ড রান, আন্ড টাই গট হিয়ার। আই প্রাস সো কেয়া। আমার খুব ভয় করছিলো, মা এখনো আমার খুব ভয় করছে। আর লজ্জা। আমি ওদের বাঁচতে পারলাম না।’ দুই হাতে মুখ দেকে দুঃখের কেঁদে উঠল সে।
একটু থেমে সে আবার বলল, ‘আই ভন্লি উইশ দেয়ার প্রায় লাইফ আফ্টার চেঞ্চ। মাদি একবার ওদের দেখা পেতাম। ওদের কাছে ক্ষমা চাইতে পারবতাম। আই উড় হাতু ফেলে সো মাচ বৈটার, মা।’ তার কামা বড় মন্দ-মন্দ।
করলী নীলের কাছা, কথা মন-প্রাণে অনুভব করলেন। তার বুজে আসা গলা পরিকার করে আনকাটা যেন নিজেকেই জিজ্ঞেস করলেন, ‘নীল, তুমি আমার কথা শুনতে পাচ্ছ?’
নীল মাথা নড়ল। সে শুনতে পাচ্ছে।
করলী নীরে নীরে বাললেন, ‘নীল, ইউ ব্রেক্স মাই হাত টু ট্রেল ইউ দিস – তুমি বেঁচে নেই।’
বিস্ফোরিত নমন মেলে নীল তার দিকে চেয়ে রইল। করলী সেই দৃষ্টিতে দেখলেন অবিশ্বাস ও তিরক্ষার। অবশেষে তার নিজের মা তাকে মুত বলে পরিতাপ করলেন। সেই দৃষ্টি বলে উঠল, ‘আমি তোমার চেয়ের সামনে দাঁড়িয়ে আচ্ছি আর তুমি বলছ আমি মরে গিয়েছি। হাউ কুড ইউ? আমার ওপর এতই রেগে গিয়েছ তুমি মা, আমাকে ক্ষমা করো।’
করলী বিশাপ্ত হলেন। একটু ইতস্তত করে, অনেক কষ্টে, বিশ্বাসকষ্টে বাললেন, ‘হ্যা, তোমার বক্তৃতের সঙ্গে তুমিও মারা গিয়েছ। ওই সাংখ্যাতিক দুর্বলনার কবল থেকে তোমার কেউ নিষ্ঠার পাও নি। দুঃখ কোরো না, নীল। লজ্জা পাবারও আর তোমার কোন কারণ নেই। সকলেই তোমার একসঙ্গ নিয়মিত শীকার হয়েছে।’
মুহূর্তের জন্য নীলের মনে হল তার মাধার ওপর থেকে মস্ত এক লজ্জাকার অপরাধের বোঝা ছিলেক পড়ে শোল। আঃ! কি হাল্কা লাগছে তার। কিছু...
সে আবার জিজ্ঞেস করল, ‘তুমি সত্যি বলছু আমি সত্যি মরে গেছি?’
করবী তার ছেলের এই হাদয় বিদারক প্রশ্নের সম্মুখীন হয়ে এক লহমার জনা ভায়া হারিয়ে ফেললেন। তারপর ওর দিকে এগিয়ে এসে দুই হাত বাড়িয়ে দিয়ে বললেন, ‘আমার কাছে এসো। আই ওয়াল্ট এ রিয়ালি বিগ হাপ্ ফ্রম ইউ।’
নীল সাগরে এগিয়ে এলো, এবং পর মুহূর্তেই বুঝতে পারল মায়ের স্মরণ তার নাগালের বাহিরে। এই মর জগতে সে একটি ছায়া মাত্র। মার কথাই সত্য। বিহুল, সত্য হয়ে সে দাঁড়িয়ে রইল।
করবী ওর খুব কাছে সরে এসে আচ্ছাদ্য বললেন, ‘ইটা ও.কে. মাই সান। ভয় পেও না, সোনা। আমরা কেউ কাউকে হারাই নি। শুধুমাত্র জীবন আর মৃত্যুর মাধ্যমে সেতুর দুই পারে দাঁড়িয়ে আছি তুমি আর আমি। দুজনেই দুজনের নাগালের মধ্যে। আমরা চিরকালই কথা বলতে পারব একে অনের সাথে। শুধু তুমি বিশ্বাস রেখো।’
নীল বুলাল। সজল ঢাকে মা আর ছেলে মুখমুখি দাঁড়িয়ে। তারপর অম্পট জোঁক্যার আলো-আলারে তারা মনে মনে একে অনাকে বিদায় জানাল, ভবিষ্যতের প্রতিভুতি নিয়ে।
ঘরের মধ্যে ঢুকে এসে নিজের বিছানায় গা এলিয়ে দিল নীলা। সব ভয়, লজ্জা, অপরাধবোধে কেটে গিয়েছে তার। অনেক দিন পরে এবার নিশ্চিন্ত হয়ে যুনোবে সে।
করবী নিচে ফিরে এসে বসলেন তার পরিত্যক্ত ঢেঁচারে। মন এখন অনেক শাস্ত। নীল তার সত্যই হারিয়ে যায় নি।
Chhandashi Bandopadhyay is an acclaimed writer whose work has been published in several noted Bengali magazines like ‘Desh’, ‘Sananda’, ‘Sarodiya Anandabazar Patrika’, ‘Nabakallol’, ‘Bartaman’ and many others. Born in Varanasi but a long time resident of Melbourne, Australia Chaandashi has been deeply involved with Victoria Archaeological Survey and Swinburne University of Technology in their academic and administrative activities. Chhandashi loves reading, web publishing, traveling the world and creating appropriate reading material for kids growing up abroad.
Eteam wishes Srishti and its community members a happy Durga Puja.
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Best of Both Worlds
Suman Basu
On a soon to be busy Monday morning you are in your office settling down for the week ahead with a coffee from the cafeteria, Paul from the next desk says, “Did you watch the dogs smash the pies last night at the g?” Anybody not from Australia might be thinking, sorry what? Why would dogs smash pies? What is the ‘g’?
Welcome to Melbourne, the world’s most livable city, the cultural capital of “The Lucky Country”, Australia. The dogs refer to Western Bulldogs and the pies refer to Collingwood Magpies, two powerhouse teams of the modern day Australian Football League or Aussie Rules or Footy as the locals would call it. Now what about the G? “The G” is an affectionate term for the Melbourne Cricket Ground, Australia’s premier sporting venue. Melbourne is one of the world’s largest cosmopolitan and a global hotspot for international sporting events, culinary experience, tourist attractions, and activities and of course the city we called home for a long time.
This great city with a buzz, attracts people from all walks of life globally, to travel, live, and enjoy what the city has to offer. Melbourne has some of the country’s best educational institutions from kindergarten to the highest ranked university in Australia. My son, Swastik went to a kindie, (i.e. Aussie for kindergarten) when he was little and enjoyed uninterrupted ‘no study only play’ during that time.
Medicare, Australia’s world-renowned healthcare system enables eligible Australian residents to receive free treatment in public hospitals, reduced costs for out-of-hospital care as well as community health services, ambulance and dental services. Melbourne is served by an integrated public transport network with trains, buses and the world’s largest urban system of trams. Winters meant Footy, Rugby and staying indoors while summers were all about the sand, surf, and the beach with occasional barbies (Aussie for barbecue) amongst friends and associates. The world-famous St. Kilda beach was a lazy 30-minute tram ride and Brighton/ Sandringham beach barely 45 minutes by train from our home. International sporting events like Boxing Day Test cricket (India will be visiting in 2018), Big Bash League, Australian Open Tennis, Formula 1 Grand Prix and Superbike World Championship were all part of the summer frenzy in this sport crazy nation. Did I mention the public holiday for a horse race? Melbourne Cup is the “race that stops a nation”. It is one of the premier events in the global horse racing calendar and the biggest drawcard during the week-long Spring Carnival at the iconic Flemington Racecourse.
One fine day, we packed our bags and flew to Charlotte, the Queen City in the East Coast of United States of America. Since then, many have asked us if we like Charlotte better or if Melbourne was closer to our hearts? Well, the two cities are vastly different from each other in culture, pace, topography and all their offers. We’ve been lucky to call both of them our homes and relish these differences. Unlike Melbourne, Charlotte is a young, thriving city of mostly newcomers or Transplants as they are called here, bubbling with ethnic and economic diversity. This small modern city with growing urban amenities such as great shopping, lots of restaurants with a few good to mostly mediocre food,
year-round themed festivals, and a solid network of roads holds a promising future.
The thing we absolutely love about Charlotte is that it is three hours either way from the beach and the hills which means vacationing is a breeze in this town. One more interesting fact about Charlotte, which has caught our fancy is the one to two days of annual snowfall that gives the perfect photo-op without even worrying about shoveling snow. Working in Uptown, I have noticed an appalling social divide, I walk 5 blocks south to be in stylish South-End or upscale Dilworth. If I walk 5 blocks north I’ll be in a so-called ghetto territory, that I’ve been asked to avoid. In Melbourne, I can’t think of a single suburb where I might have been asked to avoid an area. The elementary school structure is brilliant so far, and our little man gets excellent support from his teacher and the school. What we haven’t figured out is how the medical system, medical insurance, and its coverage works here, it feels and sounds very complicated.
Having said that, what we miss from our lives in Melbourne has been compensated by a bunch of like-minded and culturally inclined people we met at Srishti. Over the last two years we got to know most of the Srishti fraternity and feel privileged that we tagged ourselves with Srishti, who were very welcoming and accepted us with a warm embrace. Lastly, if you are reading this piece, we would like to say, “Thank you for accepting us as we are”.
TRAVEL OF THE MONTH: RAJASTHAN
When I was on my trip to Rajasthan this summer, I saw some incredible things. From ancient forts to floating palaces, there wasn’t a place I wasn’t ready to explore. On one of my journeys I remember seeing a troop of monkeys going alongside a fort we were visiting and it was so cool. I also remember riding on an elephant across the street and seeing goats and pigs on the sides. I hope you like my pictures and they will inspire you to plan your next trip to the beautiful Rajasthan.
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If someone ever asked you, what is the sum total of your life, what would your answer be? If ever I was asked this question, my answer would be that the sum total of my life is nothing, but memories. Memories that I gave others of me, and those that others gave me in return. It is these memories that will flit in-front of my eyes, when I bid adieu to this world.
We start creating a beautiful collage to reminisce from the day we are born. The expression on our parent’s faces when they saw us for the first time. The awe, the wonder and the love that leaps out of that one photo. You can almost touch the love radiating from that photo. I am also cent percent sure that your parents must also have told you that it was the best day of their lives, something that they can never forget.
We are too young to remember our first step, our first taste of food or our first word; still a lot of us know in detail how it all was. Our parents love to recall all our achievements, naughtiness and little things that take them back down the memory lane. It’s in fact a circle, like the circle of love. We create some wonderful moments for them and then they reintroduce us back to those moments through their reminiscences.
Childhood and youth are those parts of our lives that we always want to remember. Whenever the book of nostalgia is opened, the most interesting and intriguing chapters are those of being a kid or of our youthful days. The recollection of those days is woven with gossamer, each strand as beautiful as gold, radiant with love, laughter, friendship, innocence and joy. Even the painful episodes of this period, leave a bitter sweet taste when you visit them after ages.
We often read and are told that one cannot live in the past. One needs to live in the present and look towards the future. However, a short visit to the past once in a while is not a bad thing. The past has a lot to teach. It helps us in not repeating our mistakes. Sometimes unknown to us a smile blooms on our lips as we roam the lanes of our memory. The past is a beautiful garden with each flower stirring new emotions in us. Like any other garden, this one has flowers as well as thorns. In some cases, the sting of some of these thorn becomes blunt with time while others continue to remain sharp enough to draw blood.
Also human beings have been enamoured by immortality from times immemorial. Procreation is also our bid to become immortal. We want to be remembered. We want someone to reminisce about us. We have been creating art, buildings etc., with the hope that we are not lost into oblivion, but leave something behind through which future generations may recall us. Like I said memories are the sum total of our lives. When we come in this world, we come with memories and we bid adieu to this world still holding on to them.
Memories are very potent. Memories are the bits of past which we choose to keep with us. So we decide, what our memories are going to be like. Whether, they will be those wonderful lanes, where we love to get lost; or that nightmare from which we try to run. Time and people may change, but our memories do not need to change. Memories will always remain the way we want to remember them. So here is to beautiful memories!
Bhag Srishti Bhag
Ekata Saha
On May 19th, a group of five Srishti enthusiasts ran the Ballantyne 5K. It was a debut moment as the women of Srishti were participating in a race as a group for the first time. But it was ultra special for two of the participants – Shoma Sengupta & Leena Sarkar who were running their first 5Ks and Joyopriya Majumdar, who decided to run along with her entire family. Saswati was already an established runner and the group motivator while I, Ekata Saha, was a last minute replacement for Chandraboli Dutta, a marathoner (her reputation itself made me nervous).
The race morning began with a sense of excitement amidst a light drizzle and a clouded sky – the perfect weather for a run. A nutritious breakfast, followed by a lot of stretching helped loosen the muscles and kept the blood flowing. Shoma had volunteered and collected the race bibs on behalf of all of us and was the first one to reach the venue. Joyopriya was accompanied by her family and Saswati brought along a colorful neon poster to cheer us all. It had the apt message ‘Bhag Srishti Bhag’ emblazoned on it with brightly colored letters. Leena was nervous yet determined.
We, of course, had to have our Srishti women’s ‘adda’ before the start—cheering each other on and promising a finish line party. As the moment drew closer, the crowds swelled, music filled the air and the motto ‘My race, my pace’ and ‘Finishing is winning’ echoed in our minds. With eagerness and enthusiasm, the Ballantyne 5k run began.
We ran at our own pace. I was competing not with others but with my own self to improve my time. Everyone had a target pace. Mine was 11-12 mins/mile. Happy to say that I finished in just over 35 mins. Finishers medals and the press made it even more thrilling. And of course, I did not forget my sweet, sweaty selfie.
The entire team made it to the 5k finish line as well. There was a lot of cheering and pats on the back as each runner crossed the finish line. We took pride in our hard work that made it happen. What made us very happy was that we did not stop even when we were tired and kept going until we were done.
Here are a few excerpts of “how it felt” from our debut runners -
LEENA’S VERDICT
It’s a feeling of accomplishment. I do enjoy swimming and walking. But I am not too much into exercising and workouts. However, as we all know, time never stops for anyone and neither does age. With age moving in the upward direction, it was a realization of a kind as to how important it is to be physically active. So I just wanted to be an opportunist and take advantage of this great opportunity when few of my friends, especially Chandraboli and Saswati, sparked the initiative. They got us hooked onto this exciting adventure and then guided us all along the way as to how to prepare our mind and body to run our very first 5k.
In all honesty, I was not at all confident that I could do it until I crossed the finish line. What an electrifying atmosphere it was on the race day! A favorable weather helped peak my enthusiasm along with all of my friend’s. We started off in earnest. But as we reached the half way mark, I started finding it a bit difficult to carry on. But looking around at all the kids, other runners and all the positive vibes surrounding us, I started getting the inspiration to continue my run/walk and not stop. And OMG! I finally crossed the finish line listening to all those people and of course, my friends who kept on cheering me throughout. I was amazed that it actually happened, all credit to the constant support from my family and owing to a team that rocks!
After having gone through this experience, I say it with full conviction that it indeed is a great way to stay healthy while enjoying the company of one’s friends. For me, it has been a breath of fresh air, something that I would like to breathe in more and more!
SHOMA’S CONFESSION
My First 5k Run and Experience
I am so incredibly grateful that I actually attempted and finished my first 5 k challenge. It all started when Chandra posted a message of this 5K run that she was participating in and invited all of us to be a part of it. I was the first one to sign up. With no running experience and very few weeks to train, I was in just for the team spirit. And then steps in Saswati, our morale booster and our online trainer. She knew that our team had a few first timers, so to kick things off, she posted an article that outlined the basics of what is needed in the initial stages to shape up for a 5K Race. Then every day she would post a specific type of workout in our Whatsapp group (created specifically for this race team) that I would diligently incorporate in my already hectic work schedule. That is how I trained for my race.
For the race itself, we had to get the race bibs and t-Shirts for the team a day before and that was my responsibility. Next day was the race. I was the first person to reach the venue. And I was nervous. The place was packed with people. There was music, food, drinks, vendors offering freebies, massages, corporate sponsors and fellow athletes waiting for the race to start. I started from the last row of runners where the families with strollers were. The first mile was ok. Leena and I decided to run the downhill stretches and walk the uphills. This strategy helped. The best part of the race was the last mile. It was raining slightly and I was having a mini race within the race, mock competing with Joyopriya’s 5 yr old daughter so that she can also finish the race. I really enjoyed finishing my race in the rain under an hour. And I feel proud to say that I accomplished my first 5k with constant support and amidst loud cheers from my friends.
JOYOPRIYA’S NARRATIVE
It all started out with Chandra and Leena. I remember quite clearly stuffing myself with cake and delicious meatballs when we started talking about getting fit and Chandra suggested a 5k which was barely 3 weeks away. A Whatsapp group was created. Saswati took on the mantle of our running coach providing valuable nutrition and training advice. I must admit I read it all judiciously and dreamt up a persona who did it, all the while sitting and devouring a bowl of avocado and chips. Race day came up much too soon with the girls and Sugata in tow and with zero practice. Enthusiastically we got ready to meet the Srishti group. Ekata, Leena, Shoma and Saswati cheered us on as we started out. Ana threw a fit within the first 5 mins of race which ended my dreams of running the race. Now with Ana on my shoulders and pushing the stroller (which is in no shape or form a jogging stroller). I picked up the pace trying hard, really hard to catch up with the gang. It was a beautiful morning cloudy with a faint hint of rain and there were so many enthusiastic runners - the serious ones, families with children, teenagers, all running at their own pace and then there was the Srishti gang. We walked, we ran, we skipped, we did it all, gave it our all and raced to the finish line. This was my third 5k and the second one with my family and I can’t wait to do it again with the Srishti gang. Bring it on Chandra and Saswati! We are ready!!
Our motto for the next race - ‘Bigger miles to achieve’ and ‘together we can do it’
Bhag Srishti Bhag…
Sharodiya Subheccha
Aarohan
Ananta's School of Music
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The Phoenix
Gunjan Shrivastava
Born with wings to fly, I was born to soar in the sky.
Born with myriad colours, I was born to be the rainbow of the world.
Born with the tinkle of bells in my voice, I was born to chase the silences of the world away.
Born with the light of joy in my heart, I was born to light the world with happiness.
Born as the harbinger of joy, why was I not welcomed by the world?
Born to fly, why did the world clip my wings?
Born with a soulful voice, why did the world muffle my voice?
Born with colours and light in my heart, why did the world snatch my colours and lock me in the dark room?
Born in a world which clipped my wings, stole my colours and filled my life with darkness. I swore ....
I swore to fly again, to regain my lost sky, to soar higher and higher.
I swore to raise my voice, till the deaf world heard me again.
I swore to fill my life with colours again, till I became beautiful in my eyes again.
I swore to find my inner light again, to chase all the darkness away.
I swore to stand tall, free, vocal, beautiful and happy and show the world, that it could scar me, not break me.
Like the Phoenix, I would always rise again.
I have always been fascinated by space and cosmic theory. Much of this is due to the fact that my father and grandfather both had an avid interest in cosmology. All throughout my childhood, I grew up listening to discussions about various cosmological events and terms such as black holes, event horizon, singularities, nebulae and dark energy. New advances in physics and science were debated about with enthusiasm, much of which I didn’t understand at that young age. Over time though, it turned out that a lot of it had sunk in, since I have feelings of marvel and awe when I take time out of my day to think about or read up on facts related to the universe. During my school days in India, celestial events like the sighting of Haley’s comet in 1986, were talked about for weeks ahead in anticipation and I remember the time we all went to the Dhakuria lakes before dawn in order to see that strange sight - , Haley’s comet lighting up the sky, appearing like a broom with a white tail extending behind it. Other memories I have of family gatherings were at events like meteor showers where we gathered together to watch the showers of stars falling from the sky like a firework display. During the total solar eclipse in 1995, in order to ensure that we had the best viewing possible, my father and uncle went so far as to rent a hotel rooftop in Diamond Harbour just for the grand occasion. We watched the sun’s disc shrinking until it was so dark that we were able to see stars shining brightly at midday and then the diamond ring formation occurred as the sun slowly started to reappear. We all agreed that it had truly been a thrilling and absolutely unforgettable experience. In fact, the reason my parents traveled to the U.S. last year was of course to meet us, but also to view the total solar eclipse again which was only visible in totality from North America.
Being brought up in this kind of a family, I suppose it is inevitable that I think about the universe with a special, almost godlike reverence. Even today when I am outside the city, away from the glaring lights, I look up at the stars overhead and the sight of that vast expanse with multitudinous shining pinpoints of light never fails to thrill me. I have mentally made the trip to the outer reaches of our solar system and beyond, several times. I have imagined myself flying through the asteroid belt, looking at Jupiter’s great Red Spot, and circling around Saturn’s rings. Since imagination makes anything possible, in my mental travels my physical human form is indestructible and I have been able to miraculously hover close to the Sun while admiring the huge amounts of energy released from the fusion of hydrogen atoms into helium. This may seems like a strange way to pass time for many people but the more I think about all of that boundless space and huge amounts of energy out there, I feel a great deal of curiosity about what it would be like to escape from the Earth’s confines. During the course of our busy lives I imagine many of us don’t stop to think outside of Earth’s boundaries too much. Probably whoever is reading this at the moment will think of me as an eccentric personality but hopefully they won’t put me down as a complete lunatic.
I am particularly fascinated by the question of whether life exists on other planets somewhere out in space. If so, what is that life like? In spite of these musings, I never took a liking to the popular science-fiction movies like Star Wars and Star Trek. The characters in these movies seemed too full of human attributes and characteristics. I like to think of extra-terrestrial life as being superior to mortals in the sense that they would have risen above warfare, power struggles and domination. Perhaps their main purpose would be study, meditation and the pursuit of scientific knowledge …wishful thinking on my part maybe. If they had civilizations, what would they be like? Of course there are the obvious questions such as what would they look like, how they would dress and what would be their method of communication. Perhaps they would have cities with skyscrapers, trains and planes, even a stock exchange like ours maybe? How fascinating all this is to contemplate. Would they have created nuclear weapons and realized that such powers would bring widespread destruction to their planet and have treaties and containment agreements as we do? Or would they have gone through the same cycle of discovery and then been thrust into nuclear warfare leading to annihilation?
I was recently watching the new version of Cosmos by Neil deGrasse, based on Carl Sagan’s book and TV series. One of the things this show does is to pay homage to the great scientists who helped build the wealth of scientific knowledge we have today. One of my favorite stories told in this show is about the astronomer William Herschel walking on the beach at night with his son. The little boy asks his father if he believes in ghosts. Herschel answers yes and when his son seems surprised, he points up at the sky to the stars. He explains to his son that some of those stars shining in the sky are so far away that even though the light is reaching us at this moment, the star itself is actually already dead. Since the star is so far away, it takes up to thousands of light years for its light to reach us, thus what we are seeing at this moment is really a ghost of the star itself. This seems to me to be such a beautiful way to answer a child’s question, but of course it takes someone of his intellect to think up an answer like this.
Today we have come so far in our quest for knowledge and have crossed the previously unchartered and seemingly forbidden frontier of space. In the future, the moon will probably turn into a tourist destination and efforts to land humans on Mars might succeed. I think of the International Space Station and the astronauts who are lucky enough to be there, they say that watching the Earth from orbit is the most beautiful sight they have ever seen. Maybe a time will come when we will be able to travel further and further into the reaches of space and increase our knowledge of the wonders of the universe in ways that we cannot even imagine today.
Dream
Anuj Dey, 2nd Grade
One day I came from school, but the bus stop looked completely different. I realized that I had gotten down at a strange and unfamiliar neighborhood. I was really scared. I did not know what to do. So I searched the neighborhood, but no houses were familiar. So I went to the next neighborhood but with no luck. Finally, I decided to go to the Jungle. It was midnight before I found a place to sleep. It was a cave full of leaves and I fell asleep inside it.
The next morning, I was woken up by three tigers. I ran and ran until I tripped and fainted. The tigers were about to eat me, but they screamed instead of roaring. Suddenly the alarm clock was ringing, and I was sitting up on my bed...
That’s when I realized that it was all a dream!! It was such a scary nightmare and I am really glad that it never actually happened.
It's Christmas
Anish Sengupta
Fire is warm, hot chocolate is yummy and it gives you warmth in your tummy snow is white and puffy and sleighs are fun to ride
ice skates make you glide
snowboarding you can slide
snowflakes land
ice makes you skate
snowmen are fun to build
ornaments sparkle all around and elves help Santa Claus
angels fly all around
lights are bright and beautiful
wreaths are hung with care and carols make you happy ever year
Merry Christmas to everyone and enjoy the best of the year
Gun Control
Ayush Sengupta
USA is known as the safest place in the world
one problem is occurring but not impossible to solve
people need to open their eyes see what's wrong
that guns have destroyed our children.
gun control needs to be solved
putting fears into the children hearts
freedom is not being sustained
adolescence shy out from the frame.
Mission Statement
The Shining Stars Academy Inc. mission is to provide a secure, nurturing, loving and stimulating environment that encourages and promotes developmental growth in all areas of learning as well as help children develop self-confidence, lifelong skills. We are committed to providing the highest quality childcare, early education, and work/life solutions in the nation. Shining Stars Academy Inc. is a privately founded and owned child development center by Vic & Mayra Cintron de Shahid in 2005.
We value, encourage and reward
Love of Learning
Passion for Excellence
Trust
Honesty
Innovation
We aspire to do this successfully to make a difference in the lives of children, families and in the communities where we live and work.
Shining Stars Academy
1411 S Lancaster Hwy
Charlotte, NC 28277
P: 704-540-2250
F: 704-540-2260
www.ShiningStarsAcademy.com
Hours of Operation:
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Program Highlights
• Spacious classrooms
• Age appropriate materials and equipment
• Affordable High Quality Program
• Five Star State-licensed Program
• Services for 6 weeks old-12 years old
• Low Staff/Child Ratios
• Creative, STEAM, & ABEKA curriculums
• Well trained, experienced staff
• Nutritious snacks and meals
• Breast Feeding Bay
• Internet video monitoring
• Bilingual Programs
• 4 age specific outdoor play areas
• Extra Curricular Programs for ages 2 and up
• Security System - building access by individual authentication
What we offer:
Nursery (6 wks to 12 mo)
Our goals of the Nursery program is to meet your child’s individual needs while providing a developmentally appropriate and stimulating environment. The Nursery program provides a warm, nurturing atmosphere in which caregivers coo, cuddle, rock, hold, play, and sing with your baby. Your child will feel safe in a nurturing environment that will encourage him/her to explore, to bond with others and develop a sense of trust and security.
Toddler (12-24 months)
Our curriculum provides a caring atmosphere, assuring daily routines, stimulating activities that provides toddlers with a sense of safety and security. They learn through play, teachers assist with activities, and a lot of repetitions. Teachers provide opportunities for development of small and large motor skills and organize play activities to build concepts, literacy skills, and develop social and emotional skills. Toilet learning is an important part of Nursery II program. Toilet learning usually happens between 1 ½ and 2 ½ years. Most children are toilet trained by age three; however, there are exceptions depending on each individual physical developmental level. When a child is ready for toileting learning, teachers will assist children in accomplishing this developmental task.
Lower Pre-K (Twos)
Preschoolers love to experiment and active exploration of new skills and directions. They are usually aware of authority figures and rules although they are still dependent on adult approval. Lower Preschool curriculum begins to include some of the individual, small and large group planning activities. The job of primary caregivers keeps the focus of simple planning through a daily schedule gives some order to the day and allows for more activities. Daily schedules allow teacher to extend a play period so the children gain maximum satisfaction from what they’re doing. Lesson plans are created to expand preschoolers’ knowledge through weekly thematic units that include items of interest to children, such as balls, boats, airplane, cars, boxes, apples, etc….
Upper Pre-K (Threes)
Our curriculum focuses on the concept that children learn best through play. It is important for children to have opportunities to construct their own knowledge through creativity, interaction, exploration and imitation of role models. Every child is unique; therefore; our curriculum offers different learning styles. Children are encouraged to be curious, competent learners making choices and building on previous knowledge and experiences. As children play, they expose their skills and understandings, and provide teachers the teaching moments to guide them in ways that will be significant. Young children mature and develop skills at different rates and each child is given the opportunity to develop at his or her own pace in a setting that is challenging, pleasant, and instills a lasting love of learning.
Transitional Kindergarten
Our Transitional Kindergarten operates parallel with the Charlotte-Mecklenburg School System. We offer small class sizes & more individualization. The Transitional Kindergarten Program is designed to provide a child centered, literacy focused curriculum to ensure that all children enter school ready to learn. We follow ABEKA & STEAM curriculum that is dedicated to providing quality education and focuses on building a strong foundation for school success.
Private Kindergarten
Our Kindergarten Program is designed to provide a child-centered, literacy-focused curriculum to ensure that all children enter school ready to learn. We follow ABEKA & STEAM curriculum that is dedicated to providing quality education focused on building a strong foundation for school success. Teachers provide a balance of structure and self-direction, so children’s developmental skills and self-esteem are enhanced. The class is taught by a teacher with a K-6 certification that has Bachelors or Masters Degree in Education. Low student-to-teacher ratios allow special instruction to support individual learning needs. STEAM programs that provide a basis and practice in important academic skills.
Love like Ambrosia
"We accept the love we think we deserve."
These wonderful lines from The Perks of being a Wallflower, are so true.
We do look for and accept the love, we think we deserve. That is why we hear people say "I don't deserve him/her. He/She is too good for me."
OR
"I am too good for him/her"
Either ways due to our low self esteem or arrogance we are wrong. What we all deserve is:
A love which is our strength, not our weakness.
A love which inspires us, not one which makes us despair.
A love which sets us free, not shackle us.
A love which makes us love ourselves, not hate ourselves.
A love which makes us whole, not break us.
A love which makes us glow, not push us into darkness.
A love which nurtures, not kill.
A love like ambrosia, not poison.
By Gunjan Shrivastava
Love
Gunjan Shrivastava
Like the parched earth, I waited....
Waited for his love, to rain on me.
He came like a cloud, with thunder & storm.
He covered my sky & filled my vision.
He stretched from one horizon, to another.
His love permeated every pore of me.
Some said his love, had overpowered me.
That I had lost myself, somewhere in him.
I laughed and told them, we have come together,
Like the rain and the earth, to become one.
We lost ourselves to each other & found ourselves anew.
Like earth and water, different from each other.
But still one is incomplete, without the other.
They come together, to complete each other.
They come together, to sustain life.
They come together, to create new from the old.
The Way She Breaks
Gunjan Shrivastava
She could break like glass,
With a single crack, which showed her fault lines;
Or she could break in a million pieces,
Each fragment showing a different facet of her life.
She could break like the rocks,
One crack at a time.
To slowly disintegrate, to dust,
To nothing.
She decided to break, like a storm.
To blow away, all her worries and obstacles.
She decided to break, like the rain from the clouds.
To wash away the past, to start anew.
She decided to break, like the waves,
Never accepting defeat, coming back with renewed vigour.
Two Lovers
Gunjan Shrivastava
When they first met, it was as if floodgates were opened.
The eyes sparkled with joy, hungrily devoured every detail.
The lips parted in laughter, words tripped over each other.
The hands danced in glee, each touch revealing a new sensation, a new secret.
They could not have enough; time the fleet footed thief, turned the hours into seconds.
They met after decades, once more the floodgates stood open.
The eyes luminescent with tears, read every story time had written.
The lips smiled, but remained silent. Silence spoke a language that day.
The hands clasped each other; they conveyed what words could not.
They just had minutes together, but in them they journeyed eons with each other.
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Breast Cancer and Inflammation - Role of Diet
Cancer, also known as malignant tumor, is the uncontrolled growth of abnormal cells in the body. In the human body, there are trillions of cells with various functions. These cells grow and divide to help the body function properly. Cells die when they become old or damaged, and new cells replace them. Cancer develops when the body’s normal control mechanism stops working. Old cells do not die and cells grow out of control, forming new, abnormal cells. These extra cells may form a mass of tissue, called a tumor. Among the most commonly diagnosed cancer, and most prevalent cause of cancer death in women is breast cancer; estimated to affect 1 out of every 8 women. Even with today’s cutting-edge research technology, much remains to be discovered about how best to treat and manage this serious illness. Metastatic breast cancer (also called advanced or stage IV breast cancer) is breast cancer that has spread beyond the breast and nearby lymph nodes to other parts of the body. The most devastating aspect of breast cancer is the emergence of tumor cells that are capable of spreading to distant organs such as bones, liver, brain and lungs. As hard as it is to hear, metastatic breast cancer cannot be cured. This does not mean, however, that metastatic breast cancer cannot be treated. Because current treatments are very unlikely to cure advanced breast cancer, treatment of metastatic breast cancer focuses on span and quality of life.
Metastasis is regulated not only by intrinsic genetic changes in malignant cells, but also by the microenvironment. Several studies have demonstrated that sites of chronic inflammation are often associated with the establishment and growth of various malignancies. In addition, the immune system appears to play an overseer’s role in both diseases. In Latin, the word “inflammation” means “I ignite, set alight” and like gasoline, that’s exactly what it does to cancer. Inflammation orchestrates the microenvironment around tumors, contributing to proliferation, survival and migration. Inflammation is part of the body’s immune response; without it, we cannot heal. But when it’s out of control—as in rheumatoid arthritis—it can damage the body. As the evidence linking chronic inflammation to breast cancer progression grows, it becomes increasingly important to understand why this risk exists. A common inflammatory condition in humans is autoimmune arthritis (AA) that causes inflammation. From our studies, we have reported that breast cancer associated metastasis is significantly augmented with arthritis and we evaluated and established the mechanism. Chronic inflammation might increase the risk of breast cancer recurrence.
These insights are fostering new anti-inflammatory therapeutic approaches to cancer development. Stress, lack of exercise, genetic predisposition, and exposure to toxins can all contribute to such chronic inflammation, but dietary choices play a big role as well. Learning how specific food influence the inflammatory process is the best strategy for containing it and reducing disease risks specially cancer.
List of food that may curb inflammation:
1. **Turmeric and Ginger**: Curcumin—a derivative of turmeric, and the pigment that gives the curry spice turmeric its yellow-orange color appears to be universally useful for just about every type of cancer. It has the ability to modulate genetic activity and expression, both by destroying cancer cells, and by promoting healthy cell functions. Turmeric also works in the body by helping to turn off NF-kappa B, protein that regulates the immune system and triggers the process of inflammation. Its relative, ginger, possesses numerous therapeutic properties including antioxidant effects, an ability to inhibit the formation of inflammatory compounds, and direct anti-inflammatory effects.
2. **Onions and garlic**: Onions contain several anti-inflammatory compounds that contribute to reducing symptoms that are associated with a host of inflammatory conditions like osteoarthritis and rheumatoid arthritis, the allergic inflammatory response of asthma and the respiratory congestion that is a symptom of the common cold. Onions and their cousin garlic both contain compounds that inhibit enzymes that generate inflammatory prostaglandins and thromboxane. Both vitamin C and quercetin contribute to this beneficial effect. They work synergistically to spell relief from inflammation, making both onions and garlic good choices as ingredients in many dishes during cold and flu season. Garlic also has the ability to reduce the buildup of carcinogenic compounds that cause cancer.
3. **Fatty fish**: Oily fish, like salmon, mackerel, tuna and sardines, are high in omega-3 fatty acids, which have been shown to help reduce inflammation.
4. **Whole grains**: Consuming most of our grains as whole grains, as opposed to refined, white bread, cereal, rice, and pasta can help keep harmful inflammation at bay. That’s because whole grains have more fiber, which has been shown to reduce levels of C-reactive protein, a marker of inflammation in the blood, and they usually have less added sugar.
5. **Dark leafy greens**: Studies have suggested that vitamin E may play a key role in protecting the body from pro-inflammatory molecules called cytokines—and one of the best sources of this vitamin is dark green veggies, such as spinach, kale, broccoli, and collard greens. Dark greens and cruciferous vegetables also tend to have higher concentrations of vitamins and minerals like calcium, iron and disease fighting phytochemicals than those with lighter colored leaves.
6. **Nuts**: Another source of inflammation-fighting healthy fats is nuts—particularly almonds, which are rich in fiber, calcium, and vitamin E, and walnuts, which have high amounts of alpha-linolenic acid that reduces inflammation.
7. **Peppers**: Chili peppers contain a substance called capsaicin which is a potent anti-inflammatory agent. It works by inhibiting Substance P, which is associated with inflammatory processes. Capsaicin is being looked at as a potential treatment for arthritis, psoriasis and diabetic neuropathy. A study published in Cancer Research found that capsaicin caused cancer cells to commit suicide.
8. **Tomatoes**: Juicy red tomatoes, specifically, are rich in lycopene, which has been shown to reduce inflammation in the lungs and throughout the body.
9. **Olive oil**: The compound oleocanthal, which gives olive oil its taste, has been shown to have a similar effect as Nonsteroidal anti-inflammatory drugs (NSAID) in the body.
10. **Beets**: This vegetable’s brilliant red color is a tip-off to its equally brilliant antioxidant properties: Beets (and beetroot juice) have been shown to reduce inflammation, as well as protect against cancer and heart disease, thanks to their hearty helping of fiber, vitamin C and plant pigments called betalains.
11. **Green Tea**: Like produce, this tea contains anti-inflammatory flavonoids that may even help reduce the risks of certain cancers.
12. **Berries**: All fruits can help fight inflammation, because they’re low in fat and calories and high in antioxidants. But fresh berries, especially, have been shown to have anti-inflammatory properties—possibly because of anthocyanins, the powerful chemicals that give them their rich color. Blueberries not only reduce inflammation, but they can protect the brain from aging and prevent diseases, such as cancer and dementia. We should aim for organic berries, as pesticides are hard to wash away due to their size.
13. **Sweet Potato**: A great source of complex carbs, fiber, beta-carotene, manganese and vitamin B6 and C, these potatoes actually help heal inflammation in the body.
Food to aggravate inflammation
Five most important diet intake that we can limit:
1. **Sugar:** The American Journal of Clinical Nutrition warns that processed sugars trigger the release of inflammatory messengers called cytokines. It is better to reduce the intake of desserts, pastries, sodas, chocolate bars, even fruit juices with added sugar.
2. **Saturated Fats:** Several studies have shown that saturated fats trigger adipose (fat tissue) inflammation which is not only an indicator of heart disease but also worsens inflammation. Pizza and cheese are the biggest sources of saturated fats and other culprits include meat products (especially red meat), full-fat dairy products, pasta dishes etc.
3. **Trans Fats:** Known to trigger systemic inflammation, trans fat can be found in fast foods and other fried products, processed snack foods, cookies, donuts etc.
4. **Omega 6 fatty acids:** Our body needs a healthy balance of Omega-6 and Omega-3 fatty acids. Excess consumption of Omega-6 can trigger the body to produce pro-inflammatory chemicals. These fatty acids are found in oils such as corn, safflower, sunflower, vegetable, peanut, soy and grapeseed oil.
5. **Refined carbohydrates:** White flour products are high glycemic index foods that fuel the production of advanced glycation end (AGE) products that stimulate inflammation.
Not surprisingly, the same foods that contribute to inflammation and cancer are generally considered bad for our health, including sodas and refined carbohydrates, as well as red meat and processed meats.
**Conclusion:** Our body’s immune system forms a defensive shield that any fighting force would be proud of. One of its most powerful weapons is **inflammation**, a carefully orchestrated maneuver designed to eliminate enemies such as bacteria, injured cells and chemical irritants. Without it, we probably wouldn’t survive beyond infancy. But inflammation has a split personality – one that can wreak havoc for those unfortunate enough to experience it. And we now know that inflammation’s dark side is a powerful force in **cancer development**, where it aids and abets tumor growth and spread around the body. Therefore, watching what we eat and staying abreast is a noteworthy step towards the war against cancer….especially for women with breast cancer and arthritis which involves **inflammation**.
By Dr. Lopamudra Das Roy
Founder and President
Breast Cancer Hub Foundation
Charlotte, NC
*Website:* Breastcancerhub.org
*Facebook:* https://www.facebook.com/breastcancerhub/
**References on Breast Cancer and Inflammation:**
https://www.ncbi.nlm.nih.gov/pubmed/?term=lopamudra+roy
https://www.ncbi.nlm.nih.gov/pubmed/?term=Roy+LD
http://www.ncbi.nlm.nih.gov/pubmed/?term=lopamudra+das+roy
https://www.arthritis.org/living-with-arthritis/arthritis-diet/foods-to-avoid-limit/food-ingredients-and-inflammation.php
https://www.health.harvard.edu/staying-healthy/foods-that-fight-inflammation
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You may have heard of *bhel puri* on the beach, or even the movie, “Bhaji on the Beach”, but the *Bangali* in me was blown away by the experience of relishing the all time favorite holiday dish, *maangsho bhaat* on the beach.
We were spending our winter vacation with friends in the Caribbean last year, and on one of the days we decided to visit Doctor’s Cave, a beautiful spot in Montego Bay, Jamaica. The turquoise waters and soft sand made it an ideal location to be nothing but a beach bum for the day. Lunch time rolled around at a leisurely pace and we were delighted to see that there was a restaurant serving the island’s popular delicacies to the beach goers. Surveying the menu, we saw typical Jamaican favorites such as *Jerk Chicken*, *Ackee and Saltfish*, but our attention was immediately drawn to “Goat Curry and Rice”. Ah! How could we order anything else? The exquisitely prepared goat curry was served with steamed, fragrant rice and in the company of fellow Bangali friends, every ounce was devoured. As we emptied the platter, we let our taste buds build a novel and scrumptious memory.
Finding our favorite foods in a foreign country is always a pleasant surprise. In our case, that satisfying meal triggered a comparison of Jamaica with India and as we observed the landscape and weather, we started recognizing the similarities. I am sure the story of how the recipe of goat curry traveled with immigrant laborers from India over a hundred years ago, survived a hard life, and made its way into the hearts of all Jamaicans, must be one of epic proportions. Sipping freshly cut *daaber jol* under the coconut palms and feeling the sand under our toes, we were temporarily transported to our homeland. The influence of British colonialism was visible in the architecture, and the confluence of many cultures within this tiny tropical paradise made Jamaica emerge as an incredibly diverse place. Although the real beauty of this destination lay under the surface of the water. A snorkel tour on a modest boat, with a knowledgeable captain, opened our eyes to the amazing sea-life that could have been easily missed. The kaleidoscopic colors of the fish and coral will stay with me for a long time. For incurable fish lovers like us, that dive was heavenly and for a change, our animated discussion about fish was not in the context of *jhol or jhaal*. By the end of the trip I thought of Montego Bay and Howrah as distant cousins rather than strangers from different continents. At the risk of sounding cliched, I want to say that one of the many rewards of traveling is the opportunity to experience and appreciate different people and places. It forces us to drop our smug sense of superiority and serendipitously discover, perhaps even learn something new. Isn’t that *darun*? *Yaa Man!*
My relationship with Roys Taekwondo Academy goes back to the year 2014, when we moved to Kolkata and I was desperately looking for a Taekwondo school for my son. Fortunately, I was introduced to Master Ruma Roy Choudhury and celebrated Sports Personality & Taekwondo Legend, Grand Master Pradipta Kumar Roy. Pioneer in Indian Taekwondo, humble and graceful as they both were, they have been nurturing this sport to develop from its core. I was privileged to attend their seminars and tournaments. Their hard work and dedication has been beyond comparison to establish Taekwondo as a popular and a professional sport in India.
-Ekata Saha
Excerpts of a conversation with Grand Master Pradipta Kumar Roy:
Ekata: Please tell us a little bit about yourself
Pradipta sir: Taekwondo is my passion. I am a KUKKIWON Registered International Master, Former International Champion & National Team Coach and Technical Advisor, Official Taekwondo Hall of Fame®
Ekata: How old were you when you started learning and what inspired you to learn Taekwondo?
Pradipta sir: I was just a school student when I fell in love with Taekwondo. And it was because of the unbelievable and extraordinary physical movements and mental alertness that this sport demanded.
Ekata: Who was your master?
Pradipta Sir: I am grateful to God because I took Taekwondo lessons from many Legendary Great Grand Masters of the World like Late Great Grand Master Tran True Quan, Great Grand Master Youn Kook Park, Great Grand Master In-Sik Hwang, Great Grand Master Min Hak Seo, Great Grand Master Jung and several more.
Ekata: How do you think Taekwondo can change the society?
Pradipta sir: Taekwondo education is very important in today’s life. Respect, trust and open communication are the foundations of strong families. Taekwondo training promotes values such as honesty, courtesy, loyalty, and cooperation. Each is an essential component in maintaining a good family structure.
Also “Taekwondo teaches self-control and harmony. Taekwondo is excellent for building character. Taekwondo exercise leads to de-stressing, detoxing, healthy body, healthy mind.
Taekwondo teaches courtesy & civility.” - say research papers of Prof. Peck Cho, Distinguished Professor of Dongguk University and Co-Director of HD Institute of Happiness and Prof. Josephine M. Kim, Harvard Graduate School of Education.
Dr. Ki Moore, Division Director and Professor in the University of Arizona College of Nursing says “benefits of practicing Taekwondo include increased self-control, discipline, flexibility, balance, coordination, strength and stamina”. In India, long time back none other than Kabiguru Rabindra Nath Tagore, the great Poet and thought-leader introduced
Martial Arts in Visva-Bharati University in Shantiniketan, West Bengal. Besides that, United Nations (UN) is also working with World Taekwondo (WT) for ushering in peace in the World through the Art of Taekwondo.
**Ekata:** What new things are you incorporating to improve Taekwondo as a sport in India?
**Pradipta sir:** I am glad to report that for the first time in India I have been able to introduce Taekwondo Education on “Motivation & Stress Management” at all Government Medical Colleges in West Bengal (Government Order Memo no. DNE-Spl.2017/30) with great support and initiative of two Government administrators namely Dr. (Maj) Dwaipayan Biswas, 1 Dan Black Belt, KUKKIWON & Director of Medical Education, Prof. (Dr.) Debasis Bhattacharyya, presently OSD to the Dept. of Health & Family Welfare and Master Ruma Roy Chowdhury, Pioneering personality in Indian Taekwond
**Ekata:** Can you share your goals for the next ten years for Taekwondo in India?
**Pradipta sir:** My dream is to establish a Taekwondo College in India, that will help a lot for physical & mental development of the upcoming generation. We have already received a strip of land from Government of West Bengal.
**Ekata:** And what have been your major challenges?
**Pradipta sir:** For this noted venture we are looking for donations/ Sponsors / CSR fund etc.
Financial stringency has become an impediment in fulfilling my dream of setting up a Taekwondo College in India.
**Ekata:** Please tell us something about your fitness routine
**Pradipta sir:** I do not believe on particular fitness routine, because mind is the captain and body is the soldier. So my mood is important to carry forward my fitness routine.
**Ekata:** And your advice to our young Taekwondo learners?
**Pradipta sir:** Taekwondo is a form of education. So don’t believe only in achievements. And learning diligently is the only process for this education. Without proper education no one can realize the true spirit of this great Martial Art. In fact, achievements come only after real education.
**Ekata:** Finally, the magic of ‘black belt’...
**Pradipta sir:** Belts are how one enters this world of education. Earning a Black Belt is not a magic. It is a journey to realize yourself.
**Ekata:** It was a pleasure talking to you today. Thank you on behalf of our Arani readers
**Pradipta sir:** Thank you!
**By: Ekata Saha**
Gratitude Brings Positivity
Gratitude is an emotion that we need to practice in our everyday lives. The word “Gratitude” brings so many other beautiful words in my mind like warmth, humility, acceptance, thankfulness and happiness. All these words radiate happiness and bring so much positivity. What is Gratitude? It is an appreciation of the good things we have in life. The emotion of appreciation promotes the feeling that the source of goodness is outside the self, that there is someone who really cares. It makes us acknowledge that people do make an effort to make a difference in our lives. The very thought that someone has sacrificed something to bring happiness in our lives creates the feeling that we are not alone, there is someone looking out for us. Gratitude heals us and makes us realize that contentment and joy is not always about materialistic possessions. I am grateful when my spouse makes my morning coffee or for a colleague, who helps out at work when I am under the weather. I am grateful for the friends, who I know will stand by my side through good times and bad. There has been documented research showing a correlation between gratitude and happiness. A person with a grateful personality is often found to be a “happy person”.
We are always focusing on what we do not have versus what we already have. While driving to work every day, I often find myself complaining about the traffic and almost never being grateful about the fact that I have a job to drive to everyday. I may grumble about my husband being rude or my children being disrespectful, never realizing that I am still loved even when I reflect the same attitude towards them. I often fail to express my gratitude for the love that I receive from my family, friends, and all those who have made the effort to touch my life. I appreciate the fact that I can continue with my daily routine even with the horrible traffic, a demanding boss, and never-ending household chores. I am grateful for life itself, that I am healthy and not fighting a battle in a hospital bed. I have realized that whenever I practice gratitude there is an abundance of positive energy in me. The benefits of practicing gratitude are plenty and we should all adopt it in our daily lives.
A skeptical me would also question, “are we grateful for the unpleasant things in life?” Well, the disagreeable incidents have taught us life lessons, to accept people even in difficult situations, to understand and respect in spite of disagreement. The challenges over the years have taught us to be more patient and to not judge a book by its cover.
We do need positivity in our lives. In this context I will quote from one of my favorite authors Charles Dickens, “Reflect upon your present blessings, of which every man has plenty; not on your past misfortunes, of which all men have some.” Progress is good, striving for excellence is incredible but not at the cost of sacrificing one’s happiness. While we are running this race called ‘life’ let us pause, reflect, and connect with our inner souls. A reflection of what we have in terms of relationships, achievements, ideas, beliefs etc. will definitely make us feel better about ourselves. Let us make an honest effort to incorporate gratitude in our lives.
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Srishti wishes you a happy and joyous Durga Pujo.
It was a dark and stormy night. The Phagans had moved into Walla Walla, Washington (yes! that is an actual town) a few months ago. Mr. and Mrs. Phagan were out of the house leaving their 5 children in the house to watch a movie together with pizza. The storm made the power go out. So the children who usually got along pretty well together made a huge fort in the living room and were playing various board games together with many many flashlights.
“When did they say they would get back again?” asked Caleb, the youngest of them all. He was in fourth grade and was always complaining about how he was treated like a baby.
“Around dinner time” replied Jo. Jo’s real name was Joanna, but she liked Jo better. She was the oldest in eighth grade.
“Yeah but that was ages ago!” said Jake
“And just about as stuffed as a Pinata.” said Brian.
Jake and Brian were twins. They were in 6th grade, and weren’t great students, but they were well liked among people for their humor. They also call themselves masters of pranks which they probably would be if they weren’t so giggly before someone sat on a whoopee cushion, giving the whole fun away!
“Yeah, well that’s what you get if you eat 6 pizza slices and dessert!” said Skylar who was in 7th grade.
“I bet mom and dad are actually at a bowling alley with all their grown up friends having the time of their lives.” Jake sighed
“Or on Mars!” said Brian
“They probably got held up at their meeting or something.” Said Skylar. Their parents were huge scientists.
A few minutes passed by as they continued playing their game.
“Uno, no wait, I win! Said Brian.
“No way, that’s cheating! It wasn’t even your turn.” Caleb protested.
“Shhhh. Did you guys hear that?” asked Jake in a hushed voice.
“Hear what?” Caleb questioned.
“That door squeak”
“Huh? Where? There is no one else in the house” Caleb looked concerned.
“Stop it Jake! Don’t listen to them Caleb. They are trying to scare you.” Skylar rushed.
“No, I think I heard it too” said Jo.
“Not you too!”
“No really! You know what? Never mind. Probably the wind outside.”
Suddenly there was a loud CRASH from upstairs.
“What was that?” Caleb jumped up.
“I’ll go check” Offered Jake taking a flashlight.
“I’ll come with you” Brian stood up and they raced out. Jake came back minutes later to the living room, looking aghast.
“What was it?” asked Jo impatiently.
“This may come as a shock” said Jake slowly, “But we found it in Skylar’s room. And it wasn’t us I swear.”
15 minutes later
“I can’t believe it. I just…how did you find this again?”, asked Skylar for the third time.
“We told you…” said Jake rolling his eyes.
“So many times” Brian agreed.
“Well?” Skylar motioned for them to continue.
“We ran upstairs looking for what caused the sound…” began Jake.
“We checked all the rooms and then got to your room…” Brian continued
“Saw some weird lights coming from inside.”
“Opened the door all the way…”
“And saw the painting on the ground next to the doorway completely messed up!”
This was the cat painting that Skylar had spent months creating, after seeing a similar one in an art museum. This had been framed and treated like a masterpiece from Leonardo Da Vinci and now was found on the ground, shattered and torn, by the twins. After Brian brought in the broken canvas, Skylar had rushed up the stairs into her room to see it in-person.
“How?” Skylar asked again, devastated. The painting was the best thing she ever made in her life. Probably the costliest one too.
“Your guess is as good as ours.” Jake shrugged
“Ghoooaassstsss” Brian said more like a weird moan.
“This isn’t funny” Skylar snapped.
Once the kids cleaned up the broken glass, they started making theories on how the painting fell.
“Maybe you just didn’t hang it right.” Jo reasoned while the twins were going on about a ghost.
They were about to come out of the tent, when Skylar and Jo came in.
“Uhh, guys, since when did we have a cat?” Skylar questioned!
“Do you think we are actually being haunted by a ghost?” asked Caleb. His face was worried.
“You guys stop it! You are scaring Caleb.” Skylar scolded
“I’m not scared! I’m almost ten!” he protested
Jo sighed. “Let’s start cleaning up the living room. Then we could go to sleep. Hopefully mom and dad will be back soon, and maybe the electricity too.”
“Let’s hope the ghost won’t” muttered Brian
“SHUT UP!” Jo roared. “There are NO such things as-”
“Shhhhhhhh” Skylar hushed
Jake jumped up “I heard it too!”
“Oh for crying out-”
Then there was a moan. Then silence. Then another moan. At this point, everyone’s eyes were wide with horror.
“Ghost!” Caleb hollered. And he ducked into the fort.
Jo was pretty freaked out but she hated being wrong. There was another moan. It echoed through the house ghostly and sent shivers up their spines.
“I think we should set this house on fire and run”, said Brian backing into the tent.
“No.” Jo declined. “I’m going to see what’s up there and if i don’t come back in 5 minutes, then you can run. Hand me a flashlight.”
Skylar stood up. “I’m coming with you.”
“But the ghost could eat you or something!” Caleb protested from under the fort. The moaning never stopped.
“Skylar’s being brave for a change. Let her go.” Jake said. Skylar stood on his toe.
“Come on.” Jo urged.
And on they went. They crept out of the room as silently as they could and disappeared from the boys’ sight. Moments passed, and the boys grew more and more anxious. The moaning stopped.
“Has it been three minutes yet?”
“I don’t know”
RED C
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Just like humans, stars have a life cycle as well. They are born from atomic dust and evolve over time, releasing tremendous amounts of energy through nuclear reactions for the major part of their lives. They go through a series of different forms and changes, some of which are protostars, red giants, white dwarfs and nebulae. In case the star is massive, it may turn into a supernova, eventually collapsing into a neutron star or, in some cases, a blackhole. These series of events ultimately lead up to the death of the star. When stars die, they release their matter into space which may later be recycled to form new stars and planets.
A star forms when a molecular cloud made of hydrogen and helium gas contracts under the pull of its own contained gravity. Then as it decreases in size while increasing in temperature, it starts splitting into smaller pieces which will each go on to form a protostar. A protostar gets covered in dust and gas and then while continuing to spin, flattens out to form a flat round disc. After a certain period of time, the shrinking star bursts into life and gas spurts out from either side of the disc. Grains of dust sticking together on the disc around the star may go on to make future planets. The fully formed young star now starts to fuse hydrogen atoms together to form helium. As this continues, the young star grows bigger and hotter. The star spends most of its life cycle in this stage, generating massive amounts of energy by these nuclear reactions for millions of years. At the next phase of its life cycle, as the hydrogen fuel begins to deplete, the star starts to expand and eventually goes on to form a red supergiant. As the core temperature gets higher, the star converts helium into carbon and oxygen. At the same time, the star’s outer layers cool down causing them to turn red. Nuclear reactions cause heavier and heavier elements to be produced until a core of iron is built up. The iron core will finally collapse and the star explodes as a supernova. A planetary nebula might occur if the red giant is up to eight times as big as the sun. This happens when a star runs out of helium and the star starts expanding while its core shrinks.
However this time it expands so rapidly, its outer layers lift off and blow away into space. The departing gas gets lit by the intensely hot core and creates a planetary nebula. Once formed, a planetary nebula will remain visible for tens of thousands of years. A supernova might also form in the following way… if the star is several times more massive than the sun it will explode in a massive supernova where the light given off is equal to a hundred million suns. This will then either lead to a neutron star or a blackhole. A neutron star forms when the core collapses completely into a small object about thirty kilometers in diameter. A black hole is a dead star with such immense gravitational pull that even light cannot escape from it.
The life cycle of stars of course takes a very long time to complete, with these changes occurring over billions of years. Our Sun and Earth are made up of matter which were at one time part of some other star system. Somewhere down the road our Sun will surely meet its inevitable end and in dying out will release energy and cosmic dust from which a new star may form. In this way, the cycle of birth, existence and death continues over and over throughout the ages in the universe.
Author
Rohan Chatterjee
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Normal
Shireen Collam (Written when she was in 5th Grade)
Me, I have been called many things – Strange, Weird, Odd, queer.
But how can you call me those names when Others might say the same things about you and sneer…?
I’ve seen people call things normal based on what they think is normal. But isn’t normal all about what we know? For eg: while you sit and relax in a car, someone from the 1600’s might say that it is just a box with wheels and buttons. While having a refrigerator is a perfectly normal thing in today’s world, to a caveman it would appear to be one of the strangest gadget on earth.
I believe that there is no such thing as ‘normal’. It is a perspective. A perspective that is commonly shared by majority and that sets the benchmark. But it is very relative to that particular time and what’s happening around us.
Most 5th graders in this school or any school for that matter, probably could have never imagined what an iPad or tablet was until they turned 6 or 7 years old and actually got one. Now we can’t imagine our life without our chrome books and smart phones. But if all these 5th graders were to go back in time and bring back their younger selves, then I’m sure that those kindergarteners, 1st graders will find these devices to be very very strange. So our generation that grew up without iPads and were leading perfectly ‘normal’ lives, now have a new ‘normal’.
Similarly with Culture. While people in America might think Holi (Festival of colors celebrated in India) to be amusing as it involves throwing colors on other people, people in India might be very intrigued with GroundsHog Day
Normal is only what we think. What we know. What we think we know.
Today.
At this moment.
Around us.
But is it really?
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MAKEUP MADNESS
KARLI BOSE
Makeup is not a mask that covers up your beauty. It just adds the extra POP … This article covers few of the hip & oh-so-happening Srishti Bengali (“Bong”) ladies who are the perfect examples of “Beauty with Brains”
Question(s) posed to these Bong beauties: Which beauty product has always had your back? What are your go-to beauty product(s)?
SHOMA SENGUPTA
Mother of 2, School Teacher by profession with a charming persona, her schedules are very tight. Yet Shoma manages to make time for herself. She says that to keep her skin looking young her go to products are:
* Artistry Lipstick
* Artistry hydra V replenishing cream
* An occasional eyeliner (any brand)
RUPALI BOSE
A doting mother of 1, an IT professional and a simple, grounded, lovely person by nature. Juggling between the roles of a mom and a working professional, Rupali takes out the time to add the pop up factor to her glowing looks:
Her go-to products:
*Lancome’ Pencil eyeliner
*Estee Lauder lipstick
ANITA SARKAR
Simple, Smart, carries a good sense of humor, Mother of 2 and an IT professional, Anita does a phenomenal job of balancing a full time job, demands of a family and social commitments. Her one go-to product is “Revlon Colorstay Ultimate Liquid Lipstick “…….
And she adds to it by saying “Kiss the special someone and no one can tell ;) (told ya about the girl havin’ some mean “Humor”).
She is also fond of Neutrogena Healthy Skin Pressed Powder as it is light and easy to wear.
Her tip is to notch it up one bit, nothing beats red…
AMRITA BISWAS
Mother of 2, an excellent cook, a Hindustani classical singer cum Artist with a music school of her own and an extremely hard working individual.
She juggles her duties suavely between her music school and that of being a mom and yet does magic with her makeup. Simply flawless.
Her answer to the go-to product question - Eyeliner and Perfume .... The lady sure knows her beauty tricks
SASWATI COLLAM
When you talk about a multifaceted and multi-talented woman...Saswati is the name that comes to mind. An indisputable, passionate, magnanimous, smart woman who is a full time working mom of 2, a road warrior and a wife to a romantic husband. She has us awestruck with her multitude of achievements.
So this busy bee swears by the Clinique line of products as anything else makes her sensitive skin go on a rash overdrive apparently!
RAJ BANERJIE
We call her fondly as BUBU…composed, smart and as classy as they come…
When asked about her go to beauty product she mentions just two - “Kajal” (kohl) & Lipstick and shares this little story…
Two beauty products in my beauty regimen (if you can call it that) are (1) Kajal (yes literally that! Used to be Himalaya, but now it’s Maybelline) and (2) Lipstick (mostly Burt’s n bees). Why do I use them? Because I am allergic to a lot of things. Even Aloe Vera. And whenever there were any occasions to dress up in my in-laws place we ‘bahus’ (daughter-in-laws) got the least amount of time to do so. So my co-sister taught me this trick. She said if you put on a smear of lipstick and some kajal in your eyes, you look all put together! And I confess, that advise has helped carry me throughout!!
KARLI BOSE
And now it’s my turn ;)…as many of you probably already know me that I go by Karli Bose, mother of 2, an IT professional and possess a certain adventurous character…(a story for another time)
I am not a schedule follower so there is no such thing as “beauty regime” for me. But my two go-to products are Perfume and Moisturizer.
Just love Christian Dior for their line of perfumes…
CHANDRABOLI DUTTA
And finally the Diva herself! We know her as Chandra, mother of 2 cute little kids and an all-rounder. From a marathoner to a full time working woman, an accomplished singer, to a socialite to a supermom. A perfect example of Beauty with Brains.
There is hardly a need to mention that she is tremendously beautiful both inside and out. And her beauty regime is very simple - she doesn’t need one …. It’s comes natural to her!
Her go-to products - Cetaphil Gentle cleanser & Aveeno cream
And her mantra: - “Never go to bed without cleaning your face …”
PURPOSE
Dream.
It is a modest word but,
It is an illusion of meanings.
It’s what I see in my slumber,
And what I see when wakeful.
It is like a motion picture where,
I play the lead role.
I fall asleep every night, to dream,
And wake up to do the same.
Every night and every day,
Like the rising and setting sun,
I never forsake to dream.
Like the moon each night,
My dream morphs into dissimilar tales.
And like the sun every dawn,
My dream endures as resilient as ever.
I am what my dreams express me as.
I am the lone candle in the hollow of obscurity,
And the oasis amidst the sea of sand.
I am hope.
I will be.
By Ritushree Dutta
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Unmoving Darkness looks into the oppressive tradition of the Devadasi system, the illegal practice of female religious servitude that uses religion, class-caste, and poverty as weapons of discrimination, to throw little girls of poor untouchables communities into prostitution, in remote villages of Karnataka, India. Although this story was inspired by the study of history, myth, and biographical accounts of devadasis, this is a work of fiction. Any resemblance to actual events or persons, living or dead, is entirely coincidental. This story was previously published in Saathee magazine.
Please be advised that this story contains mature content. May not be suitable for young readers.
Unmoving Darkness
~ Indrani Nayar-Gall
The shrill sound of rooster’s crowing startled Durgamma out of her sleep. Sun is beginning to light up the sky. Durgamma’s tired body still wants some rest, but she must get up. Her eyes follow the ray of light coming through the little hole in the ceiling. The little money she saved for it has to go toward Ajina’s bead tying. She hopes the roof can take another monsoon season.
The old mat has too many holes. She can feel the sharpness of the broken ends against her skin, but her body still feels cool against the dampness of the earthen floor. Durgamma’s eyes follow the light coming through the crack in the ceiling. Her half-asleep body and mind drifts to a time long ago - so long ago … the wild sound of drums.
Durgamma’s head burns again …wants to devour everything but her worn body cannot move. Her mind searches for an old faded memory - of a day - too long ago - but hard to erase. It has gouged a deep hole within her mind and body … a bottomless hollow pit with an incomprehensible cry.
The picture is still vivid in her mind - fun and festivity! She felt so special that morning! Nobody ever fussed around her that much! Her mother had called the women of the village. They put sandalwood paste all over her body. She has never smelled anything so beautiful. They bathed her and wrapped her in a beautiful new green sari and a blouse. First time she gets to wear a blouse and a sari so pretty! Tayi said, “Durgamma, you are a lucky girl! Today is your wedding day! Yellamma gudda will bless you today and make you her own!” Durgamma didn’t quite understand all of these, but she was happy that she is getting married today! Parvati got married last year – dressed in a saree and a gold chain! She looked so pretty, the groom was from the next village, two musicians played! Durgamma never ate so much good food! Parvati is now back in the village with her tayi, she will have a baby.
Durgamma is happy. She too will have a handsome husband and a baby of her own! But what happened to Rajamma? She heard Rajamma got married two/three years ago. Durgamma was really small then. Did not remember everything, but her wedding was different from Parvati’s… Rajamma never came back to her tayi to have a baby! And, who was her husband?
Durgamma slowly turned to her side and adjusted her body against the prickly mat. Her eyes traveled from the hole in the ceiling to the corner of the room.
The memory of that day still gives her a chill. Everything is so vivid in her mind. Her mother and the village women are taking her to the temple. Tayi wraps a jasmine garland in her open wet hair, just like the other brides she has seen. Her saree is such a pretty green. Suddenly, Durgamma feels like a grown young woman. She becomes conscious of her body. The changes.
What does her husband look like? Is he handsome and young? Her mind wonders. Parvati’s husband was young, they looked so happy, but she never saw Rajamma’s husband, and nobody ever spoke of her much after.
Her mind floats in happiness, the sound of drums at the temple. The priest sprinkles holy water and turmeric paste all over her head and smears it on her forehead. The cold water trickling down her back feels good on this already hot morning. She tries to find the groom, but she is not to look up. The priest ties a glittering necklace of shiny silver with red and white beads around her neck.
Durgamma touches the worn-out necklace around her neck …
Where is the groom?
The priest puts her in front of a colorful pitcher with flowers and other things. Panic strikes in her eyes – is this part of being a Devadasi? Why is this different from Parvati’s wedding? She sits surrounded by gifts given to her and her family. She hears the voice of the priest.
“You are now married to Yellamma gudda. From now on she will protect you and your family. You will never become a widow. In return you must please Yellamma of all her desires, dance, sing and refuse no man.”
There is Rajamma! Durgamma has not seen her in two years! How beautiful she looks and she dances! Men are throwing money at her!
“Durgamma, you are a lucky girl! Today is your wedding day! Yellamma gudda will bless you today and make you her own! .”
-Indrani Nayar Gall
All the relatives and people of the village complimented Durgamma’s parent on her good looks and what a good Devadasi she would make. Everyone is leaving now. The dogs are at the scraps of food on the thrown leaf plates. The priest comes to take Durgamma away from her mother. Panic enters her body. There was no groom! Where does he want to take her? She begins to cry and holds on to her mother. The priest pulls her away. She can no longer find her mother in the crowd of villagers. The little group is now moving away from her.
Suddenly everything changes. Durgamma had only seen glimpses of the landlord’s house from the big entrance door when her mother brought her to beg for alms. The lady who brought the alms always commented on her beauty. “Rukmini, this one is a real beauty. She will fetch you lots of good fortune”.
She had never seen such a big soft bed. The woman who brought her in the room gave her something to drink before she left. Everything is a bit blurry. Her little numb body sinks into the soft bed. The figure of a big tall man is suddenly too close to her. Too close.
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
The shrill sound of the rooster’s crowing startles her back to reality – “What could I do?” Durgamma sighs.
She gathers herself. “Lots have to be done today!” This old body can no longer do anything in a hurry. She rolls up the old mat and the little old pillow and put it in the corner quietly. Lot to be done today for tomorrow Ajina’s beads will be tied!
She looks at Ajina’s peaceful face. Her little chest rises up and down in even rhythm. Ah, let her sleep a bit longer. She sits next to the little figure. Her rough callused hands from years of hard work touch Ajina’s head. She strokes her hair and forehead. Tears roll down her cheeks.
“How can I throw this beautiful innocent little thing in the mouth of these animals? But, what else can I do? Who will look after her after I close my eyes?” She sighs again, wipes her tears and gets up slowly moving toward the half-decayed door. Not much of a door of not much of a house. What is there to take!
Her thoughts travel back to the past again. Once there was, but was it worth it? At what price! She sighed. But still - when this body was young and beautiful…
After the landlord there were others who gave her clothes and jewelry and a roof over her head…
Durgamma wonders while doing her daily morning chores… Her own daughter Roopa. Tears roll down her cheeks again… Things are so different now from before. She wipes her tears with the corner of the saree. What else could she have done? This world has become so cruel. They said, “Roopa will have a good future.” She will make so much money if Durgamma only lets them take her to the city.
The man who paid for Roopa’s first night was very cruel. After a year he sold her to a brothel in Mumbai for five thousand rupees. He gave Durgamma two thousand rupees and said, “Your money problem is solved Durgamma! Roopa will send you money every month! You will be a rich woman.” She trusted that man! Her neighbor Santhi said, “Do not worry Durgamma, they will take good care of her. She will make lots of money, have lots of jewelry and send you money every month. Didn’t you see Janki’s daughter?”
Little bit of money came at the beginning, but hardly much after that. Before the year was out Janki told her that, she heard that Roopa is pregnant. In a few months the brothel sent her home. Roopa looked tired and thin, but she would not say anything. She gave birth to Ajina at fourteen. Roopa went back to the brothel within two months promising to send money for Ajina. Since then Ajina is with Durgamma. The little bit of money, which Roopa left with her lasted only for a few months. Every morning after that Durgamma had to go down to the temple with Ajina to beg.
Next year Roopa got pregnant again but the brothel madam got rid of it at an early stage. Roopa, looking even thinner, came home for a week to recover. Soon after that the news came that Roopa is often getting sick with chills and fever. The villagers started to talk. The hospital said she has HIV/AIDS. After the signs became too obvious the brothel sent her back to the village. It was not very long after that ...
Durgamma wiped her eyes and started to sweep the small front part of the house even more vigorously raising a small dust storm of dry earth in front of her. The choking dust brought her back to the present. The ground is cracking again in the terrible heat. Only last week she mended them.
Ajina opened her eyes and lay motionless. But not for long. A sharp pang of hunger struck her little body. But this is nothing new. Ajina has learned to sleep with an empty stomach. She slowly says, “Ajjii, I am hungry.” Hard morning light is pouring through the only window in the room and the hole in the ceiling. Ajina gets up, comes outside with a little aluminum mug of water to wash her face and clean her mouth, just as ajji taught her. Durgamma brings a piece of roti with a small piece of jaggery and little bit of goat milk in a cup. Ajina bathes and put on her school uniform with ajji’s help.
This is the happiest time of the day for her. She waited for her friend Kiran. As she heard Kiran’s voice she dashed out of the room to join her. She took Kiran’s hand with a big smile and both danced their way to school.
Except for some of the children who always teased her, time at school was Ajina’s favorite time of the day. She loved the teachers and learning about different things. The teachers loved her too! They always told ajji how quickly she learns everything.
The bell rang for lunch break. Ajina and Kiran quickly picked up their books and joined others for lunch. She knows that, the quicker she can finish eating there will be more play time!
As usual, some children started to tease her, but it was different from other days! Today they didn’t tease her about her father’s name. Today is different.
‘Ajina will be a Devadasi … Ajina will be a Devadasi, Ajina will be a Devadasi,’ they begin circling around her and singing in unison.
Ajina suddenly finds herself in the middle of a big group of children. Where is Kiran?
She cannot see Kiran’s face anywhere in the crowd. The children surround her completely and begin shouting even louder. Some started touching, pushing and tapping her head. Nooooh…! I am not a devdasi. I am Ajinaaaaah!
Ajina tries to fight back, loses her balance and falls. The children laugh even harder and throw dust at her. Ajina’s knees hit the dry coarse ground and start to bleed. The dust goes all over her hair, nose and eyes. She begins to cry. The crowd of children suddenly stops and began running away from her. Kiran found Shankar-sir! He picked up a shaking and crying Ajina and brought her inside the school. Unable to stop completely she continues to sob. Her little mind does not understand why they kept teasing her and calling her a devadasi.
As Durgamma begins to pick dirt little by little from Ajina’s hair, tears cloud her eyes. A still sobbing Ajina asks her grandmother, “What is a devadasi ajji? Why were they laughing at me?” What can she tell her granddaughter? After what happen to Roopa, can she any longer tell her granddaughter that Yellamma will protect her? The goddess couldn’t even save herself, how will she save her worshippers?
Lying on her torn mat Durgamma begins contemplating on the big day ahead of her. The scheduled festivity, the arrangements, Ajina’s initiation into the Devadasi system … Can she still go through with it? She touches Ajina’s quiet little body, the rhythmic up and down of her chest with each breadth. Surrounded by darkness Durgamma turns on her back and looks up. She searches for the little hole in the ceiling. There is no ray of light. Only constricted darkness. Still. Unmoving night.
Bio
Indrani Nayar-Gall, Indian by birth, is an interdisciplinary artist-activist. Her work is committed to social justice and aligns with broader social movements aimed at overcoming all social and religious barriers to equality and empowerment of women, using narratives of young girls and women of marginalized communities.
Indrani lives and works in Charlotte North Carolina.
The devadasi system is an illegal practice of religious servitude that persists in northern Karnataka and around the Maharstra-Karnataka borders. Young girls of poor Dalit communities are still being sold into prostitution in the name of religion. Nayar-Gall has launched a global call-to-action campaign to help marginalized devadasi mothers empower themselves. To learn more, go to https://www.yessherises.org
Two demon (asura) brothers Sumbha and Nisumbha decided to conquer the three worlds (Triloka) by subjecting severe rituals and shadhana, so that no man or demon could destroy them. God Brahma saw the demon brothers’ repentance (which was almost 10 years near Pushkara), and he was pleased and gave the boon they requested. The boon had granted the brothers protection against men and demons, but not against women. When Indra’s sovereignty over the Trilokas’ were taken by the Asura brothers, devas thought about the indestructible Devi Durga as only solution. The boon of Devas granted by Devi, “whenever in disaster you remember me, immediately I will end the calamities”.
All the Devas went to Himavat, to seek help from Devi Durga. An extremely beautiful and auspicious form of the goddess sprung forth from Devi in shape of Kosha (hence she also known as Kaushikii). Chanda and Munda, the two servants of asura brothers thought about her, as great gift to their kings, as she was extremely beautiful. After hearing that Shumbha sent Sugreeva as a messenger to the Devi with marriage proposal, Devi was furious and said, “Who conquers me in battle shall be my husband”.
After hearing this they ordered asura commander Dhoomralochana to go with his 60 thousands asuras to bring Devi by force. Dhoommalochana rushed towards Devi and thereupon Devi reduced him to ashes with an explosive sound ‘Bajra Ninad’ and all his army was destroyed by her lion. Shumbha, with great anger, commanded Chanda and Munda to kill Devi. When Chanda and Munda attacked, Devi Durga’s face turned dark in anger and Kaali appeared out of her forehead, armed with a sword and noose. Thereafter, they had a great fight with various weapons. Kaali rushed towards Chanda and Munda seizing their hair, cut their head. The remaining army became dreadful and fled in all directions. Kaali, holding the heads of Chanda and Munda in her hands approached Devi Durga. Devi was pleased and praised her, that whole world will know her as Devi Chamunda.
Supported by a large army, the two great asuras went for the fight. In the devastating battle the Devi split the arrows shot by Shumbha. And Shumbha also split the arrows discharged by her. Then Devi Chandika became angry and struck him with a trident. Meanwhile, Nishumbha was advancing, Devi Chandika pierced him in the heart with a swiftly thrown dart. Then began a dreadful fight between Devi and Shumbha both on the earth and in the sky, while all Devas and asuras looked on. Various weapons were released by the asura and all were broken down by the power of Devi. Devi pierced Shumbha’s chest with a powerful dart, and threw him down on the earth. Praises were sung in praise of the great Devi – Kaatyayini - Durga - Chandika-Ambika-Mahakali by the Devas. Here ends the story of the slaying of Shumbha and Nishumbha according to Devi Mahatmyam.
Disclaimer: All the myths and contents are respectfully taken from various source on internet. Deeply grateful to below and other sources
http://www.mantraonline.com/the-slaying-of-chanda-munda-devi-mahatmyam-3/
https://en.wikipedia.org/wiki/Kali
Small endeavor to know greatness of Mata Kaali and share the myth amongst ourselves. All the stories may not be agreed to different believers or sects. Please forgive me in name Maa Adya Kaali.
রাজতালিক দে
সমীর আজ অক্সিস এ পৌঁছেই ঠিক করলো তাড়াতাড়ি বাড়ি ফিরবে | ফোন করে ভগতিকে সেটা জানিয়েও দিলো | কিছুদিন ধরেই তপগির কোমরের ব্যাখ্যাটা একটু বেড়েছে | তপগি কুড়া কলেজে নাচের কম্পেটেশনএ নাম দিতে | শরীরটা ফিট তরু কোথা থেকে যে কোমরের ব্যাখ্যাটা এলা এটা সমীর বুঝে শর না | বাচ্ছা হওয়ার পরেও তপগি পাড়ার ফার্শাল এ নাচ করলে, ছোটদের নাচ শিখেছে | খানিকটা সমীর নিজেকেই দেখে দেয় | বাড়ির খানিকটা যদি একটু কমতো | মা পদ্ধতাভাব প্রস্থ হওয়ার পর থেকে কাজের বহর আরো বেড়েছে | আজ ঠিক করলো বাড়ি নিয়ে বৈকে নিয়ে মন্দুল মাক বার | বিষ্টির আজ গালের ব্রাস আছে | ওকে লামিয়ে দিয়ে দুজন আজ গান শুনবে | কি একটা প্রোগ্রাম আছে | সমীরের কিছু যায় আসেনা কি প্রোগ্রাম | একটা কিছু খাকলেই হলো | খানিকটা সময় অন্তত তপগি রিলিফ পাবে |
চাটাটী সাহেবে ভাক পাড়লেন বাহোটা লাগান |
-- কি ব্যাপার, নতুন কোনো প্রেমে পড়লেন নাকি ? সব জুড়েই মাছের দেখছি | মুষ্টু এর অভ্যর্থ গুলের জন্য purchase করতে হতো আপনার তো টেড়ার এর মোটিস্টা দেবার কথা ছিল |
সমীরের ইচ্ছা করলো চাটাটীর গালের আঁচিলাটা উপরে নেমে | শালা, এক নম্বরের হারামি | কাটাটা নবার মানে বন্দুরু | নবার শরীর থারাপ হওয়ার আজ আসেনা তাই হারামিটা ওর পেছনে উঁচে দিলা | আবার হাসছে দেখো | সমীর ঠিক করলো যদি কোনোদিন খুল করে তবে চাটাটীকে দিয়ে শুরু করবে |
বললো
-- সায়ার , আজ বিকালের মধ্যে যাবে | সেল ফোন টা নতুন কিনলেন নাকি | ডিস্প্লে টা কিক দারুন | মেমরিও নিশ্চিত বেশি দিয়েছে |
এক প্রশ্ন হই হই আর সেল ফোনের নানা ব্যবহার শুলু বেরিয়ে এলো | বেরিয়ে এসেই চেষ্ট শুলুলো কনীমিকার দিকে | চাটাটীর PA | চালুকরের মতো গড়ল | সমীর ভাবলো চাটাটীকে খুল করলে সেল ফোনটাকা কনীমিকাকে দিয়ে দেবে | এরপর সারলিম আর মুখ ভুলে তাকামামি | যখন বেরিয়ে এটা বেজে পিয়েছে | আজ আর তাড়াতাড়ি ফেরার মাঝেই হয় না | তপগি এতদিনে বিষ্টিকে দিয়ে গালের ব্রাস এ চলে পিয়েছে | সিগারেট ধরিয়ে কাটাটা ইচ্ছা করেই শানিকটা শুলু ছড়ে দিলা | আজ মাল খেলে বেশ হতো | সেই হোটেল এর সোনার দিনগুলো মানে করে নিলা | এসব মানে করলেই বয়স্তা আনকটা করে মায় |
যদিনুরু খাদার মেডে আসতেই দুর থেকে দেখতে পেলো একটা জটালা | সমীর ফুট বদল করে খানিকটা এগিয়ে মেডেই দেখতে পেলো একটি মালসিক ভারসাম্য স্পীয় মধ্যবয়স্কা মহিলা প্রায় নার বসে আছে | তাকেই দিয়ের জানার | উৎসুক চালুক আর গোল অর্থ দেখের পাদমূর্ত বালান | সমীর পাড়াতেই একটি অতি উৎসুক ছেলে একটা হিল নিয়ে মহিলার দুধারের মাথে ছুড়লো | সমীর আর পাললো না | ছেলেটার ঘাড় ধরে এক রক্ষ মারতেই হাতে পায়ে তোর চলে এলো |
-- হায়ামির বাচ্ছা, তোমার বাড়িতে মা বেল কেউ নেই | ...টি গেলে দেবে | শেষ করে দেব | ছেলেটার সাদী মুলি চালাতেই সমীরের মুখটা লোনভা হয়ে গেলো | সমীরের গায়ে কিছু বোঝ হলো না | শুধু দিয়ে মারাত্মক হেলেটা বিষ্টক পাড়লো রায়মি | সমীর নীচে মারলো | অলক্ষ্মী পোড়ো যখন খালের ততক প্রায় চালুমিনা লেক পর্যন্ত চলে এসেছে |
লেকে যখন চুকলো তখন প্রায় সাভার বাজে | টেলার কোনটা কেটে গেছে | আবিষ্কার করলো মঠিটা নেই | যা গেছে ভালোওই হয়েছে | এমনিতেই সেল ফোন আসার পরে মঠি কেউ দেখে না | সমীর পড়তো শুধ করে |
বাড়ি কিনলো প্রায় সাড়ে বন্টা | বাড়ির কাছে আসতেই সমস্ত জড়তা ঘিরে এলো | সমীর যে এরকম মারামারি করলে এইবমে এটা ভাবতেই নিজেকে মনে হলো দুটো চড়ু মারে |
তপগির মুখ খামলো | সমীর নিজে থেকেই যা বললো তার সারমর্ম হলো | এই যে
আজ যা কাড় হলো বলবার নয় | আটওয়ালারা রাজা আটকেছে টাইলিঙ্ক এর মোড়ে | সমীর ও দাড়িয়ে ছিল | পুলিশ এলে লাঠি চালাতেই ধাকা থেকে সেজা লাম্পশপেন্ট এ বাড়ি থেকেছে | পরে মিষ্টির দোকালে চুকেই জল দেওয়ার সময় সুমিত্রের সাথেই দেখে |
সমীর জানে সুমিত্রকে তপগির একনারাই পছন্দ নয় তাই এই ব্যাপারে র একটাও প্রশ্ন করবে না | বিষ্টি বাবার কাছে একটু নতুন পান্তা শোনলো | বিষ্টির গলাটা সমীরের মাথায়ে মতোই সুরলা | গতালাগিক খর নিয়ে সমীর মাথায়ে কাছে দিয়ে একটু বন্দলো | নিক্ষমতা আজকাল নিজে কষতে পারলেও হাটতে অনুবিধা আছে | খেরাপি করলে হয়তো কিছুটা উত্তরি হতে পারতো কিক্ত সমীর কুলোতে পারেনি |
নিজের
শালিনী দে
নিজের সঙ্গে নিজের দেখা
এসেছি একা যাবত একা,
মাঝখানের এই সমাত্র-সংসার
একা-দোকা পুড়ে খেল।।
আলো
শৃঙ্কিপা সরকার
পাশি হয়ে উড়ে যাব
ফুল হয়ে মরে যাব
বাতাস হয়ে তামার দিকেনিকে
মেঘ হয়ে উড়ে আকাশে
না জানি কত সূর্য এই টুকরেই
মনে মনে গান শুধু পেয়ে যাব
সূর্য হয়ে ভেটে যাব এই ধরনিতে
প্রজাপতির পাথর আলো মেঘে মেঘে
শিশু হয়ে জ্ঞান এই পৃথিবীতে
বারে বারে আসতে চাই
এই আলোতে ।।
প্রাণ
শীলপা চাটার্জি
প্রাণ অনিশ্চেষ ছোটে স্মরণের অরণ্যে
বন্ধুরার ফোলাহাল
রাহিদ চোলাবালিতে প্রাণের চুম্বন বন্ধন নিয়ার করলো
অরণ্যের নিখায়ে ক্ষী প্রাণের অস্তিত্ব
বলে দের "আমি আছি"!
তোমার ভীতার টানে জড়ের নভিতে
কর্ড জোলে বৃষ্টি কাঁচি ।
নিঃশব্দ অভিশারের গোপন লাটাই
নখন ফসল হাতে
নৃত্যের নৃত্যের পায়ে চুপি চুপি আসে
ছিম্মুলে ছিয় প্রাতে ।
সূর্য ছোটে শ্রীশায়ের গাড়ের শিকল
ছিলে ছিলে অনাবার
আচ্ছা প্রভাসালে কুক্কু আকাশে
প্রাপন্ন প্রাণ দেখে ।
কননী লভায় বাঁধা প্রাণের লাটাই
আকাশে উড়িয়ে মৃদু
পৃষ্ঠের আসামীর কুড়া প্রেত দেহ
সাগরে ফেললে নুড়ি ।।
শে আমার
শৃঙ্কিপা সরকার
বিছানায় শুয়ে শুয়ে থাকি চেরে
আকাশের দিকে --
মনে মনে ভাবি শুধু আমি ভাবে কে?--
আমার আসিতে আমি হয়তি হারা--
সোনি হারিয়ে যায়তে আকাশের ভারা
লিন্নারাত তাবি এর মুখে শুধু
এই কি আমার শীঘ্রের দুখের দিন শুরু
তারি মাথে আমি থাকি শুধু তোমারি করুণায়
আগ্রহ তোমারি চারায়তে পাই যেন তাহি ----
দুর্শ বিলাস
শৃঙ্কিপা সরকার
খাকতে চাইলা পৃথিবীর কর্ণ এই পিঠে
তর্ক ও শাকত হয় রাত্রিদিনের কারাসাজিতে
ছোট এই মনটা কেদে ওঠে বারবার
চারিবিকে শুধু কাজার হায়কার
পৃথিবীর এই বিছিস্ত শ্রীগে বেন "আমি" একা
নাকি আমারই ফুল সহই শুধু ফাকা
কি জানি কখন ভুল অভুলে চেয়েছি জোমার জানতে ---
কেদেনি অগ্রনামির রাতুল চরণে মাধুরুট
ভর তাবনার বৈতে থাকা কেবল দুঃখিতু হুল
যদি আমার "আমি" আসে একদিন
বৈতে শাকার আলন্দে ।।
বৃষ্টি ধারা
শৃঙ্কিপা সরকার
বৃষ্টি পড়ে গাছে গাছে
ডাল ও পাতায় ---
টাঙ্গর টুকর বৃষ্টি আর
এই বিশ্বের শারায়
বৃষ্টি আমার হাসার কাঁদায়
বৃষ্টি চালাবালায় ---
বৃষ্টি আমার নাচার তাসার
বৃষ্টি দেহের দোলায়
বৃষ্টি আমার ভরা সেম
চেয়ে বৃষ্টি আর
চাঁক হয়ে চেয়ে থাকি
আমার আসারে তুমি করে
বৃষ্টি তোমার ভরে আমার
মন খুশিতে ভরে ---
বিশ্বিনীতা
শীলবন্ধ চাটার্জি
আমি আগামীতে চাই জন্ম লিখে ---
কেননা বনপলাশির অহংকার |
ত্রজনালা হয়ে নবচীতার পথে পথে ত্রজনুলি লিখে গান লেখে গেছে বেড়ান মূর |
ইহেনে করে মধুরালুরের পুরাবাসী দ্বারে মূরে ছিলি লাভপানে ;
হরিনালে জোগে মেজে ওঠা নম দারে দারে মূরে প্রজাতা বেশে অনভূতের কাছে অরি সমর্পণ |
মনোটা ফুকনো হয়ে গেছে বায়ুরের খণ্ডতর খণ্ডে খণ্ডে ; এক দিক নিঃসর ছোঁয়া অভিলাষ উদাসী বাউল কর্ণ গেছে ওঠা "হরিবোল" --
মন প্রাণ একাকার। দিয়েছি দুর্ব হরিনামের শীতল রান |
আর একটা জন্ম চাই নাম - পিয়ালের আধুন্য মিলাবে কি ঠাই ?
আমি হয়ে চাই বাউল -- নে- ভারার চাল দিয়ে তুলব নুঘুরের ধনিন ;
দু- হাত আকাশে মেলে কর্ণে আসবে সে নাম -- সূরে সূরে ছুমে ছুলে ---
"হরিনল - হরিনল - "
আমার আর এক মন বেধে রাখে মায়ার বন্ধনে |
ছড়েতে চায় না এ বাধন , আমার সকল ভালোবাসার মূল অমূলারভূতে বন্ধ পারাবার |
আমার আমির সংসার --সংগ্রাম উদ্ধুন !
আমার অখ্যাও সত্য খণ্ডে খণ্ডে হয়ে ছড়িয়ে মায় অক্ষত বিশাদের লক্ষ লক্ষ ভীরু বিহোরে বুকে ||
ডাক
শীলবন্ধ চাটার্জি
আজ উদ্ধরণের পথে রক্ত লাল হাতে
আঁশ্বিকর অন্য রথে দিয়ে গেল ডাক!
আমা অজ্ঞানার দেহে মিলাবে কি শেষে
অলসানো ভাবনার অন্ধকার বিক ?
মেঘে মধ্যে অক্ষর রচিতের হাতে
অন্তর্ভুত অলঙ্কৃত ফেরারি শান
অভ্যন্তর ইঙ্গিত নিয়ে "গার ছাড় " ডাকে
আকাশ কাঁপিয়ে আসে অন্তরাবাসী মন।
সাদা হয়ে আসে কালো জিলেরক বস্ত্রা
আলোরার পায়ে পায়ে ছলনার ছাপ।
ডাক আসে অলঘৈ, বেঁচে হবে জানি
পুলাতায় ভরে নিয়ে সে ডাকের মাপ।
কখন আমারে ডাক, প্রতীক্ষিত রথ !
আলোর রশিতে টান, অন্ধহীন পথ ||
অসময়ের তুমি
শামতী ভট্টাচার্য
তোমার সাথে রাত্রিবাপন রেজ,
প্রতিটি আসে মধ বার্ষ ভাল, লর
গরার অভিযোগ রাখি দুর্ব আর প্রেম
অক্ষকারেও রাঙ্ক কাট নিতুর।
সেই ছেঁকেবালা তোমার হাত ধরে হাট-এ
মূর্তা আরলেই ফুল কুড়াবার ধূম,
বেশাপ থেকে টেরের দিনাত
প্রতিটি স্বরে তোমারই তো নরনুম।
আজও রাতে তুমি গন্ধ শেলাও এনে
আমিও তখন চন্দ্রা হয়ে নাই,
মালতীর নত অতি নাধরণ আমি
অভিলাস করে নিজের শাস্তি চাই।
ওরা সারাদিন কাজ করে, খেটে খায়,
বিদ্যার মাঝ সমবেতা করা শেষে,
প্রেমে আর হেমে মিল হয় দর্শনে
মৃতার পর জন্মের অভিযোগে।
সারাদিন ধরে দুঃখের মূর্তা দেখি,
"স্মরিন আমার" চিহ্ন করে বলি।
রাঙ্ক বেলে এল মিশ্রার এসে বলে,
"পথের প্রায়ে কাঁদছে শীতাকালি"।।
Beat Plastic Pollution
Sadhguru says, "Isha is not a particular organization, it's not an Indian set-up, Isha is a conscious culture..."
To raise #BeatPlasticPollution and #BanSingleUsePlastic awareness, a few of us Isha volunteers, gathered together in Uptown Charlotte on the Occasion of World Environment Day and took a vow to nurture this awareness in and around us.
~Shalini Dey
There was a little girl named Alissa, who lived in a small town. There were no libraries, schools, or grocery stores near her home. She believed in God and prayed to God every morning after taking a shower. She had to go the library with her parents to collect books for her education. It was a challenge for her parents to take her to the library every day due to their busy schedule. Therefore, she had an idea to make everything within reach.
One day, while she was praying to God, she wished if she could have a library that was closer to her house to collect books. God said, “I will send an angel named Googlet to help you on ordering books.” Googlet was very friendly and helped Alissa order books every day. Alissa thanked God for sending Googlet.
The next day, Alissa wished if she could watch movies at home, instead of going to the theaters. God said, “I will send another angel named Netflee, who can help you on your mission.” Netflee entertained her by showing different cartoon shows.
The next day, Alissa wished for someone who could help with shopping. God asked, “Why do you need help with shopping?”.. Alissa responded, “First of all, I want to choose the best items for me and my parents. Second of all, shopping centers are far away from my home”. God listened to her and said, “Very well, I will send you an angel named Amazo, who can help you.”. Amazo helped Alissa buy a variety of dresses, toys, art & crafts, etc.
After a while, Alissa got bored because she did not have any friends to play with inside her house. Therefore, she had a strong desire to have friends for playtime. God sent a fairy, whose name was Faboo. Alissa developed a lot of courtesy and made many friends while getting help from Faboo.
Alissa did not realize the difference in her lack of healthy activity, while she was spending time with video games and using Googlet, Netflee, Amazo, and Faboo for other activities. One day, none of the dresses Alissa had bought would fit, because they were too small. Alissa was heartbroken by this sight and cried, “Heeeeelp, God please help!” She continued to cry, “How did this happen?”. God asked, “Well, how many times did you play outside?” Alissa answered, “It is unnecessary to go outside since everything is within reach”. God gave a smile and said, “Oh my child, Health is Wealth, so should I call back all the angels that caused your health problem?”. Alissa did not know what to say to God and kept quiet.
After a week, Alissa thought over her ideas and learned a lesson, which was, ‘Everything within reach, is not always the right choice, as it may cause health problems.’ “Boy, was that BAD,” said Alissa, and she went outside to play and kept herself healthy.
This story is about children like Alissa who spend most of their time with electronic devices which can lead to health problems.
Gardeners Day
A rainy day is a gardener’s play
But when the storm comes to stay
The gardens and gardeners go away
All Alone
All alone in a bundle of people
The pain I experience is great
It’s like jumping over a gigantic steeple, just to fall.
You try to participate and fail
At having a partner to be with
And feel, oh so frail.
Never ever fitting in
You seem different, too different
You seem so invisible to them.
They don’t see who you are
They just see what you are
And sometimes it takes pieces out of you one by one.
So all alone is where I wanted to be
Where nobody can see me
I’m gazed at too much
Make me invisible
Please
All alone is where I wanted to be
But sometimes it can be too much to bear
So even if you want to be alone
Find a friend, keep your friendship together
Cause being alone is
Too alone at times
Probably a crime?
My Little Brother Nik
Worth more than a dollar and
Always by my side
My brother is the best sibling
One could find
Happy and nice
Playful and slightly annoying
But loyal as a wolf
And never boring
And always protecting,
As I protect him
And that is why I love him
My little brother Nik
Sometimes
Sometimes you can do great things
And change the world
Sometimes is a time when people aren’t predictable
Sometimes you can’t get trusting friends or family
And that hurts
And sometimes you feel like that it should end
Or not, even when you’re truly alone
Sometimes you win
And sometimes you lose
“Sometimes” is not just a word
It’s a prediction of what will happen soon
The Number Four
The number four
Is it really enough?
Or do I need more (poems)
Counting this one, it’s five
Making the other four alive
Vedanta Movement in Charlotte! Come join us!!
Swami Vivekananda Sri Ramakrishnan Paramahamsa Sri Sarada Devi
The Souls Divine
Est: 2013
Purpose: Spiritual development through the study of holy scriptures and practice of public service
Contact: facebook.com/TheSoulsDivine/; facebook.com/Thesoulsdivine-iswarseva-1782886915315149/; firstname.lastname@example.org; Sekhar @ 704-236-0224, Arnab @ 512-937-2507
This life is short, the vanities of the world are transient, but they alone live who live for others, the rest are more dead than alive!
- Swami Vivekananda
SOUTH PARK CRICKET CLUB
SPCC is a group of gentlemen who play competitive cricket for fun. We create irreplaceable friendships on and off the ground. Through dedication, hard practices and thrilling matches, the SPCC team has become a growing force in the Carolinas.
http://southparkcc.org
ARANI
ARTISTS GALLERY
Adhrit Naskar
Aditya Saha
Aishik Mazumder
Swastik Basu
Aleena Biswas
Raina Saha
Roshni Kumar Akash
Siddhartha Pramanik
DEVISHI PAUL
Happy Ganesh Chaturthi
A bouquet of flowers for my mom
Joi Maa Durga
Aaj dhaaner khete roudrachaayay lukochurir khela re bhai lochurir khela
LILY BISWAS
ANUSHKA PRAMANIK
Aleena Biswas
Shireen Collam
Roshni Kumar Akash
Niharika Parui
Shayan Bhowmik
Sarthak Das
Viyan Das
Disha Bhowmik
Fire Squir
Nikhil Collam
Adhrit Naskar
Winter
Anish Sengupta
Anish Ghosh
Anuj Dey
Ishani Chatterjee
Anish Sengupta
Anisha Mazumder June 10, 2018
Leena Basu
Sudeshna Kumar
Sudeshna Kumar
Love Forever
Radha Krishna Series
By Priyanka Mandal
PRIYANKA MANDAL
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Durga Puja 2019
A celebration of Indian culture and tradition, Durga Puja is a festival that honors the Hindu goddess Durga. It is celebrated in various parts of India and around the world by the Hindu community. The festival marks the victory of good over evil and is a time for family and friends to come together and celebrate.
The Durga Puja festival is marked by the installation of a clay idol of Goddess Durga, which is then worshipped for nine days. On the tenth day, the idol is taken out in a procession and immersed in a river or body of water, symbolizing the end of the festival.
The festival is also known for its vibrant processions, music, and dance. People dress up in traditional clothing and participate in the festivities with great enthusiasm. The festival is a time for people to come together and celebrate their cultural heritage.
This year, the Durga Puja festival was celebrated with great enthusiasm and joy. People came together to honor the goddess Durga and celebrate the festival. The festival was marked by the installation of a clay idol of Goddess Durga, which was then worshipped for nine days. On the tenth day, the idol was taken out in a procession and immersed in a river, symbolizing the end of the festival.
The festival was also marked by vibrant processions, music, and dance. People dressed up in traditional clothing and participated in the festivities with great enthusiasm. The festival was a time for people to come together and celebrate their cultural heritage.
The Durga Puja festival is a time for people to come together and celebrate their cultural heritage. It is a time for people to honor the goddess Durga and celebrate the victory of good over evil. The festival is a time for people to come together and share in the joy and excitement of the occasion.
Srishti's Durga Pujo 2017 Highlights
EXTEND YOUR REACH BY ADVERTISING IN ARANI
FEATURING: full and half page ads in our magazine Arani, on our website www.srishtiofcharlotte.org and on our facebook page Charlotte Srishti.
FOR MORE INFORMATION PLEASE CONTACT:
Santanu Sarkar
email@example.com
Sekhar Naskar
firstname.lastname@example.org
Srishti of Charlotte wishes you and your family a happy and joyous Durga Puja 2018.
DURGA PUJA
CHARLOTTE 2018
Witness exquisite food, fun and the biggest spectacles at Srishti's Durga Puja 2018
www.srishtiofcharlotte.org
We invite you and your family to join this year's
Durga Puja Festival
October 19-21 | Charlotte Preparatory School
Celebrate this festive season with us
RED CHILEZ
INDIAN GRILL
14027 Conlan Cir, A1, Charlotte NC 28277
(704) 919-0802 (704) 910-6521
Email: email@example.com
www.redchilezcharlotte.com
Two Convenient Charlotte Location!
South Charlotte (Pineville)
North Charlotte (University)
Bringing you the Homeland Since 1974
Sign up for weekly e-mail specials at www.patelbros.com or stop by the Store
Finest Indian & Pakistani Groceries • Fresh Vegetables
Frozen Foods & Ice Cream • Fresh Sweets & Snacks
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OPEN 7 DAYS A WEEK | 10 AM - 8:30 PM
www.patelbros.com
South Charlotte (Pineville)
704.540.2013
10701 CENTRUM PARKWAY,
PINEVILLE, NC 28134
ACROSS FROM CAROLINA PLACE MALL
(Next to Wells Fargo Bank, Across From Best Buy)
North Charlotte (University)
704.509.2305
8109 UNIVERSITY CITY BLVD, STE A
CHARLOTTE NC, 28213
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Dear Councilmembers,
Thanks to several of you for attending the community listening session I held last week relating to draft changes of hazard sheltering and homelessness policy within the Spokane Municipal Code (SMC). As you know, I believe policy changes should be passed with enough time for thoughtful input and community dialogue. Sweeping changes that have vast operational and fiscal impacts deserve the careful consideration of subject matter experts and should only be enacted as a true emergency if there is a demonstrable deficiency in the current system.
As you saw during the previous winter and recent heat wave vacancies in the shelter system persisted. City employees followed current code during the heat wave and provided nearly 1000 spaces across the City as cooling centers. A scalable, community approach that takes into consideration assets, usage and need, personal decision making of citizens, and how to adequately allocate resources for all city services is of the utmost importance.
As I presented to the community last week, the City prepared and executed a plan for cooling centers that utilized lessons learned from last year’s safer air center activation. This plan drew on utilization data and experience of City staff.
The proposed ordinance unilaterally changes the temperature and duration threshold of heat-related shelter activation and provides no data or resources to support this change. I must question how the Council decided to make a sudden shift during a heat event in which hazard shelter was activated according to the guidelines set forth in the SMC, which was only implemented in the previous year. This ordinance:
- Seeks to blend hazard sheltering with homelessness policy
- Does not account for planning and fluctuation in temperature or formal National Weather Service warnings
- Lacks a definition of “low-barrier” shelter
- Mandates the use of facilities owned and operated by organizations that the City cannot compel to participate, and;
- Fails to take into consideration the lack of providers and fiscal impact to keep standby contracts or non-monetary agreements in place.
This email to you today is not intended to disparage the emotion, lived experience, or benefit that hazard shelters can have in our community. Rather, to highlight the need to collaborate, communicate, and allow time for operational staff to implement, collect data, report back, and then suggest changes if the evidence shows it is necessary. That process begins with an after-action review, which is customary of an event of scale and magnitude.
The Council has not given adequate time for this to occur and I ask that you defer consideration of this ordinance until more robust study and planning to meet these needs can be accomplished.
Attached you will find my presentation from last week’s meeting which highlights the areas of greatest concerns. Please note the difficulty in tracking the number of changes that have been produced quickly to this proposal, including the most recent version received by my office at 11:22 A.M. today, and understand that this version may be different than what the entirety of Council has had the opportunity to review.
Sincerely,
Nadine Woodward | CITY OF SPOKANE | SPOKANE MAYOR
509.625.6250 | firstname.lastname@example.org | spokanecity.org
Agenda Sheet for City Council Meeting of: 07/12/2021
| Submitting Dept | CITY COUNCIL |
|-----------------|--------------|
| Contact Name/Phone | BREEAN BEGGS 625-6714 |
| Contact E-Mail | BBEGGS@SPOKANE CITY.ORG |
| Agenda Item Type | Emergency Ordinance |
| Agenda Item Name | 0320 - UPDATING SMC CHAPTER 18.05 PROTECTIONS FOR HOMELESS PEOPLE |
**Agenda Wording**
Improving the standards for the City's efforts to help unhoused and vulnerable people; amending sections 18.05.010, 18.05.020, and 18.05.030 of the Spokane Municipal Code; and declaring an emergency.
**Summary (Background)**
Needed updates to this section of SMC became increasingly obvious during the 100+ degree temperatures in Spokane in June and July. This ordinance recognizes a gap in sheltering and services during extreme weather events and lays out a framework for planning and preparing for future incidents of extreme temperature or air quality. Providing residents, including those who are unhoused, protection from the elements is an essential function of government during extreme events.
| Fiscal Impact | Public Works? |
|---------------|---------------|
| Lease? NO | Grant related? NO |
| Select $ | # |
| Select $ | # |
| Select $ | # |
| Select $ | # |
**Approvals**
| Dept Head | MCCLATCHY, BRIAN |
|-----------|------------------|
| Division Director | |
| Finance | HUGHES, MICHELLE |
| Legal | PICCOLO, MIKE |
| For the Mayor | ORMSBY, MICHAEL |
**Council Notifications**
| Study Session\Other | PIES 6/28/21 |
|---------------------|-------------|
| Council Sponsor | CP Beggs |
**Distribution List**
---
PASSED BY
SPOKANE CITY COUNCIL:
July 12, 2021
CITY CLERK
ORDINANCE NO. C36077
An ordinance improving the standards for the City’s efforts to help vulnerable and unhoused people during extreme environmental conditions; amending sections 18.05.010 and 18.05.020 of the Spokane Municipal Code; and declaring an emergency.
WHEREAS, vulnerability and homelessness persists even during normal weather conditions and exacerbated whenever Spokane faces extreme conditions, such as smoke from wildfires which make the air unsafe to breathe, and dangerously low or high temperatures, which create a risk to the lives of those without sufficient cooling facilities and shelter; and
WHEREAS, when temperatures in Spokane are above 95 degrees Fahrenheit for several days in a row in Spokane, and have not cooled below 70 degrees Fahrenheit at night during that time, a serious risk to everyone’s health and safety is created, particularly those who are unhoused; and
WHEREAS, the impacts of the climate crisis are accelerating and bringing more frequent and intense extreme weather events to Spokane and advanced planning efforts will be necessary to ensure proper emergency response; and
WHEREAS, all of these facts establish that there exists in Spokane an interrelated set of emergency conditions which present a threat to the public health and safety, and which require that this ordinance be made effective immediately pursuant to Section 19(A) of the City Charter.
NOW THEREFORE, the City of Spokane does ordain:
Section 1. That section 18.05.010 of the Spokane Municipal Code is amended to read as follows:
Section 18.05.010 Legislative Findings and Purposes
A. Centers for the protection of vulnerable and homeless individuals and families during inclement weather is vital, whether due to extreme cold, extreme heat, poor air quality conditions, severe storms, or other types of civil emergencies.
B. The City Council has, from time to time in the past, passed resolutions stating the guidelines and triggering conditions for the activation of emergency warming centers in the City of Spokane, noting that extreme weather conditions can create an extreme danger for vulnerable and homeless people in Spokane and puts a great strain on service providers.
C. This chapter is intended to codify and supersede those prior resolutions, including, most recently, Resolution No. 2014-0018 (Feb. 24, 2014).
D. The City Council finds that gaps in shelter and services have been a recurring problem during extreme heat, cold, and poor air quality events, in addition to the
continuous public health and safety problem of vulnerability and homelessness in our community.
E. The City Council also finds that the City must approach this issue with the foresight, increased resources, and prior planning which is a characteristic of prepared and resilient cities around the world, so that Spokane is ready at all times to handle the types of conditions that require the provision of emergency shelter for all people in Spokane who need it, including securing written agreements with private and government entities to provide additional shelter on short notice.
F. The City Council also finds that providing protection to Spokane residents from extreme heat, cold and unsafe air is an essential government function no less than is the provision of water, wastewater, police, fire, and emergency medical services.
G. The City Council finds that adequate inclement weather centers can be cost-effectively provided within existing City resources to those actually seeking shelter without providing capacity for every vulnerable and unsheltered homeless individual within the City since not all individuals seek out shelter at inclement weather centers.
Section 2. That section 18.05.020 of the Spokane Municipal Code is amended to read as follows:
Section 18.05.020 Activation Criteria
A. The activation criteria for inclement weather centers beyond existing homeless shelter capacity and the homes of individuals that aren’t equipped to handle extreme weather changes in the City of Spokane are as follows:
1. Warming centers sufficient to meet the shelter needs of currently unsheltered homeless individuals and other vulnerable individuals seeking shelter in Spokane will be activated on each day during which the temperature is predicted by the National Weather Service to be 32 degrees Fahrenheit or lower and designated low-barrier shelter space was at ninety percent (90%) capacity or greater during the previous night. The warming centers will operate at a minimum during the hours that temperatures are lower than thirty-two (32) degrees Fahrenheit. The City may, by contract with its center provider(s), raise the activation temperature for warming centers, but in no event will the activation temperature be ((higher)) lower than thirty-two (32) degrees Fahrenheit.
2. Cooling centers sufficient to meet the shelter needs of currently unsheltered homeless individuals and other vulnerable individuals seeking cooling shelter within the City will be activated when the temperature is predicted by the National Weather Service to be ((100))95 ((one hundred))ninety-five) degrees Fahrenheit or higher for ((three))two ((3))2 consecutive days or more. The cooling centers will be operated at a minimum during all hours when the temperature is 95 (ninety-five) degrees Fahrenheit or higher. The City may, by contract with its center provider(s) extend the hours of operation and/or lower the activation temperature for cooling centers. The City should seek out a network of cooling center locations throughout the
City at schools, libraries, churches and community centers and encourage other municipal governments to join in providing a regional cooling center network.
3. Safe air centers sufficient to meet the shelter needs of currently unsheltered homeless individuals and other vulnerable individuals seeking safe air shelter within the City will be activated for the entire day and evening on which the Spokane Regional Clean Air Agency forecasts the current air quality index to reach 250 or higher.
4. Emergency centers may also be activated by the Mayor or the Mayor’s designee on any day in which a civil emergency or extreme storm or weather condition exists or is predicted to occur and which, in the determination of the Mayor or the Mayor’s designee, poses a severe threat to the health or safety of vulnerable and unsheltered homeless individuals and families in the City of Spokane.
B. The Community Health and Human Services (“CHHS”) Department shall implement the appropriate policies and procedures, including without limitation making funding requests; recommendations regarding center providers; the designation of specific locations to be used as warming, cooling, and safe air centers; ((and)) the arrangement of other appropriate measures to the City Council in order to carry out the specific provisions and intent of this section; and shall continuously maintain contracts and/or appropriate non-monetary agreements scalable to the need for emergency warming, cooling and safe air center provider services, with no lapse in coverage at any point in time throughout each year, regardless of whether the services are provided under contract, by interlocal agreement or by city staff.
C. No later than September 30 of each year, and annually thereafter, the City shall publish and disseminate the City’s plan for emergency warming, cooling and safe air centers for the coming year, which shall provide details of the name(s) and location(s) of center providers and similar resources, the capacity and scalability of all emergency centers, by type and population(s) focus (if any), activation criteria, cost, funding source(s), partnerships and the communications and publicity plan to ensure that people who are vulnerable or are experiencing homelessness will know where they can obtain these services.
Section 3. That the City Council declares that an urgency and emergency exists such that this ordinance is needed for the immediate preservation of the public peace, health, or safety, and/or for the immediate support of City government and its existing public institutions, and that because of such need, this ordinance shall be effective immediately, under Section 19 of the City Charter, upon the affirmative vote of one more than a majority of the City Council.
PASSED by the City Council on July 12, 2021.
Attest:
City Clerk
Mayoral Decision to Return Unsigned
Returned: 7.23.21
Mayor
CITY OF SPOKANE
WASHINGTON
Approved as to form:
Assistant City Attorney
Date
July 12, 2021
Effective Date
Substitute Ordinance – Rec’d 7/12/2021
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Mortensen, M. and Iqbal, F. and Pandurangan, Arun and Hannan, S. and Huckvale, R. and Topf, Maya and Baker, J.R. and Smart, T.G. (2014) Photo-antagonism of the GABAA receptor. Nature Communications 5 , ISSN 2041-1723.
Downloaded from: https://eprints.bbk.ac.uk/id/eprint/10293/
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Photo-antagonism of the GABA\textsubscript{A} receptor
Martin Mortensen\textsuperscript{1}, Favaad Iqbal\textsuperscript{2}, Arun P. Pandurangan\textsuperscript{3}, Saad Hannan\textsuperscript{1}, Rosemary Huckvale\textsuperscript{2}, Maya Topf\textsuperscript{3}, James R. Baker\textsuperscript{2} & Trevor G. Smart\textsuperscript{1}
Neurotransmitter receptor trafficking is fundamentally important for synaptic transmission and neural network activity. GABA\textsubscript{A} receptors and inhibitory synapses are vital components of brain function, yet much of our knowledge regarding receptor mobility and function at inhibitory synapses is derived indirectly from using recombinant receptors, antibody-tagged native receptors and pharmacological treatments. Here we describe the use of a set of research tools that can irreversibly bind to and affect the function of recombinant and neuronal GABA\textsubscript{A} receptors following ultraviolet photoactivation. These compounds are based on the competitive antagonist gabazine and incorporate a variety of photoactive groups. By using site-directed mutagenesis and ligand-docking studies, they reveal new areas of the GABA binding site at the interface between receptor \(\beta\) and \(\alpha\) subunits. These compounds enable the selected inactivation of native GABA\textsubscript{A} receptor populations providing new insight into the function of inhibitory synapses and extrasynaptic receptors in controlling neuronal excitation.
\textsuperscript{1}Department of Neuroscience, Physiology and Pharmacology, University College London, Gower Street, London WC1E 6BT, UK. \textsuperscript{2}Department of Chemistry, University College London, 20 Gordon Street, London WC1H 0AJ, UK. \textsuperscript{3}Institute of Structural and Molecular Biology, Crystallography/Department of Biological Sciences, Birkbeck College, University of London, London WC1E 7HX, UK. Correspondence and requests for materials should be addressed to T.G.S. (email: email@example.com).
The precise coordination of our behaviour requires that we have adequate temporal control over neuronal excitation. The responsibility for this control falls largely to γ-aminobutyric acid type A receptors (GABA\textsubscript{A}Rs). The timing, extent and cellular location of synaptic inhibition have a critical impact on neural network activity and therefore behaviour\textsuperscript{1–3}. Under normal circumstances, inhibition will be regulated by endogenous factors, post-translational modifications and by plasticity mechanisms. It is therefore unsurprising that dysfunction to GABAergic inhibition is implicated in numerous neurological diseases\textsuperscript{4–8}.
The strength (or macroscopic efficacy) of synaptic inhibition will depend on many factors, not least the number of GABA\textsubscript{A}Rs clustered at the postsynaptic membrane and the mean probability of GABA channel opening. Receptor trafficking will be affected by numerous signalling pathways, including GABA\textsubscript{A}R phosphorylation\textsuperscript{9,10}, while channel opening will be a function of the GABA concentration in the synaptic cleft and the activity of allosteric modulators, such as the neurosteroids\textsuperscript{11}. Of equal importance for effective synaptic inhibition is the potential for different GABA\textsubscript{A}R isoforms with their attendant differences in physiological and pharmacological properties, to be targeted to specific domains (inhibitory synapses) in the same cell\textsuperscript{12,13}.
To understand how this exquisite targeting of GABA\textsubscript{A}Rs to specific membrane domains in single cells relates to their impact on neural activity requires a method to modulate, irreversibly inactivate and/or to track the movement of such receptors. This can be partly achieved with fixed tissue by using receptor subtype-specific antibodies. Unfortunately this method will not allow any measure of real-time receptor dynamics\textsuperscript{14}. By contrast, we can express GABA\textsubscript{A}R subunits that carry either mutations to critical structures (for example, ion channel)\textsuperscript{15}, or are tagged with fluorophore labels\textsuperscript{16} to reveal real-time dynamics in live cells. The latter approaches, although extremely useful, nevertheless require the expression and monitoring of recombinant receptor protein expressed in native cells, and thus, the behaviour of native GABA\textsubscript{A}Rs can only be ascertained by inference.
Here we take a different approach to enable the direct study of native GABA\textsubscript{A}Rs. This requires the design of novel ligands that can be attached, and irreversibly bound when appropriately activated, to native GABA\textsubscript{A}Rs. Using available knowledge of the interfacial GABA binding sites on the GABA\textsubscript{A}R\textsuperscript{17,18}, we have developed a class of ligands that can photoactivate GABA\textsubscript{A}Rs. These ligands have two major advantages over prior methods: first, we can transiently activate GABA\textsubscript{A}Rs \textit{in situ} without the need for recombinant receptor expression in native cells; and second, by choosing a ligand that occludes the GABA binding site, we can specifically inactivate populations of GABA\textsubscript{A}Rs in particular areas thereby gaining valuable insight into their function and trafficking, in addition to revealing the importance of membrane delimited inhibition.
**Results**
**Designing a photoactivated GABA\textsubscript{A}R antagonist.** We selected gabazine as the lead structure for synthesizing new photoactive reagents for several reasons: (i) it is a competitive GABA\textsubscript{A}R antagonist that binds to residues in the GABA recognition/binding site preventing agonist-dependent receptor activation. This strategy of causing just inhibition was preferred to photoactive allosteric modulators (often anaesthetics\textsuperscript{18,19}), since these have multiple effects inducing inhibition and also concurrent activation and potentiation at GABA\textsubscript{A} receptors; (ii) gabazine exhibits partial negative allosteric modulation by inhibiting GABA\textsubscript{A}R activation by pentobarbital (barbiturate) and
**Figure 1 | Photoactivated gabazine analogues are antagonists at zJj2/2S GABA\textsubscript{A} receptors.** (a) Structures of GABA, gabazine and the new gabazine analogues: GZ-iI (intermediate), GZ-A1 (azide), GZ-B1 and GZ-B2 (benzophenones) and GZ-D1 (diazirine). (b) GABA current inhibition curves for gabazine and gabazine analogues. The data are normalized (%) to the currents activated by an EC\textsubscript{50} (\(\sim\)10 µM) for GABA (\(n = 6–8\) cells). Previous data for GZ-iI is shown as a dotted line for comparison\textsuperscript{17}. (c) Bar graph of antagonist potencies depicted as pIC\textsubscript{50} (left ordinate) and IC\textsubscript{50} (right; nM). The s.e. values only correspond to the pIC\textsubscript{50} values. *\(P < 0.05\); **\(P < 0.005\); ***\(P < 0.001\); \(t\)-test \(n = 6–8\)). All data points and bars represent mean values ± s.e.m.
alphaxalone (steroid) from their discrete binding sites on the receptor\textsuperscript{20}. (iii) Gabazine contains an easily identified ‘GABA structure’\textsuperscript{1}, the molecule that is encumbered by other groups, unlike a similar GABA moiety in bicuculline\textsuperscript{21}, which is another competitive GABA\textsubscript{A}R antagonist\textsuperscript{2,3}; and (iv), the phenoxy group on gabazine presents a chemically convenient site for attaching photoactivatable groups (Fig. 1a).
**Chemistry of gabazine analogues.** To maximize the prospects of obtaining high potency gabazine analogues, we took note of several key structure–function characteristics of ligands that bind effectively to the GABA binding site. As the carboxy- and amino-ends of GABA are important for its engagement at the GABA binding site\textsuperscript{24}, and the carboxyl side-chain of the GABA moiety in gabazine is crucial for antagonism\textsuperscript{25}, we avoided making any modifications to these parts of the gabazine molecule. We also noted that the aromatic ring at position 6 on the pyridazine ring was important in affording gabazine its potency, and should therefore be retained\textsuperscript{23–27} (Fig. 1a). Thus, we chose to concentrate on the phenoxy group as the point of attachment for the photoactivatable groups, having shown in initial synthetic studies that the incorporation of a benzyl group led to a further increase in potency (GZ-11, Fig. 1a)\textsuperscript{27}.
The following three types of photoactive groups were incorporated into gabazine: an aryl azide\textsuperscript{28} (GZ-A1), a benzophenone\textsuperscript{29} (GZ-B1) and an aryl diazirine\textsuperscript{30} (GZ-D1; Supplementary Fig. 1a). A second truncated benzophenone-gabazine analogue was also synthesized, where the phenoxy ring of gabazine was directly replaced by the benzophenone (GZ-B2; Fig. 1a; Supplementary Fig. 1b). When these photoactive groups are exposed to ultraviolet (UV) light (wavelength \(\sim 300–370\) nm) they respond by forming highly reactive intermediates. In the case of aryl azides and diazirines, this involves the loss of N\textsubscript{2} to afford a nitrene or carbene, respectively, while the benzophenones form a photoexcited state that behaves as a diradical. In each case, the reactive species can then react and covalently attach to nearby amino-acid residues in the GABA binding site.
**Photoactive analogues are high potency inhibitors at GABA\textsubscript{A}Rs.** We first assessed the gabazine analogues for their potency in antagonizing a GABA EC\textsubscript{50} response using the synaptic-type recombinant z1β2γ2 GABA\textsubscript{A} receptor expressed in HEK cells. This would determine if the photoactive groups are accommodated by the GABA binding site. The synthetic compound, GZ-11, is an intermediate between gabazine and its photoactive analogues. The simple addition of a phenyl ring increased the potency of gabazine by more than 30-fold\textsuperscript{27} (Fig. 1b,c), in accord with the 20-fold increase in affinity (\(K_i\)) of GZ-11 measured using Schild analysis (Fig. 2c,d).
Surprisingly, the relative potencies of the photoactive compounds, GZ-A1 (azide), GZ-B1 (benzophenone) and GZ-D1 (diazirine), were 1.5- to 30-fold higher than that of gabazine, with the exception of the truncated benzophenone, GZ-B2, which was equipotent (Fig. 1b,c). While these potency comparisons are dependent on the GABA concentration used, the affinities of the photoactive gabazine analogues are not as they are determined directly using a Schild analysis for competitive antagonism\textsuperscript{31} (Fig. 2). The antagonist dissociation constants (\(k_{D}\), nM) decreased in the order: GZ-B (318) > Gabazine (300) > GZ-B1 (153) > GZ-D1 (132) > GZ-A1 (44) > GZ-11 (13); Fig. 2d). Such a rank order was unexpected if the molecular volume of the photoactive side-chain was the major limiting factor for ligand binding. Thus, we concluded that these large photoactive groups in the phenoxy position of gabazine are fully accommodated at the GABA binding site. The increased affinity (lower \(k_{D}\)) of the analogues must therefore result from increased interactions between gabazine analogues and binding site residues either via H-bonds, cation–π interactions, or π–π stacking of aromatic rings.
**Photoinactivation of recombinant GABA\textsubscript{A} receptors.** The photoactive capabilities of the azide, benzophenone and diazirine groups on the gabazine molecule to covalently link to the GABA binding site were studied using whole-cell recording from HEK cells expressing z1β2γ2S GABA\textsubscript{A} receptors. The gabazine analogues, GZ-A1, GZ-B1, GZ-B2 and GZ-D1, were selected, in conjunction with a photoactivation protocol involving UV exposure. The intensity and duration of exposure were titrated to ensure photoactivation of the compounds without perturbing cell health, ascertained by measuring the membrane leak current and access resistance. Control whole-cell GABA-activated currents, recorded before and after applying the photoactivation protocol (see Methods) in the presence of Krebs alone were unchanged (101.1 ± 1.8%; mean ± sem; \(n = 7\); Fig. 3a). This verified that under our conditions, UV light exposure did not damage cells or change GABA potency for z1β2γ2 receptors\textsuperscript{32}. Similarly, no reduction in the GABA-induced current was observed after applying the photoactivation protocol with gabazine (10 μM; 101.6 ± 3.3%; \(n = 7\)), indicating that the parent molecule has no innate photoreactivity, and that 3–5 min is sufficient, after UV exposure, for the antagonist to dissociate from the GABA binding site (Fig. 3b).
For the azide-linked gabazine analogue, GZ-A1, the GABA-induced current was reduced irreversibly post-UV by ~30% (to 71.3 ± 6.8%; \(n = 7\); Fig. 3c,g). For the two benzophenone-linked gabazine analogues, the post-UV GABA current was irreversibly reduced by GZ-B1 (to 50.8 ± 1.8%; \(n = 12\); Fig. 3d,g), but not by the truncated version, GZ-B2, lacking one phenyl ring (98.3 ± 4.2%; \(n = 7\); Fig. 3e,g). In comparison, the diazirine-linked analogue, GZ-D1, irreversibly reduced GABA current by ~20% (to 79.0 ± 4.5%; \(n = 7\); Fig. 3f,g). The most efficacious molecule inducing irreversible block at the GABA binding site was therefore the ‘extended’ benzophenone–gabazine analogue, GZ-B1, which was selected for further characterization. The irreversible nature of the inhibition was evident from extended recording periods of at least 30 min post-UV exposure (Fig. 3h). The unchanging extent of inhibition and lack of recovery also re-affirmed that surface GABA\textsubscript{A} receptors in HEK cells are not replaced during this period\textsuperscript{15}. Ablation of the agonist response was routinely achieved with successive cycles of UV exposure in the presence of 10 μM GZ-B1 (Fig. 3i). To ensure that some agonist response remained for the measurement of potencies, we used a single UV exposure cycle in the presence of GZ-B1.
**GZ-B1 has lower potency at z3β3γ2 and z4β3δ GABA\textsubscript{A} receptors.** To determine if GZ-B1 exhibited receptor subtype selectivity, we examined its inhibitory profile for 18 synaptic- and extrasynaptic-type GABA\textsubscript{A} receptors, selected because they are likely to be expressed in the central nervous system\textsuperscript{33,34}. By varying the highly homologous β-subunits (β1–3) in synaptic-type z1β2γ2 receptors, GZ-B1 potency (IC\textsubscript{50}) remained constant (analysis of variance (ANOVA), \(P = 0.26\); Fig. 4a,b). Conducting a similar examination with different γ subunits in z1β3β3γ2 receptors, GZ-B1 potency was significantly reduced at z3β3β3 compared with either z1β3β3γ2 (\(P < 0.001\), ANOVA with Tukey–Kramer post hoc tests) or z6β3β3γ2 (\(P < 0.01\); Fig. 4a,b). For the prospective extrasynaptic-type receptors, GZ-B1 potency significantly varied in the zβ3 and zβ3δ subgroups (ANOVA, \(P < 0.0001\)), being higher at z6β3 compared with z3β3 (\(P < 0.001\)) and z4β3 receptors (\(P < 0.01\); Fig. 4c,d), and also...
higher at γ6β3δ compared with γ4β3δ receptors. Potency was unaffected by including the δ-subunit with z1β2 or z6β3 receptors, but was reduced by its inclusion in z4β3 receptors (P < 0.05). By comparison, potency was unaltered by incorporating either θ or ε subunits into z3β3 receptors (Fig. 4c,d). Comparing the selected synaptic and extrasynaptic GABA_A receptors with z1β3γ2 revealed significantly lower potencies for GZ-B1 at z3β3γ2 and z4β3δ receptors (ANOVA, Dunnett post hoc test, Fig. 4b,d).
**Ligand docking using a GABA_A receptor model based on AChBP.** To understand how GZ-B1 binds within the GABA site, we first performed GOLD docking simulations of GABA, gabazine and GZ-B1 with the z1β2γ2 GABA_A receptor modelled on the 2Å resolution crystal structure of the unliganded acetylcholine binding protein (apo-AChBP, PDB ID: 2BYN). This template was initially selected because loop C, which caps the binding site when occupied by an agonist, is uncapped, but not overtly displaced outwards, as observed when a large competitive antagonist is bound to the same site. For antagonists of comparable size to gabazine and GZ-B1, such as methyllycaconitine, the positioning of loop C in AChBP is unchanged (PDB: 2BYR). The GABA binding site is located at β-γ subunit interfaces surrounded by residues from six binding loops designated as: A, B, and C from the ‘+’ face of the β subunit and D, E and F from the ‘−’ face of the γ subunit. From all the docking results, the most probable binding mode was selected based on its ranking, its similarity to GABA interactions with the GABA_A R as reported in the literature and the frequency of its similarity to the other binding modes in the diverse docking solutions.
Docking GABA, gabazine or GZ-B1 into the GABA site identified several charged residues potentially involved in binding (Fig. 5a,b). Some of these have been previously implicated in GABA binding. By docking GABA, we identified two solutions (ranked 1 and 2) that predict two different binding modes whereby the carboxyl group of GABA formed H-bonds with R119 (z1, rank 1) or E155 (β2) and R207 (β2, rank 2) (Supplementary Fig. 2a). In addition, for the rank 1 solution, H-bonds are also formed with S156 (β2), G158 (β2), Y159 (β2) and Y205 (β2), and for the second ranked solution, H-bonds are formed with Y97 (β2) and a cation–π interaction with Y157 (β2). The interacting residues are spatially spread around the GABA binding site and hence we predict that GABA potentially binds to the receptor in two modes. Such interactions have been previously shown to be involved in GABA binding.
From the gabazine docking, we examined the top 2 ranked solutions (rank 1 and 2). Rank 1 only had one H-bond interaction between the carboxyl group of gabazine and R119 (z1). However for rank 2 the key carboxyl group formed H-bonds with the receptor residues, R207 (β2) and E155 (β2), and the aromatic ring was also engaged in a cation–π interaction with R119 (z1) (Supplementary Fig. 2b). These interactions were also evident with the top 2 solutions for GABA docking elevating rank 2 as a potential binding mode compared with the other docking solutions. In addition, based on the root mean squared deviation (r.m.s.d.) measure, rank 2 was found to be part of a cluster of similar binding modes. The cluster contained 24% (12/50) of the diverse docking solutions, including ranks 3 and 4 (Supplementary Fig. 2c).
For the docking of GZ-B1, we applied a two-stage docking protocol (Methods). A potential binding mode (Fig. 5d) was first identified based on the observation that GZ-B1 was interacting with similar residues (R207 (β2), E155 (β2) and R119 (z1)) to those identified in the GABA docking study. Moreover, we expected GZ-B1 to interact similarly to gabazine, given that GZ-B1 and gabazine share a core structure. Based on the r.m.s.d. measure, the observed binding mode was similar in 28% (14/50) of the diverse docking solutions, including ranks 3 and 5 (Supplementary Fig. 2d). Next, we explored the binding mode of GZ-B1 using constraint docking by positioning GZ-B1 in the binding site enabling residues that could covalently bind to the photoactivated benzophenone group to be identified (Methods). With ‘scaffold-match’ constraints, the activated oxygen of the benzophenone group was consistently predicted to form an H-bond with R84 (z1) in our top 3 ranked solutions (rank 1, Fig. 5e). This ‘region-constraint’ docking method also identified...
interactions with either D162 (β2) and/or D163 (β2) (data not shown).
**Ligand docking using a GABA\textsubscript{A} receptor model based on GluCl.** The predicted binding mode for GZ-B1 obtained from the first stage of docking involved H-bonding with R207 (β2), E155 (β2) and R119 (α1) (Fig. 5f). This binding mode was similar in 32% (16/50) of the diverse docking solutions, including ranks 2, 3 and 4, representing the most populated binding mode (Supplementary Fig. 2e). Intriguingly, the two-stage docking protocol predicted a similar binding mode to that observed using the AChBP template and the scaffold-match constraint. This identified an H-bond between the activated oxygen of the benzophenone group and R84 (α1) (rank 1, Fig. 5g). However, interactions with D162 (β2) and D163 (β2) were not predicted to occur either from two-stage docking or from region-constraint docking.
The docking results predicted that GABA and gabazine are bound completely within the GABA site behind loop C, whereas the benzophenone group of GZ-B1 projects up along the β-α subunit interface and out from under loop C, before re-entering the cavity and terminating near a new cavity between β and α subunits (Fig. 5d,f). This cavity is predicted to penetrate through to the external vestibule located above the loop channel. The intersubunit space around the cavity is considered unimportant for GABA activation of the receptor, as its volume is such that competitive antagonists with additional solvents can be accommodated without impeding binding. Another interesting observation is that among the unconstrained docking results, the aromatic ring of GZ-B1 was always orientated towards the extracellular domain in 68 and 84% of the solutions based on AChBP and GluCl, respectively. This preferred orientation of GZ-B1 within the GABA binding site is also supported by the proposed binding mode (Fig. 5d,f).
**Mutating the binding site for GABA, gabazine and GZ-B1.** To examine the predictions from docking simulations that R119 (α1), E155 (β2) and R207 (β2) bind GABA, gabazine and GZ-B1, we replaced them with similar-sized uncharged glutamines. Substituting R119 (α1R119Q/β2γ) substantially reduced GABA potency (EC\textsubscript{50}: 155 μM), while gabazine (IC\textsubscript{50}: 188 nM) and GZ-B1 (IC\textsubscript{50}: 72 nM) potencies were increased by ~2-fold, compared with wild type (Fig. 6a–d; Supplementary Table 1).
Exchanging R207 (α1β2R207Q/γ2) reduced the potencies for GABA (EC\textsubscript{50}: 452 μM), gabazine (IC\textsubscript{50}: 1.71 μM), and GZ-B1 (IC\textsubscript{50}: 487 nM; Fig. 6a–d; Supplementary Table 1), consistent with its strong role in the binding of GABA and the competitive antagonists. For E155Q (α1β2E155Q/γ2S), a substantial leak current was evident in the absence of GABA (Supplementary Table 1) reflecting spontaneously open receptors (P = 0.7). The small GABA-induced currents (<100 pA) indicated GABA potency was ~400-fold lower (EC\textsubscript{50}: 2.6 mM) than at wild-type receptors (Supplementary Table 1). Spontaneous channel opening\textsuperscript{42} made conventional assessment of antagonist potency difficult as the maximum GABA currents were reduced as expected. Therefore, we examined the inhibition of spontaneous
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**Figure 3 | Irreversible antagonism of GABA currents by photoactive gabazine analogues.** Membrane currents activated by 10 μM GABA (G, black bar) on z1β2γ2 GABA\textsubscript{A} receptors before and after a cycle of 10 brief UV flashes (dots) under control conditions (Krebs, a) and following exposure (grey bar) to 10 μM: gabazine (b), GZ-A1 (c), GZ-B1 (d), GZ-B2 (e) or GZ-D1 (f). A 2-min interval was inserted between the first GABA application and the UV exposure protocol, while 3–5 min separated the UV protocol from the second GABA application. This latter interval was sufficient to ensure complete dissociation of all antagonists that were not covalently bound to the receptor. (g) Bar graph of irreversible inhibition caused by gabazine and photoactivated gabazine analogues of 10 μM GABA currents, normalized to control currents in Krebs (= 100%). *P < 0.01; **P < 0.001 for comparison with gabazine (n = 7–12; t-test). (h) Time course of GZ-B1 irreversible inhibition of responses to 10 μM GABA. UV exposure indicated by the dots. (i) Bar graph showing increased current inhibition with successive cycles of UV exposure (n = 5); inset: typical GABA currents before and after cycles of UV exposure. All data points and bars represent mean values ± s.e.m.
channel activity by gabazine and GZ-B1 (relying on their negative allosteric properties), which revealed very low potencies ($IC_{50s}$: > 100 μM; Supplementary Table 1). Thus, as predicted following previous studies9,43,44,45, these residues are likely to affect the binding of the three ligands with potential effects, exemplified by E155Q, on channel gating.
**Residues outside the GABA binding site interact with GZ-B1.**
The three charged residues, R84 (z1) and D162/D163 (β2), identified as potential binding residues for the benzophenone group of GZ-B1, were replaced by either glutamine (R84Q) or asparagine (D162N, D163N). GABA potency was minimally affected by z1R84Q/β2Y2 (EC$_{50}$:17 μM) and z1β2D162/D163N/Y2 (EC$_{50}$:17 μM; Fig. 6a,b; Supplementary Table 1), as expected, due to their remote location from the GABA binding site. However, z1R84Q and β2D162ND163N significantly reduced the potency of GZ-B1 (Fig. 6c,d; Supplementary Table 1), suggesting potential importance for binding the benzophenone group.
The double mutant, z1R84Qβ2R207Q/Y2, which includes the two key residues proposed to anchor each end of the GZ-B1 molecule in the binding site, reduced GZ-B1 potency by a 1,000-fold (IC$_{50}$: 182 nM), while only halving GABA potency compared with β2R207Q alone (452 μM to 955 μM; Supplementary Table 1).
The impact of the β2E155Q mutation on ligand binding is difficult to interpret as it clearly affects the ability of the ion channel to remain shut in the absence of agonist. To verify that the other mutations are only locally affecting the GABA binding site and not introducing major conformational perturbations into the receptor, we examined allosteric modulation of the GABA$_A$ receptor. Specifically, benzodiazepine-induced modulation was unaffected (Fig. 6e).
**Photoactivated GZ-B1 irreversibly binds to z1-R84.**
The importance of z1-R84, β2-D162 and β2-D163 for irreversible binding following photoactivation of GZ-B1 was investigated using near-saturating concentrations of GZ-B1 before and after UV. We also examined z1-R119 as a likely candidate to engage in irreversible bond formation given its close proximity to the photoactivated oxygen of the benzophenone group in GZ-B1.
The UV photoactivation protocol did not significantly affect GABA potency or macroscopic efficacy at wild-type receptors (z1β2Y2) in Krebs alone (Supplementary Table 2). For the wild-type z1β2Y2 receptor exposed to UV in the presence of GZ-B1, the maximum GABA current was reduced to 62 ± 4.2% of control ($n = 6$) due to irreversible block at the GABA binding site (Fig. 7a,f). The mutants, z1R119Qβ2Y2 and z1β2D162ND163N/Y2, caused only a small or no reduction in the irreversible block of GZ-B1 when compared with the wild-type (67 ± 2.6%; $n = 6$; t-test, $P = 0.05$; and 71 ± 2.6%; $n = 4$; t-test, $P = 0.1491$, respectively; Fig. 7b,c,f). However, z1R84Qβ2Y2 caused a substantive reduction in the level of irreversible block (from 62% to only 84 ± 4.9%; $n = 6$; t-test, $P = 0.0067$) indicating that z1-R84 is an important residue for binding of the photoactivated GZ-B1 molecule (Fig. 7d,f). Finally, we expressed a combined mutant, z1R84I/119Qβ2D162,163N/Y2, which eliminated the GZ-B1 block (97 ± 3.4%; $n = 4$; t-test, $P = 0.0003$; Fig. 7e,f). Thus, while z1-R84 is the most important binding partner for the photoactivated benzophenone group, z1-R119, β2-D162 and β2-D163 residues can, to a limited extent, affect the covalent binding of photoactivated GZ-B1 molecules.
**Photoactivated GZ-B1 irreversibly reduces synaptic inhibition.**
To assess the ability of photoactivated GZ-B1 to reduce synaptic inhibition, we recorded from cultured cerebellar granule cells and monitored whole-cell GABA currents and spontaneous inhibitory postsynaptic currents (sIPSCs; Fig. 8a). Responses to rapidly applied GABA (1 mM) were depressed to a similar degree, after a single UV exposure, to those observed for recombinant z1β2Y2 GABA$_A$ receptors. No recoveries were observed...
over 40–45 min following GZ-B1 photoactivation (Fig. 8b). Monitoring sIPSCs before and after an identical UV cycle in the presence of 10 μM GZ-B1 (Fig. 8c) revealed up to a 90% reduction in synaptic current amplitude, which did not recover during the recording (~45 min; Fig. 8d). This level of inhibition indicates that the synaptic receptors are highly sensitive to inhibition by photoactivated GZ-B1. The lack of recovery (both whole-cell GABA currents and sIPSCs) suggests that membrane insertion of GABAA receptors from intracellular stores must be relatively slow.
**Tracking photolabelled GABAA receptors.** The specific and irreversible binding of GZ-B1 to neuronal GABAA receptors provided a means to label such receptors with fluorophores. We exploited this using a variation of GZ-B1 incorporating a...
Figure 6 | Binding site residues affecting GABA and GZ-B1 potencies. (a) GABA concentration–response curves for wild-type and mutated α1β2γ2 receptors containing: β2*207Q, β2*155Q, α1*119I2Q or β2*204N, D163N. (b) Bar graph of GABA pEC_{50} (left) and EC_{50} (right). The key applies to a,c. (c) Inhibition curves for GZ-B1 (inhibiting the GABA EC_{50}) on wild-type and mutant receptors as in a, except α1β2*155Q/γ2S. The key applies to a,c. (d) Bar graph of GZ-B1 pIC_{50} (left) and IC_{50} (right; n = 5–6). White symbols represent wild-type data; red reflects mutated GABA binding site residues (β2*207Q, β2*155Q); blue/red shows data for R119Q that can affect GABA binding and/or GZ-B1; while blue represents residues involved in binding to the UV-activated oxygen of benzophenone (α1*164Q, β2*204N + D163N). (e) Diazepam (10 μM) potentiation of GABA EC_{50} responses for wild-type and β2*207Q, α1*119I2Q, α1*164Q or β2*204N, D163N, mutant α1β2γ2 receptors (n = 4–8; ANOVA P = 0.84). All data points and bars represent mean values ± s.e.m.
Polyethylene glycol linker attached to biotin (Supplementary Fig. 3a) designed to not interfere with photoactivation of GZ-B1 and its binding to GABA_A receptors. This moiety readily reacts with streptavidin-coated highly fluorescent quantum dots (QD_{655}; Fig. 9a). By subsequently exposing these molecules to UV light, we labelled and then tracked the surface mobility of irreversibly inactivated GABA_A receptors on hippocampal neurons (Supplementary Fig. 3b,c,d; Fig. 9).
GABA_A receptors labelled with GZ-B1 exhibited both confined and mobile trafficking profiles in hippocampal neurons as expected for receptors that are confined at inhibitory synapses and for those that reside in the extrasynaptic domain (Fig. 9c). For comparison with GZ-B1, we also labelled separate GABA_A receptors with QDs on α1 subunits via a primary antibody to an external epitope (Fig. 9b). By tracking receptor mobility labelled with GZ-B1 or anti-α1 antibody, we determined the diffusion coefficients (D; Fig. 9d). The median D value after tracking individual QDs for anti-α1-labelled receptors (0.08; n = 788) (Fig. 9e) was significantly reduced for GZ-B1-biotin-labelled receptors (0.07; Kolmogorov–Smirnov test, P < 0.001; n = 446 QDs). This probably reflects α1 subunit-containing GABA_A receptors predominantly located at synapses, which have lower D values, compared with GZ-B1-biotin-tagged receptors, which will include synaptic as well as the faster moving extrasynaptic GABA_A receptor populations. The mean square displacement plots for GABA_A receptors labelled with GZ-B1 (black) and anti-α1 antibody, revealed no significant difference in the confinement of the receptors. This is likely, as the ensemble of diffusion coefficients will include a mixed population of various synaptic and extrasynaptic receptors.
The utility of the GZ-B1–QD label is also emphasized in studying receptor internalization. Transfected hippocampal neurons expressing enhanced green fluorescent protein were labelled with GZ-B1–biotin–streptavidin–QD_{655} and incubated at 37 °C from 0 up to 60 min before fixation (Supplementary Fig. 4). Under these conditions, we followed the trafficking itineraries of receptors as they internalized into subcellular compartments (Supplementary Fig. 4; Supplementary Movie 1). Overall, the GZ-B1–QD complex forms a very useful label for tracking GABA_A receptor movement.
Discussion
Dynamically regulating the number of GABA_A receptors at inhibitory synapses is a vital component of synaptic plasticity with implications for the long-term control of neuronal excitability, and for dysfunctional inhibitory transmission during neuropathological states. Monitoring the trafficking of synaptic receptors often requires antibodies recognizing an innate epitope, or a modified receptor structure to incorporate an epitope that is either recognized by selective antisera or is an inherent fluorophore. Further modifications can enable the receptor to be coupled to a quantum dot or carry a mutation that is recognized by another ligand. Although useful, such methods cannot be easily adapted to study native receptors. To address this problem, we devised a method that irreversibly inactivates native GABA_A receptors, using a new class of photoactivated GABA_A receptor antagonists. These can be used to investigate inhibition in various membrane domains and by linking the photoactivated antagonists to fluorophores, we can simultaneously investigate both receptor function and receptor trafficking.
Gabazine is an ideal lead compound due to its high affinity for the GABA binding site, its suitability for chemical synthesis, and the ease by which structural modifications can be made. By attaching photoreactive groups to the phenoxyl-end of gabazine, away from the GABA backbone, we found that these analogues...
Figure 7 | Binding site mutations reduce irreversible inhibition by GZ-B1. GABA concentration–response curves before and after photoactivation of either 10 μM GZ-B1 on: (a) α1β2γ2 and (b) α1β2γ119Qγ2; or 100 μM GZ-B1 on: (c) α1β2D162 + 163Nγ2, (d) α1R84Qβ2γ2 and (e) α1R84 + 119Qβ2D162N, D163Nγ2 receptors (n = 4–6). (f) Bar graph of maximum GABA currents after UV protocol in the presence of GZ-B1 for wild-type and mutated receptors. Currents are normalized to the maximum GABA current in Krebs (C = 100%). **P < 0.01; ***P < 0.001 compared with wild-type α1β2γ2 receptors in GZ-B after UV exposure (t-test). All data points and bars represent mean values ± s.e.m.
Figure 8 | Inhibition of sIPSCs in cerebellar granule neurons by photoactivated GZ-B1. (a) Patch-clamped cerebellar granule neuron at TODIV. Scale bar, 20 μm. (b) Time profile for 1 mM GABA-activated currents before and after 10 μM GZ-B1 and UV exposure (red bar). Inset: Examples of 1 mM GABA currents (G) 2 min before (−2 min), and 2 and 30 min after UV/GZ-B1. (c) sIPSCs from a single cerebellar granule neuron 3 min before and 29 min after UV/GZ-B1. Examples of individual sIPSCs are shown at a higher time resolution (right). (d) Time profile for sIPSCs after UV exposure with 10 μM GZ-B1 (red bar). Note the lack of recovery in b,d over 45 min. Inset: Graph showing that sIPSC frequency is also reduced after UV/GZ-B1.
retained or even increased their affinity for the GABA binding site. This feature was also noted by attaching a benzyl group in a similar position\textsuperscript{27}, indicating that these molecules are capable of extensive binding site interactions in the ‘vaulted’ space of the interfacial GABA binding site revealed by our homology models of the GABA\textsubscript{A} receptor. Previous studies of the GABA partial
irreversible manner after only one cycle of UV. Although submaximal, this is more than sufficient for functional and trafficking studies of GABA\textsubscript{A} receptors\textsuperscript{33}. A similar level of inhibition was also reported for the photoactive glutamate receptor inhibitor, ANQX, on AMPA receptors\textsuperscript{34}. However, for experiments that demand complete inhibition of GABA currents, several cycles of UV exposure can achieve this, although synaptic GABA currents can be virtually abolished by very few cycles of UV activation of GZ-B1. The reason why the block becomes more effective with successive UV exposure, most likely relates to the photochemical properties of the benzophenone group, which, unlike the azide and diazirine groups, does not lose N\textsubscript{2} upon photoexcitation and thus can readily revert back to its ground state. This feature is advantageous since it allows the benzophenone group to have repeated attempts at covalent binding during successive periods of photoactivation.
The GABA concentration–response curves with GZ-B1 after photoactivation revealed a non-competitive depression compared with the competitive inhibition noted with reversible binding of GZ-B1 in the absence of UV. This is the expected behaviour of an irreversible antagonist at the agonist binding site, whereupon the GABA EC\textsubscript{50} remains largely unaffected.
Once Cys-loop receptor agonists, such as GABA, are accommodated at their binding site, loop C is proposed to close, capping the binding site\textsuperscript{36,37,55}, whereas no movement of loop C is observed with larger ligands of comparable size to gabazine and GZ-B1 (ref. 36). For the GZ-B1 molecule, computational docking analysis revealed that the benzophenone group extends along the \(\beta\)-\(\gamma\) subunit interface to a region outside the recognized GABA binding site. Interestingly, aligning the primary sequences of \(\alpha\) and \(\beta\) subunits along this part of the interface identified a lack of homogeneity for the \(\alpha\)-subunits (Supplementary Fig. 5), which could underlie the slightly different potencies of GZ-B1 at some GABA\textsubscript{A} receptors. However, the activity of GZ-B1 at both synaptic- and extrasynaptic-type GABA\textsubscript{A} receptors suggests it can be considered as a broad spectrum photoactive antagonist.
The accuracy of our computational docking models for GABA, gabazine and GZ-B1 was affirmed by identifying \(\alpha1\)-R119, \(\beta2\)-E155 and \(\beta2\)-R207 as key interacting residues in the GABA site, which have been previously reported\textsuperscript{49,40,42–47}. This enabled the positioning of GZ-B1 within the binding site, and by further docking studies, the identification of new residues, \(\alpha1\)-R84, \(\beta2\)-D162, \(\beta2\)-D163, and potentially \(\alpha1\)-R119, as interactors with the benzophenone group.
While mutating these residues did not affect GABA binding, they were important for the reversible binding of GZ-B1, since a combined mutation, \(\alpha1\)-R84Q and \(\beta2\)-R207Q caused a \(>1,000\)-fold loss of potency. We identified \(\alpha1\)-R84 as the most important binding partner for the UV-activated GZ-B1 molecule, over \(\beta2\)-D162, \(\beta2\)-D163 and \(\alpha1\)-R119. This suggests that GZ-B1 is optimally irreversibly bound in just one conformation at the binding site, with suboptimal binding conformations occasionally adopted. However, we should emphasize that docking solutions represent energy-minimized snapshots of the most prevalent three-dimensional (3D) orientations of the bound ligand. Nevertheless, the bound ligand, as well as the amino-acid side-chains at the binding site, will be constantly undergoing Brownian motion-like movement during covalent binding of GZ-B1. Thus, while the photoactivated benzophenone may, most commonly, associate with \(\alpha1\)-R84, it could, at different times, associate with \(\alpha1\)-R119, \(\beta2\)-D162 or \(\beta2\)-D163. These residues may play key roles in the energy-minimized positioning of GZ-B1 at the binding site, that is, by controlling the efficiency of the covalent attachment.
Applying GZ-B1 to cerebellar granule cells indicated that synaptic GABA\textsubscript{A} receptors are very susceptible to inhibition and that this inhibition was irreversible over the time course of our
**Figure 9 | Mobility of QD-labelled GABA\textsubscript{A} receptors on hippocampal neurons.**
(a,b) Schematics and trajectories for individual QDs photo-linked to GABA\textsubscript{A} receptors via GZ-B1-biotin (a) and for GABA\textsubscript{A} \(\alpha1\) subunits tagged with QDs via a primary antibody against \(\alpha1\) and a secondary antibody containing biotin and QD\textsubscript{655}-streptavidin (b). (c) Examples of trajectories from a of mobile (M) and confined (C) QDs/receptors. Confined QDs/receptors are most likely anchored at inhibitory synapses, whereas the more mobile QDs/receptors are thought to reside in the extrasynaptic domains. Trajectories were analysed using the ImageJ plug-in, SpotTracker 2D/3D and MatLab, Scale bars, 1\(\mu\)m. (d) Diffusion coefficients of GABA\textsubscript{A} receptors labelled with GZ-B1-biotin or with antibodies against \(\alpha1\) subunits. (e) Distribution of diffusion coefficients shown as a box-and-whisker plot (median, 25–75% interquartile range, whisker = 5–95%) for GABA\textsubscript{A} receptors tagged with GZ-B1 (\(n = 446\)) or with anti-\(\alpha1\) antibodies (\(n = 788; ***P < 0.001\), Kolmogorov–Smirnov test). (f) Mean square displacement (MSD) versus time plot of GABA\textsubscript{A} receptors labelled with GZ-B1 and anti-\(\alpha1\) antibody. There was no significant difference in the confinement of the receptors. All data points and bars represent mean values ± s.e.m.
recordings (usually > 40 min). The level of inhibition was higher than that for whole-cell GABA currents. However, this does not involve changes to the affinity of the antagonist for the GABA\textsubscript{A} receptors. By simulating synaptic and whole-cell GABA currents, the brief GABA concentration transient (~1 ms) and synaptic receptor occupancy expected at inhibitory synapses resulted in a higher level of block compared with that for longer whole-cell applications (~4 s) and correspondingly longer duration receptor occupancies.
In conclusion, by generating a new photoactivated gabazine analogue, GZ-B1, we can use UV photoactivation to irreversibly inactivate native GABA\textsubscript{A} receptors both within and outside inhibitory synapses in addition to studying their trafficking without the need to having to use expression-tagged recombinant receptors or antibody-based labelling procedures. By determining where the photoactivated molecule is likely to bind, we have also mapped residues in a new region of the interface between \beta and \alpha subunits just above the GABA binding site.
**Methods**
**cDNA constructs.** Murine z1 and \beta2 subunits and all point mutants were cloned into the plasmid pRK5, and verified by full-insert sequencing.
**Cell culture and expression of recombinant GABA\textsubscript{A} receptors.** HEK cells (A17C, LS) were maintained in Dulbecco’s Modified Eagle’s Medium supplemented with 10% v/v fetal calf serum, 200 mM L-glutamine and 180 U/l penicillin/Streptomycin at 37 °C (95% air/5% CO\textsubscript{2}). Cells were plated onto poly-L-lysine coverslips and transfected with cDNAs encoding enhanced green fluorescent protein and murine z1-6, \beta1-3, \beta2S, \delta, \epsilon and/or \theta GABA\textsubscript{A} receptor subunits using the calcium phosphate method. Cells were used for electrophysiology experiments after 16–48 h (ref. 34).
Dissociated neuronal cultures were prepared from (E18-P4) Sprague–Dawley rats in accordance with UK Home Office regulations. Tissue blocks were incubated in trypsin for 10 min (0.1% w/v), washed in HBSS and then transferred in DNase (0.05% w/v) and 125 mM MgSO\textsubscript{4}. Cells were plated on poly-D-lysine-coated glass coverslips and neuroblasts were maintained in Basal Medium Eagle’s medium supplemented with 0.5% (w/v) glucose, 5 mg l\textsuperscript{-1} insulin, 5 mg l\textsuperscript{-1} transferrin, 5 mg l\textsuperscript{-1} selenium, 20 \mu M l-penicillin G and 20 mg ml\textsuperscript{-1} streptomycin, 0.2 mM glutamine, 1.2 mM NaCl and 5% (v/v) fetal calf serum. Hippocampal neurons were maintained in Neurobasal A supplemented with 1% v/v B-27, 50 \mu M l-penicillin-G and 50 \mu g ml\textsuperscript{-1} streptomycin, 0.5% w/v Glutamax, and 35 mM glucose before transfection using a calcium phosphate-based method.
**Chemistry of gabazine analogues.** To synthesize the photoactive analogues, we developed a highly concise general strategy (Supplementary Fig. 1a). Suzuki–Miyaura coupling of 4-hydroxybenzoylbenzoic acid (referred to as ‘T’ in Supplementary Fig. 1a) to 3-amino-6-chloropyridazinone afforded a biaryl building block (2) which could then be modified at the 3-position with a Brønsted acid to attach the photoactivatable groups. Finally, N-alkylation and mild deprotection of the allyl group allowed the products (3; either GZ-A1, -B1 or -D1) in just 4 steps and with good overall yields. The only exception to this strategy involved the synthesis of the truncated analogue GZ-B2, in which the benzoic acid of the benzophenone was used directly, resulting in just a 3-step synthesis (Supplementary Fig. 1b; Supplementary Table 3, Supplementary Information—Chemistry).
**Electrophysiology and UV photoactivation.** Whole-cell currents and sIPSCs were recorded from cells voltage clamped at ~60 mV using an Axopatch 200B amplifier (Molecular Devices). Currents were filtered at 5 kHz (~3dB, 8 pole Bessel, 48 dB per octave) and digitized at 50 kHz via a Digidata 1320A (Molecular Devices) and recorded direct to computer. Patch pipettes with a resistance of either 3–5 M\(\Omega\) (HEK cells) or 9–9.5 M\(\Omega\) (neuroblast cells) were filled with an intracellular solution containing (mM): 140 CsCl, 2 NaCl, 2 MgCl\textsubscript{2}, 10 EGTA, 10 HEPES, 0.5 GCl\textsubscript{2}, 2 Na\textsubscript{2}ATP, 0.5 Na-GTP and 2 QX-314: pH 7.4 (adjusted with 1.5 mM caesium hydroxide). Cells were continuously perfused with Krebs solution containing (mM): 140 NaCl, 4.7 KCl, 2.5 MgCl\textsubscript{2}, 1.1 Glucose and 5 HEPES, pH 7.4 (adjusted with 10 mM KOH). The extracellular solution contained in Krebs solution contained KCNQ (10 \(\mu\)M) and APS (20 \(\mu\)M) to inhibit excitatory synaptic currents dependent on glutamate receptors. Drugs were applied to cells using a U-tube application system\(^{35}\).
Photoactivation was performed using a Rapp OptoElectronic IPL C2, with a band-pass filter of 240 nm and an optic fibre located in the bath 1–2 mm from the recording cell. A single cycle of an optimized photoactivation protocol consisted of 10 flashes (2 s interval), capacitance setting (C2) at 150 V. After UV exposure in the presence of the antagonist, the cell was left to rest for 3–5 min while washing with recording solution, to ensure that only covalently bound antagonist would remain in the binding site.
**Analysis of whole-cell current data.** GABA concentration–response relationships were analysed by normalizing GABA currents to the response induced by a maximal, saturating GABA concentration (\(I_{\text{max}}\)) and subsequently fitting with the Hill equation:
\[
\frac{I}{I_{\text{max}}} = \left[ \frac{(1 + (EC_{50}/[A])^n)}{1 + (EC_{50}/[A])^n} \right]
\]
where \(EC_{50}\) represents the concentration of the agonist ([A]) inducing 50% of the maximal current evoked by a saturating concentration of the agonist and \(n\) represents the Hill coefficient.
Antagonists were evaluated for their potency by constructing inhibition–concentration relationship curves and fitting the data using:
\[
\frac{I}{I_{\text{max}}} = 1 - \left[ \frac{1}{1 + (IC_{50}/[B])^n} \right]
\]
where the \(IC_{50}\) is the antagonist concentration ([B]) causing half-maximal inhibition of the GABA (\(EC_{50}\))-induced response. When complete inhibition was not attained, the above equation was modified to:
\[
\frac{I}{I_{\text{max}}} = I_{\text{res}} + (I_{\text{max}} - I_{\text{res}})(1 - \left[ \frac{1}{1 + (IC_{50}/[B])^n} \right])
\]
where \(I_{\text{res}}\) represents the residual GABA current remaining with a saturating concentration of antagonist, and \(I_{\text{max}}\) represents the control peak GABA-activated currents.
The IC\(_{50}\) values obtained from individual experiments were converted to pIC\(_{50}\) values (= − Log [IC\(_{50}\)]. Mean pIC\(_{50}\) values ± s.e.m. of at least four experiments were subject to statistical analyses (ANOVA and Student’s t-test). Potency histograms show two bars for mean pIC\(_{50}\) values ± s.e.m., and the IC\(_{50}\) transform (non-linear) bars refer only to the rightmost bar.
The competitive antagonism caused by gabazine and its analogues was analysed according to the Schild method\(^{31}\). Full GABA concentration–response curves were obtained in control Krebs in each HEK cell and then one or more curves were established in up to four concentrations of gabazine or one of its analogues. The curves were tested for linearity and the dose ratios for GABA were calculated from the respective GABA EC\(_{50}\)s. The mean dose ratios for each antagonist concentration (\(B\)) allowed the dissociation constant (\(k_D\)) to be determined using the transformed Schild equation:
\[
\log(DR - 1) = \log B - \log k_D
\]
The slope of the Schild plot (log (DR – 1) versus log [B]) was tested to ensure its slope did not deviate significantly from unity. The slopes were then constrained to 1 and the intercept on the abscissa (dose ratio=1) was used to ascertain the pA\(_{2}\) (= − log \(k_D\)).
The level of spontaneous activity observed with mutant GABA\textsubscript{A} receptors containing the GZ-B1 mutation was determined as, the maximal inhibition of channel activity observed in the presence of 1 nM picrotoxin (\(I_{\text{max}}\)), divided by the total range of channel activity (\(I_{\text{Picro-toxin}} + I_{\text{GABA}}\)) (ref. 57).
**Homology modelling and computational docking.** Murine z1, \beta2, \gamma2 subunits were aligned to the subunit sequence of AChBP and GluCl using the T-COFFEE server\(^{38}\) with default settings. Homology models of the three-dimensional (3D) homology models of the z1 and \beta2 GABA\textsubscript{A} receptors were built with MODELLER\(^{39}\) using the crystal structures of AChBP (PDB ID: 3BNY) at 0.2 Å resolution and GluCl (PDB ID: 3HRW) at 2.36 Å resolution. The GABA\textsubscript{A} receptor z1 subunit exhibits 22% and 31% sequence identity with those of AChBP and GluCl, respectively. In comparison with AChBP and GluCl, the GABA\textsubscript{A} receptor \beta2 subunit shares 22% and 40% sequence identity.
Initially our docking studies were performed on the GABA\textsubscript{A} receptor homology model derived from AChBP. First, GABA, gabazine and GZ-B1 were docked into the GABA binding site of the homology model. The binding site cavity was defined such that all the carbon residues were within a sphere of 10 Å radius from the z1-619 (α1), z1-617 (β2) were included. Heterodock version 1.4.1 (ref. 40) in GOLD version 5.0 (ref. 33) was used to initiate docking. The genetic algorithm settings in GOLD were automatically optimized with maximum search efficiency. During the first stage, all the ligands were docked into the binding site and were kept fully flexible during docking. The residues within the binding cavity were selected and the ligands were allowed full flexibility during docking. Fed (z1), F61 (z1), F611 (z1), Y97 (β2), F98 (β2), E155 (β2), Y159 (β2), E159 (β2), F220 (β2), Y265 (β2) and R207 (β2). For each of the ligands, 50 diverse docking solutions were generated using the GoldScore scoring function with default parameters. From our homology models, we identified a new cavity at the β-γ subunit interface (located higher up than the GABA binding site), which could possibly accommodate large ligands. To further explore the GABA binding site, which could possibly accommodate large ligands, we performed a second stage of docking only for the GZ-B1 case, using GOLD with the ‘scaffold-match constraint’ (starting from the selected binding mode obtained from the first stage of docking without any constraints). The scaffold-match constraint was used to maintain a fragment at an exact specified position in the binding site with the geometry of this fragment remaining unaltered during docking. All the atoms in GZ-B1 molecule, except the benzophenone group, were retained as a scaffold.
To investigate the new binding cavity, we performed further docking using a separate ‘region constraint’. This was used to bias the docking solutions towards a particular region of the binding site, constraining specific ligand atoms in this region. For this constraint, the centroid of the residues defining the orifice of the new cavity (R84 (x1), L85 (x1), N87 (x1), F31 (J2) D162 (J2) and Y159 (J2)) was calculated with Chimera and the ‘region constraint’ region was defined with a sphere of 5 Å radius centred at this centroid. All the benzohosphene atoms of GZ-B1 were constrained to occupy the new binding site region. The receptor residues in and around the new cavity (R84 (x1), L85 (x1), N87 (x1), R119 (x1), F31 (J2), Y159 (J2), T160 (J2) D162 (J2), D163 (J2) and Y205 (J2)) were allowed full flexibility during the docking.
All the docking studies on GZ-B1 described above (two-stage docking and region-constraint docking) were also applied to the GABA\textsubscript{A} receptor homology model derived from GluCl. For the two-stage docking, we included an ‘H-bond constraint’ in addition to a scaffold-match constraint. The new constraint was added to enforce H-bond interaction between the acceptor oxygen atom of the benzohosphene in GZ-B1 and the donor nitrogen atoms of side-chain of R44 found in the newly identified cavity.
For analysing the results, all the H-bond interactions were identified using GOLD. We then analysed cation–π interactions which are considered to be important for drug-receptor binding and are energetically comparable to H-bond interactions\textsuperscript{41}. If the distance between the cation and the centroid of the π system is within 6 Å, and the angle between the line joining the cation, and that the centroid and the normal to the aromatic plane at the centroid is between 0 and 90°, we accepted this as a cation–π interaction\textsuperscript{41}. The r.m.s.d. was used as a measure to compare different binding modes. For r.m.s.d. calculation, we only used the scaffold atoms of gabazine and GZ-B1 (those forming the rings and connecting them). Two binding modes with r.m.s.d. less than or equal to 2.5 Å were considered to be similar.
**Tracking GABA receptor mobility.** The mobilities of GABA\textsubscript{A} receptors in cultured hippocampal neurons were tracked using QD555-photo linked to GABA\textsubscript{A} receptors via GZ-B1-histin (see legend to Supplementary Fig. 4). Cells were treated with 0.5 mM GZ-B1–histin (previously incubated for 3 min with 25 pM QD555–streptavidin; Life Technologies) and either not exposed (control) or UV exposed (40 J) followed by washing of cells in PBS solution.
Motility was analysed by using GABAA subunits co-expressed with QDs via a primary antibody against z1 (gift from Jean-Marc Fritschy, Zurich; incubation in 1 µg ml\textsuperscript{-1} for 2 min) and a secondary antibody containing biotin (Millipore; incubation in 5 µg ml\textsuperscript{-1} for 2 min) and QD555–streptavidin (25 pM; 1 min incubation). Trajectories were analysed using the ImageJ plug-in, SpotTracker 2D/3D and MatLab.
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**Acknowledgements**
This study was funded by MRC-UK (T.G.S.) and Leverhulme Trust (J.R.B./M.T./T.G.S.), RCUK and BBSRC (J.R.B., M.T.), EPSRC (F.I.), and MRC Centenary Award (M.T.)
**Author contributions**
J.R.B., F.I., R.H., M.M. and T.G.S. designed the gabazine analogues and F.I. and R.H. undertook their synthesis. M.M. made receptor mutations and performed all electrophysiology and photolysis experiments on recombinant receptors. A.P.P. and M.T. designed, performed and analysed the modelling work. S.H., M.M. and R.H. performed the quantum dot experiments and S.H. analysed the data. M.M. and T.G.S. designed the project, the experiments and analysed data, interpreting the results and wrote the paper. All authors contributed to the writing of the paper.
**Additional information**
Supplementary Information accompanies this paper at http://www.nature.com/naturecommunications
Competing financial interests: The authors declare no competing financial interests.
Reprints and permission information is available online at http://npg.nature.com/reprintsandpermissions/
How to cite this article: Mortensen, M. *et al.* Photo-antagonism of the GABA\textsubscript{A} receptor. *Nat. Commun.* 5:454 doi: 10.1038/ncomms5454 (2014).
This work is licensed under a Creative Commons Attribution 4.0 International License. The images or other third party material in this article are included in the article’s Creative Commons license, unless indicated otherwise in the credit line; if the material is not included under the Creative Commons license, users will need to obtain permission from the license holder to reproduce the material. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/
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ABSTRACT
Systems and methods presented herein provide for real time communications between service provider subscribers. In one embodiment, a web server is operable to provide a network-to-network interface (NNI) with a plurality of service providers, to communicate with the service providers through WebRTC links, and to retrieve contact information of subscribers to the service providers over the WebRTC links. The web server also includes a database operable to store the contact information of the subscribers. The web server is also operable to process a connection request from a first of the subscribers to connect with a second of the subscribers, to retrieve the second subscriber's contact information from the database, to push a notification message to a device of the second subscriber using the second subscriber's contact information (e.g., a user identity), and to establish a WebRTC connection between first and second subscribers when the second subscriber accepts the connection.
20 Claims, 8 Drawing Sheets
Registry Database 102
NNI 101
SP 110
UE 111
SP 120
UE 121
WRTC Connection
FIG. 1
Process A Connection Request From A Subscriber Of An SP To Connect With A UE
Retrieve Contact Information Of The UE From A Database
Push A Notification Message To The UE Using The Contact Information
Connection Accepted?
Yes
Push An Acceptance To The UE Via A WebRTC Application
Connect The UE To The Subscriber Via A WebRTC Application To Establish Web Real Time Communication Between The Subscriber And The UE
No
Push A Connection Declined Message To Web Browser Of The Subscriber
Breakdown WebRTC Link
(1) Connection request
(2) Request Notify GW for sp-120.com
(3) notify.sp-120.com
(4) Notify (To: firstname.lastname@example.org, App-URL: shareApp-303.sp-110?token=1)
(5) Notify (To: email@example.com, App-URL: shareApp-303.sp-110?token=1)
(6) Get http://shareApp-303.sp-110?token=1
(1) Connection request
(2) Request Routing ID: firstname.lastname@example.org Service: Notify
(3) Routing ID: email@example.com
(4) Notify To: firstname.lastname@example.org, App-URL: shareApp-303.sp-110(token-1)
(5) Notify (To: email@example.com, App-URL: shareApp-303.sp-110(token-1))
(6) Get http://shareApp-303.sp-110(token-1)
(1) Connection request
(2) User-ID: firstname.lastname@example.org, Service: Share
(3) Routing ID: email@example.com
(4) Notify (To: firstname.lastname@example.org, App-URL: shareApp-303.sp-110[token-1])
(5) Notify (To: email@example.com, App-URL: shareApp-303.sp-110[token-1])
(6) Get http://shareApp-303.sp-110[token-1]
(1) Connection request
(2) User-ID: Amazon Service: VideoChat
(3) Routing ID: firstname.lastname@example.org
(4) Notify {To: email@example.com, App-URL: VideoChatApp-310.sp-110/token-1}
(5) Redirect To: firstname.lastname@example.org, App-URL: VideoChat322.sp-320/token-2}
(6) Notify {App-URL: VideoChat322.sp-320/token-2}
(7) Redirect (App-URL: VideoChat322.sp-320/token-2)
Contacts:
email@example.com
firstname.lastname@example.org
email@example.com
FIG. 8
NETWORK TO NETWORK INTERFACE BETWEEN SERVICE PROVIDERS FOR WEB REAL TIME COMMUNICATION
CROSS REFERENCE TO RELATED APPLICATIONS
This patent application claims priority to, and thus the benefit of an earlier filing date from, U.S. Provisional Patent Application No. 62/161,317 (filed May 14, 2015), the entire contents of which are hereby incorporated by reference.
BACKGROUND
Modern telecom provides global reach allowing any user to call any other user in the global network. The systems providing this global communications are built on a “half-call” model where the role of providing services during a call is shared between the originating and terminating networks. This scales well in terms of identity in that each user has a single identity that belongs to a single service provider. However, applying the half-call model globally comes at a cost. For example, the half-call model typically employs complex routing and interworking procedures to enable different service providers to find each other and deliver voice/video services across their boundaries.
Web Real-Time Communication (WebRTC) is designed around a “full-call” model, where a single WebRTC application delivers its service to both the calling and the called users. Since there is a single service-delivery entity, there is no need to deploy an inter service provider routing infrastructure. However, for service providers desiring global reach, this model does not scale well in terms of identity because each WebRTC service provider would need to assign and manage identities for all users in the global network. Alternatively or additionally, each user would generally be required to handle many identities, one for each WebRTC service provider.
SUMMARY
Systems and methods presented herein provide for real time communications between service provider (e.g., Internet service providers, or “ISPs”) subscribers. In one embodiment, a WebRTC system includes a web server operable to provide a network-to-network interface (NNI) with a plurality of service providers, to communicate with the service providers through WebRTC links, and to retrieve contact information of subscribers to the service providers over the WebRTC links. The system also includes a database operable to store the contact information of the subscribers. The web server is also operable to process a connection request from a first of the subscribers to connect with a second of the subscribers, to retrieve the second subscriber’s contact information (e.g., a user identity) from the database, to push a notification message to a device of the second subscriber using the second subscriber’s contact information, and to establish a WebRTC connection between first and second subscribers when the second subscriber accepts the connection.
The various embodiments disclosed herein may be implemented in a variety of ways as a matter of design choice. For example, some embodiments herein are implemented in hardware whereas other embodiments may include processes that are operable to implement and/or operate the hardware. Other exemplary embodiments, including software and firmware, are described below.
BRIEF DESCRIPTION OF THE FIGURES
Some embodiments of the present invention are now described, by way of example only, and with reference to the accompanying drawings. The same reference number represents the same element or the same type of element on all drawings.
FIG. 1 is a block diagram of an exemplary of a WebRTC communication system.
FIG. 2 is a flowchart illustrating an exemplary process operable with the WebRTC communication system of FIG. 1.
FIGS. 3-6 illustrate exemplary use cases of the WebRTC communication system.
FIG. 7 is an exemplary web browser employing WebRTC communications.
FIG. 8 is a block diagram of an exemplary computing system in which a computer readable medium provides instructions for performing methods herein.
DETAILED DESCRIPTION OF THE FIGURES
The figures and the following description illustrate specific exemplary embodiments of the invention. It will thus be appreciated that those skilled in the art will be able to devise various arrangements that, although not explicitly described or shown herein, embody the principles of the invention and are included within the scope of the invention. Furthermore, any examples described herein are intended to aid in understanding the principles of the invention and are to be construed as being without limitation to such specifically recited examples and conditions. As a result, the invention is not limited to the specific embodiments or examples described below.
FIG. 1 is a block diagram of an exemplary of a WebRTC communication system 100. In this embodiment, the WebRTC communication system 100 includes a registry database 102 that is operable to store and maintain contact information, including phone numbers, email addresses, physical addresses, usernames, and the like of subscribers (a.k.a. “users”) to the service providers 110 and 120. An NNI 101 provides a network-to-network interface between the service providers 110 and 120 that allows a user of the UE 111 to contact its service provider 110, and to retrieve contact information of a user of the UE 121 from the registry database 102 such that the UE 111 can communicate with the UE 121 via WebRTC communications between the service providers 110 and 120 via voice, video (e.g., video conferencing), text, email, etc.
In some embodiments, user/subscriber contact information is identified by a “user identity”. The user identity operates as a handle that uniquely identifies the person, but does not provide any information on the user’s location (e.g., “attachment point”), name, telephone number, email address, etc. in the global network. As such, when an WebRTC session is established with another user, the session identifies that user with his/her user identity, for example, by selecting an entry from a contact list (see e.g., FIG. 7).
Since the user’s identity does not contain information on where the user is located in the network, the NNI 101 may obtain routing information to the target user via the user identity as a key. The user identity generally contains enough information to identify a target user including a fully
qualified domain name (FQDN) that can be resolved via a domain name service (DNS) to the ingress point in the network of a service provider that controls the target user identity. An example of such may be expressed as follows firstname.lastname@example.org. Other examples are shown and described below.
The NNI 101 also allows the subscriber of the service provider 110 to contact another subscriber of the service provider 110. Although for the purposes of the exemplary embodiments shown and described herein, discussion of the aspects and features hereof are directed to two different service providers so as to provide the reader with the concept of global communications through different service providers.
The NNI 101 is any system, device, software, or combination thereof operable to establish WebRTC communications between the UEs 111 and 121 through their respective service providers 110 and 120. In one embodiment, the NNI 101 is a web server (e.g., an Internet server) remotely located from the service providers 110 and 120 that allows the service providers 110 and 120 to establish a WebRTC connection between the UEs 111 and 121 through, for example, their web browsers.
In one embodiment, once the UE 121 has accepted an invitation to join a WebRTC session, a WebRTC application is downloaded into the browser of the UE 111 and/or the UE 121. Thus, the two instances of the WebRTC application running in the two browsers can communicate with each other over a preconfigured signaling mechanism to establish the real-time communications between the two UEs 111 and 121. Alternatively or additionally, the WebRTC application may reside on one or more of the service providers 110/120 and the NNI 101. Examples of such applications are shown and described below in FIGS. 3-6.
Alternatively or additionally, a browser of the UE 111 may obtain the WebRTC application in the form of a JavaScript executable received in a 200OK response to an “HTTP Get” message. Thus, the browser would receive the WebRTC application when the subscriber first logs into the NNI 101.
The registry database 102 is any system, device, software, or combination thereof operable to store the contact information of the subscribers to the service providers 110 and 120. The registry database 102 may be implemented with the NNI 101 or as a separate system. Examples of the UEs 111 and 121 include smart phones, computers, tablet computers, cable television set-top boxes, smart televisions, and the like.
FIG. 2 is a flowchart illustrating an exemplary process 200 operable with the WebRTC communication system 100 of FIG. 1. In this exemplary embodiment, the two service providers 110 and 120 provide Internet communications to their respective subscribers via the UEs 111 and 121, respectively. Again, the illustration of the two service providers 110 and 120 and the UEs 111 and 121 are used to aid the reader in understanding the features and aspects hereof.
The process 200 initiates when a subscriber via the UE 111 transmits a connection request to the NNI 101 to connect with a subscriber using the UE 121. In this regard, the NNI 101 processes the connection request from the UE 111 through the service provider 110, in the process element 201. Upon processing the connection request, the NNI 101 retrieves contact information of the UE 121 from the registry database 102, in the process element 202. With this information in hand, the NNI 101 then pushes a notification message to the UE 121 using the subscriber’s contact information, in the process element 203. For example, the NNI 101 may transfer the notification message to the service provider 120 over a WebRTC communication link (e.g., via the Internet). The service provider 120, in turn, routes the notification message to the UE 121 over another WebRTC communication link giving the user of the UE 121 the opportunity to communicate with the user of the UE 111. In this regard, the notification message may include a Universal Resource Locator (URL) that the user of the UE 121 can link to.
The NNI 101 then determines whether the user of the UE 121 has accepted the connection, in the process element 204. For example, when the user of the UE 121 accepts the connection, the UE 121 transfers a connection acceptance message to the service provider 120, which may then be forwarded to the NNI 101. If the connection has not been accepted by the user of the UE 121 (e.g., because the user does not wish to communicate and/or is simply unavailable to communicate), then the NNI 101 pushes a connection declined message to the UE 111, in the process element 205. For example, the NNI may transfer the connection declined message over a WebRTC link with the service provider 110, which in turn, transfers the connection declined message to the UE 111. This informs the user of the UE 111 that the connection will not take place. Thereafter, the NNI 101 breaks down the WebRTC link with the service provider 120, in the process element 206.
If the connection is accepted, then the NNI 101 pushes an acceptance to the UE 120 via a WebRTC application, in the process element 207. The NNI 101 may also operate a WebRTC application on the web browser of the UE 110. From there, the NNI 101 connects the UEs 111 and 121 across the Internet to establish real-time communications between the UEs 111 and 121, in the process element 208 (e.g., via one or more WebRTC applications). Once the communication is no longer necessary, the NNI 101 may break down the WebRTC communication link between the UEs 111 and 121 as well as any WebRTC applications running thereon.
It is also possible that the NNI 101 retrieves the routing information required by the service provider 110 and delivers that routing information such that the service provider 110 can contact the service provider 120 and establish WebRTC communications between the service providers 110 and 120, and thus the UEs 111 and 121. In this regard, the service provider 110 may implement a WebRTC application that communicates with the UEs 111 and 121 directly. Alternatively or additionally, the WebRTC application of the service provider 110 may simply contact a push notification service of the service provider 120 to contact the UE 121. Examples of such are shown and described in the following use cases of FIGS. 3-6.
The NNI 101 may also implement security measures that prevent users from being “spammed”. For example, assume that the user of the UE 111 is an unwanted call initiator. The NNI 101 may receive a connection request message from UE 111 through the service provider 110 attempting to initiate a call with the UE 121. The NNI 101 may contact the registry database 102 to determine that the UE 121 possesses no contact information relating to the user of the UE 111. Accordingly, when the user of the UE 111 attempts to contact the UE 121, the NNI 101 may deny the connection request. Alternatively or additionally, the NNI 101 may contact the UE 121 to ascertain whether the user of the UE 121 knows of the user of the UE 111, thereby giving the user of the UE 121 the ability to deny the connection request based on credentials of the UE 111.
Although shown and described with respect to two service providers 110 and 120 and two UEs 111 and 121, the invention is not intended to be limited as such. Rather, the NNI 101 may be operable to interface with a plurality of different service providers. And, each of the service providers may provide communication services to a plurality of UEs (e.g., thousands and possibly even millions). Examples of the service providers 110 and 120 include Internet service providers, such as Comcast (United States), Charter Communications (United States), Bright House Networks (United States), Jupiter Telecommunications Company (Japan), Kabel Deutschland Vertrieb and Services GmbH (Germany), etc.
As each of these service providers may employ different operations, the NNI 101 is operable to adapt (e.g., translate) to each of the service providers 110 and 120 so as to provide a WebRTC connection between the UEs 111 and 121. For example, in a half-call model, deploying a new WebRTC service across the global network generally requires each service provider to update their NNI to support the standard interworking procedures for that service and/or add translation rules that enable the standard NNI to interwork with their own internal structures. Either way, the half-call model does not scale well. The advantages of the embodiments described herein allow all service providers to support a thin/simple NNI notification protocol (e.g., as described below in FIGS. 3-6) such that new WebRTC services can be deployed globally with no further impact to the NNI. The roll out of new services in a federated network scales at the same high level that can be achieved by non-federated Over The Top (OTT) providers.
FIG. 3 is a block diagram of a use case in which the service provider 110 comprises a web server 302 that is operable to implement a WebRTC application 303. The UE 111 sends a connection request to the WebRTC application 303 to establish WebRTC communications with the UE 121. In this embodiment, the user of the UE 111 already possesses the contact information of the user of the UE 121. The WebRTC application 303 then contacts the NNI registry 101/102 (a combined NNI 101 and registry database 102) to request a notification gateway for the service provider 120. The NNI registry 101/102 transfers a notification message (notify.sp-120.com) to the WebRTC application 303 to alert the WebRTC application 303 of the contact information of the service provider 120. Such may be implemented as a fully qualified domain name (FQDN) that essentially resolves the DNS to a notification application 304 of the service provider 120.
The WebRTC application 303 then notifies the service provider 120 that the UE 111 wishes to communicate with the subscriber of the service provider 120. This is implemented as a notification message from the WebRTC application 303 that includes the contact information of the subscriber as follows: Notify (To: email@example.com, App-URL: shareApp-303.sp-110/token-1). This notification message includes the URL that points to the WebRTC application 303 and presents the notification application 304 with a token of the WebRTC application 303. The notification application 304 of the service provider 120 then contacts the UE 121 with the same information provided to the notification application 304. The UE 121 then contacts the WebRTC application 303 (Get http: shareApp-303.sp-110/token-1) such that it may share the application 303 with the UE 111 and establish WebRTC communications between the UEs 111 and 121 (i.e., assuming that the user of the UE 121 accepts the connection request to communicate).
FIG. 4 is a block diagram of a use case similar to that of FIG. 3. However, in this embodiment, the user of the UE 111 does not possess the contact information of the user of the UE 121. Accordingly, the WebRTC application 303 requests the routing ID of the user of the UE 121 (Request Routing ID: firstname.lastname@example.org Service: Notify). Once received, the WebRTC application 303 contacts the notification application 304 of the service provider 120 (Notify (To: email@example.com, App-URL: shareApp-303.sp-110/token-1)) such that the use case can continue as that illustrated in FIG. 3. This advantageously provides distribution of routing information among service providers to scale as the number peering service providers increases.
FIG. 5 is a block diagram of a use case similar to those of FIGS. 3 and 4. However, in this embodiment, the service provider 110 requests the registry for the user of the UE 121 (i.e., the routing ID) for share service of the WebRTC application 303 as opposed to a notification service. In this regard, the service provider 120 also comprises a web server 306 implementing a WebRTC application 308. Thus, after the user of the UE 111 initiates a connection request, the WebRTC application 303 transfers a message to the NNI registry 101/102 as User-ID: firstname.lastname@example.org Service: Share. The NNI registry 101/102 responds with Routing ID: email@example.com that allows the WebRTC application 303 to contact the WebRTC application 308 of the web server 306 with a notification message (Notify (To: firstname.lastname@example.org, App-URL: shareApp-303.sp-110/token-1) to contact the UE 121. Afterwards, the UE 121 (assuming that the connection request is accepted) shares the WebRTC application 303 with the UE 111 to establish WebRTC communications between the UE 111 and 121, depending on the capabilities of the WebRTC application 303 and 308 (e.g., voice, text, white listing, blacklisting, etc.).
This embodiment may be implemented when a previous query of the registry for the notification service does not yield a routing ID because, for example, the user of the UE 111 subscribes to a share service and, as such, desires all share requests to invoke the user’s share service for whatever value it might add (e.g., share service preferences such as white/black list filtering, find/follow-me, negotiated service control on the user’s behalf, etc.). In this case, the WebRTC application 308 is a share service application that decides to allow the service provider 110 to host a share session thereby delivering a share URL. This allows the UE 121 to subsequently navigate to the provided URL (e.g., Get http: shareApp-303.sp-110/token-1).
FIG. 6 is a block diagram of a use case with both initiating and terminating service providers being WebRTC providers in which the service provider 120 hosts the service. In this embodiment, the hosting service provider 120 implements a video chat. To illustrate, the hosting service provider 120 may be a company such as Amazon and the user of the UE 111 wishes to video chat with a representative of Amazon.
The session initiates when the UE 111 transfers a connection request to the WebRTC application 310. The WebRTC application 310 contacts the NNI registry 101/102 with the user ID of the Amazon video chat service (User-ID: Amazon Service: VideoChat). The NNI registry 101/102 responds with the routing ID of that service (Routing ID: email@example.com). The WebRTC application 310 then contacts Amazon’s WebRTC application 322 with the notification message (Notify (To: firstname.lastname@example.org, App-URL: VideoChatApp-310.sp-110/token-1). The WebRTC application 322 redirects to the user of the UE 111 such that the WebRTC
application 322 can manage the video chat (Redirect (To: email@example.com, App-URL: VideoChat322.sp-320/token-2)) and notifies the Amazon representative’s UE 121 of the video chat (Notify (App-URL:VideoChat322.sp-2/token-2)). The user of the UE 111 is then redirected to the video chat via a URL (Redirect (App-URL:VideoChat322.sp-320/token-2)) such that WebRTC communications can provide the video chat via the WebRTC application 322. Alternatively or additionally, the user of the UE 121 may obtain access to the WebRTC application 310 via a get message as illustrated in FIG. 5 (e.g., Get http://shareApp-310.sp-110/token-1).
It should be noted that the embodiments shown and described herein may provide other use cases as well. For example, the use case in FIG. 6 may be operable to provide video chat services that enable videoconferencing between professionals as opposed to businesses such as Amazon. It should also be noted that in the case of peering where the terminating network is a service provider simply employing notification only, no negotiation is required. Rather, the initiating service provider (e.g., service provider 110) may always host the WebRTC service. A terminating service provider (e.g., the service provider 120) can also provide “termination services” before the session is established, even if it negotiates itself out of supporting the session. Generally, the negotiation decides who will provide the service during the session.
Also, the negotiating mechanism is generally a matter of comparing the capabilities of the two applications of the service providers 110 and 120 (e.g., to the WebRTC Applications 310 and 322). For example, if the WebRTC application 310 supports one capability and the WebRTC application 322 supports multiple capabilities, then the WebRTC application 322 may be selected to host the WebRTC communications.
FIG. 7 illustrates an exemplary web browser 400 that may be used to perform the WebRTC communications on a UE. For example, when a user of the UE 111 logs into its service provider, the user may then navigate to WebRTC communications (URL 405) on the web browser 400, such that the user of the UE 111 can establish WebRTC communications with another user.
In this embodiment, the user may be presented with the user’s contacts (401) such that the user can select one of those contacts and initiate a call with another user. For example, the user may select firstname.lastname@example.org that initiates a call with the user Joe Smith at another service provider. In this regard, the user may start the call and a video chat window 402 shows live video of the user while the video chat window 403 shows live video of Joe Smith.
The invention can take the form of an entirely hardware embodiment, an entirely software embodiment or an embodiment containing both hardware and software elements. In one embodiment, the invention is implemented in software, which includes but is not limited to firmware, resident software, microcode, etc. FIG. 8 illustrates a computing system 500 in which a computer readable medium 506 may provide instructions for performing any of the methods disclosed herein.
Furthermore, the invention can take the form of a computer program product accessible from the computer readable medium 506 providing program code for use by or in connection with a computer or any instruction execution system. For the purposes of this description, the computer readable medium 506 can be any apparatus that can tangibly store the program for use by or in connection with the instruction execution system, apparatus, or device, including the computer system 500.
The medium 506 can be any tangible electronic, magnetic, optical, electromagnetic, infrared, or semiconductor system (or apparatus or device). Examples of a computer readable medium 506 include a semiconductor or solid state memory, magnetic tape, a removable computer diskette, a random access memory (RAM), a read-only memory (ROM), a rigid magnetic disk and an optical disk. Some examples of optical disks include compact disk-read only memory (CD-ROM), compact disk-read/write (CD-R/W) and DVD.
The computing system 500, suitable for storing and/or executing program code, can include one or more processors 502 coupled directly or indirectly to memory 508 through a system bus 510. The memory 508 can include local memory employed during actual execution of the program code, bulk storage, and cache memories which provide temporary storage of at least some program code in order to reduce the number of times code is retrieved from bulk storage during execution. Input/output or I/O devices 504 (including but not limited to keyboards, displays, pointing devices, etc.) can be coupled to the system either directly or through intervening I/O controllers. Network adapters may also be coupled to the system to enable the computing system 500 to become coupled to other data processing systems, such as through host systems interfaces 512, or remote printers or storage devices through intervening private or public networks. Modems, cable modem and Ethernet cards are just a few of the currently available types of network adapters.
What is claimed is:
1. A Web Real Time Communication (WebRTC) system, comprising:
- a web server operable to provide a network-to-network interface (NNI) with a plurality of service providers, to communicate with the service providers through WebRTC links, and to retrieve contact information of subscribers to the service providers over the WebRTC links; and
- a database operable to store the contact information of the subscribers,
wherein the web server is further operable to process a connection request from a first of the subscribers to connect with a second of the subscribers, to retrieve the second subscriber's contact information from the database, to push a notification message to a device of the second subscriber via a WebRTC application using the second subscriber's contact information, and to establish a WebRTC link between the first and second subscribers when the second subscriber accepts the connection,
wherein the web server is further operable to maintain a contact list for the first subscriber, to deliver the contact list to a device of the first subscriber through a web browser, and to deliver a WebRTC application to the first subscriber's web browser when the first subscriber logs in to a first of the service providers, and
wherein the WebRTC application is operable to present the contact list to the first subscriber's web browser.
2. The system of claim 1, wherein
the web server is further operable to configure a Uniform Resource Locator (URL) in the notification message that allows the second subscriber to establish the WebRTC link with the first subscriber.
3. The system of claim 1, wherein
the first subscriber subscribes to a first of the service providers and the second subscriber subscribes to a second of the service providers; and
the first and second service providers are different.
4. The system of claim 1, wherein
the web server is further operable to receive another connection request from the subscriber to connect with another person, to determine that the subscriber has no contact relationship with the other person, and to deny the connection request of the subscriber.
5. The system of claim 1, wherein
the contact list includes an identity of the second subscriber without providing information about the second subscriber’s attachment point.
6. The system of claim 1, wherein
the web server is further operable to break down WebRTC link when the second subscriber declines the connection or when the WebRTC link is no longer needed.
7. The system of claim 1, wherein
the web server is further operable to establish a WebRTC link between at least two of the service providers.
8. The system of claim 1, wherein
the web server is further operable to retrieve a routing identification of the second subscriber that directs a WebRTC application of the first subscriber to directly contact a WebRTC application of the second subscriber.
9. The system of claim 1, wherein
the web server is further operable to configure a fully qualified domain name (FQDN) in the notification message.
10. The system of claim 1, wherein
the second subscriber’s device is one or more of a smart phone, a computer, a set top box (STB), and a television.
11. A Web Real Time Communication (WebRTC) method operable in a web server, comprising:
providing a network-to-network interface (NNI) with a plurality of service providers;
communicating with the service providers through WebRTC links via the NNI;
retrieving contact information of subscribers to the service providers over the WebRTC links;
storing the contact information of the subscribers in a database;
processing a connection request from a first of the subscribers to connect with a second of the subscribers;
retrieving the second subscriber’s contact information from the database;
pushing a notification message to a device of the second subscriber via a WebRTC application using the second subscriber’s contact information;
establishing a WebRTC link between the first and second subscribers when the second subscriber accepts the connection;
maintaining a contact list for the first subscriber;
delivering the contact list to a device of the first subscriber through a web browser;
delivering a WebRTC application to the first subscriber’s web browser when the first subscriber logs in to a first of the service providers; and
presenting the contact list to the first subscriber’s web browser via the WebRTC application.
12. The method of claim 11, further comprising:
configuring a Uniform Resource Locator (URL) in the notification message that allows the second subscriber to establish the WebRTC link with the first subscriber.
13. The method of claim 11, wherein
the first subscriber subscribes to a first of the service providers and the second subscriber subscribes to a second of the service providers; and
the first and second service providers are different.
14. The method of claim 11, further comprising:
receiving another connection request from the subscriber to connect with another person;
determining that the subscriber has no contact relationship with the other person; and
denying the connection request of the subscriber.
15. The method of claim 11, wherein
the contact list includes an identity of the second subscriber without providing information about the second subscriber’s attachment point.
16. The method of claim 11, further comprising:
breaking down WebRTC link when the second subscriber declines the connection or when the connection is no longer needed.
17. The method of claim 11, further comprising:
establishing a WebRTC link between at least two of the service providers.
18. The method of claim 11, further comprising:
retrieving a routing identification of the second subscriber that directs a WebRTC application of the first subscriber to directly contact a WebRTC application of the second subscriber.
19. The method of claim 11, further comprising:
configuring a fully qualified domain name (FQDN) in the notification message.
20. The method of claim 11, wherein
the second subscriber’s device is one or more of a smart phone, a computer, a set top box (STB), and a television.
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TESTIMONY OF
L. WILLIAM SEIDMAN
CHAIRMAN
FEDERAL DEPOSIT INSURANCE CORPORATION
ON
THE FINANCIAL INSTITUTIONS REFORM, RECOVERY AND ENFORCEMENT ACT OF 1989
BEFORE THE
SUBCOMMITTEE ON FINANCIAL INSTITUTIONS SUPERVISION, REGULATION AND INSURANCE COMMITTEE ON BANKING, FINANCE AND URBAN AFFAIRS UNITED STATES HOUSE OF REPRESENTATIVES
10:00 AM
March 14, 1990
Room 2128, Rayburn House Office Building
Good morning Mr. Chairman and members of the Subcommittee. We appreciate the opportunity to appear today to provide our views on provisions of the Financial Institutions Reform, Recovery and Enforcement Act (FIRREA) that may require some modification and to comment on legislative initiatives to restructure the Office of Thrift Supervision (OTS) and restrict sales of subordinated debentures in financial institutions. As part of our testimony we also have attached a more complete listing of our suggested changes to FIRREA.
Today, we will address some of the more controversial issues that have arisen from FIRREA, including the leverage capital standard, purchased mortgage servicing rights and insurance coverage for 457 Plan deposits. We also will highlight other FIRREA provisions that, based on our experience to date, will need some revision. Finally, we will provide our thoughts on proposed legislation to restructure OTS and restrict the sale of securities in affiliated depository institutions.
Before focusing on those issues, we believe it is important to emphasize the numerous positive aspects of FIRREA. Without question it is one of the most significant pieces of financial institution legislation passed since the Great Depression, and it ultimately will cause sweeping changes in the operations and structure of the financial services industry. The most visible part of the legislation is the mechanism created, using a combination of private and public funding sources, to recapitalize the thrift insurance fund and resolve the crisis in the thrift industry.
However, in the long term, perhaps the more important aspects of the legislation are the provisions that are designed to control risk in the system. FIRREA has recast the structure of thrift supervision and returned the emphasis of savings association business to home lending. By establishing an independent thrift insurance fund, FIRREA has eliminated one of the basic conflicts that plagued thrift supervision and has put in place a structure that should facilitate a financially sound fund in the future. By increasing deposit insurance premiums and giving the FDIC needed flexibility to adjust premiums within specified limits based on fund experience, both deposit insurance funds ultimately will have a stronger financial base.
Supervision has been strengthened further by expanding the enforcement authority of federal regulators and requiring savings associations to comply with bank capital, accounting and supervisory standards. FIRREA also restricted allowable savings association activities and prohibited junk bond investments. The FDIC also was provided with back-up enforcement authority over savings associations, and we have established a good working relationship with OTS. We believe the back-up authority is proving to be a very good idea for protecting the insurance fund that possibly should be considered in other areas as well.
The pros and cons of individual sections of the law can be debated. From our perspective, however, FIRREA has made significant strides toward preventing a recurrence of the thrift industry's
problems. Over time, it should contribute to a stronger and sounder thrift industry and deposit insurance system. FIRREA represents a good first step toward resolving the complex problem of limiting risk to the government while maintaining a stable and efficient free market financial system. However, as with any first step solution to a highly complex problem, compromise is often necessary to balance conflicting objectives.
Based on our limited experience of only a few months, we have identified certain sections of FIRREA where changes appear necessary. We should point out that many of FIRREA's provisions have only recently become effective, and their potential impact is still not fully known. The issues we will discuss today represent only our initial efforts to identify needed changes. We expect to discover additional areas that need modification in the future as we receive public comments and as we gain more experience with the law.
**FDIC BOARD SUCCESSION**
One area of concern relates to the terms of the FDIC's Board of Directors. Under current law as amended by FIRREA, the terms of the FDIC's three appointive directors all expire together on February 28, 1993, and the statute is unclear on a crucial point of continuity: namely, whether the directors in office on that date will be able to continue to serve until their successors have been appointed and qualified. If they cannot, the FDIC will suffer a significant loss of continuity and -- for a period of time, at least -- of
independence, since the Comptroller of the Currency and the Director of OTS could well be the only FDIC directors then holding office. Since the appointive members all serve six-year terms, the continuity problem is likely to recur every six years.
To assure Board continuity, we recommend that the appointive members' terms be staggered, with termination dates coming no sooner than two years apart. If an appointive member leaves office in the last two years of his or her term, the President should be able to appoint a successor for the remainder of that term and for the succeeding term as well. In addition, the statute should make it clear that any director serving on February 28, 1993 may continue in office until a successor has been appointed and qualified. In fact, we see no reason for all appointive terms to end in 1993. Persons appointed to the Board in the next three years should be assured that they can serve for a full six-year term.
CAPITAL
Since one of the most controversial areas of FIRREA has been the capital requirements, we would like to comment on the leverage ratio, purchased mortgage servicing rights and the loans-to-one-borrower restrictions.
Capital leverage ratio. The new OTS capital standards established under FIRREA include a risk-based framework that is similar in many respects to the risk-based guidelines that were
adopted in early 1989 by the banking agencies. In accordance with FIRREA's mandate, the OTS also promulgated two other capital standards that establish constraints on how much a thrift can leverage its balance sheet assets. These leverage constraints consist of a 1.5 percent tangible capital requirement and a three percent core capital standard.
After the transition period for grandfathered supervisory goodwill ends at year-end 1994, the tangible capital of a savings association essentially will be the same as its core capital. Therefore, thrifts ultimately will need to meet a leverage ratio requirement for both core capital and tangible capital that is presently set at three percent. This three percent leverage standard is similar to the minimum leverage ratio proposed by the Office of the Comptroller of the Currency (OCC) in November 1989. The leverage standard eventually adopted by the OCC is of major significance to savings associations, since FIRREA requires the OTS to prescribe and maintain capital standards for thrifts that are no less stringent than the capital standards the OCC applies to national banks.
We agree with the establishment of a uniform minimum core capital leverage requirement for all banks and thrifts. We also support the exclusion of loan loss reserves from the definition of capital under a revised bank leverage standard. However, we are concerned about the use of a three percent core capital requirement as the sole minimum leverage standard.
The OCC's suggested three percent core capital constraint, in our view, should only be viewed as a subtest. That is, we believe a revised bank leverage standard should set forth a minimum total capital requirement over and above the OCC's proposed three percent core capital requirement. This additional capital could be comprised of secondary sources, similar to the manner in which the risk-based capital guidelines require both a minimum core capital standard and a higher minimum total capital requirement. The great majority of banks now meet the existing six percent total capital standard with a combination of core capital plus the allowance for loan losses. Since loan loss reserves usually do not exceed one-to-two percent of assets, most institutions presently meet the existing bank leverage standard with a minimum of four-to-five percent in core capital exclusive of the loan loss allowance.
Risks in the banking industry over the past decade have increased as deposit interest rate restrictions have been lifted and as competition has intensified. Many of these risks are not specifically captured in the risk-based capital framework. Moreover, the soundness of the risk-based capital standard is new and untested. As a result, we believe that any revised leverage standard should be maintained at a level that, in substance, is at least as stringent as the existing six percent total capital standard. Assuming loan loss reserves are excluded from total capital for purposes of a revised leverage
standard, we believe that the minimum total capital leverage standard for banks should be at least in the four-to-five percent range.
In essence, any revised minimum leverage capital standard for banks should not be allowed to materially reduce the minimum capital requirements for a significant number of institutions. Rather, the risk-based framework should function primarily as a vehicle for ensuring that certain banks -- including those with significant off-balance sheet risks -- maintain additional capital over and above a prudent leverage standard. Therefore, a leverage standard should remain a prominent part of bank capital standards and should not be relegated to a relatively obscure backstop role.
If the OCC decides to adopt the three percent core capital ratio as the sole minimum leverage standard, without requiring any higher total capital leverage standard, we believe the standard should specifically indicate that such a minimum will only apply to the most well-run institutions that have very high asset quality, minimal interest rate risk and composite CAMEL ratings of 1 under the Uniform Financial Institutions Rating System. These requirements are similar to the ones set forth by the Federal Reserve Board in its December 1989 proposal for revising the bank leverage ratio. In view of FIRREA's "no less stringent test" for thrifts, we believe similar capital standards ultimately should be applied to savings associations.
The FDIC hopes to reach final agreement with the OCC and the Federal Reserve on a revised bank leverage standard by year-end 1990, the date on which a minimum risk-based capital requirement first becomes effective.
**Purchased mortgage servicing rights.** Although thrift capital standards under FIRREA generally are required to be no less stringent than those applied by the OCC to national banks, FIRREA made an exception for purchased mortgage servicing rights. FIRREA specifically provides that the FDIC is to prescribe the maximum amount of purchased mortgage servicing rights that savings associations can recognize when calculating the amount of regulatory capital under the OTS tangible capital standard. In addition, the OTS limitations on the amount of servicing rights that may be recognized by a savings association when calculating its core capital must be at least as stringent as the limits applied by the FDIC to state nonmember banks.
The FDIC currently has no explicit limit on the amount of mortgage servicing rights that may be recognized by a bank for regulatory capital purposes. Although the FDIC retains the right to deduct mortgage servicing rights on a case-by-case basis if they are excessive in relation to capital or the market value of the rights, at present we do not impose an across-the-board maximum limit. (The OCC has a limit of 25 percent of Tier I capital.)
In view of FIRREA's mandate, the risks associated with purchased mortgage servicing rights, and the increasing levels of servicing rights that are being acquired by state nonmember banks, the FDIC Board on January 30, 1990 issued for public comment a purchased mortgage servicing rights proposal. The proposal, if adopted, would limit the amount of servicing rights that may be recognized for regulatory capital purposes to no more than 25 percent of core capital and, for savings associations, to no more than 50 percent of tangible capital. Mortgage servicing rights acquired before August 9, 1989 would be phased-out over time, and unlimited servicing rights could be held in separately capitalized mortgage banking subsidiaries.
Due to the risks associated with purchased mortgage servicing rights, the FDIC has proposed to treat the total amount of an institution's purchased servicing rights as a single investment for determining whether excessive concentrations exist in relation to capital. Only in those instances where the concentration of mortgage servicing rights exceeds 25 percent of capital will there be a need to limit the amount of these rights recognized for regulatory capital purposes.
At the same time, we realize this proposal is controversial to some within the banking and thrift industries. As a result, we are allowing a 60-day public comment period that extends
until April 10, 1990. The FDIC will carefully consider the comment letters and the views of all affected parties before making any final determination as to the merits of the existing proposal. We wish to make it clear that we do not intend to act on a final regulation until after we have firm data on the institutions that would be affected, the amounts involved, and whether the regulation would affect the inventory of institutions that might go into the RTC. We expect it will be late Spring before this information will be available to us for analysis.
**Loans-to-one-borrower.** Another capital-related issue that has raised some controversy is the loans-to-one-borrower provision that now applies to savings associations. Bank supervisors traditionally have preached risk diversification, particularly in the loan portfolio. It is a fundamental principal of sound banking that should be applied to individual borrowers as well as to groups of borrowers with related direct, indirect or contingent obligations. Risk diversification is especially important for controlling risk in the thrift industry, where capital levels already are low and loan portfolio concentrations already are high. Unfortunately, it is also a principal that has been violated all too frequently in the past -- often with serious ramifications for the insurance fund.
The FDIC fully supports the FIRREA requirement that applies the loans-to-one-borrower restrictions as defined in the National Bank Act to the thrift industry. Banks have operated successfully under these or similar restrictions for years. However, over the years banks also have developed extensive participation networks that effectively diversify the risk of one borrower to more than one institution. A properly structured loan participation allows selling banks to accommodate large loan requests which would otherwise exceed lending limits, while enabling them to diversify risk, and improve liquidity or obtain additional lendable funds.
While we see no reason why thrifts cannot operate successfully under these restrictions, we recognize that full and immediate implementation of these restrictions may place a short term hardship on the industry. The building of such a loan-sharing network requires time to develop and mature if thrift institutions are to continue to service their largest borrowers. For this reason, a transition rule is needed to phase in the restrictions.
MERGERS AND ACQUISITIONS
Insubstantial conversion transactions. One of the ways FIRREA attempts to attract capital into the thrift industry and enhance the overall value of individual savings associations is
by eliminating many of the prior impediments to mergers and acquisitions, especially for bank holding companies. The law, however, discriminates against the ability of smaller institutions to participate in deposit sales and transfers during the 5-year period when conversion transactions are prohibited.
Under FIRREA, conversion transactions (i.e. transfers of deposits between insurance funds -- BIF to SAIF or SAIF to BIF) are generally prohibited for five years. However, FIRREA permits one institution to acquire the deposits of another institution and convert them to a different insurance fund if the acquired deposits do not represent more than 35 percent of the selling institution's deposits. In addition, the acquired deposits cannot represent more than 35 percent of the acquiring institution's deposits. When the test is applied to the selling institution, it has the intended effect of keeping the bulk of the deposits of the selling institution in its current insurance fund. However, when applied to the acquiror, the test has the effect of discriminating against small institutions. Because of their size, these institutions may not be able to buy branches without exceeding the 35 percent restriction. Small, well-managed and well-capitalized institutions should have the opportunity to participate in this activity in the same way as larger institutions. Therefore, we believe the 35 percent test should not be applied to the acquiring institution.
Emergency State law override. When Congress addressed emergency mergers, it transferred the emergency thrift-merger statute from the National Housing Act to the Federal Deposit Insurance Act. As now constructed, the wording of the statute's branching provisions could raise a barrier to the FDIC's emergency assistance process in unit-banking states.
The provisions were designed to allow a surviving institution to retain the branches of a thrift acquired under the emergency procedures. Prior to FIRREA, the survivor was always a thrift since either the acquiring institution was a thrift or the troubled thrift continued to survive. Today, banks are encouraged and stand ready to take over troubled thrifts. However, their enthusiasm for such acquisitions is based in large part on their ability to retain the thrift's branching network.
Unfortunately, a federal court in a unit-banking state has read this provision so as to limit the FDIC's ability to transfer thrift branches when the acquiror is a bank. The court has indicated that when a bank acquires a troubled thrift in a unit-banking state, the resulting entity is subject to the state's bank branching laws and, thus, the bank may not retain the acquired thrift's branches. We believe the court improperly construed this provision and the construction is at odds with the policy, structure and language of the emergency-merger
statute as a whole. Nevertheless, the practical effect is that the decision reduces the value of thrifts to the banking sector, and thereby impairs the FDIC's and the RTC's ability to arrange mergers for them. When the FDIC or the RTC provides assistance for an emergency merger involving a troubled thrift, the surviving institution should be allowed to retain the troubled thrift's branches regardless of whether the survivor is a thrift or a bank.
QTL TEST
FIRREA imposed a revised Qualified Thrift Lender (QTL) test that will require savings associations to carry at least 70 percent of their portfolio assets in qualified investments by July 1, 1993. This test will have a substantial impact on savings association operations. While recognizing the intent of the test, our concern is that interest rate risk in the thrift industry, which is already high, could become even worse. The result could be a further deterioration of the thrift franchise value. In our view, the full impact of the QTL test should be carefully reviewed to ensure that such an unwanted result is avoided.
SAVINGS ASSOCIATION POWERS
In conjunction with the QTL test, FIRREA also imposes certain restrictions on savings association powers. The objective of these restrictions is to establish parallel
regulation of state and federally chartered savings associations in many areas and to prevent state savings associations from engaging in activities not authorized to federal associations. The FDIC, however, is authorized to grant exceptions to these restrictions. But, FDIC approval of exceptions is permitted only if an institution is in compliance with its fully phased-in capital standards. There is no flexibility in that requirement. Institutions not in compliance with the capital standards cannot apply for a waiver to engage in or continue certain activities, even when such a waiver would be clearly beneficial to both the institution and the insurer.
In our view the law is too restrictive in this respect. It inhibits positive, creative ideas that could aid in an institution's recovery or in a meaningful restructuring or divestment plan. We believe that a provision is needed allowing more flexibility where an activity will clearly benefit an institution and poses no risk to the insurance fund.
**INSURANCE OF "457 PLAN" DEPOSITS**
FIRREA requires the FDIC to issue uniform deposit insurance regulations applicable to all insured depository institutions. On December 21, 1989, we issued a proposed rule to implement FIRREA's mandate in this area. In doing so, we had to resolve existing differences between FDIC insurance rules and those of the FSLIC. One of the most controversial and significant of
those differences involves so-called "457 Plans." This aspect of our proposed insurance regulation is the most frequently mentioned issue in the many public comments we have received on the rule.
A "457 Plan" is a deferred compensation plan established by a state or local government or a non-profit organization for the benefit of its employees, which qualifies under Section 457 of the Internal Revenue Code. Although there is no specific provision in the FDIC's current regulations, the FDIC staff has taken the longstanding position that, unlike other pension plans, deposit accounts maintained by a "457 Plan" with an insured bank are not entitled to pass-through insurance coverage for the beneficiaries of the plan. The staff's position is based on the fact that, under Section 457 of the Internal Revenue Code, the funds of 457 Plans are required to remain solely the property of the employer. This provision enables the employer to utilize 457 Plan funds for its own purposes and makes those funds subject to the claims of the employer's creditors. The employer, rather than the employees, is thus deemed to be the sole owner of the funds until they are distributed.
On this basis, the FDIC legal staff has maintained that the employees (the plan participants) do not have any ownership interest in the funds upon which insurance coverage could be
based. Thus, the funds are not insured on a pass-through basis. Consequently, deposit accounts at FDIC-insured banks which are comprised of 457 Plan funds have been added together and insured up to $100,000 in the aggregate. In contrast, FSLIC regulations insured 457 Plan deposit accounts at savings associations up to $100,000 per participant. The FSLIC regulation was based on the theory that 457 Plan deposits should, as a matter of policy, be accorded the same insurance provided for most other trusteeed employee benefit plan deposits.
We know of no economic or policy reasons why the deposits of 457 Plans should not be afforded the same pass-through insurance coverage that is provided for the deposits of most other trusteeed employee benefit plans. However, our legal staff's analysis of existing law indicates that it does not authorize insurance to plan participants.
We are currently considering whether we can and should expand insurance coverage to 457 Plans. We have extended the public comment period on our proposed insurance regulation until March 23rd and are holding a public hearing today on the 457 Plan issue to ensure that we have all the facts at our disposal. While there may be policy considerations favoring the insurance of these accounts, if our final determination is that we do not have the legal authority, we will not be able to continue coverage for future deposits. If there is a strong
congressional interest in providing insurance, we suggest that Congress consider providing specific authority for deposit insurance to 457 Plan participants.
**ADVERTISING OF INSURANCE**
Prior to FIRREA, the FDIC had express statutory authority to regulate the way in which insured banks advertise their FDIC insurance, as well as to prescribe the official FDIC sign and regulate the manner of its use and display. Under our authority to regulate advertising of FDIC membership, the FDIC required all insured banks to include the legend "Member FDIC" or equivalent language in their advertisements.
In prescribing the new official sign for SAIF members and authorizing the FDIC to regulate its use and use of the existing FDIC sign, FIRREA inexplicably eliminated our authority to regulate the way in which insured depository institutions advertise their insurance. This has led to an emotional and heated debate over, for example, whether insured savings associations may advertise themselves as "FDIC-insured" and the extent of the FDIC's authority to resolve such disputes.
We believe it should be made clear that the FDIC can continue to regulate deposit insurance advertising by restoring our express authority to do so. This authority should be broad enough to allow the FDIC to deal with any related advertising
issues. In addition, the official sign an institution is allowed to use should depend on whether the institution is a SAIF member or a BIF member, rather than on whether it is a savings association or a bank (as the law now is drafted), since some banks may be members of SAIF and some savings associations may be members of BIF.
CROSS GUARANTEES
One of the positive aspects of FIRREA is the new cross guarantee liability of affiliated banks and savings associations. This provision was designed to keep multi-institution holding companies from abandoning failing insured affiliates. Insured affiliates were made guarantors because they are the direct beneficiaries of deposit insurance.
The law is a significant addition to the FDIC's resolution arsenal, but it has not proven to be as effective as originally expected for a variety of reasons. First, and most importantly, the cross guarantee only applies to institutions affiliated at the time of failure. This creates an incentive for holding companies to sell or otherwise separate the healthy insured institutions prior to a failure. We believe the insurance fund should be able to reach assets of formerly affiliated insured institutions that are separated from common control relationship within a certain amount of time prior to the failure of an insured affiliate. Therefore, we recommend that once a
financial institution is identified as in danger of failing, formal notice of that determination to the holding company could serve to legally obligate the failing institution's affiliates under the cross guarantee provisions whether or not they are commonly controlled at the time of actual failure.
We also have found that the required process for determining losses delays reimbursement and therefore cannot be used in conjunction with the resolution of the failing affiliate. In addition, because the cross guarantee only applies to insured affiliates, even in situations where default is of little or no concern, holding companies are finding it advantageous or prudent to transfer traditional banking activities and assets (such as data processing and trust operations) to nonbank subsidiaries in order to remove assets from the potential scope of the cross guarantee provisions. While we do not have a ready solution to these two areas of concern, we believe a rule that requires a bank to be able to operate under existing rights when a bank holding company fails should be required for safety and soundness.
REPUDIATION OF CONTRACTS/"GOLDEN PARACHUTES"
FIRREA confers upon the FDIC, in its role as conservator or receiver, the power to disaffirm or repudiate any contracts that are burdensome, and which the FDIC determines "will promote the orderly administration of the institution's affairs." We expect
this power will be an important tool for the FDIC and the RTC, as we carry out our responsibilities as conservator or receiver. It will be particularly helpful in repudiating some employment contracts commonly known as golden parachutes.
While the general contract repudiation provisions in FIRREA are very helpful, they may not be sufficient to deal with all abusive golden parachutes. These powers may need to be enhanced to provide the FDIC with the necessary tools to deal with such contracts. Creative lawyers and bank management can devise deferred benefit arrangements, or time them, so that our ability to repudiate them is made more difficult. Further, our contract repudiation authority is of little value in attacking golden parachutes before an institution fails. Specific legislation empowering the FDIC to prohibit or limit excessive or abusive golden parachutes, in whatever form they may take, would be helpful.
APPRAISAL REFORM
FIRREA also took positive steps with respect to real estate appraisals by mandating major reforms in the real estate appraisal industry. The FDIC and the other Federal financial institution regulators have begun the process of improving the quality of appraisals used at federally insured institutions. However, one anomaly that arises under FIRREA is that all federally related transactions must have licensed or certified
appraisals by August 9, 1990, while the states have until July 1, 1991 to install a certifying and licensing process.
Further, in our view, there is a good possibility that the deadlines for full implementation of all aspects of the appraisal process may not be realistic. The expected increase in the demand for complex appraisals, at a time when fewer individuals may be qualified to perform those appraisals, could delay a large number of real estate transactions and result in a substantial cost to the FDIC and the RTC. While lawyers, doctors, accountants and other professions have had decades to set up their self-regulatory professional organizations, FIRREA gives the appraisal industry only two years to create the same type of regulatory infrastructure. Passing the necessary state laws, establishing the necessary federal guidance, and then licensing or certifying thousands of appraisers is a tall order to complete by July 1, 1991. To eliminate or at least reduce this problem, some type of phase-in program should be designed. The phase-in could decrease the initial demand for certified appraisals and at the same time increase the number of available certified appraisers.
Finally, the funding and operational rules for running the Appraisal Subcommittee are proving difficult to determine. An extension of time to draw on the $5 million funding line from the Treasury and clarification of the terms of repayment may be necessary.
RESTRUCTURING OTS
We have been asked to comment on legislative initiatives that would abolish or restructure OTS. So far, there seem to be two basic models. One, proposed by Congressman Schumer, would have the OCC supervise all thrifts -- both state and federally chartered -- and the Federal Reserve supervise thrift holding companies. The other, recommended by Congressman Leach, would have federal thrifts under the OCC, state-chartered thrifts under the FDIC, and thrift holding companies under the Federal Reserve. As we understand the "Leach approach," the regulatory and supervisory structure would mirror the existing system for banks.
We are not convinced that the thrift supervision structure should be changed at this time. It has only recently been changed and should be given a chance to work. Further changes at this time could result in unnecessary confusion, uncertainty, and further disruption to the thrift industry.
However, if restructuring is undertaken, we strongly favor following the bank model in which federally chartered thrift institutions would be regulated by the OCC and state-chartered institutions by the FDIC. The fundamental reason for our position is that we want to preserve the dual banking system. From our country's earliest beginnings, states have been engaged in the chartering and regulation of banks. Using that
authority, states have been able to develop banking structures that best meet their needs and that permit reaction to changing local circumstances. Moreover, the dual banking system has provided an effective avenue for introducing major innovation to the marketplace.
By placing all thrifts under the regulation and supervision of the OCC, the incentive to remain a state-chartered institution will vanish. Since state supervisors depend largely on examination fees for revenue, any significant decrease in the number of state-chartered institutions will affect their revenue and result in cutbacks in their supervisory programs.
Overall, it would be our recommendation that Congress resist the temptation to make further changes to the Federal supervisory structure at this time. We should first gain a better perspective on how the FIRREA-created structure is actually operating. Continual reorganization can be self-defeating.
RESTRICTIONS ON SALES OF SECURITIES
The FDIC has been analyzing the need to restrict sales of securities on bank premises. We are now working on a regulation that would prohibit the sale of securities of an insured depository institution, its holding company, or other affiliates on the premises of the insured institution. The main purpose of
the regulation is to prevent abusive practices that confuse customers into thinking they are purchasing an insured deposit, when in fact they are buying an uninsured, unsecured instrument. Such a regulation would protect consumers, as well as preserve confidence in the industry. Legislation might help to more clearly define our authority to regulate this activity.
While there are clear benefits to regulating these practices, and we are inclined to believe they should be regulated, there are a number of issues that we are still in the process of examining. Our preliminary findings indicate that such abusive practices are not necessarily widespread and therefore may not warrant an additional regulatory burden. We are continuing discussions with other federal regulators to be sure we ascertain the extent of the problem.
The legislation introduced by Congressman Schumer would explicitly prohibit this practice. What is already recognized as an unsound activity would be made specifically illegal. While strengthening federal regulation in this area is probably a good idea, we would strongly recommend that any bill grant definitional authority to the federal banking agencies. Rigid, inflexible statutory definitions of such terms as "ownership interest," "banking office" and "security" could lead to unintended results, particularly as the marketplace and products and services evolve. The agencies should be authorized to
define the statutory terms as the changing supervisory environment may dictate.
CONCLUSION
In conclusion, the FDIC believes that the changes made by FIRREA have been very positive. However, there are areas that could benefit from additional changes and fine tuning. We believe that the thrift regulatory structure put in place by FIRREA should be given time to work before it is altered again.
Thank you Mr. Chairman and members of the Subcommittee. I am prepared to answer any questions.
FDIC SUGGESTED LEGISLATIVE CHANGES
A number of changes to the law are necessary as a result of FIRREA. The following suggestions reflect the FDIC's views on some of the issues that are more substantive in nature. The list is not intended to be exhaustive.
Suggested Changes to the Federal Deposit Insurance Act (FDI Act)
1. FDIC BOARD OF DIRECTORS.
Issue
On February 28, 1993, the terms of all three of the FDIC's appointive directors expire at the same time, and the statute is unclear as to whether the directors then in office may continue until a successor is appointed. Further, in the future, the terms of the FDIC's appointive directors will again all expire at approximately the same time. Both provisions adversely affect FDIC operations and continuity.
Proposal
The February 28, 1993 expiration date for appointive members' terms of office should be eliminated to ensure that each can serve a full six-year term. Further, to ensure continuity, the appointive members' terms should be staggered, with termination dates coming no sooner than two years apart. If FIRREA is not amended to stagger the appointive members' terms and to eliminate the February 28, 1993 expiration date, it should be made clear that those appointive members then in office when their terms expire in 1993 may continue until a successor is appointed and confirmed. Without that clarification, the FDIC Board may have to operate for a period of time with only two ex officio members.
If an appointive member leaves office in the last two years of his or her term, the President should be able to appoint a successor for the remainder of that term and for the succeeding term as well.
2. INSUBSTANTIAL CONVERSIONS.
Issue
Conversion transactions (switches between BIF and SAIF) are generally restricted for 5 years. One institution, however, may
acquire the deposits of another institution and convert them if the deposits so acquired do not represent more than 35 percent of the selling institution's deposits and also do not represent more than 35 percent of the acquiring institution's deposits. This test makes sense with respect to the selling institution, since it effectively keeps the selling institution in the market as a viable competitor. But it makes less sense when applied to the acquiring institution since the test has the effect of discriminating against smaller institutions.
Proposal
The 35 percent test should not be applied to the acquiring institution.
3. OAKAR AMENDMENT BANKS--PAYMENTS TO THE SAIF.
Issue
When a bank acquires a thrift under the Oakar Amendment, it begins to make a payment to the SAIF based on the bank's "Adjusted Attributable Deposit Amount." The AADA represents the deposits that the bank has taken over from the thrift. In effect, the bank pays a SAIF assessment based on those deposits.
Unlike ordinary SAIF assessments, however, the payment can never decline. FIRREA specifies that the AADA always increases: it grows at 7 percent per year or at the bank's overall growth rate, whichever is higher. (The AADA is subtracted from the bank's total assessment base for the purpose of computing BIF assessments.)
This requirement can produce anomalous results if the bank is actually shrinking rather than expanding--particularly if the bank is troubled. The bank may be required to make ever-increasing payments to the SAIF when its assessments would ordinarily be reduced.
Moreover, if the bank transfers deposits back to another SAIF member, the SAIF effectively gets a double assessment: it gets an assessment from the acquiring thrift, and it also continues to get the ever-increasing payment on the AADA made by the Oakar Amendment bank.
Proposal
A bank's AADA should be increased or decreased by the bank's overall rate of growth. The AADA also should be reduced by an amount equal to any deposits that the bank transfers to a SAIF member.
4. CROSS-GUARANTEES.
Issue
Before FIRREA, holding companies could effectively transfer their system-wide losses to the FDIC by concentrating the losses in one or two banks, and then allowing those banks to fail. FIRREA attempted to put an end to that practice. FIRREA specifies that, when the FDIC suffers a loss caused by the default of a depository institution, and the institution belongs to a holding company, the holding company's other depository institutions must indemnify the FDIC against the loss. The "cross-guarantee" rule was supposed to enable the FDIC to reach the good assets that belonged to the holding company system, without regard for where the holding company moved them.
The protection is inadequate, however. There are procedural problems related to the timing of the enforcement procedures. As a result, holding companies may be able to protect themselves against cross-guarantees by selling off healthy institutions prior to the failure of an affiliate and retaining the proceeds at the holding-company level.
Proposal
When a depository institution in a holding company system is failing, the FDIC should be able to invoke the cross-guarantee rules against all the depository institutions belonging to a holding company by serving notice on the holding company that the default by one of its affiliated institutions is "reasonably imminent." After that date, any proceeds that the holding company might receive as a result of disposing of an insured affiliate should be subject to FDIC recovery regardless of where held, and any institution sold should itself remain liable under the cross-guarantee. Also, if the failing institution is disposed of by the holding company prior to its failure, the company's other depository institution subsidiaries should remain liable under the cross guarantee.
5. TEMPORARY SUSPENSION OF INSURANCE.
Issue
The FDIC may suspend an institution's deposit insurance temporarily when the institution has no tangible capital—but only if it has filed a Notice of Intention to Terminate Deposit Insurance (which initiates an action to terminate the institution's insurance permanently). Before the FDIC may issue such a Notice, however, the FDIC must give thirty days notice to the institution's primary Federal supervisor. The primary regulator may agree to shorten or eliminate the time period required for notice.
In some emergency situations, however, the FDIC must be able to issue a temporary suspension order even though the FDIC has not yet filed a permanent Notice. In such cases, the 30-day waiting period negates the effectiveness of an immediate temporary order.
Proposal
The FDIC should be able to file its Notice at the same time it enters its suspension order in exigent circumstances.
6. FINAL ORDERS.
Issue
The Administration's version of FIRREA defined the term "order which has become final." The definition was deleted by Congress on the assumption that it was superfluous language. The definition is necessary since it assists the FDIC with proceeding to enforce such orders, including, for example, cease and desist orders.
Proposal
The term "order which has become final" should be defined in the FDI Act.
7. DIRECTORS AND OFFICERS--INDEMNIFICATION.
Issue
When the FDIC has successfully brought an administrative action against an institution-affiliated person, the institution has on occasion indemnified the person for his expenses—including any civil money penalties and attorneys’ fees—and has even pre-paid his salary or other expenses in anticipation of the institution’s own failure. Indemnification of this kind nullifies the deterrent effect of the administrative action. It also amounts to a raid on the resources of the insurance funds, as the amounts so diverted to the offending person are not available to the institution’s creditors if it fails.
Proposal
The payment by an institution of attorney’s fees and civil money penalties for an institution-affiliated person against whom the FDIC has successfully brought an administrative action, and pre-payment of salaries or other expenses in anticipation of failure of the institution, should be prohibited.
8. FDIC PRIORITY OVER CLAIMS OF SHAREHOLDERS.
Issue
In the past, several courts have recognized that the FDIC has priority over shareholders of closed institutions in claims against directors, officers, accountants and other professionals. The priority is based on the belief that shareholders should be last in all meaningful ways. During the FIRREA debate, an amendment was introduced to codify this priority, but was not ultimately included in the legislation. A recent court of appeals decision has ruled against the FDIC’s priority.
Proposal
We recommend that legislation be enacted establishing a priority for FDIC over shareholders for claims against directors, officers, accountants and other professionals in failed institutions.
9. FSLIC RESOLUTION FUND.
FIRREA provides that the assets and liabilities of the FSLIC are transferred to the FSLIC Resolution Fund ("FRF"). However, FIRREA does not state explicitly that the FDIC succeeds the FSLIC as receiver for pre-FIRREA receiverships, nor does it make clear the FDIC's role as manager of FRF.
In this connection, it is not clear that the FRF (and/or the FDIC as manager of the FRF) has and may assert some or all of the FDIC's rights under the FDI Act, or obtain appropriate benefits under the FDI Act. For example, the question of when the D'Oench doctrine may be asserted has arisen. In addition, lack of a clear basis for authority to act has resulted in problems with title companies.
Proposal
Congress should clarify that the FDIC succeeds the FSLIC as receiver for FRF receiverships, and that the FDIC has all the rights and powers under the FDI Act with respect to these pre-FIRREA receiverships. Congress also should clarify the FDIC's rights and powers as manager of the FRF.
10. EMERGENCY OVERRIDE OF STATE BANKING LAWS.
Issue
FIRREA provides that in certain emergencies the FDIC or the RTC may override state law where necessary to accomplish a sale of a failed savings association. A federal court has recently indicated that, when a bank participates in an emergency acquisition involving a troubled thrift, and the thrift is located in a unit-banking state, the bank may not retain the thrift's branches. We do not believe this is the intent of FIRREA, and it hampers the speedy and cost-effective resolution of failed thrifts.
Proposal
The law should be clarified to affirm that when the FDIC provides assistance for a merger involving a troubled thrift, and the statutory criteria exist for an override of State law, the FDIC or the RTC are authorized to permit the surviving institution to
retain the troubled thrift's branches, even if the survivor is a bank.
11. OFFICIAL FDIC SIGNS/ADVERTISING.
Issue
FIRREA says that savings associations (as opposed to all SAIF members) must use the SAIF sign, and that banks (as opposed to BIF members) may use the FDIC's pre-FIRREA sign. There already are banks that belong to the SAIF, however, and savings associations that belong to the BIF. Accordingly, the FIRREA rules can lead to confusion.
In addition, FIRREA eliminated--without explanation--the FDIC's power to regulate the way in which insured institutions advertise their insurance. This power should be restored to the FDIC in order to make it clear that the FDIC can police the use of these signs and the institutions' advertisements. The power should be broad enough so that the FDIC can address various related advertising expressions (e.g., "insured by the FDIC").
Finally, the FDIC should have power to control other uses of the official signs and of the FDIC logo--e.g., manufacture of the signs and their use by nondepository institutions.
Proposal
An institution's right to use the BIF or SAIF sign should depend on whether the institution is a BIF or SAIF member, rather than on whether the institution is a bank or savings association.
The FDIC should have authority to regulate the advertising of FDIC insurance by depository institutions. The FDIC also should have authority to control the manufacture, reproduction, or use of the official signs and the FDIC logo by any person.
12. THRIFT SUBSIDIARIES.
Issue
Insured savings associations must give the FDIC prior notice of the acquisition or establishment of a subsidiary or of the conduct of any new activity through a subsidiary. A few Federal savings banks--those that were chartered as savings banks prior
to the Garn-St Germain Act—are exempt from this requirement. There is no good policy reason to treat these savings associations differently from the rest.
Proposal
The exception should be deleted.
13. ACTIVITIES BY CONVICTED PERSONS.
Issue
FIRREA improved the FDI Act’s provisions that are designed to prevent certain criminals from participation in the affairs of depository institutions. For example, FIRREA extended the sanctions for suspension of an indicted officer or director to reach cases where "an agreement to enter a pre-trial diversion or other similar program" is entered against such a party, as well as when a "conviction" is entered against such a party.
Section 19 of the FDI Act prohibits depository institutions from employing people who have been "convicted" of crimes involving dishonesty or breach of trust. Section 19 is narrower than the suspension authority of the FDI Act, however, in that it does not include pretrial diversions or similar programs.
Proposal
Section 19 should be extended to reach people who have entered into agreements to enter a pre-trial diversion or other similar program.
14. DISCLOSURES BY UNINSURED DEPOSITORY INSTITUTIONS.
Issue
As a result of FIRREA, uninsured savings associations must disclose the fact that their deposits are not Federally insured. They must make this disclosure both in their advertising and in their periodic statements of account. The FDIC may issue regulations prescribing the manner and content of the disclosure and may enforce its regulations against uninsured thrifts just as though they were FDIC-supervised banks.
The term "savings association" artificially and improperly limits the application of this rule, however. For example, in some States there are uninsured industrial banking companies--yet the FDI Act classifies these companies as "banks," not "savings associations." In addition, there are other nondepository Companies that market debt securities in a manner that resembles the deposit-taking activity of savings associations.
Proposal
In order to protect the public against false or misleading practices with respect to deposits in uninsured depository institutions, the FDIC should be given the power to determine when such disclosures are required.
15. "457 PLAN" DEPOSITS.
Issue
The FDIC insures most trustee employee benefit plan deposits on a "pass-through" basis, i.e., the deposits are insured on the basis of the ownership interests of the plan participants (employees) in the deposits. But so-called "457 plans" (deferred compensation plans established by states, local governments, or nonprofit organizations for their employees under section 457 of the Internal Revenue Code) are unique in that the Internal Revenue Code expressly provides that the funds remain solely the employer's property and are subject to the claims of the employer's creditors. Accordingly, the FDIC legal staff has long maintained that 457 plan participants have no ownership interests in the funds that would support pass-through insurance. Thus, the FDIC position has been that, as a matter of law, 457 plan deposits cannot have pass-through insurance even though there may be no valid economic or policy reasons for insuring 457 plan deposits differently from other trustee employee benefit plans.
Proposal
While the FDIC is holding a public hearing on March 14, 1990 to clarify its understanding of the nature of 457 plans, if Congress thinks these plans should be insured on a pass-through basis, like other trustee employee benefit plans, it should consider amending the law to provide a clear legal basis for extending deposit insurance to these plans.
16. GOLDEN PARACHUTES.
Issue
FIRREA provides the FDIC, in its role as conservator or receiver, with the power to disaffirm or repudiate contracts, including abusive "golden parachutes" of management in a failed depository institution. This authority, however, may not reach all abusive golden parachutes and, in particular, does not reach abusive arrangements in institutions that have not closed.
Proposal
FDIC should be empowered, as a supervisory matter, to prohibit or limit excessive or abusive golden parachutes in depository institutions, no matter what form they take or when they are provided.
17. POWERS OF UNDERCAPITALIZED STATE SAVINGS ASSOCIATIONS.
Issue
FIRREA prohibits state savings associations from participating in activities not permissible to Federal savings associations unless the FDIC determines the activity poses no significant risk to SAIF and the institution is in compliance with the capital standards prescribed under section 5(t) of the Home Owners' Loan Act. If an institution is not fully capitalized, the FDIC may not authorize an activity even if such a waiver is clearly beneficial to both the institution and the insurer.
Proposal
The FDI Act should be amended to allow flexibility where a determination is made that an activity will clearly benefit the institution in its recovery and poses no risk to the insurance fund.
18. REAL ESTATE APPRAISALS.
Issue
FIRREA mandates major reform in the real estate appraisal industry. All federally related transactions must have licensed or certified appraisals by August of 1990 and each state must have installed a certifying and licensing process by July of 1991. These deadlines may not be realistic and, as a consequence, may cause delays in a large number of real estate transactions due to a shortage of qualified appraisers.
Proposal
We recommend that FIRREA be amended to provide a phase-in program initially requiring certified appraisals only on large transactions. At the same time, it also should be amended to have a phase-in of the professional requirements in order to increase the supply of qualified appraisers to a level sufficient to handle the anticipated demand.
19. QUALIFIED FINANCIAL CONTRACTS.
Issue
FIRREA provided the FDIC with expanded powers as receiver and conservator. Specific provisions were made for certain securities contracts referred to as "qualified financial contracts." In enacting the legislation, three sentences concerning notice requirements were inadvertently omitted, and these omissions create inconsistencies in the statute. The FDIC has attempted to clarify these omissions by a policy statement.
Proposal
The missing sentences should be added to the statute to clarify and affirm the FDIC position regarding these contracts and to carry out congressional intent.
Suggested Changes to the Home Owners' Loan Act (HOLA)
1. ACTIVITIES OF FEDERAL SAVINGS BANKS.
Issue
FIRREA provides that after January 1, 1990, no State savings association may conduct any activity impermissible for a Federal Savings association unless the FDIC gives it prior approval. However, certain Federal savings banks--those that were chartered prior to the Garn-St Germain Act, and those that were once organized as State mutual savings banks--were permitted to continue to engage in activities and make investments to the same extent as they were originally authorized. For example, the affected Federal savings banks are permitted to acquire or retain junk bonds absent our taking action under section 18(m) of the FDI Act.
There does not appear to be any good policy reason to allow these institutions to exercise in the first instance powers that no other insured savings association may exercise. To be sure, the FDIC retains the power to determine that certain activities or practices present a serious threat to the deposit insurance fund, but the FDIC can only act after the fact.
Proposal
The grandfather rights should be deleted. In the alternative, Federal savings banks should not continue to exercise their grandfathered powers without the FDIC's prior approval.
2. THRIFT CAPITAL.
Issue
The Director of OTS has authority to allow an individual Federal savings association to exceed the 400 percent of capital ceiling for nonresidential real estate loans if the Director finds that the waiver will not pose a significant risk to the operation of the association.
This standard is too narrow, and does not take into account the broader issue of potential harm to the affected deposit insurance fund.
Proposal
Before the Director of OTS may grant such a waiver, the Director should be required to obtain the FDIC's concurrence. The FDIC should be able to provide its concurrence upon a finding that the waiver will not result in a significant risk to the affected Fund.
3. LOANS-TO-ONE-BORROWER
Issue
FIRREA makes savings associations subject to the same loans-to-one-borrower restrictions as national banks. Thrift institutions have not had the opportunity to develop effective loan participation networks to accommodate large loans that might otherwise exceed their individual lending limits, as banks have done for years. This places a short-term hardship on the thrift industry by restricting its ability to serve large borrowers.
Proposal
Provide a transition period to phase in the loans-to-one-borrower restrictions.
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THE UPPER LIP IN PLACENTAL MAMMALS
Observations on the Morphology of the
Upper Lip and Related Structures
G. A. JAMES B.D.S., F.D.S., D.Orth., R.C.S. (Eng.).
Thesis submitted to the University of Glasgow for the
Degree of Master of Dental Surgery.
March 1965
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# CONTENTS
| Section | Page |
|----------------------------------------------|------|
| Acknowledgements | 1 |
| Introduction | 3 |
| Review of Literature | 4 |
| Material and Methods | 7 |
| Observations | |
| Insectivorous Species | 12 |
| Myrmecophagous Species | 27 |
| Carnivorous Species | 30 |
| Herbivorous Species | 44 |
| Omnivorous Species | 61 |
| Man | 80 |
| Discussion | |
| Insectivorous Species | 91 |
| Myrmecophagous Species | 101 |
| Carnivorous Species | 103 |
| Herbivorous Species | 106 |
| Omnivorous Species | 111 |
| Conclusions Concerning Placental Mammals | |
| Other Than Man | 117 |
| Discussion on Human Upper Lip | 122 |
| Conclusions Concerning Human Upper Lip | 128 |
| General Summary and Conclusions | 130 |
| Bibliography | 135 |
| Fig. | Description | Page |
|-------|--------------------------------------------------|------|
| 1 | Adaptive radiation of the teeth | 9 |
| 2 | Diagram of parts of the rhinarium | 9 |
| 3 | Tree Shrew | 13 |
| 4 | Tree Shrew, transverse section of upper lip | 13 |
| 5 | Limnogale | 16 |
| 6 | Hedgehog | 18 |
| 7 | Hedgehog, dissection | 20 |
| 8 | Gymnura | 21 |
| 9 | Mole | 21 |
| 10 | Common Shrew | 24 |
| 11 | Common Shrew, transverse section of frenum | 24 |
| 12 | Aard-Vark | 28 |
| 13 | Pangolin | 28 |
| 14 | Domestic Cat | 31 |
| 15 | Domestic Cat, dissection | 31 |
| 16 | Dog, Greyhound | 34 |
| 17 | Greyhound, upper lip reflected | 34 |
| 18 | Greyhound, dissection | 35 |
| 19 | Bulldog, upper lip reflected | 35 |
| 20 | Kinkajou | 38 |
| Fig. 21 | Kinkajou, dissection | 38 |
|---------|----------------------|----|
| Fig. 22 | Coatimundi | 40 |
| Fig. 23 | Coatimundi, dissection | 41 |
| Fig. 24 | Musk Deer | 46 |
| Fig. 25 | Swamp Deer | 46 |
| Fig. 26 | Springbuck | 47 |
| Fig. 27 | Hartebeest | 47 |
| Fig. 28 | Addax | 48 |
| Fig. 29 | Camel | 48 |
| Fig. 30 | Pig | 54 |
| Fig. 31 | Pig, upper lip reflected | 54 |
| Fig. 32 | Pig, transverse section of frenum | 56 |
| Fig. 33 | Rat | 56 |
| Fig. 34 | Rabbit | 59 |
| Fig. 35 | Rabbit, dissection | 59 |
| Fig. 36 | Classification of Strepsirhine Primates | 62 |
| Fig. 37 | Demidoff's Galago | 63 |
| Fig. 38 | Moholi Galago | 63 |
| Fig. 39 | Moholi Galago, transverse section of lip | 64 |
| Fig. 40 | Slow Loris | 67 |
| Fig. 41 | Slow Loris, transverse section of lip | 67 |
| Fig. 42 | Tarsier | 71 |
| Fig. 43 | Marmoset ........................................... 72 |
| Fig. 44 | Marmoset, transverse section of upper lip .............. 73 |
| Fig. 45 | Spot Nose Monkey .................................... 75 |
| Fig. 46 | Spot Nose Monkey, dissection ....................... 75 |
| Fig. 47 | Baboon ............................................. 77 |
| Fig. 48 | Baboon, dissection .................................. 77 |
| Fig. 49 | Human frenum, infant ............................... 81 |
| Fig. 50 | Human, epithelial tag on frenum .................... 81 |
| Fig. 51 | Human, double-stranded frenum ...................... 83 |
| Fig. 52 | Human, dissection ................................... 83 |
| Fig. 53 | Human, transverse section of frenum ................. 85 |
| Fig. 54 | Human, transverse section of foetal lip ............. 85 |
| Fig. 55 | Human, foetal upper lip ............................. 88 |
| Fig. 56 | Human, labial tubercle in infant .................... 88 |
| Fig. 57 | Theoretical primitive mammalian head ............... 96 |
| Fig. 58 | Opossum ............................................. 96 |
ACKNOWLEDGEMENTS
I wish to acknowledge my indebtedness to Dr. G. B. Hopkin, Edinburgh Dental Hospital, for his encouragement and support throughout this investigation. Thanks are also due to Dr. A. Clarke, Curator of Mammals, Royal Scottish Museum, for his suggestions concerning the order of presentation of the material and for placing the resources of his Department at my disposal.
Miss M. Benstead has shown much artistic skill in her drawings as well as careful attention to detail. Her assistance has been greatly appreciated as has that of Mr. W. Duncan in photographing many specimens. Messrs. A. Hunter and R. Renton have also assisted with the photography and Mr. G. Aitchison has prepared material for microscopic examination.
With regard to the supply of specimens, I am grateful to Messrs. K. Head and P. Hutton, Royal Dick Veterinary College, Mr. T. Warwick, Zoology Department, Professor G. Montgomery, Pathology Department, Dr. A. Bain, Paediatric Department and Dr. R. Sprinz, Dental Anatomy Department, University of Edinburgh. Dr. W. Burston and Mr. R. Latham, University of Liverpool, have also assisted in obtaining human foetal material. Professor J. Boyes has made funds available
for the purchase of several specimens and Mr. J. Fisher, Director of the Zoological Gardens, Edinburgh, has kindly permitted me access to some of the animals in his care.
I wish to thank my colleagues in the Orthodontic Department, Messrs. W. Houston and J. G. McCracken for their care in proof reading. Secretarial assistance has been given by the Misses M. Miller, H. Henderson and E. Coventry and their willing help is duly acknowledged.
Finally, one of the most rewarding aspects of this investigation has been to meet many people in disciplines other than my own. The unfailing help received from all concerned has made it an enjoyable as well as an instructive experience.
INTRODUCTION
The superior labial frenum in man is apparently of little or no functional importance, yet it is occasionally found as a large fleshy mass tethering the upper lip to the alveolar process between the upper central incisor teeth. The only explanation put forward to account for its presence (Bolk, 1921; Boyd, 1933) is that the frenum represents the vestiges of a structure found in the lower Primates. In an attempt to find out more about the human superior labial frenum, the morphological variations of the frenum in several other species of mammals were examined. However, as the initial enquiry developed, it became clear that the frenum could not be studied in isolation from surrounding structures such as the upper lip and the alveolar process supporting the incisor teeth. It also became apparent that several features of the human upper lip, including the philtrum and the vertical ridges on either side of it, are not found in other mammals. In order therefore to obtain a better understanding of the morphology of the human upper lip a systematic survey was made of the upper lip and its associated midline structures in as wide a range of mammals as possible. The findings of this survey are presented and then the upper lip and frenum in man are examined in the light of the variations found in other mammals.
REVIEW OF THE LITERATURE
Literature concerning the superior labial frenum is limited to that on the frenum in man except for passing references to its presence or absence as part of a general description of a particular species. Tait (1929) has established that the human superior labial frenum is relatively much more prominent in the infant than in most adults and that it is not necessarily associated with spacing between the central incisor teeth as was thought to be the case. The literature on the human superior labial frenum has been reviewed by Ceremello (1953) and Adams (1953) but these reviews simply confirm Tait's findings. Of the other features of the human upper lip, Monie and Cacciatore (1962) have shown that the philtrum does not represent the line of fusion of the paired fronto-nasal processes but appears some time after lip formation is complete. Duckworth (1910) has compared sagittal sections of the lips in man and several advanced Primates, showing that an extensive vermillion border of the lip is unique to man, while Dannenberg, Leider and Bass (1958) have shown that the labial tubercle is only a transient feature of the vermillion border of the upper lip in human infants.
The standard reference on the morphology of the upper lip in mammals is the article by Boyd (1933). He considers that the most primitive arrangement of the upper lip is where the hair-bearing skin is confined to the lateral portions of the lip and the central portion is composed of moist, naked skin - the rhinarium - extending down from the nares to fuse with the oral mucosa at the edge of the lip. In species showing an advance on this simple pattern there are differing degrees of encroachment, by the hairy skin of the lateral aspects of the lip, onto the central rhinarial skin until, in those species possessing the most advanced level of lip development, there is an unbroken strip of hairy skin separating the nares from the edge of the lip.
Apart from Boyd (1933), other references to the relationship of the upper lip and the rhinarium are confined to descriptions of a particular species e.g. Pocock (1914b) or Osman Hill (1953). The functional behaviour of the lip and snout in mammals does not appear to have been described in any detail except for the work of Hafez (1962) on domestic species.
Lip behaviour in man has been comprehensively discussed by Lightoller (1925). Other references to various aspects of the upper lip and rhinarium are given at appropriate points in the text.
MATERIAL AND METHODS
Whenever possible, use has been made of several different methods of studying each species. These methods include examination of (a) living specimens, (b) fresh dead specimens, (c) wet-preserved specimens, (d) dried or mounted specimens. Dissection has been undertaken where conditions allowed but, in the case of some of the smaller, more fragile specimens, fixation and sectioning has been employed. A definitive survey of all placental mammals is obviously not possible but it is felt that sufficient species have been described to provide a reasonable basis for discussion.
Several techniques of illustrating the material have been employed. Where sufficient detail can be shown in a photograph this has been the method of choice but in many instances, particularly in the case of smaller animals or where dissection has been done, half-tone drawings are used. Where sectioning has been necessary, a photomicrograph of a stained section is given in most instances.
In a systematic survey of this type, one or other of two approaches is possible. The order of presentation of the material may adhere strictly to that found in a
given taxonomic system e.g. that of Simpson (1945). Alternatively, since a composite group of structures is being examined, species may be arranged in sequence to illustrate gradations of change in the structures. The second method has been employed in this study.
Lull (1948), when discussing adaptive radiation of the teeth in mammals, gives a plan of the main lines of development according to the dietary variations (Fig. 1). Since the structures under examination in this study are also involved in the process of feeding, the same general plan has been employed. It is not possible, however, to keep rigidly to this arrangement without creating some confusion. Each species is therefore placed in the dietary grouping predominant in its particular Order e.g. the Bear although more correctly described as omnivorous is grouped with the Carnivores. Similarly the Mole, which is predominantly carnivorous, is placed with the Insectivores. Each exception is dealt with as it arises.
The nomenclature employed is that of Simpson (1945) since this is currently widely accepted. The popular name of a species or genus is used where it is sufficiently accurate but in all such instances the correct
Adaptive Radiation of the Teeth
Myrmecophagous
Insectivorous
Carnivorous
Herbivorous
Omnivorous
Redrawn from
R. S. Lull's "Organic Evolution" 1948.
Fig. 1.
Dorsum
Internarial region
Ala nasi
Infranarial region
Philtrum
SCHEME of PARTS of the RHINARIUM
Fig. 2. Diagram of the anterior surface of the snout of a typical Strepsirhine Primate.
zoological name is also given when the species is first mentioned. A glossary of some of the terms used is given below, together with a diagrammatic representation of the anterior part of the snout of a typical Strepsirhine Primate (Fig. 2), to assist identification of the parts. The definitions are those of Osman Hill (1953).
**Rhinarium** The area of naked moist skin around the external nares in most lower mammals. It can be divided into different parts as follows:
**Dorsum** An area of variable extent on the dorsum of the apex nasi.
**Infranarial Region** This extends around the lower border of the external nares and varies considerably in size.
**Internarial Region** The area, continuous with the dorsum above and the infranarial region below, which separates the external nares.
**Philtrum** The median strip of rhinarial tissue which extends down from the infranarial area to the margin of the upper lip.
Detailed descriptions of lower mammals, such as those by Dobson (1882), are not available for every species discussed. Nomenclature of the muscles in some instances has therefore been arrived at by a process of analogy and an assessment of the probable action of each muscle.
OBSERVATIONS
INSECTIVOROUS SPECIES
Insectivorous placental mammals are mostly found in one Order, the Insectivores, although species which are partially insectivorous are found in other Orders. The Insectivores are a diverse assemblage of ancient mammals each specialised to some extent but with an underlying primitiveness which makes them extremely difficult to classify logically (Simpson, 1945). They are diphydont and heterodont with a dental formula similar to or slightly reduced below that of the primitive mammalian formula i.e. $I \frac{3}{3} C \frac{1}{1} PM \frac{4}{4} M \frac{3}{3}$.
An elongated, protruding snout is characteristic of most of the Insectivores (Huxley, 1880) and for the purposes of this study the species are arranged according to the extent of this protrusion with the short-snouted species being considered first.
Tree Shrews
Tupaia
One fresh dead specimen and two live specimens of Tupaia minor were examined. The rhinarium in Tupaia occupies a large portion of the anterior part of the upper jaw (Fig. 3). There is a shallow sagittal
Fig. 3. Tree Shrew (Tupaia minor). Teeth not in occlusion.
Fig. 4. Tree Shrew. Transverse section through upper lip. The superficial surface is at the top of the field with the central rhinarial groove to the left. Some transverse muscle fibres, cut longitudinally, can be seen on the lower right, stopping well short of the anterior surface. x32.
midline groove extending down the rhinarium from the internarial region to the lower border of the lip. At this point the groove is lost and the rhinarial mucosa fuses with the oral mucosa. There is no labial sulcus deep to the rhinarial portion of the upper lip. Just palatal to the rhinarium, in the midline, is the incisive papilla which forms a well-defined raised mass. It lies midway between and slightly labial to the two large central incisor teeth. These teeth have a simple conical shape but they are rather larger than the upper lateral incisors. The lower incisors, which are proclined, occlude between the upper central incisors when the teeth are brought together.
One specimen was fixed, sectioned in a plane parallel to the palatal surface and stained (Fig. 4). The loose fibrous tissue deep to the sagittal groove on the rhinarium lies anterior to the cartilage of the snout. This central zone has a number of wide, thin-walled blood vessels, probably venous sinuses, containing haemorrhagic debris. There is no muscle in this central area but some muscle fibres terminate near the lateral edge of the cartilage. These fibres are the most
medial strands of the Orbicularis oris muscle which fails to reach the midline in *Tupaia* (Lightoller, 1934). The muscles of the upper lip are therefore confined to the lateral borders of the rhinarium.
**Ptilocercus lowii**
Only one mounted specimen was available. In the Pen-tailed Tree Shrew (*Ptilocercus lowii*) the relationship of the rhinarium to the upper incisor teeth and alveolar process is similar to that in *Tupaia* (Le Gros Clark, 1926) and apart from a greater degree of elongation of the bony snout in the Pen-tailed Tree Shrew the two species are very similar as regards the general morphology of the head.
**Limnogale**
One preserved specimen of *Limnogale* was examined. *Limnogale* is a true insectivore but unlike most of the Order it is an amphibian. This fact accounts for the modification observed in *Limnogale*. Instead of a sharp protruding snout there is a broad spatulate muzzle of considerable depth (Fig. 5). The rhinarium is much reduced in size and occupies a small area on the upper aspect of the muzzle. There is a narrow, grooved
Fig. 5. Limnogale
philtrum extending from the rhinarium down the muzzle and then across the shallow labial sulcus between the lip and the alveolar process. It thus forms a superior labial frenum before ending by passing between the divergent central incisor teeth to the incisive papilla. The bulging mass of the upper lip on either side of the philtrum is covered by hair-bearing skin while there is considerable development of the mystacial vibrissae over all the anterior part of the muzzle. The nares open upwards just cranial to the rhinarium.
**Potomogale**
Only illustrations of *Potomogale* were available (Dobson, 1882) but to judge by these the snout is similar to that of *Limnogale* although the rhinarial philtrum is apparently absent.
**European Hedgehog**
*(Erinaceus europeus)*
Three fresh dead specimens of Hedgehog were examined. The snout protrudes in front of the upper incisor teeth more than in the Tree Shrews and *Limnogale*. The rhinarium is a relatively large structure and is increased in size by convolution of the lateral narial borders (Fig. 6). There is a shallow groove starting in the infranarial region and extending
Fig. 6. European Hedgehog (Erinaceus europ.)
along the narrow, well-defined philtrum. At its oral end the philtrum divides completely, with each half passing into the alveolar process of the central incisor on that side. The incisive papilla lies midway between the two ridges of the divided philtrum. There is only a shallow sulcus on the lateral aspects of the lip and this is lost entirely where the philtrum is attached.
The upper central incisors are conical in shape and are much larger than the remaining incisors. As in almost all the Insectivores the canine teeth are much reduced in size.
When the skin and mucous membrane are dissected off the underside of the snout, the Orbicularis oris muscle is seen to form the bulk of the upper lip (Fig. 7). Anteriorly, the muscle passes forwards to the lateral aspects of the central snout cartilage but its fibres stop short of the area covered by the philtrum.
Tendons of the Zygomaticus major and minor muscles leave the anterior border of the Orbicularis oris muscle to pass forwards to the alar cartilage. A small muscle arises from the alveolar process of the central incisor and passes laterally into the Orbicularis oris muscle. This is probably the Depressor septi
Fig. 7. Hedgehog. Superficial tissues removed to show distribution of the musculature and the central cartilaginous framework of the snout.
Fig. 8. Gymnura
Fig. 9. European Mole (Talpa europ.)
muscle of the related *Myogale* (Dobson, 1882).
The nasal cartilage is firmly attached to the bony part of the snout and is capable of only limited movement.
**Gymnura**
One dried specimen of *Gymnura* was available (Fig. 8). It bears a strong resemblance, as regards the snout, to the closely related Hedgehog although the lateral convolutions of the rhinarium are more pronounced.
**European Mole**
(*Talpa europeus*)
Three fresh specimens of European Mole were examined (Fig. 9). The snout is longer than that of the Hedgehog but is more massive than that of the Common Shrew (Fig. 10). The rhinarium is limited to a disc-like area reminiscent of that in the Pig but the hairy lip does not fuse in the midline underneath the snout as does that of the Pig. When the lip is reflected, a shallow groove, devoid of hair, is revealed separating the hair-bearing portions of the lip anteriorly. The two halves of the lip diverge as they approach the teeth and a triangular area of naked mucosa is formed bounded by the teeth and the margins
of the lip. Within this triangle there is a fringe of mucous membrane forming what seems to be an inner lip. Anterior to the fringe are two slightly raised ridges of mucosa stretching anteriorly. The teeth are quite unlike those of the other Insectivores, with small conical incisors of equal size and large canines. This pattern is more akin to the carnivorous arrangement and in fact the Mole is partly carnivorous. It also differs from the other Insectivores in having almost no vibrissae and only rudimentary visual apparatus.
**Common Shrew**
*(Sorex vulgaris)*
Six fresh dead specimens of Common Shrew and one of the Water Shrew *(Neomys)* were examined, together with dried specimens of several other species. The Common Shrew can be taken as the type specimen. The rhinarium is situated at the tip of a long, flexible snout which is well supplied with vibrissae (Fig. 10). The extent of the rhinarial skin is less than in the Hedgehog but extends laterally to a greater degree than in the Mole.
Fig. 10. Common Shrew (Sorex vulgaris)
Fig. 11. Common Shrew. Transverse section through part of the superior labial frenum showing its relationship to the lip and central incisors. x32.
As in the Mole, the hair-bearing skin extends onto the underside of the snout and the two halves of the lip are separated by a shallow groove. When the snout is reflected upwards, however, the inner aspect of the lip is quite different. The central incisors are large, hook-shaped teeth with two cusps, arranged antero-posteriorly. Arising from the alveolar process between the central incisors, which are almost contacting each other, there is a superior labial frenum. It passes upwards and forwards to end just behind the junction of the hairy skin of the lip. It is a thin, translucent sheet of membrane, in fresh specimens, and appears to act as a ligament limiting upward displacement of the snout.
In order to examine the fragile superior labial frenum, two specimens were fixed, sectioned transversely parallel to the palatal surface and stained (Fig. 11). The frenum contains a loose mass of collagenous fibrous tissue running antero-posteriorly, with fibroblasts scattered through this mass. Elastic or muscle tissue was not found within the frenum in either specimen. The musculature of the lip is well defined and forms a band of muscle which crosses the midline with only a slight interruption of the fibres in the midline.
Tenrec
(Centetes ecaudatus)
Only dried specimens were available. The elongation of the snout together with the distribution of hairy skin and rhinarium resemble the appearance of the Common Shrew.
Macroscelididae
Only dried specimens were available. The Macroscelididae have a relatively enormous proboscis, hence the name "Elephant Shrews" is given to some species. Unfortunately it was not possible to determine the relationship of the tissues on the underside of the snout due to damaging of the skins. According to Osman Hill (1948) the distribution of the rhinarium is not unlike that of the Hedgehog with a long, grooved philtrum present on the underside of the proboscis.
MYRMECOPHAGOUS SPECIES
Myrmecophagous species all show extreme specialisation of the jaws including a considerable reduction in the number of teeth present and defects in the structure of the teeth, such as hypoplastic enamel. The incisors are particularly affected and are usually absent or much reduced in number. Several species have a rhinarium but in most species this has been replaced by hair-bearing skin. Dried or mounted specimens were the only material available.
Aard-Vark
(Orycteropus)
The Aard-Vark shows elongation of both the upper and lower jaws and has the long extensile tongue characteristic of the myrmecophagous species (Fig. 12). The rhinarium has been completely replaced by skin which is covered with short, thick tufts of hair.
Great Ant Eater
(Myrmecophaga jubata)
The Great Ant Eater possesses the most extreme specialisation of the myrmecophagous feeding mechanisms. Both the upper and lower jaws have become greatly elongated to give a narrow tube-like appearance.
Fig. 12. Aard-Vark (Orycteropus). Mounted specimen, Royal Scottish Museum.
Fig. 13. Pangolin (Manis) Mounted specimen, Royal Scottish Museum.
The presence or absence of rhinarial skin at the anterior end of this extension is not known. The tongue is capable of being protruded to a relatively enormous length.
**Pangolin**
*(Manis)*
Elongation of the snout is not a marked feature of the Pangolins (Fig. 13), but, despite the apparent absence of rhinarial tissue on the mounted specimen shown, Osman Hill (1948) states that there is a rim of rhinarial skin on both the upper and lower lips. The remaining skin of the snout is hairless but is of a tough, thick type.
CARNIVOROUS SPECIES
Carnivorous species are almost all found in one Order, the Carnivores, and there is relatively little variation of the snout and lips. Consideration of the Carnivores is therefore limited to a detailed examination of a few species and brief comments on several others. The more readily available Carnivores are discussed first.
Domestic Cat
(Felis domesticus)
Three fresh dead specimens were examined and dissected. There is strong similarity of the snout features of all the Cat family and the Domestic Cat may be regarded as a type specimen. There is much less rhinarial skin than in the other terrestrial Carnivores. It is present around the nostrils and in a narrow philtrum in the shape of a "T" (Fig. 14). The sagittal midline groove extends from the internarial region down to notch the border of the lip. The Cat has a well developed vibrissal system.
Within the mouth the dentition shows complete adaptation to the carnivorous pattern. Anteriorly the labial sulcus is shallow but the entire upper lip and the
Fig. 14. Domestic Cat (Felis dom.)
Fig. 15. Cat, showing distribution of musculature on the inner aspect of the lip.
nares are flexible, mobile structures. There is no bulging or ridging of the sulcus suggestive of a frenum.
When the mucosa over the roots of the anterior teeth is incised and reflected upwards as far as the lip margin (Fig. 15) it is found that a fibrous ligament extends from the alveolar process upwards and outwards to the edge of the lip. Arising from this ligament is a paired muscle which curves upwards and laterally to mingle with the Orbicularis oris muscle and then the vibrissal musculature. This muscle is analogous to the Incisivus superioris muscle of the higher Primates. The central portion of the lip deep to the philtrum is almost devoid of muscle. Deep to the Incisivus superioris muscle is a smaller muscle extending upwards to the underside of the snout. This is analogous to the Depressor septi nasi muscle of the higher Primates.
On the lateral aspects of the upper lip the bulky vibrissal musculature (M. Maxillo-naso-labialis and M. Naso-labialis) forms the main substance and, together with the vibrissal insertions, accounts for the characteristic bulging of the upper lip. By partial
contraction of these muscles the Cat can erect the vibrissae. Further contraction raises the lip as in snarling.
**Domestic Dog**
*(Canis domesticus)*
Two distinct types of snout are found in Dogs. Most breeds of domestic Dog have a long snout but a few have a receding snout. Four specimens of a long-snouted breed (Greyhound) and one specimen of a recessive-snouted type (Bulldog) were examined.
**Greyhound**
There is an extensive rhinarium occupying the anterior portion of the snout (Fig. 16). It protrudes slightly in front of the upper incisor teeth. The upper lip extends across between the rhinarium and the oral mucosa as a narrow hair-covered strip interrupted only by the midline sagittal groove. When put under lateral tension this groove is seen to be a shallow one, devoid of hair. The mystacial vibrissae are much reduced in number compared to the Cat and the two halves of the upper lip are thin, flabby structures easily reflected upwards to expose the teeth. When this is done (Fig. 17), a superior labial frenum can be seen extending from high
Fig. 16. Dog (Canis dom.) Greyhound.
Fig. 17. Greyhound. Upper lip reflected.
Fig. 18. Greyhound, showing distribution of the infranarial musculature.
Fig. 19. Bulldog, showing inner aspect of the lip.
up on the alveolar process above the incisors upwards and outwards to the inner aspect of the lip where the reflection of the mucosa onto the floor of the sulcus begins. Along the anterior border of the frenum there is a narrow raised portion and on each side there is a secondary, smaller fold of mucosa.
After the mucosa is incised and reflected off the alveolar process (Fig. 18), the frenum is seen to be a muscular structure except for the anterior raised edge which is composed of a fibrous ligament extending from the premaxilla to the underside of the nasal cartilage. Arising from this ligament and also from the bony rim of the pyriform fossa is the Incisivus superioris muscle which extends upwards and outwards, with the superficial fibres crossing the floor of the sulcus to intermingle with the Orbicularis oris muscle. The deeper fibres become attached to the alae of the nasal cartilage and appear to be analagous to the Nasalis muscle of the Strepsirhine Primates (Lightoller, 1934). Deep to the Incisivus superioris and Nasalis muscles is another muscle arising from the rim of the pyriform fossa to pass to the underside of the central body of nasal cartilage. This resembles the Depressor septi nasi
muscle of the Primates. Its distal edge is lateral to the Incisivus superioris muscle and forms the secondary fold observed on the side of the frenum.
The Orbicularis oris muscle forms a small group of fibres extending across the midline of the lip but it is widely fanned out across the cheek where the fibres intermingle with the rib-like tendons of the vibrissal musculature. The infranarial musculature of the Dog does not appear to be described in standard textbooks of anatomy (Sisson & Grossman, 1961).
**Bulldog**
The most striking feature of the specimen examined was the lack of mobility of the snout and its position relative to the lower jaw. The rhinarium is well behind the upper incisor teeth and is set back almost within the pyriform fossa. Inside the mouth (Fig. 19) there is almost complete absence of a superior labial frenum, with only a tiny fold of mucosa marking the midline. There are irregularities of the upper incisors, a feature common to this breed (Aitchison, 1963).
**Kinkajou**
*(Potos)*
One fresh dead specimen and one live specimen were examined. Superficially the Kinkajou bears a
Fig. 20. Kinkajou (Potos)
Fig. 21. Kinkajou, showing musculature on the inner aspect of the lip.
certain resemblance to the Dog but lacks the prominence of the rhinarium and mobility of the snout cartilage of the long-snouted breeds (Fig. 20). It has only a few vibrissae and a very narrow, hair-covered upper lip between the rhinarium and the oral mucosa. There is also a shallow midline sagittal groove down the lip.
Within the mouth, there is a shallow labial sulcus with a slight bulge on the inner aspect of the lip at the midline. On dissection (Fig. 21) it was found that there is a double strand of fibrous tissue passing between the alveolar process and the edge of the lip and this strand causes the bulging of the labial sulcus. The Incisivus superioris muscle arises partly from the alveolar process and partly from the central fibrous strands although this last group of fibres could be considered as part of the Orbicularis oris.
**Coatimundi**
*(Nasua)*
Two fresh specimens were examined and dissected. The Coati is an aberrant Carnivore with excessive elongation of the cartilaginous portion of the snout (Fig. 22). This flexible extension carries a very large rhinarium with the narial openings and anterior
Fig. 22. Coatimundi (Nasua). Young specimen with permanent upper canine teeth not yet erupted.
Fig. 23. Coati-mundi, showing dissection of the underside of the snout.
rhinarial surface facing obliquely downwards. On the underside of the snout the hairy lip extends over the whole surface without any midline groove or philtrum. Vibrissae are only present in a few scattered groups.
The dentition is of interest since the carnivorous central incisors have been replaced by teeth more spatulate in shape. The two young specimens examined both had large, unerupted, upper canine teeth and the molars had a quadrate shape more typical of insectivorous molars. The diet of the Coati includes not only flesh but also insects and fruit.
There is almost no labial sulcus in the Coati and no evidence of a frenum. When the hairy skin on the underside of the snout is reflected back (Fig. 23) the distribution of the Orbicularis oris muscle is reminiscent of that in the Hedgehog although fibres decussate across the midline in the Coati. The cartilaginous extension supporting the snout is also reminiscent of that in the Hedgehog.
**Other Species**
Several carnivorous species show specialisation related to an amphibious or aquatic existence. The
Otter (*Lutra*) has a deep spatulate muzzle with a much reduced rhinarium situated near the upper aspect of the muzzle. There is no philtrum or sagittal groove present. The Pinnepedia have little or no rhinarial skin and have slit-like valvular nostrils on top of a hair-covered muzzle. A sagittal groove is present, however, and the vibrissae are even more hypertrophied than in the Otter. The Badger (*Meles*) and Raccoon (*Procyon*) also lack a central groove although both have a large rhinarium.
The remaining Carnivores appear to bear a fairly close resemblance to one or other of the species described. The great majority have a prominent rhinarium resembling that of the Dog together with a similar type of hair-covered upper lip. There appears to be a variable depth of labial sulcus as far as can be ascertained from available material. Vibrissae are usually present, being much reduced only in the Bears. One variation observed in the Sloth Bear (*Melursus*) by Pocock (1914b) appears to be unique among the Carnivores and consists of an enlarged mobile rhinarium, which forms the central part of the upper lip, and a protruding, mobile lower lip. The Sloth Bear has a specialised diet of insects and honey.
HERBIVOROUS SPECIES
The members of several Orders are included in the herbivores. These Orders are the Artiodactyla, Perissodactyla, Sirenia, Rodentia and Lagomorpha.
Artiodactyla and Perissodactyla
Variations of the snout and upper lip in these two Orders may be grouped into two divisions. In the first group, upper incisors have been lost and are replaced by a hard pad of fibrous connective tissue covered by mucosa. There is almost no sulcus between the anterior border of this chewing pad and the edge of the upper lip. The lip itself is firmly attached to the underlying bone and is not mobile to any extent. In the second group, a wide variety of feeding mechanisms have been evolved. In some species both the upper and lower lips play an important part while in others it is the snout itself which is predominant.
Ruminants
Artiodactyles showing the first type of arrangement form a fairly closely related series, the ruminants (Tragulidae, Bovidae and Cervidae). In the species to be described, examination of live or fresh dead
specimens has been made wherever possible but use has been made of mounted specimens for photographic purposes. The principal variation observed in the snout structures of the ruminants is the amount of rhinarium present. Accordingly, the common variations are, for convenience, divided into four classes and only a brief description is given of a type species for each class.
In the first group, the rhinarium is very broad and extends orally to form the central part of the lip without lateral contraction. The portion at the edge of the lip is therefore almost as broad as the transnarial portion. The Musk Deer (Moschus moschiferous) is typical (Fig. 24) and also the Chevrotains (Tragulidae). All the species with this pattern of rhinarium have upper canine teeth and lack horns or antlers. They are also the species showing the lowest level of general development among the ruminants.
In the second group there has been some lateral encroachment of hair-bearing skin on the rhinarium, thus producing a broad philtrum. The lip portion of the rhinarium is therefore more narrow than the transnarial portion. The Swamp Deer (Cervis duvauceli) has this arrangement (Fig. 25) as do many
Fig. 24. Musk Deer (Moschus moschiferous). Mounted specimen, Royal Scottish Museum.
Fig. 25. Swamp Deer (Cervis duvauceli). Mounted specimen, Royal Scottish Museum.
Fig. 26. Springbuck (Antidorcas marsupialis). Mounted specimen, Royal Scottish Museum.
Fig. 27. Hartebeest (Bubalis cama). Mounted specimen, Royal Scottish Museum.
Fig. 28. Addax (Addax nasomaculatus). Mounted specimen, Royal Scottish Museum.
Fig. 29. Camel (Camelus bactrianus). Mounted specimen, Royal Scottish Museum.
of the Cervidae. The Ox (Bos) is also included in this group.
In the third group, the rhinarial philtrum is reduced to a narrow sagittal strip and the rhinarial skin around and between the nares is also diminished to give a "T" shaped distribution as in the Springbuck (Antidorcas marsupialis) (Fig. 26). Almost all the Gazelles (Gazellae) and all the Sheep (Ovidae) show this arrangement. Variations may occur, e.g. Hartebeest (Bubalis cama), (Fig. 27) where the area around the nares is lost, leaving a central zone only.
In the fourth and final group, the rhinarial skin is reduced to a small patch between the nares as in the Addax (Addax nasomaculatus) (Fig. 28) or forms such a slight labial extension of the oral mucosa, as in the Reindeer (Rangifer), that it is virtually absent, thus giving a complete hair-covered snout and upper lip.
Another variation found in the ruminants is the amount of protrusion of the upper jaw in front of the lower jaw. This protrusion may be a massive one as in the North American Mosse (Wapiti) but most of ruminants have an arrangement similar to the Ox where the lower jaw extends almost as far forwards as the upper jaw and the snout has a broad flat anterior
surface, enabling the lower incisor teeth to be used in cropping herbage at ground level. The lower lip appears to play little part in the feeding process and the tongue is the chief means of drawing food into the mouth (Hafez, 1962).
Other Variations in the Jaws of
Artiodactyles and Perissodactyles
Other variations of the jaws in these Orders are roughly those where the lips are important functional organs and those where the snout is predominant, becoming of increased importance in the location and seizure of food.
Development of the Lips
Horse
(Equus)
The most familiar example of a species showing development of the lips as important functional organs is the Horse. The nares are proximal to the most anterior part of the muzzle so that the upper and lower lips are the first part of the head to come into contact with an object under investigation. Tactile sensitivity of the lips in the Horse is therefore highly developed and the lips themselves are capable of a wide range of movement including protrusion. In association with this increased lip activity there are relatively deep labial sulci separating the lips from the alveolar process supporting the teeth. Despite a comment by Sisson and Grossmann (1961) that frena
are present in the Horse, no evidence to support this could be found in six live specimens examined.
Externally the rhinarium has disappeared entirely and the snout is covered by skin with fine short hairs scattered over it.
**Okapi and Giraffe**
*(Okapia and Giraffa)*
The Okapi also shows hypertrophy of the lips but still has a narrow rim of rhinarial skin around the nares which, as in the Horse, are placed proximal to the lips. This process is carried a stage further in the Giraffe where the rhinarial skin has been lost entirely, the nares are well behind the lips and the lips themselves are relatively very large, resembling saucer-like projections. They are also highly mobile prehensile organs.
**Llama and Camel**
*(Lama and Camelus)*
As in the Giraffe the nostrils are proximally placed (Fig. 29) and in these species are also reduced to slit-like openings. The lips are again very mobile and this capacity for movement is enhanced by the upper lip being partly divided in the midline.
During the prehension of food the two halves can be brought together to aid in this process.
**Development of the Snout**
**Tapir and Elephant**
*(Tapirus* and *Elephas)*
Rhinarial skin is present around the external nares on the short proboscis of the Tapir. According to Osman Hill (1948), on the underside of the proboscis there is a centrally grooved philtrum which widens gradually as it extends towards the mouth. In the Elephant, however, the rhinarial tissue is restricted to a narrow rim around each nostril and the underside of the proboscis is completely covered in hairy skin. Boyd (1933) states that there is still a rudimentary upper lip in the Elephant despite hypertrophy of the snout. The lower lip has become adapted so that it can approximate the two halves and seize food passed back by the proboscis.
**Pig**
*(Sus)*
In the Pig the rhinarium is confined to a disc-like area on the tip of the snout (Fig. 30). The rhinarial
Fig. 30. Pig (Sus dom.)
Fig. 31. Pig. Upper lip reflected to show superior labial frenum.
skin is attached fairly firmly to the underlying Os rostri but the upper lip is a loose, flexible structure easily lifted to show the teeth. The central part of the lip narrows down to a thin strip separating the rhinarium from the oral mucosa but it is covered in fine hairs. When the lip is reflected upwards (Fig. 31) it shows the central incisor teeth and, extending between them, a large superior labial frenum which is soft and flexible.
Dissection established that the Orbicularis oris muscle occupies the lateral edges of the lip but towards the central portion it becomes mingled with a mass of loose fibrous and fatty tissue and appears to decussate with the opposing fibres across the midline. Two of the frena which were relatively the same size in all four specimens examined, were fixed and sectioned. This showed that it is composed of a dense mass of fibrous tissue running antero-posteriorly (Fig. 32) with small mucous glands scattered throughout this mass. A few elastic fibres can be found towards the deeper, more central, part of the frenum. No muscular tissue could be identified.
Fig. 32. Pig. Transverse section through frenum showing elastic fibres. Verhoeff's elastic tissue stain, x80.
Fig. 33. Rat (Rattus)
Other Herbivorous Species
Sirenia
The American Manatee (Manatus amer.) has been described by Murie (1880). The muzzle is blunt and rounded, forming a massive bulging snout which completely overhangs the lower jaw. This mass is covered with fine hairs except on the anterior surface on the upper lip where there are many short vibrissae. The Manatee has lost the rhinarium entirely and almost all the teeth as well. It is unusual in having an upper lip which is the sole means of gathering food. The upper lip consists of two highly mobile halves which can be brought together to seize the water weeds forming its diet. The lip then carries them into the mouth.
Rodents
Despite the large number of species in this Order there is only a limited range of variation of the snout and upper lip (Pocock, 1926). The Rat (Rattus) is therefore described as a type species for the Order.
Rat
The rhinarium is not so extensive as in, for example, the Dog and there is only a very shallow central sagittal
groove of the lip (Fig. 33). The hair-covered lip extends mesially to separate the rhinarium from the mouth but it is bound down to the alveolar process with a consequent absence of labial sulcus anteriorly.
There are numerous long vibrissae over the anterior surface of the lip. The lip edges curve upwards as they approach the midline thus exposing the large central incisor teeth. Dissection of two specimens established that the Orbicularis oris does not decussate across the midline but is attached to the thick fibrous raphe underlying the philtrum. The vibrissal musculature is a prominent feature of the lateral aspects of the lip.
**Lagomorphs**
The Lagomorphs all appear to have a lip arrangement similar to that in the Rabbit (*Oryctolagus*). Superficially (Fig. 34), there is almost no rhinarial skin visible and only on close inspection is it possible to see a slight rim at the mesial aspect of each nostril. The upper lip is well supplied with long vibrissae.
When the upper lip is stretched laterally (Fig. 35) the two halves of the lip can be readily separated.
Fig. 34. Rabbit (Oryctolagus)
Fig. 35. Rabbit, showing split upper lip and the distribution of the underlying musculature.
Deep to the lip there is a layer of mucosa covering the alveolar process above the teeth. This sheet is reflected off the alveolar process and onto the inner aspect of the lip just above the distal edge of the central incisor. The central portion of mucous membrane is only loosely attached and can be readily moved. On each side of the septum there is a small mass composed of folds of rhinarial skin, first described by Osman Hill (1948). The free mesial borders of the lip have a fold of mucous membrane running from the upper aspect of the free edge to each side of the nasal septum.
When the superficial tissues are dissected off (Fig. 35) it is found that this fold of membrane covers a strand of muscle which extends up to the septum. This strand is part of the terminal portion of the Quadratus labii superioris muscle (Young, 1957). A deeper part of the muscle continues horizontally across the midline to decussate with the fibres of the other side. The insertions of the vibrissae form the bulk of the lateral bulges of the upper lip and are activated by the Orbicularis oris and Quadratus labii superioris muscles.
OMNIVOROUS SPECIES
Omnivorous species are found almost entirely in one Order, the Primates. Some of the lower Primates are insectivorous rather than omnivorous but it is convenient to group them with the other Primates. The principal divisions of the Order (Osman Hill, 1953) are based on the relationship of the rhinarium and philtrum to the upper lip. In the Strepsirhine or lower Primates there is persistence of the philtrum, with the upper lip thus being interrupted in the midline and bound down to the alveolar process. In the Haplorhine or higher Primates there is no rhinarial skin and the upper lip forms an unbroken, hair-covered strip which can be reflected away from the alveolar process due to the presence of a deep labial sulcus.
Strepsirhine Primates
Osman Hill's (1953) theory of classification is followed (Fig. 36).
Demidoff's Galago
(Hemigalago demidoffii)
One fresh specimen was examined (Fig. 37). Demidoff's Galago differs slightly from most of the
Fig. 36. Theory of classification of the Strepsirhine Primates. Redrawn from W. C. Osman Hill's "Primates". Vol. 1, 1953.
Fig. 37. Demidoff's Galago (Hemigalago demidoffii).
Fig. 38. Moholi Galago (Galago senegalensis moholi).
Fig. 39. Moholi Galago. Transverse section of upper lip. The superficial midline vertical groove is at the top of the field. The transverse muscle fibres form a narrow band with vertical fibres, superficial to this band, on either side of the midline. x32.
other Lorisoids in having a more prominent snout.
There is a large rhinarium with an elongated philtrum which broadens gradually as it approaches the rhinarium. A sagittal groove extends along the philtrum. The upper lip is firmly tethered to the alveolar process with a consequent absence of labial sulcus in the midline. The philtrum ends at the small incisive papilla situated in the diastema between the small, conical, central incisor teeth. Sectioning of the lip in a transverse plane shows that there is a fibrous raphe underlying the philtrum with muscle fibres arising from either side of the raphe and extending distally.
Moholi Galago
(Galago senegalensis moholi)
One fresh dead and two live specimens were examined. In the Moholi Galago the philtrum is absent (Fig. 38) and the lip is divided only by a shallow midline groove which is a continuation of the internarial groove. The lip is firmly attached to the alveolar process with absence of a labial sulcus anteriorly.
When the specimen was sectioned transversely (Fig. 39) muscle fibres are found extending across the
midline while some decussate with those from the other side. Superficial to these fibres, on either side of the midline are a few groups of vertically placed muscle fibres, cut transversely.
**Slow Loris**
*(Nycticebus)*
One fresh postmortem specimen was examined (Fig. 40). The large rhinarium extends orally as a wedge of tissue before narrowing into a true philtrum. The philtrum extends palatally as far as the incisive papilla but unlike previous species the lip can be reflected partially, due to the presence of a short superior labial frenum. This frenum is formed by the palatal extension of the philtrum and the sagittal groove continues into the frenum giving a double strand of tissue. The small central incisors are much closer together than in previous species.
Transverse sectioning shows that the frenum does not contain muscle fibres, only a loose mass of fibrous connective tissue, running antero-posteriorly. A section taken above the level of the frenum shows the central, hair-free, philtral region (Fig. 41), with a few scattered transverse muscle fibres, cut longitudinally, lying deep to it. Deep to these muscle strands, the
Fig. 40. Slow Loris (Nycticebus)
Fig. 41. Slow Loris. Transverse section of upper lip. Centre of lip is slightly to the left of the field. The central wedge of dense fibrous tissue extends superficially towards the surface of the lip and only a few transverse muscle fibres can be traced across the midline. x32.
central part of the lip is occupied mainly by a dense mass of fibrous tissue.
**Lemurs**
According to Osman Hill (1953), Mouse Lemurs (Cheirogaleinae) and Lemurs (Lemurinae) all have a well-developed, grooved philtrum which binds down the upper lip and there is apparently no superior labial frenum. The snout tends to be more protruded and in the Lemurs is not unlike that of a long-snouted Dog.
The Aye-Aye (Daubentonia) is quite different from the Lemurs in that it has large, rodent-like, central incisors. Osman Hill (1953) states that it has a narrow, much reduced rhinarium with a thin philtrum which ends as a short superior labial frenum passing between the central incisors. Some eversion of the lip is said to be possible.
**Indris**
(Propithecus diadema)
One wet-preserved foetal specimen was examined together with three dried specimens. The main variation between the foetal and the dried specimens was the absence of teeth in the foetus. In the adult animal the central incisors are large, spatulate teeth very nearly in contact at their mesio-incisal edges.
Superficially, although the Indris still has a rhinarium and philtrum, these are very much reduced in extent. The profile and general facial appearance resemble those of the Haplorhine Primates rather than the Lemurs and there is a greater degree of differentiation of the lip musculature. Consequently, a wider range of lip movement is possible (Osman Hill, 1953). A short superior labial frenum is said to be present.
Haplorhine Primates
Man should be placed with the Haplorhine or higher Primates but in view of the uniformity of the findings in the Haplorhines and the uniqueness of the human variations he is considered separately.
Tarsier
(Tarsius)
One wet-preserved specimen was examined. The Tarsier alone among the Haplorhines still has a narrow rim of rhinarial skin around the nares (Fig. 42). Apart from this region, however, hair-covered skin extends over all the snout and upper lip. The upper lip has no philtrum or groove to indicate the midline and there is no notching of the edge of the lip. There is a deep labial sulcus, but in the one specimen available there did not appear to be a superior labial frenum. Pocock (1918) and Osman Hill (1955) both state that a small frenum is found high up in the sulcus. This may have been lacking in the specimen examined due to distortion of the tissues after many years in preserving fluid. Lightoller (1934) states that the level of muscular development of the upper lip in the Tarsier is much the same as in the Lemurs.
Fig. 42. Tarsier (Tarsius)
Fig. 43. Tufted Marmoset (Hapale jacchus)
Fig. 44. Tufted Marmoset. Transverse section of upper lip. Superficial surface at the top of the field. The frenum occupies the lower, more central area. Transverse fibres of the Orbicularis oris muscle form a well-defined band crossing the midline without interruption. The fibres of the Incisivus superioris muscle within the frenum extend towards the Orbicularis oris fibres. x32.
Tufted Marmoset
(Hapale jacchus)
One fresh dead specimen was examined. The profile of the Tufted Marmoset is typically Haplorhine (Fig. 43). The nostrils are surrounded by an area of dark skin with only a scanty distribution of hairs but this is not moist rhinarial tissue. The upper lip is still a flat, thin structure with just a suggestion of a vertical indentation at the midline but no real groove.
When the upper lip is reflected (Fig. 43), a small superior labial frenum is visible arising from the alveolar process above the central incisors and passing outwards to the inner aspect of the lip. On sectioning in a transverse plane (Fig. 44) some muscular tissue can be identified within the frenum. This is probably the Incisivus superioris muscle (Lightoller, 1934).
The Orbicularis oris muscle is still a relatively feeble structure.
Spot Nose Monkey
(Cercopithecus nictans)
One fresh dead specimen was examined (Fig. 45). The narial openings are reduced to slit-like apertures. Superficially, there is a deep upper lip, giving a
Fig. 45. Spot Nose Monkey (Cercopithecus nictans)
Fig. 46. Spot Nose Monkey, showing the attachment of the Incisivus superioris muscle to the fibrous portion of the superior labial frenum.
bulbous appearance to the mouth. There is complete absence of any central groove. Inside the mouth the incisors show only partial progression towards the typical Haplorhine distribution of four spatulate incisors grouped together in contact with each other.
There is a small, thin, superior labial frenum and when the mucosa is removed (Fig. 46) the frenum is seen to be composed of a central fibrous ligament arising from the edge of the pyriform fossa and extending upwards and outwards to the lip. From this ligament arises the paired Incisivus superioris muscle which curves laterally to mingle with the Orbicularis oris. This latter muscle is much reduced in size where it crosses the central part of the lip.
**Baboon**
*(Papio)*
Two wet-preserved specimens of young animals were examined (Fig. 47). The Baboon has the most protruding snout among the Haplorhines, with the exception of the aberrant Proboscis Monkey *(Nasalis)*. The anterior part of the snout is covered in tough, almost hairless skin of a darker colour than the rest of the muzzle.
Fig. 47. Baboon (Papio). Young specimen, with deciduous dentition still present.
Fig. 48. Baboon, showing muscle attachments to the alveolar bone.
When the lip is reflected (Fig. 48) a flattened superior labial frenum is visible extending down the alveolar process as a wedge-shaped swelling. After the mucosa is reflected it is found that the most anterior portion of the frenum is formed by a fibrous raphe arising from the alveolar process and extending up to the anterior border of the nasal cartilage. The Incisivus superioris muscle takes origin from the raphe and partly also from the alveolar process. It then curves laterally to mingle with the Orbicularis oris. When the Incisivus superioris muscle is dissected away from its origin a few fibres are found passing up to the underside of the nasal cartilage. This is the Depressor septi nasi muscle (Lightoller, 1928). The Orbicularis oris is a relatively bulky structure occupying the greater part of the lip and forming a thick, continuous band around the periphery.
**Other Haplorhine Species**
Single specimens of Macaque (*Macaca*) and Grivet Monkey (*Cercopithecus*) were examined and dissected. The general distribution of muscles appears to conform closely to that of the Baboon. Intra-oral examination
of the two live, young specimens of Chimpanzee (*Pan*) and Orang Utan (*Pongo*) suggests that they too may have a similar pattern. This is confirmed by Lightoller's (1928) descriptions of dissections. It would appear therefore that there is considerable similarity of the features of the upper lip in the Haplorhines and the main variation is in the level of muscular development achieved.
The detailed anatomy of most of the structures forming the human upper lip has been well documented (Lightoller, 1925; Cunningham, 1964; Gray, 1964) and the present investigation is limited to consideration of morphological variations found in Man alone among the Haplorhine Primates. These variations include a fibrous superior labial frenum, the so-called philtrum, with its two flanking vertical ridges, the vermillion border of the lip and the labial tubercle.
**Superior Labial Frenum**
In most adults the superior labial frenum consists of a small fold of mucosa high up in the labial sulcus. This is not the case in infants, however, (Fig. 49) in whom the frenum is relatively much more prominent. It frequently notches the crest of the alveolar ridge as it passes back to end at the incisive papilla. At its junction with the lip it becomes a broad, fanshaped structure.
During the eruption of first the deciduous and then the permanent incisor teeth there is vertical development of the alveolar process but not the frenum, so that it usually becomes less prominent. A space between the
Fig. 49. Human infant, lip reflected to show large superior labial frenum.
Fig. 50. Human adult, showing persistence of a large thick frenum in association with a midline space between the central incisor teeth. An epithelial tag is clearly visible on the alveolar process where the frenum is attached.
upper central incisors is often found in association with the frenum up to the age of 12 - 13 years. With the eruption of the upper permanent canine teeth and continuing vertical development of the alveolar process the space closes in most instances and the frenum recedes still further up the alveolar process. However, this sequence of development is not always found. One variation is the persistence of a large thick frenum which may prevent the lip being reflected upwards (Fig. 50). The individual, in this instance, also has a bulbous tag of tissue where the free edge of the frenum enters the alveolar process. A similar but smaller tag is occasionally found on the free edge of the frenum where it enters the lip. Crowley (1956) has investigated these tags and states that they are composed of a core of vascular fibrous tissue of varying density plus a covering of normal stratified squamous epithelium. A few specimens show a duct-like structure suggestive of a rudimentary salivary gland. He estimates that they are found in approximately one out of every five adults. Another type of variation found occasionally is a frenum with a sagittal groove, thus giving a double-strand effect (Fig. 51).
Fig. 51. Human adult, double-stranded frenum, attached low down on alveolar process.
Fig. 52. Human adult, dissection to show the muscular distribution relative to the central bony ridge.
The mucous membrane was reflected off the alveolar process and inner aspect of the lip in three stillborn and three adult specimens. Although the small, vertically placed muscles attached to the bone were difficult to define in the infants they were clearly visible in the adults (Fig. 52). The central zone of the alveolar process is devoid of muscle although Virchow (1924) has described a single instance of an unpaired, centrally attached muscle - the Nasalis impar - in a Negro. The flat, thin sheet of fibres arising from the alveolar process on each side of the midline is composed of two muscles. The mesial fibres, which pass deep to the Orbicularis oris muscle, are part of the Nasalis muscle complex and form the Depressor septi nasi muscle (Gray, 1964). The distally attached fibres curve laterally to mingle with the Orbicularis oris. They form the Incisivus superioris muscle which is now considered to be part of the bony attachment of the Orbicularis oris (Gray, 1964).
Frena from the dissected specimens and from four other foetal specimens were next examined histologically (Fig. 53). The muscle of the lip does not invade the frenum. Between the muscle fibres and the frenum
Fig. 53. Human adult. Transverse section through superior labial frenum. Superficial surface at the top of the field. No muscle fibres visible.
Fig. 54. Human foetus at 17 weeks. Transverse section of upper lip. The midline, with beginnings of a philtral groove, is slightly to the left. The central region deep to the philtrum is devoid of muscle in front of the well-defined transverse fibres of the Orbicularis oris muscle.
there is a zone of loose, vascular, connective tissue.
Within the frenum, the fibrous tissue is oriented antero-posteriorly along its long axis. No elastic fibres could be found in any of the specimens when a specific stain was used.
**Philtrum and Paramedian Eminences**
The name "philtrum", as applied to the fine median sagittal groove on the human upper lip, is incorrect since there is no rhinarial tissue present and Boyd (1933) has suggested that the term "abortive philtrum" be used. However, as the name "philtrum" is widely applied to the human it is accepted in this investigation. The philtrum in most individuals is barely detectable and resembles a fine vertical scar in the centre of the upper lip. It is made less obvious by the presence of two, slightly divergent, vertical ridges lateral to the philtrum. These ridges, which end at the vermilion border, are called the paramedian eminences (Monie and Cacciatore, 1962).
Transverse sections of the upper lip of a foetus at the 17th week (Fig. 54) show that the paramedian eminences are present even at this early stage. The philtrum is just detectable as a slight groove in the midline. The fibres
of the Orbicularis oris muscle are well defined.
Superficial to these fibres but deep to the paramedian eminences are a few, vertically placed, muscle strands, cut transversely. The central zone immediately deep to the philtrum is almost devoid of these last fibres.
Monie and Cacciatore (1962) have studied the development of the philtrum and paramedian eminences. They have shown that the philtral groove deepens during the later prenatal phase and there is a condensation of the connective tissue deep to it. There is only slight development of the superficial vertical muscle fibres deep to the paramedian eminences during this time but in the adult they are much more obvious. Some fibres of the Orbicularis oris muscle are found in the late foetal and adult specimens crossing the midline without interruption and entering the paramedian eminence of the other side.
**Vermilion Border and Labial Tubercle**
The vermilion border of the lip is composed of modified mucous membrane very similar to the oral mucosa and, while Man alone among the Primates has such an extensive membranous border of the lip, Duckworth (1910) has shown that several other species approach
Fig. 55. Human foetus at 17 weeks showing labial tubercle portion of the vermilion border.
Fig. 56. Human infant 7 days after birth, showing thickened pad of epithelium on the labial tubercle.
the human in this respect. The "Cupid's bow" appearance of the upper lip is most marked in infants and there is a definite change in the morphology of the upper lip during the second year of postnatal life.
The part of the vermilion border known as the labial tubercle is already obvious in a foetus at the 17th week (Fig. 55), and forms a well-defined central swelling separated from the lateral portions of the lip by shallow antero-posterior grooves. In the suckling infant (Fig. 56), the tubercle may become enlarged due to the formation of a thick layer of stratified squamous epithelium. The thickened pad of skin and the grooves separating the tubercle from the rest of the vermilion border tend to disappear spontaneously when the suckling phase is over (Dannenberg, Leider and Bass, 1958) although a partially defined tubercle may persist in individuals with a full everted type of upper lip. It is this loss of the labial tubercle which produces the change in the shape of the lip in the infant during the second year.
The combination of vermilion border, philtrum and paramedian eminences give Man a shape of upper lip quite unlike the relatively flat upper lips of the rest of the
Haplorhine Primates. However, before discussing the implications of these distinctive features, it is necessary to consider the development of the upper lip in mammals generally and thus achieve a better understanding of the factors involved.
DISCUSSION
INSECTIVOROUS SPECIES
Feeding Mechanisms
The first problem is to try to establish what was the arrangement of the snout structures in the early, unspecialised, placental mammals. If this can be done, then it will be possible to determine the patterns of evolutionary changes which have taken place.
There is agreement that the early placental mammals were small, generalised, insectivorous creatures (Lull, 1948). Modern Insectivores bear the greatest resemblance to these early mammals but among present day species it is possible to distinguish obvious specialisations of the snout and thus to eliminate some species from the possibility of having retained the primitive arrangement. Two such groups are the Macroscelididae and the amphibians *Limnogale* and *Potomogale*. The proboscis of the Macroscelididae presents obvious advantages in the location of prey but is clearly an extreme development of a feature common to most of the Insectivores. Similarly, the adoption of an amphibious mode of life is accompanied
by specialised adaptations suitable to this environment. Both *Limnogale* and *Potomogale* show a pattern of snout development which is found in other amphibious species such as the Otter and the Seals. The broad muzzle is covered with vibrissae highly specialised for detecting objects in the water and even changes in the water pressure (Huber, 1930). The nares are situated on top of the muzzle and the rhinarium is much reduced in extent since its tactile function has been largely taken over by the vibrissae.
If there has been a persistence of the primitive snout pattern it must therefore be sought among the other Insectivores, although they too may show specialisations and it is possible that none of the existing species may show the early mammalian arrangement.
The remaining Insectivores show two main types of snout. In most species it takes the form of a cartilage-supported extension in front of the upper incisor teeth, with the rhinarium situated at the tip of the snout and a variable amount of philtrum linking the rhinarial mucosa to the oral mucosa. The other form of snout is found only in the Tree Shrews in whom the rhinarium is situated directly above the upper
incisors. It extends orally, without obvious lateral contraction, to form a large part of the upper lip.
It seems reasonable to conclude that the early mammals either possessed an elongated, cartilage-supported snout or a shorter, mainly bone-supported structure. Since the majority of existing Insectivores have the protruding type of snout it seems at first sight that this is more likely to be the primitive arrangement. There is at least one argument in favour of this view. The Tree Shrews are so near the Primates in some respects that several authorities (Simpson, 1945; Le Gros Clark, 1959) place them with the Primates rather than with the Insectivores. Wood Jones (1929) has pointed out that one of the features of Primate development is the tendency to regression of the snout beneath the skull instead of being in front of it. Tree Shrews would seem to have advanced some distance along this path. However, an important distinction is that it is the bony structures of the snout to which Wood Jones is referring and in fact the protrusion of the bony nasal complex in the Tree Shrews is no less, relatively, than in other Insectivores such as the Hedgehog. The elongation of the snout in the Hedgehog
is due to the cartilaginous extension.
As regards the olfactory part of the brain, Le Gros Clark (1924b) states that there is some regression in *Tupaia* compared to other Insectivores and the visual part of the brain in *Tupaia* shows an advance on that of the other Insectivores. The Tree Shrews, therefore, may have lost some degree of olfactory sensitivity, although Negus (1956) points out that they still have a very efficient olfactory apparatus. An alternative possibility to be kept in mind is that the other surviving Insectivores show a high degree of specialisation of the olfactory mechanisms and that only the Tree Shrews have retained the primitive level of olfactory sensitivity.
Systematic studies of several features of the snout have been undertaken by previous workers. These studies have established what was probably the pattern of the rhinarial markings, facial vibrissae and facial musculature in the early mammals.
Osman Hill (1948) considers that the rhinarium is an important tactile mechanism and that the pattern of markings on the rhinarium - the rhinoglyphics - can be used as an aid in classification. He has shown that the
simplest variation is found in the Opossum (*Didelphys*) among marsupial mammals and the Tree Shrews among placental mammals. However, all the other Insectivores have relatively simple rhinoglyphic markings.
Pocock (1914a) has established that a definite ground plan of the facial vibrissae exists. Where vibrissae are reduced or absent the species tends to be a higher derivative type. Among existing mammals which still retain a full complement of all the groups of facial vibrissae are the Opossum and the Tree Shrews.
Huber (1930), after investigating many species of mammals, has concluded that there is also a basic ground plan for the facial musculature. This plan is common to marsupial and placental mammals. Le Gros Clark (1924a) has established that the musculature in *Tupaia* varies from that in the other Insectivores but both from Huber's text and from his diagram of a theoretical early mammalian head (Fig. 57), it appears Huber takes the view that an elongated, flexible snout was not a feature of the early mammals. He also considers that the musculature of the upper lip was very feeble in the central portion and was bound down to the underlying bone in the midline. When the appearance of the Tree Shrews
Fig. 57. Diagram of theoretical primitive mammalian head, redrawn from E. Huber's "Evolution of the Facial Musculature", Quart. Rev. Biol. (1930) V: 113 and 389.
Fig. 58. Opossum (Didelphys). Mounted specimen, Royal Scottish Museum.
and the Opossum (Fig. 58) is considered it can be seen that, while the Tree Shrew certainly bears more resemblance to Huber's concept than do the other Insectivores, the Opossum head is even more akin to the theoretical mammalian head.
**Tree Shrews and Opossum**
The evidence provided by the different anatomical structures suggests that, although the Tree Shrews show definite specialisations, it is at least possible that they may be nearer than the other Insectivores to the primitive pattern by not having an elongated, mobile snout. The Opossum shows many generalised features and is considered to be the most primitive of the marsupial mammals. Simpson (1935) states that it has probably changed very little since the Cretaceous period. The Opossum is similar to the Tree Shrews in not having an elongated snout and also in its general resemblance to Huber's theoretical mammal. It is argued therefore that, while the Tree Shrews' specialisations raise some doubts as to the primitiveness of their particular snout pattern, the appearance of the Opossum is strong support for the view that the Tree Shrews alone among the Insectivores have retained something like the basic mammalian arrangement.
If this hypothesis is accepted then the variations found in the existing Insectivores can be satisfactorily explained.
Le Gros Clark (1959) considers that in adopting a terrestrial existence most of the Insectivores have developed considerable specialisation, as the price paid for survival. Olfaction and tactile sensation become of increased importance to nocturnal, terrestrial species and the development of an elongated, mobile snout is of assistance in this process. The amphibious species have followed a different evolutionary path and have developed a deep muzzle covered by vibrissae which replace the rhinarial tactile apparatus.
Snout specialisations of the existing Insectivores may be due principally to a change in their environment since their diet has remained insectivorous in most instances. The adoption of an amphibious, terrestrial or fossorial way of life induces specialisations while the partly arboreal, diurnal existence of the Tree Shrews has permitted the retention of a more generalised sensory dependence. Hence the Tree Shrews may resemble the early mammals, as regards the snout, more closely than do the other Insectivores while the Opossum may be even nearer the primitive pattern.
Upper Lip
It is suggested that the primitive mammalian upper lip had a broad central portion of rhinarial mucosa extending down to the oral mucosa with only a limited contraction to form a broad philtrum. There would therefore have been no labial sulcus in the midline. As the cartilaginous portion of the snout becomes more elongated a stage is reached, as in the Hedgehog, where the rhinarium is some distance away from the oral mucosa and there is only a strip of rhinarial tissue persisting as a narrow philtrum. The hair-bearing skin extends mesially to separate the rhinarial mucosa from the mouth. In some species, e.g. the Soricidae, the hair-bearing skin of the lip forms an almost unbroken strip, possibly to give greater flexibility of the snout by elimination of the inelastic rhinarial tissue. Muscle accompanies the hairy skin in its mesial migration.
The same process is seen in the amphibious species. In *Limnogale* the rhinarium has moved up the deep muzzle leaving only a thin philtrum separating the two halves of the lip. In *Potomogale* even the philtrum appears to be lost giving an unbroken, hairy, upper lip. It is argued therefore that Boyd's (1933) hypothesis
concerning development of the mammalian upper lip is supported by the findings of the present study concerning the Insectivores.
**Superior Labial Frenum**
A superior labial frenum was found in several species of Insectivore. In *Limnogale* the frenum appears to be the extension of the philtrum as it goes palatally to pass between the divergent central incisor teeth. This supports the view of Bolk (1921) and Boyd (1933) that the superior labial frenum is part of the philtrum. In the Common Shrew, however, the problem is whether the frenum also represents the vestiges of the now overlaid philtrum or whether it could be a primary structure developed to assist in limiting movement of the flexible snout. It seems reasonable to conclude that the superior labial frenum in the Common Shrew is probably a remnant of the rhinarial extension to the mouth.
Discussion on this group is limited by lack of information on certain aspects such as the presence or absence of a labial sulcus. Nevertheless, despite the extreme specialisation of the jaws found in some of the species, it is possible to deduce some of the evolutionary factors which may be involved.
Simpson (1945) considers that the myrmecophagous species arose from proto-Insectivores. Their diet is still basically insectivorous although adapted to a very limited range of insects, mainly of the termite variety. A snout bearing a large rhinarium would seem to be vulnerable to possible damage by the insects and the feeding mechanisms may be partly a protective development. In the case of the Aard-Vark the nares are protected by thick tufts of hair on the upper lip and snout. Although the Pangolins still have rhinarial skin present the method of picking up the termites by a long extensible tongue may solve the problem of not bringing the snout into contact with the food source.
The Great Ant Eater shows the most extreme degree of specialisation. The lower jaw is capable of very little
movement and the sticky elongated tongue carries the insects up into the tube-like mouth where they are passed back into the oesophagus without being broken up by molar teeth.
CARNIVOROUS SPECIES
Feeding Mechanisms
Carnivores show a limited range of variation of the lip and snout structures particularly among the terrestrial species. Only the Coati mundi shows any striking difference in snout pattern and to some extent in the dentition with its spatulate central incisors and four-cusped molars capable of a grinding action. The Coati mundi in fact has a partially insectivorous diet which accounts for the aberrant secondary development of a mobile snout. Unlike the Hedgehog there is no philtrum or midline sagittal groove but the Orbicularis oris muscle distribution is reminiscent of that in the Insectivores. The muscle extends across the midline but, as in the Hedgehog, it is concerned in movement of the snout.
Most of the Carnivores have an acute sense of smell and the most highly developed olfactory mechanism among mammals is found in the Dog (Negus, 1956). The rhinarium is usually large and most species have a well developed vibrissal system. Flesh is torn off the prey and swallowed without mastication therefore the upper lip is involved very little in the actual feeding process and serves predominantly to carry the vibrissae. The
amphibious Carnivores show typical adaptation to their environment with reduction or loss of the rhinarial tissue. The Cat family, although still possessing a keen sense of smell, hunt more by sight than do most of the Carnivores.
**Upper Lip**
The Carnivores show an almost uniform level of separation of the rhinarium from the oral mucosa and in having a narrow hair-covered upper lip, usually with a shallow, midline, sagittal groove, devoid of hair but not forming a true philtrum. In the Coatimundi, Badger and Raccoon the central groove has been lost completely. The lip musculature is usually concerned with vibrissal movement and is otherwise poorly developed.
**Superior Labial Frenum**
Most species lack a clearly defined labial sulcus, e.g. Cats, and even where a sulcus is present there may be no evidence of a superior labial frenum e.g. Coatimundi. It is only in the Dog that a true frenum is found and this is composed of muscle and not connective tissue. Development of this structure appears to be associated with hypertrophy of the olfactory apparatus. Study of live specimens suggests that only a very limited movement of
the central part of the nares is possible and that the rhinarium is not usually brought into contact with an object under investigation. The animal gives a series of short sniffs, drawing air inwards to the extensive olfactory mucosa. The musculature in the infranarial region may assist in this process by partly closing the airway, thus helping to retain the odour. It is probable that the rhinarial skin serves to moisten the air and thus aid olfaction (Negus, 1956). The absence of a superior labial frenum in the Bulldog is almost certainly associated with the recessive position of the rhinarium and the firm attachment of the snout to the underlying bony structures.
HERBIVOROUS SPECIES
Feeding Mechanisms
The type of food available to the herbivores is much more varied than that of carnivores and therefore there is much greater variation of feeding mechanisms. One factor influencing the structure of the jaws is whether the animal is a grazer or a browser. In the grazers, e.g. the domestic Ox, the lower incisors are brought into contact with herbage on the ground and they assist in tearing and cutting the vegetation. To achieve this the upper jaw must be relatively square at its anterior aspect and the lower jaw must protrude as much as the upper jaw. In the browsers, e.g. the North American Moose, the food is composed of leaves of bushes or young trees and an overhanging upper jaw is not a disadvantage.
Another factor is the environment of a species. Where a species inhabits an area with mixed vegetation it tends to be selective and in this process the rhinarium is of importance (Hafez, 1962). If, however, food has to be sought in a rocky environment e.g. the Sheep, the upper lip may require the protection of hair-bearing skin and the animal will crop as closely as possible. Where conditions are climatically unfavourable, a large moist
rhinarium may be a disadvantage as in arid desert conditions e.g. the Gazelles, or in regions with prolonged snow e.g. the Reindeer.
The ruminants Tragulidae, Cervidae and Bovidae form a relatively unified group as regards snout and lip pattern. It is among the other herbivores that the greatest variations of the lips and snout are found. In a few species the lips take on a much greater share of functional activity and act both as a source of tactile sensation and as the principal means of drawing herbage into the mouth. The nares are situated well behind the lips in these instances. The Horse, Llama and Camel are examples of this process. The Okapi is interesting in that it retains a rim of rhinarial tissue around the nares, whereas in the Giraffe this has been completely lost. A midline split of the upper lip permits greater activity of the two separate portions. This process is partly seen in the Camel but it reaches an extreme degree of specialisation in the two lip pads of the Manatee by means of which the animal browses on underwater vegetation.
The split upper lip of the Lagomorphs shows complete separation of the two halves, at least superficially.
This split, however, does not seem to be concerned with food gathering but has a double function. The rhinarium is much reduced in the Lagomorphs and the mystacial vibrissae are particularly prominent. The mobile muscular upper lip activates these vibrissae which extend on to the anterior surface of the lip. Furthermore, the lip also plays a part in preventing dust entering the airway while the animal is underground. It acts by constantly applying a downward pull to the paired membranes on the inner aspect of the lip surface. These membranes, with their underlying muscles, assist in the repeated twitching of the nostrils characteristic of the Lagomorphs.
Among species showing excessive development of the snout, the Tapir is a browsing animal and its short proboscis serves as a tactile organ. In the Elephant, however, the highly mobile proboscis is both a tactile organ and a food gathering mechanism. The snout in the Pig is also a highly specialised organ capable of being thrust with considerable force into the earth in the search for roots and grubs. In all these animals the upper lip can still be identified but the lip musculature has become modified to assist in the snout action.
In the rodents, it is the central incisor teeth which
are the chief food gathering mechanisms. The upper lip, although almost completely separating the much reduced rhinarium from the oral mucosa, is still primarily a vehicle for the vibrissae which are a prominent feature. The lip is bound down in the midline to the underlying bone.
**Upper Lip**
Encroachment of the lateral hair-bearing skin on the centrally placed rhinarium is clearly seen in the ruminants. It is of interest that the large rhinarium tends to be found in the more primitive species such as the Chevrotains and Musk Deer. The Ox is exceptional in retaining such a large rhinarial area. Only a few species e.g. Reindeer have a complete, hair-bearing upper lip. Most of the ruminants show a philtrum of varying width.
Despite the tremendous contrasts in the snout structures of the other herbivorous species, various stages of encroachment of hairy lip on rhinarial skin can be identified. The Tapir still has a narrow philtrum of rhinarial skin on the underside of its proboscis but in the Elephant the encroachment is complete and the proboscis is completely covered in hair-bearing skin except for a narrow rim of rhinarial tissue around the nares. The Pig
also has a continuous hairy upper lip although this is modified by the enlargement of the snout.
By and large, where there is a considerable degree of specialisation of the feeding apparatus e.g. Pig, Horse, Giraffe, a hair-bearing upper lip, even although modified, forms a continuous strip separating the nares from the mouth.
**Superior Labial Frenum**
A superior labial frenum is found in only two of the herbivorous mammals. In the Pig it is a thick fibrous mass which appears to tether the loose layer of fat and muscle on the underside of the snout. Histological examination of the frenum tends to confirm the view that it is simply a restraining, ligamentous type of structure.
In the Lagomorphs it seems likely that the fibrous paired ligament running from the inner surface of each portion of lip to the septum represents a persistence of the rhinarial philtrum which has become modified for the specialised function of assisting in movement of the nostrils.
OMNIVOROUS SPECIES
Strepsirhine (Lower) Primates
Feeding Mechanisms
There is relatively little variation of the snout and lip structures among Strepsirhine Primates (Lorises, Lemurs, Indris and Aye-Aye) when compared to those of herbivorous species. All the Strepsirhines have a rhinarium and an upper lip which shows a varying amount of central philtrum or groove. Most species are partly insectivorous but may include leaves, fruit, eggs or even small birds in their diet (Osman Hill, 1953). Although the upper canine teeth are enlarged there is a tendency to reduction in size and number of upper incisors. A central diastema between the teeth is common. Only the Aye-Aye, with rodent-like incisors suitable for gnawing trees to obtain grubs and the Indris, which has spatulate central incisors and a frugivorous diet, show any striking dental variations. The anterior limbs are used to assist in eating by seizing food and carrying it to the mouth. Most active species possess vibrissae but these are much reduced in the slow-moving Lorises.
Upper Lip
The upper lip in the Strepsirhines is a feeble structure not capable of movement beyond a raising of the
lip to expose the canines. It is bound down firmly in the midline. The exception seems to be the Indris in whom an increased level of muscular development is achieved together with a definite increase in the range of possible movement (Osman Hill, 1953).
Le Gros Clark (1924a, 1959) argues that the Tree Shrews should be placed with the Strepsirhine Primates rather than the Insectivores. Although this has not been done in the present investigation the undoubted close relationship of the Tree Shrews to the Strepsirhines suggests that the different types of lip arrangement observed in the Strepsirhine Primates may be looked on as a progressive enclosure of the large rhinarium of the Tree Shrews by the lateral hair-bearing portions of the lip. In Demidoff's Galago and the Lemurs there is still a narrow philtrum. In the Slow Loris the rhinarium, at its lower border, forms a wedge of tissue before narrowing into a philtrum proper. In the Moholi Galago the philtrum is lost entirely, leaving only a shallow sagittal groove beneath which muscle fibres cross the midline. Although this last stage is among the most advanced to be found in the Strepsirhine Primates the
Moholi Galago does not have any labial sulcus in the central region of the upper lip and movement is limited. It is only in the Indris that any notable advance in this direction occurs and the Indris has partial separation of the upper lip from the alveolar process. It therefore has the nearest approach among the Strepsirhines to a Haplorhine type of snout and upper lip.
**Superior Labial Frenum**
Of the species examined, only the Slow Loris has a superior labial frenum. This is formed by a very short grooved extension of the philtrum as it extends palatally to end at the incisive papilla. The frenum is composed of fibrous connective tissue running in an antero-posterior direction and does not contain muscle fibres. As was mentioned earlier, the Indris and Aye-Aye are also said to have a superior labial frenum.
HAPLORHINE PRIMATES
Feeding Mechanisms
There is considerable uniformity of lip and snout structures in Haplorhine Primates. The rhinarium, except for a vestigial strip in the Tarsier, is completely replaced and vibrissae are much reduced or absent. The nares are situated proximal to the lips in most species except the Baboon. The development of a protruding snout is therefore exceptional. The Proboscis Monkey (Nasalis) has a unique variation of sexual rather than functional importance.
The sense of smell becomes of steadily decreasing importance in the higher Primates compared to the Strepsirhine Primates and the Tarsier. At the same time, the lips in the higher Primates become of greater functional importance. This increased activity is partly associated with use of the lips in mastication e.g. the Chimpanzee. They are also of importance in tactile sensation, despite increased use of the hands for this purpose. The third functional development of the lips is one unique to the higher Primates. This is the extensive use of movements of the face as a means of communication. Whereas in the Lemurs only slight movements of the eyes or ears are possible, a much wider range is achieved by
some of the Haplorhine Primates. The lower Haplorhines, e.g. Marmoset, are restricted to up and down "chattering" movements of the lips and jaws. In the more advanced species many different lip movements, including eversion of the lips, are possible. Three which are particularly common are pouting, exposure of the teeth and rhythmic up and down movements of the lips (Zuckerman, 1933). The Pithecoids are also capable of smacking the lips together during grooming or sexual activities.
Much of this increased lip activity is achieved by the development of the lip muscles such as Orbicularis oris (Lightoller, 1928) but also by the vibrissal musculature which becomes modified to assist in facial movements following loss of the vibrissae (Huber, 1930).
The incisor teeth, except in the Tarsier, are of the spatulate type and in adult specimens are always grouped close together without a central diastema but with lateral spaces between the second incisors and the canine teeth to accommodate the lower canine teeth in occlusion.
**Upper Lip**
All the Haplorhines have a similar lip pattern in that the lip is a continuous strip, of varying depth, not
interrupted by a philtrum or groove. A deep labial sulcus is found in all species. This is correlated with increased use of the lips.
The Haplorhine Primates have presumably descended from a series of early Primates who showed some of the stages of lip formation observed in the present day Strepsirhines. Even the Tarsier, which is much the most primitive of the Haplorhines, has an intact upper lip. This suggests that, in the Haplorhine stem, lip development must have been very early.
**Superior Labial Frenum**
It has been shown that the superior labial frenum in the Haplorhines is essentially a muscular structure. The development of a centrally attached group of muscles is associated with the wide range of lip movements which can be achieved by the more advanced Haplorhines, in particular eversion of the upper lip. There is some variation in relative size of the frenum in the Haplorhines. In the lower species it is a thin strand of tissue due to the poor development of the muscles but in the Baboon and other more advanced species it is a flatter, more broadly attached, structure. This reflects the increased size and importance of the underlying musculature.
CONCLUSIONS CONCERNING FEEDING MECHANISMS
IN THE PLACENTAL MAMMALS
It is convenient, before discussing the variations found in Man, to summarise the main changes which have occurred in the snout and lip structures in placental mammals. It is argued that the primitive mammalian snout may have been something like that of the Opossum or the Tree Shrews and the early mammals may have had a generalised dependence on all the sensory receptor mechanisms of the head.
In most of the insectivorous species there has been a forward movement of the rhinarium on an elongation of the cartilaginous portion of the snout. This gives an extended, mobile, tactile organ which is particularly useful in a nocturnal, terrestrial existence. The dentition remains relatively primitive but some tendency to a carnivorous type can be found in a few species which have a more generalised diet. The amphibious Insectivores have evolved a deep, spatulate muzzle, covered with long vibrissae, typical of amphibians in other orders.
In myrmecophagous species the elongation of both the upper and lower jaws and the development of a
specialised, prehensile tongue are extreme specialisations of an aberrant group and are associated with the limited nature of the diet.
Carnivorous species have retained a simple structural pattern and a relatively generalised dependence on the various receptor mechanisms of the head. There are certain specialisations, e.g. olfactory development in the Dog, but extreme variations are the exception.
Among the herbivores, the ruminants all have a roughly similar arrangement with variation being confined mainly to size of the rhinarium. In contrast to the relatively simple pattern observed in the ruminants many of the other herbivores show great variations of the feeding mechanisms. These variations can be divided into three main groups. In the first, the snout becomes the predominant factor and serves both as a tactile organ and a food gathering mechanism, e.g. Elephant. In the second, the lips have taken over these functions with a consequent regression of the snout, e.g. Horse. In the third group, the central incisor teeth predominate in food gathering and the rhinarium and vibrissae are the principle tactile receptors, e.g. Rat.
Omnivorous species do not show wide variation of
feeding mechanisms although a gradually increasing dependence on the limbs in assisting the feeding process is evident. Within the lower Primates, a range of variation of the snout and lip from something like that of the Tree Shrews to that of a Haplorhine Primate can be found. Higher Primates all employ the lips as important feeding mechanisms, particularly the advanced Primates, who have also developed the lips as a means of communication.
**Rhinarium**
The rhinarium is an important tactile sensory mechanism closely associated with the oral mucosa in many lower mammals. It probably also has a secondary olfactory function in bringing odours into solution and thus aiding in the recognition of the odour. Where it is partly or wholly replaced there is a transference of its main function to another sensory mechanism, in some instances the vibrissae, in some the lips and in others the limbs. As a general rule, where there is considerable specialisation of the snout structures, the rhinarium tends to be reduced or absent.
**Upper Lip**
A basic pattern of phylogenic lip development in
mammals has been suggested by Boyd (1933). He has described a steadily progressive encroachment of hair-bearing skin from the lateral aspects of the upper lip onto the centrally placed rhinarium. The rhinarial philtrum undergoes a progressive lateral contraction until it eventually disappears, to be replaced by a completely hair-covered upper lip. This hypothesis is supported by the evidence of the present investigation. Within the insectivorous species, almost the whole range of phylogenic development can be traced and, in other groups, some or all of the stages can be identified. Even in those species showing considerable specialisation of the snout and lips the hypothesis remains valid, although considerable modifications may have occurred.
The upper lip is a rudimentary structure in most lower mammals but in a few instances it has become adapted to take over the functions of the rhinarium and vibrissae and to assist to a large extent in feeding. In the more advanced Primates an additional function of communication by means of facial expressions has also been developed. As a general rule, there does not appear to be muscle underlying the rhinarium or philtrum and lip
musculature tends to be confined to beneath hair-bearing skin only. The extent of upper lip activity in mammals is related to the level of complexity of the musculature and the degree of separation of the upper lip from the alveolar process.
**Superior Labial Frenum**
Only a few lower mammals possess a superior labial frenum. In the Common Shrew it is a fibrous, ligamentous structure, probably serving as a means of limiting snout movement. In the Pig it performs a similar type of function in tethering the mass of loose fibrous tissue and skin on the underside of the snout while in the Lagomorphs it may assist in maintaining a free airway. In lower Primates possessing a frenum it is an extension of the rhinarial philtrum and its presence allows some movement of the upper lip. In the Dog and the Haplorhine Primates, however, the frenum is a muscular structure associated, in the Dog, with the highly developed olfactory apparatus and, in the higher Primates, with greatly increased capacity for movement of the upper lip.
The superior labial frenum is found only where there is considerable reduction or loss of the rhinarial philtrum. It seems probable that where the frenum is fibrous in nature it is derived from the remains of the philtrum. The muscular frena observed appear to be examples of convergence.
DISCUSSION
The human upper lip differs from that of a typical Haplorhine Primate in having a superior labial frenum composed of fibrous tissue only, a sagittal midline groove flanked by two paramedian eminences, and a vermilion border. Since Man is also a Haplorhine Primate the reasons for these differences are most probably related to the contrasting behaviour of the upper lip in the human and the apes.
Superior Labial Frenum
Functionally, it seems unlikely that the human superior labial frenum is of importance, although Tait (1929) has suggested that it may tether the upper lip and thus minimise trauma to the lip during birth. This theory seems improbably since normal delivery is head first but it does recognise the fact that the frenum is much more prominent in the infant. Another possible explanation may be associated with suckling. Gunther (1956) has described an infant feeding problem known as "fighting at the breast". During suckling the upper lip is displaced upwards by the breast tissue until the lip covers the nostrils and cuts off the airway. The infant
stops suckling in order to breathe and gives the appearance of actively resisting attempts to feed it. The frenum, although not mentioned by Gunther as a factor, may play a part in limiting this upward displacement of the lip in suckling.
It has long been established that there can be considerable variation in the size of frenum in the adult and in its level of attachment to the alveolar process. This variation in size can be found whether the diastema between the central incisors has closed completely or not. This fact, together with the relatively frequent presence of irregularities in formation, such as the epithelial tags on the free edge of the frenum, supports Crowley's (1956) view that the human frenum is undergoing a process of degeneration. Le Gros Clark (1959) has pointed out that marked variation in a structure and anomalies in its formation are often found where regression is taking place.
The question arises therefore as to what the frenum represents. It is considered, on the evidence of this investigation, that the frenum forms the vestiges of the rhinarial philtrum, thus supporting the view of Bolk (1921). The human frenum is thus akin to the muscle-free superior labial frenum observed in the Slow Loris.
The explanation of the double-stranded frenum occasionally found in the human may be the persistence of a sagittal groove as in the Slow Loris.
The reason for the development of a muscular superior labial frenum in Haplorhine Primates other than Man is possibly associated with their habit of using the labial as well as the buccal sulcus as a temporary food store during mastication. The relative size of the Incisivus superioris muscle in advanced Haplorhines such as the Chimpanzee indicates that it is of importance in movement of the upper lip, unlike the feeble slips of the human Incisivus superioris and Depressor septi muscles.
**Philtrum and Paramedian Eminences**
The human philtrum has been shown to develop only after embryonic lip formation is complete and it is therefore not a line of fusion of the median fronto-nasal processes (Monie and Cacciatore, 1962). It is an open question whether the human philtrum represents a persistence of the sagittal midline groove found in many lower mammals or whether it is simply a vertical fold associated with the capacity of the human upper lip to contract laterally. The condensation of connective
tissue deep to the philtrum perhaps favours the former view.
The paramedian eminences are among the most distinctive features of the human upper lip compared to that of a Haplorhine Primate such as the Chimpanzee. In the adult human there are two groups of muscle fibres associated with these ridges, a series of vertically placed fibres beneath each eminence and also transverse fibres of the Orbicularis oris muscle which cross the midline and end in the ridge of the opposite side. Neither of these groups of fibres are nearly so well developed in the infant. This suggests that the development of paramedian eminences in Man is associated with the increased complexity of lip movements in facial expressions and in the production of speech sounds, rather than with infant suckling movements. The approximation of the two ridges towards each other is clearly seen during production of the "p", "b" and "o" sounds (Lightoller, 1925). It is considered therefore that the paramedian eminences are the result of increased differentiation of the human lip musculature and the much more complex patterns of behaviour achieved by Man, compared to other Haplorhine Primates.
Vermilion Border and Labial Tubercle
One argument, put forward by Lightoller (1925) and supported by Huber (1930), is that development of a vermilion border of the lip in Man is related to the transference to the hands of part of the activities of the lips in the advanced Primates. Since the hands have taken over the function of food gathering, the lips are no longer required to be powerful prehensile organs, such as are found in the Chimpanzee, and become modified. In this process of modification the Orbicularis oris muscle becomes differentiated into a pars marginalis and pars peripheralis, while the muscles retracting the lips become more predominant. This results in the edges of the lips being dragged outwards to expose the oral mucous membrane and this mucosa becomes slightly modified to form the vermilion border of the lips.
This development may well be the chief factor in the evolution of the vermilion border but another functional factor may also be involved. It is clear that, although the hands are the principal source of tactile sensitivity in the adult, the lips are still very important tactile receptor mechanisms in the infant (Gesell and Amatruda, 1945). Since this is so, the presence of an area of thin,
highly sensitive mucous membrane around the lips is advantageous and the vermilion border of the lips almost certainly helps to supply tactile information to the brain.
The labial tubercle, which is such a characteristic of the upper lip vermilion border in the human infant, appears to be part of the suckling mechanism. Presumably its contribution is to give greater mechanical advantage to the lip in bringing pressure to bear on the breast tissue. The thickened pad of epithelium often seen on the labial tubercle is probably a response to the increased friction involved in suckling.
CONCLUSIONS CONCERNING THE HUMAN UPPER LIP
The features of the upper lip which appear to be unique to Man among the Haplorhine Primates are an entirely fibrous superior labial frenum, a vertical midline groove and two vertical ridges, and a vermilion border. It is considered that the human superior labial frenum may represent the vestiges of the rhinarial philtrum of the lower mammals and that the frenum is undergoing a degenerative process. This degeneration explains the marked variation in size of the adult human frenum and anomalies in its structure.
The development of the two paramedian eminences is considered to be a response to the greater complexity of lip movement achieved by Man and to the needs of speech. The eminences are of importance in lateral contraction of the upper lip and in the production of certain sounds. The human philtrum may be a vertical fold associated with the movement of the paramedian eminences or it may represent the vertical groove seen in many lower mammals.
The vermilion border of the lip is probably evolved following a diminution of the need for the lips to be
prehensile organs. The lips become dragged outwards and the oral mucous membrane becomes exposed. It is also possible that the development of the vermilion border gives Man a much greater area of sensitive mucous membrane which acts as a tactile receptor mechanism.
GENERAL SUMMARY AND CONCLUSIONS
Initially, an investigation was made concerning the presence or absence of a superior labial frenum in several species of lower mammals in order to understand its possible significance in the human. It was evident, however, that the superior labial frenum cannot be studied in isolation from surrounding structures. Finally, therefore, a systematic survey has been made of the morphology and functions of the upper lip and its related structures in placental mammals.
Specimens examined included live, newly dead, wet-preserved, mounted and dried material. Species are divided, on the basis of their dietary habits, into insectivorous, myrmecophagous, carnivorous, herbivorous and omnivorous groups. This arrangement has been chosen because the structures being investigated are primarily concerned in feeding.
Each dietary grouping is considered in turn and various species are described. Material is illustrated by the use of photographs, half-tone drawings and photomicrographs. A gross dissection technique is used in most instances, but some small specimens have been fixed and sectioned.
With regard to the feeding mechanisms of the placental mammals it is argued that the early primitive mammals had a snout and upper lip structure resembling that of the present day Opossum and, to a lesser extent, the Tree Shrews.
Existing terrestrial insectivorous species, such as the Common Shrew, have tended to develop a specialised elongation of the cartilaginous portion of the snout. The amphibious, insectivorous species, such as *Limnogale*, have evolved a deep, broad muzzle covered with highly specialised vibrissae.
Carnivorous species have generally retained a simple structural pattern of the snout and extreme specialisation is found in only a few species such as the Coatimundi or the Seals.
Herbivorous species present much the greatest range of variation of the snout and upper lip structures. In the ruminants a relatively simple pattern has persisted. In some species, e.g. Pig, the snout becomes hypertrophied to form the main tactile organ and food gathering mechanism. In some, e.g. Horse, the lips have taken over these functions and the snout has undergone
regression. In the last group, e.g. Rat, the central incisor teeth predominate in food gathering and the primitive tactile receptor mechanisms of rhinarium and vibrissae are retained.
Omnivorous species do not show such a wide range of variation and the lower or Strepsirhine Primates have mostly not developed a snout and lip pattern much in advance of that of the Tree Shrews. The higher or Haplorhine species, however, have evolved an upper lip which has become a mobile structure, reaching an advanced level of muscular complexity in some instances. This is related to their use of the lips in feeding and as a means of communication.
When the findings are considered, the rhinarium in lower mammals is seen to be primarily a tactile receptor mechanism and where it is partly or wholly replaced this function may be transferred to another sensory mechanism such as the lips or the limbs.
There also appears to be a basic pattern of lip development in placental mammals. The simplest arrangement is seen in the Opossum and Tree Shrews where the rhinarium extends orally to form the central part of the upper lip. The musculature of the lateral
portions of the lip is feeble. Subsequent lip development involves the encroachment, on the central rhinarium, of the lateral hair-covered parts of the lip until the final stages are represented by species having a continuous, hair-covered lip and absence of the rhinarium. Only a few species, such as the Horse and the Haplorhine Primates, have achieved this level of development.
Accompanying this process is the separation of the upper lip from its attachment at the midline to the alveolar process, thus permitting greater movement of the lip.
Despite the very great differences in development of the snout and upper lip it is possible to support this hypothesis of lip development throughout the whole range of placental mammals. Those species showing the developmental pattern most clearly are the Insectivores, the Ruminants and the Strepsirhine Primates.
The superior labial frenum in lower mammals is rarely present and where it does occur it appears to serve differing functions in different species. In the Common Shrew and Pig it is a fibrous structure probably helping to stabilise the mobile portion of the snout. In the Dog it is a muscular structure acting on the mobile, cartilaginous snout probably as an aid in the highly
developed olfactory mechanism. In the Haplorhine Primates it is also muscular and in this instance appears to assist in the movements of the upper lip.
The human upper lip differs from that of other Haplorhine Primates in having a fibrous superior labial frenum, a vertical midline groove, paramedian eminences and a vermilion border. It is considered that the human superior labial frenum is a vestigial structure derived from the rhinarial philtrum and that it does not appear to have any functional significance. The midline groove, or so-called philtrum and the paramedian eminences, are probably developed as a response to the increased refinement and complexity of the oral musculature and the specialised use of the human lips in speech.
The development of a vermilion border of the lip in Man may be related to the retractors of the lips becoming more predominant than the contractors and hence some of the oral mucosa is exposed. However, there may be another functional factor involved and the exposure of the oral mucous membrane may be to provide a highly sensitive tactile surface in addition to the other tactile receptor mechanisms of the human.
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TRACING ALIENS: IDENTIFICATION OF INTRODUCED WATER FROGS IN BRITAIN BY MALE ADVERTISEMENT CALL CHARACTERISTICS
JULIA WYCHERLEY\(^1\), SIMON DORAN\(^2\) AND TREVOR J. C. BEEBEE\(^1\)
\(^1\)School of Biological Sciences, University of Sussex, Falmer, Brighton BN1 9QG, UK
\(^2\)Department of Physics, University of Surrey, Guildford, Surrey GU2 7XH, UK
We have used sound analysis of male advertisement calls in a study of seven introduced populations of water frogs in Britain. Discriminant analysis of call characters identified five types of water frog, notably *Rana lessonae*, *R. esculenta*, *R. ridibunda*, *R. bergeri* and *R. perezi*. *Rana epeirotica* and *R. shqiperica* were not detected. Typical LE (*lessonae*-*esculenta*) systems were found at two sites. *R. ridibunda* occurred alone at two sites and *R. esculenta* occurred alone at one site. The remaining two sites were more complex. One had *R. ridibunda*, *R. perezi* and *R. esculenta* while the seventh site had four taxa of water frog (*R. lessonae*, *R. bergeri*, *R. esculenta* and *R. perezi*). The value of call analysis for the identification of water frog populations is discussed.
**Key words:** alien species, call frequency, green frogs, oscillograms, *Rana*
INTRODUCTION
Until recently it was generally accepted that six species of amphibian are postglacial natives of the British Isles (Smith, 1951). None of the European water frogs were included on this native list, although these amphibians are common and widespread in mainland Europe. Water frogs are a complex group and their taxonomy has been widely studied during recent decades (Berger, 1973; Wijnands, 1977; Balletto *et al.*, 1986; Nevo & Filipucci, 1988; Sjögren, 1991; Sinsch & Eblenkamp, 1994; Santucci *et al.*, 1996). It is now clear that three forms of water frog occur over much of northern and central Europe. These are the pool frog (*Rana lessonae*), the marsh frog (*R. ridibunda*) and the edible frog (*R. esculenta*). Edible frogs are fertile hybrids of pool and marsh frogs and are maintained in mixed populations of one or both parent species by the process of hybridogenesis (Berger, 1977, 1983). Water frogs commonly occur as mixed populations of *R. lessonae* and *R. esculenta* ("LE systems"), or of *R. ridibunda* and *R. esculenta* ("RE systems"), because *R. esculenta* usually requires one of its parent species to be available for back crossing (Graf & Polls-Pelaz, 1989). Other water frogs occur in southern Europe, including *R. perezi* in Iberia, *R. bergeri* in Italy, and *R. epeirotica* and *R. shqiperica* in the Balkans. Some of these southern species also hybridize with *R. ridibunda*, and another hybridogenetic cross (*R. ridibunda* x *R. perezi*) has produced *R. grafi* in southern France. Because some water frogs are true species whereas others are fertile hybrids, we have used the term 'taxon' for each of the main forms listed above (Graf & Polls-Pelaz, 1989).
Although not previously considered native, there have been many records of water frogs in Britain since the early nineteenth century (Smith, 1951). Recently, evidence has accumulated that some populations of *R. lessonae* were probably true natives of eastern England (Gleed-Owen, 2000; Zeisset & Beebee, 2001; Wycherley *et al.*, 2002a), though these are now extinct. However, it is clear that the great majority of water frog populations in Britain were introduced by humans in recent times. These introductions started at least as early as 1837 (Wolley, 1847) and some are well documented. Thus there are detailed reports on the introduction of the edible frog into East Anglia (Boulenger, 1884a, 1884b; Dutt, 1906; Buckley, 1986) and an introduction of the marsh frog into Kent (Smith, 1939; Menzies, 1962; Lever, 1980).
Most introductions, however, have uncertain origins and even the species present are often unknown. Populations of introduced water frogs in this category certainly occur in Greater London, and in the counties of Kent, Surrey, Sussex, Essex, Norfolk, Hampshire, Herefordshire, Worcestershire, Somerset and Yorkshire. There may well be others. Snell (1983, 1984) reported water frogs on the Isle of Sheppey in Kent and at Birdbrook, London. Elsewhere, populations have become established west of London around Heathrow airport and Staines Reservoirs (K. Morgan, pers. com.), the River Longford, Barnes Nature Reserve (K. Morgan pers. com.), and to the east of London in the Lee Valley Navigation. Surrey has had many water frog introductions. Since 1903 Beambrook Nursery near Dorking has received repeated imports of water frogs from Belgium, Germany, France and Italy, and possibly elsewhere (Gillett, 1988). Another company near Redhill also imported many specimens for commercial purposes. Frogs escaped into local ponds and streams and have subsequently spread extensively. Other Surrey sites with water frog populations include Pyrford, Old Woking, the river Wey, the Royal Horticultural Society Gardens at Wisley, Burgh Heath, Ewell, Horley, Gatwick, Capel and Ewhurst (Wycherley & Anstis, 2001). *Rana ridibunda* has extended its range in both Kent and Sussex (Beebee & Griffiths, 2000), and there are certainly other water frog populations in both of these counties.
In East Anglia there are water frogs in Essex near Hadleigh Castle and Two Tree Island, at Witham, at West Mersea (J. Cranfield, pers. com.) and at Ardleigh near Colchester. In Norfolk there are two recent reports of water frog populations, one at Wolterton Hall near Itteringham, and a second, first mentioned by Buckley (1986), adjacent to the Steam Museum at Fornectt St Mary. Isolated water frog populations occur near Bramshill in Hampshire, Bodenham Moor in Herefordshire, Holt in Worcestershire (W. Watson, pers. com.), and at Shapwick Heath and West Sedgemoor in Somerset (D. Westbrook, pers. com. 1996). The most northerly reports of waterfrog populations are from Swinemoor Common and Hedon in Yorkshire (R. Atkinson, pers. com.).
Identification of the frogs in these introduced populations is important if we are to understand the origins of the invaders and their likely future spread in the UK. Although genetic analysis is possible (Zeisset & Beebee, 1998), this is time-consuming, expensive and, by necessity, laboratory-based. It is highly desirable to develop a quick, inexpensive and relatively easy methodology that can identify all types of frog occurring in mixed populations. This, in turn, should enable examination of numerous populations within a relatively short time-scale. In this paper, we demonstrate the application of sound frequency analysis to male advertisement calls and its value in determining the species composition of introduced water frog populations. With this approach it is not necessary to handle or even catch the frogs, and identification can be carried out using only a tape recorder and a personal computer. The use of this technique for identifying *R. lessonae*, *R. esculenta* and *R. ridibunda* has been demonstrated previously (Wycherley et al., 2001; Wycherley et al., 2002a).
**MATERIALS AND METHODS**
**DATA COLLECTION**
We obtained recordings of water frog advertisement calls from a selection of British sites during May and June 1999-2001 (Fig. 1). Several calls from each individual frog were recorded for analysis. The following list gives the site name, site location (as national grid reference), the numbers of frogs and calls \((x, y)\) analysed: Somerset Levels ST 424412 (5, 22); Bramshill, Hampshire SU 759614 (13, 34); Newdigate, Surrey TQ 226421 (14, 31); Romney, Kent TR 08 21 (5, 10); Sheppey, North Kent TQ 933697 and TQ 906685 (14, 34); Wisley, Surrey TQ 064585 (5, 29); Wolterton, Norfolk TG 166317 (9, 26). Recordings were made using a Sony Electronic Condenser Microphone ECM-BMS-957 and a Sony Professional Walkman WM-D6D. The PC program Cool Edit 96™ (Syntrillium Inc., Phoenix, AZ) was used in “record mode” to transfer short samples of sound from the original audiocassettes to a PC via a 16-bit sound card (Addonics, Freemont, CA). Individual sub-units (Wycherley et al., 2001; Wycherley et al., 2002a) were selected using the editing features of Cool Edit 96™ and transferred to the program IDL® (Interactive Data Language, Research Systems Inc., Boulder, CO), where they were analysed using a set of custom-written procedures. These procedures are available free of charge, together with instructions for use, from J. Wycherley (firstname.lastname@example.org).
We previously established a reference set of calls from *R. lessonae* (Germany), *R. esculenta* (France) and *R. ridibunda* (France). For each of these three taxa in turn we obtained several advertisement call repetitions from a number of individual frogs. (Wycherley et al., 2002b) The calls of additional European water frog species were obtained for reference comparison from a CD by Jean C. Roché: *Au pays des Grenouilles, Sittelle™* 1997. These additional calls were from *Rana bergeri* (northern Corsica), *Rana epeirotica* (southern Albania), *Rana perezi* (central Spain) and *Rana shgiperica* (Durrés, Albania).
**DATA ANALYSIS**
We selected several sub-units from each frog call and for each one obtained the Fourier transform (Wycherley et al., 2002b). For each principal peak in the Fourier transform we measured the peak frequency, peak width at half the maximum height, and relative amplitude as independent variables. Data from the multiple subunits of each call were averaged and these averages then used as data points (i.e. one datum point per variable per call) in subsequent analyses. The data set for each call was considered collectively as a ‘case’ (Wycherley et al.,
TABLE 1. Differentiation among seven taxa of water frog assessed by discriminant analyses. Calls used in the analysis were from *R. bergeri, R. epeirotica, R. perezi, R. shgiperica, R. ridibunda, R. lessonae* and *R. esculenta*.
| Discriminant Function | Eigenvalue | Canonical correlation | Wilks' lambda | $\chi^2$ | df | $P$ |
|-----------------------|------------|----------------------|---------------|---------|----|-----|
| 1 | 725.688 | 0.999 | 0.000 | 2522.36 | 70 | <0.0001 |
| 2 | 456.289 | 0.999 | 0.000 | 1916.22 | 54 | <0.0001 |
| 3 | 80.971 | 0.996 | 0.000 | 1352.69 | 40 | <0.0001 |
All data were tested for normality of distribution using the Shapiro-Wilks test in the Statistix7™ Analytical Software package. No transformations were necessary and we carried out further analyses as described below using the statistical program SPSS, Chicago.
We analysed each British population using discriminant analysis, initially with all the independent variables. However, the peak-width variable did not improve discrimination significantly and we therefore excluded it in the full analyses. There was therefore a maximum of 10 variables, each having up to five peaks and with a frequency and amplitude relative to the largest peak (Wycherley et al., 2002b). However, the number of peaks varied between species and where peaks were absent, zero values were entered for the associated variables. For each British site we included data from all frogs recorded using the classification methods in discriminatory analysis to determine how well call samples separated and could be assigned to a particular species. We compared the call frequency characteristics from each selected British water frog population with those of our reference populations of *R. ridibunda, R. lessonae* and *R. esculenta*. When we were unable to identify all the calls from a population by comparison with these three taxa, we also made comparisons with the further four water frogs on the Roché CD (see above). Seven taxa were therefore available as standards for comparison with British frogs. The “leave-one-out” method of classification (Wycherley et al., 2002b), which provided cross-validation of the success of the classifications, gave a further measure of the effectiveness of the analyses in differentiating water frogs.
In order to ensure that the unknown populations were assigned to the nearest reference taxon we subjected each data set, comprising data from the standards and the selected unknown population, to discriminant analysis using SPSS but only selected the standards for discrimination. The unknown cases are then marked as ‘ungrouped’ but their nearest group membership is predicted. In this way the probable composition of each British water frog population was determined.
RESULTS
SEPARATION OF REFERENCE VARIETIES
The call-data sets from seven taxa of water frog (*R. bergeri, R. epeirotica, R. perezi, R. shgiperica, R. ridibunda, R. lessonae* and *R. esculenta*) were pooled and subjected to discriminant analysis as described above. Canonical discriminant functions showed very significant separations and results from the first three functions are shown in Table 1. The classification success of the discriminant functions for each of these seven taxa was 100% in both the original grouped cases and the cross-validated grouped cases. The extent of separation among these reference frog calls is demonstrated in Fig. 2a. Clear separations were achieved using only the first three discriminant functions although seven functions were derived in the analysis. *Rana perezi* and *R. ridibunda* aligned particularly closely, but were nevertheless fully resolved. These standards were then used as references for the identification of British water frog populations.
IDENTIFICATION OF BRITISH WATER FROGS
The advertisement calls obtained from each British site were analysed as previously described and the resulting data were compared with those from the seven standards. By this means we allocated British frog calls to one or more of the reference taxa. In every analysis the standards showed 100% classification success for grouped cases and cross validations. The nearest group membership (to a standard) of each of the unknown British cases was predicted. This indicated the range of species present at each British site. We then examined the distribution of the ‘cases’ in each British population to see how well they clustered with the standards. The first three discriminant functions for each British population analysis were plotted and the results from each site are shown in Fig. 2b-h. A classification summary is provided in Table 2.
Discriminant analysis of calls recorded from the frogs at Bramshill (Fig. 2b) indicated the presence of a mixed *R. lessonae* and *R. esculenta* population (i.e. a LE system). Close affinity to both *R. lessonae* (23.5% of calls) and *R. esculenta* (70.4% of calls) was observed in the two dominant clusters, with a few samples more typical of *R. perezi*. At Newdigate (Fig. 2c), the calls separated into four main clusters, including *R. perezi* (13.5%), *R. bergeri* (16.3%), *R. lessonae* (35.5%) and *R. esculenta* (34.8%). This combination could never occur without human intervention, because two of these frogs (*R. perezi* and *R. bergeri*) have widely separated natural distributions in Europe. Frogs on Sheppey were discriminated into three types (Fig. 2d), allocated to *R. perezi* (36.6%), *R. ridibunda* (19.5%) and *R. esculenta*
FIG 2. (a) Separation of frog taxa by call frequency analysis. RB (solid circles), *R. bergeri*; Rep (solid squares), *R. epeirotica*; RP, (circles) *R. perezi*; RS (inverted triangles), *R. shgiperica*; RR (squares), *R. ridibunda*; RL (triangles), *R. lessonae*; RE (diamonds), *R. esculenta*. (b-h) Scatter plots of discriminant functions 1, 2 and 3 derived from British water frog calls. Species eliminated by initial analyses (*R. epeirotica* and *R. shgiperica*) were not included in these scatter plots. References (open circles): *R. bergeri*, *R. perezi*, *R. ridibunda*, *R. lessonae*, *R. esculenta*; sample population (filled circles): b, Bramshill, Hampshire; c, Newdigate, Surrey; d, North Kent (Sheppey); e, Romney, Kent; f, Somerset Levels (Shapwick); g, Wisley, Surrey; h, Wolterton, Norfolk.
R. esculenta, Somerset.
R. ridibunda, Wisley.
R. lessonae, Wolterton.
R. perezi, North Kent.
R. bergeri, Newdigate
FIG 3. Advertisement call oscillograms of the five water frog taxa identified in Britain.
(43.9%). This is similar to an RE system, since R. perezi and R. ridibunda are closely related, and is a combination that could occur naturally in parts of south-eastern France. The introduction of R. ridibunda to the Romney Marsh area in 1935 was well documented. Discriminant analysis (Fig. 2e) confirmed that probably only R. ridibunda was still present at this site, although one individual was statistically assigned to R. perezi. By contrast there is no record of the source of the frogs introduced to the Somerset Levels, where they were first reported as recently as 1996. Canonical discriminant functions (Fig. 2f) placed all these call samples as R. esculenta in keeping with the morphology of individuals seen there. It is, however, very unusual to find R. esculenta by itself and this site clearly warrants further study. Rana ridibunda was first reported from Wisley about five years ago. The scatter-plot (Fig. 2g) of discriminant functions confirmed that this is indeed the species present in the Royal Horticultural Society gardens. Finally, call analysis showed that two distinct taxa of frog were present at Wolterton Hall in north-east Norfolk (Fig. 2h). These were R. lessonae (56.8%) and R. esculenta (43.2%), evidently constituting another LE system.
DISCUSSION
This study extends our previous analyses (Wycherley et al., 2002a,b) by successfully distinguishing seven rather than three taxa of European water frog on the basis of male advertisement calls. Earlier studies on the identification of water frog populations used other techniques including genetics (Graf et al., 1977; Spolsky & Uzzell, 1986), morphology (Juszczyk, 1971; Ogiełska et al., 1998; Sinsch & Schneider, 1999), and sound analyses based on the call pulses and repetition rate (Schneider, 1997; Gerhardt et al., 2000). We have also shown that identification of unknown populations is possible by using call frequency analysis followed by the ‘predicted group membership’ and ‘display casewise results’ facilities of discriminant analysis. Frogs previously identified on morphological grounds or by knowledge of the introduction history (Wisley and Romney) were classified in the expected way, giving independent support to the accuracy of call analysis. However, at both these sites a single sample was classified as R. perezi. Further examination of the call data showed that both of these samples had lower peak frequencies that were well above the population average, and close to the lower range of R. perezi. Visual inspection of the call oscillograms indicated that these frogs
TABLE 2. Statistical assignment of British water frog populations. In this analysis the cases from each population were assigned to the nearest taxon.
| Population | Taxon allocation at individual UK sites (%) |
|---------------------|---------------------------------------------|
| | R. bergeri | R. epeirotica | R.perezi | R. shgiperica | R. ridibunda | R.lessonae | R. esculenta |
| Bramshill, Hampshire| 0 | 0 | 6.1 | 0 | 0 | 23.5 | 70.4 |
| Newdigate, Surrey | 16.3 | 0 | 13.5 | 0 | 0 | 35.5 | 34.8 |
| Sheppey, North Kent | 0 | 0 | 36.6 | 0 | 19.5 | 0 | 43.9 |
| Romney, Kent | 0 | 0 | 7.1 | 0 | 92.9 | 0 | 0 |
| Shapwick, Somerset | 0 | 0 | 0 | 1.9 | 0 | 0 | 98.1 |
| Wisley, Surrey | 0 | 0 | 9.6 | 0 | 90.4 | 0 | 0 |
were probably *R. ridibunda*, but it will be important to make further corroborative tests of our call analysis method at other sites in future.
Two LE systems were identified by our analysis, as well as one population with a mixture of four taxa (*R. lessonae*, *R. bergeri*, *R. esculenta* and *R. perezi*) probably not found together anywhere else in the world. Of particular interest was the Somerset site where only *R. esculenta* was detected. This hybrid normally requires sympatric populations of one or other parent species and can only survive in isolation as a triploid (Graf & Polls-Pelaz, 1989). Such triploid populations are known in parts of northern Europe, and it will interesting to discover whether the Somerset frogs are triploid or whether other water frogs occur as yet undiscovered in the area.
Call analysis by our method is sufficiently sensitive to resolve local dialects in *R. lessonae* (Wycherley et al., 2002a) and *R. ridibunda* (Wycherley et al., 2002b). This means that classifications at the species level might vary slightly in their concordance with reference samples, according to the population source of the reference. This probably explains why clustering (Fig 2) did not always show unknown samples precisely superimposed on the references. However, the sensitivity of our analysis also means that with more comprehensive reference material it might be possible to ascribe introduced populations not just to taxon but to likely areas of origin.
It is particularly interesting to note the variable distribution of the hybrid *R. esculenta* populations in the 3-D scatter plots of discriminant functions when compared to the standard for this taxon obtained from a population in France. We have previously shown that both *R. lessonae* and *R. ridibunda* demonstrate phylogeographic variation in call characteristics across Europe (Wycherley et al., 2002a,b). This may also be true of *R. esculenta*, since British populations were probably founded by frogs from various origins across Europe. These may well include a variety of different *ridibunda* hemiclones in the hybrids (Semlitsch et al., 1997).
The use of call analysis should enable further sites to be examined relatively easily, and therefore extend our knowledge of water frogs present in Britain. However, the number of frog taxa identified at any site is obviously limited by the range of advertisement calls recorded. Where mixtures are suspected, successful identification of all the frogs present requires repeated site visits to ensure that sampling is comprehensive. Our sample sizes were rather small and therefore these results may not reflect the total range of frogs present at every site. Nevertheless, the range of European water frogs identified in Britain now includes *R. ridibunda*, *R. lessonae*, *R. esculenta*, *R. bergeri* and *R. perezi*. Oscillograms of the advertisement calls of these five taxa are shown in Fig. 3. This study has sampled only a very small proportion, probably less than 5%, of the water frog introduction sites in Britain. It has become apparent that many more populations exist and are widely distributed across England, since new sightings are a regular occurrence.
The future prospects of water frogs in Britain will no doubt depend on many factors. Perhaps the most significant of these are the recent climate changes that have been reported due to global warming effects (IPCC, 2001). These changes have already impacted upon many ecosystems (Walther et al., 2002). Amphibians, including water frogs, can be susceptible to changes in spring temperatures (Beebee, 1995) because higher temperatures advance the breeding season. This in turn improves reproductive success and may enable some species to expand their ranges. This has already occurred in the case of the British water frog populations. Records from localities radiating from the introduction sites at Romney and Newdigate have shown steady outward advance (Menzies, 1962; Beebee & Griffiths, 2000; Wycherley & Anstis, 2001). This has been particularly apparent at Newdigate during the 1980s and 1990s. Prior to this there are few records of outward expansion since the first introductions began in the earliest decades of the last century. Opinions differ on the risks, if any, that these expansions might pose to native fauna. It seems likely, though, that introduced water frogs will continue to spread in Britain for the foreseeable future.
ACKNOWLEDGEMENTS
We thank the many individuals who contributed information by providing details on various sites throughout England, especially J. Alder, H. Arnold, R. Atkinson, J. Baker, J. Buckley, J. Cranfield, J. Francis, J. Foster, A. Gent, L. Gillet, J. Griffin, K. Morgan, D. Napier, C. Snell, W. Watson and D. Westbrook. We also thank R. Wycherley for his continued support in the collection of sound recordings, David Hitchin for statistical advice, and Ulrich Sinsch and an anonymous reviewer for constructive suggestions for improvement of the original manuscript.
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*Accepted: 27.9.02*
|
Rothamsted Research
Annual Report 2002-2003
Enquiries about this report should be addressed to:
Dr Susannah Bolton
Head of International Liaison and PR
Tel: +44 (0)1582 763133
Fax: +44 (0)1582 760981
e-mail: firstname.lastname@example.org
Further information is available on the internet at:
http://www.rothamsted.bbsrc.ac.uk
Editor: Susannah Bolton
Design: Chris Jones, Design4Science Ltd
Copies obtainable from the Librarian at Rothamsted
ISSN 1741-6884
Rothamsted Research comprises laboratories
at Rothamsted and Broom’s Barn and is
sponsored by the Biotechnology and
Biological Sciences Research Council.
## CONTENTS
| Page | Title |
|------|----------------------------------------------------------------------|
| 2 | Board of Directors of Rothamsted Research |
| 3 | Director’s foreword |
| 4 | Director’s introduction and review of the year |
| 10 | Rothamsted Research – mission and structure |
| 11 | Research divisions |
| 12 | Transformation and promoter tagging in wheat |
| 16 | *Fusarium* ear blight |
| 20 | Plant activators |
| 24 | Weed population dynamics |
| 28 | Insecticide resistance in aphids |
| 32 | The environmental impact of sugar beet production |
| 36 | Genomics and the classical experiments |
| 40 | Interactions between the environment, society and technology |
| 44 | Rothamsted International |
| 48 | ARIA |
| 50 | Research projects |
| 60 | Financial report |
| 61 | Corporate governance |
| 62 | The Lawes Agricultural Trust |
| 63 | Staff of the Institute |
Inside back cover: Location map
BOARD OF DIRECTORS OF ROTHAMSTED RESEARCH
Professor E. C. Cocking DSc, FRS
(Chairman)
(Emeritus Professor of Botany, University of Nottingham)
(nominated by BBSRC and LATCo)
Dr D. A. Evans
(former Head of Research and Technology, Syngenta International AG)
(nominated by BBSRC)
A. F. Pemberton DL
(Cambridgeshire farmer and Director of NIAB)
(nominated by LATCo)
Professor V. K. Brown
(Director of the Centre for Agri-Environmental Research and Research Professor in Agro-Ecology at the University of Reading)
(nominated by BBSRC)
I. G. T. Ferguson
(Senior Vice-President Corporate Development, Unilever plc)
(nominated by LATCo)
Professor D. J. Read FRS
(Professor of Plant Sciences, University of Sheffield)
(nominated by BBSRC)
M. Calvert OBE
(Chief Executive, Royal Agricultural Society of England)
(nominated by BBSRC) [resigned March 2003]
Dr I. Graham-Bryce CBE, FRSE
(former Principal and Vice Chancellor, University of Dundee)
(nominated by BBSRC)
Dr R. G. Turner
(Chief Executive, British Society of Plant Breeders)
(nominated by LATCo)
P. W. Chamberlain
(Oxfordshire farmer and Director of HGCA)
(nominated by NFU)
Dr S. J. Gurr
(Lecturer in Molecular Plant Pathology, University of Oxford)
(nominated by LATCo)
Secretary:
P. S. Thomas FCA
Professor M. W. Elves DSc
(former Director of Scientific and Educational Affairs, Glaxo Wellcome plc)
(nominated by LATCo)
Professor K. Killham
(Professor of Soil Science, University of Aberdeen)
(nominated by SEERAD)
Ex-officio:
Professor I. R. Crute
Professor P. R. Shewry
S. James
Professor B. J. Legg
(Director and Chief Executive, NIAB)
(nominated by BBSRC)
In July 2002, I announced that the newly restructured Institute would become known as “Rothamsted Research” with effect from 1 January 2003. This change heralds the completion of our spectacular new laboratory at Rothamsted, to be called the Centenary Building in commemoration of 100 years of research at Long Ashton Research Station. During 2003, those who fund and benefit from our research should start to see the gains resulting from collocation, within the Centenary Building, of researchers simultaneously relocating from Long Ashton (which now closes) and from old laboratories at Rothamsted, no longer fit for purpose. Restructuring has been a dominant preoccupation of the Institute for almost 4 years and, as it reaches a culmination, nobody should underestimate its impact on domestic and professional lives. I am grateful for the commitment and tolerance shown throughout by all those staff affected.
“Integrative Biology” is both a central theme of our primary sponsor (the Biotechnology and Biological Sciences Research Council) and an excellent descriptor of the way Rothamsted Research conceives and conducts its science. Indeed, multidisciplinary integration has been the primary driver of our restructuring. Our investigations at the molecular level are conducted to inform studies of cell biology that in turn help to explain the behaviour and performance of the whole organisms in response to their environment and as populations. In this context, you will find abundant evidence for the success of our integrative approach both in the content of this report and in the listing of our year’s publications to be found at: http://www.rothamsted.ac.uk
Ian Crute
The newly restructured institute was showcased to funders and stakeholders at the Royal Society on 20th January.
2003 – a new laboratory and a new name
During 2002, I announced that the former Institute of Arable Crops Research would cease to exist as an entity and the name of our restructured organisation would be Rothamsted Research (formally abbreviated to RRes). Our new name conveys continuity with a past of which we are justly proud but also signals a landmark in the process of significant change on which we embarked over four years ago. Early in 2003, we “launched” Rothamsted Research during a successful event for our many stakeholders at the Royal Society in London.
The plan to amalgamate the research conducted at Long Ashton Research Station and Rothamsted Experimental Station was announced during 1999 and by May 2003 the transfer of more than 50 scientific staff from Long Ashton to Rothamsted will have been completed as will the occupancy of a spectacular new laboratory at Rothamsted. This new laboratory enables the close integration that modern multidisciplinary science demands and collocates those transferring from Long Ashton with colleagues moving from laboratories at Rothamsted which are no longer fit for purpose. The outcome is that all our work in plant, invertebrate and microbial biomolecular sciences will be housed together in state of the art facilities backed by excellent glasshouse, insect rearing, controlled environment, analytical chemistry and biological imaging capability. This development is a tangible manifestation of an enduring partnership between RRes, the Lawes Agricultural Trust, who own the Rothamsted site, and the BBSRC.
The Board of Directors of RRes have named the new laboratory the “Centenary Building” to mark the fact that 2003 coincides with 100 years of scientific research at Long Ashton (appropriately chronicled in a recent publication entitled: “Long Ashton Research Station: one hundred years of science in support of agriculture” edited by Anderson, Lenton and Shewry). The period of planning and construction of the Centenary Building also coincided with the centenary of the death of Rothamsted’s founding fathers: Sir John Lawes and Sir Henry Gilbert.
Rothamsted Research – meeting the challenges of sustainable development
Agriculture and food production provide one of the most spectacular illustrations of the benefit that the acquisition of scientific knowledge can have on the well being of mankind. Just a few generations ago there was no part of the globe that was free from deprivation resulting from unpredictable food supply. Thanks to the application of science, we are, in Europe at least, confident of a predictable supply of sufficient, good quality, affordable food and Rothamsted has been centre-stage in this endeavour. However, today’s context for land management in northern Europe is set by the inevitable expansion of the European Union, the globalisation of world trade, the expectations of an increasingly prosperous population, the strengthening green agenda and the increasing economic value accorded to land for purposes other than food production. Nevertheless, we should not forget that over 840 million people are undernourished and the population of the globe is set to rise from 6 billion to 9 billion by 2050. In the next 50 years, the world must produce at least 75% more food than it does at present to sustain the projected increase in population. We must reconcile the scientific agenda that is influenced by land management strategies in Europe with the requirements for land and food of the world’s disadvantaged populations.
Science that provides an understanding and delivery of more sustainable production systems unifies what at first sight might seem disparate requirements of primary producers in the developed and developing world. Simply put, there is only one agenda. This agenda is for new knowledge, translated into new technology, to enable greater required productivity per unit area of land, in parallel with reductions in non-renewable inputs. The value that is placed on land for purposes other than food production, whether in Europe or elsewhere, means that there is no sound argument for cultivating more land than is absolutely necessary. This is regardless of whether the reason is to conserve the functional or aesthetic value of natural habitat or to create sought after man-made amenity. To avoid the requirement for more land to be devoted to food production there is a need for an intensification of science-based management as a means of achieving reductions in non-renewable inputs.
The classical Broadbalk winter wheat experiment at Rothamsted has generated data since 1843 and mirrors production in the UK. For about 100 years, yields from continuous wheat cultivation on plots receiving no inputs were between 1 and 1.5 tonnes per hectare. Over this same period it was clearly demonstrated that yields could be predictably doubled with inputs of farmyard manure or mineral fertilisers. Yields took-off in the 1960s with the introduction of semi-dwarf varieties, the
Box 1:
Ten attributes that define sustainable systems of land management
- substantially dependent on renewable inputs
- predictable output over many generations
- non-polluting
- profitable and socially acceptable
- conserves functional and aesthetic biodiversity
- conserves valued landscapes
- maximises resource use efficiency
- does not transfer problems elsewhere
- adverse changes are readily reversible
- responsive to changing requirements and constraints (e.g. population and climate)
deployment of genetic disease resistance, and the judicious use of herbicides, fungicides and insecticides. As a consequence of these advances, crops yielding 10 tonnes per hectare can be regularly achieved. These remarkable levels of output have been achieved for just one generation, and it is important to know whether they can be sustained indefinitely.
Sustainability means different things to different people and there are those who conclude the concept has generated more conflict than consensus. However, within RRes we have recently identified ten attributes that define sustainable systems (Box 1) along with the key drivers that provide the rationale for RRes science in support of sustainable land management and rural economies (Box 2). It is evident that some of the inputs that drive today’s level of output are not truly sustainable. Agriculture is heavily dependent on fossil carbon inputs; pathogens evolve to overcome genes for resistance; weeds, pathogenic fungi and insects evolve resistance to agrochemicals. There are also legitimate questions about the economic and environmental impact of modern agricultural practice such as fertiliser usage. With a view to future generations, there is an urgent need for new, substitute technologies founded on sound science, that will in time replace inputs dependent on non-renewable resources.
As part of the Golden Jubilee celebrations we hosted the Jubilee Science Walk around the Rothamsted estate, attracting around 300 people.
Sustainable agriculture and the promise of integrative biology
At the start of the 21st century, there is a burgeoning of knowledge about how biological systems work. This explosion of information is being catalysed by both access to whole genome DNA sequences and a new productive synergy between the biological, physical and mathematical sciences. There is therefore a real cause for optimism that new products and practices will emerge from the knowledge-based revolution in the biosciences. This provides the backdrop for the BBSRC’s recently published “Bioscience for Society - Ten-Year Vision: towards predictive biology” and its Strategic Plan to 2008: “World Class Bioscience”.
The RRes research strategy reflects the BBSRC’s commitment to research for sustainable agriculture and is closely aligned with the report from the Policy Commission on the Future of Farming and Food (Curry Commission) and Defra’s response to it. The scientific and technological progress required to achieve more sustainable systems of land management is underpinned by a focus within both RRes and the BBSRC on the concept of integrative biology and the vision of a more predictive understanding than is possible at present.
The central importance of whole organism biology and the complex of interactions between organisms, is a hallmark of RRes science. However, to understand the biology of whole organisms requires integration of knowledge from the level of cells and molecules that draws on chemistry, genetics, biochemistry and molecular biology. The development of verifiable predictions based on large data sets and formalised in mathematical models is a feature of RRes science. One outcome consistently sought from RRes research is more accurate prediction about how complex systems behave and how best they can be managed for benefit.
In the context of integrative biology of relevance to sustainable agriculture, the scientific community now has access to the whole genomic sequence of several relevant organisms and the stage is set for knowledge derived from these data to play a significant part in achieving greater sustainability of agricultural systems. It is through knowledge from integrative biology that technologies will emerge that can substitute for present ones that are acknowledged as being unsustainable in the long term.
The future emphasis of RRes over the next decade will be the introduction of new sustainable practices based on high quality ecological and environmental sciences along with new sustainable products based on high quality biomolecular sciences. Our objective will be to contribute significantly to the implementation of “Best Practice”.
RRes will be striving hard to understand and meet the changing requirements of its end user communities. The
Rothamsted Research Association (formerly the Arable Research Institute Association) provides a vehicle for an active dialogue with the UK land management sector. Similarly, Rothamsted International enables our engagement with the International Development agenda. We expect to meet the needs of the EU and Defra in the formulation and implementation of policies of relevance to agriculture and land management and we expect our work to impact on both the production and supply sides of the food and non-food chains. In the context of sustainable development, RRes has a key strategic role to play in the coming years. We take this responsibility seriously as society confronts some enormous national and international challenges. Not all answers lie with science but, as in the past, science has a large part to play in achieving benefit and security for future generations. We have more opportunity now than ever before to harness biological knowledge for widespread benefit.
Alastair McCartney receiving an honorary professorship from Professor Cheng Jian, President of the Anhui Academy of Agricultural Sciences, China. He also accepted an honorary professorship on behalf of Bruce Fitt. The awards recognised collaborative research between the Plant Pathogen Interactions Division and Anhui Academy of Agricultural Science
Rothamsted science was explained in cartoon format with help from a BBSRC grant. The cartoons were distributed free to schools and featured in BBC wildlife magazine
The Mission of Rothamsted Research is:
To be a world leading scientific research establishment making significant contributions, nationally and internationally, to the management of agricultural land and the environment through innovations that lead to sustainable products and practices reducing reliance on non-renewable inputs.
Rothamsted Research will accomplish its Mission by:
- Working with all stakeholders to achieve a shared vision of what can and should be achieved;
- Recruitment, retention, direction and motivation of talented scientists, other professionals and support staff;
- Provision of an efficiently managed and stimulating environment with access to first-class facilities;
- Concentrating on activities where an internationally competitive position has been or can be established;
- Forging mutually beneficial strategic alliances and collaborations;
- Operating communication mechanisms and establishing partnerships that ensure rapid and effective application of valuable new knowledge;
- Continuously renewing expertise in relevant disciplines;
- Ensuring that discoveries achieve practical impact as quickly and effectively as possible.
Six Research Divisions
CROP PERFORMANCE and IMPROVEMENT
Head of Division: Peter Shewry
Mission: To improve crop productivity and quality by understanding and manipulating nutrient acquisition, primary and secondary metabolism, growth and development.
PLANT-PATHOGEN INTERACTIONS
Head of Division: John Lucas
Mission: To develop effective, durable, economic and environmentally sound strategies for the control of crop diseases through an improved understanding of the interactions between plants, pathogenic agents and the environment.
PLANT and INVERTEBRATE ECOLOGY
Head of Division: Ian Denholm
Mission: To understand the population dynamics and genetics of agricultural ecosystems and exploit chemistry and biodiversity to reduce the constraints on crop production and quality imposed by invertebrate pests and weeds.
BIOLOGICAL CHEMISTRY
Head of Division: John Pickett
Mission: To devise novel strategies for the management of pest populations through the identification and exploitation of naturally occurring semiochemicals that mediate pest behaviour and by understanding and countering pesticide resistance mechanisms together with knowledge of pesticide environmental fate.
AGRICULTURE and the ENVIRONMENT
Head of Division: Keith Goulding
Mission: To optimise crop yield and quality while protecting soils, water, the food chain and the global environment through an understanding of biogeochemical cycling and the ecology and remediation of soils.
SUGAR BEET PRODUCTIVITY and IMPROVEMENT
Head of Division: John Pidgeon
Mission: To enhance productivity and profitability while minimising environmental impact of sugar beet cultivation through genetic improvement, mitigation of biotic and abiotic stresses and optimisation of production systems.
Genetic transformation is the integration of recombinant nucleic acid molecules into the genome of a target cell. It is a powerful tool in plant biology and is commonly used to study gene function, by over-expression or targeted silencing of specific sequences. However, a range of other applications is possible, including identification of genes and promoters by tagging. Unlike *Arabidopsis*, for which germ-line transformation is available, wheat can only be transformed via delicate tissue culture procedures involving the regeneration of plants via somatic embryogenesis and until recently has proved recalcitrant to transformation by *Agrobacterium*.
Genetic transformation and promoter tagging in wheat
Huw D Jones
DNA-delivery via biolistics or *Agrobacterium*
Since the first reports of wheat transformation in the early 1990s, robust protocols using biolistics to introduce DNA into regenerable scutella tissues have been developed and are now routine in several laboratories world-wide. We have used optimised protocols based on biolistics to produce over six hundred transgenic lines in thirty wheat genotypes, including elite cultivars grown in the UK. These lines have proved to be uniquely useful in the characterisation of several important promoters and in the study of the role of a wide range of proteins including a suite of high molecular weight glutenin subunits and the gibberellin 2 oxidase enzyme. However, plants produced by this method tend to have a high transgene copy number, occasionally with multiple rearrangements, and in some cases this can complicate the analysis of transgene expression. The soil bacterium *Agrobacterium tumefaciens* (the causative agent of crown gall disease) is known to deliver low copy number T-DNA insertions and is now the transformation method of choice for most other plant species. Wheat is normally outside the host range of *Agrobacterium*, but we have successfully optimised a range of variables affecting T-DNA delivery and regeneration, and produced transgenic wheat plants using this approach. Initial analysis of copy number and transgene segregation in these lines indicates that the majority display simple, low copy integration patterns and a 3:1 inheritance ratio (Figure 1).
**Wheat florets expressing GFP (green fluorescent protein). (left)**
**Figure 1.** Southern blot of three plants (C2.3, C2.8 & F3.1) transformed via agrobacterium showing low copy number, simple integration patterns (top). GUS assay of T₁ progeny plants showing a 3:1 segregation of transgene expression (bottom)
Transgene integration
The precise order of the molecular events leading to the stable integration of a transgene into the host plant genome is unclear. However, it appears that regardless of the method of DNA-delivery, genetic transformation involves double-stranded illegitimate recombination at one or more loci, utilising the cell’s nuclear repair machinery. The moment of integration probably coincides with a DNA metabolic event such as replication or transcription. Some *in situ* hybridisation data suggest that physical integration occurs at random within and between plant chromosomes. However other analyses demonstrate a preference for distal chromosomal locations and actively transcribed regions of the plant genome with the possibility that native plant genes are disrupted in the process. We have used fluorescence *in situ* hybridisation (FISH) to study the distribution of transgene insertions in wheat. Initial analysis reveals no preference for particular wheat chromosomes but a bias towards the telomers (Figure 2).
Promoter tagging
Although the nuclear genome of all cells in a genetically modified plant will contain transgene copies, the regulatory promoter sequences upstream of the coding region will dictate when and where in the plant the transgene will be expressed. One of the bottlenecks to the application of plant transformation technologies is the lack of well-characterised tissue-specific, developmentally regulated and environmentally induced promoters that can be matched with specific coding sequences to drive expression in particular tissues or developmental stages. We are using two approaches to overcome this bottleneck. Firstly to use markers such as green fluorescent protein (GFP) or beta-glucuronidase (GUS) to
Figure 2. Fluorescence *in situ* hybridisation (FISH) of transgenes in wheat chromosomes (background). Representation of integration sites from over 20 independent lines analysed by FISH showing bias towards telomers (foreground).
(Work done by Jean Jacquet, a BBSRC-CASE student in collaboration with Mark Tester, Cambridge University and Peter Jacks, Monsanto UK)
characterise known promoter sequences in transgenic wheat. More than ten constitutive or tissue-specific promoter sequences are currently being analysed in wheat transgenics (Figure 3). In a second approach, we are using promoter tagging to identify novel regulatory sequences. We have shown previously that transforming with promoterless marker genes can generate novel, specific, heritable expression patterns (Figure 4).
However, the difficulty in generating sufficiently high numbers of independent transgenic lines in wheat limits this approach. In collaboration with Christine Foyer and Gabriela Pastorı we have exploited the ability of the maize Activator/Dissociation (AcDs) transposon to jump a promoterless marker gene around the wheat genome. By generating a limited number of Ac and Ds parental lines and crossing them, we have made a large number of plants each containing both the Ac and Ds insertions. We have already demonstrated by sequencing that the Ds elements in progeny plants of several Ac x Ds crosses do undergo transposition and we believe that transposon-mediated promoter tagging in wheat is feasible.
**Exploitation**
The output from whole genome and expressed gene (EST) sequencing projects continues to increase exponentially but annotation to ascribe gene function lags significantly behind. Genetic transformation is already one of the key methods used to investigate or validate gene function and, together with associated high-throughput techniques such as transient expression, is set to be an important tool for functional genomics. The hexaploid status of bread wheat and the fact that it has many unique structural and physiological features complicates the use of model species to accurately predict gene function in this important food and feed crop. Thus, the ability to over-express, knockout and tag specific gene sequences directly in a specific wheat variety is a compelling technology in many areas of wheat research. We are currently the only publicly funded laboratory in the UK capable of agrobacterium-mediated wheat transformation and Rothamsted Research is in a unique position to exploit this technology for research to benefit UK and world agriculture.
Effective control of many floral microbial diseases is hindered by the absence of fundamental knowledge. In wheat crops, the increasing incidence of fusarium ear blight (FEB) is of global concern because harmful mycotoxins accumulate in grain as a result of these ear infections. Our research consists of four complementary approaches aimed at securing durable FEB control.
Strategies for controlling *Fusarium* ear blight disease, an emerging threat to UK cereal crops
Kim Hammond-Kosack, Geoff Bateman, Martin Urban, William Dawson and Arsalan Daudi
Worldwide, *Fusarium* ear blight (FEB) infections of cereal crops cause considerable losses in grain quality and safety (http://www.scabusa.org). *Fusarium* infections in UK wheat crops have been steadily increasing since the early 1990s, probably due to changes in crop rotations, the introduction of maize into regions where previously only wheat was grown, the use of low/minimum tillage practices and climate change. The two main causative agents are the fungal species, *F. culmorum* and increasingly *F. graminearum* (teleomorph stage *Gibberella zeae*) (Figure 1) (http://www.csl.gov.uk/resdev/AH/PDCP/epid/fusarium/). The disease is primarily monocyclic, with ear infections occurring when moist conditions prevail at anthesis and inoculum is available.
Grain harvested from *Fusarium*-infected ears is frequently of poorer quality (Figure 2) and contaminated with mycotoxins, including the highly toxic trichothecene mycotoxins, such as deoxynivalenol (DON). Mycotoxin contamination of grain presents a serious health risk to humans and animals, and the EU is soon to legislate on the permitted DON levels in food and feed. The brewing industry already has zero tolerance of *Fusarium* mycelium and mycotoxins in cereal grain because these adversely affect the fermentation process. The cellular target site for DON mycotoxin is the peptidyl transferase protein in the ribosome. DON-binding inhibits protein synthesis in eukaryotic cells.
Our research consists of four complementary approaches aimed at securing durable FEB control. These are: 1) increasing our understanding of the epidemiology of the disease under UK conditions; 2) the identification of promising biocontrol species that can restrict infection of wheat ears; 3) defining the *Fusarium* genes required to cause disease and regulate mycotoxin production; and 4) the characterisation of natural wheat resistance mechanisms that can lower mycotoxin levels without compromising grain quality. We have recently shown that *Arabidopsis* floral tissue can be infected by the same *Fusarium* species that attack wheat ears. This model system will be exploited via comparative molecular genetic studies to provide greater insight into FEB.
**Understanding the disease epidemiology**
The *Fusarium* species that infect cereals exist saprophytically, on dead crop debris, but can also become pathogenic, causing visible disease symptoms on stem bases and cereal ears. A symptomless state on the surfaces of roots or leaves can also occur. Our epidemiological research has focused initially on understanding the main sources of fungal inoculum and the route of dispersal to the wheat ear. *F. culmorum* population size in soil...
varies erratically, but is greatest after cereal crops and particularly after straw incorporation. A rapid build up in inoculum levels can occur during the summer. Inoculum of *F. culmorum* arises primarily from infested debris within the crop lying on the soil surface. Therefore, burial by ploughing-in should remove such an inoculum source.
Control of *F. graminearum* may be more problematic, because sexually produced ascospores released from infested crop debris are air-borne and potentially dispersed over longer distances. Other researchers have shown that maize is an important source of inoculum for infection of wheat by *F. graminearum* grown in the same or nearby rotations. This situation is likely to occur in the UK, and we have found *F. graminearum* infections to be associated with maize crops. The timing of ascospore production under UK conditions has not yet been determined.
**The potential of biological control**
FEB has recently been the focus of intensive searches for agents of biological control, particularly in the USA where research has concentrated on strains of antagonistic bacteria. A project funded by the EU aims to prevent *Fusarium* mycotoxins entering the human and animal food chain. It includes the investigation of biological agents as an approach to pre-harvest control.
With partners in PRI (Plant Research International, Wageningen, The Netherlands), ISPAVE (Institute of Plant Protection, Rome, Italy) and EELA (National Veterinary and Food Research Institute, Helsinki, Finland), (www.mycotoxin-prevention.com), our aims were to attempt biocontrol at two vulnerable stages in the natural disease cycle: the production of inoculum (*Fusarium* spores) on crop debris and the ear infection phase. At RRes, we have concentrated on the latter objective. Strains of competitive fungi were chosen as the most promising option and were selected from collections of fungi isolated from various European cereal crops. Candidate strains, identified in semi *in vitro* and glasshouse screens, were tested for efficacy in field trials (Figure 3). Interestingly, different fungal isolates provided the greatest protection at each of the two key stages in the disease cycle where biocontrol was attempted.
Reducing ear infections has proven particularly amenable to biocontrol probably because the susceptible plant tissue, mainly the anthers and young florets, has only recently emerged from the flag leaf and so is substantially free of an established natural surface microbiota. Also, biocontrol is only required for the first 2 weeks after the onset of flowering, whereupon the maturing cereal ear becomes naturally resistant to infection. In the field trials, the best competitors were strains of non-pathogenic *Fusarium* spp. These treatments controlled both ear blight symptoms and mycotoxin production as effectively as a standard fungicide such as tebuconazole. Effective control with the same fungal species was achieved in wheat, barley and oats crops when the antagonist was applied before the pathogen. Various biocontrol fungi are currently being evaluated for their commercial potential.
**Targeting *Fusarium* pathogenicity factors**
This work is based on the premise that a pathogen mutation that circumvented the effects of an effective fungicide or a transgenic antifungal protein delivered by plant cells would be due to production of a variant pathogenicity factor or loss of such a factor. The suggestion is that such changes would have an effect on the mutant’s fitness and ability to cause severe disease.
(Figure 4). Hence, the identification of fungal pathogenicity factors provides a target for discovery of novel approaches to achieve durable disease control.
Molecular genetic analysis of the FEB infection process is still fragmentary and understanding is being sought of the *Fusarium* genes required for fungal penetration, cereal ear colonisation and spore formation. It is known that DON production is not essential for *F. graminearum* to cause disease in wheat ears. Our laboratory and others have recently demonstrated that two distinct Mitogen Activated Protein Kinases (MAPKs) Map1 and Mgv1, are independently required for infection and subsequent spread within the wheat ear. In *Saccharomyces cerevisiae* (yeast) the homologous protein to Map1 is Fus3/Kss1 which controls the pheromone response leading to mating, whilst the homologue in yeast to Mgv1 is Slt2 which controls cell integrity. In several other phytopathogenic fungal species, proteins sharing homology with Map1 were also found to be essential for plant penetration and/or invasive growth *in planta*. Collectively, these MAPK results suggest the existence of an ancient conserved core signalling mechanism that controls fungal pathogenicity. By targeting this MAPK pathway the control of multiple plant diseases may be achievable.
The resources and techniques available to undertake a large scale exploration of *Fusarium* gene function include the complete *F. graminearum* genome sequence (Whitehead Institute, Cambridge, USA) ([http://www-genome.wi.mit.edu/annotation/fungi/fusarium/](http://www-genome.wi.mit.edu/annotation/fungi/fusarium/)), various libraries of expressed sequence tags (ESTs) ([http://cogeme.ex.ac.uk](http://cogeme.ex.ac.uk)) and efficient transformation systems to create specific gene knockouts within 4-6 weeks.
Our current research aims to define all the components of the Map1 kinase signalling cascade and identify the downstream cellular targets. In addition, we are undertaking a genetic screen involving random plasmid insertion to isolate other *Fusarium* genes required for wheat ear pathogenicity and *in planta* induced DON mycotoxin production.
**Exploiting natural resistance sources and mechanisms in various plants to achieve low DON mycotoxin levels in grain**
Two main types of natural resistance to FEB are known in wheat. Type I resistance reduces initial infection incidence but its genetic basis is unknown. Type II resistance reduces the rate of hyphal spread within the ear tissue and is conferred by multiple unlinked loci. Currently, various sources of Type II resistance are being introgressed by breeders into well-adapted genetic backgrounds using marker-assisted approaches. However, this Type II resistance only reduces, but does not eliminate, mycotoxin contamination of grain.
We are attempting to determine which resistant wheat cultivars reduce mycotoxin production and to identify regions of the wheat genome that confer low mycotoxin accumulation. To assist in this research, genetically modified *Fusarium* strains in combination with biochemical analyses are being used to define the exact temporal and spatial patterns of DON biosynthesis in the visibly infected and non-infected parts of the wheat ear. In collaboration with the Crop Performance and Improvement Division, we are also undertaking research to ensure the most promising resistance sources do not adversely affect grain quality.
Recently, we have demonstrated that both *F. culmorum* and *F. graminearum* can infect *Arabidopsis* floral tissue and cause disease symptoms (Figure 5). During these floral infections DON synthesis also occurs. Genetic studies involving a range of *Arabidopsis* mutant lines are being used to define the signalling components controlling plant defence in floral tissue and also *in planta* induction of DON synthesis. Comparative molecular genetic experiments are also being undertaken to ensure that the key findings in the *Arabidopsis* model are relevant to the disease in the economically important cereal crops.
Activating defence mechanisms and other useful traits in crop plants by means of benign chemical signals offers a new approach to pest control and other aspects of plant production. We have recently shown that the common plant volatile cis-jasmone can activate plants to become less attractive to herbivorous pests, and more attractive to pest natural enemies such as parasitic wasps. We have now demonstrated use of cis-jasmone in the field to reduce populations of cereal aphids. This opens up other practical and scientific prospects for using cis-jasmone as a plant activator.
Developing plant activators for the field
Toby J Bruce, John A Pickett and Lesley E Smart
Background
The so-called “plant activators” that have been developed thus far by industry are non-volatile, persistent synthetic organic compounds. However, the natural products that provided the lead for these synthetic molecules act externally to the plant and often involve volatile products such as methyl salicylate and methyl jasmonate. Cis-Jasmone, although related biosynthetically to methyl jasmonate, had, until our recent work, been overlooked as a potential activator of plant defence.
Methyl jasmonate is formed initially as the epi-jasmonate isomer by oxidation and cyclisation of linolenic acid via 12-oxo-PDA (Figure 1). This biosynthetic pathway can be activated during damage caused by herbivory and other biotic agents, or by mechanical wounding. Methylation of the epi-jasmonic acid produces the volatile methyl ester, which can be emitted from the plant and used by animals searching for damaged plants (either because they wish to feed on the plant or on other animals feeding on the plant). Methyl jasmonate released from the essential oil of plants such as the sage brush, *Artemisia tridentata*, or from commercial sources, has been used to stimulate elevated defence responses in plants. For example, we have previously released methyl jasmonate above oilseed rape plants to enhance production of certain defensive glucosinolates.
Recently, we encountered cis-jasmone as an aphid repellent, and investigated it because of its relationship to methyl jasmonate (Figure 1). In these studies, we showed that two different aphid predators, a ladybird, and the parasitoid wasp *Aphidius ervi*, were attracted by cis-jasmone. This work was conducted initially on the bean plant, *Vicia faba*. We tested the hypothesis that cis-jasmone alters plant metabolism such that the plant becomes less attractive to herbivores and more attractive to parasitic wasps (Figure 2). Chemical analysis showed that cis-jasmone was rapidly taken up by the bean plants. After 24 hours, none could...
Figure 2. Plants placed in air containing a small amount of the volatile plant-derived chemical cis-jasmone can become less attractive to herbivores, e.g. aphids, and more attractive to beneficial insects such as aphid parasitoids.
be detected, either in the air above the plant, from which the cis-jasmone had been absorbed, or on the plant surface itself. The plants were retained for another 24 hours to ensure that no cis-jasmone remained and were then tested in a wind tunnel, and found to be significantly more attractive to the aphid parasitoid A. ervi.
From beans to cereals
In behavioural tests using a Pettersson olfactometer, cis-jasmone was highly repellent, even at low levels, to the cereal aphid Sitobion avenae. Winter wheat seedlings treated with low levels of cis-jasmone were investigated in field simulation experiments. Large numbers of S. avenae were released downwind of a tray of either cis-jasmone treated or control wheat seedlings in no-choice tests. After 24 hours, the proportion of S. avenae settling on the plants had been significantly reduced, from a mean of 60% on control plants to 38% on treated plants (P = 0.012). However, the time spent foraging by the parasitoid A. ervi on cis-jasmone treated wheat seedlings was significantly increased, from 6.6 minutes on control plants to an average of 17.6 minutes on the treated plants (P = 0.045). We also noted a phenomenon not observed with bean plants; the intrinsic rate of aphid population increase in repeated experiments was significantly reduced on cis-jasmone treated plants (Table 1).
Field trials on winter wheat
Cis-jasmone was formulated with the non-ionic surfactant Ethylan BV, and applied by spraying the emulsion through a hydraulic nozzle (Figure 3). Successful reductions in aphid populations have now been obtained for four seasons. Results from a representative season are given in Figure 4. The principle of using cis-jasmone as a plant activator in this way is clearly demonstrated by these field trials. The overall effect on aphid populations may be due to a combination of reduced settling and slower population development. The approach of applying an aqueous emulsion is possible, even for a highly volatile compound such as cis-jasmone, since the effect clearly persists after the initial contact. This also means that the dose received by the plants is substantially lower than the applied field rate. Indeed, further studies will be made on improving the application of materials such as cis-jasmone, so that a higher activity level than implied here can be exploited.
In the earlier studies with beans, it was noted that the release of the parasitoid foraging stimulant (E)-ocimene, induced by cis-jasmone, persisted for over 8 days, whereas the same induction by methyl jasmonate only lasted for the first 48 hours after exposure. Induction of...
Figure 4. Field results of treating winter wheat with an emulsifiable concentration of cis-jasmone in May with statistically significant reduction in aphid counts in June
wheat plants with cis-jasmone also caused an increase in release of (E)-ocimene. It was observed that foraging A. ervi spent significantly longer on treated wheat plants in the laboratory, resulting in more aphid mummies being formed. However, in field experiments, natural populations of parasitoids were too low to observe statistically significant effects on numbers of aphid mummies.
Opportunities for identifying further plant activators
In collaboration with the Swedish University of Agricultural Sciences at Uppsala, it has been shown that certain plant species can release chemicals that stimulate defence in neighbouring plants, even without the initial plant being damaged. These plants include thistle, *Cirsium* spp., and couch grass, *Elytrigia repens*, neither of which would receive favour from farmers as an intercrop and source of plant-activating chemistry. However, it was also found that certain cultivars of barley could stimulate the defences of other cultivars when grown in close proximity. So far, a number of volatile compounds have been identified which contribute to the induction of defence, but none are as active or persistent as cis-jasmone. Some of these interactions, as well as taking place through aerial contact, can involve communication via the rhizosphere. Couch grass, grown adjacent to barley plants, can significantly reduce aphid colonisation of the barley plants, where there is contact through the rhizosphere. A carboline, 6-hydroxy-tetrahydro-β-carboline-3-carboxylic acid, one of the compounds exuded from the roots of couch grass, has been shown to account for a substantial part of this effect (Table 2). We have now made a larger scale synthesis of the carboline, for field trials here and with our collaborators at Uppsala.
Exploitation
Although the results obtained in these field trials would not compete in terms of efficacy with broad-spectrum eradicant pesticides, the effect of cis-jasmone could be exploited by selecting cultivars that are genetically particularly responsive to defence induction by this signal molecule. Indeed, such traits could be bred into plants as a new strategy for exploiting plant activators in crop protection. Also, if the mechanism by which the persistent effect induced by cis-jasmone were better understood, alternative strategies to exploit this knowledge could be envisaged. There are reports in the literature that the putative biosynthetic pathway (Figure 1) allows the plant to regulate the effects of activity through a volatile sink (cis-jasmone), without there being a role for this component of the pathway. The different context of our discoveries allowed patenting and commercialisation of cis-jasmone as a plant activator.
It has been demonstrated that cis-jasmone treated *Arabidopsis thaliana* is less attractive to aphids. Johnathan Napier and Michaela Matthes of the Crop Performance and Improvement Division have demonstrated the up regulation of a specific set of genes, different from those affected by methyl jasmonate. These genes are involved in various functions including the metabolism of 12-oxo-PDA (Figure 1). It is hoped that these studies will enable elucidation of the mechanisms by which cis-jasmone upregulates genes involved in the biosynthesis of other volatile signals as well as the physiological effects, which reduce the development of pest insects. Promoter sequences that are responsive to cis-jasmone have been identified and could provide the means of activating other valuable biosynthetic pathways such as those determining drought tolerance, nutritional composition or crop development.
Research into weed population dynamics contribute to our understanding of weed behaviour. Studies of the responses of weeds to environmental stochasticity and of the physiological basis for differences in such responses between weed species are forming the basis for predictive, computer-based, systems of weed management. Such systems are taking into account the dual role of weeds in the arable environment as competitors with the crop and valuable contributors to biodiversity and food webs.
Yield losses from weeds on the “classical” Broadbalk winter wheat experiment (Figure 1) show that as the time from a fallow year (when no crop is grown and full weed control is possible) increases, crop yield loss also increases, as a result of the population expansion of weeds. These data also reveal the level of variability that occurs in these natural processes. Crop yield loss varies from 0% to nearly 40% in the years immediately following fallow when weed population levels are at their lowest. These data illustrate two important principles. Firstly, that an understanding of the population dynamics of weeds is central to any attempt to understand and predict their behaviour and, secondly, that the variability that can occur in weed behaviour must be incorporated into the predictive process.
**Population dynamics**
Research into the population dynamics of noxious arable weeds such as blackgrass (*Alopecurus myosuroides*), wild-oat (*Avena fatua*) and cleavers (*Galium aparine*) was in vogue ten years or more ago. Stephen Moss at Rothamsted devised a model for *A. myosuroides* that created the basic framework from which to explore the effects of changed management on populations (Figure 2). The emphasis has now changed, as developments in computer-based decision support systems have provided an opportunity to exploit these studies far more effectively in the promotion of economically sound weed control decisions. These tools were initially designed to explore methods of effective weed control, but they now have a role in designing environmentally targeted weed management systems, aimed at
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**Typical annual weeds of winter cereals** (*Papaver rhoeas*, *Tripleurospermum inodorum*). (left)
**Figure 1.** The impact of the number of years since a fallow on winter wheat yield loss due to weeds on the Broadbalk experiment (vertical bars show the range of responses)
**Figure 2.** Prediction of the effect of ploughing and fine cultivation every year of a 6-year rotation on the density of seeds in the soil and in the seedbank for *A. myosuroides* and *S. media* assuming 95% kill of plants by the herbicides
preserving rarer and beneficial indigenous plants of arable ecosystems. A further technological advance has been the development of spatially selective weed control that uses satellite-based global positioning systems (GPS). This enables herbicides to be applied to geo-referenced mapped areas of the field. In such systems, patches of weeds can be treated, leaving other areas of the field untreated. Decisions on which areas to treat can be based both on the impact of particular weeds on the crop and their population dynamics.
Weeds provide food for invertebrates and birds and are thus important contributors to functionally valuable biodiversity in arable ecosystems (Table 1). There have been declines in arable weeds and farmland bird species over the last 50 years, apparently associated with the intensification of agriculture. The causes of these declines are complex but there is a suggestion that maintenance of a diverse population of weed species is beneficial for arable field ecosystems. This ecological role conflicts with the traditional perception of weeds only as plants detrimental to yield. Consequently, there is a need to balance the control of aggressive competitive species and the retention of less damaging species that offer environmental benefits. This dual view of weeds poses a challenge for their management and emphasises the need for a sound understanding of population dynamics.
Recent research has enabled us to improve our knowledge and models of weed population dynamics allowing more precise prediction of population change and a better understanding of the degree and causes of variability. Some of this work is of direct application while other components are exploring more fundamental aspects such as matrix modelling techniques and the physiological basis for the different behaviour of weed species. It is not possible to study every one of the 200 or so plant species that can be classified as weeds, but it may be possible to group species into a restricted number of classes that define their phenology, growth and impact on the crop and the environment. Weed species deploy a limited number of strategies enabling them to thrive in the specialised environment of an arable field. Some of these strategies will be
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**Table 1. The competitive impact of a range of common weeds and their importance for invertebrates and birds**
| Weed species | No. of associated insect species | Importance in bird diets | Competitive indices † |
|-------------------------------|----------------------------------|--------------------------|-----------------------|
| *Avena fatua* | <10 | 5.0 | |
| *Alyssum aurinia myosotidies* | <10 | 12.5 | |
| *Calium aparine* | 30 | 1.7 | |
| *Chenopis arvensis* | 38 | ** | 12.5 |
| *Trifolium repens* | 30 | 12.5 | |
| *Stellaria media* | 70 | *** | 25 |
| *Poa annua* | 52 | ** | 5.0 |
| *Senecio vulgaris* | 47 | ** | 83 |
| *Cerastium fontanum* | 22 | ** | (25) |
| *Veronica persica* | <10 | ** | 62.5 |
| *Vicia arvensis* | <10 | ** | 29.0 |
| *Thymus polytrichum album* | 30 | *** | (20) |
| *Polygonum aviculare* | 60 | *** | 50 |
| *Spergula arvensis* | 28 | ** | (40) |
| *Rumex obtusifolius* | 78 | ** | ? |
† number of weed seedlings to cause a 5% yield loss
Figures in brackets = expert opinion/interpolated values
antagonistic to the crop and seriously reduce yield. However, it is possible that a class of weed species can be identified which has a growth and reproduction strategy that is complementary to the requirements of the crop both spatially and temporally. Improved predictions of weed impact will help us to quantify the effects of changes in cultural practices on species that need to be effectively controlled, as well as those that offer environmental benefits and need to be retained.
**Dealing with variability**
One area of our work has focussed on identifying key environmental variables that cause variability in plant growth and fecundity in arable habitats. This work has made use of mechanistic simulation models of plant growth in mixtures together with an extensive array of basic physiological parameters.
The work has quantified the impact of environmental stochasticity on the growth and reproduction of some key weed species within a single year. Having quantified the likelihood of different levels of fecundity for weeds, the information can be incorporated into a stochastic version of our weed population dynamics model.
Soil moisture is a key cause of variability in weed species like *G. aparine* (cleavers) and our work has revealed the rooting and water-use characteristics of this species, enabling us to predict the impact of variable soil moisture. The success of a mechanistic simulation model at describing the contrasting growth of a population of cleavers under rainfed compared to irrigated conditions is shown in Figure 3.
**Weed management decisions – the role of population dynamics**
The apparently conflicting dual role of weeds in arable fields makes decision making on weed management increasingly difficult. The development of a Decision Support System (DSS) for weed management in winter wheat (WMSS) in collaboration with ADAS, SRI and SAC, provides a mechanism to deliver solutions for the complex issues surrounding weed management. Such a system takes into consideration the impact of weeds on crop yield and offers optimum economic solutions. It also highlights the ecological value of the species and estimates the consequences of control techniques for both current and future crops, based on estimates of seed production and losses.
The real size of the threat from weeds lies in the large number of weed seeds in the soil that can germinate and infest current and future crops. Within the DSS, the numbers of weed seeds in the soil and the numbers of mature weed plants that grow to compete with the crop are calculated through the course of a six-year crop rotation. The rotation must include winter wheat in one of the first two years but can include other crops such as oilseed rape, potatoes and spring barley in other years.
The simulation is carried out iteratively by calculating how many seeds there will be in the soil at the start of the next production year, given the numbers in the soil at the start of the current production year. These calculations are based on the numbers of:
- seeds that move from shallow to deep layers with cultivations;
- seeds that produce seedlings;
- seedlings killed by herbicides or hoeing;
- plants that produce new seeds;
- new seeds that are viable;
- new seeds that are eaten by predators;
- seeds that survive in the soil from one year to the next.
Given a specified sequence of crops, the DSS can calculate the most cost-effective combinations of weed control measures to ensure that the population of a particular weed is not allowed to increase to uncontrollable levels. Similarly, the husbandry that minimises the risk of extinction for rare or beneficial species can be identified.
This research is providing fresh insights into old problems and increasing our understanding of the role that weeds play in determining biodiversity in the farmland ecosystem. The programme ranges from fundamental studies of the role of weeds as crop competitors in a highly variable environment, and providers of food for invertebrates and birds, to developing systems to translate this information for the use of growers and advisors.
While insecticides retain an important role in crop protection strategies, the ability of insect and mite pests to evolve resistance to these chemicals remains a serious threat to agriculture in the UK and elsewhere in the world. Pest species with documented insecticide resistance in the UK (especially aphids, whiteflies and spider mites) attack a wide range of crops. Some can occur simultaneously on different crop species, making the development and coordination of insecticide use strategies problematical.
Insecticide resistance in aphids
Ian Denholm, Stephen Foster, Graham Moores, James Anstead and Martin Williamson
Rothamsted Research has a long history of investigating insecticide resistance from a number of perspectives ranging from biochemical and molecular analyses of resistance mechanisms to the evaluation of tactics for combating resistance under field conditions. Our work on aphid pests, especially the peach-potato aphid, demonstrates how a multi-disciplinary approach can facilitate resistance management through the development and continual refinement of mechanism-specific diagnostics, and an understanding of factors causing resistance to increase or decrease in frequency in field populations.
M. persicae possesses three distinct mechanisms that collectively confer strong resistance to organophosphate, carbamate and pyrethroid insecticides. The first, discovered at Rothamsted 30 years ago, is based on the overproduction of one of two closely related carboxylesterase enzymes (E4 and FE4) that inactivate organophosphates, and to a lesser extent carbamates and pyrethroids before they reach their target sites in the insect’s nervous system. Depending on the amount of carboxylesterase present, individuals of M. persicae are broadly classified into one of four categories: S – susceptible; R1 – moderately resistant; R2 – highly resistant or R3 – extremely resistant.
The second mechanism, termed MACE (Modified AcetylCholinEsterase) is due to a modification to the insecticide target enzyme, acetylcholinesterase (AChE), which renders it insensitive to attack by the dimethyl carbamates, pirimicarb and triazamate. MACE resistance was first recorded in the UK.
Diagnosis of multiple resistance in Myzus persicae
Challenges presented by resistance in aphids on arable crops are exemplified by the occurrence of multiple resistance mechanisms in the peach-potato aphid, Myzus persicae. This species attacks and can transmit virus diseases to several crops including brassicas, potatoes, sugar beet and lettuce.
Potato aphid Macrosiphum euphorbiae – a potential new resistance problem. (left)
Damage caused by aphids feeding on potatoes
in 1995 in aphids caught in Rothamsted’s suction trap network. It caused severe pest control failures in eastern England in 1996 and has been present at varying frequencies thereafter.
In the last few years, we have identified a third resistance mechanism termed knockdown resistance or kdr, which is associated specifically with resistance to pyrethroids. Kdr involves a modification to the voltage-gated sodium channel protein in nerve membranes, which is vital for the normal transmission of nerve impulses and is the primary target site of pyrethroid insecticides.
These three mechanisms: overproduced carboxylesterase, MACE and kdr, can be present in different combinations that have different implications for which insecticides are likely to be effective. An ability to diagnose these mechanisms individually and rapidly, ideally in single aphids, is therefore invaluable for anticipating and combating resistance problems. Biochemical assays for diagnosing overproduced carboxylesterase and MACE in single aphids have been developed at Rothamsted and are now used widely in many countries with resistance monitoring programmes for *M. persicae*. Kdr has proved more challenging in this respect since it is not readily accessible to biochemical tests based on electrophoresis, immunodiagnosis or kinetic measurements of target site inhibition.
*In vitro* assays for kdr (as opposed to whole-organism bioassays, which are time-consuming and not mechanism-specific) have therefore relied on a knowledge of mutations leading to resistance in the sodium channel gene. Two such mutations have been identified within the domain II region of the channel protein: L1014F (leucine to phenylalanine) conferring ‘basal’ resistance to pyrethroids, and M918T (methionine to threonine) that appears to boost levels of resistance conferred by L1014F alone, leading to virtual immunity to pyrethroids applied at manufacturer’s recommended rates. Several sequence-based approaches have been attempted, the most successful being the recent development of allelic discrimination PCR assays specific to each of the two mutations using fluorescent Taqman® MGB probes (Figure 1). These assays are designed to run alongside existing ones for overproduced carboxylesterase and MACE, and this suite of tools collectively enables a single aphid to be assigned to one of 108 possible genotypes encompassing all three resistance mechanisms. To our knowledge, this level of precision is unprecedented for any multi-resistant insect pest.
**Dynamics of resistance mechanisms**
The availability of this gamut of diagnostics has enabled us to track changes in the frequency of resistance mechanisms, relating these to the control measures adopted and the biological characteristics of *M. persicae*. Aphids for these surveys have come directly from field crops and from 12.2m suction traps deployed around the UK as part of the Rothamsted Insect Survey. Two distinct patterns have emerged from this research. The first is a long-term periodicity with resistance being most frequent in years such as 1996 with severe aphid outbreaks (and hence greatest insecticide use) followed by declines in frequency over years when aphids are less abundant (Figure 2). Secondly, resistance frequencies usually show a characteristic increase within seasons as insecticides are applied, but then decline markedly before the start of the following cropping season. This shorter-term periodicity, like patterns observed over a longer period, demonstrates that resistance levels can, under certain conditions, decrease as well as increase and prevent an overall, sustained increase in the severity of resistance problems. Declines can be due to a number of factors but appear attributable in part to side-effects that resistance mechanisms impose on aphid biology, which may adversely affect their survival and/or reproduction in the absence of exposure to insecticides. Detailed studies at Rothamsted have shown that resistant individuals of *M. persicae* overwinter less successfully than their susceptible counterparts, that they are less fecund, and less responsive to external stimuli including the aphid alarm pheromone (E)-β-farnesene (Figure 3). This compound is released from cornicle secretions exuded by aphids when they are physically disturbed, for example by foraging predators and parasitoids. Neighbouring aphids respond to the pheromone by withdrawing their stylets from the plant and dispersing away from the pheromone source. The intriguing possibility that decreased responsiveness to (E)-β-farnesene could render resistant aphids more vulnerable than susceptible ones to parasitism or predation is currently being investigated.
Emerging and potential new problems
For multi-resistant pests such as *M. persicae*, the introduction of newer insecticides can provide a valuable respite for growers, and an opportunity for researchers to integrate these into more sustainable management recommendations. Neonicotinoids (with imidacloprid as the commercial forerunner) and pymetrozine represent more novel insecticide groups available for use on some crops attacked by *M. persicae*, and which are unaffected by resistance mechanisms already present. However, their unrestrained use can unquestionably lead to selection of additional mechanisms, compounding the resistance problem still further. We have already identified clones of *M. persicae* from southern Europe showing up to 18-fold resistance to imidacloprid, and individuals with lower tolerance have been isolated from UK samples over the last three years. The commercialisation of neonicotinoids on an increasing number of crops harbouring *M. persicae* must therefore represent a significant new resistance risk requiring extensive co-operation between scientists, grower groups and agrochemical producers to address effectively.
Similarly, it is important to remain vigilant for the appearance of resistance in pests that have not posed problems historically. At present, the potato aphid (*Macrosiphum euphorbiae*) and the currant-lettuce aphid (*Nasonovia ribisnigri*) are both showing incipient resistance and are under investigation at Rothamsted.
Exploitation
Continuing access to new tools in molecular biology offers greater insights into the processes governing the origin and spread of resistance, especially by combining markers for selected traits like resistance with ones (e.g. microsatellites) with no obvious adaptive significance. The reasons why some aphids such as *M. persicae* evolve resistance so rapidly whilst others (e.g. cereal aphids) do not, despite receiving insecticide treatments, should therefore become more tractable and provide greater scientific support for resistance management strategies, and risk assessment schemes built into pesticide approval procedures. Since the same resistance mechanisms often evolve in parallel in different species, diagnostic techniques developed for *M. persicae* may be transferred across species. For example, an elevated esterase implicated in resistance in *Macrosiphum euphorbiae* has been found to cross-react with antiserum raised for immunodiagnosis of overproduced carboxylesterase in *M. persicae*.
The insecticide resistance group at Rothamsted has a long history of collaboration with grower organisations, policy-makers, regulatory agencies and agrochemical companies, thereby ensuring effective extension of information and recommendations to end-users. In recent years, this has been formalised through the formation of the UK Insecticide Resistance Action Group (IRAG), chaired from Rothamsted, which reviews resistance developments of national concern and produces management guidelines. Outputs from our work on *M. persicae* are incorporated into a document “Guidelines for preventing and managing insecticide resistance in the peach-potato aphid *Myzus persicae*”, available on the IRAG website (see below). These and related publications remain under revision to contend with new cases of resistance or a broadening of existing resistance problems.
For further information contact email@example.com or firstname.lastname@example.org
The IRAG website is located at www.pesticides.gov.uk/committees/Resistance
As a part of its interim review of the sugar regime, the European Union has asked member states that grow sugar beet to determine the effect of their beet production practices on the wider environment, and to consider what needs to be done to address any serious adverse impacts. As a consequence, various stakeholders in the industry, plus many others with active interests in sugar production and in the countryside, made submissions to Defra.
The environmental impact of sugar beet production in England
Keith Jaggard
Food production now needs a “licence to operate”, and in response to this the British Beet Research Organisation funded a two year research project to assess the impact of sugar beet production practices in England on the natural environment. This project has involved collaboration between Broom’s Barn and the Agriculture and Environment Research Unit at the University of Hertfordshire.
We started by describing thirteen distinct production protocols, which encompassed the major differences in practice for beet growing in England; these were based on data from the annual British Sugar crop survey. The production protocols varied according to soil texture, organic manure and irrigation use, wind erosion control practices, weed and pest control regimes and organic production. No protocol included practices which are not recommended or which contravene the pesticide and nitrate vulnerable zone regulations; the sugar company has a pesticide audit in place to ensure that these contraventions are minimized and that beet is not delivered in the event of serious accidental breaches.
We then assessed the impact of each of these production protocols in Suffolk, Lincolnshire and Shropshire, to represent the weather in the areas of the country where beet is grown, and the underlying geology. Many impacts of beet production practices depend upon the type of habitat surrounding fields. No previous large-scale survey has classified the boundary habitats for arable fields in England. In order to supply this data we visually assessed video images of two opposite boundaries on about 600 sugar beet fields. The video film was created in July 2001 during a nine hour aerial survey along transects chosen to represent the whole UK beet crop. The survey was flown at an altitude of about 200m, so boundary features were clearly visible. Analysis showed that about 65% of beet crop boundaries are hedges, about 9% are...
woodland or shelter belts and 17% are another crop or setaside, without any intervening natural vegetation (Figure 1). On average about 3% of the boundaries were ponds, streams or ditches which contained water at the time of the survey, but this differed significantly from region to region; from 7% in the Fens down to 1% in the remainder of eastern England.
The pesticide risk assessment software, p-EMA, identified no serious risks associated with beet production. However, there were several minor risks to indicator species, mostly with the persistent insecticides aldicarb and imidacloprid. Aldicarb has now been withdrawn and imidacloprid is applied as a seed treatment so that the exposure of non target species is minimal. Where surface water was present the most frequent risks were associated with herbicides, especially on the silty and peaty soils where the most sprays have to be applied to achieve effective weed control. There were no significant risks that agrochemicals would pollute ground water.
The fate of nitrogen was examined by simulating denitrification, volatalization, leaching and crop uptake using the Rothamsted SUNDIAL model, for a crop sequence of winter wheat, sugar beet and spring barley;
approximately 90% of all sugar beet follows a winter cereal crop. These simulations were made for all the soil textures on which beet is commonly grown, and for sequences of wet and dry seasons. Loss of nitrate during and after the growth of the beet was always negligible (less than 5kg ha\(^{-1}\)), but there were significant losses of N (up to 70kg ha\(^{-1}\)) by denitrification where organic manures were applied. If they can be devised, simple changes to farm practice to reduce these losses would be worthwhile.
The study also considered the energy input for all the production protocols. Consideration was given to raw material manufacture and transport, machinery manufacture, maintenance and fuel consumption, and to transport of beet to the processor. The total energy inputs ranged from 15 to 26 GJ/ha, and in common with other studies, those protocols which used little mineral N fertilizer consumed the least energy. The weighted average yield assumed for the production protocols was 52 adjusted tonnes/ha, and the energy yield, based on 16.9GJ\(\cdot\)t\(^{-1}\) of beet dry matter, averaged 202 GJ ha\(^{-1}\), giving energy ratios which ranged between 8 and 13.5. These ratios are approximately double those that have been calculated for cereal production in NW Europe, and should make sugar beet a good candidate source for environmentally sustainable bioethanol production. A bonus would be the fact that beet is a spring sown crop (spring cropping provides a valued habitat for many species). The submissions to the EU on beet and the environment found that this was an important aspect now that 78% of all arable crops in eastern England are autumn sown.
The “classical” Broadbalk winter wheat experiment, established in 1843, is proving to be an invaluable resource for wheat genomic studies. The experiment consists of a series of plots, which have received defined nutrient inputs and agronomic practice for 160 years. The experiment is being sampled to identify patterns of gene expression in response to specific mineral deficiencies and a range of nitrogen inputs using transcriptome approaches including new microarray technology. Outputs from this research will facilitate a deeper understanding of plant responses to nutrient supply, provide tools for diagnosis of mineral deficiencies and genetic markers to aid in breeding of more efficient resource-use genotypes.
Genomics and the Rothamsted Classical Experiments
Malcolm J Hawkesford, Peter Barraclough, Jonathan R Howarth, Chungui Lu and Keith Edwards
Background
The Rothamsted Classical Experiments were established in the 19th century by Sir John Lawes and Sir Henry Gilbert to investigate crop production and the influence of various combinations of inorganic and organic fertilisers on crop yields. One objective was to determine if the new inorganic fertilizers were as effective as farmyard manure in elevating crop yield. In addition, plots were established to express specific mineral deficiencies and these have been maintained with only minor modification ever since. The Broadbalk experiment represents a single field in which experimental plots have become established with distinct properties in relation to mineral availability and soil quality. It is possible to sample a wide range of treatments at this single site. Grain yields for the various plots have been recorded continuously and sample information is shown in Table 1. A clear response to applied nitrogen is evident with traditional farmyard manure comparing favorably to inorganic N applications. The specific mineral deficiencies have substantial influences on. Since 2000, one plot has received no sulphur (S) fertilizers. In 2002 yields on this plot were reduced for the first time by c. 1 t ha\(^{-1}\) compared to the controls.
In 2002, the first extensive samplings for molecular analyses were undertaken. Tissue samples were harvested both during the vegetative growth phase and at defined time points during early grain development. Messenger RNA (mRNA) was extracted from these tissues and is being subjected to transcriptome analyses using microarray and cDNA AFLP (amplified fragment length polymorphism) techniques.
Microarrays for whole transcriptome analysis
The BBSRC Investigating Gene Function (IGF) initiative has sponsored the development of a 10,000 unigene microarray chip. This has been produced in a collaboration between Rothamsted Research and Professor Keith Edwards (University of Bristol). The 10,000 genes represent a substantial proportion of the whole wheat genome and are drawn from a range of cDNA libraries from different tissues, grown under a variety of conditions. A collaborative project is underway between Rothamsted Research and the University of Bristol to...
analyze gene expression in wheat grain in relation to nitrogen inputs using material sampled from Broadbalk. Figure 1 shows an example microarray, with the 10,000 genes (amine-modified DNA) spotted in duplicate. This array has been hybridized with cDNAs made from two mRNA populations from wheat grain supplied with high and low rates of N. The cDNA populations are labeled with either a red or green fluorescent dye. The fluorescence intensity is directly related to the level of gene expression and the relative fluorescence of the two dyes, which may be accurately and independently quantified, compares the effect of the treatment on expression for each individual spot or clone. The fluorescence intensities for each spot may be plotted graphically (Figure 2). Most genes are expressed at similar levels and are plotted within the green delimiting lines, which represent experimental error. Points above the upper line or below the lower line represent preferential expression in the high and low nitrogen treatments, respectively. Each of these points represents one gene of the unigene set, whose sequence is known, and in many cases, whose identity has also been ascertained. The differentially expressed genes may be clustered into functional groups, and responses of whole biochemical pathways, at the level of gene expression, may be monitored in a single experiment. The output from this project is providing insights into the coordination of gene expression and biochemical pathways during grain development in response to nitrogen nutrition.
Screening for nutrient-regulated genes
Genes responding to specific nutrient deficiencies are also being identified. The approach is to sample leaf tissues from the nutrient deficient plots on Broadbalk at a time of rapid vegetative growth and high nutrient demand. The mRNA is extracted and a cDNA AFLP analysis is conducted. In this approach sets of oligonucleotide primers are used to generate cDNA fragments representing every gene expressed under each treatment. These fragments are then separated by gel electrophoresis allowing gene expression profiles to be compared (Figure 3). Using appropriate primer combinations, several thousand fragments can be resolved. An advantage of this approach is that gene analysis is not restricted to clones represented on the microarrays, where stress-induced genes may be under-represented. The differentially expressed fragments are excised directly from the gels, amplified, cloned and sequenced. The identity of the cDNA is determined by interrogation of gene sequence databases and the corresponding gene may then be isolated from a genomic library. Particular emphasis is placed on the isolation of the genomic region adjacent to the coding sequence as this contains the relevant control regions. Fusion of these control regions (the promoter) with a reporter gene allows the easy monitoring of expression when this construct is re-introduced into a plant. Methods for both transient and stable expression are being used to characterize the control regions. To date a number of candidate genes whose expression is controlled by specific nutrient limitations have been identified.
Figure 2. Scatter graph for visualization of relative expression between two treatments (high and low nitrogen-supply on Broadbalk) from a microarray experiment
Figure 3. Section of a cDNA AFLP gel showing transcripts from nutrient deficient plants grown on Broadbalk
Table 1. Grain yields of winter wheat (cv. Hereward) from a Broadbalk section of plots which have had wheat grown continuously (Section 1). Treatments are: farmyard manure (FYM), various levels of N in multiples of 48 kg/ha (N0 to N6) and K, Mg and P-deficient plots.
| Treatment | Mean grain yield (1996-2000) ± std dev. (t/ha @ 85% dry matter) |
|----------------------------------|------------------------------------------------------------------|
| FYM + N2 | 8.20 ± 0.50 |
| FYM | 5.99 ± 1.03 |
| N0 | 1.28 ± 0.35 |
| N1 | 3.18 ± 0.28 |
| N2 | 5.28 ± 0.69 |
| N3 | 6.10 ± 1.09 |
| N4 (control) | 7.16 ± 0.53 |
| N5 | 7.62 ± 0.88 |
| N6 | 8.00 ± 0.62 |
| K-deficient (+N4) | 3.61 ± 0.77 |
| Mg-deficient (+N4) | 4.77 ± 0.61 |
| P-deficient (+N4) | 1.91 ± 0.41 |
Exploitation
Differential gene expression, which correlates with nutrient use efficiency, may be directly responsible for the variation in this important trait, or may be a consequence of nutrient availability. If a direct causal relationship can be demonstrated then allelic variation of specific genes may become targets for selection in plant breeding programmes or for modification by genetic engineering to achieve improved nutrient use efficiency. Alternatively, if consequentially related, such genes may also provide useful indicative markers for breeding programmes or in the case of nutrient-deficiency induced changes in gene expression useful diagnostic markers. Laboratory-based analysis of marker-gene expression using, for example, PCR techniques, could be routinely supplied to the agricultural community (see Figure 4). However, it is highly desirable to achieve real-time analysis in the field, such that nutrient requirements of a standing crop may be directly fulfilled by appropriately precise fertilizer application. To supply this need, the concept of ‘smart plants’ has been proposed. The smart plants, which are transgenic lines containing the nutrient regulated promoter coupled to the reporter gene, would signal incipient deficiency in a sensitive and specific manner. The ideal reporter gene would give an easily measurable visible signal dependent upon nutritional status. Suitable sensors, perhaps located on the tractor supplying the fertilizer would respond to signals from either the crop plant or reporter plants scattered throughout the field (‘sentinel plants’). This would enable the precise delivery of fertilizer.
Figure 4. Development of diagnostic applications from expression profiling experiments
In all regions of the world, structural changes are taking place due to economic globalisation, rapid technological innovation, and alterations in national boundaries. Many European national databases do not include adequate socio-economic indicators to monitor these changes and the data quality and compatibility are often inadequate.
Interactions between the environment, society and technology
Janet Riley
Introduction
Dialogue between different groups in society is becoming ever more important in a world that is increasingly interlinked. Such communication must take into account structural aspects and diversities such as socio-economic status, cultural values, gender, employment availability, poverty levels and age. These complex inter-relationships need to be translated into a language understood by both political decision-makers and the players of civil society.
This is a new area of work that the Institute is seeking to make a contribution to, primarily though funding from DFID (Department for International Development) and the European Commission. It is very different to the traditional science carried out by Rothamsted, but at a national and international level, such cross-cutting work is seen as vital. Rothamsted, with its history of research in sustainable agriculture is well-placed to make such a contribution.
Women working on terraces in Nepal. (left)
Describing a participatory method. (right)
INTEREST
The UNIQUAIMS (Unification of Indicator Quality for Assessment of Impact of Multidisciplinary Systems) project, funded by the European Commission and co-ordinated by Rothamsted Research from 1998-2002, highlighted the poor appreciation of knowledge structures and relationships, as well as the inadequacies of indicators by which social and economic change are assessed. The collection of socio-economic data is scarce and irregular while reliable indicators of both environmental change and sustainability are poorly developed.
The on-going INTEREST project (Interactions between the Environment Society and Technology), also funded by the European Commission and co-ordinated by Rothamsted, is studying the current farmer and community ecosystem practices in five ecosystems in India, Sri Lanka and Nepal. It will link this to available scientific knowledge to analyse and describe changes in the pressures between environmental policy, social challenges and technological innovation. By the end of the project a range of dissemination tools will have been developed to deliver this improved knowledge to all levels of society. This will provide a greater understanding of environmental challenges at all social levels and lead to improved ecosystem management strategies for sustainable livelihoods.
India, Haryana
Degraded forest bamboo ecosystems
There are 125 indigenous, as well as exotic species of bamboo belonging to
23 genera, occupying 10.03 million ha (12%) of the total forest area of India. Bamboo is used extensively in India to support livelihoods, for basket-making, medicines, charcoal (for batteries), paper pulp and fodder. The intricate rhizome systems of bamboo are also useful for soil conservation. The Bhanjdas, the basket-making community of Haryana, are solely dependent on bamboo. After the formation of the State of Haryana, the Haryana Forest Department issued permits for bamboo extraction to the Bhanjdas, but population pressure and the growth of the market economy resulted in degradation of the bamboo system. A formal liaison between local communities and the Haryana Forest Department has reversed the degradation and has provided employment, more bamboo and community funds. Some social, economic and legal hurdles still exist, such as poor returns on sales. The process of change and reasons for the existence of legal hurdles is the subject of this study.
India, Karnataka
Small-scale farming systems in the peri-urban and rural areas of Karnataka
Farms and systems in this region are small (less than 1 ha land) and the main crop in the coastal region is paddy grown in three seasons, khariff, rabi and summer. Further inland, cash crops such as arecanut, coconut, cocoa, pepper and cashewnut are grown. Pulses and commercial sugar cane are also cultivated. Over the last few years there have been changes...
from non-commercial monsoon-dependant rice paddy to commercial irrigated crops of coconut, arecanut and sugarcane. This is partially due to rising labour costs, difficulties with paddy cultivation, environmental factors, such as increased soil salinity, and low returns on produce. The process of this technological change and its impact upon societies and the environment is not fully understood as it has not been monitored in depth.
**India, Goa**
*Degraded aquaculture systems*
The traditional khazans aquaculture systems are based on the principle of salinity regulation and tidal clocks. Estuaries, mangrove areas, embankments (*bunds*), creeks, sluice gates and drainage canals are part of these complex systems which are being damaged by local people in pursuit of short term economic gain. The ecological balance of the system has been altered through the introduction of non-traditional species and fishing systems. Other problems include the salinisation of the land, caused by inadequate maintenance of embankments, availability of markets and changes in management arrangements. The processes underlying these technological changes must be understood and then the relationships between the impact of these changes upon societies and the environment can be determined.
**Sri Lanka**
*Small-holder rubber production*
Large and medium estates account for most of the rubber production in Sri Lanka. Rubber production on the 155,000 small-holdings of less than 4 ha each accounts for about 33% of the total rubber production. Poor performance of these small-holdings has been related to unsatisfactory diffusion and adoption of new technologies. The four most important management practices to ensure reduction in immature periods and promote high latex yields are the use of high yielding clones, application of recommended fertiliser levels, weed control and ground cover management. Understanding of the social, technological and economic reasons for non-adoption of these technologies and the interactions between them is necessary. Also of importance is the Sri Lankan government’s formation of small-holder societies, *Thuru Saviya*, to help them in marketing, providing subsidised materials, low-interest loans for smoke house construction/renovation and improving technical know-how.
**Nepal**
*Degraded forest-watershed systems*
The typical Tamang village setting is of about 100 ha set in the mountains with forests, rivers, agricultural land (rainfed and irrigated), and grazing lands. The forests, (and associated rivers and land) formerly government-managed, are now run by the local communities. Women, particularly, use the natural resources in an integrated way to meet their basic needs, applying indigenous knowledge and making decisions by a democratic process. The type of livelihood is often caste-based with the Brahmin/Chhetri being most active in tree-growing. The resource base is facing great pressure to meet both basic needs and market demands.
Our partners, TERI (Tata Energy Research Intitute) of India, the Rubber Research Institute of Sri Lanka and ENPHO (Environment and Public Health Organisation) of Nepal, gathered local data in these ecosystems. The teams undertook RRA (Rapid Rural Appraisal) for each study area, field visits to collect and study data, open interviews with key participants along with a detailed household survey, and PRAs (Participatory Rural Appraisals).
The collected data have now been analysed by the Asian teams and the results presented at the first workshop, held in Nepal last December. Potentially useful indicators have been identified. Interventions are being applied during the second year to introduce changes to the systems and monitor these in parallel with present systems. Future work will build on this with further data collection and analysis to refine the indicators. Finally we will have an appreciation of the key pressures and indicators causing change in the selected ecosystems and the changing relationships between the key technological, social and environmental pressures of each ecosystem.
A variety of ways will be developed to share this information with the public, from scientific reports and formats appropriate to funding bodies and governments, to locally distributed materials in local languages in each ecosystem.
In Sub-Saharan Africa agriculture provides about 70% of employment, 40% of exports and one third of GNP. Two-thirds of the region’s 615 million people live on small farms with low-productivity (Conway and Toenniessen, 2003). The Sub-Saharan population is the world’s largest remaining concentration of people who go to bed hungry, with about one third of the population routinely lacking sufficient food. The numbers of hungry people will increase as food production per capita declines as a consequence of rapid population growth and low crop yields. The latter result from depletion of soil nutrients and losses caused by pests, diseases and abiotic stresses (ibid). We describe some of the work in Rothamsted Research, aimed at contributing to the challenge of achieving food security in Sub-Saharan Africa.
Conway, G. and Toenniessen, G. (2003) Science: 299 1187-1188
Rothamsted Research in Africa – focus on phytoplasma diseases
Phil Jones
The African continent is characterised by its range of climate and ecosystems, including Mediterranean regions, dry sub Saharan scrub, tropical rainforests and savannah. The phytoplasmas are microscopic prokaryotic plant pathogens that can exploit crops in all these environments.
The most devastating phytoplasma diseases are observed in coconut growing regions. Cape St Paul Wilt disease destroys tens of thousands of coconut palms every year in Ghana. The same phytoplasma also causes Bronze Leaf Wilt or Awka disease in Nigeria. Rothamsted has been working with the Coconut Programme of the Council for Scientific and Industrial Research in their search for genetic resistance. In East Africa, Coconut Lethal Decline is caused by a phytoplasma with a slightly different genome to the Cape St Paul Wilt phytoplasma. This difference means that varieties of coconut resistant in West Africa are highly susceptible to the phytoplasma in east Africa. The use of molecular markers developed in Rothamsted Research should help speed up the selection of new coconut varieties for disease resistance.
Sugar Cane Yellow Leaf Disease results in a reduction of sugar content and an increase in other polysaccharides that can gum up processing plants. As sugarcane is largely a vegetatively propagated crop it is important that seed cane is not produced from plants infected by phytoplasmas. This disease was thought to be a nutritional disorder but Rothamsted investigations have shown that it is caused by at least two different phytoplasmas. Collaborating institutes include the South African Sugar Experiment Station and the Mauritius Sugar Industry Research Institute.
White Tip Die Back and Slow Decline are two lethal diseases of date palms in Sudan that Rothamsted studies, conducted in conjunction with FAO, have also associated with phytoplasmas. Ribosomal RNA sequence data have shown them to have a 99% similarity with the phytoplasma that causes White Leaf Disease of Bermuda grass, a common weed in date palm groves. As date palms are vegetatively propagated, growers must take care that only uninfected palms are selected for propagation.
In Kenya, Napier grass is grown extensively as a fodder crop and as a soil stabiliser. Recent work by Rothamsted Research and ICIPE has shown that this grass can also be used as a trap crop to control stem boring moth larvae. However, in the past year a serious yellowing and stunting disorder of Napier grass has spread through the Kitale region of Kenya. All eleven samples sent to Rothamsted tested positively for the presence of phytoplasma. Sequencing of the 16S
Phytoplasmas
The phytoplasmas are a group of prokaryotic, microscopic plant pathogens that cause over 700 diseases of food, fibre and ornamental plants. They are found mainly in the phloem sieve tubes of their plant hosts and in certain sucking insects, which can act as vectors. They can also be spread by grafting, by parasitic plants or by seed transmission. Detection of phytoplasmas is by grafting to susceptible host plants, microscopy, serology (ELISA), nucleic acid hybridisation or DNA amplification using the polymerase chain reaction (PCR). Symptoms displayed by plants infected with phytoplasmas include foliage yellowing, petal greening, shoot proliferation, stunting, little leaf formation, necrosis and a decline of vigour leading to death.
rDNA and comparison with other phytoplasma sequences has shown that the phytoplasma is related (86% similarity) to the Bermuda grass White Leaf phytoplasma. Work is continuing in conjunction with colleagues at KARI to ascertain whether spread is due to an insect vector or solely by vegetative propagation.
The phytoplasmas were once thought to be viruses but they are in fact members of the class Mollicutes, microscopic organisms that do not have a cell wall. Other members of the Mollicutes include spiroplasmas (helical motile organisms which infect plants and insects) and mycoplasmas (which infect animals). Phytoplasmas were originally classified according to their disease symptomatology but this has been replaced by phylogenetic analysis based on their 16S rDNA. Currently fourteen groups of phytoplasmas are recognised. Phytoplasma genomes range in size from c.500 to 1600Kb and several research groups world-wide are attempting to sequence complete genomes, a job made more difficult because these organisms cannot be grown in pure culture.
Rothamsted International in Africa
Stephen James
Rothamsted International (RI) Fellowships are entirely supported by the generosity of charitable donations from Rothamsted staff, Trusts and Foundations as well as companies, including the covenanted profit of Rothamsted International Consulting Limited.
The scheme gives excellent researchers from developing countries the chance to extend their scientific knowledge and skills by drawing on the facilities and resources at Rothamsted to address problems of their own country. In this way RI Fellows target the sorts of issues that are impeding the development of agriculture, assist in the development of research capacity where it is needed and so help in the fight to provide food security and alleviate poverty. Now celebrating its 10th anniversary, the RI
fellowship scheme has provided such opportunities for over 90 visiting Fellows, the vast majority of whom have returned home (a condition of the Scheme) to transfer technology through university teaching, extension services and commercial exploitation. A particularly important feature of the scheme is the extended period of preparation between the researcher in the host laboratory and the visitor. This allows both parties to get maximum benefit from the typical 12 month Fellowship period.
Coming from Ghana, Kenya, Nigeria and South Africa, African RI Fellows have participated in a wide range of the Institute’s work.
Integrated crop management relies on the understanding of how insecticides can have undesirable impact upon the natural enemies that act to limit pest numbers in natural situations. Insecticides can affect foraging and performance as well as having directly lethal effects. Understanding this can ensure that insecticides are only applied at optimum periods to minimise undesirable effects. Other studies have included those designed to enhance the reservoir populations of natural enemies by providing appropriate food (host) sources. This may require using a small area of land for this purpose and this is not an easy decision when land is limited and crop losses are high. Fellows have also been involved in understanding the chemical cues that determine behaviour of pests such as the Sorghum Midge (*Astylus atromaculatus*), a major problem on an important staple crop in Africa.
Careful work revealed that the problem was not in fact one of resistance, but poor responsiveness to the chemical was due to incorrect application both in timing and methodology. As a result the Fellowship was re-targeted to understanding pesticide use, so helping to avoid abuse of these, sometimes expensive, chemicals.
Over half of the sugar cane in South Africa is grown by small holders and one of our RI Fellowship projects was aimed at contributing to the global effort to control phytoplasma disease in this important crop.
Despite the success of the RI Fellowships, it is of concern that of our 90 Fellows, only eight have come from Africa. Rothamsted International wishes to increase the proportion of Fellows from this region of the world that particularly needs to harness agriculture as an engine for growth.
If you share this aim and could contribute to the support of Rothamsted International please make contact with the office. Similarly, get in touch if you are a researcher working in Africa and believe you or a colleague could benefit from the experience of 6-12 months at Rothamsted.
http://www.rothamsted.bbsrc.ac.uk/ri/ri.htm
Sunday Ekesi inoculating aphids with a fungal pathogen
ARIA is the Members’ Association of Rothamsted Research and was launched in 1990, merging the Long Ashton Members’ Association and the Friends of Rothamsted. ARIA aims to forge two-way links between the Institute’s scientists and people involved in the cereals and arable farming business. Members have privileged access to the latest developments in agricultural research through direct contact with scientists involved in relevant research programmes. Regular interactive workshops on targeted research topics are run throughout the year and members receive a quarterly newsletter covering different aspects of Institute science. The ARIA website is at http://www.rothra.org
ARIA is independent of Rothamsted Research and is run by a board of directors, chiefly appointed from the membership.
The past year has seen a great amount of change within the structure of ARIA, some of which is still ongoing. The secretariat move to Rothamsted was finally completed and at the AGM in November 2002, Dr Susannah Bolton took over the role of Company Secretary from Harry Anderson who retired after many years service to both the Institute and the Association.
This restructuring was carried out alongside the extensive changes within the Institute. ARIA must respond to new developments in the work of the Institute and in the needs of the industry. The face of modern agriculture has changed dramatically over recent times and the changes in ARIA are designed to reflect the needs of a wider membership, and to take account of new science that has been developed within the Institute. The first of these changes during the coming year will be to change the name from the Arable Research Institute Association to Rothamsted Research Association (RRA), thus reflecting the close alliance that the Association has with the Institute.
This however is all in the future and the past year has been successful in itself. The Science Day in June, entitled “Research and Development - Integrating Priorities and Fulfilling Industry Needs” was well attended and looked at addressing the issues that are becoming prominent in the arable sector. Senior figures from LEAF, HGCA, Defra and BBSRC, as well as speakers from various research organisations, all contributed to making it a success. A key output from the day was a report submitted to Defra by the Association, in response to the Defra
The AGM in November was held at Long Ashton and was a farewell from ARIA to the Station. The subsequent workshop focused on work that will be transferring from Long Ashton to Rothamsted, following the closure of the Long Ashton site. This covered a number of topics, including GM, understanding and improving the bread-making quality of wheat and genetic diversity. Harry Anderson also gave a presentation looking back at the 100 years of research that was carried out at the Long Ashton site.
January saw the first workshop run jointly with HGCA entitled “How to Tackle Herbicide Resistance” and held at Broom’s Barn. It was a resounding success in terms of both presentations and attendance. This style of workshop, focusing on a specific subject and led by a scientist or expert in the field, has proved to be a popular format and will continue with further joint workshops planned. The first will be in April with a “Farm Strategies to Avoid Resistance” workshop, this time held at Newbury racecourse, and further events are planned for the coming Autumn / Winter.
I would like to take this opportunity to thank all the staff of the Institute, both past and present, who have supported ARIA in so many ways. I am grateful to the board who have given both time and thought to the needs of the organisation and who have had the foresight to plan for change. Lastly I thank the members and others who have contributed to the events, which we hope have benefited both themselves and the Institute in promoting a modern industry based on sound science.
The images in the collage represent various aspects of agriculture and nature:
1. **Top Left**: A close-up of yellow flowers, possibly corn or another crop.
2. **Top Middle**: A field of wheat with green stalks and white grains.
3. **Top Right**: Insects on a plant, possibly aphids or other pests.
4. **Middle Left**: A field of white daisies with red poppies.
5. **Middle Middle**: Insects on a plant, possibly aphids or other pests.
6. **Middle Right**: Leaves with a butterfly resting on them.
7. **Bottom Left**: An aerial view of agricultural fields with a building in the background.
8. **Bottom Middle**: A field with people working, possibly farmers.
9. **Bottom Right**: A coastal scene with palm trees, boats, and a hut.
## Research projects
### Developmental Genetics
**Holdsworth, M.J**
- Regulation and manipulation of gene expression during development and germination of cereal grains
**Lenton, J.R**
- A transgenic approach to analyse susceptibility to pre-harvest sprouting and potential for improved resistance in wheat
**Holdsworth, M.J**
- Analysis of cereal transplastomic technology for preventing the expression and spread of transgenes in pollen
**Jones, H.D**
- Cereal community resources for investigating gene function
**Holdsworth, M.J**
- Defining the genetic control of germination in Arabidopsis
**Holdsworth, M.J**
- Development of the tools required to dissect large plant genomes and their application to a complex region of the maize genome linked to a disease resistant super locus
**Holdsworth, M.J**
- Development of wheat allele (ASOS)
**Holdsworth, M.J**
- Developmental cell biology of oilseed rape pods
**Huttl, A.K**
- Do transgenes predictably alter the expression of the genome? Using wheat grain as a model
**Holdsworth, M.J**
- Functional genomics of shoot meristem dormancy
**Holdsworth, M.J**
- Molecular biology of embryo development and germination
**Holdsworth, M.J**
- Monsanto Case Award
**Jones, H.D**
- Regulatory gene initiative in Arabidopsis
**Holdsworth, M.J**
- Structural and functional genomics for crop improvement
**Holdsworth, M.J**
- The prevention of pod shatter in oilseed rape
**Child, R.D**
- Tissue culture and transformation of diploid wheat species
**Jones, H.D**
- To further develop, study, optimise and apply enabling cereal transformation technologies
**Jones, H.D**
- Use of maize and rice Mar sequences to stabilise the expression of transgenes in wheat
**Jones, H.D**
- ZEASTAR
**Holdsworth, M.J**
### Signalling and Development
**Hedden, P**
- Molecular cloning and characterisation of genes encoding cytochrome P450s of gibberellin biosynthesis
**Hedden, P**
- Molecular cloning, function and structure of gibberellin-biosynthetic enzymes
**Hedden, P**
- Molecular interactions between ethylene and gibberellin pathways in plants
**Hedden, P**
- Putting insects off the scent; modifying plant semiochemistry to disrupt plant-insect interactions
**Shewry, P.R**
- Regulation and genetic manipulation of gibberellin catabolism
**Hedden, P**
- Regulation of gibberellin biosynthesis
**Phillips, A.L**
### The physiological roles of gibberellin 20-oxidase isozymes in plant development
**Hedden, P**
### The roles of gibberellin 3β-hydroxylases in plant growth and development
**Phillips, A.L**
### Stress Biology
**Foyer, C**
- Detoxification of reactive oxygen species: Molecular strategies
**Foyer, C**
- Increased nitrogen use efficiency in wheat: Towards a sustainable future (SUSTAIN)
**Foyer, C**
- Integration of primary and intermediary metabolism for optimal resource use efficiency during stress
**Foyer, C**
- Senescence and oxidative stress in plant systems
**Foyer, C**
- The role of extracellular enzymes in xenobiotic metabolism and uptake in plants
**Parry, M.A.J**
### Metabolic Signalling
**Halford, N.G**
- Developing wheat genotypes with reduced nitrogen requirement by manipulation to decrease Rubisco content
**Mitchell, R.A.C**
- Genetic regulation of sink strength in wheat and potato - GRiSSi
**Halford, N.G**
- Improvement of Marama Bean an under-utilised grain and tuber producing legume for Southern Africa
**Lawlor, D.W**
MARISCO - Improving arable production systems by expressing marine algal rubisco in crop plants
Parry, M.A.J
Metabolic signalling and the partitioning of resources in plants
Halford, N.G
Molecular basis of changes in resource allocation induced by antisense SNRK1 gene expression and environmental stress
Halford, N.G
OPTIMISE
Parry, M.A.J
Regulation and manipulation of Rubisco activity in crop plants
Parry, M.A.J
Source/sink interactions and resource allocation: the role of carbohydrates
Paul, M.J
Nematode Interactions
Kerry, B.R
Biomanagement of root-knot nematodes in peri-urban agricultural systems
Kerry, B.R
Cultivar trial to assess reproductive rates and tolerance, Woburn 2002
Evans, K
Dupont Case award
Barker, A.D.P
Ecology of tritrophic nematode interactions (ECOTRAIN)
Davies, K.G
Impact of nematophagus fungi on potato cyst populations
Kerry, B.R
Integrated management strategies for potato cyst nematodes
Evans, K
Molecular genetics of interactions between plants and sedentary nematodes
Cabrera Y Poch, H.L
PCN Management Options - a desk study
Kerry, B.R
Potato cyst nematode control in Jersey
Kerry, B.R
Spatial distribution, dynamics and genetics of populations of potato cyst nematodes
Evans, K
Survey of South African soils for nematode destroying fungi
Kerry, B.R
The diversity of *Verticillium chlamydosporium* populations and its relevance to the regulation of nematode populations
Hirsch, P.R
The diversity, biology and dynamics of microbial agents that regulate nematode populations in the rhizosphere.
Hirsch, P.R / Kerry, B.R
Metabolic Engineering
Beale, M.H
Cloning and characterisation of genes involved in xenobiotic metabolism
Theodoulou, F.I
Comparison of the metabolome and proteome of GM and non GM wheat
Beale, M.H
Diversification with crambe, an industrial oilseed crop
Glen, D.M
Engineering novel fatty acids desaturases
Napier, J.A
Expression patterns of gluten genes in transgenic wheat and their effect on grain processing properties
Jones, H.D
Fatty acid metabolism
Napier, J.A
Genetic enhancement of nutritional quality of grain sorghum
Shewry, P.R
Impact of water availability during development on the composition and functional properties of wheat
Shewry, P.R
Improved *Striga* control in maize
Beale, M.H
Isolation of DNAs for novel fatty acid desaturase enzymes and their use to manipulate fatty acid and triglycerol composition in transgenic plants
Napier, J.A
Managing late N applications to meet wheat protein market requirements using pre-harvest Near InfraRed (NIR) sensing
Shewry, P.R
Molecular biology of PUFAs
Napier, J.A
Molecular mechanisms of wheat protein elasticity
Halford, N.G / Shewry, P.R
Polyunsaturates fatty acid biosynthesis: Functional characterisation of novel elongase components
Napier, J.A
Structural and protein engineering studies of novel cereal and oilseed proteins with functional properties or biological activity
Shewry, P.R
The Arabidopsis functional genomics resource network: Metabolic profiling
Beale, M.H
The biochemical and molecular basis for grain texture in wheat
Shewry, P.R
The chemistry and molecular biology of plant signals hormones, defence and terpenoid secondary metabolites
Beale, M.H
The molecular basis for the emulsification properties of seed proteins
Shewry, P.R
Wheat gluten proteins: their characterisation and role in determining the functional properties and end use quality of wheat
Shewry, P.R
Wheat quality improvements through manipulation of storage proteins
Shewry, P.R
Pathogen Population Biology & Disease Management
Lucas, J.A
Analysis of infection processes in plant pathogenic fungi
Lucas, J.A
Ascospores, fungicides and epidemiology of Septoria diseases on winter wheat
Fitt, B.D.L
Case Award - Douglas Arkell
Fitt, B.D.L
Characterisation and diagnosis of viruses affecting tropical crops
Jones, P
Development of an optical detection system for diseases in field crops (OPTIDIS)
McCartney, H.A
Development of field testing of fungicide anti-resistance strategies with particular reference to the strobilurin (QoI) group of fungicides
Lucas, J.A
Development of immuno-diagnostic techniques for light leaf spot (Pyrenopeziza brassicae) on winter oilseed rape
Fitt, B.D.L
Epidemiology of Rhynchosporium to improve barley risk assessment
Lucas, J.A
Epidemiology of winter oilseed rape diseases
Fitt, B.D.L
Evaluation of root diseases of winter oilseed rape in the UK
Evans, N
Evolutionary ecology of fungal plant pathogen divergence
Van Den Bosch, F
Fundamental studies of the interaction between environmental factors, crop pathogens and pests, and crops
McCartney, H.A
Identification of fungicide resistance markers in Rhynchosporium secalis and the effect of fungicides on populations of barley leaf blotch
Fraaije, B.A
INCO Fellowship - Dr Zbigniew Karolewski
Fitt, B.D.L
Indo - UK collaboration on oilseed crops
Nashaat, N.I
Indo - UK collaboration on oilseed crops (visiting scientists)
Nashaat, N.I
Interactions between cropping systems and soil-borne cereal pathogens
Jenkyn, J.F
Investigation into the epidemiology of Kalimantan wilt of coconuts in Indonesia
Jones, P
Optimising control of stem canker on WOR
Fitt, B.D.L
Pest and disease management system for supporting winter oilseed rape decisions (PASSWORD)
Fitt, B.D.L
Quantitative comparative plant disease epidemiology
Fitt, B.D.L
SECURE - Stem canker of oilseed rape: Molecular tools and mathematical modelling to deploy resistance
Evans, N
The role of volatile signals in plant-fungal interactions
Lucas, J.A
Understanding the evolution and dynamics of fungicide resistance development in cereal pathogens
Fraaije, B.A
Weather/disease interactions influencing winter wheat leaf disease epidemics
Van Den Bosch, F
Wheat Pathogenesis
Hammond-Kosack, K
A functional genomics approach to the identification of genes determining fungal pathogenesis of cereals
Hargreaves, J.A
Characterisation of plant virus transmission by fungi
Adams, M.J
Characterisation of resistance to the barley mosaic virus
Adams, M.J
Consortium for the functional genomics of microbial eukaryotes
Hargreaves, J.A
Effects of fungicides on take-all in wheat
Jenkyn, J.F
Epidemiology and control of fungally transmitted cereal viruses
Adams, M.J
Epidemiology of cereal stem base and ear blight pathogens
Bateman, G.L
Fungicides for controlling take-all in cereals
Bateman, G.L
Hazard analysis control of food contamination: Prevention of Fusarium mycotoxins entering the human and animal food chain
Bateman, G.L
Isolation and characterisation of pathogenicity genes
Bowyer, P
Maximising disease resistance escape and tolerance in wheat through genetic analysis and agronomy
Jordan, V.W.L / Lovell, D.J
Optimising the performance and benefits of take-all chemicals
Bateman, G.L
Pathogenicity of non-biotrophic fungi infecting cereals
Hammond-Kosack, K
Population biology and molecular ecology of plant pathogenic fungi
Bateman, G.L
Response of winter barley cultivars to barley mild mosaic and barley yellow mosaic virus
Adams, M.J
Strategies for the integrated control of take-all
Bateman, G.L
**Plant Population Biology and Genetics**
*Karp, A*
A weed management support system (WMSS) for weed control in winter wheat
*Lutman, P.J.W*
Bayesian inference of the genealogy of a predominantly selfing population from multi locus genotype data
*Dawson, K.J*
Determine effectiveness of AEF6102-04H alone and in tank mixture for control of herbicide resistant strains of black-grass and rye-grass
*Moss, S.R*
Developing and disseminating decision support tools to the arable sector
*Mayes, J.A*
Development of population genetic models and statistical methods for inferring parameters
*Dawson, K.J*
Evolution and characterisation of resistance to ALS inhibiting herbicides in weeds
*Moss, S.R*
Herbicide resistance management: evaluation of strategies (HeRMES)
*Moss, S.R*
Herbicide Studies
*Glen, D.M*
Improving crop profitability by using minimum cultivation and exploiting grass/weed ecology
*Moss, S.R*
Improving willow breeding efficiency for biomass through the implementation of molecular marker technologies
*Karp, A*
Integrated control of fungal diseases in willows and poplars for bioenergy
*Pei, M.H*
Integrated non-fungicidal control of Melampsora rusts in renewable energy willow plantations
*Pei, M.H*
Management of emergent aquatic and riparian vegetation
*Newman, J.R*
Methods to diversify field margin plant communities
*Marshall, E.J.P*
Modelling weed crop dynamics and competition to improve long-term weed management
*Cussans, J.W*
Novel methods of controlling submerged aquatic vegetation and algae
*Newman, J.R*
Parameterising the biology and population dynamics of weeds in arable crops to support more targeted weed management
*Lutman, P.J.W*
Partnership willow breeding
*Karp, A*
Pest population behaviour in relation to the biological chemistry of willows: towards optimisation of non-chemical control
*Karp, A*
Population genetics of herbicide resistance in grass-weeds
*Karp, A / Moss, S.R*
Provision of best practice advice on aquatic and riparian vegetation management
*Newman, J.R*
Sustainable weed management: development of techniques to balance biodiversity benefits with retention of yields
*Lutman, P.J.W*
The dynamic nature of introgressive hybridisation in natural and introduced polyploid plants from agricultural and riparian landscapes: An evaluation of molecular tools in willows
*Barker, J.H.A*
The effects of different crop stubbles and cereal straw disposal methods on wintering birds and arable plants
*Marshall, E.J.P*
Use of molecular genetics in understanding population biology of key species in arable systems
*Karp, A*
**Invertebrate Population Genetics and Ecology**
*Denholm, A.I*
A review of research into the effects on farmland biodiversity of the management associated with genetically modified cropping systems
*Perry, J.N*
Agricultural implications of insect population dynamics and the conservation of biodiversity
*Woiwod, I.P*
An harmonic radar investigation of the navigational performance of honey bees
*Woiwod, I.P*
Aphid ecology and population dynamics
*Harrington, R*
Dissemination and exploitation of aphid monitoring data
*Harrington, R*
Ecological genetics and management of insecticide resistance
*Denholm, A.I*
Exploitation of aphid monitoring in Europe (EXAMINE)
*Harrington, R*
Factors influencing resistance proneness and development in aphids
*Denholm, A.I*
Farm scale studies of GM winter oilseed rape and farmland wildlife
*Woiwod, I.P*
Field-scale evaluation of GM crops
*Marshall, E.J.P*
Forces driving changes in spatio-temporal dynamics in the garden tiger moth (*Arctia caja*) over the UK
*Perry, J.N*
Individual-based spatio-temporal predator-prey dynamics
*Perry, J.N*
Integrated control of slugs in arable crops
*Bohan, D.A*
Integrated control of slugs in horticulture
*Glen, D.M*
Long term trends in insect biomass
*Harrington, R*
Management of insect pests and viruses of tobacco using ecologically compatible technologies
*Denholm, A.I*
Modelling the effects on farmland webs of herbicide and insecticide management in the agricultural ecosystem
Perry, J.N
Modelling the spatio-temporal distributions of slugs for scenarios of climate change
Bohan, D.A
Monitoring and management of resistance to neonicotinoids and other insecticides in *Myzus persicae*
Denholm, A.I
Monitoring movement of herbicide resistance genes from farm scale evaluation field sites to populations of wild crop relatives
Woiwod, I.P
Monitoring the response of European populations of *Myzus persicae* to Decamethrin
Denholm, A.I
Natural enemies of arable pests - study of movement and host preferences using molecular markers
Loxdale, H.D
Outdoor lettuce: the control of aphids resistant to insecticides
Denholm, A.I
Population and insecticide resistance dynamics in aphid vectors of beet viruses
Harrington, R
Population genetics of knockdown resistance (kdr) to pyrethroid insecticides in the aphid, *Myzus persicae*
Denholm, A.I
Pyrethroid / OP mixtures for the control of *Helicoverpa armigera*
Devine, G.J
Radar studies on the high altitude movement of aphid predators
Woiwod, I.P
Research into spatio-temporal dynamics for ecological and agricultural populations
Perry, J.N
Sea lice resistance to chemotherapeutants
Denholm, A.I / Devine, G.J
Sustainable control of the cotton bollworm, *Helicoverpa armigera*, in small-scale production systems
Devine, G.J
**Insect Behaviour**
Powell, W
Behavioural ecology of pollinators
Williams, I.H
Ecological and behavioural side-effects affecting the evolution of insecticide resistance in the aphid *Myzus persicae*
Powell, W
Factors affecting cross-pollination in oilseed rape varieties, particularly low fertility, growing under typical UK conditions
Osborne, J.L
Fungal control of *Varroa destructor*
Ball, B.V
Increasing beneficial insect numbers and diversity in field margins for aphid control
Powell, W
Integrated management of pest and beneficial insects on oilseed rape
Williams, I.H
Integrated pest management strategies incorporating bio-control for European oilseed rape pests [MASTER]
Williams, I.H
MiCo SPA - Microbial control in sustainable peri-urban agriculture in Latin America (Cuba and Mexico)
Pell, J.K
Multitrophic interactions on transgenic plants: Quantifying the risk and determining potential ecological consequences
Pell, J.K
New approaches to studying tritrophic interactions involving resistant transgenic plants
Powell, W
Novel pest and disease control - OSR
Pickett, J.A
Novel strategies for aphid control using entomopathogenic fungi
Pell, J.K
Protocols for laboratory, extended laboratory and semi-field bioassays in pesticide risk assessment schemes for non-target arthropods
Powell, W
Role of foraging behaviour in parasitoid ecology and population structure
Powell, W
Screening pathogens for biocontrol of *Varroa jacobsoni*
Ball, B.V / Pell, J.K
Spatial modelling of *Bombus terrestris* and *B. pascuorum* populations in agricultural landscapes
Osborne, J.L
The control of exotic bee diseases
Ball, B.V
Utilising populations of natural enemies for control of cereal aphids
Powell, W
**Chemical Ecology**
Pickett, J.A
A strategic approach to the effects of pest and disease management on the dynamics of the species complexes of *Bemisia tabaci* transmitted Begomovirus
Wadhams, L.J
Armoured bush cricket investigations
Wadhams, L.J
Biocontrol approaches to aphid control
Wadhams, L.J
Chemistry of rhizosphere interactions bewteen the legume *Desmodium uncinatum* and the parasitic weed *Striga hermonthica*
Pickett, J.A
Development of effective control methods for the chicken mite (CHIMICO)
Wadhams, L.J
Exploiting knowledge of western flower thrips behaviour to improve the efficacy of biological control measures
Wadhams, L.J
Field studies: semiochemicals and pest/natural enemy dynamics
Pickett, J.A
Identification of semiochemicals of insect pests with potential for minimising use of pesticides in UK crops
Pickett, J.A
Identification of the sex pheromones of prune aphids
Wadhams, L.J
Improving biological control of thrips and aphids on protected ornamentals
Wadhams, L.J
Insect chemical ecology: identification and production of chemical signals (semiochemicals)
Pickett, J.A
Insect chemical ecology: understanding the roles and underlying mechanisms of chemical signals (semiochemicals)
Wadhams, L.J
INSENSE prototypes - Bee sensing systems for volatile indicator molecules
Wadhams, L.J
Integrated control of wheat blossom midge
Wadhams, L.J
NATO Postdoctoral Fellowship
Pickett, J.A
New semiochemical opportunities from Nepeta spp. as a non-food crop
Pickett, J.A
Researching strategies for the control of Culex spp. mosquitos
Pickett, J.A
Role of wild habitat in the invasion of cereal crops by stem-borers, Chilo partellus, Busseola fusca, in Africa
Wadhams, L.J
**Pesticide Chemistry**
Bromilow, R.H
Behaviour of pesticides in the field in sediment / water systems for use in predicted environmental concentrations (PECs) for surface waters
Bromilow, R.H
Circumventing pesticide resistance through chemistry-led approaches
Khambay, B.P.S
Laboratory column investigation of preferential flow of pesticides; particularly the loading and unloading of macropores
Bromilow, R.H
**Nutrient Dynamics**
Goulding, K.W.T
Advanced terrestrial ecosystem analysis and modelling (A TEAM)
Glendining, M.J
An interactive study on S Cycling and C, N & S interactions in agricultural ecosystems
McGrath, S.P
Application and development of a UK nitrous oxide emission model
Goulding, K.W.T
Assessing the role of dissolved and particulate organic matter (DON/PON) in N cycling within natural, semi-natural and agro eco-systems in the UK
Goulding, K.W.T
Assessment of P leaching losses from arable land
Brookes, P.C
Atmospheric deposition and its impact on ecosystems
Goulding, K.W.T
Carbon and nitrogen transformations in soils
Goulding, K.W.T
Development of a prototype soil nitrogen supply calculator
Goulding, K.W.T
Environmental benchmarks of arable farming
Goulding, K.W.T
Framework to evaluate farm practices to meet multiple environmental objectives
Goulding, K.W.T
Harnessing tillage x nutrient management interactions using participatory approaches to improve rice wheat systems productivity and sustainability
Gaunt, J.L
How far will medium term weather forecasts improve assessment of risks?
Glendining, M.J
Improving the physiological and agronomic basis of UK lupin production
Shield, I.F
Increasing the efficiency of phosphate fertiliser use
Brookes, P.C
LIFE - The effect of ploughing after non-inversion tillage
Donaldson, G
Livelihoods improved in Bihar and Uttar Pradesh
Gaunt, J.L
Long-term experiments in nutrient cycling research
Powlson, D.S
Long-term sustainability of cereal yields
Goulding, K.W.T
Modelling nitrogen fluxes in tundra ecosystems on Svalbard
Poulton, P.R
Paradigms for modelling environmental systems
Whitmore, A
Soil microbial, organic matter and nutrient interactions
Brookes, P.C
Strengthening rural services for improved livelihoods in Bangladesh
White, S.K
Sulphur dynamics in the soil/crop/atmosphere system
Zhao, F.J
Technology transfer: effective nutrient use for arable crops
Goulding, K.W.T
The Coates Farm Study II - Nitrogen flows in a changed mixed farming study
Goulding, K.W.T
The impact of land management practice on the global warming potential (GWP) of UK agriculture
Goulding, K.W.T
Using long-term experiments to study the sustainability of agroecological systems
Poulton, P.R
Using the PSALM model to interpret the phosphate change point and its relation with iron in the soil
Addiscott, T.M
Nutrient Acquisition
Hawkesford, M.J
A novel method for diagnosis of S deficiency and its development as a practical tool for routine testing
BlakeKallf, M.M.A
Does soil mechanical impedance cause changes in plant gene expression?
Hawkesford, M.J
Dynamics of nutrient pools in plants and their relationship to crop growth, yield and quality
Barraclough, P.B
Effects of nitrogen supply on the wheat endosperm transcriptome
Hawkesford, M.J
Establishing the potassium requirements of modern, high yielding sugar beet crops for yield and beet quality
Barraclough, P.B
Optimising nutritional quality of crops
Hawkesford, M.J
P diagnostics for oilseed rape crops
Barraclough, P.B
Plant use of nitrogen (PLUS N) research training network
Miller, A.J
Regulation of sulphate transporter gene expression and sulphur metabolism in cereals, source-sink interactions and sulphur supply to grain tissues
Hawkesford, M.J
Smart plant technology for sensing crop nutritional status
Hawkesford, M.J
Soil sensors for nitrogen availability
Miller, A.J
The cell biology of nitrogen acquisition and allocation
Miller, A.J
Soil Protection and Remediation
McGrath, S.P
Development of a predictive model of bioavailability and toxicity of copper in soils
McGrath, S.P
Development of a predictive model of bioavailability and toxicity of nickel in soils
McGrath, S.P
Effects of inorganic metal salts on soil microbial activity
McGrath, S.P
Effects of metal salts on soil fertility - Phase III
Chaudri, A.M
Effects of sewage sludge applications to agricultural soils on soil microbial activity and the implications for agricultural productivity and long-term soil fertility
Chaudri, A.M
Effects of sewage sludge applications to agricultural soils on soil microbial activity-implications for agricultural productivity and long term soil fertility - Phase II
Chaudri, A.M
Effects of sewage sludge on long term soil fertility: Phase III
Chaudri, A.M
Effects of Zn contamination on soil microbial processes
McGrath, S.P
Evaluation of the factors controlling selenium and cadmium uptake by cereal crops
Zhao, F.J
Identification of genes involved in cadmium hyper-accumulation in a higher plant, *Thlaspi caerulescens*
Hawkesford, M.J
*In situ* remediation of industrial soils using red mud
McGrath, S.P
International project for the remediation and inactivation of metals *in situ* (IMPRIMIS)
Lombi, E
Phytoremediation of contaminated soils
McGrath, S.P
Research on assessment of polluted soils and their remediation
McGrath, S.P
Research on assessment of polluted soils and phytoremediation
McGrath, S.P
Rhizoremediation of land contaminated with persistent organic pollutants; elucidation manipulation and modelling of the processes involved
McGrath, S.P
Selection of plant genotypes from Kazakhstan flora contributing to alleviation of heavy metal hazard to human and animal health
McGrath, S.P
Soil protection and remediation by chemical and biological approaches
McGrath, S.P
Carbon Cycling
Powlson, D.S
Agronomy of reed canary grass and switchgrass
Christian, D.G
Dynamics of organic carbon in soil
Powlson, D.S
Enviros composting project
Brookes, P.C
Evaluating grasses as a long term energy resource
Christian, D.G
GM impacts on the soil gene pool, microbial activity and diversity
Hirsch, P.R
Governing a trial of the suitability of switchgrass and reed canary grass as a bio-fuel crop under UK conditions
Christian, D.G
Microbial function in nitrogen and carbon transformations
Gaunt, J.L / Powlson, D.S
Provision of information on crops with potential use as a biofuel
Powlson, D.S
Soil carbon fluxes and land use change: modelling component for national carbon dioxide inventory
Falloon, P.D
Soil microbe diversity and activity
Hirsch, P.R
STAMINA - Stability assessment for arable land use on sloped terrain under increased climatic variation
Richter, G.M
The hydrological impacts of energy
| Name | Title |
|-----------------------|----------------------------------------------------------------------|
| Christian, D.G | To develop a robust indicator of soil organic matter status |
| Gaunt, J.L | UK emissions by sources and removals by sinks due to land use, land use change and forestry activities |
| Falloon, P.D / Smith, P | Understanding the paradox of organic matter mineralization |
| Brookes, P.C | Investigate and develop different modelling approaches in extending understanding and quantification of biological systems |
| Van Den Bosch, F | Modelling approaches with applications to modelling dispersal and gene flow in populations |
| Thompson, R / Van Den Bosch, F | Modelling life-history / dispersal-strategy interactions to predict persistence and diversity in agricultural landscapes |
| Thompson, R | Monte Carlo methods for detecting and using interacting quantitative trait genes |
| Thompson, R | Representative Soil Survey Scheme |
| Thompson, R | Research in statistics relevant to biological processes |
| Thompson, R | Risk assessment for biological control of pest slugs using a slug parasitic nematode |
| Semenov, M.A | Transgene induced life history changes and the ecology of GMO crops |
| Van Den Bosch, F | VSN - Visualisation, Statistics and Numerics |
| Payne, R.W | Sugar Beet Improvement and Production |
| Pidgeon, J.D | A drought tolerance screen for existing beet varieties: adding value to NIAB variety trial results |
| Pidgeon, J.D | A novel approach to achieve tissue specific transgene expression in plants |
| Mutasa-Göttgens, E.S | Assessing drought risks for UK crops under climate change |
| Mitchell, R.A.C | Biotechnological approach to improved control of quality, pest and disease traits in sugar beet |
| Mutasa-Göttgens, E.S | Botanical and Rotational Implications of Genetically modified Herbicide Tolerance (BRIGHT) |
| Riley, J | Lutman, P.J.W / May, M.J |
| | Competition review: Recent progress in sugarcane research, breeding and production practice by major sugar exporters |
| Pidgeon, J.D | Demonstration of headland management options to enhance the environment around UK sugar beet fields - 2002/2003 |
| May, M.J | Effect of weed management on crop yield, weed growth and seed production and invertebrate presence in glyphosate tolerant sugar beet |
| Dewar, A.M / May, M.J | Energy and environment impact assessment for sugar beet production systems |
| Jaggard, K.W | Forecasting the yield of the sugar beet crop |
| Jaggard, K.W | Frost protection for beet in the field |
| Jaggard, K.W | High resolution meteorological data to support improved decision making and increased profitability in sugar beet production |
| Jaggard, K.W | Improving the drought tolerance of sugar beet |
| Ober, E | Nitrogen nutrition of the sugar beet crop |
| Jaggard, K.W | Physiology of beet growth during autumn |
| Jaggard, K.W | Predicting changes in the sugar content of delivered beet during the processing campaign |
| Jaggard, K.W | Production of growers advisory guide and information database |
| May, M.J | To assess the effect of direct drilling on invertebrate diversity (soil microfauna, earthworms and carabid beetles) in glyphosate-tolerant sugar beet treated with conventional herbicides and glyphosate applied overall or in a band over the rows |
| Dewar, A.M | |
### Sugar Beet Protection
**Asher, M.J.C**
- Addressing the need for disease resistant sugar beet seed
- Assess the effect of late control of weeds in glufosinate-tolerant sugar beet on arthropod diversity
- *Dewar, A.M*
- Biological control of seedling diseases
- Co-ordination of the BBRO education programme
- *May, M.J*
- Comparative analysis of genes induced by Polymyxa in incompatible and non-host interactions
- *Asher, M.J.C*
- *Mutasa-Göttgens, E.S*
- Control of late season foliar diseases
- *Asher, M.J.C*
- Drought stress in *Beta spp.*
- *Pidgeon, J.D*
- Ecology and control of sporadic pests of sugar beet
- *Dewar, A.M*
- Efficacy and environmental impact of neonicotinoid seed treatments
- *Dewar, A.M*
- Evaluation of sugar beet resistance to beet mild yellowing luteovirus
- *Smith, H.G*
- Evaluation of sugar beet resistance to beet yellows closterovirus and beet mild yellowing luteovirus
- *Stevens, M*
- Horizontal gene transfer - a role for Plasmodiophoromycete root parasites
- *Mutasa-Göttgens, E.S*
- Investigate effects of glyphosate tolerant beet on biodiversity
- *Dewar, A.M*
- Molecular Luteovirology:
- Understanding cell-to-cell movement
- *Stevens, M*
- New sources of disease resistance from Beta germplasm
- *Asher, M.J.C*
- New sources of rhizomania resistance
- *Asher, M.J.C*
- The development of rhizomania resistance for the UK
- *Asher, M.J.C*
- The monitoring and control of rhizomania in the UK
- *Asher, M.J.C*
- The plant clinic at Broom’s Barn
- *May, M.J*
- Virus yellows control: Characterisation of virus strains
- *Stevens, M*
- Virus yellows control: diagnostic methods
- *Stevens, M*
- Virus yellows control: forecasting and spray warning scheme
- *Stevens, M*
- Virus yellows control: Transgenic resistance to yellowing
- *Stevens, M*
INCOME AND EXPENDITURE
The Institute reports a deficit for the year of £171,385 (2002 deficit of £125,000) after charging exceptional staff redundancy and early retirement costs of £50,000 (2002 £429,000) but before setting aside amounts for capital investment in buildings and major equipment.
Income from research activities at £23.6m (2002 £23.6m) was static in monetary terms. Allowing for higher income payable to sub-contractors in 2003 as compared with 2002, research income retained by the Institute fell to £21.4m in 2003 from £21.8m in 2002. In real terms (inflation adjusted) this represents a decrease of approximately £1 million. Other income at £2.0m (2002 £2.8m) fell as income from ancillary activities at Long Ashton were scaled back and as bank deposits were reduced to assist the financing of the Rothamsted site-redevelopment programme.
Staff costs at £16.2m (2002 £17.3m) were reduced reflecting staff losses including non-renewal of contracts. Posts at Long Ashton, in particular, have been decreasing during the course of the year in preparation for the final relocation of activities to Rothamsted early in the next financial year.
Against the background of a fall in real staff costs in the year of approximately £1.8 million Institute management is satisfied that those who generate income in research groups have been able to hold the reduction in real research income to approximately £1 million. This satisfaction is tempered by the fact that a fully sustainable business model for the future is not yet constructed and implemented. Simply to maintain the existing buildings and technical facilities requires the Institute to set aside not less than £2m per annum, a target that should be achieved, pre deductions for exceptional costs, immediately following the re-structuring in 2003. Thereafter, however, it will only be achieved if income keeps pace with cost growth in real terms.
CAPITAL EXPENDITURE
Works to complete the construction of new Laboratory (to be known as the Centenary Building) at a cost of approximately £18.5m before VAT have progressed significantly during the course of the year. Minor delays in the completion of this important project have not, thus far, pushed cost projections beyond the level set aside by the Board in 2000. All other projects that have been completed as part of the Rothamsted re-development programme have been constructed on time and within cost budget.
Significant expenditure is still required to bring Rothamsted’s facilities fully up to date and the Institute is grateful for the support that it has received from the BBSRC and, recently, from the East of England Development Agency, towards the cost of the full modernisation programme.
The Institute is constituted under the terms of a 1994 Co-operation Agreement entered into by Rothamsted Research Limited (previously known as Rothamsted Experimental Station), the University of Bristol, Lawes Agricultural Trust Company Limited and Arable Research Institute Association (formerly the National Fruit and Cider Institute). Under the terms of the Co-operation Agreement, the signatories agreed to co-operate in the operation of the Institute.
Following the relocation of the activities of Long Ashton Research Station to Rothamsted in the spring of 2003 the governance of the Institute’s affairs will, thence forward, fall under the responsibility of the Board of Directors of Rothamsted Research. Until then, the governance of Long Ashton will remain in the hands of the University of Bristol, guided by the Director of Long Ashton.
Membership of the Board of Directors of Rothamsted Research, which has standing meetings three times a year, comprises 14 directors. Six directors are nominated by LATCo, five are nominated by the Biotechnology and Biological Sciences Research Council, one is nominated by the National Farmers Union, and one by the Scottish Executive for Environment and Rural Affairs Department (SEERAD). The Chairman is jointly appointed by LATCo and the BBSRC.
Members of the Governing Bodies are bound by confidentiality and, in the case of Rothamsted Research, by the terms of a Code of Conduct and Register of Directors Interests. The Chairman of the Board acts as the staff Ombudsman.
The Board of Directors of Rothamsted Research has established three sub-committees; the Audit Committee, which meets three times a year, is charged with considering all business critical risks, health and safety issues and with monitoring financial reporting and accounting and control standards generally. Membership of the committee comprises four directors who are appointed in rotation at two yearly intervals, advised by representatives of the external and internal auditors and by members of the general and financial management of the Institute. The Rothamsted Site Re-Development Sub-Committee, which comprises two members of the Board and internal and external advisers, monitors the performance of the business critical site re-development project and reports its findings to the Board and to the Audit Committee. The Director’s Research Advisory Group comprises scientist members of the Board and it meets with the Director and Heads of Division, as required, to address specific scientific issues.
**COMMERCIAL ACTIVITIES**
The development of commercial activities in Rothamsted Research has continued despite the necessary pre-occupation of management with the re-organisation of the Institute and the re-development of the Rothamsted site.
**Insense Limited**
Insense Limited is a spinout from Unilever Colworth that utilises Rothamsted Research know-how in bee behaviour technology. Rothamsted holds a 6% equity stake in this start-up venture. Market applications for technologies developed by the company may lead, in the coming year, to the establishment of companies that address specific market opportunities.
**VSN International Limited**
The management of VSN International has a clear view of the company’s future as a data analysis solutions provider and the key drivers that will convert potential into success. One of these drivers, the need for operating efficiency, has resulted in the small team of nine consolidating their activities in premises at Hemel Hempstead. This has overcome the cultural and operating inefficiencies of a team spread across two not-for-profit locations.
The principal funder of VSN International, the Numerical Algorithms Group of Oxford, has sustained a cyclical downturn in its business (the provision of algorithms to software developers). As a consequence NAG has had difficulty meeting its full loan finance obligations to VSNI on a timely basis so Institute management is working with all the stakeholders in this promising venture to raise second round development capital.
Trading results to date, at the result before taxation line, are within business plan but, due to the inability of the management of VSNI to invest in key drivers, the result has been achieved on lower sales and lower costs than planned.
The Lawes Agricultural Trust
Sir John Bennet Lawes, with Sir Joseph Henry Gilbert, established Rothamsted Experimental Station (now known as Rothamsted Research) in 1843. In 1889, with one third of the proceeds of the sale of his fertiliser business, Sir John Bennet Lawes established and endowed The Lawes Agricultural Trust (with £5 million in today’s money). The Trust operated the Station, now Rothamsted Research, from 1889 to 1990.
In 1934, the Trust purchased the freehold interest in the Rothamsted Estate. Following later additions, the property interests of the Trust grew to comprise 330 hectares at Harpenden – the Rothamsted Estate – which includes an experimental farm and Rothamsted Manor (Grade 1 listed), residential houses and flats and commercial properties. At Higham in Suffolk, the Trust owns the freehold interest in the 77-hectare Broom’s Barn Experimental Station.
In 1990, the business and undertaking of the Station was transferred from the Trust to a separate charitable company of the same name. In 1991, the employees of the Station became employees of the Agriculture and Food Research Council, now the BBSRC. In December 2002 the Station changed its name to Rothamsted Research Limited.
The main present day role of the Trust is to provide support for Rothamsted Research in a number of ways. It provides an annual research grant to the Director under a research policy agreed with the Trustee in 1997 and it provides 170 beds, in differing housing combinations, for the use of staff, students and visiting workers. The Trust also operates Rothamsted International, a subsidiary charity which exists to provide the opportunity for scientists from anywhere in the world, but particularly from developing countries, to share their expertise within the advanced, multi-disciplinary research environment at Rothamsted. The Trust also makes capital grants to complete and to modernise ancillary facilities at Rothamsted – for example, the Trust has in the past year provided funds to assist the refurbishment of the Rothamsted library (including the provision of an environmentally controlled rare books store) and it has committed to spending more than £1 million on the refurbishment and provision of additional residential accommodation. The Trust has its own non-charitable interests that are dedicated, mainly, to sustainable agriculture in developing countries through a joint venture active investment company, Biii Limited, formed jointly with Hertfordshire Business Link in December 2002.
Staff of the Institute as at 31 March 2003
**INSTITUTE DIRECTOR AND DIRECTOR OF ROTHAMSTED**
**Professor Ian R Crute**
*Personal Assistant:* Sue C McCartney
*Associate Director:*
**Professor Brian R Kerry**
*Personal Assistant:* Deirdre F Hughes
**ASSOCIATE DIRECTOR AND DIRECTOR OF LONG ASHTON**
**Professor Peter R Shewry***
*Personal Assistant:* Pat A Baldwin
**DIRECTOR OF BROOM’S BARN**
**John D Pidgeon**
*Personal Assistant:* Sue Frampton
**Institute Safety Officer**
Cliff P Brookes
**AGRICULTURE AND THE ENVIRONMENT DIVISION**
*Head of Division*
**K W T Goulding BSc, MSc, PhD, FISoilSci**, *Special Professor in the School of Life and Environmental Sciences, University of Nottingham; Visiting Lecturer in the Department of Soil Science, University of Reading*
*Personal Assistant:* C H Jaggard
*Secretaries:* D P Dawkins
A C Piears\(^1\)
*Typists:* M McDonnell\(^1\)
H M Richardson BSc\(^1\)
*Admin:* K L Harwood
**Nutrient Dynamics**
**K W T Goulding**
T M Addiscott\(^1\) MA, PhD, DSc *Visiting Professor in the Department of Environmental Sciences and Mathematics at the University of East London*
R H Cartwright\(^1\) BSc
A G Dailey
S Fortune BSc, MSc, PhD
S M J Francis BSc
N Gilbert\(^1\)
M J Glendining MA, PhD
P R Hargreaves BSc
S Kerley\(^1\) BSc, PhD
P K Leech\(^1\) BSc
A J Macdonald BSc, PhD
S M Mitchinson\(^2\) BSc
P R Poulton
T Scott
E A Stockdale BSc, PhD
A J Swain BSc
G Tuck BSc
C P Webster BSc, MSc
S K White BSc, PhD
**Soil Protection and Remediation**
**S P McGrath BSc, PhD** *Honorary Professor in the School of Biological and Earth Sciences, Liverpool John Moores University; Special Professor in the School of Life and Environmental Sciences, University of Nottingham*
M Blake-Kalff\(^1\) MSc, PhD
N F Caille\(^2\) PhD
C M Falloon BSc
A M Chaudri BSc PhD
M R H Davis\(^2\) BSc, MSc
P G Dennis\(^2\) BSc
S J Dunham
M A Fox\(^2\) BSc, MSc, PhD
D L Johnson PhD
M Moreau\(^1\)
C P Rooney\(^2\) BSc, PhD
B Tenet\(^1\)
F-J Zhao BSc, MSc, PhD
**Carbon Cycling**
**D S Powlson BSc, PhD** *Visiting Professor in the Department of Soil Science, University of Reading*
D Abaye\(^1\) PhD
P C Brookes BSc, PhD, DSc *Honorary Professor of Soil Science in the School of Natural and Environmental Sciences, University of Coventry; Honorary Professor at the Institute for Tropical Agriculture, Changsha; Honorary Professor at the Northwest Sci-Tech University of Agriculture and Forestry, Yangling, China; Honorary Professor at the Agricultural University of China, Beijing*
D G Christian BSc
K W Coleman BSc MSc
P D Falloon BSc, MSc
J L Gaunt BSc, PhD
C A Grace
S J Kemmitt\(^2\) BSc, MSc, PhD
D P B Perocheau\(^1\)
G Richter PhD
S P Sohi BSc, MSc, PhD
A P Whitmore PhD
H C Yates BSc
**Biomathematics Unit**
**R Thompson BSc, MSc, DSc, FRSE**
*Visiting Professor in School of Mathematical Sciences, Queen Mary and Westfield College, University of London; Special Professor in the Department of Mathematics, University of Nottingham*
G M Arnold\(^1\) BA, MSc *Research Fellow*
A Baierl
I Beardmore
M Cherry\(^1\)
Y H Choi BSc, MSc, PhD
D Claessen PhD
S J Clark BSc
P D Fisher\(^1\)
S A Harding BSc
H E Jones PhD
C Lawless PhD
S K Mertens\(^2\) BA, MA, MSc, PhD
V J Mitchell
D A Murray\(^1\) BSc, MSc
R W Payne BA, DipStat, Cstat, PhD
*Visiting Professor, Liverpool John Moores University*
S Pietravalle PhD
S J Powers BSc, MSc, PhD
J Riley BSc, MSc *Visiting Fellow, University of Reading*
M A Semenov PhD
L E Scott\(^2\) BSc
D M Soutar\(^1\)
A D Todd BSc, MSc
R J van de Ven\(^1\) PhD
F van den Bosch PhD
S J Welham BA, MSc
L V Wilsher
**Analytical Services**
**A R Crosland CChem, MRSC**
M E Birdsey
J M Day\(^1\)
D J Hampshire
R P Skilton\(^2\)
W S Wilmer
X Y Zhou
**Rothamsted Senior Fellows**
Professor C C Gilligan
Professor P J Gregory
Professor K Killham
Professor R A Leigh
Dr R Webster
**Lawes Trust Senior Fellows**
Prof T M Addiscott
Dr D S Jenkinson, FRS
A E Johnston BSc
G J S Ross BA, DipStat
**Honorary Scientist**
G M Milford BSc
**Rothamsted International Fellows**
S Peiris BSc, PhD (Sri Lanka)
M D Resende (Brazil)
W Zhou BSc, PhD (China)
**Visiting Scientists**
R Adamson
L Blake
M Castellazzi (France)
B M Church
W R Cookson (New Zealand)
X R Fan (China)
F Haudestaine (France)
S Henaud (France)
J Hernandez (Spain)
A Herrmann (Germany)
J M Hodgson
R J Lopes-Bellido (Spain)
S O’Flaherty (Ireland)
M Orsel (France)
A Smith (Australia)
S Swanwick
M Tibbetts
C Titus (South Africa)
Y Tong (China)
J Wang (China)
Q Wen (China)
L Wu (China)
Y Xiao (China)
M Xu (China)
J Yanai (Japan)
H Zha (China)
**Postgraduate Students**
J-C Aciego-Pietri
G A Akudbillah
K-M Clothier
S J Cookson
I M Demon
S Machefert
S P Pandey
S Parnell
K Papastamati
P Shelmerdine
S J Todd
F van den Berg
Sandwich Course Students
S M Gaynor (Bath)
A S Robson\(^1\)
Rothamsted Senior Fellows
Professor P N R Usherwood
Professor A Watts
Lawes Trust Senior Fellow
Dr M Elliott CBE, DSc, FRS
Rothamsted International Fellows
F Jorge-Lazo BSc (Cuba)
Z-X Li BSc, PhD (China)
O Pino-Perez BSc (Cuba)
Visiting Scientists
C Bett (Kenya)
M-C Cano de Andrade (Brazil)
K Cherry
A L Devonshire
C Erdogan (Turkey)
A Fallang (Norway)
J-B Farcet (France)
W Huang (China)
N F Janes
J Jezek (Czechoslovakia)
S Menard (France)
P Pelosi (Italy)
M Rescan (France)
P W Tomkins
B Torto (Kenya)
T Toshova (Bulgaria)
M K Tsanuo (Kenya)
Y Yang (China)
G Zhang (China)
Postgraduate Students
M Andrews BSc, MSc
S Atkinson BA
R F Carvalho (Brazil)
S M Elbanna (Egypt)
M N Goddard
S R Graves BSc
M J Kirwan, BSc
H Le Blanc
J Logan
M Merryweather BSc
E Napper BSc
M Selby
A Skelton BSc, MSc
R Tregaskis BSc
S Young BSc, MSc
BROOM’S BARN SUGAR BEET PRODUCTIVITY AND IMPROVEMENT DIVISION
Director
J D Pidgeon BA, MSc, PhD
Personal Assistant: Sue Frampton
Sugar Beet Improvement and Production
Programme Leader
J D Pidgeon BA, MSc, PhD
Biotechnology
E S Mutasa-Göttgens BSc, PhD
A J Jennings BSc
M C Luterbacher BSc, MSc, PhD
A M Mathews BSc
L C Roden BSc, PhD
S J Yallop BA
Crop Production
K W Jaggard BSc, PhD Special Professor in the Agricultural Sciences Division and in the School of Geography, University of Nottingham; Honorary Lecturer in the School of Biological Sciences, University of East Anglia.
C J A Clark BSc
M LeBloa
S Mitchell\(^1\)
E Ober BS, MS, PhD
A Qi BSc, PhD
A R Royal
Weed Science
M J May
G T Champion BSc, PhD
H E Davidson\(^1\) BSc
R A Horsnell\(^1\)
K J Hudson
A M Wells\(^1\) BSc
Sugar Beet Protection
Programme Leader
M J C Asher BSc, PhD
Entomology
A M Dewar BSc, PhD
P Baker\(^1\) BSc, MSc
A J G Dewar\(^1\)
B H Garner BSc
L A Haylock BSc
R J N Sands BA, MSc
M J Walker\(^1\) BSc
---
**BIOLOGICAL CHEMISTRY DIVISION**
Head of Division
J A Pickett BSc, PhD, DSc, FRS
Special Professor in the School of Biological Sciences, University of Nottingham
Personal Assistant: A M Cornford
Typist: J N Still
Deputy Head of Division
L M Field BA, PhD
Chemical Ecology
J A Pickett BSc, PhD, DSc, FRS
L J Wadhams BA, PhD, DSc
M A Birkett BSc, PhD
M Briens\(^1\)
T J Bruce BSc, MSc, PhD
K Chamberlain BSc, PhD
A F Couty\(^1\) PhD
S Y Dewhirst BSc, MSc
R Gordon-Weeks PhD
F M Guthrie
A M Hooper BA, PhD
L M Ireland
J L Martin MIBiol
P Mayon PhD
A Mohib\(^2\) BSc
B J Pye
H B Rasmussen PhD
L E Smart BSc
C M Woodcock
Insect Molecular Biology
L M Field BA, PhD
C C Bass BSc
T G E Davies\(^4\) BSc, PhD
S Jacobs BSc, MSc
P J Jewess BSc
G D Moores BSc, PhD
M S Williamson BSc
J J Zhou BSc, PhD
Pesticide Chemistry
R H Bromilow BA, PhD
A L Boyes BSc, PhD
A A Evans
B P S Khambay BSc, PhD
P H Nicholls BA
---
\(^1\) Rothamsted International Fellow
\(^2\) Visiting Scientist
\(^3\) Postgraduate Student
\(^4\) Visiting Scientist
Pathology
M J C Asher BSc, PhD
K M R Bean
D M Chwarszczynska
S A Francis MA, DPhil
C S Kingsnorth BSc, DPhil
E J O’Connor¹ BSc
B C Roden MSc
Virology
M Stevens BSc, PhD
P B Hallsworth
F Vigano BSc
Liaison, IT and Experimental Services
M J May
K L Hales
I R Pettitt BSc
W A Thornhill BSc
Field Trials and Site Services
S G Goward BSc
N J Ansell
J G Booth
R B Bugg
K R Sawford
C W Smith
P A Stevens
R W A Thomson
Broom’s Barn Administration
C E Hobart²
J Jaggard
T J Stevens
Postgraduate Students
E C Dimmer
B D C Freeman
C Malnou
Sandwich Course Students
P L Cole (West of England)
S J Coupe (Nottingham Trent)
G Erard (Nottingham Trent)
A Lecourieux (Nottingham Trent)
S Plantegenet (Nottingham Trent)
BB SRC Scientific Communications
Trainer
D A Cooke¹ BSc, PhD
CROP PERFORMANCE AND IMPROVEMENT
Head of Division
P R Shewry BSc, BA, PhD, DSc, CBiol, FIBiol Professor of Agricultural Sciences University of Bristol*
Deputy Head of Division (at Rothamsted)
M A J Parry BSc, MSc, PhD, DIC
Personal Assistant: J McCarthy
Divisional Secretary: S Adams
Deputy Head of Division (at Long Ashton)
J R Lenton BSc, PhD Research Fellow*
Secretary: V R Topps¹
S Richens¹
Developmental Genetics
M J Holdsworth BSc, PhD Research Fellow*
G V Allnutt BSc, MSc, PhD
M M Baudo BSc, AgEng, PhD
G L Barker¹ BSc, PhD,
R W Beswick¹ BSc
R D Child¹ CBiol, MIBiol Research Associate*
J A Coghill¹ BSc
J-M Daviere MSc, PhD
A Doherty BSc
D Edwards¹ BSc, PhD
S Footitt BSc, PhD
M Grimmer¹ BSc
A K Hutlly BSc PhD Research Associate*
H D Jones BSc, MSc, PhD
S Kurup² BSc, MSc, PhD
K Li BSc
J M Locke BSc, PhD
R L Lyons BSc
H D O’Sullivan¹ BSc
P G Owen
R A Parker¹ BSc, PhD
G M Pastorri PhD
A E Riley
S K Shepherd¹ BSc, MSc
C A Sparks BSc
S H Steele HND
J E Summers¹ BSc, PhD
M D Wilkinson BSc, PhD
I D Wilson¹ BSc, PhD
H Wu BSc, MSc, PhD
Signalling and Development
P Hedden BSc, PhD Research Fellow*; Special Professor of Plant Biochemistry, University of Nottingham
N E J Appleford¹ GLBiol
J M Baker² BSc, PhD
S M Baker BSc
J H A Barker BSc, PhD
M H Beale BSc, PhD Research Fellow*; Special Professor of Plant Biochemistry, University of Nottingham
E Carrera BSc, PhD
D V Child
S J Croker¹ CChem, MRSC, MSc
M Ebsworth¹ BSc
P Gaskin BSc
N D Hawkins BSc, MSc
R A King BSc, PhD
J Lewis BSc
M J Lewis⁴ BA, LRSC
I Murillo Cabeza¹ PhD
A L Phillips MA, PhD Research Associate*
I M Prosser CBiol, MIBiol, PhD
O J Ruiz-Rivero² PhD
P M Sherborne
C Stathopoulos BSc, MSc
A-M Vidal Rico¹ BSc, PhD
D A Ward
J L Ward BSc, PhD
Plant Products
P R Shewry BSc, BA, PhD, DSc, CBiol, FIBiol
F Beaujodoin BSc, PhD
H F Darlington¹ BSc, PhD
K Feeney BSc, PhD
R J Fido MSc, PhD, MIBiol, CBiol, Research Associate*
J L Forsyth BSc, PhD
J Freeman BSc, PGDip
S M Gilbert¹ BSc, PhD
A Lovegrove BSc, PhD
M C Matthes MSc, PhD
L V Michaelson BSc, PhD
S T Mugford¹ BSc
J A Napier BSc, PhD Research Fellow*; Special Professor of Plant Biotechnology in the School of Biosciences, University of Nottingham
B A Saunders¹
A W Savage BSc
O V Sayanova BSc, PhD
J Steel¹
A S Tatham¹ BSc, PhD Research Fellow*
C Toscano-Underwood BSc, DPhil
P Tosi BSc
Y Wan² BSc, PhD
Stress Biology
C H Foyer BSc, PhD, FIBiol
Professor in the Department of Agricultural and Environmental Science at the University of Newcastle and in the Department of Biology at the University of Exeter
S P Driscoll
K E Groten² PhD
D Habash-Bailey BSc, PhD
X L He BSc
G Kiddle BSc
F L Theodoulou BA, DPhil
J M West HND
Assimilate Partitioning
N G Halford BSc, MSc, PhD
Research Associate*
P J Andralojc BSc, PhD
R P Haslam BSc, PhD
S J Hey BSc, PhD
S A Laurie¹ BSc, PhD
P J Madgwick BA, PhD
R S McKibbin¹ BSc, PhD
R A C Mitchell BSc, PhD
M A J Parry BSc, MSc, PhD, DIC
M J Paul BSc, PhD
Y Zhang BSc, MSc, PhD
Nutrient Acquisition
M Hawkesford BSc, PhD
P B Barraclough BSc, PhD, CCChem, MRSC Special Lecturer in the School of Biological Sciences, University of Nottingham
D A Brown¹ BSc, PhD
P H Buchner PhD
C C Collins¹
L Hopkins¹ BSc, PhD
J Howarth BSc, PhD
J Jones
B J Major¹ BSc, PhD
A J Miller BSc, PhD
S Parmar
R Reid²,¹ BSc
C E Shepherd BSc
S J Smith
D M Wells BSc, PhD
Technical Support
J Pearman BSc
J C Turner
Emeritus Professor
J MacMillan PhD, DSc, FRS
Lawes Trust Senior Fellows
Dr A J Keys BSc, DIC
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---
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1 Left during 2002/2003
2 Appointed during 2002/2003
3 Deceased
4 Staff with functional responsibilities throughout the Institute
* Academic status at Bristol University
|
Let us start with your initial academic path. Your first university degree is in Mathematics and then you did your third cycle thesis\textsuperscript{1} on automata, more precisely on Černý’s Conjecture, a conjecture that is still unsolved...
I did not start working on automata, it happened by chance. I started by attending a course on categories, which I did not like very much. Afterwards I followed a course on semigroups taught by Paul Dubreil. This was his last course and it was fairly elementary, but Dubreil suggested that the students attend the seminars given by Klaus Keimel, a German researcher living in France. I attended these conferences and once, Keimel and I met on the suburban train to Paris. At that time, I had done some work on semigroups by myself and I asked him for advice since I did not know whether it was worth publishing and how to do it. This work was published some years later under the horrible title \textit{Holoides factoriels}. I also asked advice about my future studies and Klaus Keimel told me that Prof. Dubreil was about to retire, and suggested that I move to Schützenberger’s school on automata. According to Keimel, Marcel-Paul Schützenberger was a genius, an opinion to which I fully subscribe. The following year there were two courses on the same day, one on the algebraic theory of automata, managed by Jean-François Perrot, and another one on the theory of context-free languages, managed by Maurice Nivat. I took the first course, together with no more than four other students. This course was taught by Jean-François Perrot, Dominique Perrin, Gérard Lallement, Jean Berstel and the tutorials were given by Jacques Sakarovitch and Jean-Michel Autebert, so we had the best lecturers of that time for just a few students. I learned a lot in this course and it was here that Perrot talked about Černý’s Conjecture. The conjecture was easy to understand and quite fascinating, so I decided to work on it.
Were you so naive then as to think that you could solve the problem easily?
Not really. What happened was that, during my DEA\textsuperscript{2}, I solved a particular case and Perrot encouraged me to pursue this direction. In the second year of the third cycle thesis, I became interested in varieties of semigroups and varieties of languages and this topic ultimately became my main topic of interest.
Do you feel that during the time you were preparing your two Ph.D. theses you had a master?
Perrot, my supervisor, taught me a lot of things. I learned from him how to write a paper and organize a conference presentation. He took me to a conference in Italy at the end of the first year of my Ph.D. On this occasion, he introduced me to several people, notably Antonio Restivo and Aldo De Luca, that I met for the first time there. All of this turned to be very important for the future of my career. Aldo and Antonio and I remain very good friends. We met up just two weeks ago in Belgium.
And Schützenberger?
I was not a direct student of Schützenberger, but, of course, I learnt a lot reading his articles. I have to say that Perrot helped me to start reading Schützenberger,
\textsuperscript{1}Until 1984, the Ph.D. programme in France was composed of two theses: the first one was called \textit{thèse de troisième cycle} and the second one \textit{thèse d’état}.
\textsuperscript{2}\textit{Diplôme d’études approfondis}, a French degree corresponding to a master’s degree.
whose style is rather peculiar. Perrot’s claim was that Schützenberger was acting like a fox rubbing out its track with its tail. Therefore, reading Schützenberger was sometimes quite demanding for a young student. But when you read an article really in full detail, then at some point you become so familiar with its content that you have the feeling it is your article. There are actually very few papers that I read in such a depth in my life, but they include some of Schützenberger’s and also an article by Wolfgang Thomas on the connections between automata and logic that I read a few years later. Schützenberger had a singular personality and this was a handicap for me to a closer relationship with him. Thus I was mostly influenced by Perrot, Perrin and Berstel. I only met Schützenberger from time to time, but I learned a lot from his papers. And he was also the president of the jury for the defense of my thesis.
*But did you discuss his work with him?*
There are a certain number of questions that I discussed with him, but these discussions were rather peculiar because he was on a much higher level than me and there were some sentences that I could not even understand at the time. But it became easier when I became more expert in automata theory. I remember that when I explained him my ideas about ordered semigroups, he got really interested and suggested that I read some related articles.
*In your huge list of publications, there are some papers in which you approach finite automata in a purely combinatorial way and other papers where the main tool is logic, but most of them are about finite semigroups, the algebraic counterpart of finite automata. Why? Is that just a matter of taste?*
This is a matter of taste. Semigroups lured me even before I started my research. I always liked algebra very much. I read a first course on algebra by Roger Godement during the holidays immediately after the high school final exams and algebra became my favorite topic. Next I became interested in logic and more specifically, in model theory. Schützenberger, who worked with McNaughton, apparently never got interested in logic, I don’t know why. Neither was it a conversation topic with Perrin and Berstel at that time. But it changed later. My interest in logic started when I studied the paper by Wolfgang Thomas I mentioned earlier. I really wanted to understand this article and I knew absolutely nothing about logic, even the basic definitions. I then asked one of my colleagues, Michel Parigot, a logician, for a reference book on logic and finite model theory. He recommended the first chapter of the Handbook of Mathematical Logic edited by Jon Barwise, which turned out to be an excellent advice. I read this chapter carefully and actually attempted to read other chapters as well. After that, I really got interested in the relationship between languages and logic. Even if my preference goes to algebra as I said before, I really enjoy the connections with logic. As any mathematician, I like the interaction between different areas of science that are apparently far apart and I have always looked for them.
*In the late eighties you began using profinite tools, which allowed you to find remarkable results…*
This is an interesting story. At that time Jorge Almeida was working on profinite monoids, but he preferred the approach by implicit operations, which hides a bit of the topological aspect. Independently, I read a paper by Christophe Reutenauer, called *Une topologie du monoïde libre*, which contained very interesting ideas that I decided to explore. In 1983, Stuart W. Margolis was an invited professor at the University Paris 6 and he spent these nine months at my place. We worked together in several directions and wrote several papers about inverse semigroups and semigroups with commuting idempotents. On this occasion, Stuart told me about the Rhodes Conjecture. This conjecture proposed an algorithm to compute the group radical of a finite monoid. I remember that I got the idea of my first crucial result on this subject in 1984, in the kitchen of Howard Straubing: I realized that computing the group radical of a finite monoid amounts to computing the topological closure of a regular language for the pro-group topology. This was the first of a long series of results and I wrote several papers about this subject. The first one was entitled *Topologies for the free monoid* and was published in the Journal of Algebra. This paper proposed a conjecture that one could compute the topological closure of a regular language by a simple algorithm, and discussed its consequences for the Rhodes Conjecture. It took over four years to be published and other papers about the same subject that were submitted later on were actually published much earlier. The next paper was entitled *A topological approach to a conjecture of Rhodes* and was published in the Bulletin of the Australian Mathematical Society. It gave a complete proof that the topological conjecture implies the strong form of the Rhodes Conjecture. Finally, Reutenauer and I reduced the topological conjecture to a conjecture on the free group: if $H_1, \ldots, H_n$ are finitely generated subgroups of the free group then the set $H_1H_2\cdots H_n$ is closed in the profinite topology. This latter conjecture was proved by Ribes and Zalesskii in 1992. But Rhodes’ Conjecture was also proved by Ash using different arguments, actually a few years earlier.
*Later you got into the equational part of the varieties and you, along with Pascal Weil gave, for instance, an equational characterization of the Mal’cev products of two varieties of finite semigroups…*
I have been working on the Mal’cev product since the time of my Ph.D. I was studying some variants of the concatenation product, such as the unambiguous product, and Pascal Weil brought the equational part to me. I remember the precise moment I discovered one of the key arguments of this paper. I have to confess it was during a talk by Denis Thérien at the NATO School at the University of York in 1993. I suddenly had the intuition that Imre Simon’s Factorization Forest Theorem was the technical tool we needed, although I did not remember precisely its statement. Victoria Gould was kind enough to comply with my surprising urgent request to get a copy of Simon’s paper and I could verify that my intuition was right. Simon’s theorem is nowadays considered to be a major combinatorial tool in semigroup theory.
Computation of an $\mathcal{R}$-class using the right Cayley graph of a semigroup.
Unlike Jorge Almeida, you never worked heavily on combinatorics of profinite words...
That is true. I am certainly less attracted by combinatorics on words than Schützenberger, Berstel, Perrin, etc. I always felt more comfortable with algebra. I use combinatorial results, such as the Factorization Forest Theorem, when I need them, but I generally prefer algebra to combinatorial arguments. It is just a matter of taste.
For a long time, the algebraic study of recognizable languages relied on Eilenberg’s theory of varieties inspired by some results of the 60’s characterizing classes of languages in terms of semigroups, such as those of Schützenberger and Simon. Now, some people working in this area, such as Straubing, Thérien and yourself, were also interested in classes of languages that are not necessarily varieties, although they can be studied algebraically. Do you think that the interesting remaining open problems in this area are only the very difficult ones, like the decidability of the group complexity or the decidability of the dot-depth hierarchy?
No, not at all, this is a flourishing area and there are plenty of interesting open problems, old and new. The recent paper Duality and equational theory of regular languages, by Mai Gehrke, Serge Grigorieff and myself, goes far beyond the classical context of the varieties. The classes of languages considered in this paper are more general than Eilenberg varieties and the theory developed in this paper also applies to infinite words, words over linear orders, tree languages, etc. By the way, exciting results on tree languages were recently obtained by Mikołaj Bojańczik, Zoltan Esik, Luc Segoufin, Howard Straubing, Igor Walukiewicz, Pascal Weil, etc. Concerning the main open questions in the area, some of them, such that the decidability of the dot-depth hierarchy, can be viewed not only from the perspective of the algebra, but also from the perspective of logic, and therefore they can be treated in the theory of finite models. The profinite approach also opens up fascinating perspectives on the classification of languages. I recently proposed to study the Wadge hierarchy associated with some profinite uniformly continuous functions and Pedro Silva and I just founded a non-commutative p-adic analysis. The connection with Fraïssé-Ehrenfeucht games is also on the way. There are also some very nice connections with duality theory, symbolic dynamics, combinatorial group theory or tropical geometry. There is now a continuum between topology, algebra, logic and automata theory. Top researchers of the new generation, like Bojańczik and Walukiewicz, who were both trained as logicians, are now convinced of the power of the algebraic approach. This makes me very optimistic for the future of this field.
When did you start being interested in infinite words?
My first paper on this topic dates back to 1984. A few years later, Dominique Perrin suggested me one day to write a book about infinite words with him, and without really thinking about it, I agreed. But it took us over fifteen years to complete this book!
You are now quite interested in the work that you, Mai Gehrke and Serge Grigorieff started together about languages and dualities, two subjects that seemed apparently far apart. How did that start?
At a conference in Nashville in 1996, I gave a talk about varieties and profinite topologies. Mai Gehrke, who was in the audience, mentioned she was interested in this
topic. We started discussing its connection with non-standard analysis but we didn’t go very far at that time. We met again ten years later by pure chance. In November 2005, I was looking for a paper on the internet and I stumbled upon Mai’s homepage, but the link to the paper I was looking for was broken. I wrote Mai an e-mail to warn her of the broken link and she answered she was curious to know why I was interested in her paper. In the course of the discussion that followed, I mentioned that I was looking for an expert in spectral topologies. I received an immediate and very enthusiastic answer from Mai, explaining this was one of her favorite topics. This is the way it started. In 2006, we were expecting an invited professor for a three month position at my research group but he had to decline, due to the late arrival of the official approval. I then asked Mai if she was interested in this position and she said yes. Thus in June 2006, Mai, Serge Grigorieff (a colleague of mine) and I started to work together. Mai had realized that the work I talked about in Nashville had a duality flavor, but she knew nothing about automata and Serge Grigorieff and I knew nothing about dualities. Thus our collaboration started by giving each other an introductory course on our favourite topics. But after a few weeks, we could understand each other and we started to make fast progress. It took us another year to publish our results in a short article that won a best paper award at ICALP 2008. We are now writing its complete version, and some other papers are on their way.
Are these results another way to see things?
Exactly that. The duality between regular languages and profinite words was known to Jorge Almeida for a long time. The novelty is the use of this duality to obtain an equational theory for any lattice of regular languages. This is particularly appealing for all the classes of regular languages defined by a fragment of logic closed under conjunctions and disjunctions, because this means that, in principle, an algebraic study is possible for these classes.
Among your many results do you have a favorite one?
My favourite result is probably the topological approach to the Rhodes Conjecture I mentioned earlier. But I also like the concept of ordered syntactic monoid that I introduced in 1995. It is a very simple idea, but it has far reaching consequences. I also like the result on dualities, but it is too early to measure its consequences.
Are you still interested in Černý’s Conjecture?
Let me first recall this fascinating conjecture for the reader: If an $n$-state automaton is synchronizing, there exists a synchronizing word of length $\leq (n - 1)^2$. I am still interested in the conjecture, but I am no longer working on it. However, I am still receiving requests to talk about this topic in seminars and workshops. The only thing I have done in recent years was an article with Stuart Margolis and Mikhail Volkov, published in 2004. In my opinion, there have been two major results in recent years. The first one, due to Jarkko Kari, gives a counter-example to the extension of the Černý Conjecture that I proposed in my thesis. This is an important result because it more or less kills any hope of interpreting the upper bound $(n - 1)^2$ as the dimension of some vector space. The other major result is Volkov’s result on automata preserving a chain of partial orders.
In your opinion, why is Černý’s Conjecture still a conjecture?
It is not unlikely that Černý’s Conjecture is false, but finding a counterexample might be difficult. One may have to work with large automata and testing whether a relatively small automaton is synchronizing may already exceed the capacity of a computer. The best known upper bound is still cubic and did not improve since 1982, although the conjecture has been proved in many particular cases. However, we are still very far from a solution and it might well be a very difficult combinatorial problem.
You worked at the Bull company for two years at the beginning of the 90’s. How did it happen?
This story is similar to that of the book on infinite words that I wrote with Perrin. I was a member of the National Council of CNRS, and another member of this council was a engineer at the Bull Research Center. He was taking the opportunity of seeing many CVs of researchers, to hire a researcher from time to time for the Bull Research Center. One day, jokingly, I asked him when he would hire me, but to my surprise, I got a concrete job offer as an answer! This was the beginning of the story, because Bull was interested in someone with my profile and I got interested in the experience. At that time, the research department at Bull consisted mostly of young people, including Ph.D. students and numerous top-level researchers, but very few senior researchers. One part of my work was to play this role of scientific management. An important thing which I did was to initiate a seminar. At the beginning, people were skeptical and I was only allowed to set up a monthly seminar, but after three months, it had been sufficiently successful to become a weekly seminar. There was an external speaker every two weeks, and each other week we had a speaker from Bull. This turned out to be very important to promote the activities of the Bull Research Center to the academic world and to keep permanent contact with researchers from outside. One thing made me very happy once: a colleague of mine working at the Ministry told me after his visit that his opinion about the Bull Research Center had completely changed, from
a strongly negative to a very positive opinion. During my second year, Bull started to have serious financial problems and my colleagues found themselves in a delicate situation since the research center was shrinking day after day. But as far as I know, all of them managed to find a position elsewhere in companies or universities. And for some of them, their new connections with the academic world certainly helped. The most successful of them, Dominique Bolignano, founded his own company, Trusted Logic, with the initial support of Bull and INRIA. This company is now a world leader in embedded security solutions. Three months after I left Bull, I became the head of LITP\footnote{Laboratoire d’Informatique Théorique et Programmation, later called Laboratoire d’Informatique Algorithmique: Fondements et Applications (LIAFA).}, a joint research unit of the CNRS and the University, and my experience at Bull, which included some management courses, helped me a lot in this task.
**What is the reason for such a number of foreigners?**
This is due to the scientific policy of the department, in particular mine when I was the head from 2003 to 2008. There are two kinds of positions. The selection process for the permanent research positions offered by the CNRS is a national competition. Our department is not involved in this process, except that the candidates have to express their wish to be appointed in LIAFA. High level research departments like LIAFA are very attractive to candidates so we have each year some good recruits. Foreigners are entitled to apply for a CNRS position and as a consequence, several of our full time researchers at LIAFA are non-natives. There are also university positions, such as Assistant Professor and Professor, and for these positions, especially for Professor, local people are usually discouraged. During the last twelve years, only one Assistant Professor from LIAFA was promoted Professor in the department. But many became professors elsewhere and thus there is a high turnover in the department.
**You have been a member of several scientific evaluation or advisory committees in France, and also in other countries, such as Portugal. In your opinion, are there bad relationships between people from theoretical computer science and people from applied computer science?**
I don’t have this feeling, at least at the level of people. It is true however, that nowadays there is a strong tendency, in France and elsewhere, to favor short-term research. Killing research with no immediate application will have disastrous consequences in the long-term, and perhaps sooner. The other strong tendency is to focus on fashionable keywords. For instance, the forthcoming French-Spanish collaboration programme PICASSO selected the following topics: biomedicine, biotechnology, energy and climate change, nanotechnologies. For the French-Portuguese Pessoa programme, it is announced that “a thematization will be committed as from 2011 in order to reinforce the structuring character of the cooperation”. “Structuring character” is one of these fancy keywords which, like “synergy”, are mandatory in any cooperation application…
**Do you have the same opinion about the European Commission?**
The European Commission has kept some important support for fundamental research. For instance, the
Future and Emerging Technologies Open Scheme is a flexible tool for exploratory research, where one can submit proposals with a component of a fundamental nature. The European Research Council (ERC) offers advanced grants for both young and senior researchers. These grants are very selective, which is not a bad thing. The drawback is that writing applications is time-demanding.
Let us talk now about your connections with Portugal. When did they start?
I do not remember exactly when they started. It certainly begun with some early correspondence between Jorge Almeida and me, but I am not sure about the year. Later, I met Gracinda Gomes in a conference in Szeged, Hungary, in 1987. The cooperation between Jorge’s and Gracinda’s groups and my own group developed over the years. Three portuguese students did their Ph.D. in Paris and I participated in the juries of several other portuguese students. We collaborated in many scientific projects, either between France and Portugal or at the European level. I was also a member of the scientific committee of several semigroup conferences organized in Portugal and I was co-organizer, together with Gracinda Gomes and Pedro Silva, of the Thematic Term “Semigroups, Algorithms, Automata and Languages” held in Coimbra in May, June and July 2001. Finally, I am the chair of the programme “Automata: from Mathematics to Applications” (AutoMathA), a very successful research networking programme of the European Science Foundation gathering 15 European countries, including France and Portugal. One of the highlights of this programme has been a two week school organized in 2008 by Gracinda Gomes in Lisbon. The thematic term and the 2008 school were both completely successful and it is my opinion that training young students in high level research also has its “structuring character”.
In France there are several research centers in theoretical computer science, some of them quite big, LIAFA being a very good example. In Portugal there are none at that level. In your opinion, does Portugal need one?
I would not say that. A few emblematic people, like Jorge Almeida and Pedro Silva in Porto for instance, or Gracinda Gomes in Lisbon, suffice to create a solid research group. Two or three dynamic people are enough to set up a research lab, as long as they get sufficient support to attract good researchers and Ph.D. students. Of course, money is needed to run such a center, since it is essential to send people to international conferences and to collaborate with other universities, both in Portugal and abroad, to invite researchers to give lectures in seminars, to hire researchers, to maintain a library and computer facilities, etc. Large research groups certainly have a broader international dimension, but the advantages over a strong small group are limited. There is now a tendency to create larger centers to improve the ranking of universities in various evaluations and comparing systems, such as the Academic Ranking of World Universities. But one should be very pragmatic about the policy of research centers. I know of some small, very active research groups. As long as their activity is excellent, why should one change their structure? Quarrels between different groups are a danger for large centers, increase of bureaucracy is another one. If these two hazards can be avoided, if each group has enough resources to avoid fighting, I have no objection to large centers, but the most important thing is research activity.
Jean-Éric Pin with Gracinda Gomes at Centro de Álgebra da Universidade de Lisboa in June 2009.
You are a very active person. You can manage a lot of things at the same time. For instance, you do research very actively, you give many talks abroad, you supervise Ph.D. students, you are a member of several committees and boards of examiners, you are editor of four scientific journals, you were the director of your laboratory from 1994 to 1997 and from 2003 to 2008, etc. How can you do all these?
I do not think I have been doing so many things at the same time and plenty of people I know are much busier than I am. I have been primarily a full time researcher, apart from a 14 year period when I taught part-time
at École Polytechnique. Concerning the management of research units, LITP first and LIAFA later, the key word is *delegate*. Each time you can entrust a task or a responsibility to another person, do it. For the main decisions, it is a good idea to listen to people and to look for their advice and support. This can be time consuming, but it is really worth for important decisions. This way, I was able to reach a common agreement most of the time. Further, several decisions were taken by specialized committees, notably for hiring people. But then again I tried to reach a common agreement by using only fair arguments. Once the decision was taken, I also used to explain it to the members of the unit. On a more personal level, I am a well organized person regarding computer files and e-mail. Further, unlike some colleagues of mine, I did not hesitate to decline some invitations (programme committees, cocktails, etc.).
Jean-Éric Pin is Directeur de Recherches at the CNRS in the Laboratoire d’Informatique Algorithmique: Fondements et Applications (LIAFA), of CNRS and University Paris 7, and a member of the Automata and Applications team. He works on theoretical computer science and he is well known for his wide contribution to the area, including many breakthroughs and original ideas. Born in 1953, Jean-Éric Pin got his university degree in Mathematics from École Normale Supérieure de Cachan and his Ph.D. degree in Mathematics from University Paris 6 in 1981. He has always worked on theoretical computer science, with a particular emphasis on its connections with algebra. He has been a researcher at CNRS since 1979. He has also been a professor at École Polytechnique from 1992 to 2005 and a research engineer at the Bull Corporate Research Center from 1991 to 1993. His research is mainly devoted to the algebraic theory of finite automata via the study of finite semigroups, in particular varieties of finite semigroups. He has always looked for relationships between different areas of Mathematics and his work also includes papers about logic, topology or combinatorics. Jean-Éric Pin is the author of over 130 scientific publications, including two undergraduate books, two research books and 14 book chapters. Twenty-two students have received their Ph.D. under his supervision. He earned the IBM France Scientific Prize in Computer Science in 1989 and a Best Paper Award at the conference ICALP 2008. He is a member of the editorial board of four scientific journals and he has a wide experience as a member of programme committees as well as management positions. To give some examples, he has been the head of the Laboratoire d’Informatique Théorique et de Programmation (LITP, from which LIAFA originated), of the Laboratoire d’Informatique Algorithmique: Fondements et Applications (LIAFA) and scientific director of the European Research Consortium in Informatics and Mathematics (ERCIM). He is chairman of the European Science Foundation (ESF) programme AutoMathA (2005-2010). This interview with Professor Pin is intended to give an overview of his life as a researcher with its many facets.
*Interview by Mário Branco (University of Lisbon)*
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1 - ERCOM is an European Mathematical Society (EMS) committee consisting of Scientific Directors of European Research Centres in the Mathematical Sciences, that aims to contribute to the unity of Mathematics from fundamental research to applications. The meeting took place March 13 and 14, 2009 at the Institut Mittag-Leffler, Djursholm, Sweden, and the next one will take place March 12 and 13, 2010 at the International Centre for Mathematical Sciences, Edinburgh, UK. The full list of ERCOM centres can be found at [http://www.ercom.org](http://www.ercom.org).
2 - The purposes of ERCOM are:
- to constitute a forum for communications and exchange of information between the centres themselves and EMS;
- to foster collaboration and coordination between the centres themselves and EMS;
- to foster advanced research training on a European level;
- to advise the Executive Committee of the EMS on matters relating to activities of the centres;
- to contribute to the visibility of the EMS;
- to cultivate contacts with similar research centres within and outside Europe.
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Scalar Verb Classes
Scalarity, Thematic Roles, and Arguments in the Estonian Aspectual Lexicon
Anne Tamm
BIBLIOTECA DI STUDI DI FILOLOGIA MODERNA
– 14 –
BIBLIOTECA DI STUDI DI FILOLOGIA MODERNA
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Nicholas Brownlees, Università degli Studi di Firenze
Arnaldo Bruni, Università degli Studi di Firenze
Martha Luana Canfield, Università degli Studi di Firenze
Richard Allen Cave, Royal Holloway College, University of London
Piero Ceccucci, Università degli Studi di Firenze
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Donald Kartiganer, University of Mississippi, Oxford, Miss.
Ferenc Kiefer, Hungarian Academy of Sciences
Sergej Akimovich Kibal’nik, Saint-Petersburg State University
Ernő Kulcsár Szabó, Eötvös Loránd University, Budapest
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Ayşe Saraçgil, Università degli Studi di Firenze
Rita Svandrilik, Università degli Studi di Firenze
Angela Tarantino, Università degli Studi di Firenze
Beatrice Töttössy, Università degli Studi di Firenze
Marina Warner, scrittrice
Laura Wright, University of Cambridge
Levent Yilmaz, Bilgi Universitesi, Istanbul
Clas Zilliacus, Abo Akademi of Turku
Scalar Verb Classes
Scalarity, Thematic Roles, and Arguments in the Estonian Aspectual Lexicon
FIRENZE UNIVERSITY PRESS
2012
Scalar Verb Classes. Scalarity, Thematic Roles, and Arguments in the Estonian Aspectual Lexicon - Anne Tamm – Firenze : Firenze University Press, 2012
(Biblioteca di Studi di Filologia Moderna ; 14)
ISBN (online) 978-88-6655-055-6
I prodotti editoriali del Coordinamento editoriale di Biblioteca di Studi di Filologia Moderna: Collana, Riviste e Laboratorio (<http://www.collana-filmod.unifi.it/>) vengono pubblicati con il contributo del Dipartimento di Lingue, Letterature e Culture Comparate dell’Università degli Studi di Firenze, ai sensi della Convenzione stipulata tra Dipartimento, Laboratorio editoriale open access e Firenze University Press il 10 febbraio 2009.
Il Laboratorio editoriale open access del Dipartimento supporta lo sviluppo dell’editoria open access, ne promuove le applicazioni alla didattica e all’orientamento professionale degli studenti e dottorandi dell’area delle filologie moderne straniere, fornisce servizi di formazione e di progettazione. Le Redazioni elettroniche del Laboratorio curano l’editing e la composizione dei volumi e delle riviste del Coordinamento editoriale.
Editing e composizione: redazione di Biblioteca di Studi di Filologia Moderna con Arianna Antonielli (caporedattore), Gábor Dobó, Samuele Grassi, Aurora Martino, Lorenzo Orlandini, Piroska Szabó.
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Printed in Italy
# TABLE OF CONTENTS
Preface 9
1. INTRODUCTION 11
1.1 Main focus 11
1.2 Less straightforward relationships between lexical aspect and object case 14
1.3 The organization of the topics in this book 25
2. TERMINOLOGICAL CHOICES 27
2.1 Total (accusative) versus partitive case: motivation of the terminological choices 27
2.2 Motivation of the approach to verb classification as an aspectual classification 29
2.3 Aspectual hypotheses 37
2.4 Verbs and aspect 44
3. ASPECT AND VERB CLASSES IN ASPECTUAL COMPOSITION 47
3.1 Terminology of aspect 47
3.2 Verb classes and aspectual composition 53
4. PREVIOUS EVIDENCE OF AN ASPECTUAL ORGANIZATION OF LEXICAL SEMANTICS 59
4.1 Introduction 59
4.2 Approaches to aspect and boundedness in Estonian sources 60
4.3 Verb classifications 81
4.4 Conclusion 95
5. UNRESOLVED ISSUES ABOUT VERB CLASSES AND OBJECT CASE 97
5.1 Introduction to the problems left for further study in earlier sources 97
5.2 Partitive and irresultative verbs 100
5.3 Aspect verbs and resultative verbs occur with partitive objects 112
5.4 Total objects, aspect, and intransitive verbs 117
5.5 Summary of Chapter 5 119
6. APPROACHES TO THE THEMATIC RELATIONSHIP AND ASPECT, LFG 121
6.1 Objects are tightly related to aspect and vice versa 121
6.2 Telicity and the account of event-object mapping 122
6.3 Event-object mapping verbs are not the object case altering verb class 123
6.4 Distance and temporal adjuncts 124
6.5 Arguments and non-arguments in event-object mapping 126
6.6 Total objects and telicity 126
6.7 Interim summary 126
6.8 Aspect and objects: Tenny (1994) 126
6.9 Aspectual roles mediate between the lexicon and syntax 127
6.10 Three verb classes: incremental theme, change of state, and path object 128
6.11 Measuring arguments are not always realized as direct internal arguments 129
6.12 Aspect and object case: Ackerman and Moore (1999, 2001) 133
6.13 Elaborated argument structures with an aspectual tier 137
7. Lexical Semantic Verb Classes and Scales 141
7.1 Lexical aspect in Kiparsky’s accounts 141
7.2 What is a scale: Lexical aspect in Levin, Kennedy and McNally 146
7.3 Previous general linguistic work on degree achievement verbs 147
7.4 Estonian and scalar approaches 147
7.5 Summary to scalar approaches to verb classification 148
8. Estonian Scalar Verb Classification: New Perspectives 149
8.1 Introduction 149
8.2 The proposal in a nutshell 150
8.3 Verb classification: two attributes, three values 153
8.4 Values as boundaries for the two boundable tiers 155
8.5 Examples of lexical entries and functional structures 156
8.6 Multiple frames, aspectual shifts, transitive and intransitive verbs 158
8.7 Summary on verbal lexical boundedness and the features 160
8.8 Examples of tests 160
8.9 Verb classes summarized 160
8.10 Conclusions to Chapter 8 161
9. Scalar Verb Classes 163
9.1 What are scalar verbs? 163
9.2 Accomplishment verbs: total objects 163
9.3 Achievement verbs: total and partitive objects 168
10. Non-scalar Verb Classes 181
10.1 What are non-scalar verbs? 181
10.2 Stative verbs 182
10.3 Activity and process verbs 192
11. Conclusion 197
List of Abbreviations and Appendices 203
Bibliography 207
Index of Names 219
Index of Topics 223
Index of Estonian Verbs According to their English Translations 233
Index of English Verbs 241
To my mother
This book project has been completed with the support of the Estonian Academy of Sciences awarded for finishing a monographic publication. I am truly grateful for this acknowledgement from Estonia, since my everyday work takes me far from this country.
The book contains a selection of my work from 1996-2011. Most of the lexical puzzles are derived from my work on a lexical database project at the Free University in Amsterdam (the VU) while living in Leiden, right across the canal from the Institute for Dutch Lexicology, where I could participate in the events and lectures as much as I wanted in 1994/1995. I have profited enormously from the true international spirit at the subdepartment of Lexicology at the VU. Because of amazing synergy effects in discussions in the excellently planned collectivist coffee and tea breaks, it is at this point difficult to point out the separate individuals who had the best ideas about my lexical semantic problems, but I am giving it a try: thanks, Geert Booij, Isa Maks, Willy Martin, Elsemiek ten Pas, Jeroen Redel, and Hennie van der Vliet.
Most of the data that made me puzzle are derived from the large lexical database of the Dutch-Estonian reversible dictionary project of the Dutch Language Union that started in 1997. However, I must thank Enn Veldi’s review of my coauthored and small but ambitious dictionary for realizing that the question about the lexical underpinnings of the Estonian object case alternation is a scientific topic.
At the Theoretical Linguistics Programme at the Eötvös Loránd University it turned out that the answer to the simple question involves deep knowledge of more areas of linguistics and is theory-dependent, moreover, involving more research methodologies than the one and only right theory and method. My professors, colleagues and co-students Katalin É. Kiss, Ferenc Kiefer, András Komlósy, Christopher Piñón, Ágnes Bende-Farkas, Olena Sydorenko, Gréte Dalmi, and Gabriella Tóth (and many others during these long years) have made me realize that there are many types of high standards and that although it is impossible to live up to all of them simultaneously, it is always worth a try to tell something valuable to a maximum range of linguists about what I know is fascinating about language. On the one hand, this book is a thorough revision of selected chapters of my pre-defense dissertation in 2004 (this version concentrated on various scalar properties and their correspondences to Estonian partitive) at the Research Institute for Linguistics at the Hungarian Academy of Sciences, a flourishing center of aspectual research, and the dissertation for completion of the PhD course (this version focused more on case) in 2005.
The bulk of the text is written in 2002-2003 in Notre Dame, South Bend, and it has profited from teaching it as part of my courses in Italy and Hungary. On the other hand, it is the first publication of some results of my postdoctoral research between 2007 and 2011. My first postdoc research was on Estonian aspectual verb classes at the Institute of the Estonian Language, with the database materials and feedback provided by Margit Langemets, Kristiina Ross, Heete Sahkai, Silvi Vare, Ene Vainik, and most of all, Ülle Viks and Helle Metslang. The second project concerned cross-categorial case at the Research Institute for Linguistics. During my postdoc years, the generous Estonian grant gave me the opportunity to present at
several conferences. I must probably thank the lack of a single forint for anything like books or conference attendance in my Hungarian grant for plucking up the courage and organizing a series of events myself and accepting invitations to talks, volumes, or cooperation. I have also been fortunate to present at workshops attended or organized by renowned and innovative scholars on aspect, verbs, case, and the partitive, and to get valuable feedback on my work from Louise McNally, Helen de Hoop, Peter de Swart, Sander Lestrade, Andrej Malchukov, Irina Nikolaeva, Angeliek van Hout, Angelika Kratzer, Martina Faller, Olga Borik, Henk Verkuyl, Bernard Comrie, Östen Dahl, Balthasar Bickel, Giorgio Iemmolo, Patrick Caudal, Farrell Ackerman, Casper de Groot, Ida Toivonen, Anders Holmberg, Asya Pereltsvaig, Ora Matushansky, Heidi Harley, Sergei Tatevosov, Gillian Ramchand, Peter Svenonius, Miriam Butt, Anette Frank, Rachel Nordlinger, Jane Simpson, Aet Lees, Helena Metslang, Birute Klaas, Virve-Anneli Vihman, Katrin Hiietam, Elsi Kaiser, Helena Sulkala, Seppo Kittilä, Jaakko Leino, Tuomas Huumo, and many others. This book has, therefore, profited from many questions and discussions, but the resulting ideas are detailed in my works published after the completion of the dissertation in 2004; the bibliography contains references to most of them. I will not be able to thank everyone, but I remember well all the questions, discussions, shared materials, advice, kindness, cooperation, and feedback. I am grateful to my Italian colleagues Silvia Luraghi, Pier Marco Bertinetto and Guglielmo Cinque for inviting me for talks.
The Central European University has provided me with the calm lifestyle to finish the manuscript and improve it on the basis of the Internet use of object case alternation in Estonian in the academic year 2010/2011. At first sight, research on aspect, verbs, and case seems to fall far from general social cognitive research focus in the Central European University, but I am grateful to Gergely Csibra, György Gergely, and Dan Sperber for expressing their belief in it and in helping me realize how progress in linguistics serves the development of other cognitive sciences and vice versa. My new colleagues have taught me for instance what is epistemic vigilance or that babies are aware of goals early on, endpoints of actions, just like the goals encoded in the aspectual predicates. Francesca Giardini, Christophe Heintz and Olivier Morin formed a warm Italian-French bubble for me during the severe winter of 2010/2011. They and the newer CEU Business School denizens pop up as subjects or objects in some of the Estonian example sentences in this book if their names have an Estonian version.
I am grateful to my long-term colleagues Beatrice Tottosy, Rita Manzini, Kinga Kapacsy, Lena Dal Pozzo, Arianna Antonielli, and Lorenzo Amato from the University of Florence. I would like to thank Arianna Antonielli for consequently taking care of the details that have determined the good shape of the manuscript. Without the enormous perseverance of Beatrice, you wouldn’t be reading this text as a book, and without her creative attitude to the Italian academic situation, Estonian would not be so visible at all in the Italian linguistic scenery. Many thanks to the reviewers for feedback and encouragement and to Gianguido Manzelli for commenting on this manuscript. I am solely responsible for all signs of absent-mindedness or academic obstinacy in this book.
It is impossible to thank adequately my family, Zsolt, Joosep, and Ilona. The spectrum of good experience they have exposed me to in this period is wide and rich. It includes the birth of Ilona and Joosep leaving home for university studies in the Netherlands. Many thanks to Zsolt for standing by me through all these changes with humor (happy birthday, Zsolt!).
Budapest, 14 July 2011
1.1 Main focus
The topic of the book is the role of lexical semantics in clausal aspect and the semantics-syntax interface. One goal is to demonstrate how a language works where scalar aspectual distinctions are relevant for morphosyntactic encoding. The other goal is to show that the morphosyntactic distinctions that pertain to the domain of aspect or event structure in the verbal domain are in fact the instantiation of more general semantic distinctions that operate in other categories as well. The third goal is to provide a verb classification that is predictive of morphosyntactic encoding.
No monographic study of a specific language has combined yet these three goals, although their joint pursuit allows one to answer questions such as: How are verbs and clausal aspect related? Are aspect and transitivity related, as suggested by Hopper and Thompson (1980)? Does aspectual case relate to verbs, their thematic roles and argument structure, or does it encode clausal aspect? Are there languages where morphosyntactic data support the hypothesis of Bolinger (1972) that gradability is a feature of grammatical categories other than adjectives? Finally, if there are languages where such cross-categorial parallels are morphosyntactically expressed, how do these languages function exactly? In a wider perspective, this book contributes to the understanding of the semantic parallels between categories such as verbs, adjectives, and nouns.
These general questions have remained a challenge despite extensive previous studies on the phenomenon frequently referred to as the Finnish partitive and on aspectual composition in general. The Finnish accusative-partitive object case alternation is the best studied instance of aspect-based Differential Object Marking. In the rich complement and adjunct case system of the Finnic languages, case encodes thematic roles as well as non-thematic information. Therefore, these languages provide excellent data for discovering the relationships between aspect, thematic and argument structure. In order to answer the identified questions, the empirical material of this book consists of the aspectual transitive verb classes in Estonian, a Uralic language spoken by approximately one million people. Estonian belongs to the Finnic languages of which Finnish is more researched compared to several smaller languages\(^1\). Among the many
typologically intriguing features, Estonian transitive verb classes display a strong correlation between object case encoding and aspect (Metslang 1994; Tamm 2004e). The correlation between object case and aspect has been established for other Finnic languages as well. Dahl and Karlsson (1975) draw parallels between the Slavic perfective-imperfective distinction and the Finnish accusative-partitive object case alternation; Kiparsky (1998) relates the object case alternation to (un)boundedness that is close to (a)telicity. Encoding aspect—the category that has to do with the internal temporal properties of events—is obligatory in most Estonian transitive clauses.
Verbs’ aspectual properties seem to directly determine the morphological encoding of the object case. One set of morphosemantic cases appears with one type of aspect and the other set (‘partitive’) with the opposite aspect. Partitive is a morphological case that is part of the case inventories of the Finnic and Sami languages (cf. Larsson 1983). The non-partitive case is the morphological genitive or nominative; these cases are referred to as the ‘total’ in this approach, since mainly the semantically conditioned instances of the ‘accusative’ are studied. Examples (1) and (2) illustrate the object cases and the aspect of the clauses.
(1) atelic verb – partitive – clausal aspect: atelic, imperfective
a. Mati vaata-s televiisori-t.
M[NOM] watch-pst.3S tv-PTV
‘Matthew watched TV, Matthew was watching TV.’
b. Mati vaata-s #televiisori/*televiisor.
M[NOM] watch-pst.3S tv.GEN/NOM
Intended to mean: ‘Matthew watched TV, Matthew was watching TV.’
Examples (1) and (2) illustrate the phenomenon of object case alternation or, in typological literature, Differential Object Marking. Sentence (1a) is a grammatically correct Estonian sentence. It has a verb—vaatama ‘watch’—that stands for an activity with no logical and inherent endpoint. In an event of watching TV, one can carry on endlessly. The activity is terminated by factors that fall outside the logical course of the event denoted by the verb: a power outage, a phone call, or Matthew may intentionally walk away. Lexically, the verb meaning does not require that the event of TV watching should come to an end; the activity could continue endlessly. The verbs such as vaatama ‘watch’ are referred to as atelic or imperfective. On the contrary, the event of finding a book does not terminate when Mary walks away from the bookstore or when a power outage interrupts the course of the event. The event is terminated by factors that are within the logical course of it and part of the meaning of the verb. The event terminates when the book is found, not otherwise. Moreover, once the book is found, the event is over and cannot continue. The obligatory endpoint is part of the meaning of leidma ‘find’. It is grammatically relevant that
the meaning of the atelic verb *vaatama* «watch» does not have an inherent endpoint, whereas the meaning of the telic verb *leidma* «find» has one, because it matters for object encoding in Estonian. Sentence (1a) with the verb *vaatama* «watch» has a partitive object, whereas the same verb is semantically unacceptable with a total object (1b); semantic incompatibility is signaled by the hash mark in this book. The sentence is ungrammatical with the nominative, which is a possible object case in other environments such as the imperative; ungrammaticality is signaled by an asterisk in this book. On the contrary, sentence (2a) with the verb *leidma* «find» has a total object, sentence (2b) with the verb *leidma* «find» and a partitive object is semantically unacceptable on a single-event reading (2b); semantic incompatibility is again signaled by a hash mark. The sentence (2b) has an interpretation where there are multiple events, but this option is pragmatically odd. The sentence must be understood in a context where finding a book is a property of Mary or where Mary finds the book repeatedly; pragmatically not felicitous sentences are signaled by a percent sign in this book.
(2) telic verb – no partitive – clausal aspect: telic
a. Mari leid-is poe-st raamatu.
M[NOM] find-PST.3S shop-ELA book.TOT
«Mary found a/the book in a shop.»
b. #/%Mari leid-is poe-st raamatu-t.
M[NOM] find-PST.3S shop-ELA book-PTV
«Mary found a/the book in a shop.»
The Finnic object case alternation is still a challenging phenomenon in linguistics, because the relationships between the morphosyntax of case marking, lexical semantics and clausal semantics are difficult to tease apart. There are two largely diverging ways of looking at the data; one would relate case to features that compose clausal aspect (e.g., Kiparsky 1998) and the other would link case to verb semantics via a thematic relation (e.g., Krifka 1998). The examples in (1) and (2) demonstrate that a purely clausal aspectual explanation as well as a purely thematic role-based one cannot account for the data on object case marking. The verbs *vaatama* «watch» and *leidma* «find» do not have two aspectual interpretations, and they do not allow for both object cases but only one. This means that verbs are lexically restricted in the aspect they express. In addition, the thematic role of the object is that of theme in both verbs, still the object case and aspect differ in the sentences with *vaatama* «watch» and *leidma* «find». This means that even if verbs are lexically restricted in the aspect they express, the restriction cannot be directly related to the thematic role of the object. There are approaches that offer in-between solutions. In the aspectual interface account of Tenny (1994: 2), who formalizes the insight of Hopper and Thompson (1980) about the tight relation between objects and aspect, the lexicon mediates between syntax and semantics via aspectual roles. Ackerman and Moore (2001: 98) propose
a solution in terms of thematic roles that are split up in smaller proto-roles, one of which is an aspectual one. In their account, the argument with less proto-roles is marked with the less canonical object case, which is the partitive. Another lexicalist solution would be to include a degree argument among the arguments of predicates, as in adjectives and participles based on transitive verbs, as in Kennedy and McNally (2005: 350). These proposals have not been tested against a large sample of verb class behavior in a language with explicit morphosyntactic markers of the relevant aspectual phenomena. This book provides the missing large sample, the Estonian aspectual verb classes, and suggests a more accurate model that fits the data on the interaction between verbs, aspect, and case. It adopts a general typological perspective, but aims at representing verb classes in a stricter formal system. The study aspires to represent the phenomena in an intuitive way that is backed up with both native speakers’ intuitions and judgments as well as corpus data.
The book presents its material in the form of finding an answer for the following puzzles:
1. How can we draw lists of verbs that «take partitive» and «take accusative», while the verbs cannot be fixed as verbs assigning case solely on the basis of their lexical properties?
2. How to make a verb classification that predicts morphosyntactic encoding, but does not over-restrict the object case encoding?
1.2 Less straightforward relationships between lexical aspect and object case
1.2.1 Verbs of creation and consumption
The relationship between the lexical aspect and the object case encoding is less straightforward in other instances. The object case alternates between two types of case with some verbs, such as sõöma «eat», as in (3a) and (3b).
(3)
a. Toomas sõ-i võileiva.
T[NOM] eat-PST.3S sandwich.TOT
«Thomas ate a sandwich.»
b. Toomas sõ-i võileib-u.
T[NOM] eat-PST.3S sandwich-PTV.PL
«Thomas was eating sandwiches.»
With consumption verbs such as sõöma «eat», connecting case to the verb directly is problematic, since one verb allows two object cases. On the basis of examples (1)-(3), one could still assume a telicity or perfectivity based object case marking system, where partitive encodes atelicity or imperfectivity and total-accusative encodes telicity or perfectivity. There are two main ways of approaching the lexical problem of two aspectual object cases in literature. Both take into account that the verb allows for two aspectual interpretations, telic and perfective (3a) or atelic and imperfective (3b). These approaches can be labeled as «two-entry» and «one-entry» approaches and rephrased as the «lexical» and «compositional» approaches respectively.
In the lexical or the «two-entry» approach the diverging aspectual interpretations are linked to the patterns of differential object case marking via their lexical aspectual semantics. This approach explains the case variation along the lines of the similarity of the effect of the object case with the Russian lexical aspect. The telicity-case correlation, where the imperfective sentence has a partitive object as in (3b) and the telic or perfective sentence has an accusative or total object as in (3a) can be reached by positing different lexical entries eat 1 (4a) and eat 2 as in (4b). These entries differ in their aspectual semantic content, which in turn is linked to different morphosyntactic realizations. The lexical entry eat 1 in example (4a) corresponds to the sentence in (3a) and is lexically telic or perfective, mapping to total case marking on the object NP in morphosyntax. The lexical entry eat 2 in example (4b) corresponds to the sentence in (3b) and is lexically atelic or imperfective, mapping to the partitive case marking on the object NP.
(4)
a. sõ-i (võileiva) (‘Thomas ate a sandwich.’)
Lexical entry: eat 1
telic/perfective semantics – total object encoding
b. sõ-i (võileib-u) (‘Thomas was eating sandwiches.’)
Lexical entry: eat 2
atelic/imperfective semantics – partitive object encoding
In the «compositional» or «one-entry» approach, the diverging aspectual interpretations and the differential morphosyntactic encoding are linked making use of one single lexical entry. While in the two-entry approach, Estonian semantics-syntax matches can be seen to be mediated by the lexicon in a way that is similar to Russian, where lexical aspect largely determines sentential aspect, in the one-entry approach, the role of the individual lexical items can be regarded to be similar to English. As one option, one lexical entry of eat can be maintained, as in (5), if the aspectual value for the clause is determined by the composition of the verb semantics and its object NP’s semantics.
(5)
a. sõ-i (võileiva) (‘Thomas ate a sandwich.’)
Lexical entry: eat
telic/perfective semantics – total object encoding
b. sõ-i (võileib-u) (‘Thomas was eating sandwiches.’)
Lexical entry: eat
atelic/imperfective semantics – partitive object encoding
This approach allows the properties of the noun phrase to play a role in the object case marking. More specifically, the quantized or specific singular NP *sandwich* versus the nonquantized or nonspecific bare plural NP *sandwiches* impose different aspectual values to the clause with the verb *eat*, as in (6). In example (6a), the quantized or specific singular NP *sandwich* imposes the telic aspectual interpretation to the clause with the verb *eat*, as witnessed by the compatibility with the time frame adverbial «in an hour» and the incompatibility with the durative adverbial «for an hour». Example (6b) illustrates how the nonquantized and nonspecific bare plural NP *sandwiches* imposes an atelic aspectual interpretation. Its atelicity is tested by its compatibility with the durative adverbial «for an hour» and the incompatibility with the time frame adverbial «in an hour».
(6)
a. Mary ate the sandwich *for an hour/in an hour.
b. Mary ate sandwiches for an hour/*in an hour.
The quantification or the physical boundaries of the object determine the temporal boundaries of the event with creation and consumption verbs, such as *build* or *eat*. In a sentence describing the event of eating the sandwich, it is the object—the sandwich—that provides an endpoint to the event of traversal of the activity through it. As the sandwich disappears, the event is completed—it is telic, as in (6a). The eating event is not telic if such an endpoint does not exist because of the properties of the NP; the event has no endpoint in example (6b), since the quantity of the sandwiches is not determined.
The quantity and specificity oppositions of NPs are related to «affectedness» oppositions, another way of understanding how verbs and the object together may determine both the telicity of the clause and the object case. If there is a specific and quantized object, it can be totally affected, as in (6a). If there is no specific and quantized object, it cannot be totally affected either in the event as in (6b). The Estonian counterparts of examples (6a) and (6b) are illustrated in Example (3). If the telicity of the event can be related to the properties of the NP, and the endpoint of the event is reached—the sandwich is eaten up—then the object case is total. A complete, «total» event is realized together with the disappearance of the sandwich, as in (3a). The object in this case is «totally affected». On the contrary, if the object referent is not «totally affected», then the object cannot be marked with total, and it is marked with partitive, as in (3b).
In negation, one cannot reason along similar lines, since the quantity or specificity of the object is not relevant in object encoding. However, the «affectedness» explanation still holds. The object is not «totally affected» if the sandwich is not eaten, since it is not affected at all, so it cannot be marked with total (7a) and is marked with partitive (7b).
(7)
a. #Toomas ei sõö-nud võileiva.
T[NOM] NEG eat-ACT.PST.PTCP sandwich.TOT
Intended to mean: «Thomas did not eat a sandwich.»
b. Toomas ei sõö-nud võileiba.
T[NOM] NEG eat-ACT.PST.PTCP sandwich.PTV
«Thomas was not eating a sandwich; Thomas did not eat a sandwich.»
1.2.2 Degree achievements
The object case-marking data in sentences (1)-(7) are frequently discussed in terms of aspect and lexical semantics in previous approaches, but the properties of «degree achievements» as in example (8) have received less attention than they deserve. This class of verbs poses a puzzle for the aspectual approach, since connecting aspect and case is problematic with degree achievements in their occurrences with partitive objects, as in (8a)-(8d), while the sentences are not clearly atelic or imperfective.
(8) telic verb, partitive object, telic clause
a. Firma laienda-s tee-d.
firm[NOM] widen-PST.3S road-PTV
«The firm widened the road.»
b. Mari solva-s Jüri-t.
M[NOM] insult-PST.3S J-PTV
«Mary insulted George.»
c. Mari ehmata-s Jüri-t.
M[NOM] frighten-PST.3S J-PTV
«Mary frightened George.»
d. Mari lõ-i Jüri-t.
M[NOM] hit-PST.3S J-PTV
«Mary hit George.»
The sentences in (8) have partitive objects despite the telicity or perfectivity of the verbs «frighten», «offend», «hit», and «widen», which appear in sentences that may be referred to as telic, terminative, bounded, or perfective. Either lexically or compositionally, these telic, terminative, bounded, or perfective sentences with partitive objects differ semantically from those telic, terminative, bounded, or perfective sentences that have total objects in (2) and (3), with «find» and «eat». The two types, exemplified by the examples in (8) as opposed to those in (2) or (3), seem to encode two types of endpoints. Before introducing what this might mean for the lexical encoding, it is desirable to capture the difference of the two types of endpoints. Intuitively, the
sentences in (8) with «frighten», «offend», and «widen» do not only differ in object encoding, but they represent a different type of endpoint of the event than the endpoints in sentences in (2a) or (3a), with the verbs «find» and «eat».
1.2.3 Verbs that refer to the same event but encode different endpoints
Estonian has an inventory of telicizers, that is, linguistic means to provide endpoints to the events. In example (1), the verb «watch» encodes no endpoint, neither does the sentence. Example (2) has an endpoint encoded by the verb, since the lexical meaning of the verb «find» provides a natural endpoint for the event lexically, encoding a change with a result. In example (3) with the verb «eat», the properties of the sandwich that is being eaten determine whether the event has an endpoint. The endpoint of the sandwich-eating event coincides with the disappearance of the whole sandwich, so the last piece of it is specially related to the endpoint of the eating event. In (8), with «widen», «frighten», «hit», and «offend», the endpoint is not related to the physical dimensions of the object and the puzzle that this book sets out to solve relates mainly to this class of verbs. Intuitively and pre-theoretically, the endpoint is related to an implicit other measurement—widening the road by the measure of two meters, for instance. In other cases, the exact endpoint cannot be verified by perception. When the event of offending or frightening is temporally over, the exact endpoint of it cannot be traced by perception, for instance, the result of the change in the mental state of the experiencer cannot be exactly verified. The event has temporal boundaries in the examples in (8), but it is not «rounded off» or completed according to the judgment of the speaker. Alternatively, it does not have a perceivable, stable and definitive result.
However, the puzzle becomes more complex if we look at the object case encoding of the same verbs in other environments. Identical verbs can denote events that are realized in full according to the speaker’s expectations about the results and endpoints of these events. In those cases, the object case is total. However, with some of these verbs, the use of an aspectual particle is necessary.
(9) telic verb, total object (and an aspectual particle), telic clause
a. Firma laienda-s tee.
firm[NOM] widen-PST.3S road.TOT
«The firm widened the road; it was a road that the firm widened.»
b. ??Mari solva-s Jüri ära.
M[NOM] insult-PST.3S J.TOT PRT
«Mary managed to insult George.»
c. Mari ehmata-s Jüri ära.
M[NOM] frighten-PST.3S J.TOT PRT
«Mary frightened George completely.»
d. Mari lō-i Jüri maha.
M[NOM] hit-PST.3S J.TOT PRT
«Mary hit George (and killed him); Mary killed George (by hitting).»
It cannot be the objective nature of the events—widening, offending, hitting, or frightening—that determines the object case assignment, because the object case alternates with identical verbs. The object NP’s referent is identical in both sets of examples: the road (not a part of it), and George (not a part of George). The notions of completeness and a perceivable result are not exclusively dependent on the real-world, encyclopedic facts that interact with perception only.
An event of widening the road or frightening someone has a temporal beginning and an end in objective terms; these events have an endpoint as part of the lexical meaning of the verbs in question. This is a matter of semantics. However, the endpoints and, consequently, the events are categorized or communicated differently in subjective terms. This is a matter of pragmatics. The behavior of this verb class indicates that the idea or an expectation about a complete event is crucial for the morphosyntactic aspectual encoding. This book will discuss that the scalarity of verb meaning plays an important role in constraining the morphosyntactic encoding in the composition of the clausal aspect.
The endpoint may be communicated as conforming to a certain expectation of the speaker or not conforming to it. In case of «finding the book», if the subject has spotted a book, the expectation about what can be considered a full event is fulfilled. In case of «eating the sandwich», when there is no sandwich any more, the event can be categorized as having a result and as being completed. There are various reasons for why an event does not meet the speaker’s expectations about a total event, its completion or result. On the one hand, there may be no expectations about a concrete endpoint or result about other events, as in the case of «watching TV». On the other hand, the achievement of the expected endpoint or result of the event can be classified as not conforming to an expectation, if parts of the sandwich are still in sight. Thirdly, the speaker may simply not know what to expect about the endpoint or result of an event, as in the case of «widening the road»: the result of the event is that the road is widened, and no one works on it any more. The following is, however, not clear: should the road be widened more at another time according to the plan? Was the road perhaps widened more than intended? The speaker has no access to the intentions of the planners or wishes to communicate that the road was not widened according to the intentions, his own or others’. Fourthly, the speaker may not be able to verify the endpoint and the result in case of «offending», «hitting», or «frightening». The only fact that the speaker recognizes is that the subject has performed a temporally bounded event by the end of which he offends or frightens the one who experiences the consequences. However, how deep the exact consequences affect the experiencer cannot
be objectively verified by the speaker. Ultimately, it is the speaker’s wish to communicate knowledge and categorization that determines the type of the endpoint, the type of the event, its aspectual encoding type in terms of lexicalization and, consequently, the object case encoding.
In contrast to the events that do not—or cannot—meet the speaker’s expectations about their completion or result, the encoding of the objectively identical event is different because of subjectivity and intersubjectivity. The speaker’s expectations about their completion or result are met in the examples in (9). In case of (9a) (widen), the speaker knows how much the road must be widened and the result of the event conforms to this expectation. In example (9b) (offending), the goal of the subject can be to offend George no matter how George reacts; as soon as the offending event is performed, the goal of the event is attained. In case of (9c) (frightening), there is an interpretation where the frightening of George may be unintentional, but it has a visible effect; George might make a visible move, or he might change his mind and act differently from what was originally expected. More plausibly, however, the speaker imagines that the mental state of George has undergone a substantial change. In (9d) (hitting), the result of hitting is clearly differently perceived by the speaker. While in (8d), the experiencer can recover from hitting, in (9d) the experiencer cannot recover from hitting, according to the judgment of the speaker.
These were the various grounds for the speaker to assume that her expectations about the completion or the result of the event are met in the examples in (9). Perhaps most remarkable is the difference in envisaging the endpoint and the encoding of the object case of psych-verbs in (8) and (9) that partly corresponds to the existence or the lack of the intersubjective, empathic experience. The existence of conventionalized intersubjective experience in events such as offending or frightening determines the possibility of the total case. This book studies the exact nature of the two types of endpoints of events, and wishes to show how they are represented in by the lexical and grammatical structure of the language. Some events are scalar; they can be completed and realized to a certain degree or extent up to the endpoint of type 1 (to a certain extent) or completed fully up to the endpoint of type 2 (according to the individual expectation or a preconceived, conventional or communicated standard).
1.2.4 Types of telicity and telicizers
In examples (1)-(7), the endpoints are provided by the object or the verb, or both. However, there are other means in the Estonian grammar to encode endpoints for the events, such as the particles, as in (9b) and (9c). In addition, there are several other particles than ära exemplified in (9b), (9c), such as üle «over» in (10a), prepositional (10b) and postpositional (10c) phrases, locative case-marked phrases such as (10d) and (10e), among which there are resultative phrases formed from nouns (10f) or adjectives (10g), certain case forms of infinitives, such as illative (10h) or elative (10i),
temporal (10j) or spatial measure phrases (10k), (10l). As in several languages, measure phrases are object-like and bear object case. These forms typically encode the presence of an endpoint, and contribute to the telicity of the phrase. The transitive clauses with total objects illustrated in (10a)-(10l) also encode that the expectation about the endpoint or result of the event is met. They can appear in clauses with partitive objects only with special context as in example (13).
(10)
a. Mari kontrolli-s kontrolltöö üle.
M[NOM] check-pst.3s test.tot prt
«Mary checked her test.»
b. Mari viska-s raamatu üle laua.
M[NOM] throw-pst.3s book.tot over table.gen
«Mary threw the book over the table.»
c. Mari pan-i raamatu laua peale.
M[NOM] put-pst.3s book.tot table.gen on
«Mary put the book on the table.»
d. Mari tõ-i raamatu koju.
M[NOM] bring-pst.3s book.tot home.ill
«Mary brought a book home.»
e. Mati vaata-s filmi lõpu-ni.
M[NOM] watch-pst.3s film.tot end-ter
«Matthew watched a/the film, Matthew was watching a/the film.»
f. Mari luge-s raamatu riba-de-ks.
M[NOM] read-pst.3s book.tot piece-pl-tra
«Mary read the book into pieces.»
g. Mari värvi-s aia punase-ks.
M[NOM] paint-pst.3s fence.tot red-tra
«Mary painted the fence red.»
h. Ma vii-si-n lapse uju-ma.
I[NOM] take-pst.1s child.tot swim-m_ill
«I took the child swimming.»
i. Ma tõ-i-n lapse uju-mast.
I[NOM] take-pst.1s child.tot swim-m_elA
«I brought the child from swimming.»
j. Mari oota-s terve aasta.
M[NOM] wait-pst.3s whole.tot year.tot
«Mary was waiting for a whole year.»
k. Mari uju-s ühe kilomeetri.
M[NOM] swim-pst.3s one.tot kilometer.tot
«Mary swam one kilometer.»
1. Takso vii-s Tooma
taxi[NOM] take-PST.3S T.TOT
kümme kilomeetri-t Pärnu suunas.
ten[NOM] kilometer-PTV P.GEN towards
«The taxi took Thomas ten kilometers in the direction of Pärnu.»
Verbs, their quantized object NPs, particles, measure phrases, resultative phrases, certain case forms of infinitives, prepositional and postpositional phrases, and case phrases encode endpoints for events. Lexical predicates encoding an event with an endpoint differ in their flexibility in describing events as not yet having reached the endpoint. Various types of endpoints of events allow a description of events in their progress or completion. Consider again some non-complex predicates, such as ehitama «build» (11) or sõöma «eat» (3), which allow their objects to provide an endpoint to the event but that can describe events as not yet having reached the endpoint.
(11)
a. Toomas ehita-s silla.
T[NOM] build-PST.3S bridge.TOT
«Thomas built a bridge.»
b. Toomas ehita-s silda.
T[NOM] build-PST.3S bridge.PTV
«Thomas was building a bridge.»
Verbs such as ehitama «build» (11) or sõöma «eat» (3) are creation and consumption verbs; the physical boundaries of their object’s referent determine the temporal boundaries of the event. In a sentence describing the event of building a bridge or eating a sandwich, it is the object—the bridge or the sandwich—that provides an endpoint to the event of traversal of the activity through the object referent. If the endpoint is reached—the bridge is ready or the sandwich is eaten up—the object case is not partitive, as in (11a) and (3a). If the endpoint is not reached, if the bridge is not ready or the sandwich is not eaten up, that is, if the object is not totally affected, the object is marked with partitive. But similarly to «widen» and «frighten», the verbs in (12) can still impose temporal boundaries, if the object is partitive plural or mass noun.
(12)
a. Toomas sõ-i vőileib-u.
T[NOM] eat-PST.3S sandwich-PTV.PL
«Thomas has eaten/ate sandwiches.»
b. Toomas ehita-s sild-u.
T[NOM] build-PST.3S bridge-PTV.PL
«Thomas (has) built bridges.»
Particles, resultative phrases, measure adverbials, certain case forms of infinitives, prepositional and postpositional phrases, and case phrases do not determine clausal aspect fully in Estonian; they only signal that there are expectations about a definite endpoint or result of the event. These linguistic means do not provide an endpoint in combination of transitive verbs in itself. The boundaries they provide for the event can be presented in clauses as not yet attained. If there is a particle, a resultative phrase or a measure adverbial in the clause, the object case may be partitive, as in (13a)-(13d). These sentences describe situations where a particle (13a), a resultative phrase (13b) or a measure adverbial (13c), (13d) provides an expected endpoint to the event. Importantly, this endpoint has not been reached.
(13)
a. Mari kontrolli-s kontrolltöö-d üle.
M[NOM] check-PST.3S test-PTV PRT
«Mary was checking her test.»
b. Mari kärista-s ajalehte riba-de-ks.
M[NOM] tear-PST.3S newspaper.PTV piece-PL-TRA
«Mary was tearing the newspaper into pieces.»
c. Mari uju-s ühte kilomeetri-t.
M[NOM] swim-PST.3S one.PTV kilometer-PTV
«Mary was swimming one kilometer.»
d. Takso vii-s Toomas-t
taxi[NOM] take-PST.3S T-PTV
kümme kilomeetri-t Pärnu suunas.
ten[NOM] kilometer-PTV P.GEN towards
«The taxi took Thomas ten kilometers in the direction of Pärnu.»
In case of some predicates as in (13d), establishing the linguistic correspondent of the endpoint is not a trivial matter. In some instances, as with the creation verb «write», or a verb of ownership transfer, «give», the object referent does not provide an endpoint to the event and the activity does not affect or traverse the object. Consider predicates that denote events such as the event of writing a book. Those verbs have objects that are created and traversed in the course of the activity, but the endpoint is rather reached via an abstract path towards an imagined ideal, instead of by physical creation or traversal of an object. Pages that are completely covered by letters, figures and tables are referred to as a written book if the content meets the expectations of a coherent book, as in (14a), not otherwise. Even if the pages are completely covered by letters, figures and tables, the subject can still be writing a book until the expected coherence is not obtained, and the situation can be morphosyntactically encoded with the partitive object.
(14)
a. Toomas kirjuta-s raamatu.
T[NOM] write-PST.3S book.TOT
‘Thomas wrote a book.’
b. Toomas kirjuta-s raamatu-t.
T[NOM] write-PST.3S book-PTV
‘Thomas was writing a book.’
In the events of giving a book to somebody (15c) or putting the book into the drawer (15a), the activity does not traverse the book either, so the physical boundaries of the object referent are not related to the progress of the event either, as in the writing events. Likewise, the partial realization of the event does not relate to the partial traversal of the objects in (15b), (15d).
(15)
a. Toomas pan-i raamatu sahtli-sse.
T[NOM] put-PST.3S book.TOT drawer-ILL
‘Thomas put the book into the drawer.’
b. Toomas pan-i raamatu-t sahtli-sse.
T[NOM] put-PST.3S book-PTV drawer-ILL
‘Thomas was putting the book into the drawer.’
c. Toomas and-is raamatu Mari-le.
T[NOM] give-PST.3S book.TOT M-ALL
‘Thomas gave the book to Mary.’
d. %Toomas and-is raamatu-t Mari-le.
T[NOM] give-PST.3S book-PTV M-ALL
‘Thomas was giving the book to Mary.’
1.2.5 What is totally and partially affected?
Thus, whether the object is totally or partially affected by the activity seems not to matter for reaching the endpoint of the event. Partially realized events are not realized with regard to just a part of the object. In the middle of the event of putting a book into the drawer, typically, a part of the path of the book towards the drawer is traversed. In case of ‘giving a book to Mary’, the book and its path are not related to the temporal boundaries of the event. It is not the case that only a part of the book has been given to Mary in the middle of the event. As in the verbs in (1)-(12), meeting the expectation about the final endpoint or result yields total object case-marking, and falling short of this expectation yields partitive object case-marking. The examples show that a fully compositional approach is not advantageous in verbs other than creation and destruction verbs. However, a fully lexical aspectual approach in terms of perfectivity
or telicity cannot be successful either, since there are telic or perfective verbs with object case variation.
Evidence such as the data above showed that the relationship between verb meaning, object case encoding and the events they denote is not straightforward in Modern Estonian. The notion of «corresponding to an expectation or conventional standard» seems to be important. Since relatively scarce material is available that integrates the Estonian lexicon, syntax, and semantics, and there are few described languages where lexical aspectual semantics and object case encoding are so clearly related to TAM, the aim of this book is to give a comprehensive account of the role of verbal predicates in the given aspectual system.
I give a brief summary of the main points. In order to capture the puzzles of degree-wise realization of several verb classes such as the degree achievements and psych-verbs in (8) alongside with other verb classes, this book will propose an analysis of transitive verbs as scalar and non-scalar in Chapters 8–10, analyzing the total object case as a semantic case that encodes a closed scale. Partitive is analyzed as encoding the opposite—the lack of a closed scale. Constraining the partitive to the lack of a closed scale allows it to be compatible with both types of verbs, scalar and non-scalar. Verbal predicates introduce a scale or fail to do so. Non-scalar verbs, such as watch, love, trust, see, want, visit, have partitive objects but the scalar verbs eat, read, build, write, bring, find, and buy have either partitive or total objects. Verbs can be scalar by their lexical meaning (find, frighten), by their interaction with a property of their object argument (eat, read, build, write, bring), and by virtue of a property of an argument or a measure adjunct (surround, transport, take, eat, read, build, write, bring). Verbs fall in two groups according to whether they can be bounded by virtue of a property of a measure argument (implicit or not, as in the verbs transport, take, eat, read, build, write, or bring) or a measure adjunct (surround, comprise).
The exact nature of the aspectual and other distinctions that play a role in object case encoding is a matter of disputes, since there are many semantic, pragmatic, and syntactic factors that influence the encoding. On the basis of an analysis of some of these factors, this book wishes to contribute new insights into the role of lexical semantics in clausal aspect and the semantics–syntax interface. The following subsection of the introduction present the setting for the book.
1.3 The organization of the topics in this book
The organization of the book follows here. In order to present the verb classification that can explain the patternings, a number of terminological issues and background issues in aspect, case, and verb classification are presented in Chapters 2 to 6. Chapter 2 motivates the main choices in terms of terminology, relationships between verbs, aspectual particles, case marking, and aspect. Chapter 3 introduces the role of aspect and other factors in the object case alternation. This chapter also discusses some
previous views on the relationship between aspect and lexical semantics and relates them to the terminology that will be used in the chapters to come. The chapter presents the role of verb classes in aspectual composition. Chapter 4 revises the previously collected evidence of an aspectual organization of lexical semantics and concentrates on the object’s and aspectual particle’s role in the aspectual composition. It presents the preparatory data for an aspectual classification of verbs and their relation to object case. Chapter 5 discusses earlier Estonian sources on Estonian verb classes and identifies the unresolved issues about verb classes and object case. Chapter 6 reviews some lexicalist approaches to the thematic relationships and aspect. From Chapter 7 on, the analyzed empirical material is split in four further chapters. Chapter 7 introduces the scalar approaches to the lexicon. Chapter 8 combines the knowledge from the previous chapters and presents the general principles of the Estonian scalar verb classification. Chapter 9 concentrates on scalar verb classes and Chapter 10 on non-scalar verb classes. Chapter 11 is a conclusion.
Endnotes
¹ Finnic (or Baltic-Finnic, Balto-Finnic) languages are a subbranch of the Finnic branch of the Finno-Ugric languages, which in turn forms one of the two branches of the Uralic languages. Viitso (1998: 97) includes seven (Baltic)-Finnic languages, Finnish, Estonian, Livonian, Ingrian, Karelian, Veps, Votic. Between the first and last draft of the book, the status of one of these languages, Livonian, has turned from «moribund» to «dead» with the death of the last native speaker in February 2009. The variants subsumed under Karelian (Karelian proper, Ludic, Livvi-Olonets) are regarded as separate languages across sources, together with Võro-Seto. Kven and Meänkieli are politically recognized minority languages (regarded as Finnish linguistically). «Baltic» in the name of the language group refers to the territory around the Baltic Sea and not the Indo-European, Baltic languages.
2.1 Total (accusative) versus partitive case: motivation of the terminological choices
A note on the current terminological choices is in order. The readers who do not need an explanation about the terms «total» and «partitive» can skip this subsection. In order to refer to the cases involved in the semantically motivated partitive and non-partitive object case alternation, I have chosen to use new terminology for the non-partitive group of cases, and I have opted for internationally known terminology for the partitive case. Both choices have risks related to misunderstanding; therefore, it is advisable to know them before proceeding.
The general pattern of morphological object and subject case marking in Estonian is presented in Table 2.1 in the spirit of the Standard Estonian Grammar by Erelt et al. (1993), henceforth referred to as *EKG II* (EKG II: 60). Subjects are nominative or partitive, and objects are genitive, nominative, and partitive. The case that is referred to as total has the morphological genitive or nominative form. Instead of the semantic term «total object» one could use the typological syntactic term «accusative object». «Total object» or «complete, full object» (*totaalobjekt, täissihitis*) are the most frequently used terms in Estonian linguistics for the object that is case marked with the morphological genitive or nominative. The term reflects case syncretism as well as the importance of semantics for the object case encoding.
Table 2.1 The place of object case alternation in the Estonian case alternations.
| Subject cases | Object cases |
|---------------|--------------|
| Nominative | Genitive (total) (singular count nouns) |
| Partitive | Nominative (total) (plural and mass nouns) |
| | Partitive (singular and plural) |
A brief note on the form of these cases is in order, since the reader might be confused by the lack of clear case endings in the examples while the case glosses are present, and even the identical written form of case forms that appear in minimal pairs. The form of partitive may differ from that of total (morphologically, genitive) in its long vowel quantity (in *õuna* «apple.*TOT/GEN*» and *klouni* «clown.*TOT/GEN*», the diphthong is pronounced...
with a short «u», in õuna «apple.PTV» and klouni «clown.PTV», the diphthong is pronounced with a long «u»). In other cases, the partitive stem ends with a vowel with stem alternation or without stem quantity lengthening (tüübi «type.TOT/GEN», tüüpi «type.PTV») or -t/-d (võtme «key TOT/GEN», võtit «key.PTV», maa «land.TOT/GEN», maad «land.PTV»). See Rätsep (1977, 1979) or Laanest (1975) for further details and the history of the morphological development.
The term «partitive» covers a variety of concepts in linguistics. Partitive is used as the traditional name for a morphological case, also, as the name of the inherent Case in GB theory associated with indefiniteness, and as a semantic notion associated with partial interpretation. This book regards the Estonian partitive as a morphological case but relates it primarily to aspect and defines it as a semantic case\(^1\). Following Butt and King (2005: 25), this book defines semantic case in a non-standard way as a type of case about which regular semantic generalizations can be made and that has the following characteristics: predictability via the formulation of generalizations across predicates and constructions, and subjection to syntactic restrictions, such as restrictions on grammatical functions of the NPs where the case can appear.
In the standard, morposyntactically oriented approach to case, the «total case» equals to accusative. If the reader wishes to re-use the examples and generalizations from this book in morposyntactic or typologically oriented research, it is advisable to refer to the case as «accusative» and gloss it as ACC. If the reader’s interests are phonological or morphological, the case referred to as «total» should be replaced by «genitive» and «nominative».
While calling one of the semantic object cases «total» is consonant with the claims made about this case here, the term «partial», used in Estonian grammars, does not transparently cover the respective semantic content of this semantic case. The partitive marked NP’s denotation cannot be understood as «part-of» the denotation of the object NP’s referent. Events described in clauses with «partial» objects do not necessarily reflect any «partial» progress of the event either. For instance, in the Estonian correspondents of the sentences *John loves/believes/trusts/hits/sees/shoots etc. Mary*, the object NP «Mary» would be marked with the partitive, but the partitive marked «Mary» is not interpreted as «part of Mary»; there is no partial progress of the event described either. Frequently, the partitive marked object noun phrase has no referent. The details are found in the following section. Therefore, nothing related to parts can serve as an umbrella for the «partial» object phenomena. Therefore, the term «partitive» is preferred to «partial».
Similarly to «partitive case», «total case» is also an instance of semantic case as defined above. In international sources, the total case is frequently referred to as «accusative». Puszlay (1994: 48-49) or Hiietam (2002, 2003) can be consulted for synchronic and diachronic reasons for assuming case syncretism and a separate accusative case in the case system of
Estonian; Kont (1963: 21) can be consulted for a discussion and Saareste (1926) for reasons against assuming a separate accusative case. The «total case» is morphologically an equivalent of what is referred to as accusative by Puszlay or Hiietam. These authors are not concerned with the interfaces or semantics but are typological and syntactic in nature; also, they regard the accusative case as the case that reflects definiteness. The term «total» is generally preferred in more aspectually inclined research about Estonian object. While telicity and the definiteness of objects co-occur frequently, this book explores only the aspectual dimension of the lexical classes. Therefore, the case is approached from the aspectual point of view and this book uses the terminology reflecting aspectual distinctions.
2.2 Motivation of the approach to verb classification as an aspectual classification
2.2.1 Why verb classes?
This book investigates how verb classification predicts the verb’s combinability with other elements in the sentence that contribute to the composition of clausal aspect. Therefore, it is concerned with articulating the relations between verbs, aspectual particles, case marking, and aspect. This book presents the role of aspect in verbal lexicon and the object case alternation. Thus, it approaches these topics from the viewpoint of the so-called «aspect hypothesis». However, clausal aspect on the one hand and issues concerning the quantization or specificity feature of the object NP or the presuppositional nature of events, on the other, are connected in a way that will not fully be explicated in this book.
Does it make sense to study verb classes? The following subsections provide the arguments for preferring predicate-related approaches to aspect and object case marking. The examples of the following subsections show that the aspectual oppositions and case-marking alternations are not directly related to the differences in the properties of the object NP. Examining the properties of case-marked NPs is, however, important, since the historical NP-relatedness has shaped the Modern Estonian aspectual system in a way that it does not exactly reflect the standard semantics of perfectivity and telicity, but a more abstract version of part-whole semantics that has spread over the aspect and mood (epistemic modality) categories in Estonian (Tamm 2009).
A link between aspect and referentiality can be established in future research. This is a promising line of research, since it is possible to connect referentiality and the expectations about the results and endpoints, and preconceptions about plans that are present in telic events. This book does not intend to oppose or exclude any alternative interpretations but tries to test and spell out the role of aspectual lexical semantics in more detail, combining methods and insights from several linguistic research traditions. By doing so, other accounts of verbal behavior and case assignment will become considerably better grounded as well. A detailed review and interpretation of previous sources in Chapters 4 and 5 are intended for the reader to see the relationships in the data. The main idea of this book is that the case alternation is largely constrained by lexical semantics. The following subsections offer the motivation of the choices that have determined the preference for aspect and lexicon related explanation to other, related, but morphosyntactically less predictive accounts. A clear account of the role of verb meaning and verb classification is a basis for understanding many issues in the semantics, syntax, and morphology of argument encoding.
2.2.2 Verbs and aspect and not NP properties
The so-called «quantification hypothesis» is not considered in this book, but this subsection presents some arguments against adopting a strict quantification explanation for object case marking, following Tamm (2007b, 2007c). A plausible wording for the «quantification hypothesis» could read as in (1). The hypothesis in (1) is too strong. It should be weakened as in (2).
(1)
The «quantification hypothesis» about the object case marking in Estonian: quantized NPs are marked by the total case as objects; non-quantized NPs or parts of a whole NP are marked by the partitive case.
(2)
The «quantification hypothesis» covers frequent but not all instances of the total case phenomenon and does not cover the partitive case.
Finding out the facts about quantization is crucial for the understanding of aspectual verb classes. Several accounts studying compositional aspect and the parallels between the verbal and nominal domains relate the variation in aspect to the quantificational properties of the object NP, such as the specified quantity feature (Verkuyl 1993) in syntax or quantization (Krifka 1992, 1998). These accounts will be introduced in the following sections. From the quantificational perspective, examples (3a) to (3d) show that the expected variation in the aspectual value of the sentence is not paralleled by the difference in the object NP properties.
(3)
a. Mari sõ-i (ühte) ōunapiruka-t.
M[NOM] eat-PST.3S one.PTV apple.tart-PTV
«Mary was eating an/the (/one) apple tart.»
b. Mari sõ-i (ühe) ōunapiruka (ära).
M[NOM] eat-PST.3S one.TOT apple.tart.TOT up/PRT
«Mary ate an/the(/one) apple tart (up).»
c. Mari kirjuta-s (ühe) raamatu-t
M[NOM] write-PST.3S one.PTV book-PTV
aasta aega / #ja läk-s töö-le.
year time.PTV and go-PST.3S work-ALL
«Mary was writing a/the (/one) book for a year (anomalous with the alternative: and went to work).»
d. Mari kirjuta-s (ühe) raamatu
M[NOM] write-PST.3S one.TOT book.TOT
ühe aasta-ga / ja sisis läk-s töö-le.
one.GEN year-COM and then go-PST.3S work-ALL
«Mary wrote a (/one) book in one year / and then went to work.»
All examples contain quantized NPs (e.g., one apple tart, one book) regardless of their case-marking. Although examples (3a) to (3d) might suggest otherwise, the part-whole semantics that underlies the historical regular partitive-accusative oppositions has disappeared in Modern Estonian. In example (4a), the referent of the partitive marked noun võti «key» is not part of the key and in example (4b), the referent of the partitive marked noun Jüri «George» is not part of George.
(4)
a. Leid-si-n võti-t korduvalt.
find-PST-1S key-PTV repeatedly
«I found the key several times.»
b. Mari ehmata-s Jüri-t.
M[NOM] frighten-PST.3S J-PTV
«Mary frightened George.»
Partitive clearly does not mark part-of or nonquantized semantics, but how about the total case? A more intriguing question for a possible quantificational analysis of the case-marked NPs concerns the correspondence between total case and quantization. I argue that there is no clear correlation, even if a correct analysis of the total case needs more data than examined in previous sources and it is out of the scope of this section to give a conclusive set of examples and exact tests. In the Lexical Functional Grammar account of Tamm (2004e), total case is restricted to quantized NPs only; partitive lacks any restrictions on the quantization of the NP it marks. This section revises that position.
Examples (1)-(4) containing quantized NP objects and partitive marking confirm the correctness of an analysis of the partitive without quantization restrictions. However, quantization is indeed a necessary restriction for plural total objects. In case of plural NPs, which are morphologically nominative, it is clear that they are quantized (5).
(5)
\[
\begin{array}{lllll}
\text{Mari} & sō-i & (kōik) & ōuna-d & (āra) \\
\text{M[NOM]} & \text{eat-PST.3S} & \text{(all[NOM])} & \text{apple-NOM.PL} & \text{up/PRT} \\
/kaks & ōuna & (āra). \\
\text{two [NOM/TOT]} & \text{apple.PTV} & \text{up/PRT} \\
\end{array}
\]
«Mary ate (all) the apples (up)/ Mary ate (up) two apples.»
For partitive plurals, on the other hand, there is no restriction on being either non-quantized (6a) or quantized (6b). The partitive plural form differs considerably in Finnish and Estonian; the latter is heavily reduced. Also, the example has a non-progressive reading. In the sentence «Mary ate (all) the apples (up)», the NP (apples) is quantized. The nominative case may be historically related to a restriction on (explicit) quantization. In addition to the universal quantifier, the numeral heads and some other types of quantizing heads of total objects are marked with the morphological nominative. See Lees (2004, 2005) for historical studies and Rätsep (1977, 1979) or Laanest (1975) for the details of the morphological development.
(6)
a. \[
\begin{array}{llll}
\text{Mari} & sō-i & ühekorraga \\
\text{M[NOM]} & \text{eat-PST.3S} & \text{simultaneously} \\
me-tt & ja & ōun-u. \\
\text{honey-PTV} & \text{and} & \text{apple-PTV.PL} \\
\end{array}
\]
«Mary was eating honey and apples simultaneously.»
b. \[
\begin{array}{llll}
\text{Mari} & sō-i \\
\text{M[NOM]} & \text{eat-PST.3S} \\
(kōik-i) & ōun-u & (ühekorraga). \\
\text{all-PTV.PL} & \text{apple-PTV.PL} & \text{simultaneously} \\
\end{array}
\]
«Mary ate (all) the apples (simultaneously).»
Contrary to the approach taken in Tamm (2004e), which associates a restriction on quantization with the total object case regardless of the number, this book wishes to provide more details about singular NPs. More specifically, it is problematic to assume a quantity or specificity restriction on singular NPs. The following examples examine the case-marking of Estonian concrete mass nouns, a topic that has not been dealt with in detail before.
Paldre (1997) and Tamm (2011b, to appear a and b) include tests for the Estonian distinction of mass and count; Tamm (2007c, 2007a) use them for an analysis of abstract nouns and their morphosyntactic properties in Estonian. Mass nouns display failure with numerals, with plurals or measure phrases, and in combination with count determiners with mitu «many». The reader is referred to further discussion of the issue of the relationship between the morphosyntax and semantics of indefiniteness, case, quantization, and issues of kind semantics in Estonian (Tamm 2007a, forthcoming a and b). Chierchia (1998), Gillon (1992), Krifka (1991), Carlson (1980) and Link (1983) provide several semantic criteria for determining the count and mass nature of a noun. If my data on total objects may be understood as conceptualizing or grammaticalizing a category, then total objects have conceptualized or grammaticalized the naïve semantics of quantization (a condition of count nouns) in Estonian. The Estonian quantization semantics is—up to details such as mass to count shifts of the standard serving or kind type—surprisingly close to but perhaps not absolutely identical to the semantics proposed by these authors. The total case may be understood as an instance of «Universal Packager», however, in a tight, yet flexible symbiosis with transitive verbs. Bearing in mind the slight discrepancy between morphosyntax and semantics, I prefer the less semantically loaded term «boundedness» for the category (Jackendoff 1991, 1996). LFG allows for two major types of solutions for the mismatch. The mismatch can be dealt with either in a more formal way, capturing the strictly formal relationships in language or in a more functional way, taking grammaticalization into account. In the first case (more formal), the constraints are between morphology (the case of total objects) and semantics (the «ideal» quantization). In the second case (more functional), the goal of the constraints is also to explain grammaticalization. The relevant interface constraints are then located between morphosyntax, the functional feature of boundedness, which corresponds to the naïve conceptualization of quantization in Estonian, and semantics.
Mass and bare plural nouns are typically partitive as objects, but there are also examples with total case-marked mass nouns. However, even in case of the most typical examples of mass nouns as total objects, such as verbs of transportation (7a), it is difficult to establish whether it is pragmatics (implicature) or semantics (entailment) that determines that the transportee is of certain quantity by way of a mass-count shift, such as a shift from mass to standard serving. With a verb of consumption (7b), it is again an implicature that what is consumed is a quantity, such as a bottle of water, or less than a bottle of water or any other type of standard serving. However, the total case-marked NP in examples (7a) - (7b) can instantiate a focus and contain a kind-denoting NP. Since kind-denoting NPs are analyzed as quantized NPs, that is, «(one) kind of» ice cream or water, the total objects could be instances of a mass-count shift, that is, a coercion to quantized NPs. With a verb «discover» in (7c), the specified quantity of the object is less conspicuous, since what is discovered for the first time is simultaneously an instance and a kind of material. While there can be more alternative kinds of iron, the existence of a set of alternatives (required for focus) cannot form a restriction for total objecthood. Those mass nouns of which there are no alternative kinds (and no possibility of plural forming), such as «ekasilicium» in (7d), can be total objects. In addition, example (7e) shows a total case marked mass noun that is disambiguated by adjectives that coerce the noun to be a concrete instance: the «mold» that is gradually growing is less likely to be a kind.
(7)
a. Mari tō-i jäätise.
M[NOM] bring-PST.3S ice-cream.TOT
«Mary brought ice-cream.»
b. Jō-i-n vee (ja lõpetasin lõunapausi).
drink-PST-1S water.TOT and finished lunch break
«I drank the water (and finished my lunch break).»
c. Umbes 3400 e. Kr. avasta-si-d
approximately 3400 BC discover-PST-3PL
inimese-d Egiptuse-s raua.
human-3PL Egypt-INE iron.TOT
«Approximately in 3400 BC, humans discovered iron in Egypt.»
d. Winkler avasta-s «ekasilitsiumi» ...
W[NOM] discover-PST.3S ekasilicium.TOT
haruldase mineraali analüüsi-l.
rare.GEN mineral.GEN analysis-ADE
«While analyzing a rare mineral, Winkler discovered ekasilicium.»
e. Avasta-si-n vannitoa-st
discover-PST-1S bathroom-ELA
jōudsalt kasvava hallituse.
quickly growing.TOT mold.TOT
«I discovered (some) quickly growing mold in the bathroom.»
In addition, example (8) with a non-referential object NP shows that the correspondence between specified for quantity and total objects fails in combinations with the aspectual particle āra. The example is from Metslang (2001: 463), and it reports colloquial usage.
(8)
Min-d kutsu-ti reklamipäeva-le
I-PTV invite-IPSPST advertising_day-ALL
klouni mängi-ma.
clown.PTV play-M_ILL
Mängi-si-n klouni āra
play-PST-1S clown.TOT PRT
ja sa-i-n sada krooni.
and get-PST-1S hundred[NOM] kroon.PTV
«I was invited to play a clown on the advertising day. So I played the clown and got 100 kroons.»
The so-called «definiteness hypothesis» is not considered in this book either, but this subsection presents some arguments against adopting a
strict definiteness explanation for object case marking as well. A plausible wording for the «definiteness hypothesis» could read as represented in (9).
(9) The «definiteness hypothesis»: definite NP objects are marked by accusative case, and indefinite NP objects are marked by the partitive case.
The insight that this book follows is worded in (10)\(^2\).
(10) The «definiteness hypothesis» covers frequent but not all instances of the total case phenomenon and does not cover the partitive case.
In a language without a definite or an indefinite article, it is reasonable to expect a compensating mechanism in the form of NP marking. Several languages, including Uralic languages, have suffixes that are based on definiteness-related notions. The existence of two object cases may plausibly serve as an expression of this kind of compensating mechanism. Statistically, there is certainly some correlation of data between indefinite NPs in imperfective (non-bounded) sentences and definite NPs in perfective (bounded) sentences. More precisely, the partitive case tends to occur with non-specific NPs, especially if the NP denotation is homogeneous, the total case occurs predominantly with specific NPs. These facts are previously explained by independent factors, for instance, by general tendencies in the use of aspect in narratives (Metslang 1994).
Despite the statistical correlation, there is much evidence against a strict definiteness hypothesis. First, there is a definite article *see* «this, the» developing from a demonstrative in Estonian (Hiietam 2003); thus, the tendency in developing compensatory mechanisms might be a development of an article system rather than a system based on object case marking. Second, the definiteness hypothesis does not account sufficiently for another fact. In the Estonian correspondents of the sentences *John believes/trusts/sees/shoots etc. the president*, the object NP with «president» is marked with the partitive, and the partitive marked object, «president,» is not indefinite. Also, there is a large class of verbs (creation verbs) in sentences with typically indefinite, discourse-new object referents that nevertheless occur with total objects. Next, the existence of clearly aspectual (event structural) verb classes and their typical occurrence with either total or partitive case marking suggests that the aspectual explanation covers more instances than the definiteness hypothesis. Furthermore, there are no verbs that would give rise to regular minimal pairs on the basis of opposite object case alternation and confirm the definiteness hypothesis. For instance, the object case alternation with the verb *leidma* «find» provides negative evidence for the «definiteness hypothesis». In a sentence with the total object, such as *leidsin võtme* «I found a key» the total object NP «key» is indefinite, whereas in the imperfective (progressive) sentence
leidsin võtit korduvalt «I found the key several times» the partitive marked NP with «key» is definite (specific). Thus, the case alternation cannot be related to the alternation of indefinite–definite features of the respective NPs. Therefore, the definiteness hypothesis, which assumes a link between the feature of definiteness and the total object case or a link between indefiniteness and the partitive object case, does not find sufficient support from the data. This is the reason for adopting an aspect and predicate-related approach to Estonian object case alternation instead of a definiteness related approach. This is a standpoint that diverges from the one taken in the accounts of Belletti (1988), van Hout (2000), or Hiietam (2003). On the other hand, the link between aspect and specificity (understood as in Enç 1991) is still an open topic for further study. However, the success of the «definiteness hypothesis» partly depends on the progress of the research on the «aspect hypothesis» of the object case. Kont (1963: 98) also discusses the relations between the total and «partial» object and the (in) definiteness of the object. This source serves as support for regarding (in) definiteness as a secondary phenomenon in object case marking. For instance, Kont (1963: 96) explicitly argues for the secondary nature of the object’s quantification and subordinating the phenomena of definiteness and nominal quantification to verb semantics.
Example (11a) also provides a case where the occurrence of a total object is not subject to the restriction of referentiality either. The infelicity of the continuation in (11b) shows that klouni «clown.TOT» in (11a) did not introduce an entity that may subsequently be independently referred to in a definite context.
(11)
a. Min-d kutsu-ti reklaamipäeva-le
I-PTV invite-TPS.PST advertising_day-ALL
klouni mängi-ma.
clown.PTV play-M_ILL
Mängi-si-n klouni ära
play-PST-1S clown.TOT PRT
ja sa-i-n sada krooni.
and get-PST-1S hundred [NOM] kroon.PTV
«I was invited to play a clown on the advertising day. So I played the clown and got 100 kroons.»
b. ??Kloun ol-i kirju-s riide-s.
clown[NOM] be-PST.3S colorful-INE cloth-INE
«The clown was wearing colorful clothing.»
The option that is also excluded by example (11a) is that of the definiteness hypothesis, which could be worded as follows: the total case marks definite NPs, and partitive marks indefinite NPs. Total objects are more frequently definite NPs than not, but not vice versa; definite NPs can be partitive marked as objects. There are more examples of total objects that are not necessarily definite. A large class of creation verbs with alternating case appears in sentences with typically indefinite or non-specific referents and with total case-marking. Most of the atelic verbs have only partitive objects, and whether the noun phrase is definite does not influence object case (12).
(12)
a. Mari vaata-s oma raamatu-t/#raamatu.
M[NOM] watch-PST.3S own.GEN book-PTV/TOT
«Mary was looking at her book.»
Example (12) also illustrates that there are no verbs that give rise to regular minimal pairs of opposite object case that would correspond to definiteness oppositions and confirm the definiteness hypothesis. Instead, verb classes based on case marking tend to be related to classes that resemble Vendler’s aspectual classes: states and activities correlate with partitive objects and accomplishments and achievements with total objects.
While there are many issues concerning quantification and definiteness that need to be addressed before deciding whether the quantization restriction on total objects (Tamm 2004e) should be removed or not, the discussed data are still relevant to clarify the nature of aspectual composition. This section examined the specificity or definiteness restrictions and the possibility of analyzing sentences with total object as instantiating mass-count shifts. The latter are harder to pin down than the opposite, count-mass ones: the issue deserves further study. Despite many previously recorded intuitions and observations about the correlations between case and NP-properties, I conclude that the Estonian differential object-case alternation cannot be strictly related to any NP properties. The following section studies the exact relationship between case alternation and aspectual distinctions.
2.3 Aspectual hypotheses
2.3.1 Introduction to the aspectual hypotheses
This section presents the arguments for not assuming telicity and perfectivity as the exact categories that correspond to the Estonian case alternation. The section gives a brief overview of some verb classes and their aspectual interpretation with partitive objects. A general aspectual hypothesis that combines telicity and perfectivity may be worded as follows: case marking determines viewpoint aspect (following the distinction as in Smith 1991). Event verbs, resultative complements and particles can be hypothesized to determine the telic situation aspect in the two-level aspectual approach. On the one hand, the more specific viewpoint aspectual hypothesis about case could be formulated as follows: partitive case marking occurs in sentences that describe imperfective viewpoint aspect and total case marking occurs in
sentences that describe the perfective viewpoint aspect. On the other hand, a telicity hypothesis about case may have the following formulation: partitive case marking occurs in sentences that describe atelic events and total case marking occurs in sentences that describe telic events. Examples (1.1a) and (1.2a), (11a) and (12) confirm both hypotheses. The sentences with «watch tv» and «look at a book» are atelic, imperfective, and have partitive objects, whereas «find a book» is telic, perfective, and has a total object.
2.3.2 The viewpoint aspectual hypothesis about case
There are some problems with the viewpoint aspectual hypothesis about case. Namely, the sentences where partitive objects appear are not necessarily imperfective. The perfective readings of sentences with partitive objects are indicated by a standard test of temporal sequencing. I apply the tests that are used by approaches that keep telicity and perfectivity apart, e.g. Smith (1991). See Tamm (2007b: 490-495) for more data on these verb classes and a discussion of the aspectual tests. The test indicates if an event can be viewed from inside or outside, that is, if a sentence can be interpreted as imperfective or perfective. A perfective sentence co-occurs with the interpretation of temporal sequencing of the relevant events (event 1 happened AND THEN event 2 happened as in: «he jumped and ran away» = and then «ran away» as opposed to: «he sang and danced» is not obviously «he sang and then danced»); an imperfective sentence allows an overlap (event 1 and event 2 happened simultaneously). Inserting «and then» is felicitous between the two sentences. The sequence is anomalous if no overlap is possible, for instance, if the sentence that is being tested is imperfective and the test sentence contains a punctual verb.
I discuss three main cases of partitive-perfective correspondences: creation verbs with partitive plural objects and transitive achievements including psych-verbs and degree achievements. Firstly, partitive objects of verbs that have case alternation (such as «write») do not appear necessarily in sentences that are imperfective. The effect is illustrated by example (13), which contains a semantically restricted, partitive plural (or a mass singular) «bare» NP (such as «books»).
(13)
Mari kirjuta-s raamatu-id.
M[NOM] write-PST.3S book-PTV.PL
((Ja siis) Ta läks ülikooli tööle).
((And then) She went to work at the university).
«Mary wrote books. Mary did some book-writing. ((And then) She went to work at the university).»
This sentence has a perfective reading according to the test, since the interpretation of temporal order of the described event of book-writing is temporally sequenced before the working event. However, also an interpretation of overlap is possible with an atelic test sentence, correctly indicating two interpretations for the verb with the partitive object: perfective and imperfective.
Secondly, partitive objects of several event verbs that have no case alternation, such as *alustama*, *algama* «start, begin», *solvama* «offend», *võitma* «win», *rikkuma* «ruin», *ehmatama* «frighten» (14), *üllatama* «surprise», are not imperfective either according to the test. Note that, as opposed to example (13), the object NP is not semantically restricted in (14).
(14)
\[
\begin{array}{ccc}
\text{Mari} & \text{üllata-s} & \text{Jüri-t/ #Jüri.} \\
\text{M[NOM]} & \text{surprise-PST.3S} & \text{J-PTV/TOT} \\
((Ja siis) Ta läks tööle). \\
((And then) She left to go to work.) \\
((First), Mary surprised George (and then left to go to work).)
\end{array}
\]
The sequencing effect occurs in a narration; that is, Mary first frightened George and then left for work. In addition, imperfectivity does not necessarily arise with degree achievement verbs with partitive objects either in (15), although the effect is weaker. The object may be semantically unrestricted in the case of degree achievements as well.
(15)
\[
\begin{array}{ccc}
\text{Firma} & \text{laienda-s} & \text{tee-d.} \\
\text{firm[NOM]} & \text{widen-PST.3S} & \text{road-PTV} \\
((Ja siis) Algas töö). \\
((And then) The work started.) \\
(The firm widened the road. ((And then) the work started.))
\end{array}
\]
Total objects are also possible with degree achievements (16) and their interpretation as perfective sentences is proved by the felicitous temporal sequencing effect of the event before the test event. The tests as in (13)-(16) show the difference between the interpretations.
(16)
\[
\begin{array}{ccc}
\text{Firma} & \text{laienda-s} & \text{tee.} \\
\text{firm[NOM]} & \text{widen-PST.3S} & \text{road.TOT} \\
((Ja siis) Algas töö.) \\
((And then...) The work started.) \\
(The firm widened the road, (and then) the work started.)
\end{array}
\]
In sum, case alternation cannot be related to the perfective-imperfective aspect, since partitive objects of verbs with object case alternation do not appear necessarily in sentences that are imperfective.
2.3.3 The telicity hypothesis about case
A telicity hypothesis hypothesizes a link between the telicity of the event and the object case. Telic events are hypothesized to have total objects and atelic ones are hypothesized to have partitive objects. Kiparsky (2005) discusses many instances of Finnish, where partitive objects appear in telic VPs. Estonian is similar in this respect. The following examples illustrate partitive objects in Estonian telic VPs that represent events with definite endpoints. As in Finnish, telic sentences with measure phrases may have partitive objects, (17a), (17b).
(17)
a. Takso sõiduta-s Peetri-t ühe kilomeetri.
taxi[NOM] drive-pst.3s P-PTV one.TOT kilometer.TOT
«The taxi drove Peter one kilometer.»
b. Mari kirjuta-s raamatu-t terve aasta.
M[NOM] write-pst.3s book-PTV whole.TOT year.TOT
«Mary was writing a/the book for a whole year.»
The relationship between object case and telicity is dependent on the exact definition of telicity. These examples prove that there is no relation between object case and the notion of telicity that is understood with reference to endpoints. While the events that are described in these sentences have endpoints, the endpoints are not the inherent endpoints of the events of writing a book or taking Peter somewhere. Depraetere (1995) shows that, in terms of endpoints, there are two types of endpoint-related telicity: telicity proper and boundedness. Telicity is related to the endpoint that is determined by the verb and its arguments, while boundedness is also related to other linguistic means for providing a boundary to the event, such as measure adjuncts. Total case marking of objects and measure adjuncts in Estonian indicates the similarities between them. The distinction is relevant for understanding the type of «boundedness» that is useful in the discussion of object case in Estonian.
In addition, degree achievement verbs have either partitive or total objects and are marginally compatible with telicity tests in sentences with partitive objects. The miscellaneous group of achievements consisting of mainly psych-verbs that appear in sentences that are perfective according to tests turns out to be also telic in telicity tests (18a). However, they are telic more marginally than creation and consumption verbs. Also, the verbs that are perfective with partitive plural objects are marginally telic ((18b), (18c), (18d)). Each of these examples describes an event that is an event in its own right. However, comparing the telicity and perfectivity tests with the verbs in sentences (18a)-(18e), felicity tests give a more marginal result than the perfectivity tests. The intuition about marginality can be related to the possibility of adding «more» to each instance.
(18)
a. Firma laienda-s kahe tunni-ga tee-d
firm[NOM] widen-PST.3S two.GEN hour-COM road-PTV
ja järgmise tunni-ga
and next.GEN hour-COM
laienda-s ta se-da veel=gi.
widen-PST.3S s/he[NOM] it-PTV more=DISTR
‘The firm widened the road (in two hours), and in the following hour, they widened it even more.’
b. Mari üllata-s Jüri-t ühe hetke-ga
M[NOM] surprise-PST.3S J-PTV one.GEN moment-COM
ja järgmise hetke-ga
and next.GEN moment-COM
üllata-s ta te-da veel=gi.
surprise-PST.3S s/he[NOM] it-PTV more=DISTR
‘Mary surprised George in a moment and in the next moment, she surprised him even more.’
c. Mari leid-is ühe hetke-ga raamatu-id
M[NOM] find-PST.3S one.GEN moment-COM book-PTV.PL
ja järgmise hetke-ga
and next.GEN moment-COM
leid-is ta ne-id veel=gi.
find-PST.3S she[NOM] they-PTV.PL more=DISTR
‘Mary found some books in a moment and in the next moment, she found even more (of them).’
d. Mari kirjuta-s aasta-ga raamatu-id
M[NOM] write-PST.3S year-COM book-PTV.PL
ja järgmise aasta-ga
and next.GEN year-COM
kirjuta-s ta ne-id veel=gi.
write-PST.3S she[NOM] they-PTV.PL more=DISTR
‘Mary wrote some books in a year, and in the next year, she wrote even more of them.’
e. Mari sõ-i lühikese aja-ga õun-u
M[NOM] eat-PST.3S short.GEN time-COM apple-PTV.PL
ja järgmise hetke-ga
and next.GEN moment-COM
sõ-i ta ne-id veel=gi.
eat-PST.3S she[NOM] they-PTV.PL more=DISTR
‘Mary ate some apples in a short time, and in the next moment, she ate even more of them.’
The addition test indicates that these verbs can be described as weakly telic, since total objects are anomalous with the addition test (19).
(19)
| Mari | leid-is | ühe | hetke-ga | raamatu |
|------|---------|-----|----------|--------|
| M[NOM] | find-PST.3S | one.GEN | moment-COM | book.TOT |
| ja | järgmise | hetke-ga |
| and | next.GEN | moment-COM |
| leid-is | ta | ne-id | veel=gi. |
| find-PST.3S | she[NOM] | they-PTV.PL | more=DISTR |
«Mary found a book in a moment and in the next moment she found even more of them.»
Tamm (2007a) analyzes the total case marking on objects and adjuncts in a uniform way; the source contains more details about the relationship between the two types of telicity and the patterns of case marking.
These observations can be related to the non-divisivity and optional cumulativity properties of these predicates. Further details and data on testing Estonian predicates for their divisive and cumulative properties can be found in Tamm (2003b). The events described in (18) are realized to some degree compared to a possible full degree.
2.3.4 Summary
While the consumption and creation verbs with incremental themes are the most salient examples, there are many other telic verb classes that display aspectual object case alternation in Estonian. Perfectivity and telicity, as identified by the standard tests, do not form the natural aspectual categories behind case marking. In particular, the examples with achievements, and, as Kiparsky (2005) has established for Finnish, sentences with measure adverbials, degree achievements, and bare partitive plural objects form the largest groups of exceptions. Case-marking based on the quantization of the object is by now replaced by case-marking that reflects aspect, and the functional semantic structure of the Estonian aspectual category in the verbal predicate domain has taken the shape borrowed from the nominal domain. However, it has not taken the shape of mass versus count that is functionally carried over to homogeneous versus quantized events or predicates. Observationally, the following division has developed:
a) homogeneous (non-quantized and non-divisive),
b) «portioned» corresponding to optionally cumulative and non-divisive) and
c) quantized proper (noncumulative and non-divisive).
Instead of an opposition between two poles of perfectivity-imperfectivity or telicity-atelicity, I propose the following about the Estonian aspectual system and aspectual encoding in the lexicon and case semantics (20).
The Estonian aspectual system conceptualizes aspect as a scale on which events can be realized in different degrees.
Verbs set the conditions on the type of the scale, and the existence of the scale in the verbal semantics.
Case-marking specifies the exact type of degree on the scale.
The salient consumption and creation verbs serve as a good example. Partitive marking on a singular or plural object, such as «apple-tart» or «book», yields the interpretation of the predicate as homogeneous. The scale is open. In case of partitive plurals, the interpretation of the predicate is «portioned»; the event resembles a portion of apple-tart eating of undefined quantity. The eating event is over, but the quantity that is eaten is not specified. The scale is bounded at a lower end only. Total case-marking on apple-tart yields the interpretation of the predicate as quantized. The scale is closed at the upper end. On the other hand, verbs such as «look, watch» do not specify a scale where an event may progress in degrees; such verbs impose homogeneity; they specify a scale that is bounded at the lower end. The verbs such as «surprise» or «frighten» impose the interpretation of the predicate as «portioned» and specify a scale that is bounded at the lower end. The lexicalized «frightening» or «surprising» event has clear temporal boundaries as verified by the perfectivity test. However, as opposed to the lexicalized «eating» or «writing» event, it is not lexically conceptualized as having any possible final point related to the effect on the one frightened or surprised. In sum, verbs differ lexically in the properties of the scale they specify.
A problem with earlier formal approaches and the Estonian data was the lack of insight about how the verb, the NP and the case actually interact. Data that help to solve this problem have been addressed in the previous sections. Chapters 7-10 offer a way to formalize the interaction. The goal is to achieve an intuitive division of labor between the elements of grammar and to reflect this particular grammaticalization pattern in LFG. The functional features differ from the functional categories and features of other generative syntactic accounts in that they capture generalizations that are not established formally by means of tests that are structural, syntactic in their nature, but also functionally. The functional bias makes studies of grammaticalization interesting for the syntactic studies in LFG. Therefore, the following subsections propose an account that might be closer to typology than previous generative accounts on Finnic case and vice versa.
Despite the importance of object case in encoding much information about aspect in a sentence, this book rejects a purely aspectual (or event structural) explanation of Estonian object case phenomena. A purely aspectual (or event structural) explanation means explaining the object case oppositions via their correlation with the oppositions perfective-imperfective (or telic-atelic). The «aspect hypothesis» is merely used as a point of departure in this book, and not as an alternative to the definiteness
hypothesis. This book shows how clausal aspect is determined by verbs. Estonian has clear aspectual verb classes that correlate with (a) the typical object case that occurs with these verbs and (b) the possibilities of aspectual expression that are associated with these verbs (see Section 1.1). However, identical verbs can occur in aspectually diverging sentences. An extensive review of data in Chapters 2-3, and a review of previous Estonian work in Chapter 5 serve to provide an empirical backing for these claims. Approaches that aim at regulating the relationship between aspect and case by means of thematic roles are discussed in Chapter 6. However, since they have insufficient empirical coverage for the Estonian object case data, an alternative approach is advocated in Chapters 7-9. The alternative approach is based on scalar lexical aspectual features.
2.4 Verbs and aspect
The main reason for assuming a lexicon based approach to object case and not a purely aspectual one is the discrepancy in the one-to-one correspondences between aspectual oppositions and alternations of object case. Perfective sentences can have total or partitive objects; the same generalization holds about telicity and object case. The conditions of the aspect-based assignment of the alternative object cases clearly vary according to verb classification. The availability of perfective aspect with a partitive object in the sentence is verb-class dependent. Telicity and partitive objects co-occur in sentences with measure adverbials; the possibility of measure adverbials is in turn also dependent on semantic restrictions that can be related to verb classification. Therefore, this book has opted for different methodology for approaching the «aspectual hypothesis». Instead of proposing principles for verb classes and establishing their typical object case, and instead of departing from object cases and establishing their link with aspect, those elements or factors are studied in their interaction. The broader perspective has yielded a new picture of the verbal basis of the interaction. Differently from earlier accounts, the interaction is not formulated in terms of thematic or aspectual roles, but in terms of features. The following subsections present the reasons for considering the role accounts and the reasons for ultimately choosing a different approach.
An in-depth study of the relationships between Estonian verbal lexical semantics, morphosemantics, aspect, quantification, and morphosyntax is missing yet, and having it would help to see many fine facts about verbs at the interface between syntax and semantics in other languages as well. Since Estonian has several factors that influence clausal aspect, it is a suitable language to investigate the aspectual contribution of verbal predicates. Aspectual particles, verbs, and case marking of objects and adverbials seem to specify aspect in a mutually complementing and partly overlapping way.
Estonian transitive verbs and the issues of case marking of objects and adverbials, aspectual particles, and transitive verbs are modeled to reflect a synchronic snapshot of Estonian aspectual composition in the crossroads
of genuine Baltic-Finnic or Finno-Ugric characteristics, language change, and influence from contact languages. I wish to demonstrate how Estonian is a language in which the principles of the aspectual systems of several typologically divergent languages can be observed, and in which several semantic distinctions are reflected morphologically. Partitive on objects may correspond to what has been referred to as atelicity.
The principles of aspectual systems that characterize several other languages interact in a mutually complementing and partly overlapping manner in Estonian. Given the richness of available means of aspectual expression, specifying the exact contribution of each of them provides important evidence about the aspectual nature of verbs, particles, and case.
This book does not deal with case marking issues that are not directly related to lexical aspect. Therefore, I will not focus on other factors that influence object case marking, such as voice, negation, mood, and NP matters such as quantification and specificity.
Endnotes
1 Vainikka and Maling (1996), Kiparsky (1998), de Hoop (1996) offer the best overview of the discussion whether the partitive is inherent (semantic) or structural (grammatical) case in Finnish.
2 The book deals mainly with singular count nouns.
3.1 Terminology of aspect
3.1.1 Aspect and lexical semantics
Chapter 2 has introduced the basic terminology for discussing Estonian object cases, aspect, and verb classes. It has identified the main challenges posed by the data. This chapter continues discussing some previous views on the relationship between aspect and lexical semantics and relates them to the terminology that will be used in the chapters to come. This chapter will help the readers who wish to understand the data in terms of previously established aspectual literature; it can be skipped by the readers who are interested in the scalar verb classification.
3.1.2 The Vendler-Dowty classification
In addition to the terms «terminativity» and «telicity», aspectual phenomena are frequently characterized in terms of Vendler’s or Dowty’s classification (Vendler 1957, Dowty 1979). Vendler’s classification distinguishes states (e.g., as described by the predicate *know the answer*), activities (e.g., *run*), accomplishments (e.g., *buy a book*) and achievements (e.g., *reach the top*). This book adopts the Vendlerian classification for a more thorough description of verb classes (Section 3.2). Several tendencies of object case behavior divide over natural classes of verbs according to this classification. Other case related facts suggest that one verb can be cross-listed in many aspectual classes, since a verb can express many event types.
3.1.3 Telicity and atelicity
This book contributes data that show the problems of encoding telicity in the lexicon. It also proposes an approach where those problems find a solution. Here a further specification of the term «(a)telicity» is in order. The term pair «(a)telicity» is used with varying content and formal rigor across theories for characterizing verbs, situations, events, and sentences that contain a set terminal point, an endpoint, a goal, a culmination, or a result (Krifka 1992, Comrie 1976: 44-45, Depraetere 1995, Dahl 1984).
Here, the term «telic» is used for sentences that describe an event that has «a set terminal point» (Kriifka 1992, see Section 6.2) and that is «non-divisive» and «non-cumulative» (Kiparsky 1998). These terms are further discussed in Chapters 6 and 7. In my approach, differently from most approaches, Estonian transitive verbs do not encode telicity in their lexical entries; they can encode at most the T property or the P property as in Dahl (1981), but not both together. Some transitive verbs can be regarded as telic by virtue of their ability to appear in sentences that describe telic events; this ability is encoded in the lexical entries. However, this book regards some expressions containing certain measure phrases also telic.
In the chapters preceding Chapter 8, those accounts are discussed where VPs or verbs describing states and activities are referred to as atelic, and VPs and verbs describing accomplishments and achievements are referred to as telic. If a verb and its arguments cannot describe an event with a set endpoint, a built-in endpoint, it is considered atelic. For instance, «know the answer» is considered an atelic predicate, while «eat a cake» is considered telic even if «eat» as a verb can refer to an activity.
«Culminational» is taken to be a wider term that will not be used (Moens and Steedman 1987). Two types of lexical encoding of culmination are dealt with in my approach: a culmination of a change, and a culmination with no change. The first type of culmination (culmination of a change) corresponds to the boundability of the first, scale «tier» in my approach; the second type (culmination, or rather a «point» without change) is a boundedness phenomenon of the second, «measure», extent, or span tier.
3.1.4 The distinction perfective-imperfective: Smith, Dahl, Comrie
From the discussion of Estonian sources below it will become evident that some sources use the terms telic-atelic and perfective-imperfective as near synonyms. Some use them roughly in terms of the concept «perfective» being in some way dependent on or including the concept «telic». Smith (1991) is an approach where these two terms are distinguished. Both terms have a central role in her account. Smith (1991) describes the distinction perfective-imperfective in terms of a separate aspectual viewpoint level next to the situation level that is described in terms of telicity.
My account defines perfectivity via the notion of the failure of divisive reference (3.1.8.). A related definition, which uses the notion of temporal intervals, is described by Kiefer in terms of events: «An event is perfective only if the activity, event or process pertains to the whole described temporal interval» (Kiefer 2000: 276). Here, perfectivity is understood as a property of clauses or sentences, and it can be encoded in lexical entries. I adopt the approaches that distinguish telicity and perfectivity and that view them as possible properties of verbs as well as sentences. The discussion of Estonian sources in Chapter 4 presents the work of Dahl and Comrie, who also use a distinction of telic and perfective in their terminology.
3.1.5 Depraetere: temporal boundedness versus telicity
Depraetere (1995) is a relevant source, since she defines two types of endpoints that are employed in this book. As no exception to the rule in aspectual literature, Kiparsky’s understanding of boundedness does not correspond to that of Depraetere (1995). Depraetere presents a classification of situations, which is based on two concepts:
1. Actual *temporal boundaries* that determine the (non-)boundedness of a sentence.
2. *Terminal points or endpoints* of situations that determine the telicity of situations.
Depraetere writes, «(A)telicity has to do with whether or not a situation is described as having an inherent or intended endpoint; (un)boundedness relates to whether or not a situation is described as having reached a temporal boundary» (Depraetere 1995: 2–3). Depraetere’s telicity has a linguistic expression in predicates such as *eat an orange*, or *run a marathon*. The temporal boundedness of situations may have linguistic expression in (temporal) adjuncts such as *from three to four*, or *for an hour*. This is important, since the Estonian total case, as will be demonstrated later, can be understood to be the grammatical marker of objects as well as adjuncts. An interesting example of a terminal point is the situation of «staying five minutes under cold water». This situation has a terminal point—the end of the lapse of five minutes. Depraetere’s discussion of temporal measure phrases that resemble objects is interesting in terms of Estonian partitive-total case alternation of measure phrases. It is unclear where these elements belong to in the systems of Verkuyl or Kiparsky.
The distinction between two types of terminal points is illustrated by the examples of running the marathon and sunbathing: both have necessarily an endpoint, a moment when one stops running the marathon or sunbathing. However, this terminal point is not part of the meaning of «sunbathing», whereas it is part of the meaning in «marathon-running», which logically ends when the distance of the marathon is covered by running. Depraetere (1995: 2) argues that even though the actual world situations must have a beginning and an end, there is no linguistic reference to these temporal boundaries. The total case of adverbials, however, may be regarded as a type of linguistic reference to these boundaries.
In sum, Depraetere makes a twofold distinction in descriptions of situations, depending in the first instance on whether the situation has an inherent or intended terminal or endpoint; and in the second instance, whether the situation is described as having a temporal boundary or not. Concisely, situations in (1) are classified into having an inherent or intended endpoint (I) and not having an inherent or intended endpoint (II).
\[(1)\]
(I) + inherent/intended endpoint
(a) +endpoint reached; + temporal boundary
(b) -endpoint reached; - temporal boundary
(II) - inherent/intended endpoint
(a) + temporal boundary
(b) - temporal boundary
(Depraetere 1995: 2)
Since Estonian has an opposition of nominative and total case marking of durative adverbials that specify a span or measure of time with a clear temporal boundary, a more fine-grained approach is taken to endpoints and boundaries in my book. The total case marked durative adverbials are analysed as specifying an endpoint (as in Depraetere’s example of standing five minutes under cold water), while the nominative ones, which fall out of the scope of my study, cannot be analysed as specifying an endpoint. Thus, I divide the temporal boundedness of Depraetere in two subtypes, endpoint and non-endpoint types of boundedness. However, as I will discuss in the chapters to come that there are also instances of lexical temporal boundedness, and many other issues that show that Depraetere’s system of two dimensions should be refined.
Thus, Depraetere’s temporal situation boundedness does not correspond to Kiparsky’s boundedness of VPs (Section 3.2.3). That is, the linguistic description of Depraetere’s bounded situation does not necessarily correspond to a VP that in Kiparsky would have the feature [+B] (or in Verkuyl’s composition, [+T], Section 3.2.4). Instead, the linguistic description of Depraetere’s telic situation corresponds to a VP with the feature [+T] in terms of Verkuyl and the feature [+B] in terms of Kiparsky.
3.1.6 Summary on boundedness and telicity
In sum, on the one hand, there is an aspectual opposition of «boundedness» that is typically determined by the verb and its arguments. This corresponds to Kiparsky’s boundedness and it relates to object case. On the other hand, there is also an aspectual opposition of temporal boundedness that may be expressed by total case marking on durative adverbials—Depraetere’s boundedness. Distinguishing these two is important, since they relate differently to case. In Finnish, the partitive object case is possible in sentences that describe situations that are bounded in the sense of Depraetere\(^1\). In Finnish, the partitive object case (if not NP-related) is impossible with Kiparsky’s bounded VPs (Section 3.2.3).
3.1.7 Some more terminological clarifications: telic, delimited, perfective
Another approach discussed in this book, Tenny (1994), discusses the data and aspectual phenomena basically in terms of what is defined in Verkuyl at the level of inner aspect (Section 3.2.4). Tenny’s description of delimitedness is presented in the following quotation (2).
Delimitedness is the aspectual property that leads us into the nature of the syntax/lexical semantics interface. Delimitedness refers to the property of an event’s having a distinct, definite and inherent endpoint in time. The sentence *John consumed an orange*, for example, describes a delimited event, since the consuming of the orange requires a certain amount of time, and has a definite endpoint; whereas the sentence *John slept* does not describe a delimited event, since sleeping is something that can go on for an indefinite period of time. Tenny (1994: 4).
Thus, basically, Tenny (1994) means by her term «delimitedness» an aspectual lexically encoded property that determines syntactic properties (having a direct internal argument). Delimitedness is a property of events, but it is also seen as a lexical property, since lexical items refer to events.
Tenny is a relevant source, since she has a clear standpoint about Finnish. She describes Finnish as a language where delimitedness is grammaticalized in object case. By extension, the grammaticalization of delimitedness would also be her claim about Estonian. However, if a semantic distinction is grammaticalized, it is problematic to regard it simultaneously as a lexical distinction. Therefore, this book does not regard delimitedness (boundedness) that emerges in sentences with total objects (or adjuncts) as a purely lexical property. This book adopts Tenny’s method of studying delimitedness in terms of sentences, but here, a related term «boundedness» is applied.
Tenny’s account of predicates that refer to events that are «delimited» is discussed in Chapter 4. It is an account of linking properties of a subset of [+ADDTO] verbs that yield Verkuyl’s [+T] VPs (Section 3.2.3) and is closer to those verbs that have the feature [+B] in terms of Kiparsky (1998), discussed in Section 3.2.4.
### 3.1.8 The terminology and the Estonian data
The aspectual contribution of the lexical entries of verbs is represented in a novel way in the grammar model that will be proposed for Estonian transitive verbs. Strictly speaking, there are no transitive «telic» verbs in Estonian. In contrast to many previous accounts, where either the term «telic», «bounded», or «perfective» is used for referring to similar data, the present study applies all of them. However, these terms are considered to cover fundamentally different phenomena. «Perfective» is a broader term, including all instances of what is covered by the term «telic». Both are sentence semantic terms that describe predicates and can be associated with the term «non-homogeneous reference» in aspectual literature (cf. Kiparsky 1998). The term «perfective» is applied if the sentence has «non-divisive» reference. Crucially, a «perfective» predicate differs from a predicate that is «telic» in being «optionally cumulative» but similarly to the «telic» one, not «divisive». A predicate is not divisive if the arbitrary proper parts of the event described by the predicate are not in the
denotation of the predicate. A predicate is cumulative if the sum of the events that are in the denotation of the predicate is in the denotation of the predicate, as in the sentence «Mary frightened George». This definition captures the perfective nature of Estonian sentences with «telic» verbs and partitive marked objects that are mass or plural NPs. The term «telic» is related to «strictly» non-homogeneous reference, which is understood as reference that is not cumulative or divisive. The term «perfective»—but not «telic»—can be used to describe transitive verbs. That is, features that correspond to semantic perfectivity can (but need not) be fixed in the lexical entries of transitive verbs. Instead of «telic» I use «scalar» for verbs that potentially evolve towards an endpoint and may appear in telic sentences. Features that correspond to telicity come to being via constrained unification, as explained in Chapter 8. As opposed to these two semantic terms, «perfective» and «telic», the term «bounded» pertains to syntactic features; that is, it represents the grammatically relevant semantic distinctions. According to the values of the attribute «bounded» at a syntactic representation level, the semantic interpretation of the sentence or clause is either perfective, telic, or neither. In sum, the third term, «bounded», is considered to refer to a syntactic feature, separated from its semantic relatives.
Thus, the structure of lexical entries reflects a new approach to the lexical encoding of telicity in my proposal. Without direct reference to the quantification of the arguments in the composition of telicity, the proposed representation flexibly captures the fact that some verbs that are suitable for describing telic events and are called «telic» do not always describe telic events. Contrary to earlier approaches, first, the book proposes two grammatical boundedness features that encode potential semantic telicity (or, for that matter, also perfectivity). One of the features (boundedness of type one, B1, the B features are explicated in Section 8.2) encodes change in time that can be referred to as «quality» change; this feature is called the «scale» feature. It reflects the ability of a verb to encode a difference in states of affairs that is relevant. The other feature (boundedness of type two, B2) encodes «quantity» change. This type of change in time (or some other dimension) is the ability to refer to temporal progression or any other measure that does not bring about any relevant change. This feature is called the «measure» feature. In most of the examples here the latter can be associated with temporal duration. Previous accounts have recorded some facts that point towards the linguistic relevance of these distinctions (e.g., Tenny 1994, Depraetere 1995, or Kiparsky 2001b), but they have never been able to pin it down due to the lack of coherent evidence of a system where their interaction is clearly visible. On the one hand, a language where the distinctions can be observed in terms of morphology has not been studied. On the other hand, the difference is conceptually difficult to capture. For instance, von Wright (2001: 301) discusses the logical and epistemological interdependence of time and change.
3.2 Verb classes and aspectual composition
3.2.1 The question
The next question is, if verb classes do not determine the aspect of the clause and the case properties of the core arguments, how the verb takes part in the aspectual composition.
3.2.2 Some current discussions on aspect and verbs
The works of Verkuyl stand out in their aspiration to model aspect as it emerges in the relations between semantics, lexicon, and syntax. Starting from his early work (Verkuyl 1972), several accounts of aspect began to view a sentence’s aspectual properties as being determined by more components in a sentence than the verb alone: for instance, direct objects and their corresponding NP’s quantification. Those approaches and their terminology deserve mention here due to their ambition to address aspectual composition in a comprehensive way. This ambition is necessary in order to account for languages such as Estonian, where not only verbs, but also objects clearly enter the aspectual composition.
Despite the relevance of Verkuyl’s approach for providing an integrated account of aspectual phenomena, this book has not opted for his framework. A closer look reveals some challenging contrasts between the Germanic and Finnic languages. Verkuyl’s two main principles of modeling aspect, the so-called Plus Principle and the device of describing aspect at two syntactic levels are not directly helpful for modeling Estonian phenomena. First, the aspect of a verb-argument complex cannot be composed on the basis of the verb’s (temporal) feature and the (atemporal) quantificational properties of the argument as envisaged in Verkuyl (1993). Instead, it is the partitive and total case marking that correlates with the aspectual oppositions. However, a possible alternative to analyze the data and retain the Plus Principle, resorting to lexically determined aspect via thematic roles that relate to case (thematic glue, cf. Verkuyl 2002: 102), cause other problems. Case linked to verbal roles is problematic if case is not determined by the verb alone. Primarily, the aspectual case phenomena related to the aspectual bounding particle, case marking of adverbials or in negation, and verbally encoded perfective aspect complicate accounting for aspectual phenomena. Those phenomena should clearly divide between two syntactic levels as envisaged by Verkuyl, but they do not. Some more detailed discussion is presented in the following subsections in order to motivate the choice for a different approach to the case related data in this book.
3.2.3 Two levels of discussing aspect
Frequently, two levels are found useful in discussing aspectual phenomena across otherwise diverging approaches to aspectual phenomena (as in
Depraetere 1995, Smith 1991, Verkuyl 1989, 1993). It is impossible to sketch all the reasons for these distinctions that are assumed in diverging aspectual approaches. Basically, the problem is that there are, on the one hand, phenomena that are related to verbs or basic events or situations and, on the other hand, there are phenomena that involve aspect that is «added» to what is considered basic, be it morphological derivation, viewpoint on events, phenomena such as temporal boundedness, operators, etc. One of the main reasons for splitting the study of aspect in two levels is the variable behavior of verbs in terms of describing situations or events, or the possibility of describing one type of situation by means of various linguistic devices. Thus, roughly, the situations or events themselves are assumed to be describable at one linguistic level or by one set of linguistic means, for instance, simple verbs. The different views and presentations on them or factors that modify the basic properties are seen in terms of another level of description. Defining these levels and drawing a line between them diverges considerably across languages and approaches despite occasional (misleadingly) similar terminology.
**Inner aspect.** Lexical semantics targets the level of aspect that is frequently referred to as lexical aspect or inner aspect. Authors following Verkuyl relate the two levels of aspect in terms of their correspondence to syntactic levels; several other authors make a distinction between the levels of lexical and grammatical. The aspectual phenomena that are understood to be describable at the level of the verb and its arguments are referred to as the «inner aspect», «VP aspectual level», «VP telicity», or «VP terminativity». This level describes phenomena that are referred to as event structure, a situation, or Aktionsart. Aktionsart as a term, however, will be reserved for more specific manners of actions in this book, as in discussions within the Slavic or Estonian traditions, or for Hungarian aspect, as in Kiefer (2000). Together with subjects, this (tenseless) aspectual level of verbs with its arguments, as understood in Verkuyl (1993), is most frequently referred to as «inner aspect» in frameworks following Verkuyl.
Estonian verbs have a different aspectual contribution to «inner aspect» than the Germanic verbs as discussed in Verkuyl’s works. Verbs are classified in two groups in Verkuyl’s approach, according to whether they can appear in a terminative (telic) VP or not. Verbs are distinguished according to whether they have the lexical feature [+ADDTO] (e.g., as the verb *eat*) or the [-ADDTO] feature (e.g., *listen to*). In the composition of Verkuyl’s inner aspect (terminativity), aspectual properties are derived compositionally from the temporal information contained in the verb and from the atemporal quantificational properties of its arguments (described in terms of the feature [±SQA]). Therefore, the inner aspectual terminativity value, represented in Verkuyl’s system by the feature [±T], is not determined at the lexical items’ or verbs’ level, but at the VP level according to the so-called compositional Plus Principle. According to the Plus Principle, there are two outcomes. The positive compositional VP-feature
[+T] emerges if a verb with the feature [+ADDTO] combines with an argument with the feature [+SQA], a quantized NP (e.g., *eat one apple*). If at least one of these features is negative, that is, when the verb is not [+ADDTO] and/or one of the arguments is not quantized, the compositional [±T] feature is also negative, that is, the VP is durative, [-T] (e.g., *listen to the concert*, *to music*, *eat apples*).
In sum, oppositions of terminativity versus durativity are understood at the level of the VP and they are derived compositionally in Verkuyl’s approach. Several accounts following Verkuyl prefer the term «telic» to Verkuyl’s «terminative» and «atelic» to «durative».
**Outer aspect.** In Verkuyl, «outer aspect» is the higher level of factors that influence the temporal characteristics of the sentence, differently from the verb and its complements. «Outer aspect» emerges beyond the contribution of the verb and its complements in a tenseless sentence. For instance, adverbial modifiers or operators, such as the progressive or several adverbials such as *for an hour*, determine the final aspectual character of the sentence. This level is frequently referred to as «outer aspect». The following list presents the points where Estonian will be shown to be problematic in terms of VP aspectual composition and in determining the location of case phenomena at the two levels.
1. The data with [+ADDTO] verbs (e.g., *eat*) and with partitive marked quantized NPs. Contrary to expectations, [+ADDTO] and [+SQA] yield durative and not terminative VPs; see the data in Chapter 4.
2. Contrary to expectations, non-quantized (partitive marked) NPs with a [+ADDTO] verb (e.g., *eat*) also fail to yield a durative VP. The details of the discussion of the phenomenon in Estonian are presented in Chapter 4.
3. Only the [-ADDTO] verbs (e.g. *see*, *hear*) clearly display the behavior predicted by Verkuyl’s system, since the quantification of the argument NP does not influence the inner aspectual compositional feature.
4. Trying to base an account on case phenomena that determine VP aspect instead of the quantification of the argument NPs is not easy either. An alternative account would link the case phenomena to thematic roles (cf. Verkuyl 2002: 102). However, it is still a question whether thematic roles are a suitable device to capture aspectual case. Thematic roles would be justified if the case was unambiguously a matter of verbal aspect, but this is a problematic point that is difficult to verify.
5. The fact that both telic and atelic verbs appear with partitive case marking may show that partitive case marking characterizes phenomena that belong to inner or outer aspect. The partitive object case may reflect simultaneously distinctions of atelicity (VP, inner aspectual compositional durativity) and the progressive or negation of telic verbs (the result of an outer aspectual operator), respectively.
6. The problem of assuming verbal thematic roles is also challenged by the fact that the total case may also characterize phenomena that belong to outer aspect. If VP terminativity were related to total object case via verbal thematic roles, then it would be difficult to account for the data on total objects and the aspectual particle *ära*, as in (1.11a) that are presented in Tamm (2004c). This particle can combine with [-ADDTO] verbs, which are characterized by partitive objects. Lexically atelic verbs, which, if associated with partitive object case marking via thematic role properties, could not appear with the total objects in the presence of the aspectual particle. However, they do. Then, if it is not the inner aspect, which pertains to verbs and their arguments and that determines the case, it must be a different aspectual level that determines case.
7. The case of the temporal adverbials such as *for an hour*, their status as elements of the outer aspectual level is puzzling since they receive semantic case like objects (as in (1.17)). Following Verkuyl’s approach, the durative temporal adverbials are semantically operators; this makes them belong to outer aspect. In Estonian, they display morphologically common features with arguments. More specifically, total case marking that characterizes objects of telic verbs appears on the heads of the NPs of durative adverbials. If case marking were dependent on thematic roles and inner aspect only, appearing on NPs that are arguments, the durative adverbials should be regarded as atypical arguments. This is problematic syntactically and also semantically, given their status as operators that belong to outer aspect.
8. Given the thematic role hypothesis and the distinction of two levels, partitive objects that appear with a subset of lexically perfective verbs are problematic (see Subsection 6.11 for such verbs, «surprise achievements»). They describe events that are either temporally constrained to short duration or to a minimal change by their lexical specification. The status of such verbs is unclear in approaches that follow Verkuyl. Ferenc Kiefer (p.c.) points out that momentaneous verbs are problematic in Verkuyl’s account. In Verkuyl’s Plus Principle, NPs only fail to contribute anything to the VP aspect if the verb is atelic, [-ADDTO]. The problem here is not only the failure of a quantized NP to enter composition with verbs of which it is not possible to demonstrate that they are atelic, [-ADDTO]. The problem is the level of representing temporal aspectual matters that cannot be unambiguously classified in terms of the verbal lexical feature [ADDTO] at a par with other instances of verbs. Verkuyl admits the unclear status of Moens and Steedman (1987)’s Points and Culminations in his system. In his words, «I am not sure whether or not my [-ADDTO] would apply to Point and Culmination» (Verkuyl 1993: 63). The alternative of defining argument-related temporal relations as VP aspect and non-argument related temporal relations as a matter that belongs to the level above the VP also encounters problems.
While morphologically distinguishable perfective verbal prefixation can perhaps be studied in terms of inner and outer aspect, it seems contradictory to regard a simple verb’s meaning to encompass both lexical (VP) and non-lexical (above the VP) levels of representation.
The Estonian verbal, case and particle related phenomena challenge the idea of a clear partition of aspect at the two syntactic levels as defined in Verkuyl. In order to give an uncomplicated account of those and related problems, this book does not look at the interaction between syntax, semantics and lexicon in terms of Verkuyl’s framework. I propose an LFG based approach to the data, where a simple but more refined classification of verbs is assumed: instead of one feature, I work with two. The quantification of arguments is of secondary importance, my approach relies more on the basis of notions such as perfectivity, (endpoint) telicity, scalarity, and boundedness.
3.2.4 Boundedness and compositionality: Kiparsky
Another reason for why Verkuyl’s idea of the compositionality of VP-aspect has to be mentioned is its impact on recent studies on boundedness in Finnish aspect. For instance, the account of Kiparsky (1998) of the Finnish partitive case and aspect (more specifically, «(un)boundedness» [±B]) discusses the compositional nature of the Finnish VP-aspect.
Why does Kiparsky prefer this term, «boundedness»? The term «boundedness» is frequently used in sources dealing with Finnic to characterize the semantics of verbs, nouns, and sentences. Also, the term is used for descriptions of various situations, activities etc. It is considered an important component of perfectivity. Accusative and total cases in turn signal perfectivity; see more in Chapter 4 about the application of these terms in some Finnish and Estonian sources. Finnic sentences, activities, verbs and objects are traditionally characterized by identical terminology: plus or minus bounded. From this perspective, a compositional account such as Verkuyl’s looks promising. Indeed, Kiparsky writes on the Finnish composition of boundedness, «[a] VP predicate is unbounded iff it has either an unbounded head or an unbounded argument» (Kiparsky 1998: 285). This is quite like Verkuyl’s proposal. Kiparsky writes about VP semantics and defines boundedness via a composite semantic definition containing «diversity», «cumulativity» and «distributivity». He studies boundedness only at the verb-argument level. The general pattern of boundedness in Finnish (following Kiparsky 1998), and as my addition, the relation between boundedness and object case marking in Estonian, is revised in Table 3.1.
Table 3.1 Boundedness and its relation to object case marking in Estonian.
| | [+B] object *an apple*, *a book* | [-B] object *water*, *books* |
|------------------------|----------------------------------|------------------------------|
| [+B] verb (telic) *buy*| total | partitive |
| | ōuna, raamatu | vett, raamatuid |
| [-B] verb (atelic) *underestimate*, *see* | partitive | partitive |
| | ōuna, raamatut | vett, raamatuid |
The total case and VP-boundedness emerges only in a combination of bounded verbs and objects. If either the object’s feature or the verb’s feature is negative, the VP boundedness is also negative and the case of the object is partitive. Kiparsky’s approach resembles Verkuyl’s account in assuming a VP-aspectual level, but it is important to point out that these two approaches to composition are further considerably different. A comparison with Kiparsky’s and Verkuyl’s systems shows that the contribution of the verbal semantics in its interaction with NP-properties is different in the model designed for Finnish. The feature [±B] (if applied to verbs) is not equal to the [+ADDTO] feature as envisaged in Verkuyl on the basis of Germanic languages. As opposed to the [+ADDTO] feature, which characterizes basically dynamic verbs, [±B] characterizes a smaller set of verbs, that is, accomplishment and achievement verbs, excluding the [+ADDTO] process and activity verbs.
Introducing the term «boundedness» here is relevant in this book, since some types of correspondences between verbal aspect and object case can be best explained assuming a difference between the values given to the attribute of boundedness\(^2\). These values will be further discussed in Chapter 8. Despite the similarities between Finnish and Estonian, lexical aspectually, there are three main differences between Finnish and Estonian that motivate a different approach in Chapter 8.
1. The Estonian verb classes diverge from the Finnish ones in terms of object case.
2. Estonian has a large group of lexicalized particle verbs as opposed to Finnish.
3. Estonian has a particle that is a grammatical aspectual marker.
Apart from the differences, in Finnish and in Estonian, the object NPs’ morphological case and not verbal morphology is clearly related to aspectual phenomena, and aspect is mainly described via the notion of «boundedness» that reflects the interaction of many grammatical modules. This is the strongest point of Kiparsky’s approach to Finnish case, retained in this book. The claim of this book is that the total case marking of objects and adjuncts is related to grammatical boundedness. Chapter 8 models boundedness and aspect at two dimensions or tiers. In some sense, one of these dimensions of aspectual boundedness bears resemblance to what is meant under this term by Kiparsky, the other dimension bears resemblance to what the term «boundedness» covers in Depraetere (1995).
**Endnotes**
\(^1\) E.g., see Kiparsky (1998), (2001a).
\(^2\) This distinction bears some resemblance to the distinction discussed by de Groot (1984) about the applicability of the terms «complete» and «completed» in analyzing the aspectual nature of Hungarian verbs.
4.1 Introduction
Chapter 4 of the book presents the earlier approaches to Estonian aspect and lexicon that give evidence of an aspectual organization of lexical semantic verb classes. The purpose of discussing those sources is the following.
1. To extract as much data as possible from earlier descriptions.
2. To show the multiple approaches to the relation between aspect and verbal lexical entries. The opposite views stem from the lack of consensus on what are considered the characteristics of an item of the lexicon, on the one hand, and the lack of consensus on what is considered aspect, on the other hand. Therefore, linking these two notions has been difficult.
3. To introduce a wider coverage of data on the topic, and to introduce the sources for the non-Estonian reader.
4. To identify clearly the covered, but also the missing and less defined parts of Estonian works on lexical aspect and items of the lexicon in order to proceed.
The relevant insights gained from earlier works are presented in the following points.
1. Object case partly depends on verbal lexical semantics.
2. Aspect is not considered to have developed into a grammatical category.
3. These conclusions, however, are puzzling since they are not reflected in most writings that discuss these phenomena, puzzling for the following reasons:
a. The object case and particle phenomena are described mainly in terms of aspect (perfectivity).
b. Verbs are described as aspect verbs, or in terms of perfective/imperfective, telic/atelic etc.
c. Particles or sentences are described as perfective.
This Chapter is organized as follows. Section 4.2 presents the views on aspect and boundedness. Section 4.3 reviews the principles for earlier verb classifications and verb classes. Section 4.4 is a conclusion.
4.2 Approaches to aspect and boundedness in Estonian sources
Many previous sources agree that the category of aspect is missing in Estonian. However, object case alternation phenomena are frequently described in terms of asceptual terminology. The exact asceptual phenomenon that lies behind the alternative object cases is described differently across sources. This Section introduces these earlier points of view on aspect in Estonian. The most frequently used terminology for discussing the non-NP related case assignment factors of the Estonian object case includes boundedness, perfectivity, resultativity, and terminativity and their opposites, non-boundedness, imperfectivity, irresultativity, durativity or coursiveness. This terminology and its relation to the phenomena as discussed in earlier Estonian sources is the subject matter of the following subsections. The aim of this subsection is also to introduce the facts about aspect, Aktionsart, object case alternation, verbal particles, and lexical semantic verb classes as they are presented in earlier sources and as they are necessary for further discussion.
4.2.1 Discussions around the category of aspect in Estonian
Rätsep (1957), contrasting Estonian with Russian, establishes the lack of the morphological category of aspect in Estonian. The following are Rätsep’s words (1), provided with my translation.
(1)
The morphological category of aspect is missing in the Estonian language. The means used for expressing the completion or incompletion cannot be united into one grammatical category with one grammatical meaning. Those meanings are either just subsidiary shades of meanings of other meanings, or they [the meanings of (in)completion] are conveyed by means of purely lexical means (Rätsep 1957: 78).
Rätsep’s article concentrates on pointing out that the ways of expressing aspect in Estonian are not comparable with the grammatical level of the Russian morphological verbal aspect. His main argument is that, unlike Russian, Estonian verbs do not have regular asceptual morphology. There are many ways to express aspect in Estonian, but they do not qualify as the grammatical category of aspect. He gives a parallel example from another grammatical area, the grammatical category of gender (2).
(2)
The lack of the grammatical gender category does not prevent us from distinguishing the biological male/masculine and female/feminine gender by lexical and derivative means, cf. singer (male or neutral) (sing+ja) - singer (feminine, female) (sing+janna) …
The potentiality, possibility of action for which the contemporary standard [Estonian] language has no morphological form, can be also expressed by various lexical means (Rätsep 1957: 78).
Rätsep points out that the existence of three past tenses (the simple past, the present perfect and past perfect) is a compensating grammatical mechanism that bears relation to the fact that the morphological category of aspect has not developed in Estonian. In this writing, Rätsep analyses the perfectivity or «completedness» («lõpetatus») oppositions as a subsidiary meaning. Rätsep argues in (3) that the object cases primarily reflect the opposition of totality and partiality\(^1\).
(3)
The subsidiary meanings of completedness/finished nature and the not completed/finished nature contained also in our object category. Here, these meanings are a subsidiary phenomenon to the main partial or total property of the object (Rätsep 1957: 76).
The object case oppositions in (4)-(5) illustrate what Rätsep had in mind discussing the basic and subsidiary phenomena. The parallels between the object case, and the completion or finishing of the action are directly derivable from the properties of the object referent in finishing the work in (4a) and (4b) and in sewing the dress in (5a) and (5b).
(4)
a. Kirjanik lõpeta-s oma teos-t.
writer[NOM] finish-PST.3S own work-PTV
«A writer was finishing his work.»
b. Kirjanik lõpeta-s oma teose.
writer[NOM] finish-PST.3S own work.TOT
«A writer finished his work.»
When the object referent does not exist yet, when only parts of it exist, the action is not finished either and the partitive is used (4a), (5a). When the object referent exists as the result of the action, the action is finished and the total object case is used (4b), (5b).
(5)
a. Ema ōmble-b ta-lle kleiti.
mother[NOM] sew-3S s/he-ALL dress.PTV
«Mother is sewing a dress for her.»
b. Ema ōmble-b ta-lle kleidi.
mother[NOM] sew-3S s/he-ALL dress.TOT
«Mother will sew a dress for her.»
In these examples, the aspectual meaning is considered a subsidiary meaning, a meaning that is derived from the total and partial properties of the object referent as Rätsep (1957) sees it.
Kont (1963: 187), however, notes that the object case is related to the affectedness of the object and the progress of the event. He writes that on the basis of the forms of the nominal object in the Baltic-Finnic languages, it is possible to distinguish whether part of the object is subsumed to the action of the verb and the action is temporally unfinished/uncompleted and, from the viewpoint of a result, unaccomplished, unachieved; or the whole object is subsumed in the action and the action is temporally completed or completable and from the viewpoint of a result achieved or achievable.
Rätsep discusses «prefixal adverbs» (derivatsioonilisi tähendusi kandvad prefixsilised adverbid, ‘prefixal adverbs carrying derivational meanings’) that «emphasize the perfectivity of the activity» and their contribution to aspect. Discussing sentences (6a) and (6b) with and without the prefixal adverb, he writes: «The prefixal adverbs do not refer to a distinct completed/finished nature, but rather emphasize the completed/finished nature of the action as already expressed by the total object» (Rätsep 1957: 76). The prefixal adverbs are seen to emphasize the perfectivity and the completed action that is expressed already by the total object as in (6a). The sentence in (6a) is seen to have the same meaning without the adverb, as in (6b).
(6)
a. Ma teg-i-n selle töö ära.
I[NOM] do-PST-1S this.TOT work.TOT ära/PRT
‘I did the work.’
b. Ma teg-i-n selle töö.
I[NOM] do-PST-1S this.TOT work.TOT
‘I did the work.’
Perfectivity is the secondary meaning component next to the meaning component of «direction of the activity» (7a) or the «manner of activity» (7b) as described by Rätsep (1957: 76-77).
(7)
a. Laps viska-s raamatu maha.
child[NOM] throw-PST.3S book.TOT ground.ILL/PRT
‘The child threw a book on the ground.’
b. Uks teh-ti lahti.
door[NOM] make-1PS.PST open
‘The door was opened.’
Finally, Rätsep discusses two ways and two types of verbs that lexically express aspect. There is a group of verbs that are seen to lexically contain temporal boundaries for the beginning or end of the action (lõppema «end», surema «die», närtsimä «wither») or no temporal boundaries (sööma «eat», jooma
Other verbs induce temporal initial or final boundaries in verbal complexes (e.g., *lõi rohetama* ‘began to be green’).
4.2.2 Lexical aspect, terminative, durative: Pihlak (1982, 1985a, 1985b)
Pihlak studies aspect as a phenomenon of lexical constructions and several other aspectual issues. In contrast to Rätsep (1957), Pihlak (1982, 1985a) argues that there is proof of the existence of the category of aspect in Estonian. However, the range of phenomena he concentrates on is different from that of Rätsep. It is mainly the verbs and verb constructions (complex and periphrastic verbs) that Pihlak compares with Russian verbs and not the productive verbal aspectual morphology that Rätsep was searching for and missing in Estonian. Studying the Estonian complex and periphrastic verbs, that is, complexes consisting of a verb or an adverb-like element and a light verb, Pihlak (1985a) claims that Estonian verbs reveal aspectually similarities with Russian. Pihlak (1982), studying the relation between the Russian aspect and Estonian tense, turns the reader’s attention to several grammatical aspectual phenomena. For instance, the periphrastic progressive *mas*-infinitive construction expresses aspectual imminence, the meaning of imminent future in the present or past, «vahetu tulevik olevikus/minevikus» immediate future in the present/past (Pihlak 1982: 99), as in (8).
(8)
\[
\begin{array}{ccc}
\text{Pomm} & \text{on/ol-i} & \text{lõhke-mas.} \\
\text{bomb[NOM]} & \text{be.3s/be-PST.3S} & \text{explode-M_INE} \\
\end{array}
\]
‘The bomb is/was exploding.’
‘The bomb is/was going to explode.’ ‘The bomb is/was almost/on the verge/point of exploding.’
Pihlak considers examples of this kind as a proof of the existence of the category of aspect in Estonian. Pihlak (1985b) describes the Estonian aspectual data in terms of terminativity and durativity. Kont (1963) discusses the phenomena in terms of terminativity and coursivity or in terms of resultativity, and at times, perfectivity (Kont 1963: 53). Metslang (1994) and Tamm (2003a, 2011a) discuss more issues of the Estonian progressive.
4.2.3 Aspect, Aktionsart, boundedness: the Grammar of Estonian Standard Language (Erelt et al. 1993)
Interpreting previous sources in order to build up a model of the Estonian lexical aspectual system is not always straightforward. If the goal is to find out the role of the lexicon—not all models have a special role for the lexicon—then the goal is to contrast the aspectual part contributed by the lexicon as opposed to the part that is better attributed to sentence semantics, pragmatics, the quantification of the arguments, or the syntax of case. This chapter will review previous sources from the viewpoint of
what could be considered strictly lexical. Therefore, the review will give details about the relevant sources but focus on the material assuming that the lexicon is a relevant level of linguistic description. Assuming a lexicon is in any case useful in order to compile dictionaries or computationally manageable language resources that interface with prosody, syntax, etc.
As far as aspect and Aktionsart are concerned, *the Grammar of Estonian Standard Language* (Erelt et al. 1993, henceforth *EKG II*) discusses aspect, Aktionsart and object case. Aspect and its relation to object case is mainly discussed in terms of boundedness and this topic will be presented after an introduction of aspectual terms as seen in *EKG II*.
Aspectual phenomena are divided between aspect and Aktionsart in *EKG II*. *EKG II* (1993: 22-24) defines aspect as a relationship between the development of the situation and the viewpoint expressed in the sentence. Aktionsart (*tegevuslaad*) implies the typical development and temporal structuring of the activity. *EKG II* (1993: 22-23) defines the *dynamic/static quality* and *durative/momentary* as basic categories for Aktionsarts. As more restricted categories, the punctual, iterative, continuative, semelfactive, and progressive Aktionsarts are described. Some Aktionsarts are associated with certain morphemes, for instance, the semelfactive Aktionsart is realized by the morphemes -ata-, -ahta-, -a-, the iterative and frequentative ones by the morphemes -le-, -skle-, -dle-, -tle-, -ke/gi-, -u-, -i-; other morphemes are associated with the continuous Aktionsart, for instance, -ne-, -tse-, -uta-, -nda-, -rda-, -lda-, -ise (cf. also Sulkala 1996 on the relation between verbal morphology and Aktionsart). Kasik (2004: 54-63) discusses several Aktionsart issues related to valency-changing operations in deverbal derivation.
As far as boundedness and object case are concerned, *EKG II*’s section on objects and object cases includes a considerable amount of discussion on aspect. Discussing this source, I present more details than those strictly concerning aspect as defined in *EKG II* (*i.e.*, the relationship between the development of the situation and the viewpoint) as being about the two opposite types of object case if these details are relevant for understanding the relation between aspect and object case. I add some corresponding ungrammatical examples and the possible object case variation data for *EKG II*’s claims for the sake of clarity. In *EKG II*, the aspectual properties of the verb are considered the primary but not the only determiner of the object case (*EKG II* 1993: 49). The source describes the object case conditions and aspectual interpretations of sentences. The aspectual properties of verbs are defined in terms of *boundability*. Boundability is also a property of activities or situations that the verbs stand for, and its value is determined on the basis of the following factors:
1. whether the activity expressed by the verb has an inherent boundary (a result, a temporary boundary), so that the action or activity can, although need not, terminate with reaching that boundary, or
2. the action or activity does not have any such (possible) boundary.
The first type of action or activity is «boundary-enabling» or «boundable», the other type of action lacks the possibility of a boundary, being called a «non-boundable» action. The object case alternation occurs in affirmative sentences with verbs that denote an action that enables the realization of a boundary, as in *EKG II* 1993, 51). Thus the description connects verbs with situations they describe, and the situations are considered to be best describable in terms of their boundability. Negative sentences occur usually with «partial objects».
The form of the object is further determined by the following factors (*EKG II* 1993: 51).
1. the «boundedness of the action» (resultativity or perfectivity) or the «unboundedness of the action» (the action is vague about its result or finishedness/endedness/completedness)
2. the «quantitative boundedness or unboundedness of the object matter» (*objektiese*)
3. the presence of certain devices of attaching the boundary to the activity, «perfective affixal adverbs», or «lative stative adverbials» (*latiivne seisundimäärus*), «final or purpose adverbials» (*ots-tarbemäärus*), or «lative locative adverbials».
Thus, a sentence expressing a non-boundable action can have only the «PO» (partial object, object in the form of an adjective or a noun in partitive case). See the contrast in examples (9) and (10).
(9)
\[
\begin{array}{ll}
\text{Ma} & \text{alahinda-si-n} & \text{Peetri-t.} \\
\text{I[NOM]} & \text{underestimate-PST-1S} & \text{P-PTV} \\
\text{I underestimated Peter.} \\
\end{array}
\]
(*EKG II* 1993: 49)
Thus, the total case, the morphological genitive, is ungrammatical with verbs of non-boundable action (10).
(10)
\[
\begin{array}{ll}
\#Ma & \text{alahinda-si-n} & \text{Peetri.} \\
\text{I[NOM]} & \text{underestimate-PST-1S} & \text{P.TOT} \\
\text{Intended to mean: I underestimated Peter.} \\
\end{array}
\]
The fact that the typically partitive verbs can be used with the total object is recorded in Raun and Saareste (1965). They discuss a use of the typically partitive verb *armastama* «love» with the total object («genitive complement») such as in the sentence *ma armastan selle inimese* «I love this. TOT person.TOT» as follows: «does not mean anything or may be vaguely associated with killing somebody by love» (Raun and Saares-te 1965: 33). These authors note that necessarily the predicate is reanalyzed as telic in order to be able to give an interpretation to the sentence with the total object.
A sentence expressing a boundable action can have both, the TO (total object, object in the form of a noun, or an adjective in the genitive or nominative case) and the PO (partitive object, object in the form of a noun, or an adjective in the partitive case). See examples (11a) and (11b).
(11)
a. Ma ehita-n suvila-t.
I[NOM] build-1s summer.cottage-PTV
«I am building a summer cottage.»
b. Ma ehita-n suvila.
I[NOM] build-1s summer.cottage.TOT
«I’ll build a summer cottage.»
(EKG II 1993: 49)
The boundary can be «attached to an activity» (EKG II 1993: 51), or an activity can be bounded by «perfective affixal adverbs», such as ära «off, up, away» (12a), läbi «through», minema «away», maha «down» (12b), etc. Partial objects are problematic with these elements that are referred to as «boundaries» presented in (12c) from EKG II.
(12)
a. Mari vii-s raamatu ära.
M[NOM] bring-PST.3S book.TOT away/PRT
«Mary brought the book away.»
(EKG II 1993: 51)
b. Tuul ol-i vana puu
wind[NOM] be-PST.3S old.TOT tree.TOT
maha murd-nud.
down/PRT break-ACT.PST.PTCP
«Wind had blown down the old tree.»
(EKG II 1993: 51)
c. %Tuul ol-i vana puu-d
wind[NOM] be-PST3S old.PTV tree-PTV
maha murd-nud.
down/PRT break-ACT.PST.PTCP
«Wind had been blowing down the old tree.»
The statement from EKG II—that partial objects are problematic with these elements that are referred to as boundaries—could be revised. I classify the use of the partitive object with the boundaries infelicitous but not
ungrammatical for many speakers. Also, other sources have recorded the co-occurrence of particles and partitive objects. The fact that the use of the partitive objects with the particle is not a recent trend in Estonian is confirmed by the recording of sentences with the particle *ära* (see Chapter 5 for details on this particle) in an early generative Estonian grammar by Harms. Harms (1962: 131) discusses under «Aspectual Partitive Object» examples with the particle *ära* and the partitive object such as in (13).
(13)
\[
\%Ma \quad võta-n \quad raamatu-t \quad ära.
\]
I[NOM] take-1S book-PTV away/PRT
«I am taking the book away.»
(Harms 1962: 131)
This book calls what is referred to in that source as «perfective affixal adverbs» as an «aspectual particle» (generally, and if the relation to the verb is loose) or an aspectual verbal particle (if the particle is the lexical part of the verb). In the aspectual and verb semantic context of the book, this phenomenon is frequently called simply «particle», since other types of particles (several discourse particles) are not discussed here. Different sources have called the linguistic expressions in various connections «adverbs» (*adverb*, Rätsep 1978: 27), «perfective adverbs» (*perfektiivsusadverb*, Rätsep 1978: 32), verb complements contributing to the resultative meaning (*resultatiivset tähendust lisavad laiendid*, Rätsep 1978: 222), «affixal adverbs expressing perfectivity, adverbs that provide a possible boundary» (*perfektiivsust väljendavad afiksaaladverbid; piirivõimalust loovat või otseselt piiritlevat funktsooni täitvad määrused*, EKG II 1993, 51). Nurk writes, «affixal adverbs expressing perfectivity denote delimitation or at least the possibility of delimitation … the most widely spread adverb of perfectivity is *ära* <away, off, out> etc, which forms numerous regular phrasal verbs including those which fulfil only the task of delimitation of the activity…the delimitive aspect can most unambiguously be indicated by the adverb *ära*» (Nurk 1996: 64). Other terms used are auxiliary adverbs (*abimäärsõna*) as in Erelt et al. (1997: 151), affixal adverbs (*afiksaaladverb*), as in Rüütmaa (1998: 7) and Erelt et al. (1995: 33), verbal prefixes (*igekötö*) as in Lavotha (1960: 86), Puszlay (1994: 119-124), and Bereczki (2000: 83), *verbiprefiks*, as in Kreinin and Török (1999: 4), preverbs, as in Ackerman and Moore (1999, 2001), *Präverb*, as in Raun (1952: 243), (verbal) particles, as in Harms (1962: 110), or Metslang (2001: 1), *Partikel*, as in Hasselblatt (1990: 48), pseudo-adverbials (*pseudoadverbiaal*), as in Rajandi and Metslang (1979: 36), aspectual adverb (*aspektiadverb*), as in Hint (1995: 127), subsidiary words, <by>-words (*kõrvalsõna <adverb>*), as in Kure (1950: 57, 215), prefixal adverbs (*prefiksaaladverb*), as in Kure (1950: 215), *prefiksiline iseloomuga adverbiaal* <adverbial with the character of a prefix>, as in Kont (1963: 91). Kont (1963: 96) remarks that from among the Baltic Finnic
languages, Estonian is the richest in terms of modifiers or complements (laiendid) terminating the activity of the verb.
EKG II writes that a similar function of «inner bounding» is filled by «lative situation adverbials» (latiivne seisundimääerus, (14a)), «purpose adverbial» (ots-tarbemääerus, 14b), or «lative locative adverbials» (14c), as in EKG II (1993: 51).
(14)
a. Ömbleja hammusta-s niidi katki/puruks.
seamstress[NOM] bite-PST.3S thread.TOT broken/in.pieces
«The seamstress broke the thread by biting.»
b. Ta saat-is poisi pese-ma.
he[NOM] send-PST.3S boy.TOT wash-M.ILL
«He sent the boy to wash.»
c. Poiss aita-s vanakese tappa.
boy[NOM] help-PST.3S old.person.TOT room.ILL
«The boy helped the old person into the room.»
(EKG II 1993: 51)
The nominative or genitive object is used when both the action and object matter are bounded (EKG II 1993: 51). What counts as bounded are singular count nouns, quantifier-headed phrases, pluralia tantum, and number phrases, and what are called conventionally delimited mass nouns, that is, mass nouns that are understood to refer to a quantity of a material or liquid. Singular count nouns are bounded, cf. (15a). Pluralia tantum as in (15b) are considered an example of bounded nouns. Conventionally delimited mass nouns are bounded, as in (15c).
(15)
a. Ta luge-s raamatu läbi.
s/he[NOM] read-PST.3S book.TOT through/PRT
«S/he read the book through.»
b. Poiss ost-is malendi-d.
boy[NOM] buy-PST.3S chess.piece-TOT.PL
«A/The boy bought a chess set.»
c. Poiss sõ-i supi ära.
boy[NOM] eat-PST.3S soup.TOT up/PRT
«A/The boy ate the soup up.»
Number phrases count as bounded; the numeral (except «one», which is case marked with the morphological genitive) is marked with the nominative and the nouns and adjectives with the partitive case, cf. (16).
(16)
\[ Tō-i-n \quad su-lle \quad kaks \quad saia. \]
bring-PST-1S you-ALL two[NOM] bread.PTV
«I brought you two loaves of bread.»
(EKG II 1993: 51)
Partial object, that is, an object marked with the partitive, is used if the action, the object matter, or both are unbounded (EKG II 1993: 52). If the object matter is «quantitatively bounded», the sentence with the partitive object expresses the unboundedness of the action. It does not follow from the use of the partitive that the action has lead to any result or it is finished, neither does it follow that it has not lead to any result, nor that it is not finished, as in (17) (EKG II 1993: 52).
(17)
\[ Poiss \quad joonista-s \quad päikes-t. \]
boy[NOM] draw-PST.3S sun-PTV
«A/The boy drew the/a sun, a/the boy was drawing the/a sun.»
(EKG II 1993: 52)
If the action is clearly bounded, the sentence with a PO denotes the non-boundedness of the object matter. In this case, the object can only be a plural count noun («bare plural») as in (18a) or a mass noun as in (18b).
(18)
a. \( Ta \quad leid-is \quad pööningu-lt \quad vanu \quad kirj-u. \)
s/he[NOM] find-PST.3S attic-ABL old.PTV.PL letter-PTV.PL
«s/he found old letters in the attic.»
(EKG II 1993: 52)
b. \( Ta \quad vii-s \quad vanaema-le \quad sünnipäeva-ks \quad me-tt. \)
s/he[NOM] bring-PST.3S grandmother-ALL birthday-TRA honey-PTV
«s/he brought honey to grandmother for her birthday.»
(EKG II 1993: 52)
An example with the partitive object where the object matter and the action are both unbounded is the following sentence (19) in EKG II. The resultative phrases are not felt to contribute to the boundedness of the action.
(19)
\[ Ema \quad rulli-s \quad tainas-t \quad ōhukese-ks, \]
mother[NOM] roll-PST.3S batter-PTV thin-TRA
lapse-d hõõru-si-d mun-e valu-le.
child-NOM.PL rub-PST-3.PL egg-PTV.PL foam-ALL
«Mother was making/rolling out the dough, children were beating eggs.»
(EKG II 1993: 52)
EKG II (1993: 52) discusses also several cases where the object case can be either total or partitive. I divide the cases in three, but I do not discuss these cases further here:
- the situation (*tegevus*, «action») is classified differently with regard to its boundedness;
- the situation (action) is classified differently as to its boundedness with regard to the result or ambiguity in the negative and affirmative content of the sentence;
- there is free variation according to the information conveyed by the sentence.
A summary of EKG II’s account on aspect and object case. EKG II discusses object case in terms of boundedness and perfectivity. The relation between boundedness and perfectivity is not clearly defined, and deserves to be clarified later, but there are reasons to assume that (at least) sentential boundedness is assumed to be the relevant component that determines perfectivity (cf. also subsection 4.2.6, Sulkala 1996: 210). Verbs can express non-boundable activity or boundable activity; and sentences containing verbs expressing boundable activity can form perfective, that is, bounded sentences. Objects can be non-bounded or bounded. The composition of boundedness of the sentence and the genitive or nominative object case assignment can be summarized on the basis of EKG II as follows in Table 4.1.
Table 4.1 - Verbs, objects, boundedness, and object case
| Combination | Effect |
|----------------------------------------------------------------------------|-------------------------|
| (i) verb of boundable activity + bounded object | bounded, g-n-obj |
| (ii) verb of boundable activity + non-bounded object | bounded, p-obj |
| (iii) verb of non-boundable activity + bounded object | non-bounded, p-obj |
| (iv) verb of non-boundable activity + non-bounded object | non-bounded, p-obj |
| (v) verb + particle/complement + object | bounded, (g-n-obj) |
According to generalizations extracted from the EKG II, the necessary precondition for the boundedness of the sentence is the boundability of the activity that the verb denotes (the exact verb classes are discussed below in Section 4.3). Therefore, only verbs expressing boundable activities can yield bounded sentences and genitive or nominative objects. The first two lines of the summarizing schema, (i) and (ii), demonstrate that the boundedness of the object noun does not have any impact on the boundedness of the sentence. If boundedness is roughly equal to [+T] in Verkuyl’s system, then these data run counter to how Verkuyl’s Plus Principle discussed in Section 3.2.3 would compose the aspectual value of the VP in (ii). Non-quantized, non-bounded objects appear in bounded, [+T] VPs. However, the boundedness of the object influences the object case: bounded objects are in genitive or nominative (i); non-bounded objects are in partitive (ii). Verbs denoting non-boundable activities do not yield
boundedness regardless of the object noun’s boundedness as the line (iii) and (iv) demonstrate. The last line (v) of the summary above shows that some verbs can combine with verbal particles and special bounding complements so that boundable verbal complexes are formed. Consequently, these verbal complexes are able to yield bounded sentences with genitive or nominative object case.
The phenomena that are described here in terms of boundedness, object case, and verbal particles (bounding and perfective adverbials) have been discussed in different terms, especially, in terms of resultativity, in earlier Estonian sources. In the following subsections, the matters of aspect and object case are presented as they are discussed before *EKG II*.
### 4.2.4 Resultativity: Tauli (1968, 1983)
Tauli (1968, 1983) does not specifically refer to the term «aspect» in his work on object case. Instead, he refers to the oppositions that have an impact on object case in terms of «resultativity» (for verbs and for sentences) and «wholeness» (for object nouns) in his description of the factors that determine object case in Estonian. Verbs are divided into resultative or irresultative according to what they express in sentences: resultative or irresultative. Quoting Tauli’s words: «Ot [i.e., total object, the object in genitive or nominative case] occurs at the same time as one expresses the resultativeness of the action (result or aim) and the referent expressed by the lexeme of O is conceived as a whole. In other cases, Op [object in partitive case] occurs» (Tauli 1983: 45). Since verbs are called resultative or irresultative according to their possibilities of expressing a result, but this possibility is either realized or not, the obvious mismatches in the verb-sentence resultativity lead Tauli to propose a separate verb class for the «mismatching» verbs. Tauli (1968: 217), thus, distinguishes three verbal classes that differ in resultativity and, consequently, also in their behavior in terms of object case. Tauli’s classes will be discussed in further detail in Section 4.3.2; here I present his principles for a division into classes.
*Class 1.* Resultative verbs can express resultativity without any adverbial; their object can be in the genitive and nominative case or in the partitive case.
*Class 2.* Irresultative verbs do not express resultativity; their object is always in the partitive.
*Class 3.* A third set of verbs is irresultative, but in combination with lative, translative or other adverbials they can express resultativity and their object can be in genitive or nominative. Their object can be in genitive or nominative only in combination with an adverbial, otherwise, the object is in the partitive.
Also, Tauli observes the following three facts about object case and what are called adverbial combinations:
1. The mere presence of the special type of adverbial does not automatically trigger total objects. Tauli lists some combinations of
adverbials and verbs, the object of which is always partitive: *ette heitma* «reproach», *taga nutma* «mourn», *pealt vaatama* «watch», *im-eks panema* «wonder, be surprised», *silmas pidama* «mean, consider», *kellekski pidama* «(mistakenly) regard as someone» (Tauli 1968: 218).
2. Tauli (1968: 218) establishes that in all types of verbs that occur in sentences with a total object, the verb-object complex usually combines with the special adverbial regardless of the original resultativity or irresultativity of the verb in question.
3. On the other hand, even in combination with an adverbial, the object can still occur in the partitive, «if resultativity or totality [i.e., that the object referent is, in Tauli’s words, «encompassed totally»] is not being expressed» (Tauli 1968: 218).
In sum, the object NP-properties aside, Tauli considers the expressed resultativity of the sentence as the term that can best describe what underlies the object case alternation in Estonian. The verbs resultativity properties can be changed. This can be achieved by means of special adverbials, verbs’ or adverbial-verb complexes’ resultativity properties, according to the resultativity properties of the action described in the sentence. What exactly qualifies as a result that can lead to a total object case and what resultativity is a category of needs to be clarified further.
### 4.2.5 Resultativity, perfectivity: Rätsep (1978)
The review of Rätsep’s extensive work on the Estonian lexicon focuses here around the following questions: his terminology, the role of object case in his verb classification, his views on the elements that contribute to resultativity and their relation to object case. As opposed to Tauli’s two terms («wholeness» and «resultativity»), Rätsep (1978) basically uses three terms for explaining his choice between the object cases, adding the aspectual term of perfectivity to the list of concepts used by Tauli:
1. Resultativity.
2. Totality.
3. Perfectivity.
Occasionally, the resultative verb data are described in terms of the opposition between «coursive» and «terminative». Verbs (exact classes are presented below in Section 4.3.2) are described in terms of resultativity. Rätsep writes (in my translation): «Depending on the character of the action expressed by the verb, we speak of three-case object verbs as of resultative or terminative verbs and of partitive object verbs as irresultative or coursive verbs» (Rätsep 1978: 221). Differently from the boundedness-based approach of *EKG II* and similarly to Tauli (1968, 1980, 1983), Rätsep distinguishes a third verb class as a dual, «ambiresultative» class. Characterizing the resultativity properties of one of the verbs from this class in Rätsep’s words, «Verbs of the type *veeretama* «(make something) roll» are irresultative in their lexical meaning…But their meaning contains an element of resultativity, since when those verbs combine according to their
syntactic pattern with a resultative complement, the content of the sentence becomes resultative» (Rätsep 1978: 222). Also, there are verbs that occur with genitive and nominative objects only if they are complemented by a resultative phrase, which can be omitted if the result or bound is inferable from the context. Rätsep also notices that some verbs (*viima* «bring, take, move», *valama* «pour») require an explicit bound in the same clause or in the preceding context in addition to the nominative/genitive object.
Rätsep (1978) differs from Tauli (1968) and *EKG II* on three main points concerning the bounds or resultative elements, that is, the elements that frequently co-occur with the N+ngp, that is, total and partitive object types. The N+ngp is a phrase that can be marked with the morphological nominative, genitive, or partitive. First, he gives a detailed list and description of these bounds or resultative elements including word category, morphological case, postpositions, etc. Second, he divides the resultative elements in two with regard to their lexical relation to the verb. Third, he defines the semantic content of the elements under discussion. Rätsep (1978: 222), thus, is specific about the form of resultative elements. These elements are seen to be similar to the adverbial parts of regular complex or compound verbs, such as *sisse/välja/alla* «in/out/down» in *sisse/välja/alla tulema* «come in/out/down», since both are regarded to be complements of the verb («verbi seotud laiendid»). Here follows Rätsep’s list of the forms of these elements as he formulates them: a noun in illative (the case expressing the content covered approximately by the English prepositions *into, in, to*); in elative (from, of, out of); in allative (for, to, onto, on); in ablative (from); in translative (into, in a certain state); an adjective in translative (into, in/to a certain state); a noun in terminative (up to, until, till); a noun with the postposition *eest* (for, from in front); *jaoks* (for some purpose or for somebody); *järele* (to - after); *kallale* (to affect, to something or someone, as of attacking); a noun with the postposition *käest* (from (hand)); a noun with the postposition *peale* (onto); a noun with the postposition *sisse* (into); a noun with the postposition *taha* (behind); a noun with the postposition *tarvis* (for (the purpose of)); a noun with the postposition *vastu* (against, towards); a noun with the substitution class of extralocal, intralocal or translocal directional; with an intralocal modal (e.g. adverb(ial)s such as *laiali* «apart»); with a perfective adverb.
Second, while Tauli (1968) is rather inarticulate about the ways these special adverbs (such as in *sisse/välja/alla tulema* «come in/out/down») combine with verbs in resultative sentences, Rätsep is specific in this respect. A later work by Tauli (1972: 118, 126-128) can be consulted for more detailed issues on compound verbs in Estonian. Hasselblatt (1990: 39), who uses a somewhat different terminology, demonstrates the use of several lexically restricted or opaque combinations of verbs and particles. Rätsep (1978) divides the elements that contribute to the resultativity of the lexeme (his verb entry with all arguments and typical adverbials included) into two:
1. (resultative) complements (*laiendid*) of the verb
2. the non-verbal parts of unique complex verbs (*ainukordsed ühendverbid*), as in Rätsep (1978: 32).
The latter belong to «the verbal center» and the former do not belong to the verbal center; they are complements. Figure 4.1 presents Rätsep’s partition of the elements contributing to resultative content of the sentence, that is, the elements that frequently co-occur with the N+ngp object types, as they are discussed up to now.
**Resultative elements (Rätsep 1978)**
1. complements
*alla tulema* «come down»
*kooli tulema* «come to the school»
2. elements that belong to the verbal center
*alla andma* «give up, surrender»
Figure 4.1. Rätsep’s partition of the elements (elements contributing to the resultative content of the sentence) that frequently co-occur with the N+ngp object types.
Whether the element is a complement is tested by means of forming special questions in Rätsep (1978). If one can ask a special question about the element, then it is a complement. If a special question cannot be asked about the element (e.g., as in: I gave up the idea of finishing this sentence. *Where did you give this idea?*), then the element belongs to the so-called verbal center. Thus, on the other hand, the second group of syntactically observable elements that contribute to the resultative content of the sentence are not complements but elements that stand in a different relation to the verb, in Rätsep’s formulation, they «belong to the verbal center» (Rätsep 1978: 28). Belonging to the verbal center means to be part of a unique complex verb (*ainukordne ühendverb*), and examples of unique compounds are *maha kirjutama* «copy», *peale käima* «insist», or *peale tungima* «attack.» Thus, these are only non-compositional, opaque compounds. The distinction is, therefore, assumed to be semantic, but also syntactic. Rätsep (1978: 28) says opaque compounds «form a syntactic unit on which the complements depend».
Third, regarding the semantic contribution of these elements, more specifically, that of resultative complements, Rätsep is again more specific than Tauli. The resultative complements and similar phrases are seen to contribute to what Rätsep calls the *resultative content*. In fact, the resultative content means the possibilities of the lexeme, that is, whether the lexeme contains the complement type N+ngp, and the concrete semantics of the form understood in terms of perfectivity. Clarifying Rätsep’s idea about the exact relation between *resultative content* and object case, I refer the reader to the quotation (20) about the complement N+ngp. The complement N+ngp described in (20) has an atypical form in Rätsep’s system. The quotation presents how Rätsep envisages the relation between the factors determining the case assignment to this complement.
N+ngp: Substantive in nominative or genitive or partitive singular; or nominative or partitive plural. This form class is an exception among other form classes, since many case forms are listed in this form class. The cases are not realized on the basis of substitution as in the case of substitution classes but, instead, partly on the basis of the so-called complementary distribution, that is, the case forms are complementary with regard to each other. Here, the choice of the form class does not depend on the semantics of the verb as a lexeme, as is the case with bound complements [seotud laiendid:], but, instead, the choice from between the elements of the form class is determined by the verb’s grammatical form (e.g., the presence of negation, imperative, etc.) or the semantics of the form (e.g., the presence of the feature /±perfective//±total/). Therefore, the meaning of the verb as a lexeme determines only the existence of the complex N+ngp, and not the choice of the concrete case. In a traditional grammar, this complex is called the ‘three case object.’ (Rätsep 1978: 40)
Thus, now I can list the factors that have a relation to case assignment matters in Rätsep:
1. The presence of a certain type of complement, N+ngp, in the lexeme. That is, the verb representation in the form of a syntactic pattern determines the possibility or impossibility of a case alternation; the lexeme in the given complement type does not determine the exact realization of the case of the complement.
2. Semantics of that specific form, described in features that directly determine case, such as /±perfective/.
3. Object noun semantics in terms of case determining features /±total/.
4. The presence of several other grammatical categories that determine case (and that fall out of my study, since they are not aspect or lexicon related).
In addition to object case, Rätsep’s patterns also register the possible and obligatory partitive subjects. However, the exact conditions of the alternation of (what is considered by me) the subject is not provided, therefore, here, the discussion of Rätsep’s work is confined to transitive verbs only.
As a summary of Rätsep’s view on object case, it can be concluded here that whereas transitive verb lexemes can have the property of resultativity that determines the lexical possibility of case alternation, perfectivity and totality features are ultimately seen to actually realize these possibilities in a sentence with a resultative lexeme. A resultative lexeme is a lexicon entry that contains a complement type of the form of N+ngp. Rätsep’s and Tauli’s approaches regard the term resultativity to be applicable to phenomena that occur in the description of lexemes and sentences.
4.2.6 Telicity, boundedness, case, and measure phrases: Sulkala (1996)
Discussing Sulkala (1996) is important since this source contains many additional observations about Estonian aspect and represents a unique attempt to give a concise account about the whole phenomenon of aspect in Estonian. Aspect is approached from a Finnish-Estonian viewpoint. Sulkala (1996) gives, up to now, the most comprehensive English overview of a wider array of Estonian aspectual and Aktionsart phenomena and this writing is frequently taken as a reference point to Estonian aspect and aspectual terminology. The accessibility of this study means it is only necessary to bring out the main points and highlight some discussions that are less, or differently, presented in earlier sources. From the point of view of this book, the following topics are of interest: Sulkala’s observations about case marking properties of the measure phrases, the progressive, and the relation between aspect and subject case. She reviews the terminology of aspect, Aktionsart, boundedness, and telicity, and discusses the lexical contribution to aspect, aspectual shifts, and provides many Estonian examples.
General views on aspect in Estonian. Sulkala compares Estonian and Finnish, finding that aspect is a property of the whole sentence in both languages. Sulkala’s (1996: 168) general view is that aspect operates at the level of sentence semantics in the Finno-Ugric languages, and the aspect of the verb is to be looked for in the surrounding nouns. Sulkala agrees with Kangasmaa-Minn (1985: 83) who states that no such system of aspect markers exists in the Finno-Ugric languages as in the Slavic and southern European languages, where aspect is expressed by derivational and morphological means. She recognizes with Kangasmaa-Minn (1985: 434) that the role of the transitive verb’s object in determining the aspect was the first important insight in discussing Finnish aspect. Sulkala presents her material, on the one hand, in terms of aspect (perfectivity and imperfectivity) and, on the other hand, in terms of Aktionsarts. Separate Aktionsarts are seen to be associated either with the perfective or the imperfective aspect. The durative, habitual, continuative, progressive, and iterative are Aktionsarts that are associated with imperfective aspect and punctual, semelfactive, and terminative are the Aktionsarts that are associated with the perfective aspect.
Subject case. Further, Sulkala discusses aspectual oppositions as they emerge in oppositions of subject case marking, «[a]spect may sometimes also be marked with the case variation of the subject» (1996: 170). Here, the partitive subject occurs in a sentence that can be interpreted imperfectively (21a) and the nominative subject occurs in a sentence that can be interpreted perfectly (21b).
(21)
a. Küllalis-i saabu-s.
guest-PTV.PL arrive-PST.3S
«Guests arrived.»
b. Küllalise-d saabu-si-d.
guest-NOM.PL arrive-PST-3PL
«(The) guests arrived.»
However, it must be pointed out that Sulkala does not claim that in the subject case alternation the nominative would be the marker of the perfective aspect or the partitive case the marker of the imperfective aspect. Rather, her study targets some aspect-related concepts and searches for ways of expressing them in Estonian.
*Measure phrases.* Estonian displays nominative/genitive vs. partitive case alternation of measure phrases. Sulkala (1996: 170) points out the aspectual opposition between a partitive-marked measure adverbial and a nominative-marked measure adverbial. The former (22a) occurs in an aspectually imperfective, non-bounded sentence with an intransitive, durative verb; the latter (22b) occurs in an aspectually perfective, bounded sentence.
(22)
a. *Jooks-i-n kah-t kilomeetri-t.*
run-PST-1S two-PTV kilometer-PTV
«I was running two kilometers.»
b. *Jooks-i-n kaks kilomeetri-t.*
run-PST-1S two[NOM] kilometer-PTV
«I ran two kilometers.»
The opposition between a partitive-marked measure adverbial and a nominative-marked measure adverbial corresponds to an opposition of perfectivity and boundedness.
*Telicity and boundedness.* Sulkala reflects on the tradition of how the opposition «bounded-unbounded» is most frequently found to be the proper term for what lies behind the Finnish accusative/partitive alternation. Boundedness and perfectivity are seen to be tightly connected and interchangeable terms in many sources; therefore, Sulkala tries to articulate the relation between boundedness and perfectivity. In Sulkala’s words, «boundedness is considered the most characteristic feature of the perfective aspect» (Sulkala 1996: 210). The exact relation between these terms is not further defined. The «telic/atelic» terminological pair is an alternative for discussing the Finnish object case alternation. As Sulkala points out, «[t]he nominative~genitive/partitive opposition of the perfective and imperfective aspect is generally also used to indicate telic and atelic forms» (Sulkala 1996: 172-173). Here it must be clarified that this is not the interpretation Sulkala gives to the term telicity. She uses «telicity» as it was introduced to the discussion of Estonian data by Metslang (1994), thus, more in line with the definition of Dahl (1981). In Metslang (1994), the telicity and atelicity of situations are regarded as different with regard to their internal structure. As can be understood from Metslang (1994), a situation that has a built-in terminal endpoint or that can reach such an endpoint is called telic. A situation that has no such terminal point or possibility to reach one is called atelic. As a further distinction within telicity, Dahl (1981: 81-82) calls telicity where the endpoint
is or is claimed to have *actually* reached the P property of telicity and the telicity where the endpoint *can be* reached the T property (as described and illustrated by sentence (23) from Sulkala 1996: 173).
(23)
\[
\begin{array}{lll}
\text{Mees} & \text{ehita-b} & \text{suvila/suvila-t.} \\
\text{man[NOM]} & \text{build-3s} & \text{summer.cottage.TOT/summer.cottage-PTV} \\
\end{array}
\]
(The man will build/is building a cottage.)
Thus, the previous example in (23) is considered an example of a description of situation telicity as it is understood in the Estonian tradition since Metslang (1994). The left side of the slash (the noun is marked with the genitive) is an example of a description of a telic situation where the endpoint is or is claimed to be *actually* reached. The right side of the slash (the noun is marked with the partitive case) is an example of a description of a telic situation where the endpoint *can be* reached. Example (24) from Sulkala (1996: 173) with the partitive object is a description of an atelic situation.
(24)
\[
\begin{array}{lll}
\text{Ema} & \text{hellita-b} & \text{poega.} \\
\text{mother[NOM]} & \text{pamper-3s} & \text{son.PTV} \\
\end{array}
\]
(The mother pampers the son.)
However, Sulkala gives room to other views on telicity suggesting that this term has various contents in the Finnic tradition. She refers to Kangasmaa-Minn (1985: 440), who sees telicity to be dependent on the verb semantics: «Telicity and atelicity depend on the semantics of the governing verb» (Sulkala 1996: 173), but here it remains unclear what the term applies to.
Sulkala names boundedness as the most important notion in the analysis of aspect in Finnish, concluding this on the basis of Leino (1991: 172-178), and Heinämäki (1984: 173; 1994: 208). Heinämäki is quoted for Finnish, «the nominative/genitive object only entails the existence of a bound and not any particular result... [It] signals that the situation is bounded, but does not indicate what the bound is» (Heinämäki 1984: 173; 1994: 212-217), and Sulkala goes on to cite Heinämäki «The bound can therefore be given explicitly, as in the form of an adverbial phrase or an adverb, in the previous context or in the conventional situation. When the bound is not the normal telic end point, it has to be expressed explicitly» (Sulkala 1996: 174). Sulkala shows, by giving an overview of several types and classifications of bounds discussed in Finnish literature, that the notion of bound and boundedness appears in many forms and varieties and does not always correspond to result. Sulkala’s work is an interesting starting point in clarifying the exact division of labor between the terms boundedness, telicity and perfectivity,
and clarifying the relation of these terms to Estonian. The discussion on measure phrases and shifts (Section 4.3.4) below gives more insight into how Sulkala understands these terms and their ways of interaction.
*The progressive and the object cases.* On the basis of the impossibility of Estonian genitive or nominative objects in sentences containing the progressive *-mas*-construction (the *m*-infinitive inessive), Sulkala points out, «[a]n *m*-infinitive inessive can in certain contexts also express the perfective aspect in Finnish, but not in Estonian» (Sulkala 1996: 184). Example (25) illustrates that although in Finnish accusative objects can occur with the progressive construction, in Standard Estonian it is not possible.
(25)
\[
\begin{array}{ll}
*Ole-n & pileti \quad ost-mas. \\
be-1S & ticket.TOT \quad buy-M_INE \\
\end{array}
\]
Meaning «I am buying a ticket.»
In sum, this source contains much interesting data and tries to describe the Estonian aspectual phenomena in terms of aspect ((im)perfectivity), Aktionsart, telicity, and boundedness, including lexical semantics, on the one hand, and object and measure phrase case marking, on the other.
4.2.7 *Estonian tense and aspect: Metslang (1994)*
Metslang (1994) is a recent book that discusses a wide variety of Estonian aspectual matters and, therefore, is the most valuable source for further studies in this field. The book consists of several articles (written in Estonian, German and Finnish and basically in Reichenbach’s tradition) about aspect and tense in Estonian. Also, as is most important from the viewpoint of my book, her writings contain a study on the Estonian periphrastic progressive and information about verbs. This source confirms the existence of aspectual verb classes. Metslang’s (1994: 18) view is that despite the fact that aspect in Finnish and Estonian is a semantic category without regular grammatical expression, there are grammatical means that express aspect. The grammatical means include the nominative and genitive vs. partitive forms of the object and measure adverbials, and the inessive of the *m*-infinitive (the periphrastic progressive). Aspect is also expressed partly by certain lexical-grammatical means (verbal particles) and partly by the semantics of the verb. It is clear from Metslang’s work that the grammatical aspectual markers do not combine unselectively with all verbs and that is one reason for why she does not regard these markers as proof of the grammaticalization of aspect in Estonian. Metslang’s study on perfectivity and imperfectivity is placed into the wider context of narrative. This work is a landmark in the study of Estonian tense and aspect. However, from the perspective of this book, her work on Estonian particle *ära* is more relevant, reviewed in terms of what is considered the situation with the Estonian aspect, see Section 4.2.8.
4.2.8 Aspect is expressed by grammatical markers such as the verbal particle
The estimated number of verbal particles is 52 in Estonian (Bereczki 2000: 82). There are several matters that were broached in Rätsep (1978) and despite several attempts were never sufficiently treated. Rätsep discussed object case matters in terms of totality, resultativity and perfectivity. However, the exact nature and contribution of what have been called perfective adverbials, their exact status with regard to the verbal center and the verb, and their relation to the determination of object case—especially contrasted with other, exclusively resultative elements—has remained sketchy. Hasselblatt (1990) treats them from the viewpoint of being German loans and therefore deals less with freely combining combinations that clearly are not classifiable as loans. Metslang’s work refines Rätsep’s work on the semantic content of the perfective particles.
Metslang (2001) regards the particle *ära* as a grammatical marker of perfectivity. In principle, her work does not completely contradict Rätsep (1957) in the sense that Metslang (2001) also rejects the idea of the complete grammaticalization of the category of aspect in Estonian. Also, both works prove their argument by showing that aspectual verbal morphology that would encompass all verbs in all of their paradigms is missing from the Estonian language. However, differently from Rätsep, Metslang draws the attention to the developments that are going on in the direction of grammatical verbal aspect, and she establishes that a candidate for a grammaticalized verbal aspect marker has the form of the verbal particle *ära*. The following quotation under (26) from Metslang summarizes her view on aspect in Estonian.
(26)
Like in other Baltic-Finnic languages, aspect in Estonian has not developed into a consistent grammatical category. Still, it operates in a peripheral way, expressed by resultative or progressive constructions, by so-called boundaries, that is, particles more or less tightly connected with the verb, and by alternative case markings of direct objects (Metslang and Tommola 1995: 300-301). The last-mentioned device is an old feature common to the Baltic-Finnic and the Baltic area (see e.g. Kont 1963, Klaas 1996, 40-43). Under certain conditions, so-called partial objects (PO, marked by partitive case) carry imperfective meaning whereas total objects (TO, marked by genitive or nominative) are interpreted as perfective... However, testing the questionnaires on aspectual typology (e.g. the TAM questionnaire used in Dahl 1985) on the Estonian language, it appears that a typical imperfective-perfective opposition in meaning is expressed in the opposition of the forms of partial and total objects... However, in Estonian, perfectivity can also be explicitly expressed by boundaries, viz. the verbal particles *ära* ‘off, away’, and *valmis* ‘ready’ (Metslang 2001: 443-444).
Thus, as pointed out in Metslang, in Estonian, aspect emerges grammatically in the following ways:
1. alternative case markings on direct objects correspond to imperfective/perfective oppositions
2. some boundaries or particles express perfectivity
3. periphrastic progressive constructions express progressive
4. resultative constructions express perfectivity («resultative constructions» is used to refer to certain light verb combinations (e.g., *sai tehtud* «got done»).
The topic of boundaries and object case will be discussed in more detail in the following subsections.
### 4.2.9 Conclusion on aspect
In sum, the following can be concluded about aspect.
Aspect is defined through different terminology and is predominantly seen to be a sentence semantic category. There are some authors who study lexical aspect. Lexical semantic resultativity or boundability properties are regarded as a basis of object case assignment.
There is a discussion about whether the category of grammatical aspect exists in Estonian. There is a consensus that aspect can be expressed by grammatical means but is not completely grammaticalized.
Phenomena seen as aspect are related to the lexical semantics of verbs, case alternation of objects and measure phrases, boundaries and some constructions.
Boundedness, perfectivity and resultativity are the most frequently used, competing terms in discussing aspect and object case, but they also describe different concepts and relate differently to facts about object case.
The following subsection reviews previous verb classifications and the object case specifics.
### 4.3 Verb classifications
This subsection concentrates on earlier verb classifications in Estonian. Three main sources deal with verb classifications, the status of particles, and the relation between aspect, lexical semantics, and object case. One of these classifications that I discuss is boundedness-based; the other two can be dubbed as resultativity-based according to the terminology used in delimiting the classes. Several Estonian verb classifications group transitive verbs according to the object case and in terms of aspectual notions. Verb classifications are typically based on the verbs’ ability to occur in sentences with the morphological genitive and nominative case marking (total object cases) as opposed to the partitive case marking of their objects. However, there is considerable disagreement on the nature of the aspectual notions that are regarded to underlie the classifications and, therefore, the exact verbal classes. There are basically three classifications:
1. A two-way, «boundedness» based classification (*EKG II*, Mihkla et al. 1974).
2. A three-way, «resultativity» based classification (Tauli 1968, 1983; Rätsep 1978).
3. A classification that takes the role of combinability with the particle *ära* «up, away» into consideration (Metslang 2001). Five transitive verb classes are distinguished; those classes differ in their relation to combinability with verbal particle *ära* and the effect of this verbal particle to the aspectual nature of the sentence.
These three approaches are discussed in the following subsections in turn.
4.3.1 The two-way classification into aspect and partitive verbs (*EKG II*)
The approach in *EKG II* proposes a two-way partition of verbs into «partitive» and «aspect» verb classes (*EKG II* 1993: 49). The basis for the classification is defined through the notion of (non)boundability of the activity denoted by the verbs (Est. *piiritle(ma)tus* (*EKG II* 1993: 49). In the formulation of *EKG II*, «verbs that express non-boundable activity and require only the partial object [i.e., the object that is case-marked with the morphological partitive case] are called Partitive verbs» (*EKG II* 1993: 49). Here an example from *EKG II* is repeated (27).
(27)
\[
\begin{array}{lll}
Ma & alahinda-si-n & Peetri-t. \\
I[NOM] & underestimate-PST-1S & P-PTV \\
& \text{I underestimated Peter.} &
\end{array}
\]
(*EKG II* 1993: 49)
The *EKG II* defines «aspect» verbs as follows: «Verbs that can express boundable action and allow the partial as well as total object [i.e., the object is case-marked with the morphological genitive/nominative] are Aspect verbs» (*EKG II* 1993: 50). Here an example from *EKG II* is repeated (28).
(28)
\[
\begin{array}{lll}
Ma & ehita-n & suvila. \\
I[NOM] & build-1S & summer.cottage.TOT \\
& I’ll build a summer cottage. &
\end{array}
\]
(*EKG II* 1993: 49)
The lists in (29)-(33) present the classification of partitive verbs in *EKG II*. Verbs expressing mental and emotional perception and their expression are in (29); verbs expressing movement and touch in (30); verbs associated with normal and experiencer sentences the content of which is existential are in (31); verbs expressing the course, evaluation etc. of an activity are in (32). The list in (33) contains several other verbs with no specific common features.
1. Verbs expressing mental and emotional perception and their expression.
(29)
aimama «suspect, guess», alahindama «underestimate», armastama «love», au-
stama «honor», arutlema «discuss», eeldama «presuppose», haistma «feel the»
smell», himustama «desire, have lust», häbenema «be ashamed», ihaldama «de-
sire», imetlema «admire», jällestama «loathe», jälgima «watch, follow», kahetsema
«regret», kannatama «suffer», kartma «fear», be afraid of», kogema «experience»,
kujutama «imagine, shape, depict», kuulama «listen», kuulma «hear», käsitama
«regard, approach to something as something», käsitlema «regard, study», lait-
ma «prehend», leinama «mourn, lament», maitisma «taste, also have a taste of»
sth», meenutama «try to remember», mötlema «think», måletama «remember»,
märkama «notice», nuusutama «sniff, smell», nautima «enjoy», nägema «see»,
oskama «be able to», pillama «mock, banter, deride», sihtima «target», solva-
ma «offend», soovima «wish», tahtma «want», tajuma «sense», teadma «know»,
tundma «feel», tänama «thank», usaldama «trust», uskuma «believe», uurima
«study, watch», vaatama «look», vajama «need», vihkama «hate», ülistama «glo-
rify, exalt», ette heitma «reproach», ette kujutama «imagine», imeks panema
«be surprised», järele aimama «mock, play», pealt kuulama «eavesdrop», pe-
alt kuulma «hear by accident», pealt nägema «see by accident», pealt vaatama
«watch as something is going on», silmas pidama «mean something concrete»,
taga nutma «mourn, cry for something or someone», tähele panema «notice,
perceive», üle hindama «overestimate.»
2. Verbs expressing movement and touch.
(30)
embama «hug», hammustama «bite», kallistama «hug», keerutama «twist»,
kehitama «shrug», kibrutama «frown», kraapima «scrape», kratsima «scrape,
scratch», laksutama «click», lappama «turn pages, flip», lehvitama «wave»,
ligutama «move, make a move», limpsima «dick», liputama «wave quickly,
wag», lööma «hit, strike», müksama «nudge», noogutama «nod», nõelama
«sting», näpistama «pinch», peksma «beat», piitsutama «whip», pilgutama
«wink», puudutama «touch», riivama «touch lightly», silitama «stroke», suud-
lema «kiss», sügama «scratch», taguma «bang, beat», vangutama «wag, wag-
gle, shake (of someone’s head)», veeretama «(make) roll», õötsutama «(make)
sway, rock, roll.»
3. Verbs associated with normal and experiencer sentences the content of
which is existential.
(31)
ahistama «harrass», asustama «inhabit», ehtima «decorate», hoidma «keep», hu-
vitama «interest», iseloomustama «characterize», kartma «fear» (also in (29)),
kaunistama «decorate», läbima «go through», ootama «wait», piirama «border,
delimit (as obstacle)», raamima «frame», tabama «hit the target», valdama «over-
whelm», valitsema «rule», varjutama «cast shadows on», ähvardama «threaten»,
ääristama «border as decoration», üllatama «surprise.»
4. Verbs expressing the course, evaluation etc. of an activity.
(32)
\begin{quote}
aitama «help», alustama «start, begin», harrastama «go in for something», jätka-
ma «follow, continue», katkestama «interrupt», kavatsema «plan», nõudma «re-
quire», püüdma «try, catch», takistama «obstruct», taotlema «apply», väärima «be
worth(y)», üritama «attempt».
\end{quote}
5. Several other verbs with no specific common features. These verbs ex-
press continuous controllable actions and their objects are directional objects.
(33)
\begin{quote}
helistama «phone, ring, call», hoidma «keep», juhtima «drive, lead», kahjustama
«damage», karistama «punish», kasutama «use», kohtama «meet», näitama «show»,
parandama «improve», premeerima «award, stimulate», ründama «attack», sega-
ma «disturb», soosima «favor», tarvitama «use (regularly)», teenima «serve», toet-
ama «support», trahvima «fine», tähendama «mean», önnitlema «congratulate»,
taga ajama «chase», ülal pidama «keep, support, maintain».
\end{quote}
Partitive verbs can consist of a simplex verb, or a verb and a particle,
an adverb, or a case-marked noun. The particle does not influence ob-
ject case: object case is partitive in simplex and particle verbs of this verb
class. *EKG II* includes the following verbs as examples of aspect verbs (34).
(34)
\begin{quote}
avastama «discover», jätma «leave», looma «create», parandama «repair», saavuta-
ma «achieve, attain», kujundama «shape, design, form», tekitama «create, bring to
being», äratama «wake», sooritama «make (exam, etc.)», koostama «compile», leota-
ma «soak, drench, in order to turn something soft or clean», moodustama «form,
create», keetma «boil», võtma «take», saama «get, become», haarama «grab», voltima
«fold», laenama «borrow, loan», tooma «bring here, fetch», viima «bring there, take»,
kutsuma «call, invite», teatama «announce», varuma «gather and save in reserve».
\end{quote}
Aspect verbs can have genitive, nominative or partitive case on the ba-
sis of the information in *EKG II*. Aspect verbs can occur with or without a
particle, but the presence or absence of the particle does not influence the
object case of aspect verbs. This approach to the verb classes is similar to
the approach in Mihkla et al. (1974).
4.3.2 The three-way classification: Tauli (1968) and Rätsep (1978)
Tauli (1968, 1983) and Rätsep (1978) propose a three-way verb classifica-
tion. Both Rätsep and Tauli use the term «resultativity» in their description
of verb classes. All transitive verbs are capable of having partitive objects.
The «resultative» verbs have an additional capability, that of assigning
nominative/genitive. A comparison with the *EKG II* classification brings
out the differences between the two approaches. What are termed in the
*EKG II* classification as aspect verbs are in Rätsep’s class 1 and in Tauli’s
class A, presented and described in (35), the class B and 2 are presented and described in (36), the class C and 3 is presented and described in (37).
1. Resultative. These are the verbs that can occur with partitive and with total objects without any particles or adverbials. Tauli’s «A» verbs follow in (35a), Rätsep’s example list of his class 1 verbs reads as in (35b).
(35)
a. tegema «make», viima «bring», rikkuma «ruin, spoil»,
alistama «subjugate», chitama «build», istutama «plant», kirjutama «write», minetama «forfeit, lose», omandama «acquire», rajama «create, establish», trükkima «print», vigastama «harm, injure», äratama «rouse, (make) wake up».
2. Partitive. Some of the EKG II’s partitive verbs are in Rätsep’s class 2 and in Tauli’s class B. These verbs are not resultative and their object is always partitive. Class B in Tauli contains the items in (36a); Rätsep calls his class 2 «partitive object verbs», his examples include the items in (36b).
(36)
a. puudutama «touch», vördlema «compare», abistama «help», alahindama «underestimate» (also in (29)), armastama «love», huvitama «interest», jälgima «watch», kahtlustama «suspect», külastama «visit», solvama «offend».
b. alustama «start, begin», harrastama «go in for, have as hobby, practice», jätkama «continue», liputama «wag, whisk», nautima «enjoy», pooldama «be on the side of, support», sallima «tolerate, stand», õigustama «justify», üritama «attempt» etc.
3. Ambiresultative. A complementary set of EKG II’s partitive verbs is in Rätsep’s class 3 and in Tauli’s class C. These are the verbs that do not exclude genitive assignment but lack some element necessary for assigning total. Class C of Tauli includes the items in (37a); Class 3 of Rätsep contains the items in (37b).
(37)
a. lugema «read», lõöma «hit, strike», lükkama «push», meelitama «entice, lure», kiitima «praise», kiskuma «drag, touch», kohendama «arrange, put properly», ligutama «move», naerma «laugh at», nihutama «shift», nägema «see», pigistama «squeeze», provotseerima «provoke», rebima «tear», röhuma «suppress, press», sirutama «stretch», suruma «press», usaldama «trust».
b. ahvatlema «entice», arstima «cure», ehmatama «frighten», hõõruma «rub», ihuma «whet, hone, sharpen», juhtima «lead», kallama «pour», loopima «toss, fling», mudima «knead, crumple», nihutama «shift», pumpama «pump», raputama «shake», sikutama «tug at, lug, pull», tõmbama «pull, draw», vedama «drag, draw, carry», örritama «tease», ässitama «instigate, incite, abet» etc.
Thus, a third class (2, B) is distinguished by Rätsep and Tauli; that is, the class of «partitive -aspect», «ambiresultative» verbs. As this group of verbs is not discussed as a separate class in EKG II, some more characterization is needed. Rätsep provides the ambiresultative verb class with
two parallel lexical representations: one entry with a three case complement (N+ngp, see example (20) in Section 4.2.5 for the definition of this complement type) and the other entry with a partitive object (N+part.). An example of Rätsep’s dual pattern can be found in the treatment of the verb *veeretama, ‘roll* (38) under the pattern 198.4.1. (Rätsep 1978: 222).
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a. N1+nom. V N2+ngp (De) (Dt1) {Dt2 v Di}
b. N1+nom. V N2+part ((De) (Dt1) {Dt2 v Di})
The first item of the pattern corresponds typically to sentences such as (35a). The second item corresponds to sentences such as (39b) from Rätsep (1978: 221), illustrated below.
(39)
a. *Mehe-d veereta-si-d vaadi ōue.*
man-NOM.PL roll-PST-3PL barrel.TOT yard.ILL
‘The men rolled a/the barrel into the yard.’
b. *Mehe-d veereta-si-d vaati.*
man-NOM.PL roll-PST-3PL barrel.PTV
‘The men rolled/were rolling a/the barrel.’
In order to enable easier access for further work, I provide the numbers of the patterns that contain the different patterns.
1. Partitive verbs can be found in Rätsep’s 179 patterns, the numbers follow for further reference in (40).
(40)
2.1.61.- 2.1.96., 2.2.144., 21.0.-21.5, 21.8.-21.10., 21.11.- 21.91., 210.0., 210.1., 211., 211.1., 212., 213.0., 213.1., 214.0., 214.1., 214.2., 214.3., 215., 215.1., 215.2., 216.0., 216.1., 217., 218.0., 218.1., 218.2., 218.3., 219., 22.0., 22.1., 220., 221.0., 221.1., 221.2., 222.0., 222.1., 223., 224., 225., 226., 227., 228., 229., 230., 230.1., 231.0., 231.1., 232., 232.1., 233., 236., 30.1., 31., 146.0.1., 152.0.1., 207.- 209.
Some notes are due. The listed patterns should not be seen as the patterns of «partitive verbs», however, but as patterns that contain an obligatory partitive argument in Rätsep. Not all patterns that may have partitive in their frame are included. The next list contains those verbs that can have a total object—but these can have a partitive object as well. Subject-like and measure adverbial-like partitive phrases, for instance, are excluded, and so are complements of prepositions and postpositions, and number phrases. I have included the patterns that are parallel patterns in the list, since they appear regularly with the verbs that contain a partitive argument. These lists are compiled partly manually; therefore, the type of mistake that may appear is not structural.
2. I found resultative and ambiresultative verbs in 203 patterns, the numbers follow for further reference in (41).
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143., 146.0., 146.0.1., 146.1., 146.1.1., 146.2., 146.3., 147., 148., 149., 150.0., 150.1.,
151.0., 151.1., 151.2., 151.3., 152.0., 152.0.1., 152.1., 152.2., 152.2.1., 152.3., 152.4.,
152.5., 152.6., 152.7., 152.8., 153.0., 153.1., 153.10., 153.11., 153.12., 153.13., 153.14.,
153.2., 153.3., 153.4., 153.5., 153.6., 153.7., 153.8., 153.9., 153.9.1., 154., 155.0.,
155.1., 156.0., 156.1., 156.2., 156.3., 156.4., 156.4.1., 156.5., 157.0., 157.1., 158.,
159.0., 159.0.1., 159.1., 159.10., 159.11., 159.11.1., 159.12., 159.13., 159.13.1., 159.2.,
159.3., 159.4., 159.5., 159.6., 159.7., 159.8., 159.9., 160.0., 160.1., 160.2, 160.3.,
161.0., 161.0.1., 161.1., 161.2., 161.3, 161.4., 161.3.1, 161.4.1., 161.5., 161.5.1., 161.6.,
161.6.1., 161.7., 162., 163., 163.1., 164., 164.1., 165.0., 165.1., 165.2., 165.3., 165.4.,
166.0., 166.1., 166.2., 167., 168., 169.0., 169.1., 170., 171., 172., 172.1, 172.2., 173.,
174., 175.0., 175.0.1., 175.1., 175.2., 176., 176.1., 176.1.1., 176.2., 176.2.1., 177.,
177.0.1., 178., 179., 180.0., 180.1., 180.2., 180.3., 180.3.1., 180.4., 181.0., 181.1,
181.2., 181.3., 181.4., 181.5., 182., 183.0., 183.0.1., 183.1., 184., 185.0., 185.1.,
185.1.1., 186., 187., 188., 188.0.1., 189.0., 189.0.1., 190., 191.0., 191.0.1., 192.,
193., 194.0., 194.1., 195., 196.0., 196.1., 196.2., 196.2.1., 197.0., 197.0.1., 197.1.,
198.0., 198.0.1., 198.1., 198.10., 198.11., 198.2., 198.2.1., 198.3., 198.4., 198.4.1.,
198.5., 198.5.1., 198.6.1., 198.7., 198.8., 198.8.1., 198.9., 199., 200., 201.0., 201.1.,
202., 203.0., 203.0.1., 203.1., 204.0., 204.1., 204.1.0., 205., 206., 267., 268., 269.,
270., 271.
4.3.3 Verbal particles are sensitive to verb classification
Estonian has verbal particles that have aspectually different functions. In Tamm (2004c), I discuss the perfective verbal aspectual particles in further detail and divide them into completive and bounding types. There I will make the point that the combinations of verbs and completive particle (CP) are restricted and the combinations of the bounding particle (BP) are free. Therefore, I also review here the sources that write about verb class–particle relations. The common observation is that the particle and the total object case co-occur.
Metslang’s view on verb classes and particles. For the purposes of my study, it is important to introduce Metslang’s work (Metslang 2001) as the pioneer (after an earlier, fairly short, article of Rätsep (1969) on complex verbs) in studying the Estonian classes of verbs that combine with a verbal particle, combinations of verbs and particles, and relations between the particles and object case. This subsection can be regarded as a brief explication of Metslang’s work in order to construct a more complete picture of the phenomenon. Metslang studies the development of the Estonian most general verbal particle, the verbal particle ära. According to the statistical data of Nagy (2003) on the frequency of the occurrence of the Estonian verbal particles (in her Hungarian terminology, igekötő, verbal prefix), the particle läbi is considerably more frequent than the particle ära. This runs counter to the data of Hasselblatt (1990), whose findings show that the particle ära is the most frequent. However, Nagy considers only token frequency. For many native speakers, still ära is the prototypical verbal
particle in Estonian. Even if it were statistically less frequent than läbi, semantically, it is most bleached among the Estonian verbal particle. Läbi <through> occurs mostly in lexically restricted combinations, but ära combines with verbs more freely (Tamm 2004c). Metslang (2001: 4) describes the directional-deictic, perfective-deictic, and purely perfective aspectual meanings as steps in the grammaticalization process of the verbal particle. The verbal particle ära is seen as a perfective particle, a particle that emphasizes or adds the perfective meaning to the sentence where it occurs. Metslang characterizes ära as in the following quotation (42).
(42)
A particularly frequent verbal particle is ära, which occurs, in the directional meaning (ära minema <to go away>) but especially as an aspectual exponent (ära parandama <to repair>). In addition to the established phrasal verbs ära also occurs as an adherent perfectivity particle, offering competition to the Finno-Ugric way of expressing aspect by means of alternation of case forms of the object. In addition, ära contributes to the information and rhythm structure of the sentence (Metslang 2001: 477).
Thus, next to the aspectual meaning, the particle ära expresses other functions, such as participating in the regulation of the information structure of a sentence. The division of functions between the object case and the particle is the following as described by Metslang: the particle and total object case are parallel, competing ways of marking perfectivity. Therefore, double perfectivity marking can occur as seen in Metslang, but there can also be no perfectivity marking, as in intransitive sentences without a particle. Metslang uses the morphological object case as a clear criterion for establishing the effect of the particle on the perfectivity of sentence, not vice versa; thus, it is the object case that she sees as litmus for perfectivity. As Metslang writes: «To examine the aspectual and other functions of the most regular verbal particle ära, we observed the use of this particle in the transitive sentences where the form of the object indicates the aspect of the sentence» (Metslang 2001: 446).
Metslang studies transitive sentence pairs with and without a verbal particle, the patterns verb+object and verb+object+particle (or a lative complement). The partitive object and imperfectivity often occur in sentences where a verb appears without the particle ära (in the pattern verb+object). On the other hand, the total object and perfectivity tend to appear when the same verb occurs with the particle ära (in the pattern verb+object+particle). Metslang gives five combination types. Metslang’s comprehensive classification turns out to reflect other, more complex principles than verb classification only. The criteria of Metslang’s classification of the verb-particle combinations are the optional status of the particle and the information structural effects. In the first place, the perfective particle is studied in terms of how obligatory and irreplaceable it is for the emergence of the perfective aspect (total object). In the second place, the exact role of the particle is described in terms of information structuring. In the following points I summarize some particular points about the account.
Table 4.2 presents a summary of Metslang’s types; the number column contains reference to Metslang’s combination type. I studied the source for the following information.
1. The variety of the aspectual functions of the particle is described as follows:
a. Perfectivizing (group one verbs, also clear completion is mentioned with group 1, examples are, though, about group 2);
b. emphasizing and doubling the perfective meaning (group 2);
c. bounding the situation (in subgroup 3b: bounding the situation in verbs that do not occur without an explicit marker of bound);
d. purely perfectivizing (group 4).
Discussing the role of particles is not confined to aspect only, as in É. Kiss (1995, 2004), or Metslang (2001), but relates to the information structure of sentences. The wide variety of aspectual-Aktionsart particles distinguishes Estonian syntax from Finnish, cf. Ehala (2001) and Vilkuna (1995) for a short introduction to the basic properties of the Estonian and Finnish word order, respectively.
2. The status of verb-particle combinations. There are combination types that contain verb-particle pairs where the partitive-object counterpart without any particle is missing, which also confirms that Metslang does not view the particle as something that necessarily adds anything aspectual to a simplex verb, but it behaves as a part of a verb.
3. Verb classification and combinatory properties. Even if Metslang sets out to classify verbs «the transitive verbs divide according to their relationship to the particle ara into five groups» (Metslang 2001: 4), the exact lexical semantic properties of the verbs that are grouped together in the different classes are difficult to track. Even if Metslang gives an aspectual description of the simplex verbs, she does not base her classification on the aspectual verb classes either, since the verb classes in the verb-particle combination types are partly overlapping across the combination types. However, the circumstances of the occurrence of the particle are observed to be sensitive to verb classification. For instance, the combination of the verb and the particle is impossible, thus inapplicable in type 5.
4. Description of verbs in terms of aspect. Metslang distinguishes the following verb classes: (phrasal) perfective verbs; simple imperfective verbs; inherently perfective telic punctual verbs, inherently perfective transition verbs; verbs used imperfectively and perfectively; telic durative verbs; atelic durative verbs; atelic, inherently imperfective verbs of transition; atelic verbs denoting situations that have no typical or other imaginary bound; atelic, mostly stative verbs denoting relations, for which no bound may be thought out. Thus, reference to the boundability of a situation, telicity, and perfectivity are the basis for the lexical aspectual oppositions. These oppositions of imperfectivity-perfectivity, atelicity-telicity and further, punctuality, durativity, and transition can be factored out as features of the Estonian verbs that are relevant for combining with particles. The exact content of these terms and the exact principles for a classification in
these terms must be clarified in order to find out the details about the relations with the verbal particles.
5. **Description of particle verbs in terms of aspect.** The exact nature of all the groups of the resultant particle verbs has remained sketchy. The object case in sentences containing combinations with particles is total, and this indicates in terms of Metslang perfectivity: particle verbs are perfective. The types one and two pattern together according to the role of the particle in indicating the information novelty of the referent as described in Metslang (2001), Rajandi and Metslang (1979). The position of the particle before or after the object indicates the old and new status of the object referent. In this discussion, I apply the labels «thematic-rhematic» used in Metslang (2001). Metslang has not provided a description of type 3 in terms of information structure, thematicity and rhematicity, but according to my test the sentences of type three can indicate rhematicity the same as the sentences illustrating type 1 and 2, as evidenced by (43a), as an example as the basis for testing, from Metslang (2001), and (43b) (my test).
(43)
a. \( \text{Ta} \quad mii\u{u}\text{-s} \quad oma \quad maja \quad venna-le / \quad ära. \)
s/he[NOM] sell-PST.3S his/her house.TOT brother-ALL PRT
«S/he sold his/her house to his/her brother.»
b. \( \text{Ta} \quad mii\u{u}\text{-s} \quad venna-le / \quad ära \quad oma \quad maja. \)
s/he[NOM] sell-PST.3S brother-ALL PRT his/her house.TOT
«S/he sold his/her house to his/her brother.»
The combination types 1-3 thus represent combinations with the type of particle uses that participate in influencing and structuring text coherence. On the contrary, the combination type 4 has an information structurally distinct, fixed particle, the rhematic-only ära. Another point of clarification is also due here. It is somewhat unclear what the information structural contribution is of the resultative phrase *paiste* «swollen» in combination with *suudlema* «kiss» in Metslang: «The sentence *Ma suudlesin ta ära* (literally «I kissed her off») could be said if one has made a bet to kiss the girl» (Metslang 2001: 449). The fourth type is rather exceptional also because the cohesion function of the particles in 1-3 is not a particular property of the particle, but of adverbs in general (Rajandi and Metslang 1979). Is the information structural contribution of the lative phrase *paiste* listed as a parallel to the particle the same as ära? Here I quote Metslang’s example in (44a) and interpretation of it; the test for whether the object can appear as rhematic information shows that it can (44b).
(44)
a. \( \text{Ta} \quad suudle-s \quad tüdruku \quad paiste. \)
s/he kiss-PST.3S girl.TOT swollen
«He kissed the girl swollen.»
b. Ta suudle-s paiste tüdruku.
s/he kiss-PST.3S swollen girl.TOT
«It was a/the girl that he kissed swollen.»
The facts do not verify that the resultative complement *swollen* has the same rhematic property as the particle *ära* has in combination with this verb. Therefore, the information structural classification inherent in Metslang’s classification could be refined: the generalization about rhematicity can be only maintained with the particle *ära*, which proves therefore to be a different grammatical entity than the resultative complement in this respect. Also, the particle is not intuitively similar to the resultative complement *paiste* «swollen», which describes a result state «swollen» of the girl, since the particle does not describe any result state of the object referent.
The circumstances of the optional nature of the perfective particle for the occurrence of the perfective aspect can be divided in five groups. Here follow the five possibilities, as follows from the description of Metslang (2001).
1. Obligatory.
2. Optional.
3. Obligatory, but replaceable by directional phrases.
4. Optional or obligatory depending on the verb class, replaceable depending on the verb class.
5. The combination of the verb and particle is impossible, thus inapplicable.
Differently from types 1-3, only the type 4 relations do not form a separate, identifiable group. Combination type 4 simultaneously contains obligatory and optional, replaceable and irreplaceable particles. The type 4, therefore, as opposed to other types, contains verb-particle relations where the optional nature of the particle is not relevant for defining the type. However, here the function of the particle is described only as «purely perfective». Type 4, therefore, indeed embodies a different classification criterion. Chapter 5 deals with the particle and with developing the insights from Metslang’s work in further detail.
*Conclusion to verb classes and particles as discussed in Metslang (2001).* Metslang’s combinational classification contains two main criteria: the optional nature of the particle and information structure. On the one hand, there are types of relations where the obligatory and irreplaceable nature of the perfective particle for perfective aspect is relevant for describing the verb-particle relation, on the other hand, there is one type where either this nature is not relevant, or the relevance of this nature is insufficiently defined as the basis for a separate type. Instead, this, the fourth type, emerges as being different in terms of its information structural particularities. That this class 4 has a different relation to the base verb class suggests that the particle and the combination of the particle with the verb is not lexically restricted but regulated by other factors instead.
From Metslang’s description it follows that across the 5 types the circumstances of the occurrence of the particle are sensitive to verb classification. That is, verb classification is relevant for whether the particle can combine with the verb, and whether it is obligatory or replaceable for the emergence of perfectivity. In order to find out the exact relations between verbs and particles, a more in-depth study of phenomena must be carried out.
Table 4.2 represents the discussed results. I have added the telic-atelic or perfective-imperfective aspectual qualities of simplex verb classes that combine with the particles; the number column contains reference to Metslang’s combination type.
Table 4.2 Summary of Metslang (2001) on verb classes, object case, and the role of verbal particles.
| No | pattern | alternation without particle | particle oblig. for perf. | particle related to Total Object | cohesion effect | characterization of simplex | simplex-particle pairs |
|----|---------------|------------------------------|---------------------------|---------------------------------|-----------------|-------------------------------|--------------------------------|
| 1, M1 | V+TO+PP | V+PO | Yes | Yes | Structuring | Atelic | know–recognize |
| 2, M2a | V+TO(+PP) | V+PO | No | Yes/no | Structuring | Imperfective and perfective | koristama «clean – tidy up» |
| 3, M3a | V+TO+lat/PP | V+PO | Yes | Yes | Structuring | Imperfective, atelic | veeretaama «roll something – roll something somewhere» |
| 4, M4b | (V+TO+PP/lat)| V+PO | Yes | Yes | Rhematic | Atelic | suudlema «kiss» |
| 5, M2b | V+TO(+PP) | V+TO | No | No | Structuring | Perfective, telic | tapma «kill» |
| 6, M4a | V+TO((PP)) | V+TO | No | No | Rhematic | Perfective | sünnitama «give birth to» |
| 7, M3b | V+TO+lat/PP | None | Yes | Yes | Structuring | -- | panema «put» |
| 8, M5 | V+PO | -- | -- | -- | -- | Atelic | vajama «need» |
In this table, I distinguished eight different patterns and types as answers to the questions about the particle’s relevance to perfectivization and total objects, information structuring, and the nature of the simplex verbs that combine with the particle. By now, some areas where Metslang’s classification suggests a need of further clarification have become visible—especially class 4 verbs and their combinations with the particle. I discuss the further details of verbs and particles and their relations in Tamm (2004c).
Vaiss (2004) compares Estonian aspect to Russian aspect and provides an aspecual classification on the basis of approximately one third of the verbs from the beginning of the Dictionary of the Estonian Standard Language (2008). Vaiss follows the aspectual classification of Metslang and divides verbs (or their meanings) into partitive, aspectual and perfective ones (Vaiss 2004: 83). Partitive verbs occur with partitive object case and have imperfective or perfective aspect. Aspectual verbs can be used with both total or partitive object case and denote perfective or imperfective aspect. Perfective verbs have mostly total object case and perfective aspect. Vaiss distinguishes two additional subgroups. Potentially aspectual partitive verbs can be exceptionally used with total object case and denote perfective aspect in case boundaries are added to the sentence. Potentially aspectual perfective verbs can be exceptionally used in some imperfective contexts with partitive object case, where they denote imperfective aspect.
4.3.4 Verbs describe situations and shift aspectually
Sulkala (1996) is a source where verbs are divided according to the situation type that they describe. Nemvalts (1996, 2000) and Metslang (1994) also contain information and views on aspectual classifications of Estonian verbs. Sulkala devotes attention to aspectual shifting, which she understands as the phenomena where aspectually imperfective verbs are used perfectively and vice versa.
Verbs and situations. Sulkala also discusses the aspectual features that are present in the lexical semantics of verbs. In her words, «[s]emantic properties do not make verbs definitely transitive/intransitive or resultative/irresultative» (Sulkala 1996: 178). Verbs are classified according to how they describe situations. Sulkala writes, «[i]t depends on the semantic properties which kind of a verb fits into a sentence describing a situation» (Sulkala 1996: 177). Sulkala (1996: 178) distinguishes four situation types as described by verbs for Estonian:
1. punctual (*leidma* «find»)
2. durative (*lugema* «read»)
3. ingressive (*algama* «start, begin»)
4. terminative (*lõpetama* «finish, stop»).
Following Kangasmaa-Minn (1985: 87-88), verbs are also classified according to their (inherent) aspectual features (Sulkala 1996: 178):
1. inherently imperfective(*valvama* «ward, be awake»)
2. perfective (*saavutama* «achieve», *võtma* «take»)
3. neutral (*lugema* «read», *ehitama* «build»).
The inherent lexical aspectual features of the verbs can be changed by shifts.
Shifts. Sulkala devotes attention to aspectual shifting, which is understood as the phenomena where aspectually imperfective verbs are used perfectively and vice versa, or perfective sentences are used imperfectively and vice versa, etc. Agreeing with Kangasmaa-Minn (1985: 443) on Finnish, Sulkala finds that «an imperfective sentence can always be made perfective by bounding, while a perfective sentence can only be made imperfective under certain conditions» (Sulkala 1996: 211). Sulkala discusses cases where perfectivity, bounding, and case give combinations that are generally less discussed in the literature. For instance, «[a]n explicit bound, e.g. distance, can be added to sentences indicating an imperfective aspect, but it does not necessarily change the case of the object. On the other hand, when an explicit bound is added to a perfective sentence, the object is in the nominative/genitive. The aspect of the sentence is perfective in both cases» (Sulkala 1996: 186). These claims are illustrated by examples (45) and (46).
(45)
\[
\begin{array}{cccccc}
Takso & sōiduta-s & Peetri-t & viis & kilomeetri-t. \\
\text{taxi[NOM]} & \text{drive-PST.3S} & \text{P-PTV} & \text{five[NOM]} & \text{kilometer-PTV} \\
\end{array}
\]
«The taxi took Peter five kilometers.»
(Sulkala 1996: 186)
The previous example (45) has the partitive object case. It is considered perfective by Sulkala, and there is an explicit bound. It is also perfective by the divisive reference test referred to in the introduction.
(46)
\[
\begin{array}{cccccc}
Takso & sōiduta-s & Peetri & viis & kilomeetri-t \\
\text{taxi[NOM]} & \text{drive-PST.3S} & \text{P.TOT} & \text{five[NOM]} & \text{kilometer-PTV} \\
Oulu-st & lōuna & poole. \\
\text{Oulu-ELA} & \text{south.GEN} & \text{direction.ALL} \\
\end{array}
\]
«The taxi took Peter five kilometers south of Oulu.»
(Sulkala 1996: 186)
The previous example (46) has the object case. It is considered perfective by Sulkala, and there is an explicit bound. The duration of the situation, the bound, can be expressed by a measure adverbial in the nominative/genitive (total) operating in a basically imperfective sentence (Sulkala 1996: 188). The adverbial adds perfectivity to the sentence (Sulkala 1996: 188). Note that perfectivity does not coincide here in (47) with the nominative/genitive (total) case on the object (the book).
(47)
\[
\begin{array}{cccc}
Loen & tunnikese & raamatu-t. \\
\text{read-1S} & \text{hour.TOT} & \text{book-PTV} \\
\end{array}
\]
«I will read a book for about an hour.»
4.3.5 Conclusion on verb classifications
In sum, the boundedness and resultativity-based approaches to lexical classifications make reference to lexical aspect terminology and in the studied classifications. The aspectual oppositions are seen to correlate with the alternation of the object case. The main difference in these two types of classifications is the treatment of a large group of in-between, boundable, or dual, ambiresultative verbs, «irresultative verbs with an element of resultativity», partitive verbs, which display the behavior of both the partitive and the genitive/nominative assigning verb types. However, many verbs that are classified as partitive or irresultative verbs can occur with the total object when they combine with the particle. The lexical aspectual properties that have been mentioned to be related to the object case are that of perfectivity/imperfectivity, telicity/atelicity, boundability, terminativity/coursivity of verbs. Also, elements that are most frequently referred to as bounding and resultative adverbials or verbal or perfective particles tend to co-occur with total objects.
4.4 Conclusion
There are various standpoints on how to understand the relation between aspect and verbal lexical entries. Frequently, properties of situations are referred to (boundability). Aspect has not developed into a grammatical category. The specifics of the phenomena of object case, and combining with particles are at least in part seen to be dependent on verbs and their classification. The following chapter studies the verb classifications in more detail.
Endnotes
1 Many teaching materials (e.g., Kippasto and Nagy 2002) have found it useful to introduce object case alternation facts with discussing the nominal reference part-whole opposition before the aspectual uses. This tendency is not restricted to schoolbooks (see also as an instance Harms 1962, 131).
2 The asterisk * is used for morphologically or syntactically ungrammatical sentences. The hash mark # is used for semantically unacceptable sentences, given a particular predicate that is illustrated with the sentence. The percent mark (%) is used for context-dependent, pragmatically infelicitous sentences. This sentence, for instance, is felicitous in a fairy tale, where the wind is depicted as an animate being.
5.1 Introduction to the problems left for further study in earlier sources
This chapter presents additional data on verb classification and object case. The main purpose of Chapter 5 is to demonstrate that despite the facts that Estonian transitive verbs can occur with either object case, and the same verbs occur in sentences with opposite aspectual properties, verb classification is crucial for the exact realization of the object case and the aspectual properties of the sentence.
The first section of the chapter points out the problems with assuming two or three verb classes that determine object case. The main problem is that, on the one hand, the relevant terminology is not clearly defined in the earlier accounts and, on the other hand, verbs are classified according to their occurrence with one of the object cases. However, verbs associated with one object case do not invariantly appear with this object case only. Thus, the grounds for assuming verb classes are not firm enough. On the other hand, this section discusses that the reasons for occurring with the «opposite» object case vary depending on the verb class. Also, a more systematic overview of the combinations with the so-called «boundaries» or «resultative complements» is presented. According to these additions, a more precise aspectual verb classification can be proposed for Estonian.
The second section of this chapter contains a classification of Estonian verbs in terms of the classification discussed in Vendler (1957). A comparison with this disputed but widely known aspectual or event structural classification clarifies some regularities of the aspectual behavior of verbs and shows the relation with the object case.
The understanding from Chapter 4 is that Estonian object case alternates on the basis of aspect, but the alternation is not available for all verbs and it is dependent on the properties of the object NP. This chapter starts with a brief recapitulation the data. To remind, the total case, the morphological genitive (1a) marks singular NPs and the morphological nominative (1b) marks plural NPs. These sentences are perfective, following the line of Metslang’s research. These two sentences are terminative according to the criteria of Verkuyl (1993) and bounded in terms of Kiparsky’s notion of boundedness (Kiparsky 1998). For defining perfectivity, Kiefer’s definition of perfective events is also applicable in these cases (Kiefer 2000: 276).
(1)
a. Mari ost-is raamatu.
M[NOM] buy-PST.3S book.TOT
«Mary bought a/the book.»
b. Mari ost-is raamatu-d.
M[NOM] buy-PST.3S book-TOT.PL
«Mary bought (the) books.»
Partitive typically marks singular object NPs, as in (2a), (2c), and plural object NPs, as in (2b), in imperfective sentences.
(2)
a. Mari ost-is raamatu-t.
M[NOM] buy-PST.3S book-PTV
«Mary was buying a/the book.»
b. Mari ost-is raamatu-id.
M[NOM] buy-PST.3S book-PTV.PL
«Mary bought books. (It was books that Mary bought.) Mary was buying (the) books.»
c. Mari ost-is ve-tt.
M[NOM] buy-PST.3S water-PTV
«Mary bought water. (It was water that Mary bought.) Mary was buying water.»
When the object NP has a plural (2b) or a mass (2c) referent, the sentence can have two aspectual interpretations, perfective and imperfective. These sentences can be pronounced with different stress and intonation patterns, and these facts influence the interpretation. In case of neutral stress and intonation, sentences (2b) and (2c) are perfective, the object NPs are not focused and the referents of these phrases are not specific.
An overview of case patterns as discussed in *EKG II* can be found in Table 4.1, Chapter 4. Despite this type of frequently presented data that would suggest that Estonian verbs are aspectually «amorphous» and flexible in terms of object case assignment, and despite the evidence that shows that most verbs can occur with objects that bear either case, the goal of this section is to demonstrate that verb semantics has an important role in determining aspect and compatibility with case marking.
Previous approaches have documented a typology of verbs in two or three distinct classes. However, these approaches to verb classification do not have an explanation when verbs that belong to one «object case class» appear with the object case marking that is used as a classification criterion for another verb class. In several instances, the aspectual properties of the sentence are changed under the influence of the so-called boundaries, in others they
are not changed; in addition, the aspectual properties of the sentence can be changed without any boundaries. One of the most important problems to solve is what the relation between the so-called boundary, the verb, its object and aspect, such as in the pairs (3a) and (3b) is. Marginally, speakers allow for partitive objects in sentences with the particle, as in (3c).
(3)
a. Mari ost-is raamatu.
M[NOM] buy-PST.3S book.TOT
«Mary bought a/the book.»
b. Mari ost-is raamatu ära.
M[NOM] buy-PST.3S book-TOT ära/PRT
«Mary bought a/the book.»
c. %Mari ost-is raamatu-t ära.
M[NOM] buy-PST.3S book-PTV ära/PRT
«Mary intended to be efficient in buying the book.»
Similar examples are recorded in some sources (cf. Harms 1962: 131), but they are rare. However, mass and plural partitive NPs, which are acceptable with the same verb and without particle, seem to have additional unnatural readings for pragmatic reasons, as in (3c).
The various particles and phrases that contribute to the interpretation of the sentence as having a set endpoint are referred to as «boundaries» in this chapter. As an introduction to the verb classification in Chapters 8-10, this section wishes to make some adjustments to the Estonian sources about verb classification and the correspondence to the facts about object case. The main point to be presented in this section is that the verbs grouped according to their occurrence with the partitive or total object case in the classifications of EKG II and Tauli-Rätsep must be grouped according to principles that are more predictive of the correspondences between form and meaning.
Ultimately, the aim is that clearly defined lexical aspectual properties replace the observational, purely object-case-based grounds for the classification of verbs. On the one hand, what is exactly meant by the terms «resultative» and «irresultative» or «boundability of situation» has not been adequately defined; therefore, the verbs cannot be classified according to a definition. On the other hand, reliable classification tests have not been provided to distinguish between the different verbs either. The lack of well-defined classification principles hinders extending the classes with new items. Section 3.2 discusses the standard aspectual classification tests but also shows the differences from a hypothesized pattern of object case and lexical aspect. This section organizes the data, discussing the problems of earlier classifications and occasional misclassifications. The verbs will be discussed in two parts, first the irresultative (B and C) and partitive verbs’ classes (5.2), followed by the resultative (A) and aspect verbs (5.3).
5.2 Partitive and irresultative verbs
Irresultative verbs. The irresultative classes (Tauli 1968; Rätsep 1978) are not clearly distinguished from the resultative class in terms of verbal features or object case. Verbs belonging to both classes occur with both object cases. The classes B and C are termed irresultative, but only the class B (2), the «true» irresultative verbs, contains verbs that can occur with the partitive object only. In order to give an account of the interaction between verbs, particles, and object case, it is necessary to clarify the following points about the material presented in these sources:
1. the term «irresultative»
2. the feature that distinguishes verbs, if many verbs allow for either case
3. the differences between boundaries and their influence on aspect
4. problems with treating the verb-boundary complexes
5. identifying the inconsistencies in the classifications
6. differences between the irresultative verbs.
The standpoints about these issues are discussed in turn below.
Issue 1. The term «irresultative».
The term «result» will not be defined in this book. In order to prepare the discussion and rejection of the «telicity-object case hypothesis», I propose relating the material that has been referred to in terms of the previous terminology «irresultative-resultative» to «atelic-telic». I leave the possible research options concerning the issues of a result state for future.
Issue 2. The problem of distinguishing verbs.
The relation of class C («ambiresultative») to class A (res.) and to class B (irres.) is unclear. Lexical aspect makes class C (ambires.) identical to B (irres.), but the ability to occur with two types of object case makes C (ambires.) similar to A (res.).
Issue 3. The problem of boundaries and partitive objects.
The combination of class C («ambiresultative») verbs with a boundary does not automatically trigger total case marking of objects, as seen from the examples (4a) and (4b). The insight is that these verb-boundary combinations occur more typically with total object case marking, but they do not exclude the partitive either.
(4)
a. Mari loopi-s tund aega
M[NOM] throw-PST,3S hour[NOM] time.PTV
palli katuse-le.
ball.PTV roof-ALL
«Mary was throwing the ball on the roof for an hour.»
b. Mari ässita-s koera tund aega
M[NOM] incite-PST,3S dog.PTV hour[NOM] time.PTV
võõra-le kallale, aga koer ei võtnud vedu.
stranger-ALL at, but the dog did not get interest.
«Mary urged the dog to bite the stranger for an hour, but the dog showed no interested.»
Thus, the conditions of partitive case that make a difference between classes A, B, and C can be better articulated.
Issue 4. Problems with treating the verb-boundary complexes.
The insight is that even if both A (res.) and C (ambires.) verbs appear with a boundary, appearing with a boundary is relevant for object case only in case of C (ambires.) verbs. The question is, when they are «in combination with a boundary», do class C (ambires.) verbs behave like class A (res.) verbs in terms of case marking on the infrequent occasions that the A (res.) verbs appear without a boundary in natural discourse, as in (5a). Alternatively, looking at the same problem from the viewpoint of the boundary, if the two classes have identical behavior «in combination with a boundary», what the exact status of the boundaries is, needs specification. That is, what is in common in the sentences (4a) and (4b) and sentence (5b)? Intonation and the subject pronoun indicate a difference in the information structure of the two sentences. The difference is possibly not lexical aspectual.
(5)
a. Mina teg-i-n selle töö.
I[NOM] do-PST-1S this.TOT work.TOT
«I did the job.»
b. Ma teg-i-n selle töö ära.
I[NOM] do-PST-1S this.TOT work.TOT ära/PRT
«I did the job.»
On the one hand, the book searches for a way to capture the similarities and differences between the combinations of verbs and boundaries. Chapter 8-10 propose a way to treat the differences.
Issue 5. Inconsistencies in the classifications.
The fact that there is a lack of exact classification tests yields inconsistencies in classification. Many of the verbs that are classified as purely irresultative, partitive-object verbs can occur with the particle ära and a total object: puudutama «touch», vördelema «compare», abistama «help», jälgima «watch», külastama «visit», solvama «offend» (Tauli 1968); alustama «start, begin», liputama «wag, whisk», õigustama «justify» (Rätsep 1978).
Issue 6. Differences between the irresultative verbs.
The lack of clearly defined features that would predict object case behavior and the aspect of the sentence gives rise to another unresolved issue. There are some verbs that can refer to events with a clear beginning, end, and a result, such as solvama «offend». Despite the resultativity of these verbs, they are classified as irresultative on the basis of the typical facts about their object’s case, which is partitive. Here, the intuitive concept «irresultativity» does not make correct predictions about object case. Therefore, I consider the alternatives of (im)perfectivity and (a)telicity. These verbs typically (that is, at least in some, most often used senses) appear in perfective sentences. Their reference is non-divisive, since the arbitrary proper parts of the event in the denotation of solvama «offend» are not necessarily in the denotation of the predicate. The sum of two events of solvama «offend» may be in the denotation of the predicate. The intuition about these verbs is that although they denote a delimited, bounded event where a relevant change of affairs has taken place, their denotation does not exclude that the event can be continued. These verbs are, on the one hand, compatible with the adverbials denoting grades of intensity, such as üha rohkem/vähem «more and more, less and less»; on the other hand, they are compatible with adverbials that indicate that a change has been completed to at least some extent, such as mõnevõrra «to some extent». Verbs such as «run» or «watch» do not combine with this adverbial.
Thus, the defining principle that relies on irresultativity is not exact for defining this class of partitive-object verbs. Reference to an alternative term pair that relies on the frequently used concept of lõpetatus «having (been brought to) an end, closed-endedness, being finished» does not define the irresultative class either. It may cover verbs of the type solvama «offend», which describe events with a result and possible continuation; so, these events can be open-ended. However, there are other verbs that are not open-ended. Resorting to open-endedness as a common denominator for the class would leave out verbs such as puudutama «touch» or riivama «touch lightly». These verbs describe events that typically are of short duration and have an obligatory temporal end. However, this endpoint cannot be brought in connection with any relevant change in the situation, a result. These verbs typically (that is, at least in some, most often used senses) appear in perfective sentences. Some of them (e.g., riivama «touch fleetingly, slightly») cannot appear with durative adverbials that denote a definite extent, span or measure of duration; others, such as puudutama «touch» can appear with such durative adverbials, but in that case, they rather have stative or iterative readings. Their reference is non-divisive, since the arbitrary proper parts of the event in the denotation of *puudutama* «touch» are not necessarily in the denotation of the predicate (there are no parts). These verbs do not typically appear in sentences with the telic interpretation, however, since the sum of two events *puudutama* «touch» may be in the denotation of the predicate. As opposed to the type of partitive object verbs such as *solvama* «offend», verbs of this type are compatible with simple temporal bounding adverbials that refer to undefined temporal boundaries of the event, such as *korra* or *korraaks* «a time, once, for a while». Therefore, the conclusion is that the irresultative verb class houses various verbs that are not compatible with total object case marking for different reasons.
Verbs that are classified as irresultive not on the basis of their denotation—lacking reference to a result or an element of endedness—but on the basis of their partitive object case are perfective by the tests. Being lexically perfective thus cannot be related to total object case assignment. However, these verbs are perfective in clearly different ways, one group lexicalizes a minimal change and the other group—short duration. The verbs of the type *solvama* «offend» describe lexically an event of a changed situation, whereby the event can have duration or not. This information suggests that there is a kind of perfectivity or boundedness that relates to a minimal *change* in an event and to partitive objecthood. On the other hand, verbs of the type *puudutama* «touch» encode rather the information that the event is short whereby changes can take place. This information suggests that there is a kind of perfectivity or boundedness that relates to a minimal *duration* of an event and to partitive objecthood.
In sum, there are two interesting classes: some perfective partitive verbs encode (short) duration and some encode a (minimal) change. There are several points to clarify, and they pertain primarily to the nature of verb entries, the meaning components in verbs and ways of combining with boundaries that determine the object case possibilities. Partly, these points to clarify coincide with the points that can be raised in the discussion of the partitive verbs of *EKG II*. In order not to repeat some points that are common in both approaches, the presentation of some problems of the verb classification in *EKG II* is more constructive in a sense that I make a preliminary finer distinction between the verbs that occur under partitive verbs in *EKG II*, using some insights from the three-way classification and a distinction between (resultative) complements and particles as opposed to the particle *ära*.
*Partitive verbs can have total objects.* The two-way classification avoids reference to result and relies on the term «boundability». It tries to integrate the parallels between the nominal and verbal domain (cf. Bach 1986) by introducing a term that may be related to boundedness. Therefore, «result» does not emerge as a relevant term, which removes some problems of the Tauli-Rätsep approach. *EKG II* is also a step forward in treating particle and verb combinations as lexical aspectually distinctive units. Also, this approach
allows for more variation in the verbs’ behavior in terms of object case; this variation is motivated by the properties of the situations that these verbs describe. Some less articulated issues in the two-way classification in *EKG II*:
1. A definition for (not) boundable situations.
2. The status of boundaries (arguments or not), partitive verbs appearing with several boundaries, the particle *ära* and a total object.
3. Partitive verbs that appear with total objects.
The problems of the partitive and irresultative verb class are largely identical; therefore, the discussion of partitive verbs partly complements the discussion of irresultative verbs.
**Issue 1.** This classification (*EKG II*) relies on the notion of boundable situations. The approach allows for the occurrence of one verb in the description of several types of situations (boundable and bounded) and, therefore, one verb can occur with different object case and have various complementation patterns. Some complements and particles are related to situation boundaries. However, what are boundable or not boundable situations is not clearly defined; therefore, the predicates that refer to the situations are not well defined either. Actually, the classification in *EKG II* is even less articulated about verbs that typically occur with the partitive than the classification based on the notion of resultativity. The reasons for appearing with a partitive object diverge. The same reasoning can be carried over to the boundability approach. Some partitive verbs describe boundable (*jälgima* «follow, watch», *kuulama* «listen (to)») and others, typically non-boundable situations (*mäletama* «remember»). Other partitive verbs describe situations that are bounded (*kahjustama* «damage, harm»). The verbs that describe boundable situations can also be applied for describing bounded situations. These are the verbs that, despite their classification as «partitive verbs» in *EKG II*, allow for total case marking, and they occur in aspectually opposite sentences. On the other hand, those verbs that describe non-boundable situations describe situations that cannot be bounded for various diverging reasons, some of which are mentioned in connection with the perfective «irresultative verbs». They may lack a temporally relevant dimension, describing general attitudes and states, and they may be unavailable for bounding because they are inherently (temporally or otherwise) minimally bounded already.
**Issue 2.** Boundable situations can be bounded, but in terms of linguistic forms that correspond to the bounding of the situation, I propose a finer distinction between the linguistic correlates of boundaries. First of all, partly, it is the total object case that unambiguously correlates with the boundedness of the situation. However, differently from Finnish, total objects typically occur when there is a boundary present in the sentence. On the basis of the verbs discussed in *EKG II* and their typical occurrence with object case and «boundaries», I suggest further distinctions among the presented partitive verbs.
Type A. Non-boundable: individual level predicates and inherently bounded verbs.
Type B. Boundable by an argument.
Type C. Boundable by the terminative phrases (the object is partitive) or the particle ära (the object is total).
Resultative complementation of partitive verbs that occur with total objects is also discussed in the examples of Klaas (1999). Klaas (1999) is discussed in terms of a lexicalist approach by Ackerman and Moore (2001) in Chapter 6.
Type A. Non-boundable: individual level predicates and inherently bounded verbs are verbs that occur with partitive objects only, listed in (6).
(6)
alahindama «underestimate», armastama «love», austama «honor», eeldama «presuppose», himustama «desire, have lust», ihaldama «desire», imetlema «admire», jälestama «loathe», jälgima «watch, follow», kahetsema «regret», kartma «fear, be afraid of», kogema «experience», kujutama «imagine, shape, depict», kuulma «hear», käsitama «regard, approach to sth as sth», leinama «mourn, lament», meenutama «try to remember», mäletama «remember», nautima «enjoy», teadma «know», usaldama «trust», uskuma «believe», vajama «need», vihkama «hate», ülistama «glorify, exalt», ette kujutama «imagine», imeks panema «be surprised», järele aimama «mock, play sb», pealt kuulama «eavesdrop», pealt kuulma «hear by accident», pealt nägema «see by accident», pealt vaatama «watch as sth going on», silmas pidama «mean sth concrete», taga nutma «mourn, cry for sth/sb», tähele panema «notice, perceive», üle hindama «overestimate», huvitama «interest», kartma «fear», valdama «overwhelm», valitsema «rule», harrastama «go in for sth», kavatsema «plan», takistama «obstruct», taotlema «apply», väärima «be worth(y)», üritama «attempt», soosima «favor», teenima «serve», toetama «support», ülal pidama «keep (sb, supporting)», taga ajama «chase».
The fact of writing a verbal particle or a case-marked noun as one word with the verb does not influence the case assignment of the predicate. See as examples of combinations that are written as one verb, Tauli (1972: 118). All of the transitive verbs discussed there, except taaselustama «revive», have typically partitive objects.
On the one hand, these are the verbs that cannot typically combine with the particle ära (7) and that are not boundable, since they describe a general situation, state, truth, relation, or an attitude; these are referred to as individual level predicates as opposed to stage level predicates in aspect-related literature (cf. Kratzer 1995).
(7)
a. #Mari alahinda-s Tooma kavaluse ära.
M[NOM] underestimate-PST.3S T.TOT cleverness.TOT PRT
Intended to mean: «Mary underestimated the wit of Thomas.»
On the other hand, there are partitive verbs in Type A that seem to be compatible with the optional phrases that denote a boundary, but adding a boundary can pertain to the intensity of the activity and would not affect the object case (8). Here I discuss the example of the verb *solvama* «offend», which was presented in the discussion about irresultativity. This type of verb describes situations with an outcome, a change in the situation, or result; however, the result can be attained at any occurrence of the described situation. The exact extent to which Thomas is offended does not matter for the boundedness of the event.
(8)
a. Mari solva-s Toomas-t südamepõhja-ni.
M[NOM] insult-PST.3S T-PTV bottom.of.the.heart-TER
«Mary insulted Thomas to the bottom of his heart.»
Example (8) is problematic in terms of a result-based approach, and it fares better in a boundability-based approach. In that case, the verb could be understood to describe a situation that is bounded inherently. The list in (9) includes more instances of such inherently bounded verbs in *EKG II*.
(9)
*ette heitma* «reproach», *üllatama* «surprise», *kohtama* «meet», *alustama* «start, begin», *jätkama* «follow, continue», *kahjustama* «damage», *liigutama* «move, make a move», *noogutama* «nod», *pilgutama* «wink», *riivama* «touch lightly», *kibrutama* «frown», *karistama* «punish», *premeerima* «award, stimulate», *ründama* «attack», *õnnitlema* «congratulate», and *puudutama* «touch»
**Type B. Boundable by an argument.** The proposal to distinguish between boundable and nonboundable verbs is made in various forms. Klaas (1999), who compares the alternation of Estonian object cases with the corresponding Lithuanian phenomenon, calls the occasionally partitive assigning verbs of this class «soft» and the solely partitive assigning ones «hard» partitive verbs. An example of the behavior with a hard partitive verb *pooldama* «support, be on behalf of» with a boundary *lõpuni* «until the end» is borrowed from Klaas (1999: 55) in examples (10a)-(10c) for discussion.
(10)
a. Komisjon poolda-s teis-t kandidaati.
board[NOM] support-PST.3S second-PTV candidate.PTV
«The board supported the second candidate.»
b. *Komisjon poolda-s teise kandidaadi lõpu-ni.
board[NOM] support-PST.3S second.TOT candidate.TOT end-TER
Intended to mean «The board supported the second candidate until the end.»
c. Komisjon poolda-s teis-t kandidaati lõpu-ni.
board[NOM] support-PST.3S second-PTV candidate.PTV end-TER
The board supported the second candidate until the end.
The examples (11a)-(11c) illustrating the behavior of the soft partitive verb *ihu*ma «sharpen» are borrowed from Klaas (1999: 55). The sentences (11b) and (11c) with the translativ marked phrases occur with both object cases.
(11)
a. Mees ihu-s nuga.
man[NOM] sharpen-PST.3S knife.PTV
The man was sharpening the knife.
b. Mees ihu-s noa terava-ks.
man[NOM] sharpen-PST.3S knife.TOT sharp-TRA
The man sharpened the knife.
c. Mees ihu-s nuga terava-ks.
man[NOM] sharpen-PST.3S knife.PTV sharp-TRA
The man was sharpening the knife.
The terminative and translativ marked phrases are listed in Rätsep’s complement types that occur in verb patterns with the Rätsep’s complement type «N+ngp» (see example (4.20) in 4.2.5 for its definition). However, the terminative marked phrase is an adjunct in (10) and (12a), but a translativ marked phrase is an argument and a secondary predicate in (11b), (11c), and (12b), which I test with the possibility of a «do-so» test (12a), (12b).
(12)
a. Komisjon poolda-s teis-t kandidaati
board[NOM] support-PST.3S second-PTV candidate.PTV
ja teg-i se-da lõpu-ni.
and do-PST.3S this-PTV end-TER
The board supported the second candidate, and did so until the end.
b. #Mees ihu-s nuga,
man[NOM] sharpen-PST.3S knife.PTV
ja teg-i se-da terava-ks.
and do.PST.3S it-PTV sharp-TRA
Intended to mean: The man was sharpening the knife, and did so sharp.
This is an example that illustrates that the boundaries provided by the verb and its arguments are relevant for object case, and that the boundaries that are provided outside the verb-argument complex, generally, do not have any impact on object case. As the facts with the terminative and translativemarked NPs show, I may assume a distinction between the boundaries provided by the phrases that have the argument as opposed to adjunct status. It is a weakness of the description in *EKG II* that it does not distinguish clearly between the status of the boundaries and their relation to the object case. This distinction is clear in Rätsep (1978) because the approach is primarily lexical. However, the relation between the argument and adjunct status of the NP that denotes the boundary and object form type is not explicitly stated in Rätsep (1978) either.
The relation between the status of the boundary phrase and object case has not been well defined in other earlier Estonian sources either. However, the syntactically and lexically different status of the boundary NPs is mentioned in Erelt (2003). In his discussion of obliques and adverbials, Erelt (2003: 99) proposes special spatial and temporal semantic roles of boundary («N ter»). It remains further unclear in this source how semantic roles are linked with arguments and adjuncts. However, the fact that they are linked is relevant. That is, there are other native speakers who recognize the link between an identical semantic role and arguments on the one hand and adverbials, on the other. My intended improvement to this intuition is clarifying the exact basis of the link between the boundary semantic role and the NPs that are either arguments or adjuncts. In my view, identical case marking of obliques (arguments) and adverbials (adjuncts) is related to the boundedness of entities with a different semantic structure, measure and scale. A verbal lexical scale dimension is related to direct internal arguments (or «objecthood»). The existence of actual boundedness of this dimension is encoded by object morphology. Adjunct NP morphology specifies a boundary or an endpoint of a different, linear, and measurable dimension—measure, extent, or span. The total case marked adjuncts and terminative case marked adjuncts both specify that there is a boundary, but differently from the terminative marked adjuncts, the total case marked ones do not necessarily specify the exact identity of the boundary or endpoint. The total case-marked adjuncts cannot specify that the event is «over» and that the event cannot be continued.
Returning to sentences (10) and (11) containing «support» and «sharpen», both sentences, both sentences describe an event with an endpoint. Thus, although the translativ or terminative case-marked phrase can provide a boundary, it co-occurs with the total object complement type («N+ngp») only if it is an argument and not an adjunct. For the definition of this complement type, «N+ngp», see example (4.20) in 4.2.5 for its definition. The translativemarked phrase *teravaks* «sharp» in (11b, c) and (12b) is an argument, the terminative marked phrase *lõpuni* «till the end» (10c) and (12a) is an adjunct and a secondary predicate. In terms of Rätsep’s patterns, the translativ NP is the syntactic realization of the obligatory
material belonging to the lexical entry including the (object) complement type. The other, parallel lexical entry of the verb *ihuma* «sharpen» is without the translative complement type, and it has only the Rätsep’s complement type «N+part» (basically, the partitive object type). On the other hand, the terminative phrase in (10c) and (12a) is not the realization of the obligatory material in the lexical entry of *pooldama* «support», it is a free adjunct that denotes a boundary or endpoint. *Lõpuni* «until the end», therefore, refers to a type of situation boundary that cannot be directly related to the object case and aspect. A terminative marked phrase may have impact in other cases, where it is the realization of the obligatory material that is contained in the lexical entry. For instance, the same terminative phrase occurs as argument by the do-so test in sentences where the object case is total, as in *ma vaatan filmi lõpuni* «I’ll watch the film till its end». See also the discussion of Klaas (1999) in Ackerman and Moore (2001).
**Type C. Boundable by the terminative phrases (the object is partitive) or the particle ära (the object is total).** Thus, there is another group of verbs that typically occur with partitive object case, but in sentences with the perfective particle *ära* these verbs appear with a total object. The discussion here also shows that one verb can be applied for descriptions of several types of situations. The verbs may combine with the particle *ära*, and have a total object as illustrated in (13), even if the combination with the particle and a total object is pragmatically not neutral.
(13)
| Mari | solva-s | Tooma | ära. |
|------|---------|-------|------|
| M[nom] | insult-pst.3s | T.tot | ära /prt |
«Mary did the act of insulting of Thomas.»
These data suggest that more partitive verb groups can be distinguished according to the situations they can describe. The following discussion presents groups of verbs that denote activities but also static situations or relations, verbs that denote activities, and «soft partitive verbs» that can describe activities and accomplishments. The goal is to make a semantic classification of verbs that is predictive of their syntactic behavior.
1. **Partitive verbs.** Verbs that denote activities but also static situations or relations:
(14)
*ahistama* «harrass», *iseloomustama* «characterize», *pilkama* «mock, banter, deride», *sihtima* «target», *solvama* «offend», *varjutama* «shadow», *taga ajama* «chase», *käsitlema* «regard, study», *ette heitma* «reproach», *üllatama* «surprise», *kohtama* «meet», *alustama* «start, begin», *jätkama* «follow, continue», *kahjustama* «damage».
2. Partitive verbs. Verbs that denote activities:
(15)
laksutama «click», liputama «wave quickly, wag», vangutama «wag, wagggle, shake», nuusutama «sniff, smell», käsitelema «regard, study», läbima «go through», kahjustama «damage», liigutama «move, make a move», noogutama «nod», pilgutama «wink», rivama «touch lightly», kibrutama «frown», karistama «punish», premeerima «award, stimulate», ründama «attack», önnitlema «congratulate», and puudutama «touch»
The verb puudutama «touch» is presented in (16a) as discussed in Klaas (1999). Also, another example, with tänama «thank» as in (16b) belongs to this group.
(16)
a. Ta puuduta-s mängija ära.
s/he touch-PST.3S player.TOT PRT
«S/he touched the player.»
b. Priit tän-a-s jõuluvana ära
Fred[NOM] thank-PST.3S SC.TOT PRT
ja asus kommikoti kallale.
and started with his bag of candy.
«Fred thanked (said the requested/expected «thanks» to) Santa Claus and started with his bag of candy.»
Examples (16a) and (16b) are the examples of partitive verbs where the bounding can occur only with the particle ära (the bounding particle). This group can be expanded with many verbs.
3. Partitive verbs. «Soft partitive verbs» that can describe activities and accomplishments form one group.
This is the best studied phenomenon of verbal aspectual alternation in Estonian. Here follow the verbs that are referred to in Klaas (1999) as soft partitives. These are mainly the «ambiresultative» verbs, class C (number 3) of the three-way distinction. These are verbs that appear basically with the partitive object. From verbs that can belong to this group, EKG II does not include many (caused) motion verbs.
Combinations with a particle. The following verbs listed in (17a) can occur with the particle ära and the total object. Resultative phrases and causative constructions with these verbs are frequent. Some verbs that occur in resultative constructions are listed in (17a) and provided with illustrative examples. The object case is total with verbs such as helistama
phone, ring, call» as in (18a), lehvitama «wave» as in (18b), juhtima «drive, lead» as in (18c), trahvima «fine» as in (18d).
(17)
a. parandama «improve», katkestama «interrupt», kasutama «use», kuulama «listen», nägema «see», vaatama «look», ootama «wait», näitama «show».
b. embama «hug», kallistama «hug», keerutama «twist», kehitama «shrug», kraapima «scrape», kratsima «scrape, scratch», lappama «turn pages, flip», limpsima «lick», müksama «nudge», nõelama «sting», näpistama «pinch», peksma «beat», piitsutama «whip», silitama «stroke», siigama «scratch», taguma «bang, beat», aitama «help»
(18)
a. Oliver helista-s arsti jalule / sörme-d
O[NOM] ring-PST.3S doctor.TOT up finger-TOT.PL
kange-ks / kella tila küljest.
stiff-TRA bell.GEN clapper.TOT off
«Oliver rang until the doctor woke up, his fingers got stiff, the bell’s clapper off.»
b. Francesca lehvita-s rätiku-ga kärbse-d eemale.
F[NOM] wave-PST.3S towel-COM fly-TOT.PL away
«Francesca chased the flies away by waving the towel.»
c. Rebekka juhti-s auto kõrvaltee-le.
R[NOM] drive-PST.3S car.TOT sideway-ALL
«Rebecca drove the car to a sideway.»
d. Nii trahvi-d sa mu vaese-ks
so fine-2S you I.TOT poor-TRA
kui kirikurott.
as church.mouse[NOM]
«You fine me so that I’ll be as poor as a church mouse.»
The most productive means of bounding is resultative constructions. A possible lexical template of such constructions is agent/instrument CAUSE patient to BECOME in state (of being (at) x) BY activity, whereby the agent or instrument is the subject, the state is specified by various phrases (a resultative phrase, a lative oblique), and the activity is represented by the base verb (cf. Spencer and Zaretskaya 1998). The resultative constructions such as in (18d) typically contain a translative resultative complement, that is, an adjective as in (18d) or a noun phrase case marked with the translative case as in (19).
(19)
Tanel luge-s raamatu kapsa-ks.
T[NOM] read-PST.3S book.TOT cabbage-TRA
«Dan read the book till it looked like a cabbage.»
The constructions that have come to being by combining a soft partitive verb with a resultative complement are often also analyzed as causatives. In all of these cases there is a clear theme, patient or experiencer argument involved in the event. Those arguments are changed in the course of the action, or their location is changed. Also, there are opaque and semi-transparent particle combinations and idiomatic phrases that contain a partitive base verb and the boundary that by Rätsep’s criteria belong to the verbal center. These are separate lexical entries and have their own object type properties. See Klaas (1999) for detailed examples of this type.
4. Stative verbs with total objects. Some verbs, illustrated in (20), have an object case alternation that does not correspond to any shift in the aspectual interpretation.
(20)
piirama ‘border as obstacle’, raamima ‘frame’, ääristama ‘border as decoration’, katma ‘cover’, moodustama ‘form’, etc.
These verbs, which can be classified as «partitive verbs» according to the criteria of EKG II, allow total case objects in aspectually *not* opposite sentences (stative nonscalar-stative measure alternation). This book regards these cases as instances of case with historical motivation reflecting the measure semantics of objects; according to my preliminary assessments, this alternation is losing its productivity.
As a conclusion to the discussion of irresultative and partitive verbs, many but not all partitive and irresultative verbs can occur with the total object. Therefore, defining a class via the object case is problematic. Defining the class of verbs that intuitively should be grouped together (since they typically occur with the partitive object case) on the basis of the terms non-boundable or irresultative is also problematic. Therefore, new criteria for verb classification will be proposed in Chapters 8-10 and a different approach to the interaction between verbs, case and aspect will be sketched.
The following subsection addresses the problem that almost all verbs listed under aspect and resultative verbs can occur with partitive objects.
5.3 Aspect verbs and resultative verbs occur with partitive objects
The verbs listed under aspect verbs can occur with partitive objects, which is a problem if verb classes are distinguished from each other on the basis of the verbs’ occurrence with concrete object cases. This subsection shows that they can do so with different effect. Therefore, the class A (1) of the Tauli-Rätsep classification could be refined.
*Resultative verbs.* First I discuss some points of class A (1) of resultative verbs that need to be clarified in the three-way, Tauli-Rätsep classification. Many of the points of criticism are discussed earlier; therefore, the exposition here is brief, touching the following topics:
1. The term «resultativity».
2. The conditions for appearing with partitive objects.
3. The status of boundaries.
4. Misclassifications.
**Issue 1. The term «resultativity»**
In previous sources, it is not sufficiently defined what determines the object case alternation, what is the relation between verbal (verb class) resultativity, on the one hand, and «resultativity of the action» (actual resultativity) and case assignment, on the other. The verb’s basic lexical aspect (in terms of resultativity) is considered the only essential difference from classes B (2), (irres.) and C (3), (ambires.). Despite this assumption, the lexical (class based) aspect can equally well fail to predict the total case assignment as evidenced by the contrast between the sentences (21a) and (21b) below. In those examples, the C (3), (ambires.) type verb’s lexical aspect can change from resultative (21a) to irresultative (21b) in a sentence as the object case alternates.
(21)
a. Mari kirjuta-s raamatu.
M[NOM] write-PST.3S book.TOT
«Mary wrote a book.»
b. Mari kirjuta-s raamatu-t.
M[NOM] write-PST.3S book-PTV
«Mary wrote/was writing a/the book.»
**Issue 2. The conditions for appearing with partitive objects**
The verbs within the group A (1) (res.) are lexical-semantically heterogeneous and they have not been given specific characteristics in those sources. However, these verbs have alternating object case (22a). These verbs occur with the partitive in the habitual (signaled by «as usual, always») or iterative (signaled by «often») meaning, as in (22a). They cannot denote processes (22b) and cannot typically be understood as the progressive, as demonstrated by the progressive test in (22c).
(22)
a. Mari rikku-s tihti / nagu alati raamatu-t.
M[NOM] ruin-PST.3S often / as usual book-PTV
«Mary ruined/was often, as usual ruining a/the book.»
b. #Mari rikku-s tundide kaupa raamatu-t.
M[NOM] ruin-PST.3S for hours book-PTV
«Mary was ruining a/the book for hours.»
c. #Mari rikku-s raamatu-t, kui
M[NOM] ruin-PST.3S book-PTV when
uks avane-s.
door[NOM] open-PST.3S
«Mary was ruining a/the book when the door opened.»
Verbs that are referred to as typical incremental theme verbs can belong to this class A (1) (res.), e.g. kirjutama «write» (but, e.g. lugema «read» is not included in this class). This term became widely known since Dowty (1991) and Kriifka (1992) and his earlier work. They used it for the description of verbs such as eat and build. Eat (an apple) and build (a house) type verbs denote the piece-by-piece, incremental creation or consumption; they are said to have incremental themes. There is a final piece or increment in the events described by these verbs, which marks the temporal end of the whole event. Such verbs are also referred to as effected object verbs. Those verbs occur with the partitive in the habitual or iterative meaning and also duratively (23a) as tested by the durative temporal adverbial for hours or in the progressive (23b) (tested by the when-clause).
(23)
a. Mari kirjuta-s tihti/tundide kaupa/ nagu alati raamatu-t.
M[NOM] write-PST.3S often/for hours as always book-PTV
«Mary was writing a/the book for hours/wrote a book as usual.»
b. Mari kirjuta-s raamatu-t, kui uks avane-s.
M[NOM] write-PST.3S book-PTV when the door open-PST.3S
«Mary was writing a/the book, when the door opened.»
Other incremental theme verbs (creation verbs, effected object verbs), some of which are listed in (24) have in this respect the same properties as the incremental theme verb kirjutama «write». They occur with the partitive object if durative; as shown, in the habitual, iterative and in the progressive meaning. The more precise tests for Vendler classification are studied in Chapters 9-10 in further detail.
(24)
tegema «make», ehitama «build», rajama «create, establish», trükkima «print»
Issue 3. The status of boundaries. The role of the verb meaning and the role of the added boundary in the notion of resultativity can be made more explicit with resultative verbs. It is true of class A (1) (res.) as much as of class C (3) (ambires.) verbs that the boundary is related to total case assignment, however, that relation has not been sufficiently articulated yet. The
verbs within the group A (1) (res.) are heterogeneous in their occurrence with the particles. The verb *viima* <bring> combines with the directional *ära* (see Tamm 2004c). In a different function of *ära* (only as the bounding particle), the verbs in (25) can occur in a sentence with it.
(25)
*vigastama* <harm, injure> (it is a partitive, irresultative, misclassified verb), *alistama* <subjugate>, *omandama* <acquire>.
The verb *minetama* <forfeit, lose> does not occur with *ära* or any other boundary.
**Issue 4. Misclassifications arise in this classification.** For instance, *vigastama* <harm, injure> is a partitive-only verb unless combining with the bounding particle (see Tamm 2004c). This is, intuitively, a resultative verb. Some of the listed verbs, such as *viima* <bring>, occur felicitously only with a complement.
The verbs listed under resultative verbs can occur with partitive objects under various circumstances; therefore, the criteria for establishing class A (1) of the Tauli-Rätsep classification could be worked out in more detail.
Aspect verbs occur with partitive objects. Since the class of aspect verbs in *EKG II* and the class A (1) (res.) of the Tauli-Rätsep classification are designed to capture similar generalizations about classification and object case, the problems with the classification overlap. The following observations are detailed in the ensuing sections:
1. Appearing with or without boundaries.
2. There is no correlation between the appearance of a boundary and the total object.
**Observation 1. Appearing with or without boundaries**
As in the case of the verbs listed under resultative verbs, the aspect verbs occur often with a boundary (particle). The role of a boundary that occurs with the aspect verbs is differently defined in *EKG II* than in the Tauli-Rätsep approach. An example demonstrates that the boundary has a role in the information structural organization of a sentence with an aspect verb. More specifically, the appearance of a boundary is seen to be related to the fact that the object referent belongs to old, known information. However, the types of combinations with the boundaries are dependent on the aspect verb semantics and cannot be explained uniformly by information structural conditions. As in the case of the resultative verbs, there are verbs among the aspect verbs that practically do not occur without a boundary, there are verbs that occur somewhat less typically with a boundary and there are verbs that cannot appear with a boundary at all. I list the types with examples below.
Type A. The verbs in (26) typically occur with the boundary when in combination with the total object:
(26)
jätma 〈leave〉, äratama 〈wake〉, leotama 〈soak, drench〉 (probably a misclassification), keetma 〈boil〉, voltima 〈fold〉, laenama 〈borrow, loan〉, viima 〈bring there, take〉.
Partitive objects do not have a forced interpretation effect with many of these verbs when they occur without a boundary. Also, jätma 〈leave〉 occurs rarely without a boundary, viima 〈bring there, take〉 does not occur without a boundary. Several combinations of these verbs and boundaries are opaque (many with saama 〈get, become〉, leidma 〈find〉, kutsuma 〈call, invite〉).
Type B. The verbs in (27) do not occur with a boundary; only the particle ära may occur with them in (context dependent) sentences.
(27)
avastama 〈discover〉, looma 〈create〉, saavutama 〈achieve, attain〉, sooritama 〈make (exam, etc.)〉, koostama 〈compile〉, moodustama 〈form, create〉.
Type C. The verbs in (28) occur with an adessive or allative (location-source) phrase that serves as a kind of goal boundary; the object case is partitive or total.
(28)
saama 〈get, become〉, leidma 〈find〉, kutsuma 〈call, invite〉, teatama 〈announce〉, varuma 〈gather and save in reserve〉
Observation 2. There is no hard-and-fast correlation between the appearance of a boundary and the total object. Usually the boundary-verb combinations that are listed under aspect verbs allow both cases, with a preference for total case, as in in (29). The partitive is not excluded as shown in (30).
(29)
ette vōtma 〈start (with something), deal with something resolutely〉
(30)
Mari vōtt-is se-da eksami-t
M[NOM] took-pst.3s this-PTV exam-PTV
juba viienda-t korda ette.
already fifth-PTV time.PTV PRT
〈Mary was taking/went for this exam for the fifth time already.〉
As a conclusion to Subsections 5.1 to 5.3, which sketch some observations about earlier accounts, I cannot assume the total or partitive case as a case that is only dependent on verb class and some grammatical categories such as negation. This point is actually made by more thorough studies, such as Kont (1963), Rätsep (1978), Tauli (1983), or the *EKG II* if read attentively. However, it is not made clear enough for simpler accounts that are based on these sources. This subsection shows that the verbs’ relation to object case and combinability with several types of boundaries is largely based on lexical aspect, but for a satisfactory account of the conditions of either case assignment, the classes must be more clearly defined.
### 5.4 Total objects, aspect, and intransitive verbs
The discussion of earlier sources is not complete without mentioning two earlier not discussed issues. Two problems related to the aspect of intransitive verbs are discussed in this subsection: the object case of transitively used intransitive verbs and the aspectual properties of intransitive verbs. Intransitive verbs (such as *olema* ‘be’) typically do not express aspect. Both earlier verb classifications reflect generalizations about the sensitivity to the concept of result and boundaries, but in order to explain the classification principles of new verbs the classifications are static, relying on the presence of objects and using terminology that is not defined in the given sources. An area that has not been studied yet is the question of where to categorize various intransitive verbs with their potential object case assignment properties when they are used transitively, consider *triikima* ‘iron’ as in (31a), (31b), an intransitive verb with a nominative subject, or *sadama* ‘rain’ as in (31c), (31d) a verb with a typically partitive subject.
(31)
a. Mari triiki-s.
M[NOM] iron-PST.3S
‘Mary was ironing.’
b. Mari triiki-s arvuti laia-ks.
M[NOM] iron-PST.3S computer.TOT flat-TRA
‘Mary ironed the computer and it became flat. Mary made the computer flat by ironing it.’ (Literally, ‘Mary ironed a/the computer flat.’)
c. Vihma sada-s.
rain.PTV rain-PST.3S
‘It was raining.’
d. Vihm sada-s kübara märja-ks.
rain[NOM] rain-PST.3S hat.TOT wet-TRA
‘The hat was soaked by the rain. The rain caused the hat to become wet.’ (Literally, ‘The rain rained the hat wet.’)
Some basically intransitive verbs can appear with objects when they are combined with a resultative phrase. Next to describing the object case assignment properties of transitive verbs, a verb classification should ideally be based on principles that are valid for intransitives as well.
On the other hand, given the fact that one class of verbs is named aspect verbs, what might be the reasons for including only transitive verbs under aspect verbs? Excluding those intransitive verbs that are very similar to the transitive aspect verbs in terms of aspectual properties, such as the ones in the following example sentences (32a)-(32g), is not justified.
(32)
a. Mari pühendu-s töö-le.
M[NOM] devote-PST.3S work-ALL
«Mary devoted herself to work.»
b. Mari lakka-s hüüd-mast.
M[NOM] stop-PST.3S shout-M_EL
«Mary stopped shouting.»
c. Mari tutvu-s Kati-ga.
M[NOM] acquaint-PST.3S Kate-COM
«Mary got acquainted with Kate.»
d. Mari süvene-s mõtte-(i)-sse.
M[NOM] immerse-PST.3S thought-(PL-)ILL
«Mary was sunk in thought.»
e. Mari joobu-s önne-st.
M[NOM] get.drunk-PST.3S happiness-ELA
«Mary was giddy with joy.»
f. Mari rahuldu-s pisku-ga.
M[NOM] satisfy-PST.3S little-COM
«Little sufficed for Mary, Mary was/got satisfied with quite little.»
g. Haigekassa nõukogu loobu-s otsustamise-st.
the.Council.of.Public.Health[NOM] give.up-PST.3S deciding-ELA
«The Council of Public Health refused to decide; the Council declined to make the decision.»
Due to mixing morphological and semantic terminological labels, the opposition is formulated in terms of «partitive» versus «aspect» verbs. However, it is possible that there are intransitive verbs that have the same aspectual properties as transitive «partitive» verbs. In sum, there are some aspect and object case related unresolved questions that pertain to intransitive verbs. The problems of intransitive verbs and their object case properties will not be discussed in detail in this book, but they are relevant for pointing out the need for a more uniform approach.
5.5 Summary of Chapter 5
Using the examples in the *EKG II* and in the accounts of Tauli and Rätsep have pointed out the necessity for assuming more verb classes than discussed in those sources. On the other hand, I have shown that the verbs and their relation to object case and combinability with several types of boundaries is dependent on lexical class. However, it is advisory to define verb classes less circularly, that is, not via observations about their typical object case, since most verbs appear with both cases. In order to extend the lists that predict the object case assignment behavior and motivate better the present classification, independent criteria are useful. Also, there are some issues that have not been addressed about Estonian aspect and object case. One of these is intransitive verbs and their ability to express aspect and to occur in transitive sentences. The following groups listed in (34) emerged.
(34) Groups
1. Genuinely non-boundable, individual level predicates, hard partitive verbs that do not combine with a particle or if they appear in sentences with a boundary, their object case is partitive (*underestimate, support*).
2. Non-boundable, inherently bounded predicates, while the bounding can be of two different types (*offend vs. touch*).
3. Boundable partitive verbs that combine with the particle *ära* «away, off, completely, finish», and the object case is in that case total (*wag*).
4. Boundable, soft partitive verbs, aspect verbs and intransitive verbs that form resultative constructions; the object case can be in that case total (*wave*).
5. Partitive verbs that appear with total object case with no change in aspect (*cover, contain*).
6. Aspect verbs that typically occur with a boundary (*find*).
7. And those aspect verbs that typically do not occur with a boundary (*discover*).
8. Intransitive verbs that can express aspect (*get acquainted*).
9. Intransitive verbs that cannot express aspect (*be*).
10. Intransitive verbs denoting relationships and that typically cannot be related to the temporal dimension (*be equal to*).
11. Degree achievements or gradual completion verbs (*widen*) that have several aspectual readings and can appear with both types of objects, appear in transitive-intransitive pairs. If intransitive, their subject is never partitive. They seem to have a weak inherent endpoint related to a standard of quality.
6.1 Objects are tightly related to aspect and vice versa
In order to provide an account of verbal lexical semantics and its relationships to objects and case, this chapter reviews some formal, cognitive, and generative syntactic approaches to relationships between various approaches to form-function relationships. Argument structure, thematic roles, and aspectual roles stand central in the previous attempts to capture the relationships.
Previous chapters have established that the total case is grammatical only if certain types of lexical and semantic information are provided. It is an aspectual, grammatical marker. The total case on objects and adjuncts alike occurs in clauses with telic or quantized event predicates. However, in the following subsections I will discuss that the type of telicity that is defined by the relation as formulated in Krifka (1992: 39) provides the necessary and sufficient conditions for the total case marking of adjuncts only. This event-object relation does not hold for all grammatical objects. More specifically, the defined homomorphic relation between the event and object does not hold in telic predicates that appear with total objects in syntax. Objects of verbs that encode a different relation also appear with total objects, e.g., verbs of movement (*push the car into the store*, where there is no homomorphic relationship between the total case marked *car* and the progress of the event), achievement verbs (*find the key*), etc. Although formulating a more correct alternative thematic relation between objects and events is out of the scope of this book, I use the term «telic» to refer to predicates that contain a set terminal point (STP). An STP event predicate applies to events such that all subevents that fall under the predicate have the same terminal point. The reasons for assuming the incremental event-object (syntactically, the semantic object here is an adjunct in syntax) mapping relation are provided in the following subsections.
In sum, Estonian predicates that appear in syntax with either a total case marked object or adjunct have the following property in common: they are telic. However, they are telic in different ways. In order to proceed with the account, the notion of telicity and the event-object homomorphic thematic relationship that preliminarily explains the relation to adverbial total case marking is studied in 6.2.
6.2 Telicity and the account of event-object mapping
Many studies are devoted to the correspondence between the reference type of NPs and verbs. In Krifka (1992: 29), thematic roles are taken as primitive relations between events and objects; they are links between nominal reference and temporal constitution. Krifka is a relevant source since it deals with the effect of partitive case marking on aspect as exemplified by some instances of partitive objects in Finnish (Krifka 1992: 46-48). Krifka sets out to capture the similarities between the nominal and verbal domain and provides an account of how the properties of the noun carry over to aspect («temporal constitution»). He studies the meaning of verbs that fix a special homomorphic mapping relation between events and objects, that is, verbs that have an incremental theme role. A quantized NP such as *an apple* or *a glass of wine* denotes an object with precise limits, and the predicate *run a mile* denotes an event with precise limits. A cumulative NP such as *wine* denotes something without clear limitation; the predicate *run* also denotes an event without any clear limitation (Krifka 1992: 30). Krifka notices that with many predicates, the reference type of the arguments determines the aspect («temporal constitution»): a quantized argument yields a telic verbal predicate (line (a); a cumulative argument yields an atelic verbal predicate, as in line (b) in (1).
(1)
John drank wine for an hour/*in an hour. line (a)
John drank a glass of wine *for an hour/in an hour. line (b)
(Krifka 1992: 30)
With other predicates, such as *see*, this effect does not emerge. A quantized argument does not yield a telic verbal predicate in (2).
(2)
John saw a zebra for an hour/*in an hour. line (a)
John saw zebras for an hour/*in an hour. line (b)
(Krifka 1992: 30)
This difference between the two predicates serves as the proof that the verbal lexical semantics determines whether the nominal reference type of the arguments can have an effect on clausal aspect. Krifka formulates a possible way of capturing the parallels between events and objects via a thematic relation. This is a relation that he envisages in terms of a homomorphism from objects to events (Krifka 1992: 39). Krifka establishes the following five assumptions or conditions for defining this relation:
1. Summativity.
2. Uniqueness of objects.
3. Uniqueness of events.
4. Mapping to objects.
5. Mapping to events.
Krifka explains these assumptions on the example of drinking a glass of wine. The condition of summativity secures the connection between thematic relations and the join operation. Summativity ensures that the join of two distinct events of drinking a glass of wine yields an event of drinking two glasses of wine. Uniqueness of objects secures that an event is related to a specific object: the drinking of a glass of wine is related via the patient role to this glass of wine and to nothing else. Mapping to objects captures the fact that every part of a drinking of the glass of wine corresponds to a part of the glass of wine. A mapping to events ensures that every part of the glass of wine being drunk corresponds to a part of the drinking event. Given these provisions, the object’s properties can be reflected in the verb-object construction and, therefore, determine the telicity and atelicity of the predicate.
Krifka (1992) explains the difference between telic and atelic expressions on the basis of the example of *run* and *run a mile*. If we have two events of running, then they form together an event of running (Krifka 1992: 34); and if we have an event of running a mile, then no proper part of it is an event of running a mile. Telic predicates have a set terminal point (STP) and atelic predicates lack such a set terminal point. An STP event predicate applies to events such that all subevents that fall under the denotation of the predicate have the same terminal point. The predicate *run a mile* is a predicate with a set terminal point. Every subevent of a telic event of running a mile has the same terminal point. Such predicates are termed quantized. Non-quantized predicates are termed cumulative. Subevents of the cumulative predicate *run* can have different endpoints.
6.3 Event-object mapping verbs are not the object case altering verb class
As a matter of fact, Krifka admits the restricted application of his account to Finnish object case as well, quoted in (3).
(3)
Note that in Finnish the partitive is used in many more cases; it serves to express the progressive even with nouns like *read* or *buy*, and it may be employed to mark irresultative verbs, as e.g., *to shoot and wound* versus *to shoot dead*. This can be explained by an analogical extension of this type of marking to conceptually similar cases. The *tertium comparationis* of this extension is that the expression with a partitive object denotes an event which is not as complete as an event denoted by the corresponding expression with an accusative object (Krifka 1992: 48).
Krifka notes the conceptual similarity between non-quantized, cumulative events and the progressives of verbs such as *read* or *buy*, and the irresultativity of the verbs such as *shoot* and *wound*. I can conclude on the basis of this excerpt that Krifka considers the occurrences of the partitive
case as different phenomena (progressive versus irresultative). Krifka establishes the ground for the meaning extension, which he words in terms of completeness, («the expression with a partitive object denotes an event which is not as complete as an event denoted by the corresponding expression with an accusative object») (Krifka 1992: 48). However, he does not elaborate on these intriguing insights further. One can conclude with Krifka that the event-object mapping account applies to a restricted set of data, compared to the data that are presented in Chapters 1-4, and that Estonian aspectual lexicon cannot be captured by using the notion of thematic relationships that relate the properties of events to the quantificational properties of the objects.
Kiparsky (1998) gives a more extensive comment on the applicability of Krifka’s theory. Kiparsky’s critique holds equally of the reach of Krifka’s account if applied to Estonian total and partitive case.
6.4 Distance and temporal adjuncts
This subsection discusses temporal and spatial adverbials and shows that the impact of arguments and adjuncts to telicity can be identical if they are case marked with the total case: they occur in clauses with the telic interpretation\(^1\). The relation that was captured in Krifka’s account mediates between the event and an object of a different kind: an object that is a spatial or temporal measure, realized as an adjunct (adverbial). I leave it for further research to find out the exact ways of understanding this. Estonian has total, nominative, and partitive marking of measure adjuncts. Phrases that denote measures in terms of spatial distances and temporal measure in sentences describing events and that are marked with the total case fulfill the conditions for the described homomorphic relation between objects and events. The phrase with the spatial denotation—the traversal of which denotes the set endpoint of the event—is case marked with the total case. Consider the following sentence (4) with a partitive object and a total case marked spatial measure adverbial.
(4)
\[
\begin{array}{cccccc}
Takso & sõiduta-s & Peetri-t & ühe & kilomeetri & edasi. \\
\text{taxi}[\text{NOM}] & \text{drive-PST.3S} & \text{P-PTV} & \text{one.TOT} & \text{kilometer.TOT} & \text{further} \\
\end{array}
\]
(The taxi drove Peter further (by) one kilometer.)
The review of the conditions shows that the same homomorphic relationship can be assumed to determine telicity in the case of spatial and temporal measures (extents, spans); spatial and temporal measures bear similarity to objects such as a glass of wine. Homomorphism follows from the properties of the thematic relation that mediates between the event and the distance measure. Summativity holds, the join of two distinct events —taking Peter one kilometer and taking Peter another kilometer—yields an event of taking Peter two kilometers. Uniqueness of objects is secured, the object being a distance; the event is related to a specific distance: the taking of Peter one kilometer is related via the given role to this measure, this kilometer and to nothing else. Mapping to objects holds, since every part of the taking of Peter one kilometer corresponds to a part of the kilometer. Mapping to events also holds, since every part of the kilometer corresponds to a part of taking Peter.
The relation of mapping to objects could be carried over to mapping to time spans as objects, where the phrase with temporal denotation—the traversal or expiring of which denotes the set end point of the event—is case marked with the total case. Consider the following sentence (5) with a partitive object and a total case marked temporal measure adverbial.
(5)
\[
\begin{array}{cccccc}
Takso & sõiduta-s & Peetri-t & ühe & tunni & edasi. \\
\text{taxi[NOM]} & \text{drive-PST.3S} & \text{P-PTV} & \text{one.TOT} & \text{hour.TOT} & \text{further} \\
\end{array}
\]
«The taxi drove Peter further for one hour.»
A temporal span may seem somewhat weird as an object, and more traditionally, the semantic correspondent of it is an operator (as in Verkuyl 1993). A temporal phrase has several roles to play in the semantics of aspect. Here I describe how the same relation can be assumed for the temporal and spatial relations. The sentence above describes an event where Peter’s progress in the event is measured in time (e.g., Peter had to make a taxi ride of an intended temporal extent). The sentence has a counterpart where the measure phrase bears the nominative case (\textit{iiks tund} «one hour»); in that instance, the event-object homomorphic mapping relation cannot be assumed; the nominative marked adjunct is just a normal operator. In (5), summativity holds; the join of two distinct events driving Peter (for) one hour and driving Peter (for) another hour yields an event of driving Peter (for) two hours. Uniqueness of objects is secured, the object being a time span; the event is related to a specific temporal span: the driving of Peter (for) one hour is related via the given role to this span, the lapse of this hour and to nothing else. Mapping to objects holds, since every part of the driving of Peter (for) one hour corresponds to a part of the hour. A mapping to events holds as well, since every part of the hour corresponds to a part of driving Peter. If an STP event predicate applies to events such that all subevents which fall under the predicate have the same terminal point, then the predicate \textit{drive Peter a kilometer} and \textit{drive Peter (for) an hour} (with total case marking) are equally telic predicates. That is, such predicates have a set terminal point, since every subevent of a telic event of \textit{drive Peter a kilometer} or \textit{drive Peter (for) an hour} (with total case marking) has the same terminal point. The predicates in the example sentences with total case marked measure adverbials as in (4) and (5) are telic and specify a homomorphic event-object mapping, where the measure NPs resemble thematically related objects of verbs.
6.5 Arguments and non-arguments in event-object mapping
The relation that was defined in Krifka holds between events and objects that are realized as adjuncts and not as arguments in terms of syntax. Here, the Krifkan quantized event (telicity) does not relate to case marking of what is syntactically an argument of a predicate—as he himself acknowledges, see (3)—but this relation stands behind the case marking of an adjunct. Adjuncts (not syntactic objects) have total case marking if summativity, uniqueness of objects, uniqueness of events, mapping to objects, and mapping to events hold. This is a difficult situation for a lexicalist approach working with thematic roles. A verb can assign a thematic role to an argument, but it cannot assign a thematic role to an adjunct. Given the problem, more possibilities are provided by a feature-based approach, taken in chapters 8-10, as opposed to a thematic role approach.
6.6 Total objects and telicity
Total objects also occur with telic predicates other than those where there is a thematic link between syntactic objects and events; they appear in clauses that contain a predicate with a set endpoint. However, as claimed above, the semantic modeling of the relation between events and objects is not applicable with verbs such as shoot and wound, but also bake and build. Surprisingly, the total case-telicity correspondence holds for measure adjuncts. The exact semantic delineation of the telicity that plays a role in object case marking is out of the reach of this approach if the goal is to show the basic interaction between aspect, objects, case, and verbs. At the end of the day this book wishes to contribute to the understanding of the interface that connects many levels of representation. This is the novelty of the approach in this book; therefore, I integrate expertise from various subfields and I include topics that are challenging for current models.
6.7 Interim summary
In sum, from the semantic side, the condition of the telicity of the predicate, and reference to a set terminal point is a necessary and sufficient condition in a sentence related to the total case marked adjuncts and objects. Identical case marking that emerges with objects and adjuncts is a problem for lexicalist syntactic accounts working with thematic roles. How should a verb assign a total case to a non-argument? The proposal in Chapters 8-10 is to handle the total case as constructive case, and assume verbal aspectual features (attributes) for which cases provide values.
6.8 Aspect and objects: Tenny (1994)
The reason for choosing Tenny’s approach as the next step in introducing the problems of the lexicon-syntax interface is its special focus on the
relation between aspect and objects from a lexicalist point of view. After all, the Estonian object case alternation is a morphosyntactic phenomenon; the quest for its solely lexical underpinnings requires the understanding of the verbs in syntax. My interface claim is that an unbounded scale (tier, attribute) in the meaning of the verb tends to determine the presence of the internal argument (or the Object in LFG).
Tenny’s work is taken as a reference point for many lexicalist studies on aspect. On the one hand, after two chapters of discussing Estonian earlier works and data, a review of Tenny’s framework is a suitable and classic starting point for emphasizing the special nature of several Estonian aspectual phenomena and articulating the problems they raise in the context of aspectual syntax-semantics interface studies. Namely, Tenny (1994) claims that universal principles of mapping between the lexicon and syntactic argument structure are governed by aspectual properties. This claim seems to be confirmed by Estonian data, since objects and aspectual expression are clearly related. More specifically, Tenny posits a link between the presence of a direct object (direct internal argument) and the expression of certain aspectual properties such as «delimitedness» or «measuring out of events». Tenny’s terminology is discussed in further detail in 3.1.7, comparing it with Verkuyl’s terms, and spelling out the relevance of related terms in accounting for Estonian aspectual phenomena.
6.9 Aspectual roles mediate between the lexicon and syntax
Tenny introduces special aspectual roles that mediate between the lexicon and syntax. One of these roles is termed as the MEASURE role, and it is «assigned to an argument of the verb, which (in the event as described by the verb) either undergoes some internal change or motion, along a single parameter; or provides a scale or parameter without undergoing change or motion; that measures out and defines the temporal extent of the event» (Tenny 1994: 95). This role represents the link between the temporal progress and the change or traversal of the entities that are processed. It is unclear from this formulation how to understand the status of non-argument measure phrases, which measure out and define the (temporal) extent of the event. A verb may assign the MEASURE role to its argument, and a noun phrase argument may bear it in a sentence. In Tenny’s account, an equivalent to MEASURE can also be composed of the other two aspectual roles of PATH and TERMINUS, and PATH is seen as a defective MEASURE role. Given this division of aspectual roles, Tenny (1994: 106) defines two (three) verb classes in terms of a common aspectual role grid. Her classes of verbs are the following: 1) verbs with no aspectual roles; 2) verbs with a MEASURE aspectual role and verbs with an alternative to MEASURE, the PATH-TERMINUS aspectual roles (see below and in Table 6.1 for specifications). In Tenny’s classification, we have thus two large aspectually distinct classes of verbs: those that have an argument (or argument constellation, with the roles PATH-TERMINUS) that can measure out an event and those that do not have such an argument. Those that have a measure argument (or the equivalent PATH-TERMINUS arguments) refer to events with an event nucleus, that is, achievements and accomplishments, delimited events. Syntactically, the argument bearing the [MEASURE] role must always be the direct internal argument in Tenny’s approach, the argument that bears the [PATH] role may be implicit and the argument that bears the [TERMINUS] role must be the indirect internal argument. The arguments bearing any of these roles cannot be external arguments. Those verbs that have arguments that can measure out an event are divided according to the way their arguments are involved in measuring out the event.
6.10 Three verb classes: incremental theme, change of state, and path object
There are three kinds of verbs that have arguments that can measure out an event in Tenny’s account. They are divided according to how their arguments are involved in the measuring out of the event:
1. Incremental theme verbs (Tenny 1994: 15). Examples of such verbs are *eat* and *build*. *Eat (an apple)* and *build (a house)* types of verbs of creation or consumption have incremental themes. There is a final increment in the events described by these verbs, which marks the temporal end of the event. The event’s temporal terminus is achieved by progressing incrementally through the apple or the house.
2. Change of state verbs (Tenny 1994: 16). Examples of such verbs include *ripen*, *crack* and *explode* as in *ripen the fruit*, *crack the glass*, or *explode the bomb*. The event’s terminus is achieved by progressing along measurable degrees of change in a property.
3. Path object or route verbs (Tenny 1994: 17). Path object or route verbs are verbs the argument of which does not undergo any change or motion during the event. However, traversing it provides a measure for the event. Examples of sentences including path objects as discussed in Tenny are *Bill climbed the ladder* and *Sue walked the Appalachian Trail*. Tenny discusses performance or event direct arguments such as in *play a sonata* also as instances of path objects. As the end of the Appalachian Trail determines the end of the walking, the end of the sonata determines the end of the playing event. Increments of the object may be associated with temporal increments of the event. Unlike incremental theme objects, path objects do not necessarily undergo a change during the event.
Here I flesh out the types briefly with some examples of Tenny’s verbs in Table 6.1.
Table 6.1 The typology of Tenny’s verbs with their aspectual role grids and examples as in Tenny (1994: 108)
| Verbs | Verbs and aspectual roles |
|----------------------------------------------------------------------|---------------------------|
| 1. Verbs with no aspectual roles are unergative, some transitive | pound: |
| verbs, stative verbs | study: |
| | push: |
| | run: |
| 2. verbs with a MEASURE aspectual role, unaccusative and transitive. | eat: |
| 2a. For verbs that ambiguously specify a delimited or non-delimited | [MEASURE] |
| event, the measuring roles are optional: here are incremental-theme | [MEASURE] John ate apple |
| verbs like eat. | in an hour. |
| | [ ] William ate the same |
| | apple for hours. |
| 2b. other incremental-theme verbs (build), and pure change of state | build: |
| verbs (ripen, freeze, crack) are not ambiguous, and their MEASURE | ripen: |
| aspectual roles are not optional. | freeze: |
| | crack: |
| 3. verbs with a PATH-TERMINUS aspectual role grid (walk, play, push) | walk |
| and Path-object verbs | [PATH, TERMINUS] |
| | [ ] Susan walked for |
| | hours. |
| | [PATH, TERMINUS] |
| | explicit terminus, implicit path: |
| | Susan walked to Canada |
| | in sixty days |
| | Implicit terminus, explicit path: |
| | Susan walked the Appalachian Trail in sixty days |
| | Explicit terminus, explicit path: |
| | Susan walked the Appalachian Trail to Canada in sixty days. |
| play | [PATH, TERMINUS]³ |
| | [ ] Martha played the |
| | sonata for hours. |
| | [PATH, TERMINUS] |
| | Martha played the sonata |
| | in twenty minutes. |
| | (Tenny 1994: 108) |
| Verbs indicating an enforced change of location | push |
| | [(PATH, TERMINUS)] |
| | [ ] Bill pushed the rock |
| | (but it would not move). |
| | [PATH, TERMINUS] |
| | Bill pushed the rock to |
| | the top of the hill. |
| | Tenny (1994: 108) |
6.11 Measuring arguments are not always realized as direct internal arguments
Despite the fact that the described hypothesis explains much data, there are reasons to argue for a more fine-grained approach to the syntaxlexicon interface. The following discussion provides examples of Estonian sentences that suggest a revision of the strong hypothesis of Tenny (1994). Here is a list of data that are problematic in a potential analysis.
1. Aspectual sentences without direct internal arguments (*tutvuma* ‘get acquainted’).
2. Sentences with verbs with an experiencer (agent) and theme argument\(^d\), where it is the theme argument that is realized as the (total) object and not the experiencer, which is the argument that undergoes an internal change and should, therefore, provide the measure for the event: *andestama* ‘forgive’, *unustama* ‘forget’.
3. Some of the data on the aspectual particles are puzzling. They suggest, on the one hand, that the Estonian bounding particle *ära*, which can combine with verbs with no measuring argument\(^5\), is not the kind of particle that is clearly covered by Tenny’s account of particles. This particle is not covered by Tenny’s theory, as her examples of Russian verbal aspectual morphology are. On the other hand, the non-argument related expression of measuring out and delimitedness in sentences with this particle and its relation to total case marking suggests that the exact lexical nature of the concepts of delimitedness, measuring out, and their relation to arguments must be revised.
4. The total (accusative) object of non-measuring arguments of verbs such as *andma* ‘give’ or *lükkama* ‘push’, as in *andis Marile raamatu* (TOT) ‘s/he gave a book to Mary’, *lükkas käru* (TOT) *poodi* ‘s/he pushed this cart to the store’. These accusative objects are non-measuring arguments, and are therefore problematic for Tenny’s account of Finnish, where the distribution of accusative and partitive case should reflect the presence and absence of measuring arguments.
5. The partitive object case that appears in sentences with a measuring argument describing a delimited event (surprise achievements, such as *üllatama* ‘surprise’) is another piece of evidence of unexplained relations between arguments, case, measuring out, and delimitedness.
Many additional problems of Tenny’s account are pointed out in various sources; see Jackendoff (1996) for several examples. I discuss these problematic points of Tenny’s theory for the Estonian data in more detail to prepare the ground for an approach that would fit the data better\(^6\).
A closer look at the Estonian data shows that Tenny’s widely accepted aspectual interface hypothesis is too strong. Also, many of her formulations are simply not clear in view of Estonian phenomena. Despite the fact that a fair majority of Estonian data seems to confirm Tenny’s hypothesis, Estonian and its various means of aspectual expression allow for a more fine-grained study of the interface between syntax and semantics. Thus, there are data that suggest a revision of the hypothesis. In the following passages I give detail to the list of problematic data above.
Firstly, there are examples without any direct object that, contrary to expectations, are compatible with Tenny’s criteria for delimitedness and measuring out, for instance, *tutvuma* ‘get acquainted’, as in (6).
(6)
Mari tutvu-s Kati-ga.
M[NOM] acquaint-PST.3S Kate-COM
‘Mary got acquainted with Kate.’
Secondly, the relations between delimitedness, object case that is expected to be connected to the measure argument, verbs, and particles present a wider array of data than Tenny’s theory can capture, necessitating a different approach to aspectual phenomena. For instance, there are sentences with an experiencer and a theme argument. It is the theme argument that is realized as the (total) object and not the experiencer. This situation is unexpected under Tenny’s account, because it is the experiencer that undergoes an internal change and should, therefore, provide the measure for the event and encode an accusative NP. A couple of examples: *andestama* ‘forgive’ and *unustama* ‘forget’ are demonstrated in (7). Unexpectedly, the non-measuring object carries measure marking, the accusative-total.
(7)
a. Mari andesta-s selle/#se-da oma sõbra-le.
M[NOM] forget-PST.3S it.TOT/it-PTV her friend-ALL
‘Mary forgave it to her friend.’
b. Mari unusta-s oma sõbra / #sõpra.
M[NOM] forget-PST.3S her friend.TOT friend.PTV
‘Mary forgot her friend.’
The total (accusative) object of non-measuring arguments of verbs such as *andma* ‘give’ as in (8a) or *lükkama* ‘push’, as in (8b), are problematic for Tenny’s account of Finnish as well as her potential analysis for Estonian. Their parts are not related to the temporal measure of the event. Contrary to expectations, they still encode measure by the accusative-total.
(8)
a. Toomas and-is Mari-le raamatu.
T[NOM] give-PST.3S M-ALL book.TOT
‘Thomas gave the book to Mary.’
b. Toomas lükka-s selle käru poodi.
T[NOM] push-PST.3S this.TOT carriage.TOT store.ILL
‘Thomas pushed this cart to the store.’
The theory predicts that the distribution of the accusative and partitive case should reflect the presence (-accusative or partitive) and absence (-no accusative) of the measure aspectual role and the existence (accusative) or the lack (partitive) of delimitedness. It would be contrary to expectations to find the partitive object case on the measuring argument in a sentence describing a delimited event. However, this is exactly the situation with verbs such as *üllatama* «surprise», as in (9). The event is delimited, the object is a measuring argument, still it does not bear accusative. This is the surprise-partitive, the partitive object of verbs such as *üllatama* «surprise» that we would expect to emerge with a non-partitive object.
(9)
Mari üllata-s Jüri-t/ #Jüri.
M[NOM] surprise-PST.3S J-PTV/ #J.TOT
«Mary surprised George.»
This is another piece of evidence of unclear relations between arguments, case, measuring out, and delimitedness. It is clear that some kind of alternative is needed.
A thematic role based approach cannot be adopted. It is a widely accepted fact that the thematic role of «incremental theme» is aspectually relevant, as illustrated in Sections 6.1–6.7. It occurs with verbs that can express aspectual oppositions depending on their object’s quantification. However, the presence of a quantized incremental theme argument is not a sufficient condition for delimitedness and the total object case realization. For instance, the incremental theme verbs *kirjutama* «write» or *sööma* «eat», as opposed to *lugema* «read», have total objects in contexts without a contrastive focus or an aspectual particle in the example in (10).
(10)
a. Mari kirjuta-s raamatu.
M[NOM] write-PST.3S book.TOT
«Mary wrote a book.»
b. Mari kirjuta-s raamatu-t.
M[NOM] write-PST.3S book-PTV
«Mary wrote/was writing a/the book.»
c. Toomas sõ-i võileiva.
T[NOM] eat-PST.3S sandwich.TOT
«Thomas ate a sandwich.»
d. Toomas sõ-i võileib-u.
T[NOM] eat-PST.3S sandwich-PTV.PL
«Thomas was eating sandwiches.»
The verb *lugema* (read) can only have a total object if there is a contrastive focus as in (11c) or an aspectual particle as in (11b) or a resultative phrase (as in 11a) in the clause.
(11)
a. *Ta luge-s raamatu kapsa-ks.*
s/he read-pst.3s book.tot cabbage-tra
<S/he read the book so that the book looked like a cabbage.>
b. *Ta luge-s raamatu läbi.*
s/he read-pst.3s book-tot prt
<S/he read the book (through, completely).>
c. ??*Ta luge-s raamatu.*
s/he read-pst.3s book.tot
<S/he read the book; he chose a book to read.>
Given these data, the aspectual interface hypothesis is definitely way too strong. It is a question if a thematic role account would provide a solution for the problem (cf. the discussion of Krifka and incremental themes).
6.12 Aspect and object case: Ackerman and Moore (1999, 2001)
Despite these substantial shortcomings that Tenny’s framework has with regard of the Estonian data, it provides a model for separating the types of aspectually relevant features in the lexical entries and their relation to lexical representations. Clearly, the relationship between measuring out of the events, mapping to arguments, and mapping to concrete morphosyntactic encoding is not as strict as proposed by the aspectual interface hypothesis. Can some of these problems be solved if measuring out is envisaged on two aspectual (measuring) tiers that belong to the lexical items? The different types of boundedness (delimitedness) should be separated from the arguments’ properties, and to some extent, from the verbs’ lexical properties as well. Crucially, Tenny’s hypothesis allows me to bring out the difference between the lexically (verbally) specified scale and measure tiers but not more than that. Tenny seems to be concerned with the scale tier only, the tier that encodes change lexically, but she treats it as if it were a measure tier, a simple measure connected to an argument that in turn is connected to the temporal tier. A lexically specified measure tier (for an hour, three kilometers) is less likely related to argument encoding and is irrelevant for mapping to direct internal arguments. A lexically specified but unbounded scale tier is much more relevantly related to the presence of internal arguments and objecthood; but again this is not a necessary or sufficient condition for accusative marked arguments either.\(^7\)
A proposal to assume many thematic («proto-») role entailments that are involved in aspectual object case encoding is developed in Ackerman and Moore (1999, 2001). My claim is that Estonian aspectual case cannot be accounted for in terms of case assignment that is based on thematic roles, since it concerns both arguments and adjuncts (adverbials) and interacts with aspectual particles. Also, my interface claim is stronger than theirs in that an unbounded scale (tier, attribute) in the lexical representation of the verb is seen to determine the mapping to direct internal argument.
Ackerman and Moore (1999, 2001) include an aspectual role as part of thematic (patient) proto-roles. These authors share the views of Tenny about an aspectual role mediating between semantics and syntax. However, they differ from Tenny in giving a more precise account of object encoding phenomena and case phenomena. Ackerman and Moore envisage two levels of proto-role and hierarchy-based encoding; one leads to objecthood, and the other leads to object case encoding, explaining morphosemantic alternation. Ackerman and Moore (2001) thus do not support the aspectual interface hypothesis. However, for object case encoding (morphosemantic alternation), the aspectual proto-patient entailment is relevant.
Thus, the aspectual role or predicate entailment of telicity (Ackerman and Moore 1999) or boundedness (Ackerman and Moore 2001) plays a crucial role in the selection of the morphological case of an object but not in the encoding of an object as such. Intuitively, this is correct. The aspectual role serves as part of the entailments that determine case encoding in terms of the case hierarchy of Blake (2001). These authors are further relevant, since they discuss Estonian. As an innovation introduced on the basis of Estonian, Ackerman and Moore (2001) enrich Blake’s hierarchy with the partitive case, which is placed lower than accusative (genitive-nominative) in the case hierarchy. The more proto-role entailments there are, the higher up in the hierarchy is the encoding of the case. Thus, having the aspectual entailment results in the encoding of the genitive-nominative (total) case in Estonian. Further, the alternative cases (the partitive vs. genitive-nominative) are assigned by separate but related predicates that have a different number of proto-patient entailments.
The line of research in my approach is similar to that of Ackerman and Moore (2001) in being predicate based, giving special emphasis to morphological case and explaining the difference between the two types of case in terms of lexical aspect. Thus, I agree with their account in that there is one level of operations and one set of features that determine verb frames, and there is another level of operations and another set of features that are related to the concrete object case. I disagree with these authors in assuming more interdependence between these two levels. In fact, Ackerman and Moore’s account has three proto-roles that matter for object case encoding: bounding entity, incremental theme, and change of state. In my account, the equivalent of Ackerman and Moore’s bounding role is a feature that is encoded in the entry of the total case.
(or a particle). However, in contrast to their system, where verbs specify a bounding entity, transitive verbs in my system can specify only an incremental theme entailment like attribute (measure attribute) or a change of state and incremental theme entailments like attribute (scale attribute). The feature that is similar to the bounding entity entailment is specified by the case or by the aspectual particle as a feature-value pair. The consequence is that if a verb specifies an attribute that bears similarity to incremental theme or change of state as having a value lexically, the wellformedness conditions in LFG ensure that the verb cannot occur with the total case marking.
As a difference, an aspectual feature, more specifically, the feature that is similar to the incremental theme entailment is related to adverbial and measure adverbial case in my approach. Capturing adverbial and object case is a challenge for a lexicalist approach. In order to solve the problem of case assignment to non-arguments, case in general has been given an active role in my approach. The thematic role approach is not followed.
As opposed to the general similarities in understanding the aspectually important elements in verb meaning (and the crucial differences in modeling them), the combinations of verbs and particles are understood and modeled differently than in Ackerman and Moore (2001). The combinations of the particle type called completive particle may be regarded as a result of a productive resultative rule that derives predicate complexes from transitive and intransitive verbs, which is similar in spirit to Ackerman and Moore. Differently, the resultative rule does not automatically introduce the bounding entity proto-patient role entailment, but it adds only a special semantic specificity constraint on the complement and an existential constraint of the scale attribute. Therefore, the assignment of the total case is not as tightly related to the predicate complex as in Ackerman and Moore. More importantly, combinations of verbs and the particle type called the bounding particle are not regarded to be a result of a productive resultative rule. Those combinations are not brought about by a lexical rule; they are free combinations and their features interact with case features instead of verbal features (Tamm 2004c).
**Thematic roles related to aspect.** The lexical, argument structural approach to aspect is exemplified by the approaches of Ackerman and Moore (1999, 2001) and Tenny (1994). For Tenny, the interface is regulated by a structure that is similar to thematic structure in that syntax «sees» only roles; she claims that it is not exactly the thematic roles but what she calls aspectual roles that are «visible to syntax». Ackerman and Moore (1999) and (2001) include an aspectual role as part of thematic proto-roles. These authors thus have basically the same view about an aspectual role mediating between semantics and syntax, but they differ from Tenny in accounting for the object encoding phenomena and case phenomena at two levels. Ackerman and Moore envisage two steps of proto-role and hierarchy-based encoding; one leads to object encoding and the other leads to object case.
encoding. In step one of object encoding (this would be comparable to the mapping function $\lambda$), the «bounding entity proto-patient entailment» has no relevance. In step two, the bounding entity proto-patient entailment is relevant and serves as part of the entailments (Dowty 1991) that motivate the encoding of the case towards a position that is found higher up in the hierarchy.
Object case is realized via a procedure regulated by «paradigmatic selection principle». How this principle works is illustrated in an analysis about Estonian predicates that are traditionally seen as being able to assign both object cases. These predicates are split in two related predicates. The two (related) predicates differ from each other in the number of Dowty's proto-property predicate entailments. Depending on the number of the corresponding proto-property entailments, the objects differ in obliqueness. The selection for case is constrained on a case hierarchy, as mentioned above. Objects of related predicates that are based on less oblique, more «prototypical» arguments are morphologically encoded with a case that is higher in the hierarchy, and vice versa. One example of their lexicon entry is illustrated below in (12) on the basis of the verb *ehitama* «build», where $x$ stands for an argument slot, PA for protoagent and PP for protopatient properties:
(12)
\[
\begin{array}{ll}
\text{ehitama}_a & \langle x_1, x_2 \rangle \\
\langle \text{build} \rangle & \text{SUBJ} \\
& \text{DO} \\
& \text{partitive} \\
\text{ehitama}_b & \langle x_1, x_2 \rangle \\
\langle \text{build} \rangle & \text{SUBJ} \\
& \text{DO} \\
& \text{genitive}
\end{array}
\]
Example (12) from Ackerman and Moore (2001: 98) illustrates how the total case is realized on the argument that has more proto-property entailments than the argument that has less. The argument with less proto-property entailments is encoded with the case that is one step lower in the relevant case hierarchy: partitive. The aspectual role that makes the difference is here the bounding entity.
There are two basic reasons why this analysis is not followed for object and adjunct case. Intuitively, the type of aspectual information that relates to object case in Estonian is independent of the thematic roles, since verbs allow for object case alternation in NPs that have otherwise an identical thematic role. Object case is intuitively more independent of the lexical semantics of the verb and more a matter of grammar than a matter of thematic roles. Second, total case marking on adjuncts (adverbials) suggests an
analysis that (at least partly) is independent of argument structure, since adjuncts are not part of argument structure. The more intuitive angle is not from the predicate to case encoding, but from case encoding to predicates. The two solutions that are available are the following:
1. To include what are realized as measure adverbials (adjuncts) in c-structure as arguments, that is, to extend the typology of arguments. Extending the typology of arguments on the basis of case marking and a special bounding role is possible, but, however, does not seem to make further independent predictions that would justify the consistence of the possible new syntactic argument type. Moreover, some properties of arguments that are used for defining their class (such as their obligatory nature) disappear. This option is dropped.
2. An alternative account relies on the possibility that certain semantic and lexical constraints interact with case marking, and case itself is more directly related to grammatical features.
6.13 Elaborated argument structures with an aspectual tier
6.13.1 Aspect between structures
The expression of aspect on constituents other than verbs is a problem for lexicalist approaches, where sentential grammatical features are associated with verbs. LFG adopts the so-called «Grammatically Relevant Subsystem» hypothesis (Dalrymple 2001: 197): only those semantic features that are represented at argument structure are relevant for syntax. Therefore, the semantic basis that serves for Estonian aspectual case assignment would be (preferably) modeled via the argument structure in standard LFG. For a verb or a predicate, argument structure contains the specification of the number and types of arguments that it requires for wellformedness.
There are many levels of representation that are regarded across various theories to encode aspectually relevant information, such as conceptual structure (e.g., Jackendoff 1990, 1996), lexical conceptual structure (e.g., Levin and Rappaport 1995; Butt 1997), and argument structure (e.g., Grimshaw 1990). My approach departs from the general view held in LFG that semantics, also aspectual information, interacts with syntactic information solely via argument structure (cf. Dalrymple 2001, see her Chapter 8 on argument structure and references therein). The following subsection reviews the debate on argument structural aspect encoding.
This subsection proposes a location for representing the aspectual information in LFG. It argues against an argument structural encoding of aspect and proposes a scattered model of aspectual encoding instead. Previous chapters have recorded that Estonian verbs allow for considerable aspectual freedom. Aspectual information must be, therefore, only partly fixed in the lexicon.
Several other works in LFG or related theories opt for a more argument structural model to capture the aspectual properties of the sentence. In LFG (and lexicalist approaches), aspect is occasionally captured in the lexical
conceptual structure (Butt 1996, 1997) as in the LCS of the verb *give* (3). Butt adopts the format of the Lexical Conceptual Structures of Jackendoff (1990) and terms this structure an elaborated argument structure (Butt 1997: 129). The tier of interest here is the aspectual tier in the third line in the inner box of (3), and this line is Butt’s innovation compared to Jackendoff (1990). The three slots stand for inception, duration, and completion.
\[
(3) \begin{bmatrix}
\text{give} \\
\text{CS}([\alpha], \text{GO}_{\text{PERS}}([ ], \text{TO}[\beta])) \\
\text{AFF}^*([ ]^e), \\
\text{ASP}(., ., .)
\end{bmatrix}
\]
EVENT
As another interesting fact, most of the verbs do not specify the slots and the elaborated argument structure is filled in the aspectual tier mainly in the course of complex predicate formation. However, the problems of object case cannot be smoothly solved at this level, since the specification of the aspectual slots does not predict everything about the object case: if a verb is «completive», its object’s case is not necessarily total, whereas a verb that has a specified duration slot has a partitive object (naturally, if transitive). These facts suggest that it is not advisable to locate all object case induced aspectual information in argument structures but allow for more flexibility.
6.13.2 Functional specifications instead of thematic structural aspect
This book assumes a non-thematic structural aspectual link between syntax and semantics. Aspectual information takes the form of functional specifications in lexical entries. It is possible that the relation between the features proposed here and the argument structure can be better articulated. However, the study on Tenny in Sections 6.8-6.11 has yielded an understanding that the correlations between argument frames and aspect (delimitedness, measuring out) are not reliable and can be regarded as tendencies. The occurrence unbounded scale correlates with the verbal meaning element of direct internal arguments. On the other hand, works such as Nordlinger and Sadler (2004) provide an account for clause aspect as being encoded in dependent marking, and no link to argument structures is assumed. Toivonen (2001) uses features and underspecification to account for particle phenomena, but aspectual case is not involved.
The problem of earlier LFG work on aspect is that it either concentrates on clausal aspect (and clausal features) or event structures (and verbal aspect). In contrast with earlier LFG approaches, my approach wishes to demonstrate how Estonian aspectual case is a clausal aspect phenomenon that is constrained by verbal aspect. The constraints imposed on clausal aspect by the verb, particle, and object determine the aspectual composition of a clause, depending on each other. LFG is a suitable approach since it is designed to allow languages to differ from each other in terms of the types of semantic information relevant for their grammars, also allowing for differences in lexical, periphrastic, or grammatical encoding. This is an advantage, since, as mentioned, Estonian seems to use principles of the aspectual systems of many languages.
The previous section argued against an argument structural encoding of aspect. This section has proposed that the location for representing the aspectual information in LFG is spread across c-structure elements, in features associated with case, verbs, and particles. Verbs and particles are well-known carriers of aspectual features, and NP quantification has enjoyed some attention (Verkuyl 1993; Kriška 1992), but case has not received the attention it deserves in aspectual studies. In order to integrate the case in the overall system, the following chapters shed more light on the status, role and possibilities of representation of Estonian case within LFG.
Endnotes
1 See Metslang (2007) for more typological information on this topic.
2 Tenny does not make a linguistic difference between achievements and accomplishments, and the argument of the verb explode measures out an event as the verb eat (as in eat an apple) does. An example about the pragmatic nature of the accomplishment-achievement nature is that of a bomb exploding in a slow-motion film. Tóth (2009) discusses the relevance of the accomplishment-achievement distinction for Hungarian predicates and their linking properties.
3 The function of the parenthesis is to show the non-obligatory nature of the roles.
4 However, if several positions of internal argument are assumed, cf. Belletti and Rizzi (1988), some of these phenomena find a solution. In those approaches, there are two internal arguments.
5 Metslang: «The sentence Ma suudlesin ta ära (literally <I kissed her off>) could be said if one has made a bet to kiss the girl» (Metslang 2001: 449).
6 There is something puzzling about the relationship between transitivity, agentivity paired with patientivity, and aspect. It would be an idea to study verbs that have transitive and intransitive readings and their aspectual realizations. It seems that degree achievements are different in defaulting towards boundedness, while other intransitives do not. There is a recent tendency to form intransitives from traditionally transitive verbs, which are best understood perhaps as new unergatives. Here is a corpus example, where I translate the relevant part. Tüdrukud soovivad oma east vanemad välja näha, nõuvavad suuremat vabaddust ning näljutavad, et vastata moejoonele ja saledad olla. ‘Girls want to look older than their age, are requiring more freedom and starve in order to comply with the fashion and to look slim’. There is already an existing intransitive lexical item for these thematic roles, nälgivad ‘they are starving’. While nälgivad ‘they are starving’ can be involuntary or agentive, näljutavad ‘they are starving’ is causative (in standard use, it would be transitive), and the agent and the patient coincide.
7 Another reason for introducing the framework and terminology of Tenny (1994) is the discussion of aspectual particles, of which there are many in Estonian. On the one hand, the different status of a type of Estonian aspectual particle is clearly revealed, since it can be shown that this particle falls out of the scope of Tenny’s theory. On the other hand, the fact that delimitedness (and total object case) is not determined by the role grid of the verb but rather depends on the presence of the aspectual particle suggests that there must be a better alternative to a
verbal aspectual role based approach. In addition, some of the particle data suggest that the Estonian bounding particle *ärä*, which can combine with verbs with no measuring argument, is not the kind of particle that is clearly covered by Tenny’s account of particles.
7.1 Lexical aspect in Kiparsky’s accounts
Splitting aspectual boundability in more dimensions than one follows the ideas expressed by Kiparsky (2001b) and Jackendoff (1996). Actually, Tenny (1994) presents a related proposal. In her account, syntactically relevant aspectual distinctions are defined in terms of one tier of internal change, where internal change encompasses several concepts. On several occasions she distances herself from terms such as endpoint-related telicity, acknowledges the existence of aspectual data that are left unanalyzed, and stresses the irrelevance of durativity for aspectual interface. Doing so, Tenny separated the lexically relevant B1 tier from other possible dimensions of aspect. Her claim can be translated, in this respect, into the idea that there is a special B1 tier that is relevant for aspectual interface, and this tier is lexically fixed. Tenny deals with verbs that specify what is defined here as the B1 attribute; these verbs have a Measure role in their aspectual role grid. Comparing my account to hers, some of the data covered in my approach by the feature $B1 = MAX$ would equal to delimitedness with verbs with the Measure role. However, the relation between the lexical information and delimitedness is not defined precisely enough for the purposes of my approach. In a way, my approach divides Tenny’s measuring scale in two concepts: measure (B2) and scale (B1).
Jackendoff points out that the measuring out of events is not necessarily related to thematic-role like aspectual roles and internal argumenthood. However, differently from the dimensions described in Jackendoff (1996) and similarly to the dimensions presented in Kiparsky (2001b), here only those dimensions are studied that are directly relevant for grammar. Relevance for grammar is understood as a concrete grammatical form corresponding to of a semantic distinction, here, thus, more specifically, as Estonian case marking. For instance, the semantic distinctions that are involved in the emergence of effects in sentences of the type *He entered the icy water slowly* or *The train arrived for two minutes* or *The parade passed the tribune for an hour* will not be addressed, since here the semantic effects have no corresponding grammatical effect in Estonian. There is no case alternation effect. Jackendoff’s approach is centered on the effects of the dimensional properties of the arguments, which do not play a role in case encoding for Estonian. Semantic notions that are relevant for grammatical encoding are discussed in Kiparsky (2001b).
To some extent, some of the transitive verbs that are defined here as specifying the B1 tier correspond to what Kiparsky (2001b) defines as verbs that have a degree variable; these are accomplishment and degree achievement verbs. Verbs that are defined here by their B2 tier correspond to Kiparsky’s idea of one of the different dimensions. Kiparsky (2001b), an approach to Finnish partitive, is based on the distinction between predicates with and without a degree variable. In Kiparsky’s view, telic predicates have partitive objects if they have an existentially bound degree variable. In this approach, verbs assign case on the described semantic basis. The head of a predicate that contains an existentially bound degree variable assigns partitive case.
As it is now, Kiparsky’s account is too sketchy to make a comparison about how his hypothesis fares in Finnish as opposed to Estonian. First of all, Kiparsky’s empirical motivation behind assuming a degree variable in some predicates needs to be clarified: what is the linguistic evidence for gradability, having a degree variable? How are gradable predicates different from Verkuyl’s ADDTO verbs or Krifka’s verbs with the incremental theme role? Kiparsky gives examples of degree adverbials that yield different results with verbs, depending on the verbs’ gradability (Kiparsky 2001b: 9). Distribution with the degree adverbials shows that there are two classes of predicates in Finnish, the gradable ones (1) and the non-gradable ones (2), presented with the tests as in Kiparsky (2001b: 9).
(1)
shoot at a bear some more
touch the vase slightly
modify the password radically
How much did you study the theorem?
use the book a bit
protect the necklace considerably
love Bill enormously
want this copy very much
fear the outcome greatly
These examples contain predominantly activity, accomplishment and some state verbs. Non-gradable verbs are incompatible with these degree sensitive adverbials, illustrated in (2).
(2)
#kill the bear some more
#buy the vase slightly
#remember the password radically
#How much did you prove the theorem?
#finish the book a bit
#contain the necklace considerably
#marry Bill enormously
#own this copy very much
#know the outcome greatly
These are state and achievement verbs. The testing adverbial set may need refinement, since even if *kill the bear* cannot combine with *some more* or *slightly*, it can combine with *radically*, for instance.
Recapitulating, Kiparsky’s idea of accounting for the Finnish case phenomena relies on the ability of a predicate to have a degree variable. To be more specific, this ability of the predicate is termed as gradability, which is associated with the level of the VP: «Finnish case marking depends on the *gradability* of the VP’s denotation» (Kiparsky 2001b: 9). In addition to the verb, several adverbials can add gradability to the VP. Kiparsky (2001b: 9-10) names some dimensions of gradability and some adverbials that pertain to the different dimensions.
1. Degree to which result state is achieved, e.g. *shorten the rope* (to 10 meters, to half its length), *clean the kitchen* (superficially, thoroughly).
2. Degree of change, e.g. *shorten the rope* (by little, by 50 cm).
3. Amount of the theme argument involved, e.g. *see the bear*, *cross the desert* (in part, fully).
4. (Intended) duration of the result state, e.g. *lend the book* (briefly, overnight, for a month).
5. Duration of event (durative, iterative, progressive), e.g. *kill the bear* (quickly, slowly), *drop the ball* (repeatedly, all the time).
Case depends, as the next step, on the binding of degree variables. In the following example (3), actually, Kiparsky regards the binding of a variable that belongs to at least one of the illustrated dimensions as relevant for the partitive object case assignment.
(3) Finnish
\[
\begin{array}{ll}
Hän & ava-si \quad ikkuna-a. \\
s/he & open-pst.3s \quad window.ptv \\
\end{array}
\]
1. «He opened the window» (to x degree of openness)
2. «He opened the window» (by x amount)
3. «He opened the window» (x much of it)
4. «He opened the window» (for x amount of time)
5. «He was opening the window» (during x stretch of time)
6. «He opened the window» (x times)
The interpretations correspond to the different dimensions. However, not all verbs allow for all dimensions: «The temporal dimension (4), (5), (6) seems to be available only for events…The x’s can be fixed by explicit measure phrases, inherent lexical properties, and/or contextual inference… If all are fixed, partitive is excluded» (Kiparsky 2001b: 10). Before proceeding with the account proposed in the following sections, I list some preliminary observations.
While the degree of intensity is an important factor in conditioning Finnish case according to Kiparsky, the degree of intensity with achievement and state verbs fails to formulate a basis for predictions about case in Estonian. Consider the example killed the bear in combination with radically: this achievement verb still appears with the total object.
Otherwise, Estonian verbs yield similar results in the tests, but the case encoding facts differ: know the outcome greatly is as anomalous in Estonian as it is in Finnish. Kiparsky takes this fact as evidence about the lack of gradability in the meaning of the Finnish tietää <know>. The prediction of Kiparsky’s hypothesis is that the verbs that lack a degree variable cannot be bound and cannot assign partitive. This prediction is borne out for Finnish but not for Estonian, where the verb teadma <know> appears only with the partitive object. Tamm (2012) proposes an alternative epistemic modal account for the accusative object with the verb tietää <know>. Case marking of the objects of state verbs diverges in Estonian and Finnish, which suggests that case-marking cannot be explained with reference to semantic gradability distinctions only. Cross-linguistic variation in case assignment to objects of identical verbs shows that case is related to different kinds of lexically fixed scales.
Kiparsky does not notice the striking fact that the expressions that bind the variable in his examples appear with accusative case marking. Nelson (2003) points out this tendency about accusative temporal adverbials.
There are many issues that remain unclear; for instance, the question of how to test the fixing of all of instances of «x» simultaneously in Kiparsky’s account: for the accusative case to be assigned, all the instances of «x» must be fixed. It is not clear what this means. Presently, no other evidence than the observation of appearance with the accusative object case is given; assuming the case to be evidence leads to circularity in explanation.
However, related to the previous point, there is an argument for following Kiparsky’s approach. It concerns analyzing the combinations with the bounding particle ära, which occurs with atelic or durative verbs together with a total object. If I hypothesize that the bounding particle ära provides the binding of all degree variables in the VP and assume with Kiparsky that the degree variables can be contributed by several elements in the VP, then, following Kiparsky, the prediction is that the object is total in a sentence with a bounding particle. The prediction of this hypothesis is borne out. For instance, see the verb suudlema <kiss> with the total object and the bounding particle ära in (9) and the proof about its classification as a partitive verb in Subsection 4.3, verb list (30). The total (accusative) case is assumed to emerge when all the degree variables in VP are bound, whether lexical or not.
Basically, the problem is that the account on dimensions of «x» is not worked out in sufficient details to build upon it or to clearly compare the Estonian data with it. I adopt the idea that verbal meaning determines the different dimensions and that these dimensions can be accessed separately for bounding. I confine my account to two dimensions and I study primarily verbal aspect in interaction with case. The choice for two dimensions is motivated by the fact that an account of these dimensions enables the
coverage of a larger and more central set of data. These two dimensions differ in their properties. Scale is the only dimension that encodes a change of a property (encoding quality change, a scale), whereas measure, and as I assume, the rest of the dimensions, encode progress that is measurable or countable in terms of time (times) or space (encoding quantity change, a measure, cf. example 3). Also, if measure can be a lexically specified attribute, it does not exclude that this attribute can be specified by something else than the lexical entry. The aspiration here is to capture the basic facts first and provide an approach that can be extended.
After relating the earlier discussion on boundedness and dimensions of boundedness to the attributes *scale* and *measure* that are used in this approach, chapters 8–10 describe how these notions are implemented in the LFG account.
In sum, the thematic or aspectual role based and argument structural approach to lexical aspectual encoding is not taken as the basis for the account of Estonian aspect in this book. Here, a spread or «scattered information» model of aspectual information is adopted; this model can be implemented within the LFG framework.
*Change as opposed to simple temporal progression*. My study shows that language distinguishes change and simple temporal progression in its lexicon. Thus, here I present a feature system where a verb entry specifies the type(s) of dimension encoded in the verb meaning. The linguistic evidence for different features is twofold. First, it comes from the difference in grammatical function of the NPs that bear the total case as a marker of boundedness. The reflection of the boundedness of the first tier («scale») is primarily object morphology; the reflection of the boundedness of the second tier («measure») is primarily non-argument morphology. The boundedness of the dimensions or tiers can be encoded by identical morphological means, the total case. Second, additional evidence for the lexical encoding of two different aspectual tiers is provided by the lexicon, the semelfactive and degree achievement verbs. Some verbs (momentaneous, semelfactive verbs) encode an event of minimal progression in time (duration) without any relevant change. On the contrary, others (degree achievements) encode an event of minimal change, whereby the temporal dimension is lexically irrelevant.
Transitive verbs that are traditionally called telic cannot be regarded to be associated with exclusively quantized, non-homogeneous reference (telicity) in Estonian. Intuitively, only one part of the composite information that leads to telicity in the semantic structure is present in a simplex verb’s entry. In my approach, the boundedness features that correspond to semantic telicity are, therefore, composite. In Chapter 8 this insight is captured as an existential constraint in the lexical entry, which secures the attribute part of the attribute-value pair in syntax. The existential constraint provides a way to fix the dimension, the type of change in a verb’s entry. This device thus represents the ability of an Estonian transitive verb to refer to telic events. The other part of the composite information—the values for the attributes—is provided by particles, verbs, or case. The values that are related to clausal
perfectivity are included in the lexicon in the entries of a case or a transitive verb, but crucially, the values that are related to the telic interpretation do not stem from the entry of a verb. According to the values of the attributes called «bounded», the semantic interpretation is perfective, telic and perfective, or neither in Chapter 8 and in Tamm (2007c, 2008), Chapters 9 and 10 offer a more finegrained tier system and the details of verb classification.
7.2 What is a scale: Lexical aspect in Levin, Kennedy and McNally
Hay, Kennedy and Levin (1999) describe the scalar structure of the base adjective and its relation to the derived verb, which is a degree achievement verb.
Hay (1998) and Hay, Kennedy and Levin (1999: 135) divide adjectives into closed range and open range adjectives. The two classes are distinguished according to the structure of the scale that the adjectives map their arguments to. The closed range adjectives are associated with a scale with a maximal value (*straight, empty, full, dry, flat*), the open range adjectives are associated with a scale where no maximal values can be established (*long, wide, narrow, short, slow*). The closed range adjectives accept modification with modifiers such as *completely* (*completely straight, empty, full, dry, flat*); the open range adjectives do not (#*completely long, wide, narrow, short, slow*). The verbs derived from closed range adjectives are telic, as witnessed by their failure in the progressive-perfective test: it does not follow from *The clothes are drying* that *The clothes have dried*. The verbs derived from open range adjectives are atelic, as witnessed by their suitability in the progressive-perfective test: from *His eyes are widening* follows *His eyes have widened*.
Kennedy and McNally (2005) demonstrate another scale-based analysis of derivation, from verbs to adjectives. They observe that telic verbs with incremental theme arguments derive adjectives (participial forms) with closed scales (*completely/half eaten cookies*). Atelic verbs with incremental arguments derive adjectives (participial forms) with closed scales (*a completely/partially kissed/met/punched young man*). In Kennedy and McNally’s account (see the quote in 4), in derivation, the semantics of the adjectival participles preserves the degree to which their arguments have participated in the event. The degrees on the scale correspond to the incremental parts of the argument involved in the event of the verb that serves as the derivation base.
(4)
[I]t is precisely the homomorphic relation between the incremental theme argument and the corresponding event that is responsible for the scalar properties of adjectives derived from this class of verbs. Specifically, since such adjectival participles measure the degree to which their arguments have participated in the event described by the source verb, their scales should have minimal and maximal values defined as follows: the minimal degree on the scale represents participation in a minimal (sub)event of the appropriate sort by (a minimal part of) the incremental theme (or a minimal degree of the relevant measurable property for Pat+/- arguments, or a minimal movement along the relevant path for Pat loc arguments); the maximal degree on the scale represents participation in the maximal event involving (all of) the incremental theme/property/path (Kennedy and McNally 2005: 1).
Some sources deal with the notions of boundedness or degrees as they are shared, transferred or preserved in derivation, but Estonian with its rich case inventory allows extra environments where the morphosyntax offers more clues to the phenomenon.
7.3 Previous general linguistic work on degree achievement verbs
The properties of gradual completion verbs are discussed in the works of Bertinetto and Squartini (1995) and in Bolinger (1972). Bolinger (1972) shows how widely spread are degree expressions, and that the semantics of degree is not just confined to adjective comparison. Bertinetto and Squartini (1995) is the first in-depth study of the class of verbs referred to as degree achievement verbs or gradual completion verbs. The material is primarily from Indo-european languages, but later research has demonstrated that the phenomenon can be found in typologically different languages.
7.4 Estonian and scalar approaches
There have been previous discussions of Estonian and scale structures. Tamm (2004f) proposes an alternative to the Vendler classification and the Estonian object case alternation in terms of a scalar verb classification. The following chapters are building on those insights. Two other works on Estonian deserve mentioning; they concern the morphosyntactic behavior of abstract nouns.
Firstly, Estonian abstract nouns diverge in their morphosyntactic properties in pseudopartitive constructions. Tamm (2011b) studies some abstract nouns that have to do with dimensions and scales, especially temperature. Although *temperatuur* «temperature» and *soe* «warmth, heat» are synonyms in Estonian, «warmth» can appear in pseudopartitive constructions (PPC), while «temperature» cannot (*viis kraadi sooja/#temperatuuri* «five degrees above zero»). The article shows that the morphosyntactic behavior is sensitive to the lexical semantic meaning, namely, scalarity. If the lexical meaning of the noun encodes a degree along a dimension, then it can appear in a PPC («warmth, heat»). If the lexical meaning does not encode a degree, then the PPC is not possible («temperature»). The degree structure of «warmth, heat» is a feature derived from adjectives, an option unavailable for the noun «temperature». This study shows that the adjectival properties are operative in the nominal domain as well if put in an environment that triggers sensitivity to them. Scalar properties are thus cross-categorial.
Secondly, cross-categorial scalar properties explain also differential object and subject marking in Estonian. Again, abstract nouns that are derived from adjectives provide the evidence in Tamm (to appear a and b). The received knowledge that is challenged by these articles is that, apart from several factors such as the lexical aspectual properties of the verb, the Finnic object case encoding also depends on the distinction between
mass and count. The new Estonian data show that it is problematic to relate differential object or subject marking and mass-count distinction. There is a further differential object or subject marking distinction among mass nouns; contrary to expectations, some mass nouns display the case encoding behavior of count nouns. Typically, unexpected count-like behavior occurs with abstract nouns that are derived from adjectives. The differential object or subject marking phenomena are only explained by the scalar properties of the base adjectives. Unexpected, count-like behavior appears with nouns that are derived from adjectives that cannot denote open scales. Since the properties of scales are preserved in the course of derivation to another category, they are cross-categorial properties.
These findings have bearing on the understanding of aspectual composition and lexically encoded aspect. The following chapters will not spell out the exact aspectual composition; however, by providing a verb classification they will contribute to that goal as well.
7.5 Summary to scalar approaches to verb classification
There are newer approaches to scalarity and verb classes, by authors such as Caudal and Nicolas (2005), Caudal (2005) and Beavers (2008, 2009). New studies on scalarity have appeared about scalarity in several languages, but there is no clear example about the overall system in the verb domain, with clear morphosyntactic properties linked to the verb classification. This is due to the lack of evidence. Estonian can provide the necessary evidence, and this is the topic of the following chapters.
CHAPTER 8
ESTONIAN SCALAR VERB CLASSIFICATION: NEW PERSPECTIVES
8.1 Introduction
This chapter introduces the analysis of transitive verbs in terms of their aspectual classification and case alternations on their objects. The goal of Chapters 8, 9 and 10 is to explain and represent the correspondences between the relations between lexical aspectual classes and the typical object case. This chapter has three main goals: to establish the principles of the verbs’ aspectual classification, to introduce the correspondences between object case and aspectual classification, and to propose and describe the aspectual features of the object cases and verbs. The chapter gives an overview with some examples, tests, and tables summarizing the proposals in a nutshell.
This book aims at a comprehensive study of the relations between verbs, argument structure, particles, object case, and aspect. This complex task has to be approached from some concrete viewpoint. Therefore, the following chapters describe Estonian verbs and verb-complement combinations in terms of Vendler’s (1957) classification as perhaps the best known aspectual classification. A list of remarks prior to reading this study is in order.
1. The details of the Vendlerian classification are in Chapters 9 and 10. Transitive accomplishment and achievement verbs can be found in Chapter 9, and stative and activity verbs are the subject of Chapter 10. This chapter sketches some possibilities of representing other verb classes as well, such as intransitive verbs or semelfactives.
2. The proposal concerns only the syntactic features that link the syntax to the semantics of case and verbs. No attempt is made to capture the exact semantics of the features. Pragmatic factors are deliberately not included in the explanation either. For those topics, Tamm (2003a, 2003b, 2009, 2011b, 2012, forthcoming a, b) are more useful. The vast area of the Estonian aspectual particles is omitted. Their place in the Estonian aspectual system is discussed in Tamm (2004a, 2004c, 2004e, 2004f). The specific features of cases are only briefly introduced in this chapter, Tamm (1999, 2007a, 2004e) form a complement to the contents of this book in this respect.
3. This chapter is a hub between the chapters of the book and materials that are omitted. It serves as a link between the previous chapters presenting the data and the problems of previous classifications, the ideas about scalarity and boundedness across categories, and the synthesis in the
form of a feature-based verb classification. The feature system presented in Chapters 9 and 10 is new, but it is more detailed than previous scale and measure based accounts of particular Estonian verb classes and types of object case, described in Tamm (2004b, 2004d, 2004e, 2004f, 2006a, 2006b, 2007a, 2007b, 2007c, 2008). Therefore, it is useful to introduce the previous system that comprised three values and two features. Chapters 9 and 10 aim at a better link with Lexical Conceptual Structures and their features have only two values combined with feature co-occurrence. Since it is certain that the content of this chapter is likely to be in need of updates more than any other chapters of this book, the reader is invited to consult <http://tammacademic.pbworks.com> for later updates.
8.2 The proposal in a nutshell
In several examples discussed in previous chapters, compositional factors do not seem to play a role in determining clausal aspect. The aspectual class of the verb restricts the type of the event so that either only partitive or also the total object appears. However, what is the structure of the mismatch between verbal lexical aspect and clausal aspect?
My approach takes clausal aspect as unification at the syntactic level that combines semantic and functional information. I present one possible way of formalizing the results in Lexical Functional Grammar (Bresnan 2001; Dalrymple 2001; Butt et al. 1997). The features of verbs and of case constrain the clausal aspect both ways. To some extent, the aspectual information is encoded in verbs and their argument structures; therefore, the composition of clausal aspect is determined—but not fully determined—by the features of the individual lexical items. The features of the object case provide the full aspectual specification in a clause.
Verbs are either scalar or non-scalar. Verbs that encode a change that has a stable direction towards an endpoint or result are called scalar. The verbs eat, read, build, write, bring, find, and buy are scalar verbs. If one evaluates the situation at different temporal points, then there is a difference in the quality of the states, and the difference in the quality of the states increases at a later point in time. Let me discuss the earlier examples. Reading is a gradual process that has a natural endpoint when the book is read through. Eating proceeds by a series of changes that reduce the volume of the thing eaten or is directed towards reaching the state when the eater is satisfied with the amount of what he or she has eaten. Writing proceeds by a series of directed changes that serve the goal of yielding a piece of writing that satisfies the quality intended by the writer. Buying proceeds by interactions that bring about changes with the goal of a successful exchange of property. These changes add up to a scale, if the direction of them is the same. Gradually completed changes can be abstract and differ from each other in the course of attaining the ultimate goal, as in the event of building in (1a)-(1b). A completed change of state can be abrupt, as in a finding event, as in (1c).
(1)
a. Mari ehita-b suvila.
M[NOM] build-3s summer.cottage.TOT
«Mary builds/will build a summer house.»
b. Mari ehita-b suvila-t.
M[NOM] build-3s summer.cottage-PTV
«Mary is building a summer house.»
c. Leid-si-n vea.
find-PST-1S mistake.TOT
«I found a/the mistake.»
There are verbs that cannot denote changes that can make up a scale in the way described above. These verbs are referred to as nonscalar. In the event of watching TV, there is no natural endpoint encoded in the meaning of the verb, and watching TV has no inherent directionality. The same is true for the verbs love, trust, see/observe, want, or visit, as in (2a)-(2f).
(2)
a. Mati vaata-b televiisori-t.
M[NOM] watch-3s TV-PTV
«Matthew watches TV, Matthew is watching TV.»
b. Mari armasta-b Jüri-t.
M[NOM] love-3s J-PTV
«Mary loves George.»
c. Mari usalda-b Jüri-t.
M[NOM] trust-3s J-PTV
«Mary trusts George.»
d. Mari näg-i tänava-l oma kolme sõpra.
M[NOM] see-PST.3S street-ADE her three.PTV friend.PTV
«Mary saw her three friends in the street.»
e. Mari taha-b homme kahte auto-t.
M[NOM] want-3s tomorrow two.PTV car-PTV
«Mary will want two cars tomorrow.»
f. Mari külasta-b oma Tartu sõpr-u.
M[NOM] visit-3s her Tartu.GEN friend-PL.PTV
«Mary visits/is visiting her friends in Tartu.»
It can be observed that the non-scalar verbs have partitive objects but the scalar verbs have either partitive or total objects. The observations are summarized in Table 8.1.
Table 8.1 The types of verbs and the corresponding object cases.
| Type | Scalar | Non-scalar |
|--------|-------------------------|--------------------------|
| Verbs | eat, read, build, write, bring, find, buy | watch, love, trust, see, want, visit |
| Object case | total/partitive | partitive |
This approach takes the total object case as the grammatical marker encoding a closed scale. Partitive encodes the opposite—the lack of a closed scale. Constraining the partitive to the lack of a closed scale allows it to be compatible with both types of verbs, scalar and non-scalar. Table 8.2 illustrates the essence of this analysis, more specifically, the correspondences between the scalar properties of the clause and object case encoding.
Table 8.2 Verbs, scalar properties, and case.
| | Scalar (eat, buy) | Non-scalar (watch) |
|------------------|-------------------|--------------------|
| Open scale | partitive object case | partitive object case |
| Closed scale | total object case | n.a. |
Table 8.3 indicates the patterns of the presence of the overt measure phrase and the total case.
Table 8.3 The presence of an overt measure argument and its corresponding case.
| Measure | Case |
|------------|-----------------|
| specified | total adjunct case |
| unspecified| n.a. |
The scalarity of a verb is a property of the verb and its arguments. One type of scalar verbs consists of those predicates that have lexically restricted resultative phrases or other thematically constrained telicizing arguments or verbal particles.
The verb’s scalarity is specified in the lexical entry, while the nature of the scale (open or closed) is specified by the object case. The proposal explains how verbs and case mutually constrain the aspectual interpretation in a clause, and why some combinations of verb and case are ruled out.
The remnants of the earlier, spatial (spatiotemporal) part-whole based marking system combined with scale-based case marking require an account of verb classes where scale-based and spatiotemporal measure-based NP marking are teased apart.
Verbs specify scale and measure features. The presence of the scale feature may but need not be related to the presence of an overt related thematic (or measure) argument in Estonian. The measure feature in the lexical entry represents the historically motivated lexicalized spatial or temporal measure. The specification of this feature can also be compositionally derived, since in LFG, features may be underspecified (having no values or default values), or specified (positive, negative). In a feature co-occurrence account, if the feature is specified as positive, then the feature must co-occur with an additional feature specifying the type of scale or measure. In a three-value account, an attribute type can specify the values that correspond to non-scalarity, minimal and maximal degrees.
Case is treated as a semantic constructive case in LFG. It specifies additional information in the course of unification. The total case may add the additional feature specification in the co-occurrence account, the values CLOSED ([0,1]) for the scale feature or SPECIFIED for the measure feature. Partitive appears with any other type of objects, with nonscalar predicates and scalar predicates with an open scale ([0,1]).
(3)
a. total
\[(\text{SCALE} \uparrow) = +\]
\[(\text{SCALE SPECIFICATION} \uparrow) = \text{CLOSED}\]
and
\[(\text{MEASURE} \uparrow) = +,\]
\[(\text{MEASURE SPECIFICATION} \uparrow) = \text{SPECIFIED}\]
b. partitive
\[\neg [(\text{SCALE} \uparrow) = + &\]
\[(\text{SCALE SPECIFICATION} \uparrow) = \text{CLOSED}]\]
The partitive case excludes the values in (3a) in object marking as in (3b). In a three-value account, the total case has the feature MAX. More specifically, the feature specification of the total case contains the values \((B1 \uparrow) = \text{MAX}\). The partitive case has a negative constraint, \(\neg (B1 \uparrow) = \text{MAX}\).
The properties of the scale are derived from the composition of the phrases making up the VP. As opposed to the main focus of the previous study, which is accomplishments, Estonian verbs show that it is rather the achievements where the composition of the noun and verb properties plays a prominent role.
8.3 Verb classification: two attributes, three values
8.3.1 The scale and measure attributes
Since this book contains references to related works where the measure specification does not play an important role, and this book builds on a dissertation, I introduce here the labels that I have generally used with some
examples and explanation. The goal of the previous works on scalar verb classes is to provide an account of how the information from lexical entries specifies structures of syntactic representation (and also, how it does not specify them). The proposal is that lexical entries provide partial but basic information about clausal aspect at the f-structural level of syntactic description. In this respect, my approach to verb-case interaction is similar to the approach of Toivonen (2001) to verb-particle interaction and it captures many insights from previous Estonian work. Earlier Estonian accounts suggest an approach treating Estonian aspect in terms of boundedness and verbal boundability, based on the intuition that transitive verbs are either boundable or not. Verbs are bounded in two different ways: some verbs are bounded lexically and others, by particles and nominals bearing case.
On the one hand, the proposal is that aspectual case marking relates to two aspectual dimensions or tiers. An aspectually available tier is specified by a verb by means of encoding an attribute in the verbal entry. On the other hand, next to the availability of an aspectual tier, a lexical entry can also specify whether the tier is bounded or not. In my solution, this information is encoded in the form of a value that is given to the attribute. Some verbs contain an attribute called B1 (SCALE) in their entries, others—a B2 (MEASURE) attribute; there are some that contain both attributes. These attributes may have a value in the lexical entry; otherwise, the value must be provided in the clause. In this way, verbs provide a partial aspectual specification in a clause.
8.3.2 The three values
The next question concerns the possible values of these attributes. In the previous scalar accounts of Estonian there are three values:
maximal \hspace{1cm} (MAX)
(at least) minimal \hspace{1cm} (MIN)
unbounded \hspace{1cm} (-).
As discussed in 8.4 all these values can be specified by some elements in the syntax. The maximal boundedness value, MAX, can be specified only compositionally for transitive verbs, by means of unification. The maximal value is provided by the aspectual semantics and the feature of the total object case. Particles and adjunct case can also provide the value MIN. Estonian aspectual particles always specify a B1 attribute or attribute-value pairs with the maximal value. Only two of the values can be specified lexically for transitive verbs: MIN and «». Once an attribute is provided with a value lexically, it cannot be specified by another element in syntax. However, elements in syntax can add information but not change attribute-value pairs. This section deals with the question of what the content and
representation of these attributes and values is. Combinations of attributes and values associated with verbs yield distinct verb classes.
8.3.3 Interim summary: lexically specified information
In sum, the partial specification provided by lexical information comes in two attributes and two values in the three value system:
1. Attribute B1. This is the «scale» or «quality change» attribute, comparable to notions such as gradability, degree of change, telicity, transition, culmination, resultativity, or directed change in the previous literature.
2. Attribute B2. This is the «measure» or «quantity change» attribute; it relates to notions such as incrementality, durativity, coursivity, or irresultativity in previous literature.
3. Value MIN for lexical boundedness. It relates to change, culmination, momentaneity, punctuality, atelicity, perfectivity, and irresultativity.
4. Value «» for lexical unboundedness. It relates to durativity, progressive, imperfectivity, or atelicity.
The existence of these mixed constellations of different concepts, which can intuitively characterize the contribution of the attributes and values that are crucial for an account of Estonian aspectual phenomena, justifies the need for a better motivation for separating the two tiers. Before giving the details of the motivation, the following subsection provides some references to and discussion of previous works that assume more than one boundable dimension or tier.
8.4 Values as boundaries for the two boundable tiers
Two boundable tiers are captured in the f-structure representation as the attributes B1 and B2. The value MIN in the f-structure may capture the lexically encoded boundedness and the negative value—unboundedness. This subsection presents more details on the boundability attributes B1 and B2 that represent the two tiers.
1. B1. The first boundable tier is captured in terms of a boundability feature that is referred to as B1. This aspectual property of verbs is referred to most frequently as telicity; this approach compares it more to Dahl’s T property of telicity as in Dahl (1981: 81-82), a degree variable as in Kiparsky (2001b), or a lexically encoded degree of change of a property (Hay, Kennedy, and Levin 1999). The description here intentionally captures the comparable terminology from several frameworks: this attribute represents the verb’s ability to express telicity, culmination, transition, natural or logical endpoint, result, or directed change. In other words, B1 verbs denote a change in a situation, or a transition in the event. Achievement verbs such as *find* typically have the boundability B1 feature, but they lack B2.
2. B2. The second boundable tier is referred to here as B2. This property of verbs is referred to in sources as (lexical) durativity, coursiveness, or irresultativity. B2 is the aspectual property, the ability to describe events extending over time. The activity verb *run* typically has the boundability feature B2: e.g., running can continue endlessly unless it is stopped by outer circumstances. Some state verbs, such as *seisma* <stand>, may also have the attribute B2 in the representation of some of their lexical senses.
Aspectual lexical information constrains temporal relationships of the course of events in time that a verb can express. Assuming the two tiers is motivated by the intuition that some verbs present events as if they were «bounded» in the free development of the event that they express. However, some of these verbs seem to encode lexically that the development of the event is bounded temporally while the fact of anything changing in their evolvement seems to be irrelevant (e.g., semelfactive verbs). In an event of jumping or flashing, several perceivable changes take place. For linguistic interaction, these changes are irrelevant; rather, the «short measure, extent, or span» of the event is lexicalized. Failing the durative adverbial test is sensitive to the distinction of a «short measure». Other events can protract over time or not as described by the predicates, but they are «cut» after any degree of change in the situation has been accomplished (e.g., degree achievements). In other words, some events are restricted by lexical aspect to be of short duration, they happen, having a marked temporal beginning and end (*jump, flash*). Other events are described by verbs encoding a minimal degree of change of a property (*widen, lengthen, change*). These two types of verbs have motivated two distinct boundable lexical features, the attributes B1 and B2.
The correctness of the reasoning that there are two boundable tiers could be proved by the existence of verbs that have one tier, verbs that have another, and verbs that have both along with these verbs displaying grammatically relevant different behavior. Jumping ahead a bit, the accomplishment verb *eat* has typically the boundability feature B1: when the changes have reached their natural end for instance, when an object is eaten up, the B1 tier is bounded. The *eating* is «bounded» when it cannot continue any more. On the other hand, *eat* has B2, it can naturally, by its lexical properties, refer to the event progressing in time, regardless of the changes that take place in the course of the event. Identical grammatical case assignment on objects and on adjuncts is the fact that intuitively reflects different kinds of boundedness.
8.5 Examples of lexical entries and functional structures
The features are referred to as different boundedness features. The c-structural correspondent of the f-structure attribute SCALE is referred to as B1
and the correspondent of the MEASURE attribute is referred to as B2. These features are represented in the verbal lexical entries under the c-structure terminal nodes. They can be represented as existential constraints in the form of (↑B1) and (↑B2). The effect of the existential constraints (↑B1) or (↑B2) is that the f-structure must provide a specification for these attributes, while the exact value is no more constrained than that there should be one. The examples *leidma* «find» and *jälgima* «follow» are illustrated in (4) and (5), respectively.
(4)
\[
\text{leidma,} \quad V: (\uparrow \text{PRED}) = \langle \text{FIND} <(\uparrow \text{SUBJ}), (\uparrow \text{OBJ})\rangle \\
(\uparrow \text{B1})
\]
(5)
\[
\text{jälgima,} \quad V: (\uparrow \text{PRED}) = \langle \text{FOLLOW} <(\uparrow \text{SUBJ}), (\uparrow \text{OBJ})\rangle \\
(\uparrow \text{B2})
\]
The f-structure attributes B1 and B2 of these verbs are represented in the partially specified f-structures as follows in (6) and (7).
(6)
\[
\begin{bmatrix}
\text{PRED 'FIND } <(\uparrow \text{SUBJ}), (\uparrow \text{OBJ})> \\
\text{B1}
\end{bmatrix}
\]
(7)
\[
\begin{bmatrix}
\text{PRED FOLLOW } <(\uparrow \text{SUBJ}), (\uparrow \text{OBJ})> \\
\text{B2}
\end{bmatrix}
\]
The next question is: given the incomplete f-structure, how will the values be obtained? In my approach, the value can be provided either by the lexical entry of a particle, by the morphological case, or by a verbal lexical entry.
The defining equation (↑B) = MIN captures the intuition that the given attribute is unavailable for further bounding with these verbs, since it is at least to some extent (minimally) bounded. «MIN» stands for «at least minimal», and it indicates the actual lexical boundedness. This grammatically relevant aspectual information is attached to a lexical entry with the intransitive verb *sneeze* as in (8).
(8)
\[
\text{aevastama,} \quad V: (\uparrow \text{PRED}) = \langle \text{SNEEZE} <(\uparrow \text{SUBJ})\rangle \\
(\uparrow \text{B2}) = \text{MIN}
\]
The defining equation (↑B2) = MIN in (8) captures the intuition that the given attribute is unavailable for further bounding. Individual level predicates are lexically non-boundable along the B2 tier. The minus («-») stands for the negative value of the attribute. This grammatically relevant
aspectual information is attached to a lexical entry with verbs such as the intransitive *vedelema* «be scattered around» in (9).
(9)
\[
\text{vedelema, } V: (\uparrow \text{PRED}) = \langle \text{BE SCATTERED AROUND} <(\uparrow \text{SUBJ})\rangle \\
(\uparrow \text{B2}) = -
\]
In order to constrain the number of possible combinations of features, I could use an alternative of a negative existential constraint in the form of \( \neg (\uparrow \text{B2}) \). Here, I leave this possibility for further research, using the option with the negative value. These verbs have the f-structure information about the features B2 MIN and B2 «minus», illustrated in (10) and (11) respectively. Loosely speaking, this defining equation in the lexical entry states that one of the boundable attributes is bounded.
(10)
\[
\begin{bmatrix}
\text{PRED 'SNEEZE } <(\uparrow \text{SUBJ})> \\
\text{B2 MIN}
\end{bmatrix}
\]
(11)
\[
\begin{bmatrix}
\text{PRED BE SCATTERED... } <(\uparrow \text{SUBJ})> \\
\text{B2 --}
\end{bmatrix}
\]
Given the wellformedness condition of function-argument biuniqueness in LFG, the effect of this constraint in f-structure is that the attribute B2 cannot have a different value, since the result in that case is an inconsistent f-structure and an ungrammatical clause.
8.6 Multiple frames, aspectual shifts, transitive and intransitive verbs
The approach taken in this book departs from the event structure idea of lexical aspectual information, since it is less relevant for the purposes defined for the research goal. Estonian verbs are lexically associated with many types of behavior, thus many event properties. One verb displays a cluster of behavioral patterns. Some verbs contain no B features, others contain either B1 or B2, and one class contains both, and verbs such as *flash* or *jump* contain B1 with a specified or a B1 with an unspecified value. Verbs like *eat* are such that they have the B1 and B2 features simultaneously. Verbs are regarded to lexicalize different types of boundability and association with actual boundedness; the term of lexicalization is understood as in Talmy (1985). This information is more feasibly represented by disjunction. The aspectual lexicon of these verbal entries is presented below in (12). Intransitive verbs are provided with default aspectual features. The information that does not concern aspect is omitted¹.
(12)
leidma «find»: ... (↑B1)
sööma «eat»: ... (↑B1) V (↑B2)
jälgima «follow»: ... (↑B2)
olema «be»: ... (↑B2) = −V (↑B2)
laiendama «widen»: ... (↑B1) V (↑B1) = MIN V (↑B2)
vilgutama «(make) flash»: ... (↑B2) V (↑B2) = MIN
aevastama «sneeze»: ... (↑B2) = MIN
ehmatama «frighten»: ... (↑B1) = MIN
süvenema «concentrate»: (↑B1) = MAX V (↑B2)
vilgatama «flash once»: (↑B2) = MIN,
tutvuma 1 «get to know»: (↑B1) = MIN V (↑B2)
tutvuma 2 «get to know»: (↑B1) = MAX,
loobuma «give up»: (↑B2) = −V (↑B1) = MIN
Partitive subjecthood seems to relate to the unbounded (↑B2) feature. The feature has the effect that the verb vilgutama «twinkle, flash» in (13) can specify the following partial f-structures, one with a valueless attribute B2. Transitive verbs denoting bounded events but no scale such as puudutama «touch» have a valued (MIN) measure feature (14).
(13a)
\[ \begin{bmatrix} \text{PRED 'FLASH } <(\uparrow \text{SUBJ}), (\uparrow \text{OBJ})> \\ \text{B2} \end{bmatrix} \]
(13b)
\[ \begin{bmatrix} \text{PRED 'FLASH } <(\uparrow \text{SUBJ}), (\uparrow \text{OBJ})> \\ \text{B2} & \text{MIN} \end{bmatrix} \]
(14)
\[ \begin{bmatrix} \text{PRED 'TOUCH } <(\uparrow \text{SUBJ}), (\uparrow \text{OBJ})> \\ \text{B2} & \text{MIN} \end{bmatrix} \]
The work on the Vendler aspectual classification of Estonian verbs in Chapters 9 and 10 establishes that stative, process and activity verbs appear mainly with the partitive case object, the accomplishment and achievement verbs can—but need not—appear with the total object. Also, particle-verb combinations were found to belong to all Vendler classes. There are some regular instances of unexpected behavior in terms of the hypothesized correlation between aspectual classification and object case.
8.7 Summary on verbal lexical boundedness and the features
The following classification presents boundable attributes and the attributes that have values. This division presents the Vendler classification with some additional classes that have emerged as relevant in Estonian verb classification.
1. In achievement verbs such as *leidma* «find», there is B1 and no B2.
2. In accomplishment verbs such as *sõõma* «eat», there is B1 and B2.
3. In state, activity and process verbs, as *jälgima* «follow», there is a B2 attribute.
4. Some stative predicates with *olema* «be» typically lack any boundable attribute.
5. In *laiendama* «widen» and other degree achievement verbs there is B1 and B2, and B1 is lexically bounded or not bounded.
6. In *alustama* «begin» or *ehmatama* «frighten», there is B1 and B1 is lexically bounded.
7. In *hüppama* «jump», *vilgutama* «flash», semelfactive verbs with B2 and without B1, B2 is either lexically bounded or not.
8. In *aevastama* «sneeze», semelfactive verbs with B2 and without B1, B2 is lexically bounded.
8.8 Examples of tests
The following tests were used:
1. The attribute B1 is assumed, if the gradable adverbial test is positive or the time frame adverbial test is positive.
2. B2 is assumed, if the durative adverbial test is positive without an effort in processing.
3. Boundedness of B2 or B1 is assumed when the verb is compatible with adverbials that locate the event temporally (at one o'clock) or specify some change by the adverbial *mõnevõrra* «to some degree».
4. The intuitive notion of whether B1 or B2 is the lexically bounded attribute is also tested by the gradable adverbial test, which is negative with B2 bounded and positive with B1 bounded verbs.
8.9 Verb classes summarized
This division also captures that many verbs are lexical aspectually ambiguous.
Table 8.2. Verb classes
| Class/attribute | B1 (scale) | B2 (measure) |
|--------------------------|-----------------------------|----------------------------|
| Find | Boundable | |
| Eat | Boundable | Boundable |
| Follow | | Boundable |
| Be (be scattered) | Non-boundable | (Non-boundable or) boundable|
| Widen | Boundable or lexically bounded | Boundable |
| Introduce, begin, win, frighten | Lexically bounded | |
| Sneeze | | Lexically bounded |
| Jump | | Boundable or lexically bounded |
The classification is asymmetric. The pattern after adding lexical boundedness is irregular. On the one hand, there is no class where two attributes are lexically bounded. On the other hand, the lexical representation of degree achievements (widen) contains the possibility that the B1 attribute has a bounded value or not, and a specification of a B2 attribute. The inchoative (begin) and momentaneous classes (sneeze) specify lexically only bounded B1 and B2 features respectively. In contrast, jump or flash specify either a bounded or a non-bounded B2 attribute.
In this approach, case depends on the properties of the predicate, interacting with semantic properties. This section has outlined the way to formalize the verbal lexical part. An advantage is that instead of an unstructured set of conjunctions of features and their combinations, features interact more freely with each other and with features outside the verbal lexicon. The idea is that not only the usual telicity, dynamicity and durativity features are lexical, but also (short) duration and minimal change are lexically determined on the corresponding tiers. Tiers fall in two according to whether they denote a change or (measurable) difference—quality or quantity.
Another important advantage of this approach is that it allows for the cross-linguistic variation in (verbal) lexically vs. not (verbal) lexically expressed aspect instead of positing a cross-linguistic rigid inventory of (lexical) aspectual classes. Ultimately, my approach helps to understand why the effect of Estonian case is comparable to the effect of aspectual particles or verbal morphemes in other languages. The proposed equations and existential constraints secure the grammaticality of the clause in terms of the well-formedness of f-structure via the presence of the attributes and features in the f-structure (Table 8.3).
Table 8.3. Extended Vendler classes, their scalar properties, and the typical object case.
| Vendler class | scalarity | case | boundedness |
|---------------------|-----------|--------|-------------|
| Accomplishment | scalar | total | bounded |
| <eat> | | | |
| Achievement | scalar | total | bounded |
| <find> | | | |
| Degree achievement | scalar | partitive | bounded |
| <widen> | | | |
| Stative | nonscalar | partitive | unbounded |
| Activity | nonscalar | partitive | unbounded |
| <run> | | | |
| Semelfactive | nonscalar | n.a. | bounded |
| <explode> | | | |
8.10 Conclusions to Chapter 8
The last couple of pages gave the rationale and an overview of the previous accounts of the Estonian scalar aspectual lexicon, and it ends here. The previous system used two features for verbs and three values for the
aspectually more relevant feature in the sentences. This system is simpler, but the disadvantage is the less spelled-out relations between the lexical meaning and various types of measure.
The following chapters, however, present a view on verb classes where the two boundedness features are named explicitly as scale and measure features. Another difference is doing away with three different possible values for the features, and the preference to see the two features as lexically (or otherwise conventionally) linked to each other in case of some verb classes.
Endnotes
1 The source of this classification in Estonian, Tamm (2004b), summarized in Tamm (2004d).
9.1 What are scalar verbs?
Scalar verbs are accomplishments, achievements, and degree achievements. In those verbs, the event progresses in degrees towards its completion, result or endpoint. These verbs encode a scale in their lexical meaning; whether the scale is closed is related to the object case encoding. In other words, scalar verbs have object case alternation in most verb classes.
9.2 Accomplishment verbs: total objects
There are various definitions of accomplishment verbs. They are described with the features + durative, + dynamic, + endpoint as in (1) in several sources.
(1)
accomplishments
+ durative
+ dynamic
+ endpoint
For a description, I have opted for the understanding of accomplishment verbs as verbs that denote events that have a preparatory process (activity) phase that leads to a definite change in the situation. These verbs typically denote nonhomogeneous events. There is an alternative understanding of verbs denoting events. According to this idea, accomplishment verbs are agentive and achievement verbs are non-agentive verbs that can refer to events. I do not follow this idea here, since there are agentive verbs that are achievement by the preparatory phase criterion, and there are non-agentive verbs that are accomplishments by the preparatory phase criterion. Ultimately, the idea of a preparatory phase is not clear with several verbs. In my approach, bundles of features—not event types—determine the interaction with case in the model. In the presentation of the Vendlerian accomplishment class, I rely on the following tests.
On the one hand, verbs (or VPs) that can denote accomplishments are distinguished from activity or process verbs by the positive result of the time frame adverbial test (such as ühe tunniga «in an hour»).
On the other hand, they are distinguished from achievement verbs by the positive result for the durative adverbial test (such as tund aega, üks tund/ühe tunni «for an hour»).
Verbs such as sööma «eat», or valmistama «prepare, create» and most particle verbs qualify as accomplishment verbs, since with a quantized argument NP they denote events that have a preparatory process (activity) phase that leads to a definite change in the situation. This change can be qualified as an endpoint, a result, or a completion. Because of this two-phase like structure, accomplishment verb tests have identical results with activity or process verbs and achievement verbs. The tests find out whether the verb shows common features with achievements via the verb’s acceptability with the time frame adverbials such as ühe tunniga «in an hour» (1a); also, the tests fix their similarity with the activity/process verbs via the acceptability with the durative adverbials such as tund aega, üks tund/ühe tunni «for an hour» (2b) etc.
(2)
a. Mari ost-is ühe tunni-ga raamatu.
M[NOM] buy-PST.3S one.GEN hour-COM book.TOT
«Mary bought a/the book in an hour.»
b. ??Mari ost-is tund aega raamatu-t.
M[NOM] buy-PST.3S one[NOM] hour.PTV book-PTV
«Mary was buying a/the book for an hour.»
The sentences with the durative adverbial have objects that bear the partitive case and the sentences with the time frame adverbial bear the total case. The acceptability of the verbs with the durative adverbials may vary; for instance, the sentence (2b) contains a verb ostma «buy» that is less acceptable, forced, with the durative adverbial, and in the case with ehitama «build» (3a, b), the result of the test is more acceptable and natural.
(3)
a. Joosep ehit-a-b suvila ühe suve-ga.
J[NOM] build-3S summer.cottage.TOT one.GEN summer-COM
«Joseph builds a summer house in one summer.»
b. Joosep ehit-a-b suvila-t terve suve.
J[NOM] build-3S summer.cottage-PTV whole.TOT summer.TOT
«Joseph will be building a summer house all summer.»
Therefore, I divide the accomplishment verbs into those that are more acceptable with the durative adverbials (4a) and those that are less acceptable with the durative adverbials, yielding a forced effect. That is, in the cases listed under (4b), the durative adverbial is felt to force a durative, activity or process reading. This distinction in acceptability with durative adverbials correlates with the acceptability of the occurrence of the verb with the partitive object.
(4)
a. tegema «make», alistama «subjugate», ehitama «build», istutama «plant», kirjutama «write», omandama «acquire», rajama «create, establish», trükkima «print», äratama «rouse, (make) wake up», looma «create», parandama «repair», kujundama «shape, design, form», sooritama «make (exam, etc.)», koostama «compile», moodistama «form, create», keetma «boil», voltima «fold», tooma «bring here, fetch», kutsuma «call, invite»
b. laenama «borrow/loan», tekitama «create, bring to being», võtma «take», saama «get, become», haarama «grab», avastama «discover», saavutama «achieve, attain»
Most particle and verb complexes denote either accomplishments or achievements. Particled accomplishment verbs are predominantly transitive and typically occur with total objects. Most verbs with välja and roughly one third of the examples with ära are accomplishments. Some examples follow in (5).
(5)
välja arendama «develop»; välja koolitama «educate, specialize»; välja kühvelda-ma «shovel out»; välja laadima «load out»; välja laduma «heap out»; välja laotama «spread out»; välja loksutama «splash out»; välja loopima «throw out»
These verbs encode a clear endpoint towards which the event evolves, but the verbs themselves, without the information about the object case encoding, do not encode that this endpoint is also attained. It is the total object case that encodes various types of information pertaining to the verification of the attainment of this endpoint, result or completion. In terms of modularity, it is not clear if this information pertains to semantics or semantics and pragmatics, and it is not clear yet what the status of the meaning contributed by the case is. This question requires more study than can be provided in this book. It seems that the case is not determined at the lexical semantic level, but several relevant preconditions for the total and partitive case are present in the lexicon, which constrains the possible object cases. The choice between the two cases depends on speech acts and modality, which should be represented as operators that operate at a higher level than the purely aspectual operators. Therefore, my approach is a cautious one with regard to the object case, and I concentrate on the features of verbs that interact with morphosyntax. Other accounts may give a bigger role to the lexicon, or pure syntax. This account gives a major role to functional structure, which combines information from several linguistic levels. See Tamm (2012) for arguments that point to an epistemic modal analysis of the partitive.
It is clear that the case alternation that occurs with accomplishment verbs has an effect on aspect. Accomplishment predicates appear with partitive or total objects, they may appear with total case marked measure adjuncts, and they are scalar (nonscalar in the progressive-like uses). Since accomplishment verbs can give rise to sentences denoting totally completed events, and they can also be measured in terms of their temporal measure (span, extent), I propose that they encode the features «scale» and «measure» in their functional specifications, as represented in (6).
(6)
\[
\begin{array}{c}
(\uparrow \text{SCALE}) \\
V \\
(\uparrow \text{MEASURE})
\end{array}
\]
The scale and measure features of accomplishments must be lexically underspecified; that is, the attributes lack an exact value, as represented in (6). Accomplishment verbs allow either a closed scale, a scale specification «closed scale», as in *Mari ehitab suvila*—as in (3a) or a measure, non-scalar measure specification «specified», *Mari ehitab suvilat terve suve*—as in (3b), or both, scalar and non-scalar specification, *Takso sõidutas Peetri viis kilomeetrit edasi*—as in (9a). All of these specifications correspond to the total case marking.
A VP with an accomplishment predicate has the following feature unification combinations with the patterns of case marking. Total objects and a closed scale correspond to the sentence in (7a), and the feature unification of this sentence is represented in (7b).
(7)
a. *Takso sõiduta-s Peetri edasi.*
taxi[NOM] drive-PST.3S P.TOT further
«The taxi took Peter further.»
b. $(\uparrow \text{SCALE})=+$
$(\uparrow \text{SCALE SPECIFICATION})=\text{CLOSED}$
$(\uparrow \text{MEASURE})= +$
$(\uparrow \text{MEASURE SPECIFICATION})=\text{UNSPECIFIED}$
Partitive objects and total adjuncts, as in sentence (8a), have the feature unification as in (8b) with an open scale and a specified measure.
(8)
a. *Takso sõiduta-s Peetri-t viis kilomeetri-t.*
taxi[NOM] drive-PST.3S P-PTV five.TOT kilometer-PTV
«The taxi took Peter five kilometers.» (This was not the end destination.)
b. $(\uparrow \text{SCALE})=+$
$(\uparrow \text{SCALE SPECIFICATION})=\text{OPEN}$
$(\uparrow \text{MEASURE})= +$
$(\uparrow \text{MEASURE SPECIFICATION})=\text{SPECIFIED}$
Sentences with a total object and a total adjunct: as in sentence (9a), have the feature unification as in (9b), a closed scale and a specified measure.
(9)
a. Takso sõiduta-s Peetri viis kilomeetri-t
taxi[NOM] drive-PST.3S P-TOT five.TOT kilometer-PTV
edasi.
further
〈The taxi took Peter five kilometers further.〉 (This was the end destination.)
b. (↑SCALE)=+
(↑SCALE SPECIFICATION)=CLOSED
(↑MEASURE)= +
(↑MEASURE SPECIFICATION)= SPECIFIED
Sentences with a partitive object and a total adjunct, as in sentence (10a), have the feature unification as in (10b), an open scale and a specified measure.
(10)
a. Takso sõiduta-s Peetri-t viis kilomeetri-t
taxi[NOM] drive-PST.3S Peter-PTV five.TOT kilometer-PTV
edasi.
further
〈The taxi took Peter five kilometers further.〉
(We do not know if the location was the end destination.)
b. (↑SCALE)=-
(↑MEASURE)= +,
(↑MEASURE SPECIFICATION)= SPECIFIED
Sentences with a partitive object only as in sentence (11a) have the feature unification as in (11b).
(11)
a. Takso sõiduta-s Peetri-t edasi.
taxi[NOM] drive-PST.3S P-PTV further
〈The taxi took Peter further.〉
b. (↑SCALE)=−
(↑MEASURE)= +
(↑MEASURE SPECIFICATION)= NONSPECIFIED
These features pertain only to those properties of the lexical semantics that are relevant for syntax and argument encoding. The lexical conceptual structures and argument structures that correspond to these clauses are not discussed in this book.
9.3 Achievement verbs: total and partitive objects
9.3.1 Types
Achievement verbs denote events, but their meaning does not contain the preparatory phase that is characteristic of accomplishment verbs. They are described with the features –durative, +dynamic, +endpoint, as represented in (12), in several sources.
(12)
achievements
–durative,
+dynamic,
+endpoint
I divide the achievement verbs according to their typical object case, since achievements may have either **total** or **partitive objects** in VPs. Achievement predicates appear with partitive or total objects, they never appear with total case marked measure adjuncts, and they are scalar (nonscalar in the forced progressive-like uses). Since achievement verbs can give rise to sentences denoting totally completed events, but they cannot be measured in terms of their temporal span, I propose that they encode the features «scale» and «measure» in their functional specifications, as represented in (13), with a negatively specified measure feature.
(13)
\((\uparrow \text{SCALE})\)
\((\uparrow \text{MEASURE})=-\)
9.3.2 Total object achievement verbs
Achievement predicates, e.g., *leidma* <find>, appear with a total object as in (15a) and have the feature specification as in (14).
(14)
\((\uparrow \text{SCALE})\)
\((\uparrow \text{MEASURE})=-\)
\(((\uparrow \text{SCALE})=+\)
\((\uparrow \text{SCALE SPECIFICATION})=\text{CLOSED})\) (default constraint)
Sentences with *leidma* <find> and a total object as in sentence (15a) have the feature unification as in (15b). The unification happens in a VP, at the f-structure.
Most of the transitive achievement verbs occur with a total case object. Examples are leidma «find», kaotama «lose», jätma «to stop, to leave, to quit», andestama «forgive», minetama «forfeit, lose», unustama «forget» etc. These verbs are compatible with the time frame adverbial (e.g., in an hour). There is a difference between achievement verbs that allow and that do not allow modification with rate (gradable) adverbials such as slowly. However, achievement verbs form a contrast with the accomplishment simple verbs, which can have a partitive object case with a rate adverbial, as in (16).
(16)
Mari ehita-b suvila-t/suvila aeglaselt.
M[NOM] build-3s summer.cottage-PTV/summer.cottage.TOT slowly
«Mary is building a summer house slowly.»
Achievement simple verbs, such as unustama «forget» or kaotama «lose» cannot have the partitive object case in a sentence with a rate adverbial. These sentences are relevant for verifying the gradable nature of the predicate. These achievement verbs are occasionally acceptable and occasionally not acceptable with rate adverbials and the total object.
(17)
Mari unusta-s/kaota-s oma sõbra (#sõpra/
M[NOM] forget/lose-pst.3s her friend.TOT friend.PTV/
??numbri/#numbri-t) aeglaselt.
number.TOT/number.PTV slowly
(Intended meaning) «Mary forgot her friend/her number, it happened slowly.»
Sentence (18) displays a somewhat contradictory fact that reference to temporal progression or measure by means of a durative adverbial is not possible with these verbs and in this respect these achievement verbs resemble some stative verbs.
(18)
# Mari unusta-s/kaota-s oma sõbra/sõpra
M [nom] forget/lose-pst.3s her friend.tot/friend.ptv/
/numbri/numbri-t terve aasta.
number.tot/ number-PTV whole.tot year.tot
Intended meaning: «Mary lost her friend/her number, it happened for a year.»
These examples (16)-(18) provide relevant facts about the nature of achievement verbs and event predicates. First, some event predicates simultaneously seem to refer to temporal progression (since they are modifiable by slowly in (17)) and an event (the total case is not related to the measure or extent case marking in (17) as is the case with some stative verbs). Simultaneous reference to temporal progression and to full (non-homogeneous) event is not evident with all occurrences of event verbs, as suggested by the data of the possible partitive object with the accomplishment verb in (16). Second, I can exclude the quantification of the object NP from the factors that have any essential relation to the object case. The quantification of the object NP ((her) friend, (her) number) is constant, but there is variation in the acceptability of sentences with the same total object cases. Third, the somewhat zeugmatic effects suggest that it is possible that losing or forgetting friends and numbers are separable as instances of verbal polysemy, of different lexical entries that have their own selection restrictions, aspectual type etc. What is more important is that once you lose or forget a friend or a number, however long it might take you, there is finally no more losing or forgetting them. Fourth, sentence (18) shows that any reference to temporal measure or duration can be expressed by accomplishment verbs only (naturally, also with activity and process verbs and some state verbs). Sentence (18) displays the fact that achievement verbs, as opposed to accomplishment verbs, are not compatible with durative adverbials.
Some examples with the achievements with particles follow in (19).
(19)
ära surema «die», ära tapma «kill», or välja tegema in the sense «offer, buy»
In sum, there is a natural lexical class of total object achievement verbs.
9.3.3 Partitive object achievement verbs
Other achievement verbs that denote an event, such as märkama «notice», as in (20a), are scalar and have open scale as witnessed by their compatibility with veel rohkem «even more». However, they do not denote an event that has a clear result despite their perfectivity, as witnessed by the tests in (21). The point is that if a mistake is noticed even more, then it is not the case that a quantificationally bigger part of the mistake is noticed, it is rather the gravity of it that is perceived more acutely. These verbs cannot be modified by a total case marked durative adverbial. They have a partitive object. This is a class of achievement verbs that has fewer members than the total object achievement verb class. They are delimited, bounded event denoting verbs of which it is occasionally problematic to claim that they are achievements; nevertheless, I classify some verbs on the basis of some common features here as achievements.
This group consists of some perception verbs such as märkama ‘notice’ (20a), occasional verbs that denote physical contact, such as puudutama ‘touch’ or harm vigastama ‘harm, injure’ (20b), rikkuma ‘ruin, spoil’, some other verbs, võitma ‘to win’ (20c), solvama ‘insult’, tutvustama ‘introduce, make acquainted’, and some inceptive-inchoative verbs such as alustama ‘begin, start’ (20d), and psych-verbs such as ehmata ma ‘frighten’ (20e).
(20)
a. Märka-si-n ühe hetke-ga viga.
notice-PST-1S one. moment-COM mistake.PTV
‘I noticed a mistake in a moment.’
b. Vigasta-si-n/puuduta-si-n/rikku-si-n ühe hetke-ga kä-tt.
harm/touch/ruin-PST-1S one. moment-COM hand-PTV
‘I hurt/touched/ruined (my/the) hand in a moment.’
c. Võit-si-n Peetri-t lauatennise-s ühe hetke-ga.
win-PST-1S P-PTV table.tennis-INE one.GEN moment-COM
‘I won Peter in table tennis in a moment.’
d. Öpetaja alusta-s ühe hetke-ga tundi.
teacher[NOM] start-PST.3S one. moment-COM lesson.PTV
‘The teacher started the lesson in a moment.’
e. Ehmata-si-n Peetri-t ühe hetke-ga.
frighten-PST-1S P-PTV one.GEN moment-COM
‘I frightened Peter in a moment.’
On the one hand, combining these verbs with the durative adverbial may result in iterativity, which also proves that these verbs denote (full) events. It is a question if these verbs denote events with a distinct endpoint that is described by these predicates. It seems most plausible that these events do not have any preparatory phases that can be referred to by the
same predicate. On the other hand, these events, in some of their uses, do not have a clear unchangeable definite resultant state.
From the (idiomatic) composite verbs (väljendverb) I found an example for a partitive achievement verb (21), but the combination with a partitive object is not attested for the more common types of particle verbs that denote an achievement.
(21)
\[
\begin{array}{llll}
\text{Pan-i-n} & \text{se-da} & \text{viga} & \text{tähele} \\
\text{notice-PST-1S} & \text{this-PTV} & \text{mistake.} & \text{(part of panema notice)} \\
\text{ühe} & \text{hetke-ga} & /veel & \text{rohkem/} \\
\text{one. GEN} & \text{moment-COM} & \text{even} & \text{more} \\
\text{#terve} & \text{minuti.} \\
\text{whole. TOT} & \text{minute.TOT} \\
\end{array}
\]
I noticed the mistake in a second/even more/for a minute.
In the case of ‘notice’, the judgements vary about whether the case is partitive or total. The behavior of the verb ehmatama ‘frighten’ demonstrates the futility of a measure thematic role based account to the Estonian object case alternation. The object of the verb is an experiencer and a theme that undergoes a change. Its role does not change, but the case may alternate. Also, the feature cluster as illustrated above does not allow predictions with regard to differential object case assignment. Both variants, the total and the partitive object case one, are described with the features -durative, +dynamic, and +endpoint, as in (22).
(22)
a. ehmatama 1, partitive object:
achievement
- durative
+ dynamic
+ endpoint
b. ehmatama 2, total object:
achievement
- durative
+ dynamic
+ endpoint
The examples in (23) depict examples with the two object cases from actual language: a resultative phrase with an adjective (23a), a resultative phrase with a particle (23b), with an infinitive in its a goal case form (23c).
(23)
a. Tiigerpüüton ehmata-s noorpaari poolsurnu-ks¹
tiger.python[NOM] frighten-PST.3S young.couple.TOT half-dead-TRA
‘The tiger python frightened the young couple half dead.’
b. Mardipäeva-l ootamatult raemajja ilmu-nud
Martinmas-ADE unexpectedly city.council.ILL start-ACT.PST.PTCP
karvas-te jalga-de-ga Punamütsike ole-ks
hairy-GEN.PL foot-PL-COM P[NOM] be-CND
ametnik-e armee laiali ehmata-nud,
clerk-GEN.PL army.TOT apart frighten-ACT.PST.PTCP
kui mitte kuri hunt
if not bad[NOM] wolf[NOM]
p-ole-ks enne linnaviletsuse ōude-t
NEG-be-CND before towncouncil.GEN horrible-PTV
lõppu Punamütsikes-t nahka pan-nud.²
end.PTV Red.Riding.Hood.PTV skin.ILL put-ACT.PST.PTCP
‘Some Red Riding Hood with hairy legs, suddenly appearing at the town hall on Martinmas, was about to disperse the crowds of clerks, but fortunately the big bad wolf appeared before Red Riding Hood could put an end to the misery of the city [a pun created by replacing two vowels in the word valitsus ‘government’ vs. viletsus ‘misery’-AT] and ate up Red Riding Hood.’
c. Alastistseen ehmata-s Faime Agnese ahvatleva-st
naked.scene[NOM] frighten-PST.3S FJ.TOT A.GEN desired-ELA
osa-st loobu-ma.³
role-ELA give.up-M_ILL
‘The requirement of a naked scene so frightened Faime Jürno that she gave up the desired role of Agnes.’
The examples with this verb in (24) show that the word order of the case marked nouns may vary, but this does not matter for case marking.
(24)
a. Pääsküla nais-t ehmata-s elektrienergia libakontrolör⁴.
P.GEN woman-PTV frighten-PST.3S electricity.GEN fake.inspector[NOM]
‘The woman of Pääsküla was frightened by a fake inspector of electricity.’
b. Linnajuht ehmata-s alluva-id⁵.
town.leader[NOM] frighten-PST.3S employee-PTV.PL
‘The mayor frightened the employees.’
c. Taudioht ehmata-s piirielanikk-e⁶.
danger.of.disease[NOM] frighten-PST.3S border.area.inhabitant-PTV.PL
‘The danger of disease frightened the inhabitants of the border area.’
There may be object case variation that depends on the presence of the aspectual particle or a certain information structural status of the object, as in (25). For instance, example (25a) is perceived as missing the aspectual particle—it is an example of a title of a newspaper article.
(25)
a. Kahe kilomeetri kauguse-l lõö-v pikne
two.GEN kilometer.GEN distance-ADJ strike-ACT.PRS.PTCP lightning[NOM]
riku-b kodutehnika⁷
ruin-3S home.apparatus.TOT
«Lightning that strikes two kilometers away can ruin the domestic electric gadgets.»
b. Puujuurikas rikku-s vee ära:⁸
tree.root[NOM] ruin-PST.3S water.TOT PRT
«The root of the tree ruined the water.»
c. Ajateenistus rikku-s tervis-t⁹.
serving.in.the.army[NOM] ruin-PST.3S health-PTV
«Serving in the army ruined the (my/your/his/her…) health.»
If the verb is achievement by tests but its object case is partitive, then the verb is henceforth occasionally called a «surprise» or «partitive» achievement verb. These verbs do not confirm the aspectual hypothesis that transitive verbs that refer to events or sentences with perfective aspect should have total objects. Surprise achievement verbs are thus problematic for a purely aspect based understanding of object case since they denote an event and appear in perfective sentences, but they occur with a partitive object. The verb with the partitive case has the entry as in (26), specifying an open scale with a lexically specified measure.
(26)
a. (↑SCALE)=+
(↑SCALE SPECIFICATION)=OPEN
(↑MEASURE)= +
(↑MEASURE SPECIFICATION)=SPECIFIED
9.3.4 Degree achievement verbs
There is a class of verbs that displays variable characteristics in referring to events. This is the class of verbs, often referred to as degree achievement verbs (Dowty 1979), gradual completion verbs as in Bertinetto and Squartini (1995), or verbs of gradual change, this term is used in Metslang (1994), such as widen, lengthen, deepen, etc. These verbs denote a gradual change of a property, a change of state that does not necessarily terminate with a clear, definite, and unchangeable result state. Degree achievement verbs are transitive or intransitive. Estonian intransitive degree achievement verbs
are typically derived from adjectives by means of the morpheme \(-ne\)- that denotes gradual change. The meaning of such verb is *become adj-er*, such as *laienema* (widen, become wide) in *tee laienes* (the road widened), which can be paraphrased as «the road became wider». There are two aspectually distinct ways of deadjectival verbal derivation by morphemes that are interesting in this discussion. The morpheme \((-ne\)-) contributes to the verb’s meaning that the property denoted by the base adjective has increased by at least some, minimal extent. The other morpheme \((-u\)-) contributes to the meaning of the verb that the property denoted by the adjective occurs to a full, maximal extent. The \(-u\)- morpheme typically derives base verbs that appear in telic sentences. These verbs may be from an identical base with the \(-ne\)- verbs, their meaning can be represented as *become adj*. The \(-u\)- morpheme is not discussed in detail here, but it must be introduced\(^{10}\). These two morphemes of intransitive verbs have a counterpart that derives causative transitive verbs from adjectives, the suffix \(-nda\)- (*laiendama* (widen, make wide(r))). These transitive verbs seem to comprise two aspectual readings: that the property denoted by the base adjective has increased by at least some, minimal extent or that the property denoted by the adjective occurs to a full, maximal extent. Note that the temporality—the temporal borders—of these events are connected to the changes in the properties denoted by the base adjectives. More examples with the degree achievement verbs with morphologically related transitive and intransitive forms follow: *suurenema* (grow bigger)—*suurendama* (make bigger), *laienema* (widen)—*laiendama* (make wider), *muutuma* (change)—*muutma* (make change). Returning to the aspectual characterization of these verbs, it must be noted that regarding them as achievements is problematic. They qualify rather as accomplishments according to their compatibility with both the time frame (27a) and durative adverbials (27b)\(^{11}\).
(27)
a. Firmas laienda-s tee ühe tunni-ga.
firm[NOM] widen-PST.3S road.TOT one.GEN hour-COM
«The firm widened the road in an hour.»
b. Firmas laienda-s tee-d kaks tundi.
firm[NOM] widen-PST.3S road-PTV two[NOM] hour.PTV
«The firm was widening, widened the road for two hours.»
Indeed, Hay, Kennedy and Levin (1999) point out that it is problematic to regard the equivalent English verbs as achievements. On the basis of entailment tests, they discuss why these verbs should be seen rather as referring to either accomplishments or activities. The case marking pattern of Estonian objects in (27a)-(27b) confirms that these authors are right in identifying these two different aspectual types in these verbs.
However, my standpoint is that the two sources, Dowty (1979) and Hay, Kennedy and Levin (1999), are both right. One reading of those verbs emphasizes the temporal protraction of the event (activity); the other two
readings emphasize the occurrence of an increase or a change. Sentences (27a)-(27b) illustrate an accomplishment and activity, but the achievement-like reading, as described above in connection with partitive achievements, is also available for this verb if it appears with a partitive object as in (28).
(28)
\[ \text{Firma} \quad \text{laienda-s} \quad \text{tee-d} \quad \text{ihe} \quad \text{tunni-ga}. \]
firm[NOM] widen-PST.3S road-PTV one.GEN hour-COM
(The firm widened the road in an hour.)
The classification under the achievement class is problematic from the point of view of the phenomena typically described in connection with the partitive object case in Estonian. The occurrence of partitive objects with achievements is a restricted phenomenon. There is also proof that transitive degree achievement verbs occur with the partitive object naturally, without an iterative or forced effect, exactly as it is the case with activity or accomplishment verbs (e.g. build, etc.). These verbs thus occur context-neutrally with partitive objects in the durative sentence (27b). Therefore, the intuitive classification of these verbs under achievements needs justification. Firstly, the sentences with partitive objects primarily denote activities. However, the intuition that is difficult to capture about sentence (28) is that it describes an expired, full event in its own right regardless of the partitive object case. The traditional test with the time frame adverbial is acceptable with this sentence containing the verb and a partitive object (29) and this is the evidence that the verb has indeed also an event (achievement or accomplishment) reading with the partitive object.
(29)
\[ (?)\text{Firma} \quad \text{laienda-s} \quad \text{kahe} \quad \text{tunni-ga} \quad \text{tee-d}. \]
firm[NOM] widen-PST.3S two.GEN hour-COM road-PTV
(The firm widened the road in two hours.)
However, this sentence may have a context-dependent effect to some speakers. Dependence on context disappears for all speakers with the addition of a phrase expressing (some) extent, such as mõnevõrra (some extent, somewhat, as in (30a). Sentence (30b) combines the time frame adverbial and the adverbial specifying the extent of the change or increase in the property.
(30)
\begin{enumerate}
\item \[ \text{Firma} \quad \text{laienda-s} \quad \text{mõnevõrra} \quad \text{tee-d}. \]
firm[NOM] widen-PST.3S somewhat.TOT road.PTV
(The firm widened the road somewhat.)
\item \[ \text{Firma} \quad \text{laienda-s} \quad \text{kahe} \quad \text{tunni-ga} \quad \text{mõnevõrra} \quad \text{tee-d}. \]
firm[NOM] widen-PST.3S two.GEN hour-COM somewhat.TOT road.PTV
(The firm widened the road somewhat in two hours.)
\end{enumerate}
The unclear question here is the relation between the verb and the extent adverbial: does it indicate compatibility or trigger a different reading? Intuitively, it indicates compatibility, but this is a difficult fact to verify—the change of the property of wide is linked to the temporal progress as well.
Degree achievement verbs allow for several interpretations and are compatible with many tests. One more way to tell whether a sentence with the total object is an achievement or an accomplishment is to test it with cancelling the completion (31a). Accomplishment verbs are positive with the cancelling of the completion, and this verb indeed is acceptable in this test; therefore, the verb has an accomplishment reading. Similarly to surprise partitive achievements, the verb is compatible with rate adverbials, as in (31b).
(31)
a. Firma laienda-s tee-d, aga valmis ei saanud.
firm[NOM] widen-PST.3S road-PTV but didn’t finish.
‘The firm has widened the road, but it has not finished it yet.’
b. Firma laienda-s tee-d aeglasetl/järkjärgult.
firm[NOM] widen-PST.3S road-PTV slowly/bit by bit
‘The firm widened the road slowly/bit by bit.’
These verbs pass several tests. In sum, these data show that the -nda-affixed verbs are not pure achievement verbs, but rather activity-accomplishment verbs and a special sort of achievement verbs, which occur with partitive objects and resemble the surprise achievements that are discussed above. The lexical entries for the different readings are different, depicted in (32).
(32)
a. example (27a), total object, bounded (accomplishment)
(↑SCALE)=+
(↑SCALE SPECIFICATION)
b. example (28), partitive object, bounded (achievement)
(↑SCALE)=+
(↑SCALE SPECIFICATION)=OPEN
(↑MEASURE)=+
(↑MEASURE SPECIFICATION)=SPECIFIED
c. (27b), partitive object, durative, unbounded (activity)
(↑SCALE)=-
(↑MEASURE)=+
(↑MEASURE SPECIFICATION)
As a summary to achievements, Estonian achievement verbs occur basically with the total object. Some achievement verbs occur with the partitive object. The degree achievement verbs are different in that they seem to allow for their interpretation as three different Vendler verb types: activity-accomplishment, and the type that is closest to achievement.
9.3.5 Intransitive verbs
There are hypotheses that relate a verb’s transitivity or unaccusativity and its ability to express telicity and related phenomena («measuring out», «delimitedness»). Intransitive verbs are predominantly process, activity, or stative verbs. However, semelfactive (punctual, momentaneous) verbs are typically intransitive. There are also numerous achievement verbs that lack an object. Instances of intransitive achievement verbs are in (33).
(33)
surema 〈to die〉, jõudma [kuhu] 〈reach something〉, saabuma [kuhu] 〈arrive somewhere〉
Tamm (1998: 1-2) discusses how some intransitive verbs that express aspect occur with partitive subjects while others do not; the morphologically derived ones tend not to allow partitive subjects. Another issue that needs to be clarified is the exact nature of the possible aspectual opposite readings of intransitive verbs. This question emerges with intransitives that are not unambiguously unaccusative, since they are agentive, such as the verb tutvuma 〈get acquainted〉. Another intransitive verb that can express aspectual meaning is loobuma 〈give up〉. According to the durative and time frame adverbial tests, this intransitive verb has only an achievement reading, while tutvuma 〈get acquainted〉 has also a possible durative reading.
Intransitive particled achievement verbs are rarely agentive, but there are some, such as välja murdma 〈break out〉. Intransitive particle verbs with a theme or patient subject are numerous among achievements; some are listed in (34).
(34)
ära murduma 〈become broken〉, alla jääma [kellele] 〈to lose (to somebody)〉, üle viskama [kellel] 〈make someone fed up with something〉
9.3.6 Summary
The chapter has established that Estonian has clear event structural scalar transitive verb classes. I have provided a discussion of their characteristics in terms of a scalar verb classification, following also the classical Vendlerian classification into accomplishments and achievements. Groups of verbs are identified through their behavior in several tests. Their behavior in terms of the tests shows the types of events and the properties of these events that these verbs can refer to. Object case data confirms largely the hypothesis that the total object case is possible with verbs that denote a scale. However, verbs can refer to different event types in sentences, and
this fact is reflected in object case. The largest group of regular exceptions is the achievement verb class.
Endnotes
1 <http://www.epl.ee/artikkel/21702> (accessed 6 June 2012).
2 <http://ww3-parnu.postimees.ee/231107/parnu_perroon/index.php> (accessed 6 June 2012).
3 <http://www.ohtuleht.ee/index.aspx?id=119867> (accessed 6 June 2012).
4 <http://www.tallinnapostimees.ee/?id=222807> (accessed 6 June 2012).
5 <http://ww3-parnu.postimees.ee/231107/parnu_perroon/index.php> (accessed 6 June 2012).
6 <http://www.epl.ee/news/eesti/taudioht-ehmatas-piirielanikke.d?id=50802174> (accessed 6 June 2012).
7 <http://www.parnupostimees.ee/?id=290478> (accessed 6 June 2012).
8 <http://forum.akvarist.ee/viewtopic.php?p=41577&sid=37e5e6a33afc5becfaed1cff227262b3> (accessed 6 June 2012).
9 <http://www.militaar.net/phpBB2/viewtopic.php?p=83574&sid=5021f010f38a6d0db21bd36fe3f9281c> (accessed 6 June 2012).
10 See the studies of Kasik (2004), Pihlak (1992) and Vihman (2003) on more details about the –u– morpheme.
11 Metslang (1993: 31) mentions degree achievements in connection with the progressive: with the järkjärgulist muutust väljendavad verbid ‘verbs expressing gradual change’, whereby the situation can be understood as a telic (goal-oriented) process or an achievement (situatsioon võib olla mõtestatud nii eesmärgistatud protsessina, või saavutusena). See Tamm (2003a), Metslang (1993) and Erelt (1985) for Estonian progressive construction, which has a reading by which it is similar to Hungarian absentive (de Groot 1995). See also Bertinetto and Squartini (1995) for a discussion on ‘gradual completion verbs’ and for tests.
10.1 What are non-scalar verbs?
Non-scalar verbs in this approach are statives, activities, and atelic processes. There are verbs that cannot denote the completion of gradual changes that can make up a scale in the way described above. These verbs are referred to as lexically nonscalar. In the event of watching TV, there is no natural endpoint encoded in the meaning, and watching TV has no inherent directionality. The same is true for the verbs love, trust, see/observe, want, or visit. In real life, there comes an end to watching TV, loving and trusting George, seeing three friends, wanting two cars and visiting friends, but the verb meaning does not encode these events with an endpoint. These events do not evolve gradually closer to an endpoint. These verbs are, therefore, crucially not compatible with rate adverbials (1e) and typically not compatible with completive adverbs (1b). They are occasionally compatible with durative adverbials (1a), (1f) and (1g). Non-scalar verbs are also not compatible with time frame adverbials, as in (1c). Example (1d) displays incompatibility with even more, which shows that this group of verbs does not represent cumulative and scalar predicates.
(1)
a. Mati vaata-b televiisori-t tund aega.
M[NOM] watch-3S TV-PTV hour[NOM] time.PTV
«Matthew watches a/the film, Matthew is watching a/the film for an hour.»
b. #Mari armasta-b jüri-t täiesti.
M[NOM] love-3S J-PTV completely
«Mary loves George completely.»
d. #Mari nägi tänav-a-l oma kolme sõpra veel rohkem.
M[NOM] see-PST.3S street-ADE her three.PTV FRIEND.PTV
«Mary saw/observed her three friends in the street even more.»
e. #Mari taha-b homme kahte auto-t järkjärgult.
M[NOM] want-3S tomorrow two.PTV car-PTV
«Mary will want two cars gradually tomorrow.»
f. Mari külasta-b oma Tartu sõpr-u kolm päeva.
M[NOM] visit-3s her Tartu.GEN friend-PTV.PL three[NOM] day.PTV
«Mary is visiting her friends in Tartu for three days.»
g. Mari istu-b valve-s kolm päeva.
M[NOM] sit-3s guard-INE three[NOM] day.PTV
«Mary is sitting as a guard somewhere for three days.»
10.2 Stative verbs
10.2.1 What are stative verbs?
Stative verbs describe stative eventualities; they do not denote change over time. They have homogeneous reference, and generally they are not agentive. They are described with the features that are positive for durativity, and negative for dynamicity and endpoint, as in (2).
(2)
statives
+ durative
- dynamic
- endpoint
Here I list some principles that are widely applied for classifying verbs as stative verbs\(^1\). They are illustrated in (3).
1. They cannot appear in sentences that can be interpreted habitually (*as usual*-test).
2. They typically do not appear in imperatives (3a).
3. They cannot be complements of *persuade*, *make*, *force*, etc. (3b).
4. They do not allow modification by manner and instrument adverbs (3c).
5. They are incompatible with agentivity (the *deliberately*-test) (3d)
6. They do not appear in *do*-like pseudo-cleft sentences (that is, *tegemea*-based ones) (3e).
(3)
a. #Võrdu viie-ga!
equal[IMP.2S] five-COM
Intended to mean: «Equal five!»
b. #Stalin sundi-s kahte korda kahte
S[NOM] force-PST.3S two.PTV times.PTV two.PTV
võrdu-ma viie-ga.
equal-M.ILL five-COM
«Stalin forced two times two to equal five.»
c. #Kaks korda kaks võrdu-s vastutahmist
two[NOM] times.PTV two[NOM] equal-PST.3S against.one’s.will
/Stalini käe läbi viie-ga.
S.GEN hand.GEN by five-COM
«Two times two equalled five against their will/as caused by Stalin.»
d. #Kaks korda kaks võrdu-s meelega
two[NOM] times.PTV two[NOM] equal-PST.3S on.purpose
viie-ga.
five-COM
«Two times two equalled five on purpose.»
e. #See, mis kaks korda kaks teg-i,
that what two[NOM] times.PTV two[NOM] do-PST.3S
ol-i viie-ga võrdumine.
be-PST.3S five-COM equaling[NOM]
«What two times two did was equal five.»
As infinitives, state verbs may be complements of certain inchoative verbs. Assuming a state (if this is possible) is indicated with the inchoative predicates jääma «turn, become» and the ma-infinitive (jäi uskuma, from uskuma «believe»—«was convinced, started to believe»; jäi seisma, from seisma «stand»—«stopped, halted»).
As infinitives and in their stative reading, they are not typical complements of the inchoative verb hakkama «start, begin». And if the state verbs occur as complements of hakkama «start, begin», they cannot denote an incomplete transition to the state denoted by the verb as in (4).
(4)
#Ta hakka-s se-da juba usku-ma, aga
s/he start-PST.3S this-PTV already believe-M_ILL but
veel ei usku-nud se-da täielikult.
yet NEG believe-ACT.PST.PTCP this-PTV completely
«He started to believe it, but he did not believe it entirely, really.»
Stative verbs in Estonian appear in sentences that have partitive or total objects. In that respect they can be divided into three groups:
a) partitive object statives (10.2.2);
b) total object statives (10.2.3);
c) total and partitive object statives (10.2.4).
These three groups will be discussed in turn in the following three subsections.
10.2.2 Partitive object stative verbs
Partitive stative verbs are those stative verbs that denote a stative situation, and these verbs occur with the partitive object in a sentence.
Transitive simple stative verbs. Examples of verbs that fail the above described tests and occur with the partitive object in a sentence, therefore qualifying as partitive stative verbs are pooldama «to be on the side of, to support», mõistma «understand, realize» as in example (5a), alahindama «underestimate» (5b), or põdema «suffer from, be sick with» (5c).
(5)
a. Mari mõist-is Toomas-t.
M[NOM] understood-pst.3s T-PTV
«Mary (has) understood Tom.»
b. Mari alahinda-s Toomas-t.
M[NOM] underestimate-pst.3s T-PTV
«Mary (has) underestimated Tom.»
c. Mari põde-s grippi.
M[NOM] be.sick.with-pst.3s flu.PTV
«Mary had the flu.»
Many state predicates are statives only as their main interpretation. For instance, sitting can be understood as a state in a type of position but also as a maintained, deliberate position, an activity. Suffering from a disease can be interpreted as a process that has an end, when the disease has ceased, as in (6).
(6)
Arvatu-st palju enam laps-i on
imagined-EL much more child-PTV.PL be.3s
seagripi läbi põde-nud².
swine.flu.TOT PRT suffer-ACT.PST.PTCP
«Much more children than previously thought have suffered from the swine flu (and recovered).»
Although many if not most of the Klaas’s (1999) hard partitive verbs and Rätsep’s (1978) or Tauli’s (1968) irresultative verbs are stative, not all of them are stative in all of their uses by the tests above. An example is the verb solvama «insult» as in sentence (7).
(7)
Mari solva-s Toomas-t.
M[NOM] insult-pst.3s Thomas-PTV
«Mary insulted Thomas, Mary was insulting Tom.»
Verbs of this type can occur in habitual contexts, in imperatives, they can be complements of persuade, they allow modification by manner and instrument adverbs, etc. However, these verbs allow for a stative reading if «Mary», understood as a causer of the offence event, undergoes a metonymic shift to an attitude of Mary, paraphrased as in (8).
(8)
Mari hoiak solva-s Toomas-t.
M.GEN attitude[NOM] insult-PST.3S T-PTV
«Mary’s attitude insulted Tom.»
This sentence (8) above rather describes an attitude of Thomas with regard to the attitude of Mary than any activity of Mary. In sum, the predicate is about a stative relation. Manner adverbs, even if they have the form that is usually taken to lead to a resultative verb pattern with the total object possibility (as a terminative phrase would in Rätsep), can modify these verbs in their stative occurrences, as seen from example (9).
(9)
Mari hoiak solva-s Toomas-t.
M.GEN attitude[NOM] insult-PST.3S Tom-PTV
südamepõhja-ni/ kohutavalt.
bottom.of.the.heart-TER terribly.
«Mary’s attitude insulted Tom deeply/terribly.»
Several perception verbs, such as nägema «see», kuulma «hear», haistma «smell», tundma «feel», aduma «notice vaguely», tajuma «feel, understand» combine observing over time and noticing readings; that is, they may express stative and achievement readings. Some of these perception verbs have regular complex verb synonyms that are only stative, for instance nägema «see» and kuulma «hear» have pealt nägema «see, witness» and pealt kuulma «hear, eavesdrop» as stative complex verb counterparts.
I suggest here a new test for Estonian, based on the temporal qualities of the past and present active participles. The present active participle denotes an ongoing event, at least to the strength of an implicature, while the past active participle is ambiguous. The form of the participle can help disambiguate the two readings. The sentence with the active present participle modifying the object noun «traffic accident» as in (10a) entails that the traffic accident was unfolding under Mary’s eyes. The aspectual reading of the perception verb can only be that of a state in this case. In contrast, the sentence with the past active participle as in (10b) can be a state as well as an achievement. A synonym, silmama «notice» has only an achievement reading, and the sentence with the active present participle is slightly infelicitous as in (10c); the sentence with the active past participle describing a result state is felicitous (10d).
(10)
a. Mari näg-i tänav-a-l toimuva-t liiklusõnnetus-t.
M[NOM] see-PST.3S street-ADE happening-PTV traffic.accident-PTV
«Mary saw the traffic accident in the street.»
b. Mari nägi tänaval toimu-nud liiklusõnnetus-t.
M[NOM] see-PST.3S street-ADV happened traffic.accident-PTV
«Mary saw the traffic accident in the street.»
c. ??Mari silma-s tänaval toimuva-t liiklusõnnetus-t.
M[NOM] see-PST.3S street-ADV happening-PTV traffic.accident-PTV
«Mary saw the traffic accident in the street.»
d. Mari silma-s tänaval toimu-nud liiklusõnnetus-t.
M[NOM] see-PST.3S street-ADV happened traffic.accident-PTV
«Mary saw the traffic accident in the street.»
Achievements are odd with the modifier that is a present participle.
All verbs can be shifted to stative readings, to the extent that is dependent on pragmatics rather than semantics. This concerns mainly generic sentences, as in (11a), regardless of the basic aspectual semantic type of the verb, which can be an accomplishment or an achievement, as in the case of põhjustama «cause» in (11b).
(11)
a. Toiduallergia-d põhjusta-vad puhitus-t.
food.allergy-NOM.PL cause-3PL bloating-PTV
«Food allergies cause bloating.»
b. Purjus autojuht põhjusta-s pühapäeva
drunken[NOM] driver[NOM] cause-PST.3S Sunday.GEN
lõuna ajal Jõhvi-s avarii.
noon.GEN time J-INFL accident.TOT
«In Jõhvi, a drunken driver caused a traffic accident on Sunday at noon.»
Stative particle verbs. Non-stative and stative meanings emerge in sentences with several particle verbs that are transitive. These basically stative verbs occur with the partitive object, on similar conditions with the examples with the verb solvama «to insult». Some examples of stative verbs with a particle follow in (12).
(12)
ette heitma «reproach (as an attitude)», (endast) ette kujutama «imagine to be»,
imeks panema «be surprised at», järele aimama «be like something», pealt nägema «see (involuntarily)», pealt kuulma «hear (involuntarily)», silmas pidama «mean sth concrete», taga nutma «mourn, cry for sth/sb (in the figurative sense)»,
tähele panema «keep in mind», üle hindama «overestimate», välja kirgama «radiate something, emit radiation», välja vabandama «serve as an excuse», välja lugema «be interpretable, understandable», välja lugema «be interpretable, understandable», ära juhtima «redirect», ära kasutama «use for ones own purposes».
I have found two stative intransitive verbs with a particle and with an elative and allative complement: ära elama «make ends meet, survive, live on sth», välja tegema «choose to notice, take offence».
There are some particle verbs that are intransitive and stative, mainly denoting positions, manners of existence, emission. Naturally, there exist simple stative intransitive verbs such as *puuduma* ‘be missing’. Examples are presented under (13).
(13)
*välja sopistuma* ‘bulge out’, *välja sirutuma* ‘stretch out’, *välja vaatama* ‘stretch, hang out’, *ära jäädma* ‘be cancelled’
On the basis of these stative verb-particle combinations it can be concluded that a typically aspectual particle, in combination with a verb, does not necessarily bring about telicity or scalarity. The combination of such a particle with a verb does not result in an achievement or an accomplishment predicate. The compositions are opaque and have their own lexical aspectual characteristics. It can be observed that the particle does not co-occur with the total object case in transitive sentences either. In the stative verb-particle combinations discussed in this section, the object case is invariantly partitive. The aspectual properties and typical case properties of both verbs and verb-particle combinations display a correlation between stative meaning and partitive object case. These examples suggest that the verbs with particles can be regarded as lexical units that have their own aspectual properties such as stativity.
*Lexical functional specifications of aspectual stative predicates*. Aspectual stative predicates have partitive objects and are nonscalar, but there are two types of temporal measure:
- lexically specified as negative
- underspecified.
Features with negative values cannot be further specified in the unification at f-structure; unvalued features may but need not be specified by other elements in syntax. Being sick has a duration, underestimating is an attitude and even if it persists in time, it cannot be parceled in aspectually relevant temporal periods. This distinction between predicates is referred to as stage vs. individual level predicates. Being sick is a stage level predicate, underestimating is an individual level predicate. The lexical entries of *alahindama* ‘underestimate’ and *põdema* ‘be sick, suffer from’ reflect this distinction and are represented with the sentences that contain these verbs in (14) and (15) respectively.
(14)
*alahindama* ‘underestimate’
a. \((\uparrow \text{SCALE})=-\)
\((\uparrow \text{MEASURE})=-\)
b. *Mari alahinda-s Toomas-t.*
M[NOM] underestimate-PST.3S T-PTV
‘Mary (has) underestimated Tom.’
(15) \( põdema \) «be sick, suffer from»
a. \((\uparrow \text{SCALE})=-\)
\((\uparrow \text{MEASURE})=+\)
\((\uparrow \text{MEASURE SPECIFICATION})=\text{UNSPECIFIED}\)
b. Mari \( põde-s \) grippi.
M[nom] be.sick.with-pst.3s flu.ptv
«Mary had the flu.»
10.2.3 Total object stative verbs
Total object statives are those stative verbs that give rise to sentences that describe states, and their object case is total. Estonian stative alternations of this kind have not been addressed earlier. There are two groups of the stative total object verbs, those where the verb in the stative meaning occurs only with a total object, and those that have an «alternation» between a nominative case object and a total case marked phrase. Those where the verb in the stative meaning occurs only with a total object are, for instance, poolitama «divide in two, half», (16), jagama «divide».
(16) Jõgi \( poolita-s \) linna
river[nom] divide-pst.3s town.tot
kahe-ks võrdse-ks poole-ks.
two-tra equal-tra half-tra
«The river divided the city in two equal halves.»
Some members of this group (total object stative verbs) have progressive or activity readings. In that case they do have partitive objects (17a); the accomplishment reading of these verbs is illustrated below; the object case is total (17b).
(17) a. Mari \( poolita-s \) leiba kahe-ks võrdse-ks poole-ks.
M[nom] divide-pst.3s bread.ptv two-tra equal-tra half-tra
«Mary was dividing the loaf of bread in two equal halves.»
b. Mari \( poolita-s \) leiva kahe-ks võrdse-ks poole-ks.
M[nom] divide-pst.3s bread.tot two-tra equal-tra half-tra
«Mary divided the loaf of bread in two equal halves.»
Those verbs that have an «alternation» between a nominative case objects as in (18a) and a total case marked phrase as in (18b) with sentences with the verb *maksma* «cost». These complements that are more like measures or extents have been shown to behave differently than the usual objects, for instance, with regard to passivization as pointed out by Jackendoff (1990) and Dowty (1991) («one dollar was cost by the book» is impossible).
(18)
a. *Raamat* *maks-a-b* *vaid* *üks* *dollar.*
book[NOM] cost-3S only one[NOM] dollar[NOM]
«The book costs only one dollar.»
b. *Raamat* *maks-a-b* *vaid* *ühe* *dollari.*
book[NOM] cost-3S only one.TOT dollar.TOT
«The book costs only one dollar.»
Some of the total object state verbs have additional activity and accomplishment readings, as in (19).
(19)
*Keskerakond* *moodusta-s* *sotsi-de-ga* *läbirääkimise-ks*
center.party[NOM] form-PST.3S socialist-PL-COM negotiating-TRA
*delegatsiooni*⁶.
delegation.TOT
«The center party formed a delegation in order to negotiate with the Socialist Party.»
In sum, these verbs with total objects describe measurable extents or configurations, sums, etc. Their ability to express a measure is fixed lexically in the lexical meaning of the verb. These predicates are referred to as measure stative predicates. They have **total objects** as in (20a) and they are **nonscalar**. Their spatial measure is specified lexically as in (20b), e.g., *moodustama* «make up, form».
(20)
a. *kui* *1993 aasta-l* *moodusta-s* *viimas-te* *osakaal*
if 1993 year-ADE comprise-PST.3S latter-GEN.PL proportion[NOM]
*kooselu-de-st* *terviku-na* *neljandiku*⁷
family-PL-ELA total-ESS fourth.TOT 24%
«If in 1993, the proportion of the latter made up one fourth of the total of couples living together...»
b. *(†SCALE)=–
*(†MEASURE)=+
*(†MEASURE SPECIFICATION)= SPECIFIED
10.2.4 Total and partitive object state verbs
There is a class of stative verbs that is in transition from spatial, measure-based lexical semantics to aspect-based lexical semantics, from total to partitive object marking. Here I present an object case alternation type of stative transitive verbs that I call extent and property alternation (piirama ‘border as obstacle’, raamima ‘frame’, ääristama ‘border as decoration’, katma ‘cover’). This subsection introduces the stative verbs that can appear in sentences with total objects or partitive objects and that seemingly have free variation of object case. This alternation is illustrated in (21) and (22). Sentence (21) represents the extent stative alternate of the object case alternation pair.
(21)
Habe katt-is mehe-l terve näo.
beard[NOM] cover-PST.3S man-ADE whole.TOT face.TOT
‘The beard covered the man’s whole face.’
(Tauli 1968)
In sentence (21) with the total object, a state is described. There is a possibility of understanding the state as a result of the beard growing and by slowly covering the parts of the face, reaching the extent of covering the whole face. However, the result interpretation is not the first interpretation of that sentence. The first interpretation of the state is about the extent of the spatial coverage of the object referent; the sentence describes how much of the extent of the face is covered by the beard. The parallel sentence (22) with the partitive object also describes a state, but this sentence does not describe the state of the extent of coverage of the face by the beard but rather a property of the man or the beard. Sentence (22) is an example of a property stative.
(22)
Habe katt-is mehe-l terve-t nägu.
beard[NOM] cover-PST.3S man-ADE whole-PTV face.PTV
‘The beard covered the man’s whole face.’
Sentence (22) cannot describe the result of the beard growing and then reaching the extent of covering the whole face. Sentence (22) can contain (total-case marked) durative adverbials such as terve nädala ‘for the whole week’, sentence (23a) cannot. The extent state sentences (23a) cannot be bounded whereas the property states are boundable, combinable with measure phrases (23b). Examples (23b) and (21) are represented by the feature structure (24a), and example (22) is represented by the feature structure (24b). In (21), the feature comes from an object and in (23b), from an adjunct.
(23)
a. *Habe katt-is mehe-l terve näo
beard [NOM] cover-PST.3S man-ADE whole.TOT face.TOT
terve nädala.
whole.TOT week.TOT
«The beard covered the man’s whole face for a whole week.»
b. Habe katt-is mehe-l terve-t nägu
beard [NOM] cover-PST.3S man-ADE whole.PTV face.PTV
terve nädala.
whole.TOT week.TOT
«The beard covered the man’s whole face for a whole week.»
(24)
a. (↑SCALE)=-
(↑MEASURE)=+
(↑MEASURE SPECIFICATION)= SPECIFIED
b. (↑SCALE)=-
(↑MEASURE)=+
(↑MEASURE SPECIFICATION)= NONSPECIFIED
In sum, some stative verbs, such as those of coverage, have object case alternation. Stative sentences containing verbs that describe an extent have total objects, and those that describe a property have partitive objects. The extent state sentences cannot be temporally bounded while the property states are boundable, combining with measure phrases. The reason may be that two measures are not allowed with one predicate. These verbs are problematic for a purely aspectual account of object case, since they do not denote an event, they occur in an imperfective sentence, but their object case is total. The objecthood of stative verbs cannot be well tested.
10.2.5 Summary to 10.2
The results of the study of stative verbs are summarized in Table 10.1. Transitive sentences with stative verbs typically have partitive objects. Stative verbs are not a uniform class with regard to object case, since some stative verbs in Estonian appear in sentences that have partitive or total objects. I divide stative verbs into three groups according to their occurrence with either object case: partitive object statives (pooldama «to be on the side of, to support», mõistma «understand, realize»), total object statives (poolitama «halve, divide», maksma «cost») and extent as opposed to property alternational, that is, total as opposed to partitive object statives (katma «cover»). Several stative verbs describing extent have the total object case and these sentences can be analysed as describing measures or extents. The division between the stative verbs is presented in Table 10.1.
Table 10.1 Stative transitive verbs and object case.
| Object case | partitive object statives | total object statives | total vs. partitive object statives |
|-------------|---------------------------|-----------------------|-------------------------------------|
| Example | pooldama «to be on the side of, to support», möistma «understand, realize», some particle verbs | poolitama «halve, divide», maksma «cost», no particle verbs | katma «cover», no particle verbs |
| Description | These verbs describe attitudes, properties, or relations. | These verbs describe measurable extents of configurations, extents etc. | These are extent state versus property state alternational pairs. |
Compared to stative atelic verbs, activity verbs are more uniform in their object case.
10.3 Activity and process verbs
10.3.1 Activity verbs
Activity verbs are non-scalar and have homogeneous reference; they are described as agentive and atelic. Activity verbs are subsumed under dynamic verbs in many typologies (jooksma «to run», tegelema «to deal with, to be busy»). These verbs are positive in agentivity tests, thus, in most cases, give the opposite result in the tests that diagnose stativity. They are described with the features +durative, +dynamic, -endpoint in several sources. These verbs occur in well-formed sentences with durative adverbials (for an hour/year/minute, etc), they can be modified by deliberately, slowly, other manner and also instrument adverbs, or be complements of persuade, or force.
Simplex activity verbs. Activity verbs are intransitive and transitive (25a)-(25c). Sentences describing activities have invariantly a partitive object when transitive (26).
(25)
a. Mati jooks-is.
M[NOM] run-pst.3s
«Matthew was running, Matthew ran.»
b. Mati tegele-s voolimise-ga.
M[NOM] deal-with-pst.3s modeling-com
«Matthew was dealing with modeling, Matthew was modeling.»
c. Mati vaata-s filmi.
M[NOM] watch-pst.3s film.ptv
«Matthew watched a/the film; Matthew was watching a/the film.»
However, the basically intransitive activity verbs can occur with partitive marked distance and temporal measure/extent phrases (26a)-(26c). Temporal measure phrases that appear in the partitive case in sentences with activity verbs are less felicitous than the distance ones (26b), (26c),
but possible. Tamm (2007a) discusses the partitive plural case marking of measure phrases, such as in (26c).
(26)
a. Mati jooks-is ühte kilomeetri-t.
M[NOM] run-PST.3S one.PTV kilometer-PTV
‘Matthew was running one kilometer.’
b. ?Mati jooks-is (oma) ühte tundi.
M[NOM] run-PST.3S (own/his)one.PTV hour.PTV
‘Matthew was running for one hour, Matthew went for his one-hour run.’
c. Takso sõiduta-s Peetri-t mitme-id kilomeetre-id edasi.
taxi[NOM] drive-PST.3S P-PTV many-PL.PTV km-PL.PTV further
‘The taxi was driving/drove Peter many kilometers further.’
It is a topic of discussion what the aspectual contribution and syntactic status of various measure phrases is. Some aspects of the accusative and partitive alternation in marking temporal adverbials in Finnic are studied by Nelson (2003). She establishes that only one accusative case marked phrase, either the argument or the adverbial, is allowed in Finnish clauses, whereas Inari Saami can have more phrases with accusative marking. Haspelmath (1997: 38) describes measure phrases as representing atelic extent as opposed to telic extent. Fowler and Yadroff (1993) discuss the argument or non-argument status of the measure phrases in Russian; the relation between the argument status and aspectual effects of Russian accusative-marked NPs and pro-prefixation is discussed in Fici (1999). Estonian regular case alternation points to the argument-like status of these phrases in the previous examples; Tamm (to appear a, 2007b) contain some discussion on measure phrases and their different syntactic status. Komlósy (1992), followed by Kenesei (2000), tend to treat these phrases as (peripheral) arguments. Komlósy (1992: 317, 451, 457) contains a discussion of some measure phrases in Hungarian and notices the aspectual type-changing properties of these phrases. Depraetere (p.c.) would consider example (26a) telic on condition that Matthew has intended to run one hour (beforehand); in terms of reference to an event with a set endpoint (cf. Krifka 1992), these examples are atelic predicates.
Particle verbs describing activities. Particle verbs are not typically activity verbs, but there are some, such as maha tegema ‘disparage’. Among intransitives there are the following verbs: peale käima ‘insist’, peale tungima ‘attack’, maha kirjutama ‘to copy’. Other particle verbs that are activity verbs in one of their readings are listed in (27). Many of these verbs are also listed under stative verbs where these verbs were understood as describing certain states of mind or attitudes. Here, they are understood as concrete activities.
(27)
ette heitma ‘reproach (concretely)’, järelle aimama ‘mock, play sb or sth, act as sb’, pealt kuulama ‘eavesdrop, listen to’, pealt vaatama ‘watch (as sth is going on), observe’, taga nutma ‘cry for sb.’
In sum, transitive activity verbs, whether simple or with a particle, occur with partitive objects. Measure phrases—objects or adverbials—in sentences describing activities are also marked with the partitive case. Activity verbs can appear with a measure phrase that is marked with the total case, but it is unclear whether the type of event these verbs describe is an activity then. Particled and simple verbs that describe activities are transitive or intransitive.
The representation. Activity verbs such as vaatama «observe» as in (28a) appear exclusively with partitive objects, as in (28c), and can appear with total case marked measure adjuncts. They are nonscalar, their measure being underspecified as in (28b). In a VP, the feature unification of case and the verbs in the sentence in (28b) is specified as in (28d).
(28)
a. vaatama «observe»
b. (↑SCALE)=-
(↑MEASURE)
c. Mati vaata-s filmi terve tunni.
M[NOM] watch-PST.3S film.PTV whole.TOT hour.TOT
«Matthew watched a/the film; Matthew was watching a/the film for an hour.»
d. (↑SCALE)=-
(↑MEASURE)=+
(↑MEASURE SPECIFICATION)=SPECIFIED
In sum, the scale and measure features determine the verb classes and case marking, the scale feature of activities and processes is negative.
10.3.2 Process verbs
In my typology, activity verbs and process verbs are treated as one aspectual class. Process verbs have the negative result in the tests that diagnose stativity and the tests that diagnose agentivity. Process verbs occur in well-formed sentences with durative adverbials (for an hour/year/minute, etc.), they can be modified by slowly, by other manner and also instrument adverbs, but they cannot be modified by deliberately, or be complements of persuade, force, etc. They have homogeneous reference and are called atelic in literature, but they are not agentive. There are some morphemes that are typical of process verbs (cf. EKG II, Sulkala 1996). Examples of process verbs are tilkuma «drip», voolama «flow, run» (see example 29), lendlema «fly here and there», or pudenema «fall apart, fall down in scattered pieces».
(29)
Vesi tilku-s/voola-s.
water[NOM] drip/run/flow-PST.3S
«(The) water was dripping/running/flowing.»
Process verbs have either nominative or partitive subjects. The following examples (30)-(32) present the possible case alternations of some process verbs *tilkuma* «drip» and *voolama* «flow, run». These examples show that the case alternation does not correspond to any aspectual alternation in the case of these process verbs.
(30)
```
Kraani-st tilku-s/voola-s tund aega ve-tt.
tap-ELA drip/run/flow-PST.3S hour[NOM] time.PTV water-PTV
```
«Water was dripping/running/flowing from the tap for an hour.»
This sentence (30) has an elative and a partitive complement. It describes the process of the substance water (partitive marked) dripping or flowing from the location tap (elative marked).
(31)
```
Kraani-st tilku-s/voola-s tund aega vesi.
tap-ELA drip/run/flow-PST.3S hour[NOM] time.PTV water[NOM]
```
«Water was dripping/running/flowing from the tap for an hour.»
This sentence (31) has an elative and a nominative complement. It describes the process of the substance water (nominative marked) dripping or flowing from the location tap (elative marked). The following sentence has a partitive and a nominative complement. It describes the process of the substance water (partitive marked) dripping or flowing from the location tap (nominative marked).
(32)
```
Kraan tilku-s/jooks-is tund aega ve-tt.
tap [NOM] drip/run/flow-PST.3S hour[NOM] time.PTV water-PTV
```
«Water was dripping/running/flowing from the tap for an hour.»
Process verbs are predominantly intransitive verbs, they occur in sentences with partitive or nominative subjects. It must be, however, noted that in Estonian sources it is a subject of discussion what the syntactic function of the nominative and partitive complements here is. The partitive marked theme complement is frequently treated as being between objects and subjects. In sum, the partitive or nominative alternation of what can be considered the subject (or an object) in the sentences with process verbs *tilkuma* «drip» and *voolama* «flow, run» does not influence the interpretation of the verb as a process verb. The range of frames that are available for verbs of liquid emission is not possible with other verbs of emission.
The partitive/nominative alternation is possible with most intransitive process verbs if the necessary discourse setting is provided and the alternation does not correspond to any aspectual alternation, as in (33a) and (33b).
(33)
a. Tuule-s lendle-b leht-i.
wind-INE fly-3S leaf-PTV.PL
«There are leaves flying in the wind.»
b. Tuule-s lendle-vad lehe-d.
wind-INE fly-3PL leaf-NOM.PL
«Leaves are flying in the wind.»
These sentences describe events with no endpoint. The subject case alternations of these examples are described in more detail in Nemvalts (1996) and (2000). Nemvalts (2000), however, discusses also cases where subject case alternation corresponds to aspectually opposite sentences: Saabusid külalised[NOM] vs. külalisi.PTV saabus, ‘guests arrived, were arriving’). In my assessment, both sentences can be imperfective or perfective.
Presently, I am unaware of process verbs that have an aspectual particle. In the context of this book it is worth mentioning that the adverb or particle edasi ‘further’ can occur with activity and process verbs.
10.3.3 Conclusion to Section 10.3
This section establishes that Estonian has non-scalar transitive verb classes. The section provided a discussion of their characteristics in terms of a Vendlerian classification into states and activities-processes. Groups of verbs have been identified through their behavior in several tests. Their behavior in terms of the tests has shown the types of events and the properties of these events that these verbs can refer to. An alternative set of test is presented in Tamm (2003a). Object case data confirms largely the hypothesis that the total object case is not possible with verbs that refer to non-scalar events.
Endnotes
1 I add some distributional tests that are useful for filtering out Estonian stative verbs.
2 <http://www.postimees.ee/?id=192430> (accessed 6 June 2012).
3 <http://www.naistemailm.ee/?module=forum&action=post&id=14004> (accessed 6 June 2012).
4 <http://www.autonet.ee/uudised/paevauudised/2400> (accessed 6 June 2012).
5 The complex structure of verbs such as hoidma ‘keep, hold’ and pidama ‘keep, sustain’ have an alternation that is partly similar, as in hoian/pean riided(NOM.PL) puhtad(NOM.PL)/puhta(i)na((PL)ESS) ‘I keep my clothes clean’. An alternation with partitive is possible with the essive only. This fact shows that there is obligatory agreement in the syntactic pattern with the total object construction with this verb, and therefore it has a more complex structure than the simple predicates that are the target of this book: hoian/pean riideid(PTV.PL) *puhtad(NOM.PL)/*puhtaid (PTV.PL)/ OK: puhta(i)na((PL)ESS) ‘I am keeping my clothes clean’.
6 <http://www.tallinnapostimees.ee/?id=177834&redir=> (accessed 6 June 2012).
7 <http://www.sotsioloogia.ee/vana/esso3/5/aili_kelam.htm> (accessed 6 June 2012).
8 Further discussion on the syntax, semantics, and pragmatics of the Estonian partitive objects, such as mass and plural partitives, in connection with semantic or pseudo-incorporation, or as in equi and raising constructions can be found in Tamm (2011a, 2011b, 2008, 2007a, 2007b, 1999). Comparisons with other languages are made in Tamm (2006b, 2004a).
CHAPTER 11
CONCLUSION
For decades, linguists have been intrigued by the Finnic partitive and accusative object case alternation. It is an evergreen topic across linguistic traditions and schools. The complexity of semantic, pragmatic, and syntactic phenomena involved has provided challenges and inspiration for generations, and the Finnish object case alternation has become the textbook example of Differential Object Marking (DOM).
This book demonstrates that if formal approaches address the insights of functional approaches and vice versa in the course of finding answers to problems of the Finnic DOM, then there is a way to benefit from a better understanding of any linguistic phenomena for both approaches. There is still considerable crosstalk between the schools, and basic terminology is misunderstood. The lack of dialogue and informed accounts has become more pronounced. Especially, more neutral accounts that combine the insights of formal and functional schools for scholars whose training has excluded adequate access to the terminology, goals, and ideas of the other tradition would be welcome. The discussion of the Finnic phenomena serves as a good example of how a synthesis of formal and functional accounts can be achieved in future research. The strategy of uniting several research agendas where the increase in knowledge would have implications across linguistic schools can be beneficial for integrating various approaches in future. In this case, the issues addressed were the meaning-form match between scalar semantics and explicit morphosyntax, cross-categorial semantics, and verb classifications.
Formal and functional approaches have found it difficult to understand the value or even to refer to the results of the opposite tradition. At closer inspection the pursuit has much common, and it is worth the effort for the linguistic community. Some previous formal approaches have regarded the Finnish objects as evidence for a strong hypothesis about how meaning interacts with form. An influential formal hypothesis links the existence of syntactic objects and the semantics of aspect, an idea that has emerged in functional-typological literature in the course of comparing large samples of languages. The lexicalist line of formal linguistic research suggests that the lexicon accounts for the strong correlations between objecthood, object case marking, and aspect, while the syntactic line typically relies on features in explaining the same phenomena. Functional research has already established a direct link between object cases and clausal aspect, but the precise role of the lexicon in the aspectual composition has remained without sufficient elaboration. This research can serve as a model how to provide a more adequate sample and description to address the multiple issues of the role of the lexicon in the relations between form and meaning.
One point where the formal and functional approaches can profit from a joint effort is the empirical data from less known languages. Traditionally, the data sets targeted by the two different approaches have little in common, but there are ways to provide data that can answer more questions and give results that are more resistant to time and fashion. This book has provided new data descriptions, updatable cross-links, indexes, systematized references to previous works and integrated reviews of previous accounts. Because of the theoretically and methodologically broader and combined goals, the book has become the most extensive available scholarly source on Estonian verbs and may serve as a model for other data descriptions. Firstly, one chapter serves as a link between the account of scalar verb classes and various more accessible sources on Estonian aspectual verb classes that are available in English. Secondly, several chapters provide text samples of native produced instances of the Estonian DOM. Thirdly, the most extensive review of the previously inaccessible rich literature on verb classes and their relationship to object case that has been written in Estonian has been given. Fourthly, numerous examples that have stood central in previous literature and that are accessible only in Estonian have been digitalized, segmented, glossed, translated, and described following and explaining the terminology with which they have been described in the original. The book has tried to demonstrate that this broad and deep approach to data is more profitable for the scientific community than a strictly analysis oriented approach to data. Typically, a writing that belongs to a linguistic tradition presents a data set that supports the main argument or the chosen approach. Data that are problematic for the argumentation and the approach in question are avoided. However, avoiding these data is not beneficial for the community, and our general knowledge about language. If more and carefully described data are presented to the public, only then we can compare the coverage of the particular hypotheses and form alternative accounts in the future, when the theories are likely to be more advanced. All linguistic frameworks would benefit from an account of linguistic data that are based on the intuitions of native speakers, the introspection of native speaking linguists, a broad database, cutting-edge theories, diverse methodologies and precise testing. Since the intuitions and introspection of native speaking linguists are crucial for a study that aims at integrating cross-categorial features in the lexicon and at creating a verb classification that is intuitive for native speakers, the literature review has targeted not only the data, but also the main intuitions. How extracting these intuitions is done may belong to one of the most innovative parts of this book, because even if a previous approach aims at being purely descriptive, there is always a history of ideas behind the choice of data and the concepts with which they are associated. Much valuable data known to linguists may have been lost because they do not fit well with the main concepts that are there in the air. This book has tried to clarify the underlying ideas of native speaking scholars in the context where they were working, neutralizing them to some extent, and relate them to a wider set of ideas about verb classes and categories in general. The missing data and inconsistencies have been identified and added in a separate chapter with other related observations in a way that does not contradict previous intuitions. The main intuition can be worded as follows: object case alternation is a phenomenon that belongs to aspect, but it interacts closely with the lexicon and shows parallels in the nominal domain, where it originates.
This book has not attacked or rejected any approaches. Instead, it has demonstrated a way to improve the previous results as they were designed to look like ideally, and only then some more conceptual abstraction was carried out until new patterns started to take shape. The available useful theoretical accounts have been examined in detail to achieve this as well. Since previous theoretical approaches avoid sloppiness by strictly covering only the data that strengthens the theoretical point, they are too narrow for getting a broader picture of the data. Reliable NP-related, lexical, or aspectual accounts have been offered separately, but the three components have not been integrated into a coherent whole with syntax. Since these accounts are more restricted than necessary for explaining the data selected by native speaking linguists according to their intuitions about the Estonian phenomena, this book has worded some concrete hypotheses to capture the ideas of previous theoretical approaches. The «quantification hypothesis» about the object case marking in Estonian hypothesizes that quantized NPs are marked by the total case as objects, whereas non-quantized NPs as objects, or parts of a whole NP are marked by the partitive case. The quantification hypothesis has turned out to be too strong. It covers frequent but not all instances of the total case phenomenon and does not cover the partitive case. The «definiteness hypothesis» hypothesizes that definite NP objects are marked by total case, and indefinite NP objects are marked by the partitive case. Again, the data has provided evidence that the definiteness hypothesis covers frequent but not all instances of the total case phenomenon, and it does not cover the partitive case. The «viewpoint aspectual hypothesis» about case has been formulated as follows: the partitive case marking occurs in sentences that describe imperfective viewpoint aspect, and the total case marking occurs in sentences that describe the perfective viewpoint aspect. The «telicity hypothesis» about case has been given the following formulation: the partitive case marking occurs in sentences that describe atelic events, and the total case marking occurs in sentences that describe telic events. Each of these hypotheses has been shown to explain a distinct set of data, but none of them covers the data set provided by native speaking linguists. Therefore, the division of labor between NP semantics, syntax, verb semantics, and aspectual semantics has not been delineated adequately enough to explain the role of lexicon in Estonian aspect. Telic verbs with partitive objects and atelic verbs with accusative-total objects form the most puzzling data groups. Combining the knowledge from diverging approaches, clear aspectual verb classes could be established on the basis of typical clausal aspect and flexibility in occurring with the partitive and the total objects or total measure adverbials.
Lexicalist approaches have provided a better database for accounting for the linguistic data, but compared to the data found in the Estonian sources and additional data identified in the book, it turns out that the lexicalist approaches have still missed out on relevant previously recorded data. This book has highlighted the missing sample for compiling an aspectual verb classification with a wider coverage of data and shown that relating case to verb semantics via a thematic relation cannot account for the data. Even if verbs are lexically restricted in the aspect they express, this restriction cannot be directly related to the thematic role of the object unless an additional innovation is performed, namely, if an aspectual role is added to the role inventory. Even then, a thematic role approach cannot integrate the total adjunct case, since adjunct case is not linked to thematic roles. The phenomena of adjunct and object case are related, as pointed out across various theoretical frameworks, but upon a more systematic examination of native linguists’ databases, accounts, and intuitions, the relatedness clearly depends on verb class. The lexicalist approaches can now profit from this book to refine their accounts.
A broad and integrative view on frameworks and sources has proved to be useful for generating new ideas that have a broader appeal than case, verb classes, and aspect. For decades, semantic similarities between categories have been puzzling linguists of various frameworks. For instance, a property of adjectives, referred to as scalarity or gradability, is found to be a feature of grammatical categories other than adjectives as well. Several recent formal approaches to the derivation of verbs have found a way to formalize cross-categorial links. These sources have shown that verbs derived from adjectives share the scalar properties of their base adjectives, and that the scalar properties of participles run parallel with the aspectual properties of the corresponding combinations of verbs and their arguments. This semantic regularity suggests the possibility of languages where the cross-categorial degree properties are expressed in overt morphosyntax. Finnish is a morphologically rich language where cross-categorial degree properties seem to be expressed in overt morphosyntax. Also, Finnish has a sufficient number of trained native-speaking linguists that could perform the necessary introspection and verify the potential correspondences between cross-categorial semantics and morphosyntax. Although there is already previous work available concentrating of Finnish, the intended results are not explicit enough to propose a coherent verb classification. Research on the less accessible but more regular Estonian has offered a more informing picture. This book has shown that the shift to less known languages can be rewarding from a general linguistic viewpoint as well.
Confirming previous results, the book has verified that various scalar properties of lexical items are preserved in Estonian deadjectival derivation. This fact is reflected in the object case marking options and the range of aspectual meanings that are available for the derived verb. However, the study of a less known language has been useful in an unexpected way: the morphological plenitude of derivational suffixes renders the situation more complex than in the previously studied English. Since there is more than one morpheme in the system of Estonian deadjectival derivation, the type of the morpheme influences the tendencies in lexicalizing verbal aspect. In addition, the transparency of the adjectival scalar properties in the derived verb depends on the degree of lexicalization as well. Opacity is not surprising in various derivations that are lexicalized to a greater or lesser degree, but the aspectual similarity of deadjectival and non-derived verbs and the evidence from their morphosyntax points to the cross-categorial nature of the adjectival and verbal semantics. Although more detailed research into the shared semantics and derivation is left for the future, scalar properties can be established as an independent cross-categorial property. This finding can useful for other languages as well while working towards a more adequate verb classification.
A general typological perspective has been chosen for the account, but the verb classes are presented in a stricter formal system that links multiple levels of representation of form and meaning. The advantage of this strategy is retaining perspective but also zooming in on the details. In order to explain the unexpected patterns that defy the rules established by previous aspectual accounts, the concept of aspectual boundability that can be found in native speaking linguists’ accounts is split in two: scale and measure. This book has concentrated on the features of scale and measure that are part of the conventionalized meaning of lexical entries. Due to the historical origin of the partitive as a quantification-based case of incremental theme verbs, the Estonian aspectual system conceptualizes aspect as a scale on which events can be realized in different degrees. Verbs constrain the conditions on the existence of a scale and measure in the verbal semantics. Total case marking specifies boundedness. The meaning of a scalar verb encodes a scale; the meaning of non-scalar verbs does not encode a scale and may encode a measure.
Accomplishments, achievements, and degree achievements are scalar verbs, since the event denoted by these verbs progresses in degrees towards its completion, result or endpoint. In an event of widening the road, the changes on the road proceed by degrees of becoming wider and wider. These events can be bounded by boundaries on the scales, by means of total case on the object. States, activities, and atelic process verbs are considered non-scalar in this approach. These verbs cannot denote the completion of gradual changes that make up a scale in the way described above. The evolving of these events before their expiration does not proceed gradually. These events can be bounded by measures, typically by means of measure adverbials if the verb meaning allows for measure.
Combinations of lexical scale and measure features determine the representation for each aspectual verb class in the formal account inspired by previous functional approaches. One major difference from many generative approaches is the treatment of case. Aspectual case is not «assigned»; it has an active role at the interface between syntax and semantics. Aspectual information has been presented as part of the functional specifications associated with lexical entries of verbs as well as aspectual cases. Within the grammar model of Lexical Functional Grammar, functional structure is the syntactic level at which the mutually complementing and partly overlapping aspectual information is encoded. This is the level where the unification of the aspectual features of the cases and verbs takes place.
The book has shown that the relationship between form and meaning encompasses scalar features that are cross-categorial and that are widely described as aspectual features in previous research. The principles of a verb classification, reflecting these features, have been proposed for a language where the scalar properties of verbs are mirrored in morphosyntax. Several new research goals can now be defined on the basis of where this work has stopped. Further studies on scalar and cross-categorical phenomena and verb classes in other languages are likely to be interesting for a wide spectrum of linguistic schools and traditions. For instance, the results of this research suggest that cross-categorial scalar properties emerge in other grammatical categories as well, for instance, modality. The current understanding of aspectual composition will presumably change on the basis of the database presented in this book. Since there are more types of boundedness (as described in e.g. Jackendoff 1996) than were found relevant in the morphosyntactic encoding in this data sample, promising results can be expected from further research into the lexicalization patterns of the dimensions of scalarity and boundedness across languages. Most importantly, this book wishes to serve as a useful source for all scholars aiming at integrating all available knowledge of particular languages in search of better theories.
1. List of abbreviations
a-structure argument structure (as in Lexical Functional Grammar)
ACT active
ACC/TOT the morphological genitive or nominative as an aspectual object case
AFF affectedness
ambires. ambiresultative, able to appear in resultative as well as irresultative sentences
±ADDTO a formal feature of aspectual verbs (as referred to in Verkuyl 1993), comparable to lexical durativity
ASP aspect
±B boundedness feature
B1, B2 the attribute termed as boundedness 1 (scale), boundedness 2 (measure)
BP the bounding particle, the aspectual particle that appears without a measure argument (Tamm 2004c)
c-structure constituent structure (as in Lexical Functional Grammar)
CND conditional
CP the completive particle, the aspectual particle that appears with an argument that measures out the event (Tamm 2004c)
CS Conceptual Structure
De a phrase denoting source in a construction (the extralocal directional, as referred to in Rätsep 1978)
Di a phrase denoting direction or a goal in a construction (the intralocal directional, as referred to in Rätsep 1978)
DIM diminutive
| Abbreviation | Description |
|--------------|-------------|
| Dt1 | a translocative directional (e.g., along N) in the first position, as referred to in Rätsep 1978) |
| Dt2 | a translocative directional in the second position, as referred to in Rätsep 1978) |
| DO | Direct Object |
| DISTR | distributive quantifier clitic |
| EKG II | Eesti Keele Grammatika II (Erelt et al. 1993) |
| ELA | elative |
| Est. | (in) Estonian |
| f-structure | functional structure (as in Lexical Functional Grammar) |
| GB | Government and Binding |
| GEN | genitive |
| GO<sub>Poss</sub> | Go as in Jackendoff (1991) |
| ILL | illative |
| IPS | impersonal |
| irres. | irresultative |
| lat. | lative |
| LCS | Lexical Conceptual Structure |
| LFG | Lexical Functional Grammar |
| Loc | Location, locative |
| MAX | the value termed as maximal |
| MIN | the value termed as minimal |
| m_ILL | m-formative illative non-finite form, the supine (the «ma-infinitive») |
| m_INE | m-formative inessive non-finite form (the «mas-infinitive») |
| n.a. | not applicable |
| N | noun |
| N1 | the first nominal, noun phrase in a construction (as referred to in Rätsep 1978) |
| N2 | the second nominal, noun phrase in a construction (as referred to in Rätsep 1978) |
| N+ngp | the phrase that can be marked with the morphological nominative, genitive, or partitive (as referred to in Rätsep 1978) |
| N+part | the phrase marked with the partitive (as referred to in Rätsep 1978) |
| Abbreviation | Description |
|--------------|-------------|
| NEG | negation particle or auxiliary |
| NOM | nominative |
| NP | noun phrase |
| n.a. | not applicable |
| O | object (as referred to in Tauli 1980) |
| OBJ | Object |
| Op | partitive object (as referred to in Tauli 1980) |
| Ot | total object (as referred to in Tauli 1980) |
| P | perfectivity property (as referred to in Dahl 1981) |
| Pat | Patient |
| PA-s | proto-agent properties |
| PO | partitive object (as referred to by most Estonian sources) |
| PP | prepositional phrase (often conceptually covering the adposition phrase or morphologically case-marked phrases in descriptions of Estonian) |
| PP-s | proto-patient properties |
| PPC | pseudopartitive construction |
| PRED | predicate (as in Lexical Functional Grammar) |
| PRS | present |
| PRT | particle |
| PST | past |
| PTCP | total (semantic accusative) |
| res. | resultative |
| s | singular |
| s-structure | semantic structure (as in Lexical Functional Grammar) |
| ±SQA | formal feature of specified quantity (as referred to in Verkuyl 1993) |
| ±STP | set terminal point (as referred to in Krifka 1998) |
| SUBJ | Subject |
| T | telicity property (as referred to in Dahl 1981) |
| ±T | formal feature of terminativity (as referred to in Verkuyl 1993) |
| TER | terminative |
| TO | total object (as referred to by most Estonian sources) |
TRA translativ
v or V the logical «or»
V verb
VP verb phrase
* grammatically unacceptable, violates a syntactic or a morphological rule
# semantically unacceptable
% pragmatically unacceptable, violates a Gricean maxim
?? possible, but not likely to be found in native productive texts
? odd use, rather context-dependent.
¬ negation
The glossing follows the Leipzig glossing rules. Specific details about additional glossing decisions of this article are provided on the website <glossing.pbworks.com>.
2. List of Appendices
These appendices are available only online at <http://verbclasses.pbworks.com>
Appendix 1. Estonian intransitive verbs.
Appendix 2. Estonian transitive verbs.
Appendix 3. Estonian particle verbs.
Appendix 4. Estonian scalar verb classes.
Appendix 5. Estonian basic aspectual verb frame alternation types.
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INDEX OF NAMES
Ackerman, F. 10, 13, 67, 105, 109, 133-136, 207
Amato, L. 10
Antonielli, A. 10
Bach, E. 103, 207
Beavers, J. 148, 207
Belletti, A. 36, 139n., 207
Bende-Farkas, Á. 9
Bereczki, G. 67, 80, 207
Bertinetto, P.M. 10, 147, 174, 179n., 207
Bickel, B. 10
Blake, B. 134, 207
Bolinger, D. 11, 147, 207
Booij, G. 9
Borik, O. 10
Bresnan, J. 150, 207-208
Butt, M. 10, 28, 137-138, 150, 207-208, 211, 215
Carlson, G.N. 33, 208, 211
Caudal, P. 10, 148, 208
Chierchia, G. 33, 208
Cinque, G. 10
Comrie, B. 10, 47-48, 208
Csibra, G. 10
Dahl, Ö. 10, 12, 47-48, 77, 80, 155, 205, 208, 212
Dal Pozzo, L. 10
Dalmi, G. 9
Dalrymple, M. 137, 208, 150
de Swart, P. 10
Depraetere, I. 40, 47, 49-50, 52, 54, 58, 193, 208
Dowty, D. 47, 114, 136, 174-175, 189, 208-209
É. Kiss, K. 9, 89, 209, 217
Ehala, M. 89, 209
Enç, M. 36, 209
Erelt, M. 27, 63-64, 67, 108, 179n., 204, 209, 211, 213-214
Faller, M. 10
Fici, F. 193, 209
Fowler, G. 193, 209
Gergely, G. 10
Giardini, F. 10
Gillon, B.S. 33, 209
Grimshaw, J. 137, 209
Groot, C. de 10, 58n., 179n., 208-210
Harley, H. 10
Harms, R.T. 67, 95n., 99, 209
Haspelmath, M. 193, 210
Hasselblatt, C. 67, 73, 80, 87, 210
Hay, J. 146, 155, 175, 210
Heinämäki, O. 78, 210
Heintz, C. 10
Hiivetam, K. 10, 28-29, 35-36, 210
Hint, M. 67, 210
Holmberg, A. 10
Hoop, H. de 10, 45n., 210, 215
| Name | Pages |
|-----------------------|----------------------------------------------------------------------|
| Huumo, T. | 10 |
| Iemmolo, G. | 10 |
| Jackendoff, R. | 33, 130, 137-138, 141, 189, 202, 204, 210 |
| Kaiser, E. | 10 |
| Kapacsy, K. | 10 |
| Kittilä, S. | 10 |
| Kangasmaa-Minn, E. | 76, 78, 93-94, 210 |
| Karlsson, F. | 12, 208 |
| Kasik, R. | 64, 179n., 209-210 |
| Kenesei, I. | 193, 209-210 |
| Kennedy, C. | 14, 146, 155, 175, 210 |
| Kiefer, F. | 9, 48, 54, 56, 97, 210-211 |
| King, T.H. | 28, 207-208, 215 |
| Kiparsky, P. | 12-13, 40, 42, 45n., 48-52, 57-58, 58n., 97, 124, 141-144, 155, 210-211 |
| Kippasto, A. | 95n., 211 |
| Klaas, B. | 10, 80, 105-107, 109-110, 112, 211 |
| Komlósy, A. | 9, 193, 211 |
| Kont, K. | 29, 36, 62-63, 67, 80, 117, 211 |
| Kratzer, A. | 10, 105, 211 |
| Kreinin, L. | 67, 211 |
| Krifka, M. | 13, 30, 33, 47-48, 114, 121-124, 126, 133, 139, 193, 205, 211 |
| Kure, K. | 67, 211 |
| Laanest, A. | 28, 32, 211 |
| Langemets, M. | 9 |
| Larsson, L.-G. | 12, 211 |
| Lavotha, Ö. | 67, 212 |
| Lees, A. | 10, 32, 212 |
| Leino, J. | 10 |
| Leino, P. | 78, 212 |
| Lestrade, S. | 10 |
| Levin, B. | 137, 146, 155, 175, 210, 212 |
| Link, G. | 33, 212 |
| Luraghi, S. | 10 |
| Maks, E. | 9 |
| Malchukov, A. | 10 |
| Maling, J. | 45n., 216n. |
| Manzelli, G. | 10 |
| Manzini, R. | 10 |
| Martin, W. | 9 |
| Matushansky, O. | 10 |
| McNally, L. | 10, 14, 146, 146n., 210 |
| Metslang, Helena | 9, 139n., 212 |
| Metslang, Helle | 10, 12, 34-35, 63, 67, 77-78, 79-80, 82, 87-93, 93, 97, 139n., 174, 179n., 209, 212-213 |
| Mihkla, K. | 81, 84, 212 |
| Moens, M. | 48, 56, 212 |
| Moore, J. | 13, 67, 105-109, 133-136, 207 |
| Morin, O. | 10 |
| Nagy, J. | 87, 95n., 211-213 |
| Nelson, D. | 144, 193, 213 |
| Nemvalts, P. | 93, 196, 213 |
| Nicolas, D. | 148, 208 |
| Nikolaeva, I. | 10 |
| Nordlinger, R. | 10, 138, 213 |
| Nurk, A. | 67, 211-213 |
| Paldre, L. | 32, 213 |
| Pereltsvaig, A. | 10 |
| Pihlak, A. | 63, 179n., 213 |
| Piñón, C. | 9 |
| Pusztay, J. | 28-29, 67, 213-216 |
| Rajandi, H. | 67, 90, 209, 213 |
| Ramchand, G. | 10 |
| Rappaport Hovav, M. | 137, 212 |
| Rätsep, H. | 28, 32, 60-63, 67, 72-75, 80-81, 84-87, 99-100, 102-103, 108, 112, 115, 117, 119, 185, 203-204, 213-214 |
| Raun, A. | 65, 214 |
| Redel, J. | 9 |
| Reichenbach, H. | 79 |
| Rizzi, L. | 139n., 207 |
| Ross, K. | 9 |
| Rüütmaa, T. | 67, 79, 214 |
| Saarela, M. | 10 |
| Schäfer, M. | 10 |
| Schmid, G. | 10 |
| Schmitt, M. | 10 |
| Schütz, G. | 10 |
| Schütze, H. | 10 |
| Schwind, J. | 10 |
| Seppälä, M. | 10 |
| Siewierska, A. | 10 |
| Simard, M. | 10 |
| Sivertsen, A. | 10 |
| Skirvin, R. | 10 |
| Smith, M. | 10 |
| Stowell, S. | 10 |
| Strömqvist, S. | 10 |
| Szabolcsi, D. | 10 |
| Talmy, L. | 10 |
| Tausczik, Y. | 10 |
| Terziyan, V. | 10 |
| Töröl, Zs. | 10 |
| Trask, R. | 10 |
| Unger, M. | 10 |
| Van Valin, R. | 10 |
| Vennemann, T. | 10 |
| Verkuyl, H. | 10 |
| Vossen, G. | 10 |
| Wanner, H. | 10 |
| Wexler, K. | 10 |
| Wierzbicka, A. | 10 |
| Williams, J. | 10 |
| Winkler, M. | 10 |
| Wobst, M. | 10 |
| Wurmbrand, S. | 10 |
| Zamparelli, M. | 10 |
| Zampieri, S. | 10 |
| Zec, M. | 10 |
| Zgusta, L. | 10 |
| Zlatev, J. | 10 |
| Zuidema, H. | 10 |
| Zupancic, M. | 10 |
| Name | Pages |
|-----------------------|----------------------------------------------------------------------|
| Saareste, A. | 29, 65, 214 |
| Sadler, L. | 138, 213 |
| Sahkai, H. | 9 |
| Simpson, J. | 10 |
| Smith, C. | 37-38, 48, 54, 214 |
| Spencer, A. | 111, 214 |
| Sperber, D. | 10 |
| Squartini, M. | 147, 174, 179n., 207 |
| Steedman, M. | 48, 56, 212 |
| Sulkala, H. | 10, 64, 70, 75-79, 93-94, 214 |
| Svenonius, P. | 10 |
| Sydorenko, O. | 9 |
| Talmy, L. | 158, 214 |
| Tamm, A. | 12, 29-33, 37-38, 42, 56, 63, 87-88, 92, 115, 144, 146-147, 149-150, 162n., 165, 178, 179n., 193, 196, 196n., 203, 212, 214-216 |
| Tatevosov, S. | 10 |
| Tauli, V. | 71-74, 81, 84-85, 99-100, 102-103, 105, 112, 115, 117, 119, 190, 205, 216 |
| Tenny, C. | 13, 50-52, 126-130, 133-135, 138, 139n., 141, 216-217 |
| ten Pas, E. | 9 |
| Toivonen, I. | 10, 138, 154, 216 |
| Tommola, H. | 80, 208-210, 212 |
| Török, I. | 67, 211 |
| Tóth, G. | 9, 139n., 216 |
| Tottosy, B. | 10 |
| Vainik, E. | 9 |
| Vainikka, A. | 45n., 216 |
| Vaiss, N. | 93, 217 |
| van Hout, A. | 10, 36, 208, 217 |
| van der Vliet, H. | 9 |
| Vare, S. | 9 |
| Veldi, E. | 9 |
| Vendler, Z. | 47, 97, 114, 147, 159-161, 178, 217 |
| Verkuyl, H. | 10, 30, 49-50, 53-58, 97, 125, 139, 203, 205, 217 |
| Vihman, V. | 10, 179n., 217 |
| Viitso, T.-R. | 26, 217 |
| Viks, Ü. | 9 |
| Vilkuna, M. | 89, 217 |
| von Wright, G.H. | 52, 217 |
| Yadroff, M. | 193, 209, 217 |
| Zaretskaya, M. | 14, 214 |
INDEX OF TOPICS
«do-so» test 107-109
«partitive» achievement verb 172, 174, 176-177
«surprise» achievement verb 56, 130, 174, 177
abstract noun 32, 147-148
accomplishment 37, 47, 48, 58, 109, 110, 128, 139n., 142, 149, 153, 156, 159, 160, 161, 163-166, 168-170, 175-178, 186-187, 188, 201
accusative 11-12, 14, 15, 27-29, 31, 35, 57, 77, 79, 123-124, 129-132, 133-134, 144, 178, 193, 197, 200, 207, 209-210, 212, 215
achievement 17, 19, 37-40, 42, 47-48, 56, 58, 119, 121, 128, 130, 139n., 142-147, 149, 153, 156, 159-161, 163-165, 168-178, 179n., 185-187, 201, 210
activity 12, 16, 22-24, 48, 58, 62, 64-70, 82, 84, 106, 111, 142, 149, 156, 159-161, 163-165, 170, 175-178, 184, 189, 192-194, 196
adessive 116
adjectival participles 146
adjective 11, 14, 20, 33, 65-66, 68, 73, 111, 146-148, 172, 175, 200
adjunct 11, 25, 107-109, 121, 124-126, 136, 152, 154, 167, 190, 200
adverbial 16, 23, 55, 67-68, 71-73, 77-78, 86, 94, 102, 114, 121, 124-125, 135, 143, 156, 160, 164-165, 169, 171, 176-178, 193, 215
affected object 16, 22, 24, 209
affectedness 16, 62, 203
agentive 139, 163, 178, 182, 192, 194
agentivity 139, 182, 192, 194
AIH see Aspectual Interface Hypothesis
Aktionsart 54, 60, 63-64, 76, 79, 89
allative 73, 116, 186
ambiresultative 72, 85, 87, 95, 100, 110, 203
ära 18, 20, 30, 32, 34, 36, 56, 62, 66-68, 79-80, 82, 87-91, 99, 101-105, 109-110, 115-116, 119, 130, 139n., 140n., 144, 165, 170, 174, 178, 186-187, 212-213
argument 11, 14, 25, 30, 51, 53, 55-57, 86, 105-109, 112, 122, 126-128, 130-140, 143-146, 149-150, 152-153, 158, 164, 167, 193, 198, 203, 207-209, 211, 216
argument encoding 30, 133, 167
argument structure 14, 127, 137-138, 149, 203, 209, 211, 216
aspect 10-15, 17, 19, 23, 25-26, 28-30, 35-39, 42-45, 47, 49-50, 53-64, 67, 70-71, 75-82, 84-85, 88-91, 93-95, 97-100, 102, 105, 109, 112, 113, 115-119, 121-123, 125-127, 129, 131, 133-135, 137-139, 141, 146, 148, 150, 154, 156, 158, 161, 166, 174, 178, 190, 197, 201, 203, 207, 217
aspect hypothesis 29, 36, 43
aspectual bounding particle 53
aspectual classification 26, 29, 93, 99, 159
aspectual composition 11, 26, 37, 45, 47, 53, 55, 138, 148, 198, 202, 217
Aspectual Interface Hypothesis 130, 133-134
aspectual proto-patient entailment 134
aspectual role 127, 129, 132, 134-136, 140, 145, 200
aspectual role grid 127, 129, 141
aspectual shifts 76, 158
aspectual tier 137-138, 154
atelic 12-13, 15-17, 37-40, 43, 48, 55-57, 59, 77-78, 89, 92, 100, 122-123, 144, 146, 181, 192-194, 199-201, 208
atelicity 14, 16, 42, 45, 47, 55, 77-78, 89, 95, 123, 155
attribute-value 145, 154
B1 attribute 141, 154, 161
B2 attribute 160-161
boundability 48, 64-65, 70, 81-82, 95, 103-104, 106, 141, 154-156, 158, 201
boundability of situation 89, 95, 99
boundable 64-66, 70-71, 82, 95, 104-106, 109, 112, 119, 154-158, 160, 190-191
boundable activity 70, 82
boundary 40, 49-50, 64-67, 99-101, 104, 106, 108-109, 112, 114-116, 119
boundary-enabling 64
bounded 17, 19, 25, 35, 43, 50-52, 57-58, 66, 68-71, 77-78, 97, 102, 104-106, 119, 146, 154, 156-161, 171, 177, 190-191, 201, 208
bounded object 68-70, 177
boundedness 12, 33, 40, 48-52, 54, 57-60, 63-65, 69-71, 75-79, 81, 95, 97, 103-104, 106, 108, 133-134, 139, 145, 147, 149, 154-158, 160-162, 201-203, 208
bounding entity 134-136
bounding particle 53, 87, 110, 115, 130, 135, 140, 144, 203
built-in endpoint 48
c-structure 139, 157, 203
case alternation 9-13, 25, 27, 29-30, 35-39, 42, 49, 60, 65, 75, 77, 81, 95, 112-113, 127, 136, 141, 147, 163, 166, 172, 190-191, 193, 195-197, 199, 213
case forms of infinitives 20, 22-23
case syncretism 27-28
causative 110, 139, 175
change of location 129
change of state 128-129, 134-135, 150, 174
clausal aspect 11-13, 19, 23, 25, 29, 44, 122, 138, 150, 154, 198, 200
closed range adjective 146
closed scale 25, 152, 166-167
coercion 33
colloquial usage 34
complement 11, 37, 44-45, 55, 65, 67-68, 70-71, 73-75, 85-86, 88, 91, 97, 103-105, 107-109, 111-112, 115, 135, 149, 182-184, 186, 189, 192, 194-195, 202, 210-211
complements of persuade, make, force 182, 184, 192
completed action 62
completion 9-10, 19-20, 60-61, 89, 119, 138, 147, 163-165, 174, 177, 179n., 181, 201, 207
complex verb 74, 87, 213-214
composite verb 172
compositional 15, 17, 24, 30, 54-55, 57, 74, 150, 153-154, 211
compositional aspect 30
compositionaly 57
concrete mass noun 32
constraint 33, 135, 137-138, 145, 153, 157-158, 161, 168
constructive case 95n., 176, 206
continuous 64, 84
contrastive focus 132-133
conventional standard 25
conventionally delimited mass noun 68
count 27, 32-33, 37, 42, 45, 68-69, 148, 209
coursiveness 60, 154
coverage 44, 59, 145, 190-191, 198, 200
creation and consumption verb 16, 22, 40
creation verb 23, 35, 37-38, 42-43, 114
cross-categorial case 9
cross-categorial property 201, 148
cumulative 42, 48, 51-52, 122-123, 181
cumulativity 42, 57
deadjectival derivation 201
default value 153
defining equation 157-158
definite or an indefinite article 35
definiteness 29, 34, 35
definiteness hypothesis 34-37, 44, 199
degree achievement 17, 25, 38-39, 42, 119, 139, 145, 156, 161, 163, 179n., 201, 210
degree adverbial 142
degree of change 143, 155-156
degree of intensity 144
degree variabile 142-144, 155
deliberately-test 182
delimitive 67
demonstrative 35
derivation 52, 62, 64, 76, 146-148, 175, 200-201, 208, 210
derived verb 146, 201
deverbal derivation 64
Differential Object Marking 197, 214
Differential Subject Marking 214
dimension 18, 29, 50, 58, 104, 108, 119, 141-145, 147, 154-155, 202, 215
directed change 150, 155
direction of the activity 62
discourse-new 35
disjunction 158
distributivity 57
diversity 57
divisive 42, 48, 51-52, 94, 57
DOM see Differential Object Marking
duration 52, 56, 94, 102-103, 138, 143, 145, 156, 161, 170, 187, 212
durative 16, 50, 55-56, 63-64, 76-77, 89, 93, 102, 114, 143-144, 156, 160, 163-165, 168-172, 175-178, 181-182, 190, 194
durative adverbial test 156, 160, 164
durativity 182, 203
dynamic quality 64
dynamicity 161, 182
effected object 114
elative 20, 25, 73, 186, 195, 204
emission 187, 195
emotional perception 82-83
endpoint 10, 12-13, 16-24, 29, 40, 47-52, 57, 77-78, 99, 102, 108-109, 119, 123-124, 126, 141, 150-151, 163-165, 168, 171-172, 181-182, 192-193, 196, 201
entailment 33, 134-136, 175
entailment test 175
epistemic modal 29, 165,
epistemic modality 29
event predicate 121, 123, 125, 170
event structure 11, 54, 138, 158, 207-209
event type 47, 163, 178
event-object homomorphic mapping 125
existential constraint 135, 145, 157-158, 161,
expectation 18-21, 23-25, 29, 55, 131-132, 148
experiencer 18-20, 82-83, 112, 130-131, 172
extent 20, 48, 102, 106, 108, 124-125, 127, 133, 142, 150, 156-157, 166, 170, 175-177, 186, 189-193, 199
extent adverbial 177
extent and property alternation 190
f-structure 155-158, 161, 168, 187, 204
feature unification 166-168, 194
felicitous 13, 38-39, 95, 185, 192
final adverbial 65
focus 10-11, 33, 45, 64, 126, 132-133, 153, 215
frequentative 64
function-argument biuniqueness 158
functional specification 138, 166, 168, 187, 202
functional structure 165, 202, 204
generic 186, 211
genitive 12, 27-28, 65-66, 68, 70-71, 73, 75, 77-82, 84-85, 94-95, 97, 134, 136, 203-204
goal 11, 20, 33, 43, 47, 63, 98, 109, 116, 126, 148, 149-150, 154, 158, 172, 179n., 203
goal case 172
gradability 11, 142-144, 155, 200
gradable 142, 160, 169, 210
gradable adverbial 142, 160, 169
gradable verb 142, 169
grades of intensity 102
gradual completion verb 119, 147, 174, 179, 207
grammaticalization 33, 43, 51, 79-80, 88, 215
habitual 76, 113-114, 184
hard partitive verb 106, 119, 184
homogeneous 35, 42-43, 51-52, 145, 170, 182, 192, 194
homomorphic relation 121-122, 124-125, 146
illative 20, 73, 204
immediate future 63
imminence 63
imminent future 63
imperative 13, 75
imperfective 12, 15, 17, 35, 37-39, 43, 48, 59, 76-77, 80, 89, 92-94, 98, 191, 196, 199
imperfectivity 14, 39, 42, 60, 76, 79, 88-89, 95, 155
implicature 33, 185
inception 138
inceptive 171
inchoative 161, 171, 183
incremental argument 146
incremental property/path 128, 146
incremental theme 42, 114, 122, 128-129, 132-135, 142, 146, 201
indefinite 35-37, 51, 199
indefiniteness 28, 32, 36
individual level predicate 105, 119, 157, 187, 211
inessive 79, 204, 215
infelicitous 66, 95, 185
infinitive 63, 79, 172, 183, 204, 209
ingressive 93
inherent case 28, 45n., 216
inherent directionality 151, 181
inherent endpoint 12-13, 40, 49-51, 119
inner aspect 50, 54-57
inner bounding 68
intended endpoint 49-50
interface 11, 13, 25, 33, 44, 51, 64, 126-127, 130, 133-135, 141, 202, 212, 216-217
internal argument 51, 127-128, 134, 139
internal change 127, 130-131, 141
intransitive 77, 88, 93, 117-119, 135, 139, 149, 157-158, 174-175, 178, 186-187, 192, 194-195, 206
intransitive verb 77, 117-119, 135, 149, 157-158, 174-175, 178, 186-187, 192, 194-195, 206
irresultative 71-72, 93, 95, 99-100, 102-104, 112-113, 115, 123-124, 184, 203-204
irresultativity 60, 72, 102, 106, 123, 155-156
iterative 64, 76, 103, 113-114, 143, 176
kind 33
kind semantics 33
kind-denoting NP 33
lative 65, 68, 71, 88, 90, 111, 204
lative locative adverbial 65, 68
lative situation adverbial 68
lative stative adverbial 65
LCS see Lexical Conceptual Structure 138, 204
lexical aspect 14-15, 45, 54, 59, 63, 81, 95, 99-100, 113, 117, 134, 141, 146, 150, 156
Lexical Conceptual Structure 137-138, 150, 167, 204
lexical entry 15, 109, 145, 152-154, 157-158
Lexical Functional Grammar 31, 150, 202-205, 208
LFG see Lexical Functional Grammar
light verb 63, 81
linking properties 51, 139
location 55, 112, 116, 129, 137, 139, 167, 195, 204
locative case-marked phrase 20
logical endpoint 155
manner and instrument adverbs 182, 184
manner of activity 62
manner of being 19, 32, 38, 48, 51, 80, 91, 95n., 102-103, 111, 134, 138, 187, 194, 198
mapping to events 123, 125-126
mapping to objects 123, 125-126
mass 22, 27
mass and bare plural nouns 32-33, 37-38, 42, 52, 68-69, 98-99, 148, 196, 208-209, 212
mass and count 32, 148
mass to count shift 33
mass-count shift 33, 37
maximal boundedness value 154
measure 18, 21-23, 25, 32, 40, 42
MEASURE 127-129, 153-154, 157, 166-169, 174, 177, 187-189, 191, 194
measure adjunct 25, 40, 124, 126, 166, 168, 194
measure adverbial 23, 42, 44, 77, 79, 86, 94, 124, 135, 137, 200-201
measure argument 25, 128, 131, 152, 203
measure feature 152-153, 159, 162, 166, 168, 194, 202
measure phrase 21-22, 32, 48-49, 75-76, 127, 143, 152, 190-191, 193
measure role 127, 141
measure thematic role 172
measurement 18
measuring out 128, 130-134, 138, 141, 178, 210
measuring scale 141
mental perception 82-83
mental state 18, 20
metonymic shift to an attitude 184
minimal change 56, 103, 145, 161
modality 29, 165, 202, 208, 215
momentaneous 56, 145, 161, 178
momentary 64
mood 29, 45, 213
morphology 30, 33, 52, 58, 60, 63-64, 80, 108, 130, 145, 214, 216
naïve semantics 33
narrative 35, 79
natural endpoint 18, 150-151, 180-181
negation 16, 45, 53, 55, 75, 117, 205-206
negative existential constraint 158
negative sentence 65
negatively specified measure feature 168
nominalization 30, 36, 42, 62, 95n., 103, 122, 147, 154, 199, 204, 209
nominative 188-189, 195, 203-205
non-agentive 163
non-boundable 104-105, 112, 119, 157, 160
non-boundable activity 70, 82
non-boundable object 70
non-bounded object 70
non-boundedness 60
non-cumulative 48
non-divisive 48, 51, 102-103
non-gradable 142
non-homogeneous 51-52, 145, 170
nonquantized semantics 31
nonscalar 25-26, 150, 152-153, 166, 181, 201
number phrase 68, 86
numeral head 32
object case alternation 9-13, 25, 27, 29, 35-37, 39, 42, 60, 65, 72, 77, 95, 112-113, 127, 136, 147, 163, 172, 190, 191, 197, 199
objecthood 33, 103, 108, 133-134, 191, 197
opaque 73-74, 112, 116, 187
open range adjective 146
operator 54-56, 125, 165
outer aspect 55-57
part-of 28, 31
part-whole 29, 31, 95n., 152
partial 24, 28, 36, 61, 65-66, 69, 80, 146, 154-155, 157, 159
partial realization of the event 24
partial traversal of the object 24
participial forms 140
participle 14, 146, 185-186, 200
particle 18, 20, 22-23, 25-26, 29, 34, 37, 44-45, 53, 56-60, 67, 70-71, 73, 79, 80-82, 84-85, 87-92, 95, 99, 100, 102-105, 109-110, 115-116, 119, 130-135, 138-139, 139n., 140n., 144-145, 149, 152, 154, 157, 159, 161, 164-165, 170, 172, 174, 178, 186-187, 192-194, 196, 203, 305-206, 212, 215
particle verbs 58, 84, 90, 164, 172, 178, 186-187, 192-193
partitive 9-17, 21-25, 27-28, 30-33, 35-40, 42-45, 45n., 49-50, 52-53, 55-58, 61, 65-73, 75-82, 84-86, 89, 93-95, 98-107, 109-110, 112-119, 122-125, 130, 132, 134, 138, 142-144, 147, 150, 152, 159, 188, 190-196, 196n., 197, 199, 200-201, 204-206, 211-212, 214-216
partitive achievement verb 172
partitive construction 147, 205, 215
partitive object achievement verbs 170
partitive object 11-13, 15, 17, 21, 23-25, 27, 36-40, 44, 50, 55-56, 66-67, 69, 72-73, 78, 84-46, 88-89, 93-94, 99-100, 102-105, 109-110, 112-116, 122-125, 130, 132, 138, 142-144, 152, 165-172, 174, 176-177, 183-184, 186-188, 190-192, 194, 196n., 200, 205-206
partitive plural 22, 32, 38, 40, 42-43, 75, 193
partitive subjecthood 159
passivization 189
path 23-24, 128, 129, 146
PATH 127-129
path object 128
perception verb 185
perfective affixal adverb 65-67
perfectivity 17, 24, 37-38, 40, 42-43, 48, 52, 57, 59-63, 65, 67, 70, 72, 74-81, 88-90, 92-94, 94-95, 97, 102-103, 146, 155, 170, 205, 208, 215
periphrastic verb 63, 79, 81, 139, 213
pluralia tantum 68
Plus Principle 53-54, 56, 70
point 47-49, 150
polysemy 170
portioned 42-43
position 139n., 184, 187, 204
postpositional phrase 22-23
pragmatics 19, 33, 63, 165, 186, 196n., 215
prefixal adverb 62, 67
preparatory phase 163, 168, 171
prepositional phrase 20, 22-23, 205
presuppositional 29
preverb 67
pro-prefixation 193
process 48, 58, 113, 150, 159, 163-165, 170, 178, 179n., 181, 184, 192, 194-196, 201
progressive 32, 35, 55, 63-64, 76, 79-81, 113-114, 123-124, 143, 146, 155, 166, 168, 179n., 188, 212, 216
progressive construction 63, 79-81, 179n.
progressive-perfective test 113-114, 146
proto-property entailment 136
pseudo-adverbial 67
pseudo-cleft 182
pseudopartitive construction 147, 205, 215
psych-verb 20, 25, 38, 40, 171, 207
punctual 38, 64, 76, 89, 93, 155, 178
purpose adverbial 65, 68
quality 52, 64, 119, 145, 150, 155, 161
quality change 52, 145, 155
quantification 16, 30-31, 36-37, 44-45, 52-55, 57, 63, 124, 132, 139, 170, 199, 201, 210, 216
quantification-hypothesis 30, 199
quantifier-headed phrase 68
quantity 16, 27-28, 30, 32-34, 43, 52, 68, 145, 155, 161, 205
quantity change 52, 145, 155
quantization 29-33, 37, 42
quantized 16, 22, 30-33, 42-43, 55-56, 70, 121-123, 126, 132, 145, 164, 199
rate adverbial 169, 177, 181
referentiality 29, 36
result 18-21, 23-24, 29, 40, 47, 61-62, 64-65, 69-70, 72-73, 78, 92, 100, 102-103, 106, 117, 150, 155, 158, 163-165, 170, 185, 201
result state 91, 100, 143, 174, 185
resultant state 172
resultative 20, 22-23, 37, 60, 63, 67, 71-75, 80-81, 84-85, 87, 91, 93, 95, 97, 99-100, 102-106, 110-111, 113-115, 117, 119, 123-124, 133, 135, 152, 155-156, 172, 184-185, 203-205
resultative phrase 20, 22-23, 69, 73, 90, 110-112, 117, 133, 152, 172
resultative verb 71-72, 84, 87, 95, 100, 102-104, 110, 112, 114-115, 123, 184-185
rhematic 90-92
scalar 9, 11, 20, 25-26, 44, 47, 52, 112, 146-154, 161, 163, 166, 168, 170, 178, 181, 187, 189, 194, 196-198, 200-202, 206-207, 210, 214, 233
scalarity 19, 57, 147-149, 152-153, 161, 187, 200, 202, 215, 233
scale 25, 43, 48, 52, 108, 127, 133-135, 138, 141, 145-148, 150-156, 159-160, 162-163, 166-168, 170, 174, 177-178, 181, 187-189, 191, 194, 201-203, 208, 210
scale attribute 135
scale with a maximal value 146
scattered information 145
semelfactive 64, 76, 145, 149, 156, 160-161, 178
set terminal point 47-48, 121, 123, 125-126, 205
shift 33, 37, 76, 79, 85, 93-94, 112, 158, 184, 186, 200
simplex activity verbs 192
singular count noun 27, 45n., 68
soft partitive verbs 109-110, 119
source 116, 203
span 48, 50, 102, 108, 124-125, 156, 166, 168
spatial 21, 108, 124-125, 152-153, 189-190, 215
spatial measure phrase 21
specific 16, 29, 35-37, 45, 135, 209, 216
specified quantity feature 30
speech act 165
stage level predicate 105, 187
standard serving 33
state 37, 47-48, 52, 73, 91, 100, 104-105, 111, 128-129, 134-135, 142-144, 150, 156, 160, 170, 172, 174, 183-185, 188-193, 196, 201
states of mind 193
static quality 64
stative 65, 89, 103, 112, 149, 159-161, 169-170, 178, 181-193, 196n.
stative intransitive verb 186-187
stative particle verb 186
stativity 187, 192, 194
STP (see set terminal point) 121, 123, 205
summativity 123, 125-126
telic predicate 121-123, 125-126, 142
telicity 12, 14-17, 20-21, 25, 29, 37, 38, 40, 42, 44, 47-50, 52, 54, 57, 75-79, 89, 95, 100, 102, 121-124, 126, 134, 141, 145, 155, 161, 178, 187, 199, 205, 208, 210-211, 215-216
telicity hypothesis 38, 40, 100, 199
telicizer 18
telos 43
temperature 147
temporal boundary 49-50
temporal constitution 122, 211
temporal measure 124, 125, 153, 187
temporal measure phrase 49, 192
temporal progression 52, 145, 169-170
temporal protraction 175
terminal node 157
terminal point 47-49, 77, 121, 123, 125-126, 205
terminative phrase 105, 107-109, 185
terminativity 47, 54-56, 60, 63, 95, 205, 213,
TERMINUS 127-129
test of temporal sequencing 38
thematic 11, 13, 26, 53, 90, 121-124, 126, 135, 138, 152, 200, 211
thematic (patient) proto-roles 134-135, 209
thematic role 11, 13-14, 44, 53, 55-56, 121-122, 126, 132-136, 139n., 141, 145, 172, 200, 233
theme that undergoes a change 172
tier 48, 127, 133-134, 137-138, 141-142, 145-146, 154-157
time frame adverbial test 164, 176
total 12, 14, 16, 18-19, 24-25, 27-29, 33, 57, 61, 70, 75, 85, 90, 94, 105, 109, 116, 119, 124, 130-131, 138, 144, 152-153, 161, 166-167, 172, 188-189, 191, 200, 205
total adjunct 152, 167, 200
total case 20, 27-31, 33, 35-38, 40, 42-43, 49-50, 53, 56-58, 65, 94, 97, 100, 104, 108, 110, 112-114, 116-117, 121, 124-126, 130, 134-136, 144-145, 152-153, 164-166, 168-171, 188-190, 194, 199, 201
total object 13, 15, 17-18, 21, 24-25, 27, 30-40, 42, 44, 51, 56, 61-62, 65-66, 71-73, 80-82, 85-88, 92-93, 95, 99-100, 102-105, 108-110, 112, 115-117, 119, 121, 126, 130-133, 139, 144, 150, 152, 154, 159, 163, 165-172, 174, 177-178, 183, 185, 187-192, 196, 196n., 200, 205, 216
total object achievement verb 121, 159, 168-169
total object stative verb 112, 188-192
totally affected 16, 22, 24, 209
totally completed event 166, 168
transition 89, 155, 183, 190
transitive 12, 21, 38, 88, 93, 118-119, 129, 138-139, 149, 165, 175, 186-187, 191-192
transitive verb 11-12, 14, 23, 25, 33, 44, 48, 51-52, 75-76, 81-82, 84, 89, 97, 105, 118, 129, 135, 139, 142, 145-146, 149, 154, 158-159, 169, 174-176, 178, 184, 190, 192, 194, 196, 206, 215-216
translative 71, 73, 107-109, 111, 206
transportee 33
two-level aspectual approach 37
type-changing properties 193
unaccusativity 178, 212, 216
unboundedness 65, 69, 155
unergetic 129
unification 52, 150, 153-154, 166-168, 187, 194, 202
uniqueness of events 122, 126
uniqueness of objects 122-123, 125-126
Universal Packager 33
universal quantifier 32
unvalued 187
valency-changing operation 64
Vendler classification 47, 97, 114, 147, 159-160
verb class 14, 17-18, 19, 35, 44, 71-72, 84-85, 87, 91, 97-98, 103-104, 113, 117, 123, 160, 171, 179, 200, 202, 227
verb classification 11, 14, 25-26, 29-30, 44, 47, 57, 72, 84, 87-89, 92, 97-99, 103, 112, 118, 146-150, 153, 160, 178, 198, 200-202
verb constructions 63
verb of consumption 14, 16, 22, 33, 40, 42-43, 114, 128
verb of ownership transfer 23
verbal aspect 55, 58, 60, 80, 138, 144, 208
verbal aspectual morphology 58, 60, 63, 80, 130
verbal prefix 87, 214
verbs of transportation 33
viewpoint aspect 29, 37-38, 199
voice 45
VP aspectual level 54, 58
well-formedness 161
word order 89, 173, 209
zeugmatic effect 170
The Estonian verb index is arranged according to the following principles. It starts with the Estonian verb in italics and in its dictionary entry form, followed by the English translation (vaatama «watch»). The index indicates verbs that are discussed in the text with pages in regular number (vaatama «watch» 1). If a verb occurs in a list as part of a verb class, then the identification number is presented in italics (vaatama «watch» 4.29 5.17a). The first number in front of the period refers to the chapter and the number or letter behind the period refers to the number of the list in the chapter. The verbs that are illustrated with glossed and translated example sentences are provided with the form in which it appears in the example if it is different from the dictionary entry form. The identification number of the example is in bold numbers and letters, chapter number preceding the example identification (vaatab 8.2a 10.1a vaatas 1.1a 1.1b 1.1a). The inflected forms follow as subentries under the main entry and are indented. Polysemy and homonymy are not represented in the index. Verbs are arranged according to the Estonian alphabet: A, B, C, D, E, F, G, H, I, J, K, L, M, N, O, P, R, S, Š, Z, Ž, T, U, V, Ö, Ä, Ü, X, Y. Alternatively arranged indexes and updates can be found at the website <http://pbworks.verbindex.com>.
abistama «help» 102, 4.36a
ahistama «harrass» 4.31 5.14
ahvatlema «entice» 4.37b
aimama «suspect, guess» 4.29
aitama «help» 4.17b 4.32
aitas 4.14c
alahindama «underestimate» 184, 187, 4.29 5.29 4.36a 5.6 10.14a
alahindas 5.7 10.5b 10.14b
alahindasin 4.9 4.10 3.27
alistama «subjugate» 4.35b 5.25 9.4a
alla jääma [kellele] «to lose (to somebody)» 9.34
alustama «start, begin» 39, 102, 160, 171, 4.32 4.36b 5.14 5.9
alustas 9.20d
andestama «forgive» 130, 131, 169
andestas 6.7a
andma «give» 130-131
andis 1.15c 1.15d 6.8a
armastama «love» 65, 4.29 4.36a 5.6
armastab 8.2b 10.1b
arstima «cure» 4.37b
arutlema «discuss» 4.29
asuma «start»
asus 5.16b
asustama «inhabit» 4.31
austama «honor» 4.29 5.6
avanema «open»
avanes 5.22c 5.23b
avastama «discover» 4.34 5.27 9.4b
avastas 2.7d
avastasid 2.7c
avastasin 2.7e
eeldama «presuppose» 4.29 5.6
ehitama «build» 22, 93, 136, 164,
4.35b 5.24 9.4a
ehitab 4.23 8.1a 8.1b 9.3a 9.3b
9.16
ehitan 4.11a 4.11b 3.28
ehitas 1.11a 1.11b 1.12b
ehmatama «frighten» 39, 159-160,
171-172, 4.37b
ehmatanud 9.23b
ehmatas 1.8c 1.9c. 2.4b 9.23a
9.23c 9.23a 9.24b 9.24c
ehmatasin 9.20e
ehtima «decorate» 4.31
embama «hug» 5.17b
ette heitma «reproach» 72, 4.29 5.9
5.14 10.12 10.27
ette kujutama «imagine» 4.29 5.6
ette kujutama (endast) «imagine to
be» 10.12
ette võtma «start (with sth), deal
with something resolutely» 5.29
haarama «grab» 4.34 9.4b
haistma «(feel the) smell» 4.29
hakkama «start» 183
hakkas 10.4
hammustama «bite»
hammustas 4.14a
harrastama «go in for sth» 4.32
4.36b 5.6
helistama «phone, ring, call» 110-
111, 4.33
helistas 5.18a
hellitama «pamper» 196n.
hellitab 4.24
himustama «desire, have lust» 4.29 5.6
hoidma «keep» 4.31 4.33
huvitama «interest» 4.31 4.36a 5.6
hõõruma «rub» 4.37b
hõõrusid 4.19
häbenema «be ashamed» 4.29
ihaldama «desire» 4.29 5.6
ihuma «sharpen» 107-109, 4.37b
ihus 5.11a 5.11b 511c 5.12b
ilmuma «appear, emerge»
ilmunud 9. 23b
imeks panema «be surprised» 172,
4.29 5.6 10.12
imetlema «admire» 4.29 5.6
iseloomustama «characterize» 4.31
5.14
istuma «sit»
istub 10.1g
istutama «plant» 4.35b 9.4a
joobuma «get drunk»
joobus 5.32e
jooksma «run» 192
jooksis 10.26a 10.26b 10.29
10.30 10.31 10.32
jooksin 4.22a 4.22b
jooksis 10.25a
jooma «drink» 62-63
jõin 2.7b
joonistama «draw»
joonistas 4.17
juhtima «drive, lead» 111, 4.33 4.37b
juhtis 5.18c
jälestama «loathe» 4.29 5.6
jälgima «watch, follow» 102, 104, 157,
159-160, 4.29 4.36a 5.6
järele aimama «mock, play» 4.29 5.6
10.12 10.27
jätkama «follow, continue» 4.32
4.36b 5.14 5.9
jätma «leave» 116, 169, 4.34 5.26
kahetsema «regret» 4.29 5.6
kahjustama «damage» 104, 4.33 5.9
5.14 5.15
kahtlustama «suspect» 4.36a
kallama «pour» 4.37b
kallistama «hug» 17b
kannatama «suffer» 4.29
kaotama «forget/lose» 169
kaotas 9.17 9.18
karistama «punish» 4.33 5.9 5.15
kartma «fear, be afraid of» 4.29 4.31 5.6 5.29
kasutama «use» 4.33 5.17a
katkestama «interrupt» 4.32 5.17a
katma «cover» 190-192, 5.20
kattis 10.21 10.22 10.23a 10.23b
kaunistama «decorate» 4.31
kavatsema «plan» 4.32 5.6
keerutama «twist» 5.17b
keetma «boil» 4.34 5.26 9.4a
kehitama «shrug» 5.17b
kibrutama «frown» 5.9 5.15
kiitma «praise» 4.37a
kirjutama «write» 114, 132, 4.35b 9.4a
kirjutas 1.14a 1.14b 2.3c 2.3d 2.13 2.17b 2.18d 5.21a 5.21b 5.23a 5.23b 6.10a 6.10b
kiskuma «drag, touch» 4.37a
kogema «experience» 4.29 5.6
kohendama «arrange, put properly» 4.37a
kohtama «meet» 4.33 5.9 5.14
kontrollima «check»
kontrollis 1.10a 1.13a
koostama «compile» 4.34 5.27 9.4a
kraapima «scrape» 4.30 5.17b
kratsima «scrape, scratch» 4.30 5.17b
kujundama «shape, design, form» 4.34 9.4a
kujutama «imagine, shape, depict» 4.29 5.6
kutsuma «call, invite» 4.34 5.28 9.4a
kutsuti 2.8 2.11a
kuulama «listen» 104, 4.29 5.17a
kuulma «hear» 185, 4.29 5.6
käristama «tear»
käristas 1.13b
käsitama «regard» 4.29 5.6 5.14 5.15
käsitlema «regard, study» 4.29
külastama «visit» 102, 4.36a
külastab 8.2f 10.1f
laenama «borrow, loan» 4.34 5.26 9.4b
laiali ehmatama «make sb disperse by frightening»
laiali ehmatanud 9.23b
laiendama «widen» 159-160, 175
laiendas 1.8a 1.9a. 2.15 2.16 2.18a 9.27a 9.27b 9.28 9.29 9.30a 9.30b 9.31a 9.31b
laitma «reprehend» 4.29
lakkama «stop»
lakkas 5.32b
laksutama «click» 4.30 5.15
lappama «turn pages, flip» 4.30 5.17b
lehvitama «wave» 4.30
lehvitama «wave»
lehvitas 5.18b
leidma «find» 12-13, 35, 93, 116, 157, 159-160, 168-169 5.28
leidis 1.2a 1.2b 2.19 2.18c 2.19
leidsin 2.4a 4.18a 8.1c 9.15a
leinama «mourn, lament» 4.29 5.6
lendlema «fly» 194
lendleb 10.33a
lendlevad 10.33b
leotama «soak, drench » 4.34 5.26
liigutama «move, make a move» 4.30 4.37a 5.9 5.15
limpsima «lick» 4.30 5.17b
liputama «wag» 4.30 4.36b 5.15
loobuma «give up» 159, 178
loobus 5.32g
looma «create» 4.34 5.27 9.4a
loopima «toss, fling» 4.37b
loopis 5.4a
lugema «read» 93, 114, 132, 133, 4.37a loen 4.47
luges 1.10f 4.15a 5.19 6.11a 6.11b 6.11c
lõpetama «finish» 93
lõpetas 4.4a 4.4b
lääbima «go through» 4.31 5.15
lõöma «hit, strike» 19, 4.30 4.37a
lõi 1.8d 1. 1.9d
lõöv 9.25a
lükkama 〈push〉 130-131, 4.37a
lükkas 6.8b
maitsma 〈taste, have a taste of sth〉 4.29
maksab 10.18a 10.18b
meelitama 〈entice, lure〉 4.37a
meenutama 〈try to remember〉 4.29 5.6
minema 〈go〉 66, 88
läks 2.3c 2.3d
minetama 〈forfeit, lose〉 4.35b
moodustama 〈form, create〉 189, 4.34 5.20 5.27 9.4a
moodustas 10.19 10.20a
mudima 〈knead, crumple〉 4.37b
murdma 〈break〉
murdnud 4.12b 4.12c
mõistma 〈understand〉 184, 191, 192
mõistis 10.5a
mõtlema 〈think〉 4.29
mäletama 〈remember〉 4.29 5.6
mängima 〈play〉
mängisin 2.8 2.11a
märkama 〈notice〉 170-171, 4.29
märkasin 9.20a
müksama 〈nudge〉 4.30 5.17b
müüma 〈sell〉
müüs 4.43a 4.43
naerma 〈laugh at〉 4.37a
nautima 〈enjoy〉 4.29 4.36b 5.6
nihutama 〈shift〉 4.37a 4.37b
noogutama 〈nod〉 4.30 5.9 5.15
nuusutama 〈sniff, smell〉 4.29 5.15
nõelama 〈sting〉 4.30 5.17b
nõudma 〈require〉 4.32
nägema 〈see〉 185, 4.29 4.37a 5.17a
nägi 8.2d 10.1d 10.10a 10.10b
näitama 〈show〉 4.33 5.17a
näpistama 〈pinch〉 4.30 5.17b
olema 〈be〉 117, 159-160
oli 2.11b 4.8 4.12b 4.12c
omandama 〈acquire〉 4.35b 5.25 9.4a
ootama 〈wait〉 4.31 5.17a
ootas 1.10j
oskama 〈be able to〉 4.29
ostma 〈buy〉 164
ostis 4.15b 5.1a .5.1b 5.2a 5.2b 5.2c 5.3a 5.3b 5.3c 9.2a 9.2b
panema 〈bring, put〉 172
pani 1.10c 1.15a 1.15b
pannud 9.23b
parandama 〈improve〉 88, 4.33 4.34 5.17a 9.4a
pealt kuulama 〈eavesdrop, listen to〉 4.29 5.6 10.27
pealt kuulma 〈hear (involuntarily)〉 4.29 5.6 10.12
pealt nägema 〈see (involuntarily)〉 4.29 5.6 10.12
pealt vaatama 〈watch (as sth is going on), observe〉 4.29 5.6 10.27
peksma 〈beat〉 4.30 5.17b
pigistama 〈squeeze〉 4.37a
piirama 〈border as obstacle〉 4.31 5.20
piitsutama 〈whip〉 4.30 5.17b
pilgutama 〈wink〉 4.30 5.15 5.9
pilkama 〈mock, banter, deride〉 4.29 5.14
poodama 〈be on the side of, support〉 106, 109, 184, 191-192, 4.36b
pooldas 5.10a 5.10b 5.10c 5.12a
poolitama 〈divide〉 188, 191-192
poolitas 10.16 10.17a 10.17b
premeerima 〈award, stimulate〉 4.33 5.9 5.15
provotseerima 〈provoke〉 4.37a
pudenema 〈crumble〉 194
pumpama 〈pump〉 4.37b
puudutama 〈touch〉 102-103, 4.30 4.36a 5.9, 5.14 5.15
puudutas 5.16a
puudutasin 9.20b
põdemaa 〈be sick with〉 184, 187-188
põdenud 10.6
põdes 10.5c 10.15b
põhjustama «cause» 186
põhjustas 10.11b
põhjustavad 10.11a
pühenduma «devote»
pühendus 5.32a
puüdma «try, catch» 4.32
raamima «frame» 190, 4.31 5.20
rahulduma «satisfy»
rahuldus 5.32f
rajama «create, establish» 5.24 4.35b
9.4a
raputama «shake» 4.37b
rebima «tear» 4.37a
riivama «touch lightly» 102, 171, 4.30
5.9 5.15
rikkuma «ruin, spoil» 39, 4.35a 4.35b
rikkus 5.22a 5.22b 5.22c 9.25b
9.25c
rikkusin 9.20b
rikub 9.25a
rullima «roll»
rullis 4.19
rõhumaa «suppress, press» 4.37a
ründama «attack» 4.33 5.9 5.15
saabuma «arrive» 193
saabus 4.21a
saabusid 4.21b
saama «get, become» 4.34 5.28 9.4b
sain 2.8 2.11a
saatma «send»
saatis 4.14b
saavutama «achieve, attain» 93, 4.34
5.27 9.4b
sadama «rain» 117
sadas 5.31c 5.31d
sallima «tolerate, stand» 4.36b
segama «disturb» 4.33
sihtima «target» 4.29 5.14
sikutama «tug at, lug, pull» 4.37b
silitama «stroke» 4.30 5.17b
silmama «see» 185
silmas 10.10c 10.10d
silmas pidama «mean something concrete» 72, 4.29 5.6 10.12
sirutama «stretch» 4.37a
solvama «offend» 39, 102-103, 106, 171,
184, 186, 4.29 4.36a 4.36b 5.14
solvas 1.8b 1.9b 5.8 5.13 10.7
10.8 10.9
sooritama «make (exam etc.)» 4.34
5.27 9.4a
soosima «favor» 4.33 5.6
soovima «wish» 4.29
sundima «force»
sundis 10.3b
suruma «press» 4.37a
suudlema «kiss» 90, 92, 144, 4.30
suudles 4.44a 4.44b
sõidutama «drive»
sõidutas 2.17a 4.45 4.46 6.4 6.5
9.7a 9.8a 9.9a 9.10a 9.11a 10.26c
sõöma «eat» 14, 22, 62, 132, 159-160, 164
sõi 1.3a 1.3b 1.4a 1.4b 1.5a 1.5b
1.12a 2.3a 2.3b 2.5 2.6a 2.6b
2.18e 4.15c 6.10c 6.10d
sõönud 1.7a 1.7b
sügama «scratch» 4.30 5.17b
süvenema «immerse» 152
süvenes 5.32d
tabama «hit the target» 4.31
taga ajama «chase» 4.33 5.6 5.9 5.14
taga nutma «mourn, cry for» 72, 4.29
5.6 10.12 10.27
taguma «bang, beat» 4.30 5.17b
tahtma «want» 4.29
tahab 8.2e 10.1e
tajuma «sense» 185, 4.29
takistama «obstruct» 4.32 5.6
taotlema «apply» 4.32 5.6
tarvitama «use» 4.33
teadma «know» 4.29 5.6
teatama «announce» 144, 4.34 5.28
teenima «serve» 4.33 5.6
tegelema «deal with» 192
tegeles 10.25b
tegema «do, make» 4.35a 5.24 9.4a
tegi 5.12a 5.12b 10.3e
tegin 4.6a 4.6b 5.5a 5.5b
tehti 4.7b
tekitama «create, bring to being» 4.34 9.4b
tilkuma «drip/run/flow» 194-195
tilkus 10.29 10.30 10.31 10.32
toetama «support» 4.33 5.6
tooma «bring here, fetch» 4.34 9.4a
tooma «bring»
tõi 1.10d 2.7a
tõin 4.16 1.10i
trahvima «fine» 111, 4.33
trahvid 5.18d
triikima «iron»
triikis 5.31a 5.31b
trükkima «print» 4.35b 5.24 9.4a
tundma «feel» 185, 4.29
tutvuma «acquaint» 130-131, 159, 178
tutvus 5.32c 6.6
tõmbama «pull, draw» 4.37b
tähele panema «keep in mind» 172,
4.29 5.6 10.12
panin tähele 9.21
tähendama «mean» 4.33
tänama «thank» 110, 4.29
tänas 5.16b
ujuma «swim»
ujus 1.10k 1.13c
unustama «forget/lose» 130-131, 169
unustas 6.7b 9.17 9.18
usaldama «trust» 4.29 4.37a, 4.37b
5.6
usaldab 8.2c 10.1c
uskuma «believe» 183, 4.29 5.6 10.4
uurima «study, watch» 4.29
vaatama «look» 12, 13, 194, 1.1a
4.29 5.17a
vaatab 8.2a 10.1a
vaatas 1.1a 1.1b 1.10e 2.12 10.25c
10.28c
vajama «need» 92, 4.29 5.6
valdama «overwhelm, master» 4.31
5.6
valitsema «rule» 4.31 5.6
vangutama «wag, wagggle, shake» 4.30 5.15
varjutama «cast shadows on» 4.31
5.14
varuma «gather and save in reserve» 4.34, 4.35a 5.28
vedama «drag, draw, carry» 4.37b
veeretama «(make) roll» 72, 86, 92,
4.30
veeretasid 4.39a 4.39b
vigastama «harm, injure» 171, 4.35b
5.25
vigastasin 9.20b
vihkama «hate» 4.29 5.6
viima «bring there, take» 73, 115, 116,
4.34 4.35a 5.26
viis 1.10l 1.13d 4.12a 4.18b
viisin 1.10h
viskama «throw»
viskas 1.10b 4.7a
voltima «fold» 4.34 5.26 9.4a
võitma «win» 171
võitsin 9.20c
võrdlema «compare» 102, 4.36a
võrduma «equal»
võrdus 10.3c 10.3d
võrduv 10.3a
võitma «take» 93, 4.34 9.4b
võtan 4.13
võttis 5.30
välja arendama «develop» 9.5
välja kiirgama «radiate something,
emit radiation» 10.12
välja koolitama «educate, special-
ize» 9.5
välja kühveldama «shovel out» 9.5
välja laadima «load out» 9.5
välja laduma «heap out» 9.5
välja laotama «spread out» 9.5
välja loksutama «splash out» 9.5
välja loopima «throw out» 9.5
välja lugema «be interpretable, understandable» 10.12
välja sirutuma «stretch out» 10.13
välja sopistuma «bulge out» 10.13
välja vaatama «stretch, hang out» 10.13
välja vabandama «serve as an excuse» 10.12
värvima «paint»
värvis 1.10g
väärima «be worth(y)» 4.32 5.6
õigustama «justify» 4.36b
õmblema «sew»
õmbleb 4.5a 4.5b
õnnitlema «congratulate» 4.33 5.9 5.15
õrritama «tease» 4.37b
õõtsutama «(make) sway, rock, roll» 4.30, 4.31
ähvardama «threaten» 4.31
ära juhtima «redirect» 10.12
ära jääma «be cancelled» 10.13
ära kasutama «use for ones own purposes» 10.12
ära murduma «become broken» 9.34
äratama «rouse, (make) wake up» 4.34 4.35b, 4.36a 5.26 9.4a
ässitama «instigate, incite, abet» 190, 4.37, 5.6
ässitas 5.4b
ääristama «border as decoration» 4.31 5.20
üllal pidama «keep, support, maintain» 4.33 4.34 5.6
üle hindama «overestimate» 4.29, 4.30 5.6 10.12
üle viskama [kellel] «make someone fed up with something» 9.34
ülistama «glorify, exalt» 4.29 5.6
üllatama «surprise» 39, 130, 132, 4.31, 4.32 5.9 5.14
üllatas 2.14 2.18b 6.9
üritama «attempt» 4.32 4.33 4.36b 4.37a 5.6
The English verb index is arranged according to the following principles. It starts with the English verb in regular font in its dictionary entry form, followed by only one Estonian verb (watch *vaatama*). The list should not be regarded as a dictionary. The entries are the translations of the Estonian verbs that are discussed in the book, and they represent the translation equivalents of only those senses that are illustrated in the book. Homonyms and senses are treated separately, and an entry word can stand for a concept that is expressed by word combinations.
The index indicates verbs that are discussed in the text with pages in regular number (watch *vaatama* 1). If a verb occurs in a list as part of a verb class, then the identification number is presented in italics (watch *vaatama* 1 4.29 5.17a). The first number in front of the period refers to the chapter and the number or letter behind the period refers to the number of the list in the chapter. The verbs that are illustrated, glossed, and translated are provided with the form in which they appear in the example. The identification number of the example is in bold numbers and letters, chapter number preceding the example identification (*vaatab* 8.2a 10.1a *vaatas* 1.1a 1.1b 1.1a). Verbs are arranged according to the English alphabet. Alternatively arranged indexes and updates can be found at the website <http://verbindex.pbworks.com>.
(feel the) smell *haistma* 4.29
(make) rock *õõtsutama* 4.30, 4.31
(make) roll *õõtsutama* 4.30, 4.31
(make) roll *veeretama* 72, 86, 92, 4.30
*veeretasid* 4.39a 4.39b
(make) sway *õõtsutama* 4.30, 4.31
(make) wake up *äratama* 4.34 4.35b,
4.36a 5.26 9.4a
abet *ässitama* 190, 4.37, 5.6
*ässitas* 5.4b
achieve *saavutama* 93, 4.34 5.27 9.4b
acquaint *tutvuma* 130-131,159, 178
*tutvus* 5.32c 6.6
acquire *omandama* 4.35b 5.25 9.4a
admire *imetlema* 4.29 5.6
announce *teatama* 4.34 5.28
appear *ilmuma*
*ilmunud* 9.23b
apply *taotlema* 4.32 5.6
arrange *kohendama* 4.37a
arrive *saabuma* 193
*saabus* 4.21a
*saabusid* 4.21b
attack *ründama* 4.33 5.9 5.15
attain *saavutama* 93, 4.34 5.27 9.4b
attempt *üritama* 4.32 4.33 4.36b
4.37a 5.6
award premeerima 4.33 5.9 5.15
bang taguma 4.30 5.17b
banter pilkama 4.29 5.14
be able to oskama 4.29
be afraid of kartma 4.29 4.31 5.6 5.29
be ashamed häbenema 4.29
be cancelled ära jääma 10.13
be on the side of pooldama 106, 109, 184, 191-192, 4.36b
pooldas 5.10a 5.10b 5.10c 5.12a
be sick with põdema 184, 187-188
põdenud 10.6
põdes 10.5c 10.15b
be surprised imeks panema 172, 4.29 5.6 10.12
be worth(y) värima 4.32 5.6
be olema 117, 159-160
oli 2.11b 4.8 4.12b 4.12c
beat peksma 4.30 5.17b
beat taguma 4.30 5.17b
become broken ära murduma 9.34
become saama 116, 4.34 5.28 9.4b
sain 2.8 2.11a
begin alustama 4.32 4.36b 5.14 5.9
alustas 9.20d
believe uskuma 183, 4.29 5.6 10.4
bite hammustama
hammustas 4.14a
boil keetma 4.34 5.26 9.4a
border as obstacle piirama 4.31 5.20
border ääristama 4.31 5.20
borrow laenama 4.34 5.26 9.4b
break murdma
murdnud 4.12b 4.12c
bring there viima 73, 115-116, 4.34 4.35a 5.26
viis 1.10l 1.13d 4.12a 4.18b viisin 1.10h
bring to being tekitama 4.34 9.4b
bring panema 172
pani 1.10c 1.15a 1.15b
pannud 9.23b
bring tooma 4.34 9.4a
bring tooma
töi 1.10d 2.7a
töin 4.16 1.10i
build ehitama 22, 93, 136, 164, 4.35b 5.24 9.4a
ehitab 4.23 8.1a 8.1b 9.3a 9.3b 9.16
ehitan 4.11a 4.11b 3.28
ehitas 1.11a 1.11b 1.12b
bulge out välja sopistuma 10.13
buy ostma 164
ostis 4.15b 5.1a .5.1b 5.2a 5.2b 5.2c 5.3a 5.3b 5.3c 9.2a 9.2b
call kutsuma 4.34 5.28 9.4a
kutsuti 2.8 2.11a
call helistama 110-111, 4.33
helistas 5.18a
carry vedama 4.37b
cast shadows on
varjutama 4.31 5.14
catch püüdma 4.32
cause põhjustama 186
põhjustas 10.11b
põhjustavad 10.11a
characterize iseloomustama 4.31 5.14
chase taga ajama 4.33 5.6 5.9 5.14
check kontrollima
kontrollis 1.10a 1.13a
click laksutama 4.30 5.15
compare võrdlema 102, 4.36a
compile koostama 4.34 5.27 9.4a
congratulate õnnitlema 4.33 5.9 5.15
continue jatkama 4.32 4.36b 5.14 5.9
cover katma 190-192, 5.20
kattis 10.21 10.22 10.23a 10.23b
create looma 4.34 5.27 9.4a
create moodustama 189, 4.34 5.20 5.27 9.4a
moodustas 10.20a
create rajama 5.24 4.35b 9.4a
create tekitama 4.34 9.4b
crumble pudenama 194
crumple mudima 4.37b
cry for taganutma 72, 4.29 5.6 10.12 10.27
cure arstima 4.37b
damage kahjustama 104, 4.33 5.9 5.14 5.15
deal with sth resolutely ette võtma 5.29
deal with tegelema 192 tegeles 10.25b
decorate ehtima 4.31
decorate kaunistama 4.31
depict kujutama 4.29 5.6
deride pilkama 4.29 5.14
design kujundama 4.34 9.4a
desire ihaldama 4.29 5.6
desire himustama 4.29 5.6
develop välja arendama 9.5
devote pühenduma pühendus 5.32a
discover avastama 4.34 5.27 9.4b
avastas 2.7d
avastasid 2.7c
avastasin 2.7e
discuss arutlema 4.29
disturb segama 4.33
divide poolitama
poolitas 10.16 10.17a 10.17b
do tegema 4.35a 5.24 9.4a
tegi 5.12a 5.12b 10.3e
tegin 4.6a 4.6b 5.5a 5.5b
tehti 4.7b
drag kiskuma 4.37a
drag vedama 4.37b
drag vedama 4.37b
draw joonistama
joonistas 4.17
draw tömbama 4.37b
drench leotama 4.34 5.26
drink jooma
jõin 2.7b
drip tilkuma
tilkus 10.29 10.30 10.31 10.32
drive juhtima 4.33 4.37b
juhtis 5.18c
drive sõidutama
sõidutas 2.17a 4.45 4.46 6.4 6.5 9.7a 9.8a 9.9a 9.10a 9.11a 10.26c
eat sööma 14, 22, 62, 132, 159-160, 164
sõi 1.3a 1.3b 1.4a 1.4b 1.5a 1.5b 1.12a 2.3a 2.3b 2.5 2.6a 2.6b 2.18e 4.15c 6.10c 6.10d
söönud 1.7a 1.7b
educate välja koolitama 9.5
emerge ilmuma ilmunud 9.23b
emit radiation välja kiirgama 10.12
enjoy nautima 4.29 4.36b 5.6
entice meelitama 4.37a
entice ahvatlema 4.37b
equal võrduma
võrdus 10.3c 10.3d
võrduv 10.3a
establish rajama 5.24 4.35b 9.4a
exalt ülistama 4.29 5.6
experience kogema 4.29 5.6
favor soosima 4.33 5.6
fear kartma 4.29 4.31 5.6 5.29
feel tundma 185, 4.29
fetch tooma 4.34 9.4a
find leidma 12-13, 35, 93, 116, 157, 159-160, 168-169, 5.28
leidis 1.2a 1.2b 2.19 2.18c 2.19
leidsin 2.4a 4.18a 8.1c 9.15a
fine trahvima 111, 4.33
trahvid 5.18d
finish lõpetama 93
lõpetas 4.4a 4.4b
fling loopima 4.37b
loopis 5.4a
flip lappama 4.30 5.17b
flow tilkuma 194-195
tilkus 10.29 10.30 10.31 10.32
fly lendlema 194
lendleb 10.33a
lendlevad 10.33b
fold voltima 4.34 5.26 9.4a
follow jälgima 102, 104, 157, 159-160, 4.29 4.36a 5.6
follow jätkama 4.32 4.36b 5.14 5.9
force sundima
sundis 10.3b
forfeit minetama 4.35b
forget kaotama 130-131, 169
kaotas 9.17 9.18
forget unustama 169
unustas 6.7b 9.17 9.18
forgive andestama 130-131, 169
andestas 6.7a
form kujundama 4.34 9.4a
form moodustama 189, 4.34 5.20
5.27 9.4a
moodustas 10.19 10.20a
frame raamima 190, 4.31 5.20
frighten ehmatama 39, 159-160, 171-172, 4.37b
ehmatanud 9.23b
ehmatas 1.8c 1.9c. 2.4b 9.23a
9.23c 9.23a 9.24b 9.24c
ehmatasin 9.20e
frown kibrutama 5.9 5.15
gather and save in reserve varuma
4.34, 4.35a 5.28
get drunk joobuma
joobus 5.32e
get saama 116, 4.34 5.28 9.4b
sain 2.8 2.11a
give up loobuma 159, 178
loobus 5.32g
give andma 130-131
andis 1.15c 1.15d 6.8a
glorify ülistama 4.29 5.6
go in for sth harrastama 4.32 4.36b
5.6
go through läbima 4.31 5.15
go minema 66, 88
läks 2.3c 2.3d
grab haarama 4.34 9.4b
guess aimama 4.29
hang out of välja vaatama 10.13
harm vigastama 171, 4.35b 5.25
vigastasin 9.20b
harrass ahistama 4.31 5.14
hate vihkama 4.29 5.6
have a taste of sth maitsma 4.29
heap out välja laduma 9.5
hear (involuntarily) pealt kuulma
4.29 5.6 10.12
hear kuulma 185, 4.29 5.6
help abistama 102, 4.36a
help aitama 102, 4.17b 4.32
aitas 4.14c
hit (the target) tabama 4.31
hit lõemma 4.30 4.37a
lõi 1.8d 1. 1.9d
lõöv 9.25a
honor austama 4.29 5.6
hug embama 5.17b
hug kallistama 17b
imagine to be ette kujutama (endast) 10.12
imagine ette kujutama 4.29 5.6
imagine kujutama 4.29 5.6
immerse süvenema 152, süvenes
5.32d
improve parandama 88, 4.33 4.34
5.17a 9.4a
incite ässitama 190, 4.37, 5.6
ässitas 5.4b
inhabit asustama 4.31
injure vigastama 171, 4.35b 5.25
vigastasin 9.20b
instigate ässitama 190, 4.37, 5.6
ässitas 5.4b
interest huvitama 4.31 4.36a 5.6
interpret välja lugema 10.12
interrupt katkestama 4.32 5.17a
invite kutsuma 4.34 5.28 9.4a
kutsuti 2.8 2.11a
iron triikima
triikis 5.31a 5.31b
justify öigustama 4.36b
keep in mind tähele panema 172,
4.29 5.6 10.12
panin tähele 9.21
keep hoidma 4.31 4.33
keep ülal pidama 4.33 4.34 5.6
kiss suudlema 90, 92, 144, 4.30
suuddles 4.44a 4.44b
knead mudima 4.37b
know teadma 144, 4.29 5.6
lament leinama 4.29 5.6
laugh at naerma 4.37a
lead juhtima 4.33 4.37b
juhtis 5.18c
leave jätma 116, 169, 4.34 5.26
lick limpsima 4.30 5.17b
listen to pealt kuulama 4.29 5.6 10.27
listen to pealt kuulama 4.29 5.6
10.27
listen kuulama 104, 4.29 5.17a
load out välja laadima 9.5
loan laenama 4.34 5.26 9.4b
loathe jälestama 4.29 5.6
look vaatama 12, 13, 194, 1.1a 4.29
5.17a
vaatab 8.2a 10.1a
vaatas 1.1a 1.1b 1.10e 2.12 10.25c
10.28c
lose kaotama
kaotas 9.17 9.18
lose minetama 4.35b
lose unustama 130-131, 169
unustas 6.7b 9.17 9.18
love armastama 65, 4.29 4.36a 5.6
armastab 8.2b 10.1b
lug sikutama 4.37b
lure meelitama 4.37a
lust himustama 4.29 5.6
maintain ülal pidama 4.33 4.34 5.6
make (exam etc.) sooritama 4.34
5.27 9.4a
make a move liigutama 4.30 4.37a
5.9 5.15
make sb disperse by frightening laiali ehmatama
laiali ehmatanud 9.23b
make sb fed up with sth üle viskama
[kellel] 9.34
make tegema 4.35a 5.24 9.4a
tegi 5.12a 5.12b 10.3e
tegin 4.6a 4.6b 5.5a 5.5b
tehtti 4.7b
master valdama 4.31 5.6
mean sth concrete silmas pidama
72, 4.29 5.6 10.12
mean tähenndama 4.33
meet kohtama 4.33 5.9 5.14
mock järele aimama 4.29 5.6 10.12
10.27
mock pilkama 4.29 5.14
mourn taga nutma 72, 4.29 5.6
10.12 10.27
mourn leinama 4.29 5.6
move liigutama 4.30 4.37a 5.9 5.15
need vajama 92, 4.29 5.6
nod noogutama 4.30 5.9 5.15
notice märkama 170-171, 4.29
märkasin 9.20a
notice silmama
silmas 10.10c 10.10d
nudge müksama 4.30 5.17b
observe pealt vaatama 4.29 5.6 10.27
obstruct takistama 4.32 5.6
offend solvama 39, 102-103, 106, 171,
184, 186, 4.29 4.36a 4.36b 5.14
solvas 1.8b 1.9b 5.8 5.13 10.7 10.8
10.9
open avanema
avanes 5.22c 5.23b
overestimate üle hindama 4.29, 4.30
5.6 10.12
overwhelm valdama 4.31 5.6
paint värvima
värvis 1.10g
pamper hellitama 196n.
hellitab 4.24
phone helistama 110-111, 4.33
helistas 5.18a
pinch näpistama 4.30 5.17b
plan kavatsema 4.32 5.6
plant istutama 4.35b 9.4a
play järelle aimama 4.29 5.6 10.12 10.27
play mängima
mängisin 2.8 2.11a
pour kallama 4.37b
praise kiitma 4.37a
press rõhuma 4.37a
press suruma 4.37a
presuppose eeldama 4.29 5.6
print trükkima 4.35b 5.24 9.4a
provoke provotseerima 4.37a
pull sikutama 4.37b
pull tömbama 4.37b
pump pumpama 4.37b
punish karistama 4.33 5.9 5.15
push lükkama 130-131, 4.37a
lükkas 6.8b
put properly kohendama 4.37a
put panema 172
pani 1.10c 1.15a 1.15b
pannud 9.23b
radiate sth, emit radiation välja kirgama 10.12
rain sadama 117
sadas 5.31c 5.31d
read lugema 93, 114, 132, 133, 4.37a
loen 4.47
luges 1.10f 4.15a 5.19 6.11a 6.11b 6.11c
redirect ära juhtima 10.12
regard käsitama 4.29 5.6 5.14 5.15
regard käsitlema 4.29
regret kahetsema 4.29 5.6
remember mäletama 4.29 5.6
reprehend laitma 4.29
reproach ette heitma 72, 4.29 5.9 5.14 10.12 10.27
require nõudma 4.32
ring helistama 110-111, 4.33
helistas 5.18a
roll rullima
rullis 4.19
rouse äratama 4.34 4.35b, 4.36a 5.26 9.4a
rub hõõruma 4.37b
hõõrusid 4.19
ruin rikkuma 4.35a, 4.35b
rikkus 5.22a 5.22b 5.22c 9.25b 9.25c
rikkusin 9.20b
rikub 9.25a
rule valitsema 4.31 5.6
run jooksma
jooksis 10.26a 10.26b 10.29 10.30 10.31 10.32
jooksin 4.22a 4.22b
jooksis 10.25a
run tilkuma 194-195
tilkus 10.29 10.30 10.31 10.32
satisfy rahulduma
rahuldus 5.32f
scrape kraapima 4.30 5.17b
scrape kratsima 4.30 5.17b
scratch kratsima 4.30 5.17b
scratch sügama 4.30 5.17b
see (involuntarily) pealt nägema 4.29 5.6 10.12
see nägema 185, 4.29 4.37a 5.17a
nägi 8.2d 10.1d 10.10a 10.10b
see silmama 185
silmas 10.10c 10.10d
sell müüma
müüs 4.43a 4.43
send saatma
saatis 4.14b
sense tajuma 185, 4.29
serve as an excuse välja vabandama 10.12
serve teenima 4.33 5.6
sew ömblema
ömbleb 4.5a 4.5b
shadow varjutama 4.31 5.14
shake raputama 4.37b
shake vangutama 4.30 5.15
shape kujundama 4.34 9.4a
shape kujutama 4.29 5.6
sharpen ihuma 107-109, 4.37b
ihus 5.11a 5.11b 511c 5.12b
shift nihutama 4.37a 4.37b
shovel out välja kühveldama 9.5
show näitama 4.33 5.17a
shrug kehitama 5.17b
sit istuma
istub 10.1g
smell nuusutama 4.29 5.15
sniff nuusutama 4.29 5.15
soak leotama 4.34 5.26
specialize välja koolitama 9.5
splash out välja loksutama 9.5
spoil rikkuma 39, 4.35a, 4.35b
rikkus 5.22a 5.22b 5.22c 9.25b 9.25c
rikkusin 9.20b
rikub 9.25a
spread out välja laotama 9.5
squeeze pigistama 4.37a
start (with sth) ette võtma 5.29
start alustama 39, 102, 160, 171, 4.32 4.36b 5.14 5.9
alustas 9.20d
start asuma
asus 5.16b
start hakkama 183
hakkas 10.4
stimulate premeerima 4.33 5.9 5.15
sting nöelama 4.30 5.17b
stop lakkama
lakkas 5.32b
stretch out of välja vaatama 10.13
stretch out välja sirutuma 10.13
stretch sirutama 4.37a
strike lööma 4.30 4.37a
löi 1.8d 1. 1.9d
lööv 9.25a
stroke silitama 4.30 5.17b
study käsitlema 4.29
study uurima 4.29
subjugate alistama 4.35b 5.25 9.4a
suffer kannatama 4.29
support pooldama 106, 109, 184, 191, 192, 4.36b
pooldas 5.10a 5.10b 5.10c 5.12a
support toetama 4.33 5.6
support ülal pidama 4.33 4.34 5.6
suppress röhuma 4.37a
surprise üllatama 39, 130, 132, 4.31, 4.32 5.9 5.14
üllatas 2.14 2.18b 6.9
suspect aimama 4.29
suspect kahtlustama 4.36a
swim ujuma
ujus 1.10k 1.13c
take viima 73, 115-116, 4.34 4.35a 5.26
viis 1.10l 1.13d 4.12a 4.18b
viisin 1.10h
take võtma 93, 4.34 9.4b
võtan 4.13
võttis 5.30
target sihtima 4.29 5.14
taste maitsma 4.29
tear käristama
käristas 1.13b
tear rebima 4.37a
tease õrritama 4.37b
thank tänama 110, 4.29
tänas 5.16b
think mõtlema 4.29
threaten ähvardama 4.31
throw out välja loopima 9.5
throw viskama
viskas 1.10b 4.7a
to lose (to sb) alla jääma [kellele] 9.34
tolerate, stand sallima 4.36b
toss loopima 4.37b
loopis 5.4a
touch lightly riivama 102-103, 171, 4.30 5.9 5.15
touch kiskuma 4.37a
touch *puudutama* 102-103, 4.30
4.36a 5.9, 5.14 5.15
*puudutas* 5.16a
*puudutasin* 9.20b
trust *usaldama* 4.29 4.37a, 4.37b 5.6
*usaldab* 8.2c 10.1c
try to remember *meenutama* 4.29 5.6
try *piüüdma* 4.32
tug at *sikutama* 4.37b
turn pages *lappama* 4.30 5.17b
twist *keerutama* 5.17b
underestimate *alahindama* 184, 187,
29 4.29 4.36a 5.6 10.14a
*alahindas* 5.7 10.5b 10.14b
*alahindasin* 4.9 4.10 3.27
understand *mõistma* 184, 191-192
*mõistis* 10.5a
understand *välja lugema* 10.12
use for one’s own purposes *ära kasutama* 10.12
use *kasutama* 4.33 5.17a
use *tarvitama* 4.33
visit *külastama* 102, 4.36a
*külastab* 8.2f 10.1f
wag *liputama* 4.30 4.36b 5.15
wag *vangutama* 4.30 5.15
waggle *vangutama* 4.30 5.15
wait *ootama* 4.31 5.17a
*ootas* 1.10j
want *tahtma* 4.29
*tahab* 8.2e 10.1e
watch (as sth is going on) *pealt vatama* 4.29 5.6 10.27
watch *jälgima* 102, 104, 157, 159,
160, 4.29 4.36a 5.6
watch *uurima* 4.29
wave *lehvitama* 4.30
wave *lehvitama*
*lehvitas* 5.18b
whip *piitsutama* 4.30 5.17b
widen *laiendama* 159, 160, 175
*laiendas* 1.8a 1.9a. 2.15 2.16 2.18a
9.27a 9.27b 9.28 9.29 9.30a 9.30b
9.31a 9.31b
win *võitma* 171
*võitsin* 9.20c
wink *pilgutama* 4.30 5.15 5.9
wish *soovima* 4.29
write *kirjutama* 114, 132, 4.35b 9.4a
*kirjutas* 1.14a 1.14b 2.3c 2.3d
2.13 2.17b 2.18d 5.21a 5.21b 5.23a
5.23b 6.10a 6.10b
cost *maksab* 10.18a 10.18b
Opere pubblicate
I titoli qui elencati sono stati proposti alla Firenze University Press dal Coordinamento editoriale del Dipartimento di Lingue, Letterature e Culture Comparete e prodotti dal suo Laboratorio editoriale OA
Volumi
Stefania Pavan, *Lezioni di poesia. Iosif Brodskij e la cultura classica: il mito, la letteratura, la filosofia*, 2006 (Biblioteca di Studi di Filologia Moderna; 1)
Rita Svandrilik (a cura di), *Elfriede Jelinek. Una prosa altra, un altro teatro*, 2008 (Biblioteca di Studi di Filologia Moderna; 2)
Ornella De Zordo (a cura di), *Saggi di anglistica e americanistica. Temi e prospettive di ricerca*, 2008 (Strumenti per la didattica e la ricerca; 66)
Fiorenzo Fantaccini, *W.B. Yeats e la cultura italiana*, 2009 (Biblioteca di Studi di Filologia Moderna; 3)
Arianna Antonielli, *William Blake e William Butler Yeats. Sistemi simbolici e costruzioni poetiche*, 2009 (Biblioteca di Studi di Filologia Moderna; 4)
Marco Di Manno, *Tra sensi e spirito. La concezione della musica e la rappresentazione del musicista nella letteratura tedesca alle soglie del Romanticismo*, 2009 (Biblioteca di Studi di Filologia Moderna; 5)
Maria Chiara Mocali, *Testo. Dialogo. Traduzione. Per una analisi del tedesco tra codici e varietà*, 2009 (Biblioteca di Studi di Filologia Moderna; 6)
Ornella De Zordo (a cura di), *Saggi di anglistica e americanistica. Ricerche in corso*, 2009 (Strumenti per la didattica e la ricerca; 95)
Stefania Pavan (a cura di), *Gli anni Sessanta a Leningrado. Luci e ombre di una Belle Époque*, 2009 (Biblioteca di Studi di Filologia Moderna; 7)
Roberta Carnevale, *Il corpo nell’opera di Georg Büchner. Büchner e i filosofi materialisti dell’Illuminismo francese*, 2009 (Biblioteca di Studi di Filologia Moderna; 8)
Mario Materassi, *Go Southwest, Old Man. Note di un viaggio letterario, e non*, 2009 (Biblioteca di Studi di Filologia Moderna; 9)
Ornella De Zordo, Fiorenzo Fantaccini, *altri canoni / canoni altri. pluralismo e studi letterari*, 2011 (Biblioteca di Studi di Filologia Moderna; 10)
Claudia Vitale, *Das literarische Gesicht im Werk Heinrich von Kleists und Franz Kafkas*, 2011 (Biblioteca di Studi di Filologia Moderna; 11)
Mattia Di Taranto, *L’arte del libro in Germania fra Otto e Novecento: Editoria bibliofilica, arti figurative e avanguardia letteraria negli anni della Jahrhundertwende*, 2011 (Biblioteca di Studi di Filologia Moderna; 12)
Vania Fattorini (a cura di), *Caroline Schlegel-Schelling: «Ero seduta qui a scrivere». Lettere*, 2012 (Biblioteca di Studi di Filologia Moderna; 13)
Anne Tamm, *Scalar Verb Classes. Scalarity, Thematic Roles, and Arguments in the Estonian Aspectual Lexicon*, 2012 (Biblioteca di Studi di Filologia Moderna; 14)
Riviste
«Journal of Early Modern Studies», ISSN: 2279-7149
«Studi Irlandesi. A Journal of Irish Studies», ISSN: 2239-3978
|
Safety Training for Workers in the Onsite Industry
We are seeing a change in the liability exposure to small business owners in our industry? Do you have a safety program? Is it doing what you think it is? Companies are being hit with fines from OSHA and State Labor and Industry programs, but recent state supreme court findings and state and county prosecuting attorneys are expanding OSHA fines to allow financial compensation to victim/workers with civil suits and criminal homicide charges for owners who willfully ignore the rules that result in workplace fatality accidents!
This class will cover Confined Space Entry, Excavation and Trench Safety and Pathogen Exposures for workers in the Onsite industry.
If you’ve ever rationalized your responsibility of safety as a business owner or worker with some version of “it won’t happen to me,” you should come to this presentation and learn some simple steps about what you should do and how to get ahead of the curve.
In addition to a discussion of case studies of folks we know in the industry, we’ll discuss the rule requirements as they apply to CSE and how safety is approached in general the Onsite industry.
During the CSE class we’ll discuss the roles of: Entrant, Attendant and Supervisor. Review Examples of Onsite Confined Spaces: Septic and Pump Tanks, Pump Trucks and Sewer lines. Application of Confined Space rules to Excavations and Trenches: Tank Excavations, Trenches and Soil Log Test Pits. Review Personal Protective Equipment (PPE): Selection, Fit for use and Maintenance.
Excavation and Trenching hazard identification for workers in the Onsite Industry are well documented. Specialty contractors and small business workers are unnecessarily exposed to hazards and potential fatalities in excavation and trenching work unique to the on-site wastewater industry.
Pathogens in Wastewater have been well documented for many years. Up until recently, studies and research on pathogen exposure to wastewater workers has been limited to wastewater treatment plant operators. Onsite septic system service providers have had little to no direct review of the pathogens that they are exposed to in the workplace.
Further, because of the limited resources of small business practitioners, development and implementation of appropriate workplace mitigation has been limited or non-existent. This class was developed using field studies and research conducted by the Washington On-Site Sewage Association in conjunction with grants received by Washington Labor & Industries SHIP Program and the Occupational Safety and Health Administration Susan Harwood Program. The class provides an overview of specific biological hazards to workers in the Onsite Wastewater Industry based on typical job tasks.
This training is being hosted by OOWA in partnership with WOSSA (the Washington On-site Sewage Association) in a strategic effort to reduce injuries and fatalities and raise awareness to workplace hazards and injuries related in our industry. In this training you will be able to ask questions and share your experiences, discuss rules get the tools you can use for your own program development to manage exposures in your business.
More information can be found on page 13 and 14 of this newsletter.
Ohio Onsite Wastewater Association Board of Directors
Paul Bennett
Norwalk Concrete
Ralph Benson
Don Carabin
Noweco
Manny Diaz
Jack’s Septic LLC
Zach Gossett
Tidy Tim’s
Chris Griffith
Hamilton County Public Health
Jason Little
ABC Engineers & Surveyors
Chris Mandich
Jet, Inc
Jason Menchhofer
Mercer County Health District
Nate McConoughey
Cuyahoga County Board of Health
Nathan Otto
KN Excavation, LLC
Michael Rogich
Delaware General Health District
Walt Sandefur
Sandefur Consulting
Zak Sherman
Infiltrator Water Technologies
Robert Wildey
Clermont County Public Health
Is there a membership benefit that you wish OOWA offered? Be sure to let us know so that we can offer OOWA members more benefits!
FOLLOW US ON FACEBOOK
@OhioOnsite
Save the Dates for Upcoming OOWA Events:
OSHA Training
September 13, 2021
Holiday Inn—Independence, OH
September 15, 2021
Hartford Independent Fairgrounds—Croton, OH
September 16, 2021
Clermont County Fairgrounds—Owensville, OH
OOWA Service Provider O&M Training
November 16 & 17, 2021
Columbus Airport Marriott—Columbus, OH
2022 OOWA Annual Conference
January 4 & 5, 2022
Nationwide Hotel & Conference Center—Lewis Center, OH
6870 Licking Valley Road
Frazeysburg, OH 43822
E: firstname.lastname@example.org
P: (740) 828-3000
W: www.ohioonsite.org
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CEU Options Available Through OOWA...
Due to the postponement of the Annual Conference, many contractors are in need of Continuing Education. With that being said, there is some online education that you can take part of to get your CEUs in! OOWA has 13.75 pre-approved continuing education hours available online in 14 individual courses, available to all.
The courses were developed from recording the presentations in our two-day training program in November 2019. The online training is now offered via our affiliation with the National Onsite Wastewater Recycling Association’s (NOWRA) online education platform. The Ohio courses are currently pre-approved by the Ohio Department of Health (ODH) for sewage treatment system contractors and sanitarians.
There are also some NOWRA courses that have been pre-approved by the Ohio Department of Health for contractors and sanitarians. For more information about CEU options that are available through OOWA, be sure to visit our website and click on the Online Education tab. There you will find the entire list of courses that have been approved by the Ohio Department of Health. For more information, be sure to reach out to the OOWA office.
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The Ohio Onsite Wastewater Association is pleased to again offer the Service Provider Operation & Maintenance Training program for all professionals involved in the onsite sewage treatment system industry.
When: November 16 & 17, 2021
Where: Columbus Airport Marriott
Tentative Topic Agenda includes:
1. Operation and Maintenance Overview
2. Sampling - Where, when & how
3. Anaerobic vs. Aerobic Treatment
4. Controls, Pumps & Float replacement
5. TSS - Sources & Solutions
6. Managing High & Low Flows
7. Safety Overview
8. Troubleshooting Septic Tanks
9. Landscaping & Septic systems
10. Troubleshooting ATUs
11. System Remediation
12. Managing Commercial Systems
13. Dealing with Challenging Sites
SERVICE PROVIDERS -
This training will authorize your company to provide service and maintenance on treatment products approved after January 1, 2007, except for discharging systems that have NPDES permits & drip distribution systems. Attendance both days, in full, is required to obtain this OOWA Service Provider O&M Training Alternative 2-year Certification (good through December 31, 2023.)
Manufacturers training certification is required to provide service and maintenance on NPDES systems, and Drip Responsible Party training is required for service & maintenance on drip distribution systems.
INSTALLERS, SERVICE PROVIDERS & SEPTAGE HAULERS:
The hours of attendance will go toward the requirement of the six (6) hours of continuing education that contractors must complete for their 2022 registration.
Holders of this OOWA Service Provider O&M Training Alternative 2-year Certificate during the years 2022 & 2023 will not need the six (6) hours of continuing education for registration for 2022 & 2023.
SANITARIANS:
Attendance will provide continuing education credit from the ODH for Sanitarian Registration for the number of hours attended, up to 12 hours.
NOTE: CEU credits have not yet been approved.
WHY RELY ON A SSPMA CERTIFIED PUMP?
Engineers, specifiers, contractors and end users expect a pump that arrives on the job to meet certain reliable design criteria. Many times a certain size for solids handling is required or the pump is selected based on a published performance curve. While third party certifications such as UL and CSA have standards for the electrical components, they do not ensure other key performance criteria. Pumps bearing the “SSPMA-Certified” seal have been tested, by the member manufacturer, and rated in accordance with stringent SSPMA Industry Standards to verify they will perform as stated by the manufacturer of the particular equipment involved. The Standards are designed to supply the specifier, purchaser and/or user of sump, effluent and sewage pumping equipment with accurate performance data, and to assist in the determination of proper application and selection of this equipment. Many states require installers of pumps to be licensed and to meet certain standards. When purchasing directly or through a licensed installer, why not require use of a pump that has to meet certain established standards as well?
SSPMA is the trade association for the sump, effluent and sewage pump industry.
Its mission is to represent the industry in a manner consistent with the highest standards of business practice and its obligations under law and regulation, by educating the industry, general public, and legislative and regulatory groups, in the proper application, use, installation, and maintenance of the products and services offered by its members.
Programs Our Programs Include…
Collection of statistics designed to describe market size and activity.
Development and promulgation of industry Standards, outlining design and performance criteria for residential sump and effluent pumps and sewage ejectors.
Certification/labeling program for products conforming to Standards.
Promotion of improved provisions in building and onsite wastewater treatment codes on use of sump, effluent and sewage pumps.
Educational materials designed to encourage proper and safe sizing, installation, maintenance and use of sump, effluent and sewage pumps.
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Soil & Site Evaluation for Onsite Wastewater Treatment ~ Online Workshop ~
Drs. Brian Slater and Karen Mancl
The Ohio State University
June 1 through October 30, 2021
Registered sanitarians, soil scientists, sanitary engineers, installers and others who work on small and onsite wastewater treatment systems are sometimes expected to consider sites and soils for suitability. This new online course has video lectures, demonstrations and homework exercises to prepare onsite professionals to conduct a preliminary evaluation. The goal of this course is to help an onsite professional to become a soils practitioner to assist soil scientists in conducting site and soil evaluations.
Since each workshop segment is 6 hours, you can take 1 per year or all three in 1 year to meet your needs. The only restriction is the segments must be taken in order, since what you learn in Segment 1 prepares you for Segments 2 and then 3.
Be aware that each online segment has homework and a final quiz. Participants must pass the quiz to verify workshop participation and receive the CEU certificate. Once you have completed the online segments, you can register for a series of Autumn field workshops starting in mid-August 2021 to practice the knowledge and skills learned through the online workshops.
Registration
$200 per person for each segment through the online registration. In addition, textbooks need to be purchased as hard copy or ebooks. List of textbooks is below.
Workshop Schedule
Online Segment 1 – 6 hours
Soil Depth and Vertical Separation Distance
Opens June 1, 2021 (Must be completed by Oct. 30, 2021)
• Soil depth and onsite wastewater treatment
• Soil horizons
• Soil color
• Soil texture
• Soil structure and consistence
• Soil morphology’s role in soil permeability
• Preparing the site for a soil description
Online Segment 2 – 6 hours
Soils in the Landscape
Opens June 1, 2021 (Must be completed by Oct. 30, 2021)
[Must Complete Online Segment 1 before starting Online Segment 2]
• Soil maps
• Suitability of Ohio soils to treat wastewater
• Soil topography
• Soil survey
• Electronic soil survey
• Site and soil assessment
• Researching soils on the site
• Conducting a visual assessment
• Estimating the extent of each soil
• Finding and mapping a suitable soil
Online Segment 3 – 6 hours
Water and Soils
Opens June 1, 2021 (Must be completed by Oct. 30, 2021)
[Must Complete Online Segments 1 & 2 before starting Online Segment 3]
• Site water balance
• Water tables and wastewater treatment
• Water movement through soil
• Soil chemistry
• Morphology of wet soils
• Soil color and mottles
• Landscape hydrology
Text books:
Munsell Color Book http://www.forestry-suppliers.com/product_pages/Products.asp?mi=73221&itemnum=77321&title=Munsell%AE%20Soil%20Color%20Book
Wetland Soils: Genesis, Hydrology, Landscapes and Classifications. Vepraskas, M. and C. Craft. 2016. https://www.crcpress.com/Wetland-Soils-Genesis-Hydrology-Landscapes-and-Classification-Second/Vepraskas-Craft/p/book/9781439896983
Suitability of Ohio Soils for Treating Wastewater. Mancl, K. and B. Slater. OSU Extension Bull 896. http://extore.osu-extension.org/Suitability-of-Ohio-Soils-for-Treating-Wastewater-P188.aspx
Site and Soil Evaluation for Onsite Wastewater Treatment. Mancl, K. and B. Slater. OSU Extension Bulletin 905. http://extore.osu-extension.org/Soil-and-Site-Evaluation-for-Onsite-Wastewater-Treatment-P457.aspx
CEUs
For the workshop, 6 hours of continuing education credit per segment has been approved by the Ohio Department of Health and Sanitarian Registration Board for installers, pumpers, service providers and sanitarians.
Registration Online - 2021
Soil & Site Evaluation for Onsite Wastewater Treatment
Register for
Online Segment 1 -
Soil Depth and Vertical Separation Distance
https://cfaoosu.catalog.instructure.com/courses/soil-and-site-evaluation-for-onsite-wastewater-treatment-segment-1-c4g-0r2
Online Segment 2 -
Soils in the Landscape
https://cfaoosu.catalog.instructure.com/courses/soil-and-site-evaluation-for-onsite-wastewater-treatment-segment-2-19a
Online Segment 3
Water and Soils
https://cfaoosu.catalog.instructure.com/courses/soil-and-site-evaluation-for-onsite-wastewater-treatment-segment-3-17-bd42
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SAFETY FOR WORKERS IN THE ONSITE INDUSTRY
Presenter: John Thomas, Washington On-Site Sewage Association
| Date | Location | Address |
|--------------------|---------------------------------|----------------------------------------------|
| Monday | Holiday Inn | 6001 Rockside Rd |
| September 13, 2021 | | Independence, OH 44131 |
| Wednesday | Hartford Independent Fairgrounds| Babcock Building |
| September 15, 2021 | | 14028 Fairgrounds Rd |
| Thursday | Clermont County Fairgrounds | 4-H Building |
| September 16, 2021 | | 1000 Locust St |
| | | Owensville, OH 45160 |
Pre-Registration is Required!
Attendee Registration
Contact Information:
Contact Name: ____________________________________________________________
Company: _________________________________________________________________
Address: _________________________________________________________________
City: ___________________________ State: __________ Zip: _________________
Phone: ___________________________ E-Mail: _______________________________
Attendee Information: (Sanitarians: please provide RS# for CEU credits)
First Attendee: ___________________________________________________________ RS#
Second Attendee: _________________________________________________________ RS#
Third Attendee: __________________________________________________________ RS#
Location Attending: ______ Independence ______ Croton ______ Owensville
Number of Attendees: ______ x $99.00 (2021 OOWA Member) OR ______ x $129.00 (Non-Member) Total Due: ___________
Registration fee includes boxed lunch and CEU credits (currently not yet approved through ODH)
Do you have dietary restrictions? If so, please provide: _______________________
No refunds after September 1, 2021
Please make check payable to: OOWA or fill in Visa, MasterCard, Discover, or American Express info below:
Card Number ____________________________________________________________ Expiration Date __________ CW: __________
Billing Address: _________________________________________________________
Please send form & payment to: OOWA, 6870 Licking Valley Road, Frazeysburg, OH 43822 or firstname.lastname@example.org
Questions? Call OOWA at (740) 828-3000 or email email@example.com
Safety Training for Workers in the Onsite Industry
This one-day class covers the following topics and learning objectives.
Session 1 – 4 hours
This session will review rules, regulations and work practices in the on-site industry as it relates to confined space entry (CSE) during installation, repairs, inspections, pumping and equipment, including excavation and trench safety.
Key learning objectives for participants:
- Definitions of confined spaces in the industry and applicable guidance and application from OSHA rule.
- Define exposures and increase awareness through hazard recognition of confined spaces with discussion and review of best work practices common to the industry.
- Discuss and understand the roles of Entrant, Attendant and Supervisor during a CSE.
- Evaluate current practice of workers using actual case studies for septic and pump tanks, sewer lines, sewer excavations and trenches.
- Learn and discuss hazard mitigation and PPE selection.
- Practice and demonstrate proficiency doing a confined space entry and/or setting up and using standard equipment used in CSE including safety harness, tri-pod, air-supply blowers, air quality monitors and necessary documentation prior to entry.
Session 2 – 2 hours
This session will review and discuss pathogen exposures for workers in the on-site industry that handle raw untreated human waste.
Key learning objectives for participants:
- Learn results of field monitoring and sampling of wastewater exposures due to contact, splashing and aerosolization of sewage in typical industry activities while working.
- Understand and discuss pathogens common in raw untreated human waste that workers in the industry are exposed to and raise awareness of hazard recognition of exposures that will make you sick.
- Review work practices through industry case studies for Pumpers, Installers, repairs, pumping, jetting and other maintenance and inspection activities that present hazards to workers.
- Identify mitigation of hazards and recommendations through appropriate PPE selection.
Instructor: Mr. John Thomas is the former Executive Director for the Washington Onsite Sewage Association and key developer and instructor for classes relating to safety in the On-site industry including Confined Space Entry, Pathogen Exposures for workers, Excavation and Trench Safety, OSHA Focus Four hazards and has presented at state and national conferences across the country in Ohio, Florida, Texas, Missouri, Michigan, Texas, Minnesota, Wisconsin, Colorado, Oregon, NOWRA and the Pumper Show.
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THE ERYTHROCYTE SEDIMENTATION RATE
Choice of Technique for Sanatorium Use.
A Thesis for the Degree of M.D. Presented by Andrew Clark Penman M.B., Ch.B.
ProQuest Number: 13849827
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INTRODUCTION.
The object of the research reported in this thesis was to determine the best method of estimating the Erythrocyte Sedimentation Rate in a Sanatorium of 250 beds where the estimation is carried out monthly on every patient. Including staff and outpatients the number of estimations each week is about 70, so simplicity was desirable if it could be obtained without significant loss of accuracy.
In Part I the mechanism of the sedimentation reaction is discussed, and the factors influencing the reaction when it is studied in the test tube.
In Part II a selection of the methods which have been more or less widely used is reviewed in the light of the conclusions arrived at in Part I. Practical applicability to mass testing is also considered.
Part III is devoted to a group of case reports in which the clinical course is considered along with the Erythrocyte Sedimentation Rate estimated by the Westergren technique with the reading taken at the end of 2 hours.
HISTORY OF THE SEDIMENTATION REACTION
Fahreus (1921) gives an exhaustive survey of the history of the Sedimentation reaction, from which the following points stand out.
Phlebotomists from Hippocrates onwards noted that there was a difference between normal and pathological blood collected at a venisection; but a landmark appears when Hewson (1739-1744) noted that rapid sedimentation of the blood was the most important factor in the production of the buffy coat, which has always been considered a pathological phenomenon. Hewson and Nasse showed that accelerated sedimentation was not due to altered specific gravity of plasma or corpuscles. Then Nasse observed the tendency of the corpuscles to cluster in rapidly sedimenting blood. This agglutination of corpuscles in pathological blood was described by John Hunter in 1786. Gulliver noted that the rate of sedimentation was slow at first, then accelerated.
About this time, speculation on the cause of rapid sedimentation and formation of buffy coat was leading to the view that it depended on the quantity of fibrin in the blood. Biernacki, was the first to measure the sedimentation rate with a view to applying the test clinically; but unfortunately he worked on
the theory that the plasma was secreted by the corpuscles and he therefore measured the percentage volume of the supernatant plasma. He used a short wide tube, as this gave a larger plasma percentage in $\frac{1}{2}$ and 1 hour (because, until cell packing interfered with it, the rate of fall in a short wide tube would be the same as in a longer and narrower one).
MECHANISM OF THE SEDIMENTATION REACTION
Fahreus (1921) using citrated blood in test tubes of suitable length, observed that the rate of fall of the upper corpuscular layer accelerated at first until the packing of the cells at the bottom of the tube caused deceleration. This suggested that the erythrocytes followed the hydrodynamic laws governing the fall of bodies in fluids. Stoke's law refers to spheres falling in fluid of infinite extent, but the basic principle of it holds good for bodies which are not spheres falling in confined space.
The essential formula is:
\[ V = \frac{2}{9} g \cdot \frac{s - s'}{\mu} \cdot r^2 \]
Where \( V \) = maximum velocity of fall
\( g = 32 \text{ ft. per second} \)
\( s = \text{specific gravity of falling body} \)
\( s' = \text{specific gravity of fluid} \)
\( \mu = \text{viscosity of fluid} \)
\( r = \text{radius of falling body.} \)
Fahreus therefore postulated that increased E.S.R. must be due to one of five causes.
1. Increased S.G. of erythrocytes.
2. Decreased S.G. of plasma
3. Decreased viscosity of plasma
4. Increased size of erythrocytes
5. Agglutination of erythrocytes
1 and 2 were ruled out experimentally by Fahreus.
3. The viscosity of plasma is greater in the more rapidly sedimenting bloods, owing to increase in plasma proteins. Tang and Wang (1941) consider that increased plasma viscosity is a better index of disease activity than the E.S.R. Also a study of the formula above suggests that where the difference in S.G. between the body and the fluid is small, as it is with erythrocytes and plasma, viscosity is a minor factor in determining the velocity. Fahreus demonstrated the truth of this by dilution experiments. The recent work on this by Whittington and Millar is referred to later.
4. Increase in the size of single erythrocytes could only very slightly increase the rate of sedimentation. Unagglutinated corpuscles suspended in isotonic citrate or saline solution sediment very slowly (about 0.5 mm/s per hour) so even doubling the size of the erythrocytes would not produce a pathological E.S.R.
5. In normal citrated or oxalated blood the erythrocytes form rouleaux by joining flat surface to flat surface; but the rouleaux are made up of a few erythrocytes only. In rapidly sedimenting blood the rouleaux are long, and are joined together to form clusters which are visible to the naked eye in the sedimentation tube, as in Hunter's observation on venissection blood. I have counted rouleaux of 12
erythrocytes in normal blood, but in rapidly sedimenting bloods the erythrocytes in the clumps are uncountable. Fahreus made an approximate calculation by Stoke's formula that there were over 100,000 erythrocytes in the clumps in one pathological blood. This agglutination of erythrocytes is therefore the only factor which could cause the E.S.R. to increase to the extent seen in many diseases.
The increased agglutination of erythrocytes in rapidly sedimenting bloods is associated with an increase of fibrinogen and/or serum globulin in the plasma (Fahreus 1921, Westergren 1924) and the increase in these is associated with an increase in the viscosity of the plasma (Tang and Wang 1941, V.S.) The latest work on this question (Whittington and Millar 1942) is an abstruse mathematical study on the viscosity of blood and plasma related to the maximum velocity of sedimentation in controlled conditions, but it does not bring appreciably nearer the time when viscometry will replace estimation of the E.S.R. in the ordinary laboratory.
In order to discover whether or not the sedimentation producing properties of the plasma are exhausted or reduced by causing Sedimentation once, the following experiment was carried out.
**EXPERIMENT I**
Blood 8 cc. diluted with 3.8% citrate solution 2 c.c. was divided between two centrifuge
tubes. From tube 1 (6 c.c.) a Westergren sedimentation specimen was set up immediately and the remaining 5 c.c. left to sediment in the centrifuge tube. Tube 2 was centrifuged for 20 minutes, then the plasma was pipetted off and measured, and the cells washed. This specimen was then reconstituted with a quantity of plasma from tube 1 equal to the quantity removed before washing the cells. This tube 1 plasma was obtained by gentle centrifuging after sedimentation had been allowed to proceed for 40 minutes i.e. until it was approaching its maximum velocity of sedimentation. A Westergren sedimentation specimen was then set up from the reconstituted tube 2. The results are shown in the table.
**TUBE 1.**
| | |
|----------------|----------------|
| 1st Hour | 8 mm. |
| 2nd " | 22.5 mm. |
| M.V. | 25 mm/100 min. |
**TUBE 2.**
| | |
|----------------|----------------|
| 1st Hour | 5 mm. |
| 2nd " | 14.5 mm. |
| M.V. | 20 mm/100 min. |
This shows that there was a slowing of the E.S.R. in this case when "used" plasma was mixed with washed cells - a slowing probably beyond the experimental error of reconstituted blood experiments. The results must therefore be considered suggestive but not conclusive.
FACTORS INFLUENCING THE E.S.R.
In order to assess the value of various methods of estimating the E.S.R. it has been necessary to study separately the factors that influence sedimentation rate when the sedimentation reaction takes place in the limiting conditions of a laboratory test tube. The conclusions arrived at in the following pages are biased in favour of technical simplicity, and the term Maximum Velocity of Sedimentation indicates the maximum velocity attainable in the normal type of tube in which cell packing has some slight effect from the very beginning of the test. Higher velocities are attainable in bulb bottomed tubes in which the bulb will accommodate the packed cells. The increase in velocity in such tubes may be up to 10%.
THE EFFECT OF TEMPERATURE ON THE E.S.R.
The fact that the E.S.R. is slowed by reduction of temperature of the test has long been recognised. Most workers, however, appear to agree with Plass and Rourke (1929) that, within the limits of normal laboratory temperatures, the effect is hardly significant.
It was observed at the Cheshire Joint Sanatorium a number of years ago that the range of E.S.R. in the patients was significantly more rapid in summer than in winter. This led to the installation of a constant temperature cabinet controlled thermostatically at 65°F. That temperature was chosen because it is easier to heat the cabinet in winter than to cool it in summer. In a warmer climate it would be advisable to control the temperature at a higher level. The cabinet is heated by two carbon filament bulbs with asbestos shields in front of them to protect the sedimentation tubes from direct radiation. The front is of glass so that readings may be taken without disturbing the temperature.
For all my own work I have used this constant temperature cabinet. The necessity for this was confirmed by a number of observations on duplicate
specimens set up from the same blood samples, one in the constant temperature chamber and the other on the laboratory bench in normal winter weather. (Experiment 2.).
Table 1 gives the results, 2nd hour reading on a Westergren 200 mm. tubes, which show that marked slowing of the E.S.R. may result from a temperature drop of only 9°F, and also that the response of the E.S.R. to fall in temperature is so erratic that a correction factor could not be found. Even blood samples from the same donor behaved differently on different days although technique was rigidly standardised.
Day (1940) attributes E.S.R. variation with temperature to slower agglutination of the erythrocytes when the temperature is lower, with the consequence that the maximum velocity of sedimentation is reached later. He held, however, that the maximum velocity, though reached later, is the same in the warm as in the cool specimen. This is not in keeping with my findings in experiments where the difference in temperature between the specimens was sometimes as little as 7°F. The variations in M.V. (Table 2) are as striking as the variations in 2nd hour reading, and as erratic. Two specimen sedimentation charts are appended (Nos. 1 and 2.).
Table 1. Westergren 2nd Hour Reading at Various Temperatures
| 65 F. | 58° | 57° | 56° | 55° | 53° | 52° | 50° | 49° |
|-------|-----|-----|-----|-----|-----|-----|-----|-----|
| 9 | 7.5 | | | | | | | |
| 10 | | 14 | | | | | | |
| 14 | | | 14 | | | | | |
| 15 | | | | 14 | | | | |
| 16 | | | | | 11.5| | | |
| 18 | | | | | | | | |
| 26 | 20 | | | | | | | |
| 36 | | 34 | | | | | | |
| 40 | | | 34 | | | | | |
| 44 | | | | | | | | |
| 49 | | | | | | | | |
| 59.5 | | | | | | | | |
| 61 | | | | | | | | |
| 66 | | | | | | | | |
| 80 | | | | | | | | |
Table 2. M.V. in mm/100 min. at Various Temperatures.
| 65 F. | 58° | 53° | 52° | 49° |
|-------|-----|-----|-----|-----|
| 10 | 8 | | | 4.5 |
| 10.5 | | | | |
| 20 | | | 15.5| |
| 26.5 | 25 | | | |
| 46 | | | | 32 |
| 52 | | | | |
| 55 | | | | |
| 73.5 | | 47.5| | |
| 85 | | 38.5| | |
| 92 | | | | |
CHART 1.
BLOOD A
65°F 58°F
2 HR 10 mm 7.5 mm
M.V. 10.5 mm/100 min 8 mm/100 min
S.I. 1.02 0.90
FALL IN MM.
TIME IN MINUTES
CHART 2.
BLOOD B
65° 53°
2 HR 59.5 mm 37.5 mm
M.V. 73.5 mm/100 min 38.5 mm/100 min
S.I. 1.86 1.58
FALL IN MILLIMETRES
TIME IN MINUTES
THE EFFECT OF THE CELL VOLUME OR CELL COUNT ON THE E.S.R.
So much work has been done on this question, that apart from two experiments demonstrating that the findings of others are confirmed when the Westergren 200 mm. tube is used I will confine myself to a review of the literature.
EXPERIMENT 3.
Object: To determine the effect of anaemia on sedimenting blood by varying the proportion of cells to plasma, maintaining the proportion of anticoagulent approximately constant.
Blood 9.5 cc. diluted with 3.8% citrate solution 0.5 cc. was centrifuged and the plasma removed. The cells were washed with citrate solution and the washed cells suspended in an equal volume of the citrated plasma. From this suspension four specimens were prepared, as shown in the table, by mixing varying quantities of cell suspension and plasma with a uniform quantity of citrate solution. It is estimated that the slight increase in citrate content as the dilution of cells increases will be compensated by the lesser quantity of citrate carried by the lesser volume of washed cells.
TABLE I
| | Cell Suspension | Citrated Plasma | 3.8% Citrate Sol. | Total |
|---|-----------------|-----------------|-------------------|-------|
| 1.| 1.2 | - | 0.2 | 1.4 cc. |
| 2.| 1.0 | 0.2 | 0.2 | 1.4 cc. |
| 3.| 0.8 | 0.4 | 0.2 | 1.4 cc. |
| 4.| 0.6 | 0.6 | 0.2 | 1.4 cc. |
The four dilutions were set up in Westergren 200 ml. tubes in the constant temperature cabinet and the resulting sedimentation observed for 3 hours at 10 minute intervals. The experiment was repeated using a moderately rapid sedimenting blood. The results are tabulated below.
**TABLE 4.**
| Blood | Dilution | 2nd Hour | M.V. | Log M.V. |
|-------|----------|----------|------|----------|
| A | 1 | 4 | 14.5 | 0.65 |
| | 2 | 16.5 | 17.5 | 1.24 |
| | 3 | 36.5 | 35 | 1.54 |
| | 4 | 74.0 | 73.5 | 1.87 |
| B | 1 | 24 | 26 | 1.41 |
| | 2 | 58 | 60 | 1.78 |
| | 3 | 88 | 88 | 1.94 |
| | 4 | 120 | 138 | 2.14 |
This confirms that reduction of cell volume is associated with increase in E.S.R.
**EXPERIMENT 4.**
An in vivo experiment was attempted. An E.S.R. estimation and erythrocyte count were carried out on a blood donor immediately before bleeding. Two days later these tests were repeated.
**Result: TABLE 5.**
| | Before Bleeding | After Bleeding |
|----------------|-----------------|----------------|
| R.B.C. | 4,675,000 | 4,045,000 |
| E.S.R. | 15 mm/2 Hr. | 15 mm/2 Hr. |
A plasma analysis would have added considerably to the value of this experiment.
It is obviously necessary to employ some method of correcting the E.S.R. to standard cell count or cell volume if conclusions are to be drawn from a single test. But a case can be made for omitting this correction in serial tests.
a. In the great majority of patients the blood count does not vary greatly during the period of observation. Therefore the comparison of serial results is reasonably accurate. Exception must be made for cases of copious haemoptysis and for cases undergoing major surgical intervention with considerable blood loss, such as thoracoplasty.
b. The obviously anaemic patient is treated for anaemia until the blood count returns to normal. Improvement in the E.S.R. during the period of treatment for anaemia may be discounted when results are assessed. Thereafter comparable results will be obtained.
c. Any method of correction to normal blood count entails the expenditure of a considerable amount of time by a skilled worker. It would multiply the man/minutes required for the test, if the simple method advocated later is employed, by not less than three. This would greatly reduce the number of tests that could be carried out at the same time, and in most institutions the test could not be carried out so frequently as is clinically desirable.
d. The best correction methods require more blood than the simple test. This means that correction could not always be carried out, as the required quantity of blood may not be obtained from patients in poor condition.
METHODS OF CORRECTING THE E.S.R. TO A NORMAL CELL COUNT OR CELL VOLUME
a. The blood sample may be adjusted by withdrawal or addition of plasma to bring the erythrocyte count to a standard figure, say 5 million. This is the method advocated by Schuster (1938) and Walton (1933). The blood count is adjusted according to the formula of Blacklock (1921). This method has the great advantage that it is universal and not applicable to only one method of estimating the E.S.R. Also, Schuster formed the impression from a considerable volume of experimental work, that other methods of correction were not reliable.
The time required for the correction is considerable as it entails an erythrocyte count. In all but severely anaemic cases (R.B.C. 2 million) 4 cc. of blood is sufficient for making up a corrected sample when using the Westergren Technique.
b. The numerical correction method advocated by Collins et al (1939) is applicable only to their own method of estimating the E.S.R. which is considered in detail elsewhere. The sedimentation is observed in unadjusted blood and the result corrected to correspond with the same blood adjusted to a packed cell volume of 42% by the addition or subtraction of a factor which they arrived at experimentally.
c. The graphical correction table devised by Rourke and Ernstene (1930) takes into account the fact that the more rapidly sedimenting bloods are more affected by reduced cell volume than slow sedimenting bloods. It also is only applicable to their own method of estimating the E.S.R. which is the laborious one of determining the maximum velocity of sedimentation. The packed cell volume (P.C.V.) is determined and the M.V. corrected to correspond with a P.C.V. of 45%. According to the authors six to eight tests fully occupy an observer for $1\frac{1}{2}$ to 2 hours. Therefore to carry out the 70 tests a week which are carried out at the Cheshire Joint Sanatorium would occupy a trained laboratory worker for at least 15 hours - two full working days.
d. The correction graph employed by Gram (1929) for the Westergren technique is based on the haemoglobin percentage instead of the erythrocyte count or packed cell volume. This makes it simpler to carry out, but obviously less accurate.
e. The method devised by Rees Walton (1933) is simple and ingenious but is applicable only to his technique. Schuster's work indicates that correction of the sample to a standard erythrocyte count or cell volume is more accurate than any graphical or arithmetic method.
THE HEIGHT OF THE COLUMN OF BLOOD
It has been noted above that the sedimentation of erythrocytes in a suitable test tube may be divided into three periods, acceleration, maximum velocity, and deceleration due to packing. As the phenomenon we wish to measure is the velocity of sedimentation, any method which does not permit the blood to reach its maximum velocity is bound to reduce the sensitivity of the test for the more rapidly sedimenting bloods. Schuster (1938) tested the effect of columns 200 mm, 100 mm, 50 mm and 35 mm high, and decided to use the 100 mm column, apparently because it was easier to obtain the necessary quantity of blood. Day (1940) plotted the sedimentation of four blood samples in columns 200 mm, 100 mm and 60 mm high, and showed that the most rapidly sedimenting of his four blood failed to reach its maximum velocity of sedimentation in the 60 mm and 100 mm columns, because packing had begun to take effect before the maximum velocity was reached; while only the slowest sedimenting sample reached its maximum velocity in the 60 mm column. On the attached chart (Chart 3) I have plotted the sedimentation of a rapidly sedimenting blood in 200 mm. and 100 mm. columns at 5 minute intervals for the first hour and thereafter at 10 minute intervals. (Experiment 5.). It will be seen that the 100 mm. column almost succeeded
CHART 3.
| MINUTES | 10 | 20 | 30 | 40 | 50 | 60 | 70 | 80 | 90 | 100 | 110 | 120 |
|---------|----|----|----|----|----|----|----|----|----|-----|-----|-----|
| MILLIMETRES FALL | 0 | 5 | 10 | 15 | 20 | 25 | 30 | 35 | 40 | 45 | 50 | 55 | 60 | 65 | 70 | 75 | 80 | 85 | 90 | 95 | 100 | 105 | 110 | 115 | 120 |
| 160 mm COLUMN | 14.2 | 2.16 | M.V.S.I. | 15.8 | 2.20 |
| 200 mm COLUMN | 4.7 | 5.5 | 2.10 | 2.32 |
| ALTERNATIVE LINES OF M.V. FOR 100 mm COLUMN (SEE TEXT) | 8.6 | 10.8 | 2.26 | 2.35 |
18A.
in reaching its maximum velocity for five minutes only. But the possible error involved in drawing a line of maximum velocity through two points only is large. In normal tests at least three points are always included. If this is done on Chart 3, the M.V. for 200 mm and 100 mm columns becomes not $240_{\text{mm}}/100 \text{ min.}$ and $210_{\text{mm}}/100 \text{ min.}$ but 240 and 156.
The lack of sensitivity of both the 1st and 2nd hour reading in the 100 mm column for such rapidly sedimenting bloods is obvious when it is borne in mind that moderately rapid sedimenting bloods would show approximately equal readings at 1 hour in 100 mm. and 200 mm. columns, and slow sedimenting bloods would be equal at both 1 hour and 2 hours.
Though this reduction of sensitivity at the higher sedimentation rates is not of great clinical significance, I favour the 200 mm. column, which was Westergren's (1921) choice, as I do not find that Schuster's argument regarding the difficulty of obtaining the necessary blood holds good. In an experience of some thousand of tests on tuberculous men and women I have found that when one succeeds in obtaining blood, the quantity is sufficient for the 200 mm. column. The exceptions have been roughly 1 in 1000. Less than 2% of female patients occasionally miss a monthly test through failure to obtain blood at all.
BORE OF TUBE
It has been observed that the bore of the tube used for the test may have some effect on the E.S.R. Ham & Curtis (1938) who used oxalated blood for their tests, found that there was slowing of the E.S.R. and irregularity of results when the tube bore was less than 2 mm. and that there was some slowing when the bore was 2.5 mm. (the Westergren pipette). The effect was investigated using citrated blood (20% of 3.8% sodium citrate solution) in pipettes giving a height of column of 200 mm. with the following bores: - 1.1 mm, 1.2 mm, 1.3 mm, 2.0 mm, 2.6 mm (this was a Westergren pipette) 3.6 mm and 4.2 mm. The tubes were calibrated by me by the mercury method.
EXPERIMENT 6.
Parallel tests each from a single blood sample, were carried out on slow, moderate, and rapidly sedimenting bloods. The results are shown on the graph.
It appears that tube bore down to 1.1 mm. has little effect on slow sedimenting blood. With moderately rapidly sedimenting blood the bore of the tube has no significant effect until the bore is reduced below 2 mm. Below that there is significant irregularity. With rapidly sedimenting blood the bore of the tube has more effect. The most rapid
E.S.R. was obtained in the 2.0 mm tube. Below this bore there was significant slowing and there was also slowing in the wider tubes, though not so marked.
Variation above and below the reputed bore of standard tubes probably does not exceed ± 0.1 mm. Such variations will not cause significant variations in the E.S.R. until the smallest tube bores are reached. Observation of sedimentation taking place in narrow tubes (1.0 mm - 1.5 mm) suggests that irregularities of sedimentation occur when the rouleaux-aggregates are of such size in comparison with the bore of the tube that they can no longer fall free in the plasma. The displaced plasma appears to flow up in the periphery of the tube while the falling rouleaux aggregates form a solid looking core. In such circumstances it is not surprising that irregularities in E.S.R. are found.
CHART 4.
CHOICE OF ANTICOAGULENT
The following anticoagulents have been recommended by various authors.
1. Sodium Citrate, dry or in solution of strength varying from 2% to 5%
2. Oxalates, either dry or in solution
3. Heparin or Hirudin
4. Chlorazol Fast Pink.
Ham & Curtis (1938) make a good theoretical case for a dry oxalate mixture containing ammonium and potassium oxalate, as recommended by Heller and Paul (1934). This has the minimum effect on the erythrocytes, and the blood is not diluted.
My own experience makes me favour 20% of an isotonic (3.8%) solution of sodium citrate for the following reasons:
1. The danger of clotting in the syringe when taking the specimen is eliminated.
2. Oxalated blood sometimes behaves erratically in tubes of 2.5 mm. bore.
3. Variations in E.S.R. due to slight error in the quantity of blood or citrate solution is less when 20% of the citrate solution is used than when 10% is used as recommended by Walton (1933).
4. The anticoagulent should be isotonic with blood (e.g. 3,8% sodium citrate) so that it will have the minimum effect on erythrocytes.
5. 20% of citrate solution is the most universally used anticoagulent in Europe. Any other would have to show definite advantages before a change could be advocated.
DAY TO DAY VARIATIONS IN THE E.S.R.
In a recent paper Greene (1941) reported a series of observations on normal women in which he failed to find any correlation between variations in the E.S.R. (Westergren 1st hour) and the menstrual period. However, all his cases did show a variation in the E.S.R. from day to day, considerable in some. Greene does not say that temperature was controlled during his observations, so it was decided to do a small series of daily observations on the E.S.R. of two quiescent working tuberculous subjects. (Experiment 7). The temperature of the test was controlled at 65°F. Westergren 200 mm. tube, 1st and 2nd hour reading.
The results are shown in Charts 5 & 6. The fact that Subject A. developed Coryza on the third day possibly adds to the interest of the experiment. The fact that Subject B felt well throughout although his E.S.R. showed a rise corresponding with that of A, with whom he shares a laboratory for some hours a day is of interest. It seems reasonable to assume that a sub-clinical infection was responsible for the rise.
Cutler (1929) suggests that the small variations in normal subjects are due to increase or decrease of activity, as there is more tissue breakdown in the active subject.
My series of results is far too small to warrant any conclusions, but one cannot obtain 2 cc's of blood daily at the same hour from the same subject indefinitely. However, taken in conjunction with Greene's series, one is forced to conclude that minor variations in the E.S.R. may have no clinical significance in relation to Pulmonary Tuberculosis.
**CHART 5.**
*Daily Observations, Subject A.*
**CHART 6.**
*Daily Observations, Subject B.*
THE LINZENMEIR METHOD.
Linzenmeir (1920) uses a round bottomed tube with a bore of 5 mm. marked at a volume of 1 cc. This gives a height of column of approximately 50 mm. The tube is marked 6, 12 and 18 mm. below the 1 cc. mark. The anticoagulent is 20% of a 5% solution of sodium citrate.
The result measured is the time the upper corpuscular layer takes to fall to the 18 mm. mark.
Although this method is fairly widely used in America it has the great practical disadvantage that instead of an alarm clock giving warning at fixed times for readings the observer must watch the test continuously in the early stages with rapidly sedimenting bloods, and as the low limit of normality is 5 hours the test may not be completed until this time has passed.
Further disadvantages are the shortness of the column, and the anticoagulent which is not isotonic with blood.
MICRO METHOD (LYLE CUMMINS & ACLAND)
The tube has a bore of about 1.5 mm. and a length of $4\frac{1}{2}$ inches. One end is drawn out into a capillary stem. At the other end it is marked at a volume of 0.02 cc. and 0.08 cc. Using a rubber teat and adaptor fitted to the capillary end, 0.02 cc. citrate solution (3.8%) and 0.08 cc. blood from a finger prick are measured and mixed in a watch glass. 0.08 cc. of the mixture is drawn up into a similar pipette and then drawn up beyond the mark. The capillary end is then sealed in a flame and the tube set up in a rack. The fall of the upper corpuscular layer is measured in millimetres at 5 hours and 24 hours, and expressed as a percentage of the column.
This method might be of use in children and in adults in whom no veins can be found, for it uses less blood than any other suggested method. But it does not approach the standard of accuracy desirable in a routine method for the following reasons.
1. Variations in tube bore may cause considerable change in E.S.R. in tubes about 1.5 mm. bore.
2. The height of the column is less than 50 millimetres, so many bloods would not reach their maximum velocity of sedimentation before packing caused deceleration.
3. The technique of setting up is not easy.
WALTON'S METHOD
Walton (1933) used 4.5 cc. of blood and 0.5 cc. of 3.8% citrate solution. The specimen on which the test is carried out is corrected by Blacklock's method to a cell count of 5 million per c.mm. The tube bore is 6 mm. and the height of column 32.5 mm. The fall of the upper corpuscular layer is measured at 1 hour.
Instead of correcting the cell count of the specimen, a simple and ingenious graphical method of correction may be used if the blood count is over 3 million.
The height of column is so short that only slow sedimenting bloods have a chance of reaching their maximum velocity of sedimentation, and it is probable that they will not have reached it by the end of 1 hour. The maximum possible fall is roughly 17 millimetres, so the range of results is very limited. Finally, test tubes of this bore are much more difficult to clean than pipettes, and absolute cleanliness is necessary to obtain accurate results.
WINTROBE'S METHOD.
Wintrobe's method aims at obtaining the maximum amount of information from a single specimen of blood. Oxalated blood is used. The tube is 11 cm. long, parallel sided and flat bottomed, bore about 2.5 mm. It is graduated in millimetres to 10 cm. from the bottom, and is filled by means of a long fine pipette to the 10 cm. mark. After the E.S.R. has been obtained by whatever method the observer favours, the tube is centrifuged at 3,000 r.p.m. for 30 minutes. The packed cell volume, (P.C.V.) thus obtained can be used for correcting the E.S.R. to a normal P.C.V. by the method of Rourke and Ernstene (1930).
Other observations suggested by Wintrobe are:-
1. Information regarding anaemia or polycythæmia is obtained from the P.C.V.
2. Information regarding Leucocytes and Platelets may be obtained from the intermediate layer between the R.B.C. and the plasma.
3. The Icterus Index may be determined on the supernatant plasma.
The test may therefore be of value to the clinical pathologist, though it would serve only as an indication for further investigations. For simple estimation of the E.S.R. it possesses some disadvantages.
1. The 100 mm. column does not permit rapidly sedimenting bloods to achieve their maximum velocity of sedimentation.
2. Oxalated blood does not always behave as it should in a tube with 2.5 mm. bore (Schuster 1938).
3. The tubes are difficult to wash, and absolute cleanliness of glassware is essential for reliable results.
4. Correction scales for anaemia are not considered reliable (Schuster 1938).
THE WIDE BORE TUBE METHOD used at four Rheumatic Clinics (Colins, Gibson, Race & Salt, 1939).
For this method a 5 cc. conical tube (centrifuge type) is used, graduated in 100 parts by volume. The height of the column of blood is approximately 72 mms. and the diameter of the upper (parallel) part is 12 mms. Oxalated blood is used, and the volume of cells at the end of 1 hour is reported, as suspension stability (S.S.) after Fahreus, rather than sedimentation rate. The packed cell volume is estimated in a haemocrit tube, and the observed S.S. corrected to a standard cell volume of 42% by the application of a factor.
(a) If the P.C.V. is less than 42% add 1.5 (42 - P.C.V.)
(b) If the P.C.V. is more than 42% subtract 1 (P.C.V.- 42)
This method has the backing of four important clinics, and therefore deserves attention.
The reasons given for the choice of method are:
1. The authors prefer oxalate to citrate as an anticoagulent, and this calls for the use of a wide bore tube.
2. They consider correction for cell volume essential.
3. They are satisfied with a clinical application of the test.
There are, however, considerable theoretical and practical objections to the method.
1. Volume is reported instead of distance, though the velocity of sedimentation of the erythrocytes has no connection with the volume of the sample. This would not matter if the tube was a cylinder because then volume and distance would be directly proportional to one another.
2. The height of the column is too short for any but fairly slow sedimenting bloods to reach their maximum velocity of sedimentation (see under "Height of Column").
3. With the short column and tapered tube employed, packing becomes an important factor and the effects of altered cell volume are therefore exaggerated; and the correction for cell volume is therefore essential.
4. The volume of blood required is more than can be obtained with any certainty from ill female patients, and when oxalate is used as anticoagulant the blood must be drawn rapidly, or clotting commences in the syringe.
5. The time spent on each test is at least 10 minutes, which compares unfavourably with the 3 minutes or less spent on each blood when using the Westergren technique without correction for anaemia.
THE CUTLER 1 cc METHOD.
Cutler has described a 5 cc. method, a 1 cc. method and a finger prick method, but he prefers his 1 cc. method (Cutler 1929).
Citrated blood (10% of a 3% solution of sodium citrate) is used in a tube with 5 mm. bore. The column height is 50 mm. The fall of the upper corpuscular layer is plotted on a graph at 5 minute intervals for 1 hour.
From this graph is determined:-
1. The type of curve. Four types of curve are described.
2. The fall in 1 hour. This is important for the two slower sedimentation types of curve.
3. The time at which packing slows sedimentation to less than 1 mm/5 minutes. This is important for the two rapidly sedimenting types of curve.
This is an ingenious attempt to overcome the inherent disadvantages of a short time and short column technique. But if a multiple reading method is to be used there are sound theoretical reasons for determining the maximum velocity of sedimentation. This calls for a longer column of blood, but if the tube bore is decreased the quantity of blood required will remain small.
As in all narrow bore tube, as opposed to
pipette methods, it is difficult to clean the tubes.
No reason is given for not using an isotonic solution of anticoagulent.
THE SEDIMENTIN INDEX.
Day (1940) claimed that the figures used in his method of expressing the E.S.R. have an absolute value, i.e. 1 unit always represents the same quantity of sedimentation producing substances in the blood. This is the first time such a claim has been made, and if it could be substantiated it seems that the Sedimentin Index would be the method of choice.
The Sedimentin Index (S.I.) is the log of the maximum velocity of sedimentation (expressed in millimetres per 100 minutes) determined in a Westergren 200 millimetre tube. It is based on a series of experiments which have been examined and repeated by me where necessary.
Day's Experiment VI demonstrates that in the absence of plasma, erythrocytes suspended in citrate solution do not agglutinate, and the slightly different rates of sedimentation of different percentage suspension are presumably the result of the different viscosities of the different suspensions.
In Experiment VII he claims to demonstrate that equal volumes of plasma added to various percentage suspensions of erythrocytes in citrate solution caused identical maximum velocity of
sedimentation in all suspensions. If this result could be confirmed one could conclude that:
1. Citrate solution has no effect on the sedimentation rate.
2. The viscosity of the specimen has no effect on the sedimentation rate.
3. The plasma alone determines the sedimentation rate.
Day accepts these findings in his later experiments, though recent work by Whittington & Miller (1942) confirms that the second is a fallacy.
This experiment was repeated by me using bloods of varying sedimentation rates.
**EXPERIMENT 8.**
Object: To determine the effect of a constant proportion of plasma on the sedimentation rate of a reconstituted blood with varying proportions of cells and citrate solution.
**METHOD.** Blood 9 cc. diluted with 3.8% citrate solution 1 cc. was centrifuged and the plasma removed. The cells were washed, and the washed cells suspended in citrate solution (80% cells 20% sol.) From this suspension five specimens were prepared, as shown in Table 6, by mixing varying quantities of cell suspensions and citrate solution with a uniform quantity of citrated plasma. Only 10% of anticoagulent was used so that the concentration of
anticoagulent in the separated plasma would be approximately 20%.
TABLE 6.
| | Cell Suspension | Citrated Plasma | Citrate | Total |
|---|-----------------|-----------------|---------|-------|
| | Cells Citrate | Plasma Citrate | | |
| 1.| 0.56 0.14 | 0.64 0.16 | | 1.5 cc. |
| 2.| 0.48 0.12 | 0.64 0.16 | 0.10 | 1.5 cc. |
| 3.| 0.40 0.10 | 0.64 0.16 | 0.20 | 1.5 cc. |
| 4.| 0.32 0.08 | 0.64 0.16 | 0.30 | 1.5 cc. |
| 5.| 0.24 0.06 | 0.64 0.16 | 0.40 | 1.5 cc. |
The five dilutions were set up in Westergren 200 mm. tubes in the constant temperature cabinet and the sedimentation observed at 10 minute intervals for 3 hours.
The experiment was repeated using bloods of different sedimentation rate. The results are tabulated below.
TABLE 7
| Dilution | 2nd Hour | M.V. | Log M.V. |
|----------|----------|------|----------|
| Blood A | | | |
| 1. | 20 | 21.5 | 1.33 |
| 2. | 19 | 22 | 1.34 |
| 3. | 25.5 | 28.5 | 1.45 |
| 4. | 28 | 31.5 | 1.49 |
| 5. | 33 | 35 | 1.54 |
| Blood B | | | |
| 1. | 40 | 42 | 1.62 |
| 2. | 40 | 44 | 1.64 |
| 3. | 42 | 41 | 1.61 |
| 4. | 51.5 | 51 | 1.70 |
| 5. | 43 | 42 | 1.62 |
| Blood C | | | |
| 1. | 83 | 100 | 2.00 |
| 2. | 88 | 103 | 2.01 |
| 3. | 105 | 117 | 2.07 |
| 4. | 124 | 140 | 2.15 |
| 5. | 137 | 156 | 2.19 |
Table 7 (Cont'd)
| Dilution | 2nd Hour | M.V. | Log M.V. |
|----------|----------|------|----------|
| Blood D. | | | |
| 1. | clotted | | |
| 2. | 90 | 109 | 2.04 |
| 3. | 95 | 112 | 2.05 |
| 4. | 101 | 130 | 2.11 |
| 5. | 112 | 135 | 2.13 |
| Blood E. | | | |
| 1. | 54.5 | 56.5 | 1.75 |
| 2. | 60 | 58.5 | 1.77 |
| 3. | 66 | 63 | 1.80 |
| 4. | 71 | 66.5 | 1.82 |
| 5. | 79.5 | 74 | 1.87 |
**CONCLUSIONS**
Day's results are not confirmed. The trend of all samples except Blood B was to sediment more rapidly as the cell percentage diminished and citrate percentage increased. Though other factors probably come into play, some working in the opposite direction, the obvious key factor is viscosity. If the basic principles of Stoke's Law have anything to do with the erythrocyte sedimentation rate, it is obvious that the E.S.R. must be increased when the viscosity of the fluid in which the erythrocyte clumps are falling is reduced, as it is in this experiment, by the addition of increasing quantities of citrate solution.
A possible explanation of Day's anomalous result is that he was using exceedingly weak cell suspensions varying from 30% cell volume down to 6.6%. In the weaker dilutions the erythrocytes are obviously far apart. The same total amount of agglutinating substances may fail in these circumstances
to form erythrocyte clumps of the expected size. A balance between the accelerating factor of lower viscosity and the retarding factor of smaller clumps might be reached.
I am unable to suggest an explanation for the behaviour of my Blood B.
If the above results are accepted, the conclusions drawn from Day's Pleural Fluid experiments (IXa & IXb) must be erroneous. In these experiments varying proportions of pleural fluid (which is often rich in sedimentation producing substances) and citrate solution were added to constant volumes of citrated blood. The sedimentation was observed in Westergren 200 mm. tubes and the log M.V. of the six dilutions plotted against the hypothetical "units of sedimentin" in the various samples. The points fell approximately on a straight line. Assuming that the varying citrate content of the specimens had no effect on their sedimentation rate it therefore appeared that every additional 10% of pleural fluid caused an identical increase in the Log M.V. The two experiments (IXa & IXb) were mathematically correlated to prove that 1 unit of Log M.V. always represented the same quantity of sedimentation producing substances.
But if we take into account the fact that the position of the points on the graph was affected to an unknown extent by the varying quantities of
citrate solution in the different dilutions, it is obvious that no definite conclusions can be drawn from these experiments.
In the absence of a completely inert diluting agent a pair of complementary experiments was devised in which a twin series of reconstituted bloods of varying cell volume were set up, one series with the plasma (of the same blood group as the cell donor) of a subject with very slow E.S.R. the other with a constant quantity of the cell donor's rapid plasma and the balance made up of the slow plasma.
**EXPERIMENT 9a**
To determine the E.S.R. in a series of reconstituted bloods of varying cell volume, each containing the same quantity of plasma from a donor with rapid E.S.R. and with the balance of the specimen made up by varying the quantities of plasma from a donor with very slow E.S.R. The proportion of citrate should be equal in all specimens.
**METHOD.**
Blood 9 cc. diluted with 3.8% citrate solution 1 cc. was centrifuged and the plasma removed. The cells were washed, and the washed cells suspended in citrate solution (80% cells 20% citrate). From this suspension 5 specimens were prepared, as shown in Table 8, by mixing varying quantities of the cell suspension with a uniform volume of the cell donor's plasma. The volume of the 5 specimens was equalised
by the addition of varying quantities of plasma from a subject of the same blood group with a very slow E.S.R.
**TABLE 8**
| | Cell Suspension | Slow Plasma | Donor's Plasma |
|---|-----------------|-------------|----------------|
| | Cells Citrate | Plasma | Citrate | Plasma | Citrate |
| 1.| 0.56 0.14 | - | - | 0.64 | 0.16 |
| 2.| 0.48 0.12 | 0.08 | 0.02 | 0.64 | 0.16 |
| 3.| 0.40 0.10 | 0.16 | 0.04 | 0.64 | 0.16 |
| 4.| 0.32 0.08 | 0.24 | 0.06 | 0.64 | 0.16 |
| 5.| 0.24 0.06 | 0.32 | 0.08 | 0.64 | 0.16 |
The five dilutions were set up in Westergren 200 mm. tubes in the constant temperature chamber and the sedimentation observed at 10 minute intervals for 3 hours.
**RESULT: TABLE 9.**
| Dilution | 2nd Hour | M.V. | S.I. |
|----------|----------|------|------|
| 1. | 34.5 | 35.5 | 1.55 |
| 2. | 58 | 60 | 1.78 |
| 3. | 76.5 | 83 | 1.92 |
| 4. | 102 | 96 | 1.98 |
| 5. | 126.5 | 120 | 2.08 |
**EXPERIMENT 9b**
For comparison with experiment 9a to determine the E.S.R. of the same donor's cells in slow plasma only, the citrate volume constant as in Experiment 9a.
**METHOD**
Blood 9 cc. diluted with 3.8% citrate solution 1 cc. was centrifuged and the plasma removed. The cells were washed, and the washed cells suspended
in citrate solution (80% cells 20% citrate). From this suspension 5 specimens were prepared, as shown in Table 10 by mixing varying quantities of cell suspension with the slow sedimenting citrated plasma used in the last experiment.
**TABLE 10**
| | Cell Suspension | Slow Plasma |
|---|-----------------|-------------|
| | Cells | Citrate | Plasma | Citrate |
| 1.| 0.56 | 0.14 | 0.64 | 0.16 |
| 2.| 0.48 | 0.12 | 0.72 | 0.18 |
| 3.| 0.40 | 0.10 | 0.80 | 0.20 |
| 4.| 0.32 | 0.08 | 0.88 | 0.22 |
| 5.| 0.24 | 0.06 | 0.96 | 0.24 |
The five dilutions were set up in Westergren 200 mm. tubes in the constant temperature chamber and the sedimentation observed at 10 minute intervals for 3 hours.
**RESULT: TABLE 11.**
| Dilution | 2nd Hour | M.V. | S.I. |
|----------|----------|------|------|
| 1. | 13.5 | 16 | 1.20 |
| 2. | 23.5 | 25 | 1.40 |
| 3. | 46.5 | 45 | 1.65 |
| 4. | 71.5 | 68 | 1.83 |
| 5. | 101 | 111 | 2.05 |
The Sedimentin Indices in these two experiments should run parallel, as the difference between each tube in Experiment 9a and its opposite number Experiment 9b is the same quantity of rapid plasma. Chart 7 shows that the sedimentin indices do not run parallel.
4.2 A.
CHART 7. RESULTS OF EXPERIMENTS 9a AND 9b.
| Tube | 1 | 2 | 3 | 4 | 5 |
|------|---|---|---|---|---|
| S | | | | | |
| H | | | | | |
CHART 8. RESULT OF EXPERIMENT 10.
| Tube | 1 | 2 | 3 | 4 | 5 |
|------|---|---|---|---|---|
| S | | | | | |
| H | | | | | |
There appeared to be too much chance of experimental error in the above experiments, so a simplified version was evolved. In this the cells of the slow E.S.R. donor were used with his own plasma and with his own plasma plus rapid E.S.R. plasma, or pleural fluid, of the same blood group. In passing it should be noted that, contrary to Day's assertion, the blood group is as important when pleural fluid is used as when plasma is used. The pleural cavity can be a wonderful reservoir of typing serum which, in a case investigated by Cutbill and myself, was of high titre.
**EXPERIMENT 10.**
Object: To determine the increase in E.S.R. in a series of reconstituted bloods resulting from the replacement of plasma causing slow E.S.R. by an equal quantity of plasma or pleural fluid causing rapid E.S.R.
**METHOD.**
13.5 cc. slow sedimenting blood diluted with 1.5 cc. of 3.8% citrate solution was centrifuged and the plasma removed. The cells were suspended in citrate solution to form an 80% suspension. 5 cc. citrated pleural fluid (4 fluid to 1 citrate) of the same blood group was obtained, or alternatively citrated plasma from a subject with rapid E.S.R. The citrate concentration in the constituents of the reconstituted bloods was therefore approximately equal.
Ten dilutions were prepared as set out in Table 12.
**TABLE 12.**
| Series A. | 1 | 2 | 3 | 4 | 5 |
|-----------|-----|-----|-----|-----|-----|
| Cells | 0.8 | 0.7 | 0.6 | 0.5 | 0.4 |
| Plasma | 0.8 | 0.9 | 1.0 | 1.1 | 1.2 |
| Series B. | 1 | 2 | 3 | 4 | 5 |
|-----------|-----|-----|-----|-----|-----|
| Cells | 0.8 | 0.7 | 0.6 | 0.5 | 0.4 |
| Slow Plasma | - | 0.1 | 0.2 | 0.3 | 0.4 |
| Pleural Fluid or Rapid Plasma | 0.8 | 0.8 | 0.8 | 0.8 | 0.8 |
The ten dilutions were set up in Westergren 200 mm. tubes in the constant temperature chamber and the sedimentation observed at 10 minute intervals for 3 hours. The results are tabulated below and are shown graphically on Chart 8.
**RESULT: TABLE 13.**
Sedimentin Indices
| Dilution No. | 1 | 2 | 3 | 4 | 5 |
|--------------|-----|-----|-----|-----|-----|
| Series A. | 1.32| 1.45| 1.57| 1.71| 1.88|
| Series B. | 1.57| 1.65| 1.79| 1.89| 2.05|
| Differences. | 0.25| 0.20| 0.22| 0.18| 0.17|
**DISCUSSION**
According to Day's hypothesis the difference between each tube in Series A and its opposite number in Series B is N "units of sedimentin", as equal quantities of slow plasma have been replaced by rapid plasma in the five tubes of Series B. Therefore the difference between the Sedimentin Indices of each pair of tubes should be the same.
This result was not obtained. There was a tendency for the Sedimentin Indices to converge as the S.I. increased, though this was less marked than in the less accurate experiment which preceded. Therefore it cannot be assumed that the Sedimentin Index has an absolute value.
In practice the Sedimentin Index exaggerates small changes in E.S.R. within the limits of experimental error, at the lower rates, and minimises changes at the rapid rates.
For example:
| M.V. | S.I. | M.V. | S.I. |
|------|------|------|------|
| 4 | 0.60 | 40 | 1.60 |
| 6 | 0.78 | 60 | 1.78 |
From a long experience of the erythrocyte sedimentation test I am convinced that a change from M.V. 4mm/100 min. to M.V. 6mm/100 min. may have no clinical significance, while a change from M.V. 40mm/100 min. to M.V. 60mm/100 min. is definitely significant. The change in S.I. is the same in the two cases.
THE CUTBILL INDEX.
Cutbill, using the Westergren technique, found that there was a lack of correlation between the 1st and 2nd hour readings. He therefore temporarily abandoned them in favour of a graph recording the fall of the upper corpuscular layer hourly for five hours and then at 24 hours (see Chart 9). This was fairly satisfactory for serial tests in a single patient, but it is not good for the comparison of one patient with another. In order to do this he evolved a method of expressing the 5 hour graph as a single figure (Cutbill 1939). The five hour period was chosen because it includes all three phases of sedimentation, acceleration, maximum velocity and packing, in all but the slowest bloods.
The hourly readings are read as percentages of the blood column (2 mm- 1%) and plotted on a time distance graph. The area above the line is calculated by the trapezoid rule and expressed as a percentage of the rectangle bounded by the ordinate, height of column, and the abscissa time. In practice this is quite simple, as is shown by this example.
| Time (Hrs.) | Fall% | Multiplier | Result |
|------------|-------|------------|--------|
| 0 | 0 | 1 | 0 |
| 1 | 43 | 2 | 86 |
| 2 | 63 | 2 | 126 |
| 3 | 65 | 2 | 130 |
| 4 | 66 | 2 | 132 |
| 5 | 67 | 1 | 67 |
For convenience the decimal point was omitted and the above results would have been expressed as C.I. = 54.1.
The method was clinically satisfactory, but was laborious, as are all methods involving plotting and calculation. It was not abandoned until the close numerical relationship between the Cutbill Index and the 2nd hour reading was proved. This is demonstrated in Chart 10. My personal experience of this method lasted more than a year (over 2,5000 tests).
CHART 9.
TIME
DATE
0 1 2 3 4 5
% 10 20 30 40 50 60 70 80 90 100
C.I. 541 352 170 121
CHART 10.
200 Ha Reading in Mm.
CUTBILL INDEX
478
CHOICE OF TECHNIQUE.
In selecting a method of estimating the E.S.R. for routine use in an institution where serial tests are carried out, it must be remembered that any of the many methods that have been devised will give useful results, though the sensitivity varies greatly.
The word sensitivity as used here requires definition. It indicates:
1. That the E.S.R. by the method used bears roughly the same proportion to the maximum velocity of sedimentation at all rates.
2. That the scale of readings is large enough to prevent experimental error being confused with significant changes in E.S.R.
For example, when a short column is used cell packing causes deceleration before the maximum velocity is reached and results for the higher rates are smaller, in proportion to the M.V., than results for slow and medium sedimenting bloods. So there is lack of sensitivity at higher rates.
When readings are taken at $\frac{1}{2}$ hour and 1 hour most of the slow sedimenting bloods are still in the acceleration phase, and results for the slower sedimenting bloods are smaller in proportion
to the M.V. than results in the medium and higher rates, and the method lacks sensitivity for slow sedimenting bloods.
A method employing a short column with the reading taken at $\frac{1}{2}$ hour may give results which are roughly proportional to the M.V. because the acceleration and deceleration phases overlap and sedimentation is always slower than the theoretical maximum velocity. But the interval between the fastest and slowest rates is small, and sensitivity is poor for all rates.
Of the standard test tubes or pipettes, the Westergren pipette approaches most closely to the ideal. The height of column is sufficient, and the bore is adequate if citrated blood is used. And it is convenient to use a technique that is used more than any other in Europe.
On theoretical grounds, the maximum velocity of sedimentation should be measured. To estimate this the fall of the upper corpuscular layer is plotted at 5 or 10 minute intervals on a time/distance graph. The maximum gradient section of the curve is extended and from this line the maximum velocity of sedimentation (M.V.) is found. Day's method of expressing this in millimetres per 100 minutes is easy to measure and avoids trouble with the decimal point. However, the estimation of M.V. is a time consuming procedure. One person
cannot take the readings accurately on more than 10 to 12 tubes, and he has to do this for at least two hours - longer if there are slow sedimenting bloods. There is not time to settle to other work in the interval between readings. After that the plotting and measurement of M.V. takes a further two minutes per specimen. It should be noted that the determination of the maximum gradient is not always easy, especially when the upper corpuscular layer is indefinite. Minor kinks may then appear in the curve and some discretion must be used in drawing the line of maximum gradient. If discretion is not used the experimental error may be considerable.
Because of the difficulty of estimating the M.V. when dealing with a large number of tests, the method has been used by only a few workers, but it has a good claim to be used as the standard by which other methods are judged.
Users of the Westergren technique commonly report the distance fallen by the upper corpuscular layer in one hour. But large discrepancies between the fall in 1st and 2nd hours led to the introduction of the Cutbill Index at the Cheshire Joint Sanatorium. Later the close relationship between the Cutbill Index and the fall in 2 hours was observed. I have now undertaken the comparison of the fall in 1 hour and 2 hours with the M.V. (See Charts 11 & 12).
CHART 11.
2ND HOUR READING IN MILLIMETRES
MAXIMUM VELOCITY IN MILLIMETRES PER 100 MINUTES.
CHART 12.
1ST HOUR RAINING IN MILLIMETRES
MAXIMUM VELOCITY IN MILLIMETRES PER 100 MINUTES.
There is close correlation between the fall in 2 hours and the M.V. up to an E.S.R. of 50mm/2 hours. For rates above this the scatter on the graph is considerable and increasing. Some of the higher readings were not accommodated on the graph and were as follows:
**TABLE 14.**
| 2nd Hour | M.V. |
|----------|------|
| 106 | 128 |
| 110 | 320 |
| 92 | 183 |
| 106 | 126 |
| 131 | 220 |
| 100 | 168 |
| 93 | 205 |
| 100 | 132 |
| 2nd Hour | M.V. |
|----------|------|
| 120 | 212 |
| 126 | 180 |
| 68 | 140 |
| 94 | 164 |
| 105 | 161 |
| 106 | 175 |
| 85 | 200 |
| 2nd Hour | M.V. |
|----------|------|
| 106 | 110 |
| 85 | 200 |
| 106 | 140 |
| 104 | 174 |
| 101 | 150 |
| 108 | 230 |
| 89 | 138 |
The accommodation of 6% more points did not warrant quadrupling the size of the graph.
The most inconsistent spot on the graph 2 hour 59.5, M.V. 100, belonged to the syphilitic patient referred to in Part III. The results of all other estimations on this patient showed excessive scatter, but were off the graph and appear in the above table.
In comparison, the correlation between the fall in 1 hour and the M.V. was not so good. The horizontal scatter at 5mm/1 hour was 15 mm. compared with a scatter of 5 mm at 10mm/2 hour. There is excessive scatter in the 1st hour graph at all comparable levels until the level on the
2nd hour graph is reached where scatter becomes considerable.
Comparing the 1st and 2nd hour readings in this series directly it was noted that in the lower range of E.S.R., especially under 30 mm/2 hour, the 2nd hour reading is much more sensitive than the 1st hour reading. In this range the 1st hour reading is frequently nearer $\frac{1}{3}$ than $\frac{1}{2}$ of the 2nd hour reading, because in slowly sedimenting bloods, the first hour includes only the acceleration period of the sedimentation. The following are examples, and a sedimentation graph demonstrating this point is attached (Chart 13).
**TABLE 15.**
| 1st Hour | 2nd Hour | M.V. | 1st Hour | 2nd Hour | M.V. |
|----------|----------|------|----------|----------|------|
| 1 | 3 | 4.5 | 8.5 | 24 | 28 |
| 2 | 6.5 | 9.5 | 10.5 | 25 | 25.5 |
| 3 | 7.5 | 10 | 11 | 31 | 35.5 |
| 3.5 | 9.5 | 10.5 | 12 | 30 | 30 |
| 5 | 15.5 | 20 | 12 | 34 | 38 |
| 6 | 19 | 22 | 12.5 | 35 | 37 |
| 7 | 19 | 22 | 14 | 36 | 36 |
On the other hand, for very rapidly sedimenting bloods the first hour reading is more sensitive than the second hour reading, because the maximum velocity period is during the first hour when the E.S.R. is rapid, and deceleration due to packing occurs during the second hour, as is seen from these examples and the sedimentation graph (Chart 14).
CHART 13.
FALL IN MM.
TIME IN MINUTES
CHART 14.
FALL IN MILLIMETRES
TIME IN MINUTES
| 1st Hour | 2nd Hour | M.V. |
|----------|----------|------|
| 61 | 93 | 110 |
| 65 | 89 | 138 |
| 69 | 106 | 140 |
| 77 | 92 | 183 |
| 86 | 108 | 230 |
| 1st Hour | 2nd Hour | M.V. |
|----------|----------|------|
| 96 | 110 | 320 |
| 96 | 120 | 212 |
| 97 | 126 | 180 |
| 101 | 132 | 220 |
Less than 20% of the results in this unselected series of estimations are above the level at which the 1st hour reading may be considered more accurate, while more than 50% are below the level at which the 2nd hour is more accurate.
From the point of view of a clinician I find that accuracy of E.S.R. is more desirable in the slower range of E.S.R. than in the more rapid range as it is usually in the patients with moderate to slow E.S.R. that one finds normal temperature and pulse rate, insignificant changes in physical signs from month to month, and equivocal radiological changes. In patients with unilateral disease treated by artificial pneumothorax, pulse rate, temperature, physical signs and skiagram may all fail to give information as to the progress of the tuberculous lesion. In these cases the return of the E.S.R. to normal levels and its maintenance there is probably the best indication of the time for discharge from the sanatorium. The second hour reading is more sensitive than the first hour reading.
for this purpose. The tolerance for exercise has, of course, been proved, by the graduated work and exercise of sanatorium routine.
It is therefore suggested that sedimentation in the Westergren tube should be read at two hours, and that additional information regarding rapidly sedimenting bloods will be gained if it is read at one hour also.
**SUMMARY OF SUGGESTED TECHNIQUE**
1. 20% of 3.8% sodium citrate solution should be used as anticoagulent.
2. The Westergren pipette should be used.
3. The temperature of the test should be controlled.
4. Readings should be taken at 1 hour and 2 hours.
5. Correction for cell volume is not essential when serial tests are performed.
PART III
INTRODUCTION
In order to show how the method of estimating and recording the Erythrocyte Sedimentation Rate advocated at the end of Part II works out in practice, I have selected a series from cases under my care during the past five years.
They are chosen as typical of the close relation between the E.S.R. and the clinical progress of cases treated by a variety of methods, and examples are also given of anomalous results due to various causes. A short note on each case accompanies the progress chart which shows the E.S.R. at 28 day intervals, the landmarks of treatment, complications, the state of the sputum, and sketches of some skiagrams.
There has of recent years been a tendency among tuberculosis workers to abandon the assistance of serial E.S.R. estimations in assessing the progress of patients, while still using the test as an aid to diagnosis and prognosis. The authors of one recent paper (Lewis-Fanning & Myers 1942) contend that too many extraneous factors may cause fluctuation in the E.S.R. from time to time, yet they prove statistically, as did Traill (1933), that a single estimation on
discharge from a sanatorium is of considerable prognostic value. My own view is that the extraneous factors are more easily recognised in serial tests, and an explanation for most anomalous results can be discovered. I have also been associated with some unpublished work which shows that prognosis from serial tests is much more accurate than prognosis from a single test.
The following abbreviations are used on the charts.
| Abbreviation | Description |
|--------------|--------------------------------------------------|
| R.A.P. | Right Artificial Pneumothorax |
| L.A.P. | Left Artificial Pneumothorax |
| J. | Internal Pneumolysis |
| | Phrenic Evulsion |
| T. | Thoracoplasty |
| G. | Gold treatment commenced |
| Ca. | Calcium Gluconate Treatment commenced. |
| SP. | Sputum |
| + | T.B. found on direct smear |
| - | No T.B. found on direct smear |
| C | Result of Culture for T.B. |
| M | Tuberculin Test |
| End | Tubercle Endotoxoid. |
PRIMARY TUBERCULOUS INFECTION
The effect of Primary Tuberculous Infection on the E.S.R. is demonstrated by the following three nurses who joined the staff with a negative Tuberculin reaction. The Tuberculin reaction and E.S.R. were repeated monthly as long as the former remained negative. Thereafter the frequency of E.S.R. estimation and radiological examination depended on the clinical condition.
Case 1. This case shows a sudden sharp rise in E.S.R. coincident with the change in Tuberculin reaction, accompanied by no radiological or symptomatic evidence of tuberculous infection. The rapid return of the E.S.R. to normal limits is noteworthy.
Case 2.
This case shows a significant rise in E.S.R. coinciding with the change in Tuberculin reaction, and the appearance of a typical primary complex in the Right Lung. A small lesion at the right base was accompanied by enlargement of right hilar glands. There were no symptoms, and the E.S.R. fell to a level within normal limits. There was rapid retrogression of the hilar glands and the parenchymal lesion is contracting.
CASE 1.
| ESR, MM 2 Hr | 0 10 20 30 40 50 60 |
|--------------|---------------------|
| M | - - - - - - - - + |
CASE 2.
| ESR, MM 2 Hr | 0 10 20 30 40 |
|--------------|----------------|
| M | - + |
[Diagram of lungs]
Case 3.
This case shows a significant sustained rise in E.S.R. commencing with the change in Tuberculin reaction, which was accompanied by Erythema Nodsum, elevated temperature and increased pulse rate, and radiological appearance of a typical primary complex in the Right Lung, though this gave rise to no localising symptoms or physical signs.
She was off duty for four months, and was still on half time when she left the staff seven months after the change in Tuberculin reaction. The E.S.R. had returned to normal and the radiological appearance was much improved.
CASE 3.
PLEURISY WITH EFFUSION
Case 4 (B.P.)
Admitted in fair general condition with a history of pleurisy 3 months before and again 6 weeks later. After the second attack fluid was aspirated from the right chest in hospital. On admission here she was symptomless, but the skiagram showed a fluid opacity at the right base and poor translucency throughout the right chest. An attempt to aspirate fluid for bacteriological examination failed.
Progress was uneventful. Her weight increased by 21 lbs in 12 weeks, and good radiological clearing accompanied the rapid return to normal of the E.S.R. Traill found that the prognosis was very good in cases of pleurisy with effusion who received sanatorium treatment until the E.S.R. was normal.
CASE 4.
| TREATMENT | SP |
|-----------|----|
| | - 0 0 0 0 0 |
1 2 3 4 5 6
80 70 60 50 40 30 20 10 0
24 hr 14 hr 14 hr 14 hr 14 hr 14 hr
Case 5 (M.B.)
Admitted in fairly good general condition with a history of an influenza-like illness 6 months before admission, and recurrence of cough, sputum and malaise and chest pain three months later. The sputum was blood-streaked once. The skiagram showed exudative mottling of the right upper lobe with a honeycomb of small cavities. There was some mottling in the right lower lobe and in the left mid zone (? apex of lower lobe) A right artificial pneumo-thorax was induced, and all adhesions were cauterised 9 weeks later. The reaction to the cautery shows well on the E.S.R. chart. Thereafter her progress was uneventful.
CASE 5.
| ESR, MM 2HR | 1 | 2 | 3 | 4 | 5 | 6 | 7 |
|-------------|---|---|---|---|---|---|---|
| | 0 | 10| 20| 30| 40| 50| 60| 70|
| TREATMENT | RAE | RJ |
| SP | + - 0 - 0 0 0 |
[Diagram of lung scans]
BILATERAL PNEUMOTHORAX
Case 6 (N.M.)
Admitted in fair general condition, having been in another Sanatorium for most of the previous year. The only symptoms were slight cough and malaise. The skiagram showed infiltration and a cavity in the right mid-zone and a similar lesion in the left sub-apical region.
Artificial pneumothorax treatment was withheld at first because of the minimal symptoms and negative sputum. But a skiagram at 3 months showed spread of the disease in the left lung, and the sputum was positive. Improvement commenced after induction of a left A.P. and continued with the stages of treatment. By the 9th month she had a good bilateral pneumothorax, free from adhesions, no sputum and a normal E.S.R. Further progress was unaffected by the appearance of a transient effusion in the left A.P. which cleared up after three aspirations without adversely affecting the pneumothorax.
Case 7 (A.S)
Admitted in fair general condition, with a history of asthma for 11 years. Malaise commenced 18 months before admission though the asthma was better. Chest pain, anorexia and loss of weight commenced 6 months later, when the sputum was positive for tubercle bacilli. Two months later all symptoms were worse and he entered another sanatorium where he remained until he came to us, having two haemoptyses during his stay there. The skiagram showed a large cavity with fluid level in the right upper lobe, surrounded by exudative mottling, and there was exudative mottling in the left mid zone. A right artificial pneumothorax was induced and six weeks later adhesions were cauterised. There was a febrile reaction after this operation and a massive pleural effusion formed. This was aspirated fifteen times before it dried up, leaving an effective pneumo-thorax with the cavity closed. The deterioration in E.S.R. at the 8th month coincided with a slight spread of the disease in the left lung. This cleared considerably before discharge.
CASE 7.
| ESR (mm 2Hr) | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 |
|--------------|---|---|---|---|---|---|---|---|---|----|----|----|----|----|
| | 0 | 10| 20| 30| 40| 50| 60| 70| 80| 90 | 100| | | |
PLEURAL EFFUSION
TREATMENT
SP + + - - + C - - - - - - - - - -
ARTIFICIAL PNEUMOTHORAX WITH PLEURAL EFFUSION
CASE 8 (H.C.)
Admitted in fairly good general condition, though febrile, with a history of loss of weight for four months and recent cough, chest pain, haemoptysis and dyspnoea. The skiagram showed slight scattered mottling in the right lung. On the left there was a large cavity near the apex and a small pleural effusion at the base. A left artificial pneumo-thorax was induced and a month later 10 ounces of clear fluid was aspirated from the left chest. Thereafter the temperature settled, and adhesions were cauterised in the 3rd month. As the cavity did not close although the apex was completely free, the left phrenic nerve was evulsed in the 4th month. From then onwards her progress was uneventful.
This case and the previous one demonstrate that in cases of pleural effusion complicating artificial pneumothorax, a rapid improvement in the E.S.R. indicates probable resolution of the effusion, though this may take a considerable time. If, on the other hand, the E.S.R. remains rapid after an effusion has developed, the effusion is likely to progress to empyema formation.
These findings have been observed in a large number of cases, though all are not so clear cut.
CASE 8.
| TREATMENT | LAP | LJ | L9 |
|-----------|-----|----|----|
| SP | + | O | O |
| | (c) | O | O |
| | | O | O |
| | | | |
PLEURAL EFFUSION
ESA, MM 2HR
Case 9 (J.W.)
In contrast to the two previous cases this is an example of pleural effusion going on to empyema. He was admitted in fair general condition with a history of morning cough commencing a year earlier. Three months later there was cough, copious sputum, huskiness, dyspnoea, chest pain, malaise, and a large haemoptysis. After discharge from military hospitals it was some time before he could be persuaded to enter a sanatorium. The skiagram showed a small Assmann's focus and slight mottling in the right mid-zone, and in the left heavy mottling mainly exudative in type, in the mid-zone, and a group of cavities. A left A.P. was induced and intra muscular gold injections commenced. Eight weeks later all adhesions in the A.P. were successfully cauterised. The reaction of this extensive burn was of short duration and he made good progress for three months. A pleural effusion developed with acute onset and high temperature in the 8th month. The fluid was clear at first but the tubercle bacillus was recovered on culture. The temperature began to fall slowly after the first week but did not reach normal levels, and there was a febrile reaction
to every aspiration of fluid, which became frankly purulent after 8 weeks. After months of treatment by pleural lavage and intrapleural instillation of cod liver oil the empyema cavity is slowly obliterating, but with the re-expansion of the left lung, which commenced early in the course of the effusion the sputum again became positive.
The persistently rapid E.S.R. in the 8th, 9th, and 10th months should be contrasted with the rapid improvement in E.S.R. after one month in the two previous cases in which the effusion cleared up without becoming purulent. The presence of tubercle bacilli in the fluid does not exclude the possibility of a satisfactory outcome.
| CASE 9. | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 |
|--------|---|---|---|---|---|---|---|---|---|----|----|----|----|----|----|----|
| **TREATMENT** | LAP | G | G | G | G | G | G | G | G | G | G | G | G | G | G | G |
| **ESR MM. 2 HR** | 60 | 60 | 60 | 60 | 60 | 60 | 60 | 60 | 60 | 60 | 60 | 60 | 60 | 60 | 60 | 60 |
| **SP** | + | + | + | + | + | + | + | + | + | + | + | + | + | + | + | + |
**PLEURAL EFFUSION**
Case 10 (H.S.)
Admitted in fairly good general condition with diabetes mellitus of 11 years duration which temporarily was out of control, but was controlled again with some difficulty by insulin and diet. He had a history of cough, sputum, huskiness commencing 6 months before admission, followed by haemoptysis and chest pain. The sputum was positive for tubercle bacilli two months before admission.
He improved rapidly after the induction of a right artificial pneumothorax and the cauterisation of adhesions in two sessions, which left him with the lung free except for an area on the upper mediastinum. The increase in E.S.R. after extensive cauteries is commonly seen. In this case the burnt area on the chest wall measured approximately $4\frac{1}{2} \times 4\frac{1}{2}$".
Phrenic evulsion was performed to relax the tension on the mediastinal adhesion.
It is noteworthy that this diabetic who required 40 units of insulin daily tolerated an extensive cautery with the minimum of reaction.
CASE 10.
| TREATMENT | R.A.P. | R.I. | R.I. | R.P. |
|-----------|--------|------|------|------|
| SP | + | - | + | + | 0 | - | + | C | - | - | - | - |
ESR, mm 24h
1 2 3 4 5 6 7 8 9 10 11 12
PHRENIC CRUSH AND EVULSION.
Case 11 (M.E.M.)
Admitted in rather poor general condition with cough, sputum, malaise and loss of weight of 6 months duration and more recent huskiness, chest pain and dyspnoea. The skiagram showed heavy tuberculous infiltration of the right lower lobe with a large cavity with fluid level. There were small opacities at the right apex and the left mid zone. Attempts to induce a right A.P. failed, and intravenous gold treatment commenced. The right phrenic nerve was crushed at the third month, when there was already some radiological improvement, with reduction in the size of the cavity. Improvement was progressive, and as the rise of diaphragm was influencing the diseased area the right phrenic nerve was evulsed at the 7th month. She was discharged symptomless at the 12th month, though there were still physical signs suggestive of cavitation in the right "dorsal lobe".
The thoracic surgeon did not consider her suitable for thoracoplasty.
CASE II.
| TREATMENT | E.S.R. M42HR |
|-----------|--------------|
| | 1 2 3 4 5 6 7 8 9 10 11 12 |
| | 0 10 20 30 40 50 |
| | G CRUSH RØ EVULSION |
| | Sp + + + - + 0 - - - - - - 0 |
[Diagram of lungs]
Case 12 (J.W.R.)
Admitted in fair general condition with a history of left sided pleurisy with effusion 8 years ago, and recent cough, sputum, malaise and loss of weight. The skiagram showed bilateral lesions mainly productive in type, with cavitation at the left apex. Attempts to induce a left artificial pneumothorax failed. He was kept in bed for three months, intravenous crisalbine injections commencing during the 2nd month. Thereafter his progress through the sanatorium grades of exercise was rapid, and at 6 months he was up all day, walking for an hour and doing three hours moderate work. There was progressive radiological clearing though a cavity became visible in the right apex.
It is of interest, though possibly not significant that the only positive sputum specimen after the 1st month followed a slight rise in E.S.R. although the physical signs and symptoms were unchanged.
CASE 12.
| TREATMENT | ESR | Mm 2 Hr | R.P.CAVEN |
|-----------|-----|---------|-----------|
| Sp | + | - | - |
Graph showing a curve with points at intervals from 1 to 26 on the x-axis and values on the y-axis.
Case 13 (D.S.)
Admitted in fair general condition, but febrile, with cough, sputum and huskiness of 4 months duration, and more recent chest pain and loss of weight. The skiagram showed a massive exudative lesion with cavities, involving the whole right upper lobe, and a small area of infiltration in the left mid zone. Attempts to induce a right artificial pneumo-thorax failed. She was kept on strict bed rest for 5 months, by which time the temperature was settling. Then treatment by tubercle endotoxoid injections was commenced. This was well tolerated, and after three months she was allowed up and slowly progressed through the sanatorium grades of exercise. There was progressive radiological clearing until by the 18th month the skiagram showed a small apical cavity, diameter 1.5 cm., in the centre of a localised shadow. She was symptomless, and well enough to commence training as a student nurse, and the lesion has remained stationary during 18 months of this work.
This case is of interest for two reasons:-
(i) It is the only case in a series of 20 in which striking improvement followed the administration of tubercle endotoxoid.
(ii) The satisfactory outcome in this case was unexpected in a girl of 16 not treated by collapse measures.
Case 14 (W.H.S.)
Admitted in poor general condition. He had a history of cough and sputum for 20 years, and of illness for 1 year before admission. The skiagram showed diffuse tuberculous infiltration of both lungs with a small pleural effusion at the left base. Collapse therapy was contraindicated, but he improved at first despite an attack of infective hepatitis in the 3rd month which coincided with a sudden temporary improvement in the E.S.R. This slowing E.S.R. has been observed in other cases of infective hepatitis, but was not a constant feature of 12 of my own personal cases. Walton (1933) and others have observed a slowing of E.S.R. in some cases of liver damage.
Thereafter his condition deteriorated slowly, and there was evidence of haematogenous spread in the 9th month followed in the 19th month by symptoms of meningitis.
The E.S.R. persisting for any length of time at 80 mm/2nd hour or over indicates a very poor prognosis.
PHRENIC EVULSION FOLLOWED BY THORACOPLASTY
Case 15 (H.R.)
Admitted in good general condition with a history of cough, sputum, malaise and loss of weight for 2 months and recent chest pain at the left apex. The skiagram showed exudative mottling in the right upper and lower lobes, and in the left upper lobe, where there were possibly small cavities. A course of intravenous gold injections was given and was followed by some radiological improvement. At the 4th month a cavity had appeared in the right upper lobe. An A.P. induction was attempted, but failed. He had a slight attack of appendicitis at the 5th month, and slight jaundice which contra indicated further gold treatment. As the cavities in the right were larger he was seen by a thoracic surgeon who postponed decision regarding operative treatment as the general condition was not good and he was febrile. A further attack of appendicitis necessitated appendicectomy in the 8th month. As he was still unfit for major surgery at the 10th month the right phrenic nerve was evulsed. This was followed by a period of general improvement, including clearing of the left apical lesion. A ten rib paravertebral
CASE 14.
INFECTIVE HEPATITIS
DIED 03/10
thoracoplasty was performed in three stages commencing at the 15th month. This was followed by a temporary deterioration in E.S.R. which one expects after blood loss and tissue damage. Thereafter he did well, though the lost weight was not fully regained, and at the 24th month he was transferred to a tuberculosis training colony where he has done useful work for over two years though the condition of the left lung has at times caused slight concern.
PREGNANCY
Case 16 (L.H.)
An unmarried girl of 20 was admitted in good condition, with 5 months history of slight cough, and sputum, dyspnoea, anorexia and malaise, followed by haemoptysis 3 months before admission. The skiagram showed a little suspicious shadowing outside the hila, and an enlarged hilar gland on the left.
Menstruation was said to be regular before admission, but from then onwards there was amenorrhoea. The symptoms except dyspnoea, disappeared, and there was no change in the skiagram. The rising E.S.R. suggested the necessity for a fuller investigation, as it was considered unlikely that it was due to her tuberculosis. She was found to be 4\(\frac{1}{2}\) months pregnant.
PULMONARY TUBERCULOSIS AND SYPHILIS.
Case 17 (P.L.)
Admitted in fair general condition with four months history of chest pain, cough, sputum, anorexia, malaise and night sweats. The skiagram showed a dense contracting lesion with cavities in the upper third of the right lung, coarse mottling in the remainder of the right lung and discrete proliferative mottling in the left lung. The heart and mediastinum were drawn over to the right.
The right A.P. was only partially selective, and the adhesions could not be cauterised. But in spite of this and an ischio-rectal abscess which developed at the 5th month, he made reasonable progress. The deterioration in E.S.R. at the 8th month was at first blamed on the ischio-rectal abscess, for which a two stage operation was performed. But the stationary condition of his tuberculous lesions and the peculiar behaviour of his sedimenting blood (see chart) suggested that one of the other causes of rapid E.S.R. should be sought. The falling erythrocytes attained an unusual velocity for a very short time. It was almost impossible to take accurate readings. Then the fall continued at a much slower speed for another hour.
His W.R. was strongly positive. No history of primary syphilis could be elicited.
CASE 17
| TREATMENT | RAP | G | N.A.B. |
|-----------|-----|---|--------|
| S.P | + | - | 0 |
ESR MM 2HR
ISCALO RECTAL ABSCESS
W.R. +
RAP G N.A.B.
CASE 17. SEDIMENTATION GRAPH AT 9TH MONTH
FALL IN MILLIMETRES
TIME IN MINUTES
ANOMALOUS IMPROVEMENT IN E.S.R.
Case 18 (Mrs.A.)
Admitted in fairly good general condition, with a history of dry cough for a year, dyspnoea of long duration, and more recent huskiness, chest pain and scanty sputum. The skiagram showed a contracted right upper lobe with a cavity, some mottling in the right mid zone and heavy exudative mottling in the left mid zone.
A right artificial pneumo-thorax was induced and intravenous gold injections were commenced, but ceased after the second injection when a rash appeared which rapidly developed into a very severe exfoliative dermatitis with marked subcutaneous oedema. At this time the E.S.R. improved to a figure within normal limits - a change which obviously had no connection with the course of the tuberculous lesions. When the oedema subsided the E.S.R. returned to approximately its previous level. This suggests that the slowing might be due to haemo-concentration as a result of the oedema, but unfortunately this question was not investigated, and fortunately such cases are rare, and the opportunity for investigating a similar case has not occurred.
CASE 18.
| E.S.R | MM 2 Hr |
|-------|---------|
| 0 | 10 |
| 20 | 30 |
| 40 | 50 |
| 60 | 70 |
| TREATMENT | RAP G> | R.A.F. ABANDONED |
|-----------|--------|------------------|
| SP | + | 0 |
| | 0 | 0 |
| | 0 | 0 |
| | 0 | 0 |
| | 0 | 0 |
| | 0 | 0 |
| | 0 | 0 |
| | 0 | 0 |
EXFOLIATIVE DERMATITIS
BURTON'S ABSCESS
LUNGS:
ANOMALOUS SLOW E.S.R.
Case 19 (A.L.)
Admitted in good general condition with a history of cough and sputum for three months. The skiagram showed an extensive lesion, mainly productive, of the right upper zone, which probably contained a cavity, and some scattered nodular mottling of the left lung field. After three months treatment by rest and gold injections, he had haemoptysis, and a Right A.P. was induced. The cavity in the right lung was then definitely seen. Adhesions in the A.P. were cauterised in two sessions during the 5th and 6th months. At this time a spread of the disease in the left mid zone was seen radiologically, though it was clinically silent, and the E.S.R. had reached normal limits. This new lesion showed cavitation at the 7th month and the cavity was still present at the 9th month, though the exudative lesion was small. Left A.P. was attempted at 12th month because of persistence of the small cavity and persistent positive sputum, but failed. He left the Sanatorium for economic reasons.
In this case the E.S.R. although it gave a good indication of the activity of the
disease on admission, failed to give any indication of the activity of the disease in the left lung, which progressed and cavitated in the presence of an E.S.R. within normal limits. In fact, at the 7th month the sedimentin index was 0.52, a figure which Day at one time claimed ruled out the possibility of pulmonary tuberculosis.
ANOMALOUS SLOW E.S.R.
Case 20 (D.B.)
Admitted in fair general condition, febrile, with a history of cough, sputum, and malaise for 1 month only. The skiagram showed a large cavity and much exudative mottling in the Left Lung and a perihilar spread with possible cavitation in the Right. After six weeks strict bed rest the condition was deteriorating, and a Left A.P. was induced, and as the disease continued to extend in the Right, a Right A.P. was induced as a last hope at 3 months. Toxic Enteritis developed, and she died at 6 months.
This is the only case I have seen of terminal slowing of the E.S.R., which has been reported by other observers. A possible, but unlikely explanation in this case is that the Enteritis caused haemoconcentration which in turn caused slowing of the E.S.R. Unfortunately this was not investigated.
CASE 20
| ESR, MM. 2 HR | 1 | 2 | 3 | 4 | 5 | 6 |
|---------------|---|---|---|---|---|---|
| | | | | | | |
| TREATMENT | | | | | | |
| SP | + | + | + | + | + | + |
ENTERITIS
DIED
PULMONARY FIBROSIS
Case 21 (J.N.)
Admitted in fairly good general condition with a history of slight cough and spit since being gassed in 1918. There was a recent history of stained sputum and slight dyspnoea. The skiagram showed considerable contraction of the right hemithorax, with hard striated shadows in the lower half and increase of the lung markings. On the left the lung markings were increased and somewhat woolly. Tubercle bacilli were not found in the sputum. The E.S.R. was 2 mm/2nd hour.
Although this finding did not in itself rule out a diagnosis of pulmonary tuberculosis, it was of great help in arriving at the diagnosis of non tuberculous fibrosis of the lungs.
Bibliography of Papers Quoted in the Text.
1. Blacklock 1921. *Lancet* 1921 - l - 377
2. Collins, Gibson, Race and Salt, 1939. *Ann. Rheum. Dis.* I. 4.
3. Cutbill. 1939 *Ibid.*
4. Cutler 1929. *Amer. Rev. Tub.* XIX. 544.
5. Day 1939. *Tubercle* XX. 364.
6. Day 1940. *Lancet* CCXXXVIII
7. Fahreus 1921 *Acta Med. Scand.* LV.
8. Fahreus 1927 *Phys. Rev.* IX. 241.
9. Gram 1929. *Acta Med. Scand.*
10. Greene 1941. *Lancet* CCXLI
11. Ham & Curtis 1938. *Medicine* 17. 413.
12. Heller and Paul 1934. *J. Lab. & Clin. Med.* 19. 777.
13. Lewis-Fanning & Myers 1942. *B.M.J.* 1942 - 2 - 125
14. Linzenmeier 1920. *Zbl. Gynak.* 44, 816.
15. Lyle Cummins and Acland 1927. *Tubercle* IX.
16. Plass & Rourke 1929. *J. Clin. Invest.* 8.
17. Rourke and Ernstene 1930. *J. Clin. Invest.* 8.
18. Tang & Wang 1941. *J. Trop. Med. & Hyg.* 44 - 5 - 28
19. Trail 1933. *Lancet* 1933 - l - 522
20. Walton 1933 *Quart. J. Med.* Jan. 1933.
21. Westergren 1920. *Acta Med. Scand.* LIV, 242.
22. Westergren 1924. *Erg.d. In. Med v. Kind.* XXVI
23. Whittington & Millar 1942. *Tubercle* XXIII.
24. Whittington & Millar 1942 *J. Exp. Path.* XXIII
25. Wintrobe 1933. *Amer. J. Med. Sc.* CLXXXV.
|
Parole Interview Transcript/Decision - FUSL000017 (2002-01-09)
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PAROLE BOARD HEARING
STATE OF NEW YORK
EXECUTIVE DEPARTMENT
DIVISION OF PAROLE
In the Matter of
DIN# [Redacted]
NYSID# [Redacted]
HELD AT: Woodbourne Correctional Facility
Woodbourne, New York
Parole Board Hearing
January 9, 2002
BEFORE: COMMISSIONER VANESSA A. CLARKE
COMMISSIONER DAIZZEE D. BOUEY
PRESENT: JOHN KEHOE, FPO II
RENEE SOMERS, APA
M&F REPORTING SERVICE
P.O. Box 4279
NEW WINDSOR, NEW YORK 12553
(845-562-5190)
INTERVIEW BY COMMISSIONER CLARKE:
Q. You're __________
A. Yes, I am.
Q. Good morning, __________
A. Good morning.
Q. I'm Commissioner Clarke. With me today is Commissioner Bouey.
COMMISSIONER BOUEY: Good morning, sir.
THE INMATE: Good morning.
Q. You're here today for your reappearance before the parole board?
A. Yes.
Q. Okay. This is your fourth appearance in front of a Parole Board?
A. Yes.
Q. Now you were initially eligible back in January of '96. You're serving 15 years to life for murder in the second degree, right, sir?
A. Yes, ma'am.
Q. You were convicted based upon a plea?
A. Yes.
Q. Now, this crime occurred back in '81. And you are subject to executive order of July 23rd of 1960. Therefore, you have to meet with psychiatric staff in order for an evaluation to be made. We know you met
with them in November of last year. So that was in preparation for today's interview?
A. Yes.
Q. Okay. All right. You're not currently receiving any medication for any mental health reasons?
A. No.
Q. You are not on the mental health case load and you are not in need of services. Okay. We've reviewed that information. Now, this crime happened 1981 and it involved you participating with a co-defendant in the shooting deaths of two people with a total of three people shot. This was at a junkyard was it or a salvage yard?
A. Yes.
Q. A salvage yard. That's a better word, salvage yard, where you had previously worked and recently been fired?
A. Yes.
Q. How old are you at this time,
A. I'll be 50 in October.
Q. You'll be 50. Okay. And you have 21 years in?
A. Yes.
Q. On this sentence?
A. Yes.
Q. We know that you met with the previous parole
boards before and discussed this case before.
However, this is a new panel and we're here today to assess these facts and make a decision about your release at this time. We're going to go over the particulars of the case. Basically the facts are fairly clear. It says that there were some people at the salvage yard, including one of the owners, [redacted] is it? Yes. There was a security guard by the name of [redacted] and another working there, a driver. You appeared on the scene and said that you were looking to retrieve some clothes from the locker. Is that what you told them?
A. Yes.
Q. You went back to the locker area and your co-defendant was also there. And he was in the vicinity of [redacted] and the other man that was shot. And he robbed them?
A. Yes.
Q. Okay. And they were ordered to the back. Everybody went to the back. That was where they were shot. They were ordered to lay down and then they were shot. I mean you're thinking about something. If I'm saying something that's not right --
A. Yes.
Q. All right. It's clear. It's right here in the
record. If there's anything I'm forgetting to say, you know, say it?
A. I don't think that -- I think that the co-defendant that had the two, he was in separate parts of the building.
Q. You say he was --
A. We were in separate parts of the building.
Q. You were in separate parts of the building. Okay. This is exactly what it says. All right. You entered the yard and [blacked out] one of the people that was shot, heard one of the owners, [blacked out] who was also killed, ask you what you were doing there. And you said that you had to go and retrieve some clothes. Okay. [blacked out] and you went to the warehouse where the lockers were kept. So you went off that weigh.
A. Yes.
Q. [blacked out] your co-defendant, had accompanied you there. He was standing at the entrance gate. You took out a gun on [blacked out] the watchman, and someone by the name of [blacked out] the other person who was killed?
A. Yes.
Q. He robbed both of them at gun-point. He took a sum total of fifty dollars, something around that small sum of money. And it says that you came back from the
office waiving a gun in your hand. You yelled to [blacked out] come on down here. He, being your co-defendant, took [blacked out] and [blacked out] at gun-point towards the office. When you were close to the office your co-defendant ordered them to lay face down on the ground with their chins touching the ground. And then [blacked out] and [blacked out] were then shot. Now [blacked out] pretended he was dead. When he felt it was safe he got up and called 911. The police arrived and found [blacked out] dead, [blacked out] dead and [blacked out] in serious condition, because he'd been shot in the head also. However, he managed to survive. So in the subsequent investigation your name came up. You know, you had been observed there.
A. Yes.
Q. And so did your co-defendant. You were both apprehended. All right.
A. Yes.
Q. So it was your motive to rob this place?
A. To rob the place. When I came back I said let's go. Let's go. That's where I was going. I was going and then the shots.
Q. So your statement is that you wanted to do a robbery. You did a robbery?
A. Yes.
Q. And you wanted to get out of there and you heard shots, meaning your co-defendant shot these people?
A. Yes.
Q. Without your knowledge and/or participation, is that what you're trying to say?
A. I can't say I didn't have any knowledge of the whole thing. I'm not going to say that.
Q. Because you can't?
A. I can't.
Q. It would defy logic at this point.
A. Right.
Q. That wasn't necessary, was it?
A. Not at all.
Q. It was really totally way over the top. You got your money. You go on about your business. There's no reason for people to be shot execution style, because there's no other way for that to end other than people dying. The fact [redacted] survived is a sheer --
A. Miracle.
Q. Right, miracle. Being shot in the head is very scary. I don't have to say that.
A. Yes.
Q. I mean -- did you have weapons training at any point in your life or were you in the army or anything
like that?
A. I never shot a gun in my life.
Q. You know, your record certainly turns up a lot of guns.
A. That was back like in '73.
Q. Yeah. You know, we're going to consider your entire criminal record until back to the day you first decided to commit a crime?
A. It was a toy gun.
Q. I'm sure if you pulled it on someone they wouldn't know it was a toy gun. So you get the full benefit of having a real gun, even if you didn't have one. You've been in prison before for having a gun?
A. Yes.
Q. There's at least two convictions for having a gun. I think one was an attempt and one was full possession or were they both attempted? Attempted criminal possession of a weapon, sentenced three years. This was in '74. And then you maxed out in '76 on that. So there were two attempted criminal possessions of a weapon that you received three years for?
A. Yes.
Q. What was going on? Why were you walking around with a gun?
A. That right there in '73 -- was it '73?
Q. '73 was the commission of the crime. '73 was the plea of guilty. I think you were paroled in '74, December 20th of '74 and max maxed out '76?
A. Yeah.
Q. Okay.
A. I can't come here and intelligently rationalize any of this.
Q. Don't rationalize it. Tell us what you were thinking. Were you trying to scare people? Were you trying to be tough? Were you using these guns to commit crimes?
A. I could say I was a drug addict. And I guess, you know, I was so drugged up that all rationale was just suspended. All rational thoughts was just suspended.
Q. All right.
A. There's no way I can come sit down in front of you--
Q. You have no motivation, no rationale for why you were walking around with a gun in 1973?
A. In '73, yes, that was a robbery.
Q. That was a robbery. All right, because we do note that the arrest charges that came with this possession of a loaded firearm was robbery first?
A. Yes.
Q. The robbery first went away and the gun possession
stuck?
A. Yes.
Q. All right. That was then. Let's talk about what's been going on in recent years. Now, you've participated extensively in some of the programs that are intended to help other inmates. Now you facilitated at the [redacted] Program?
A. Yes.
Q. There's letters in here on your behalf, which you should know, from people you should know. [redacted] you know him?
A. Yes.
Q. He worked with you at the New York Theological Seminary?
A. In Sing Sing.
Q. And he feels that you have done well in this program. And he feels that you've turned your life around. That's his perception of the situation regarding his dealings with you over the course of this program?
A. Yes.
Q. There's a letter from a [redacted]. She was affiliated with you through the [redacted] program. All right. There is a letter from a [redacted].
All right. He recommends your release because he
feels that you've gotten some education and participated in the HIV/AIDS counseling program and you founded the Prisoner Program.
Is that so?
A. Yes, that's true.
Q. How did that come about?
A. It was a lot of ignorance in Eastern -- it started really in Comstack. I was working in the hospital in Comstack. This is before the AIDS thing came about. When I transferred to Eastern, there were officers walking around with masks and gloves, scaring the population. It was me and another guy, you know, we just walked in the yard. And we just tried to find a way that we can battle the ignorance between the population and staff. And we contact AIDS agencies and they trained us.
Q. Okay. Inmates and staff?
A. They trained inmates. We actually trained the rest of the population and some of the staff.
Q. Let's see. Some of these are repeated. There's a letter from a coordinator of the And she feels you've been very helpful and been very positive during that program experience. Someone by the name of He says has dealt with you through the
program and also the [redacted] program. He says he can arrange for suitable housing for you, help you find employment. Right? And he hopes you be granted parole. [redacted] has attached her name to a petition signed by some of the people already mentioned requesting that you be considered for positive release consideration. You've reached out to the [redacted]. A Letter of reasonable assurance is forthcoming from them.
There's [redacted] from the New York State Theological Seminary. There's also letters from family, a sister [redacted]. There's a [redacted].
A. That's my mother.
Q. And she's stating that her and your father are going to provide support for you, should you be released. So you know, we know from that, that you've been keeping yourself busy by participating in programs, that you're interested in helping other inmates. Is this something you'd be interested in pursuing once you get out in the community?
A. Yes.
Q. All right. Let's look at the program summary. Right now you're a program aid in volunteer services. Is that still going on?
A. Yes.
Q. You've been a clerk/typist for them. You've been a teacher's aid, computer repair student, other things. Is there anything that we're missing here?
A. As far as programs?
Q. Yes?
A. Hospital assistant.
Q. Hospital attendant at Eastern. You were a dental assistant, X-ray aid?
A. Yes.
Q. There's also been porter work. You've been an administrative clerk in the library?
A. Yes.
Q. So you've been keeping yourself very busy. All right. You have a disciplinary record that the last incident we note was a tier-2 for direct order violation back in July of '99. It doesn't appear there's been anything since. What else would you like to talk about?
A. I'd say that the day I stood in front of the judge and got sentenced I made a commitment. And that commitment was to take full responsibility for my actions, which I have done. I have for the past 21 years thought about it and dreamt about it and cried about the senselessness of the crime I committed.
Q. Someone -- you know, several someones lost their family member?
A. Yes.
Q. In a horrible way?
A. In a horrible way.
Q. Can you imagine what these folks' families must have felt when police called them or whoever called them and said, you know, your loved one has been shot to death execution style over nothing?
A. I truly am sorry for the hurt and damage I done for the victim, the victims' families and friends. My heart goes out to them.
Q. All right.
A. My heart hurts. I know the victims' families' and friends' pains most deeply, much deeper than mine and I know that I wish I could do something to undo their pain. But I can't do that. But what I can do and I think I have done is to take steps to make sure that this type of behavior will never transpire in my life again.
Q. I actually hope not. That would be awful. It would mean you haven't changed. You haven't grown. You have learned a thing.
A. Yes, during my incarceration, like you said, I've taken programs that's actually geared towards changing
a person. You know, and for me that change was both tangible and intangible. The educational change, the moral change and the virtual change I see in myself. I am now in a position where I can actually help other people change their lives. For the past fourteen years I've been an [redacted] facilitator and for nine years of the fourteen years I've been an [redacted] coordinator. [redacted] philosophy is that everyone has the power to change. We give them the tools. We show them that and try to work with them on it. I also teach the old and new testament in the certificate program in ministry in human services. And I facilitate crime awareness program.
Q. All right. Now, let me go back to something for a second. I was looking at your disciplinary summary, an older one. You are in special housing and the box. So I did misspeak about the last incident being in July of '99.
A. I was going to speak about that.
Q. We're going to get to that. So let me let you finish what you're saying with respect to what you were doing with the programs?
A. Right. I said -- I think the last thing I said I was working --
Q. Spiritually?
A. -- with the Crime Awareness Program.
Q. Right.
A. Now I'm not saying any of this to undermine or downplay the seriousness, the senselessness or stupidity of the crime I committed. I am really saying this to let the commissioner -- no, to let everyone in the room know that people change and they do change. I think I'm living proof of that change. I'm here today, you know, to ask to have a chance at parole and give me a chance to prove myself that people can change, people do change. If paroled, I would never do anything to embarrass, shame or bring any negative publicity to the parole commissioners or the board.
Q. All right. You've been on parole before in the past?
A. Yes.
Q. Going way back?
A. Yes.
Q. And I don't see any listing of any violations at that time; is that correct?
A. That is correct, yes.
Q. All right. So let's get to your current disciplinary problems. You went for awhile without having too many problems, but right now at this point
in time you are in special housing based upon a tier-3 for loss of damage to property and property in an unauthorized location. That sounds like something that could have been resolved with something other than a tier-3. But the fact that it's a tier-3 level makes us question what was going on?
A. I shouldn't even -- I shouldn't even have been written up. Like you said, I'm a typist. I type. We have a computer downstairs. I type the superintendent's memos. I do everybody's memo except for hospital and parole. My supervisor gave me permission to type a letter to my family thanking them for coming up for Christmas, my mother. They locked me up for that. That's what I'm in S.H.U. for. That's what I got 30 days for, for a letter I wrote to my mother.
Q. Okay. Were you -- did you do this in some way that you violated their rules?
A. He testified -- ma'am, the rule is you get permission. He testified yesterday he gave me permission. He testified to that fact that he gave me permission.
Q. All righty. Have you started your box time then? Well, you started. It's about to be completed February 2nd?
A. Yes.
Q. So you just started really?
A. I spoke to the superintendent yesterday. He said -- I showed him the evidence. I showed him the letter. I said this is what they locked me up for.
Q. All right. There's a lot of rules in the jail. You know that?
A. The rule is you go through the chains of command. You go to your supervisor, ask him or her if it's all right. If they say it's all right then you do it.
Q. Are you programming in the box or you're just doing your time?
A. There's no programs. I'm just reading the novels. I want to say one more thing.
Q. We know that. We know there's no technical programs per say, but I mean you're involved in a lot of things. So we don't know if you're continuing that or not when you're in there?
A. I can't. All I can do is read.
A. Can I say one more thing?
Q. Sure.
A. I lost me. I lost me through the streets, through drugs many, many, many years ago. I was lost. I think during this incarceration I was able to find me. And in the interim of finding me I found out a lot of
things about me. You know, I found that I am a very compassionate person, full of empathy and now a spiritual person. I think that with those three characteristic traits or elements, whatever they are, those three elements, if they stay in my life, I will -- you know, it can't help me to be attuned to other people's needs. I don't want to lose me again.
Q. We hope not. The consequences could be dire. What drugs did you use on the streets? Was it heroin?
A. Yes.
Q. Have you ever been in the armed services?
A. No.
Q. You have worked in the past. You worked for these unfortunate victims. You have plans to get a job when you're out there, possibly a job counseling?
A. Yes.
Q. You're going to live with your parents too?
A. I was offered a job opportunity. I don't know if parole will allow me to, you know, be parole to up-state New York. But I was offered a job opportunity to help them to create a program, transitional program. I spoke to my mother on it. She was on a visit and my sister. You know, your mother wants you to come back home and be close to her.
Q. Okay. So you're not sure. All right.
A. Right.
Q. Okay. We're going to consider your case very carefully. We heard what you said about your current S.H.U. status. We'll consider that. We've discussed this very serious crime, your criminal record, your institutional adjustment, your program participation. Is there anything you think we have not discussed?
A. No.
Q. Do you have any questions for us?
A. I guess one. If I'm not deemed parolable at this time, what could I do in the next two years or whatever to enhance my paroleability?
Q. As I tell most people that ask, it's not a formula. It's not a game. It's a weighing of all factors that we're required to consider. Some which change like your S.H.U. status or your disciplinary record. Some which don't change, like your criminal history and the crime of offense. And you know, we'll consider all that with your plans and try to make the best decision possible. Okay?
A. Okay.
COMMISSIONER BOUEY: Any further questions, Commissioner Bouey?
COMMISSIONER BOUEY: I have nothing further.
I listened closely and I'm ready to proceed.
Q. All right, [redacted]. We'll consider everything, make a decision and let you know.
(The inmate was excused.)
(Whereupon, the Commissioners conferred.)
DECISION
Parole is denied, hold 24 months, next appearance 1/04. Parole is denied. You continue to serve 15 years to life upon your conviction for the crime of murder in the second degree. This crime involved you and a co-defendant going to your former place of employment for the purpose of robbery and while there shooting three people in the head execution style. Two of the victims were killed. This extreme violence was a severe escalation in your previous criminal conduct, which included prior weapons possession. All factors considered, including your program participation, the panel concludes that due to the extremely serious nature of the offense your release would be inappropriate at this time. The panel further notes that you appear before the board in S.H.U. status. The guidelines are unspecified.
(THE COMMISSIONERS CONCURRED)
REPORTER'S CERTIFICATION
I, Malkie Finer, a Shorthand Reporter in the State of New York, do hereby CERTIFY that the foregoing record taken by me at the time and place noted in the heading hereof is a true and accurate transcript of the same, to the best of my knowledge and belief.
Malkie Finer
MALKIE FINER
|
What does survivorship mean?
Let us explain it to you.
ESMO Patient Guide Series
based on the ESMO Clinical Practice Guidelines
esmo.org
Survivorship is a unique and ongoing experience, which is different for each person and those close to them. A key to survivorship is to regain, as far as possible, the important aspects of your life before cancer, and to find new pathways to a satisfactory life going forward. This Patient Guide on Survivorship is created by European Society for Medical Oncology (ESMO) and European Cancer Patient Coalition (ECPC) in collaboration with International Psycho-Oncology Society (IPOS) in order to help you and people like you at this important time in your life.
In this guide you can find information on support in coping with the new reality, life after initial treatment, preventive health, and follow-up care. It also enables keeping a personal health record / survivorship care planning.
Definition
Survivorship focuses on health and the physical, psychological, social and economic issues affecting people after the end of the primary treatment for cancer. Post treatment cancer survivors range from people having no disease after finishing treatment, people who continue to receive treatment to reduce the risk of the cancer coming back and people with well controlled disease and few symptoms, who receive treatment to manage cancer as a chronic disease. Survivorship care includes issues related to follow-up care, the management of late side-effects of treatment, the improvement of quality of life and psychological and emotional health. Survivorship care includes also future anticancer treatment where applicable. Family members, friends and caregivers should also be considered as part of the survivorship experience.
Survivorship is a unique and ongoing experience, which is different for each person and those close to them. A key to survivorship is to regain, as far as possible, the important aspects of your life before cancer, and to find new pathways to a satisfactory life going forward. This patient guide on survivorship is created in order to help you and people like you at this important time in your life. You may find it helpful to involve close friends and family members as you consider the issues raised in this guide.
I savour every moment now
I am enjoying life, again
I cherish more the people and things which are important to me
I worry that cancer may come back and want to know more
Good source information on how to improve health counts
My knowledge, my power
Chapter A
Support in coping with the new reality - Who can help me?
1. Cancer rehabilitation 8
2. Patient support groups 9
3. Psychological support of the patient and his/her family 11
4. The role of the health care professionals (i.e. oncologist, family doctor, oncology nurse) 12
Chapter B
Life after initial treatment - How can I get my normal life back?
1. Perspective and self-confidence 13
2. Changes in family and relationships 14
3. Your sexual life after cancer 15
4. Having children/Fertility after cancer 16
5. Returning to work, finding new hobbies and interests 17
6. Managing your finances 21
Chapter C
Preventive health - What lifestyle changes can I make to achieve optimal physical and emotional health?
1. Healthy lifestyles
- Physical activity 24
- Nutrition and weight management 25
- Stress management 26
2. What to avoid
- Reducing alcohol consumption 28
- Smoking cessation 28
- Avoidance of excessive exposure to UV radiation 29
- Avoiding worsening side-effects through the use of specific drugs 29
3. Infections and vaccinations 29
Chapter D
Follow-up care:
1. Detection and management of treatment- or tumour-related symptoms
- Chemotherapy-induced nausea and vomiting
- Pain and peripheral neuropathy
- Bone loss with the possibility of subsequent osteoporosis
- Mucosal, dental and soft tissue problems of the head and neck
- Skin toxicity
- Lymphoedema
- Cardiovascular problems
- Heart problems and drug-induced cardiac toxicity
- Deep vein thrombosis / Pulmonary embolism
- Fatigue
- Sleep disorders
- Cognitive function – “Chemo-Brain”
- Depression and anxiety
- Fear of recurrence
- Eye problems
- Hormone (endocrine) system problems
- Hormonal insufficiencies (i.e. thyroid dysfunction)
- Infertility
- Amenorrhea, menopause
- Sexual dysfunction
- Urological problems
- Gastrointestinal problems, digestion
- Lung problems
2. Prevention and detection of cancer recurrence
3. Prevention and early detection of new primary cancers for patients and their family members
4. Comorbidities and management of comorbidities
5. Keeping a personal health record / Survivorship care plan
Dictionary
Chapter A
Support in coping with the new reality - Who can help me?
1. Cancer rehabilitation
Cancer rehabilitation is one of the first important steps in survivorship. Cancer and its treatment produce a multi-dimensional impact on patients’ lives, affecting the physical, sensorial, cognitive, psychological, family, social and spiritual functional levels. Rehabilitation is part of cancer care, and has been recognised as a cancer patient’s need and right along with cancer treatment. It is a way to minimise the impact and side-effects of cancer and cancer treatment at the many affected levels, to help patients in optimising their quality of life and in recovering the normalcy in their lives.
Rehabilitation programmes may be proposed as an outpatient programme, mostly provided by specialised caregivers, or carried out in specialised clinics. Their goal, is to help people recover many psychological and physical aspects of their lives and to remain as productive and independent as possible. Rehabilitation is valuable for everyone who is recovering from cancer treatment, those living with cancer and their families in:
- Improving physical and psychological strength to help offset any limitations caused by cancer or cancer treatment.
- Regaining good physical condition in order to return to everyday life.
- Improving self-management to reduce stress, improve sleep, improve emotional balance and well-being.
- Regaining self-confidence.
- Becoming more independent and less reliant on caregivers.
- Learning to manage possible side-effects from chemotherapy, hormonal therapy, targeted therapies, immunotherapy and/or radiotherapy to minimise the effect of these side-effects on everyday life.
- Learning how to have a balanced diet, good nutrition and preserving or achieving healthy weight.
- Learning how to manage sexual life.
- Learning how to preserve fertility.
- Reducing the number of hospitalisations.
Rehabilitation programmes will vary in content, extent and form, depending on availability and choice. They may be proposed even when you have already returned to work, or in a block before you do so. Most will be outpatient-based and some may be proposed through a medical inpatient institution.
Ask your doctor and caregiver about rehabilitation options available to you. A rehabilitation programme targeting your specific needs can be organised by the health caregivers in cooperation with the social workers and the patient and family.
2. Patient support groups
As you move through the survivorship experience, it is extremely important to know that you are not alone. Family, friends and community resources can be useful to help you cope with physical, emotional, and psychological issues, which may arise as you try to return to “normal life”. However, many survivors find it helpful and comforting to share their concerns and to talk with people who know what they are going through from first-hand experience. Cancer support groups are meetings for people with cancer and those touched by the disease. Even though a lot of people receive support from friends and family, the number one reason they join a support group is to be with others with similar cancer experiences.
There are many cancer patients’ organisations in Europe which provide useful resources for cancer survivors, including specific patient support groups. Getting in touch with your local or national patient organisation is a good starting point to identify what kind of patient support group or other services are available for you.
By following the link below you can learn more about how the European Cancer Patient Coalition unites the largest European cancer patient communities, covering almost all types of cancer, from the rarest to the most common.
http://ecpc.org/about-us/our-members
Reasons to join the support group
- Support groups allow you to talk with other cancer survivors about your experiences, which can help you reduce stress and learn about coping strategies you may wish to use in the future. Group members can share feelings and experiences that may seem too strange or difficult to share with family and friends.
- Group dynamics often create a sense of belonging, helping you to feel better, more understood and less alone.
- You can receive help and advice on how to cope with problems that can arise at work and in relationships with your friends and family.
- You can get access to and discuss a wide range of practical information. This may include advice and useful information about how to deal with side-effects of therapy, how to manage pain and how to communicate with health care providers.
Types of support groups
There are different types of support groups, where you may find the kind of help and support that you are looking for and which works best for your needs.
First, there are categories of support group which depend on the person who leads the group:
- Peer-led or self-help groups are facilitated by group members.
- In a professionally-led group, a trained counsellor, social worker, or psychologist may facilitate the interactions among the members.
- Informational support groups – led by a professional facilitator – provide cancer-related information and education. These groups often invite speakers, such as doctors, who provide expert advice.
Groups may also be designed for specific audiences, including:
- All individuals with cancer.
- People with one type of cancer, such as breast cancer.
- People of a certain age group or gender.
- People who have a specific stage of cancer.
- Caregivers, such as family members and friends.
- People with rare types of cancer.
A new possibility in recent years is online support groups, which have become popular. People meet through chat rooms, list servers or moderated discussion groups and interact with each other via email. These groups are an alternative for people who live in isolated places, people who have mobility difficulties, people who don’t feel comfortable sharing feelings in person or people with a rare type of cancer where finding others with a similar illness experience may be more difficult. Many cancer advocacy organisations have online support groups as well, for example:
http://ecpc.org/about-us/our-members
http://acor.org
Another alternative could be telephone support groups, where everyone dials in to a phone line, like a conference call.
Where to find the support group and patients’ associations?
There are many ways to find support groups or information about support groups. You can ask your health care providers (oncologist, oncology nurse or family doctor) or social workers to suggest a group for you. You can also do an online search. Here is a helpful link to online information about patient groups in Europe:
http://ecpc.org/about-us/our-members
How to choose a support group - Which support group is right for me?
For each person there are different criteria which will help you to choose the right and most suitable support group for you. Here are some questions which you may ask the contact person of each group:
- How many members are in the group?
- Who attends the group (survivors, caregivers, family members)?
- What is the content and the format of the meetings?
- Will information shared be kept private and confidential?
- Who leads the group?
- Where and how often do the meetings take place?
- What can I hope to gain from joining this group?
- Is the main purpose to share feelings, or do people also offer tips to solve common problems?
What if I don’t want to join a group?
Support groups do not suit everyone, and you should not feel pressured to join a group. Not joining a group because it doesn’t fit with your personality or circumstances will not have a negative effect on you. However, remember that spending time with friends or family members is helpful for most people.
Contacting your local or national patients’ association also can be very helpful as a way to find other support resources.
3. Psychological support of the patient and his/her family
Receiving a cancer diagnosis often triggers a strong emotional response. Some people experience shock, anger, helplessness, hopelessness and disbelief. Others may feel intense sadness, fear, a sense of loss, loss of dignity and a perception of being a burden to others. For the family members, it is often a very stressful period as well.
Psychological support for the survivors and for family members is an important part of survivorship. It helps you in reducing and better managing the emotional impact of having experienced a life-threatening disease and its demanding treatments and in improving your quality of life and well-being. In many oncological institutions, you can find specialists (psycho-oncologists), who are usually part of the clinical team and work with your oncologist. You can receive help through the use of psychotherapeutic interventions such as stress management, cognitive therapy, counselling and planning of activities.
Furthermore, you can receive psychological support through specialists and other survivors also in support groups. For many survivors, the relationship with health care providers and the existence of a caring and loving family play an important role in the psychological support.
4. The role of the health care professionals (i.e. oncologist, family doctor, oncology nurse)
During the treatment period, the health care professionals best understand and are able to explain problems and difficulties you are facing. Often, while undergoing treatment, patients will become emotionally attached to their health care professionals, oncologist or oncology nurse. Their role does not end at the conclusion of the main therapy. They can play an active role in the survivorship experience. They can offer useful advice for detection and management of treatment- or tumour-related symptoms. They can be advisors, who can also offer psychological and emotional support and can help you to cope with psychological and physical difficulties in the post treatment period. Many of these professionals also have the knowledge and the ability to help you to organise and optimise your survivorship experience. Stay in touch with your health care professionals (oncologist, oncology nurse, psychologist or family doctor) and let them help you further as a part of your survivorship experience.
CHAPTER B
Life after initial treatment - How can I get my normal life back?
1. Perspective and self confidence
Many survivors feel that their life has radically changed after the diagnosis of cancer. You struggle with questions: “Why me?”, “What should I do if the tumour comes back?”, “Am I a different person now?” and many other questions. These feelings and questions may threaten your self-confidence and your beliefs. There are many ways to help you to regain your perspective and find answers to your questions:
- **Re-evaluating priorities, patterns and goals in life:** Many survivors recognise the period of survivorship as a “wake-up call”. Questions arise such as: “Is my role in my family sufficient?”, “Am I as close to my family and to my friends as I should be and wanted to be?”, “Does my job make me happy?”, “Have I fulfilled all of my goals and dreams?”, “What are the most important things in my life right now?”. Write down your questions, and take time to carefully reflect on the answers. They may come to you as you meditate about them.
- **Doing things that you always wanted to do:** Many survivors try to find the meaning of life through travelling, meeting new people, experiencing new cultures and making new friends. Also, new hobbies such as yoga, music, meditation and painting can give you fulfilment. Think about what you have always wanted to do and see if you could do it now!
- **Looking for spiritual support:** Many survivors, even those who didn’t consider themselves religious, look for support and guidance in faith and spirituality.
- **Discussions:** ‘Live’ and through blogging: The publication of experiences and the sharing of feelings with people who have similar experiences makes many survivors feel stronger and gives them back their perspective on life. Furthermore, many people help and advise other survivors and, in this way, they may also regain their self-confidence.
2. Changes in family and relationships
Cancer brings many emotional, psychological and physical changes to your life and can affect your relationships with your partner, your children, as well as your friends. You may be surprised to realise only after the main treatment is over that you are no longer comfortably nestled in your social environment. Friends or family may have become more reserved, sometimes even due to fears: about their own health or being unsure how to talk to you about your illness and not wanting to upset you. Some people also try to be independent and not ask for help during their treatment and this can lead to family and friends feeling uncertain about their role and how to respond. The need to regain closeness with your family members and your friends may be obvious to you, but at times it can prove to be quite a challenge. Some survivors may even experience the need to avoid the people who used to be very close, either because it reminds them of how their life has changed, or because of disappointment that they did not receive the support they expected from others. Furthermore, the cognitive and physical sequelae of cancer can also alter relationships with the family/friends.
Parenting and family life
Living with and beyond the cancer and the need to cope with the challenges of this situation may profoundly influence your lifestyle/philosophy of life, and may bring into question many former goals and achievements of your life. This may particularly affect the way you re-organise your family life and the time and importance you devote to your family.
Many cancer survivors experience a new-found closeness and intimacy with their loved ones. These individuals often report actual personal and interpersonal growth from their cancer experience (also referred to as post-traumatic growth or benefit finding). Conversely, some people feel disconnected from their partner, or feel disappointed that their partner does not understand their desire for closeness and support.
For those who have children, there are additional issues associated with survivorship. Children are the most significant people in the lives of their parents, but cancer treatment can have a big impact on parenting roles.
For months or even years, the demands and difficulties of the disease and the treatment may have largely dominated your everyday life and affected the time you were able or had wished to spend with your children. You may feel guilty due to your lack of presence/availability. This can affect your confidence about parenting and negatively impact your relationship with your children.
Of course, these issues not only apply to your core family, but also to other relatives and to your social environment in general.
**How can you respond to these issues?**
Try your best to be yourself: open, honest and as relaxed as possible.
Be honest with the members of your family, including your children! Express your feelings, your fears, the things that you are holding back. “Opening up” will also help you significantly in creating closeness and increasing mutual affection. Let your children know that you realise that this has been a tough time for them too, and acknowledge the things they have done to help the family get through it.
Don’t try to suddenly become the “perfect parent and the perfect partner”, to compensate for what happened during the treatment. Your family will probably much prefer to get back the person they knew before you got sick, with or without imperfections.
You might try to spend every minute with them, now that you have overcome your cancer. Don’t overload and exhaust your family. Don’t be too anxious to make up for the lost time, or to desperately try to get all you can for the time you have left. Try to relax, and act relaxed with your family. This will offer and ensure you quality time and will allow you to enjoy every moment with your family members.
**Friends**
Friends are also a very important part of our social life. Throughout your cancer diagnosis and treatment, and as you enter the state of survivorship, your friendships may have changed. Maybe some friends have disappointed you, not being as present and supportive as you expected during your hardship. Maybe you tried to be independent and not ask for help from anyone during your treatment. Try to give them and yourself a second chance, try to openly discuss your feelings; a “true” friend will be open to discussion and you may lay the basis of a new, even closer friendship. The period of survivorship could also provide the chance to make new friends and meet new people. This could help you regain and exercise your social abilities and feel that you are moving forward.
### 3. Your sexual life after cancer
**Sexuality and body image**
The negative impact of cancer on sexual life and attractiveness is often underestimated during the period of main therapy. Many survivors experience the loss of their sexual function or their sexual desire due to the disease itself, through the side-effects of the treatment (e.g. pain, premature menopause, nausea) or simply because of changes in physical condition, for example, fatigue. Some treatments, even those not directed to the pelvic area, can affect sexual function. Moreover, other physical changes – not directly related to sexual function – can also affect your sexuality and the way you feel about your body. For example, losing a testicle or a breast, having a gynaecological operation, having a colostomy or a tracheostomy, losing hair or having a scar after an operation can severely affect your self-confidence.
Survivorship
Physical exercise and psychological support can both help you to regain your self-confidence and feel desirable again.
In some settings, patients may feel uncomfortable discussing their sexual concerns with their partners, or even with their doctors. They may feel embarrassed to raise the topic or feel that, compared with cancer, these issues are not important. However, sexuality is a central aspect of human life and is an important part of who you are. Further, when sexual problems occur, they tend to get worse not better over time if left unaddressed.
Ask your doctor or nurse to support you in dealing with sexual concerns. He or she may provide you with direct help, and/or refer you to a health care provider with more specialised expertise (psychologist, urologist, gynaecologist, sexologist, etc.). Some of the physical problems that lead to sexual dysfunction can be treated with medication, others respond to behavioural interventions, while emotional concerns can be addressed through psychotherapy and/or counselling.
In conclusion, your social and sexual life may or may not undergo significant changes during the active phase of your cancer treatment. Often it is only when you have completed treatment that you stop to reflect on changes in your body and relationships. Just as your body may need rehabilitation, your soul and your social life may also need revival. Communication is the key to being able to work on these issues – reflecting on how you feel, talking with an intimate partner and seeking professional assistance all facilitate recovery.
4. Having children / Fertility after cancer
Decisions about having children
Most people say that having had cancer has not changed their attitude about having children. However, deciding to have children after cancer is always a big decision. Furthermore, there are a number of factors which may affect the ability to have a child after cancer.
Generally, pregnancy after cancer treatment is considered safe for both mother and baby. Furthermore, pregnancy is not proven to increase the risk of recurrence, even in diseases where this was previously believed to be the case (i.e. breast cancer). However, before you decide to have a baby it is useful to talk with your doctor and take his/her advice on the right time to become pregnant.
The exact length of time post treatment that female survivors should wait before trying to become pregnant is not clear. It depends on the type and stage of disease, on the therapy received, the need for ongoing diagnosis, and further treatment plans. Many women want to know about their risk of disease recurrence in the absence of pregnancy, before making a decision to conceive. Of course, the age and physical condition of the survivor also play an important role in this decision. A two-year period after the end of the active treatment appears adequate for many. It is recommended that you consult with your health care providers before making a decision about having children after cancer.
For male survivors, there are no specific guidelines or restrictions about trying to have a child during survivorship. Unlike oocytes in women (which are fully “functional” at birth), spermatozoids are produced continuously, and may thus be affected by chemotherapy or radiotherapy. For this reason, your oncologist may recommend a delay before planning a pregnancy to allow recovery of normal sperm viability and function. Also, some treatments have a higher risk of causing infertility.
You may have been encouraged to undergo a form of fertility preservation (i.e. cryopreservation of spermatozoids or oocytes) before your treatment was started. Unfortunately, infertility is not always predictable, and fertility preservation is not always accessible, depending on local infrastructure, reimbursement, urgency of treatment and other issues.
If you are no longer able to conceive naturally, but still wish to have children, remember that there may be alternatives. These could include assisted reproduction techniques. Talking about this can be challenging, and it is important to obtain information and advice from your doctor who can recommend specialised support and services appropriate for your situation, such as:
- Assisted reproduction (for women having reduced numbers of eggs [oocytes] in their ovaries).
- Surrogacy and gestational carriers (another woman can carry the baby–embryo of the couple).
- Donor eggs (oocytes) and donor sperm (for women with low ovarian reserve and for men who did not store the sperm before starting a toxic treatment).
- Testicular sperm extraction (for men who do not have mature sperm in their testicles).
- Adoption.
Discussing these options with your partner may not be easy.
In conclusion, discussing your desire for pregnancy with your doctor could help you to find the best time and the optimal conditions to have a child. Your health care provider can also advise you in considering alternative ways to have children and/or refer you to a fertility specialist.
5. Returning to work, finding new hobbies and interests
Going back to “a normal life” – When cancer survivors use this expression, they very often mean getting back to work, or finding a new job. Even if work is not an issue, leisure activities are: resuming previous interests and hobbies or finding new ones is very important and can make you feel better and more alive. Both will be paramount in your aim to get “back” to the lifestyle you had before your cancer was diagnosed.
Going back to work
Getting back to work is certainly different for every individual, but a number of the challenges, problems and advantages are shared by many. The following text will discuss these aspects.
You may love your work, you may have to work (for financial reasons), or both: getting back to work is a priority for many cancer survivors. The primary interest is probably to secure your (family’s) living expenses. From a psychosocial point of view, work can provide the opportunity to reconnect with and to regain relationships with friends and colleagues and is a source of self-worth and purpose for many people. Work certainly also helps to focus on something other than cancer and to reassure and reinforce your feeling of getting back to your old life and to the lifestyle you used to have.
Survivors can experience a number of different work-related scenarios:
- Some may have continued to work throughout their treatment.
- Others may have altered the pattern (hours/schedule) or the type of work they do.
- Others still may have lost their job during treatment.
- Many may have significant loss of performance status (physical fitness) or may have developed comorbidities as a result of the therapy or the cancer itself, which may prevent them (temporarily or permanently) from getting back to the same occupation they had before. Moreover, it may be difficult to foresee, for you and even for your caregivers, when, or even whether, this will improve.
Getting back to normal activity may be uncomfortable. It may be associated with the fear of not being able to endure the stress and intensity of the work. Fortunately, many will experience that, although reintegration may be tough, they will still manage to get back to their former work performance.
Looking for a new occupation may be an interesting option for some, a necessity for others.
Your final decisions about work should be made after taking into consideration your financial resources, your health insurance, the nature of your work and the nature of your treatment and recovery. In many places, social workers as well as specialised agents from public health and pension companies may provide help, as well as patient interest groups (cancer charities). You may need their help to have a sufficient overview of all of the options that are available to you.
**Preparing and planning your return**
If you have stopped working because of your therapy, the first step is to discuss with your doctor whether you are ready to return to work. Your doctor will need to know how do you feel. You will also have to describe the work you wish to resume. Several important factors will help to determine when it is right for you to resume work:
- How reasonable is the assumption that you will stay free of disease in the (near) future?
- Are there side-effects or consequences of your cancer which could affect your performance and ability to get back to your work?
- What is your physical condition?
It is clear that a physically demanding job will be difficult to resume if you feel weak and fatigued. You may, in that case, need a longer recovery time and/or specific rehabilitation.
Supposing your doctor considers you are able to work and that your former workplace welcomes you back, the next step is to talk with your employer. In case you are worried about taking on a full workload there may be an opportunity to discuss a suitable transition plan. You might propose to set up a meeting with your supervisor and the human resources department, or even the company’s work physician.
You may or may not wish to share your diagnosis in your work environment. As the diagnosis is highly confidential, this decision is entirely up to you and will depend on your confidence and relationship with your co-workers.
It is very much in your interest to have clarity with your employer about your physical and psychological limitations. This is essential to setting up a realistic transition plan and to finding suitable solutions. You may also discuss the possibility of flexible work arrangements such as part-time work, teleworking, job sharing or reassignment to another position. Furthermore, you can also establish your need for periodic work breaks to take medications, in consultation with your medical team. Larger enterprises might have policies in place for such situations, therefore it is wise to check with your human resources department.
Before providing some benefits in your working environment, the employer may request documentation of your limitations and comorbidities. Nevertheless, the employer has no right to access or to ask for your medical records. It is possible that an employer may deny some requests for accommodations, using the excuse that they could be financially damaging. However, in that case, the employer should also determine if there is an easier and less costly arrangement, that could meet your needs.
Not all EU countries have established legal frameworks for the reintegration of cancer survivors in the workplace. However, more and more countries are developing specific legislation to support and protect cancer survivors’ return to work.
In Italy, for example, the law allows patients working in the public and private sector to switch from full-time to part-time while under treatment and to revert to full-time according to their needs and capabilities. Within the same legal framework, relatives (caregivers) of cancer patients are given priority access to part-time applications if requested, as long as there are positions available within the company.
Similar provisions exist already in France and the UK. All EU governments have been asked to implement similar measures in the framework of the EU initiative CanCon (www.cancercontrol.eu).
**Talking with colleagues and dealing with the new balances in the work environment**
It is entirely your decision when and how to tell your colleagues about your cancer experience, if you decide to talk about it at all. It is a very sensitive matter and only you should decide how you are going to handle it. You should also consider that talking with your colleagues and sharing your concerns about your possible limitations and your plans about work with them may help your colleagues to understand your condition. It is important to keep your explanations simple and let people know how your return to work will affect them.
In many cases, you will have to deal with new balances in the work environment. Others may have taken over, or will take over your responsibilities. Maybe they will receive a promotion that you counted on earlier. Try to talk about your concerns and future vision and hopes with your employer. Maybe the employer can offer you a plan or strategy for your future. It is also important to try to talk with other colleagues and especially with those you are very close to. Some employers and colleagues may not respond well. Their reactions may relate to their lack of familiarity with cancer or with the competition of the work environment, but you should find at least some understanding from people who may be protective, supportive and caring towards you.
Dealing with discrimination
It is possible that some survivors will be treated unfairly and may have to deal with discriminatory behaviour. It is very important to recognise such behaviour and to deal with it actively. You should keep in mind that there are laws and regulations that prohibit discrimination which have been made for your protection.
Some examples of potentially discriminatory behaviours are:
- Isolation from other colleagues, or from colleagues who used to be close to you.
- Unexpected underestimation of your work ability and of your work efficacy.
- Having a job promotion withheld without explanation.
- Lack of understanding and/or flexibility concerning your requests to be absent because of your medical appointments.
- Statements from management or from colleagues that your productivity and performance are below the company standards or that your requests may financially damage the company.
Besides the laws and regulations that you can fall back on, you can also proactively and directly lower the risk of discriminative behaviour by:
- Trying to be motivated and expressing openly that you intend to reach your normal standards of work.
- Refreshing your job skills.
- Talking with your supervisor and your colleagues before your return and clarifying with them your limitations and a feasible transitional programme.
- Getting advice from other survivors on how to return smoothly to work.
- Asking your doctor to provide you with a letter confirming your ability to return to work or defining as precisely as possible any restrictions in your abilities.
Finding a new job
Some cancer survivors may have lost their job during treatment. The cancer experience may lead other survivors to revise their life expectations and reshape their career priorities. That could cause them to question whether they should continue on their current career path. Finally, there are also survivors who are unable or unwilling to return to their previous work environment. In all of these situations finding a new job is either a necessity or the better solution.
Important issues to consider when looking for a new job in the survivorship experience are:
- Try to find a job that is compatible with your new life priorities and your new life expectations.
- Try to find a job which ensures you enough flexibility to attend to your medical appointments and needs.
- Try to be honest and open with your new work colleagues, including your employer, about your condition and your possible limitations. A healthy and honest relationship is also the way to ensure supportive and understanding behaviour from your new colleagues.
- You should know that the employer has no legal right to ask you about your medical history, including the cancer period. The employer must also share about your history of cancer and any other medical information confidential. However, the employer does have the right to ask questions about your abilities and questions related to your capacity to fulfil special duties.
• Seek help from a career counsellor or a social worker, to advise you or to give you some tips about the interview process.
• Try to find cancer survivors who have changed their work environment. You can receive very useful advice about where to look for work, how to behave and what questions to expect. They may also suggest a support group that addresses work-related issues. In such support groups, you may find tips on finding part time work or other social support, as well as networking with potential employers and information about potential job openings.
**Finding new hobbies and interests**
Let’s not forget: there’s not only work but leisure in life!
Maybe you were a surfer, a mountain climber or a model-maker in your leisure time before getting sick, and maybe you are not able to pursue your hobby due to your physical condition and consequences of treatment. We already mentioned that your cancer experience could reset your life priorities and stimulate a need to look for new centres of interest. Maybe now is even the time to do things that you always wanted to do in your free time!
It is important to find interests and hobbies, which can give you pleasure and enhance your sense of well-being. Finding new hobbies such as sports activities, dancing, painting, travelling, can help you improve your physical and mental health. Achieving new goals (becoming closer to friends and family members) can make you feel stronger and can help you regain your self-confidence.
6. **Managing your finances**
Treating cancer is very expensive. Direct cancer treatment costs are fortunately covered in most European countries entirely by the health system or insurance. Nevertheless, reimbursement is not uniform in all European countries and new and sophisticated therapies, in particular, may be not be reimbursed in some cases. Supportive treatments (psychosocial services, anticough medicine, pain killers, gastric protectors, gastric tube feeding etc.) may require the patient’s financial contribution to some degree, in addition to consultation and diagnostic fees, etc. Even though these contributions will mostly represent a small percentage of the total costs, they may still be substantial for the patient’s budget. Loss of income due to the inability to work may add a further major financial strain. These conditions may cause financial stress and make it difficult for many people to pay both medical and household expenses.
Managing your finances and dealing with financial difficulties are very important aspects of the survivorship experience. For many people, it is a major concern to be addressed as a priority as soon as the active treatment period ends.
Do you have ongoing expenses? Are you worried about not being able to deal with them? In that case, compile all of your expenses and try to set priorities. It is very important to organise the expenses well (i.e. into categories such as household bills, medical expenses, taxes or credit cards). Can you postpone certain payments to a later point of time? What has to be paid immediately? If you realise that your current income is insufficient to cover your ongoing expenses, try to find alternatives. Some of them could be:
- Talk as soon as possible to your creditors in order to obtain more favourable payment conditions.
- Some insurance policies offer (under certain circumstances) to pay bills directly instead of them being settled first by the patient: inquire whether this could be possible in your case. If required, ask your doctor to prepare a supporting document.
- Examine the existence and eligibility criteria for forms of public assistance (i.e. temporary grants, supports or a disability pension).
- Some support may be provided by patient groups and other non-profit organisations.
- Your local or hospital social worker may help you in these inquiries.
- Consider other sources of income.
- Maybe you can find help through your family or friends.
CHAPTER C
Preventive health - What lifestyle changes can I make to achieve optimal physical and emotional health?
All survivors should be encouraged to achieve and maintain a healthy lifestyle. The reason for this is that research has clearly shown that a healthy lifestyle is not only associated with better physical health, but also with an improved quality of life and a longer overall life expectancy. Furthermore, several studies show a relationship between healthy lifestyle and prevention of a new cancer, as well as reduced risk of cancer recurrence and longer survival.
Because cancer survivors are at increased risk for second cancers and other medical conditions that can affect both physical and mental health, you are encouraged to follow recommended lifestyle guidelines. These include engaging in regular moderate to vigorous physical activity, achieving and maintaining a healthy body weight or losing weight if you are overweight, minimising alcohol intake, avoiding smoking and other tobacco products as well as practicing sun safety. You should also pay special attention to the recommended immunisation (vaccination) regimens and the prevention of infections.
Cancer survivors may be motivated to make lifestyle behaviour changes for a number of reasons, including:
- Reducing the risk of recurrence of original disease or risk of a second primary cancer.
- Reducing the risk of cancer-related late side-effects, such as physical and emotional problems that may develop long after completion of treatment.
- Managing persistent symptoms and side-effects, such as cancer-related fatigue, that linger after the completion of treatment and that respond well to practices such as exercise.
- Reducing the risk of other chronic diseases, such as diabetes and cardiovascular diseases.
- Improving overall health and well-being (quality of life).
- Reducing the risk of mortality.
Many cancer survivors have unanswered questions about what is safe and what is not safe to do regarding eating and exercising, both during and after the completion of treatment. For example, you may be asking yourself the following questions:
- Should I change what I eat and, if so, how?
- Should I try to lose or gain weight?
- Should I take vitamins or other dietary supplements and, if so, which ones?
Survivorship
- Is it safe for me to exercise?
- If it is safe for me to exercise, what types of exercises should I do, how often should I exercise and how strenuous should my exercise regimen be?
- What sources of information on diet and exercise should I seek out and trust?
- In addition to diet, exercise and weight management, what other lifestyle changes should I make?
- Should I change my priorities in life?
1. Healthy lifestyles
Practicing a healthy lifestyle is an important step in reducing your risk of cancer recurrence and second primary cancers, as well as improving your overall well-being, including your physical and emotional health. A healthy lifestyle includes following established recommendations like engaging in regular physical activity, eating a healthy diet, achieving and maintaining a normal body weight, and managing stress. In the sections below, we will review each of these factors in greater detail and provide advice and tips on how to achieve your goals in each area.
Physical activity
One of the cornerstones of a healthy lifestyle is physical activity. Physical activity and exercise should be tailored to your abilities and preferences. According to doctor-approved recommended guidelines, you should engage in at least 150 minutes of moderate-to vigorous physical activity per week. This could include 150 minutes of moderate exercise or physical activity, such as walking, stretching, dancing, water aerobics and yoga, or 75 minutes of vigorous exercise per week, such as biking, hiking, jogging, running and swimming. It is also recommended to minimise the amount of time you engage in sedentary behaviours, such as sitting for a long period in front of a computer or television set. Instead, try to seek more active alternatives while you are at home or at work. For example, instead of taking the lift, use the stairs. You could also choose to walk or ride a bike instead of driving a car or taking public transportation. Finally, be sure to get up and walk around for 5 or 10 minute each hour, even if you are busy. Research suggests that just getting up and moving around from a seated a position several times a day reduces your risk of several physical conditions and improves your overall health.
Remember that exercising regularly not only improves your physical health, it can also help reduce anxiety, fatigue and stress and can improve your self-confidence. It could also help you either to lose weight or maintain a healthy weight. Exercising is also associated with significant reduction in the risk of heart disease, diabetes, and high blood pressure. Furthermore, studies have shown the possible correlation between exercising and prevention of recurrence of several different types of cancer. This risk reduction is independent of your exercise level in the past! Even if you never were a big "exerciser", starting and continuing to be physically active as of now will give you the same benefits over time.
You may feel that your motivation to exercise is reduced or you have some limitations that prevent you from being physically active. Challenge the idea that exercise must mean walking, jogging or going to the gym. Any activity is good for you and could include things like gardening, playing with grandchildren or doing housework. Some strategies and methods in order to increase your motivation and overcome possible limitations include:
- Motivational counselling.
- Personal training.
- Fitness expert recommendations.
- Doing activities with others or as a group (peer support).
- Talking with other survivors and letting them explain the changes they have noticed in their quality of life through physical activity.
**Nutrition and weight management**
Having a balanced diet and maintaining or achieving a healthy weight is an important part of a healthy lifestyle. Eating more healthily and having a normal weight are associated with reduced risk of heart disease, obesity and diabetes. In addition, some research has proven that cancer survivors who eat more healthily may have a reduced risk of cancer recurrence.
Giving advice or recommendations about nutritional habits is difficult, because you each have your own personal preferences. Nevertheless, there are some tips to help you in having a balanced diet:
- Try to eat mostly plant-based food – this means limiting the amount of animal products and adding more fruits and vegetables.
- Increase the daily intake of fruits, vegetables and whole grains – a good rule of thumb is to try to consume 5 servings of vegetables and 2 servings of fruits daily (1 cup, e.g. of broccoli = 1 serving). Also, try to eat more pulses (beans or legumes).
- Reduce the intake of processed foods, red meat, fats and alcohol.
- Reduce intake of energy-dense foods, such as sugary drinks, fast-food, and sweets or candies.
- Limit consumption of alcohol (e.g. beer, wine, or spirits) to no more than two drinks per day for men and one drink per day for women.
Survivorship
- Reduce the portion size and increase the meal frequency.
- Reduce snacking habits and the frequency of eating out.
- Increase the variety and ensure the adequate intake of nutrients.
- Dietary supplements are NOT recommended for cancer survivors.
Another aspect of the healthy lifestyle is weight management. Weight management refers to your ability to achieve and maintain a normal body weight for your height, age, and gender. You can look up what is considered a “normal weight” for you based on your personal characteristics on the internet. Of course, you should always consult with your family doctor and perhaps a dietary specialist such as a registered dietician who is familiar with the unique needs of cancer survivors before changing your diet. It is generally recommended to choose a diet that is in line with accepted lifestyle recommendations for cancer survivors and that can help you achieve the normal weight. One issue to deal with is whether you need to lose or gain weight. For some survivors, trying to regain the weight you lost during the therapy period may be the goal. However, for others, it may be recommended that you try to lose some weight to get to the normal body weight. In most circumstances achieving and maintaining a healthy weight can positively affect your everyday life and can increase your self-confidence, not to mention lowering your risk for a number of physical health conditions.
If you find weight management difficult, it is a good idea to seek help from a trained professional. You can be advised by specialised providers (for example nutritionists) and you could discuss weight management strategies with them, focusing on how to gain or lose weight depending on your weight status. Again, the goal is to achieve and maintain the normal weight.
In some cases, for other health problems such as osteoporosis, cirrhosis, ophthalmological disorders, arthritis, etc. and inadequate diet, the use of supplements is necessary. If you don’t have such a problem, you should bear in mind that supplements should not substitute for regular meals and intake nutrients through your food/meals.
Stress management
Remember that some stress is a normal part of life and stress helps us to manage to get to appointments on time and keep important deadlines. However, for some people, high levels of stress can affect quality of life. Learning to manage your stress can improve your quality of life and your self-esteem.
Tips to manage stress:
- Ask for expert help (psychologist and psychiatrist).
- Talk about the stressful things with your friends.
- Ask for advice from other survivors, about ways they have managed their stress.
- Participate in support groups.
- Get involved with other activities such as meditation, yoga, exercise, new hobbies etc.
In addition to seeking help from others regarding stress management, there are number of practices you can easily learn and use on your own to control stress. These include:
- **Deep breathing:** Often, when you become stressed, you may notice that your breathing becomes quick and shallow. This may actually increase your heart rate and make you feel more stressed. To counter-act this effect, an easy strategy to use is to deliberately slow down your breath through a technique called deep breathing. To do this, find a comfortable position, and close your eyes. Take a deep breath, inhaling slowly until you feel your abdomen fill to capacity. Then, slowly release your breath; for some people counting to 5 as you breathe in and out helps. Repeat this practice 3 or 4 times until you feel a calmness and relaxation that comes over your body.
- **Guided imagery:** An effective strategy to manage stress is to distract yourself from the stressful situation. For example, if you experience pain, fatigue, or anxiety, you can use a technique called guided imagery to distract you from that symptom. Here’s how it works: Sit or lie down in a comfortable position in a quiet place. Then, use your imagination to create in your mind a place where you feel calm, relaxed and happy. In other words, go to your “happy place” in your mind. For some people, it might be the beach while for others it might be a flower-filled meadow. All that matters is that it is YOUR place of happiness and serenity. Try to really imagine yourself in that place by focusing on all the sensory characteristics, such as the visual sights, the sounds, the smells, and the tactile feeling of being in that place. This strategy has also been shown to be effective in managing symptoms as well as controlling stress.
- **Learning to deal with unhelpful thoughts:** Common sources of stress are fear about your health and your future. These thoughts are natural, however sometimes they can become intense and dominate our thinking. When this happens, the thoughts are unhelpful. To deal with these unhelpful thoughts, try to be aware of your thinking and use some “self-talk” to address it. Here’s how it works: when you notice that a fearful thought enters your mind, allow yourself to acknowledge that this thought is understandable given what has happened. For example, if you have the thought “I am afraid that I cannot cope with the long-term side-effects of my cancer and its treatment”, allow yourself to think “Well, I guess most people in my situation would feel anxious about that.” Just not being self-critical is likely to help you to feel less stressed. The next step is to ask yourself if there are any other ways to look at the situation, for example: “Do I have anyone I could ask for help?” or “Maybe I should discuss this with my doctor so that we can work out how to handle things?” or even “I can’t be the first person who has felt like that – maybe I can find out what have other people done.” Using positive self-messages is also useful.
- **Progressive muscle relaxation:** When we are stressed, our body often becomes tense, perhaps even without us noticing it. To counteract this effect, you can use a strategy called progressive muscle relaxation. Here’s how it works: Moving progressively through the major muscle groups of your body, starting with your head and neck and moving down your body to your legs and feet, you first tighten those muscles and hold that position for 5 seconds, taking notice of how it feels for those muscles to be constricted. Then, you release the muscle, focusing on how it feels to be relaxed. The idea here is to begin to be able to recognise how it feels to be stressed versus how it feels to be relaxed, and to ultimately be able to put yourself in a state of relaxation through this strategy.
There are many other methods you can use to manage the stress, including both pharmacological (e.g. medications) and non-pharmacological (e.g. behavioural strategies such as those described above). First, try talking with your family members and health care providers to get suggestions and help in managing your
stress. You may be surprised how willing they are to help. In addition, it is a good idea to go online and read about other self-help methods you can use to control the stress. There are many reliable sources online with excellent suggestions. Give a few of these techniques a try and see what works best for you!
2. What to avoid
Reducing alcohol consumption
Reducing or even avoiding the consumption of alcohol is also an important aspect in order to achieve a healthy lifestyle.
Excessive consumption of alcohol decreases your performance status (physical fitness) and can lead to behavioural changes and problems in your work place as well as your personal relationships. Furthermore, it has long been known that high alcohol consumption is associated with an increased risk of cirrhosis and neurological problems.
Studies have also shown that drinking alcohol can increase the risk of developing a number of cancers, such as cancer of the mouth, throat, larynx (voice box), oesophagus (tube that connects the throat to the stomach), liver, breast and large bowel.
Moderate alcohol intake could have positive effects to heart function, but this aspect should be weighed against the other risks that have been mentioned regarding cancer.
Smoking cessation
It is widely known that smoking is directly associated with many types of cancer, among them lung, throat, mouth, oesophagus, bladder, larynx, pancreas. In addition, smoking increases the risk of heart disease, high blood pressure, lung disease (chronic obstructive pulmonary disease) and sexual dysfunction.
Tobacco contains nicotine, a highly addictive substance which can make it difficult to stop smoking or using smokeless forms of tobacco.
While some tobacco users can stop on their own, many individuals need help to quit. Fortunately, there are numerous strategies and products on the market today to help with smoking cessation and ending tobacco use. Remember that, although some people will be able to stop smoking on their first attempt, for many this is not the case. If you try to stop and don’t succeed, don’t be disheartened as many people find that they are successful if they persist.
Here is some useful advice for smoking cessation:
- The most effective method for smoking cessation is the combination of behaviour therapy and pharmacological therapy (medications such as nicotine patches or gum). In other words, the combination of professional support with the use of nicotine substitutions.
Smoking status should be documented in the personal health record. In case of relapse after a period of successful smoking cessation, don’t give up. Set a new quit date, seek help from others or join a smoking cessation programme and use nicotine replacement products if necessary.
Acupuncture or other alternative smoking cessation strategies might help you.
**Avoidance of excessive exposure to UV radiation**
Nowadays, it is widely known that the excessive exposure to UV radiation can cause skin problems and, especially, can increase the risk of melanoma, which can be a deadly form of cancer. Despite this knowledge, research has shown that the level of motivation for skin cancer prevention is low not only in the general population, but also among cancer survivors.
It is, therefore, very important to be motivated and to keep in mind some simple things in order to avoid skin cancer. The avoidance of excessive exposure to UV radiation is considered to be of primary importance. If you plan to be exposed to sunlight, use sun protection strategies including avoiding peak UV hours (between 10 am and 3 pm), applying sunscreen lotion (at least 60 SPF), wearing UV protective cloths including a hat, sunglass, and long-sleeve shirt. Be sure to reapply sunscreen lotion after bathing or sweating as its efficacy wears off with water and perspiration.
**Avoiding worsening side-effects through the use of specific drugs**
For many survivors coping with *side-effects* caused from cancer or the treatment is a reality. These *side-effects* could be kidney problems, sexual dysfunction, *peripheral neuropathy* (*polyneuropathy*), digestive problems, *immunosuppression* and *thromboembolism* risk.
The use of certain drugs could worsen these *side-effects*. In order to avoid such a situation, have in mind to:
- Get advice from your *oncologist* when in doubt about the risk of using a new drug.
- When getting treatment for another disease, remind your family doctor in order to avoid the prescription of a drug which will interact with your cancer treatment.
- Ask your pharmacist about the possible *side-effects* of drugs which do not need prescription (over-the-counter medications) or for the possible *side-effects* of supplements.
- Read carefully the leaflets in the drug packs.
### 3. Infections and vaccinations
Infections may have been a serious threat to you during your active treatment. Since many anticancer treatments significantly lower your body’s capability to fight back infections, because they are “*immunosuppressants*”, your *oncologist* most likely discussed with you certain precautions to take (i.e. staying away from infected persons, etc.) during therapy. Your *oncologist* also most certainly advised you to ask for medical assistance in case of fever or other signs of acute infection. As treatments vary quite substantially both in their general risk to affect your immunity and exposure to very specific infection risks (i.e. fungal infections, etc.), the advice given to you is not necessarily the same as that given to the patient next to you in the waiting room… Some patients may even have to refrain from eating raw vegetables or cheeses!
So, now that you enter survivorship, you may ask yourself what your present risk for infection is and whether the same behavioural rules which applied during your treatment still remain valid?
Let us be clear: this booklet will not give you a clear answer to this, as it very much depends both on your type and stage of cancer, your past treatments, but also how old, how “fit” you are and whether you have any other diseases (i.e. chronic bronchitis, diabetes), etc. To know exactly what you may (still) need to watch out for, please discuss this individually with your oncologist and family doctor. We will, however, try to give you some general considerations.
**How will I have to deal with infections? What do I have to do to prevent them?**
Your oncologist has certainly warned you about your risk of potentially serious infection with rapid evolution, while you were still on active treatment.
The good news for most of you is: if you are no longer receiving active treatment, the risks of infection will taper off and, progressively, you will be able to lead a “normal life” again, meaning that you will no longer require specific precautions at some point in time. In medical terms, you will slowly come from a state of immune deficiency (the inability to properly fight back infections) to one of being “immune competent.”
The crucial point is that it will not happen overnight, just after the last active treatment has ended; it will happen GRADUALLY.
**So when will you know that you have come back to a normal immune defence, and how will you know?**
In fact, you may not necessarily feel the answer, or see it in your regular medical analyses, in the blood or elsewhere.
Some cancer treatments do not significantly compromise your immune defence system (e.g. anti-hormonal treatments, some targeted therapies).
Many chemotherapy regimens (i.e. adjuvant treatment for colorectal cancer) will need only weeks until the immune system has recovered enough to provide you with sufficient protection: in case of symptoms, you may still wish to seek medical advice, but you will most probably be able to cope with your infection just the way you did before; if the infection does not seem serious (i.e. a common cold), you may treat it with over-the-counter remedies, wait for symptoms to improve and seek medical review if symptoms worsen or persist.
On the other hand, a risk of prolonged immunosuppression will be a consequence of some intensive treatments, such as an allograft: your immune depression will be long-lasting and severe and you will have to be particularly observant about infectious symptoms, avoid crowded places, certain foods, etc.
There are treatments (i.e. lymphoma treatments), which may seem very “harmless” in their side-effect profile, but may keep you at risk for some specific infections even for years (e.g. specific respiratory infections).
Finally, some patients may have long ago terminated their “active” treatment, but still remain under immune depressants (cortisone, immune modulatory drugs, etc.).
So, how do you know?
You should ask your oncologist about your risk for infections. Even though he/she will most certainly not be able to predict whether you will get sick or not in the near future, he/she will be able to point out your probable risk, and discuss with you and your family doctor possible infections to be especially considered in case of specific symptoms.
If you have completed your chemotherapy or other form of active treatment only recently, and not had a chance to discuss these items with your oncologist, it might be wise to stick to the same precautions you were supposed to follow DURING the treatment, being:
- Talk as soon as possible to your doctor and describe your symptoms.
- In case of high fever or acute problems with breathing try to go as quickly as possible to the hospital.
- Your doctor may prescribe an antibiotic treatment immediately in the case of a suspected severe infection. For patients with severe acute or chronic immune deficiencies this can be life-saving!
Let us emphasise: You have accomplished your active treatment, you are in survivorship now. This means that you most certainly should GRADUALLY come “back to a normal life” again, which obviously includes public transportation, meeting friends in social settings or going to a swimming pool.
Time and good medical advice will bring you confidence on your road “back to normal”.
Vaccinations (=immunisations)
Of course, you are able to prevent certain infections through vaccinations. Think about the yearly flu vaccination generally carried out throughout Europe.
Oncologists and family doctors encourage the administration of most vaccines. Of course, whenever possible, these are best carried out before treatment starts, since the efficiency of the vaccine may not be the same under immune depressing treatment. This is not always possible. Many vaccinations can be performed safely during treatment. You may want to check now which vaccines you already received in the near past!
The recommendation for vaccinations remains fully valid during survivorship and covers people with all cancer types as well as transplant survivors. Your family doctor is qualified to check your vaccination status and identify potential vaccinations you should undergo, or you may consult with your oncologist.
Measles, Mumps, Rubella, and Varicella vaccine should be administered if immunisation is no longer sufficient. This vaccine should NOT be administered during chemotherapy. Tetanus and diphtheria immunisation titres should be checked, a booster administered if necessary. Pneumococcal vaccine should be made outside the treatment period (since this vaccine is often not efficient when applied during “stronger” chemotherapy). Polio should be administered as inactivated vaccine. Influenza (flu) vaccine should be administered annually. HPV vaccine can be administered where appropriate, also hepatitis A, B vaccines.
It is not always clearly predictable whether a vaccine will work in your body as well as in an “immune competent” person.
Most vaccines are safe to administer: They do not contain any “living” germs being inactivated or not.
They can have different **active ingredients** (inactivated viruses, such as the flu vaccine), vaccines made of only parts of bacteria (such as the vaccine of diphtheria-tetanus-perfussis), sometimes only as **antigens** (*purified*, such as the vaccine of pneumococcus) or genetically engineered (**recombinant antigens**, such as the vaccine for hepatitis B).
Caution should mainly prevail concerning the use of (**attenuated**) **live** vaccines (which are fortunately nowadays rare in general use, but may still be without alternative for some diseases such as yellow fever, measles/mumps/rubella, some polio, etc.). Live viral vaccines should be administrated 4 or more weeks before **chemotherapy** and 3 or more months after cancer treatment. In case you still receive **monoclonal antibodies** against **B-lymphocytes**, you should wait for 6 months after having ended this treatment. Other conditions may require similar caution: ask your **oncologist**.
Ask your **oncologist**/family doctor about the appropriate time to apply these vaccines.
1. Detection and management of treatment- or tumour-related symptoms
Most of you expect to experience side-effects, mainly during the treatment phase. However, you may discover that some of these side-effects can linger for long periods after treatment ends and may take time to settle. These are sometimes referred to as long-term, persistent or chronic effects of cancer. Still other effects of cancer can develop weeks, months or even years after therapy ends. These are often referred to as late effects of cancer. These latter are generally specific to certain types of treatment and usually develop within a defined period of time.
Talk with your doctor and let him/her know that you want more information about cancer’s long term and possible late effects. Your doctor will be able to help you with ongoing effects, and also tell you if you are at risk of developing any late occurring side-effects, depending on the type of cancer and therapy you have taken, possible genetic or family risk, and your overall health. Your doctor may also help you to distinguish true side-effects of cancer from symptoms not related to your treatment or disease, such as those due simply to getting older.
Chemotherapy-induced nausea and vomiting
Chemotherapy-induced nausea and vomiting remains an important adverse effect of treatment, despite recent advances in prevention. It is classified as acute, delayed and anticipatory (days or weeks after therapy). The risk of having nausea or vomiting depends on the particular chemotherapy agent, on the type of tumour and on the existence of other therapy (surgery, radiotherapy, etc.).
New drugs for the management of chemotherapy-induced nausea and vomiting have significantly improved the control of these symptoms and therefore the quality of life. Your doctor will inform you, if you are at high risk for having nausea and vomiting and will give you the necessary instructions on how to deal with it.
There should not be a high risk for you to develop or continue to have nausea and vomiting AFTER your treatment has been completed. Some patients experience nausea and occasionally vomiting when exposed to smells, sights or situations which remind them of their past chemotherapy. This type of nausea and vomiting responds well to psychological treatments. If this reaction affects you it is important to ask your doctor for a referral for assistance. Should this response occur much later on, nausea and vomiting may very well also signal other disorders (e.g. gut infection, etc.). Talk to your doctor about these experiences to ensure they are appropriately addressed.
Pain and peripheral neuropathy
Pain is one of the most serious concerns for the majority of cancer patients (and therefore for doctors as well). Pain is a highly prevalent symptom in patients with cancer. Many of you will have to deal with pain even after the end of the treatment. Pain is considered chronic when it persists for over 3 months. Adequate pain relief can be achieved in 70–90% of patients when treatment guidelines for cancer pain are followed. When pain occurs, help should be sought for this symptom as soon as possible to avoid, when possible, the pain becoming chronic (which may be more difficult to treat). There are many options for drugs to alleviate pain symptoms, the choice of which will depend on the cause, type and level of pain you are experiencing. Describe to your doctor the exact symptoms you are having and their effect on your ability to function. These details can
help to better inform the decision about which treatment may be right for you. Generally, physicians will start with mild or low dose pain medications and only move up to something stronger if you do not experience relief from your symptoms. Opioids (including true “morphines”) are effective analgesics for moderate to severe cancer pain. Use of morphine needs special prescription procedures as these drugs are potentially addictive and abusable drugs. When prescribed for a medical reason and professionally supervised, these drugs are, however, very efficient and may be maintained for a long duration safely with few side-effects. Your doctor will explain to you in detail all possible side-effects and risks associated with their use. (Your doctor will assume responsibility for risk assessment and management when these drugs are prescribed for medical purposes).
Patients treated with certain anti-hormonal medications for breast cancer (so-called “anti-aromatases”) may experience bone or joint pain and be worried. If you are concerned about this side-effect discuss management with your doctor.
Peripheral neuropathy is a disorder that occurs when the nerves that connect your central nervous system (brain, spinal cord) to the rest of your body are damaged. This damage can be caused by specific drugs and, although less common, by radiation therapy or by the tumour itself. Unfortunately, several essential chemotherapeutic agents can cause long lasting neuropathy, even after treatment has been stopped. Characteristically, you will note symptoms evolving from the ends of your extremities: You can develop numbness, tingling, a feeling like you’re wearing a tight glove or sock, sharp/stabbing pain, thinning of the skin, muscle weakness etc. arising in the hands or feet, gradually progressing to the limbs and arms if the condition worsens. These symptoms, although usually improving gradually post-treatment, may be irreversible. Full recovery can take months, or even years. Symptoms can be alleviated with systemic pain killers or with local therapies, even though they may be difficult to treat. It is important to discuss these symptoms with your doctor even if they seem very mild.
Bone loss with the possibility of subsequent osteoporosis
“Bone” pain and joint pain could be also a common side-effect for many of you. These side-effects appear mainly in cancer survivors who received hormonal therapy and steroid (cortisone) therapy and secondarily in survivors who received specific chemotherapeutic drugs. It can, however, also be a general consequence of immobilisation, weight loss, etc.
You might want to determine with your doctor first, what exactly your pain is due to, as joint and muscle pain may simply be due to prolonged immobilisation and lack of exercise. Remember what it feels like to hike or ride a bike after you have remained inactive: you’ll experience pain which should progressively taper off or lessen as you reasonably continue to train.
If you suffer from degenerative joint problems, such as arthrosis, muscle wasting or are taking some medications such as steroids, your symptoms may worsen in the long run, which again may require more careful exercise training. You may wish to seek expert advice on how best to recondition your body (physiotherapist, exercise physiologist, etc.).
Finally, you may suffer from a condition called osteoporosis which is also common in the general
population. It is important to state that only some of you will actually experience symptoms from osteoporosis, as this disease may long remain silent and only manifest itself in case of complications (such as fractures). Osteoporosis can be detected through a specific radiological examination called osteodensitometry.
Osteoporosis, which represents progressive bone loss that leads to thickness and weakness of the bones, results, as a consequence, in high risk of bone pain and bone fractures. Postmenopausal female cancer survivors may be at increased risk for developing osteoporosis.
We would like to suggest special caution to this group of survivors.
Ask your doctor if you might be at risk for osteoporosis. Your doctor will give you advice both for diagnosis and management (regular measurement of bone density, regular intake of medication, everyday habits that can strengthen the bones).
There are specific drugs which slow the bone loss and reduce significant the risk of bone fractions. Additionally, you can minimise the risk of osteoporosis by making changes in your everyday life such as eating foods rich in calcium and vitamin D, avoiding smoking and – most of all - engaging in regular physical activity.
**Mucosal, dental and soft tissue problems of the head and neck**
Skin, mucosal or soft tissues can also be affected during treatment. The most common complaints are sore mouth, swollen gums and dental caries. Most of these effects recede over time, although full recovery can take weeks or months. If you have experienced marked weight loss as a result of treatment you may require review of dental prostheses. Patients who have been treated for head and neck cancer often experience dry mouth through salivary gland loss of function and need to follow regular mouth care to reduce the chance of developing dental caries. This regimen needs to continue long-term. Ask your dentist and your oncologist for advice if you have persisting symptoms.
**Skin toxicity**
Dry skin is frequently observed after chemotherapy. Some treatments may also cause eczema-like or acne-like skin toxicity (specifically several targeted treatments, but also some chemotherapy drugs). Usually, these disorders will either resolve spontaneously, or respond to hydrating lotions. Some may require specific treatments (i.e. antibiotics) according to your doctor or dermatologist. Make sure your dermatologist knows that you are/were receiving anti-cancer agents, so there is no confusion about your condition in term of other possible diseases.
Lymphoedema
All of us drain lymphatic fluid via lymphatic vessels throughout our body. These vessels pass through lymphatic nodes and remain (even though located mostly superficially under the skin) unlike blood vessels, invisible to us in normal times.
Whenever this drainage system is impaired, the lymphatic fluid may become blocked and will accumulate, leading to tissue swelling (which we call lymphoedema). Symptoms of peripheral lymphoedema include extremity swelling, skin changes, limb pain and discomfort, restricted range of motion, and non-pitting oedema.
As the treatment of cancers often not only need the treatment of the local tumour, but also of its surrounding lymph node areas, these may then affect the regional drainage.
Lymphoedema may be the consequence of surgical removal, or regional irradiation. It may unfortunately also sometimes be a consequence of a cancer’s lymphatic spread. Finally, it may be caused by local infections and other non-cancerous conditions.
Lymphoedema affects mostly the arms and legs, mainly in people treated for breast cancer or genitourinary cancers. However, other parts of the body can also be affected by the lymphoedema, (i.e. including below the chin or in the face), again, depending on the nature and treatment of the cancer.
Multimodal therapy for lymphoedema consists of general measures, such as physiotherapy, and compression therapy. Successful conservative treatments may need to be administered in clinics with expertise in the treatment of lymphoedema. Pharmacological treatments are not generally used as no drug has yet been shown to be beneficial.
Cardiovascular problems
Heart problems and drug-induced cardiac toxicity
Many patients will have cardiovascular diseases (such as high blood pressure or coronary heart disease) which they “brought along” when entering anticancer treatment. These conditions may have worsened during and after the treatment for diverse reasons, some treatment-related, others not. Potential risk factors for the development of heart problems are radiation therapy (to the area of the heart) and specific types of chemotherapy (i.e. anthracyclines), or targeted therapies (i.e. trastuzumab or sunitinib). You may have been informed about these side-effects before start of these specific treatments.
Survivors who may have a higher risk include those:
- Older than 65.
- Who had heart problems before cancer treatment.
- Have other comorbidities like overweight or diabetes mellitus.
- Who received higher doses of certain chemotherapies and/or targeted treatments (specifically including trastuzumab and anthracyclines).
- Who received treatment (for instance for Hodgkin’s lymphoma) as a child.
For some cancer drugs (like those mentioned above), regular cardiac function monitoring (mainly echography) by a cardiologist is routinely recommended. Ask your doctor whether you should undergo a specialist’s exam.
New shortness of breath on exercise or at rest, swelling of the legs or palpitations could be a sign of possible heart problems.
Some drugs used to treat cancer (such as drugs targeting the vascular growth factor receptor) may strongly raise your blood pressure (even more if you had high blood pressure at the onset of your anticancer treatment). Some patients may even experience accelerated hypertension or a hypertensive crisis, meaning a severe and rapid rise in blood pressure to potentially acutely harmful levels. This condition requires immediate medical treatment (if not available at home, then in a hospital!). Discuss with your doctor whether you should monitor your blood pressure more closely, which actions you could perform at home, and when to seek medical assistance. Your doctor will also instruct you whether to seek specialist advice because, as mentioned above, drugs that target the vascular endothelial growth factor are a common cause of high blood pressure. Examples of these drugs include bevacizumab, sorafenib and sunitinib. The risk of high blood pressure decreases, often rapidly, to normal levels once a person stops taking these drugs.
Don’t forget that you can also play a role in maintaining good cardiac health; striving for a healthier diet and lifestyle habits (smoking cessation, exercise etc.) can be of great importance.
**Deep vein thrombosis / Pulmonary embolism**
As a cancer survivor, you may be at higher risk for deep vein thrombosis (DVT). In this condition, a blood clot forms in a deep vein, mainly in the lower limbs. If not treated properly, this clot can break off, travel to the lungs and block a blood vessel. This is called a pulmonary embolism (PE) and is a potentially life-threatening condition, if not recognised early enough and treated.
Risk for DVT and PE varies according to cancer type, stage, treatment and degree of immobilisation. You are generally at higher risk if you have ever experienced a DVT or PE before.
Look out for swelling in a foot, ankle, leg, or (less frequent) arm. You may notice pain, cramps, tenderness and tightening (often in the calf), redness (but sometimes also discolouration), and a warm and heavy sensation in your leg. Usually, these symptoms are one-sided (e.g. affect the right or left leg, not both at the same time).
In case of PE, you might experience light-headedness, sudden shortness of breath, irregular heartbeat, one sided chest pain and/or coughing up blood. These symptoms may vary in intensity. They are also not only experienced in case of DVT/PE and may be due to other conditions.
In case you experience any of these symptoms, be sure to speak to your **health care professional IMMEDIATELY**. The suspected diagnosis of DVT and PE will have to be confirmed by blood and ultrasound/radiological tests. The sooner diagnosis has been established and treatment initiated, the better the outcome and the chance to avoid complications.
Treatment is anticoagulant therapy during a prolonged period.
You can lower your risk for DVT/PE by keeping moving and staying well hydrated. Smoking cessation can also contribute to lowering risk. Some patients may benefit from compression socks/stockings. Discuss with your doctor about prevention measures.
Fatigue
Are you still feeling tired, without energy? Fatigue is the persistent feeling of emotional, physical, mental or psychological tiredness or exhaustion. It is one of the most common side-effects of cancer treatment. Fatigue is typically a multi-dimensional symptom (may show in a variety of different forms) and may have multiple contributing causes. Duration and intensity may vary markedly from patient to patient, depending not only on the type of cancer and treatments received, but also on other contributors such as existing diseases and medications taken for these, living and working conditions and psychological status.
There is unfortunately no simple medical treatment for this troubling condition. However, a number of studies have shown that behavioural interventions, in particular physical activity, can help alleviate cancer-related fatigue. An individualised programme of moderate aerobic exercise for cancer survivors with fatigue is highly recommended. Walking programmes are generally safe for most cancer survivors. Patients can begin this or other types of programmes after consulting with their doctors, without any formal exercise testing (electrocardiogram – ECG, a stress test). Patients at higher risk of injury (e.g. those with neuropathy, cardiomyopathy, or other long-term side-effects of anticancer therapy) may require exercise tests beforehand, and should be referred to a physical therapist or exercise specialist prior to embarking on an exercise programme. Breast cancer survivors with lymphoedema should consider meeting with an exercise specialist before initiating upper-body strength training exercises.
For the majority of survivors who are going to initiate an exercise programme, a re-exercise cardiovascular screening is not necessary, except for some specific categories of high risk groups such as:
- People with diabetes mellitus or cardiovascular heart disease.
- Patients who are at high risk for a cardiovascular disease because of other diseases or application of specific treatments (for example survivors who have had radiation of the mediastinum, or survivors who have taken anthracyclines).
It may however still be a useful test, as for anyone in the general population.
In addition, cognitive-behavioural interventional methods and yoga and/or mindfulness-based stress reduction methods can be very useful in the treatment of chronic fatigue and many survivors have reported a remarkable improvement of their symptoms using these techniques.
Other conditions may lead to fatigue (i.e. sleeping disorders will make you more tired during daytime; treat them and you may experience less fatigue!). However, it is important to note, that simply getting more sleep does not always reduce cancer-related fatigue.
Sleep disorders
Sleep disorders, such as trouble falling asleep, problems maintaining sleep, poor sleep efficiency, early awakening and excessive daytime sleepiness, are prevalent in people treated for cancer. Sometimes the problem can become chronic, persisting for months or years after completion of cancer therapy. Sleep is potentially affected by a variety of factors such as physical illness, pain, immobilisation, hospitalisation, drugs and other treatments for cancer, as well as the psychological impact of a malignant disease. Depression is common in people treated for cancer and problems with sleep are a common symptom of depression.
Maybe this is a time to seek psychological assistance! Your diagnosis and treatment may have affected you far more than you may have anticipated or perhaps permitted. Behavioural therapy has been shown to provide good results for management of sleep disorders. Try also to find time to engage in things which might improve your psychological well-being and reduce stress, such as hobbies or yoga.
In order to deal with sleeping disorders, sleep inducers (“hypnotics”) of various forms may also help you, at least for a limited time, even though they may carry the risk of addiction. Use of these medications, of course, should always be chosen based on which would be best for you, and prescribed by your doctor.
**Cognitive function – “Chemo-Brain”**
Many survivors complain of memory loss, difficulties concentrating, problems making complex decisions or juggling multiple tasks that we will refer to collectively as cognitive function problems. Some of you may prefer to use a more lay term, “Chemo-Brain,” to describe the difficulty you experience with trying to think clearly after cancer treatment (even though some survivors may not have received chemotherapy). Cognitive problems can appear in survivors who have had chemotherapy, who have had only hormonal therapy or to those who have had radiation to the brain or cranial surgery. Other factors, that can affect cognitive function could also be sleep disorders, anxiety/depression, fatigue, pain and pain medications or other physical illness. It is often difficult to understand causes except physiological, such as cognitive change (e.g. changes in brain function or structure) from other influencing factors such as fatigue due to treatment schedules, disease related fears and depression, etc.
Common cognitive problems reported in the post-treatment period are:
- Memory impairment (trouble remembering things).
- Inability to concentrate.
- Changes in executive function (lower ability to process information, make decisions), problems with multi-tasking.
- Difficulty learning new material/Reading comprehension.
- Troubling working with numbers (calculating).
We do not know why some people experience “chemo-brain” and others do not. Researchers are actively studying this area. The following strategies may be helpful:
- Perform challenging tasks at the time of day when you feel most refreshed.
- Divide tasks into smaller problems. Make notes and be prepared to ask for assistance.
- Avoid having the radio on when driving.
- Allow phone calls to go through to voice-message. Listen and respond to the call when you feel fresh and can concentrate. Take notes as you are talking.
- Develop habits and routine. For example, always leave your reading glasses beside the phone and you will know where to find them.
- Make notes for yourself of things to do/remember, and place them where you will see them.
Some computer programmes are showing promise in helping survivors improve their cognitive function after cancer. Your doctor can refer you to these or for psychological help as needed.
Depression and anxiety
Many people who have been treated for cancer experience depression or anxiety. Being upset or worried about the diagnosis and treatment are normal. For most people, these feelings improve over time. However, if you feel sad or worried most of the time, you cannot enjoy things, or you are avoiding friends and family or feel gloomy about the future, you may be depressed or anxious. People who are depressed or anxious often say things like “This just isn’t me.” “I just can’t seem to shake these worries”. There are a number of things which can contribute to becoming depressed or anxious.
- Past problems with depression or anxiety.
- Feeling isolated or lacking support.
- Having a lot of caring roles.
- Worry about money.
- A lot of complications during treatment.
- Ongoing side-effects of treatment or pain.
- Major changes in work, family or social life.
Becoming depressed or anxious is not a sign of weakness or that you aren’t trying to help yourself. The good news is that treatments for anxiety and depression are usually effective. Talking therapy, including cognitive-behaviour therapy, is an effective therapy in reducing anxiety and depression, although some people may also benefit from medication. It is too important to suffer in silence. If you feel that you are struggling, ask your family doctor or oncologist for a referral for specialist treatment.
Fear of recurrence
Worry that the cancer could come back is normal and probably the most universal long-term effect of cancer. Fear of recurrence may rise dramatically as you make the transition from active treatment to recovery. Worry that the cancer will come back now that treatments have stopped, leaving the caring environment, concern about who will be monitoring you, the struggle to cope with the lingering effects of the disease and its treatment and pressure by family and friends to ‘be normal,’ can all contribute to heightened anxiety as treatment ends. For most people the worry reduces over time, but for some people it persists and dramatically affects their
quality of life. Sometimes people ask for extra tests, or repeatedly check their body, or seek out every piece of information they can find (much of which is not accurate or scientific information!). The first step in dealing with this fear is to see it as normal rather than trying to fight it, and trying to accept that a degree of worry is part of life. Recognising that there are triggers to this worry (such as follow-up visits, unexpected aches and pains, reading about deaths of prominent others with cancer), can also help to ‘normalise’ this response when it occurs. This awareness may be enough to help you feel more confident, but if this doesn’t help, seek psychological treatment. Getting help understanding what you are worrying about and ways to address this can be important in regaining a sense of control, and reduce worry.
**Eye problems**
Patients may complain of not seeing clearly during or after chemotherapy. While this problem should always lead to an eye specialist’s exam, one frequent cause is a worsening or the development of a cataract (a thickening of the eye lens which leads to loss of transparency), a condition which can be easily remedied through simple surgery.
**Hormone (endocrine) system problems**
When we speak about the hormonal or endocrine system, we mean on a range of hormone producing organs like the hypothalamus and the hypophysis in the brain, the thyroid gland, parathyroid glands, the insulin producing part of the pancreas, the adrenal glands and the sexual glands. In many therapeutic circumstances, endocrine function can be suppressed, both temporarily and definitively (after surgical removal, radiation therapy, chemotherapy, immunotherapy, etc.). You may thus encounter symptoms according to the lack of the natural hormone that otherwise would have been produced.
We’ll share some examples with you.
**Hormonal insufficiencies (i.e. thyroid dysfunction)**
Surgical removal of an endocrine gland necessarily leads to the lack of the corresponding hormone production. Whenever possible, this lack will be compensated by the intake of the corresponding hormone (prescribed to you by your doctor).
Less evident, but also quite frequent are endocrine deficiencies after locoregional radiotherapy. An example is the thyroid gland located in the head and neck region. The thyroid is at risk of being irradiated – at least partially – if adjacent tissue is being treated. Thyroid insufficiency (“hypothyroidism”) is a possible consequence.
New treatments such as immunotherapy with so-called “check point inhibitors” may alter the function of the hypophysis, thyroid gland and other endocrine glands, potentially creating dysfunction of the thyroid, adrenal or other glands.
Some hormone deficiencies may not show immediately and may only be found after specific symptoms arise. In some cases this can happen years after the therapeutic intervention took place.
According to the treatment you have received, your doctor should regularly screen the most common endocrine functions with common blood laboratory tests. Other deficiencies may reveal themselves through characteristic symptoms. When in doubt, inquire!
Infertility
It is evident for everyone that surgical removal of the woman’s ovaries or man’s testicles will lead to infertility. Unfortunately, chemotherapy and radiation therapy to the pelvic and genital areas, but also hormonal therapy, can also lead to infertility. This depends on age and, foremost, on the treatment intensity of specific anticancer agents. Normally, whenever possible, a fertility consultation with at-risk patients, with discussion about means to cryopreserve ovaries or sperm, will take place before the start of treatment. If this has not occurred, options for childbearing may be more limited. However, consultation with a fertility expert should still be pursued if exploring ways of having children remains of interest.
Amenorrhea, menopause
Many female survivors will experience lighter or fewer regular menstrual periods or notice amenorrhea: the complete stop of menstrual periods. In many and mainly the younger survivors, the menstrual period will eventually return. Be advised, that, even in the absence of menstruation, you may have regained fertility and are “at risk” of becoming pregnant! There is also no clear timeline when menstruation may re-occur. In some women, it may not even have stopped throughout chemotherapy, while in others, it may re-occur after weeks or months! Finally, some women may experience premature menopause, especially when those above 40 years of age undergo chemotherapy. You should consult your gynaecologist about your risk of permanent menopause and possible treatment options. Please note that while the risk for definite menopause is not apparent in a regular blood exam, there are specific tests which may help your gynaecologist to appropriately advise you.
Men who receive hormonal therapy for prostate cancer or who have their testicles removed because of testicular cancer can experience symptoms similar to menopause (“andropause” characterised by limitation of sexual libido, flushes, adipose changes, etc.). Furthermore, radiation of the pelvic area or the intake of specific chemotherapeutic drugs can cause infertility, with risk factors similar to those described above for women (chemotherapy intensity, age). A urologist will give you medical advice on infertility and possible solutions to cope with “andropause”.
In some patients, hormone suppression is key to prevent cancer recurrence (i.e. androgen deprivation in prostate cancer or anti-oestrogen therapy in hormone receptor positive breast cancer). In many other patients, these complications are reversible, and many can be alleviated or corrected by medical interventions.
Sexual dysfunction
Sexual dysfunction is important issue in cancer survivors. The problems can range from painful sexual intercourse due to medical or psychological causes, premature menopause, amenorrhea, infertility, body image changes, altered patterns of intimacy which are already described in this guide.
In addition, the lack of sexual interest (libido) and impotence are frequent after anticancer treatments. They may not have anything to do with hormonal or other organ dysfunction. Instead, they may be caused by a lack of self confidence in patients who for a long time had to focus on their cancer. Getting back to finding pleasure in sexuality may not be as easy as it sounds.
Concerns about libido and sexual function should be discussed with your doctor who might arrange review by a gynaecologist or urologist or another specialist. A psychologist or sexologist may help you also with these problems.
**Urological problems**
Some cancers and some cancer treatments may cause urinary or bladder problems. Symptoms that can appear include urinary incontinence (difficulties controlling the function of the bladder), trouble urinating despite feeling the urge to, pain or a burning feeling when you urinate, blood in your urine, bladder spasms, cramps or general discomfort in the pelvic area. Please note that a simple urinary tract infection may lead to the same complaints so ruling this out is important to addressing the problem!
Any treatment affecting the region surrounding the bladder may lead to these problems, e.g. treatment for prostate cancer, (colo)rectal cancer, bladder cancer, cancer of urethra, gynaecological cancers such as cervical cancer and uterine cancer. Brain or spinal cord cancers (and their treatment) can affect nerves that help control the bladder or pelvic muscles and may thus cause similar complications. As a consequence, radiation therapy to the pelvic area, will include the bladder; surgery to the pelvic area may also do so, directly or indirectly by damaging muscles or nerves that help control urination. Some chemotherapies may specifically irritate the bladder mucosa. Antihormonal treatments may lead to hormonal changes which will influence neighbouring organs: e.g. breast cancer treatment can cause hormonal changes that dry out the urethra.
Remedies depend on the circumstances which led to the complications and need to be dealt with on an individual basis. Possible interventions may include bladder training, physical therapy and medicines. Do not forget to hydrate yourself adequately: some urinary problems may “dissolve” when you remember to drink more water!
**Gastrointestinal problems, digestion**
Diarrhoea, constipation or an irregular gastrointestinal transit are common problems after many anticancer treatments, in particular, if treatment occurred for a gastrointestinal cancer.
Weight loss is very common after gastric or pancreatic surgery, and may be quite substantial. Some patients wrongly confound this with recurrence of their cancer!
Chronic diarrhoea early after food ingestion may also be a consequence of surgery and/or radiotherapy of the gastric or pancreatic/biliary tract region. Some patients may require lifelong vitamin B12 supplementation after gastric surgery.
After colon surgery, many patients will ultimately regain a “normal” gastrointestinal transit, but this may take months, sometimes years, and some people may find that they never return to their previous function. Patients may suffer from diarrhoea, depending on food intake and other variables. You may have to adapt your diet or take medication. If persistent intestinal or digestion issues are a problem for you, your doctor, a nutritionist or a dietician should be able to help. The correct amount, timing and ingredients (including vitamins) of your food intake may be crucial to alleviate symptoms and maintain your health as well as stabilise your weight.
Lung problems
Lung problems often manifest through breathing problems and/or cough (with or without blood). It is important to note, however, that even though you may refer to cough and breathing difficulties as lung problems, these symptoms may also be caused by the heart or even by head and neck problems. Your doctor will diagnose the organ responsible for your “lung problems”. In this chapter, we will focus on respiratory problems arising from the lungs.
Certain types of chemotherapy, targeted therapy and radiation therapy to the chest may cause harm to the lungs. Cancer survivors who received both chemotherapy and pulmonary radiation therapy may have a higher risk of lung damage. Also, people with history of lung disease such as chronic obstructive pulmonary disease (COPD) or people who have chronic heart problems may have an increased risk of respiratory problems after chemotherapy or radiotherapy.
Similar types of pulmonary problems may be induced by different therapies. To make matters a bit more complicated, these symptoms may also be due to different causes which require specific treatments.
The following categories of pulmonary problems can appear after or during the chemotherapy or radiotherapy:
- Pulmonary infections: Many anticancer treatments will lower your immunity (“immunosuppressants”) and “facilitate” or make you more vulnerable to infection. Infections are commonly treated with antibiotics.
- Medication-induced pneumonitis: Medications, especially newer anticancer agents, such as targeted agents (i.e. tyrosine kinase inhibitors which are oral drugs, monoclonal antibodies, immunotherapy) may cause a condition which strongly resembles pneumonia in its clinical aspects, as well as in laboratory and radiological tests. However, in contrast to infections, treatment is the opposite: immune suppression! Therefore, distinction of this disorder is paramount and may require expert opinion. Treatment is based on early detection, corticosteroids and supportive measures.
- Radiation-induced pneumonitis: Similar to medication-induced pneumonitis, this condition is often more easily recognised due to its incidence during or shortly after radiation therapy, and a radiological image showing that it is limited to the region irradiated. Treatment involves use of corticoids.
- Pulmonary fibrosis: This is a rare disorder that involves excessive scarring of the small lung alveoli (air bubbles, in which the gas exchange takes place) which leads progressively to the lack of oxygen absorption. This is fortunately a rare, but potentially late side-effect of some older (but still used) anticancer drugs (e.g. bleomycin) or radiation therapy. The condition will show-up on radiological exams and a pulmonary function test. Triggering drugs should be avoided if radiotherapy induced corticosteroids are mainly administered and other immunosuppressive therapies.
- Haemoptysis (meaning cough with blood) may arise in association with exposure to some antivascular drugs such as bevacizumab, sorafenib, etc. and may require the withdrawal of the drug. Problems should subside once the drug is stopped.
- Likewise, pulmonary oedema, interstitial or more common, alveolar, may be drug-induced, but should not be experienced after the responsible drug has been stopped.
- Finally, pulmonary embolism and cardiac oedema, are conditions which may arise during or after anticancer treatment, with or without relation to anticancer treatment.
In case of respiratory symptoms, you will need to seek your doctor’s diagnosis and advice.
Diagnostic tools include a thorough interrogation and clinical exam by your doctor. Radiological exams, such as an X-ray or CT scan, may be necessary along with pulmonary function tests and other exams performed by a lung specialist (pneumologist). Up to now, there is no role for screening, meaning that specific tests are only requested or performed in the presence of symptoms.
The treatment of these problems has already been discussed above (antibiotics, cortisone, etc.). Other symptoms may require an interventional treatment (e.g. if there is significant bleeding, severe shortness of breath).
2. Prevention and detection of cancer recurrence
One of the main goals of follow-up care is to detect a recurrence of cancer.
What is a cancer recurrence?
A recurrence is when the tumour comes back after treatment. Cancer recurs because small areas of tumour may have remained undetected in the body and/or did not respond to the anti-cancer treatment(s) received. Over time, these cells can increase in number or spread out to other parts of our body until they are detected in the blood or in imaging tests, or cause signs or symptoms.
When can a recurrence occur?
Depending on the type of cancer, the stage of disease at time of diagnosis and the type and success of therapy, this could happen weeks, months or years after the original cancer was treated. Some cancers can be considered cured after a number of years, others not, even though their late relapse is normally quite rare.
A recurrence could appear as local, regional or distant.
A local recurrence means that the cancer has come back in the same part of the body, where the original cancer was located.
A regional recurrence means that the cancer is present in a part of body near to the original location of tumour.
A distant recurrence means that the cancer has revealed itself in another part of the body. This is often called “distant metastases”.
It is very important to clarify that if the tumour recurs in an organ far from the location of the original cancer and shares the same genetic/cellular characteristics as the original, it is still named after the part of the body where the original cancer began. This can be confusing to many. Should this happen to you, you may believe that you now have a new cancer in this new organ or target of the tumour. For example, if a survivor treated for colon cancer now has a recurrence in the liver, doctors will call it a liver metastasis from colon cancer (colon cancer that has spread to another part of the body) and not liver cancer.
Are there means to prevent recurrence? Is there a way to know the likelihood that you will have a cancer recurrence? How will a recurrence be detected? Is it important to detect recurrence early?
While there is no way to specifically prevent recurrence of your cancer, there are efficient ways to significantly lower your risk: a healthy lifestyle, stress-management, weight control and regular physical exercise can help you to lower the risk for recurrence.
In some cases (e.g. hormone-receptor positive breast cancer) there may be ways to lower risk of recurrence through use of medication (e.g. use of an aromatase inhibitor). But there are few chemopreventive agents available to date for most people with cancer.
The probability that the cancer will recur and the time and location of recurrence depend on the type of cancer, its stage and the type of treatment you received.
While a likelihood or statistical probability is known for most types of cancer recurrence, it is impossible to predict whether a specific cancer will recur.
If you wish to know, your doctor can discuss with you the likelihood of recurrence of your type and stage of cancer according to published data.
To help find signs of a potential recurrence, your doctor will ask specific questions about your health status, do a careful physical examination and perform follow-up tests (blood work, radiologic scans) in specific time interval.
If a recurrence is suspected or detected, your doctor will organise further blood and imaging examinations and biopsies in order to learn as much as possible about the recurrence. After the integration of tests, the doctor will talk about the results and the next steps with you.
Your doctor will have to weigh and discuss with you the potential benefits and disadvantages for systematic screening examinations.
A specific examination (i.e. a CT-scan or a blood analysis or a colonoscopy) can be considered beneficial, if detection before the onset of true symptoms will lead to a more efficient treatment. By the same token, an examination which might lead to earlier detection, but without any change in treatment nature or outcome, may not be deemed useful.
A specific examination can be disadvantageous for different reasons:
- If it will stress you because you will be reminded of your (hopefully) past disease. The waiting time for the examination and the time until your doctor will share with you the results may be particularly hard to endure for many patients.
- If it will, even though to a small extent, expose your body to adverse side-effects (contrast media, radiation, or simply pain).
- If it may show results which are less clear than anticipated, which may leave you and your doctor with more doubts for a longer time and require additional examinations.
The examinations recommended and their timing will depend on the likelihood of the disease to recur, its potential to recur fast, and the potential change in treatment options early detection might provide. These tests also depend on the probability of the examination to deliver a reliable answer.
Here is one example to make you understand this complex point a little better: If you have been treated for a cancer with a very low likelihood of recurrence, you may have more harm than benefit of repeated CT-scans, endoscopies or other examinations.
This will be even more the case if the treatment will remain essentially the same and if you can be treated without risks, even if the recurrence has not been detected early. This is the reason why systematic follow-up for most breast cancer patients does not incorporate CT scans, bone scans biomarkers or other imaging beyond a yearly mammogram. It also explains why follow-up intervals are relatively long (proposed are 6 monthly consultations).
Early detection of the primary cancer is very important, since it will determine the stage of disease. The lower the stage of initial disease, the better the chances for cure.
Unfortunately, cancer recurrence is mostly metastatic. Chances for true cure in this setting are much less frequent and chances for best long-term survival are often more related to your general condition and location of the metastases than on the exact number of metastases.
Finally, we do not always clearly know whether screening examinations are truly useful! For this we would need comparative studies, and these take time and are not always yet established. Medicine is a fast evolving and busy science. Oh, if we only could know it all already!
In addition to systematic screening, you will be advised to watch out for specific symptoms or signs which could appear in case of a recurrence of your specific cancer. These are not the same for different cancer sites. A symptom of recurrence may of course occur at any time, independent of screening intervals. You are therefore advised to contact your doctor in case of any doubt, independent of the time since the last consultation.
Please be reminded that all screening examinations can only certify to a certain degree your well-being up to the consultation and cannot (as many believe) guarantee you freedom up to the next scheduled one!
Surveillance for a recurrence is stressful and learning relaxation techniques to deal with anxiety and/or seeking counselling is helpful, especially if fear becomes preoccupying or immobilising (keeps you from following-up). Many find that after several visits, with reassurance that there is no sign of recurrence, the anxiety levels drop.
3. Prevention and early detection of new primary cancers for patients and their family members
As you have passed through the anticancer treatment many of you are more aware about the prevention of cancer. So now that you enter survivorship, you may ask yourself what could you do to prevent the appearance of another cancer. Based on your own experience, you may want to encourage friends or family members to engage in regular cancer screening tests for early detection.
Cancer prevention and cancer detection in an early stage are very important. The awareness about cancer prevention and of the importance of regular screening for specific cancers has improved in recent years, but there is still a lot of work to do. Let us give you some useful advice about prevention and early detection of cancer!
**General cancer prevention measures**
There are at least four different situations which may apply to you in terms of cancer prevention:
1. All of us share preventable risk factors which apply to the whole population:
Smoking is a major risk factor for many tumours, such as lung cancer, cancer of the head and neck area, pancreatic cancer, bladder cancer and many others. Everyone should know this by now, and yet smoking continues to be a global challenge.
Alcohol consumption has also been identified as a risk factor for breast, liver, oesophageal, oropharyngeal, laryngeal and rectal cancers.
If you have not yet accomplished smoking cessation, diminished your alcohol consumption or started means for weight control, now is the moment to embrace change!
Excess weight is associated with elevated risk of many cancers. Physical activity is inversely related to risk for colon and breast cancer.
Engaging in regular physical activity will not only make you feel better – it will lower both your statistical risk for recurrence as well as the risk for a second cancer, whatever your prior fitness level was. These findings have been well proven in large studies.
UV radiation can raise the possibility of having melanoma and other skin cancers. Thus, use of sunscreens and protective clothing along with avoidance of prolonged time in full sunlight are all important preventive health behaviours.
In conclusion, smoking cessation, moderating or avoiding alcohol consumption, maintaining or regaining a normal weight watching sun over-exposure and performing regular physical activity are some measures which can significantly lower the risk of cancer.
2. Depending on your primary cancer you may, unfortunately, have a risk for a second cancer. For instance, if you were treated for a cancer of the head and neck, your risk for a second cancer in this region, the oesophagus or lung remains high (particularly if you did not quit smoking and/or drinking). Another example is colon cancer: You will remain at higher risk to (re)develop benign tumours (“polyps”) which may degenerate into new colon cancers. Therefore, your doctor will likely recommend repeat colonoscopies more often than the general population. Ask your doctor if in doubt.
3. Some of you may have been diagnosed with a hereditary cancer. This is rather rare in the general population, but there may be hints or proof for a family trait in your case. We will discuss this issue in more detail in one of the following chapters.
4. Even though there may be no proof of a hereditary cancer syndrome, we know that the risk for a family member to get cancer may be higher in some cancer types. For example: If you have breast cancer, even being the only one in your family so far, your children have a higher risk to get breast cancer compared with the general population. This is the reason why your doctor may propose screening to be started in your next of kin at an age of 10 years earlier than cancer was detected in your case.
**Screening for prevention and early detection in the general population**
Unfortunately, at present we do not have reliable methods for early detection in many cancer types. In the following paragraph, we will talk about some important types of cancer for which we can provide efficient early detection in the general population (“screen”), which enhances the chance for cure: Screening as it is provided to a general population is a method to try to detect more cancers early on, in an efficient and affordable way and with minimal or absent side-effects.
**Breast cancer**
Experts have different recommendations concerning breast cancer screening in general. Most official screening programmes will start at the age of 50. Your doctor may, however, discuss with you the benefits and disadvantages of screening already from 40 years on. Women aged 40 to 74, and some older women who are healthy, may be offered screening with mammograms. This does not mean that you cannot get breast cancer at either a younger or older age. But in these ages, breast cancer is either rare or not considered a general public health issue in the general population. Thus, population-based screening for breast cancer would be too expensive (for insurance or the government who pays for it) and have too many side-effects according to the few patients detected to be proposed as a standard screening programme.
**Cervical cancer**
A very common chronic infection with the genital warts virus (HPV) is a risk factor for cervical cancer; the HPV-test is a prognostic factor for the appearance of cervical cancer. A yearly gynaecological examination including a cervical swab (“Pap-smear”) can reduce the risk of cervical cancer. More recently, a vaccine may actually protect women from getting infected with the HPV virus. The HPV vaccination in many European countries is recommended in girls or young women between 9-26 years old, provided that they are not already HPV infected.
Prostate cancer
Digital rectal examination and screening for a blood tumour marker (called PSA) are proposed to detect early prostate cancer in men from 45–50 years old and up. Unfortunately, these examinations are less reliable than the cervical swab for cervical cancer, and there is a risk for both over diagnosis (an examination indicating prostate cancer, when in reality there is none) or under diagnosis (a supposedly normal examination, when there is prostate cancer in reality). Therefore, there is still some controversy among the experts as to its true usefulness, and you may have a different opinion concerning yourself! The best course of action is to discuss with your doctor whether you should undergo this screening procedure, and to discuss both the advantages and disadvantages of this procedure.
Colorectal cancer
Many European countries will provide yearly screening for colorectal cancer testing for occult faecal blood (and colonoscopy in case the test result is “positive”). Some countries also directly propose screening colonoscopy starting with people 50 years old (repeated every 10 years unless polyps are found when screening interval may be shortened). Since colorectal cancer mostly arises from slow growing, initially benign tumours (polyps), this is a very efficient method to prevent or to detect early colorectal cancer.
People with close family members with colon cancer (brothers, parents etc.), people with hereditary syndromes (which are associated with high incidence of colon cancer) or people with ulcerous colitis or Crohn’s disease have a significantly higher risk for colon cancer compared with the general population. Ideally, screening should begin earlier, and may be also more frequent in these populations. Individual screening recommendations should be discussed, organised and directed in cooperation with your doctor.
Don’t let the array of recommendations confuse you or dissuade you from following through. Get to the point and get the message! With simple things and with appropriate cooperation with your doctor, you can prevent many types of cancer!
Secondary cancers
While being cured for one cancer type, your chemotherapy or radiotherapy may unfortunately put you at risk to develop a different one, although this is fortunately very rare. Chemotherapy and radiation therapy can damage the bone marrow stem cells. That can lead to blood disorders such as myelodysplasia or acute leukaemia. These are malignant diseases of the blood, where the normal parts of the blood either are not produced or are abnormal and uncontrolled/multiplied. Other cancers may arise at the site of radiotherapy. In general, risk is low, and there are no specific preventive or screening measure (remark: blood disorders will show on a simple blood test including a general blood count). There is increased knowledge about the statistical risk for secondary cancers induced by anticancer therapies. If in doubt, talk with your doctor about the risk of developing a secondary cancer.
A special category of survivors at risk for secondary cancers are female survivors who had radiation to the mediastinum as part of treatment for Hodgkin’s lymphoma in childhood or as a young adult. In this particular group of female survivors, yearly examination of the breast and the yearly magnetic resonance imaging (MRI)/mammogram are recommended.
Hereditary cancers
Let’s talk a little more about family risk for specific cancers. In general, we distinguish “sporadic” from “hereditary” cancers. While a sporadic cancer will arise from an organ tissue at any given time, a hereditary cancer arises from altered genetic trait already present at birth. Contrary to common belief, hereditary cancers are rare, and make roughly less than 5% of the general cancer population.
When should a hereditary cancer be considered? Your doctor may consider this in case of:
Cancers of the same type diagnosed in multiple family members (especially if it is an uncommon or rare type of cancer).
- Cancers occurring at younger ages than usual (such as colon or breast cancers in a 20-year-old).
- More than one type of cancer in a single person (such as a woman with both breast and ovarian cancers).
- Cancers occurring in both of a pair of organs (such as both eyes, both kidneys or both breasts).
- More than one childhood cancer in siblings (such as sarcoma in both a brother and sister).
- Cancer occurring in the gender not usually affected (such as breast cancer in a man).
- Cancer occurring in many generations (such as in a grandfather, father and son).
In these cases, there is not yet any certainty, but considerable suspicion of a hereditary cancer, which should then be confirmed by specific genetic counselling and analyses (more and more carried out by specialists called oncological geneticists). Examinations may be carried out on tumour tissue, or even blood, in the cancer carrier. Should a hereditary condition be confirmed in this person, it will then have to be looked for in family members (who are not necessarily carriers).
Earlier on, you may have wished, or not, to know about a hereditary risk for a specific cancer, but it did not lead to any better treatment – many patients did not want to know about their risk, feeling “doomed”. Nowadays, certain cancers may be detected earlier on (thus providing better chances for cure) or even prevented in specific “high risk” population groups. Examples are breast cancer, ovarian cancer and cervical cancer for women, prostate cancer for men and colorectal and lung cancer for both sexes.
Example: Hereditary breast cancer
Nowadays a very well-defined procedure for a “high risk group” is established in hereditary breast cancer: The screening differs from the general population, and preventive treatment options (such as preventive surgery) apply.
This may be the case if you carry genes that increase the risk of breast cancer (or ovarian cancer), such as the BRCA genes (which means that you have been tested for this condition by a specific and expensive blood or tissue test). A BRCA gene mutation means that you have inherited a specific mutated gene which will put you and potentially other family members (provided that they are also gene carriers) at a significantly higher risk to develop breast, ovarian and some other cancers. In general, this is a rather rare situation in breast cancer with around 5% of the population in Europe being gene carriers.
Survivorship
There is a consensus among specialists that a certain number of criteria should be present to test for this mutation. You should be recommended testing for a BRCA mutation if there are:
- Three or more breast and/or ovarian cancer cases in the family, at least one found in a member age <50 years.
- Two breast cancer cases in women age <40 years in the family.
- One male breast cancer and one ovarian cancer or early onset female breast cancer.
- You are Ashkenazi Jew with breast cancer and age <60 years.
- Young onset bilateral breast cancer.
- Breast and ovarian cancer in the same patient.
Now let’s suppose you were considered at risk, tested and confirmed to be a BRCA carrier: this does not mean that you will actually get breast, ovarian or other cancers, but you will have a significantly higher risk for it during your life.
You may be screened starting at a younger age and more often compared with the general population, including specific tools (such as MRI of the breast).
Several treatments can be offered to you to significantly lower the risk, including drugs, or prophylactic surgery of the breast and/or ovaries. They need to be individually discussed with you and what you ultimately choose to do will largely depend on your preference and needs and consideration of treatment burden and risk reduction.
It is important to know if a family member has been diagnosed as being a BRCA carrier. However, this does not automatically mean that you, too, are one! You will need to be tested to be identified as a carrier.
Having close relatives (such as a mother, sister, or daughter) who had breast cancer at a young age, gives you a somewhat higher risk for breast cancer even though there may be no gene detected, or even no need for a gene detection programme. In general, you will be advised to undergo screening starting 10 years before the age at which your relative was initially diagnosed with cancer.
4. Comorbidities and management of comorbidities
Cancer care and treatment does not begin and end at the first cancer treatment. It should be taken into consideration that many of you may have had other health problems before cancer treatment, some of which may have developed new health conditions as a result of the cancer treatment or from the cancer itself.
Some examples of comorbidities which should be taken into consideration are:
- Diabetes mellitus.
- Kidney failure with eventual need of haemodialysis.
- Heart failure.
- Mobility difficulties; arthritis.
- Sometimes absence/amputation of parts of the body after surgical treatment (for example after removal of breast or testicles).
It is evident that providers caring for cancer survivors should monitor and appropriately manage comorbid medical conditions that either were present prior to cancer treatment as well as those that may have developed post-treatment.
Monitoring these comorbidities includes not only the medical but also the psychological issues. The psychological aspects of the comorbidities may wear you down. Remember that you have already passed through a lot of difficulties and you mastered them!
The management of comorbidities often requires the cooperation of different doctors and different specialisations, in order to help you return back to your normal life, for example the cooperation between the family doctor, the oncologist and nephrologists, cardiologists, endocrinologists or a team of physiotherapists or the psychologists.
5. Keeping a personal health record / Survivorship care plan
As time passes, it is very difficult to remember every detail of the cancer experience, to remember details about your treatment plan, diagnosis, side-effects and problems that you may had to deal with. In parallel, this information is also very important for the doctors, who make the follow-up.
To keep a personal health care record may seem difficult and unusual for many of you, it may already be a habit for others. In every circumstance, you should understand that it is a very useful tool in your hands and also for your doctor. If you are not used to keeping a personal health record: this is the time to get started! For those among you who have already made it, just keep on going!
## Survivorship check list, care plan and treatment summary
### Background information
| YES | NO |
|-----|----|
| Family history of cancer | |
| Genetic/hereditary risk factor, predisposing conditions: | |
| Genetic counselling: | |
| Genetic testing results: | |
| Fertility: cryopreservation | |
### Diagnosis
Cancer type and location:
Date of diagnosis (year):
Stage:
- I
- II
- III
- IV
- NOT APPLICABLE
Method of diagnosis:
- Imaging tests
- Laboratory tests
- Biopsy
- Site of biopsy:
### Treatment
| YES | NO |
|-----|----|
| Surgery | |
| Surgical location, findings: | |
| Surgery date: | |
| Radiation therapy: | |
| Radiation date: | |
| Radiation area:
- Chest
- Abdomen
- Pelvic area
- Head and Neck
- Testis
- Breast and Aaxilla
- Other area (i.e. extremities) | |
| Systemic therapy (Chemotherapy, hormonal therapy, immunotherapy, targeted therapies) | |
| Type of therapy:
- Chemotherapy
- Hormonal therapy
- Targeted therapies
- Immunotherapy
- Combination | |
### Symptoms and side effects during therapy
| Name of drug | Therapy start date | Therapy end date |
|--------------|--------------------|------------------|
| Fatigue | | |
| Sleep disorders | | |
| Heart problems | | |
| Lung problems | | |
| Low red blood cell count (anaemia) | | |
| Pain or bleeding when urinating | | |
| Menopausal problems | | |
| Fears and/or anxiety | | |
| Nausea and Vomiting | | |
| Skin and soft tissue problems | | |
| Change in weight | | |
| Difficulties with breathing | | |
| Low white blood cell count | | |
| Urine incontinence | | |
| Sexual problems | | |
| Other | | |
| Pain and peripheral neuropathy | | |
| Loss of appetite | | |
| Change in mood or depression | | |
| Memory or concentration loss | | |
| Infections | | |
| Digestive problems | | |
| Thromboembolic event | | |
### Survivorship
#### Symptoms and side effects that have continued after finishing treatment:
- Fatigue
- Nausea and vomiting
- Pain and peripheral neuropathy
- Sleep disorders
- Skin and soft tissue problems
- Loss of appetite
- Heart problems
- Change in weight
- Change in mood or depression
- Fears and/or anxiety
- Lung problems
- Difficulties with breathing
- Memory or concentration loss
- Low red blood cell count (anaemia)
- Low white blood cell count
- Infections
- Pain or bleeding when urinating
- Urine incontinence
- Digestive problems
- Menopausal problems
- Sexual problems
- Thromboembolic event
- Other
#### Psychological and social aspects in survivorship
Psychological support:
- Family
- Friends
- Psychologist/psychiatrist
- Cancer support groups
- Social workers
- Health care professionals
- Other
| Rehabilitation programme | YES | NO |
|--------------------------|-----|----|
| Rehabilitation programme | | |
| Psychological | | |
| Sexual | | |
| Cognitive | | |
| Nutritional | | |
| Other | | |
Duration of rehabilitation programme:
Changes in family relationships:
Changes or difficulties by returning back to work:
Wish to extend family:
**Follow-up care plan**
| Need for ongoing (adjuvant) treatment for cancer: | YES | NO |
|--------------------------------------------------|-----|----|
| End of main treatment: | | |
| Sign or symptoms to tell the doctor about right away: | | |
**SCHEDULE OF FOLLOW UP VISITS**
| Doctor’s name | Time of visit |
|---------------|---------------|
| | |
| | |
| | |
| | |
**SURVEILLANCE CLINICAL EXAMINATION AND FOLLOW-UP IMAGING AND LABORATORY TESTS**
**PLAN:**
| Clinical exam/follow-up visit | months |
|-------------------------------|--------|
| Blood tests | months |
| Other (specify): | |
| Radiologic examinations (specify) | months |
|-----------------------------------|--------|
| Endoscopy (specify) | months |
**Test/Examination** | **When** | **Results** |
|--------------------|----------|-------------|
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
**DICTIONARY**
**ACTIVE INGREDIENT(S)**
An ingredient in a pharmaceutical drug that is biologically active (in cancer, meaning active in your body against cancer). The similar terms active pharmaceutical ingredient and bulk active are also used in medicine, and the term active substance may be used for natural products. Some medication products may contain more than one active ingredient.
**ACUTE LEUKAEMIA**
A rapidly progressing cancer that starts in blood-forming tissue such as the bone marrow, and causes large numbers of white blood cells to be produced and enter the blood stream.
**ALLOGRAFT**
The transplant of an organ, tissue, or cells from one individual to another individual of the same species who is not an identical twin.
**ANTIGENS**
A substance (sometimes a molecule) capable of inducing an immune response in the host organism (usually by producing antibodies against them).
**ANXIETY**
An emotion characterised by feelings of tension, worried thoughts and difficulty concentrating. Physical symptoms can include muscle tension, palpitations, trembling, dizziness or difficulty sleeping. Occasional anxiety is a normal part of life, but if the distress interferes with relationships, work or decision-making, professional help is recommended.
**B-LYMPHOCYTES**
A type of immune system cell. Malignancies that form in B cells are different types of non-Hodgkin’s lymphomas; these include Burkitt lymphoma, chronic lymphocytic leukaemia/small lymphocytic lymphoma, diffuse large B-cell lymphoma, follicular lymphoma, and mantle cell lymphoma.
**BONE SCAN**
A procedure to check for abnormal areas or damage in the bones. A very small amount of radioactive material is injected into a vein and travels through the blood. The radioactive material collects in the bones and is detected by a scanner (a special camera that takes pictures of the inside of the body). A bone scan may be used to diagnose bone tumours or cancer that has spread to the bone. Also called bone scintigraphy. Cardiac oedema: Accumulation of fluids throughout the body caused by heart failure.
**CARDIOLOGIST:**
Cardiology is a branch of medicine that specialises in diagnosing and treating diseases of the heart, blood vessels, and circulatory system. These diseases include coronary artery disease, heart rhythm problems, and heart failure. It is performed by cardiologists.
**CAREGIVER(S)**
A person who helps another individual with an impairment with his or her activities of daily living. Caregiving is most commonly used to address impairments related to old age, disability, a disease, or a mental disorder.
**CHEMOTHERAPY**
The use of drugs to destroy cancer cells, mainly by damaging their DNA during cell division (replication). This is a historical term, since the first substances used in medical cancer treatment were directly derived from the chemical (dye) industry!
**CHRONIC OBSTRUCTIVE PULMONARY DISEASE**
Commonly known as chronic bronchitis and asthma, it is a disease characterised by air trapping and over inflation of the lungs. The main symptoms include shortness of breath and cough with sputum production. It is a progressive disease, which typically worsens over time. Smoking is a major risk factor for chronic bronchitis.
**CIRRHOSIS**
A form of liver scarring leading to progressive loss of liver function, usually gradually over many years. Causes are multiple, alcohol abuse being a leading one.
**COLON**
Part of the large intestine or large bowel.
**COLONOSCOPY**
Examination of the inside of the colon using a colonoscope, inserted into the rectum. A colonoscope is a thin, tube-like instrument with a light and a lens for viewing. It may also have a tool to remove tissue to be checked under a microscope for signs of disease.
**COLOSTOMY**
A surgical procedure in which an opening (stoma) is formed by drawing the healthy end of the large intestine or colon through an incision in the anterior abdominal wall and suturing it into place. This may be necessary if the faeces cannot be evacuated normally through the rectum/anus (due to tumour obstruction, leakage, etc.). This opening, in conjunction with the attached stoma appliance, provides an alternative channel for faeces to leave the body. It may be reversible or irreversible depending on the circumstances.
**COMORBIDITY**
Presence of one or more additional diseases or disorders co-occurring with a primary disease or disorder (i.e. diabetes as comorbidity in a patient with a primary colon cancer).
**CROHN’S DISEASE**
A condition in which the gastrointestinal tract is inflamed over a long period of time. Crohn’s disease usually affects the small intestine and colon. Symptoms include fever, diarrhoea, stomach cramps, vomiting and weight loss. Crohn’s disease increases the risk of colorectal cancer and small intestine cancer. It is a type of inflammatory bowel disease. Also called regional enteritis.
**CRYOPRESERVATION**
A process where cells, tissues, organs or any other biological constructs susceptible to damage are preserved by cooling to very low temperatures (deep frozen). They may thus be protected from harmful medical or therapeutic procedures.
**CT SCAN**
Computed tomography (CT) is a scan using X-rays and a computer to create detailed images of the inside of your body.
**DEPRESSION**
A common mental disorder characterised by sadness, loss of interest or pleasure, feelings of guilt or low self-worth, disturbed sleep and appetite, feelings of tiredness and poor concentration. Mild depression can be treated with psychological (talking) therapies, however if moderate or severe, medication may be required in addition to talking therapies.
**DERMATOLOGIST**
Dermatology is a branch of medicine dealing with the skin, nails, hair and their diseases. It is performed by a doctor called dermatologist.
**DIABETES MELLITUS**
A medical term that refers to a group of metabolic diseases characterised by high blood sugar level over a prolonged period. Symptoms of high blood sugar include frequent urination, increased thirst, and increased hunger. If left untreated, diabetes can cause many complications.
**ENDOCRINOLIST**
Endocrinology is a branch of medicine that specialises in diagnosing and treating disorders of the endocrine system, which includes the glands and organs that make hormones. These disorders include diabetes, infertility, and thyroid, adrenal and pituitary gland problems. It is performed by a physician called endocrinologist.
**ENDOSCOPY (ENDOSCOPIES)**
A procedure that uses an endoscope to examine the inside of the body. An endoscope is a thin, tube-like instrument with a light and a lens for viewing. It may also have a tool to remove tissue to be checked under a microscope for signs of disease.
**FERTILITY**
Ability to produce offspring (=become pregnant or have children).
**FOLLOW-UP CARE PLAN**
A personalised schedule of examinations and tests that a doctor recommends after the active treatment period.
**GASTRIC PROTECTORS**
Drugs that protect the stomach from acidity which will produce ulcers and inflammation or other damages caused by the intake of drugs.
**GASTRIC FEEDING TUBE**
A medical device used to provide nutrition to patients who cannot obtain nutrition by mouth, are unable to swallow safely, or need nutritional supplementation.
**GENE**
A part of the DNA in the cell that controls the physical development, behaviour, etc. of an individual plant, animal or human and is passed from the parents. An example: A particular gene is responsible for inherited eye colour. Mutant genes cause cancer (see below).
**GENETIC MUTATION/GENETIC ALTERATION**
A gene mutation/alteration is any event that changes genetic structure; any alteration in the inherited nucleic acid sequence of the genotype of an organism.
Mutations result from errors during DNA replication (when cells divide /replicate) or other types of damage to DNA. This may lead to a loss of gene function, or amplify its function beyond control. Some mutations of vital genes will lead to cell death.
**GYNAECOLOGIST**
The physician specialised in the medical practice dealing with the health of the female reproductive system (vagina, uterus, and ovaries) and the breasts.
**GYNAECOLOGICAL OPERATION**
Operation of the female reproductive system or the breasts.
**HEALTH CARE PROFESSIONAL**
An individual who provides preventive, curative, promotional or rehabilitative health care services in a systematic way to people, families or communities. The terms health care professional and health care provider are often used interchangeably. A health care professional could be a doctor, pharmacist, dentist,
**Survivorship**
**NURSE, SOCIAL WORKER OR PSYCHOLOGIST**
In some low-middle income countries health care is provided by volunteers or trained non-experts and they could conceivably be referred to as provider, however the term for them is more usually “non-specialist health workers” or “lay health workers”.
**HAEMODIALYSIS**
A process of purifying/filtering the blood of a person whose kidneys are not functional.
**HEREDITARY CANCER SYNDROME**
A type of inherited disorder in which there is a higher-than-normal risk of certain types of cancer. Hereditary cancer syndromes are caused by mutations (changes) in certain genes passed from parents to children. In a hereditary cancer syndrome, certain patterns of cancer may be seen within families. Hereditary cancers account for 5% of all cancer cases.
**(ANTI-)HORMONAL THERAPY (ENDOCRINE THERAPY)**
A therapy involving the use of drugs or surgical procedures to suppress the production of, or inhibit the effects of, a hormone (such as oestrogen or testosterone) in order to destroy or slow the growth of cancer cells (e.g. hormone therapy to treat breast or prostate cancers). Only some cancer types are known to respond to hormone blockage.
**HOSPITALISATION:**
Placing of a patient in a hospital or the period of confinement in a hospital.
**IMMUNISATION**
The process by which an individual’s immune system becomes fortified against an agent (this happens when you receive a vaccine or if you have been exposed to infections like measles; you will acquire immunity).
**IMMUNOSUPPRESSION**
A reduction of the activation or efficacy of the very complex immune system. It can be the consequence of a disease (i.e. HIV), a side-effect of treatment (i.e. chemotherapy) or even a therapeutic effect (cortisone in asthma patients). Immunosuppression varies in broadness and severity.
**IMMUNOTHERAPY**
A type of cancer treatment that stimulates the body’s immune system to fight the cancer.
**INFERTILITY**
Inability of a person to have children by natural means.
**LARYNX (VOICE BOX)**
An organ in the neck involved in breathing, sound production, and protecting the trachea against food aspiration.
**MAGNETIC RESONANCE IMAGING (MRI)**
A type of scan that uses strong magnetic fields and radio waves to produce detailed images of the inside of the body.
**MAMMOGRAM**
An X-ray of the breast.
**MEDIASTINUM**
The area between the lungs. The organs in this area include the heart and its large blood vessels, the trachea, the oesophagus, the thymus and lymph nodes but not the lungs.
**MONOCLONAL ANTIBODIES**
A type of targeted therapy. Monoclonal antibodies recognise and attach to specific proteins produced by cells. Each monoclonal antibody recognises one particular protein. They work in different ways depending on the protein they are targeting.
**Myelodysplasia:** Abnormal bone marrow cells that may lead to myeloid leukaemia.
**NEPHROLOGIST**
Nephrology is a medical specialty that concerns the study of normal kidney function and kidney problems, the preservation of kidney health and the treatment of kidney problems. It is performed by physicians called nephrologists.
**NUTRIENTS**
Component in food that an organism uses to survive and grow.
**OESOPHAGUS**
A tube-shaped organ that connects the throat to the stomach.
**ONCOLOGIST**
A doctor who is specialised in treating cancer. The main types are medical, surgical, radiation, gynaecological and paediatric oncologists.
**ONCOLOGY NURSE**
A nurse who is specialised in caring for people with cancer.
**OPHTHALMOLOGICAL DISORDERS**
Disorders of the function or diseases of the eyeball.
**OSTEOPOROSIS**
A disease where increased bone weakness increases the risk of a broken bone.
**PAIN KILLERS**
Group of drugs used to relief from pain. They are also called analgesics.
**PELVIC AREA**
Either the lower part of the trunk of the human body between the abdomen and the thighs (sometimes also called pelvic region of the trunk) or the skeleton embedded in it.
**PERFORMANCE STATUS**
An attempt to quantify patients’ general well-being and activities of daily life. It is a medical measure which helps to evaluate the fitness of a patient for certain anticancer therapies.
**PERIPHERAL NEUROPATHY (POLYNEUROPATHY)**
A damage or disease affecting peripheral nerves (peripheral neuropathy) in roughly the same areas on both sides of the body, featuring weakness, numbness, and burning pain (unfortunately a common side-effect of some anticancer treatments, it is not exclusive for this setting, but also experienced by diabetic, vascular and other patients).
**PHYSICIAN**
A professional who practises medicine, which is concerned with promoting, maintaining, or restoring health through the study, diagnosis, and treatment of disease, injury and other physical and mental impairments.
**PHYSIOTHERAPY**
Physiotherapy is a science-based profession which aims to develop, maintain and restore maximal movement and functional ability. Physiotherapists may assist patients through a variety of techniques including massage, manual treatments such as targeted exercises, ultrasound and electrical-modality treatments. In some countries, the term physical therapist may be used.
**PSYCHOLOGIST/PSYCHIATRIST**
Mental health professionals who work to address a person’s emotional, psychological and behavioural needs.
**PSYCHO-ONCOLOGIST**
A health professional who specialises in understanding and addressing the psychosocial, behavioural and/or psychiatric aspects of cancer and in meeting the emotional, social and spiritual/existential needs of people at risk for, living with or having survived cancer.
**PSYCHOTHERAPEUTIC INTERVENTIONS**
Non-pharmacological treatments to help people with psychological concerns (e.g. anxiety, depression, loss of self-esteem) and improve their ability to deal with difficult situations. Interventions can range from face-to-face treatments with a trained health professional to on-line interactive resources.
**PULMONARY OEDEMA**
Fluid accumulation in the tissue and air spaces of the lungs.
**PURIFIED (ANTIGENS)**
Purified from large amounts of the pathogenic organism. The vaccinated person produces antibodies to the protein antigen, thus protecting him/her from disease.
**RADIOTHERAPY/RADIATION THERAPY (IRRADIATION)**
The use of high energy X-rays or other particles to destroy cancer cells.
**RECOMBINANT ANTIGENS/VIRUS**
A human engineered virus/antigen produced by recombining pieces of DNA using recombinant DNA technology. These may be used for therapeutic means.
**RECURRENCE**
An event when the tumour comes back after main treatment. Recurrence may be local (at the initial cancer site) or metastatic (present in different organ sites, but composed by the same cancer cells as the initial one).
**REHABILITATION**
Services and resources that help a person with cancer regain the best physical, social and psychological condition during and after cancer treatment.
**SEXOLOGIST**
Sexology is a scientific study of human sexuality, including human sexual interests, behaviours and functions. Sexologists may help in case of sexual dysfunction and disorders.
**SIDE-EFFECT(S)**
Any effect of a drug, or other medical therapeutic procedure (i.e. radiotherapy) that is in addition to its intended effect, especially an effect that is harmful or unpleasant (synonym: adverse effect), such as fatigue, incontinence or vomiting.
**SOCIAL WORKERS**
A professional who helps people cope with everyday problems and challenges before, during and after treatment. Social workers may work for a hospital, social services or local governments.
**SUPPORTIVE TREATMENT/SUPPORTIVE MEASURES**
Palliative care is an approach that improves the quality of life of patients and their families facing the problems associated with life-threatening illness, through the prevention and relief of suffering by means of early identification and impeccable assessment and treatment of pain and other problems, physical, psychosocial and spiritual (WHO definition).
Survivorship
Supportive care may be considered a synonym by many, focusing on symptom control.
Many still confound the term of palliative care with *terminal* palliative care or *end of life* care. Historically, these terms were used synonymously. Today, the holistic approach to symptom relief has been recognised throughout a patient’s entire follow-up starting at the time of diagnosis, and without any notion of (imminent) death.
**TARGETED THERAPY**
Treatment that targets specific genes, proteins or other molecules that contribute to cancer growth and survival. The term applies to several different types of drugs and treatments (and also reflects our current understanding of the complexity of cancer!). While chemotherapy hits in a uniform mode, targeted therapies will be directed against cancer cell characteristics (i.e. membrane receptors) which are unique to them, or far more present than in healthy cells. Thus, they are supposed to be far more effective than regular treatment options.
**THROMBOEMBOLISM**
The formation of a blood clot inside a blood vessel, obstructing the flow of blood through the circulatory system. Deep vein thrombosis (DVT), mainly of the lower limbs, and pulmonary embolisms (PE) are frequently observed in cancer patients. Treatment is mainly by anticoagulant drugs.
**TRACHEOSTOMY**
A surgical procedure which consists of making an incision on the anterior aspect of the neck and opening a direct airway through an incision in the trachea (windpipe).
**ULCEROUS COLITIS**
A long-term condition that results in inflammation and ulcers of the colon and rectum. The primary symptom of active disease is abdominal pain and diarrhoea mixed with blood. Weight loss, fever and anaemia may also occur. Often symptoms come on slowly and can range from mild to severe. Symptoms typically occur intermittently with periods of no symptoms between flares. Complications may include colon cancer.
**UROLOGIST**
Urology is a medical discipline focussing on diseases of the male and female urinary tract and male reproductive organs. It is practiced by a doctor called a urologist.
**X-RAY**
An imaging test, using a type of radiation that can pass through the body, that allows your doctor to see inside your body.
This guide has been written by Dr. Nikolaos Mitsimponas and Dr. Stefan Rauh representing ESMO, with contribution of ECPC representatives Dr. Francesco De Lorenzo and Kathi Apostolidis.
It has been reviewed by representatives from IPOS Dr. Jane Turner, Julia Rowland, PhD, Paul Jacobsen, PhD, Maria Die Trill, PhD and Luzia Travado, PhD.
The authors would like to thank Dr. Svetlana Jezdic, Prof. Jean-Yves Douillard, Claire Bramley, Francesca Longo, Klizia Marinoni (ESMO Head Office) and Francesco Florindi (ECPC) for their assistance during different phases of preparation of this patient guide.
© Copyright 2017 European Society for Medical Oncology. All rights reserved worldwide.
European Society for Medical Oncology (ESMO)
Via L. Taddei 4
6962 Viganello-Lugano
Switzerland
Tel: +41 (0)91 973 19 99
Fax: +41 (0)91 973 19 02
E-mail: email@example.com
The Guide for Patients on Survivorship has been created in order to help you and people like you at this crucial period in life.
Survivorship is a unique experience for each person. What really matters is to find the strength and the way to get through this difficult period of life and to regain as much as possible the aspects of life before cancer. This guide is produced by ESMO and ECPC in collaboration with IPOS.
The ESMO Guides for Patients are designed to assist patients, their relatives and caregivers to understand the nature of different types of cancer and evaluate the best available treatment choices.
For more information please visit www.esmo.org and www.ecpc.org
|
MONTHLY REVIEW
JULY 1976
Contents
The Business Situation .................................................. 179
The Money and Bond Markets in June ......................... 183
A Probabilistic Approach to Early Warning of Changes in Bank Financial Condition ............... 187
The Business Situation
The latest readings continue to suggest that the economic expansion has slowed down somewhat in recent months after an unusually sharp first-quarter increase. Consumer spending, which provided a major impetus earlier in the recovery, appears to have weakened for a period during the spring, although the most recent figures suggest that this weakness may well prove to have been temporary. An additional source of slower growth in the second quarter seems to have been a rough leveling-off in the rate of inventory accumulation after this sector had provided a sharp spur to overall growth in the first quarter. The more moderate pace of activity in the second quarter was reflected in a slower growth of industrial production and in a leveling-off of nonfarm payroll employment in May and June. In June, the unemployment rate edged up 0.2 percentage point to 7.5 percent after many months of almost continuous decline. Despite the apparent slowdown of economic growth in the second quarter, the available information suggests that the expansion still has considerable momentum behind it. Indeed, by settling down to a more moderate pace, the expansion may well have improved its prospects for longevity, as well as the prospects for avoiding an early reemergence of capacity pressures in critical industries and resulting upward pressures on prices.
The immediate price situation, to be sure, does not look as good as it did a few months ago, when food and fuel prices were undergoing temporary declines. With recent advances in food prices and with some renewed upward movements in prices of major fuels, the incoming data look less favorable. Nevertheless, a careful reading of the latest price figures does not, on balance, indicate that the underlying rate of inflation has accelerated. For example, consumer prices excluding the volatile food and fuel components rose at a bit over a 5 percent annual rate in May, and wholesale industrial prices over the first half as a whole rose at a surprisingly moderate 3.4 percent rate. Moreover, while second-quarter labor cost data are still incomplete, the rise in average hourly earnings continued at well below the rapid 1974 and 1975 rates of increase.
Industrial Production, New Orders, and Inventories
Industrial production increased in May for the fourteenth consecutive month. The preliminary data indicate that overall output of the nation's mines, utilities, and manufacturing plants rose 0.5 percent, with gains widespread among industries. Nevertheless, this did represent a slowdown from the earlier rate of recovery. Since the trough of the recent business downturn, industrial production has risen 15.8 percent, or more than 1 percent per month according to newly revised data, thus indicating that the recovery has been more robust than previously believed. However, the recent recession was severe by postwar standards, and the overall index has not completely regained its previous peak despite the duration and strength of the recovery.
In May, a particularly strong gain was recorded in the iron and steel industry, where output advanced 3.9 percent. This continued the sharp rebound in steel making that characterized the early months of 1976 and brought the cumulative advance since last December to 15.5 percent. To a large extent, the pickup in steel production is related to the rebound in the production of automobiles. Indeed, although demand for consumer-related flat-rolled steel has been strong, demand from other sources—notably the capital goods and construction industries—has remained relatively depressed. The recent evidence suggests that auto production will not cause steel shortages to develop in the near term. The 1.1 percent increase in output of the motor vehicles and parts industry posted during May was less than half the average increase recorded earlier in the year, and the preliminary data for June show a similar percentage increase in assemblies of domestic passenger cars to an 8.8 million unit annual rate. Contrary to initial fears, the rubber industry strike has not greatly affected auto assemblies, and the usual plant shutdown for the model-year changeover will curtail tire needs temporarily.
Production of business equipment has also displayed recent strength. In May, business equipment production recorded a 1.1 percent gain, following healthy increases in the earlier months of 1976. Despite these gains, however, output in this sector remains almost 7 percent below its previous peak. Business equipment, which includes a wide variety of goods ranging from industrial and farm machinery to equipment used in transport and commercial enterprises, tends to lag in the recovery until utilization of existing productive capacity reaches the point that makes investment in new capital goods attractive.
The latest data on orders received by manufacturers of durable goods suggest that further increases in the output of business equipment are in the offing. According to preliminary estimates, seasonally adjusted new orders for machinery rose by nearly $300 million in May, marking the fifth straight month of sizable growth. Overall, durable goods orders have increased sharply in recent months (see Chart 1), rising more than 16 percent in the five months since December. This amounts to an average rise of $1.4 billion per month, compared with $800 million per month during the first nine months of the recovery. The increase in total orders was greater than the rise in shipments in May, the first sizable excess of orders over shipments in nearly two years, resulting in a substantial $1.5 billion increase in unfilled orders. The recent advances in new and unfilled orders augur well for continued activity in the future.
Businesses do, however, seem to be cautious in their plans for expansion and their stockpiling of goods. The data on inventories suggest that there has been some flattening of inventory investment after the acceleration in the winter months. April data on the book value of wholesale and retail trade inventories show a rise of $800 million, about $300 million less than the average rate during the first quarter. Data covering only manufacturing firms show an average accumulation of $500 million per month in April and May, the same rate as in the first quarter of this year.
Some further indication of the course of activity in coming months may be provided by the index of leading indicators. The index rose 1.4 percent in May, the largest increase since last July. Six of the eleven available components advanced, while only three declined. The most important positive factor was the large rise in new orders. While the index is not considered an accurate gauge of future rates of change in economic activity, it is regarded as useful in showing the probable direction of change. The results for May support expectations of further increases in production and purchases.
**PERSONAL INCOME, CONSUMER CONFIDENCE, RETAIL SALES, AND RESIDENTIAL CONSTRUCTION**
According to preliminary estimates, personal income rose $11 billion in May, equivalent to a 9.8 percent annual growth rate. Total wage and salary disbursements grew at a slightly greater annual rate of 10.3 percent during the month, reflecting a sharp rise in average weekly earnings in the private nonfarm sector. Although part of the May increase was due to the artificially short workweek in April and should be discounted, a substantial part did reflect an improvement in workers' hourly earnings. Over the past year, advances in weekly earnings and in employment have increased total wages and salaries by 10.7 percent. Because inflation has been more moderate, this represents a sizable rise in the purchasing power of workers. Recipients of other types of income have also gained in recent months. For example, proprietors' incomes grew strongly in April and May, reflecting farm owners' higher profits.
Despite the continued advance in personal income, the spring surveys have indicated a weakening of consumer confidence. The Conference Board survey of March-April showed a sharp drop in consumer optimism, compared with the poll two months earlier. After a year of fairly steady improvement, the index dropped 11 points to 82.2 percent of the 1969-70 average level, and an even more significant retrenchment of near-term buying plans was reported at the same time. A later survey by the University
of Michigan, however, suggested a much less pronounced decline in consumer optimism. Any decline at a time when income and employment growth has been strong is surprising. One explanation offered by a few analysts was uncertainty about inflation, perhaps stirred up by recent food price increases. If price increases remain moderate and personal incomes continue to advance, it seems likely that the recent consumer pessimism will recede.
The spring slowdown in retail sales may have reflected the consumers' somewhat less optimistic mood. Seasonally adjusted sales were little changed in April from the March level and fell $1.1 billion in May. However, advance estimates for June showed an increase of $1.4 billion. Domestic-model auto sales also recovered in June, reaching a 9.1 million unit annual rate after a moderate decline in May. Market observers attributed part of the sales increase to price discounts offered on subcompact cars, reflecting auto manufacturers' attempts to reduce swollen inventories before the end of the 1976-model year.
Residential construction activity has been relatively flat this year, although the May data offer some signs of near-term improvement. Permits issued to build new units jumped in May, reaching the highest level in two years, and there was also a slight rise in housing starts. Most of the gain was concentrated in the depressed multifamily sector, where construction had declined in January and February. In May, housing starts of multifamily units increased 12.6 percent and permits issued for new units increased 19.5 percent. While it remains to be seen if the latest pickup in multifamily construction activity presages continued gains, the lower rental vacancy rate and the continued increases in the volume of mortgage commitments at savings and loan associations are conducive to further improvement. Recent news on single-family housing starts has been less favorable than some experts had expected. About half of the decline that occurred between the peak in the third quarter of 1972 and the trough in early 1975 was made up by last December, but there has since been little change.
**RESOURCE UTILIZATION AND PRICES**
Although the recovery is now into its second year, the bulk of the economy continues to operate well below productive capacity. Most of the measures of capacity use, as well as those of labor market tightness, suggest that output expansion could proceed further in the near term without causing an acceleration in price and wage inflation.
McGraw-Hill reported that output stood at 77 percent of capacity in May (see Chart II). Although up more than 7 percentage points from the trough level, utilization as recorded by this survey is well below the 88 percent level attained in the third quarter of 1973. More interesting to those worried about production bottlenecks is the situation in the industries that produce materials. The Federal Reserve Board has compiled a new index of capacity utilization in the materials industries that provides further insight on this sector. The new index represents a larger share of industrial production than the old major materials series and thus offers a more comprehensive view of cyclical movements in materials utilization.
According to the new index, utilization in May stood at 80.4 percent of capacity, up 10 percentage points from its low point in the second quarter of 1975. The current rate of capacity use appears to be fairly comfortable by historical standards. In the third quarter of 1973, when capacity constraints generated shortages and production delays, this index stood at 93 percent, 13 percentage points above its May 1976 level. Although recent increases in capacity utilization by materials producers have been widespread, they have been somewhat larger in nondurable materials industries, where the resurgence in demand began earlier. Indeed, production facilities are reported by some as being pressed in a few industries, such as paper and textiles, though the pressure appears to be limited to a few product lines and, at least in the near term, should not create severe bottlenecks. Moreover, to the extent that capacity additions are planned in these areas and there are not long delays in the production of capital goods, the possibility of substantial shortages is reduced.
While the capacity utilization data appear encouraging for the price picture, one should not rely too heavily upon
them. Productive capacity is as much an economic as an engineering concept, and the cost of using any particular unit depends on how obsolete it is. If part of existing capacity either is old or reflects outmoded techniques, there may be substantially higher production costs associated with its use, and cost pressures could emerge before utilization reaches historically high levels.
The information on labor market conditions indicates that, despite substantial gains in employment since the onset of the recovery, there are still large numbers of persons available for work. Total civilian employment has risen by 3.1 million in the year since the second quarter of 1975, and 1.1 million of this increase occurred in the second quarter of 1976. Continued growth of the civilian labor force, however, has meant that employment gains have not resulted in equivalent reductions in unemployment. The unemployment rate, one measure of unutilized labor, averaged 7.4 percent in the second quarter, down 0.2 percentage point from its value in the first quarter. Although it is substantially below its peak of 8.7 percent in the second quarter of 1975, the rate is still relatively high. For example, in the 1970-74 period, which included the major part of two recessions, the unemployment rate averaged less than 6 percent.
At current and recent rates of capacity and labor force utilization, many economists would expect a gradual abatement of inflationary pressures. Although the volatile monthly changes do not show this very clearly, comparison of the average rate of price increase thus far in 1976 with that in the last half of 1975 does reveal some easing. For example, consumer prices rose at an average annual rate of 4.2 percent between December and May, while the rate of increase averaged 7.2 percent in the last six months of 1975. A significant deceleration in average hourly earnings (adjusted to exclude interindustry employment shifts and overtime in manufacturing) was also noticeable, as earnings increased at a 6.3 percent annual rate in the first six months of 1976 as compared with a 7.4 percent rate in the last half of 1975.
Although the average rate of inflation has slowed somewhat, the recent price news has been less favorable than it was earlier in 1976. However, many of the factors that caused the sharp moderation in the winter months, such as gasoline and food price declines, were expected to reverse course and result in an acceleration later in the year. Food prices at the consumer level moved upward in April and posted a further hefty increase in May, causing the overall index to rise at a 7.1 percent annual rate. Excluding food and energy, however, the rate of increase during May was 5.2 percent, consistent with the widespread view on the underlying trend in the inflation rate. Some encouragement could also be found in the behavior of prices of services, such as rent, transportation, medical care, and consumer interest rates. The services component rose at a 5.4 percent annual rate in May, duplicating the moderate rate of April. In the six months prior to April, the average rate of increase had been a rapid 9.7 percent.
The seasonally adjusted wholesale price index rose in June by 0.4 percent, which was somewhat faster than the average increase of the preceding five months. Prices of farm products and processed foods and feeds have added upward pressure to the index since early spring, although in June this component rose less sharply than in the preceding two months. Prices of industrial commodities, on the other hand, rose 0.5 percent in June, which was considerably more rapid than the average rate of increase during the preceding five months. From a longer term perspective, however, the behavior of industrial commodities prices has been relatively favorable. During the first six months of the year, prices of industrial commodities increased at a moderate 3.4 percent annual rate, down substantially from the 9.2 percent rate in the last half of 1975.
The Money and Bond Markets in June
Interest rates in the money and bond markets declined somewhat in June, after increasing in the previous month. With Federal funds trading in a narrow range, rates on money market instruments halted their upward movement and edged slightly back toward lower levels. Bond yields also retraced part of the increases that were registered in May.
The United States Treasury auctioned 24-, 49-, and 61-month notes during June, raising $5.0 billion in new cash. Conversely, at the regular weekly auctions of Treasury bills, net redemptions reduced the amount of short-term debt outstanding. New bond financing in the corporate market was heavy, as firms continued to use bond sales as a major source of financing. Most new issues sold well, although some aggressively priced issues met investor resistance at the month end.
Preliminary data indicate that the narrowly defined money stock (M₁) declined slightly in June after the temporary spurt of late April and early May. Meanwhile, the broadly defined money stock (M₂) grew at a modest pace. In addition, for the first time in 1976, banks increased the volume of outstanding large negotiable certificates of deposit (CDs) during June. This contributed to substantial expansion in the bank credit proxy—total member bank deposits subject to reserve requirements plus certain nondeposit sources of funds—following rather slow growth earlier in the year.
THE MONEY MARKET AND THE MONETARY AGGREGATES
Interest rates on money market instruments declined slightly in June, after having risen sharply since mid-April. Yields on 90- to 119-day commercial paper ended the month at 5.75 percent, nearly unchanged from rates quoted at the opening of the period. Rates on ninety-day bankers' acceptances fell by 23 basis points in June to close the month at 5.68 percent. The average yield in the secondary market on ninety-day CDs declined sharply during the first week of the month but traded at a nearly constant level thereafter to end June at 5.73 percent, down 18 basis points from the rate at the end of May.
The effective rate on Federal funds averaged 5.48 percent in June (see Chart 1), an increase of 19 basis points over the average for May but roughly unchanged from the levels of the final week of that month. During June, Federal Reserve open market operations were primarily aimed at offsetting massive shifts in Treasury balances between commercial banks and Federal Reserve Banks. In recent years, the Treasury has been acting to minimize the cash holdings in its Tax and Loan Accounts at commercial banks. The Treasury typically transfers the receipts which flow into these deposits to its accounts at Federal Reserve Banks. These transfers—Treasury calls—drain reserves from the banking system. Conversely, when Treasury expenditures exceed receipts and Treasury balances at Federal Reserve Banks decline, reserves are released to the banking system. The amplitude of fluctuations in Treasury balances at Federal Reserve Banks has increased sharply since 1974, leading to the large impact of Treasury operations on bank reserves reported in Table I. The average absolute weekly impact of Treasury operations on commercial bank reserves was $2.09 billion, computed on a daily average basis, in the first half of this year as compared with only $0.45 billion in the first half of 1973. The effect of these fluctuations on bank reserves can be offset through Federal Reserve open market operations, and Federal Reserve transactions for the System Account have generally mirrored these swings. This activity was particularly heavy in June. The Treasury borrowed funds during the month, which will not be needed until later in the year. In addition, Treasury deposits at Federal Reserve Banks typically rise after mid-month tax dates, such as that of June 15.
In response to the increase in money market rates in May, most banks raised their lending rate to prime customers by \( \frac{1}{2} \) percentage point to 7\( \frac{1}{4} \) percent during the first half of June. Business loan demand appeared to be starting its long-awaited revival, as loans at weekly reporting banks rose in late May and early June. Data in subsequent weeks did not confirm the stronger loan activity, however. Commercial and industrial loans at all weekly reporting banks, including loans sold to affiliates, declined on a seasonally adjusted basis by $275 million over
the five statement weeks ended June 30.
Following the temporarily rapid growth rates of the monetary aggregates observed in late April and early May, $M_1$ declined slightly in June while $M_2$ posted a modest increase. The pace of monetary growth over longer horizons remained moderate, however. Averaged over the four-week period ended June 30, seasonally adjusted $M_1$—private demand deposits adjusted plus currency outside banks—increased at an annual rate of 6.3 percent over its four-week average in the period ended thirteen weeks earlier (see Chart II). This brought the $M_1$ growth rate of 4.0 percent over the four-week average ended fifty-two weeks earlier. Averaged over the four-week period ended June 30, $M_2$—$M_1$ plus commercial bank time and savings deposits other than large negotiable CDs—grew at an annual rate of 9.9 percent over its four-week average ended thirteen weeks earlier and at 9.0 percent over its four-week average ended fifty-two weeks earlier. Combined with member bank deposit growth, the recent increase in CDs pulled the bank credit proxy average to 5.2 percent and 3.2 percent at annual rates over average levels thirteen and fifty-two weeks earlier, respectively.
**THE GOVERNMENT SECURITIES MARKET**
The Treasury redeemed part of its maturing bills and borrowed new cash through coupon securities during June. This reflected a continuation of its efforts to reduce its
short-term debt and to increase its longer term debt. For example, at auctions held between April 1 and June 30, the Treasury permitted a net $4.4 billion decline in three- and six-month bills while its outstanding debt rose by $0.6 billion.
Treasury bill rates declined somewhat during June, as investors came to believe that further firming in short-term credit markets was unlikely in the near future. At the regular weekly auction on June 28, three- and six-month bills were issued at average rates of 5.37 percent and 5.75 percent, respectively (see Table II), down about 20 basis points below the final auction of the previous month. On June 23, 52-week bills were sold at an average return of 6.08 percent, 23 basis points below the average issuing rate on May 26. Rates on most bill issues ended the month about 10 to 25 basis points below levels prevailing at the end of May.
In the market for coupon-bearing Government obligations, the Treasury borrowed additional funds, totaling $5 billion in three separate note auctions. On June 3, $2 billion of new cash was obtained through 49-month notes at an average issuing yield of 7.71 percent. On June 21, two-year notes with an average return of 6.99 percent were sold to refund $2 billion of maturing notes and to borrow $500 million of new cash. On June 29, an average issuing rate of 7.63 percent resulted from the auction of $2.5 billion of five-year notes for new money.
Some price improvements on seasoned issues were recorded in the Federal agency market, where new issue activity was light. On June 8, the Government National Mortgage Association auctioned $285.5 million of 7\(\frac{1}{4}\) percent and 7\(\frac{1}{2}\) percent mortgage-backed securities for new cash. The thirty-year issues were aggressively priced to yield 8.43 percent and 8.48 percent, respectively, on a corporate bond equivalent basis. On June 23, the Federal National Mortgage Association issued $300 million of ten-year debentures priced at par to yield 7.95 percent. The Farm Credit System placed $1.4 billion of securities on June 17 to raise $292 million in new cash. The issue was composed of $615 million of 6.15 percent Banks for Cooperatives bonds due January 1977 and $789 million of 6.50 percent Federal Intermediate Credit Bank bonds due April 1977. Government-backed tax-exempt urban renewal and public housing notes totaling $580 million were sold through the Department of Housing and Urban Development on June 16. These short-term notes of eighty-six local public housing agencies were placed at an average yield of 3.28 percent, compared with a 3.47 percent rate in a similar offering on May 18.
### Table I
**FACTORS CONTRIBUTING TO INCREASE OR DECREASE MEMBER BANK RESERVES, JUNE 1976**
| Factors | Changes in daily averages—week ended | Net changes |
|---------|-------------------------------------|-------------|
| | June 2 | June 9 | June 16 | June 23 | June 30 |
| "Market" factors | | | | | |
| Member bank required reserves | +151 | +165 | -159 | -305 | -562 | -810 |
| Operating transactions | | | | | |
| (subtotal) | +1,005 | +4,859 | -2,419 | -4,055 | -7,214 | -8,829 |
| Federal Reserve float | +40 | +1,410 | -409 | +8 | +283 | +296 |
| Treasury operations* | +1,267 | +5,545 | -1,052 | -4,280 | -5,474 | -5,674 |
| Gold and foreign accounts | -44 | +20 | 6 | +22 | +1 | +94 |
| Currency outside banks | -192 | +450 | -422 | +21 | +586 | -427 |
| Other Federal Reserve liabilities and capital | -121 | +407 | -491 | +102 | -175 | -218 |
| Total "market" factors | +1,154 | +5,624 | -2,018 | -4,423 | -5,777 | -4,623 |
| Direct Federal Reserve credit transactions | | | | | |
| Open market operations | | | | | |
| (subtotal) | -1,077 | -5,334 | -2,865 | -3,760 | +4,335 | +4,480 |
| Outright holdings: | | | | | |
| Treasury securities | -881 | -2,043 | -2,580 | +2,132 | +1,844 | +2,734 |
| Bankers' acceptances | -13 | -12 | -17 | -18 | -17 | -77 |
| Federal agency obligations | -14 | -- | -22 | -- | -- | -36 |
| Purchase agreements: | | | | | |
| Treasury securities | -68 | -1,055 | +276 | +1,095 | +2,242 | +3,548 |
| Bankers' acceptances | -72 | -202 | +40 | +370 | +210 | +256 |
| Federal agency obligations | -20 | -94 | +8 | +121 | +56 | +64 |
| Member bank borrowings | +107 | +145 | +45 | +116 | +9 | +31 |
| Seasonal borrowings† | +6 | 3 | +4 | +6 | 7 | +18 |
| Other Federal Reserve assets‡ | +55 | 4 | +451 | -159 | +56 | +407 |
| Total | -915 | -5,479 | -3,274 | -3,657 | +4,383 | +4,927 |
| Excess reserves§ | +239 | +455 | +653 | -706 | +617 | +284 |
| Daily average levels | | | | | |
| Monthly averages: | | | | | |
| Member bank: | | | | | |
| Total reserves, including vault cash‡ | 33,777 | 33,155 | 24,011 | 33,610 | 34,789 | 33,898 |
| Required reserves | 33,363 | 33,108 | 23,297 | 33,762 | 34,324 | 33,669 |
| Excess reserves | 414 | 43 | 614 | -152 | 465 | 209 |
| Total borrowings | 242 | 92 | 48 | 164 | 166 | 143 |
| Seasonal borrowings† | 17 | 12 | 16 | 22 | 19 | 19 |
| Nonborrowed reserves | 33,535 | 33,062 | 33,903 | 33,146 | 34,623 | 33,726 |
| Net carry-over, excess or deficit (—) | 56 | 107 | 56 | 220 | -12 | 99 |
Note: Because of rounding, figures do not necessarily add to totals.
* Includes changes in Treasury currency and cash.
† Included in total member bank borrowings.
‡ Includes items designated as foreign currencies.
§ Adjusted to exclude waiver of penalty for reserve deficiencies in accordance with the Regulation D change effective November 19, 1975.
† Average for five weeks ended June 30, 1976.
‡ Not reflected in data above.
OTHER SECURITIES MARKETS
Yields in the corporate and municipal bond markets also halted the upward movement of the previous month and partly retraced their earlier increases. Sentiment was buoyed by the stabilization in short-term money market conditions. While a substantial volume of new corporate issues, including obligations of many finance companies, was distributed easily during June, aggressive pricing on large issues late in the month met strong investor resistance. After a relatively heavy schedule of new state and local issues through the first half of June, the calendar of tax-exempt financings diminished considerably, taking some pressure off that sector.
In corporate underwriting, the largest industrial offering was $125 million of thirty-year debentures at mid-month. The Aa-rated debt was well received at a yield of 8.57 percent. Mixed receptions were accorded to a number of new utility issues during the month. Investors quickly purchased $200 million of Aaa-rated telephone debentures due in forty years at an 8.68 percent yield. However, an Aaa/AA-rated (Moody's/Standard & Poor's) telephone issue met stiff resistance when the $300 million 39-year debentures were priced to return 8.85 percent, a somewhat lower rate than had been expected. The return required on electric utility bonds was indicated by two thirty-year financings during the month. An Aa-rated $80 million issue carried a 9.00 percent yield, while an A-rated $125 million offering provided investors with a 9.22 percent return. In recent months, yield differentials on utilities with different ratings have continued to narrow.
At the beginning of June, the result of increases in municipal rates over the previous month required the State of Maryland to provide yields of from 4.25 percent in 1979 to 6.00 percent in 1991 on $175 million of Aaa-rated securities, 25 to 40 basis points higher than those attached to a comparably rated issue sold a month earlier. Later in June, the State of Wisconsin offered $120 million of Aaa-rated bonds, returning from 3.20 percent in 1977 to 6.00 percent in 2006. These bonds, offered at considerably lower yields on comparable maturities, were successfully distributed after some initial investor resistance. Rate declines over the month were similarly indicated by The Bond Buyer index of twenty bond yields on twenty-year tax-exempt bonds, which closed the month at 6.87 percent, down 16 basis points over the period. The Blue List of dealers' advertised inventories rose by $35 million to close the month at $860 million, reflecting the heavy volume of municipal financing.
| Maturity | Weekly auction dates—June 1976 | Monthly auction dates—April-June 1976 |
|----------|-------------------------------|-------------------------------------|
| | June 7 | June 14 | June 21 | June 28 | April 29 | May 26 | June 23 |
| Three-month | 5.450 | 5.380 | 5.356 | 5.368 | 5.645 | 6.380 | 6.081 |
| Six-month | 5.768 | 5.695 | 5.722 | 5.754 |
* Interest rates on bills are quoted in terms of a 360-day year, with the discounts from par as the return on the face amount of the bills payable at maturity. Bond yield equivalents, related to the amount actually invested, would be slightly higher.
A Probabilistic Approach to Early Warning of Changes in Bank Financial Condition
By Leon Korobow, David P. Stuhr, and Daniel Martin*
The subject of early warning is one that challenges our understanding of the nation's financial system. In the perspective of the strains imposed on banks by virulent inflation and severe recession during the past few years, it is clear that improved methods of early detection of financial weaknesses in our banking system could help bank regulatory authorities to anticipate and mitigate future problems. An effective early warning system could make a substantial contribution to a more smoothly functioning financial system.
The Federal Reserve Bank of New York has for some years had under study statistical techniques to assist in the supervision of banks in the Second Federal Reserve District. This research has been aimed at the development of early warning indicators from financial reports that banks file routinely with regulatory agencies. The results thus far strongly suggest that substantial improvements in the allocation of supervisory resources could be achieved by focusing attention primarily on banks designated vulnerable by the criteria set forth in the early warning procedures. These procedures also can provide estimates of the probability that any single bank will, under varying economic circumstances, develop severe financial weakness at some future date. Earlier investigations have been described in the September 1974 and July 1975 issues of the Federal Reserve Bank of New York Monthly Review. This article brings those reports up to date and comments more broadly on the role that early warning research can play in improving bank supervision.
EARLY WARNING AS AN AID TO SUPERVISION
The financial turbulence of the 1970's clearly highlighted an important new dimension of the problems of bank supervision. The failure of the United States National Bank of San Diego, the Franklin National Bank, and the Security National Bank dramatized the consequences of high risks and imprudent management, if not fraud, even for large institutions. Each of these banks had assets in excess of $1 billion. While failures on this scale have been relatively few, the general problems that have surfaced in banking in recent years clearly indicate that large banks are not immune to failure and that improved techniques of spotting financial deterioration at an early stage could make an important contribution to the stability of our financial system.
Many of the problems that have affected banks in recent years are the direct result of the twin shocks of severe inflation and recession. In some cases, a willingness to extend the normal limits of risk taking for the sake of enhanced profits during the 1960's and early 1970's contributed to a degree of risk exposure which, in retrospect, proved to be unwise. Clearly, banks must be prepared to take risks if they are to serve the financial needs of the nation's economy, but these risks must be tempered by the public's interest in a sound and stable banking system, since the potential costs of widespread instability in banking extend far beyond the banks directly concerned.
The achievement of an appropriate balance between risk taking and the preservation of comfortable margins of safety with respect to earnings, capital, and liquidity is a goal that both bankers and bank supervisors have a vital stake in pursuing. From this point of view, it is
*This article has been adapted from an address to a Conference on Financial Crises at the Salomon Brothers Center for the Study of Financial Institutions, New York University Graduate School of Business Administration, on May 20, 1976. Leon Korobow is an Assistant Vice President in the Bank Supervision and Regulation Function of the Federal Reserve Bank of New York. David P. Stuhr is an economist in the Banking Studies Department and Associate Professor of Finance at Rutgers University. Daniel Martin is a senior banking research analyst in the Banking Studies Department. The authors acknowledge the many helpful comments made by their colleagues at the Bank but accept full responsibility for this paper.
important to recognize what bank supervisors have always known: that on-site examinations provide accurate insight into developing, as well as actual, financial problems at banks. The experience of supervisors and the results of financial research indicate that financial deterioration typically does not occur overnight. A decline in earnings, capital, liquidity, and asset quality and inadequate management, as reflected in poor internal controls and auditing procedures, usually develop over a period of time. Thus, regularly scheduled bank examinations normally would uncover these adverse developments.
Regular examinations not only probe a bank's financial condition but also provide valuable information on whether banks are complying with regulatory policies and procedures. An on-site examination has strong precautionary and psychological influences on a bank and is the major cutting edge of supervisory policy.
There are, nonetheless, a number of factors that make an effective statistical early warning system important for responsive and efficient bank supervision. First, significant changes in a bank's management policies and financial condition can occur between examinations. Second, an on-site examination is a lengthy and expensive process and not always the most cost-effective method of tracking small, but important, changes in a bank's financial condition. Third, although examiners generally are sensitive to developing trends that indicate potential future management or financial problems and normally comment on such matters in their reports, they must necessarily emphasize their findings concerning the actual condition of the bank rather than the estimated impact of potential problems. Fourth, an examiner's findings are part of the official record and could provide the basis for enforcement or other supervisory actions. In contrast, statistical early warning measures can be informal, affording the opportunity for experiments with techniques to uncover financial weakness at its earliest stages.
In short, early warning analysis can be a valuable adjunct to the process of bank examination and supervision. By providing accurate and timely information on changes in bank financial condition between examinations, it could make possible a more efficient use of supervisory resources. Moreover, an efficient early warning system can be a useful tool of analysis in the ongoing appraisal of bank financial condition.
**DETECTING POTENTIAL DETERIORATION**
Early warning research at the Federal Reserve Bank of New York has recently focused on the problem of detecting potential financial deterioration in banks rather than on studying the characteristics of banks that have already undergone severe deterioration. This approach required a substantial modification of the methodology employed in the earliest stages of the project.¹
Measures of vulnerability were investigated, using financial data that are reported routinely to bank regulatory agencies, so that the condition of banks could be closely monitored in periods between scheduled on-site examinations. A number of financial variables were selected for testing. These were variables that past experience had indicated were closely associated with financial strength or weakness. The objective was to find the smallest set of variables that could be used to detect early signs of financial deterioration. Since overall economic conditions can have a substantial impact on a bank's ability to withstand unexpected shocks or strains, the analysis was structured to take into account the external environment.
For each variable employed, a standardized deviation was computed for every bank. The values of the variables were compared with the averages for all member banks in the District, and the differences were divided by the respective standard deviations of each of the variables. The resulting standardized deviations were added algebraically to form an overall bank score in which the component variables were weighted equally. A score was obtained for each member bank from financial data for an appropriate base year. We expected that the higher the bank score the more resistant the institution would be to adverse economic or financial developments while the lower the score the greater its vulnerability.
The performance measure thus obtained for any given base year promised to provide a stable indication of financial strength or weakness for all member banks in the Second Federal Reserve District. The 350 or so member
¹ See Leon Korobow and David P. Stuhr, "Toward Early Warning of Changes in Banks' Financial Condition: Progress Report", *Monthly Review* (Federal Reserve Bank of New York, July 1975), pages 157-65. See also David P. Stuhr and Robert Van Wicklen, "Rating the Financial Condition of Banks: A Statistical Approach to Aid Bank Supervision", *Monthly Review* (Federal Reserve Bank of New York, November 1974), pages 313-38; Joseph F. Sinkey, Jr., and David A. Walker, "Problem Banks: Identification and Characteristics", *Journal of Bank Research* (Bank Administration Institute, Winter 1975); Joseph F. Sinkey, Jr., "A Multivariate Statistical Analysis of the Characteristics of Problem Banks", *The Journal of Finance* (American Finance Association, March 1975); Joseph F. Sinkey, Jr., "Early-Warning System: Some Preliminary Predictions of Problem Commercial Banks", *Proceedings of a Conference on Bank Structure and Competition* (Federal Reserve Bank of Chicago, May 1973), pages 85-91.
banks comprising this group included banks which varied widely in size, scope of banking business, and propensity for taking risks. Among these banks were a large number whose management policies were known to be conservative and whose balance sheets and income statements would lead most observers to conclude that they had a low tolerance for risk. The overall group also included a number of large banks, as well as many that were active practitioners of liability management.
We rejected performance comparisons based on banks that are similar in size and scope of banking activities. The risk exposure in a group of similarly situated banks might be uniformly high or low, and thus be misleading as a basis for determining the degree to which a particular bank might be vulnerable to economic and financial strains.
The scoring approach provides a means for comparing and tracking banks' financial performance over varying periods of time. However, one of the main problems in applying these procedures to the supervisory process is the need for a link between the bank scores and an independent measure of a bank's soundness. In other words, it is important to know the significance of a low score and the degree of vulnerability indicated by progressively lower standings in the list of scores.
**MEASURING EFFICIENCY**
One measure of the effectiveness of the procedures is suggested by the role of the bank score as an aid to bank supervision. That measure is the extent to which the bank scores in a base year provide an accurate indication of those banks that deteriorated seriously in subsequent years, as evidenced by receipt of a low rating from supervisory personnel.
The scoring procedure made it possible to divide Second District member banks into two groups—i.e., resistant and vulnerable. This division suggested that the efficiency of supervision could be improved by allocating resources primarily to the banks designated vulnerable. The dividing line, in terms of bank scores, between the banks designated vulnerable and those designated resistant was drawn with the aid of a cost function that minimized the costs of two types of error—i.e., drawing the line too high and examining more banks than necessary, and drawing the line too low, thus failing to identify banks that were likely to deteriorate or fail.
The cost of the first type of error for a given bank is based on its size, since the cost of examining a large bank usually far exceeds the cost of examining a small bank. The cost of the second type of error is assumed to be a large multiple of the cost of examining the bank and reflects the high social costs of failing to identify and to examine a bank that subsequently undergoes substantial deterioration.\(^2\) The optimal dividing line between resistant and vulnerable banks is the one that minimized these costs.\(^3\)
The gain in efficiency represents the reduction in examination expenses, less the cost of failing to identify correctly banks that subsequently deteriorated. In this article, the gain is expressed as the percentage reduction in costs from examining only banks designated vulnerable, compared with the costs of examining all banks annually, as at present. In the comparison, total costs are comprised of the costs of the two types of errors described above.
**AN EARLY WARNING FUNCTION**
Using the cost function, it was possible to compare alternative sets of variables in terms of their value in identifying as vulnerable banks that would be given a low supervisory rating in a subsequent period. The set of variables that yielded the most efficient allocation of supervisory resources was selected after experimentation with many different combinations. The set of six variables discussed below was more efficient than any other combination tested thus far, including the twelve-variable combination employed in the July 1975 report. The six variables are shown in Table I, where the contributions to resistance and vulnerability are indicated by plus and minus signs, respectively.
The first variable, total operating expenses/total operating revenues, is a measure of a bank's ability to generate
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\(^2\) We assumed that the cost of correct classification is zero. This implies that the examination costs associated with designating an examinable and, therefore, examining a bank that deteriorated seriously is matched by the benefits of identifying the source of, and possibly arresting, the deterioration. See Korobow and Stuhr, *op cit.*, pages 160-63.
\(^3\) The total cost of the two types of errors can be expressed as follows:
\[
TC = \sum_{i=1}^{m} (\text{cost r:w})_i + \sum_{j=1}^{n} (\text{cost v:s})_j
\]
where
- \(TC =\) Total cost
- \(m =\) Number of banks receiving low summary ratings classified as resistant
- \((\text{cost r:w})_i =\) Cost of classifying as resistant the \(i\)th bank when it receives a low summary rating
- \(n =\) Number of banks with high or intermediate summary ratings classified as vulnerable
- \((\text{cost v:s})_j =\) Cost of classifying as vulnerable the \(j\)th bank when it retains a high or intermediate summary rating
Table I
THE SIX EARLY WARNING VARIABLES
| Variable | Sign* |
|-----------------------------------------------|-------|
| Total operating expenses/total operating revenues | — |
| Total loans/total assets | — |
| Commercial and industrial loans/total loans | — |
| Provision for loss/total loans and investments| — |
| Net liquid assets/total assets† | + |
| Gross capital/risk assets‡ | + |
* A plus sign means that an increase in the value of the variable is indicative of resistance, a minus sign means that an increase in the variable is indicative of vulnerability.
† Net liquid assets are defined as United States Treasury securities maturing in less than one year plus Federal funds purchased plus loans to brokers/dealers minus Federal funds purchased minus other liabilities for borrowed money.
‡ Gross capital = Equity capital plus capital notes and debentures plus loss reserves.
Risk assets = Total assets minus cash and due from banks minus United States Treasury securities.
revenues from normal banking operations and to control total expenses in an efficient manner. Operating expenses include all costs except securities losses or extraordinary items. The importance of this variable in relation to various measures of income or rate of return, which had proved less efficient, is that it reflects the limits on bank revenues imposed by market competition. Thus, internal cost control is an especially critical means of maintaining or increasing operating efficiency.
The next two variables—total loans/total assets and commercial and industrial loans/total loans—measure the risk of loss inherent in business lending. The inclusion of both variables is, in effect, a means of emphasizing different aspects of the bank's loan portfolio. Two of the six—provision for loss/total loans and investments and net liquid assets/total assets—are new variables. The former represents a measure of prospective losses envisioned by bank management in relation to the bank's overall loans and investments; the latter measures the bank's ability to meet unexpected deposit or other drains. Finally, the ratio of gross capital/risk assets is a modified version of an earlier measure of bank capital, the main function of which is to cushion losses.
The efficiency of the six variables in classifying banks as resistant or vulnerable is indicated in Table II. Two separate periods are shown: (1) base year 1969, identifying vulnerable banks in 1970-72, and (2) base year 1971, identifying vulnerable banks in 1972-74. In the first period, the inflationary boom in the economy generated a high level of loan activity and sustained many borrowers whose underlying financial position was not strong. Many banks, therefore, showed good financial results. In the latter period, severe financial strain and recession presented a stringent test of financial staying power for borrowers and lenders alike.
In each estimation period, the calculation to determine the most efficient cutoff score involved the comparison of each bank's score in the base year with its supervisory rating in the subsequent three-year period. A comparison was made of the gains and losses at various cutoff points. At the optimal cutoff point, which gives the highest gain in efficiency, the six-variable early warning function produced a 47 percent increase in efficiency in the 1970-72 period and 42 percent in 1972-74. Moreover, about 87 percent of the banks that received low supervisory ratings in 1970-72 and 93 percent in 1972-74 were correctly identified as vulnerable in the respective base years.
These gains are well in excess of those that could be expected from following several naive decision rules for allocating supervisory resources. For example, Naive forecast 1 in Table II is based on the assumption that bank supervisory ratings will not change over the estimation period. This assumption gives rise to a decision rule that banks with high or intermediate supervisory ratings would not be examined annually. Only low-rated banks in the base year would be subject to annual examinations. This rule yielded a small gain in efficiency in 1970-72 and a substantial loss in 1972-74.
Naive forecast 2 is a broader rule that would exempt from annual on-site examination banks having the highest supervisory ratings. All banks with intermediate or low supervisory ratings in the base year would be examined annually. In this case, the gain in efficiency was much lower than the gain achieved using the optimal decision rule of the early warning function estimated over the period 1970-72 and was negligible over the period 1972-74. Thus, the early warning function developed from the six variables possesses a significantly greater capacity to isolate vulnerable banks than any simple rule based on the tendency of supervisory ratings to remain unchanged over time. The function is also more efficient than the simple assumption that severe deterioration among banks would
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4 A bank was considered to have had a low supervisory rating if it received a low rating in at least one of the three years subsequent to the base year, although it may not have received a low rating in all three years. In general, approximately three quarters of the banks that received low supervisory ratings during the periods studied had high or intermediate ratings in the base years.
be confined in subsequent periods to those banks with intermediate and low supervisory ratings in any base year. Of course, the value of early warning procedures in improving the efficiency of bank supervision depends on the applicability of the cutoff points, developed from past estimation periods, to the economic conditions expected in the future. Research conducted thus far indicates a good degree of stability.
Nonetheless, study of the bank scores and the location in the listing of banks that received low supervisory ratings in the period subsequent to the base year clearly indicates a high concentration of low-rated banks at the bottom of the list. This observation suggests that vulnerability increases with diminished financial performance as measured by the early warning indicators we employed. It also suggests that the bank scores can be translated into a probability estimate using regression methods.
In estimating the probability of banks receiving a low supervisory rating as a function of their scores, we constructed an "observed probability" for each member bank in the Second District. These probabilities were obtained by determining for banks whose scores were within a selected interval in the base year the proportion of banks that received low supervisory ratings over the estimation period subsequent to the base year.\(^8\) That proportion was taken to be a proxy for the given bank's probability of receiving a low supervisory rating. The observed probabilities were then used as the dependent variable of a regression equation.
The purpose of the regression was to estimate the relationship between the bank scores and the observed probabilities. This relationship was assumed to be a continuous function, approaching zero for large positive scores and approaching one for large negative scores. Furthermore, the function was assumed to be monotonic, that
\(^8\) The interval was one bank score unit on either side of each bank's score.
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**Table II**
**ANALYSIS OF GAINS IN EFFICIENCY FROM CLASSIFICATION OF BANKS INTO RESISTANT AND VULNERABLE GROUPS ON THE BASIS OF THE SCORING PROCEDURE**
| Cutoff bank score based on: | Base year 1969: estimation period 1970-72 | Base year 1971: estimation period 1972-74 |
|-----------------------------|------------------------------------------|------------------------------------------|
| | Percentage of banks having low supervisory ratings correctly identified | Gain in efficiency | Percentage of banks having low supervisory ratings correctly identified | Gain in efficiency |
| Optimal cutoff point | 86.8 | 47.2 | 92.9 | 42.2 |
| Naive forecast: 1* | 26.3 | 11.9 | 26.8 | -75.4 |
| Naive forecast: 2† | 89.5 | 31.7 | 75.0 | 7.6 |
*All banks with low supervisory ratings in the base years of 1969 or 1971 are assumed to retain these ratings in the subsequent three years, with no other banks receiving low ratings.
† All banks with low or intermediate supervisory ratings as of 1969 or 1971 are assumed to be vulnerable in the next three years. Banks with high ratings in 1969 or 1971 are assumed to be resistant.
Table III
ESTIMATED COEFFICIENTS OF THE ARCTANGENT REGRESSIONS
| Base year | Estimation period | Coefficients | $\bar{R}^2$ |
|-----------|-------------------|--------------|-------------|
| | | $a_0$* | $a_1$† |
| 1969 | 1970-72 | -2.7 | -0.62 | .94 |
| 1971 | 1972-74 | -1.9 | -0.60 | .91 |
*Coefficients $a_0$ are constant terms.
†Coefficients $a_1$ relate changes in bank scores to changes in probabilities.
is, for any two banks the one with the lower score (meaning that it is more vulnerable) should have a higher probability of receiving a low supervisory rating subsequent to the base year.
A conveniently available trigonometric function having the required properties is:
$$P_i = 0.5 + \frac{1}{\pi} \arctan (a_0 + a_1 S_i),$$
where $P_i$ is the probability that each bank will receive a low supervisory rating, $a_0$ and $a_1$ are the coefficients to be estimated from the regression, and $S_i$ is each bank's score. A simple transformation yields an equation that can be estimated using linear regression techniques:
$$\tan (\pi(P_i - 0.5)) = a_0 + a_1 S_i.$$
Changes in the value of $a_0$ shift the curve to the left or right, without changing the function's shape, while a larger absolute value of $a_1$ increases the steepness of the curve (see chart).6
The estimated coefficients of the arctangent regressions for the base year 1969 (estimating probabilities of deterioration in 1970-72) and the base year 1971 (estimating probabilities of deterioration in 1972-74) are shown in Table III. The fit is good in both periods, as indicated by values of $\bar{R}^2$ in excess of .90. While the $a_1$ coefficients, which relate changes in bank scores to changes in probability, are not significantly different, the constant terms, $a_0$, do differ significantly between the two base years. The shift appears to reflect overall changes in banking practices as well as differences in the external economic environment during those years. The lower negative value of $a_0$ in the later period suggests that banks faced a higher risk of deterioration or failure for any given level of bank score as a result of the generally more difficult economic and financial conditions at the time. The chart illustrates the relationship between bank scores and the probability of receiving a low supervisory rating, given the bank scores in the base year 1971 and the supervisory ratings assigned to these banks over the subsequent three years.
The probability function can be related to the earlier efficiency measurement in which banks were designated either as resistant or vulnerable, and supervisory resources were allocated primarily to the vulnerable group. Essentially what was done was to classify as vulnerable all banks whose probability of receiving a low supervisory rating was greater than a certain cutoff probability level. If these optimal cutoff points are translated into the probability of a bank receiving a low supervisory rating subsequent to the base year, then all banks with a probability of about 15 percent or greater would be
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6 The choice of the arctangent function is arbitrary and was heavily influenced by convenience for programming the regressions. Other estimation techniques will be explored and will be reported on in subsequent papers. Of particular interest is logit analysis, a technique that treats the actual occurrence or non-occurrence of an event as a dependent variable without the construction of an arc-sine transformation. Logit analysis involves the immediate step of combining the independent variables into a single bank score; the relative weights of the variables in the estimated probability function are computed within the regression itself. The technique is described by Stanley H. Waksberg and David Duncan, "Estimation of the Probability of an Event as a Function of Several Independent Variables", Biometrika (1967), and is applied to credit analysis in The Journal of Commercial Bank Lending (August 1974) by Delton L. Chesser.
Table IV
ANALYSIS OF GAINS IN EFFICIENCY FROM CLASSIFICATION OF BANKS INTO RESISTANT AND VULNERABLE GROUPS ON THE BASIS OF VARIOUS PROBABILITY LEVELS
In percent
| Cutoff probability level | 1970-72 | 1972-74 |
|--------------------------|---------|---------|
| | Percentage of banks having low supervisory ratings correctly identified | Gain in efficiency | Percentage of banks having low supervisory ratings correctly identified | Gain in efficiency |
| 10 | 94.7 | 34.3 | 96.4 | 14.1 |
| Optimal* | 86.8 | 47.2 | 92.9 | 42.2 |
| 20 | 55.3 | 34.7 | 75.0 | 25.6 |
| 30 | 39.5 | 19.5 | 58.9 | 6.6 |
| 40 | 21.1 | 3.4 | 41.1 | -41.1 |
| 50 | 15.8 | 3.2 | 26.8 | -74.8 |
| 60 | 13.2 | -1.5 | 21.4 | -89.6 |
| 70 | 5.3 | -13.9 | 16.1 | † |
| 80 | 2.6 | -15.9 | 10.7 | † |
| 90 | 0 | -15.6 | 3.6 | † |
* For 1970-72 the optimal cutoff probability level was 13 percent; for 1972-74 it was 16 percent.
† Large loss.
considered vulnerable. As shown on Table IV, the efficiency of other specific probability levels can be determined. For example, the first line on the table indicates that, if banks with a 10 percent or higher probability of receiving a low supervisory rating were examined, the gain in efficiency relative to annual examinations would have been 34 percent in the 1970-72 period and 14 percent in 1972-74.
FORECASTING SUPERVISORY RATINGS
The forecasting ability of the early warning function must be tested in periods that extend beyond those used to estimate the function. This test is not yet possible for the function estimated over the 1972-74 period, since the data for a comparable three-year period are not yet available. Nonetheless, we conducted preliminary tests, assuming economic conditions similar to those of 1972-74, and the results are encouraging. The results of one test are shown in Table V. Using the function computed over the period 1971-74, the estimated probability of a bank receiving a low supervisory rating in 1975-77 was obtained for each Second District member bank, based on 1974 financial reports. The banks were classified into five ranges of probabilities. We expected that the proportion of banks that actually received low supervisory ratings in 1975 would increase as the range of estimated probability increased to higher levels. Table V shows that this is in general what happened, although 1975 represented only one third of the forecast period. Only 2.2 percent of the banks with probability estimates of 20 percent or less received low ratings in 1975, but 41.5 percent of banks with probability estimates of 80 percent or more had low ratings.
Since this test included some banks that had low supervisory ratings not only in 1975, but also in earlier years on which the function was originally estimated, a further test was conducted. In this test, low-rated banks in each probability range were included only if they had received low supervisory ratings for the first time in 1975. These are the banks that, on the basis of a naïve decision rule employed in 1974, might have been expected to continue to receive high or intermediate supervisory ratings in 1975. The third column of Table V shows that only 0.7 percent of the banks in the probability range of 20 percent or less received low supervisory ratings for the first time in 1975, compared with 19.5 percent for those with probabilities of over 80 percent. More than half the banks that received low supervisory ratings for the first time in 1975 were in the highest probability range in 1974. This test, while rough and based on the relatively small number of banks that received low supervisory ratings in 1975, suggests that the early warning function has a significant capability for identifying vulnerable banks in years subsequent to the estimation period.
Table V
PERFORMANCE OF AN EARLY WARNING FUNCTION IN PREDICTING BANKS LIKELY TO RECEIVE LOW SUPERVISORY RATINGS IN 1975
In percent
| Estimated probability of receiving a low rating as of 1974* | Percentage of the banks in various probability ranges as of 1974, which: |
|-----------------------------------------------------------|------------------------------------------------------------------------|
| | Had a low supervisory rating in 1975? | Received a low rating for the first time in 1975‡ |
| 0 to 20 | 2.2 | 0.7 |
| 20 to 40 | 10.2 | 1.5 |
| 40 to 60 | 17.3 | 6.9 |
| 60 to 80 | 16.1 | 6.5 |
| 80 to 100 | 41.5 | 19.5 |
* Assumes an economic environment similar to that of 1971-74. Probability estimates are derived from 1974 financial statements of Second District member banks.
† All banks with low supervisory ratings in 1975, regardless of previous ratings.
‡ Banks with low supervisory ratings in 1975 that did not have low ratings in 1974.
CONCLUDING REMARKS
The probability approach shows considerable promise as a useful guide to the degree and intensity of supervision appropriate for banks within an overall group designated vulnerable in any base year. Those banks with relatively high probabilities of deterioration could be considered candidates for the most immediate and intensive supervisory attention. However, to achieve substantial overall gains in efficiency, supervisory resources must also be allocated to banks with relatively low probabilities of deterioration subsequent to the base period. While the precision and efficiency of the forecasts can be expected to improve with more sensitive measures to detect financial weakness at an early stage, some uncertainty is bound to remain in view of the probabilistic nature of financial early warning systems.
New approaches are in process of development. For example, we are exploring methods to estimate the probabilities of failure or a low supervisory rating directly from the early warning variables involved without the intermediate step of the bank score. This change involves a specific weighting of variables and may lead to improvements in the sensitivity of the probability functions. A great deal more must be done to sharpen the measures employed as early warning indicators, thus ensuring that future areas of weakness do not escape unnoticed.
There is also a need in early warning research for a far more thorough analysis of the structure of bank loan portfolios than has been available thus far. In particular, the consequences of industry or geographic concentrations of loans and investments during a period of adverse economic or financial developments are areas that deserve careful study. The balance-sheet and income data which banks are now providing in greater detail and frequency should prove valuable in future early warning research. We are optimistic, however, that the approaches outlined here can do much to assist bank supervisors in spotting potentially vulnerable banks before the problems of these institutions threaten their viability.
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Roma rights
Discrimination, paths of redress and how the law can improve the situation of Roma
Roma rights
Discrimination, paths of redress and how the law can improve the situation of Roma
Swedish Equality Ombudsman (Diskrimineringsombudsmannen, DO)
R2 ENG 2011
Printed by DanagardLITHO, Ödeshög, 2011
ISBN 978-91-979591-1-7
Democracy is based on the principle of equal rights and human dignity for all. Legal protection against discrimination has been introduced to give the principle of non-discrimination practical meaning. Every individual is entitled by law to the protection of his or her human rights.
Discrimination against Roma and the marginalisation this has engendered clearly demonstrates the need for action to enhance Roma’s prospects of influencing the conditions under which they live. Discrimination means that the principle of equal rights and human dignity for all is not being upheld, and this is a serious democratic problem for society as a whole, not just for the groups or individuals it affects.
The present report describes the Equality Ombudsman’s experience of promoting Roma rights, the aim being to determine how far this work has progressed and what further measures need to be taken.
The Equality Ombudsman would particularly like to thank the working group that contributed its expertise in the preparation of this report, namely Angelina Dimiter Taikon, Diana Nyman, Fred Taikon, Ingrid Schiöler, Rosario Taikon and Stefano Kuzhicov.
It is our hope that the report will help to carry forward the work of promoting and upholding Roma rights.
Håkan Sandesjö
Equality Ombudsman
Heidi Pikkarainen
Development Officer
Contents
Preface ........................................................................................................... 5
Background ................................................................................................. 9
Aims and structure .................................................................................. 13
Key terms ............................................................................................... 15
The law as a tool ......................................................................................... 18
Access to rights ...................................................................................... 18
Rights-based education ..................................................................... 20
Reference groups .............................................................................. 21
Reports/Complaints .................................................................................... 22
Willingness to report .............................................................................. 24
Grounds for closing of cases ................................................................. 25
Judgments .................................................................................................... 26
Rule of proof and the amount of damages ........................................... 32
Settlements .................................................................................................. 35
Development areas ..................................................................................... 39
Individual abuses and discriminatory structures ................................. 43
Public places ............................................................................................... 44
The housing market .................................................................................... 48
Social services ............................................................................................ 53
Education .................................................................................................... 58
Knowledge-building .................................................................................. 62
Summary and conclusions ........................................................................ 64
Future efforts to promote Roma rights ................................................ 66
Conclusions of the Equality Ombudsman ............................................ 68
References ........................................................................................................... 72
Literature and reports ....................................................................................... 72
Directives, conventions and legislation ............................................................. 75
Swedish laws and bills ...................................................................................... 75
From the Council of Europe ............................................................................ 75
From EU and EC institutions ........................................................................... 76
From UN institutions ....................................................................................... 76
Judgments and decisions .................................................................................. 76
District Court ..................................................................................................... 76
Appeals Court .................................................................................................... 77
Supreme Court .................................................................................................. 77
European Court of Human Rights ................................................................... 77
Decisions .......................................................................................................... 77
Background
Roma are being subjected to serious abuses throughout Europe. The discrimination against Roma has been confirmed in numerous reports from international bodies, national authorities and NGOs. Sweden is no exception.\(^1\) Roma are excluded from important areas of Swedish society and are still being denied access to basic human rights such as housing, education, employment, social services and health care. Many Roma have experienced discrimination in the justice system, finding that the principle of equality before the law does not seem to apply to them. Together with discrimination in other areas of society, this has adversely affected Roma’s faith in public authorities and other public representatives.
Few of the democratic institutions currently found in Sweden are managing to cope with the complex reality that is the everyday life of Roma. To a great extent, Roma have long remained completely outside society’s democratic processes, and this is still the case. Roma have seldom been involved in decisions affecting them. One possible explanation for the relative lack of action taken on behalf of Roma, and the modest progress made towards improving the situation for Roma around Europe, is that Roma themselves have seldom been involved in the formulation of the problems or of the measures needed to alter the situation.
Discrimination legislation has long been flawed and many Roma have viewed the authorities’ efforts and willingness to combat discrimination as less than satisfactory. One step in the right direction, towards the realisation of human rights, was the adoption of the European Community directive against ethnic discrimination in 2000\(^2\). This directive requires European member states to develop legal instruments and take measures that make it easier for individuals to obtain redress when their rights are violated in a manner associated with their ethnicity.
\(^1\) See for instance Swedish Government Report SOU 2010:55, “Romers rätt – en strategi för romer i Sverige” [Roma rights: A strategy for Roma in Sweden].
\(^2\) Council of Europe Directive 200/43/EC implementing the principle of equal treatment between persons irrespective of racial or ethnic origin.
Sweden implemented the directive through the Prohibition of Discrimination Act (Swedish Code of Statutes 2003:307). This extended legal protection against discrimination to additional areas, including the supply of goods and services, e.g. housing, social benefits such as social services, and health and medical care. Previous anti-discrimination legislation in Sweden only covered higher education and the relationship between employers and employees. Thus the new law established legal grounds for more effective protection in many of the situations in which Roma are discriminated against, such as when seeking to rent or purchase a home, when out shopping or when visiting a public facility.
In 2006, protection was broadened further by means of the Act Prohibiting Discriminatory and Other Degrading Treatment of Children and Pupils (2006:67.) This law offered protection against discrimination, harassment and other forms of abusive treatment at school and in other educational contexts. It also prescribed that schools were to seek to prevent harassment and other abusive treatment, and required them to actively promote the principle of equal rights for children and pupils.
In 2004, the Ombudsman against Ethnic Discrimination presented a report entitled Discrimination of Roma in Sweden. It described how the Ombudsman in 2002-2003 had gone about discharging a special government mandate to prevent and combat discrimination against Roma (also known as the Roma Project). Based on what had been learned in the course of the Roma Project, the report noted the existence of considerable knowledge gaps regarding the causes of the Roma’s situation in Sweden. Ignorance of the Swedish state’s historical role in this connection and of how historical actions and perceptions have impacted on the widespread and complex discrimination directed at Roma today was described in the report as one of the principal reasons for the marginalised position of Roma in contemporary Swedish society.
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3 Government Bill 2002/03:65, “Ett utvidgat skydd mot diskriminering” [Extended protection against discrimination].
The report noted the need for more actors to develop approaches that would enable anti-discrimination legislation to be used as an instrument in the task of changing discriminatory structures that prevent Roma from enjoying their human rights to the full. It stressed the importance both of developing a greater awareness of the link between individual abuses and discriminatory structures and taking action to raise awareness of the protection against discrimination offered by the law. The report further emphasised the need to mobilise Roma representatives. The serious situation revealed by the report, it was felt, warranted special measures to ensure that Roma as a group caught up with the majority population instead of remaining in an unequal position in the community.
The approaches outlined in the report came to serve as a basis for continued efforts to prevent and combat the discrimination of Roma. An open dialogue and cooperation between the Roma and the Ombudsman against Ethnic Discrimination, both locally and nationally, had a dual effect: the Ombudsman acquired a closer understanding of the Roma’s situation and the Roma themselves learned more about the protection against discrimination and paths of redress. The dialogue with Roma and the rights-based educational courses that the Ombudsman’s staff participated in raised the agency’s awareness of the conditions under which Roma live. The new approach is one of several reasons why Roma have contacted the Ombudsman to assert their rights by for instance submitting complaints about discrimination, and this in turn has given the agency greater opportunity to launch legal proceedings that make clear the existence of discrimination against Roma and contribute to Roma obtaining redress.
Protection against discrimination has been further strengthened in Sweden by the creation of a single, integrated authority through adoption of the Act concerning the Equality Ombudsman (2008:568) and the all-inclusive Discrimination Act (2008:567), both of which entered into force in January 2009. With the advent of an integrated ombudsman authority, the chances of broadening the fight against discrimination and making it more effective have increased. The new cohesive Discrimination Act provides a broader scope for a more
in-depth approach to the task of combating the discrimination of Roma.
The general purpose of the Act is to combat discrimination and promote equal rights and opportunities regardless of sex, transgender identity or expression, ethnicity, religion or other belief, disability, sexual orientation or age.\(^4\)
The law prohibiting discrimination applies to employers, educational activities, labour market policy activities and employment services, the starting or operation of a business, membership in certain organisations, the supply of goods, services and housing, meetings and public events, health and medical care and social services, the social insurance system, unemployment insurance and financial aid for studies, national military service and civilian service, and public employment.
The Equality Ombudsman has taken the work of the Ombudsman against Ethnic Discrimination a step further in seeking to prevent and combat the discrimination of Roma. The approaches formulated in the Roma Project, and continuously refined since, have been included and strengthened in the strategic plan adopted by the Equality Ombudsman that serves as a basis for how the agency pursues its anti-discrimination mandate and the various activities involved.
The Equality Ombudsman’s primary legal tool is the Discrimination Act (2008:567). Other important tools available to the Ombudsman in the fight against discrimination are the various international conventions, e.g. the Convention on the Elimination of All Forms of Racial Discrimination (CERD), the Convention on the Elimination of All Forms of Discrimination against Women (CEDAW), and the European Convention for the Protection of Human Rights and Fundamental Freedoms.
The Discrimination Act and the international conventions are crucial tools in upholding the principle of equal rights and human dignity
\(^4\) Section 1 of the Discrimination Act (2008:567).
for all. They serve as tools both for individual redress and for drawing attention to the discriminatory structures that prevent people from enjoying their rights.
According to the Government Bill presenting the Discrimination Act, the goals of participation and equality are of considerable importance to people in a vulnerable positions in society.\(^5\)
The special rights accorded to minorities under international law and national legislation should be regarded as ways of ensuring that in practice minorities such as the Roma are guaranteed the same rights and opportunities as the majority population.\(^6\) In view of this, and given its mandate, the Equality Ombudsman is a key actor in the securing and strengthening of Roma’s right to non-discrimination. And this plays an important role in the endeavours to realise their human rights.
**Aims and structure**
The efforts of the Equality Ombudsman to combat discrimination of Roma proceeds from an understanding that human rights acquire practical meaning through a broad awareness of how discrimination can be combated and how rights can be achieved and asserted. By the same token, it is crucial to raise awareness of how serious abuses and discriminatory structures help to maintain the marginalisation of a group such as the Roma.
In order to strengthen and develop the work of the Equality Ombudsman, the relevance of anti-discrimination legislation must be analysed as to its effectiveness and its chances of hastening
\(^5\) Government Bill 2007/08:95. “Ett starkare skydd mot diskriminering” [Stronger protection against discrimination], page 79.
\(^6\) Key conventions here are the UN Convention on the Elimination of All Forms of Discrimination against Women (CEDAW), the UN Convention on the Elimination of All Forms of Racial Discrimination (CERD), the European Social Charter, the Framework Convention for the Protection of National Minorities (1995) and the European Charter for Regional or Minority Languages. See also report by the Swedish Ombudsman against Ethnic Discrimination (2008), “Diskriminering av nationella minoriteter inom utbildningsväsendet” [Discrimination of national minorities in the education system].
the kind of social change that ensures respect for the principle of equal rights and human dignity for all. Another important task is to highlight the link between individual abuses and discriminatory structures, with a view to raising awareness in society.
The present report is based both on complaints from Roma received by the Ombudsman against Ethnic Discrimination and the Equality Ombudsman between 1 January 2004 and 31 December 2010 and on the legal proceedings, judgments and settlements that have resulted from the targeted work of these agencies. The complaints and the legal proceedings have served as a basis for analysis of how discrimination against Roma is manifested and also of the effectiveness of legal instruments in ensuring non-discrimination concerning this group.
The aim of the report, therefore, is to examine what actions can be taken using legal tools to help individuals obtain redress, and to combat the discriminatory structures that prevent Roma’s access to human rights and help perpetuate their unequal place in society.
The report is in three parts: The first part contains a review of complaints, judgments and settlements relating to discrimination of Roma. The aim is both to examine the Roma’s willingness to report abuses and to determine which approaches and initiatives improve their access to human rights and their awareness of the protection against discrimination available to them. Similarly, the report reviews levels of damages, issues relating to proof, and the scope of current legislation. This presentation is followed by an analysis of how the law in its various aspects can help individuals obtain redress and also hasten the kind of social change that ensures access to human rights. The analysis in the first part identifies potential areas of improvement in the legal realm.
The second part of the report contains an analysis of individual abuses and discriminatory structures identified in dialogue with Roma, an analysis of complaints and legal cases concerning discrimination against Roma, and research and international findings. The second part concludes with a discussion of the importance of embarking on a long-term, systematic effort to create a situation in
the public sphere in which decisions are guided by an awareness of the link between individual abuses and discriminatory structures. This includes a discussion on the importance of participation and of awareness of the role of history and its constant presence in the fight against discrimination.
The third and final part of the report is a summary of the previous parts. It includes a discussion on the work of the Equality Ombudsman and other key actors in pursuit of Roma rights, and also sets out the Ombudsman’s conclusions.
**Key terms**
In accordance with the Council of Europe’s convention on national minorities, the Swedish Equality Ombudsman uses a definition of the term national minority based on the precept that all individuals who identify themselves as belonging to one or the other of the national minorities qualify for protection under the convention. Roma in Sweden are one of the five recognised national minorities, and Swedish policy on minorities applies to all who identify themselves as Roma.\(^7\) Antiziganism is defined in Sweden as negative perceptions or attitudes or abusive behaviour directed at Roma.\(^8\)
The term marginalisation aims to define the processes that contribute to the Roma’s circumstances in life from a perspective based on the notion that there is a link between the widespread discrimination found in various areas of society and the social and cultural situation of the Roma, both historically and today.\(^9\)
The protection against discrimination afforded by Swedish anti-discrimination legislation covers both direct and indirect
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7 See Article 3 of the Framework Convention for the Protection of National Minorities, which states: “Every person belonging to a national minority shall have the right freely to choose to be treated or not to be treated as such and no disadvantage shall result from this choice or from the exercise of the rights which are connected to that choice.”
8 See report by the Swedish Ombudsman against Ethnic Discrimination (2004), “Diskriminering av romer i Sverige” [Discrimination of Roma in Sweden].
9 Ibid, p 5.
discrimination. Direct discrimination refers to someone who is disadvantaged by being treated less favourably than someone else is treated, has been treated or would have been treated in a comparable situation, if this disadvantaging is associated with sex, transgender identity or expression, ethnicity, religion or other belief, disability, sexual orientation or age.
Indirect discrimination refers to someone who is disadvantaged by the application of a provision, a criterion or a procedure that appears neutral but that may put people of a certain sex, a certain transgender identity or expression, a certain ethnicity, a certain religion or other belief, a certain disability, a certain sexual orientation or a certain age at a particular disadvantage, unless the provision, criterion or procedure has a legitimate purpose and the means that are used are appropriate and necessary to achieve that purpose.
The work of the Equality Ombudsman is based on the assumption that there is a need to raise awareness in society of the link between individual abuses and discriminatory structures. Individual abuses come to the attention of the Ombudsman primarily through complaints describing a person’s experience of how discrimination is manifested. Through analysis of these complaints, and through the application of available knowledge and dialogue with Roma, the discriminatory structures underlying the individual abuses can be identified. Awareness of how Antiziganism, laws, regulations and established norms limit individual opportunity is crucial to a proper understanding of discrimination. This helps to make clear how the principle that people are equal in rights and dignity is not being respected, how different factors in society interact and are mutually reinforcing, and how these factors prevent individuals from claiming their human rights. Discrimination is a serious democratic problem for society as a whole and not just for the groups exposed to it.
Sweden has ratified many of the international conventions on human rights. By becoming a party to these conventions, Sweden has committed itself to ensuring that individuals enjoy the rights agreed upon in the documents. A common feature of many of the rights laid down in the conventions, relevant parts of which are presented in the
chapter on individual abuses and discriminatory structures, is that they are not precisely specified. These rights imply that states must comply with certain requirements when introducing legislation or other measures. One such requirement is that rights must be available to all persons living in the state concerned, without discrimination, and that convention states must ensure every individual’s right to effective protection and effective legal remedies in the face of discriminatory acts.
Many of the rights prescribed in the conventions are deemed to be closely associated with other human rights. The right to education is one example in that it may be regarded as a first step towards realisation of the right of employment, and both these rights are considered crucial to people’s empowerment and to their chances of influencing the conditions under which they live. For the Equality Ombudsman’s part, building knowledge in this context means showing how discrimination in a given area of society is manifested, but it also means raising awareness about how discrimination in one area contributes to discrimination or a lack of rights in other areas.
States that have signed international conventions are required to submit regular reports to international bodies such as the Council of Europe and the UN describing the extent to which they have implemented the convention provisions. The monitoring committees of the Council of Europe and the UN scrutinise these reports and make recommendations to each state on the basis of what the reports show and of other monitoring activities. This monitoring process helps determine whether a ratifying state has taken adequate steps and established organisational structures with a view to realising the rights prescribed in the conventions.
The law as a tool
An important task for the Equality Ombudsman is to regularly analyse the effectiveness of anti-discrimination legislation and its chances of hastening a societal change process that ensures respect for the principle of equal rights and human dignity for all. Analysis both of the opportunities afforded by the legal tools and of their limitations is vital in this connection.
The analysis in this chapter is based on the methods and procedures developed for the purpose of increasing the access of Roma to their rights by making them more aware of the protection against discrimination available to them and by strengthening their trust in the Ombudsman. The material chiefly comprises the 230 or so complaints of discrimination submitted by Roma between 2004 and 2010.\(^{10}\) In order to discover the answer to the question of what opportunities and shortcomings are associated with the use of the lawnt, the analysis of Roma complaints is linked to an analysis of the judgments and settlements reached in cases involving the discrimination of Roma. To show how anti-discrimination work can move matters forward, the chapter ends with a discussion of potential areas of improvement in which the law needs to become more effective in the fight against discrimination.
Access to rights
Down through the years, Roma have in one way or another been restricted, controlled and shut out by the rules and norms of the majority society. Their history in Sweden and other parts of Europe is marked by racism, persecution, marginalisation, forced
\(^{10}\) The exact figure cannot be determined since neither the Swedish Ombudsman against Ethnic Discrimination nor the Swedish Equality Ombudsman register complaints on the basis of ethnicity. The complaints that provide the basis for this report are ones where the person who reports the matter claims that discrimination has occurred and that it is associated with his/her Roma ethnicity.
assimilation and invisibilisation.\textsuperscript{11} Accordingly, it is not difficult to see why Roma have displayed and still display a considerable lack of trust in the authorities or why Roma so seldom report discrimination to those bodies responsible for preventing and combating it.
Access to rights is also affected by the fact that many Roma are unaware of the protection against discrimination or for human rights. This is serious, since awareness of human rights, of how discrimination can be combated and of how rights can be claimed and asserted are important prerequisites for anyone wishing to play a full part in Swedish society.
The previous Ombudsman against Ethnic Discrimination developed approaches aimed at enhancing Roma’s awareness of the protection available to them and increasing their trust both in the agency and in the law as an instrument of redress. The agency realised that pursuing such a policy was essential if the Ombudsman was to be thought credible in its efforts to alter structures that were impeding access to Roma rights.
The approaches were based on the need for greater awareness on both sides (mutual knowledge-building), as specified in the special Roma Project undertaken by the Ombudsman against Ethnic Discrimination in 2002–2004. The basic idea was that an agency charged with combating discrimination must adopt an active approach if Roma are to seek redress by reporting discrimination and if an ombudsman institution is to gain a closer understanding of how such discrimination is manifested.
The Ombudsman against Ethnic Discrimination concluded that Roma cannot be expected to report discrimination unless they are aware of their rights and trust the agency.
The Roma Project led the Ombudsman against Ethnic Discrimination
\textsuperscript{11} See for instance Montesino Parra, Norma (2002), “Zigenarfrågan – Intervention och romantik” [The gypsy question – Intervention and romanticism], and Liegois, Jean-Pierre (2007), “Roma in Europe”.
to identify a number of structural obstacles that were contributing to the disadvantaged position of the Roma vis-à-vis the majority population and which were prolonging the marginalisation of Roma as a group. Of particular concern was the Roma’s lack of access to fundamental rights such as housing and education, and these were described as areas in which a closer understanding of the link between individual abuses and discriminatory structures was required. Consequently, once the Roma Project had been completed, the Ombudsman against Ethnic Discrimination launched initiatives focusing on discrimination in these areas of society.\footnote{The work was undertaken in project form and the outcome was described in the reports “Diskriminering på den svenska bostadsmarknaden. En rapport från DO:s särskilda arbete åren 2006-2009 kring diskriminering på bostadsmarknaden” [Discrimination in the Swedish housing market: A report from the Swedish Equality Ombudsman’s special study in 2006-2009 of discrimination in the housing market] and “Diskriminering av nationella minoriteter inom utbildningsväsendet”[Discrimination of national minorities in the education system].}
The goal of mutual knowledge-building was further enhanced by the projects on discrimination in the housing market and the education system. The Ombudsman against Ethnic Discrimination embarked on a dialogue with Roma – one of the minorities with which it was collaborating closely – so as to mobilise this group on the issue of the discrimination that was part of their everyday lives. With equal rights and opportunities as the overall objective, and proceeding from the notion that Roma participation is crucial to the process of social change, the Ombudsman sought to collaborate with Roma on active efforts to combat discrimination.
\textbf{Rights-based education}
To help Roma become more aware of the protection against discrimination available to all individuals, and to establish trust between Roma and the Ombudsman against Ethnic Discrimination, a number of rights-based educational courses were provided. These targeted Roma youth, Roma in segregated housing areas and Roma women in particular. They were provided in several locations around the country in cooperation with Roma organisations. Representatives
of other groups exposed to discrimination also took part, along with representatives from county administrative boards, local anti-discrimination bureaus, tenant associations and municipalities. The courses were based on the participants’ own experience of discrimination and on the relevant legal instruments, both national and international.
The core idea was that the educational content would connect with the everyday situation of the Roma and the activities of the Ombudsman. The rights-based courses were conducted in dialogue form and often concerned the types of discrimination the Ombudsman investigated. The courses also focused on the question of which complaints had been dealt with through court judgments or settlements.
Discussion centred on what was needed to ensure that legal protection was an effective tool capable of preventing discrimination and combating the discriminatory structures that hinder access for Roma to housing and education.
**Reference groups**
Another method used in the knowledge-building process involved cooperating with reference groups in identifying problems and measures that show the existence of discrimination, and also identifying the actors responsible for combating human rights abuses. Between 2005 and 2010, various reference groups have been assembled to exchange knowledge and discuss solutions based on these actors’ connection and familiarity with topical issues. The reference group dealing with discrimination in the education system comprised representatives of the national minorities, while the group dealing with discrimination in the housing market included representatives of housing companies, landlords, tenant associations, municipalities, the research community, ethnic minorities and the Government. These reference groups provided a platform for dialogue between representatives of the groups exposed to discrimination and the actors specifically responsible for ensuring access to fundamental rights such as housing and education.
Rights-based education, reference groups, active efforts to combat discrimination, and both national and international reports were all of key importance in the process of implementing the special measures targeting Roma. The development of a shared awareness among Roma and agency staff alike of how discrimination against Roma is actually manifested was deemed essential. Without such a confidence-building method, it was thought, the Ombudsman was unlikely to reach Roma in the first place and Roma were therefore unlikely to gain better access to protection against discrimination. The Equality Ombudsman has found that the approaches described above afford opportunities for participation, strengthen minorities and facilitate the adoption of a long-term perspective in the work of the agency. The Institute for the Study of Human Rights at Gothenburg University analysed the work carried out by the Ombudsman against Ethnic Discrimination targeting groups particularly exposed to discrimination, and evaluated the methods and procedures adopted in pursuit of mutual knowledge-building. One of the institute’s conclusions was that dialogue with minorities is a strategic way of reaching out with scarce resources and ensuring that more people access protection against discrimination. The researchers stated that the approach had had the desired effect and had been “positive and crucial to achievement of the agency’s goals, and also shows that the human rights perspective occupies a key place in its work”.
Reports/Complaints
Studies by the EU’s Fundamental Rights Agency (FRA) show that the willingness to report discrimination to the authorities is low, which means that the number of unreported cases of discrimination is high. Few incidents are reported to the authorities charged with combating human rights abuses. Regarding unreported cases and willingness to report, the conclusions of the FRA are well in line with knowledge gathered by the Equality
13 Gustafsson, Josefine (2007), “Extern utvärdering – Effekterna av informationsinsatser riktade till grupper särskilt utsatta för diskriminering” [External evaluation: The impact of informational measures targeting groups particularly exposed to discrimination], page 67.
Ombudsman concerning Roma’s experience of both serious violations and discriminatory structures in Sweden.\textsuperscript{14}
It is clear, however, that as a result of the new agency approach, based on the principle of mutual knowledge-building, Roma are now asserting their right to non-discrimination by reporting abuses to the authorities to a greater extent than before. Prior to the launch of the Roma Project in 2001, the Ombudsman against Ethnic Discrimination received just two or three complaints per year from Roma. Following completion of the project, the number of complaints has constantly been 30–40 per year. Of the complaints received, some 30 have been resolved by a court judgment or by the parties settling out of court.
In a relatively large proportion of cases, Roma have obtained redress, due in part to the fact that the new work approaches have facilitated the development of new methods and procedures when the Ombudsman investigates individual complaints. The complaints, which often involve complex situations, have increasingly been investigated on the basis of the agency’s closer understanding of the Roma’s situation. One important change in procedure has been that the need for oral contact has been addressed at each step in the investigation, the purpose being both to secure satisfactory results and to increase trust in the complaints body as a means of obtaining redress.\textsuperscript{15}
An inventory of complaints lodged by Roma shows that of the 230 or so submitted to the Ombudsman during the period 2004–2010 almost 70 per cent were from Roma women. The majority of these complaints, almost a hundred, concern Roma women reportedly being discriminated against and harassed in shops when buying food or clothing. Roma women also report discrimination in connection with visits to hotels or restaurants.
\textsuperscript{14} See for instance European Union Agency for Fundamental Rights (2009), “Data in Focus Report 1: The Roma”, European Union Minorities and Discrimination Survey (EU-MIDIS).
\textsuperscript{15} Kawesa, Victoria (2009), “En utvärdering av DO:s bemötande och kontakt med romska anmälare” [An assessment of the Swedish Equality Ombudsman’s treatment of and communication with Roma complainants], Linköping University.
Some 45 complaints from Roma – about 20 per cent of the total – concern discrimination in the housing market. In such cases, Roma feel they have been screened out in the selection process for rented accommodation or refused permission to purchase tenant-owned housing on the grounds of their ethnicity. Other cases concern discriminatory behaviour and harassment on the part of landlords or neighbours. Overcrowding, poor housing standards and inadequate sanitary conditions are further aspects of discrimination in the housing market cited by Roma.
Roughly the same number of complaints concern what Roma experience as discrimination in the way their cases are dealt with and the way they are treated by the social services. A growing number of complaints from Roma concern situations in which schools or health care authorities have reported that conditions in a given Roma family need investigating. Other complaints involve Roma parents reporting discrimination in connection with cases where their children have been taken into care under the Care of Young Persons (Special Provisions) Act (1990:52) and also where their children have been placed in non-Roma environments.
Few complaints from Roma concern the situation of Roma children in school. Similarly, few Roma report discrimination in working life, the health or medical care services or the justice system.
**Willingness to report**
Recurring themes in the Equality Ombudsman’s dialogue with Roma are complaints, willingness to report and paths of redress. As before, a limited willingness to report would appear to reflect a lack of confidence among Roma that a complaint will have any effect on the unequal conditions under which they live from day to day. The small number of complaints noted in relation to the education system, therefore, should be seen in the light of Roma’s lack of confidence in the authorities and their fear that by reporting a school for discrimination they may be placing their child in an even more vulnerable position. Also of relevance here is the way Roma feel their children have been treated by the school as an institution in
the past.\textsuperscript{16} By the same token, the relative lack of Roma complaints citing discrimination in working life may be seen in the light of the marginalisation that the Roma community has experienced in the labour market.
An additional factor affecting Roma’s willingness to report discrimination is that many in this group have little faith in the Equality Ombudsman’s ability to influence the situation with the aid of anti-discrimination legislation. Roma complaints tend to relate to urgent problems and the Equality Ombudsman’s case investigations may be considered too slow and cumbersome. Moreover, discrimination is a part of everyday life for many Roma, which affects their potential for action, their energy and strength and their willingness to believe that a complaint can have any effect on their situation.
\textbf{Grounds for closing of cases}
The majority of investigations following complaints from Roma have been closed without further action being taken. Many of these were closed on the grounds that the complaints were either deficient or incomplete, which was often due to difficulty in establishing contact with the complainant for the purpose of supplementing the information provided. Many cases have also been closed on the grounds of lack of evidence or a failure to establish in the course of the investigation that the matter reported to the Ombudsman related to any of the grounds of discrimination. Also, on occasion, the person concerned has withdrawn the complaint. In addition, some cases have been closed on the grounds that the alleged abuse is not covered by Swedish anti-discrimination legislation.
\textsuperscript{16} See report by the Swedish Ombudsman against Ethnic Discrimination(2008), “Diskriminering av nationella minoriteter inom utbildningsväsendet” [Discrimination of national minorities in the education system], and Rodell Olgaç, Christina (2005) “Den romska minoriteten i majoritetssamhällets skola – Från hot till möjlighet” [The Roma minority in the majority society’s school system: From threat to opportunity], which describes how openly racist attitudes have affected many Roma children’s experience of school attendance and contributed to Roma’s aversion to school as an institution.
Even when complaints fail to reach the courts, they constitute a significant part of the Equality Ombudsman’s anti-discrimination effort. The complaints often reflect complicated situations and provide the agency with both an important source of information and a starting point for its dialogue with Roma and other actors. Also, the agency draws on these reports of discrimination in its discussions with other government agencies, for instance. Thus the complaints help call attention to the Roma’s experience of abuses.
Furthermore, an investigation launched as the result of a complaint sometimes helps to draw the attention of the opposing party to the problem at hand; in some cases, in fact, the investigation has led to a rights-based dialogue between the complainant and the person or persons who are the subject of the complaint. This appears to have been the case in a number of instances where the investigation has been closed as a result of the complainant withdrawing the accusation or stating that the situation had been resolved.
After investigating the 230-odd complaints submitted to them, the Ombudsman against Ethnic Discrimination and the Equality Ombudsman have decided that discrimination was present in about 30 cases. Some of these cases have been tried in court or are scheduled for trial, while others have ended in a settlement between the person complained against and the Ombudsman and the complainant.
**Judgments**
Judgments have been issued in seven of the cases brought to court by the Ombudsman against Ethnic Discrimination or the Equality Ombudsman. Two of these cases concerned discrimination in the housing market, four concerned discrimination in the supply of goods and services, and one was about discrimination in education.
In one of the cases involving the housing market, a Roma man reported as follows. He and his wife wanted to find a home. To this end, he had replied to an advertisement for a vacant flat and after viewing the flat informed the landlord that he wished to rent it. He told the landlord he was studying and that he had defaulted on payments in the past but that his stepfather was prepared to act
as a guarantor. The landlord stated that he did not consider this a problem and was given the stepfather’s telephone number. Over the telephone, the two agreed on a date on which to meet and sign the contract. When they met in person, however, the landlord reacted immediately and asked whether the man was “a gypsy”. The man confirmed his ethnicity, as did his stepparents, who stated that they did not live “traditionally”. The landlord stated that he felt deceived and dared not rent out the flat to the man for fear of how the other tenants would react.
The Borås District Court acquitted the landlord on the grounds that the man’s assertions and the testimony of the parents carried less weight than the landlord’s statement that he did not wish to rent out a flat to someone in debt. The district court also noted that the stepparents were deeply involved in the matter. The Ombudsman against Ethnic Discrimination appealed the decision to a higher court.
The Court of Appeal for Western Sweden took a different view, concluding that the stepparents had supplied detailed accounts that corresponded with each other and were essentially credible and which supported the man’s description of events. There was no reason to suppose, on the basis of the stepparents’ close involvement and their relationship to the man, that the clear and detailed account they had given was not to be believed. The court found it proven that the landlord had not wanted to have the man as a tenant because of his Roma ethnicity and that he was afraid of how the other tenants would react.
The Ombudsman had thus demonstrated circumstances indicating that the landlord had probably discriminated against the man. In the court’s opinion, it had also been shown that a hypothetical tenant of a different ethnicity but with a record of payment defaults and a solid guarantor standing surety would not have been denied the flat. The landlord was unable to show that the man had lost the contract for any other reason than his Roma ethnicity. Damages were set at SEK 40 000, and the court of appeal expressed the view that the right to rent accommodation is “a highly important aspect of life”. In setting the amount of damages, the court took into account the
fact that the discrimination was intentional and occurred after the landlord had had time for reflection. It also took into account his behaviour at the meeting where the contract was to be signed, describing it as clearly degrading.\textsuperscript{17}
In the other case involving discrimination in the housing market, a Roma woman had reported as follows. After replying to an advertisement for a vacant flat and having viewed it, she informed the private landlord that she wished to rent it. The contract was signed and the woman moved in the same day. After having been away for a couple of days, she and her family returned to find that that the landlord had changed the lock. The landlord accused her of lying about her ethnicity. According to the landlord, she had claimed to be from Thailand. The landlord stated that other tenants did not want to have “gypsies” in the building, and forced the family to move out. Later, the landlord claimed that the reason he had not allowed the family to remain in the flat was that they had not paid the rent in advance.
The Lidköping District Court found that the facts of the case suggested both that the woman had been discriminated against and that the discrimination was associated with her Roma ethnicity. The court felt that the landlord’s explanation to the effect that the rent had not been paid in advance as required was a rationalisation after the fact. It described the matter as deliberate discrimination of a serious nature since the woman had been shut out of her home and forced to move. The court awarded her SEK 50 000 in damages. The landlord appealed the case to a higher court but before the main hearing began a settlement was reached. The woman received SEK 50 000.\textsuperscript{18}
Four of the cases tried in court concerned discrimination of Roma in connection with the supply of goods and services. One of these concerned a Roma couple who were discriminated against when
\textsuperscript{17} Judgment by the Court of Appeal for Western Sweden, 2009-01-15, Case No. T 3501-08
\textsuperscript{18} Judgment by the Lidköping District Court, 2008-05-20, Case No. T 1596-06.
seeking to visit a swimming pool at a hotel together with their son. They reported the following to the Ombudsman against Ethnic Discrimination. The woman had telephoned the hotel to ask whether the swimming pool was open to the public and was told it was. When she arrived at the hotel with her husband and son they were met by an employee who told them that the manager had instructed her not to let Roma into the hotel’s pool facility. The woman then asked to speak to the manager, who explained that the hotel had previously experienced problems with Roma visiting the facility. The manager asked the family to leave the hotel.
The Ombudsman against Ethnic Discrimination investigated the matter and sued the hotel for discrimination. A settlement was reached during the processing of the case at the district court. Part of the settlement was a side agreement under which the man and woman agreed not to pass on information about the settlement reached between the parties.
Since the hotel felt that the couple had failed to live up to this commitment, it refused to abide by its part of the agreement, i.e. it refused to pay the damages. Instead, the matter was decided by the Eskilstuna District Court, which determined that the hotel had been guilty of discrimination. The woman and the man were each awarded SEK 25 000 in damages. In deciding the amount of damages, the district court cited NJA 2006, page 170, in which the Supreme Court states that the sum can vary depending on the nature and extent of the abuse and on other circumstances. The fact that the couple’s son was present when the couple were discriminated against was to be regarded as an aggravating circumstance that needed to be reflected in the amount of damages awarded. The fact that it also took place in the presence of the hotel’s guests was a further circumstance that had to be taken into account when deciding the sum. Finally, the district court took into account the fact that the discrimination was intentional. The hotel took the matter to the Svea Court of Appeal. This court agreed with the district court’s assessment of the case as regards both the
presence of discrimination and the amount of damages awarded.\textsuperscript{19}
In another case concerning discrimination in the provision of goods and services, a Roma woman reported the following. She had taken part in a conference at a hotel in Norrköping. During her visit to the hotel, her presence was questioned by the hotel staff. On several occasions, the staff pointed out to her that the coffee was only meant for the hotel’s guests. The hotel stated, in seeking to justify its behaviour, that it had previously had trouble with Roma. After investigating the matter, the Ombudsman decided that the woman had been subjected to discrimination, arguing that she had been treated less favourably than other hotel guests in that she had been viewed with suspicion and challenged due to her ethnicity. The agency sued the hotel at the Norrköping District Court. The court ruled that by their actions the hotel staff had discriminated against the woman. She was awarded damages of SEK 8 000. The hotel appealed the decision but the Göta Court of Appeal confirmed the opinion of the district court.\textsuperscript{20} The hotel has subsequently appealed the decision to the Supreme Court.
The third case concerning discrimination in the supply of goods and services concerned four Roma women who were not allowed to enter a fur shop. In their complaint, the four women stated that they had been stopped at the door by the owner, who shouted at them and said he was closing for lunch. There was a sign on the door showing the shop’s opening hours and nothing was stated there about lunchtime closing. The owner told the women to “come back another day in your folk costumes”. When the women returned a quarter of an hour later, the shop was open. After investigating the matter, the Ombudsman concluded that discrimination had occurred and sued the company operating the shop at the Örebro District Court.
\textsuperscript{19} Judgment by the Eskilstuna District Court, 2006-11-10, Case No. T 2535-04, and judgment by the Svea Court of Appeal, 2008-10-17, Case No. T 9702-06.
\textsuperscript{20} Judgment by the Norrköping District Court, 2009-10-27, Case No. T 3730-08, and judgment by the Göta Court of Appeal, 2010-05-19, Case No. T 3065-09
The district court ruled that the women had been subjected to direct discrimination connected with their ethnicity and that they had also been harassed, since the shop owner had commented on their clothing in a disdainful manner. The four women were each awarded SEK 20 000 in damages. The company appealed the case to the Göta Court of Appeal, which reached a different conclusion. It argued that there was no reason to suppose that the shop owner would have behaved differently had the customers not been Roma, and therefore the women could not be said to have been disadvantaged. In addition, it noted that there was disagreement on what had been said about the women’s clothing. In the appeals court’s view, therefore, the shop owner could not be said to have harassed the women, either.\footnote{Judgment by the Örebro District Court, 2009-11-18, Case No. T 4710-08, and judgment by the Göta Court of Appeal, 2010-10-05, Case No. T 3330-09.} The Equality Ombudsman has appealed the decision to the Supreme Court.
The fourth case involving discrimination in the supply of goods and services concerned two Roma women who, accompanied by their children, were turned away from a restaurant. The women stated in their complaint that the reason given by the restaurant for not allowing them in was that it had previously had Roma customers who had caused trouble and had therefore decided not to allow “gypsies” to eat there. The women and the children were forced to leave the restaurant.
After investigating the matter, the Ombudsman against Ethnic Discrimination decided to pursue it and sued the restaurant for discrimination at the Gävle District Court. The court ruled both that the Ombudsman had shown that discrimination had probably occurred and that the restaurant had been unable to provide sufficient evidence to the contrary. It awarded each of the women SEK 15 000 in damages.\footnote{Judgment by the Gävle District Court, 2006-06-16, Case No. T 2285-05.}
The court case relating to discrimination in education concerned
two Roma children who reported that they had been subjected to repeated harassment and discrimination by other pupils at a school. They argued that the school had not done enough to investigate and prevent the harassment. Nor had the school drawn up the equal treatment plan that all schools are required to have by law. Also, the head teacher and another teacher had had a progress meeting with the youngest child without the custodian being present. Finally, the children had not been given the mother tongue teaching in Romany Chib or Finnish to which they were entitled. The Ombudsman against Ethnic Discrimination concluded that there was a case to be pursued- and sued the municipality responsible for the school, claiming SEK 100 000 in damages for each of the two children.
The Eksjö District Court ruled that there was insufficient evidence to show that the children had been subjected to harassment. The court also found that the school had done enough to investigate and take action when the teachers learned about the harassment and abuses that had occurred, and also found that the school had an officially approved equal treatment plan. Nor did the court feel that the progress meeting held with the unaccompanied child amounted to discrimination, or that the school had failed to offer the children mother-tongue teaching in Romani Chib or Finnish.\(^{23}\)
Regarding the school’s duty to investigate and take action, and also regarding the children’s right to receive mother-tongue tuition, the Equality Ombudsman has appealed the court’s decisions to the Göta Court of Appeal.
**Rule of proof and the amount of damages**
If the law is to help individuals obtain redress and to expose discriminatory structures, enforcement of the rule of proof as required by anti-discrimination legislation is of crucial importance. Analysis of this rule should proceed from a study of how the courts have applied it in practice.
The rule concerning burden of proof was originally introduced
\(^{23}\) Judgment by the Eksjö District Court, 2010-10-21, Case No. T 1395-09.
for the purpose of implementing certain EC directives.\textsuperscript{24} It was formulated in such a way as to ease the pressure on plaintiffs to prove their claims, the aim being to ensure that the prohibitions on discrimination could be upheld in practice as well. Specifically, the rule means that if a plaintiff demonstrates circumstances that give reason to suppose that he or she has been discriminated against, discrimination is assumed to have occurred and it is up to the defendant to show that the person concerned has not been disadvantaged in any way associated with one or other of the grounds of discrimination cited in the case.\textsuperscript{25}
In the case brought against the hotel with the swimming pool, the evidence consisted of the statements made by the Roma woman and man under oath. The court found that their account of how they had been barred from entering the pool facility exclusively because of their ethnicity had shown circumstances that gave reason to suppose they been discriminated against. It also found that the opposite party had failed to present any kind of investigative evidence to suggest that the Roma woman and her family had been denied access for any reason other than their ethnicity.
There was also a lack of written evidence in the case brought against the private landlord who had argued that the reason he had refused a Roma man permission to rent a flat was that the man had a record of payment defaults. The Borås District Court did not consider that the evidence presented – mainly consisting of the statements given by the complainant and his stepparents – was enough to corroborate the claim that the man’s ethnicity had influenced the landlord’s decision. The court found the landlord’s argument that despite the offer of surety he did not wish to rent out the flat to someone in debt
\textsuperscript{24} Council Directive 97/80/EC of 15 December 1997 on the burden of proof in cases of discrimination based on sex. Corresponding rules are found in Council Directive 2000/43/EC of 29 June 2000 implementing the principle of equal treatment between persons irrespective of racial or ethnic origin, and in Council Directive 2000/78/EC of 27 November 2000 establishing a general framework for equal treatment in employment and occupation.
\textsuperscript{25} Government Bill 2007/08:95, “Ett starkare skydd mot diskriminering” [Stronger protection against discrimination].
reasonable and credible. The district court thus took the view that the Ombudsman against Ethnic Discrimination had failed to present circumstances showing that discrimination could reasonably be assumed to have occurred.
When the case came before the Court of Appeal for Western Sweden, however, the judges decided that the accounts given by the man and his stepparents were credible and that these should serve as a basis for the court’s consideration of the matter. The court subsequently found that the Ombudsman against Ethnic Discrimination had shown circumstances that gave reason to suppose discrimination had in fact taken place, observing that the landlord had failed to show that another tenant in the same situation would not have been awarded the contract, either.
There was also a lack of written evidence in the case of the Roma woman and her children who were shut out of their home by their landlord despite having a valid contract. The evidence consisted of the Roma woman’s statement and of testimony both from a head of section at the local municipality and from an ex-director of a housing company. The Lidköping District Court decided the evidence showed circumstances that gave reason to suppose that discrimination had taken place, noting that the landlord had changed the lock and shut the woman out of the flat. The court felt the landlord had failed to show that discrimination had not occurred, and also considered that his statement to the effect that the reason for his action was the woman’s rent arrears was a rationalisation after the fact.
The overall impression is that the rule concerning the burden of proof in the above cases has been applied appropriately and, as intended, has eased the pressure on plaintiffs to prove their claims. This improves Roma’s chances of obtaining redress when their rights are violated. Court decisions have turned on the judges’ conclusion that the accounts given by the Roma complainants have been reliable and credible. Surprisingly, defendants have often chosen to question the complainants’ credibility based on their Roma ethnicity, rather than seeking to prove that discrimination did not occur.
The damages awarded in these cases amounted to between
SEK 8 000 and 50 000. In the Equality Ombudsman’s view, these levels do not meet the dual aims of the legislators, which are to compensate the victims of discrimination and to deter others from engaging in discriminatory practices. One of the potentially more important features of the new Discrimination Act, therefore, is the introduction of a new penal sanction: compensation for discrimination (diskrimineringsersättning). The purpose of this new sanction is to raise the amount of damages awarded in discrimination cases to levels that constitute a very serious deterrent. In the bill proposing the law, the Government observed that “discrimination must be costly”, e.g. when abuses are explicitly racist in character.\textsuperscript{26} This should make it possible to raise the levels of compensation in cases concerning discrimination of Roma, and the higher levels could thus be expected to have the desired impact as a preventive mechanism.
**Settlements**
Settlements were reached in 18 cases after the Ombudsman had investigated the matter and decided on litigation. Two of these concerned discrimination in working life, three concerned discrimination in the housing market and 13 concerned discrimination in connection with the supply of other goods and services.
In one of the cases concerning discrimination in working life, a settlement was reached that involved a Roma woman receiving SEK 40 000 from her employer, a municipality.
The woman, a municipal employee who had been working in the home help service for some time, lodged the complaint because she felt harassed by her fellow-workers, who spoke disparagingly about Roma in her presence. The woman had complained about the harassment to her employer, who had failed to take action.
A local anti-discrimination office helped the woman to report the employer for failure to act and for reprisals. When the union to
\textsuperscript{26} Ibid., p 390.
which the woman belonged refrained from pursuing the case, the Ombudsman against Ethnic Discrimination sued the municipality in the Labour Court. It claimed damages for a breach of the Act on Measures against Discrimination in Working Life on Grounds of Ethnic Origin, Religion or Other Belief (Swedish Code of Statutes 1999:130). When the settlement was reached, the Ombudsman against Ethnic Discrimination withdrew its court action.
The second settlement in connection with working life concerned a woman who was working as a trainee in a shop. The traineeship then became a temporary job (fixed-term employment). The woman stated in her complaint that she had asked the site manager before starting her job whether she could wear a skirt during working hours and that he had said she could. Later, a new manager was recruited who took the view that wearing a skirt during working hours conflicted with the shop’s dress policy. The woman’s employment was terminated. The Equality Ombudsman’s investigation of the matter showed that the woman had been subjected to discrimination associated with her ethnicity. The shop did not share this view. The parties arrived at an agreement, however, that involved the woman receiving SEK 75 000.
One of the settlements relating to discrimination in the housing market involved a Roma woman being given SEK 60 000 in compensation by a property company. The woman had reported the following. She had contacted a property manager and stated her interest in a flat. In the course of the conversation, she explained that she had a disability pension and owed money to the Swedish Enforcement Authority but that the social services were prepared to take responsibility for the contract. The property manager agreed to this arrangement and a date was fixed for the woman to view the flat. The landlord signed a contract with the municipality but only agreed to a month’s tenancy. In addition, the property manager presented the woman with rules of conduct under which she was not allowed to receive visits from other Roma. The landlord refused to extend the contract on the grounds that disturbances had been heard from the woman’s flat. The Ombudsman’s investigation showed that the property company had failed to follow its own procedures in dealing
with disturbances on the part of tenants, and that the woman had been refused further tenancy on improper grounds. The evidence was not tried in court. Instead, a settlement was reached.
The other settlement involving discrimination in the housing market concerned a woman who reported that she had been refused a flat on the grounds of her husband’s Roma ethnicity. The woman had signed a contract with a private housing company. Later the same day, the landlord contacted the woman and said she could not rent the flat since neighbours had threatened to move out. According to the landlord, the neighbours had previously experienced problems with Roma on the estate. After investigating the matter, the Ombudsman concluded that the woman had been subjected to discrimination, a view not shared by the landlord. However, a settlement was reached under which the woman received SEK 40 000 in compensation.
In the third settlement concerning discrimination in the housing market, a Roma family received SEK 100 000 from a housing cooperative. The family had reported that after being shown a flat in the cooperative they had agreed on a purchase price with the seller. Also, the seller had agreed to sort out all the paperwork to ensure that the buyer was approved by the cooperative. Shortly afterwards, the seller informed the buyer that the cooperative did not allow Roma to become members. The woman in the family then telephoned the deputy chair of the cooperative who confirmed the seller’s statement, saying the cooperative did not accept ‘gypsies’. After investigating the matter, the Equality Ombudsman concluded that there was reason to assume the woman and her three children had been subjected to discrimination connected with their Roma ethnicity. The evidence was not tried in court. Instead, the parties concerned arrived at a settlement.
Thirteen of the 18 settlements concerned reports of discrimination in connection with the supply of goods and services. One of these concerned a group of 27 adults and children who were refused permission to rent space on a campsite on the grounds that the site was full. A number of other caravans were admitted, however, during the time the complainants were talking to the campsite’s owners. The group received a total of SEK 200 000 in compensation under the settlement subsequently reached.
Seven settlements concerned cases where Roma woman had reported being discriminated against in shops. One such case concerned a Roma woman who reported the following. She had entered a shop together with her two-year-old son to buy food. While walking around gathering the articles she wished to buy, she was followed by a cashier, who asked her about a bag of sweets that according to the cashier had previously been lying in the son’s trolley. When the woman placed the articles on the moving belt at the cashpoint, her son was holding a roll of chocolates in his hand. The cashier repeatedly asked the woman to put the chocolates on the belt although the woman observed that she had yet to finish placing her goods there. The cashier then made disparaging remarks alluding to the woman’s Roma ethnicity. The Ombudsman investigated the matter and found probable cause that discrimination had occurred. Under the settlement, the woman received SEK 65 000, but the legal document clearly stated that the shop did not admit discrimination.
The six other settlements involving alleged discrimination in shops concerned Roma women who had been refused admittance or harassed by staff in similar ways. The opposing parties have argued in connection with investigations of the complaints that their behaviour was motivated by their previous experience of Roma. Under the settlements, the Roma women received between SEK 10 000 and 50 000 each.
One settlement was reached in the case of a Roma man who reported the following. He had tried to buy a training card at a spa and health centre. When he asked if he could pay via autogiro he was told to pay up on the spot. The explanation given was that the centre had previously had problems with “certain groups” that had failed to pay and had therefore been barred. Following its investigation, the Ombudsman against Ethnic Discrimination sued the municipality and the company operating the centre, claiming damages. During the oral preliminaries in district court, however, a settlement was reached and the Roma man received SEK 17 000.
Four of the settlements concerned Roma who were refused admittance to a hotel, a restaurant and a hotel dance. One of the complainants received SEK 100 000 in compensation, two received
SEK 30 000 and a fourth received SEK 3 000.
The voluntary agreements that the Ombudsman against Ethnic Discrimination and the Equality Ombudsman have concluded with the parties reported to them have brought the complainants between SEK 3 000 and SEK 100 000 per person in compensation, and have directly involved over 50 adults and children.
The question of whether discrimination has occurred cannot usually be discerned from the settlement documents, and the seriousness of the offence is not necessarily reflected in the amount of damages agreed on. It would seem, however, that the complainants whose cases have been settled by such agreements feel they have obtained redress. In one evaluation study, several Roma complainants state that the complaint process in itself feels like a path to redress, while the agreement to settle out of court is taken as an acknowledgement that abuse has occurred.\footnote{27}
Opportunities for moving the case law forward and establishing precedents are limited, however, since cases are not considered in court when settlements are reached. There may be reason to consider the use of settlements as a legal tool, particularly in view of the Ombudsman’s mandate to promote social change and prevent and combat serious abuses and discriminatory structures. At the same time, however, the option of settling out of court means that more people can obtain redress through the Ombudsman. Also, the way cases are dealt with follows standard practice in civil law litigation.
\textbf{Development areas}
A study of complaints, judgments and settlements shows that there have been a number of favourable developments concerning Roma’s access to their rights. An important condition for further improvement in this area is the presence of ongoing, strategic efforts to raise Roma’s awareness of the legal protection available to them.
\footnote{27} Kawesa, Victoria (2009), “En utvärdering av DO:s bemötande och kontakt med romska anmälare” [An assessment of the Swedish Equality Ombudsman’s treatment of and communication with Roma complainants], Linköping University.
and of their prospects of combating discrimination.
The study also reveals a number of weaknesses, however. For example, none of the complaints from Roma concerning the kind of public sector activity in which protection against discrimination is more fully available – including the social services, the social insurance system and the health and medical care services – has led to redress through the courts or a settlement. Such complaints tend to be complex from an investigative viewpoint, and it is often difficult to determine whether discrimination has occurred.
If the Equality Ombudsman is to be fully capable of investigating whether discrimination has been present in individual cases, the agency needs to develop methods for investigating complex matters. This presupposes a closer understanding of the Roma’s historical and social situation and of Antiziganism in society.
Investigative and evidence-gathering methods based on skills acquired in the course of rights promotion work need to be developed to facilitate strategic investigation of the complaints received. Systematic analyses of complaints can in turn help the Equality Ombudsman improve its promotional work. As part of this effort, the Ombudsman needs to develop investigative and evidence-gathering techniques based for instance on statistics.
Another weak point is that it is difficult to effect changes to official decisions on the basis of the Discrimination Act. One way of remedying this might be to empower the Equality Ombudsman to intervene or act on behalf of a party in a legal action seeking to overturn such a decision.
Nor has the Equality Ombudsman taken a position in certain cases involving Roma complaints directed at the justice system. Previously, this type of case has fallen outside the realm of anti-discrimination legislation. In the new Discrimination Act from 2009, however, protection has been extended to apply to all public employees assisting the general public with information, guidance, advice or other such help, or having other types of contact with the public in the course of their employment. This prohibition covers for instance
how employees behave and what kind of language they use. It also covers what may have occurred during the processing of a matter by a public body. The prohibition does not however cover the way a provision is to be interpreted or applied, and nor does it cover actual decisions taken. The National Council for Crime Prevention shows in its report “Diskriminering i rättsprocessen” [Discrimination in the judicial process] how discrimination of Roma in the justice system is sometimes manifested.
The Equality Ombudsman considers it an extremely serious matter if discrimination is practised in the justice system, thereby prejudicing the chances of Roma and others in the judicial process. The presence of discrimination raises serious questions about lack of compliance with fundamental principles such as equality before the law and ultimately about legitimacy and the rule of law itself. The European Commission against Racism and Intolerance (ECRI) has issued a recommendation to member states to the effect that justice systems should be brought within the scope of anti-discrimination legislation under civil law.\(^{28}\)
In light of this, the Equality Ombudsman believes there may be reason to discuss whether current legislation is equal to the task of combating discrimination in the justice system.
To move matters forward in the legal sphere, and to ensure that the legal instruments are effective in helping to realise the principle of equal rights and human dignity for all, more reported cases of discrimination need to be tried in court. For this to occur, additional actors should be given the means to pursue such litigation.
A new feature of the Discrimination Act is that it empowers a number of stakeholder organisations besides the Equality Ombudsman to take legal action on behalf of individual citizens. Thus the legal grounds for litigating with the aid of a representative or via a stakeholder organisation are now present, but opportunities
\(^{28}\) European Commission against Racism and Intolerance (ECRI), (2003), “ECRI General Policy Recommendation No. 7 on National Legislation to Combat Racism and Racial Discrimination”. Adopted on 13 December 2002, Council of Europe, Strasbourg.
for doing so are nonetheless limited due to the court costs associated with such actions. Here, greater financial resources should be made available to those wishing to exercise the right to sue.
People can only determine whether they have been subjected to discrimination if they have access to relevant information on such matters. This means they must be familiar with how decisions of various kinds are reached. One problem in the housing market, for instance, is that flats are allocated without the need for any public reporting as to who is given the tenancy and on what grounds. For individuals, the absence of any requirement to provide information means it is impossible to determine whether discrimination is present. There is reason, therefore, to consider whether the liability to provide information currently imposed on employers should be extended to other actors, such as those supplying goods and services.
The substantial number of complaints received from Roma that have not been dealt with in the courts illustrates the need to develop other appropriate courses of action besides litigation. The Equality Ombudsman for its part needs to review and consider new methods and procedures that in time will enable more people to obtain redress. The basis for this can be found in the Act concerning the Equality Ombudsman (2008:568) which states that the Ombudsman “shall work to ensure that discrimination (...) does not occur in any areas of the life of society” and “shall also work in other respects to promote equal rights and opportunities”.
The analysis in the report notes the need for additional actors to pursue more systematic efforts to identify discrimination and human rights abuses. If the relevant actors are to assume their share of the responsibility for helping to ensure Roma rights, an important task for the Equality Ombudsman is to provide support and advice on the legal and informational prerequisites in this connection.
The Equality Ombudsman intends to operate at a general level by acting as a driving force and as an information base for other agencies combating discrimination and promoting access to human rights in their respective areas of activity. This approach falls within the broader framework outlined in the Act concerning the Equality Ombudsman (2008:586).
Individual abuses and discriminatory structures
Efforts to actively counter the processes in society that contribute to the marginalisation of Roma help the Equality Ombudsman attain its vision and goal of social change in pursuit of equal rights and human dignity for all.
A review of the law as a tool for change, necessitates an analysis of underlying obstacles and how these structures relate to the discrimination of Roma. Such an analysis would help make clear the serious abuses to which Roma are subjected and which jeopardise their chances of asserting and enjoying their human rights. In other words, the task ahead is to expose and analyse how the principle of equal rights and human dignity for all is violated by the ongoing discrimination of Roma.
The 230-odd complaints from Roma submitted to the Ombudsman against Ethnic Discrimination and the Equality Ombudsman during the period 2004–2010 represent an important source of information on the link between individual abuses and discriminatory structures. The experiences of the Roma, recounted in dialogues with agencies over the years, have offered a further source of information. The knowledge accumulated from research and international findings is also important in this connection and helps to deepen understanding of the link between individual abuses and discriminatory structures. Together, these sources provide a sound basis for analysing both the conditions under which Roma live in Sweden and the structural obstacles that exist which prevent them from accessing their human rights.
The reports of discrimination from Roma concern everyday events such as shopping for food, visiting a restaurant or travelling by bus. As the previous chapter showed, the majority of complaints are received from Roma women who report discrimination in connection with the supply of goods and services.
Roma also report discrimination in the housing market. These complaints deal with access to housing and the terms and conditions
of accommodation. Roma’s reception and treatment by the social services is another area of complaint. A not insignificant number of complaints concern cases where children are taken into care under the Care of Young Persons (Special Provisions) Act (1990:52).
While only a limited number of complaints have concerned discrimination in the education system and the employment sector, those cases that have come up – along with what has been learned from the agency’s dialogues with Roma – provide a basis for the identification of individual abuses and discriminatory structures.
**Public places**
The UN Convention on the Elimination of All Forms of Racial Discrimination (ICERD) establishes the right to freedom of movement in public environments and contexts. Articles 5 lays down the right of access of all persons, without distinction as to ethnic origin, to any place or service intended for use by the general public, such as transport, hotels, restaurants, cafes, theatres and parks.
The Swedish Discrimination Act (2008:567) prohibits discrimination in connection with the supply of goods and services. This means that, in principle, it is forbidden to establish conditions that are associated in some way with one or other of the grounds of discrimination.
It is also forbidden to treat someone unfairly on such grounds or to impose less favourable conditions on those entering public premises such as restaurants, shops or places of entertainment.
About 100 complaints, the four judgments and the 13 settlements relating to discrimination in connection with the supply of goods and services show in particular how Roma women are victimised in their everyday lives. They also show in what kinds of circumstances Roma women feel that their freedom of movement in public places is restricted.
Sweden has been criticised by the UN for the fact that Roma are still being subjected to discrimination in public places, and the world body has urged the Swedish authorities to strengthen their efforts to
tackle the widespread discrimination of Roma.\textsuperscript{29}
The abuses to which Roma are exposed in public places is a recurrent theme both in the complaints dealt with by the Equality Ombudsman and in the agency’s dialogue with Roma. Many Roma state that they are kept under supervision, harassed and refused permission to make purchases in shops, often due to negative perceptions of Roma as a group. Roma are subjected to gibes, inventive and abusive behaviour in front of other customers.
General bans on bulky clothes or skirts, for instance, typically affect Roma women and represent one type of situation in which the two grounds of discrimination gender and ethnicity coexist. Roma are also denied entry to restaurants, hotels and campsites, or refused service there. Roma further experience discrimination when wishing to travel by public transport. It is clear that abuse in public places is a part of everyday life for the Roma, particularly Roma women.
The Equality Ombudsman has found that what for the majority population is a fairly straightforward undertaking, like buying food in a shop, would seem to involve mental strain for many Roma women and children. The various complaints, judgments and settlements show that Roma children are often present and able to observe when their mothers are subjected to this type of abuse. The possibility cannot be ruled out that such abuse affects both the way Roma children view their Roma identity and their willingness to assert it. It is also possible that Roma children’s trust in the society in which they live is adversely affected by the abuse Roma suffer in public places.
Abuse of Roma in public places reflects an historical continuity in the way Roma are perceived by those around them. Throughout history, the state and the majority society have displayed negative perceptions of and attitudes towards Roma, and these have in turn given rise to persistent stereotypes about Roma as a group. Discriminatory
\textsuperscript{29} Concluding observations of the Committee on the Elimination of Racial Discrimination (CERD), (2008), “Consideration of reports submitted by States Parties under Article 9 of the Convention, Point 18”, 73rd meeting, 28-15 August 2008. CERD/C/SWE/CO/18.
legislation directed at Roma is no longer found in Sweden, but negative perceptions and attitudes – known as Antiziganism – still affect the Roma’s situation in life.
The discrimination of Roma commonly practised in public places in connection with the supply of goods and services is a manifestation of widespread Antiziganism, and such abuses affect not only the way Roma view the majority society but also their chances of developing and asserting their Roma identity.
In its 2008 statistics on hate crime, the Crime Prevention Council provided separate figures for the first time regarding offences directed at Roma. In 2008, some 180 complaints were deemed to concern a major crime incorporating an “anti-Roma” motive. In 2009, the corresponding figure was 120, i.e. 60 less than the previous year. In 2009, 44 per cent of all the hate crimes directed at Roma concerned unlawful threats or molestation. Crimes of violence (10 per cent) and defamation (12 per cent) were the next most common categories. According to the Crime Prevention Council, a typical hate crime targeting Roma is unlawful discrimination (19 per cent).\(^{30}\) The categories agitation against a national or ethnic group (5 per cent), other offences (2 per cent) and malicious damage (3 per cent) are less common hate crime motives.
Compared with the previous year, the categories unlawful discrimination and agitation against a national or ethnic group showed an increase (from 11 to 19 per cent and from 5 to 10 per cent respectively). According to the Crime Prevention Council, the bulk of racist crimes directed at Roma tend to occur in public places, ranging from shops to laundry rooms. One hate crime in four is committed close to the victim’s home, which according to the Council is a high rate compared with other hate crime motives.
The Council’s statistics on hate crimes targeting Roma are not disaggregated by sex, which means no conclusions can be reached
\(^{30}\) The provision on unlawful discrimination is set out in Chapter 16, Section 9 of the Swedish Penal Code. It prohibits certain forms of discrimination in the course of a business activity etc.
concerning the relative exposure of Roma women and men.\textsuperscript{31}
The Antiziganism that Roma encounter in public settings highlights the question of whether Sweden has made sufficient effort to provide effective protection against discriminatory behaviour as required by many international conventions.\textsuperscript{32}
A recurrent theme in the Equality Ombudsman’s dialogue with Roma concerns the need for them to develop strategies for how to survive in hostile surroundings and how to deal with the abuse they encounter in public places.
Many Roma have focused in particular on the meaning of parenthood in a society in which discrimination is a part of everyday life. It appears that the persistent, widespread Antiziganism or open discrimination that abuse in public places represents necessitates conscious choices and strategies that are not always easy for individual parents or children to deal with. In this connection, there is reason to call attention to Article 2 of the Convention on the Rights of the Child which requires states to take all appropriate measures to ensure that children are protected against all forms of discrimination or punishment on the basis of their parents’ status, activities, expressed opinions or beliefs.
The discriminatory structure that Antiziganism continues to represent affects the everyday lives of Roma and their chances of living as Roma themselves would wish. Antiziganism limits their access to rights in areas of public life such as housing, social services and education.
\textsuperscript{31} Report from the Swedish Crime Prevention Council (2009), “Hatbrott 2009 – Statistik över polisanmälningar där det i motivbilden ingår etnisk bakgrund, religiös tro, sexuell läggning eller könsöverskridande identitet eller uttryck” [Hate Crimes 2009: Statistics on cases reported to the police where the motives include ethnicity, religious belief, sexual orientation or transgender identity or expression], Report 2010:12, p 40 ff.
\textsuperscript{32} See Article 6 of the UN Convention on the Elimination of All Forms of Racial Discrimination (1965), Article 26 of the UN Convention on Civil and Political Rights (1966), Article 2 of the UN Convention on the Elimination of All Forms of Discrimination against Women (1979) and Article 2 of the UN Convention on the Rights of the Child (1989).
The housing market
Discrimination in the housing market is a substantial and complex problem for many Roma. The fact that Roma are often directed to segregated and socially deprived residential areas and have very little chance of choosing their housing themselves was noted several years ago, in the report “Diskriminering av romer i Sverige” [Discrimination of Roma in Sweden] (2004). As cases involving discrimination of Roma in the housing market have shown, landlords tend to blame the special treatment they accord Roma on the negative perceptions held by other tenants, who it is claimed consider Roma undesirable as tenants and neighbours.
Thus anti-Ziganistic attitudes towards and discrimination of Roma in public places in connection with the supply of goods and social services are also to be found in the housing market. This shows how AntiziganismAntiziganism fuelled by racist attitudes is still a part of many Roma’s everyday lives. There is reason to reflect on whether Sweden has been sufficiently active in combating discrimination in the housing market and thus ensuring Roma of the right to a home.
The Discrimination Act (2008:567) guarantees the right of the individual to housing without discrimination. This protection is specifically linked to the individual, and if a person is discriminated against, he or she can seek compensation. The term housing applies to all categories, including rented accommodations, sublet accommodations, tenant-owned homes and owner-occupied homes. The ban on discrimination applies to situations and issues affecting both home occupants and home seekers.
The right to housing is enshrined in a number of international conventions to which Sweden is a party, including the UN Covenant on Economic, Social and Cultural Rights, and the European Social Charter. A common theme in these documents is that the housing provided must be of a suitable type. This means not just having a roof over one’s head but having accommodation that is safe, decent and appropriate. It also includes having a certain security of tenure and not running the risk of being arbitrarily evicted.
States are required to take steps to combat harassment and to prevent the occupants of homes from being subjected to threats of any other kind. Also, homes are to be equipped with basic amenities, the housing cost is to be reasonable in comparison with the general income level in the country, and states should have systems for providing economic assistance to persons who are unable to pay their housing costs.\textsuperscript{33}
The UN committee charged with monitoring compliance with the Covenant on Economic, Social and Cultural Rights has appealed to states to take swift action to combat discrimination against Roma in the housing market. States are urged to join Roma representatives in developing policies and projects aimed at countering the segregation of Roma in this market. The committee also underlines the importance of taking action against municipal and private property owners practising discrimination.\textsuperscript{34}
The European Committee of Social Rights (ECSR), which monitors compliance with the European Social Charter, has made similar statements, emphasising that special attention should be focused on vulnerable groups. The committee has also noted that a state failing to take targeted measures to guarantee that all persons, including Roma, have equal access to their rights in the housing market is infringing the ban on discrimination expressed in the charter.\textsuperscript{35}
\textsuperscript{33} See in particular Article 11 of the UN Covenant on Economic, Social and Cultural Rights (1966) and how this article is to be interpreted in Committee on Economic, Social and Cultural Rights (CESCR), (1991), “The right to adequate housing (Article 11 (1))”, General Comment No. 4, 13 December 1991; Article 5 in the UN Convention on the Elimination of Racial Discrimination(1965) and for how this article is to be interpreted, see Committee on the Elimination of Racial Discrimination (CERD), (2000), “Discrimination against Roma”, General recommendation No. 27, 16 August 2000, and Article 13 in the revised European Social Charter and European Committee for Social Rights, decision of 18 October 2006 re Complaint No. 31/2005, European Roma Rights Center against Bulgaria.
\textsuperscript{34} Committee on the Elimination of Racial Discrimination (CERD), (2000), “Discrimination against Roma”, General recommendation No. 27, 16 August 2000.
\textsuperscript{35} European Committee of Social Rights, decision of 18 October 2006 on Complaint No. 31/2005, European Roma Rights Center, against Bulgaria, para 40-42.
The 45 complaints, the two judgments and the three settlements reached concerning discrimination in the housing market in Sweden show that Roma have little opportunity to find a home on the same terms as others or to choose a home on the basis of their own needs. Moreover, many Roma live in a socially deprived situation, which means for instance that they may have difficulty meeting landlords’ criteria for renting accommodation. Their socioeconomic situation is one of the reasons why they frequently have to rely on the municipal social services to sign housing contracts on their behalf or to assist them in finding a home by some other means. This affects their security of tenure, and also their chances of climbing the housing ladder.
Thus the housing situation of Roma in Sweden is determined by a range of factors at both individual and structural level. Taken together, these factors mean Roma cannot be said to have access to the right of housing on equal terms. Obstacles preventing such access are bound up with discriminatory structures in other areas of society – such as the education system and the labour market – that are part of the underlying cause of the Roma’s social situation. More knowledge about the processes that sustain the Roma’s disadvantaged position in the housing market is clearly required.
The various complaints, judgments and settlements also show that if Roma wish to enjoy their right to housing and avoid landlords’ negative attitudes and perceptions, they must hide or tone down their Roma identity.\textsuperscript{36} As the previous section showed, survival strategies for escaping discrimination and Antiziganism are a recurrent theme in the dialogue with Roma.
Roma’s experience of housing discrimination and their sense of living in a hostile environment adversely affects their Roma identity and their willingness to be open about their ethnicity. Complaints from Roma reveal unsatisfactory conditions such as insecurity in the home and the gathering of petitions by neighbours seeking to prevent
\textsuperscript{36} See for instance judgment by the Appeals Court for Western Sweden, 2009-01-16, in Case No. T 3501-08.
Roma families from moving into an area or in response to perceived disturbances. The complaints also describe overcrowding, low living standards and poor sanitary conditions in rented housing.
In its report, “Diskriminering på den svenska bostadsmarknaden” [Discrimination in the Swedish housing market], the Ombudsman against Ethnic Discrimination observed that the Roma were one of the minorities that found it difficult to gain a foothold in the Swedish housing market, and also that a feature of the segregated housing areas in Sweden was that many Roma lived there. The report’s review of the literature confirms that discrimination is a widespread problem in the housing market and that discrimination is helping to create and maintain segregation in Sweden. The housing market’s system of housing allocation and its rental criteria were both identified as important factors in the correlation between, on the one hand, individual abuses and discriminatory structures, and, on the other, the role of discrimination in maintaining segregation.\(^{37}\)
According to the report, the rental criteria and allocation systems found in the housing market are clear examples of discriminatory structures that affect the right to housing. One of the conclusions of the report is that both the way the systems are designed and their lack of clarity and transparency contribute to segregation in the housing market in that this facilitates arbitrary decisions and discrimination.
Examination of complaints relating to the discrimination of Roma in the housing market shows that both municipal and private actors are involved.
While the situation is not as clear-cut in such areas as tenant-owned and owner-occupied housing, it is nevertheless worth noting that where the buying or selling of such properties is concerned, there
\(^{37}\) Report by the Swedish Ombudsman against Ethnic Discrimination (2008), “Diskriminering på den svenska bostadsmarknaden – en rapport från DO:s särskilda arbete under åren 2006-2008 kring diskriminering på bostadsmarknaden” [Discrimination in the Swedish housing market – a report on the Ombudsman’s special study of discrimination in the housing market, 2006-2008], page 49.
are structural obstacles that adversely affect Roma’s chances of climbing the housing ladder. One such obstacle is discrimination in connection with applications to join a tenant-owner association. Many Roma also point to the difficulty of obtaining bank loans as an obstacle in this connection.
Discriminatory practices in connection with the purchase of tenant-owned flats are also described in some complaints, and such discrimination is confirmed by a study conducted by the Institute for Housing and Urban Research at Uppsala University. After carrying out tests to determine how estate agents treated clients in practice, the study concluded that Roma are systematically discriminated against when properties are to be viewed.\(^{38}\)
Sweden has been subjected to international criticism from bodies such as the Council of Europe and the ECRI for failing to take sufficient steps to ensure Roma’s right to housing.\(^{39}\) Overall, the housing situation for the Roma community looks serious, and there is reason to reflect on whether Sweden has acted vigorously enough to ensure that the right to housing applies to all without discrimination.
International conventions in this field clearly establish that the absence of corrective measures may also be interpreted as discrimination, and that an important prerequisite if protection against discrimination is to be fully realised is that those who are exposed to discrimination are brought into the housing policy development process.\(^{40}\)
\(^{38}\) Irene Molina et al (2010), “Uthyrares och fastighetsmäklares bemötande av kunder ur ett diskrimineringsperspektiv” [Lessor and estate agent treatment of customers from a discrimination viewpoint], Uppsala
\(^{39}\) Gil-Robles, Alvaro (2004), “Report by Mr. Alvaro Gil-Robles, Commissioner for Human Rights, on his visit to Sweden 21-23 April 2004”, Strasbourg 2004; European Commission against Racism and Intolerance (2005), “Third Report on Sweden”, Adopted on 17 December 2004, Strasbourg.
\(^{40}\) Committee on Economic, Social and Cultural Rights (CESCR), (1991), “The right to adequate housing (Article 11 (1))”, General Comment No. 4, 13 December 1991; Committee on the Elimination of Racial Discrimination (CERD), (2000), “Discrimination against Roma”, General recommendation No. 27, 16 August 2000; European Committee of Social Rights, decision 7 December 2005 on Complaint No. 15/2003, European Roma Rights Center against Greece, para 29.
The Equality Ombudsman concludes that discrimination of Roma in the housing market is a complex matter and affects Roma’s chances of taking part in community life on equal terms. This is serious, since without a permanent home or security of tenancy it is either difficult or impossible for people to take control of their own lives. Discrimination in the housing market may also make it more difficult for Roma children to attend school on a regular basis, thereby damaging Roma’s educational prospects. The relationship between rights such as housing and education is a clear example of how chain reactions caused by structural discrimination develop and contribute to a situation in which many Roma find themselves on the margins of society.
Discrimination of Roma in the housing market should be seen in an historical perspective. Frequently over the years, through legislation and the way it applies the laws, the state has prevented Roma from establishing permanent residency in Sweden or made it difficult for them to do so.
Roma’s current experience of discrimination shows that this historical attitude has its counterpart in modern society. Clearly, issues concerning the right to housing remain complex and an historical continuity is evident in terms of structural obstacles to this right. In combination, these are limiting Roma’s right to housing on equal terms and thereby sustaining the marginalisation of Roma as a group.
**Social services**
Some 45 complaints from Roma – about 20 per cent of the total – concern discrimination in the social services. This matches the share of complaints relating to discrimination in the housing market. In Sweden, there are considerable knowledge gaps where discrimination in the social services is concerned since there is a lack of research in this field. The following analysis focusing on the link between individual abuses and discriminatory structures, therefore, is
necessarily more tentative than is the case for the other sections.\textsuperscript{41}
Roma complaints about discrimination in the social services concern their treatment and the way their cases are dealt with when they apply for housing assistance or maintenance support. Other complaints refer to the imposition of conditions by the social services that are described as difficult to meet or simply irrelevant to the assessment of applications for economic assistance. In one case, the social service is said to have required the complainant to undergo a drug test and present a copy of his criminal record if he wished to be granted economic assistance.
A growing number of complaints from Roma concern the practice of taking of children into care under the Care of Young Persons (Special Provisions) Act (1990:52) and placing them in non-Roma environments. One complaint concerned a municipality that ordered an IQ test as part of its assessment of whether to take a Roma child into care under the above law. Another complaint concerned a Roma family that felt it had not received adequate support from the social service in its housing situation and reported that social service staff had threatened to take the child into care unless the family’s housing situation improved. A further problem raised in the complaints concerned schools and health care services urging the social services to investigate conditions in individual Roma families. One complainant reported that a municipality had a separate Roma unit to which Roma were directed when for instance applying for economic assistance or housing support.
The Discrimination Act (2008:567) prohibits discrimination in connection with social services activities. The ban covers decision-making and all formal and informal types of case processing, including information provision, counselling and outreach activities. In addition, it covers both failure to act and the unwarranted delaying of decisions or measures, and a specific action or harassing treatment
\textsuperscript{41} Eliassi, Barzoo (2006), “Diskriminerande föreställningar inom socialtjänsten” [Discriminatory perceptions in the social services] in “Den segregerande integrationen. Om social sammanhållning och dess hinder” [Segregating integration. On social cohesion and its obstacles], ed. Massoud Kamali, pp 215-294.
of any kind. The ban on discrimination further encompasses unwarranted differences in support provision or other measures.
To date, no complaint concerning discrimination of Roma in the social services has been tried in court. Such complaints have primarily been closed due to insufficient proof of a link between the incident in question and the ethnicity of the person concerned. About a dozen complaints concerning the social services are currently under investigation.
Examination of the complaints, however, reveals structures within the social services that may help explain why Roma are denied access to such services on the same terms as the majority population. Evidently, there is little awareness or understanding within the social services of the fact that Roma are a marginalised group and are still discriminated against in many areas of society.
International conventions in this field require states to support their inhabitants with advice and economic assistance and with other basic requirements such as housing.\(^{42}\) These accords emphasise that the individuals who are dependent on the welfare services in question are to be a party to decisions that concern them. They also make clear that measures such as taking children into care must be a last resort that should only be adopted when all other means have been exhausted, and also that such a measure should proceed from the best interests of the child.
As regards children being taken into care, the European Court of Human Rights stresses that such a course should only be pursued when there are strong grounds for doing so and the situation cannot be resolved by other means.
Another important conclusion is that the entire procedure must have a basis in law, be free from discrimination and be deemed essential from the point of view of what is best for the child. Under the
\(^{42}\) See for example Articles 14, 16 and 17 of the revised Social Charter, European Committee of Social Rights (ECSR), (2008), “Digest of the Case Law of the European Committee of Social rights 1 September 2008”, comments on Articles 14, 16 and 17; see also the UN’s “General Comment No. 18, /E.C.12/GC/18 February 2006”, Point 1.
conventions, children taken into care and placed outside the family have the right to their own culture, identity and language.
Taking children into care is to be seen as a temporary measure and the care order is to be withdrawn as soon as circumstances permit. The long-term goal is reunification of the family. The chances of achieving such a reunion may be significantly reduced if the child is not allowed to meet his or her parents or is placed far from the parents’ home.\(^{43}\)
The issue of Roma children being taken into care has been raised by Roma organisations in a number of European countries. Many Roma in Sweden have long expressed concern about Roma children being singled out more often than other children and being placed in non-Roma environments, which it is felt does not encourage the development of their Roma identity.
A study by the European Roma Rights Center (ERRC) illustrates the importance of analysing the link between individual abuses and discriminatory structures in the case of Roma children taken into state care in Hungary. The ERRC notes that Roma children are over-represented among children confined to institutional care. The study found that 58 per cent of the children placed in state institutional care homes were Roma. There are no reliable statistics on the number of Roma living in Hungary but there are estimates showing that Roma children comprise about 13 per cent of the child population. The study notes that one of the decisive grounds for committing the children to care is the Roma’s socioeconomic situation in Hungarian society. According to the ERRC, the social services had done little to improve the financial position of Roma families or to improve the children’s situation.\(^{44}\)
\(^{43}\) See the judgment of the European Court, 2006-10-26, in the case of Wallowa and Walla versus the Czech Republic. The Czech Republic was found to be in breach of Article 8 of the European Convention, the right to respect for private and family life; and the European Court judgment of 1998-03-14 in the case of Olsson versus Sweden. Sweden was found to be in breach of the same article.
\(^{44}\) European Roma Rights Center (2007), “Dis-Interest of the Child. Romani Children in the Hungarian Child Protection System”.
In Sweden, the Council on Roma Issues, an advisory body to the Government, discussed the issue of discrimination in the social services. Roma members of the council expressed concern at the fact that the number of cases of children being taken into care had increased and that Roma children were being committed more than other children. In 2006, therefore, the National Board of Health and Welfare undertook a study of the situation. One of its conclusions was that no real evidence had been found of any increase in the number of cases of Roma children being taken into care. The board pointed out that the basic data was too limited and the period of investigation too short. It had found, however, that Roma children appeared to be over-represented among those taken into care. The board took the view that the basic data was too unreliable to permit any firm conclusions.
One of the points that the study made was that there is too little awareness within the social services of the fact that Roma in Sweden are a recognised national minority or of what this means.
The Roma reference group attached to the study withheld support of the results, arguing that the report was written from a non-Roma perspective and that the findings did not reflect Roma’s own experience in this matter. The group argued that many cases went unreported, that social services took action on incorrect grounds and that the unsatisfactory situation for Roma families had their basis in negative perceptions of the Roma community. In addition, the reference group emphasised that Roma lack the opportunity to influence matters and are not brought into the processes leading to children being committed. One of the group’s main objections to the report from the National Board of Health and Welfare was that the lack of a Roma perspective had influenced its conclusions.\(^{45}\)
When in contact with public authorities such as the social services, people are always in a relationship of dependence, and this is particularly evident when power is being exercised in one way or
\(^{45}\) National Board of Health and Welfare (2006), “Omhändertagen av romska barn” [Taking Roma children into care].
another. The relationship is further influenced by the inequality that always exists between majority and minority. Roma complaints of discrimination on the part of the social services show that in Roma’s experience the services’ negative attitudes and discriminatory application of the rules and procedures form the basis of this relationship, and that opportunities for participation are limited.
The history of legally sanctioned abuse that many Roma have suffered, such as sterilisation and the compulsory care of Roma children, affects the way Roma view the social services. Abuses under the sterilisation laws and issues relating to the compulsory care of Roma children should be viewed in the light of the assimilation policies adopted towards the lifestyles, culture and language of the country’s minorities.
From the work undertaken by the Equality Ombudsman, it is clear that these historical abuses are affecting access for Roma to rights in the modern world. In time, a closer understanding of the complexity of the issues, and of how various factors contribute to and help sustain the marginalisation of Roma, can help bring about change.
**Education**
The UN’s Universal Declaration of Human Rights states that all people are entitled to an education, and several international conventions in this field view the right to education as an important step towards the realisation of other human rights.\(^{46}\) The UN Committee on Economic, Social and Cultural Rights expresses this view by emphasising that the right to an education is both a right in itself and an essential prerequisite if other rights are to be implemented and be given real substance. According to the UN committee, education is the primary vehicle by which economically and socially marginalised adults and children can
\(^{46}\) See Article 13 of the UN Convention on Economic, Social and Cultural Rights, Articles 28 and 29 in the UN Convention on the Rights of the Child, Articles 1 and 17 of the European Social Charter, Article 15 of the Council of Europe’s Framework Convention for the Protection of National Minorities, and Article 7 of the European Charter for Regional or Minority Languages.
lift themselves out of poverty and obtain the means to participate fully in their communities.\textsuperscript{47} International law is clear on the point that it is only when people are aware of their rights and are able to support themselves that the principles of empowerment and self-determination acquire true meaning.
Both the UN and the Council of Europe view discrimination in the education system as such a serious obstacle to the realisation of human rights that they have drawn up special provisions banning unequal treatment in education.\textsuperscript{48}
The basic right to education has been given added weight in the Council of Europe’s minorities conventions, the aim being to further strengthen the prospects for establishing equality between those who belong to national minorities and those who belong to the majority.\textsuperscript{49} These include provisions requiring states to take measures in the fields of education and research to foster knowledge of the history, traditions, language and culture of their national minorities, and establishing that every person belonging to a national minority has the right to learn his or her minority language. Further, states are to recognise that national minorities have the right to set up and manage their own private educational and training establishments, and are also to provide adequate opportunities for teacher training both on the subject of and in the minority language.
The Discrimination Act (2008:567) prescribes that anyone conducting activities referred to in the Education Act (1985:100) or other educational activities (an education provider) may not discriminate against any child, pupil or student participating in or applying for the activities. Education providers are also required to actively promote the
\textsuperscript{47} Committee on Economic, Social and Cultural Rights (CESCR), (1999), The right to education (Art 13), General Comment No. 13, 8 December 1999. Committee on Economic, Social and Cultural Rights, General Comment No. 13.
\textsuperscript{48} See for instance the UN Convention on the Elimination of All Forms of Discrimination against Women (CEDAW) and UNESCO’s Convention on the Prohibition of Discrimination in Education (1960).
\textsuperscript{49} The Council of Europe’s Framework Convention for the Protection of National Minorities, and the European Charter for Regional or Minority Languages.
equal rights of all pupils and students and to prevent harassment.
The number of complaints from Roma alleging discrimination in the education sector is small. This means no firm conclusions can be drawn as to the prevalence of discrimination in compulsory schools, for example. One complaint that the Ombudsman against Ethnic Discrimination investigated, and decided to pursue in court, shows how discrimination of Roma can be manifested in the education system.
Both the UN and the Council of Europe have criticised the Swedish state for failing to take adequate steps to ensure the right to education. It is evident that there is a considerable need of change in the education sector. In addition, prompt steps must be taken to eliminate obstacles – at both individual and structural level – that prevent Roma from accessing education on equal terms. The international monitoring committees have called for the introduction of rapid and concrete measures that significantly improve conditions for Roma children at school.
Partly because of the discrimination and exclusion from the school system to which they have been exposed throughout their history, many Roma now find themselves in a socially vulnerable situation. Their lack of equality in both the employment and the education sectors is a factor in this. The situation of Roma children in the education system in Sweden is reflected elsewhere in Europe, and one case that has attracted considerable attention is that of D.H. et al versus the Czech Republic. The European Court ruled that the Czech Republic was guilty of indirect discrimination of Roma children. The court found it proven that Roma were given an inferior education compared to the rest of the population, and that a disproportionately large number of Roma children had been placed in schools for pupils with learning disabilities.\footnote{50 Judgment by the European Court, 2007-11-13, in the case of D.H. et al versus the Czech Republic.}
A dissertation\(^{51}\) has examined how the relationship between the Roma minority and the Swedish majority has developed since the mid-20th century in terms of the Roma’s school situation. The study is based on interviews with Roma about their school education and shows that openly racist perceptions of the Roma community were a feature of their schooling and contributed to their aversion to school as an institution. Various lines of development are identified in the relationship between Roma and the education system, including for instance how schools blamed Roma parents and Roma culture for Roma children’s relative lack of school attendance. One of the findings of the study is that the discrimination to which Roma were exposed has had a lasting effect and that this has contributed to their continued marginalisation.
The Roma’s situation in the education system has long been and often still is regarded as a school attendance issue. The children’s absence from school has been attributed by the majority society to cultural conditions in the Roma community. One-sided emphasis on compulsory school attendance as a means of combating discriminatory structures in education should instead be seen as a reflection of mainstream society’s lack of awareness and unwillingness to recognise the linkage between such structures and individual abuses.
To ensure the right to education, systematic efforts are needed to expose and counter the discrimination of Roma in each and every educational situation. Responsible actors must also initiate general measures aimed at halting the processes within the education system that adversely affect the situation of Roma and their chances of enjoying such a right. This presupposes a scrutiny of school textbooks and other school materials to ascertain that they are not communicating stereotype and degrading texts or images about minorities and the way they live.
It is equally important to combat discrimination in regular classroom settings and to ensure that the education provided gives the requisite
\(^{51}\) Rodell Olgaç, Christina (2005), “Den romska minoriteten i majoritetssamhällets skola – Från hot till möjlighet” [The Roma minority in the majority society’s school system: From threat to opportunity].
prominence to the culture, history and language of the country’s minorities. In other words, it is a case of the education system ensuring the right of children to develop to their full potential. This means that children must have an unconditional right to education in all subjects, that the education encourages critical thinking, and that it also promotes respect for the principle of equal rights and human dignity for all.
**Knowledge-building**
The analysis shows that action is needed to move the fight against discrimination forward. It is vitally important to heighten awareness of the link between individual abuses and discriminatory structures, of the role of discrimination in impeding access to human rights, and of the processes in society that prevent Roma from participating in community life on equal terms.
Throughout history, rules and norms have imposed restrictions on Roma in one way or another and have prevented Roma from enjoying their human rights. Discrimination is affecting Roma daily lives and is still being practised today without being seriously called into question. The discrimination and structural obstacles that Antiziganism represents in one area of society have an impact on rights in other areas and thus have consequences for society as a whole. Discrimination of Roma in the housing market is affecting Roma children’s chances of uninterrupted school attendance, which also affects their chances of an education on equal terms. This in turn affects their chances of entering the labour market. Furthermore, Roma face discrimination in both the education and employment sectors. The discrimination of Roma is having an adverse effect on their trust and faith in society and their willingness to assert their rights.
It is clear that Antiziganism must be linked to underlying structures in everyday life, to the kind of commonly practised discrimination that many Roma have to live with on a regular basis. Denial of the historical dimensions of discrimination and of how it hampers access to rights, and the failure of responsible actors to take action against it, are all major reasons why Roma continue to be marginalised as a group.
Discrimination affects Roma’s self-esteem, their willingness to assert their rights and their chances of playing an equal part in decision-making processes in the various areas of Swedish life. It also affects their chances of taking part in public life on equal terms and consequently their chances of living on the same terms as the majority population. Awareness of the conditions under which Roma live is clearly lacking and is therefore not reflected either in how society views the Roma community or when official action is to be taken. There is still a considerable need to raise awareness in society and build knowledge with a rights perspective as a guide to future strategies.
Summary and conclusions
Since 2003, Sweden has had legislation in place prohibiting ethnic discrimination across a broad front and affording those subjected to such behaviour the opportunity to assert their right to non-discrimination. Thus the law offers the kind of protection that can counteract the discrimination of Roma.
The Equality Ombudsman and its predecessor, the Ombudsman against Ethnic Discrimination, have pursued systematic efforts to promote Roma rights. The dual aim has been to raise awareness among Roma of the protection against discrimination available to them and to further understanding both within the agency itself and in society at large of the ways in which discrimination is manifested.
For the main part, this work has involved providing educational courses designed to improve Roma’s understanding of the protection available to them, drawing on Roma’s experience of discrimination to enable the Ombudsman both to provide Roma with relevant educational courses and to investigate complaints and pursue strategically important litigation, applying the Discrimination Act extensively to test whether it can provide individual victims with redress, using case-law to make society more aware of the Roma’s situation and to draw attention to Antiziganism.
This report analyses both what the Equality Ombudsman has learned in the course of its work and the available data concerning Roma’s access to rights on equal terms. It is important to reflect both on the limitations of current legal tools and on the opportunities they afford, and also to discuss which supplementary measures will be necessary in the coming years. Below, we discuss the measures that will be required if the law is to be even more effective in ensuring Roma rights.
As a result of the methods and procedures adopted by the Ombudsman in pursuit of mutual knowledge-building and better access for Roma to human rights, Roma are now asserting their right to non-discrimination by reporting abuses to the authorities to a greater extent than before. The complaints, which are often
both an expression and a description of complex situations, have increasingly been investigated on the basis of the Ombudsman’s more informed understanding of the Roma’s circumstances. Of the 230 complaints received since 2004, thirty or so have been resolved by a court judgment or by the parties settling out of court. In all, some 50 people have obtained redress through the intervention of the Equality Ombudsman.
Viewed in an historical perspective, the opportunities for redress now available mark the beginning of a new chapter in the history of Roma in Sweden. The fact that individual Roma have won cases in court in itself represents a challenge to many of the discriminatory structures that hinder their access to human rights. This is not to say that anti-discrimination legislation alone can bring about a change in the situation of Roma as a group. Political will and rapid, concrete measures in the educational field will also be required if Roma are to be ensured of their rights and of a position in society on the same terms as the majority population. Children’s school results are crucial to their chances of further study, which in turn affects their chances of entering the labour market.
Many of the complaints received by the Ombudsman expose the openness with which Roma are discriminated against. Frequently, the complaints concern discrimination against women and their children in everyday situations involving the supply of goods and services, including housing. Some describe complex situations in which Antiziganism is manifested but where discrimination is hard to prove. These may for instance involve meetings with the social services or the situation of Roma children in school.
The Roma’s historically vulnerable position as a group is reflected in the lack of complaints concerning working life and the health care service.
Discrimination in the housing market is affecting Roma’s living conditions and keeping Roma in the kind of downward spiral that has distinguished their situation for centuries. Constant changes of residence are undermining their chances of finding employment and taking an active part in community life. Such changes also affect
children’s chances of attending school on a continuous basis, which means the pattern of marginalisation is preserved. In addition, many Roma still fear unwarranted intervention on the part of the authorities in situations where, as a citizen, one should be able to count on protection and support, e.g. in the social services and the justice system.
The sense of abuse does not necessarily vary in these differing situations but may be expressed in different ways, and people’s willingness to lodge complaints may also vary. This in turn affects the Equality Ombudsman’s chances of hastening social change through litigation.
**Future efforts to promote Roma rights**
While litigation is important for obtaining redress in individual cases, it is equally important in a long-term, structural perspective. The various judgments and settlements serve to highlight and confirm the existence of discrimination against Roma, but also represent confirmation that the majority society demands accountability when Roma’s rights are violated. Legal proceedings make Roma more aware of their rights and of the fact that reporting discrimination can be a path to redress and thereby a means of strengthening Roma rights.
Rights-based education for Roma aimed at improving both their understanding of anti-discrimination legislation and their ability to claim their rights represent one kind of strategically important initiative against discrimination. Such an approach is essential as a means of boosting Roma’s willingness to report and of combating the structures that are denying them access to their human rights. The aim of this type of activity is to activate both individuals and groups and encourage them to view themselves as a resource for change.
The analysis in the report shows that much remains to be done to secure access for Roma to human rights. The Equality Ombudsman intends, therefore, to develop methods and procedures that will facilitate dialogue between Roma and actors responsible for securing and upholding rights. Roma’s own experience of discrimination is an important source of knowledge in this connection, since they are
closely familiar with the ways in which the procedures, organisation and activities of public authorities can hinder their access to rights.
Acknowledging Roma’s experience of discrimination and letting what is revealed in complaints, court proceedings and dialogues provide a basis for Roma’s discussions with key actors are vital ingredients in any endeavour to change the discriminatory structures that are preventing Roma from accessing their human rights. In the following, we present four key actors with whom the Equality Ombudsman intends to enter into dialogue together with Roma.
The National Council for Crime Prevention has worked on issues relating both to discrimination in the education system and to racist hate crimes directed at Roma. The National Council and the Equality Ombudsman have many points in common. There is therefore reason, in consultation with Roma, to exchange information and experience concerning both how discrimination is manifested in connection with the supply of goods and services, including housing, and what steps should be taken to combat discrimination. This development work should reflect and build on the efforts under way at European level, for instance within the OSCE.
Two other government agencies that the Equality Ombudsman considers important in the present context are the National Board of Health and Welfare and the Schools Inspectorate. These two bodies are charged with supervising the social services and school education respectively. In seeking to promote a uniform supervisory approach that ensures the various activities they monitor do not engage in discrimination but instead facilitate access to rights, the Equality Ombudsman takes the view that closer interagency cooperation is essential.
The aim of such a joint endeavour would be to develop carefully planned, long-term supervision focusing on discrimination and access to rights and eventually to secure respect for human rights in the social services and the education system. This would make it easier to fulfil the intentions of the legislator in terms of improving people’s access to rights.
Roma’s experience of discrimination in Sweden and their lack of access to rights both have their counterparts in other countries around Europe. Accordingly, successful efforts to promote Roma rights in Sweden must include an international perspective and collaboration. Developments in Sweden are dependent on developments in Europe as a whole, both as regards Roma’s situation in life and the measures that need to be taken to facilitate effective implementation of human rights.
There is reason, therefore, for the Equality Ombudsman to commit more fully to the work being undertaken in Equinet, the European Network for the Specialised Equality Bodies. This would involve seeking, in consultation with national and international Roma organisations, to follow up both the implementation of the Council’s anti-discrimination directive (Directive 2000/43/EC) and the development of measures promoting Roma rights.
**Conclusions of the Equality Ombudsman**
The analysis in the report makes clear that the discrimination of Roma is a complex issue. Consequently, there are no single or straightforward ways of countering it. A whole range of measures is needed, based on a human rights perspective and an understanding of the complexity and consequences of discrimination.
The Equality Ombudsman takes the view that effective antidiscrimination work requires not only strong institutional actors but also civil society actors representing those who are exposed to discrimination and who can help formulate demands and measures.
One new feature of the new Discrimination Act is that it grants not only the Equality Ombudsman but also NGOs the right to litigate on behalf of private individuals reporting discrimination. In the bill proposing the Discrimination Act, the Government asserted that the extension of this right would strengthen the law’s impact.\(^{52}\) In practice, however, it is primarily the Equality Ombudsman
\(^{52}\) Government Bill 2007/08:95, “Ett starkare skydd mot diskriminering” [Stronger protection against discrimination].
that is financially capable of taking legal action. But not even the Ombudsman possesses the resources that would enable it to continue pursuing all the individual cases that come to its attention.
An important prerequisite, if the extended right to litigate is to be effective in practice, is the availability of economic assistance for the pursuit of discrimination cases in court. Accordingly, the Equality Ombudsman considers that resources should be set aside – in a fund or elsewhere – for which NGOs needing such assistance could apply.
The report’s conclusions regarding access for Roma to human rights makes clear the need for additional actors to work with the Roma community in formulating strategies for change. The Equality Ombudsman takes the view that public authorities at local, regional and national level should to a greater extent establish equal terms and conditions for participation and influence, open the way for civil society actors to act, and challenge and change the current order that is contributing both to the discrimination of Roma and to the denial of their rights.
In this connection, public funding must be made available to civil society actors to enable them to join the fight against discrimination. Accordingly, the Equality Ombudsman considers that the organisational support provided to Roma stakeholders – in both economic and knowledge terms – should be increased so as to make it easier for them to influence decisions that concern Roma as a group.
Many Roma lack awareness of their human rights and of the protection against discrimination available to them, and this makes it difficult for them to claim their rights. The new methods and procedures developed by the Equality Ombudsman, featuring rights-based education as a key component, are an important means of ensuring that Roma view the law as an instrument of redress they can trust when their rights are violated.
It is clear, however, that additional actors should, in consultation with Roma, pursue efforts to enhance Roma’s understanding of their rights and paths of redress. The Equality Ombudsman therefore finds good reason to let the National Board for Youth Affairs, in consultation
with the Ombudsman, the adult education movement and Roma representatives, establish a structure for rights-based education provision and other measures aimed at mobilising Roma in pursuit of their rights.
One problem cited in the report is that lack of information affects people’s chances of determining whether or not they have actually been exposed to discrimination. This applies in particular to situations where Roma are seeking a place to live. It is often impossible for private individuals to know whether they are being discriminated against when they have no clear information on which housing allocation principles apply and no insight into what the selection and allocation process involves. The Equality Ombudsman therefore believes it is worth considering whether the duty to provide information currently incumbent upon employers might not also be extended to actors supplying goods and services.
Given the limitations that requirements of proof etc impose on individuals seeking redress via the courts, it is clear to the Equality Ombudsman that the current legal framework is not always an adequate means for dealing with the situations described in the complaints. Nevertheless, a reported incident may need to be dealt with so that it does not develop into a drawn-out conflict that puts Roma in an even more vulnerable position. One alternative to judicial proceedings is mediation. This, however, is a complex process that necessitates a special brand of expertise. A self-evident actor in this connection is civil society.
Mediation in disputes over discrimination presupposes clear, carefully defined rules concerning when and under what circumstances such a procedure can be embarked upon and be meaningful. The Equality Ombudsman believes there is reason to consider whether the National Mediation Office might profitably be given a role in the discrimination sphere.
The Equality Ombudsman regrets the lack of available qualitative studies at an aggregate level on how the EU Racial Equality Directive (2000/43/EC) has been implemented in member states. This makes it difficult to follow up and compare effective measures for dealing
with the discrimination of Roma as well as making it difficult to determine how the law can be used as an tool to improve the situation of Roma in Europe. The Ombudsman would like to see measures that improve the level of knowledge on how this Council Directive is being implemented.
The analysis in the report identifies a number of major knowledge gaps regarding the true extent of discrimination, its complex manifestations and its impact on access to rights. The Equality Ombudsman would welcome knowledge-enhancing efforts in this respect, since such information could help change society.
One measure that could facilitate change would be for the research community to focus more specifically on strategies that help combat discrimination and promote equal rights and opportunities.
References
Literature and reports
Committee for the Elimination of Racial Discrimination (CERD), (2008), “Behandling av båda parternas rapporter angivna enligt artikel 9 i konventionen, punkt 18” [Consideration of reports submitted by states parties under Article 9 of the Convention, Point 18], 73rd meeting, 28-15 August 2008. CERD/C/ SWE/CO/18.
Committee on Economic, Social and Cultural Rights (CESCR), (1991), “The right to adequate housing (Article 11 (1))”, General Comment No. 4, 13 December 1991.
Committee on Economic, Social and Cultural Rights (CESCR), (1999), “The right to education” (Art 13), General Comment No. 13, 8 December 1999.
Committee on Economic, Social and Cultural rights (CESCR), (2006), “The right to work” (Article 6), General Comment No. 18, 18 February 2006.
Committee on the Elimination of Racial Discrimination (CERD), (2000), “Discrimination against Roma”, General recommendation No. 27, 16 August 2000.
Eliassi, Barzoo (2006), “Diskriminerande föreställningar inom socialtjänsten” [Discriminatory perceptions in the social services], in Kamali, Massoud (ed.), “Den segregerande integrationen. Om social sammanhållning och dess hinder” [Segregating integration: On social cohesion and its obstacles].
European Commission against Racism and Intolerance (ECRI), (2003), “ECRI General Policy Recommendation No. 7 on National Legislation to Combat Racism and Racial Discrimination”, Adopted on 13 December 2002, Council of Europe, Strasbourg.
European Commission against Racism and Intolerance (ECRI), (2005), “Third Report on Sweden”, Adopted on 17 December 2004, Strasbourg.
European Committee of Social rights (ECSR), (2008), “Digest of the Case Law of the European Committee of Social rights 1 September 2008”. European Roma Rights Centre (2001), “Roma rights 1: Access to justice”.
European Roma Rights Center (2007), “Dis-Interest of the Child. Romani Children in the Hungarian Child Protection System”.
European Union Agency for Fundamental Rights (2009), “Data in Focus Report 1: The Roma”, European Union Minorities and Discrimination Survey (EU-MIDIS).
Gustavsson, Josefine (2007), “Extern utvärdering – Effekterna av DO:s informationsinsatser riktade till grupper särskilt utsatta för diskriminering” [External evaluation: The impact of informational measures targeting groups particularly exposed to discrimination], School of Global Studies, University of Gothenburg.
Kamali, Massoud (2006), “Den segregerande integrationen. Om social sammanhållning och dess hinder” [Segregating integration: On social cohesion and its obstacles], Stockholm.
Kawesa, Victoria (2009), “En utvärdering av DO:s bemötande och kontakt med romska anmälare” [Assessment of the Equality Ombudsman’s treatment of and communication with Roma complainants], Linköping University.
Liegeois, Jean-Pierre (2007), “Roma in Europe”, Council of Europe Publishing.
Molina, Irene (2010), “Nedslag i diskriminering på bostadsmarknaden” [Illustrations of discrimination in the housing market], report to the Equality Ombudsman from the Institute for Housing and Urban Research, Uppsala University.
Montesino Parra, Norma (2002), “Zigenarfrågan – Intervention och romantik” [The gypsy question – intervention and romanticism], School of Social Work, Lund University.
Office of the High Commissioner for Human Rights (UNHCHR), (2006), “The right to work”, General Comment No. 18, 6 February 2006.
Rodell Olgaç, Christina (2006), “Den romska minoriteten i majoritetssamhällets skola – Från hot till möjlighet” [The Roma minority in the majority society’s school system: From threat to opportunity], Stockholm Institute of Education.
Rorive, Isabelle (2009), “Att bevisa diskrimineringsfall – betydelsen av diskrimineringstester”. [Proving cases of discrimination – the importance of discrimination tests]. MPG and the Centre for Equal Rights.
Swedish Government Report, SOU 2010:55 (2010), “Romers rätt – en strategi för romer i Sverige” [Roma rights: A strategy for Roma in Sweden], report from the Delegation for Roma Issues, Stockholm.
Swedish National Board of Health and Welfare (2006), “Omhändertaganden av romska barn” [Taking Roma children into care].
Swedish National Crime Prevention Council, Brå (2008), “Diskriminering i rättsprocessen, om missgynnande av personer med utländsk bakgrund” [Discrimination in the legal process – the disadvantaging of people with foreign backgrounds], Report 2008:4.
Swedish National Crime Prevention Council, Brå (2009), “Hatbrott 2009 – Statistik över polisanmälningar där det i motivbilden ingår etnisk bakgrund, religiös tro, sexuell läggning eller könsöverskridande identitet eller uttryck” [Hate crimes 2009 – statistics on police complaints where the motive includes ethnicity, religious belief, sexual orientation or transgender identity or expression], Report 2010:12.
Swedish Ombudsman against Ethnic Discrimination (2004), “Diskriminering av Romer i Sverige” [Discrimination of Roma in Sweden], report on the 2002–2003 Ombudsman project for developing measures to prevent ethnic discrimination of Roma, Stockholm.
Swedish Ombudsman against Ethnic Discrimination (2008), “Diskriminering på den svenska arbetsmarknaden” [Discrimination in the Swedish labour market], report from the Ombudsman’s
special project in 2006-2008 reviewing discrimination in the Swedish employment sector. Report 2008:3, Stockholm.
Swedish Ombudsman against Ethnic Discrimination (2008), “Diskriminering på den svenska bostadsmarknaden” [Discrimination in the Swedish housing market], Stockholm.
Swedish Ombudsman against Ethnic Discrimination (2008), “Diskriminering av nationella minoriteter inom utbildningsväsendet” [Discrimination of national minorities in the education system], Stockholm.
**Directives, conventions and legislation**
**Swedish laws and bills**
Discrimination Act (2008:567).
Act Prohibiting Discrimination and Other Degrading Treatment of Children and Students (2006:67).
The Prohibition of Discrimination Act (2003:307)
Govt Bill 2002/03:65, “Extended protection against discrimination”, 2003.
Govt Bill 2007/08:95, “Stronger protection against discrimination”, 2008.
**From the Council of Europe**
Framework Convention for the Protection of National Minorities, 1995.
The European Social Charter.
Charter for Regional or Minority Languages.
From EU and EC institutions
Council Directive 2000/43/EC of 29 June 2000 implementing the principle of equal treatment between persons irrespective of racial or ethnic origin.
Council Directive 2000/78/EC of 27 November 2000 establishing a general framework for equal treatment.
Council Directive 97/80/EC of 15 December 1997 on the burden of proof in cases of discrimination based on sex.
From UN institutions
The United Nations Universal Declaration of Human Rights, 1948.
UN Convention on the Elimination of All Forms of Racial Discrimination, 1965.
UN International Covenant on Economic, Social and Cultural Rights, 1966.
UN Convention on the Elimination of All Forms of Discrimination against Women, 1979.
UN Convention on the Rights of the Child, 1989.
UNESCO Convention against Discrimination in Education.
Judgments and decisions
District Court
Eksjö District Court, Judgment 2010-10-21, Case No. T 1395-09.
Eskilstuna District Court, Judgment 2006-11-10, Case No. T 2535-04.
Gävle District Court, 2006-06-16, Case No. T 2285-05.
Lidköping District Court, 2008-05-20, Case No. T 1596-06.
Norrköping District Court, 2009-10-27, Case No. T 3730-08.
Örebro District Court, 2009-11-18, Case No. T 4710-08.
Appeals Court
Göta Court of Appeal: Judgment 2010-05-19, Case No. T 3065-09 and Judgment 2010-10-05, Case No. T 3330-09.
Court of Appeal for Western Sweden: Judgment 2009-01-15, Case No. T 3501-08.
Svea Court of Appeal: Judgment 2008-10-17, Case No. T 9702-06
Supreme Court
Decision 2009-02-07, Case No. T 686-09.
European Court of Human Rights
Judgment 1998-03-14 in the case of Olsson versus Sweden.
Judgment 2006-10-26 in the case of Wallowa and Walla versus the Czech Republic.
Judgment 2007-11-13 in the case of D.H. versus the Czech Republic.
Decisions
Decision of the European Committee of Social Rights (ECSR), 18 October 2006, on Complaint No. 31/2005, European Roma Rights Center versus Bulgaria.
Decision of the European Committee of Social Rights (ECSR), 7 December 2005, on Complaint No. 15/2003, European Roma Rights Center versus Greece.
The plant is a symbol of growth and renewal, representing the cycle of life and the power of nature to thrive in any environment. It is often associated with hope, healing, and spiritual well-being.
In many cultures, plants are seen as sacred and are used in rituals and ceremonies. They are also believed to have medicinal properties and are used in traditional medicine to treat various ailments.
Plants are an essential part of our ecosystem and play a crucial role in maintaining the balance of nature. They provide oxygen, clean the air, and help regulate the climate. They also support biodiversity by providing habitats for countless species of animals and insects.
In conclusion, plants are a vital part of our world and hold great significance in many aspects of our lives. Whether we see them as symbols of growth, sources of medicine, or guardians of our planet, they remind us of the beauty and complexity of nature.
The Equality Ombudsman (DO) seeks to promote and uphold the rights of all people and to combat discrimination related to a person’s sex, transgender identity or expression, ethnicity, religion or other belief, disability, sexual orientation or age.
DO
www.do.se
PO Box 4057
SE-169 04 Solna, Sweden
Switchboard +46 8 120 20 700
ISBN 978-91-979591-1-7
facebook.com/Diskrimineringsombudsmannen
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Juvenile Law--A Potential for California Change
Glendalee Garfield
University of the Pacific; McGeorge School of Law
Follow this and additional works at: https://scholarlycommons.pacific.edu/mlr
Part of the Juvenile Law Commons
Recommended Citation
Glendalee Garfield, *Juvenile Law--A Potential for California Change*, 2 Pac. L. J. 737 (1971).
Available at: https://scholarlycommons.pacific.edu/mlr/vol2/iss2/14
Juvenile Law - A Potential For California Change
During the decade of the 1960's, there has been a revolutionary transformation in the philosophy of juvenile law and justice brought about in part by the belated acknowledgment that the rights of juveniles are entitled to constitutional protection and by the open fact that the state as parens patriae is at best a very poor substitute parent. In California, one aspect of the juvenile law considered by many to be inconsistent with the new concept of juvenile justice is embodied in section 601 of the Welfare and Institutions Code which authorizes jurisdiction by the juvenile court over minors who are found to have "delinquent tendencies." This comment reviews and analyzes the controversy centered around this law and points out some of the problems that are likely to result should the law be repealed outright. In addition the writer examines and evaluates the possible alternatives proposed to supplant the present approach in handling "delinquent tendency" behavior.
Under scrutiny this year by the legislature is a potential repeal of section 601 of the Welfare and Institutions Code pertaining to juveniles. Among others considering the legislation during the past year have been the Assembly Interim Committee on Criminal Procedure and the Assembly Office of Research.\(^1\) Repeal, however, is not without opposition, particularly from the probation officers and juvenile court judges who work closely with minors who are brought within the jurisdiction of the court under the provisions of section 601.
What is Section 601?
Section 601 of the Welfare and Institutions Code represents something of an anomaly in our legal system. It was developed in a beneficent attempt to bring children who are exhibiting "delinquent tendencies" (i.e., non-criminal, anti-social behavior) under the guidance of the court. As a jurisdictional provision, section 601 provides that the juvenile court shall have jurisdiction over any minor who
\(^1\) 1. *Assembly Interim Committee on Criminal Procedure, Juvenile Court Processes* (1970); G. Ward, *Legal Rights and The Juvenile Court* (prepared for the Assembly Office of Research, 1970).
persistently or habitually refuses to obey the reasonable and proper orders or directions of his parents, guardian, custodian or school authorities, or who is beyond the control of such person, or . . . who is an habitual truant . . . or who from any cause is in danger of leading an idle, dissolute, lewd, or immoral life . . . .
In effect, it would appear to cover a wide range of juvenile behavior which is not classified as criminal for the adult citizen. Through section 601, the legislature has differentiated between conduct by minors which is illegal for minors only, and that conduct by minors which would constitute a crime were they adults. Typical conduct covered under section 601 includes repeated runaways, truancies, marked sexual misbehavior, the incorrigible minor who cannot be brought under parental control, and an assortment of other behavior all classified as "delinquent tendencies."
Other Juvenile Court Jurisdictional Provisions: Sections 600 and 602
Section 601 of the Welfare and Institutions Code falls between two other major sections of the code which provide for the juvenile court's jurisdiction over minors. Section 600 applies to the dependent child. It provides for juvenile court jurisdiction, care and disposition of children who are without parent or guardian, who are destitute and not provided with life's necessities, or who are the objects of cruelty, depravity or neglect. Additionally, section 600 provides for court jurisdiction over children who represent some physical danger to society due to brain disfunction, damage or abnormality.
Section 602 is the section of the Welfare and Institutions Code which provides for jurisdiction over juveniles who violate any law which has been defined as a crime for adults, or who fail to obey a juvenile court
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2. CAL. WELF. & INST. CODE § 601.
3. T. RUBIN, LAW AS AN AGENT OF DELINQUENCY PREVENTION 5 (prepared for Delinquency Prevention Strategy Conference, 1970) [hereinafter cited as RUBIN].
4. See generally, WEST'S ANNOT. CAL. WELF. & INST. CODE § 601, annots. at 89-92 (1966, Supp. 1971).
5. CAL. WELF. & INST. CODE § 600:
Any person under the age of 21 years who comes within any of the following descriptions is within the jurisdiction of the juvenile court which may adjudge such person a dependent child of the court:
(a) Who is in need of proper and effective parental care or control and has no parent or guardian, or has no parent or guardian willing to exercise or capable of exercising such care or control, or has no parent or guardian actually exercising such care or control.
(b) Who is destitute, or who is not provided with the necessities of life, or who is not provided with a home or suitable place of abode, or whose home is an unfit place for him by reason of neglect, cruelty, or depravity of either his parents, or of his guardian or other person in whose custody or care he is.
(c) Who is physically dangerous to the public, because of a mental or physical deficiency, disorder or abnormality.
6. CAL. WELF. & INST. CODE § 600(c).
order after a petition has been filed under section 601.\textsuperscript{7} The full spectrum of adult crimes of violence against the person and against property is covered, including such crimes as murder, rape, burglary, and auto theft. Although juvenile court proceedings are intended to be non-criminal in nature, section 602 gives the court jurisdiction over behavior of minors which would be considered criminal if engaged in by an adult.
\textit{Problems With Section 601}
While it is arguable that some provision must be made by the courts for dependent children, and that there must be court control over juvenile activity which may be classified as truly criminal, there is less certainty as to whether activities currently classified under section 601 belong within the purview of the juvenile courts. This delinquent tendencies section, as it applies to the handling of juvenile justice, has raised problems which some believe can be solved by repeal.\textsuperscript{8}
Reasons for the impetus to repeal this provision may be considered in three broad areas: practical, procedural, and sociological. Section 601 of the Welfare and Institutions Code was developed under the historic theory that a juvenile court was technically a civil, and not a criminal court.\textsuperscript{9} Recently, however, changes have taken place which seem to abolish that distinction.\textsuperscript{10} The early view was to utilize section 601 to protect the child from the stigma of criminal prosecution under the concept of \textit{parens patriae}.\textsuperscript{11} However, many authorities believe that harmful consequences for children have resulted from the informal, private, and “protective” nature of the juvenile court.\textsuperscript{12}
\textbf{A. Practical Problems}
Growing practical problems are a part of the consideration of repeal. Since the adoption of section 601 in 1961,\textsuperscript{13} California’s population has increased 47 percent, placing an additional burden on our court
\begin{itemize}
\item \textsuperscript{7} Cal. Welf. & Inst. Code § 602.
\item \textsuperscript{8} See generally, Assembly Interim Committee on Criminal Procedure, Juvenile Court Processes (1970); Rubin.
\item \textsuperscript{9} Continuing Education of the Bar, California Juvenile Court Practice 13 (1968).
\item \textsuperscript{10} For a general discussion of the nature of the changes in the juvenile courts during the past decade see L. Richette, The Throwaway Children (1969) [hereinafter cited as Richette].
\item \textsuperscript{11} \textit{Parens patriae} refers to the sovereign power of guardianship over persons under a disability such as minors, insane and incompetent persons. Black’s Law Dictionary 1269 (4th ed. 1968).
\item \textsuperscript{12} Richette at 302.
\item \textsuperscript{13} Added Stats. 1961, c. 1616, § 2, p. 3471.
system.\textsuperscript{14} An increased level of criminal activity per capita is not the result of adult activity alone; it also includes activity of minors.\textsuperscript{15} The number of minors who come within the juvenile court's jurisdiction as a result of section 602 "criminal" behavior continues to increase. Although California reports annual increases in juvenile offenses, national figures indicate the increase over a seven year span. From 1960 to 1967 there was a 59 percent increase in the national volume of juvenile arrests.\textsuperscript{16} Increases in specific criminal categories include a 56 percent increase in murder and voluntary manslaughter committed by minors, a 121 percent increase in aggravated assault by minors, and tremendous increases in arrests of minors for burglary and auto theft.\textsuperscript{17} California, now the most populous state in the nation, bears a proportionally large share of the increase in criminal activity by minors. Even without considering the "delinquent tendencies" cases, the burden on the courts of administering justice and rehabilitative care to those minors who are accused of what are considered adult crimes is heavy. In addition, California's ever increasing population, with a 41 percent increase in juvenile population alone from 1960 to 1968,\textsuperscript{18} adds a further burden to the more clearly benevolent function of the court. Thus, as the population increases, so does the number of dependency cases.\textsuperscript{19}
Combining the figures from dispositions made pursuant to section 600 grounds with the total arrests made under section 602, it becomes easy to see the increased case load on the juvenile court calendars.\textsuperscript{20} To this increase must be added the delinquent tendencies cases under section 601. In 1967 such cases totaled 198,012 (1,013.6 per 100,000 juveniles).\textsuperscript{21} In 1968 the total had risen to 213,803 (1,093.5 per 100,000 juveniles—up 6.6 percent), and in 1969 the totals were up
\begin{itemize}
\item \textsuperscript{14} State of California, California Statistical Abstract 10, Table B-4 (1969).
\item \textsuperscript{15} Department of Justice, Bureau of Criminal Statistics, Crime and Delinquency in California 25, 134 (1968).
\item \textsuperscript{16} Richette at 7.
\item \textsuperscript{17} Id. For related figures in California see: Department of Justice, Bureau of Criminal Statistics, Crime and Delinquency in California (annual publications, 1961-1969).
\item \textsuperscript{18} Department of Justice, Bureau of Criminal Statistics, supra note 15, at 131.
\item \textsuperscript{19} Id. at 137. It is anticipated that an increasing number of dependency cases will be handled by welfare departments.
\item \textsuperscript{20} A juvenile falling under the court's jurisdiction is any one under the age of 21 years who comes under the provisions of §§ 600, 601 and 602 of the Cal. Welf. & Insr. Code. If taken in custody for a criminal offense the Juvenile Court has exclusive jurisdiction of minors under age 16, and original jurisdiction of minors until age 17. After age 18 minors who have been taken into custody for a criminal offense may still be accepted by the Juvenile Court where the juvenile appears to be a suitable subject for juvenile court treatment. Continuing Education of The Bar, supra note 9, at 35, 36.
\item \textsuperscript{21} Department of Justice, Bureau of Criminal Statistics, supra note 15, at 124.
again to 227,350 (1,145 per 100,000 juveniles—up another 4.7 percent). Figures for 1970, according to the State Department of Justice, Bureau of Criminal Statistics, are complete only through three quarters of the year and show a slight downward tendency when compared with the previous year. Figures for the first three quarters of 1969 indicate delinquent tendencies arrests at 169,077 (849.9 per 100,000 juveniles) as compared with the statistics available for the first three quarters of 1970—arrests totaling 162,506 (819.8 per 100,000 juveniles), a reduction of 3.5 percent for the 1970 period. One possible explanation for the reduction in the upward spiral of delinquent tendencies arrests is that some of the "diversionary methods" to be discussed are already being utilized. Diversion is the process of removing the minor from the purview of the court and finding an alternative solution to his problem, usually through another agency which may be either public or private.
Taken from the practical standpoint, there is no question that juvenile courts, like all courts in our judicial system, suffer the problems of overloaded calendars and tremendous pressure on court time. "Judge time is an increasingly valuable commodity. Costs should also be considered; can these dollars be better spent in other ways?" One question related to court overload might be whether the pressure it creates may cause judges to make decisions before they can completely review all the facts. Practically speaking, another issue is whether the pressure on the courts created by having to handle the delinquent tendencies cases in addition to the other areas of juvenile law for which the courts are responsible is greater than the return paid by court jurisdiction over this sort of behavior.
B. Procedural Problems
In approaching the procedural problems that are encountered in cases arising under section 601 it may be helpful to look at the general procedure for handling minors under this delinquent tendency provision.
Cases are referred to probation departments by either a primary law enforcement agency or by other community agencies, though the former is involved in the vast majority of referrals. Prior to referral, the law enforcement agency may decide to "handle the case within the depart-
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22. Id.
23. Department of Justice, Bureau of Criminal Statistics, Crime and Delinquency in California Table IV-B, Third Quarter, 1970.
24. Introduction to Rubin.
25. Rubin at 2.
26. Id.
27. Continuing Education of the Bar, supra note 9, at 13.
ment," which normally consists of a decision to take no further action and to return the child to the custody of his parents.\textsuperscript{28} If referred to the probation department, however, a case is processed in one of three ways. First the case may be closed at intake after a preliminary investigation and interview, or closed by transfer of the case to another agency such as a mental health clinic, or to a private agency such as the Family Service Agency. Second, if the probation officer decides the case should be within the jurisdiction of the juvenile court, the minor may be placed under informal supervision by the probation officer for a period of six months.\textsuperscript{29} This action is taken only with the consent of the parent and the child.\textsuperscript{30} The remaining alternative is the filing of a petition for action in the juvenile court itself. Approximately 28 percent of all "delinquent tendency" cases are filed for court disposition.\textsuperscript{31} It is not the court itself, but the probation officer who is responsible for the disposition of the majority of the cases where there is an agreement to participate in informal probation.\textsuperscript{32} Disposing of cases by placing the minor under informal supervision is believed to be an advantage to the probation department, as it permits "case time" to be cut down by eliminating the necessity of preparing reports for the court.\textsuperscript{33} In recent years the use of this alternative has increased greatly,\textsuperscript{34} helping to avoid the labeling of a minor as a "ward" which may come about as a result of a formal encounter with the court. In addition, informal supervision reduces the burden on "judge time". In all, more than 50 percent of the total arrests for "delinquent tendencies" under section 601 are handled by the probation departments and the juvenile courts.\textsuperscript{35}
In considering the procedural reasons cited in support of repeal of section 601, it should be understood that although theoretically the laws and philosophy for handling juveniles are different from those for adults, in practice the procedures for handling juveniles are drawing closer to the procedures for adults. Recent court decisions, in particular the landmark case \textit{In re Gault},\textsuperscript{36} suggest that there is to be an increasingly dim view taken of the procedural irregularities found in ju-
\begin{itemize}
\item \textsuperscript{28} Interview with Mrs. Afton Blurton, Assistant Chief Probation Officer, Shasta County, in Los Angeles, California, January 29, 1971.
\item \textsuperscript{29} \textit{Continuing Education of the Bar}, supra note 9, at 90, 91.
\item \textsuperscript{30} \textit{Id}.
\item \textsuperscript{31} Department of Justice, Bureau of Criminal Statistics, supra note 14, at 150.
\item \textsuperscript{32} \textit{Continuing Education of the Bar}, supra note 9, at 90.
\item \textsuperscript{33} \textit{Id}. at 131.
\item \textsuperscript{34} \textit{Id}.
\item \textsuperscript{35} The remaining percentage is "handled within the department" by primary law enforcement agencies.
\item \textsuperscript{36} \textit{In re Gault}, 387 U.S. 1 (1967).
venile courts. Procedural formalities formerly were thought to be non-applicable to juvenile court proceedings.\textsuperscript{37} While flexibility was the earlier rule, with the theory being that it allowed the court the necessary freedom to do what was in the best interests of the minor, the \textit{Gault} decision clearly pronounced four basic procedural rules having to do with the type of hearing a child should be afforded in juvenile court.\textsuperscript{38} Prior to \textit{Gault}, California, by statute, had provided minors with two of the four \textit{Gault} mandates expressed by the Court.\textsuperscript{39} Only the sixth amendment guarantees, the privilege against self incrimination and the right to confrontation of witnesses, remained to be developed as rights for California minors under \textit{Gault}.
Justice Abe Fortas writing for the majority in an earlier case voiced the rising concern over juvenile court procedures when he wrote:
There is evidence . . . that there may be grounds for concern that the child receives the worst of both worlds; that he gets neither the protections accorded to adults nor the solicitous care and regenerative treatment postulated for children.\textsuperscript{40}
Some observers, moreover, are not convinced that the \textit{Gault} decision has provided minors with sufficient procedural protection.\textsuperscript{41} Further litigation in this area seems certain.\textsuperscript{42}
The entire procedural approach of the juvenile system appears to be under review and with it, section 601 of the Welfare and Institutions Code. What problems might arise if a broad reform of procedure in juvenile courts, including repeal of section 601, occurs? At the crux of the matter is the question of whether minors should be subjected to court proceedings for activity which, if they were adults, would not constitute a violation of the law.
\textsuperscript{37} RICHETTE at 302.
\textsuperscript{38} (1) Juveniles (and their parents) must have notice in writing of charges against them and the allegations upon which the charges were made, and be allowed sufficient time to prepare a defense.
(2) Juveniles have the right to legal representation, either of their own choice or appointed.
(3) Juveniles have the right of confrontation and cross examination of hostile witnesses.
(4) Juveniles are to be accorded the privilege against self-incrimination.
\textit{In re Gault}, 387 U.S. 1 (1967).
\textsuperscript{39} See CAL. WELF. & INST. CODE §§ 634, 700, relative to the right to counsel for minors, both added to the statutes in 1961, six years prior to \textit{Gault}. See also CAL. WELF. & INST. CODE §§ 658, 679, relative to notice of charges. Both sections were added to the statutes in 1961, also six years prior to the \textit{Gault} decision.
\textsuperscript{40} Kent v. United States, 383 U.S. 541, 556 (1966).
\textsuperscript{41} RUBIN at 3.
\textsuperscript{42} Procedural irregularities are omnipresent even though many juvenile codes have been updated since the impactful \textit{Gault} decision . . . and observations . . . indicate that though the rule of law is now more common in the juvenile justice system, it is certainly not pervasive. . . . But an unmistakable trend is in motion.
RUBIN at 3.
Since the *Gault* decision, informality is on its way out of the juvenile courtroom. Informal chats between a "friendly judge" and a child held under the "delinquent tendencies" section are now definitely out.\textsuperscript{43} "Juvenile courts are law courts, and should behave accordingly, giving juveniles careful and fair hearings."\textsuperscript{44} According to proponents of improved procedural process for minors, there is no disparity between the utilization of due process of law and compassionate treatment for minors.\textsuperscript{45} There is some contention in fact, that the pressure on the court's time, coupled with the remaining informality of the juvenile court system and the vagueness of section 601, paves the way for unintentional abuse of judicial discretion.\textsuperscript{46}
The vague wording of section 601 has been the subject of considerable discussion. Particularly troublesome has been the phrase "in danger of leading an idle, dissolute, lewd, or immoral life." The report on *Juvenile Court Processes* of the Assembly Interim Committee on Criminal Procedure comments:
Trying to define an idle, dissolute, lewd, or immoral life is like trying to define art. It is impossible. It can only be assumed that the courts are expected to know it when they see it. What is worse, the court need not find that the minor is actually leading an idle or dissolute life. It is enough if the court finds that the minor is in danger of leading such a life. . . . Section 601 uses standards that depend wholly upon the subjective values of the individual judge sitting on the case.\textsuperscript{47}
Relative to this clause, and at this writing, the United States District Court for the Northern District of California has reached a decision which was filed on February 9th, 1971. The decision holds that:
[T]he portion of Cal. Welf. & Inst. Code section 601 . . . which reads 'or who from any cause is in danger of leading an idle, dissolute, lewd or immoral life' is too vague to serve as a constitutionally permissible standard on which to base an arrest or an adjudication of a juvenile as a ward of a court. We believe that this portion of the statute is such that 'men of common intelligence must necessarily guess at its meaning and differ as to its application. . . .' It is violative of the due process clause of the Fourteenth Amendment.\textsuperscript{48} (Citations omitted).
The court thus decreed as unconstitutional one part of section 601,
\begin{itemize}
\item[43.] Richette at 320.
\item[44.] Id.
\item[45.] Id. at 307.
\item[46.] See generally: Assembly Interim Committee on Criminal Procedure, Juvenile Court Processes (1970).
\item[47.] Id. at 20.
\item[48.] Gonzalez v. Mailliard, case number 50424 filed Feb. 9, 1971, at 12 (N.D. Cal.), copy on file at the Pacific Law Journal Offices.
prohibiting further arrests of minors based on this clause.\textsuperscript{49} In support of its decision the court noted that similar language in adult vagrancy statutes has been found to be unconstitutionally vague.\textsuperscript{50}
In striking down the clause the court also addressed itself to another of the concerns voiced by opponents of section 601. They argue that vague wording in the statute may open the door to unnecessary harassment of minors by law enforcement officials.\textsuperscript{51} In response to a statement made by defendant Cahill, who was at one time Chief of Police of San Francisco, that the police ordinarily become involved with cases concerning minors only where there is a report of a crime, the court said:
Assuming this to be the general practice, the possibilities for abuse are manifest. If the police or probation officers do not have sufficient proof to show commission of a crime beyond a reasonable doubt, they can change the charge to section 601 and prove a potentially immoral conduct of life.\textsuperscript{52}
The constitutional severing of the clause “in danger of leading an idle, dissolute, lewd or immoral life” does not nullify entirely section 601 of the Welfare and Institutions Code. A large portion of it remains intact. Whether removal of the vague clause will make any difference in the thinking of those individuals who are seeking repeal of the section would be merely speculative since the decision is so recent.
In addition to the concern regarding the vagueness of section 601 which focused primarily on the clause now declared to be unconstitutional, there are other practical procedural problems. Among them are questions concerning the need for additional time to try delinquent tendencies cases and where it will come from in light of the push for stricter procedural formality in juvenile courts. Who will pay for the increasing number of public defenders required to handle juveniles’ defenses upon request? These questions remain to be answered as juvenile courts appear headed for a shift from a benevolent system to an advocacy system.
Procedural problems may be further compounded by the fact that a sizeable proportion of “delinquent tendencies” cases are administered outside the juvenile court and without the benefit of procedural formalities currently in force.\textsuperscript{53} Presently, probation officers themselves
\textsuperscript{49.} \textit{Id.} at 12, 13.
\textsuperscript{50.} \textit{Id.} at 7, citing Wheeler v. Goodman, 306 F. Supp. 58 (W.D. No. Car. 1969), appeal docketed, No. 102, S. Ct., 39 U.S.L.W. 3020.
\textsuperscript{51.} See Assembly Interim Committee, \textit{supra} note 8.
\textsuperscript{52.} Gonzalez, \textit{supra} note 48, at 11.
\textsuperscript{53.} \textsc{Continuing Education of the Bar}, \textit{supra} note 9, \textit{Procedure for Informal Probation}, at 90, 91.
may make the determination as to whether a delinquent tendency case qualifies for a six-month probationary period or should be filed for court action. Does control over the supervision of the activities of a minor under "informal supervisory probation" deprive him of his rights despite the fact that his own and parental permission are necessary to place him under such supervision? Might an inexperienced young person, with his parents, agree to be placed on informal probation because he prefers this alternative to the threat of going to court, even though there are really no legitimate grounds for his custody even under section 601? Does this sort of activity amount to a kind of plea bargaining which works a reverse coercion on minors and their parents who, at this point, are generally without the advice of counsel?
Still implicit in the remaining portions of section 601 is the potential for abuse by the use of these grounds to "bootstrap" the sustaining of a petition against a minor when allegations which might otherwise be filed under a section 602, criminal behavior, petition cannot be proved. The federal district court considered this potential relative to the portion of section 601 they struck down as unconstitutional.\(^{54}\) Such abuse, while less likely, is still possible under certain remaining portions of the section. However, it would appear that police, if attempting to utilize the section as a bootstrap to sustain a petition where there was insufficient proof of criminal activity, would at least have to make a showing that the youth in question was out of parental control.
C. Sociological Concerns and Section 601
The last of the problem areas relevant to the repeal of the "delinquent tendencies" section concerns matters primarily sociological. The sociological concern regarding court jurisdiction over minors who are exhibiting behavior classified in the "delinquent tendencies" area focuses on court intervention and control over the behavior of minors when another approach might better serve the interests of the child. Sociologists suggest it is a mistake to utilize even the juvenile courts to control behavior which stems from adult misbehavior toward the minor in question, or from emotional or physical illnesses.\(^{55}\) Critics of section 601 suggest that it is a failure.\(^{56}\) They claim no shred of evidence exists to suggest that any significant number of the thousands of non-criminal minors who have been processed through our courts have benefited from these procedures.\(^{57}\)
\(^{54}\) See text accompanying note 52 supra.
\(^{55}\) See generally, Assembly Interim Committee, supra note 8.
\(^{56}\) Id. at 7.
\(^{57}\) Id.
Critics contend that minors often react unfavorably to the use of the courts as a method for correcting behavior which is primarily anti-social and not criminal in nature.\textsuperscript{58} The suggestion is that as we label children as delinquents, they are less likely to respond to the court system. Many children become antagonistic where authoritarian techniques are used and form rigidly negative self-images that then lead cyclically to future anti-social behavior.\textsuperscript{59} Moreover, it is suggested that we are asking too much of the courts, and consequently court effectiveness, from a sociological viewpoint, is bound to be impaired.\textsuperscript{60} "Court intervention should be restricted to those acts punishable as crimes when committed by adults."\textsuperscript{61} Section 601 deals with an area that is not criminal in nature and is not intended as such—hence it should not be so treated.\textsuperscript{62}
Another reason for considering repeal is the high rate of recidivism among juveniles. The problem of repeated offenders exists among juveniles as well as adults. If a minor violates the terms of his probation under section 601, he may subsequently be charged with a section 602 offense, and may, at the discretion of the court, be detained in the California Youth Authority. However, the small percentage of minors who are sent to the California Youth Authority because of a violation of probation under section 601 suggests that this alternative infrequently occurs.\textsuperscript{63}
Although no figures are available for the entire state on juvenile recidivism because of a disparity in reporting practices among California counties, there are figures for 36 counties which report to the state on this subject under a uniform system.\textsuperscript{64} In 1969 those counties reported the total number of cases of recidivism at 21,153, of which 40 percent were in the specific offense (section 602) category.\textsuperscript{65} Delinquent tendencies (section 601) accounted for the bulk, or 60 percent of the recidivism.\textsuperscript{66} Sociologists suggest a high rate of recidivism is indicative of the failure of the concept embodied in section 601 to accomplish its purpose of effective rehabilitation of minors.\textsuperscript{67}
\begin{itemize}
\item \textsuperscript{58} Richette at 320.
\item \textsuperscript{59} Id.
\item \textsuperscript{60} Richette.
\item \textsuperscript{61} Id. at 320.
\item \textsuperscript{62} From another perspective, it must be said that we ask too much of law. Law has a powerful though limited role in society. Its effectiveness is reduced when you throw everything into it like a grab bag. Rubin at 2.
\item \textsuperscript{63} Interview with Mr. Sydney Pryor, Assistant Chief Probation Officer, Sacramento County, in Sacramento, California on January 12, 1971.
\item \textsuperscript{64} Department of Justice, Bureau of Criminal Statistics, supra note 15, at 156.
\item \textsuperscript{65} Id.
\item \textsuperscript{66} Id.
\item \textsuperscript{67} Assembly Interim Committee, supra note 8.
Another sociological objection is directed to the placement of minors in custody pursuant to section 601 in the same living facility with juveniles who are in custody for a specific offense under section 602.
There for 24 hours a day, they will be exposed to the worst representatives of their own age group. . . . At a time when they are the most susceptible to peer influences, these 601(s) . . . are thrown in to live with juvenile thugs, armed robbers and habitues of the drug world. . . . They have been brought to the right place for the final push.\(^{68}\)
Philosophically related to the sociological reasons asserted in support of repeal of section 601 is the correlation which may be drawn between the urged repeal of this section and the related pressure in the adult criminal code to do away with crimes without victims.\(^{69}\)
**Opposition to Repeal**
Convincing as the reasons for repeal may seem, there is considerable opposition. Among the people who work daily with the minors in custody under section 601 charges, the reaction is different. While these professionals seem to be agreed that section 601 presents some problems, particularly with reference to the language recently struck down by the federal district court, most of them view outright repeal of the "delinquent tendencies" section with alarm. Sacramento County Juvenile Court Judge Robert Cole suggests that repeal of section 601 "may sound good in theory, but is not consistent with the practical realities of dealing with incorrigible minors."\(^{70}\)
While judges, probation officers, and law enforcement officers see the "delinquent tendency" violations as expensive, time consuming, professionally non-rewarding, and marked by a high rate of recidivism, none seem to feel that outright repeal of the code section approaches an adequate answer to the behavioral problems covered under the section. The arguments in opposition to repeal are as diverse as those favoring repeal. These arguments should be tempered with the understanding that many who oppose repeal see the need for change and are acutely aware of the problems, but would prefer to retain the concept that has been embodied within the section as it is if faced with the alternative of out-right repeal.\(^{71}\)
\(^{68}\) *Id.* at 14.
\(^{69}\) K. KIRKPATRICK, SOCIAL AND PROFESSIONAL ISSUES IN CORRECTIONS: AN ASSESSMENT FOR CALIFORNIA CHIEF PROBATION OFFICERS, 7-8 (1970) [hereinafter cited as KIRKPATRICK].
\(^{70}\) Interview with Judge Robert Cole, Judge of the Juvenile Court, in Sacramento, California on January 12, 1970.
\(^{71}\) Interviews with Mrs. Afton Blurton, *supra* note 28, and Mr. Sydney Pryor, *supra* note 63.
Probation officers point out that repeal of the delinquent tendencies section will result in an increased incidence of petitions filed under section 602 for minors' criminal activity. Many minors who have committed lesser acts of a criminal nature (e.g., hubcap thefts) are petitioned under section 601 rather than under the more severe code section reserved for "hardcore" criminal acts.\textsuperscript{72} To remove the code section would be to remove that option.\textsuperscript{73}
One argument disfavoring the total repeal of section 601 is that removing the jurisdiction for such cases from the court will not change such behavior nor eliminate the problem implicit in such behavior.\textsuperscript{74} What, it must be asked, is to be done with the 227,000 children each year who are processed under section 601? Will we allow runaways to sleep in parks, enforce no truancy provision, and, at the same time, suffer the consequences of a likely increase in section 602 petitions filed?
Diversion, removing the minor from the court process and channeling his problem through another agency, is the most frequently mentioned alternative for handling minors exhibiting delinquent tendency behavior. Minors who might have been processed under section 601 in the court system could theoretically be diverted to other agencies. Probation officers find, however, that
the volume of 601 referrals \textit{from} noncorrection agencies indicates:
(1) The inability of such agencies to cope with this type of case (i.e., the same agency \textit{to which} minors might be diverted upon repeal of section 601). (2) The inability of such agencies to cope with the volume of these cases even \textit{with} juvenile court participation. (3) The continuing existence of problems of this nature.\textsuperscript{75}
Regardless of the movements toward restricting the juvenile court's jurisdiction by repeal of section 601, probation officers believe that there remains a need to provide an
authoritative agency to foster acceptable behavior among youth in the home and in the school. Removal of jurisdiction from the juvenile court does not eliminate the problem but rather eliminates the only consistent system of dealing with the problem.\textsuperscript{76}
Discussing the stigma of a juvenile court record and the label which might be the result of a section 601 petition, one probation officer sug-
\textsuperscript{72} Interview with Mrs. Blurton, \textit{supra} note 28.
\textsuperscript{73} Custody under section 602 necessitates court filing and labeling although probation may still be the result.
\textsuperscript{74} \textsc{Kirkpatrick} at 13.
\textsuperscript{75} See current legislative analysis of Chief Probation Officers of California, Remove Section 601W and I Code from Juvenile Court (1970). Paper on file in the Pacific Law Journal offices.
\textsuperscript{76} \textit{Id}.
gested this is inevitable despite sealing of juvenile court records and the privacy of juvenile court proceedings.\textsuperscript{77} As a practical matter people who really want to know about the background of a juvenile need not, and do not always, ascertain this through his juvenile record. Anyone who questions neighbors, friends, teachers and associates can gain a reasonable picture of the minor in question with respect to whether he has been in trouble. There is no necessity to reach the actual information confirming custody under any code section.\textsuperscript{78}
Some probation officers see repeal of section 601 as an attempt to thrust the problem of delinquent tendency behavior entirely on the counties.\textsuperscript{79} Analogizing with the Mental Health program\textsuperscript{80} instituted by the legislature wherein counties were to provide some sort of mental health program for their own residents, the officers point out a number of counties which have accomplished very little in the area of mental health. Pointing out the differences in county response to the problem of mental health care, they suggest that local provisions designed to cope with the "delinquent tendencies" problem will be likely to have the same spotty success.\textsuperscript{81}
Diversion, while heralded by the critics of section 601 as one alternative for dealing with minors now processed under the delinquent tendencies section, actually presents one of the most persuasive arguments favoring retention of section 601. Again, diversion is the process of removing the minor from the purview of the court and finding an alternative solution to his problem, usually through another agency. Probation officers, judges, and law enforcement officers alike reason that once the code section is repealed, and the law abolished, there can be no diversion, as there is no authority upon which to divert.\textsuperscript{82}
A large percentage of young people taken into custody under section 601 are considered to be incorrigible and out of the control of their parents.\textsuperscript{83} Probation officers reason that if these young people were sufficiently responsive that they could be diverted voluntarily, they would not be out of control. The fact is that even before most minors are taken into custody for the first time under section 601, diversion has been tried in some manner by parents, teachers, school authorities or by law enforcement officers who return the child to the home rather
\begin{itemize}
\item \textsuperscript{77} Interview with Sydney Pryor, \textit{supra} note 63.
\item \textsuperscript{78} \textit{Id.}
\item \textsuperscript{79} Interview with Sydney Pryor, \textit{supra} note 63, and Mrs. Afton Blurton, \textit{supra} note 28.
\item \textsuperscript{80} Cal. Welf. & Inst. Code § 5000 \textit{et seq.}
\item \textsuperscript{81} \textit{Id.}
\item \textsuperscript{82} \textit{Id.}
\item \textsuperscript{83} \textit{Id.}
than to the probation department.\textsuperscript{84} It is the fact that these young people are incorrigible or "out of control" that seems to necessitate some code provision under which juvenile authorities might exercise jurisdiction to compel the minor to follow a proposed diversion remedy.
Many professionals in the juvenile court system agree that changes should be made in section 601.\textsuperscript{85} While the nature of those changes might be a matter of debate, most of these people also believe it would be a mistake to eliminate the entire concept embodied in section 601 without making some provision that would provide for jurisdiction over incorrigible minors so they could be cared for under a reasonable program.\textsuperscript{86}
\textit{Alternative Proposals}
The preceding discussion sets forth some of the problems surrounding section 601 jurisdiction and the controversy related to its proposed repeal. Some consideration should also be given to any alternatives available for the solution of the problems raised. What is to be done with the 227,000 young persons to improve the long range outlook for their lives, regardless of whether the law is repealed, altered, or remains in its present form? The present legislative focus appears to be aimed at outright repeal as proposed in the report on Juvenile Court Processes by the Assembly Interim Committee on Criminal Procedure.\textsuperscript{87} Whatever the legislature decides to do concerning section 601, there are a number of alternatives it might weigh as it searches for an answer. Few persons would agree that minors exhibiting delinquent tendencies behavior can simply be ignored.
Alternative solutions are numerous. It may be that the judicial repeal of the vague language in the section by the \textit{Gonzales} decision will quiet some objections.\textsuperscript{88} Section 601 in addition may be amended in a manner that would increase the diversionary methods available, while at the same time removing any additional language which may be vague.
One simple alternative diversionary method would be to handle some of the cases currently processed under section 601 as dependency cases under section 600.
Section 601 should . . . come under careful scrutiny . . . . In
\begin{itemize}
\item \textsuperscript{84} \textit{Id.}
\item \textsuperscript{85} \textsc{Kirkpatrick} at 13, 14.
\item \textsuperscript{86} Interview with Mr. Sydney Pryor, \textit{supra} note 63, and with Mrs. Afton Blurtton, \textit{supra} note 28, and with Deputy Fred Dodson, in Sacramento, California on February 20, 1971.
\item \textsuperscript{87} \textit{Assembly Interim Committee}, \textit{supra} note 8.
\item \textsuperscript{88} \textit{Gonzalez}, \textit{supra} note 48 and accompanying text.
many instances minors who would be more beneficially handled under section 600 are filed under section 601 and ultimately receive a record of delinquency.\textsuperscript{89}
It is questionable whether such a diversionary method would require a change in the Welfare and Institutions Code. Probation officers, however, do not consider the utilization of section 600 as a diversionary device frequently applicable to the type of case embodied in section 601.\textsuperscript{90} The problems customarily associated with section 601 are often not compatible with the neglect and abuse for which section 600 was designed.\textsuperscript{91} It is also possible that this particular diversionary tactic would result in still another peer association problem similar to that associated with placing section 601 offenders with those who are being detained for the commission of some specific offense under section 602. In diverting behavior now considered within the purview of section 601 jurisdiction to section 600, runaways, persistent truants, and incorrigibles would be housed in the same shelter as the dependent child who is under the care of the court because of parental death, desertion or neglect.
Prior to the \textit{Gonzales} decision still another recommendation was made suggesting deletion of the clause which the district court struck down, coupled with a revision of the section such that it would clearly refer to only acts "that entail a real risk of long range harm to the child."\textsuperscript{92} Section 601 might be amended to accomplish this purpose and still retain for authorities some jurisdiction to reach a child who is potentially harmful to himself.
With no change in the section, further diversion might be developed by increased utilization of a little used section of the code, section 600(c), which provides for dependency proceedings for a minor who is "physically dangerous to the public because of a mental or physical deficiency, disorder or abnormality."\textsuperscript{93} If a thorough examination, both physical and mental, shows some brain damage or abnormality, youngsters who would ordinarily be made wards of the court under section 601, may more properly be placed within the jurisdiction of the court under section 600(c).\textsuperscript{94}
Another suggestion for altering section 601 without total repeal includes removal of the language providing that a minor who is a ward
\begin{itemize}
\item \textsuperscript{89} G. Ward, \textit{Legal Rights and The Juvenile Court} 13 (prepared for the Assembly Office of Research, 1970).
\item \textsuperscript{90} Current Legislative Analysis of Chief Probation Officers of California, \textit{supra} note 74.
\item \textsuperscript{91} \textit{Id}.
\item \textsuperscript{92} Ward, \textit{supra} note 89, at 14.
\item \textsuperscript{93} Cal. Welf. & Inst. Code § 600(c).
\item \textsuperscript{94} Continuing Education of the Bar, \textit{supra} note 9, at 38.
of the court under section 601 is subject to the filing of a petition under section 602 if he fails to obey a lawful order of the court. This would prevent a section 602 petition from being filed on any minor who has never actually violated a criminal law. Consistent with this approach, Kenneth Kirkpatrick, Chief Probation Officer for Los Angeles County, believes that delinquent tendency cases should not be commitable to the California Youth Authority unless a later section 602 criminal violation occurs.\textsuperscript{95} This would avoid any co-mingling of delinquent tendency cases with the most hardened of California's juvenile criminals.\textsuperscript{96}
Amendments to section 601 might also preclude juvenile court jurisdiction of a delinquent tendency case until a program of probationary family treatment has been tried on a voluntary basis. If such programs are not successful or a child's custody is involved, jurisdiction would then be assigned to the juvenile court or other judicial tribunal.\textsuperscript{97} Consideration might also be given to amending section 601 to enable diversion of all cases referred to the court for drug use and possession—diverting these instead for medical, social and psychological treatment.\textsuperscript{98}
Of all the proposed alternatives for handling minors exhibiting delinquent tendency behavior, diversion, whether total or partial, is the most frequently mentioned. The questions are how much, to where, by whom, and whether the diversion will take place under the jurisdiction of the juvenile court or outside its purview.
Numerous studies have been proposed to test the effectiveness of this alternative. The aim of such tests would be to determine whether diversion accomplishes something positive in the handling of incorrigible minors without the sacrifice of those benefits which may be attributed to processing through the current juvenile court system.\textsuperscript{99} Some diversionary tests have been suggested by Ted Rubin, Judge of the Juvenile Court for the City and County of Denver. In viewing the Colorado juvenile system in a paper he delivered to the Delinquency Prevention Strategy Conference he set forth several similar tests, one of which was classified as a 50 percent diversion model.\textsuperscript{100} Within a given juvenile court 50 percent of the minors referred under the delinquent tendencies provision would be automatically diverted to other community agencies without any screening or intake procedure. The other half would be automatically filed under a section 601 petition. After a period of time the results of such a program should be evaluated to consider
\textsuperscript{95.} \textit{KIRKPATRICK} at 14.
\textsuperscript{96.} \textit{Id.}
\textsuperscript{97.} \textit{Id.} at 14.
\textsuperscript{98.} \textit{Id.} at 12.
\textsuperscript{99.} \textsc{Rubin}. Note his diversionary models and evaluation components at 5-18.
\textsuperscript{100.} \textit{Id.}
values incident to court overload, whether other agencies can in fact better deal with these youths, and whether the other agencies require outside assistance in dealing with the behavior patterns of the diverted minors. Additional evaluation would need to be done on how many of these minors subsequently record section 602 offenses. Cost factors and parental attitudes toward diversionary handling also need to be analyzed.\textsuperscript{101} One problem with any test similar to the one proposed is how to handle the distress of those individuals who happen to fall into the trial group filed upon under section 601 instead of the proposed diversion.
If the legislature proceeds with an outright repeal of section 601, there are other diversionary proposals which rely fundamentally on voluntary diversion by the minor and his parents. The following is the foundation upon which one such proposal is founded:
There is one effective strategy by which a community group can prevent any of its children who have been defined as troublesome from being processed officially as delinquents. This involves providing a diversionary extra-legal system of care to deflect the children from the official law enforcement process and to other social institutions, particularly private welfare (agencies).\textsuperscript{102}
Based on this approach are proposals for neighborhood and juvenile conference committees as a place to divert delinquent tendency offenses from the court.\textsuperscript{103} One facet of these programs would be to impose upon the citizenry some of the responsibility they have relinquished to official agencies.\textsuperscript{104} With these and other diversionary proposals the approach would be basically voluntary if there is a repeal of section 601, as there would be no authority to enforce a minor's participation.
While most of the diversionary proposals have contemplated the use of existing agencies or the development of local neighborhood agencies to handle delinquent tendency behavior, at least one proposal is considerably more extensive. The development of an entirely new governmental agency has been suggested, to be entitled the Youth Service Agency.\textsuperscript{105} Such an agency is currently on trial in an embryonic stage in some areas of California. Potentially, juveniles in custody under section 601 could be diverted to such an agency. At this agency a host of other juvenile related services might also be provided, including a
\begin{itemize}
\item \textsuperscript{101} RUBIN at 6.
\item \textsuperscript{102} RUBIN at 13, citing manuscript by Martin, Fitzpatrick, Gould and Associates, The Analysis of Delinquent Behaviour, A Structural Approach at 4-6.
\item \textsuperscript{103} RUBIN at 11.
\item \textsuperscript{104} Id.
\item \textsuperscript{105} Interview with Mr. Van Burch, Assembly Office of Research, in Sacramento, California, January 1970.
place for juveniles to register complaints relative to parental neglect or mistreatment.\textsuperscript{106} If such an agency were developed whether or not diversion were voluntary would depend upon whether section 601 is repealed. Currently, various approaches to diversion are being tried in several parts of California. Some of the projects are operating under federal grants.\textsuperscript{107} Diversion is also being utilized with some minors who have been classified as “wards” under section 602.\textsuperscript{108}
Any consideration of diversion, if diversion is developed as accompanying legislation to a repeal or alteration of section 601, would be unrealistic if it did not include some mention of the cost. No publicly or privately funded social welfare agency toward which “delinquent tendency” cases might be diverted is laboring under an excess of funds or personnel, if accounts of their budgetary problems are to be believed. While some adjustment of funds previously distributed to the courts for administration of these same youngsters might be shifted to the various agencies, it appears doubtful that the amount ultimately available would be sufficient to cover the costs of an additional caseload of such magnitude. Privately funded agencies or neighborhood councils also face the problem of financing, and if an entirely new agency were developed to deal exclusively with the problems of youth the cost would be substantial. The cost factor clearly will play an important part in determining the best avenue of change to follow.
\textit{Conclusion}
In the opinion of many of its opponents, section 601 of the Welfare and Institutions Code may be equated with a plethora of social, practical and procedural evils for the juvenile. In the view of still others, especially those who deal with minors exhibiting delinquent tendency behavior, some section which provides a minimum of control necessary to work with the minors is essential. An effective solution to any of the problems presented by the philosophy embodied in section 601 regardless of the approach taken by the legislature is not likely to be simplistic or inexpensive. Nonetheless, the consideration currently given to repeal of section 601 is evidence that Californians have seen change coming in juvenile law and are making some attempt to meet it. Concern is also demonstrated by both proponents and opponents of section 601 with the development of an effective and viable method of promoting the welfare of California’s youthful population.
\textsuperscript{106} \textit{Id.}
\textsuperscript{107} An example is the diversion project in Sacramento County’s Juvenile Court System.
\textsuperscript{108} Velie, \textit{The Way to Lick the Jail Habit}, \textsc{Reader’s Digest}, February, 1971, at 142.
If the current method of handling juvenile misconduct deemed non-criminal in nature is abolished, a new and more effective method must be devised as a substitute. "Delinquent tendency" behavior cannot be allowed to flourish without some type of control.
Glendalee Garfield
|
PARISH MISSION STATEMENT
St. Julie Billiart is a welcoming Roman Catholic community that deepens our personal relationship with Jesus Christ by worshiping together, reaching out to others and building up the Kingdom of God.
THE ASSUMPTION OF THE BLESSED VIRGIN MARY
August 15, 2021
PASTOR: Rev. George A. Vrabel
Deacons: Rev. Mr. John Rivera
Rev. Dr. Ken DeLuca, retired
PSR Principal: Kelly Reed
Music Director: Danny O’Brien
LITURGY SCHEDULE
Saturday.........................................................5:00 p.m.
Sunday........................................9:00 & 11:00 a.m.
Weekday Masses at the Church
Monday–Friday........................................8:30 a.m.
(Excluding Thursdays)
Holydays..............................Consult the Bulletin
For updates check St. Julie’s Website
CONFESIONS
Saturdays.........................................................4:00 – 4:30 p.m.
In the Church
PSR – PARISH SCHOOL OF RELIGIOUS EDUCATION CLASSES
Grades K - 8: 9:30 - 10:45 a.m.
RCIA & RCIC (Rite of Christian Initiation of Adults and Children)
BAPTISMS
Call or email the office.
MARRIAGE
Arrangements must be made 6 months in advance
NEW PARISHIONERS
You are welcome to call the office or register online.
From the Desk of Father George
Greetings Parishioners and Friends of St. Julie’s,
On this, our Anniversary Weekend, it is appropriate to give thanks for all the blessings we have. In prayer, we seek the continued intercession of our Blessed Mother that we may be drawn ever more closely to her son through the Holy Eucharist.
Happy 43rd Anniversary St. Julie’s Parish!
Today, the liturgical calendar draws us to The Feast of the Assumption and forgoes the 20th Sunday in Ordinary Time. The Assumption was first defined in 1950 by Pope Pius XII who solemnly proclaimed, “The Immaculate and ever-virgin Mary, Mother of God, was assumed body and soul into the glory of heaven, when her life on earth was complete.” The word assume may confuse us, but it comes from the Latin word meaning taken up.
This Feast in the Catholic Church is significant because we live in an in-between time. We know that Christ died for our salvation, but we have not yet arrived in the full glory of heaven; we are a people who journey to that moment when, through hope, anticipation, and through our incompleteness, we will arrive. The doctrine of the Assumption declares that one member of our human family, Mary, has arrived in both body and soul. Mary has received the full destiny for which we should be longing. She is totally changed, body and soul, drawn completely into the life of God.
In our humanness we may have difficulty comprehending what Mary enjoys and what we must await. We believe that this fullness of life is not only possible, but also a promise! As Mary has been fulfilled in the newness of Christ, we honor her and wait for the moment when we too will become a new creation in Christ. Mary – in life and in death - gives us hope. Rejoice in that gift as we celebrate her this weekend and every day in our parish life!
Fr. George
REMINDER: As we have returned to in church attendance, I, and others, have noticed that we may have forgotten the posture during the Rite of Communion. All (if able) are to remain standing until the last person receives communion. At that point all may be seated. It is not necessary to remain standing until the tabernacle doors have been closed.
Parish News and Updates:
- With the drainage areas around the church having been completed, our next summer activity is sealing the parking lot and doing some tree trimming. The rectory foundation has been stabilized and I am working on having the interior floors of two bedrooms levelled/raised. It’s been a busy summer.
- At the end of July, we received our first check from The Heart of the Shepherd Campaign in the amount of $38,065. Thank you for paying your pledges and please continue to do so. The quarterly checks we will receive are enabling the much-needed work around the property.
(continued)
Communion to the Homebound: If you would like to minister in this capacity or know someone in need of a visit from the priest or a minister, then please call the office and we will begin to assemble a plan based on need and volunteers.
Calling all Ministers… WE REALLY NEED YOU BACK!
Call the parish office or Fr. George at (440) 327-1978, and we will help make the connections!
Rite of Christian Initiation of Adults (RCIA)
This is the time to think about inviting your family and friends to consider full membership in the Catholic Faith. The RCIA will once again convene in late summer or early fall. This is an opportunity for those who have never been: baptized, those baptized outside the Catholic Church, or those baptized Catholic who have never received the sacrament of Holy Eucharist; to be baptized, profess their belief in the Catholic faith or to complete the sacraments of Eucharist and Confirmation. If you are an adult who has never been Confirmed, there is a separate process to complete your initiation. Either way, call Fr. George, 327-1978.
HELP NEEDED !!!
Do you love to share your faith? Have you considered being a PSR teacher? St. Julie’s is searching for several people willing to take a bit of time to help sow the seeds of our faith with our youngest. As we have all been taught… it does not take much to change the world…
Please consider helping! More information can be gained by reaching the PSR team at: email@example.com
**Religious Education**
*PSR – Parish School of Religion, Pre K - 8th grades, 9:30-10:45 a.m.*
---
**Mass Intentions for the Week**
| Date | Time | Intentions |
|------------|----------|-------------------------------------------------|
| Aug. 14 | 5:00 p.m.| Ron Matuszak (Family) |
| Aug. 15 | 9:00 a.m.| St. Julie Billiart Parishioners |
| | 11:00 a.m.| Dolores Snyder (Suzanne Snyder) |
| Aug. 16 | 8:30 a.m.| All Souls |
| Aug. 17 | 8:30 a.m.| Joan Greenly (The Livingston’s) |
| Aug. 18 | 8:30 a.m.| Health of Jim Waters (Jim & Amy Gaffney) |
| Aug. 19 | No Mass | |
| Aug. 20 | 8:30 a.m.| All Souls |
| Aug. 21 | 5:00 p.m.| Charles Martin (Bob & Mary Ann Jirousek) |
| Aug. 22 | 9:00 a.m.| St. Julie Billiart Parishioners |
| | 11:00 a.m.| Jufko & Wolski Families (Dennis Jufko) |
---
**The Week Ahead**
*August 15*
- **Tues.** Choir Rehearsal, Church
- **Wed.** Rosary, 1:00 p.m., Church
- **Fri.** Last Day of PSR Registration
---
**Coming Events**
- **August 26** Crockpot Carry Out Dinner
- **September 2** PrimeTimers
- **September 6** Labor Day
- **September 14** L.E.A.F.
- **September 18** Men’s Fellowship Breakfast at St. Peter’s
---
**Family Perspective**
Our bodies are meant for immortality. That’s what we believe when we profess in the Creed “We believe in…the resurrection of the body and life everlasting.” Mary already shares in the resurrection of her Son and Our Lord Jesus as we will, too, at the end of the world.
Our bodies are temples of the Holy Spirit and should be cared for and treated with respect. We strive to fill our bodies with good things and to live a life that proclaims or magnifies the greatness of the Lord. The virtues of chastity, modesty, and moderation are learned by children as they are taught how to care for and talk about their bodies. Families promote positive body image and holiness in these daily actions.
---
**Hospice of the Western Reserve Volunteers Needed**
Are you looking for a way to help individuals in your community? We serve palliative and hospice care patients/families wherever they call home. We have a wide range of volunteer opportunities to fit your talents, interests, and schedule. We are also in need of Dietary or Receptionist Assistance at Ames Family Hospice House in Westlake and volunteers to make calls to patients/families. You can even volunteer to sew, crochet, or knit. For information call, 216-255-9090 or fill out an online application at hospicewr.org/volunteer.
---
**Parish Stewardship**
| Date | Amount |
|------------|----------|
| Aug. 8 | $6166 |
| Online Giving | $325 |
| School Subsidy | $273 |
| Capital Improvement | $685 |
| Net Offertory: | $7449 |
| Online Mass including 3 livestream: | $27 |
| In Person Mass Attendance: | $317 |
Thank you for sharing your blessings.
## Minister Schedule
| Date | Time | Sacristan | Lector | Eucharistic | Minister |
|------------|----------|-------------|-------------|-------------|-------------|
| Aug. 14 | 5:00 p.m.| Beth Paoloni| Sharon DeBewc| Deacon John | Jim Nolan |
| Aug. 15 | 9:00 a.m.| Suzanne Snyder | Linda Vasiloff | Tom Lamoda | Laura Knoblauch |
| | 11:00 a.m.| Suzanne Snyder | Amy Shealy | Barb Arguello | Joe Kotarsky |
| Aug. 21 | 5:00 p.m.| Chris Vacca | Amy Shealy | Deacon John | Greg Dubecsky |
| Aug. 22 | 9:00 a.m.| John Burghard | Barb Arguello | Donnie Schiffbauer | John Burghard |
| | 11:00 a.m.| Suzanne Snyder | Jim Cassidy | Chris Snyder | Mark LaLonde |
## Cleveland Catholic Women’s Conference
All women are invited to the third annual Cleveland Catholic Women’s Conference, Saturday, October 9th at the Hilton Garden Inn and Conference Center in Mayfield, Ohio. Hear from our speakers including Sarah Swafford, Mother Jeanette of the Mercedarian Sisters of Cleveland, Maggie Craig, and musicians Kira and Jeff Andrea as they invite us to trust in God’s will for our lives and His Divine Mercy. The day will also include Mass with Bishop Malesic, and opportunities for prayer, confession, Eucharistic adoration, and forming friendships with other women of faith. Visit www.cleccatholicwomen.org to register or for more information. Registration is now open.
## First Friday Forum of Lorain County
The September 3rd meeting will feature Sr. Melanie Svoboda SND, whose topic will be “Hanging onto Hope in Our Imperfect World.” Please join us at LCCC, in the Spitzer Conference Center, beginning at 11:30 with a delicious lunch, prepared by the culinary department. The program begins at noon and concludes at 1:00 p.m. The cost is $20 or all 4 programs for $75. Reservations are required by Monday, August 30. Call 440-244-0643 or email firstname.lastname@example.org
## This is a Lifeline for Troubled Marriages
Has your marriage become unloving or uncaring – your relationship cold, distant – thinking about a separation or divorce? Are you already separated/divorced but both of you want to try again? Then the Retrouvaille program may help. The next weekend is September 10-12.
RETROUVAILLE, which means rediscovery, is supported by the Catholic Diocese of Cleveland, but it is open to couples of all faiths. This program consists of a weekend experience for couples and six follow up sessions. A registration fee of $150 is required to confirm your reservation. For more information concerning the program, or to register, please call Marce or Liz Gilha at 440.357.6580 or 1.800.470.2230, or go online to www.helpourmarriage.org.
---
Much courage and great patience. In time, the good God will show you what ought to be done. -Saint Julie Billiart
Safety recommendations reminders from the Catholic Diocese of Cleveland on the COVID-19 pandemic
As COVID-19 seems to be resurging and new variants of the virus emerge in Northeast Ohio, it is necessary once again to offer recommendations and reminders based on the latest guidance from federal, state and local public health agencies for the safety of all who worship at Catholic parishes throughout the Diocese of Cleveland.
Pope Francis reminds everyone that “Vaccines are an essential tool in this fight” against the virus. Those who are eligible should talk to their health care provider and seriously consider getting vaccinated to protect their health, the health of others, and to ease the increased burdens on our healthcare system and those who work there, many of them who are heroes to us.
All ministries of the Diocese of Cleveland, including parishes, schools, PSR, youth ministry and the like, are collaborating with and considering the various recommendations of public health authorities as they continue in their efforts to reduce the risk of COVID-19 for those they serve.
All persons – whether vaccinated or unvaccinated – should consider wearing masks when in close proximity to others. Frequent hand washing and practicing social distancing also are strongly encouraged. Health professionals say that these steps, along with regular disinfection of frequently touched surfaces, will help prevent the spread of the disease.
It is inevitable that people will make different choices about masking and other public health recommendations. Everyone is reminded to show kindness and respect to one another, especially those who may be taking an approach different from their own. Individuals and families must decide for themselves how best to respond to the current situation taking into consideration information from credible health authorities while following our Lord’s command, “As I have loved you, so you also should love one another” (John 13:34).
Those who are ill, have significant health risk factors or care for someone who is immune-compromised or ill, as well as those who have significant fear or anxiety about contracting the coronavirus in a large group of persons are not obliged to attend Mass.
Remember that the situation continues to be fluid. Stay connected to information coming from national, state and local health authorities and stay home and get tested for COVID when you are not feeling well. Following these recommendations will go a long way in helping to keep you and others around you safe.
Jesus reminded his Apostles in the Gospel of Matthew to “take courage and do not be afraid” when facing the storm. Jesus remains with us today and through our faith in him and our love for one another, we too can endure the trying challenges facing us today.
Thanks to all who have done their part to reduce the risk of infection for themselves and others. May God bless and watch over us in our time of need.
PUZZLE
Which picture name begins with this letter?
Circle the picture that starts with that sound.
M 🕊️ 🙏 🐿️
B 🐿️ 🏠 🏔️
H 🕊️ 🙏 🏠
COLOR
Read the Gospel of the week and color the image.
MISSION
I will hear and do what God asks in a humble manner.
Assumption of Mary • Luke 1:39-56
GOSPEL
Mary was humble. She loved and trusted God. God had been good to Abraham and to the people of Israel. Mary would do as God asked. God, the mighty one, chose her out of many women to be the mother of his only Son. Be like Mary. Do not brag about your goodness. Do not act like you are better than others. Then God will lift you up to a place of high honor with him in heaven.
PRAYER
Lord, help me be humble, kind, and loving.
PUZZLE
Unscramble words from today’s Gospel:
soul humble Mighty
spirit servant great
Savior blessed holy
sulo S O U L
Mythig __ __ __ __ __ __ __ __
srevatn __ __ __ __ __ __ __ __ __
hylo __ __ __ __ __
stirip __ __ __ __ __ __ __ __
belsdde __ __ __ __ __ __ __ __ __
Soivar __ __ __ __ __ __ __
hmuleb __ __ __ __ __ __ __
gerta __ __ __ __ __ __
MISSION
Mary was a humble girl, and God chose her to be Jesus’ mother. David was a humble shepherd, and God chose him to be a great king. Name one other humble person in the Bible that God lifted up and used powerfully.
COLOR
Read the Gospel of the week and color the image.
Assumption of Mary • Luke 1:39-56
GOSPEL
Mary understood God’s power. She loved and respected God. Everything Mary had belonged to God. He was happy to share good things with her. God deserves your respect and your love, too. When you are humble like Mary, God will do amazing things through you.
PRAYER
God, help me to be humble like Mary.
The AbbeWood
Senior Living Community
440-366-9780 • AbbeWoodRetirement.com
1210 South Abbe Road • Elyria, OH 44035
Sharon Watson
Community Relations Director
email@example.com
BOGNER
FAMILY FUNERAL HOME AND CREMATION SERVICES
36625 Center Ridge Rd
North Ridgeville, OH • 440-327-2955
www.bognersfamilyfuneralhome.com
Call For A Free Funeral Pre-Planning Consultation
~ Welcoming New Patients ~
NORTH RIDGEVILLE DENTAL
Bradley L. McCormack, D.D.S. & Associates
34155 Center Ridge Rd. (behind Get Go)
Call for an appointment 440-327-7950
www.northridgevilledental.com
RON’S NORTHVIEW BARBER SHOP
34960 Center Ridge Rd.
North Ridgeville, OH
(440) 327-8264
8:30-5:30 Tues., Wed., Thur. & Fri.
8:00-2:00 Sat.
UPGRADE TO A VIBRANT ad
Contact us for details
800-477-4574
Century 21 DeAnna Realty
Turning Clients into Family
Jim Fowler
Parishioner
330-323-3356
Gary Print
Owner
• Residential
• Commercial
PREMIER PAINTING
Insured • Free Estimates
216-469-6115
firstname.lastname@example.org
WE’RE HIRING AD SALES EXECUTIVES
Full Time Position with Benefits
• 401K • Experience Preferred
• Paid Training
• Overnight Travel Required
• Expense Reimbursement
CONTACT US AT: email@example.com
www.4LPI.com/careers
AVAILABLE FOR A LIMITED TIME
ADVERTISE YOUR BUSINESS HERE
Contact Vic Preisel to place an ad today!
firstname.lastname@example.org or (800) 477-4574 x6317
Too Sick for Mass?
SUPPORT OUR PARISH NO MATTER WHERE YOU ARE!
Sign-up to get your bulletin delivered right to your inbox!
www.parishonline.com
Amaro
HEATING COOLING
COMMERCIAL & RESIDENTIAL
WE SERVICE ALL MAKES & MODELS
LICENSED • BONDED • INSURED
6295 Lear Hagle Rd • North Ridgeville
440-327-5021
$10.00 First Service Call!
Wilson Tree Service
Trees Removed
Tree Trimming
Stump Grinding
353-0083
This Space is Available
Basch's Fine Jewelry & Timepieces
The only Certified Watchmaker, in the Western Cuyahoga area.
Norm Basch - Owner
440.777.TIME (8463)
30596 Lorain Rd.
North Ridgeville Eye Care
Dr. Carol. A. Novak
Exams • Infections Treated
Glasses • Contact Lenses
327-20/20
northridgevilleeyecare.com
Diana B. Rivera
Making Your Home Dreams Happen...
Since 1989
Direct: 440-327-5400
email@example.com
Plas Bros Paving
Residential/Commercial/Industrial
Paving, Crack Filling, Seal Coating
Excavating & Stone
Serving Lorain County for Over 50 Years
440.458.4985
From Rehab To Recovery,
Northridge Health Center Connects
Patients To Wellness &
Improved Quality of Life.
35990 Westminister Avenue
North Ridgeville, OH 44039
CONTACT US
TO SCHEDULE A TOUR
(440) 327-8511
EmbassyHealthcare.net
Carolyn B. Crowell, D.M.D.
Practice Limited to Pediatric Dentistry
Charissa Katzan McCune, D.D.S., M.S.D.
Orthodontics Specialist
www.drcrowell.com
36855 American Way, Ste.C, Avon OH
(440) 934-0149
For ad info. call 1-800-477-4574 • www.4tpl.com
|
CO-STAR: Conceptualisation of Stereotypes for Analysis and Reasoning
Author:
John Kwon
Supervisor:
Dr Anandha Gopalan
Submitted in partial fulfilment of the requirements for the MSc degree in Computing of Imperial College London
September 2021
Disclaimer
This report contains content which may be offensive or upsetting, and reader discretion is advised.
While much of recent work has focused on the detection of hate speech and overtly offensive content, very little research has explored the more subtle but equally harmful language in the form of implied stereotypes. This is a challenging domain, made even more so by the fact that humans often struggle to understand and reason about stereotypes. We build on existing literature and achieve performance improvements by introducing model specialisation and multiclass classification, and present CO-STAR (COceptualisation of STereotypes for Analysis and Reasoning), a novel framework which encodes the underlying concepts of implied stereotypes. We also introduce the CO-STAR training data set, which contains just over 12K structured annotations of implied stereotypes and stereotype conceptualisations, and achieve state-of-the-art results after training and manual evaluation. The CO-STAR models are, however, limited in their ability to understand more complex and subtly worded stereotypes, and our research motivates future work in developing models with more sophisticated methods for encoding common-sense knowledge.
Acknowledgements
I would sincerely like to thank Dr Anandha Gopalan for his invaluable support and guidance throughout the project, and for his thorough (and speedy!) feedback on the report. I would also like to thank Dr Ovidiu Şerban for providing constructive advice and helpful insights in the early stages of the project. I am also grateful to my family and friends for their continued patience, care and moral support during my year of online learning. Finally, I would like to thank Imperial College and its Corporate Partnership Programme for funding this project.
## Contents
1 Introduction 1
2 Background 5
2.1 Word Embedding .......................... 5
2.2 Perceptron ................................ 6
2.3 Multilayer Perceptron ...................... 8
2.4 Recurrent Neural Network ................... 9
2.5 Encoder-Decoder ........................... 10
2.6 Transformer ............................... 11
2.6.1 Attention Mechanism .................... 12
2.6.2 Architecture ........................... 16
2.7 GPT and GPT-2 ............................. 18
2.7.1 Training Approach ...................... 18
2.7.2 Architecture ........................... 18
3 Related Work 21
3.1 Gender Stereotypes ........................ 21
3.2 Bias Framework ............................ 22
4 Model Specialisation 23
4.1 Motivation ................................. 23
4.2 Social Bias Frames Definition ............... 24
4.3 Social Bias Inference Corpus ............... 25
4.4 Training ................................... 26
4.4.1 Classification ........................................ 26
4.4.2 Generation ........................................... 28
4.5 Results and Evaluation .................................. 29
4.5.1 Classification ....................................... 29
4.5.2 Generation .......................................... 33
5 The CO-STAR Framework .................................... 39
5.1 Motivation ............................................. 39
5.2 CO-STAR ............................................... 40
5.2.1 ConceptNet ......................................... 40
5.2.2 Stereotype Conceptualisation ....................... 41
5.3 Data Annotation ........................................ 42
5.3.1 Quality Assurance .................................. 44
5.3.2 Annotator Demographics .............................. 44
5.3.3 Limitations ......................................... 45
5.4 Training ................................................ 45
5.4.1 Ablation Studies .................................... 46
5.5 Results .................................................. 46
5.5.1 Initial Observations ................................ 47
5.5.2 Main Findings ....................................... 48
5.6 Limitations ............................................. 55
5.6.1 Model Generations ................................... 55
5.6.2 Evaluation Method ................................... 55
5.7 Summary ................................................ 55
6 Ethical Considerations ...................................... 57
6.1 Model Bias .............................................. 57
6.2 Deployment .............................................. 57
6.3 Data Annotation ......................................... 59
6.4 Ethics Checklist ........................................ 59
7 Conclusion .................................................. 61
7.1 Contributions .................................................. 61
7.2 Future Work ................................................... 62
Appendices ......................................................... 76
A Annotation Task Design ........................................ 77
B Ethics Checklist .................................................. 79
Chapter 1
Introduction
As more information is made available and digested from online sources such as Twitter and Reddit, it becomes easier for statements containing bias to be propagated and amplified, negatively affecting the social groups involved. Humans naturally seem to involve social bias and stereotypes in order to make judgments efficiently [1], and the inherent nature of this human characteristic makes it difficult to remove oneself completely from one’s personal biases and stereotypical views. Take the following classic riddle as an example [2]:
A man and his son get into a terrible car crash. The father dies, and the boy is badly injured. In the hospital, the surgeon looks at the patient and exclaims, “I can’t operate on this boy, he’s my son!” How can this be?
The solution is of course that the surgeon is the boy’s mother. However, the fact that many people hearing this riddle for the first time struggle to associate the roles of mother and surgeon with the same entity illustrates the inherent and underlying biases which they hold; and while this is a seemingly harmless example, such biases, if not addressed, can result in a subtle and unconscious introduction of stereotypes which not only present a distorted and discriminatory portrayal of the targeted individual or group, but also convey messages which are often damaging and detrimental.
In order to prevent these adverse effects, it remains necessary to understand and become aware of the use of stereotypes in language. This would encourage users of online media to address statements which contain stereotypes and their authors upon encountering them, as well as to restrict and check the use of stereotypes in their own language. However, this is a difficult task even for humans [3, 4], not only because of the fact that people are often unaware of their own biases [5, 6], but also due to the subtle and implicit ways in which they are expressed.
We therefore research automated approaches to classify whether a statement contains a
stereotype or not, as well as to explain and conceptualise any stereotypes involved. We focus on written text, as the close relationship between human cognition and natural language is well-established [7]. Further, we believe that there are three key positive implications of this study. Firstly, as mentioned above, revealing these stereotypes to social media users can inform them and their own use of biased language, as well as that of others. Secondly, it would enable automatic flagging of online content which may be harmful or in breach of community guidelines with detailed explanations as to why, so that moderators can verify them and in turn provide more transparency to the users. Finally, stereotype detection systems may prove to be beneficial in furthering research centred around mitigating biases present in natural language processing models, by allowing efficient annotation and neutralisation of large and potentially biased data sets, which would otherwise be expensive and time-consuming.
Recent work has mostly explored detecting overtly hateful language [8, 9, 10]. This, however, is limited in the context and scope of our research, as implicit manifestations of stereotypes account for much of social bias [11, 12, 13] and they are not always hostile in nature [14, 15, 16]. Gender bias has also been studied extensively [17, 18, 19, 20, 21], but this fails to take into consideration other commonly targeted demographic groups and does not address stereotypes directed at them. The work by Sap et al. [22] is most relevant to this project, and they define a formalism with which social biases can be analysed and explained. However, it is not without its limitations, and they form the basis for our contributions to this underexplored area of research.
Firstly, we aim to improve the baseline approaches established by Sap et al., who perform various classification and generation tasks to recover their Social Bias Frames [22] from unstructured text. We achieve this via model specialisation, by training and allowing each model to focus on a particular classification or generation task, and achieve state-of-the-art results in all but one task.
Secondly, we introduce multiclass classification tasks for the categorical variables in Social Bias Frames, and achieve results which are promising. We argue that this approach allows the models to produce more nuanced outputs, enabling more transparency as well as the ability to tackle potentially ambiguous text.
Finally, we propose a novel framework which we call CO-STAR (COnceptualisation of STereotypes for Analysis and Reasoning), in an effort to improve the ability for language models to analyse and generate stereotypes implied in biased statements. We decide to focus on this particular task, due to the benefits of detailed statements in explaining why a statement is biased and potentially harmful to certain demographic groups [23, 24]. We also introduce the CO-STAR training data set, which contains just over 12K structured implied stereotype annotations and their underlying concepts. We perform ablation studies and find that upon manual evaluation, models trained in accordance with this framework are able to generate more accurate and context-specific stereotypes. We therefore establish state-of-the-art results, but also acknowledge their limited ability to understand more complex and subtly worded stereotypes, and encourage future work to explore more sophisticated methods to encode common-sense knowledge and stereotype conceptualisations.
We structure this report as follows: we detail relevant background materials in Chapter 2 and expand on the related work in Chapter 3; we present our three main contributions in Chapters 4 and 5; and we conclude by discussing important ethical considerations and implications of this project in Chapter 6.
Chapter 2
Background
In this chapter, we cover key background materials which are important for understanding the technologies used in this project. Starting with a brief note on how words are represented for use in language models in Section 2.1, relevant concepts on machine learning in general are covered in Sections 2.2, 2.3 and 2.4, before detailing the technicalities related to current state-of-the-art language models in Sections 2.5, 2.6 and 2.7.
2.1 Word Embedding
In order for language models to take a sentence as input for processing, the words in the sentence need to be converted into a suitable data structure. For this, a continuous vector of real numbers is typically used, and although this idea is not new [25, 26, 27], it was popularised by Mikolov et al. with the introduction of word2vec [28, 29], an efficient method to estimate word representations in a continuous vector space using neural networks (to be introduced in Section 2.3). They show that word vectors exhibit properties which are useful in numerous natural language processing tasks including analogies and machine translation, since syntactic and semantic relationships are preserved by similar words having similar vectors [30]. Specifically, the offsets between pairs of words which have the same relationship have been shown to be similar, and the following example is used by Mikolov et al. [30] to illustrate this point:
\begin{align}
x_{apple} - x_{apples} &\approx x_{car} - x_{cars} \tag{2.1} \\
x_{family} - x_{families} &\approx x_{car} - x_{cars} \tag{2.2}
\end{align}
and so on, where $x_i$ is the vector for word $i$. The same concept is shown diagrammatically in Figure 2.1.
As an extension to the above idea, simple vector arithmetic has been shown to be possible, such that
\[ x_{king} - x_{man} + x_{woman} = x_{queen} \]
(2.3)
and other similar results can be achieved. Further, the fact that the same words in multiple languages will share similar vectors and relationships across multiple vector spaces has also proven to be useful in machine translation tasks.
There are other word embedding techniques which build and improve on word2vec such as GloVe [32] and fastText [33, 34], but these methods do not incorporate contextual information for each word, and polysemous words, as a consequence, are represented by the same vector. In order to address this issue, recent work has focused on developing context-aware word embedding techniques and language models such as ELMo [35] and OpenAI’s GPT [36] and GPT-2 [37] models, the latter of which achieves state-of-the-art performance on many natural language generation tasks, and which will be explained in more detail in Section 2.7.
### 2.2 Perceptron
The Perceptron was proposed by Rosenblatt [38], and can be seen as a precursor to the artificial neuron, a crucial building block used to develop numerous artificial neural networks. Based on the biological neuron in the brain, it makes use of a threshold function in order to map an input \( \mathbf{x} \) (a vector of real values) to a binary output value \( f(\mathbf{x}) \) where \( f \) (also called the Heaviside step function) is defined as the following:
\[
f(\mathbf{x}) =
\begin{cases}
1 & \text{if } \mathbf{w} \cdot \mathbf{x} + b > 0, \\
0 & \text{otherwise}
\end{cases}
\]
(2.4)
where \( \mathbf{w} \) is a vector of trainable real-valued weights, and \( b \) is the bias. Conceptually, the Perceptron is represented by the following diagram:
**Figure 2.2:** Simple representation of the Perceptron: the input layer consists of an input vector and the bias [39]; the Heaviside step function is applied to the output layer before the final value is determined.
The weights themselves can be trained using the difference between the predicted output and the true label, and this difference (also called the loss) is the main principle behind training other more complex machine learning models as well. More formally, in the case of the Perceptron, after predicting an output with the Heaviside step function as defined in Equation 2.4, the following equation is used to update the weights:
\[
w_i \leftarrow w_i + \alpha \cdot (y_j - f_j)x_{j,i}
\]
(2.5)
where \( w_i \) is the \( i \)th value of the weight vector, \( \alpha \) is the learning rate (a small positive real number), \( y_j \) is the true output label for the \( j \)th data point, \( f_j \) is the predicted output for the \( j \)th data point, and \( x_{j,i} \) is the value of the \( i \)th feature of the \( j \)th input vector. This update step is performed for all the weights in the Perceptron.
Intuitively, this equation makes sense: if \( y_j - f_j = 0 \), this means that there is no difference between the predicted output and the true label, and the weights do not need to be changed; if \( y_j = 1 \) and \( f_j = 0 \), the weight \( w_i \) is increased when \( x_{j,i} \) is positive, and decreased when \( x_{j,i} \) is negative, increasing \( \mathbf{w} \cdot \mathbf{x} \) and thereby making the predicted output larger and therefore closer to the true label; if \( y_j = 0 \) and \( f_j = 1 \), the opposite is required.
After updating all the weights, a new output can be predicted which, in turn, is used for further updates; training can then finish when a predetermined number of iterations
has been reached, or the average loss of all the data points is lower than a particular threshold.
### 2.3 Multilayer Perceptron
The Perceptron, however, can only be used if the learning data is linearly separable. For more complex and non-linearly separable data sets, the multilayer perceptron, containing an input layer, at least one hidden layer, and an output layer, is used. The multilayer perceptron is one of the simplest types of artificial neural networks, and as mentioned above, it is composed of artificial neurons, which can be understood as an extension to the Perceptron. However, instead of the Heaviside step function, which is linear, other non-linear activation functions are used, such as the sigmoid function
\[
S(x) = \frac{1}{1 + e^{-x}}
\]
(2.6)
which is typically used for binary classification, the rectified linear unit
\[
f(x) = x^+ = \max(0, x)
\]
(2.7)
for regression problems, and the softmax activation function \( \sigma : \mathbb{R}^K \rightarrow [0, 1]^K \) where
\[
\sigma(\mathbf{z})_i = \frac{e^{z_i}}{\sum_{j=1}^{K} e^{z_j}}
\]
(2.8)
for \( i = 1, \ldots, K \) and \( \mathbf{z} = (z_1, \ldots, z_K) \in \mathbb{R}^K \). In other words, the softmax activation function returns a probability distribution for a given input vector. This is a commonly used function in natural language processing, since most problems are characterised as a multiclass classification task (predicting which word to output from all the possible words in a vocabulary).
In a similar manner to the Perceptron, these activation functions are applied to the dot product of the two vectors, namely the inputs and the weights, plus the bias, for each neuron apart from those in the input layer, and the same activation function is typically applied to all the neurons in the same layer. In order to update the weights of the multilayer perceptron, a technique called backpropagation [26, 40] is used. The full technical details are beyond the scope of this report, but the intuition is similar to updating the weights of the Perceptron: the partial derivative of the loss with respect to the outputs is calculated in order to update the weights, and the error is propagated through the network in a backwards manner. Figure 2.3 shows a typical representation of a multilayer perceptron.
2.4 Recurrent Neural Network
In natural language processing tasks, it is common to consider a sentence as a sequence of tokens, or words. As a result, there is a temporal dimension to the input data, since the order in which the tokens appear in a sentence needs to be preserved for the sentence to make sense. When this idea is applied to the field of machine learning, and specifically to the multilayer perceptron, one can imagine supplying each successive word after the first to each of the hidden layers of the neural network, since each hidden layer has its own weights and activation function and therefore can be seen to behave independently. This would allow the encoded information for each word to be preserved, while still being able to maintain the temporal relationships between the input tokens. There is, however, a problem with this approach, since the inputs to such a multilayer perceptron would all need to have the same number of tokens in order to match the number of hidden layers of the network. Having one hidden layer with a recurrent structure addresses this issue: the neural network now contains one set of hidden weights and bias, and combines the current input with the state of the previous output, thereby preserving the relationship between the current and previous inputs.
The left illustration in Figure 2.4 shows the structure of a basic recurrent neural network. The input layer $x$ is supplied to the hidden layer $h$ along with the state of the previous output $h_{t-1}$, and subsequently to the output layer $o$. An alternative
representation is shown on the right, where \( h_{t-1} \), \( h_t \) and \( h_{t+1} \) represent the states of the hidden layer at times \( t - 1 \), \( t \) and \( t + 1 \) respectively. It is important to note that there is still only one hidden layer in this diagram: whereas a similar representation would be employed to show a multilayer perceptron with numerous hidden layers, the hidden layers in Figure 2.4 represent the same hidden layer at different time steps.
**Figure 2.4:** A basic recurrent neural network with two alternative representations. The diagram on the right shows the hidden layer states at different time steps with the corresponding output for each input [41].
The recurrent neural network can be summarised by the following equations:
\[
h_t = f(U \cdot x_t + V \cdot h_{t-1} + b_h)
\]
(2.9)
\[
o_t = g(W \cdot h_t + b_o)
\]
(2.10)
where \( U \), \( V \) and \( W \) are the trainable weights of the network, \( b_h \) is the bias for the hidden layer, \( b_o \) is the bias for the output layer, and \( f \) and \( g \) are the activation functions for the hidden and output layers respectively. Updating the weights for a recurrent neural network also involves backpropagation, but it is performed with respect to the hidden layer states at different time steps, and hence the technique is called backpropagation through time [42].
### 2.5 Encoder-Decoder
The Encoder-Decoder framework was proposed by Cho et al. [43] and Sutskever et al. [44], and is one of the key components of current state-of-the-art language models. The framework consists of two recurrent neural networks, using one for the encoder and another for the decoder. The role of the encoder is to read each token from a sequence and update the hidden state according to Equation 2.9. At the end of the sequence, the information held by the hidden state would be a summary vector \( c \) of the input sequence [43, 44], such that
\[
c = q(h_1, \ldots, h_T)
\]
(2.11)
where $T$ is the length of the input sequence, and $\mathbf{h}_t$ is the input hidden state at time $t$. The role of the decoder is then to generate the output token $y_t$ given the output hidden state $\mathbf{s}_t$, the previous generated token $y_{t-1}$ and the summary $\mathbf{c}$ of the input sequence [43, 44]:
$$p(y_t | y_{t-1}, y_{t-2}, \ldots, y_1, \mathbf{c}) = g(\mathbf{s}_t, y_{t-1}, \mathbf{c}) \quad (2.12)$$
where the hidden state of the decoder, $\mathbf{s}_t$, is dependent on the previous hidden state $\mathbf{s}_{t-1}$, $y_{t-1}$ and $\mathbf{c}$:
$$\mathbf{s}_t = f(\mathbf{s}_{t-1}, y_{t-1}, \mathbf{c}) \quad (2.13)$$
The overall role of the Encoder-Decoder framework would therefore be to define a probability of the output sequence $\{y_1, \ldots, y_{T'}\}$, given the input sequence $\{x_1, \ldots, x_T\}$, where $T'$ is the length of the output sequence, and $T$ and $T'$ may be of different lengths, as follows:
$$p(y_1, \ldots, y_{T'} | x_1, \ldots, x_T) = \prod_{t=1}^{T'} p(y_t | y_{t-1}, y_{t-2}, \ldots, y_1, \mathbf{c}) \quad (2.14)$$
A simple illustration of the Encoder-Decoder framework is shown below in Figure 2.5.
![Figure 2.5: This particular Encoder-Decoder framework reads as the input sequence {A, B, C} and upon reading the end-of-sequence token <EOS>, outputs the sequence {W, X, Y, Z, <EOS>} [44]. Note that as with the recurrent neural network illustration in Figure 2.4, this diagram shows the hidden layers of the two recurrent neural networks at different time steps.](image)
The Encoder-Decoder framework would be useful for sequence-to-sequence tasks such as machine translation, text summarisation and chatbots, where the input is a sequence of tokens and the output is another sequence.
### 2.6 Transformer
The Transformer was introduced by Vaswani et al. [45] and has been an important building block for numerous high-performing architectures and current state-of-the-art
language models. The main component of the Transformer is the attention mechanism, and whereas previous language models also incorporated this mechanism, it was implemented with recurrent and convolutional neural networks. The Transformer, however, removes the use of recurrence (present in recurrent neural networks) and convolutions (present in convolutional neural networks) altogether. The technical details of the attention mechanism is detailed below in Section 2.6.1, before the rest of the Transformer architecture is presented.
### 2.6.1 Attention Mechanism
Mechanisms which build on recurrent neural networks, such as long short-term memory [46] and gated recurrent [47] units have been shown to achieve impressive performance in numerous language modelling tasks, but their inherent sequential nature means that with a longer sequence of tokens, it becomes more difficult to retain the information about tokens appearing earlier in the sequence. This is called the long-range dependency problem [48, 49], and in order to mitigate this issue, attention mechanisms have been proposed [50, 51], allowing the model to focus on specific (including earlier) parts of the input sequence.
#### Global Attention Mechanism
The attention mechanism proposed by Bahdanau et al. [50] is reproduced below in Figure 2.6. They use a bidirectional recurrent neural network [52] for the encoder, which contains two recurrent neural networks with one reading the input sequence as it is ordered and the other in the reverse order. The final annotation is then the concatenation of the forward and backward hidden states. For example, the annotation $h_3$ would consist of a forward hidden state $\overrightarrow{h}_3$ calculated from the input tokens $\{x_1, x_2, x_3\}$ and a backward hidden state $\overleftarrow{h}_3$ calculated from the input tokens $\{x_T, \ldots, x_3\}$, giving a final annotation $h_3 = \begin{bmatrix} \overrightarrow{h}_3^\top & \overleftarrow{h}_3^\top \end{bmatrix}^\top$. This enables the network to have access to information about both the future and past contexts for a given token, with a particular focus on the token at the same index (in this example, $x_3$). The attention mechanism then allows the decoder to search the input sequence through these annotations [50]. One key difference between this mechanism and the existing approach to the Encoder-Decoder model is that the conditional probability for the output token $y_i$ is no longer dependent on the summary vector $c$ for the entire input sequence, but on the context vector $c_i$ computed specifically for the target token $y_i$ [50]. Therefore, as opposed to Equation 2.12, the conditional probability is now defined as follows:
$$p(y_i | y_{i-1}, y_{i-2}, \ldots, y_1, x) = g(s_i, y_{i-1}, c_i)$$ \hspace{1cm} (2.15)
where \( x = \{x_1, \ldots, x_T\} \), and \( s_i \), as above, is the decoder hidden state for time \( i \), which is now calculated as follows:
\[
s_i = f(s_{i-1}, y_{i-1}, c_i)
\]
(2.16)
The context vector \( c_i \) is itself calculated from a weighted sum of a sequence of annotations \( \{h_1, \ldots, h_T\} \) generated by the encoder from the input sequence, with each annotation \( h_i \) containing information about the entire input sequence with a particular focus near the token at position \( i \) [50]:
\[
c_i = \sum_{j=1}^{T} \alpha_{ij} h_j
\]
(2.17)
where \( \alpha_{ij} \) for each annotation \( h_j \) is calculated as
\[
\alpha_{ij} = \frac{\exp(e_{ij})}{\sum_{k=1}^{T} \exp(e_{ik})}
\]
(2.18)
and where
\[
e_{ij} = a(s_{i-1}, h_j)
\]
(2.19)
is the alignment model representing how well the output at position \( i \) and the inputs around position \( j \) match [50].
Intuitively, taking the weighted sum of all the annotations can be seen as calculating the expected annotation, and the probability \( \alpha_{ij} \) or its associated energy \( e_{ij} \) can be understood as deciding which parts of input sequence are the most important in determining the next hidden state \( s_i \) and generating the next token \( y_i \), thereby implementing the core functionalities of the attention mechanism. Instead of having one vector with all the information about the input sequence encoded in that vector, the information is spread out across the annotations \( \{h_1, \ldots, h_T\} \) and the decoder is able to select the relevant parts of the input sequence as necessary [50].
2.6. TRANSFORMER
Local Attention Mechanism
The work of Bahdanau et al. is typically categorised as a global attention mechanism. Luong et al. [51] build on this work and also propose a local attention mechanism, which considers only a subset of the input tokens, making it computationally less expensive and more practical for longer sequences such as paragraphs or documents.
More formally, the model first generates an aligned position $p_i$ for an output token at time $i$. The context vector $c_i$ is then computed as a weighted average over the source hidden states within the window $[p_i - D, p_i + D]$, where $D$ is empirically selected [51].
The position $p_i$ can either be assumed to equal $i$, in which case $\alpha_{ij}$ is defined as in Equation 2.18 (with the exception that $e_{ij} = a(s_i, h_j)$ as opposed to in Equation 2.19), or be predicted as follows [51]:
$$p_i = T \cdot S(v_p^\top \tanh(W_p s_i))$$ \hspace{1cm} (2.20)
where $W_p$ and $v_p$ are the learnable model parameters, $T$ is the source sequence length as above, $s_i$ is the decoder hidden state for time $i$ as above, and $S$ is the sigmoid function as defined in Equation 2.6. Finally, a Gaussian distribution is placed, centred around $p_i$, in order to favour alignment points near $p_i$, yielding the final alignment weight equation as follows:
$$\alpha_{ij} = \frac{\exp(e_{ij})}{\sum_{k=1}^{T} \exp(e_{ik})} \times \exp \left( -\frac{(j - p_i)^2}{2\sigma^2} \right)$$ \hspace{1cm} (2.21)
where, again, $e_{ij} = a(s_i, h_j)$, and the standard deviation $\sigma = \frac{D}{2}$. It is worth noting that $p_i$ is a real number, and that $j$ is an integer within the window with $p_i$ as its centre.
Finally, three alignment models (the function $a$ used to calculate $e_{ij}$) are considered by Luong et al. [51] which, for a given decoder hidden state $s_i$ and encoder hidden state $h_j$, are given as follows:
$$a(s_i, h_j) = \begin{cases}
s_i^\top h_j & \text{dot} \\
s_i^\top W_a h_j & \text{general} \\
W_a[s_i; h_j] & \text{concat}
\end{cases}$$ \hspace{1cm} (2.22)
where $W_a$ contains the learnable model parameters. Bahdanau et al. [50] only consider the $concat$ alignment model.
Self-Attention Mechanism
The Transformer uses another type of attention mechanism, namely self-attention. As the name suggests, the attention mapping is no longer between the current output
hidden state and the input hidden states, but within the inputs themselves. The Transformer achieves this by generating a query and a set of key-value pairs, where the query, keys and values are all vectors. An output is then computed, which is a weighted sum of the values, with the weights determined by a compatibility function between the query and the corresponding key [45]. The following equation is used for this calculation:
\[
\text{Attention}(Q, K, V) = \sigma(\frac{Q \cdot K^\top}{\sqrt{d_k}})V
\]
(2.23)
where \( Q, K \) and \( V \) are the query, key and value matrices respectively, containing multiple vectors for simultaneous calculation, \( \sigma \) is the softmax function as defined in Equation 2.8, and \( d_k \) is the dimension of the keys [45]. Performing the dot product between the query and key vectors means that the vectors which align well will have high values, whereas those which do not will have values close to zero. The softmax function then allows the keys which align well to be indexed, and places a large weight for those corresponding values. This is called the Scaled Dot-Product Attention mechanism, and is displayed in Figure 2.7.
**Figure 2.7:** A diagrammatic representation of the Scaled Dot-Product Attention mechanism is shown on the left. This mechanism is extended to the Multi-Head Attention mechanism, as shown on the right [45].
An extension to the Scaled Dot-Product Attention mechanism, called the Multi-Head Attention mechanism, is then employed in the Transformer architecture. It is defined as follows:
\[
\text{MultiHead}(Q, K, V) = \text{Concat}(\text{head}_1, \ldots, \text{head}_h)W^O
\]
(2.24)
where
\[
\text{head}_i = \text{Attention}(QW^Q_i, KW^K_i, VW^V_i)
\]
(2.25)
and \( W^Q_i \in \mathbb{R}^{d_{model} \times d_k}, W^K_i \in \mathbb{R}^{d_{model} \times d_k}, W^V_i \in \mathbb{R}^{d_{model} \times d_v} \) and \( W^O \in \mathbb{R}^{hd_v \times d_{model}} \). In the work of Vaswani et al. [45], \( h = 8 \) and \( d_k = d_v = d_{model}/h = 64 \). The reasoning
behind the concatenation of the Scaled Dot-Product Attention mechanisms is to allow the model to attend to different representation subspaces at different positions in a parallel fashion [45].
### 2.6.2 Architecture
The rest of the Transformer network architecture is shown in Figure 2.8. As mentioned above, the Transformer removes the need for recurrence and convolutions, and is based solely on attention mechanisms. This means that the input sequence can be fed into the model at the same time, and allows for significantly more parallelisation and therefore easier and faster training. Further, the number of computation steps is also reduced, minimising the loss of information which may otherwise occur with longer path lengths [45].
The other main components of the architecture are the Positional Encoding, the Encoder and the Decoder.
Positional Encoding
After the input and output sequences are embedded into vectors of dimension $d_{model} = 512$, the architecture needs to encode information about the positions of the tokens in the input and output sequences (since there is no recurrence and no convolutions to provide this information), and the following sine and cosine functions are used:
$$PE_{(pos,2i)} = \sin(pos/10000^{2i/d_{model}})$$ \hspace{1cm} (2.26)
$$PE_{(pos,2i+1)} = \cos(pos/10000^{2i/d_{model}})$$ \hspace{1cm} (2.27)
where $pos$ is the position and $i$ is the dimension. Such a sinusoidal approach may also allow for extrapolation for sequences with lengths longer than those encountered during training [45].
Encoder
The encoder is a stack of $N = 6$ layers, each containing a Multi-Head Self-Attention mechanism and a simple, position-wise fully connected feed-forward network. The keys, values and queries are all generated from the output of the previous layer in the encoder, allowing each position in the encoder to attend to all positions in the previous layer of the encoder [45].
Decoder
The decoder is also a stack of $N = 6$ layers. Each layer contains a Masked Multi-Head Self-Attention mechanism, the Encoder-Decoder Multi-Head Attention mechanism, and the feed-forward network as in the encoder. The self-attention mechanism in the decoder is similar to the one in the encoder, but for each position, subsequent positions are masked so that attention cannot be performed on those positions. In addition, the output embedding is offset by one position, allowing predictions for position $i$ to depend only on the known outputs at positions less than $i$ [45].
Finally, the Encoder-Decoder attention mechanism takes in queries generated from the previous decoder layer, and the memory keys and values from the output of the encoder, allowing an attention mapping for each position in the decoder to all positions in the input sequence [45]. This attention mechanism is similar to that of Bahdanau et al. [50] presented above.
2.7 GPT and GPT-2
The GPT (Generative Pre-trained Transformer) [36] and GPT-2 [37] language models developed by OpenAI make use of the Transformer network architecture [45] introduced in Section 2.6. They are commonly used for language generation, and the latter has been shown to achieve state-of-the-art performance in numerous tasks [37].\footnote{At the time of writing, the third generation GPT language model, GPT-3, had already been announced, but its use was restricted to a public API which was only accessible by invitation, with no source code released.} The GPT-2 model is used exclusively for the project’s training and experimentation which are detailed in Chapters 4 and 5, and this section outlines its underlying architecture.
2.7.1 Training Approach
The motivation behind the original GPT language model was to train a generalised model which would perform well in numerous language processing tasks. This would be preferable to training different models for each particular task, since labelled data is often scarce, and annotating and developing a high-quality data set can be difficult, time-consuming and expensive. The approach taken by Radford et al. is therefore to combine unsupervised and supervised learning, by first performing generative pre-training with unlabelled text corpora, followed by discriminative fine-tuning for a specific task. This would allow the model to generalise well to numerous language processing tasks without having to modify substantially the underlying architecture of the language model, while also achieving a significant performance boost in tasks for which there is considerable data available [36].
2.7.2 Architecture
As opposed to Dai and Le [53] and Howard and Ruder [54] who use LSTM [46] models for pre-training, Radford et al. [36] use the Transformer architecture [45] which overcomes the problem of LSTM models restricting their prediction ability to only a short range.
The unsupervised pre-training stage makes use of a standard language modelling objective to maximise the following likelihood function:
$$L(U) = \sum_i \log P(u_i | u_{i-k}, \ldots, u_{i-1}; \Theta)$$ \hspace{1cm} (2.28)
where $U = \{u_1, \ldots, u_n\}$ and represents an unsupervised corpus of tokens, $k$ is the size of the context window, and $\Theta$ represents the parameters of the neural network with which the conditional probability $P$ is modelled [36].
In addition, a variant of the Transformer architecture [45] is used, namely the multi-layer Transformer decoder [55]. Given the input context tokens, a multi-headed self-attention operation is applied over them, and the resulting states are passed through position-wise feed-forward layers, resulting in a distribution of output target tokens:
\begin{align}
h_0 &= UW_e + W_p \\
h_i &= \text{TransformerBlock}(h_{i-1}) \quad \forall i \in [1, n] \\
P(u) &= \sigma(h_nW_e^\top)
\end{align}
where $U = (u_{-k}, \ldots, u_{-1})$, representing the context vector of tokens, $n$ is the number of layers, $W_e$ is the token embedding matrix, $W_p$ is the position embedding matrix, and $\sigma$ is the softmax function as defined in Equation 2.8.
The model can then be fine-tuned in a supervised manner, the details of which will be explained in Section 4.4.
Figure 2.9 shows the 12-layer decoder-only Transformer architecture with masked self-attention heads used in the GPT language model. It also uses a learned position embedding technique instead of the sinusoidal versions as defined above in Section 2.6.2. The architecture of the GPT-2 model is similar, but whereas GPT was pre-trained on the BooksCorpus data set [56], a large corpus of over 7,000 unpublished fiction books, GPT-2 used WebText for pre-training, which contains around 8 million documents from online sources amounting to around 40GB of text [37].
Chapter 3
Related Work
Research concerning bias has mostly been centred around tackling linguistic manifestations of bias, such as framing and epistemological bias [3, 4, 57, 58, 59], and mitigating bias in language models [60, 61, 62]. However, to the best of our knowledge, the area of social or demographic biases in the form of stereotypes and generalisations is left relatively unexplored. In this chapter, we discuss literature relevant to this project, and provide critical evaluation of the existing approaches.
3.1 Gender Stereotypes
Most research concerning stereotypes has focused primarily on the domain of gender. Cryan et al. [17] explore the task of gender bias detection using lexical and supervised approaches, and analyse the performance difference between them. The former makes use of verbs and adjectives which are commonly associated with gender stereotypes [63], from which a gender score for an article in question is derived. The latter involves training the BERT [64] model for classification with crowdsourced articles and labels. This model is then used to detect gender bias in job advertisements, and is shown to outperform the lexicon-based models by a significant margin, including two state-of-the-art models currently used in industry.
Hitti et al. [18] outline four main types of gender bias, with a focus on gender generalisation. This occurs when a gender-neutral term, such as *programmer*, is syntactically referred to by a gender-exclusive pronoun, such as *his* or *him*, thereby making an assumption of gender. They create a data set by performing various syntactic analyses, which could then be used for automatic gender bias classification, as well as for analysing the impact of neutralised data sets on different models. Our work is more in line with another of the four main types of gender bias, namely behavioural stereotype, which contains attributes and traits assuming the behaviour of a person from their
gender. An example would be *Mary must love dolls because all girls like playing with them*. We transfer this type of bias to other domains such as race, religion, sexuality and culture, in addition to gender.
Voigt et al. [19] release a data set which aims to capture the different responses to gender in language. Initial experiments show that responses to women are commonly more emotive and concern the speaker as an individual, with little to no reference to the actual content being discussed, replicating results found in other literature [65, 66]. This data set is then used by Field and Tsvetkov [21], who devise an unsupervised approach to implicit gender bias detection at a comment level (in response to a particular post), identifying content which occurs because of the gender of the original poster rather than other factors. The main motivation behind their unsupervised approach is that human annotations and judgments concerning bias are unreliable and subjective; however, this also makes evaluation difficult (as also noted by Field and Tsvetkov), and we therefore decide not to explore this approach.
### 3.2 Bias Framework
Dinan et al. [20] propose a framework which aims to formalise gender bias, defining conditions necessary for a statement to contain bias, and taking into consideration the identities of the author/speaker, the audience, and the individual/group referenced. The work by Sap et al. [22] is similar in scope, but a crucial difference is that their framework definitions can be applied to any social or demographic group. They model how implicit social biases and stereotypes are projected, and identify details such as the targeted demographic, the implied statement, and whether the person who projected the biased statement is themselves a member of the targeted social group or not. They then perform social bias detection and implication generation tasks using their framework and OpenAI’s GPT and GPT2 [36, 37] language models, and while they are able to perform the classification tasks well, it seems that there is still room for improvement with respect to explaining why a particular statement is biased.
We therefore decide to contribute to this relatively nascent field of research. We believe that existing work on gender bias, while important in its own right, is too limited in scope. The work of Sap et al. [22] aligns closely to our aims, but presents performance limitations. Further, although numerous frameworks to capture common-sense knowledge have been proposed [67, 68, 69], no existing work, to the best of our knowledge, attempts to encode this information when reasoning about implied stereotypes. We hope that our experiments demonstrate the clear research merits of this approach, and encourage further work in this exciting and promising area of research.
Chapter 4
Model Specialisation
4.1 Motivation
Although the models trained by Sap et al. [22] perform well and cover a wide range of targeted groups and implied statements, they fall short on a few aspects. Firstly, they train models to perform numerous tasks for each input post, which inevitably reduces model performance and, crucially, results in the model generating outputs which are incoherent with their framework definition. Secondly, they only consider generating binary labels, which can be insufficient for the challenging task of social bias detection, where posts are often subtle in nature and the answers are not always clear-cut. Finally, the tasks of classifying in-group language and generating the implied stereotype have performance issues, with some models failing to generate the positive class for the former, and some generated stereotypes being too generic and irrelevant for the latter task.
We address the first two of these model limitations in this chapter; the remaining issue is addressed in Chapter 5. We first hypothesise that the current state-of-the-art results can be improved by allowing models to specialise in one task. Intuitively, with each model being trained on only one set of target labels, its performance will be optimised for that one particular task, such as classifying whether a post is offensive, intends to be offensive, or contains lewd or sexual content. Performance improvement is desirable even at the possible cost of total model size (since there will be seven distinct models for each of the classification and generation tasks as outlined in Section 4.2), as reducing false positives is important both for increasing confidence in the overall model, and for downstream applications and deployment methods such as bias detection and removal (the associated ethical concerns are discussed further in Chapter 6). Further, this modular approach removes the problem of predicting labels which are incoherent with Social Bias Frames [22] introduced in Section 4.2, as models which are dependent on the outputs of other models can be programmatically called to perform classification.
and generation tasks only if necessary. Finally, we argue for the need for multiclass instead of binary classification tasks, since the challenge and subtlety of the tasks call for a more nuanced and varied set of possible labels. This would in turn, again, result in increased model confidence.
Before these two main contributions are presented, Sections 4.2 and 4.3 briefly outline Social Bias Frames as defined by Sap et al. [22] and their annotations for the Social Bias Inference Corpus, respectively. The training procedures taken to obtain the experimentation results are then discussed and the model performances are analysed in depth.
### 4.2 Social Bias Frames Definition
As mentioned above in Section 3.2, the work by Sap et al. [22] defines one of the frameworks with which stereotypes and social biases can be formalised. The main components of this formalism are defined as follows (with the possible values for the categorical variables in brackets), and the reader is referred to the original paper by Sap et al. [22] for the justifications behind these variables:
- **Lewdness**: does the post contain lewd or sexual content? (*yes, maybe, no*)
- **Intent to offend**: did the author of the post aim to offend a particular individual or group? (*yes, probably, probably not, no*)
- **Offensiveness**: is the post rude, disrespectful or toxic, regardless of the author’s intention? (*yes, maybe, no*) If the post is offensive, then
- **Group implications**: is the post targeting a particular group or demographic, as opposed to an individual? (*yes, no*) If the post is targeting a group, then
* **Targeted group**: which social or demographic group is the post targeting? (*free-text answers* are collected, with a seed list of demographic or social groups provided)
* **Implied statement**: what is the stereotype being implied by the post? (*free-text answers* are collected for this variable)
* **In-group language**: is the author of the post a member of the same social or demographic group as the one being targeted? (*yes, maybe, no*)
4.3 Social Bias Inference Corpus
We use the data set annotated by Sap et al. [22], namely the Social Bias Inference Corpus (SBIC) [70], for training and evaluation. The data set was annotated with respect to the structure of Social Bias Frames, and it contains both overt cases of stereotypical posts, as well as more subtly biased statements in the form of microaggressions. The corpus by Breitfeller et al. [71] contains the latter, and the former are posts taken from tweets released by Founta et al. [9], Davidson et al. [10], and Waseem and Hovy [8] which contain instances of toxic or abusive language, and from hate communities known to engage in white-supremacist, neo-Nazi and violently misogynistic ideologies, namely Stormfront [72], Gab [73] and banned subreddits r/Incels and r/MensRights. The full breakdown of the number of posts from each category is presented in Table 4.1.
| type | source | # posts |
|------------|-------------------------------|---------|
| Reddit | r/DarkJokes | 10,095 |
| | r/MeanJokes | 3,483 |
| | r/OffensiveJokes | 356 |
| | Breitfeller et al. [71] | 2,011 |
| | **subtotal** | 15,945 |
| Twitter | Founta et al. [9] | 11,864 |
| | Davidson et al. [10] | 3,008 |
| | Waseem and Hovy [8] | 1,816 |
| | **subtotal** | 16,688 |
| Hate Sites | Stormfront | 3,715 |
| | Gab | 4,016 |
| | Banned Subreddits | 4,308 |
| | **subtotal** | 12,039 |
| SBIC | **total # posts** | 44,671 |
Table 4.1: Breakdown of the Social Bias Inference Corpus data set [22].
After data annotation, the corpus contains around 150K structured inference tuples, and covers around 34K free-text group-implication pairs and around 1K demographic groups. The most prevalent stereotypes are those which reference gender, race and culture, and this has been shown to parallel the types of discrimination occurring in the real world [74].
An important point to note is that since some variables are dependent on the outputs of others (for example, determining whether a post is targeting a group or an individual relies on the post being offensive, following the Social Bias Frames definition
in Section 4.2), they are only annotated if necessary. Therefore, when training the different task-specific models, data points which are not annotated are removed from the training, development and test data sets.
### 4.4 Training
Sap et al. [22] define their inference task as a conditional language generation task, where given a post, the models generate the label tokens either by greedy decoding (where the most probable tokens are generated every time) or by sampling from a distribution of possible next words. In contrast, for the categorical variables, we train our models to perform classification tasks which means that we only need to consider predicting the label with the highest probability. For the *targeted group* and *implied statement* generation tasks, we explore beam search and top-$k$ sampling methods which are described in more detail in Section 4.4.2.
In order to ensure that the results are not affected by the network architecture, we use OpenAI’s GPT-2 language model [37] following Sap et al. [22], which has also yielded successful results in classification, common-sense generation and conditional generation tasks [69, 75]. We also follow their use of the smallest GPT-2 model, which contains 124 million parameters [76].
#### 4.4.1 Classification
**Data Preprocessing**
For binary classification tasks, we assign the label 1 to *yes*, *probably* and *maybe* values, and 0 to *probably not* and *no* values as necessary. For multiclass classification tasks, we assign the labels in ascending order such that, for example, the label 0 is assigned to *no*, 1 to *probably not*, 2 to *probably* and 3 to *yes*.
As explained in Section 4.3, posts which do not have the relevant annotations are removed from the training, development and test data sets. The remaining posts are then tokenised, padded with the \texttt{[PAD]} token in order to train the model with batches, and truncated to fit the maximum model input length if necessary. The training data set is then shuffled.
Model Architecture
We modify the models to have the GPT2ForSequenceClassification linear layer head [77]; Sap et al. [22] instead make use of the GPT2LMHeadModel language modelling head [78]. At each training step, we feed a batch of encoded posts as input, and obtain both the associated logits, to which the softmax function as defined in Equation 2.8 is applied in order to predict the label with the highest probability, and loss, with which the model weights are updated.
More specifically, for each instance in the training data set, a sequence of input tokens, $x^1, \ldots, x^m$ where $m$ is the number of tokens, is fed into the pre-trained model and the final Transformer block’s activation $\mathbf{h}_i^m$ (with $\mathbf{h}_i$ as defined in Equation 2.30) is obtained. This is then passed through the model’s linear output layer with parameters $\mathbf{W}_y$, and the output label $y$ is predicted after being converted into a probability distribution by the softmax function $\sigma$:
$$P(y|x^1, \ldots, x^m) = \sigma(\mathbf{h}_i^m \mathbf{W}_y)$$ \hspace{1cm} (4.1)
resulting in the following objective function to maximise:
$$L(\mathcal{C}) = \sum_{(x,y)} \log P(y|x^1, \ldots, x^m)$$ \hspace{1cm} (4.2)
where $\mathcal{C}$ represents the labelled training data set.
Additionally, the model does not pay attention to the [PAD] tokens, and for multi-class classification tasks, the model is reconfigured to output three or four labels as necessary.
Other Training Details
We train five different models for the five categorical variables, namely offensive, intent, level, group and in-group. All experiments are performed using the Hugging Face Transformers library [79]. Based on the performance on the development data set, we train the final models with a batch size of 4 and use the Adam optimiser [80] with a learning rate of $1 \times 10^{-5}$. The models are trained for up to 5 epochs, and are evaluated after each epoch. The evaluation statistics for the best-performing models are reported in Table 4.4. The results obtained by Sap et al. [22] are also presented in Table 4.4 for comparison.
4.4.2 Generation
Data Preprocessing
The data preprocessing procedures for the targeted group and implied statement generation tasks are slightly different. First, the posts and labels in the training data set are concatenated as follows:
\[ x = \{ p_1, \ldots, p_m, [\text{SEP}], l_1, \ldots, l_n, [\text{EOS}] \} \]
(4.3)
where \( p_{1:m} \) is the sequence of tokens for a given post, \( l_{1:n} \) is the sequence of tokens for the corresponding label, and the \([\text{SEP}]\) and \([\text{EOS}]\) tokens are used to separate and end the model input respectively. The concatenated data points are then tokenised and truncated. The resulting encoded posts are then shuffled.
The training, development and test data sets all contain a few labels for each input post, and for the development and test sets, the labels which belong to the same post are grouped together to form a set of reference labels. The training data set is not grouped, and therefore contains numerous data points with the same post.
Model Architecture
The GPT2LMHeadModel language modelling head [78] is used for the two generation tasks. At each training step, we pass through the input sequence as defined in Equation 4.3, and the loss is calculated and used to update the model weights. However, when the model is evaluated after each training epoch, only the encoded post and \([\text{SEP}]\) token are passed in as input. We explore beam search and top-\( k \) sampling decoding methods for each task.
Instead of selecting the most probable next token, beam search allows the model to look for a sequence of tokens with the overall highest probability. This would mean that even if the very next token to be generated has a relatively low probability, a token further down the sequence with a very high probability will result in this sequence being generated. The length of the sequence is determined by the num_beams parameter, and this is set to 3. We also prevent the model from generating repeated sequences by setting the no_repeat_ngram_size parameter to 2 [81, 82].
For top-\( k \) sampling [83], the \( k \) most likely tokens are isolated and the probability mass is redistributed among them. This results in a sequence of tokens which is unpredictable, but also coherent. We set \( k = 3 \) and, as above, set the no_repeat_ngram_size parameter to 2.
For both decoding methods, we configure the model to generate a maximum of 10 tokens for the targeted group task and a maximum of 50 tokens for the implied statement
task. In order to prevent the model from generating candidate sentences which are too short, we set the `length_penalty` to 2.5. Further, we set `early_stopping` to True and set the `repetition_penalty` to 2.5 [75].
**Other Training Details**
We generate three candidate sentences for each post. The models are evaluated after each training epoch, and we base our evaluation on the highest performance metrics for each post. We train the final models for up to 5 epochs with a batch size of 1, and use the Adam optimiser [80] with a learning rate of $1 \times 10^{-5}$. The results for the best-performing models are reported in Table 4.6.
### 4.5 Results and Evaluation
#### 4.5.1 Classification
The results in Table 4.4 confirm our hypothesis that state-of-the-art performance can be achieved by allowing each model to specialise in a particular classification task. Our models were able to improve upon the results obtained by Sap et al. [22] in four out of the five classification tasks, and often by a large margin. The *lewd*, *group* and *in-group* categories are worth discussing in more detail.
Our model performed less well on classifying whether a post contains lewd or sexual content, and this is likely due to the training data set being heavily skewed towards the negative class, as shown in Table 4.2. This is also evidenced by the model predicting the negative class for the majority of the posts, resulting in a large number of true negatives and a high accuracy score. A more detailed breakdown of results is shown in Table 4.3. As for the models trained by Sap et al. [22], the impressive performance despite the data set skew may be explained by the models having access to the class labels of some of the other variables. As the input variables were linearised and passed through at the same time when the models were trained [22], they may have made predictions based on the post as well as the *offensive* and *intent* labels which they would have generated first before generating the *lewd* label.
| data set | lewd | in-group |
|----------|-------|----------|
| no | 102,578 | 38,471 |
| maybe | 810 | 2,873 |
| yes | 9,512 | 1,021 |
| dev. | lewd | in-group |
|----------|-------|----------|
| no | 15,317 | 7,541 |
| maybe | 113 | 438 |
| yes | 1,308 | 165 |
| test | lewd | in-group |
|----------|-------|----------|
| no | 15,873 | 8,492 |
| maybe | 151 | 551 |
| yes | 1,477 | 131 |
**Table 4.2:** Breakdown of the number of data points for the *lewd* and *in-group* variables. The *offensive*, *intent* and *group* variables are generally balanced for the binary classification tasks.
| metric | lewd | in-group |
|-----------------|-------|----------|
| true positive | 1,069 | 167 |
| true negative | 14,719| 7,297 |
| dev. false positive | 598 | 244 |
| false negative | 352 | 436 |
| accuracy | 94.3% | 91.7% |
| metric | lewd | in-group |
|-----------------|-------|----------|
| true positive | 1,108 | 153 |
| true negative | 15,409| 8,428 |
| test false positive | 464 | 64 |
| false negative | 520 | 529 |
| accuracy | 94.4% | 93.5% |
**Table 4.3:** Breakdown of the results obtained for the *lewd* and *in-group* variables. The training epochs for these results are the same as those in Table 4.4 for each model.
Our model for the *group* classification task has the best performance overall, surpassing the other models performing the same task by more than 20% in $F_1$ score. The models trained by Sap et al. [22] may have struggled with applying the framework definition when generating the labels, since this variable is dependent on the post being classified as offensive.
Finally, our *in-group* model has the least convincing results. The data set is, again, highly skewed (as shown in Table 4.2) with very few positive instances. Future work could explore whether the model can be fine-tuned on a balanced data set to achieve more commendable results, and whether it has the capacity to pick up on subtle cues for this naturally difficult task (as evidenced by the large number of *maybe* labels annotated in the data sets).
| model | offensive | intent | lewd |
|----------------|-----------|--------|------|
| | $F_1$ | pr. | rec. | $F_1$ | pr. | rec. | $F_1$ | pr. | rec. |
| SBF-GPT$_1$-gdy | 75.2 | 88.3 | 65.5 | 74.4 | 89.8 | 63.6 | 75.2 | 78.2 | 72.5 |
| SBF-GPT$_2$-gdy | 77.2 | 88.3 | 68.6 | 76.3 | 89.5 | 66.5 | 77.6 | 81.2 | 74.3 |
| SBF-GPT$_2$-smp | 80.5 | 84.3 | 76.9 | 75.3 | 89.9 | 64.7 | **78.6** | 80.6 | 76.6 |
| GPT$_2$-off-2 | **89.0** | 84.5 | 93.9 | – | – | – | – | – | – |
| GPT$_2$-int-1 | – | – | – | **86.7** | 83.3 | 90.4 | – | – | – |
| GPT$_2$-lew-1 | – | – | – | – | – | – | 69.2 | 64.1 | 75.2 |
| SBF-GPT$_2$-gdy | 78.8 | 89.8 | 70.2 | 78.6 | 90.8 | 69.2 | **80.7** | 84.5 | 77.3 |
| GPT$_2$-off-5 | **90.0** | 88.5 | 91.6 | – | – | – | – | – | – |
| GPT$_2$-int-2 | – | – | – | **88.0** | 86.4 | 89.7 | – | – | – |
| GPT$_2$-lew-2 | – | – | – | – | – | – | 69.3 | 70.5 | 68.1 |
| model | group | in-group |
|----------------|-------|----------|
| | $F_1$ | pr. | rec. | $F_1$ | pr. | rec. |
| SBF-GPT$_1$-gdy | 62.3 | 74.6 | 53.4 | – | – | – |
| SBF-GPT$_2$-gdy | 66.9 | 67.9 | 65.8 | 24.0 | 85.7| 14.0 |
| SBF-GPT$_2$-smp | 66.0 | 67.6 | 64.5 | – | – | – |
| GPT$_2$-grp-1 | **91.2** | 88.0 | 94.7 | – | – | – |
| GPT$_2$-ing-3 | – | – | – | **32.9** | 40.6 | 27.7 |
| SBF-GPT$_2$-gdy | 69.9 | 70.5 | 69.4 | – | – | – |
| GPT$_2$-grp-1 | **92.5** | 91.5 | 93.4 | – | – | – |
| GPT$_2$-ing-1 | – | – | – | **34.0** | 70.5 | 22.4 |
Table 4.4: Experimental results (%) on the various binary classification tasks. The results obtained by Sap et al. [22] have model names starting with SBF- (-gdy models greedily select the most probable label, whereas -smp models sample from the next word distribution and select the highest scoring label from ten candidate frame predictions). The SBF-GPT$_1$-gdy and SBF-GPT$_2$-smp models did not predict the positive class for the *in-group* variable. Our models, which have names starting with GPT$_2$-, each perform one classification task, and therefore their performance metrics on the other tasks are not reported. The number at the end of each GPT$_2$- model name denotes the training epoch with the highest performance metrics. The best-performing $F_1$ scores on the development and test data sets across all models are reported in bold.
We present our second contribution, namely training models to perform multiclass classification tasks, in Table 4.5. We face another problem of data set imbalance, as all models struggle with classes which are not \textit{yes} or \textit{no}; indeed, all four variables have relatively few data points with class labels which are not \textit{yes} or \textit{no}. For these two classes, however, the performance metrics are comparable to those obtained by Sap et al. [22] for their binary classification tasks. Due to the very few \textit{maybe}, \textit{probably} and \textit{probably not} class labels, significant upsampling of the minority classes or downsampling of the majority classes would be required, which may not be desirable. Other approaches would include emoji analysis [84] or lexical dialect detection [85], especially for improving model performance on the \textit{in-group} variable. Our initial work encourages future research in this challenging area.
\begin{table}[h]
\centering
\begin{tabular}{l|c c c|c c c|c c c}
\hline
class & \multicolumn{3}{c|}{offensive} & \multicolumn{3}{c|}{lewd} & \multicolumn{3}{c}{in-group} \\
& $F_1$ & pr. & rec. & $F_1$ & pr. & rec. & $F_1$ & pr. & rec. \\
\hline
\multirow{4}{*}{dev.} & no & 74.9 & 67.6 & 83.9 & 96.5 & 94.9 & 98.2 & 96.5 & 94.2 & 99.0 \\
& maybe & 4.7 & 15.3 & 2.8 & 0.0 & 0.0 & 0.0 & 1.8 & 40.0 & 0.9 \\
& yes & 81.4 & 83.1 & 79.8 & 54.0 & 67.4 & 45.1 & 43.4 & 38.9 & 49.1 \\
& macro-average & 53.7 & 55.3 & 55.5 & 50.2 & 54.1 & 47.8 & 47.2 & 57.7 & 49.7 \\
\hline
\multirow{4}{*}{test} & no & 73.6 & 68.4 & 79.8 & 96.0 & 95.3 & 96.8 & 95.5 & 94.0 & 97.1 \\
& maybe & 3.3 & 14.6 & 1.9 & 0.0 & – & 0.0 & 11.0 & 17.0 & 8.2 \\
& yes & 84.2 & 83.7 & 84.6 & 58.3 & 60.3 & 56.5 & 38.2 & 38.2 & 38.2 \\
& macro-average & 53.7 & 55.6 & 55.4 & 51.4 & – & 51.1 & 48.2 & 49.7 & 47.8 \\
\hline
\end{tabular}
\begin{tabular}{l|c c c}
\hline
class & \multicolumn{3}{c}{intent} \\
& $F_1$ & pr. & rec. \\
\hline
\multirow{4}{*}{dev.} & no & 71.0 & 64.6 & 78.7 \\
& \textit{probably not} & 7.0 & 17.0 & 4.4 \\
& \textit{probably} & 17.2 & 19.5 & 15.4 \\
& yes & 75.3 & 72.5 & 78.4 \\
& macro-average & 42.6 & 43.4 & 44.2 \\
\hline
\multirow{4}{*}{test} & no & 68.1 & 61.0 & 77.2 \\
& \textit{probably not} & 1.8 & 34.8 & 0.9 \\
& \textit{probably} & 18.4 & 22.0 & 15.8 \\
& yes & 77.0 & 72.6 & 81.9 \\
& macro-average & 41.3 & 47.6 & 44.0 \\
\hline
\end{tabular}
\caption{Experimental results (\%) on the various multiclass classification tasks. The \textit{group} variable only has two classes, and is therefore not reported. The best-performing $F_1$ scores and their corresponding metrics are reported, with the macro-average $F_1$ scores on the development and test data sets in bold. For the \textit{lewd} variable, the \textit{maybe} class was never predicted when evaluated on the test data set for any epoch.}
\end{table}
4.5.2 Generation
For the targeted group and implied statement generation tasks, we evaluate the models on three metrics: BLEU-2 [86], ROUGE-L [87] and WMD [88].
The central idea behind the BLEU (bilingual evaluation understudy) metric is to compare $n$-grams (in the case of BLEU-2, bigrams) of the candidate sentences with those of the reference sentences, with the intuition that more matches will mean a greater similarity between the candidate and reference sentences. A higher score is assigned for more matches. Out of the three candidates generated by our models for each post in the development set, we select the sentence with the highest BLEU-2 score, and then calculate the final BLEU-2 score at the corpus level for the development and test sets with these highest-scoring sentences.
ROUGE-L is one of the variants of the ROUGE (recall-oriented understudy for gisting evaluation) metric, and takes into account the longest common subsequence between the candidate and reference sentences. More specifically, the longest sequence of words appearing in both the candidate and reference sentences is identified, with the intuition that if the common subsequence is longer, the two sentences are more similar to each other. An advantage of using the ROUGE-L metric over the BLEU score is that the sentence structure is naturally taken into account. We report the average $F_1$ scores for the ROUGE-L metric, based on candidate sentences with the best $F_1$ scores.
Finally, we evaluate our models on the WMD (word mover’s distance) metric which makes use of embedded words of candidate and reference sentences and measures the minimum distance between them. This method addresses the issue associated with simple lexical matching in BLEU and ROUGE-L, which would assign low scores for candidates which have similar meanings as the references, but which have little to no lexical overlap. The GloVe [32] word embedding as part of the spaCy en_core_web_md package [89] is used, and we report the average of the best-scoring candidate-reference sentence pairs for each of the two tasks on the development and test sets.
| model | targeted group | implied statement |
|----------------|----------------|-------------------|
| | BLEU | ROUGE | WMD | BLEU | ROUGE | WMD |
| SBF-GPT₁-gdy | 69.9 | 60.3 | 1.01 | 49.9 | 40.2 | 2.97 |
| SBF-GPT₂-gdy | 73.4 | 68.2 | 0.89 | 49.6 | 43.5 | 2.96 |
| SBF-GPT₂-smp | 83.2 | 33.7 | 0.62 | 44.3 | 17.8 | 3.31 |
| GPT₂-tgt-beam | 78.9 | 89.4 | 0.49 | – | – | – |
| GPT₂-tgt-topk | 70.8 | 83.7 | 0.91 | – | – | – |
| GPT₂-imp-beam | – | – | – | 56.5 | 55.4 | 2.89 |
| GPT₂-imp-topk | – | – | – | 49.0 | 52.2 | 3.23 |
| SBF-GPT₂-gdy | 77.9 | 68.7 | 0.74 | 52.6 | 44.9 | 2.79 |
| GPT₂-tgt-beam | 81.4 | 88.6 | 0.38 | – | – | – |
| GPT₂-tgt-topk | 73.7 | 85.3 | 0.79 | – | – | – |
| GPT₂-imp-beam | – | – | – | 60.0 | 57.7 | 2.68 |
| GPT₂-imp-topk | – | – | – | 52.0 | 53.6 | 2.99 |
Table 4.6: Automatic evaluation metrics for the *targeted group* and *implied statement* generation tasks. Only the best-performing SBF- models are reported for comparison. The -beam models perform beam search for generation, whereas -topk refers to top-$k$ sampling. The best scores for each metric (higher scores represent better performance for BLEU and ROUGE metrics, and lower for WMD) on the development and test data sets are reported in bold.
The results for the generation tasks are presented in Table 4.6. Our models again outperform those trained by Sap et al. [22] in all but one evaluation metric and by a large margin, especially for the ROUGE-L scores. The -beam models consistently outperform the -topk models, and this is expected, since top-$k$ sampling encourages unpredictability, which may be beneficial in some tasks such as continuous writing or argument generation, but may not produce good results in a more classification-like setting, especially when evaluated with automatic metrics. Overall, the models for the *targeted group* generation task perform better than those for the *implied statement* task, and this is likely due to the fact that the output space for the latter task is larger, since the candidate and reference sentences are much longer and more varied.
It should, however, be noted that automatic evaluation metrics have their limitations. As Liu et al. [90] note, their reliance on word overlap between candidate and reference sentences is unsuitable for generation systems, where for a given context, there are numerous valid responses and a significant diversity in the generation space. Consequently, they only provide a small insight into a model’s performance, showing weak to no correlation with human judgments [90]. Therefore, we evaluate the models further by studying their predictions on a selection of posts from the development set, which are shown in Tables 4.7 and 4.8.
Our models, again, show promising results. For post (a), both models correctly identified the targeted group, whereas the SBF-GPT$_2$-gdy model [22] did not generate any candidates. As can be expected, generating the implied statement proved to be more challenging, with the SBF-GPT$_2$-gdy model [22] again failing to generate candidate sentences, and our GPT$_2$-imp models being inclined to generate generic stereotypes (\textit{women aren’t important}). They do, however, also generate stereotypes which are specific to the post (\textit{women don’t belong in movies} and \textit{women are not attractive to male moviegoers}) but this is less frequent. The SBF-GPT$_2$-gdy model [22] being unable to generate any candidates for post (a) may be due to it incorrectly classifying the post as not offensive or as targeting an individual rather than a group, further highlighting the need for model specialisation so that misclassification occurs less frequently and model performance for tasks further down the framework is affected to a lesser extent.
Post (b) proved to be more difficult, with all but one generated stereotypes defaulting to the less relevant and more generic stereotype that \textit{muslims are violent terrorists}. The closest candidate sentence was \textit{muslim folks control society}, generated by our GPT$_2$-imp-topk model, but it still fails to capture the exact stereotype implied by the post. This is likely due to the word \textit{terrorist} present in the post, and the numerous labels in the training data set which associate \textit{muslim folks} with \textit{terrorism}. This also explains the GPT$_2$-tgt-beam model generating \textit{terrorism victims} as one of the targeted groups, which is not correct. Indeed, this seems to be the main shortcoming of all the models: as shown in Table 4.8, the models are able to perform well when the posts are more explicit with the stereotypes they are trying to convey (posts (d) and (e)), but less well when the stereotypes are more subtle and the posts do not contain any lexical overlap with the reference sentences (post (c)).
This motivates our work presented in Chapter 5. Since there is room for improvement on the \textit{implied statement} task, we run further experiments and obtain more desirable results. Although the results for the \textit{in-group} classification task indicate that further improvements are also necessary in this domain, we leave this for future work.
| post (a) | All-female casts bother me but I have literally never noticed the hundreds of movies with 0 female characters I have already watched |
| --- | --- |
| SBF-GPT$_2$-gdy | – |
| GPT$_2$-tgt-beam | women / all females / all women |
| GPT$_2$-tgt-topk | women / women / women |
| references | women |
| implied statement |
| --- |
| SBF-GPT$_2$-gdy | – |
| GPT$_2$-imp-beam | women aren’t important / women don’t belong in movies / women aren’t important |
| GPT$_2$-imp-topk | women aren’t important / women are not important / women are not attractive to male moviegoers |
| references | women aren’t good actors / women can’t be in leading roles |
| post (b) | As expected, when the terrorist group Hamas won the election in Gaza it was the usual one man, one vote, one time, Islamist election. #Islam |
| --- | --- |
| SBF-GPT$_2$-gdy | muslim folks |
| GPT$_2$-tgt-beam | muslim folks / terrorism victims / islamics |
| GPT$_2$-tgt-topk | muslim folks / muslim folks / muslim folks |
| references | muslim folks / arabic folks |
| implied statement |
| --- |
| SBF-GPT$_2$-gdy | muslims are terrorists |
| GPT$_2$-imp-beam | muslims are terrorists / muslims are violent / muslim folks are terrorists |
| GPT$_2$-imp-topk | islamic people are violent / muslim folks control society / muslims are terrorists |
| references | muslims are authoritarians / islam promotes controlling governments / not fair / bad people |
**Table 4.7:** Examples of model predictions and reference sentences for *targeted group* and *implied statement* generation tasks. Our models, GPT$_2$-tgt/imp-beam/topk, generated three candidates after each training epoch, and we report either the most common set of candidates, or the set with the most fitting candidate(s) given the context of each post. In both cases, the three reported candidate sentences belong to the same epoch.
| post (c) | *Black guy in class: “*attempts to throw a paper ball into the trash*”*
*misses* “Mrs. Mundy: “You’re a disgrace to your race, Marcus”* |
| --- | --- |
| targeted group | black folks / white folks / black folks / black folks / black folks |
| SBF-GPT$_2$-gdy | black folks |
| GPT$_2$-tgt-beam | black people are trash |
| GPT$_2$-imp-beam | black people are worthless / black people are lazy / black people are inferior |
| GPT$_2$-imp-topk | black people are trash / black folks are inferior / black folks should be called names |
| references | are good at basketball / do not take things seriously / black men should be good at basketball / black men are defined by athletic skill |
| post (d) | *How can a Libtard speak truth to power when the only thing they vomit from their mouths is lies?* |
| --- | --- |
| targeted group | liberals |
| SBF-GPT$_2$-gdy | liberals |
| GPT$_2$-tgt-beam | liberals / conservatives / Libs |
| GPT$_2$-imp-beam | liberals are liars / liberals are stupid / liberals are incompetent |
| GPT$_2$-imp-topk | liberals are liars / liberals are liars / liberals are liars |
| references | liberals are incompetent / liberals only speak lies / liberals lie / liberals are stupid |
| post (e) | *I hate fat bitches* |
| --- | --- |
| targeted group | overweight/fat folks |
| SBF-GPT$_2$-gdy | overweight/fat folks |
| GPT$_2$-tgt-beam | overweight folks / fat folks / women |
| GPT$_2$-imp-beam | fat people are ugly / fat people are unattractive / fat folks are ugly |
| GPT$_2$-imp-topk | fat folks aren’t worthy of respect / fat people are undesirable / fat women are unattractive |
| references | fat folks are less than others / fat folks are all the same / not likable / are not pleasant people |
Table 4.8: Further examples of model predictions and reference sentences.
Chapter 5
The CO-STAR Framework
5.1 Motivation
As seen in Tables 4.7 and 4.8, our models trained on the Social Bias Inference Corpus [22] achieve state-of-the-art results in all but one of the classification and generation tasks. However, they are still limited in their ability to generate implied stereotypes which are specific and relevant to each post. Developing a more robust model which performs this task effectively would be beneficial to the end user if such a system were to be deployed publicly (the ethical considerations of which are outlined in more detail in Section 6.2), as it provides a higher level of transparency in an otherwise obscure model, as well as more accurate outputs which would help the user understand what stereotypes may have been (unintentionally) introduced in their posts. Further, it would have wider research implications not only in areas of bias and stereotypes, but also in other related fields such as machine common-sense reasoning.
To this end, we hypothesise that further improvements can be obtained by annotating the data set and training the model differently, in order to encode information about the core concept of the stereotype being implied by a post (in other words, what the post or stereotype is about). We introduce a novel framework with which we annotate our training data set, with the intuition that a more structured set of training instances may aid the model in processing and focusing on the most relevant input tokens. Another possible benefit, although unexplored in this project, is the model evaluation procedure, as structured generation may provide automatic evaluation scores which are more reliable and easier to interpret over those obtained from unstructured free-text generation.
We therefore present our third contribution in this chapter, namely our CO-STAR framework, and the results obtained by models trained with this framework in mind. The results show promising improvements from those outlined in Section 4.5.2, and
encourage further work in this highly challenging and multifaceted area of research.
5.2 CO-STAR
CO-STAR (COnceptualisation of STereotypes for Analysis and REasoning) is a novel framework which aims to capture the core concept of a post’s implied stereotype, as well as to formalise it in a structured manner. We hypothesise that the models will be able to generate more accurate outputs with the extra information available during training, making use of the connections learnt between the post and its associated concept. The main elements and justifications behind the framework definition are presented in Sections 5.2.1 and 5.2.2.
5.2.1 ConceptNet
In structuring the implied stereotype, we take inspiration from ConceptNet 5 [91] and more specifically, its relations. ConceptNet is a multilingual knowledge graph, mapping relationships between entities to represent common-sense knowledge, as well as between words to learn lexical information such as synonyms, antonyms and word senses. Naturally, the former is of more interest to our work, and we focus on these relations.
Relations are one of the key components of ConceptNet, and encode common and intuitive patterns between various entities [92]. For example, in the phrase car is a vehicle or Chicago is a city, the relation is a captures the fact that the former entities are specific instances of the latter. Other examples of relations include part of (as in gearshift is a part of a car), has a (as in a bird has a beak) and used for (as in a bridge is used for crossing water). We hypothesise that structuring the implied stereotype annotation around these relations allows for consistency which is necessary both for the models to learn the desired patterns in the training data set, as well as for evaluating the models using automatic metrics. We therefore structure the implied stereotypes in the following manner:
\[ \text{[TARGETED GROUP]} \quad \text{[RELATION]} \quad \text{[IMPLIED STATEMENT]} \]
(5.1)
where [TARGETED GROUP] is the social group or demographic targeted in the post, [RELATION] is one of the linking verbs inspired by the relations in ConceptNet 5, and [IMPLIED STATEMENT] completes the rest of the stereotype. For example, Korean folks have weird names would be correctly structured, with Korean folks being the [TARGETED GROUP], have being the [RELATION], and weird names being the [IMPLIED STATEMENT]; on the other hand, trivialises harm to victims would not be following the above structure.
We limit the [RELATION] component to a choice of eight, in order to cover as many semantic possibilities as possible, but also in an effort to restrict the output generation space for easier pattern recognition and generation. We also ensure that both verbal and adjectival phrases can be introduced for the [IMPLIED STATEMENT] while also making grammatical sense with at least one of the choices for the [RELATION]. This is crucial, since stereotypes often manifest in the behaviours of the targeted groups and the attributes associated with them \cite{63}. Two of the eight choices for the [RELATION], namely should and do, have not been derived from ConceptNet 5, but are nevertheless relevant in formulating stereotypes. The eight choices for the [RELATION] component are presented in Table 5.1, along with their ConceptNet counterparts where available:
| [RELATION] | ConceptNet |
|------------|----------------|
| are | /r/RelatedTo |
| have | /r/HasA |
| can | /r/CapableOf |
| cause | /r/Causes |
| prevent | /r/ObstructedBy|
| want | /r/Desires |
| should | – |
| do | – |
Table 5.1: Relations used as part of the annotation procedure, with their approximate ConceptNet 5 counterparts. The descriptions of the ConceptNet 5 relations and the full list are publicly available \cite{92}.
### 5.2.2 Stereotype Conceptualisation
As part of the training data set, we also include the core concept of what each post and its implied stereotype is about. This would provide extra information as to which parts of the post are more important, allowing the model to generate more context-specific stereotypes. We present the same posts as in Table 4.7 and 4.8 and example stereotype conceptualisations in Table 5.2.
We ensure that the conceptualisations are kept short, and limit the length to a maximum of three words. The reason for this is to allow the model to learn what the stereotype is about without having to focus on too many tokens. In addition, we require these to be worded differently to the [TARGETED GROUP] [RELATION] [IMPLIED STATEMENT] tuple when the posts in the training data set are annotated. This is to ensure that as much relevant information as possible is provided to the models during training.
| post | stereotype conceptualisation |
|----------------------------------------------------------------------|----------------------------------------|
| (a) All-female casts bother me but I have literally never noticed the hundreds of movies with 0 female characters I have already watched | actor gender preference |
| (b) As expected, when the terrorist group Hamas won the election in Gaza it was the usual one man, one vote, one time, Islamist election. #Islam | authoritarian government |
| (c) Black guy n class: *attempts to throw a paper ball into the trash* *misses* Mrs. Mundy: “You’re a disgrace to your race, Marcus” | athletic skill |
| (d) How can a Libtard speak truth to power when the only thing they vomit from their mouths is lies? | incompetent policymaking |
| (e) I hate fat bitches | physical appearance |
Table 5.2: Examples of stereotype conceptualisations.
## 5.3 Data Annotation
We annotate the training data set in accordance with the CO-STAR framework. In order to minimise the effects of the input posts themselves, we annotate the same posts as those with which we trained the models in Chapter 4. The data set contains a subset of the Social Bias Inference Corpus, including only posts which have been annotated by Sap et al. [22] to be offensive and targeting a group rather than an individual. Table 5.3 shows the number of posts in each data source.
We conduct data annotation on the Amazon Mechanical Turk platform [93]. For each post, annotators provide one stereotype implied by the post in the form of the [TARGETED GROUP] [RELATION] [IMPLIED STATEMENT] tuple, and the stereotype conceptualisation in three or fewer words and without simply repeating their answer for the implied stereotype. The [RELATION] field is provided as a drop-down list, and the others as free-text inputs. Some of the most common responses for the [TARGETED GROUP], [IMPLIED STATEMENT] and stereotype conceptualisation components of the framework are displayed in Table 5.4. Screenshots of the full annotation task are shown in the appendix, in Figures A.1, A.2 and A.3.
| type | source | # posts |
|------------|---------------------------------------------|---------|
| Reddit | r/DarkJokes | 5,176 |
| | r/MeanJokes | 1,732 |
| | r/OffensiveJokes | 195 |
| | Breitfeller et al. [71] | 657 |
| | **subtotal** | 7,760 |
| Twitter | Founta et al. [9] | 658 |
| | Davidson et al. [10] | 1,124 |
| | Waseem and Hovy [8] | 297 |
| | **subtotal** | 2,079 |
| Hate Sites | Stormfront | 785 |
| | Gab | 604 |
| | Banned Subreddits | 847 |
| | **subtotal** | 2,236 |
| CO-STAR | total | |
| | **# posts** | 12,075 |
Table 5.3: Breakdown of the newly annotated training data set.
| [TARGETED GROUP] | count |
|-----------------------|-------|
| women | 2,318 |
| black folks | 1,914 |
| jewish folks | 668 |
| muslim folks | 341 |
| children | 249 |
| men | 214 |
| gay folks | 175 |
| white folks | 169 |
| [IMPLIED STATEMENT] | count |
|-----------------------|-------|
| marginalized for a joke | 1,010 |
| sex objects | 150 |
| inferior | 140 |
| bitches | 106 |
| hoes | 90 |
| terrorists | 73 |
| stupid | 70 |
| criminals | 67 |
| stereotype conceptualisation | count |
|------------------------------|-------|
| racial hierarchy | 584 |
| name-calling | 515 |
| racism | 430 |
| sexism | 266 |
| gender hierarchy | 224 |
| paedophilia | 170 |
| terrorism | 160 |
| holocaust | 152 |
Table 5.4: Examples of common responses to the [TARGETED GROUP], [IMPLIED STATEMENT] and stereotype conceptualisation annotation tasks.
5.3.1 Quality Assurance
We implement various measures in order to ensure quality in the data annotation. Firstly, we restrict our annotator pool to those with approval rates of greater than 95%, in order to reduce the potential for spam or bot accounts from accepting the task. We also include a catchword in the instructions to encourage annotators to pay full attention to them, and manually accept or reject annotations which fail to pass our catchword filter based on the quality of the main annotation tasks. We also perform checks on the main contents of the survey, filtering annotations which are either too short (revealing annotations with *na* and *none* for the [TARGETED GROUP] and [IMPLIED STATEMENT] text fields) or too long (revealing annotations which simply repeated the given post or which failed to make any sense) and rejecting them as necessary. Finally, we check that the time taken to complete the whole survey is not too short, which would account for annotators who did not spend enough time to read and understand the instructions or those who did not make sure that their answers made sense and were specific and relevant to each post. The average time taken to complete the survey was 120 seconds.
We ensure that the instructions are presented clearly and provide numerous examples to cover as many cases as possible. We also include an optional feedback field and an email address for any questions, and all responses are checked manually and the survey adjusted to reflect any comments or concerns if necessary.
5.3.2 Annotator Demographics
We restrict our annotator pool to the U.S. and U.K., and count the total number of unique annotators for the full training data set after clean-up to be 754, averaging just over 16 posts per annotator. As part of the survey, we also provide an option for annotators to provide basic demographic information. Of those who reported the information, we find that the annotators were relatively balanced in gender and age, but skewed in race. The full details are presented in Table 5.5.
| gender | % |
|--------|---|
| female | 49.8 |
| male | 48.4 |
| other | 1.9 |
| race | % |
|------|---|
| White | 76.0 |
| Asian | 7.5 |
| mixed or multiple ethnic groups | 6.9 |
| Black, African or Caribbean | 6.5 |
| other | 3.2 |
| age | % |
|-----|---|
| 18-24 | 14.8 |
| 25-34 | 41.6 |
| 35-44 | 24.5 |
| 45-54 | 11.9 |
| 55-64 | 6.2 |
| 65+ | 1.0 |
Table 5.5: Demographic information of annotators who disclosed it.
5.3.3 Limitations
Although the newly annotated training data set has shown to improve model performance, there are nevertheless a few issues which we were unable to address, due to funding difficulties. Firstly, we were only able to assign one annotator to each post, making it challenging to assess both automatically and manually whether each post was annotated correctly in structure and reasonably in content. Annotator agreement is also difficult to quantify as a result, since there is only one annotation for each post, and this may introduce problems such as annotator bias due to the subjective nature of identifying stereotypes. Secondly, we decided not to annotate the development and test data sets. This is less of a concern, since automatic evaluation metrics do not always reflect actual model performance, and manual evaluation of the models can be performed with relative ease. Nevertheless, we encourage future work to build on our initial annotation efforts to address these two main limitations.
5.4 Training
We train the models in the same manner as for the generation tasks in Section 4.4.2, except for data preprocessing. The model inputs are prepared by concatenating each post and its corresponding labels as follows:
\[ x = \{ p_1, \ldots, p_m, [\text{SEP}], c_1, \ldots, c_n, [\text{SEP}], t_1, \ldots, t_o, r_1, \ldots, r_p, s_1, \ldots, s_q, [\text{EOS}] \} \] (5.2)
where \( p_{1:m} \) is the sequence of tokens for a given post, \( c_{1:n} \) is the sequence of tokens for the corresponding stereotype conceptualisation, and \( t_{1:o}, r_{1:p} \) and \( s_{1:q} \) are token sequences for [TARGETED GROUP], [RELATION] and [IMPLIED STATEMENT] respectively. We also explore a different ordering of inputs, where the implied stereotype is positioned before the stereotype conceptualisation:
\[ x = \{ p_1, \ldots, p_m, [\text{SEP}], t_1, \ldots, t_o, r_1, \ldots, r_p, s_1, \ldots, s_q, [\text{SEP}], c_1, \ldots, c_n, [\text{EOS}] \} \] (5.3)
These training methods are similar to that employed by Bosselut et al. for their common-sense generation task [69].
We also expand the newly annotated training data set by a factor of four so that the number of training data points is comparable to that of the Social Bias Inference Corpus [22] training data set used for the implied statement generation task:
\[
12,075 \times 4 = 48,300 \quad (\text{CO-STAR data set}) \\
\approx 42,494 \quad (\text{Social Bias Inference Corpus})
\] (5.4) (5.5)
The concatenated training instances are then, as before, tokenised, truncated and shuffled. For evaluation, only the post and the subsequent [SEP] token are encoded
and passed in as input. We explore both beam search and top-$k$ sampling as in Section 4.4.2 with the same hyperparameters. We generate a maximum of 50 tokens in total for each of the three candidate sentences for each post. The models are evaluated after each training epoch, and we train the final models for up to 5 epochs with a batch size of 1, and use the Adam optimiser [80] with a learning rate of $1 \times 10^{-5}$. The results are presented and analysed in depth in Section 5.5.
### 5.4.1 Ablation Studies
In order to understand the effects of the CO-STAR framework more clearly, we perform ablation studies by training models without annotations for the stereotype conceptualisation. Thus, using the same notations as in Equations 5.2 and 5.3, the model inputs are as follows:
$$x = \{p_1, \ldots, p_m, [\text{SEP}], t_1, \ldots, t_o, r_1, \ldots, r_p, s_1, \ldots, s_q, [\text{EOS}]\} \quad (5.6)$$
In order to dispel any doubt relating to the model performances, we train the ablated model twice, and in cases where one ablated model generated less accurate outputs than the models trained with both implied stereotype and stereotype conceptualisation annotations, we compare their outputs to the other ablated model. This would help eliminate any bias against the ablated models and ensure that they are not considered to have underperformed due to randomness in the training data set. Further, this would increase our confidence in the overall performance of the models trained in accordance with the CO-STAR framework, since their performance improvements are only acknowledged if they are able to generate accurate outputs and both of the ablated models are not able to do so after any of the five training epochs.
Although these two ablated models are similar to those trained for the *implied statement* generation task in Chapter 4, they are crucially distinct from each other in the training data set used. We ensure that all factors which may affect the model performance are kept constant, and train the models using the newly annotated (and expanded) training data set for performing these ablation studies. All the other hyperparameters are the same as in Sections 4.4.2 and 5.4.
### 5.5 Results
Since we were unable to annotate the development and test data sets, we perform manual evaluation for analysing the performance of the different models. We randomly sample 500 posts from the development set (out of a total of 1,806 posts) and manually compare the outputs of the ablated and non-ablated models over all five training epochs to the reference sentences annotated by Sap et al. for their Social Bias Inference
Corpus [22]. Some initial observations are discussed in Section 5.5.1 before the main findings are analysed in Section 5.5.2. In reporting the results, we reproduce the posts and their corresponding outputs for each model as they are, including any errors in spelling and grammar. With respect to the names of our newly trained models, -beam and -topk refer to beam search and top-$k$ decoding methods as before, and -cs, -sc and -s refer to models trained with data points as per Equations 5.2, 5.3 and 5.6, respectively.
### 5.5.1 Initial Observations
We notice that models with the top-$k$ decoding method do not perform well with the new data preprocessing and training procedures. More specifically, since they are performing sampling from the next token distribution, CO-STAR-topk-cs and CO-STAR-topk-sc models are unable to generate the \texttt{[SEP]} token for many of the posts, and each of the resulting generated outputs contains a jumbled mixture of both the implied stereotype and the stereotype conceptualisation. We provide an example of such behaviour in Table 5.6.
| post | output |
|-----------------------|------------------------------------------------------------------------|
| CO-STAR-topk-cs | racism and poverty are real problems / racism/class discrimination in eating is ok / malnourished africans are marginalized for a joke |
| CO-STAR-topk-sc | ethiopian folks are starving / ethiopian people are poor and starving. They should eat anything that can feed them / ethiopians are starvingly thin. (Not dark.) |
| CO-STAR-beam-cs | racism \texttt{[SEP]} ethiopians are starving / racism \texttt{[SEP]} ethiopians are starving / world hunger \texttt{[SEP]} ethiopia have no food |
| CO-STAR-beam-sc | ethiopians are poor \texttt{[SEP]} racial hierarchy / ethiopians do not have food available \texttt{[SEP]} racial hierarchy / ethiopians do not have food available \texttt{[SEP]} racism |
**Table 5.6:** An example post with the corresponding outputs (all after the fourth training epoch) showing the limitations of -topk models.
We therefore exclude the CO-STAR-topk-cs and CO-STAR-topk-sc models from further evaluation. We also omit the CO-STAR-topk-s model, since the comparison between the ablated model and models trained on data points containing both the implied stereotype and the stereotype conceptualisation is no longer necessary. The GPT$_2$-imp-topk model from Chapter 4 also uses the top-$k$ decoding method, and is therefore, for the same reason, not included for further analysis.
5.5.2 Main Findings
Upon close evaluation of the 500 posts from the development set, we find that most of the outputs are similar in content across the newly trained models. That is, when the outputs for each post are compared across all training epochs, all models have at least one generated candidate sentence which is similar in meaning and specificity to one of the reference sentences. We therefore focus our analysis on only the posts and their corresponding model outputs where there is a significant difference between the generated candidate sentences across the different models. We also report the outputs of our model trained for the \textit{implied statement} task from Chapter 4 model, namely GPT$_2$-imp-beam, for comparison.
We reproduce the model outputs in Tables 5.7, 5.8, 5.9 and 5.10. We choose a selection of posts and model outputs which is most representative of the overall performance of the different models observed from manually analysing 500 posts from the development set. As before, we report either the set of generated candidates with the most context-specific outputs, or where none of the outputs are similar to any of the reference sentences, the set with the most commonly generated candidates over all five training epochs. In any case, the three reported candidate sentences belong to the same epoch.
We make five key observations. Firstly, we notice a general trend of models which have been trained with annotations of both stereotype conceptualisation and implied stereotype performing better than the ablated models. This is shown in Tables 5.7 and 5.8. For post (a), the -cs and -sc models are, for the most part, able to generate the correct stereotype that \textit{men need to act manly}, and these outputs are also accompanied by accurate stereotype conceptualisations (\textit{gender norms} and \textit{gender roles}). Exceptions are \textit{men are shallow} and \textit{men are stupid} which are also present in the outputs of CO-STAR-beam-s, which suggests that while these three model variations are similar, the addition of stereotype conceptualisation annotations enables the -cs and -sc models to generate relevant and context-specific stereotypes entailed by the post, as opposed to the completely incorrect generations of the ablated models. The performance difference is therefore most clearly illustrated by this post.
Posts (b), (c) and (d) offer a similar insight into the performance limitations faced by the ablated models, albeit in a less distinct manner. The only outputs which explicitly state the stereotypes in post (b) are \textit{black folks should be thrown from buildings} of CO-STAR-beam-cs and \textit{black folks are victims of police brutality} of CO-STAR-beam-sc, but the ablated models are unable to generate either, and default to generic stereotypes (\textit{black folks are marginalized for a joke}, \textit{black folks are worthless}) or an incorrect stereotype in the context of the post (\textit{black folks should be thrown into jail}). The outputs of the ablated models for post (c) are also problematic: the implication here concerns the size of Asian folks’ eyes, which is different to \textit{orientals have bad eyesight}; \textit{orientals are bad at driving} is also a common stereotype targeted towards Asian folks, but it is not relevant in this context; the remaining nonsensical \textit{orientals have bad teeth} would be explained by the presence of \textit{dental floss} in the post. Post (d) again shows the
| post (a) | That’s not what a real man would do. |
|----------|-------------------------------------|
| CO-STAR-beam-cs | sexism [SEP] men are shallow / gender roles [SEP] men should be men / gender roles [SEP] men should be masculine men are bad at following norms [SEP] gender norms / men are bad at following norms [SEP] sexism / men are stupid [SEP] mental abilities |
| CO-STAR-beam-sc | men are stupid / men are shallow / men should not do anything |
| GPT₂-imp-beam references | men are stupid / men don’t deserve rights / men don’t deserve respect men need to act manly |
| post (b) | how many cops does it take to throw a black man down a flight of stairs? none. he fell. |
|----------|----------------------------------------------------------------------------------|
| CO-STAR-beam-cs | racial hierarchy [SEP] black folks should be killed / racial hierarchy [SEP] black folks are inferior / racial hierarchy [SEP] black folks should be thrown from buildings |
| CO-STAR-beam-sc | black folks are marginalized for a joke [SEP] racism / black folks are victims of police brutality [SEP] police brutality / black folks are marginalized for a joke [SEP] police brutality |
| CO-STAR-beam-s | black folks are marginalized for a joke / black folks are worthless / black folks should be thrown into jail |
| GPT₂-imp-beam references | black people are criminals / black folks are criminals / black people are worthless that black men deserve to face police brutality / that black men deserve to be punished by police unfairly / black men lie / not trustworthy / are criminals / trivializes police brutality |
| post (c) | Why don’t you give a drivers license to Orientals? You do not give a license to someone you can blind with dental floss |
|----------|----------------------------------------------------------------------------------------------------------------|
| CO-STAR-beam-cs | physical disability [SEP] orientals have squinty eyes / physical disability [SEP] orientals folks have squinty eyes / disability discrimination [SEP] orientals folks have bad luck |
| CO-STAR-beam-sc | orientals have squinty eyes [SEP] physical disability / orientals have squint eyes [SEP] physical disability / orientals have squinty eyes [SEP] physical appearance |
| CO-STAR-beam-s | orientals have bad eyesight / orientals have bad teeth / orientals are bad at driving |
| GPT₂-imp-beam references | can’t see / mentally disabled folks are incompetent / mentally disabled folks are stupid asian people have slits for eyes / asian people are terrible drivers / asians have tiny eyes / asians can’t drive / asians can’t see because of the shape of their eyes / orientals is an offensive term for asians |
effects of the CO-STAR framework, as the -cs model is able to generate accurately the events entailed by the post, namely the atomic bombings of Hiroshima and Nagasaki (the CO-STAR-beam-s model’s *japanese folks have been killed in the holocaust* may, however, also be considered to be technically correct), despite the distinct lack of lexical overlap.
We attribute the performance improvements to the addition of the stereotype conceptualisation as part of the training data set, as models are able to learn extra associations and connections between words which would otherwise not have been available, and make predictions accordingly. This is further evidenced by the -cs and -sc models accurately generating the stereotype conceptualisations themselves: *gender norms* and *gender roles* for post (a) as stated above, *police brutality* for post (b), *physical appearance* for post (c), and *war, bombing* and *war crimes* for post (d). Based on these contextual cues, the -cs and -sc models are thus able to generate more accurate stereotypes.
Their ability to generate relevant stereotype conceptualisations raises another important point in favour of the CO-STAR framework, as these models are able to provide more information with respect to the content of the post, even when the implied stereotype generations are rather generic (such as *are marginalized for a joke*). For posts (b) and (d), the extra details generated by the CO-STAR-beam-sc model after the *black folks/japanese folks are marginalized for a joke* make the overall outputs more context-specific and potentially allow for a better and clearer understanding of not only the inner workings of the different models, but also the content of the post for the end user. The ablated models naturally do not provide such information.
The second key observation we make is that despite the apparent benefits of training the models on the CO-STAR framework, the ablated models do occasionally perform better than the -cs and -sc models. Post (e) provides an example of this, as the outputs of the CO-STAR-beam-s model are able to capture almost perfectly the implications entailed by the post (with the possible exception of *black fathers do not have fathers*), whereas the -cs model generated candidates which share similar words as the post but are irrelevant (*black fathers are abusive/violent to their children*), and the -sc model generated vague stereotypes (*black folks are inferior*). This may be due to the over-reliance of the -cs model on the generated stereotype conceptualisations, with the subsequent implied stereotypes being affected by the wrongly predicted *domestic violence*, as the model tries to make sense of it given the context of the post. As for the -sc model, it may simply be the case that it was unable to make sense of the post, and defaulted to generic stereotypes. Model specialisation, explored extensively in Chapter 4, may also be playing a role in generating more accurate and context-specific stereotypes, since the ablated models only need to focus on one task for a given input post, namely generating the implied stereotypes and not the stereotype conceptualisations.
The third key observation is related to the point about the -cs model relying too
| post (d) | Why do Japanese people never play bingo? They all disappear after they hear B-29 |
| --- | --- |
| CO-STAR-beam-cs | japanese hate planes [SEP] hiroshima and nagasaki victims are marginalized for a joke / japanese hate planes [SEP] hiroshima and nagasaki are marginalized for a joke / japanese military [SEP] nagasaki victims are marginalized for a joke |
| CO-STAR-beam-sc | japanese folks are marginalized for a joke [SEP] war / japanese folks are marginalized for a joke [SEP] bombing / japanese folks are marginalized for a joke [SEP] war crimes |
| CO-STAR-beam-s | japanese folks are marginalized for a joke / japanese folks have been killed in action / japanese folks have been killed in the holocaust |
| GPT₂-imp-beam references | japanese people are suicide bombers / japanese people are suicide bombers / japanese people are always dying trivializes harm to victims / japanese got bombed to end ww2 / japanese offended by nuke jokes |
| post (e) | If your angry punch a black kid What they gonna do tell their fathers? |
| --- | --- |
| CO-STAR-beam-cs | domestic violence [SEP] black fathers are abusive to their children / domestic violence [SEP] black fathers are violent to their children / domestic violence [SEP] black fathers are abusive |
| CO-STAR-beam-sc | black folks are inferior to other races [SEP] racial hierarchy / black folks are inferior [SEP] racial hierarchy / black folks are inferior to whites [SEP] racial hierarchy |
| CO-STAR-beam-s | black fathers are not able to provide for their children / black fathers are not present in their children’s lives / black fathers do not have fathers |
| GPT₂-imp-beam references | black people are violent / black folks are violent / black people are worthless dad’s abandon them / no one cares for them / black fathers abandon their kids / blacks come from single mother homes / black people don’t have fathers / black men do not provide for their family |
Table 5.8: A selection of model predictions and reference sentences.
much on the generated stereotype conceptualisations mentioned briefly above. There is some performance difference between the -cs and -sc models themselves, and the order in which the components of the CO-STAR framework are concatenated seems to be of significance. For example, posts (f) and (g) in Table 5.9 show a clear contrast between the generated implied stereotypes of the -cs and -sc models. The former is unable to generate the implications entailed by the two posts, whereas the outputs of the latter and of the ablated models are almost identical (with *women are incapable of controlling themselves* appearing as one of the three candidate sentences for both -sc and -s models for post (f)). This may be due to the unidirectional nature of the GPT-2 language model: since the prediction of the next output token is dependent on the previously generated tokens (as in Equation 2.28), the presence of the previously generated stereotype conceptualisations affect the model performance in generating the subsequent implied stereotypes. It may be that the -cs model becomes less focused on the content of the posts as a result, and instead generates stereotypes which commonly follow the predicted stereotype conceptualisations in the training data set. This results in the model generating stereotypes which are less accurate and context-specific (*women are dependent on men* for post (f), and *women are inferior to men* for post (g)). The -sc model, however, is not prone to this problem, as the implied stereotypes are conditioned directly on the post itself (with the stereotype conceptualisations predicted at the end), and the generated candidate sentences are therefore similar to those of the ablated models.
Therefore, whenever the ablated models perform well, the performance of the -sc model is often matched and that of the -cs model is not. However, the opposite is also true, albeit less frequent, and this is our fourth key observation: as shown in posts (h) and (i) in Table 5.10, the -sc and ablated models underperform, whereas the -cs model is able to predict the correct stereotype conceptualisations (*terrorism* for post (h) and *paedophilia* and *sexual assault* for post (i)), and the implied stereotypes which follow. The contrast between the outputs of the -cs model and of the -sc and ablated models is still present, and even when the latter models generate less accurate candidate sentences, their contents are similar (the theme of *female objectification* for post (h), and of *male sexual activity and violence towards men* for post (i)). This further emphasises the effects and benefits of the stereotype conceptualisation component of the CO-STAR framework, as if the -cs model is able to generate accurate predictions of this component, it is also able to generate the subsequent implied stereotypes just as accurately. It also reinforces the similarity of the -sc and ablated models, and the significance of the order in which the components of the CO-STAR framework are concatenated.
| post (f) | Women have as much self control in the presence of Chad trying to fuck them as we would in the presence of a hot woman trying to fuck us. Zero. |
| --- | --- |
| CO-STAR-beam-cs | gender hierarchy [SEP] women are dependent on men / sexism [SEP] women are subservient to men / gender hierarchy [SEP] women are dependent on men for sex |
| CO-STAR-beam-sc | women are incapable of controlling themselves [SEP] sexism / women are incapable of controlling their sexuality [SEP] sexism / women are incapable of controlling their sexual urges [SEP] sexism |
| CO-STAR-beam-s | women should be submissive / women are incapable of controlling themselves / women are defined by their sexuality |
| GPT₂-imp-beam | women are sex objects / women are submissive / women can’t be trusted |
| references | women can’t resist sex / women have no control / women don’t choose sexual partners well / women are biased on looks when it comes to finding a mate / women are hypocritical about their sexual desire / women can’t control themselves with attractive men |
| post (g) | Quit whining about it and go find a beautiful white girl to have babies with. |
| --- | --- |
| CO-STAR-beam-cs | gender hierarchy [SEP] women should not have children / gender hierarchy [SEP] women are inferior to men / gender hierarchy [SEP] women should be cared for |
| CO-STAR-beam-sc | women are only good for having children [SEP] sexism / women are only good for having children [SEP] gender hierarchy / women are only good for sex [SEP] gender hierarchy |
| CO-STAR-beam-s | women are there to provide for men / women are there to provide for sex / women are often objectified |
| GPT₂-imp-beam | women are only good for sex / women are promiscuous / women are only sex objects |
| references | white women are just for having babies / white women want to have babies |
Table 5.9: A selection of model predictions and reference sentences.
| post (h) | Perfect 10 girl. Why is it so hard to pick up a perfect 10 girl? Bc she is in between 9/11. It’s hard to pick her up under all the rubbles. |
| CO-STAR-beam-cs | terrorism [SEP] muslim folks are terrorists / terrorism [SEP] muslim folks are terrorist / terrorism [SEP] muslim folks cause terrorist attacks |
| CO-STAR-beam-sc | women are defined by looks [SEP] gender hierarchy / women are defined by their sexual success [SEP] gender objectification / women are defined by their sexual attractiveness [SEP] gender objectification |
| CO-STAR-beam-s | women are objects / women are objects of sexual exploitation / women are objects of sexualization |
| GPT₂-imp-beam references | trivializes harm to victims / women are sex objects / trivializes terrorist attacks |
| post (i) | What works better than a pacifier and is more convenient? My penis |
| CO-STAR-beam-cs | pedophilia [SEP] children are sex objects / sexual assault [SEP] rape victims are marginalized for a joke / pedophilia [SEP] victims of pedophilia are made fun of |
| CO-STAR-beam-sc | men should be beaten [SEP] domestic violence / men are inferior to women [SEP] gender hierarchy / men should have sex with their penises [SEP] sexual activity |
| CO-STAR-beam-s | men are better off dead / men are better spanking their wives / men want sex with pacifiers |
| GPT₂-imp-beam references | women are sex objects / makes light of rape / trivializes rape advocates child molestation / makes light of child abuse |
Table 5.10: A selection of model predictions and reference sentences.
Finally, we observe that the GPT₂-imp-beam model trained in Chapter 4, which was the new state-of-the-art model for the implied statement task, is consistently outperformed by at least one of the CO-STAR-beam models, except for trivializes terrorist attacks in post (b). This is despite the fact that the GPT₂-imp-beam model was trained on a data set which contained nearly four times as many unique annotations. This again highlights the importance of enabling the models to learn about the underlying concepts for each post, and thereby allowing them to generate implied stereotypes which are more specific and relevant to the given post. The performance improvements of the ablated models compared to the GPT₂-imp-beam model also demonstrate the benefits of structuring the implied stereotypes, as this was the only major difference between the training data sets of these models.
5.6 Limitations
5.6.1 Model Generations
Despite the superior model performances of the three CO-STAR models, they are nevertheless not perfect. Firstly, they are still unable to understand the implications entailed by more complex posts, such as post (c) in Chapter 4, where the act of *throwing a paper ball into the trash* is likened to *throwing a basketball through the hoop*. The outputs are again stereotypes which are generic (*black folks are marginalized for a joke*) or not relevant to the post (*black folks are not good enough for society/education, black men are not good at school/math or black folks should be mocked*). We suspect that the information encoded in the stereotype conceptualisations is insufficient for these types of posts where the implications are very subtle and specific, and encourage future work to develop more sophisticated models in addition to the CO-STAR framework so that they are able to understand such and other common-sense knowledge.
Further, there is a more serious model defect which is shared by all models trained for this project, which is that they are prone to generate offensive slurs present in the annotations for the training data sets. This issue is particularly concerning from the perspective of model deployment, and is discussed in more detail in Section 6.2.
5.6.2 Evaluation Method
The evaluation method employed in studying the model performances should also be placed under scrutiny. Firstly, the models are evaluated on only a subset of the development set, which may not be fully representative of the overall performances of the different models compared. Secondly, the evaluation method is prone to bias: since the model outputs were analysed by only one person (the author of the present work), there would no doubt be bias related to the criteria used to determine whether one set of model outputs are more accurate and context-specific than the other, for example. These issues may be mitigated by undertaking a more thorough and complete evaluation of the model performances via crowdsourcing and obtaining evaluation agreements among the workers, which would not only enable model evaluation for more posts, but also a smoothing out of any bias which may be present in determining the more accurate and context-specific set of generated stereotypes.
5.7 Summary
The main findings of the experiments run with respect to the CO-STAR framework therefore confirm our hypothesis that performance improvements can be achieved by
introducing stereotype conceptualisation annotations to the training data set, and by structuring the implied stereotypes in the [TARGETED GROUP] [RELATION] [IMPLIED STATEMENT] tuple format. Whereas there are some instances of comparable model performances between the three different types of newly trained models as seen in Tables 5.7, 5.8, 5.9 and 5.10 (and indeed, this is the case for most of the 500 manually inspected model outputs from the development set), a handful of posts show that there is a noticeable performance improvement among the models trained with the full CO-STAR framework in mind when compared to either of the two ablated models. We observe that the -cs and -sc models are able to generate more accurate and context-specific stereotypes more often than the ablated models, and where there is a performance difference between the former two models, the -sc and -s models often have similar outputs regardless of whether or not their generated stereotypes are accurate. In any case, these three CO-STAR models exhibit a much more refined and precise set of generated stereotypes than the GPT$_2$-imp-beam model trained in Chapter 4.
Chapter 6
Ethical Considerations
In this chapter, we discuss the various ethical issues encountered due to the nature of the project. We also outline the different steps taken to mitigate risks and to minimise as much as possible any negative effects stemming from this project. We strive to be as transparent as possible in an effort to continue raising awareness of these important implications, and hope that future work continues to address these ethical considerations as necessary.
6.1 Model Bias
An important issue to keep in mind when developing any natural language processing system is the bias present in the model itself and the extent to which it affects the performance of the overall system. There have been numerous studies revealing the types of bias ingrained in natural language processing systems [60, 61, 62], and their effects on downstream classification tasks [94, 95]. The GPT-2 model [37] on which we base our experiments has also shown to propagate bias from its training data [76]. There have been numerous works which focus on the mitigation of bias in language models including removing any bias present in the training data sets themselves [62], but this task is seemingly contradictory (since we primarily focus on detecting and generating implied stereotypes), and bias removal of the GPT-2 model remains outside the scope of this project.
6.2 Deployment
The nature of our work poses numerous ethical issues if our models were to be deployed for public use. Firstly, generating the implied stereotype of a post may have the
unintended consequence of propagating that stereotype, even if the original intention is to allow the user to understand what stereotype may have been (unconsciously) implied, and to consider rephrasing the post to remove that stereotype. It may seem more suitable to deploy these models in conjunction with stereotype neutralisation systems, but due to the time constraint for this project, we only focus on the former task.
Secondly, as mentioned briefly in Section 5.6.1, the models do have a tendency to generate offensive slurs in the format $x$ is called $y$, when they predict that there is name-calling and that such slurs are used in the input post. This becomes especially problematic if the models misclassify that the input post contains an offensive slur, and generate it out of context. In order to mitigate this, we pass in a manually compiled list of words which are commonly considered to be slurs as an argument to the bad\_words\_ids parameter during evaluation to prevent the models from generating these words [96]. This method is, however, not perfect, and we encourage that when developing these models for deployment, the CO-STAR data set is cleaned before training so that it does not contain any offensive slurs.
Thirdly, potential issues regarding censorship is worth mentioning [97]. Making decisions regarding the removal of user content which may contain hate speech or offensive stereotypes based on the predictions of machine learning models may have negative side effects, such as discrimination against certain dialects [94, 98, 99, 100] leading to a marginalisation of certain communities. This is especially pertinent to the CO-STAR training data set, since it is a subsection of the Social Bias Inference Corpus [22] which contains posts which are mostly written in White-aligned English (78%) according to a lexical dialect detector developed by Blodgett et al. [85], with a relatively low percentage of posts (< 10%) written in African-American English [22]. Further, the annotations for the [TARGETED GROUP] component of the CO-STAR framework are mostly women and black folks, resulting in the models generating false positives for these demographic groups more often than others. As a countermeasure, a training data set which contains a more representative range of English dialects and targeted demographic groups could be used and its effects studied.
Finally, both long-term and short-term social impacts of deploying such systems should be considered [101], focusing on the ways in which experiences of the affected communities are changed [94], instead of relying on abstract evaluation metrics [102, 103, 13]. A user-centric approach to the development of the system would therefore be desirable, in order to democratise the improvement of the model and to make the inner workings of the system as transparent as possible to its users and those affected by it [104]. This could be addressed, for example, by enabling easy user feedback and highlighting the attention levels placed by the model on each word in the input post. The question of whether a false prediction would be worse than no prediction at all should also be asked, and we address this issue by introducing and training models for multiclass classification tasks. For deployment, the models could be further configured to utilise measures such as error weighting, model regularisation or confidence thresholds [95].
6.3 Data Annotation
Several considerations regarding the CO-STAR training data set annotation procedure need to be addressed. Firstly, the data set is prone to annotator bias, as the annotator pool was restricted to the U.S. and U.K., which may not be fully representative of the views taken when determining whether or not a post contains an implied stereotype, and if yes, what the stereotype is [105]. In addition, basic analysis of demographic information shows that the annotator distribution is racially skewed. We acknowledge that these issues can also be amplified by the fact that we were only able to assign one annotator to each post, and encourage future work to improve the CO-STAR training data set to be more representative and comprehensive.
We also realise that as part of building the CO-STAR training data set, annotators were tasked with confronting material which may be offensive to them. We took several measures in order to mitigate any potentially negative side effects [106]. We flag our annotation task as containing offensive content, which requires workers who are willing to accept the task to complete a short survey so that they are made aware of the implications. We advise worker discretion both before the task can be previewed, and after it has been accepted. We also include an email address at the top of the task page for any comments or concerns, and provide an option for the workers to provide feedback (see Figures A.1 and A.3 in the appendix).
Finally, we follow the Amazon Mechanical Turk best practices guide [107], and disclose throughout this report as much information as possible regarding the annotation procedure, following guidelines by Geiger et al. [108], in an effort to be as transparent as possible. In addition, we do not collect any personally identifiable data, and the Amazon Mechanical Turk platform requires the workers to be aged 18 and above. We also recognise the potential infringement of privacy of the authors of posts in the Social Bias Inference Corpus, and make this aware for future researchers and practitioners [109]. The data annotation was approved by Department of Computing.
6.4 Ethics Checklist
The completed Imperial College Ethics Checklist is presented in Tables B.1, B.2 and B.3 in the appendix. The relevant issues regarding model misuse and data annotation have been addressed in Sections 6.2 and 6.3.
Chapter 7
Conclusion
Understanding entailed implications and stereotypes remains a challenging task even for current state-of-the-art language models. Indeed, the subtle nature of the language commonly used to convey stereotypes, coupled with the common-sense knowledge necessary to make sense of them, makes stereotype analysis and reasoning difficult for humans as well. In this chapter, we review our contributions and suggest areas for future work in order to address the limitations of our models.
7.1 Contributions
We make three key contributions, building on the work of Sap et al. and their Social Bias Frames [22]. Firstly, we improve on their state-of-the-art models trained for stereotype classification and generation tasks, by allowing for model specialisation and enabling each model to focus on performing one particular task. The newly trained models are able to outperform the previous models in all tasks except one, and the automatic evaluation metrics show a significant performance improvement for the task of classifying whether a potentially offensive post targets an individual or a group.
Secondly, we explore multiclass classification tasks for the categorical variables. This would be beneficial not only for instances where the labels are not clear or are open to interpretation, but also in deployment settings where the models will be able to generate more nuanced outputs as well as to mitigate potentially negative effects of misclassification on the end user.
Finally, we present the novel CO-STAR framework for implied stereotype generation, which structures the implied statements for improved learning and evaluation, and incorporates stereotype conceptualisations in order to capture the underlying concepts of a given post. We annotate the training data set which contains 12K posts and on
7.2. FUTURE WORK
which the CO-STAR models are trained, and we make further improvements upon the specialised models. We manually evaluate the CO-STAR models on the development set, and show that they are able to generate more accurate and context-specific stereotypes. We also perform ablation studies to confirm the effects of the stereotype conceptualisation component of the CO-STAR framework.
7.2 Future Work
Our contributions, however, are not perfect, and we encourage future work to address the main limitations of our models. Firstly, we notice that the data set imbalance which is present in the Social Bias Inference Corpus severely affects the models trained for \textit{lewd}, \textit{in-group} classification tasks, as well as for multiclass classification. Future work could improve the data set and study whether further model improvements can be achieved. In addition, unsupervised approaches could be explored, which would lessen the impact of any imbalances in the training data set, such as emoji analysis [84] or lexical dialect detection [85], especially for improving model performance on the \textit{in-group} variable.
We also acknowledge the limitations present in our newly annotated CO-STAR training data set. More specifically, the data set is susceptible to annotator bias, due to the skewed annotator demographic, as well as the fact that we were only able to assign one annotator per post, rendering any form of annotator agreement difficult to quantify. Further, the lack of annotated development and test data sets makes evaluation of the models challenging, bias-prone and time-consuming. Future work could build on our initial annotation efforts and address these limitations, and compile data sets which are more representative and complete.
Finally, we note that while our CO-STAR models outperform all other previously trained models, they are still unable to understand more subtly worded posts and generate accurate and context-specific implied stereotypes. This necessitates further research in this multifaceted and challenging domain, studying other approaches to encode common-sense knowledge and developing more sophisticated models to understand and generate (and even neutralise) implied stereotypes.
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Appendix A
Annotation Task Design
Hello! Thanks for checking out this survey.
Please note that this survey contains content that may be offensive or upsetting, and therefore worker discretion is advised.
Feel free to email firstname.lastname@example.org for any comments or concerns. Alternatively, fill in the COMMENTS AND FEEDBACK section. Thanks :)
INSTRUCTIONS
Please read through the instructions carefully.
TASK 1: given a POST, please identify ONE example of a STEREOTYPE implied in the post about any demographic(s).
• It should be entered in the following format:
1. [TARGET MINORITY]: the target demographic which the post is targeting/the stereotype is about. For example, women, asian folks or black folks.
2. [LINKING VERB]: please choose one from the dropdown (examples include are and should).
3. [REST OF STEREOTYPE] please complete the stereotype here.
• When put in the above order, [TARGET MINORITY] [LINKING VERB] [REST OF STEREOTYPE] should form a coherent sentence:
Example post: My problem with Korean people is I don’t know how to pronounce your name, I can’t Hangul to save my life.
Example correct answer: Korean folks are bad at pronouncing names.
Example of wrong answer: Korean folks do they do not have normal names
• The answer for each field should be simple but also specific, capturing the underlying concept/stereotype being described by the post.
Example post: “black kid misses throwing paper ball into the trash”
Example wrong answer 1: Black folks are trash (general and vague and not specific to the post)
Example wrong answer 2: Black people are supposed to be good at basketball and he should not have missed (too complex)
Example correct answer 1: Black folks should be good at basketball
Example correct answer 2: Black folks are defined by athletic skill
TASK 2: for the stereotype identified in TASK 1, please write its main concept/what it is about in two or three words (three words maximum).
• For example, you wrote in TASK 1: black folks are defined by athletic skill
Example answer: athletic skill
• For example, you wrote in TASK 1: asian folks are inferior
Example answer: inferiority
• For example, you wrote in TASK 1: women cause their husbands to abuse them
Example answer: domestic violence
• TASK 2 should have a MAXIMUM of THREE words
This will be checked and your HIT MAY BE REJECTED if over three words.
More Examples
Figure A.1: Screenshot of the Amazon Mechanical Turk survey, showing the instructions and examples.
START OF SURVEY
POST:
$(post)
Please provide a stereotype implied by the post:
If unclear, try your best to guess, and also consider name-calling or marginalized for a joke as possibilities (see More Examples above) if the post makes an individual attack/is just dark humour.
[TARGET MINORITY] [LINKING VERB] [REST OF STEREOTYPE]
What is the stereotype’s main concept?
Please do not just repeat what you have said above.
MAX. 3 WORDS
OPTIONAL DEMOGRAPHIC INFORMATION
Only need to enter once :)
1. What is your gender?
Select
2. How would you describe yourself?
Select
3. What is your age?
Select
Figure A.2: Screenshot of the Amazon Mechanical Turk survey, showing the main tasks and the optional demographic information fields.
COMMENTS AND FEEDBACK
Were the instructions clear? Any feedback to improve the survey or any comments highly appreciated and will be checked manually :)
Which common ball sport is mentioned in one of the examples in the instructions above?
Submit
Figure A.3: Screenshot of the Amazon Mechanical Turk survey, showing the feedback and catchword fields.
## Appendix B
### Ethics Checklist
| Section 1: HUMAN EMBRYOS/FOETUSES | Yes | No |
|-----------------------------------|-----|----|
| Does your project involve Human Embryonic Stem Cells? | ✓ | |
| Does your project involve the use of human embryos? | ✓ | |
| Does your project involve the use of human foetal tissues/cells? | ✓ | |
| Section 2: HUMANS | Yes | No |
|-------------------|-----|----|
| Does your project involve human participants? | ✓ | |
| Section 3: HUMAN CELLS/TISSUES | Yes | No |
|--------------------------------|-----|----|
| Does your project involve human cells or tissues (other than from “Human Embryos/Foetuses” i.e. Section 1)? | ✓ | |
| Section 4: PROTECTION OF PERSONAL DATA | Yes | No |
|----------------------------------------|-----|----|
| Does your project involve personal data collection and/or processing? | ✓ | |
| Does it involve the collection and/or processing of sensitive personal data (e.g. health, sexual lifestyle, ethnicity, political opinion, religious or philosophical conviction)? | ✓ | |
| Does it involve processing of genetic information? | ✓ | |
| Does it involve tracking or observation of participants? It should be noted that this issue is not limited to surveillance or localisation data, but also applies to WAN data (e.g. IP addresses, MACs, cookies). | ✓ | |
| Does your project involve further processing of previously collected personal data (secondary use)? For example, does your project involve merging existing data sets? | ✓ | |
| Section 5: ANIMALS | Yes | No |
|--------------------|-----|----|
| Does your project involve animals? | ✓ | |
**Table B.1:** The Imperial College Ethics Checklist.
| Section 6: DEVELOPING COUNTRIES | Yes | No |
|---------------------------------|-----|----|
| Does your project involve developing countries? | ✓ | |
| If your project involves low and/or lower-middle income countries, are any benefit-sharing actions planned? | ✓ | |
| Could the situation in the country put the individuals taking part in the project at risk? | ✓ | |
| Section 7: ENVIRONMENTAL PROTECTION AND SAFETY | Yes | No |
|-------------------------------------------------|-----|----|
| Does your project involve the use of elements that may cause harm to the environment, animals or plants? | ✓ | |
| Does your project deal with endangered fauna and/or flora, or protected areas? | ✓ | |
| Does your project involve the use of elements that may cause harm to humans, including project staff? | ✓ | |
| Does your project involve other harmful materials or equipment (e.g. high-powered laser systems)? | ✓ | |
| Section 8: DUAL USE | Yes | No |
|---------------------|-----|----|
| Does your project have the potential for military applications? | ✓ | |
| Does your project have an exclusive civilian application focus? | ✓ | |
| Will your project use or produce goods or information that will require export licenses in accordance with legislation on dual use items? | ✓ | |
| Does your project affect current standards in military ethics (e.g. global ban on weapons of mass destruction, issues of proportionality, discrimination of combatants and accountability in drone and autonomous robotics developments, incendiary or laser weapons)? | ✓ | |
| Section 9: MISUSE | Yes | No |
|-------------------|-----|----|
| Does your project have the potential for malevolent/criminal/terrorist abuse? | ✓ | |
| Does your project involve information on or the use of biological-, chemical-, nuclear/radiological-security sensitive materials and explosives, and means of their delivery? | ✓ | |
| Does your project involve the development of technologies or the creation of information that could have severe negative impacts on human rights standards (e.g. privacy, stigmatisation, discrimination), if misapplied? | ✓ | |
| Does your project have the potential for terrorist or criminal abuse (e.g. infrastructural vulnerability studies, cybersecurity-related project)? | ✓ | |
Table B.2: The Imperial College Ethics Checklist (continued).
| SECTION 10: LEGAL ISSUES | Yes | No |
|--------------------------|-----|----|
| Will your project use or produce software for which there are copyright licensing implications? | ✓ | |
| Will your project use or produce goods or information for which there are data protection, or other legal implications? | ✓ | |
| SECTION 11: OTHER ETHICS ISSUES | Yes | No |
|---------------------------------|-----|----|
| Are there any other ethics issues that should be taken into consideration? | ✓ | |
Table B.3: The Imperial College Ethics Checklist (continued).
|
Holland City News, Volume 67, Number 50: December 15, 1938
Follow this and additional works at: https://digitalcommons.hope.edu/hcn_1938
Part of the Archival Science Commons
Recommended Citation
Holland City News, "Holland City News, Volume 67, Number 50: December 15, 1938" (1938). Holland City News: 1938. 50. https://digitalcommons.hope.edu/hcn_1938/50
This Book is brought to you for free and open access by the Holland City News: 1930-1939 at Hope College Digital Commons. It has been accepted for inclusion in Holland City News: 1938 by an authorized administrator of Hope College Digital Commons. For more information, please contact firstname.lastname@example.org.
We Suggest Something Electrical as a Gift this Christmas
The Grand Haven Skaters Bring The Publicity
Are Now on Air in Southland; First Day of Skating Brought Thousands Swelling the Rinks.
The two Grand Haven skaters who are in Florida who left their city Oct. 20, have been in the Michigan fully dressed up for the sweepstakes and are now in a position to be coming back to the northern part of the country soon of their experience.
Grand Haven is being well advertised in the Atlanta Journal by Al Fisher and Cortner Arbuckle, the skaters who are in Florida, and who are now in California.
The boys will be heard on the air at Atlanta, Ga., as "men on the rink" and will give a lot of entertainment over the radio that is broadcast to many parts of the country. The Atlanta Journal, the largest newspaper in that city, had a special feature on the rink which they showed in a letter received from Mr. Davis.
The article states: "A great determination in crossing the country on the ice, and a great determination to skate back home via the same route. We are going to do it and hope to be back home July 4."
The boys are now for all the blisters on our feet and the cold and calamine lotion were part of the trip is having to walk miles and miles and walk across dirt and pebble roads and through mud and water," told the Atlanta reporter.
"A skater's feet are sore to us after the first day out that we have to take off our boots and shoes after removing them at night."
The boys have given the names "Grand Haven, Riviera of West Michigan" to the thousands across the country when appearing in towns, have done much to the good name of the town, and those who see them.
The boys never received yesterday by Mr. Davis, one of the sponsors of the boys, a check for $5.
"Thanks a lot for the $5. We sure needed it. We got a swell writing in the Atlanta Journal morning edition of the Atlanta Constitution which is enclosed. We will be in West Palm Beach Dec. 18th. We are going to make Jackson tomorrow and then we will be in Miami Friday of this week. We will be in Tampa Saturday. We are going to stay in Tampa Saturday, and Maceo by Friday, Dec. 6, we will be in Orlando, Fla., and we will not stay there until the following Sunday.
"Thanks for everything and say to all the people in Holland that are going to be on the air and get some of the cards. It may help in the sale of the cards. I want to tell you that we are both gaining weight and we are helping the publicity we can."
BIRD FOOD PRODUCTION STARTS OUT WELL BUT DON'T NEGLECT IT
The herder is well filled for Michigan's game bird season, but due to an unusually wet summer, many of the birds are small.
While the food conditions are very favorable at this time, according to game division workers of the state department, the abundant rainfall during the summer has retarded the growth of weeds, a heavy cover for the birds.
In general, all of which are scarce and of poor quality, there are many other species of small game birds.
The wet weather helps to preserve the stock of the game birds point out, especially in its effect on the production of wild game bird food. Where a year ago there was a great deal of corn with little left in the fields, this year there is practically none.
The large amount of rain and the dryness of the ground prevents the birds from getting as much plowing as they ordinarily do before the start of the hunt.
As a result, more fields are being left unharvested, and this is highly desirable as food grounds for the birds.
The game division points out, however, that an unusually severe winter would be necessary for animals of getting at the large number of birds. A normal small wildlife population should be hunting without abnormal mortality.
Council Postpones Nykerk Cup Contest
(Allegan Gazette)
With considerable pressure being brought by a large group of sportsmen, the council has decided that deer are involved in a problem that is too serious to be allowed to become an annual deer hunting contest.
There is no question but that deer are a serious problem unless control measures are adopted and control is impossible unless the deer population is reduced.
Last year leaving only a limited size herd in the state.
To accomplish control it probably would be necessary to have a bow and deer with strict Department regulations and supervision. Yet, to turn hunters to such high powered rifles in Allegan County, where the deer population is so small, would be a serious mistake.
It may be that bow and arrow hunters could do the job. Certainly, they could do a good job in this type of hunting, if permitted over a period of 30 days, maybe even longer, but hard decisions like this both buck and doe killing were referred to the highway committee of the association, as also was a request to send a delegation to Lansing to ask the state department to improve M-39.
Illuminated Signs for Holland and Elsewhere
(Fernandine Herald)
A delegation of three business men from Otsego attended a meeting of the Otsegoville business men presented a proposition to the highway committee of the highway sign near Holland and Otsego. The committee said the 1938 season was another "magnificent" one for the local farmers. He sold crops in many places and the farmers benefited from this plant which was a crop that was not marked to a hot, dry season. The response to applications of copper sulfate for the control of insects in hot dry seasons, was less pronounced.
Change of Address
Now Required on Driver's License
Relatively few licensed drivers of motor vehicles in the state have complied with the new law that requires them to be licensed immediately or any change of residence or address. Violations made through local police and sheriff's records of the change of address by the department. In Holland it would be either Van By or Frank Van Ritz, sheriff.
The law provides that failure to have any change of address reported in the prescribed manner may be punished by a prosecution or suspension of an operator's or chauffeur's license.
The operators and chauffeurs divided into two groups. One of these has been unable on many occasions to report the change of address to the department when the application for a license was obtained. With deer practically gone, the hunting season should be simply successful.
The council has decided that deer are involved in a problem that is too serious to be allowed to become an annual deer hunting contest.
We're Not the Whole Cheese
At the end of 1937 there were 2,184,000,000 people in the world, according to the United Nations' estimate. More than 2,000,000,000 of them lived outside the United States.
This fact, although interesting and important, will probably not interest the average American who is constantly talking and writing about opinions on "world opinion."
Of the total population of the world, the largest population is in Asia. China claims 450,000,000 people and India 350,000,000. The next largest population of the Soviet Union's 178,000,000 inhabitants.
The population of Europe, according to the United Nations' estimate, amounts to 397,000,000; that of the Americas to 190,000,000; and that of South America to 90,000,000.
The English-speaking peoples of the world, predominantly British, number less than 200,000,000, with the United States claiming 120,000,000 of them.
Strange Antics Of Perch Take Place Each Year
GO UP STREAM FROM LAKE MICHIGAN COULD BE GIVEN BY THE BUCKETFUL.
With fingering perch appearing in several Great Lakes tributaries on their way to the spawning stream, employees of the conservation department have been busy catching thousands of the young fish, transporting into a number of inland lakes.
Fish researchers and culturists are not sure of the cause of the annual perch movement, but believe it is due to the action of the current upstream in the tributaries of the lakes.
In the past, perch have been seen running up streams, but in some years possibly due to favorable weather during and following spawning, they have been seen that the average number of young perch moving upstream along the streams runs into the millions. In other years, the runs are not heavy. One of the first runs of perch was observed in December at Alpena, beginning the latter part of December and continuing at which the runs usually occur are the Kalamazoo River at Ludington, at Elk Rapids, Cheboygan, and at Spring City, Traverse City and Framingham. For eight years, a large percentage of the perch movements were taken at Framingham, but this year the runs at that place were lower than usual.
The movement of the perch is begun by the fish division after equipment has been installed to begin the fall program of trout, bluegill and white perch. The perch run in the perch are planted mainly in designated areas, largely around black bass and bluegill runs at Framingham.
During years of heavy runs, the fingerlings are planted in the streams in such numbers that they are often caught by the bucketful. Frequently the run ends abruptly, perch vanishing from a stream overnight.
Select Mother's New Gas Range NOW!
Your Gas Company
Take a Tip on What Mother Really Wants for Christmas
Of course Mother likes the pretty trinkets she gets each year, but what she wants More than Anything is a gift that will spread enjoyment throughout the year for the entire family.
And, the gift that will do just that is a MODERN GAS RANGE — one that will Make Mother's Cooking taste Even Better, Shorten Her Working Hours in the kitchen, and give her More Leisure Time to Really Enjoy Life.
Why not pool the money you each planned to spend for Mother's gifts, and get her the ONE GIFT she prefers above all others . . . .
A Beautiful Modern Gas Range
It will make her the happiest woman in the world, not only on Christmas, but every day for many years to come.
EXAMINE LICENSE APPLI-
CANTS
With 190,000 licensed hunters, or
thereabouts, in the Michigan woods at one time, there are bound
to be a few who will not have their
tags shot with bullets intended
for deer and other game. The
state has been trying for years to
reduce the number of them.
We are told that the license would
be reduced in its issuing liberally so
that the State were to demand
that applicants show that they fit
men to be allowed in the woods.
A person desiring to get a li-
cense should be required to show
that he is competent to do it. He must
prove that he is physically fit,
and that he knows the rules and
regulations and can operate a
rifle safely.
Equally a person wishing to hunt
deer should have some reasonable
familiarity with firearms and how
to handle a rifle safely. He should be
required to give evidence of competence
in the use of weapons which the
pursuit of hunters observe. And so
far as practicable, the applicant should
be examined for physical and tempera-
mental fitness before being allowed to
hunt deer.
An examination of that sort
might save a good many lives and
the life of a few deer.
Certainly there is something
wrong when a man who has no
license is given a license upon pay-
ment of a fee, proof of his fitness
with it, a danger to himself and
a menace to everybody in the
vicinity.
Clare Hoffman
Explains His
Relief Stand
"Don't Ask Me to Do Anything You
Wouldn't Do Yourself in Your
Personal Business."
During the last session of Con-
gress, through the kindness of
Senator Hiram Johnson of Cali-
fornia, it was my privilege to tell you
of the work of the Relief Stand
being done in Washington. During
the last week of the session, many of
you were afraid of my views on
several matters.
The campaign is over. May I
now ask you to read what I have said,
and express the hope that your con-
sideration may be justified during the
coming year?
It is not only my duty but my
duty, also, to tell you of your wishes on matters of national
policy. I have not been able to write
you have read what I have written or
have heard me speak, there is a
The Indian and the buffalo de-
part.
As in their youth Thomas Jeff-
erson and his home sit single in the nation's pocket.
The new "nickel" for the dollar
was put into circulation Tuesday is
after a long fight. It is a "nickel"
on the coin it will ultimately dis-
place.
The belief of Jefferson is well
grounded, but the reputation of
his hickory stick and the revival of
the eagle has some of the appeal
of the old "Indian Head" nickel.
At that, if they can get hold of
the "nickel" for the dollar, it will
probably not prevail over the artic-
ulate dollar, which is supported by
these intemperate statutory coins,
to explain what we mean, and
this time as much copper as it
does silver.
Two weeks ago Saturday Dr.
Raymond Raymond attended the Con-
vention of the Michigan State Asso-
ciation of Secondary School Teachers at Ann Arbor. Dr. Raymond is chair-
man of the history division of the
State Board of Education.
Last Friday, Dr. Raymond at-
tended a meeting of the secondary department presidents of all
church affiliated colleges of Mich-
igan and Albion. He was accom-
panied by several interested in
that field of education.
James Heerspink Jewelry
450 Washington Square
"The Jeweler on the Square"
Holland, Michigan
HOBBY GROUP TO
ARRANGE MODEL
RAILROAD EXHIBIT
A group of model enthusiasts
who plan to form a Hobby club or
club later on, have arranged a
display of model railroads at Ball-
way week in a Grand Haven hard-
ware store. The model railroad
display not only shows factory
models, but also model layouts
made by members of the M.
Model Railway Club of Grand
Haven, has long been a model railway
enthusiast. He has a collection of
trackage, cars, locomotives and
equipment, all arranged in his base-
ment, and believes the most com-
plete model layout he has ever seen.
Mental Mr. Swansen, others inter-
ested in the hobby, consider, who
will be the backbone of the model
railroad display; his son, Ward; Ken-
neth, his brother-in-law; and John
Ellingson. The group will attempt
to make the exhibit of interest.
Model building, Mr. Swansen
said, is a hobby that can be confined
to railroads but includes airplane,
boats, houses, commercial appear-
ances, etc., in miniature. Model
clubs located elsewhere have large
layouts, but Mr. Swansen and his
friends have developed layouts of railroad
terminals, stations, shops and
dockage.
Name Jephra or Hebrew Origin
Jephra is also spelled
Jeptha, is of Hebrew origin and
means "God sets free." The orig-
inal Jephra was Judge Jephra
Benjamin, who vowed that if he should be vic-
torious in battle he would sacrifice whatever first came to
him after his return home. He
kept his vow and the first child
ever to come to him he kept his vow.
WEST POINTERS TAKE TO THE SEA
A GROUP of cadets from West
Point and a crew of men from
New York recently on the
Great Lakes made plans for a cruise
around the Caribbean Sea, Guiana
and Puerto Cubillo, Venezuela,
Panama, Colon, Panama Canal
Zone, Jamaica and Haiti.
The cruise was sponsored by Cap-
tain William A. Burt, of Holland. He
moved to New Castle Town in 1872,
and remained there until 1881.
Traveling Around America
For Christmas Gifts—
Buy Quality Merchandise
Christmas Gift Suggestions for "HIM"
OVERCOATS
SUEDE JACKETS
SPORT COATS
SCARFS, GLOVES
UNDERWEAR
LOUNGING ROBES
PAJAMAS
SUITs
HATS
SHIRTS
TIES
SOCKS
SHOES
SLIPPERS
SPATS
Quality Merchandise at Reasonable Prices
WE INVITE YOU TO STEP IN AND LOOK AROUND!
P. S. BOTER & CO.
14 West 8th St.
Holland
Always the
NEWEST STYLES
at
BOTER'S
FREE!
All Gifts will be
wrapped in
Christmas Boxes
Clothing SHOES Furnishings
Shick, Packard and Remington Shavers
Hole Proof HOSIERY for Women
INTERWOVEN SOCKS for Men
|
"FASTEST GUITAR ALIVE" PACKS EMBASSY
There's a saying going 'round Toronto these days that "The Embassy must be doing something right". They haven't had a turkey since Claude Gilbert took over the management of the Palm Grove Lounge. What he's doing right is bringing in the attractions that the just twenty-ones remember, and Toronto has one of the largest untapped just twenty-one markets on the North American continent. Proof of the puddin' is on stage at The Embassy now. Roy Orbison has them lined up for blocks, and they like what they hear.
Roy Orbison's appearance at The Embassy was his second nightclub date in six years, and it was somewhat marred by the mix-up in having his instruments flown to Miami instead of Toronto. But the better news was the fact that he was working with a new pick-up group (his Candymen are enjoying a touch of popularity at present and are heavily booked) and there just wouldn't be any room for a rehearsal. The Candymen came to the rescue. The instruments were transferred to Cleveland and Air Canada took over getting them into Toronto and by fast pigeonhole, down to the Embassy.
If Orbison and his new found crew were late, or out together making love, you couldn't detect it from the capacity crowd who were ready to cheer even if he dropped his...shades.
He didn't and they were, musically together, pleased. Roy Orbison was so happy with the musical backing he received that he announced he hoped to keep the boys with him.
His big number for the night, and it must have been his biggest selling single (4 million) was "Oh, Pretty Woman". The just twenty-ones slightly boozed up patrons could hardly contain themselves and much to the enjoyment of Roy Orbison and the management.....let themselves go, and that's the best way a club can tell if they've got a winner, and if there was ever a represented Quality Records, who are presently inking in the almost overnight success of the latest Orbison MGM outing, "Cry Softly To Me". (RPM 87), Billboard's Kit Morgan and many of Toronto's radio personalities were also in attendance.
THE GORDON LIGHTFOOT STORY by LYNNE ACKERMAN
It's 9:30 PM and the night is still and cool. Inside the Coffee House the atmosphere is one of expectation and excitement. The audience, composed of almost equal numbers of men, women, boys, girls, teenagers, girls, housewives, and headed and long-haired beatniks, chattered volubly. Suddenly, the lights dim. As they come up again in the smoke-filled room, they seem to be caught by the golden curls of the singer standing in their midst. Instantly, the people are silent, and the golden voice pours its notes upon the hushed and listening room, singing the songs.
LIGHTFOOT continued on page 6
CURTOLA RELEASES
Port Arthur, Ont: Bobby Curtola, Canada's Mr. Personality, has just released a fast paced Latin oriented rock version of "Quando Quando". The flip, "If All Goes Well" was written by the team of Hurley and Hurdon. Many radio stations across the nation have jumped on this newie from Curtola, given it "picks" and many have charted the outing, mainly because Bobby has been off the recording scene for some time and he has been missed.
SINGLE FOR NORTHCOTT
Vancouver, B.C.: The popular west coaster, Tom Northcott, has just released a newie on the New Syndrome label. The going side "Sunny Goodie" has been given the nod by U.S. trades and is picking up "picks" and chart listings on the west coast. The flip, written by Northcott, "Who Planted Thorns In Miss Alice's Garden", is also picking up plays.
GOOD TIMES
THE RAGGED EDGES
Toronto: Nathan Phillips Square will be the scene of one of the greatest North American "Love-ins" ever experienced. The big drawing card will be The Jefferson Airplane, who are flying in special for the giant freeby. Main purpose for the show is to promote their week engagement at the O'Keefe which will commence July 31st.
The popular RCA Victor recording group are experiencing top of the chart action with their outing of "White Rabbit" as well as fantastic sales on their album "Surrealistic Pillow". The big Sunday show will kick off at 2:30 PM and will also feature a top Canadian group, as yet to be named.
With Toronto experiencing a brisk tourist influx and with the "hippies" now numbering several thousand, the show could experience another traffic stopping fiasco similar to the opening of the City Hall which drew upwards of 60,000.
Detroit: "Cobo Hall is proud to present Mr. Frank Sinatra". That's all that was needed. The President took charge and the SRO crowd settled back for one of the most enjoyable evenings imaginable. Some from the bobby sox era had waited over 20 years to catch a glimpse of "Frankie". Now with the mini skirts in fashion, "Frank" was just as popular. It's still "Sinatra's Year".
The scene at Detroit's Cobo Hall was almost unbelievable as a packed house waited impatiently for the greatest star on earth to take place. This was the day, July 19th, that Francis Albert Sinatra was set to show that mini skirts and bobby socks were just a song apart.
Frank Sinatra has come a long long way since his first disc "All Or Nothing At All". He's now at the peak of his second summit and if you were in the audience at Cobo Hall, you would have to agree that he carries it well.
His opening number "Summer Wind", literally brought the house down. He played to the audience with such intimacy and charm that even the $4.50 ticket holder shared a night club atmosphere with the $12.50 crowd. He moved from left to right, upstage and downstage, announcing his next number and giving credit to the composer. Even the backup band, Buddy Rich, appeared spellbound, which necessitated the odd backhand reminder by Sinatra to keep the tempo moving.
The highlights included in the 90 minute spectacular were "Nancy", which he commented was the real star in the family, "Yes Sir That's My Baby", "We've Got You Under Our Skin", "Old Man River", "My Life", "Chicago" and capped the show with "Strangers In The Night". The audience surged toward the stage, hoping to touch their idol, or at least catch his eye, and those who were lucky enough to do so, irrespective, they were able to touch him and also come away with the feeling that "Frank Sinatra looked deeply my eyes". He was shaking as many hands as possible and finally, almost exhausted, had to call it a night.
Sinatra, has so far, played to SRO crowds in Pittsburgh, Detroit and Cleveland. It's reported that customers paid $23,000 for a 2 hour performance at the Civic Arena in Pittsburgh, while Detroit's Cobo Hall is reported to have grossed $130,000 for their one show effort.
Be the President", "The King", or just plain "Frank", whatever the tag, Frank Sinatra is a billion dollar corporation of charm, talent, friends, and money, which kind of makes him "The Midas Of The Century".
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WHAT'S A NICE KID LIKE YOU DOING IN A BUSINESS LIKE THIS??
BY STAN KLEES (Guest Columnist)
This is the first installment in a series in RPM designed for the young artist in his way. The writer of this series is music record company man and RPM producer Stan Klees. Each week Mr. Klees will cover various aspects of the record business, aimed at advising the potential recording stars of tomorrow. No one in Canada could be more informed as to the problems that lay ahead for the young artist and musicians. As well, he will answer your questions about the music business as a career. Address your questions and comments to: Stan Klees, Guest columnist, RPM, 1560 Bayview Avenue, Toronto 17, Canada. - The Editor.
PRODUCER ?????
WHO NEEDS A PRODUCER
"WE DON'T NEED A PRODUCER WE KNOW WHAT WE WANT". Probably the only country in the world where a bunch of musicians will go into a studio without a producer and accept what they get, is Canada. The poor recording studios. Because they have to turn down the work, they will accept a session with no one on hand to take the responsibility of the sound. The studio sticks their neck out and the engineer attempts to lay down the best sound possible, regardless of whether or not he heard the song before. The studio is there to rent their facilities and that is exactly what they do. The next thing you hear is that the studio "hasn't got the sound" and no one blames the lack of supervision.
It can be said that every major studio in Toronto (for example) does have "the sound", because as soon as one session comes out of that studio that is par excellent, you can no longer use that same equipment as is at fault. Often you can track it down to the person who did the session. As a matter of fact, good studios in Canada have every bit of equipment to put down an excellent sound, and there are few studios around that don't have the same sound. Many top New York, Nashville and British producers have worked in Canadian studios and they go away happy with the facilities that the major studios have to offer. Foreign engineers brought to Canada to record, feel the same way.
Then why do we have a problem getting "the sound"? Musicianship has a lot to do with it. Arrangement of the music is another factor and the choice of recordings can definitely effect the so-called "sound". A talented and experienced producer can overcome some of these problems. He is also in a position to not only know what he wants to hear, but to instruct the engineer in what arrangement to use to get the desired effect. The producer speaks loud and a quality producer doesn't do top 40 and a classical producer doesn't do R&B. Any producer who would attempt to do all these must really think of himself as a genius. Success as a producer in Canada is very rare, so don't look for a successful producer.
You need a producer before you step into a studio and there are many good ones. An engineer is not a producer. Find an experienced producer whose past work you are familiar with and whose style you would like for your group. The better the producer, the better the result, but remember the old saying "You only get what you pay for" and don't be afraid to look for the best studio, the best engineer, and the best producer for your money. It's 98% of the people that will hear it, it will be the only way they will have to judge you. That little black vinyl biscuit is the most portable and economical way to reproduce talent, in the world, and yesterday you were just a group of the worst recorded musicians in the RECORDING ARTISTS. Don't let yourself down.
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If you're going to SAN FRANCISCO be sure To wear some flowers in your hair Scott McKenzie COLUMBIA - No. 2757
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COLUMBIA RECORDS
Good news! The Paupers are finally coming to Los Angeles. They will be headlining the famed Whisky A Go-Go later in August.
Moby Grabe's new singles are not clicking yet, I think that there's a lot of difficulty plugging five records by the same artist simultaneously. Skip Spence, the guitarist for The Moby Grabe is Canadian. He was born in Victoria, Ontario leaving Canada some years ago, finding his way to San Francisco. He joined The Jefferson Airplane and later became one-fifth of the Moby Grabe. Peter Lewis, another member, is rumoured to be the son of Loretta Young.
The Americans are invading Canada again. I was just informed that The Blues Magos are heading for a string of concerts in British Columbia. The Film Directors are appearing at the west coast city for their PNE, in August. Don and The Goodtimes and The T-Bones will also be touring Western Canada in August.
Usually when a group records they use the studio for two or three days. San Francisco's Jefferson Airplane are scheduled for a 7 day recording session at the RCA Victor studios. They may be creating another "White Rabbit". Another RCO group, The Youngbloods, appeared for a short engagement at a local nightclub where they were well received.
Buffy St. Marie, the talented folk-singer was enthusiastically greeted when she did a night at the Hollywood Palladium last week. The Young Rascals were featured last week. Ian and Sylvia's "Lovin' Sound" is now being played on Los Angeles radio stations. Jimmie Clark gets credit in aid out of Los Angeles appearing in a one night concert which no one seemed to know about.
Johnny Rivers has expanded his talents and now produces records for other people. He distributed Soul City Records and signed The Fifth Dimension, who have had a hit with "Do Where You Wanna Go", and are present are riding high with "Up Up And Away". Another group signed by Rivers is The Strawberry Children, who'll soon be appearing on TV here.
WESTERN UNION welcomes your questions and comments. Send them to:
358 W. PALMER AVE., No. 4
GLENDALE, CALIFORNIA 91204
THE DYING REBEL
(QUALITY 1885)
by TOMMY DRENNAN & THE MONARCHS
From the QUALITY INTERNATIONAL ALBUM
"SONGS OF IRELAND 50 YEARS AGO"
The "Scottish Soldier" WAS BIG!
The "Merry Ploughboy" WAS BIG!
"The Dying Rebel" WILL BE BIGGER!!
LIGHTFOOT continued from page 1
written by its owner and made famous by him and others. He sings all the old favourites, as well as some new ones written just a few weeks ago. Thunderous applause is heard after each song, and at the end of the set, the audience is asked to help the singer to ship as well as be entertained, leaves satisfied. Thus it goes on each night, set after set, after concert after concert, all over Canada, from Halifax to Montreal to Toronto to Winnipeg to Vancouver, the same enthusiastic audiences, the wild ovations wherever he appears. His songs and performances have inspired such critics' superlatives as, totally captivating, compelling, unique, memorable, and incomparable. He makes a talented, faultless and convincing, honest, strong and vibrant, genius, and boundless skill - The singer's name? GORDON LIGHTFOOT.
On stage, between sets, he is relaxed, friendly, and often extremely funny. Now is the time to visit with friends and fans, to sign autographs, to keep the golden throat lubricated, and to light up his favourite Dutch cigars. The time passes pleasantly until it's time to go back into the dressing room once the professional takes over. The dressing room is cleared, so that nothing will interfere with his getting his guitar correctly in tune. Perhaps the safest test at this point is that he is not only a gifted songwriter, but a professional and thoroughly trained musician. His training and experience started many years ago, when he was in high school in Orillia. He was a member of the local Glee Club Society, and also worked with a local dance band. After high school he attended the Westlake College of Music in Los Angeles, for a year, then moved to Toronto where he worked as a studio musician for the CBC, a drummer for a revue, a member of a choral group, and also one-half of a folk group called the Two-Tones. After three years in Toronto, he moved to England, where he did his own country music TV show for a year, after which he returned to Toronto again, this time for good. He lives there now, with his lovely wife and two children.
Like most singers, Gordon started out singing in bars, then graduated to coffee houses and finally to concerts. Over the years, his style of writing and singing, too, have changed. Whereas his first songs sang simple folk, then country, then what he once described as "Country and Lightfoot", now it is pure "Lightfoot". He fits into no "bag" or category, and his songs have been sung by everyone from Marty Robbins to Peter, Paul & Mary to Carole King. He won the ASCAP Award for best country song two years in a row, was voted top Canadian Folk Singer in the 1966 RPM Awards, and Top Canadian Male Singer in After Four's 1966 Pop Poll. Three of his recent songs, "Spin, Spin", "GoGo Round", and "The Way I Feel" hit the top ten across the country, and his two albums released to date are selling fantastically well, even though the first was released almost a year ago.
Gordon is also an extremely prolific song-writer, having written over two hundred songs so far. His favourite, and also his best known, is "Early Morning Rain", which has been recorded by almost every different people. He admits that most of his songs are written from his own experiences, and he sometimes goes to some length to make those experiences happen. Recently going up to the roof-entrance floor of Toronto's, the Molson Tower-Dominion Tower, to feel the fear of it for a song he was writing at the time. But most of his songs, and especially his newest ones, are about love, and almost all of those are about love lost or gone. But he also writes back-to-nature songs like "Peaceful Waters" and "Long River" and humourous songs like "Silver Cloud Talking Blues", which tells how Rompin' Ronnie Hawkins went to buy a Rolls Royce in his levis and cowboy boots. He also writes some songs about one of his greatest loves - trains, planes, and big machinery. The best known of these is probably "Steel Rail Blues", but the best, to my mind, is one written for a Centennial TV show which tells of the importance of the railways in Canada's history, titled "Canadian Railroad Trilogy".
Although he is just beginning to be known in the United States as a singer and performer, he is known well there as a composer, and there is hardly anyone in Canada, who has not heard of him or his songs. He was born in Canada, lives in Canada, works in Canada, records in Canada, and does most of his performing in Canada. He is - Canada's own - GORDON LIGHTFOOT.
ON THE TAIL OF THEIR HIT - "SOMEBODY HELP ME"
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featuring BOB BURGESS
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DISTRIBUTED IN CANADA BY LONDON RECORDS OF CANADA (1967) LTD.
I'M GOING TO BE PERFECTLY HONEST with you and tell you that my column is left out periodically to let the heat die down. As soon as it does, I return in an even bigger and better way. You can count on me to return with bigger and better gossip and rumours.//IT IS MY PERSONAL OPINION that the Toronto music scene's troubles are about to come to a crashing end. Montreal will probably be next. Now that I have practically cleaned up the "payola, plugola, playola" problems of Toronto, I will be intensifying my campaign to clean up Montreal's "payola" problems and Vancouver's un-Canadian problems. The problem is the Regina dynasty and Winnipeg's apathy to other Prairies sounds. We won't even mention Edmonton. A higher authority has its eye on the famous walled city. My job is cut out for me. (Ed: We are so proud of you, Elvira!!!)
Rumours of moves out of Toronto's big hit stations remind me of the old adage about the sinking ship, or was it the stinking ship? (Ed: Is there any boy blood on the burning deck, etc., etc.?) // A personal note to Susan Taylor. You are indeed a lovely young lady and it was a pleasure to meet you. I hope you record many more records and that they are all hits, and they will be.//What's happening in the big new Capitol building? When will the unveiling be?
CURTOLA'S "QUANDO QUANDO" GIANT AT CKDM
Dauphin, Man: CKDM's "Ugly One" Ron Waddell, reports "fantastic listener reaction" to the latest Toronto hit by Bobby Curtola "Quando Quando". The initial airing created so much excitement, that it was immediately given the "pick" treatment. Says Ron "I feel that it will be the best Canadian release of the year" and tells it "a must for every chart".
BOBBY SCOTT WAXES FOR COLUMBIA
NYC: NARAS Award winner Bobby Scott, who wrote "A Taste Of Honey" has just released "We're Doing Fine", on Columbia, a raunchy, R&B outing. Although an arranger of rare ability, Scott called on the talents of Horace Oll for this deck.
CANADIAN TALENT LARGE AT SOO
Sault Ste. Marie, Ont: The Guess Who drew capacity crowds at Memorial Gardens recently, which is now a common practice for the popular Winnipeg crew. Their Quality single "This Time Long Ago" has become a fast moving item in the Soo as well. Featured with The Guess Who were The Pavement Artists. The show was hosted by CKPR personality Ron Robinson.
The Pavement Artists have been drawing large crowds on their own. Their appearances at the Memorial Gardens have been very successful, thanks to the efforts of CKPR.
JIM ELSON TO FROBISHER BAY
Frobisher Bay, NWT: Jim Elson, formerly of CFJR Brockville, CKTS Sherbrooke and WIKE Newport, Vermont, has taken up announcing-broadcasting duties at CFFB.
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All you have to do is listen to this magic portion of the happy sound, and you'll be amazed how you are capable of getting on top of your world. The Lords of London are the group about to become the biggest sensation in the world. You've heard about them, you've seen them, you've heard them in other groups. But London's coming to take over the sounds of The Lords of London. Sebastian, Greg, Danny, John, and Robbie are one heck of a big package of talent.
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Fine Structural Morphology of Identified X- and Y-Cells in the Cat's Lateral Geniculate Nucleus
Author(s): J. R. Wilson, M. J. Friedlander and S. M. Sherman
Source: *Proceedings of the Royal Society of London. Series B, Biological Sciences*, Vol. 221, No. 1225 (Jun. 22, 1984), pp. 411-436
Published by: Royal Society
Stable URL: https://www.jstor.org/stable/35958
Accessed: 07-08-2019 19:05 UTC
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Fine structural morphology of identified X- and Y-cells in the cat’s lateral geniculate nucleus
BY J. R. WILSON†, M. J. FRIEDLANDER‡, AND S. M. SHERMAN
Department of Neurobiology and Behavior, State University of New York,
Stony Brook, New York 11794, U.S.A.
(Communicated by R. W. Guillery, F.R.S. – Received 8 August 1983 – Revised 28 December 1983)
[Plates 1–10]
Four physiologically identified neurons in the A laminae of the cat’s dorsal lateral geniculate nucleus were filled with horseradish peroxidase and studied using the electron microscope. Two were X-cells and two were Y-cells. Each had electrophysiological properties appropriate for its X- or Y-cell class, and each also had an axon that projected into the optic radiation, indicative of a geniculocortical relay cell. Representative samples from about 10% of each neuron’s entire dendritic arbor (proximal and distal) were taken to obtain an estimate of the types and distributions of synapses contacting these arbors. One X-cell had a cytoplasmic laminar body, but there were no other significant cytological differences seen among the neurons. Common to each of the neurons were the following synaptic features: (i) retinal terminals (r.l.p.) were mostly or entirely restricted to proximal dendrites or dendritic appendages (< 100 μm from the soma). These terminals constituted about 15–25% of the synapses on the proximal dendrites. (ii) Terminals with flattened or pleomorphic synaptic vesicles (f. terminals) were predominant on the proximal dendrites (30–55% of the total synapses for that region) and were mainly located near the retinal terminals. A smaller percentage (10–20%) were also distributed onto the distal dendrites. (iii) Small terminals with round synaptic vesicles (r.s.d.), many presumably having a cortical origin, predominated (60–80%) on distal dendrites (> 100 μm), but also formed a large proportion (40–70%) of the synapses on the intermediate (50–150 μm)dendrites. Total synaptic contacts for one X-cell and one Y-cell were estimated at about 4000 and 5000, respectively.
The major fine structural differences observed between X- and Y-cells were almost entirely related to the retinal afferents. First, the retinal synapses for X-cells were mostly made on to dendritic appendages (spines, etc.), whereas Y-cells had most of their retinal synapses onto the shafts of primary and proximal secondary dendrites (that is, near branch points). Second, the retinal terminals that contacted X-cell dendrites nearly always formed triadic arrangements that included nearby
† Present address, correspondence and reprint requests to: Yerkes Regional Primate Research Center, Emory University, Atlanta, Ga. 30322, U.S.A.
‡ Present address: Department of Physiology and Biophysics, University of Alabama, Birmingham, Al. 35294, U.S.A.
f. terminals, but those on Y-cells rarely did so. Finally, the main type of f. terminals associated with X-cells were morphologically different from most of those associated with the Y-cells, and this also related directly to the triadic arrangements; that is, f. terminals in the triadic arrangements were morphologically distinguishable from f. terminals that did not participate in triadic arrangements. Even though the present sample is quite small, these morphological differences between X- and Y-cells indicate that they might be the synaptic basis for some of the differential processing of information occurring for the two cell types in the lateral geniculate nucleus.
**Introduction**
The morphological properties of the neurons in the cat's dorsal lateral geniculate nucleus have been extensively studied. At the electron microscopic level, considerable attention has been focused on synaptic morphology, and several different types of synaptic terminals have been identified. However, owing to the difficulty of following processes through long series of thin sections, the overall synaptic patterns have been derived from examining small parts of neurons whose other parts and characteristics are unknown. Thus, many fine structural profiles have yet to be traced to their parent neurons, and the total synaptic inputs that converge onto a single cell have not been described. Furthermore, correlations of electrophysiological properties with morphological types or afferent synaptic inputs have not been technically feasible. With the use of intracellularly injected horseradish peroxidase (HRP), it is now possible not only to characterize the morphology of entire individual neurons, but also to correlate these findings with the electrophysiological characteristics of the neuron.
An important reason for carrying out these studies in the lateral geniculate nucleus is the large body of background research available on this nucleus. This allows the data to be placed into a framework that can be more readily interpreted. Neurons within the A laminae of the lateral geniculate nucleus have been classified electrophysiologically as X-cells or Y-cells. W-cells are present in several areas of the lateral geniculate nucleus (Wilson *et al.* 1976; Dreher & Sefton 1979; Spear *et al.* 1977; Stanford *et al.* 1981, 1983; Sur & Sherman 1982), but they were not examined in this study. The X- and Y-cell classes have been the object of most studies (for recent reviews see Rodieck 1979; Stone *et al.* 1979; Sherman 1979; Lennie 1980; Sherman & Spear 1982). X-cells differ from Y-cells in several electrophysiological properties including axonal conduction velocity, receptive field size, linearity of spatial and temporal summation to visual stimuli, and responses to fast-moving stimuli (Enroth-Cugell & Robson 1966; Cleland *et al.* 1971; Hoffmann *et al.* 1972; So & Shapley 1979; Lehmkuhle *et al.* 1980). Owing to these and many other differences, it is thought that X- and Y-cells mediate different visual functions through separate, parallel pathways.
At the light microscopic level, there are also several morphological types of neurons within the lateral geniculate nucleus. Guillery (1966) divided the neurons of the A laminae into three classes on the basis of differences in soma size and dendritic morphology (for example, the presence of dendritic appendages, their
location on the dendrites, and dendritic arborization patterns). It was originally thought that two of these morphological types (class 1 and 2) might correspond to the electrophysiologically identified Y- and X-cells, respectively, and the third (class 3) to interneurons (for example, Wilson et al. 1976; LeVay & Ferster 1977). Subsequently, Friedlander et al. (1981) studied the relation of electrophysiological and morphological classes of neurons directly by injecting HRP into physiologically identified neurons. Their study demonstrated that X-cells have smaller somata and thinner dendrites than do Y-cells. X-cell dendrites are oriented along projection lines (Sanderson 1971), typically have many appendages, and are confined to the lamina containing the soma. Y-cell dendrites occupy a spherical arbor, have a few simple appendages, and some dendrites from nearly every Y-cell cross laminar borders. The above properties are consistent with class 1 cells being Y-cells, but the class 2 category contains both X- and Y-cells. All class 3 cells studied were X-cells. These studies using intracellular HRP injections have thus led to a description of the light microscopic structure of physiologically identified neurons.
Because the reaction product of 3-3'-diaminobenzidine and HRP is electron dense, the method of intracellular injection of HRP permits clear fine structural identification of the processes of a single injected neuron. Therefore, in this preliminary study, we have used this technique to examine the fine structure and synaptic inputs of several X- and Y-cells in the A laminae of the lateral geniculate nucleus.
**METHODS**
*Electrophysiological procedures*
The techniques used for the intracellular injection of HRP in this study are nearly identical to those that have previously been reported from this laboratory (Friedlander et al. 1981; Stanford et al. 1981; Sur & Sherman 1982). Five adult cats were used. They were anaesthetized with halothane during the initial stages of the preparation. These stages included: venous cannulation for infusion of the paralytic (gallamine triethiodide); a tracheal cannulation for artificial respiration; craniotomies for placement of stimulating electrodes (in the optic chiasm and visual cortex) and for recording or injecting micropipette (in the lateral geniculate nucleus); and contact lenses to protect and focus the eyes onto the tangent screen. As part of our routine surgical procedures, Deltacaine was injected into the external auditory meatuses and around muscle wound margins, and the cats were maintained for recording on a 70:30 mixture of N₂O:O₂. Heart rate, body temperature, and expired CO₂ were continuously monitored.
Glass micropipettes were used to record extra- and intracellular activity. They were filled with a 4% solution (by mass) of HRP (Sigma type VI) in 0.05 M Tris buffer plus 0.2 M KCl (pH 7.6), and they were bevelled to an impedance of 70–120 MΩ measured at 100 Hz. Action potentials of individual neurons of the lateral geniculate nucleus were first isolated extracellularly, and electrophysiological properties of each neuron were characterized to permit their identification as an X- or Y-cell. These properties included latency to optic chiasm stimulation, centre–surround sign (on or off), centre response to standing contrast (tonic or phasic), response to a large, rapidly moving disc appropriate to stimulate the
receptive field surround, receptive field centre size, and the linear or nonlinear response to a counterphase modulated grating pattern (see table 1).
After these properties were determined, the cell was impaled, typically by passing short depolarizing current pulses through the electrode (<2 nA). A rapid d.c. potential drop of 20–50 mV coupled with the appearance of slow wave synaptic activity indicated that the electrode tip had entered the cell. Most of the cell’s properties were rechecked to be certain we had penetrated the same cell that we had studied extracellularly. We then used positive current pulses (2–10 nA at 1–10 Hz) to iontophorese HRP into the cell.
**Table 1. Neuronal characteristics**
| | X1 | X2 | Y1 | Y2 |
|------------------|------|------|------|------|
| 1. optic chiasm latency/ms | 2.4 | 1.8 | 1.1 | 1.2 |
| 2. linear or nonlinear | linear | linear | nonlinear | nonlinear |
| 3. centre–surround response | on–off | off–on | on–off | on–off |
| 4. centre size/deg | 0.5 | 1.1 | 1.5 | 0.8 |
| 5. response to fast-moving target | no | no | yes | yes |
| 6. sustained (5 s) or transient (5 s) | sustained | sustained | transient | transient |
| 7. latency to cortical stimulation | — | — | 0.7 antidrom | 1.1 orthodrom |
| 8. receptive field eccentricity/deg | 26 | 22 | 4 | 9 |
| 9. laminal location | A | A1 | A1 | A |
| 10. soma area/μm² | 282 | 275 | 760 | 449 |
| 11. Scholl ring analysis† | | | | |
| total dendritic intersections | 68 | 63 | 142 | 74 |
| vertical/horizontal ratio | 7.5 | 20.0 | 0.92 | 0.51 |
† Concentric rings centred on the soma were drawn at 50 μm intervals; dendritic intersections with these rings were then counted. The rings were divided into two horizontal and two vertical quadrants by two lines oriented 45 deg to the ‘vertical’ line (that is, the vertical line is perpendicular to the laminar borders) and passing through the centre of the circles. The dendritic intersections were then localized with respect to these horizontal or vertical quadrants.
**Cell recovery, processing and sectioning**
At least one hour after the last cell of the preparation had been injected, the cat was deeply anaesthetized with sodium pentobarbital and transcardially perfused with a solution of 1% paraformaldehyde, 2% glutaraldehyde, and 5% dextrose (all solutions by mass). The perfusate was buffered by 0.15 M phosphate, and a few drops of 0.01 M CaCl₂ were added. The brain was removed blocked down to an area containing the lateral geniculate nucleus, stored in additional perfusion solution for another 2–4 h, and transferred to a 0.15 M phosphate buffer-5% dextrose solution overnight. The tissue was then sectioned at 50 μm on a Vibratome and reacted with 3,3'-diaminobenzidine (DAB) plus H₂O₂. All sections containing the lateral geniculate nucleus were wet-mounted and examined under the light microscope for HRP-injected neurons. Selected sections containing these neurons were then osmicated (2% (by mass) OsO₄ for 1 h) and dehydrated through a graded alcohol series followed by propylene oxide and Epon embedding. Each piece of tissue was embedded between two pieces of thin plastic so that the injected
cells and their processes could be easily observed with the light microscope and drawn with a drawing tube attachment. Figure 1a, b, plate 1, shows cell X1 (an X-cell) as it appeared after being embedded. Although osmication darkens the tissue, the DAB–HRP reaction product is still clearly visible for most of the neuronal processes under the light microscope. However, some of the smaller structures such as spine stalks were not easily seen at this stage of processing because the combined plastic coverslip and Epon thickness precluded good optics. All of these smaller structures were visible after the section was cut down to a small square (< 1 mm²), removed from between the plastic sheets, and mounted on an Epon cutting block. Usually, several 1 μm sections were taken from the top to smooth the surface. We then made use of a 100 × dry metallurgical objective for a detailed inspection and to draw the HRP-filled structures at 1000 × magnification. Finally, the block was thin-sectioned, and these sections (approximately 80 nm thickness) were picked up on Formvar-coated, slotted grids. Figure 1c shows a 1 μm thick section of cell X1 taken from the block. The block face was frequently re-examined to relate adjacent thin sections to the tracing of the soma and dendrites.
**RESULTS**
*Electrophysiological properties*
Most of our data are based on detailed analyses of four projection neurons that were obtained from four different cats. One other neuron from a fifth cat was briefly examined for specific characteristics that will be pointed out in the text. Table 1 summarizes the electrophysiological characteristics of the more thoroughly examined four neurons, and their fine structural analysis is described below. All four neurons were located in the A laminae of the lateral geniculate nucleus. Two were X-cells (X1 and X2) and two were Y-cells (Y1 and Y2) as determined by electrophysiological criteria (Enroth-Cugell & Robson 1966; Cleland et al. 1971; Hoffman et al. 1972; Hochstein & Shapley 1976a, b). Since each neuron had an axon that could be followed into the optic radiation above the perigeniculate nucleus, we presume that they all projected to the cortex; one neuron (Y1) was also antidromically activated by cortical stimulating electrodes. Neuron Y2 was trans-synaptically, rather than antidromically, stimulated by these electrodes, despite its identification as a relay cell (see also Friedlander et al. 1981). Experiments from which cells X1 and X2 derived did not incorporate cortical stimulating electrodes.
*Light microscopic observations*
Drawings of each of the four neurons are shown in figure 2, with the insets illustrating their relative position and dendritic orientation within the nucleus. The morphology of each neuron at the light microscopic level was also characteristic for its neuronal class (X- or Y-cell) using criteria previously described by Friedlander et al. (1981). For example, each X-cell had a medium-sized soma, many spines and complex appendages along its dendrites, including ‘grape-like clusters’ at several primary dendritic branch points. Nearly all of the dendritic appendages had bulbous heads and narrow necks (for example, figure 11). Rarely, a short, stubby
dendritic appendage was observed on a distal dendrite (for example, figure 7b). The X-cell dendritic arborizations were largely oriented in a cylinder perpendicular to the plane of the laminae, and none of these dendrites crossed laminar borders. In contrast, the Y-cells had large somata, few dendritic appendages, and no grape-clusters at branch points. Whereas Y1 had mostly ventrally spreading dendrites in all directions, Y2 had mostly radially radiating dendrites in a hemispherical arrangement, perhaps because of its location at the dorsal edge of lamina A. X1 and Y1 have been previously illustrated at the light microscopic level (X1 is neuron 3 and Y1 is neuron 12 in Table 2 of Friedlander et al. 1981).
Figure 2. Drawings of four geniculate neurons that were filled with HRP and examined with the electron microscope. Figures (a) and (c) show the X-cells (X1, X2) and (b) and (d) show the Y-cells (Y1, Y2). Insets indicate the position of each cell within the lateral geniculate nucleus, i.l.z., interlaminar zone.
Electron microscopic observations
Sections for analysis
From the Epon-embedded, 50 μm thick sections of each neuron, one section was selected for serial sectioning and fine structural analysis. The selected section contained part or all of the soma and many proximal and distal dendrites such
that a representative sample of the neuron’s dendritic arborization could be analysed. For one X-cell (X1), a second section was also selected because the more peripheral dendrites were not available in the first section. Figure 3 shows line drawings of the parts of the HRP-filled neurons that were included in the 50 μm thick sections used for analysis. By redrawing a neuron after every 48 thin sections (approximately 3.8 μm), we were able to determine accurately what parts of the
**Figure 3.** Drawings of parts of the neurons shown in figure 2. Each of these drawings represents the part of the neuron included in one 50 μm thick, Epon embedded section that was subsequently examined with the electron microscope. The letters close to the dendrites indicate where electron photomicrographs were taken for the following figures (shown in parentheses in each of the legends). The bracketed areas, labelled s.r., were serially reconstructed for quantitative purposes (see text). Each asterisk in (b) and (c) indicates the position of the soma relative to the dendrites.
HRP-filled neuron were being examined in each thin section. When present, the location of the soma relative to capillaries and unstained neurons was also helpful in this respect. Thus, the position of synapses onto the dendrites was relatively easy to determine, and the percentage of each synaptic type (r.l.p., r.s.d. or f.; see below) was calculated for various distances along the dendrites.
Terminal, as used in this study, can be considered as a profile containing synaptic vesicles and making at least one synapse. A terminal was considered to have a synapse if there were plasma membrane thickenings on both sides and clustering of synaptic vesicles at the density on one side. Owing to the HRP densely filling the dendrite in some cases, the postsynaptic thickening was not always observed, and we then relied only on the pre-synaptic thickening and clustered vesicles to assume a synapse was present. Each membrane position that displayed these characteristics was counted as a synapse as long as they were separated by non-synaptic membrane. Thus, a terminal profile could have more than one synapse made onto the HRP-filled dendrite, and some terminals did make two synapses within a single section. Synapses cut parallel to the membrane would not have been counted.
**Qualitative observations**
Examination under the electron microscope was first made on unstained thin sections. The DAB–HRP reaction product caused the profiles containing it to stand out clearly from the surrounding material, and this made it relatively easy to locate all of the sectioned pieces of the neuron before examining them in the adjacent, stained sections. Within these profiles, the reaction product spread diffusely through the intracellular space as seen in figures 4–12, plates 2–10. However, it did not penetrate membrane-bound structures such as mitochondria or synaptic vesicles. Therefore, much of the internal neuronal structure of the HRP-filled neurons was evident, and labelled synaptic terminals of their axon collaterals were easily recognized. Small, dark structures such as ribosomes were completely obscured. The density of the HRP across the injected neurons, and even within a single neuron, varied considerably, probably owing to the amount and site of injected material (compare figures 7 and 8).
*Soma and dendrites.* The somata were completely thin-sectioned for only two of the neurons (X1 and X2). A cytoplasmic laminar body (c.l.b.; Smith *et al.* 1964; Morales *et al.* 1964; LeVay & Ferster 1977; Kalil & Worden 1978; Schmidt & Hirsch 1980) was present for neuron X1 (figure 4), but not for neuron X2. Therefore, at least some X-cells cannot be distinguished by this cytological feature. For neurons Y1 and Y2, portions of the soma that were not thin-sectioned were serially sectioned at 1 μm, a thickness that permits identification of cytoplasmic laminar bodies at the light microscopic level. Neither of these neurons exhibited such a body.
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**Description of Plate 1**
**Figure 1.** Light photomicrographs of an X-cell (X1) subsequently analysed with the electron microscope. *(a)* Low-power view of coronal section through the lateral geniculate nucleus after osmication and embedding in Epon between two thin pieces of plastic. The neuron is just discernible at the tip of the arrow. *(b)* Higher magnification of the HRP-filled neuron showing the soma and numerous dendrites, both proximal and distal. The white arrow points to a region of dendritic appendages, and the black arrows refer to matching points seen in *(c).* Scale bar = 50 μm. *(c)* A section 1 μm thick showing portions of the soma and dendrites (dark regions). The arrows indicate dendritic segments located by the black arrows in *(b).* The section was stained by the method of Richardson *et al.* (1960). Scale bar = 25 μm.
FIGURE 1. For description see opposite.
(Facing p. 418)
Figure 4. Electron microscopic photographs of the same neuron as in figure 1 after thin-sectioning through the soma. Note that the HRP clearly demarcates the neuron by diffusely spreading through most of the non-membranous spaces. The arrow points to a cytoplasmic laminated body which is further magnified in the inset. Scale bars = 1 μm.
Figure 5. Electron photomicrograph of an HRP-filled proximal dendrite (bottom left) and two appendages of an X-cell (X1). This glomerular area of X1 (figure 3a, c) shows r.l.p. and f.2 type terminals surrounding the appendages. An unclassified f. terminal is also present. Scale bar = 1 μm.
Figure 6. R.l.p. and f.2 type terminals contacting dendritic appendages of cell X2 (figure 3c-f). Arrows indicate synaptic contacts of r.l.p. and f.2 terminals onto the appendages. A triadic arrangement is also shown in this figure with the r.l.p.-f.*2 and r.l.p.-dendrite synapses being indicated by the lower two arrows. The inset, taken from a nearby section, completes the triadic arrangement with the third synapse being made onto the lowest HRP-filled appendage in the main part of the figure. Two other r.l.p.-dendrite synapses are indicated by the upper two arrows. Scale bar = 1 μm.
Figure 7. HRP-filled dendrites of an X-cell. (a) Tangential section through a distal dendrite of X1 showing several synaptic contacts (arrows) by r.s.d. terminals (figure 3a, b). (b) Another tangential section of a distal dendrite of cell X1 showing an f. terminal and an r.s.d. terminal and synapse (arrow) onto a non-bulbous dendritic appendage (figure 3a, b). Scale bars = 1 μm.
Figure 8. Partial tangential section through a proximal dendrite and the heads of two appendages of Y2 (figure 3d, m). In further sections, these appendages connected to the main dendrite (d). A large r.l.p. terminal is shown attached to the main dendrite at the stars, probably as a punctum adhaerens. This terminal also makes synapses onto the two appendages (s.) and the f. 2 terminal (arrows). Note that the f. 1 terminals and their synapses (curved arrows) are relatively numerous. Scale bar = 1 μm.
Figure 9. Cross-sections through proximal dendrites of a Y-cell (Y2). (a) This proximal dendrite is surrounded by r.l.p. and f. terminals that form synapses with it (figure 3d, j). (b) An r.l.p., three f.1, and two r.s.d. terminals contact an HRP-filled dendrite of Y2 (figure 3d, l). Scale bars = 1 μm.
Figure 10. Distal dendrites of two Y-cells. Figures (a) and (c) show r.s.d. terminals contacting cell Y1 (figure 3b, d and e). In (c) an r.s.d. terminal forms two contacts – one with the HRP-filled dendrite (of Y1) and one on to another dendrite which has no HRP in it. Figures (b) and (d) show r.s.d. synapses onto two distal dendrites of Y2 (figure 3d, i and k). The two densities in the lower part of (d) were counted as only one synapse because of their continuity in further sections. Scale bars = 1 μm. Scale bar for (b) and (c) same as in (d).
Figure 11. Sections through two appendages from Y2 (figure 3d, n). These were fortuitous in that the plane of sectioning included the head and neck of each appendage at their widest points. Figures (a) and (b) show r.l.p. and f.1 terminals contacting the appendages. Scale bar = 1 μm.
Figure 12. Axon collaterals from an X-cell and a Y-cell. (a) Neuron in the perigeniculate nucleus which has an HRP-labelled terminal contacting its large proximal dendrite (arrow). This collateral terminal was from the axon of an X-cell (X1; see figure 3a, a). (b) Higher magnification of the same terminal contacting the dendrite, but from a separate, nearby section. Note that round synaptic vesicles are clearly evident. (c) An intrageniculate axon collateral from a Y-cell (see text). Axon appears to have an en passant synapse (arrow) onto a dendrite which was located in lamina A. Scale bars = 1 μm.
Except for the single cytoplasmic laminar body in X1, the cytoplasmic morphology of the somata and dendrites was indistinguishable among all four neurons. Also, despite close scrutiny, no qualitative difference was evident for any of the terminals with round vesicles and asymmetrical synapses contacting the HRP-filled dendrites. In particular, the profiles of the retinal terminals did not show any qualitatively distinctive features that would allow a differentiation between X- and Y-cell optic tract terminals. However, there was a difference between the terminals having flattened or pleomorphic vesicles which contacted X-cells compared to those that contacted Y-cells (see Triadic arrangements below). None of these four neurons exhibited characteristics of presynaptic dendrites (compare Famiglietti 1970; Lieberman 1973). The visibility of synaptic vesicles in terminals of axon collaterals from injected cells (figure 12) demonstrated that synaptic vesicles would have been seen if present, but no such vesicles were observed in any HRP-filled dendrite.
*Synaptic types.* Terminal or vesicular profile types were recognized by their characteristic morphology. The nomenclature proposed by Guillery (1969) will be used in this study. Briefly, r.l.p. terminals are retinal in origin (Szentágothai *et al.* 1966; Jones & Powell 1969; Guillery 1969; Hendrickson 1969; Robson & Mason 1979). They have *round* synaptic vesicles, are relatively *large*, and contain many *pale* mitochondria (figures 5, 6, 8 and 9). The r.s.d. terminals (many originating from the cortex, see Discussion) also have *round* synaptic vesicles, but the terminals are relatively small and sometimes contain *dark* mitochondria (figures 7 and 10). The r.l.p. and r.s.d. terminals make asymmetrical synaptic contacts. The f. terminals are characterized by *flattened* or pleomorphic synaptic vesicles and symmetrical synaptic contacts (figures 5, 6, 8 and 9). Many of these terminals are undoubtedly from intrathalamic sources (Szentágothai *et al.* 1966; Famiglietti 1970; Guillery 1971; Famiglietti & Peters 1972; Lieberman 1973; Rafols & Valverde 1973; Pasik *et al.* 1976; Montero & Scott 1981). The f. terminals can be further subdivided into f. 1 and f. 2 types (Guillery 1969; Wong 1970; LeVay 1971; Famiglietti & Peters 1972; Winfield *et al.* 1980). Compared to f. 2 terminals, f. 1 terminals typically have a darker cytoplasmic matrix and more flattened synaptic vesicles that fill the profile. In an f. 2 terminal, the synaptic vesicles have more irregular shapes and sizes (pleomorphic), sometimes clustered in only one area of the profile, and reside in a lighter cytoplasmic matrix. However, there are many f. terminals that cannot clearly be distinguished as an f. 1 or f. 2 type terminal (Guillery 1969). Our classification and conclusions for f. 1 and f. 2 terminals are based on the majority of f. terminals that can be placed into one of these categories. The main distinguishing features for our material were the lighter cytoplasmic matrix and fewer vesicles for the f. 2 terminals. These three terminal types – r.l.p., r.s.d., and f. – constitute over 95% of all the terminals seen in the A laminae of the lateral geniculate nucleus, and they were the *only* types seen making synapses onto the HRP-filled neurons.
*Synaptic contacts.* For each of these neurons, every proximal dendritic appendage studied was postsynaptic to an r.l.p. terminal and often to an f. terminal as well (figure 11). The large majority of these appendages were located within 100 μm of the centre of the soma at dendritic branch points. Occasionally more distal
bulbous appendages were observed, and they also received similar synapses. An example of a non-bulbous appendage is shown in figure 7b. This appendage was on a distal dendrite and did not receive an r.l.p. synapse. It did receive an r.s.d. synapse and an f. synapse. The distal dendrites ventral to the soma of neuron X1 had many appendages, but unfortunately these were not processed for electron microscopy.
For the two X-cells, nearly all r.l.p. terminals contacted dendritic appendages. Very few dendritic appendages were present on the two Y-cells, and most of these were located near or at the branch points of proximal dendrites. These few appendages of the Y-cells were always contacted by retinal terminals. Figure 8 shows a single r.l.p. terminal contacting two separate dendritic appendages for Y2. The r.l.p. terminals onto the two Y-cells were not confined to appendages as was the case for the two X-cells; in fact, most of the r.l.p. synapses were made onto the main dendrites (figure 9). Nearly all of the r.l.p. synapses made onto Y1 and Y2 were located near the proximal branch points either on appendages or the main dendrites themselves. Y1 had branch points very close to the soma (< 20 μm) and Y2, although its branch points were further out, had numerous r.l.p. synapses before these points. There were no retinal terminals observed on either Y-cell that were further than 75 μm from the edge of the soma.
The f. terminals concentrated near the retinal terminals (figures 5, 6, 8 and 9) and were sparser on the distal dendrites for all four neurons. In fact, the f. terminals usually abutted the r.l.p. terminals. For the X-cells, the majority of the terminals were of the f. 2 type. Many of these f. 2 terminals also received synapses from the retinal terminals (figures 5 and 6) and participated in triadic arrangements (see also below). The Y-cells, on the other hand, had a large number of f. 1 terminals (figures 8 and 9), and these did not receive r.l.p. contacts. Some f. 2 terminals were also observed which did not participate in a triadic arrangement.
The r.s.d. terminals clearly predominated on the distal dendrites (figures 7 and 10), although they were also seen on more proximal dendrites. (see Quantitative observations below). Figure 10c illustrates an r.s.d. terminal contacting both a labelled and an unlabelled dendrite. This indicates that some of these axons are not restricted to a single geniculate neuron within a lamina.
**Axon collaterals.** Geniculate relay cells frequently send branches or collaterals of their axons into the perigeniculate nucleus (Jones 1975; Ferster & LeVay 1978; Ahlsén et al. 1978; Friedlander et al. 1981; Stanford et al. 1983). On the other hand, collaterals that terminate within laminae A or A1 are less frequent (Ahlsén & Lindström 1978; Friedlander et al. 1981; Stanford et al. 1983). We have briefly examined one example of each type of collateral from separate neurons. The collateral from neuron X1 projecting into the perigeniculate nucleus is illustrated in figure 12. The terminal makes contact with a large proximal dendrite of a perigeniculate neuron (figure 12a). It can be seen that this collateral has round vesicles which are closely packed together (figure 12b).
The collateral terminating within lamina A originated from a cell that has not yet been otherwise analysed. This neuron was a Y-cell in the non-deprived lamina A of a monocularly lid-sutured cat. Figure 12c illustrates the fine structural morphology of this terminal. This terminal, like the terminal observed in the
perigeniculate neuron, also had round synaptic vesicles which were closely packed together. Despite coming from different cell classes, the appearance of the perigeniculate and intrageniculate collateral terminals described here are very similar and resemble r.s.d. terminals (but see Ide 1982).
Quantitative observations
Although the selected tissue was serially sectioned and stored, no attempt was made to reconstruct any parts of the neuron except in the cases noted below. That is, our principal aim was to determine the types, positions and relative number of synaptic complexes made on to the neuron rather than a complete count of all synapses. However, we did attempt to estimate this total number for two of the cells (X2 and Y2).
The first two neurons that we studied (X1 and Y1) were examined less systematically in order to obtain a rapid overview of their fine structural features. None the less, the data gathered from these cells, particularly in terms of percentages of synaptic types at various locations along the dendrites, were very similar to those of the second, more systematically examined, X- and Y-cell (X2 and Y2). The results of the analyses will be presented below in two ways. First, the relative number of each synaptic type at various distances away from the centre of the soma will be presented for all four neurons (X1, X2, Y1, Y2). Second, the data from cells X2 and Y2 will be used to obtain estimates of the total number, type and distribution of terminals made onto the entire dendritic arbor.
Relative distribution of synaptic types. Figure 13 shows the percentages of synapses from r.l.p., r.s.d., and f. terminals made onto the dendrites of each of the four neurons at increasing distances from the centre of the soma. An estimated total number or density of synapses could not be determined for X1 and Y1 owing to the less systematic sampling for these cells as noted above. The distance between each terminal and the centre of the soma was estimated by centring around the soma a series of concentric circles 50 μm apart and determining which annulus contained the terminal being studied. Two qualifications to these measurements must be noted. First, these distances are taken from the centre of the soma; the edge of the soma would be roughly 10–15 μm closer to the synapses. Second, the actual conduction path along a dendrite departs from a straight line, particularly for a more peripheral location with several branch points between it and the soma. The values of figure 13 may thus underestimate actual distances along dendrites. However, a vast majority of the dendrites were radially oriented away from the soma (figure 2), so that the distance along the dendrite would also be reasonably close to the radial distance for the 50 μm sections selected for fine structural examination (see also table 3 footnote).
From figure 13, it is clear that r.s.d. terminals, although they were numerically few (see figure 14), predominated on the distal dendrites (up to 90% of the total synapses in the region), but were rare (as low as 3%) very close to the soma. Overall, r.l.p. and f. terminals were relatively numerous near the soma and became less frequent at increasing distances along the dendrites. However, the X-cell and Y-cells differed in their relative ratios of r.l.p. and f. terminals. Within 100 μm of the centre of the somata, the two Y-cells had approximately equal percentages of f. and r.l.p.
Figure 13. Graphs of the percentage of each terminal type (r.l.p., r.s.d., f.) making a synapse on to the dendrites of the four cells studied. The abscissa gives the distance of the synapses from the centre of the soma for each cell. The ordinate value of each point was calculated by dividing the number of synapses of that type by the total of all of the synapses within each 50 μm annulus. Note that all four neurons have similar distributions of synaptic terminals onto their dendrites although the Y-cells tend to have a higher percentage of r.l.p. terminals (near the soma) than do the X-cells.
terminals, but the X-cells had at least three times as many f. as r.l.p. terminals. For the Y-cells, there were no retinal terminals seen beyond 100 μm of the centre of the soma. A few retinal terminals were seen onto peripheral appendages of the X-cells.
Although the f. terminals were especially numerous (up to 68% of the total synapses) near the areas where the retinal terminals formed synapses, the f. terminals also contributed a reasonable fraction (10–20%) of the total synapses on the distal dendrites where few or no retinal terminals were present. As previously mentioned, a major qualitative difference seen between the X- and Y-cells was the large number of f.2 type terminals associated with the X-cells compared to the Y-cells (see figures 5, 6, 8 and 9). Although we did not quantify the different f. terminal populations, the f.2 terminals for the X-cells appeared to be concentrated on the proximal dendrites, whereas the f.1 terminals were much less frequent and distributed rather randomly throughout the dendritic arbors. The Y-cells had many more f.1 terminals associated with their dendritic arbors than the X-cells. As discussed below, the difference in the types of f. terminals making contacts with X-cells and Y-cells seem to be intimately related to the presence of many triads and appendages for the X-cells.
Triadic arrangements. A triadic complex in the lateral geniculate nucleus is composed of a presynaptic terminal (usually an r.l.p.) that forms synapses upon both an f. terminal and a dendrite, and the f. terminal also forms a synapse onto the same dendrite (Colonnier & Guillery 1964; Jones & Powell 1969; Hámori et al. 1974; Rapisardi & Miles 1984; Lieberman & Webster 1974). In this paper, a further qualification for a triadic arrangement was that each synapse could participate in only one triad, and all three synapses were required to be within a reasonable distance of each other (about 2–3 μm). Such triads are not frequently observed in single thin sections because the plane of section rarely passes through all three synapses, but several were observed for cell X1. The serially reconstructed lengths of dendrites for neurons X2 and Y2 (figure 3, brackets) permitted us to observe all of the total synaptic arrangements within these areas. Specific attention was given to possible triadic arrangements. No triadic arrangements were seen for any of the r.s.d. terminals. For cell Y2, only one triadic arrangement was observed out of 15 r.l.p. terminals that contacted the proximal, reconstructed dendrite. This reconstruction extended 38 μm and included a branch point plus two appendages. No triadic arrangement was observed in any other section of either cell Y1 or Y2, proximally or distally. In contrast, the serial reconstruction (29 μm) of a proximal dendrite of X2 revealed eight triads out of nine r.l.p. terminals presynaptic to the dendritic appendages. Therefore, it was quite clear that the X-cells differed from the Y-cells in commonly exhibiting triadic arrangements as part of their retinogeniculate circuitry.
Another important feature of the triadic arrangement was the type of f. terminal involved. Only f.2 terminals were involved with triads, both for the X-cells and for the single triadic arrangement seen for cell Y2. The f.1 terminals did not participate in any triadic arrangements. The f.2 terminals receiving the r.l.p. synapse did not always contact the same appendage receiving the r.l.p. terminal. Instead, the f.2 terminals sometimes formed a synapse onto either the main dendritic shaft or onto the head of another appendage (figure 6).
Estimated total number and distribution of synapses. For the second X- and Y-cell that we analysed (cells X2 and Y2), a more systematic approach was made to determine the total afferent inputs to their dendrites. To avoid the extremely time-consuming process of serially reconstructing the entire dendritic arborizations of the neurons, a more practical approach was used which consisted of three steps. (i) After we selected the 50 μm thick Epon section(s) from which to obtain our thin sections, we serially thin-sectioned the trimmed block and closely examined every tenth thin section under the electron microscope. Each terminal having a synapse with the HRP-filled dendrites was photographed (at 10000–15000× and printed at 20000–30000×), classified, counted, and its position on the dendritic arbor noted. By this method, we obtained the type and position of the terminals on to a specified amount of dendritic material (table 2). (ii) Serial reconstructions were made of a length of one distal (54 μm) and one proximal dendrite (38 μm) from cell Y2 (see figure 3, brackets). Reconstructions were also carried out for X2 through one of its proximal dendrites (29 μm) including a ‘grape-like’ cluster. These serial reconstructions permitted us to estimate the error caused by using every tenth thin section for our counts rather than total serial reconstructions. That is, large synapses (for example, from r.l.p. terminals) might be overestimated
because they extended through more than ten thin sections (that is, they would be counted more than once), whereas small synapses (for example, from r.s.d. terminals) might be underestimated because many of them might lie in tissue between the sampled thin sections (that is, they would not be counted at all). The correction factors for these sampling errors were derived by dividing the actual number of synapses of that type on the reconstructed dendritic length by the
**Table 2. Synaptic counts actually made for neurons Y2 and X2. The estimated total synaptic counts and distributions of Figure 14 were derived from these numbers**
| distance from soma centre/μm | 0–50 | 51–100 | 101–150 | 151–200 | 201–250 | total counts |
|-----------------------------|------|--------|---------|---------|---------|--------------|
| **Y2** | | | | | | |
| r.l.p. | 32 | 28 | 0 | 0 | 0 | 60 |
| r.s.d. | 3 | 82 | 45 | 20 | 9 | 159 |
| f. | 50 | 44 | 8 | 2 | 2 | 105 |
| | | | | | | 325 |
| **X2** | | | | | | |
| r.l.p. | 15 | 21 | 1 | 5 | 0 | 42 |
| r.s.d. | 6 | 68 | 30 | 25 | 0 | 129 |
| f. | 64 | 60 | 7 | 7 | 0 | 138 |
| | | | | | | 309 |
**Table 3. Dendritic lengths†**
| distance from soma centre/μm | 0–50 | 51–100 | 101–150 | 151–200 | 201–250 | total |
|------------------------------|------|--------|---------|---------|---------|-------|
| **sectioned** | | | | | | |
| X1 | 82 | 353 | 388 | 117 | 0 | 940 |
| X2 | 171 | 118 | 140 | 130 | 5 | 564 |
| Y1 | 144 | 409 | 845 | 921 | 0 | 2319 |
| Y2 | 125 | 192 | 188 | 79 | 29 | 613 |
| **total** | | | | | | |
| X1 | 671 | 1373 | 1579 | 558 | 33 | 4214 |
| X2 | 1204 | 1682 | 855 | 283 | 38 | 4062 |
| Y1 | 1362 | 4073 | 5768 | 3014 | 948 | 15165 |
| Y2 | 1385 | 2521 | 1658 | 730 | 94 | 6388 |
† Measurements of the dendritic lengths (in micrometres) were estimated from two-dimensional drawings of these three-dimensional structures. Exceptions to this were made for the 50 μm thick sections used for quantitative synaptic counts. In these cases, any vertical or near-vertical dendrites were directly measured by using the plane of focus of the microscope and the calibrated focusing knob. Because the other dendrites in the remaining sections of each cell were not directly measured under the microscope, many of their dendritic lengths would have been underestimated. For the spherical or hemispherical Y-cells, the average angle out of the plane of section for a dendrite would have been 45 deg and the sine of this angle (0.71) would be the measured distance on a two-dimensional drawing (that is, a 29% underestimation of the true lengths). Therefore, we have divided all of the measured lengths for Y1 and Y2 by 0.71 to correct for this factor. This error would be less for the X-cells owing to their non-spherical dendritic arbors and our plane of section being near parallel to the directional spread of their arbors (estimated error about 8%, so measured lengths were divided by 0.92 to obtain the values in the table).
number obtained along that same dendritic length using every tenth thin section. The calculated values were as follows: r.l.p., 17/20 = 0.85; f., 67/45 = 1.49; r.s.d., 78/51 = 1.53. Therefore, r.l.p. synapses were overestimated by about 20%, but f. and r.s.d. synapses were underestimated by about 30%. (iii) The lengths of the dendrites from which we obtained our synaptic counts (that is, the length of *sectioned* dendrites within each 50 μm annulus) were measured. Also, the total length of all dendrites, sectioned and unsectioned, within each 50 μm annulus was measured (table 3). The synaptic counts were then corrected for each 50 μm annulus by using a multiplication factor derived by dividing the total dendritic length by the sectioned dendritic length. Figure 14 shows the estimates made for the total synaptic inputs to one X-cell and one Y-cell. A sample calculation for one of the estimates is given in the legend of figure 14.
Several conclusions can be drawn from figure 14. First, the total estimated number of synapses made onto both neurons is similar (about 4000 for cell X2 versus about 5000 for cell Y2). Compared to cell X2, cell Y2 has 72% more r.l.p. synapses, 38% more r.s.d. synapses, and 10% fewer f. synapses. Second, within 50 μm of the soma centre, the number of retinal synapses for cell Y2 is three to four times the number for cell X2, and there are few (cell X2) or no (cell Y2) r.l.p. synapses beyond 100 μm from the centre of the soma. Third, although in a relative sense the r.s.d. synapses are the most common type found on the distal dendrites (beyond 100 μm), none the less, there are more r.s.d. synapses found between 50–100 μm from the soma centre than distally. Fourth, f. synapses are present even on the distal dendrites where retinal synapses are scarce, but are clearly the most common synapses type nearer the soma. Qualitatively, we observed that the f. synapses were mostly located near the r.l.p. synapses.
**Density of synapses.** The total number of synapses is an important parameter concerning the afferent input to a neuron, but the density of terminals onto the dendrites at various locations may be of equal or greater importance. For each terminal type, figure 15 shows the estimated density of synapses (synapses per unit length) for each synaptic type as a function of distance from the soma centre. The combined total dendritic tree length was 6388 μm for cell Y2 and 4062 μm for cell X2. The average number of synapses of any type per micrometre of dendritic length was about 0.9 for cell Y2 and about 1.0 for cell X2. The majority of these terminals made synapses in the region 50–150 μm from the centre of the soma, which is also the region that contains most of the dendritic length. Nevertheless, the density of synapses is also highest in this area (1.9 μm⁻¹ for cell X2 and 1.1 μm⁻¹ for cell Y2). Beyond about 100 μm from the centre of the soma, the amount of dendrites decreases, but the number of synapses has dropped even more such that the density reduces to a fairly constant number of approximately 0.4 synapses per micrometre of dendritic length.
**Discussion**
Our fine structural observations from two X-cells and two Y-cells within the A laminae of the lateral geniculate nucleus have shown that there are many similarities among these neurons. Although the entire dendritic arbors were not
Figure 14. Graphs of total estimated number of synapses being made onto the dendrites of an X-cell (X2) and a Y-cell (Y2) as a function of distance from the centre of the soma. To derive these estimates, actual counts from table 2 were multiplied by the appropriate correction factor (see Results section entitled Estimated number and distribution of terminal types) and then adjusted for the total dendritic length within each 50 μm annulus (from table 3). For example, 45 r.s.d. synapses (table 2) were counted from 188 μm of sectioned dendrite (table 3) for Y2 in the 101–150 annulus. The adjustment for using every tenth thin section instead of serial reconstructions was 1.53. The corrected total dendritic length for this annulus was 1658 μm. The adjustment for total r.s.d. synapses on all of the dendrites in this annulus would be 1658/188 = 8.82. Therefore, the 45 r.s.d. counts were multiplied by correction factors of 1.53 and 8.82 to give a total of 607 estimated r.s.d. synapses along the dendrites of Y2 between 101–150 μm from the soma centre. (a) and (b) Comparisons of all three terminal types for each cell. (c), (d) and (e) Separate comparisons between the X- and Y-cell for each terminal type.
sampled, we believe that the observations are representative for each entire neuron because of their general consistency. This is particularly true for the cytological morphology and synaptic percentages. However, there are also some striking differences in the distributions of the terminals near regions of the retinal synapses: triads and f. 2 type terminals are common in these regions for the X-cells, but rare for the Y-cells. These morphological differences indicate that the retinal signals are processed in a distinctly different manner by X- and Y-cells.
Figure 15. Graphs of the density (number per micrometre of dendritic length) of each synaptic type (r.l.p., r.s.d., f.) as a function of distance from the centre of the soma. The points were derived simply by dividing the estimated number of each type within each 50 μm annulus (figure 13) by the total dendritic length for that annulus (table 3). (a) and (b) Comparisons of all three terminal types for each cell. (c), (d) and (e) Separate comparisons between the X- and Y-cell for each type of synapse.
Relative percentages
Previous investigators who have examined the percentages of different terminal types within the neuropil of the lateral geniculate nucleus (cat: Guillery 1969; monkey: Wong-Riley 1972; Wilson & Hendrickson 1981) found that 15–20% of all terminals were retinal (r.l.p.), 30–40% had pleomorphic or flattened vesicles (f) and about 40–50% were r.s.d. type terminals. Our data from four individually analysed neurons show that each of these neurons has relative numbers of these terminal types that are in fair agreement with these previous studies. That is, when all of the terminals of each type on each of our neurons are considered without regard to their dendritic position, their relative numbers are representative of those
in the surrounding tissue. However, it is quite clear that the distribution of terminal types is not uniform along the dendrites of single neurons. The f. terminals predominate close to the soma, while r.s.d. terminals are the major type on the intermediate and distal dendrites. Guillery (1969) reached a similar conclusion on the basis of the diameters of the postsynaptic dendritic elements.
**R.l.p. terminals**
R.l.p. terminals are not very numerous anywhere on the dendritic arbor, but they are concentrated near the proximal branch points, which are also where many dendritic appendages often occur. Thus, three of the striking features of the synaptic distributions are the relatively small number of contacts made onto each neuron by retinal terminals, their proximal location within the dendritic arbor, and their selective contact with appendages, particularly for X-cells. Clearly from other physiological evidence the retinal terminals are particularly potent inputs to these neurons. Although these terminals are a minority of the total synapses, it seems safe to assume that their locations near the soma helps them to dominate the firing pattern of the neurons. For the two Y-cells, the r.l.p. terminals do not even extend beyond 100 μm from the centre of the soma, and this means that total dendritic spread cannot correspond with the distance of retinal afferent sampling. This also means that the dendrites that cross laminar boundaries (from Y-cells) are unlikely to be activated by retinal afferents from the opposite eye. Most of the synapses on the distal dendrites are of the r.s.d. type and are probably from cortex, and because single axons from cortex ramify across laminar borders (Guillery 1966, 1967; Tömböl 1966; Szentágothai 1973; Robson 1983), the significance, if any, of any dendrite crossing into another lamina is obscure.
**F. terminals**
These synaptic profiles are believed by many to mediate inhibitory responses in the lateral geniculate nucleus (Famiglietti 1970; Famiglietti & Peters 1972; Pasik et al. 1973; Hámori et al. 1974; Pasik et al. 1976; Sterling & Davis 1980; Montero & Scott 1981; Wilson & Hendrickson 1981; O’Hara et al. 1983; see Peters et al. (1976) for a review of these structure–function correlations). Although the evidence for this assumption is sparse and indirect, it stands as a likely possibility. Also, Famiglietti (1970) in the cat and Lieberman (1973) in the rat have shown that some f. terminals in the lateral geniculate nucleus are presynaptic dendrites. Our data do not address these points, but do show that f. terminals make a large contribution to the synaptic inputs of all four neurons, particularly near the retinal inputs. Presumably these spatial relationships have some as yet undetermined role in the regulation of retinogeniculate transmission (Singer 1978; Burke & Cole 1978).
**R.s.d. terminals**
Whereas retinal terminals are the predominant excitatory input near the soma (if f. terminals are presumed to be inhibitory), r.s.d. terminals rapidly become the predominant synaptic type only a few tens of micrometres beyond the retinal terminals and dominate on the intermediate and distal dendrites. Light microscopic observations suggest a massive input to the lateral geniculate nucleus from the
visual cortex (Guillery 1967; Hollander 1972; Gilbert & Kelly 1975; Updyke 1975; Robson 1983). Following visual cortical lesions, many r.s.d. terminals degenerate in the lateral geniculate nucleus (Jones & Powell 1969; Szentágothai et al. 1966; Pasik et al. 1973; Winfield et al. 1975), and this indicates that many or most of the r.s.d. terminals arise from corticogeniculate axons. However, intrageniculate collaterals of geniculocortical axons may also show degeneration from cortical lesions. Present data (Guillery 1967; Friedlander et al. 1981; Stanford et al. 1983) indicate that these collaterals probably constitute a small proportion of the degenerating axons that are observed, but without more definite data, their relative number remains unknown. Nevertheless, our tentative assumption is that most r.s.d. terminals in the lateral geniculate nucleus arise from corticogeniculate axons. Because each of our sampled neurons was a relay cell and had many hundreds of r.s.d. terminals, it seems clear that corticogeniculate axons terminate onto relay cells (Robson 1983) and not just onto interneurons (Dubin & Cleland 1977).
The great density of r.s.d. terminals at an intermediate distance from the soma indicates that these synapses could make more than just a small modulatory contribution in influencing the action potentials of the neurons, but investigators have reported little trans-synaptic excitation of relay cells following electrical stimulation of visual cortex or optic radiation (however, see Ahlsén et al. (1982), and for a review see Singer (1978)). However, one of the requirements for the r.s.d. terminals to function fully might be a synchronous firing pattern. Synchrony is much more likely to occur from r.l.p. synapses, because each geniculate cell receives its main excitatory retinal input from only one or a few ganglion cells (Cleland et al. 1971). It is possible that many of the r.s.d. synapses might be from axons of different cortical neurons (Robson 1983), and the stimulus conditions may have to be quite strict for the cortical ensemble to maximally influence the geniculate cell. Furthermore, many experiments designed to examine corticogeniculate effects (cooling cortex, etc.) have observed that the cortical influences are complex but weak (Geisert et al. 1981; Marrocco et al. 1982; for previous work see reviews by Burke & Cole (1978) and Singer (1978)). Certainly, cable theory of dendritic function (Rall 1977) suggests a significant role in synaptic transmission for these r.s.d. terminals, given their positions and densities on the dendrites. Because most of the effects so far seen are not nearly as strong as expected from this data, it seems likely that strict stimulus conditions are necessary to influence strongly the cells (for example, Schmielau & Singer 1977; Tsumoto et al. 1978). Conversely, the postsynaptic potentials produced by these profiles might be smaller than those from the retinal terminals, resulting in little or no direct action potentials generated from the neuron, but modulating the level of excitation for other inputs.
**Total synaptic inputs**
Our estimates for neurons X2 and Y2 indicate that they received a total of about 4000–5000 synaptic contacts on their dendritic arbors with the greatest number and density of synapses occurring at 50–100 μm away from the soma. Because neuron Y2 has a hemispherical arrangement of its dendrites rather than the more typical sphere seen for Y-cells, the synaptic counts might represent only about one-half of that for cell Y1. A Sholl ring analysis (Sholl 1955; see table 1 footnote)
also indicates this may be the case because the total dendritic intersections for cell Y1 was 142 and only 74 for cell Y2. However, a previous Sholl ring analysis of Y-cells (Friedlander et al. 1981) places a value of 142 near the upper limit for Y-cells, whereas 74 falls nearer the middle of the range for both X- and Y-cells (X1 had 63 dendritic intersections). Therefore, our synaptic counts for cells X2 and Y2 may be representative of average neurons in the lateral geniculate nucleus. If so, then many geniculate neurons receive about 300–600 r.l.p. synapses, about 1900–2600 r.s.d. synapses, and about 1800–2000 f. synapses. More neurons will have to be analysed to determine how reliable these estimates prove to be. To summarize these results in a graphic manner, the diagram of figure 16 shows the synaptic relations for an X-cell and a Y-cell including the relative number and distribution of the synaptic types.
**Figure 16.** Diagrammatic representation of the distribution of synaptic terminals onto a dendrite of an X- and Y-cell, respectively. Only a single dendrite for each cell type is schematized owing to size and space limitations. Each type of synaptic terminal (r.l.p., r.s.d. f.) is represented by a different symbol. Triadic arrangements are also shown with a separate symbol. The density (synapses per micrometre of dendritic length) of each synaptic terminal type is also represented in the figure by the relative number of synapses along the dendrite. Dendritic appendages are denoted by the T-shaped attachments to the dendrites. Although all of the small squares represent f. terminals, many or most of these may be further divided into f. 1 and f. 2 types. A quantitative judgement was not made for each f. type, and they are therefore shown as equal for both the X- and Y-cell. However, the triadic arrangements always involved clear f. 2 type terminals and were very prominent for the X-cells. Also, there appeared to be a predominance of f. 1 type terminals onto the Y-cells. As presented in this diagram, the X-cell differs from the Y-cell in having many triadic arrangements involving retinal inputs and f. 2 type terminals. When present on a Y-cell, dendritic appendages are contacted by retinal terminals, but there are almost no triadic arrangements formed. Also the Y-cell has more r.l.p. terminals closer to the soma than does the X-cell.
**Relay cell collaterals**
Many geniculate relay neurons send collaterals into the perigeniculate nucleus as their axons ascend to the visual cortex (Jones 1975; Ferster & LeVay 1978; Ahlsén et al. 1978; Friedlander et al. 1981; Stanford et al. 1983). Some also have collaterals within the lateral geniculate nucleus (Friedlander et al. 1981; Stanford et al. 1983). Our fine structural examination of the morphology of a single sample of each type of collateral indicate that these terminals contain round vesicles and make
asymmetrical synapses. They are similar to geniculocortical terminals (LeVay 1973; LeVay & Gilbert 1976) and to corticogeniculate r.s.d. terminals (Jones & Powell 1969; Pasik et al. 1973; Winfield et al. 1979). Although some relay cell collaterals could be mistaken for corticogeniculate r.s.d. terminals, Ide (1982) described similar terminals in the perigeniculate nucleus and suggested that they have enough characteristics that are different from r.s.d. terminals to distinguish them as a separate terminal type. She calls these r.l.d. terminals.
The significance of the intrageniculate collaterals is uncertain because the dendritic position and type of cell these terminals contact is not known. Their relative sparseness, particularly from Y-cells (Friedlander et al. 1981), suggests a lesser influence in geniculate processing compared to other sources. None the less, these collaterals do exist and should not be functionally dismissed. By using similar reasoning, the position of geniculate relay cell collateral terminals onto the very proximal dendrites of cells in the perigeniculate nucleus indicates that they constitute a functionally important source of input to these cells. Electrophysiological data also demonstrate that geniculate relay cells greatly influence the cells of the perigeniculate nucleus (Dubin & Cleland 1977; Ahlsén & Lindström 1982). Additionally, perigeniculate cells send their own axons back into the laminae of the lateral geniculate nucleus (Ahlsén & Lindström 1978). In the rat these axons end as f.1 terminals (O’Hara et al. 1980; Montero & Scott 1981). Therefore, the perigeniculate nucleus seems to be involved in an inhibitory feedback loop, and this loop is capable of being influenced from the cortex and brainstem (see Singer (1978) and Burke & Cole (1978) for reviews). Owing to the abundant number of f.1 synapses made onto Y-cells, as opposed to the triadic arrangements using f.2 synapses for X-cells, this perigeniculate nucleus loop may play a more significant role for visual processing in the Y-cell than in the X-cell pathway. In any case, it is not at all clear what function the perigeniculate loop provides, although several suggestions have been published (for example, Singer 1978; Dubin & Cleland 1977; So & Shapley 1981; Schmielau 1979), and we also cannot be sure that the f.1 terminals we have seen in the cat are actually from the axons of perigeniculate neurons.
**Dendritic appendages**
For both X- and Y-cells, every dendritic appendage had associated with it an r.l.p. and usually an f. terminal. Furthermore, appendages were the main points of r.l.p. contacts for the two X-cells of this sample, whereas the Y-cells had most of their r.l.p. contacts onto proximal dendrites and along secondary dendrites near the primary branch points. This suggests that, in X-cells, dendritic appendages should play a significant role in the processing of retinal signals. The function of dendritic appendages (usually called ‘spines’ in many cases) is not known, although several theories have been published (Chang 1952; Diamond et al. 1970; Peters & Kaiserman-Abramov 1970; Swindale 1981; Crick 1982; Koch & Poggio 1983). Many of these authors have pointed out that the small neck of the appendages is likely to produce an increase in the resistance along the electrotonic route to the soma, resulting in a reduction in the effectiveness of a retinal action potential at the soma or initial segment. The total effect might then be a reduction in the transfer function between the optic tract axons and geniculate neurons; that is, the action potentials produced in the geniculate neuron from its retinal input(s)
would be less than if the r.l.p. synapses occurred directly onto the main dendrites. Consistent with this are the observations that geniculate X-cells, which typically have many dendritic appendages, exhibit much less spontaneous activity than do their retinal afferents, whereas Y-cells typically have few appendages and exhibit nearly the same activity as their retinal inputs (Bullier & Norton 1979; Fukuda & Stone 1976). Although Friedlander et al. (1981) have described some Y-cells with numerous appendages, we have not yet studied one at the electron microscopic level. From the above discussion, it is possible that spiny Y-cells might have a reduced transfer function.
**Triadic arrangements**
The serial reconstructions of short lengths of dendrites for cells X2 and Y2 demonstrated that, along with the dendritic appendages, there were many triads related to retinal inputs for the X-cell, but very few such arrangements for the Y-cell. The data are consistent with the observations of Rapisardi & Miles (1984) that dendrites with many appendages have more triads than do dendrites with few or no such appendages. Additionally, the f. terminals associated with triads (for either X- or Y-cells) were of the f. 2 type, whereas most f. terminals not associated with triads were morphologically different (and typically of the f. 1 type). This difference in synaptic morphology suggests that at least these two f. types probably represent different classes rather than ends of a continuum. The association of triads with X-cells means that these cells are greatly influenced by a presumptive inhibitory population of terminals that is not predominant on Y-cells. Conversely, f. 1 terminals probably influence Y-cells more than X-cells. Thus, visual information appears to be modified by specific morphological substrates which differ between X- and Y-cells. The source of these different f. terminals remains an important question for future study.
As with dendritic appendages, the functional significance of the triads in the lateral geniculate nucleus is unknown. They are most likely to be related to inhibition involving the retinal afferent signals (for example, Lieberman & Webster 1972; Pasik et al. 1976; Stevens & Gerstein 1976). Differential inhibitory influences have been observed for X- versus Y-cells (Fukuda & Stone 1976; Singer & Bedworth 1976), but triadic arrangements would not seem to be necessary to mediate such inhibition; that is, no retina-to-f. synapses are required. Bullier & Norton (1979) have suggested that signals from the retina along the X-cell pathway to cortex are modified by the triadic arrangements, whereas the signals along the Y-cell pathway are basically unaffected. Rapisardi & Miles (1984) have suggested that triads mediate a feed-forward inhibition which causes the X-cells of the lateral geniculate nucleus to be less transient in their response than their retinal X-cell inputs. The reason for any of these possibilities is still obscure, but it seems clear from many studies that the X-cell system in the cat's lateral geniculate nucleus uses inhibitory mechanisms more than Y-cells and triads undoubtedly are the morphological substrate for some of these mechanisms. In this regard, one possible function of the circuitry of the lateral geniculate nucleus would be to modify incoming retinal signals of X-cells as a first step in central visual processing, whereas the Y-cell system would produce little change in this respect.
We are indebted to Ms Susan Van Horn for her expertise and exceptional diligence in carrying out the electron microscopy and many other aspects of this project. Our appreciation also extends to Mrs Joan Sommermeyer, Ms Angela Gero and Ms Pamela Morton. This research was supported by U.S.P.H.S. grant EY03604 and RR00165.
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Osteoporosis and fragility fractures
A policy toolkit
The Health Policy Partnership
This toolkit was initiated and funded by Amgen (Europe) GmbH. See back cover for full details.
About this toolkit
Research, coordination and drafting of *Osteoporosis and fragility fractures: a policy toolkit* were led by Kirsten Budig, Ed Harding, Taylor Morris and Jody Tate of The Health Policy Partnership (HPP), with research assistance from Emily Kell.
HPP is grateful to the members of the project’s Working Group and Parliamentary Forum, who closely guided the toolkit’s development:
- **John Bowis**, Honorary Patron, Health First Europe; Former Health Minister, UK; Member of the European Parliament for the UK
- **Cyrus Cooper**, President, International Osteoporosis Foundation; Professor of Rheumatology and Director, MRC Lifecourse Epidemiology Unit; Vice-Dean of Medicine, University of Southampton; Professor of Epidemiology, Nuffield Department of Orthopaedics, Rheumatology and Musculoskeletal Sciences, University of Oxford, UK
- **Pernilla Gunther**, Project Manager, FOKUS Patient; Former Member of Parliament, Sweden
- **Marian Harkin**, Former Member of the European Parliament for Ireland
- **Paul Mitchell**, Communications Director, Fragility Fracture Network; Honorary Departmental Senior Research Fellow, Nuffield Department of Orthopaedics, Rheumatology and Musculoskeletal Sciences, University of Oxford, UK
- **Adrian Sanders**, Secretary General Parliamentarians for Diabetes Global Network; Former Member of Parliament, UK
Additional acknowledgement and thanks to the experts who provided interviews, document review, feedback and/or comments on drafts:
- **Clive Bowman**, Visiting Professor of Gerontology, School of Health Sciences, City, University of London, UK
- **Karsten Dreinhöfer**, Chair, Global Alliance for Musculoskeletal Health of the Bone and Joint Decade (G-Musc); Professor, Department of Orthopedics and Traumatology Medical Park Berlin Humboldtmühle and Charité Universitätsmedizin Berlin, Germany
- **Mickaël Hiligsmann**, Associate Professor of Health Economics and Health Technology Assessment, Maastricht University, the Netherlands
- **Timo Järmsä**, President, European Alliance for Medical and Biological Engineering & Science; Professor, Medical Technology, University of Oulu, Finland
- **Nadia Kamel**, Project Officer, Eurocarers
- **Andréa Marques**, Professor, Nursing School of Coimbra; Registered Nurse of Rheumatology, Centro Hospitalar e Universitário de Coimbra, Portugal
- **Maria Teresa Parisotto**, Chief Nurse Advisor, Fresenius Medical Care; upcoming Executive Director, European Specialist Nurses Organisation
- **Didier Poivret**, Rheumatologist, Regional Hospital Metz-Thionville, France
- **Wolfhart Puhl**, Professor Emeritus, University Ulm, Germany; Past President, European Federation of National Associations of Orthopaedics and Traumatology
- **Marcel Sneets**, Senior Consultant, European Ageing Network
- **Stacy Yghemonos**, Director, Eurocarers
Finally, we are grateful to the individuals who took the time to be interviewed for the country profiles included in this toolkit:
- **Casandra Cristea**, Project Manager, Centro associazione, Italy
- **Ansa Holm**, Executive Director, Finnish Osteoporosis Association, Finland
- **Conor Hurson**, Clinical Orthopaedic Lead, Irish Hip Fracture Database, Ireland
- **M Kassim Javaid**, Associate Professor in Metabolic Bone Disease, University of Oxford, UK
- **Andreas Kurth**, Professor, Campus Kemperhof, Community Clinics Middle Rhine; Chairman, Dachverband Osteologie, Germany
- **Michaël Laurent**, Board Member, Belgian Bone Club; Consultant, Centre for Metabolic Bone Diseases, University Hospitals Leuven; Attending Geriatrician, Department of Geriatrics, Imelda Hospital Bonheiden, Belgium
- **Jan van Megen**, Senior Director Marketing & Academy Europe, Arjo, Netherlands
- **Moira O’Brien**, Emeritus Professor of Anatomy, Trinity College Dublin; President, Irish Osteoporosis Society, Ireland
- **Diana Păun**, Associate Professor of Endocrinology, Cl Parhon National Institute of Endocrinology, Carol Davila University of Medicine and Pharmacy, Romania
- **Olli Simonen**, Chairman, Finnish Osteoporosis Society, Finland
- **Pauliina Tamminen**, Self-management Coordinator, Finnish Osteoporosis Association, Finland
- **Sari Törmänen**, Executive Director, Carers Finland, Finland
- **Thierry Thomas**, Professor of Medicine and Head of Rheumatology, University Hospital St Etienne, France
- **Anne Thurston**, Head of Quality Improvement, Royal Osteoporosis Society, UK
What is this toolkit and who is it for?
We have developed this toolkit to drive the policy changes needed to ensure that best-practice care is available to the millions of osteoporosis patients in Europe, so they can avoid fractures and maintain their quality of life, mobility and independence.
This toolkit is for policymakers working at all levels, with three key aims:
- Raising awareness of the challenges associated with osteoporosis and fragility fractures for people in Europe, and their impact on health systems and societies
- Analysing and presenting the critical health system barriers and gaps which are hindering access to clinical best practice in Europe
- Supporting policymakers to implement key policy actions required to ensure people have access to the care and support they need to maintain their independence and quality of life.
This toolkit recognises, pays respect to and builds on existing landmark research, projects and reports, such as the International Osteoporosis Foundation’s report *Broken bones, broken lives: A roadmap to solve the fragility fracture crisis in Europe,* the Fragility Fracture Network’s 2018 *A global call to action to improve the care of people with fragility fractures* and many more, which are noted in the [Supporting resources section (page 58)](#).
This policy toolkit aims to be a natural extension of this earlier work but is also distinct in representing a wide multidisciplinary consensus based on the perspectives of policymakers, patients, carers, clinicians and non-profit organisations, while maintaining a policy focus specifically for a parliamentary audience.
Dedication
This toolkit is dedicated to the millions of people in Europe living with osteoporosis and fragility fractures, both today and in the future, and to the policymakers, patient and carer associations, clinicians and non-governmental organisations that have demanded and achieved powerful changes in the lives of people with osteoporosis and fragility fractures. It is our hope that this toolkit can take its place alongside these tireless endeavours and that, together, we can demand the change that is needed at the highest levels to ensure that no one is left behind.
On behalf of the Working Group and Parliamentary Forum and The Health Policy Partnership
## Contents
**Call to action** .................................................................................................................. 8
**Executive summary** ........................................................................................................ 12
**Making the case** ................................................................................................................ 14
What are osteoporosis and fragility fractures and what impact do they have on people’s lives? ................................................................................................................................. 15
The cost of inaction: the economic case for change ................................................................ 18
Delaying the decline in bone health ....................................................................................... 20
Prevention of osteoporosis across the life course ................................................................... 22
**Building blocks of an effective policy response** ................................................................. 23
1. **Building a system that works:** policies for scrutiny, accountability and investment .................................................................................................................................................. 24
2. **Catching it early:** detection and management in primary care ........................................ 28
3. **Getting people back on track:** facilitating multidisciplinary care post-fracture ............ 32
4. **Supporting quality of life as part of healthy and active ageing:** prevention of falls and fractures in later life .................................................................................................................. 36
5. **Engaging patients and public:** awareness, activation and self-management .................. 40
**Case studies** ...................................................................................................................... 44
**Supporting resources** ....................................................................................................... 58
What are osteoporosis and fragility fractures? ..................................................................... 59
Political Q&A .......................................................................................................................... 60
Key readings ............................................................................................................................ 62
References ............................................................................................................................... 64
**Appendix: Country profiles** ............................................................................................... 72
Belgium .................................................................................................................................. 73
Finland ................................................................................................................................... 77
France .................................................................................................................................... 81
Germany ................................................................................................................................ 86
Ireland ................................................................................................................................... 92
Italy ....................................................................................................................................... 97
The Netherlands .................................................................................................................... 102
Romania ................................................................................................................................ 106
Spain .................................................................................................................................... 110
UK ....................................................................................................................................... 114
Call to action
By 2025, it is estimated that **4.5 million fragility fractures** will occur in the European Union (EU) each year, and that 34 million people will be living with osteoporosis, a chronic disease which weakens bones and leaves people at risk of a fragility fracture.\(^1\)
**Few diseases affect so many of us as we grow older:** 1 in 2 women and 1 in 5 men over 50 will experience a fragility fracture in their lifetime\(^2\) – often leading to a loss of mobility and independence.\(^3\)
**This represents a huge economic burden.** Fragility fractures cost EU healthcare systems €37.4 billion\(^1\) and account for around 3% of healthcare costs, significantly higher than for many other leading chronic diseases.\(^3,5\)
Yet osteoporosis and fragility fractures have for too long been ignored in health policy and European research agendas.\(^6,7\) Even policies, strategies and programmes that focus on healthy ageing and women’s health may ignore the impact of osteoporosis and fragility. This has left millions of people – mostly women – without access to the care and support they need to live full, independent lives.
By prioritising osteoporosis and fragility fractures, gender differences in health and wellbeing can be reduced.\(^8\) In addition, the quality of life of older people can be enhanced and the financial sustainability of our already stretched healthcare systems can be strengthened.
As the authors, contributors and supporters of this policy toolkit, we cannot accept a future where preventable fragility fractures are allowed to cause such needless suffering and cost. The time has come for urgent action on osteoporosis and fragility fractures, uniting patient, carer and clinical leadership with wider societal and political advocacy actors in order to strengthen the call for change.
We endorse the policy aspirations of the International Osteoporosis Foundation and the Fragility Fracture Network’s call to action\(^9\) and seek to play our part in building wider societal and political awareness for progress and change.
---
**Call to action on European institutions**
The European Union should recognise the scale of societal and structural interests at stake, and foster strategic cooperation between countries.
European institutions, including the European Commission (EC) in cooperation with Member States and the European Parliament, should:
- Continue to support the European Innovation Partnership on Active and Healthy Ageing (EIP on AHA) as a coordination platform which allows partners to pool resources and share experiences in pursuit of innovative solutions to healthy and active ageing. Support for the partnership should continue beyond 2020 and consider widening its scope to include fragility fracture prevention.
- Continue to invest in Joint Actions which support the prevention of fragility fractures and falls. The CHRODIS+ Joint Action on chronic disease and the ADVANTAGE Joint Action on frailty end in 2020. Future initiatives should include a focus on osteoporosis and the prevention and management of fragility fractures.
- Ensure osteoporosis and fragility fractures are included in eligible activities funded under the European Social Fund Plus (ESF+). ESF+ activities in health must support Member States to recognise the central role of improving prevention and care for osteoporosis, fragility fractures and falls.
- Include prevention of fragility fractures in the joint Organisation for Economic Co-operation and Development (OECD)/EC publication *Health at a Glance: Europe* as well as the ‘State of Health in the EU’ cycle. Although time to surgery following hip fractures is included, prevention of fractures must be prioritised.
- Ensure specific attention for osteoporosis and fragility fractures by the Steering Group on Health Promotion and Prevention and by the Expert Panel on Effective Ways of Investing in Health. Statements and recommendations could be prepared to specifically support improved identification and management of osteoporosis through screening and effective fragility fracture prevention.
- Prioritise fragility fracture and falls prevention in European-level occupational health and safety initiatives. The EU’s Occupational Safety and Health Strategic Framework, as well as future initiatives in this domain, must recognise the importance of reducing falls at work and propose concrete measures to minimise fragility fractures among older workers.
- Support and coordinate pan-European research on osteoporosis and fragility fractures, via Horizon-Europe’s health cluster. Research could be devoted to better understanding methods for identifying people at risk of fragility fractures and to test innovative prevention and care models.
- Support activities in the European Parliament which seek to address osteoporosis and fragility fractures. Concerned stakeholders could, for example, seek interest from MEPs in the formation of an interest group on osteoporosis and fragility fractures.
Non-EU countries may take inspiration from these recommendations, in addition to the call to action to national leadership on page 10.
Call to action on national leadership
Historical failures in the care of osteoporosis and the prevention of fragility fractures are profound and will not be resolved without political, whole-system leadership.
We call on policymakers to ensure public policy is fit-for-purpose in light of future demands. Specifically, we call on governments, parliaments, payers and national public health institutes to, at a minimum:
- Integrate osteoporosis, fragility fractures and falls prevention into high-level national strategies and plans for health and healthcare, including those which aim to address chronic diseases and women’s health.
- Acknowledge the huge significance of fragility fractures by ensuring they are integrated into wider societal plans, including those for population health, healthy ageing, long-term care including informal care, and workforce productivity.
- Develop a national consensus on preventing fragility fractures through more systematic identification of people with osteoporosis. This should include consideration of screening specific groups. Any national decision on screening must be based on national epidemiological and economic data, including the feasibility and cost-effectiveness of integrating osteoporosis screening alongside other screening programmes such as those for breast cancer.
- Adopt and encourage the implementation of clinical guidelines for osteoporosis and fragility fracture prevention and care. These guidelines should be available in the national language and, at a minimum, include nationally approved risk assessment tools, as well as timely referral and access to osteoporosis diagnosis.
- Ensure reimbursement structures reflect national scientific consensus on detection, care and prevention for osteoporosis and fragility fractures. Reimbursement decisions should reflect the true costs of fragility fractures to the wider healthcare system and society. At a minimum, there should be reimbursement for nationally recommended diagnostic tools (such as dual-energy X-ray absorptiometry (DXA) scanning and the Fracture Risk Assessment Tool (FRAX®)) and treatments.
- Develop nationwide registries and audits to enable local-level monitoring and surveillance of patient health outcomes. This should include collecting and monitoring data on the diagnosis of osteoporosis and for the prevention and care of fragility fractures, spanning hip and vertebral fractures at a minimum. Policymakers should also consider how these data could be used to incentivise improvements in the quality of care.
- Actively support efforts to improve public awareness of osteoporosis, fragility fractures and falls prevention. This includes ensuring people have a clear understanding of their personal risk factors and the preventive options available to them.
Call to action on regional and local systems
Improvements to people’s lives will ultimately be driven by improved access to appropriate prevention and care at a local level.
We call on health system leaders, including payers and the medical community, to invest in sustainable, multidisciplinary care models for osteoporosis, fragility fracture and falls prevention, which span hospital, primary and community care settings. This will require:
- Primary care professionals to take a leadership role in the detection, management and care of osteoporosis and fragility fractures. Specific roles and responsibilities in primary care should be developed with professional bodies and payers. Delegation to other roles (e.g. pharmacists, specialist nurses and physiotherapists) should be considered alongside requirements for professional education and training for all involved.
- Every country to adopt and implement approved clinical guidelines for osteoporosis and fragility fracture prevention and care. These guidelines should be available in the national language and, at a minimum, should include nationally approved risk assessment tools, as well as timely referral and access to DXA for adequate diagnosis of osteoporosis.
- Every locality to develop and adopt an osteoporosis and fragility fracture care pathway. This should include the development of local criteria to establish whom the pathway should be applied to.
- Ensuring the availability of person-centred multidisciplinary models of care with demonstrated impact on reducing the risk of repeat fractures and death. At the very least, every general hospital should offer orthogeriatric services and a coordinated follow-up service (e.g. fracture liaison service) so that every fracture patient has the option to be treated or referred there for care and immediate follow-up post-fracture. This care should be delivered in a way that addresses people’s needs and preferences.
- Ensuring a comprehensive falls assessment is available for every geriatric patient. This should be available in clinical settings as well as community settings (such as specialist housing and people’s own homes) and offer the opportunity for self-assessment. It should bring together multidisciplinary input and risk factor management for falls alongside detection and treatment of osteoporosis.
Osteoporosis is a chronic disease which weakens bones and leaves people at risk of a fragility fracture.\(^3\) Bones weaken naturally as people age, but factors such as menopause, taking certain medications and poor nutrition can hasten this process and lead to osteoporosis.\(^8\)-\(^11\)
Fragility fractures are often life-changing events, bringing pain, isolation and dependency.\(^12\) What were once simple, everyday tasks can become difficult or even impossible. The reduction in quality of life and fear of falling can also place a significant toll on the mental health of patients and their informal carers.\(^13\)
The number of people who have osteoporosis and experience a fragility fracture is alarmingly high. Osteoporosis affects 21% of women and 8% of men aged 50–84 in the EU.\(^3\) This contributes to a situation whereby every day, nearly 10,000 fragility fractures occur,\(^1\) most of which are among women over the age of 50.
Yet most patients are still being failed by healthcare systems, and too many fractures occur that could be prevented. Even after a fracture, 60–85% of women in Europe do not receive treatment.\(^1\) Rates of medication use are actually decreasing,\(^14\) and access to the most effective models of fragility fracture care in hospital and following discharge is the exception, not the rule.\(^1\)
Fragility fractures represent a significant economic burden on healthcare systems and societies in Europe. They account for around 3% of EU countries’ healthcare costs, which is significantly higher than for many other leading chronic diseases, such as stroke and coronary heart disease.\(^3\),\(^5\)
As populations across Europe age, the scale of this burden is set to grow,\(^1\) representing a significant challenge to healthcare sustainability. The number of fragility fractures is expected to rise by almost a quarter by 2025, leading to a 22% increase in fracture-related healthcare costs.\(^3\)
Yet effective clinical and service models exist to prevent fragility fractures and maintain independence – the challenge is implementing them at scale. We can:
- **Identify people early.** Early identification and initiation of treatment can reduce the risk of hip fracture by around 30%.\(^15\)
- **Provide best-practice hospital care for fracture patients to ensure the best chance of recovery.** International guidelines exist for fragility fracture care and are most effectively delivered when implemented by a multidisciplinary team.\(^16\)-\(^18\)
- **Reduce the risk of subsequent – and often more serious – fractures after discharge.** Proven models of integrated care, such as fracture liaison services, can be used to identify fracture patients and signpost them to preventive follow-up care services.\(^19\)
- **Assess a person’s risk of falls and take appropriate preventive actions.** Comprehensive rehabilitation, assessing and adapting living environments, improving balance through exercise and medication reviews can all reduce the risk of falls.\(^20\)-\(^22\)
- **Empower people by raising awareness and understanding of their risk of fragility fractures and help them to make the changes needed to reduce it.** People who understand their fracture risk may seek health professional advice and recognise the importance of consistently implementing preventive strategies such as lifestyle modifications and treatment.\(^23\)
What are osteoporosis and fragility fractures and what impact do they have on people’s lives?
Osteoporosis is a chronic disease that weakens bones, leaving them prone to fractures
Osteoporosis is characterised by low bone mass, which depends on bone development during childhood and adolescence and how quickly bone mass is lost through adulthood.\textsuperscript{24-25} While bone development is influenced by genetic and biological factors, such as sex and age (see below), a number of lifestyle factors also play a role including nutrition and physical activity.\textsuperscript{20} Bone mass naturally decreases in older age, but low body weight, inadequate physical activity, smoking, alcohol consumption and certain medications contribute to more rapid bone loss.\textsuperscript{26}
Osteoporosis is typically a ‘silent’ disease which can often progress without symptoms until its most severe consequence, a fragility fracture, is experienced. Fragility fractures are fractures which occur with often surprisingly modest stresses and impacts that would not be expected to cause breakages in healthy bones. The most common fragility fractures are hip, spine (vertebral), forearm and upper arm (humeral).\textsuperscript{3}
Fragility fractures can be life-changing events, with severe physical and psychological consequences
Pain and limited mobility following a fragility fracture mean people are often at risk of losing their independence, a widely feared consequence. In a study among women at high risk of a hip fracture, 80% said they would rather die than experience the loss of independence attributed to a hip fracture.\textsuperscript{17} The experience of a fracture can further cause anxiety due to a fear of falling, self-image issues and the limitations associated with carrying out day-to-day activities.\textsuperscript{4,27}
Family and friends can suddenly find themselves becoming carers with often limited support. National programmes are often insufficient or difficult to access, leaving people to manage the emotional and financial burden of becoming an informal carer without the support or guidance they need.\textsuperscript{28,29}
Having a fracture can change your life completely. People often feel they are no longer the masters of their lives and can’t look after themselves independently. Normal, everyday activities can become very difficult and painful. In addition, you may suddenly face high costs and you cannot go to work.
ANSA HOLM, FINNISH OSTEOPOROSIS ASSOCIATION
Older women are most at risk of osteoporosis and associated fractures, but men are also at risk
While lifestyle factors can influence the development of osteoporosis, the most common risk factors are being female and older age.\textsuperscript{30–31} With advancing age, bone structures become weaker and bone mass decreases progressively; as a result, the proportion of people with osteoporosis increases. In addition to lower bone mass, older people are also at greater risk of falls, making them particularly prone to fragility fractures.\textsuperscript{32–34}
Being female is a major risk factor due to differences in bone structure and metabolism, particularly the loss of oestrogen following menopause.\textsuperscript{35} While women make up the large majority of people who experience fragility fractures, men are also at risk. Although men initially experience a slower decline in bone mass than women, by the age of 65, the rate of loss of bone mass is the same for both sexes. As men are often older when they experience a fragility fracture, the consequences can be more severe, including a higher risk of death.\textsuperscript{35–38}
Gender bias in healthcare can impede diagnosis and effective treatment of people with osteoporosis or at risk of a fragility fracture
Women are often disadvantaged due to disparities in provision of care. For example, men are more likely than women to be referred to certain specialists\textsuperscript{39} and women are more often diagnosed with medically unexplained pain than men, potentially preventing appropriate diagnoses and leading to poor perceptions of healthcare.\textsuperscript{40} As a disease that largely affects women, osteoporosis is too often ignored in healthcare.\textsuperscript{39,40}
The perception that osteoporosis affects only women, however, means men are less often screened and treated for osteoporosis following a fracture, and less evidence exists for their diagnosis and therapy.\textsuperscript{41} Ultimately, if healthcare professionals and the public keep underestimating the risk of osteoporosis in women, it is likely to be even less recognised among men.
The burden of osteoporosis and fragility fractures in Europe is significant and growing
In the EU, osteoporosis affects around 21% of women and 6% of men between the ages of 50 and 84.\textsuperscript{3} Globally, as many as one in two women and one in five men over 50 will experience a fragility fracture in their lifetime.\textsuperscript{3} The burden of fragility fractures varies across Europe, with much higher rates in northern European countries compared to countries in the south such as Spain and Portugal.\textsuperscript{3}
Fragility fractures are a major driver of preventable deaths and disability
Fragility fractures are associated with increased risk of death and disability, and more frequent hospital admission.\textsuperscript{41} Globally, the burden of years lived in poor health due to osteoporosis is greater than that caused by cancers (except for lung cancer) and is comparable to or greater than that of many other non-communicable diseases, such as asthma and hypertension-related heart disease.\textsuperscript{42} Hip fractures have been found to at least double the risk of death for both men and women.\textsuperscript{38,43} In 2010, 43,000 deaths in the EU were causally related to fractures.\textsuperscript{44}
It’s been called an invisible disease… number one, you don’t have symptoms beforehand, and number two, it affects older women much more so than any other group – and older women tend to be invisible.
MARIAN HARKIN, FORMER MEP, IRELAND
The cost of inaction: the economic case for change
The economic impact of fragility fractures is significant and is set to rise quickly if no action is taken. By supporting the implementation of available cost-effective prevention strategies, policymakers can help reduce the burden of fractures on health systems and the wider economy.
Fragility fractures represent a significant cost to EU health systems
Fragility fractures incur billions of euros of medical costs each year, putting significant pressure on health systems.\textsuperscript{46} On average, fragility fractures represent 3% of countries’ healthcare spending, estimated at €37.4 billion across the EU in 2010 – rising to €98 billion when taking into account the impact on health-related quality of life.\textsuperscript{3} This financial burden is higher than for many other major non-communicable diseases. For example, the EU’s direct healthcare costs in 2015 were estimated at €20 billion for stroke and €19 billion for coronary heart disease.\textsuperscript{4}
Europe’s population is ageing and will increasingly be affected by fragility fractures
The EU has one of the most rapidly ageing populations in the world.\textsuperscript{46} As a result, health expenditure will continue to increase.\textsuperscript{47–48} In this context, the number of people living with osteoporosis in the EU is expected to increase by almost a quarter, from 27.5 million in 2010 to 33.9 million in 2025.\textsuperscript{49} Similarly, the number of fragility fractures in the EU per year is also expected to rise from around 3.5 million in 2010 to nearly 4.5 million by 2025.\textsuperscript{50}
These changes will have a significant impact on fragility-fracture-related healthcare costs. Healthcare costs associated with fragility fractures are expected to rise by 22% between 2010 and 2025. This will vary by country, ranging from an increase in healthcare costs due to fragility fractures of between 5% in Bulgaria and 44% in Ireland.\textsuperscript{51}
In an ageing population with an ageing workforce, fragility fractures have a significant and growing impact on workforce productivity
As Europe’s population ages, the proportion who are of working age and paying taxes is shrinking, increasing financial pressure on health and social care services to cover the increasing costs of osteoporosis and fragility fractures. In 2016, there were 3.4 people of working age for every person aged 65 or over in the EU\textsuperscript{46} – by 2050, it is estimated that there will be fewer than two people of working age for every person aged 65 or over in the EU.\textsuperscript{49}
At the same time, the workforce in the EU is ageing, as a growing number of older people remain in work beyond the age of 65.\textsuperscript{47–49} While this will, to some extent, mitigate the financial pressure on health services noted above, it will also increase the prevalence of chronic conditions – including osteoporosis and fragility fractures – among the working population. Unless action is taken to prevent fragility fractures, this is likely to have a significant impact on workforce productivity as sickness absence rates are often highest among workers aged 65 and over.\textsuperscript{51}
In addition, individuals who have experienced a fracture may rely on informal care from friends and family,\textsuperscript{52} many of whom may need to cut down their working hours or leave paid employment due to difficulties in balancing paid work with care responsibilities.\textsuperscript{1,52–53}
Cost-effective ways to prevent fragility fractures and improve patient outcomes include osteoporosis medication and integrated post-fracture care
Responding to the fragility fracture crisis requires more consistent implementation of cost-effective and cost-saving screening, treatments and services.\textsuperscript{10} In general, osteoporosis medication is cost-effective and even cost-saving when given to individuals at high risk of fracture and taken consistently.\textsuperscript{54–55} However, cost-effectiveness relies on treatment being continued,\textsuperscript{55–57} so implementing services that support people to take their medication regularly is essential.\textsuperscript{58} A simulation model in Sweden, for example, showed that if people who were prescribed osteoporosis medication stayed on treatment for 50% longer, a total of €3.3 million would be saved over 10 years.\textsuperscript{59}
Implementing models of integrated post-fracture care is vital to improving treatment outcomes in a cost-effective way.\textsuperscript{10} A number of proven programmes\textsuperscript{60–61} and orthogeriatric services\textsuperscript{62} have been shown to increase the likelihood that people will continue to take their medication and prevent fractures while also being cost-effective.\textsuperscript{18} Fracture liaison services (FLS), the most widely evaluated model, are consistently shown to be cost-effective or cost-saving.\textsuperscript{19–20,63} In the UK, for example, nationwide implementation of FLS could significantly improve the quality of care and help to reduce fractures with no additional cost to the health system; in fact, cost savings would be highly likely.\textsuperscript{64}
More than 7.6m sick days were taken due to fragility fractures in France, Germany, Italy, Spain, Sweden and the UK in 2017\textsuperscript{1}
Over the coming years, the proportion of the retired population will dramatically increase in the whole of Europe. It is imperative that we maintain the mobility and independence of older people.
PAUL MITCHELL, FRAGILITY FRACTURE NETWORK
Without lifelong prevention and timely intervention, age and other key risk factors can lead to a gradual decline in bone mass and an increased risk of fragility fracture. This can have a serious, often irreversible impact on overall health and physical functioning, even with high-quality care and rehabilitation.
This figure outlines the changing needs of people with osteoporosis as their condition develops and their risk of a fragility fracture changes. It also points to key opportunities which, if harnessed, can delay the decline of bone health and prevent fractures.
**Changing fracture risk and impact on health and quality of life**
**Whole population**
- **Population:** All ages and both sexes.
- **Impact:** If risk factors are not managed, bone health declines.
- **Key goal:** Maintain bone health and delay onset of osteoporosis and fragility fracture risk.
**People with an increased risk of fracture**
- **Population:** People for whom a combination of decrease in bone mass and other factors (lifestyle, health status) warrants medical intervention to better manage risk. Mostly includes post-menopausal women; however, other groups can also be affected.
- **Impact:** First fragility fractures can be distressing and often indicate the progression of bone fragility and growing risk of fractures.
- **Key goal:** Preserve physical function and avoid fractures and falls.
**People with severe risk of fracture**
- **Population:** People with well-established osteoporosis, frailty and/or other risk factors. This includes people who have already experienced serious fractures. Many are older and are also living with other chronic diseases.
- **Impact:** Fragility fractures can cause deteriorating overall health and physical function and can even lead to death. Many people struggle to regain independence, instead experiencing high care and support needs.
- **Key goal:** Avoid debilitating fractures and maximise quality of life.
**Building blocks of an effective policy response**
**Good bone health across the life course**
- Promote healthy lifestyles and behaviours to maintain good bone health.
**Catching it early**
- Develop and implement national guidance on early identification.
- Provide training and support for primary care professionals.
- Integrate osteoporosis and fracture risk identification into person-centred care models.
**Getting people back on track**
- Ensure access to multidisciplinary acute (in hospital) care and rehabilitation.
- Ensure access to coordinated post-discharge care through models such as fracture liaison services.
**Supporting quality of life as part of healthy and active ageing**
- Ensure comprehensive falls risk assessments are routinely undertaken in older and frail populations.
- Incentivise collaboration between health and social care services.
**Building a system that works**
- Integrate fragility fracture prevention into European and national policies and strategies.
- Establish comprehensive fracture registries and audits.
- Ensure reimbursement structures support access to best-practice care.
**Engaging patients and public**
- Build patient and public awareness of osteoporosis and fragility fractures as a serious health concern.
- Prioritise person-centred care, including empowering people to understand their risk of fragility fractures, contribute to decisions about their care and management, and optimise their role in preventive behaviours.
Promoting a healthy lifestyle at all ages will be important in reducing the burden of osteoporosis for future generations in Europe. Smoking, alcohol consumption, unhealthy diets and lack of exercise cause a range of chronic diseases and contribute to approximately 790,000 deaths every year in the EU.\textsuperscript{60} Given that these lifestyle factors from conception through to old age can also affect the risk of osteoporosis and related fractures, there is a need for governments to continue to support health and wellbeing across the whole life course.\textsuperscript{25}
Encouragingly, many countries have published national prevention strategies which aim to improve population health and prevent disease.\textsuperscript{48–49} The need to address these risk factors and improve prevention strategies has also been recognised by policymakers at the European level.\textsuperscript{61}
Such strategies could also impact osteoporosis and fragility fracture prevention in the long term by including bone health as a specific target. For example, healthy bone development may be improved by promoting adequate vitamin D intake during pregnancy and throughout childhood, and by supporting good nutrition and sufficient exercise in the whole population.\textsuperscript{24} Policies to prevent smoking and limit alcohol consumption may also help to reduce the number of people who develop osteoporosis, further justifying preventive measures and investment to achieve these wider goals.
However, as with many chronic conditions, disease-specific and healthcare focused efforts are needed to deliver outcomes for those populations at the greatest risk in the short to medium term. We do not have the luxury of focusing solely on population-wide health; chronic conditions such as osteoporosis are becoming more common and the number of fragility fractures is rising.\textsuperscript{1} This points to the critical need for investment in more effective prevention policies and programmes.\textsuperscript{39}
While this policy toolkit recognises the essential role of improving population health for the prevention of osteoporosis and fragility fractures, it prioritises improving care for those people who are already at risk.
1. Building a system that works: policies for scrutiny, accountability and investment
To ensure health systems in Europe are prepared to respond to the growing burden of fragility fractures, health and social services must be improved for people before and after they have had a fracture. This will require buy-in from stakeholders at all levels and a supportive policy environment in which osteoporosis is recognised as a priority.\textsuperscript{44} Three cross-cutting elements are required to ensure clinical care is optimised across the whole patient journey:
A. **Integrating osteoporosis and fragility fracture prevention into European and national policies and strategies:** Strategic leadership in policy development is key to ensuring long-term investment and accountability, as is a clear vision of current and future demand on the healthcare system, and the setting of achievable and measurable targets in pursuit of justified long-term goals.
B. **Establishing comprehensive registries and audits:** The availability of high-quality data on osteoporosis and fragility fractures is essential for effective scrutiny, performance management and planning, and can create vital feedback at the national and local level.
C. **Setting up reimbursement structures:** Adequate reimbursement needs to be in place to ensure access to best-practice care at all levels of service delivery. Where helpful, this should consider the wider costs of failing to prevent fractures across the whole pathway.
**A. Integrating fragility fracture prevention into European and national policies and strategies**
Osteoporosis and fragility fractures are highly relevant for European policy initiatives and strategies concerned with non-communicable diseases, healthy ageing, women’s health, health inequalities and social care. Often, however, these initiatives and strategies have not included or prioritised osteoporosis or fragility fractures.\textsuperscript{45}
Recognising osteoporosis and fragility fractures as important components in European and national policies would support the development and implementation of vital services. National strategies or action plans often support implementation of population-wide programmes such as education and awareness campaigns.\textsuperscript{44} Recognition at the national policy level would also support greater investment in, for example, registries, diagnostic tools such as dual-energy X-ray absorptiometry (DXA) scanning\textsuperscript{70} and preventive strategies such as medication.\textsuperscript{64}
Yet osteoporosis and fragility fractures have received limited attention in European health policy to date and have not been identified as a priority in most European countries.\textsuperscript{44} Despite concerted international efforts to put both on the political agenda,\textsuperscript{12} they are not generally viewed with a sense of urgency even though they impose a significant burden.\textsuperscript{44, 70–73} As of 2013, most EU Member States (18) had not identified osteoporosis as a policy priority.\textsuperscript{44} France, Italy and the UK are among the few countries included in our analysis that have recognised osteoporosis as a key priority at policy level.\textsuperscript{12–15}
Osteoporosis and fragility fractures are rarely featured in national policies for chronic disease, healthy ageing and women’s health. Health strategies across European countries have recognised the critical role of reducing frailty and maintaining mobility as part of healthy ageing and prevention.\textsuperscript{76} Yet osteoporosis does not usually appear in national prevention strategies.\textsuperscript{47} In policies for chronic disease, other conditions such as diabetes\textsuperscript{77} and heart disease\textsuperscript{78} have received considerably more attention from European policymakers.\textsuperscript{47} A recent analysis showed that musculoskeletal health, which includes osteoporosis and fragility fractures, was only included in half of non-communicable disease strategies for OECD countries.\textsuperscript{79} Few countries specifically address women’s needs in national health policy.\textsuperscript{19–21} In those that do, osteoporosis is often absent despite its significant impact on women’s health.\textsuperscript{19–22}
Governments should encourage national consensus on falls and fracture prevention to provide a clear, unified perspective on the policy changes which are needed and how different sectors can work together. The formation of alliances and greater dialogue between different stakeholders including policymakers, health professional societies, the private sector and non-governmental organisations is critical.\textsuperscript{48} This alliance building is already underway in some countries in Europe (Greece, Italy, Norway, Spain and the UK),\textsuperscript{54–58} being spearheaded by leading organisations working in osteoporosis and fragility fracture prevention such as the Fragility Fracture Network (FFN) and the International Osteoporosis Foundation (IOF). This focus on national consensus-building is critical in developing and communicating a unified, national call for policy change.
B. Establishing comprehensive registries and audits
Policymakers require quality data on osteoporosis diagnosis and treatment, and on fragility fractures, with which they can plan and assess services. These data, however, tend not to be comprehensive, comparable or evenly spread within countries and across Europe. Fracture registries are hugely helpful in this regard, but many that used to be well established in northern Europe, there are relatively few in southern and eastern parts of the region.\textsuperscript{36} In addition, most European countries do not collect data on the number of all types of fragility fractures. In 2013, comprehensive national fracture registries existed in only 12 countries in the EU.\textsuperscript{44} The majority of existing registries focus on hip fractures, while data on other fragility fractures, such as vertebral and forearm fractures, remain undocumented or under-reported in most EU countries.\textsuperscript{3,87}
Regular clinical audits can act as a driver to rapidly improve clinical practice.\textsuperscript{45} Regular national hip fracture audits, for example, have been shown to improve care standards in several countries such as the UK and Spain.\textsuperscript{88–90} Introducing such audits for other types of fractures, such as vertebral fractures, could have a similar effect.
Across Europe, there is great variation in terms of how data on fragility fractures are collected and analysed, limiting policymakers’ ability to compare performance between countries. National reports vary in both the quality and amount of data they capture, for example regarding their inclusion criteria or definitions used.\textsuperscript{91,67} To address this, various recent initiatives have developed standard indicators with the intention of establishing common international data sets. These include the FFN Minimum Common Dataset, adopted by several European countries including Spain.\textsuperscript{92}
C. Setting up reimbursement structures
Availability of adequate funding and reimbursement structures is essential in supporting access to high-quality care. Cost-effective strategies need to be tailored to the national context and adequately resourced to ensure best-practice fragility fracture care is implemented at scale.\textsuperscript{93} The paucity of osteoporosis-focused policies, however, has resulted in limited and underfunded fracture prevention services.\textsuperscript{71}
Reimbursement for diagnosis of osteoporosis is often lacking or restricted.\textsuperscript{13,38,44} Reimbursement for DXA scanning, a key step in the diagnosis of osteoporosis,\textsuperscript{44} is insufficient in many EU countries.\textsuperscript{13} While 24 Member States provide at least partial reimbursement for DXA scanning, only 10 countries (Denmark, Finland, Greece, Latvia, Luxembourg, the Netherlands, Portugal, Slovenia, Spain and Sweden) are considered to have good access to it.\textsuperscript{13} One reason for this is that, in many cases, reimbursement is limited to specific circumstances. For example, reimbursement may be provided only for patients aged over 65 (Austria), only for women (Hungary), or only if the result is positive for osteoporosis (Bulgaria).\textsuperscript{44}
Reimbursement for osteoporosis medication is also often restricted, likely contributing to the shockingly low treatment rates for osteoporosis across Europe.\textsuperscript{13} The proportion of osteoporosis care costs associated with medication is minimal, amounting to less than 5% in many EU countries.\textsuperscript{13} Despite this, only five Member States (Austria, Italy, Slovenia, Sweden and the UK) provided full, unconditional reimbursement of at least one osteoporosis treatment in 2013.\textsuperscript{13} In other countries, limited reimbursement can make treatment unaffordable for people or restrict it to specific groups.\textsuperscript{44} For example, Italy and Poland have imposed age restrictions,\textsuperscript{44} and co-payments in Spain and Finland present a barrier to treatment use among disadvantaged groups.\textsuperscript{14,93}
Clinical guidelines are not enough to effect change – only governments can ensure appropriate funding structures and incentives are in place. We must make sure each stage in the patient journey is appropriately resourced and financed.
JOHN BOWIS, FORMER MEP, UK
2. Catching it early: detection and management in primary care
Five things you need to know
1. There are proven methods and clear guidance for identifying and treating people at high risk of fragility fractures which, if implemented, can prevent fractures from occurring.\textsuperscript{94}
2. Primary care professionals can play a central role in identifying and managing people at high risk.\textsuperscript{73} \textsuperscript{95}
3. Fragility fractures are commonly overlooked in primary care consultations, however, and people at risk are often identified only after a fracture, or not at all.\textsuperscript{94} \textsuperscript{96}
4. Gaps in knowledge and a lack of prioritisation among primary care professionals, in addition to a lack of incentives, play a role in hindering the early identification and effective management of people at risk of fragility fractures.\textsuperscript{57} \textsuperscript{96}
5. Policymakers should foster the use of existing evidence-based and effective strategies for risk identification and management in primary care.
What is it and why is it important?
Identifying people at high risk is vital in preventing fractures and enabling people to maintain independence and quality of life.\textsuperscript{78} When a fracture occurs, people often face a significant loss of independence and may not be able to regain their pre-fracture quality of life.\textsuperscript{90} Once people at high risk are identified, a range of often simple, low-cost measures can contribute to improved bone health and lower fracture risk. Osteoporosis medication can reduce the risk of fragility fractures by 30–70% depending on pre-existing risk factors, type of medication and type of fracture.\textsuperscript{94}
Primary care professionals can play a crucial role in detecting and managing people at high risk of fragility fractures.\textsuperscript{78} As the first point of contact and provider of routine care, primary care professionals often have the opportunity to detect osteoporosis. In many countries, they can also play a critical role in prescribing and monitoring treatments which reduce the risk of sustaining a fragility fracture.\textsuperscript{44} \textsuperscript{98}
How do we know it works?
Implementing targeted screening for osteoporosis in primary care among older, postmenopausal women offers the opportunity to effectively prevent fragility fractures from occurring. Recent randomised studies have delivered feasible and cost-effective approaches. A large UK study, for example, showed that community screening among women aged 70–85 years using the Fracture Risk Assessment Tool (FRAX\textsuperscript{®}) reduced the number of hip fractures by 28% while also being cost-effective.\textsuperscript{15} \textsuperscript{94} Furthermore, screening also led to women at high risk of fractures taking their anti-osteoporosis medication for longer.\textsuperscript{100} However, it has been noted that more evidence is needed, as, for example, none of the screening approaches piloted in Europe reduced the number of all symptomatic osteoporosis-related fractures.\textsuperscript{94} \textsuperscript{101} \textsuperscript{102}
Primary care professionals have a range of evidence-based and effective tools available to implement targeted screening and manage people at risk of a fragility fracture. Risk assessment tools such as FRAX\textsuperscript{®}, which take into account several risk factors such as age, gender, lifestyle and bone mineral density (BMD), can accurately predict fracture risk and help inform treatment decisions.\textsuperscript{103} \textsuperscript{104} In addition, the comprehensive geriatric assessment (CGA) provides an opportunity to assess bone health as part of a holistic appraisal of health and wellbeing and to initiate treatment for those found to have a high risk of fragility fracture. It has been shown to be cost-effective and to improve patient outcomes.\textsuperscript{105} \textsuperscript{106}
What is the current situation?
Across Europe, primary care frequently fails to detect people at high risk of a fragility fracture and initiate appropriate treatment.\textsuperscript{54–56} A recent European study in primary care found that of those women at increased risk of fragility fracture, less than a third were diagnosed with osteoporosis and almost three quarters were untreated.\textsuperscript{13} Similarly, data from the Netherlands found that the proportion of people officially diagnosed with osteoporosis was just 4.3% of women and 0.5% of men aged 50 years and over, representing up to five times less than the proportion of the population estimated to be living with the condition.\textsuperscript{45–52} Alarmingly, in some cases, rates of diagnosis have been in decline: in France, there has been a decrease in the number of BMD assessments each year by approximately 6% despite good availability of DXA machines to assess BMD.\textsuperscript{53,108}
This is partly due to fragility fractures being under-recognised and under-prioritised in many primary care consultations. The severity of fragility fractures is often underestimated among primary care physicians\textsuperscript{57} and management of fracture risk factors frequently appears to fall to the sidelines in light of the person’s other, often serious, care needs.\textsuperscript{58,110,111}
Gaps in evidence and a lack of national consensus on best practice for identifying people at high risk of a fracture likely contribute to a wide variation in clinical practice.\textsuperscript{59} The early detection of osteoporosis, such as it happens, is mostly through opportunistic case finding (e.g. on a person-by-person basis), rather than the systematic assessment of people with risk factors. Currently, screening for osteoporosis is not reimbursed in the EU, but Poland is planning to launch a national screening programme for osteoporosis in 2023.\textsuperscript{12}
Furthermore, in many countries, primary care professionals are not adequately equipped to identify and manage people at high risk of a fragility fracture. Barriers include gaps in understanding of when and how to investigate fracture risk and a lack of incentives to encourage detection.\textsuperscript{57,106} As a result of low levels of knowledge, primary care physicians may be uncertain about the safety and effectiveness of these tools and medications,\textsuperscript{58,109} hindering their ability to implement guideline-recommended care.\textsuperscript{113} In addition, in some countries including Spain, there is no consensus or clear guidance on the risk assessment tools and criteria to be used to support primary care professionals in initiating treatment.\textsuperscript{114}
What needs to be done?
It is crucial that policymakers support the development of clear national guidance on identifying people with osteoporosis, which is informed by national scientific consensus. The current evidence base for screening is inconclusive\textsuperscript{112} but, as it evolves, policymakers must develop a position on which groups should be assessed, which healthcare professionals should be involved (including a possible role for pharmacists) and how the results should be interpreted. Guidance should be developed in collaboration with leading clinicians and academics.
Primary care professionals must be provided with the training, support and tools they need to effectively identify and manage people at risk of osteoporosis and fragility fractures. Osteoporosis and fragility fractures should be included in all educational curricula for healthcare professionals. Training should include risk assessment tools developed for use in primary care, appropriate referral pathways, and tools to support decisions on treatment which take into account the other conditions and treatments that a person may be managing.
Osteoporosis and fragility fractures must be integrated into existing person-centred care models with proven effectiveness. These models include, for example, frameworks for the comprehensive management of the older and frail population, such as the CGA.\textsuperscript{115–117}
Preventing any kind of fragility fracture from occurring in the first place is a huge opportunity – both in terms of maintaining people’s quality of life and sparing health systems and society the costs and lost productivity these fractures cause.
CYRUS COOPER,
INTERNATIONAL OSTEOPOROSIS FOUNDATION
Case study
Healthy Kinzigtal (Gesundes Kinzigtal), Germany
3. Getting people back on track: facilitating multidisciplinary care post-fracture
Five things you need to know
1. People who have sustained a fragility fracture are at five times greater risk of having a second fracture within one year.\textsuperscript{18} It is crucial to identify these people and prevent subsequent fractures.
2. European health systems have so far failed to close the osteoporosis treatment gap; most people who are eligible do not receive the risk-reducing treatment they need.\textsuperscript{3,44}
3. Excellent care and rehabilitation following a fracture, involving a multidisciplinary team of orthopaedics, traumatologists, geriatricians, nurses, physiotherapists and other health professionals, is the first step to ensuring positive outcomes.\textsuperscript{1,119}
4. There are effective models for multidisciplinary, coordinated post-discharge care to reduce long-term fracture risk, but the quality and accessibility of those services vary widely across Europe.\textsuperscript{19}
5. Investment in proven best-practice models is needed across Europe to increase access to high-quality post-discharge care and improve long-term patient outcomes.
What is it and why is it important?
The care people receive in hospital following a fragility fracture will impact on their recovery and their independence after discharge.\textsuperscript{36} Among people with hip fractures, up to 10% are likely to die while in hospital, and only half will regain the same function that they had before the fracture.\textsuperscript{120} This can, in part, be remedied through the implementation of best-practice in-hospital care.\textsuperscript{46}
Following treatment of a fragility fracture, it is vital that patients have access to services that can prevent subsequent fractures. People who have sustained a first fragility fracture are at significantly higher risk of a subsequent fracture once they have been discharged, including more severe fractures in other parts of the body.\textsuperscript{47} Services to prevent subsequent fractures may involve osteoporosis screening, initiation of treatment and referral to specialist services such as rehabilitation and falls prevention programmes. In addition to specialist services, primary care should be involved in the long-term management of fracture risk.\textsuperscript{46}
How do we know it works?
There are various components of in-hospital care that have a significant impact on outcomes including the risk of subsequent fractures and death.\textsuperscript{1,119} International guidelines for the management of fragility fractures in hospitals include standards for time to surgery, assessment of future risk and early introduction of post-fracture rehabilitation.\textsuperscript{1} In addition, a crucial component of in-hospital post-fracture care is the delivery of orthogeriatric services, which involve orthopaedics, geriatrics and other specialties working together to care for fracture patients.\textsuperscript{1,119} For example, timely surgery and coordinated treatment plans led by orthogeriatricians have been shown to significantly reduce the risk of death in the short- and long-term and the likelihood of complications and prolonged hospital stays.\textsuperscript{16} In addition, orthogeriatric services can reduce the length of hospital stay and the need for rehabilitation services, resulting in considerable cost savings.\textsuperscript{121}
Without the implementation of integrated post-fracture care, patients are left to fracture again.
KASSIM JAVAID, OXFORD UNIVERSITY HOSPITAL
Existing and proven models of integrated care seek to assess fracture patients in hospital settings and support the coordination of their care and prevention, both before and after they have been discharged. FLS, for example, are a widely implemented coordinator-based model of care aiming to identify people at risk of subsequent fractures and signpost them to preventive follow-up care services.\textsuperscript{122} This model of care has been recently noted by the EC’s Expert Panel on Effective Ways on Investing in Health as an innovative model.\textsuperscript{123} While there is considerable variation in the services delivered by FLS, they generally include at least one of three key components: identification, investigation and initiation of interventions.\textsuperscript{10} Not surprisingly, FLS models that deliver more of the key components result in a greater proportion of people being investigated for osteoporosis and initiated on treatment.\textsuperscript{124}
**What is the current situation?**
Alarmingly, across Europe, most people do not receive risk-reducing treatment after a first fracture, significantly increasing the likelihood of sustaining a subsequent fracture. Depending on the country, 60–85% of women with osteoporosis do not receive treatment within the first year after a fracture.\textsuperscript{1} A recent study from Germany, for example, showed that doctors in orthopaedic and trauma departments failed to diagnose osteoporosis in 70% of fracture patients, leaving them untreated and at risk of another fracture.\textsuperscript{125}
**Implementation of multidisciplinary, integrated models of care varies within and between countries.** Very few hospitals appear to have structured services in place to prevent a subsequent fracture. Finland has developed nurse-led post-fracture services, which are recommended in national guidelines.\textsuperscript{126} In Germany, however, only a minority of hospitals have a referral pathway for post-fracture patients in place, leaving up to 88% of patients discharged without clear treatment recommendations.\textsuperscript{127,128} In Romania, post-fracture follow-up investigation and treatment is usually not carried out in the hospital where the fracture was treated, but must be initiated in primary care and then undertaken by a specialist,\textsuperscript{129} contributing to some people who are eligible for treatment not receiving it.\textsuperscript{1} In 2013, only eight EU countries (Austria, Cyprus, Czech Republic, Estonia, Finland, Hungary, the Netherlands and Sweden) had FLS in over 10% of hospitals, while six countries (Greece, Latvia, Luxembourg, Portugal, Romania and Slovakia) had FLS in under 1% of hospitals.\textsuperscript{44}
The resources required to initiate new services may be perceived as a barrier to implementation. Referral services such as FLS are consistently shown to be cost-effective and sometimes cost-saving.\textsuperscript{130} Considerable investment is required, however,\textsuperscript{129} which may deter policymakers from making investment decisions in a climate of increasing pressure on healthcare budgets and competing disease areas that need to be addressed.\textsuperscript{131}
There are several best-practice case studies at the national level from which other countries can learn. The UK provides valuable lessons in terms of driving best-practice delivery of orthogeriatric care of hip fracture patients. Its National Hip Fracture Database, which is used to audit hospital performance in hip fracture care and prevention of a subsequent fracture,\textsuperscript{132} has been instrumental in supporting improved management of hip fractures in hospital. The Best Practice Tariff, a financial incentive scheme, has also had a considerable impact on achievement of best-practice standards.\textsuperscript{133} A similar incentive scheme has recently been introduced in Ireland, and is supporting improved outcomes in people with hip fractures.\textsuperscript{134} Orthogeriatric care models have been established in various countries, including Spain, Germany and the Netherlands, although practice and outcomes vary significantly between hospitals.\textsuperscript{86,135-136}
Important efforts are also underway to promote the establishment of FLS globally and to ensure greater adherence to best-practice standards. To this end, a global recognition scheme, IOF Capture the Fracture\textsuperscript{®}, has been developed.\textsuperscript{137} Its best-practice framework sets out quality standards to prevent subsequent fractures and provides a suite of resources to support their implementation in different healthcare settings.\textsuperscript{122} Within the first year, 60 hospitals signed up for the scheme, of which 27 achieved a gold rating, the highest recognition.\textsuperscript{138}
**What needs to be done?**
Policymakers should ensure the implementation of best-practice in-hospital care for fracture patients so that people can quickly regain their independence and mobility. Options for encouraging widespread implementation of best-practice care should be considered, including the possible use of incentives to encourage clinicians to deliver specific components of high-quality care.
Policymakers need to support coordination between existing services, to ensure more patients have access to multidisciplinary care models such as FLS.\textsuperscript{10} This will ensure patients at high risk of a fracture benefit from the seamless transition to follow-up care and receive all necessary services. This will require consistent collaboration between primary care, orthopaedics, rheumatologists, geriatrics and other services.\textsuperscript{10}
4. Supporting quality of life as part of healthy and active ageing: prevention of falls and fractures in later life
What is it and why is it important?
In the older population, falls are an important risk factor for major fractures and often mark a watershed moment in rapid deterioration of health and functioning.\textsuperscript{128-130} Among women, 80% of fractures occur over the age of 70 and, of these, 90% are the result of a fall.\textsuperscript{130} After the first fall, people often become afraid of falling again, leading to reduced strength and mobility and further increasing the risk of subsequent falls.\textsuperscript{142} For older people, major fragility fractures can result in rapid physical decline even with best-practice care in hospital. The risk of dying in the first year after a hip fracture can be as high as 28% for people over the age of 60.\textsuperscript{130,143,144} In many cases, a major fragility fracture marks the end of independent living: one in four hip fracture patients who were previously independent are discharged to a care home.\textsuperscript{150}
Integrating falls prevention and promotion of bone health into health and social care services could help older people maintain their independence and enhance their quality of life.\textsuperscript{148,150-154} Given the high costs of falls and care for associated fractures, often in residential care settings, prevention provides an opportunity to save costs for health and social care.\textsuperscript{145}
This involves a comprehensive assessment including the risk of falls and interventions to adequately respond to a person’s care needs.\textsuperscript{148,149,154} Key measures to prevent falls and fractures comprise: multimodal exercise, including strength resistance training; a critical review of current medication; and initiation of treatment for osteoporosis and other conditions which may increase the risk of falls.\textsuperscript{148} The assessment should also include an analysis of behavioural and environmental aspects which have led to the fall, and the removal of potential hazards that could cause the fall such as inadequate handrails, poor lighting and inappropriate footwear.\textsuperscript{138,144}
Fragility fractures are often just as life-changing for the close family member or friend who must become a carer – they often feel unprepared for the role and may struggle to access information and support. In most cases, they are also older adults who may have health concerns and care needs themselves.
NADIA KAMEL, EUROCARERS
Five things you need to know
1. The consequences of fragility fractures are more severe in the older population, often resulting in reduced independence, immobility or transition into long-term care.\textsuperscript{32,33,150}
2. Maintaining quality of life and supporting the mobility and independence of older people must be a priority for care planning and health promotion in this population.
3. Services that aim to prevent falls must be coordinated with multidisciplinary and comprehensive fracture prevention services. They should consider the complex needs of the older population and reflect other personal risk factors, such as balance and potential trip hazards in the home.\textsuperscript{32,150}
4. Simple interventions – such as modifications at home or in a long-term care setting – can prevent falls and therefore the risk of fracture.\textsuperscript{32,150} All too often, however, these needs are not identified or addressed.
5. Innovative falls prevention programmes have been established in various European countries and should be made available to all older people at risk of falls and associated fractures.\textsuperscript{32,140,141}
How do we know it works?
Multidisciplinary care – including early comprehensive rehabilitation, adaptation of the living environment and ongoing support to promote functioning and independent living – is key to preventing future falls. This includes strengthening muscles and improving balance, reducing the burden of polypharmacotherapy and psychotic drugs,\textsuperscript{20,21} addressing psychological factors such as depression\textsuperscript{22} and improving safety of the living environment. A large study in German care homes, for example, showed that regular weight-bearing and balance exercise with participants reduced the likelihood of falls by 20% and the number of hip fractures by 18%.\textsuperscript{146} A safer living environment, including home adaptations and the use of aids and supportive devices such as hip protectors, further contributes to reducing risk of falls.\textsuperscript{148}
What is the current situation?
In recent years, falls prevention has received increasing attention as part of European healthy ageing policy.\textsuperscript{32,115,149,150} Various falls and fracture prevention programmes have contributed to the development of new models of care and monitoring for older people. The European Innovation Partnership on Active and Healthy Ageing (EIP on AHA) was launched in 2012 to respond to the demographic challenges Europe is facing. Several programmes have been launched as part of its Action Group on personalised health management and prevention of falls, such as ProFouND, an initiative promoting exercise and adaptation of the physical environment.\textsuperscript{32} ADVANTAGE, a European Joint Action of 22 Member States and more than 33 organisations, is developing a common approach to managing frailty in health and social care in the Member States. It encompasses a range of activities, including the use of technology to enable the detection of frailty-related symptoms and events such as falls.\textsuperscript{117} Similarly, the European long-term study FallSafe is assessing the use of wearables, sensors and telemedicine to foster self-management and prevent falls.\textsuperscript{149}
At national level, some countries have been spearheading services and tools to support healthcare professionals and patients in managing frailty and preventing falls, but access often appears to be limited.\textsuperscript{151,152} Best-practice examples include the use of smartphone-based CGA and falls prevention programmes in Germany,\textsuperscript{153} though they are not yet widely implemented.\textsuperscript{32,154} In Scotland, a multifactorial risk assessment and action plan to improve bone health in care homes improved outcomes significantly where it was used and, in some cases, falls were reduced by around 36%.\textsuperscript{152} The ongoing Dutch Nijmegen Falls Prevention Program, a five-week exercise programme for people at high risk of falls, has reduced falls by 46%.\textsuperscript{141} Innovative technologies, such as a wearable device to assess falls risk in real time, are also being developed.\textsuperscript{142}
What needs to be done?
Policymakers must ensure comprehensive falls risk assessment and management is widely available and easily accessible to people and healthcare professionals. The complex health status of older people often requires a range of care needs to be addressed. Tools to assess mobility along with other health needs should be integrated in clinical practice but can also be used by older people for self-assessment, freeing-up healthcare resources and extending access to more people at risk of falls.\textsuperscript{155}
Policymakers must enable and adequately fund collaboration between health and social care services. Falls and fracture prevention requires an integrated and person-centred model supported by a multidisciplinary team, involving each member as and when necessary. Geriatricians and specialist nurses must coordinate with physiotherapists and occupational therapists to improve the person’s mobility through exercise programmes and assistive devices, with doctors, care professionals and pharmacists for medication review and continuous monitoring, and with social care to adapt the physical environment.\textsuperscript{32} Patients and their informal carers should be considered equal partners in planning and implementing this multi-component approach. Public awareness of falls must also be increased to encourage engagement with preventive measures before the first fall.\textsuperscript{142}
5. Engaging patients and public: awareness, activation and self-management
What is it and why is it important?
Public awareness of osteoporosis and fragility fractures is key to ensuring people recognise their risk of fracture and seek healthcare professional advice. Unless a fracture has already occurred, proactive investigation of fracture risk is often undertaken only when key risk factors are noted by health and social care practitioners or by people themselves.\textsuperscript{106} By improving awareness of the risk factors for osteoporosis and related fractures, as well as increasing understanding of the potential consequences of leaving osteoporosis untreated, more people may be empowered to seek early diagnosis and treatment.\textsuperscript{23} This may be particularly important for men as their risk of osteoporosis is often underestimated,\textsuperscript{103} contributing to a situation whereby men who sustain a hip fracture are less likely to receive osteoporosis medication to prevent subsequent fractures.\textsuperscript{104}
People with osteoporosis can reduce their risk of fracture when they actively engage with their own care. This can involve changes to lifestyle and the living environment and continuing to take the medications prescribed for them.\textsuperscript{84, 105} To achieve this, people need information on osteoporosis and fracture risk, the risks and benefits of medication, self-management and the role of DXA scanning and follow-up.\textsuperscript{23} In addition, providing care that responds to people’s preferences is essential to improving outcomes. It is therefore important that therapy is adapted to individual care needs.\textsuperscript{10}
The population at risk of fracture is diverse, and inequalities in medication use are apparent. An international review found that personal factors such as age, education and the presence of other long-term conditions, as well as systemic factors such as national insurance and co-payments, contribute to variation in the likelihood of patients continuing to take their medication.\textsuperscript{106}
Five things you need to know
1. People need to understand their risk of osteoporosis and fragility fractures, to ensure they are enabled to seek early diagnosis and care.\textsuperscript{106}
2. Misconceptions about osteoporosis are common and even those at high risk often underestimate the seriousness of the disease and the danger of sustaining a fragility fracture.\textsuperscript{70, 157, 158}
3. Lack of knowledge significantly contributes to a large proportion of people with osteoporosis discontinuing their treatment, which is one of the main barriers to improving bone health.\textsuperscript{27}
4. Across Europe, public awareness campaigns and patient/professional associations have been fighting for the recognition of osteoporosis as a serious condition.\textsuperscript{10, 159-162}
5. Policymakers need to make sure people are given clear information about fragility fracture prevention that enables them to take an active role in maintaining their bone health and reducing their risk of sustaining a fracture.\textsuperscript{24}
A huge part of the responsibility for managing osteoporosis lies with the patient – we need to make sure they have all the information and resources they need to successfully reduce their risk of sustaining a fragility fracture.
Penilla Gunther, former MP, Sweden
How do we know it works?
Improved public education and awareness can help support both identification and management of osteoporosis.\textsuperscript{153, 160} Comprehensive management programmes which include education can support increased investigation of osteoporosis, leading to a reduction in hip fractures among older women.\textsuperscript{165} Following diagnosis, patient education programmes may also encourage more people to stay on treatment.\textsuperscript{167}
To support people to continue taking their medication and maintain lifestyle changes in the long term, it is necessary to tailor their treatment plan as much as possible. In addition to a bone healthy diet and exercise, there are numerous pharmacological treatment options for osteoporosis, ranging from daily tablets to annual injections, and it has been shown that less frequent dosing improves the likelihood that people will continue to take their medication.\textsuperscript{10, 168} A systematic review found that age and the presence of other chronic conditions impacted on the extent to which people continued to take their medication as prescribed by their clinician.\textsuperscript{169} It is important that people are prescribed the most appropriate option and that this is determined based on shared decision-making.\textsuperscript{10}
What is the current situation?
Across Europe, much of the general population appears to be either misinformed or unaware of osteoporosis and its associated fracture risk. Osteoporosis is often wrongly viewed as a natural consequence of ageing that cannot be averted.\textsuperscript{170} Even those at high risk – including people already diagnosed with osteoporosis – often underestimate the danger of sustaining a fracture.\textsuperscript{171} As a result, people at risk of fracture may not be detected or begin treatment until they have sustained a fracture.
Incorrect information in the media may have contributed to low prioritisation of osteoporosis and misconceptions about the safety of treatments.\textsuperscript{162, 167} It has been noted, for example, that some people neglect to take their osteoporosis medication due to fear of side effects, despite these being rare.\textsuperscript{168}
In some countries, civil society is engaged in raising awareness of osteoporosis and fragility fracture risk to address misconceptions and general low levels of understanding around osteoporosis.\textsuperscript{172} Organisations such as the Research and Information Group on Osteoporosis (Groupe de recherche et d’information sur les Osteoporosis) in France,\textsuperscript{168} the Spanish Association for Osteoporosis and Osteoarthritis (Asociación Española con la Osteoporosis y la Artrosis) in Spain,\textsuperscript{161} the Royal Osteoporosis Society in the UK\textsuperscript{169} and others aim to increase public awareness and produce resources for patients and the public such as posters and leaflets. The IOF operates a dedicated website with resources including patient stories and an osteoporosis risk check for self-assessment.\textsuperscript{168} Related events and campaigns, including World Osteoporosis Day, are also featured on the website.\textsuperscript{162}
What needs to be done?
Awareness of osteoporosis and fragility fractures as a serious health concern must be improved. The reach and impact of existing awareness efforts, which are primarily operated by civil society organisations, should be expanded and supported by governments. Campaigns should be used to debunk myths and clearly outline the personal cost of inaction.
Policymakers must prioritise the delivery of person-centred care. Such care should tailor risk-reducing treatment to an individual’s circumstances, to ensure patient satisfaction and facilitate people continuing to take their treatment and maintain lifestyle changes in the long term.
It can be quite a shock to find out that you have osteoporosis, especially if you haven’t had a fracture yet. It can be difficult to understand where it is coming from and it might mean you need to make quite a few changes to your life to manage your risk factors.
PAULINA TAMMINEN, FINNISH OSTEOPOROSIS ASSOCIATION
Case studies
Map of best-practice case studies
- Orthogeriatric service, Limerick
- Hip fracture best practice tariff
- Fracture Liaison Service Database
- Falling Past Time (Vallen Verleden Tijd)
- Pharmacist-led clinical pathway
- Fracture liaison service at Lille University Hospital
- Tread Safely (Trittsicher)
- Healthy Kinzigtal (Gesundes Kinzigtal)
- Multidisciplinary hip fracture unit at Careggi University Hospital
- Tomorrow and Always (Mañana y Siempre)
- Osteoporosis course
Pharmacist-led clinical pathway
A pharmacist-led clinical pathway was implemented to ensure people with fragility fractures received appropriate testing and treatment.
What does the programme involve?
In order to standardise care for fragility fracture patients, a hospital pharmacist initiated and led a clinical pathway for fragility fractures in collaboration with a multidisciplinary team.\textsuperscript{169} The pathway required that all people admitted to the orthopaedic ward with a fragility fracture receive testing for osteoporosis and treatment when appropriate. The pharmacist also gave patients advice on medications and was responsible for managing the programme and following-up with patients.\textsuperscript{169}
This new clinical pathway was implemented in AZ Sint-Jan hospital, where a range of other clinical pathways are in place.\textsuperscript{170} As part of the Clinical Pathways Network,\textsuperscript{171} AZ Sint-Jan has set a goal of developing dedicated clinical pathways for 60% of hospital patients.\textsuperscript{170}
What has the programme achieved?
In-hospital management of fragility fractures improved significantly after the clinical pathway was implemented.\textsuperscript{169} More DXA scans were conducted, leading to an increase in osteoporosis diagnoses.\textsuperscript{169} There were also increases in the number of people who were referred to a specialist (orthopaedics, geriatrics or rheumatology) and in prescription of appropriate osteoporosis medications.\textsuperscript{169}
What lessons can be learnt from this programme?
In-hospital care of people with fragility fractures can be significantly improved by the implementation of a dedicated pathway. Such pathways can ensure that fragility fractures are managed consistently by all specialists, and that people receive investigation and appropriate treatment for osteoporosis.
Pharmacists may be well-positioned to identify gaps in care and initiate improvements. In some contexts, they may also be able to oversee the delivery of care improvement initiatives.
Osteoporosis course
The Finnish Osteoporosis Association trains health and social care professionals to deliver osteoporosis rehabilitation courses.
What does the programme involve?
To support self-management and rehabilitation following a fracture, healthcare providers such as physiotherapists are trained to deliver five-session courses for people with osteoporosis.\textsuperscript{172} The course addresses a range of topics, such as living with osteoporosis, lifestyle factors to support bone health and preventing falls. Activities include educational sessions, exercises and individual goal setting.\textsuperscript{172, 173}
Finnish Osteoporosis Association (Suomen Luustolitto) operates this programme and provides free training for the health and social care professionals who want to deliver the course.\textsuperscript{172} It also provides support for courses across the country, including course materials and online participant information.\textsuperscript{173} The Finnish Osteoporosis Association is the only organisation in Finland that offers this type of programme for osteoporosis.\textsuperscript{163}
What has the programme achieved?
The healthcare-provider-led osteoporosis courses have empowered people with osteoporosis to make the behavioural changes they need to prevent falls and fractures. The course is currently available in three cities across Finland, with around 100 people taking part every year.\textsuperscript{172} Most osteoporosis patients who participated reported making changes to their lives to improve their bone health or prevent falls, and many feel more confident about the future and more able to function without being limited by osteoporosis.\textsuperscript{172} In addition to impacting on their management of osteoporosis and quality of life, attending the course has encouraged many older people with osteoporosis to go out more often and to become more involved in community activities.\textsuperscript{173, 174}
Healthcare professionals benefit from the training they receive.\textsuperscript{173, 174} Those who have delivered the course report having improved knowledge and confidence around osteoporosis and finding the course easy to deliver.\textsuperscript{172, 174}
What lessons can be learnt from this programme?
People with osteoporosis can experience a range of benefits from educational programmes that help them prevent falls and fractures, and empower them to be more active. When healthcare providers are trained to deliver them, such programmes can be rolled out in communities nationwide.
Fracture liaison service at Lille University Hospital
This FLS is successfully identifying fracture patients and supporting them, with the aim of preventing subsequent fractures.
What does the programme involve?
This FLS, active since 2016, includes both an inpatient and outpatient pathway.\textsuperscript{175} Eligible people are identified in the orthopaedic or emergency departments or are referred by their primary care physician. Once referred, participants receive a range of assessments including blood tests and a DXA scan. Those who are diagnosed with osteoporosis are prescribed medication and followed-up within 6–12 months.\textsuperscript{175}
What has the programme achieved?
In its first two years, this FLS performed well in terms of identifying eligible patients and managing the care of those who attended the service.\textsuperscript{175} Around three in four people who had been admitted to the orthopaedic unit with a hip fracture were identified by the FLS. Nearly all patients who attended the service had a DXA scan and blood test, and osteoporosis treatment was prescribed for 94.9% of patients.\textsuperscript{175} This FLS is registered with the Capture the Fracture® programme.\textsuperscript{176}
However, low attendance is a key challenge for this service.\textsuperscript{175} Fewer than half (45%) of those who were referred attended the FLS.\textsuperscript{176}
What lessons can be learnt from this programme?
An FLS can support effective identification and management of people who have sustained a fragility fracture and are at risk of subsequent fractures. By including an outpatient pathway into the service, people who have sustained fragility fractures which do not require hospitalisation can be treated before a more serious fracture occurs. However, engagement with FLS is an ongoing challenge, and more effective strategies are needed to encourage participation in these services.
Healthy Kinzigtal (Gesundes Kinzigtal)
Healthy Kinzigtal is a comprehensive population-based integrated programme that aims to improve the experience of care for people with chronic diseases and reduce costs.
What does the programme involve?
Healthy Kinzigtal includes fragility fracture prevention as part of a wider programme which delivers chronic disease care through multidisciplinary teams. The teams collaborate with non-medical services such as gyms and workplace health providers. The aim is to support people with chronic diseases in self-management through close collaboration with their chosen ‘physician of trust’. Regular ‘geronto-pharmaceutical consultations’ support physicians in managing the complex needs of people with multiple conditions, including those with osteoporosis.
Healthy Kinzigtal applies an innovative payment model to incentivise the delivery of best-practice care. In addition to fee-for-service payments, physicians are reimbursed for services providing additional value such as physical training in long-term care settings to prevent falls. Service providers also receive a share of the company’s revenue.
What has the programme achieved?
Initial assessments suggest that this programme is effective in improving osteoporosis care. So far, the number of people living with fragility fractures has been 10% lower than in those who received routine care.\textsuperscript{177} At the same time, the project has been able to improve patient satisfaction and demonstrate cost savings each year, with savings of USD $38.2 million between 2007–2014.\textsuperscript{177}
What lessons can be learnt from this programme?
The programme highlights the impact of a wide cross-sectoral partnership on fragility fracture prevention and cost savings. It presents a feasible and cost-effective approach to provide tailored care for people with chronic conditions, including osteoporosis, while improving patient outcomes and satisfaction.
Tread Safely (Trittsicher)
Tread Safely was developed to improve bone health and mobility of older people in rural areas.
What does the programme involve?
Tread Safely runs falls and fracture prevention programmes. The programme, which is also known as the osteoporotic fracture prevention programme in rural areas (OFRA), comprises three elements: an assessment of bone health, including a DXA scan; mobility exercise classes; and consultations about how to reduce the risk of falls in houses and on farms.
The programme was developed following an assessment of local needs and priorities, and is implemented by an innovative collaboration of local partners.\textsuperscript{154} It was based on findings from a survey of local residents which identified loss of independence through disabling falls and accidents as a key concern.\textsuperscript{178} It is funded by a regional insurance fund and run in collaboration with two rural community organisations.\textsuperscript{154}
What has the programme achieved?
The programme has received huge demand from the local population, leading to long waiting lists.\textsuperscript{179} Since its inception in 2016, more than 2,300 mobility classes have been conducted, with high satisfaction rates among participants.\textsuperscript{78, 180} A first formative evaluation showed that more than half of participants attended all six classes and venues had good accessibility, with participants often having to travel less than 1.7km.\textsuperscript{180} The project includes a cluster-randomised study which is evaluating its impact on the number of fragility fractures.\textsuperscript{154} First results are expected to be available in early 2020.\textsuperscript{178}
What lessons can be learnt from this programme?
The project highlights the importance of tailoring programmes for active and healthy ageing to local needs and involving local actors in implementation. Addressing the local people’s concerns and collaborating with local institutions that play an important role in community life has likely contributed to the hugely positive response and participation,\textsuperscript{178, 181} which is usually a key barrier to the successful implementation of health promotion programmes.
Orthogeriatric service, Limerick
This orthogeriatric service supported hip fracture patients while they were in hospital and facilitated access to essential post-fracture care. The services were highly effective and led to cost savings.
What does the programme involve?
An orthogeriatric service was implemented at University Hospital Limerick in 2011 as a collaboration between geriatrics and orthopaedic surgery.\textsuperscript{182} People who were admitted to the hospital with a fragility hip fracture received a comprehensive geriatric assessment before surgery so that any additional conditions could be managed appropriately.\textsuperscript{182} After surgery, they received bone health and falls assessments and were offered a referral to the hospital’s FLS.\textsuperscript{182} While in hospital, hip fracture patients were seen daily by the geriatric team.\textsuperscript{182}
What has the programme achieved?
The service has helped to significantly improve outcomes for people with hip fractures. Following the implementation of orthogeriatric care, there were reductions in the number of days people stayed in hospital, the proportion of people who died within one year and the number of people who needed further rehabilitation.\textsuperscript{182} Thanks in part to the success of this programme, University Hospital Limerick is considered a leader for the development of orthogeriatric services in Ireland.\textsuperscript{183}
The improvements in patient outcomes reduced the burden on healthcare services, yielding considerable cost savings.\textsuperscript{121} The reduced length of hospital stay and reduced need for rehabilitation meant that the cost per hip fracture patient was reduced by over €3,000 compared with before the orthogeriatric service was introduced.\textsuperscript{121} Furthermore, people who received care through this service were less likely to be discharged to a long-term care facility.\textsuperscript{182} When these savings are factored in, the annual reduction in healthcare costs amounted to more than €1.4 million, which easily offsets the estimated €171,000 required to implement a full-time service.\textsuperscript{121}
What lessons can be learnt from this programme?
The introduction of an orthogeriatric service can significantly improve outcomes for people with hip fractures. In turn, these improved outcomes can lead to considerable cost savings in both acute and long-term care.
Multidisciplinary hip fracture unit at Careggi University Hospital
Careggi University Hospital has implemented a multidisciplinary hip fracture unit to improve care, decrease the length of hospital stays and reduce post-surgery complications.
What does the programme involve?
Established in 2011, this multidisciplinary unit aims to address the needs of older people with multiple chronic conditions who have had a hip fracture.\textsuperscript{183} Every person who is admitted to the hospital with a hip fracture undergoes a comprehensive series of tests soon after admission, allowing the medical team to identify conditions that may introduce additional risks and to select the most appropriate treatment strategies.\textsuperscript{184–186} Following surgery, physiotherapists support early mobilisation, and osteoporosis treatment is often prescribed.\textsuperscript{184}
What has the programme achieved?
Implementation of the hip fracture unit has supported improvements in fracture management, health service efficiency and patient outcomes.\textsuperscript{185, 186} The proportion of people who have surgery within 48 hours of admission has increased from 26% to 80% since the unit was implemented, and the average length of hospital stay has decreased from 17 to 12 days.\textsuperscript{185} There has also been a significant reduction in the rate of deaths, from 3.8% in 2011 to 1.4% in 2016.\textsuperscript{185}
What lessons can be learnt from this programme?
The quality of hip fracture care and the efficiency of health services can be significantly improved when patients are managed appropriately by a multidisciplinary team. In addition, hip fracture management pathways can effectively incorporate post-surgery care to support the early mobilisation and initiation of osteoporosis treatment.
Falling Past Time (Vallen Verleden Tijd)
This is a five-week exercise programme for adults with a history of falls who live at home.
What does the programme involve?
Falling Past Time involves a range of balance and coordination exercises, which are integrated into an obstacle course to simulate daily life.\textsuperscript{187} While the original programme was not developed for people with musculoskeletal conditions,\textsuperscript{184} a multidisciplinary team has since developed a version that is safe for people with osteoporosis.\textsuperscript{187}
What has the programme achieved?
Falling Past Time has significantly reduced the risk of falls among people with osteoporosis. Clinical trials have found that the programme reduced falls among people with osteoporosis by 39%.\textsuperscript{187} When delivered in real-world settings by trained physiotherapists, the programme is still effective, reducing falls among older people by 32%.\textsuperscript{188}
The programme has now been widely adopted. It is one of five falls prevention programmes recommended by the Ministry of Health, Welfare and Sport,\textsuperscript{189} and a two-day training course is available for healthcare professionals who want to deliver the intervention in their own practice.\textsuperscript{190}
What lessons can be learnt from this programme?
Well-coordinated exercise programmes can significantly reduce falls, a major cause of fragility fractures among people with osteoporosis. Falling Past Time demonstrates the considerable impact such programmes can have on the risk of falls in older people who are at particularly high risk of a serious fracture.
Large-scale implementation of falls prevention programmes is feasible. When physiotherapists or other healthcare professionals are trained to deliver them, these programmes can be rolled out widely, ensuring access for people at risk of falls and potentially reducing the number of fragility fractures in the population.
Tomorrow and Always (Mañana y Siempre)
This is a short film to raise awareness about osteoporosis, featuring popular actors in Spain.
What does the programme involve?
Your Bones. Tomorrow and Always (Tus Huesos. Mañana y Siempre) is a public awareness campaign in Spain, launched by multiple civil society organisations in collaboration with two pharmaceutical companies.\textsuperscript{198} Central to this campaign is a short film that tells the story of a woman who has been diagnosed with osteoporosis. The story is told from the perspective of her young granddaughter and shows the impact of the condition on the whole family.\textsuperscript{197} The film stars a popular actress, Concha Velasco, and was written and directed by her son, well-known director Manuel M Velasco.\textsuperscript{198}
What has the programme achieved?
The short film was premiered as part of the Valladolid International Film Festival in 2018\textsuperscript{198} and has gained considerable media attention. The premiere event, attended by 350 people, was hosted by the president of the Hispanic Foundation for Osteoporosis and Metabolic Bone Diseases (Fundación Hispana de Osteoporosis y Enfermedades Metabólicas Oseas) and included discussion with the film’s cast.\textsuperscript{198} This was covered by media outlets across Spain,\textsuperscript{198} which described the film and presented key information about the impact of osteoporosis and the importance of raising awareness.\textsuperscript{193, 194}
What lessons can be learnt from this programme?
By securing the endorsement of well-known and trusted figures, and telling a relatable story, national societies can help raise the profile of osteoporosis and fragility fractures while encouraging the public to engage with fracture prevention strategies. This is an example of a public awareness campaign that has drawn positive media attention to osteoporosis and fragility fracture prevention.
Hip fracture best practice tariff
The hip fracture best practice tariff (BPT) is an incentive scheme which aims to encourage hospitals in England to deliver best-practice hip fracture care.
What does the programme involve?
The hip fracture BPT incentivises hospitals to deliver hip fracture care according to national guidelines.\textsuperscript{196} The programme, which was introduced in 2010, provides hospitals with a supplemental payment of £1,335 per patient when six quality criteria are achieved.\textsuperscript{196} Criteria include: prompt orthogeriatric assessment; prompt surgery; NICE-compliant surgical approach; prompt mobilisation after surgery; not delirious when tested after operation; and returned to original residence by 120 days.\textsuperscript{196–198} To achieve BPT standards efficiently and consistently, many hospitals have put in place multidisciplinary models of care, often involving orthogeriatrics.\textsuperscript{196}
What has the programme achieved?
Hip fracture care has significantly improved since the introduction of the BPT. In the first two years after the BPT was introduced, the proportion of cases meeting all six quality standards increased from 24% to 55%\textsuperscript{196}; and in 2017, 58% of all cases met BPT standards.\textsuperscript{196}
As a result, patient outcomes have improved. Improvements have been made in reducing time to surgery, the length of time that people with a hip fracture stay in hospital and the number of deaths.\textsuperscript{196}
What lessons can be learnt from this programme?
Financial incentives offered by governments may be an effective tool to encourage multidisciplinary care while supporting improvements in acute fracture management and the efficiency of care. Government incentives for best-practice care may not only influence the practice of individual clinicians but could also promote reorganisation of care teams and improve overall fragility fracture care.\textsuperscript{196} This may lead to meaningful improvements in a range of patient outcomes and reduce pressure on healthcare systems through shortened hospital stays.\textsuperscript{196}
Fracture Liaison Service Database
The Fracture Liaison Service Database (FLS-DB) monitors and assesses FLS performance in England and Wales.
Q What does the programme involve?
In England and Wales, the FLS-DB is a mandatory national audit programme managed by the Royal College of Physicians.\textsuperscript{194} Part of the national Falls and Fragility Fracture Audit Programme,\textsuperscript{195} the FLS-DB was first used in 2016 to audit secondary fracture services in England and Wales.\textsuperscript{196} It now assesses service performance against key indicators, and is the only audit of patient-level fracture prevention data in the world.\textsuperscript{197}
Q What has the programme achieved?
The FLS-DB provides detailed insights into fracture care in England and Wales, which are used to guide service improvement efforts.\textsuperscript{198} The key finding of the first audit was that services varied in terms of resourcing, identification of cases, investigation of osteoporosis, falls assessment, treatment and monitoring after a fracture.\textsuperscript{199} In response, specific service improvement recommendations were produced,\textsuperscript{200} and subsequent reports have detailed how each FLS is performing against key indicators.\textsuperscript{201}
Available data suggest that FLS are improving each year. The 2017 audit showed improvements against most key performance indicators compared with 2016 data. For example, the proportion of people who were referred for a falls assessment increased from 40% to 46% and the proportion of people who were recommended osteoporosis medication increased from 38% to 43%.\textsuperscript{202} However, some indicators of long-term management regressed, highlighting important gaps in care.\textsuperscript{203}
Q What lessons can be learnt from this programme?
National audits are instrumental in monitoring the performance of osteoporosis and fragility fracture services, identifying gaps in care, and encouraging continuous improvement.\textsuperscript{204} Management of fragility fractures and prevention of subsequent fractures could be improved by implementing similar national programmes across Europe.
What are osteoporosis and fragility fractures?
Osteoporosis, which literally means ‘porous bone’, is a systemic disease characterised by reduction in the density of bone tissues. Weakened bone tissues eventually lead to bone fragility and susceptibility to fracture.\textsuperscript{14} There are several factors that increase the risk of osteoporosis, most importantly age and sex. With advancing age, bone structures become weaker and bone mass decreases progressively; as a result, the proportion of people with osteoporosis increases.\textsuperscript{9, 235} Women are far more likely to develop osteoporosis than men, particularly with reduced oestrogen levels after menopause.\textsuperscript{11} In addition, there are several modifiable risk factors that have a negative impact on bone health such as insufficient physical activity, smoking, high alcohol consumption, low calcium intake and low body weight.\textsuperscript{11, 203} Certain medications, such as steroids and breast cancer treatment, have also been associated with an increased risk of osteoporosis.\textsuperscript{34}
Osteoporosis is diagnosed based on the assessment of BMD, which refers to the amount of bone mass per unit volume. According to the World Health Organization, osteoporosis is defined by a BMD that lies 2.5 or more standard deviations below the average value for young healthy women aged 20–29. Different techniques are used to assess BMD, but DXA is the most widely used. It is based on the absorption of X-rays and is influenced by bone size and density.\textsuperscript{34}
Osteoporosis is one of the main risk factors for sustaining a fragility fracture. The more the BMD value deviates from the standard, the higher the risk of fracture. As bone loss is asymptomatic, the impact of osteoporosis is mostly from associated fractures.\textsuperscript{214} The most common fragility fractures are hip, spine (vertebral), forearm and upper arm (humeral). Of these, the most extensive health impact – including death – is associated with hip fractures.\textsuperscript{34}
A range of other factors also contribute to fracture risk, which must be considered in any assessment to predict the risk of sustaining a fracture.\textsuperscript{205} A history of fragility fractures and low body mass index (BMI) are important risk factors for fragility fractures, independent of osteoporosis.\textsuperscript{205} In this context, falls and their associated risk factors such as reduced mobility and vision, cognitive impairments, psychotropic medications, fear of falling and environmental hazards significantly contribute to the likelihood of sustaining a fragility fracture.\textsuperscript{35, 36}
People advocating for the importance of addressing osteoporosis and fragility fractures may face difficult questions from those who are sceptical. Here we provide a set of evidence-based responses to key questions that may arise during these discussions.
1. **Isn’t osteoporosis a natural part of ageing that cannot be prevented?**
This is not true. While bone mass naturally decreases in older age, osteoporosis and the fractures it can often lead to are not inevitable. Preventive strategies such as lifestyle changes and medication can halt the development of osteoporosis and prevent fractures, which can often be life-changing events.
2. **Why should we invest in osteoporosis and fragility fractures when our healthcare budgets are already so overstretched?**
Fragility fractures cost EU healthcare systems over €37 billion per year. This is higher than for many other diseases including stroke (€20 billion) and chronic obstructive pulmonary disease (€19 billion). Preventing these fractures could reduce overall spending on healthcare.
3. **What return can we expect from any extra investment?**
Each healthcare system and patient population will require dedicated analysis, but overall the evidence is very promising that treatment can be cost-effective. For example, FLS are consistently evaluated to be cost-effective or even cost-saving. In the UK, for example, it has been estimated that nationwide implementation of FLS could yield savings of £8.5 million over five years. In Sweden, meanwhile, savings of €60 per patient were made when people took their medication consistently and as prescribed by their clinician; this equates to more than €3 million over 10 years.
4. **Shouldn’t we invest more in healthy lifestyles to prevent osteoporosis? Why do we also need to invest in care?**
Investing in osteoporosis prevention is crucial but we must also support the millions of people who already have osteoporosis and/or have suffered a fracture. By improving the care they receive, we can reduce their risk of a first or subsequent fracture.
5. **Osteoporosis and fragility fractures mostly affect older people who do not have many more years to live. Shouldn’t we invest in improving the health of younger, economically active people?**
Addressing osteoporosis and fragility fractures is important for occupational health and workforce productivity. Absence from work due to osteoporosis is already significant, with more than 7.6 million sick days taken due to fragility fractures in France, Germany, Italy, Spain, Sweden and the UK in 2017. This figure is likely to grow as Europe’s population ages.
In addition, the informal care burden that fractures place on friends and family can also impact workforce productivity.
6. **Isn’t the evidence for osteoporosis screening inconclusive?**
The evidence base is still evolving when it comes to widespread screening, but this is not a reason for local practitioners and clinics not to actively seek out undiagnosed and untreated people with osteoporosis. In fact, there is clear evidence that active case-finding of groups with clear risk factors, such as women over 70, can be both feasible and cost-effective.
7. **We don’t need or want new roles – can’t the system just work as it is?**
Primary care physicians play a critical role in preventing fragility fractures, but they cannot be expected to do this alone. They must be able to work closely with healthcare professionals providing in-hospital care for fracture patients, to make sure everyone at risk is identified and followed up, including those who have already suffered from a fracture. This may require changes to current ways of working, but evidence from a range of settings demonstrates that it is both feasible and highly effective.
8. **Surely you can’t prevent older and frail people from falling?**
Proven approaches can effectively reduce falls. This includes interventions such as strengthening muscles, improving balance, reducing the impact of multiple medications and making simple changes to a person’s living environment. A study in Germany, for example, found that regular weight-bearing and balance exercise led to a 20% reduction in falls and an 18% reduction in hip fractures.
9. **Everyone has heard of osteoporosis, so why do we need to raise awareness?**
Misconceptions about osteoporosis are common and come at a high price. Many people think it only affects older women, or underestimate their own risk of a fracture. Community education has been shown to be effective in supporting increased investigation of osteoporosis which, in turn, has led to a reduction in hip fractures.
10. **Patients don’t need to know much about osteoporosis – can’t they just follow doctors’ advice?**
Comprehensive programmes which include patient education following diagnosis can encourage more people to stay on treatment.
11. **Diagnosing osteoporosis requires a bone scan. Is it worth it?**
While an official osteoporosis diagnosis must be based on a bone scan, simple risk assessment tools for use in primary care can accurately predict fracture risk and help inform treatment decisions. In many countries, these have been adapted for the local context.
Key readings
The following list summarises landmark reports and publications, guidance and key initiatives in the area of osteoporosis and fragility fractures in Europe.
### Reports
- 2013 Hernlund et al. *Osteoporosis in the European Union: medical management, epidemiology and economic burden*
- 2013 Kanis et al. *SCOPE: a scorecard for osteoporosis in Europe*
- 2016 International Osteoporosis Foundation. *Gaps and solutions in bone health: A Global Framework for Improvement*
- 2017 Economist Intelligence Unit. *Demystifying ageing: Lifting the burden of fragility fractures and osteoporosis in Asia-Pacific*
- 2017 Harvey et al. *Mind the (treatment) gap: a global perspective on current and future strategies for prevention of fragility fractures*
- 2018 International Osteoporosis Foundation. *Broken bones, broken lives – the fragility fracture crisis in six European countries*
- 2018 Mitchell and Åkesson: *How to prevent the next fracture*
- 2019 International Osteoporosis Foundation. *Compendium of osteoporosis (2nd edn)*
- 2019 Global Alliance for Musculoskeletal Health. *Health policies for integrated prevention and management of non-communicable diseases among OECD countries.*
### Guidance
- 2014 International Osteoporosis Foundation. *Capture the Fracture® Best Practice Framework*
- 2017 Lems et al. *EULAR/EFORT recommendations for management of patients older than 50 years with a fragility fracture and prevention of subsequent fractures*
- 2018 Kanis et al. *European guidance for the diagnosis and management of osteoporosis in postmenopausal women*
### Initiatives
- 2012–ongoing: International Osteoporosis Foundation. *Capture the Fracture®*
- 2017–ongoing: International Osteoporosis Foundation. *Global Patient Charter*
- 2018 Fragility Fracture Network. *Global call to action to improve the care of people with fragility fractures*
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Osteoporosis and fragility fracture prevention in Belgium
Osteoporosis and fragility fractures are not prioritised in national policies in Belgium. While local champions in some areas have implemented fragility fracture care pathways, national programmes to improve care have not been developed and services vary considerably across the country.
Burden and impact of osteoporosis and fragility fractures
Osteoporosis affects a large proportion of older people in Belgium, and fragility fractures impose a considerable cost. According to the most recent estimates in 2007, 600,000 people in Belgium had osteoporosis, representing 22.4% of women and 6.6% of men over 50.\(^1\) In 2010, it was estimated that fragility fractures incurred a total cost of €606 million each year in Belgium, with 80,000 new fragility fractures occurring annually.\(^1\) The total number of fragility fractures was expected to increase to 99,000 by 2025, reaching a total cost of €733 million.\(^1\)
Building a system that works: policies for scrutiny, accountability and investment
Osteoporosis and fragility fractures do not appear to be prioritised in national policy and relevant data are not collected.\(^2\) While national guidance for managing osteoporosis has been developed,\(^3-4\) there are no policies to ensure clinical practice follows this guidance.\(^2\) Reimbursement data have sometimes been analysed to assess the use of specific services such as dual-energy X-ray absorptiometry (DXA) scans,\(^5\) but there are no national audits or databases to monitor and evaluate osteoporosis or fragility fracture care.\(^2\)
Recent changes in reimbursement policy have improved access to some first-line treatments for osteoporosis. Reimbursement of all osteoporosis medications was previously restricted to people who met specific eligibility criteria, such as those diagnosed with osteoporosis or who had a previous fracture.\(^3,5\) This resulted in severely limited access to these medications.\(^8\) However, an expert interviewed for this country profile noted that recent revisions to reimbursement policy mean there are no longer specific criteria for reimbursement of some first-line treatments, although the criteria have become more stringent for second-line treatments.\(^2\) While co-payments are required for prescription medications in Belgium,\(^7\) out-of-pocket expenses for osteoporosis medication are generally thought to be low\(^8\) and vulnerable groups are entitled to additional financial support,\(^1\) aiding access to necessary treatments.
Despite a large number of DXA machines in Belgium, restricted reimbursement may impede early identification of osteoporosis.\textsuperscript{1} Belgium has the highest proportion of DXA machines per capita in Europe,\textsuperscript{2} which makes them widely available with, in general, short waiting times.\textsuperscript{3} However, DXA scans are only reimbursed for specific people, such as women over 65 who have a family history of osteoporosis, people who have already had a fragility fracture, or people with another condition known to cause osteoporosis.\textsuperscript{3} This means that many people lack access to investigation before a first fracture occurs.
**Catching it early: detection and management in primary care**
Assessment of fracture risk is recommended in established guidance,\textsuperscript{4} but diagnosing osteoporosis is often not prioritised. Primary care organisations in both the French- and Dutch-speaking parts of Belgium are engaged with falls and fracture prevention and have developed relevant guidelines.\textsuperscript{5,6} Clinical recommendations support the use of risk assessment algorithms such as the Fracture Risk Assessment Tool (FRAX®) before conducting further investigations or prescribing treatment.\textsuperscript{7} However, there do not seem to be programmes in place to encourage early detection of osteoporosis, and general practitioners (GPs) may lack confidence in diagnosing and treating it.\textsuperscript{8} A survey conducted in 2013 found that around a third of GPs were aware of FRAX®\textsuperscript{9} but fewer than 20% reported using it in daily practice.\textsuperscript{10} In the absence of national programmes to promote early diagnosis of osteoporosis, there is little incentive for primary care professionals to initiate investigation.
**Getting people back on track: facilitating multidisciplinary post-fracture care**
Geriatric care is integrated into the in-hospital treatment of older people in Belgium, although the management of fragility fractures can vary. The national geriatric programme includes the implementation of ‘internal liaison teams’.\textsuperscript{11} In some hospitals, these specialist teams are available to assess all patients aged 75 and over who have been admitted to hospital, regardless of the department to which they have been admitted, and identify those who require specialist geriatric care. In other hospitals, multidisciplinary teams are engaged in the identification and treatment of osteoporosis and fragility fractures.\textsuperscript{2} While there are no national programmes or standards for fragility fracture care, in a few hospitals these teams aid the identification of older people who should be assessed for osteoporosis and who require orthogeriatric management.\textsuperscript{2} In addition, some hospitals have established dedicated orthogeriatric units, such as the one in Imelda Hospital in Bonheiden,\textsuperscript{2} or osteoporotic fracture care pathways, such as the pharmacist-led pathway in AZ Sint-Jan hospital.\textsuperscript{12} However, such programmes are often not formally monitored or evaluated and financial support is extremely limited, resulting in reports of considerable variation in care between hospitals.\textsuperscript{2}
**Implementation of hospital-based fracture liaison services (FLS) in Belgium is increasing, but with little policy support.\textsuperscript{13}** In the absence of national guidelines or programmes to support fragility fracture services, there is marked variation in care. For example, the use of DXA scans varies hugely, with some districts conducting nearly 10 times as many scans as others each year.\textsuperscript{14} To improve quality of care, clinicians from a range of specialities have worked to implement FLS in some hospitals, which ensure identification, investigation and initiation of treatment for people with osteoporosis.\textsuperscript{15} However, limited funding has been noted as a considerable challenge\textsuperscript{2} and it is not clear how these services perform against international best-practice standards. Indeed, there does not seem to be a national monitoring or evaluation system in place,\textsuperscript{2} and only four FLS in the country have been evaluated through Capture the Fracture\textsuperscript{®}; three have been awarded a bronze rating and one is in progress.\textsuperscript{12}
**Supporting quality of life as part of healthy and active ageing: prevention of falls and fractures in later life**
While falls prevention has received little attention at national level, there is some regional support in Flanders. The number of falls in care homes is one of various indicators used by the national government to assess healthcare system performance, but data for this indicator are only available for Flanders,\textsuperscript{14} as Brussels and Wallonia do not collect data on falls. To support and promote falls prevention, the Flemish government collaborates with the Flanders Fall and Fracture Prevention Expertise Centre (Expertisecentrum Val- en fractuurpreventie Vlaanderen; EVV). This organisation aims to prevent falls in both care homes and the community through providing information and supporting the development and dissemination of effective strategies.\textsuperscript{16} For example, EVV runs annual awareness campaigns, produces educational materials and offers training courses for healthcare providers and informal carers.\textsuperscript{16}
**Engaging patients and public: awareness, activation and self-management**
Public engagement with osteoporosis and fragility fracture prevention seems to be limited,\textsuperscript{2} with few activities to increase awareness. An expert interviewed for this country profile noted that, in Belgium, neither healthcare providers nor the public tend to view osteoporosis as an important disease,\textsuperscript{2} although GP organisations have developed guidelines and online resources to support falls and fracture prevention.\textsuperscript{17} While there used to be a national osteoporosis patient organisation, this no longer seems to be active.\textsuperscript{2} A national multidisciplinary organisation, the Belgian Bone Club, is working to improve osteoporosis prevention and management, but its activities target healthcare professionals and researchers while public-facing activities remain limited.\textsuperscript{17} Furthermore, while many countries across Europe and around the world participate in World Osteoporosis Day, there are no official events planned in Belgium.\textsuperscript{18}
**Self-management among people who have osteoporosis is suboptimal.** Data from 2003–2008 showed that people frequently stopped taking osteoporosis medication within the first three months after it was prescribed.\textsuperscript{9} Unfortunately, more recent data are not available.
Osteoporosis and fragility fracture prevention in Finland
National guidance in Finland supports identification and management of osteoporosis and fragility fractures, with many people being diagnosed before a first fracture. While few national strategies have been implemented to prevent osteoporosis, falls prevention is a policy priority, lending support to a range of falls and fracture prevention programmes.
Burden and impact of osteoporosis and fragility fractures
The burden of osteoporosis in Finland is comparable to other countries in Europe. When last assessed in 2010, it was estimated that 304,453 people aged 50 or over in Finland had osteoporosis, representing 21.5% of women and 6.3% of men in this age group.\(^1\) It is estimated that between 30,000 and 40,000 fractures occur in Finland every year,\(^2\) of which over 6,000 are hip fractures.\(^3\) In total, osteoporosis cost the Finnish health system an estimated €383 million per year, a figure that is set to rise to €514 million by 2025.\(^1\)
Building a system that works: policies for scrutiny, accountability and investment
Healthcare policies in Finland aim to improve health services and support independence in older age, but do not specifically address osteoporosis or fragility fractures. National legislation, such as the Health Care Act\(^4\) and the Act on Supporting the Functional Capacity of the Older Population and on Health Care Services of Older Persons,\(^5\) specify how health and social care should be operated and monitored in order to promote population health and ensure older people have access to all necessary services. However, specific diseases are generally not addressed in national policies and there seems to be a lack of strategies that discuss osteoporosis or fragility fractures.\(^6\)
Data on hip fracture treatment are collected in a national healthcare database, but no dedicated programmes are in place for monitoring or evaluating fracture care.\(^7\) National data on inpatient care are collected in the Care Register for Health Care and can be used for research and monitoring purposes.\(^8\) Hospitals, health centres and other institutions enter the dates on each patient’s admission and the treatment received,\(^9\) so data on treatment of hip fractures and associated medication usage can be accessed.\(^10\) However, there are no questions that are specific to osteoporosis or fracture management,\(^11\) nor is there a dedicated fracture database or national audit.\(^12\)
Management of a fracture depends on the area where a person lives and how the national guidelines have been put into practice.
PAULIINA TAMMINEN, FINNISH OSTEOPOROSIS ASSOCIATION
In the last 30 years, I have seen great improvement in the recognition of osteoporosis and fractures in the population.
TIMO JÄMSÄ, UNIVERSITY OF OULU
While all people in Finland are covered by the social health insurance system, limited reimbursement means some people cannot access osteoporosis care. As part of the national healthcare system, medications and services are partially reimbursed, but co-payments must be made by the individual or through private health insurance.\(^8\) For the most disadvantaged people, co-payments are a barrier to care; a survey of Finnish Osteoporosis Association (Suomen Luustoliitto) members found that 6.5% of people with osteoporosis felt they could not afford, or usually could not afford, their osteoporosis treatment.\(^9\),\(^10\) For these people, social assistance may be available to help pay for medical expenses.\(^11\)
Catching it early: detection and management in primary care
Clinical guidance in Finland promotes diagnosis and treatment of osteoporosis in primary care and this often happens before a first fracture. Primary care professionals are often responsible for investigating osteoporosis and initiating treatment.\(^2\) This is supported by extensive clinical guidance, which discusses risk factors for osteoporosis and the various treatment options available.\(^2\) While around a third of people are diagnosed with osteoporosis after they have already had a fracture, a survey of osteoporosis patients found that 20% were diagnosed when they were seeing their primary care doctor about another illness and another 16% were diagnosed when they specifically asked their doctor about it.\(^9\),\(^11\) This suggests that many primary care providers are aware of key risk factors and assess patients for osteoporosis in line with clinical guidance.
Getting people back on track: facilitating multidisciplinary post-fracture care
Multidisciplinary in-hospital management of fragility fractures is recommended in clinical guidance, but there are no national programmes to promote best-practice care. Detailed clinical guidance in Finland describes best practice in hip fracture care with a focus on multidisciplinary management and rehabilitation.\(^3\) To meet these recommendations, some hospitals have implemented hip fracture programmes in which dedicated care pathways are used to ensure patients are seen by multiple specialists, including geriatricians.\(^1\) In one hospital where a multidisciplinary hip fracture programme was implemented, the rate of deaths within 30 days of fracture was lower among people who received a comprehensive geriatric assessment.\(^1\) However, implementation of such programmes does not seem to be incentivised or monitored nationally, and care pathways differ between hospitals.\(^9\)
Effective nurse-led post-fracture services which include diagnosis and treatment for osteoporosis are in place in some areas, but there remain gaps in access.\(^3\) In many organisations, including primary care practices, health centres and hospitals, designated osteoporosis nurses review fractures and identify patients who should be followed-up and treated.\(^4\),\(^6\) These nurse-led models of care are thought to be effective\(^7\) and are recommended in national guidance,\(^2\) but have not yet been universally adopted.\(^9\) This may be due, in part, to varying health and social care priorities at a local level.\(^3\)
Supporting quality of life as part of healthy and active ageing: prevention of falls and fractures in later life
Falls prevention is recognised as a national health priority in Finland as falls-related deaths continue to increase. Among Finland’s rapidly ageing population, falls are a serious concern, with around 1,200 people dying from accidental falls in 2017.\(^12\) In response, the prevention of falls has been identified as a national public health priority\(^13\) and interventions are being implemented at local and national level.\(^14\) For example, a falls prevention network which encourages collaboration across municipalities and provinces is currently being developed with funding from the Ministry of Social Affairs and Health.\(^15\) In addition, falls prevention is an integral component of national osteoporosis and hip fracture prevention guidance.\(^2\) Despite these initiatives, national statistics have not yet shown a decline in falls-related deaths among older people.\(^13\)
Engaging patients and public: awareness, activation and self-management
Civil society is active in educating the public about osteoporosis and the risk of fragility fractures. The Finnish Osteoporosis Association offers a range of free training courses which support professionals to promote awareness and self-management among people with osteoporosis, including educating the public on how to prevent falls.\(^9\),\(^11\) In addition, it provides peer support, rehabilitation and educational materials for people with osteoporosis.\(^9\) Similarly, the Finnish Osteoporosis Society offers a range of educational resources for people with osteoporosis, such as public lectures, a booklet on self-management\(^16\) and an annual two-day course on osteoporosis.\(^19\)
Good awareness of osteoporosis and key risk factors helps to support early diagnosis in Finland. Public awareness of osteoporosis seems to have improved over time,\(^17\) leading people to ask their doctor about being tested for osteoporosis before experiencing a first fracture.\(^4\) A recent survey of people with osteoporosis found that 20% were diagnosed this way.\(^9\),\(^10\) Specifically, 15% knew about the risks and were worried about their bone health, 3% noticed they were getting shorter and 2% were advised by somebody with osteoporosis to get screened.\(^9\),\(^10\)
Osteoporosis and fragility fracture prevention in France
Osteoporosis and the prevention of fragility fractures and falls are beginning to be prioritised in health policy in France. Awareness and understanding of osteoporosis among healthcare professionals and patients is often poor, however, leading to delays in diagnosis and significant gaps in treatment.
Burden and impact of osteoporosis and fragility fractures
Osteoporosis and fragility fractures are common in France, imposing considerable costs. Osteoporosis affects approximately 23% of women and 7% of men in France,¹ and 380,000 new fragility fractures occur each year.² In 2017, fragility-fracture-related costs were estimated at €5.4 billion in France.³ In addition, over a million sick days were taken following a fragility fracture in 2017, negatively impacting on workforce productivity.⁴
The burden of osteoporosis will continue to grow as the population ages. In France, as in other European countries, life expectancy is increasing and so is the burden of osteoporosis.⁵ The number of people hospitalised in France for a fracture related to osteoporosis increased by approximately 10% between 2011 and 2013.⁶ The number of fragility fractures will continue to increase and the associated care costs are projected to reach €6.8 billion by 2030.⁷
Building a system that works: policies for scrutiny, accountability and investment
Osteoporosis management and prevention of subsequent fractures are beginning to feature in national strategies. In 2017, the French anti-rheumatism association (L’Association Française de Lutte Anti-Rhumatismale; AFLAR) and the National Alliance Against Osteoporosis published a White Paper calling for urgent action on the part of health authorities.⁸ In 2018, the Ministry of Solidarity and Health published a new strategy, My Health 2022 (Ma Santé 2022), to improve access to care and support collaborative working between health professionals.⁹ Improving long-term care for people with osteoporosis is named as a priority objective in this strategy.¹⁰ While the strategy does not specify how osteoporosis care should be improved, guidance is currently under development, and may include support for implementing new fracture liaison services (FLS).¹¹
Healthy ageing and falls prevention are also integrated into national prevention policy. The National Health Strategy for 2018–2022 aims to improve healthcare nationwide through preventive health measures and improving care quality. The strategy refers to nutrition, exercise and falls prevention as key priorities to tackle chronic diseases, as well as the importance of disseminating messages on ‘ageing well’ and identifying fragility risk in older people.
France collects data on osteoporosis via the comprehensive National Health Data System (Système National des Données de Santé), which is available on request to people conducting research of public interest. For example, trends in use of osteoporosis medication can be assessed to investigate the impact of new programmes. Many individual hospitals also collect data on fragility fractures; however, there are no open-access databases and national audits on osteoporosis.
Reimbursement policies for bone mineral density (BMD) testing are in place, but their complex nature may be contributing to underutilisation. Since 2006, French national health insurance covers BMD testing for people who have sustained a fragility fracture, regardless of age or sex, as well as for people with certain risk factors. However, some general practitioners (GPs) are still unclear about which people are covered under the reimbursement policies, leading to reduced rates of BMD testing in France.
The health system supports good access to osteoporosis treatments in France. Many treatments are reimbursed for all patients following a fracture and for those at risk of fracture (depending on BMD).
Catching it early: detection and management in primary care
Many primary care professionals lack the knowledge to effectively identify people with osteoporosis. Studies have revealed that GPs in France may underestimate the associated risks and may not initially consider a diagnosis of osteoporosis. A 2017 survey found that 68% of GPs felt they needed to be better informed about osteoporosis. It has been noted that complexities in national guidance may act as a barrier to appropriate management of osteoporosis in primary care. In addition, GPs may be uncertain about interpreting results from diagnostic tests.
This has contributed to a decrease in the number of people being assessed for osteoporosis. France has good provision of dual-energy X-ray absorptiometry machines in comparison with other European countries as well as a country-specific Fracture Risk Assessment Tool (FRAX®). However, the number of BMD assessments has not increased with the rising population at risk of osteoporosis. In fact, there has been a decrease in BMD assessments each year of approximately 6%.
Gaps in knowledge among GPs have also contributed to alarmingly low treatment rates for women with osteoporosis in France. Research shows that only 15% of women over the age of 50 receive treatment after an initial fragility fracture, and some GPs prescribe only vitamin D and calcium as treatments for osteoporosis. Reasons are varied and may include poor awareness of evidence-based clinical guidelines, difficulties in understanding the benefit-risk ratio of various treatments, and time restrictions during consultations.
Getting people back on track: facilitating multidisciplinary post-discharge care
Lack of standardised care pathways and multidisciplinary working in France leave many people at risk of rehospitalisation following a fragility fracture. National osteoporosis guidelines recommend a comprehensive approach to fracture and falls prevention with individualised assessment of risk factors and the provision of appropriate multidisciplinary care. However, limited multidisciplinary collaboration for fracture care has been noted as a considerable challenge to implementation of FLS in France. An estimated 15–30 FLS are in operation in France, and only 10–25% of hospitals report having a fracture referral system. However, there are some examples of effective FLS, including the service at Lille University Hospital. It is estimated that the introduction of FLS for all people aged over 50 years could prevent 2,665 fragility fractures in France every year.
Efforts to improve the post-discharge care pathway for patients with a fragility fracture are underway, but are yet to show positive outcomes. A hospital discharge programme that launched in 2010, Programmes d’accompagnement du retour à domicile après hospitalisation (PRADO), aims to provide better follow-up for patients in the community following hospitalisation. As part of the service, a national health insurance advisor liaises with the multidisciplinary team to coordinate discharge from hospital. While PRADO has been effective for some conditions, patients with fragility fractures have not benefited as much; this may be at least partly due to limited coordination between hospital staff and the national health insurance advisors.
One of the problems in our health system is the lack of collaboration between general practitioners, specialists and pharmacists.
Didier Poivret, Regional Hospital Metz-Thionville
Fracture liaison service at Lille University Hospital, France
Supporting quality of life as part of healthy and active ageing: prevention of falls and fractures in later life
Falls prevention programmes have been initiated at local or regional levels in France, with some evidence of impact. For example, the multidisciplinary Montpellier falls prevention clinic has been shown to reduce the number of falls and fear of falling, and improve mobility among older patients.\textsuperscript{20} Further research is needed to demonstrate the impact of falls prevention programmes on a larger scale.
Engaging patients and public: awareness, activation and self-management
Low awareness of osteoporosis and misunderstandings in the population contribute to low levels of treatment. People with osteoporosis lack understanding of their condition, are often wary of treatments and are concerned about side effects due to negative publicity on social media and in the press.\textsuperscript{14, 21-22} Similarly, as noted above, some GPs may not adequately prioritise the management of osteoporosis.\textsuperscript{23} As a result, a large proportion of people do not take the medication they need to prevent fractures.\textsuperscript{21, 23}
While public awareness campaigns exist in France, their impact is unclear. AFLAR runs a number of public awareness campaigns on osteoporosis, including the launch in 2014 of a “Bone Thief” mobile application aimed at the general public and physicians,\textsuperscript{24} and a 2018 national awareness campaign for World Osteoporosis Day.\textsuperscript{25} Public understanding of osteoporosis remains low, however, and there is a need for further evidence-based public awareness programmes which highlight the benefits of osteoporosis prevention and treatment.\textsuperscript{14, 21}
References
1. International Osteoporosis Foundation. 2018. \textit{Broken bones, broken lives: A roadmap to solve the fragility fracture crisis in France}. Nyvill, IDF
2. Association Française de Lutte Antiarthritique (AFLAR), Alliance Nationale Contre L’Ostéoporose. 2017. “Livre Blanc – États Généraux De L’ostéoporose - Pour un plan de santé publique contre les fractures liées à l’ostéoporose”. Paris: AFLAR
3. Ministère des Solidarités et de la Santé. \textit{Ma santé 2022 : un engagement collectif}. Available from: https://solidarites-sante.gouv.fr/système-de-santé-et-médico-social/masante2022/ [Accessed 04/11/19]
4. Polvert D. 2019. Interview with Taylor Morris at The Health Policy Partnership [telephone]. 01/11/19
5. République Française. Ministère des Solidarités et de la Santé. 2017. \textit{Stratégie nationale de santé 2018-2022}. Paris: Ministère des Solidarités et de la Santé
6. National Fund for Employee Workers’ Health Insurance (CNAMTS). \textit{Système National des Données de Santé (SNDS)}. Available from: https://www.snds.gouv.fr/SNDS/Accueil [Accessed 20/09/19]
7. Thomas T. 2019. Interview with Taylor Morris and Emily Keil at The Health Policy Partnership [telephone]. 20/09/19
8. Canova-Poitte F, Jagla S, Chapurlat R, et al. 2010. Has reimbursement of bone mineral density testing and anti-osteoporotic treatments improved management of osteoporosis in France? \textit{Bone} 47(4): 790-4
9. Biot K, Roux C, Thomas T, et al. 2018. 2018 update of French recommendations on the management of postmenopausal osteoporosis. \textit{Joint Bone Spine} 85(5): 519-30
10. Kanis JA, Borgstrom F, Compston J, et al. 2013. SCOPE: a scorecard for osteoporosis in Europe. \textit{Arch Osteoporos} 8: 144
11. Lespesailles B, Potril F-E, Roux C, et al. 2009. Prevalence and features of osteoporosis in the French general population: the EpiFract study. \textit{Joint Bone Spine} 76(4): 394-400
12. Flais J, Coffinet G, Le Noach J, et al. 2017. Low prevalence of osteoporosis treatment in patients with recurrent major osteoporotic fracture. \textit{Arch Osteoporos} 12(1): 24
13. Emry F, Auxinel A, Chu Miow Lin D, et al. 2015. Management of osteoporosis in women after forearm fracture: Data from a French health insurance database. \textit{Joint Bone Spine} 82(1): 52-55
14. Marle B, Hasselblatt M, Bergeron N, et al. 2019. Osteoporosis prevention: Where are the barriers to improvement in French general practitioners? \textit{Annals of Rheumatic Dis} 78(7): e0219681
15. Kanis JA, Cooper C, Rizzoli R, et al. 2019. European guidance for the diagnosis and management of osteoporosis in postmenopausal women. \textit{Osteoporos Int} 30(1): 3–44
16. Viprey M, Callet P, Canat G, et al. 2015. Low Osteoporosis Treatment Initiation Rate in Women after Distal Forearm or Proximal Humerus Fracture: A Healthcare Database Nested Cohort Study. \textit{PLoS One} 10(12): e0143842
17. Tresallet C, Trinquart L, Rogheud M, et al. 2009. Outcomes in older patients after surgical treatment for hip fracture: a new approach to characterise the link between readmissions and the surgical stay. \textit{Age Ageing} 38(5): 584-89
18. Pfiffmlin A, Gouraux A, Delabriere I, et al. 2019. Secondary prevention of osteoporotic fractures: evaluation of the Lille University Hospital’s Fracture Liaison Service between January 2016 and January 2018. \textit{Osteoporos Int} 30(9): 1773-88
19. International Osteoporosis Foundation. 2019. \textit{France’s first national service to provide post-hospitalisation follow up care for fragility fracture patients}. Available from: https://www.capturethefracture.org/france%E2%80%99s-first-national-service-provide-post-hospitalization-follow-care-fragility-fracture-patients/ [Accessed 21/11/19]
20. Blain H, Dabas F, Mekhinni S, et al. 2019. Effectiveness of a programme delivered in a falls clinic in preventing serious injuries in high-risk older adults: A pre- and post-intervention study. \textit{Maturitas} 122: 80-86
21. Alami S, Herrouet L, Poiriaudeau S, et al. 2018. Barriers to Effective Postmenopausal Osteoporosis Treatment: A Qualitative Study. \textit{PLoS One} 11(8): e0218865
22. Bourdou L, Gerbey B, Chopin F, et al. 2011. Management of osteoporosis in fracture liaison service associated with long-term adherence to treatment. \textit{Osteoporos Int} 22(7): 2099-106
23. Behassien M, Confavreux CB, Cortet B, et al. 2017. Anti-osteoporotic treatments in France: initiation, persistence and switches over 6 years of follow-up. \textit{Osteoporos Int} 28(3): 853-62
24. AFLAR. 2019. Labellisation “Le Valeur d’Os” - Mediapcarré Application “Le Valeur d’OS”. Available from: http://www.aflar.org/mediapcar-d-os/ [Accessed 11/08/19]
25. AFLAR. 2019. Osteoporose : La presse en parle! Available from: http://www.aflar.org/osteoporose-la-presse-en-parle-488/ [Accessed 11/09/19]
Osteoporosis and fragility fracture prevention in Germany
There are several barriers to improving prevention of osteoporosis and fragility fractures in Germany, including restricted reimbursement and a lack of national data. While multidisciplinary care is well-integrated into the treatment of fragility fractures, both fracture prevention and post-fracture follow-up are limited.
Burden and impact of osteoporosis and fragility fractures
Germany has among the highest number of fragility fractures of any population in Europe.\textsuperscript{1,2} Osteoporosis affects around 23% of women and nearly 7% of men over the age of 50 in Germany,\textsuperscript{3} levels which are comparable to other European countries. Due to its large population size, Germany has the highest number of fragility fractures per year of all EU5 countries; in 2017 alone, there were 765,000 fragility fractures. Alarmingly, this is predicted to increase to over 900,000 by 2030.\textsuperscript{3}
The cost of care and treatment for fragility fracture patients in Germany is significant and is predicted to increase substantially over the coming years. Healthcare costs for German women over the age of 50 who have osteoporosis – and are thus likely to sustain a fragility fracture – are more than three times the cost of care for those without osteoporosis.\textsuperscript{4} These costs present a considerable financial burden. Fragility-fracture-related costs amounted to over €11 billion in 2017, and are expected to rise to nearly €14 billion by 2030.\textsuperscript{1} This is largely driven by the costs associated with inpatient treatment and long-term care for those who have experienced a fragility fracture.\textsuperscript{4}
Building a system that works: policies for scrutiny, accountability and investment
The urgency of osteoporosis and fragility fractures does not appear to be recognised in health policy. It receives little attention in comparison to other chronic diseases such as diabetes, which seems to contribute to a lack of reimbursement and funding of care models for fragility fracture prevention.\textsuperscript{1,5-8} While a law for prevention (Präventionsgesetz) passed in 2015 – widely considered an important step towards a greater focus on prevention in Germany – it has been noted that this law has a narrow focus and does not encompass secondary or tertiary prevention, and neither osteoporosis nor bone health are included.\textsuperscript{7}
Germany has some registries collecting information on different types of fracture\textsuperscript{9-13} but data entry is voluntary, which may jeopardise comprehensiveness.\textsuperscript{10} Fracture Registries are mainly run by the German Society for Orthopaedics and Trauma (Deutsche Gesellschaft für Orthopädie und Unfallchirurgie; DGOU), the German Geriatric Society (Deutsche Gesellschaft für Geriatrie) and the German Osteology Society (Dachverband Osteologie; DVO).\textsuperscript{5,8-10} However, there is currently no registry combining data on all types of fractures, and data on quality of fracture care and outcomes are often not collected, analysed or used systematically.\textsuperscript{5,10} To address this, there have been efforts to establish a patient-centred fracture registry collecting data based on results of patient questionnaires, which has been shown to be feasible.\textsuperscript{11}
There are significant financial barriers to providing comprehensive fragility fracture prevention and care.\textsuperscript{1,5,8-12} Experts interviewed for this country profile noted that healthcare professionals are, for example, often only marginally compensated for fragility fracture prevention, if at all.\textsuperscript{12} As part of a pilot project which aims to reduce overall fragility fracture costs, some health insurance providers have increased payments to healthcare professionals for the delivery of osteoporosis-related services.\textsuperscript{13} It has been noted, however, that there seem to be no efforts to improve reimbursement structures for fragility fracture care across the country in the long term.\textsuperscript{6}
Catching it early: detection and management in primary care
People at high risk of sustaining a fragility fracture are often not identified or adequately managed in routine care in Germany.\textsuperscript{1,5,12-14,16} Routine investigation of fracture risk and osteoporosis in people with known risk factors is not well-established.\textsuperscript{12,16} Management of people with an existing fracture appears equally deficient, with primary care professionals rarely following the specialists’ treatment recommendation after a fracture.\textsuperscript{5,6,12} Gaps in knowledge among primary care professionals,\textsuperscript{16} an absence of referral systems\textsuperscript{16} and a lack of adequate compensation for investigating fracture risk contribute to the gap in diagnosis and management.\textsuperscript{14,16} For example, while the tariff paid to healthcare professionals for performing a dual-energy X-ray absorptiometry (DXA) scan has recently been raised, it still fails to fully cover costs.\textsuperscript{20} It has further been noted...
that many people may not fulfil the strict criteria for referral, meaning they will need to pay for a scan out-of-pocket if they wish to investigate their fracture risk.\textsuperscript{20}
Efforts to improve the management of osteoporosis in primary care through greater multidisciplinary collaboration are underway. Successful past initiatives\textsuperscript{8–11} often failed to maintain long-term impact which may be due, at least in part, to a lack of sustainable funding. The planned introduction of a disease management programme, which has already improved care for other chronic diseases, could foster greater collaboration between specialists and primary care, and create incentives for delivering best-practice care.\textsuperscript{12, 13} Furthermore, the DVO is certifying doctors in primary care to become osteologists, to increase their qualification to treat people with osteoporosis.\textsuperscript{24}
**Getting people back on track: facilitating multidisciplinary post-discharge care**
Germany performs well in providing hospital-based multidisciplinary care for patients after a fracture, but often fails to initiate measures to prevent subsequent fractures.\textsuperscript{25} Orthogeriatric care is widely recognised as an integral component of in-hospital care for older people who have sustained a fragility fracture, and has improved acute care post-fracture.\textsuperscript{14, 15, 26} However, a recent study from one area in Germany suggested doctors in orthopaedic and trauma departments are failing to diagnose osteoporosis following a fracture in as many as 70% of fracture patients.\textsuperscript{17} Germany is falling behind many other European countries such as France, Italy, Spain and the UK, where up to 80% of fracture patients are adequately treated for their underlying risk factors.\textsuperscript{24}
There is currently no standardised pathway to ensure adequate post-discharge care and seamless transition to primary care, presenting a missed opportunity to reduce fracture risk in the long term.\textsuperscript{1, 24} Only a minority of hospitals have a referral pathway in place for patients post-fracture, meaning the majority of people are discharged without clear treatment recommendations.\textsuperscript{3, 17} This results in suboptimal management following discharge.\textsuperscript{29, 31} Data from 2015 revealed that more than 90% of people did not receive any treatment for osteoporosis within 12 months of their first fracture.\textsuperscript{34}
Efforts are underway to pilot models for improving multidisciplinary post-discharge care in Germany. To bridge the treatment gap following a fracture, two fracture liaison services (FLS) have recently been established,\textsuperscript{32} successfully improving outcomes by linking patients to registered physicians such as endocrinologists, geriatricians and general practitioners.\textsuperscript{33, 34} The use of FLS at a German trauma centre led to more people being diagnosed with osteoporosis and 90% being prescribed a treatment to reduce their fracture risk.\textsuperscript{18}
**Supporting quality of life as part of healthy and active ageing: prevention of falls and fractures in later life**
Germany has been spearheading research and initiatives around falls prevention\textsuperscript{35–37} but access to comprehensive programmes varies across the country.\textsuperscript{38} After a fragility fracture, most people have access to a four-week rehabilitation course including muscle strengthening and balance training.\textsuperscript{19} For residents in nursing homes, there are standards for falls prevention\textsuperscript{39} and, in some regions such as Bavaria, falls prevention programmes have been implemented successfully.\textsuperscript{40} Furthermore, in recent years, a range of innovative care models and technologies has been developed, such as a mobile-device-based geriatric assessment,\textsuperscript{38} looking to promote healthy and active ageing while reducing costs to the health system.
**Engaging patients and public: awareness, activation and self-management**
Germany has six patient-focused osteoporosis organisations which have contributed to improved knowledge, but gaps in self-management remain.\textsuperscript{1, 50} They have established more than 300 patient support groups\textsuperscript{41} and often run physical activity programmes to help participants manage their osteoporosis, and have been shown to have a positive impact on long-term treatment and management.\textsuperscript{41–43} At the same time, patient organisations have highlighted that people often have too little guidance on finding an osteoporosis specialist and deciding on the most appropriate treatment.\textsuperscript{12} Many people do not seek investigation of osteoporosis\textsuperscript{44} and a large proportion of those who have been diagnosed struggle to stay on their osteoporosis medication. In a recent study, more than half of osteoporosis patients in Germany discontinued their treatment within the first year of being put on osteoporosis medication.\textsuperscript{44}
References
1. Hernlund E, Svedbom A, Ivergard M, et al. 2013. Osteoporosis in the European Union: medical management, epidemiology and economic burden. A report prepared in collaboration with the International Osteoporosis Foundation (IOF) and the European Federation of Pharmaceutical Industry Associations (EFPIA). *Arch Osteoporos* 8: 56.
2. Haas P, Kottke S, Gotha H, et al. 2013. The Epidemiology of Osteoporosis. *DtSch Arztebl* Int 110(4): 52-57.
3. International Osteoporosis Foundation. 2018. *Broken bones, broken lives: A roadmap to solve the fragility fracture crisis in Germany*. Nyon: IOF.
4. Bleibler F, Rapp K, Jaensch A, et al. 2014. Expected lifetime numbers and costs of fractures in postmenopausal women with and without osteoporosis in Germany: a discrete event simulation model. *BMC Health Serv Res* 14(1): 191.
5. Kottke A. 2019. Interview with Kirsten Budig at *The Health Policy Partnership* [Telephone]. 18/09/2019.
6. Drehnhofer K. 2019. Interview with Kirsten Budig at *The Health Policy Partnership*. 18/09/2019.
7. Bundesministerium für Gesundheit. 2019. *Präventionsgesetz*. Available from: https://www.bundesgesundheitsministerium.de/service/begriiffe-von-a-z/praeventionsgesetz.html [Accessed 07/11/2019]
8. Kostuj T, Kladny B, Hoffmann R. 2016. [Registries of the German Society for Orthopaedics and Trauma : Overview and perspectives of the DGU and DGOCO registries]. *Unfallchirurg* 119(6): 485-8.
9. Eb. 2019. *Gemeinsamer AlterstraumaRegister* gestartet. *DtSch Arztebl* Int 113(14): A-654-A-654.
10. Stengel D, Drenkheifer K, Kostuj T. 2016. Einfluss von Registern auf die Versorgungsqualität. *Der Unfallchirurg* 119
11. Beier M, Kirchhoff C, Biberthaler P. 2017. Development of a German fracture register to assess current fracture care and improve treatment quality. A feasibility study. *EJORT Open Rev* 2(12): 474-77.
12. Blutgruppe- und Dachverband für Osteoporose e.V. 2019. *BfO fördert kompetente Begleitung der Patienten*. Available from: https://www.osteoporose-deutschland.de/bfo-fordert-kompetente-begleitung-der-patienten/ [Accessed 28/08/2019]
13. Ärzte Zeitung. 2010. *Integrierte Versorgung kann Compliance bei Osteoporose verbessern*. Available from: https://www.aerztezeitung.de/Politik/Integrierte-Versorgung-kann-Compliance-bei-Osteoporose-besserseim-213930.html [Accessed 29/08/2019]
14. Haasterer B, Prati VC, Himmerl M, et al. 2015. Prävalenz und Management der Osteoporose in der Unterfranken. *Deutsche Medizinische Wochenschrift* 140: 43.
15. Gross T. 2018. Keine Therapie trotz spezifischer Fraktur-Empfehlung? *Praxis* 107(11): 573-84
16. Dachverband der Deutschsprachigen Wissenschaftlichen Osteologischen Gesellschaften e.V. 2017. Prophylaxe, Diagnostik und Therapie der OSTEOPOROSE bei postmenopausalen Frauen und bei Männern. *Kurth AA, Salzmann M, Stumpf U, et al. 2018. Eine regionale Analyse der Tertiärprävention. Osteologie* 27(03): 135-43.
17. Schrey D, Neuerburg C, Stein J, et al. 2016. Value of a coordinated management of osteoporosis via Fracture Liaison Service for the treatment of orthogeriatric patients. *Eur J Trauma Emerg Surg* 42(5): 559-64
18. Heberlein I, Demary W, Bloching H, et al. 2011. Diagnosis and treatment of osteoporosis and rheumatoid arthritis in accordance with German guidelines. Results of a survey of patients, primary care physicians and rheumatologists. *Z Rheumatol* 70(7): 592-601
19. Osteoporose Selbsthilfegruppe Dachverband e.V. 2019. *Knochendichtemessung als Kassenleistung. Wann zahlt die Krankenkasse?*. Available from: https://o-sd-ev.org/osteoporose/knochendichtemessung/knochendichtemessung-als-kassenleistung/ [Accessed 07/11/2019]
20. Niedhart C, Preising A, Eichhorn C. 2013. *Signifikante Reduktion von Krankenhausneuweisungen aufgrund osteoporoseassoziierten Frakturen durch intensivierte multimodale Therapie – Ergebnisse der Integrierten Versorgung Osteoporose Nordrhein.* *Z Orthop Unfall* 151(01): 20-24
21. Institut für Qualität und Wirtschaftlichkeit im Gesundheitswesen (IQWiG). 2018. *Leitliniensynopse zum DMP Osteoporose*. Rapid Report.
22. Schröder MA, Ernst M, Schröder W. 2017. *Brüchiger Knochen, harte Fakten: Fehl- und Unterversorgung der Osteoporose.* GMS Gesundheits- und Sozialpakt 71(2): 45-51
23. Hesse E, Bocker W, Kammerlander C, et al. 2019. *Establishment of fracture liaison services in Germany*. *Unfallchirurg*. 10.1007/s00113-019-00705-5
24. Deutsche Gesellschaft fuer Geriatrie e.V. 2015. *Zrt. "Alterstraumatologisches Zentrum" - ein geriatrisches Zertifikationsverfahren*. Available from: https://www.dgg-geriatrie.de/ueber-uns/positionen-der-dgg/926-alterstraumatologisches-zentrum-%2d%80%83-en-geriatrisches-zertifikationsverfahren/ [Accessed 28/08/2019]
25. Jung K, Krause U. 2017. *Fünftürkiges AltersTraumaZentrum DGU® zertifiziert. Orthopädie und Unfallchirurgie* 71(1): 64-65
26. Gruber M, Roos M, Duchene W, et al. 2015. Evaluation eines Versorgungskonzepts für die Alterstraumatologie. *DtSch Arztebl* Int 112(7): 113-19
27. Bilzer R, Singer K, Curschmann-Horter M, et al. 2013. Implementation of a co-managed Geriatric Fracture Center reduces hospital stay and time-to-operation in elderly femoral neck fracture patients. *Arch Orthop Trauma Surg* 133(11): 1527-31
28. Rausch V, Schwarzer A, Dietrich JW, et al. 2018. We miss the opportunity: Prevalence of osteoporosis in a German population-based sample. *PLoS One* 13(11): e0207122
29. Haag P, Gottschalk F, Wilke A, et al. 2019. Prevalence and incidence of patients with an osteoporosis diagnosis and high fracture risk. *Osteologie* 28(01): P 1
30. Gosch M, Drum T, Nicholas JA, et al. 2015. Fragility non-hip fracture patients are at risk. *Arch Orthop Trauma Surg* 135(1): 69-77
31. International Osteoporosis Foundation. 2019. *Capture the Fracture. Map of best practice*. Available from: https://www.capturethefracture.org/map-of-best-practice-page?field_rating_tid=AllCountry=de [Accessed 28/08/2019]
32. Wolters W, Rossmann M, Pommerning J, et al. 2016. Establishment of a large sector-spanning fracture liaison service in Germany. *Bone Abstracts*: 10.1530/bonea-5.P411
33. Bundesministerium für Bildung und Forschung. 2011. Training statt Betreuung verhindert Oberschenkelhalsbrüche. *Präventionsmaßnahmen für Pflegekräfte könnten bis zu 40 Millionen Euro sparen*. Available from: https://www.gesundheitsministerium-bmfs.de/gesundheit/praevention/praeventionsmaessnahmen-fuer-pflegekrae/ [Accessed 20/08/2019]
34. Becker C. 2017. *Prävention von Stürzen und sturzbedingten Verletzungen.* *J Gerontol Geriatr* 50(8): 672-75
35. Rapp K, Kampf K, Roigk P, et al. 2016. The osteoporotic fracture prevention program in rural areas (OFPRA): a protocol for a cluster-randomized health care fund driven intervention in a routine health care setting. *BMC Musculoskelet Disord* 17(1): 458-58
36. Schmidt S. 2016. *Expertenstandard Sturzprophylaxe in der Pflege. Expertenstandards in der Pflege - eine Gefahr für die Pflege?*. Berlin, Heidelberg: Springer Berlin Heidelberg: 85-106
37. Lindner. 2019. *Lindner*. Available from: https://www.lindner.de/ [Accessed 08/08/2019]
38. Kanis JA, Borgstrom F, Compston J, et al. 2013. SCOPE: a knockout for osteoporosis in Europe. *Arch Osteoporos* 8: 144
39. Bundesstiftungsvorstand für Osteoporose e.V. 2019. *Was ist Osteoporose?*. Available from: https://www.osteoporose-deutschland.de/interview-was-ist-osteoporose/ [Accessed 21/11/2019 ]
40. Bundesstiftungsvorstand für Osteoporose e.V. 2019. *Daten und Fakten*. Available from: https://www.osteoporose-deutschland.de/osteoporose/daten-und-fakten/ [Accessed 27/08/2019]
41. Bundesstiftungsvorstand für Osteoporose e.V. 2019. *Leben mit Osteoporose*. Available from: https://www.osteoporose-deutschland.de/interview-leben-mit-osteoporose/ [Accessed 30/09/2019]
42. Kathmann W. 2018. *Fracture Liaison Service. Bessere Abklärung von Osteoporose*. Ärzte Zeitung. Available from: https://www.aerztezeitung.de/medizin/krankheiten/skelett_und_weichteilkrankheiten/osteoporose/article/955174/fracture-liaison-service-bessere-abklarung-osteoporose.html [Accessed 28/09/2019]
43. Haag P, Jacob L, Kostiev K. 2016. Gender and age-related treatment compliance in patients with osteoporosis in Germany. *Patient Prefer Adherence* 10: 2379-85
Osteoporosis and fragility fracture prevention in Ireland
Falls and fragility fractures have gained national policy attention in recent years, although osteoporosis is not generally viewed as a policy priority in Ireland. Collaborative efforts between clinicians and national organisations have resulted in the development of new programmes, such as a national hip fracture database, which are having a meaningful impact on the management of fragility fractures.
Burden and impact of osteoporosis and fragility fractures
Osteoporosis and fragility fractures impose a considerable burden on the health system in Ireland, which will increase significantly as the population ages. Osteoporosis was estimated to affect 20% of women and 6.2% of men over 50 in Ireland in 2010.\(^1\) Furthermore, approximately one in two women and one in five men over 50 in Ireland will experience a fracture in their lifetime.\(^2\) In 2010, this amounted to 18,000 new fragility fractures, and this is set to rise to 28,000 by 2025 due to population ageing.\(^1\) Treatment for falls and fragility fractures cost an estimated €402 million per year in 2012, a figure that is expected to exceed €1,587 million by 2030.\(^2\)
Building a system that works: policies for scrutiny, accountability and investment
While osteoporosis may not be recognised as a national health priority, prevention of falls and fragility fractures is beginning to gain attention at the national level. Published in 2008, *The Strategy to Prevent Falls and Fractures in Ireland’s Ageing Population*\(^3\) discusses the burden and risk factors of falls and fractures in Ireland. This includes an overview of osteoporosis and recommendations for reducing the burden of falls and fractures.\(^3\) While there do not appear to be more recent policies or strategies for fracture prevention, this strategy led to the development of a national programme on falls and bone health, which is ongoing.\(^4\) However, osteoporosis does not seem to be positioned as a priority condition in national policy,\(^5\) and funding for programmes that aim to better manage osteoporosis appears to be limited.\(^5,6\)
The Irish Hip Fracture Database (IHFD) is a well-established audit of hip fracture management and outcomes in Ireland. It was introduced in 2012 to improve the quality of hip fracture care in hospitals, as assessed against international standards.\(^7\) All 16 acute hospitals in the country participate in the audit and upload data on patients aged 60 and older who are admitted for a hip fracture.\(^7\) In 2018, data coverage reached 99%, and 10 hospitals achieved 100% data coverage.\(^8\) Care of people with hip fractures is assessed against six standards and reported annually by site, to allow hospitals to identify key areas for improvement.\(^8\) Data on other fragility fractures are not yet collected, although a fracture liaison service (FLS) database is reported to be in development.\(^5,6\)
Reimbursement policy in Ireland supports access to osteoporosis treatment, although access to dual-energy X-ray absorptiometry (DXA) scans may vary. Doctors may prescribe any approved osteoporosis treatment they believe to be most appropriate,\(^9\) and much of the cost of osteoporosis medications is reimbursed through the national Drugs Payment Scheme.\(^10\) This supports good access to treatment.\(^11\) However, reimbursement of DXA scans may vary between insurance companies, and there may be limited availability of this service in public hospitals.\(^11\)
Catching it early: detection and management in primary care
Clinical guidance supports the use of DXA scans to assess fragility fracture risk before the first fracture.\(^6\) The Irish Osteoporosis Society (IOS) has published guidance highlighting the value of identifying fracture risk before a fracture occurs and specifies a range of indications for DXA scanning.\(^6\) While this guidance is shared with every general practitioner (GP) in Ireland, it may not always be put into practice.\(^6\) As a result, osteoporosis may go undiagnosed even after multiple fractures have occurred.\(^6\)
*A Fracture Risk Assessment Tool (FRAX®) for Ireland* is available but it remains unclear whether it is widely used. While a country-specific FRAX® tool has been developed and calibrated using national hip fracture data,\(^12\) clinical guidance does not specify how this should be used to inform decision-making; and it is not recommended by the IOS due to its limitations.\(^6\) Clinical guidance states that osteoporosis should be diagnosed using a DXA scan.
in combination with detailed clinical information and blood tests, and use of an online self-assessment is also promoted by the IOS.\textsuperscript{12} Guidance also details each of the available medications.\textsuperscript{2}
**Getting people back on track: facilitating multidisciplinary post-discharge care**
Orthogeriatric services are relatively new to Ireland, but geriatric or orthogeriatric care of older people with hip fractures is increasing rapidly.\textsuperscript{10} In 2014, there was only one orthogeriatrician appointed in Ireland,\textsuperscript{11} and in 2016, seven of 16 hospitals had at least some orthogeriatric involvement in hip fracture management.\textsuperscript{13} Since then, orthogeriatrics services have been introduced in more hospitals,\textsuperscript{8} and more than two thirds of people with hip fractures are now seen by a geriatrician while in hospital.\textsuperscript{9}
The IHFD has supported annual improvements in hip fracture management and outcomes, although gaps remain. Key metrics that improved between 2017 and 2018 include the proportion of people who were seen by a geriatrician in hospital, the proportion who received a bone health assessment and the proportion who received a specialist falls assessment.\textsuperscript{9} The proportion of people who were admitted to an orthopaedic ward or theatre from the emergency department within the target time of four hours increased between 2017\textsuperscript{9} and 2018, but remains low at 17%.\textsuperscript{9} An expert interviewed for this country profile suggested that achievement of this target may be hindered by wider health system issues such as hospital overcrowding.\textsuperscript{14} In addition, there is notable variation between hospitals in terms of service provision and achievement of best-practice standards.\textsuperscript{9}
A pay-for-performance incentive scheme has recently been introduced and is further contributing to improvements in hip fracture outcomes. The hip fracture Best Practice Tariff, Ireland’s only incentive payment scheme for hospitals, was introduced in 2018.\textsuperscript{8,9} Through this scheme, eligible hospitals receive an incentive payment of €1,000 for every patient whose management meets eight standards of care per patient.\textsuperscript{9} To be eligible for this scheme, hospitals must submit at least 90% of eligible data and must have in place an audit coordinator, a clinical lead and a hip fracture governance committee.\textsuperscript{9} In the first year, €278,000 was paid to hospitals through the scheme, representing 7% of hip fractures in the country.\textsuperscript{9} Data from the IHFD show that some measures of hip fracture management have improved considerably since the introduction of the Best Practice Tariff.\textsuperscript{9}
**Some Irish hospitals have established FLS, but data are limited.** When last assessed in 2016, seven out of 16 hospitals had a fracture liaison nurse.\textsuperscript{15} As a national FLS database has not yet been implemented, it is not clear how many FLS are currently in place or what impact these services are having on fracture outcomes. Only five services in Ireland are registered with Capture the Fracture\textsuperscript{®}; two have received a silver rating, two have received bronze and one is currently under review.\textsuperscript{14}
**Supporting quality of life as part of healthy and active ageing: prevention of falls and fractures in later life**
**National strategies support the development of falls prevention services.** With a rapidly ageing population, the incidence of falls in some areas is rising quickly and there is a clear need to implement comprehensive falls prevention programmes.\textsuperscript{16} As mentioned above, a national strategy on falls and fracture prevention was published in 2008,\textsuperscript{3} which gave rise to the AFFINITY National Falls and Bone Health Project in 2013.\textsuperscript{4} This national project aims to foster integration of key services and develop a comprehensive falls and fracture prevention strategy.\textsuperscript{16} Specifically, the project aims to develop guidance for community falls services and establish a falls and bone health information service for the public.\textsuperscript{16} It also highlights the importance of integrating prevention and rehabilitation services to reduce both falls and their impact on the health and wellbeing of older people.\textsuperscript{16}
**Engaging patients and public: awareness, activation and self-management**
The IOS is a highly active patient organisation seeking to raise awareness of osteoporosis among clinicians and the public. The society’s President has emphasised the critical importance of educating the public about osteoporosis, suggesting that educating people with osteoporosis will lead to better management of the condition and fewer fracture-related hospital admissions.\textsuperscript{5} To improve public awareness, the IOS publishes extensive information about prevention and management of osteoporosis on its website\textsuperscript{17–19} and runs a national helpline where members of the public can submit queries.\textsuperscript{19} It also aims to engage with GPs to educate them about osteoporosis and current guidance.\textsuperscript{5} Despite these efforts, awareness of osteoporosis in Ireland still seems to be low.\textsuperscript{5}
**Use of osteoporosis medication is suboptimal in Ireland.** One year after being prescribed osteoporosis medication, 64% of women and 60% of men are still taking it.\textsuperscript{20} After three years, 45% of women and 29% of men continue taking the medication.\textsuperscript{20} Improved engagement in primary care may be needed as 30% of people on osteoporosis medication go five years without having their treatment reviewed by a GP\textsuperscript{21} even though it has been recommended that bone health be monitored via repeat DXA scans up to every two years.\textsuperscript{2,5}
Osteoporosis and fragility fracture prevention in Italy
The Italian government has recognised the importance of integrated osteoporosis, fragility fracture and falls prevention as a policy priority. Furthermore, the government is active in promoting best-practice management of osteoporosis at a national level. Despite this, large variations in access to early diagnosis and treatment occur at the regional level, leaving many people without access to optimal osteoporosis or fragility fracture care and prevention services.
Burden and impact of osteoporosis and fragility fractures
A significant number of people in Italy are affected by osteoporosis and fragility fractures. Osteoporosis affects around 25% of women and 7% of men over the age of 50.\(^1\) Fragility fractures are also very common, with more than half a million occurring in 2017.\(^1\)
Fragility fractures are costly for the Italian healthcare system. An estimated €9.45 billion was spent on fractures in 2017, with hip fractures incurring 59% of total fracture-related costs.\(^1\) By 2030, costs are set to increase by 26.2% to €11.9 billion.\(^1\)
Building a system that works: policies for scrutiny, accountability and investment
Osteoporosis is a priority for the Ministry of Health (Ministero della Salute) in Italy. In 2018, the National Intervention Strategy for Osteoporosis was finalised by the Ministry of Health in collaboration with scientific societies. This strategy aims to define an overall systematic approach to the prevention, diagnosis and treatment of osteoporosis in Italy and ensure greater continuity of care and multidisciplinary collaboration.\(^2\)
Fragility fractures are integrated into prevention plans in Italy. The National Prevention Plan (NPP) led by the Ministry of Health defines objectives at the national level, following which regional prevention plans are created.\(^3\) The latest NPP for 2014–2018 identified ‘hospitalisation due to fragility fractures for patients over 75 years old’ as a key performance indicator to measure physical activity, and set a 15% reduction target by the end of 2018, although it is unclear whether this target has been reached.\(^1,4\)
The framework for a national register for fragility fractures has been established, but adaptation and implementation in the country’s regions is uneven. The need for more comprehensive epidemiological data on fragility fractures in Italy prompted the Ministry of Health to develop the Italian Registry for Fragility Fractures (Registro Italiano delle Fratture da Fragilità) in 2015. The registry aims to collect data on the socioeconomic impact of fragility fractures in Italy, assess the effectiveness of health policy interventions and allocate resources more appropriately. However, while frameworks for data collection have been created at a national level, many regions still need to implement databases to allow for appropriate tracking of data against indicators.
Restrictions in the reimbursement of diagnostic tests in Italy can result in unequal access to care. Dual-energy X-ray absorptiometry (DXA) scans are reimbursed by the Italian public health system, but there are some restrictions on eligibility for full reimbursement. For example, women aged 65 and over without additional risk factors are excluded, meaning osteoporosis is still largely undiagnosed among postmenopausal women.
Osteoporosis treatments are reimbursed in Italy for certain groups. This includes people with a history of one or more previous fragility fractures, postmenopausal women, and men over 50 years of age with certain risk factors (depending on bone mineral density score).
Catching it early: detection and management in primary care
Variation in access to diagnostic tools has led to delays in diagnosis. Despite the high availability of DXA machines, the average waiting time to receive a DXA bone scan in Italy is approximately 83 days. Many DXA units are situated in research centres or private hospitals and are only available in some parts of the country, which means that people face a ‘diagnostic lottery’ depending on where they live.
A range of tools to assess fracture risk are available in Italy. A country-specific Fracture Risk Assessment Tool (FRAX®) is widely used for evaluating the risk of a fragility fracture. In addition, a FRAX®-derived algorithm called FRAHS was recently developed for use among general practitioners to assess risk in primary care. Other tools developed in Italy, such as Derived Fracture Risk Assessment (DeFRA), have not yet been validated on a large scale.
Getting people back on track: facilitating multidisciplinary post-discharge care
The importance of multidisciplinary care following a fragility fracture is highlighted in a range of guidance documents. Various scientific societies, including the Italian Society of Orthopaedics and Traumatology (Società Italiana di Ortopedia e Traumatologia; SIOT), the Italian Society of Osteoporosis, Mineral Metabolism and Skeletal Diseases (Società Italiana dell’Osteoporosi del Metabolismo Minrale e delle Malattie dello Scheletro; SIO(MMMS)) and the Italian Society of Rheumatology (Società Italiana di Reumatologia; SIR), have developed recommendations on integrated and multidisciplinary models for the management of osteoporosis and fragility fractures. These have been implemented in some areas, as demonstrated by the multidisciplinary hip fracture unit in Careggi University Hospital.
Access to multidisciplinary care models for people with fractures is variable, however. In some regions, plans exist for multidisciplinary care for fragility fractures, known as PDTA (Parcorso Diagnostico-Terapeutico Assistenziali, or Diagnostic Therapeutic Assistant Pathway). While these support access to models of care based on the fracture liaison service model, they are not available in all parts of the country. In fact, fewer than 3% of Italian hospitals have established referral systems for fracture patients.
As a consequence of these regional disparities, many Italian patients do not receive optimal care following a fragility fracture. More than 75% of elderly patients do not receive any medication for osteoporosis on discharge from hospital after a hip fracture. Failure to provide appropriate treatment in hospital can lead to an increased risk of subsequent fractures and premature death.
Supporting quality of life as part of healthy and active ageing: prevention of falls and fractures in later life
National osteoporosis and fragility fracture guidelines discuss the importance of making lifestyle and behavioural changes to prevent falls. These highlight physical activity and vitamin D intake as key measures to reduce the risk of fractures among older people. In addition, the Ministry of Health provides guidance for falls prevention and management of people in hospitals and nursing homes. Emphasis is placed on the provision of risk assessment tools, healthcare professional training and physical activity interventions.
Despite national guidance, the level of support that older people receive following a fragility fracture is quite variable. Home-based rehabilitation is not available in all regions and is provided at the discretion of local health authorities. In addition, the Italian health system does not provide any specific reimbursement for home assistance for older patients with significant disabilities and multiple conditions.
Engaging patients and public: awareness, activation and self-management
Discontinuation of osteoporosis treatment leaves many people at risk of further fractures. A 2013 study undertaken in the Campania region found that 70% of Italian patients had discontinued their osteoporosis medication after six months and only 14% were on medication one year after initiation. Common reasons include side effects and a lack of motivation.
Improving knowledge of osteoporosis among patients and the public may play a crucial role in supporting people to keep taking medication. While public information about osteoporosis is available online through the Ministry of Health and national societies, there is an urgent need for national awareness campaigns that address the links between fragility fractures and osteoporosis, and highlight the safety and long-term effectiveness of medication in preventing future fractures.
References
1. International Osteoporosis Foundation. 2019. *Broken Bones, Broken Lives: A roadmap to solve the fragility fracture crisis in Italy*. New York.
2. Ministero della Salute. 2015. Una strategia di intervento per l’osteoporosi. Available from: http://www.salute.gov.it/portale/news/2_1_1_1_1.jsp?lingua=italiano&menu=notizie&p=alministrazione&id=3368 [Accessed 28/09/19]
3. Morciano I., Caerella E. 2018. The Governance of Prevention in Italy. *Biomedicine and Prevention* 3(173): 223-25
4. Ministero della Salute. 2015. Ridurre il carico prevenibile ed evitabile di morbosità, mortalità e disabilità delle malattie non trasmissibili. Available from: http://www.salute.gov.it/portale/temi/p2_6.jsp?lingua=italiano&id=4241&area=prevenzione&menu=obiettivi [Accessed 25/09/19]
5. Tarantino U., Fioella M., Raci C., et al. 2011. Epidemiologia delle fratture da fragilità nel Lazio: approccio globale e non selettivo. *Rivista Italiana di Ortopedia e Traumatologia* 125(3): 10-12
6. Brandi ML, Guglielmi G, Massai S, et al. 2012. When the government actively faces the burden of osteoporosis: the Italian experience. *Arch Osteoporos* 7: 21-4
7. Tarantino U, Iolascon G, Gianforatti L, et al. 2017. Clinical guidelines for the prevention and treatment of osteoporosis: summary statements and recommendations from the Italian Society for Orthopaedics and Traumatology. *J Orthop Traumatol* 18(1): 3-38
8. Svendsen AH, Lundlund E, Kiergaard M, et al. 2013. Osteoporosis in the European Union: a compendium of country-specific reports. *Arch Osteoporos* 8: 137
9. Kanis JA, Borgstrom F, Compston J, et al. 2013. SCOPE: a scorecard for osteoporosis in Europe. *Arch Osteoporos* 8: 144
10. Nuti R, Brandi ML, Chelechka G, et al. 2019. Guidelines for the management of osteoporosis and fragility fractures. *Intern Emerg Med* 14(1): 85-102
11. Rostagno C, Carletti A, Buzzelli P, et al. 2013. Multidisciplinary approach to hip fracture in the elderly: florence experience. *Eur Geriatr Med* 3: 148-52
12. Rostagno C, Carletti A, Civinini R, et al. 2018. Hip fracture unit: beyond orthogeriatrics. *Intern Emerg Med* 13(5): 637-39
13. REGIONE FRIULI VENEZIA GIULIA: Direzione centrale salute integrazione socio sanitaria politiche sociali e famiglia. 2016. Percorso Assistenziale da Piacenza con Osteoporosi: Indicazioni di Appropriatezza per il Riferimento Alto Specialista Reumatologo. Available from: http://www.malatutteinfamiglie.org/malattie/docs/Percorsi%20Assistenziali_%20Osteoporosi%20-%20Avviso.pdf [Accessed 25/09/19]
14. REGIONE LOMBARDIA: Azienda Socio-Sanitaria Territoriale di Pavia. 2016. Percorso Diagnostico Terapeutico Assistenziale Ospedale - Territorio per Pazienti con Fratture da Fragilità e con Osteoporosi. Available from: http://www.asst-pavia.it/sites/default/files/documenti/PIC%20Centri%20assist%20eap_Terr%20pz%20fratture%20e%20osteoporosi%20rev%20%202016_0.pdf [Accessed 25/09/19]
15. Papavero Russo Wert. 2016. Fratture da fragilità: linee guida dedicate, percorso diagnostico terapeutico assistenziale standard e tempestività di intervento. Available from: https://www.ipapaverosovioweb.it/article/fratture-da-fragilit%c3%a0-linee-guida-dedicate-percorso-diagnostico-terapeutico-assistenziale [Accessed 24/09/19]
16. Picci G, Pellicotti F, Davoli ML, et al. 2010. Hip fracture management and outcomes in Italy. *Eur Geriatr Med* 1(2): 104-07
17. Degli Esposti L, Sirignaglia L, Rossini M, et al. 2012. Adherence to therapeutic and diagnostic recommendations in patients with femur fracture and at risk of re-fracture or death: results of an analysis of administrative databases. *Reumatismo* 74(1): 18-26
18. Giannini S, Carletti C, Iolascon G, et al. 2017. Prescription of anti-osteoporosis medications after hospitalization for hip fracture: a multicentre Italian survey. *Aging Clin Exp Res* 29(5): 1031-37
19. Rossini M, Adami S, Bertoldo F, et al. 2016. Guidelines for the diagnosis, prevention and management of osteoporosis. *Reumatismo* 68(1): 1-39
20. Ministero della Salute. 2011. Raccomandazione Per La Prevenzione E La Gestione Della Caduta Del Paziente Nelle Strutture Sanitarie. Available from: http://www.salute.gov.it/imgs/C_17__pubblicazioni_1639_allegato.pdf [Accessed 25/09/19]
21. Imaz I, Zegarra P, Gonzalez-Espinosa J, et al. 2010. Poor bisphosphonate adherence for treatment of osteoporosis increases fracture risk: systematic review and meta-analysis. *Osteoporosis Int* 21(11): 1943-51
22. Iolascon G, Grimigliano F, Orlando V, et al. 2013. Osteoporosis drugs in real-world clinical practice: an analysis of persistence. *Aging Clin Exp Res* 25(1): 137-41
23. Rosario M, Bianchi G, De Munno O, et al. 2006. Determinants of adherence to osteoporosis treatment in clinical practice. *Osteoporosis Int* 17(6): 914-21
24. Brandi ML, Dura P, Vita T, et al. 2015. Improving adherence to and persistence with oral therapy of osteoporosis. *Osteoporos Int* 26(5): 1629-38
25. Ministero della Salute. 2015. Aiuta le tua ossa! A tavola, con attività fisica e sole. Osteoporosi e stili di vita. Available from: http://www.salute.gov.it/imgs/C_17__opuscoli/Poster_258_allegato.pdf [Accessed 28/09/19]
Osteoporosis and fragility fracture prevention in the Netherlands
Osteoporosis and fragility fractures are not prioritised in national health policies in the Netherlands and there is considerable variation in delivery of key services across the country. Recent developments such as the National Hip Fracture Audit and the establishment of fracture liaison services are supporting improvements in care, but have primarily been driven by professional organisations.
Burden and impact of osteoporosis and fragility fractures
The burden of osteoporosis in the Netherlands is considerable and incurs high costs. Osteoporosis is estimated to affect up to 23% of women and 6% of men aged 50 and over.\(^1\) This contributes to around 76,000 fragility fractures per year.\(^2\) In 2010, the estimated cost associated with osteoporosis was €824 million, a figure which is estimated to rise to €1.1 billion by 2025.\(^1\)
Building a system that works: policies for scrutiny, accountability and investment
While the Dutch government has a strong focus on prevention, it does not appear to prioritise osteoporosis and fragility fractures. There is currently considerable policy focus on prevention,\(^2\) with the ambition of supporting health throughout life and ensuring that older people can maintain good health for as long as possible. However, the National Prevention Agreement focuses on lifestyle factors, while specific conditions such as osteoporosis are not addressed;\(^2\) An expert commentator has suggested that diseases such as diabetes, which has a more visible impact on health, are usually prioritised over osteoporosis, which does not cause symptoms until a fracture occurs.\(^3\)
A national hip fracture registry has recently been established with the aim of improving hip fracture management. The Dutch Hip Fracture Audit began collecting data in 2016 and produced its first report in 2017.\(^4\) Initiation of this audit, part of the Dutch Institute for Clinical Auditing, resulted from multidisciplinary collaboration between numerous professional societies.\(^4\) While improvements in care have yet to be reported, the audit has been used to identify gaps in care across the Netherlands and is currently supporting three pilot projects to improve and standardise hip fracture monitoring and care.\(^5\)
The health insurance system in the Netherlands supports universal access to key services for osteoporosis and fragility fracture prevention. The Health Insurance Act ensures that all people in the Netherlands are covered by a basic health insurance policy.\(^6\)
Catching it early: detection and management in primary care
While guidelines for preventing fragility fractures have been developed for primary care, detection of osteoporosis is often not a priority.\(^7\) National guidance for fracture prevention in primary care focuses on preventing subsequent fractures among people who have already experienced a fracture.\(^7\) The guidelines specify that general practitioners should only proactively investigate osteoporosis in people who have already sustained a fragility fracture.\(^7\)
Coupled with low levels of patient engagement with post-fracture services,\(^8\) this has contributed to considerable underdiagnosis of osteoporosis.\(^8\) In 2010, when the number of people with osteoporosis in the Netherlands was last recorded, only 148,200 people had been officially diagnosed.\(^9\) This represents just 4.3% of women over 50 and 0.5% of men over 50, up to five times less than the proportion of the population estimated to be living with the disease.\(^1,9\)
Getting people back on track: facilitating multidisciplinary post-discharge care
Best-practice guidelines promote multidisciplinary care of people with hip fractures, although hospital performance varies.\(^4\) The Dutch Guideline on Multidisciplinary Treatment of Frail Elderly During Surgical Procedures was developed in 2016 to promote multidisciplinary care and support standardised practice across the country.\(^10\) These guidelines call for the involvement of orthogeriatrics and other services such as falls prevention, primary care and social services. Data from the Dutch Hip Fracture Audit show that, in 2018, 70% of hip fracture patients over 70 received orthogeriatric care that started before surgery, but with wide variation in performance between hospitals.\(^4\) However, the impact of these guidelines on patient outcomes has not yet been reported.
Having a network of professionals involved in fracture liaison services has really helped to improve and increase the use of these services.
MICKAËL HILIGSMANN,
MAASTRICHT UNIVERSITY
Fracture liaison services (FLS) are well-established in the Netherlands, but identification of osteoporosis following a fracture is still suboptimal.\textsuperscript{8} Most hospitals in the Netherlands have established an FLS to conduct post-fracture diagnosis of osteoporosis and initiate treatment.\textsuperscript{9} This seems to have been driven by a network of professionals working to increase the number of FLS in the Netherlands.\textsuperscript{10} However, there is considerable variation in the services provided by FLS across the country, with experts calling for standardised guidance.\textsuperscript{11}
In addition, low patient engagement with FLS is a key barrier to identification and treatment of osteoporosis for many people; on average, just under half (49%) of those eligible engage with an FLS.\textsuperscript{8}
Supporting quality of life as part of healthy and active ageing: prevention of falls and fractures in later life
Effective falls prevention programmes are widely established, although access may vary across the country. The Dutch population is ageing rapidly, leading to a drastic increase in deaths from falls in recent years.\textsuperscript{12} To address this problem, a number of falls prevention programmes have been developed and are now officially recommended by the government.\textsuperscript{13} These programmes, designed for adults aged 55 or over, involve educational components and activities to improve mobility and balance or to increase awareness of falls risk.\textsuperscript{14} Falling Past Time (Vallen Verleden Tijd) is a particularly effective programme, which has led to a 46% reduction in falls.\textsuperscript{14} However, access may vary as falls prevention programmes generally must be financed by individual municipalities or through insurance policies.\textsuperscript{15}
Engaging patients and public: awareness, activation and self-management
Public awareness activities are primarily implemented by patient associations in the Netherlands. The Osteoporosis Association (Osteoporose Vereniging) is a volunteer-operated patient organisation which aims to support people with osteoporosis and promote prevention through its ‘Strong Bones Platform’.\textsuperscript{16} This initiative focuses on improving bone health through exercise and good nutrition.\textsuperscript{17} For people who have already been diagnosed with osteoporosis, extensive information and various resources are available on the Osteoporosis Association website.
The rate of people consistently taking osteoporosis medication is low, and there are few strategies in place to promote self-management. Fewer than half of people who have been prescribed osteoporosis medication continue to take it for one year.\textsuperscript{18} Post-fracture follow-up is usually limited, with responsibility for ongoing management falling to primary care, where the management of osteoporosis is generally not prioritised. As a result, people with osteoporosis may not be adequately supported to keep taking their medication.\textsuperscript{5}
References
1. Svindland A, Henriud E, Ivergard M, et al. 2013. Osteoporosis in the European Union: a compendium of country-specific reports. Arch Osteoporos 8: 137
2. Ministry of Health Welfare and Sport. 2019. The national prevention agreement: A healthier Netherlands. The Hague: Ministry of Health Welfare and Sport
3. Hilgsmann M. 2018. Interview with Taylor Morris and Jody Tate at The Health Policy Partnership [telephone], 12/08/19
4. Voeten SC, Arends AJ, Wouters MWJM, et al. 2019. The Dutch Hip Fracture Audit: evaluation of the quality of multidisciplinary hip fracture care in the Netherlands. Arch Osteoporos 14(1): 28
5. Dutch Institute for Clinical Auditing. 2019. Annual report 2018. DHFA. Leiden: DICA
6. Ministry of Health Welfare and Sport. 2016. Healthcare in the Netherlands. The Hague: Ministry of Health Welfare and Sport
7. Nederlands Huisartsen Genootschap. 2012. NHG-Standaard Fractuurpreventie. Utrecht: Nederlands Huisartsen Genootschap
8. van den Berg P, Schuitzelaar DH, van Haast RJM, et al. 2015. Meeting international standards of secondary fracture prevention: a survey on Fracture Liaison Services in the Netherlands. Osteoporos Int 26(9): 2557-63
9. Duysens J, De Doorten EFJ, Smetsa HM, et al. 2017. Economic Consequences and Potentially Preventable Costs Related to Osteoporosis in the Netherlands. Value Health 20(6): 762-68
10. Federatie Medisch Specialisten. 2016. Provinciale femurfractuur - organisatie van zorg bij de behandeling van kwetsbare ouderen rondom chirurgische ingrepen. Utrecht: Federatie Medisch Specialisten
11. Huntjens KM, van Geel TA, Blokri MC, et al. 2011. Implementation of osteoporosis guidelines: a survey of five large fracture liaison services in the Netherlands. Osteoporos Int 22(7): 2129-35
12. Schneid CF. 2018. Afraid of falling? For older adults, the Dutch have a cure [online]. The New York Times. Available from: https://www.nytimes.com/2018/01/02/world/europe/netherlands-falling-elderly.html [Accessed 30/09/19]
13. National Institute for Public Health and the Environment. Interventieverzicht Valpreventie. Available from: https://interventies.koetsgoednieuws.nl/interventieverzicht2/Valpreventie [Accessed 01/10/19]
14. Weerdewael W, Rijpma H, Geraedts J, et al. 2006. A Five-Week Exercise Program Can Reduce Falls and Improve Quality of Life. Available in the Elsevier Open Archive
15. Veiligheid NL. Voorbeelden om aan de slag te gaan met Valpreventie. Available from: https://www.veiligheid.nl/valpreventie/financiering/mogelijkheden-valpreventie-initiatieven/voorbeelden [Accessed 01/10/19]
16. Osteoporose Vereniging. Activiteiten van de vereniging. Available from: https://osteoporosevereniging.nl/vereniging/activiteiten/ [Accessed 11/09/19]
17. Steke botten. Plakken steken botten. Available from: https://sterkebotten.nl/ [Accessed 11/09/19]
18. Nieuwenhuijzen K, Saussez JP, Brouwers G, et al. 2011. Adherence and profile of non-persistence in patients treated for osteoporosis—a large-scale, long-term retrospective study in The Netherlands. Osteoporos Int 22(6): 1537–46
Osteoporosis and fragility fracture prevention in Romania
Osteoporosis and fragility fractures do not appear to be prioritised at a policy level in Romania. While national guidance for managing osteoporosis has been published and treatment is fully reimbursed, there do not appear to be programmes in place to support delivery of best-practice prevention or treatment of osteoporosis and fragility fractures.
Burden and impact of osteoporosis and fragility fractures
Osteoporosis and fragility fractures impose a considerable burden on the health system in Romania. Approximately 20.5% of women and 6.2% of men aged 50 and over in Romania are estimated to have osteoporosis.\(^1\) This contributes to over 94,000 fragility fractures each year,\(^1\) of which nearly 15,000 are hip fractures.\(^2\) When last estimated in 2010, osteoporosis incurred healthcare costs of €129 million, and costs are expected to reach €151 million by 2025.\(^3\)
Building a system that works: policies for scrutiny, accountability and investment
Osteoporosis and fragility fractures have received some national attention in Romania, but are not currently prioritised in policy. The National Health Insurance House (Casa Naţională de Asigurări de Sănătate) operates 15 specific health programmes,\(^4\) including the national endocrine disease programme, which provides osteoporosis treatment free of charge for people who have been diagnosed.\(^5\) The national government also published guidance for the diagnosis and treatment of postmenopausal osteoporosis in 2010.\(^6\) However, osteoporosis is not included as a priority disease in the national health strategy for 2014–2020, which identifies a range of priority areas for prevention and treatment of chronic diseases.\(^7\) An expert interviewed for this country profile reported that prioritisation and funding of osteoporosis programmes has declined over the last decade, leading to a reduction in treatment.\(^8\)
National healthcare data, including data on osteoporosis and fragility fractures, are routinely collected in Romania – but these data are not always used to support service improvement. Information systems for healthcare data are established in Romania and are managed by national bodies\(^9\) such as the National Health Insurance House, which collects extensive data on healthcare provision\(^10\) including diagnosis and treatment of osteoporosis.\(^11\) The national hospital discharge register is also used to collect data on all hospital admissions, including admissions for hip fractures, but there is no dedicated registry for osteoporosis or fragility fractures.\(^12,13\) There are some recognised limitations with existing healthcare databases in Romania, such as incomplete and duplicate data, and little information is made available to the public.\(^8\) Furthermore, the data are not frequently analysed or used to inform healthcare service delivery.\(^8\)
Reimbursement policy in Romania supports access to osteoporosis treatment, although there may be some barriers to diagnosis.\(^8,14\) The national endocrine disease programme provides reimbursement for dual-energy X-ray absorptiometry (DXA) scanning to investigate osteoporosis, and for free treatment for people diagnosed with osteoporosis.\(^6,15\) Through this programme, over 5,000 people with osteoporosis are treated each year.\(^4,16\) However, DXA scanning may be restricted due to the small number of DXA machines in the country,\(^17\) and treatment is usually only provided for people who have been diagnosed with osteoporosis through DXA scan or for those who have already had a fragility fracture.\(^18\) This means some people at high risk may not receive appropriate treatment before a fracture occurs if they do not have access to a DXA scan.\(^10,11\)
Catching it early: detection and management in primary care
Primary care providers are often involved in identification of fracture risk, but there may be gaps in service delivery. National guidance states that people at risk of osteoporosis should usually be identified in primary care,\(^19\) and awareness of osteoporosis risk seems to be high among primary care providers.\(^20\) This can be supported by the use of a country-specific Fracture Risk Assessment Tool (FRAX), which is used both by primary care providers and specialists.\(^21\) However, diagnosis of osteoporosis and prescription of treatment are usually carried out in a hospital setting by a specialist who is responsible for the person’s ongoing osteoporosis management.\(^22\) Indeed, provision of services through primary care is an ongoing challenge in Romania as healthcare is disproportionately delivered in specialist or inpatient settings, with primary care reportedly being underutilised.\(^23\)
As an endocrinologist, I can see that osteoporosis has not been a priority for policymakers over the last 10 years. As a result, support for the osteoporosis programme has declined, leading to a reduction in the number of treatments that are reimbursed and in the number of people who receive treatment.
DIANA PĂUN,
NATIONAL INSTITUTE OF ENDOCRINOLOGY CI PARHON
Getting people back on track: facilitating multidisciplinary post-discharge care
Clinical guidance for post-fracture care is available, but there appears to be limited support for dedicated multidisciplinary services. Clinical guidance has been developed for prevention and treatment of osteoporosis\textsuperscript{1} and for the treatment of hip fractures.\textsuperscript{2} Post-fracture guidance, published by the Romanian Society of Orthopaedics and Traumatology (Societatea Romana de Ortopedie și Traumatologie; SOROT), is primarily focused on surgical treatment, although multidisciplinary management of post-fracture care is also discussed.\textsuperscript{3} However, there are few details about which specialists should be involved in multidisciplinary teams or how services should be organised.\textsuperscript{4,5} While it does not appear in clinical guidance, conducting surgery within 48 hours of admission is occasionally referenced as a target.\textsuperscript{6} For example, in a performance audit of 10 Romanian hospitals, two hospitals reported that “100% of older patients with a hip fracture received surgical intervention within 48 hours of admission.” More than 5% of people with hip fractures die in hospital in Romania,\textsuperscript{7} but data on other outcomes do not appear to be available.
Post-fracture follow-up and care appear to be underdeveloped in Romania. Following a fragility fracture, people are not always prescribed medication.\textsuperscript{8} When last assessed in 2010, only 6% of men and 17% of women who were eligible for treatment were taking it,\textsuperscript{9} representing one of the largest treatment gaps of any country in the European Union.\textsuperscript{10} This may be due, in part, to the fact that surgical treatment of fractures is separate from investigation for osteoporosis, which is usually initiated in primary care and then carried out by a specialist such as an endocrinologist.\textsuperscript{7} Furthermore, there do not appear to be formal programmes in place for post-fracture follow-up care and Romania does not have any fracture liaison services registered with Capture the Fracture®.\textsuperscript{11}
Supporting quality of life as part of healthy and active ageing: prevention of falls and fractures in later life
Falls are a significant cause of disability, but national strategies do not appear to address falls among older people. In Romania, falls are the second leading cause of disability, after lower back pain.\textsuperscript{12} Despite this, the national strategy for active ageing, published by the Ministry of Labour and Social Protection, does not discuss falls prevention as a priority area.\textsuperscript{13} While the Association for Prevention of Osteoporosis in Romania (ASPOR) highlights falls prevention as an important component of fracture prevention,\textsuperscript{14} there do not appear to be strategies or programmes in place to prevent falls in the older population.
Engaging patients and public: awareness, activation and self-management
Some public awareness campaigns have been implemented by civil society,\textsuperscript{15} resulting in reportedly high levels of awareness. ASPOR is active in promoting awareness of osteoporosis among both clinicians and the public.\textsuperscript{16} For example, it publishes an educational magazine for members, organises public campaigns and operates symposia and training courses.\textsuperscript{17} SPOBMS is a professional society that also engages in public awareness activities, as well as running annual symposia and offering professional training courses.\textsuperscript{18} As a result of a range of effective public awareness activities, people at risk of osteoporosis seem to be aware of this risk and proactive in seeking diagnosis and treatment.\textsuperscript{7} However, there do not appear to be national data available on public awareness or use of osteoporosis medication.
References
1. Svärdsom A, Hernlund E, Ivergard M, et al. 2013. Osteoporosis in the European Union: a compendium of country-specific reports. Arch Osteoporos 8: 1-37
2. Grigorie D, Suciuță A, Johansson H, et al. 2013. Incidence of hip fracture in Romania and the development of a Romanian FRAX model. Calcif Tissue Int 92(5): 429-36
3. Casa Națională de Asigurări de Sănătate. Lista Programelor Naționale de Sănătate. [Updated 31/05/14]. Available from: http://www.cnas.ro/page/2/category/lista-programelor-nationale-de-sanatate.html [Accessed 20/11/19]
4. Casa Națională de Asigurări de Sănătate. Programul național de bolt endocrine. Available from: http://www.cnas.ro/page/programul-national-de-bolt-endocrine.html [Accessed 20/11/19]
5. Ghid de practică medicală pentru specialitățile endocrinologice: ghid pentru diagnosticul și tratamentul osteoporozei de postmenopauză. 2010. România: 18/10/10
6. Strategia Națională din 18 noiembrie 2014: de sănătate 2014-2020. 2014. România: 18/11/19
7. Păun D. 2019. Interview with Taylor Morris at The Health Policy Partnership [Telephone]. 11/12/19
8. Vladescu C, Sîntinee SG, Olascușvy V, et al. 2016. Romania: health system review. Brussels: European Observatory on Health Systems and Policies
9. Casa Națională de Asigurări de Sănătate. Protecția datelor cu caracter personal. Available from: http://www.cnas.ro/page/protecția-datelor-cu-caracter-personal-3.html [Accessed 11/12/19]
10. Kanis J, Hernlund E, Svärdsom A, et al. 2013. The osteoporosis treatment gap in Romania. Acta Endocrinol (Bucharest) 9(4): 509-14
11. Grigorie D, Suciuță A, Johansson H, et al. 2013. FRAX-based intervention and assessment thresholds for osteoporosis in Romania. Arch Osteoporos 8: 193
12. Lupascu M, Rusu MD, Dăleanu B, et al. 2018. Guidance and Guideline-recommendations for the treatment of femoral neck fractures Romanian Society of Orthopaedics and Traumatology - SOROT 2018. Romanian Journal of Orthopaedic Surgery and Traumatology 1(2): 101
13. Georgescu NM. Fracture osteoporotice. Available from: https://providermedical.ro/fracturile-osteoporotice/fracturile-osteoporotice [Accessed 25/11/19]
14. Oxford Policy Management. 2017. Performance auditing of selected public hospitals with arrears. Bucharest: Ministry of Health
15. Dobre R, Nicolaeu D, Popescu G, et al. 2019. In-hospital mortality rate after osteoporotic hip fracture in Bucharest. Romanian Journal of Orthopaedic Surgery and Traumatology 2(1): 48-51
16. Hernlund E, Svärdsom A, Ivergard M, et al. 2013. Osteoporosis in the European Union: medical management, epidemiology and economic burden. A report prepared in collaboration with the International Osteoporosis Foundation (IOF) and the European Federation of Pharmaceutical Industry Associations (EFPIA). Arch Osteoporos 8: 1-38
17. Capture the Fracture. Map of best practice. Available from: https://www.capturethefracture.org/map-of-best-practice?field_rating_tid=A&country=ro [Accessed 22/11/19]
18. Institute for Health Metrics and Evaluation, Romania. Available from: http://www.healthdata.org/romania [Accessed 05/12/19]
19. Ministerul Muncii și Protecției Sociale. 2015. Strategie națională pentru promovarea învățării învățării active și protecției persoanelor vârstnice 2015–2020. Bucharest: Ministerul Muncii și Protecției Sociale
20. Asociatia pentru Prevenirea Osteoporozei in Romania. Osteoporoza. Available from: https://www.asproro/index.php?option=com_content&view=article&id=13:osteoporoza&catid=31&showall=1&Itemid=44 [Accessed 21/11/19]
21. Association for the Prevention of Osteoporosis in Romania. Association for the Prevention of Osteoporosis in Romania – ASPOR. Available from: https://www.asproro/index.php?option=com_content&view=article&id=123&Itemid=141 [Accessed 21/11/19]
22. Societatea Romana de Osteoporoza si Bolt Musculo-scheletice. Despre noi. Available from: http://www.srobms.ro/despre-nu.html [Accessed 05/12/19]
Osteoporosis and fragility fracture prevention in Spain
While osteoporosis has received some policy attention in Spain, a lack of strategic recommendations, investment and detailed national guidance has led to barriers in access to care and significant variation in clinical practice. However, civil society and clinicians across the country are active in improving fragility fracture prevention through implementing a national hip fracture audit and promoting multidisciplinary post-fracture care, which is well-established in Spain.
Burden and impact of osteoporosis and fragility fractures
The burden of osteoporosis and fragility fractures in Spain is high and rising. The number of people living with osteoporosis and experiencing fragility fractures is comparable to other EU countries, and is expected to rise rapidly.\(^1\) In Spain, 22.5% of women and 6.8% of men over 50 have osteoporosis, contributing to around 330,000 fragility fractures per year.\(^2\) As the population ages, the number of fragility fractures is expected to increase to 420,000 in 2030, with an expected rise in associated healthcare costs from €4.2 billion in 2017 to €5.5 billion in 2030.\(^1\)
Building a system that works: policies for scrutiny, accountability and investment
Osteoporosis is addressed in some national health strategies in Spain, but specific plans for reducing fragility fracture risk are lacking. Both the strategy for health promotion and prevention\(^3\) and the strategy on rheumatic and musculoskeletal diseases\(^4\) address the need to reduce the risk of osteoporosis. However, these documents provide few specific recommendations to support fragility fracture prevention.
The Spanish National Hip Fracture Registry (Registro Nacional de Fractura de Cadera; RNFC) has been established, but national investment is needed to secure its future. Initiated in 2016 by a network of clinicians across Spain, the RNFC collects data on people over 75 who present to hospital with a hip fracture and follows them up for 30 days after they are discharged.\(^5\) The data collected align with the Fragility Fracture Network Minimum Common Dataset and can be used for national and international assessment of hospital performance in hip fracture care.\(^6\) The registry is currently funded through industry donations and research grants, but national funding has been identified by experts as a priority to ensure its sustainability.\(^7\)
Changes to reimbursement policy in the past decade have introduced a barrier to people taking osteoporosis treatment. In 2012, cost-sharing for prescription medications was revised as part of wider austerity measures. This introduced a co-payment for older people, who were previously exempt from paying for prescriptions, and raised the existing co-payment for the working population.\(^8\) This change in policy has been associated with a decline in use of osteoporosis medication.\(^9\)
Catching it early: detection and management in primary care
Clinical guidance is limited, leading to nationwide variations in diagnosis and management of osteoporosis in primary care. While national guidelines discuss the use of both clinical risk factors and bone mineral density testing to diagnose osteoporosis,\(^7\) there is no consensus on which risk assessment tool or criteria should be used to initiate treatment.\(^10\) As a result, risk factors are often not recognised and people are rarely referred for further investigation.\(^11\) In addition, osteoporosis medication is frequently either over- or under-prescribed in primary care,\(^2\) and experts have called for national and international guidelines to support appropriate management.\(^10\)
Getting people back on track: facilitating multidisciplinary post-fracture care
While orthogeriatric services are common in Spain, delivery of internationally recognised best-practice standards for in-hospital hip fracture care varies considerably.\(^12\) Results from the first year of the RNFC showed that most patients (94%) were seen by key specialists such as orthogeriatricians in addition to the orthopaedic surgeon.\(^13,14\) However, fewer than half had surgery within 48 hours of admission.\(^11\) Initiation of osteoporosis medication in hospital was higher than in many other countries at around 40%,\(^15\) but varied between hospitals – ranging from 0% to 94%.\(^5\) Similar variation was noted in the proportion of patients who were mobile the day after surgery, which ranged from 0% in some hospitals to 97% in others.\(^5\)
Implementation of fracture liaison services (FLS) is well-established in Spain. The Spanish Society for Bone Research (Sociedad Española de Investigación Ossea y del Metabolismo Mineral; SEIOMM) is active in promoting the establishment of FLS across the country, and the number of FLS in Spain is among the highest of any country in the world.\(^16\) This includes 64 services that have been evaluated through the Capture the Fracture\(^a\) programme, 13 of which have received a gold rating.\(^17\)
Supporting quality of life as part of healthy and active ageing: prevention of falls and fractures in later life
Falls are a major problem for older people in Spain, both in the community\(^18\) and in care homes.\(^14\) Falls in care homes are relatively common – sometimes leading to fractures – and are most often prevented by restraining movement; however, restraint is associated with a greater occurrence of injuries from falls.\(^19\) In the whole population, the number of deaths resulting from falls has significantly increased in older men and women, leading experts to call for comprehensive falls prevention programmes.\(^13,15\)
Engaging patients and public: awareness, activation and self-management
Civil society organisations in Spain are active in raising awareness about osteoporosis and fragility fracture prevention. Various organisations such as the Spanish Association for Osteoporosis and Arthritis (Asociación Española con la Osteoporosis y la Artrosis; AECOSAR), Hispanic Foundation for Osteoporosis and Metabolic Bone Disease (Fundación Hispana de Osteoporosis y Enfermedades Metabólicas Óseas; FHDEMO) and SEIOMM produce educational materials and run public awareness campaigns. In 2018, they collaborated to launch a campaign that aimed to raise public awareness of the consequences of osteoporosis and activate the medical community to engage with fracture prevention. The campaign, called Your Bones, Tomorrow and Always (Tus Huesos: Mañana y siempre), was built around a short film telling the story of a woman with osteoporosis.
While osteoporosis medication use was previously high in Spain, self-management with osteoporosis treatment has significantly declined. In 2010, the use of osteoporosis medication was among the highest in the world, with around 28% of women over 50 taking it. By 2015, however, based on data from the Valencia region, use had declined by about half; this has been attributed both to safety warnings and the revised co-payment policy mentioned above.
References
1. International Osteoporosis Foundation. 2018. *Broken bones, broken lives: A roadmap to solve the fragility fracture crisis in Spain*. Nyons: IOF.
2. Ministerio de Sanidad Servicios Sociales e Igualdad. 2014. *Estrategia de promoción de la salud y prevención en el SUS*. Madrid: Ministerio de Sanidad Servicios Sociales e Igualdad
3. Ministerio de Sanidad Servicios Sociales e Igualdad. 2013. *Estrategia en enfermedades reumáticas y musculoesqueléticas del Sistema Nacional de Salud*. Madrid: Ministerio de Sanidad Servicios Sociales e Igualdad
4. Ojeda-Thies C, Sáez-López P, Currie CT, et al. 2019. Spanish National Hip Fracture Registry (RNHF): analysis of its first annual report and international comparison with other established registries. *Osteoporos Int* 30(6): 1243-57
5. Registro Nacional de Fracturas de Cadera. 2018. *Registro nacional de fracturas de cadera por fragilidad: Informe anual 2017*. Madrid: RNFC
6. Hurtado-Navarro I, García-Sempere A, Rodríguez-Bernal C, et al. 2019. Impact of Drug Safety Warnings and Cost-Sharing Policies on Osteoporosis Drug Utilization in Spain: A Mixed-Method Study With the Persistence of Over and Underuse. Data from the ESCAMAL Cohort From 2003 to 2016. *Front Pharmacol* 10: 788
7. Generalitat de Catalunya. 2010. *Guia de Pràctica Clínica sobre Osteoporosi i Prevenció de Fractures per Fragilitat*. 2010. *Guía de práctica clínica sobre osteoporosis y prevención de fracturas por fragilidad*. Madrid: Agència d’Informació, Avançada i Qualitat en Salut (AIACS) de Catalunya
8. Martínez-Laguna D. 2018. Osteoporosis y Atención Primaria. Como valorar el riesgo de fractura. Utilización de las escalas de riesgo. *Revista de Osteoporosis y Metabolismo Mineral* 10(1): Supplement: 5-8
9. Abella CC. 2011. La osteoporosis en Atención Primaria. *Revista de Osteoporosis y Metabolismo Mineral* 3(2): 73-74
10. Santellé-Gimeno G, Hurtado I, Santellé-Genovés J, et al. 2015. Overuse and underuse of anticoestrogenic treatments according to highly influential osteoporosis guidelines: a population-based cross-sectional study in Spain. *PLoS One* 10(8): e0135475
11. Ministerio de Sanidad Servicios Sociales e Igualdad. 2018. *Actividad y calidad de los servicios sanitarios: Informe anual del sistema nacional de salud 2017*. Madrid: Ministerio de Sanidad Consumo y Bienestar Social
12. International Osteoporosis Foundation. 2019. Capture the Fracture: Map of best practice. Available from: https://www.capturethefracture.org/map-of-best-practice-page?field_rating_tid=All&country=de [Accessed 30/08/19]
13. Rodríguez-Moreno A, Navaza L, Gálvez-Barón C, et al. 2015. Caídas en la población anciana española: incidencia, consecuencias y factores de riesgo. *Rev Esp Geriatr Gerontol* 50(6): 274-80
14. Aranda-Gallardo M, Moravínez-Pérez JM, Enriquez de Luna-Araguez M, et al. 2018. Characteristics, comorbidities and prevention of falls in older people in a rural area in the province of Málaga (Spain): a prospective, cohort, multicentre study. *BMJ Open* 8(2): e020039
15. Padrón-Montero A, Damián J, Pilar Martín M, et al. 2017. Mortality trends for accidental falls in older people in Spain, 2000-2015. *BMC Geriatr* 17(1): 276
16. Asociacion espanola con la osteoporosis y la artrosis. Objetivos estrategicos. Available from: http://www.aecosar.es/objetivos-estrategicos/ [Accessed 07/08/19]
17. Fundacion Hispana de Osteoporosis y Enfermedades Metabólicas Óseas. Quienes Somos. Available from: https://fhdemo.com/quienes-somos/ [Accessed 06/09/19]
18. Sociedad Española de Investigacion Osea y del Metabolismo Mineral. Quienes somos. Available from: https://seiomm.org/quienes-somos/ [Accessed 06/09/19]
19. Fundacion Hispana de Osteoporosis y Enfermedades Metabólicas Óseas. 2018. *Tus Huesos: Mañana y Siempre*. Madrid: FHDEMO
Osteoporosis and fragility fracture prevention in the United Kingdom
Osteoporosis and fragility fractures are prioritised at the policy level in England, Northern Ireland, Scotland and Wales, supporting the development of a range of programmes to support best-practice care and prevention of fragility fractures. National audit data show that performance against quality standards is improving every year, although gaps remain in access to key services.
Burden and impact of osteoporosis and fragility fractures
Osteoporosis and fragility fractures affect a significant number of people. In the UK, 21.8% of women and 6.8% of men over 50 are living with osteoporosis, leaving them at significant risk of a potentially life-changing or even fatal fragility fracture.\(^1\) In 2017 alone, there were more than half a million (520,000) fragility fractures in the UK.\(^2\)
Fragility fractures put considerable pressure on the UK’s health systems. People who have sustained a hip fracture occupy 1 in 45 hospital beds in England and Northern Ireland and 1 in 33 hospital beds in Wales.\(^3\) This contributed to over £4.5 billion in total costs for osteoporosis in 2017, and costs are projected to increase to nearly £5 billion by 2030.\(^4\)
Building a system that works: policies for scrutiny, accountability and investment
Fragility fracture prevention is recognised as a key area for action and features in national health strategies and guidance. In England, Wales and Scotland, fragility fractures seem to be prioritised at a policy level.\(^5\) For example, Public Health England’s strategic framework for musculoskeletal health discusses the impact of osteoporosis and the importance of both prevention and management of fragility fractures.\(^4\) In Northern Ireland, however, there seems to be less policy focus on fragility fracture prevention, and expert commentators have noted that improvements in care appear to be largely driven by national societies and clinicians.\(^5,^6\)
The UK is spearheading the collection and use of data on bone fracture prevention and management, contributing to improved health outcomes. In England and Wales, the National Hip Fracture Database (NHFD) is used to audit hip fracture care and activities to prevent subsequent fractures.\(^7\) In Scotland, the Scottish Hip Fracture Audit (SHFA) aims to collect data on all hip fracture patients admitted to hospital who are aged 50 or over. Implementation of these databases has contributed to improvements in patient outcomes, including the number of people who die within 30 days of a hip fracture and the average length of stay in hospital.\(^6,^7\) Another pioneering audit tool is the Fracture Liaison Service Database, which is the only national audit of fracture prevention services in the world that collects patient-level data to assess the care people receive after a fracture.\(^8\)
Reimbursement policies support access to osteoporosis medication. Osteoporosis medications are fully reimbursed, resulting in good access for people in the UK.
Catching it early: detection and management in primary care
While considerable effort has been made to encourage better detection and management of osteoporosis in primary care, notable gaps remain. Detailed national guidance supports healthcare professionals in fracture risk assessment and management in primary care.\(^9,^10\) Comprehensive educational materials for general practitioners (GPs) and practice nurses have been developed through collaborative efforts between the Royal Osteoporosis Society (ROS) and Royal College of General Practitioners, and are available online.\(^11\) The implementation of available guidance is patchy, however, and recent data show that only 7.6% of people are taking osteoporosis treatment before a hip fracture occurs.\(^11\) This represents a small decline in treatment since 2016.\(^12\)
Primary care practitioners are incentivised to identify patients at risk of fracture, but impact on patient outcomes appears to be limited. In England, Wales and Northern Ireland, the Quality and Outcomes Framework (QOF) is a voluntary incentive scheme that pays GPs for meeting specific standards of care.\(^13\) Osteoporosis-related indicators include primary care practices maintaining a register of patients who have sustained a fragility fracture or been diagnosed with osteoporosis;\(^14\) however, evidence suggests the use of osteoporosis-related QOF indicators has had little effect on patient outcomes.\(^15\) In addition, the number of QOF points that can be gained by managing osteoporosis has recently been reduced, further limiting the scheme’s impact and possibly indicating the deprioritisation of osteoporosis.\(^17\)
Implementation of the Fracture Liaison Service Database has been transformative – we now have a framework for getting it right.\(^1\)
M KASSIM JAVAID,
OXFORD UNIVERSITY HOSPITAL
Getting people back on track: facilitating multidisciplinary post-fracture care
A national audit and hospital incentives have contributed to improved outcomes for hip fracture patients.\textsuperscript{18} In-hospital management of hip fractures has seen annual improvements, leading to better outcomes such as consistently declining rates of death within a month of the fracture.\textsuperscript{18} In England, hospitals receive a best practice tariff (BPT) if they meet eight best-practice standards when managing a person with a hip fracture.\textsuperscript{2} A similar scheme is being implemented in Scotland.\textsuperscript{4} Care that meets these standards is associated with significantly improved patient outcomes\textsuperscript{19–21} and, in order to achieve them, many hospitals have adopted integrated orthogeriatric models of care.\textsuperscript{2} In contrast, best-practice care standards are reached far less frequently in Wales and Northern Ireland, where such tariffs are not in place.\textsuperscript{13} However, there is still considerable variation between hospitals across England in achievement of key BPT standards such as orthogeriatric assessment, which ranges from 1 to 100% of hip fractures.\textsuperscript{22} While the BPT has certainly had an impact, some experts argue that the development of the NHFD has in fact been the primary driver of improved management of hip fractures in hospitals.\textsuperscript{2,21}
Fracture liaison services (FLS) are well-established in the UK, although there is wide variation in access. Since FLS were first developed in Scotland,\textsuperscript{22} implementation has expanded across the UK and it is estimated that 55% of the UK population now has access to an FLS.\textsuperscript{1} While this is higher than in many other European countries, thousands of people still lack access.\textsuperscript{23} FLS are unevenly distributed across the UK, with better coverage in some areas than others.\textsuperscript{18} Every health board in Scotland, for example, operates an FLS.\textsuperscript{24} In England, there is notable variation, with experts identifying a range of barriers to implementation including limited funding, staff capacity and variations in commissioning decisions at a local level.\textsuperscript{3} It has also been suggested that local champions are instrumental in pushing for investment in new services.\textsuperscript{3}
FLS programmes in the UK are supporting improved identification and management of osteoporosis, although challenges remain. While there are some gaps in service provision and reporting, annual audit data show continuous improvement. In 2017, identification of fragility fractures increased from 40% to 43%.\textsuperscript{8} While osteoporosis medication was recommended to 43% of people seen by an FLS – up from 38% the previous year – only 38% of these people had their medication monitored by a healthcare professional during follow-up.\textsuperscript{8} To improve prevention of subsequent fractures, an expert commentator has stated that optimisation of existing FLS should be prioritised so that examples of best practice can be used to inform the implementation of additional FLS across the UK.\textsuperscript{3}
Limited integration of services may pose a barrier to long-term follow-up and treatment review. Clinical guidance states that osteoporosis treatment should be reviewed 16 weeks after initiation and annually thereafter.\textsuperscript{25} While treatment is generally initiated by a specialist or through an FLS, long-term monitoring and management must usually be facilitated in primary care.\textsuperscript{3,25} However, communication gaps and suboptimal collaboration between secondary and primary care can mean that treatment plans are not adequately monitored and people may not be supported to adhere to treatment in the long term.\textsuperscript{5}
Supporting quality of life as part of healthy and active ageing: prevention of falls and fractures in later life
National guidance and programmes across the UK support health and social care professionals to prevent falls and fractures. Government and healthcare organisations in both England and Scotland have published guidance and resources that aim to reduce falls and fractures in both clinical and community settings.\textsuperscript{26,27} For example, NHS Scotland developed the good practice resource, \textit{Managing falls and fractures in care homes for older people}.\textsuperscript{28} In the care homes where these resources were used, outcomes significantly improved and in some cases falls were reduced by over 30%.\textsuperscript{29} In addition, a multidisciplinary civil society initiative, the Housing and Ageing Alliance, has been established to promote improvements in housing for older people across the UK so that they can maintain their independence and quality of life for longer. The Alliance’s manifesto, published in 2019, calls for integration of health and social care services, and investment in home adaptations and specialist housing, to prevent or delay the need for more intensive care.\textsuperscript{30}
Engaging patients and public: awareness, activation and self-management
Public awareness campaigns are driven by national organisations, but more work is needed to ensure people are aware of osteoporosis and empowered to access care. The ROS is a UK-wide charity that aims to improve bone health and prevent osteoporosis in the population.\textsuperscript{31} In addition to producing materials such as posters and leaflets, it encourages people with osteoporosis to get involved in awareness-raising activities.\textsuperscript{31} However, experts report that many people remain unaware of osteoporosis and the associated fracture risk.\textsuperscript{3,5}
Self-management of osteoporosis is a challenge in the UK and, as in many countries, the proportion of people continuing to take osteoporosis medication is low. In 2017, only 19% of people who had been prescribed osteoporosis medication were still taking it 12 months later.\textsuperscript{8} Reasons may include adverse side effects,\textsuperscript{32} inconvenience and people not understanding the importance of staying on treatment.\textsuperscript{33} In addition, experts have called for improved communication between FLS and primary care to ensure that people who have started treatment are followed-up and supported to keep taking their medication in the long term.\textsuperscript{3}
References
1. International Osteoporosis Foundation. 2018. *Broken bones, broken lives: A roadmap to solve the fragility fracture crisis in the United Kingdom*. Lyon: IOF
2. Royal College of Physicians. 2018. *National Hip Fracture Database annual report 2016*. London: RCP
3. Javidz K. 2019. Interview with Taylor Morris at The Health Policy Partnership [telephone]. 13/08/19
4. Ali M, Broomhead G. 2016. *Mental and Musculoskeletal Health: 5 year strategic framework for prevention across the lifecourse*. London: PHE publications
5. Thurston A. 2019. Interview with Kirsten Budgy at The Health Policy Partnership [telephone]. 13/08/19
6. Neuburger J, Currie C, Wakeman R, et al. 2015. The impact of a national clinician-led audit initiative on care and mortality after hip fracture in England: an external evaluation using time trends in non-audit data. *Med Care* 53(8): 886-91
7. NHS National Services Scotland. 2018. *Scottish Hip Fracture Audit: Hip fracture care pathway report 2018*. Edinburgh: NHS National Services Scotland
8. Royal College of Physicians. 2018. *Fracture Liaison Service Database annual report: Achieving effective service delivery by fracture liaison services*. London: RCP
9. Kanis JA, Borgstrom F, Compston J, et al. 2013. SCOPE: a scorecard for osteoporosis in Europe. *Arch Osteoporos* 8: 144
10. National Institute for Health and Care Excellence. 2017. *Osteoporosis: assessing the risk of fragility fracture*. London: NICE
11. Scottish Intercollegiate Guidelines Network (SIGN). 2015. *Management of osteoporosis and the prevention of fragility fractures*. Edinburgh: SIGN
12. Royal Osteoporosis Society. Osteoporosis resources for primary care. [Updated 2017], Available from: https://theros.org.uk/healthcare-professionals/courses-and-cpd/osteoporosis-resources-for-primary-care/ [Accessed 30/08/19]
13. Royal College of Physicians. 2019. *National Hip Fracture Database annual report 2019*. London: RCP
14. British Medical Association. 2019. *The Quality and Outcomes Framework (QOF)*. London: BMA
15. Primary Care Strategy and NHS Contracts Group. 2019. *2019/20 General Medical Services (GMS) contract Quality and Outcomes Framework (QOF)*. London: NHS England
16. Forbes LJ, Marchand C, Doran S, et al. 2017. The role of the Quality and Outcomes Framework in the care of long-term conditions: a systematic review. *Br J Gen Pract* 67(654): e775-e84
17. Royal Osteoporosis Society. Reduction in QOF will impact osteoporosis detection and treatment. [Updated 10/02/19], Available from: https://theros.org.uk/what-we-do/media-centre/press-releases/reduction-in-qofs-will-impact-osteoporosis-detection-and-treatment/ [Accessed 30/09/19]
18. Middleton M. 2018. Orthogeriatrics and Hip Fracture Care in the UK: Factors Driving Change to More Integrated Models of Care. *Geriatrics* [Basel] 3(3): 10.3390/geriatrics3030035
19. Buckley B, Nightingale J, Moran CG, et al. 2017. Does the best practice tariff improve outcomes in hip fracture patients? An observational cohort study. *BMJ Open* 7(2): e014190-e80
20. Farow L, Hall A, Wood AD, et al. 2018. Quality of Care in Hip Fracture Patients: The Relationship Between Adherence to National Standards and Improved Outcomes. *J Bone Joint Surg Am* 100(9): 751-57
21. Mitchell P. Interview with The Health Policy Partnership [In person]. 23/08/19
22. McLellan AR, Gallacher SJ, Fraser M, et al. 2003. The fracture liaison service: success of a program for the evaluation and management of patients with osteoporotic fracture. *Osteoporos Int* 14(12): 1028-34
23. National Osteoporosis Society. 2015. *Effective Secondary Prevention of Fragility Fractures: Clinical Standards for Fracture Liaison Services*. Bath: NOS
24. Royal Osteoporosis Society. Scotland becomes second country in the world to have 100% fracture liaison service as Royal Osteoporosis Society launches new clinical standards for fracture liaison service. Available from: https://theros.org.uk/what-we-do/media-centre/press-releases/scotland-becomes-second-country-in-world-to-have-100-fracture-liaison-service-as-royal-osteoporosis-society-launches-new-clinical-standards-for-fracture-liaison-service/ [Accessed 15/11/19]
25. National Osteoporosis Society. 2017. *Quality standards for osteoporosis and prevention of fragility fractures*. Bath: National Osteoporosis Society
26. Public Health England. 2019. *Falls: applying All Our Health*. London: PHE
27. Macintyre D, National Falls Prevention Coordination Group. 2017. *Falls and fracture consensus statement: Supporting commissioning for prevention*. London: PHE
28. NHS Scotland. 2011. *Managing falls and fractures in older homes for older people: Good practice self assessment resource*. Aberdeen: Social Care and Social Work Improvement Scotland
29. Cooper C. 2011. Falls prevention in a care home. *Br J Qual Improv Res* 6(1): w51418b.w5626
30. The Housing and Ageing Alliance. 2018. *A Call for Action*. London: Housing LIN
31. Royal Osteoporosis Society. Raise awareness. Available from: https://theros.org.uk/how-you-can-help/raise-awareness/ [Accessed 07/08/19]
32. National Institute for Health and Care Excellence. 2017. *Osteoporosis Quality Standard*. London: NICE
33. International Osteoporosis Foundation. 2005. *The adherence gap: Why osteoporosis patients don’t continue with treatment*. Lyon: IOF
This toolkit was initiated and funded by Amgen (Europe) GmbH. The Health Policy Partnership (HPP) received funding from Amgen to coordinate the work and act as chief editor. In this role, HPP provided funding to John Bowis OBE for his role as Chair of the Parliamentary Group and Senior Advisor to the project. All other experts provided their time for free. Some experts were reimbursed for travel and accommodation costs for workshops held in London and Brussels in 2019.
The toolkit was originally published in January 2020. This version was reissued in February 2022 with some minor corrections. All content related to the UK, including interviews with UK-based individuals, was reviewed and certified in May 2022. Job code: UKI-PRO-0621-00001.
© 2022 Amgen. All rights reserved
Amgen (Europe) GmbH, Suurstoffi 22, Rotkreuz, Switzerland.
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Graphic Design encompasses a wide range of activities from the design of traditional print media (e.g. books and posters) to site specific (e.g. signage systems) and electronic media (e.g. interfaces). Its practice always explores the new possibilities of information and communication technologies. Therefore, interactivity and participation have become key features in the design process. Even in traditional print media, graphic designers are trying to enhance user experience and exploring new interaction models.
Moving posters are an example of this. This type of posters combine the specific features of motion and print worlds in order to produce attractive forms of communication that explore and exploit the potential of digital screens. In our opinion, the next step towards the integration of moving posters with the surroundings, where they operate, is incorporating data from the environment, which also enables the seamless participation of the audience. As such, the adoption of computer vision techniques for moving poster design becomes a natural approach.
Following this line of thought, we present a system wherein computer vision techniques are used to shape a moving poster. Although it is still a work in progress, the system is already able to sense the surrounding physical environment and translate the collected data into graphical information. The data is gathered from the environment in two ways: (1) directly using motion tracking; and (2) indirectly via contextual ambient data. In this sense, each user interaction with the system results in a different experience and in a unique poster design.
**Keywords** moving poster, graphic design, computer vision, context-aware computing, interaction design.
Design de *Moving Posters* através do uso de Técnicas de Visão por Computador
Using Computer Vision Techniques for Moving Poster Design
Sérgio Rebelo
Universidade de Coimbra
firstname.lastname@example.org
Pedro Martins
Universidade de Coimbra
email@example.com
João Bicker
Universidade de Coimbra
firstname.lastname@example.org
Penousal Machado
Universidade de Coimbra
email@example.com
O Design Gráfico é uma disciplina que engloba o desenho de vários tipos de artefactos, desde os tradicionais meios impressos (p. ex., livros e cartazes), aos sistemas de orientação (p. ex., sistemas de sinalética) e aos meios digitais (p. ex., interfaces). Desde sempre, a sua prática explorou e se adaptou às novas possibilidades oferecidas pelas tecnologias de comunicação e informação. Desta forma, a interactividade e a participação tornaram-se, recentemente, características fundamentais do seu processo. Isto também abrange os meios mais tradicionais, como o design de cartazes e editorial. Recentemente, os designers gráficos têm tentado aumentar as experiências de utilização de artefactos tradicionalmente impressos, através da exploração de modelos ligados ao design de interacção.
Os *moving posters* são um exemplo disso. Este tipo de cartazes nasce da combinação de um conjunto de especificidades dos mundos da impressão e da animação. Assim, apresentam-se como uma forma mais atraente de explorar o potencial dos ecrãs digitais. Segundo o nosso ponto de vista, o próximo grande passo, no desenho deste tipo de cartazes, será a sua perfeita integração com o ambiente onde estão inseridos. Neste sentido, estes cartazes transformam-se em sistemas que, através da recolha de dados do ambiente, possibilitam uma participação rica e completa da audiência. O uso de técnicas de Visão por Computador será então o próximo passo na construção de *moving posters*.
Seguindo esta linha de pensamento, estamos a desenvolver um sistema para o desenvolvimento de *moving posters*, que utiliza técnicas de visão por computador para moldar os elementos no cartaz. Embora ainda se apresente como uma investigação em curso, o sistema já capta dados do ambiente onde está inserido e transforma-os em informação gráfica. Os dados são obtidos do ambiente através de dois processos: (1) directamente, utilizando técnicas de captura de movimento; e (2) indirectamente, através de dados contextuais do ambiente, permitindo, assim, que cada interacção do utilizador seja uma experiência diferente com um resultado gráfico único.
**Palavras-chave** moving poster, design gráfico, visão por computador, context-aware computing, design de interacção.
1. Introduction
Technology always shaped and was shaped by every aspect of society. In this sense, Graphic Design (GD) – the discipline responsible for organising visual communication in our society (Frascara, 1988) – has always been keeping a symbiotic development with the technological improvements (Cooper, 1989). The recent technological advances, since of the last quarter of the twentieth century, are no exception. Nowadays’ practice of GD is located between the traditional approaches and the use of new information and communication technologies (Neves, 2011). Besides, today’s audience is changing and no longer contents to simply digest messages (Armstrong & Stojmirovic, 2011). The contemporary public increasingly approaches design’s artefacts with the expectation of interaction. This started to force the mixing of the traditional print and location-specific media with digital electronic media. Posters are no exception. The digital screens, which have infiltrated all kind of spaces, set up a new design challenge, allowing the inclusion of video and animated GIF (Benyon, 2016). However, as in other moments in history, a new generation of designers are embracing these technologies, in order to combine experiences and to create a novel form of communication – *The Moving Poster*.
This new medium of communication, which is not a poster, in its traditional sense, does not present itself as an interactive application (e.g. websites or digital application). It inherited the traditional vertical poster format and its composition rules, but often has a digital version with different temporal states (e.g. (Pfäffli, 2014), (Studio Feixen & Giger, 2017) or (Creative Review, 2017)). According to Brechbühl (Benyon, 2016) it still is a poster, but “the animation part is more like a fifth colour, or a special print technique.”
Typically, the moving posters are designed based on a set of temporal states, displayed to the user in a sequential way. These posters border on storytelling, but still only communicate the same information (Benyon, 2016). Although in some artefacts, the interactive and generative principles are starting to be taken into consideration (e.g. (LUST, 2014)). According to the Screen Design principles point of view, its development and implementation are still not well achieved (see (Macklin, 2008)). Concepts as ergonomics/human factors, human-computer interaction and Interaction Design (ixD) may integrate more levels of information to fully engage the viewer. In the coming periods, this kind of posters will become mainstream and will begin to respond to their environment using information gathered by input devices, such as cameras, RFID tags, or audio devices (Benyon, 2016). Thereby, digital technologies will enable dialogues between the artefact and the viewers and will promote the seamless participation of the user and the serendipity of data derived from a process-oriented GD (Armstrong & Stojmirovic, 2011).
Following this line of thought, we consider the adoption of Computer Vision (CV) techniques, in this scenario, the as a natural step towards the moving posters’ strategic definition. In this sense, we develop experiments in the design of a moving poster wherein CV techniques are used to define the poster’s shape. However, contrary to current mainstream approaches, the poster is shaped through live input data gathered by user tracking. In this way, the user can directly manipulate the graphical elements in the composition, and at the same time see the result of the manipulation. Although it is still a work in progress, in these first experiments the data from the user and from the surrounding environment already shapes the elements of the poster.
The remainder of this paper is organised as follows: Section 2 briefly presents the background of the field; Section 3 thoroughly describes how the poster is designed; Section 4 describes the poster element’s movements; and finally, conclusions and future work are presented in Section 5.
2. Background
Desktop Publishing (DTP) revolution led (GD) to be the first profession reshaped by digital technologies (Blauvelt, 2011). Contrary to the strong resistance of several designers to DTP technologies, in the turn of the millennium, computer have already adopted as GD primary tool (Meggs & Purvis., 2011; Blauvelt, 2011). Furthermore, DTP also presented new ways of displaying information and approaching grids, permanently changing the methods of design (Licko & Vanderlands, 1989; Meggs & Purvis., 2011). Thereby, GD was transformed into a interdisciplinary and ubiquitous field. These characteristics enabled a bit further the embed of digital technologies in our everyday lives, creating more “spaces” to be designed (Lupton, 2006).
While graphic designers embrace and use recent digital technologies, they do not fully understand them (Neves, 2011). Like in the 1990s, nowadays the computer continues to be viewed by several designers as another tool – just like a different type of pencil (Maeda, 2004). Although some designers, especially from the newest generations, understand the possibilities of using the computer as a medium of expression, they lack the technical knowledge, particularly in computer programming and ixD (Benyon, 2016). Limitations that restrain the outreach of graphic design projects and, so, hinder an all-encompassing exploration of the digital media.
The emerging interest in the use of data to produce aesthetic artefacts proves this point. Currently, creative disciplines are seduced by the fusion of different media and by concepts as Data-Driven Design, Generative Design, Parametric Design, or Information Design (Laranjo, 2017). As mentioned above, moving posters are a natural example of the change in basic assumptions of GD.
In recent times, moving posters have become popular in GD’s landscape. However, a discussion about what constitutes a good moving poster, and what is its medium’s boundaries was started (Benyon, 2016; Thiriet, 2017). In this sense, specialised competitions appeared, such as the *Typomania Video Poster Contest* (see (Typomania, 2017)) or the *Weltformat Poster Festival* (see (Weltform,
Other festivals also started to accept applications of this medium, in their poster exhibitions and contests. For instance, the *Graphic Design Festival Scotland* (see (Graphic Design Festival Scotland, 2017)).
The first steps to the definition of the medium were taken by Josh Schaub, with the creation of the web repository *The Moving Poster* (Schaub, n.d.). This database collects examples of moving posters to present the possibilities and limitations of the work in this medium. (Benyon, 2016). As the main objective, the inventory seeks to answer questions such as: (1) What are the techniques and methods of narration?; (2) Where does the poster ends and where does a film begin?; and (3) What a poster actually is and how this medium will continue to develop in the future? (Schaub, n. d.). Currently, the inventory has a total of fifty-three posters.
Additionally, Schaub (Schaub, n. d.) also developed a taxonomy for classifying the works he is collating. His classification considers that posters can be divided into a spectrum from that goes from static to filmic designs. The static posters are those whereby no structural alterations take place, there are not position changes and the animation effects are predominantly static (e.g. altering colour surfaces or single visuals). In the middle of this spectrum are the dynamic posters. A dynamic poster is designed with moving parts. This segment can be broken into innumerable formats and categories. Finally, the filmic posters are those whose the movement is exclusively focused on certain filmic scenes (e.g. a moving background).
In the context of this paper, we are not interested in the type of animation but in seeking artefacts that provide interactions that are triggered by the public. These posters can be in the whole spectrum defined by (Schaub, n. d.). In this sense, we propose an alternative classification to moving posters in two subsets: (1) animated, and (2) interactive.
The animated posters present the information in a sequential way (from a Start key frame to an End key frame), even if this is not visible to the audience and the moving poster is designed in a loop. On the other hand, interactive posters allow the user to reshape the way that the information is presented. This rendering can be either direct, via user interaction, or indirect, via contextual ambient or user data. Only the interactive posters allow the incorporation of data through computational techniques, such as CV or Pattern Recognition. Therefore, they will remain perpetually in an unfinished state. In the context of this study, we will only focus on the development and study of this type of posters. Although this is a relatively new and unexplored area, some applications exist.
Briefly, interactive posters are systems that allow user interaction. Studio Feixen's poster for *Oto Nové Swiss Festival*, at London's Cafe Oto (Studio Feixen & Giger, 2017), is a case study of this type of poster. In its digital version, this poster becomes in a web app which enables the user interaction, through the mouse. Although the set of interactions are predefined, the way the users interact with the poster is always different. Furthermore, Studio Feixen recent work is exploring the development of moving posters in both perspectives, either interactive (e.g. the Sunset poster (Studio Feixen, n. d.)) or animated (e.g. Vlowl identity (Studio Feixen, 2016)). Additionally, its projects have been well-accepted by the design community, achieving a high impact and exposure in specialised media (see (Bourton, 2017) (Vesnin, 2017)).
On the other hand, the system can gather information from the environment without a user direct interaction. The campaign to Swedish pharmacy chain Apotek, in the Stockholm subway, developed by Åkestam Holst, is a good case in point (Xie, 2014; Åkestam Holst, n. d.). The poster responds to the incoming trains, using the data recorded by ultrasonic sensors, ensuring, therefore, that the model has her hair tousled by the 'wind' of the moving train.
At the same time, other designers are investing in the development of "poster machines" that enable the user to create a poster, through a previously developed framework (Armstrong & Stojmirovic, 2011). In the first stage, the system presents a default poster, and the user, through the manipulation of the system can see the modifications and create a poster design. Accordingly, these systems are interactive posters, according to our point of view.
In this sense, Luiz Ludwig developed an interactive user-oriented poster compositor, the *Poster Machine*, using an Arduino and Processing (Pelson, Kim, Dlugash, & Zotter, Ludwig, 2013). The user can create a unique poster design, shaping the scale and the position of the elements manipulating a series of knobs and switches. In the same perspective, Project Projects studio, in collaboration with the Kounkuey Design Initiative, developed the installation *Productive Posters* (Project Projects, 2008). This installation allows the user to write or draw in blank forms in order to develop a poster design. For each poster there are modules that can be included, for instance, to add quotations or give background information (Armstrong & Stojmirovic, 2011).
The use of CV techniques (such as motion capture or face recognition) to produce graphic images, it is not a new practice (Levin, 2006). In recent times, "data-driven design" artefacts start to use them in graphics context (e.g. (The Partners, 2017)) (Laranjo, 2017). Nevertheless, their use is still uncommon in this scenario. This is largely due to the advanced understanding required to the implementation of some CV algorithms which has been frightening graphic designers. However, nowadays a number widely-used and effective techniques can be implemented by everyone, and several toolkits offer easy access to more advanced CV functionalities (Levin, 2006). The rapid increase of technological power and the necessity of moving posters began to react to environmental stimuli, in our opinion, can lead these technologies to take the main role in the design process of this type of artefacts (Benyon, 2016).
The *Camera Postura*, by LUST, (LUST, 2014) can be recognised as one of the most innovative artefacts in this joint-venture between this two fields. This installation employs CV techniques to develop an interactive movie poster generator. The installation tracks the user's body language and matches it with
a similar movie scene’s poses. To the created images additional information (e.g. movie information) is added. Each pose results in the creation of a film poster at each interaction. This installation was implemented in the Netherlands Film Festival (2014) and the visitor’s gestures matched with scenes of the 20 most popular films in the festival.
As above mentioned this is a field in fast changing. Other examples can be found in specialised websites and literature. While some effort has been made to provide references from books or papers, unfortunately, these projects were developed in recent times and the information is only available online.
3. The Approach
In this early stage, we start to develop a poster design that enables the variance of the position and the perception of its shapes. In order to make this variance possible, we intercalate three-dimensional geometries with two-dimensional shapes; the geometries are created in the 3D space, however, the user only has this perception if he/she interacts with the poster. This first artefact is presented only as concept proof to study the viability of the project. The poster design is created in an interactive scenario using Processing (see figure 1). During this process, we also use the standard OpenCV Processing library, developed by Greg Borenstein, and Temboo software toolkit.
The poster in figure 1 is composed by 3 types of graphic elements: (1) boxes; (2) spheres; and (3) letters. The colours palette associated with poster changes in accordance with the temperature of the venue where the poster is installed. Furthermore, the user can select the element to reshape, by clicking on it. In this sense, the system gathers data from its surrounding environment in two ways: (1) directly, via user motion tracking; and (2) indirectly, using contextual ambient data, in this case, weather data.
2.1. Motion Tracking
The user motion is gathered by tracking the user’s head, using a face detection algorithm. The position of the viewer’s head is rebounded, in relation to the camera range, i.e. if the user has the head in the centre of the captured image, the poster does not change, however, the more the user moves horizontally or/and vertically, the more noticeable is the change (see figures 2 and 3).
If more than one person is in front of the poster, the motion capture method calculates the average point between the positions of the viewers and uses this position.
2.2. Contextual Ambient Data
In this stage of the project, the system is only able to get weather data from the venue where the poster is installed. The information is used to assign a colour palette to the poster. This data is tracked by using the public IP Address of the system to determine the place where the poster is connected to the Internet. Subsequently, the venue’s information is used to get the current temperature of this place. The system updates the weather information every five minutes.
Afterwards, the current temperature of the poster’s venue is normalised by taking into consideration the average minimum and maximum temperature values in the poster location. In this case, we normalised the value taking in consideration the data about the climatological normal of air temperature provided by Portuguese institute for sea and atmosphere, for the city of Coimbra, in the period between 1981–2010. Accordingly, the minimum value is -4,5º C and the maximum 41,6º C (IPMA, 2011).
The different poster colours are added to the system in the form of a spectrum divided into five control points (see figure 4). The current colour value is then determined by placing the normalised temperature value in the colour spectrum. The colour is generated through the interpolation between the colour of the two closer key points.
Figure 4. Control points of the colour spectrums added to the poster system.
Figure 5. Posters designs rendered during times with different temperatures. From poster rendered in the coolest moment (in the left) to the rendered warmer periods.
4. Elements’ Behaviour Design and Experimental Setup
As stated before, the poster is composed of three types of essential graphical elements (spheres, boxes and letters). Each element has a distinct behaviour.
4.1. Sphere Behaviour
When one sphere is selected, it moves in one of the axes, i.e. the centre of spheres changes in the direction of x or y axes. The translate axis is selected randomly in the initialisation of the object and, in the maximum, the spheres move ten pixels in each direction. The user’s motion is normalised using the cosine, in the x-axis, and the sine, in the y-axis (see figure 6).
Figure 6. An example of the spheres’ behaviour. On the left: The system does not recognise a user motion. On the right: the system employs a graphical translation to respond to a user’s motion normalised in the value of -2π, i.e. the user has the head on the top right corner of the area captured by the camera.
4.2. Box Behaviour
The boxes elements have similar behaviour to the spheres, however, the translation is replaced by a rotation. As in spheres, the rotation axis is chosen randomly in the initialisation of the object. In this kind of elements, directional lights are used, creating shadows on the sides of the box to emphasise the rotation (see figures 7 and 8).
4.3. Letters Behaviour
The letters shapes have more dynamic and variable interactions. There are three types of interactions on letters: (1) rotation, i.e. the letter rotates around its centre; (2) rotation with dragging, i.e. the letter rotates around their upper right corner and leave a dragging effect; and, finally, (3) translate with dragging, i.e. the letter changes its position employing an accordion effect in its dragging.
Additionally, the rotation with dragging has also two modes: (1) fixed, when the dragging is not created; and (2) non-fixed, when a new dragging is created.
In this prototype, the rotation effect is applied to the letters S and P. The rotation with dragging is applied in the E and H glyphs (the fixed mode in the E from word “me” and the non-fixed in the other letters). The translate with dragging is used in the remaining letters.
The rotation effect is similar to the one applied to other poster elements (see figure 9). The rotation with dragging effect applies a rotation to letter in its upper right corner, creating drags. This effect has two modes. The first mode, the non-fixed, creates drags when the rotation is done (see figure 10). Alternatively, the fixed mode does not create new drags and rotate also the existing drags (see figure 11). These number of drags are created whenever the rotation angle is a multiple of the initial angle rotation. The direction of rotation is randomly selected in the initialisation.
Figure 9. Example of a rotation effect in a letter.
Figure 10. Example of a rotation with dragging effect, in its fixed mode.
Figure 11. Example of a rotation with dragging effect, in its non-fixed mode.
In the translate with dragging effect, the glyph is translated, according to the user motion value, and, consequently, the space between the drags increases or decreases (see figure 12).
5. Conclusion
We have presented an experiment to develop a moving poster that integrates external data in its process of shaping. Although this is a work in process, the system already translates environmental data in graphic information. The data is gathered directly from the user, tracking the viewer’s position, and, indirectly, via contextual ambient data. This allows us to create different user experiences and to develop at each interaction a unique poster design. The user motion data is translated into graphical information using computer vision techniques, namely, face detection.
Although this experimentation serves mainly as a proof of concept, the present results motivate us to further explore this idea. With only a small number of parameters (i.e. the number of people that watch the poster, their position, and the temperature of the venue), the dynamism of the poster is guaranteed and the graphical change is significant. In another point of view, we proved with this experiment that the absence of synergetic work between these fields is not directly related to the difficulty in connecting them. In this way, we believe that this opened a window of opportunity to create novel and experimental work. In future iterations of the project, we expect to explore more advanced motion tracking techniques, image processing, and automatic poster composition. Future work will also focus on: (1) increasing the number of features tracked from the user and the environment; (2) developing an automatic poster composition system; (3) increasing the number of transformation methods in the poster; and (4) developing a physical implementation of the system.
Acknowledgement
This research is partially funded by Fundação para a Ciência e Tecnologia (FCT), Portugal, under the grant SFRH/BD/132728/2017.
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Specify
In 2000, the curators of the Angelo State Natural History Collections, with financial support from the National Science Foundation and the Texas Higher Education Coordinating Board Advanced Research Program (herbarium), began the formidable task of developing a computerized database of specimen records for each of the four collections. In addition, we wanted the databases, representing the most complete systematic collection of vascular plants and terrestrial vertebrates of the Concho Valley, available to others via the Web. For the past four years, curators and student assistants have been busy checking identifications and entering data. It is now 2004 and we are proud to report that our objectives are in sight.
Using Specify: Biodiversity and Biological Collection Database Management software, each ASNHC curator customized a database for his/her collection. As the databases developed, a computer science/biology student, Ms. Abedah Mohammed, designed a Web site for the collections. Here the databases could be queried using a variety of geographic and taxonomic fields. In 2003, Specify Version 4.0 was released which includes a flexible Web interface. We have recently upgraded our server and PCs to this newer, more powerful version and are now developing new Web interfaces for the collections.
Specify was developed at The University of Kansas under funding from the National Science Foundation as a universal collection management system. It is being widely accepted with new international users.
In Memory
John B. Shelton 1967-2002.
John, a biology graduate student, was a phenomenal botanist and scholar. He provided invaluable assistance in the early development of the plant database and helped with curation of the monocots. John was a gentle spirit who is greatly missed.
Noted Mammal Illustrator Works With ASNHC
Fiona Reid, author and illustrator of several books, visited the ASNHC to complete paintings for some species of mammals for the new edition of the Peterson Field Guide to Mammals of North America, scheduled for publication in Fall 2005. Dr. Dowler collected three species of pocket gophers, two ground squirrel species, and several mice for Fiona to paint. She was hosted by Dr. Maxwell and his wife. Fiona also traveled to Big Bend National Park to illustrate several bat species during a field course on bat natural history taught by Dr. Loren Ammerman.
Welcome to New Curator
Dr. Loren Ammerman joined the ASU Biology Department in 2001. She came to us from a teaching position at the University of Texas at Arlington. Her research focuses on molecular approaches to phylogenetic analysis, primarily with bats. She already has stepped in to assist with the graduate systematics course and is co-directing two graduate student thesis committees. This coming May she will teach a two-week May-mester course on bat biology in the Big Bend region. Dr. Ammerman has breathed new life into our molecular lab, setting up a volunteer program and working with both undergraduate and graduate students on research. Three of her students presented talks or posters at the recent meeting of the Texas Society of Mammalogists. She has taken on curation of the tissue collection in the ASNHC.
Thank You
In April of 1998, we announced the ASU Natural History Endowment. We are excited about continued donations and report here those received since the last Newsletter. Roland Schlagel made a sizeable donation to the ASNHC Endowment. Other donations to our endowment were by E. James Hindman and Charles Endress. The endowment is now in excess of $17,600 and hopefully will grow quickly to a point where we can begin to use the funds generated from the interest to support the collections and natural history research in the Department of Biology. Any donations you can make will go a long way toward building the endowment.
Louis Fohn made two donations of funds, to assist in skunk ecology studies and the other to help purchase supplies to build owl nest boxes. We also appreciate the donation of scientific journals by Burr Williams to the ASNHC Library. Dr. Al Flury donated a series of fox squirrels from San Angelo. Thanks also to the vet staff at the San Antonio Zoo for continuing to salvage necropsied animals for the ASNHC.
Kudos
Dr. Robert Dowler was honored in April 2003 with the Robert L. Packard Outstanding Educator Award from the Southwestern Association of Naturalists and he was recognized with the Angelo State University Teaching ExcelDowler received four research grants. From Texas Parks and Wildlife he was awarded $43,000 for the project “Ecology of three species of skunks in West Texas with emphasis on developing management implications for the hog-nosed skunk.” From the Texas Army National Guard he, and Department of Biology graduate student—James Holm, received $24,000 for a “Survey of mammals, reptiles, and amphibians of Camp Bowie” in Brown County, Texas. In association with this funded project, undergraduate student Carla Ebeling received a Carr Student Research Scholarship to study mammals of Brown County. Associated with the Camp Bowie grant was an award of $1500 from Texas Parks and Wildlife for “A short-term survey of mammals of Lake Brownwood State Park.” Dowler also received an Angelo State University Research Enhancement Grant of $10,000 to participate in the project “Field investigations of bats on the island of Sulawesi, Indonesia”. On that project he worked with Dr. Luis Ruedas of Portland State University. Dr. Dowler was also elected to the Board of Directors of the American Society of Mammalogists.
Dr. Terry Maxwell was recognized by the Angelo State University student government with its 2002 award of Professor of the Year in the College of Sciences. He received a $1000 research grant from the Deans of the Graduate School and College of Sciences to assist in the purchase of supplies to construct owl nest boxes. He continues into his fifth year of writing a column “Naturally Texas” for the San Angelo Standard Times newspaper.
Dr. J. Kelly McCoy was recognized for his administrative abilities with appointment as Head of the Biology Department. In 2003, he co-authored with Drs. Stanley Fox and Troy Baird, “Lizard Social Behavior” published by Johns Hopkins Press. Dr. McCoy also was elected to the Board of Governors of the Southwestern Association of Naturalists. He is a member of the Editorial Board for Copeia and Associate Editor for Herpetologica.
Dr. Bonnie B. Amos achieved a milestone in her career by returning to full time teaching and research in 2001 following thirteen years as Head of the Biology Department. She received $69,934 in funding of the U.S. Geological Survey-Angelo State University Cooperative Agreement, “Biological and Ecological Investigations of the Threatened Chisos Mountain Hedgehog Cactus.” Along with Drs. Dowler, Maxwell, and McCoy, she was awarded $154,929 from the National Science Foundation for “Database development and internet dissemination for the biodiversity of the Concho Valley of West-Central Texas.” Additional awards to Dr. Amos are $16,446 from the Mitchell County Board of Economic Development for “Texas Poppy Mallow Project” and $8,500 from Big Bend National Park for “Experimental Population Project for the Threatened Chisos Mountain Hedgehog Cactus.
Dr. Loren Ammerman recently received two research grants: Bat Conservation International, North American Bat Conservation Partnership Fund $5000 with Thomas H. Kunz, for the project “New census method to count Leptonycteris nivalis” and ASU Research Enhancement Grant, $10,000, to Dr. Ammerman for the project “A multigene approach to the phylogeny reconstruction of freetailed bat genera.”
**Specimen Counts**
- Plants .......................................................... 50,000+
- Amphibians and Reptiles ............................... 14,118
- Birds ......................................................... 2160
- Mammals .................................................... 12,893
**Significant Additions**
**Mammals.** Series of mammal specimens were collected during the mammalogy class field trips to southern Arizona in October, 2001 and to east Texas near Paris, and the Guadalupe Mountains of New Mexico in fall 2003. Other large series of mammals came from projects to survey San Angelo State Park, near San Angelo and Camp Bowie National Guard Training Site near Brownwood. Additional specimens and tissues of native and introduced rodent species of the Galapagos Islands resulted from field expeditions there in 2000 and 2003.
We continue to build the mephitid collection by actively salvaging roadkilled hog-nosed and spotted skunks, as well as striped skunks. The ASNHC now has over 170 skunk specimens representing four species.
Our collection of mammal specimens salvaged from zoos is also growing. During the past several years we have added many specimens that would have been destined for incineration, but now have a second life in teaching and research. Among these animals are Hoffman’s two-toed sloth, Goodfellow’s tree kangaroo, dama wallaby, jaguar, clouded leopard, snow leopard, African lion, sand cat,
Field crew studying cottontails (Sylvilagus robustus) in the Chisos Mountains of Big Bend National Park. From left are: Carla Ebeling, Robert Dowler, Amy Vestal, and Scott Clement.
Wolf’s guenon, golden lion tamarin, cotton-topped tamarin, capybara, agouti, black rhinoceros, babirusa, greater kudu, markhor, and bongo. From the Houston Zoo we received the skull of a dromedary camel. In addition to skulls or skeletons and occasionally skins, tissues for use in DNA studies are routinely saved for these species, uncommon in many museum collections.
Birds. The bird collection received a noteworthy number of Flammulated Owls (*Otus flammeolus*) as a consequence of the rare early October freeze and snow in 2001. The unusual weather event overtook these small owls in migration. Additional important specimens, including Montezuma Quail, have been donated from the region of the Davis Mountains. Material from the San Antonio Zoo continues to increase the holdings in families and orders. In particular, a turaco contributed to bird ordinal representation.
Amphibians and Reptiles. The herp collection has added a number of specimens from surveys of Devil’s River State Natural Area and Monahans Sandhills State Park. The collections from the state park include several county records. A collection totaling about 600 specimens, many from Mexico, was donated to the ASNHC from Tarleton State University.
CURATOR PROFILE:
DR. TERRY MAXWELL
The Department of Biology at Angelo State University has been the academic home of Terry Maxwell for most his adult life. Born in San Angelo after his father returned from the Second World War, Terry spent his childhood exploring the natural areas at the edge of town. His interest in biology in general, and birds in particular, came early in life. When he set off for college, the natural choice was the wildlife program at Texas A&M University. As an undergraduate there he began what was to become a lifetime of field studies in Texas as well as sites far from home. He jumped at the opportunity to assist a graduate student who was working on bats in Honduras, spending 10 weeks in the field. After completion of his B.S. in Wildlife, Terry joined the U.S. Air Force and served as a Spanish linguist monitoring radio transmissions from Cuba. During his military stint, he was stationed briefly at Goodfellow Air Force Base in San Angelo and it was at this time that he began the systematic collection of birds at Angelo State University. After his discharge, Terry returned to ASU to continue his ornithological pursuits and earned the M.S. in Biology in 1974. He then headed back to Texas A&M for his Ph.D. under the direction of Dr. Keith Arnold. His dissertation, *Avifauna of the Concho Valley of West-central Texas with Special Reference to Historical Change*, became the definitive work on birds in this region of Texas and was recently cited in David Schmidly’s book *Texas Natural History, A Century of Change*.
Before Terry finished his dissertation, he had already begun his teaching career at Angelo State University. In 1976 he was hired as an Instructor in Biology and he has been a fixture in the department ever since. He served as Department Head from 1982 to 1988, a period of considerable change in the department. Terry’s courses are among the most popular in the department, primarily because he communicates his enthusiasm for biology and natural history. His lectures are amply sprinkled with chalk illustrations that the rest of the faculty envy. This past year he was honored at Angelo State as Professor of the Year in the College of Sciences. His long-standing success as a teacher also recently was recognized when he was honored with the Robert L. Packard Outstanding Educator Award by the Southwestern Association of Naturalists.
In addition to all of Terry’s work in west-central Texas, he has played an important role in field expeditions throughout much of the New World. In the 1980’s he assisted Louisiana State University on bird survey work in Peru and later worked with a museum crew from the Philadelphia Academy of Sciences for five summers in Ecuador. The latter field work contributed to the major work by Robert Ridgley, *The Birds of Ecuador*. One summer he conducted baseline survey work on the North Slope of Alaska in the Arctic National Wildlife Refuge for the U.S. Fish and Wildlife Services ‘Tundra Breeding Bird Project’. He has also assisted mammal survey projects in the Yucatan Peninsula, Guyana, and the Galápagos Islands.
Terry’s most recent endeavor has taken him beyond the classroom to the challenge of communicating biology to the public. In 2000 he approached the San Angelo Standard Times about writing a weekly column called Naturally Texas. Now four years and almost 150 columns later, Terry continues to bring natural history writing to an interested readership. On top of that, he usually accompanies each article with an original illustration on the week’s topic. The interest generated by the column and Terry’s artwork resulted in an exhibition of his illustrations at the San Angelo Museum of Fine Arts in 2002.
Besides all of his other activities, Terry has continued to contribute to the collection of birds in the ASNHC that he started over 30 years ago. It is one of few actively growing bird collections in Texas and now numbers over 2000 specimens. Though much of the collection has important research value with significant holdings from west Texas, coastal Texas, and Guyana, the diversity of bird specimens is also used to supplement Terry’s treatment of birds of the world in his ornithology course. By continuing to use bird specimens in this and other courses, Terry is training another generation in the value of scientific specimens. Both the Department of Biology and those of us in the ASNHC are indeed fortunate that Terry Maxwell chose to devote his career to Angelo State University.
**Around the Collections**
**Mammals.** The collection of mammals has seen several great student workers come and go since the last newsletter: Brandy Martin and John Hanson kept the collection on track as student collection assistants in 2001 and 2002 and have passed the baton to Amy Bishop, an undergraduate in Biology who is continuing in their footsteps. Brandy finished her undergraduate degree in May 2002 and is hoping to begin work at Cat’Tales Zoological Park in Mead, Washington during the coming year. John is pursuing a Ph.D. at Texas Tech University after completing his M.S. degree under Terry Maxwell this past year. The volunteer program that teaches students to prepare mammal skins or skeletons has consistently processed specimens from the departmental freezers over the past seven years. Much of the material received from zoos has made its way into the mammal research or teaching collection because of the
volunteers' efforts. Several of our student workers have helped manage the volunteer program, including Clay White, Eddie Lyons, Joel Brant, John Hanson, Spencer Stewart, Jeff Doty, Brandy Martin, and Amy Bishop. One volunteer in particular, Briana Harbaugh, helped every semester for two years and was given a special Volunteer of the Year award before she graduated. Briana has now been accepted in the veterinary medicine program at Texas A&M University. During the past few years Clay White, Jeff Doty, Carla Ebeling, Sean Neiswenter and Gema Guerra have kept the dermestid beetle colony thriving while processing hundreds of skulls and skeletons.
Our former students associated with the ASNHC have been doing great. Scott Burt finished his Ph.D. at the University of New Mexico and stepped into a position as Assistant Professor of Biology at Truman State University in Missouri. He has been actively managing the collection of mammals there and getting students involved in collection-based research. Cody Edwards completed his Ph.D. at Texas Tech University and began as Assistant Professor of Biology at Stephen F. Austin State University in Nacogdoches, Texas. Dr. Dowler accompanied Cody on a research expedition to the Galapagos Islands last summer. Darin Carroll also finished his Ph.D. at Texas Tech and is now chasing viruses like Ebola and hantavirus with the Centers for Disease Control in Atlanta, Georgia. He presented a seminar for the ASU College of Sciences last year describing his participation in investigating an Ebola outbreak in Gabon, Africa. Marcy Revelez accepted a position as Curatorial Specialist in the Collection of Mammals at the Sam Noble Oklahoma Museum of Natural History, at the University of Oklahoma. Her experience in collection management while at the ASNHC was probably helpful in her being competitive for that position. Former graduate assistants that helped with the collection, Joel Brant and Eddie Lyons, are now pursuing Ph.D. degrees-Joel at Texas Tech University and Eddie at Texas A&M. Jeff Doty, a stalwart worker during skunk skinning days, finished his radio-telemetry study of spotted skunks and striped skunks and accepted a position as Research Associate working with hantavirus surveillance at Colorado State University.
Birds. The bird collection received two new upright, double-wide specimen cases, significantly expanding the holding capacity. Over the past three years, John Hanson - mentioned in the mammal section above - prepared many skins and significantly added to the exotic bird collection. Two previous bird preparators have moved importantly forward in their careers. Andy Kasner completed his Ph.D. in Wildlife Science at Texas A&M University and accepted a tenure-track position in Biology (ornithology and wetland ecology) at Lamar University in Beaumont. Michael Husak is now on the Biology faculty as a vertebrate specialist at Cameron University in Oklahoma. He is completing his Ph.D. dissertation with Mississippi State University.
Amphibians and Reptiles. Graduate student James Holm invested extensive time in curatorial duties in the herp collection. The collections have been largely rearranged into approximately phylogenetic order and the cataloging is almost up to date.
Plants. The massive effort to enter botanical specimens into the Specify database was accomplished in large part by herculean efforts of students: Elizabeth Shelton, Jason Neil, Aaron Bowles, Sandra Anaya, Rory Manuel, Shandy Reyes, Sontee Ghosh-Dastidar, Susan Putthoff, Melisa Wilson, Phillip Balfanz, Kimeko Brown, Robert Garcia, Cherise Kergald, Vanessa Owens, and Joshua Kornegay. Dr. Amos is particularly indebted to the efforts of graduate student Jeffery Masters for his careful curation of nearly each and every specimen and for keeping the student team on track. Also, big thanks goes to Dr. Jake Landers, retired Texas A&M University Extension Scientist, for curating the grass specimens. Ongoing field research on the Chisos Mountain hedgehog cactus in Big Bend National Park attracted many eager student assistants in 2001, 2002, and 2003.
Big Bend National Park cactus research team Kera Gineva, Sandra Anaya, Christie Adkins, and Cheri Kergald, March 29, 2003. Snow! Cactus flowers were open that same day at lower elevations.
RECENT PUBLICATIONS
2003
Castoe, T. A., P. T. Chippindale, J. A. Campbell, L. K. Ammerman, and C. L. Parkinson. 2003. Molecular systematics of the Middle American jumping pitvipers (genus *Atropoides*) and phylogeography of the *Atropoides nummifer* complex. Herpetologica 59: 420-431.
Fox, S.F., J.K. McCoy, and T.A. Baird. 2003. Lizard Social Behavior. 438p. Johns Hopkins University Press, Baltimore, MD.
Holm, J. A. and J. K. McCoy. Amphibian and reptile fauna of the Monahans Sandhills State Park. Final report submitted to Texas Parks and Wildlife, fall 2003.
Matthews, A.K. and L. K. Ammerman. 2003. Recapture of a banded pocketed free-tailed bat (*Nyctinomops femorosaccus*) in Big Bend National Park Texas. Bat Research News 44: 4.
McCoy, J.K., T.A. Baird, and S.F. Fox. 2003. Sexual selection, social behavior, and the environmental potential for polygyny. pp149-171 in Lizard Social Behavior. S.F. Fox, J.K. McCoy, and T.A. Baird (Eds.). Johns Hopkins University Press, Baltimore, MD.
Perez, K. E. and N. E. Strenth. 2003. A systematic review of the land snail (*Euglandina singleyana* (Binney, 1892) (Mollusca: Gastropoda: Spiraxidae). Proc. Biol. Soc. Washington 116(3):649–660.
2002
Ammerman, L. K., R. M. Rodriguez, J. L. Higginbotham, and A.K. Matthews. 2002. Bats from the lower canyons of the Rio Grande. Tex. J. Science 54 (4):369-374.
Brant, J. and R. Dowler. 2002. Reexamination of the range for the northern pygmy mouse, *Baiomys taylori* (Rodentia: Muridae), in northeastern Texas. Tex. J. Science 54(2):189-192.
Campbell, J. and J. McCoy. 2002. Mitochondrial DNA analysis of gene flow among six populations of collared lizards (*Crotaphytus collaris*) in west central Texas. Tex. J. Science 54(2):151-162.
Higginbotham, J. and L. Ammerman. 2002. Chiropteran community structure and seasonal dynamics in Big Bend National Park. Special Publications, Museum of Texas Tech Univ. 44:1-44.
Perez, K. and N. Strenth. 2002. Enzymatic variation in the land snail *Euglandina texasiana* (Gastropoda: Pulmonata) from South Texas and Northeastern Mexico. Tex. J. Science 54(1):37-44.
2001
Amos, B. and C. Vassiliou. 2001. Preliminary report on the reproductive biology of the threatened Chisos Mountain Hedgehog Cactus (*Echinocereus chisoensis*). In J. Maschinski: Proceedings of the Third Southwestern Rare and Endangered Plant Conference, Flagstaff, AZ.
Brant, J. and R. Dowler. 2001. The mammals of Devils River State Natural Area, Texas. Occasional Papers, Museum of Texas Tech Univ. 211: 1-31.
Revelez, M. and R. Dowler. 2001. Records of Texas mammals housed in the Angelo State Natural History Collections, Angelo State University. Tex. J. Science 53(3):273-284.
Ritzy, C., L. Ammerman, M. Dixon, and J. Richardson. 2001. Bat ectoparasites from the Trans-Pecos region of Texas, including notes from the Big Bend National Park. J. Medical Entomology 38(3):400-404.
Slater, S., D. Rollins, and R. Dowler. 2001. *Opuntia*: a “prickly paradigm” for quail management in west-central Texas. Wildlife Society Bulletin 29 (2):189-192.
Strenth, N. 2001. *Caulerpa prolifera* (Chlorophyta: Caulerpaceae) from the Laguna Madre of South Texas. Tex. J. Science 53(2):187-189.
2000
Harvey, M. B., D. G. Barker, L. K. Ammerman, and P. T. Chippindale. 2000. Evolutionary history and systematics of pythons of the *Morelia amethystina* complex (Serpentes: Boidae) with the description of three new species. Herpetological Monographs 14:139-185.
Higginbotham, J. L., M. T. Dixon, and L. K. Ammerman. 2000. Yucca provides roost for *Lasiurus xanthinus* (Chiroptera: Vespertilionidae) in Texas. Southwestern Naturalist 45 (3): 338-340
Husak, M. and T. Maxwell. 2000. A review of 20th century range expansion and population trends of the Golden-fronted Woodpecker (*Melanerpes aurifrons*): historical and ecological perspectives. Tex. J. Science 52 (4):275-284.
Brant, J. and R. Dowler. 2000. Noteworthy record of the Seminole bat, *Lasiurus seminolus* (Chiroptera: Vespertilionidae), in Val Verde County, Texas. Tex. J. Science 52(4) :353-355.
OUTREACH
ASNHC tours: In addition to individual school group tours of the collections, ASNHC curators participated in a College of Science citywide program for 4th graders called Science Days. From 2000 through 2003, 2,525 public and private school students visited the collections.
Research visitations and loans: The ASNHC continues to be used extensively by visiting researchers. Forty-two investigators of mammalian and avian species signed into the collection, and 54 loans of specimens were made.
The ASNHC Newsletter is published by Angelo State University for supporters and others interested in the Angelo State Natural History Collections and its programs of research and education.
Curator of Plants – Bonnie B. Amos
325/942-2189 ext. 256
firstname.lastname@example.org
Curator of Amphibians and Reptiles – J. Kelly McCoy
325/942-2189 ext. 246
email@example.com
Curator of Birds – Terry C. Maxwell
325/942-2189 ext. 245
firstname.lastname@example.org
Curator of Mammals – Robert C. Dowler
325/942-2189 ext. 239
email@example.com
Curator of Frozen Tissues – Loren K. Ammerman
325/942-2189 ext. 243
firstname.lastname@example.org
Please address all correspondence to the Department of Biology or to the individual curators at:
Angelo State University, ASU Station #10890,
San Angelo, TX 76909-0890.
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Smart Metering Implementation Programme: Consultation on the second version of the Smart Metering Equipment Technical Specifications
EDF Energy is one of the UK’s largest energy companies with activities throughout the energy chain. Our interests include nuclear, coal and gas-fired electricity generation, renewables, and energy supply to end users. We have over five million electricity and gas customer accounts in the UK, including residential and business users.
EDF Energy welcomes the further development of the Smart Metering Equipment Technical Specifications as a fully defined Smart Metering System is necessary to ensure technical interoperability, which is critical to the success of the programme. In particular:
- We welcome recognition of the benefits of a Communication Service Provider (CSP)-led model for development and procurement of a communications hub. We believe there is a compelling case, rather than there being a marginal preference, for this approach given the additional complexity and costs that could arise from a supplier led model.
- We expect swift development of an Intimate Communications Hub, necessary for mass roll-out, which will simplify and deliver the most economic installation of smart meters for the majority of homes in Great Britain.
- We believe that DECC should actively pursue the development of an 868MHz HAN, which is again, essential for mass roll-out. Enabling a rapid movement from 2.4GHz to 868MHz will avoid roll-out inefficiencies, customer confusion and excess costs being passed to consumers.
- A solution is required for all the buildings where radio solutions won’t work. This is necessary to ensure 100% coverage by the end of the roll-out period, and to have a non discriminatory approach against high rise building customers and other properties where wireless communications will not work, such as low rise blocks of flats or very large properties. In this context swift progress on trials to prove the capability of a wired HAN should be a priority.
There are a number of key points that EDF Energy would highlight regarding the DECC Smart Metering Implementation Programme’s design and consultation process, which we believe may compromise the validity of this consultation:
- Respondents are being asked to confirm their positions regarding the second version of the Smart Metering Equipment Technical Specification. However, this document has not been published.
- Subsequent to the publication of this consultation document, DECC has published for comment Detailed Design Specifications (DDSs) regarding specific smart metering equipment components. These DDSs appear to alter the functionality of each component. Thus, there is no stable design baseline from which to consider the consultation.
- The lack of visibility of an end-to-end architecture and operating model risks a variety of assumptions being made by respondents. It is possible that companies will make incorrect assumptions, leading to incorrect design decisions being made.
- The recent publication of proposed security architecture has yet to be fully resolved and the implications of this design are still unknown. It is not clear how, or whether, the security design will be supported by the Smart Metering Equipment Technical Specification.
We look forward to clarity on Enrolment and Adoption criteria, which will provide greater certainty regarding smart metering assets and reduce procurement risks. We believe these criteria must consider the impact on delivery timescales for the DCC and be focused on supporting the smart metering systems that will be deployed during the enduring roll-out.
Finally, we note the challenging timescales for DECC, the SMS supply chain and suppliers to develop and have available in bulk supply an interoperable, secure, safe and compliant SMS which can be enrolled into DCC. It is only once this is achieved that we can have confidence in meeting the Supply Licence Condition roll-out obligations at a reasonable cost and a manageable level of risk.
Our detailed responses are set out in the attachment to this letter. Should you wish to discuss any of the issues raised in our response or have any queries, please contact .
I confirm that this letter and its attachment may be published on DECC’s website.
Yours sincerely,
Attachment
Smart Metering Implementation Programme: Consultation on the second version of the Smart Metering Equipment Technical Specifications
EDF Energy’s response to your questions
Chapter 4 – SMETS 2 Development
Q1. Do you have any comments on the criteria used in the evaluation of the application layer standards?
- EDF Energy agrees that the criteria used appear to be appropriate for the application layer standards.
Q2. Do you agree with the proposal to adopt ZigBee SEP / DLMS as the HAN application layer standards for GB?
EDF Energy agrees with the proposal to adopt ZigBee SEP1.x and DLMS as application layer standards for the GB market, subject to clarification of the end-to-end architecture and operating model. Incompatibility between the intended use of ZigBee and DLMS and the Architectural design would require a fundamental review.
EDF Energy would welcome more clarity, including a detailed specification covering the architecture depicting how these standards apply to the logical and physical components of the smart metering system:
- within the HAN and for each of the smart metering components; and
- to and from the DCC, on the WAN and on the supplier head-end
Our current understanding of the application layers is as follows, however, we would welcome a clarification by DECC:
![Diagram showing communication layers and standards]
ZigBee also offers meshing capabilities. EDF Energy would welcome clarification from DECC as to whether this feature will be used for the SMHAN connectivity.
Q3. **Do you agree that equipment should be required to comply with SMETS and a GB Companion specification for ZigBee SEP / DLMS?**
EDF Energy would welcome clarification of which version of SMETS is being considered. EDF Energy agrees that equipment should comply with SMETS2 (and not SMETS1). SMETS2 is the only version of the specification that will define the HAN interface and other key requirements, and thus enable technical interoperability within the home.
EDF Energy agrees that a companion specification is required in addition to SMETS2. This companion specification will have to define all interfaces between all the SMHAN devices and with the DCC, from a physical and logical perspective.
The development of the companion specification must be done in coordination with the business processes, CPL logic and end-to-end design baseline in order to deliver the expected functionalities. It must also comply with the STEG security requirements.
We believe that the companion specification must be sufficient to guarantee technical interoperability and be tested to prove this.
Q4. **Do you agree with the overall approach proposed in relation to the HAN physical layer? If not, please provide a rationale and evidence for your position.**
EDF Energy does not agree with the overall approach proposed in relation with the HAN physical layer. We believe that none of the 3 options proposed can maximise the Impact Assessment benefits.
EDF Energy welcomes the radio propagation testing performed by the programme. However, we note that this test was very limited involving only 120 properties and as such any results need to be assessed in the context of a statistically limited trial. However, EDF Energy acknowledges the evidence that a significant number of properties will not be covered with a 2.4GHz solution, and agrees to consider 70% coverage with 2.4GHz as a broad estimation.
Option 1 with 2.4GHz as a standard solution is not practicable as it would require the use of repeaters in customer’s property. Repeaters induce a higher cost to the industry and have many drawbacks and unsolved challenges including their maintenance and their power supply.
Indeed, the propagation test confirmed that 2.4GHz is far from being the optimal solution and would leave 30% of the market without a solution.
Option 2 dual-band communication hub is appealing at first glance, however, it would induce a higher cost in every communication hub, while this future flexibility may only be required in a minority of cases. In addition, there is a high risk that the future upgradeability will not be possible – since it cannot be demonstrated at the time when the devices are installed in the field. Another issue associated with dual band chips is the reduced performance of an antenna that would work at both frequencies – or the increased cost of having to fit two antennas.
A mix of two HAN radio technologies on the market will have many drawbacks:
- Customer confusion: when buying additional devices such as gateways or IHDs, as the customer would need to know which HAN standard he has to buy against.
- Installation and maintenance complexity: when installing or replacing new kits, the installer would need several variants of each smart metering equipment. This would also apply to the HHT: the installer would need either a dual band HHT or two HHT.
- From a supplier point of view, the multiple HAN induce one more type of variance for all the smart metering equipments – this adds on to the other types of variants (such as: single / dual elements / three phase, with / without additional contactor, intimate / external communications hub). More variants induce smaller production volumes and will increase all costs: manufacturing costs, testing costs, installation costs, and maintenance costs.
Option 3 with a market led approach is not the optimal solution to ensure in time development of a solution to cover the estimated 30% of the market where 2.4GHZ won’t work.
EDF Energy would favour an approach where priority is put on the licensed spectrum dedicated to Smart Metering near to the 868MHz band. We believe that 868MHz solution should be mandated for the mass roll-out, while 2.4GHz products should be limited in volumes for trials and testing.
In addition, putting all efforts from now on the development of the 868MHz solution will reduce the development timescales currently estimated between 2 to 3 years.
If the programme could get a dedicated spectrum in the 868MHz range, it would be far better to make use of it for all of the market, and not only for a small fraction of it. The costs of this licensed band would be spread over all customers as well as the risks of interferences would be reduced for all of them.
The following plan illustrates EDF Energy’s proposition:
Q5. Do you have any comments on the criteria used in the evaluation of the physical layer of the HAN?
EDF Energy would like to highlight the following points that we regard as critical to the evaluation:
- The bandwidth availability will depend on the frequency band that is used, the number of channels and their allowed duty cycles. In this regard, the 868MHz licence exempt bands (863-870MHz) are limited to meet the SMETS2 requirements. The capabilities of these bands were designed for older analogue systems. This could potentially be overcome by using high data rate modulations; however, it would reduce the coverage (to 90-95% of the market, say industry experts).
- In terms of coverage, 868MHz is clearly better than 2.4GHz, EDF Energy agrees with the propagation trial results.
- EDF Energy is in favour of a licensed spectrum for smart metering HAN (see question 6) and would like DECC to provide an evaluation of the costs for the industry.
- EDF Energy has concerns around the development time for the 868MHz solution, especially if no decision is taken to mandate 868MHz solutions.
- The impact on the IA of any decision must be undertaken.
Q6. What are your views on the compatibility of the reserved spectrum 870-876MHz with 868 MHz and the value of considering the use of this band?
EDF Energy believes that there would be more benefits and a lower risk profile to apply for a licensed band for the smart metering HAN at 870-872MHz than to use the licence exempt band at 863-870MHz.
The smart metering programme has the possibility to use licence-exempt band at 863-870MHz or to apply for a dedicated licensed band in the frequency ranges of 870-872MHz or 872-876MHz. The benefits of a dedicated spectrum are multiple:
- **In band interference risk**: the licence exempt band presents an inherent threat of interference with other devices legally operating in that same band. Existing users already include toys, telemetry systems, garage doors remote controls, alarms, RFIDs; etc. This could compromise the delivery of the IA. A licensed band would clearly reduce this risk.
- **Out of band interference risk with future LTE**: Although not proved in the field, there is a high risk that future LTE devices interfere on the frequencies that are close to 863MHz.
- **Limited bandwidth in the licence-exempt band**: if working over the unlicensed band (namely at 863-870Hz), the bandwidth is very small compared with the needs of the smart metering equipment as defined in SMETS. This is especially due to the duty cycle limitations (comprised between 0.1% and 1%).
- **Increasing bandwidth**: If the smart metering programme were provided a licensed frequency band, the duty cycle could be increased by the licence owner. Within licence-exempt bands, options exist but they are quite constraining for the smart metering programme. The first option consists in implementing a Listen Before Talk (LBT) protocol to maximise the use of the available channels. However, the LBT protocol defined in ETSI EN 300 220-1 is different from the protocol used in ZigBee (CSMA/CD), and this would require a complex and lengthy re-writing of the ZigBee specification. There is also a gas meter battery issue if the gas meter has to do many communication attempts. The second solution would consist of picking a physical layer modulation that maximises the data-rate. However, this would have impact on the coverage of GB properties, leaving more properties to be covered with a PLC solution where available (if no gas in the property).
For all these reasons, EDF Energy believes that the programme should seek to get a licensed band at 870-872 MHz for the Smart Metering programme.
**Q7. Do you consider that additional measures should be taken to encourage the development of an 868 MHz solution?**
Yes. EDF Energy believes that additional measures should be taken to encourage development of a licensed spectrum dedicated to Smart Metering in the 868MHz band.
Leaving the decision to the market will lead to confusion, the potential use of many competing and non interoperable solutions and may well result in a significant increase in Smart Programme timescales before an industry standard is arrived at. Such uncertainty in the market could well result in a poor customer experience, especially for those that deploy smart in two phases e.g. electricity followed, some time later, by gas.
EDF Energy believes that the programme should limit the 2.4GHz volumes to trialling and testing to ensure that maximum efforts are driven towards the 868MHz solution delivery.
Q8. **Do you agree with the approach to allow the market to determine the balance between 2.4 GHz and 868 MHz? If not, please provide rationale and evidence.**
EDF Energy disagrees with the proposition of leaving the market to determine the balance between 868MHz and 2.4GHz.
There is a clear risk that 868MHz takes much longer to become available and deploy if no decision is taken centrally by DECC. This would leave 30% of properties without smart meters, and the business benefits would not be realised. The customer experience would also be poor due to aborted installs and/or inability to offer a smart meter to all those who would like to benefit from the programme.
A similar situation occurred with the COP7 Half hourly meters: meter manufacturers never produced one as they never saw the need for it. The key question, if there is no mandate to roll-out 868MHz, is whether the market will actually provide such devices, or delay decisions to do so, compromising the efficiency of the roll-out and therefore burdening customers with extra costs.
Q9. **What are your views on the three options identified for displaying wireless solutions (i.e. 2.4 GHz as the default; dual-band communications hubs; or market led)?**
EDF Energy believes the optimal solution to be to mandate the adoption of an 868MHz solution and limit the volumes of the 2.4GHz products, as explained in our answer to question 4.
Q10. **Do you agree with the proposal for a ‘fit for purpose’ installation obligation on suppliers?**
EDF Energy believes that key principles should be followed:
- The installation obligations should be clear to enable compliance and avoid complexity for logistics, installation & maintenance purposes.
- The obligations should developed on the basis of technical assessment to ensure they deliver correct outcomes.
- The obligations should lead to the best long-term outcomes.
On each of these points:
**Clear obligations to enable compliance:**
The consultation document does not define in any detail ‘fit for purpose’. Greater clarity will be required to ensure that unclear obligations do not become the cause
of a non-compliant roll-out. As much as possible, the decision making process should be taken away from the installation process. We believe that avoiding complexity will also provide benefits in simplifying logistics, installation processes & maintenance arrangements, but believe an economic assessment should be undertaken to confirm this.
**Technical assessment:**
There are two key decisions that need to be taken regarding technical feasibility:
- DECC’s assessment is that using 868MHz ‘is likely to achieve over 95% satisfactory propagation’ and to support delivery of the programme objectives of 100% coverage, a wired HAN trial is being developed. The implications of two variants of wireless HANs (2.4GHz, 868MHz) and wired variant need to be assessed simultaneously to avoid excess cost, complexity, non-interoperability and customer dissatisfaction.
- The ‘fit for purpose’ obligation needs to consider the technical risk that non-licensed frequencies could become overwhelmed by other developments, particularly affecting the use of 868MHz where available bandwidth is just sufficient, with no spare capacity. See our answer to question 6, regarding the possible use of licensable frequencies.
**Best long-term outcomes:**
A ‘fit for purpose’ installation obligation could lead to the proliferation of three physical layers, which will have implications for maintenance, replacement stocks, training, customer usability (e.g. for the CAD) & support costs, amongst other factors. The best long-term outcome is likely to be one where a simple solution exists and ‘fit for purpose’ should consider the impact not only on go-live but also for the enduring situation.
**Q11. Do you have any views on the proposed approach to developing a wired HAN solution?**
EDF Energy agrees that a solution is required for all the buildings where radio solutions won’t work. This is necessary to ensure 100% coverage by the end of the roll-out period, and to have a non discriminatory approach against high rise building customers and other properties where wireless communications will not work, such as low rise blocks of flats or very large properties.
This evaluation should be supported and led by DECC as was done for the radio propagation trial. This would ensure the independence of the results in the wider industry. In addition, suppliers are not the only stakeholders impacted by the HAN choice. The CSP will have a key role to play in this process.
Q12. Do you agree with the proposed scope of functional requirements for a communications hub? Are there any other functions that should be included and what would be your rationale for including those functions (including estimated costs and benefits)?
EDF Energy does not agree with the proposed scope of the functional requirements for a communication hub. This arises from concerns that EDF Energy has about the following.
The recently issued Communications Hub Technical Specification (CHTS) has stated that there is a requirement to be able support both hub & spoke and mesh architecture. This dual requirement in effect requires message translation and a Customer Access Port in both the Communications Hub and the smart electricity meter. Clearly this is an added cost burden that will inevitably have to be funded by customers.
Previously it had been understood that the Communications Hub would be central to all HAN traffic; however, slides presented at the SSAG meeting (15/8/2012) indicated this was no longer the intention. For example there was a depiction of the electricity meter communicating directly with the customer’s IHD. EDF Energy is concerned that this is complicating the design of the smart electricity meter. In effect this is adding functionality to an already technically complex piece of equipment. It has to be remembered that Suppliers will have an expectation that smart electricity meters will have a service life capacity of 15 years. Additionally, such functionality within the electricity meter leads to an increased risk of failure. Furthermore, any change in communication technology increases the risk that the meter will require exchange. It has to be remembered that meter exchanges are very inconvenient for customers as there is a need to de-energise their supplies.
EDF Energy has a declared preference for an intimate communication hub (ICH) (See also response to Q13) featuring:
- A wired data link;
- A low voltage DC power supply; and
- A mains pair connection for PLC purposes.
EDF Energy believes that it should be possible to develop a design of ICH that can be hot swapped without the need for the customer’s supply to be de-energised. Such a design provides for changes in communication technology to take place without the need for meter removal and the attendant need for the customer to lose supply. Any new design of communication hub simply needs to accommodate the facility to accept information from the data pair, be compatible with the existing DC power pack and if necessary have provision for connection to the mains pair for PLC purposes. In terms of servicing costs it is clearly going to be cheaper to hot swap a communication hub as opposed to replacing the meter. It also needs to be borne in mind that if a meter has to be changed by reason of an upgrade to the communication technology that meter is likely to be obsolete and so will become a wasted asset.
One of the advantages claimed by DECC for mesh methodology is the fact that only one transmission is required to send an update between the electricity meter and the IHD. While it can be argued that this is true and leads to a sensible reduction in HAN traffic, the same can also be said of the wired data link used in an ICH arrangement since data passed by an electricity meter to an ICH is a direct connection, not a radio transmission.
With regard to the question of power supply, EDF Energy accepts that standalone communication hubs of the type suggested by another supplier for single fuel gas situations where smart electricity metering has yet to be installed will need to be mains powered. Such hubs are designed to be connected directly to the service head and as such must be of a suitable design to cope with the considerable fault level available at such a connection point. At time of writing it is understood that this particular design is the subject of a DCUSA consultation.
A further option understood to have been considered is for a stand-alone communication hub that derives its power from an umbilical connection to the electricity meter. EDF Energy does not favour the external communication hub with umbilical connector on the basis that:
- The design requires additional space at the intake position;
- Such designs have previously been known to be prone to interference and tampering; and
- There is a concern about mains cabling emerging from a meter in an umbilical connector (see below).
With regard to power supply arrangements, EDF Energy believes that a low voltage supply is safer than a mains connection. In the case of a mains connector, such a supply needs protecting with a suitable fuse. In the event of a fault, the fuse will blow and will need to be replaced following rectification. Such a feature will add significantly to the cost of the electricity meter, since the fuse will require a secure means of access and a sealing arrangement. However, at this juncture, a PLC solution has not been ruled out, and so any standardised umbilical connector designed to serve a generic design of communication hub will have to feature a mains connection!
With regard to outage alerts, EDF Energy understands that this would very much depend upon the CSP's choice of technology and whether or not they could provide alternative methodologies. It is therefore felt that there is not necessarily always going to be a need for a communication hub to report outages (see also EDF Energy's response to Q17).
Q13. Do you have views on the specification for an 'intimate' interface between electricity meters and communications hubs?
In the case of the proposed intimate communication design (ICH), EDF Energy is concerned with the requirement for such hubs to be mains powered. The actual
electronic circuitry of an ICH will necessarily be low voltage and so if the ICH has to be mains powered this will require a separate Power Supply Unit (PSU) to be associated with the hub. Given that the power for the hub will be the associated electricity meter, it is suggested that such power should be derived from the low voltage output of the meter’s own PSU. Such an approach would obviate the need for the ICH to have its own separate PSU and would serve to reduce the cost and the overall physical size of the ICH package. Our analysis shows that this will reduce the cost per ICH by between 20% - 30%. While it can be argued that a mains voltage will be necessary for PLC based hubs, there is no reason why a mains socket cannot also be provided within the top hat enclosure of the electricity meter and furthermore why an ICH that uses PLC technology could not also be powered from a low voltage supply derived from the electricity PSU of the meter.
Furthermore, there are concerns that the mesh methodology, that is now being favoured by DECC, is effectively mandating a requirement for every smart electricity meter to contain a HAN interface. It is a fact that a physical gap needs to be maintained between 2 radio transceivers to ensure no interference. Given the preference by most suppliers for an ICH to be situated in a top hat compartment of the meter this in effect means there will be two HAN interfaces working in very close proximity to one and other. Clearly there will be a need for great care at the design stage; this might lead to additional costs. Irrespective of this argument, it is apparent that the cost of electricity metering will increase if every such electricity meter has to include a HAN interface. The majority of meter manufacturers are of the opinion that this is unnecessary for meters that incorporate the ICH design and have argued for a hard wired data link communication. It needs also to be borne in mind that if any change in communication hub and or technology requires a change to the HAN system frequency then the meter will also require replacement since its HAN transceiver will no longer be compatible (See also answer to Q12).
Q14. Do you agree with the Government’s marginal preference for the CSP-led model for communications hub responsibilities, or do you prefer the supplier-led model? Please provide clear rationale for the advantages and risks associated with your preferred option.
EDF Energy fully agrees with the Government’s preference for the CSP-led model. However, the suggestion that this is a marginal preference is of some concern and EDF Energy is of the opinion that there are some very clear reasons why the Government should be adopting the CSP-led model, these are as follows:
- In a scenario where gas and electricity suppliers are provided by two different suppliers one supplier would be responsible for maintaining the communication hub. If such a supplier (or their agent) failed to do so in either a timely or efficient manner then the supplier responsible for the other fuel will suffer the consequences. This could lead to inter-supplier dispute situations. However, in the CSP-led scenario, where the CSP was responsible for the maintenance, this should not be an issue since the CSP will be at liberty to
simply engage the services of the cheapest and or most effective of the Metering Service Providers.
- In the Supplier-led model it will be necessary to track maintain and record the purchase history so that if required warranty arrangements can be exercised. This will inevitably add complexity to the COS process. In the CSP – led model there will be no communication hub warranty transfer issues. Warranty arrangements will simply be managed at all times by the CSP.
- In a Supplier-led model the rental arrangements will be very complex to administer. Additionally in a scenario where gas and electricity supplies are provided by two different suppliers the second fuel provider will need to continue paying the original supplier a hub rental charge based on the shared usage principle. In the event of a COS event related to one of the fuels the contractual situation will be very difficult to manage. In the CSP-led model the CSP simply levies a rental charge per Supplier per fuel.
- The CSPs will over the course of time acquire experience as to the suitability of differing technologies and will be able to procure to meet the requirements of specific geographic areas. Suppliers on the other hand will not have this ability and will have to make best guess estimates as to their requirement. Clearly in a Supplier - led scenario this will lead to inefficiencies and inevitable additional costs being passed on to customers.
- In a CSP-led model the three CSPs will be managing all of the domestic installation procurement arrangements for their geographic areas and so will have considerable buying power. As such they will be able to secure optimal pricing for the equipment that they procure. Suppliers on the other hand will not have the benefit of such buying power and so inevitably in a Supplier – led model the cost of communication hubs will inevitably be higher. Higher costs of this nature will obviously have to be passed through to customers.
EDF Energy also strongly disagrees with Government’s assertion that “costs should lie where they fall” in respect of installation and maintenance costs. Where the Supplier carries out installation and maintenance activities in respect of the Communications Hub, our view is that the Supplier should be able to recover the associated costs from the CSP. We consider that this approach has the following advantages:
- It would ensure that the chosen device would be robust, fit for purpose and cost effective, since it would align the CSP’s incentives to the interests of the Supplier and customer (for example, such an arrangement would mean that it would be in CSP’s interest to ensure that technical failure is minimised, as the CSP would bear a direct financial exposure to any such failure).
- It would ensure that customers and Suppliers would not be penalised due to their geographic location (e.g., where installation costs are higher in particular regions), since CSP costs would be apportioned across all users.
- It would also not seem reasonable from an accounting perspective to separate the costs and installation and maintenance from the capital costs associated with the Communications Hub.
Moreover, we envisage that certain property types (e.g., multiple occupancy premises) would require a distribution board or other forms of shared infrastructure in order to effectively propagate HAN signals throughout the property. In those instances, it will be most appropriate and economical for the CSP to carry out the installation of shared communications infrastructure\(^1\). We believe that this approach would be preferable for the following reasons:
- Supplier-led installation of shared infrastructure could lead to duplication of effort and resources (e.g. if different Suppliers adopted different within-building communications solutions).
- Supplier-led installation could also lead to conflicts of interest where a single Supplier was responsible for installing shared infrastructure on behalf of other Suppliers’ customers. This could lead to excessive charging for the use of the infrastructure, or discrimination in the provision of services.
- CSP-led installation would weaken the incentive on Suppliers to avoid installing smart metering systems in difficult (e.g., multiple occupancy) properties until later in the roll-out period;
Finally, EDF Energy believes that the DCC Licence should be explicit in defining the boundaries of responsibilities. At a minimum, it is essential that the WAN coverage is sufficient to reach the communication module, even where the module must be installed in a “difficult-to-reach” location. This would ensure that the network coverage is sufficient to cover all properties whether single site or multiple occupancy.
**Q15. Do you agree with the proposal that a CHTS-compliant communications hub should not be mandated for opted out non-domestic sites and that suppliers should be free to use whatever type of communications equipment best supports their processes and WAN service?**
EDF Energy does not agree with this proposal and believes that a CHTS-compliant communications hub **should** be mandated for opted out non-domestic sites.
Our reasoning for this is as follows:
- EDF Energy believes that if Opted Out sites do not have a CHTS compliant communication hub, then this decision could impact competition in this area e.g. the consumer will stay with their current supplier, as they believe other suppliers may not be able to support their smart metering arrangements, or it could be due to the perception that extra costs would inevitably be incurred by switching to a new supplier. We therefore question whether this additional cost to replace the communication hub has been factored into the DECC Impact Assessment?
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\(^1\) Note: we do not consider that it will be necessary for the CSP to carry out a separate visit to the customer’s premises in these instances. However, if this were to be the case, we consider that it would be necessary to explore alternatives, since we oppose multiple customer visits.
The alternative to this, which is common practice in today’s AMR (Advanced Meter Reading – Profile Class 5-8 and gas equivalent) market, is that the new supplier for simplicity has no choice but to use the existing provider to maintain communication links to the site. This is particularly relevant where the customer has entered into a direct contractual relationship with a Metering Service Provider (MSP). This requires the supplier to directly contract with that MSP just to obtain their regulatory data e.g. billing data. However, even in this market we are currently experiencing operational and commercial difficulties with some providers.
- A proliferation of bespoke solutions is likely to lead to a situation where not all suppliers can support those solutions. This will weaken competition and will ultimately have an adverse consequence for those customers.
- The SMETS2 consultation discusses the market that already exists for provision of data and whether a HAN is necessary to enable non-domestic customers accessing their data through a Consumer Access Device (CAD). Our experience in today’s market where this exists is predominantly in the large business arena where AMR is fitted and companies have their own data management personnel. Data is transmitted through loggers, or other communication technologies to suppliers facilitating them to display that data back through web pages etc. However, the majority of the market where the SMETS2 complaint meters will be installed is the smaller one off type sites at the lower end of the non-domestic market. For these companies they are unlikely to have web capability; and therefore, their desire for more local access will be significantly greater. Hence, not to provide this capability will hinder this market in accessing consumption data, especially if there is no HAN (Home Area Network) to allow local access to data.
- Although concerns have been raised by certain parties about the additional cost of the gas mirror in electricity only supplied non-domestic sites and its resultant redundancy at these sites, EDF Energy believes there could be a solution to this which could also reduce the costs for the domestic roll-out. Within Great Britain there are approximately 5 million domestic premises with an electricity supply only and no gas main. If CSP could produce two CHTS compliant communication hubs; one for an electricity only site without a gas mirror and a dual fuel communication hub for the mass market, costs could be reduced. This would provide a more competitive price for the non-domestic sites and at the same time reduce the overall cost in DECC Impact Assessment for the domestic market. However, should the cost difference between the two versions be so small that it would not be cost effective for manufacturers to produce them i.e. only memory and processing, then the argument not to use them because of the cost of the gas mirror would have no material bearing.
- The installation of a CHTS compliant communication hub would also smooth the process, at the point of change of supplier, in allowing new suppliers for these non-domestic sites to be enrolled in the DCC without the need for a site visit, thereby reducing the cost and inconvenience to the customer.
Q16. Do you agree that the gaining supplier should bear the costs of installing an appropriate communications hub if they decide to switch between opted in and opted out?
EDF Energy does not agree that the gaining supplier should bear the costs of installing a CHTS-compliant communication hub, for the reasons provided in Question 15. However, there will be exceptions to this where the customer has entered into a direct contractual relationship with an MSP. In these circumstances the new supplier has no alternative but to contract with that MSP and retain the existing communication infrastructure outside of the DCC installed by the MSP, until such time as that contract expires. This could reduce the benefits of Smart Metering to these customers as they would be unlikely to opt for a prepayment tariff and Suppliers would be unable to utilise the full remote functionality of these meters.
Q17. Do you agree that the design and implementation of outage reporting functionality should be assigned to CSPs, documented in the communications hub technical specification?
EDF Energy generally agrees that outage management should be the responsibility of the CSP but has some concern about the costs and practical considerations associated with these requirements.
With regard to the possibility that every communication hub could incorporate an outage management feature, it has to be recognised that the three minute delay before an outage report can be transmitted will require the incorporation of an energy storage device (battery/supercap) which will add cost (our analysis shows that this could increase the cost per communication hub by around and physical size to the communication hub design. Given the majority of suppliers are in favour of an ICH design this also raises a concern as to the overall physical size (footprint) of the electricity meter, when adjoined to the ICH. If the meter/ICH footprint is too large this will inevitably lead to installation difficulties. There are further concerns relating to the rash of messages that will be sent in the event of a major outage, however, it is assumed that the CSP/DCC will have to put in place coping mechanisms based upon message priorities and system assumptive measures.
With regard to paragraph 97 of the consultation, it should be noted that if the ICH design incorporated a wired DC power supply connector linking the communication hub to the meter then there would be no need for two sources of energy storage since both devices could share the same energy source.
Furthermore, EDF Energy believes that some design consideration should be given to providing a means of differentiating between a general power failure i.e. voltage unavailable at meter terminals and loss of supply to the communication hub only. If a voltage was present at the meter terminals but the power supply unit to the communication hub were to fail then an inappropriate outage message will be sent. This will possibly occasion a no supply call-out by a DNO or their
agent. Clearly in such circumstances it might be better for the communication hub to advise the loss of its own power and send a message to the Supplier via the DCC.
We believe that restoration messages are unnecessary, the Network Operator should be cognisant of the measures that it is taking to restore supplies and so following restoration activity could simply ping smart metering systems situated at strategic positions around its network to determine the level of success that they were having.
With regard to the possibility that CSPs could incorporate outage management functionality elsewhere within their infrastructure EDF Energy believes that this may well be more cost effective but will not be able to provide granularity down to MPAN level. However, it is felt that such a compromise may well provide a more cost effective means of providing for any significant outage management events.
Q18. Do you agree that it would be inappropriate to require meters operated outside DCC to be required to implement outage reporting? Please provide rationale to support your views
EDF Energy believes that outage reporting for meters operated outside of DCC should be identical to the requirements for meters operated through the DCC. This is another reason why a CHTS complaint communication hub should be mandated so that this functionality will exist whether opted in or out of the DCC. The DNOs should then be required to enter into contractual relationships with the providers (predominantly MSPs) to access this data.
EDF Energy agrees that DNOs should not look to suppliers to provide outage information. Suppliers in many cases will not have access to this data, if the MSP does not cater for that functionality. Additionally, if the customer has directly contracted with an MSP, the supplier would only be receiving its regulatory data (e.g. meter readings for billing), and would therefore not be in a position to provide DNOs with outage data.
EDF Energy is concerned that MSPs will not be obliged to forward alerts and alarms from the smart meter, as if they were the DCC. This will impose upon suppliers a two tier operating model, where our preference has always been to operate a single operating model through the DCC, with the same standards, security, interfaces and protocol requirements etc. As this appears not to be the case, we would require the same standards, security, interfaces, protocols and alerts/alarms etc to be enforced whether the site is operating in or outside of the DCC.
Q19. Do you agree that maximum demand registers should be included in SMETS? Please provide evidence to support your position and provide evidence on the cost implications of delivering this functionality via back office systems or via the meter.
EDF Energy agrees with the proposal to incorporate the specified maximum demand registers within the SMETS 2 smart meter design.
With regard to the costs of back office inclusion EDF Energy is not familiar with the design of such systems and so cannot comment. However assuming that the manufacturers have given assurances to the effect that the cost of incorporation into the meter design is marginal EDF Energy is comfortable with inclusion of such MD registers into the SMETS 2.
Q20. Do you agree with the proposal not to include the capability to generate additional voltage alerts based on counter thresholds in SMETS 2? Do you have any evidence that could justify including this functionality in SMETS 2?
Based upon manufacturer’s advice EDF Energy agrees that the inclusion of voltage threshold counter alerts (VTCA) will add complexity to the smart electricity meter design. Given that the DNO’s own analysis indicates only minimal cost savings will be realised by incorporating VTCA into the smart electricity meter design, EDF Energy is of the opinion that the functionality should not be included within SMETS 2.
One further consideration is the possibility of altering the original SMETS 1 requirements relating to the transmission of WAN alerts from the compulsory SMETS 1 option to a configurable option. The rationale behind this suggestion is that if an extreme voltage event occurs within a locality every smart meter in the vicinity will respond by sending a message. This could incur unnecessary messaging costs, and furthermore might clog up the WAN. By making this a configurable option, DNO’s could simply configure smart meters at key strategic points around their network to report on unusual voltage excursions.
Q21. If DNOs were permitted to access remote disablement functions, should control logic be built into DCC systems or meters? If the logic should be built into meters, should the logic be specified in SMETS 2? Please provide rationale to support your position including estimates of the cost of delivering this functionality under the different options being considered and any evidence relating to safety issues associated with each option.
EDF Energy does not believe that DNOs should be allowed to remotely disable customer’s supplies by means of the smart metering network. If the facility is to be afforded at all it should be achieved by means of a contractual arrangement between the DNO and the individual Supplier concerned. The adoption of such a stance obviates the need for any logic to be placed within the DCC system.
EDF Energy believes that if the DNO’s are to be afforded access to remote disablement functions then the majority of the necessary control logic should be built into the DCC. The rationale behind this view is as follows:
- The DCC is intended to provide access control, thus implementing control logic in the meter removes one of the original intentions of the DCC and places it in the SMS.
- In the event that a party disabled a particular meter the DCC would know the identity of the party concerned and so could reject contrary commands from other parties.
- Should any changes be required to the software/firmware associated with the disablement logic the DCC system is available. If the logic is incorporated within the smart metering estate then every meter has to be upgraded to effect any change.
- Different rules can be applied to different authorised parties. For example a Supplier could be restricted such that only one meter can be disabled during each transaction. A further limit could be set based on a common sense approach as to the maximum number of meters that could be disabled in any one day; this would serve to make the system more secure. DNOs however are likely to require the facility to disable multiple numbers of meters although again constraints in the form of a maximum number could be put in place to overcome the possibility of malicious attack. Placing the control logic in the meters cannot mitigate this risk, as any individual meter will not be aware that it is part of a wider attack.
EDF Energy does however have a concern related to multiple DNO disablement achieved either directly or by means a contractual arrangement. It has been stated that the functionality will be required at times of network stress such as severe weather conditions. This leads to the possibility of a scenario wherein a DNO/Supplier has disabled the supply to several hundred customers due perhaps to the loss of overhead lines brought down by high winds, snow etc. If following such disablement, the same severe weather causes the WAN to fail, this gives rise to the prospect that several hundred customers will be off supply with no immediate means of restoration and will occasion the need to make numerous emergency site visits. Hence EDF Energy would suggest that some logic will be required within the meter designed to automatically restore the supply after a configurable time period. In essence this would require that upon receipt of a disablement message from a DNO, the DCC would send a command that (a) disabled the meter and (b) set into operation a restoration timer. If after the configurable time period had elapsed the meter had not received further verification from the DCC that the disablement regime should remain in force then the meter should automatically restore the supply. The same logic could be utilised for load limiting purposes if initiated by a DNO. Clearly such logic would require description in SMETS 2. The restoration logic will not be required for supplier disablement operations as these will be more permanent in nature and in the event of WAN failure the number of sites requiring emergency site visits will be low. However, the meter will also need to know the nature of the disablement command in order that it can respond appropriately.
Q22. Do you agree that variant smart electricity meters should be specified in SMETS 2 and that the cost uplift for variant smart meters is similar to that for variant traditional meters? Please provide evidence of costs to support your views on cost uplifts.
EDF Energy is in general agreement with the Government’s stance to specify features of variant meters which relate to auxiliary switches, load control switches, boost buttons, multiple measuring elements and polyphase metering. In order to ensure interoperability it is very important that the data items related to such functionalities are defined in a universally agreed manner. This will provide for future Change of Supplier events in a manner that allows for an incoming supplier to continue using the existing variant functionality provided by a previous supplier.
With regard to costs, we see no reason why an additional function, (i.e. switch, element etc.) should be anymore expensive than the costs currently experienced by the Industry for current designs of non smart meters.
It is important to recognise that variants will only be developed for the smart meter market if one or more meter manufacturers believe there is a viable market for such products. It is therefore important that the Industry gives consideration to whether or not a particular variant functionality will be available and if necessary looks at other means of satisfying particular tariff requirements if unsupported by a variant.
EDF Energy believes that other variant forms will evolve over time to meet newly emerging market needs. It is clearly important that SMETS should be cognisant of this and be written in a manner that doesn’t stifle development.
EDF Energy believes that remote HAN-controlled contactors will be necessary to maximise the opportunity to deliver the energy savings included in the Impact Assessment, along with enabling Demand-Side Management / Demand-Side Reduction, the management of Electric Vehicle charging and other tariff-related services.
Q23. Do you agree that randomisation offset capability should be included for auxiliary load control switches and registers as described above? Do you have views on the proposed range of the randomisation offset (i.e. 0 – 1799 seconds)? Please provide evidence on the cost of introducing this functionality.
EDF Energy fully agrees with the proposal to incorporate a randomisation offset facility to be simultaneously applied to auxiliary load control switches and tariff registers as described. This accords with the current industry practice and is an essential means of avoiding mains network stress due to large synchronised changes in load caused by several hundred ends points (e.g. restricted heating schemes) simultaneously switching on or off.
The suggested half-hour delay (0 to 1799 seconds) will ensure that the start time will accord with the expected initial settlement period although it should be noted that where a significant time delay occurs the end of tariff/switch off time will fall outside of the expected settlement period. However, similar such deviations are already accepted in the current marketplace and so EDF Energy sees no reason why the practice should not be perpetuated.
With regard to costs the meter manufacturers have advised that it is existing functionality and so no adverse cost issues are expected.
It is felt that the example of switching customer programmed devices (i.e. tumble dryers) is a poor choice. Kent Fire Service amongst others has said that under no circumstances should tumble dryers be operated unattended. The thought that someone might be encouraged to set up their tumble dryer to come on when the cheap rate occurs at midnight (i.e. after they’ve retired to bed!) is of some concern.
Q24. **Do you support Option 1 or Option 2 for ‘pairing’ a CAD to the HAN? Please present the rationale for your choice and your views on the implications that these options have for the technical design of the solution.**
In assessing the most appropriate process for connecting a CAD to the HAN it is essential to establish the principles the Industry needs to support:
- The process for pairing the CAD to the HAN must be secure:
- The CAD must pair securely to the HAN and by definition must be able to send an acknowledgement to the HAN (as per lHD) and therefore must be a core device
- CAD is a core device communicating via the HAN
- HAN devices shall be mutually authenticated by digital certificates and/or pre-shared cryptographic keys (a STEG requirement)
- All devices requiring authentication must be captured and stored by the DCC to enable the DCC to issue digital certificates and/or cryptographic keys
- DCC will need to be pre-notified of the CAD’s unique device identifier
- DCC must issue security credentials / keys
- CAD process for connecting to the HAN must be consumer-friendly:
- The above steps must be transparent to the user other than completion of the pairing
Option 2 of the SMETS consultation paper / Option 1 of the EUK pairing options paper are the only option which provides for the above. We recommend the following steps:
1. The Consumer acquires CAD
2. The Consumer contacts party offering commercial energy services (SEC party)
3. Consumer completes bill payer verification process with party offering commercial energy services
4. Consumer provides CAD ID to party offering commercial energy services
5. Party offering commercial energy services pre-notifies DCC of CAD and sends request for pairing to DCC
6. DCC issues security credentials to communications hub
7. Communications hub pairs CAD using security credentials
8. Consumer can download their data using the CAD
We note two further points:
- The CAD DDS provided a process where the consumer provides CAD details directly to the DCC and is then paired by the SMS based on a request from the DCC. We understand this is now unacceptable to DECC, but believe that the simplest model and is therefore likely to be the most cost effective for the consumer.
- The DCC has been designed to provide a service to download the complete set of data by an Authorised Third Party (ATP) for provision of data / energy services to the customer (Service request 4.8 ReadProfileData). While the latency currently on offer for this service maybe unacceptable (24 hours noting many suppliers have requested a faster service), this should form the basis of the solution as originally modelled by the DECC BPDG. This should provide an alternative to the provision of a CAD, which may be perfectly acceptable to consumers.
Q25. If Option 2 were adopted, do you agree that obligations should be placed on energy suppliers to support this process by submitting ‘pairing requests’ to the DCC on request from their consumers?
EDF Energy disagrees with obligations being placed on the Supplier, and believes a commercial offering should be provided by a SEC registered commercial party (e.g. ESCO / CAD manufacturer).
To assess the party best placed to offer this service, it is important to understand the principles associated with the service first:
- Pairing service requests must be submitted by a SEC party
- Provision of energy services is a commercial offering as opposed to a regulated duty
- In the event there is significant take-up of this service, there will likely be significant costs associated with managing the process, not least in dealing with a significant increase in call centre activity, plus costs associated with transactional charges
- The service will support innovation and commercial service offerings
- Suppliers are highly likely to have differing business drivers in terms of the commercial propositions they will support as an Energy Service Company (ESCO)
Some suppliers are already planning to offer energy services which may not be limited to their own registered customer base.
It would be inappropriate to force the registered supplier to support commercial services possibly provided by their competitors.
Based on the above it would seem sensible for a commercial organisation registered as an ESCO (could be a CAD manufacturer) to operate and manage CAD pairing for consumers. This of course should not preclude a supplier who wishes to offer this service from doing so.
Q26. **Do you consider that other CAD installation options should be pursued? If yes, please explain the approach you favour and your reasons.**
As described above in response to question 24, EDF Energy believes the DCC could provide a suitable solution direct with the customer, noting this was the documented solution provided in the DECC CAD DDS.
We also consider that Service request 4.8 ReadProfileData provides a mechanism for ATP’s to provide consumers with their SMS data. However, we believe the current definition of the latency for this service (24 hours) may not be sufficient, and industry should look to provide based on an acceptable customer experience (we note DECC’s existing CERG and CAG groups can advise on an acceptable service level). This would provide an alternative to the CAD, which may be perfectly acceptable to consumers.
Q27. **Do you agree with the proposal to include in SMETS 2 a specification for a PPMID, connected via the HAN, as described above?**
EDF Energy agrees with the proposal to include in SMETS 2 a specification for a PPMID, connected via the HAN. We consider that the PPMID is an essential component of the smart metering system that is required to facilitate the operation of a smart meter in prepayment mode, for consumers with meters in hard to access positions. We believe this device will enable more consumers, including some in the ‘vulnerable’ group, to enjoy the benefits of prepayment where they may currently be unable to. Suppliers will be able to achieve some associated benefits through better debt collection opportunities and improved cash flow for this group of customers thus helping to achieve the Government’s Impact Assessment.
Inclusion in SMETS 2 would also provide standardised functions and ensure the interoperability of devices, essential if consumers take gas and electricity from different suppliers. It would also ensure that any devices inherited from previous suppliers could be supported without the need for replacement.
Furthermore, we also believe that:
- The PPMID must be a core device, paired securely to the HAN
• HAN devices shall be mutually authenticated by digital certificates and/or pre-shared cryptographic keys (A STEG requirement)
• All devices requiring authentication must be captured and stored by the DCC to enable the issuing of digital certificates and/or cryptographic keys
• The DCC will need to be pre-notified of the PPMID’s individual device identifier
• The PPMID should be matched uniquely to a meter to make it a component of a specific metering system. I.e. it would not be transferable to other premises. This is because the requirement for the PPMID is driven by the location of the meter at a specific premise. This unique matching would ensure that on change of Tenancy, a new customer would still have access to a PPMID and therefore retain the immediate option of prepayment mode. The device would therefore not need to be replaced
If the PPMID were to be excluded from SMETS 2 it would reduce both Supplier and consumer benefits and ultimately affect the Government’s Impact Assessment.
Q28. Would including the capability to enable gas and electricity supply through a PPMID connected via (a) a wireless HAN or (b) a wired HAN meet GB safety requirements? What impact would including this capability have on the cost of smart metering equipment? Please provide evidence to support your answers.
A key priority for EDF Energy is the health and safety of our employees, contractors and customers. One of our key ambitions is to be a zero harm company.
Although we believe that the PPMID is an essential component of the smart metering system, EDF Energy’s procurement processes will require assurances and positive test evidence that any device procured (or inherited from another Supplier) meets all necessary safety requirements and standards. Furthermore, EDF Energy would expect to perform our own safety impact assessment on the stated functionality and associated installation procedures.
We expect that device manufacturers will take the requirements of the Suppliers and the standards imposed by SMETS 2 to design, build and test an appropriate solution. To facilitate this, it is an essential prerequisite that the HAN is designed to be robust and secure and that any device connected to it is trusted. Any concerns about interference or cyber attack must be mitigated and be consistent with all security requirements.
The PPMID device is required to facilitate the operation of a smart meter in prepayment for consumers with meters in hard to access positions. It is not a mandatory device for either all prepayment customers or all customers with hard to access meters. We support the use of the device as it will enable more customers to enjoy the benefits of prepayment than are currently able.
EDF Energy would expect the device to cost more than a basic IHD but the additional cost of this device would compare favourably against the alternatives.
An assessment of these alternatives has been provided to DECC in a paper from the SMDG Prepayment Working Group on the 12th July 2011. We do not believe that these costs have changed significantly since then. A summary is provided below:
Q29. Do you agree with the proposal that the communications hub should be specified such that it can support multiple smart electricity meters? How many smart electricity meters should be supported by each communications hub?
EDF Energy agrees that the communication hub should be specified to support multiple smart electricity meters. However, there are a number of variables, some
known and some unknown, which would determine the volume required, or indeed that can be supported, such as:
- The capacity and capability of the CSP’s communication hub. EDF Energy believes that we should not be driven by their specification as the main driver, as to the number of supported devices their technology and protocols can accept, but should be driven by our requirements. Of course, if there is more than one CSP for GB then we do not want to end up with differing capacities across the country.
- The future number of smart electricity meters for microgeneration is an unknown. Typically today the norm is one or two per site, but we do have installations where four installations are present and previously we did supply a farm with nine differing types of generation. However, as time goes on there are a couple of variables that could impact the volume of these smart meters in the future, such as:
- Even for a single type of generation e.g. PV you could have multiple smart meters for scenarios where a consumer has invested originally in this technology and then expanded their number of panels later, but at a different FIT rate. In order to pay the consumer the correct amount for generation two smart electricity meters would have to be installed to record the generation of each installation.
- Some sites, mainly farms etc install a variety of generation types e.g. PV, wind etc which require separate generation meters for each generation type and again you could in the future have multiple smart meters for a single generation type as explained in (a) above.
- Although the capability to store and transmit readings from a microgeneration meter is included in DECC’s ‘A-H list’, it is known that the smart metering HAN infrastructure will be required to support other remote smart electricity meters and devices in the future, such as:
- Electric Vehicles (EV) – this is a growing area and is always on the agenda whenever smart grid discussion takes place. We also need to consider the support of repeaters within the EV installation to reach EV charging posts that are some distance from the meter.
- Heat meters – there are already District Heating Scheme installations that will require smart metering installations at some point, along with the potential growth of individual Heat Metering installations, such as residential or commercial scale heat pumps (e.g. for RHI payment purposes).
- Water – it is not inconceivable that the Water Industry, as they embark on the mass installation of water meters, will develop smart metering for the reading of these meters. It would be reasonable for them to piggy back on any existing infrastructure that provides connectivity into the home.
- When smart electricity meters are installed, for these potential uses, the existing smart metering infrastructure will need to determine whether they are trusted or untrusted devices. When trusted they can join the Smart Metering HAN, but if untrusted access should only be allowed through a trusted mechanism that takes into account data privacy and security. In the
consultation in talks about the objective of achieving ‘secure and consumer friendly’ connection. Of course, an untrusted device may over time become trusted and a remote pairing to achieve this would be preferable.
Q30. Do you agree that a specification for a HHT interface to the HAN should be defined? If yes, please identify the functions that this interface would need to support and the scenarios in which such functionality could be required.
Yes. EDF Energy believes a common interface specification between the HHT and the HAN/communications hub in SMETS2 is essential to ensure Suppliers Metering Agents / Installers do not have to procure and use different HHTs for devices manufactured and provided by different parties. Consumer switching will lead to suppliers needing to support every device variant from every manufacturer if a common interface is not defined. Field Force Resource Providers will be providing services to multiple suppliers and otherwise would need to carry an HHT for each supplier to whom they provide services.
Where a consumer is supplied by differing gas and electricity suppliers and one fuel has been installed, the HHT will need to interoperate with the other supplier’s communications hub to facilitate the install. Where a HHT is used to diagnose faults then clearly a common interface will ensure one type of HHT can be used for all sites/devices.
Failure to provide a common interface specification will lead to increased CAPEX and OPEX costs in terms of both the differing HHTs suppliers will have to procure and the delays caused during the installation in ensuring the correct HHT is used with differing user / interface designs during the commission. Indeed, Suppliers may be unable to use a single HHT where the consumer is using different gas and electricity suppliers. The consumer will ultimately bear these increased costs. It is essential the common interface should also ensure suppliers / meter installers do not have to procure different HAN / SMS commissioning / integration software from different meter manufacturers. Therefore, we believe a single common interface that all manufacturers have to support is essential.
The Industry has mapped out the installation process where it is expected that a complete SMS with up to 5 devices (GSM, ESM, enhanced IHD (for inaccessible meters) communicating via a communications hub and LAN (in a block of flats)) can be commissioned by one installation ‘ping’ within 2 minutes. Failure to realise this requirement will have a very significant impact on the DECC IA,
EDF Energy believes it is essential these standards are finalised as soon as possible, since Suppliers are currently in dialogue with Service Integrators, where a set of agreed standards are essential to agree the associated requirements and progress solution design in time for mass roll-out.
Functions the HHT interface will need to support:
The following table provides a list of the functions EDF Energy believe the HHT need to support, as an alternative to provision of the functionality through the SMS.
| Function | Scenario | Comments |
|-----------------------------------------------|---------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| MPxN entry | Installation / exchange | Without automated entry of MPxN via the HHT will require an extra 6 minutes per install for manual entry with an associated error rate of 10% which will require a further 16 minutes to correct noting no service to correct currently included in DCC User Gateway Catalogue. |
| Trigger installation commissioning message (ping) | Installation / exchange | It is essential a commission ping for up to 5 devices can be activated by one command by the installer either through the communications hub or HHT and complete with DCC providing keys/config. back within 2 minutes – failure to achieve this will have a significant impact on the IA due to extending the time taken on site to complete an installation. Detailed Component Processing Logic required as a matter of urgency detailing this process (does not currently exist). |
| Decommission | Exchange | BPDG process “03.02 Decommission Metering Equipment” process step “03.02.04 Initiate Decommissioning Message” references meter and HHT to send the message, as debated and agreed by the Industry in the BPDG. |
| Configuration entry | Smart ready installation / exchange | Where the WAN communications is available at the start of the install which subsequently fails at the end of the installation, the Installer will need to ensure correct credit tariff is loaded (particularly important where time switching tariff has been agreed with the customer e.g. E7) It is understood that where no WAN is available the meter should not be left in prepayment mode. |
| Authentication / appropriate security model | Smart ready installation / exchange | Where WAN communications was available at the start of the install which subsequently fails at the end of the installation, the Installer will need to ensure trust is established. The method for establishing trust is currently under debate within the Industry. |
| Update DCC | Smart ready | Where WAN coverage is not available, the |
| Q31. Do you agree with the proposed approach to the governance of security requirements? If you propose alternative arrangements please provide evidence to support your views. |
|---|
| Yes. EDF Energy believes that a technical sub-committee to the SEC Panel should be formed of technical experts from the: Energy Suppliers, National Grid, UK National Technical Authority (CESG), CPNI, Ofgem, Energy UK and DECC for such purposes. |
| Q32. Do you agree with the proposal to establish independent assurance procedures for DCC and DCC users? Please explain your views and provide evidence, including cost estimates where applicable, to support your position. Comments would also be welcome in relation to the impacts and benefits of the proposed approach with regard to small suppliers. |
|---|
| Yes. We believe it is essential for all licensed suppliers and any third party service providers with access to data from smart meters or smart meter functionality to |
have undertaken appropriate and consistent security risk assessments for any smart metering systems.
We do not agree with a role based approach but would expect all DCC users to achieve the same level of security. Protecting our customer’s personal and private information is one of our top priorities.
Q33. **Do you agree with the proposal that re-testing should occur at least at set intervals and more frequently when significant changes to systems or security requirements are introduced? Please explain your views.**
Yes. If there is a fully functioning Information Security Management System (ISMS) in place which is continuous, any re-certification or re-testing should be triggered by changes in the system, risk or elapsed time.
A DCC user should have to re-confirm conformance to a DCC code of connection annually. Included in this code of connection should be a requirement to operate an ISO27001 ISMS which is regularly audited by suitably qualified external assessors.
Q34. **Do you agree with the proposal to establish an independent security certification scheme for smart metering equipment? Do you have any views on the proposed approach to establishing a certification scheme or evidence of the costs or timelines for setting up such a scheme or submitting products for certification?**
Yes. It is appropriate to have an independent test regime. Any equipment (including all components within the relevant SMS) that is intended to be enrolled or adopted by the DCC should comply with and be subject to the same test regime criteria.
Q35. **Do you agree that sanctions for non-compliance with security requirements should be included in the SEC? Do you have views on the nature of the sanctions that might be imposed?**
EDF Energy agrees there should be measured and appropriate sanctions for non-compliance. However, there must be a clear distinction between this proposed regulatory protection and existing legislation such as the Data Protection Act (DPA).
We believe that the SEC provisions must not conflict with the DPA or replicate obligations already covered by the existing statutory framework.
The process should be sufficiently proportionate that it does not discourage self-disclosure. Any sanctions must reflect, as a minimum, the impacts on other participants, the severity of the non-compliance, the number of occasions, appropriate escalation routes and include an option for controlled expulsion.
Q36. Do you agree with the proposal to, in effect, extend the arrangements already proposed for SMETS installations prior to DCC operation, to all installations being operated outside DCC? Please provide evidence of the costs that might be incurred and the impact of this approach on small suppliers.
The implementation of an ISO 27001 framework for smart metering systems outside of the DCC during Foundation is a positive step towards gaining appropriate management of data. EDF Energy believes this arrangement should be extended into all SMETS installations operated outside of the DCC.
We believe the whole industry should work to a specified standard and DECC should ensure all parties are aligned by producing a:
- Standardised, ISO27001 scope
- Industry-wide risk appetite statement, to ensure consistent controls are applied
FIPS 140-2 encryption is required for the same reason to ensure future interoperability and enrolment into DCC, without the need to visit site, for those suppliers wishing to operate within the DCC.
EDF Energy believes that this is essential to ensure a consistent approach is adopted across the industry. Otherwise, when a customer changes supplier the security risks and controls of the existing smart meter installation may not be aligned and there will be a possibility of the meter installation not being acceptable to the incoming supplier. This would result in the current meter being replaced by the incoming supplier, and therefore the meter assets becoming stranded. Should security breaches or data privacy issues arise in this sector, through not adopting the same standards, it could have a detrimental impact on the mass roll-out of smart meters in the domestic market.
Q37. Do you agree that interoperability is central to the development of a successful smart metering solution and that activities related to the assurance of SMETS equipment should be governed by SEC? Please provide views on the governance arrangements that would be appropriate for assuring interoperability of smart metering equipment.
Yes. Interoperability is imperative. The complexity of the GB market, along with a supplier-led roll-out, increases the risk of non-interoperability which needs to be mitigated. GB has multiple energy suppliers who are likely to purchase SMS equipment from differing manufacturers. Suppliers who gain customers from other Suppliers will need to be able to support equipment they inherit in a simple and cost effective way.
In most other European and world wide energy markets metering is the responsibility of the Network Operator who covers set geographical areas. Such arrangements mean one agent purchasing metering equipment to a single
specification from a limited amount of manufacturers; hence interoperability can be achieved via the commercial supply chain processes. However, we are aware of international experience, which we have shared with DECC, where a simpler market model has struggled to achieve interoperability.
Although we agree that the SEC (and its appointed governance body) should have overall responsibility for ensuring that smart metering equipment is compliant with the SMETS and generally fit for purpose, we would emphasise that it is Government’s responsibility to ensure that the SMETS and CHTS are developed in a manner that facilitates interoperability. The SEC cannot be effective in administering the technical specification unless the specification is designed in an optimal manner. This is particularly the case given the proposed separation between the SMETS and the CHTS. We are mindful of the risk that the two specifications are developed without due regard to mutual compatibility and interoperability, and look to Government to provide comfort that this risk is being addressed.
The GB test and assurance regime requires central independent governance as there are multiple commercial parties expected to provide a critical national infrastructure service. Unless there is such a body responsible for ensuring a single set of rules and governance for security, manufacture, business process and arbitration, there is a significant risk to delivery.
In light of this, EDF Energy has provided presentation overviews to DECC and wider industry on how such an accreditation scheme should work. The following points provide a high level summary of EDF Energy’s views:
- The SEC panel should appoint a ‘competent body’ responsible for agreeing test criteria, appointing competent test houses and acting as arbiter between disputing parties. The appointed central governance body must also be capable of providing an ‘operational service delivery function’ on a day to day basis.
- Under this approach, the relevant party (e.g., a manufacturer or supplier) will register their intention to put new or existing component(s) through the ‘competent body’ specified testing regime. The relevant party will then be required to use the approved test houses and processes.
- Once testing is complete, the ‘relevant party’ will be required to present documented evidence to the ‘competent body for assessment.
- If the competent body deems this evidence to be complete and acceptable, they will inform the ‘relevant party’ that they can apply an approved label to the component(s). The competent body will also inform the DCC, who will add the component(s) to the DCC list of approved components.
The SEC panel is the natural party to provide or appoint such a governance body, since the code is the principle instrument governing conduct of all parties that are affected by the roll-out of smart meters, including the DCC. As such, the panel is likely to be the only body with a sufficiently broad remit to implement the testing
regime, while also ensuring appropriate representation from key industry participants.
As a minimum, we believe the competent body should be responsible for:
- Defining test criteria
- Defining accreditation governance
- Acting as the central point for approving and contracting individual commercial test houses.
- Providing a dispute resolution mechanism for all parties manufacturing, testing and supplying equipment expected to communicate with the DCC via the SMHAN
- Ensuring that only equipment that has been tested and accredited via the central regime can be registered on the DCC
- Providing an ongoing change control mechanism to ensure that no parties can make a change to approved versions of SMS component ‘Hardware, Software or Firmware’ that may place a risk on the security of the DCC and its ability to provide contracted services. In addition this control is required to ensure other parties that may have to interact with the equipment (Networks, ESCOs etc.) in the future are able to do so.
The regime and relevant processes mentioned will aid confidence in areas such as:
- Finance – Assurance around interoperability and other aspects of accreditation will reduce the risk of asset stranding which will give more assurance around financing. Without such assurance, MAPs may refuse to invest or incorporate higher risk premia into their rental prices, leading to higher asset costs for Suppliers and customers.
- Technical certainty – Manufacturers will be able to design and build equipment with confidence that they have a central body to refer to for any technical ambiguities that remain following the publication of the SMETS.
- Cost minimisation – Consumers will have a higher degree of confidence that their cost exposure to interoperability failures will be minimised.
- Customer convenience – An adequate test regime will reduce the risk of equipment failure, which would require additional visits and is therefore likely to lead to customer dissatisfaction.
- Supplier costs – Suppliers and appointed agents such as Mops will have confidence that the SMS they plan to use is fit for purpose.
- DCC costs – Adequate testing procedures will reduce the likelihood of technical issues associated with registering SMSs with the DCC. Moreover, we consider that an adequate test regime is essential in order to ensure that DCC is provided with a fully specified list of acceptable devices.
Q38. Do you agree with the creation of an ‘approved products’ list and the requirement on suppliers and CSPs to obtain, retain and provide evidence of appropriate certification should apply regardless of whether they intend to enrol the equipment in DCC?
An approved SMS products list is imperative and should be available to the DCC. The source of approved items that can be included in the list should come via the central test regime and be published in the public domain. This is similar to the successful working model followed when purchasing current MID compliant ‘dumb’ meters.
If individual Suppliers or CSPs decide to purchase and use equipment that they do not intend to register on the DCC, it is assumed that such items have not been certified by the industry test regime. In such circumstances said parties should keep and be able to provide evidence of the ‘self determined’ due diligence measures they have taken.
With the additional security, remote communications and radio emissions brings a new dimension to current in home metering technologies. As we have noted in other roll-outs consumers rightly need confidence that equipment installed is safe as well as fit for purpose, regardless of origin.
When a party attempts to pre-register equipment the DCC should automatically check each SMS component is within the approved list. If a component is not pre-registered the DCC should automatically reject the registration. In addition the DCC should also technically be able to remotely audit installations to confirm at any point in time what identified Smart components are installed on a SSMHAN at any given customer premise. This approach would provide an accurate source of reference for assets installed in a customer property rather than out of date, unsynchronised sources of information.
Suppliers, CSPs and other relevant parties should ensure and keep their own records that equipment purchased does have the appropriate certification at the point of purchase.
Paragraph 192 of the consultation states ‘The Government considers that an approach is needed which supports a comparable level of security for smart metering systems, whether they are serviced by the DCC or are operated by a supplier (or agent) outside DCC’.
For domestic sites operating outside of the DCC after DCC go-live, the installing supplier should be responsible for meeting enduring DCC security requirements. Should the customer change supplier, the new supplier should not be held responsible unless they intend to continue to operate the SMS in ‘smart’ mode.
One of the issues with this own risk approach is that customers may have switched supplier several times before the current supplier attempts to register the SMS on the DCC. In such circumstances the ‘Meter Asset Provider needs to be able to
trace back to the original installing supplier to recover potential remaining asset life costs.
For non-domestic opt-out sites, it makes sense for procured SMS components purchased after the DCC go live to follow the same certification requirements as those for domestic arrangements. This would provide the same clear framework to meet the security requirements. In addition this would reduce the potential for stranded assets if opt-in decision is made in the future.
Q39. Do you agree that protocol certification (against a GB Companion Specification) should provide adequate assurance that a product will meet interoperability requirements? Please explain your views and identify any additional assurance testing that you consider to be necessary and the rationale for including such testing.
EDF Energy needs clarity as to what the Companion Specification will actually contain as well how it will be produced?
We agree that there is the need for a GB Companion Specification, however, it requires much more than ‘basic protocol checks’ that consists of ‘data item fed in generates expected data item out’ testing. The ZigBee alliance and presumably DLMIS user associations carry out protocol testing. How would a joint cross set of test requirements be met by different organisations? The original Interoperability technical working group or ‘IOTWG’ reviewed current testing carried out to certify to ZigBee standards for items such as broadband routers. The group concluded that there are additional requirements specified in the IOTWG final document published by DECC. For example, IOTWG agreed the need for bespoke Golden test units produced by the test house/s rather than a ‘plug fest’ or declare one manufactures component as the golden unit approach.
GB needs to have a companion specification that ensures:
- Logical interfaces i.e. what route one device uses to pass a message to others
- Functional specifications i.e. what makes the machines work (will include: metrology, PAYG, types of tariffs, parameterisation, etc) – this has to be done for each device (gas, electric meter, communications hub, IHD 1, IHD 2 etc.
- Functional outcome verification test requirements i.e. test the expected outcome of the communication e.g. did the gas valve actually close?
- Tighter security specifications e.g. FIPS 140-2 modules including physical penetration rules (general and if required, a specific part for each device). Any ISO27001 implications. Specific mapping links to security source document in relevant sections of the companion specification.
- Variants defined in an interoperable way e.g. Twin element meters
- Specific GB Non functional (or material) requirements: Form design e.g. size and position of communications hub, voltage levels, breaker/valve requirement and any GB specific safety requirements. If not within the companion specification itself the companion specification should reference the relevant industry source documentation to refer to.
• HHT requirements – Interoperability, Interfaces, Security
• CAD requirements – Security, Logical and Physical Interfaces
• Gas mirror data rules and abilities around changing a communications hub etc. (Note from industry meetings it is assumed this to be included in Communications Hub Technical Specification ‘CHTS).
The GB market is complex and requires SMS equipment that has a high level of consumer interaction as well as multiple parties that will be expected to support and operate in a dynamic environment. We must wherever possible remove the chance of differing interpretations that may affect said abilities to serve.
In addition to an independent assurance regime that accounts for assurance of the companion specification requirements there obviously needs to be continued MID certification requirements and a need to confirm that Smart functionality does not impact MID
Chapter 6 - Operational licence conditions
Q40. Do you agree with the Government’s proposals to require energy suppliers to operate specific aspects of smart metering equipment functionality for domestic consumers? Please provide rationale to support your position.
EDF Energy supports the objective that all domestic customers should be able to benefit from smart meters by the end of the roll-out period, but raise the following points:
• We believe it is inappropriate to force suppliers to operate ‘in smart mode’ SMSs deployed by other suppliers, which cannot be enrolled into the DCC. If SMSs are not fit for the DCC, we do not believe that it is reasonable to force suppliers to operate such meters in smart mode through other systems. This would have several adverse consequences, including:
o Creating obligations that mandate the use of the DCC but also mandate the use of systems other than the DCC, compromising the business case of the DCC and increasing complexity of arrangements
o Perpetuating difficulties on Change of Supplier
o Limiting opportunities to simplify electricity and gas arrangements
o Create customer confusion
o Forcing the use of other suppliers’ SMSOs, with implications on competition and security assurance
• There are a number of fundamental challenges to completing roll-out by December 2019. Not least the availability of assets and visibility of an end-to-end solution that enables all suppliers and other participants to build systems in confidence.
The government position, as stated after paragraph 229 refers to suppliers being obliged to “take all reasonable steps to establish & maintain a WAN connection…”, but fails to note the DCC’s responsibility to provide a service that ensures connectivity.
Q41. What are your views on the Government’s proposals to require energy suppliers to operate specific aspects of smart meter equipment functionality for micro-business, but not other non-domestic, customers?
EDF Energy’s view is that it is very difficult, as per the definition of a relevant person below, to identify a micro-business.
Ofgem’s Standard Licence Condition 7A.1 states:
‘the licensee must either take all reasonable steps to identify whether that Non-Domestic Customer is a Micro Business Consumer, or deem that Non-Domestic Customer to be a Micro Business Consumer.’
As a result, our non domestic (PC 3-4) customers are typically treated as a micro-business customer, unless it is a site that is linked to a major customer with multiple sites.
However, EDF Energy is likely to install the same type of smart metering equipment, including the CHTS communication hub, in our non-domestic (micro-business) sites, as our domestic sites. Hence, the same capability will be available to allow the customer to have local access to their data and consumption history through the HAN. This would support the use of a CAD or an IHD.
This proposal may have an impact on DECC’s Impact Assessments (IAs), as currently the Domestic and Non-Domestic IAs are independent and what effect will this have on them to treat micro businesses the same as domestic?
Q42. Do you agree that the licence conditions as drafted effectively underpin the Government’s policy intentions for consumer operational requirements?
EDF Energy is concerned with the proposed licence condition paragraph 8b as we believe that it is not DECC’s policy intention to force one supplier to use another supplier’s SMSO for the reasons given in response to question 40. The alternative would be that the supplier should enrol the SMS into DCC by this time or be able to strand the SMS at no commercial risk to itself.
Paragraph 3a requires clarification as the term “licensee’s Head End System” is confusing. The “licensee’s Head end System” could be interpreted to mean a Supplier’s communications system before the DCC is in place. The term Head End System is defined in SMETS as a “centralised means by which an Authorised party can access Gas Smart Metering Systems and/or Electricity Smart Metering Systems (as the case may be)...”. Therefore, it is unclear whether this refers to SMSs that are operated through suppliers’ own systems or those operated through the DCC.
In paragraphs 2, 3 & 4, the technical limitations should be reflected as individual customers may wish to use Consumer Devices outside of the range of the communications hub and may therefore question whether all reasonable steps have been taken.
There should be an exclusion within the “Commencement of Operational Requirement” such that the condition only applies once the Effective Switching threshold (25,000 SMSs' per licence type) is exceeded*. This will avoid the risk of potential non-compliances if small volume trials installations suffer operational issues during the ‘learning phase’.
* - for suppliers who do not meet the ‘larger supplier threshold’ of 250,000 customers per licence type, a smaller threshold should be determined that reflects:
- the number of customers of each supplier
- the need for the supplier to benefit from a ‘learning phase’ without undue risk
- that risk to the success of the programme exists if multiple smaller suppliers on aggregate deploy large volumes of SMSs that cause operational problems.
Q43. What are your views on the Government’s proposals for obligations to be included in the SEC for information to be made available to Network Operators and ESCOs via the DCC?
This consultation question appears to miss part of the Government’s position set out after paragraph 229 – that the obligation should apply to domestic SMSs that have not been enrolled into the DCC by end of 2019. Dealing with these issues separately:
Configuring SMSs to enable the DCC to offer services to other SEC parties:
EDF Energy believes that all parties should pay for the services to the extent that they benefit from those services. Therefore, additional costs should be borne by those users, including both the cost of the assets and the operational costs.
If DNOs require functionality that increases the cost of the assets, a cost benefit analysis should be performed to ensure that the extra cost is justified and that it is the most cost-efficient solution. The benefits relating to this cost should then be accounted for within the next distribution price review (at the moment ED1 or GD1).
The additional operational cost (for example the cost of the DCC and Service Provider developing additional services and transactional communications costs) should be borne by that class of user or specific user. Such services should not compromise delivery of the DCC or provision of its core services.
Configuring SMSs to enable the DCC to offer services for SMSs not enrolled in the DCC by the end of 2019.
There are two main points:
- It is contradictory to assume that the DCC can offer services for SMSs not enrolled into the DCC.
- That other SEC parties cannot receive services for SMSs that cannot be enrolled into the DCC provides evidence that these SMSs should be replaced by the end of the roll-out period. The cost in this instance should lie with the supplier who deployed the SMS so as to avoid the transfer of commercial risk between suppliers.
Q44. Do you agree with the Government’s proposals for the timing of the introduction of operational requirements? Please explain your reasoning.
EDF Energy agrees that all customers should be able to enjoy the benefits of smart metering by the end of the roll-out period.
We also agree that obligations should be placed on suppliers who deploy SMSs outside of the DCC. Such obligations cannot be reasonably placed on suppliers who gain the customers on Change of Supplier as this would have implications for competition (potentially forcing the use of specific systems) and compliance with security obligations (mandating the use of systems over which a supplier can have little control or oversight).
However, we believe the following points should be considered before any such licence conditions can reasonably be placed on suppliers:
- DECC should assess the risk of delays to programme delivery (such as asset specification and availability, DCC availability) that could either delay the start of mass roll-out or place constraints that inhibit the efficiency of roll-out. Such assessment should include reconsidering the proposed end date for the roll-out. Delays or constraints will increase the cost of the roll-out and reducing the duration of the roll-out period (which is already shorter than the optimum period) will erode value in the Impact Assessment.
- Technical solutions (e.g. SMS assets and HAN / WAN) must exist that enable suppliers to comply with the obligations at reasonable cost;
- The obligations should apply once a supplier has exceeded the threshold for Effective Switching (or a smaller, but reasonable threshold for suppliers that would not fall into the Effective Switching requirements);
- For the reasons given above, the obligations should not apply to gaining suppliers on Change of Supplier at the end of 2019 if the SMS cannot be enrolled into the DCC.
Chapter 7 – Next Steps
Q45. Do you agree with the proposed changes to the smart metering regulatory framework to reflect the CSP-led model for communications hub responsibilities? Are any other changes necessary?
EDF Energy agrees with the proposed changes to the smart metering regulatory framework to reflect the CSP-led model for communications hub responsibilities. We believe that the best way to implement these changes is through changes to a number of regulatory documents;
The DCC Licence – The DCC will be required under Licence to provide a Communications Hub compliant with the Communications Hub Technical Specification (CHTS). We would expect this requirement to be backed off in the Communications Service Provider (CSP) contracts. Additionally we feel that the DCC licence should also be amended to also oblige the DCC (via its CSP contracts) to install and maintain the communications hub.
Supply Licence Conditions – Assuming DECC decide to retain their position on Supplier responsibility for installation and maintenance of the communications hub, an obligation for Suppliers to install and maintain the relevant Communications Hub procured and provided by the relevant geographical CSP. Our detailed comments on the provision, installation and maintenance of the CHTS are found in our response Question 14.
SMETS – The corresponding requirements in SMETS 1 for Suppliers to provide the communications hub would need to be removed for SMETS 2.
Q46. Do you agree that the equipment development and availability timelines are realistic? Please give evidence.
We believe the proposed timescales for development are very challenging and are concerned that there are many factors that have not been fully considered that challenge the prospect of a timely completion.
It is also clear that without an end-to-end design baseline and without thorough testing of the entire system (including all SMETS; interfaces, functional and non-functional capabilities, operational performance and failure modes), significant risks exist which could lead to wholesale equipment replacement and loss of confidence in the programme.
There are now considerable concerns emerging about the lack of agreed security standards. If as suggested these will not be available until late in 2013 then there is a risk that product development cycles might be disturbed in order to accommodate newly emerging but previously unknown requirements. It is also apparent that the establishment of the Security Assurance Regime due to start in October 2012 does not appear to be ready to commence its operation. Further to this there are concerns about emerging changes to the security requirements,
which need to be cemented before the design and establishment of the Security Assurance Regime can commence.
There is also concern that great reliance has been placed upon all manufacturers making assumptions on the outcome of the various EU notifications (SMETS 2, Companion Specification, Equipment and Security Specification and CHTS.). Clearly manufacturers must do this in order to maintain their competitive position but should any unexpected outcome(s) emerge from one or more of the notifications then availability of compliant equipment could be considerably delayed. Should there be a delay to the availability of compliant smart metering equipment then this will inevitably delay the commencement of CHTS communication hub testing, which in itself will delay commencement of DCC operations and mass roll-out.
With regard to paragraph 237 it is difficult to see that the development of a HHT is straightforward. Of late there have been numerous debates principally around functionality and most notably security. Clearly the Industry needs to agree as to exactly what will comprise a common and secure base functionality for a HHT.
With regard to testing and trialling, EDF Energy has concerns about the availability of sufficient laboratory resource. There are around six potential meter manufacturers who are likely to each produce three different products (E Meter, G Meter and IHD) leading to a requirement for at least 18 test slots. Each of these products will have to be tested against an Industry agreed set of golden units. If sufficient test resource is not available then there is a possibility of insufficient product availability. In such a situation it would be unwise to commence roll-out since manufacturers who were ahead in terms of product availability would be able to charge a premium price. Furthermore, only suppliers who were able to acquire products would be in a position to commence, others would have to await the market gaining momentum following the accreditation of more products. EDF Energy suggests that DECC should take the necessary steps now to identify and acquire sufficient available resources for future testing. Ideally there should be one overall test programme that should include all aspects relating to compliance, i.e. Security, SMETS 2, Companion Specification, current regulatory requirements and any relevant aspects of CHTS.
The development plan presented at this juncture by DECC is unclear. Over the last 18 months there have been numerous changes in terms of policy and requirement. To a great extent this has been accepted and recognised by EDF Energy as arising from the myriad complexities associated with this massive project. However, it is now necessary for DECC in consultation with the Industry to develop and publish a fully baselined roadmap.
Q47. Do you agree that SMETS 2 should only be designated when the Government has confidence that equipment to satisfy the new requirements is available at scale? Should a further period of notice be applied to ensure suppliers can manage their transition from SMETS 1 to SMETS 2 meters?
EDF Energy is of the opinion that the Government should only designate SMETS2 equipment once there is confidence throughout the industry that suitable equipment is generally available at scale. In this respect it is important to define "available at scale". EDF Energy defines this as when:
- Several different manufacturers have equipment available
- All items of SME are available from the market to any Supplier within reasonably short lead times
- Testing and certification has confirmed that there is a general level of interoperability such that meter procurers can purchase SME products from different sources and have the necessary level of confidence that such items are fully compatible with one and other.
- That the design of the communication hubs are stable and have been proven to interoperate satisfactorily with all SME that has been deemed to be SMETS 2 compliant.
- Ideally the DCC should be available but in any event CHTS compliant communication hubs must be generally available for installation. Furthermore, there should be sufficient confidence within the market to the extent that Suppliers can confidently install SME.
- While it would appear reasonable for a transition period to be available there should be a volume cap on the number of SMETS 1 meters that can be installed by any particular Supplier after SMETS2 has been designated. This is necessary in order to prevent Suppliers unnecessarily hoarding SMETS 1 equipment to in order to delay their obligation to comply with SMETS 2 requirements. Failure to apply such a ruling will lead to increased numbers of non interoperable smart meter systems.
Q48. What are your views on when responsibility for the SMETS modifications process should transfer from the Government to the SEC?
EDF Energy believes that the responsibility for the SMETS modifications process should transfer from the Government to the SEC as soon as a version of SMETS 2 is designated by the Secretary of State, contracts are in place with the DSP and CSPs and the governance framework of the SEC is in place and active. Primarily, we see no reason how the governance and modification process for SMETS could transfer any sooner.
EDF Energy believes that a SEC modifications governance framework should be developed that provides the full delegation of modifications to a Change Board, with the Panel providing an ‘executive committee’ function. This would allow:
- The Panel to act as an executive committee function, focussing on operation and finances of the code;
- The Change Board to have fully delegated responsibility for overseeing the modification process. This would include ensuring modification proposals are rigorously assessed against the code objectives and the commissioning of a full, unbiased modification report to assist the Authority in making its decision. We would expect Change Board members to be free to represent the interests of individual parties or party category, and;
- The creation of specialist sub-committees to deal with the development and assessment of modifications relating to security / assurance / technical standards such as SMETS.
We would expect that changes to SMETS will be required throughout the duration of the Smart Metering Implementation Programme to ensure that the specification provides technical-interoperability, interchangeability and facilitate an optimum roll-out until such times that the technology is stable and fully developed. However, DECC must ensure that the SMETS 2 specifications are detailed enough in the first instance to ensure that manufacturers and Suppliers have confidence in what they are building or procuring. This will minimise the risk of asset stranding and ultimately lessen the impact on the impact assessment.
Q49. Which of the options (standing sub-committee or non-standing sub-committee) would you prefer in relation to modifications to the SMETS?
The roll-out of smart metering is a large and complex industry programme. The development and subsequent governance of SMETS forms an integral part of the smart metering arrangements. Given the size and complexity of the programme it is possible that the arrangements will need to reviewed and modified during the early years of implementation to cater for experience gained and to address any unexpected shortfalls in security etc. Given this, we believe it would be appropriate at the outset to establish a standing committee composed of suitably experienced representatives with a view to addressing any such risks in an efficient and robust manner.
As stated in our response to Question 48, we believe that a SEC modification governance framework should be developed that provides for a Change Board to be provided with full delegated responsibility for overseeing the modification process, with the Panel providing an ‘executive committee’ function. Within this framework, the Change Board should be empowered to appoint both standing and non-standing technical or expert committees for specific areas of the SEC modifications process. These committees should report directly to the Change Board.
Q50. Are there any particular areas of expertise that the sub-committee will need to fulfil its role, in terms of membership composition?
EDF Energy believes that the governance of SMETS will require expertise from a number of different parties and industries due to the very technical nature of the subject.
We would expect the sub-committee to be made up of experts from;
- Metering device manufacturers
- Communications device manufactures
- Communications service providers
- Software designers
- Asset Providers and Installers
- Suppliers
- Networks
- Security
- Testing and Trialling
- Assurance and Accreditation
- DCC
EDF Energy
October 2012
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The Genie and the Bottle: Collateral Sources under the September 11th Victim Compensation Fund
Kenneth S. Abraham
Kyle D. Logue
Follow this and additional works at: https://via.library.depaul.edu/law-review
Recommended Citation
Kenneth S. Abraham & Kyle D. Logue, The Genie and the Bottle: Collateral Sources under the September 11th Victim Compensation Fund, 53 DePaul L. Rev. 591 (2013)
Available at: https://via.library.depaul.edu/law-review/vol53/iss2/14
This Article is brought to you for free and open access by the College of Law at Digital Commons@DePaul. It has been accepted for inclusion in DePaul Law Review by an authorized editor of Digital Commons@DePaul. For more information, please contact email@example.com.
THE GENIE AND THE BOTTLE: COLLATERAL SOURCES UNDER THE SEPTEMBER 11TH VICTIM COMPENSATION FUND
Kenneth S. Abraham*
Kyle D. Logue**
INTRODUCTION
The September 11th Victim Compensation Fund of 2001 (the Fund) was part of legislation enacted just eleven days after the terrorist attacks of September 11th in the wake of extraordinary national loss.\(^1\) It is possible, therefore, that the Fund will always be considered an urgent and unique response to the unprecedented events of September 11th. On that view, the character of the Fund will have little long-term policy significance. It is equally possible, however, that the enactment of the Fund will prove to be a seminal moment in the history of tort and compensation law. The Fund adopts a new model for compensating loss of life. This model will inevitably be invoked as a standard against which other approaches may be measured, and it may well be employed again in the event that we experience another major terrorist attack on American soil. Thus, with respect to this new model of compensation, there is a sense in which the genie may be out of the bottle: What the Fund did will have to be considered whenever new approaches to compensating personal injury and illness are contemplated.
This prediction raises an obvious initial question: What about the Fund’s approach to compensating losses is new? The answer depends on what the Fund is compared to. But regardless of the yardstick, the Fund breaks new ground. In one sense the Fund is unusually generous. For example, the Fund can be viewed as an innovative alternative to tort liability, analogous to workers’ compensation or auto no-fault insurance, that pays more generous benefits than these systems but (of course) to a more narrowly defined set of beneficiaries. Simi-
* Robert E. Scott Distinguished Professor of Law and Class of 1966 Research Professor, University of Virginia School of Law.
** Professor of Law, University of Michigan School of Law.
1. The Victims Compensation Fund was enacted as part of the U.S. Air Transportation and Safety and System Stabilization Act, Pub. L. 107-42, 115 Stat. 230 (2001) (codified at 49 U.S.C.A § 40101 (West 2003)) [hereinafter Air Transportation Safety and System Stabilization Act].
larly, the Fund can be seen as a new type of government-provided life insurance, along the lines of social security survivorship benefits, but again with more generous benefits and fewer beneficiaries. Under either view, for those who happen to be beneficiaries of the Fund, from one standpoint they are treated extraordinarily generously. Indeed, for those who qualify for an award, the Fund comes closer to providing a full compensation measure of recovery than any non-tort compensation regime ever adopted in this country.
From another standpoint, however, the Fund is not only not generous, but stingy in a way that defies all precedent. Although the benefits paid by the Fund exceed those available under existing non-tort compensation regimes, these benefits cannot compare to what one can obtain in a tort recovery, given the possibility of large noneconomic and punitive awards in some tort cases. But tort is universally understood to be more generous in this respect than any of the vast array of available compensation alternatives. Therefore, a compensation alternative to tort, such as the Fund, cannot justifiably be accused of being parsimonious merely because it pays less than a successful tort claimant would receive.
But compared to other non-tort regimes, there is a sense in which the Fund is unusually stingy. The Fund contains a provision requiring that claimants’ benefits be reduced by the amount of any compensation for September 11th-related-losses that the claimant has received or is entitled to receive from collateral sources, including life insurance.\(^2\) Neither tort nor any significant non-tort source of compensation for lost life in this country requires a collateral offset for life insurance. Moreover, unlike most other types of insurance, which virtually always employ some type of “coordination” or “other insurance” clause to allocate an insured’s losses among various insurers in situations in which the insured has multiple sources of coverage, life insurance never requires such an allocation.\(^3\) Instead, life insurance is paid on top of all other benefits. For this reason, the interaction between the collateral offset provision of the Fund and the provisions of standard life insurance policies is unique. Instead of victims’ life insurance being paid to claimants on top of other benefits, the amount of life insurance received by claimants is deducted from the benefits paid to them by the Fund.
\(^2\) Air Transportation Safety and System Stabilization Act § 405(b)(6), 49 U.S.C.A. § 40101 (West 2003). For discussion of collateral sources, see Robert L. Rabin, *Indeterminate Harm in the Context of September 11*, 88 Va. L. Rev. 1831, 1839-40 (2002).
\(^3\) See Robert H. Jerry, II, *Understanding Insurance Law* 710, 737 (3d ed. 2002); Robert E. Keeton & Alan I. Widiss, *Insurance Law* 227 (1988).
Although the treatment of collateral sources both within and outside of tort is generally an obscure subject, that treatment can have significant implications for distributive justice, corrective justice, and deterrence. The offsetting of Fund payments by life insurance recoveries appears to reflect a special sensitivity to avoiding double—or at least over—compensation of losses created by September 11th. But as we will attempt to explain, the Fund’s treatment of collateral sources generally, and of life insurance in particular, strikes a balance among competing considerations that is far from simple.
The salience of the events of September 11th has resulted in an unprecedented amount of publicity about, and public attention to, the way in which victim recoveries are calculated under the Fund. Much, perhaps even most, of this publicity and attention have been focused on the treatment of collateral sources. Thus, a topic that until recently was obscure even for many tort scholars has become a matter of general public debate. In this Article we explore the issues that have arisen out of the Fund’s treatment of collateral sources and speculate about the significance of these issues for tort and compensation systems more generally. Our aim is not to resolve these issues, but to analyze them and identify their implications. In this sense this Article might be seen as a first step in the development of a broader theory of the proper treatment of collateral sources in any liability or compensation system.
II. Background on the Fund
A. The Forces in Play
The Victim Compensation Fund was enacted at an extraordinary moment in this country’s history. To understand how the Fund and its collateral offset provisions were intended to function, we must first understand the principal forces that lead to the enactment of the Fund and the U.S. Air Transportation and Safety and System Stabilization Act of which the Fund is one part. There appear to have been three major considerations that gave shape to this new type of compensation regime.
1. Full Compensation
In the immediate aftermath of September 11th there was an enormous outpouring of public sympathy for the victims of the attacks and their families. They were perceived as having made a sacrifice for their country, rather than merely being the victims of a disaster. This perception was manifested in a desire to see the victims’ families fully
compensated for the financial losses caused by the death of their loved ones, despite the potentially enormous cost of doing so. Evidence of this desire can be seen, among other things, in the unprecedented magnitude of the charitable response to September 11th.\textsuperscript{4} Not only did the terrorist attacks give rise to the largest wave of charitable giving in modern U.S. history, it also became quite clear that the donors were intent on having their gifts go to the victims of the September 11th attacks, even after organizations such as the Red Cross determined that those needs had already been met.\textsuperscript{5} This full compensation imperative was immediately influential in Congress. It is reflected in the rhetoric used by members of Congress during deliberations on the bill.\textsuperscript{6} And the Fund itself is responsive to this imperative. The Fund provides for the compensation of both economic and noneconomic losses and, as enacted, contains no limits on the total amount of compensation that can be provided for either type of loss.\textsuperscript{7}
The extent to which this full-compensation imperative was operative also can be appreciated by comparing the benefits available from the Fund with those paid by other nontort compensation schemes. In virtually every other scheme the goal seems to be to provide not full compensation but only minimal welfare. For example, the death benefit payable under a typical workers’ compensation system is a maxi-
\textsuperscript{4} The American Red Cross’s Liberty Disaster Relief Fund received roughly $1 billion in donations in the year following the attacks, approximately $800 million of which was expected to have been distributed by the end of 2002. Press Release, American Red Cross, American Red Cross Releases Sept. 11 Report (Sept. 5, 2002), \textit{available at} http://www.redcross.org/press/disaster/ds_pr/020905report.html (last visited Oct. 18, 2003).
\textsuperscript{5} In October 2001, the Red Cross stopped seeking donations for September 11th victims, saying that it had received more money than it could use. See David Barstow & Katharine Q. Seelye, \textit{A Nation Challenged: The Charities; Red Cross Halts Collections for Terror Victims}, N.Y. Times, Oct. 31, 2001, at B10; Corey Kilgannon, \textit{A Nation Challenged: Donations; Red Cross Offers to Refund Gifts for Sept. 11}, N.Y. Times, Nov. 12, 2001, at B11.
\textsuperscript{6} Representative James Turner (D-Tex.) made the following statement:
Mr. Speaker, I want to address these remarks to the families of the victims, those who were injured on September 11.
One of the best provisions of this bill is that this Congress has provided a method whereby all those injured, \textit{the victims of those who have died}, will have full recovery for their economic and noneconomic damages by the establishment of a special master. \textit{The Treasury of the United States has been opened by the Members of this Congress to ensure that every family will receive just recovery}. It is one of the best provisions of the bill, and I urge my colleagues to support it.
147 Cong. Rec. H5906 (daily ed. Sept. 21, 2001) (emphasis added).
\textsuperscript{7} The regulations promulgated by the Special Master pursuant to the Act do place a presumed limit on the amount of noneconomic damages that may be recovered from the Fund, based on the number of dependent survivors of a victim. See 67 Fed. Reg. 11,239 (Mar. 13, 2002) (limiting compensation to $250,000 plus $50,000 for any spouse and each dependent).
mum of roughly $20,000 per year; under the Federal Black Lung Act that benefit is a maximum of about $12,000 per year; family members of military personnel killed in the line of duty receive $250,000; and the maximum survivor benefit under the Social Security program is a relatively small fraction of the deceased workers' average lifetime earnings. In short, as compared to the death benefits available under workers' compensation and federal compensation programs, the benefits payable by the Fund are extraordinarily generous.
2. Tort Protection for the Airlines
With the airlines facing possible bankruptcy in the aftermath of September 11th, they needed both financial backing from the government and some degree of protection against tort liability for the alleged security failures that may have made the attacks possible. The Act gave them the former and the adoption of the Fund gave them the latter, though only indirectly. The indirect protection from tort liability came by virtue of the Fund's largely successful effort to provide a nonmandatory, but generally acceptable, alternative to seeking compensation through tort suits.
Although the benefits available under the Fund are generous compared to other non-tort compensation regimes, the amount of any
8. The majority of states determine death benefits as a percentage of the deceased worker's average weekly wage. Most states have a maximum payment per week and a maximum period during which survivors may collect. 5 ARTHUR LARSON & LEX K. LARSON, LARSON'S WORKERS' COMPENSATION LAW § 98.02 (2002). For example, New York pays 66 2/3% of the employee's wage up to a maximum of $400 per week during the term of widowhood and to children until the age of eighteen. Florida pays 50% of the employee's wages to a spouse only or 66 2/3% of the employee's wages to a spouse and children up to a maximum of $594 per week. Idaho pays 45% to a spouse only or 60% to a spouse and children up to a maximum of $315.60 per week for up to 500 weeks. For a complete listing of state worker's compensation death benefits for surviving spouses and children see id. at app. B-65.
9. The Black Lung Benefits Act, codified at 30 U.S.C. §§ 901-962 (2000), provides "benefits, in cooperation with the States, to coal miners who are totally disabled due to pneumoconiosis and to the surviving dependents of miners whose death was due to such disease." 30 U.S.C. § 901. Effective January 1, 2001, the basic monthly benefit for a totally disabled miner or his or her surviving spouse is $500.50. This may be increased to a maximum of $1001 per month for claimants with three or more dependents. Benefits are reduced by payments made for workers compensation. U.S. DEP'T OF LABOR, EMPLOYMENT LAW GUIDE: BLACK LUNG COMPENSATION (2000), available at http://www.dol.gov/asp/programs/guide/blklung.htm (last visited Oct. 18, 2003).
10. See 38 U.S.C. § 1967 (2000).
11. STAFF OF HOUSE COMM. ON WAYS & MEANS, 105TH CONG., 2D SESS., 1998 GREEN BOOK 15 (Comm. Print 1998). For deceased workers with "average" or lower levels of qualifying wages, the income replacement rate provided by Social Security survivor benefits can be over 50%, depending on how many dependents are left and how many years of Social Security wages the deceased had earned. For above-average wage earners, the replacement percentage is much lower. Id.
given claimant’s benefits are nonetheless likely to be smaller than what could be obtained in a successful tort suit, in which huge non-economic and punitive damages are at least potentially available. The difference, of course, is that recovery in tort is much less certain than obtaining benefits from the Fund. To secure a tort judgment, a plaintiff would need to identify and obtain jurisdiction over a defendant or defendants whose conduct, both factually and legally, satisfied the elements of a tort cause of action (duty, breach, causation, etc.). In contrast, the only serious question arising in a claim made by an eligible party against the Fund is the amount of economic damages suffered.\footnote{12} Hence, discounting potential tort recovery for the possibility that the plaintiff might recover nothing, the benefits payable by the Fund seem at least comparable to tort, and probably a better bet for the risk adverse claimant.
This degree of comparability was politically necessary for two reasons. First, any compensation system designed to be an alternative to tort is inevitably evaluated by reference to what is available in tort. Because the proposal was to make recovery from the Fund an alternative to tort at the option of the claimant, Congress could anticipate that the Fund’s benefit structure would necessarily be compared to tort damages. Consequently, Congress could not safely depart too radically from the tort benchmark. As so often happens, the nature of tort liability and the scope of the damages that are recoverable in tort tended to constrain what could be done in creating an alternative to tort.\footnote{13} Thus, Congress faced the challenge of fashioning a benefit structure that would be a departure from tort law’s measure of damages but nonetheless would be judged in the public mind by reference to what the claimant could have obtained in tort. Nevertheless, by making recovery from the Fund automatic for any eligible party, and thereby eliminating much of the uncertainty inherent in bringing a tort claim, Congress left itself room to provide something less than “full” tort damages in return for relieving claimants of the burden of proving third-party wrongdoing in order to secure recovery.
\footnote{12}{In some cases, however, this question may turn out to be very much in dispute. For example, Cantor Fitzgerald, which occupied floors 101 through 105 of the north tower of the World Trade Center, lost 658 of its roughly 1,000 employees who worked in the building. \textit{See Submission of Cantor Fitzgerald, L.P., eSpeed, Inc., and Tradespark L.P. to the Special Master of the September 11th Victim Compensation Fund of 2001 and to the Department of Justice} 5 (Sept. 12, 2002) \textit{available at} http://www.cantorusa.com/vcf/DOJSubmission.pdf (last visited Oct. 18, 2003). The firm’s brief argues that the Special Master’s proposed approach to the compensation of economic loss threatens to undercompensate the families of deceased employees.}
\footnote{13}{\textit{See} Walter Blum and Harry Kalvan, Jr., \textit{Ceilings, Costs and Compulsion in Auto Compensation Legislation}, 1973 \textit{Utah L. Rev.} 341, 343 (1973).}
Second, it was not only the reaction of the public at large with which Congress had to be concerned. The Fund also had to be attractive enough to the victims and their families that, at least prima facie, they would perceive it as providing an acceptable alternative to tort. Otherwise, potential claimants would have rejected the Fund alternative outright. Then the nation would have been faced with the prospect of an immediate cascade of lawsuits against American businesses—airlines, security companies, the World Trade Center designers, and others—seeking to hold them liable for the results of September 11th. In the aftermath of September 11th that would have appeared unseemly and unpatriotic. The nation was in the process of pulling together to fight terrorism; the sort of recriminations within the “family” that would have been produced by lawsuits were to be avoided, if at all possible. The particular members of the family most in need of protection would seem to have been the airlines. Recall that the Fund was part of the Air Transportation and Safety and System Stabilization Act (the Act), whose primary purpose, as its name suggests, was to shore up the airline industry, which was hit harder by the events of September 11th than any other single industry (perhaps including the insurance industry).\footnote{In addition to creating the Fund, the Act, among other things, authorized the transfer of $5 billion in cash and $10 billion in loans to the airline industry. Also, it limited the airlines’ tort damages from September 11th to the amount of their outstanding liability insurance coverage. See \textit{Air Transportation Safety and System Stabilization Act}, \textit{supra} note 1, §408. A subsequent Act of Congress extended this liability limitation to any “aircraft manufacturer, airport sponsor, or person with a property interest in the World Trade Center, on September 11, 2001, whether fee simple, leasehold or easement, direct or indirect, or their directors, officers, employees, or agents.” \textit{Aviation and Transportation Security Act}, Pub. L. 107-71, 115 Stat. 597, 646 (2001).} The Fund held out the hope that the airline industry and the country would avoid the spectacle of tort litigation over the scope of American entities’ responsibility for the attacks.
3. Avoiding Overcompensation
Another political factor that influenced the terms of the Fund was the desire to avoid overcompensation. There are two senses in which claimants could conceivably be overcompensated. First, the size of some individual awards might be seen as excessive. Because many of the victims earned sums in the top one-half to one percent of national income, if there was no ceiling on the amount that could be recovered from the Fund, or if the norm of full compensation were applied, the Fund would end up paying some truly extraordinary awards. This concern, however, appears not to have had much influence in the design of the Fund. In fact, no upper limit was imposed on the awards.
There was a suggestion that, in the implementation of the Fund, the Special Master might impose a “soft cap” on awards through a “presumed award” procedure.\textsuperscript{15} As was made clear in the final regulations, however, although there may be presumed awards, the Special Master does not intend to impose an absolute ceiling on awards, but plans instead to make awards based on the “individual circumstances of the claimant”—a plan that seems to imply an intention to ensure that there is full compensation.\textsuperscript{16}
The risk of a second type of overcompensation, however, seems to have been more of a concern. Some Fund beneficiaries would also be receiving large life insurance or pension payouts triggered by the death of their loved ones. In such cases, if no offsets were made for these collateral sources of compensation, the total amounts received by those families could actually exceed the families’ financial (though obviously not their nonfinancial) losses, or at least could involve very substantial sums. It is easy to imagine that lawmakers would have wanted to avoid the possibility that some families would become (or be perceived as becoming) wealthy as a result of the September 11th tragedy. This sort of concern is not unique to September 11th. Federal disaster relief generally, whether in the form of loans or outright grants, is available only for uninsured losses.\textsuperscript{17} The political reason for this limitation is clear: public support for disaster relief would wane quickly if there were stories in the media of victims actually profiting from a disastrous event. A desire to avoid this type of overcompensation almost certainly contributed to Congress’s decision to insert the collateral offset provisions in the Fund.
\textsuperscript{15} 67 Fed. Reg. 11,236-37 (Mar. 13, 2002). The presumed award is based on a formula that takes into account, among other things, the age and income of the victim. Under one of the two available claim “tracks,” an eligible claimant can seek a preliminary determination of her presumed award, which she can then either accept or reject, in favor of an individualized hearing. The notion of a soft cap arose from the fact that, according to the Special Master, the presumed-award calculations would be made under an assumption that none of the September 11th victims had incomes higher than the ninety-eighth percentile of national income (around $225,000). This assumption is of course counterfactual in more than a few cases, as a sizeable number of victims had incomes in the top .5 to 1% of national income.
\textsuperscript{16} “To be absolutely clear: The fact that the ‘presumed awards’ address incomes only up to the [ninety-eighth] percentile does \textit{not} indicate that awards from the Fund are ‘capped’ at that level.” \textit{Id.} at 11,237. If this is so, however, one wonders why the Special Master bothered with the “presumed award” approach in the first place. Perhaps the idea is to encourage the use of the presumed awards in order to minimize the administrative costs of individualized hearings. But that story would seem to support the soft cap characterization.
\textsuperscript{17} For example, the Federal Emergency Management Agency (FEMA) provides assistance for “uninsured or under-insured, necessary expenses and serious needs.” 44 C.F.R. § 206.110 (2002). Assistance to insured individuals and households is strictly limited. \textit{Id.} § 206.113.
In sum, these three political considerations—full compensation, an attractive alternative to tort, and avoiding overcompensation—helped to shape the Fund as it was enacted by Congress, and as it was implemented through the regulations promulgated by the Special Master. This is especially true of the collateral offset provisions, which we summarize in the next section, and then evaluate in the remainder of the Article.
B. The Fund’s Treatment of Collateral Offsets
Although the language in the Act that sets up the Fund is relatively terse on the issue of collateral offsets, its meaning is unmistakable. Congress clearly intended to reverse the traditional treatment of collateral sources, across the board. The Act provides that the Special Master awarding compensation “shall reduce the amount of compensation . . . by the amount of the collateral source compensation the claimant has received or is entitled to receive as a result of the terrorist-related aircraft crashes of September 11, 2001.”\(^{18}\) The term “collateral source” is then defined to mean “all collateral sources, including life insurance, pension funds, death benefit programs, and payments by Federal, State, or local governments related to the terrorist-related aircraft crashes of September 11, 2001.”\(^{19}\)
This was among the most controversial provisions in the Act, and even the objections generated objections. Some commentators have railed against the collateral offset provision on the ground that it would mean that some families of September 11th victims would receive little, or perhaps nothing, from the Fund.\(^{20}\) That result struck many as especially unfair, given that the collateral offsets would have the greatest effect on the families of those victims who happened to have planned ahead (or whose employer planned ahead) and purchased insurance, a group that included the families of the firefighters and police officers who died while attempting to rescue others. At the same time, however, some commentators have expressed serious concern over the problem of overcompensation (discussed above) and, explicitly or implicitly, offered arguments in favor of the collateral offset provisions.\(^{21}\)
---
18. See Air Transportation Safety and System Stabilization Act, supra note 1, § 405(b)(6).
19. Id. § 402(4).
20. See, e.g., David W. Chen, Worst-Hit Firm Faults Fairness of Sept. 11 Aid, N.Y. Times, Sept. 17, 2002, at A1; Jon S. Corzine, Letter to the Editor, Fix the Victim’s Fund, N.Y. Times, Jan. 28, 2002, at A14; Elissa Gootman, Seeing Families, Senator Calls for Changes in Sept. 11 Fund, N.Y. Times, Jan. 14, 2002, at B2.
21. See, e.g., Robert F. Worth, Families of Victims Rally for Higher Federal Awards, N.Y. Times, Jan. 18, 2002, at B4 (noting postings on the Victim Compensation Web site expressing
In his comments accompanying the final regulations implementing the Fund, the Special Master attempted to make clear that he was taking both of these competing concerns into account, though emphasizing that Congress had, in important respects, tied his hands by mandating collateral offsets.\textsuperscript{22} Thus, although Congress had listed several types of compensation that would have to be considered collateral sources—importantly, including life insurance proceeds—that list was not exclusive. As a result, the Special Master could be viewed as having some discretion in defining what would count as a collateral source and what would not, how to calculate the value of the benefits payable by the collateral source, and under what circumstances the availability of payment from a collateral source would be considered too speculative to be taken into account.
The final regulations accepted the Congressional mandate every bit as far as it expressly extended but exempted from the category of “collateral source” a variety of payments or potential payments about which reasonable people might disagree. Thus, for example, the Special Master defined the term collateral source \textit{not} to include amounts received as charitable contributions, a decision that seems consistent with the statute but certainly was not required by it.\textsuperscript{23} In addition, he excluded from the definition certain tax benefits, such as the income and estate tax breaks made available to September 11th victims under the Victims of Terrorism Tax Relief Act of 2001.\textsuperscript{24} Also, because the collateral benefits provided under the Social Security survivorship program as well as under some workers’ compensation programs are contingent on future events, such as a surviving spouse’s not remarrying, the Special Master decided to require an offset only for those ben-
\textsuperscript{22} See September 11th Victim Compensation Fund of 2001, 67 Fed. Reg. 11,233 (Mar. 13, 2002) (codified at 28 C.F.R. § 104 (2003)). The Special Master stated:
As I have repeatedly stated to the victims and their families, there are many aspects of the fund that are mandated by Congress and cannot be changed by me or by the Department. Indeed, many of the most controversial aspects of the Fund—such as the requirement that awards be offset by life insurance and other collateral source compensation—are specifically required by Congress.
\textit{Id.}
\textsuperscript{23} This decision may have been a response to the worry that firefighters and other rescue workers would otherwise receive too little compensation because the families of fallen rescue workers seem to have been the primary beneficiaries of charitable contributions. \textit{See} Stephanie Strom, \textit{Survivors of Firefighters Ask to Look into Union Charity}. N.Y. \textit{Times}, May 9, 2002, at B7.
\textsuperscript{24} Victims of Terrorism Tax Relief Act of 2001, Pub. L. No. 107-134, 115 Stat. 2427.
efits that have already been received by the claimant.\textsuperscript{25} In addition, he made a decision not to include any element of personal savings as a collateral source, whether it be in the form of a savings or self-funded pension account or in the form of accumulated surrender value within a cash value life insurance policy.\textsuperscript{26} The unstated rational here seems to be that, at least with respect to the particular form of government-provided life insurance represented by the September 11th Fund, individuals will not be expected to have self-insured.\textsuperscript{27}
This last exemption of various forms of savings and investment from the definition of collateral sources is of special significance, because the exemption highlights the difference between compensation based on loss and compensation based on need alone. As we will show below, as far as the Fund does go in attempting to base compensation on loss, it stops short of basing compensation on need alone. In doing so, it avoids both the practical and the philosophical problems that would be entailed in prescribing means-tested recoveries.
III. Evaluating the Fund’s Collateral Offset Provision
A. Coordination, Subrogation, and Collateral Sources
In order to evaluate the Fund’s collateral offset requirement, it is necessary to understand the two available approaches to handling collateral sources in tort cases generally. The traditional approach, adopted by a majority of states, is to reject collateral offsets (this approach we call \textit{collateral nonoffsets}); whereas a minority of states require \textit{collateral offsets} of tort awards to take into account various types of non-tort compensation, not including life insurance.\textsuperscript{28} The choice between these approaches is intertwined with the doctrine of subrogation and the function this doctrine performs in coordinating sources of coverage in both insurance and tort law.
1. Coordination of Insurance Coverage
The entire coordination issue derives from the fact that private insurance products and social insurance regimes have proliferated in the modern American economy. Insurance is now available to cover a
\textsuperscript{25} See September 11th Victim Compensation Fund of 2001, 67 Fed. Reg. 11,233, 11,241 (Mar. 12, 2002) (codified at 28 C.F.R. § 104 (2003)).
\textsuperscript{26} Id. at 11,234. He will also ensure that there are no offsets if those to whom life insurance or pensions are paid are not the parties receiving compensation from the Fund. \textit{Id.}
\textsuperscript{27} This may be another manifestation of the full-compensation norm discussed above, to which we will return later in the Article.
\textsuperscript{28} As mentioned in the introduction, the Fund takes this minority collateral offset approach and, in an unprecedented move, expands it to offset life insurance proceeds as well.
variety of risks to health, life, property, and income. As a consequence, there is an ever-increasing possibility of overlapping insurance coverage for any given loss. First, different types of policies may overlap. For example, the medical costs associated with a personal injury may be covered under portions of an individual's homeowner's policy, automobile policy, and employer-provided health insurance policy. Workers' compensation or Medicare may also figure into the equation.\textsuperscript{29} Second, multiple policies of the same type may provide overlapping coverage. For example, two spouses and their family members may both be covered by health insurance afforded as a fringe benefit by their respective employers. In a very real sense, the Fund, too, is a source of first-party insurance that overlaps with benefits paid to claimants by collateral sources.
Despite these overlaps, providing policyholders with insurance in excess of their losses would violate the principle of indemnity, which holds that insurance is designed to protect against loss, not to make gain possible. This is a principle that runs through all of insurance law.\textsuperscript{30} To prevent payment in amounts that would violate this principle, a patchwork system of insurance coordination that allocates coverage responsibility among potential insurers has evolved. Coverage is coordinated so as to specify which insurer or insurers pay, and in what proportions, when more than one policy provides coverage of a loss that does not exceed the sum of the coverage provided by all available policies.
The goal of a system of coordination need not merely be to ensure that the principle of indemnity is not violated; coordination can perform other functions as well. From the standpoint of loss prevention, for example, primary coverage responsibility should be assigned to the insurer with the greatest capacity to combat moral hazard on the part of the insured. Alternatively, if moral hazard is of comparatively little concern (or if no insurer has much capacity to combat it), the insurer best situated to bear primary coverage responsibility may be the one most able to minimize administrative costs or to distribute the risk in question most broadly, depending on the system's goals.
Our system of insurance coordination is implemented through a combination of market and legal mechanisms.\textsuperscript{31} The market mechanisms include insurance policy provisions expressly allocating insuring responsibility among insurers whose policies overlap. These provisions
\textsuperscript{29} See id. at 133-34.
\textsuperscript{30} Id. at 137; Jerry, supra note 3, at 295.
\textsuperscript{31} See Kenneth S. Abraham, Distributing Risk: Insurance, Legal Theory, and Public Policy 148 (1986).
are sometimes called “other-insurance” or “coordination of coverage” provisions.\textsuperscript{32} Versions of them can be found in virtually every type of insurance policy, except, interestingly, life insurance. Coordination clauses of this sort attempt to specify which insurer or which policy is to be primary (that is, which will cover the first dollars of insured losses) and which will be secondary (which will cover what is left over).
It is not uncommon, however, for such market mechanisms—contractual coordination provisions—to fail by themselves to produce efficient or desirable risk allocation among the insurers in question.\textsuperscript{33} This is because it takes two to coordinate, so to speak. For example, market forces, if left alone, can lead to a situation in which two insurance policies that purport to cover a given risk also contain “other-insurance” clauses that, if read literally, result in no coverage whatever. That is, each policy has a clause making the other policy the primary insurer.\textsuperscript{34} In such situations courts are called upon to harmonize conflicting coordination provisions, which sometimes means ignoring these provisions and specifying new rules of coordination. To avoid such conflicts altogether, regulatory authorities sometimes require insurers to insert standardized (and therefore consistent) coordination clauses in their policies.
Thus far we have discussed coordination as if the only form of insurance in play were first-party insurance—that is, insurance purchased by or for those who suffer loss themselves. A broader conception of coordination, however, would also comprehend third-party, or liability insurance, as a source of coverage for such loss. The typical successful tort claimant, after all, is likely to have received compensation for some of his or her losses from collateral sources, such as health and disability insurance, and yet, also to have a right of access to the tort defendant’s liability insurance after settlement or judgment. The rules governing how the collateral sources will be counted—whether they will be offset against a tort award or not—can be understood as the means by which first-party and third-party insurance is coordinated.
\textsuperscript{32} \textit{Id.} at 148-57.
\textsuperscript{33} \textit{Id.} at 157 (“Because market devices mainly make use of bilateral contracts to achieve coordination, their capacity to reflect the multilateral character of the insurance arrangements they create is limited.”).
\textsuperscript{34} \textit{See, e.g., Blue Cross & Blue Shield of Kan., Inc. v. Riverside Hosp.,} 703 P.2d 1384 (Kan. 1985) (holding that coordination of coverage provisions in two health insurance policies were in conflict).
2. Subrogation as Coordination
The doctrine of subrogation is central to the way in which first-party and third-party insurance have traditionally been coordinated and the way in which the principle of indemnity has traditionally been served. Subrogation is the process by which one party is substituted for another party relative to the latter's rights against a third party. Through subrogation, an insurer in effect "steps into the shoes" of the insured, succeeding to whatever legal claims that insured may have against third-parties responsible for the insured's loss.
The insurer in that case is said to be "subrogated to" the insured's rights to sue the third party. The authority for this transfer of rights is found either in an explicit subrogation clause in the insured's policy (which can be found in almost every first-party insurance policy, except life insurance) or in the judicially created doctrine of equitable subrogation, which in effect makes a subrogation clause an implied term in virtually every type of non-life first-party insurance.\(^{35}\)
The traditional collateral source rule, which rejects collateral offsets and permits the plaintiff in a tort suit to recover compensation from the defendant for losses that have been or will be paid by collateral sources of insurance, is actually a method of vindicating first-party insurers' subrogation rights. That approach, among other things, is what the Fund rejected. To see how the traditional approach to collateral sources works, consider a simple example. Suppose that Sarah is injured by Michael. Sarah's hospital and medical expenses may be paid by her first-party health insurer, such as BlueCross. If so, then, owing to either the subrogation language in Sarah's BlueCross policy or the state's equitable subrogation doctrine, BlueCross will become subrogated to Sarah's tort rights against Michael to the extent of its prior payment to Sarah.\(^{36}\) BlueCross typically will not, however, exercise this subrogation right directly in an action against Michael. Rather, subrogation will occur indirectly, through the insurer's exercise of a right to subrogation via reimbursement by Sarah out of her recovery from Michael.\(^{37}\)
Thus, subrogation acts as a coordination device. However, instead of allocating insurance responsibility among first-party insurers, as
\(^{35}\) See Kenneth S. Abraham, Insurance Law And Regulation 192-93 (3d ed. 2000).
\(^{36}\) Id.
\(^{37}\) This ideal, however, is not always realized in practice. For example, insurers may not monitor ongoing tort actions with sufficient care to vindicate their subrogation rights when actions settle or go to judgment; when cases settle, the amount of the insurer's right of reimbursement may be indeterminate. See Kenneth S. Abraham, The Forms and Functions of Tort Law 216-18 (2d ed. 2002).
other-insurance clauses do, subrogation (working together with the collateral source rule) allocates coverage responsibility between first-party insurers and tort defendants and their liability insurers. Through subrogation, the defendant or its liability insurer bears ultimate coverage responsibility for the plaintiff's loss. That is why, under the traditional nonoffset collateral source rule, if an injured person receives compensation from a source other than the tort defendant (such as a first-party insurer), in a subsequent tort suit against the defendant the jury is not allowed to hear evidence on, or in any way take into account, the amount of this collateral compensation.
That is also why the traditional collateral-nonoffset regime ideally has the effect of making the defendant or its liability insurance company the primary insurer of a plaintiff's medical expenses. However, when a defendant has no liability insurance or is judgment proof, the health insurer has no way to vindicate its subrogation rights and ends up bearing the cost of the policyholder/plaintiff's medical expenses as a kind of secondary insurer. In addition, many courts apply what is sometimes called a "make-whole" rule, under which an insurer cannot be subrogated to its insured's rights against a tortfeasor unless the insured has been made whole.\(^{38}\) Under this rule, subrogation rights are limited when the insured has recovered or settled for less than his or her full losses.
In contrast to the traditional nonoffset/subrogation approach, under a collateral offset rule of the sort adopted by statute in a number of states following the liability "crises" of the 1970's and 1980's—and like the approach adopted by the Fund—awards are in fact reduced by the amounts of first-party insurance proceeds already received or payable in the future.\(^{39}\) Under these statutes (as under the Fund), the plaintiff's total recovery from the defendant is offset by payments received or receivable from collateral sources. The collateral sources, in turn, typically have no subrogation rights to vindicate and are not reimbursed out of the plaintiff's recovery, which, after all, does not include the sums paid by collateral sources. Collateral sources such as health insurance (and in the case of the Fund, life insurance) thus become the primary course of compensation under a collateral offset regime. Under such a regime, if the medical expenses the plaintiff incurs exceed the limits of (or are not otherwise covered by) health insurance, or if the plaintiff incurs noneconomic losses, those losses are still cov-
\(^{38}\) See Jerry, supra note 3, at 711-14. See infra Part III.D.2. (further discussing the make-whole issue).
\(^{39}\) For discussion of these statutes, see Joseph Sanders & Craig Joyce, "Off to the Races:" The 1980s Tort Crisis and the Law Reform Process, 27 Hous. L. Rev. 207, 217-23 (1990).
ered by the plaintiff's "secondary" insurers—namely, the defendant and its liability insurer.
Thus, the collateral nonoffset and collateral offset approaches each coordinate coverage and thereby prevent overcompensation, but they do so differently. The former allocates primary coverage responsibility to tortfeasors and their liability insurers. The latter allocates primary coverage responsibility to first-party insurers. The choice between the two approaches depends on which type of insurance one regards as more efficient or otherwise appropriate with respect to a particular type of risk. For instance, the efficiency question turns on which allocation of responsibility would provide the best overall risk-reduction incentives (and thus would produce the least moral hazard) and which would provide the best means of risk spreading. The answer to this question will often come down to one's views on the effectiveness of the threat of tort liability in a given context as a deterrent. Thus, for example, the prospect of tort liability and its effects on auto-liability insurance premiums probably has little effect on individual driving behavior.\textsuperscript{40} Given the inherent risks associated with driving, and the potential incentive effect of first-party auto premiums, it seems unlikely that tort law significantly enhances safe-driving incentives. If that intuition is sound, it would suggest that the optimal approach to collateral sources for auto-accident cases would be the non-traditional collateral offset rule, which would leave auto risks to be insured by first-party insurers (and might even eliminate the need for costly tort suits).\textsuperscript{41} One might well have a different intuition as to the potential deterrent effect of product liability lawsuits, a conclusion that supports the traditional nonoffset approach to collateral sources.
\textit{B. The Strange Case of Life Insurance and the Principle of Indemnity}
To the extent that the Fund will operate as an insurance mechanism, it will function primarily as a form of life insurance. This is so because the vast majority of the payouts will be to the families of the almost 3,000 victims who died in the attacks. However, whereas every other type of insurance includes an explicit (or judicially provided implicit) subrogation right or coordination provision, life insurance policies tra-
\textsuperscript{40} For discussion of the studies addressing this issue, see Gary T. Schwartz, \textit{Reality in the Economic Analysis of Tort Law: Does Tort Law Really Deter?}, 42 UCLA L. Rev. 377, 393-97 (1994).
\textsuperscript{41} Indeed, this is a principal rationale for and effect of the move to auto no-fault compensation regimes in many states.
ditionally do not contain such provisions.\textsuperscript{42} Indeed, life insurance is the type of insurance with respect to which neither insurers, insureds, nor the law has sought to coordinate coverage so as to avoid overcompensation. In the absence of an express subrogation provision in a life insurance policy, it is clear (though there is little law on the point) that the courts will not permit equitable subrogation by the insurer, as they would, for example, in the case of property insurance.\textsuperscript{43} And as a matter of practice, insurers never insert such clauses in their policies.
The origins of this rule and the corresponding practice are not clear but may have originated from the (probably inaccurate) supposition that life insurance is not indemnity for lost income but a way of assuaging grief.\textsuperscript{44} Because the grief felt over the death of a loved one could never be fully assuaged, the theory went, a policyholder could not be overcompensated by recovery of both life insurance and a tort judgment.\textsuperscript{45} This theory was probably reinforced by the now-abolished limitations on the scope of damages recoverable for wrongful death, including the non-recoverability under some statutes of any damages whatsoever for emotional loss.\textsuperscript{46} Once these limitations were in place, they were difficult to alter. To permit equitable subrogation by life insurers the courts would have been required to overrule long-settled precedent. And any insurer that attempted to insert a subrogation provision in its policy would have found itself at a distinct public relations disadvantage when it attempted to enforce the provision against, for example, a sympathetic widow.
In any event, the general rule in tort law with respect to collateral sources from life insurance—even in the minority states that have adopted collateral offsets for most types of collateral sources—is that tort awards are not to be reduced by life insurance proceeds. Thus, using our example from above, if the accident involving Michael and Sarah had resulted in Sarah’s death, then Sarah’s family would have been able to recover not only the proceeds of her life insurance policy,
\textsuperscript{42} See Jerry, \textit{supra} note 3, at 710; Keeton & Widiss, \textit{supra} note 3 at 227.
\textsuperscript{43} See, e.g., Spencer L. Kimball & Don A. Davis, \textit{The Extension of Insurance Subrogation}, 60 Mich. L. Rev. 841, 845 (1962) (“In life insurance, there seems little doubt that, absent contractual stipulation, subrogation would be denied uniformly. Dicta are plentiful, but no cases actually decide the matter.”).
\textsuperscript{44} See, e.g., George Steven Swan, \textit{Subrogation in Life Insurance: Now Is the Time}, 48 Ins. Couns. J. 634, 635 (1981).
\textsuperscript{45} See, e.g., Mich. Hosp. Serv. v. Sharpe, 63 N.W.2d 638, 644 (Mich. 1955) (Reid, J., dissenting) (“There seems to be little doubt that a life insurance company cannot recover of one who has caused the death of an insured the amount which it has thereby been compelled to pay.”) (quoting 29 Am. Jur. 1003-04) (internal quotation marks and citations omitted); Kimball & Davis, \textit{supra} note 43, at 851.
\textsuperscript{46} Kimball & Davis, \textit{supra} note 43, at 859.
assuming she had such a policy, but could also have brought a wrongful death claim against Michael without any offset for the life insurance proceeds.\textsuperscript{47} As a result, depending on a number of factors—including Sarah’s income, the amount of her life insurance, her relationship with her dependents, and the amount of the wrongful death recovery—Sarah’s family might have been, in a purely financial sense, “overcompensated” for Sarah’s death.
Of course, to say that life insurance, as it is used today, is not about indemnity is to indulge in a fiction. When a household decides to purchase life insurance on the lives of the income earner or earners in the household, the whole point is to insure the dependents (for example, the surviving spouse and any young children in the household) against the possibility that earning power will be prematurely lost. “Premature death” in the life insurance context means dying before the time at which the dependents either would be expected to fend for themselves or would have sufficient savings built up to replace the earning power of the deceased breadwinner. Put this way, in terms of insuring earning power or human capital, life insurance begins to look a lot like disability or even property insurance, and the indemnity concept seems at least arguably relevant.
Moreover, one of the most important manifestations of the principle of indemnity—the insurable interest requirement—does in fact apply to life insurance. This doctrine holds that individuals may purchase coverage only against contingencies that will actually cause them to suffer a loss and only to the extent of those potential losses.\textsuperscript{48} The obvious reason for having an insurable interest requirement in life insurance is essentially the same as in other types of insurance.
\textsuperscript{47} See, e.g., McKinney v. Cal. Portland Cement Co., 117 Cal. Rptr. 2d 849 (Ct. App. 2002); Bell v. Estate of Bell, 885 S.W.2d 877 (Ark. 1994); Estate of Rattenni v. Grainger, 379 S.E.2d 890 (S.C. 1989); Ronald Horn, Subrogation in Insurance Theory and Practice 39 (1964).
\textsuperscript{48} Jerry, supra note 3, at 296-310. The rules governing what precisely constitutes an insurable interest (such as whether there must be a “legal interest,”—a contract right, in the item insured—or whether, instead, a “factual expectancy” of some return from the insured item is sufficient) vary from state to state. \textit{Id.} The insurable interest requirement is essentially the same for both property and life insurance, with a number of key qualifications. \textit{Id.} at 310-16. For example, with life insurance taken out on one’s own life, or on the life of a close family member, there generally is no doctrinal limit on the amount of coverage that can be purchased. This is in contrast to property insurance, where the insurable interest doctrine limits coverage to the amount of one’s economic interest in the property being insured. However, with life insurance contracts, insurers themselves impose limits on the amount of coverage they will provide. Thus, we would be surprised if a life insurer would be willing to sell a policy on an individual’s life that greatly exceeded a reasonable estimate of that individual’s human capital value. What is important for the purposes of this Article is that insurance law—for both life insurance and property insurance—generally seeks to avoid circumstances in which losses to life or property result in windfall gains to insureds.
The requirement seeks to minimize the especially egregious form of moral hazard that would arise if individuals were permitted to purchase life insurance policies that could generate net economic gain for them.\textsuperscript{49}
For all these reasons, and contrary to conventional wisdom, there is a sense in which the principle of indemnity does in fact apply to life insurance. Nevertheless, the doctrine of subrogation clearly does not. With the liberalization of wrongful death statutes to permit recovery of emotional losses suffered by survivors, we must ask why. Perhaps the best explanation is still that nonsubrogation is necessary to compensate for the problem of underinsurance. That is, a case can be made that individuals and households generally buy too little life insurance.\textsuperscript{50} Although there is a conceptual and normative difficulty in determining precisely what the “right amount” of life insurance is (an observation that will become important below in our evaluation of the Fund), there is substantial empirical evidence to support the claim that the lives of primary earners within households tend to be underinsured.\textsuperscript{51} Moreover, there are cognitive reasons why we might expect this to be so—simple myopia, an unwillingness to face one’s mortality, distaste for dealing with life insurance agents, and even fear of having one’s blood drawn during a physical exam.
If most households have too little life insurance, then also allowing them to bring wrongful death actions without having to share the proceeds with a life insurer will, to some extent, counteract this underinsurance problem. The approach achieves this effect, however, in a way that is sometimes underinclusive and sometimes overinclusive. It is underinclusive in that many households that are underinsured do not have the benefit of a wrongful death claim; and it is overinclusive in that some households that do have such claims will not have been
\textsuperscript{49} There is also a low-level anti-wagering concern here that is separate from the moral hazard concern. Although we are generally skeptical of anti-wagering justifications for the principle of indemnity and the insurable interest requirement (given that many states allow various types of gambling and some even have state run lotteries), there would undoubtedly be something untoward about allowing individuals to bet on when someone in whose life they have no personal or economic interest will die.
\textsuperscript{50} Kyle D. Logue, \textit{The Current Life Insurance Crisis: How the Law Should Respond}, 32 Cumb. L. Rev. 1 (2001).
\textsuperscript{51} B. Douglas Bernheim et al., \textit{The Adequacy of Life Insurance: Evidence from the Health and Retirement Survey} (Nat’l Bureau of Econ. Research, Working Paper No. 7372, 1999), available at http://www.nber.org/papers/w7372 (last visited Oct. 18, 2003). According to this study, if their spouses died in 1992, almost one-third of wives and more than 10% of husbands would have suffered living standard reductions of 20% or more. \textit{Id.} at 3. The authors also found that underinsurance tends to be more common among low-income households, couples with asymmetric earnings, younger households, couples with dependent children, and non-whites. Among some groups, the frequency of underinsurance exceeds two-thirds. \textit{Id.}
underinsured. In these latter situations there is, at least theoretically, a moral hazard and the corresponding problem of wagering on death. Thus, there is a tradeoff between the problem of the overinsured and the problem of the underinsured, although we suspect that the latter is of greater concern than the former. Perhaps the biggest weakness with the argument that seeks to justify double-indemnity for wrongful death on grounds of underinvestment in life insurance generally is that there are any number of policy tools that might more effectively respond to the problem. For example, instead of allowing double recovery for certain tort plaintiffs, Congress might enact a new tax break for all who purchase life insurance or for those in the categories of people whom we believe to be most at risk. In the extreme, Congress might even increase the amount of government-provided life insurance offered through the Social Security Survivorship program.\footnote{52}{See Logue, \textit{supra} note 50, at 37-61.} Any such approach could be made both more precise and more comprehensive than simply allowing double-recovery for those whose loved one happens to have been killed by a negligent tortfeasor.
In sum, we do not necessarily defend the traditional collateral-nonoffset/nonsubrogation approach to wrongful death claims and life insurance proceeds. Indeed, a consistent recognition that life insurance is primarily about indemnity for lost earning power would suggest either a nonoffset/subrogation approach or a collateral-offset approach. However, we can at least see what the argument for the offset/subrogation approach is—one based on a claim of underinsurance. What we argue in the next section is that such an argument would have no application in the September 11th setting and, therefore, to allow the double-recovery approach would clearly have been a bad idea. Thus, the central question for the design of the Fund’s collateral source rules becomes this: Which approach to preventing double-recovery makes the most sense? Is it a collateral-nonoffset/subrogation approach, which is traditional for most tort claims but would be radical and unprecedented for wrongful death cases? Or is it the collateral-offset/nonsubrogation approach, which the Fund adopted and which also is unprecedented for wrongful death cases and life insurance proceeds?
C. The September 11th Fund as Life Insurance and the Collateral-Nonoffset Alternative
1. The Irrelevance of Underinsurance
If there is a case for allowing some degree of double-recovery in the typical wrongful death tort action on the grounds of systematic uninvestment in life insurance, that argument, such as it is, would not apply to the Fund. This is *not* because every individual who died in the September 11th attacks had adequate life insurance. To the contrary, many almost certainly did not. If the conclusions of recent research on life insurance coverage holds true, then many of the younger heads of households who died in the attacks had too little life insurance, or none at all.\footnote{53}{See \textit{BERNHIEIM ET AL., supra} note 51.} Rather, the point here is that payouts under the Fund are so generous that there will not likely be a widespread problem of undercompensation for September 11th caused deaths. To put the point more directly, except in cases of victims at the very highest income levels, the Fund payouts will come close to providing full compensation for lost income due to September 11th caused deaths, although obviously no human life can ever be replaced with money. Moreover, the per-person level of (in effect) government-provided life insurance provided by the Fund is much greater than the amount that most individuals carry on their lives. For this reason, it did make sense for Congress \textit{either} to include in the Fund a collateral-offset provision of the sort that was included \textit{or} not to include such a provision but to grant life insurers (and other collateral sources) a subrogation right against Fund payouts. In theory, either approach could lead to full compensation while preventing double indemnity. The interesting question is which approach is better. That is the question to which we now turn.
2. \textit{The Irrelevance of Deterrence}
First, let us do away with one argument that generally favors the collateral-offset approach, which again is the majority rule for most tort claims. Recall that the cost-internalization benefit of tort law depends on the coordination provided by collateral-nonoffsets and subrogation. Only with a system of nonoffsets and subrogation can the injury costs ultimately be shifted to tortfeasors and their liability insurers through the tort system, which in turn leads (in theory) to optimal investments in accident avoidance. It is this promised benefit of tort-induced deterrence that is typically cited as the justification for the large administrative cost differential between the tort system and a no-fault system of insurance. If, for whatever reason, there is no deterrence benefit from this cost-shifting, then the administrative costs of the tort system are not justified, at least not on deterrence grounds. Again, this is the primary argument that has been made in
favor of the switch from a fault-based to a no-fault auto-insurance regime.
With this argument in mind, the question arises whether there is any deterrence benefit to be gained in the September 11th context by a cost-shifting from first-party life insurers to the federal government, as a collateral non-offset approach would do. And the answer is almost certainly no. In the September 11th setting, deterrence through tort law seems largely irrelevant. The institution that has been made financially responsible for the September 11th deaths—the United States government—is not a tortfeasor in the class of those who can be deterred in the future by tort law. The government is a third-party that already, without any inducement from tort law, has every incentive to prevent such attacks in the future. (Witness the amount of federal tax dollars already being spent on reducing the risk of terrorist attacks.) Rather, the situation here—involving private life insurers of various sorts and the federal government as life insurer—bears a much closer resemblance to a traditional first-party insurance coordination problem (as in the case of first-party health or disability insurance policies) than to a subrogation problem. Hence, the issue is whether private life insurance companies should be the primary insurers, with the federal government secondary, or vice versa. That is, there is no deterrence rational for choosing one over the other, especially insofar as the collateral-nonoffset alternative would likely have entailed higher overall administrative costs.\footnote{54}
3. \textit{The Distributional Question: Who Should Bear the Losses—Life Insurers or Taxpayers?}
The most important question in deciding between the offset and non-offset approaches is one of distributional justice: To what extent should the financial losses produced by the deaths of nearly 3,000 people on September 11th be borne by private insurance companies, their shareholders, and perhaps their reinsurers; and to what extent should those losses be borne by the United States government, that is, the United States taxpayer? Again, because of the generosity of the Fund payouts (owing to the full compensation norm discussed above), and
\footnote{54. The higher administrative costs would have come from the need for a process by which life insurers would have sought subrogation payments from the federal government. If we assume a no-fault regime (again, because of the absence of any deterrence goal), then such a subrogation process could have been relatively inexpensive, that is, in comparison with a typical tort suit against a private party. However, it seems likely that such a process would be less efficient than simply having the Special Master do the collateral offset determination as part of his overall decision about the size of the award. Certainly there is no compelling administrative-cost savings from the non-offset approach.}
because of the likely underinsurance problem among the victims of the attacks, taxpayers would bear some of this burden under either regime; however, the nonoffset/subrogation approach would have greatly increased this drain on federal tax dollars and would have essentially eliminated the September 11th liability of life insurers. The argument for such an approach would go something like this: The September 11th attack was directed at the entire country and not just New York City, or just a group of individuals in New York City—and certainly not at the particular insurance companies who end up bearing most of the costs under the collateral offset approach. Thus, the argument concludes, compensation for September 11th related losses should be funded as broadly as possible across the United States population.
We would reject this argument for two reasons. First, and very simply, the collateral offset approach, in contrast with the nonoffset/subrogation approach, is consistent with contractual obligations assumed by the insurance companies when they sold life insurance policies to the victims of September 11th and their families. Each of those policies, like all life insurance policies, almost certainly contained a promise to pay a given death benefit in the event of the insured’s death (upon the presentation of a death certificate) whatever the cause. That is to say, life insurance policies, unlike many other types of insurance policies, contain very few exclusions. So long as the incontestability period (almost always two years) has passed and the insured does not die by suicide within a given period after the issuance of the policy, the death benefit will be paid. There are no questions having to do with the number of “occurrences”\(^{55}\) or, typically, whether the loss occurred during a “warlike action by a military force,”\(^{56}\) as there might be for property insurance. Thus, we suspect that there have been very few, if any, attempts by insurance companies to deny death claims arising out of September 11th, except in the cases of fraud—for example, when an individual falsely claims to have lost a loved one in the attacks or falsely claims that a lost loved one was insured. Besides those cases of fraud, insurers are almost certainly paying the claims with no objections, both for contractual reasons and for public relations reasons.\(^{57}\) And this is as it should be: the collateral offset ap-
\(^{55}\) See SR Int’l Bus. Ins. Co. v. World Trade Ctr. Props., No. 01 Civ. 9291, 2002 WL1163577, at *1 (S.D.N.Y. June 3, 2003) (addressing whether attack(s) on the World Trade Center constituted one or two “occurrences” for purposes of construing property insurance policies.).
\(^{56}\) See Jerry, supra note 3, at 1068-69 (discussing wartime exclusion and its application to September 11th).
\(^{57}\) Additionally, even the fraud defenses to coverage will be lost once the incontestability period has elapsed.
proach—which makes the life insurers the primary insurers of the human capital lost on September 11th—gives the life insurers precisely the benefit of their bargain. To go with the nonoffset/subrogation alternative would have amounted to having the American taxpayer pick up a debt that rightly belongs to the life insurance industry.
Second, if we were to decide that the cost of September 11th caused deaths should be borne by taxpayers generally (perhaps because of the notion that the attacks were directed at the nation as a whole), a much more radical departure from past insurance practice would be called for than merely adopting a nonoffset/subrogation approach to collateral sources. If Congress were to take such an argument seriously, the same rationale would apply to property losses. Those losses, in monetary terms only, dwarfed the losses to human capital associated with the September 11th attack. Thus, a move to truly “nationalize” the cost of September 11th and take it off the backs of the insurers would have required a much more radical (and massively more expensive) program than was adopted.\footnote{58} The case for nationalizing even more of September 11th losses than was in fact nationalized seems difficult to make, given all of the many risks that we generally leave for private markets to distribute. This conclusion holds despite the fact that there have been reports of shortages of (or dramatically increased prices for) insurance coverage for terrorism-related losses, including life insurance.\footnote{59} If the history of the insurance industry is any indication, however, over the long run, as capital returns to the reinsurance market and the hysteria from September 11th subsides, the problems of insurance capacity for life insurance will subside as well. In any event, unless one can tell a compelling market-failure story concerning the market for life insurance for terrorism-related risks (which we doubt), special government intervention—in this case in the form of making the federal government the primary insurer of terrorism-caused loss of life (which is what a subrogation approach
\footnote{58}{Most of the losses to property resulting from September 11th are expected to be covered by private insurance, and what government relief will be provided—which will not be insubstantial is explicitly limited to those losses not covered by private insurance. Saul Levmore & Kyle Logue, \textit{Insuring Against Terrorism—and Crime}, Mich. L. Rev. (forthcoming 2003) (discussing relationships between private insurance, charitable relief, and government relief for September 11th losses to property and life).}
\footnote{59}{See id. at text accompanying notes 20-21. There is some anecdotal evidence that reinsurers are demanding that group life insurers either pay dramatically higher reinsurance premiums or else include terrorism exclusions in their policies. Diane Levick, \textit{Life Insurers Want Safety Net}, Hartford Courant, Mar. 22, 2002, at E1, available at 2002 WL 4798280.}
would in essence have done)—does not seem warranted.\textsuperscript{60} A thorough treatment of this question—of the appropriate degree of nationalization of particular risks—is well beyond the scope of this Article. We raise it here only to point out that, whatever the merits of the case for such a nationalization of risk, it would be odd in the extreme to choose only to nationalize the risk that had been contractually assumed by the life insurance industry.
\textit{D. Defining Collateral Sources}
Besides the questions (a) whether to allow double-indemnity for loss of life (as the common law does in wrongful death cases, but the Fund opted—for good reason—not to), and (b) which approach—collateral offsets or nonoffsets-plus-subrogation—is the best means of avoiding double-indemnity, there remains the conceptually difficult and morally fraught task of defining what counts as a collateral source. Part of the job was done by Congress and part was left to the discretion of the Special Master. Congress specifically said that “all collateral sources” would be offset from the September 11th payouts, and then it listed some of the most obvious categories of collateral sources, including “life insurance, pension funds, death benefit programs, and payments by Federal, State, or local governments related to the terrorist-related aircraft crashes of September 11, 2001.”\textsuperscript{61} However, it was clear that Congress did not mean for this list to be exhaustive. In the following sections we discuss some of the difficult theoretical and practical issues raised in defining collateral sources.
\textit{I. Collateral Sources and Savings: A Compensation-Based Approach vs. a Need-Based Approach}
The Special Master has attempted to draw a clear line between any payment that looks like pure life insurance—compensation for lost human capital—which will be considered a collateral source, and any payment that looks like a withdrawal from savings, which will not be considered a collateral source and, hence, will not be offset against Fund payouts. This distinction is easy to draw in most cases. The proceeds of a term life insurance policy are clearly a collateral source; whereas, a personal savings account is clearly not a collateral source under the Special Master’s conception.
\textsuperscript{60} For an extended discussion of the arguments for and against government intervention in the terrorism-risk insurance market, see generally Levmore & Logue, \textit{supra} note 58, at text accompanying notes 51-63.
\textsuperscript{61} Air Transportation and System Safety Stabilization Act, \textit{supra} note 1, § 401(4).
Drawing lines between savings and insurance, however, is not always so straightforward. For example, it will be somewhat more difficult to determine what portion of a death benefit from a cash value policy is pure insurance and what portion is return of capital. A similar distinction will have to be made with respect to certain types of pension funds. Consistent with the savings and insurance distinction, the Special Master has said that defined contribution plans such as 401(k) plans—in effect vested savings accounts that can only be reached (without penalty) upon retirement—are to be treated as savings. However, to the extent such retirement plans contain an element of pure term insurance, as some retirement plans do, that amount must presumably be offset. Distinguishing between the portion of pensions that is insurance and the portion that is savings can be difficult.
Similar measurement problems could arise insofar as September 11th victims have various forms of non-traditional life insurance. For example, some individuals purchase life insurance that pays off their mortgage in the event of their death. Presumably such payments would be treated as life insurance offsets as well. A more difficult line-drawing question is presented by those victims who owned some form of double-indemnity life insurance, which pays double the normal death benefit if the insured dies as a result of a specific listed cause, such as an accident. Should such benefits be considered collateral source offsets, or only the part necessary to replace the individual's earning power? Probably the former, but the answer is not obvious.
All of these questions raise a more general issue regarding the Special Master's decision to draw a line between insurance and savings. Putting aside measurement or line-drawing problems, why is it obvious that such a distinction should be drawn? Why should collateral source offsets include insurance and government benefits and other forms of "compensation" for a given loss but not savings or wealth? And the same questions could be applied not only to the Fund but also to those tort jurisdictions that have adopted the collateral offset approach. Ultimately, we conclude that offsets for savings would probably not be a good idea—either in the Fund context or in the tort context—but in this section we argue that the case against such offsets for savings or wealth is not as open-and-shut as one might think.\(^{62}\)
\(^{62}\) The arguments in this section could also be applied to the Special Master's decision not to include charity as a collateral source.
In the tort setting the case against collateral offsets for personal savings or wealth might begin something like this: It has long been considered fundamental to the conception of tort law that tort damage awards approximate the harm caused to the plaintiff by the defendant.\(^{63}\) Thus, whether one subscribes to a corrective justice view of tort law (in which tort law is understood as correcting wrongful harms) or a deterrence view (in which tort law is intended primarily to internalize costs and minimize the costs of accidents), damage awards are supposed to equal the harm caused. Most tort theorists would agree that it is inappropriate to adjust tort awards based on the injured plaintiff's savings or wealth except insofar as such an adjustment is necessary to measure the actual amount of the loss sustained. Moreover, if we were to begin treating various forms of wealth as collateral offsets in tort cases, such a move would radically transform the tort system.
This conclusion, however, is usually reached in discussions of the role of distributive justice in traditional tort law, by which we mean a tort regime in which collateral sources are not offset—in which the traditional collateral source rule applies. It is with respect to those majority jurisdictions that deterrence and corrective justice are thought to be the leading (albeit competing) justifications of the tort system. To reduce or offset tort awards in those jurisdictions to account for the wealth of the plaintiff would indeed work a radical transformation of tort law, from a system of corrective justice or deterrence to one of wealth redistribution, which very few commentators (including us) would regard as advisable. But we are not talking about a tort regime in which there are generally no collateral offsets; rather, we are talking about jurisdictions (including the Fund) that, in an effort to avoid overcompensation or "double-recovery," have already decided to adopt some collateral offsets—to depart from the traditional collateral source rule. The only remaining question, and the one that we focus on here, is whether to include offsets for savings or wealth along with the other offsets.
Given the way we have framed the question, it is less clear, at least on deterrence and corrective-justice grounds, what is wrong with wealth offsets in tort law, which no more undermine the deterrence and corrective-justice functions of tort law than do any other collateral offsets. As already discussed, collateral nonoffsets, together with the subrogation principle, are essential to tort law's deterrence function of shifting the costs of accidents from victims to injurers and their
\(^{63}\) This conclusion ignores arguments for the imposition of punitive damages.
liability insurers, at least in circumstances in which first-party insurance is present.\textsuperscript{64} A similar point could be made about the corrective justice goal of tort law. Thus, the objective of maintaining the purity of the deterrence or corrective justice functions of tort law would have little purchase as an argument against wealth offsets. And the same could be said of deterrence-based or corrective-justice based objections to wealth offsets in the Fund context: That we are allowing collateral offsets at all suggests that deterrence and corrective justice are not the goals of the Fund.
This conclusion seems right to us. As discussed above, the deterrence justification for tort law does not seem to apply to the Fund, as there is little reason to think of the Fund as a deterrent against future terrorism. Moreover, although one might plausibly argue that the Fund serves a corrective justice goal, if one takes the view that the federal government was morally culpable for the September 11th attacks, such a vision of the Fund does not fit well with its actual design, which offers no opportunity for fact-finding as to the culpability of the government (as a tort suit would allow with respect to a tort defendant), but rather focuses only on the questions (a) whether the claimant qualifies for a payment from the Fund, and (b) what the amount of that payment ought to be.
But if deterrence and corrective justice are not the point of the Fund—as they appear not to be the main point of tort law in collateral non-offset jurisdictions,\textsuperscript{65}—what is the point? Presumably, it is simply compensation. But what does that mean? Are we to view the Fund as a substitute for, or an enhancement of, the level of life insurance that rational well-informed individuals would purchase for themselves or their households? On this view, the design of the Fund generally, and the design of the collateral source offsets specifically, should be evaluated on the basis of their correspondence with that hypothetical level of life insurance. This application of the consumer sovereignty norm, borrowed from the fields of contracts law and products liability law, might be said to embody a “compensation-based” or “insurance-
\textsuperscript{64} As far as we know, none of the jurisdictions that have adopted a collateral offset approach have included savings or wealth in their definition of collateral sources. Rather, they limit the collateral offsets, as Congress has done in the Fund context, to payments that compensate directly for (or “indemnify”) the loss in question, such as insurance benefits or special government benefits. The reason for this may simply be that those jurisdictions simply do not want to take on the additional administrative headache of determining what counts as savings and what does not, and how much of savings gets offset.
\textsuperscript{65} We are not saying that in collateral-offset jurisdictions tort law serves \textit{no} deterrence or corrective-justice goals, only that deterrence and corrective-justice in such jurisdictions are less important than in traditional collateral non-offset jurisdictions. We return to this qualification in Part IV of this Article.
based” view of how the Fund awards should be calculated.\textsuperscript{66} On this view, full compensation calls for the level of payment that an individual would have bargained for in the insurance market, absent market failures of various sorts.
To apply this framework to the precise question at hand—whether to offset awards by savings or wealth—we need to ask, in effect, whether and to what extent individuals or households purchasing life insurance under conditions of high information, low transaction costs and relatively few cognitive biases, would decide to adopt wealth offsets on their own. Put differently, to what extent would or do life insurance purchasers treat their own or the household’s wealth as a form of self-insurance against the loss of a wage earner? We can imagine, for example, that households with a great deal of wealth relative to income might only partially insure the human capital of a household earner (or, for the truly wealthy, not insure at all), preferring instead to absorb the financial loss of an earner’s income rather than to spend money on life insurance premiums. Thus, it is easy to imagine that Bill Gates, despite his enormous earning power, might not feel the need to purchase a term life policy. For such families, including savings as a collateral offset would make some sense, on grounds of consumer sovereignty, in the sense that the government-provided life insurance would approximate the amount of life insurance that the family would have purchased for itself. Along the same lines, we might suppose that households for whom human capital is the largest household asset would be less likely to self-insure, as there is too little wealth to absorb the loss, and thus such households would be more likely to prefer a policy that provides full replacement of human capital. For such households, an offset for savings would be contrary to consumer sovereignty.
But these are mere speculations. Thus, the most obvious problem with a serious attempt to apply the consumer sovereignty principle in this way to the design of collateral source offsets for the Fund (or wherever such offsets are used) is that we cannot know, without a great deal of empirical research into consumer behavior, whether individuals or households, when buying life insurance, implicitly or explicitly reduce the amount of coverage they purchase to account for their household wealth. It remains an open question as to what extent households, when insuring the human capital of household earners, tend to self-insure. But even if such data on consumer spending deci-
\textsuperscript{66} Alan Schwartz, \textit{Proposals for Products Liability Reform: A Theoretical Synthesis}, 97 \textit{Yale L.J.} 353, 355-59 (1988) (discussing the consumer sovereignty norm in contracts literature and applying it to products liability law).
sions were available, and even if the Special Master had wanted to adopt such a fine-tuned consumer-sovereignty approach, the effort would have been rendered almost impossible by the inherent difficulties of modeling the "optimal" amount of life insurance, the amount that a "rational" household would purchase. Relatedly, given all of the reasons why households are believed to purchase too little life insurance on the private market (myopia, aversion to planning for their own death), empirical evidence of private life insurance purchases may be more misleading than informative.
The biggest problem, though, facing collateral offsets for savings at least in the Fund context (especially, but not only, if such offsets were made for some claimants but not others) would have been the political one. As a political matter, collateral sources had to have a uniform meaning across all claimants, even if a fine-tuned life insurance consumer-sovereignty approach would have called for some variation based on varying consumer preferences. And just as the Special Master came under enormous pressure from the representatives of the highest-income victims not to place an overall cap on awards, the political pressure not to adjust the awards downward based on wealth would have been immense.
One might also have advocated savings or wealth offsets to Fund awards not on consumer sovereignty grounds—which is consistent with a "compensation based" view of the Fund—but on grounds of distributive justice, which is not. That is to say, if the Fund is understood more as a type of ad hoc social insurance than as a substitute for the tort regime, making the awards needs-based rather than purely compensation-based is somewhat more defensible, at least as an initial matter. After all, the Social Security program—including the federally provided life insurance available through the Social Security Survivorship program—has an obvious needs-based element to the calculation of benefits. For example, if a qualified wage-earner in a household dies, the Social Security Survivorship benefits paid to the surviving spouse are reduced as the survivor's income rises above certain thresholds.\footnote{67}{Soc. Sec. Admin., Pub. No. 05-10069, How Work Affects your Benefits (1999). In general, if the surviving spouse is under the age of 65, for every $2 he or she earns in excess of $9,600, $1 in survivorship benefits is lost. \textit{Id.} at 2.} Likewise, the earned income tax credit, beyond a
point, decreases as one earns more income,\textsuperscript{68} and many social welfare programs historically have been designed to be “means tested.”\textsuperscript{69}
A distributive-justice or needs-based rationale for offsetting Fund awards with personal savings, however, would also have faced enormous political opposition, for the reasons already mentioned. The rhetoric of full compensation, which is directly inconsistent with this needs-based approach, took hold fairly quickly after the September 11th attacks, in part out of sympathy for the families, and in part, as mentioned, to make the Fund alternative an attractive alternative to tort law, and thus, to help stabilize the reeling airline companies. Moreover, the practical difficulties and associated administrative costs of applying a means-tested approach via the collateral-source offsets would have been enormous. If the September 11th Fund had been, instead of a one-time ad hoc system of compensation for a single event, a new ongoing social insurance program—a new form of generally available government-provided life insurance—means-testing of some sort would have been much more likely, not only in the collateral-source offsets but in the size of the initial awards as well. But that, of course, is not what the Fund was designed to be. Rather, the Fund is a more or less one-time program to cover the losses arising out of a single event. If, however, events such as September 11th become more routine, we would expect less generous benefits generally,\textsuperscript{70} but also a greater likelihood of wealth-adjusted collateral offsets, or something similar, although again we are speculating.
In sum, although we agree with the Special Master’s decision not to include savings or personal wealth in the definition of collateral sources for the Fund, a decision that seems also to be squarely within the intent of Congress, we believe that the case against a means-tested or need-based definition of collateral offsets is more complicated than has previously been recognized. And although the task of drawing the line between savings and insurance (and between charity and insurance) may not always be easy, it is an inevitable byproduct of a compensation-based approach.
\textsuperscript{68} I.R.C. § 32 (2000); see also, Ann L. Alstott, \textit{The Earned Income Tax Credit and the Limitations of Tax-Based Welfare Reform}, 108 HARV. L. REV. 533 (1995).
\textsuperscript{69} Examples of such programs include, among many others, foodstamps, Section 8 housing subsidies, Medicaid, Temporary Assistance to Needy Families (which replaced Aid to Families with Dependent Children), and Social Security’s Supplemental Security Income.
\textsuperscript{70} See Levmore & Logue, \textit{supra} note 58.
2. The Nonoffset/Subrogation Alternative Revisited: The Make-Whole Issue and Delegating the Collateral Source Question
Because of the inherent difficulty of defining collateral sources, there might have been a temptation in the design of the Fund to go with the nonoffset/subrogation alternative from traditional tort jurisdictions. Again, this would not have been for deterrence or corrective justice reasons, but simply to avoid the difficulty of deciding what would be and what would not be considered a collateral source. However, the nonoffset/subrogation approach has its own problems of line-drawing. For example, the collateral-nonoffset approach would have required either Congress or the Special Master to identify the life insurance, or savings sources, or both, that would have been granted a subrogation right and under what circumstances. Here the critical decisions would not only have been the identification of sources, but resolution of the difficult make-whole issue, discussed above,\textsuperscript{71} that often arises in the context of subrogation. One way of putting the make-whole question is this: Would a collateral source's subrogation right be automatic, or would it be applicable only to prevent overcompensation?
To see the importance of this question, consider a simple example. Suppose there are two identically situated households. Each is a family of four, with two parents (both of whom are wage earners) and two small children; and the income and wealth levels of the two households, again, are the same. The only difference is that the two households carry different amounts of life insurance on the primary earners within the households. Household One carries a $1 million policy on the life of the primary earner, which we will assume would completely replace the insured's lost earning power. Household Two, however, with an identical earning potential, carries only a $20,000 policy on the primary earner, which, under our assumptions, would be substantially undercompensatory.
Now consider the effects of giving the life insurers in this example a subrogation right. One can easily imagine concluding that granting Household One's life insurer a subrogation right would make perfect sense, because it would help to prevent overcompensation in circumstances involving multiple sources of recovery. However, this conclusion works only because we have assumed adequate coverage in the first place. Recall that it was the general tendency to underinsure household wage-earners that served as the primary rationale for not
\textsuperscript{71} See supra note 38 and accompanying text.
allowing subrogation of life insurance in the first place.\textsuperscript{72} If we consider the case of the underinsured wage-earner, of which Household Two is an egregious example, we can see that granting the life insurer a subrogation right can contribute to, or at least fail to ameliorate, the undercompensation of the surviving members of the household. In such a situation, if there were some other source of recovery besides the $20,000 policy, the life insurer for Household Two could seek reimbursement first, before the surviving members of the family.
It is a familiar fact of insurance law that this problem can be policed by a rule requiring that the claimant be made whole before any collateral source could exercise its subrogation right. And such a rule would presumably have been necessary if Congress and the Special Master had taken the nonoffset/subrogation route. But a make-whole rule is no panacea. Enforcing such a rule would require some form of adjudication or at least some standard for determining the amount of the claimant’s total “loss.” The Special Master’s rules seem to presuppose that he will pay all claimants their “full” economic and noneconomic losses, thus circumventing this issue. But this presupposition may prove to be questionable when he pays particular claims, and there is certainly no reason to believe that future compensation arrangements will always pay “full” losses. Consequently, whenever a collateral nonoffset approach is used, the conditions under which subrogation by collateral sources is permitted will have to be addressed and the make-whole issue resolved.
If Congress had decided to adopt the nonoffset approach, it might have been tempted to resolve the make-whole issue by avoiding or delegating it. That is to say, as an alternative to adopting a mandatory subrogation approach, Congress could have merely “authorized” life insurers, pension funds, and similar sources to insert subrogation rights into their policies or contracts and then left it to them and to the courts to decide what these subrogation provisions would mean. But then the job of deciding how to deal with the make-whole issue (and, as a result, what offsets to require or not to require) would fall to the insurers and the courts. Such a solution might have had some short-run political benefits, as Congress and the Special Master would not have been directly responsible for answering the hard questions. However, the questions would not have been avoided altogether. Moreover, we cannot ignore the fact that life insurers have never found it in their interest to assert subrogation rights. This fact suggests that life insurers would be unlikely to start inserting subrogation
\textsuperscript{72} See supra note 51 and accompanying text.
clauses now, even if they are specifically authorized to do so by statute.\textsuperscript{73} Given this fact, we might view the collateral offsets for life insurance prescribed by the Fund as simply the federal government's way of taxing life insurers for part of the cost of September 11th compensation, under circumstances in which the life insurers would have had to pay anyway under a nonoffset subrogation approach.
The approach Congress adopted, of course, contains an element of unfairness for those families of victims who happened to have purchased adequate life insurance. Why are they being punished for having planned ahead? A solution to this concern might be to allow a collateral offset-offset for the amount of life insurance premiums that were paid by the September 11th victims or their families on the policies during the life of the policy, up to September 11th. For victims with outstanding life insurance policies, under this approach, it would be as if the federal government had been paying the premiums all along and thus were now, via the collateral offset, getting the benefit of their bargain. Even this solution, however, would not be perfect.\textsuperscript{74}
IV. Conclusion
An important question raised by our analysis is whether the collateral offset provision in the Fund creates a precedent that will have a broader impact on the future of personal injury and compensation law. That is certainly possible, perhaps even likely. We can easily imagine policymakers following the example of the Fund and adding broad collateral offsets that include life insurance to various existing compensation regimes or to new regimes that are adopted to respond to new sources of harm. Such a possibility provides the sense in which the genie may be out of the bottle: When a policy tool of this sort is used for the first time, especially in such a public manner, it is likely to be used again, at least in similar situations (such as future terror attacks) and perhaps in situations involving other types of losses and other compensation regimes as well.
There are, of course, sound reasons \textit{not} to use the collateral offset approach in some settings, settings in which there is some realistic hope that the threat of tort liability can have a significant deterrent
\textsuperscript{73} Given that no one currently has a subrogation clause, the reason for this phenomenon might be a version of the first-mover problem; no insurer would want to be known as the first company to insert such a right in their policies.
\textsuperscript{74} For example, there would be administrative costs with respect to outstanding life insurance policies that involved some element of savings (that is, cash-value policies), as it would be necessary under this approach to distinguish the pure insurance portion of the premium from the portion that went to cash value.
effect. In such settings, a nonoffset approach, coupled with subrogation, would make more sense, in which case, the question of defining collateral sources becomes moot (although the make-whole issue remains). One of the main insights of our analysis, however, is that when deterrence is not an issue (or not the primary issue), and hence, the primary issue is how to provide adequate compensation, a collateral offset approach may indeed make sense, but there will remain difficult and interesting questions.
For example, is full compensation to be the exclusive norm in the compensation regime, or is there room for need-consciousness or means-testing in such an approach? The conventional wisdom has long been that issues of wealth redistribution are best handled exclusively by the tax-and-transfer system and never through other compensation systems, especially not the tort system; however, that conventional wisdom assumes that the tort system is primarily about deterrence; when the tort system is mainly about deterrence and incentives, introducing a redistributive role for tort law produces considerable distortion. However, if the deterrence and corrective-functions are removed from tort law—via collateral offsets, say—then the question of whether to pursue a need-based or redistributive approach gains new strength.\footnote{75}{See Kyle Logue & Ronen Avraham, \textit{Redistributing Optimally: Of Tax Rules, Legal Rules, and Insurance}, 56 \textit{TAX L. REV.} 157, 196 (2003) (arguing that, if because of cognitive biases individuals ignore tort law and thus tort law has no deterrence significance, the redistributive role for tort law might be more easily defended). There is of course a good practical fairness argument for leaving all income or wealth redistribution to regimes that are relatively comprehensive. Comprehensiveness is one of the appeals of the tax-and-transfer regime, and the lack of comprehensiveness is one of the complaints against the tort system, as methods of reducing wealth or income inequality. \textit{Id.} at 185-88. For a series of responses to this argument, see generally \textit{id.}} Thus, a question that has not previously been addressed, and which our analysis suggests deserves some attention, is whether such tort jurisdictions that have adopted the collateral-offset approach should include some aspect of savings or wealth in their collateral offsets.
We do not take a position on that question here, although we suspect that the administrative problems that such an innovation would entail would not justify the small improvement in distributional equity. Also, we should emphasize that the case for a needs-based approach is stronger in the Fund context, in which deterrence and corrective justice seem to be entirely irrelevant, than in the context of collateral-offset tort jurisdictions. In those jurisdictions, of course, there is still some, albeit reduced, deterrence and corrective-justice function served by tort law. Plaintiffs in those jurisdictions still bring
tort suits and sometimes recover damages from tortfeasors. Why? One reason is the availability of tort damages that are not offset by collateral sources—namely, pain-and-suffering damages and punitive awards. Another is the expressive or symbolic function that individuals sometimes attribute to their “day in court.” Our point here, then, is not that collateral-source tort jurisdictions should immediately adopt need-based tort awards; rather, our point is that, because the deterrence and corrective justice functions of tort law are reduced in those jurisdictions, the case for need-based tort awards (or the case for including wealth in the definition of collateral sources) is stronger than has previously been recognized. Though it is still not as strong as in the Fund context, in which deterrence is truly irrelevant.
In any event, the adoption of the Fund has put these questions squarely on the policy table, and they are questions that will recur not only after any future terror attacks, but also in connection with any new compensation regime that we can imagine. By breaking new ground in its prescription of offsets from Fund compensation for life insurance benefits, the Fund puts at issue an entire area that has until now been off limits to debate. By placing the proper role of life insurance recoveries at issue, the Fund has done what happens periodically in the tort and insurance systems. It has raised questions about the fundamental purposes we seek to achieve in providing compensation to the victims of personal injury and illness.
|
DRAFT
A Vision for Sherman Oaks
OPPORTUNITIES/ GATEWAYS/ ELEMENTS THAT WILL ENRICH SHERMAN OAKS
JUNE 2014
SHERMAN OAKS NEIGHBORHOOD COUNCIL
INTRODUCTION
• A Vision for Sherman Oaks grew out of a need to understand the growth potential of our community and what benefits would enhance the lives of those of us who live, work and visit Sherman Oaks. We studied traffic problems and potential solutions, aesthetics and revitalization of our commercial core and opportunities for recreational and commercial enjoyment of our portion of the L.A. River. Our goal is obvious, a more beautiful, charming and walkable Sherman Oaks.
• From the inception of our group I have been fortunate to have the guidance, support and mentorship of Carolyn Ramsay, Jill Banks Barad, Ira Handelman and Kevin Tamaki. As the Vision emerged we were able to engage the community by meeting with various groups including Dr. Robert Cohen and the Sherman Oaks Chamber of Commerce and the Land Use Committee of VICA.
• Special thanks to Richard Close and SOHA for graciously allowing me to be their featured speaker presenting the Vision at their January meeting.
• Through these efforts and others we gained community support and broadened our committee membership.
• Though our committee is large, I must thank Bob Anderson, Craig Buck, Jennifer Charles, Jackie Diamond, Maria Pavlou Kalban, Mikie Maloney and Sue Steinberg for volunteering their leadership of our study groups, their knowledge of Sherman Oaks, their creative problem solving, their intellect and for bringing forth the Vision.
• *A Vision for Sherman Oaks* is a working document meant to identify and push for improvement, to guide our decision makers and to make the community aware of its potential. The Vision should be amended annually and updated as future improvements and projects are realized.
• I respectfully submit, *A Vision for Sherman Oaks*,
Jeffrey M. Kalban, A.I.A.
Chairperson, *A Vision for Sherman Oaks*
Sherman Oaks Land Use Committee
Sherman Oaks Neighborhood Council
A Vision for Sherman Oaks
OPPORTUNITIES/ GATEWAYS/ ELEMENTS THAT WILL ENRICH SHERMAN OAKS
SHERMAN OAKS NEIGHBORHOOD COUNCIL
WHAT is the Sherman Oaks Vision?
It is a vision for beautification and future development for our community. This will serve as a guide to our community leaders, developers and city officials letting them know what we want for Sherman Oaks.
WHY do we need this Vision?
For too long proposed developments have been reviewed on a per project basis without understanding their impact on the community as a whole. This vision gives us the tools for a more comprehensive review. Establishing a single, well-focused vision for our community will make developers understand how they fit into that vision rather than how the community fits into theirs.
WHEN will we get this Vision?
Once we have the community’s backing and the support of the Council Office. Some of the Short Term goals may be implemented immediately while the Long Term goals will require funding and opportunities as they present themselves.
WHO came up with this Vision?
A working group from Sherman Oaks Neighborhood Council’s Land Use Committee along with many likeminded community activists (study groups) and with input from everyone and anyone who took the time to get involved.
A VISION FOR SHERMAN OAKS
This VISION is made up of ideas developed by study groups that researched different needs and concerns of the community. Being mindful of the complexity of city government, we have therefore separated each study group’s proposals into short- and long-term goals.
Any community needs that have not been addressed can always be presented to the VISION for consideration and review. Implementation of this VISION will eventually require the added involvement of other Sherman Oaks committees with expertise in the different areas being addressed. We feel once the VISION is in place the more people involved from the community the better.
THE VISION DETAILS
Without some improvement in traffic everyone becomes negative to development.
Traffic Mitigation – Short Term
Restriping lanes of traffic to allow more vehicles to enter freeway on ramp.
1. Ventura Blvd. on ramp to 405 south by the Galleria – allow two lanes to enter on ramp from Ventura Blvd. (not just one).
2. Burbank on ramp to 405 south by Sepulveda – restripe existing lane to allow greater stacking for on ramp – remove short pocket lane that accommodates only 3 cars.
3. Woodman on ramp to 101 west by Fashion Square – permit two lanes to enter from south bound traffic on Woodman.
4. Eliminate HOV lane at 405 south on ramp by Galleria to allow eastbound Ventura Blvd. traffic an open lane.
Traffic Mitigation – Long Term
Possible “Fly-over” at Burbank on-ramp to 405 south to better service a growing community.
Add new lanes at:
1. Ventura Blvd. on ramp to 405 south
2. Woodman on ramp to 101 west: keep and extend two lanes on the on ramp.
Establish a Traffic Mitigation Impact Fund that would be assessed a set fee for each car that a proposed development could not mitigate. The fund would be used to provide shuttles or other means to take an equivalent number of cars off the roads thereby neutralizing the impact.
Transportation
In order to enjoy and better utilize our two and a half mile Boulevard we suggest a parking once and walking/ride alternative – a trolley – that would travel along Ventura Blvd. from Fulton to Sepulveda continuously throughout the day and night.
Beautification – Short Term
1. Bump outs: temporary bump outs that allow for parklets for landscaping, sitting and enjoying the Boulevard.
Beautification – Long Term
1. Landscaped Medians: where possible to make the Boulevard greener and a more beautiful community.
2. Crosswalks: at 1/8-mile increments to encourage strolling and utilizing both sides of the Boulevard.
3. The Plaza: A substantial plaza on the Boulevard that give us a communal gathering place allowing for people to meet, enjoy a cup of coffee, read or people watch.
4. Smaller Plazas where desired in front of future developments on the Boulevard.
Riverwalk – Short Term
An important asset for the community.
1. Guidelines will be in place for the types of vegetation, seating, lighting and kiosks we wish for our Sherman Oaks section of the River.
2. Inquiring into securing funding that is available for implementation.
Riverwalk – Long Term
1. Any future developments that front the river will need to work with the Vision in order to assure proper access to the river for the general public and conform to t/seating/kiosk guidelines.
Parking – Short Term
Every successful community has good parking.
1. Better signage and maintenance of existing public parking.
2. Public/private cooperation for existing parking areas to become public.
Parking – Long Term
1. Identify existing parking zones and encourage development in these zones with mixed-use projects that also provide community parking.
Outreach
The VISION subcommittees will help get the word out to potential city partners that we need their help to move the VISION forward. Get landowners to rethink their current property use and encourage them to improve or develop their holdings in order to become part of the Renaissance.
THIS VISION BENEFITS ALL; IT’S A WIN – WIN!
**Community**: Residents will get a more walkable, beautiful, thriving community; access to better retail, fine restaurants and good entertainment.
**Landowners**: Rethink their investment and realize an opportunity to make a better return by improving their existing properties.
**Retailers**: A friendlier environment, a more beautiful Boulevard attracts more people and adds up to more business.
**Developers**: Will know what to expect when proposing to develop in Sherman Oaks and will benefit from a more streamlined process.
TRAFFIC/TRANSPORTATION
GATEWAYS
PLAZA
LANDSCAPED MEDIAN
RIVERWALK OPPORTUNITIES
Bob Anderson
Maria Pavlou-Kalban
A Vision for Sherman Oaks
OPPORTUNITIES/ GATEWAYS/ ELEMENTS THAT WILL ENRICH SHERMAN OAKS
SHERMAN OAKS NEIGHBORHOOD COUNCIL
Our Objectives
- Provide immediate traffic/transportation relief to Sherman Oaks residents
- Through quick-fix improvements to traffic flow at three critical freeway on-ramps
- Offer further traffic/transportation relief
- Through longer-term, more costly improvements
- Ensure developers mitigate their traffic impacts
- Through mitigation fund
Sherman Oaks Traffic Hot Spots
- Three critical hot spots caused by poorly arranged freeway ramps
- Each has an easy, inexpensive short-term fix
- Each also has a more complex, more expensive long-term fix
**TRAFFIC HOT SPOT #1**
I-405 Southbound On-Ramp at Ventura Boulevard
**TRAFFIC HOT SPOT #2**
I-405 Ramps at Burbank Boulevard
**TRAFFIC HOT SPOT #3**
I-101 Westbound On-Ramp from southbound Woodman Avenue
Hot Spot #1 – I-405 SB On-Ramp at Ventura
TINY ON-RAMP FEEDING HUGE FREEWAY
Small On-Ramp Built When Community Was Smaller and Traffic Much Lighter
Traffic Feeds Onto Single Lane on Ventura
- Traffic Backs Up on Sepulveda Boulevard As Far North as Burbank Boulevard To Enter Single Lane on Ventura
- Traffic Backs Up on Kester Avenue As Far North as Burbank Boulevard To Enter Single Lane on Ventura
- Horribly Complex Intersection!
- All Traffic Feeds Into Single Right-Turn Lane on Ventura Boulevard
I-405 Southbound On-Ramp at Ventura
- Traffic Hot Spot #1
- Ramp has two traffic lanes
- But one is an HOV lane
- Morning rush-hour traffic backs up on Ventura
- Dangerous congestion
- Both westbound and eastbound
- Westbound Ventura traffic is stuck in a single right lane
- Which backs up on Ventura and around corner onto Sepulveda
- With additional traffic from private alley behind Galleria center
- Eastbound Ventura traffic is stuck at an ineffective left-turn arrow
- Because HOV lane effectively makes only a single on-ramp available to most eastbound traffic
Current Single-Lane On-Ramp at Ventura
HOV LANE
Restricts entering traffic flow
I-405 Southbound
Eastbound Ventura
HOV Only
Westbound Ventura
Traffic Southbound on Sepulveda at Ventura
Traffic Westbound on Ventura at Sepulveda
Traffic on Galleria Way (private alley)
- Alley used to bypass Sepulveda-Ventura intersection
- Adds further traffic accessing single lane onto I-405 southbound
Ventura Eastbound Traffic from Encino
- Eastbound traffic trying to make left turn from Ventura Boulevard to I-405 on-ramp southbound
- Left-turn arrow ineffective because on-ramp is full
- And HOV lane is restricted
Short-Term – Reconfigure Existing Lanes
Eliminate HOV Lane
I-405 Southbound
Eastbound Ventura
Westbound Ventura
Add Second Right-Turn Lane
Long-Term – Add Third On-Ramp Lane
Add New Third On-Ramp Lane
I-405 Southbound
Eastbound Ventura
Westbound Ventura
Hot Spot #2 – I-405 Ramps at Burbank
Three Through Lanes Not Fully Utilized
EFFECTIVELY SINGLE-LANE ON-RAMP
Only Single Left-Turn Lane Really Available
Rush-Hour Traffic Backs Up Across Sepulveda
SHORT “POCKET” LANE
Ineffective “Pocket” Left-Turn Lane Is Useless
I-405 Ramps at Burbank Boulevard
- Traffic Hot Spot #2
- Effectively only a single left-turn lane from westbound Burbank to southbound I-405 is available
- Second “pocket” left-turn lane is too short to be effective
- Traffic backs up on Burbank across Sepulveda
- Creating dangerous traffic situations
- Other on- and off-ramps also constricted by complex traffic flows
Morning Traffic Backup Across Sepulveda
Most Cars Trying To Reach Left-Turn Lane
Short-Term – Add Second Left-Turn Lane
Add Straight/Left-Turn Lane Extending from Sepulveda Boulevard
Eliminate Short “Pocket” Left-Turn Lane
Retain Existing Long Left-Turn Lane
Burbank Boulevard
Long-Term – Add Flyover Ramp
Add Flyover Ramp from Westbound Burbank to Southbound I-405
Hot Spot #3 – Single Turn Lane to WB I-101
I-101 (Ventura Freeway) Westbound
Straight Lane Ends Under Freeway
Two On-Ramp Lanes Converge To Single Lane
SINGLE DEDICATED LANE
Only Single Dedicated Right-Turn Lane onto Westbound I-101 (Ventura Freeway)
Southbound Woodman
I-101 Westbound On-Ramp at Woodman
- Traffic Hot Spot #3
- Only a single dedicated right-turn lane from southbound Woodman to Westbound I-101 is available
- Three lanes continue straight
- But rightmost lane terminates under freeway
- Creates traffic backup and hazard
- Rush-hour traffic backs up on Woodman well north of Riverside
- And also on Riverside
- On-ramp has two lanes
- But reduces to single lane
- With traffic signal set for two cars per green
Morning Traffic at I-101 WB On-Ramp
Short-Term – Add Second Right-Turn Lane
I-101 (Ventura Fwy) Westbound
Eliminate optional straight lane
Southbound Woodman
SECOND RIGHT-TURN LANE
Add Second Dedicated Right-Turn Lane for Better Access
Long-Term – Extend On-Ramp Lanes
EXTEND BOTH ON-RAMPS INTO FREEWAY
Both Individually Metered
Ensure Developers Mitigate Traffic
- Establish formula whereby developers pay into a mitigation fund for every car that cannot be mitigated
- Fund used for shuttle service that removes equivalent numbers of cars from the roads
Trolley
Park once and travel via trolley to enjoy our two and a half miles of retail, dining and entertainment.
Trolley along Ventura Blvd.
A Vision for Sherman Oaks
OPPORTUNITIES/ GATEWAYS/ ELEMENTS THAT WILL ENRICH SHERMAN OAKS
Prepared by
Jennifer Charles & Jacqueline Diamond
SHERMAN OAKS NEIGHBORHOOD COUNCIL
Survey Area
- Ventura Blvd. from Sepulveda Blvd. to Fulton Avenue
- Van Nuys Blvd. from Ventura Blvd. to the 101 Freeway
Our Objectives
- Identify potential locations for planted medians (to identify Sherman Oaks as a neighborhood and contribute to safer pedestrian crossings)
- Identify opportunities to make existing pedestrian crosswalks safer (by adding planted medians, planted bump-outs, and/or Rectangular Rapid Flash Beacons (RRFB) at non-signaled crossings)
- Identify locations for new pedestrian crosswalks (ideal to provide safe pedestrian crossing every 1/8 mile minimum along Ventura Blvd. to encourage walking and reduce car trips)
Map of Existing Street Conditions
- (1) existing planted median & (3) existing marked crosswalks (not at signaled intersections)
- (22) signaled intersections with marked crosswalks
The 5-minute walk (1/4 mile) is considered a design standard and is the average distance that a pedestrian is willing to walk before opting to drive.
Providing safe pedestrian crossings every 1/8-mile (minimum) encourages pedestrian activity along Ventura Blvd.
For example, when traffic lights are located 1/4-mile apart, a pedestrian crosswalk should be introduced halfway between to facilitate safe pedestrian crossing.
This orange 1/4-mile diameter circle (to the right) will be placed on subsequent diagrams as a device to help check map distances.
Reference: Planted Medians
- Act as gateways into and through neighborhood
- Provide mid-street rest areas at pedestrian crosswalks
- Can have low and/or high plantings
- Can consist of hardscaped areas where drive-over curbs are desired or cost/maintenance of planted areas is a factor
Ventura Boulevard & Cedros Avenue – Sherman Oaks, CA Long Beach, CA
Reference: Bump-outs
- Provide mid-block at pedestrian crosswalks
- Allow pedestrian greater visibility before crossing street
- Provide planting opportunities as an extension of existing sidewalks
North Beverly Drive – Beverly Hills, CA
General Survey Area Observations
**Observation:**
- Resolution of different street grids (flat & hill) with angled Ventura Blvd.
- Many streets stop/start/jog at Ventura Blvd. (creating T conditions)
- On blocks with no back alley access, multiple driveways dump on Ventura Blvd.
- On Ventura Blvd. & Van Nuys Blvd., center turn lane used for parked trucks (loading/unloading)
- On Ventura Blvd. & Van Nuys Blvd., center turn lane used for emergency vehicles and disaster response
- On Ventura Blvd., some parking lanes turn into traffic lanes during rush hours
**Possible Impact:**
- Creates unique conditions that could benefit streetscape
- May allow bump-out and median opportunities
- May limit the use of medians and bump-outs as cars need more areas for turning in/out
- May limit the use of medians
- May limit the use of medians
- Pedestrian bump-outs cannot be used in these areas
Ventura Blvd: Sepulveda to Kester
- Enhance existing crosswalks at Columbus Avenue and Lemona Avenue (next slide) with Rectangular Rapid Flash Beacons (RRFB), planted medians, and/or bump-outs (south side of Ventura Blvd.)
Crosswalk Detail: Ventura @ Lemona
VENTURA-BLVD
LEMONA AVE
BUS STOP
MEDIAN AND/OR BUMP OUT
ENTRY
EXIT
CHABAD
Ventura Blvd: Kester to Van Nuys
- Provide planted median at Willis Ave. signaled intersection in conjunction with proposed Plaza
- Enhance existing crosswalk mid-block between Vesper & Van Nuys with bump-outs (next slide)
Crosswalk Detail: Ventura West of Van Nuys
Van Nuys Blvd: Ventura to the 101
Hortense Street
Milbank Street
Moorpark Street
Ventura Boulevard
1/4 mile walking diameter
Proposed Planted Bump-out
Proposed Planted Median
Proposed Planted Bump-out
A Vision for Sherman Oaks – Beautification Study
Crosswalk Detail: Van Nuys @ Milbank
- Provide planted bump-out spanning 2 crosswalks
Ventura Blvd: Van Nuys to Hazeltine
- Provide new crosswalk mid-block between Van Nuys & Tyrone with Rectangular Rapid Flash Beacons (RRFB), planted median and/or bump-out; median serves as gateway to Sherman Oaks Village
- Provide planting at existing crosswalk at Tyrone (next slide)
- Provide new crosswalk with RRFB and bump-out at Calhoun and new median at Stansbury
- Future mid-block crosswalk needed between Tyrone & Calhoun
Crosswalk Detail: Ventura @ Tyrone
- Extend existing crosswalk island to provide planting beds
Ventura Blvd: Hazeltine to Woodman
- Provide planted medians west of Hazeltine & west of Matilija
- Provide planted median and/or bump-out at Stern signaled crosswalk
- Future mid-block crosswalk needed between Hazeltine & Stern
Ventura Blvd: Woodman to Fulton
- Provide new crosswalk with Rectangular Rapid Flash Beacons (RRFB) and bump-out at Ventura Canyon Avenue (next slide) and new planted median west of Alcott
- Provide new crosswalk with RRFB, planted median and/or bump-out at Nagle
Crosswalk Detail: Ventura @ Ventura Canyon
Overview of Proposed Landscape Improvements
- Installation of (11) planted medians, (11) planted bump-outs, (4) pedestrian crosswalks, and (6) Rectangular Rapid Flash Beacons (RRFB)
The first impression should be a beautiful landscaped welcome to Sherman Oaks.
Opportunity for a landscaped gateway.
We have several opportunities to add landscaped medians to beautify our community.
ADDITIONAL LANDSCAPED MEDIAN
A COMMUNAL GATHERING PLACE, ALLOWING FOR PEOPLE TO MEET, ENJOY A COFFEE, READ, PEOPLE WATCH, A WATER FEATURE AN AMPHITHEATER
VENTURA BLVD.
PROPOSED SHERMAN OAKS PLAZA
A Vision for Sherman Oaks
OPPORTUNITIES/ GATEWAYS/ ELEMENTS THAT WILL ENRICH SHERMAN OAKS
Prepared by:
Craig Buck
SHERMAN OAKS NEIGHBORHOOD COUNCIL
Developing the L.A. Riverwalk in Sherman Oaks
The mission of the Ad Hoc River Committee is to develop and coordinate improvements to the L.A. River and its banks along its run in Sherman Oaks. The goal is a scenic, wildlife-friendly river and a pedestrian walkway (and eventual bike path) that is:
- Beneficial to the entire community
- Functional
- Aesthetically appealing (where possible)
- Landscaped with drought-tolerant native plants
- Safe
- Low maintenance
- Maintained with long-term commitments
- Funded and completed in a timely fashion
Revitalization Master Plan
The master plan for the Revitalization of the L.A. River:
• More than 20 years in the making
• Approved by the City Council in 2007
• More a wish list than an actual plan
The Army Corps of Engineers has narrowed its potential approaches to this Plan down to two alternatives:
• Alternative 13
- The Army Corps of Engineers likes because it's the cheapest
• Alternative 20
- The Mayor and River advocates prefer because it's the most ambitious of the Corp’s limited plans
Our Stretch of the River and the City Master Plan
Both Corps alternatives focus on an eleven-mile stretch of the river that doesn't reach into the Valley.
• One reason for this is that the eleven miles in question are primarily soft-bottomed, which makes renovation significantly cheaper, giving the Army Corps more bang for its buck.
• In Sherman Oaks they'd have to punch holes in or remove the concrete bottom...
• For natural vegetation to regenerate
• To reclaim water instead of dumping it into the ocean
NO Federal Funds
Because the Corps plans don’t reach the Valley, we shouldn't expect any Federal money for local improvements in the near future. Instead we must rely on:
• **State, County or City funds**
- This could include creative approaches such as asking MTA for funds to connect the Orange and Red Line bike paths to the eventual Riverwalk bike path.
• **Private development funds**
- In Studio City, California Homes has already adopted a stretch of the river to develop and maintain across the street from their condo projects.
• **Public/private partnerships**
Strategic Partners
So as not to reinvent the wheel, we propose aligning with partners who have already built a foundation for developing L.A. River projects.
• The Village Gardeners
• Headquartered in Studio City, they have been greening local stretches of the river for five years
• They have three current projects within the boundaries of Sherman Oaks
• We are working with President Rick Rabins
• Greenway 2020
• L.A. River Corp campaign, Greenway 2020, is dedicated to connecting all 51 miles of the river by the year 2020.
• We are working with Coordinator Maria Camacho
• Council District 4
• We are working with Dep. Chief of Land Use and Planning Jonathan Brand
The Riverwalk in Sherman Oaks
The Riverwalk, as currently being completed in Studio City, will continue through Sherman Oaks. Here is a piece of the Village Gardeners plan:
Current Riverwalk Projects in Sherman Oaks
• 1. MIXED MEDIA PROJECT
Natural pebble mosaic of one of a steelhead trout, embedded in a concrete spillway at Valleyheart and Ethel
• 2. TRIANGULAR POCKET PARK
Currently a concrete eyesore in front of St. Francis de Sales Church
• 3. MOORPARK POINT RIVERWALK
From the Fulton Bridge to Moorpark near Dixie Canyon
1. Steelhead Trout Mural (mixed media project)
The steelhead trout is one of seven fish native to the L.A. River. Commissioned from artist Kevin Carman, the piece will be made of natural stones embedded four inches deep into a newly poured concrete spillway to make it virtually indestructible.
This mural will be an impressive piece of public art, measuring ten by twenty feet. It will be accompanied by educational plaques describing the steelhead’s role in our culture and history.
1. Proposed Mural
For The Village Gardeners
Kevin J. Carman 2013
2. Triangle Pocket Park
1. Secure commitment from St. Francis de Sales for ongoing maintenance via community service projects for school children
2. Finalize structural design
3. Solicit designs for concrete stamping, mosaic murals or other artistic motifs for the concrete planters
4. Secure approvals from the City and/or County
5. Solicit bids for hardscape and landscaping
6. Raise public/private financing (offer naming rights)
7. Arrange bonds/insurance through Village Gardeners
8. Build the park
2. Triangle Pocket Park
ST. FRANCIS DE SALES COMMUNITY ENHANCEMENT PROJECT
TIOLO - MAYET ASSOCIATES LANDSCAPE ARCHITECTURE PLANNING URBAN DESIGN
LEGEND
- EXISTING ASPHALT IN PLACE
- LAYER OF 6"-12" ROUND GRANITE BOULDERS
- SAVE EXISTING ASPHALT IN PLACE
- ADD: SHADE TREE
- POTENTIAL RUNNING TRAIL
- ADD: DECORATED GRANITE WALKING SURFACE AREA PAVEMENT
- EX. ASPHALT PAVING
- EX. WATER METER
- EX. AREA OF DEGRADED ASPHALT
- EX. FENCE
- EX. SIDEWALK CONCRETE
- (12) PRE-CAST CONG. PLANTERS WITH SMALL FLOWERING TREE
- CONCRETE BOLLARDS
- K.A. RIVER GATEWAY
- CHURCH SITE
- MOORPARK STREET
3. Moorpark Point Riverwalk
- Clearing non-native plants and new landscaping is underway through The Village Gardeners and their volunteers (including court ordered community service)
- Funds are being solicited for hardscaping
### PLANT LEGEND
| Symbol | Quantity | Size | Botanical Name | Common Name |
|--------|----------|--------|---------------------------------|---------------------------|
| S | | | *Platanus racemosa* | California Sycamore |
| C | 15 gal | | *Prunus ilicifolia* | Hollyleaf Cherry |
| T | 15 gal | | *Heteromeles arbutifolia* | Toyon |
| Ce | 2 | 1 gal | *Ceanothus griseus horizontalis*| Wild Lilac |
| | | | *var. cuneatus* | |
| CEH | 8 | 1 gal | *Ceanothus 'Ray Hartman' 'Woods Compacta'* | Ray Hartman Lilac |
| E | 44 | 1 gal | *Encelia californica* | California Encelia |
| P | 21 | 1 gal | *Penstemon heterophyllus* | Fourtill Penstemon |
| MP | 14 | 1 gal | *Rumexs coulteri 'White Cloud'*| Matilija Poppy |
| LF | 13 | 1 gal | *Lessingia c 'Silver Carpet'* | Silver Carpet aster |
| AS | | | *Arctostaphylos s.* | Manzanita |
| SB | 26 | 1 gal | *Bisynchium bulbos* | Blue-eyed grass |
| LC | 25 | 1 gal | *Leymus c 'Canyon Prince'* | Canyon Prince wild rye |
Future Projects
There are areas of opportunity that might be repurposed to create parks along the river. A few we have identified are:
• **Adjacent to the Sunkist Building**
• Currently leased to AAA and U-Haul
• **Between Castle Park and the Fire Station**
• Both sides of the river have potential
• **Unidentified areas**
• We have identified opportunities as examples only. A survey should be made of the entire run of the river in Sherman Oaks
The City has plans to extend a bike path from the north valley all the way to Long Beach along the L.A. River, hopefully by 2020. This may or may not entail bridges over major streets. We must track these plans and ensure that where the bike path passes through our community it meets our local needs and makes best use of committed resources.
Where the quality of improvements in Sherman Oaks is limited by public resources, we should endeavor to devise plans and raise additional funds to maximize the potential of our portion of the L.A. River.
The Grand Scheme
The plan to turn our much-maligned municipal drainage ditch into a green 51-mile long park and water reclamation system is a grand scheme, indeed. But it is already underway and clearly achievable.
Our job as a community is to take ownership and stewardship of our stretch of this grand scheme so that it enhances our quality of life and promotes the ambitious goals embodied in our Master Plan.
We have several opportunities for commercial development along the river in Sherman Oaks.
Commercial Sites Along the River
A Vision for Sherman Oaks
OPPORTUNITIES/ GATEWAYS/ ELEMENTS THAT WILL ENRICH SHERMAN OAKS
SHERMAN OAKS NEIGHBORHOOD COUNCIL
Parking Opportunity Sites
Encourage the development of shared parking on critical sites in Sherman Oaks
Opportunity Sites include:
- Existing P-Zones
- Proximity to retail on Ventura
- Desirability of sites for mixed-use, shared parking projects
- Near existing and future transit stops
PARKING CONCEPT
PARKING STRUCTURES IN COMBINATION WITH APARTMENTS ALONG MOORPARK AND DICKENS CAN SUPPORT RETAIL
Objectives in parking
- Encourage upgrading and redevelopment of commercial uses along Ventura
- Incentivize developers to build shared parking into their projects
- Patrons park once and walk to numerous stores and restaurants
- Signs directing patrons to garages
- Electronic signs outside garages showing number of available parking spaces
The ultimate goal is to make Ventura Boulevard more pedestrian-friendly so patrons WANT to walk.
A Vision for Sherman Oaks
OPPORTUNITIES/ GATEWAYS/ ELEMENTS THAT WILL ENRICH SHERMAN OAKS
SHERMAN OAKS NEIGHBORHOOD COUNCIL
Prepared by:
Mikie Maloney
Joan Pelico
Our Objectives
• Outreach
• To succeed, A Vision for Sherman Oaks must be a cooperative venture between business, residential and government interests in Sherman Oaks. The Vision study groups will help get the word out to potential partners from each constituency to move the Vision forward.
Our Objectives
• **Outreach – Short Term**
• Identify Sherman Oaks stakeholders and educate them on the **Vision**. Form a working relationship with them to continue moving forward. To date presentations have been made to the Sherman Oaks Chamber of Commerce, the Sherman Oaks Homeowners Association, the Sherman Oaks BID, the Sherman Oaks Neighborhood Council, VICA, Council District 4 and individual commercial property owners. The response has been supportive and enthusiastic.
• Identify individuals within specific communities of interest who will join together to support the **Vision** goals and educate their peers: commercial property owners, major realtors, business interests – especially food and entertainment venues, residential interests, major development entities and representatives.
• Identify Ventura Boulevard in Sherman Oaks as one of the Mayor’s Livable Streets. Coordinate with the Mayor’s Office on community issues.
• Identify possible sources of funding for beautification projects, transportation improvements, and possible property purchases.
Our Objectives
• Outreach – Long Term
• Work with government agencies to develop continued involvement in and support of the Vision: DOT, Rec and Parks, LAPD, LAFD, Planning Dept/River Liaisons, Cultural Affairs, County Flood Control District, U.S. Corps of Engineers, Caltrans, Metro, city, state and federal government representatives.
• Work with Sherman Oaks property owners to view their holdings in light of A Vision for Sherman Oaks.
• Work with Sherman Oaks Elementary School to develop ideas for the Plaza.
• Work with the Sherman Oaks Senior Center to develop support for and participation in beautification projects.
• Work with the Sherman Oaks Library to post information on the Vision.
• Work with private and non-profit organizations: Friends of the L.A. River, Tree People, Bike Coalition, neighborhood groups such as FOWLA, Village Gardeners, Sherman Oaks and Studio City Beautification Committee.
Our Objectives
• Apply for funding for projects. Develop partnerships with commercial interests.
• Promote the Vision in the community. Conduct public outreach. Promote the Vision with businesses and at opportunities like the Sherman Oaks Street Fair.
• Develop ways to celebrate the Vision and the community.
• Access Quimby Funds for park improvements (River) and identify public art funds.
Addendum
Concept Diagrams
CONTEMPORARY LIGHTING.
SHARROW LANE & BIKE CORRAL STATION.
CURBSIDE TREE WELL.
PLACE-MAKING PLAZA
PERMEABLE SOFTSCAPE PLAZA W/ CORTEN STEEL SIGNAGE, SCULPTURE AND LIGHTING.
PEDESTRIAN LIGHTING / BOLLARDS FOR SAFETY BARRIER AROUND TURN.
CONTINENTAL CROSSWALK W/ RECESSED TRAFFIC LINE.
MIXED-USE RETAIL FLOOR LEVEL W/ EXTERIOR SERVICE PATIO.
CENTER LINE PLANTERS W/ LOW GROWTH PLANT MATERIAL AND EXTENDED SIDEWALK.
BEAUTIFICATION
LANDSCAPED MEDIAN
GATEWAY LANDSCAPING
RETAIL
HOUSING
MIXED USE
A Vision for Sherman Oaks
PARTNERING
WITH DEVELOPERS
WITH THE BUSINESS COMMUNITY
WITH CITY AGENCIES
HOUSING
OFFICE
RETAIL
MIXED USE
A Vision for Sherman Oaks
A Vision for Sherman Oaks
A Vision for Sherman Oaks
A Vision for Sherman Oaks
WHAT AN OPPORTUNITY!!!
REC & PARKS
WE MUST BE PROACTIVE
A Vision for Sherman Oaks
A Vision for Sherman Oaks
We want to acknowledge:
Office of Councilmember Tom LaBonge
Carolyn Ramsay, Chief of Staff
Jonathan Brand, Chief Planning Deputy
Tommy Newman, Sherman Oaks Field Deputy
Sherman Oaks Neighborhood Council, Jill Banks Barad, President
Sherman Oaks Land Use Committee, Ron Ziff, Chairperson
For their support and guidance.
Thank you,
Jeffrey M. Kalban, A.I.A.
A Vision for Sherman Oaks Chairperson
SHERMAN OAKS NEIGHBORHOOD COUNCIL
LAND USE COMMITTEE
|
In this issue:
4. **Real-Time Visual Analytics: An Experiential Learning Activity for Undergraduates**
Paul Stephens, Bradley University
Jacob Young, Bradley University
13. **eXtensible Computing Curriculum Reporting Language (XCCRL)**
Jeffry Babb, West Texas A&M University
Jason Sharp, Tarleton State University
Leslie Waguespack, Bentley University
Amjad Abdullat, West Texas A&M University
Kareem Dana, West Texas A&M University
28. **Encouraging Lifelong Learning through Tech Explorations**
Jim Marquardson, Northern Michigan University
38. **The impact of an interactive textbook in a beginning programming course**
Joni K. Adkins, Northwest Missouri State University
Diana R. Linville, Northwest Missouri State University
Charles Badami, Northwest Missouri State University
46. **Cloud Based Evidence Acquisitions in Digital Forensic Education**
Diane Barrett, Bloomsburg University of Pennsylvania
57. **Teaching Applications and Implications of Blockchain via Project-Based Learning: A Case Study**
Kevin Mentzer, Bryant University
Mark Frydenberg, Bentley University
David J. Yates, Bentley University
86. **Class Participation and Student Performance: A Tale of Two Courses**
Ernst Bekkering, Northeastern State University
Ted Ward, Northeastern State University
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### 2020 Education Special Interest Group (EDSIG) Board of Directors
| Name | Institution | Position |
|-----------------------------|--------------------------------------------------|-------------------|
| Jeffry Babb | West Texas A&M | President |
| Eric Breimer | Siena College | Vice President |
| Leslie J Waguespack Jr. | Bentley University | Past President |
| Jeffrey Cummings | Univ of NC Wilmington | Director |
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| Lisa Kovalchick | California Univ of PA | Director |
| Niki Kunene | Eastern Connecticut St Univ | Treasurer |
| Li-Jen Lester | Sam Houston State University | Director |
| Michelle Louch | Carlow University | Director |
| Rachida Parks | Quinnipiac University | Membership |
| Michael Smith | Georgia Institute of Technology | Secretary |
| Lee Freeman | Univ. of Michigan – Dearborn | JISE Editor |
Copyright © 2020 by Information Systems and Computing Academic Professionals (ISCAP). Permission to make digital or hard copies of all or part of this journal for personal or classroom use is granted without fee provided that the copies are not made or distributed for profit or commercial use. All copies must bear this notice and full citation. Permission from the Editor is required to post to servers, redistribute to lists, or utilize in a for-profit or commercial use. Permission requests should be sent to Jeffry Babb, Editor, email@example.com.
INFORMATION SYSTEMS EDUCATION JOURNAL
Editors
Jeffry Babb
Senior Editor
West Texas A&M University
Thomas Janicki
Publisher
U of North Carolina Wilmington
Donald Colton
Emeritus Editor Brigham Young University Hawaii
Anthony Serapiglia
Associate Editor
St. Vincent College
Jason Sharp
Associate Editor
Tarleton State University
Paul Witman
Teaching Cases Co-Editor
California Lutheran University
Ira Goldsten
Teaching Cases Co-Editor
Siena College
2020 ISEDJ Editorial Board
Joni Adkins
Northwest Missouri St Univ
Melinda Korzaan
Middle Tennessee St Univ
James Pomykalski
Susquehanna University
Wendy Ceccucci
Quinnipiac University
James Lawler
Pace University
Bruce Saulnier
Quinnipiac University
Ulku Clark
U of North Carolina Wilmington
Li-Jen Lester
Sam Houston State University
Dana Schwieger
Southeast Missouri St Univ
Amy Connolly
James Madison University
Michelle Louch
Duquesne University
Christopher Taylor
Appalachian St University
Christopher Davis
U of South Florida St Petersburg
Jim Marquardson
Northern Michigan Univ
Karthikeyan Umapathy
University of North Florida
Gerald DeHondt II
Ball State University
Richard McCarthy
Quinnipiac University
Peter Y. Wu
Robert Morris University
Mark Frydenberg
Bentley University
Muhammed Miah
Tennessee State Univ
Jason Xiong
Appalachian St University
Scott Hunsinger
Appalachian State University
RJ Podeschi
Millikin University
Real-Time Visual Analytics: An Experiential Learning Activity for Undergraduates
Paul Stephens
firstname.lastname@example.org
Jacob Young
email@example.com
Bradley University
Peoria, IL
Abstract
We describe a “Day of Giving” university fundraising event that can be used to introduce data visualization to undergraduate students. The project involves integrating data sources, creating a Tableau data model, and designing a heat map that can be embedded into a front-end website. Our activity provides opportunities to discuss various technological concepts, such as: client/server networks, front end web development, backend database servers, database design, sources of data, data preparation and cleaning, data management, webhooks, real-time data collection, and visual analytics. For the purpose of this paper, we focus on concepts related to sources of data, real-time data collection, visual analytics, and webhooks, as well as security and ethics issues that arise from these activities. Additionally, we explain how instructors can choose to implement the activity as an exercise during a single class session or as a team project over a longer period. Both approaches provide students with experiential learning opportunities in data analytics. First, we outline fundamental concepts for instructors to introduce at the start of the activity. Second, we introduce the context for the activity, a heat map to display donation amounts by location in real-time. Third, we discuss the tools we used to feed data to the visualization. Fourth, we describe steps for instructors to follow to replicate the project. Lastly, we provide discussion points to explore security and ethics issues related to data analytics.
Keywords: analytics, data visualization, experiential learning, pedagogy
1. INTRODUCTION
A conceptual discussion of how technology works provides the basis for experience. A hands-on experience with technology helps students retain concepts (Christen, 2009; Hsiao, Chen, Lin, Zhuo and Lin, 2019). Such experiences are sometimes difficult to create in a classroom environment due to time constraints (Gillies and Boyle, 2010; Le, Janssen and Wubbels, 2018) and the availability of the appropriate technology isolated from campus networks (Mew, 2016). Entry level, undergraduate courses need to introduce technical concepts to students who often have very limited hands-on experience with technology. And, these students need positive encounters that enhance their technological self-efficacy (MacLeod, Yang, Zhu and Shi, 2018).
A key concept to address when introducing business analytics is the use of data visualization to aid decision making (Adkins, 2016). For some organizations, it is also important that visualizations to be provided in real-time (Toasa, Maximiano, Reis and Guevara, 2018). While
providing students with data visualization experience is generally straightforward, creating hands-on experiences that simulate the collection of real-time data is more challenging. A common example of real-time data collection that will be familiar to students is a dynamic Internet website.
Most universities collect real-time data that they want to share with internal and external stakeholders. An example would be when the Advancement office at the university wants to show the result of a fundraising campaign. Fundraising events and their results are often shared online publicly. In this paper, we demonstrate how an institutional need can be leveraged into an experiential learning activity, an in-class exercise, or a team project. In our exercise, students create a Tableau heat map for a “Day of Giving” which is updated in real-time as donations flow to the website. The links between the Tableau heat map and the website are created via webhooks using free, open source applications. The event can be introduced as a mini-case and the activity can be replicated as a simulation where the instructor walks the class through the process. The concepts, case, and activity could be integrated into an undergraduate introductory business analytics course, a visual analytics course, or even an ecommerce course.
Prior to facilitating the class activity, instructors should present students with conceptual information in support of the mini-case and in-class project. This can be done in a variety of ways, but we suggest two possibilities: (1) as part of a class lecture or (2) as a flipped learning activity outside of class. Our case provides opportunities to discuss various technological concepts, such as: client/server networks, front end web development, backend database servers, database design, sources of data, data preparation and cleaning, data management, webhooks, real-time data collection, and visual analytics. For the purpose of this paper, we focus on concepts related to sources of data, real-time data collection, visual analytics, and webhooks, as well as security and ethical issues that arise from these activities.
2. THE CONCEPTUAL INTRODUCTION
In the conceptual introduction, instructors should discuss data sources, data preparation, visual analytics, real-time data collection, and webhooks. If presenting the material in class via lecture, we recommend that response system software be used to engage the students in discussion and feedback. If a flipped learning activity is required outside of class time, then we recommend that a graded quiz, implemented through the university learning management system, be developed to ensure that each student covers the material prior to the in-class activity. In this section, we provide a brief synopsis of the conceptual material that should be covered before beginning the in-class project.
Data Sources, Preparation, and Cleansing
A discussion on data sources should include where data can be found, various data formats, types of data, data messiness, and the need to clean and prepare data prior to analysis. Issues like the size of the data source, the accuracy of the data, data security, and data redundancy should be discussed. Instructors should also introduce relational databases and referential integrity concepts. Something simple like a Microsoft Excel workbook can be used to illustrate all the potential problems that lead to data difficulties and the need to clean and prepare data. An overview of a tool like Tableau Prep Builder could also be used to discuss data cleansing and preparation.
Visual Analytics
Next, instructors should provide background on the purpose and function of visual analytics. Data visualization helps people more easily understand information contained in data as opposed to viewing raw data or a mathematical algorithm. Visualization also helps people grasp difficult concepts and identify patterns in data. A variety of resources are available to illustrate the power of information visualization (e.g., Ware, 2012). The forecasting tool built into Microsoft Excel could be used to illustrate these points.
Leveraging Real-Time Data Collection
Instructors should explain what “real-time” means in terms of computer systems. A point to emphasize is that a system processing event generates a signal that indicates an event has occurred. That signal can act as a trigger to access and gather data associated with the event. To extend the conversation, the importance of real-time data analytics to decision making can be illustrated in examples like stock trading, hospital patient care, inventory management, or fraud detection. The most common type of real-time data visualization is a dynamic Internet website, such as database driven websites. A simple example that students can understand is a baseball website, where the data being displayed changes with every pitch during a game.
Students can also relate to social media examples. Illustrating how businesses scrape Twitter data in real time to perform analysis on trending hashtags in order to refine their marketing campaigns is a relevant business example that students understand.
**Extract-Transform-Load (ETL) Webhooks**
Students also need to understand that a webhook is a method used to deliver data from one application to another in real-time. The system events that serve as the triggering events for the webhook are described while introducing the importance of real-time data analytics. Webhooks look for a specific event (e.g., when a customer completes a purchase on an ecommerce site). A couple of examples can be mentioned, such as MailChimp, which uses a webhook to signup visitors of a website to a newsletter, or PayPal, which uses a webhook to tell QuickBooks that a client has paid their invoice.
### 3. THE MINI-CASE AND IN-CLASS ACTIVITY
The idea for an in-class data visualization activity emerged from an undergraduate independent study where one of our students completed a similar project based on an actual need at the university. Internal civic engagement projects not only aid both the university and the students but can often be turned into in-class activities that provide experiential learning opportunities.
The mini-case that we developed centers around a university advancement event called a “Day of Giving”. Most universities are non-profit organizations that rely on donations to help fund the operations of the academy. A “Day of Giving” is one tactic institutions use to garner donations. The idea is to set aside a special day to celebrate the university and to recognize all the people who care for and support the institution. Stakeholders are then targeted for donations on that day. A running total of donations is captured and presented to the public through a website.
We discuss how alumni and other friends of the university are located throughout the United States. The university advancement team recognizes that a geographic heat map of donor generosity, presented in real-time, would be an interesting addition to their “Day of Giving” website. The purpose of this visual would be two-fold. First, it represents the geographic breadth of giving, and second, it creates a sense of visual competitiveness. You can imagine a potential donor viewing the map and thinking “my state, my city, is giving the most. We are winning.” However, the advancement team is not sure how to bring the idea to fruition, so they use their internal contacts to ask for help. A management information systems instructor offers to have undergraduate students create the heat map at no additional cost to the university.
### 4. TECHNICAL ASPECTS OF THE PROJECT
The independent study project consisted of four parts using four different tools. First, the university was contracted with MobileCause, a fundraising service that provided a front-end website that acted as the “day of giving” interface to capture donations and location data. To maintain consistency, we emulated the MobileCause website used by the university for their actual day of giving.
Second, we used Stitch, an open source extract-transform-load (ETL) application that allows for webhook integration. Stitch collects the data “ping” from the front-end website and delivers the data to our data warehouse. Stitch is a good choice for this project because the service is free for the first five million rows of data. Given the limited scope of our project and in-class activity, we were not concerned with exceeding the five million row limit.
Third, we used data.world as our cloud data warehouse. We chose data.world to host the data because it was free to use and integrate with Stitch. The free individual account allows for 3 projects/databases with a 100MB limit per project/database.
Lastly, we selected Tableau as our data visualization tool. We connected Tableau to our data.world database and built the data model using the geographic data. Once everything was fully configured, the heat map was embedded into the front-end website (see Figure 1).
Various aspects of the project could be built either ahead of time or as part of the in-class project depending on the needs of the course. The front end (donation website) and back end (Tableau data model and heat map) can be prepared for the students or the students could build them from scratch or finish either end as needed. For our in-class activity, we created the front-end website ahead of time, identified the additional data sources for the Tableau model, then cleaned and prepped those sources. The students can then create the data integration, build the Tableau data model, and design the heat map.
5. IN-CLASS PROJECT PROCESS
To leverage the project into an in-class activity, we begin by previewing a donation website that consists of two simple pages and emulates an online donation website. The homepage provides an explanation of the imaginary day of giving and is where the heat map will be displayed. The second page contains a donation form.
Depending on how hands-on you want the project to be, you can use a single website or replicate the website for each student in the class. An online web hosting service provided us with a free developer account so each student in the class had their own development website.
Stitch Integration
The first step to get Stitch functional is to connect it to the donation website by adding a new integration. Stitch will integrate with a variety of sources, such as BigCommerce or Shopify. For example, with Shopify, you would create a unique integration name and provide the name of the Shopify shop you are using. The integration process between the two sources is automated. Alternatively, if you have your own web server and website, Stitch can generate a webhook URL that can be used via an HTTP POST in a PHP script. Webhooks can be generated through the integration feature on the Stitch website (see Figure 2). Either method creates an active link for real-time data collection.
The webhook integration requires a name and primary key. The primary key field should be left blank. By leaving the primary key field blank, Stitch generates a unique primary key for each data record scraped from the donation website. Once saved, Stitch generates a webhook URL that links to the front-end donation website. Data collected from the front-end website will be delivered to the webhook URL. Stitch then feeds the scraped data to a data warehouse.
Data.World Data Warehouse
After creating a Data.World account, students can create a new dataset and give it a name. Each student should then integrate their Stitch account through both Stitch and Data.World. Using the destination link in Stitch, a form will pop up and the student will enter their Data.World account ID. The data is automatically stored in JavaScript Object Notation (JSON) format. Stitch will test the connection; if the connection is successful, then the process is complete.
Finally, permissions must be granted from data.world to allow Stitch access to the data. First, go to “Your Integrations” from the data.world site. Next, edit the integration and check if it is enabled. If it is not enabled, the permissions may need to be granted. If needed, both Stitch and data.world have extremely helpful documentation that can walk you through each step of the process.
After the connection is enabled in both Stitch and data.world, the data can flow in real-time from the donation website, through Stitch, and into the data.world database. We have found that the process from donation to data.world takes roughly 15 minutes. You can have the students enter dummy data through the donation website or you can create a script and trigger it to feed some preset data into the system. In Data.World, the data can be viewed in the user account accessed via the internet. In addition, the data can be queried, if so desired. For example, you could ask students to write a query to count the number of donations over $100. We didn’t do this for the project because the main purpose of our data.world connection was its ability to integrate easily with Tableau.
Integration with Tableau
Just like with Stitch, to integrate Tableau with data.world, go to “Your Integrations” and connect to Tableau. As needed, check and enable permissions. Using the web data connector in Tableau, a connection is made to the data.world URL.
One of the issues we encountered is queries created in Tableau Desktop do not establish a live connection to the data.world data. In Tableau Server or Tableau Online, extracts can be refreshed every 15 minutes to match the feed through the pipeline. At first, we considered this a problem, but we then realized it was an opportunity to discuss the differences among Tableau versions, such as how they work in organizations that use Tableau Server versus the desktop version.
This step also provides the opportunity to discuss Tableau Bridge, a resource that can maintain connections to data sources that Tableau Online cannot reach directly.
**Tableau Data Model**
The data collected in the database includes the zip code for each person submitting a donation. Our design is based on showing donations by the 210 recognized media markets in the United States. Therefore, we need a data source that creates a relationship between the donations and the media markets. A free source of all U.S. zip codes is easy to find online. However, finding a free source that links each media market to each zip code currently doesn’t exist. A listing of media markets is available, but a considerable amount of data preparation is necessary to create the one-to-many relationships needed for the data model. We don’t take students through this process for the in-class project, but we do explain it. Depending upon your needs, it would be possible to include this step, but you would have to expand the project across multiple class periods. Given that we are introducing much of this material conceptually in a lower level undergraduate class, we don’t feel it is necessary. Although, a brief explanation might be useful for those interested in replicating the process as a class exercise.
The zip code database (see Figure 3) lists every zip code in the United States and its designated market area (DMA). These markets are geographical areas where all residents receive the same broadcast offerings, including television stations and radio stations. The bulk of the Zip code data is available for free from ZipCodes.org ([https://www.unitedstateszipcodes.org/zip-code-database/](https://www.unitedstateszipcodes.org/zip-code-database/)) and downloadable as an Excel workbook. But, the source doesn’t come with the DMA data. We added that data ourselves. For the purposes of the exercise, the two Excel workbooks (zip codes and media gps) are cleansed, prepped and ready to go. At this point in the exercise, instructors can briefly revisit the concept of cleaning and prepping data sources. As for the designated market areas workbook, that information is also downloadable from a variety of web sources. But, the GPS coordinates are not included. Instructors can review the data prepping process by demonstrating a free online geocoding tool, such as mapdevelopers.com used to find the latitude and longitude of the most prominent city in each DMA. This city served as the central point where the heatmap would place the mark to signify a donation in that DMA (see Figure 4). Both workbooks are available to interested parties upon request.
If instructors provide the students with the workbooks, then a data model consisting of two one-to-many relationships can be constructed in Tableau (see Figure 5). The transaction report is the link to the data.world database. The basic entity relationship diagram is shown in Figure 6.
**Tableau Heat Map**
Creating the simple heat map in Tableau is straightforward. Using the default circle as the mark, the sum of the collected donation amounts is used for the size, and the DMA is used for the color. The latitude and longitude from the Media Market spreadsheet are placed in the columns and rows to generate the map. We restrict it to the lower 48 states in the U.S. (see Figure 7). At this point, the instructor can feed additional data through the pipeline via the donation website and students can watch the map update in real-time.
**Adding the Heat Map to the Website**
The final step involves adding the heat map to the donation website. Using Tableau Public or Server, you generate some code to embed into the website. If you are using an online developer platform, you can simply edit the page and paste the code into the appropriate space.
Given the time restraints of a single class, we recommend having the instructor demonstrate this process. Therefore, the Tableau Public or Server account, setup, and design should be in place prior to class. During the demonstration, the instructor can explain the purpose of Tableau Public and/or Server, and how they are used.
**Final Product**
At this point, for our exercise, the final product is just a dynamic heat map embedded on a single web page without any other information. The dummy “donation” website is a work in
process and will develop into something more meaningful as we continuously improve the exercise.
This exercise evolved from an independent study where one of our students worked on an actual day of giving project for our university. If you want an idea of what the finished project might look like as we continue to refine our website for the exercise, this URL will take you to that project: https://www.bradley.edu/sites/building-bradley/
6. SECURITY AND DATA ETHICS
Due to the rise of big data and the development of increasingly powerful analytical tools, we believe that these issues must be integrated throughout the entire information systems curriculum as much as possible. Therefore, once the data visualization aspects of the in-class activity have been completed, we also encourage instructors to discuss issues related to security and data ethics.
For example, students will have access to the entire donation database, which includes the donor names and complete addresses. Yet, the only information needed to create the heat map is the donation amount and donor zip code. This provides an opportunity for instructors to demonstrate how providing analysts with full access to sensitive and identifiable data, especially data that is not needed for the task at hand, can increase the risk of a breach. Instructors can then explain the need for access controls, encryption, anonymity, and data minimization.
There are also several questions that can be discussed from a data ethics perspective. For example, many donors might wish to make an anonymous gift. If a donor elects to keep their contribution anonymous, should their donation data be included in the heat map? What if only one alumnus lives in a given zip code? Are there any other data sources that, when combined with the heat map data, might reveal the identity of an anonymous donor? Further, what disclosures should be provided on the donation website?
To reduce the risks associated with big data and data analytics, students must develop the ability to identify ethical issues and potential threats to privacy and security prior to accessing data. Including an ethical component and discussing how technological advancements can sometimes lead to negative outcomes will help students recognize and mitigate similar risks in the future.
7. CONCLUSION AND STUDENT FEEDBACK
For many years, pedagogical research has recognized the value of learning with technology rather than simply learning about technology (Schultdt, 1991; Podeschi, 2016). Today, researchers recognize hands-on, class projects as active, experiential learning tools for students well suited to a flipped classroom approach (Wu, Manohar and Acharya, 2016). Our data visualization activity presents such an opportunity for instructors. We can see it being used in an introductory business analytics course, a database course, or even as part of a survey course on electronic commerce. It should be noted that our experience with the exercise is nascent. We haven’t tried it out in multiple courses but the plan is to do that and collect additional information in the process. We did interview students, post exercise, to gain insights into the experience and to further improve the activity.
In general, the students felt that the exercise brought the conceptual material to life. And, they appreciated getting some actual hands-on experience with technologies that most of them had never heard of let alone used. Their main criticism was that they felt a little lost because they really hadn’t absorbed the conceptual material to the point where they could connect specific material to individual parts of the exercise itself. This seems to be a pedagogical design issue. It might be best to intermingle the conceptual material and in-class activity over two class periods. This would force us to slow down and use tools like in class polls to see how well the students are connecting the conceptual material to each part of the project.
We would posit that the in-class exercise allows individual instructors to have some flexibility in how they manage their time constraints, how much setup to complete prior to class, and how they want students engaged in the project. For our purposes, we see this project as appropriate for students learning about these concepts and tools for the first time. We want to keep it simple and limit the amount of actual hands-on work. Given the variation in student abilities, their technological self-efficacy, and the possibility of technological glitches, this exercise can be accomplished in a single 75-minute class period. But, we will continue to experiment with the pedagogical design.
The purpose of our exercise is to give meaning to the conceptual discussion by letting students perform some of the tasks necessary in making the project work without needing multiple class periods. At the same time, we recognize the opportunity to turn this into a full-scale project that could be required as an assignment outside of class time. We believe such a project would be more appropriate for advanced undergraduate students. Our hope is that this paper would provide the groundwork for anyone who would want to develop such a project for students.
8. REFERENCES
Adkins, J. K. (2016). Progression of a Data Visualization Assignment. *Information Systems Education Journal*, 14(6) pp 20-26.
Christen, A. (2009). Transforming the classroom for collaborative learning in the 21st century. *Techniques: Connecting Education and Careers*, 84(1), 28-31.
Gillies, R., & Boyle, M. (2010). Teachers’ reflections on cooperative learning: Issues of implementation. *Teaching and Teacher Education*, 26, 933–940.
Hsiao, H., Chen, J., Lin, C., Zhuo, P., & Lin, K. (2019). Using 3D printing technology with experiential learning strategies to improve preengineering students’ comprehension of abstract scientific concepts and hands-on ability. *Journal of Computer Assisted Learning*, 35(2), 178–187.
MacLeod, J., Yang, H. H., Zhu, S., & Shi, Y. (2018). Technological Factors and Student-to-Student Connected Classroom Climate in Cloud Classrooms. *Journal of Educational Computing Research*, 56(6), 826–847.
Mew, L. (2016). Information Systems Education: The Case for the Academic Cloud. *Information Systems Education Journal*, 14(5) pp 71-79.
Podeschi, R. (2016). Building I.S. Professionals through a Real-World Client Project in a Database Application Development Course. *Information Systems Education Journal*, 14(6) pp 34-40.
Schuldt, B.A. (1991). “Real –World” Versus “Simulated” Projects In Database Instruction. *Journal Of Education For Business*, 67(1).
Toasa R., Maximiano M., Reis C. and Guevara D. (2018). Data visualization techniques for real-time information — A custom and dynamic dashboard for analyzing surveys' results, *2018 13th Iberian Conference on Information Systems and Technologies (CISTI)*, Caceres, pp. 1-7.
Ware, C. (2012). *Information Visualization: Perception for Design* (3 ed.). Morgan Kaufmann Publishers Inc., San Francisco, CA, USA.
Wu, P. Y., Manohar, P., Acharya, S. (2016). The Design and Evaluation of Class Exercises as Active Learning Tools in Software Verification and Validation. *Information Systems Education Journal*, 14(4) pp 4-12.
Appendix A: Additional Figures
Figure 2: Webhook Integration with Stitch
| zip | type | primary_city | state | county | timezone | area_code/country | DMA |
|-------|----------|--------------|-------|--------------|-------------------|------------------|-----|
| 36066 | STANDARD | Prattville | AL | Autauga County | America/Chicago | 334 | US |
| 36068 | PO BOX | Prattville | AL | Autauga County | America/Chicago | 334 | US |
| 36003 | STANDARD | Autaugaville | AL | Autauga County | America/Chicago | 334 | US |
| 36008 | PO BOX | Booth | AL | Autauga County | America/Chicago | 334 | US |
| 36067 | STANDARD | Prattville | AL | Autauga County | America/Chicago | 334 | US |
| 36749 | STANDARD | Jones | AL | Autauga County | America/Chicago | US | |
| 36051 | STANDARD | Marbury | AL | Autauga County | America/Chicago | US | |
| 36006 | STANDARD | Billingsley | AL | Autauga County | America/Chicago | US | |
Figure 3: Zip Code Spreadsheet with DMA
| Rank | Market | State | Latitude | Longitude | DMA |
|------|-------------------------|-----------|----------|-----------|-----|
| 165 | Abilene-Sweetwater | Texas | 32.45464 | -99.7383 | 662 |
| 152 | Albany, GA | Georgia | 31.5776 | -84.1763 | 525 |
| 59 | Albany-Schenectady-Troy | New York | 42.6664 | -73.7987 | 532 |
| 47 | Albuquerque-Santa Fe | New Mexico| 35.10555 | -106.647 | 790 |
| 179 | Alexandria, LA | Louisiana | 31.29345 | -92.4702 | 644 |
| 208 | Alpena | Michigan | 45.07448 | -83.4383 | 583 |
| 131 | Amarillo | Texas | 35.20038 | -101.828 | 634 |
| 147 | Anchorage | Alaska | 61.14834 | -149.195 | 743 |
| 10 | Atlanta | Georgia | 33.76265 | -84.4231 | 524 |
| 105 | Augusta-Aiken | Georgia | 33.36446 | -82.0708 | 520 |
| 40 | Austin | Texas | 30.30718 | -97.756 | 635 |
| 122 | Bakersfield | California| 35.35015 | -119.031 | 800 |
| 26 | Baltimore | Maryland | 39.30098 | -76.6106 | 512 |
| 155 | Bangor | Maine | 44.83227 | -68.7906 | 537 |
Figure 4: Media Market Spreadsheet
Figure 5: Tableau Data Model
Figure 6: Entity Relationship Diagram
Figure 7: Example Tableau Heat Map Output
Abstract
Just as the adoption of eXtensible Business Reporting Language has standardized the exchange, transmission, and reporting of accounting and financial data, this paper proposes the eXtensible Computing Curriculum Reporting Language as a standard for the exchange, transmission, and reporting of computing curriculum information in hopes of achieving semantic comparability among the descriptions of the computing disciplines. This specificity in the extension of eXtensible Business Reporting Language to the computing disciplines in the form of eXtensible Computing Curriculum Reporting Language acknowledges the nascent and emergent nature of computing and the need to
reconcile, semantically, between uses of computing terminology and concepts to achieve clarity. This paper provides a brief background on eXtensible Business Reporting Language and demonstrates how the same concept may be applied in computing curriculum reporting. This paper is related to efforts to support the Computing Curricula 2020 initiative of the Association for Computing Machinery and the Institute of Electrical and Electronics Engineers and represents the ongoing work of the Education Special Interest Group Standing Committee on Curricular Matters.
**Keywords:** eXtensible Computing Curriculum Reporting Language, XCCRL, Computing Curriculum, Computing Curriculum Reporting, Computing Curriculum Mapping, Taxonomies
1. INTRODUCTION
Among its many uses, the curricula that are published by computing programs, institutions of higher learning, or by the organizations and agencies that support these institutions, constitute a communication regarding the nature of the knowledge about which the curriculum is focused and the outcomes which the learner will achieve. In effect the curriculum is a communication about the curricular elements within the curriculum such as knowledge areas, learning units centered about skills, and learning outcomes to be assessed and observed. However, the natural language we use to describe these elements is not sufficient to ensure that intended meaning within these descriptions are comprehended as intended. As a simple example lies with the term “database.” For the manager, accountant, systems analyst, database administrator, software developer, computer scientist, mathematician, and computer engineer, this term connotes a distinct set of concerns. Thus the knowledge areas, while overlapping, will be dissimilar as each of the roles above assumes a different disciplinary disposition, a unique set of practical concerns, and a history of engagement with the actual computing phenomenon implied in the term “database” that is contextually and historically shaped.
This issue of communicating computing curricula concepts has three principle components: issues related to the complexity of human communication, issues related to overlap in the conceptualization and contextualization of computing phenomenon predicated on required utility, and the need to differentiate these meanings and uses to achieve clarity and understanding for those within and without the computing disciplines. We shall characterize each of these against the assumption that a curriculum is a human communication and is subject to facilities and constraints afforded within human communication.
Responsibility for the reconciliation of meaning could come from a variety of sources. Should there be a need for public or fiduciary accountability, it is possible that such issues would be regulated, and the compulsion of compliance would facilitate a reconciliatory apparatus. There are also informal structures that could reconcile the semantic differences; however, these are ephemeral and subject to distortions and bias that would potentially conflate attempts for reconciliation. A professional and/or disciplinary approach is possible, perhaps assisted by regulatory authorization, such that a professional society, typically charged with performance, ethical, and procedural regulation within a discipline, could provide the leadership necessary.
In the case of computing, this leadership does exists with societies such as the Institute of Electrical and Electronics Engineers (IEEE) and Association for Computing Machinery (ACM), however, computing remains a mostly under-regulated endeavor where the lines between amateur and professional are indistinct and, arguably moot given the inherently emergent nature of the work and the accessibility of many of the tools about which acute skills are necessary. To wit, an “amateur” with a computer, hard work, and ingenuity, may conceive of, craft, deliver, and profit from highly impactful implementations of computing skills and knowledge and remain entirely outside of any professional oversight. As such, the constraints and restraints that are often byproducts of the regulation from the professionalization of a discipline has a difficult time in the case of computing.
The freedom by which many, but not all, of the skills of computing may be acquired and purveyed, suggest not only that the reach of a curriculum will not ensure uniformity in expected professional practice (as would be the case in Law or Medicine outside of the particulars in the localization of licensure), but also that the impact on public perception of computing will be equally non-uniform. Whereas the certification
of knowledge matters in so many other impactful areas of human endeavor, in computing, this is less so.
We do not offer the previous derivation to suggest that this issue of semantic clarity in the articulation of computing curricula is intractable, just simply that it is fraught. Nonetheless, an opportunity for leadership lies with the academy such that academics in the computing disciplines may establish maps between concepts such that when a term like “database” is used, there exists a mutual or common understanding. This is undoubtedly a vast ontological, taxonomic and epistemological undertaking and to propose a comprehensive solution within the confines of an academic paper would be ambitious, to put it politely. Rather, the aim of this paper is to reference a solution for semantic reconciliation in the reporting of financial data in the accounting, finance and banking realm to extrapolate lessons from that context onto the computing context.
This paper offers a conceptualization of an eXtensible Computing Curriculum Reporting Language (XCCRL) to support extant efforts of the Computing Curricula 2020 (CC2020) project to produce tooling that offers the visualization, articulation, and exploration of computing curricula to develop a maturing understanding of the interconnectedness between computing disciplines and also into other human endeavors and the disciplines that surround them. We appropriate lessons from the development of the eXtensible Business Reporting Language (XBRL) as a guide and contrast this with the same need to reconcile between semantic meaning embedded in computing terms and phenomena. Our proposed derivation, the XCCRL, is modeled closely on the XBRL and should facilitate interchange between the prototypes and tooling developed by the CC2020 project. Further, it may perhaps serve as an interchange between the computing disciplines and their constituents by way of curricular descriptions for public use. Much as genres serve to signal semantic content in entertainment media such as movies, books, television programs, and video games, it is hoped that the semantic groupings within the terms used to describe computing curricula may also be reconciled through an effort such as XCCRL, in a similar way that XBRL makes use of semantic meaning.
This paper explores these issues by first reflecting on the fundamental issues of human communication in reconciling meaning among computing terms. Next we explore how XBRL has addressed similar issues in the realm of financial data reporting. We next propose how the features of XBRL could be appropriated into the computing curricula context. This is followed by a brief account of how XCCRL may assist in the under-way efforts of the CC2020 project and the plans to develop prototype information systems and tools use to explore semantic meaning in computing curricula. We conclude with future steps to realize XCCRL, some limitations in extrapolating from XBRL, and conclude with why XCCRL, or a similar solution, will be necessary to assist in the further professionalization of the computing disciplines if those disciplines will make headway in realizing the positive benefits that professionalization may hold for the human activities that are most impacted by computing.
2. A SEMIOTIC TREATISE ON MEANING IN COMPUTING TERMS
For simplicity, it is possible to describe the issue of reconciling semantic meaning for computing terms according to those who use the tools, artifacts and general phenomena of computing and those that conceptualize, design, develop, and articulate these outputs. Between them, these groups articulate a language – replete with terms, concepts, and intensions – that facilitates transactions. What is transacted are needs and fulfillment of needs that shapes the supply and demand exchange in an emergent manner. This is so for other economic systems and is evident in computing. However, there is an expert/non-expert dimension to these exchanges where expert terms fall into common parlance and non-expert approximations, metaphors and allegorical utterances also permeate the lexicon between the suppliers and consumers.
| Computing Producer/Consumer Matrix | Supplier |
|-----------------------------------|----------|
| | Expert | Non-Expert |
| Consumer | Expert | A | B |
| | Non-Expert| C | D |
Table 1. Conceptualizing the Producer/Consumer Relationship in Computing Outputs
The conceptualization in Table 1 illustrates the issue. We propose that the lexicon and
language that surround computing is shaped by exchanges in a matrix formed by expert and non-expert language used in the production of computing outputs, artifacts, and phenomena and the expert and non-expert consumption of the same. While other models would be possible, we use this model to propose and illustrate the cases where the language used, and thus the conceptualization begins and shapes the meaning exchanged in the producer/consumer relationship. Table 2 below provides examples and illustrations of each of the interaction cases – A, B, C, and D described in Table 1.
| Interaction Case | Description |
|------------------|-------------|
| Case A | Many business-to-business transactions occur in the context of the specification of computing requirements by trained professionals to be fulfilled in the design and development activities of trained professionals. |
| Case B | Crowdsourcing, customer co-creation, and similar reliance on non-expert input to shape design requirements. In this case, the supply is use behavior. |
| Case C | Most Commercial-Off-The-Shelf-Software (COTS) and information services operate under this model. Pro-forma, genre-based, and market-targeted software, hardware, and data shape a significant component of the public’s experience with computing in their daily lives. |
| Case D | Online communities, some website and application development. Significant development in the public understanding of computing has emerged in this case as the availability of Information proliferates. |
**Table 2. Explicating the Expert-Non-Expert Cases in the Producer/Consumer Relationship for Computing**
Aggregations of interest and power likely form about these cases and understanding is also shaped by socialization among and within these groups. From these aggregations come terms like “users” and “IT” and other generalizations that characterize patterns of use in the producer and consumer relationship.
Through the communication channels that surround the groups made possible in the cases shown in Table Two, they are amplified by the personal and philosophical perspectives that also bias and shape language between producers and consumers. “Users” for instance, perhaps in itself arguably a pejorative term, runs a gamut of connotations and is metaphorical at its roots whilst also being a pragmatic descriptor. Other terms embed perspectives and worldviews that potentially run the gamut from objectivist/empiricist to subjectivities / interpretivist, to constructivist and beyond (Falkenberg et al., 1998).
In order to better calibrate our own language and approach to reconciling semantic meaning in computing terms, we can appropriate a previous model used to inform the 1998 Framework of Information Systems Concepts (FRISCO) report from the International Federation for Information Processing (IFIP) Working Group 8.1 on the design and evaluation of information systems (Falkenberg et al., 1998). The report provides a framework used to delineate the concepts that describe how individuals and organizations shape information systems. We appropriate this framework to presume the social context that surrounds communication about computing concepts. Further, we adopt their appropriation of semiotics as a means of describing human communication and the conveyance of meaning. We also assume a systems approach to the interaction amongst computing consumers and producers, such that a system of concepts, models, and language surrounds the communication of computing concepts and terms. Lastly, we adopt the perspective that reflections on this issue are ontological and philosophical in nature.
The FRISCO framework will feature more prominently in our explication of XCCRL, but we first delve further into the complexity of communication by reflecting on Stamper’s semiotic framework (1973). Stated simply, Stamper’s semiotic framework holds that human communication undergoes several mediated transmissions where translation must happen along these mediated phases. Given human sensorimotor design, humans begin by comprehending and sensing at a physical layer of communication. Our voice and ears utilize physical media as do our written communication, as do our signs. This is empirically sensed and categorized such that the syntax for repeatable
comprehension is utilized. The translation from syntax to meaning happens at a semantic layer where validity and veracity are assessed. Sensemaking also involves the application of value and discretion such that we then operate at a pragmatic layer to align dispositions. Later, the manifestation of our reactions and actions in light of the communication operate at a social layer.
Stamper’s (1973) semiotic framework can be further comprehended, quite usefully, by grouping the layers into technical (physics, empirics, syntactics) and social (semantics, pragmatics, and social). With these layers we can more closely associate a computing curricular term, such as database, which itself is a composite term, with any and all appropriate layers in the work (Liu, 2000; Stamper, 1973; Stamper et al., 2000).
It is important to recognize that these layers in a communication are both coextensive and amalgamated where the discernment of the layers is not a natural step for the sender or recipient in a communication.
3. BACKGROUND ON XBRL
In 2009, the Securities and Exchange Commission (SEC) mandated that all public companies adopt XBRL as a means to standardize the exchange, transmission, and reporting of accounting and financial data (SEC, 2009). XBRL is an extension of eXtensible Markup Language (XML). XML is a text-based, hardware-software independent markup language, like Hyper Text Markup Language (HTML), which unlike HTML, allows for undefined tagging by the author to define the document structure. XML is designed for storing, transporting, and sharing data across multiple platforms, thus avoiding the issue of incompatible formatting across computer systems (W3Schools, n.d.). As noted, XML defines a data structure and allows for a standard format for exchanging data (VanLengen, 2010).
XBRL extends XML by providing a standard for the exchange, transmission, and reporting of accounting and financial data based upon established taxonomies such as those developed by XBRL International and in the United States, the Generally Accepted Accounting Principles (U.S. GAAP) XBRL taxonomy. For example, each aspect of a financial report represents a concept. Each concept is then “tagged” with an XBRL element from the taxonomy. The element must then be precisely defined, and attributes assigned. In addition, relationships between the elements must be defined as a way of defining the scope of the overall taxonomy. The result of this process is the creation of a XBRL instance document (Wenger, Thomas, & Babb, 2013). As noted by Debreceny and Farewell (2010), “the principal idea of XBRL is that if every supplier of information speaks a common language of disclosure, by using the same taxonomy, users will be able to use that information in a productive way” (p. 467). There are numerous resources available in the literature which explain and provide detailed instructions for mapping financial statements using XBRL (e.g., Capozzoli & Farewell, 2010; Debreceny & Farewell, 2010; Elam, Wenger, & Williams, 2012; Pinsker, 2004; Peng & Chang, 2010; White, 2010).
Similar to the adoption of XBRL as a standardized reporting format for accounting and financial data, the authors propose the development XCCRL as mechanisms for standardizing the exchange, transmission, and reporting of curriculum data and computing curriculum data within higher education. In sum, XBRL utilizes taxonomies (e.g., XBRL 2004-1; XBRL 2004-2) which define accounting and financial concepts by which a financial instance document is created by tagging the document using software developed for this purpose (e.g., DragonTag). The document can then be transmitted electronically as well as be compared to other financial instance documents. XBRL and XCCRL work in similar fashions only instead of tagging an accounting or financial document, a curriculum document (e.g., a course description) is tagged to create a curriculum instance document. The taxonomy used may be from a recognized computing organization such as the Association of Computing Machinery (ACM), Institute of Electrical and Electronics Engineers (IEEE), the or Education Special Interest Group (EDSIG).
The history of computing curricula is well established and the development of model curriculum for the areas of computing is ongoing as demonstrated by the works of computing organizations such as the ACM, Association for Information Systems (AIS), AITP-EDSIG, and IEEE. As such, taxonomies have been published in an effort to classify the areas (concepts, categories, knowledge areas) commonly identified in the computing disciplines (ACM, 2012; IEEE, 2017). In spite of the tremendous time and effort put into the development of computing curricula, higher education suffers
from the same fate as that of the accounting and financial sector, which necessitated the development of XBRL, namely the challenge of storing, transferring, and sharing of data due to incompatibilities caused by language, type, culture, and location. Ergo, there is no standard reporting format for the exchange, transmission, and reporting of curriculum data.
4. EXAMPLES FROM BOTH DOMAINS
Perhaps, the best way to demonstrate the extension of XCCRL from XBRL is a simple illustration from both domains. Concepts such as “asset”, “liability”, “owner’s equity”, “revenue” and “expenses” are well established in the financial and accounting domain. With XBRL, these concepts have been formalized and are now represented in a taxonomy. As mentioned previously, The U.S. GAAP XBRL Taxonomy, which consists of over 12,000 terms, is a standard among U.S. companies. So, consider that a company needs to map its statement of financial position to the U.S. GAAP XBRL Taxonomy. Debreceny and Farewell (2010) provide a mapping process for this task which includes major steps such as: reviewing the accounting concept and searching the taxonomy for corresponding concept. Smaller steps directly related to the financial and accounting sector occur along the way, but the basic premise is to take the accounting concept contained on the statement of financial position and tagging it with the corresponding concept from the taxonomy. For example, the taxonomy includes a node for Statement of Financial Position, Classified. This node can be expanded to display the Assets node followed by the Assets, Current node, Receivables, Net, Current node and so forth. Using software specifically developed for creating XBRL instance documents, the user can then apply the concept from the taxonomy to the associated concept on the statement of financial position, thus creating an electronic document which can be stored, transmitted, and compared.
For the higher education domain for curriculum data, such concepts as “course prefix”, “course number”, “course description”, “course prerequisites”, “credit hours”, “knowledge outcomes”, and “skill outcomes” are familiar concepts. However, depending upon the type, location, culture, and or category of university, college, or school, there may not be a common “language” or standard for storing, transferring, or comparing these concepts. This is where XCCRL comes into play. By using an established taxonomy such as those developed by ACM (2012) or IEEE (2017), it would be possible to tag the concepts of curriculum data with the appropriate concepts from the taxonomy. For example, the ACM taxonomy contains a categorization for Information Systems. Within this categorization, there are multiple sub-categorizations, such as Data management systems, Information storage systems, Information systems applications, and so forth. For the purposes of illustration, the Data management systems category is utilized, specifically the sub-category entitled, Database design and models. The taxonomical hierarchy is provided below:
Data management systems
Database design and models
Relational database model
Entity relationship models
Graph-based database models
Hierarchical data models
Network data models
Physical data models
Data model extensions
Semi-structured data
Data streams
Data provenance
Incomplete data
Temporal data
Uncertainty
Inconsistent data
To further the illustration, consider a course entitled, Database Theory and Practice and its accompanying course description:
Database concepts and structures. File and data management principles underlying database construction. Fundamental types of database models, with emphasis on relational database as well as on major non-relational forms. Practice in analysis, design, development, and optimization of working database applications on a variety of problems. Small and large system databases will be considered. Prerequisite: BCIS 3332 or BCIS 3333 or approval of department head.
Utilizing the ACM taxonomy categorization Data management systems, the course description can be tagged to create an XCCRL instance document. For instance, ‘relational database’ from the course description might be tagged with the ‘Relational database model’ and ‘Entity relationship models’ concepts from the taxonomy, while ‘non-relational forms’ might be tagged with ‘Graph-based database models’ from the taxonomy. This XCCRL instance
document could then be exchanged with others and compared against other database courses.
5. A BRIEF ELABORATION ON XBRL
In essence, XBRL predicates on a few simple concepts designed to answer a fundamental question: are these two things comparable? From a metadata and taxonomic standpoint, XBRL is a fairly straight-forward approach and is similar to the keyword tagging that allows to commonly associate concepts and words. Therefore, a given financial concept or phenomena is captured as an XBRL instance such that the associated metadata and taxonomies may convey clear semantic intention. An XBRL instance contains a Discoverable Taxonomy Set which defines the facts of the instance and how these facts should be relatable to other facts. For instance, if an item or tuple used to articulate a business fact should be compared to similar facts, then the context of this fact is stated and the units for relatability are also stated. Figure 1 shows an example XBRL taxonomy:
```xml
<element
name="Land"
type="xbrli:monetaryItemType"
substitutionGroup="xbrli:item"
xbrli:periodType="instant"
/>
<element
name="BuildingsNet"
type="xbrli:monetaryItemType"
substitutionGroup="xbrli:item"
xbrli:periodType="instant"
/>
<element
name="FurnitureAndFixturesNet"
type="xbrli:monetaryItemType"
substitutionGroup="xbrli:item"
xbrli:periodType="instant"
/>
```
**Figure 7. XBRL Taxonomy Snippet**
The key to comparability and relatability among XBRL instances is the linked XBLR Taxonomy. The Taxonomy suggests the relationships possible and other identifying attributes that allow one XBML Entity to be relatable to another. The set of additional and related concepts to clarify an XBML instance are established as links of items and tuples that contain substantiating information to serve as the basis of relations. Figure 2 shows associated XBRL Instance entities.
```xml
<!-- Units -->
<unit id="U-Monetary">
<measure>iso4217:USD</measure>
</unit>
<!-- Fact values -->
<HelloWorld:Land contextRef="I-2007" unitRef="U-Monetary" decimals="0"/>
<HelloWorld:BuildingsNet contextRef="I-2006" unitRef="U-Monetary" decimals="0"/>
<HelloWorld:BuildingsNet contextRef="I-2007" unitRef="U-Monetary" decimals="0"/>
<HelloWorld:FurnitureAndFixturesNet contextRef="I-2007" unitRef="U-Monetary" decimals="0"/>
<HelloWorld:FurnitureAndFixturesNet contextRef="I-2006" unitRef="U-Monetary" decimals="0"/>
<HelloWorld:ComputerEquipmentNet contextRef="I-2006" unitRef="U-Monetary" decimals="0"/>
<HelloWorld:OtherPropertyPlantAndEquipmentNet contextRef="I-2007" unitRef="U-Monetary" decimals="0"/>
<HelloWorld:OtherPropertyPlantAndEquipmentNet contextRef="I-2006" unitRef="U-Monetary" decimals="0"/>
<HelloWorld:PropertyPlantAndEquipmentNet contextRef="I-2007" unitRef="U-Monetary" decimals="0"/>
<HelloWorld:PropertyPlantAndEquipmentNet contextRef="I-2006" unitRef="U-Monetary" decimals="0"/>
```
**Figure 8. XBRL Instance Entities**
To best extend the XBRL concept, some alignment with the premises of XBRL is necessary. The XBRL Concept is implemented as an XML Schema and these concepts become the basis of the XBRL Taxonomy. The Concept or Concepts contained in an XBRL Taxonomy are extended with one or more Linkbase entities which provide the extended links that make relations possible. Further, the XBRL Instance presents the values particular to fact or facts relevant to a given context. This makes the XBRL Taxonomy and XBRL Instance relate much as a Class and Object relate in Object-Oriented Programming. Figure 3 below illustrates the major elements of XBRL.
**Figure 9. Elements of XBRL**
The design of XBRL was to facilitate comparability to standardize meaning in the reporting of financial data, in this regard it holds promise as the basis for a similar approach to reconciling meaning for computing terms as they would inform computing curricula.
6. A SEMIOTIC FRAMEWORK FOR XCCRL
With a high degree of inspiration and direction from the IFIP 8.1 FRISCO report and its semiotic framework to distill and articulate information systems concepts, we extend that work to inform a candidate set of taxonomic structures for XCCRL that may be guided by the assumptions of Stamper’s (1973) semiotic framework. Much as the FRISCO report proposed a semiotic-layered accounting for a given information systems term, we extend to account for computing terms in general recognizing that reconciliation at the various semiotic layers holds promise for aligning and mapping terms along and across these boundaries. Recall still that, much as was the case with XBRL, we are looking to align “dialects” across semiotic layers, but, unlike XBRL, we are also attempting to account for commonalities among the layers in a vertical manner.
Table 3 appropriates the FRISCO report to reason about how a term like “database” has meaning and value in a curricular communication:
From the FRISCO report we realize that a semiotic analysis of any computing curricular concept and term can be derived from the organizational “why” to the technical “how” such that a cogent rationale is maintained. Thus, the following construction is possible (Falkenberg et al., 1998):
- organization - which might be regarded as a system - for which different directions and aims are set,
- goals - towards which the organization strives in order to create added value - which normally is accomplished by coherent actions - using certain resources - meaning that these actions are performed by actors - on actands - and where these actions are aiming at changing the state - within or external to the organization in a desired way
As an analytical technique, the above treatment may not appropriately match all computing curricular concepts, but its structure, informed by semiotics, provides a starting point that is consistent with the XBRL specification.
7. THE IMPETUS FOR XCCRL
The impetus for XCCRL lies with the efforts of the ACM and IEEE inventory and forecast of computing curricula development, Computing Curricula 2020. (See www.cc2020.net.) Directly, the impetus for XCCRL lies within a proposed framework for curriculum description that incorporates and normalizes the structure and intra-connectivity of computing theory and practice (Waguespack and Babb, 2019). The framework underlies a key CC2020 project goal to design a visualization tool capable of both representing and comparing computing guidelines and programs to inform and advance computing education.
The tool specifically focuses on the sub-disciplines of computing at the baccalaureate level and the various prior ACM and IEEE curriculum guidelines: Computer Engineering (2004, 2016), Computer Science (2001, 2008, 2013), Information Systems (1997, 2002, 2006, 2010), Information Technology (2008, 2017),
Software Engineering (2004, 2014), and Cybersecurity (2017). (All guidelines are available at www.acm.org/education/curricula-recommendations.).
As the CC2020 effort progresses, the tooling for curriculum visualization has coalesced around the Competency, Disposition, Knowledge, Skill, Task (CDKST) framework that describes the interrelation between these aspects of curricular design, development, and articulation.
Figure 10. CDKST Curriculum Framework
Appendix B recounts the set-theoretic model devised to support digitization. Figure 4 graphically depicts, and Table 4 summarizes that model, both adapted from (Waguespack & Babb, 2019).
| Symbol | Description |
|--------|-------------|
| C | competency, demonstrable capability |
| D | desired value result, disposition “why” |
| K | knowledge, “what” |
| S | skilled application of knowledge “how” |
| T | task, as situated context of is a situated |
T = task
T --> {(Ki,Sj)} knowledge used at a level of skill
[A task is skillfully applied knowledge engaged in a purposeful act.]
C = competency
C --> {Σ(Ki,Sj) | (Ki,Sj) ∈ T}, Dk
[Competency demonstrates task(s) in accord / compliant with disposition(s).]
E = educational program
E --> {Ci}
[An educational program is the cumulation of competencies that comprise it.]
B = baccalaureate degree
Be --> {Σ(Ci) | Ci ∈ E}
[A baccalaureate is the cumulation of the assessments of constituting education program.]
J = job description
J --> {Ci}
[A job description is the cumulation of competencies defining that job’s responsibilities.]
JP = job permit
JPj --> {Σ(Ci) | Ci ∈ J}
[A job permit is the cumulation of competencies assessed that certify job competency.]
P = profession
P --> {Ji}
[A profession is the cumulation of job competencies that define it.]
L = professional license
Lp --> {Σ(Ji) | Ji ∈ P}
[A professional license is the cumulation of assessed job competency that certifies professional status.]
Table 4. CDKST Curriculum Framework
8. MOVING FORWARD WITH CC2020 AND XCCRL
A key to appropriating the design and intent of XBRL for XCCRL would be to understand its object-oriented design as the basis for relations. The basis for the visualization project in CC2020 for computing curricula are competencies, dispositions, knowledge, skills, and tasks. These almost align with the semiotic “ladder” that runs from the physical to the social realm as shown in Figure 5 (Falkenberg et al., 1998):
Attempting to relate these, we can align the basic components with XBRL with the elements of the CDKST model to delineate a possible direction for the appropriation of XBRL’s design.
| XBRL Concept | CDKST Concept | Semiotic Level |
|--------------|---------------|----------------|
| Taxonomy | Competency | Social World |
| Disposition | Pragmatics | |
| Concept | Knowledge | Semantics |
| Instance | Skill | Syntactics and Empirics |
| Units | Task | Empirics and Physical Realm |
Table 5. Comparing XBRL Concepts to CDKST Concepts and Semiotic
As we can see, the concepts do not cleanly map and we address this as a shortcoming in the following section. However, the mapping to the semiotic levels is plausible and the XBRL has proven to be successful in reaching its design aims such that it does facilitate successful financial reporting across problem domains, business sectors, and regulatory boundaries.
However, a deeper point of comparison would be to compare the elements of the FRISCO framework with XBRL’s key concepts as they relate to the Semiotic levels. Table 6 shows select elements of the key terms that define XBRL along with those of the FRISCO framework to determine whether the FRISCO framework, as a tool designed to reconcile key information systems terms, holds promise for the design of XCCRL (see Table 6).
| XBRL | FRISCO | Semiotic Level |
|---------------|-------------------------|----------------------|
| Context | Organization | Organization |
| | Social System | |
| | System Goal | |
| Taxonomy | Conception | Social World |
| Concept | Intention Rule | |
| Entity | Actor Decision | Pragmatics |
| Resource | Action | Semantics |
| | Resource Effect Model | |
| Instance | Protocol | Syntactics |
| Fact | Observation State | Empirics |
| Item | Pattern | Physical World |
Table 6. Comparing XBRL Concepts to FRISCO Framework Concepts and Semiotic Level
The FRISCO elements would likely serve at multiple levels but also suggest some consistency with the XBRL organization.
It is likely that the FRISCO framework’s language could serve as the descriptors necessary to further elaborate the Taxonomy that would clarify, through linked resources and metadata, the Competency, Disposition and Knowledge that constitute the social dimension of the CDKST model. Further, the CDKST framework is a broad-level means of articulating the wider structure for data collection. We find that XBRL design approach is promising as a design referent for XCCRL. The ontological, philosophical, and epistemological grounding of the FRISCO report is equally informative to serve as the basis for our design.
The nascent architecture for our work is shown in Appendix A. The curriculum object store would likely contain a structure that is similar to and derivative of the XBRL Instance. Further, the computer terms taxonomy would be developed in a manner like XBRL taxonomies. Other aspect of our design includes the collection of curricular texts to assimilate in an overarching taxonomic store. The categorization of concepts (as the serve as the basis of competencies and dispositions) would constitute relations between computing concepts and concepts from related domains. The translation of these curricular inputs will be obtained from
text processing using the natural language toolkit for Python (or a similar toolset). The categorization will be accomplished via both an expert system as well as a machine learning component using TensorFlow and/or SciKit-learn. The piece of our architectural puzzle that XBRL addresses is the need for a standards-based (in this case XML) storage and interchange format such that any curriculum object is relatable, mutable, and transferrable. Further, other XML-related technologies increase the likelihood that the visualization engine may directly use items from the curriculum object store without further translation.
9. LIMITATIONS, DISCUSSION, AND CONCLUSION
Among the limitations of the XCCRL concept is the different contexts of curriculum versus XBRL’s financial data orientation. Further, the use of FRISCO as the basis of organizing Computing Concepts is the skewness in its business and organizational orientation.
Further, none of the prototypes developed thus far demonstrate sufficient maturity to ensure that the proposed architecture is viable. XBRL has many proven use cases and instantiations suggesting that starting from a reference implementation would be ideal. Rather, our design did not start with XBRL as a referent and may contain assumptions that are incompatible with XBRL.
These limitations aside, XCCRL shares overall design goals with XBRL. Also, the FRISCO report should support a prototype to articulate the additional metadata and fields required to elaborate the elements of the CDKST framework into the tool described in Appendix A and B.
The CC2020 project has among its aims the development of a tool to assist the designers, developers, administrators, and stakeholders of computing curricula to interact with visualized descriptions of curricula. An XBRL and FRISCO combined approach accelerates the prototyping process and assists in the realization of the CC2020 project’s aims and objectives.
10. ACKNOWLEDGMENTS
This work reflects the ongoing efforts of the EDSIG Standing Committee on Curricular Matters in relation to the CC2020 initiative and the EDSIG Tool Auxiliary group. Current members include: Amjad Abdullat, Jeffry Babb, Kareem Dana, Leslie Waguespack, and Jason Sharp.
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Appendix A – The CC2020 Computing Curriculum Project Tools Architecture and Concept
https://eduglopedia.org/
Beautiful Soup 4 Django 2.x
Screen Scraping
Natural Language Tool Kit
Knowledge categorized
Sophistication categorized
Digitization
WordNET Bloom’s
Synonym search
Machine learning
Expert consult
Skill = Knowledge + Bloom’s
Curriculum
Object Store
Skill Units…
Postgres SQL
CC2020 Visualization
Visualization model library
Curriculum query library
Query engine
Curriculum Stakeholders
Appendix B - CDKST Curriculum Framework
Competency-Disposition-Knowledge-Skills-Task
In the following set theoretic representation, Competency-Disposition-Knowledge-Skills-Task (CDKST), we adopt three grounding propositions to conceptualize curriculum: 1) learning is acquiring knowledge elements arranged taxonomically that enable satisfactorily performing relevant tasks; 2) the concept of “skill” is a degree of mastery of a knowledge element modulated by disposition to achieve a valued outcome, and 3) disposition denotes the values and motivation that guide applying knowledge while designating the quality of knowing commensurate with a standard of desired performance.
Knowledge elements, $K$, are factual concepts supported by science and/or professional practice that underpin a vocabulary of objects, behaviors, and relationships as the domain of interest in a discourse (be it curriculum, task, job, or profession). $S$, the skill attribute, denotes the *quality of knowing* (e.g. mastery, expertise, adeptness, or proficiency) that an accomplished learner must possess to satisfactorily apply a knowledge element in a circumstance of performance. In this sense it is the capacity to demonstrate a degree of *cognitive command* over that knowledge. In this conceptualization cognitive command is represented by Bloom’s (revised) taxonomy of learning objectives: remember, understand, apply, analyze, evaluate, and create (See Appendix A, Anderson, 2001). Disposition, $D$, represents a commitment, motivation, toward an aspect of desired practice that reflects the attitude deemed critical to satisfaction in a circumstance or context. Task, $T$, is a situated instance of engaging knowledge with a degree of mastery. $C$, competency is a demonstrated sufficiency in a task with an appropriate disposition. $C$ effective defines both the nature of the competency and the assessment that certifies in a specific task instance.
$$T = \text{task}$$
$$T \rightarrow \{(K_i, S_j)\} \text{ knowledge used at a level of skill}$$
*A task is skillfully applied knowledge engaged in a purposeful act.*
Task, $T$, is *knowledge applied* in a “live” context to accomplish a designated purpose. $T$ represents a *specification* of capability that curriculum is obligated to inculcate in the accomplished learner.
A task is the application of specific knowledge to a situation at hand. Note that tasks may be of varying complexity in terms of the range of knowledge elements engaged. Individual knowledge elements may participate in a variety of tasks. A task may be a collection of constituent tasks within which each knowledge element is applied with a distinct skill. As a collective, the task’s satisfactory accomplishment demonstrates a sufficiency of knowing and doing.
$$C = \text{competency}$$
$$C \rightarrow \{(\Sigma(K_i, S_j) \mid (K_i, S_j) \in T), \{D_k\}\}$$
*Competency demonstrates task(s) in accord / compliant with disposition(s).*
Competency, $C$, is the capacity to accomplish a task by applying knowledge and skills framed by one or more dispositions. This is the goal sought by a competency-based perspective on curricular design. This forms a focus for assessment as each competency represents both a requirement and the instrument of certification to assure the learner’s successful performance – success denoted by the satisfactory outcome of applying the knowledge in accord or compliant with one or more disposition(s). It is reasonable to expect that a system of competency specifications would form a telescopic or hierarchical arrangement of modularized task complexity and thus, would lead to an incremental or progressive process of learning and experience accumulation that would subsequently justify advancement to more elaborate, intricate, or difficult tasks or higher degrees of desired performance.
\[ E = \text{educational program} \]
\[ E --> \{C_i\} \]
[An educational program is the cumulation of competencies that comprise it.]
\[ B = \text{baccalaureate degree} \]
\[ B_e --> \{\Sigma(C_i) \mid C_i \in E\} \]
[A baccalaureate is the cumulation of the assessments of constituting education program.]
E, is a composition of competencies relevant to (or defining) a professional or academic course of study, a curriculum. A baccalaureate degree, B, is granted by an authorized institution. In fact, the list of competencies may be the vary testimony to the focus of an intended career direction shaping an academic program’s intension. This would be the construct for comparing educational programs, assessing guideline or accreditation compliance, or prototyping distinct perspectives on the larger domain of knowledge such as across subdomains of computing!
\[ J = \text{job description} \]
\[ J --> \{C_i\} \]
[A job description is the cumulation of competencies defining that job’s responsibilities.]
\[ JP = \text{job permit} \]
\[ JP_j --> \{\Sigma(C_i) \mid C_i \in J\} \]
[A job permit is the cumulation of competencies assessed that certify job competency.]
In its own fashion, a particular job description is in effect a “mini-curriculum” as it prescribes performance requirements that usually distinguish the desired applicant or employee attributes. The particulars of the organization, the industry, or the marketplace would shape both the collection of knowledge elements, skills, and the disposition of their application, thus, aligning with a particular vocation.
\[ P = \text{profession} \]
\[ P --> \{J_i\} \]
[A profession is the cumulation of job competencies that define it.]
\[ L = \text{professional license} \]
\[ L_p --> \{\Sigma(J_i) \mid J_i \in P\} \]
[A professional license is the cumulation of assessed job competency that certifies professional status.]
In this last aggregation, professional societies and governmental agencies specify collections of competencies that qualify a legal standing as a licensed professional (e.g. professional engineer, medical doctor, physician’s assistant, nurse, a member of the bar, barber, cosmetologist, etc.).
The CDKST model does not attempt to shape or bound the dimensions of pedagogy as that requires integration with the cultural context within which it must be applied. However, pedagogy must align with the designated disposition modulating the quality of performance the student must demonstrate as competency in context.
Encouraging Lifelong Learning through Tech Explorations
Jim Marquardson
firstname.lastname@example.org
College of Business
Northern Michigan University
Marquette, MI 49855, USA
Abstract
Information systems tools, techniques, and technologies are changing at an ever-increasing pace. Technical skills with operating systems, applications, and hardware are important to learn in an information systems curriculum so that students can be immediately productive upon graduating, but these skills may have a shelf life. Technical skills (like systems themselves) must be continually maintained, otherwise information systems professionals risk obsolescence. It is imperative that information systems educators provide students with the ability to learn effectively during school and after graduation. Many students struggle to learn independently, preferring instead to have clear learning paths provided for them. To encourage effective lifelong learning, a tech exploration assignment was implemented in an advanced networking security tools course at a midwestern university in the United States. In the assignment, students chose a network security topic according to their interests, developed a learning plan, carried out the learning plan independently, presented their findings, and submitted learning reflections. Results from student surveys showed that despite the challenges of stewarding their own learning process, they found the assignment to be a valuable learning experience that encourages lifelong learning. A detailed description of the assignment, student survey results, instructor observations, and implementation recommendations are provided.
Keywords: pedagogy, technology change, self-directed learning, lifelong learning
1. INTRODUCTION
It is a given that technology will continue to grow and evolve at a rapid pace. Though educators are aware that the specific technology platforms taught in classrooms today will likely be replaced in the future, educators must help students learn skills on these platforms that will be immediately useful upon graduating. Curriculum designers should be forward looking when selecting technologies to teach, but it is hard to predict which technologies society will adopt (Butler, 2016). Therefore, it is imperative that educators prepare students to continue learning after graduation so that students can adapt to change. Skill stagnation is a recipe for obsolescence.
Lifelong learning is important in any field, but especially in information systems because of the high rate of change. According to Caruth (2014, p. 1), “Adult students need to be taught how to learn in order to become lifelong, autonomous learners.” Teaching how to learn should be a core part of an information systems degree. Curriculum that focuses too narrowly on specific technical skills may produce graduates that are unable to adapt to industry change (Randall & Zirkle, 2005).
Absent mandates from an employer, professionals have a plethora of options to keep their skills sharp. To keep pace with industry trends, professionals today might pursue skills in data analytics, application containerization, a new programming language, or any of a myriad of technologies that may not have been taught in their degree programs. Some may strive for industry certifications for career advancement or to change roles. In the current work, it is posited that students who are given opportunities to sculpt their learning paths during a degree program will gain confidence in their abilities to learn without explicit direction and will be in a
better position to successfully pursue lifelong learning.
Lifelong learning is essential for ensuring that students have sufficient depth in a skill area. Students need both breadth and depth in their educations (Yates et al., 2018). Breadth gives students awareness of a wide range of technologies and skills that can be used to solve business problems. Depth refers to deeper domain-specific knowledge and stronger skills in a given topic. Over recent decades, depth in the field of information systems has increased, possibly due to increased specialization (Ozman, 2007). Instructors can encourage depth in the classroom by helping students learn and apply content independently (Katz, 2018). A learner-centered approach is critical to achieving depth (Manson & Pike, 2014).
In the next section, critical elements of the assessment process that relate to lifelong learning will be explained. Following the literature review is an explanation of a tech exploration assignment that aimed to develop self-learning skills that support lifelong learning.
2. LITERATURE REVIEW
In this paper, lifelong learning refers to continuing education that occurs after students leave academia. Lifelong learning is typically voluntary and self-motivated where the learner drives the learning process rather than an instructor (Department of Education and Science, Dublin (Ireland), 2000). Lifelong learning is frequently self-directed which takes grit--“consistency of interest and perseverance of effort” (Brooks & Seipel, 2018, p. 22). Because learners become their own instructors, they must be equipped with skills to carry out each step of the assessment process.
Assessment Process
The assessment process includes developing learning objectives, ensuring that curriculum is aligned with the objectives, creating a plan to assess objectives, gathering assessment data, then using the data to inform improvements (Allen, 2004). This process is carried out at several levels in academia including the degree level, course level, and individual lesson plan level. The assessment process has strong face validity. It makes sense to plan what students should learn, develop appropriate learning activities, check to see if they learned what they were supposed to, and make improvements based on data.
The assessment process is deceptively simple. There are several reasons why students struggle to implement this process independently. First, the process is not easy to carry out effectively. For example, it is all too easy to draft ambiguous learning objectives, develop curriculum that follows a textbook rather than defined learning objectives, and create subjective grading rubrics. The assessment process requires skills that must be practiced and honed. Second, it is likely that information systems students (like their peers in other business programs) have had little opportunity to implement the process independently. Students constantly participate in learning activities and receive assessment results, but rarely define learning objectives, develop learning activities, create assessment instruments, or reflect on their own learning process. If educators believe in the assessment process, it should be taught as a critical skill for lifelong learning.
Learning Objectives
Learning objectives are the expected outcomes of an academic activity, course, or program. They are often created by defining what knowledge and skills should be acquired by the completion of the learning phase. There are several reasons why information systems students might struggle to create clear learning objectives. First, when exploring a new technology, students may not know how much they might be able to learn in a given timeframe. Second, a topic might be so new that students struggle with precise terminology needed to create clear learning outcomes. Without specific learning objectives, it is hard to find focused resources to meet the objectives or define assessment criteria.
Curriculum Alignment
Learning objectives, methods, and assessments should be aligned for effective learning (Biggs, 2003). The number of curriculum options available to students has increased dramatically in recent years. Many people are putting tutorials online on sites like YouTube and Vimeo. Increasingly, people are going directly to video streaming sites to find information. YouTube is currently the world’s second most popular search engine (Richards, 2018). Some people include video content online that complements books, such as the YouTube series “Automate the Boring Stuff with Python” (Sweigart, 2015). In addition, companies are increasingly putting free product training online, such as IBM’s Academic Initiative (Gerber, 2015). Vendor-supplied training is a win-win for students and
companies—the students have access to educational content and companies train prospective customers. Lastly, there has been an increase in Open Education Resources (OER) such as free textbooks and other training content. In summary, there is a wealth of information available to students online. Taking advantage of this information is a skill that must be developed.
**Gathering Assessment Data**
Assessments are embedded at different levels in academia. At the program level, ETS Major Field Tests are an example of assessing program-level learning objectives ("The ETS Major Field Tests," n.d.). Examinations are often given to measure course-level learning objectives. Quizzes, essays, and presentations are examples of unit-level assessments that typically receive quantitative grades and potentially qualitative feedback. Informal assessment occurs continuously as educators judge the quality of discussion, engagement, and demonstrated abilities despite no grades being recorded. For lifelong learning, students need to know how to measure whether they have mastered a skill without having a grading rubric provided to them. Evidence suggest that with training, learners can effectively assess their performance (Thawabieh, 2017).
**Reflection**
Analyzing assessment data is an important part of the learning process. Assessment identifies gaps in knowledge or skills. Students use assessment data to identify their areas of strengths and weaknesses. Educators should use assessment data to inform changes that might be needed in any part of the learning process. Assessment outcomes short of expectations could indicate ambiguous learning objectives, the need for improved curriculum, or problems with the assessment instrument. Continual improvement is only possible when reflection occurs at the end of the assessment process. Reflection allows learners to give themselves feedback which will enhance future learning activities (Thawabieh, 2017).
The remainder of this paper describes and evaluates a tech exploration assignment in which students plan and carry out their individual learning paths under the direction of an instructor. The details of the assignment are given in the next section.
**3. TECH EXPLORATION ASSIGNMENT**
A tech exploration assignment was introduced in an upper-division information systems course. The assignment had three core learning objectives. First, students would learn relevant topics related to the course objectives, such as network security tools. Second, students would be able to summarize and present findings effectively. Third, and most importantly, students would learn how to implement the assessment process. Students completed four tech exploration assignments during the course to allow them to improve their performance over time.
There were four principal components of the tech exploration assignment: the proposal, following the proposed learning plan, presentation of key findings, and a reflection. These elements were designed to map to the major activities in the assessment process. The individual elements of the tech exploration assignment will be described in detail in the following sections.
**Proposal**
In the first phase of the tech exploration, students submitted proposals that included their chosen topic, learning objectives, specific resources and activities that would be used to reach the learning objectives, estimates of how long different learning activities would take, and an explanation of how evidence of learning would be documented.
Topics needed to be related to network security, but a great deal of latitude was given to students to make the case that a given topic fell under the umbrella of network security. A list of potential topics was given to students to guide decision making. Example topics included the python programming language, web server configuration, the Ruby on Rails web framework, Metasploit, cloud computing, and information technology governance models. Students were encouraged to pick topics that would make hands-on learning possible.
Students needed to write specific, clear, and measurable learning objectives by defining what new skills and knowledge they would have by the end of the tech exploration. Bloom’s taxonomy of educational objectives is a framework that helps educators choose appropriate goals and language when defining learning objectives (Krathwohl, 2002). The taxonomy employs cognitive process dimensions (such as remember, apply, and create) and
knowledge dimensions (such as factual knowledge and procedural knowledge). The taxonomy was shared with the class to help identify learning outcomes and provide suggestions for verbs to use. Next, students described how these learning objectives would help them in their careers.
Students identified one or more resources they would use to reach the learning objectives. Points would be deducted if students said they would use “a python tutorial” instead of something more specific like “all of the basic tutorials on learnpython.org.” Next, students estimated how much time they would spend carrying out the learning activities using the identified resources. An expectation of 8-10 hours was given as a target for the learning phase of the tech exploration. Lastly, students were asked to define how they would document evidence of learning. The evidence needed to be measurable through screenshots of code snippets they wrote, running websites they developed, online course quiz scores, custom installation guides, or other objective methods.
The grading rubrics for the proposal and other assignment elements are included in the appendix. The proposals were graded within a day of submission to validate the chosen topic and to ensure that the learning plan was well-defined. When a student selected a topic for which the instructor was not an expert, the student was told how much support the instructor would be able to give.
**Following the Learning Plan**
Once the proposal had been graded, students began following the learning plan. The instructor had less involvement in this phase of the assignment. Because the tech exploration was largely self-directed, the instructor monitored progress informally and helped students with problems as they arose. It was incumbent upon the students to work diligently and be proactive about asking for help in this stage of the assignment. Students were given reminders about upcoming due dates, but the instructor was not the one teaching the content. There was no grade given during this part of the project. This phase lasted 3-4 weeks. Because the bulk of the tech exploration work was done outside of class, in-class time was more devoted to instructor-designed curriculum and activities that supported program learning objectives.
**Presentation of Findings**
Students presented a summary of their topics to the class at the completion of the learning phase. They were told to present as if trying to convince their hypothetical employers how the topics they learned would be beneficial to their organizations. To prepare students for different presentation scenarios, students were required to use a different presentation method for each of the four tech explorations: a live demonstration, a whiteboard presentation, a slide-supported presentation, and a video. For the live demonstration, students were prohibited from using slides, but were allowed to use the classroom projector to show materials like applications or code. For the whiteboard presentation, students were prohibited from using any technology. The slide-supported presentation looked like a typical PowerPoint-backed presentation. Lastly, students created a video 5 to 8 minutes long that was played during the last day of class. Presentation grades were awarded on the evidence of planning and practicing.
**Reflection**
Students submitted learning reflections that included a copy of the learning objectives from the proposal, evidence of learning (such as sample code, course completion reports, or installation guides), an evaluation of the learning resources used, the time they spent on each learning activity, and a general reflection about their topic.
Effort during the learning phase of the tech exploration accounted for half of the assignment points. Students were expected to follow the learning plan and adapt to challenges in resourceful ways. Students who simply gave up when learning became difficult received low marks. The remainder of the reflection assignment grade was generally evaluated by assessing completeness and thoughtfulness.
The next section describes how the tech exploration assignment was evaluated by the students.
**4. METHODOLOGY**
Data was collected at a midwestern university in the United States. The tech exploration assignment was introduced in a capstone information systems course. All 9 students enrolled in the course (8 male, 1 female) completed 4 tech exploration assignments and completed the anonymous survey. No incentives were given for survey participation. The survey included quantitative assessments of various aspects of the assignment as well as qualitative
questions that allowed students to provide open-ended feedback.
5. RESULTS
Quantitative and qualitative results from the student survey will be presented. After, instructor observations will be given.
| Prompt | Mean | SD |
|-----------------------------------------------------------------------|------|-----|
| I put more effort into my tech explorations than most college | 2.67 | 1.87|
| assignments. | | |
| I enjoyed the freedom to pick my own topic. | 2.00 | 1.66|
| The instructor provided helpful guidance throughout the project. | 1.22 | 0.44|
| Because of this assignment, I am more confident in my ability to | 1.78 | 1.30|
| learn new knowledge and skills after graduating. | | |
| This assignment will help me pursue lifelong learning. | 2.11 | 1.54|
| I gained useful skills and knowledge from this assignment. | 1.89 | 0.60|
| It was useful to learn to present in different formats. | 1.33 | 0.71|
Table 7: Overall Assignment Impressions (1=strongly agree, 7=strongly disagree)
Student Survey Analysis
Students rated the degree to which they agreed with statements regarding multiple aspects of the tech exploration assignment. The questions used a 7-point Likert scale with options ranging from strongly agree (1) to strongly disagree (7). The means and standard deviations for each prompt are in Table 7.
| Element Difficulty | Mean | SD |
|--------------------------|------|-----|
| Selecting a topic | 5.33 | 1.66|
| Developing a learning proposal | 3.44 | 1.33|
| Learning the topic using the resources identified in the proposal | 3.67 | 1.58|
| Documenting the evidence of learning | 3.22 | 1.79|
| Presenting a summary of your topic | 2.89 | 1.69|
| Writing the reflection | 2.22 | 1.48|
Table 8: Difficulty of Assignment Elements (1=extremely easy, 7=extremely difficult)
Students rated the difficulty of the major elements of the tech exploration assignment. The questions used a 7-point Likert scale with values ranging from extremely easy (1) to extremely difficult (7). The means and standard deviations are in Table 8.
Students rated the usefulness of the assignment elements using a 7-point Likert scale. The values ranged from extremely useful (1) to extremely useless (7). Table 9 provides the means and standard deviations of perceived usefulness.
| Element Usefulness | Mean | SD |
|-------------------------------------|------|-----|
| Selecting a topic | 2.44 | 1.01|
| Developing a learning proposal | 2.11 | 1.36|
| Learning the topic using the | 1.56 | 1.33|
| resources identified in the proposal| | |
| Documenting the evidence of learning| 2.44 | 1.74|
| Presenting a summary of your topic | 1.89 | 1.36|
| Writing the reflection | 2.56 | 1.51|
Table 9: Usefulness of Assignment Elements (1=extremely useful, 7=extremely useless)
Students were asked to provide a preference for the tech exploration assignment compared to other types of assignments. The preference was recorded using a 5-point Likert scale with values ranging from strongly preferring the alternative (-2) to strongly preferring the tech exploration (2). Means and standard deviations are in Table 10. The results indicate that students preferred the tech exploration over reading articles and watching videos. Students preferred group discussions and hands-on labs in class over the tech exploration. The data did not indicate a preference difference compared to class lecture.
| Comparison Assignment | Mean | SD |
|--------------------------------|------|-----|
| Class lecture | 0.00 | 1.32|
| Group discussions | -0.78| 0.83|
| Hands-on labs in class | -1.56| 0.53|
| Watching videos | 1.11 | 1.05|
| Reading articles | 1.11 | 1.17|
Table 10: Preference of Assignments (Positive values indicate a preference toward tech explorations.)
Qualitative Feedback
Students were given the opportunity to provide open ended feedback but were not required to provide input. First, students were asked what parts of the assignment they enjoyed. Two students enjoyed presenting their topics to the class. One student enjoyed the struggle of the problem solving. Three students liked the ability to pick topics that specifically interested them.
One student said, “I enjoyed learning at my own pace, but felt aimless at times.”
Students were asked to explain the parts of the assignment that were most challenging. Several students mentioned that picking a topic was challenging. The next most common feedback was related to learning objectives. It was difficult to define learning objectives and stick to them.
Students were asked what changes should be made to the assignment to make it a better learning experience. Three of the five students who answered the question said they would not make any changes. One student recommended restricting topic selection to specific themes such as scripting, penetration testing, or cloud computing. One student wanted more flexibility in presentation methods.
**Instructor Observations**
It was fascinating to observe the topics selected by students. Several students chose topics related to the Raspberry Pi—a compact yet complete computing platform. Students used the Raspberry Pi devices for war walking (with guidance from the instructor on legality), advertisement blocking with the Pi-hole, and more. Some students reportedly spent about 20 hours on a single assignment getting their Raspberry Pi projects working. These projects incorporated operating systems, computer hardware, scripting, network configurations, and lots of troubleshooting which made them appropriate for a capstone information systems course.
Because students were invested in their own topics, they seemed to apply themselves more and dedicate as much time as needed to succeed. Overall, students seemed to work harder outside of class on tech exploration assignments than other types of assignments, such as reading chapters in a textbook.
Students generally appreciated being required to present using different methods. They did well when giving live demonstrations, explanations using a whiteboard, and when supported by slides. They struggled most when required to create a short video. Despite having access to professional software resources in campus media labs (such as Adobe Premiere), most students downloaded video creation software they found from search engines with varying degrees of success. Most students spent several hours learning to do basic video editing.
In the first tech exploration assignment, many students struggled to create specific and measurable learning objectives. In most cases, students were able to proceed with the learning plan despite learning objective ambiguity because the other parts of the learning plan were strong, but in rare instances students were asked to resubmit their proposals with improved learning objectives. Feedback for improvement was given, and the learning objectives improved in the subsequent tech exploration proposals.
Students often went beyond the resources they had identified in the proposals. Help forums and search engines were often used to clarify terms or troubleshoot problems. Students sought these additional resources without any prompting from the instructor and in most cases were able to address their knowledge gaps.
Failure on the assignments happened in a variety of ways. First, some students underestimated how much time it would take to reach the learning objectives. Generally, the first tech exploration of the semester opened students’ eyes to the need for better planning. Second, some students tried to merely repeat content from previous classes and did not go into any greater depth. Failure of students to challenge themselves could sometimes be identified when reviewing the learning proposals. However, because much of the learning took place outside of the classroom, lack of effort was sometimes not apparent until the class presentation by which time it was too late for the instructor to make corrections. Lack of effort was evidenced in several ways. Sometimes, students reported their own lack of effort during the presentation to their peers. Other times, students did not fully document their evidence of learning or reported very few hours spent learning using the resources they had identified.
**6. DISCUSSION**
One concern when designing the tech exploration assignment was that because most learning would happen independently that students would feel unsupported. The results show that students felt supported through the assignment. The perception of support was likely driven by prompt feedback on assignment submissions, help selecting topics, and suggestions on scoping tech explorations appropriately for the time available.
The data support the idea that the tech exploration assignment supports lifelong
learning. Students believed that the assignment helped them pursue lifelong learning and gave them skills to do so. While learning how to learn, students also reported learning useful skills and knowledge by completing the assignment.
According to students, the most difficult part of the assignment was picking a topic even though they enjoyed the freedom to pick their own topic. The other elements were rated as moderately difficult, except for writing the reflection which was rated the easiest of all assignment elements. The data suggests that the assignment is appropriately challenging. Learning the chosen topic was reported to be the most useful part of the assignment, but each element of the assignment was rated as useful.
Compared to other assignments, students preferred the tech exploration over reading articles and watching videos. However, they reported a preference for group discussions and hands-on labs in class. A preference for active, participatory learning is seen in the responses. Students may have expressed a preference for in-class labs and group discussions because in those assignments they do not have to select their own topics or create documentation—tech exploration elements that were rated most difficult. In the end, the tech exploration assignment should be seen as a complement and not a replacement for other types of assignments.
Overall, the results suggest that the tech exploration assignment is effective for encouraging lifelong learning, allowing students to dig deeper into topics of interest, developing presentation skills, and improving technical skills.
**Suggestions for Implementation**
Timely feedback is important for assignment submissions because students only have approximately three weeks after the learning proposal submission to complete all learning activities. If changes need to be made to the learning plans, students need to know quickly so that they can adjust their plans accordingly.
It is important to let students know the degree to which the instructor can help with the topic. For example, if the student wants to learn Django and the instructor has significant web development experience, it is likely that the instructor can give guidance and help troubleshoot if the student hits a roadblock. Students should be aware when the topic chosen is outside of the instructor’s area of expertise and will be less able to give helpful direction. Despite my own inexperience with the Raspberry Pi, I was able to help students find appropriate resources and solve problems. According to the survey results, students felt supported by the instructor despite lack of experience with every chosen topic.
Students must be held accountable for the quality of their work. While most students embraced these tech explorations to dig deep into a topic, some students tried to set learning objectives that did not push their learning far enough. Detailed grading rubrics can help set expectations for effort and provide an objective way to evaluate performance.
The tech exploration assignment was given in a capstone course of an undergraduate program. By this point in their academic careers, students had mastered information systems fundamentals and proven that they could use technology with less direction. It is less likely that this assignment would have been as successful in an introductory course. In some tech explorations, students created virtual machines, connected to servers using SSH, installed programming runtimes, and carried out similar tasks. These were tasks for which students had been prepared in previous courses.
If requiring students to create videos, tutorials should be developed that address common video requirements. Step-by-step instructions to create a video that combines clips from screen recording software and cell phone video would have helped students learn the majority of skills necessary for the tech exploration. Having mastered these basic techniques, students could spend more time producing content rather than learning video creation software.
Though the tech exploration assignment evaluated in the present work was given in a low enrollment course, the assignment could scale to larger classes. Only the presentation of findings would need adjustment to accommodate a large number of students. In high enrollment courses, presentation lengths could be shortened, students could present to peers in small groups, or students could be required to submit video presentations for each tech exploration.
**Limitations**
The sample size of this study was relatively low and there was no control group. True evaluation of the effectiveness of this assignment for supporting lifelong learning could only be done by evaluating student learning effectiveness.
after graduating. Periodic follow-up surveys would be necessary for ensuring that students continue to apply the formal learning process when pursuing new knowledge and skills after graduating.
7. CONCLUSIONS
Information technology changes rapidly and it is a challenge to keep skills current. In addition to assignments that include learning objectives for state-of-the-art technology, educators should ensure that students develop learning skills to facilitate lifelong learning. Despite having spent many years in school, students must be taught how to learn. Tech exploration assignments appear to be effective for teaching students how to learn.
Tech exploration assignments require students to choose a topic to study, develop a learning plan, follow the learning plan, document their evidence of learning, present findings, and reflect on the learning process. These assignments help students develop specific technical skills while helping them develop lifelong learning skills. It would be most appropriate to implement this type of assignment in upper division courses because students will have already developed strong technical foundations.
Instructors implementing these assignments should provide clear grading rubrics with expectations for performance. Prompt feedback should be given to ensure that students have time to make corrections to their learning path as early as possible. Instructors should be open with students about their areas of expertise and the extent to which they can provide support for the students’ chosen topics. Overall, the tech exploration assignment complements other learning activities well.
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**Editor’s Note:**
This paper was selected for inclusion in the journal as an EDSIGCON 2019 Meritorious Paper. The acceptance rate is typically 15% for this category of paper based on blind reviews from six or more peers including three or more former best papers authors who did not submit a paper in 2019.
Appendices and Annexures
The following grading rubrics were used to evaluate the tech exploration assignments.
**Proposal Grading Rubric**
| | None | Below Expectation | Meets Expectation |
|--------------------------|-----------------------|--------------------------------------------------------|--------------------------------------------------------|
| Learning Objectives | 0: None included | 2: Vague and no application to career included | 4: Clear and application to career included |
| Resources | 0: None identified | 2: Not specific (e.g. no URL, book name) | 4: Specific resources identified |
| Time Estimation | 0: No evaluation of resources or time included | | 2: Included |
| Evidence of Learning | 0: Not included | 3: Included, but unspecific | 5: Clear, measurable evidence identified |
Total 15
**Presentation Grading Rubric**
| | None | Below Expectation | Meets Expectation |
|--------------------------|-----------------------|--------------------------------------------------------|--------------------------------------------------------|
| Focus | 0: No information shared | 5: Information presented without a common thread | 10: Clear presentation purpose |
| Polish | 0: Unpracticed, sloppy | 5: Some effort to prepare, but lacks polish | 10: Evidence of rehearsal, free of mistakes, enthusiastic |
Total 20
**Reflection Grading Rubric**
| | None | Below Expectation | Meets Expectation |
|--------------------------|-----------------------|--------------------------------------------------------|--------------------------------------------------------|
| Overall Effort | 0: No attempt to follow the learning plan | 10: Began following the learning plan but gave up when obstacles encountered | 20: Followed the learning plan thoroughly or adapted to challenges in a resourceful way |
| Evidence of Learning | 0: No evidence provided | 5: Some evidence of learning provided, but not enough to validate the learning objectives | 10: Evidence supports the completion of the learning objectives |
| Resource Evaluation and Time | 0: No evaluation of resources or time included | 2: Vague description of resources and time spent | 5: Thoughtful assessment of resources and a breakdown of time spent |
| Summary | 0: No summary included | 2: Vague assessment included | 5: Assessment shows thought about application in the field of information systems |
Total 40
The impact of an interactive textbook in a beginning programming course
Joni K. Adkins
email@example.com
Diana R. Linville
firstname.lastname@example.org
Charles Badami
email@example.com
School of Computer Science and Information Systems
Northwest Missouri State University
Maryville, MO 64468, USA
Abstract
Online textbooks allow instructors to provide interactive and engaging activities for students. In this paper, we look at how providing an interactive online textbook is utilized and valued in a beginning computer programming course. In addition, we compare the utilization of the online textbook to the student final course grade. Our findings suggest that students would rather use an online textbook and the level of engagement in the online textbook activities was positively related to a student’s final course grade. These findings encourage us to continue evolving and improving the interactive features provided in the online textbook.
Keywords: online textbooks, interactive textbooks, active learning, computer programming
1. INTRODUCTION
Advances in technology afford new ways for students to learn. For example, today’s students are more comfortable using online sources and the availability of free learning resources such as Codeacademy and Khan Academy have changed the education landscape. Educators looking for ways to improve student learning and engagement have developed online resources, including online textbooks to help students learn computer programming.
The hope is that an interactive online textbook may be more appealing to students, thus increasing their use of the resource. Current research shows that many students do not read textbooks as assigned. Reasons include poor study habits, lack of motivation, and poor time management (Starcher & Proffitt, 2011). Some students do not even have the textbook due to the high price (Robinson, 2010). Brost and Bradley (2006) found that students may not read the textbook because they know the teacher will cover the material in class anyway.
We sought to answer three research questions in this study. One, what classroom activities and assignments do the students view as valuable? Two, how do the students perceive the usefulness of the online textbook readings, activities, and quizzes? Three, is a student’s online textbook grade indicating their participation and effort in the online textbook a valid predictor for the overall course grade?
This paper begins with a literature review related to interactive textbooks. Then the development of our online tool is discussed along with the format of the course and implementation details of the new tool. Results from student surveys
and data analysis to answer the research questions are then shared.
2. LITERATURE REVIEW
The pedagogical rationale for this study was based on active learning defined as activities that encourage students to engage with course materials and increase critical thinking (Lumpkin, Achen, & Dodd, 2015). Many studies have found that students like active learning as well as discovering that students can retain content better (Hyun, Ediger, & Lee, 2017). The use of an interactive textbook requires students to be actively involved in their learning experience. The majority of the literature surrounding interactive, online textbook resources in computer science education from the last ten years seems to be concerned with the analysis of student improvement in related courses. Other studies have focused on student perceptions and usage of online textbooks, and some have centered on effective design components of such a resource.
The research that evaluates student improvement when using an interactive resource varies in sample size and thoroughness, but much of it seems to agree in finding positive correlations. Aldubaisi (2014) examined computer science student performance in conjunction with the use of an interactive e-textbook, one apparently developed for the study by the author. Although this was a short-term study, it resulted in a positive reaction and better performance from the students who participated. Edgcomb et al. (2015) embarked on a long-term, thorough study across three universities, four programming classes, and almost 2,000 students for multiple terms (same instructors). They found significant statistical improvement in both exam scores and final letter grades, when comparing users of an interactive text versus a static one. A pilot study by Farnqvist, Heintz, Lambrix, Mannila, and Wang (2016) involved an online tool called OpenDSA, used for data structures and algorithms courses. Their main finding was that students scored better on the final exam, while also showing a preference for the online tool in log data and questionnaires. A study by Alshammari and Pivkina (2017) compared discrete math and programming courses, in terms of early versus late completion of interactive reading assignments and student performance. Notably, they found that early finishers of interactive reading did better in discrete math, but there was no significant improvement for the analogous programming students; however, the authors concluded that another factor may have to do with how essential the assigned reading is to the course in question.
Studies that mainly investigate student perceptions of interactive textbook material seemed to concur that feedback is generally positive and usage is increasing. Warner, Doorenbos, Miller, and Guo (2015) did a quantitative study of an interactive, online computer programming text using data gathered from over 43,000 users. They found that all types of students (high school, college, online only) used the interactive components extensively, and many used the resource by jumping around, rather than just sequentially. Research by Pollari-Malmi, Guerra, Brusilovsky, Malmi, and Sirkia (2017) focusing on a Python course in Finland found that there was better student motivation, learning, and feedback regarding interactive texts versus static texts. The authors noted that other differences in teaching methods could have also contributed to the results, but any effect was deemed to be small. In addition, there was a flipped classroom study by Davenport (2018) that involved computer programming tutorials in a meteorology course. Although earlier studies suggested negative perceptions of this flipped methodology (including the interactive resources), especially toward the end of the semester, this particular study related to computer programming found that the majority of students recognized the benefits.
Finally, the design studies each offered suggestions for effective interactive components, but from different perspectives. The resource presented by Way (2016) was an interactive Java programming text and was presented in a self-justified manner. Notable design elements advocated by the author included active links to content, interactive coding, animations, and quiz-like checkpoints. In contrast, Ericson, Roger, Parker, Morrison, and Guzdial (2016) offered a well-tested and developed design study, built upon previous studies by the same authors, which included different iterations of the interactive text, as well as teacher and student observations and experiments. The major design recommendations proposed included combining worked examples, practice, and exercises at the end of chapters. Given the interest in studying interactive textbooks and their positive impact on students, we decided to explore creating our own interactive resource.
3. COURSE DEVELOPMENT & DELIVERY
At this institution, the first foundational programming classes are taught in a sequence of three courses: Computer Programming I, Computer Programming II, and Data Structures. The Computer Programming I course is an introductory course currently taught in Python that covers basic programming concepts including types and operators, control structures, files, functions, and classes. A committee of faculty in the School of Computer Science and Information Systems (CS/IS) determine these topics.
In previous semesters, the course content was delivered using PowerPoint notes, text-based exercises, and projects that were provided through the course management system. The instructors utilized the PowerPoint notes to cover the programming concepts. The text-based exercises and projects were then completed by the students and submitted for grading. In addition, students were provided a printed textbook as a secondary resource.
In this course format, the provided printed textbook was not required to be utilized by students because it was not integrated into the course materials. Students could utilize it to read additional information on a topic or see other code examples, but there were no assigned readings or assignments from it. The main reason for this was that the textbook contained more information and topics than what was covered in the course. In addition, the concepts were introduced in a different sequence from the order in which the course was organized. The instructors determined that they wanted to provide the students with a textbook that covered only the topics the course introduced and in the sequence in which they were covered. At the same time, they wanted to create engaging components that would enrich the content and give students opportunities to practice the concepts. These factors motivated the instructors’ desire to create an online interactive textbook that would do the following:
1. Incorporate the topics in the sequence introduced for this course.
2. Provide students immediate feedback when practicing basic programming concepts to help prepare for quizzes and exams.
3. Give students with different learning styles and/or disabilities access to online assistive technologies.
The online textbook was created in three phases. The first phase was to create the content. Following the outline and sequence of topics previously used in the course, the instructors divided the topics into seven chapters. Chapters were then separated into pages. Each page was then constructed into numbered sections that covered subgroups of the chapter topics. An example of a chapter outline follows.
Chapter 1
| Page 1 | |
|--------|----------|
| I. | Intro |
| II. | Output/Comments |
| III. | Identifiers/Data Types |
| Page 2 | |
|--------|----------|
| IV. | Numeric Data |
| V. | Input |
| VI. | Turtle Graphics |
The sections included interactive activities, which allowed students to check their understanding of the content covered in that section and receive immediate feedback. These activities ranged in format from multiple choice, fill in the blank, and matching questions. The sections also included what the instructors called an interactive code writer, which is an Integrated Development Environment (IDE) that has predefined code examples in it. Students can run, modify, and write code directly in the code writer. This gave them the ability to observe how the code executes and to view how modifications to the code affected the output. At the end of each page, a quiz was available for the students to test their knowledge of the topics covered.
During the next phase, the publisher and the instructors worked together to review all content and test all interactive units to make sure they functioned correctly. A small scale usability test was then conducted with a student who had previously taken the course. They provided feedback as to navigation and ease of use of the online textbook. The last phase was implementation of the online textbook during the spring 2019 semester. All sections of the course offered during that semester utilized the online textbook. There was not a control group because our school requires the use of the same textbook for all sections of a course.
The instructors introduced the online textbook the first day of class. Students then set up their account within the online textbook using the access code given to them by the instructor. Instructors familiarized students with the navigation of the online textbook and how to work through the interactive components. Students were expected to work through the content in the online textbook prior to class and
to practice the concepts. Students were instructed that none of the activities would be graded but were encouraged to use the content and activities to help them prepare for class, quizzes, and exams.
During class, instructors created code examples in Thonny, the IDE used in this class, and traced examples on the board to reinforce the concepts the students completed in the online textbook. Most class periods began with a short daily practice problem. Outside of class, students worked on longer module programming projects, worksheets, and short coding problems in a discussion format.
4. DATA ANALYSIS
The instructors gave an optional anonymous survey at midterm to gather data regarding the online textbook, course assignments, and in-class activities. The students were also asked open-ended questions regarding what they liked and did not like about both the online textbook and the class in general. Giving the first survey at midterm allowed the instructors to address concerns and make adjustments during the semester. Forty students took the midterm survey. The majority of the students who enroll in the course are freshman computer science majors but other majors also take the class including GIS, math, and digital media.
| Class Component | Mean 1-5 scale n = 40 |
|---------------------|-----------------------|
| Module programming projects | 4.18 |
| Worksheets | 3.90 |
| Discussion coding problems | 3.88 |
| Quizzes given in class | 3.75 |
| Lightboard tracing videos | 3.28 |
| Daily practice problems | 4.18 |
| Class demonstrations in Thonny | 4.68 |
| Tracing on whiteboard in class | 4.35 |
Table 2: Mean scores of class components at midterm
Students had the option to share comments about what they liked about class and what they would like to have changed. The answers to these questions were analyzed to determine the most frequent comments. The most prevalent remark was to continue with the coding examples in Thonny. Since the instructors were no longer using PowerPoint lectures to cover the material, they often went into the IDE and typed Python code and comments and had the students follow along with them. The next two most frequent comments were to keep doing the module programming projects and the daily practice. The module programming projects were larger assignments that were completed mostly outside of class while the daily practice worksheets were like what many call bell work as they were handed out at the beginning of the class and the students were given the first 5-10 minutes to complete the worksheet which required them to predict code output or write code. The teachers would then review the daily practice before continuing class, and the students got to keep the sheet. These were not graded. The comments about what to change included “more examples in Thonny” and “more
complex in-class assignments.” Clearly going through code in the IDE in class was viewed as valuable to students.
The students were also asked at midterm how much time they spent with the online textbook each week. We did not have the students keep a reading log so it was a student-provided estimate. Table 3 shows the breakdown of their answers with 53 percent of the students reporting they spent 1-2 hour each week using the online textbook.
| Response | Number of students (n = 40) |
|---------------------------|-----------------------------|
| Do not use the online textbook | 4 |
| Less than 1 hour | 12 |
| 1-2 hours | 21 |
| 2 or more hours | 3 |
Table 3: Weekly hours with online textbook
The students were also asked to score the online textbook components on a five-point scale with 5 being “very good” and 1 being “very poor.” There was an option “have not used” so students who did not use that component would not judge it. The components were: readings, interactive activities, quick quizzes, and the interactive code writer. At the end of the course, the students were asked the same questions about the textbook. Thirty students answered the second survey.
| Component | Midterm mean (n = 40) | Final mean (n = 30) | df = 68 |
|---------------|-----------------------|---------------------|---------|
| | M | SD | M | SD | t | p |
| Reading | 3.75| 1.4 | 3.73 | 1.3 | .50 | .652 |
| Activity | 3.43| 1.6 | 3.40 | 1.7 | .06 | .407 |
| Quizzes | 2.90| 1.9 | 2.97 | 2.2 | -.1 | .445 |
| Code Writer | 2.90| 1.8 | 2.67 | 2.0 | .52 | .063 |
Table 4: T-test results comparing midterm and final evaluation of online textbook
After the midterm evaluation, the instructors realized that some students were not using the online textbook so the next lesson was taught in class with the online textbook. We wanted to know if the exposure in class changed their attitudes toward the book so students were asked questions about the online textbook at the end of the course. Independent samples t-tests were done to see if there were significant differences in the responses between the midterm and the final survey. Table 4 shows the results. There were no significant differences in how students rated the online text components between the midterm and final evaluations.
The component of the online textbook that was rated highest was the readings. Qualitative comments also reflected that the way the online textbook was written was well liked. There were several positive comments that the online text was “easy to read,” “short, and “all information was there.” Another popular theme regarding the online textbook was the interactive part. Students repeatedly mentioned that they liked the built-in quizzes and activities and liked to be able to work on their own and get feedback immediately.
Students also realized some challenges when working with the online textbook. The most common comment dealt with some kind of a technical issue where there were errors or a refresh was required to get the book to work. Some students mentioned they would like to have immediate feedback on the correct quiz questions. The feedback was available but students had to go to the online gradebooks to see which ones they missed. If they were just wanting to see the answers without taking the quiz first, then that option was not available. In addition, a few mentioned there were some navigation and search issues that made it hard to use. Others mentioned that the navigation and search capability was a positive.
The day that the instructors demonstrated the online textbook, the interactive code writer did not work as expected so the students were reminded they could always copy and paste the code into Thonny to test if the code writer did not work. In the final evaluation, the students were asked for their preference for using Thonny or the interactive code writer. Over 83 percent of the students said they would rather copy and paste code from the online textbook into Thonny instead of using the included interactive code writer. This is valuable feedback for future direction of the online textbook. Incorporating the interactive code writer was a challenging part of developing the textbook and required additional cost. Removing that component and having students copy and paste code into their preferred IDE may be a better fit for the book. We will need to explore this in order to keep the interactive component viable. Students were also asked about their preference for an online or paper textbook. The results were overwhelmingly in favor of having an online textbook instead of a paper textbook with 87 percent preferring online.
In addition to the data from the student surveys, the instructors were also able to obtain data regarding the use of the online textbook through the publisher’s gradebook. The activities and quizzes from the online gradebook were not included as part of the course grade. However, instructors could see the online gradebook to tell which students had completed the activities and quizzes. For the activities, students received a 1 if they submitted the activity and a 0 if they did not. By submitting, they would learn if they got the answers correct. They received a 1 if they submitted, regardless of the accuracy of their work. There were a total of 47 activities in the online textbook. There were 15 quick quizzes in the online textbook. Students were timed on the quizzes but could take them multiple times, and the highest score was recorded in the online textbook gradebook. The quizzes were each worth 10 points. The total points available was 197 with 47 from activities and 150 from quizzes. Of the 36 students completing the course, 11 students (31 percent) showed no or very low interaction with the online textbook, earning fewer than 10 points in the online gradebook. Measuring the time spent reading or the amount of reading done in the textbook was not available through the online gradebook so could not be included in this analysis. All students who completed the course and received a grade were used in this analysis.
Final course grades are approximately 70 percent quizzes and exams, 15 percent programming projects, and 15 percent discussions and worksheets. To answer our third research question, we used regression to discover whether the grade from their online textbook gradebook was a valid predictor for their overall class percentage. Other predictors that were tested were the average quiz score, the total quiz score, the total number of activities completed, and the total number of activities and quizzes completed. A correlation matrix was generated and as expected, Pearson’s coefficients ranged from .807 to .984, indicating a high level of correlation between the independent variables. Since multicollinearity existed as the predictors (independent variables) were related, each of these predictors was tested in simple regression (Hair, Black, Babin, Anderson, & Tatham, 2006). The best predictor for the overall course grade was the online textbook grade participation score. A significant regression equation was found \((F(1, 34) = 9.99, p < .003)\), with an \(R^2\) of .227. Participants’ predicted course grade is equal to 77.34 (out of 100) plus .097 points for each point increase in online textbook participation. Table 5 shows the results of this analysis.
The average quiz score, total number of quizzes taken, total number of activities completed, and the total number of both activities and quizzes were all significant predictors as well but were not better than the online gradebook participation score.
| | \(F\) | \(R^2\) | \(p\) | \(b_0\) | \(b_1\) |
|------------------|---------|---------|----------|---------|---------|
| Online text grade| 9.9 | .227 | .003* | 77.34 | .097 |
| Avg quiz score | 8.9 | .161 | .015* | 77.37 | 1.12 |
| Total quiz taken | 6.7 | .164 | .014* | 78.66 | .846 |
| Total activ. comp.| 9.3 | .214 | .004* | 75.73 | .309 |
| Total quiz & activ. comp.| 9.2 | .214 | .005* | 76.17 | .240 |
*Significant
Table 5: Simple regression results with course grade as dependent variable
5. DISCUSSION OF FINDINGS
The publisher’s online gradebook score as a predictor shows that the effort that students put into the both activities and the quizzes when using the online textbook were relevant. This finding indicates completing activities as well as trying to do well on the quizzes (versus just attempting them) are better predictors of a student’s final course grade over just viewing the activities. This finding reinforces that student interaction with online materials can lead to learning gain as also shown in Pollari-Malmi et al. (2017) and Farnqvist et al. (2016).
The researchers were encouraged with the positive feedback regarding the use of an online textbook. This finding contradicts what Robinson (2010) found in her study regarding preference as the majority of the students purchased a paper copy. This is likely due to increased acceptance in online materials in the last decade. Pollari-Malmi et al. (2017) also found increased usage in e-textbooks over pdf’s. The textbook used in this study was offered free to all students, but only 69 percent used the book, reinforcing Robinson’s (2010) finding that many students do not use a textbook even when provided free of charge.
Students scored reading the online textbook as the highest component. As previously mentioned, the online gradebook does not measure the amount of time that students spend reading so it’s hard to know whether reading had a confounding effect on the results. Future studies will need to seek a better way to measure reading to determine its role in the final course grade.
Student comments regarding the ability to search, find, and navigate the online textbook were mixed. This could be due to some students using the book more to learn the features or there could be some usability issues that could be addressed. We will review the navigation and search and add some brief instruction in class so students will know how to use the online textbook. In addition, students may or may not have known how to find quiz feedback so that will also be part of our instructions in the future.
There are limitations to generalizing the results of this study. A larger sample size would make the results stronger. In addition, the dependent variable was course grade, and many factors influence final course grade other than the use of the online textbook. Continuing this study into future semesters will allow us to learn more about the impact of this online textbook.
6. CONCLUSION
The overall goal of this study was to examine the degree of utility and value of using an interactive online textbook in a computer programming course. Through analysis of surveys and data collected during a full term of using this resource in multiple sections of a beginning programming course, we have endeavored to answer three questions: what classroom activities were viewed as valuable by the student; how do students perceive the online textbook’s usefulness in terms of its activities; is a student’s online textbook grade a valid predictor for the overall course grade? Our findings were encouraging in that students were mostly positive in their feedback about the textbook, and that valuable information about the effectiveness of various classroom activities was collected. Additionally, we have data connecting the use of the online resource to a student’s performance.
Educational techniques and student populations evolve constantly, which makes iterations of research in this area continually necessary. This particular topic is no different. As interactive online resources become more sophisticated and ubiquitous, no doubt there will be many opportunities for future research on this subject and improvement of these tools.
7. REFERENCES
Aldubaisi, F. (2014). *E-textbook evaluation study*. Auburn University.
Alshammari, K., & Pivkina, I. V. (2017). Relationship between time management in courses with online interactive textbooks and students’ performance. *2017 IEEE Frontiers in Education Conference*, 1-5.
Brost, B. D., & Bradley, K. A. (2006). Student Compliance with Assigned Reading: A Case Study. *Journal of Scholarship of Teaching and Learning*, 6(2), 101-111.
Davenport, C. E. (2018). Evolution in student perceptions of a flipped classroom in a computer programming course. *Journal of College Science Teaching*, 47(4), 30-35.
Edgcomb, A. D., Vahid, F., Lysecky, R., Knoesen, A., Amirharajah, R., & Dorf, M. L. (2015). Student performance improvement using interactive textbooks: A three-university cross-semester analysis. *Computer Science and Engineering*, 1-17.
Ericson, B., Roger, K., Parker, M., Morrison, B., & Guzdial, M. (2016). *Identifying design principles for CS teacher ebooks through design-based research*. Paper presented at the ACM International Computing Education Research, Melbourne, Australia.
Farnqvist, T., Heintz, F., Lambrix, P., Mannila, L., & Wang, C. (2016). Supporting active learning by introducing an interactive teaching tool in a data structures and algorithms course. Paper presented at the SIGCSE, Memphis, TN.
Hair, J. F., Black, W. C., Babin, B. J., Anderson, R. E., & Tatham, R. L. (2006). *Multivariate Data Analysis* (Sixth ed.). Upper Saddle River, NJ: Pearson.
Hyun, J., Ediger, R., & Lee, D. (2017). Students' satisfaction on their learning process in active learning and traditional classrooms. *International Journal of Teaching and Learning in Higher Education*, 29(1), 108-118.
Lumpkin, A. L., Achen, R. M., & Dodd, R. K. (2015). Student perceptions of active
learning. *College Student Journal, 49*(1), 121-133.
Pollari-Malmi, K., Guerra, J., Brusilovsky, P., Malmi, L., & Sirkia, T. (2017). On the value of using an interactive electronic textbook in an introductory programming course. *17th Koli Calling International Conference on Computing Education Research, 168-172.*
Robinson, S. (2010). Student use of an online textbook: Even if it's free, will they buy it? *Allied Academies International Conference: Proceedings of the Academy of Educational Leadership (AEL), 15*(1), 44-49.
Starcher, K., & Proffitt, D. (2011). Encouraging students to read: What professors are (and aren't) doing about it. *International Journal of Teaching & Learning in Higher Education, 23*(3), 396-407.
Warner, J., Doorenbos, J., Miller, B. N., & Guo, P. J. (2015). How high school, college, and online students differentially engage with an interactive digital textbook. Paper presented at the 8th International Conference on Educational Data Mining.
Way, T. (2016). An improved approach for interactive ebooks. *Annual Joint Conference Integrating Technology into Computer Science Education, 248-249.*
Cloud Based Evidence Acquisitions in Digital Forensic Education
Diane Barrett
Bloomsburg University of Pennsylvania
firstname.lastname@example.org
Bloomsburg, PA
Abstract
In a cloud computing environment, traditional digital forensic processes (such as turning off the computer to image the computer hard drive) can be disruptive to businesses because the data of businesses may be co-mingled with other content. As technology changes, the way digital forensics acquisitions are conducted are also changing. The change in methodology affects the way this subject matter is taught in programs and institutions. Methods to teach digital forensic acquisition methods in a cloud computing environment are limited due to the complexity of the cloud environment. This paper explores how a panel of expert practitioners viewed evidence acquisitions within the cloud environment, the implications for digital forensic education, and suggestions on how the education field can prepare students for technological changes in digital forensic acquisition processes where cloud computing environments are concerned and also help develop new methodologies. The paper offers a classroom case scenario as an example on how new methodologies and tools can be used in the classroom.
Keywords: digital forensics, cloud forensics, digital forensic acquisition methods
1. INTRODUCTION
The definition of digital forensic processes has been in existence for many years. Digital forensic processes consist of crime scene evidence collection, evidence preservation, evidence analysis, and presentation of the analysis results (Zimmerman, 2012). Traditional digital acquisition processes include maintaining chain of custody control of forensic evidence data. This chain of custody control occurs in the evidence collection phase through the imaging of a system (Decker, Kruse, Long, & Kelley, 2011). Cloud computing technology disrupts this initial step in conducting a digital forensic investigation and presents a problem for digital forensic investigators because it is not possible to take down and create a forensic image of such a large environment (James, Shosha, & Gladyshev, 2013).
As business models have changed to incorporate a wide variety of cloud computing environments, the escalation of computer crimes from hacking and security breaches related to cloud computing environments has steadily increased. Methods to investigate crime in a cloud computing environment are limited due to the complexity of the cloud environment. Cloud related criminal activity is likely to present security and forensic challenges for an extended period, spanning well into the future (Robinson, 2012). As institutions evaluate their curriculum in preparing students for entering the workforce, digital forensic teaching methodologies must encompass the acquisition of cloud computing related data.
2. BACKGROUND
The science behind digital forensics requires repeatable processes producing consistent results (Decker et al., 2011). Traditional forensic evidence acquisition processes do not fit well into cloud computing because of the way
Traditional forensics focuses on acquiring a complete image of the environment. Current digital acquisition processes include controlling forensic evidence data to maintain an unaltered state through the imaging of a system. With cloud computing environments, such an acquisition is not feasible.
Traditional digital forensic acquisition processes focus on individual computers and isolated environments, while cloud computing forensic acquisition processes include the intricacies of complex infrastructures including virtual servers, applications, and diverse operating platforms that may be located in foreign countries (James et al., 2013).
Cloud computing systems consist of multiple user environments, using a variety of services. Shutting down a cloud computing system disrupts services to all the user environments hosted on the system (Pârășcu, & Patriciu, 2014). The common forensic procedure of shutting down the system in order to take a forensic image of the system cannot apply to hosted cloud services due to disruption of service to a wide scope of users. Cloud computing systems using distributed file systems have large volume storage areas distributed physically across many geographic locations. The application of current forensic methods cannot be used because it is impossible to image and reconstruct separate replications of each disk node (Farina, Scanlon, Le-Khac, & Kechadi, 2015). The time, storage, and labor required to forensically collect and reassemble this environment is extremely extensive and quite unmanageable.
Many of the key aspects of proper evidence acquisition and handling such as evidence control, acquisition skills, and forensics tools need further development to meet the requirements to properly acquire digital evidence in cloud computing environments (Lallie & Pimlott, 2012). Prior research from a 14-member expert panel survey shows that eleven (79%) of the panel members felt the knowledge and skill requirements for cloud environments were different for cloud computing forensics acquisitions and non-cloud computing forensic acquisitions.
Predefining skill requirements where cloud computing environments are concerned is impossible due to the dynamically changing environment (Goodall, Lutters, & Komlodi (2009). The nature of such expertise makes transferring those skills to other examiners problematic (Goodall et al., 2009). New analysts cannot properly validate the information in the reports without extensive knowledge. Network security tool creators and vendors must recognize the vital role human expertise plays in report validation.
3. PRACTITIONER VIEWS
In order to garner opinions on cloud forensics and the application of traditional forensic acquisition methods to cloud forensic environments, an expert panel survey was conducted. In this study, a qualitative research methodology based on the Delphi technique was used to collect data from a sample of digital forensic subject matter experts. Expert panel member selection was based on the criteria from a submitted statement of qualifications. Only digital forensic investigators with at least five years of relevant field experience, published work, industry presentations, and recognition were eligible to participate in this study. The expert panel consisted of 14 members from several countries. Fourteen panel members were selected because an ideal Delphi panel consists of 10-18 members. The 14 panel members were selected based on the extent of their knowledge and experience.
An online written narrative interview questionnaire for the study began with 10 open-ended written questions on cloud computing based on the cloud study by Ruan Baggili, Carthy, & Kechadi (2011) as defined in Appendix A. Panel members were then asked to evaluate 20 common forensic procedures for applicability to cloud computing environments. The common forensic procedures selected are listed in Appendix B.
The findings demonstrated there were very diverse opinions on cloud computing, cloud forensics, and the effect cloud computing environments had on digital forensics. Standard evidence acquisition procedures, federal and local laws, court accepted methods, and the cooperation of the cloud provider were all factors that affected the way a successful forensic acquisition was conducted in a cloud computing environment. The areas of tools, processes, and guidance available for forensic evidence acquisitions in cloud computing were relatively immature.
A recap of the responses to the evaluation of the 20 common forensic procedures for applicability to cloud computing environments indicated several key points. Only eleven (55%) of the 20 pre-selected traditional forensic processes were usable for the forensic acquisition of digital evidence in cloud computing environments and the usability of those processes had some limitations. Post-acquisition processes were most suited for application in cloud computing environments. Seven (35%) the 20 pre-selected traditional forensic processes were modifiable for the forensic acquisition of digital evidence in cloud computing environments depending on the level of access and service provider cooperation. Pre-acquisition processes were most suited for modification in cloud computing environments. One (5%) of the 20 pre-selected traditional forensic processes required the development of new processes for the forensic acquisition of digital evidence in cloud computing environments. Table 1 depicts these findings. The panel members suggested that pursuing the development of new processes in some cases was moot because the processes were irrelevant to cloud computing environments.
4. IMPLICATIONS FOR DIGITAL FORENSIC EDUCATION
According to NIST (2014), cloud computing is projected to drastically alter first responder and examiner processes. Practitioners agree that the knowledge and skill requirements for cloud are different for cloud computing acquisitions and non-cloud computing forensic acquisitions. In order to prepare digital forensic professionals for this change in processes, practitioner education will be needed (Holt & Bossler, 2011). This will require additional funding for new program development that will accommodate the projected alteration of first responder and examiner processes. Education on acquisition procedures will be in need the most.
Cloud forensics is a relatively new area of digital forensic practices with few industry professionals capable of providing required training (Ruan et al., 2011). The organizations and universities that build and deliver curriculum in digital forensic areas that involve cloud computing acquisitions need to participate in the advancement of the digital forensics field. Academia and the digital forensic training community will need to create and encourage the development of new training programs so that practitioners may better respond to situations where the acquisition of cloud computing environments are required. The expert panel study results provide compelling reasons for individuals currently involved in cloud forensics research to provide direction and advice for those implementing training programs, courses, or curriculum including education for law enforcement and industry professionals for the advancement of the profession in the ability to pursue cybercriminals.
Academia and the digital forensic training community need to create and encourage the development of new training programs so that practitioners may better respond to situations where the acquisition of cloud computing environments are required. The development of training programs, courses, or curriculum is dependent on existing knowledge. The panel research produced a contingency framework connecting the study results to practice as shown in Figure 1, Appendix C. This represents an illustration of the digital evidence forensic acquisition cloud contingency model.
As an example of how the model can be applied, the pre-acquisition process of performing procedures identified in a forensic acquisition checklist is used in Figure 2. The purpose of this example is to illustrate the application of the theory behind the model as an approach to guiding the relevance of the model to real-life situations. The process is the starting point because it is the constant. Three primary types of cloud environments of private, public and hybrid are used to introduce uncertainty. Based on the themes extracted from the study results, contingencies for determining if performing procedures identified in a forensic acquisition checklist include fluidity of environment, legal accessibility, and identification of the acquisition target. The contingencies then determine whether the process can be applied, requires modification, or if a new process is required to be developed and is illustrated in Figure 2 of Appendix C.
The premise of the digital forensic acquisition cloud contingency model is that in order to be effective, the process application methodology must be flexible and adapt to the contingencies produced by the cloud computing environmental situation. The resulting contingency model is well suited to a wide range of cloud computing environmental applications.
The general framework presented is populated with specific digital forensic acquisition process categories, a recommendation as to the applicability, and the contingency variables upon
which the process application is dependent. This format makes it an ideal starting point for training or education in this area. The applicable forensics processes that ported over well to cloud computing environments occurred because similar processes are used in current live analysis and network forensics methods. This provides a basis for expanding network forensics to either include cloud forensics as part of this domain or develop new training and education based on the domain. The base of forensic knowledge is expanded by researching information and incorporating the ideas of others into training and education programs.
5. AVAILABLE TOOLS
Representatives of the Cloud Security Alliance and forensics practitioners agree that there is a need for additional research to create a framework of methodologies and establish processes that will hold up when challenged in a court of law (Zimmerman & Glavach, 2011). There is a need to develop a forensic architecture for cloud computing environments. Many of the key aspects of proper evidence acquisition, handling, and analysis such as evidence control, acquisition skills, and forensics tools need further development to meet the requirements to properly acquire digital evidence in cloud computing environments (Lallie & Pimlott, 2012).
Digital forensic investigators must broaden digital forensic practice tools and expertise to include cloud computing environments. The current mature tools, processes, and expertise for digital investigations focus on small, individual environments (Svetcov, 2011). There is still an emphasis on imaging all devices in the environment and a belief that if there are any changes to the media where the data is stored during the acquisition process, the data is not reliable where the courts are concerned (Cohen, 2011).
Cloud computing environments make it extremely impractical to conduct in-depth analysis on each bit of storage media (James et al., 2013). Forensic labs do not have the capacity required to process large quantities of media in a timely manner. Forensic tools become unstable when case files become too large and weeks or months of work is negated if the created case file consistently becomes unresponsive because the data capacity is too large for the tool to handle (Svetcov, 2011).
Cloud computing forensic evidence acquisitions pose challenges at a more rudimentary level, the acquisition itself. In a cloud environment, the examiner has few options to image the virtual machine remotely, and deploying a remote forensic agent requires administrative credentials. In some instances, there may be a willingness to conduct an internal acquisition by the provider (Dykstra & Sherman, 2011). However, in many cases the information is proprietary and confidential so the provider is reluctant to turn over any raw data. Tools will gradually become outdated and computer forensic practitioners will no longer be able to rely on forensic analysis results, unless the forensic community formulates a vibrant strategy for developing methods that build upon each other. Garfinkel (2010) argued that the digital forensic investigative practice has been in a golden age and that golden age is rapidly ending and proposed a plan for realizing research and operational effectiveness by using forensic computation systematic approaches. Garfinkel (2012) further stated that writing digital forensic tools is difficult because of the diversity of data types that needs to be processed, the need for high performance, the skill set of most users, and the requirement that the software run without crashing.
Vital aspects of proper evidence acquisition necessitate additional development of forensics tools to meet the requirements for properly acquiring cloud computing environments (Zhou, Cao, & Mai, Y, 2012). An unexpected finding was that even a panel of experts experienced difficulty agreeing on some processes when discussing the application of digital forensic evidence acquisition methods to cloud computing environments. Four (29%) panel members felt there were no current tools available with which to conduct forensic acquisitions in cloud computing environments and five (36%) felt the current tools for non-cloud environments were sufficient to conduct forensic acquisitions in cloud computing environments. Four (29%) panel members identified a specific forensic tool, F-Response, as the only available tool capable of performing forensic acquisitions in cloud computing environments. One (7%) panel member indicated that current eDiscovery tools had the capability to accomplish forensic acquisition tasks in cloud computing environments.
The development of training programs, courses, or curriculum is dependent on existing knowledge. There are compelling reasons for individuals currently involved in cloud forensics
research to provide direction and advice for those implementing training programs, courses, or curriculum including education for law enforcement and industry professionals for the advancement of the profession in the ability to pursue cybercriminals.
6. EDUCATIONAL IMPLEMENTATION EXAMPLE USING A CASE SCENARIO
Cloud environments are difficult to access in a forensic manner because the environment is live and the evidence cannot be logged into directly as it violates preserving the state of data and alters the data state. This can be compared to looking through a hard drive to find evidence without first creating a forensic image of the drive. The first rule of evidence is to never work on original evidence. The scenario acquisition process combined with the VM tools produces the repeatable processes necessary for the preservation of evidence and validation required. Based on the expert panel research and the contingency model created, a class project was created.
The basis of the project was an e-Discovery factual case scenario. The case scenario is based on several work-related legal issues but is a good starting point because it encompasses many different types of cloud based evidence. The case involves an employee of a worldwide organization that became disgruntled when he was accidentally copied on an email about a promotion he was being denied. In turn, the disgruntled employee exfiltrated company data to take with him after accepting a position with a competitor. During this time, the employee began communication with an old high school girlfriend who had located him on Facebook and he confided pertinent information with her. The scenario was used to build a cloud computing scenario by creating cloud based artifacts.
The scenario includes many cloud components including cloud based email, cloud based personal storage, social media, and cloud based corporate storage. The evidence items encompass personal e-mail accounts, Facebook pages, corporate storage buckets on Amazon Web Services (AWS), and personal storage on DropBox, Box, and Google Drive. The project is broken into two parts: an initial fact finding and exploration part and an actual acquisition part. Breaking the project into two parts gives the students practice in using cloud environment acquisition tools and allows students to become familiar with the process of doing an acquisition in a cloud computing environment. Privacy and legal considerations are discussed in the scenario since some of the storage buckets are located in foreign countries.
The investigative environment consists of a virtual machine (VM) that contains several forensic tools such as Access Data’s FTK imager, F-Response Universal, and Paraben’s E3 DS. Paraben E3 and F-Response access the cloud environment through an authentication API. Basically the tools act as an intermediary between the forensic examiner and the cloud environment. This allows evidence to be mounted as read-only and prevents direct access by the examiner. Then standard validation processes such as hashing can be conducted. This is an acceptable process from a forensic standpoint. In the classroom, the process does not allow the student to touch the original evidence, reinforcing proper forensic procedures.
Once the environment is accessed, both F-Response Universal, and Paraben’s E3 DS can compress, hash, and export the data. The evidence is preserved in a forensic manner using this process. Once the acquisition is complete, the evidence is analyzed in the same manner as any other evidence. This validates the expert panel findings that post-acquisition processes were most suited for application in cloud computing environments.
Cloud acquired evidence is analyzed in the same manner as any other acquisition. This process is supported by prior research from the 14-member expert panel survey. Post-acquisition processes were most suited for application in cloud computing environments. Following post-acquisition processes in order of applicability were live acquisition processes.
There are a few important points worth mentioning. Credentials are needed in order to access the environment. The authentication of the accounts requires logins and passwords. Authentication keys are required to access AWS storage. As long as all parties are cooperative this information will be available. If the parties are not cooperative, the process cannot be used. When parties are not cooperative, any investigation is impeded, whether it is a cloud-based or a traditional forensic based investigation. When two-factor authentication is used, the process will be difficult as currently tools are not set-up to access information when two-factor authentication is required. This difficulty is encountered whether it is a cloud-based or a traditional forensic based
investigation. Privacy and legal issues are a consideration, especially since the passage of General Data Protection Regulation (GDPR).
The case results indicate the learning methodology used was successful. Some students took the path of least resistance and logged into several of the accounts instead of thinking outside the box. This breach of forensic process resulted in lower scores for those students. Assessment results from the Fall 2019 section of the class show that overall scores improved between the initial assessment in Week 4 and the final assessment in Week 8. The average score in Week 4 was 60%, with a median grade of 72%. In week 8, the average score was 69%, with a median grade of 79%.
7. FUTURE RESEARCH AND WORK
The opportunity for researchers to make innovative contributions and substantial impact to the cloud computing industry has only just begun (Zhang, Cheng, & Boutaba, 2010). The findings from the expert panel study are a bridge to a very small body of literature. The results of the study produced a contingency framework and digital evidence forensic acquisition cloud contingency model to help guide a course of implementation that can test the model and be used in teaching methodologies.
Using contingency frameworks to address other research questions provides a different perspective on the application of digital forensic acquisition methods to cloud computing environments. Additional studies could firmly establish that the choices available for the application of digital forensic methods to cloud computing environments are ingrained in contingency frameworks. One of the significant contributions of the expert panel study is the identification of contingency factors such as available tools, access, availability, and acquisition scope as the underlying elements when choosing the application of digital forensic methods to cloud computing environments. These contingency factors are easily ported to other evidence acquisition methods for expanding teaching and research in this area.
The digital evidence forensic acquisition cloud contingency model suggests other important directions of research and teaching methodologies. Accepting a contingency perspective on how to choose digital process application in cloud computing environments can serve as a powerful theoretical lens both in interpreting the results of prior models and in shaping rigorous research models for future inquiry. Another direction for future research and teaching would be to examine the influence of multiple contingencies on the process application within individual cloud types.
The expert panel study was conducted using a 14 member expert panel, which is a very small subset of all practitioners and researchers in the digital forensics field. A similar study can be performed using a larger sample. Carlton (2007) identified 103 forensic acquisition tasks. The task identification encompassed three phases of a digital forensic acquisition based on tasks performed during investigation preparation, the actual event, and concluding tasks. This same study can be conducted on an expanded set of processes to include more than the 20 identified processes used in the study. Future study options would be to include all 103 identified processes, restrict the study to one of the phases outlined by Carlton (2007), or re-evaluate the processes identified by Carlton to identify which of the 103 processes are still relevant.
8. CONCLUSION
Educating students in a constantly changing technological environment presents challenges to the academic field. The purpose of this paper was to explore how a panel of expert practitioners viewed evidence acquisitions within the cloud environment, the implications for digital forensic education, and suggestions on how the education field can prepare students for technological changes in digital forensic acquisition processes where cloud computing environments are concerned. A case scenario project was included to show how new processes can be incorporated into the classroom.
The work contained within is based on a qualitative Delphi study used to develop a robust contingency framework through the evaluation of 20 conventionally recognized forensic acquisition processes by a panel of subject matter experts (SMEs). The knowledge and skill requirements for conducting acquisitions in a cloud computing environment differed from a non-cloud computing environment but there was very little guidance available for digital forensic professionals on conducting acquisitions in a cloud computing environment. As an industry, digital forensics is lacking the tools, published processes, and guidance for proper acquisition of
digital evidence in cloud computing environments. Pre-acquisition processes are most suited for modification in cloud computing environments while post-acquisition processes are most suited for application in cloud computing environments. The digital acquisition processes that applied to cloud computing environments were modeled after already established network forensic processes.
A sample case example was included to demonstrate validation of the expert panel findings and show how the study results can be incorporated into the classroom environment. The scenario includes many cloud based forensic evidence items. The scenario addressed the privacy and legal considerations associated with cloud-based evidence. The process used in the case example project provided students with hands-on experience using tools for cloud-based evidence acquisitions that are different from traditional digital forensic tools.
Recommendations for educators included improved training and education. Recommendations for future research included expanded contingency theory application, targeting specific types of cloud computing, using a larger sample population, and expanding the number of acquisition processes examined. Once the research is completed porting over these processes to the educational environment is the next step to producing new teaching methodologies and forensic processes. Creating new scenarios such as the one provide in this paper furthers the development of training programs, courses, and curriculum for the existing body of knowledge.
9. REFERENCES
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Cohen, F. (2011). Putting the science in digital forensics. *Journal of Digital Forensics, Security and Law, 6*(1), 7-14. Retrieved from http://www.jdfsl.org/
Decker, M., Kruse, W., Long, B., & Kelley, G. (2011). *Dispelling common myths of "live digital forensics".* Retrieved from http://www.dfcb.org/docs/LiveDigitalForensics-MythVersusReality.pdf
Desai, P., Solanki, M., Gadhwal, A., Shah, A., Patel, B. (2015, January) Challenges and Proposed Solutions for Cloud Forensic. *International Journal of engineering Research and Applications, 1*(5), 37-42.
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Farina, J., Scanlon, M., Le-Khac, N., & Kechadi, T. (2105, August). Overview of the Forensic Investigation of Cloud Services. International Workshop on Cloud Security and Forensics (WCSC 2015).
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Appendix A: Online Written Narrative Interview Questions
Please answer the following open ended questions based on your expert opinion:
1. What is cloud computing?
2. What is cloud forensics?
3. What impact does cloud computing have on digital forensic acquisitions?
4. What challenges does the area of cloud forensics currently face?
5. In what ways are cloud forensic acquisitions more or less complex when compared to similar non-cloud forensic acquisitions?
6. Who is responsible for the acquisition of cloud computing forensic evidence in civil and in criminal cases?
7. How are the knowledge and skill requirements different for cloud computing acquisitions from non-cloud computing forensic acquisitions?
8. What current tools are available with which to conduct forensic acquisitions in cloud computing environments?
9. What published processes are available that describe forensics acquisitions in cloud computing environments?
10. What current guidance is offered on the forensic acquisition of evidence in cloud computing environments?
Appendix B: Online Written Narrative Questions Regarding the 20 Selected Forensic Processes
Please answer the following open ended questions based on your expert opinion as to the applicability of the following tasks to cloud computing environments. Explain how the following traditional processes can be applied to cloud computing environments. If the process cannot be applied and the process can be modified or a new process has to be developed, please provide your opinion on what the modified or newly developed process would look like.
1. Perform procedures identified in a forensic acquisition checklist
2. Perform a RAM dump
3. Collect volatile data
4. Perform a live image acquisition of the computer
5. Photograph the displayed image shown on the computer’s monitor
6. Determine the programs currently running on the computer
7. Power off the unit by using the operating system shutdown method
8. Determine the current date and time from a reliable source
9. Document the manufacturer, model, and serial number of all storage media attached to the computer
10. Remove the hard disk drive(s) from the system unit
11. Document number of hard drives, size and disk geometry
12. Use EnCase to obtain an image of suspect media
13. Use AccessData’s FTK to obtain an image of suspect media
14. Use UNIX/Linux dd command to obtain an image of suspect media.
15. Identify any network connections, and document findings
16. Generate a MD5/SHA1 hash value of the forensic image
17. Preserve suspect media in its original condition and securely seal
18. Place suspect media in a secure storage area or evidence vault
19. Create a clone copy of suspect media for mounting and analysis
20. Perform a visual comparison of the directory structure of the image and the suspect disk to verify that the image is readable
Appendix C: Figures
Figure 1. An illustration of the digital evidence forensic acquisition cloud contingency model
Figure 2. Application of the digital evidence forensic acquisition cloud contingency model to pre-acquisition process.
Appendix D: Tables
Table 1
Study Results of the 20 common forensic procedures for applicability to cloud computing environments
| Forensic Procedure identification | Number of procedures |
|--------------------------------------------------------------------------------------------------|----------------------|
| Traditional forensic processes usable for the forensic acquisition of digital evidence in cloud computing environment | 11 |
| Traditional forensic processes modifiable for the forensic acquisition of digital evidence in cloud computing environments | 7 |
| Traditional forensic processes required the development of new processes for the forensic acquisition | 2 |
Teaching Applications and Implications of Blockchain via Project-Based Learning: A Case Study
Kevin Mentzer
email@example.com
Information Systems and Analytics Department
Bryant University
Smithfield, RI 02917, USA
Mark Frydenberg
firstname.lastname@example.org
David J. Yates
email@example.com
Computer Information Systems Department
Bentley University
Waltham, MA 02452, USA
Abstract
This paper presents student projects analyzing or using blockchain technologies, created by students enrolled in courses dedicated to teaching blockchain, at two different universities during the 2018-2019 academic year. Students explored perceptions related to storing private healthcare information on a blockchain, managing the security of Internet of Things devices, maintaining public governmental records, and creating smart contracts. The course designs, which were centered around project-based learning, include self-regulated learning and peer feedback as ways to improve student learning. Students either wrote a research paper or worked in teams on a programming project to build and deploy a blockchain-based application using Solidity, a programming language for writing smart contracts on various blockchain platforms. For select student papers, this case study describes research methods and outcomes and how students worked together or made use of peer feedback to improve upon drafts of research questions and abstracts. For a development project in Solidity, this study presents the issues at hand along with interview results that guided the implementation. Teams shared lessons learned with other teams through a weekly status report to the whole class. While available support for the Solidity teams was not ideal, students learned to use available online resources for creating and testing smart contracts. Our findings suggest that a project-based learning approach is an effective way for students to expand and develop their knowledge of emerging technologies, like blockchain, and apply it in a variety of industries.
Keywords: blockchain, distributed ledger, emerging technologies, project-based learning, self-regulated learning, peer learning
1. INTRODUCTION
Project-based learning (PjBL) is a pedagogical approach in which students take primary responsibility for their learning through focused inquiry (Barron et al., 1998; Gordon & Brayshaw, 2008; Thomas, 2000). One area where this approach has been successful is learning and applying an emerging technology in the context of a project that students define and develop (Bell, 2010; Gibson, O’Reilly & Hughes, 2002; Yue, Chandrasekar & Gullapall, 2019).
Blockchain is an important and timely example of an emerging technology. It also has the potential to be disruptive in many different industries (Bambara & Allen et al., 2018). Such potentially disruptive technologies are of interest to students since they present opportunities to consider and study applications that are new, different, and exciting. Blockchain’s first use cases were to mediate payments, which led to blockchain’s early adoption in financial services (Hileman & Rauchs, 2017). More recently blockchain has been proposed for a much more diverse range of applications (Bashir, 2018).
As summarized in Figure 1, a well-designed project-based learning experience is one in which the student has ownership of the project. Furthermore, student learning outcomes are improved if the project demands both creativity and critical thinking (Rice & Shannon, 2016; Weimer, 2013). Finally, in many learner-centered environments, different forms of collaboration, e.g., peer learning and peer teaching, often improve the quality of course projects (Aditomo & Goodyear et al., 2013; Jackson & Bruegmann, 2009; Stefanou & Stoik et al., 2013).
A central goal of this study is to understand how students learned and applied the fundamentals of blockchain technology via PjBL. The remainder of this paper is organized as follows: Section 2 provides a brief overview of blockchain technology. Section 3 describes how the learning goals of blockchain courses at Bryant University and Bentley University were supported by PjBL. Section 4 presents and analyzes four student projects, and finally we conclude with some reflections and lessons learned after delivering these courses.
2. BLOCKCHAIN OVERVIEW
A blockchain is a continuously growing ledger of transactions that are grouped into blocks. Each block is linked to the prior block and secured using cryptography. By design, a blockchain is immutable, meaning that it is highly resistant to modification of the data that has been recorded on the chain. The ledger is distributed amongst all nodes in the network. Each node has a copy of the entire transaction history. When a new transaction is generated, all nodes in the network verify the transaction; this is known as consensus.
A blockchain can be either permissioned or permissionless. Permissionless blockchains, like Bitcoin and Ethereum, mean that anyone can participate by generating transactions while in a permissioned chain only those with permissions can generate transactions. In addition, blockchains can be either public or private. This indicates who can see the transaction history. Anyone can see the history in a public blockchain while only certain entities can see the transactions in a private blockchain (Norman, 2017).
The initial concept behind blockchain technology was produced in a white paper by the anonymous author Satoshi Nakamoto (2008) and was used as the foundation on which the Bitcoin cryptocurrency was launched. Since its launch, Bitcoin has grown to a market cap of $151B (as of October 1, 2019).
However, the Bitcoin blockchain is limited in functionality to a single application, that being the cryptocurrency Bitcoin. Others recognized that the underlying blockchain technology could have much wider application with some key changes. In 2014 Anatoli Buterin published a whitepaper that introduced the concept of smart contracts, or code that could be embedded and executed on the blockchain (Buterin, 2014). This became the foundation for the Ethereum
blockchain. While the Ethereum blockchain has a cryptocurrency like Bitcoin, it also supports a myriad of other applications.
While both Bitcoin and Ethereum are public blockchains, meaning that anyone can see any and all transactions that occur on the blockchain, businesses often need additional flexibility to manage who can participate in and view transactions. As a result, in late 2015 the Linux Foundation launched Hyperledger which has emerged as a leading blockchain for developing enterprise applications (Sharma, 2019) and is often used by businesses in areas, such as supply chain, where transactions may be visible based on permissions (Wüst & Gervais, 2018).
Looking at a recent Gartner Emerging Technologies Hype Cycle (Gartner, 2018) shown in Appendix A, Figure 5, one can see that blockchain is moving away from the peak of inflated expectations and towards the trough of disillusionment. As a result, one could surmise that the interest in blockchain will wain overall. However, as Pisa (2018) argues, the early excitement of blockchain was based on the public, permissionless blockchains like Bitcoin and Ethereum and a second wave of interest may be emerging around permissioned ledgers such as Hyperledger.
While blockchain emerged as a platform by which a cryptocurrency could be maintained, its applications are far-reaching and well beyond financial uses. Blockchain has application in areas such as digital supply chains (Korpela, Hallikas, & Dahlberg, 2017; Tian, 2016), digital government, including land records and voting (Jun, 2018; Ølnes, Ubacht, & Janssen, 2017), and gaming (Gainsbury & Blaszczynski, 2017; Piasecki, 2016), just to name a few.
3. PROJECT-BASED LEARNING AND LEARNING GOALS
According to Blumenfeld et al. (1991), the essence of project-based learning is that a question or problem serves to organize and drive student activities. Although the central features and benefits of PjBL are well understood (e.g., see Figure 1), specific implementations of this instructional approach vary widely (Aditomo & Goodyear et al., 2013; Zimmerman, 1990). For example, Thomas (2000) and Helle et al. (2006) agree that projects should have students “encounter (and struggle with) the central concepts and principles of a discipline” (Thomas, 2000, p. 3). Furthermore, in a post-secondary setting, projects should engage students in a significant constructivist activity resulting in a thesis, report, model, design plan, computer program, composition, or performance (Helle, Tynjälä & Olkinuora, 2006). Because of the focus on business education at both universities involved in this study, Bryant and Bentley feature PjBL as central to our curricula, as it would be in other disciplines, e.g., engineering (Hadim & Esche, 2002). This means that the students in our classes, who were mostly juniors and seniors, had experience working on both team and individual projects before taking our courses.
Many of the outcomes due to PjBL in the context of the courses offered at Bryant and Bentley were consistent. The most successful projects were the ones in which students took the greatest initiative (Weimer, 2013), were most resourceful (Bell, 2010), and worked the hardest (Freire, 1993).
In spite of the common connection to blockchain technology, however, some differences in the educational activities enabled and even catalyzed student projects. The *Introduction to Blockchain* course at Bryant (see Appendix B) was designed for more technically-oriented students with some programming background. Hence students were required to learn Solidity, a programming language for writing smart contracts, and implement a simple smart contract in an Ethereum development environment during the first half of the course. This exercise supported two of the five learning goals of the Bryant course: to enable students to evaluate and develop smart contracts using the Solidity language, and to enable students to recognize the unique challenges of implementing blockchain including the inability to easily change smart contracts and the inability to reverse transactions. (See Appendix B.)
In contrast, the *Blockchain: Applications, Policy and Implications* course at Bentley (see Appendix C) was designed for more managerially-oriented honors students from diverse academic backgrounds. Specifically, the seven students in this class hailed from five different majors. Their initial activities required that they complete selected readings – taken from (Bashir, 2018; De Filippi & Wright, 2018; Henvner & Chatterjee, 2010; Norman, 2017) – and engage in discussions and design exercises in class. Taken together these activities supported the second and third learning goals for this course. (See Appendix C.) Unfortunately, because these honors students were engaging in
these instructional activities while also refreshing their skills related to research methods (Saunders, Lewis & Thornhill, 2016), the students often felt overwhelmed by their capstone experience.
Even though the student audiences at Bentley and Bryant were different, the connections between the foundational educational activities and learning goals for each course were similar. For example, in the Bentley course, the critical literature review due in week six helped assure that each student was on a trajectory to conduct original research by having them situate their research project within the current literature. This activity directly supported the fourth and fifth learning goals for the Bentley course. For students on the research track in the Bryant course, the industry-focused midterm paper due in week seven helped assure the rigor and relevance of the final projects and also supported the fifth learning goal for the Bryant course.
As a final note, although self-regulated learning is common in project-focused courses (Saks & Leijen, 2014; Stefanou & Stolk et al., 2013), it played out very differently in our two courses. Discussion of this finding is deferred to Appendix B and Appendix C, after a discussion of student projects in the next section and lessons learned in Section 5.
4. BLOCKCHAIN STUDENT PROJECTS
To successfully complete their coursework students either wrote a research paper, in phases, during the semester or worked in teams on a Solidity programming project. To provide an interesting cross-section of the student projects, we describe four of the sixteen projects in the next four subsections.
Bryant Student Project by Cayla D’Amico: Healthcare Privacy
The first student project explores the security concerns related to storing private individual healthcare-related information on the blockchain. This work explores one of the key factors driving blockchain adoption in healthcare, the privacy and security of private health information as well as key factors inhibiting growth, the challenge of an immature infrastructure, and the risks associated with patient-controlled health data (Rabah, 2017). While others (Peterson, Deeduvanu, Kanjamala, & Boles, 2016) have focused on creating blockchain-based solutions for the healthcare industry, they fail to distinguish between the varying types of health data and whether some data is more appropriate for the blockchain than other data. This work intended to extract patient concerns related to different types of health information, which could lead to suggestions on which data might be better received given the challenges of this immature technology.
D’Amico used a survey to elicit responses from 100 individuals ranging in age from 19 to 73. She used her personal network, which included several relatives who work in healthcare, to distribute the survey.
Recognizing that the general public lacks knowledge about blockchain, the survey instead focused on the underlying features that could be enabled using blockchain technology. She found that 75% of the respondents felt confident that their personal data was kept safe and secure. Younger respondents were more likely to trust that their data was secure over older respondents, as shown in Figure 2.
When asked about specific security concerns (HIPPA, hackers, and poor system controls), the majority were concerned most with hackers, followed by the leaking of the data as a result of poor controls, and finally HIPPA violations, as shown in Figure 3.
She then tried to uncover what types of information are less sensitive than others. Her rationale was that pilot studies could potentially focus on data that is of less concern until public confidence in the new technology has been obtained. This was measured by how much money a person would have to be paid to share this information. As shown in Appendix F, Figure 8, respondents were more likely to sell data such as eye and dental history, while respondents were either unwilling to sell, or only would sell for higher amounts, data such as DNA and disease history.
**Discussion**
Through the weekly status reports, D’Amico was able to discuss and pilot her survey instrument which went through several iterations. Feedback from others helped her add questions that would allow for the accounting of whether someone felt they had personally embarrassing information or not. She was able to explain the constructs she was trying to measure and get feedback on better ways to word questions or ways to ask additional questions to get better responses.
D’Amico’s challenge was how to measure the appetite for an emerging technology, knowing that those she would be asking about that technology would have little to no understanding of the technology. In order to do this, D’Amico had to understand the risks and opportunities of the new technology so that she could ask questions related to those risks and opportunities.
**Bentley Student Project by Yishan Wang: IoT Security**
The second student project explores the benefits of using blockchain to improve the security of Internet of Things (IoT) devices (Sicari, Rizzardi, Grieco, & Coen-Porisini, 2015). Wang used a design science research approach to this problem (Hevner, 2007; Peffers, Tuunanen, Rothenberger, & Chatterjee, 2007; Vaishnavi, Kuechler, & Petter, 2019) targeting a knowledge contribution that represented a substantive improvement over existing designs (Gregor & Hevner, 2013). Figure 4 summarizes how Wang’s project achieved this goal: IoT security was considered part of an application domain – information security – that is quite mature, since early work in the area dates back to the 1970’s (Saltzer & Schroeder, 1975). This placed Wang’s study in the improvement or routine design quadrants in Figure 4. This study was a knowledge contribution that was an improvement over prior research since it addressed novel and significant research objectives, which in aggregate represented a research opportunity, placing it in the top left quadrant of this figure.
This project had four research objectives:
1. To understand ways that blockchain could improve the confidentiality, integrity, and availability of the data processed and stored in IoT devices.
2. To understand how blockchain can reduce or eliminate single points of failure in IoT device deployments.
3. To assess the role of edge or fog computing and how they can help secure IoT devices.
4. To explore and assess the feasibility of design proposals through analyzing specific applications and use cases.
Perhaps the most important insight of this project was that since almost all design is domain dependent (Suh, 1998), there is no one size fits all solution that solves the “IoT security problem.” For example, the security policies and mechanisms used to secure the IoT network in a hospital likely would be different from those used to secure IoT devices in a smart home. Because of this insight, Wang proposed a framework for securing IoT devices with respect to their computation, communication, and storage (McCumber, 1991) by pairing each IoT device (or a set of devices) with a block on a permissioned blockchain. Thus, by leveraging edge computing principles, each “IoT security block” acts as a gateway for three secured services:
A. Access control for invoking underlying services provided by the IoT devices;
B. Information flow management for consuming data elements or data streams produced by the IoT devices; and
C. Monitoring and alert information services about the overall health of the IoT devices, including their security health.
By requiring (and enforcing) that applications only configure, access, and use IoT devices via their associated IoT security block, the IoT devices inherit the security properties of their security block. If the IoT devices can serve as both data sources and data sinks, information flow must be managed and secured in both directions.
Designing for security is never perfect, however, the blockchain-based IoT security framework proposed in this second project, with the appropriate assurance (Bishop, 2018), would provide robust protection for four out of the Top 10 IoT security vulnerabilities (Paul, 2019):
- Insecure network services;
- Insecure ecosystem interfaces;
- Insufficient privacy protection; and
- Insecure data transfer and storage.
Furthermore, services A, B, and C above could provide some protection against some vulnerabilities in the IoT devices:
- Insecure default settings (e.g., by overriding unsafe default configurations and settings);
- Weak, guessable, or hardcoded passwords (e.g., by blocking access to or securing these insecure interfaces); and
- Lack of device management (e.g., by implementing minimal control and status functions in the security block).
The most interesting use case analysis in this project demonstrated that securing the seven above vulnerabilities would have been sufficient to stop the Mirai botnet attack on the Domain Name System in October 2016 (Kolias, Kambourakis, Stavrou, & Voas, 2017; Tan, 2018).
Unfortunately, within Wang’s framework, there are three vulnerabilities that cannot be protected by a permissioned blockchain designed to secure IoT devices:
- Lack of secure update mechanism;
- Use of insecure or outdated components; and
- Lack of physical hardening.
This is because such vulnerabilities typically are present in (or absent from) the design or deployment of the IoT devices themselves.
**Peer Assessment and Discussion**
Wang’s peer, LGZ, provided important comments about Wang’s project. LGZ highlighted that Wang’s original research question was too vague, and LGZ guided him to narrow it down. He helped Wang expand upon his two broad research objectives (“to understand ways that blockchain can improve the security of IoT from a theoretical perspective” and “to assess the feasibility of this theory based on real-life cases”) by providing suggestions to select a more focused course of study. LGZ helped Wang reflect on a path forward: “You need to be clearer on which of the multiple aspects of improvement you will focus on. Perhaps ask yourself which will have the greatest impact on the future of IoT? Will it be on trust – if people trust a system, are they more likely to use it? Or data availability – if information is more readily available, how will that increase your user adoption?”
In his final paper, Wang acted on these suggestions. His research question is much more pointed: “If we combine IoT with blockchain, which has built-in securities such as inalterability, will this significantly improve the confidentiality, integrity, and availability of IoT user data by introducing a unique and tailored architecture?”
Wang clearly benefited from the assessment provided by his peer review. He followed his partner’s advice, narrowing a broad topic to one that was focused and manageable, and thus targeted specific aspects of blockchain that he felt were most impactful.
**Bentley Student Project by Matthew Burns: Public Records Management**
The third student project explored the potential benefits of using blockchain to improve the management of public records (Cumming & Findlay, 2010) in the context of property record-keeping and conveyance in the United States. Burns conducted this research using the case method from an interpretivist perspective (Walsham, 1995). Specifically, Burns performed an in-depth analysis of two cases to understand similarities and differences in how blockchain technology was utilized in each case.
In the first case, deeds were recorded in South Burlington, Vermont (De, 2018) in the traditional way (on paper) with the following added to the deed: The disclosure that “This conveyance has been recorded in smart contract 0x... of the public Ethereum blockchain” and a QR code referring to the deed’s location on the Ethereum blockchain. Thus, the transfer of property was still recorded on paper and signed by the Chittenden County Clerk and a Notary Public [see Appendix E, Figure 7 (a), for an example].
In the second case, Cook County Illinois created and updated “digital property abstracts” for approximately 2,000 vacant properties scheduled for demolition in the Chicago area. This project required consolidating and reconciling property information that was fragmented across numerous government offices. These digital abstracts were entered on the Bitcoin blockchain. The consolidation of property information enabled the creation of a public-facing portal called *Property Health*. This portal allows potential buyers to search for land or homes and better understand the health of a property, and let them know if they should proceed with caution. A visual of the *Property Health* portal for Cook County can be found in Appendix E, Figure 7 (b). Yarbrough and Mirkovic (2017) summarized the findings and results of the Cook County Recorder of Deeds (CCRD) blockchain pilot project in four “Result” bullets as follows:
1. Participants designed a framework for the first legal blockchain conveyance in Illinois (and possibly the US).
2. CCRD successfully used components of blockchain technology (file hashing and Merkle trees) to secure government records.
3. CCRD used the concept of ‘oracles’ to build the most informative property information website in Cook County, with a dedicated landing page for each parcel.
4. CCRD’s current land records vendor, Conduent (formerly Xerox/ACS) agreed to incorporate some of the technology used in blockchains into the new land records system currently being installed at CCRD. (Yarbrough & Mirkovic, 2017)
The most striking similarity between these two cases was the benefit provided by a collection of records that were secured, verified, and indexed by a blockchain. By deconstructing these two cases, Burns concluded that there was an opportunity for property record-keeping and conveyance in the U.S. to be managed using shared services (Fishenden & Thompson, 2012) provided at the state level. This would allow municipalities or counties to function as peers on a common blockchain, sharing both the benefits and cost of using a “blockchain-as-a-service” (Cachin, 2016). Furthermore, other types of assets, for example, automobiles, motorcycles and boats, could be registered (or recorded) and conveyed using the same service-oriented infrastructure at the state level (Reed, 2010).
**Peer Assessment and Discussion**
Burns’ peer, JG, provided comments early on regarding his research methods (interviews) and benefits to be gained from conducting them, as well as the quality of primary and secondary sources, which “can provide ... valuable information regarding connections that can be made between blockchain and governments around the world.”
JG identified claims that Burns might wish to clarify moving forward, such as why “vulnerability to fraud and tampering” is a risk but “safeguarding is a benefit,” justifying his concerns with his own insights. JG evaluated Burns’ approach and whether he thought his research goals were reasonable given constraints of time and resources.
Burns assessed his own learning as he reflected on his interview with a city clerk involved in a blockchain pilot program. He said, “I was able to gain a better understanding regarding the success of this pilot program. I asked about any identifiable efficiencies that blockchain brought to the table throughout the pilot program, namely around time, cost, and security” (which
was reflected in his modified research question, as suggested by JG) and then summarized the response.
That Burns considered the feedback and comments from JG is evident in the organization of his final paper. Burns’ final paper presented overviews of blockchain technology: an introduction, public vs. private blockchains, smart contracts, and other topics prior to a case study analysis of districts using blockchain technology in governmental practices, specifically land registry and property record keeping transactions.
**Bryant Student Project by Team Moscowicz: Smart Contracts**
The final student project described in this paper consisted of a hands-on development exercise to build and deploy a smart contract based on the Ethereum blockchain.
Students who opted for the smart contract project were tasked with becoming familiar with the Solidity programming language through a set of free tutorials aimed at creating a CryptoZombies game (see http://www.cryptozombies.io). CryptoZombies is a free, hands-on set of tutorials for those who are new to developing in the Solidity programming language. No software is needed to install since the tutorials’ development environment is a hosted solution, allowing students to code and test directly on the CryptoZombies website.
The CryptoZombies tutorials emphasize the difference between fungible and non-fungible tokens (ERC-20 versus ERC-721). With fungible tokens, each token is identical. These tokens have no characteristics that make them distinguishable from one another. With non-fungible tokens, each token has unique attributes which allow for the potential of varying values amongst the tokens (see http://www.erc721.org). Through the CryptoZombies tutorials, the students create a smart contract that can create new Zombies. These zombies have attributes that are often thought of as the DNA of the token. This allows each zombie to be unique.
After completing the tutorials, Moscowicz and his teammates initially decided to develop a smart contract for a complex gambling site. After several weeks of working on this project, they decided that they simply didn’t have the skills needed, nor the time to gain the skills, to complete this ambitious effort.
Instead they opted to create a smart contract that was more in-line with what they learned in the CryptoZombies tutorials. What emerged was the Crypto Ice Cream Shop (see Appendix F, Figure 9). The intent was that each “ice cream cone” would be unique (i.e., non-fungible) with different elements of the “DNA” representing the flavor, toppings, cone choice, etc.
The students were responsible for finding and setting up their own development environments. After several attempts using different IDEs, Team Moscowicz settled in with using Remix as their IDE and MetaMask as their test wallet.
Remix allowed for the testing of the smart contract and, by utilizing the Ethereum Ropsten test network, they were able to see the execution of their currency exchange through the website http://ropsten.etherscan.io.
In the end, the team was able to deploy a basic smart contract that generated a non-fungible ice cream cone. They were able to execute the contract (see Appendix F, Figure 10) and see the transaction on the Ropsten test blockchain along with the test fees moving from their MetaMask test wallet (see Appendix F, Figure 11 and Figure 12).
**Discussion**
With Solidity being a new programming language, online resources to support the students were lacking. Each smart-contract team struggled with simply setting up an environment in which they could develop and test their smart contracts. Through the weekly status reports, teams were able to share lessons learned which helped other teams get past technical hurdles.
While each Solidity project had skilled coders, they were used to programming in a mature language (e.g., Python, Java, etc.) with plenty of examples readily available. In general, the smart contract-teams were frustrated with the lack of resources to help them with their development. Each team frequently evaluated the scope of the project and whether they would be able to deliver a working solution at the end of the semester. In some cases, including this ice cream shop example, projects were abandoned or dramatically changed to account for the unanticipated challenges when working with an emerging technology.
5. LESSONS LEARNED AND CONCLUSIONS
To facilitate PjBL, the courses at Bryant and Bentley were delivered in a format in which the instructor designed activities and assignments to challenge students to apply their understanding of blockchain technologies in areas that supported their projects. These activities and assignments were also designed to pull students out of their comfort zones and to provide an appropriate mix of motivation and frustration (Weimer, 2013). Motivation was needed so that every student successfully completed a significant project. Most frustration was because PjBL centered on a significant project was challenging for many students.
At Bryant, self-regulated learning provided a learner-centered process by which knowledge discovery occurred in areas related to an emerging technology. This helped students bridge their conceptual understanding of blockchain with hands-on activities building components of a decentralized application (dApp). Adaptation occurred as students struggled to translate their conceptualization of blockchain into action (Weimer, 2013).
At Bentley, peer feedback had a positive influence on students' final projects. Students worked in pairs to review each other's abstracts, research questions, goals, methods, and sources, and offered recommendations for improvement. The process of peer assessment allowed students to reflect on what they had learned, apply their knowledge, review the work of a partner, articulate their own insights, draw conclusions, and to provide constructive criticism and suggestions (Reinholz, 2016). Exchanging feedback with their partners empowered students to be teachers and learners of blockchain-focused knowledge and skills.
While PjBL, self-regulated learning, and peer learning are not new concepts, this case study highlights the benefits of each in relation to learning about an emerging technology. At both Bryant and Bentley, these teaching methods extended student understanding of blockchain to new domains, gave audience to the students' work, and enabled students to learn from each others' insights. Furthermore, reflection, and the sharing of that reflection with others, helped everyone in our classes gain a more in-depth understanding of blockchain technology and how it might be used. Emerging technologies, however, may lack clear and consistent resources. It is often left to the instructor to try to answer all of the students' questions. However, having a community of students develop the skills to answer their own questions – after some research – and solve their own problems gave most students the confidence to learn and apply the emerging technologies that lie over the horizon.
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Appendix A. Blockchain and the Hype Cycle for Emerging Technologies
Plateau will be reached:
- less than 2 years
- 2 to 5 years
- 5 to 10 years
- more than 10 years
- obsolete before plateau
Figure 5. Blockchain is past its peak in the Gartner hype cycle for emerging technologies [Source: (Gartner, 2018)]
Appendix B. Introduction to Blockchain at Bryant University
Introduction to Blockchain at Bryant was a 400-level special topics course aimed at seniors in an undergraduate program taught in the spring of 2019. Most students only had a vague idea of what blockchain was when they started the class.
The first half of the semester was focused on student understanding of blockchain, its terminology, the difference between the technology and its applications, and what it means to be a “miner.” During this time the students were each given a Raspberry Pi to create their own mining device, which required them to gain the skills and basic knowledge of crypto-mining and digital wallets. This was worth 10% of their grade as shown in the syllabus below.
The midterm exam (20% of the grade) was formatted in a way to mimic the format of the Blockchain Architecture exam given by the Blockchain Training Alliance (see http://www.blockchaintrainingalliance.com). This tested the fundamentals and basic terminology of blockchain.
The students then had to demonstrate that they understood the potential applications of blockchain by writing an industry-focused midterm paper (20% of the grade) in an industry of their choice.
The course then split into two paths. Students could take a technical (i.e., development-oriented) path by designing and developing their own smart contract in Solidity, or a research path by expanding on their industry paper through a mini-research project in that domain.
Students provided status reports (included as part of the 20% class participation grade) to the class once a week for the remainder of the term. This allowed students to share their forethought and goals for the week, an assessment of how well they achieved those goals, and a self-reflection on how well the work towards these goals was executed.
While the instructor provided the initial instructions, along with expectations appropriate for self-regulated learning (Saks & Leijen, 2014; Stefanou & Stolk et al., 2013), the students relied on the process of forethought, performance, and self-assessment (Zimmerman, 1990) to accomplish this project (30% of the grade). A central component of self-regulated learning in this course was the choice that the students had during week nine – to complete the course via either the developer track or the research track. (These tracks are summarized in the Course Description below.) A comparison of the projects by D’Amico and Moscowitz and his teammates, in Section 4, provide illustrative examples of how important this choice was for the students. Since project-based learning typically demands that the faculty member’s role is that of an advisor to the students rather than an instructor, the first author yielded control of this choice to each student, but required that their first step in either track was to submit and receive feedback on a proposal.
Course Syllabus, Spring 2019
ISA ST400 Introduction to Blockchain
TEXTBOOKS AND OTHER RESOURCES
1. Bambara, J. J. & Allen, P. R. et al. (2018). *Blockchain: A Practical Guide to Developing Business, Law, and Technology Solutions*. McGraw Hill Education (ISBN 978-1260115871) **Required**
2. Bennet, K., Rieger M., & Lee E. (2018). *Certified Blockchain Solution Architect: Official Exam Study Guide*. Blockchain Training Alliance (Available from www.blockchaintraining alliance.com). **Optional – On Reserve in Library**
3. Weisner, T. & Lee E. (2018). *Certified Blockchain Developer Ethereum: Official Exam Study Guide*. Blockchain Training Alliance (Available from www.blockchaintraining alliance.com). **Optional – On Reserve in Library**
RATIONALE
Blockchain is being discussed as a serious disruptor across vast industries. We have seen cryptocurrencies, built on blockchain technology, surpass the GDP of many countries, thus leading some governments to suggest replacing their own currency with a new cryptocurrency. Venezuela is one such country, having launched the cryptocurrency Petro to supplement their plummeting currency the bolivar.
With the advent of smart contracts, or the ability to embed logic in with the blockchain transaction, a new crop of applications (called dApps or decentralized applications) has emerged. Success has already been achieved in the areas of gaming (CryptoKitties), betting or futures prediction (Auger), identity management (uPort), and computing power sales (golem), just to name a few.
Cryptocurrencies have been of keen interest to public safety, as we have seen Bitcoin used as the currency of choice in illegal activities such as drug and arms sales. By hiding behind the anonymity afforded by the cryptocurrency, people are engaging in transactions that otherwise would have been more difficult.
These smart contracts present enormous opportunity, as well as heightened risk. We have seen poorly designed smart contracts lead to enormous financial loss. Unlike traditional software development, rolling out a smart contract with a bug can wreak havoc financially, due to the inability to easily change contracts and the inability to reverse transactions.
This course will provide students with a) a full understanding of the blockchain technology with the understanding of why companies are choosing this technology as their platform and b) the ability to develop smart contracts based on the Ethereum blockchain. The course will involve hands-on instruction, using the Solidity programming language, to implement a simple smart contract in an Ethereum training environment.
This course will prepare students to take the BTA Certified Blockchain Solution Architect (CBSA) exam for an industry recognized certification in the field of blockchain.
COURSE DESCRIPTION
This course introduces students to blockchain technology. The first half of the course will be used to gain a full understanding of the technology from a management perspective. Students will gain the knowledge needed to understand where this emerging technology is being used and explore why companies are choosing to build their business on blockchain. Students will gain an appreciation of the different types of blockchain with discussion around when each is appropriate to implement. We will explore many industries to understand the global nature of blockchain and begin to see the value in implementing blockchain in many vertical markets including supply chain, finance, gaming, and government, just to name a few.
Students will choose a path to pursue shortly after the midterm exam and once everyone has a general understanding of solidity. There are two paths – the Developer Path and the Research Path.
Developer Path: The second half of the course will be hands-on with the students developing their own smart contract. The students will learn the Solidity programming language in order to write their own smart contracts. Existing smart contracts will be used to discuss techniques and ways to organize code. Students will deliver weekly status reports, including hands-on lessons-learned to the other Developers. These status reports are intended to a) keep the project moving forward and b) share knowledge with the other teams in order to help others overcome technical hurdles. We will deploy the smart contracts in a private Ethereum environment so students understand the full development lifecycle.
Research Path: The second half of the course is devoted to developing the “industry paper” into a full-fledged research paper. Students will propose how they intend to add new knowledge to the field of blockchain beyond their industry paper. In most cases this will be through the gathering of data (survey data, social media data, interviews, etc.) and the reporting of the findings. Students will deliver three presentations to the entire class. The first presentation is to explain to the class how they intend to pursue their research. This will include research objectives and potential data sources.
The two subsequent presentations are to give updates to the class in order to a) motivate the team to keep moving forward and b) brainstorm on data gathering techniques, should hurdles be met. This would also be a good time for a team to distribute a survey to the class if survey data can be used in the research topic. The final deliverable is a research paper.
**PREREQUISITES** Any course with a programming component
**LEARNING GOALS** The learning goals and objectives of this course are as follows:
1. To enable students to develop knowledge, skills, and understanding around a range of subjects in the field of blockchain.
2. To enable students to evaluate and develop smart contracts using the Solidity language (technology or developer track).
3. To enable students to apply concepts and principles from various industries to understand blockchain opportunities.
4. To enable students to recognize the unique challenges of implementing blockchain including inability to easily change smart contracts and the inability to reverse transactions.
5. To enable students to effectively interpret and communicate their ideas through written and oral reports (emphasized on research track).
**PROGRAM-RELATED LEARNING GOALS**
1.2.A. Students will demonstrate effective writing for business.
1.2.B. Students will demonstrate effective oral communications in business situations.
1.2.C. Students will use multimedia to support effective presentations.
2.1.B. Students will demonstrate critical thinking skills by analyzing complex problems and recommending feasible solutions.
2.2.B. Students will use information technology to formulate, analyze, and solve business problems.
6.1.E.a. Describe the concepts, procedures and tools necessary for building a computer-based information system.
6.1.E.b. Use technology to analyze data and solve real-life business problems.
**STUDENT EVALUATION** The criteria used to evaluate students will be:
| Component | Percentage |
|----------------------------------|------------|
| Cryptocurrency Mining | 10% |
| Mid-term Exam | 20% |
| Smart Contract Project OR Research Paper | 30% |
| Industry Paper | 20% |
| Class Participation / Assignments| 20% |
| **Total** | **100%** |
| Grade | Point Range |
|-------|-------------|
| A | 92.5-100% |
| A- | 90.0-92.4% |
| B+ | 87.5-89.9% |
| B | 82.5-87.4% |
| B- | 80.0-82.4% |
| C+ | 77.5-79.9% |
| C | 72.5-77.4% |
| C- | 70.0-72.4% |
| D+ | 67.5-69.9% |
| D | 60.0-67.4% |
| F | 0-59.9% |
**Class Participation** Every member of the class is expected to participate in every class. Participation is one of the major keys to active learning. Each student will be judged on the quality and quantity of participation in class discussions. I expect students to be interactive in the class. Contributions that add new insights or advance the discussions, including clarifying questions, will be rewarded. An evaluation will be performed at the end of the semester.
Students are not allowed to leave class early except with permission of the instructor. If permission is not obtained, it will count as a class absence. In addition, failure to sign the attendance sheet will count as a class absence.
**Assignments and Projects** The student will work on multiple assignments throughout the semester including homework that will target specific blockchain understanding (industry research, blockchain inspection, smart contract analysis, etc.). Each student will have a mid-term research paper that will either be broad (analyze how blockchain is impacting a specific industry) or deep-dive (analyze a specific blockchain implementation). Students will have their choice for a final project. The student can choose between a technology track (developing a smart contract using Solidity) and a research track (writing a final paper for a specific market). All assignments are to be done individually unless otherwise stated.
**Exam** The exam will be based on the Blockchain Training Alliance Blockchain Solution Architect Exam for blockchain certification. Students can optionally take the exams through the Blockchain Training Alliance which will give them an industry recognized blockchain certification – Students will be responsible for the extra cost (currently $300 per exam) associated with this certification if they choose this option (see: [https://blockchaintrainingalliance.com/pages/blockchain-certification](https://blockchaintrainingalliance.com/pages/blockchain-certification)). Any student who takes the BTA exam and scores a passing grade (thereby becoming “certified”) will automatically receive an A on the mid-term exam.
### Schedule
| Week # | Topics | Assignment |
|--------|------------------------------------------------------------------------|--------------------------------------------------|
| 1 | Introduction to Blockchain | Intro to Blockchain Slides |
| 2 | Blockchain Fundamentals | Mining Proposal |
| | *Industry Application*: Cryptocurrencies | |
| 3 | Deciding to Implement Blockchain | Discussion Post: Finance |
| | *Industry Application*: Finance | |
| 4 | Introduction to Distributed Applications (dApps) | Discussion Post: Supply Chain |
| | *Industry Application*: Supply Chain | |
| 5 | Designing dApps | Discussion Post: Gaming |
| | *Industry Application*: Gaming | |
| 6 | Challenges Associated with dApps / Testing dApps | Discussion Post: Government |
| | *Industry Application*: Government | |
| 7 | Project Presentations | Industry Paper Mid-term Exam |
| 8 | Ethereum Basics | |
| 9 | Introduction to Ethereum Programming | Smart Contract Proposal OR Research Proposal |
| | FORK – Students decide programming track or research track | |
| | **Developer Track** | **Research Track** |
| 10 | Solidity Basics – Status Update #1 | Proposal Due |
| 11 | Solidity Basics | Literature Review |
| 12 | Solidity: Advanced – Status Update #2 | Proposal Presentations |
| 13 | Solidity: Advanced | Status Report #1 |
| 14 | Contract Security and Testing – Status Update #3 | Status Report #2 |
| 15 | Smart Contract Presentations | Research Paper Due |
Appendix C. Blockchain: Applications, Policy and Implications at Bentley University
The blockchain course offered at Bentley was an undergraduate honors capstone course taken by advanced students from a variety of business-oriented majors. This course provided students with conceptual frameworks, methodologies, and analytical tools (Saunders, Lewis & Thornhill, 2016) for the study of blockchain technology and its applications and implications. The final deliverable in this course was an individual research project in which each student made an original research contribution based on blockchain technologies.
One of the more challenging dimensions of project-based learning for many instructors is yielding control over the design of the most important learning experience, i.e., the project, to the student (Brookfield, 2017; Freire, 1993; Kember & Gow, 1994). Brookfield (2017) carries this idea further and suggests that in many situations instructors can empower and motivate students by having them specify intermediate milestones, grading percentages, due dates, etc. At the urging of the students in this HNR 440 class, such a conversation occurred during week two of class (i.e., on September 5). This conversation resulted in three important changes to the syllabus shown below: First, the students had three chances to refine their research questions (noted as Take 1, Take 2 and Take 3 below). The order of the project proposal and critical literature review was reversed. And the weight of the final paper was reduced from 45% of the course grade to 25%, spreading the remaining 20% to other intermediate milestones.
The syllabus for this course, which was finalized after week two, is shown below. The research project counted for 80% of the course grade. Breaking down this 80%, 45% of each student’s grade was based on four intermediate milestones, and a final presentation and final paper counted for 35% of their grade. Together with one-on-one meetings with each student, these milestones encouraged iterative and incremental development of the projects.
Recall that a critical component of this project-based course was peer feedback, including peer assessment. Activities and assignments to challenge students to apply their understanding of blockchain technologies to their project and their peer’s project accounted for the remaining 20% of the course grade.
Peer assessment is a set of activities through which individuals make judgments about the work of others – often students enrolled in the same course – to confer and provide feedback about each other’s work. In the Bentley course, the most rigorous peer assessment was the third assignment, which was due during week four of the semester; on September 19 in the fall 2018 syllabus below. Appendix D presents this assignment (Assignment 3). And the discussion of two Bentley student projects in Section 4 includes an analysis of how the peer assessments provided to Wang and Burns both influenced and improved their final projects. Furthermore, much of the in-class discussion focused on challenges and opportunities that the students experienced as they worked on their research (Brookfield, 2017; Thomas, 2000). This discussion led to students relying heavily on giving feedback to and receiving feedback from each other. Furthermore, respectful peer assessment forged a sense of community among the students (Freire, 1993) that developed quickly and remained strong throughout the semester.
Rationale: Because blockchain has the potential to be disruptive in so many different sectors, it can be studied from different perspectives, e.g., economic, political or social. Since blockchain began as one of the important technologies that underlies Bitcoin and other cryptocurrencies, its first use cases were to mediate payments, which subsequently led to blockchain’s early adoption in financial services. More recently blockchain has been proposed for applications as diverse as supply chain management, health record management, land and deed registration, and voting. These very different use cases means that blockchain – and its associated applications, policy or implications – can be examined
either in the context of a single discipline, e.g., accounting, finance, computer information systems, or at the intersection of several disciplines, e.g., economics, public policy, and law.
Perhaps the most exciting ‘killer app’ for blockchain is smart contracts. According to Wikipedia, a “smart contract is a computer protocol intended to digitally facilitate, verify, or enforce the negotiation or performance of a contract.” In other words, a blockchain can be decentralized system that serves as on-line intermediary between parties, providing faster, cheaper, more secure, and more predictable contract (or transaction) execution than traditional systems. Hence the significant interest in blockchain technology within both the public and private sectors. However, because smart contracts are multi-party entities, study and research in this area often requires a multi-stakeholder approach.
**Library Resources**: These books are on reserve in the Bentley library –
Bashir, I. (2018). *Mastering blockchain: Distributed ledger technology, decentralization, and smart contracts explained* (2nd ed.). Packt Publishing.
De Filippi, P., & Wright, A. (2018). *Blockchain and the law: The rule of code*. Harvard University Press.
Hevner, A., & Chatterjee, S. (2010). *Design research in information systems: Theory and Practice*. Springer.
Norman, A. T. (2017). *Blockchain technology explained: The ultimate beginner’s guide about blockchain wallet, mining, Bitcoin, Ethereum, Litecoin, Zcash, Monero, Ripple, Dash, IOTA and smart contracts*. CreateSpace Independent Publishing.
Saunders, M. N. K., Lewis, P., & Thornhill, A. (2016). *Research methods for business students* (7th ed.). Pearson Education.
**Course Description**: This capstone project course provides students with conceptual frameworks, methodologies, and analytical tools for the study of blockchain technology and its applications, policy and implications. Why is there so much hype around blockchain? Anything that you can create a record for and enter in a ledger, you can manage with a digital blockchain. Furthermore, blockchain’s processing capability is near real-time, near tamper-proof and increasingly low-cost. Blockchain technology therefore has the potential to be hugely disruptive. It can be used by a wide variety of industries and services, such as [financial services](#), [real estate](#), [healthcare](#), and [government](#), for example.
The course has the same objectives as the individual honors capstone project. During the course, students will be required to read, discuss and analyze a multitude of readings (peer-reviewed articles, book chapters, practitioner articles, industry reports, etc.). The final deliverable is an individual research project in which the student will focus on a particular aspect of blockchain – applications, policy, implications, technology, etc. – and make an original research contribution. Students are encouraged to identify a topic of interest within this broad area and to develop their own research questions, consistent with their interests and academic strengths. The instructor will offer guidance regarding the appropriate research methods and theoretical perspectives for the project.
We will begin the semester with regular class meetings and then to move to independent work and one-on-one meetings with your faculty advisor (i.e., the course instructor) with periodic group meetings to share information, provide feedback on each other’s work, and assist each other in overcoming any challenges. The course will address broader themes in the earlier weeks of the semester, which might help students identify research questions of interest. Later in the semester, students will focus on their research projects.
This capstone course will count as either a Business Elective (HNR 440) or A&S Elective (HNR 445), and many topics lend themselves to integrating students’ business and arts & sciences education with an interest in blockchain technology and its applications, policy or implications.
Additional assigned articles and material will be available through the course’s Blackboard site or Google Drive.
**Prerequisites**: An understanding of quantitative and qualitative research methods and good standing in the Bentley Honors Program.
**Learning Goals**:
1. Understand and describe common use cases and emerging applications that are based on blockchain technology.
2. Understand and analyze policy, legal, and regulatory challenges posed by blockchain (Werbach, 2018).
3. Design distributed applications based on blockchain and explain critical design decisions.
4. Learn how to formulate a tractable research question and determine how to answer it.
5. Design and execute a novel and significant research project from initiation to manifestation and public presentation.
**Course Requirements:**
- **Participation:** 10%
- **Assignments:** 10%
- **Project critical literature review:** 12%
- **Project proposal:** 10%
- **Project progress report I** 8%
- **Project progress report II & analysis:** 15%
- **Presentation:** 10%
- **Research Paper:** 25%
**Participation:** Every class session will consist of discussion of one or more of the following:
- Blockchain concepts relevant to applications, policy or implications
- Research methods
- Current events related to blockchain
All students are expected to participate in these discussions and be able to elaborate on their viewpoints.
**Project Critical Literature Review:** Provide a critical literature review of the previous academic research on your research topic (i.e., a literature review). What are the areas of consensus and controversy in this previous academic work? What are the substantive and methodological shortcomings? This review should end by reaffirming or refining the research question(s) and research objectives that you developed as part of your first three assignments. [Research question(s) and research objectives, Take 2.]
This literature review should be a synthesis of a number of sources organized in a thematic manner. It is not a summary of each article in turn. The sources that you use for this review typically should include at least at least 15 scholarly articles and possibly one or two scholarly books. The balance between books and articles may be different for certain subject areas, however. For most projects in a rapidly evolving area like blockchain applications, policy or implications, more than half of your sources should have been published in the previous five years. This section should be approximately 2,500 words in length including in-text citations.
**Project Research Proposal:** Each student will prepare an eight- to twelve-slide presentation that presents:
- Research question(s) and research objectives, Take 3
- Method
- Timescale
- Research philosophy and research approach
- Research strategy
- Research methodology
and an associated research paper proposal (1,000 words) the covers the same areas.
**Project Progress Report I:** Each student will hand in a 1,000-word progress report and present his or her progress with a single slide in class. The student will refer to his or her original proposal, address any new or revised research question(s) or research objects, give an update of the research process and research progress.
Project Progress Report II & Analysis: Each student will hand in a 1,500-word progress report and present his or her progress with two slides in class. The student will refer to his or her original proposal, address any new or revised research question(s) and research objectives, give an update of the research process, and introduce an overview of his or her analysis of the research topic.
Final Presentation: Students will present their paper in a formal 10 minute long Power Point (or similar presentation tool) presentation. A question & answer session will follow. Instructions for completing the presentation will be distributed during the course.
Final Research Paper: Each student will write a research paper (their ‘honors’ thesis) in the form of a ‘publishable’ journal article. Instructions for completing this paper will be distributed during the course. The paper for this course will be around 8,000 words (standard journal article length). The paper will require the use of outside resources. Students MUST cite any and all sources used. All assignments will be submitted though Blackboard. No deadline extension will be offered. Papers handed in after the specified time will have ten percent subtracted from their final score for each day they are late.
Tentative Course Schedule:
| WEEK | THEME |
|--------|----------------------------------------------------------------------|
| Aug 29 | Introduction to the Course, Blockchain overview |
| Sep 05 | Abstracts on Projects due Sep 04 at 11:59 PM |
| | Discussion of projects based on abstracts |
| Sep 12 | Project Overview Presentations due Sep 11 at 11:59 PM |
| | [Research question(s) and research objectives, Take 1.] |
| | Blockchain, Applications, Policy and Implications overview |
| Sep 19 | Library Resources and Project Planning |
| | Peer Project Feedback due Sep 21 before 11:59 PM |
| Sep 26 | The Role of Trust in Blockchain |
| Oct 03 | Project Critical Literature Review due before 6:29 PM |
| Oct 10 | One-on-one meetings |
| Oct 17 | Blockchain Case Study: CryptoKitties and Ethereum |
| | Project Research Proposal due before 6:29 PM |
| Oct 24 | Project consultations [mandatory] |
| Oct 31 | Project Progress Report I due before 11:59 PM |
| Nov 07 | One-on-one meetings |
| Nov 14 | Project consultations [mandatory] |
| | Project Progress Report II & Analysis due Nov 19 before 11:59 PM |
| Nov 28 | One-on-one meetings |
| Dec 05 | Reflections on Blockchain, Applications, Policy and Implications |
| Dec 12 | Final Presentations due before 6:29 PM |
| Dec 15 | Final Research Paper due before 6:29 PM |
Appendix D. Peer Assessment Assignment
Spend a minimum of 5 hours and a maximum of 7.5 hours on Assignment 3 to conduct a peer-assessment of your partner’s Assignment 2 using the seven parts below, i.e., A. through G.
Based on my experience writing up feedback for KM, an alternative way to think about this assignment is to write up the most helpful approximately 2,000 words you can write to advance and improve your peer’s project:
A. Is (Are) your peer's research question (questions) clear?
B. What is not clear about their research question(s)? If their research question(s) is (are) 100% clear, that’s OK.
C. Does their research question pass Clough and Nutbrown’s (2012) ‘Goldilocks test’, i.e., is it neither too big nor too small?
D. How do their research objectives align with the narrative around and content of Table 2.3 in Saunders, Lewis & Thornhill (2016) [Examples of research questions and related research aims]?
E. How many secondary sources did your peer find?
F. Find three additional secondary sources for their project and list them in APA format.
G. Provide written feedback to your peer with respect to two aspects of their revised abstract:
1. Is the motivation for their research project clear?
Assignment 1 revisited [see Figure 6 (b)]: Why is the topic of interest to business or consumers [or both] (for private sector projects) or to governments or citizens [or both] (for public sector projects).
2. Did they answer the ‘Why blockchain?’ question?
Assignment 1 revisited: Consider benefits, risks and implications of using blockchain motivated by applications or use cases that are well suited to blockchain. Consider this carefully in the context of the “distributed databases” technology hierarchy slide we covered in the slides of September 12:
Source: Global Blockchain Benchmarking Study (Hileman & Rauchs, 2017)
Figure 6 (a). Specification of the peer assessment Assignment 3 from Bentley University
Abstract for your Research Project, 250 words maximum
By being so concise, this is a “less is more assignment” designed to focus your time and energy on a research topic that you can start and finish by mid-December with minor, but not major, modifications along the way.
Your abstract should explicitly do three things:
1. Identify a right-sized topic area for your research project.
(Hint: Right-sized topic areas are usually smaller than you think.)
2. State the motivation for your research project:
Why is the topic of interest to business or consumers [or both] (for private sector projects) or to governments or citizens [or both] (for public sector projects).
3. Answer the ‘Why blockchain?’ question:
Consider benefits, risks and implications of using blockchain motivated by applications or use cases that are well suited to blockchain.
If it’s helpful to address the methodology or approach in the first draft of your abstract, please do so. If it’s not helpful, please don’t. Recall that I said in class that it is fine at this point if your abstract is methodology agnostic.
If you need some non-blockchain examples of good abstracts, I have put four research papers on our course blackboard site in Course Documents > Example Abstracts.
Finally, please submit your abstract at the Assignment 1 TurnItIn.com link below.
Figure 6 (b). Specification of Assignment 1 which was revisited as part of Assignment 3
Appendix E. Maintaining Land Records with Blockchain in Chittenden County, Vermont and Cook County, Illinois
WARRANTY DEED
KNOW ALL PERSONS BY THESE PRESENTS that KATHERINE M. PURCELL, of Burlington, County of Chittenden and State of Vermont ("Grantor"), in consideration of the sum of Ten and More Dollars, paid to her full satisfaction by KP2 LLC, a Vermont limited liability company with a place of business in Burlington, County of Chittenden and State of Vermont ("Grantee"), by these presents, does hereby GIVE, GRANT, SELL, CONVEY and CONFIRM unto the said Grantee, KP2 LLC, and its successors and assigns forever, a certain piece of land with all improvements thereon and appurtenances thereto in the City of South Burlington, County of Chittenden and State of Vermont (the "Premises"), described as follows, viz:
Being all and the same lands and premises conveyed to Katherine M. Purcell by Warranty Deed of Maurilio Fabiano dated March 18, 1988 and recorded in Volume 259 at Page 382 of the South Burlington Land Records, and being more particularly described therein as follows:
"Being all and the same lands and premises conveyed to the within Grantor by Warranty Deed of Stephen B. Jamison and Patricia A. Jamison dated 10/23/85 and recorded in Volume 214, Page 226 of the South Burlington Land Records and being more particularly described therein as follows:
'Condominium Apartment 143, Cluster 6, Twin Oaks Condominium, together with a 3.073 percent interest in the Common Areas and Facilities and Limited Common Areas and Facilities as set forth in the Declaration dated August 20, 1980, of record in Volume 162 at Page 264 of the City of South Burlington Land Records.
Said premises are subject to the Declaration of Condominium for Cluster 6 of the Twin Oaks Condominiums, dated August 20, 1980, recorded in Volume 162, Page 264; the Bylaws of the Twin Oaks Condominium Association, Cluster 6, dated August 20, 1980, recorded in Volume 162, Page 273; and an Agreement and Declaration of Covenants, Conditions, Easements and Liens, dated January 16, 1979, recorded in Volume 143, Page 514, as amended by instruments dated February 20, 1979 and April 9, 1979, recorded in Volume 143, Page 559 and Volume 150, Page 110, respectively, and as confirmed by an instrument dated January 31, 1980, recorded in Volume 157, Page 475. The lands are further subject to Land Use Permits dated October 19, 1979 and November 27, 1979, recorded in Volume 157, Pages 184 and 272, respectively...
Stephen B. Jamison and Patricia A. Jamison join in the execution of this deed to convey any interest they may have in this premises as a result of a defect in the execution of their deed to the Grantor herein."
The Premises are subject to: (a) taxes assessed on the Grand List not delinquent on the date of this Deed, which Grantee herein assumes and agrees to pay as part of the consideration for this Deed subject to such taxes being prorated between Grantor and Grantee on the date this Deed is delivered; (b) the provisions of municipal ordinances, public laws and special acts; and (c) all easements and rights of way of record, not meaning to reinstate any claims barred by operation of the Vermont Marketable Record Title Act, 27 V.S.A. § 601, et seq.
Reference is hereby made to the above-mentioned instruments, the records thereof and the references therein contained in further aid of this description.
TO HAVE AND TO HOLD the said granted Premises, with all the privileges and appurtenances thereto, to the said Grantee, KP2 LLC, and its successors and assigns, to their own use and behoof forever; and the said Grantor, KATHERINE M. PURCELL, for herself and her successors and assigns, does covenant with the said Grantee, and its successors and assigns, that until the ensealing of these presents, Grantor is the sole owner of the Premises, and has good right and title to convey the same in the manner aforesaid, that the said Premises are FREE FROM EVERY ENCUMBRANCE, except as aforementioned; and they hereby engage to WARRANT and DEFEND the same against all lawful claims whatsoever, except as aforementioned.
This conveyance has been recorded in smart contract 0xa188e5a3da203f8ebc72ec7578532926dc1d3bec of the public Ethereum blockchain.
IN WITNESS WHEREOF, the parties do hereby execute this Warranty Deed this 20th day of February, 2018.
Katherine M. Purcell
STATE OF VERMONT
COUNTY OF CHITTENDEN, SS.
On this 20th day of February, 2018, personally KATHERINE M. PURCELL, to me known to be the person who executed the foregoing instrument, and she acknowledged this instrument, by her signed, to be her free act and deed.
Before me:
Notary Public
Printed Name: Michelle N Farias
Notary commission issued in Chittenden County
My commission expires: 2/10/19
Vermont Property Transfer Tax
32 V.S.A. Chap 231
—ACKNOWLEDGEMENT—
RETURN REC'D-TAX PAID BOARD
OF HEARERS & ADVISORS
VT LAND USE & DEVELOPMENT
PLANS ACT, CERT. REC'D
Return No. _______________________
Donna Kinville City Clerk
Date Feb 21, 2018
END OF DOCUMENT
Figure 7 (a). Copy of the paper deed registered in Chittenden County (Vermont) used in a property transfer during South Burlington’s blockchain pilot
Figure 7 (b). Visual of the *Property Health* portal used in Cook County (Illinois) Recorder of Deeds blockchain pilot
Appendix F. Privacy Concerns for Healthcare Data on a Blockchain and Smart Contracts with CryptoZombies
Figure 8. Data sensitivity of healthcare data
Crypto Ice-Cream Concept
- Develop a front end to display the token based on its hash or its attributes.
- Implement an Ice Cream mutation feature to our crypto Ice Cream Shop
- Ie: CZ lesson 5 Zombie Battle System
- Market the token as an asset
Positions:
1 → Flare
2 → Topping(s)
3 → Eye Style
4 → Mouth Style
5 → Dressing
6 → Flavor 1
7 → Flavor 2
8 → Cone Style
Hash / Attributes:
17 | 28 | 34 | 67 | 09 | 28 | 37 | 46
Figure 9. Conceptual design of crypto ice cream shop with example cone
Figure 10. Smart contract deployment screen with transaction confirmation
Figure 11. Evidence of smart contract deployment to test environment
Figure 12. Transaction confirmation on Ropsten test environment
Class Participation and Student Performance: A Tale of Two Courses
Ernst Bekkering
firstname.lastname@example.org
Ted Ward
email@example.com
Department of Mathematics and Computer Science
Northeastern State University
Tahlequah, OK 74464
Abstract
Student performance in classes can be affected by lack of attendance and attention while in class. This paper examines the effect of student participation on performance in two Computer Science classes. Attendance and attentiveness are automatically recorded by the videoconferencing software used for the classes. Student participation is measured by multiplying the scores for attendance and attentiveness. In the one class, we found a positive relationship between participation and scores on the final examination. This class is a concepts type class, focusing on theoretical information presented in lecture format. In the other class, we did not find a relationship. This class is a skills type class, focusing on practical skills and involving more hands-on work. The relationship may have been masked by the associated lab and relatively late dropping of the class by multiple students. We discuss the strengths and limitations of this new measure of student participation. Automatic recording of class participation frees up faculty time, which can be used to increase the quality of instruction. Low participation scores early in the course can help identify students at risk. Finally, we make recommendations to record attentiveness even more accurately.
Keywords: participation, attendance, attentiveness, distraction, student performance
1. INTRODUCTION
Student class participation has long been a subject of research. Before the advent of Distance Education (DE), participation was first measured in terms of coming to class (attendance), followed by the influence of different measures to increase attention while in class (hand raising, response cards, clickers). Ignoring previous DE forms like correspondence courses, the appearance of the Internet provided opportunities to offer asynchronous, usually text-based, courses as alternatives for face-to-face (F2F) classes. Measures of attendance then focused on time spent on the course site, clicks, and pages visited. Participation shifted to making meaningful contributions in email conversations and on discussion boards.
Overall, research showed that active participation in class improved subjective and objective student performance. Students perceived that they did better in class, and objective criteria like Grade Point Average (GPA) and scores on final exams confirmed this (Duncan, Kenworthy, McNamara, & Kenworthy, 2012).
As networks have improved in bandwidth, stability, and accessibility, the distinction between DE classes and F2F classes is starting to blur. Our regional university in the SouthWest
now offers online courses (asynchronous), blended courses (part asynchronous, part F2F), interactive videoconferencing (ITV) from multiple campus locations, and virtual class meetings (VCM) as distance learning course types (Northeastern State University, 2019). Moreover, videoconferencing tools with screen sharing offer superior presentation compared with traditional blackboards, whiteboards, overhead projectors, and even smartboards. Using these tools both for F2F and DE courses is now a realistic option. Offering both options in the same course may increase attendance for students who miss class for employment reasons (Lukkarinen, Koivukangas, & Seppälä, 2016; Paisey & Paisey, 2004), while accommodating the majority who prefer lectures over web-based lecture technologies (Gysbers, Johnston, Hancock, & Denyer, 2011).
This paper presents a comparison of two Computer Science classes we used a video conferencing and collaboration tool, Zoom (Zoom Video Communications, Inc., 2019), to communicate with the students. Data available in the Pro Version are used to objectively measure student participation as the product of attendance (coming to class) and attentiveness (paying attention when in class). Levels of participation are related to performance in the class as measured by the score on the final exam, and differences in results for the two classes are discussed. To the best of our knowledge, this is the first time that coming to class (attendance) and paying attention (attentiveness) are combined to a single measure. It is also one of the few studies where participation is objectively measured only, without interpretation by the researchers.
2. LITERATURE REVIEW
Participation in class is a combination of coming to class and paying attention once there. Mere attendance may not matter until too much class time is missed (Durden & Ellis, 1995), but is a better predictor than SAT, high school GPA, study habits, study skills (Credé, Roch, & Kieszczykna, 2010), self-financing, and hours worked (Devadoss & Foltz, 1996). The research literature also supports that class attendance improves student performance (Romer, 1993; Coldwell, Craig, Paterson, & Mustard, 2008; Landin & Pérez, 2015; Teixeira, 2016; Yakovlev & Kinney, 2008; Landin & Pérez, 2015).
Once in class, being active matters. Beaudoin (2002) found that mean course grades were higher for learners who are actively involved in online discourse than for learners who just do the work. Participation is important both in synchronous and asynchronous conditions (Duncan et al., 2012). Multitasking with technology negatively affects participation and student performance, subjectively (Junco & Cotten, 2011) and objectively (Junco & Cotten, 2012). Typical non-class related multitasking includes use of instant messaging (IM), FaceBook (Kirschner & Karpinski, 2010), and texting on cell phones. This is complicated by the use of some of these technologies for class purposes (Kraushaar & Novak, 2010). Using Facebook for class may have a positive effect, while using it for socializing may be negative (Junco, 2012b). Overall, using social media for class purposes may not be effective (Lau, 2017).
Meta-analysis show that student performance tends to be slightly better in DE courses (Allen et al., 2004) or positives cancel out negatives (Bernard et al., 2004), but this may be due to additional tasks for the students. When the task load is identical, for local and distant students in a videoconferencing setting, student performance is the same (MacLaughlin, Supernaw, & Howard, 2004). Interaction may be essential: DE with collaborative discussions is more effective than independent study only (Lou, Bernard, & Abrami, 2006).
Class Participation
Class participation is treated as the independent variable in the research. The definition of the term has developed over time. Before the introduction of the Internet in education, participation could mean use of response cards and hand-raising (Christle & Schuster, 2003; Gardner, Heward, & Grossi, 1994; Narayan, Heward, Gardner, Courson, & Omness, 1990). Once computers entered the classroom, participation might be measured by using tools like clickers (Stowell & Nelson, 2007). In the early days of DE, when most classes were conducted asynchronously, participation was typically measured with pages visited, tools used, messages accessed, discussions posted, and email contacts (Coldwell et al., 2008; Douglas & Alemanne, 2007; Romero, López, Luna, & Ventura, 2013).
Novel tools are now sometimes used to measure participation. Kassarnig, Bjerre-Nielsen, Mones, Lehmann, & Lassen (2017) used location and Bluetooth data from cell phones to measure attendance, and Kraushaar & Novak (2010) used spyware installed on students’ laptops to check browsing and application use. Unfortunately,
these tools may be good for research but not necessarily for day-to-day teaching.
Finally, a significant number of studies rely on self-report by students (Junco & Cotten, 2011), including self-report of GPA and hours spent studying (Kirschner & Karpinski, 2010).
**Student Performance**
On the other side of the relationship, student performance is used as the dependent variable. The most frequently used objective measures of student performance are items like course grades (Beaudoin, 2002; Durden & Ellis, 1995; Kassarnig et al., 2017; Teixeira, 2016), term GPA (Wang, Harari, Hao, Zhou, & Campbell, 2015), cumulative GPA (Lau, 2017), self-reported GPA (Kirschner & Karpinski, 2010), GPA obtained from registrars (Junco, 2012b), course credits (Giunchiglia, Zeni, Gobbi, Bignotti, & Bison, 2018), scores on final exams (Duncan et al., 2012; Lukkarinen et al., 2016) and finishing the course (Coldwell et al., 2008; Junco, 2012a). Occasionally, pre-tests and post-tests (Omar, Bhutta, & Kalulu, 2009), student ranking (Felisoni & Godoi, 2018) or multi-item scales are used (Yu, Tian, Vogel, & Chi-Wai Kwok, 2010).
**Multitasking**
Using computer lab desktops or personal laptops does present new problems. Students often alternate between class-related and non-class-related computer use (Fried, 2008; Grace-Martin & Gay, 2001; Hembrooke & Gay, 2003).
Like class participation, this multitasking has evolved with the technology of the day. When laptops entered the classroom, instant messaging and web browsing were major distractions (Fox, Rosen, & Crawford, 2009; Hembrooke & Gay, 2003). Later, Facebook became a major distractor (Kirschner & Karpinski, 2010). Now, mobile phones provide yet another source of distraction (Chen & Yan, 2016; Harman & Sato, 2011). The negative effect of using cellphones is especially high when it takes place in class (Felisoni & Godoi, 2018), and lower performing students are especially at risk (Beland & Murphy, 2016; Chiang & Sumell, 2019). Beland and Murphy (2016) also found significant improvement in high stakes exam scores after mobile phones were banned.
Students do not necessarily recognize the negative effect. In a study of Malaysian university students, respondents felt that they performed better as Facebook usage increased (Ainin, Naqshbandi, Moghavvemi, & Jaafar, 2015).
The general research consensus holds that multitasking does have a negative effect on student performance (Bellur, Nowak, & Hull, 2015; Burak, 2012; Junco & Cotten, 2012; Kraushaar & Novak, 2010; MacLaughlin et al., 2004), although the causality has not yet been established (van der Schuur, Baumgartner, Sumter, & Valkenburg, 2015). Controlled experiments show that actual performance may be the same, but the time to achieve it is longer (Bowman, Levine, Waite, & Gendron, 2010; Rubinstein, Meyer, & Evans, 2001). While some studies fail to demonstrate differences between performance of cognitive tasks with and without distraction, they do show decreased efficiency of information processing (End, Worthman, Mathews, & Wetterau, 2010) and increased memory errors (Rubinstein et al., 2001).
**Use of Videoconferencing Software**
Recorded lectures and posting notes online only may not meet students’ needs (Gysbers et al., 2011). All modern Learning Management Systems (LMS) include some form of videoconferencing to enable virtual class meetings. Moodle has a Videoconference Edition (Moodle, Inc., 2019). Blackboard offers the Blackboard Collaborate module (BlackBoard Inc, 2019). Canvas includes the Conferences tool (Canvas LMS Community, 2019). Each have their strengths and weaknesses, and those will not be addressed here.
In addition to discussions via video conferencing, Zoom meeting features include presentation and collaboration features. Pure presentation can be done with desktop sharing, application sharing, whiteboards, slideshows, and sharing of online videos. Collaboration features like Instant Messaging, annotation and drawing tools, and remote desktop control transform the shared view into two-way communication between instructor and students (SJSU, 2018).
Zoom comes in different versions. The free version is limited to 40-minute sessions and is not suitable for teaching full class sessions. Zoom for Education allows each host to teach full class sessions but has limited administrative tools for faculty. The Zoom Pro version is relatively inexpensive and offers extra administrative controls and reports. Join time, leave time, student name, and attentiveness score can all be found in the Details report (Figure 12).
3. METHODOLOGY
This research project involves using data automatically recorded by Zoom Pro. We analyzed data for two classes in the Mathematics and Computer Science department taught by the primary author. The first course, CS2014 or Computer Science I, is the introductory programming course with C++. The course consists of three lecture hours and one lab hour each week. Twenty-five students started the class, and 20 students took the final exam. The second course, CS3343 or Operating Systems, consists of three lecture hours only. Twenty-five students started the class, and 23 took the final exam. Both classes were taught as F2F classes in the same computer lab, and students were not allowed to participate remotely by college policy.
In the lecture sessions, students viewed the shared desktop of the instructor. All applications, whether PowerPoint, system utilities, virtual machines, or the C++ compiler, were used from the instructor’s desktop. The syllabus instructed students to maximize the Zoom window, and to use pen and paper for any note taking. All lectures were automatically recorded and generally available after two hours.
In both classes, a variety of Zoom features were used to encourage or force students to be active participants. Students could pose anonymous questions on the shared desktop using the annotation and drawing tools. They could use the chat box for less immediate questions and comments. Voice communications were hardly ever used by students. A grid with names was used to respond to questions to the whole class (Figure 13). Individual students would take over control of keyboard and mouse of the instructor to finish or edit program code. This could be done as volunteers, or as called on by the instructor.
Distraction from the class was also actively discouraged. Students were required to keep their desktop camera on and trained on their faces. The stated goal was increasing the feeling of belonging to the group (class), but it also allowed the instructor to call on students who appeared to be less than attentive. Some students trying to take the class from another location, or even from a car while driving, were identified and either told to leave the meeting or removed from the session by the instructor. Cell phone use was prohibited, and students could only answer calls after leaving the classroom. Finally, no interactive desktop sharing was used where students – not the instructor - shared their desktop. Having students share their work increases diversity of solutions but is somewhat time-consuming and depends on all other computers having software correctly installed. A fortunate side-effect of limited sharing is the accurate recording of focus of students’ desktops.
**In your own words, define concurrency**
| Student name | Student name | Student name |
|--------------|--------------|--------------|
| Student name | Student name | Student name |
| Student name | Student name | Student name |
| Student name | Student name | Student name |
| Student name | Student name | Student name |
| Student name | Student name | Student name |
| Student name | Student name | Student name |
| Student name | Student name | Student name |
*Figure 13-answering grid*
Grades on the final exam were used as measures of student performance. The final exam was comprehensive and covered the whole course. For the CS2014 programming class, this is a natural choice. Declaration of variables is necessary for using loops, and repetition structures are needed for reading and writing files. Each skill builds on what was learned previously. The choice for a comprehensive final in the CS3343 Operating Systems class is more a philosophical one. Formative assessments like programming assignments and intermediate tests help identify where students need more help and instruction as the course continues, and summative assessments like course projects and final exams serve to evaluate how well student outcomes have been achieved. In each course, several intermediate tests were used. For each subsequent test (including the final), 50% of questions came from “old” material and the remainder from material covered since the
last test. This allowed for checking if previously missed concepts were now understood.
For each final exam, students had a review session where they could ask questions. The final exams in both courses were in multiple choice (MC) format.
**Zoom Statistics**
Zoom Pro allows generation of comprehensive meeting reports in Excel format. Data include topic, join time, leave time, and the “attentiveness score.” Attentiveness in this context is defined as the percent of time that the shared Zoom window is in focus. If a student is logged in but works with another application, the time does not contribute to attentiveness. If students are disconnected during class and reconnect, each part will have its own attentiveness score. It is important to note that attentiveness is recorded for each individual student, whereas other software may only report “engagement” for the group (Adobe.com, 2019)
Students were required to log in for each meeting. Many students use inconsistent login names, so the name used for the BlackBoard gradebook was looked up in an alias table. Students also tend to log in before the class starts and may stay until after the end of class. During class, they may occasionally be disconnected and need to reconnect. The exact time of participation was calculated in new columns. We provide the formulas in Appendix A, and a template with all formulas is available at https://1drv.ms/x/s!AnmvVh-GZtJyv4UyDwd7xAK0EDw7h?q=e=I2CWsX
To protect student privacy, we replaced student names with random numbers between 1111 and 9999.
**4. SAMPLE AND DATA COLLECTION**
Both classes started with 25 students. As usual in CS, the majority of students were male (CS2014: 22 males, 3 females; CS3343: 20 males, 5 females). Most students were traditional full-time students in their late teens and early twenties (CS2014: 2 non-traditional students; CS3343: 1 non-traditional student).
Class attendance and attentiveness data were automatically recorded by Zoom, since students were required to log in to the class sessions. Participation scores were posted on the Blackboard gradebook every two weeks, and students who scored low on participation early in the course received an email with separate data for attendance and attentiveness to explain why their scores were low. Since we measured the influence of conditions in for each student in one course only, we used the final exam in the course to measure performance. The final MC exam was posted on BB and scores automatically calculated. Questions and answers were reviewed based on less than 50% correct answers, and no questions were found to be incorrectly stated.
**5. ANALYSIS**
Since both Zoom and Blackboard gradebook were already in Excel format, we used the Excel Analysis Toolpak to perform the linear regression. All absences received a participation score of zero as no time was spent in class. Absences were not corrected for excused absences, such as attendance of events sanctioned by Academic Affairs. Students who did not finish the class and did not take the final exam were included with a zero score for the final. Statistics for both courses are listed in Appendix B.
It is interesting to note that none of the students got a perfect 100% participation score (maximum scores of 98.4% and 93.6%). This truly is an effect of attendance alone, since attentiveness is only recorded when the desktop is shared, and the instructor did not start sharing until the class started.
Linear regression showed a statistically significant relationship between participation and grade on the final exam for CS3343 ($p = 0.01$) but not for CS2014 ($p = 0.25$). One explanation of the difference may lie with the type of the class. CS2014 is a skills class, and CS3343 is a concepts class. Concepts classes predominantly use a lecture format, and skills classes use more of a lab environment with individual instruction (Sinclaire, Simon, Campbell, & Brown, 2011). Indeed, the CS2014 class included a one-hour lab each week. The hands-on component may have superseded the effect of lecture participation.
The influence of hands-on work in the labs can also be seen when comparing lab attendance and final grades. During the lab, students were logged in to a separate Zoom session to record attendance, but no desktops were shared and therefore attentiveness was not relevant. We found a significant relationship between lab attendance (not participation) and score on the final exam ($p = 1.24E-8$). This is consistent with the findings of (Barrington & Johnson, 2006).
Another explanation of the absence of a relationship in CS2014 may lie with late withdrawals. Students who withdraw before week 12 are removed from the course management system, but some students need to stay in a class for Financial Aid reasons and drop a course shortly before the final exam. They would still be represented in the data. Three students in CS2014 struggled with significant health events but tried to finish the class right up to the final exam, when their position was hopeless. Where CS3343 only had 2/25 students not taking the final exam, CS2014 had 5/25 or 20% dropping the final. Analyzing the data without the five non-final takers still did not show any statistical significance (p = 0.65).
Maybe due to financial aid and health reasons, the average participation score of non-finishers of 87.9% is higher than the class as a whole with 72.9%. Furthermore, students in the front of the class were extremely active in volunteering for taking over control, which may have allowed students further back in the class to “log in, and tune out.” They may have finished the course, but with lower grades. Seating location does affect student performance, whether through random assignment (Benedict & Hoag, 2004) or through students being forced forward when their preferred seats are not available (Perkins & Wieman, 2004). Since data had to be anonymized before analysis, and seating location was not included, this will have to remain an issue for future research.
6. CONCLUSIONS AND RECOMMENDATION
Participation in class, as a product of attendance and attentiveness, may be a valid objective measure to predict student performance. Since it can be monitored as semesters progress, it can also be used to identify students at risk of failing and underperforming. This is especially significant, because the data can be recorded automatically in Zoom and analyzed with minimal effort in Excel.
This does not mean that the combination of attendance and attentiveness is a perfect measure of participation. Time of entering and leaving the session is a perfect measure of attendance, but computer focus on the application is not a perfect measure of attentiveness. It is still possible to log in, keep the application in focus, and play on a cellphone – or sleep. We can consider using screen captures of the answer grids in the lecture recordings to monitor and measure actual responding. Additional attention-focusing tools like sending code snippets or answers through the chat box, which records name of respondents so they can be counted, should also be considered. Individual students can also be called to attention based on signs of disinterest on the video images of their webcams. All these measures take time, and one of the major benefits of automating recording attendance and attention is freeing up faculty from the chore of attendance recording.
The type of class may matter. Concept classes may benefit more because hands-on work in skills classes offers additional learning opportunities. The interactive tools in skills classes are more limited to single students. Taking over control of mouse and keyboard only involves a single student but using chat boxes and grids with answer boxes for all students forces the whole class to pay attention.
An area of concern may be student acceptance of what could be construed as an intrusive technology. The use of Zoom monitoring should be disclosed, preferably in writing in the syllabus. We did this, and there were no complaints interpersonally or in the course evaluations. Instructors should take care not to open the shared desktop before and after class, since focus of the students’ computers would be monitored then too. If students are given a choice between attending locally and remotely in the same class session, it must be made clear that students cannot attend using cell phones or tablets. The interaction requires the use of full-fledged keyboards and mice. Use of wireless connections for remote students can result in poor video and audio quality, as well as the need to reconnect.
The positive results of this study warrant repetition and refinement in other CS courses and in other subject areas such as humanities, social sciences, and business in future semesters. Further opportunities for research include counting responses in the chat box or onscreen, monitoring seating and comparing the results of skills classes with and without associated labs.
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Appendix A: Generating Data
A simulated details report is shown below. The column “Name (Original Name)” holds the student name as provided during login. The column “User Email” holds the student email as provided during login. Students often provide inconsistent login information, but a simple table with variations of the name can be used to look up the name as used in the gradebook.
| Topic | Meeting ID | User Name | User Email | Has Zoom Rooms? | Creation Time | Start Time | End Time | Duration (Minutes) | Participants | Name (Original Name) | User Email | Join Time | Leave Time | Duration (Minutes) | Attentiveness Score |
|------------------------|------------|-----------------|----------------|-----------------|---------------|--------------|-------------|-------------------|--------------|---------------------|------------------|------------------|------------------|---------------------|---------------------|
| CS2014 CS1 | 213-885-828| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 118 | 20 | [student name] | [student email] | 3/4/2019 11:54 | 3/4/2019 13:50 | 117 | 53.36% |
| CS2014 CS1 | 213-885-828| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 118 | 20 | [student name] | [student email] | 3/4/2019 12:44 | 3/4/2019 13:50 | 67 | 84.97% |
| CS2014 CS1 | 213-885-828| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 118 | 20 | [student name] | [student email] | 3/4/2019 12:50 | 3/4/2019 13:50 | 60 | 100.00% |
| CS2014 CS1 | 213-885-828| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 118 | 20 | [student name] | [student email] | 3/4/2019 12:51 | 3/4/2019 13:50 | 60 | 98.56% |
| CS2014 CS1 | 213-885-828| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 118 | 20 | [student name] | [student email] | 3/4/2019 12:51 | 3/4/2019 13:50 | 59 | 30.34% |
| CS3343 Operating Systems| 843-765-396| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 91 | 24 | [student name] | [student email] | 3/5/2019 9:19 | 3/5/2019 10:46 | 88 | 100.00% |
| CS3343 Operating Systems| 843-765-396| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 91 | 24 | [student name] | [student email] | 3/5/2019 9:20 | 3/5/2019 10:46 | 87 | 95.06% |
| CS3343 Operating Systems| 843-765-396| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 91 | 24 | [student name] | [student email] | 3/5/2019 9:21 | 3/5/2019 10:46 | 85 | 100.00% |
| CS3343 Operating Systems| 843-765-396| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 91 | 24 | [student name] | [student email] | 3/5/2019 9:21 | 3/5/2019 10:46 | 85 | 100.00% |
| CS3343 Operating Systems| 843-765-396| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 91 | 24 | [student name] | [student email] | 3/5/2019 9:26 | 3/5/2019 10:46 | 81 | 100.00% |
| CS2014 CSI lab | 167-747-341| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 59 | 18 | [student name] | [student email] | 3/6/2019 13:53 | 3/6/2019 14:50 | 58 | 23.83% |
| CS2014 CSI lab | 167-747-341| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 59 | 18 | [student name] | [student email] | 3/6/2019 13:53 | 3/6/2019 14:50 | 57 | 1.32% |
| CS2014 CSI lab | 167-747-341| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 59 | 18 | [student name] | [student email] | 3/6/2019 13:53 | 3/6/2019 14:50 | 58 | 15.67% |
| CS2014 CSI lab | 167-747-341| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 59 | 18 | [student name] | [student email] | 3/6/2019 13:53 | 3/6/2019 14:51 | 58 | 2.16% |
| CS2014 CSI lab | 167-747-341| [instructor name]| [instructor email] | No | [not relevant]| [first to enter] | [last to leave] | 59 | 18 | [student name] | [student email] | 3/6/2019 13:53 | 3/6/2019 14:51 | 58 | 17.56% |
Join Time and Leave Time for each entry are recorded in date + time format.
- Date can be extracted with the formula =INT([@[Join Time]])
- joined can be extracted with the formula =MOD([@[Join Time]],1)
- left can be extracted with the formula =MOD([@[Leave Time]],1)
Start and end times for the class can be looked up from a small table (named “classes”) as follows:
- class_starts with the formula =VLOOKUP([@Topic], classes,2, FALSE)
- class_ends with the formula =VLOOKUP([@Topic], classes, 3, FALSE)
To accommodate for coming early, coming late, leaving early, and leaving late, we used the MAX and MIN formulas:
- start with the formula =MAX([@joined],[@class_starts])
- stop with the formula =MIN([@left],[@class_ends])
Next, the “real time” in class was calculated as the difference and percent in class as the fraction:
- real_time =[@stop]-@start
- percent_in_class = [@[real time]]/([@[class_ends]]-[@[class_starts]])
Attendance and attentiveness were multiplied and converted to percentages with two decimals:
- participation =ROUND([@percent_in_class]*[@attentiveness],4).
In the gradebook, participation scores were summed in case students were disconnected during class:
- session_participation=IFERROR(SUMIFS(ZoomData[participation],
ZoomData[studentName],[@[full_name]],ZoomData[Topic],"CS2014_CS1",ZoomData[date],F$1),0)
## Appendix B: Statistical Output
### CS3343 – Operating Systems
| participation | final |
|---------------|-------|
| Mean | 76.2% | Mean | 157.6 |
| Standard Error| 3.2% | Standard Error | 10.8 |
| Median | 81.2% | Median | 176 |
| Mode | #N/A | Mode | 204 |
| Standard Deviation | 16.2% | Standard Deviation | 53.8 |
| Sample Variance | 2.6% | Sample Variance | 2890.7 |
| Kurtosis | 1.69925609 | Kurtosis | 4.7 |
| Skewness | -1.42638148 | Skewness | -2.2 |
| Range | 61.2% | Range | 204 |
| Minimum | 32.4% | Minimum | 0 |
| Maximum | 93.6% | Maximum | 204 |
| Sum | 1905.2% | Sum | 3940 |
| Count | 25 | Count | 25 |
### SUMMARY OUTPUT
#### Regression Statistics
- Multiple R: 0.502818411
- R Square: 0.252826354
- Adjusted R Square: 0.220340543
- Standard Error: 47.47352528
- Observations: 25
#### ANOVA
| df | SS | MS | F | Significance F |
|--------|---------------|---------------|---------|----------------|
| Regression | 17540.08114 | 17540.08114 | 7.782670302 | 0.010412384 |
| Residual | 51835.91886 | 2253.735602 | | |
| Total | 69376 | | | |
#### Coefficients
| Coefficients | Standard Error | t Stat | P-value | Lower 95% | Upper 95% |
|--------------|----------------|--------|---------|-----------|-----------|
| Intercept | 30.42582657 | 46.56460768 | 0.653410994 | 0.519970696 | -65.90040348 | 126.7520566 |
| participation | 166.8806288 | 59.81933918 | 2.789743777 | 0.010412384 | 43.13489756 | 290.6263601 |
### CS2014 – Computer Science I
| | participation | final |
|----------------|---------------|-------------|
| Mean | 72.9% | 108.32 |
| Standard Error | 4.8% | 12.45775796 |
| Median | 84.3% | 124 |
| Mode | #N/A | 0 |
| Standard Deviation | 23.8% | 62.28878979 |
| Sample Variance | 5.7% | 3879.893333 |
| Kurtosis | 0.89846521 | -0.432090221|
| Skewness | -1.2805363 | -0.803775468|
| Range | 90.4% | 196 |
| Minimum | 8.0% | 0 |
| Maximum | 98.4% | 196 |
| Sum | 1823.2% | 2708 |
| Count | 25 | 25 |
#### SUMMARY OUTPUT
**Regression Statistics**
- Multiple R: 0.238435249
- R Square: 0.056851368
- Adjusted R Square: 0.015844906
- Standard Error: 61.79333936
- Observations: 25
**ANOVA**
| | df | SS | MS | F | Significance F |
|----------------|------|-----------------|------------------|---------|----------------|
| Regression | 1 | 5293.85386 | 5293.85386 | 1.386400216 | 0.251054931 |
| Residual | 23 | 87823.58614 | 3818.416789 | | |
| Total | 24 | 93117.44 | | | |
**Coefficients**
| | Coefficients | Standard Error | t Stat | P-value | Lower 95% | Upper 95% |
|----------------|--------------|----------------|----------|---------|-----------|-----------|
| Intercept | 153.8042887 | 40.55812226 | 3.792194514 | 0.000941171 | 69.90342045 | 237.705157 |
| participation | -62.3679229 | 52.96841434 | -1.177454974 | 0.251054931 | 171.9414364 | 47.2055905 |
|
BIG COUNTRY
In a big feature
MICHAEL JACKSON and DAVID BOWIE
In the flesh in colour
Songs by Irene Cara, Kissing The Pink, Booker Newberry III and loads more
STARTS THIS WEEK
THE SPANDAU BALLET
No. 1 Martin Kemp INTERVIEWS
No helicopters in this week’s video spread. Instead, we talk to two musical fine artists – Robert Wyatt and Elvis Costello – as they shoot the promo for Wyatt’s Falklands War protest hit ‘Shipbuilding’.
Also, video pictures of Haysi Fantayzee – who would have a helicopter if they could afford one – and your chance to win a copy of Imagination’s ‘Music & Lights’ vid-cassette. All on pages 40 & 41.
It’s superstar week in No. 1, with pin-ups galore of both David Bowie and Michael Jackson. Free wallpaper, songwords, Michael’s chest and much much more on pages 24, 25, 26, 27, 34, 35 & 48.
Kajagoogoo’s British tour has been greeted with scenes of mayhem the likes of which haven’t been seen since . . . well, since the Spandau Ballet tour at least! But how do different cities around the country compare? Kajjer Steve Askew maps it all out on pages 12 & 13.
First when there’s nothing but a slow glowing dream,
That your fear seems to hide deep inside your mind,
All alone I have cried silent tears full of pride
In a world made of steel, made of stone.
Well I hear the music, close my eyes, feel the rhythm
Wrap around, take a hold of my heart
What a feeling, bein’ s believin’
I can have it all now I’m dancing for my life
Take your passion and make it happen
Pictures come alive, you can dance right through your life
Well I hear the music, close my eyes, I am rhythm
In a flash it takes hold of my heart
What a feeling, bein’ s believin’
I can have it all now I’m dancing for my life
Take your passion and make it happen
Pictures come alive now I’m dancing through my life
What a feeling (I am music now)
Bein’ s believin’ (I am rhythm now)
Pictures come alive, you can dance right through your life
What a feeling (I can really have it all)
What a feeling...
Words and music G. Moroder/K. Forsey/I Cara
Reproduced by kind permission Intersong Music Ltd
On Phonogram Records
NEWS
Duran Duran charity gig — on or off? 5
Rick Buckler’s new band details 5
Peter Murphy’s pneumonia 5
Virgin cable TV bid 5
Blancmange, Set The Tone tour dates 6
FUN
Kajagoogoo Which town screams loudest? 12
Miranda Belle Star Person-2-Person 14
JoBoxers Yeahs & Yeuks 15
Stewart Copeland Intimate Details 16
Aztec Camera Starwears 17
Duran Duran Badges 17
Gossip 11 Puzzles 26 Penpals 33
In the Flesh 34 Albums 36
Singles 38 Letters 42
CHARTS
UK Singles UK Albums Readers’ Chart Writer’s Chart Independents
Disco Video Deejay U.S. Singles U.S. Albums 46 & 47
COLOUR
Big Country 8 Aztec Camera 17
Spandau Ballet 19
Spear Of Destiny 22
Michael Jackson 24 & 27
Shalamar 31 David Bowie 34 & 48
Robert Wyatt 40 Haysi Fantazye 41
COMPETITIONS
D Train disco sweatshirts 14
Spear Of Destiny picture discs 16
Bad Manners LPs 16
Imagination video cassettes 40
SONGS
Irene Cara Flashdance 2
Booker Newberry III Love Town 10
Altered Images Bring Me Closer 10
Agnetha Faltskog The Heat Is On 21
Mtume Juicy Fruit 21
Michael Jackson Wanna Be Startin’ Somethin’ 26
Shalamar Dead Giveaway 31
Bucks Fizz When We Were Young 38
Kissing The Pink Love Lasts Forever 39
Haysi Fantazye Sister Friction 41
The Spandau Interviews
This week No. 1 is proud to announce the beginning of our exclusive five-part series, The Spandau Ballet Interviews.
Part 1: Paul Simper talks to Martin Kemp about his life before the band. Page 18
Locker room fun – Martin Kemp as drunk Adonis (left) and Steve Norman. Pic: Graham Smith
Murphy still on the mend
Peter Murphy, lead singer with Bauhaus, was hit much harder by his recent dose of pneumonia than was first thought.
He actually had double pneumonia, was confined to a hospital bed for three weeks, and at one stage it was feared that his spinal cord might be affected and he could have been paralysed.
Fortunately it turned out not to be so, but even now he has not fully recovered. He returns this week to England after a month's tour of the East, and then has just a week's break before he starts a month-long UK tour.
His friends are worried that Peter's energetic antics onstage will drain him of his remaining strength and that he may suffer a relapse worse than his original illness.
TIME FOR RICK
Former Jam drummer Rick Buckler has revealed the line-up of his new band.
Called The Time (UK) – to avoid confusion with an American group called The Time – it comprises Rick himself on drums, Jimmy Edwards on vocals, Nick South on bass, and Ray Simone and Danny Kustow, both on guitar.
"The sound is pretty guitar orientated," Rick explained on the phone, "but we're shying away from the conventional heavy thrashing sound. It's much more subtle than that, although I'm loath to put any labels onto the actual style."
The band have a recording deal in the pipeline, and everything looks set for a single late in July.
It was revealed that Jimmy Edwards will be The Time (UK)'s main songwriter. A strong writer and singer, he has been trying to launch a solo career for about three years.
Danny Kustow came to fame as Tom Robinson's punk partner. Since the demise of TRB he has been associated with various projects such as Glen Matlock's Spectres, all fruitless.
Let's hope The Time (UK) breaks the pattern.
CND line up
This year's Glastonbury CND Festival will take place on June 17, 18 and 19 at Worthy Farm, Pilton, Shepton Mallet in Somerset.
Thousands are expected to turn up to see a line-up which includes The Beat, Fun Boy Three, King Sunny Ade, The Chieftains, Aswad, UB40, Marillion, A Certain Ratio, The Enid, Alexei Sayle, Curtis Mayfield, Melanie, Dr John, Incantation, Black Roots, and many others.
Speakers will include CND leader Monsignor Bruce Kent and E.P. Thompson.
There will be lots of other sideshows, with more than 200 separate theatre performances.
Tickets are £12 in advance from CND, 11 Goodwin Street, London N4 3HQ, or £14 on the gate. Camping is free, and children are admitted free of charge.
Is There Something We Should Know?
June 13 is a very important date for Duran Duran fans.
That's when Aston Villa Football Ground in the band's home-town of Birmingham will know whether a licence has been granted for their own Duran Duran charity gig on July 23.
Apparently some residents aren't too happy about the gig, and nor are the local police.
Susan Walker, Assistant Commercial Manager at Villa Park is hoping that the show will go on.
She says: "We'd love it to happen as they're local boys. Although the ground's capacity is 48,000, we've applied for a licence for only 35,000, and there shouldn't be any problem with parked cars as I'm sure most of their young fans aren't car owners anyway.
"It will be no noisier than a football match as the speakers are at ground level."
MENCAP, the charity for mentally handicapped children are also keeping their fingers crossed.
Alan Leighton, Director of Communications for the charity added: "It would be tremendous if it went ahead, and we would be extremely disappointed if it has to be cancelled. But they are leaving it very late for the promoters to organise."
We understand from Aston Villa that originally it was to be a ten-hour concert, now cut down to four hours, with support groups and a two-hour session by Duran Duran.
EMI, the band's record company, declined to comment on which support bands would play if it goes ahead, and added, "Nothing has been confirmed."
What has been confirmed is their charity gig at London's Dominion on July 20 in aid of the Prince of Wales Trust, with Dire Straits supporting, for which they'll fly back from recording in Monserrat.
After Hours Records, the label that released B.A. Robertson's latest single, has been fined £2,000 by the British Phonographic Institute for breaking the music industry's code of conduct.
After Hours admitted buying up copies of B.A.'s single 'Now And Then' from chart return shops.
B.A. Robertson himself was said to be very upset when he heard the news, and knew nothing about it, said his manager Lisa Dentin. "The record company told us they were stock-taking."
Britain could soon have a TV station playing music 24 hours a day if Virgin Records boss Richard Branson has his way.
He's put in a bid to bring bands and videos to our screens via a cable network (in which viewers subscribe to the stations they want) – an idea that's already taken off in a big way in the States.
Given a Government go-ahead, the scheme could be under way by autumn.
Rumours that Dee from Wham will be joining the line-up of The Style Council as a permanent member have been denied.
A spokesman for The Style Council's record company, Polydor says: "Paul is taking his time about deciding whether or not the band needs a full-time girl singer. He will probably be working with lots of people in the future, but says that Dee is not joining the band."
Bananarama, Kate Haysl and Jay from Bucks Fizz are just a few of pop's ladies who will be acting as guest presenters on the CBTV programme this summer. The girls will act as roving reporters for the show, which goes out every Tuesday at 4.45 on Thames.
Sex/funk band Set The Tone who almost had a couple of hits with 'Dance Sucker' and 'Rap Your Love', are setting off on tour, as well as releasing their debut album 'Shittin' Air Affair'.
Dates are: Aberdeen Venue June 16, Arbroath Smokies 17, Edinburgh Outer Limits 18, Liverpool State Ballroom 20, Sheffield Limit 21, Leeds Warehouse 22, Manchester Hacienda 23, Colchester Embassy Suite 26, London Heaven 27, Hastings Downtown Saturdays 29, Dartford Flicks 30, Hickstead Cinderellas July 1, Bolton Dance Factory 2, Glasgow Mayfair 3.
New A&M signings The Europeans will be playing a short tour before the release of their album 'AEIOU'. They'll be at Central London Polytechnic June 10, Wokingham 11, Coventry Dog And Trumpet 16, Dudley JB's 17, and Trent Polytechnic 18.
Poppy punks The Adicts play a one-off date at London's Brixton Ace on June 16 before taking a summer break in Ipswich.
The Truth, a new pop/soul band currently in the charts with 'Confusion', are touring the UK this month. See them at Bristol Dingwalls June 9, Loughborough University 10, Dundee Queen's Hall 12, Oxford Polytechnic 18, London Marquee 25, 26, and Warwick University 30.
Pookiesnackenburger, the buskers turned popsters, take a break from writing the script for their forthcoming Channel 4 series to play some gigs. They'll be at the Bubble Theatre Tent, Parsons Green, London Fulham June 21, University of London 23 and Oxford New College 24.
Sugar Minott rounds off his British tour this week with dates at Newcastle Dingwalls June 9, Bradford Palm Grove June 10 and Dublin TV Club June 11. He then visits Europe before returning for more concerts at London Dingwalls June 22, and Sheffield Dingwalls June 23.
Chris Rea plays dates to promote his new album 'Water Sign', out now on Magnet. He appears at Guildford Civic Hall June 9, Southampton Guild Hall June 10 and London Venue June 11.
Any Trouble play a special one-off show at London's Venue on June 15, as a preview to their first album for EMI America, titled 'Any Trouble', released on June 20.
Blancmange prove they haven't forgotten their origins by playing two special dates under the ambitious title of 'The Happy Families Tour'. Blackburn King George's Hall on June 15 is a special homecoming for Neil Arthur, while their appearance at Aylesbury Friars the following night gives Stephen Luscombe a chance to pop in to his parents' home on the way to the gig!
This Thursday June 9, Drum Records are putting on a special night at Brixton's The Fridge. The bands featured are 'A Team', featuring ex-Animal Nightlife backing singer Chrysta Jones and former members of Stimulin, Garage and Champion Dough Veitch.
Men At Work, who have just played two sell-out concerts at London's Lyceum and are returning in July for a UK tour, have added a second night at Birmingham Odeon on July 13 due to extra demand.
Altered Images release their third album on Epic on June 17. Entitled 'Bite', it follows the change of direction already shown on 'Don't Talk To Me About Love' and 'Bring Me Closer'. Both are included, along with six other new songs, all produced by Mike Chapman and Tony Visconti.
Cult label 4AD this week release compilation EPs by two of their bigger acts - The Birthday Party, whose split was announced in No. 1 last week, and Modern English, currently climbing the American charts with 'I Met With You'. Both EPs feature five tracks and retail at £2.99.
American weirdos Devo release a new single 'Theme From Dr Detroit' on MCA this week. The song is taken from the soundtrack of the forthcoming film Dr Detroit, starring Dan Aykroyd of Saturday Night Fever and Blues Brothers fame.
Reggae star Tapper Zukie releases a new album 'Earth Running' on his own Mobiliser Music label this week.
I Level, the highly-acclaimed British dance band, release their third single on Virgin this week, entitled 'Teacher'.
Title of the week has to be 'Zunguzunguguzunguzenguz' by Yellowman, out on Greensleeves.
Halloween III: Season of the Witch
The night no one comes home
Moustapha Akkad presents
"Halloween III: Season of the Witch"
A John Carpenter/Debra Hill Production
Starring
Tom Atkins * Stacey Nelkin * Dan Oherlihy * Cochran
Produced by
Debra Hill and John Carpenter
Associate Producer
Barry Bernard
Director of Photography
Dean Cundey
Executive Producers
Irwin Tablans * Joseph Wolf
Music by
Tommy Lee Wallace
Released by Columbia EMI Warner Distributors Limited
FROM THURS. JUNE 9th. CLASSIC Haymarket · CLASSIC Oxford St. SCENE Leicester Sq · ABC Bayswater · ABC Edgware Rd · ABC Fulham Rd.
AND ALL OVER LONDON
This week sees the release of a live Gary Moore album called 'Rockin' Every Night'. Recorded in Japan, the album will only be available on import at the anything-but-cheap price of £9.50!
New Virgin signing Endgames release their first single 'Waiting For Another Chance' in the obligatory 7" and 12" formats this week.
Former teeny idol Steve Harley returns to the limelight on June 17, with a new single 'Ballerina (Prima Donna)' produced by Mike Batt on Stiletto Records. Steve, former leader of Cockney Rebel, has been filling in his time recently by writing songs with his old buddy Rod Stewart.
Progressive rockers Marillion release a new single 'Garden Party' off their chart album 'Script For A Jester's Tear' this week. The 12" features a 13-minute live version of 'Margaret'. They are also set to play the Glastonbury Festival on June 17.
The inimitable Jona Lewie issues his first single for a year this week on Stiff. 'Love Detonator' is backed by his first ever Stiff release 'The Baby She's On The Street'.
The Coconuts, minus Kid Creole, bring out their debut LP on June 13 called 'Don't Take No Coconuts'. Wouldn't dream of it!
Donna Summer brings out an eagerly-awaited new single this week called 'She Works Hard For Her Money'.
Epic release a compilation LP this week of dance hits. Called 'Dance Mix – Dance Hits', it includes such gems as the current hits from Mtume, Forrest, Michael Jackson, and D Train.
The 'mixer' is Froggy whose mixing has been a regular feature of Peter Powell's Radio One Steppin' Out show.
American punks The Ramones have a new single 'Time Has Come Today' out on June 17.
Second Image, the British jazz/funkers who've just finished touring with Maze, have a new single 'Special Lady' out on Polydor.
Sparks release their twelfth album this month. It's 'Sparks In Outer Space'.
Howard Devoto, ex Buzzcocks and Magazine, has a solo single 'Rainy Season' out on June 24. His album 'Jerky Versions Of The Dream' should be available next month and a tour is planned.
Naked Eyes, a Bath-based duo, have re-issued their single 'Always Something There To Remind Me' in the wake of their US success.
Public Image Limited, now down to a duo consisting of John Lydon and Martin Atkins following Keith Levene's resignation last week, are finishing off their first LP for two years. It is likely to be released in the autumn, around the same time as Lydon's first feature-film role, a still-unitled Italian cop-movie.
Panic L to R: Valentine Guinness, Stuart Moody, James Baring, Russell Raisley
Panic (above), a new signing to PRT, have a single out this week called 'Tickets To The Tropics'. The band have a very distinguished line-up - no less than three old Etolians.
Valentine (mine's a pint)
Guinness is the future Earl of Cromer, while James Baring is a cousin of the Princess of Wales.
NEW SINGLE
MATTERS OF THE HEART
7" & 12" (DUN DIFRINT)
Can you imagine Big Country as a synth duo? Seems unlikely doesn't it, but it almost happened.
The people who have helped to make guitar and guts respectable again, and whose live shows are stirring, joyful occasions, nearly ended up spending their lives in a recording studio.
Happily, although founder members Stuart Adamson and Bruce Watson had contemplated going it alone, they soon decided that they needed a band to interpret such big, bold songs as their current hit 'In A Big Country'.
"We had one line-up which didn't work out," remembers vocalist Stuart. "And after that we were nearly going to work just as a two-piece with tapes and put out records.
"Then we decided that live work was really important and that we wanted to go out and play our music.
"We had to wait for the right people though. We didn't want to rush into something stupid which would cheapen what we were trying to do."
The first line-up sounds like something of a fiasco.
"Two brothers joined us for a while when we had the name Big Country but no record deal," explains Bruce. "We played one date supporting Alice Cooper (the American shock rocker) in Brighton, which was absolutely terrible!"
The union was shortlived, but along came bassist Tony Butler and drummer Mark Brzezicki in the nick of time.
These two had been working together for five years, first in a band called On The Air (who supported The Skids on their last tour), then as a team called Rhythm For Hire doing session work.
They were drafted in to help with some demos Stuart and Bruce were doing and after three songs "it just clicked".
As a working unit Big Country all share the same beliefs, although Stuart is more vocal about his aims.
"I want to put passion and honesty back into music," he declares.
"I left The Skids because I thought the spirit had gone out of the group. It had become something we were just doing for a living."
Karen Swayne takes a breath of fresh air with Big Country
responsible for The Skids' rousing anthems, there were high hopes for Big Country - and so far the band have done little to disappoint.
One of the best new bands of '83, they refused to go with this week's thing. Instead they struck out on their own with the powerful 'Fields Of Fire' and haven't looked back since.
"What I think is good about our records getting into the top ten," says Stuart, "is that it shows people do still want to hear music with a bit of spirit. They don't want to hear stuff that all sounds the same.
"If we've inspired anyone to start up a group and play the music they feel is theirs then we've achieved something."
Big Country have a very human approach to their music and their fans. They're all friendly, down-to-earth people with no time for the mythical pop star lifestyle.
At the Manor recording studios in the heart of the Oxfordshire countryside where they're working on their debut album, the atmosphere is comfortable and relaxed. Staying with them are Stuart's wife Sandra, their toddler son, and Tony's pregnant girlfriend Jackie.
"I'm beginning to realise that you don't see much of home life when you're in a successful band," admits Tony. "I know if I get carried away by it all my family will suffer, and I don't want that to happen, so it really helps me keep my feet on the ground."
Success may have come quickly but it doesn't look like it'll go to their heads.
"You've got to treat the people who buy your records with a lot of respect," says Stuart. "It's important to us to have contact with our fans. We run our own magazine which they can contribute to, and always stay behind at gigs so that anyone who wants to talk to us has the chance.
"We don't want people to worship us, we want to break all that down."
"Don't get me wrong," Stuart goes on. "I want to reach as many people as I can, because I'm not in a group to sit and listen to my own records in my bedroom. But it is important to play the music that's in yourself.
"I like synths, but I think Bruce and I get a bigger range of sound out of guitars. I'll do anything that makes them sound different.
"There are very few people who have experimented with guitars in mainstream music."
Part of the reason for Big Country's individuality is the undoubted Scottish influence in the songs - which is reflected in Stuart and Bruce's 'bagpipe' guitar sound.
"The music has an obvious Celtic feel, but that's mainly because I never learnt to play American style guitar," says Stuart. "I think it helps being removed from London. I live on the outskirts of Dunfermline which I love, and it does give me a different perspective on things."
Big Country are no country bumpkins though. They're smart enough to know that these days it helps to have a 'look' the fans can identify with.
The checked shirts and short baggy trousers have a couple of advantages over the Duran-type gear. Not only are they cheap, they're also easy to get hold of.
They're keen to point out though that there's no ulterior motive behind their image.
"It wasn't a calculated thing at all," claims Tony. "Stuart had worn tartan shirts for ages and came along with the trousers and we adopted them because they're really functional. 'They're great to wear onstage because we leap around a lot, and if you wear tight trousers you sweat too much!'
"They're our working clothes, so to speak. It's just like putting your overalls on at a factory."
So how long do you see yourselves working on this particular assembly line, boys?
"It's silly to go on too long in this business," says Mark. "I don't want to be in a position where we're struggling to keep up the standard of music.
"I think we'll know when it's time to call it a day."
Altered Images
Bring Me Closer
If I could achieve
What I do with these
I wouldn't ask you
For anything else
Bring me closer
(Bring me closer)
Please bring me closer
(You took me nowhere)
You took me nowhere
(You took me nowhere)
Something
That you do to me
Fills me with unease
Something
That you do to me
Do to me ah-ah
Again and again
I lose myself again
Inside you and your lies
Bring me closer
(Bring me closer)
Please bring me closer
If I could achieve
If I could achieve
If I could achieve
Bring me closer
(Bring me closer)
Please bring me closer
(Please bring me closer)
Something
That you do to me
Fills me with unease
Something
That you do to me
Fills me with unease
Something
That you do to me
Do to me ah-ah
Do to me
Do to me ah-ah
Do to me
Do to me ah-ah
Words and music Altered Images
Reproduced by kind permission
Slotcrest/Warner Bros Music Ltd
On Epic Records
Love Town
Booker Newberry III
Everybody, bring your body
To love town
Midnight madness
Moonlight gladness
In love town, baby.
Out in the dark
Under the stars
There's a brand new horizon
City full of lights
Yet it glows in the night
And it's full of surprises
Every doorway has a fantasy land
That will shake up your mind
Neon ladies selling rooms for romance
On a 12 o'clock high
Chorus
Out in the streets
No one ever sleeps
Cause their bodies on fire, yer
Up on the roof
Love is one hundred proof
You got me going higher and higher yer
Every window there's a shadow or two
Making love in the night
Look around you and your dreams
Will come true
For once in your life
Chorus
Every doorway has a fantasy land
That will shake up your mind
Neon ladies selling rooms for romance
On a 12 o'clock high
Chorus
Words and music Boby Eli/Len Barry
Reproduced by kind permission Ocean to
Ocean Music/On The Boardwalk Music/
Friday's Child/ATV Music Ltd
On Polydor Records
As the dust settles and a mood of general dejection sweeps through the populace, raise up your glass and sing Hoorah! for Whispers, the only gossip column to be officially endorsed by Michael Foot's dog.
Anyway, five years isn't long, is it? No, it's only a small matter of 1825 days. Nothing really.
After all, David Bowie hadn't played England for five years until last week yet it seemed like yesterday. Stars flocked out in droves for the founder's comeback. We spotted Clare Grogan, Pete Townshend, Viscount Linley, Sir Geoffrey Howe's son, Lulu, Ian McCulloch, Pamela Stephenson, Billy Connolly, Stephen Spielberg and that was just on the first night.
We also noticed Koo Stark leaving the concert in tears, pursued by a baying pack of photographers. Come off it Koo, Bowie wasn't that bad...
The most square-eyed amongst you may have clocked the elfin Limahl acting his tiny cotton socks off in a recent The Gentle Touch. Seemed that Maggie was having problems with her son and found some smutty mags in his bedroom. Limahl, who appeared under his real guise of Christopher Hamill, played Freddy. ("Riveting" - The Times)...
While TOTP was being filmed last week Prince Charles (the real one) dropped in. He swept through reception in a beige suit, looking very tanned, to present an award to some boffin on Tomorrow's World.
Booker Newberry III on his first visit to Britain had earlier told our reporter that he planned to visit Buckingham Palace, but got stuck in his TOTP dressing room door when Charlie arrived...
Not many people know that Steve Strange owns the Wag Club. Steve, an alleged 24 last Monday, held a birthday at Patsy's to celebrate his enormous wealth.
What on earth was Grace Jones doing playing the Surfin' Club in Iceland the other day? A shivering Grace told us she was planning a shopping binge in Europe this week but wasn't going to pay us a visit. Huh!
Exiled Liverpudlians A Flock Of Seagulls have made so much dosh in America that they've been invited to join the ultra-exclusive 48 Hours club in L.A., a drinking establishment that stays open for two days at a time. Hic...
Still on Merseyside, rumours are flying that WEA may drop Washington and the rest of Wah! and promote a solo Pete Wylie. Help!
The Fall and their long-time manageress Kay Carroll have parted company in Boston after three years' mutual service.
Pat Waller's Style Council are planning to record an EP in Paris soon. No doubt it will include their 'Paris Match' ditty...
Smart money says that the next Spandau Ballet single will be 'Gold'...
Isn't she lovely... the lissom beauty above is none other than Ginny Hewes, soon to become Mrs David (Soft Cell) Ball. Ginny, 24, is a member of Marc And The Mambas' backing combo The Venomettes for whom she tweaks the violin.
Bridesmaids at the wedding will be the other Venomettes and keeping it in the family are best man Marc Almond and Stevo, in charge of the reception. The couple will honeymoon in Soho and Leeds.
Wham are talking about touring Britain in August with an eleven-piece band, a video show and mobile disco...
Decisions, decisions. Elvis 'The Imposter' Costello's 'Pills And Soap' is selling so well that his label aren't sure whether to withdraw it on June 9 as was planned originally. A new Elvis LP and Langer/Winstanley produced single are already in the can as we say in the trade...
Jermaine Jackson will appear on The Jackson 5's reunion album after all. Jermaine hasn't recorded with his bros. since their Motown heyday...
Amongst the revellers at Hampstead Heath Fair, none other than man of the people Rusty Egan, dressed down for the occasion in a spotless silver suit while the plebs slopped around in jeans and sneakers. How uncool. Ego's only concession to the proletariat was to pose uncomfortably with a sauce-smothered hot dog. Mind that whistle, Rusty!
Stevo's bragging that he secured a whopping £135,000 deal for Cabaret Voltaire, which he split quite fairly 75/25 in his favour, is simply not true according to a hot-under-the-collar Virgin spokesperson. "Anybody who believes everything Stevo tells them is as stupid as they think we are for giving him all this money," he said. Work it out for yourselves.
Despite hitting Heaven 17 into the charts, sultry siren Karol Kenyon isn't being seen or photographed with the lads. Karol's company A&M aren't keen for her association with HIT (on Virgin) to go any further, and the band don't want to publicise the liaison since she only appears on one track of their best-selling LP. Daft, we call it...
At last! A human interest story. Iron Maiden bassist Steve Harris did his good deed for the day when he handed out tickets to Maiden's Hammersmith Odeon tour to a young employee whilst visiting an East London metal disco. "Thank God I've got a job," was one punter's reaction. Can't think what he meant...
Back to the scuzz. Jock 'quarter pounder, regular fries and a milk shake to go' McDonald's boys Red Lipstique have been up to no good again. While their mentor was away running himself on some fancy beach, the band's manager Keith Bradshaw dropped a clanger in front of a certain NMEScribe who for the purposes of professional etiquette must remain nameless (David Dorrell). The band was deep in meaningful discussion with the lad after a Dartford gig when Bradshaw suddenly burst in nine sheets to the wind and promptly removed his trousers and neither garments. The pen-pushers feigned not to notice, and the interview proceeded with Bradshaw pants-less.
Hitting the pre-election trail for the Labour Party was Rip Rig & Panic's Gareth Sager. Gareth has been knocking on doors and trying to convert unbelievers. Reaction of staid Westbourne Grove Londoners to the wild man of rock is as yet unrecorded.
Notice those mistakes in our crossword grid last week. Real howlers, eh? Sorry about that.
Finally, those rent-a-popstar rascals JoBoxers have devised a successful way of getting under-age fans into their gigs. At a recent Strathclyde University show they smuggled large quantities of sprogs in by stuffing them three at a time into a flight case carried in as equipment by hefty roadies. Six humpers sneaked fifty fans in using this novel method...
See Brookside last week? If you didn't you missed a choice piece of dialogue. Michelle to the gorgeous and recently widowed Peter: "Are you coming down the State Ballroom tonight?" Petra, pouting magnificently: "And' ear about Echo And The Bunnymen all night? No ta." Brill...
Same time, same place. Next week. 1,824... 1,823... 1,822...
GOING GAGA!
Kajagoogoo have just finished their first nationwide tour. Nearly everywhere they played the audience went wild, with fans fainting and screaming.
No. 1 spoke to Steve Askew of Kajagoogoo about their concerts round the country – and we gauged the reaction North of the Border by talking to the group’s Scottish supporters.
“We don’t get that many bands up here, so it’s wonderful to see Kajagoogoo even better than some of the others! I am a good singer, and all the best people are coming to see us.”
– Karen Hillin, Aberdeen
“The atmosphere was so incredible you could have bottled it and sold it as a tonic.”
– Donna Richardson, Motherwell
“I thought it was fantastic. The only slightly bad thing was before the show I bought a poster for £3.00 in the hall, but later found it was 75 pence in the shops.”
– Karen Peebles, Helensburgh
On the band: “They’re just ordinary working-class people. I’ve seen thousands come through this stage door. Some people come through this door who’ve been in the business 50 years . . .”
– Basil, doorman, Liverpool Empire
“In Liverpool the audience was manic – they really went mad! The show was a bit special for us though because there was an orchestra and separating us from them. Mind you, bearing in mind the kind of mood the fans were in, it was probably just as well they’d have ripped us to pieces if they’d have got near enough!” – Steve
“Every member of the band has their own opinion as to what the best gig of the tour. The fans were ecstatic from the word go. They were so enthusiastic that we couldn’t help ourselves play!” – Steve
“Manchester was OK. The reaction wasn’t bad, but nothing was over the top.”
– Steve
“People actually stopped on my shoelace to get to the stage, while I was lunging for dear life to my seatback. The audience completely hid the band from the people at the front, and fans told me that was the only thing that spoiled the concert.”
– Wilma Skinner, Edinburgh
“We went down the worst in Edinburgh. The audience seemed rather reserved. At least, I thought so, but the promoter said that the audience reacted the best he’d seen in years. Maybe we’d been spoiled by the time we reached Scotland.” – Steve
“It was difficult to gauge the reaction in London. People afterwards told me that we went down a bomb, but I didn’t get that feeling from the stage. Maybe it was the acoustics of the venue, but I felt that the reaction in, say, Birmingham was much better.”
– Steve
“Aylesbury upset me a little. A girl was so badly co-ordinated she had to be given the rest of her life. We intend to give her a visit when we get time.”
– Steve
“Margate upset me a little. The girls fainted, and when you’re onstage, you need these tiny fragile candles being dragged across by your lips. It would be pleasant.”
– Steve
“Norwich was pretty poor.”
– Steve
“‘The atmosphere was so incredible you could have bottled it and sold it as a tonic.’”
– Donna Richardson, Motherwell
“I thought it was fantastic. The only slightly bad thing was before the show I bought a poster for £3.00 in the hall, but later found it was 75 pence in the shops.”
– Karen Peebles, Helensburgh
On the band: “They’re just ordinary working-class people. I’ve seen thousands come through this stage door. Some people come through this door who’ve been in the business 50 years . . .”
– Basil, doorman, Liverpool Empire
“In Liverpool the audience was manic – they really went mad! The show was a bit special for us though because there was an orchestra and separating us from them. Mind you, bearing in mind the kind of mood the fans were in, it was probably just as well they’d have ripped us to pieces if they’d have got near enough!” – Steve
“Every member of the band has their own opinion as to what the best gig of the tour. The fans were ecstatic from the word go. They were so enthusiastic that we couldn’t help ourselves play!” – Steve
“Manchester was OK. The reaction wasn’t bad, but nothing was over the top.”
– Steve
“People actually stopped on my shoelace to get to the stage, while I was lunging for dear life to my seatback. The audience completely hid the band from the people at the front, and fans told me that was the only thing that spoiled the concert.”
– Wilma Skinner, Edinburgh
“We went down the worst in Edinburgh. The audience seemed rather reserved. At least, I thought so, but the promoter said that the audience reacted the best he’d seen in years. Maybe we’d been spoiled by the time we reached Scotland.” – Steve
“It was difficult to gauge the reaction in London. People afterwards told me that we went down a bomb, but I didn’t get that feeling from the stage. Maybe it was the acoustics of the venue, but I felt that the reaction in, say, Birmingham was much better.”
– Steve
“Aylesbury upset me a little. A girl was so badly co-ordinated she had to be given the rest of her life. We intend to give her a visit when we get time.”
– Steve
“Margate upset me a little. The girls fainted, and when you’re onstage, you need these tiny fragile candles being dragged across by your lips. It would be pleasant.”
– Steve
“Norwich was pretty poor.”
– Steve
Swing—in a roundabout way
The swingers of Camden Palace got a rude awakening when they turned up to watch Harrow band Roman Holiday, a band that captures Glenn Miller’s forties and the rockabilly ’50s in an ’80s pop package.
“We went down like a ton of bricks,” says singer Steve Lambert. “They were all there with their suits and fancy hairstyles expecting pure swing and it just wasn’t us.
“Everybody labelled us a swing band but we’ve always said we play pop music.”
Perhaps it was all John Peel’s fault. He discovered the lads in a place called the Jive Dive at London’s Gossip Club. Peel was late and the gig was over when he arrived.
“But we set up again so he could hear us. He had cycled to see us and we thought it was the least we could do.”
Peelie obviously thought they were worth the bike ride because the lads did a successful session last summer which put them on the road to fame.
Supports on the Belle Stars and the Mari Wilson tours followed, and Roman Holiday have since built up a strong following.
The band’s new single ‘Don’t Try To Stop It’ is out right now, while an album is planned for the end of July.
Stand by for a swinging summer.
L to R: Brian, Steve, Simon, Jon, John, Adrian, Rob.
No. 1 Readers’ Chart
So who’s No. 1 in your chart? Here’s your chance to list your five current favourites.
If you don’t want to cut the coupon out of the magazine just put them on a postcard.
This week’s Readers’ Chart is on page 46 – and there’s a £5 record token for the chart pulled Out Of The Hat on page 42...
My favourite records right now are:
1. .................................................. 3 ..................................................
2. .................................................. 4 ..................................................
3. .................................................. 5 ..................................................
Name: ...........................................................................................................
Address: ........................................................................................................
........................................................................................................
........................................................................................................
Age: ............................................................................................................
Jim Kerr, singer with Glasgow band Simple Minds, has always loved travelling. In fact it’s the main inspiration for his songs — but Katmandu is going a bit far, don’t you think Jim?
Last week intrepid explorers Jim and Charlie Burchill set off by plane to Bombay, then they’re hopping on a train to Calcutta, and hitching the rest of the way to Nepal.
Anyone for Gandhi II?
Your chance to wear out D Train
As you bid a fond farewell to D Train as their single ‘Music (Part 1)’ slides down the charts — take heart. As a reminder of the funky duo, James and Herbert are giving No. 1 readers 20 disco sweatshirts, plus signed photos.
Just bung your name and address on a postcard and send it off right now to: D Train Freebie, No. 1, King’s Reach Tower, Stamford Street, London SE1. It’s first come, first kitted-out, so hurry.
Miranda BELLE STAR
This week the questions are for Miranda Joyce from Kathryn Dorme of Chalfont St. Peter.
Kathryn: How closely involved will The Belle Stars be with the running of the BS Bandits? (Incidentally, I’m Bandit No 27!)
Miranda: Hello Bandit 27! We’ll be very closely involved with the fan club, and we should be doing a lot of writing in the fanzine in the future.
Kathryn: Were you pleased with the response of the audience on your recent British and European tours?
Miranda: Yeah, it was fantastic. In Europe the reaction is different. They come to listen, and are really quiet while you’re playing, but then at the end they go mad. It takes a bit of getting used to.
Kathryn: Why is it that you rarely appear on the radio or television interviews?
Miranda: I don’t know, I think I do my fair share! I do actually prefer to do magazine interviews because I don’t like the sound of my voice on the radio.
Kathryn: Did your parents object to you joining The Bodysnatchers (Miranda’s previous group) rather than accepting the place you were offered at art college?
Miranda: They soon realised that I was going to make a career out of it though, especially when our single ‘Let’s Do Rock Steady’ got in the charts!
I was only 17, so it must have looked like I was throwing all stability out of the window, but I’ve never regretted it. I can always go back to art school as a mature student!
Kathryn: Do you have anything special planned to celebrate your 21st birthday?
Miranda: At the moment it looks like we’re going to be in America for July 26, so I could be whooping it up over there. That would be quite nice — different, anyway.
If we’re in England I’ll be down the Palace, I just hope it’s a Tuesday or a Thursday.
Want to fire five questions at a pop star?
Then we can help. Send us your questions, with your name and address, and the name of the artist of course, to: Person 2 Person, No. 1, King’s Reach Tower, Stamford Street, London SE1.
Fame at last?
Now that the screaming and cheering is over for the TDK Battle Of The Bands final this year - they're at it again.
Demo tapes are invited from budding bands who'd like to win £10,000, a recording contract, and a holiday in the South of France.
Tapes with three original songs, plus a short bio and photo, should be sent to: Duncan Macpherson, TDK Battle Of The Bands, Competition House, 87 High Road, Wood Green, London N22.
The final will be in March next year.
If you were thinking of going it alone and putting a record out on an independent label - a word of warning comes from the Independent Record Labels Association.
It seems that lots of bands sink their money into this type of project, only to be ripped off and left penniless, and recordless in some cases.
The IRLA has been set up to give help and advice to anyone thinking of setting up their own label. The address is: 56-60 Wigmore Street, London W1.
David Joseph, the Willesden-born singer setting the charts on fire with 'Let's Live It Up', loves going to see American funk bands when they come over, but not 'cos he likes them.
"I watch to see if they make any mistakes, and learn from it. It's business really."
If only they knew.
Supergroups like Supertramp really do live in another world.
John Helliwell told us about his last holiday. "It was 1980," he says, "The whole of 1980."
Chris BOSTOCK (JoBOXERS)
YEAHS
1. I'VE GOT SOMETHING GOOD Sam and Kitty. An obscure Northern soul number. One of the many that never really escaped from Wigan Casino.
2. ISRAELITES Desmond Dekker And The Aces. I learnt to dance with this one.
3. CHURCH OF THE POISON MIND Culture Club. They are my favourite current band, and this is their best single to date.
4. JUNGLE BOOGIE Kool And The Gang. When I first went to discos this was my favourite - real nostalgia!
5. LICKIN' STICK James Brown And The Famous Flames. The base line on this is superb.
6. ROAD RUNNER Junior Walker And The All Stars. Definitely his greatest. A real Motown classic with singing sax.
7. DOUBLE BARREL Dave And Ansel Collins. 'Skinhead reggae' at its best.
8. FRIENDS Shalamar. This reminds me of 'Jules' in Newcastle.
9. BILLIE JEAN Michael Jackson. I like the video too.
10. OUR HOUSE Madness. This band are a real team. I'm sure they'll still be making records like this in years to come.
AND YEUKS
1. OOH TO BE AH Kajagoogoo. This record has no melody, no guts, no anything.
2. TRUE Spandau Ballet. There's no difference between this and Barry Manilow, and I don't like Barry Manilow.
3. WHISTLE DOWN THE WIND Nick Heyward. This guy should join Haircut 100...
4. PALE SHELTER Tears For Fears. Yet another synthesizer duo. At least Yazoo had some good songs.
5. OVERKILL Men At Work. Boring old rock music which sounds like The Police.
Whatever happened to Abba?
Since the release of the singles LP 'The First 10 Years' last year, there's been relative silence from the Swedish foursome. Surfacing at London's elegant Dorchester Hotel in Park Lane, Agnetha Faltskog revealed all.
"Abba have been taking a well-earned break," she explained. "We decided to pursue separate paths for a while. Frida's continuing the solo career she started last year, and I'm just embarking on one."
The fruit of Agnetha's independent venture is an album, 'Wrap Your Arms Around Me', produced by Mike Chapman, the man who launched Elton Quartz in the '70s and recently put Altered Images back in the charts. Although Mike wrote the title track, the album features the work of many other artists too, as well as one song by Agnetha herself.
"I love composing," she says. "Before Abba formed, I recorded six or seven solo albums in Swedish for which I wrote the material myself. I haven't had the chance to write since then, because in Abba it was always the boys who wrote the lyrics."
So what of the Abba boys? What are they up to during this resting period?
"They're involved in writing a musical with Tim Rice."
And what of the future? Does Agnetha want to branch away from music as well as the group?
"Well, I've just completed my first movie part, in a film called Raskastram. It's the story of a Swedish Casanova, and I play the woman he finally falls in love with and marries. It's a tragi-comedy."
Buster’s Good Manners
The ladies supporting Buster Bloodvessel in our picture are called The RolyPoly’s, and they have a single out of their own called ‘Lumpy Lump Lump’.
Plump bands are definitely the next big thing, so forget that diet. Incidentally, if you haven’t yet added the new Bad Manners LP — ‘The Height Of Bad Manners’ — to your record collection, now’s your chance.
Buster and the boys have diligently sat down and signed 25 copies for No.1 readers.
All you’ve got to do to get a copy is to put your name and address on a postcard and send it to: Bad Manners Giveaway, No. 1, King’s Reach Tower, Stamford Street, London SE1.
Buster lends his weight to promote a new band
INTIMATE DETAILS
Stewart Copeland
EARLY LIFE
Name: Stewart Copeland
Born: Virginia USA, July 16
School report: I enjoyed some of it, but not really until I got to University. I did well there.
Childhood ambition: Yeah, to be in a drum store and Jimi Hendrix walks in and hears me playing and says “Hey man, come over to my place and let’s jam.” Then he asks me to join his band.
1st Crush: It coincided with the first night I played a gig when I was young. That night I was discovered by lots of Lebanese females. Before I was no-one at all, but it turned out I was too young for it.
1st Kiss: That same night I guess.
HOME LIFE
Lives: I actually commute a lot between England and America, so you can say that my home is my suitcase.
Cooks: I can make something called Egyptian One-Eye. It’s a piece of toast with a square cut out of the centre, then you crack an egg in it so the yolk is right in the middle. I actually think while I’m making breakfast — I make terrific political speeches that start in the shower and end brilliantly as I’m serving up the food.
TV: I like The Young Ones and Top of the Pops. Did you see us on it the other week standing around looking stupid?
Records: I rather like ‘Temptation’ by Heaven 17, but I was disappointed that The Human League didn’t get to the top and not the other New Romantic groups. Oh yeah, I like Eurythmics too.
LOVE LIFE
In love: With my wife, Sonja Kristina, who used to sing with a band called Curved Air.
We have a son Sven who’s 14, from Sonja’s first marriage, and we’re expecting a baby in July.
Furry friends: I have 5 horses, or rather 4 polo ponies and one nag. I have two giant white grizzly Pyrenean mountain dogs who cost as much to feed as I do called Sting and Andy, and they terrorise the village where we live.
SOCIAL LIFE
Films: Eraserhead is the all time classic, and I’ve seen Frank Zappa’s 2000 Motels a few times. I met his manager once.
Gigs: I haven’t been to many recently — far too long in fact.
Gene October from Chelsea is an old mate of mine and I saw him at The Marquee Club. Haven’t been discovering great new bands for ages — maybe I should start again!
Nights out: Depends really. We’re on the road a lot at tour, which I classify as nights out. In fact I’m night outed at the moment. I could do with some nights in.
Nights in: Having said that I like to stay in, what usually happens is that I’m raring to go out around 6 o’clock, and by the time I’m ready at 8 I slump back and don’t bother.
I like to get into my studio where I play with films and groom the dogs. They need grooming every day because they are so hairy.
Lights out: Usually around 2 or 3 in the morning. I like to watch the dawn, and I love it in the summer when I’m working in the studio and there’s a purple glow over the sky. I’ve got big windows you see.
PRIVATE LIFE
Fears: Nothing that I can think of — political ones maybe.
Confessions: You must be kidding! I wish . . . I could direct the next Star Wars movie. I’d like George Lucas to see my latest film, So What which is all about punks and to say to himself, “This director’s really something.”
Spin The Wheel
Calling Kirk Brandon fans — it’s within our power to give away 50 picture discs of ‘The Wheel’. Is it in your destiny to win one?
Just answer these three simple questions on a postcard.
1. What was the title of Spear of Destiny’s debut single? Was it a) Do You Believe In The Westworld? b) Flying Dutchman, c) Flying Scotsman.
2. Which member of the band used to be in Theatre Of Hate with Kirk? Is it a) Stan Stammers, b) Cris Bell, c) Lascelle James.
3. What did Kirk Brandon say when he appeared in our TV advert for No.1? Was it a) news! b) gossip! c) charts!
If you think you’ve got the answers, jot them on a postcard or back of an envelope and send it to: Spear of Destiny Competition, No. 1, Room 2614, Kings Reach Tower, Stamford St., London SE1.
Roddy Frame:
"I feel comfortable in scruffy clothes, but although people call me a hippy, I don’t see myself as one.
I buy a lot of second-hand stuff. The shirt and scarf I’m wearing in the picture are both from Kensington Market. The shirt was £2 and the scarf was 30p. The leather waistcoat was given to me by a friend.
I often go to jumble sales; the last one I went to was in a hospital in Hackney. But you don’t always find anything; I searched in vain for half an hour.
The best place to go is Camden Market at weekends.
There’s also a good second-hand shop up round Portobello Road. Only trouble is, a really obnoxious old man works in it. He expects Victorians to come in and buy his Victorian stuff.
Believe it or not, I used to be quite smart a couple of years ago. I used to wear really cropped hair at the sides and a big overcoat with riding boots. I looked like a Nazi storm-trooper!
At that time there seemed to be a wave of new order over the country, and everyone started having short hair, and wearing ties and big coats and looking miserable.
People used to look at you if you were really clean, but now you get noticed more on stage if you’re scruffy.
Most people who are scruffy now are clean and scruffy, like Wham, and our new guitarist.
Anyway, I think the importance of clothes has been blown out of all proportion.
Let’s get back to the music, man!"
Photos by Mike Prior
FIVE MORE BADGES
for you to cut out and use in your 4-in-1 badge
ROGER
JOHN
NICK
ANDY
SIMON
This week – DURAN DURAN. It’s a snip!
I was born at home on October 10, 1961, in Islington – not far from where I live now. I’m a true cockney.
It’s a brilliant area to grow up in. I used to go to school just down the road at Rotherfield Junior School.
I remember it was really embarrassing because my school was the only one where you had to wear shorts until you were eleven.
All my mates went to Owens, which was just around the corner, and so when they saw me coming home from school I had to hide behind all the cars in case they saw what I had on.
I was embarrassed! Not only that, it was freezing in the winter.
When you used to say to people, 15 years ago, that you came from Islington they used to reckon it was a dodgy area – because it had a reputation for being a bit hard – but it wasn’t. It’s a really friendly place.
I always got on really well at school because I was in the football team – which is a real let-off when you’re a kid.
If you’re in the team the teachers treat you with more respect because you’re seeing them in the evenings when they’re off duty.
It’s only when you start hating the teachers that you say you hate school.
Even at Primary School I was very close to Gary, my older brother. But it wasn’t till I got into my Secondary School, which was Central Foundation Grammar School in Old Street, that I started mixing with Gary’s friends.
That was when I met Steve, John and Tony.
Me and Gail used to have a rivalry over girls. I remember once we went to a party in the fourth year and I didn’t know that Gary was trying to pull this girl. So I stepped in and got hold of her!
Things like that were always happening.
We used to have loads of punch-ups but you do, don’t you? When you’re brothers though you don’t really hurt each other and ten minutes later you’ve both forgotten about it.
I think that’s why the group gets on so well now, because when there’s things to be sorted out, me and Gary can have a really good row and then it’s all forgotten.
Above: Martin at Rotherfield Junior and, right, at the band’s first live appearance, just before Christmas 1979.
If we weren’t brothers we’d probably keep all the arguments bottled up, which can’t be a good thing.
Our family wasn’t well off. I remember my mum crying because she couldn’t buy me a pair of shoes.
But that was the same for everyone in the area. No one had a lot of money.
Our area’s grown up now though and everyone’s doing better. It’s gone from lower working-class to upper working-class, which is a good thing.
Everyone around us has been really great about the group. The success of the band isn’t just good for us, it’s great for my mum and dad and all their friends because it’s something new and interesting in their lives.
My mum and dad have always been absolutely brilliant. My mum took me to Anna Sher’s drama school, in Bentham Court, which was directly opposite our house in Rotherfield.
She took me when I was eight. Before that I used to be really shy but drama school brought me right out.
I owe everything to Anna Sher. She’s done so much for me and Gary, showing us what it’s like to be in the limelight.
Once you’re standing up there in front of all those other kids you lose all your embarrassment.
The best thing was that the drama school really started to take off. Producers used to come down to get kids parts in films and I ended up doing about 30 different programmes.
I did Play For Today with Leonard Rossiter and Vanessa Redgrave. I also did a play called The Glittering Prizes a major series which shot actor Tom Conti to fame in 1975).
There was one really embarrassing moment in that, which’d be really funny if it was ever shown again. The story is that I’m a good footballer who two teachers are fighting over as to whether I should get on with my academic work or carry on with my football.
My name’s Graham Black – good name! – and there’s a shower scene where I have to stand up and be a bit of a lad.
The camera’s focussing on
Continues page 20
MARTIN KEMP
Photo Chalkie Davies
From page 18
my bum and I'm meant to stand up and piss on the kid sitting next to me.
We did the scene about nine in the morning, the cameras started rolling and there was no way I could do it – there were about 20 people standing around and watching.
We tried it all morning so in the end the director came up and tried to do it and he couldn't either!
In the end – and this was like late in the evening – they got this tube and made a girl pour orange juice down it. I think that was the most embarrassing thing I ever did when I was young.
All the time my mum and dad wanted me to do something more interesting than your usual job. When I left school at 16 they never pushed me into a job at all. They were prepared to let me hang around for six or seven months and look for something I wanted to do.
They knew I wanted to do the band, but you can't live on the dole and try and get a band together because you get like one of those people who play the Hope & Anchor every week.
You can't just scrape around trying to make it. You've got to have other interests and other ways of making money to get your group off the ground.
I started an apprenticeship in the print for a few months because my dad's a printer. I also used to give out copies of Miss London at the tube stations – so I earned quite a bit of money on the dole.
Obviously my mum and dad were really worried about the group at first because all they knew was what they read about the Stones and sex and drugs. That time was more worrying for them than it was for us because we were really headstrong and going "Yeah, we're going to do it!"
For somebody on the outside it must be worrying.
In 1977 I got a punk group together with a mate at school called The Defects.
October 10, 1980, Martin, watched over by Tony, signs the band's contract to Chrysalis Records.
I got into punk as soon as the Roxy Club opened. I remember Christos (a member of Blue Rondo A La Turk and a close friend) was really into soul and going down the Lyceum but I started going down the Roxy with him.
So me and this mate got a group together in the basement of a dry cleaners – it only lasted about three months – and that was how I learnt to play guitar.
I still live at home, which I like. Living at home brings you back down to earth. Your mum makes your bed and cooks your tea at six o'clock which is brilliant.
If I'd got a flat when the band first started it would have been easy to fall into that way of thinking when you're living the pop lifestyle the whole time.
The most dangerous time for getting big-headed is with your first few singles, when you realise the band's here to stay. The worst thing in my life is flying – I hate it.
But you can't just say you're not going to go on an aeroplane. Like last month we did about 12 flights and that was without a tour.
The funny thing is that the only other time your adrenalin goes so quickly as when you're frightened is when you're going on stage.
Just before I go on I'm buzzing so much that I can't even hear somebody talking to me.
Fear and being on stage are the only two things that give me such a buzz, so in a perverted sort of way I quite enjoy going up in a plane and being frightened."
Next week: John Keeble
NEW SINGLE
WHEREVER I LAY MY HAT
SPECIAL SHAPED PICTURE DISC
ALSO AVAILABLE ON 7" & SPECIAL 3 TRACK 12"
CBS
THE HEAT IS ON
Tropical summer balmy day
Sit around you haven't much to say
'Cos the heat is on
The heat is on
You know you're in the hands of fate
Now you've gone and found me you appreciate
That the heat is on
The heat is on
You're on the road to Mandalay
Never gonna make it try another day
'Cos the heat is on
The heat is on
Temperature is rising to fever pitch
Sun is getting closer, we all get rich
'Cos the heat is on
The heat is on
Got hot pants and feet
Calculated madness sure feels sweet
The heat is on
Heat is on
Sun sun sun dazzle
Sun sun sun dazzle
Go wild gonna rattle
When the heat is on
Tropical summer balmy day
Don't say much ain't got much to say
'Cos the heat is on
The heat is on
Words and music Florrie Palmer and Tony Ashton
Reproduced by kind permission of Chappell Music (Pub) Ltd
On Epic Records
Juicy Fruit
You know very well what you are
You're my sugar thing, my chocolate star
I've had a few, but not that many
But you're the only one that gives me good and plenty
Juicy fruit, juicy, juicy, juicy fruit, juicy
Candy rain, comin' down,
Taste you in my mind and spread you all around
Here I am, this love's for you
Hey baby, sweet as honey dew
Close my eyes, oh with fantasy
And you're right here with me
Cherry blossom kiss what you're givin'
Makes my body rock, keeps me sizzlin'
Do what you want, I don't care
I'll be your lollypop, you can lick me everywhere
Juicy fruit, you're so juicy
Here I am, this love's for you
Hey baby, you're so sweet as honey dew
Close my eyes, oh with fantasy
And you're here, you're right here with me
Juicy fruit, juicy fruit, on baby,
I like it, in the morning
Juicy, juicy fruit,
Candy rain, comin' down, turns me all around
MTUME
Lyrics James Mtume
Reproduced by kind permission Brampton Music
On Epic Records
Debbi Voller finds former Theatre Of Hate singer Kirk Brandon polishing up his Spear and making points about the meaning of life.
This feature is dedicated to all the rebels who aren't quite sure of their cause, all the incurable romantics who have no luck with love, and all of us who never stop to think!
Uncle Kirk has some friendly advice, because he's been there and found a way through.
Always the one for positive action, Kirk Brandon shut up shop with Theatre Of Hate because he grew tired of trying to fire a cannon that seemed to be loaded only with balloons.
His new group, Spear Of Destiny, comes fully equipped with cannonballs, and as Kirk says, "It's going to be a real 1812!"
The spear of destiny actually exists; plunged into Christ's side by a Roman soldier, it's been owned by many people since the day it came to light. At least, that's the way the story goes.
"I don't actually hold the thing," says Kirk, chewing the collar of his leather jacket and choosing his words cautiously.
"I use it as a symbol connected with the conscious mind of youth . . . the movement of . . . grabbing the future in their hands."
His manager and mentor, Terry Razor, sits in on the interview and stands for no nonsense. If Kirk's slow to answer he's quick to speak up and give his own opinions.
Kirk recalls when the rebelling and the music first began. "I picked up a guitar at twelve and started beating it, and then after a while I started writing songs on it.
"I spent a long time at school just being a real rebel and a bit mad: I got a lot of people angry and upset, but looking back it was the only way to be.
"It was like I was nutting the wall all the time: nut the wall and all you do is mash your head up. After a couple of decades I worked out a way through it.
"The thing is to take your head off the wall, see there's a wall there and go out the door. There's a whole world out there, of things to do, to see, to feel and experience from."
Kirk doesn't offer you ten easy steps to happiness, just one giant leap forward — "Start using your loaf!"
He's convinced that most of us haven't done any real thinking since we were five, because school gives you such a mental beating that you have to spend the next 60 years of your life sorting yourself out!
"Look at all them geezers out there. They're trapped! The wife, the car, the mortgage, the works, society, voting, obeying, cigarettes, drugs . . . for most people that's the real world.
"Twenty years later, after you've had the 2.5 kids, the marriage has blown out, the house has burnt down and your country's been blown to pieces, you'll turn round and go, 'Oh! If only I'd just . . . ."
Kirk squirms uncomfortably when you question him about marriage. "Marriage must be like being a museum attendant," he mumbles. "I've come close to it several times but I had the willpower to snap out of it."
Terry urges Kirk to talk about a song on the album 'Grapes Of Wrath' called 'The Murder Of Love' and gets an edgy reaction.
"That song! That song's too bleedin' personal, mate! I don't have to tell all these personal things to people."
"Go on, GO ON!" pushes Terry. "Start answering the questions!"
"Basically I'm a cruel and heartless man," Kirk begins reluctantly, "but I'm also an incurable romantic. Incurable! Everytime I get hold of love I end up destroying it. Just when they think they've got me — they're dead."
And yet for all of it, Kirk admits that one of his dearest wishes is to find "her" without bungling it next time.
Meanwhile the Spear Of Destiny will keep marching forward, and so will Kirk's music. Still working with the "excellent" Stan Stammers from TOH, Kirk's recruited Cris Bell on drums and Lascelle James on sax for the new driving force.
"I want to give people an up, move it for someone in a small way. If we think together, and act together, then tomorrow is assured."
21ST CENTURY LEISURE
peter gabriel - PLAYS LIVE
double album or chrome tape £5.99
See him on Sat July 9th at Selhurst Park, London SE25
Sheffield Store Opens June 24 at 35 The High Street
OUT OF LONDON SHOPS BIRMINGHAM 74 Bull Street · BRIGHTON 5 Queens Road · BRISTOL 12/14 Merchant Street · CARDIFF 6/7 Duke Street · CROYDON 46 North End · DURHAM Unit 9, Milburn Gate Centre, North Road · EDINBURGH 131 Princes Street · GLASGOW 28/32 Union Street · LEEDS 145 The Briggate · LIVERPOOL Units 4 & 7 Central Shopping Centre, Ranelagh Street · MANCHESTER Unit BB, Arndale Centre, Market Street · MILTON KEYNES 59 Silbury Arcade, Secklow Gate West · NEWCASTLE 10/14 High Friars, Eldon Square · PETERBOROUGH 34 Queensgate Centre · PLYMOUTH 105 Armada Way · PORTSMOUTH Units 69-73 The Tricorn, Charlotte Street · SHEFFIELD 35 High Street · SOUTHAMPTON 16 Bargate Street · LONDON SHOPS 9 Marble Arch · MEGASTORE 14-16 Oxford Street (50 yards from Tottenham Court Road Tube station) · ALL AT VINES RECORDS AND TAPES ACCRINGTON 25A Broadway · ALTRINCHAM 91A George Street BLAKBURN 19 Market Way · BURNLEY Balcony, Market Square · CHESTER 52 Northgate Street · ECCLES 74 Church Street · NELSON Marsden Mall Arndale Centre · PRESTON 12 Fishergate Walk · RAWTENSTALL 27 Bank Street · ST. HELENS 8 Palatine Arcade · STOCKPORT 20 Deanery Way · WARRINGTON 2 Dolmans Lane, Market Square
Michael Jackson
Photo: Lynn Goldsmith
WANNA BE STARTING SOMETHING
First Chorus:
I said you wanna be startin' somethin'
You got to be startin' somethin'
I said you wanna be startin' somethin'
You got to be startin' somethin'
It's too high to get over (yeah yeah)
Too low to get under (yeah yeah)
And the pain is thunder (yeah yeah)
It's too high to get over (yeah yeah)
Too low to get under (yeah yeah)
You're stuck in the middle (yeah yeah)
And the pain is thunder (yeah yeah)
You're a vegetable, you're a vegetable
Still they hate you, you're a vegetable
You're just a buffet, you're a vegetable
They eat off of you, you're a vegetable
Second chorus:
You got to be startin' somethin'
I said you wanna be startin' somethin'
It's too high to get over (yeah yeah)
Too low to get under (yeah yeah)
You're stuck in the middle (yeah yeah)
And the pain is thunder (yeah yeah)
It's too high to get over (yeah yeah)
Too low to get under (yeah yeah)
You're stuck in the middle (yeah yeah)
And the pain is thunder (yeah yeah)
You're a vegetable, you're a vegetable
Still they hate you, you're a vegetable
You're just a buffet, you're a vegetable
They eat off of you, you're a vegetable
Third verse:
Billie Jean is always talkin' when nobody else is talkin'
Tellin' lies and rubbin' shoulders
So they called her mouth a motor
Someone's always tryin' to start my baby cryin'
Talkin', squealin', spyn', sayin' you just wanna be startin' somethin'
Repeat second chorus
If you can't feed your baby (yeah yeah)
Then don't have a baby (yeah yeah)
And don't think maybe (yeah yeah)
If you can't feed your baby (yeah yeah)
You'll be always tryin' to save that child from cryin'
Hustlin', stealin', lyin' how baby's slowly dyin'
Repeat first chorus
Lift your head up high and scream out to the world
I know I am someone
And let me trust until no one can hurt you now
Because you know what's true yes, I believe in me
So you believe in you
Help me sing it, ma ma se, mama, sa, ma ma coo sa
Ma ma se, ma ma sa, ma ma coo sa.
Words and music Michael Jackson
Reproduced by kind permission Carlin Music Corp.
On Epic Records
ACROSS
1. Mick Jagger & Co. (7,6)
7. They told you about the poison mind (7,4)
9. Mari Beehive (6)
10. Gillan (3)
11. Instructions from Joan Armatrading about Pilot (4,3)
13. That Eurythmics lady (5)
15. James Ingram's chum (5)
16. Miss the girl, -- the girl (The Creatures) (4)
18. January 1 is their favourite day (1,1)
21. Yoko (3)
23. Music world's name for Detroit (6)
24. Blancmange's blind spot? (6)
26. She made that Windsong album (5,8)
DOWN
4. Ex-drummer with The Jam (4)
20. Public school with rifles? (4)
22. Don't wanna see ... blood/
Don't be a macho man (Beat It) (2)
25. Mr. David's initials (1,1)
Just the girl for Bad Manners (8)
Speculation about the blues from 12 down – part of it anyway (1,5,5,3)
The colour of that door Shaky wanted to look behind (5)
Marc Bolan's old hit: – Sam (8)
Her baby worked from 9 to 5 (6,6)
Robertson of Motorhead (5)
Famous Watford Football Club supporter (5)
The time of year when Donna's at her best (6)
Early hit for the Belle Stars (3,3)
Friend for 25 down?
French! (3)
Bit of a change this week. All these lyrics come from songs with the word BOY in the title. Can you identify them?
1. Dear Mummy, Dear Daddy, / You have plans for me, oh yeah
2. They say you're much too vain/ To want this love of mine/ But what else can I do?
3. Shoop Shoop Ah!/ Shoop Shoop Ah!/ Shoop Shoop Ah!
4. What they want for their lives/ What they want for their lives/ I cross the sea in something/ It's very light
5. This distraction turns me sideways/ Out of tune stuck halfway there
Puzzle Answers on page 42
These days Michael Jackson lives in California and keeps pets. In fact, he has a menagerie.
There’s two fawns, one a boy and one a girl, Prince and Princess. Then there’s Mr Tibbs, a sheep who looks like a ram, and a llama from a circus called Lulu.
“I think they’re sweet,” Michael has said. “I like to pry into their world and watch the way they move about. I just stare at them. They’re gorgeous.”
In addition, Mr Jackson keeps a boa constrictor called Muscles around the house.
Then there’s the avairy including such exotic birds as meacaws, Moroccan cockatoos and a huge rhea...
Michael is a vegetarian with a special love for carrots; he doesn’t eat meat. When the baby deer are grown he intends to let them wander his two acres of ‘yard’.
His other loves include cartoons (Bugs Bunny is a favourite), video games, E.T., Disneyland and manikins of all kinds.
“I guess I want to bring them to life,” he has said of the collection of dummies. “I like to imagine talking to them... I think I’m accompanying myself with friends I never had.”
It’s not only dogs that are a man’s best friend...
Just out.
Japan. Double Album.
Oil on Canvas £5.49
Just in.
WHSMITH
Prices correct at time of going to press.
Subject to availability. Offer ends 1st July.
WHERE YOU SEE THIS SIGN
We at No.1 reckon that pop stars have had it far too easy up to now. I mean, what other top job can you get into these days without even having to pass any exams?
Well, we decided that this sorry state of affairs had to come to an end so we have initiated our own 'end-of-term examinations'.
And the prize pupils? A pretty diverse bunch.
**PEOPLE**
1. What is Pete Best's connection with The Beatles?
2. Who was the lead singer with Ultravox before Midge Ure?
3. Which star of the '70s was once a model, sang with the group John's Children and was killed in a car crash?
4. Who co-wrote many of Elton John's hits, such as 'Daniel', 'Rocket Man' and 'Yellow Brick Road'?
**GROUPS**
5. Which group had a hit with 'Ever So Lonely' last year?
6. Which group, formed in 1962, was initially called The Spectres before changing their name twice in 1967 – first to Traffic and then to their present name?
7. Why was Jim Morrison's group, The Doors, so called?
8. Where did 400,000 people see Jimi Hendrix, Jefferson Airplane, Janis Joplin, The Who and others in August 1969?
**RECORDS**
9. Who had a hit in 1957 with 'Does Your Chewing Gum Lose Its Flavour (On The Bed Post Over Night)'?
10. What was the name of Bryan Ferry's first solo album?
11. What was on the cover of the Pink Floyd album, 'Animals'?
12. Kraftwerk's hit single, 'The Model' was taken from 'The Man Machine' album. In which year was the album released – 1978/1980/1982?
**NAMES**
Each of the following people is better known under an assumed name. Who are they?
13. Richard Starkey
14. Vincent Furnier
15. Frederick Bulsara
16. John Deutschendorf
17. Which singer played the part of Miranda in Derek Jarman's film of Shakespeare's play, *The Tempest*?
18. What was the name of the TV series which launched '70s pop singer, David Cassidy?
19. Which cartoon group had a hit with 'Sugar Sugar'?
20. In which feature film was Meatloaf killed by a transvestite?
*What was the film?... Use your loaf!* (See question 20)
...but how many answers?
AND THE RIGHT ONES
1 Pete Best was The Beatles' drummer before Ringo.
2 John Foxx.
3 Marc Bolan of T. Rex.
4 Bernie Taupin.
5 Monsoon.
6 Status Quo.
7 The Doors took their name from the book 'The Doors of Perception' by Aldous Huxley. The book's title was taken from a poem by William Blake.
8 Woodstock Music and Art Fair, Bethel, New York.
9 Lonnie Donegan.
10 'These Foolish Things'.
11 A pig floating over Battersea Power Station.
12 1978.
13 Ringo Starr.
14 Alice Cooper.
15 Freddie Mercury.
16 John Denver.
17 Toyah.
18 The Partridge Family.
19 The Archies.
20 The Rocky Horror Picture Show.
The top score in our test was achieved by Martyn Ware who got 15 right – though, surprisingly, he didn’t seem to have much idea about when Kraftwerk’s ‘Man Machine’ was released.
Second came Mick of The Style Council with 13 (or 14 if we allow half-scores for his near misses on questions five and eleven) and Mari Wilson, also with 13. I reckon she must have seen a different version of ‘The Railway Children’ to the one I saw on telly!
Bruce Dickinson came next with 12, but last of all Stella of The Belle Stars with only 8 correct answers – what does that girl do with her spare time? See me after class!
How long you gonna carry on
This one on one charade
Let's don't and say we did
That's the game you like to play
We've been through this so many times
The end results always the same
We always end up complaining
When I've got myself to blame
You're just a dead giveaway
You'd think I'd learn to handle this by now
You're just a dead giveaway
Girl you can't deny it
(Even though you try)
You keep trying to hide it
(Baby we know why)
I get a call about 3 a.m.
Saying you don't want to be alone
Now I'm tired and half asleep
But emotions are just a little too strong
I figure that I'd call your bluff
Cause you want me to come on by
Girl! you know it's your love I've always wanted
And this time I won't be denied
Cause you're a dead giveaway
Girl you want me like I want you
A dead giveaway
You're scared but you won't admit it
(Even though you try)
But tonight you're committed
(Baby we know why)
Cause you're just a dead giveaway
You're not that naïve girl
(I'm finding out)
Is playing receiver
(What you're all about)
Well now that you're serious
It's time to take off that disguise
You want more than mental stimulation
I can see it in your eyes
For years I've been your analyst
I've been as patient as I've been kind
For years you've played off believing
That I loved you for only your mind
Cause you're a dead giveaway
I can tell by the look in your eyes
That you're a dead giveaway
I'm finding out
What you're all about
You're just a dead giveaway
(To fade)
Words and music Joey Gallo/Marcus Dare/Leon F Sylvers III
Reproduced by kind permission Chappell Music Ltd
On WEA Records
No matter how fast the fashion trends change, Clockhouse keeps you right in style.
Bigger than ever!
More exciting!
CLOCK
HOUSE
NOW!
Come on in!
C&A
Where value is always in fashion
My name's Helen Fitzgerald. I'm 12 and I like Mods, Culture Club, Duran Duran and Human League. I don't like Rockers, Punks, Skins or Rudies or Heavy Metal.
Contact: Helen Fitzgerald, 29 Partons Road, Kings Heath, Birmingham B14 6YG.
Attention all Headbangers! I'm a 17-year-old boy into Saxon, Status Quo, Iron Maiden and Motorhead. Contact me, Steve, at 26 Ironwood Approach, Seacroft, Leeds 14 6DR.
Human League and Simple Minds fans, looking for a penpal? Well look no further. I'm a 15-year-old girl into the above and I'd like to hear from YOU. Scribble to Kay at 19 Edwin St, Boston, Lincolnshire.
Could Frankie (a Soft Cell and Marc And The Mambas fan) from Wandsworth, please contact Nancy (met at a Mambas concert on 28th April) as soon as possible. Write to: Nancy Jefferey, 21 St Katherines Way, St Katherines Dock, London E1.
My name's Susan Coldwell and I'm 14. My fave groups are Heaven 17, Fun Boy 3 and Culture Club. I hate selfish people and want to get in touch with all you budding No. 1 fans. Contact: 11 Stubbing Way, Windhill, Shipley, West Yorkshire BD18 2EZ.
CB enthusiasts take note. I'm a 15-year-old girl looking for a penpal. I also enjoy reading and sport, so if you share my interest, contact Cindy at 49 Breakspears Rd, Hurslip, Middlesex HA4 7QZ.
I'm into Orange Juice, Aztec Camera, The Bluebells, Farmer's Boys and the Bunnymen. If you are too, why not drop me a line. The name's Irene and the address is 5 Fisher Court, Wellpark, Glasgow G31 2HP.
Two trendy lads into all futurist music, both 16, looking for two good looking girls of the same age from the Midlands. Write with photos if poss to Kev and Paul at: 218 Fosse Road, North Leicester LE3 5ET.
Birmingham girl (18) into Stranglers, New Order, Mambas, Killing Joke and many others. Seeks people of similar taste for friendship/correspondence anywhere. Write to: Sharon Hinsull, 118 Brays Rd, Sheldon, Birmingham B26 1NS.
My name's Jane. I'm into Big Country, Heaven 17 and Thompson Twins. I'd like pen pals aged 14-19, male or female, black or white from anywhere in the world. I promise to answer every letter, so get those pens out and write to: Jane, 162 Oakley Rd, Millbrook, Southampton, Hants.
Calling all male humanoids - we're two 16-year-old female Gary Numan freaks who are in desperate need of someone to write to a boy between 16-18 into casual wear, quiet, tall and good looking. Send photo if poss to Sharon, 58 Kimberley Ave, East Ham, London E6 3BG.
I'm 15 and like Madness, Bad Manners, The Beat, Fun Boy 3, Nine Below Zero and Thompson Twins. Write to: Stewart Douglas, 11 George Street, Sherburn Village, Durham DH6 1JP.
Any Man. United fans out there? I'm a 13-year-old girl into Japan and Tears for Fears. My pet hates include liver and David Van Day. Send notes to me, Michelle, at 16 Day St, Worsop, Mansfield, Notts. NG20 0NS.
Culture Club fanatics! You are not alone! I'm 14 and desperate for a penpal, so if you think George is the best thing since sliced bread, write to me, Barbara, at 21 Newdigate St, Normanton, Derby DE3 8UY.
Hi there! I'm a 12-year-old Duran Duran and Kajagogoogoo fan and I'm looking for a penpal who shares my interests of running and swimming. Send letters to me, Julie, at 113 Tintern Ave, Whitefield, Manchester.
Right sports enthusiasts, get writing! I'm 16, and mad about badminton, tennis, football and swimming. If you're similarly energetic, drop me a line. The name's Nicola and the address is 11 Skelton Rd, Westcliff Estate, Scunthorpe, South Humberside DN17 1HB.
Birmingham girl (18) into Stranglers, New Order, Mambas, Killing Joke and many others. Seeks people of similar taste for friendship/correspondence anywhere. Write to: Sharon Hinsull, 118 Brays Rd, Sheldon, Birmingham B26 1NS.
My name's Jane. I'm into Big Country, Heaven 17 and Thompson Twins. I'd like pen pals aged 14-19, male or female, black or white from anywhere in the world. I promise to answer every letter, so get those pens out and write to: Jane, 162 Oakley Rd, Millbrook, Southampton, Hants.
Calling all male humanoids - we're two 16-year-old female Gary Numan freaks who are in desperate need of someone to write to. Contact: Salil and Helen, 123 Buxton Rd, Disley, Stockport, Cheshire.
Tall, fun-loving 14-year-old wants a good-looking 14-16 year old girl. Preferably into Alter Ego, Eagles, Madness, David Essex, but not heavy metal! Pics if possible. Scribble away to Steven Mather, 12 Acresfield Rd, Little Hulton, Worsely, Greater Manchester M28 6PH.
I'd love to hear from anyone local who's absolutely fanatical on Toyah, to meet and go to concerts with. I'm 16 and also like David Bowie, Siouxsie, and Bow Wow Wow. Get pen to paper and write to me, Paula Lilley, at 4 Chater Close, Manton, Nr. Oakham, Leicestershire LE15 8SW.
My name's Sarita Day. I'm 14 and I like listening to Bauhaus, Joy Division, Japan, Cabaret Voltaire, Siouxsie. I haven't really got any hobbies, just boy hunting!
I'd like to hear from a 15+ male with spiky hair; he must like the same kind of music and be fairly good looking. Drop me a line at: 18 Sandy Close, Wellingborough, Northants.
My name's Mathieu Vaughan and I'm 15. My favourite groups are Duran Duran, Kajagogoogoo and Culture Club, and I like most sports. I'd like to write to a girl the same age as me with the same interests. Write to: 64 The Avenue, Ystrad Mynach, Hengoed, Mid-Glam CF8 8AF, Wales.
INSTANT REACTION
“It was like watching Bladerunner, only better.”
— Mike Harrison, 28, London
“He’s lovely, I could eat him.”
— Carl Monroe, 21, Luton
“I wish the audience had been a bit more lively but otherwise I never wanted it to end. The band were so brilliant and he was godlike.”
— Robin Lewis, 19, London
Act I Round 1
Was it just fate that conspired to link the death of Jack Dempsey – boxing’s Great White Hope – with the return to the British stage of David Bowie – the Thin White Duke?
Mr B. entered centre stage to the opening chords of ‘Jean Genie’ – sashayed forward into a pool of cool light and proceeded to deliver two hours of the most magnificent entertainment imaginable.
This was modern music – it defined the excitement and the artistry of the idiom for ever.
The genie flickered and melted into ‘Rock ‘n’ Roll Star’ – the spell was cast.
The stage apron is arranged like a film set. Using a handful of simple effects, Bowie unfolds a heady mix of surreal theatrics, turning songs into living film.
The first set continued with ‘Cat People’ with Bowie covered in blazing purple light like a human torch.
The band hit an all-out hard rock groove and lurched through ‘China Girl’ (ever noticed that ‘Under My Thumb’ riff?), ‘Scary Monsters’, ‘Rebel, Rebel’ and ‘White Light, White Heat’ – a power-packed version of the Velvet Underground number Bowie laid claim to in 1972.
Time stood still.
Act V Round 15
Guitarists Carlos Alomar and Earl Slick bring the second half screeching to life with ‘Station To Station’, Bowie’s anthem to European decadence.
For ‘Cracked Actor’ the man gazes Hamlet-like into the eyes of a skull – to be or not to be. Sex and death and rock and roll.
‘Ashes To Ashes’ put Bowie on a moving platform, isolated and vulnerable. Mortal after all.
The sex/death theme is brought to a chilling climax with ‘Space Oddity’, another classic performed as if for the first time.
The end of this quartet of songs signals Bowie’s first words to the audience. He kicks forward a giant globe into the space of the auditorium, a superb image. The audience push it into orbit like a planetary football.
I looked at my watch, it said 9.25. The tracks switched to Bewlay Bros soul, ‘Young Americans’, the outrageous ‘Ziggy Stardust’ climax of ‘Hang Onto Yourself’ and then ‘Fame’ where DB’s vocal genius took flight like Otis Redding meets James Brown.
This ecstasy is brought down to earth with the simple footstomping of ‘TVC 15’ and Bowie’s exit.
David Bowie has been limbering up in Europe to take back his heavyweight crown – and at Wembley Arena last week, he scored a triumphant knock-out. Max Bell got the ringside view.
There is a constant and subtle trading of street corner fun and Hollywood glamour between Bowie and his vocalists The Simms Brothers.
Every movement of the ten-piece band adds to the illusion of perfect spontaneity but everything has been rehearsed to perfection.
At the centre of it all is Bowie, the director and mainman. His selection from Davey Jones’ locker encompasses his early roots – The Yardbirds’ ‘For Your Love’ and The Merseys’ ‘Sorrow’ – alongside his own inventions.
In ‘Heroes’ and ‘Golden Years’ Bowie became actor and spectator, huddled on a film producer’s stool in his salmon pink suit, braces and loosened tie. Down but not out.
He swept back in tougher mood for ‘Fashion’ and ‘Let’s Dance’, shadow boxing the air while the band crackled and kicked back behind him.
He returned to ‘Life On Mars’ and managed to make that song utterly fresh. No nostalgia for its own sake in this best-selling show.
Hey! Elastica
Glasgow Afrikas
Hey! Elastica appear with all the subtlety of an electric shock with the furious funk ‘Chant No. 1’ (their own song—when, they claim, they met Paul Bley).
This is the Glasgow group’s first live gig for eight months, and, superficially at least, they are unchanged.
Lead vocalist Barry still looks like a refugee from the Bronx; Giles and Samantha are still beautiful and vivacious and only the presence of the new bassist Mike McCann reminds me of the times gone by.
I’m glad they’re back.
Hey! Elastica are all about fun; about boys and girls and falling in love – an approach that could be called lightweight were it not for the way they have changed.
Where before they were frantic, they are now decisive. The jagged edges of their performance have been smoothed over to make way for a funk flurry that always the hips and makes toes tango.
Their new songs are surprisingly subtle. ‘Perfect Couple’ and ‘Snapshot’ have a relaxed, almost jazzy feel about them and ‘Party Games’ (tipped to be the next single), although still viciously fast, best show off their new found maturity.
Hey! Elastica have grown up.
Andrea Miller
Echo And The Bunnymen
Dublin SFX Hall
Ian McCulloch’s spikey hair bobbed back and forth in ecstasy. Echo And The Bunnymen’s ‘My White Devil’ pounded from the speakers and after a year of cancelled tours it had to be the very, very best.
Sensory bombardment was Echo’s main ingredient, and the Bunnies sent out war drums, snake bombs, liquid light discs and camo to killer effect.
‘Porcupine’ is a great rock song and the Bunnymen cut it with all their might.
Next came ‘The Cutter’, using Mac’s jagged guitar to highlight its intensity. Playing for dear life, the Bunnies were priceless. ‘All That Jazz’ hit the nerves on the stage just like a battlefield.
Reeling and screaming, both the band and the audience rose to a frenzy as ‘Over The Wall’ echoed “hold me tight – to the logical limit!”
Will Sargeant’s feedback jumps from speaker to speaker, the music reverberating around the hall. McCulloch starts to sing “C’mon baby, Light My Fire”, the crowd go wild and it’s The Doors all over again.
This is 1963 and the feeling is heaven.
Mark Prendergast
Check the pulse of the new releases with our unique temperature gauge. The blacker the strip, the hotter the wax.
### JAPAN
**Oil On Canvas (Virgin)**
When Japan split at the end of last year, there were two greatly contrasting views on them.
To some, they were artless imitators, creating a cult for themselves out of second rate Ferry impersonations and empty poetry.
To others, they were a different story altogether, bridging the gap between past electropop and something deeper.
‘Oil On Canvas’ is the last release from Japan as a group. A live double album, it features the better known tracks from their last two LPs, ‘Gentlemen Take Polaroids’ and ‘Tin Drum’. Also present are three instrumentals recorded especially for this LP, and one earlier single ‘Quiet Life’.
To these ears, Japan have always alternated between brilliance and banality. David Sylvian once said that the most important thing in the music is the feeling. It’s all too obvious that this feeling is easily destroyed by the conventional rock group format.
When all the instruments are playing at once, there’s no space for each to develop, and so the sound is restricted to that of any unexceptional band. It’s the starker songs that capture their true magic potential.
‘Ghosts’ is a fragile, haunting piece that showcases Sylvian’s expressive voice, and ‘Nightporter’, a slow, dreamy number, enables the beauty of classical keyboards to be taken into the context of a pop song.
It sounds to me like the members of Japan could achieve more as soloists than they did as a group. Still, anyone seeking a greatest hits compilation can be sure that this captures the best of their repertoire.
*Leyla Sanal*
### EDDIE AND SUNSHINE
**Perfect Strangers (Survival Records)**
You really have to see Eddie And Sunshine.
Live they’re a delightful comic cabaret team who use an elegant irony to send up all sorts of old English assumptions.
Unfortunately the same cannot be said for their records so far. They lose all the subtlety which makes their performance so witty, so that they still sound sweet but awfully ordinary.
Save your money until the next time they’re in your area and see the show instead.
*Lynn Hanna*
### C CAT TRANCE
**C Cat Trance (Red Flame)**
Recorded in such exotic locations as Nottingham and
### TALKING HEADS
**Speaking In Tongues (Sire)**
The whole is generally reckoned to be more than the sum of the parts. With that motto and the sublime ‘Remain In Light’ LP in mind, I was ready to hang out the flags for the re-union of David Byrne, composer of avant-garde ballet scores, Tom Tom Clubbers Chris ‘H’ Tina and indifferent guitarist Harrison. But methinks the Kings Led Hat (anag) has slipped somewhat awry.
Producer Brian Eno has gone, taking with him the rather fat, bland sound that balanced out Byrne’s harshness so well. Some really
---
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SUNNY SIDE UP
KING SUNNY ADÉ AND HIS AFRICAN BEATS
Synchro System (Island)
This is the ultimate dance music. Once you’re hooked and it’s under your skin, you realise just how bland pop music has become.
You don’t have to be African to get back to grass, musical or any other roots with King Sunny Ade’s modern offering. It’s the rhythm of life and your body won’t be able to resist.
That beat’ll iron out any tensions and lift any low spirits.
Do yourself a favour and buy Sunny’s single, ‘Synchro System’.
See if I’m wrong!
Then buy the album and keep it as your private medicine man.
Debbi Voller
ROD STEWART
Body Wishes (Warner Bros)
Rod Stewart has turned out some great standards in his time.
But sadly this album will not continue the tradition. The main reason for this is that the material is so bland – even after three spins you still remember what one track sounds like.
“Special thanks to Tom Dowd who came in and stopped the project from going down the toilet,” say the sleeve notes.
Quite frankly I don’t think even the country’s finest sanitation engineer could save this.
David Ling
PETER GABRIEL
Peter Gabriel Plays Live (Charisma)
Peter Gabriel has made four albums, and they’re all plainly called... ‘Peter Gabriel’.
This one’s easier to order because it’s called Peter Gabriel Plays Live’, and it proves how well he can (even though there’s a confession on the sleeve notes that admits to a touch of ‘cheating’).
On stage Gabriel is always captivating; you wouldn’t have to know his music or be a big fan to enjoy him. He’s a performer and adds a touch of the theatre – it’s there in his voice, which you’ll hear, and in his movements which you’ll miss, unfortunately.
Even if you’ve already got all his albums, I’d still add this one to the collection. It’s refreshing to hear things scattered around in a different order, and some of the old favourites have a new feel, inspired with the jungle beats of the fourth album.
Debbi Voller
URIAH HEEP
Head First (Bronze)
Incredible. The moment I pick up this LP I’m magically whisked back to a time long ago when men were men and Boy George just the product of a tortured imagination.
Uriah Heep are the oldest tribe around, and they’ve just released their latest collection of chants.
Play this loud and it’s the next best thing to bashing your brains out with a club.
The songs are all about girls – missing your girl and driving around looking for girls. It’s all tried and tested guitar riffs and the same old throaty vocals.
Strictly for the dinosaurs.
Paul Bursche
MICHAEL JACKSON
Wanna Be Startin' Somethin' (Epic)
Funny how 'Thriller' was dismissed on its release and has grown in stature with every single taken from it. This, the fourth out-take, is workmanlike Michael Jackson, hot and heavy but a little ordinary alongside the last two singles.
Still, MJ is one of the few artists who's worth watching even when he's only going through the motions.
A FLOCK OF SEAGULLS
Transfer Affection (Jive)
Like Tears For Fears, AFOS must have had terrible childhoods. Why else do they always sound so wounded?
Despite the 'modern' title and the usual pleasant melody line, their latest slice of misery is woefully lacking in flair. However, there's a lot to be said for self-pity (I often indulge myself) and careers have been built on less.
ROMAN HOLLIDAY
Don't Try To Stop It (Jive)
Like JoBoxers, Roman Holliday are boys in a hurry. They specialise in a zesty punk song that leaves most of this week's releases sounding tired. These lads tilt the dance floor and swab it afterwards and should soon be everyone's favourite deck hands.
MAN PARRISH
Heat Stroke (Polydor)
The follow-up to the clever plip-plop of 'Hip Hop, Be Bop', this is the parish of Manhattan at its most cosy and claustrophobic. Such records are two-a-penny on New York's dance floor and perhaps Mr Parrish should remain a flash in the pan. Many, after all, achieve less.
BUCKS FIZZ
When We Were Young (RCA)
Just think of the thousands of honest folk to whom Bucks Fizz give employment. On their latest effort, for example, they have the entire cast of War And Peace playing drums — and that's only in the background.
Their biggest and brassiest yet, this is 'Now Those Days Are Gone' in another lament for lost youth aimed at wine bars and sentimentals everywhere.
The girls sound like Lene Lovich with a plum in her mouth, the whole caboodle sounds as much like Abba as always and its tacky class is undeniable.
I can't wait to hear it on Radio One down at my local hairdressers.
LEVEL
Teacher (Virgin)
Marginally less worthy than the marvellous 'Minefield', this is light pop funk with a tongue in your ear and an eye on the charts.
Lead singer Sam finds himself in a one on one situation with his 'chemistry' teacher. This lady seems to have none of the sense of duty that caused Sting to beg 'Don't Stand So Close To Me'. But then Sam's got a little long in the tooth to still be in the sixth form.
CHRIS REA
I Can Hear Your Heart Beat (Magnet)
Rea has been round long enough to be getting desperate. Here his vocal recalls Mark Knopfler and he mentions trucks on the highway and European discos in an attempt to please all markets.
He's a creditable MOR rock songwriter who had the misfortune to be born in the North of England instead of California, home of the hits.
Tinting his hair orange won't change this.
Bucks Fizz
When We Were Young
Crying softly onto clean white pillows
Watch the clock as it slowly crawls around, crawls around
Is she sleeping or is she dreaming
Time it passes without that familiar touch, familiar touch
Love has gone tears are here nothing left
Life has changed remember when we were young
When we were young
When we were young
When we were young
She pours a coffee and looks in the mirror
Suddenly she's glad he can't see her face, can't see her face
Youth it passes while age is collected
Disappears from behind blue eyes without trace, without trace
Love has gone tears are here nothing left
Life has changed remember when we were young
When we were young
When we were young
When we were young
When we were young
When we were young
When we were young
Love has gone tears are here nothing left
Life has changed remember when we were young
When we were young (to fade)
Words and music Warren Bacall
Reproduced by kind permission RCA Music Ltd
On RCA Records
IMAGINE THIS!
While you’re waiting for the next Imagination tour, thrill in your own home to the boys’ body talk!
No folks, this ain’t no illusion, your wildest imaginings can come true! No. 1 have just three questions to ask you and then you stand to win a copy of Imagination’s live concert video ‘Music And Lights’, a record of the show that shocked and delighted Britain last year.
Imagination believe the night belongs to lovers and to avoid leaving too many of you lovelorn, we’re offering 8 videos and runner-up prizes of 20 signed copies of the ‘Nightdubbing’ album and 25 copies of the group’s latest single, ‘Looking For Midnight.’
Answer the three questions below, prove your intimacy with Britain’s most intimate group and hope that Imagination pull your entry out of the bag. Yes, that’s right, a member of Imagination will be coming up to the heady heights of the No. 1 office to pull out the lucky winners!
1. Which well-known and long-running BBC TV series recently featured an acting role by Leee John?
2. Which member of Imagination has a mother who recently went to Buckingham Palace to receive the M.B.E.?
3. Imagination’s producers Tony Swain and Steve Jolley have produced hits for two other well known acts. Name one of them.
PRIZES
First prize — 8 copies of the ‘Music And Lights’ video featuring Imagination in concert and directed by the expert Mike Mansfield.
Second Prize — 20 signed copies of Imagination’s latest album, ‘Nightdubbing’, currently high in the nation’s Top Twenty.
Third Prize — 25 copies of Imagination’s latest smash, ‘Looking At Midnight.’
RULES
When you’ve answered the 3 questions, send your answers to
Imagination Competition, No.1,
King’s Reach Tower, Stamford Street,
London SE1 9LS
The competition will close on June 23. The first correct entries picked out of the bag will receive prizes according to the order in which they are picked. The answers will be picked on June 24 by a member of Imagination. The competition is open to readers in Great Britain, Northern Ireland, Channel Islands and the Isle of Man other than employees and their families of IPC Magazines Ltd. and the printers of No. 1. All prizes must be taken as offered, and there can be no alternative awards, cash or otherwise. Decisions of the judges will be final. No correspondence will be entered upon. Winners will be notified and the result will be published later in No. 1.
time ago, he’s confined to a wheel-chair.
“These days I listen to Flamenco music and watch my wife paint. I got a call to come over when ‘Shipbuilding’ was re-released. They said they needed me, so I came.”
As Dave sets up the instruments against the club’s window, hoping to catch the neon lights coming through the blinds, Elvis explains what inspired him to write the song.
“Clive gave me a tape of the backing track just before I went to Australia. The Falklands war was on at the time, and I just felt it was ironic that we were building ships to send young men off to be killed.”
By 9pm everyone is tired, but happy with the results.
“Everyone — barring the crew — gave their services free for this video,” says Clive.
“We all admire Robert very much.” Elvis nods in agreement, and adds, “For every record by Modern Romance there’s a place for ‘Shipbuilding’ – It’s a sad world.”
Anne Lambert
HAYSI FANTAYZEE
SISTER FRICTION
He’s a boy from the hills, he’s a rub-a-dub man
Rub-a-dub, oh rub-a-dub man
He’s a powerful thrill, he’s a rub-a-dub man
Rub-a-dub, oh rub-a-dub man
He’s looking for peace and love and justice
JUSTICE? he must be crazy, man!
Love is hot, no cool running
Gun shot—trouble coming
See you coming, Sister Friction
Feel you coming, Sister Friction
Sister Friction, love addiction, Sister Friction
This man don’t show his tribulation
Rub-a-dub, oh rub-a-dub man
‘Cos he is love’s secret agent
Rub-a-dub, oh rub-a-dub man
Technical and natural they must meet
Don’t make one strong to make the other one weak
They’ve been warned, there’s a record out
They’ve been warned, there’s a record out
They’ve been warned, there’s a record out
They’ve been warned, there’s a record out
See it coming, Sister Friction
Feel it coming, Sister Friction
Sister Friction, love addiction, Sister Friction
Words and music Healy Garner Caplin
Reproduced by kind permission Carlin Music Chrysalis Music
On Regard Records
Photos: Mike Prior
Photos: Steve Rapport
Post your points of view to One To 1, Room 2614, King's Reach Tower, Stamford Street, London SE1 9LS. And we'll send a £5 record token to the writer of our letter of the week.
Wouldn't it be more sensible to have one person reviewing all the LPs? Then we could work out the reviewer's taste in comparison to our own and then, according to whether he/she enthuses about everything or slags off everything in sight, we'd know if the record was really good or not... see?... maybe you don't...
A rhubarb leaf on a compost heap in Colchester.
It's hard enough getting the slobbs up here to take home one LP let alone a drawerful. Your suggestions leaf a lot to be desired. (Enough! - Ed.)
Wake up No. 1! Your charts are your biggest let down. No one recognises the Musical Express compilation, so switch to Gallup and remedy this small flaw in an otherwise brilliant magazine.
Graeme Peacock
PS While on the subject, how are the NME charts compiled?
The NME chart is actually the longest-established record chart in the world. It's compiled from a secret list of shops all over the UK - and has never been accused of being 'hyped'. It is also used by numerous radio stations and newspapers. Wish you hadn't asked now, don't you?
I always annoys me when people are narrow minded enough to dislike groups because they're stamped with a label such as rock, soul, punk or reggae. Why can't people just open their minds to all types of music?
Part of the fault lies with the radio stations which seem to select a dozen records at the beginning of the week and play them one after the other until they evaporate and float out of the window in a cloud of blue steam.
Daniel Hewart, Suffolk.
I'm sick of Duran Duran fans slagging Paul Weller off and vice versa. You can't even compare the two - their style and blend of music is totally different.
Surely that's what pop music's all about? I hate heavy metal but I don't go around telling heavy metal fans I think they're sick. What would that achieve? Only a full-scale war between the fans.
Pop music's supposed to be enjoyed. Stop this pathetic bickering and leave the fighting where it belongs - well out of the pop world!
Mona Benjamin, London
Blessed are the peacemakers, for they shall receive LP tokens. One's coming your way, Mona.
I must write to complain about groups who re-release old flops after having a big hit. These re-issues are easy pickings for money-grabbing record companies and a way to rip off fans. For example 'Love Is A Stranger' was only a hit second time round because 'Sweet Dreams' sold well. Old flops should be left to rest in peace.
Ethyl the Cellmate, West Midlands
I'm being held captive on a desert island with John Taylor of Duran Duran. Don't send help, just champagne.
Sherry, Bristol.
Send for a doctor, maybe...?
Puzzle answers
STARCROSS
Across: 1 Rolling Stones 7 Culture Club 9 Wilson 10 Ian 11 Drop The (Pilot) 13 Annie (Lennox) 15 Patti (Austin) 16 Kiss 18 U2 (New Year's Day) 21 Ono 23 Motown 24 (Blind) Vision 26 Randy Crawford
Down: 1 Rick 2 (My Girl) Lollipop 31 Guess That's Why (They Call It The Blues) 4 Green (Door) 5 Telegram 6 Sheena Easton 8 Brian 12 Elton (John) 14 Summer 17 Iko Iko 19 Ami (-French for Friend) 20 Elon (Rifles) 22 No 25 F.R.
BOY QUIZ ANSWERS
1 Bad Boys (Wham!) 2 What Kinda Boy You're Lookin' For Girl (Hot Chocolate) 3 Shy Boy (Bananarama) 4 Marine Boy (Haircut One Hundred) 5 Cry, Boy, Cry (Blue Zoo).
POISON ARROW
I'd like to stick my poison arrow right in the eye of whoever is buying New Edition's "Candy Girl". Personally, I think these kids sound about as appealing as a septic verruca.
How that diabolical ditty ever got to No. 1 will remain one of life's eternal mysteries to me, so if anyone feels like becoming a record breaker, I suggest you start with this one!
Nick Rhodes' fluorescent orange hair dye, Cumbria.
Pop Quiz! What a programme! Every week I sit in front of the tele, drooling with anticipation, waiting for six famous stars of the music biz to stagger me with their intrepid knowledge. But every week it's the same story.
We're presented with a dull line-up of has-beens who um and arr their way through questions on bands so ancient that even my mum and dad can't remember them. Is this the best that Mike Read and his cohorts can do?
Laura, Leicester
OUT OF THE HAT
Here's this week's random Reader's Chart, and winner of a £5 record token.
1 MISS THE GIRL The Creatures
2 MONEY GO ROUND The Style Council
3 BLIND VISION Blancmange
4 PALE SHELTER Tears For Fears
5 JUST GOT LUCKY JoBoxers Samantha Musty, Wiltshire.
This week's coupon is on page 14.
CLAIM TO FAME
We've sent two photos for a claim to fame spot. We met Limahl at Portsmouth Guildhall on May 9. Limahl was very kind and let us in so we could have our photos taken and get an autograph.
Thank you very much, Limahl. You made our visit a dream come true. Vicky King and Mark Mansfield, Portsmouth, Hants.
Thank you very much Mark and Vicky for a great idea. We're sending you a record token each for coming up with it.
From now on we'll be having a regular Claim To Fame spot. So if you've got any snaps of you with the stars, send 'em in - with your name and address on the back so we know where to return them.
We'll make a point and you can raise the roof about it!
We asked for your views on gigs – they certainly bring you out – here's your response.
I think the best gig ever was The Jam at Wembley on their farewell tour. I paid £13 for two tickets but it was worth it. They were absolutely brilliant. It was much better than seeing them on a video – Paul Weller's Test Tube Baby, Harrow.
I know some live gigs are expensive and it's sometimes difficult to get home late at night, but don't let's allow the video to take over completely from the live entertainment scene.
Why not have more lunchtime live gigs? This would solve the problem of having to get home late at night. – P.L. Kelly, Guildford.
Live gigs in theatres are fun and good value for money, but gigs in large halls aren't – the music's distorted and you often can't see the band. – Jane McConnell, Scotland
The Jam gig at Wembley was fantastic. The only problem was 5,000 people crammed into one tube station. Now I know why Paul Weller didn't want to go "down in the tube station at midnight"! Why must groups pick venues where it's impossible to get home? – Robert Jones, Co. Durham.
Are all headbangers dirty, greasy layabouts with a hearing problem – or are they really the true upholders of wild, loud rock and roll? Make your point – a letter or a line – to Points, No.1, Kings Reach Tower, Stamford Street, London SE1 9LS.
I recently went to a Spandau Ballet gig at the London Festival Hall. The atmosphere was fantastic, the group were brilliant, and the sound was terrific. I can't wait till their next gigs – I feel like buying tickets for every one! – Justine Ellis, Herts.
The quality of live gigs depends on the attitude of the band. I've only been to three – one Soft Cell and two Marc And The Mambas – but they were the most exciting evenings of my life. – Cellmate 1058, Middx.
I'd much rather go to a gig than anywhere else! Where else could you get that amazing live atmosphere? – S. Woodhouse, Birmingham.
I know most groups try to visit as many places as possible, but I don't think there's been one decent gig here in Basingstoke! It seems a bit daft that to get to a gig I have to pay extortionate prices for the train ticket there! – A disgruntled live music fan, Hants.
Live gigs? Brilliant, fantastic, especially Jam and Funboy Three ones! Staying at home and watching video?? You must be flippin' joking! – E.T.'s grandmother, Edinburgh.
This is where we ask you to unleash the beast in your cruel hearts and slag someone off. Send your nasty pieces of work to: Poison Arrow, No.1, Room 2614, King's Reach Tower, Stamford Street, London SE1 9LS.
Nick Heyward (left) and Cliff Richard – all set to um and arr through this week's Pop Quiz
WHO KNOWS THE SECRET OF NEXT WEEK'S No.1!?
Well, we do, for a start, but we're not telling you everything...
BLIND DATE
Our lips are sealed except that they're different sexes and both wear make up... When No.1 introduces two top popstars it could be love at first sight. Or a clash of the titans!
NICK HEYWARD
The little boy lost is growing up fast. An intimate interview about the split from Haircut 100 and Nick's solo success.
AN OFFICER AND A GENTLEMAN
It's smart, it's cheap and it's tres, tres chic. Heaven 17's Glenn Gregory and Giles from Hey! Elastica on parade in our fashion spread.
PETE BURNS
He lives in Liverpool but he looks like nothing on earth. The would-be superstar talks about his style.
THE SPANDAU BALLET
INTERVIEWS John Keeble speaks in the second of our exclusive series. The private lives of Britain's latest supergroup, in their own words. Enough said? Well, don't say we didn't tell you!
NO! NOW IT'S No.1 EVERY WEEK OUT NEXT THURSDAY!
UK TOP 60
ORIGINAL SLIM TIES
1" wide pure black printed with style
| 1 | DURAN DURAN | 31 | FUN BOY THREE | 46 | JOHN LENNON |
|-----|----------------------|-----|-------------------|-----|------------------|
| 2 | CULTURE CLUB | 32 | STRANGERS | 47 | MADNESS LEE |
| 3 | XTC | 33 | GROVER WASHINGTON | 48 | THE BARGAIN |
| 4 | THE STAR COUNCIL | 34 | SPANDAU BALLET | 49 | JO JACKSON |
| 5 | BOY GEORGE | 35 | BAUERMAN | 50 | JERRY LEVITT |
| 6 | TEARS OF FEARS | 36 | MIND'S MINDS | 51 | THE OFFICIALS |
| 7 | DEXS | 37 | SMALL FACES | 52 | POLICE |
| 8 | ORANGE JUICE | 38 | INVISIBLE ZERO | 53 | THE BARGAIN |
| 9 | U2 | 39 | VISAGE | 54 | JAMES DEAN |
| 10 | PINK DIVISION | 40 | ROLLING STONES | 55 | PRIMAL SCREAM |
| 11 | CARNABY STREET | 41 | DOORS | 56 | MOTORHEAD |
| 12 | JAR | 42 | ROXY MUSIC | 57 | JIMI HENDRIX |
| 13 | JAPAN | 43 | MARC BOLAN | 58 | ELVIS PRESLEY |
| 14 | MADNESS | 44 | SECRET AFFAIR | 59 | AC/DC |
| 15 | MODS | 45 | UB 40 | 60 | ROCK & ROLL |
THE PRICE OF STYLE: £2.50 plus 25p p&p
Send cash, po's, cheques payable to:
APOLLO STUDIO (No2)
33 Nortor, Road, Hove, Brighton BN3 3BF
Free catalogue, send stamped addressed envelope Please allow 28 days delivery
TOUR Motif JACKET
FLEECY WAISTCOAT—VEST AND SHORTS FOR SUMMER
Fabulous showerproof Towlining lined, nylon Tour Jacket with two pockets and zip. 5 colours. Large, grey, burgundy, pink, navy, white. Sizes Small, Medium, Large. PRICE ONLY £9.95. Vest & Waistcoat in pretty, subtle, soft, woolly, lovely, it goes with anything, the latest summer style. Colours pink, grey, blue. Size Medium Only. PRICE ONLY £5.95. Fleecy Vest and matching Shorts. The short, fleecy vest is a great design for the summer, a real hit for disco, beach or joggin', goes perfectly with the vest in matching colours, grey, pink, lemon, blue. Sizes Small, Medium, Vest PRICE ONLY £7.95. Shorts PRICE ONLY £4.95. Choose one of five stylish motifs. Duran Duran, Kajagoogoo, Bowie, The Police, Thin Lizzy, Men at Work.
To order: Write your full name and address and which motif you require from one of the following motifs. All items are £2.00 each. Please remember to forget the size. Make cheques and Postal Orders payable to Pop Promotions + 50p per item to cover postage, packing and posting. Allow between 10 to 21 days for delivery. NO TAKES. NO CASH. NO POST TODAY.
Dept. 9. Pop Promotions, FREEPOST. London N1 4BR
If you order 3 items or over don't add the 50p per item
Money refunded if not satisfied.
The Style Council
OFFICIAL LICENSED MERCHANDISE
T-SHIRTS
Black T-Shirt with small Style Council logo £4.50 + 50p p&p
Striped (Hoops) T-Shirt in Blue/white or Yellow/White £4.50 + 50p p&p
BADGES
'Speak Like A Child'
T-Shirt £4.50 + 50p p&p
'Money Go Round'
T-Shirt £4.50 + 50p p&p
Style Council Full Colour Poster — £1.50 + 50p p&p
'Bprefect' type badge
in Real Enamel - Black with Gold logo — £1.25 + 25p p&p
in Metal - Black with Gold logo — 80p + 20p p&p
1" Button Badge 30p + S.A.E. if ordering button badges only.
THESE ITEMS CAN ONLY BE PURCHASED FROM MODERN WORKS
All Style Council merchandise is now under license to Modern Works, any wholesale enquiries to address below.
Remember, when you buy official merchandise you are getting high quality goods approved by the band, NOT a cheap copy with inferior designs, or T-Shirts that fall apart with the first wash!
Send order on plain paper stating items required, money sent and your name and address (please print clearly). Please allow up to 28 days for delivery.
Send cheques or postal orders to:
MODERN WORKS, TUDOR HOUSE, 24 CECIL ROAD,
ENFIELD, MIDDS. EN2 6TG.
FULL COLOUR POSTERS
ONLY £2.50 each (including P.&P.)
ALSO AVAILABLE: Kajagoogoo, Japan, David Sylvian, Huey Lewis, League, Bowie, Olivia N. John, Paul of Seaquill, Men at Work, David Essex, Asa, 'etc.'
For full catalogue send 50p.
SPECIAL OFFER: 3 posters for just £10.00
(including P.&P.) Please allow 28 days for delivery
Overseas orders welcome — add extra 50p for each poster.
CAULDRON PROMOTIONS (Dept. N3)
47 LANDSEER ROAD, LONDON, N19 4JG
**U.S. SINGLES**
1. **FLASHDANCE... WHAT A FEELING** Irene Cara (Polygram)
2. **LET'S DANCE** David Bowie (EMI America)
3. **OVERKILL** Men At Work (Columbia)
4. **TIME** Culture Club (Epic)
5. **SHE BLINDED ME WITH SCIENCE** Thomas Dolby (A&M)
6. **BEAT IT** Michael Jackson (Epic)
7. **MY LOVE** Lionel Richie (Motown)
8. **LITTLE RED CORVETTE** Prince (Warner Bros)
9. **SOUL CURE** Laura Branigan (Atlantic)
10. **STRAIGHT FROM THE HEART** Bryan Adams (A&M)
11. **AFFAIR OF THE HEART** Rick Springfield (RCA)
12. **I'LL COME BACK WHEN THERE TO REMIND ME** Naked Eyes (EMI America)
13. **FAITHFULLY** Journey (Columbia)
14. **DON'T LET IT END** Styx (A&M)
15. **FAMILY MAN** David Essex & John Gates (RCA)
16. **ELECTRIC AVENUE** Eddy Grant (Epic)
17. **PHOTOGRAPH** Def Leppard (Polygram)
18. **NEVER GONNA LET YOU GO** Sergio Mendes (A&M)
19. **SHINE** & **BEAUTY** The Tubes (Capitol)
20. **TOO SHY** Kajagoogoo (EMI America)
21. **I'M STILL STANDING** Elton John (Warner Bros)
22. **WANNA BE STARTIN' SOMETHING** Michael Jackson (Epic)
23. **I WON'T HOLD YOU BACK** Toto (Columbia)
24. **JEOPARDY** Greg Kihn Band (Elektra)
25. **DER KOMMISSAR** After The Fire (Epic)
26. **THE LADY IN RED** Culture Club (Columbia)
27. **WE TWO Little River Band (Capitol)
28. **COME DANCING** The Kinks (Arista)
29. **THE WOMAN IN YOU** The Bee Gees (Polygram)
30. **THE ONE THING** Inxs (Atco)
Compiled by Billboard Magazine
---
**DISCO/DANCE SINGLES**
1. **LOVE TOWN** Booker Newberry III (Polydor)
2. **JUST FINE** Toto (Epic)
3. **CANDY GIRL** New Edition (London)
4. **IT'S OVER** Funk Masters (Masterfunk)
5. **SOMETHINGS SPECIAL** Steve Harvey (London)
6. **BUFFALO SOLDIER** Bob Marley & The Wailers (Island)
7. **CANDY MAN** Mary Jane Girls (Gordy)
8. **LET'S LIVE IT UP (NITE PEOPLE)** David Joseph (Island)
9. **WALK ON THE LINES** Brass Construction (Capitol)
10. **BAD BOYS** Wham! (Inner Vision)
11. **LADY LOVE ME (ONE MORE TIME)** George Benson (Warner Bros)
12. **THE LADY IN RED** Toto (First Light (London)
13. **DANCING NIGHT** Galaxy (Ensign)
14. **MORNIN'** Al Jarreau (Warner Bros)
15. **MUSIC D TRAIN** (Prelude)
16. **LOOKING FOR TOMORROW** Imagination (R&B)
17. **THERE'S NO NEED** Forverts (CBS)
18. **STOP AND GO** David Grant (Chrysalis)
19. **YOU AIN'T REALLY DOWN** Status IV (Radar)
20. **ANGELS** The Human Feel (Bluebird)
21. **YOU MAKE IT HEAVEN TRUE** West End (World)
22. **USE ME USE ME (LOSE ME, USE ME)** Paul Simpson Connection (Streetwise)
23. **DOES THAT RING A BELL** Dynasty (Solar)
24. **YOU CAN'T HAVE WHAT YOU'VE GOT** Karen Young (Pinnacle)
25. **LET NO MAN PUT ASUNDER** First Choice (Salsoul)
26. **CAN YOU REACH ME ANYMORE** Strike One (Elite)
27. **IN THE BOTTLE** C.O.D. (Streetwave)
28. **LIGHT YEARS AWAY** Warp 9 (Arista)
29. **DARK IS THE NIGHT** Shakatak (Polydor)
30. **I.O.U. Freezer** (Beggars Banquet)
Compiled by MRIB
---
**READERS’ CHART**
1. **CANDY GIRL** New Edition (London)
2. **BAD BOYS** Wham! (Innervision)
3. **TRUE SPANDAU BALLET** (Chrysalis)
4. **FABULOUS** Heaven 17 (Virgin)
5. **MOBODDY'S DIARY** Yazoo (Mute)
6. **CAN'T GET USED TO LOSING YOU** The Beat (Go Feel)
7. **CUPS ARE SEALED** Fun Boy Three (Chrysalis)
8. **EVERY BREATH YOU TAKE** Police (A&M)
9. **JUST GOT LUCKY** JoBoxers (RCA)
10. **FASCINATION** Human League (Virgin)
11. **ENCORE** The Callas (Virgin)
12. **PALE SHELTER** Tears For Fears (Mercury)
13. **MISS THE GIRL** Creatures (Polydor)
14. **DEARIE** The Ph.O (RCA)
15. **MOVIN' GO ROUND** The Council (Polydor)
16. **WE ARE DETECTIVE** Thompson Twins (Arista)
17. **FAMILY MAN** Hall And Oates (RCA)
18. **FRIDAY NIGHT** The Kids From Fame (RCA)
19. **BLIND VISION** Blancmange (London)
20. **BUFFALO SOLDIER** Bob Marley (Island)
This week’s chart coupon is on page 14
---
**WRITER’S CHART**
Chosen this week by David Ling
1. **LONELY NIGHTS** Uriah Heap (Bronze)
2. **THE KIDS ARE BACK** Twisted Sister (Atlantic)
3. **SUNSHINE** Melody (Bronze)
4. **TRUE SPANDAU BALLET** (Chrysalis)
5. **ROSANNA** Toto (CBS)
---
**VIDEO**
1. **DURAN DURAN** Duran Duran (EMI Music)
2. **OIL ON CANVAS** Japan (Virgin)
3. **PHYSICAL** Olivia Newton-John (Thorn EMI)
4. **A ONE MAN SHOW** Grace Jones (Island)
5. **THE VIDEO SINGLES** Tears For Fears (Polygram/Bravo)
6. **THE WALL** Pink Floyd (EMI Music)
7. **LIVE** Olivia Newton-John (Embassy)
8. **ABBA – THE MOVIE** Abba (MGM/UA)
9. **LIVE AT THE ROYAL ALBERT HALL** Kids From 'Fame' (MGM/UA)
10. **THE HIGH ROAD** Roxy Music (Polygram/Spectrum)
Compiled by MRIB
---
**INDEPENDENT SINGLES**
1. **NOBODY'S DIARY** Yazoo (Mute)
2. **SHIPBUILDING** Robert Wyatt (Rough Trade)
3. **WALK OUT TO WINTER** Aztec Camera (Rough Trade)
4. **BLUE MONDAY** New Order (Factory)
5. **WAITING FOR A TRAIN** Flash n The Pan (Easy Beat)
6. **BAD BOYS** Adicts (Razor)
7. **PILLS AND SOAP** The Imposter (Demon)
8. **CROW BABY** The Violets (Rebel)
9. **CANNIBALISM** Cannibalism (Crass)
10. **CATCH 2.3.G.B.H.** (Clay)
11. **BANDWAGON TANGO** Testcard F (Backs)
12. **PEPPERMINT PIG** Cocteau Twins (AAD)
13. **ALICE SITTING ON THE FLOOR** (Paul Heaton)
14. **THE SINGLES** Tones On Tail (Situation)
15. **MEGLOMANIA** (EP) Blood (No Future)
16. **CATTLE AND CANE** Go Betweens (Rough Trade)
17. **KARMA** The Vagabonds (Cass)
18. **OLD STYLE** Drop Down Box (Go Discs)
19. **HANGOVER** Serious Drinking (Upright)
20. **LOVE WILL TEAR US APART** Joy Division (Factory)
21. **LOVE PROFILE** Cook da Books (Kitelane)
22. **QUAL X MAL** Deutschland (4 AD)
23. **SCREAMING** Gene Loves Jezebel (Situation)
24. **SYMPATHY OVER ALL** Angelic Upstarts (A&R)
25. **TELECOMMUNICATION** Blitz (Future)
26. **WEREWOLF** Eraserhead (Flickknife)
27. **ANACONDA** Sisters Of Mercy (Merciful Release)
28. **OCTOBER LOVE SONG** Chris And Cozy (Rough Trade)
29. **MEXICAN RADIO** Wall Of Voodoo (Illegal)
30. **JET SET JUNTA** Monochrome Set (Cherry Red)
Compiled by MRIB
---
**DEEJAY’S CHOICE**
Chosen this week by Radio One DJ Peter Powell
1. **TRUE** Spandau Ballet (Reformation)
2. **PALE SHELTER** Tears For Fears (Mercury)
3. **FABULOUS** Heaven 17 (Virgin)
4. **BLIND VISION** Blancmange (London)
5. **CAN'T GET USED TO LOSING YOU** The Beat (Go Feel)
6. **LOVE TOWN** Booker Newberry III (Polydor)
7. **BLUE MONDAY** New Order (Factory)
8. **WAITING FOR A TRAIN** Flash n The Pan (Easy Beat)
9. **TEMPATION** Heaven 17 (Virgin)
---
**Tapes and Albums**
The same low Prices!
WOOLWORTH And Woolco
### U.K. SINGLES
| THIS WEEK | LAST WEEK | WEEKS IN CHART | HIGHEST POSITION |
|-----------|-----------|----------------|------------------|
| 1 | 2 | 3 | 4 |
| EVERY BREATH YOU TAKE | Police (A&M) | 1 | 1 |
| BAD BOYS | Wham! (Inverness) | 2 | 2 |
| NOBODY'S DIARY | Yazoo (Mute) | 3 | 3 |
| CANDY GIRL | New Edition (London) | 4 | 4 |
| JUST GOT LUCKY | JoBoxers (RCA) | 5 | 5 |
| BUFFALO SOLDIER | Bob Marley (Island) | 6 | 6 |
| CAN'T GET USED TO LOSING YOU | The Beat (Go-Feet) | 7 | 7 |
| MONEY GO ROUND | Style Council (Polydor) | 8 | 8 |
| LOVE TOWN | Booker Newberry III (Polydor) | 9 | 9 |
| TRUE | Spandau Ballet (Chrysalis) | 10 | 10 |
| TEMPTATION | Heaven 17 (Virgin) | 11 | 11 |
| WHAT KINDA BOY YOU'RE LOOKING FOR | Hot Chocolate (Parlophone) | 12 | 12 |
| IN A MOUNTAIN | Big Country (Phonogram) | 13 | 13 |
| LADY LOVE ME | George Benson (Warner Bros) | 14 | 14 |
| OUR LIPS ARE SEALED | Fun Boy Three (Chrysalis) | 15 | 15 |
| CHINA GIRL | David Bowie (EMI-America) | 16 | 16 |
| WAITING FOR A TRAIN | Flash And The Pan (Easy Beat) | 17 | 17 |
| FEEL THE NEED IN ME | Forrest (CBS) | 18 | 18 |
| GLORY, GLORY MAN | United Manchester (EMI) | 19 | 19 |
| FLASHDANCE, WHAT A FEELING | Irene Cara (Casablanca) | 20 | 20 |
| DANCING TIGHT | Galaxy (Ensign) | 21 | 21 |
| CHANGE OF DANCE | Utopia (Chrysalis) | 22 | 22 |
| PILLS AND SOAP | The Imposter (Demon) | 23 | 23 |
| STOP AND GO | David Grant (Chrysalis) | 24 | 24 |
| BABY JANE | Rod Stewart (Warner Bros) | 25 | 25 |
| BRINGING IT CLOSER | Altered Images (Epic) | 26 | 26 |
| GUESS THAT'S WHY WE'RE ALL THE BLUES | Elton John (Rocket) | 27 | 27 |
| BLIND VISION | Blanmange (London) | 28 | 28 |
| SHINE ON YOU CRAZY MAN | Robert Plant (Rough Trade) | 29 | 29 |
| HANG ON NOW | Kajagoogoo (EMI) | 30 | 30 |
| BLUE MONDAY | New Order (Factory) | 31 | 31 |
| MOONLIGHT SHADOW | Mike Oldfield (Virgin) | 32 | 32 |
| PALE SHEEPER | The Pears (Phonogram) | 33 | 33 |
| THEY ARE BACK | Twisted Sister (Atlantic) | 34 | 34 |
| JUICY FRUIT | M'tune (Epic) | 35 | 35 |
| TAKE THAT SITUATION | Nick Heyward (Arista) | 36 | 36 |
| LET'S LIVE UP | David Joseph (Island) | 37 | 37 |
| PARTY TIME | David Essex (Polydor) | 38 | 38 |
| FLESH OF MY FLESH | Orange Juice (Polydor) | 39 | 39 |
| LOOKING AT MIDNIGHT | Imagination (R&B) | 40 | 40 |
| WORDS | F. R. David (Carrere) | 41 | 41 |
| SHEEP FARMING IN THE FALKLANDS | Crass (Crass) | 42 | 42 |
| THE WHEEL | Spear Of Destiny (Epic) | 43 | 43 |
| FASCINATION | Human League (Virgin) | 44 | 44 |
| MORNING | Al Jarreau (Warner Bros) | 45 | 45 |
| WANNA BE STARTING SOMETHING | Michael Jackson (Epic) | 46 | 46 |
| WALKING THE LINE | Brass Construction (Capitol) | 47 | 47 |
| DON'T STOP THAT CRAZY RHYTHM | Modern Talking (EMI) | 48 | 48 |
| FAMILY MAN | Hall & Oates (RCA) | 49 | 49 |
| LITTLE RED CORVETTE | Prince (Warner Bros) | 50 | 50 |
### U.K. ALBUMS
| THIS WEEK | LAST WEEK | WEEKS IN CHART | HIGHEST POSITION |
|-----------|-----------|----------------|------------------|
| 1 | 2 | 3 | 4 |
| THRILLER | Michael Jackson (Epic) | 1 | 1 |
| LET'S DANCE | David Bowie (EMI) | 2 | 2 |
| TRUE | Spandau Ballet (Reformation) | 3 | 3 |
| CONFRONTATION | Bob Marley (Island) | 4 | 4 |
| PIECE OF MIND | Iron Maiden (EMI) | 5 | 5 |
| THE LUXURY GAP | Heaven 17 (Virgin) | 6 | 6 |
| POWER, CORRUPTION AND LIES | New Order (Factory) | 7 | 7 |
| FEAST | Cranes (Polydor) | 8 | 8 |
| CRISIS | Mike Oldfield (Virgin) | 9 | 9 |
| TWICE AS KOOL | Kool & The Gang (Mercury) | 10 | 10 |
| DUCK ROCK | Malcolm McLaren (Charisma) | 11 | 11 |
| NIGHTDOUBING | Imagination (R&B) | 12 | 12 |
| CARDS ON THE TABLE | 13 | 13 |
| THE HUNTING | Tears For Fears (Mercury) | 14 | 14 |
| DRESSED FOR THE OCCASION | Cliff Richard (EMI) | 15 | 15 |
| ANOTHER PERFECT DAY | Motörhead (Bronze) | 16 | 16 |
| MIDNIGHT AT THE LOST AND FOUND | Meatloaf (Epic) | 17 | 17 |
| QUICK STEP AND SIDE KICK | Thompson Twins (Arista) | 18 | 18 |
| TOTO | Toto (CBS) | 19 | 19 |
| CHART ENCOUNTERS OF THE HIT KIND | Various (Ronco) | 20 | 20 |
| TOGETHER FOR ZERO | Elton John (Rocket) | 21 | 21 |
| SLEEPING DREAMS | Eurythmics (RCA) | 22 | 22 |
| FASTER THAN THE SPEED OF NIGHT | Bonnie Tyler (RCA) | 23 | 23 |
| IN YOUR EYES | George Benson (WEA) | 24 | 24 |
| THE BEST OF THE BEST | The Best (Arista) | 25 | 25 |
| RING OF CHANGES | Barclay James (Harvest) | 26 | 26 |
| WHAMMY! | B-52s (Island) | 27 | 27 |
| THE COLLECTION | Dionne Warwick (Arista) | 28 | 28 |
| WILD THINGS | Kajagoogoo (EMI) | 29 | 29 |
| THE FINAL CUT | Pink Floyd (Harvest) | 30 | 30 |
| HOLY DIVER | Dio (Vertigo) | 31 | 31 |
| WAITING | Fun Boy Three (Chrysalis) | 32 | 32 |
| SCREAM | Kid Creole (EMI) | 33 | 33 |
| HELLO I MUST BE GOING | Phil Collins (Virgin) | 34 | 34 |
| NAKED | Kissing The Pink (Magnet) | 35 | 35 |
| TUBULAR BELLS | Mike Oldfield (Virgin) | 36 | 36 |
| JARRE | Al Jarreau (WEA) | 37 | 37 |
| HIGHLAND HARD RAIN | Aztec Camera (Rough Trade) | 38 | 38 |
| H₂O | Hall and Oates (RCA) | 39 | 39 |
| OUTSIDEIN | Tubes (Capitol) | 40 | 40 |
| WRAP YOUR ARMS AROUND ME | Agnetha Faltskog (Epic) | 41 | 41 |
| YES SIR I WILL | Crass (Crass) | 42 | 42 |
| HUNKY DORY | David Bowie (RCA) | 43 | 43 |
| PRIDE AND PREJUDICE | Warner Bros (Mercury) | 44 | 44 |
| THE RISE AND FALL OF ZIGGY | Stardust | 45 | 45 |
| SIOGO | Blackfoot (Atco) | 46 | 46 |
| GHOSTS | David Sylvian (Mercury) | 47 | 47 |
| WE ARE ONE | Man (Capitol) | 48 | 48 |
| LAUGHTER AND TEARS | Various (WEA) | 49 | 49 |
| MARY JANE GIRLS | Mary Jane Girls (Gordy) | 50 | 50 |
### THE NEXT 25
| 51 | LISTEN | A Fluck Of Seagulls (Jive) |
|----|-------|-----------------------------|
| 52 | GET ON UP | Various (RCA) |
| 53 | BYE BYE BLUES | The Blues Band (Arista) |
| 54 | MUSIC FROM LOCAL HERO | Mark Knopfler (Vertigo) |
| 55 | FOREVER FIRE | Anvil (Attic) |
| 56 | RIO | Duran Duran (EMI) |
| 57 | MONEY AND CIGARETTES | Eric Clapton (Duck) |
| 58 | THE ELEVENTH HOUR | Magnum (Jet) |
| 59 | THE ROLLING STONES | Arista (A&M) |
| 60 | PIN UPS | David Bowie (RC) |
| 61 | DIAMOND DOGS | David Bowie (RCA) |
| 62 | TRIP OF THE LIGHT | Modern Romance (WEA) |
| 63 | HAPPY FAMILY | Blanmange (London) |
| 64 | LIONEL RICHIE | Lionel Richie (Motown) |
| 65 | SIGNALS | Rush (Mercury) |
| 66 | SAMURAI | Grand Prix (Chrysalis) |
| 67 | BEST OF | Jimi Tenor |
| 68 | ALLIES | Crosby, Stills And Nash (Atlantic) |
| 69 | YOU GOTTA SAY YES TO ANOTHER EXCESS | Yello (Stiff) |
| 70 | THIS IS THE LIFE | Various (Capitol) |
| 71 | VISIONS | Various (K-Tel) |
| 72 | TIMELINE | Renaissance (A&M) |
| 73 | RICHARD CLAYDERMAN | Richard Clayderman (Decca) |
| 74 | UPSTARTS | Various |
| 75 | SCARY MONSTERS | David Bowie (RCA) |
Compiled by NME
No.1! David Bowie
|
WEDNESDAY, MAY 20 - DINNER MEETING
"Now that you've cut city budgets, how do you pay for growth?"
The Good Table Restaurant
2600 Bancroft Way
Berkeley
(415) 548-4871
(r.s.v.p. to Joan Lamphier or call her for information at (415) 451-8046, leave message)
...wherein we will discuss the Planning Roundtable's first major report on the cost and assignment of urban infrastructure. While no-growth and water resources have been discussed at length, and many jurisdictions have employed everything from the Laffer curve to massive fees to cover costs, this is the beginning of a new era when municipalities and service districts, like their private enterprise counterparts, must begin to charge for development based on cost and overhead in order to avoid bankruptcy. Since the New Rules dictate that environmental impacts must pass the cost-benefit test, then so must development. Be with us for a delightful meal and a spicy debate! (See related article, next page.)
(Note: The Peripheral Canal discussion is being rescheduled to more closely coincide with the ballot vote. That initiative has been delayed June to "later this year," and we intend to record the debate for use in a video production as a public service to ourselves and the General Public. Stay tuned!)
RSVP by May 15, 1981
NAME ____________________________________________
ADDRESS __________________________________________
DAY PHONE _________________________________________
mail to: Lamphier & Associates, 853 York Street,
Oakland, CA 94610
APA Northern Section Newsletter vol. 3 no.2
california chapter american planning association
po box 2104 san jose' 95109
SUNDAY, JUNE 14 - PICNIC ON ANGEL ISLAND
Good food and drink, stimulating conversation with other planners, and a pleasant day at Angel Island State Park . . . our Spring Picnic will be held on Sunday, June 14 at the Ayala Cove, near the ferry docking area.
A nominal fee of $5.00 for adults and $3.00 for children will help us provide picnickers with charcoal and beverages (wine, beer and soft drinks) which will be available at the site.
Angel Island is accessible by private boat or ferry service from both San Francisco and Tiburon, and offers hiking trails, beautiful natural woodlands and views of the Bay Area, as well as playgrounds and other recreational facilities.
We have reserved space on the 10:00 a.m. ferry from San Francisco (Fisherman's Wharf) so that we can be assured of tagging enough picnic tables. Round trip fare is $5.25 adults, $2.75 for children.
Ferry service is also available from Tiburon at $2.50 round trip. If you plan on joining us, please mail your reservation check (made out to APA) for beverages and charcoal no later than May 22. If you would like to take the 10:00 a.m. ferry from San Francisco, please include your round trip fare with your check.
mail to:
APA
c/o Don Bules
Dept. of City Planning
100 Larkin Street
San Francisco, CA 94102
PICNIC: __adults @ $5.00 ea. = __
__child @ $3.00 ea. = __
TICKETS: __adults @ $5.25 ea. = __
__child @ $2.75 ea. = __
Call Don for more information at (415) 558-4541. (Tiburon or your own boat, no charge!)
ADDITIONAL ANNOUNCEMENT
June 19 -- Cal Chapter Workshop
Friday, June 19, 1981
9:00 a.m. - 12:30 p.m.
$10.00
Location: Palo Alto Cultural Center 1313 Newell Road
(Highway 101, exit Embarcadero west; parking available at the corner of Newell and Embarcadero)
Subject: Subdividing for Maximum Solar Usage
This workshop is intended to educate both local government officials and professional builders in the design and evaluation of subdivision designs that maximize the use of solar energy. Contact Ken Schreiber, City of Palo Alto, 425 Hamilton Avenue, Palo Alto, CA 93406, (415) 329-2321.
AWARDS PROGRAM
As most of you now know, the Section is again sponsoring its annual awards competition. The competition has been established to provide recognition for outstanding planning programs and to honor individuals (both professionals and non-professionals) who have made distinguished contributions to planning. Submit significant planning work that your department completed during the past year for consideration for a Meritorious Program Award. You can also nominate individuals who might be eligible for distinguished service or outstanding contributions awards.
Details regarding the various awards categories and the procedures to be followed in preparing and submitting nominations are indicated on the announcement which appeared in the March issue of California Planner. Nominations will be due at the section level May 15, 1981. Outstanding winners at the section level will be forwarded to the State Chapter and on to the National Awards Program.
For further information, please call the section awards coordinator, Christine Haw, of the San Francisco Department of City Planning, at (415) 558-4541.
YOU ARE INVITED ...
...to the May 20th Northern Section meeting to hear and discuss an interesting new case study of San Diego and Santa Clara counties prepared by the California Planning Roundtable. This meeting marks the beginning of a new series of regular Northern Section meetings.
Don de la Peña, currently Industrial Development Director of Ruth and Going, Inc., of San Jose, and until recently Principal Planner for the City of San Jose, will be the featured speaker. He will present the findings of the Roundtable's study examining a most disturbing trend: urban areas find it increasingly difficult to absorb new development due to an inability to finance needed capital improvements. This situation is now clearly impacting primary industries and community lifestyles.
The study examines new and old mechanisms for dealing with this problem. Particularly emphasized are the growing demands for both large-scale regional service facilities and public awareness of the hard choices these times demand -- and also the consequences of those choices.
To tweak our curiosity and alert us to the important issues to be discussed, Don has sent along these excerpts from the study's conclusion:
Future fiscal planning for public facility provision will undoubtedly make use of many new -- and some old -- mechanisms which attempt to assign costs as directly as possible to those who benefit from a particular service or facility. This strategy depends upon much greater private sector involvement in what used to be largely public sector activities. It also depends on much greater local initiative, both public and private, in making sure needed local facilities are built and existing facilities are operated in the most efficient way possible.
A crucial element in both the cause and potential solution of the fiscal crisis now surrounding the provision of basic services and facilities is public awareness. As one planner noted, the public is entitled to say "no more," but it is crucial that they also know the consequences liable to follow such a decision. The public has little way of learning about the critical needs documented in this report until not meeting these needs affects their lives and livelihood. Efficient and equitable solutions to the funding crisis need to be devised through cooperation of those in and out of government. A means to inform the public of the real meaning of such solutions and the need for them, must also be devised to create a public dialogue.
The goal of the Roundtable organization that prepared this study is to actively involve planners in discussing problems, developing solutions, achieving public-private cooperation, and informing the public about critical problems and choices to be made. Obviously, they consider your input essential to their goal. (The California Planning Roundtable was founded in 1980 by twenty-five leaders in the planning community, drawn from both the public and private sectors.)
Don de la Peña and the Roundtable bring this new study to you for your ideas and response. To encourage spirited discussion, several "commenters" from both public and private organizations have been asked to share their reaction. Copies of the report will be available at the meeting. Don't miss what promises to be a lively and thought-provoking meeting on a topic which affects us all.
KNOW YOUR NUCLEAR REACTORS
3. HIGH TEMPERATURE GAS-COOLED REACTOR. A further evolution of the gas-cooled reactor concepts to yet higher temperatures can be achieved by using helium gas coolant and fuel with a ceramic coating instead of metal cladding. Known variously as the HTGR, HTR or MK III gas-cooled reactor, the system has been developed internationally by the OECD Dragon Project and in the USA. A variant known as the Thorium High Temperature Reactor (THTR) has been developed separately in Germany, using a novel pebble bed core concept. The first commercial stations of this type have been ordered in the USA for operation around 1980. Enriched uranium fuel, in the form of small spheres of uranium carbide, is coated with layers of graphite and silicon carbide to form coated particles which need no further cladding to retain radioactive fission products. The coated particles are packed into axial cavities in hexagonal blocks of graphite which are loaded into the reactor as combined fuel elements and moderator blocks. Axial channels through the fuel-moderator blocks allow the coolant gas to pass down through the core. It is then circulated up through the helical steam generators in the pods of a concrete pressure vessel around the core. US designers envisage off-load fueling during a shut down period of about two weeks once a year but the British designers are considering on-load fueling systems similar to that used in the AGR and Magnox stations. Two types of fuel cycle, known as high enrichment and low enrichment schemes, are possible with HTGRs. In the first of these fuel enriched to give 80 or 90 percent of uranium-235 is mixed with thorium carbide coated particles. During operation the thorium is converted to uranium-235 which is a highly efficient nuclear fuel and can be recovered during reprocessing of the fuel. The low enrichment scheme uses 4 to 5 percent of uranium-235 and some of the remaining 95 to 96 percent of uranium 238 is converted during operation to plutonium, which is another recoverable fuel material. The inherent safety of the concrete pressure vessels makes the need for a special containment building, in the view of some designers, unnecessary. The first commercial stations in the USA will, however, have containment buildings mainly to ease licensing procedures. There is considerable interest in the process heat applications of the HTGR such as coal gasification and steelmaking and in the further development of the HTGR using direct cycle gas turbines instead of the conventional steam cycle.
TO THE EDITOR:
☐ The publication of the "Barbecued Dog Box-Lunch" article in the February-March issue of the APA Northern Section Newsletter displayed an appalling lack of good judgment. It was an article more appropriate to the National Enquirer or some racist publication aimed at fomenting hostility toward Southeast Asian refugees. Its inclusion in the Newsletter does not reflect well upon the Newsletter staff, APA, or those of us who are members of APA.
While that specific article is of particular concern to me, I am even more concerned about the increasing number of esoteric, irrelevant, or otherwise off-the-wall items that have been appearing in the Newsletter. If the purpose of this editorial direction is to make a satirical statement about the pompous, self-serving and/or irrelevant nature of much of what appears in other professional planning publications, I share that sentiment. But I seriously question whether now is a time when we can afford to be publishing a National Lampoon for planners.
We are in the midst of a national budget cutting frenzy in which planning programs face major funding cutbacks at all levels of government. It is a time when our professional associations should be working vigorously to increase public awareness of the potential importance of planning to the solution of the country's economic, social, and environmental problems. Part of that effort should include the publication in our newsletters of thought-provoking articles and position statements that can be distributed to local, state, and federal decisionmakers who will be proposing and/or implementing budget cuts.
When you get right down to it, as planners, the basic commodity we have to sell is our intelligence, good judgment, and problem-solving ability. If the editorial content of the publications of our professional organization doesn't reflect those qualities, then we would probably be better off not to waste money printing them.
Quite frankly, I would be embarrassed to show the last issue of the Newsletter to any of the local officials in my county, or even to the community organizations which have traditionally supported our planning efforts. I don't believe their confidence in the competence or thoughtfulness of the planning profession would be enhanced.
I don't want this letter to be a totally negative assault on the Newsletter. Much of what it contains is relevant and useful information. But I don't feel it is anywhere near achieving its potential as a constructive vehicle for the sharing of information and ideas among planners, local decisionmakers, and the general public.
I hope that the recent editorial direction of the Newsletter is just a temporary phase and that future issues will focus more directly upon the conditions, problems, and trends facing our nation, state, and local communities. One topic which I feel would be extremely timely is the increasing level of frustration and disillusionment among members of the planning profession trying to do meaningful and effective work in the current political climate which appears not to place much value on the planning function. -- Don Weden
1. "Barbequed Dog Box Lunch" was included to point out the "culture clash" that planners must deal with. It was after all, a real event...
2. If our basic commodity is "intelligence, good judgment, and problem-solving ability," why ain't we rich? - C.P.)
☐ This is to register my strong dislike of some of the material inserted in the February/March Newsletter. The Newsletter should be current, relevant, and reflect the planning profession. "Mellow Shoes, Delphic Dining, Chocolate Mousse, Barbecued Dog, Memos to the Editor and assorted poems" do not fit any of these categories. In fact, some of the stuff is downright "flaky." The profession cannot afford this kind of off-the-wall reputation, particularly at this time when budget cutting is so prevalent. The articles on the "Human Race" and "Nuclear Reactors" are very interesting but are not directly relevant to local planning.
If there is not enough relevant and important news to communicate to APA members, then I suggest the Newsletter be cut down in size.
APA is trying to recruit new members now, but this kind of Newsletter will not help.
Please accept this as constructive criticism. -- Robert L. Sturdivant
(We thought that the Chocolate Mousse was not only current, relevant and a reflection of the planning profession, but in exquisitely good taste - C.P.)
STATE OF THE SECTION MESSAGE
For three years running, I helped to write the State of the City message for Mayor Alioto in San Francisco. Each time we identified the issues to be addressed in the year ahead. And each time the Press Secretary would use some of our material and then fill the speech with facts about what had been accomplished in the year just past. In preparing this statement, I recognize the attitude of the Press Secretary as well as my own proclivities as a planner. Let me do a bit of both.
I am now completing my term as Section Director. The year has been a rocky one for me as well as other members of the Board; still our successes point to a good year ahead. But it is going to be a very difficult year, and will require work from everyone.
Last year's APA conference in San Francisco drained most of the Section's energy, so we began this year almost from scratch. We also began with the thought that throughout the Section there were people anxious to be involved and who resent the San Francisco/Oakland/Marin centrism of the organization. We sought to encourage subsection activity in each of the SMSAs of the Section. We found opposites to be true. The Monterey Bay Sub-Section has been extremely active under the leadership of Ernie Franco; they have done an outstanding job of putting together dinner programs and field events. From all other potential sub-sections we have heard nothing. Our membership chair, Lois Scott, is now working with planners in Ukiah to let them know about each other.
In planning our programs, we may have striven for too much diversity, and the results have been mixed. We attempted to intersperse topical programs with professional development seminars, and we tried to hold them at places around the Bay Area. We now think that greater regularity or programs tied to monthly newsletters (if we can afford them) will improve that situation. The wine-and-cheese idea has not caught on, and we are returning to dinner meetings.
Interest by Board members has grown over the year. New people have joined us almost every month, and they have taken on new responsibilities. The greatest problem we face is one of time because most of us are already doing double-time at the office. New leadership is emerging from this group, and I expect a good deal of continuity from this year to next. (There is still room for motivated individuals, so call me if you are one of them.)
The best programs of the year, so far, have been the Housing Workshop (an overflow crowd of 150) and the seminar of Career Changes. We expect the May meeting on How We Pay for Future Infrastructure, the seminar on Transit Coordinators (not held as of this writing) and the Spring Picnic to be well attended.
National headquarters had established a computerized system for mailing labels, and there have been some problems getting all duespaying members for the Section on that list. I apologize to any one of you who has not received mailings in the past that you should have received. We are leaning on National best we can when we hear of someone who has not received material from us. Let us know if you know of someone.
Our upcoming programs are laid out in this newsletter. A new program year will begin in September. In the interim, elections will be held for Section officers, and you will receive a ballot in May.
It has been more work than I ever expected, being Section Director. It has been ultimately rewarding. The profession needs all the help it can get these days, and the result is greater apathy and confusion than previous years. I have tried to help the Northern Section respond to the needs of its membership, and I think the year ahead will be a better one for the groundwork we have laid this year.
AN OPEN LETTER TO PLANNING DIRECTORS
As directors of planning programs, we all face a very unpleasant Catch-22. We have to stretch resources as far as they will go, just when we need to support the profession as much as possible. Particularly in public agencies, our staff members need to know that the profession is concerned about them and is available to them. And as a membership organization, APA can only respond to the extent each of us volunteers our own time and makes APA available to our staff.
Few agencies today purchase memberships for employees, but we can enable staff to use time during the work day to participate in APA activities. If your staff can contribute a fraction of their time to APA, it makes the program that much stronger for our fellow professionals. The cost of a membership is generally affordable to most staff, and if you will enable staff to put some office time into APA business, their membership will make more sense: they will be more likely to join for the first time or renew their membership.
APA requires an active and growing membership to maintain an effective legislative program, promote professional development, and provide a forum for planning issues. I urge you to invite your staff to become active members of both APA and AICP. If you can assist financially in those memberships or various conference costs, let your staff know what is available. And please consider seriously allowing a reasonable amount of work time for educational and professional activities of APA. Our profession is no longer a secret society dedicated to getting society to accept the idea of planning. The idea of planning is beginning to be recognized as the process that can maximize an organization's efficiency. Now we hear from elected officials that they understand the need for planning, it's just that other priorities come first. What is as true today as it was two hundred years ago is that if we don't hang together, we will surely hang separately. I urge your strong support for APA through an active membership.
Charles Q. Forester, Director of Planning, ABAG
Section Director, Northern California Section APA
APA NORTHERN SECTION BOARD OF DIRECTORS
DIRECTOR - Charles Q. Forester
c/o ABAG
Hotel Claremont
Berkeley, CA 94705
(415) 841-9730
DIRECTOR, PRO-TEM - Myrna Valdez
c/o M.T.C.
Hotel Claremont
Berkeley, CA 94705
(415) 849-3223
SECRETARY/TREASURER - N. Teresa Rea
14 Gold Street
San Francisco, CA 94133
(415) 392-4919
PAST DIRECTOR - Tom O. Merle
348 World Trade Center
San Francisco, CA
(415) 981-6405
STUDENT REPRESENTATIVE - Bill Pickford
M.T.C. (Thur & Fri)
Hotel Claremont
Berkeley, CA 94705
(415) 849-3223
JOBS IN PLANNING - Leslie Carmichael
City of Novato Planning
Novato, CA 95442
(707) 897-4341
MONTEREY SUBSECTION - Ernest J. Franco
142 Carmel Avenue
Pacific Grove, CA 93950
AWARDS - Chris Haw
100 Larkin Street
San Francisco, CA 94102
(415) 558-4541
MEMBERSHIP - Lois Scott
100 Larkin Street
San Francisco, CA 94102
(415) 558-4541)
SEMINARS - David Feltham
City of San Francisco
(415) 558-5423
LEGISLATIVE COORDINATOR - Joan Lamphier
Camphier & Associates
853 York Street
Oakland, CA 94610
(415) 451-8046
NEWSLETTER - Craig Parada
P. O. Box 2104
San Jose, CA 95109
(408) 277-5550
AICP EXAM INFORMATION - Ken Schreiber
City of Palo Alto
425 Hamilton Avenue
Palo Alto, CA
(415) 329-2321
APA NORTHERN SECTION
NEWSLETTER
p.o.box 2104; SJ 95109
editor: C.PARADA (408) 277-4576
RECEIVED
MAY 05 1981
DUNCAN & JONES
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Garth Brooks
1992 CCMA
Robertson and Berman to talk about NAFTA
Things are definitely heating up in regard to the exemption granted to Canadian cultural industries under the North American Free Trade Agreement (NAFTA).
Jay Berman, the president of the Recording Industry Association of America (RIAA) who recently caused an uproar by saying yogurt had a more active culture than Canada, was scheduled to arrive in Toronto on Friday (Oct. 2) to express his views to his Canadian counterpart, Brian Robertson, president of the Canadian Recording Industry Association (CRIA). Robertson, who worked with Berman to push for more relaxed regulations in the American immigration act to allow Canadian artists easier access to the United States market, says he'll have plenty to talk about.
"I'm going to try and find out what motivated the comments he made. The comments were unreasonable, in my view, to the point of being insulting. We've got nothing against them expressing their disappointment, but to make bad jokes like that is ill-timed and unnecessary. I think it's unnecessary for him to be making statements like that without any consultation here first."
Both CRIA and RIAA's member companies are responsible for about 95 per cent of pre-recorded music sold in their respective countries, so both Berman and Robertson carry some clout. But Berman also has the powerful American film industry lobby supporting his stand, Robertson says.
"I know that both the recording industry people and the film people, led by Jack Valente, were unhappy with the cultural exemption clause in the NAFTA and feel that, from the motion picture point of view, that the Canadian distribution control restricts the ability of some of the U.S. companies to do their business here the way they want to do it. But there are almost no restrictions on the recording industry apart from the Canadian content regulations."
Part of the argument is about what constitutes culture and what constitutes commerce. Canadians feel that the 30 per cent Cancon rule is a cultural regulation, while the Americans see it as a means of restricting them to only 70 per cent of the airwaves. The RIAA may also look at the Foundation to Assist Canadian Talent On Records (FACTOR) as an unfair subsidy, while CRIA sees it merely as an incentive program for Canadian recording artists.
Robertson hopes his meeting with Berman will be constructive, but he knows the NAFTA controversy won't fade away quietly.
Warner Music lowers boom on Toronto's CFTR
Toronto radio station CFTR was served with a notice from Warner Music Canada to cease and desist playing Erotica, Madonna's new single, before it was officially released on Sept. 30.
The station reportedly received the track from an unknown source in the U.S. CFTR apparently complied with the cease and desist order, but the single was also leaked to the syndicated Super Radio show out of Boston, which airs Saturday nights on CFTR. So again the single was aired and CFTR effectively "took that as a cue that they should therefore be allowed to continue to play it, which they started doing again Monday morning," said Kim Cooke, Warner's vice-president of national promotion and special products.
"That was not our view, and we convinced them to stop playing it that same afternoon."
Warner Bros. in the United States has also been busy issuing cease and desist orders "against anyone in the U.S. playing the record." CFTR is the only known radio station that aired the record before its official release, and they "had a good run with it," says Cooke. He is concerned with the unfairness involved in that one radio station can air a record well in advance of others, several of whom registered complaints with Cooke.
Since last week was a hot one for ratings, radio stations were heavily involved in promotions and campaigns to give more prominence to their station. Airing a record by a high profile star like Madonna and creating controversy has been used effectively over the years.
One observer pointed out that record companies are placed in an uncomfortable position when they have to resort to legal action with a radio station. Says Cooke, "We did issue a cease and desist, but we didn't take it any further than that."
Oberstein to supervise PolyGram in Canada
A change in leadership of PolyGram UK will also affect Canada.
Maurice Oberstein will retire as chief executive officer of PolyGram UK at the end of the year, but will assume responsibility for the supervision of PolyGram's Canadian operations on behalf of Alain Levy, PolyGram's president and chief executive officer, starting on Jan. 1, 1993.
Oberstein will also work as a member of PolyGram International's management team and as executive vice-president with regional responsibility for Australia and New Zealand.
Oberstein will also support his replacement, Roger Ames, in an advisory role at PolyGram UK. Ames will relinquish his responsibilities as managing director of London Records to take on the job. He will also join PolyGram's international management team.
Nov. 6 release date for new Jeff Healey Band album
The Jeff Healey Band's third album, Feel This, will be released by BMG Music Canada on Nov. 6.
The album's first single, Cruel Little Number, is a sizzling rocker co-written by the band, Carl Marsh and Justis Walkert. It goes to radio on Oct. 19.
The band's 1988 debut album, See The Light, went triple platinum, while their 1990 release, Hell To Pay, has sold more than 200,000 units.
Qui ou Non has become a constitutional theme
Quebec's English media are using Motion's new single, Qui ou Non, as a theme for the upcoming constitutional referendum.
Motion's Jean-Claude Beliveau and Charles David originally wrote the song as a man's plea to a woman to decide whether or not she wants him. In a political sense the song has a number of parallels to the situation in Quebec, as it says: Yes or no/leave or stay.
Qui ou Non is the title track of Motion's second album for Warner Music Canada. Their self-titled 1991 debut spawned four Top 20 hits in Quebec, including two Top 10 songs. The same album was also released in English and received airplay across Canada.
There's no indication yet if the Clash's Should I Stay Or Should I Go will be picked up as a constitutional theme for anglophone Canadians.
Silk Toxik, who scored MuchMusic Video awards for Best Metal Video and People's Choice, seen accepting gold for Doin' The Nasty from Capitol's Toronto staff.
Walt Says!
with Elvira Caprese
Where were the artists . . . ? That was a nice luncheon CARAS held recently with tributes to the people who were retiring and who were and are, very important to the organization. But . . . if the Juno Awards are a celebration of Canadian artists, howcum there weren't any there? There were a couple, who happen to be sitting on the board, but what a thrill it would be for the artists to have been able to sit in on an industry happening like that. There were more than a few of us there, who, I'm sure would be willing to step aside and let some of the more deserving people have a free lunch. Just because I was a founder of the awards doesn't mean to say I have to be at the CARAS luncheon every year. Let me be the first to volunteer. Next year send an artist in my place. (EC: Who says they were going to invite you next year . . . ?)
The Jay bird's on the hot seat . . . ! Have you noticed how silent the dailies have been about that Jay bird's mouthing off on our culture, or, as he says, "no culture"? One columnist phoned to ask what the problem was. He doesn't like the CBC anyway, so he wasn't about to give them credit for giving prominence to this "kick in the balls" attitude of an American record industry executive. Well, we just might have the last laugh. There were more than a few phone calls to the Jay bird, and they weren't all from Canada. With the majors, most of whom are headquartered in the U.S., controlling more than 90 per cent of Canada's record business, I hear that some hot and heavy language came down the line from the heads of record companies who understand the value of the Canadian industry and its culture. Mr. Jay bird, who is supposedly the mouthpiece for the U.S. record industry, got a bit of a going over, and he just might not be in his cosy nest for too long. (EC: What did you say about the mouse that roared . . . ?)
Sony won't be the same . . . ! Aye! It had to happen, but it was still shocking news to hear that Jack Robertson will retire from Sony Music at the end of November. Actually, with the unveiling of Sony's renovated office, warehouse and manufacturing complex, he wrote the last chapter in his book for CBS, Columbia, and finally, Sony. The renovation project was as much his baby as anyone's, and now it's complete, Jack can take his leave. They gave him a nice white construction hat as a reminder of the 18 months of shuffling back and forth in the dirt, dust and mud. By the way, Jack's secretary, Marjorie Lansbury (a cousin of Angela from Murder She Wrote), is also retiring, after 34½ years of babysitting Jack. Guess where our favourite Scotsman is going? He's off to Scotland for the next two weeks for a family reunion where he'll also celebrate his mother's 90th birthday. Remembering Jack Robertson would fill a page, so I'll leave it for a more appropriate time . . . 35 years is a long, very long time. (EC: Not when you're having fun . . . !)
A $5.4 million renovation bill . . . ? For those who said "holy jeez" when they heard how much it cost to spruce up the old Sony building, just think, they haven't been paying rent for 32 years. They bought the land for about $80,000 back in 1959 and put up the building for another, let's be conservative, $100,000. "You can build up quite a war chest from saved rent," says Paul Burger . . . a bit of an understatement. It's a great building and it goes a long way in calming down some of the nervous grannies who have been predicting that Sony would be moving its operation across the border. (EC: Well . . . at least not for another five years . . . !)
Fest fans fume . . . ! You won't read about it in the Toronto dailies, but the Festival of Festivals was a disaster when it came to the fest's ticket system. Seems the tokens were a gesture that made paying fans mad. The press went to the head of the line . . . while the pass holders lined up and often didn't get in. Helga and her henchmen have promised something more than the token gesture. (EC: The festival in Alexandria has the answer. It went so poorly, they won't have another one next year!!) Toronto is looking at coming up with yet another system in an attempt to be fair to their fans. (EC: Wait 'n see!!!)
Shuffling off to Buffalo . . . ? Maybe Jay Berman knows something the rest of us don't. I received a letter from a fairly heavy (and I don't mean fat) New York lawyer who dabbles in U.S. immigration law. He's offering me an open door into the U.S. He considers me "an experienced business professional who might want to consider relocation to the United States." I always wondered why I got the red carpet treatment every time I went to New York or Los Angeles . . . "an experienced business professional?" I like it. But, no thanks . . . I prefer to be a little fish in a big pond. (EC: That doesn't sound right somehow . . . !)
Who's the best Elvis imitator??? A video of a high-profile record company person, doing an imitation of Elvis Presley, has surfaced. Should be the talk of a Christmas party.
VISITORS
Warren Costford - Radio programmer
Julian Tuck - A&M Records
Mike Moore - Epic recording artist
Dave Delaney - Epic Records
David Indoros - BMG Music
Doug Caldwell - Virgin Records
Roger Bartel - Capitol Records
Dale Kotyk - Warner Music
Jack Cornells - Brocar Records
Rick Wharton - MCA Records
The Wackers win the RPM Cup!!! What a game. It was the bottom of the ninth and the score was tied 13 to 13. The Wackers were up at bat with two down and Rob Graham on first. Heavy (and I mean heavy) hitter Garry Newman is at the plate. He lets the first two pitches fall short of the mark and finally connects with a fly ball to left field that goes and goes and is gone, right out of the park. Final score, The Warner Wackers 15, the MIX 13. With one of his usual gratuitous, but nonetheless humorous, remarks, Warner head honcho Stan Kulin sums it up with: "Unfortunately it looks as though I'll have to pull Garry out of the lineup next year. I thought that when I withdrew myself, that would even up the league . . . but evidently it wasn't good enough." (EC: Nice guy . . . !)
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continue on with the next space.
"We're proud of the fact that not one day's work was lost, not one order was lost, not one sale missed as the result of this entire process.
"We suffered through the wonderful noise of air-drills, banging, paint fumes, and all kinds of things. And I really think it's a credit to all of our employees and I'm really very thankful to all of them for enduring the inconvenience."
Are there any regrets about the 18 months of renovations? "Always there are regrets. One has to see the lengthy process and the amount of time it takes to undertake a project of this size and scope. As one goes along with a project this large, you can learn what things are working better and what things are working not as well. Clearly, our philosophy has been that we have to design a building that will work around the people who are here."
The good news is that the renovations are essentially complete. It's hoped there will be no more interruptions. "There is a very positive, calm confidence among our people."
It's now onto the business at hand. "We're into the big season and we've got a lot of big records and we're very excited about this autumn season. It looks like it's going to be a very good and strong one for us. We need to have all of our creative people, marketing, sales, A&R, publishing people, as well as the financial and operations people focusing on positioning the product, selling the product, manufacturing the product, and getting it out to our customers on a very timely and fast basis."
**CHARTS**
by Tim Evans
**Mixing it up!** Songs from PM Dawn, Black Box, Snap, EMF, R.S.F., KWS, 2 Unlimited and others have pushed the Dance Mix '92 compilation to the top of the Albums chart. It becomes the first dance album to reach No. 1.
**A little unusual.** An album with various artists on it doesn't reach the top very often. Dance Mix '92 becomes just the second such album in the '90s to hit No. 1. Name the other.
**Garthmania...!** It seems like the "in" thing to do. Why put out just one album at a time? Garth Brooks has two albums debuting on the chart. The Chase enters at No. 7, making it Brooks' highest-charting album to date. Beyond The Season enters at No. 37, while his third album, Ropin' The Wind, is at No. 82. Ropin' is now in its second year on the chart.
**One Moore time.** Mae Moore's Bohemia has the top entry on the Hit Tracks chart. It debuts at No. 54. Another Canadian, Alannah Myles, has the biggest mover this week. Song Instead Of A Kiss climbs 39 spots to No. 19.
**No answers to the questions.** People are asking a lot of musical questions these days. Among them: Do I Have To Say The Words?, Have You Ever Needed Someone So Bad?, How Do You Do?, Am I The Same Girl?, How About That?, Would I Lie To You?, Do You Believe In Us?, Is It Really Love?, What Kind Of Love?, and Johnny Have You Seen Her?
**Odd chart happenings!** The No. 21 song on the Hit Tracks chart is In Your Eyes. Right below that is When I Look Into Your Eyes. At No. 56 on the Albums chart is More Country Heat. Two spots below that is 99.9%.
**Party On.** The only other album with various artists to reach No. 1 was the Wayne's World soundtrack.
**Tinti Moffat to head up Balmur's Nashville office**
Balmur Ltd. has opened offices on 18th Street in Nashville, where they will be sharing building space with Billy Ray Cyrus.
The move is designed to accommodate Balmur's increased activity in the U.S. The Nashville operation will be headed up by manager of artist relations, Tinti Moffat, a longtime employee of the Toronto-based firm.
Balmur represents Anne Murray, Rita MacNeil, Frank Mills and George Fox. Both MacNeil and Fox have entered a new phase of their careers and are expected to make even greater inroads into the international market this coming year.
MacNeil's latest Virgin single, Bring It On Home To Me, the Sam Cooke classic, is one of the most popular in her concert repertoire. The CD single was shipped to radio the week of Sept. 28.
Fox has crashed out of the box with his latest WEA single, Clearly Canadian, which he co-wrote and co-produced with Bob Gaudios. The single enters the RPM Country 100 this week at #64, making it the most added single at country radio this week.
EMILE BENOIT - Folk/Instrumental
Vive La Rose
Denon - ACD-9014
Newfoundland fiddler Emile Benoit died recently at the age of 79. Fortunately, his talent of composing airs in a traditional vein have been preserved on record. He started his recording career late in life, although he discovered the fiddle at age 12 and developed a large following throughout the island, playing at square dances and weddings. He championed the francophone cause, and was one of the proud natives of L'Anse-Bleue (Blackhead Brook), Port-au-Pot Peninsula, a French community in Newfoundland. His first album, Emile's Dream, was released in 1979, when he was 66 years old, and his second, Ca Vient du Tchétchén (It Comes From The East) in 1982. The album was produced by Noel Dinn, Gary Furniss and Pamela Morgan, and is a fitting tribute to one of the few remaining masters of an art form on tradition and heritage. Benoit has made over 200 jigs, reels, waltzes and other pieces, 13 of which are here. Included are Christina's Dream, Jerry's Red Mountain Jig, Lady Margaret, Sally's Waltz, and Vive La Rose, the title track that had a special meaning for Benoit.
ALISON KRAUSS & UNION STATION
Every Time You Say Goodbye
Rounder-0285 (Denn)
What do you do with a bluegrass prodigy in the new, fast-paced country music field that has been all but abandoned by most to the younger generation? For starters, try out New Fool, which has been taken as the first single. From there, it won't take much time to gain a new fanbase for Bluegrass. Krauss is now 20 years old, so the "young" tag might best be forgotten. She isn't too well known in this country yet and her last album fell through the cracks. But this one, on the strength of New Fool, should bring this talented singer into the limelight. Bluegrass fiddling is obviously Krauss' forte, which may have overshadowed her vocal charm, which has an unusual comforting range. There's also an interesting musical flow between Krauss and Union Station. Guitarist Tim Stafford, banjo picker Ron Block, and Adam Steffey on mandolin provide equally fascinating vocals. The only weak link is bassist Barry Bales. There's a lot of solid, homegrown entertainment in this package produced by Krauss and Union Station. Key, besides New Fool, are Last Long Letter, Who Can Blame You, and I'm Dying. Programmers looking for an instrumental attention getter should try the traditional Cluck Old Hen. This is what bluegrass is all about. - WG
SUGAR
Copper Blue
Rykodisc - RCD 10239
Sugar is the new band fronted by the former singer/guitarist for Husker Du, Bob Mould. The consistent high quality found on Copper Blue sounds much like Husker Du's albums Warehouse Songs and Stories, though the buzz saw attack of earlier efforts or the more subdued, yet still intense, music on Mould's two solo albums and solo albums Helpless is the first single and features the languid guitar on If I Can't Change Your Mind makes it the lightest song on the album, while the instrument churns more heavily on A Good Idea, I Believe and Fortune tells the two more outstanding tracks. Since Rykodisc is distributed by Denon and not one of the major labels, I hope people don't overlook this album. Sugar isn't sweet, but it deserves more exposure. - SM
GARTH BROOKS
Beyond The Season
Liberty - C2-98742-F
It might not be the marketing strategy, but this Christmas album, produced by Allen Reynolds, will probably outdo Brooks' new CD, which should be released next week. This is a gentle mix of six traditional Christmas songs (God Rest Ye Merry Gentlemen, Silent Night), five with new arrangements by Brooks, with three new countrified spiritual and holiday songs. Give one instrumental, that should fit nicely with the Christmas season. These include The Old Man's Back In Town, which reveals Brooks' writing talent, and The Girl White Christmas does nicely with a new version. It will also attract listeners. Brooks is one of the first off with a Christmas package, and with everything that's happening to him now, it should be a monster seller. Definitely a front-rack item. Christmas is only a few short weeks away. - WG
RAMONES
Mondo Bizarro
radioactive - RARSD-10615-J
After 15 years with Sire, the godfathers of punk have moved on to a new label. And you won't find anything too radically different on this new album, just some good old, familiar rock and roll that Ramo's die-hard fans have been lapping up for years. The opening cut, Censorship, is a few years out of date considering the hullabaloo about Tipper Gore and her Parents Music Records Centre died and went to the grave. But the Replicants are indicted along with the wife of Democratic running mate Al Gore, so the Ramones play no favourites in one of the rare political songs. The first single, Poison Heart, features the melodic backing vocals of Flo and Eddie but still has a bit of an edge to it. The former Turtles also appear on Torture, which has a surf punk sound similar to that found on their early albums as Rocket To Russia, Leave Home, and End of the Century. Living Colour's Vernon Reid contributes a guitar solo to Cabiness Of Crack with Joe McGinn's Skyhooks. Another highlight is As It Is It Corres. Strength To Endure is another strong track. Ed Stasium has worked with the Ramones before and he produces this album too. The Ramones is not too loud but clear production, but perhaps Mondo Bizarro is just a bit too clean sounding for its own good, as it just can't capture the excitement and raw energy of the band's first handful of albums. - SM
VARIOUS ARTISTS
Montreal
Analektra - AN2-9221-2
Recorded in Montreal by Sam Gesser for Folkways Recordings between 1952 and 1964, this is a 50-song treasure of original folk songs and interviews from 25 Montreal artists of various cultural backgrounds. Also included are six poems, written and read by some of the city's best known poets, including The Elderly by Leonard Cohen; Annie Hobert's La fille magique; and Montreux by Abraham Moses Klein. On the music side, Jean Carignan, one of Canada's greatest country fiddlers, displays his reeds, including Hangman's Reel. There are also several musicians born not in Canada, but who made Montreal their home, such as Lucie De Vienne Blanc (France), Karen James and Derek Lamb (England), Raoulche (Chicago), Maxine Dunbar (Scotland), and musicians from Quebec and the rest of Canada who transplanted themselves to the city. Of particular note is Barry Hall's Green Sleeves, which was recorded by Hélène Desmarais, and Alan Mills' Les fraises de les framboises and La bastogne by Adol Morin and Friends. Distributed by Analekta Inc. of Outremont, Quebec. - WC
THE WALLFLOWERS
The Wallflowers
Virgin - V2-86293-A
Bob Dylan's son Jakob fronts a band, and you won't understand what Jr. is singing (although a lyric sheet would have been appreciated). Listening to Jakob will remind you of his father at a similar age, as many of his vocal inflections sound quite similar. And the music produced by rest of The Wallflowers -- with piano and Hammond organ combining with electric bass and drums -- reminds me somewhat of The Band, the group that used to back Bob when he was known as The Hawks. Shy of the Moon is the strongest and most durable, pop sounding song on the album, as the other 11 tracks average about six minutes in length. Old Dylan fans may want to pick this one up, but it's not as strong Dylan also shows potential. We'll have to see whether this album does well enough to allow him to develop it. - SM
PETER HIMMELMAN
Flown Thru Acid World
Epic - EK 52588-H
Himmelman has been acknowledged as a fine songwriter and, on this album, he also proves himself musically. The title track gets the album off to a acoustic, folkly start, while the follow-up, Beneath The Damage And The Dust, is more electrified and rock-oriented. Always In Disguise is another highlight on the album, and So Untitled, a powerfully provocative song about anti-Semitism and historical revisionism of the Holocaust. Himmelman co-produced with Don Smith. - SM
OPEN MIND
The Stones We Carry...
Strings Attached - DTMS-001
There is an obvious and most welcome attempt to resurrect the folk music genre to its rightful status in the recording industry, and Open Mind sounds an effective vehicle for this end. Original songwriters like Cynthia Kerr are Open Mind, a duo from Hamilton, Ont. Their vocal intensity, whistle-clean interpretation of meaningful lyrics, and perfectionist dedication on the 12-string, 6-string and 5-string conjures up the days of the old coffee houses where folk singers and their music formed a common bond with their listeners. Kerr wrote all 10 songs here, which were produced by Dan Thorpe and recorded at the famous West Recording Studio. The pair gained media attention when they wrote and performed Give Us Back The Night, not included here. The song, released in 1989 with an accompanying video, was written months before the Montreal Massacre of 1989. However, it became an anthem for women. Nina De Villiers, The young Burlinton, Ont. singer, was much younger when she sang backup vocals on the video version of the song. Nina's Circle, one of the key tracks on this album, was written in memory of the slain girl. Also key are Lion's Den, Darkening Days and Strange Places, which will be showcasing at the National Association for Campus Activities in St. Cloud, Minnesota in October. They are unsigned and representing themselves at the conference. They can be contacted at Hamilton at 416-527-8148. - WG
### RPM Adult Contemporary TRACKS
| TW | LW | WD | OCTOBER 10, 1992 |
|----|----|----|------------------|
| 1 | 10 | NOTHING BROKEN BUT MY HEART
| Celine Dion - Celine Dion
| Epic-52473 (Sony comp. # 1)H |
| 2 | 3 | SOMETIMES LOVE JUST AIN'T ENOUGH
| Patty Smyth & Don Henley - Patty Smyth
| MCA-16825 (MCA comp. # 1452)J |
| 3 | 4 | RESTLESS HEART
| Peter Cetera - World Falling Down
| Warner Bros.-28864 (Warner comp. # 141)P |
| 4 | 2 | THIS IS WHERE MY PLAYGROUND
| Madonna - Badgal Rapping
| Warner Bros.-26974 (Warner comp. # 143)P |
| 5 | 14 | WHAT KIND OF LOVE
| Patti LaBelle - Life Is Messy
| Columbia-7985 (Columbia comp. # 45)H |
| 6 | 10 | LOST TOGETHER
| Blue Rodeo - Lost Together
| Warner Bros.-28864 (Warner comp. # 141)P |
| 7 | 7 | DO I HAVE TO SAY THE WORDS?
| Brian Adams - Waking Up The Neighbours
| A&M-75021-5367 (A&M comp. # 652)Q |
| 8 | 11 | IS IT REALLY LOVE
| Chris Hill - Dance Of Love
| Quality-1000 (Promo CD single) |
| 9 | 10 | ROCK YOU GENTLY
| Jenniffer Warnes - The Hunter
| A&M-75021-5367 (A&M comp. # 124)Q |
| 10 | 8 | TAKE THIS HEART
| Richard Marx - Rush Street
| Capitol-59847 (Capitol comp. # 12)F |
| 11 | 24 | LAYLA
| Eric Clapton - Undisguised
| Geffen-45024 (Warner comp. # 147)P |
| 12 | 6 | MY DESTINY
| Lisa Marie Richie - Back To Front
| Mercury-52838 (PolyGram comp. early Aug/92)Q |
| 13 | 15 | GIVE IT UP
| Wilson Phillips - Shadows & Light
| SBK Records-98824 (Capitol comp. # 19)F |
| 14 | 9 | THE ONE
| Pat Benatar - The One
| MCA-10614 (MCA comp. # 119)J |
| 15 | 16 | COME TO ME
| Bonnie Raitt - Back Of The Draw
| Capitol-59847 (Capitol comp. # 18)F |
| 16 | 19 | SOMEBODY TOUCHED ME
| Bruce Cockburn - Nothing But A Burning Light
| Time-777 (Sony comp. # 45)H |
| 17 | 22 | ALL I WANT
| Rod Stewart - The Snooker - Fear
| Columbia-47309 (Sony comp. # 42)H |
| 18 | 21 | DEEPER THAN A RIVER
| Olivia Newton-John - To Basics: The Essential Collection
| Geffen-45047 (MCA comp. # 14)J |
| 19 | 14 | IF YOU BELIEVE
| Kenny Loggins - Leap Of Faith
| Columbia-47309 (Sony comp. # 45)H |
| 20 | 15 | JUST ANOTHER DAY
| Jon Secada - Jon Secada
| SBK Records-98845 (Capitol comp. # 9)F |
### RPM DANCE
| TW | LW | WD | OCTOBER 10, 1992 |
|----|----|----|------------------|
| 1 | 1 | RHYTHM IS A DANCER
| Siafa - The Madman's Return
| Arista-57982 (BMG pop comp. # 37)N |
| 2 | 5 | PLEASE DON'T GO
| Double You - Album N/A
| Quality |
| 3 | 2 | EVERYBODY'S FREE
| Fozzella - Everybody's Free
| Epic-52897 (Sony comp. # 1)H |
| 4 | 4 | HUMPIN' AROUND
| Bobby Brown - Bobby
| MCA-10617 (MCA comp. # 149)J |
| 5 | 6 | MOVE THIS
| Technotronic - Pump Up The Jam
| Sony Records-9333 (Capitol comp. # 1692)F |
| 6 | 3 | LOW SEX INTELLIGENCE
| The Shamen - Boss Drum
| Epic-52825 (Sony comp. # 2)H |
| 7 | 9 | C'MON & GET MY LOVE
| Boney M - This Is No Dream
| A&M (Promo CD single)Q |
| 8 | NEW | THE MAGIC FRIEND
| 2 Unlimited - Get Ready
| Quality |
| 9 | 2 | JUMP AROUND
| House Of Pain - House Of Pain
| Atco-1359-JQ |
| 10 | 10 | KEEP IT COMIN'
| C & C Music Factory - Buffy The Vampire ... Soundtrack
| Columbia-52854 (Sony comp. # 2)H |
### RPM CANCON TO WATCH
| TW | LW | WD | OCTOBER 10, 1992 |
|----|----|----|------------------|
| 1 | 1 | HOUSE ON FIRE
| Westlife - State Of Trance
| Warner Bros.-10092 (Warner comp. # 148)P |
| 2 | NEW | CRACKED
| The Watchmen - McLaren Furnace Room
| MCA-10657 (MCA comp. # 1792)J |
| 3 | 10 | HEART OF THE HEART
| Daniel Lavice - Here In The Heart
| MCA-10729 (MCA comp. # 1692)J |
| 4 | 6 | WEAR YOUR LOVE LIKE HEAVEN
| Sarah McLachlan - Donovan: A Nettwerk Compilation
| Nettwerk-30297-F |
| 5 | NEW | SOMEONE LIKE YOU
| Shania Messina - Unforgettable
| Duke-52815 (MCA comp. # 1692)J |
| 6 | NEW | DIG A LITTLE DEEPER
| Rik Emmett - Ibis Facto
| Duke-51079 (MCA comp. # 1792)J |
| 7 | 7 | SOMETHING TO SAY
| Lorraine Scott - Home Of Sharon
| WEA-75150 (Warner comp. # 147)P |
| 8 | 8 | NEVER GOING TO LET IT GO
| The Bosstones - What We Do
| WEA-75150 (Warner comp. # 148)P |
| 9 | 9 | TIL I FOUND YOU
| Lorraine Scott - All Talk
| Cold Front-10092 (Promo CD single) |
| 10 | NEW | PRINCESS
| Devon - It's My Nature
| Capitol-59845 (Capitol comp. # 230)F |
### RPM COUNTRY ALBUMS
| TW | LW | WD | OCTOBER 10, 1992 |
|----|----|----|------------------|
| 1 | 3 | VARIOUS ARTISTS
| More Country Hits
| RCA-74321-2 (RCA comp. # 149)N |
| 2 | 18 | BILLY RAY CYRUS
| Some Gave All
| Mercury-514.510.635-4-Q |
| 3 | NEW | GARTH BROOKS
| The Chase
| Liberty-96743-F |
| 4 | NEW | GARTH BROOKS
| Beyond The Passion
| Liberty-96743 |
| 5 | 25 | GARTH BROOKS
| Racin' The Wind
| Liberty-96743-F |
| 6 | 5 | GARTH BROOKS
| No Fences
| Liberty-93866-F |
| 7 | 4 | MICHELLE WRIGHT
| A Little Bit Of...
| Artists-18682-N |
| 8 | 8 | VINCE GILL
| I Still Believe In You
| MCA-10614 |
| 9 | 7 | MARK CHESNUTT
| Longneck & Short Stories
| MCA-10503-Q |
| 10 | 25 | PHARAOH OYSTER
| Everything Knows
| RCA-63102-4 |
| 11 | 6 | REBA McENTIRE
| For My Broken Heart
| MCA-10614 |
| 12 | 11 | CLINT BLACK
| The Hard Way
| RCA-52825 |
| 13 | 8 | THE RAWLIN FAMILY
| Fare Thee Well Love
| Capitol-99996-F |
| 14 | 12 | MARY-CHAPIN CARPENTER
| Come On Come On
| Columbia-47309 |
| 15 | 23 | TRAVIS TRITT
| T-R-O-U-B-L-E
| MCA-105048-P |
| 16 | 17 | WYNONNA JUDD
| Wynonna
| MCA-10529-3 |
| 17 | 11 | JOHN ANDERSON
| The Wind
| BNA/BMG-61029-N |
| 18 | 14 | MARTY STUART
| This One's Gonna Hurt You
| MCA-10614 |
| 19 | 16 | TRAVIS TRITT
| It's All About To Change
| MCA-105049-P |
| 20 | 23 | PATRICK CONROY
| Bad Day For A Hero
| WEA-77499-P |
| 21 | 18 | THE JUDDS
| The Wind Has Heard
| RCA-26102-1-17263-N |
| 22 | 15 | BROOKS AND DUNN
| Brand New Man
| Arista-18682-N |
| 23 | 24 | STOMPIN' TOM CONNORS
| Believe In Your Country
| Capitol-99599-F |
| 24 | 19 | CONFEDERATE RAILROAD
| Country Railroad
| Atlantic-82336-1 |
| 25 | 3 | SAWYER BROWN
| Cafe On The Corner
| Capitol-99599 |
| 26 | 27 | SHENANDOAH
| Long Time Comin'
| RCA-66501-N |
| 27 | 21 | GEORGE STRAIT
| I'll Be My Own
| MCA-10532-3 |
| 28 | 25 | ALAN JACKSON
| Don't Rock The Jukebox
| Arista-18682 |
| 29 | 28 | RODNEY CROWELL
| Life Is Messy
| Capitol-47965-H |
| 30 | 3 | COLLIN RAYE
| The Life
| Epic-46163-H |
| 31 | 32 | MARTINA McBRIEDE
| The Time Has Come
| RCA-30210-N |
| 32 | 33 | LORRIE MORGAN
| Something In Red
| RCA-30210-N |
| 33 | NEW | TRISHA YEARWOOD
| Hearts In Armour
| MCA-1084-IJ |
|
Reviews
"Oliver has done an exceptional job of highlighting the flawed logic in use in religious arguments today on all sides of the issue of faith."
"In this slim, well-written volume, Oliver presents an Islamist view of the world that should be read widely by people of all faiths for a greater understanding of Islam. Oliver has used passages from the Qur'aan to illustrate points of view that are poorly, if at all, understood by Westerners; his careful work has resulted in an excellent book, eminently readable and clear."
- Marlene Satter, ForeWord Magazine
"Sacred Freedom: Western Liberalist Ideologies In The Light Of Islam by Haneef Oliver is about conflict between Western attitudes and Islamic thought as manifested in the illusive ideologies of the democratic constructs of Western philosophy. Introducing a fascinating examination of atheism, humanism, pluralism, democracy and secularism, Sacred Freedom thoroughly grasps the wisdom of the Islamic faith and its way of life through many quotes from the Koran, as well as an extensive progression through the pluralistic and material world of the west. A welcome addition to the reading lists for students of Islam, Philosophy, Sociology, Middle Eastern Politics and Culture, Sacred Freedom is a very strongly recommended and informative addition to academic and community library Islamic Studies reference collections."
- James A. Cox, The Midwest Book Review
"Sacred Freedom isolates a number of broad themes within what we can call the Western tradition, and then questions them from an Islamic standpoint. The authority for Haneef Oliver's critique comes, as one would expect, from the Koran. Oliver correctly identifies passages from the Koran that appear to answer the
points raised in his critique."
- Nick Fielding
Senior Correspondent, *The Sunday Times*
"I have read Sacred Freedom (in Arabic) and found it to be beneficial and effective in dealing with its subject matter, particularly for non-Arabic speakers. Answering the thoughts and beliefs of those he is addressing, the author manifests the realities of Islam while clarifying the error of those he is replying to."
- Shaykh Muhammad 'Umar Bazmool (Ph.D.) Professor,
Umm al-Quraa University, Makkah
"A work of contemplation ... In his critical work *Sacred Freedom*, Haneef Oliver touches on various aspects of Western society which any fair-minded person would have to agree with ... Overall, I found this to be a fascinating work which I'm sure will provoke discussion due to its many glittering ideas and thoughts."
- Wilson John Haire (playwright, novelist)
*Within Two Shadows* (Royal Court Theatre, London)
*Lost Worlds* (Nation Theatre, London)
**Starting Point**
For non-Muslims [www.islaam.ca](http://www.islaam.ca)
For Muslims [www.salaf.com](http://www.salaf.com)
SACRED freedom
WESTERN LIBERALIST IDEOLOGIES IN THE LIGHT OF ISLAM
Haneef Oliver
Copyright © 2005 by Haneef Oliver
All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means electronic or mechanical, including photocopy, recording, or any information storage and retrieval system now known or to be invented, without permission in writing from the publisher, except by a reviewer who wishes to quote brief passages in connection with a review written for inclusion in a magazine, newspaper, broadcast, or website.
ISBN: 0-9776996-0-9
Library of Congress Control Number: 2005938193
Cover Design: Asl Concept and Design (firstname.lastname@example.org)
Published in the United States by WestPoint Publishing.
Distributed to the trade by BookMasters.
2541 Ashland Road
Mansfield, OH 44905
Available online and in bookstores.
For quantity orders and discounts, call: 800-247-6553 (Fax: 419-281-6883)
Email: email@example.com
Setting our own bounds of freedom appears to be liberating and attractive like the limitless nature of a gleaming, bright sky. However, what really lies behind this image that we create for ourselves?
## Contents
**Introduction** 1
**Why Do Muslims Reject Atheism?** 5
- People’s Beliefs About the Existence of God 5
- Signs of the Creator’s Existence 8
- A Revealing Illustration 10
**Why Do Muslims Reject Worshipping Others Along With God?** 13
- Ingratitude 13
- The Greatest Crime Imaginable 16
- The View of Liberalist Ideologies Towards Polytheism 19
**Can Mankind Rightfully Formulate Their Own Religion?** 21
- A World Without True Meaning 21
- One God, One Way 22
- An Inability to Comprehend Our Purpose of Existence 26
- A Cause for Disorientation, Discord and Discontent 28
- Cutting and Pasting Religious Views 30
- Creating Moral Anarchy 31
- A Conclusive Proof 32
**How Does Islaam Enlighten People?** 33
- The Contributions of Islaamic Civilization 33
- Humanism: The Cause of Straying in Western Thought and Belief 34
- A Forgetful and Unbalanced Approach to Science 36
- An Imbalance That Leads to a State of Confusion 37
- How Islaam Encouraged Nations of People to Acquire Knowledge For Over a Millennium 37
- A Prevailing Doubt in the World Today: “Look at the State of Affairs of the Muslims!” 39
- A Return to a Balanced Approach in Acquiring Knowledge 40
**Is Islaam a Regressive Religion and Way of Life?** 43
- The True Causes of Decline 43
- The Flowering of a Great Civilization 45
- Leaving Off the Correct Practice of Islaam: A Historical Turning Point 46
**Understanding Freedom, Diversity and Tolerance** 49
- The Coerced Freedom to Accept Western Values 49
- Forming Consent to Serve an Intolerant Ideology 49
| Topic | Page |
|----------------------------------------------------------------------|------|
| The Realities of Liberalism | 50 |
| The Freedom to Disobey the Creator | 53 |
| A Point of Agreement | 54 |
| Ensuring Injustice and Exploitation Through Perceived Freedoms | 54 |
| Creating Ethical Limbo | 57 |
| The Migration of Ethics From Law | 58 |
| Determining Mankind’s True Criterion in Resolving Problems | 58 |
| Safeguarding Legitimate Rights and Freedoms | 61 |
| Is Democracy the Answer to Mankind’s Woes? | 65 |
| Liberalism and Democracy Through Occupation and Coercion | 65 |
| The Realities of Democracy | 66 |
| A Lurking Threat to Mankind | 68 |
| Democracy Encourages Seeking Fame and Authority | 70 |
| Seeking Fame and Authority: A Corrupting Force | 72 |
| Is Secularism a Sound Ideology? | 75 |
| Does Secularism Exist in the Bible? | 75 |
| Marginalizing the Creator’s Religion | 77 |
| Altering God’s Religion According to Desire | 81 |
| The True Reality Behind Secularist Thought | 83 |
| A Glaring Lack of Trust and Certainty | 85 |
| The Consequences of Following Incorrect Beliefs and False Ideologies | 87 |
| A Creation Brought Into Existence Without Knowledge, Will and Ability?| 87 |
| The Doubts of the Polytheists | 89 |
| The Source of All Liberalist Ideologies | 91 |
| The Danger of Blindly Following Others | 93 |
| An Unsubstantiated Doubt Surrounding the Coming of the Day of Judgement | 93 |
| The Arrival of This Day | 95 |
| The Final Outcome | 97 |
After the events of September 11, I saw the need to compile a book about terrorism and religious extremism in the world today. After publishing this book, it occurred to me that another subject - that of negligence in religious affairs - was also in desperate need of being addressed for both Muslim and non-Muslim readers.
On a daily basis, we are being inundated with different kinds of man-made liberalist ideologies in the mainstream media. Because of the sheer volume and almost monotone voice of many media outlets, people are given the impression that these ideologies must be accepted by every living individual and society in the world today, and that the validity of these ideologies is not open to question.
At present, Westerners and liberalists in general are intrigued as to why people are still turning to Islaam for enlightenment in this modern age. This is particularly intriguing for those who are convinced that Islaam is something that impedes progress, and that Islamic civilization has proven to be inferior to other civilizations as a result of its adherence to Islaam. This subject has been addressed in this book as a response to Italian Prime Minister Silvio Berlusconi’s remark that Islamic civilization is “stuck where it was 1400 years ago.”
I have also analyzed the two main reference points in Western humanist thinking throughout the book. The first of these is the belief that people are free and responsible for deciding their own actions, and therefore, that God should only have a personal, marginal place in their lives. The other important point of reference for Western policy and societal orientation is the belief that the opinion of the majority should act as mankind’s principle criterion in shaping human behaviour and legislation.
One of the major points of contention that liberalists have with Islaam is the reluctance the Muslim world has shown in embracing these two principles. Some liberalists take a more militant approach in trying to spread
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1 Berlusconi: The West must conquer Islam, Associated Press, Salon, September 26, 2001.
these two principles in the Muslim world, while others censure these tactics, hoping that more temperate policies will win the Muslims over to contemporary humanist values. Whatever the method, the message remains the same: Muslims must change their beliefs and eventually conform to this ever-changing series of humanist values.
After reading this book, the reader will be able to judge whether the devotion that people have towards these two principles is deserved, and whether there is any basis for people’s opposition to the principles of Islaam.
The reader will notice that the first two chapters establish certain essential matters that are referred to later on when discussing issues related to contemporary Western ideologies. The first chapter deals with the subject of how we can know that a Creator does actually exist, while the second chapter deals with why this Creator deserves to be worshipped and served alone in our lives.
It should be noted that the concept of worship in Islaam is much broader than just a limited set of religious rites. Prayer, charity, good treatment of parents, decency towards people and excellence in the workplace are only a few examples of how a Muslim is expected to worship the Creator.
In order to substantiate what I have written from an Islaamic perspective, I have quoted quite extensively from the texts of Islaam. In quoting verses from the Qur’aan, I have avoided using archaic English as is found in some Biblical and Qur’anic translations, as it tends to render some of the subject matter obscure. What has been written below the Arabic verses found in this book is a “translation of the meaning” of the Qur’aan, as opposed to a literal translation.
In certain rare instances, I have included some verses from the Old and New Testaments. Muslims believe in the scriptures that were given to the former prophets. However, they do not believe that the scriptures that are in circulation today amongst the present day Jews and Christians are exactly the same as they were when they were originally revealed. Consequently, Muslims neither accept nor reject their contents, unless a matter can be confirmed or negated by a verse of the Qur’aan or an authentic hadeeth (prophetic narration).
It is my hope that this book will contribute to a better understanding of Islaam, and I welcome any kind of feedback from anyone who finds any points of contention within it.
Haneef Oliver
1425/7/6
21/08/2004
3
Atheism can be described as the belief that no creator exists, and that the universe was not brought about by divine knowledge, will and ability. Although many famous people have claimed to be atheists or agnostics\(^2\) throughout history, they have often been found to be a minority within their communities.
On October 16, 2003, Opinion Dynamics Corporation released a national poll showing that “92 percent of Americans say they believe in God.”\(^3\) Indeed, a large portion of mankind affirms some kind of belief in the existence of God, as this is something that is known to mankind by way of the natural disposition that God has given mankind to know instinctively about His existence, and that He was the cause of their coming to being.\(^4\)
Even those few who deny the existence of God, do so only by covering up this natural disposition which they were given, allowing pride and doubt to dominate their instinctive awareness of their Creator. This was the case of the Pharaoh who oppressed Moses (‘Alayhis-Salaam)\(^5\) and the Children of Israel. Pharaoh not only denied the existence of Allaah,\(^6\) but he also claimed to be the
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\(^2\) An agnostic has been defined as “a person who is not sure whether or not God exists.” (Oxford Advanced Learner’s Dictionary, Oxford University Press, Walton Street, Oxford, 1995, p. 582.)
\(^3\) Dana Blanton, More Believe In God Than Heaven, FOX News, October 16, 2003.
\(^4\) Mankind was given this instinctive awareness of their Creator. However, the details of how to worship and obey Him do not come by way of this fitrah, but instead, by way of revelation.
\(^5\) ‘Alayhis-Salaam is a supplication that a Muslim repeats after mentioning the name of a prophet, which means, “Peace be upon him.”
\(^6\) Although most Westerners refer to the Creator by using the word God, English speakers have actually only used this word as a substitute for the true name of the Creator that He revealed in His books. The name of the Creator in the Bible has been transliterated into the English language as El, Elah, Elohim (expressed in the plural form to convey His grandeur; this word is taken from the singular form Eloh), Eloah, Eli and Eloi. The AraLord of the worlds. In the final revelation given to mankind, Allaah said:
فَحَسَرَ فَنَادَىٰ ۖ فَقَالَ أَنَا رَبُّكُمْ الْأَعْلَىٰ
Then he (Pharaoh) gathered (his people) and called out, saying, “I am your Lord, Most High.”
[79:24]
This statement by Pharaoh was not made out of true conviction, but rather, out of arrogance:
وَجَحَدُواْ بِهَا وَاسْتَيْقَنَتْهَا أَنفُسُهُمْ ظُلْمًا وَعُلُوًّا
فَانظُرْ كَيْفَ كَانَ عَاقِبَةُ الْمُفْسِدِينَ
And they rejected those Signs in iniquity and arrogance, though their souls were convinced thereof: So see what was the end of those who acted corruptly.
[27:14]
Pharaoh’s arrogance was swiftly terminated when Allaah parted the sea for Moses (صلى الله عليه وسلم) and his followers, and Pharaoh was made to see that he was going to die, and meet the One whom he denied:
وَجَنَّوْنَا بَيْنَ إِسْرَائِيلَ الْبَحْرَ فَاتَّبَعُهُمْ فَرَعَوْنُ وَجَنَّوْهُمْ بَغْيًا وَعَدْوًا حَتَّىٰ أَدْرَكَهُمُ الْغَرقُ قَالَ ءَامَنتُ أَنَاٰ لَا إِلَهَ إِلَّا اللَّهُ ءَامَنتُ بِهِ بُنُوٰ إِسْرَائِيلَ وَأَنَاٰ مِنَ الْمُسْلِمِينَ ۚ ءَالَئِمَّ وَقَدْ عَصَيتَ قَبْلَ وَكُنتَ مِنَ الْمُفسِدِينَ
فَآَلَيْمُمْ ثُمَّ جَابَ يَبْدَئُكَ لِتَكُونَ لِمَنْ خَلْفَكَ ءَابَةً وَإِنَّ كَثِيرًا مِّنَ آلَنَّاسِ عَنَّ ءَابَيْنَا لَغَفَلُونَ
We took the Children of Israel across the sea; Pharaoh and his hosts followed them in oppression and enmity, till when drowning overtook
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maic name for the Creator is Alah. In summary, the roots and meanings of all these transliterations are essentially the same. El, Eli, Eloi, Eloh, Eloah, Elah, Alah, Allah, or Allaah; all of these words are human efforts at transliterating the true name of the Creator from Semitic languages to the English language.
him, he said: “I believe that none has the right to be worshipped but He in Whom the Children of Israel believe, and I am one of those who submit (to His Will in Islaam).”
Now (you believe)? And you had disobeyed (Us) before, and were one of the corrupting evildoers.
So this day We shall deliver your (dead) body (out from the sea) that you may be a Sign to those who come after you. And verily, many among mankind are heedless of Our Signs.
[10:90-92]
Likewise, when faced with life or death situations such as being in a plane that is about to crash, those who claim to be agnostics or atheists often find themselves instinctively supplicating to their Creator to relieve them of their distress. Their resorting to pray to their Creator only occurs when all other worldly means have been exhausted, knowing that no pilot, motor or parachute can help them. This is the time they lift the veil of self-deceit and turn to their Creator alone, although it was their Creator who had always been controlling all the affairs they had previously been relying on.
Say (to them, O Muhammad): “Who is it that delivers you from the dark recesses of land and sea, when you call upon Him in humility and silent terror: ‘If He only delivers us from these (dangers), (we vow) we shall truly show our gratitude?’”
Say: “Allaah rescues you from this and from all (other) distresses, then you worship others besides Him.”
[6:63-64]
When these people who claimed they were agnostics or atheists single out Allaah, praying to Him in their dire time of need, they suddenly come to the realization that He exists, and that only He can help them. This realization comes about as a result of their awareness that Allaah is the One who possesses all power and ability as regards all things, that He is all encompassing, fully acquainted with them, and controlling their affairs.
Signs of the Creator’s Existence
To illustrate this necessary conclusion, a simple analogy can be drawn. Prosecutors are known to bring forward evidences such as DNA samples, footprints and fingerprints, to find people guilty of certain crimes that nobody has actually witnessed. Just as footprints in the ground point to the fact that a person had once walked in that place, examining Allaah’s Signs within His creational arrangement proves conclusively that every single thing that exists within the universe came about by a Most Wise Creator.
Indeed, one can come to this realization by turning to the created things and reflecting upon their nature, in order to conclude that they did not come about by themselves. Only One who possesses infinite knowledge and the capability to create would be able to bring the universe and all it contains into being, and to balance and administrate all of its affairs in such a stable manner.
Allaah invites mankind to reflect upon the creation and its sophistication in order to conclude that only a Most Wise and knowledgeable Creator created them, and that as such, nothing deserves to be worshipped or served except Him:
إِنَّ فِي خَلْقِ السَّمَاوَاتِ وَالْأَرْضِ وَآخِرَةِ
اللَّيْلِ وَالنَّهَارِ لَآتِيَتُ لَكُمْ آيَاتٍ
Verily, in the creation of the heavens and the earth, and in the alternation of night and day, there are indeed Signs for men of understanding.
[3:190]
Shaykh ‘Abdur-Razzaaq al’Abbaad, a contemporary academic, said: “Contemplate the night and day; they are amongst the most amazing Signs of Allaah. See how He made the night for resting and as a covering. It envelops the world causing the cessation of activities. Animals retire to their dwellings and the birds to their nests. The souls relax and take rest from the pains of their labour and fatigue until when the souls are reposed and have slept, they now look forward to their livelihood and its disposal. The Splitter of the morning (الفجر) brings forward the day, His army giving glad tidings of the (coming of) the morning. It vanquishes that darkness and tears it asunder, unveiling the darkness from the world. Thereafter, the inhabitants are able to see. The animals then circulate about the land and proceed to manage their livelihood and welfare, and the birds depart from their nests. What a returning and arising, which is so indicative of Allaah’s capability (to assemble the creation) for the Major Return.\textsuperscript{7}
Now ponder over the delicate and fine air that is held captive between the sky and earth. It is sensed through feeling when it blows; its substance is felt but its form cannot be seen. It runs between the sky and earth; the birds circle and fly in it, swimming with their wings just as the fish of the sea swim in water. Its sides and gusts collide against each other when in commotion, just as the waves of the ocean clash.
Consider how Allaah (ﷻ) forms with this wind, clouds that are held between the sky and earth. The wind excites the clouds causing them to rise and become dense. Allaah then combines the clouds together and merges them, and drives them by the wind to the land in need (of rain).
When they rise and ascend above the land, their water falls upon it. Allaah dispatches the winds whilst the clouds are in the atmosphere. The winds scatter and separate the clouds so that they do not harm or destroy what they would if the water were to descend upon it all at once. Once the land takes its fill and need, the clouds leave off the land and disperse. Thus, these clouds water the earth and are carried by the winds.”\textsuperscript{8}
The light of day is also an astounding Sign of a great Creator. Dangerous ultraviolet and infrared radiation are highly absorbed by the earth’s atmosphere, thus protecting mankind from being exposed to, and harmed by them. In contrast, sunlight that is necessary for mankind’s existence is allowed to pass through the earth’s atmosphere. Is this an accident?
If the sun were any closer to the earth, heat and radiation would destroy us, and conversely, if the sun were any farther from the earth, all life would cease. An incredibly complex equilibrium is constantly maintained in all affairs, and amazingly, the laws that govern this equilibrium maintain the same unity throughout the whole universe. Could this possibly have occurred through a process of random self-assembly?
Those who believe in chance concede that it is something which is not by nature ordered. Once this is understood, the following question must be asked: \textit{How could something that is by nature disordered consistently create order?} This is a scientific impossibility. Hence, it must be concluded that not only has a Creator created our universe, but that He is also continually administrating its awe-inspiring affairs.
\textsuperscript{7} The Day of Resurrection and Judgement
\textsuperscript{8} Shaykh ‘Abdur-Razzaaq al-‘Abbaa’d, \textit{Asbaab Ziyaadatil-Eemaan wa Nuqsaanihi}, Ghiraas lin-Nashr wat-Tawzi’, pp.40-41.
A Revealing Illustration
To demonstrate the error of those who deny the existence of a Creator, one may consider the ordinary example of how a book comes into being. The existence of a book necessitates the existence of a publisher who possesses three attributes: Firstly, this publisher must possess the knowledge of the required fields of expertise for the production of this book. Secondly, the publisher must possess the will to carry out such a task by consciously embarking upon this project. Thirdly, the publisher must possess the ability to carry out the task of creating the pages, cover and binding of the book while finishing it with distinction.
Once this is understood, the irrationality of claiming that a book created itself, or that it came about by mere chance, becomes apparent. Is it possible to legitimately claim that a book came about without a publisher, or that this universe came about without a Creator - solely on the basis that this publisher or Creator has not been seen?
In actuality, understanding that a Creator exists is much easier to grasp than understanding that a simple object like a book has an originator, as the formation of our universe is far more sophisticated than the formation of any one particular object. Accordingly, the Creator stated regarding those who deny His existence:
“أَمْ خَلُقُوا مِنْ عَيْرٍ شَيْءٍ أَمْ هُمْ الْخَلَّاقُونَ ۖ
أَمْ خَلُقُوا السَّمَاوَاتِ وَالْأَرْضَ بَلْ لَا يُوقَنُونَ”
“Were they created by nothing, or were they themselves the creators?
Or did they create the heavens and the earth?
Nay, they have no firm belief.”
[52:35-36]
These verses prove that just as it would be impossible to claim that a book was created by nothing, it would also be impossible to claim that mankind was created by nothing. Likewise, just as it would be impossible to claim that a book created itself, it would also be impossible to claim that we created ourselves. Only one other possibility exists; that mankind and everything in this universe was brought about by an All-Knowing Creator.
It can be concluded that all things are known to come into existence by designers that possess the three attributes of knowledge, will and ability to create. No other conclusion can be drawn, except that our universe was fashioned by a Creator who possesses the knowledge, will and ability to create such an incredibly awe-inspiring formation.
Indeed, certain pieces of evidence left behind at the scene of a crime are considered incriminating proofs that lead courts to settle cases in an absolute manner. In the same way, Allaah’s Signs within His creation and the logical evidences contained within His revelation contain even more definite proofs that we were created by an All-Knowing, All-Powerful God.
وَفِي الْأَرْضِ أَيْتَامٌ لاَّ يَنفَعُهُمْ نَفْسُهُمْ وَالْبَرَاءَةُ مِنَ الْكُفْرَانِ أَفَلَا تُبْصِرُونَ
“And upon the earth are Signs visible to all who have faith with certainty, just as there are Signs within your own selves.
Will you not then see?”
[51:20,21]
Ingratitude
Once one accepts that a Creator exists, who alone, is continually creating, sustaining and administrating the universe, it becomes logically obvious that those who worship and serve the Creator alone, do so in truth. Indeed, would it be reasonable to affirm the Oneness of the Creator in His creational and administrative capabilities, and then proceed to worship and serve others along with Him?
That is because Allaah - He is the Truth,\(^9\) and what they invoke besides Him is falsehood. And verily, Allaah - He is the Most High, the Most Great.
[22:62]
In the final revelation sent down to mankind, the Creator clarified that He deserves to be worshipped alone, as well as why this is the case.\(^{10}\) Simi-
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\(^9\) The only True God of all that exists, who has no partners or rivals along with Him; neither in His creational capabilities, nor in His right to be worshipped alone.
\(^{10}\) All of the Prophets followed a clear and set methodology in making monotheism the starting and ending point of their call. The Old Testament is full of verses that call for the singling out of Allaah in all worship. In Deuteronomy 6:13, it is mentioned that only God alone should be served: “Fear the Lord your God, serve Him only and take your oaths in His name.”
Hosea 13:4 states that there is no other God who saves His servants from His punishment except Him: “I am the Lord your God who brought you out of Egypt. You shall acknowledge no God but me, no saviour except me.”
larly, He has also clarified the state of those who worship others besides Him, such as stars, trees, idols, angels, prophets, pious people and the like. He has shown how these objects of worship never created anything that might justify their being worshipped and served. On the contrary, they existed for a limited period, and faded as a subject of creation, bound by the laws of the Creator.
After reminding us about all the creational favours He has provided, our Creator asks us in the following verses whether we would be able to create any of the wondrous matters of His creation that He originated from nothing. Furthermore, we are asked whether it is befitting that the countless gods and goddesses that are raised and then forgotten about throughout the ages should receive any kind of devotion after all He has provided for us:
أَمْنَ خَلَقَ الْسَّمَاوَاتِ وَالْأَرْضَ وَأَنْزَلَ لَكُمْ مِنْ أَسْمَاءٍ مَا ظَنْتُمْ بِهِ
حَدَّ أَيْقَ ذَاتٍ بِهِجَّةٍ مَا كَانَ لَكُمْ أَنْ تُنْتَوْا شَجَرَهَا
أَلِهَّهُ مَعَ اللَّهِ بَلْ هُمْ قَوْمٌ يَعْبُدُونَ
Is not He Who created the heavens and the earth, and sends down for you rain from the sky, whereby We cause to grow wonderful gardens full of beauty and delight, (better than the gods you worship)? It is not in your ability to cause the growth of their trees.
Is there any god along with Allaah?
Although there do exist some verses in the New Testament which imply divinity for Jesus (عيسى), these verses clearly contradict many other verses, in which Jesus (عيسى) is reported to have affirmed divinity only for the One who sent him as a prophet, not as a god: “And this is the life eternal, that they might know thee, the only true God and Jesus whom you have sent.” (John 17:3)
The existence of a minority of verses in the New Testament attributing divine status to Jesus (عيسى) can be attributed to later additions which dishonest priests and scribes added to the original texts. The call of each prophet was not that they be worshipped, but rather, to tell the people, “Worship Allaah: You have no other god but Him.” (The Qur’aan 23:32)
Jesus did not differ from the prophets who came before him, as he fulfilled his responsibility of telling mankind about monotheism. What is found in the Qur’aan, namely, “None deserves to be worshipped or served except Him,” is what Jesus (عيسى) and all the prophets taught. It was only those who came after Jesus who changed his message: “For it is written: Worship the Lord your God, and serve Him only.” (Matthew 4:10)
Nay, but they are a people who ascribe equals (with Him).
أَمْنَ جَعَلَ الْأَرْضَ قَرَارًا وَجَعَلَ يَخْلَلُهَا أَنْتَ هُوَ وَجَعَلَ هَا رَوْسَى وَجَعَلَ بَيْنَ الْبَحْرَيْنِ حَاجِزًا أَمْ لَهُ مَعَ أَنْتَ بَلْ أَصْطَرُهُمْ لَا يَعْلَمُونَ
Is not He Who has made the earth as a fixed abode, and has placed rivers in its midst, and has placed firm mountains therein, and has set a barrier between the two seas (of salt and sweet water), (better than the gods you worship)?
Is there any god along with Allaah?
Nay, but most of them know not.
أَمْنَ تُحِبُّ الْمُضْطَرَ إِذَا دَعَا وَيُكْشِفُ السُّوءَ وَيَجْعَلُكُمْ خَلْفَاءَ الْأَرْضِ أَمْ لَهُ مَعَ أَنْتَ قَلِيلًا مَا تَدْكُرُونَ
Is not He Who responds to the distressed one, when he calls on Him, and Who removes the evil, and makes you inheritors of the earth, generations after generations, (better than the gods you worship)?
Is there any god along with Allaah?
Little it is that you remember.
أَمْنَ يَهْدِيكُمْ فِي ظُلُمَتِ الْبَرِّ وَالْبَحْرِ وَمَنْ يَرْسِلُ الْرِّيحَ بُنْزِرًا يَبْدِئُ رَحْمَتَهُ أَمْ لَهُ مَعَ أَنْتَ نَعْلَى أَنْتَ عَمَّا تُبْرِكُونَ
Is not He Who guides you in the darkness of the land and the sea, and Who sends the winds as heralds of glad tidings, going before His Mercy [rain], (better than the gods you worship)?
Is there any god along with Allaah?
High and Exalted is Allaah above all that they associate as partners (with Him).
أَمْنَ يَبْدُؤُوا الْخَلْقَ ثُمَّ يُبْدِئُهُ وَمَنْ يَرْزُقُكُمْ مِنَ الْسَّمَاءِ وَالْأَرْضِ أَمْ لَهُ مَعَ أَنْتَ قَلْ هَاتُوا بُرهَانَكُمْ إِنْ كُنتُمْ صَادِقِينَ
Is not He Who originates creation, and shall thereafter repeat it,
and Who provides for you from heaven and earth,
(better than the gods you worship)?
Is there any god along with Allaah?
Say (to them):
“Bring forth your proofs, if you are truthful.”
[27:60-64]
The Greatest Crime Imaginable
People concede that crimes which are perpetrated against the creation can be great in nature. How much greater then, must the level of crime be, if it is perpetrated against the One who brought these forms of creation into being?
How can you disbelieve in Allaah? Seeing that you were dead and He gave you life; then He will cause you to die, then again will bring you to life (on the Day of Resurrection); then unto Him you will return.
[2:28]
Indeed, it has been clarified in the Qur’aan that the greatest crime someone can commit is to attribute partners to the One who possesses absolute power and control over the universe. This crime is perpetrated when people worship and serve others along with God after He has mercifully provided for them in uncountable ways.
Contemplate the countless favours our Creator has provided for man-kind, such as the blessing of gravity. This incredible force is perfectly balanced, preventing us from either floating in the air, or being too weighted down to the ground. Likewise, profound reflection upon the uncounted blessing of how our lungs and heart extract oxygen from the air point to the all-encompassing nature of our Creator’s wisdom, capability and generosity towards us. Through the process of respiration, our cardiovascular system is able to function, keeping us alive and well. Interestingly, it is not impossible for someone to expect their heart to function for a period of approximately seventy years, yet we do not expect an engine to function without rest for even a portion of this time.
Consider the miraculous nature of our digestive system and how it breaks down all the necessary components of food that we need. Distributing necessary nutrients to our body, it also expels any harmful wastes. Furthermore, the intestinal bacteria that exist in our digestive tract constitute an important part of
our immune system, which fights off disease and infection.
Indeed, the balance and control of the components of every atom within ourselves not only indicate the existence of a Creator, but also attest to the great favours He continually bestows upon us. Mankind tends to be ungrateful for these favours, either by being unmindful of them, or by refusing to acknowledge them to begin with.
وَإِنَّ الْبَطِلِيْنَ لَيُؤْمُونُ وَيَنْعَمُتُ اللَّهُ هُمْ يَكْفُرُونَ
Do they then believe in falsehood, and deny the favours of Allaah?
[16:72]
The discerning are able to ponder over the uncountable favours Allaah has bestowed upon them and appreciate the excellence of their arrangements, their beauty and their perfection. However, every kind of perfection that can be witnessed in these creations is incomparable with the perfection of the Creator. Those who come to this realization understand that all these creational favours call to the glorification of their originator, gratitude and attachment to Him, and sincerity in singling Him out in all forms of worship and servitude.
Nevertheless, even if a person were to attempt to establish every kind of worship known in a continuous fashion, never would this individual be able to fulfill the gratitude the Creator deserves for these favours. For this reason, God is Oft-Forgiving, Most Merciful, and is pleased with only an undemanding amount of thankfulness, while He provides much.
وَإِنْ تَعْدُوْ نِعْمَةَ اللَّهِ لَا تُحْصُوْهَا إِنَّ اللَّهَ لَغَفُورٌ رَحِيمٌ
And if you would count the favours of Allaah, never would you be able to enumerate them. Truly, Allaah is Oft-Forgiving, Most Merciful.
[16:18]
The One who has provided us with the faculties of hearing, seeing and understanding has explained that worshipping and serving others along with God constitutes an immense form of ingratitude. This is especially so when understanding that these objects of worship never played any part in originating any of these favours. Consequently, it is the only sin that will never be forgiven if a person dies in such a state without repenting:
إِنَّ اللَّهَ لَا يَغْفِرُ أَنْ يُشْرِكَ بِهِ وَيَغْفِرُ مَا دُونَ ذَلِكَ لِمَنْ يَشَاءُ
Verily, Allaah forgives not that partners should be set up with Him (in worship), but He forgives what is less than that for whom He wills; and whoever sets up partners with Allaah in worship, has indeed invented a tremendous sin.
[4:48]
Many Christians believe that the Prophet Jesus (صلى الله عليه وسلم) was part of a trinity, and as such, is worthy of being worshipped along with God. Christians are not alone in this kind of deification. Some people who ascribe themselves to Islaam have deified individuals who are of much lesser standing than Jesus (صلى الله عليه وسلم). Upon reflection, it can be realized that none of these individuals, no matter how great or pious they were, are deserving of any share of worship.
The Messiah (Jesus) son of Mary was no more than a Messenger; many were the Messengers that passed away before him. His mother was a woman of truth.\(^{11}\) They both used to eat food.\(^{12}\) Look how We make the Signs clear to them, yet look how they are deluded away (from the truth).
[5:75]
Not only are these things or people that are worshipped besides God incapable of creating anything, they cannot even hear the invocations that people make to them. Consequently, these objects of worship can neither benefit them nor harm them.
\(^{11}\) Meaning: She believed in the words of Allaah and His Books.
\(^{12}\) Meaning: They both used to eat food as any other human being, while Allaah does not need sustenance. If Jesus used to eat food, it would not make logical sense to believe that he is part of a divine trinity, or that he be called the Lord, or that he be worshipped along with God.
And who is more astray than he who invokes besides Allaah, those who will not answer him until the Day of Resurrection, and are not even aware of their being called upon?
[46:5]
The View of Liberalist Ideologies Towards Polytheism
According to liberalist ideologies, these types of polytheistic transgressions towards the Creator are not recognized as crimes. On the contrary, they are encouraged, and those who take part in them are considered to be the same as anyone else, or often deemed better than others. On the other hand, those who closely follow the way of the prophets and single out the Creator in all worship and obedience are considered to be backwards and misguided.
Is one who is obedient to Allaah, prostrating himself and standing (in prayer) during the hours of the night, fearing the hereafter and hoping for the Mercy of his Lord, (like one who disbelieves)? Say (to them): “Are they the same; those who know and those who do not?” Only those who are endowed with understanding will receive admonition.
[39:9]
Can Mankind Rightfully Formulate Their Own Religion?
A World Without True Meaning
Existentialism is the theory that human beings “are free and responsible for their own actions in a world without meaning or God.”\(^{13}\) Although many liberals would not like to openly state they believe that life has no meaning or that there is no God, a closer examination of their beliefs shows they agree with some of the principles of existentialism. Many liberals hold that there is no absolute truth to be followed in life, and that God exists, but should be relegated to only a minimal, private aspect of mankind’s lives.
On November 27, 2001, *The New York Times’* Thomas Friedman conformed to these principles when he made the statement that God “is not exhausted by just one faith.” Friedman’s reason for holding this pluralistic belief is based upon the fact that “God speaks multiple languages.” Friedman is truly representative of this popular mode of thinking in his criticism of what he terms “exclusivist religious visions.” In an effort to support this criticism, Friedman states that God “speaks Arabic on Fridays, Hebrew on Saturdays and Latin on Sundays.”
وَمِنَ الْإِنسَانِ مَنْ يُجَادِلُ فِي اللَّهِ بِغَيْرِ عِلْمٍ وَلَا هُدًى وَلَا كِتَابٍ مُّبِينٍ
And among men is he who disputes about Allaah without knowledge, without guidance, and without a Book of Enlightenment.
[22:8]
Ultimately denying that Allaah is capable of sending down true revelation or that He has a specific will for His creation, Friedman continued his pluralist call with the romantically charged notion that God “welcomes different human beings approaching him through their own history, out of
---
\(^{13}\) Oxford Advanced Learner’s Dictionary, Oxford University Press, Walton Street, Oxford, 1995, p. 403.
their language and cultural heritage.”\textsuperscript{14} In short, Friedman believes that human beings are free to do as they like in a world without absolute truth or meaning, with each individual formulating their own truth and meaning to life.
\textbf{One God, One Way}
This pluralistic pretext can also be witnessed in the commonly held belief that there are “three Abrahamic faiths of Christianity, Islam and Judaism.”\textsuperscript{15} Although it is a popular contemporary belief to state that there are three Abrahamic faiths, in actuality, the Bible does not contain any instruction to enter into a religion called Judaism or Christianity. Noah (عليه السلام), Abraham (عليه السلام), Ishmael (عليه السلام), Isaac (عليه السلام) and Jacob (عليه السلام) came before the words Judaism and Christianity even existed.
\begin{quote}
ما كان إبراهيم يهودياً ولا نصرانياً ولكن كان حنيفاً مستلماً وما كان من المشركين
\end{quote}
“Abraham was neither a Jew nor a Christian, but he was \textit{Haneefan Musliman} [an upright Monotheist who submitted himself to Allaah], and he was not of those who associated partners with Allaah in worship.”
[3:67]
For this reason, the One who sent Abraham as a prophet addressed those who would dispute this matter, saying:
\begin{quote}
يَا أَيُّهَا الَّذِينَ آمَنُوا لَا تَحَاجُّونَ فِي إِبْرَاهِيمَ وَمَا أَنْزَلْتُ الْكِتَابَ
وَالْإِنجِيلَ إِلَّا مِن بَعْدِهِ أَفَلَا تَعْقِلُونَ
\end{quote}
O people of the Scripture!\textsuperscript{16} Why do you dispute about Abraham, while the Torah and the Gospel were not revealed till after him? Have you then no sense?
[3:65]
Consequently, there is no such thing as three Abrahamic faiths, as Abraham and his descendants only had one system of belief, which was the way of his Creator. All of the prophets were commanded to submit to the One God
\textsuperscript{14} Thomas L. Friedman, The Real War, \textit{New York Times}, November 27, 2001.
\textsuperscript{15} Chris Herlinger, Faiths probe forces of evil, \textit{The Sun Herald}, May 21, 2004.
\textsuperscript{16} Jews and Christians
worthy of all worship, and to follow His single way. In Arabic, this form of submission is called Islaam, a comprehensive word chosen by the Creator to allude to the act of submitting to Him and following His message.
وَمَنْ يَرْجِعْ عَنْ مَلَّةٍ إِبْرَاهِيمَ إِلَّا مَنْ سَفَهَ نَفْسَهُ وَلَقَدْ أَصْطَفَيْنَاهُ فِي الدُّنْيَا وَإِلَى اللَّهِ يَوْمَئِذٍ تُرْجَعُونَ إِذْ قَالَ لَهُ رَبُّهُ أَسْلِمْ قَالَ أَسْلَمْتُ لِرَبِّ الْعَالَمِينَ وَوَضَعْتُ بَيْنِي وَعْقَدَ بَيْنِي إِنَّ اللَّهَ أَصْطَفَى لَكُمُ الْدِينَ فَلَا تَمُوتُنَّ إِلَّا وَأَنتُمْ مُسْلِمُونَ
And who turns away from the religion of Abraham except one who befools himself? Truly, We chose him in this world and verily, in the Hereafter, he will be among the righteous.
(Remember) when his Lord said to him, “Aslim (submit).”\(^{17}\) He said, “I have submitted (in Islaam) to the Lord of the worlds.”
And Abraham instructed his sons (to submit in Islaam), and (so did) Jacob, (saying), “O my sons, indeed Allaah has chosen for you this religion, so do not die except as Muslims (i.e. those who have submitted themselves to God).”
\[2:130-132\]
All of the Prophets taught the same message of submission to the One God. Not only was the essence of their call the same, many matters of worship were also very similar from one prophet to another.\(^{18}\) However, differ-
---
\(^{17}\) Aslim is the command from the Arabic verb aslama, and the word Islaam and Muslim all stem from this verb of submitting or surrendering oneself to God.
\(^{18}\) Muslims are commanded to make ablution (ceremonial washing) before they pray, just as the former nations were too. With time, these nations left the way of their messengers, and consequently, have lost this and other forms of worship:
“And he set the laver between the tent of the meeting and the altar, and put water in it for washing, with which Moses and Aaron and his sons washed their hands and their feet…as the Lord commanded Moses.” (Exodus 40:30-31)
Muslims bow, kneel, and prostrate in their prayer, just as the former prophets and their followers had:
“O come, let us worship and bow down: let us kneel before the Lord our maker.” (Psalms 95:6)
ent laws were revealed to different prophets, according to the wisdom of the Knower of all things. This unity of religion was only affected after later followers of the prophets changed the messages they were given and separated into different religions and sects. This splitting caused each religion and sect to name itself with a new name, as well as to envy the other religions and sects that differed with them:
إِنَّ الْمُؤْمِنِينَ عِندَ اللَّهِ لَا تَسْلُمُ وَمَا أَحْتَلَفَ الْذِيْنَ أُوتُوا الْكِتَابَ إِلَّا مِنْ بَعْدِ مَا جَاءَهُمْ آَيَاتُمْ بَغْيًا بَيْنَهُمْ وَمَنْ يَكْفُرْ بِآَيَاتِ اللَّهِ فَأَقْرَبُ اللَّهُ سَرِيعُ الْحِسَابِ
Truly, the religion before Allaah is Islaam (submission to Him). Those who were given the Scripture did not differ except out of mutual jealousy, after knowledge had come to them. And whoever disbelieves in the Signs of Allaah, then surely, Allaah is swift in calling to account.
[3:19]
No matter how attached people might be to the religions and ways they have inherited, it would not make sense to believe that the Creator recognizes any religion except the one He has revealed:
وَمَنْ يَتَبَعْ غَيْرَ الْإِسْلَامَ دِينًا فَلَنْ يُقْبَلَ مِنْهُ وَهُوَ فِي الْآَخِرَةِ مِنَ الْخَسِرِينَ
“When Abraham was ninety-nine years old the Lord appeared to Abraham, and said to him, ‘I am God Almighty; walk before me, and be blameless. And I will make my covenant between me and you, and will multiply you exceedingly.’ Then Abraham fell on his face.” (Genesis 17:1-3)
“Then Jehoshaphat bowed his head with his face to the ground, and all Judah and the inhabitants of Jerusalem fell down before the Lord, worshiping the Lord.” (2Chronicals 20:18,8)
“And Joshua fell on his face to the earth, and did worship.” (Joshua 5:14)
“... and they [Moses and Aaron] fell upon their faces: and the glory of the Lord appeared upon them.” (Numbers 20:6)
Most present-day Jews and Christians today find the act of prostrating to be foreign and even contemptible, even though their Prophets and their true followers worshipped Allaah in this manner. However, for Muslims, prostrating before Allaah is the pinnacle of servitude to him, because it shows that the Muslim has submitted him or herself completely to the Creator, which is the essence of Islaam. The New Testament states that Jesus prostrated and submitted himself to God: “And he went a little further and fell on his face and prayed.” (Matthew 26:39)
ple are united and tolerating each other’s different ways.
For this reason, the Creator described the condition of those who would differ in fundamental matters of life after having clarified His guidance in these regards as having failed to use their God-given sense of reasoning correctly:
وَكُنتُمْ جَمِيعًا وَقَالُوا لَهُمْ شَيْئًا ذَلِكَ بَأْنَهُمْ قَوْمٌ لَا يَعْقِلُونَ
You would think they are united, but their hearts are divided.
That is because they are a people who understand not.
[59:14]
An Inability to Comprehend Our Purpose of Existence
In materialist and pluralist societies, people are kept busy with all kinds of different endeavours, whether they be work or entertainment related. Although the media and academia in these societies are responsible for communicating a large amount of information to the people, they leave people in the dark as to why we are actually here in this life. What could possibly be more important than knowing about the purpose of life?
Many materialists and pluralists today still believe in the existence of a Creator. After affirming the creational aspect of God’s oneness, many of these same people claim that no one particular truth exists, or that nobody should claim that they follow absolute truth from their Creator. This belief directly implies that the God who created them did so for no particular reason, and that nobody should claim that there is any one specific purpose to life.
أَفَحَسِبْتُمْ أَنَّهُمْ حَلَقْنَاهُمْ عَبْدًا وَأَنَّكُمْ إِلَيْهَا لَا تُرْجِعُونَ
Did you then think that We had created you in jest (without any purpose), and that you would not be brought back to Us (for account)?
[23:115]
Belief in the existence of an All-Knowing and All-Wise Creator necessitates that He created us for a very important reason:
وَمَا خَلَقْتُ الْجِنَّ وَالْإِنسَ إِلَّا لِيَعْبُدُونِ
I have not created the Jinn and mankind except to worship and serve Me (alone).
[51:56]
If mankind was created to worship and serve the Creator, certainly,
He would have explained to His creation how this should be done.\textsuperscript{19} However, many people today believe that Allaah neglected sending down one perfect religion and way of life that is pleasing to Him. They claim that the ways to God are many, and that it is up to the individual to make up his or her own “personal path to God.” Since they do not believe that their Creator ordained one set path for them to follow, they also conclude that mankind is not answerable to Him regarding whether or not they followed this one way.
Interestingly enough, if one of these people were to buy something mundane like a piece of unassembled furniture and found that there was no assembly guide in the box, he or she would almost certainly return to the store it was bought from and demand one. Amazingly, people expect to receive a reference guide for their material goods, but do not expect any guideline to be sent down from their Creator in regards to their worship, lives and ultimate destiny.
Indeed, they believe that God exists, yet at the same time, they disbelieve that He sends down absolute guidance to them as to how they should relate to Him and the rest of the creation. This is not a belief that is limited to modernity. On the contrary, it is a belief that has already been mentioned in the Qur’aan over 1,400 years ago:
\[\text{وَمَا قَدْرُوا اللَّهَ حَقَّ قَدْرِهِ إِذْ قَالُوا مَا أَنْزَلَ اللَّهُ عَلَىٰ بَشَرٍ مِّن شَيْءٍ}\]
No just estimate of Allaah did they make when they said:
“Nothing did Allaah send down to any human being (by revelation).”
[6:91]
A Cause for Disorientation, Discord and Discontent
Denying that Allaah sends down guidance to His creation causes people to
\textsuperscript{19} The Creator ordered his final Messenger (ﷺ) to convey His legislation to mankind, promising to protect this final revelation from any form of corruption:
\[\text{إِنَّا حَفِظْنَا تَنزِيلَنا الْبَيِّنَ وَإِنَّا لَهُ لَحَفِظُونَ}\]
We have, without doubt, sent down the Qur’aan; and We will assuredly guard it (from corruption).
[15:9]
Amazingly, to this day, Muslims all over the world read exactly the same Qur’aan, which has not been changed with time, unlike the former, abrogated scriptures.
be confused and misguided, as besides their Creator, there is none to guide them if He does not will guidance for them. The final prophet sent to mankind expressed this in the following way:
“Whomever Allaah guides, none can lead astray,
and whomever Allaah leads astray,\textsuperscript{20} none can guide.”\textsuperscript{21}
The confusion and misguidance which comes about from the illogical conviction of believing in the existence of God,\textsuperscript{22} while denying that He sent down guidance to His creation, can be witnessed in the contradictory statements of its adherents. In the previously mentioned poll that quotes 92% of Americans believing in the existence of God, the same poll shows that only 85% of these people believe in heaven. Perhaps upon the basis of “thinking positively,” only 74% of those polled said they believed in the existence of hell. These numbers differed drastically, according to the age of those polled, with each segment of society claiming different things about their Lord and His religion: “An 86 percent majority of adults between the ages of 18 to 34 believe in hell, but that drops to 68 percent for those over age 70.”\textsuperscript{23}
In an article tellingly entitled “Most believe in heaven and think they’ll go there,” \textit{The Los Angeles Times’} Connie Kang reported that an overwhelming majority of Americans “continue to believe there is life after death and that heaven and hell exist, according to a new study. What’s more, most think they are heaven-bound.”
\textsuperscript{20} Allaah does not misguide anyone until they themselves turn away from His Signs. Allaah’s Signs are found both within the creation and within His revelation. Each of these types of Signs point to the fact that none has created mankind except Him alone, and that as such, nothing deserves to be worshipped and served, except Him alone.
\textsuperscript{21} Related by Muslim (no.867)
\textsuperscript{22} In Islaam, it is not sufficient that a person say “I believe in God,” meaning only in reality, “I believe in the \textit{existence} of God.” On April 24, 2000, Richard Morin of \textit{The Washington Post} wrote an article entitled “Do Americans Believe in God?” Confirming that the meaning of the title “believe in God” solely means, “believe in the \textit{existence} of God,” Morin writes: “What’s more, belief in God may be getting stronger. In 1987, a Gallup poll found that 60 percent of those interviewed “completely agreed” with the statement, “I never doubt the \textit{existence} of God.” Those people who claim that they “believe in God,” while in reality, only believe that God exists, failed to actually implement their faith in the existence of God by sincerely singling Him out in all worship and obedience. Believing in the existence of God necessitates acting upon this belief with correct and sincere action.
\textsuperscript{23} Dana Blanton, More Believe In God Than Heaven, \textit{FOX News}, October 16, 2003.
Speaking about this majority, Kang said: “Nearly two-thirds of Americans in the national survey said that they believe they will go to heaven. Only one half of 1 percent said they were hell-bound.” Regarding this finding, Kang quotes theologian Robert Johnston, a professor of theology and culture at Fuller Theological Seminary in Pasadena, California, as saying: “We’re optimists at heart. If you really believe in hell, you wouldn’t want to be there.”
The fact that nearly two-thirds of Americans “believe they will go to heaven” and “only one half of 1 percent said they were hell-bound” shows that these people who have been surveyed have created a false sense of security for themselves.
Did they then feel secure against the Plan of Allaah? For none feels secure from the Plan of Allaah, except those who are doomed to ruin.
[7:99]
Allaah alone decides who will be admitted into heaven, and who will be punished in hell. Saying otherwise entails speaking about the Creator without insight or authority from Him:
And follow not (O man), that of which you have no knowledge.
Verily, the hearing, the sight, and the heart; each of those will be questioned (by Allaah).
[17:36]
According to the texts of the Qur’aan and Sunnah, a true believer in God should relate to Him with both fear and hope. Instead of believing he or she “will go to heaven” or is “hell-bound,” the believer should worship Allaah with fear of Him, and with hope that His boundless mercy will envelop them. Having true love of Allaah necessitates achieving this balance. This balance can only be implemented after the believer strives to worship and obey Allaah as He wills to be worshipped and obeyed, according to His ordained way.
---
24 The Sunnah comprises the sayings, actions and approvals of the Prophet Muhammad (ﷺ), the final Messenger sent to mankind.
Anything short of this sincere effort entails self-deception.
**Cutting and Pasting Religious Views**
Describing the problem that arises when treating religion in a democratic manner, Kang quotes David Kinnaman, the vice president of the research group which carried out the poll, as saying: “Millions of Americans mix secular and various religious views to create their personal belief systems.” Unabashedly, Kinnaman says: “Americans don’t mind embracing contradictions... It’s hyper-individualism. They’re cutting and pasting religious views from a variety of different sources - television, movies, [and] conversations with their friends.”
Explaining how people are able to invent a religion by themselves, Kinnaman states: “What Americans are saying is, ‘Listen, I can probably put together a philosophy of life for myself that is just as accurate, just as helpful as any particular faith might provide.’”\(^{25}\)
Amazingly, many people believe that God knows everything, yet still proceed to put together a philosophy, religion, or way of life for themselves. Certainly, this belief necessitates that this All-Knowing God has created us without ordaining a way of life for us, or that He has, but that mankind can put together their own way of life that is superior to His.
The notion of each individual creating their own “personal” belief system by “cutting and pasting” “secular and various religious views” together from “television, movies,” and “conversations with their friends,” is not something limited to popular American thought. On the contrary, many people are presently living by this convenient reality.
All of these convictions come about from the kind of chaos that Thomas Friedman invited his readers to believe in, when he stated that God “welcomes different human beings approaching him through their own history, out of their language and cultural heritage.”\(^{26}\) Furthermore, the principle that David Kinnaman mentions, namely, “Listen, I can probably put together a philosophy of life for myself that is just as accurate, just as helpful as any particular faith might provide” confirms that Allaah is certainly aware of what His creation is doing, when He says:
---
\(^{25}\) K. Connie Kang, *Most believe in heaven and think they'll go there*, Los Angeles Times, October 25, 2003.
\(^{26}\) Thomas L. Friedman, *The Real War*, New York Times, November 27, 2001.
They follow nothing but conjecture and what their own souls desire, even though there has already come to them Guidance from their Lord.
[53:23]
Creating Moral Anarchy
Expressed in another way, the belief that Thomas Friedman and many other people hold today - namely that there are many paths that lead to God - can be refuted in the following manner: If somebody came to rob Friedman’s home, he would certainly object to this occurring. Were he to have the opportunity to speak to the robber and scold him for his action, Friedman would certainly be taken aback if the robber suddenly told him that there was nothing wrong in taking his belongings. It could be argued by the robber that each person has the right to choose their own path in life, and that it is part of his own system of belief which he has formulated for himself that there is nothing wrong with stealing.
Under this pluralistic pretext, the robber would be able to tell Friedman that he tolerates Friedman’s belief that nobody should steal his things, but that Friedman should also understand that he has his own personal way which he has formulated that does not consider this action to be a crime. This approach to morals and beliefs necessitates that no absolute truth exists, and as such, it is not possible for anybody to impose their opinion on anyone else, as no clear criterion exists to justify this. Just as Friedman would object to this kind of moral anarchy taking place amongst his society, how can he be pleased to relegate this kind of philosophical chaos to an All-Knowing, All-Wise God?
A Conclusive Proof
Surely, the incredible unity and order that exists from one end of the universe to the other indicates that the Creator’s creational will within His creation is a single will, not multiple ones with each section of the universe having separate truths, laws and ways. Likewise, the Creator’s will on matters related to our lives and worship is one of unity and order, not disorder with each incredibly limited individual being left to figure out their own truths and ways. Had Allaah allowed His creation to be subjected to what Friedman has referred to, the whole universe would cease being a place of unity and order, and would become a place of turmoil and disruption.
“And if the truth had been in accordance with their desires, truly, the heavens and the earth, and all beings therein would have been in a state of confusion and corruption. Nay, We have brought them their admonition, but they turn away from their reminder.”
[23:71]
How Does Islaam Enlighten People?
The Contributions of Islaamic Civilization
In a notorious *Sunday Express* article boldly entitled “We owe the Arabs nothing,” British columnist Robert Kilroy-Silk made the following statement: “Apart from oil - which was discovered, is produced and is paid for by the west - what do they contribute? Can you think of anything? Anything really useful? Anything really valuable? Something we really need, could not do without? No, nor can I.”
When expressing himself, Kilroy-Silk seems oblivious of the fact that many of the sciences and forms of scholarship Westerners now excel in were passed on to them by the Arabs and Muslims. Kilroy-Silk could consider the contributions Muslims made to academic enquiry, science, geometry, astronomy, mathematics, algebra (an Arabic word), chemistry, geography, engineering, history, law, medicine, pharmacology, hygiene, etiquette, optics, architecture, agriculture and open trade, as well as the creation of hospitals, expansive libraries and universities.
---
27 Brian Whitaker, Kilroy-Silk investigated for anti-Arab comments, *The Guardian*, January 8, 2004.
28 After explaining that Muslims are “commanded by the Koran to seek knowledge and read nature for signs of the Creator,” Dennis Overbye, *The New York Times’* science columnist, had the following to say: “Muslims created a society that in the Middle Ages was the scientific center of the world. The Arabic language was synonymous with learning and science for 500 hundred years, a golden age that can count among its credits the precursors to modern universities, algebra, the names of the stars and even the notion of science as an empirical inquiry.
‘Nothing in Europe could hold a candle to what was going on in the Islamic world until about 1600,’ said Dr. Jamil Ragep, a professor of the history of science at the University of Oklahoma.
It was the infusion of this knowledge into Western Europe, historians say, that fueled the Renaissance and the scientific revolution.”
Overbye quotes Dr. David King, a historian of science at Johann Wolfgang Goethe University in Frankfurt, as saying: “Why did Muslim science decline?” he said. “That’s a very
The late scholar of Islaam, Shaykh ‘Abdur-Rahmaan as-Sa’dee (d.1956, 1376H), clarified how the earlier generations of Muslims successfully “established their fields of knowledge, perceptions, faith and deeds upon true, firmly established fundamentals. These fundamentals are the heavenly revealed books, the guidance of the prophets, Allaah’s Signs within mankind and the universe, and sound intellects. Due to the following of these fundamentals, they succeeded with good in this world and the hereafter.”\(^{29}\)
Although the West has certainly excelled in many areas of knowledge, they have also severely restricted their fields of knowledge by overlooking the firmly established fundamentals as-Sa’dee has mentioned above.
**Humanism: The Cause of Straying in Western Thought and Belief**
One of the problems with Western scholasticism is that it relies solely upon human intellect, even though rational people are aware of the fact that human understanding alone is very limited in scope. It can be observed that human understanding is constantly changing, relying upon the established thoughts of a particular era. As such, humanist thought cannot isolate mankind’s long-term goals, needs and interests, as humanism relies solely upon the intellect of human beings, which is in reality, tremendously limited.
“وَمَا أُوتِيتُم مِنَ الْعِلْمِ إِلَّا قَلِيلًا”
“And of knowledge, you have been given only a little.”
[17:85]
Although Western society has formed an economic and political system
---
\(^{29}\) Shaykh ‘Abdur-Rahmaan as-Sa’dee, *al-Adillatul-Qawaati’ wal-Baraaheen fee Ibaat Usool-il-Mulhideen*, *Daarul-Minhaaj*, p.88.
upon which it prides itself, it does not prepare people for the day they will die and meet their Creator. Not only does humanist thought fail to prepare people for their everlasting and more important existence, it does not even succeed in helping them understand why they are here in this life.
They know only the outer (things) of the life of this world; but of the Hereafter, they are heedless.
[30:7]
The acquisition of true knowledge normally leads to humility when approached in a sincere manner. One who acquires true knowledge realizes how little they really know. However, when it is approached in a materialistically restricted manner, it causes people to become proud. This flawed approach to seeking knowledge is not something new, and has precedents from others who have lived in former ages:
Then when their Messengers came to them with clear proofs, they exulted in the knowledge (of worldly things) that they had.
[40:83]
When considering these matters, as-Sa’dee explains how it becomes evident that “mankind is imperfect in nature from every perspective, and that whatever they have in the way of knowledge and capability is due to Allaah having given them this knowledge and capability. It should also be considered that Allaah appointed a limit to mankind’s knowledge and capability which cannot be extended... Just as Allaah is the One who created them when they were not even a thing mentioned, He is also the One who made them come out from their mothers’ wombs knowing nothing, and created for them the ability to hear, see and understand, and the means to acquire knowledge.”
Humanism’s restricted approach to seeking knowledge has made mankind forgetful that every single piece of information that any human being has ever perceived came from an All-Knowing Creator:
---
30 Ibid, p.55.
They (angels) said: “Glory be unto You; we have no knowledge except what You have taught us. Verily, you are the All-Knower, the All-Wise.”
[2:32]
A Forgetful and Unbalanced Approach to Science
Notes as-Sa’dee: “One of the greatest forms of betrayal to knowledge and reality (that occurs) is the severing of all connection to Allaah and His religion that scientists make when undertaking research. For verily, they make countless investigations into the various forms of creation, and from their inquiries, they derive many benefits. However, along with that, we do not find them mentioning God in any of these investigations, nor do they estimate the Creator and Arranger of these creations with a just estimation when undergoing these investigations. Furthermore, they do not give any kind of thanks to the One who has bestowed the creation with countless favours, nor do they mention His will and capability in bringing about what He wants within the creation. This occurs to such an extent that those who doubt, rather, many from the researchers themselves, deem that these various forms of creation which they are investigating are all that exist, and that there is no existence beyond them. Hence, they fall into open denial (of the Creator and His capabilities), and thus become confounded when it comes to adhering to correct belief:
بَلْ كَذَّبُوا بِالْحَقِّ لَمَا جَاءَهُمْ فَهُمْ فِي أَمْرٍ مَّرِيبٍ
Nay, but they have denied the truth\(^{31}\) when it has come to them,
so they are in a state of confusion.
[50:5]
If only they had established what was required of them and upon the rest of mankind in the way of founding their information upon their true realities and fundamentals, attributing the existence of the creation to their Originator, and attributing the favours (they witness within the creation) to the One who conferred them, they would have been guided to a straight way (in their worldly and religious affairs).”\(^{32}\)
An Imbalance That Leads to a State of Confusion
Having overlooked the firmly established fundamentals that were mentioned
---
\(^{31}\) Meaning: The Qur’aan and the knowledge it contains
\(^{32}\) Shaykh ‘Abdur-Rahmaan as-Sa’dee, op. cit., p.42-43.
in the beginning of the book, materialist scholars are still searching for true understanding and insight into some of the most crucial issues that face mankind. As-Sa’dee addressed these scholars, saying: “You are still engaged in the fields of knowledge that you pride yourselves in, and are still inventing theories that you all agree upon, or (at least) most of them, and you form final decisions regarding them, you believe in them, and you authoritatively assert their truthfulness. Then after your repeated reflection and consideration regarding these theories, you begin to doubt them, and perhaps you (now) authoritatively assert their falsehood, and proceed to invent that which contradicts them with (new) theories...
And how many theories do you deny that you once deemed to be true? This is the reality and outcome of your higher fields of knowledge. How then, can someone who possesses the lowest level of intellect, allow these theories to oppose that which the messengers came with in the way of truthful information.”\(^{34}\)
**How Islaam Encouraged Nations of People to Acquire Knowledge For Over a Millennium**
Furthermore, states as-Sa’dee, “the heads and scholars of the atheists [and those who agree with some of the fundamentals of atheism] are still devoted to finding solutions to different crisis that face us in life through their various efforts and sciences. In reality, they have fallen short in every way imaginable in trying to fulfill this. For every time they find a solution to a problem, numerous problems arise from this solution...
An example of the problems that have caused great disorder and confusion for mankind... is that of knowledge... For if it is sound, all of the different beliefs and ways of thinking will also be sound, and the actions that are founded upon it will be correct. Indeed, the legislated law and way of life of Islaam exhorts people to seek knowledge, awakening in them a strong desire to do so. And it commands mankind to learn all of the various beneficial fields of knowledge, whether they be from the worldly or religious affairs...
As for the fields of knowledge related to religion, the legislated law and way of life of Islaam has detailed these fields of knowledge to the utmost,
---
\(^{33}\) The first three chapters have dealt with the subjects of the existence of a Creator, why He alone deserves to be worshipped and served in our lives, and how He has sent down revelation which shows us how this worship and servitude should be carried out.
\(^{34}\) Ibid, p.29.
after having laid out their fundamentals. As for the fields of knowledge related to worldly matters, the legislated law and way of life of Islaam has laid out the foundation for their fundamentals and principles, and guides mankind to them...
As for the materialists, they only consider knowledge to be the fields of knowledge that are related to worldly affairs, which are (in reality) only a means of arriving at greater ends. Furthermore, they malign and disparage the fields of knowledge related to religion, (even though) their sciences do not in actuality benefit mankind unless they be used along with these fields of religious knowledge... For this reason, their fields of knowledge have become unsettled, and they have found themselves to be in a state of confusion, contradicting themselves with their conflicting views and unstable philosophies.
Another problem that faces mankind is that of wealth and poverty: It has already preceded that this religion and way of life provides solutions that perfect mankind’s affairs in which they experience a pleasant life of content. Just as this religion and way of life commands people to obtain a livelihood through permissible ways that are appropriate for every time and place, it has also commanded mankind to seek Allaah’s aid in obtaining this livelihood, and to avoid the impermissible ways [that eventually harm them] when obtaining it. In short, Islaam has directed mankind to fulfill what is incumbent upon them in acquiring the various forms of necessary wealth.
Likewise, Islaam has commanded mankind to be patient during the advent of poverty, and to face that with submission and not to be discontent with what has been written for them, while striving hard to obtain sustenance through the various forms of work and income. It has also forbidden mankind to be idle or lazy, which harms them in their religious and worldly affairs.”
Prophet Muhammad (ﷺ) used to say: “O Allaah! I seek refuge in you from laziness.”\(^{36}\) Likewise, he also explained to his companions the following principle which, when implemented, led nations and civilizations to greatness: “Strive for what benefits you, seek the help of Allaah, and do not be lazy or incapable.”\(^{37}\)
\(^{35}\) Ibid, p.46-47.
\(^{36}\) Reported by al-Bukhaaree (no. 6371)
\(^{37}\) Related by Muslim (no. 2664)
A Prevailing Doubt in the World Today: “Look at the State of Affairs of the Muslims!”
In reference to one of the major contentions that materialist thinkers spread today, as-Sa’dee comments: “They say: ‘Look at the state of affairs of the Muslims and how weak they are;’ that they are lagging behind in their worldly affairs, and that the thing which held them back is their religion; they propagate this in many different ways.” As-Sa’dee replies that it would have been more befitting for those who deem this to be true to examine the religion of Islaam in itself, and “what it possesses in the way of exactitude, excellence and perfection, and what it possesses in the way of guidance to every kind of good, and protection from every kind of harm and evil.”
“Furthermore,” he says, “it is also incumbent to look at the state of those who are implementing its tenets and rulings within themselves and between the people, as it was being implemented at the dawn of Islaam.\(^{38}\) For whoever does so will find that which delights its onlookers, and that which establishes the proof upon the obstinate. As for the scrutinizing of the Muslims who have strayed (from its straight way) by having abandoned its guidance, directives and lofty tenets, that is surely a form of injustice.”\(^{39}\)
A Return to a Balanced Approach in Acquiring Knowledge
All happiness and success begins and ends with realizations that do not contradict true knowledge that has been revealed by the Creator. The ill effects of knowledge that is based solely upon materialist ideologies are already in progress and are observable for all to see. As-Sa’dee explains that the restricting of knowledge to materialist sciences and the instability of thought and morals which has resulted from this has occurred, “because they deny true, beneficial knowledge that purifies the soul and grants it happiness, and advances it to the ways of excellence.”\(^{40}\)
---
\(^{38}\) The Prophet (\(\hat{\imath}\)) directed the Muslims to understand and implement Islaam according to “that which I and my Companions are upon.” (Authenticated by Shaykh al-Albaanee in *Saheeh Sunan at-Tirmidhee* (3/54)) Likewise, he (\(\hat{\imath}\)) also said, “The best of mankind is my generation, then those who follow them, then those who follow them.” (Related by al-Bukhaaree (no. 2652))
\(^{39}\) Shaykh ‘Abdur-Rahmaan as-Sa’dee, op. cit, p.60.
\(^{40}\) Ibid, p.20.
And We had assigned them hearing, sight and hearts (understanding); but of no profit to them were their hearing, sight and hearts, since they used to deny the Signs of Allaah; and they were completely encircled by that which they used to mock at.
[46:26]
In the end, the fields of knowledge that mankind has now excelled in will not profit them until they found them upon the firmly established fundamentals that have been mentioned in the first part of this book. The likeness of affirming only the subsidiary branches of knowledge such as those things related to material findings, while denying the fundamental issues of knowledge found within authentic revelation from the Creator, is like building a beautiful palace while forgetting to lay its foundations. In the end, it is destined to crumble.
“Is then he who laid the foundation of his building on piety to Allaah and His Good Pleasure better, or he who laid the foundation of his building on the brink of an undetermined precipice, ready to crumble down…”
[9:109]
---
41 The first three chapters have dealt with the subjects of the existence of a Creator, why He alone deserves to be worshipped and served in our lives, and how He has sent down revelation which shows us how this worship and servitude should be carried out.
The True Causes of Decline
On September 26, 2001, Italian Prime Minister Silvio Berlusconi openly declared to a group of reporters that Islaamic civilization is “stuck where it was 1,400 years ago.”\(^{42}\)
Berlusconi’s belief that Islaamic civilization is “stuck where it was 1,400 years ago” is an inaccurate assessment, both from a religious and historical perspective. From a religious perspective, a great number of Muslims in today’s world are far removed from the guidance that is contained within the Qur’aan and Sunnah, the two sources of revelation that were revealed over 1,400 years ago. For example, through the occupation of Iraq, Westerners have been exposed to the so-called “holy cities” of Kufa, Karbala and Najaf, in which the Shee’ah hover around graves of their dead religious leaders, worshipping them with great humility and fanfare. This occurs, even though it is known that the Qur’aan and Sunnah only affirm the special status of Makkah, Madeenah and Jerusalem. Furthermore, the Qur’aan and Sunnah specifically censure any form of false worship, including the worship of graves.\(^{43}\)
Many of those who are presently claiming to be Sunnee\(^{44}\) are also far removed from the clarity that is contained within the Qur’aan and Sunnah. Over the passage of time, they have fallen into the blind following of their forefathers and have thus acquired certain beliefs, superstitions and rites of worship that have no basis in the religion of Islaam. Others have split up the
---
\(^{42}\) Berlusconi: The West must conquer Islam, Associated Press, Salon, September 26, 2001.
\(^{43}\) The Prophet Muhammad (ﷺ) said: “Those who came before you took the graves of their prophets and pious people as places of worship. Do not take the graves as places of worship, for verily, I forbid you to do so.” Related by Muslim (no. 1188).
\(^{44}\) The word Sunnee is derived from the word Sunnah. The Sunnah comprises the sayings, actions and approvals of the Prophet (ﷺ). The Prophet (ﷺ) said: “He who turns away from my Sunnah is not from me.” (Reported by al-Bukhaaree (no. 5063))
Muslim nation into groups, sects and parties, with each group either falling into forms of extremism or negligence. In short, a great portion of the Muslims have become far removed from implementing Islaam as it should be implemented, in belief, speech, and action.
For this reason, the Creator is not pleased with Muslims who do not adhere carefully to His revelation, and sends down trials upon them out of His justice and mercy, perchance they may take heed.
وَظَهَرَ الْفَسَادُ فِي الْبَرِّ وَالْبَحْرِ بِمَا كَسَبَتْ أَيْدِي أَنْشَأَ لِيُدْبِقُهُمْ بَعْضُ الَّذِينَ عَلَيْهِمْ يَرْجُونَ
Evil has appeared on land and sea, because of what the hands of men have earned. That Allaah may make them taste a part of that which they have done, in order that they may return (to Him) in repentance.
[30:41]
Contrary to what Berlusconi would have people believe, the Muslims will only find relief from the calamities they are facing when they return to their religion in the manner that their Creator has ordained for them. They will not find true relief in distancing themselves from His chosen way.
وَبَلَوْنَهُمْ بِالْحَسَنَاتِ وَالسَّيَّئَاتِ لَعَلَّهُمْ يَرْجُونَ
And We tested them with good blessings and evil calamities, in order that they may return (to the obedience of Allaah).
[7:168]
Berlusconi believes that Islaamic civilization is “stuck where it was 1,400 years ago.” However, had it really been true that the Muslims were stuck doing what the Prophet Muhammad (ﷺ) and his Companions were doing over 1,400 years ago in the way of creed, morals and manners, Allaah would have opened up every kind of worldly good for them. This is what Islaamic civilization had already experienced off and on for over a millennium. Adhering to the original understanding of Islaam from over 1,400 years ago is textually corroborated by the saying of the final Prophet (ﷺ), who described the acceptable understanding of Islaam as being “that which I and my Companions
are upon.\textsuperscript{45}
“فَإِنْ ءَامَنُوا بِمِثْلِ مَا ءَامَنُتُم بِهِ فَقَدْ أَهْتَدَوْا”
“So if they believe as you (i.e. the Prophet \(\text{\textmu}\) and his Companions) believe, they are indeed rightly guided.”
[2:137]
Just as it cannot be said that Islaamic civilization is “stuck where it was 1,400 years ago” from a religious perspective, neither can the worldly decline Muslims face today be dated back 1,400 years. To say so would imply that the religion of Islaam impeded Muslim civilization ever since its inception over 1,400 years ago, which is exactly what Berlusconi would like to have people believe. However, would it be possible to believe that the Creator would ordain a way that hinders His creation from achieving true success?
يَظُنُّونَ بِاللَّهِ غَيْرَ الْحَقِّ ظَنَّ الْجَهْلِيَّةِ
They hold false thoughts of Allaah - thoughts of ignorance.
[3:154]
Not only is it a logical impossibility to believe that an All-Knowing Creator would ordain a way that hinders His creation, history proves that the Muslims only benefited in their worldly affairs when they adhered to their religion.
**The Flowering of a Great Civilization**
Even critics of Islaam such as Bernard Lewis concede that from a worldly perspective, Islamic civilization was a great force to be reckoned with for over a millennium, and that the decline of this civilization has only occurred within the last three centuries:
“In the period which European historians see as a dark interlude between the decline of ancient civilization - Greece and Rome - and the rise of modern civilization - Europe,” states Lewis, “Islam was the leading civilization in the world, marked as such by its great and powerful kingdoms, its rich and varied industry and commerce, its original and creative sciences and letters.”
“Islam, far more than Christendom,” adds Lewis, “was the intermediate stage between the ancient East and the modern West, to which it contributed significantly.”
\textsuperscript{45} Authenticated by Shaykh al-Albaanee in \textit{Saheeh Sunan at-Tirmidhee} (3/54).
However, notes Lewis, “during the past three centuries, the Islamic world has lost its dominance and its leadership, and has fallen behind both the modern West and the rapidly modernizing Orient.”\textsuperscript{46}
\textbf{Leaving Off the Correct Practice of Islaam: A Historical Turning Point}
An important link can be made between significant numbers of Muslims neglecting the guidance contained within the Qur’aan and Sunnah, and thus waning religiously, and the eventual decline of Islaamic civilization. Both of these matters occurred on a larger scale within the past few hundred years, not 1,400 years ago. It can therefore be concluded that the moral and religious lapse that became compounded in the last few centuries also caused Muslim societies to fall into material decline.
When the Muslims were following the guidance contained in the Qur’aan and Sunnah with regards to beliefs, morals, worship, politics and interpersonal dealings, their Sustainer was pleased with them and provided them with every kind of success. However, when many of them turned away from this guidance, the Controller of all affairs became displeased with them and removed His favour from them.
The elimination of these tribulations will not occur until the Muslims themselves sincerely turn to their Creator and set their sights on the way that carried them so effectively for over a millennium - until many of them abandoned it and turned towards other ways that were founded upon conjecture and uncertainty.
\begin{verse}
إِنَّ اللَّهَ لَا يُغَيِّرُ مَا بِقَوْمٍ حَتَّىٰ يُغَيِّرُوا مَا بِأَنفُسِهِمْ
\end{verse}
Verily, Allaah will not change the situation of a people until they change their own condition.
[13:11]
Indeed, the Prophet (ﷺ) warned the Muslims about the dire results of disobeying the Creator and turning away from His guidance. Addressing them, he (ﷺ) said: “Allaah will send humiliation upon you and will not remove it until you \textit{return to your religion}.”\textsuperscript{47}
This connection between neglect in religion and societal decline is a his-
\textsuperscript{46} Bernard Lewis, The Crisis of Islam, \textit{The New York Times}, April 6, 2003.
\textsuperscript{47} Authenticated by Shaykh al-Albaanee in \textit{Saheeh Sunan Abee Daawood} (no. 3462).
torical fact that cannot be denied by anyone who has studied Islaamic civilization. Furthermore, it is a point that completely nullifies the prejudiced claim that Islaamic civilization is somehow “stuck where it was 1,400 years ago,” as Berlusconi has conveniently overlooked the fact that Islaamic civilization flourished for over one thousand years.
Muslims will once again be able to experience this kind of success when they sincerely return to the timeless guidance that granted them success for such an extended period of time. Although our materialist societies might teach us to sneer at such types of statements, many of those who would mock such beliefs actually also affirm the existence of a Creator. Once they have affirmed the existence of a Creator, they are obliged to admit that ultimately, He alone owns everything within the heavens and the earth. Once this has been established, it also becomes apparent that He alone controls the affairs of His creation, including those affairs that affect His servants. Hence, in the end, it is correct to believe that everything that occurs to human societies occurs by His knowledge, capability and will.
After considering things from a religious and historical perspective, it becomes apparent that Prime Minister Berlusconi’s statement that Islaamic civilization is “stuck where it was 1400 years ago” is not an accurate assessment of the current difficulties Muslims are experiencing. More importantly, history has proven that when Muslims adhered to Islaam, they met with success, while when they waned in their practice of Islaam, they experienced many moral, economic, and societal obstacles.
As such, it can be concluded that Islaam is not the regressive religion and way of life that Berlusconi and others claim it to be. On the contrary, true progress can only be achieved by keeping people in touch with the realities of life, not by moving from one form of human conjecture to another. This methodology causes people’s morals and societal structures to deteriorate from generation to generation without them perceiving it.
“In February [2004], an Iraqi reporter asked Army Brig. Gen. Mark Kimmitt, spokesman for the occupation forces, what he would recommend Iraqi mothers tell their children frightened by low-flying helicopters.
‘What we would tell the children of Iraq is that the noise they hear is the sound of freedom,’ Kimmitt said.”
---
48 Jim Krane, Copters Maxed in Counterinsurgency War, *The Associated Press*, November 1, 2004.
The Coerced Freedom to Accept Western Values
Speaking about freedom, diversity and tolerance, Italian Prime Minister Silvio Berlusconi openly contradicted himself while speaking about the merits of Western civilization. Addressing a group of reporters at a news conference, Berlusconi was quoted as saying: “We must be aware of the superiority of our civilization, a system that has guaranteed well-being, respect for human rights and -- in contrast with Islamic countries -- respect for religious and political rights, a system that has as its values understandings of diversity and tolerance.”
In regards to freedom, Berlusconi claimed that Western civilization is superior, primarily because it “has at its core, as its greatest value, freedom, which is not the heritage of Islamic culture.”
This concept of freedom, diversity and tolerance, consists of the freedom, diversity and tolerance to follow Western culture and values, or else be conquered - an obvious contradiction that has caused generations of nations to suffer. Said Berlusconi: “The West will continue to conquer people like it conquered Communism,” even if it means a confrontation with “another civilization, the Islamic one, stuck where it was 1,400 years ago.”\(^{49}\)
Forming Consent to Serve an Intolerant Ideology
Some Western journalists and intellectuals have been able to perceive that liberalist ideologies are actually often intolerant by nature. After Afghanistan was attacked during the aftermath of September 11, *The Guardian*’s Madeleine Bunting stated that the “public opinion formers at home have been prepared and marshalled into line with a striking degree of unanimity. The voices of dissent can barely be heard over the chorus of approval and self-righteous enthusiasm.”
\(^{49}\) Berlusconi: The West must conquer Islam, *Associated Press*, *Salon*, September 26, 2001.
“What is also lurking here is the outline of a form of western fundamentalism,” adds Bunting. “It believes in historical progress\textsuperscript{50} and regards the west as its most advanced manifestation. And it insists that the only way for other countries to match its achievement is to adopt its political, economic and cultural values.”
Discussing the concept of freedom of choice and tolerance, Bunting correctly states that like any kind of fundamentalism, Western fundamentalism “is tolerant towards other cultures only to the extent that they reflect its own values - so it is frequently fiercely intolerant of religious belief and has no qualms about expressing its contempt and prejudice.”
“At its worst,” she says, “Western fundamentalism echoes the characteristics it finds so repulsive in its enemy, Bin Laden: first, a sense of unquestioned superiority; second, an assertion of the universal applicability of its values; and third, a lack of will to understand what is profoundly different from itself.”
Had the basis of Western fundamentalism been correct to begin with, its adherents could have justifiably believed in its superiority. If the term fundamentalism is used in the context of sticking closely to a set of fundamentals that can be proven to be correct, in this case, it cannot be legitimately criticized. However, if the term fundamentalism is used in the context of adhering to a set of unsubstantiated fundamentals or falling prey to fanaticism and terrorism, then it deserves to be condemned.
**The Realities of Liberalism**
Referring to the “shadow side of liberalism,” Bunting understatedly refers to the effects of past colonialist exploits, saying that this fundamentalist ideology “periodically wreaked havoc around the globe for over 150 years.” Assessing the current danger of “intolerant liberalism” and its fundamentalist belief of superiority, Bunting states: “This superiority, once allied to economic and technological power, underpinned the worst excesses of colonialism, as it now underpins the activities of multinational corporations and the
\textsuperscript{50} This belief entails that there are no absolute moral values, and that mankind can only arrive at the truth by following ever-changing opinions. The value system that transpires from this process becomes known as “human values,” from which stem “human rights.” However, the acceptance of these ever-changing opinions necessitates that the previous decisions and values that were made just before must have been wrong to begin with. Had it been otherwise, they would not have needed changing.
IMF’s\textsuperscript{51} structural adjustment programmes.”
\textsuperscript{51} In a stinging October 10, 2001 article entitled “The Globalizer Who Came In From the Cold,” \textit{The Observer’s} Greg Palast spoke about the injustice of the IMF/World Bank’s “usurious rents” which are “devised in secrecy and driven by an absolutist ideology.”
Discussing the unpleasant reality of liberalist globalisation, former World Bank Chief Economist Joseph Stiglitz spoke about the “depression and starvation” which results from “Capital Market Liberalization.”
Referring to the IMF’s four step program, Palast states: “Step One is Privatization - which Stiglitz said could more accurately be called, ‘Briberization.’”
Step two involves a “‘Hot Money’ cycle,” in which “cash comes in for speculation in real estate and currency, then flees at the first whiff of trouble.” Palast adds, “A nation’s reserves can drain in days, hours. And when that happens, to seduce speculators into returning a nation’s own capital funds, the IMF demands these nations raise interest rates to 30%, 50% and 80%.”
All across Asia and Latin America, the result was the same: “Higher interest rates demolished property values, savaged industrial production and drained national treasuries.”
“At this point,” writes Palast, “the IMF drags the gasping nation to Step Three: Market-Based Pricing, a fancy term for raising prices on food, water and cooking gas. This leads, predictably, to Step-Three-and-a-Half: what Stiglitz calls, ‘The IMF riot.’”
Discussing the IMF stoked riots that have occurred in countries such as Indonesia, Bolivia and Ecuador, Palast speaks about the economic blackmail which takes place in these impoverished countries: “When a nation is, ‘down and out, [the IMF] takes advantage and squeezes the last pound of blood out of them. They turn up the heat until, finally, the whole cauldron blows up,’ as when the IMF eliminated food and fuel subsidies for the poor in Indonesia in 1998.”
Palast claims that these tactics are part of a set IMF plan. Quoting from IMF “confidential” documents obtained by \textit{The Observer}, Palast states that the IMF “expected their plans to spark, ‘social unrest,’ to use their bureaucratic term for a nation in flames.”
“The secret report,” says Palast, “notes that the plan to make the US dollar Ecuador’s currency has pushed 51% of the population below the poverty line.”
At this point of economic and social disaster, a panic occurs in which economies collapse and governments become bankrupt. It is at this point that the foreign corporations move in, “who can then pick off remaining assets, such as the odd mining concession or port, at fire sale prices.”
Concluding, Palast asks an interesting question: “Did any nation avoid this fate? Yes, said Stiglitz, identifying Botswana. Their trick? ‘They told the IMF to go packing.’”
Western fundamentalism requires its adherents to believe in its “unquestioned superiority” and “the universal applicability of its values.” Its adherents also lack the “will to understand what is profoundly different from itself.”
Something that is not willing to understand what is profoundly different from itself cannot truly be considered to be liberal, free, or part of “a system that has as its values understandings of diversity and tolerance,” as Prime Minister Berlusconi would like to claim.
Once this is understood, it can be appreciated that the followers of pluralism, secularism, humanism, liberalism, freedom and democracy are also often intolerant fundamentalists, particularly if they are faced with a competing ideology that differs from theirs. Once these manmade principles are questioned, those who adhere to this fundamentalism are willing to pit nations and people together to further the cause of their belief.
وَإِذَا قِيلَ لَهُمْ لَا تُفْسِدُوا فِي الْأَرْضِ قَالُوا إِنَّمَا كُنْتُمْ مُصْلِحُونَ
أَلَا إِنَّهُمْ هُمُ الْمُفْسِدُونَ وَلَبِكْنَ لَا يَشْعُرُونَ
And when it is said to them: “Make not mischief on the earth,” they say: “We are only peace-makers.”
Of a surety, they are the ones who make mischief, but they perceive it not.
[2:11-12]
**The Freedom to Disobey the Creator**
In his comments, Berlusconi portrays the West as being a defender of freedom. However, he overlooks the fact that the West often halts people’s basic freedoms of belief and expression when it comes to matters that relate to obedience to the Creator. As a Christian, Berlusconi cannot deny that wearing the veil and modesty between unmarried men and women, is both a
O you who believe! Do not devour usury, doubled and multiplied; but fear Allaah, that you may be successful.
[3:130]
52 Madeleine Bunting, Intolerant liberalism, *The Guardian*, October 8, 2001.
53 Berlusconi: The West must conquer Islam, *Associated Press: Salon*, September 26, 2001.
Qur’anic and Biblical command.\textsuperscript{54} In fact, it is reported in the Bible that Jesus (عيسى) ordered his followers not to even look at women in a lustful manner: “You have heard that it was said, ‘Do not commit adultery.’ But I tell you that anyone who looks at a woman lustfully has already committed adultery with her in his heart.”\textsuperscript{55}
Berlusconi forgets that in Western nations, when Muslims try to apply what is actually only part of his own religion, the freedoms of belief and expression that he spoke of are often suddenly suspended. Girls who wear hijab are sometimes forbidden from attending educational institutions. Women who are scantily clothed are deemed free of mind and spirit, and are allowed the freedom to dress as they like. Modest women who observe Biblical and Qur’anic directives to veil themselves are considered oppressed, and all semblance of freedom and tolerance suddenly vanishes.
\begin{verse}
أَفَمَنْ كَانَ عَلَىٰ بَيْتَهُ مِنْ رَّبِّهِ ۚ كَمْ نُزِّلَ عَلَيْهِ ۖ سُوءُ عَمَلِهِ ۖ وَاتَّبَعَ أَهْوَآءَهُمْ
\end{verse}
Is he who is on a clear proof from his Lord, like him to whom the evil of his deeds is made faireseeming, and follows his desires?
[47:14]
Although women in the West are allowed to dress as they like, they do not have absolute freedom in doing so to the point that they may walk around topless or bottomless. However, wearing just a bra-like garment with a tight mini-skirt is completely acceptable in many parts of Western society. One wonders how this distinction is made, what mankind’s reference point in doing so should be, and who decides why exposing these private parts completely is a criminal offence, yet covering them slightly is a sign of liberation for women.
**A Point of Agreement**
Beyond the obvious contradictions that arise from human moral legislation, it can be understood that Westerners and practicing Muslims can agree upon one thing in this case. One of the reasons why people do not accept that a woman can simply walk around naked is that it infringes on other people’s rights. There is a traditional Arabic saying, which states, “Your freedom ends when the freedom of others begins.” What this essentially means is that an individual’s freedom must be halted as soon as it starts to infringe on someone else’s freedom. For
\textsuperscript{54} The female followers of the prophets wore veils, just as practicing Muslim women do today. See: I Corinthians 11:5, Genesis 24:65, Ruth 3:15 and Isaiah 3:23.
\textsuperscript{55} Mathew 5:27,28
that reason, Westerners feel offended if they are forced to view somebody else’s private parts in a public place, just as practicing Muslims feel offended if they are forced to see someone who is scantily clad.
Hence, Muslims and Westerners both agree that freedom has its bounds, but one group holds that mankind has the right to decide in this matter, as according to them, they are free to do whatever they choose. The other side contradicts this belief, holding that the Creator is most acquainted with what is good for His creation, and that He alone has the right to decide what goes on within His dominion. Only one of these two positions can be correct.
The principle that people’s freedom should be checked if it infringes on the rights of others can be observed in practice in many facets of Western society. For example, relatively new legislation has been passed in the West that curtails people’s rights to smoke in public places, as this compels non-smokers to smoke, and thus infringes on other’s freedoms. As a result, it is rightfully understood that this freedom must be eliminated.
Likewise, human legislation legitimately bans prostitution, as this form of sex for money has, for the meantime, been deemed immoral. Prostitution is also considered detrimental to the lives of the young women who partake in this trade. At the same time, sex for money is considered legal and acceptable, so long as it is being made into a movie for others to see. This incredible contradiction exists because banning pornography would be interpreted by contemporary minds as being an infringement of freedom and personal expression.
**Ensuring Injustice and Exploitation Through Perceived Freedoms**
On February 26, 2004, *The Associated Press* reported that the American House of Representatives voted “to treat attacks on a pregnant woman as separate crimes against both her and the fetus she is carrying.” The bill was passed and backed by “naming it in honor of Laci and Conner Peterson, the pregnant woman who was murdered in December, 2002, and her unborn child.”
The passage of the Unborn Victims of Violence act poses yet another dilemma for lawmakers and society, as it acknowledges that unborn babies do actually have rights. This admission seriously undermines the claims of pro-abortion rights activists, who claim that giving unborn children rights infringes on the rights of women to choose whether or not to kill the fetus in their wombs.
“There are two victims in these kinds of attacks,” stated Rep. Melissa Hart, who was at the forefront of pushing for this new legislation. “That is
so clear from the Laci and Conner Peterson case.”
Unfortunately, what is so clear to some is not always clear to others. This is the quandary that faces mankind when accepting freedom of opinion in matters that the All-Knowing Creator has already legislated for mankind. In short-sightedness, some people say that Allaah’s legislation is too restrictive, and that Islaam is too strict in placing barriers between men and women. This is something the Western media indoctrinates people with on a daily basis.
As it is known that all societies adhere to certain limitations, the following question needs to be asked: Is it that the Creator has mistakenly ordained too many limitations for mankind, or that many societies fall into negligence when formulating their constantly changing system of limitations?
In truth, the Creator has legislated these limitations with full knowledge of what He brought into being, and with full knowledge of what is best for His creation. He has made avenues for mankind to enjoy sexual relations with the condition that the partners be legally conjoined, yet a portion from amongst His creation insist that it is their right to be free to have sex with whoever they want, whenever they want. Furthermore, after having practiced their perceived freedom in this matter, these individuals feel that it is from their freedom to terminate the life of what emanates from these relations, solely because the child will affect the beauty of the woman, or burden her with unwanted responsibilities.
Rep. Nita Lowey stated that the bill “is not about shielding pregnant women.” Rather, she said “it is, and has always been about undermining freedom of choice,” she said. However, Lowey should consider that the freedom of the mother ends when the freedom of others is infringed upon. Freedom cannot be absolute, with no bounds drawn. Certainly, the living creation that now exists in the mother’s womb also has rights. Just as terrorists infringe upon the rights of citizens who are innocently travelling in a plane, so are those mothers who abort their innocent babies simply because they feel the life of another human will be a burden on them:
وَلَا تَقْتُلُوا أَوْلَادَكُم مُّحْشِيَةً إِلَّا أَن يَكُونُوا نَفْقَهُمْ وَإِبَاءً كَبِيرًا
And kill not your children for fear of poverty. We provide for them and for you. Surely, the killing of them is a great sin.
[17:31]
Mankind continues to be in a destructive state of confusion and contradiction as long as they refuse to submit to the Creator, and to accept the fact that He knows what is best for His creation. Instead, they prefer to believe that they have the right to choose what is right and wrong in everything, and then proceed to submit to the opinion of one side or the other. Nobody can claim to be free from submitting to something, even if it be the opinions of others, or their ever-changing whims.
Have you (O Muhammad) seen him who has taken as his god his own desire? Would you then be a watcher over him?
[25:43]
According to contemporary humanist values, it is often deemed acceptable to take the life of an unborn child, especially if the baby came about through fornication. However, people start to become concerned with the rights of an unborn child when an independent third party kills the baby while it is still in its mother’s womb, as can be witnessed in the Laci and Conner Peterson case. One action is seen as being unjust, whereas the same result is not seen as an injustice in the case of those who have taken the life of a child after having their moment of fun.
The controversy behind the issue of abortion shows that a government, driven by human logic and legislation, has affirmed that unborn children have rights, yet politically correct supporters of the act denied that the bill “was about abortion, pointing to language in the bill that specifically protects those carrying out legal abortions from prosecution.”\(^{56}\) The contradictions abound.
**Creating Ethical Limbo**
Liberalist ideologies hold that mankind can be left to figure out what is best for itself. However, disturbing contradictions start to appear when these ideologies are implemented. For example, moral values come into mode for a certain amount of time, and then years later, these same moral values which were held to be sacred and correct before, are suddenly overturned and deemed flawed. This necessitates that the particular value system that was originally created by this group was faulty, and that they were living by and believing in something that was incorrect to begin with.
\(^{56}\) Jim Abrams, House Passes Unborn Victims Legislation, *The Associated Press*, February 26, 2004.
Conversely, these same people will say that something is wrong and immoral one year, and then a decade later, they will deem it to be something that everyone must accept as being good and progressive. New legislation is drawn up, and democratically elected politicians rush to bend to the latest social trend, as if they believe wholeheartedly in it; all of this based solely upon the latest opinion polls.
A prime example of this would be the recent changes many societies have taken to accept gay rights. A few decades ago, homosexuality was considered a disorder, whereas now, anyone who holds this view is considered to be suffering from a disorder called homophobia. This new classification puts such an individual in the same category as racists.
At the same time, many of these people who have recently changed their opinions are still hesitant to allow homosexuals the right to legally marry. Is this not from the infringement of peoples’ freedom?
Sarah Fulton of *The Queen’s United Journal* made an insightful observation, when she noted that almost three in four Americans polled on their opinions pertaining to homosexual rights “supported equal opportunity for employment, as well as protection from prejudice.” However, according to Fulton, the same number opposed same-sex marriage.
“While the institution of marriage is increasingly becoming questioned throughout North America’s heterosexual community,” states Fulton, “there is a lingering sentiment for an ideal notion of marriage which precludes homosexual marriage. But, what is it exactly about same-sex marriage that makes so many people oppose it, though they support homosexual rights?”\(^{57}\)
Fulton has grasped the quandary of condoning somebody’s way of life, yet at the same time, obstructing him or her from actually applying it. She has also accurately described the exodus of almost all things from the religious to the secular sphere - even sacred matters such as marriage.
**The Migration of Ethics From Law**
The secularisation of these matters can be attributed to a false distinction that has now been made between moral and legal matters, as if they are two separate entities. For example, *The Catholic World News* reported that Colombia’s Constitutional Court, the nation’s highest legal entity, “may legalize incest as it considers a request to eliminate the criminal penalty for sexual
\(^{57}\) Sarah Fulton, *A Question Of Equal Rights*, *The Queen’s United Journal*.
intercourse between brothers and sisters or parents and children.”\textsuperscript{58}
Referring to the distinction of making moral and legal matters two separate entities, Alberto Franco, a lawyer pushing for this new legislation, said that incest “is a moral problem and not a legal one, because it is related to freedom and personal autonomy.”\textsuperscript{59} Franco epitomizes people’s obsession with pursuing freedom and personal autonomy, and demonstrates how this drive to endorse unrestrained freedom pushes mankind towards an abyss that knows no boundaries.
\section*{Determining Mankind’s True Criterion in Resolving Problems}
Shaykh Muhammad ibn Saalih al-‘Uthaymeen, the great Muslim scholar who died in 2000 (1421H), spoke about how in this time, some people “turn away from Islaam, believing it to be a retrogressive religion that holds people back, acting as a barrier between them and progress.”
Said Ibn Uthaymeen: “Islaam does not restrict freedom, but it is a means of regulating and channelling it in the correct way, such that the freedom of one person does not clash with the freedom of another. This is what occurs when freedom is granted without boundaries, because any person who desires absolute freedom without any boundaries will inevitably fulfil this at the expense of other people’s freedom. As a result of this, discord occurs when people’s freedoms clash, chaos spreads and corruption sets in. It is for this reason that Allaah named the injunctions of the religion “limits” (\textit{hudood})…
…Therefore, there is a difference between the restriction of freedoms that this group of people assume, and the channelling and regulating of these freedoms that the Most Wise, the Most Acquainted, legislates for His servants.
Consequently, there is no reason to raise such an issue, as systematisation is a reality in all domains, and man is by nature submissive to this systematic reality. He is submissive to the sway of hunger and thirst, and to the organization of his food and drink. Thus, he is forced to organize his food and drink as far as quantity, quality and type is concerned, so that he may safeguard his health and welfare.
In the same way, he is submissive to the system that his society lays out for him, holding on to the customs of his country in his dwellings, garb and
\textsuperscript{58} Colombian Court To Discuss Legalization Of Incest, \textit{Catholic World News}, July 31, 1998.
\textsuperscript{59} Ibid.
modes of transport... If he does not subject himself to this system, he will be considered as being abnormal, and he will be treated in the way abnormal people are treated.
Consequently, life is by nature a form of submission to specified limits, so that everything may progress according to its intended purpose. Since this submission to a social system is something necessary in order to maintain the integrity of the community and prevent chaos, similarly, submission to the system of Islaamic legislation [in matters of worship and dealings] is a necessary matter for the uprightness of the Islaamic nation. So how is it that some people become dissatisfied with it and deem it to be something which restricts their freedom? Verily, this is a great untruth and a false, evil presumption.
Furthermore, Islaam does not suppress people’s capabilities. On the contrary, it is a comprehensive way of life that encourages physical, rational and intellectual advancement...
...Islaam calls people to reasoning and reflection, so that mankind may contemplate, and their minds and thoughts may develop... However, it does not confine itself to calling towards contemplation and deep thought. Rather, it also denounces those who do not observe, contemplate and use their sense of reason.
Allaah the Most High says:
أَوْلَمْ يَنْظُرُوا فِي مَلَكُوتِ السَّمَاوَاتِ وَالْأَرْضِ وَمَا حَكَّمَ اللَّهُ مِن شَيْءٍ
"Do they not look in the dominion of the heavens and the earth and everything that Allaah has created?"
[7:185]
And Allaah the Most High says:
أَوْلَمْ يَتَفَكَّرُوا فِي أَنفُسِهِمْ مَا حَكَّمَ اللَّهُ السَّمَاوَاتِ وَالْأَرْضِ وَمَا بَيْنَهُمَا إِلَّا بِالْحَقِّ وَأَجْلِ مَسْعَى
Do they not reflect upon the creation of their own selves? Allaah did not create the heavens and the earth, and all that is between them, except in truth, and for an appointed term.
[30:8]
The order to observe and ponder is but an unfastening of the mind’s ability to think and reason; so how can some people say that it restricts peopeople’s capabilities?
\[ \text{كَبِيرُتْ سَكَلَمَةٌ مُخْرَجَ مِنْ أَفْوَاهِهِمْ إِنْ يَقُولُونَ إِلَّا كَذِبًا} \]
Mighty is the word that issues forth from their mouths.
They utter nothing but a lie.
[18:5]
For Islaam has indeed rendered lawful for its adherents all things which do not harm the individual’s body, religion or intellect...”\(^{60}\)
**Safeguarding Legitimate Rights and Freedoms**
An objective examination of the previously mentioned issues can help people conclude that the Creator has safeguarded the rights and freedoms of both individuals and societies. Nobody’s personal freedom is allowed to infringe on the freedom of other individuals, or more importantly, the welfare of mankind. Furthermore, nobody has the true insight to truthfully determine what is beneficial or corrupting for individuals and societies as a whole, except the Creator who originated these individuals and societies. For that reason, nobody except Allaah can accurately grant rights and freedoms, or set limits for these rights and freedoms - no matter how intelligent or advanced these people and their societies are.
Indeed, the moral freedoms the West has delved into have caused many Westerners to live a life of fear and insecurity. Due to the entertainment industry’s glorification of crime and violence, many people feel the consequences of this liberal way of life in their daily existence. This is only one of the effects that extremist views in advocating freedom have upon society as a whole.
These undefined outlooks towards freedom have a deep impact on individual lives. In liberal societies, people attempt to find true satisfaction by engaging in a wide variety of endeavours. However, many honest people living this reality recognize that there is still something crucial missing in their lives, even though many of their activities might actually be beneficial in nature. What these people are feeling is an instinctive yearning the Creator has placed within them to know that they were created to worship and serve the Creator, even when carrying out their day-to-day activities.
\(^{60}\) Shaykh Muhammad ibn Saalih al-‘Uthaymeen, *Min Mushkilaat ash-Shabaab*, pp. 21-25, *Daarul-Manaar*.
People who turn away from their natural disposition to realize this matter often suffer from bouts of worry and depression, as is witnessed in the high suicide rates found in liberal countries. Indeed, liberal lifestyles help create temporary forms of satisfaction, but are instrumental in keeping people away from what their Creator has ordained for them. Although mankind is capable of discovering temporary forms of contentment in life, our limited ability to perceive absolute truth by ourselves keeps us from knowing how to achieve true and lasting satisfaction in this life and the next. Contrary to this limited cognisance is the all-encompassing knowledge of the One who knows all that has passed, all that will pass, and how all the things that never passed would have been, had they passed:
يَعْلَمُ مَا بَيْنَ أَيْدِيهِمْ وَمَا خَلْفَهُمْ وَلَا يُحِيطُونَ بِشَيْءٍ مِّنْ عِلْمِهِ إِلَّا بِمَا شَاءَ
He knows what happens to them in this world, and what will happen to them in the Hereafter. And they will never compass anything of His Knowledge, except that which He wills.
[2:255]
In this era, many people follow humanist conjecture and seek out various forms of worship in a mistaken bid to satisfy their natural yearnings to worship and serve the Creator. This failed effort causes many people to hold on to the religion they found their forefathers following in a nominal way, accepting and rejecting from it whatever they want. Many present-day Jews and Christians react to their religions in this manner, due primarily to their awareness that the beliefs they inherited contain human additions and deletions which came about through time and historical experience.
Some people reject formal religions entirely, not realizing that their liberalist beliefs also constitute a set of religious beliefs that they apply in their lives. Others turn to experimentation with exotic religions and philosophies such as Buddhism and Yoga, or become completely immersed in fanatical cults of one sort or another.
Those who prefer to conjecture in religious matters or turn away from God completely actually cover their natural disposition in this regard and deprive themselves of the opportunity to experience ultimate satisfaction. Just as our bodies have certain natural needs such as the need to eat and drink, our Creator has also endowed us with an innate drive to worship and serve Him. As such, true, lasting contentment can only come about through remembrance of the Creator in the manner he has prescribed, and sincerity of purpose to Him:
Those who believed, and whose hearts find rest in the remembrance of Allaah: Verily, in the remembrance of Allaah do hearts find rest.
[13:28]
People who turn away from the revealed way of the Creator eventually end up living a life of doubt, unease and irresolution, even if their easy going ways give the impression that they are content.
وَمَنْ أَعْرَضَ عَن ذِكْرِي فَإِنَّ لَهُ مَعِيشَةً ضَنْكًا وَخَسْرَانَهُ يَوْمَ الْقِيَامَةِ أَعْمَىٰ
قَالَ رَبِّ لَمَّا حَشَرْتَنِي أَعْمَىٰ وَقَدْ كُنتُ بَصِيرًا قَالَ كَذَّبَكَ أَنتَفَأْ إِنْ شَاءَ فَنَسِينَا وَكَذَّبَ اللَّهُ الَّذِيْنَ نُسَيَّ
But whosoever turns away from My Reminder, verily, for him is a life of hardship, and We shall raise him up blind on the Day of Resurrection.
He will say: “O my Lord! Why have you raised me up blind, while I had sight (before)?”
(Allaah) will say: “Thus did Our Signs come to you, but you disregarded them; and so will you, this Day, be disregarded.”
[20:124-126]
Ibn Katheer (d.1372, 774H), the famous commentator of the Qur’aan, stated that the verse “Whosoever turns away from My Reminder” means: “Contradicts My command and what I sent down to My prophet by turning away from this guidance and purposely neglecting it, adopting the guidance of others: “For him is a life of hardship,” meaning, whoever does this will experience a troubled life in this world, as he will never feel true peace of mind or comfort. On the contrary, he will experience discontent and anxiety due to his straying from the right path, even if he appears to lead a life of comfort and ease by eating, drinking, dressing and residing in the way he desires. As long as his heart has not arrived at certainty of belief and true guidance, he will be living a life of worry, doubt and confusion, wavering in a state of uncertainty.”
Ibn ‘Abbaas, the Prophet Muhammad’s (ﷺ) companion, said the following regarding this verse: “A people who were living a life of affluence and arrogance strayed from the right path by turning away from the truth. They were living a life of hardship due to their notion that Allaah (created them,
but) is somehow not involved in providing them their sustenance. (This belief of self-sufficiency) stemmed from their negative opinion and denial towards Him. For if a person rejects Allaah, holds false suspicions and mistrusts Him, his life becomes difficult and restricted, and that is the hardship (which Allaah has referred to).”\(^{61}\)
Indeed, Islaam prevents personal and societal disorders before they have the chance to occur, thus protecting and channelling mankind’s legitimate rights and freedoms in a more effective manner.
It can be concluded that there is no such thing as absolute freedom, as all freedom has bounds. Who then, is given the right to set these boundaries, and why? When people differ in matters which affect mankind, who is it that decides what is right and wrong? One person believes something to be from people’s freedom, while others disagree. If not Allaah, the Most Acquainted and All-Knowing Planner of all, then who else should mankind refer to in deciding these crucial matters, and what will their criterion be in doing so? Can mankind decide everything for themselves?
\[ \text{قُلْ إِنَّمَا أَعْلَمُ أَمْرَ اللَّهِ} \]
Say (to them), “Do you know better or does Allaah?”
[2:140]
People who objectively consider all the variables involved in these matters will be led to conclude that mankind cannot lay claim to absolute freedom. Furthermore, they will also conclude that manmade resolutions which oppose authentic revelation are contradictory, continually changing and inherently faulty. As such, they are not universally applicable, as their adherents claim. Manmade solutions might create temporary ease in some matters and appear to some to be more appealing than divine legislation, however, the truth lies with those who refer their affairs back to their Creator, and render His revelation their criterion in making any decisions which affect mankind’s well being.
\[ \text{وَمَا يَتَّبِعُ أَكْثَرُهُمْ إِلَّا ظُنْنًا إِنَّ الظُّنُونَ لَا يَعْنِي مِنْ أَحْقِ شَيْءٍ إِنَّ اللَّهَ عَلِيمٌ بِمَا يَفْعَلُونَ} \]
\(^{61}\) Tafseer Ibn Katheer, Daarul-Andalus, vol.4, p.544.
And most of them follow nothing but conjecture. Certainly, conjecture can be of no avail against the truth. Surely, Allaah is All-Aware of what they do.
[10:36]
Is Democracy the Answer to Mankind’s Woes?
Liberalism and Democracy Through Occupation and Coercion
In an article entitled “Cheney: Nations Must Join in Terror Fight,” The Associated Press’ Deb Riechmann quoted Dick Cheney, the United States’ Vice President, as saying: “Ideologies of violence must be confronted at the source by nurturing democracy throughout the Middle East and beyond.”
According to a speech given by President George Bush that he gave to the National Endowment for Democracy (NED), Bush said that democracy in Muslim nations “must be a focus of American policy for decades to come.”
One by one, nations are being lined up for pre-emptive strikes and wars.
---
62 Deb Riechmann, Cheney: Nations Must Join in Terror Fight, The Associated Press, January 24, 2004.
63 Barbara Conry, a foreign policy analyst at the Cato Institute in Washington, D.C., had the following to say about the National Endowment for Democracy: “NED, which also has a history of corruption and financial mismanagement, is superfluous at best and often destructive. Through the endowment,” argues Conry, “the American taxpayer has paid for special-interest groups to harass the duly elected governments of friendly countries, interfere in foreign elections, and foster the corruption of democratic movements.” (Barbara Conry, Loose Cannon: The National Endowment for Democracy, Cato Foreign Policy Briefing No. 27, November 8, 1993.)
After mentioning that NED had interfered in the election process of France, Portugal and Spain, William Blum explained how NED “successfully manipulated elections in Nicaragua in 1990 and Mongolia in 1996 and helped to overthrow democratically elected governments in Bulgaria in 1990 and Albania in 1991 and 1992.”
Likewise, NED has been instrumental in trying to force out democratically elected governments in Haiti and Venezuela. Both President Jean-Bertrand Aristide and President Hugo Chavez had their leadership challenged through the support of NED funding of opposition groups. These violent coups against democratically elected governments were publicized as being triumphs for the cause of democracy. In reality, they were acts of destabilization that Blum termed as being “in sync with the basic needs and objectives of the New World Order’s economic globalization.”
In short, the call to democracy is often nothing but a front for the promotion and preservation of the interests of the financial elite. In spite of this, the common masses believe that their interests are best represented and preserved by making democracy an unquestionable ideology.
of “liberation.” Democracy will be part of what Bush calls a “forward strategy of freedom in the Middle East.” Said Bush: “The establishment of a free Iraq in the heart of the Middle East will be a watershed event in the global democratic revolution.”
In actuality, a complete book could be written about the true motives behind the drive for war and democracy in the Middle East. Rather than look into the true objectives behind these efforts, an examination of the legitimacy of the fundamentals of democracy will prove to be more beneficial, as democracy seems to have been raised to an almost sacred status.
**The Realities of Democracy**
Although democracy might appear to some as being a terrific ideology that everyone should follow, its true reality speaks differently. Democracy holds that the right of judgment lies with the people, and not the Creator. As previously discussed, this kind of belief entails that mankind is wiser and more knowledgeable than the Creator, something that is not logically acceptable.
\[ \text{أَلَيْسَ اللَّهُ أَحْكَمَ الْحَاكِمِينَ} \]
*Is not Allaah the wisest of Judges?*
\[ [95:8] \]
Another deficiency that can be found within democracy is that it enables everybody to have an avenue to express his or her “opinion.” Although this might appear to some to be a good thing, in reality, this ideology allows everyone - including unintelligent, uninformed and insincere people - the right to control mankind’s future. Democracy holds the view that millions of people are wiser than one, which caused one Western thinker to state that Democracy is “a pathetic belief in the collective wisdom of individual ignorance.”
On November 2, 2004, *The Herald’s* Ian Bell wrote an article exposing the flaws of the Democratic process in America. Titling his article “Next US leader to be decided by ‘voters ignorant beyond belief,’” Bell based his editorial upon the confessions of Peter Oborne, a right-wing journalist who surprisingly criticized the American democratic process on British television.
---
64 President Bush Discusses Freedom in Iraq and Middle East, *The White House: Office of the Press Secretary*, November 6, 2003.
65 Peter Oborne, The Dirty Race for the White House, *Channel 4*, November 1, 2004, 8:00 P.M.
According to Oborne’s account, Bell mentions that the 2004 presidential campaign “would be decided by a small, decisive, yet ‘largely ignorant’ group of manipulated voters.”
According to Bell, “none of those interviewed could find Iraq or Afghanistan on the map.”
“Asked to identify Britain,” stated Bell, “one man pointed to West Africa.” Another, with his finger on North Korea, said: “Afghanistan is over here, where Russia used to be.”
Westerners often resent Islaam’s classification of people on the basis of belief, yet they themselves classify those who adhere to their beliefs as being “civilized,” and those who have not yet adopted these values as being “uncivilized.” If the aforementioned accounts are examples of democracy in what has been described by Westerners as the civilized world, what could be said about the implementation of democracy in what Westerners consider to be the uncivilized world, where most people have little or no education?
Although Bell does not share the same staunch political conservatism as Oborne, both of them have come to agree about America’s intent to spread democracy around the world: “Judging on how it works at home,” Bell quoted Oborne as saying, “we should all be very afraid.”
وَإِنْ يَتَّبِعُونَ إِلَّا الظَّنَّ وَإِنْ هُمْ إِلَّا مُحْرِصُونَ
And if you were to obey most of those on earth, they would mislead you far away from Allaah’s Way. They follow nothing but conjecture, and they do nothing but guess.
[6:116]
An All-Knowing and All-Wise Creator has informed us that if we were to follow the ever-changing opinions of the majority, they would certainly mislead us. People who are not grounded in the knowledge of what their Creator wills them to do - no matter how knowledgeable they may be in certain other worldly affairs - fall under the category of those who mislead people “far away from Allaah’s Path.”
People who contradict their Creator’s guidance “follow nothing but
---
66 Ian Bell, *The Herald*, Next US leader to be decided by ‘voters ignorant beyond belief,’ November 2, 2004.
conjecture, and they do nothing but guess.” Their opinions are based on fleeting preferences that never remain constant. As such, their conjecture leads them to speak untruthfully, either out of ignorance, or due to the following of their desires.
Furthermore, many of those who favour democracy as an ideology are still ready to concede that the old saying, “all politicians are liars,” is true. In his article on the American presidential campaign of 2004, Ian Bell spoke about the “dirty race for the White House,” stating that John Kerry tried to appease the “gun nuts of West Virginia after voting for gun control 55 times.” Speaking about how the campaign was “based on fear, lies and black propaganda,” Bell states that both sides “lie about their lies.”
Making false promises and lying is encouraged in the democratic political system in order to achieve authority. How then could it ever be considered a truthful, correct or morally superior ideology, never mind one that everyone in the world must apply - or else face war?
**A Lurking Threat to Mankind**
Although Western democracy does allow the electorate the ability to choose whom their leaders will be, they are in actuality given very little choice in what ideological course their countries will take. For example, the difference between the British Conservative and Labour parties is minimal, just as the difference between the American Democrats and Republicans is also nominal.
Although parties of differing ideological inclinations are allowed to participate in the democratic process, they are often only tolerated so long as they are considered non-threatening, marginal forces. If they begin to develop a majority of support - such as what happened to the Algerian party FIS (the political-activist movement that sought democratic means of establishing a supposed Islamic government) - those who were preaching freedom and democracy will suddenly disregard the belief of majority rule in order to preserve the status quo, which they term freedom of choice. Hence, the notion of democratic rule and freedom of choice is much more controlled than people might assume.
Scarier than this is the realization that democracy can create a state that would be just as oppressive as any fascist state. All the different forms of personal freedom that people believe in are derived from the opinion of the majority. If the opinion of the majority is swayed to deem that a certain mi-
---
67 Ibid.
nority of people should be detained en-masse,\textsuperscript{68} or even that they be eliminated, this could certainly become a reality. This is what occurred when fascist Nazi leaders and their media convinced common Germans in World War II that the Jews and Gypsies should be eradicated. Since democracy maintains that there is no particular set truth or absolute criterion that should be referred to besides the opinion of the majority, it is completely conceivable that the likes of this could occur.
In an interview with Amy Goodman of \textit{Democracy Now}, The New Yorker’s Seymour Hersh referred to the tie that exists between the media and contemporary democratic rule in America. Stating that America has been “taken over basically by a cult,” Hersh commented that eight or nine neo-conservatives “have somehow grabbed the government.”
“Just how and why and how [sic] they did it so efficiently, will have to wait for much later historians and better documentation than we have now,” stated Hersh. “They managed to overcome the bureaucracy and the Congress, and [sic] the press, with the greatest of ease. It does say something about how fragile our Democracy is,” added Hersh.
Referring to the reality of democracy and how it can become a hidden form of autocracy, Hersh stated: “You do have to wonder what a Democracy is when it comes down to a few men in the Pentagon and a few men in the White House having their way.”
The manufacturing of consent within a democratic system cannot occur without the aid of the media. Since the media essentially controls the sway of public opinion, whoever is able to control or manipulate the media will in actuality be the leader of democratic society.
On March 19, 2004, The Associated Press’ Miilikki Org reported that a conference on media coverage concluded that competitive pressures and fear of appearing unpatriotic discouraged journalists from doing more critical reporting during the run-up to the invasion of Iraq.
\textsuperscript{68} This has already occurred in a democratically represented nation. During the Second World War, Japanese citizens were rounded up en-masse in American concentration camps. More recently, The Associated Press reported that in a poll conducted by Cornell University, “nearly half of all Americans believe the U.S. government should restrict the civil liberties of Muslim-Americans.” (The Associated Press, Poll shows U.S. views on Muslim Americans, December 17, 2004.) With 44 percent of Americans favouring these restrictions of civil liberties, the democratic majority needed to implement these ideas is not far removed.
“The press did not do their job,” said Michael Massing, author of an article in *The New York Review of Books* that was critical of *The New York Times* and *The Washington Post* in this regard.
Robert Sheer, a syndicated columnist for *The Los Angeles Times*, feels that journalists fear they will be seen as unpatriotic if they challenge White House statements: “There is no doubt that there is an atmosphere of fear in the media of being out of sync with the punitive government,” he said.\(^{69}\)
When a democratic nation applies oppressive measures to anyone at home or abroad, these measures will most often only be removed once it is deemed that there are too many financial or political drawbacks (such as casualties) involved in continuing this oppression. This situation is able to arise because democracy does not recognize any absolute values besides the ever-changing opinions of the masses. This type of realization caused one Western thinker to state that tyranny and despotism “can be exercised by many, more rigorously, and more severely, than by one.”
**Democracy Encourages Seeking Fame and Authority**
During the month of February 2004, a great debate was created when Gavin Newsom, the mayor of San Francisco, ordered city officials to allow gay marriages. As a result, thousands of homosexual couples rushed to get married. Newsom, who was going against state law, defended his position by saying: “What matters is doing the right thing and being true to yourself and standing up on principle.”
However, according to Lisa Leff of *The Associated Press*, the thing “that really matters to Mayor Gavin Newsom is what they’re saying in the neighborhoods of San Francisco - that his decision to buck California law and grant marriage licenses to gay and lesbian couples makes him a hero.”\(^{70}\)
Although Newsom feels that he has taken this position by “doing the right thing,” “being true” to himself and “standing up on principle,” what really matters to him is what his constituency is saying, as homosexuality is known to be more widespread in San Francisco than in any other major city of the United States. Following the opinions of his electorate and defending them will ensure that he is seen as being a hero, and consequently, that he will
---
\(^{69}\) Mielikki Org, Fears Impacted U.S. Reporting on Iraq, *The Associated Press*, March 19, 2004.
\(^{70}\) Lisa Leff, S.F. Mayor Happy With Marriage Decision, *The Associated Press*, February 21, 2004.
be assured status, reputation and leadership in the land.
Demonstrating the confusion and contradiction which abounds when mankind is left to decide what is to be considered morally acceptable, *The Associated Press* quoted James Warren, a San Francisco judge, as saying that San Francisco “appears to be violating the law by issuing marriage licenses to gay and lesbian couples.”
Robert Tyler, a lawyer for a group called the Alliance Defense Fund, requested the Superior Court judge issue an order to stop the city from issuing homosexuals marriage licenses. Referring directly to this social disorder, he said, “This is municipal anarchy.”
Governor Arnold Schwarzenegger, the democratically elected leader of California and star of such films as *The Terminator*, “urged city officials to stop the same-sex weddings.” However, before doing that, he did protect his political standing by saying: “I support all of California’s existing laws that provide domestic partnership benefits and protections.” After completing this politically correct statement, he then said, “However, Californians spoke on the issue of same-sex marriage when they overwhelmingly approved California’s law that defines marriage as being between a man and a woman.”
Hence, it can be understood from Schwarzenegger’s comments that he supports homosexual rights, yet opposes same-sex marriage, solely on the basis that “Californians spoke on the issue.”\(^{71}\) Schwarzenegger’s reference point in arriving at this important conclusion was the opinion of the majority. As such, if the majority were to change back and forth with different decisions, so would the opinion of Governor Schwarzenegger.
**Seeking Fame and Authority: A Corrupting Force**
The final Prophet (ﷺ) forbade seeking authority, as it is something that corrupts the individual and those he rules. The Prophet (ﷺ) said: “You people will be keen to acquire the authority of leadership, but it will be a thing of regret for you on the Day of Resurrection.”\(^{72}\)
In another hadeeth, he (ﷺ) said: “O ‘Abdur-Rahmaan! Do not ask for leadership, for if you are given authority on your demand, then you will be held responsible for it, but if you are given it without asking (for it), then you will be
---
\(^{71}\) David Kravets and Lisa Leff, Judge Says Gay Marriages Appear Illegal, *Associated Press*, February 18, 2004.
\(^{72}\) Related by al-Bukhaaree, (no. 7148), Eng. Trans.
Not only did he forbid from asking for authority and leadership, he even forbade people from desiring it in their inner selves - so much so is the corrupting element of these desires. Abu Moosaa al-Ash’aree (رضي الله عنه), the Companion of the Prophet (صلى الله عليه وسلم), narrated the following account: “Two men from my tribe and I entered upon the Prophet. One of the two men said (to him), “O Messenger of Allaah! Appoint me as a governor,” and so did the second. The Prophet said, “We do not assign the authority of ruling to those who ask for it, nor to those who are keen to have it.”
In his book, “The Methodology of the Prophets in calling to Allaah; That is the Way of Wisdom and Intelligence,” Shaykh Rabee’ ibn Haadee al-Madkhalee made the following comment about how people should be selected for positions within an Islaamic government: “It is essential that we follow the methodology of Allaah’s Messenger (صلى الله عليه وسلم) in choosing the governors and the judges. These positions are not to be given to those who ask for them, or desire them, or put themselves forward for them in elections, for example, as this is (to be considered) from the desiring of these positions.”
“Rather,” he continued, “the ones to be chosen are those who are suitable in knowledge, abstention, and piety.” Shaykh Rabee’ advised against the ways of the political-activist groups and movements of today, saying, “We should not bring up the youth to have love for position, authority, ascendancy and leadership. If we bring them up upon love of these things, then we will have acted contrary to the guidance of Allaah's Messenger (صلى الله عليه وسلم), and will have led the youth to that which will bring about their destruction.”
Democracy necessitates people leaving off the guidance of the Creator for the contradictory ways of His created beings. Furthermore, democracy is based upon the craving of status, position and authority, often involving lying and deceit. Most of mankind’s problems are based upon people competing with each other for leadership and status. Although democracy appears to some to be advantageous, a closer examination of its fundamental principles proves that it corrupts individuals and societies as a whole.
Contrary to this is the Islaamic system of *shooraa*, or consultation, in
---
73 Ibid, (no. 7146)
74 Ibid, (no. 7149)
75 Shaykh Rabee’ ibn Haadee al-Madkhalee, *Manhajul-Anbiyaa’ fid-Da’wah il-Allaah Fee-hil-Hikmah wal-Aql*, Maktabatul-Furqaan, pp.125, 126.
which the Islaamic leader consults specialists in their respective fields of religious or worldly knowledge. Our All-Wise Creator has praised those “who (conduct) their affairs by mutual consultation,”\(^{76}\) and He ordered His Messenger (ﷺ) to consult with his Companions, saying:
وَشَاوَرُوهُمْ فِي الْأَمْرِ فَإِذَا عَرَّمْتُ فَنَوَّلْ عَلَى اللَّهِ إِنَّ اللَّهَ يُحِبُّ الْمُتَّقِينَ
And consult them (O Muhammad) in the matter:
Then when you have taken a decision, put your trust in Allaah.
Certainly, Allaah loves those who put their trust (in Him).
[3:159]
As a result of this consultative process that returns mankind’s affairs to the firmly established fundamentals mentioned at the beginning of this book,\(^{77}\) they avoid following conjecture. Therefore, how can it be considered that an ideology which encourages flattery, rehearsed poses, empty slogans, stage-managed political rallies packed with party loyalists, smear campaigns, lying and ever-changing opinions, be better than the Way of the Lord of the worlds?
فَمَاذَا بَعْدَ الْحَقِّ إِلَّا الْضَّلَالَ فَأَنَّى تُصَرَّفُونَ
So after the truth, what else can there be, save error?
How then are you turned away?
[10:32]
\(^{76}\) The Qur’aan 42:38
\(^{77}\) The first three chapters have dealt with the subjects of the existence of a Creator, why He alone deserves to be worshipped and served in our lives, and how He has sent down revelation which shows us how this worship and servitude should be carried out.
Does Secularism Exist in the Bible?
Because of the historical difficulties Christians have experienced in their dealings with the Church, many Christians hold a deep sense of animosity towards the interference of religion in their lives. However, it is important to understand that Westerners have arrived at their present state due to their encounters with their own religious authorities. As such, deductions made from Western historical experiences cannot always be applied on a universal basis, especially when considering that Muslims’ material progress went hand in hand with their adherence to religion. Therefore, it should not be thought that Christian society came to these contemporary secularist conclusions through a truly objective process.
In a *New York Times* article taken from his book *The Crisis of Islam*, Bernard Lewis attempted to show how Jesus (ع), unlike Muhammad (ص), was able to separate religion and state. Quoting from The New Testament, Lewis stated that Jesus “bade his followers ‘render unto Caesar the things which are Caesar’s; and unto God the things which are God’s.’”\(^{78}\)
In order to give Christians the idea that Jesus (ع) was actually an early supporter of secularism, Lewis has turned to religious scripture, hoping that he can find something within the message of the prophets that might validate modern secularist belief. However, this effort can be disproved from several perspectives.
Firstly, Lewis is quoting from the Gospel of Matthew. A closer look at the authenticity of the New Testament shows that the authors of the four Gospels are unknown and are not believed to have met Jesus (ع). Based upon historical and theological accounts, the *Encyclopaedia Britannica* states the following regarding the Gospel According to Matthew: “…the writer of Matthew is probably anonymous.”\(^{79}\) Regarding the Gospel According to
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\(^{78}\) Bernard Lewis, *The Crisis of Islam*, *The New York Times*, April 6, 2003.
\(^{79}\) *The New Encyclopaedia Britannica* (Chicago: Helen Hemingway Benton Publishers, 1980), vol. 2, p.953.
Mark, it states: “Though the author of Mark is probably unknown…”\(^{80}\) Likewise is the case of the author of the Gospel According to Luke: “In short, the author of this gospel remains unknown.”\(^{81}\) The true identity of the writer of the Gospel According to John is also unknown: “From internal evidence, the Gospel was written by a beloved disciple whose name is unknown.”\(^{82}\)
The Gospel that Jesus (ﷺ) had been sent with later became lost and was replaced by the Gospel according to Matthew, Mark, Luke and John. Complicating things further, many Bible scholars acknowledge that the authors of these gospels are unknown. For this reason, Lewis cannot use this verse as an absolute proof that Jesus (ﷺ) actually ever said such a thing, as “the writer of Matthew is probably anonymous.”\(^{83}\) Besides which, it seems quite ironic that someone who is trying to prove a point about secularism would need to turn to religious scripture to try to achieve his objective.
Secondly, were we to assume that Jesus (ﷺ) actually said, “Render unto Caesar the things which are Caesar’s; and unto God the things which are God’s”\(^{84}\) - and that it was not a later fabrication - the context of the statement needs to be considered:
“Then the Pharisees went and took counsel how to entangle him in his talk. And they sent their disciples to him, along with the Hero’dians, saying, ‘Teacher, we know that you are true, and teach the way of God truthfully, and care for no man; for you do not regard the position of men. Tell us, then, what you think. Is it lawful to pay taxes to Caesar, or not?’ But Jesus, aware of their malice, said, ‘Why put me to the test, you hypocrites? Show me the money for the tax.’ And they brought him a coin. And Jesus said to them, ‘Whose likeness and inscription is this?’ They said, ‘Caesar’s.’ Then he said to them, ‘Render therefore to Caesar the things that are Caesar’s, and to God the things that are God’s.’ When they heard it, they marveled; and they left him and went away.” (Matthew 22:15-22)
From this quotation of Matthew, we can observe that Jesus was reported to have been tested by the Pharisees about the matter of paying taxes to the
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\(^{80}\) Ibid, vol. 2, p.951.
\(^{81}\) Ibid, vol. 2, p.954.
\(^{82}\) Ibid, vol. 2, p.955.
\(^{83}\) Ibid, vol. 2, p.953.
\(^{84}\) Matthew 22:21
Romans. Perceiving their plot, Jesus (صلى الله عليه وسلم) reportedly answered them by telling them to pay their taxes, when he said, “Render therefore to Caesar the things that are Caesar’s, and to God the things that are God’s.” How this verse - which is dealing with the subject of paying taxes - can be used as a proof to discard the legislation of the Creator is beyond comprehension.
Thirdly, another verse exists in the same book of Matthew that Lewis quoted from which is clearer in meaning than the one he has tried to use as a proof. This other verse obviously contradicts his claim that Jesus was a supporter of secularism, as it clearly states that Jesus did not come to change or secularize the law of the prophets: “Think not that I have come to destroy the law, or the prophets: I am not come to destroy but to fulfill.” (Matthew 5:17)
O people of the Scripture: Why do you mix truth with falsehood and conceal the truth while you know?
[3:71]
**Marginalizing the Creator’s Religion**
On November 2, 2001, *The New York Times* allowed Salman Rushdie the opportunity to invite Muslims to marginalize their faith. In his article entitled, “Yes, This is About Islam,” Rushdie wrote the following about Muslim writers and intellectuals who have embraced secularist-humanist beliefs: “If Islam is to be reconciled with modernity, these voices must be encouraged until they swell into a roar.” Rushdie then speaks about how Muslims should discard the majority of their religion and relegate Islaam to the realm of a marginalized, personal faith: “Many of them speak of another Islam, their personal, private faith.”
It can be understood from Rushdie’s article that adhering to Islaam in its entirety can only be done grudgingly. However, would it be reasonable to believe that an All-Wise Creator - who has created in the best of ways - would really ordain a way of life that causes unhappiness, or would fail to put all aspects of worship and human interpersonal dealings in their appropriate place?
No just estimate have they made of Allaah. Verily, Allaah is All-Strong, All-Mighty.
---
85 Salman Rushdie, Yes, This is About Islam, *The New York Times*, November 2, 2001.
People who turn away from the guidance of the Creator either follow some sort of formal man-made religion or philosophy, or follow a religion which was originally revealed by the Creator, but later became altered. Others have become disillusioned with these formal religions, moving from one type of personal conjecture to another.
Islaam liberates people from these types of beliefs. The Islaamic system of belief links the believer to his Creator through a series of easily observable rites of worship that purify the soul. Since the Creator’s knowledge is all-encompassing, it should not come as a surprise that He would legislate a complete religion that includes both matters related to worship as well as matters related to dealings between His creation. Likewise, because the Creator is free of making error, it should not be surprising that He wants His created beings to submit to Him by following His legislated way in all matters:
O you who believe! Enter into Islaam completely.
Because our Creator is Appreciative and capable of rewarding His servants in this life and the hereafter, anyone who yields to all aspects of His revelation can expect to feel sweetness and joy in their submission to Him. Instead of living an existence of emptiness, discontent and anxiety, a sincere follower of the Creator’s legislated way feels a strong sense of peace, tranquility and clarity, free of worry and confusion.
O mankind! There has come to you an admonition from your Lord, and a healing for that which is in the breasts; a guidance and a mercy for the believers.
What Rushdie is inviting Muslims to believe in is that they should follow the desires of those who believe that God exists, but neglectfully failed to
86 Shaykh Muhammad ibn Saalih al-‘Uthaymeen, Sharh Usool al-Eemaan, p. 61, Daarul-Watn lin-Nashr.
establish a way for them to live by. However, does it make logical sense to believe that the Creator brought about this whole magnificent universe from nothing, sustains each necessary atom and molecule within the whole of creation, controls their movements and administers their affairs with complete wisdom, and at the same time, does not know what mankind is doing or what is best for them?
“Should He not know, He that created? And He is the One who is Most Kind and Courteous to His Servants, All-Aware.”
[67:14]
The One who is most aware of what He created and why, has informed his creation about the following condition of faith for those who claim to believe in Him and the Last Day:
“And if you differ in anything amongst yourselves, refer the matter back to Allaah and His Messenger, if indeed you believe in Allaah and the Last Day. That is better (for you in this world and the Hereafter), and better in its final determination.”
[4:59]
The Creator’s statement “if you differ in anything,” is an all-encompassing saying, and is not limited to only those few matters that happen to agree with the ever-changing beliefs of the secularist-humanists. Furthermore, the statement “if indeed you believe in Allaah and the Last Day” clearly makes mankind’s referring all matters back to their Lord a condition of faith for anyone who makes the claim to believe in God and the Last Day. For anyone who says that they believe in God and that they will meet Him when they die, and then refuses to believe that this same Creator actually sent down revelation and absolute guidance to His creation, is not being truthful in his or her claim to faith.
No matter how skilled modern day secularist-humanists might be in dealing with many worldly affairs, they fail to realize that no matter how much knowledge they have acquired, that all of it has been facilitated by Allaah. Furthermore, they also fail to realize that their scope of understanding is still terrifically limited, and that in reality, they do not know or understand
where mankind is headed, and what is best for them in this life or the next. For this reason, it would not make sense to blindly follow the trends they set and reject the way of an All-Wise, All-Knowing Creator.
Then We put you, (O Muhammad), on a plain way of (Our) commandment. So follow you that way, and follow not the desires of those who know not.
[45:18]
The religious affairs that Muslims are being pressured to abandon are the same things that do not happen to agree with the ever-changing values of liberalism, humanism and secularism. However, the fact that something is not liked by a people is not a proof of its incorrectness, as it is known that there are many things in our lives which we might not incline towards at first, but we know are essential for our survival and well-being.
It may be that you dislike a thing which is good for you, and that you like a thing which is bad for you. And Allaah knows, while you do not know.
[2:216]
Interestingly, people are willing to be patient about getting up early in the morning to go to work, taking medicine that might have dangerous side effects, and paying fines for driving infractions. However, if their Creator ordains for them that they should wake up early to pray, avoid certain beliefs and acts so they might not harm themselves and others, or give a small portion of their earnings away in alms tax, many people begin to reject these matters.
Consequently, it can be understood that the likes and dislikes of a people cannot be used as a yardstick in understanding right and wrong, especially when dealing with those who are fickle and limited by nature.
**Altering God’s Religion According to Desire**
In his *New York Times* column, Rushdie calls upon the Muslims to hasten to alter their religion in order to “modernize.” Rushdie states that the restoration of religion “to the sphere of the personal, its depoliticization, is the nettle that
all Muslim societies must grasp in order to become modern.” However, Rushdie has erred when he attributes this kind of baseless altering of Allaah’s religion to being a sign of modernization. On the contrary, this approach to understanding religion existed in the time of the prophets, as can be found in the Qur’aan which was revealed over 1,400 years ago:
وَإِذَا تُتْلَى عَلَيْهِمْ آيَاتُنَا يَبْتَسَمُ قَالُ الَّذِينَ لَا يَرْجُونَ لِقَاءَنَا أَئَتُ بِقُرْآنٍ غَيْرَ هَذَا أَوْ بَدَلَهُ قُلْ مَا يَكُونُ لِيَ أَنْ أُبَدِّلَهُ مِنْ تَلَاقَى نَفْسِي إِنَّ أَتْبَعُ إِلَّا مَا يُوحَى إِلَيَّ إِنِّي أَخَافُ إِنْ عَصَيتُ رَبِّي عَذَابَ يَوْمِ عَظِيمٍ
And when Our Clear Verses are recited unto them, those who hope not for their meeting with Us, say: “Bring us a Qur’aan other than this, or change it.” Say (to them): “It is not for me to change it on my own accord; I only follow that which is revealed unto me. Verily, I fear the torment of the Great Day [the Day of Resurrection] if I were to disobey my Lord.”
[10:15]
Salman Rushdie is either unaware, forgets, or purposely overlooks the fact that Allaah addressed the polytheists in the time of the Prophet (ﷺ), asking them:
أَلَمْ تَعْلَمْ أَنَّ اللَّهَ لَا مَلِكَ إِلَّا اللَّهُ مَلِكُ السَّمَاوَاتِ وَالْأَرْضِ
“Know you not that to Allaah (alone) belongs the dominion of the heavens and the earth?”
[5:40]
Since everything that Allaah created in the heavens and the earth belongs to Him alone, is He not the one who also possesses the right to command the affairs within this creation? Does He have any partners who share in His absolute ownership of the universe, who would then possess the right to command His creation as they please?
أَلَا لَهُ الْخَلْقُ وَالْأَمْرُ
Surely, His is the Creation and the Commandment.
[7:54]
One wonders if Rushdie has any logical proof to show his readers that
the Creator’s command is only limited to creational matters such as creating, sustaining and administering the affairs of the universe. Does any kind of logical proof exist to substantiate how the Creator does not also possess the right to command within legislative matters, such as the establishment of a religion and way of life that is acceptable to Him? In short, Rushdie is requested to consider how he forms his incoherent distinction of differentiating between Allaah’s *creational* and *legislative*\(^{87}\) command. Why believe in one, but not the other?
Say (to them): “Indeed the Command belongs wholly to Allaah.”
\[3:154\]
Rushdie sees this move to the sphere of indefiniteness as being a form of progression, whereas he sees a move to apply the Creator’s religion in anything more than a nominal way as being a form of regression. Relegating Allaah’s command “to the sphere of the personal” requires picking and choosing things from Allaah’s commandments according to personal likes and dislikes alone. Either the entire religion is from Allaah and should be accepted as a whole, or it is from other than Him, and can be rejected in whole or in part.
Do you believe in a part of the Scripture and disbelieve in the rest? For what is the recompense of those who do so among you, except disgrace in the life of this world; and on the Day of Resurrection they shall be consigned to the most grievous torment. And Allaah is not unaware of what you do.
\[2:85\]
---
\(^{87}\) Muhammad ibn Saalih al-‘Uthaymeen, *Sharh Thalaathatul-Usool*, p.85, *Daar ath-Thuriyyaa lin-Nashr*.
The True Reality Behind Secularist Thought
Rushdie’s secularist way of thinking maintains that religion should be for God, meaning; things that are limited to rites and acts of worship belong to Him, whereas mankind’s social and political destiny should be left in the hands of mankind, as if they know better. One of the problems with this ideology is that those who believe that religion should be for God and the State should be for the people, in actuality, often do not even allow God to interfere in their religious rites and acts of worship as they claim. Even in the limited sphere they have set aside for God - being that of religious rites and acts of worship - these people take it upon themselves to formulate a religion\(^{88}\) that they can follow. In reality, they do not even recognize Allaah’s authority to ordain a religion for them, even if it solely consisted of rites and acts of worship. In formulating their own religions, they take themselves to be partners with Allaah in His right to legislate a religion and way of life for the creation.
“Or do they have partners that legislate a religion for them which Allaah has not given any permission for?”
[42:21]
In an article entitled “Church backs raves to bring in young people,” *The Telegraph*’s Jonathan Petre reported that the Church of England “gave its official blessing to alternative forms of youth worship such as ‘raves in the nave’ yesterday as part of its efforts to attract young people into church.”
The General Synod sanctioned their national youth strategy by encouraging raves, hoping that this would be a means of attracting youth back to the Church. However, this did not occur without incident. Petre notes that the most notorious of episodes was the “nine o’clock service” in Sheffield, which he notes, “was closed down after allegations of improper relations between the clergyman and female members of the congregation.”\(^{89}\)
One wonders how the Anglican Church presumes they possess the right
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\(^{88}\) “What Americans are saying is, ‘Listen, I can probably put together a philosophy of life for myself that is just as accurate, just as helpful as any particular faith might provide.’” (Quote from David Kinnaman. See: K. Connie Kang, Most believe in heaven and think they’ll go there, *Los Angeles Times*, October 25, 2003.)
\(^{89}\) Jonathan Petre, Church backs raves to bring in young people, *The Telegraph*, November 16, 2002.
to devise these “alternative forms of youth worship,” as if the Creator Himself does not know how He wills to be worshipped:
وَأَمَّا لَكُمْ سُلْطَانٌ مِّنْ فَأَتُوا بِيَدِيكُمْ إِنْ كُنتُمْ صَادِقِينَ
Or have you a manifest authority (from Allaah)?
Then bring your Book, if you are truthful.
[37:156-157]
These types of unauthorized acts of worship have had their precedent set by earlier Christians. For example, the Romans merged the practice of their pagan religion’s celebration of the sun god into the religion which the Prophet Jesus (صلى الله عليه وسلم) had been sent with. To this day, Christians celebrate this festival, believing that Jesus (صلى الله عليه وسلم) was born on the 25th of December. This is so, even though there is nothing in the Bible that corroborates such a thing. It is in fact the day of celebration for Mithras, the Roman sun god, whose festival of the solstice had traditionally been celebrated on the 25th of December.\(^{90}\)
In short, most of those who adhere to secularism claim that they at least recognize God’s right to legislate or decide in affairs that are limited to rites of worship. This is what they say when they claim that the State should be for the people, and religion for God. However, a closer examination of their beliefs and actions shows that they often do not even recognize God’s right to decide in the most basic acts of worship. In the end, they actually end up believing that the State should be for the people, as well as religion too.
تَعَالَى اللَّهُ عَمَّا يُشْرِكُونَ
High and Exalted is Allaah above all that they associate as partners (with Him).
[27:63]
A Glaring Lack of Trust and Certainty
Many people trust that their Creator’s comprehensive knowledge, wisdom and justice brings about order in the creation of the universe. Had there been partners with Him in the affairs of creation, surely, everything contained within the universe would be in a state of chaos and confusion. This
\(^{90}\) Collier’s Encyclopedia (New York: Macmillan Educational Company, 1990), Volume 6, p.403.
disorder would occur, as it would be impossible for a group of creators to agree upon everything. If there had been many gods, each god would have taken away what the other created, and some would have tried to overcome others. Under these circumstances, complete chaos would result in the creation and administration of the universe.
لو كان فيهما إلهة إلا الله لفسدتنا فسبحان الله رب العرش عما يصفون
Had there been in the heavens and the earth gods besides Allaah, both would indeed have been ruined. Glorified is Allaah, the Lord of the Throne; (High is He) above all that they associate with Him.
[21:21-22]
Instead of witnessing disorder within the universe, we witness a breathtakingly ordered system, which is a proof of the unity of the Creator and the absence of partners who create alongside Him.
الذى خلق سبع سموات طبقا ما ترى في خلق الرحمن من تفوت فارجع البصر هل ترى من فطور ثم أرجع البصر ثرتين بتنقلب إليك البصر حسنا وهو حسيم
(He) Who has created the seven heavens one above another; you can see no fault in the creation of the Most Merciful.
Then look again: Can you see any rifts?
Then look again and yet again: your sight will return to you humbled, in a state of fatigue.
[67:3-4]
Those who affirm the existence of a Creator do not normally question His capability in creating and administrating the affairs of the universe. Had there been multiple creators and sustainers, the whole universe would be in a state of chaos. Likewise, if people set up partners with Allaah in His legislating a religion and way of life for them, in the end, they will only bring chaos, confusion and eventual ruin upon themselves and their societies.
The Consequences of Following Incorrect Beliefs and False Ideologies
A Creation Brought Into Existence Without Knowledge, Will and Ability?
It has already preceded in this work that a portion of mankind denies the existence of a Creator, believing that they have been brought into existence solely by feats of nature. Shaykh as-Sa’dee notes that according to these people, “this nature does not have any sense of consciousness in what occurs from it of feats. Instead, it is but a mere mechanism. In spite of this, there emanates from this nature great exploits that are at the peak of origination and proficiency, and the utmost degree of wisdom and mercy, and with the highest level of union upon which all matters become upright, and all situations are rectified. (All of this apparently occurs) without a planner, creator or initiator.”\(^91\)
This proficiency, wisdom and mercy can be witnessed within the creation of our own selves, notes Shaykh ‘Abdur-Razzaaq al-‘Abbaad: “Consider the beginning, middle and end of your creation. Look with all insight at the beginning of your creation, from a trickle of insignificant fluid; whereby the Lord of all lords extracted this fluid from between the back-bone and ribs, guided it by His Might with the narrowness of its channels and the diversity of its passages, up until (the point that) He brings it to its abode and place of assembly.
See how Allaah united the male and female and placed love between them, and how He led them with the chain of desire and love to come together, which is the cause behind the synthesis and formation of a child.
Look at how He predestined the meeting of those two fluids despite the distance between each of them. He brought the two fluids from the depth of veins and organs and gathered them to one place. He prescribed for them a firmly established dwelling. Air cannot get to it to spoil it; cold cannot get to
\(^{91}\) Shaykh ‘Abdur-Rahmaan as-Sa’dee, *al-Adillatul-Qawaati’ wal-Baraaheen fee Ibaaal Usool-il-Mulhideen*, *Daarul-Minhaaj*, p.28.
it to harden or congeal it, and no obstacle can reach it.
He then transforms that white saturated trickle into a dark red clinging entity, then He makes it into a chewed lump (of flesh), completely different to the clinging body in its colour, essence and form. Allaah then fashions it into bare bones, distinct from the chewed lump in form, look, proportion, feel, and colour. In this manner, the stages of a person’s creation gradually progress until he emerges in these forms that Allaah has fashioned him with; He originated for him, hearing, sight, a mouth, a nose, and the rest of the openings. He extended and expanded his legs and arms, separated their ends into fingers and toes, and then further split them into phalanxes. He also assembled the inner organs such as the heart, stomach, liver, spleen, lungs, womb, vesica and intestines; each one having a proportion and benefit specific to it. So how perfect is the One who created, proportioned, measured and guided (each thing appropriately).992
وَهُوَ الَّذِي أَنْشَأَ لَكُمُ السَّمْعَ وَالْأَبْصَارَ وَالْأَفْئِدَةَ قِلِيلًا مَا تَشْكُرُونَ
It is He Who has created for you hearing, sight, and hearts (understanding). Little is the thanks you give.
[23:78]
As-Sa’dee asks those who adopt these atheistic beliefs the following questions: “Who is it that originated these countless and magnificent forms of creation? And who is it that consolidated this splendid precision within the creation? And who is it that ordered the creation’s astonishing movements that bewilder us when considering their beauty and perfection of arrangement?”
They will answer: ‘Indeed, all of these affairs come about by chance and feats of blind nature which do not possess knowledge, will and ability, or any other kind of attribute!”
As-Sa’dee answers these types of doubts in the following way: “Were you to abandon these great worlds to chance and chaos for an hour - rather, for an instant - the heavens and the earth would cease to exist and the worlds would become completely disordered.”
---
92 Shaykh ‘Abdur-Razzaaq al-‘Abbaad, Asbaab Ziyaadatil-Eemaan wa Nuqsaanihi, Ghiraas lin-Nashr wat-Tauzi’, pp.42-43.
93 Shaykh ‘Abdur-Rahmaan as-Sa’dee, al-Adillatul-Qawaati’ wal-Baraaheen fee Ibaaal Usool-il-Mulhideen, Daarul-Minhaaj, p.41.
Verily, Allaah grasps the heavens and the earth lest they should move away from their places; and if they were to move away from their places, there is none that could grasp them after Him.
Truly, He is Most Forbearing, Oft-Forgiving.
[35:41]
The Doubts of the Polytheists
Another portion of mankind affirms the existence of a Creator, however, they deem it permissible to worship Him along with others from amongst the creation. Most often, they do not believe that these created things they worship have any share with the Creator in creating, sustaining, and administrating the affairs of the universe. However, they usually claim that they only worship these created beings and things as intercessors, to bring them closer to the Creator:
“And they worship besides Allaah, things that do not harm them, nor benefit them, while they say, “These are our intercessors with Allaah.”
Say (to them), “Do you inform Allaah about that which He knows not in the heavens and the earth?” Glorified and Exalted is He above all which they associate as partners with Him.”
[10:18]
If you were to stop one of these individuals and ask them who created, sustains, possesses and controls everything within the universe without exception, they will certainly say “God.” This confession is the greatest proof they could possibly bring against themselves, as demonstrated in the following verse of the Qur’aan:
Say (to them): “To whom belongs the earth and all beings therein, if you know?” They will say, “To Allaah.”
Say: “Will you not then remember?”
Say: “Who is (the) Lord of the seven heavens, and (the) Lord of the Great Throne?”
They will say: “Allaah.” Say: “Will you not then fear Him?”
Say: “In Whose Hand is the sovereignty and treasures of everything? And He protects (all), while against whom there is no protector,\(^{94}\) if you know?”
They will say: “(All that belongs) to Allaah.” Say: “How then are you deluded away from the truth?”
Nay, We have brought them the truth, and verily, they are liars.
[23:84-90]
**The Source of All Liberalist Ideologies**
Another portion of humankind affirms the existence of the Creator, yet believes that this All-Wise, All-Knowing Creator did not send down any guidance to His creation as to how they should live and worship Him. Similar to this group, another portion of mankind affirms the existence of the Creator as well as the existence of books that have been sent down to mankind by way of chosen messengers. However, despite their awareness of these prophets, they have no firm belief that the Creator intended for them to live by one chosen way. Instead, both these groups of people live by the principle that
\(^{94}\) Meaning: If Allaah saves anyone, none can punish or harm them, and if Allaah punishes or harms anyone, none can save them.
there is no one particular way to God, and that it is up to each individual to choose their own way.
After denying that the Creator has chosen and legislated one way for mankind, these aforementioned groups band together and begin to formulate man-made ideologies. According to pollster David Kinnaman, it is their belief that mankind can invent a religion and way of life that is “just as accurate, just as helpful as any particular faith might provide.”\textsuperscript{95}
Because people believe in something that Kinnaman refers to as “hyper-individualism,” they believe that it is correct to “mix secular and various religious views to create their personal belief systems.” Because these people “don’t mind embracing contradictions,” they are “cutting and pasting religious views from a variety of different sources - television, movies, [and] conversations with their friends.”\textsuperscript{96}
وَمَنْ أَصْلُ مِمَّنْ أَتَبَعَ هَوَاهُ يَغْرِرُهُ هُدًى مِنْ اللَّهِ إِنَّ اللَّهَ لَا يَهْدِي الْقَوْمَ الظَّالِمِينَ
And who is more astray than one who follows his own desire without guidance from Allaah? Verily Allaah guides not a wrong doing people. [28:50]
Once people rely on the opinions of the ever-changing conjecture of human thought, they set about inventing different ideologies they feel will serve them well. This ever-changing conjecture is the source of all man-made ideologies, such as atheism, agnosticism, existentialism, humanism, liberalism, democracy, pluralism, secularism, Marxism, communism, and many others.
All of these materialist ideologies are based upon the belief that God does not exist, or that He exists, but failed to reveal a complete message to His creation. Some people believe that His revelation is only relevant for ancient times, as if the Creator did not know how things would be in this time. Others believe that we have been given the freedom to accept or reject what we want from His revelation, as if people are more knowledge-able than Him as to what benefits them. One wonders, therefore, if it is truly befitting
\textsuperscript{95} K. Connie Kang, Most believe in heaven and think they'll go there, \textit{Los Angeles Times}, October 25, 2003.
\textsuperscript{96} Ibid.
to place such skepticism upon the One who created everything that exists.
وَإِنَّ اللَّهَ لَشَدِيدُ الْعِقَابِ وَلَا رَبَّ مُضِلٌّ لِلْمُضِلِّينَ
Is there doubt about Allaah, Creator of the heavens and the earth?
[14:10]
Regarding these types of doubts, as-Sa’dee stated: “It is not befitting of Allaah’s Mercy, Wisdom and Praiseworthiness, that He leave His servants futilely neglected, without a message, and (without) something which acquaints them with that which will order and amend their worldly and religious condition. Therefore, He sent the messengers and sent down the books, out of His Wisdom and Mercy; so that there may not be a proof for the people against Allaah after the sending of the messengers, that they may say: ‘No bringer of good tidings or warner ever came to us.’”\(^{97}\)
Because those who profess these man-made ideologies possess neither textual nor logical evidences to back up what they believe in, they continue to search for new theories that will repeatedly prove that what they were deeming to be correct today will turn out to have been incorrect within a short period of time. Once this is understood, would it seem reasonable to favour these ever-changing theories over the clear proofs and evidences that exist in the Creator’s revelation?
فَبِأَيِّ حَدِيثٍ بَعْدَ اللَّهِ وَرَسُولِهِ يُؤْمِنُونَ
Then in which speech after Allaah and His verses will they believe?
[45:6]
**The Danger of Blindly Following Others**
The Creator has forbidden His creation from following all these different forms of conjecture, their initiators, and their followers, even if they be great in number:
وَلَا تُطِعْ مِنْ أَغْفَلَنَا قَلْبًا عَن ذِكْرِنَا وَاتْبَعْ هُوَنَهُ وَكَرَّ أَمْرَهُ فَرْطًا
---
\(^{97}\) Shaykh ‘Abdur-Rahmaan as-Sa’dee, *al-Adillatul-Qawaati’ wal-Baraaheen fee Ibaat Usool-il-Mulhideen*, *Daarul-Minhaaj*, p.10.
And do not obey him whose heart We have made heedless of Our Remembrance, and who follows his own desire,
and whose affair [deeds] has been lost.
[18:28]
Anyone who prefers these contradictory, ever-changing ways over the chosen Way of the Creator, has shown that they do not truly believe in the Creator and the guidance He sent down to mankind. Instead, they disbelieve in it as a whole, or only believe in those aspects of His message that agree with the conjecture of their chosen theorists, rejecting the rest.
وَمَنْ أَظْلَمُ مِمَّنْ أَفْتَرَىٰ عَلَىٰ اللَّهِ كَذِبًا أَوْ كَذَّبَ بِالْحَقِّ لَمَّا جَاءَهُ
And who does more wrong than he who invents a lie against Allaah,
or denies the truth when it comes to him?
[29:68]
An Unsubstantiated Doubt Surrounding the Coming of The Day of Judgement
For every action a person chooses to take in his or her life, consequences must necessarily arise from the choices they make. This is especially so for our eventual resurrection and judgement in the hereafter. Indeed, the eventual occurrence of the Day of Judgement is a principle aspect of belief according to the revealed scriptures. Contrary to this, a portion of mankind disbelieves in the coming of the Last Hour, as has been mentioned in the Qur’aan:
وَقَالُوا إِنَّهُ إِلَّا حَيَاةُ الدُّنْيَا وَمَا حَنُّ بِمُجَاهَدِينَ
And they said: “There is no (other life) but our (present) life
of this world, and never shall we be resurrected.”
[6:29]
Interestingly, those who deny the Day of Judgement often also affirm the existence of a Creator. Once they affirm that a Creator exists who created them from nothing, it would not be possible for them to explain how the Creator cannot refashion that which He originated before. This materialist way of thinking is not something new. On the contrary, Allaah refutes this claim in the Qur’aan, clarifying that doubting His ability to recreate something He has already created involves comparing His ability with that of the creation:
And he puts forth a comparison for Us and forgets his own creation, saying: “Who will give life to these bones after they are rotted and have become dust?”
Say (to them): “He will give life to them Who created them for the first time. And He is the All-Knower of every creation.”
[36:78-79]
These verses show that one who doubts Allaah’s capability to recreate something has actually forgotten about his or her own origins. Was that person not a nonentity before finding him or herself present in this world? If that is the case, why would it be difficult for this Creator to refashion what He had already made before?
Furthermore, when somebody reflects upon the greatness of what is contained within the heavens and the earth, surely, this must lead them to realize that these aspects of creation are much greater in nature than their own creation. Consequently, there is no legitimate reason to believe in the existence of a Creator, yet doubt that this same All-Knowing Creator does not have full knowledge of, or cannot reassemble what is contained within the graves.
In short, once one has accepted that Allaah exists, this belief necessitates that this Creator would recompense His servants for their deeds; either good with good, or bad with bad. States as-Sa’dee: “And He has indeed informed (His servants) in more than one place (of the Qur’aan) that He, glorified is He (above what they attribute to Him), did not create the world in vain; rather, (He created them) for the recompense.”
And warn them (O Muhammad) of the Day of grief and regrets, when the case will be decided, while (now) they are in a state of heedlessness, and they believe not.
[19:39]
---
98 Shaykh ‘Abdur-Rahmaan as-Sa’dee, Tayseer al-Kareem ar-Rahmaan fee Tafseer Kalaam al-Mannaan, Mu’asasah ar-Risaalah, pp.699-700.
99 Shaykh ‘Abdur-Rahmaan as-Sa’dee, op. cit., p.24.
The Arrival of This Day
Most people eagerly read the newspapers every day in order to find out what is occurring in the world today. Although there is nothing wrong with wanting to know what is going on in the world, it is certainly a strange matter to consider that many people are not concerned about the news of what will occur to them when they die, are buried, and raised up for judgement on the Day of Reckoning.
The One who knows all that has happened and all that will happen, describes the Day of Resurrection in the Qur’aan in a detailed manner:
وَيَسْتَعْلُونَكَ عَنِ الْسَّاعَةِ أَيَّانَ مُرَسَّهَا قُلْ إِنَّمَا عِلْمُهَا عِندَ رَبِّي لَا تُحْجِبُهَا لِوَقْتِهَا إِلَّا هُوَ تَقَلَّبُ فِي السَّمَاوَاتِ وَالْأَرْضِ لَا تَأْتِيكُمْ إِلَّا بِغَيْثٍ
They ask you about the Hour (Day of Resurrection): “When will be its appointed time?” Say (to them): “The knowledge thereof is with my Lord (alone). None can reveal its time but He. Heavy is its burden through the heavens and the earth. It shall not come upon you except all of a sudden.”
[7:187]
The Day of Judgement is described in the Qur’aan as being a day in which the present creation will be altered:
فَإِذَا نُفِخَ فِي الصُّورِ نَفْخَةً وَاحِدَةً وَحُطِمَتِ الأَرْضُ وَأَلْجَالُ فَدَكَّا دَكَّا وَاحِدَةً
Then when the Trumpet will be blown with one blowing [the first one]. And the earth and the mountains shall be removed from their places, and crushed with a single crushing.
[69:13-14]
It is described that the sky will be cleft asunder, the stars will scatter, the seas will burst forth and the earth will be pounded to powder. Then a level plain will be made, from which humankind will be raised:
وَتَرَى الأَرْضَ بَارِزَةً وَحَشَرْنَاهُ فَلَمْ نُغَادِرْ مِنْهُمْ أَحَدًا
And you will see the earth as a level plain, and We shall gather them altogether, so as not to leave one of them behind.
[18:47]
The time that the prophets were commanded to warn about will have come:
إِنْ كَانَتْ إِلَّا صَيْحَةً وَاحِدَةٌ فَإِذَا هُمْ جَمِيعُ لَدَيْنَا حُضْرُونَ
It will be but a single blast, so behold they will all be brought up before Us.
[36:53]
The souls shall be joined with the bodies, and humankind will be raised from the ground, barefoot, naked and uncircumcised, as they had been created the first time. The people will be raised in a state of bewilderment:
قَالُوا يَا وَيْلَنَا مَنْ بَعَثَنَا مِنْ مَرْقَدِنَا هَذَا مَا وَعَدَ الْرَّحْمَنُ وَصَدَقَ الْمُرْسَلُونَ
They will say: “Woe to us! Who has raised us up from our place of sleep?” (It will be said to them): “This is what the Most Gracious (Allaah) had promised, and the Messengers spoke the truth.”
[36:52]
All of humankind ever created will be raised on that same level plain in an unprecedented assembly, feeling that they had only lived on the earth for a day, or part of a day. Relatives will be made to see each other, and no person shall have the ability or will to do anything for another. Such will be the fear that shall be felt.
وَلَوْ تَرَى إِذْ وَقَفُوْا عَلَى رَبِّهِمْ قَالَ أَلَيْسَ هَذَا بَالْحَقِّ
If you could but see when they will be brought and made to stand in front of their Lord. He will say: “Is this [the Resurrection and the Reckoning] not the Truth?”
[6:30]
This is the Day that every word spoken, every action taken and every belief that was accepted will be brought forward, even if it were an atom’s weight of good or evil. Sectarian differences will be judged according to the criterion that
existed in the Creator’s revelation. Those who oppressed others will be taken to account.
This Day, no soul will be wronged in a single thing,
nor will you be rewarded except for what you used to do.
[36:54]
The Final Outcome
A party will be in Heaven, whilst another party will be in Hell. This will be the end result of the beliefs and actions we choose for ourselves while living in this short life.
Say (to them): “O My servants who have transgressed against themselves; despair not of the Mercy of Allaah: Verily, Allaah forgives all sins. Truly, He is Oft-Forgiving, Most Merciful.
“And turn in repentance and obedience with true faith to your Lord and submit to Him (in Islaam) before the torment comes upon you, (and) then you will not be helped.”
“And follow the best of that which is sent down to you from your Lord, before the torment comes on you suddenly while you perceive not.”
Lest a person should say: “Alas, (how great is) my regret that I was undutiful to Allaah and that I was among those who mocked.”
Or (lest) he should say: “If only Allaah had guided me, I would have been among the righteous.”
Or (lest) he should say when he sees the torment: “If only I had another chance (to return to the world), then I would indeed be among those who do good.”
Nay! There came to you My Signs, and you denied them, and were proud, and were among the disbelievers. And on the Day of Resurrection you will see those who lied against Allaah - their faces will be black. Is there not in Hell an abode for the arrogant?
And Allaah will deliver those who are pious and dutiful to their places of success [Heaven]. Evil shall touch them not, nor shall they grieve.
[39:54-61]
وَسَيَقُولُ الَّذِينَ كَفَرُوا إِلَى جَهَنَّمَ زُمْرًا حَتَّىٰ إِذَا جَآءُوهَا فَيُحْتَبِطُ أَبْوُبُهَا وَقَالَ لَهُمْ خَرْزًا أَلَمْ يَا بَنِي إِسْرَائِيلَ مَنْ كُنتُمْ عَلَيْكُمْ أَبِينَ رَبِّكُمْ وَيُنَادِي وَكُمْ لَقَاءَ يَوْمَكُمْ هَدَا قَالُوا بَلْ وَلَكِنْ حَقَّتْ كَلِمَةُ الْعَذَابِ عَلَى الْكَافِرِينَ ۚ قَبِيلَ ادْخُلُوا أَبْوَابَ جَهَنَّمَ حَلِلِينَ فِيهَا فَيُسَمَّى مَنْتَكَبِينَ ۚ وَسَيَقُولُ الَّذِينَ أَنْفَعَ رَبَّهُمْ إِلَى الْجَنَّةَ زُمْرًا حَتَّىٰ إِذَا جَآءُوهَا وَفُيَحْتَ أَبْوُبُهَا وَقَالَ هُمْ خَرْزًا سَلَمُ عَلَيْكُمْ طَسْطُطُ فَادْخُلُوا حَلِلِينَ ۚ وَقَالُوا الْحَمْدُ لِلَّهِ الَّذِي صَدَقَنَا وَعْدَهُ ۖ وَأَوْرَنَا الْأَرْضَ نَبْتَوْا مِنَ الْجَنَّةِ حَتَّىٰ نَشَاءُ فَيُعَمَّ أَجْرُ الْعَمَلِينَ ۚ وَتَرَى الَّمَلِئَةَ
And those who disbelieved will be driven to Hell in groups till, when they reach it, its gates will suddenly be opened. And its keepers will say, “Did not the Messengers come to you from yourselves, reciting to you the Verses of your Lord, and warning you of the Meeting of this Day of yours?” They will say: “Yes, but the Word of torment has been justified against the disbelievers.”
It will be said (to them): “Enter you the gates of Hell, to abide therein. And (indeed) what an evil abode of the arrogant.”
And those who kept their duty to their Lord will be led to Paradise in groups, till, when they reach it, its gates will be opened and its keepers will say: “Peace be upon you! You have done well, so enter here to abide therein forever.”
And they will say: “All praise be to Allaah Who has fulfilled His Promise to us and has made us inherit (this) land. We can dwell in Paradise where we will; how excellent a reward for those who work (righteousness)!”
And you will see the angels surrounding the Throne from all round, glorifying the praises of their Lord. And it will be judged between them in truth. And it will be said, “All praise be to Allaah, Lord of the Worlds.”
[39:71-75]
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DELTA$^2$ guidance on choosing the target difference and undertaking and reporting the sample size calculation for a randomised controlled trial
Jonathan A. Cook$^{1*}$, Steven A. Julious$^2$, William Sones$^1$, Lisa V. Hampson$^{3,4}$, Catherine Hewitt$^5$, Jesse A. Berlin$^6$, Deborah Ashby$^7$, Richard Emsley$^8$, Dean A. Ferguson$^9$, Stephen J. Walters$^2$, Edward C. F. Wilson$^{10}$, Graeme Maclennan$^{11}$, Nigel Stallard$^{12}$, Joanne C. Rothwell$^2$, Martin Bland$^5$, Louise Brown$^{13}$, Craig R. Ramsay$^{14}$, Andrew Cook$^{15}$, David Armstrong$^{16}$, Doug Altman$^1$ and Luke D. Vale$^{17}$
**Abstract**
**Background:** A key step in the design of a RCT is the estimation of the number of participants needed in the study. The most common approach is to specify a target difference between the treatments for the primary outcome and then calculate the required sample size. The sample size is chosen to ensure that the trial will have a high probability (adequate statistical power) of detecting a target difference between the treatments should one exist. The sample size has many implications for the conduct and interpretation of the study. Despite the critical role that the target difference has in the design of a RCT, the way in which it is determined has received little attention. In this article, we summarise the key considerations and messages from new guidance for researchers and funders on specifying the target difference, and undertaking and reporting a RCT sample size calculation. This article on choosing the target difference for a randomised controlled trial (RCT) and undertaking and reporting the sample size calculation has been dual published in the *BMJ* and *BMC Trials* journals.
**Methods:** The DELTA$^2$ (Difference ELicitation in TriAlS) project comprised five major components: systematic literature reviews of recent methodological developments (stage 1) and existing funder guidance (stage 2); a Delphi study (stage 3); a two-day consensus meeting bringing together researchers, funders and patient representatives (stage 4); and the preparation and dissemination of a guidance document (stage 5).
**Results and Discussion:** The key messages from the DELTA$^2$ guidance on determining the target difference and sample size calculation for a randomised controlled trial are presented. Recommendations for the subsequent reporting of the sample size calculation are also provided.
**Background**
Properly conducted, the RCT is generally considered to be the gold standard for assessing the comparative clinical efficacy and effectiveness of healthcare interventions, as well as providing a key source of data for estimating cost-effectiveness [1]. These trials are routinely used to evaluate a wide range of treatments and have been successfully used in a variety of health and social care settings. Central to the design of a RCT is an *a priori* sample size calculation, which ensures the study has a high probability of achieving its pre-specified objectives.
The difference between groups used to calculate a sample size for the trial, the “target difference”, is the magnitude of difference in the outcome of interest that the RCT is designed to reliably detect. Reassurance in this regard is typically confirmed by having a sample size which has a sufficiently high level of statistical power (typically 80 or 90%) for detecting a difference as big as the target...
difference, while setting the statistical significance at the level planned for the statistical analysis (usually this is the 2-sided 5% level). A comprehensive methodological review conducted by the original DELTA (Difference ELicitation in TriAls) group [2, 3] highlighted the available methods and limitations in current practice. It showed that despite there being many different approaches available, some are used only rarely in practice [4]. The initial DELTA guidance does not fully meet the needs of funders and researchers. The overall aim of the DELTA² project, commissioned by the UK Medical Research Council (MRC)/National Institute for Health Research (NIHR) Methodology Research Programme (MRP), and described here, was to produce updated guidance for researchers and funders on specifying and reporting the target difference (“effect size”) in the sample size calculation of a RCT. In this article, we summarise the process of developing the new guidance, as well as the relevant considerations, key messages and recommendations for determining and reporting a RCT’s sample size calculation (Tables 1 and 2). This article on choosing the target difference for a randomised controlled trial (RCT) and undertaking and reporting the sample size calculation has been dak published in *tge BmJ* and *BMC Trials* journals.
**Development of the DELTA² guidance**
The DELTA² guidance is the culmination of a five stage process to meet the stated project objectives (see Fig. 1) which included two literature reviews of existing funder guidance and recent methodological literature, a Delphi process to engage with a wider group of stakeholders, a 2 day workshop and finalising the core guidance.
The literature review was conducted between April and December 2016 (searching up to April 2016). The Delphi study had two rounds: one held in 2016 before a two-day workshop in Oxford (September 2016) and another between August and November 2017. The general structure of the guidance was devised at the workshop. It was substantially revised based upon feedback from stakeholders received through the Delphi study. In addition, stakeholder engagement events were held at various meetings throughout the development of the guidance: the Society for Clinical Trials (SCT) meeting, and Statisticians in the Pharmaceutical Industry (PSI) conferences both in May 2017, Joint Statistical Meeting (JSM) in August 2017 and a Royal Statistical Society (RSS) Reading local group meeting in September 2017. These interactive sessions provided feedback on the scope (in 2016) and then draft guidance (in 2017). The core guidance was provisionally finalised in October 2017 and reviewed by the funders’ representatives for comment (MRP advisory group). The guidance was further revised and finalised in February 2018. The full guidance document incorporating case studies and relevant appendices is available here [5].
**Table 1 DELTA² recommendations undertaking a sample size calculation and choosing the target difference for a RCT**
Begin by searching for relevant literature to inform the specification of the target difference. Relevant literature can:
a. relate to a candidate primary outcome and/or the comparison of interest; and,
b. inform what is an important and/or realistic difference for that outcome, comparison and population.
2. Candidate primary outcomes should be considered in turn, and the corresponding sample size explored. Where multiple candidate outcomes are considered, the choice of the primary outcome and target difference should be based upon consideration of the views of relevant stakeholders groups (for example, patients), as well as the practicality of undertaking such a study with the required sample size. The choice should not be based solely on which yields the minimum sample size. Ideally, the final sample size will be sufficient for all key outcomes though this is not always practical.
3. The importance of observing a particular magnitude of a difference in an outcome, with the exception of mortality and other serious adverse events, cannot be presumed to be self-evident. Therefore, the target difference for all other outcomes requires additional justification to infer importance to a stakeholder group.
4. The target difference for a definitive (e.g. Phase III) trial should be one considered to be important to at least one key stakeholder group.
5. The target difference does not necessarily have to be the minimum value that would be considered important if a larger difference is considered a realistic possibility or would be necessary to alter practice.
6. Where additional research is needed to inform what would be an important difference, the ancient and opinion seeking methods are to be favoured. The distributional methods should not be used. Specifying the target difference based solely upon a Standardised Effect Size approach should be considered a last resort though it may be helpful as a secondary approach.
7. Where additional research is needed to inform what would be a realistic difference, the Opinion Seeking and the Review of the Evidence Base methods are recommended. Pilot trials are typically too small to inform what would be a realistic difference and primarily address other aspects of trial design and conduct.
8. Use existing studies to inform the value of key “nuisance” parameters which are part of the sample size calculation. For example, a pilot trial can be used to inform the choice of the standard deviation value for a continuous outcome and the control group proportion for a binary outcome, along with other relevant inputs such as the amount of missing outcome data.
9. Sensitivity analyses, which consider the impact of uncertainty around key inputs (e.g. the target difference and the control group proportion for a binary outcome) used in the sample size calculation, should be carried out.
10. Specification of the sample size calculation, including the target difference, should be reported according to the guidance for reporting items (see below) when preparing key trial documents (grant applications, protocols and result manuscripts).
Further details on the findings of the Delphi study and the wider engagement with stakeholders are reported elsewhere [6]. The guidance and key messages are summarised in the remainder of the paper.
**The target difference and sample size calculations in RCTs**
The role of the sample size calculation is to determine how many patients are required for the planned analysis.
of the primary outcome to be informative. It is typically achieved by specifying a target difference for the key (primary) outcome which can be reliably detected and the required sample size calculated. In this summary paper we restrict considerations to the most common trial design looking at a superiority question (one which assumes no difference and looks for a difference), although the full guidance considers equivalence and non-inferiority designs which invert the hypothesis and how the use of the target difference differs for such designs [5].
Table 2 DELTA\textsuperscript{+} recommended reporting items for the sample size calculation of a RCT with a superiority question
| Recommended reporting items | Page and line numbers where item is reported |
|-----------------------------|---------------------------------------------|
| **Core items** | |
| (1) Primary outcome (and any other outcome on which the calculation is based) | |
| If a primary outcome is not used as the basis for the sample size calculation, state why | |
| (2) Statistical significance level and power | |
| (3) Express the target difference according to outcome type | |
| (a) Binary—state the target difference as an absolute or relative effect (or both), along with the intervention and control group proportions. If both an absolute and a relative difference are provided, clarify if either takes primacy in terms of the sample size calculation | |
| (b) Continuous—state the target mean difference on the natural scale, common standard deviation, and standardised effect size (mean difference divided by the standard deviation) | |
| (c) Time-to-event—state the target difference as an absolute or relative difference (or both); provide the control group event proportion, planned length of follow-up, intervention and control group survival distributions, and accrual time (if assumptions regarding them are made). If both an absolute and relative difference are provided for a particular time point, clarify if either takes primacy in terms of the sample size calculation | |
| (4) Allocation ratio | |
| If an unequal ratio is used, the reason for this should be stated | |
| (5) Sample size based on the assumptions as per above | |
| (a) Reference the formula/sample size calculation approach, if standard binary, continuous, or survival outcome formulas are not used. For a time-to-event outcome, the number of events required should be stated | |
| (b) If any adjustments (eg, allowance for loss to follow-up, multiple testing) that alter the required sample size are incorporated, they should also be specified, referenced, and justified along with the final sample size | |
| (c) For alternative designs, additional input should be stated and justified. For example, for a cluster randomised controlled trial (or an individually randomised controlled trial with clustering), state the average cluster size and intraclass correlation coefficient(s). Variability in cluster size should be considered and, if necessary, the coefficient of variation should be incorporated into the sample size calculation. Justification for the values chosen should be given | |
| (d) Provide details of any assessment of the sensitivity of the sample size to the inputs used | |
| **Additional items for grant application and trial protocol** | |
| (6) Underlying basis used for specifying the target difference (an important or realistic difference) | |
| (7) Explain the choice of target difference—specify and reference any formal method used or relevant previous research | |
| **Additional item for trial results paper** | |
| (8) Reference the trial protocol | |
This set of reporting items has been developed with the conventional statistical (Neyman-Pearson) approach to a sample size calculation in mind. Some of the reporting items would differ if another approach were to be used. This checklist has been taken from Table 1 in BMJ 2018;363:k3750, as a standalone document for readers to print out or fill in electronically.
The precise research question that the trial is primarily set up to answer will determine what needs to be estimated in the planned primary analysis, this is known formally as the ‘estimand’. A key part of deciding this is choosing the primary outcome, which requires careful consideration. The target difference should be a difference that is appropriate for that estimand [7–10]. Typically (for superiority trials), an “intention to treat” or treatment policy estimand – that is, according to the randomised groups irrespective of subsequent compliance with the treatment allocation - is used. Other analyses that address different estimands [8, 9, 11] of interest (e.g. those based on the effect upon receipt of treatment and the absence of non-compliance) could also inform the choice of sample size. Different stakeholders can have somewhat differing perspectives on the appropriate target difference [12]. However, a key principle is that the target difference should be one that would be viewed as important by at least one (and preferably more) key stakeholder groups that is, patients, health professionals, regulatory agencies, and healthcare funders. In practice, the target difference is not always formally considered and in many cases appears, at least from trial reports, to be determined upon convenience, the research budget, or some other informal basis [13]. The target difference can be expressed as an absolute difference (e.g., mean difference or difference in proportions) or a relative difference (e.g., hazard or risk ratio), and it is also often referred to, rather imprecisely, as the trial ‘effect size’.
Statistical calculation of the sample size is far from an exact science [14]. Firstly, investigators typically make assumptions that are a simplification of the anticipated analysis. For example, the impact of adjusting for baseline factors is very difficult to quantify upfront, and even though the analysis is intended to be an adjusted one (such as when randomisation has been stratified or minimised), [15] the sample size calculation is often conducted based on an unadjusted analysis. Secondly, the calculated sample size can be sensitive to the assumptions made in the calculations such that a small change in one of the assumptions can lead to substantial change in the calculated sample size. Often a simple formula can be used to calculate the required sample size. The formula varies according to the type of outcome, how the target difference is expressed (e.g. a risk ratio versus a difference in proportions), and somewhat implicitly the design of the trial and the planned analysis. Typically, a sample size formula can be used to calculate the required number of observations in the analysis set, which varies depending on the outcome and the intended analysis. In some situations, ensuring the sample size is sufficient for more than one planned analysis may be appropriate.
When deciding upon the sample size for a RCT, it is necessary to balance the risk of incorrectly concluding there is a difference when no actual difference between the treatments exists, with the risk of failing to identify a meaningful treatment difference when the treatments do differ. Under the conventional approach, referred to as the statistical hypothesis testing framework [16], the probabilities of these two errors are controlled by setting the significance level (Type I error) and statistical power (1 minus Type II error) at appropriate levels (typical values are 2 sided 5% significance and 80% or 90% power respectively). Once these two inputs have been set, the sample size can be determined given the magnitude of the between group difference in the outcome it is desired to detect (the target difference). The calculation (reflecting the intended analysis) is conventionally done on the basis of testing for a difference of any magnitude. As a consequence, it is essential when interpreting the analysis of a trial to consider the uncertainty in the estimate, which is reflected in the confidence interval. A key question of interest is what magnitude of difference can be ruled out. The expected (predicted) width of the confidence interval can be determined for a given target difference and sample size calculation which is a helpful further aid in making an informed choice about this part of a trial’s design [17]. Other statistical and economic approaches to calculating the sample size have been proposed such as precision and Bayesian based approaches, [16, 18–20] and value of information analysis, [21] though they are not at present commonly applied [22].
The required sample size is very sensitive to the target difference. Under the conventional approach, halving the target difference quadruples the sample size for a two arm 1:1 parallel group superiority trial with a continuous outcome [23]. Appropriate sample size formulae vary depending upon the proposed trial design and statistical analysis, although the overall approach is consistent. In more complex scenarios, simulations may be used but the same general principles hold. It is prudent to undertake
sensitivity calculations to assess the potential effect of misspecification of key assumptions (such as the control response rate for a binary outcome or the anticipated variance of a continuous outcome).
The sample size calculation and the target difference, if well specified, help provide reassurance that the trial is likely to detect a difference at least as large as the target difference in terms of comparing the primary outcome between treatments. Failure to clarify sufficiently what is important and realistic at the design stage can lead to subsequent sample size revisions, an unnecessarily inconclusive trial due to lack of statistical precision, or to ambiguous interpretation of the findings [24, 25]. When specifying the target difference with a definitive trial in mind, the following guidance should be considered.
**Specifying the target difference for a randomised controlled trial**
Different statistical approaches can be taken to specify the target difference and calculate the sample size but the general principles are the same. To aid those new to the topic and to encourage better practice and reporting regarding the specification of the target difference for a RCT, a series of *recommendations* is provided in Tables 1 and 2. Seven broad types of methods can be used to justify the choice of a particular value as the target difference; these are summarised in Table 3.
Broadly speaking, two different approaches can be taken to specify the target difference for a RCT. A difference that is considered to be:
- **important** to one or more stakeholder groups
- **realistic** (plausible), based on either existing evidence, or expert opinion.
A very large literature exists on defining and justifying a (clinically) important difference, particularly for quality of life outcomes [26–28]. In a similar manner, discussions of the relevance of estimates from existing studies are also common; there are a number of potential pitfalls to their use, which requires careful consideration of how they should inform the choice of the target difference [2]. It has been argued that a target difference should always be both important and realistic [29], which would seem particularly apt when designing a definitive (Phase III) superiority RCT. In a sample size calculation for a RCT, the target difference between the treatment groups, strictly relates to a group level difference for the anticipated study population. However, the difference in an outcome that is important to an individual might differ from the corresponding value at the population level. More extensive consideration of the variations in approach is provided elsewhere [3, 30].
### Table 3 Methods that can be used to inform the choice of the target difference
**Methods that inform what is an important difference**
- **Anchor:** The outcome of interest can be “anchored” by using either a patient’s or health professional’s judgment to define what an important difference is. This may be achieved by comparing a patient’s health before and after treatment and then linking this change to participants who showed improvement/deterioration using a more familiar outcome (for which either patients or health professionals more readily agree on what amount of change constitutes an important difference). Contrasts between patients (e.g., individuals with varying severity of a disease) can also be used to determine a meaningful difference.
- **Distribution:** Approaches that determine a value based upon distributional variation. A common approach is to use a value that is larger than the inherent imprecision in measurement and therefore likely to represent a minimal level needed for a noticeable difference.
- **Health economic:** Approaches that use principles of economic evaluation. These compare costs with health outcomes. For example, a threshold value for the cost of a unit of health effect that a decision-maker is willing to pay, to estimate the overall incremental net benefit of one treatment versus the comparator. A study can be powered to exclude a zero incremental net benefit at a desired statistical significance and power. A radically different approach is a (Bayesian) decision-theoretic value of information analysis which compares the added value with the added cost of the additional observation, thus avoiding the need to specify a target difference.
- **Standardised effect size:** The magnitude of the effect on a standardised scale defines the value of the difference. For a continuous outcome, the standardised difference (most commonly expressed as Cohen’s d ‘effect size’, the mean difference dividing by the standard deviation) can be used. Cohen’s cutoffs of 0.2, 0.5, and 0.8 for small, medium, and large effects, respectively, are often used. Thus a “medium” effect corresponds roughly to a change in the outcome of 0.2 SD. When measuring a binary or survival (time-to-event) outcome alternative measures (e.g., an odds, risk, or hazard ratio) can be utilised in a similar manner, though no widely recognised cut-points exist. Cohen’s cut-points approximate odds ratios of 1.44, 2.48, and 4.27, respectively. Corresponding risk ratio values vary according to the control group event proportion.
**Methods that inform what is a realistic difference**
- **Pilot study:** A pilot (or preliminary) study may be carried out where there is little evidence, or even experience, to guide expectations and determine an appropriate target difference for the trial. In a similar manner, a Phase 2 study could be used to inform a Phase 3 study through this would need to take account of methodological differences (e.g. inclusion criteria and outcomes) that should be reflected in specification of the target difference.
**Methods that inform what is an important and/or a realistic difference**
- **Opinion-seeking:** The target difference can be based on opinions elicited from health professionals, patients, or others. Possible approaches include forming a panel of experts, surveying the membership of a professional or patient body, or interviewing individuals. This elicitation process can be explicitly framed within a trial context.
- **Review of evidence base:** The target difference can be derived from current evidence on the research question. Ideally, this would be from a systematic review or meta-analysis of RCTs. In the absence of randomised evidence, evidence from observational studies could be used in a similar manner.
### Reporting the sample size calculation
The approach taken when determining the sample size and the assumptions made should be clearly specified. This information should include all the inputs and formula or simulation results, so that it is clear what the sample size was based upon. This information is critical
for reporting transparency, allows the sample size calculation to be replicated, and clarifies the primary (statistical) aim of the study. Under the conventional approach with a standard (1:1 allocation two arm parallel group superiority) trial design and unadjusted statistical analysis, the core items needed to be stated are the primary outcome, the target difference appropriately specified according to the outcome type, the associated “nuisance” parameter (that is, a parameter that, together with the target difference, uniquely specifies the difference on the original outcome scale—eg, the event rate in the control group for a binary primary outcome), and the statistical significance and power. More complicated designs can have additional inputs that also need considered, like the intra-cluster correlation for a cluster randomised design.
A set of core items should be reported in all key trial documents (grant applications, protocols and main results papers) to ensure reproducibility and plausibility of the sample size calculation. The full list of recommended core items are given in Table 2 which is an update of the previously-proposed list [31]. When the sample size calculation deviates from the conventional approach, whether by research question or statistical framework, the core reporting set may be modified to provide sufficient detail to ensure the sample size calculation is reproducible and the rationale for choosing the target difference is transparent. However, the key principles remain the same. If the sample size is determined based upon a series of simulations, this would need to be described in sufficient detail to enable equivalent level of transparency and assessment. Additional items to give more explanation of the rationale should be provided where space allows (e.g. grant applications and trial protocols). Trial result publications can then reference these documents if sufficient space is not available to provide a full description.
Discussion
Researchers are faced with a number of difficult decisions when designing a RCT, the most important of which are the choice of trial design, primary outcome and sample size. The latter is largely driven by the choice of the target difference, although other aspects of sample size determination also contribute.
The DELTA² guidance provides help on specifying a target difference and undertaking and reporting the sample size calculation for a RCT. The guidance was developed in response to a growing recognition from funders, researchers, as well as other key stakeholders (such as patients and the respective clinical communities) of a real need for practical and accessible advice to inform a difficult decision. The new guidance document therefore aims to bridge the gap between the existing (limited) guidance and this growing need.
The key message for researchers is the need to be more explicit about the rationale and justification of the target difference when undertaking and reporting a sample size calculation. Increasing focus is being placed upon the target difference in the clinical interpretation of the trial result, whether statistically significant or not. Therefore the specification and reporting of the target difference, and other aspects of the sample size calculation, needs to be improved.
Abbreviations
BMC: BioMed Central; BMJ: British Medical Journal; DELTA: Difference Elicitation in TriAls; JSM: Joint Statistical Meeting; MRC: Medical Research Council; MRP: Methodology Research Programme; NIHR: National Institute for Health Research; PSI: Statistics in Pharmaceutical Industry; RCT: Randomised Controlled Trial; RSS: Royal Statistical Society; SCT: Society for Clinical Trials
Acknowledgements
This paper summarised key findings of the new guidance produced by the DELTA² study, commissioned by the MRC/NIHR MRP, in response to an open commissioned call to conduct a workshop on this topic in order to produce guidance. The authors and all researchers who have been involved in randomised trials of varying types, with most involved for more than 10 years; they have diverse backgrounds and have worked in various clinical areas and on both academic and industry funded studies. The members of the original DELTA² group were:
Professor Jonathan Cook, Professor Doug Altman, Dr. Jesse Berlin, Professor Martin Bland, Professor Richard Emsley, Dr. Dean Fergusson, Dr. Lisa Hampson, Professor Catherine Hewitt, Professor Craig Ramsay, Miss Joanne Rothwell, Dr. Robert Smith, Dr. William Sones, Professor Luke Vale, Professor Stephen Walters, and Professor Steven Julious.
As part of the process of development of the guidance a two day workshop was held in Oxford in September 2016. The workshop participants were:
Professor Doug Altman, Professor David Armstrong, Professor Deborah Ashby, Professor Martin Bland, Dr. Andrew Cook, Professor Jonathan Cook, Dr. David Coggon, Professor John Cornfield, Dr. Dean Fergusson, Dr. Andrew Greaves, Dr. Lisa Hampson, Professor Catherine Hewitt, Professor Steven Julious, Professor Graeme MacLennan, Professor Tim Maughan, Professor Jon Nicholl, Dr. Jose Pinheiro, Professor Craig Ramsay, Miss Joanne Rothwell, Dr. William Sones, Professor Nigel Stallard, Professor Luke Vale, Professor Stephen Walters, and Dr. Ed Wilson.
The authors would like to acknowledge and thank the participants in the Delphi study and the subsequent engagement sessions with various groups including the SCT, PSI and JSM conference session attendees, along with the other workshop participants who kindly provided helpful input and comments on the scope and content of this document. We would also like to thank in particular Dr. Robert Smith in his role as a member of the public who provided helpful public perspective and input in the workshop and also development and revision of the guidance document. In addition we would like to thank Dr. Vezzali for in-depth comments which helped to refine this document. Finally, the authors acknowledge the helpful feedback from the MRC MRP advisory panel which commissioned the study and provided feedback on a draft version.
Funding
Funding for this work was received from the MRC/NIHR MRP in response to an open commissioned call for an Effect Size Methodology State-of-the-art Workshop. The Health Services Research Unit, Institute of Applied Health Sciences (University of Aberdeen), is core-funded by the Chief Scientist Office of the Scottish Government Health and Social Care Directorates. The funders had no involvement in study design, collection, analysis and interpretation of data, reporting or the decision to publish.
Availability of data and materials
The full guidance document is available here [5]. Data from the Delphi study are available from the authors upon request.
Authors’ contributions
JAC and SAJ conceived of the idea and drafted the initial version of the manuscript. WS, CH, JAB, DA, LH, RE, DAF, SJW, ECHW, GM, MB, NS, JCR, LB, CRR, AC, DA and LD contributed to the development of the manuscript and commented on the draft manuscript. All authors have read and approved the final version.
Ethics approval and consent to participate
Ethics approval for the Delphi study which is part of the DELTA\textsuperscript{2} project was sought and received from the University of Oxford’s Medical Sciences Inter-divisional Research Ethics Committee (IDREC - R46815/R/EO01). Informed consent was obtained for all participants in the Delphi study.
Consent for publication
Consent for publication was not required as no individual person data are reported.
Competing interests
All authors have completed the Unified Competing Interest form at http://www.icmje.org/conflicts-of-interest/ (available on request from the corresponding author). LJB is employee of Johnson & Johnson and holds shares in this company. LVB is an employee of Novartis. The authors declare grant funding from the MRC and NIHR UK for this work. All of the other authors have declared no competing interests or conducting randomised trials through their roles. The authors declare that they have no other financial relationships that might have an interest in the submitted work; and all authors declare they have no other non-financial interests that may be relevant to the submitted work.
Publisher’s Note
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Author details
\(^1\)Centre for Statistics in Medicine, Nuffield Department of Orthopaedics, Rheumatology and Musculoskeletal Sciences, University of Oxford, Old Road, Botnar Research Centre, Nuffield Orthopaedic Centre, Windmill Rd, Oxford OX3 7LD, UK. \(^2\)Medical Statistics Group, ScHARR, The University of Sheffield, Regent Court, 30 Regent Street, Sheffield S1 4DA, UK. \(^3\)Statistical Methodology and Consulting, Novartis, Basel, Switzerland. \(^4\)Department of Mathematics and Statistics, Lancaster University, Lancaster LA1 4YF, UK. \(^5\)Department of Health Science, Seebohm Rowntree Building, University of York, Heslington, York YO10 5DD, UK. \(^6\)Johnson & Johnson Global Clinical Trial, Rock Hill, NC 28019, USA. \(^7\)Imperial Clinical Trials Unit, School of Public Health, Imperial College London, Stadham House, 68 Wood Lane, London W12 7RH, UK. \(^8\)Department of Biostatistics and Health Informatics, Institute of Psychiatry, Psychology and Neuroscience, King’s College London, De Crespigny Park, Denmark Hill, London SE5 8AF, UK. \(^9\)Clinical Epidemiology Program, Ottawa Hospital Research Institute, Ottawa, ON, Canada. \(^10\)Biomedical Centre for Health Services Research & Cambridge Clinical Trials Unit, University of Cambridge, Institute of Public Health, Foisie Site, Robinson Way, Cambridge CB2 0SR, UK. \(^11\)The Centre for Healthcare Randomised Trials (CHaRT), Health Sciences Building, University of Aberdeen, Foresterhill, Aberdeen AB25 2DQ, UK. \(^12\)Warwick Medical School – Statistics and Epidemiology, University of Warwick, Coventry CV4 7AL, UK. \(^13\)MRC Clinical Trials Unit at UCL, Institute of Clinical Trials & Methodology, 2nd Floor, 11–13 Little Russell Street, London WC1R 5DA, UK. \(^14\)Health Services Research Unit, University of Aberdeen, Health Sciences Building Foresterhill, Aberdeen AB25 2ZD, UK. \(^15\)Public Health Medicine and Fellow in Health Technology Assessment, Wessex Institute, University of Southampton, Alpha House, Enterprise Road, Southampton SO16 7NS, UK. \(^16\)School of Population Health & Environmental Sciences, Faculty of Life Sciences and Medicine, Kings College London, Addison House, Guy’s Campus, London SE1 1UL, UK. \(^17\)Health Economics Group, Institute of Health & Society, Newcastle University, Newcastle upon Tyne NE2 4AX, UK.
Received: 20 August 2018 Accepted: 29 August 2018
Published online: 05 November 2018
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IN THE CONSTITUTIONAL COURT OF SOUTH AFRICA
Case no:
SCA case no: 485/2012
NGHC case no: 77150/2009
In the matter between:
NATIONAL COMMISSIONER OF THE SOUTH AFRICAN POLICE SERVICE Applicant
and
SOUTHERN AFRICAN HUMAN RIGHTS LITIGATION CENTRE First respondent
ZIMBABWE EXILES FORUM Second respondent
FOUNDING AFFIDAVIT
I, the undersigned,
JAKOBUS MEIER
do hereby make oath and state as follows:
1. I am an attorney of the High Court of South Africa, employed in the office of the State Attorney, Pretoria at SALU Building, 316 Thambo Sehume Street, Pretoria. I am the attorney of record representing the applicant, the Commissioner of the South African Police Service ("the Commissioner"). I have acted in this capacity throughout the proceedings giving rise to this application. I am authorised to bring this application on behalf of the applicant and to depose to this affidavit.
2. The facts to which I depose are within my own knowledge, or derived from documents under my control. They are true and correct. Where I make legal submissions I rely on my own professional qualifications and experience, and on advice from independent counsel instructed on behalf of the applicant.
3. I depose to this affidavit in support of an application in terms of Rule 19 of the rules of this Court for leave to appeal against the judgment and orders by the Supreme Court of Appeal. The judgment was delivered on 27 November 2013. (It is attached, marked “A”.) Thus, pursuant to the Chief Justice’s practice direction of 6 December 2013, this application is required to be filed by 8 January 2014. Because the applicant is not available during this period to depose to the affidavit, I do so on her behalf as envisaged by Rule 19(3).
A. Introduction
4. This application concerns the interpretation and application of the Implementation of the Rome Statute of the International Criminal Court Act 27 of 2002 (“the Act”). The Act implements a consensual international convention, the Rome Statute of the International Criminal Court (“the Rome Statute”), into the national law of South Africa. The Rome Statute, to which South Africa is a party (but Zimbabwe is not), codifies certain international crimes (“core crimes”), and creates an international court (the ICC) with complementary jurisdiction to prosecute them.
5. Neither the Act nor the Rome Statute has been the subject of any prior litigation in any South African court. The Act and the Statute accordingly constitute res nova.
The particular question raised in the test litigation leading to the Supreme Court of Appeal’s judgment is, the applicant contends,
whether the South African Police Service (“SAPS”) is authorised and obliged to investigate allegations of core crimes allegedly committed by a non-party to the Rome Statute, in the territory of that non-party, against the non-party’s own nationals, and even when none of the connecting factors set out in the Act is present (and only one connector is merely contended to be “anticipated”, but its realisation is in fact unlikely).
6. This question is of profound significance for SAPS, and of general public importance. It requires this Court’s consideration. Moreover, there is at least a reasonable prospect that this Court may reach a different conclusion from the court *a quo*. In demonstrating this, I adopt the following scheme in this affidavit:
(1) I first set out the essential facts and arguments in support of this application.
(2) Second, a brief description of the parties is provided.
(3) Thereafter an overview of the proceedings below and judgments of the High Court and Supreme Court of Appeal is provided, demonstrating that there are reasonable prospects of success on appeal to this Court.
(4) Against this background I deal with the remaining requirements for leave to appeal, submitting that they, too, are demonstrably satisfied.
(5) In conclusion I ask for the ordinary order.
B. **This application in essence**
7. I am advised that it may assist to provide at the outset a synopsis of the essential facts and legal propositions underlying this application.
(1) The essential facts
8. The necessary factual background is, for present purposes, sufficiently recorded in the Supreme Court of Appeal’s judgment (see in particular paragraphs 7 to 15). In the interests of concision, I do not provide a full factual exposition here.
9. In short, the facts giving rise to this application concerns allegations of torture by the Zimbabwean police force of members of the official opposition (the Movement for Democratic Change). Their purpose is said to have been to suppress the political opponents of the ruling party (the Zimbabwe African National Union-Patriotic Front). The allegations of torture relate to an incident on 28 March 2007, recorded in a docket presented to the South African authorities by the first respondent. It requested that the incident be investigated with the aim of instituting a prosecution in the South African courts.
10. The request was directed to the Commissioner. After considerable reflection (which took into account not only the analysis of a senior superintendent, but also counsel’s opinion and academic publications), the Commissioner decided not to institute an investigation. He provided the following reasons for his decision:
(i) SAPS was not legally authorised to initiate the investigation (SCA Record vol 1 p 197 para 7);
(ii) the type of investigation required in the circumstances was prejudiced by premature publication of sensitive information (SCA Record vol 1 p 197 para 8);
(iii) the investigation would frustrate existing and ongoing criminal investigations, inter-country police cooperation and international relations (SCA Record vol 1 p 198 para 10);
(iv) Zimbabwe’s sovereignty, SAPS’ limited geographical remit, and the need for a fair, objective and independent *in situ* investigation (against the Zimbabwean police force and government officials) made it impossible to conduct an investigation resulting in a prosecutable case (SCA Record vol 1 p 198 para 10); and
(v) because Zimbabwe is not a party to the Rome Statute, its sovereignty is not affected by the Rome Statute; therefore, absent authorisation by the UN Security Council, the ICC Court does not have jurisdiction over Zimbabwe, and nor does any court (and, by necessary implication, investigators and prosecutors) of a state party to the Rome Statute (SCA Record vol 1 pp 202-203 paras 14-19).
11. It is accordingly apparent that the question raised in the litigation giving rise to this application (i.e. the proper interpretation of section 4(3)(c) of the Act, and whether it authorises SAPS to institute investigations in circumstances like the present – especially against a non-member of the Rome Statute) has at all times been squarely in issue.
(2) The essential legal argument
12. For reasons to be developed in legal argument, the Commissioner submits that the reasons for deciding not to institute an investigation in the circumstances of this case
are supported by a correct interpretation of section 4(3)(c), in the context of the Act as a whole. In what follows I set out the essential reasoning for this submission (without citing the supporting authorities). I do so only for purposes of this application, and do not abandon the arguments advanced on behalf of any of the State parties *a quo*.
13. First, the Act must be construed in the light of the common acceptance by international commentators and lawyers that — contrary to a minority view — the Rome Statute does *not* impose an unqualified, uniform (and universal) obligation to investigate and prosecute core crimes. (SALC and ZEF strenuously sought to argue that such a duty exists under the Rome Statute and the Act, but could provide no authority for this proposition in their heads of argument. Demonstrably not even section 5(3) of the Act supports this assertion, because it itself qualifies any such obligation with reference to the principle of complementarity, to which I now turn.)
14. Second, the purpose of the Statute’s governing principle (the principle of complementarity) is to ensure that one of the fundamental principles on which international law rests, namely sovereignty, is respected. The principle serves to promote national prosecutions by member states into crimes connected to their own jurisdictions. It serves to create a relationship between the ICC *and member states*. Coupled with Article 12 of the Statute (which explicitly identifies the two connecting factors: territoriality and nationality), the principle of complementarity gives member states jurisdiction over core crimes when the conditions of judicial competency have been met. Thus the Statute does *not* create universal jurisdiction. At most the Statute creates a network extending between its member states. The Statute can do no more
than bind its member states; crucially, it does not purport to authorise interference with the sovereignty of non-members.
15. Third, the Act (which implements the Statute) should be interpreted to give effect to the Statute’s concern and respect for sovereignty, and its governing principle. Indeed, the express wording of the Act makes this sufficiently clear. Nowhere in the Act is a duty created to prosecute subjects of non-member states. (And the Act is of course silent on any duty to investigate.) What the Act does is to enable either a prosecution in South African courts or a prosecution by the ICC itself (section 3(d) and (e)). In the case of a prosecution in South Africa, section 3(4)(d) provides three jurisdictional facts:
(i) a prosecution must be possible;
(ii) a prosecution must comply with the principle of complementarity; and
(iii) a prosecution of a crime committed beyond the borders of South Africa is only permissible “in certain circumstances”, namely where the suspect is a South African citizen (section 4(3)(a)), or ordinarily resident (section 4(3)(b)) or present (section 4(3)(c)) in South Africa; or has committed the crime against a South African citizen or resident (section 4(3)(d)).
16. The Commissioner’s reasons for his decision, and the evidence supporting them (to which I further refer in analysing the High Court’s and Supreme Court of Appeal’s judgments below), demonstrate that none of the conditions for enabling a South African prosecution was satisfied:
(i) in the circumstances of this case (as is borne out by expert evidence by senior SAPS investigators), it was not possible to conduct a prosecution capable of resulting in a conviction;
(ii) because Zimbabwe is not a party to the Rome Statute, the principle of complementarity excluded Zimbabwe from the Statute’s reach and did not enable or empower South Africa to prosecute organs of a foreign state; and
(iii) because the facts demonstrate that the presence requirement was absent and any anticipated future presence of any of the suspects was highly unlikely, the circumstances for enabling a lawful prosecution were not present, and any speculative investigation initiated *in anticipando* would have been irresponsible.
17. The correct interpretation and application of the Act (and, indeed, of the Rome Statute itself) is that where the above requirements are not satisfied, South Africa’s role is as set out in section 3(e) of the Act: to cooperate with the ICC’s own investigation and prosecution under the Rome Statute, as authorised by the UN Security Council (if so required in the case of a non-member state like Zimbabwe).
18. I submit that these arguments bear more than a reasonable prospect of success on appeal to this Court, and that it is clearly in the public interest that they receive this Court’s consideration. SALC’s and ZEF’s only answer thus far is that SAPS has investigative powers which are conferred by other statutory instruments – not, inexplicably, by the very Act that adopts the Statute for South Africa. This stance not only repudiates the respondents’ own pleaded case. It also fails to meet the Commissioner’s case. SALC’s and ZEF’s pleaded case was that powers to
investigate core crimes are derived from the Act. And the Commissioner’s case demonstrates conclusively that, in the present circumstances, extensive investigations in Zimbabwe are required, but not possible.
19. As SALC and ZEF conceded, they could not (and did not) argue that any of the empowering provisions on which they relied in the Supreme Court of Appeal confer extraterritorial investigative powers on SAPS. Thus SALC and ZEF were placed on the horns of a dilemma. On the one hand they were constrained to limit their case to an investigation confined to South African territory. On the other hand they were faced with dispositive evidence that, on the facts before court, a South African-bound investigation is incapable of yielding a prosecutable case. It follows that on the facts of this case, the concession in paragraph 100 of SALC’s and ZEF’s heads of argument before the Supreme Court of Appeal that “states vest national investigating authorities with a degree of discretion when determining if and how to conduct investigations and prosecutions” and that “each case should be decided on its own merits” is destructive of their case.
20. In these circumstances the Supreme Court of Appeal demonstrably erred in imposing a duty on SAPS to institute an ineffectual investigation. That Court, with respect, in striving to address larger issues it perceived of principle had insufficient regard for the combined effect, *in the instant case*, of the two factors conceded as aforesaid by the respondents. There was, on the evidence, no basis to find a reasonable prospect of any investigation leading to a prosecutable case. Hence no basis existed for directing SAPS to interfere with a foreign state’s sovereignty by embarking on an impractical
investigation of Zimbabwe’s police force, heads of state departments and Cabinet members.
21. It is to correct this order (which has far-reaching legal consequences, and creates a binding precedent), and to prevent its wide-ranging consequences, that this application is brought.
C. The parties
22. As the Supreme Court of Appeal’s judgment explains (in paragraphs 4 and 6), the current respondents instituted the proceedings against four government parties: the National Director of Public Prosecutions (“the NDPP”); the Head of the Priority Crimes Litigation Unit; the Director-General of Justice and Constitutional Development; and the Commissioner. It is only the Commissioner who is directly affected by the orders of the Supreme Court of Appeal. She is accordingly the only applicant in this Court.
23. The first respondent is the Southern African Human Rights Litigation Centre (“SALC”). It is described in paragraph 6 of the Supreme Court of Appeal’s judgment and paragraph 12 of the High Court’s judgment. In short, it is a South African non-governmental organisation with a “particular concern [for] … the almost total collapse of the rule of law” in Zimbabwe (SCA Record vol 1 p 14 para 7). This concern inspired it “to utilise South Africa’s … ICC Act to request South African authorities to investigate and prosecute individuals in Zimbabwe” (SCA Record p 14 para 8, emphasis added).
24. The second respondent is the Zimbabwe Exiles Forum ("ZEF"). It, too, is described in paragraph 6 of the Supreme Court of Appeal's judgment and paragraph 12 of the High Court's judgment. The High Court judgment records that ZEF has as one of its objects "assist[ing] victims of human rights abuses occurring in Zimbabwe to obtain access to justice and redress that are ordinarily denied them in Zimbabwe".
25. In the proceedings below SAPS disputed SALC’s and ZEF’s standing. In these proceedings SAPS’ arguments advanced in the context of *locus standi* are however to be considered in the context of the substantive question for determination: whether SAPS is authorised and obliged to investigate allegations by *a regional litigation NGO’s or international exiles initiative* of core crimes allegedly committed by a non-party to the Rome Statute, in the territory of that non-party, against the non-party’s own nationals, absent any statutory connecting factor.
26. Finally, for the sake of completeness, I note that before the Supreme Court of Appeal the Tides Centre was admitted as *amicus curiae*. (As the Supreme Court of Appeal’s judgment records, the *amicus* argued largely in support of SALC’s and ZEF’s case. The judgment does not reflect any particular assistance derived from the *amicus*’ participation.) An *amicus* is not a party to the proceedings and is accordingly not properly to be cited in a subsequent application for leave to appeal. Thus, for present purposes the only relevance of the *amicus*’ intervention *a quo* is that it demonstrates the considerable public interest in the litigation giving rise to this application.
D. **The procedural history and judgments below**
27. SALC and ZEF contemplated their litigation initiative long before the ensuing review application was instituted. The expressed intention was to exert some pressure on the
conduct of the anticipated Zimbabwean election of 2007. However, they lodged their joint application in the High Court only in December 2009. The High Court heard the application on 26 – 30 March 2012, and delivered its judgment on 8 May 2012, upholding the application but making extensive orders not sought by SALC or ZEF.
28. In what follows I deal with the High Court judgment, the application for leave to the Supreme Court of Appeal and the resultant appeal judgment. In doing so, I identify what SAPS submits are errors by the courts below, requiring correction on appeal to this Court.
(1) **The High Court’s judgment**
29. I deal only shortly with the High Court’s judgment (annexed, marked “B”), because it is of course the Supreme Court of Appeal’s judgment which is the subject of this application. The relevance of the High Court judgment for present purposes is threefold. First, it provides an overview of the relevant facts, pleadings and arguments. Second, it demonstrates that the issue raised in this application – the interpretation of section 4(3) of the Act – has at all times been the “central issue” (paragraph 3 of the High Court’s judgment on leave to appeal) before both courts below. Third, it demonstrates that the judgments and orders below are not capable of being sustained on different bases (as SALC and ZEF initially sought to assert before the Supreme Court of Appeal).
30. The first pertinent aspect is the High Court’s recordal – without adverse comment, and clearly without rejecting the then fourth respondent’ version – of SAPS’ expert
evidence that “further investigations into the relevant allegations would be impractical and virtually impossible” (paragraph 3 of the main judgment).
31. In paragraph 4 the letter by the Commissioner setting out the reasons for declining to institute an investigation is quoted. The letter records that the information contained in the docket was “insufficient to constitute evidence in an investigation into contraventions of the … Act”. It thereafter recorded the main basis for SAPS’ decision: that the mere “anticipated presence” of a suspect does not suffice to impose a power and duty on SAPS to investigate. The letter then proceeds to table the impediments to an investigation into events occurring in a foreign state. For brevity, I paraphrase them.
- First, no lawful channels existed through which the necessary verification could be achieved.
- Second, no lawful authority existed to ensure the necessary cooperation required from the Zimbabwean government.
- Third, because the suspects are government officials and the accusations relate to the gross abuse of this authority, an overt investigative approach could not be adopted (lest the integrity of the evidence or safety of witnesses be compromised). But any such approach would necessarily impact adversely on Zimbabwe’s sovereignty.
- Fourth, the concern about the legality of the investigation was exacerbated by the significant deficiencies in the docket. While extensive investigations would have been required to overcome the deficiencies, any such investigation had been compromised by widespread publicity.
Further reasons included concerns over consequences for South Africa and SAPS in the light of the questionable legality of any investigation, which would unavoidably violate Zimbabwe’s sovereignty.
(These reasons were also paraphrased by the NDPP, and this is replicated in paragraph 10 of the High Court’s judgment.)
32. The judgment also records (in paragraph 9) that SAPS’ expert evidence demonstrated that the nature of the crimes complained of present a particular problem. It is that in order to constitute a core crime, a specific *mens rea* element has to be proved (beyond reasonable doubt) by admissible evidence. In order to obtain this evidence, further extensive investigations *in Zimbabwe* would be required. The High Court did not reject this evidence, and no basis exists to do so – especially not on motion proceedings in which it was adduced by the then fourth respondent. (As will be seen, nor did the Supreme Court of Appeal.)
33. In paragraph 11.1 the High Court identified what it appears to have considered a material error in the NDPP’s and Commissioner’s approach. It is that SALC’s docket was “examined to ascertain whether it contained sufficient information for a so-called court-directed investigation, i.e. whether *it* [i.e. SALC’s docket] could enable a prosecutor to make a properly informed decision whether or not to prosecute” (emphasis added). But this is in fact a material misconstruction of the evidence. The relevant evidence is of course the Commissioner’s own reasons, of which the pertinent sentence reads: “Based on an evaluation of the docket by Senior Superintendent L.J. Bester, it was clear that the information therein contained is
insufficient to conduct a thorough, Court-directed investigation ..." (SCA Record vol 1 p 196 para 6; see also SCA Record vol 1 p 198 para 10.1).
34. What is thus clear from the actual evidence is that the Commissioner did not seek to equate SALC’s docket with a court-directed investigation. Nor did he evaluate the docket against that standard (which is of course in any event applied by a prosecutor, not an investigator). Instead, the Commissioner evaluated the docket for purposes of deciding whether the information contained in the docket was sufficient to enable SAPS itself to conduct the necessary comprehensive court-directed investigation.
35. While it is true that Brigadier Marion concluded that “the statements provided by [SALC] are inadequate for a Court-directed investigation” and that “[t]he allegations of torture would have to be reinvestigated from scratch” (SCA Record vol 4 p 616 para 14), it is incorrect to construe this (as paragraph 11.2 of the High Court’s judgment does) as an indication that the decision-maker – the Commissioner, who relied on the evaluation of Senior Superintendent Bester – misdirected himself.
36. The section dealing with standing (at paragraphs 12 and 13, comprising pages 40 to 60 of the judgment) is not relevant for present purposes. The same applies to the section on reviewability (at paragraphs 14 to 20, comprising pages 60 to 70 of the judgment). These issues are interwoven with the merits of the matter and fall for consideration (to the limited that the High Court’s reasoning remains relevant) in that context.
37. In paragraphs 21 to 27 (at pages 70 to 82 of the judgment) the High Court described the statutory provisions contained in the Act, the NPA Act (and proclamations under it) and the SAPS Act. The statutory amendments to which the Supreme Court of Appeal’s judgment refers render much of this exposition academic, however.
38. Also the next section (paragraphs 28 to 31, comprising pages 82 to 89 of the judgment) is largely academic. It deals with a subsidiary reason for the impugned decision, namely the Commissioner’s concern for foreign relations. Although SALC and ZEF contended that this reason is bad in law and inseparable from the main reason for the decision (the interpretation of section 4(3) of the Act), this argument is wrong for two reasons. First, it is clear that as a matter of fact this concern constituted a subservient and severable reason for the decision. Second, if SAPS’ construction of the Act is correct, it does not confer a power on SAPS to initiate an investigation in the circumstances of this case. In that event, even if the concern for foreign relations was indeed an inappropriate reason, it is irrelevant because SAPS in any event did not have the power to initiate an investigation.
39. The high watermark of the High Court’s dealing with SAPS’ evidence establishing the practical impossibility to investigate a prosecutable case in the circumstances of this case is found in this part of the judgment. Fabricius J simply stated that “I have little doubt that on the present facts [the Commissioner] could have initiated the investigation in South Africa by interviewing witnesses, with the assistance of [SALC] if necessary” (page 88 lines 12-15). This ignores the evidence that it is SAPS’ duty to investigate independently and objectively (by also considering exculpatory evidence), and Brigadier Marion’s evidence that “[a]ll the investigations,
which I have highlighted above, would have to be conducted in Zimbabwe” (SCA Record vol 4 p 620 lines 14-16; see also SCA Record vol 4 p 625 lines 20-21; SCA Record vol 4 p 635 lines 12-15; SCA Record vol 4 p 635 lines 16-17), and that SAPS was not authorised to do this without Zimbabwe’s consent (SCA Record vol 4 p 620 lines 16-21; SCA Record vol 635 lines 18-19).
40. Presented with formidable evidence, it was not open to the High Court to simply second-guess the Commissioner. To do so with respect fails adequately to consider that (a) a difficult evaluative discretion was at play (b) being exercised by an experienced investigative agency (c) pursuant to the division of powers between legislature, the courts and the executive. Nor could the evidence simply be dismissed on the basis the wrong question was asked, and therefore the wrong answer provided. Brigadier Marion made it abundantly clear that in the event that he concluded that the dossier did not constitute a court-driven investigation, he was required to set out what further investigations was required – and this he did (SCA Record vol 4 p 593 para 4; SCA Record vol 4 p 620 para 14). Accordingly, the only bases on which the High Court sought to reject Brigadier Marion’s evidence are demonstrably defective.
41. Before reaching the conclusion and order, in the final two substantive pages (pages 90 and 91) of its 98-page judgment, the High Court dealt with the Commissioner’s argument. For the reasons already mentioned (and further elaborated on below), the High Court’s limited treatment of the main decision-makers argument did not address the issues before Court adequately. The court’s conclusions are demonstrably insupportable – both on the facts and in law.
42. The concluding paragraph records that the parties were invited to prepare draft orders to substitute for prayer 4 of the amended notice of motion. Prayer 4 of the amended notice of motion asked for a direction that the NDPP, the Head of the Priority Crimes Litigation Unit and the Commissioner reconsider SALC’s request to initiate an investigation. It thus sought the ordinary relief: a remittal to the decision-maker to make a decision *de novo*. No case was made out and no argument presented on the extraordinary relief, appropriate only in exceptional circumstances, of substituting the decision-maker’s decision. Nor did the High Court grant such relief. It remitted the decision to SAPS and granted ancillary relief. (As will be seen, the Supreme Court of Appeal *mero motu* substituted the Commissioner’s decision, and compelled him to initiate an investigation.)
(2) **Subsequent proceedings**
43. SAPS and the NDPP duly applied for leave to appeal against the High Court judgment. Fabricius J refused leave to appeal. He did so on the basis that his main judgment demonstrated that SAPS and the NDPP “have by and large confused the duty to prosecute alleged offences with the duty to investigate the relevant crimes” (paragraph 7 of the judgment on leave to appeal).
44. As paragraph 18 of the Supreme Court of Appeal’s judgment subsequently demonstrated, there is with respect no merit in this finding. The NDPP’s evidence demonstrated that the Acting NDPP appreciated that “even though the SALC sought the initiation of an investigation, it was ultimately ‘urging a prosecution’”. He was not confused between these two concepts, and the suggestion that such a senior
prosecutor is incapable of differentiating between investigations and prosecutions is insupportable. Had there truly been such a basic conceptual failure, the Acting NDPP would of course not have referred the matter to SAPS to investigate (as paragraph 18 of the Supreme Court of Appeal’s judgment records). Thus both the High Court’s main judgment and its belief that no court could come to a different conclusion are with respect demonstrably flawed.
45. It therefore became necessary to obtain special leave from the Supreme Court of Appeal. Before the Supreme Court of Appeal SALC and ZEF initially attempted to defend the High Court judgment on the basis of peremption and the Witbank principle.
46. On the basis of the resort to peremption, the application for special leave was referred for oral argument. However, SALC and ZEF ultimately abandoned the point. They did so only in their heads of argument *a quo*, however.
47. The second defence to the application for leave to appeal relied on *Patel v Witbank Town Council* 1931 TPD 284. It is to the effect that bad reasons may contaminate a decision in its entirety and therefore render a decision assailable even if some reasons provided for it are valid. But the Witbank principle of course does not apply where one of the reasons for the decision is a lack of *vires*. If the decision-maker is indeed not authorised by law to institute an investigation, a mandamus or review seeking to impose such duty is legally incompetent. Thus SALC and ZEF could not avoid what SAPS identified as “the central issue”: the interpretation of the Act before the
Supreme Court of Appeal. Special leave was accordingly granted, and the appeal was argued and decided on its merits.
(3) The Supreme Court of Appeal’s judgment
48. Because it is against this judgment which this application is directed, I deal with it more fully. In what follows I identify the bases on which I submit the judgment is flawed. While it is the reasoning in the judgment which is analysed below, it is of course the orders themselves which are the subject of the appeal. As I shall show, the extraordinary order at which the Supreme Court of Appeal arrived is with respect not supported by the pleadings or the authority invoked for it.
49. For ease of reference I analyse the judgment under the headings adopted in the judgment. I doing so, I deal only with the most relevant paragraphs.
Introduction
50. The Supreme Court of Appeal’s judgment proceeds by recording the relief granted by the High Court, and the far more limited relief initially sought by SALC and ZEF (paragraphs 1 and 2).
51. At paragraph 5 it formulates the question for consideration as follows: “What business is it of the South African authorities when torture on a widespread scale is alleged to have been committed by Zimbabweans against Zimbabweans in Zimbabwe?” But this formulation, Navsa ADP held, was for those “unfamiliar with International
Criminal Law”. He reformulated the issue thus: “the appeal concerns the investigative powers and obligations of the NPA and the South African Police Service in relation to alleged crimes against humanity perpetrated by Zimbabweans in Zimbabwe.” Or, “[p]ut jurisprudentially, this appeal concerns the exercise of jurisdiction by a domestic court (and logically antecedent exercise of investigative powers by the relevant authorities) over allegations of crimes against humanity – in particular the crime of torture – committed in another country.”
52. Absent from each of these formulations is one crucial consideration. It is that Zimbabwe is not a party to the Rome Statute. Accordingly, the derogation from Zimbabwe’s sovereignty pursuant to the Rome Statute (and its domestic implementation in South Africa) was erroneously predetermined by the Supreme Court of Appeal in formulating the question for consideration. By formulating the question for determination in those terms, the Supreme Court of Appeal demonstrably begged the question. The true question is what authority does SAPS have to investigate a foreign state’s police service and Cabinet members? The suggestion that the answer is apparent to everyone who knows at least something about international criminal law predetermines the appeal. It is also with respect wrong, for reasons to be set out below and amplified in argument.
53. The next ten paragraphs of the judgment describe SALC and ZEF, and provide some background to their application. It is important to note what is non-contentious. It is that the conduct by the Zimbabwean Police Service leading to SALC’s and ZEF’s request for an investigation followed a bombing incident for which the alleged torture victims are allegedly responsible. Accordingly, it appears from the memorandum
prepared by SALC and ZEF themselves that the allegations of torture suggest police brutality and excess, exacted in the exercise of criminal investigations. If these serious allegations are true, they are to be deprecated. But, even if true, this does not constitute a crime against humanity. An additional element – which is notoriously difficult to prove – is required to constitute a crime against humanity: *mens rea* (knowledge of a widespread or systemic attack). It is *inter alia* for this reason that SAPS’ highly experienced investigator concluded that very extensive (and, indeed, impractical if not impossible) investigations would be required by SAPS before the Rome Statute’s *chapeau* requirement (which is applicable to all crimes against humanity, including torture) is satisfied. For reasons provided by SAPS (but not dealt with by the Supreme Court of Appeal in its judgment), the reference to documentary evidence by human rights organisations (in paragraph 8 of the judgment) did not assist SAPS in investigating the *chapeau* requirement.
**The background**
54. In paragraph 10 of its judgment, the Supreme Court of Appeal deprecated the devastating effect of premature media exposures (for which SALC itself was responsible). SAPS has consistently warned that publicity should be avoided, not only to protect the integrity of any investigation. More importantly, suspects who are alerted of any intention to prosecute them in a South African court (at which stage their actual presence is required) would effectively defeat the presence requirement of section 4(3)(c) of the Act. SALC’s advance publicity accordingly rendered any investigation meaningless. For once there is a basis to suspect that a South African court will never be vested with jurisdiction (which, in the present circumstances, it is
common cause, can only arise under section 4(3)(c)) the futility of a court-directed investigation by South African authorities is self-evident.
55. Although the Supreme Court of Appeal appears to have appreciated this aspect (because it recorded that it required “to be addressed further below”), the judgment and order with respect clearly do not overcome this fundamental defect. Instead, the Court immediately invoked (in paragraph 11) the graphic nature of the instances of torture provided by some of the alleged victims. There should be no doubt about SAPS’ position in relation to police brutality or torture. It has repeatedly stated that these are not to be tolerated. The question, however, is whether SAPS has the authority to investigate a foreign country’s police force and its Cabinet members even when the Rome Statute itself does not apply to the foreign state, when no statutory connecting factor exists, and when the practicality and possibility of procuring a prosecution in South Africa are severely compromised.
The NDPP’s case
56. Under this heading the Supreme Court of Appeal considered the operative legal infrastructure. It noted (in paragraph 16) that SALC and ZEF accepted that amendments to the South African Police Service Act 68 of 1995 resulted in a legal position in terms of which a special directorate of SAPS (“the Hawks”) is entitled to require the NDPP to designate a Director of Public Prosecutions to investigate the offence in terms of the NPA Act. Nevertheless, the Supreme Court of Appeal went on to order SAPS itself to investigate the offences (paragraph 3.2.2 of the order).
57. In paragraph 18 of the judgment it is recorded that from the earliest stages the NDPP’s primary concern has been as to the circumstances in which South African authorities have jurisdiction in respect of events occurring in other countries. In paragraph 20 the Commissioner’s reasons for deciding not to institute an investigation are recorded. One of them is that SAPS could not conduct the investigation lawfully. In paragraph 21 it is recorded that the Acting NDPP was of the view that such further investigations as are required would have to be conducted in Zimbabwe, and that Zimbabwe’s sovereignty “was impacted”. But having dismissed these issues already in paragraph 5 of the judgment as a mere manifestation of unfamiliarity with international criminal law, they are not analysed in the judgment.
The Commissioner’s case
58. The next section of the judgment (paragraphs 24 to 31) deals with SAPS’ case. The judgment records, and significantly does not reject, the undisputed fact that a most senior and seasoned SAPS official (Senior Superintendent Bester) considered that any “further investigation would be impractical and virtually impossible” (paragraph 24). This was further confirmed by Brigadier Marion, who identified numerous deficiencies in the docket (paragraph 25). Brigadier Marion further disproved SALC’s and ZEF’s “assertion … that the perpetrators visit South Africa regularly” (paragraph 27). I note that it is this assertion which formed the basis for SALC’s and ZEF’s contention that the presence requirement should be relaxed to extend also to an anticipated presence. But on the facts, there is not even a basis for reasonably anticipating the presence of the alleged perpetrators. SALC and ZEF having publicised their ambition for a prosecution of the named individuals, there is no
prospect of them travelling to South Africa in future. Thus, on the undisputed facts, there was no basis to engage in the legal question whether “anticipated presence” sufficed. This is because there was no factual basis to anticipate the presence of the relevant individuals.
59. As the judgment records in paragraph 28, the Commissioner thus concluded that SAPS was not legally authorised to investigate extraterritorially, and that – even were SAPS vested with jurisdiction to investigate Zimbabwean officials in Zimbabwe – any such investigation would in any event have been “highly impractical, if not impossible.” The Commissioner’s position was that when the alleged offender is a foreigner who is not present in South Africa and whose future presence is not even reasonably expected, no duty to investigate arises. He based this conclusion on section 205 of the Constitution (which he identified as the most fundamental provision when considering SAPS’ powers), and on the fact that international law itself imposes a duty on states not to infringe other states’ sovereignty.
60. In a self-standing paragraph the judgment then criticises the High Court’s judgment’s incoherence, and the wide-ranging order. As I shall show, the same criticism, with great respect, may be directed at the Supreme Court of Appeal, in both respects.
The law
61. Against this background Navsa ADP referred to some basic principles, precedents and legal instruments under the heading “The law” (paragraphs 32 to 46). The first recordal is that “this case is the first in which the question of South Africa’s
competence to investigate crimes against humanity has arisen directly” (paragraph 32). This is with respect correct. The novelty and the importance of this case render it an appropriate matter for this Court’s consideration – particularly in circumstances where the issues have been ventilated in both the High Court and the Supreme Court of Appeal, and where both courts’ judgments reflect numerous bases on which this Court could come to a different conclusion. Especially the Supreme Court of Appeal’s approach of formulating the question for consideration, and indeed resolving it, without due regard for the fact that Zimbabwe is not a party to the Rome Statute requires this Court’s consideration – lest the Supreme Court of Appeal’s judgment remains standing as precedent binding all High Courts and SAPS in perpetuity.
62. If the Supreme Court of Appeal’s judgment goes unchecked, SAPS may effectively be constrained to institute unlimited investigations into allegations of core crimes committed by foreign state agencies of, say, Ethiopia, Israel, Libya, US, Rwanda, Somalia, Swaziland, Syria, Zimbabwe or any other non-party to the Rome Statute, with the most tenuous connection to South Africa. Contrary to what paragraph 3.2 of the order suggests, the judgment has very far-reaching consequences.
63. In dealing with the international law principle of state sovereignty, the Supreme Court of Appeal correctly noted that a state’s competence to enforce and adjudicate “is severely restricted to its own territory, absent the consent of a foreign state” (paragraph 36). It however failed to apply this principle to the facts of this case. Had the Supreme Court of Appeal firstly recognised that Zimbabwe is not a party to the Rome Statute and thus did not authorise any other state to exercise such jurisdiction as
may be contemplated by the Statute, and had the Supreme Court of Appeal given effect to the determinative evidence that any meaningful investigation necessarily required SARS to investigate in Zimbabwean territory, the Supreme Court of Appeal could not have come to the conclusion – and made the orders – it did.
64. At paragraph 39 the judgment reaches the issue of universal jurisdiction. It held that crimes affecting the international community as a whole are not tied to the state’s territory or some other traditional connecting factor, but are rooted in the universal nature of the offence. This proposition is however only applicable to *prescriptive* jurisdiction (i.e. a state’s power to legislate). The correct legal position is that jurisdiction to investigate and prosecute a core crime is **not** universal.
65. This is indeed demonstrated by the very authority cited by the Supreme Court of Appeal, in the specific context of torture (*Dugard International Law: A South African Perspective* 4th ed (Juta & Co Ltd, Cape Town 2011) at 160). The Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment (1984) makes it sufficiently clear that the “presence” requirement means that the power and duty to establish enforcement jurisdiction over a torturer is limited to a state’s territory. Such “universal jurisdiction” as exists is limited to the “parties to the Convention.” Beyond that sphere, there is no universal jurisdiction under the Torture Convention. While the application of the Rome Statute itself is of course equally limited to its parties, the Statute does not confer universal jurisdiction – not even on the ICC Court itself. Therefore South Africa has no enforcement jurisdiction over Zimbabwe or any other non-party to the Rome Statute (or, for that matter, the Torture Convention).
66. The judgment thereafter replicates the first six recitals of the Rome Statute’s preamble. It stops short of the seventh recital. The seventh “reaffirm[s] the Purposes and Principles of the Charter of the United Nations, and in particular that all states shall refrain from the threat or use of force against the territorial integrity or political independence of any state, or in any other manner inconsistent with the Purposes of the United Nations.” This recordal gives effect to one of the four pillars of international law: non-interference in the territory and affairs of other states (in short, sovereignty).
67. The seventh recital’s emphasis on sovereignty is further affirmed by the tenth recital. It “emphasise[s] that the International Criminal Court established under this Statute shall be complementary to national criminal jurisdictions”. This principle (the complementarity principle) is indeed the bedrock of the Statute, and finds prime place in Article 1 of the Statute. The complementarity principle is the very basis on which the Rome Statute mustered sufficient support to enter into effect. It serves to mitigate the intrinsic infringement of states’ sovereignty. An infringement of sovereignty is inherent in every prosecution of a state’s citizens by any other entity. Accordingly, any attempt at interpreting the Statute (and national legislation incorporating it) must have due regard to state sovereignty.
68. Instead, the Supreme Court of Appeal limited this fundamental principle’s operation to giving effect to the primary jurisdiction of states and considerations of efficiency and effectiveness. It did so with reference to an informal paper on the principle of complementarity in practice (paragraph 42, footnote 18). By thus limiting its focus, the Supreme Court of Appeal with respect failed to appreciate that the
complementarity principle provides that it is the ICC Court’s jurisdiction which is activated by a responsible state’s unwillingness or inability to investigate or prosecute a core crime. It is not the jurisdiction of another state which is activated. What is more, even the ICC Court’s own (residual, or complementary) jurisdiction is subject to Article 12 of the Statute. Thus, the Rome Statute does not authorise or require a member state to investigate or prosecute a core crime committed by another state if no connecting factor recognised by law exists between the two states.
69. The remaining paragraphs under this section of the judgment quote the Act’s long title, preamble, objectives and definitions. I have already referred to some of these provisions, and their interpretation and application is a matter for legal argument. It suffices to point out at this stage that the Supreme Court of Appeal’s quotation of section 3 of the Act (which contains the Act’s objectives) is incomplete. It omits paragraphs (c), (d) and (e). In the context of this case – and in the light of decisive evidence demonstrating the *impossibility* and *impracticality* of any proper investigation, and the improbability of ever fulfilling the *presence* requirement for any prosecution – the mutually-reinforcing qualifications contained in section 3(d) are of particular significance. The Supreme Court of Appeal’s omission of this provision from its exposition on “the law” is a material elision from the full statutory text and context. Upon a proper consideration of the statutory framework in its entirety there is every prospect that another court could come to a different conclusion.
*Interpreting the provisions of the ICC Act*
70. Against this partial recordal of the Act’s text, the Supreme Court of Appeal turned to “interpreting the provisions of the … Act” (paragraphs 47 to 51). At the outset the
Court recorded its difficulty with the Commissioner’s case, apparently because it rested on more than one proposition. I respectfully submit that SAPS’ heads of argument demonstrate that there is no incoherence or inconsistency in SAPS’ argument *a quo*.
71. SAPS clearly argued, as paragraph 50 of the judgment in fact reflects, that the Act’s jurisdictional facts of *possibility* and *presence* were not satisfied. Nor was there any prospect of these requirements being satisfied in the foreseeable future. To expend disproportionate investigative resources with no reasonable prospect of an authorised outcome is not consistent with section 205 of the Constitution. That requires effective policing (section 205(2)). Improvident investigative ventures thus undermine section 205 of the Constitution. To suggest that there is any lack of coherence or consistency in this proposition is to overlook section 205 of the Constitution itself. This, too, is with respect a constitutional misdirection by the Supreme Court of Appeal which requires correction by this Court.
72. In concluding this section of its judgment, the Supreme Court of Appeal held that SAPS’ argument was “patently fallacious” (paragraph 51). This was because “[i]n the light of the progressive development of the idea of universality, *prescriptive* jurisdiction is no longer necessarily limited in the manner suggested by the Commissioner” (emphasis added). However, investigative powers are of course an instance of *enforcement* jurisdiction (not prescriptive jurisdiction). SAPS’ powers are constrained by enforcement jurisdiction. The prescriptive jurisdiction exercised by the South African legislature in enacting the Act is silent on SAPS. What the Act does is firstly to criminalise certain conduct in section 4(1). This is an exercise of
prescriptive jurisdiction. Secondly, the Act vests jurisdiction in South African courts. This confers enforcement jurisdiction. Courts stand at the terminus of the criminal justice system; and SAPS is the gatekeeper to the same system, standing at its opposite end.
73. For SAPS to embark on an exercise in enforcement jurisdiction when it inexorably leads to a dead end (because the presence requirement prevents courts from adjudicating, and even prosecutors from prosecuting) is an exercise in futility. There is nothing “fallacious” in recognising this reality and in abstaining from infringing a foreign state’s sovereignty when there can be no rational connection between the infringement and the purpose for it. It is accordingly the Supreme Court of Appeal’s reasoning and order which result in an arbitrary exercise of public power. This is contrary to the rule of law and the principle of legality, and is thus unconstitutional.
Investigative competence
74. The next section of the judgment deals with SAPS’ investigative competence. This question is approached on the assumption that the offenders “come to South Africa from time to time” (paragraph 52 of the judgment, quoting SALC’s and ZEF’s heads of argument). The determinative facts are however that the perpetrators do not come to South Africa from time to time, and even those instances – of years ago – when some perpetrators would sporadically travel very briefly to South Africa are now unlikely ever to be repeated.
75. The Supreme Court of Appeal referred to section 205 of the Constitution, certain provisions of the SAPS Act and section 28 of the NPA Act. It held that when these provisions are read with the Act, SAPS is authorised to investigate core crimes committed extraterritorially. This was despite the fact that the Act was silent on SARS’ investigative powers. To overcome this admitted hiatus, the Supreme Court of Appeal relied on residual empowering provisions contained in the Constitution, the SAPS Act and the NPA Act. This necessarily drove the Supreme Court of Appeal back from extraterritoriality to territoriality. Thus, reverting to the true nature of SAPS’ investigative powers (which is an instance not of *prescriptive* jurisdiction, but of *enforcement* jurisdiction), the Supreme Court of Appeal had to accept that SAPS’ investigative powers are indeed confined to the geographical jurisdiction of South Africa (paragraph 56).
76. This terminus, the Supreme Court of Appeal appears to have considered, was not destructive of its reasoning and SALC’s and ZEF’s case. This is because “the respondents have not called for the requested investigation to extend outside the borders of South Africa”, have “offered to make the victims and other Zimbabwean nationals available to the South African authorities in South Africa”, and “submit[ed] that it is not necessary for the South African authorities to travel to Zimbabwe to conduct the investigation there” (paragraph 56). But this reasoning was with respect not open to the Supreme Court of Appeal on the facts.
77. Dispositive evidence demonstrated that the version of SALC and ZEF (as applicants before the High Court) was not sustainable, especially not on motion. In order to investigate as required by its empowering statute, extensive *in loco* investigations
were in fact required — absent which no prosecutable case could ever have been assembled. Thus, the double bind is this. The facts demonstrate that both the possibility requirement (for a prosecution) and the presence requirement (to confer jurisdiction on a South African court) were absent.
78. In such circumstances the conclusion reached by the Supreme Court of Appeal and its order (especially paragraph 3.2) are with respect unsustainable. Contrary to what the judgment suggests, both as a matter of fact and of law, SALC’s and ZEF’s offer of assistance to SAPS cannot be a substitute for what the Supreme Court of Appeal recognised was required: “the consent or co-operation of foreign states” (paragraph 56). With the best will in the world, neither SALC nor ZEF is able to “make … other Zimbabwean nationals [i.e. government officials, who are either essential witnesses or suspects] available” to SAPS in South Africa.
79. Therefore the conclusion in paragraph 56 of the judgment is self-destructive.
Whether the circumstances warrant an investigation
80. The final section of the judgment (paragraphs 57 to 70) commences by accepting the Commissioner’s submission that an investigation is futile if the presence requirement is unlikely to be capable of satisfaction. As a matter of law, however, the issue is not one of “usefulness” or “uselessness” (as paragraph 57 of the judgment appears to suggest). It is one of statutory authority. The issue is *vires*, not utility. Because section 3(d) of the Act itself restricts prosecutions to that which is “possible”, there is no legal basis to expect the impossible of SAPS. Expert evidence demonstrated that a
geographically-bound investigation limited to such evidence as SALC and ZEP is capable of making available in South Africa is incapable of achieving a competent prosecution. Thus the possibility requirement cannot be satisfied on the facts of this case.
81. The Court then embarked on a limited comparative overview to assist it in establishing the "presence threshold" applicable to the initiation of investigations. It made the following observations:
(i) in Canada the presence requirement could be extended to cover also the initiation of investigations;
(ii) in Denmark the presence requirement also applies to initiating an investigation;
(iii) in France, too, the presence requirement applies to initiating an investigation;
(iv) in Germany, actual or anticipated presence is required before an investigation may be initiated, but if anticipated presence is not established no duty to investigate exists;
(v) in the United Kingdom, the law is silent on the presence requirement in relation to investigations, but it has apparently been found (although no authority is cited for this proposition) that the commencement of an investigation is permissible despite the suspect's absence; and
(vi) under the African Union's Model Law on Universal Jurisdiction over International Crimes there is no explicit presence requirement.
82. Thus, in three of the six jurisdictions the presence of a suspect is indeed a prerequisite for initiating an investigation. And two of the six jurisdictions are in fact silent on a
presence requirement. (The suggestion that silence confers legal authority is inconsistent with the rule of law and the principle of legality, and the unsupported resort to what was supposedly found to be possible in English law is therefore not availing from a South African perspective.) Accordingly five of the six comparators do not support the conclusion sought to be reached.
83. The singular exception is German law. It adopts position which is not reflected in any of the other jurisdictions to which the Supreme Court of Appeal referred. (What is more, as I shall show, the actual position under German law is with respect not as understood by the Supreme Court of Appeal.) Yet it is this position which the Supreme Court of Appeal simply selected – without any analysis – to transplant into South African law. This Court has often warned against selective transplants. When regard is had to the actual provision and its application under German law, there is every reason not to have adopted and applied it as the Supreme Court of Appeal did.
84. Firstly, the text of the provision on which the Supreme Court of Appeal relied is section 153f(2) of the Code of Criminal Procedure (paragraph 62, footnote 28 of the Supreme Court of appeal’s judgment). The section reads:
“The public prosecution office may dispense with prosecuting an offence for which there is criminal liability pursuant to sections 6 to 14 of the Code of Crimes against International Law in the cases referred to in Section 153c subsection (1), numbers 1 [i.e. acts committed abroad] and 2, in particular if:
1. no German is suspected of having committed the crime;
2. the offence was not committed against a German;
3. no suspect is, or is expected to be, resident in Germany;
4. the offence is being prosecuted by an international court of justice or by a country on whose territory the offence was committed, a citizen of which is either suspected of the offence, or suffered injury as a result of the offence.
The same shall apply if a foreigner who is accused of a criminal offence that was committed abroad is resident in Germany but the requirements of the first sentence, numbers 2 and 4, are met and transfer to an international court of justice or extradition to the prosecuting state is admissible and intended."
85. Accordingly, the text of the provision on which the Supreme Court of Appeal relied – but which it did not replicate in its judgment, and (with respect) appears not to have examined – does not support the transplant. It in fact supports a very different legal reality, as the application of the provision demonstrates.
86. Secondly, the application of this provision is sufficiently clear from the Human Rights Watch report on which the Supreme Court of Appeal further relied for its understanding of German law. As the report reflects, German authorities have not yet opened an investigation *in absentia*. In the exercise of his discretion conferred by the actual text of the purportedly transplanted provision, the prosecutor has not yet opened an investigation where a suspect was absent from Germany.
87. Moreover, as Human Rights Watch reports, in exercising his discretion, the prosecutor will take into account the practical ability of German investigators to investigate the complaint in the absence of the suspect. And in determining whether to open an investigation, the prosecutor disregards the possibility of questioning witnesses in other European countries – even where the presence and identity of such witnesses in neighbouring countries is specified by the complainants.
91. In paragraph 66 of the judgment the Supreme Court of Appeal strives to strike a balance between fighting impunity and futile investigations. The reality that futile investigations in fact *further* impunity appears with respect not to have been reflected upon by the Supreme Court of Appeal. More importantly, it is apparent from the reasoning that absent from it is due regard for one of the important considerations stipulated by Parliament itself: the possibility of a national prosecution. On the facts of this case, this prospect is very remote. Not only is the potential presence of the suspects highly improbable, there is also no prospect of a prosecutable case being assembled.
92. Nevertheless, on the facts of this case the Supreme Court of Appeal pronounced as an unqualified legal proposition that, however remote, whenever “there is a *prospect* of a perpetrator’s presence, [there is] no reason … why an investigation should not be initiated” (paragraph 66). Accordingly the Supreme Court of Appeal adopted a position which does not even exist in Germany. Under German law, a prosecutor has a discretion to investigate *in absentia*. Left unchecked, the Supreme Court of Appeal’s judgment imposes an *absolute duty* to investigate *in absentia* – however improbable the putative presence may be, however impossible a successful prosecution may be, and however tenuous a complaint may be. This legal terminus does not give effect to the Supreme Court of Appeal’s own recognition that an over-extensive investigative obligation on SAPS would be “destructive in wasting precious time and resources that could otherwise be employed in the equally important fight against crime domestically.”
or not to initiate an investigation. Even on this narrow basis at least paragraph 3.2.2 of the order cannot stand, and leave to appeal is required to correct it.
97. For the above reasons I submit that there are good prospects of success on appeal to this Court. What remains is to make submission on the residual requirements for leave to appeal.
E. Requirements for leave to appeal
98. Pursuant to the Constitution Seventeenth Amendment Act of 2012, section 167 of the Constitution was amended to confer jurisdiction on this Court in all matters. An application for leave to appeal may accordingly be granted both in constitutional matters and in any other matter, if this Court “grants leave to appeal on the grounds that the matter raises an arguable point of law of general public importance which ought to be considered by th[is] Court” (section 167(3)(ii) of the Constitution, as amended).
99. This application satisfies both of the disjunctive jurisdictional bases.
100. Firstly (as regards the application’s constitutional nature), throughout the proceedings in the courts below all parties to the proceedings accepted that the crux of this matter is the correct interpretation of section 4(3) of the Act. Indeed, it was SALC and ZEF which invoked section 4(3)(c), and argued that “anticipated presence” of a suspect would suffice to authorise the initiation of an investigation where no other nexus existed.
101. It is well-established that the interpretation of a statutory provision like section 4(3) of the Act is inherently a constitutional issue. Not only does section 4(3) relate directly to the powers of organs of state. It also gives effect to South Africa’s international law commitments. It further concerns investigations by SAPS into the affairs and officials of foreign states. Thus, the correct interpretation and application of the Act also impacts on sovereign states’ immunity, the infringement of which exposes South Africa to sanctions under international law.
102. SALC and ZEF indeed correctly accepted the constitutional nature of the matter before the Supreme Court of Appeal. In paragraph 4 of their practice note they submitted that the appeal constituted “constitutional litigation”. On this basis they asked that no costs order should be made, were they to be unsuccessful.
103. Secondly (as regards an arguable point of law of general public importance deserving this Court’s attention), the following. As the above analysis demonstrates, SAPS’ position is at the very least arguable. In fact, I respectfully submit that especially my submissions on the Supreme Court of Appeal’s judgment demonstrate that there is more than a reasonable prospect that this Court could come to a different conclusion.
104. Furthermore, SAPS’ powers and duties – and whether it should, as the Supreme Court of Appeal put it, concern itself with core crimes “alleged to have been committed by Zimbabweans against Zimbabwe in Zimbabwe” (paragraph 5 of the Supreme Court of Appeal’s judgment) – clearly is of general public importance. Every non-domestic investigative exertion by SAPS necessarily consumes “precious time and resources.”
that could otherwise be employed in the equally important fight against crime domestically” (para 66 of the Supreme Court of Appeal’s judgment). It is accordingly of great public importance to South African society that SAPS’ burden to investigate crimes by foreign authorities (perpetrated against their own nationals in their own territory) receives this Court’s attention.
105. Furthermore, as both the High Court’s judgment and the Supreme Court of Appeal’s judgment correctly reflect, the litigation leading to this application is the first of its kind in South Africa (page 52 lines 2-3 of the High Court’s judgment; paragraph 32 of the Supreme Court of Appeal’s judgment). This factor further supports an application for leave to appeal to this Court. It is of the utmost public interest, and in the interests of justice (including the administration of justice), that this Court provide guidance to lower courts on the proper interpretation and application of the statutory enactment incorporating the Rome Statute into South African law.
106. A further factor which militates compellingly in favour of granting leave to appeal is the Supreme Court of Appeal’s own conclusion that special leave had to be granted by it. As mentioned, the High Court refused to grant leave to appeal. This necessitated a petition for special leave to the Supreme Court of Appeal. The Supreme Court of Appeal’s jurisdiction in such circumstances is limited. The requirements for special leave to the Supreme Court of Appeal are therefore far more demanding than an appeal in the ordinary course to this Court (especially after the broadening of access to this Court pursuant to the recent constitutional amendment). Therefore, the NDPP’s and Commissioner’s success in satisfying the higher standard *a quo* itself suggests that the lower standard for leave to appeal in this Court is satisfied.
107. Finally, such issues of fact as may require consideration on appeal to this Court are limited and are closely related to the constitutional issue. They therefore justify and require this Court’s consideration even on the position prevailing before the constitutional amendment. They *a fortiori* qualify for this Court’s consideration after the amendment. Such factual issues as may arise are furthermore incontrovertible. They should in any event be resolved in favour of SAPS – not only because SAPS was a respondent in the court of first instance, but also because the issues are of an expert nature and not contradicted by any admissible evidence. It is perhaps for this reason that in the Supreme Court of Appeal SALC and ZEF themselves disavowed any reliance on the record (as paragraph 8 of their practice note in the Supreme Court of Appeal reveals).
108. Should leave to appeal be granted, the record should accordingly be capable of being significantly reduced. In the Supreme Court of Appeal it was already limited to some 1 200 pages. There is every reason to expect that it can be yet further reduced by agreement.
F. **Conclusion and appropriate order**
109. For the above reasons I submit that the application for leave to appeal should be granted, whether pursuant to the ordinary procedure of enrolling the application for leave to appeal for a hearing or directly.
I certify that this affidavit was signed and sworn to before me at PRETORIA on this the ______ day of January 2014 by the deponent who acknowledged that he knew and understood the contents of this affidavit, had no objection against taking the prescribed oath, and considered the oath binding on his conscience.
COMMISSIONER OF OATHS
Name: Desmond Mabula
Address: 277 Johnny Claessen str.
Capacity: C&T.
Area: SARSfontein
SUID-AFRIKAANSE POLISIEDIENS
GARSFONTEIN
2014 -01- 04
CLIENT SERVICE CENTRE
SOUTH AFRICAN POLICE SERVICE
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Transglutaminase in the Life and Death of the Pancreatic β-cell
Shakthi Dookie
Thesis submitted in partial fulfillment with the requirements of Nottingham Trent University for the degree of Doctor of Philosophy
June 2010
Tissue transglutaminase (TG2) is a ubiquitous enzyme that catalyses both the Ca$^{2+}$-dependent formation of protein cross-links via intermolecular isopeptide bonds, and the Ca$^{2+}$-independent hydrolysis of GTP. The multifunctional nature of the TG2 protein has been reported in numerous intracellular mechanisms, cell-surface associations, and extracellular matrix (ECM) interactions. In the pancreas, the expression of TG may be fundamental to the insulin-secretion function of $\beta$-cells, and associated diabetic disorders. The functional roles of TG2 in the pancreas were investigated in the present study using *in vitro* models of rat pancreatic insulinoma $\beta$-cells (BRIN-BD11), and *ex vivo* islet of Langerhans models from human, rat, TG2$^{-/-}$ knockout mice and their wild-type counterparts. The importance of ECM-associated TG2 in the maintenance of $\beta$-cell survival and function was also investigated using an *in vitro* human urinary bladder carcinoma support matrix (5637 cells). Biochemical analysis of both clonal BRIN-BD11 and islet $\beta$-cells showed a thiol-dependent TG2 activity mechanism that was reciprocally regulated by Ca$^{2+}$ and GTP. Intracellular TG2 cross-linking activity was up-regulated in the presence of glucose and retinoic acid, while cell-surface associated TG2 activity was reduced in the presence of membrane proteases. The *in vitro* application of irreversible active-site directed TG inhibitors (R281, R283 and BOC-peptide) strongly supported a role for TG2 in the glucose-stimulated insulin secretion function of BRIN-BD11 $\beta$-cells and rat islets, with a possible survival role for the enzyme under conditions of $\beta$-cell oxidative stress. Further characterisation of the pancreatic $\beta$-cell TG led to the discovery of a novel short-form (~60-kDa) TG2 protein expressed in BRIN-BD11, human and mouse islets that was immunoreactive to CUB7402 antibody, and showed GTP-binding potential. Analysis of the BRIN-BD11 proteome using 2-D SDS-PAGE and western blotting exhibited possible phosphorylation of the TG2 protein at ~60-kDa (pI 4–6), with an additional 120-kDa and ~35-kDa protein. Molecular screening using northern blot analysis of BRIN-BD11 mRNA confirmed the presence of two short-form TG2 transcripts at ~2.5-kb and ~1.0-kb in addition to the full length 3.5-kb TG2 transcript, while RT-PCR analysis using C-terminal directed primers revealed a short-form BRIN-BD11 product similar to an alternatively spliced shorter TG2 isoform found in rat brain. Modifications to ECM-associated TG2 in an *in vitro* 3-day 5637 support matrix demonstrated the importance of this protein in cell adhesion, cell spreading and aggregation in the maintenance of BRIN-BD11 survival and function. Preliminary studies produced an up-regulation of $\beta$-cell focal adhesion kinase, and actin-stained focal adhesion points, in response to the TG2-rich support matrices. The 5637 pre-conditioned matrix also supported greater $\beta$-cell viability in response to diabetic conditions such as hyperglycaemia, oxidative stress, and hyperlipidaemia. These findings demonstrate that the primary role for TG2 in pancreatic $\beta$-cells may be attributed to insulin secretion and related diabetic stress survival mechanisms. This study also reports the discovery of a shortened TG2 isoform unique to pancreatic $\beta$-cells that could lend further insight into TG alternative splicing mechanisms as it relates to structure-function complexity and transcriptional regulation.
DECLARATION
This work has not been accepted in substance for any other degree, and is not being concurrently submitted in candidature for any other degree.
This is to certify that the work presented here was carried out by the candidate herself. Due acknowledgement is made of all the assistance received.
Signed ...........................................
(Candidate)
Signed ...........................................
(Director of Studies)
DEDICATION
In memory of
Dr. Richard A. Jones
(1968 – 2006)
Thank you for being the light and love that guides me through this journey.
From the unreal lead me to the real;
From darkness lead me to light;
From death lead me to deathlessness.
-The Upanishads
ACKNOWLEDGEMENTS
I wish to express immense gratitude toward my supervisors:
**Dr. Elisabetta Verderio-Edwards** who accepted me as her first PhD student. Thank you for your patience, understanding and time.
**Prof. Martin Griffin** for his vision, guidance and inspiring discussions which have lit an eternal flame of enthusiasm for science within me. It has been a privilege being in your company both at Nottingham Trent and now Aston University (Birmingham). Thank you also for the access to human islets from the UK Tissue Bank, and the supply of TG inhibitors: R281 and R283.
**Prof. Noel Morgan** for his encouragement and kindness during my time spent at the Peninsula Medical School (Plymouth). Thank you for teaching me how to isolate Islets of Langerhans, providing the pancreatic models used in this study, and for the β-cell and insulin advice through the years.
**Dr Alan Hargreaves** and **Prof. Ellen Billet** for all their support during the final and most challenging stretch of my PhD. I am most grateful for your time and patience.
Special thanks to Prof. Glen McHale, Reverend Dr. Richard Davey, Prof. Bob Rees, Prof. Colin Creaser, and Imelda Borland for their compassion during those unexpected PhD intermissions.
In the numerous labs I’ve worked in, I would like to thank the many people who so generously gave of their time to share their insights with me. At Nottingham Trent, my deepest gratitude goes to my partner in crime, Dr. Richard Jones (who sadly died of cancer during my PhD) for my early TG experimental training, and for all I know about the Confocal Microscope! Thanks to Dr. Panos Kotsakis and Wayne Harris, for all the laughs during the 2D-gel electrophoresis experiments. Cheers to Iain Walker in Area 2 for assistance with the animal experiments, and to Sara Croft for lovely chats during our RT-PCR experimental time. Outside Nottingham, thanks go to Dr. Tim Johnson and Dr. Linghong Huang for their great help during my time spent at the Hallamshire and Northern General Hospitals (Sheffield) while learning the Northern Blotting technique. Thank you to Dr. Russell Collighan for the 6:30am drives in to Aston University (Birmingham) from Nottingham in the middle of those winter months, and for teaching me the qPCR technique (special thanks also to Lin, Dilek and Vivienne for their kindness during this time). Thank you to Dr. Hannah Welters for teaching me the Insulin Secretion Assay and $^{125}$I-Insulin Radioimmunoassay at Peninsula Medical School (Plymouth). An acknowledgement goes to Prof. Gerry Melino (University Tor Vergata, Italy) for the TG2$^{-/-}$ mice.
I have been in Biochemistry Research for so many years now, that it would be impossible to mention everyone. I will attempt to thank some very special people who have encouraged me along the way, and made me smile even when it seemed like the end of the world:
- For those crazy indoor coffee-break discussions: David Chau, Richard Parsons, Sohail Mushtaq, Danielle Barry (1981–2006, may you rest in peace), Alessandra Scarpellini and Emma Storey.
- For the liberating outdoor coffee break discussions: Joao Cortez, Maria Kontovraki, Amarnath Talasila, Michael Brice, Julia Fitzgerald, Anne Darlison, Lesley Foulds, Begona Caneda-Ferron, Renee Germack, Laurice Fretwell and James Hind.
- To my lovely friends in the postgraduate room: Shiva, Tina, Susan, Indy, Michelle, Steph, Flo, David, Heidi, Ash, Amy, and my MSc students: Javeiria, Shamas, Tayyba, Mrunalini and Anoop.
Outside work, a heartfelt thank you to Richard Jones’ parents: Margaret and Terry Jones for taking me under their protective wings, and making Sheffield my second home. Thank you also to Richard’s friends: Gary, Jade, Ian, Kirsty and David Oldfield for all the lovely memories. Special mention goes to the kind and compassionate people at the Buddhist Centre (Nottingham) who brought me deeper understanding.
Thank you to Krishan Kapoor for being a pillar of strength through all the PhD-related stress.
A special thank you goes to Spud.
As always, thank you to my ‘larger than life’ family in South Africa: most fondly my mum, dad, 3 brothers and grandparents for their love, support and constant faith in my potential. Though we are far apart, I remain with you in spirit everyday. Mum, this one’s for you: Happy Birthday!
| Abbreviation | Description |
|--------------|-------------|
| AD | Alzheimer’s disease |
| ADP | adenosine-5’-diphosphate |
| ATCC | American tissue culture collection |
| ATP | adenosine-5’-triphosphate |
| B4.2 | band 4.2 protein |
| BCA | bicinchoninic acid |
| BSA | bovine serum albumin |
| Biotin-X-cadaverine | 5((N-biotinoyl)amino)hexanoyl)amino)pentylamine trifluoroacetate salt |
| bp | base pairs |
| BM | basement membrane |
| cAMP | adenosine 3’,5’-cyclic monophosphate |
| CD | coeliac disease |
| cDNA | complementary deoxyribonucleic acid |
| DMEM | Dulbecco’s modified Eagle’s medium |
| DMSO | dimethyl sulphoxide |
| DNA | deoxyribonucleic acid |
| dsDNA | double stranded deoxyribonucleic acid |
| DTT | dithiothreitol |
| CE | cornified envelope |
| ECL | enhanced chemiluminescence |
| ECM | extracellular matrix |
| EDTA | ethylene diamine tetraacetic acid |
| ELISA | enzyme linked immunosorbant assay |
| FAK | focal adhesion kinase |
| FCS | foetal calf serum |
| FITC | fluorescein isothiocyanate |
| FN | fibronectin |
| FXIII | factor XIII |
| Gαh | TG2 α-subunit |
| GAPDH | glyceraldehyde-3-phosphate dehydrogenase |
| GDP | guanosine-5’-diphosphate |
| gpITG2 | guinea pig liver tissue transglutaminase |
| GTP | guanosine-5’-triphosphate |
| GTPase | guanosine-5’-triphosphatase |
| HBSS | Hank’s balanced salt solution |
| HD | Huntington’s disease |
| HRP | horseradish peroxidise |
| HSPG | heparin sulphate proteoglycan |
| IL | interleukin |
| IgG | immunoglobulin |
| IP₃ | inositol triphosphate |
| kDa | kilodaltons |
| LTBP-1 | Latent transforming TGF-1 binding protein1 |
| M | molar |
| Abbreviation | Description |
|--------------|-------------|
| MAb | monoclonal antibody |
| MDC | monodansylcadaverine |
| ml | milliliters |
| mM | millimolar |
| MMP | matrix metalloproteinase |
| µl | microliter |
| µM | micromolar |
| MOPS | 3-(4-morphonyl) 1-propanesulphonic acid |
| mRNA | messenger ribonucleic acid |
| NADH | nicotinamide adenine dinucleotide |
| nM | nanomolar |
| NO | nitric oxide |
| PAGE | polyacrylamide gel electrophoresis |
| PBS | phosphate buffered saline |
| PFM | parafolmaldehyde |
| pH | negative log of hydrogen ion concentration |
| PKC | protein kinase C |
| PLC | phospholipase C |
| PMSF | Phenyl methyl sulfonyl fluoride |
| pTG | prostate transglutaminase |
| RA | retinoic acid |
| RGD | arginine-glycine-aspartic acid |
| SD | standard deviation |
| SDS | sodium dodecyl sulphate |
| TAE | Tris-Acetate-EDTA |
| TCA | trichloroacetic acid |
| TE | Tris-EDTA |
| TEMED | N,N,N,N’-tetramethylene diamine |
| TG | transglutaminase |
| TGFβ1 | transforming growth factor β1 |
| TMB | 3,3’,5,5’- tetramethylbenzidine |
| TNF | tumour necrosis factor |
| TRITC | tetramethyl rhodamine B isothiocyanate |
| Triton X-100| t-octylphenoxypolyethoxyethanol |
| UV | ultra violet |
| VEGF | vascular endothelial growth factor |
# TABLE OF CONTENTS
| Section | Page |
|----------------------------------------------|------|
| Title Page | i |
| Abstract | ii |
| Declaration | iii |
| Acknowledgements | iv |
| Dedication | v |
| List of Abbreviations | vi |
| Table of Contents | viii |
| List of Figures | xiv |
| List of Tables | xviii|
| Communications and Abstracts | xix |
## CHAPTER ONE: INTRODUCTION
1.1. INTRODUCTION TO THE TRANSGLUTAMINASE 1
1.1.1. The Transglutaminase Family 1
1.1.2. Enzyme Reaction Mechanisms 5
1.1.3. Protein Structure and Conformation 8
1.1.4. Transglutaminase Substrates 11
1.1.5. Turning a Transglutaminase on 13
1.2. MAMMALIAN TRANSGLUTAMINASES 15
1.2.1. Plasma Factor XIIIa 15
1.2.2. Erythrocyte Band 4.2 17
1.2.3. Keratinocyte Transglutaminase 17
1.2.4. Epidermal Transglutaminase 19
1.2.5. Prostate Transglutaminase 21
1.2.6. Transglutaminase X,Y,Z 22
1.3. TISSUE TRANSGLUTAMINASE 23
1.3.1. Protein Structure of Tissue Transglutaminase 23
1.3.2. Post-translational Regulation of the Tissue Transglutaminase Protein 25
1.3.3. Transcriptional Regulation of the Tissue Transglutaminase Gene 26
1.3.4. Cellular Localisation of Tissue Transglutaminase 29
1.3.5. Extracellular Localisation of Tissue Transglutaminase 32
1.3.6. Proposed Roles of Tissue Transglutaminase 34
22.214.171.124. TG2 in Cell Growth and Differentiation 36
126.96.36.199. Transglutaminase 2 in Receptor-mediated Endocytosis 37
188.8.131.52. Transglutaminase 2 as a G-protein in Cell Signalling 37
184.108.40.206. Transglutaminase 2 and the Cytoskeleton 38
220.127.116.11. Transglutaminase 2 in Wound Healing Processes 39
18.104.22.168. Transglutaminase 2 in Cell-Matrix Interactions 41
22.214.171.124. Transglutaminase 2 in Cell Death 43
1.3.7. Disease States Associated with Tissue Transglutaminase 45
126.96.36.199. Transglutaminase 2 in Neurodegenerative Disorders 45
188.8.131.52. Transglutaminase 2 in Coeliac Disease 46
184.108.40.206. Transglutaminase 2 in Fibrosis 47
220.127.116.11. Transglutaminase 2 in Cancer 48
1.4. TRANSGLUTAMINASE IN PANCREATIC β-CELLS AND DIABETES 49
1.4.1. Biosynthesis of Insulin and Exocytosis 49
1.4.2. Insulin Secretion 53
1.4.3. Diabetes Mellitus 58
1.4.4. Current Diabetes Therapies 63
1.4.5. Transglutaminase 2 in Diabetes 70
1.4.6. Transglutaminase in Pancreatic Islets 72
1.4.7. The Inhibition of Transglutaminase Activity in Pancreatic Islets 73
1.5. HYPOTHESIS AND AIMS 77
CHAPTER TWO:
THESIS RATIONALE AND AIMS
2.1. Rationale and Aims 78
CHAPTER THREE:
MATERIALS AND METHODS
3.1. MATERIALS 80
3.1.1. General chemicals 80
3.1.2. Human Islets and Human Pancreas Cryosections 81
3.1.3. Animals 81
3.1.4. Mammalian Cell Lines 82
3.1.5. Radiochemicals 82
3.1.6. Western Blotting Reagents 82
3.1.7. Immunochemicals 82
3.1.8. Northern Blotting Reagents 83
3.1.9. Molecular Biology Kits and Reagents 83
3.1.10. Other reagents 84
3.1.11. Equipment 84
3.2. METHODS 85
3.2.1. General cell culture 85
18.104.22.168. Clonal pancreatic insulinoma β-cell lines 85
22.214.171.124. Extracellular Support Matrix 87
126.96.36.199.1 5637 cell line 87
188.8.131.52.1 ECV-304 cell line 87
184.108.40.206. Subculturing/Passage of Cells 88
220.127.116.11. Cell Freezing and Cryopreservation 89
18.104.22.168. Reviving Frozen Cells from Storage 89
3.2.2. Islet Isolation using Collagenase Digestion 89
3.2.3. Treatment of Cells and Islets 90
22.214.171.124. Treatment of β-cells with D-glucose 90
126.96.36.199. Induction of oxidative stress in β-cells 92
188.8.131.52. Induction of hyperlipidaemia in β-cells 92
184.108.40.206. Treatment with GTP and CaCl$_2$ 92
220.127.116.11. Treatment with Matrix Metalloprotein Inhibitors 93
18.104.22.168. Treatment with Dispase 93
22.214.171.124. Treatment with Trypsin 93
126.96.36.199. Treatment with active-site directed TG inhibitors 93
188.8.131.52. Treatment with Retinoic Acid 94
184.108.40.206. Treatment with RGD peptide 94
3.2.4. Preparation of Support Matrices for β-cells 95
220.127.116.11 Coating wells with Fibronectin 95
18.104.22.168. Preparation of 5637 lysed matrices 95
22.214.171.124.1. Pre-conditioned 5637 lysed matrices (TG Inhibitors) 97
126.96.36.199.2. Pre-conditioned 5637 lysed matrices (TG2 knockdown with siRNA) 97
188.8.131.52.3. Pre-conditioned 5637 lysed matrices (supplemented with gpITG2) 98
184.108.40.206.4. Pre-conditioned 5637 lysed matrices (crosslinked using gpITG2) 99
3.2.5. Analysis of Proteins 99
220.127.116.11. Preparation of Cell, Islet and Tissue Homogenates 99
18.104.22.168. Protein content estimation 100
22.214.171.124.1. Lowry protein assay 100
126.96.36.199.2. BCA protein assay 100
188.8.131.52. Sodium Dodecyl Sulphate Polyacrylamide Gel Electrophoresis (SDS-PAGE) 101
184.108.40.206. Western blotting of SDS-PAGE separated proteins 102
220.127.116.11. Immunoprobing of western blots and membrane stripping 103
18.104.22.168. Two-Dimensional Gel Electrophoresis 104
22.214.171.124.1. Sample preparation 104
126.96.36.199.2. Two-Dimensional SDS-PAGE 104
188.8.131.52.3. Silver-staining, Western Blotting and Immunoprobing 106
184.108.40.206. Detection of TG protein 107
220.127.116.11.1. Immunostaining of Western Blots with TG antibodies 107
18.104.22.168.2. Immunoperoxidase detection of TG2 antigen by ELISA 107
22.214.171.124.3. Immunofluorescent detection of TG2 antigen 108
126.96.36.199.4. GTP-agarose Pull-down Assay for TG2 using Western Blot Analysis 109
3.2.6. Measurement of TG activity 110
188.8.131.52. TG-catalysed incorporation of [$^{14}$C]-putrescine into N,N’-dimethylcasein 110
184.108.40.206. TG-catalysed incorporation of Biotin Cadaverine 112
220.127.116.11.1. *In situ* Cell Surface TG activity 112
18.104.22.168.2. Total TG activity in Cell Homogenates 114
22.214.171.124.3. *In situ* Extracellular TG activity in Cell Monolayers 115
126.96.36.199. *In Situ* TG-catalysed incorporation FITC-cadaverine 115
188.8.131.52. Immunostaining of Western blots with anti-FITC monoclonal antibody 116
184.108.40.206. *In vitro* peptide crosslinking TG assay 116
3.2.7. **Turnover of Extracellular Matrix Proteins**
220.127.116.11. Detection of Extracellular Matrix Proteins by ELISA 117
18.104.22.168. Detection of Extracellular Matrix Proteins by Immuno-fluorescence 118
3.2.8. **Cell viability, Proliferation and Apoptosis assays**
22.214.171.124. Trypan blue exclusion test 119
126.96.36.199. Colorimetric MTS cell viability/proliferation 119
188.8.131.52. Colorimetric Caspase-3 activity 120
184.108.40.206. Immunofluorescent Detection of Caspase-3 activity 120
3.2.9. **Cell attachment and spreading assay**
220.127.116.11. May Grunwald/Giemsa Stain Assay 121
18.104.22.168. Cytoskeletal Staining with FITC-phalloidin 122
22.214.171.124. Three Dimensional (3-D) β-Cell Aggregation Assay 122
126.96.36.199. Cell Adhesion Assay assessing Focal Adhesion Kinase (FAK) 123
3.2.10. **Measurement of Insulin**
188.8.131.52. Acute Glucose Stimulated Insulin Release in BRIN-BD11 Cells 125
184.108.40.206. Acute Glucose Stimulated Insulin Release in Rat Islets 125
220.127.116.11. [¹²⁵I]-Insulin Radioimmunoassay 128
18.104.22.168. Immunofluorescent Detection of Insulin Content 128
3.2.11. **Molecular Biology Techniques**
22.214.171.124. RNA Extraction 129
126.96.36.199. Determination of RNA concentration and purity 130
188.8.131.52. Denaturing agarose gel electrophoresis of total RNA 130
184.108.40.206.1. Northern Blotting 130
220.127.116.11.2. Random priming of cDNA probes 131
18.104.22.168.3. Northern Hybridisation of cDNA probes and autoradiography 131
22.214.171.124. Agarose gel electrophoresis of DNA 132
126.96.36.199. RT-PCR Analysis 132
3.2.12. **Statistical Analysis** 135
CHAPTER FOUR:
CHARACTERISATION OF TRANSGLUTAMINASE ACTIVITY IN PANCREATIC β-CELLS
4.1. **INTRODUCTION** 136
4.2. **RESULTS** 140
4.2.1. **Post-translational and Transcriptional Regulation of TG Activity**
188.8.131.52. Regulation of β-cell TG with Ca²⁺ and GTP 140
184.108.40.206. Regulation of β-cell TG2 with Retinoic Acid 141
220.127.116.11. Reduction in Cell Surface TG activity by Membrane Proteolysis 141
18.104.22.168. Glucose-stimulated TG activity in β-cells 145
22.214.171.124. Visualisation of β-cell TG Activity using FITC-cadaverine 149
4.2.2. **Inhibition of TG cross-linking activity in β-cells** 153
4.2.3. **TG Activity in TG2⁺/⁺ and TG2⁻/⁻ mouse islets** 158
4.2.4. **The Effect of TG Inhibition and Diabetic Stressors on β-cell Survival** 162
4.2.5. **The Effect of TG Inhibition on β-cell Insulin Secretion** 168
CHAPTER FIVE:
CHARACTERISATION OF TRANSGlutAMINASE EXPRESSION IN PANCREATIC β-CELLS
5.1. INTRODUCTION 186
5.2. RESULTS 190
5.2.1. The expression of TG2 protein in pancreatic β-cells 190
126.96.36.199. BRIN-BD11 rat clonal insulinoma β-cells 190
188.8.131.52. Human Islets 194
184.108.40.206. Wild type (TG2^{wt}) and Knockout (TG2^{-/-}) Mouse Islets 197
220.127.116.11. 2-D analysis of TG2 in the BRIN-BD11 proteome 200
18.104.22.168. MMP proteolysis and GTP-binding potential of BRIN-BD11 TG2 200
5.2.2. TG1, TG2 and TG3 screening of clonal β-cells 205
5.2.3. The expression of TG2 mRNA in BRIN-BD11 β-cells 208
22.214.171.124. Northern blotting 208
126.96.36.199. RT-PCR analysis 208
5.3. DISCUSSION 212
CHAPTER SIX:
EXTRACELLULAR MATRIX-ASSOCIATED TRANGLUTAMINASE IN PANCREATIC β-CELLS
6.1. INTRODUCTION 232
6.2. RESULTS 240
6.2.1. Optimisation of the 5637 Pre-conditioned Support Matrix 240
188.8.131.52. Characterisation of TG2 in the 5637 matrix 240
184.108.40.206. 5637 Pre-conditioned Matrices Over-expressing TG2 240
220.127.116.11. 5637 pre-conditioned matrices with inhibited TG2 activity 244
18.104.22.168. 5637 pre-conditioned matrices with transient siRNA TG2 Knockdown 244
22.214.171.124. 5637 Pre-conditioned Extracellular Matrix Protein Turnover 248
6.2.2. β-cell Aggregation and Insulin content on 5637 Pre-conditioned Matrices 253
6.2.3. BRIN-BD11 Adhesion and Spreading on 5637 Pre-conditioned Matrices 262
6.2.4. BRIN-BD11 survival on 5637 Pre-conditioned Matrices 271
6.3. DISCUSSION 274
CHAPTER SEVEN:
GENERAL DISCUSSION
7.1. INTRODUCTION 277
7.2. EXPERIMENTAL PANCREATIC B-CELL MODEL 280
7.3. THE REGULATION OF TG ACTIVITY IN PANCREATIC B-CELLS 284
7.4. THE INHIBITION OF TG ACTIVITY IN PANCREATIC B-CELLS 290
| Section | Title | Page |
|---------|----------------------------------------------------------------------|------|
| 7.5 | THE EXPERIMENTAL TG2\(^{(-/-)}\) MOUSE PANCREATIC ISLET MODEL | 294 |
| 7.6 | SURVIVAL ROLE FOR TG2 IN PANCREATIC B-CELL APOPTOSIS | 296 |
| 7.7 | NOVEL SHORTENED TG2 ISOFORM IN PANCREATIC B-CELLS | 299 |
| 7.8 | EXTRACELLULAR MATRIX-ASSOCIATED TG2 IN PANCREATIC B-CELLS | 305 |
| 7.9 | SUMMARY AND CONCLUSION | 308 |
| | REFERENCES | 313 |
## LIST OF FIGURES
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 1.1 | Phylogenetic Analysis of the Transglutaminases from mammals to invertebrates | 4 |
| 1.2 | TG-catalysed Reaction Mechanisms | 6 |
| 1.3 | Schematic structure and ligand-dependent regulation of TG2 | 9 |
| 1.4 | The structural and functional domains of TG2 | 10 |
| 1.5 | Schematic illustration of the TG2 promoter | 28 |
| 1.6 | Cellular Distribution of TG2 | 30 |
| 1.7 | The roles of TG2 in the wound healing response | 35 |
| 1.8 | Proposed Mechanisms of cell-matrix interactions of TG2 | 42 |
| 1.9 | Sequence of the 110 amino acid pre-proinsulin polypeptide | 51 |
| 1.10 | Glucose-dependent Insulin Secretion | 54 |
| 1.11 | Disease states of Type 2 Diabetes | 61 |
| 1.12 | The Human Pancreas and Islet Transplantation | 64 |
| 3.1 | Morphology of clonal pancreatic insulinoma β-cell lines | 85 |
| 3.2 | Rat islets stained with dithizone to show insulin content | 90 |
| 3.3 | Islet Isolation by Collagenase Digestion | 91 |
| 3.4 | Modifications to the TG2 expression and activity of 3-day 5637 pre-conditioned matrices. | 96 |
| 3.5 | Schematic diagram illustrating radioactive transglutaminase activity | 111 |
| 3.6 | Illustration of 3 modifications to transglutaminase activity assays using biotin cadaverine | 113 |
| 4.1 | Measurement of Ca2+- and GTP-dependent TG activity in BRIN-BD11 homogenates.| 142 |
| 4.2 | Stimulation of TG activity with retinoic acid | 143 |
| 4.3 | Reductions in cell-surface TG activity as a result of proteolysis | 143 |
| 4.4 | Measurement of TG-catalysed cross-linking in BRIN-BD11 homogenates through the incorporation of glutamine-rich (TVQQEL) peptides into casein | 146 |
| 4.5 | In situ glucose-stimulated cell surface TG activity in BRIN-BD11 cells (2 hours) | 147 |
| 4.6 | Glucose-stimulated extracellular TG activity in BRIN-BD11 cells (24 hours). | 147 |
| 4.7 | Fluorescent visualisation of TG activity in BRIN-BD11 cells using in situ FITC-cadaverine incorporation | 149 |
| 4.8 | TG-catalysed FITC-cadaverine incorporation into BRIN-BD11 cells displayed through A) semi-quantitation of confocal fluorescence intensity from fig. 4.7, and B) immuno-stained TG protein substrates using western blotting. | 151 |
| 4.9 | Standard curve of guinea pig liver TG2 activity with TG inhibitors R281 and R283 | 154 |
| 4.10 | The effect of TG inhibitors R281 and R283 on β-cells | 154 |
| 4.11 | The effect of TG inhibitors R281 and R283 on BRIN-BD11 homogenates after 24 hours pre-treatment | 155 |
| 4.12 | The effect of TG inhibitors R281 and R283 on •-cells. | 155 |
| Section | Description | Page |
|---------|-----------------------------------------------------------------------------|------|
| 4.13 | Fluorescent visualisation of TG activity in TG2 knockout (TG2-/-) and wild-type (TG2+/+) mouse islets using in situ FITC-cadaverine incorporation. | 158 |
| 4.14 | TG activity in TG2 knockout (TG2-/-) and wild-type (TG2+/+) mouse islets showing semi-quantitative FITC-cadaverine incorporation using confocal fluorescence intensity | 159 |
| 4.15 | TG activity in TG2 knockout (TG2-/-) and wild-type (TG2+/+) mouse islets using radiolabelled [14C]-putrescine incorporation into N, N’- dimethylcasein (DMC). | 160 |
| 4.16 | Measurement of BRIN-BD11 cell viability as a result of TG inhibition through the detection of MTS reagent under conditions of A) hyperglycaemia (D-glucose), B) oxidative stress (GSNO), and C) hyperlipidaemia (palmitate). | 162 |
| 4.17 | Measurement of BRIN-BD11 caspase-3 activity under conditions of hyperglycaemia, oxidative stress and hyperlipidaemia | 163 |
| 4.18 | Immunofluorescent visualisation of Caspase-3 activity in BRINBD11 β-cells | 164 |
| 4.19 | Immunofluorescent visualisation of Caspase-3 activity in TG2 knockout (TG2-/-) and wild-type (TG2+/+) mouse islets | 165 |
| 4.20 | Measurement of acute glucose-stimulated insulin release in BRINBD11 cells using an [125I]-Insulin Radioimmunoassay (RIA). | 168 |
| 4.21 | Measurement of acute glucose-stimulated insulin release in rat islets using an [125I]-Insulin Radioimmunoassay (RIA). | 169 |
| 4.22 | Mechanism of transglutaminase inhibition by site-specific thioimidazole inhibitors (eg. R281 and R283) | 174 |
| 5.1 | Immunofluorescent visualisation of TG2 antigen and insulin content in BRIN-BD11 cells upon glucose stimulation. | 181 |
| 5.2 | Semi-quantitation of TG2 and Insulin confocal fluorescence intensity from fig. 5.1. | 182 |
| 5.3 | Detection of TG2 antigen in BRIN-BD11 cells using Western blotting | 183 |
| 5.4 | Immunofluorescent visualisation of TG2 antigen and insulin in normal and diabetic human pancreas cryosections | 185 |
| 5.5 | Detection of TG2 antigen in human islets using Western blotting | 186 |
| 5.6 | Immunofluorescent visualisation of TG2 antigen and insulin content in TG2 knockout (TG2-/-) and TG2 wild-type (TG2+/+) mouse islets upon glucose stimulation. | 188 |
| 5.7 | Detection of TG2 antigen in wild-type TG2(+/+) and knockout TG2(-/-) mouse islets using western blotting. | 198 |
| 5.8 | Two-dimensional (2-D) SDS-PAGE images of BRIN-BD11 β-cell proteome using A) Silver Staining and B) Western Blotting | 191 |
| 5.9 | Detection of the effect of Matrix Metalloproteinase (MMP) inhibition on the TG2 antigen in BRIN-BD11 cells using Western blotting | 193 |
| 5.10 | Detection of GTP-binding by TG2 enzymes in BRIN-BD11 cells using Western blotting | 194 |
| 5.11 | TG screening in clonal pancreatic β-cells using Western blotting | 196 |
| 5.12 | RT-PCR analysis of TG1, TG2, and TG3 expression levels in rat pancreatic β-cells. | 197 |
| Section | Description | Page |
|---------|-----------------------------------------------------------------------------|------|
| 5.13 | Expression of shorter TG2 mRNA transcripts in BRIN-BD11 cells, using Northern Blotting with a TG 3400 probe digested with BAM H1 to give a BAM 388 and a BAM1638 probe | 199 |
| 5.14 | Expression of TG2 mRNA transcripts in pancreatic insulinoma β-cell lines, using Northern Blotting with BAM 388 and BAM1638 probes. | 200 |
| 5.15 | RT-PCR analysis of mRNA derived from BRIN-BD11 rat •-cells using primers encoding for the C-terminus of TG2 | 201 |
| 5.16 | The immunoreactive action of TG2-specific CUB7402 mouse monoclonal antibody on TG2 antigen, with an expected molecular weight of 75-80-kDa | 203 |
| 5.17 | Mechanism of TG2-/- gene knockdown in mice as described by De Laurenzi et al., (2001) | 204 |
| 5.18 | Illustration showing the region of the TG2 molecule where the northern blotting BAM 388 and BAM 1638 TG2-specific probes are expected to bind. | 206 |
| 5.19 | Illustration showing the alternatively spliced short-form TG2 variants found in rat and human. | 207 |
| 6.1 | Immunofluorescent visualisation of TG2 antigen in 3-day 5637 matrices | 217 |
| 6.2 | Measurement of TG2 antigen in 3-day 5637 matrices by western blotting | 217 |
| 6.3 | TG2 activity in 3-day 5637 matrices using radiolabelled [14C]-putrescine incorporation into N, N’-dimethylcasein (DMC). ELISA showing TG2 protein levels in 3-day pre-conditioned 5637 matrices, immobilised or cross-linked with purified guinea pig liver TG2 (gplTG2) | 218 |
| 6.4 | TG2 activity in lysed 3-day 5637 pre-conditioned matrices, through the measurement of biotin cadaverine incorporation into endogenous matrix proteins | 219 |
| 6.5 | Optimisation of 3-day 5637 pre-conditioned matrices following transient knockdown with TG2-specific siRNA duplexes | 221 |
| 6.6 | Immunofluorescent visualisation of TG activity in 3-day 5637 pre-conditioned matrices after siRNA TG2 gene knockdown, using *in situ* FITC-cadaverine incorporation. | 222 |
| 6.7 | TG-catalysed FITC-cadaverine incorporation into 3-day pre-conditioned 5637 matrices treated with TG2 gene silencing siRNA duplexes, displayed through semi-quantitation of confocal fluorescence intensity | 223 |
| 6.8 | Immunofluorescent visualisation of TG2, Fibronectin (FN) and Laminin (LN) proteins in 3-day pre-conditioned 5637 matrices treated with TG2 gene silencing siRNA | 226 |
| 6.9 | Analysis of TG2, Fibronectin (FN) and Laminin (LN) protein turnover in 3-day pre-conditioned 5637 matrices treated with TG2 gene silencing siRNA duplexes, displayed through semi-quantitation of confocal fluorescence intensity | 227 |
| 6.10 | ELISA showing TG2, Fibronectin (FN), Laminin (LN) and Collagen (CN) protein turnover in 3-day pre-conditioned 5637 matrices formed with diminished TG activity | 228 |
| 6.11 | Immunofluorescent 3-D morphology of rat islets treated with 5 | 229 |
| Section | Description | Page |
|---------|-----------------------------------------------------------------------------|------|
| 6.12 | Immunofluorescent 3-D morphology of rat islets treated with 20 mM glucose on 3-day 5637 support matrices, using CM-Dil cell tracker and insulin antibody | 231 |
| 6.13 | Immunofluorescent 3-D morphology of BRIN-BD11 β-cells treated with 5 mM glucose on various 3-day 5637 support matrices, using CM-Dil cell tracker and insulin antibody | 232 |
| 6.14 | Semi-quantitation of β-cell insulin content using confocal fluorescence intensity from fig. 6.14 and 6.16 | 233 |
| 6.15 | Immunofluorescent 3-D morphology of BRIN-BD11 β-cells treated with 20 mM glucose on various 3-day 5637 support matrices, using CM-Dil cell tracker and insulin antibody | 233 |
| 6.16 | Total CM-Dil labelled β-cell aggregation in a 3-D frame (μM3) using semi-quantitation of confocal fluorescence intensity from fig. 6.14 and 6.16 | 235 |
| 6.17 | Fluorescent visualisation of BRIN-BD11 actin stress fibres on various matrices, using FITC-phalloidin staining | 235 |
| 6.18 | Immunofluorescent visualisation of phosphorylated Focal Adhesion Kinase (FAK) in BRIN-BD11 β-cells | 239 |
| 6.19 | Volume densitometry of FAK western blot analysis in BRIN-BD11 cells | 240 |
| 6.20 | Micrographs showing typical adhesion and spreading profile of rat pancreatic β-cells, as revealed through Giemsa and May-Grunwald staining | 240 |
| 6.21 | Comparative *in situ* cell surface TG activity in 5637, ECV-304 and BRIN-BD11 cells | 241 |
| | Leica QWin quantification showing adhesion and spreading profile of BRIN-BD11 pancreatic β-cells on various matrices | 243 |
| | Leica QWin quantification showing adhesion and spreading profile of BRIN-BD11 pancreatic β-cells on fibronectin (FN) matrices in the presence of RGD peptide | 243 |
| 6.22 | Leica QWin quantification showing the spreading profile of BRIN-BD11 pancreatic β-cells on various matrices under conditions of hyperglycaemia, oxidative stress and hyperlipidaemia | 244 |
| 6.25 | Measurement of BRIN-BD11 cell viability on 3-day 5637 support matrices as a result of TG inhibition through the detection of MTS reagent under conditions of A) hyperglycaemia (glucose), B) oxidative stress (GSNO), and C) hyperlipidaemia (palmitate) | 245 |
| 6.26 | Measurement of BRIN-BD11 caspase-3 activity under conditions of hyperlipidaemia (palmitate treatment) on a lysed 3-day 5637 matrix | 249 |
| 7.1 | The proposed roles of transglutaminase in the life and death of the pancreatic β-cell | 281 |
| 7.2 | The proposed shortened TG2 protein isoform in the pancreatic β-cell | 300 |
| 7.3 | The proposed shortened TG2 protein isoform in the pancreatic β-cell | 301 |
| Table | Title | Page |
|-------|----------------------------------------------------------------------|------|
| 1.1 | Human Transglutaminase Nomenclature | 2 |
| 1.2 | Major Endogenous Protein Substrates for TG2 | 14 |
| 1.3 | Types of Stem Cells and their potential as a source of β-cells | 68 |
| 1.4 | Summary of the Inhibition of TG Activity in Pancreatic Islets | 74 |
| 3.1 | Stealth Select siRNA duplexes targeted to Transglutaminase 2 | 98 |
| 3.2 | Constituents of 2 resolving mini-gels for SDS-PAGE | 102 |
| 3.3 | Constituents of 2 large resolving gels for 2-D SDS-PAGE | 105 |
| 3.4 | Constituents of Buffers for use in Islet Isolations and Insulin Assays| 127 |
| 3.5 | Constituents of the Reverse Transcription PCR reaction | 133 |
| 4.1 | Typical TG Activities using N,N'-dimethylcasein as a substrate | 145 |
| 4.2 | Summary of the approximate TG2 crosslinking enzyme present in BRIN-BD11 cells relative to corresponding gpITG2 standard curves | 156 |
| 5.1 | Summary of TG2 isoforms, separate from native 80-kDa TG2 | 178 |
| 5.2 | List of proteins identified in BRIN-BD11 cells using peptide mass fingerprinting. | 199 |
| 6.1 | Cytokine secretion of 5637 cells measured by ELISA | 213 |
| 6.2 | Other characterised constituents secreted from 5637 cells | 213 |
| 6.3 | The expression of select integrin subunits in human islets | 214 |
| 6.4 | Cognate integrins present in different matrices | 214 |
| 7.1 | Literature Review of TG in Beta cells and Diabetes | 279 |
Dookie, S.; Griffin, M.; Ali, T.; Chokhandre, M.; Singh, A.; Billet, E.E.; Morgan, N.G.; Verderio, E.A.M.; Matrix-associated Transglutaminase in Pancreatic β-cell Function and Survival; 9th International Conference for Protein Crosslinking and Transglutaminases, Marrakech (Morocco), Sep 1-5th, 2007. (Poster Presentation)
Dookie, S.; Griffin, M.; Ahmad, J.; Ahmed, S.; Welters, H; Morgan, Welters, H.; Verderio, E.A.M.; Matrix-associated Tissue Transglutaminase in the Diabetic Condition; 8th International Conference for Protein Crosslinking and Transglutaminases, Luebeck (Germany), Sep 1-4th, 2005. (Poster Presentation)
Verderio E.A.M.; Dookie, S.; Morgan, N.G.; Huang, L.; Johnson, T; Kotsakis, P.; Harris, W.; Hargreaves, A.; Griffin, M.; Characterisation of Transglutaminase and its Role in Pancreatic β-cell Survival and Function; 8th International Conference for Protein Crosslinking and Transglutaminases, Luebeck (Germany), Sep 1-4th, 2005. (Oral Communication)
Dookie, S.; Morgan, N.G.; Griffin, M.; Verderio, E.A.M.; Characterisation of Transglutaminase and its Role in Pancreatic β-cell Survival and Function; FEBS Journal; H1-006; 272: 409; (2005). (Abstract)
Griffin, M.; Dookie, S.; Morgan, N.G.; Verderio, E.A.M.; Characterisation of Transglutaminase and its Role in Pancreatic β-cell Survival and Function; 2005 FEBS Congress and IUBMB Conference; Budapest (Hungary); 2-7 July, 2005. (Oral communication)
Dookie S.; Griffin M.; Morgan N.G.; Verderio E.A.M.; Transglutaminase in the Life and Death of the Pancreatic β-cell; Annual Nottingham Trent University (NTU) Research Conference, Nottingham, (UK); 7-8th June 2005. (Oral communication).
Chapter One:
Introduction
Matt Ridley from Genome
“In the beginning was the word. The word proselytized the sea with its message, copying itself unceasingly and forever. The word discovered how to rearrange chemicals so as to capture little eddies in the stream of entropy and make them live. The word transformed the land surface of the planet from a dusty hell to a verdant paradise. The word eventually blossomed and became sufficiently ingenious to build a porridgy contraption called a human brain that could discover and be aware of the word itself. My porridgy contraption boggles every time I think this thought…
‘…As the earth and ocean were probably peopled with vegetable productions long before the existence of animals; and many families of these animals long before other families of them, shall we conjecture that one and the same kind of living filament is and has been the cause of all organic life?’ asked the polymathic poet and physician Erasmus Darwin in 1794. Yet how can a filament make something live?
Life is a slippery thing to define, but it consists of two very different skills: the ability to replicate and the ability to create order… The key to both of these features of life is information. The ability to replicate is made possible by the existence of a recipe, the information that is needed to create a new body…The ability to create order through metabolism also depends on information – the instructions for building and maintaining the equipment that creates the order.
The filament of DNA is information, a message written in a code of chemicals, one chemical for each letter…Heredity is a modifiable stored program; metabolism is a universal machine. In the beginning was the word. The word was not DNA. That came afterwards, when life was already established, and when it had divided the labour between two separate activities: chemical work and information storage, metabolism and replication. But DNA contains a record of the word, faithfully transmitted through all subsequent aeons to the astonishing present.”
Ridley, Matt (1958- ), Zoologist and Science Writer. *Genome*, Fourth Estate, 1999. Quoted from *The Oxford Book of Modern Science Writing* by Richard Dawkins, Oxford University Press, 2008.
Chapter One:
Introduction
1.1. Introduction to the Transglutaminase
It has been just over half a century since the first published discovery of the protein, transglutaminase (TG). Since then, this enigmatic TG enzyme has been studied extensively within an accumulating and complex knowledge base, growing in conjunction with the latest biochemical and molecular techniques over time (for relevant reviews see: Zemskov et al., 2006; Esposito and Caputo, 2005; Verderio et al., 2004; Lorand and Graham, 2003; Fesus and Piacentini, 2002; Griffin et al., 2002; Aeschlimann and Thomazy, 2000; Chen and Mehta, 1999; Folk, 1980). Insight into TG’s role and activity has become essential for a fuller understanding of numerous hereditary diseases and various autoimmune, inflammatory and degenerative conditions. Between 1957 to 1960 Waelsch and co-workers, while studying this enzyme’s activity in the liver of the guinea pig, coined the term ‘trans-glutamin-ase’ for the first time (Sarkar et al., 1957) to describe its main function; i.e. the Ca$^{2+}$-dependent transamidation of glutamine side chains, which results in the irreversible cross-linking of proteins into stabilised matrices (Neidle et al., 1958; Clarke et al., 1959; Mycek et al., 1959; Mycek and Waelsch, 1960).
1.1.1. The Transglutaminase Family
In man, the TG family of intracellular and extracellular enzymes consist of nine TG genes, eight of which encode active enzymes (Grenard et al., 2001), but of which only six have been isolated and characterised to date. The uncovered TG family in humans (Table 1.1) features: i) factor XIII (fXIII) found in blood; ii) band 4.2, which maintains erythrocyte membrane integrity and has lost its enzymatic activity; iii) TG1, TG3 and TG5 isoforms found intracellularly in epithelial tissue; iv) TG2 which is
Table 1.1
expressed ubiquitously in tissues and takes on both intracellular and extracellular forms; and (v) TG6 and TG7, the tissue distribution of which remains unknown. The TG enzyme activity has also been identified in other mammals (Chung, 1972), invertebrates (Mehta et al., 1990 and 1992; Singh and Mehta, 1994), plants (Serafini-Fracassini et al., 1995) and micro-organisms (Chung, 1972; Folk and Finlayson, 1977; Kanaji et al., 1993). Orthologues of the human TGs have been identified within some of these organisms using phylogenetic analysis (Lorand and Graham, 2003; Grenard et al., 2001; Fig 1.1), and suggests two branches arising from a common ancestral gene which underwent an early gene duplication event; with one lineage connecting FXIII, TG1, invertebrate TGs and TG4, and the other connecting genes for TG2, TG3, TG5, TG6, TG7 and erythrocyte band 4.2. Of further interest, a superfamily of archaeal, bacterial, and eukaryotic proteins homologous to animal TGs have also been identified using profiles generated by the PSI-BLAST program (Makarova et al., 1999).
The encoded TG genes have a high degree of sequence similarity (Grenard et al., 2001), however gene mapping has revealed distinct chromosomal locations for each one (Table 1.1). Interestingly, alternative splice variants have also been identified for many TGs, including TG1 and TG2 (Citron et al., 2001; Shevchenko et al., 2000; Kim et al., 1992). The mammalian TGs also share similar intron and splice-site distribution (Grenard et al., 2001), with TG2, TG3, TG5, and Band 4.2 containing 13 exons, while TG1 and fXIIIA contain 15. This extra exon within the conserved exon 10 of the TG family, together with a non-homologous N-terminal extension, account for the two extra coding sequences in fXIIIA subunit and TG1.
The pathologies associated with mutations in the different TG gene products reinforce the absence of redundancy in this gene family, and further support the importance of protein cross-linking (Ichinose et al., 1986; Mikkola and Palotie, 1996; Huber et al., 1995; Russell et al., 1996; Board et al., 1993). In addition to genetic diversity, TGs themselves undergo a number of post-translational modifications such as phosphorylation, fatty acylation, and proteolytic cleavage, as a means of regulating enzymatic activity and subcellular localisation in varying biological situations (Mishra and Murphy 2006; Rufini et al., 2004; Aeschlimann and Paulsson, 1994).
Fig 1.1 Phylogenetic tree
The TG family members can all be distinguished from one another based on their physical properties, tissue distribution, localisation, mechanisms of activation, and substrate specificities (Table 1.1 and 1.2). There are, however a number of similar features that they share. Perhaps the most enigmatic of these is that all TGs, including those which are secreted such as TG2 and fXIII, lack the amino-terminal hydrophobic leader sequence typical of secreted proteins (Gaudry et al., 1999). Most TGs are post-translationally modified by the removal of the initiator methionine residue followed by N-acetylation. Furthermore, common to all TG members is their lack of carbohydrate modification and disulphide bonds despite the presence of several potential sites for N-linked glycosylation, and many Cys residues. And finally most TGs require Ca$^{2+}$ for activation, except in the still questionable instances of plant and bacterial TGs (Lorand and Graham, 2003).
### 1.1.2. Enzyme Reaction Mechanisms
More specifically, the TG family of enzymes catalyse the post-translational modification of proteins and is denominated by the Enzyme Commission as the “R-glutaminyl-peptide-amine-$\gamma$-glutamyl transferase” reaction (EC 126.96.36.199), although the commonly used term “transglutaminase” remains (Lorand and Conrad, 1984). A myriad of aminolytic and hydrolytic biological reactions are catalysed by TGs (Fig. 1.2), however their protein cross-linking function has attracted the greatest interest to date.
Usually, oligomeric and polymeric protein associations involve secondary chemical forces such as non-covalent hydrogen bonds, ionic bonds and Van der Waal’s forces; where the subunits of protein assembly and disassembly are not covalently linked and are regulated by phosphorylation and de-phosphorylation during post-translational modifications. The enzymatic action of TG serves as an alternative to this scenario where supramolecular protein assemblies are generated using Ca$^{2+}$ and covalent bonding (Pisano et al., 1968). The biochemical mechanism of the TG enzyme involves an initial rate limiting step where the $\gamma$-carboxamide group of a glutamine residue is transamidated to form a $\gamma$-glutamylthiolester intermediate (Curtis et al., 1974) with the TG active site cysteine (Cys$^{277}$) which results in the release of
Fig 1.2 TG Reaction Mechanisms
ammonia (Fig. 1.2). Conventionally, this reaction results in the transfer of this acyl intermediate to a nucleophilic substrate that attacks the intermediate thiolester bond, usually the $\varepsilon$-amino group of a peptide-bound lysine residue (Fig. 1.2, A), forming an $\varepsilon$-(γ-glutamyl)lysine isopeptide bond or cross-link (Folk and Chung, 1973). The TG enzyme is released and the active site Cys$^{277}$ is re-established to original form, enabling participation in further catalysis cycles.
At this stage, it is also possible for the monomeric protein units themselves to become cross-linked internally (Porta et al., 1991). Formation of these covalent cross-links are extremely stable, cannot be cleaved by any known mammalian protease, and are resistant to tested mechanical and chemical disruption. However, despite being described for a long time as irreversible (Lorand and Conrad, 1984), the hydrolysis of the $\varepsilon$-(γ-glutamyl)lysine isopeptide bond is possible by TG itself (Fig. 1.2, E) as demonstrated by Parameswaran et al., (1997); and by Lorand et al., (1996) where enzymes from the secretory products of the medicinal leech were shown to hydrolyse the $\varepsilon$(γ-glutamyl)lysine isopeptide bond in blood clots.
The TGs show exacting specificities for both their glutamine (Murthy et al., 1994) and lysine substrates (Lorand et al., 1992), and will react only with the γ-carboxamide of select endo-glutamine residues in some proteins and peptides depending on the conformation of the TG protein (Aeschlimann and Paulsson, 1994). In the cross-linking reaction described above (Fig 1.2, A), a peptide bound glutamine residue acts as an acyl acceptor and a peptide-bound lysine as the acyl donor, however a whole variety of suitable primary amine-groups can also function as the acyl donor (Folk and Chung, 1973). Post-translational modification of proteins by TG using amine incorporation (Fig. 1.2, B), acylation (Fig. 1.2, C), and deamidation (Fig. 1.2, D) are also very significant to the equilibrium of biological processes and can alter conformation, stability, molecular interactions and enzymatic activities of the target proteins (Lorand and Graham, 2003; Fesus and Piacentini, 2002; Griffin et al., 2002; Aeschlimann and Thomazy, 2000; Chen and Mehta, 1999).
In transamidation, both amine incorporation (Fig. 1.2, B) and acylation (Fig. 1.2, C) compete with the cross-linking reaction (Fig. 1.2, A) and this ‘competition’ is still the
main method of assaying TG activity biochemically. Numerous primary amines are incorporated by TG into proteins through the formation of N’(γ-glutamyl)amine bonds, using molecules such as histamine, putrescine, spermine, and spermidine (to name a few) as acyl donors (Folk and Finlayson, 1977; Lorand and Conrad, 1984). Interestingly, this scenario can become more complicated when a free amine on the acyl donor group can also be linked to another γ-glutamyl group on a second protein, forming an N’,N’-bis (γ-glutamyl) polyamine linkage. Post translational modification of proteins by this polyamidation may result in altered biological activity, antigenicity, and turnover rate (Aeschlimann and Paulson, 1994). With regard to TG-catalysed deamidation, even the replacement of a single neutral glutamine residue with a negatively charged glutamic acid side chain (Fig 1.2, D) may have profound biological effects (Lorand and Graham, 2003). Although previously unrecognised, esterification can now also be added to the list of TG-catalysed post-translational modifications of proteins through the linking of long chain fatty acids (ceramides) using an ester bond, found in the terminal differentiation of keratinocytes (Nemes et al., 1999).
1.1.3. Protein Structure and Conformation
The catalytic mechanisms of the TGs have been solved based on both biochemical data and X-ray crystallographic tertiary structures. In 1994, the first high resolution structure of any member of the TG family was published (Yee et al., 1994), and most importantly, these enzymes were clearly defined as members of the superfamily of papain-like cysteine proteases, which includes papain, calpain, foot and mouth virus protease, de-ubiquitylating enzymes, and N-acetyl transferases (Murzin et al., 1995).
High sequence conservation and preservation of residue secondary structure (Grenard et al., 2001) suggests that all TG family members may share a four domain tertiary structure similar to those already determined for fXIII, sea bream TG, TG3, and TG2 (Yee et al., 1994; Noguchi et al., 2001; Ahvazi et al., 2002, Liu et al., 2002, respectively). This four-sequential globular domain arrangement (see Fig. 1.3 and Fig. 1.4 for the example of TG2) consists of: i) an NH₂-terminal β-sandwich; ii) a core which contains a Ca²⁺-binding site and ‘active’ transamidation site (that has α
Fig 1.3 TG2 structure
Fig 1.4 TG2 domains
helices and $\beta$ sheets in equal amounts); iii and iv) two COOH-terminal $\beta$-barrel domains.
It is thought that glutamyl substrates approach the enzymes from the direction of the two $\beta$-barrels, whereas lysyl substrates might approach the enzyme from the direction of the active site (Lorand and Graham, 2003). The catalytic centre of TG possesses a triad comprised of Cys$^{277}$, His$^{335}$ and Asp$^{358}$ (where His is histidine and Asp is aspartic acid), with a crucial tryptophan (Trp) residue located 36 residues upstream from the active-Cys centre (Lorand and Graham, 2003). This catalytic triad is similar to that of thiol proteases and endows high reactivity to Cys$^{277}$ in the formation of thiol-ester intermediates (Liu et al., 2002).
The relative positions of residues in the substrate-binding region are highly conserved in TGs (see Fig. 1.3 and Fig 1.4), notably sharing a common sequence for the active site with the amino acid sequence [Y-G-Q-C-W-V] (Ikura et al., 1988; Gentile et al., 1991; Greenberg et al., 1991). Despite sequence similarity however, the charge distributions differ amongst the various isoenzymes. These differences may explain the various substrate specificities and therefore the specialised functions of each isoenzyme.
### 1.1.4 Transglutaminase Substrates
The complete molecular mechanism governing the differential acceptor-/donor-substrate specificities (and recognition of target amino acids), for TG proteins is still unknown. Nonetheless, a number of biochemical and conformational studies of the individual enzymes exist, within the context of their preferred physiological locations, which shed some light on this aspect. Due to the innumerable substrate possibilities and evidence existing already, a TRANSIT database was recently created (http://crisceb.unina2.it/ASC/) listing protein sequences that function as TG substrates (Facchiano et al., 2003).
Firstly, glutamine (Q-acceptors) specificity shows that the spacing between the targeted glutamine and neighbouring residues is of utmost importance in the
specificity of TGs (Esposito and Caputo, 2005). Intriguingly, N- and C-terminal glutamines are not recognised by TGs (Pastor et al., 1999). Additionally, it seems essential that glutamine residues be exposed at the surface of the acceptor protein, or located in terminal extensions protruding from the compactly folded domains. It is also thought that the location of the glutamine within the primary structure may not be as important as the secondary or tertiary structure of the acceptor protein for cross-linking to occur (Coussons et al., 1992). Two adjacent glutamine residues can act as amine acceptors in a consecutive reaction, eg. βA3-crystallin (Berbers et al.; 1984); substance P (Porta et al., 1988); oseonectin (Hohenadl et al., 1995); and insulin-like growth factor-binding protein (Sakai et al., 2001). Furthermore, glutamine residues flanked by positively charged residues prevent the TG reaction, while positively charged residues two or four residues from the glutamine promote the reaction (Esposito and Caputo, 2005). Glycines and asparagines adjacent to the target glutamine favours substrate accessibility (Aeschlimann et al., 1992; Coussons et al., 1992), while a glutamine residue in between two proline residues is evidently not recognised as a substrate (Pastor et al., 1999), possibly due to the inflexibility that prolines impart to the local protein structure (Kay et al., 2000). It is also of significance that alternate TGs can recognise different glutamine residues in the same protein, complicating matters further (McDonagh and Fukue, 1996).
With regard to the amine donors or lysine residues (K-donors), TGs are much less selective. It has been demonstrated, however that the nature of the amino acids directly preceding the lysine may influence reactivity (Grootjans et al., 1995). As described above, donor proteins containing aspartic acid, glycine, proline and histidine residues reduce reactivity, whereas uncharged, basic polar and small aliphatic residues favour reactivity (Groenen et al., 1994). In addition, steric hindrance between TG and potential substrates can prevent recognition of lysine residues, even in lysine-rich peptides/proteins, for eg. only three lysyl residues out of twenty six is recognised in glyceraldehydes-3-phosphate dehydrogenase (GAPDH) (Orru et al., 2002); one of five lysine residues acts as amine donors in β-endorphin (Pucci et al., 1988); and one of ten in αB-crystallin (Groenen et al., 1992). Appropriate conformational changes in the amine-donor proteins are therefore necessary before explaining complete reactivity.
Using both structural and functional proteomics, lists of protein substrates for TG1, TG2, TG3, TG5 and fXIII can be seen in Table 1.2. To date, many more substrates have been found for TG2 than for the other TG isoforms. Unfortunately TG2-mediated modification of substrate proteins cannot be consistently linked to a defined function. In the future, it is thought that the identification of as many TG2-substrates as possible, coupled with a combined structural and functional proteomics approach will lead to the verification of the numerous *in vivo* TG functions. The potential of this research is quite profound when the numerous TG substrates that may be utilised as novel drug targets and/or diagnostic markers for the various TG-related diseases (see section 1.3.7) are considered. If a peptide or recombinant protein can be shown to inhibit a TG, it may potentially represent a therapeutic/prophylactic agent for the future.
### 1.1.5. Turning a Transglutaminase on
In latent TG conformation, accessibility to the active centre is reduced by inter-domain interaction between the catalytic domain 2 and domains 3 and 4. The binding of Ca$^{2+}$ to the catalytic domain of TG2 alters conformation of the protein by stretching the domains 3 and 4 further apart from the catalytic domain, thus opening access to the transamidation site (Monsonego *et al.*, 1998; Liu *et al.*, 2002).
Latent TG can be activated inside cells by increasing the concentration of intracellular Ca$^{2+}$ (Clarke *et al.*, 1959; Smethurst and Griffin, 1996). This is the usual *in vitro* scenario (Bungay *et al.*, 1984a; Lorand and Conrad, 1984). *In vivo*, Ca$^{2+}$ may be released into the cytosol from intracellular stores or it might be brought in from outside the cell (Lorand and Graham, 2003). Given the relatively high concentration of Ca$^{2+}$ that is required for the activation of the different TGs, it can further be assumed that TG activation occurs mainly during extreme situations when the internal Ca$^{2+}$ storage capacity of the cell becomes overwhelmed or when the outward-directed Ca$^{2+}$ pumps fail to keep up with the influx of cations (Gomis *et al.*, 1984).
Table 1.2 TG Substrates
It is worth noting here that TG2 and TG3 possess a site that binds and hydrolyses GTP even though the site lacks any obvious sequence similarity with canonical GTP-binding proteins (Liu et al., 2002, Ahvazi et al., 2004a). Additionally, the primary sequence of TG5 contains a similar GTP-binding pocket, and TG5 transamidating activity is shown to be inhibited by GTP (Candi et al., 2004). In the case of TG2, intracellular GTPase activity occurs independently of cross-linking activity, but both activities are regulated by the protein’s reciprocal binding to Ca$^{2+}$ or GTP (see figures 1.3). The inhibitory effect of GTP on TG2 transamidating activity is mediated by GTP binding and hydrolysis involving Ser$^{171}$ and Lys$^{173}$ residues of domain 2 (Iisma et al., 2000).
### 1.2. Mammalian Transglutaminases
#### 1.2.1 Plasma Factor XIII A
One of the most extensively characterised members of the TG family of enzymes is factor XIII (fXIII). Its physiological role has been firmly established as a homodimer (166-kDa) of two 730 amino acid A-subunits, which acts as a pro-enzyme that requires cleavage by the serine protease thrombin during the final stage of the blood coagulation cascade (Schwartz et al., 1973). This TG enzyme is externalised into the plasma and circulates as a 320-kDa heterotetramer composed of a catalytic dimer of two A-chains ($A_2$) and two non-catalytic B-chains ($B_2$) which are non-covalently associated (Schwartz et al., 1973).
The human factor XIII A-chain (fXIIIA) gene is localised in chromosome 6p24-25, consists of 15 exons and the mature protein has a molecular weight of 83-kDa (see Table 1.1, Ichinose et al., 1990; Greenberg et al., 1991). The thrombin cleavage site is located between exons 2 and 12; the potential calcium binding sites in exons 6 and 11; and the active centre sequence in exon 7 (Ichinose et al., 1990; Hettasch and Greenburg, 1994). X-ray crystallography of placental and recombinant fXIIIA revealed that the protein is folded in 5 distinct domains: an activation peptide; an N-terminus $\beta$-sandwich domain; a core domain; and two C-terminus $\beta$-barrels (Yee et
The same study revealed that the common TG family catalytic triad (Cys\textsuperscript{314} – His\textsuperscript{373} – Asp\textsuperscript{396}) is present in the active site of fXIIIA (Yee \textit{et al.}, 1994).
The fXIIIA enzyme is expressed in a wide variety of cells including macrophages, megakaryocytes and monocyte cell lines; while tissue distribution is in the placenta, uterus, prostate and liver (Carrell \textit{et al.}, 1989; Takagi and Doolittle, 1974; Schwartz \textit{et al.}, 1973). It is the last enzyme to be activated in the blood coagulation cascade (Lorand and Conrad, 1984), and its activation leads to the cross-linking of various proteins in the plasma. The strength of blood clots are increased by fXIIIA through catalysing transamidation reactions between fibrin molecules via the formation of intermolecular $\varepsilon(\gamma$-glutamyl)-lysine cross-links (Shainoff \textit{et al.}, 1991; Lorand and Conrad, 1984; Chen and Doolittle, 1971). This enzyme cross-links: i) fibrin to fibronectin and thrombospondin in order to anchor the blood clot to the site of injury (Bale and Mosher, 1986; Hansen, 1984); ii) fibrin to $\alpha_2$-antiplasmin so as to increase the resistance of the clot to plasmin degradation (Reed \textit{et al.}, 1991; Tamaki and Aoki, 1981); and iii) fibrin to other coagulation substrates such as factor V, platelet actin and von Willebrand factor (Hada \textit{et al.}, 1986). In addition to being a critical component of the blood coagulation system, fXIIIA also cross-links ECM proteins such as fibronectin (Mosher and Schad, 1979), vitronectin (Sane \textit{et al.}, 1988), certain collagens (Akagi \textit{et al.}, 2002; Mosher and Schad, 1979), $\alpha$-2 macroglobulin (Mortensen \textit{et al.}, 1981), plasminogen activator inhibitor (Jensen \textit{et al.}, 1993), myosin (Cohen \textit{et al.}, 1981) and lipoproteins (Romanic \textit{et al.}, 1998; Borth \textit{et al.}, 1991).
Individuals who are congenitally deficient in fXIIIA experience a lifelong bleeding disorder with delayed wound healing, spontaneous abortion, and male sterility (Kitchens and Newcomb, 1979). Other diseases associated with abnormal levels of fXIIIA include heart disease (Kloczko \textit{et al.}, 1985 and 1986, Reiner \textit{et al.}, 2001), rheumatoid arthritis (Weinberg \textit{et al.}, 1991), sclerosis (Penneys \textit{et al.}, 1991), gastrointestinal disorders (Lorenz \textit{et al.}, 1991), and acute leukaemia (Ballerini \textit{et al.}, 1985). The pathogenic actions of angiotensin II have also been associated with the covalent cross-linking of angiotensin AT1 receptors by intracellular fXIIIA, resulting in stable receptor dimers with enhanced signalling properties (AbdAlla \textit{et al.}, 2004).
The anti-hyperglycaemic drug, metformin, which reduces the risk of cardiovascular disease in type 2 diabetes, has been reported to reduce fibrin clots and inhibit the thrombin-induced cleavage of the fXIII activation peptide (Standeven et al., 2002).
1.2.2 Erythrocyte Band 4.2
Band 4.2 is expressed in high levels in erythroid cells and is an important structural component of the cytoskeletal network at the inner face of the red blood cell membrane (Cohen et al., 1993). This erythrocyte membrane TG protein has a molecular weight of 77-kDa, is encoded into the gene map locus at 15q15.2, and is the only catalytically inactive member of the TG family of enzymes (see Table 1.1, Aeschlimann and Paulsson, 1994). Although it shares a close sequence homology with other TG family members (Grenard et al., 2001), this TG possesses an alanine in place of the active site cysteine (Korsgren et al., 1990). Band 4.2 is also an ATP binding protein (like TG2) but the precise function of this property remains uncertain (Azim et al., 1996). It is believed to interact and bind to anion exchanger band 3, spectrin, ankyrin and band 4.1 cytoskeletal proteins (Cohen et al., 1993). Myristylation of an N-terminal glycine residue (similar to TG1) associates band 4.2 to the plasma membrane where it accounts for approximately 5% of the erythrocyte membrane protein mass (Risinger et al., 1992; Rybicki et al., 1994). Other than its involvement in normal red blood cell cation transport (Peters et al., 1999), the lack of band 4.2 by targeted disruption or mutation causes spherocytosis (Kanzaki et al., 1997) and a hereditary deficiency resulting in the fragility of erythrocytes through a phenotype of haemolytic anaemia found to be common in Japan (Hayette et al., 1995a; 1995b). Isoforms of band 4.2 exist in many non-erythroid cells involved in haematopoiesis such as foetal spleen, foetal liver and bone marrow (Grenard et al., 2001) and is believed to provide essential structural stability, however full functional characterisation in these tissues remains incomplete.
1.2.3 Keratinocyte Transglutaminase
Keratinocyte TG (TG1) exists as multiple soluble forms, either intact or proteolytically processed at the conserved sites, which themselves have varying specific activities, and are inferred to have differing functions in keratinocytes (Kim et
The gene encoding TG1 has been localised to chromosome 14q11.2-13 and contains 15 exons spliced by 14 introns that have a conserved position in comparison to the other main members of the TG family (see Table 1.1, Kim et al., 1992). The TG1 enzyme is located at the inner face of the keratinocyte plasma membrane, is an intracellular/membrane-bound enzyme with a length of 813-824 amino acids, and is anchored in the membrane through fatty acid acylation of cysteine residues linked to palmitic or myristic acid at the N-terminal (Chakravarty and Rice, 1989; Rice et al., 1990). Active TG1 is thought to be released into the cytoplasm in a soluble form by post-translational proteolytic modification of the enzyme, which targets a cluster of 5 cysteine residues present at the protein’s N-terminus through fatty acid acylation with palmitate and myristate (Thacher and Rice, 1985; Kim et al., 1995). This was confirmed when a mutation of the cluster of cysteine residues from the N-terminus of TG1 was shown to prevent the enzyme from associating with the plasma membrane (Phillips et al., 1990). Although TG1 is primarily membrane-bound, 5-35% in proliferating or terminally differentiating keratinocytes is usually found in a soluble state in the cytosol (Kim et al., 1995). Cytosolic TG1 exists as a latent full-length form of 106-kDa, with two proteolytic cleavage products (67-kDa, 67/33-kDa) shown to have 5-10 fold higher specific activities. The membrane bound form of TG1 exists as either a full-length zymogen or a highly active complex of 67/33/10-kDa form and accounts for the remaining 65-95% of the enzyme expressed in epidermal keratinocytes (Steinert et al., 1996).
During the terminal differentiation of keratinocytes, TG1 is induced and is capable of cross-linking specific intracellular proteins that contribute to the formation of the cornified envelope. In the granular layer of the epidermis its major function appears to be the cross-linking of keratins (Yaffe et al., 1992), involucrin (Simon and Green, 1988), loricrin (Hohl, 1993), cornifin (Marvin et al., 1992), filaggrin (Steinert and Marekov, 1995), cystatin-\(\alpha\) (Takahashi and Tezuka, 1999), elafin (Nonomura et al., 1994), and enzyme cross-link mediated cathepsin-D activation (Egberts et al., 2007). Additionally, it has recently been proposed that TG1 can further catalyse the formation of ester bonds between glutaminyl residues in involucrin and \(\omega\)-hydroxyceramides, which may in turn facilitate anchoring of cornified envelopes to the lipid envelope of the differentiating keratinocytes (Nemes et al., 1999).
The expression and activity of TG1 has also been investigated in other cell types, such as the junctional fractions of mouse lung, liver and kidney epithelial tissue and is reported to be a tyrosine phosphorylated protein (Hiragi et al., 1999). Furthermore, these authors showed that TG1 cross-linking was co-localised with E-cadherin at cadherin-based adherin and intercellular junctions of cultured simple epithelial cells, and suggests a further role for TG1 in a mechanism of structural cellular integrity. It has also been hypothesised that the cross-linking activity of intercellular TG1 may play an important role in the stabilisation of the vascular endothelium barrier (Baumgartner et al., 2004). The major substrate protein associated with this enzyme was β-actin, suggesting that tissue-specific stabilisation of the cortical actin filament network by TG1 activity may be important in controlling the barrier properties of these endothelial monolayers (Baumgartner and Weth, 2007).
In conditions such as lamellar ichthyosis, hereditary deficiency in TG1 is believed to be the cause of hyperkeratinisation (Huber et al., 1995; Hennies et al., 1998). Inappropriate TG1 expression in the stratum basalis of the corneal and conjunctival epithelium with pathological keratinisation reminiscent of that seen in Stevens-Johnson syndrome has also been described by Nishida et al. (1999). Furthermore, TG1 knockout mice (Matsuki et al., 1998) have demonstrated the crucial aspect of abnormal keratinisation which resulted in the reduction of skin barrier formation that has been accredited to the early death of these mice 4-5 hours after birth.
### 1.2.4 Epidermal Transglutaminase
Epidermal TG (TG3) is an intracellular enzyme, originally purified from human and bovine stratum corneum over 30 years ago (Buxman and Wuepper, 1976; Owaga and Goldsmith; 1976). This enzyme is predominantly involved in the formation of the cornified cell envelope where it cross-links various structural proteins in the terminal differentiation of keratinocytes and inner hair sheath cells (Martinet et al., 1988; Lee et al., 1993). Furthermore, it is thought that TG3 might be acting in concert with TG1 in the cornified envelope maturation process (Tarcsa et al., 1998; Candi et al., 1995).
In addition to the epidermis, TG3 mRNA was recently found to be expressed in the brain, stomach, spleen, small intestine, testis, and skeletal muscle (Hitomi *et al.*, 2001). Other researchers have suggested that TG3 may also play a role in the hair shaft formation (Lee *et al.*, 1993). The human gene for TG3 has been localised to chromosome 20q11.12 (see Table 1.1, Wang *et al.*, 1994).
Like fXIII and TG1, the TG3 protein requires proteolytic cleavage to facilitate activation. The TG3 latent pro-enzyme exhibits low specific activities and has a molecular mass of 77-kDa, which is cleaved to produce a catalytically active 50-kDa fragment and a 27-kDa carboxy-terminal peptide (Kim *et al.*, 1990). The proteases responsible for the activation of TG3 remains unknown, however the bacterial enzyme dispase has been routinely used *in vitro* to proteolysate the 77-kDa inactive TG3 zymogen form, after accidental discovery during a tissue disaggregation procedure using this protease (Kim *et al.*, 1990; Hitomi *et al.*, 2003). It has been hypothesised that the protease calpain is responsible for the generation of the two proteolytic digestion products *in vivo* (Aeschlimann and Paulsson, 1994), and it is also thought that proteolytic post-translational modifications of TG3 in response to the cell’s physiological state during epidermal cell differentiation are responsible for the activation and transfer of the enzyme from the cytosol to the membrane bound compartment (Kim *et al.*, 1994).
The TG3 zymogen shares a common structure with most other TGs, which consists of four folded domains and a mechanism of activation that is clearly defined (Ahvazi *et al.*, 2002; 2004a). The TG3 active site is buried in a narrow cleft formed by two β-sheets of the catalytic core and the barrel 1 C-terminus, which comprise the active site triad with Cys$_{272}$ on the catalytic core α-helix, and both His$_{330}$ and Asp$_{353}$ on the adjacent β-sheet (Ahvazi *et al.*, 2004a; 2002). Cleavage at Ser$_{469}$ (where Ser is serine) within this loop converts the TG3 zymogen to a form that can be activated by Ca$^{2+}$. The TG3 zymogen contains one calcium ion per protein monomer, which is retained and thought to be required for stability. For activation, however binding of two additional calcium ions is required, with the third calcium ion producing a marked change in protein conformation and opening a channel that extends inward to the catalytic triad (Ahvazi *et al.*, 2003; 2004a). Once proteolytic cleavage of the TG3
zymogen occurs, followed by the binding of Ca$^{2+}$ at three separate locations, cross-linking ensues (Ahvazi et al., 2003; Ahvazi and Steinert, 2003). TG3 activity is also regulated by guanine nucleotides (Ahvazi et al., 2004b) where the binding of GTP results in a conformational change that closes the active site channel. When this GTP is hydrolysed to GDP, the TG3 enzyme reverts back to its active channel state.
Cross-linking studies using expressed forms of TG3 have revealed that several known cornified envelope proteins such as loricrin, small proline rich proteins 1, 2, and 3, and trichohyalin are substrates for both TG3 and TG1 (Candi et al., 1995 and 1999; Tarcsa et al., 1997 and 1998; Steinert et al., 1999). It is thought that some key substrates are first partially cross-linked by TG3, before being sequestered onto the cornified envelope membrane by TG1 (Tarcsa et al., 1998). Since TG3 is strongly expressed along placental membranes and in the developing brain, any human disease associated with the abnormal expression and activity of this enzyme may have lethal effects. In the skin disease dermatitis herpetiformis, which is commonly associated with coeliac disease, TG3 presents itself strongly with the IgA precipitates in the papillary dermis and is thought to be an auto-antigen in, and a diagnostic marker for the condition (Sárdy et al., 2002).
### 1.2.5 Prostate Transglutaminase
Prostrate TG (TG4) was discovered as an extracellular TG originally found in the seminal fluid of rodents (Wilson and French, 1980). It exists as a 150-kDa homodimer of a 75-kDa protein, consisting of two highly glycosylated and acetylated polypeptide chains that possess a lipid anchor (Wilson and French, 1980). This TG enzyme is responsible for the formation of the copulatory plug by cross-linking seminal vesicle proteins (SVPs) such as SVP-1 and SVP-IV (Ho et al., 1992; Seitz et al., 1991).
The human TG4 gene has been mapped to chromosome 3p21.33-p22 (see Table 1.1, Gentile et al., 1995) and encodes a 684 amino acid protein (deduced molecular mass, 77-kDa) that is expressed strictly from luminal epithelial cells of the prostate under the regulation of androgens (Dubbink et al., 1996). Human TG4 has been shown to cross-link a group of androgen-dependent proteins with repeating sequences that are
secreted by the seminal vesicle (Porta et al., 1990; Harris et al., 1990). The concentration and distribution of TG4 in prostatic fluids and tissues varies greatly between individuals, however expression of the human TG4 is reported to be down-regulated in most metastatic prostate cancers (An et al., 1999), whilst up-regulation of TG4 expression has been demonstrated in prostate cancer cell lines with low metastatic potential (Dubbink et al., 1996). It has also been proposed that this TG4 enzyme may play a role in suppressing the immune response elicited by immunocompetent cells in the female genital tract against sperm cells (Paonessa et al., 1984; Esposito et al., 1996). Potential substrates for human TG4 include the SVPs: semenogelin I, and II (Esposito et al., 2005; Peter et al., 1998).
### 1.2.6 Transglutaminase X,Y,Z
The most recent additions to the TG family have been TG X (TG5, Aeschlimann et al., 1998; Grenard et al., 2001; Candi et al., 2001), TG Y (TG6, Aeschlimann et al., 1998), and TG Z (TG7, Grenard et al., 2001). Very little is known about TG6 and TG7 with regards to function. The TG6 gene has been mapped to chromosome 20q11.15, in the vicinity of the region coding for TG2 and TG3 (Aeschlimann et al., 1998). The TG7 protein was discovered in human prostate carcinoma, and the respective gene has been mapped to chromosome 15q15.2 (Grenard et al., 2001). A number of TG7 splice variants exist, and this enzyme’s expression has been demonstrated in a wide range of tissues, with the highest expression being in the female reproductive organs, foetal tissue, testis and lung (Grenard et al., 2001).
Of these three newly discovered enzymes, a greater amount of functional data is available for TG5. The 35kb TG5 gene was first mapped to chromosome 15q15.2 when isolated from human foreskin keratinocytes (Aeschlimann et al., 1998), containing 13 exons and 12 introns. TG5 exists in four different isoforms: one active full-length TG5, one active (delta 11) splice variant, and two inactive (delta 3 and delta 3/11) splice variants (Aeschlimann et al., 1998). Full length TG5 encodes an 84kDa enzyme, whereas the three splice variants encode low molecular weight proteins (Candi et al., 2001). TG5 has been significantly implicated in keratinocyte differentiation and cornified envelope assembly (Candi et al., 2001), cross-linking specific epidermal substrates such as loricrin, involucrin, and SPR1 and SPR2.
(Esposito and Caputo, 2005; Candi et al., 1995), and is localised in the upper epidermal layers of strata spinosum and granulosum (Eckert et al., 2005). However, its ability to cross-link non-epidermal substrates such as vimentin, suggests that TG5 may serve other roles beyond skin barrier formation (Candi et al., 2001). A seven-fold increase of TG5 expression in keratinocytes induced using the differentiating agent calcium, suggests that TG5 contributes to the formation of the cornified envelope and could be a marker of terminal keratinocyte differentiation (Aeschlimann et al., 1998). Like TG2 which has an inverse relationship between cross-linking activity and nucleotide-dependent signalling activity (Nakaoka et al., 1994), TG5 Ca$^{2+}$-dependent cross-linking activity is inhibited by GTP and ATP (Candi et al., 2004; Ahvazi et al., 2004b; Iismaa et al., 2000). The TG5 enzyme has been associated with numerous pathological skin conditions depending on its expression. For instance, mis-regulation of TG5 results in low expression levels of the enzyme causing Darier’s disease (abnormal keratinisation) and lamellar itchthyosis, while abnormal up-regulation of the TG5 protein results in diseases such as psoriasis and itchthyosis vulguris (Candi et al., 2002).
1.3. **Tissue Transglutaminase**
Tissue transglutaminase (TG2) is the most widely distributed form of the large family of TGs, and is the main focus of this thesis. The structural and functional protein conformations of TG2 and associated substrates have been illustrated above in Figures 1.3; 1.4; 1.5 and Table 1.2. Found in both membrane and cytosolic fractions, TG2 is a ubiquitous enzyme that has been characterised in numerous cell lines and tissues to date (Mishra and Murphy, 2006; Fesus and Piacentini, 2002; Thomazy and Fesus, 1989; Lorand and Sternberg, 1976). The diverse cellular and extracellular physiological roles of TG2 remain to be fully elucidated, and it is not surprising that variations in TG2 activity and expression are suggested to contribute to a wide range of pathologies (Griffin et al., 2002; Fesus and Piacentini, 2002; Chen and Mehta, 1999).
1.3.1 Protein Structure of Tissue Transglutaminase
The monomeric TG2 enzyme, consists of 685-691 amino acids and has a molecular weight around 77-85-kDa across different species (see Table 1.1; Aeschlimann and Paulson, 1994). There is high sequence conservation of TG2 between species when considering the complete amino acid sequence for the enzyme from guinea pig liver, mouse macrophages, and human endothelial cells which were deduced from cDNA sequencing (Gentile et al., 1991; Nakanishi et al., 1991; Ikura et al., 1988) and shows approximately 80% homology, with 49 of the 51 residues in the active site region being identical. The amino acid sequence of TG2 contains 17 cysteine residues but no disulfide bonds. It remains to be proven how the enzyme is externalised as it contains no hydrophobic leader sequence, and six potential N-linked glycosylation sites, but is not glycosylated (Ikura et al., 1988), though it is hypothesised that the N-terminal acetylation of the enzyme, following initiator methionine removal (Ikura et al., 1989) may be responsible for its secretion (Muesch et al., 1990).
The three-dimensional structure of TG2 (see Fig. 1.3) has been resolved based on the structures of latent human GDP-bound TG2 dimer (Liu et al., 2002), latent sea bream liver transglutaminase (Noguchi et al., 2001), and is also modelled on the fXIIIa-subunit since almost 75% of the active site sequence is shared (Iismaa et al., 1997). The TG2 protein consists of four distinct regions: an N-terminal β-sandwich, an α/β catalytic core and two C-terminal barrel domains (see Fig. 1.4). The β-sandwich domain commences with a flexible loop, followed by an isolated β-strand (B₁), five anti-parallel strands (B₂-B₆), and terminates with an extra short strand close to B₁. The barrel 1 and barrel 2 domains consists of six β-sheets and a single β turn (barrel 1), or seven anti-parallel β-sheets (barrel 2). The catalytic core domain contains both, α-chains and β-sheets, in equal amounts (Iismaa et al., 1997), and a catalytic triad (Cys²⁷⁷, His³³⁵, Asp³⁵⁸) buried at the base of the cavity and bound by the core and barrel 1 domains. A tryptophan residue (Trp²⁴¹) is thought to stabilise the transition state and is shown to be critical for TG2 catalysis (Murthy et al., 2002). The TG2 protein binds to and hydrolyses GTP, since it contains a GTP-binding site in the hydrophobic pocket between the core and barrel 1 (Liu et al., 2002). Two residues
from the core (Lys$^{173}$, Leu$^{174}$) and two from barrel 1 (Tyr$^{583}$, Ser$^{482}$) appear to interact with the guanine base (Ismaa et al., 2000).
Of further interest is an inactive form of the TG2 enzyme which has been identified in metastatic cells of both murine and human origin (Knight et al., 1990; Zirvi et al., 1991) expressing a molecular mass of 120-kDa, which can be activated by proteases. Numerous short alternatively spliced isoforms of the TG2 protein lacking the C-terminal have also been found in the tissues and cell lines of rat (Tolentino et al., 2004; Monsonego et al., 1998 and 1997), gerbil (Ientile et al., 2004), human and mouse (Antonyak et al., 2006; Citron et al., 2002 and 2004; Festoff et al., 2002; Fraij et al., 1992).
### 1.3.2 Post-translational Regulation of the Tissue Transglutaminase Protein
The TG2 protein is regulated either by direct modification of its activity (post-translational regulation) or by modulation of gene expression (transcriptional regulation). Regarding post-translational regulation (which has been mentioned briefly in section 1.1.5), TG2 has a bi-functional role in that it catalyses both Ca$^{2+}$-dependent protein cross-linking and Ca$^{2+}$-independent GTP and ATP hydrolysis (see Figure 1.3). The protein cross-linking activity of TG2 is tightly regulated inside the cell by the local concentrations of Ca$^{2+}$ and guanosine nucleotides (Smethurst and Griffin, 1996), while regulation outside the cell is attributed to matrix binding and the redox state of the Cys active site (Cocuzzi and Chung, 1986; Balklava et al., 2002).
Activation of TG2 by Ca$^{2+}$ is critical for transamidating activity as this is thought to promote the assembly of the reactive Cys$^{277}$ active site pocket so that a thiol-ester bond forms with a glutamyl-containing substrate (Casadio et al., 1999), while in the absence of Ca$^{2+}$, TG2 assumes the latent conformation, whereby the reactivity of Cys$^{277}$ is decreased either by hydrogen bonding with the phenolic hydroxyl group of Tyr$^{516}$ or by formation of a disulphide bond with the neighbouring Cys$^{336}$ (Noguchi et al., 2001). The main Ca$^{2+}$-binding site is located at the terminal $\alpha$-helix (H$_4$) in domain 2, and upon Ca$^{2+}$ binding to H$_4$, the interactions between the catalytic core domain 2 and domains 3 and 4 are disrupted, forcing the domains to move apart.
hence resulting in the formation of an opening that provides substrate access to the catalytic triad (see Figure 1.3, Murthy et al., 2002; Liu et al., 2002; Mariani et al., 2000).
The TG2 enzyme is also thought to act as a GTP-binding protein, where its Ca$^{2+}$-activation can be counteracted by hetero-allosteric inhibition by GTP and GDP at low Ca$^{2+}$ concentrations, serving as a functional reciprocal switch from protein cross-linking to the GTP hydrolysis mode (Achyuthan and Greenberg, 1987). GTP binding to TG2 has been shown to cause a conformational change in the protein which leads to a reduction in TG2 activation due to reduced affinity for Ca$^{2+}$ (Ichinose et al., 1990; Greenberg et al., 1991; Aeschlimann and Paulsson, 1994). The nucleotide binds to the GTP binding pocket that is located in a $\beta$-sheet distant from the active site Cys$^{277}$, at Lys$^{173}$ and is hydrolysed in a reaction also involving Ser$^{171}$ and Trp$^{332}$ (Murthy et al., 2002). The binding of Ca$^{2+}$, on the other hand, also reduces the affinity of TG2 for GTP (Bergamini, 1988).
In addition, ATP has been shown to bind to TG2 in a reaction essential for its hydrolysis, where magnesium ions (Mg$^{2+}$) are a requirement for the hydrolysis of both ATP and GTP (Lee et al., 1993). Furthermore, Lai and co-workers (1998) have since demonstrated that Mg$^{2+}$-GTP and Mg$^{2+}$-ATP are the true substrates for TG2. Although the *in vitro* regulation of transamidation has been thoroughly studied, few reports have focused on the physiological regulation of TG2 (Smethurst and Griffin, 1996; Zhang et al., 1998). It is believed that in the absence of GTP/GDP binding, TG2 is an endogenous substrate of calpain, and that calpain may be involved in the regulation of TG2 transamidating activity *in situ* by modulating its intracellular levels (Zhang et al. in 1998). Other regulators of TG2 activity include phospholipids and NO donors (Lai et al., 1997; Fesus et al., 1983). In light of reports that implicate TG2 in the activation of phospholipase C$\delta$ during $\alpha$-adrenergic receptor signalling, and the added observation that this enzyme can bind phospholipids (Fesus et al., 1983) localised at the cell surface reveals a potential role for TG2 in surface receptor function. Finally, Ca$^{2+}$-dependent S-nitrosylation of the 15 out of the total 18 cysteine residues present in TG2 has been shown to inhibit the enzyme’s transamidating
activity, an effect that has also been confirmed for fXIII (Catani et al., 1998, Lai et al., 2001).
### 1.3.3 Transcriptional Regulation of the Tissue Transglutaminase Gene
As indicated above, at the protein level, most regulatory mechanisms serve to inhibit the enzyme. In contrast, at the mRNA level, several signalling molecules and growth factors have been shown to increase expression of TG2. The 32.5 kb human TG2 gene (TGM2) has been mapped on chromosome 20q11-12 (see Table 1.1, Gentile et al., 1995) and consists of 13 exons separated by 12 introns, with the last exon (exon 13) making up almost half of the full-length cDNA (Fraij et al., 1992). A short (2.4-kb) splice variant of TGM2 (sTGM2) of undefined biological significance has also been identified recently in rat astrocytes treated with cytokines such as interleukin-1β (Monsonego et al., 1997), as well as in the brains of patients with Alzheimer’s disease (Citron et al., 2001).
In many tissues, including endothelium, vascular smooth muscle and lens epithelial cells, TG2 is expressed constitutively and there are high levels of active enzyme (Greenberg et al., 1991), while in others (such as monocytes and tissue macrophages) the enzyme is inducible and the basal expression of TG2 is very low (Chiocca et al., 1988; Murtaugh et al., 1984). Studies of the TG2 gene promoter have given important insights into the pathways regulating TG2 gene expression. The proximal promoter (see Figure 1.5) is comprised of a TATA-box element and two upstream SP1 (CCGCC) binding sites which drives constitutive expression (Lu et al., 1995). Two extra SP1 sites and four NF1 (CGCCAG) sites have been identified in the 5'-untranslated region (5'UTR). The CAAT-box element located upstream of the TATA box has minimal or no effect on transcription. In contrast, the state of methylation of CpG islands located in this proximal promoter provides a mechanism for negative control of the promoter gene family. Differential expression is also regulated by a number of upstream enhancer/silencer elements. Response elements for retinoic acid (Nagy et al., 1996; Piacentini et al., 1992; Fesus et al., 1991; Davies et al., 1988; Chiocca et al., 1988); and growth factors such as: TGF-β1 (George et al., 1990), IL-6 (Ikura et al., 1994; Suto et al., 1993), TNFα gene family (Kuncio et al., 1998), and
Fig 1.5
EGF (Katoh et al., 1996) have been identified. A specific retinoid response element (mTGGRE1) has been located 1.7 kb upstream of the transcription start site, containing a triplicate retinoid receptor binding motif (Nagy et al., 1996), which together with a short HR1 sequence is responsible for promoter activation in response to retinoic acid. A potential IL-6 response element as well as transcription factor AP-1 and AP-2 binding sites have also been located (Ikura et al., 1994).
Methylation of the TG promoter is considered to represent another level of gene regulation and may account for tissue specific gene expression (Lu and Davies, 1997). Studies of the TG2 promoter demonstrate that hypo-methylation and demethylation increase TG2 activity whilst hyper-methylation suppresses TG2 (Lu and Davies, 1997). Transfection studies show this promoter to be functional and to account for constitutive expression in a number of transfected cell lines, though methylation within the main body of the promoter fails to account for changes in gene expression within specific cell-types, suggesting that distal regions of the promoter are required (Lu et al., 1995). The flanking region of the human TG2 promoter shares a high degree of homology with both mouse and guinea pig TG2 promoters (Ikura et al., 1988; Nanda et al., 1999). However, there is little homology between the TG2 promoter and those of other members of the TG family, which reflects their diversity.
### 1.3.4 Cellular Localisation of Tissue Transglutaminase
The TG2 protein is regarded as a predominantly cytosolic (80%), with 10-15% of the enzyme being localised at the plasma membrane (Griffin et al., 1978; Barnes et al., 1985; Slife et al., 1985; Tyrrell et al., 1986; Juprelle-Soret et al., 1988), and about 5% in the nuclear membranes (Singh et al., 1995; Lesort et al., 1998; Peng et al., 1999). It was only in the last two decades that localisation of TG2 antigen and activity within the extracellular matrix has been recognised (Barsigian et al., 1991; Aeschlimann and Paulson, 1994; Martinez et al., 1994; Jones et al., 1997; Johnson et al., 1997, Verderio et al., 1998).
Figure 1.6 Cellular distribution of TG
Subcellular fractionation and electron microscope analysis of both cytoplasmic and particulate/plasma membrane-associated TG2 (see Fig. 1.6) revealed that these localised enzymes shared similar properties, suggesting that the particulate enzyme could be of a specific sub-cellular form (Chang and Chung, 1986). Many cytosolic proteins have been described *in vitro* as good glutamine substrates for TGs, however only a few of them have been verified as physiological substrates of TG2 (see Table 1.2). Among those recognised substrates are: RhoA (Singh *et al.*, 2003); β-tubulin (Lesort *et al.*, 1998); thymosin β₄ (Huff *et al.*, 1999); vimentin (Clement *et al.*, 1998); c-CAM (Hunter *et al.*, 1998); troponin T and myosin (Gorza *et al.*, 1996); actin (Nemes *et al.*, 1996); β-crystallin; lipocortin I; PLA₂; glucagons; melittin; and secretory vesicle IV (Esposito and Caputo, 2005; Aeschlimann and Paulson, 1994). RhoA, a member of the Ras superfamily, functions as a constitutively active G-protein, promoting the formation of stress fibres and focal adhesion complexes (Singh *et al.*, 2003). The cytoskeletal protein actin has a key physiological role in stabilising cellular morphology by counteracting the release of cytoplasmic material from the cells, and by exerting a morphogenic role in apoptosis (Nemes *et al.*, 1996).
Cell surface-associated TG2 (see Fig. 1.6) has been shown to specifically incorporate small molecular weight amines such as dansylcadaverine and histamine into the membrane, generating SDS-insoluble large molecular weight aggregates (Slife *et al.*, 1986), revealing that protein substrates in the plasma membrane are accessible to cell surface-associated TG. These authors have also suggested a role for TG2 in hepatocyte cell adhesion by the generation of covalently protein-cross-linked matrices at the sites of cell-to-cell contact. Cell-surface TG2 also covalently incorporates itself, fibrinogen and fibronectin into high molecular weight aggregates on the extracellular surface of isolated hepatocytes (Barsigian *et al.*, 1991). Accumulating evidence suggests that transport of TG2 to the cell surface may involve non-covalent association with β1 and β3 integrins during biosynthesis (Akimov *et al.*, 2000). Following further investigation of the functionality of cell-surface TG2 and that of the TG2-FN complex, antisense RNA disruption of TG2 expression in the ECV304 cell line was shown to impair cell spreading and adhesion (Jones *et al.*, 1997), whereas converse cell adhesion experiments (Isobe *et al.*, 1999) indicated that the cell-surface TG2 serves to promote cell spreading and α4β1 integrin-mediated cell adhesion.
Interaction of TG2 with multiple integrins of $\beta 1$ and $\beta 3$ subfamilies, and $\alpha 5\beta 1$ integrin in particular, suggested a role for TG2 as an integrin adhesion co-receptor for FN that promotes TGF$\beta$-mediated FN assembly (Akimov et al., 2000; Akimov and Belkin, 2001; Verderio, et al., 2003).
The TG2 enzyme has quite recently been discovered in the nucleus (see Fig. 1.6) of human neuroblastoma SH-SY5Y cells, 6% of which was co-purified with the chromatin associated proteins, and the remaining 1% presiding in the nuclear matrix fraction (Lesort et al., 1998). Within the nucleus, TG acts as a cross-linking enzyme and as a G-protein, showing basal activity comparable to that found in the cytosol (Singh et al., 1995; Lesort et al., 1998). Nuclear substrates for TG2 (see Table 1.2) that have so far been identified and physiologically characterised include: core histones (Shimizu et al., 1997); retinoblastoma protein (Oliverio et al., 1997); transcription factor SP1 (Han and Park, 2000); and importin $\alpha-3$ nuclear transport protein (Peng et al., 1999). Given the high molecular weight of TG2 (75- to 85-kDa), there is no allowance for passive diffusion, therefore TG2 translocation to the nucleus is believed to be mediated by active nuclear transport through its ability to bind importin-$\alpha 3$ (Peng et al., 1999). This does not rule-out the classical importin-mediated nuclear transport, whereby importin binds to the transported protein in the cytosol prior to dissociation and upon entry into the nucleus. Furthermore, modification of nuclear substrates by polyamination or cross-linking may be relevant to the role of TG2 in cell cycle progression (Mian et al., 1995) and apoptosis (Piredda et al., 1999). In cells undergoing apoptosis, TG2-mediated polymerisation of the retinoblastoma gene product (pRB), a pivotal player in the control of G1/S phase transitions, might represent the key signal for the initiation of programmed cell death (Oliverio et al., 1997). On the other hand, TG2-mediated dimerisation of H2B-H4 in core histones may have a role in the formation of intranuclear inclusions during apoptosis (Ballestar et al., 1996). The discovery that during programmed cell death, glyceraldehyde-3-phosphate dehydrogenase (GAPDH) has been shown to translocate to the nucleus, coupled with its increased cross-linking to polyglutamine domains by nuclear TG2 (Orru et al., 2002), favours the hypothesis that TG2 may be involved in the nuclear modification of GAPDH during apoptosis.
1.3.5 Extracellular Localisation of Tissue Transglutaminase
The involvement of TG2 in the extracellular matrix (ECM, see Figure 1.6) has been firmly established despite the enzyme’s externalisation mechanism being unknown (Fisher et al., 2009; Verderio et al., 1998; Jones et al., 1997; Johnson et al., 1997; Aeschlimann and Paulson, 1994; Martinez et al., 1994; Barsigian et al., 1991). The mechanism of secretion is unusual because TG2 lacks a signal peptide and is not secreted by a classical endoplasmic reticulum/Golgi-dependent mechanism (Lorand and Graham, 2003). It has been ascertained that TG2 secretion requires the active state conformation of the enzyme (Balklava et al., 2002) and an intact N-terminal FN binding site (Gaudry et al., 1999). Due to its atypical secretion mechanism TG2 is not frequently released and has been only shown to increase dramatically in situations of tissue damage and cellular stress (Upchurch et al., 1991; Johnson et al., 1999).
Many extra-cellular proteins are known to serve as substrates for TG2 (see Table 1.2). So far it has been reported that TG2 is a potent cross-linker of several ECM proteins such as FN (Turner and Lorand, 1989; Barsigian et al., 1991; Martinez et al., 1994), β-casein (Aeschlimann and Paulson, 1991), laminin-nidogen complex (Aeschlimann and Paulson, 1991), vitronectin (Sane et al., 1988), collagen type III and IV (Juprelle-Soret et al., 1988; Kleman et al., 1995; Esterre et al., 1998), osteopontin (Kaartinen et al., 1997), osteonectin (Aeschlimann et al., 1995), and C1-inhibitor (Hauert et al., 2000). The extracellular environment also provides the high concentration of Ca$^{2+}$ and the low concentration of guanosine nucleotides necessary for the activation of the enzyme. It is therefore possible to expect that TG2 plays a central role in reconstructing or stabilising the fine structure of the ECM. The TG2 protein has been further implicated in the stabilisation of different tissues such as liver, heart, lung, muscle and kidney revealing extracellular distribution of the enzyme with intensive staining in collagen rich connective tissue (Verderio et al., 2004), and co-localision with nidogen (Aeschlimann et al., 1991). Other extracellular components such a heparin sulphate proteoglycans are cross-linked in a TG2-mediated manner into high molecular weight polymers and may have a role in anoikis and the cell signalling cascade (Scarpellini et al., 2009; Telci et al., 2008; Verderio et al., 2003; Kinsella and Wight, 1990). Furthermore, an integral component of microfibrillar structures that
plays a critical role in the organisation of elastic fibres in the ECM can form high molecular weight polymers and has been identified as a TG2 substrate (Brown-Augsburger *et al.*, 1994). In the bone, the predominant TG2 substrate in the chondrocyte matrix has been identified *in situ* as osteonectin, a non collagenous protein co-expressed with TG2 in differentiating cartilages (Aeschlimann *et al.*, 1995).
It is has been postulated (Johnson *et al.*, 1999) that instead of directly cross-linking ECM components, TG2 may affect ECM homeostasis indirectly via regulation of the deposition/circulation balance of latent TGF-β precursor into/from the ECM, hence controlling *de novo* ECM protein synthesis (Nunes *et al.*, 1997). TGFβ plays a pivotal role in the ECM synthesis and accumulation and has also been shown to be a multifunctional regulator of cell proliferation and differentiation (Massague, 1990). The storage and subsequent release of TGFβ is crucial to physiological ECM remodelling in wound healing (Border and Ruoslahti, 1992; Nakajima *et al.*, 1997). Interestingly, immunohistochemical studies have revealed that TG2 can incorporate LTBP-1 into the ECM by possibly mediating its cross-linking to FN, while cells expressing increased levels of TG2 also exhibit increased extracellular deposition of LTBP-1 in the ECM (Verderio *et al.*, 1999; Taipale *et al.*, 1994).
### 1.3.6 Proposed Roles of Tissue Transglutaminase
Given the vast substrate requirements and ubiquitous cellular localisation of TG2, it is not surprising that the enzyme is implicated in a number of essential biological processes which encompasses almost every stage in the life and death of a cell: from regulation of proliferation, control of the cell cycle and signal transduction, to apoptosis. Although the existence of TG2 was first reported over 50 years ago (Sarkar *et al.*, 1957), the true biological role of the enzyme is yet to be fully elucidated. Nonetheless, sequential advances towards understanding the following cellular processes have been made with regard to TG2 function: cell proliferation and cell cycle progression (Mian *et al.*, 1995; Chiocca *et al.*, 1989; Birckbichler and Patterson, 1978); receptor-mediated endocytosis/phagocytosis (Murtaugh *et al.*, 1983; Shroff *et al.*, 1981; Davies *et al.*, 1980); activation of growth factors (Katoh *et al.*, 1996; Eitan and Schwartz, 1993; Kojima *et al.*, 1993); signal transduction
(Scarpellini et al., 2009; Feng et al., 1996; Nakaoka et al., 1994); cell-matrix interactions (Gentile et al., 1991; Jones et al., 1997); extracellular matrix organisation (Fisher et al., 2009; Martinez et al., 1994); myofibril assembly (Kang et al., 1995); cell differentiation (Aeschlimann et al., 1993 and 1996; Gentile et al., 1992; Birkbichler et al., 1978); tumour growth and metastasis (Mangala and Mehta, 2005; Knight et al., 1990; Mehta et al., 1990; Hand et al., 1987); angiogenesis (Kotsakis and Griffin, 2007; Jones et al., 2006); fibrosis (Johnson et al., 1997; Mirza et al., 1997; Griffin et al., 1979); inflammation (Upchurch et al., 1991; Bowness et al., 1994; Valenzuela et al., 1992; Weinberg et al., 1991); insulin secretion from the pancreatic β-cell (Porzio et al., 2007; Bernassola et al., 2002; Bungay et al., 1986); apoptosis and necrosis (Lim et al., 1998; Knight et al., 1991; Fesus et al., 1989). A number of these TG-mediated processes are described in further detail below.
188.8.131.52 Transglutaminase 2 in Cell Growth and Differentiation
The theory that TG2 may be a negative regulator of cell growth was proposed by Birckbichler et al., (1981) where cells treated with cystamine to inhibit their TG activity were shown to increase proliferation in response to decreased TG2. This is consistent with previous studies in which cells expressing low levels of TG2 showed an undifferentiated phenotype and increased proliferation compared to cells with high TG2 (Birckbichler and Patterson, 1978). The TG2 enzyme may also be involved in the regulation of the cell cycle, as in the instance of hamster fibrosarcoma Met B cells transfected with full length or truncated TG2 cDNA, which demonstrated that inactivating TG2 cross-linking activity delayed progression into the G2/M phase of the cell cycle (Mian et al., 1995).
Other lines of evidence have suggested that TG2 may indirectly influence cell growth by influencing growth factors, as in the case of plasmin-mediated activation of the potent growth inhibitor transforming growth factor β (Kojima et al., 1993), and dimerization of the growth/differentiation factor midkine which is shown to increase in potency (Kojima et al., 1997). It has also been suggested that TG2 negatively regulates the growth signal of epidermal growth factor (EGF) in hepatocytes through down-regulation of its high affinity receptor (Katoh et al., 1996). The enzyme has also
been implicated in cell differentiation, where the induction and accumulation of TG2 has been correlated with monocyte and chondrocyte differentiation in the maturation zone of skeletal tissues preceding cartilage calcification in new-born rat paw bones and tracheal cartilage (Aeschlimann et al., 1993). Furthermore, expression of the enzyme was observed in a TG2 transgenic mouse model (containing a mouse TG2 promoter), in both morphologically normal cells and in interdigital mesenchymal cells undergoing differentiation (Nagy et al., 1997).
### 184.108.40.206 Transglutaminase 2 in Receptor-mediated Endocytosis
The process by which receptor bound proteins are transported into cells via internalisation of clathrin-coated vesicles is termed receptor-mediated endocytosis or phagocytosis. It has been revealed that activated macrophages exhibit higher TG2 activity than their non-stimulated counterparts, resulting in an accumulation of the enzyme (Murtaugh et al., 1983; Leu et al., 1982), which has been linked to an enhanced capacity for phagocytosis (Schroff et al., 1981). Moreover, the TG2 inhibitors cystamine, methylamine and dansylcadaverine have been shown to block Fc-mediated endocytosis (Leu et al., 1982; Fesus et al., 1981), and it is thought that the enzyme may process Fc receptors into a high affinity state promoting phagocytosis (Davis and Murtaugh, 1984). However, the exact mechanism by which this could occur remains unresolved.
### 220.127.116.11 Transglutaminase 2 as a G-protein in Cell Signalling
Since TG2 binds and hydrolyses GTP, it is classified as part of the heterotrimeric G-protein family that are broadly involved in hormone receptor signalling. This role in receptor signalling, and as a GTPase are distinctly separate from TG2 transamidating function (Chen and Mehta, 1999). The heterotrimeric G proteins consist of a GTP-binding α-subunit (Gα) and regulatory β- and γ-subunits, though the TG2 α-subunit (Gαh) does not possess classical heterotrimeric GTP binding motifs, suggesting that Gαh is a new class of GTP binding protein (Nakaoka et al., 1994). Despite this, the GTPase cycle of Gαh is similar to that of other heterotrimeric G-proteins. TG2 facilitates the signalling response to α1-adrenergic receptor stimulation resulting from the binding of ligands such as catecholamines, norepinephrine and epinephrine.
(Im et al., 1997). Additionally, co-purification following ligation of epinephrine to rat liver $\alpha$1-adrenoreceptors, depicted a novel 74-kDa GTP-binding protein $G\alpha_h$ complexed with epinephrine, the receptor, and $G\alpha$ (Im et al., 1990). Peptide analysis of $G\alpha_h$ purified from several species has exposed an identical footprinting pattern to that of TG2, and noticeably, monoclonal antibodies against TG2 cross-reacted with $G\alpha_h$, strongly implying that TG2 and $G\alpha_h$ represent the same molecule (Nakaoka et al., 1994).
The association of TG2/$G\alpha_h$ with the plasma membrane is shown to be mediated by the presence of a fatty acid anchor on TG2 (Harsfalvi et al., 1987). In common with all G-proteins, the TG2/$G\alpha_h$ subunit is in its inactive form when bound to GDP. Interaction between the receptor and $G\alpha_h$ results in the activation and release of GDP, allowing GTP to bind. This facilitates a conformational change in $G\alpha_h$ and the dissociation of the $\alpha$- and $\beta$-subunits. Once in the GTP bound state, TG2 affects the transmembrane signal by interacting with phospholipase C$\delta$, via its binding site located on the C-terminal domain, in turn influencing phosphatidyl inositol metabolism (Chen et al., 1996; Hwang et al., 1995). More specifically, $G\alpha_h$/TG2 is thought to be involved in the activation of a 69-kDa PLC isoform that was later identified as PLC$\delta_1$ (Baek et al., 2001; Feng et al., 1996). An 8-amino acid region (Leu$^{665}$-Lys$^{672}$) of the $\alpha$ subunit of TG2 has been identified to be involved in the interaction and activation of PLC. Association of TG2 with a 50-kDa protein ($G\beta_h$), a calreticulin-like Ca$^{2+}$-binding protein, generates the $G_h$ holoprotein. Upon ligation with epinephrine, the $\alpha$1-adrenorceptor binds TG2 and promotes the exchange of TG2-bound GDP with GTP. The GTP-bound TG2 then activates PLC$\delta_1$, which in turn can hydrolyse phosphatidylinositol diphosphate (PIP$_2$), thus generating the second messengers: inositol triphosphate (IP$_3$) and diacylglycerol (DAG). IP$_3$ is a potent inducer of Ca$^{2+}$ release from intracellular pools, whereas DAG can activate protein kinase C (PKC), a serine/threonine kinase involved in a wide spectrum of biological functions (Lee and Severson, 1994).
18.104.22.168 Transglutaminase 2 and the Cytoskeleton
Three main types of fibre maintain the internal architecture of cell: microfilaments, microtubules and intermediate filaments. Many cytoskeletal proteins are known to be TG2 substrates *in vitro*, including actin and myosin (Eligula *et al.*, 1998; Kang *et al.*, 1995), tubulin (Cohen and Anderson, 1987), $\alpha$-actinin (Puszkin and Raghuraman, 1985), and spectrin (Harsfalvi *et al.*., 1991). It is uncertain whether cross-linking occurs *in vivo*, except in the case of ageing erythrocytes where TG2 was found to cross-link cytoskeletal elements such as band 3, band 4.1, ankyrin and spectrin (Lorand and Conrad, 1984).
With respect to specific components of the cytoskeleton such as the intermediate filament network of dermal fibroblasts, TG2 was found to co-localise with vimentin (Trejo-Skalli *et al.*, 1995). This co-localisation was retained when the cells were treated with colchicine, which induces microtubule disassembly and the reorganisation of intermediate filaments into perinuclear aggregates, however microinjection with an anti-TG2 antibody caused a collapse of the vimentin intermediate filament network in live fibroblasts (Trejo-Skalli *et al.*, 1995). The association of TG2 with myosin-containing cytoskeletal structures has also been proposed as in the case of maturing chick embryonic myoblasts, where TG2 was found to be co-localised with the cross-striated sarcomeric A band of myosin thick filaments (Kang *et al.*, 1995). In the same study, monodansylcadaverine (MDC, a competitive substrate inhibitor of TG2 activity) was found to reversibly inhibit the assembly of myofibrils in developing cells, and a 200-kDa protein thought to be myosin heavy chain was extensively labelled with MDC in developing fibrils, suggesting a role for the cross-linking of myosin molecules by TG2 to be a critical factor in the process of myofibrillogenesis (Kang *et al.*, 1995). Another study reported co-localisation of TG2 with stress fibre-associated myosin in human vascular smooth muscle cells and human umbilical vein endothelial cells (Chowdhury *et al.*, 1997), where the enzyme was found to co-immunoprecipitate with myosin in high molecular weight complexes, and it was proposed that the enzyme might auto-cross-link itself to stress fibre-associated myosin.
22.214.171.124 Transglutaminase 2 in Wound Healing Processes
TG2 is an important participant in wound healing, and is thought to be involved in all overlapping wound healing phases such as inflammation, tissue formation/stabilisation and tissue remodelling (Telci and Griffin, 2005; Verderio et al., 2004). Early studies using rat skin reported an increase in TG2 activity and antigen levels following biopsy punch wounding (Bowness et al., 1987 and 1988), and increased enzyme activity was also demonstrated in paraquat damaged rat lung (Griffin et al., 1979). The enzyme has also been significantly implicated in the cross-linking of the papillary dermis and the dermo-epidermal junction during the healing of autografts (Raghunath et al., 1996), a study which identified collagen VII as a key TG2 substrate; leading the authors to speculate that the topical application of purified TG2 to wounded tissue might accelerate the healing process. The use of TG2 in the experimental repair of rat optic nerves has been reported (Eitan et al., 1994) which suggests the enzyme may be of value in treating human injuries. It has been also been reported that the adhesive strength using TG2 was superior to that obtained with a traditional fibrin sealant (Jurgensen et al., 1997), which makes it very possible that TG2 may soon be commercially available as a biological glue for cartilage-cartilage interfaces.
In relation to the inflammation process, TG2 antigen was found to be highly expressed in macrophages, adjacent to the re-epithelialisation zone and in the provisional fibrin matrix during rat dermal wound healing (Haroon et al., 1999). This was coupled with an increased expression of TG2 in endothelial cells and macrophages invading the fibrin clot and the new granulation tissue during wound healing (Haroon et al., 1999). It has been recently suggested that macrophages lacking TG2 are unable to efficiently phagocytose dead cells, as has been observed in the thymus of TG2-null mice after induction of apoptosis, and that this was correlated to the impaired activation of TGF-β1, which is specifically released by macrophages on recognition of dead cells and plays an important function in down-regulating the inflammatory response (Szondy et al., 2003). In addition, activity of the secretory isoform of phospholipase A2 (sPLA2), a membrane protein which releases arachidonic acid during inflammation, also appears to be enhanced by TG2 either through the formation of an isopeptide bond.
within sPLA2 or through its polyamination (Cordella-Miele et al., 1990 and 1993). Whilst new chimeric peptides derived from proelafin and antinflammins have been shown to inhibit sPLA2, TG2 activity, and TG2-mediated modification of sPLA2, displaying strong in vivo anti-inflammatory activity (Sohn et al., 2003).
Following inflammation, tissue remodelling occurs through the transition from granulation tissue to scar tissue, in which the balance between the synthesis and degradation of collagen is crucial (Singer and Clark, 1999). Simultaneously, many of the extracellular roles of TG2 which have implications in the early stages of wound repair involves its interaction with FN which provides a provisional matrix prior to collagen deposition and is essential for adhesion, migration and proliferation (Akimov et al., 2000). Cell-matrix interactions can also be affected by TG2, either as an adhesion co-receptor of β1 and β3 integrins, or as an independent cell adhesion protein (Isobe et al., 1999; Gaudry et al., 1999; Belkin et al., 2001; Balklava et al., 2002; Verderio et al., 2003). Subsequently, given the regulation of TG2 expression by cytokines such as transforming growth factor β1 (TGF-β1), interleukin-6 (IL-6) and tumor necrosis factor-α (TNF-α) (Kuncio et al., 1998; Ikura et al., 1994; Suto et al., 1993; George et al., 1990), a role for regulated TG2 in the tissue repair mechanism is very likely.
### 126.96.36.199 Transglutaminase 2 in Cell-Matrix Interactions
The involvement of TG2 in the assembly of the ECM and its role in cell-matrix interactions (see Fig. 1.8) are dependent on the cell-surface expression of the enzyme, which can exercise a pronounced effect on cell proliferation, adhesion, migration and cell survival (Zemskov et al., 2006). The matrix assembly role of TG2 mostly relates to its association with FN and its involvement in FN polymerisation (Gaudry et al., 1999). The enzyme has a high affinity binding site for FN, localised to the initial seven N-terminal amino acids (Jeong et al., 1995), which appears to interact with the 42-kd gelatin binding region of FN (Akimov and Belkin, 2001; Radek et al., 1993; Turner and Lorand, 1989). In endothelial cells and fibroblasts, TG2 has been demonstrated to cross-link FN polymers at the cell surface (Balklava et al., 2002; Verderio et al., 1998; Jones et al., 1997; Martinez et al., 1994).
Fig. 1.8. Cell-matrix associations
The precise mechanism by which TG2 promotes FN assembly remains unclear. However, the enzyme is known to act as an integrin co-receptor for FN (Akimov *et al.*, 2000) and associates with several $\beta1$ and $\beta3$ integrins, whilst simultaneously binding to FN. The presence of cell-surface TG2 enhances FN-matrix formation mediated by the $\alpha5\beta1$ integrin (Akimov and Belkin, 2001). The adhesive function of TG2 is independent of its cross-linking activity but requires the formation of ternary complexes with FN and $\beta1$ and $\beta3$ integrins (Akimov *et al.*, 2000). The formation of such complexes may influence adhesion by causing the enlargement of focal adhesions and amplifying the integrin-mediated activation of focal adhesion kinase (FAK) (Akimov *et al.*, 2000). The association of TG2 with matrix-associated FN appears to promote cell adhesion by RGD-independent mechanisms (Verderio *et al.*, 2003). RGD mediated cell adhesion plays an important role in cell survival and RGD containing peptides can induce apoptosis in a number of cell types. However, adhesion via TG2-FN has been suggested to promote cell survival in the presence of RGD peptides and probably plays such a role in the response to cell stress (Verderio *et al.*, 2003).
The ability of TG2 to form highly stable and proteolytically resistant $\varepsilon$-(γ-glutamyl) lysine cross-links between extracellular proteins of the ECM, has implicated the enzyme in tissue maintenance and matrix stabilisation. The TG2 enzyme has been portrayed to cross-link and stabilise the fibrin clot during wound healing (Auld *et al.*, 2001; Haroon *et al.*, 1999), together with mediating the formation of FN multimers (Gross *et al.*, 2003; Verderio *et al.*, 1998; Jones *et al.*, 1997; Martinez *et al.*, 1994), and the cross-linking of collagen fibrils (Kleman *et al.*, 1995) which leads to ECM stabilisation that is resistant to the action of matrix metalloproteinases. Similarly, in opossum proximal tubular cells stimulated to over-express TG2 by elevated glucose an accumulation in collagen and FN matrix is observed, suggested to be due to increased ECM cross-linking (Skill *et al.*, 2004). The potential role of TG2 in the stabilisation of the ECM is likely to be important in maintaining tissue integrity by influencing the balance between matrix deposition and breakdown in diseases where altered tissue homeostasis is a characteristic feature, such as wound healing and fibrosis.
188.8.131.52 Transglutaminase 2 in Cell Death
The involvement of TG2 in the mechanisms of programmed cell death or apoptosis, where a cell actively participates in suicide (Wyllie et al., 1980), is now widely accepted and the enzyme is thought to play both pro- and anti-apoptotic roles. The onset of apoptosis *in vivo* is often characterised by the induction of the TG2 gene (Amendola et al., 1996; Knight et al., 1993; Piacentini et al., 1992; Fesus et al., 1989). With respect to *in vitro* studies, transfections of mammalian cells with a full length TG2 cDNA revealed a marked increase in the spontaneous cell death rate (Gentile et al., 1992), while conversely, stable transfections with antisense TG2 constructs led to pronounced decreases in spontaneous and induced apoptosis (Melino et al., 1994). Knight et al. (1991) hypothesised that cross-linking of intracellular components by TG2 was pivotal in the stabilisation of the apoptotic cells prior to clearance by phagocytosis, as it had the potential to prevent leakage of intracellular, inflammatory components to the extracellular space, thus maintaining tissue integrity. TG2 is also shown to share substrates, such as histone H2B, pRB, actin, troponin with pro-apoptotic caspases (Piacentini et al., 1999), and most interesting was the finding that TG2 accumulates in clusters of apoptotic cells in the interdigital web resulting in the separation of fingers into distinct digits (Thomazy and Davies, 1999). These studies suggest that the TG2-catalysed cross-linking of intracellular proteins may be a very important event in apoptosis, however definitive roles for the enzyme have yet to be firmly established.
The pro-apoptotic role of TG2 is thought to be mediated through both upstream and downstream events in the apoptotic pathway. The induction of TG2 is regulated by a number of factors such as retinoic acid and TGF-β1 that are also able to regulate apoptosis suggesting that TG2 is able to act as an early effector “death” protein (Melino and Piacentini, 1998). Similarly, the GTP-binding ability of TG2 may also contribute to the regulation of apoptosis (Melino and Piacentini, 1998) as GTP availability affects second messengers that are known to inhibit apoptosis such 1,2 diacylglycerol (DAG) (Leszczynski et al., 1994; Nakaoka et al., 1994). Apoptosis may also be promoted by TG2 through direct interaction with proteins of the apoptotic pathway such as *Bax* where interaction with the BH3 domain of TG2 can cause conformational changes leading to translocation of *Bax* to the mitochondria,
the release of cytochrome c, and cell death (Rodolfo et al., 2004). In the downstream stages of apoptosis, the activation of TG2 leads to extensive cross-linking of intracellular proteins and the formation of detergent insoluble protein polymers, which again may serve to stabilise apoptotic cells, preventing leakage of proinflammatory intracellular components prior to clearance by phagocytes (Fesus, 1998; Fesus et al., 1987).
The TG2 enzyme may also protect cells from apoptosis via non-classical adhesion dependent mechanisms such as anoikis. Studies on osteoblasts and dermal fibroblasts demonstrate that TG2 is able to form complexes with fibronectin and heparin sulphate leading to the activation of RhoA and stimulation of the cell survival focal adhesion kinase (Verderio et al., 2003). Similarly, studies of renal scarring in vivo also suggest that TG2 may participate in a novel form of cell death in which epithelial cells die through extensive cross-linking of their intracellular proteins as a result of accumulating levels of TG2 (Johnson et al., 1997).
### 1.3.7 Disease States Associated with Tissue Transglutaminase
The clinical importance of TG2 is becoming increasingly recognised, and in recent years much attention has been focussed on the potential role of the enzyme in the pathogenesis of a number of disease states. Seeing as TGs participate in such varied cellular and extracellular processes, it is no surprise that the variations in the enzymes activity is suggested to contribute to a wide range of pathologies when the loss of Ca$^{2+}$ homeostasis occurs. These range from: Huntington’s disease (Lesort et al., 2000; Karpuj et al., 2002); Alzheimer’s disease (Tucholski et al., 1999; Zhang et al., 1998; Murthy et al., 1998); coeliac disease, (Schuppan et al., 2009; Arentz-Hansen et al., 2000; Molberg et al., 1998; Dieterich et al., 1997); tissue fibrosis (Grenard et al., 2001; Johnson et al., 1997; Mirza et al., 1997; Griffin et al., 1979); cancer (Kotsakis and Griffin, 2007; Jones et al., 2006; Hand et al., 1988; Birckbichler and Patterson, 1980) and diabetes (Porzio et al., 2007; Bernassola et al., 2002; Bungay et al., 1986).
184.108.40.206 Transglutaminase 2 in Neurodegenerative Disorders
The physiological role of the brain TG is not known, but some evidence points to the enzymes involvement in neurotransmitter release (Facchiano et al., 1993). Besides participation in the normal functioning of neurons, TG2 may also play a role in the pathogenesis of neurodegenerative disorders such as Alzheimer’s disease and Huntington’s disease, where it is associated with the presence of insoluble protein complexes in the brain (Lesort et al., 2000; Lorand et al., 1996). Alzheimer’s disease is associated with selective damage to the neurons in the neocortex, hippocampus and amygdale, where extracellular senile plaques containing fibrils are composed of β-amyloid protein (Aβ) and neurofibrillar tangles, comprising an abnormally phosphorylated form of the microtubule-associated protein tau. The TG2 enzyme is thought to be involved in the development of abnormal and insoluble neurofilaments (Selkoe et al., 1982 and 2002) in Alzheimer’s disease, where several protein components of senile plaques have been shown to be TG2 substrates, including tau (Dudek and Johnson, 1993), amyloid precursor protein (Ho et al., 1994), βA4 (Dudek and Johnson, 1994), and a peptide derived from α-synuclein (Jensen et al., 1995). However, it has not yet been shown that the βA4-plaques contain isopeptide cross-links, so the involvement of TG2 in amyloidogenesis remains hypothetical.
Huntington’s disease is among eight neurodegenerative diseases that have been positively associated with (CAG)$_n$ expansions in the genome and to corresponding polyglutamine (Q$_n$) expansions in the encoded proteins (Vonsattel and DiFiglia, 1998). Peptides containing Q$_n$ domains are excellent substrates for TG2 (Kahlem et al., 1996) where increased Q$_n$ size may lead to aberrant or increased TG2 activity (Green, 1993) that yields high-molecular weight polymers as favourable substrates for attachment to other Q$_n$ domains (Gentile et al., 1998). The TG2 enzyme has also been shown to cross-link Huntingtin protein and as a consequence may be involved in the formation of nuclear inclusions found in the brain (Karpuj et al., 1999). Subsequent treatment with TG2 inhibition by cystamine in a transgenic mice model revealed a reduction in Huntington’s disease-related symptoms and increased survival (Karpuj et al., 2002). Recent reports have also shown that the elevated expression of the TG2 gene, coupled with its conversion into a shorter splice isoform that lacks the GTP
binding site, causes increased TG2 cross-linking activity and may be a key factor in the neuropathological conditions of the brain (Citron et al., 2001 and 2002).
### 220.127.116.11 Transglutaminase 2 in Coeliac Disease
Perhaps the most widely studied aspect of TG2 in the clinical arena is its possible role in coeliac disease (Dieterich et al., 1997). Coeliac disease presents itself as chronic inflammation and damage of the upper small intestine as a result of inappropriate T-cell mediated immune response, in genetically pre-disposed individuals (mostly HLA-DQ2 and –DQ8 positive), against ingested gluten proteins found in wheat, barley and rye (Molberg et al., 2000). It is organ-specific, as only gut-derived T-cells react with modified gliadin peptides (Molberg et al., 1998). Since TG2 has been identified as the dominant autoimmune antigen against immunoglobulin A in this malabsorption syndrome, work has focused on improving diagnosis and understanding the mechanism of disease progression (Bazzigaluppi et al., 1999). A current hypothesis suggests that deamidation of certain glutamine residues in gliadin by TG2 may activate T-cells and could be a key factor in the development of gluten intolerance (Molberg et al., 1998), and the enzyme is now established as a serologic marker of the disease (Dickey et al., 2001; Hoffenberg et al., 2000; Gillett and Freeman, 2000).
### 18.104.22.168 Transglutaminase 2 in Fibrosis
Given the high affinity of TG2 for the ECM, it is not surprising that its accidental release from cells would cause undesirable protein cross-linking. In situations where large-scale tissue damage occurs, the enzyme could contribute to the development of fibrotic conditions. Early work by Griffin et al. (1979) implicated TG2 in the progression of paraquat induced pulmonary fibrosis in rats. The enzyme is also thought to be involved in the development of liver cirrhosis, as high amounts of ε-(γ-glutamyl)lysine isopeptide bonds have been detected in the highly insoluble matrix found in Mallory bodies (Zatloukal et al., 1992). The TG2 protein has since been linked to the fibrotic phenotype in a number of tissues, such as the kidney (Johnson et al., 2009; Fisher et al., 2008; Skill et al., 2001; Johnson et al., 1997 and 1999), the
liver (Kuncio et al., 1998; Mirza et al., 1997; Piacentini et al., 1999; Grenard et al., 2001), the heart (Small et al., 1999), and the vasculature (Bowness et al., 1994). Johnson et al., (1997) demonstrated that increasing TG2 activity and cross-link formation mirrored the progression of renal scarring in a subtotal nephrectomy model of kidney fibrosis in rats, and later provided the first line of *in vitro* evidence in support of the notion that TG2 cross-links confer resistance to the ECM against degradation by matrix metalloproteinases (Johnson et al., 1999), findings which were indicative of a role for the enzyme in the mechanisms of stabilisation and accumulation of ECM.
### 22.214.171.124 Transglutaminase 2 in Cancer
Early work by Yancey and Laki (1972) implicated TGs in tumour growth. These authors proposed that solid tumours required a covalently stabilised fibrin network for proliferative growth. However, TG2 activity and cross-links was later shown to be reduced in neoplastic cells as in the instance of chemically- and virally-transformed cells which contained less TG2 than their normal counterparts (Birckbichler et al., 1978; Birckbichler and Patterson, 1980). This reduction of TG2 activity seemed to be accompanied by a redistribution of the enzyme to the cell surface (Barnes et al., 1985; Hand et al., 1988). Other studies have also noted an inverse correlation between TG2 activity and the metastatic potential of clonal cell lines (Delcros et al., 1986; Knight et al., 1991; Beninati et al., 1993). A link between TG2 activity and tumour metastasis was proposed by Kong et al., (1997), where TG2 was found to stabilise cell contact points of free-floating melanoma cells with the subendothelial matrix of arterioles. This is consistent with a role for cell-surface TG2, and could explain how malignant cells are able to colonise other tissue types. Van Groningen et al., (1995) also noted that TG2 expression was elevated in highly metastatic human melanoma cell lines compared to weakly metastatic ones. In addition, studies using hamster fibrosarcomas showed that the reduction of TG2 was identified as a specific reduction of the cytosolic enzyme (Hand et al., 1988), and was accompanied with the increase in expression of a 120-kDa inactive TG (Knight et al., 1990a), which was thought to be a result of inappropriate gene expression (Knight et al., 1990b).
Further contradictions to the above reports, show that TG2 does not represent a biochemical marker of malignancy in human brain tumours, (Röhn et al., 1992), and that the *in vivo* quantification of TG expression in skin, colon, pancreas, stomach, and lung tumour tissue, TG2 was concluded to not act as a tumour related marker (Takaku et al., 1995). Taken together, the above findings suggest that TG expression and activity may vary between various tumour tissues. Despite these reports, the enzyme is now thought to act in the body’s natural defence against tumour formation as increased TG2 expression in the tissue surrounding tumours has been found (Hettasch et al., 1996; Grigoriev et al., 2001). More recently, investigations undertaken with experimental animal models and primary tumours by Jones and co-workers (2006), showed that TG2 activity and expression in the tumour body and surrounding matrix decreased with tumour progression, favouring matrix destabilisation, but supporting angiogenesis and tumour invasion (Kotsakis et al., 2007; Jones et al., 2006). In contrast, studies with secondary metastatic tumours have shown TG2 to be highly expressed, where potential roles in both intracellular and extracellular cell survival may be important (Chhabra et al., 2009). Considering the conflicting evidence, it is difficult to delineate a role for TG2 in the development of the malignant phenotype, and the involvement of TG2 in this process is likely to remain controversial.
### 1.4. Transglutaminase in Pancreatic β-cells and Diabetes
The hypotheses generated in this thesis are centred on the potential importance of TG2 in pancreatic β-cells and the associated pathogenesis of diabetes mellitus. Evidence for the role of TG within pancreatic β-cells is discussed below, with a preceding commentary on the mechanism of insulin release and current therapeutic strategies for diabetes.
1.4.1. **Biosynthesis of Insulin and Exocytosis**
The discovery of insulin in the 1920s is thought to be one of the most dramatic events in the treatment of disease, and has proved to be the primary therapy used to extend the life of diabetics to this day. The importance of insulin has ensured its presence in many milestones of scientific research; being one of the first proteins to be utilized for medical purposes (admittedly as a crude and impure fraction) in the landmark 1922 paper by Banting and Best (Rosenfeld, 2002; Bliss, 1993), and was consequently one of the first purified proteins to be crystallized (Abel, 1926). The discovery of insulin won Banting and Macleod the Nobel Prize for Physiology and Medicine in 1923, the prize money of which was later shared with Best and Collip. Insulin was also the first protein to be fully sequenced (Sanger and Tuppy, 1951a and 1951b; Sanger and Thompson, 1953a and 1953b; Ryle *et al.*, 1955), an achievement which clarified that proteins are made up of a single-stranded un-branching sequence of amino acids, ultimately also resulting in a Nobel Prize in 1958 (Sanger, 1959). While it was artificially synthesised from pre-proinsulin, or by catalyzing disulphide bonds between pre-isolated A and B chains from the late 1950s onwards, these methods were not commercially viable, and it was therefore also the first protein to be mass produced from *E. coli*, ushering in the dawn of biotechnology (Goedell *et al.*, 1979).
Human insulin (see Fig 1.9) is a 51 amino acid polypeptide hormone derived from a 110 amino acid (11.98-kDa) precursor called pre-proinsulin (Howell and Bird, 1989), which is formed from a gene on the short arm of chromosome 11 (Owerbach *et al.*, 1981). Once synthesized, the hydrophobic signal sequence at the N terminus of the polypeptide promotes association of the molecule with the endoplasmic reticulum (ER) membranes. This hydrophobic sequence is cleaved to produce the proinsulin precursor, which is an 86 amino acid (9.4-kDa) polypeptide whereby rapid proteolysis results in a molecule consisting of two chains (A and B) joined by a connecting C-peptide of 30-35 amino acids (Howell and Bird, 1989). From the ER, proinsulin is transported to the Golgi apparatus in microvesicles; a process that is presumably mediated by small GTP-binding proteins (Balch, 1991).
Figure 1.9
In studies using colchicine to inhibit glucose-stimulated insulin release (Lacy *et al.*, 1968), a translocation process was conceived where vesicles containing proinsulin are thought to make their way to the periphery of the cell by interacting with microtubules. This process may be affected by the dynamic nature of microtubule polymerisation, and the accepted interactions between microtubules and microfilaments in the cytosol (Howell, 1984). As well as travelling from the trans-Golgi network, the environment containing proinsulin is thought to acidify as a result of a Ca$^{2+}$/H$^+$ pump within the vesicles, which utilises ATP (Orci *et al.*, 1987; Hutton 1982). As the pH drops, proteases (PC1, PC2 and carboxypeptidase-H) within the vesicles are activated to cleave the connecting C-peptide from the insulin molecule (Hutton, 1994). Removal of the C-peptide subsequently reduces the solubility of the insulin molecule, causing it to co-precipitate with Zn$^{2+}$ into dense crystalline granules. Upon secretion, insulin and C-peptide are secreted in equimolar amounts, with 95% of secreted hormone being insulin and 5% in the form of proinsulin (Howell and Bird, 1989). Mature insulin granules contain high concentrations of crystalline insulin together with Zn$^{2+}$; Ca$^{2+}$; C-peptide; biogenic amines produced as a result of granule acidity; and a range of bioactive proteins and peptide precursors known as secretogranins (Howell and Bird, 1989). These granules are stored in dense core vesicles (DCVs) that are thought to be clathrin-coated, named for their appearance in electron micrographs (MacDonald and Rorsman, 2007; Orci *et al.*, 1994)) and are retained by the $\beta$ cell until rising secretatgogues such as blood glucose indicates that they are required.
Insulin is produced exclusively by pancreatic $\beta$-cells, which while making up to 80% of the cells within the islets of Langerhans (Foster *et al.*, 1993), represent less than 1% of the total pancreatic mass (Gammelsaeter *et al.*, 2009). The resultant insulin hormone is formed from two peptide chains of similar length, bridged by two disulphide bonds (Cys$^{31-96}$ and Cys$^{43-109}$) which are critical for maintaining insulin as a single molecule (see Fig. 1.9). In solution, the insulin molecule tends to dimerise due to interactions between the C-termini of the B chains, except in the presence of zinc where the formation of poorly soluble hexamers is catalysed (De Metys *et al.*, 2004). The entire insulin sequence has no unoxidised cysteines, as a third disulphide bond (Cys$^{95-100}$) is found within the insulin A chain, and is thought to either prevent erroneous bond formation between the other cysteines in the A chain and those in the
B chain, or provide the conformational stability required for inter-chain bonds to be formed (Yuan et al., 1999).
Despite its high solubility, significant amounts of insulin C-peptide are also bound up within the insulin granules and secreted when insulin is released into the blood. While for a long time this peptide was considered biologically inert, more recently it has been recognised as having roles in both enhancing glucose disposal and preventing neuropathy and nephropathy (Brandenburg, 2008; Rebsomen et al., 2008; Forst et al., 2008; Wahren et al., 2007), presumably by GPCR-mediated binding (Hills and Brunskill, 2009).
The mature granules are secreted in a regulated way, in what is believed to be a ‘sub-plasmalemmal web’ of microfilaments and other cytoskeletal components that are involved in the fusion of the granule membrane to the plasma membrane. It is also thought that the dynamic relationship of mature granules with the actin network is likely to account for the existence of different pools of secretory granules which differ in their readiness to undergo exocytosis upon stimulation of secretion (Klenchin and Martin, 2000). The effect of Ca$^{2+}$ and other secondary messengers on the secretion of insulin is usually carried out over a period of several minutes to one hour. Within this time-frame, biosynthesis cannot lead to secretion (Howell and Bird, 1989). Therefore, the effects most commonly measured are those on the translocation of granules to the cell periphery, and exocytosis. The pancreatic β-cell is able to maintain intracellular stores of insulin at a relatively constant level. When insulin is lost from the β-cell by glucose-induced exocytosis, there is a reciprocal rapid upregulation of proinsulin biosynthesis at the level of translation (Goodge and Hutton, 2000). The control of exocytosis and margination by secondary messengers in the β-cell remains an area of prolific study, and involves the changing conformation of proteins by Ca$^{2+}$-binding and/or protein phosphorylation. A further post-translational modification which may occur in a Ca$^{2+}$-activated manner at this time, may be the cross-linking by transglutaminase, since it has been reported in rat islets that inhibitors of the enzyme also inhibit insulin release (Bungay et al., 1984). This is discussed in further detail later on.
1.4.2. Insulin Secretion
The pancreatic β-cell is a very complexly-regulated system of stimulus-secretion coupling, tailor-made for the purposes of adjusting insulin secretion on a second-by-second basis to the metabolic needs of the individual (for a recent review refer to Rorsman and Renstrom, 2003). This is combined with regulated secretory pathways that allow for almost instantaneous secretion of exactly the desired amount of stored insulin, independent of the rate of synthesis, followed by the replenishment of insulin stores (see Fig. 1.10). A healthy adult has approximately 5 mM glucose in their blood (equivalent to ~ 0.9 mg/ml) (Westwood, 1999). The β-cell is able to monitor circulating glucose concentrations in the physiologically relevant range (4–10 mmol/l) and pathophysiological range (10-20mmol/l) because it expresses the combination of glucose transporters (whether GLUT2 or another) and glucokinase (Newgard and McGarry; 1995), with a carefully constructed balance of metabolic enzymes geared up for generating metabolic secondary signals to regulate its function. Insulin secretion may be divided into two phases, early stage secretion, involving release of these stored granules as a response to the consumption of simple sugars; and late stage secretion involving the release of newly synthesised insulin as a consequence of extended glucose uptake from the digestion of complex sugars (Rorsman and Renstrom, 2003). The regulated release of insulin from pancreatic β-cells is pivotal for the maintenance of serum glucose concentrations within the physiological range.
Glucose itself is the major physiological stimulus for insulin secretion, but a number of hormones and neurotransmitters can also act on β-cells to modulate the secretory process (Ahren, 1999). There is the so-called incretin effect, which is a communication between the gut and endocrine pancreas that induces nutrient-regulated insulin production and secretion. Incretin refers to the peptide hormones: glucose-dependent insulinitropic polypeptide (GIP; also known as gastric inhibitory polypeptide) and especially glucagon-like peptide 1 (GLP-1) (Fehmann et al., 1999). GLP-1 receptors are predominately found on β-cells (and some hypothalamic neurons) leading to the specific glucose-regulated GLP-1-mediated regulation of insulin secretion, proinsulin biosynthesis, and β-cell proliferation (Drucker, 2001). Insulin release may also be potentiated by neurotransmitters such as acetylcholine
Figure 1.10 insulin secretion
and pituitary adenylate cyclase activating polypeptide (PACAP) (Ahren, 2000), while conversely other neurotransmitters such as somatostatin and noradrenaline are capable of inhibiting insulin release (Ahren, 2000; Sharp, 1996).
Rises in blood glucose concentration affect the action of the GLUT-2 passive glucose transporter (Ohneda et al., 1993) found primarily on the gap-junction microvilli adjacent to other endocrine cells (Orci, et al., 1989). Once inside the β-cell, glucose is phosphorylated by glucokinase to glucose-6-phosphate, which is processed to pyruvate by glycolysis, and subsequently subjected to the Krebs cycle and oxidative phosphorylation, producing ATP. This rise in intracellular ATP causes the β-cell’s ATP-sensitive potassium channels (K\textsubscript{ATP} channels) to close (Rajan et al., 1990), an event which may be mediated in part by Crk-associated substrate (Cas), which is tyrosine phosphorylated and associates with Crk as part of the β-cell’s response to rising glucose (Lee et al., 2004; Konrad et al., 2003; Konrad et al., 1996). The closure of these channels results in depolarization of the membrane to below the threshold value of -40 mV, which in turn leads to Ca\textsuperscript{2+} influx via voltage-dependent Ca\textsuperscript{2+} channels thus repolarising the cell (Szollosi et al., 2007; Henquin and Meissner, 1984). Interestingly, mutations in the gene for the K\textsubscript{ATP}-channel in humans was found to lead to uncontrolled insulin secretion and disease states known collectively as PHHI (persistent hyperinsulinemic hypoglycemia of infancy) (Aguilar-Bryan et al., 2001).
A characteristic of primary islet β-cell metabolism, but not other mammalian cell types, is very low lactate dehydrogenase and plasma membrane mono-carboxylate pyruvate/lactate transporter activities (Ishihara et al., 1999), making lactate output in primary β-cells almost undetectable. Consequently, there is a marked increase in mitochondrial metabolic shuttle activities (e.g., the glycerol-3-phosphate shuttle) to reoxidize cytosolic NADH back to NAD\textsuperscript{+}, a requirement for glycolysis normally provided by lactate dehydrogenase in most eukaryotic cells. In addition, the islet β-cell has several-fold-increased pyruvate carboxylase activity to efficiently direct pyruvate toward mitochondrial tricarboxylic acid cycle and oxidative phosphorylation metabolism for efficient ATP production (Schuit et al., 1997). Changes in intracellular ATP production, in turn contributes as the key metabolic stimulus-coupling factor in the β-cell to control insulin release (Deeney et al., 2000).
It is not fully understood how the rise in cytosolic Ca$^{2+}$ leads to insulin release, and there is some debate as to whether depolarisation is fully necessary for this process (Gembal et al., 1992). This debate is complicated by the fact that in culture different $\beta$ cells may vary considerably in their response to glucose, while in the pancreas their insulin release threshold is much more uniform (Zhang et al., 2003; Misler et al., 1992; Rorsman and Trube, 1986; Atwater, et al., 1983). This is believed to be due to synchronisation of electrical activity across the gap junctions (De Vries and Sherman, 2000; Kinard et al., 1999; Sherman et al., 1988). Therefore, intra-islet interactions that result from homotypic $\beta$-cell-to-$\beta$-cell contact and communication may be necessary for the pulsatile secretion of insulin in response to synchronised increases in cytosolic Ca$^{2+}$. Several theories have been proposed to explain the cooperative insulin release of neighbouring $\beta$-cells in response to these intercellular Ca$^{2+}$ waves, which include: i) direct communication via gap junctions (Moreno et al., 2005; Rogers et al., 2007); ii) the presence of other endocrine cells (Ishihara et al., 2003; Pipeleers et al., 1992); as well as the existence of extracellular diffusible secretory products (Squires et al., 2002; Hellman et al., 2004).
Cells communicate locally via gap junctions that physically connect adjacent cells and permit the free flow of ions and small molecules (Hills et al. 2006), or through the release of local paracrine messengers (Squires et al. 2002). The biosynthetic and secretory function of the islet depends largely on the architecture of the islet, itself dictated by specialised cell adhesion molecules such as the cell surface adhesion protein epithelial (E)-cadherin (ECAD) and $\beta$-catenin (D'Souza-Schorey 2005). The co-localisation of adherens junction proteins to secretory granules (Hodgkin et al., 2008) suggests that the adherens junction may play a novel role in $\beta$-cell function, both in terms of $\beta$-cell proliferation (Carvell et al. 2007) and insulin secretion (Hodgkin et al., 2008, Rogers et al. 2007). Neutralising ECAD-mediated cell adhesion decreases glucose-evoked synchronicity in Ca$^{2+}$ signals between adjacent cells within islets (Rogers et al. 2007). Evidence from human epidermal keratinocytes revealed that inactivation of the extracellular Ca$^{2+}$ sensing receptor (CaR) suppressed the assembly of the ECAD–catenin–phosphotidylinositol 3–kinase (PI3K) complex (Tu et al. 2008), suggesting that CaR could also influence the
synchronicity of Ca$^{2+}$ activity between $\beta$-cells within the islet and thus insulin secretion (Hodgkin et al., 2008).
It has been suggested that glucose may activate two simultaneous pathways within the $\beta$-cell, each of which might have the potential to lead to insulin secretion (Henquin, 2000), though the Ca$^{2+}$-dependent mechanism appears to be by far the more powerful of the two (Sato et al., 1998). In its absence, the Ca$^{2+}$-independent mechanism requires activation of protein kinase A and protein kinase C (Komatsu et al., 1997) and shows only a poor response to glucose-dosage, but which working together with the Ca$^{2+}$-dependent mechanism produces an amplified response (Szollosi et al., 2007; Henquin, 2000).
The speed with which insulin is secreted has led to speculation that kinase and phosphatase signalling cascades, which may or may not be driven by Ca$^{2+}$, calmodulin activated kinases (Jones and Persaud, 1998) or by arachidonic acid simulated phosphatase activity, may play a role in the control of insulin secretion. As already mentioned, in Ca$^{2+}$ depleted conditions both PKA and PKC must be activated in order for the cell to produce insulin (Komatsu et al., 1997), however only PKC can be activated by arachidonic acid, and inhibition of it and a range of other arachidonic acid-related kinases have little impact on Ca$^{2+}$-stimulated insulin release. Therefore, the involvement of arachidonic acid may lie within other aspects of the secretory response (Jones and Persaud, 1993). There is also evidence suggesting that ERK 1/2 (and by extension, the MAPK kinase pathway) may be involved in rearranging the actin cytoskeleton prior to insulin secretion, a process which may also involve Rho GTPases such as CdC42 (Nevins and Thurmond, 2003). Following secretion, the cytoskeleton is transiently de-polymerised to possibly halt exocytosis of excess insulin (Thurmond et al., 2003).
Once released into circulation, insulin has a half life of 4-6 minutes (Duckworth et al., 1998) and rapidly binds to insulin receptors on a wide range of tissues (predominantly muscle, adipose and liver tissue). The insulin receptor is dimerised and as a result composed of an extracellular subunit (A) and a transmembrane subunit (B), linked by disulphide bridges (De Meyts et al., 2004). Two splice variant isoforms exist for the receptor, with or without exon 11 (a 12 amino-acid C-terminal
addition to the A subunit which doubles the affinity for insulin), the expression ratio of which differs across the tissues in which they are expressed (Sesti, et al., 2001a). As it binds and activates its receptor, both insulin and the receptor undergo conformational changes. Insulin undergoes this conformational change by unfolding the alpha helices in the B chain (Hua et al., 1993), while the L1 beta helix of the receptor responds to this change (Huang et al., 2004). The result of which leads to the autophosphorylation of numerous tyrosines in the B domain, and the subsequent phosphorylation of insulin receptor substrates (IR$_{S1}$ - IR$_{S4}$), which are then recognised by phosphoinositide 3-kinase (PI3K) via its SH2 domain, setting off a kinase signalling cascade involving recruitment of PKB and ultimately inducing production of glycogen synthase and the translocation of the glucose transporter, GLUT-4 to the plasma membrane for active transport of glucose into the cell (Lizcano and Alessi 2002; Saltiel and Kahn 2001). The insulin receptor meanwhile, is internalised and the hormone degraded by insulin-degrading enzyme (IDE) (Bevan 2001). The role of insulin is not limited to glucose uptake since it also stimulates amino acid and fatty acid uptake, and the synthesis of proteins and lipids; while also inhibiting lipid metabolism and the production of glucose from glycogen (Saltiel and Kahn, 2001).
### 1.4.3. Diabetes Mellitus
Diabetes mellitus translates to “honey-sweetened urine in excess,” and develops as a result of a failure of the body to effectively utilize or control blood glucose levels. It has been estimated by the International Diabetes Federation (IDF) in 2010 that more than 284 million children and adults suffer from all types of diabetes worldwide making it a crucial health issue in terms of disease incidence, morbidity, mortality, and financial impact research; with type I diabetes resulting in an estimated lifetime cost of $500,000 per patient spent on the management and treatment of diabetes-related complications (http://www.idf.org).
Type 1 diabetes, formerly referred to as juvenile-onset diabetes or insulin-dependent diabetes mellitus (IDDM) occurs as a result of the autoimmune destruction of pancreatic β-cells, the body’s only natural source of the polypeptide hormone insulin. When insulin production falls too low, ensuing hyperglycaemia induces an osmotic
diuresis with glucosuria, and concomitant tissue starvation which stimulates an inappropriate metabolic response, leading to severe dehydration and electrolyte depletion, metabolic acidosis, and eventually coma and death. While it is believed to be influenced by genetic factors, the root of this disorder is unknown (Westwood, 1999). There are numerous autoantigens recognised, varying from patient to patient (e.g.: insulin; glutamic acid hydrolase; ICA512; P69; heat shock protein 65; carboxipeptidase H; zinc transporter 8 and Slc30A8) (Auchenbach *et al.*, 2009; Nepon, 1995; Christie *et al.*, 1994; Aguilar-Diosdado *et al.*, 1994; Pietropaulo *et al.*, 1993), however few are unique to β-cells (Cohen, 2004). Type I diabetes usually develops during childhood, frequently leading to serious late-onset complications in early adulthood. In time, chronic hyperglycaemia leads to high levels of advanced glycation end-products (AGEs), which are believed to contribute to a pathogenesis manifested as diabetic nephropathy (the leading cause of renal failure), diabetic retinopathy (the leading cause of adult blindness), peripheral neuropathy, diabetic ulcers (the main disease-related cause of amputations) and cardiovascular disease (MacDonald and Rorsman, 2007). Multiple, daily, subcutaneous insulin injections coupled with frequent blood glucose monitoring to prevent insulin-induced hypoglycaemia, ameliorate the acute symptoms of type I diabetes but cannot maintain constant normoglycaemia.
Alternative causes to autoimmunity in type 1 diabetes include mutations in insulin itself, its receptor, or defects in the β-cell or effector cell pathways. For example, a number of single amino acid polymorphisms of insulin have been documented (Yano *et al.*, 1992; Barbetti *et al.*, 1990; Chan, *et al.*, 1987; Sakura *et al.*, 1986; Haneda *et al.*, 1983, Shoelson *et al.*, 1983), the majority of which have significant consequences, appearing to either result in conformational changes preventing insulin binding to receptors, or impair proinsulin production or cleavage within the β-cell. In the case of the latter, mutations which affect processing within the golgi network and beyond result in secretion of complete or partially-cleaved proinsulin into the serum, while mutations which prevent intracellular transport of proinsulin into or from the ER cause a buildup within the β-cell which may lead to apoptosis (Glaser, 2008).
Type 2 diabetes, also known as non-insulin-dependent diabetes mellitus (NIDDM) despite the fact that many of these patients eventually require insulin treatment, is the other major diabetic subtype. Type 2 diabetes typically presents in adult patients, but is being recognized with increasing frequency in the obese pediatric population (Kahn, 1998). It is a much more prevalent disorder than type 1, affecting approximately 90% of the diabetic population in the developed world (Inzucchi and Sherwin, 2005). Type 2 diabetes rarely causes the acute life-threatening complications of type I diabetes, but shares all of the long-term complications associated with chronic hyperglycaemia and AGEs. Unlike type 1 diabetes, patients with type 2 diabetes rarely lose their β-cells at the same rate, and the pancreas frequently continues to produce insulin, at least during the earlier stages of the disease. Patients with type 2 diabetes become insulin-resistant, with muscle and adipose tissue failing to take up glucose from the blood (Westwood, 1999), while glucose production in the liver continues unimpeded, leading to hyperglycaemia and hyperinsulinaemia, which in turn generates a proatherosclerotic and pro-ischaemic environment (see Fig 1.11). Similar to type 1 diabetes, type 2 is likely to be polygenic in origin, though unlike type 1 which may set in rapidly, insulin resistance in type 2 may build up over many years (Campbell and White, 2003), and is followed by impaired insulin secretion. The slow progression of the condition can mean that initial symptoms may present themselves a decade or more before diagnosis (Harris et al., 1992), leaving a significant window for patients to be at risk of the cardiovascular and other complaints which are associated with the condition. While obesity, poor diet and lack of exercise are the most widely publicised risk factors for type 2 diabetes, the specific aspects which lead to insulin resistance and the mechanisms by which they do so are yet to be fully elucidated. This form of diabetes is complex with an unclear pathogenesis, and although traditionally thought of as a disorder of end-organ resistance to insulin, it has become clear that sustained hyperglycaemia does not occur without the added effects of defective insulin secretion and β-cell dysfunction (Kahn, 1998). Management of the disease usually involves dietary changes, weight reduction and exercise regimens, but may also include insulin injections, or drugs which reduce hepatic glucose production, stimulate insulin secretion or potentiate its effects (Longmore et al., 2004).
Figure 1.11
In type 2 diabetes, the impairment of insulin secretion following insulin resistance is firstly observed in early phase insulin secretion, but over the course of the disease also comes to affect late stage insulin secretion (Burant, 1998). As with insulin resistance, how and why this occurs is not fully understood, but it is believed that chronic hyperglycaemia (glucose toxicity) and the production of an oxidising environment may over-stress the $\beta$-cell, leading to breakdown of insulin secretion (Giaccari et al., 2009; Leahy, 1996; Rosetti et al., 1990). Additionally, these features appear to intensify insulin resistance, furthering the course of the disease (Giaccari et al., 2009; Skyler, 1997; Garvey et al., 1985). At the protein-level, downregulation of GLUT-2 is recorded in diabetic animal models (Ohneda et al., 1993), while with regard to the insulin receptor, shifts in alternative splicing to favour isoform A have been linked with insulin resistance (Savkur and Cooper, 2001; Sesti et al., 2001a). Dimerisation of the insulin receptor with type-1 IGF receptors is also recorded, (De Metys et al., 2004) with the heterodimer losing affinity for insulin in the process. Downstream of the receptor, reductions in IRS-1 expression have also been reported in obesity-linked insulin-resistance and type 2 diabetes (Sesti et al., 2001b).
Pancreatic $\beta$-cell function can be modulated both long- and short-term by exercise and body weight. A single bout of aerobic exercise usually results acutely in enhanced glucose utilization by insulin-sensitive tissues, which must be balanced by a rapid change in insulin secretion if hypoglycaemia is to be avoided. With regular exercise, an enhancement of insulin sensitivity and an associated reciprocal change in insulin secretion usually occurs. On the other hand, increases in body weight or redistribution of body fat compartments to a more central location require increases in insulin output if glucose tolerance is to remain unchanged. This enhancement of insulin release must occur in response to the reduction in insulin sensitivity that is typically associated with increases in adiposity. In insulin-resistant states such as obesity, an adaptive response requiring elevations in $\beta$-cell mass is usually seen, where increases in both the size of the individual $\beta$-cell and $\beta$-cell mass through numbers helps to lessen the individual $\beta$-cell secretory burden (Finegood et al., 2001). Furthermore, for reasons that are still not well understood, healthy ageing is associated with a progressive reduction in glucose tolerance where increases in glucose levels appears to be a compensatory response to a yet unidentified physiological need of the ageing process and is achieved by a reduction in insulin
release, despite the fact that insulin resistance also accompanies this process (Kahn *et al.*, 1998).
Maturity-onset diabetes of the young (MODY) is a clinically heterogeneous group of disorders that account for 2% - 5% of type 2 diabetes. MODY is characterised by nonketotic diabetes mellitus, and autosomal dominant mode of inheritance, an onset usually before 25 years of age, and a primary defect of pancreatic β-cell function (Fajans *et al.*, 2001). MODY can result from mutations in any of at least six different genes that encode the glycolytic enzyme glucokinase (MODY2) and five transcription factors: hepatocyte nuclear factor (HNF)-4α (MODY1), HNF-1α (MODY3), insulin promoter factor-1 (IPF-1), HNF-1β, and neurogenic differentiation 1 (NeuroD1); with mutations in the HNF-1α gene being the common cause of MODY in most populations (Fajans *et al.*, 2001).
### 1.4.4. Current Diabetes Therapies
Following on from Banting and Best’s discovery of insulin as an applicable hormone therapy for over 80 years, type 1 diabetes has changed from being a fatal disease to a chronic illness that nonetheless requires concerted efforts towards possible curative strategies. While type 1 diabetics are completely insulin dependent, insulin treatment for type 2 is not always pursued. Insulin therapy has many drawbacks that affect the diabetic patient’s quality of life, and it is well known that even aggressive insulin therapy will never re-create the real-time variation of blood glucose. The goal of strict metabolic control continues to be a challenge for most individuals, and the availability of a number of new insulin analogues altered by residue substitutions is becoming slightly more feasible (Philips and Scheen, 2006; Chaterjee *et al.*, 2006; Chapman *et al.*, 2002; Gerich, 2002; Campbell *et al.*, 2001). Use of these insulin analogues are not without consequence however, since a significant number of diabetics are unable to use synthetic human or human analogue insulins due to intolerance or hypoglycaemic attacks (Hunter, 2002). Furthermore, in some studies insulin treatments have been claimed to increase the risk of malignancy in diabetics, and recently fears have been raised regarding a higher incidence of malignancies in insulin glargine-treated patients than those taking unmodified insulin (Hemkens *et*
possibly as a result of its longer pharmacokinetics (Stammberger et al., 2002).
As a result, β-cell replacement is assumed to be the only treatment for type 1 diabetes that re-establishes and maintains long-term glucose homeostasis with near-perfect feedback controls (Ryan, 1998). The endocrine portion of the pancreas (see Fig. 1.12), which includes the insulin-producing β-cells are confined to the islets of Langerhans, which represent approximately 2% of the total pancreatic mass (the majority consisting of exocrine tissue) (Street et al., 2004). Since the exocrine pancreas is unaffected in diabetes, transplantation of purified islets has long been thought to be a preferable alternative to whole or segmental organ replacement. However, poor outcome of the numerous attempts to transplant human islets during the past quarter of a century is interpreted to be caused by a host of factors; the main one being allorejection. Immunosuppression that prevents allorejection of kidney, heart, or liver seems to fail with human islets (Halban et al., 2004). The complexity of dealing with three different immune attacks, i.e. acute rejection, chronic rejection, and recurrence of autoimmunity from the type 1 diabetes disease state, has drastically hampered clinical islet transplantation. In some cases, failed islet transplants have been reported to be associated with reappearance of GAD65 autoantibodies, a major serological marker for type 1 diabetes (Keymeulen et al., 1998). Scientists are working on ways to fend off the immune system from re-attacking β-cells, and the main approach at the moment is developing encapsulated islets, however this method still falls short of the stringent requirements of clinical application. Furthermore, the use of immunosuppressive therapy in the context of islet transplantation has been associated with the development of malignancy (Gruessner et al., 1997). Thus, future approaches needed to include immunosuppressive agents that do not adversely affect the intended long-term survival of the diabetic patient.
Islet isolation and transplantation was pioneered by Paul Lacy from the 1960s (Ballinger and Lacy, 1972). The demonstration by the Edmonton group that islet cell transplantation can work was a watershed event in the field (Shapiro et al., 2000). It built upon years of effort by others in the area of islet isolation (Ricordi et al., 1989b; Scharp et al., 1990; Lakey et al., 1999) as well as advances in immunology that led to the development of new, more effective and less toxic immunosuppressive drugs.
Figure 1.12
The Edmonton protocol (Shapiro *et al.*, 2000) avoids the use of glucocorticoids, which were the mainstay of regimens used for suppressing the rejection process despite producing insulin resistance *de novo* and at the same time decreasing islet endocrine function. According to the Edmonton protocol (Shapiro *et al.*, 2000), isolated human islet transplants can be performed much less invasively with minor, outpatient “surgery” consisting of a transabdominal injection into the portal circulation, either directly into the hepatic portal vein or through the umbilical vein (see Fig 1.12. C). Islet transplantation involves the isolation of islets of Langerhans from the pancreas of cadaver organ donors through complex digestion and purification processes, transplanting them into the recipient’s liver. It results in near-perfect, moment-to-moment control of blood glucose, far more effectively than injected insulin (Ryan *et al.*, 2001; Shapiro *et al.*, 2000). However, in many patients this is not maintained in the long-term, and most patients still require some injection of insulin by one year after transplantation. The hope with islet transplantation is that with tighter glucose control, the long-term complications of diabetes could be avoided.
The Edmonton Protocol has been successfully replicated in more than 50 centers worldwide, with cumulative data from more than 500 patients, representing a significant goal as more patients with type 1 diabetes have now received islet implants in the past 9 years than in the entire former 30-year history of islet transplantation (Miszta-Lane *et al.*, 2006). A significant problem with applying the Edmonton protocol to large numbers of patients is the fact that each patient requires islets from two or more pancreases to achieve insulin independence (Shapiro *et al.*, 2000), and there remains the case of lifelong immunosuppressive therapy. The reason for inadequate sources of transplantable islets may be related to inefficiencies in islet isolation as well as loss of islets in the immediate post-transplant period (Davalli *et al.*, 1996). With tens of thousands of new type I diabetes cases per year and only a few thousand available donor organs, only 0.5% of candidates will actually be able to benefit from islet transplants (Miszta-Lane *et al.*, 2006). Therefore, what is now required is an essentially limitless supply of a physiologically competent substitute for primary human islets of Langerhans.
A number of strategies are being explored that could improve the feasibility of minimally invasive and potentially curative β-cell replacement therapies, which fall into two broad categories of research aimed at either maximizing the capacity of existing tissue resources or expanding tissue availability. The former (commonly termed β-cell replacement therapy) consists of efforts to increase graft survival and function in the post-operative phases, thus reducing the number of islets required to achieve insulin-independence, and the latter (commonly termed β-cell gene therapy) focuses on the generation of alternative sources of glucose-responsive, insulin-secreting cells suitable for human transplants (Mineo et al., 2009; Ricordi et al., 2005).
One potential source of additional pancreatic transplant material is human foetal tissue. Foetal pancreases have a much higher ratio of endocrine to exocrine tissue and are more readily available than adult cadaveric tissue. Although the foetal endocrine pancreas is under-developed, it has been shown that immature endocrine cells can mature into functional β-cells *in vivo* (Beattie et al., 1997; Desai et al., 1999). However, the use of foetal tissue remains highly controversial from an ethical standpoint. Also, animal studies have found that multiple fetal pancreata are required to reverse experimental diabetes in a single adult animal (Desai et al., 1999). Thus, tissue availability continues to be an issue. The question of animals providing a source of β-cells remains an option, however the potential risk of infection by animal endogenous viruses limits the possibility of such xenotransplantation (Halvorsen and Levine, 2001). Another option is that advances in our understanding of β-cell biology and the mechanisms that control cell growth and differentiation are leading to rapid progress in the development of human β-cell lines. As β-cell development and regeneration is increasingly understood, the prospect of regenerating a patient’s own β-cells as a form of therapy may actually become a reality. Currently, the derivation of islets from stem cells seems to be the most promising option to overcome the current problems of islet shortages and immune compatibility (Burns et al., 2004). Stem cells are known as clonogenic since they have the ability to self-renew and produce identical daughter cells; or result in multilineage differentiation by producing daughter cells that are fated to differentiate (Watt and Hogan; 2000). Both embryonic (derived from the inner cell mass of blastocysts) and adult stem cells (derived from adult tissues) have shown promising results in secreting insulin *in vitro*
and normalizing hyperglycaemia *in vivo*. Table 1.3 describes the different cell types as a potential source of β-cells.
Embryonic stem cells have the remarkable capability of differentiating into every type of cell (Hubner *et al.*, 2003), and are indeed able to differentiate into insulin-producing cells under culture conditions as well (Lumelsky *et al.*, 2001), showing the promise of reversing diabetes in animal islet transplantation studies through the continued synthesis and release of insulin *in vivo* (Hori *et al.*, 2002). However, studies using embryonic stem cells derived from humans are controversial because it requires the destruction of a human embryo and/or therapeutic cloning. Therapeutic cloning for an unlimited supply of pluripotent embryonic stem cells for transplantation involves insertion of the nucleus from a patient’s somatic cells into an enucleated human egg and allowing it to develop into a blastocyst which can be expanded *in vitro* (Burns *et al.*, 2004). Furthermore, problems surrounding the control of differentiation and tumorogenecity of embryonic stem cell-derived insulin-producing cells remain to be overcome, due to the high expression of telomerase (Sipione *et al.*, 2004; Kim *et al.*, 1994) which is responsible for the immortalization of many human embryonic cell lines. Therefore, existing embryonic stem cell lines are not believed to be identical or ideal for generating islets or β-cells and additional embryonic stem cell lines will have to be established in the future (Cowan *et al.*, 2004; Ying *et al.*, 2002).
Stem cells also exist in adult tissues, with the usual source being from mesenchymal bone marrow (Jahr and Bretzel, 2003; Ianus *et al.*, 2003; Pittenger *et al.*, 1999) liver (Zalzman *et al.*, 2003) and pancreas (Seaberg *et al.*, 2004; Zulewski *et al.*, 2001; Bonner-Weir *et al.*, 2000; Ramiya *et al.*, 2000). Neural progenitor cells isolated from the brain can also be induced to express the insulin gene (Burns *et al.*, 2003), which has the added benefit of all the elements of the glucose sensing mechanism of β-cells being present in neurons (Yang *et al.*, 1999), making them a good potential source for optimal β-cell functional development (Jones and Persaud, 1998). In humans, adult stem cells have the potential to be transdifferentiated into insulin-producing cells (Ulrich *et al.*, 2002). Adult stem cells are already to some degree specialized and have a shorter lifespan than embryonic stem cells, but they have the added potential of recipients being administered their own stem cells. They do have the
Table 1.3
disadvantages however, of not being pluripotent, being difficult to purify, and are they not maintained well outside the body showing low proliferative capability (Miszta-lane et al., 2006).
Current strategies for diabetes treatment show that it is difficult to maintain strict metabolic control using insulin regimens that incorporate either multiple daily injections or insulin pump therapy. Achieving this control would mean that exogenous insulin is provided in a manner that mimics both of the critical components of endogenous insulin release i.e. basal and stimulated secretion. Even the use of insulin pumps for the treatment of type 1 diabetes, where continuous infusion of insulin at basal levels is possible, the variability of glucose levels in patients still cannot be controlled (Halban et al., 2001). The advantage of an engineered β-cell that is capable of releasing insulin in a pulsatile fashion in comparison to the continuous nonpulsatile administration of exogenous insulin, is that administration of excessive insulin not only carries the risk of hypoglycaemia but at the same time results in the downregulation of the insulin receptor, and thus the development of insulin resistance with impaired insulin responsiveness in many tissues (Ward et al., 1990).
If genetically engineered insulin-producing cells are to be contenders in the world of diabetes therapy, they need not only deliver basal insulin, but also release insulin on demand, thus bringing glucose levels in line with those seen in healthy subjects (Jones and Persaud; 1998). Regarding basal insulin levels, it would be essential that this component of insulin release be able to vary, as normal life events, such as exercise, infection, and weight gain, all require potentially rapid changes in insulin output. A failure to do so could result in hypoglycemia or hyperglycaemia, something that is not uncommon in the lives of current insulin users, however possible repeated recurrences as a result of gene or cell therapy should ideally be overcome. Regarding physiologically appropriate stimulated insulin secretion as a result of gene or cell therapy, it would be imperative that these cells release insulin in response to nutrient intake, i.e. not only to glucose but also to the building blocks of fats and proteins (Ward et al., 1984). Additionally, insulin response to oral ingestion as a result of contributions from the gastrointestinal tract in the form of incretins (Nauck, 1999), including GLP-1 and GIP will be necessary. Furthermore, in order to
ensure the best potential starting material for continued characterization it may be necessary to apply differentiation protocols to the numerous embryonic stem cell lines together with the development of centralised ‘stem cell banks’ to characterise, store and distribute these cells worldwide (Burns et al., 2004). The utilization of stem cells in the form of β-cell replacement and gene therapy for the generation of insulin-producing β-cells *in vitro* is still in its infancy, but advances in this field of research may very well lead to the complete and curable treatment of diabetes, which may well be within worldwide reach in the very near future.
### 1.4.5. Transglutaminase 2 in Diabetes
The TG2 enzyme has been implicated in various intracellular and extracellular biological processes, however its involvement in the regulation of Ca$^{2+}$-dependent glucose-stimulated insulin release from pancreatic β-cells (Bernassola et al., 2002; Driscoll et al., 1997; Bungay et al., 1986; Sener et al., 1985; Gomis et al., 1984) and in insulin receptor aggregation, internalisation and intracellular processing by cross-linking receptors in the area of clathrin-coated pits together with receptor-mediated endocytosis (Bernassola et al, 2002; Davies et al., 1980; Haigler et al., 1980; Baldwin et al., 1980) is an intriguing function when viewed in the context of diabetes.
Supporting this association, impaired TG2 function was first observed in lymphocytes from type 2 diabetic patients (Berntorp et al., 1987). Subsequent studies revealed that targeted disruption of the TG2 gene in mice (TG2$^{-/-}$) was not related to gross defects in multiple tissues (De Laurenzi and Melino, 2001; Nanda et al, 2001), but was found to exert a more selective effect which lead to a gradual decline in glucose homeostasis culminating in the development of a type 2 diabetes phenotype (Porzio et al., 2007; Bernassola et al., 2002). These authors showed that TG2$^{-/-}$ mice exhibited glucose intolerance after intraperitoneal glucose loading, and manifested a tendency to develop hypoglycaemia after administration of exogenous insulin as a consequence of enhanced insulin receptor substrate 2 (IRS-2) phosphorylation (Bernassola et al., 2002). These findings were associated with a reduction in circulating insulin levels consistent with either a reduction in β-cell mass or alterations in stimulus secretion coupling at the level of the TG2$^{-/-}$ mouse β-cell.
Furthermore, it was shown that mutations in the active site of TG2 have been found in several patients exhibiting a familial form of impaired glucose tolerance known as maturity-onset diabetes of the young (MODY), with these mutations co-segregating along with the condition, and the TG2\(^{-/-}\) mice phenotype resembling that of MODY patients (Porzio et al., 2007; Bernassola et al., 2002). During screening for the human TG2 gene in Italian subjects diagnosed with the clinical features of MODY, missense mutations (N333S) in the active site of the enzyme were found (Bernassola et al., 2002). In addition to this mutation, two more novel heterozygous mutations (M330R and I331N) in the TG2 gene were consequently detected in a larger screening set of patients with MODY or early-onset type 2 diabetes, where all mutations were found in residues located close to the catalytic site of the enzyme and impaired transamidating activity when assessed \textit{in vitro} in transient transfection studies (Porzio et al., 2007) These findings show a possible significance when considered within the context of a range of studies implicating an unidentified susceptibility gene for Type 2 diabetes, which has been mapped to chromosome 20 (20q 12-q 13.1); the region that encompasses the TG2 gene (Permutt et al., 2002; Mori et al., 2002; Fossey et al., 2001). This suggests that the unidentified gene may play a critical role in the maintenance of \(\beta\)-cell function, and it is tempting to speculate that TG2 could represent this elusive diabetes susceptibility gene.
The association of another TG family member was also studied in type 2 diabetes, where the thrombin-induced cleavage of fXIII activation peptide was inhibited, and fibrin clots reduced in the presence of metformin (Standeven et al., 2002). Strikingly, type-I diabetics display an increased risk of developing coeliac disease, and vice versa (Franzeze et al., 2007), reinforcing the potential link between diabetes and TG. This suggests either involvement of the gut in the pathogenesis of type-I diabetes or that TG is a secondary autoantigen resulting from \(\beta\)-cell destruction.
### 1.4.6. Transglutaminase in Pancreatic Islets
The enzymatic activity of TG, which catalyses the cross-linking of proteins, has been the focus of much attention within pancreatic islets of Langerhans to date. Following the discovery of TG as a Ca\(^{2+}\)-responsive enzyme (Clarke et al., 1959; Lorand and
Conrad, 1984) it was proposed that TG may be a target for the increase in the cytosolic concentration of Ca$^{2+}$, which has since been established as the primary mediator of stimulus secretion coupling during glucose-stimulated insulin release in pancreatic $\beta$-cells (Wollheim and Sharp, 1981).
The very first piece of evidence that supported the presence of TG activity in pancreatic islets was documented in 1982 by Bungay et al., and later confirmed by Gomis et al., (1983). In the original published works Gomis et al., (1983) showed that a range of primary amines could be incorporated into N’N-dimethylcasein substrate using the TG present from rat islets in a variation of the standard *in vitro* assay devised by Lorand et al. (1972). This was followed by Bungay et al. (1984a) who reported that rat islets contained a TG activity that was both Ca$^{2+}$-dependent and thiol-dependent, the latter being demonstrated by a requirement of dithiothreitol (a thiol reducing agent) for optimal enzyme activity. These findings set the foundation for subsequent investigations using the rat islet as a $\beta$-cell model, where competitive concentrations of primary amines were added to the physiological medium bathing the islets, with the result of optimal glucose-stimulated (16.8mM) insulin release being inhibited (Bungay et al., 1984b). Several reports have shown that incubating islets with various other competitive substrate inhibitors of TG activity similarly leads to the inhibition of glucose-stimulated insulin release (Sener et al., 1985, Bungay et al., 1986), and that in turn TG activity seems to increase in homogenates of glucose-stimulated islets (Gomis et al., 1986a; 1989). These proposals however, remain to be fully clarified on many levels.
Past attempts to identify TG substrates in homogenised pancreatic islets have suggested that the major substrate is a high molecular weight polymer which is unable to traverse a 3 % (w/v) polyacrylamide gel (Bungay et al., 1986; Gomis et al., 1989). Furthermore, Owen et al. (1988) reported the formation of a high molecular weight phosphoprotein polymer during glucose stimulation in islets that was shown to be reduced in expression by competitive TG inhibitors. While all these initial reports may be showing evidence of the same TG substrate, contention over these studies remains because the authors have shown slightly different subcellular distribution of TG in their respective studies. The function of the TG-cross-linked high molecular
weight polymeric aggregates described above is still unresolved, but is thought to be important in the stabilisation of the rat islet $\beta$-cell membrane during membrane recycling and following the membrane-associated events of insulin secretion. In further support of this, it was also proposed (Sener et al., 1985) that TG may participate in the machinery controlling the access of secretory granules to the exocytotic sites in pancreatic islet $\beta$-cells during insulin release.
### 1.4.7. The Inhibition of Transglutaminase Activity in Pancreatic Islets
Although several competitive inhibitors of TG activity including alkylamines, monodansylcadaverine, $N$-$p$-tosylglycine, bacitracin, glycine alkylesters and hypoglycaemic sulphonylureas have all been investigated for their effect upon islet function, the results of these studies have failed to provide conclusive evidence that would fully explain the role of TG in the process of insulin release (see Table 1.4). In the case of the alkylamines, this has been due largely to the lack of specificity of these TG inhibitors. Methylamines were seen to have caused lysomotropic effects i.e. the intracellular accumulation of ligand-receptor complexes due to the loss of normal modes of ligand-induced receptor processing (Gomis et al., 1984), since they rapidly accumulated in the islet cells (Gomis et al., 1983), and could be accounted for by the sequestration of the compound within the insulin secretory granules (Hutton et al., 1982) which could in turn account for the delayed conversion of pro-insulin and the resulting altered release of insulin. In the absence of glucose as a primary nutrient secretagogue, non-nutrient secretagogues such as gliclazide showed significant inhibition of insulin release as a result of TG inhibition induced by methylamine (Gomis et al., 1983). These authors also showed that the presence of methylamine decreased the insulin release provoked by high glucose concentrations in combination with theophylline and cytochalasin B, which suggested that the presence of methylamine interfered with a distal event in the insulin secretory process. Since the treatment of islets with cytochalasin B facilitates insulin release by causing the contraction of the microfilamentous cell web (Somers et al., 1979; Malaisse and Orci, 1979), which normally controls the access of secretory granules to the exocytotic site, it was concluded that TG may play a critical role in the mechanical events involved in the translocation of secretory granules to their exocytotic site and
Table 1.4.
the fusion of membranes at such a site. A role for TG in membrane fusion was also compatible with the finding that there was delayed pro-insulin conversion in methylamine treated islets (Gomis et al., 1986b). The fact that trimethylamine did not affect TG activity but inhibited insulin release (Gomis et al., 1983) also suggested that great caution is required in the consideration of possible cause-to-effect links between inhibited TG activity and altered insulin release (Lebrun et al., 1984).
Furthermore, poor penetration into the islet cells as well as undesirable damaging effects was seen with monodansylcadaverine and $N$-$p$-tosylglycine (Gomis et al., 1983). The inhibitor bacitracin was also shown to cause interference with the immunoassay of secreted insulin, since the compound itself was able to bind insulin (Gomis et al., 1983). Hypoglycaemic sulphonylureas were reported by Davies et al., (1980) to inhibit TG activity. However these studies were hampered by their dramatic effects upon the cationic fluxes in the islet cell, and it has since been established that the insulinotropic (stimulating or affecting the production and activity of insulin) action of these inhibitors is attributed to the stimulation of $\text{Ca}^{2+}$ entry into the islet cells (Malaisse et al., 1983).
Gomis et al, (1984b) further investigated the effects of the hypoglycaemic sulphonylureas; tolbutamide, gliclazide, glisoxepide, glipizide, glibenclamide and diazoxide under conditions where the cationic response to these compounds was suppressed by quinine. They found that while these compounds bind to the plasma membrane and do not penetrate into the islet cells (Kaubisch et al., 1982), both TG activity and insulin secretion were inhibited as described previously with these antidiabetic agents (Nowak et al., 1983), suggesting the extracellular role of TG. In addition, investigations carried out by Sener et al. (1985), showed that the TG inhibitor glycine methylester failed to affect D-glucose oxidation, supporting the view that TG participates in a late event in the insulin secretory sequence in pancreatic $\beta$-cells. Besides the rapid inhibition of insulin release by glycine methylesters, the process was also reported to be rapidly reversible with a rebound in the secretory insulin rate being observed when the administration of glycine methylester was halted (Sener et al., 1985). This phenomenon suggests that the
cross-linking of proteins and the reversal of the insulin secretory rate proceed in a dynamic equilibrium in islet cells stimulated for insulin release. It has been proposed that cross-linking of proteins by TG may play a role in the mechanical events involving the $\beta$-cell cytoskeleton and leads to the translocation and exocytosis of insulin secretory granules at the cell membrane (Bungay et al., 1986). It was further documented in subcellular fractionation studies that, in addition to its postulated role in the control of intracellular motile events, TG also participates in surface protein interactions at the site of cell-to-cell contact (Gomis et al., 1989).
While the results using glycine methylester described so far indicate a possible role of TG in insulin release, the translocation of secretory granules to the exocytotic site does not represent the sole functional process dependent on the integrity of motile events in the islet cells. The conversion of proinsulin to insulin also depends on the oriented translocation of microvesicles from the rough endoplasmic reticulum to the Golgi complex. With this in mind, glycine methylester was found to slow down the rate of conversion of proinsulin to insulin and thereby increase the half-life time of the conversion process (Gomis et al., 1986b). TG activity in intact islets could also be increased as a result of a rise in cytosolic Ca$^{2+}$ activity (Gomis et al., 1986a), while the mechanism of glucose within $\beta$-cells may also increase TG enzymatic activity as a result of de novo synthesis of the enzyme or alternatively the induction of a more reduced state, with subsequent changes in the thiol-disulphide balance (Gomis et al., 1986a). In support of the latter hypothesis by these authors, TG is known to operate by a cysteine thiol active centre mechanism so that the disulphide exchange reaction may cause reversible inactivation of the enzyme (Lorand and Conrad, 1984) and glucose is known to increase the content of sulphydryl groups within islets (Malaisse et al., 1985). However, these findings still do not rule out the participation of regulatory factors other than Ca$^{2+}$ and redox state in the overall control of TG activity within islet cells.
1.5. Hypothesis and Aims
The principal aim of this investigation will be to characterise the expression and activity of TG2 in pancreatic β-cells, with a focus on possible roles for this enzyme in insulin secretion function and β-cell survival under diabetic investigative strategies. The experimental design incorporating pancreatic β-cells will centre on the primary biochemical roles attributed to TG2 as a:
i) Ca$^{2+}$-dependent transamidating enzyme that catalyses irreversible ε-(γ-glutamyl)-lysine isopeptide cross-links between proteins in concert with cellular post-translational modification;
ii) GTP-binding protein, where its Ca$^{2+}$ activation can be counteracted by hetero-allosteric inhibition by GTP and GDP at low Ca$^{2+}$ concentrations;
iii) cell-surface or extracellular matrix-associated protein which catalytically affects matrix protein accumulation, or acts in a non-enzymatic capacity as an adhesion co-receptor initiating cell signalling.
The initial studies in this thesis will therefore aim to test the hypothesis that TG2 catalytic cross-linking activity plays a crucial role in pancreatic β-cell function and survival, by using a rat pancreatic insulinoma clonal β-cell line (BRIN-BD11). The investigation will then proceed to develop a TG expression profile in clonal β-cells and islets of Langerhans across human and rodent species. The ultimate aim will be to test the maintenance of these β-cells on an extracellular support matrix currently used in a curative diabetic strategy towards intra-hepatic islet transplantation.
A surprising feature of motion is that the most natural state for an object is movement at constant speed - not, as most of us think, being stationary. A body in motion will continue to move forever unless there is a force that stops it. This was a revolutionary idea first proposed by Galileo in the early seventeenth century and was quite different from Aristotle’s more common-sense view, from the fourth century BC, that the motion of an object required the continuous action of a force.
Galileo’s argument is as follows. Imagine a perfectly flat plane and a perfectly round ball. If the plane is slightly inclined the ball will roll down it and go on and on and on. But a ball going up a slope with a slight incline will have its velocity retarded. From this it follows that motion along a horizontal plane is perpetual, ‘for if the velocity be uniform, it cannot be diminished or slackened, much less destroyed.’ So, on a flat slope, with no resistance, an initial impetus will keep the ball moving forever, even though there is no force. Thus, the natural state of a physical object is motion along a straight line at constant speed, and this has come to be known as Newton’s first law of motion. That a real ball will in fact stop is due to the opposing force provided by friction between a real ball and a real plane.
The enormous conceptual change that the thinking of Galileo required shows that science is not just about accounting for the ‘unfamiliar’ in terms of the familiar. Quite contrary: science often explains the familiar in terms of the unfamiliar.
Wolpert, Lewis (1929- ), Developmental biologist and writer. *The Unnatural Nature of Science*, Faber and Faber, 1992. Quoted from *The Oxford Book of Modern Science Writing* by Richard Dawkins, Oxford University Press, 2008.
Chapter Two:
Thesis Rationale and Aims
2.1. Rationale and Aims
Most of the evidence for a role of TG function in pancreatic β-cells points to the involvement of a predominant TG2 enzyme operating within a Ca$^{2+}$-dependent cysteine thiol active centre mechanism, which is thought to be involved in the distal events of insulin secretion function (Driscoll et al., 1997; Bungay et al., 1986; Sener et al., 1985; Gomis et al., 1984). Recently, mutations in the active site of TG2 were found in patients with a familial form of impaired glucose tolerance; while targeted disruption of the TG2 gene in mice (TG$^{-/-}$) exhibited a diabetes type 2 phenotype (Porzio et al., 2007; Bernassola et al., 2002).
This line of investigation was pursued in the present thesis by characterising TG activity and expression using novel approaches in two β-cell models:
i. clonal pancreatic insulinoma β-cell lines (BRIN-BD11 and MIN-6);
ii. freshly isolated islets of Langerhans from the pancreases of human, rat, TG2$^{-/-}$ knockout mice lacking TG2 activity, and their TG2$^{+/+}$ wild-type counterparts (De Laurenzi et al., 2001).
The principal aims of this study were to determine:
1) What factors associated with insulin secretion function affect the regulation, inhibition, and over-expression of TG enzyme activity in pancreatic β-cells?
BRIN-BD11 pancreatic β-cells will be treated with various post-translational regulators \textit{in vitro} to study their effects on TG expression and activity, using various
substrate specific assays. Cell culture models of hyperglycaemia, oxidative stress and lipotoxicity will be used to assess the effect of diabetic cell stress on TG expression and activity. The effect of site-specific TG inhibition and targeted TG2 gene inactivation will be assessed for the role of TG activity in insulin secretion function.
2) Whether TG2 protein and mRNA expression remains conserved *in vitro* with clonal pancreatic insulinoma $\beta$-cell lines; and *ex vivo* from human, rat, and TG2$^{-/-}$ knockout mouse (De Laurenzi *et al.*, 2001) pancreatic islets.
$\beta$-cell lines and isolated islets of Langerhans across rodent and human species will be characterised for glucose-stimulated insulin antigen, TG antigen, GTP-binding potential of the $\beta$-cell TG antigen, and TG mRNA expression.
3) If the inhibition of TG2 antigen expression and catalytic activity in a support matrix changes associated extracellular matrix protein accumulation, would this modified extracellular matrix affect pancreatic $\beta$-cell maintenance and survival *in vitro*?
A human urinary bladder carcinoma cell line (5637) will be characterised as a model that is rich in TG2 expression, and will be optimised for use as a $\beta$-cell support matrix. Pre-conditioned 5637 matrices will then be prepared *in vitro*, using active-site directed TG inhibitors and TG2 gene silencing siRNA, while extracellular matrix protein levels will be assessed together with a TG2 enzyme profile. Finally, BRIN-BD11 $\beta$-cell viability, adherence, spreading, insulin content and aggregation will be assessed on these 5637 pre-conditioned matrices.
Chapter Three:
Materials and Methods
Ernst Mayr from *The Growth of Biological Thought*
“Generalisations in biology are almost invariably of a probabilistic nature. As one wit has formulated it, there is only one universal law in biology: ‘All biological laws have exceptions.’ This probabilistic conceptualisation contrasts strikingly with the view during the early part of the scientific revolution that causation in nature is regulated by laws that can be stated in mathematical terms. It has remained the dominant idea, particularly in the physical sciences, up to the present day.
With Plato it gave rise to essentialism, with Galileo to a mechanistic world picture, and with Descartes to the deductive method. All three philosophies had a fundamental impact on biology…Constancy and discontinuity are the points of special emphasis for the essentialists. Variation is attributed to the imperfect manifestation of the underlying essences…Darwin, one of the first thinkers to reject essentialism (at least in part), was not at all understood by the contemporary philosophers (all of whom were essentialists), and his concept of evolution through natural selection was therefore found unacceptable.
It was not until the nineteenth century that a new and different way of thinking about nature began to spread, so called population thinking. Population thinkers stress the uniqueness of everything in the organic world. What is important for them is the individual, not the type. There is no ‘typical’ individual, and mean values are abstractions. Much of what in the past has been designated in biology as ‘classes’ are populations consisting of unique individuals.
The statistics of the essentialist are quite different from those of the populationist…Essentialistic statistics attempts to arrive at true values in order to overcome the confusing effects of variation. Variation was nothing but ‘errors’ around the mean values…The most interesting parameters in the statistics of natural populations is the actual variation, its amount and its nature. The amount of variation is different from character to character and from species to species.”
Meyr, Ernst. (1904-2005), Evolutionary Biologist. *The Growth of Biological Thought*, Harvard University Press, 1982. Quoted from *The Oxford Book of Modern Science Writing* by Richard Dawkins, Oxford University Press, 2008.
Chapter Three:
Materials and Methods
3.1. Materials
3.1.1. General Chemicals
All water used was deionised using an El gastat System 2 water purifier (ELGA Ltd., Buckinghamshire, UK) or Milli-Q water purifier (Millipore Waters, Watford, UK). Stock solutions and chemicals were re-suspended, where necessary, to appropriate concentrations in this distilled water which was autoclaved at 121°C at 1 bar for 1 hour and then filtered through a 0.22 µm Whatman sterile filter. General chemicals and sterile cell culture products were mostly purchased from the Sigma-Aldrich Chemical Company, Poole Dorset, UK, unless otherwise stated below.
Glacial acetic acid, sulphuric acid, acrylamide, N, N'-dimethylcasein, glycine, hydrochloric acid, calcium chloride, dimethyl sulphonyde, hydrogen peroxide, sodium dodecyl sulphate, sodium acetate and sodium hydroxide were purchased from BDH (Merck), Poole, Dorset, UK. Trichloroacetic acid was obtained from Jansen Chemica, Hyde, Cheshire, UK. N, N'-Methylene bisacrylamide, rainbow molecular weight markers and Lowry protein assay kit were supplied by Bio-Rad Laboratories Ltd, Watford, Hertfordshire, UK. Marvel dried milk powder was purchased from domestic supply outlets. Biotin-cadaverine, FITC-cadaverine and CM-Dil (Cell Tracker, C7001) derivatives for long-term cellular labelling was purchased from Molecular Probes, Oregon, USA. Fluorsave fluorescent mounting reagent; control RAD peptide (GRADSP), MMP inhibitor GM6001 (Galardin; 364205) and negative control (364210) were supplied by Calbiochem, Nottingham, UK. Glucose-free RPMI 1640 cell culture medium was purchased from Cambrex Bioscience, Berkshire, UK.
Optiphase Hi-safe scintillation fluid was obtained from LKB, Milton Keynes, Bucks, UK. Vecta-Shield fluorescence mounting medium with and without propidium iodide present was purchased from Vecta Laboratories Inc., Peterborough, UK. TG2 inhibitor peptide (Boc-DON-Gln-Ile-Val-OME) was obtained from N-Zyme Biotec, Darmstadt, Germany. Purified human plasma fibronectin and laminin, dithizone stain, GTP-\(\gamma\)-S, all trans retinoic acid, FITC-labelled phalloidin, synthetic RGD specific peptides (GRGDTP and GRGDSP) and GTP-agarose was purchased from Sigma-Aldrich Chemical Company, Poole, Dorset, UK. Guinea pig liver TG2 used as standards or treatments, was purified in-house (Leblanc et al., 1999) and kindly supplied by Dr. P. Kotsakis and Dr. D.Y.S. Chau (Nottingham Trent University), or else purchased from Sigma-Aldrich Chemical Company, Poole, Dorset, UK.
### 3.1.2. Human Islets and Human Pancreas Cryosections
The use of human islets was approved by Aston University Ethical Committee (Aston University, Birmingham, UK), and obtained under the supervision of Prof. M. Griffin from the UK Tissue Bank (UKTB, The Innovation Centre, Leicester, UK). Human type-1 diabetic and control pancreas cryosections were a kind gift from Prof. N.G. Morgan (Peninsula Medical School, Plymouth, UK).
### 3.1.3. Animals
Wild type C57/BL6J strain mice, which fully express TG2, and TG2 knockout C57 mice (TG2\(^{-/-}\)) that have a deletion of most of exons 5 and 6 of the TG2 gene (containing the TG2 active site) were used in the isolation of primary islets of Langerhans. TG2\(^{-/-}\) mice were originally generated by De Laurenzi and Melino using homologous recombination techniques (De Laurenzi and Melino, 2001) and housed for this study at Nottingham Trent University after obtaining them from Prof. G. Melino (University Tor Vergata, Rome, Italy).
Male Wistar rats were obtained from Harlan (Shaw’s Farm, Blackthorn, Bicester, UK), or initially provided as a kind gift from Prof. N.G. Morgan (Peninsula Medical School, Plymouth, UK). Animals were bred at the Department of Life Sciences,
Nottingham Trent University in accordance with the UK Home Office Animals Act (1986).
3.1.4. **Mammalian Cell Lines**
The clonal pancreatic insulinoma β-cell lines: BRIN-BD11, MIN-6 and INS1E were a kind gift from Prof. N.G. Morgan (Peninsula Medical School, Plymouth, UK). The 5637 human urinary bladder carcinoma cell line and ECV-304 (human umbilical vein endothelial cells derived from T24) was purchased from the American Type Culture Collection (ATCC).
3.1.5. **Radiochemicals**
\[ [1,4-^{14}\text{C}] \text{-Putrescine} \] (50 μCi/ml) was purchased from Amersham Pharmacia Biotech, Buckinghamshire, UK. Deoxycytidine-5’-triphosphate \[ \alpha-^{32}\text{P} \] for random primed labelling of cDNA probes (specific activity of 3000 Ci/mmol) was obtained from DuPont, Stevenage, Hertfordshire, UK. \( ^{125}\text{I} \)-Insulin (5 μCi) was supplied by Linco, Biogenesis, Poole, UK.
3.1.6. **Western Blotting Reagents**
SDS-PAGE separated proteins were transferred to nitrocellulose membranes purchased from Gelman Biosciences, Northampton, UK. Blot absorbent filter paper and gel loading tips were supplied by Bio-Rad Laboratories Ltd, Watford, Hertfordshire, UK. Western blots were developed and fixed on Kodak X-OMAT film using enhanced chemiluminescence (ECL) reagents obtained from Amersham, Little Chalfont, Bucks, UK; or developed with the same ECL reagents and captured digitally on the AIDA LAS 3000 Image Reader.
3.1.7. **Immunochemicals**
CUB7402 TG2 anti-mouse monoclonal antibody (mAb) was supplied by Neomarkers, Fremont, USA. Guinea pig anti-swine insulin antibody, polyclonal anti-rabbit laminin 1 antibody, anti-rabbit IgG-FITC conjugate, anti-rabbit IgG-TRITC conjugate, anti-mouse IgG-FITC conjugate, anti-mouse IgG-TRITC conjugate and
anti-mouse IgG-HRP conjugate were purchased from DakoCytomation., Ely, Cambridgeshire, UK. Anti-rabbit IgG-HRP, polyclonal anti-rabbit fibronectin antibody, anti-rabbit total FAK antibody, anti-mouse β-tubulin antibody and polyclonal anti-mouse collagen IV antibody was purchased from Sigma, Poole Dorset, UK. Monoclonal mouse anti-fluorescein antibody was obtained from Roche Diagnostics, East Sussex, UK. Anti-rabbit cleaved caspase-3 (Asp 175) antibody was purchased from Cell Signalling Technology, UK, and anti-rabbit Tyr (p)$^{397}$-FAK antibody was obtained from Upstate Biotechnology, UK. Anti-mouse ID-10 antibody was a kind gift from Prof. M. Griffin (Aston University, Birmingham, UK). Anti-rabbit N-terminal and C-terminal TG1 and TG3 antibodies (Santa Cruz Biotechnology, USA) were kind gifts from Dr. A. Hargreaves and Dr. J. Cortez (Nottingham Trent University).
### 3.1.8. Northern Blotting Reagents
Electrophoretically separated RNA was transferred to Hybond N membranes purchased from Amersham, Buckinghamshire, UK, which also supplied the Sephadex G50 Nick columns™. ExpressHyb™ hybridisation solution was purchased from Clontech UK Ltd., Hampshire, UK. RNA molecular weight markers were purchased from Promega, Southampton, UK. Kodak AR/LS detection film was obtained from Roche Diagnostic, East Sussex, UK. 3MM paper wick was purchased from Whatman, Kent, UK.
### 3.1.9. Molecular Biology Kits and Reagents
Low melting point agarose was purchased from Bioline, London, UK. SV Total RNA isolation system, DNA and RNA standard markers, RQ1 DNase, Wizard SV Gel and PCR Clean-up system, Go Taq flexi DNA polymerase, PCR Nucleotide Mix were purchased from Promega, Southampton, UK. Trizol was purchased from Invitrogen, Paisley, UK. RNEasy Mini kit, Sensiscript Reverse Transcription kit (< 50 ng RNA) and QIAquick DNA gel extraction kit was obtained from Qiagen, West Sussex, UK. Trizol, lipofectamine 2000, custom designed stealth siRNA duplex oligoribonucleotides, and a high GC siRNA negative control, were purchased from Invitrogen, Paisley, UK. TG2 cDNA was a kind gift from Peter Davies (Houston,
USA), while TG1 and TG3 cDNA were a kind gift from Kiyotaka Hitomi (Nagoya, Japan).
3.1.10. Other Consumables
Superfrost Gold coated glass and standard (uncoated and untreated) microscope slides and coverslips were purchased from BDH, Poole, Dorset, UK. Scintillation vials were supplied by Canberra-Packard, Pangborne, UK. Tissue culture, petri dishes and flasks were purchased from Corning/Bibby-Sterilin, Stone, Staffs, UK. 0.5, 1.5- and 2-ml microcentrifuge tubes, 5 ml scintillation vial inserts, 15 and 50ml sterile centrifuge tubes, 10ml sterile pipettes, automatic pipette fillers, 1ml and 200µl pipette tips, cell scrapers, Nunc maxisorp 96-well plates, 0.22 µm filters and NUNC/Nalgene cryovials were all purchased from Starstedt Ltd., Leicester, UK. Tissue culture flasks T25, T7, T150, 10-cm and 6-cm Petri dishes, 6-, 12-, 24-, 48- and 96- well plates, improved Neubauer haemocytometer and parafilm were purchased from Scientific Laboratory Supplies, Nottingham, UK. Whatman no.1, no.42 and 3 MM chromatography/filter paper were purchased from Whatman Ltd, Maidstone, UK. Sterile 8-well glass chamber slides were purchased from Lab-Tek Brand Products, Naperville (IL), USA.
3.1.11. Equipment
Amersham UV cross-linker was supplied by Amersham, Little Chalfont, UK. Spectrophotometer Model DU-7, centrifuges Avanti J-30 I, MSE Centaur 2, GPKR and MSE Microcentaur and Optima TLX Tabletop Ultracentrifuge were supplied by Beckman Instrument (UK) Ltd, High Wycombe, UK. Atto-minigel protein electrophoresis system was supplied by B & L Systems, Marseen, Netherlands. Mini-protean electrophoresis system, DNA-Sub electrophoresis system, Protean II Cell System, Protean II isoelectric focussing (IEF) system, Dodeka cooler unit and power pack were purchased from Bio-Rad Laboratories Ltd, Watford, Hertfordshire, UK. Electrophoresis power supply and LKB Multiphor II semi-dry blotter were obtained from Pharmacia, Milton Keynes. Tri-Carb 300 Scintillation counter were supplied by Canberra-Packard, Pangborne, UK. Cecil 1010 spectrophotometer was supplied by Cecil Instruments Ltd., Cambridge, UK. pH meter 130 was purchased
from Corning, Stone, Staffs, UK. MCC 340 ELISA plate reader and Gelaire BSB 4A laminar flow cabinets were obtained from Flow Laboratories, High Wycombe, UK. Water baths were supplied by Grant Instruments, Cambridge, UK. Techne Hybridser HB-1D dryer oven was supplied by Jencons-PLS, East Sussex, UK. IG150 tissue culture CO\textsubscript{2} incubators, laminar flow cabinet LC 2.12 and Jouan vacuum concentrator were obtained from Jouan Ltd., Derbyshire, UK. Soniprep 150 sonicator and Chilspin refrigerated centrifuge were supplied by MSE, Loughborough, UK. Ultra Turrax homogeniser was purchased from Merck, UK. Nikon CK2 and BH2 light inverted microscopes, OM4 Ti 35mm camera and DP10 microscope digital camera were obtained from Olympus Optical Company (UK) Ltd., Middlesex, UK. Spectafluor 96-well ELISA plate reader and XFluor4 software were purchased from Tecan UK Ltd, Goring-on-Thames, UK. TCSNT confocal laser microscope was purchased from Leica Lasertechnik, Heidelberg, Germany.
### 3.2. METHODS
#### 3.2.1. General Cell Culture
##### 126.96.36.199. Clonal pancreatic insulinoma β-cell lines
**Figure 3.1.** Morphology of clonal pancreatic insulinoma β-cell lines: Micrographs of A) BRIN-BD11 (from rat) and B) MIN-6 (from mouse) cells in culture using a Nikon CK2 inverted light microscope (x 40 magnification).
A novel GLUT-2 expressing glucose-responsive, insulin-secreting cell line, BRIN-BD11 (McClenaghan *et al.*, 1996; Rasschaert *et al.*, 1996), derived from rat pancreatic insulinoma β-cells, were kindly provided by Prof. N.G. Morgan (Peninsula Medical School, Plymouth), and used as the main experimental model in these studies (see Fig. 3.1.A). The BRIN-BD11 β-cell line was established through the electrofusion of RINm5F cells with New England Deaconess Hospital (NEDH) rat pancreatic islet cells, grows as monolayers with epithelioid characteristics, and maintains stability in tissue culture for over 50 passages with a 5-10 times greater insulin output than the parent RINm5F cell line (McClenaghan *et al.*, 1996). BRIN-BD11 cells were cultured in RPMI 1640 medium (10-12 mM D-Glucose, Sigma) supplemented with 10% (v/v) heat-inactivated foetal calf serum, 2 mM L-glutamine, 100 units/ml penicillin, 100 µg/ml streptomycin, and only used for experimentation between the passages of 25 to 35. When experiments required lower glucose levels from 0.25 mM to 5 mM glucose, glucose-free RPMI 1640 (Cambrex Bioscience, Berkshire, UK) supplemented with 10% (v/v) heat-inactivated foetal calf serum, 2 mM L-glutamine, 100 units/ml penicillin, 100 µg/ml streptomycin was used, with the addition of appropriate amounts of sterile/filtered glucose stock solution made up in dH₂O. These cells were routinely cultured in a humidified atmosphere at 37°C, 5% (v/v) CO₂, 95% (v/v) air with regular supplemented media changes every day or no longer than three days depending on confluency and glucose levels remaining within the medium.
An additional mouse pancreatic β-cell line, MIN-6 (Miyazaki *et al.*, 1990; Ainscow *et al.*, 2000), was kindly provided by Prof. N.G. Morgan (Peninsula Medical School, Plymouth) and used in additional studies where appropriate (see Fig. 3.1.B). MIN-6 cells are a highly differentiated pancreatic β-cell line established from insulinomas obtained by targeted expression of the simian virus 40 T antigen gene in transgenic mice, and exhibit exclusive expression of the liver-type glucose transporter and glucose-inducible insulin secretion comparable with cultured normal mouse islet β-cells (Miyazaki *et al.*, 1990). MIN-6 cells were cultured in DMEM medium (20 mM D-Glucose, Sigma) supplemented with 10% (v/v) heat-inactivated foetal calf serum, 2 mM L-glutamine, 100 units/ml penicillin, 100µg/ml streptomycin, and only used for experimentation between passage numbers of 60 - 68. These cells were routinely
cultured in a humidified atmosphere at 37°C, 5% (v/v) CO₂, 95% (v/v) air with regular supplemented media changes every two or three days. RNA extracted from the rat insulinoma pancreatic β-cell line INS-1E for use in northern blotting was a kind gift from Prof. N.G. Morgan ((Peninsula Medical School, Plymouth).
### 188.8.131.52. Extracellular Support Matrix
#### 184.108.40.206.1. 5637 cell line
The 5637 cell line (also referred to as HTB-9) is derived from a human urinary bladder carcinoma source and was purchased from the ATCC. 5637 cells have a turnover rate of approximately 24 hours and form an adherent monolayer on tissue culture plastic. These cells are known to produce and release growth factors for granulocytes and monocytes (Welte *et al.*, 1985), and the conditioned medium from 5637 cells is often used as a source for haematopoietic growth factors in order to sustain the continuous growth and proliferation of cytokine-dependent leukaemia cell lines. 5637 cells are the parental strain for 1A6 (PTA-556), which produces between two to ten fold higher amounts of pluripotent hematopoietic colony-stimulating factor than the parental cell line. The 5637 cells were cultured in RPMI 1640 growth medium (Sigma) supplemented with 10% (v/v) heat-inactivated foetal calf serum, 2 mM L-glutamine, 100 units/ml penicillin, 100 µg/ml streptomycin, and used for experimentation between the passages of 4 to 10. These cells were routinely cultured in a humidified atmosphere at 37°C, 5% (v/v) CO₂, 95% (v/v) air with regular supplemented media changes every two to three days.
#### 220.127.116.11.2. ECV-304 cell line
The ECV-304 cell line (also referred to as CRL1998) were reported to have started off as a human umbilical vein endothelial cell line, however was later found to be genotypically identical, and derived from a human urinary bladder carcinoma cell line (T24, ATCC: HTB-4) due to contamination (Suda *et al.*, 2001). These authors found that despite this, ECV-304 cells phenotypically show important endothelial characteristics which differ from T24 cells under criteria such as growth behaviour,
cytoarchitecture, tight junction arrangement, transmembrane electrical resistance and TG2 activity (Suda et al., 2001). The ECV-304 cells were cultured in DMEM growth medium (Sigma) supplemented with 10% (v/v) heat-inactivated foetal calf serum, 2 mM L-glutamine, 100 units/ml penicillin, 100 µg/ml streptomycin, and used for experimentation between the passages 20-30. These cells were routinely cultured in a humidified atmosphere at 37°C, 5% (v/v) CO₂, 95% (v/v) air with regular supplemented media changes every two to three days.
**18.104.22.168. Subculturing / Passage of Cells**
All cultures were maintained as attached monolayers through exponential cell divisions to approximately 90% confluency and then subcultured to ensure that they were healthy and at the appropriate passage number for experimentation or storage through cryopreservation. Separate stored cultures were maintained using an independent supply of medium and solutions. General ATCC cell line maintenance procedures were followed at all times using aseptic and sterile techniques. All handling and manipulation of cells were confined to double HEPA-filtered laminar flow cabinets under ACGM Containment level 2 regulations. Disposal of cells and other biological wastes were autoclaved and/or disinfected as required by ACGM regulations.
For routine passaging and detachment, a standard trypsinisation protocol was performed. Supplemented growth medium was aspirated, followed by immediate rinsing of the cell monolayer with serum-free solutions of the growth medium prewarmed to 37 °C. Cell monolayers were detached from culture flasks or plates using 0.25% (w/v) trypsin/2mM EDTA solution, in PBS (pH 7.4) at 37 °C in the minimum amount of time for complete monolayer detachment which varied between cell lines. This ranged from 1 minute trypsin exposure in BRIN-BD11 cells to 15 min trypsin exposure for the 5637 cells. Detachment of the monolayer was confirmed visually using an inverted microscope, and the enzymatic action of trypsin was inactivated by the addition of an equal volume of culture growth medium containing 10% (v/v) FCS. This cell suspension was then transferred to a sterile centrifuge tube, and spun down at 1300 rpm (300 x g) for 5 minutes in an MSE bench top centrifuge. The cell
pellet was then re-suspended to appropriate volumes of fresh supplemented growth medium or re-seeded at the desired cell density for experimentation following cell counting using 10 µl aliquots of the cell suspension in duplicate chambers of an Improved Neubauer haemocytometer.
22.214.171.124. Cell Freezing and Cryopreservation
Cells were harvested and centrifuged as described above (section 126.96.36.199). Cell pellets were then re-suspended in the appropriate growth medium containing 90% (v/v) FCS and 10% (v/v) DMSO to a final concentration of $10^6$ cells/ml. The suspension was transferred to 1 ml cryovials and placed in an isopropanol-containing cryocontainer at -80°C overnight, before being cryopreserved and stored in liquid nitrogen indefinitely.
188.8.131.52. Reviving Frozen Cells from Storage
Cells in cryovials were removed from storage and thawed at 37°C. Immediately after thawing, the cells were transferred into a sterile centrifuge tube and 5 ml of cell growth medium was added drop-wise, mixing gently after each addition. Cells were then centrifuged at 300 x g for 5 minutes. The cell pellet was re-suspended in the appropriate cell growth medium and transferred to a tissue culture flask for incubation at 37°C as described above (section 3.2.1.).
3.2.2. Islet Isolation using Collagenase Digestion
Islets of Langerhans were isolated from male Wistar rats, wild type (TG2$^{+/+}$) and knockout (TG2$^{-/-}$) mice (De Laurenzi et al., 2001) using collagenase digestion according to the method described by Montague and Taylor (1968). The rats were sacrificed and whole pancreases were dissected out and placed in Gey’s Balanced Salt Solution (Sigma) or bicarbonate buffered saline solution (Welters et al., 2004) or with a D-Glucose concentration of 5 mM. Two rat pancreases or four mouse pancreases were used for each preparation yielding between 300-1000 islets (see fig. 3.3). The pancreases were distended and injected with syringed needles filled with
Figure 3.2. Rat islets stained with dithizone to show insulin content: Micrographs showing an example of the morphology and insulin content (red dithizone stain) of rat islets cultured over one week on tissue culture plastic (A: day 1; B: day 2; C: day 3; D: day 7) using a Nikon CK2 inverted light microscope (x 20 magnification).
Gey’s Balanced Salt Solution in order to provide oxygenated buffer to the tissue and aid in the chopping and digestion. The pancreases were placed in a small beaker and chopped vigorously with pointed scissors to obtain uniformly small pieces (~1mm$^2$). Collagenase XI (Sigma) or collagenase P (Roche) (6mg per preparation) was then added to the chopped tissue and the flask mixture suspended in a 37°C water bath, and shaken vigorously with an automated flask shaker for 5 minutes. This was done to aid in the digestion of the exocrine tissue surrounding the islets. The digested tissue was quickly spun down by pulse centrifugation and diluted with Gey’s buffer to neutralise the collagenase digestion. Rounded intact islets were then selected by hand with a finely distended glass Pasteur pipette off a blackened Petri dish using a dissecting microscope. Islets were routinely tested for functional insulin secretion before experimentation (see Fig. 3.2.) using dithizone staining (100 µg/ml in serum free medium) followed by three rinses in PBS (pH 7.4).
3.2.3. Treatment of Cells and Islets
184.108.40.206. Treatment of β-cells with D-glucose
Stock solutions of D-glucose were made up in autoclaved distilled water and filter sterilised before addition to RPMI 1640 medium custom-made without D-Glucose (Cambrex Bioscience). Stimulatory D-glucose parameters ranged from 17 mM to hyperglycaemic levels of 40 mM. Hypoglycaemic conditions were induced with low D-glucose concentrations ranging from 0.25 mM to 5 mM. For concentrations of 10 mM glucose, normal RPMI growth medium (Sigma) was used.
Figure 3.3 Islet Isolation
220.127.116.11. **Induction of oxidative stress in β-cells**
S-Nitrosoglutathione (GSNO) is a nitric oxide donor *in vivo* and is also reported to be a substrate for γ-glutamyl transpeptidase, which hydrolyzes the γ-glutamyl moiety of glutathione to give glutamate and cysteinylglycine. The compound was made up under sterile conditions in autoclaved dH$_2$O, and stored in aliquots at -20°C due to reported rapid decomposition rates in solution at room temperature. Concentrations of 50 μM to 500 μM were made up in serum-free RPMI containing 5 mM glucose for treating BRIN-BD11 cells, usually for 24 hours at 37°C, 5% (v/v) CO$_2$.
18.104.22.168. **Induction of hyperlipidaemia in β-cells**
Palmitate (sodium salt) was dissolved in 50% ethanol by heating at 70°C. The dissolved palmitate was then diluted into a 10% solution of fatty acid free albumin and incubated at 37°C for 1 hour to allow the palmitate to bind to the albumin. The mixture was then diluted as required into serum-free RPMI containing 5 mM glucose to give final concentrations of 0.5% ethanol and 1% BSA, and stored for short periods at 4°C. Treatment concentrations ranged from 50 μM to 500 μM, where BRIN-BD11 cells were incubated for 24 hours at 37°C, 5% (v/v) CO$_2$.
22.214.171.124. **Treatment with GTP and CaCl$_2$**
The effect of intracellular Ca$^{2+}$ levels on TG activity was tested by the addition of CaCl$_2$ (freshly prepared and diluted to appropriate concentrations in dH$_2$O) to the reaction mix or culture medium. Concentrations between 0.5 mM to 10 mM CaCl$_2$ were used to facilitate TG catalytic reactions.
GTP-γ-S (Sigma) was diluted to appropriate concentrations (0.5 μM to 1000 μM) in dH$_2$O and stored at -20°C. To test its effect in TG activity assays, the GTP aliquots were defrosted just before the reactions were initiated by direct addition to the reaction mix.
126.96.36.199. **Treatment with Matrix Metalloproteinase Inhibitors**
Stock solutions of the matrix metalloproteinase (MMP) broad range inhibitor GM6001 (Galardin; 364205) and the corresponding negative control (364210) (Calbiochem) were prepared according to the manufacturer’s instructions. BRIN-BD11 cells were treated with 10 µM Galardin (GM6001, 364205), which is a potent broad-spectrum hydroxamic acid inhibitor of MMPs. Treatments were for 3 hrs at 37°C, 5% (v/v) CO₂. Negative controls included the accompanying 10 µM –MMP solution (364210), and untreated BRIN-BD11 cells.
188.8.131.52. **Treatment with Dispase**
BRIN-BD11 cells were treated for their susceptibility to dispase and its possible effect on TG, according to the protocol described by Kim *et al.* (1995). Live cells were treated in suspension with 0.01 unit/ml dispase diluted in serum-free RPMI at increasing incubation times (0, 5, 10, 15, 30 minutes) at 37°C, 5% (v/v) CO₂, and thereafter assayed for TG activity.
184.108.40.206. **Treatment with Trypsin**
BRIN-BD11 cells were treated for their susceptibility to trypsin and its possible effect on TG, according to the protocol described by Rice *et al.* (1990). Live cells were treated in suspension with 0.25% (w/v) trypsin (Sigma) diluted in serum-free RPMI at an incubation time of 15 minutes at 37°C, 5% (v/v) CO₂, and thereafter assayed for TG activity.
220.127.116.11. **Treatment with active-site directed TG inhibitors**
R283 (1, dimethyl-2[(oxopropyl)thio]imidazolium) and R281(Nbenzyloxycarbonyl-L-phenylalanyl-6-dimethylsulfonium-5-oxo-L-norleucine) were synthesised according to published methods (Griffin *et al.*, 2004; Freund *et al.*, 1994) by R. Saint and I. Coutts at Nottingham Trent University. The structurally distinct chemical structures of the inhibitors are shown in Chapter 4, where inhibition involves the
irreversible acetylation of the thiol group contained within the active site cysteine\textsuperscript{277} which results in the thiol group being unreactive towards its glutamyl and amine substrates. The purity of these compounds was determined by NMR and mass spectrometry (Nottingham Trent University). Unless used directly as a negative control or in TG catalysis reactions, efficacy of the inhibitors against pancreatic $\beta$-cell TG was determined by the application of inhibitors at 50 $\mu$M to 500 $\mu$M concentrations for 24 hours at 37°C, 5% (v/v) CO$_2$, and the TG activity measured as described in Chapter 4 and Chapter 6.
TG2 inhibitor peptide, Boc-DON-Gln-Ile-Val-OMe (MW: 625.7) was obtained from N-Zyme Biotec (Darmstadt, Germany) and was pre-dissolved in DMSO before making a stock solution of 1 mM in sterile dH$_2$O, which was stored in aliquots at -20°C. This potent active-site directed inhibitor of the TG2 enzyme results in the alkylation of active site cysteine\textsuperscript{277}, and was shown to be specific to TG2 since no inactivation of fXIII was seen (N-Zyme Biotec data sheet). Furthermore, inactivated purified TG could not be reactivated suggesting this inhibitor to be either irreversible or slow and tight binding, with an optimal working concentration of 10 $\mu$M in cell homogenates for 24 hours at 37°C, 5% (v/v) CO$_2$.
### 18.104.22.168. Treatment with Retinoic Acid
All trans retinoic acid (Sigma) was solubilised in dH$_2$O and stored at -20°C, protected from light. To test its effect on TG, these aliquots were defrosted just before the reactions were initiated by direct addition to the culture medium. Treatment concentrations ranged from 0.1 $\mu$M to 3$\mu$M retinoic acid for 48 hours at 37°C, 5% (v/v) CO$_2$.
### 22.214.171.124. Treatment with RGD peptide
BRIN-BD11 cells in suspension (1 x 10$^6$ cells/ml) were incubated with 50$\mu$g/ml RGD (GRGDTP) synthetic peptide (Sigma) or 50$\mu$g/ml control RAD (GRADSP) peptide (Calbiochem) for 10 min at 37 °C, 5% (v/v) CO$_2$ in serum-free RPMI as described previously by Verderio \textit{et al.}, (2003). The cells were then seeded onto 96-
well plates pre-coated with fibronectin or fibronectin-TG2 matrices as described in section 126.96.36.199.
### 3.2.4. Preparation of Support Matrices for β-cells
#### 188.8.131.52. Coating wells with Fibronectin
Tissue culture plastic surfaces were saturated by the addition of the appropriate volume of 5 μg/ml human plasma fibronectin (FN) in 50 mM Tris-HCl (pH 7.4) to each well followed by incubation at 4°C overnight. 96-well plates were coated with 100 μl and 24-well plates with 500 μl of fibronectin solution. Coated surfaces were blocked with 3% (w/v) BSA in the same Tris-HCl (pH 7.4) buffer for 1 hour at room temperature and washed three times with serum-free culture medium prior to the addition of cells.
In the case of FN-TG2 matrices, wells were coated with fibronectin solution as described above, but before the blocking step, 10 – 30 μg/ml guinea pig liver TG2 (gp/TG2) diluted in 50 mM Tris-HCl (pH74) was immobilised onto the FN by incubating at 37°C for 1 hour. Following incubation, the wells were washed twice with the same Tris-HCl (pH 7.4) solution and blocked with 3% (w/v) BSA in 50 mM Tris-HCl (pH 7.4) buffer for 1 hour at room temperature and washed three times with serum-free culture medium prior to the addition of cells.
#### 184.108.40.206. Preparation of 5637 lysed matrices
Human urinary bladder carcinoma cells (5637) were seeded at a density of 1 x 10⁵ cells/ml in RPMI 1640 medium supplemented with 10% (v/v) heat-inactivated foetal calf serum, 2 mM L-glutamine, 100 units/ml penicillin, 100 μg/ml streptomycin and allowed to grow to confluency in tissue culture wells for 3 days at 37°C, 5% (v/v) CO₂ as described in section 220.127.116.11.1. The complete medium was then aspirated from the wells, and cell monolayers were washed three times with sterile PBS (pH7.4). The cell monolayers were then lysed as described by Ris et al., (2002) with the addition of
Figure 3.4. Preparation of 5637 lysed matrices
sterile dH$_2$O for 3.5 minutes, followed by three washes in dH$_2$O, and allowed to air dry. The air dried lysed matrices were used directly for experimentation or else stored at 4°C for no more than 2 days.
### 18.104.22.168.1. Pre-conditioned 5637 lysed matrices (TG Inhibitors)
In order to prepare 5637 support matrices in the presence of diminished TG activity, the cells were seeded as described in section 22.214.171.124., with 250 µM active site directed inhibitors R283 or R281; or 10 µM Boc-DON-Gln-Ile-Val-OMe TG2 inhibitor peptide, added directly to the growth medium. The medium containing inhibitors was replaced every 24 hours, as the cell monolayers expanded to 3 day confluency. These TG inhibited 5637 support matrices were then lysed as described in section 126.96.36.199.
### 188.8.131.52.2. Pre-conditioned 5637 lysed matrices (TG2 knockdown with siRNA)
Three day 5637 support matrices were prepared by knocking down TG2 protein expression with the use of siRNA gene silencing. Three non-overlapping custom-made Stealth Select RNAi duplexes (see Table 3.1.), and a high GC negative control siRNA duplex (12935-400) to be used with lipofectamine 2000 were purchased from Invitrogen and used according to the manufacturer’s instructions. The lyophilised siRNA duplex oligoribonucleotides were re-suspended in nuclease-free water provided by the manufacturer to a stock concentration of 20 µM and stored at -20°C.
For each transfection sample in a 24-well plate, oligo-lipofectamine 2000 complexes were prepared by diluting 20 pmol of two non-overlapping sequences of Stealth siRNA in separate micro-tubes with 50 µl RPMI 1640 medium supplemented with 5% (v/v) heat-inactivated foetal calf serum and 2 mM L-glutamine. In a separate micro-tube, lipofectamine 2000 was then diluted by adding 1 µl to 50 µl RPMI 1640 medium supplemented as before, and allowed to incubate at room temperature for 5 minutes. The 50 µl diluted siRNA was then combined with the 50 µl diluted lipofectamine 2000 and incubated for a further 20 minutes at room temperature to form a 100 µl oligo-lipofectamine complex. This complex was then added to each well containing freshly seeded cells at 1 x 10$^5$ cells/ml and 500 µl RPMI 1640
medium supplemented as described above. Fresh RPMI 1640 medium supplemented with 10% (v/v) heat-inactivated foetal calf serum and 2 mM L-glutamine was added to the wells after 24 hours transient transfection, and the 3 day 5637 support matrix was lysed as described in section 184.108.40.206. Optimisation of this transient transfection was achieved by testing all three Stealth siRNA duplexes in combination at concentrations ranging from 10 – 50 pmol, and lipofectamine 2000 concentrations ranging from 0.5 to 1.5 µl. Optimum 70% TG2 knockdown as a result of transient transfection was achieved with 1 µl lipofectamine 2000 complexed to 40 pmol of TGM2-HSS110713 and TGM2-HSS110714 in combination.
**Table 3.1. Stealth Select siRNA duplexes targeted to Transglutaminase 2**
| Gene | Duplex RNA Primer Sequences (5’ - 3’) |
|---------------|---------------------------------------------------------------------------|
| TGM2-HSS110713| AUCACACCUCUCUAAGACCAGCUCC |
| | GGAGCUGGUCUUAGAGAGGUGUGAU |
| TGM2-HSS110714| UUCUUGAUGAACUUGGCCGAGCCCU |
| | AGGGCUCGGCCAAGUUCAUCAAGAA |
| TGM2-HSS110715| UAGGAUCCCAUCUCAAACUGCCCA |
| | UGGGCAGUUUGAAGAUGGGAUCCUA |
**220.127.116.11.3. Pre-conditioned 5637 lysed matrices (immobilised with gplTG2)**
5637 support matrices were prepared in the presence of exogenously supplemented *gplTG2* (10 – 30 µg/ml) by direct addition to the growth medium when the cells were seeded as described in section 18.104.22.168. The cell monolayers containing *gplTG2* were expanded to 3 day confluency and these 5637 support matrices containing immobilised TG2 were then lysed as described in section 22.214.171.124.
126.96.36.199.4. Pre-conditioned 5637 lysed matrices (cross-linked using *gplTG2*)
In order to prepare TG2 cross-linked 5637 support matrices, the cells were seeded as described in section 188.8.131.52 and expanded to 3 day confluency. Before lysis, the 5637 matrix was cross-linked in the presence of a reaction mix containing 20 μg/ml *gplTG2*, 5 mM CaCl$_2$ and 10 mM DTT added to serum free growth medium for 1 hour at 37°C, 5% (v/v) CO$_2$. The cross-linked 5637 support matrix was then washed three times in PBS and lysed as described in section 184.108.40.206.
220.127.116.11. Preparation of ECV-304 lysed matrices
Human umbilical vein endothelial cells were seeded at a density of $1 \times 10^5$ cells/ml in DMEM medium supplemented with 10% (v/v) heat-inactivated foetal calf serum, 2 mM L-glutamine, 100 units/ml penicillin, 100 μg/ml streptomycin and allowed to grow to confluency in tissue culture wells for 3 days at 37°C, 5% (v/v) CO$_2$ as described in section 18.104.22.168.2. The complete medium was then aspirated from the wells, and cell monolayers were washed three times with sterile PBS (pH7.4). The cell monolayers were then lysed (as described in section 22.214.171.124.) with the addition of sterile dH$_2$O for 3.5 minutes, followed by three washes in dH$_2$O, and allowed to air dry. The air dried lysed matrices were used directly for experimentation or else stored at 4°C for no more than 2 days.
3.2.5. Analysis of Proteins
126.96.36.199. Preparation of Cell, Islet and Tissue Homogenates
Attached cells were collected after firstly rinsing with PBS (pH 7.4) followed by the addition of appropriate volumes of homogenisation buffer (0.32 M sucrose, 5 mM Tris-HCl (pH7.4), 2 mM EDTA) containing protease inhibitors phenyl methyl sulfonyl fluoride (PMSF, 20 μg/ml), leupeptin (10 μg/ml), pepstatin (1 μg/ml), and benzamidine (780 μg/ml) and were then collected in 1.5 ml microfuge tubes using a rubber cell scraper. Islets and snap-frozen tissue were made up to 20% (w/v) in the same homogenisation buffer using a mini homogenizer and pestle in 1.5 ml
microfuge tubes. Cell lysates were produced by sonication with a Soniprep 150 sonicator (MSE, UK) on ice for 3 x 5 seconds with 15 second cooling intervals.
### 188.8.131.52. Protein Content Estimation
Total protein content in cell, islet or tissue homogenates were determined using either the Lowry protein assay (Lowry *et al.*, 1951) or bicinchoninic acid (BCA) assay (Brown *et al.*, 1989). Choice of the assay was dependent on their compatibility with the reducing agents and detergents contained in the solubilisation buffers.
#### 184.108.40.206.1. Lowry protein assay
The Lowry protein assay was carried out using a kit obtained from Bio-Rad (Watford, Herfordshire, UK). 25 µl of reagent A and 200 µl of reagent B were added sequentially to 5 µl of sample or BSA standards ranging from 0.15 to 10 mg/ml in a 96-well plate format. The plate was incubated for 10 minutes at room temperature and the absorbance was read at 750 nm using a SpectraFluor plate reader.
#### 220.127.116.11.2. BCA protein assay
The BCA assay was used instead of the Lowry assay when protein samples from cell lysates contained considerable concentrations of dithiothreitol (DTT). 5 µl of protein suspension was mixed with 200 µl of BCA reagent. BCA reagent was obtained by mixing solution A [1% (w/v) bicinchoninic acid in sodium salt form, 2% (w/v) sodium carbonate, 0.16% (w/v) sodium tartate, 0.4% (w/v) sodium hydroxide, 0.95% (w/v) sodium hydrogen carbonate, pH 11.5] with solution B [4% (w/v) copper sulphate] at a ratio of 25:1. The values of the protein concentrations were estimated against a parabolic standard curve produced by triplicate BSA protein standards (0.15-10 mg/ml). Colorimetric absorbance readings generated by the addition of BCA assay reagents after incubation at 37°C for 30 minutes was detected using a SpectraFluor plate reader set at 570 nm.
18.104.22.168. Sodium Dodecyl Sulphate Polyacrylamide Gel Electrophoresis (SDS-PAGE)
The method used to separate proteins for analysis was a modification of that described by Laemmli for use with a vertical slab gel apparatus (Laemmli, 1970). Gels were cast in the Atto-minigel system (B & L Systems, Marseen, Netherlands) and consisted of a standard 3% (w/v) polyacrylamide stacking gel and a 6-12% (w/v) resolving gel. The acrylamide stock solution used for all gels consisted of 30% (w/v) acrylamide and 0.8% (w/v) N, N'-methylene bisacrylamide. Stacking gels were made using a Tris-SDS stock solution, pH 6.8 [0.25 M Tris, 0.2% (w/v) SDS] whereas resolving gels contained a Tris-SDS solution pH 8.8 [0.75 M Tris, 0.2% (w/v) SDS]. Concentrations of polyacrylamide in the resolving gel varied from 6% for separation of proteins with high molecular weight, to 12% for separation of smaller molecular weight proteins. The recipes for different concentrations of acrylamide in the resolving gel are listed in Table 3.2. Resolving gels (80 x 60x 0.75mm) were cast using the Atto-system according to the manufacturer’s protocol.
Water-saturated butan-2-ol was poured on the top of the gel to an approximate depth of 5mm to provide the gel with a flat upper surface, and the gel was allowed to polymerise for 40 minutes at room temperature. The upper surface of polymerised resolving gels was washed twice with distilled water to remove residual butan-2-ol, and the edge of the gel was gently blotted dry using filter paper. Stacking gels were prepared by combining 0.65 ml of acrylamide solution, 1.25 ml of Tris/SDS pH 6.8 and 3.05 ml of distilled water. Polymerisation was initiated by the addition of 25 µl 10% (w/v) ammonium persulphate and 5 µl of TEMED with constant mixing. The gel was quickly pipetted between the glass plates and the appropriate comb was inserted to form the sample wells. Polymerisation was allowed to proceed for 45 minutes at room temperature. The sample well comb was gently removed from polymerised stacking gels and wells were washed and filled with Tris-glycine electrode running buffer pH 8.5 [0.025 M Tris, 0.192 M glycine and 0.1% (w/v) SDS]. Sample volumes to be loaded were normalised against protein concentration values, and 5 - 20 µg of protein was combined with the appropriate volume of 2x strength Laemmli loading buffer [125 mM Tris-HCl, 20% (v/v) glycerol, 4% (w/v) SDS, 2% (v/v) mercaptoethanol and 0.02 mg/ml bromophenol blue] and pipetted into the sample wells using protein
Table 3.2. Constituents of 2 resolving mini-gels for SDS-PAGE
| Stock Solutions | % Acrylamide in separating gel (w/v) |
|---------------------------------------|--------------------------------------|
| | 6% | 10% | 12% |
| 30% acrylamide (w/v) | 3 ml | 5 ml | 6 ml |
| 1.5 M Tris-SDS (pH 8.8) | 3.75 ml | 3.75 ml | 3.75 ml |
| Distilled H$_2$O | 8.25 ml | 6.25 ml | 5.25 ml |
| 10% ammonium persulphate (w/v) | 50 µl | 50 µl | 50 µl |
| TEMED | 10 µl | 10 µl | 10 µl |
Electrophoresis gel-loading tips (Bio-Rad). Electrophoresis was performed at 150 V for approximately 1.5 hours until the bromophenol blue marker dye had reached the bottom of the gel.
22.214.171.124. Western blotting of SDS-PAGE separated proteins
Electrophoretic transfer of SDS-PAGE separated proteins to nitrocellulose was performed as described by Towbin et al. (1979) using a Protean II Cell System (Bio-Rad) wet-blot system. SDS was removed from the gel by rinsing in transfer buffer [48.8 mM Tris-HCl, 39 mM glycine, 20% (v/v) methanol] for 10 minutes. The nitrocellulose transfer membrane (Osmonisc, Westerborough, MA) was equilibrated in the same transfer buffer together with the scanting pads and filter paper (Whatman, 27cm). The apparatus was assembled by stacking the scanting pad on the bottom, followed by 3 sheets of filter paper, the gel, the membrane, another three pieces of filter paper and finally another scanting pad. During the assembly bubbles trapped in between the filter papers and the membrane were removed by rolling a glass rod uniformly over the stack. Western blotting was carried out using the Bio-Rad apparatus for 1 hour at 200 mA in pre-chilled transfer buffer. After the proteins were transferred from the gel to the nitrocellulose membrane, the equipment was disassembled and the membrane, separated from the gel, was placed in a plastic tray for further analysis. Transfer of proteins was verified by staining with Ponceau Red solution [0.2% (w/v) Ponceau S, 0.4% (v/v) glacial acetic acid] and subsequent destaining in distilled water. Washed blots were then blocked by incubation in a
blocking solution containing 5% (w/v) fat-free dried milk powder in PBS (pH 7.4) and 0.05% (v/v) Tween20 for 2 hours at room temperature, before being immuno-probed with the appropriate primary antibody.
126.96.36.199. Immunoprobing of western blots and membrane stripping
Following blocking, the blots were first incubated with the primary antibody in the same blocking buffer for 2 hours at room temperature. Blots were then washed three times in PBS 0.5% (v/v) Tween20, 1% (w/v) milk for approximately 5 minutes and subsequently incubated with a species-specific secondary HRP-conjugated antibody in blocking buffer for a further 1 hour. Another three washes were carried out in order to remove the antibody background followed by a final wash in PBS 0.5% (v/v) Tween 20 to remove residual milk. The HRP component of the secondary antibody was exposed for 90 seconds to enhanced chemiluminescence (ECL) substrate that resulted from the mixture of 2ml of reagent A with 2 ml of reagent B (ECL, Amersham, Bucks, UK). Excess ECL substrate was drained and the membrane was covered with cling film. The resulting light emission was detected by exposure to Kodak X-Omat chemiluminescence detection film (Roche Diagnostics, East Sussex, UK) for 1-20 min, depending on the dilutions of the antibodies and the intensity of the signal, in a dark room. The film was developed using 20% (v/v) LX-24 developer (Sigma), fixed in 20% (v/v) FX-40 fixer (Sigma), and rinsed in tap water before being air dried, and scanned for digital densitometry. When the blots were not developed manually in the dark room, the same ECL reagents as described above were used, and the blot was placed inside an AIDA LAS 3000 ECL Image Reader, where automatic development of the blot was achieved by setting exposure time parameters and the resulting images were captured digitally for further densitometric analysis.
Where further immunoprobing was necessary, the nitrocellulose membrane was made wet again in either PBS and then incubated in stripping buffer [100mM 2-mercaptoethanol, 2% (w/v) SDS, 62.5mM Tris-HCL pH 6.7] at 50°C for 30 minutes with occasional shaking. The membrane was then washed twice in PBS-Tween20 and blocked again in PBS 0.5 % (v/v) Tween20, 1% (w/v) dried milk for 45 minutes.
188.8.131.52. **Two-Dimensional (2-D) Gel Electrophoresis**
184.108.40.206.1. **Sample preparation**
BRIN-BD11 cells were grown to 80% confluency in T75 tissue culture flasks, and washed three times in PBS (pH 7.4). Lysis buffer which contained 0.5% (w/v) SDS in PBS (pH 7.4) was pre-heated, and 3 ml added directly to the cells prior to the flask being immersed in boiling water for 3 minutes. The cell lysates were then collected and ultracentrifuged for 20 minutes at 100 000 x g, before 100 µl of the supernatant was mixed with 900 µl ice cold acetone and stored at -20 °C overnight. The lysates were then centrifuged at 13 000 x g for 20 minutes, the supernatant discarded and the resulting pellet air-dried and re-suspended in 400 µl rehydration buffer which contained 8M Urea, 50mM DTT, 4% CHAPS, 0.0002% (w/v) bromophenol blue, 0.2% bio-lyte ampholyte stock solution in the 4-7 pH range (Bio-Rad), all made up in 50 ml dH$_2$O (18MΩ). Protein concentrations were corrected to 50 µg in 400 µl and this was loaded in the slot of the rehydration tray in the Bio-Rad Protean II isoelectric focussing (IEF) system. Immobilised pH gradient (IPG) strips in the 4-7 pH range (17 cm, Biorad) were placed in the chamber using the supplied forceps, with the acrylamide strip facing down on top of the sample and passive rehydration was allowed in the Protean IEF system for 1 hour. 4 ml of mineral oil (Bio-Rad) was then applied to the top of the strips, and an automatic progressive voltage program on the Protean IEF system was initiated which took 23 hours to run. Once the run was complete the (IPG) strips were either used directly in SDS-PAGE electrophoresis as follows, or placed in strip trays covered with parafilm and stored at -20°C.
220.127.116.11.2. **Two-Dimensional (2-D) SDS-PAGE**
Large gel plates were assembled according to the Bio-Rad product manual and 10% acrylamide gels were cast. To prevent leaking during polymerisation of the gel, 2 ml of molten agarose (0.5% (w/v) agarose in TBS pH 8.8) was applied to the bottom of the casting plate. The resolving gel was prepared as described in Table 3.3., and 48 ml of the solution was pipetted in between the plates, and topped with 15 ml of water saturated butan-2-ol and allowed to polymerise for 1 hour at room temperature. The butan-2-ol was washed with dH$_2$O off the gel top and dried with filter paper. 5 ml of
stacking gel (see Table 3.3) was then added to the top of the gel with a 1.5 mm spacer comb and allowed to polymerise for 30 minutes at room temperature.
The IPG strips which were prepared previously were then equilibrated for use in the two-dimensional SDS-PAGE system (Bio-Rad). The IPG strips (those removed from the -20°C freezer were thawed completely) were then equilibrated in their trays for 10 minutes using a shaker and 20 mg/ml DTT added to basal equilibration buffer which contained 6 M urea, 20% (w/v) SDS, 1.5 M Tris-HCl (pH 8.8), 50% (w/v) glycerol, adjusted to 100 ml of dH$_2$O (18MΩ). This solution was drained and replaced with 25 mg/ml iodoacetamide in basal equilibration buffer for 10 minutes on a plate shaker.
**Table 3.3. Constituents of 2 large resolving gels for 2-D SDS-PAGE**
| Stock Solutions | 2 x Large 10% Acrylamide Gels |
|----------------------------------|-------------------------------|
| | Resolving Gel | Stacking Gel |
| 40% acrylamide (w/v) | 26.25 ml | 1 ml |
| 1.5 M Tris-SDS (pH 8.8) | 26.25 ml | 2.5 ml |
| Millipore Distilled H$_2$O | 52.5 ml | 6.5 ml |
| 10% ammonium persulphate (w/v) | 0.3 ml | 0.1 ml |
| TEMED | 0.03 ml | 0.04 ml |
| Total volume | 105 ml | 10 ml |
The strips were washed briefly by immersing them a few times in a 250 ml cylinder containing 1 x SDS-PAGE Tris-glycine electrode running buffer pH 8.5 [0.025 M Tris, 0.192 M glycine and 0.1% (w/v) SDS]. Using clean scissors, a few mm off the acidic (+) end of the IPG strip was trimmed to fit on top of the large gel. Overlay agarose (Readyprep, Bio-Rad) was liquidified in a microwave for 15 seconds, cooled down and then 2 ml was added to the top of the IPG strips. 20 µl of a MW standard (Dual colour, Bio-Rad) was added to the last comb space, and the gels were clipped onto Biorad cells that were pre-cooled using a 15°C Dodeka cooler unit. Running buffer was then added to the middle of the cell, and the 2-D gels were electrophoresed at 48 mA for a whole day, or 15 mA for an overnight run.
18.104.22.168.3. Silver-staining, Mass Spectrometry and Western Blotting
Once the large gels were electrophoresed, the gel plates were disassembled and the gels were moved to porcelain containers with large gel clips for further use. Some gels were stained using the silver stain plus kit (Bio-Rad), or else used for western blotting. Briefly, the silver stain entailed 30 minutes fixation in trichloroacetic acid (TCA), washing in dH$_2$O, 30 minutes sensitizing [ethanol, 25% (w/v) gluteraldehyde, 5% (w/v) thiosulphate, 17g sodium acetate in 250 ml dH$_2$O], washing in dH$_2$O, 20 minute silver reaction [2.5% (w/v) silver nitrate solution, 37% (w/v) formaldehyde in 250 ml dH$_2$O], washing in dH$_2$O, 5 minutes developing [6.25 g sodium carbonate, 37% (w/v) formaldehyde in 250 ml dH$_2$O], stop solution for 10 minutes [EDTA-Na$_2$.2H$_2$O in 250 ml dH$_2$O], washing in dH$_2$O, 20 min preserving [ethanol, 87% (w/w) glycerol in 250 ml dH$_2$O].
When gels were silver stained with the intention of picking spots for Mass Spectrometry (Bruker MicroTof, University of Nottingham), formaldehyde was left out of the appropriate silver staining steps. To facilitate spot-picking between the 50-kDa to 80-kDa range, excised gel pieces were reduced with DTT, alkylated with iodoacetamide, and digested with trypsin. The MS/MS spectra were searched against the NCBI Rattus Norvegicus (Rat) database using PeptIdent software (http://ca.expasy.org/cgi-bin/pepident.pl). The algorithm was set to use trypsin as enzyme, allowing at maximum for one cleavage site and assuming carbamidomethyl as a fixed modification of cysteine, and oxidised methionine and deamidations of asparagines and glutamine as variable. Mass tolerance was set to 4 ppm, and 0.2 Da for MS and MS/MS respectively.
Electrophoretic transfer of 2-D SDS-PAGE separated proteins to nitrocellulose was performed as described in section 22.214.171.124 using a Protean II Cell System (Bio-Rad) wet-blot system. Following the transfer, nitrocellulose membranes were blocked for 2 hours at room temperature in 5% (w/v) fat-free dried milk powder in PBS (pH 7.4) and 0.05% (v/v) Tween20. The blots were then incubated with the primary antibody in the same blocking buffer for 2 hours at room temperature. Blots were then washed three times in PBS 0.5% (v/v) Tween20, 1% (w/v) milk for approximately 5 minutes
and subsequently incubated with an anti-HRP antibody in blocking buffer for a further 1 hour. Another three washes were carried out in order to remove the antibody background followed by a final wash in PBS 0.5% (v/v) Tween 20 to remove residual milk. The HRP component of the secondary antibody was exposed for 90 seconds to ECL substrates as described in section 126.96.36.199. and the resulting light emission was detected by exposure to Kodak X-Omat chemiluminescence detection film (Roche Diagnostics, East Sussex, UK) for 1-5 minutes. The film was fixed, developed and the images captured digitally as described in section 188.8.131.52.
**184.108.40.206. Detection of TG protein**
**220.127.116.11.1. Immunostaining of TG2 antigen using Western Blotting**
For the detection of TG antigen, cells or islets were homogenised, sonicated and electrophoresed using SDS-PAGE. Following western blot transfer, nitrocellulose membranes were blocked and immunoprobed with TG antibodies: monoclonal mouse anti-TG2 CUB7402 antibody (1:200) in blocking buffer for 2 hours at room temperature with gentle shaking. Blots were washed, incubated with an anti-mouse-IgG-HRP conjugate diluted 1:1000 in blocking buffer for a further 2 hours, and immunostained TG bands were then revealed by enhanced chemiluminescence as described in section 18.104.22.168.
**22.214.171.124.2. Immunoperoxidase detection of TG2 antigen by ELISA**
Cells were seeded at a concentration of $1.5 \times 10^4$ cells/well in a 96-well plate and allowed to settle overnight. The primary anti-TG2 antibody CUB7402 (Neomarkers) was diluted 1:1000 in cell growth medium and 100µl of the resulting mixture were added to each well prior to incubation at 37°C for 2 hours. Following incubation, medium was removed and the cells were washed three times with PBS (pH 7.4) and then blocked with blocking solution [5% (w/v) fat-free dried milk in PBS, pH 7.4] for 30 minutes. The plate was then washed three times with PBS (pH 7.4) and cells were then fixed with 3.7% (w/v) paraformaldehyde in PBS, pH 7.4 for 15 minutes at room temperature. After fixation, another series of washes with PBS were performed and
the secondary antibody (mouse IgG-HRP) diluted 1:2000 in blocking buffer was added to each well (100 µl/well) prior to an extra 2-hour incubation at room temperature followed by three washes with PBS (pH 7.4) as before. HRP was detected by addition of 100 µl/well of tetramethylbenzidine (TMB, Sigma) according to the manufacturer’s instructions and incubation for 10 minutes at room temperature. The reaction was stopped at equal times for each reaction by the addition of 2.5 M H$_2$SO$_4$ at 50 µl/well, and then read colorimetrically at an absorbance of 450 nm on a SpectraFluor plate reader.
126.96.36.199.3. **Immunofluorescent detection of TG2 antigen**
Cells were seeded at a concentration of $1 \times 10^5$ cells/well in 8-well glass chamber slides (Lab-Tek, Naperville, USA) and grown over 24 hours to confluency, prior to the addition of anti-TG2 MAb CUB7402 (Neomarkers) diluted 1 in 200 in fresh growth medium. Cells were incubated in the presence of the antibody for 2.5 hours, washed twice with PBS (pH 7.4) and fixed in 3.7% (w/v) paraformaldehyde in PBS (pH 7.4) while in the chamber wells for 15 minutes at room temperature. In some co-staining experiments and tissue cryosections, CUB 7402 MAb was added post-fixation for 1.5 hours at 37°C. Cell monolayers were then blocked with 3% (w/v) BSA in PBS (pH 7.4) for 30 minutes at 37°C. Following blocking, cells were incubated with either anti-mouse IgG-FITC (DAKO) or anti-mouse IgG-TRITC (DAKO) diluted 1 in 1000 in blocking buffer for 2 hours at 37°C and then washed 3 times with PBS (pH 7.4), prior to mounting with Vectashield mounting medium (Vecta Laboratories) or Fluorsave mounting reagent (Calbiochem). Stained cells were viewed for immunofluorescence using a Leica TCSNT confocal laser microscope system (LEICA, Germany) equipped with an argon krypton laser at 647 nm and 488 nm for rhodamine and fluorescein excitation. Semiquantitation of TG2 protein expression was obtained by using the mean fluorescent emissions per field (mV/µM$^2$) from at least 9 non-overlapping 40 x magnification fields.
188.8.131.52.4. **GTP-agarose Pull-down Assay for TG2 using Western Blot Analysis**
To detect TG2 antigen bound to GTP, a GTP-agarose pull-down assay previously described by Bailey *et al.*, (2004) was used. To enrich for GTP-binding proteins, BRIN-BD11 cells (confluent T175 flask) were lysed in a ratio of 1:5 in GTP binding buffer [20 mM Tris-HCl (pH 7.0), 150 mM NaCl, 5 mM MgCl$_2$, 0.01% v/v Triton-X 100 containing protease inhibitors phenyl methyl sulfonyl fluoride (PMSF, 20 µg/ml), leupeptin (10 µg/ml), pepstatin (1 µg/ml), and benzamidine (780 µg/ml)]. Cell lysates were produced by sonication with a Soniprep 150 sonicator (MSE, UK) on ice for 3 x 5 seconds with 15 second cooling intervals, followed by ultracentrifugation at 100000 x g for 1 hour at 4°C (Optima TLX Benchtop Ultracentrifuge, Beckman Instrument-UK), and the respective cytosolic and membrane fractions were collected. The protein concentration of each fraction was determined by BCA assay with BSA as the standard. Therafter, 250 µg of lysate protein was incubated with 100 µl of GTP-agarose beads (Sigma-Aldrich, equilibrated in GTP-binding buffer) in a total of 600 µl of GTP-binding buffer for 30 min at 4°C with gentle shaking. The beads were then centrifuged at 13000 x g for 2 min and the supernatant was retained. The GTP-agarose beads were then washed three times with 1 ml GTP-binding buffer and the supernatant was incubated with the beads for a further 30 min as described above. The beads were then washed again, as described above, and incubated with the supernatant overnight at 4°C with gentle shaking. This was followed by the beads being washed three times with GTP-binding buffer, and bound protein was eluted by boiling in 35 µl of 2x strength Laemmli loading buffer [125 mM Tris-HCl, 20% (v/v) glycerol, 4% (w/v) SDS, 2% (v/v) mercaptoethanol and 0.02 mg/ml bromophenol blue]. TG protein that had bound to the GTP-agarose beads was visualised by performing western blot analysis, using TG antibodies as described in section 184.108.40.206.1. Blots were stripped and re-probed for β-tubulin to ensure equal loading.
3.2.6. Measurement of TG activity
220.127.116.11. TG-catalysed incorporation of $[^{14}\text{C}]$-putrescine into N,N’-dimethylcasein
The established filter paper assay (Lorand et al., 1972) relies on the ability of TG to catalyse the incorporation of a radioactively labelled primary amine into a protein acceptor substrate (see Fig. 3.5). The acceptor substrate commonly used in this investigation was N,N’-dimethylcasein, however a modification of this assay was developed by simply leaving out the N,N’-dimethylcasein substrate in order to allow the endogenous cell components to act as substrates. Performing the assay involved the addition, at 30 second intervals, of 45 µl sample homogenate (described in section 18.104.22.168) corrected for equal protein which was added to 55 µl reaction mix containing: 10 µl of 50mM Tris-HCl (pH 7.4); 10 µl of 38.5 mM DTT; 10 µl of 12 mM [1,4-$^{14}$C]-putrescine (Amersham Pharmacia; specific activity 3.97mCi/mmol); 20 µl of 25 mg/ml N,N’-dimethylcasein (Sigma) in 50 mM Tris; and either 5µl of 50 mM CaCl$_2$ or 5 µl of 200 mM EDTA pre-equilibrated at 37°C in a waterbath. At 15 minutes after the initiation of the reaction, triplicate 10 µl aliquots from each sample were removed and spotted onto 10 mm$^2$ of 3MM filter paper (Whatman) at 30 second intervals. Squares were then placed in 10% (w/v) ice cold TCA for 10 minutes, then washed consecutively three times for 5 minutes in 5% (v/v) TCA, once in acetone: ethanol (1:1, v/v) for 5 minutes, and once in acetone for 5 minutes. A triplicate set of filter papers containing no sample was also washed as a reaction blank. The squares were then air dried for 15 minutes. Once dry, filter papers were placed in scintillation tubes, to which 2 ml Optiphase High Safe liquid scintillation fluid was added, and $^{14}$C counts were obtained in a Packard Liquid Tri-Carb LS counter (Packard Biosciences Pangbourne, UK). One unit of transglutaminase activity is defined as 1 nmol of putrescine incorporated per hour per mg of protein.
Figure 3.5. Putrescine radiolabelled TG assay
22.214.171.124. TG-catalysed incorporation of Biotin Cadaverine
Transglutaminase activity associated with the cell surface was measured by the incorporation of 5-biotinamidopentylamine (biotin-cadaverine, BTC) into fibronectin (FN) as described previously by Jones *et al.* (1997). Modifications to this assay were developed and used in this investigation as represented in figure 3.6, where
i) *in situ* TG activity was measured on the cell surface of live cells after 2 hour incubation in the enzyme reaction containing biotin cadaverine and FN-coated sample wells;
ii) total TG activity was measured by the addition of cell homogenates corrected for equal amounts of protein in a 1 hour enzyme reaction containing biotin cadaverine and FN-coated sample wells; and
iii) cells that were allowed to grow and form monolayers were tested for TG activity on the cell surface through the incorporation of biotin cadaverine into endogenous cell substrates by leaving out the initial FN-coating step.
126.96.36.199.1. In situ Cell Surface TG activity
The *in situ* cell surface assay was carried out in 96-well plates which were coated with 5 µg/ml FN in 100 µl of 50 mM Tris-HCl (pH 7.4) (as described in section 188.8.131.52.) and blocked with 3% (w/v) BSA in 50 mM Tris-HCl (pH 7.4) for 30 min at 37°C. Cells were trypsinised, counted and pelleted by centrifugation, before resuspension at a concentration of 2 x 10^5 cells/ml in serum-free RPMI containing 0.132 mM biotin-cadaverine (Molecular Probes, Oregon, USA). 100 µl of the cell suspension was added to the FN-coated 96-well plates and incubated for 2 hours at 37°C, 5% (v/v) CO₂. Positive and negative control samples were also included, which consisted of a 0-20 ng/well *gpITG2* standard curve that was incubated in a reaction mixture consisting of 100 mM Tris buffer (pH 7.4), 10 mM DTT, 0.132 mM biotin-cadaverine and either 10 mM CaCl₂ (positive control) or 10 mM EDTA (negative control). After incubation, live cells were then gently washed twice with PBS (pH 7.4) containing 3 mM EDTA to terminate the reaction. Cells were then lifted in 100 µl of 0.1% (w/v) deoxycholate, 2 mM EDTA, in PBS (pH 7.4) for 10 minutes at room
Figure 3.6. Three biotin cadaverine assays
temperature, with gentle shaking. The remaining FN layer was washed three times with Tris-HCl (pH 7.4), and the wells were then blocked with 3% (w/v) BSA in Tris-HCl (pH 7.4) for 30 minutes at 37°C. Biotin-cadaverine incorporation into FN was detected by incubation for 2 hours at 37°C with an extravidin peroxidase conjugate diluted 1:5000 in the same blocking buffer. Colour development was timed for each well (between 1 min to 5 min), in a phosphate-citrate buffer with urea-\( \text{H}_2\text{O}_2 \) (one phosphate-citrate tablet with urea-\( \text{H}_2\text{O}_2 \) in 10ml \( \text{H}_2\text{O} \)) containing 7.5% (v/v) 3,3',5,5'-tetramethylbenzidine (TMB; Sigma). The reaction was stopped by the addition of 2.5 M \( \text{H}_2\text{SO}_4 \) and analysed colorimetrically in a SpectraFluor ELISA plate reader at 450 nm.
### 184.108.40.206.2. Total TG activity in Cell Homogenates
The total activity present in islets or cell homogenates was carried out in 96-well plates by firstly coating the wells with 5 \( \mu \text{g/ml} \) FN in 100 \( \mu \text{l} \) of 50 mM Tris-HCl (pH 7.4), then blocking wells with 3% (w/v) BSA in 50 mM Tris-HCl (pH 7.4) for 1 hour at room temperature. The islets or cell homogenates were lysed and sonicated as described above (section 220.127.116.11), before total protein estimations were carried out for each sample which was diluted to a final protein concentration of 20 \( \mu \text{g/ml} \) solution ready for immediate addition to the reaction mix. Samples were freshly prepared at the time of the assay and stored on ice until the enzyme reaction was allowed to start at 37°C. 100 \( \mu \text{l} \) of cell homogenate was incubated for 2 hours at 37°C (5% (v/v) \( \text{CO}_2 \)) in a reaction mixture consisting of 100 mM Tris buffer (pH 7.4), 10 mM DTT, 0.132 mM biotin-cadaverine and either 10 mM CaCl\(_2\) (positive control) or 10 mM EDTA (negative control) together with a \( \text{gpI/TG2} \) standard curve as described in section 18.104.22.168.1. The wells were then washed twice with PBS (pH 7.4) containing 3 mM EDTA to terminate the reaction, followed by a wash with Tris-HCl (pH 7.4), and the wells were then blocked with 3% (w/v) BSA in Tris-HCl for 30 minutes at 37°C. Biotin-cadaverine incorporation into FN was detected using extravidin peroxidase as described in section 22.214.171.124.1., and analysed colorimetrically in a SpectraFluor ELISA plate reader at 450 nm.
126.96.36.199.3. In situ Extracellular TG activity in Cell Monolayers
Cell monolayers were seeded at a density of $2 \times 10^5$ cells/well and allowed to settle and grow on the tissue culture plastic of 96-well plates between 24 to 48 hours. When ready for the detection of TG activity, serum-free RPMI containing 0.132 mM biotin-cadaverine, 10 mM DTT, and either 10 mM CaCl$_2$ (positive control) or 10 mM EDTA (negative control), was added to the live cells for 2 hours at 37°C (5% (v/v) CO$_2$). A gp/TG2 standard curve was also tested as described in section 188.8.131.52.1., and all wells were then washed twice with PBS (pH 7.4) containing 3 mM EDTA to terminate the reaction. Cells were then lifted in 100 µl of 0.1% (w/v) deoxycholate, 2 mM EDTA, in PBS for 10 minutes at room temperature, with gentle shaking. The remaining extracellular protein layer was washed three times with Tris-HCl (pH 7.4), and the wells were then blocked with 3% (w/v) BSA in Tris-HCl for 30 minutes at 37°C. Biotin-cadaverine incorporation into the endogenous extracellular cell substrates was detected using extravidin peroxidase as described in section 184.108.40.206.1., and analysed colorimetrically in a SpectraFluor ELISA plate reader at 450 nm.
220.127.116.11. In Situ TG-catalysed incorporation of FITC-cadaverine
Determination of *in situ* TG activity was carried out through the incorporation of fluorescein cadaverine (FITC-cadaverine, Molecular Probes) into live cells or freshly isolated islets of Langerhans. Cells or islets were seeded in 8-well chamber slides at a density of $2 \times 10^5$ cells/well or 50 islets per well in complete medium, then allowed to settle for 24 hours. During treatments, 0.5 mM FITC-cadaverine was added per well for either 4 or 18 hours at 37°C in 5% (v/v) CO$_2$. In some experiments, active-site directed inhibitors or EDTA was used to confirm Ca$^{2+}$-dependent TG-mediated catalytic incorporation of the FITC-cadaverine. Following incubation, cells and islets were gently washed three times in PBS (pH 7.4), followed by fixation and permeabilisation in ice cold (-20°C) methanol for 20 minutes, and two further washes using PBS (pH 7.4). Coverslips were placed on the slides using Vectashield mounting medium containing propidium iodide (Vecta Laboratories), and the slides were viewed for immunofluorescence using a Leica TCSNT confocal laser microscope.
system (LEICA, Germany) equipped with an argon krypton laser at 488 nm for fluorescein excitation. Semiquantitation of TG activity was obtained by using the mean fluorescent emissions per field (mV/μM²) from at least 9 non-overlapping 40 x magnification fields.
18.104.22.168. Immunostaining of Western blots with anti-FITC monoclonal antibody
For the detection of TG-mediated incorporation of fluorescein cadaverine into cell surface particulate and cytoplasmic proteins, live cells were treated with 0.5 mM FITC-cadaverine for 18 hours then homogenised, sonicated and electrophoresed using SDS-PAGE as described in section 22.214.171.124. Following western blot transfer (as described in section 126.96.36.199.), nitrocellulose membranes were blocked and immunoprobed with a mouse anti-FITC antibody diluted 1:200 in blocking buffer for 2 hours at room temperature with gentle shaking. Blots were washed, and then incubated with an anti-mouse-IgG-HRP conjugate diluted 1:1000 in blocking buffer for a further 2 hours. FITC-labelled protein substrates were then revealed by enhanced chemiluminescence as described in section 188.8.131.52.
184.108.40.206. In vitro peptide cross-linking TG assay
Measurement of the *in vitro* TG-mediated cross-linking of glutamine-rich peptides was performed using a colorimetric assay recently described by Trigwell *et al.*, (2004). Biotinylated TVQQEL peptide, and the negative control peptide TVNNEL was a kind gift from Dr. Phil Bonner and Dr. Susan Trigwell (Nottingham Trent University). Briefly, 250 μl of casein [1 mg/ml in 50 mM sodium carbonate (pH 9.8)] was added per well in a 96-well plate format (Nunc Maxisorp plates), covered with parafilm and allowed to coat the well overnight at room temperature. The wells were then rinsed three times with dH₂O and 250 μl of blocking solution [0.1% (w/v) BSA in 50 mM sodium carbonate (pH 9.8)] was added per well followed by incubation at 37°C for 1 hour. The wells were washed three times with dH₂O and 150 μl reaction buffer [100 mM Tris-HCl (pH 8.5) containing 13.3 mM DTT, 5 μM biotinylated
TVQQEL peptide and either 5 mM Ca$^{2+}$ or 5 mM EGTA] was added to each well. Enzyme reactions were initiated by the addition of 50 $\mu$l diluted cell homogenates or $gp\text{fTG2}$ standard to each well, and incubated for 1 hour at 37°C. To stop the reaction, wells were emptied and washed three times with dH$_2$O as before. Detection of the biotinylated peptide into casein was possible by the addition of 200 $\mu$l probing solution [extravidin peroxidase diluted 1:10 000 in 100 mM Tris-HCl (pH 8.5) containing 1% (w/v) BSA] to each well and incubated for 1 hour at 37°C. Wells were washed three times with dH$_2$O as before, and extravidin peroxidase binding was revealed with the addition of 200 $\mu$l developing solution [100 mM sodium acetate (pH 6) containing 75 $\mu$g/ml 3,3’,5,5’-tetramethylbenzidine and 3% (v/v) H$_2$O$_2$] per well. The blue colour development was stopped in the well by the addition of 50 $\mu$l 10M H$_2$SO$_4$. A 0-20 ng/well $gp\text{fTG2}$ standard curve that was incubated in the reaction buffer was used to quantify the amount of TG activity. Biotinylated peptide cross-links into casein were determined colorimetrically in a SpectraFluor ELISA plate reader at 450 nm.
### 3.2.7. Turnover of Extracellular Matrix Proteins
#### 220.127.116.11. Detection of Extracellular Matrix Proteins by ELISA
5637 pre-conditioned matrices were prepared, as described in section 3.4.2., with the cells being seeded at a concentration of $1.5 \times 10^4$ cells/well in 96-well plates. The rate of extracellular matrix protein (fibronectin, laminin and collagen) turnover was detected at 24 hour, 48 hour and 72 hour time-points. Following incubation, growth medium was removed and the cells were washed three times with PBS (pH 7.4) and then blocked with blocking solution [5% (w/v) fat-free dried milk in PBS, pH 7.4] for 30 minutes. The cells were then fixed with 3.7% (w/v) paraformaldehyde in PBS, pH 7.4 for 15 minutes at room temperature. Plates were then washed three times with PBS (pH 7.4), and the primary antibodies: anti-rabbit fibronectin (Sigma), anti-rabbit laminin 1 (DAKO) and anti-mouse collagen IV (Sigma) were diluted 1: 1000 respectively in 100$\mu$l of the same blocking buffer and incubated at 37°C for 2 hours. This was followed by another series of three washes with PBS (pH 7.4), and the secondary antibody (rabbit IgG-HRP or mouse IgG-HRP respectively) diluted 1:2000
in blocking buffer was added to each well (100µl/well) prior to an extra 2 hour incubation at room temperature followed by three washes with PBS (pH 7.4) as before. HRP was detected by addition of 100µl/well of tetramethylbenzidine (TMB, Sigma) according to the manufacturer’s instructions and incubation for 10 minutes at room temperature. The reaction was stopped at equal times for each reaction by the addition of 2.5 M H$_2$SO$_4$ at 50 µl/well, and then read colorimetrically at an absorbance of 450 nm on a SpectraFluor plate reader.
18.104.22.168. **Detection of Extracellular Matrix Proteins by Immunofluorescence**
5637 cells were seeded at a concentration of 1 x $10^5$ cells/well in 8-well glass chamber slides (Lab-Tek, Naperville, USA) and prepared over 72 hours as described in section 3.4.2. The cells were fixed at 24 hour, 48 hour and 72 hour time-points in 3.7% (w/v) paraformaldehyde in PBS (pH 7.4) while in the chamber wells for 15 minutes at room temperature, followed by permeabilisation using 0.1% (v/v) Triton-X 100 in PBS (pH 7.4). Cell monolayers were then blocked with 3% (w/v) BSA in PBS (pH 7.4) for 30 minutes at 37°C, prior to the addition of either anti-mouse fibronectin (Sigma) diluted 1:200 or anti-rabbit laminin 1 (DAKO) diluted 1:100 in the same blocking buffer. Cells were incubated in the presence of the antibody for 2 hours and washed twice with PBS (pH 7.4). Following this, cells were incubated with either anti-mouse IgG-TRITC (DAKO) or anti-rabbit IgG-TRITC (DAKO) respectively, diluted 1:1000 in blocking buffer for 2 hours at 37°C and then washed 3 times with PBS (pH 7.4). Slides were mounted with a coverslip using Vectashield mounting medium (Vecta Laboratories) or Fluorsave mounting reagent (Calbiochem). Stained cells were viewed for immunofluorescence using a Leica TCSNT confocal laser microscope system (LEICA, Germany) equipped with an argon krypton laser at 647 nm for rhodamine excitation. Semi-quantitation of fibronectin and laminin protein expression was obtained by using the mean fluorescent emissions per field (mV/µm$^2$) from at least 9 non-overlapping 40 x magnification fields.
3.2.8. **Cell Viability, Proliferation and Apoptosis Assays**
22.214.171.124. **Trypan blue exclusion test**
Cell counts and viability estimations were performed routinely, using the trypan blue exclusion technique by means of a 0.22µm sterile filtered 0.5% (w/v) trypan blue solution and a haemocytometer. An equal volume of the cell suspension and stain were mixed in a sample well by the pulsing of a pipette - this also ensured that clumps of cells were broken up to allow for a more accurate cell count. Non-viable cells stained blue due to the loss of their membrane integrity and, hence, allowed the passage of dye into the cell. Viable cells remained colourless.
126.96.36.199. **Colorimetric MTS Cell Viability / Proliferation**
Cell proliferation and viability were also measured using the CellTiter AQ One Solution Cell Proliferation™ assay kit (Promega, Southampton, UK) which is a colorimetric method for determining the number of viable cells. The CellTiter AQ reagent contains a novel tetrazolium compound [3-(4,5-dimethylthiazol-2-yl)-5-(3-carboxymethoxyphenyl)-2-(4-sulfophenyl)-2H-tetrazolium, inner salt; MTS] and an electron coupling reagent (phenazine ethosulfate; PES). PES has enhanced chemical stability which allows it to be combined with MTS to form a stable solution. This MTS tetrazolium compound (Owen’s reagent) is bio-reduced by cells into a coloured formazan product that is soluble in tissue culture medium. This conversion is presumably accomplished by NADPH or NADH produced by dehydrogenase enzymes in metabolically active cells. The assay was performed according to the manufacturer’s instructions. Briefly, BRIN-BD11 cells were seeded in quadruplicate at a $1 \times 10^5$ cells/well density in a 96-well microtiter plate and allowed to grow overnight in fully supplemented media at 37°C, 5% (v/v) CO$_2$. Assays were then performed after time-point treatments, in reduced lighting, by the addition of 20 µl of CellTiter AQ reagent into the relevant samples of 100µl of culture medium in 96-well plates. These samples were then incubated in a humidified-atmosphere incubator at 37°C and with 5% (v/v) CO$_2$ for between 1 to 4 hours, before the absorbance was read at 492nm using a SpectraFluor plate reader.
188.8.131.52. Colorimetric Caspase-3 activity
Programmed cell death was assessed using the commercially available CaspACE™ Assay system (Promega, Southampton, UK) according to the manufacturer’s instructions. Briefly, BRIN-BD11 cells were seeded on the relevant matrices in T25 tissue culture flasks at a density of $2 \times 10^6$ cells/flask and allowed to proliferate overnight. After daily treatments, each sample was corrected to the amount of total protein present. The apoptotic index of the cell line was measured by the ability of caspase-3 to cleave Ac-DEVD-p-nitroaniline substrate and release a chromophore, p-nitroaniline (pNA). Apoptosis in the positive controls was induced using 1 $\mu$M of the protein kinase inhibitor staurosporine, whereas the irreversible and cell-permeable pan-caspase inhibitor, Z-VAD-FMK, was added (50 $\mu$M final concentration) to the negative control together with 1 $\mu$M staurosporine. The amount of pNA liberated/µg of protein/hour was measured at an absorbance of 405 nm using a SpectraFluor plate reader.
184.108.40.206. Immunofluorescent Detection of Caspase-3 activity
Cells were seeded at a density of $2 \times 10^4$ cells/well in 8-well glass chamber slides (Lab-Tek, Naperville, USA) and grown over 72 hours to confluency with respective treatments (added fresh every 24 hours) and fixed in 3.7% (w/v) paraformaldehyde in PBS (pH 7.4) while in the chamber wells for 15 minutes at room temperature, followed by 10 minutes permeabilisation using 0.1% (v/v) Triton-X 100 in PBS (pH 7.4). Cell monolayers were then blocked with 3% (w/v) BSA in PBS (pH 7.4) for 30 minutes at 37°C, prior to the addition of anti-rabbit cleaved caspase-3 (Asp 175) antibody (Cell Signalling Technology) diluted 1:200 in the same blocking buffer. Cells were incubated in the presence of the antibody for 2 hours and washed twice with PBS (pH 7.4). Following this, cells were incubated with either anti-rabbit IgG-FITC (DAKO) or anti-anti-rabbit IgG-TRITC (DAKO) diluted 1:1000 in blocking buffer for 2 hours at 37°C and then washed 3 times with PBS (pH 7.4), prior to mounting with Vectashield mounting medium containing propidium iodide (Vecta Laboratories). Stained cells were viewed for immunofluorescence using a Leica
TCSNT confocal laser microscope system (LEICA, Germany) equipped with an argon krypton laser at 647 nm and 488 nm for rhodamine and fluorescein excitation. Semiquantitation of caspase-3 expression was obtained by using the mean fluorescent emissions per field (mV/μM²) from at least 9 non-overlapping fields.
### 3.2.9. β-Cell Attachment, Spreading and Aggregation Assays
#### 220.127.116.11. May Grunwald/Giemsa Stain Assay
BRIN-BD11 cells were seeded at a density of $1 \times 10^5$ cells/well on relevant matrices (as described in section 18.104.22.168), in the appropriate serum-free medium and allowed to spread and/or attach for 1 hour. The cells were gently washed twice with PBS (pH 7.4) and then fixed by the addition of 3.7% (w/v) paraformaldehyde in PBS (pH 7.4) for 15 minutes at room temperature before being washed twice with PBS (pH 7.4). Following fixation, cells were permeabilised by the addition of 0.1% (v/v) Triton X-100 in PBS (pH 7.4) for 15 minutes at room temperature and washed twice with PBS (pH 7.4). Visualisation of the attached or spread cells required a two-step staining procedure which stained both the cytoplasm and nucleus. Cells were stained for their cytoplasm with 0.25% (w/v) May-Grunwald in methanol, for 15 minutes at room temperature. This stain was then removed and the samples washed three times with PBS (pH 7.4). Nuclear staining was achieved using 0.4% (w/v) Giemsa stain, in methanol (diluted 1:50 with distilled water), which was then added to the cells and incubated for 20 minutes at room temperature in a fume-hood. This stain was removed and the plates washed three times with distilled water and left to air dry. The cells were then viewed at x 20 magnification using a Nikon CK2 inverted light microscope. Nine separate, non-overlapping random fields per triplicate sample were photographed with an Olympus DP10 digital camera and quantified using the Leica QWin Image Analysis Software (Leica Lasertechnik, Heidelberg, Germany). Cell attachment was determined by counting the number of cells present per micrograph field, and cell spreading was assessed by the sum all single cell-spread areas in a micrograph field and represented as total cell spread area (um²). Spread cells were distinguished and characterised based upon the presence of a clear halo of cytoplasm surrounding their nucleus, following the rearrangement in the actin skeleton, as previously described by Jones *et al.*, (1997).
22.214.171.124. Cytoskeletal Staining with FITC-phalloidin
Actin stress fibres in BRIN-BD11 cells were visualised using fluorescein isothiocyanate (FITC)-labelled phalloidin (Sigma). Pre-conditioned 5637 and FN matrices were prepared in 8-well glass chamber slides (Lab-Tek, Naperville, USA) as described previously in section 3.2.4. BRIN-BD11 cells ($2 \times 10^5$ cells/well) were then seeded onto the matrices and allowed to attach and spread in serum-free RPMI (10 mM glucose) for 18 hours at 37°C, 5% (v/v) CO$_2$, 95% (v/v) air. The chamber wells were then rinsed gently with PBS (pH 7.4) and fixed in 3.7% (w/v) paraformaldehyde in PBS (pH 7.4) for 15 minutes at room temperature, followed by 10 minutes permeabilisation using 0.1% (v/v) Triton-X 100 in PBS (pH 7.4). The β-cells were then blocked with 3% (w/v) BSA in PBS (pH 7.4) for 30 minutes at 37°C, prior to the addition of 20 µg/ml FITC-phalloidin in the same blocking buffer for 20 minutes at room temperature. Labelled cells were then washed three times with PBS (pH 7.4) and the slides were mounted with a coverslip using Vectashield mounting medium (Vecta Laboratories). Stained cells were viewed for immunofluorescence using a Leica TCSNT confocal laser microscope system (LEICA, Germany) equipped with an argon krypton laser at 488 nm fluorescein excitation.
126.96.36.199. Three Dimensional (3-D) β-Cell Aggregation Assay
Pre-conditioned 5637 matrices grown over 3 days were prepared in 8-well glass chamber slides (Lab-Tek, Naperville, USA) as described previously in section 188.8.131.52., except that before lysis, the cells were labelled with CM-Dil red fluorescent Cell Tracker (Molecular Probes). CM-Dil is a long-chain lipophilic carbocyanine suitable for long-term cellular labelling of intracellular membranes, liposomes and lipoproteins, while being retained in cells through permeabilisation and fixation steps. The CM-Dil reagent was re-suspended in DMSO, according to the manufacturer’s instructions and was found to label 5637 cells optimally at a final concentration of 1 µM in RPMI at 37°C for 5 minutes. After labelling, the pre-conditioned 5637 matrices were washed three times with PBS (pH 7.4), and then lysed as described in section 184.108.40.206.
Freshly isolated rat islets (50 islets per well) or BRIN-BD11 cells ($2 \times 10^5$ cells/well) were seeded on respective CM-Dil-labelled lysed 5637 matrices, and allowed to attach and aggregate over 24 hours in complete medium containing 5 mM glucose or 20 mM glucose at $37^\circ C$, 5% (v/v) CO$_2$, 95% (v/v) air. BRIN-BD11 $\beta$-cells were then treated with 1 $\mu$M CM-Dil reagent in RPMI at $37^\circ C$ for 5 minutes. The chamber wells were then rinsed gently with PBS (pH 7.4) and fixed in 3.7% (w/v) paraformaldehyde in PBS (pH 7.4) for 15 minutes at room temperature, followed by 10 minutes permeabilisation using 0.1% (v/v) Triton-X 100 in PBS (pH 7.4). Rat islets and $\beta$-cells were then blocked with 3% (w/v) BSA in PBS (pH 7.4) for 30 minutes at $37^\circ C$, prior to the addition of guinea pig anti-swine insulin antibody (DAKO) diluted 1:200 in the same blocking buffer. Cells were incubated in the presence of the insulin antibody for 2 hours at $37^\circ C$ and washed twice with PBS (pH 7.4). Following this, cells were incubated with anti-rabbit IgG-FITC (DAKO) diluted 1:1000 in blocking buffer for 2 hours at $37^\circ C$ and then gently washed 3 times with PBS (pH 7.4), prior to coverslip mounting with Vectashield mounting medium (Vecta Laboratories). Stained cells were viewed for immunofluorescence using a Leica TCSNT confocal laser microscope system (LEICA, Germany) equipped with an argon krypton laser at 647 nm and 488 nm for rhodamine and fluorescein excitation respectively. 3-D images were captured using the x, y, z settings in an area of 62500 $\mu M^2$ on the Leica QWin Image Analysis software. Semiquantitation of TG2 protein expression was obtained by using the mean fluorescent emissions per field (mV/$\mu M^2$) from at least 9 non-overlapping fields.
### 220.127.116.11. Cell Adhesion Assay assessing Focal Adhesion Kinase (FAK)
The BRIN-BD11 cells were tested for FAK-mediated cell adhesion using western blotting. Pre-conditioned 5637 and FN matrices were prepared in 6-well plates as described in section 3.2.4. The BRIN-BD11 cells were trypsinised and seeded onto these wells at a density of $1 \times 10^6$ cells/ml in serum free RPMI for 3 hours adhesion. The cells were then removed from the matrix-containing wells using a cell scraper, and lysed for SDS-PAGE analysis as described in section 18.104.22.168. Following western blot transfer (as described in section 22.214.171.124.), nitrocellulose membranes were
blocked and immunoprobed with anti-rabbit Tyr (p)$^{397}$-FAK antibody diluted 1:200 in blocking buffer for 2 hours at room temperature with gentle shaking. Blots were washed, and then incubated with an anti-rabbit-IgG-HRP conjugate diluted 1:1000 in blocking buffer for a further 2 hours. The amount of phosphorylated FAK was then revealed by enhanced chemiluminescence as described in section 126.96.36.199. Blots were then stripped and re-probed with an anti-rabbit total FAK antibody (1:200), and an anti-mouse $\beta$-tubulin antibody (1:200) for 2 hours at room temperature with gentle shaking. Blots were washed, and then incubated with anti-rabbit-IgG-HRP conjugate and anti-mouse-IgG-HRP conjugate respectively, and diluted 1:1000 in blocking buffer for a further 2 hours. The amount of total FAK and $\beta$-tubulin standards were then revealed by enhanced chemiluminescence as described in section 188.8.131.52. Densitometric analysis of the immunoreactive signals was quantified using the AIDA LAS 3000 software.
The amount of phosphorylated FAK in BRIN-BD11 cells using a similar adhesion assay was also visualised using immunofluorescence. Pre-conditioned 5637 and FN matrices were prepared in 8-well glass chamber slides (Lab-Tek, Naperville, USA) as described in section 3.2.4. BRIN-BD11 cells were trypsinised and seeded onto these wells at a density of $2 \times 10^5$ cells/ml in serum free RPMI for 3 hours adhesion. The attached $\beta$-cells were rinsed twice with PBS (pH 7.4) and fixed in 3.7% (w/v) paraformaldehyde in PBS (pH 7.4) while in the chamber wells for 15 minutes at room temperature, followed by 10 minutes permeabilisation using 0.1% (v/v) Triton-X 100 in PBS (pH 7.4). Cell monolayers were then blocked with 3% (w/v) BSA in PBS (pH 7.4) for 30 minutes at 37°C, prior to the addition of anti-rabbit Tyr (p)$^{397}$-FAK antibody diluted 1:200 in the same blocking buffer. Cells were incubated in the presence of the antibody for 2 hours at 37°C and washed twice with PBS (pH 7.4). Following this, cells were incubated with anti-rabbit IgG-FITC diluted 1:1000 in blocking buffer for 2 hours at 37°C and then washed 3 times with PBS (pH 7.4), prior to mounting with Vectashield mounting medium containing propidium iodide (Vecta Laboratories). Stained cells were viewed for immunofluorescence using a Leica TCSNT confocal laser microscope system (LEICA, Germany) equipped with an argon krypton laser at 647 nm and 488 nm for rhodamine and fluorescein excitation.
3.2.10. Measurement of Insulin
184.108.40.206. Acute Glucose Stimulated Insulin Release in BRIN-BD11 Cells
BRIN-BD11 cells were seeded in a 24-well plate at a density of $2.5 \times 10^4$ cells/well. They were left to settle for 24 hours and then pre-treated for 1 hour with 250 $\mu$M TG inhibitors (R281 and R283). The medium was then removed and the cells washed once in 500 $\mu$l Gey and Gey buffer (see table 3.4), followed by an incubation for 1 hour 30 min at 37°C in 500 $\mu$l Gey and Gey buffer (supplemented with 0.1% BSA (w/v) and 0.25 mM D-glucose) in order to stabilise and lower their insulin secreting mechanisms. After incubation the cells were rinsed once in buffer and acute glucose stimulated insulin secretion was carried out in 300 $\mu$l Gey and Gey buffer (supplemented with 0.1% BSA (w/v) and a glucose dose curve containing the inhibitor treatments) for 1 hour 30 min at 37°C. After incubation, 250 $\mu$l of the cell supernatant was removed and used in the $[^{125}\text{I}]$-insulin radioimmunoassay.
220.127.116.11. Acute Glucose Stimulated Insulin Release in Rat Islets
Gey and Gey buffer (2 mM Glucose, see table 3.4) was used to isolate rat islets. The assay sample buffer was made up with 0.1% BSA in 100 mL of Gey and Gey Buffer (see Table 3.4). Treatments (Control, 500 $\mu$M R281, 500 $\mu$M R283) were prepared so that 5 $\mu$l (1:100) was added per vial containing 500 $\mu$l sample buffer. 3 large rounded islets were hand-picked to each vial (6 replicates per treatment) and stimulated to secrete insulin for 1 hour in a 37°C water bath. Treatments used were 2mM Glucose, 20 mM Glucose and 25 mM KCl. Before incubation the vials were gassed with O$_2$:CO$_2$ (95%:5%) above the surface of the buffer and capped to maintain the pH. After incubation, 50 $\mu$l of the sample buffer was then added to 250 $\mu$l Insulin Assay Buffer. Samples were then run in duplicate in an $[^{125}\text{I}]$-insulin radioimmunoassay.
Figure 3.7. Principle of the measurement of acute glucose-stimulated insulin secretion, using $[^{125}\text{I}]\text{-Insulin Radioimmunoassay}$.
Table 3.4. Constituents of Buffers for use in Islet Isolations and Insulin Assays
| Gey and Gey Buffer (x10) |
|--------------------------|
| NaCl | 65 g |
| NaHCO₃ | 22.7 g |
| KCl | 3.7 g |
| Make up 1 litre in distilled water. |
| Gey and Gey Buffer (x1) |
|-------------------------|
| 100ml 10X Gey and Gey Buffer |
| 895ml distilled water |
| Add 1 aliquot M |
| Add 1 aliquot P |
| Add appropriate amount of glucose |
| Gas with CO₂/O₂ |
| Whilst gassing add 1ml 1M CaCl₂ dropwise |
| Gas for a total of 10-15 minutes |
| M |
|--------------------------|
| MgCl₂·6H₂O | 10.15 g |
| MgSO₄·7H₂O | 3.7 g |
| Make up to 100ml with distilled water. |
| 1 aliquot = 2ml |
| P |
|--------------------------|
| Na₂HPO₄ | 7.1 g |
| KH₂PO₄ | 2.0 g |
| Make up to 100ml with distilled water. |
| 1 aliquot = 2ml |
| Insulin Assay Buffer |
|--------------------------|
| Na₂HPO₄ | 2.85 g |
| KH₂PO₄ | 0.675 g |
| NaCl | 4.5 g |
| EDTA | 1.86 g |
| BSA | 2.5g (add last) |
| Make up to 500ml with distilled water. |
18.104.22.168. $[^{125}\text{I}]$-Insulin Radioimmunoassay
The radioimmunoassay (RIA) was carried out using 50 µl from six separate replicate samples. Crystalline human insulin (8 ng/ml) was serially diluted in insulin assay buffer (see table 3.4) to create a standard curve (0, 0.25, 0.5, 1, 2, 4, and 8 ng/ml). To each of the samples and the standard curve 50 µl of guinea pig anti-bovine insulin antibody (ICN, final dilution 1:20 000 in insulin assay buffer) and 50 µl of $[^{125}\text{I}]$-insulin (Linco, 0.5 µCi in 10 ml insulin assay buffer) was added. The tubes were mixed and left to incubate overnight at 4 °C. The following day, 50 µl of Sac-Cel (anti-guinea pig coated cellulose, diluted 1:1 with Insulin Assay Buffer) was added to the tubes and left to incubate at room temperature for 30 min in order to precipitate the insulin bound to the antibody. After incubation, 1 ml of distilled water was added to each tube and the suspension was centrifuged at 1000 x g for 5 min. The water was then aspirated and the amount of radioactivity in the remaining pellets was measured using a WALLAC gamma counter. The standard curve was constructed and used to calculate the original insulin content of each sample.
22.214.171.124. Immunofluorescent Detection of Insulin Content
Cells were seeded at a concentration of 1 x $10^5$ cells/well in 8-well glass chamber slides (Lab-Tek, Naperville, USA) and grown over 48 hours to confluency with respective treatments and fixed in 3.7% (w/v) paraformaldehyde in PBS (pH 7.4) while in the chamber wells for 15 minutes at room temperature, followed by permeabilisation using 0.1% (v/v) Triton-X 100 in PBS (pH 7.4). Cell monolayers were then blocked with 3% (w/v) BSA in PBS (pH 7.4) for 30 minutes at 37°C, prior to the addition of guinea pig anti-swine insulin antibody (DAKO) diluted 1:200 in the same blocking buffer. Cells were incubated in the presence of the antibody for 2 hours and washed twice with PBS (pH 7.4). Following this, cells were incubated with either anti-rabbit IgG-FITC (DAKO) or anti-rabbit IgG-TRITC (DAKO) diluted 1:1000 in blocking buffer for 2 hours at 37°C and then washed 3 times with PBS (pH 7.4), prior to coverslip mounting with Vectashield mounting medium (Vecta Laboratories) or Fluorsave mounting reagent (Calbiochem). Stained cells were viewed for immunofluorescence using a Leica TCSNT confocal laser microscope.
system (LEICA, Germany) equipped with an argon krypton laser at 647 nm and 488 nm for rhodamine and fluorescein excitation. Semi-quantitation of TG2 protein expression was obtained by using the mean fluorescent emissions per field (mV/μM$^2$) from at least 9 non-overlapping 40 x magnification fields.
3.2.10. Molecular Biology Techniques
126.96.36.199. RNA Extraction
Total RNA was extracted using the RNEasy minikit (Qiagen) according to the manufacturer’s protocol or Trizol™ (Invitrogen, Paisley, UK). For tissue samples in Trizol™, 100-200 mg of snap frozen tissue in liquid nitrogen was crushed using a pestle and mortar in 2 ml of Trizol™ reagent until completely homogenised. For cell samples, a confluent T75 flask of cells that had previously been washed twice with PBS (pH 7.4) was immersed in 2 ml of Trizol™ reagent and the cells lysed by passing through a small gauge needle. Typically, 2 T75 flasks were pooled to gain enough RNA for analysis. RNA was phase separated by the addition of 400 μl of chloroform (200 μl/ml of Trizol™), the tubes capped and shaken vigorously by hand for 15 secs. Samples were incubated at room temperature for 2-3 mins and centrifuged at 12,000 x g for 15 mins at 4°C. The upper aqueous layer containing RNA was removed and transferred to a fresh tube. To this was added 1ml of isopropanol (0.5 ml/ml of Trizol™) and samples incubated at 4°C for at least 30 mins or stored overnight at –20°C. Samples were then centrifuged at 12,000 x g for 10 mins at 4°C. The supernatant was discarded and the RNA pellet washed with 2 ml of 70% ethanol with vortexing to loosen the pellet. Samples were centrifuged at 7,500 x g for 5 mins at 4°C and the wash procedure repeated. The supernatant was removed and the pellet air dried. RNA pellets were re-suspended in a small volume of DEPC (diethylpyrocarbonate) treated water and incubated for 10 mins at 65°C to ensure that the pellet was completely dissolved. Concentration and purity of the RNA was assessed by spectrophotometry at 260 nm and 280 nm. To prevent ribonuclease contamination of RNA samples, disposable sterile plastic consumables were used whenever possible, working surfaces were wiped in 0.1% (w/v) KOH, and distilled
water used was treated with 0.1% (w/v) diethyl pyrocarbonate (DEPC) for 2 hours and autoclaved prior to use.
188.8.131.52. Determination of RNA concentration and purity
Samples were diluted 1/100 in distilled water, loaded on quartz micro-cuvettes, and readings were recorded at 260 nm and 280 nm. RNA purity was assessed by the ratio of $A_{260\text{nm}} / A_{280\text{nm}}$. Taking 1 $A_{260}$ unit that corresponds to 50 $\mu$g/ml, the concentration of RNA was determined using the following formula: RNA ($\mu$g/ml) = $A_{260\text{nm}} \times 50 \times$ dilution factor. RNA solutions with a $A_{260\text{nm}} / A_{280\text{nm}}$ ratio $\geq 1.7$ were considered free of phenol, DNA and proteins, and hence suitable for further experimentation.
184.108.40.206. Denaturing agarose gel electrophoresis of total RNA
RNA (20 $\mu$g) was electrophoresed on a 1.2% (w/v) ultra pure agarose/1x morpholinepropane-sulfonic acid (MOPS)/ 2% (v/v) formaldehyde gel. RNA samples were prepared by combining 20 $\mu$g of RNA with 25 $\mu$l of RNA sample buffer [containing 80% w/v deionised formamide, 8% (v/v) formaldehyde, 50 $\mu$l 10x MOPS buffer, 38$\mu$g/ml ethidium bromide, 3.5% (v/v) Ficoll, 10 mM EDTA, 0.05% (w/v) bromophenol blue] and heated at 65°C for 15 min. Prepared RNA was pipetted into the sample wells and electrophoresis was performed at 90 V until the bromophenol blue front had migrated approximately ¾ of the length of the gel. The gel was viewed under ultraviolet (UV) light to verify loading and RNA integrity by the presence of intact 28S and 18S ribosomal bands at 4.5 kb and 1.9 kb respectively with an intensity ratio of 2:1.
220.127.116.11. Northern Blotting
Resolved RNA was then transferred to Hybond N nylon membranes (Amersham, Buckinghamshire, UK) by capillary blotting. The Northern transfer apparatus
consisted of a glass plate placed over a plastic tray which served as a reservoir of 20% SCC (3 M NaCl, 0.3 M sodium citrate) pH 7.0. A 3MM paper wick (Whatman, Kent, UK) was constructed and placed on the glass plate so that the overhanging edges were completely immersed in the reservoir below. The RNA gel was inverted and placed onto the wick, and the entire perimeter of the gel was covered in parafilm to avoid short-circuiting. The nylon membrane was applied to the upper surface of the gel ensuring that no air bubbles were trapped between the surfaces, and several sheets of 3 MM paper and approximately 10 cm of paper towels were placed over the membrane. The assembly was completed by the addition of 1kg of weight on top of the paper towels, and transfer was allowed to proceed overnight. Once transfer was complete, the apparatus was disassembled, the membrane was marked to identify the position of the sample wells and the ribosomal bands, and the RNA was fixed to the filter by UV irradiation (70 mJ/cm$^2$) using a UV cross-linker (Amersham, Little Chalfont, UK).
### 18.104.22.168.1. Random priming of cDNA probes
Specific random primed DNA probes were labelled from the mouse tissue transglutaminase DNA sequence described by Johnson *et al.*, (1997), refer to Chapter 5. Purified cDNA (12.5 ng) was random-primed with $^{32}$P-labeled dCTP (Redivue, Amersham) using the Prime-a-Gene system (Promega) according to the manufacture’s protocol. Unincorporated nucleotides were removed using Sephadex G50 Nick Columns™ (Amersham Pharmacia, Buckinghamshire, UK) according to the manufacturer’s protocol, and the random primed cDNA probe was denatured by boiling for 3 min and kept on ice to prevent re-annealing prior to addition to the hybridisation solution.
### 22.214.171.124.2. Northern Hybridisation of cDNA probes and autoradiography
Membranes where pre-hybridised in ExpressHyb hybridisation solution (Clontech) at a probe specific temperature for 1 hour. Hybridisation was performed under the same conditions with the addition of labelled probe to 1x $10^6$ cpml/ml for 18 hours.
Depending on the probe, filters were then washed to a stringency of 0.2%/0.2 x saline-sodium phosphate-ethylenediaminetetra-acetic acid at temperatures up to 65 °C for 1 hour and then exposed to Kodak XOMAT AR/LS film for up to 7 days in intensifying screens. Loading was corrected by reference to the optical density of ethidium bromide-stained 18S rRNA and the housekeeping gene cyclophillin. Determination of transcript size was carried out by reference to RNA molecular weight markers (Promega, Madison, WI), and was confirmed by visual comparison to the ribosomal RNA subunits. Nylon membranes were routinely stripped in boiling 0.1% (w/v) SDS for up to half an hour.
126.96.36.199. **Agarose gel electrophoresis of DNA**
Agarose gels were prepared by dissolving 1 g of agarose (Bioline, UK) in 50ml of 1x Tris-Acetate EDTA buffer [TAE: 40mM Tris, 0.114% (v/v) glacial acetic acid and 1mM EDTA]. Agarose was dissolved in TAE by heating the solution twice in a microwave at medium power for 1 min each time. Once cooled, 5µl ethidium bromide was added to the solution to a final concentration of 0.5 mg/ml, and the gels was cast in a Bio-Rad DNA-Sub electrophoresis tray (Bio-Rad, Hampstead, UK) and allowed to set for 50 minutes. DNA samples were supplemented with 10x DNA loading buffer [20% (v/v) ficoll 400, 100 mM EDTA, 1% (w/v) SDS, 0.25% (w/v) bromophenol blue, 0.25% xylene cyanol], mixed and applied into the sample wells. Electrophoresis was performed at 90V for 80 minutes in 1x TAE running buffer. DNA was visualised using a UV transilluminator at 254 nm.
188.8.131.52. **RT-PCR Analysis**
RNA was isolated and quantified for use in reverse transcription as described in section 184.108.40.206. For each sample, identical amounts of RNA were reverse-transcribed using a first strand cDNA synthesis kit containing Sensiscript Reverse Transcriptase (Qiagen) as follows: fresh master mix (Qiagen) was prepared on ice containing 2 µl dNTP mix (5 mM), 2 µl 10x buffer RT, 1 µl RNase inhibitor (10
U/μl) and 1 μl sensiscript reverse transcriptase in 11 μl nuclease-free H₂O, to which 1 μl oligo-dT primer (10 μM) (Promega) and 2 μl template RNA (50 ng) was added last. The 20 μl samples were then incubated for 60 minutes at 37 °C for the reverse transcription reaction to proceed. 10 μl of this reaction was then added to successive polymerase chain reaction (PCR) analysis in a total volume of 50 μl.
The resultant cDNA after first strand synthesis was then amplified in a sterile microfuge tube using Go *Taq* DNA polymerase (Promega), which was added last to the master mix (Promega) for each primer pair (see Table 3.5).
**Table 3.5. Constituents of the Reverse Transcription PCR reaction**
| PCR Reaction Mix | Volume per 50 μl PCR reaction |
|-------------------------------------------------------|-------------------------------|
| 10x reaction buffer with 15 mM MgCl₂ | 5 μl |
| PCR Nucleotide Mix (10mM each dNTP) | 1 μl |
| Upstream primer | 0.5 μl |
| Downstream primer | 0.5 μl |
| *Taq* DNA polymerase | 0.25 μl |
| Nuclease-free H₂O | 32.75 μl |
| Template cDNA (50 ng) | 10 μl |
A screening of the expression of TG1, TG2 and TG3 was carried out in rat β-cells using RT-PCR primers that were designed to bind to different exons, thereby eliminating the possibility of chromosomal DNA artefacts as follows:
5′TG1 (CTGTCACCAACTTCAACTC), 3′TG1 (TCATCCAGCAGTCGTTCC),
5′TG2 (CACACCGCAGGAGAAAGAG), 3′TG2 (CACGAAGGACGCATCATAC),
5′TG3 (TACAACGGATGGCAGGTG), 3′TG3 (GCATTAACGGAAGCAGGAC).
Positive controls of TG2 cDNA was a kind gift from Peter Davies (Houston, USA), while TG1 and TG3 cDNA positive controls were a kind gift from Kiyotaka Hitomi (Nagoya, Japan).
The shortened alternatively spliced variants of rat TG2 were assessed in BRIN-BD11 cells by designing primers (Sigma, Genosys) according to experiments described by Monsonego et al., (1997) and Tolentino et al., (2004), where all base pair designations referred to Genebank locus AF106325, rat TG2.
5’TG (ACTTTGACGTGTTTGCCCAC, bp 1470-1489) recognises an upstream homologous sequence in full length TG-2 (TG-L) and truncated TG2 (TG-S) transcripts.
3’TG-L (CAATATCAGTCGGGAACAGGTC, bp 1961-1982) recognises a downstream TG-L mRNA-specific sequence.
3’TG-S (GCTGAGCTCTGGGTGAAGGCACAG, bp 1861-1872 and 2083-2093) recognises a downstream TG-S mRNA-specific sequence.
3’TG-S primer bridges the junction created by the absence of bp 1873-2082 (a sequence present exclusively in TG-L). The 3’TG-S sequence will hybridise to both the TG-L and TG-S-specific sequences, while the full length primer will hybridise only to the TG-S mRNA sequence. The predicted fragment of 5’TG-3’TG-L was 512bp for TG-L only, and of 5’TG-3’TGS it was 410bp for TG-S only.
All base pair designations for GAPDH-specific primers refer to Genebank locus AF106860. The upstream primer is designated:
5’GPD (GGCTGCCTCTCTCTTGTGAC, bp 903-921),
and the downstream primer is designated:
3’GPD (GGCCGCCTGCTTCACCAC, bp 1624-1641).
The PCR reaction for rat TG1, TG2 and TG3 screening was performed with conditions of one denaturation cycle of 95 °C (2 min), 35 annealing cycles each of 95 °C (30 sec), 60 °C (30 s), 72 °C (30 sec), and finally one extension cycle of 72 °C (7 min) using an ABI Prism 7700 Sequence Detection System. The PCR reaction for
TG-L and TG-S recognition was carried out using conditions of one denaturation cycle of 95 °C (3 min), 30 annealing cycles each of 95 °C (1 min), 60 °C (1 min), 72 °C (1.5 min), and finally one extension cycle of 72 °C (7 min).
PCR products and a 1 kb DNA ladder (Promega) were then resolved by horizontal agarose gel electrophoresis as described in section 220.127.116.11., on a 2% agarose gel prepared in 1 x TAE + 0.5 μg/ml ethidium bromide. Samples were diluted in 6 x DNA loading buffer prior to application in sample wells. Electrophoresed DNA was visualised and images were captured digitally, using a UV transilluminator. In some instances, the DNA was isolated and purified using the QIAquick DNA gel extraction kit (Qiagen) or Wizard SV Gel and PCR Clean-up system (Promega) according to the manufacturer’s protocol. Sequences were confirmed by dideoxy terminator sequencing (Cogenics, Saffron Walden, UK).
**3.2.12. Statistical Analysis**
For simple paired comparisons, the Mann-Whitney or Student’s *t*-test, using the *Minitab* or *Sigma Stats* software packages, were utilised and expressed as mean ±SD. Whenever the statistical significance between control and treated samples were evaluated at a 95% confidence level (*p* < 0.05), the data set would be considered to be statistically significant and represented with * on the bars. Where *p* < 0.001, statistical significance was denoted with ** on the bars.
Chapter Four:
Characterisation of Transglutaminase Activity in Pancreatic β-Cells
Peter Atkins from *Creation Revisited*
“All change, I shall argue, arises from an underlying collapse into chaos. The deep structure of change is decay. What decays is not the quantity but the quality of the energy. High-quality, useful energy, is localised energy. Low quality, wasted energy, is chaotically diffuse energy. Things can get done when energy is localised; but energy loses its potency to motivate change when it has become dispersed...The tendency of energy to chaos is transformed into love or war through the agency of chemical reactions. All actions are chains of reactions. From thinking to doing, in simply thinking, or in responding, the mechanism in action is chemical reaction. When it is precipitate it destroys. When it is geared through chains of events it can produce civilisations.
At its most rudimentary, a chemical reaction is a rearrangement of atoms. Atoms in one arrangement constitute one species of molecule, and atoms in another, perhaps with additions or deletions, constitute another. In some reactions a molecule merely changes its shape; in some, a molecule adopts the atoms provided by another, incorporates them, and attains a more complex structure. In others, a complex molecule is itself eaten, either wholly or in part, and becomes the source of atoms for another. Molecules have no inclination to react, and none to remain unreacted. Why, then, do reactions occur? A reaction tends to occur if in the process energy is degraded into a more dispersed, more chaotic form.
The frailty of molecules, though raises questions. Why has the universe not already collapsed into unreactive slime? If molecules were free to react each time they touched a neighbour, the potential of the world for change would have been realised a long time ago. Events would have taken place so haphazardly and rapidly that the rich attributes of the world, like life and its own awareness, would not have time to grow. The emergence of consciousness, like the unfolding of a leaf, relies upon restraint. Richness, the richness of the perceived world and the richness of the imagined worlds of literature and art - the human spirit - is the consequence of controlled, not precipitate, collapse.”
Atkins, Peter (1940- ), Chemist and writer. *Creation Revisited*, Penguin, 1994. Quoted from *The Oxford Book of Modern Science Writing* by Richard Dawkins, Oxford University Press, 2008.
Chapter Four:
Characterisation of Transglutaminase Activity in Pancreatic β-cells
4.1. Introduction
Insulin is the body’s main blood lowering-glucose hormone, and is secreted by the pancreatic β-cell in a regulated multistage progression that involves the trafficking of insulin granules within vesicles to the plasma membrane (Lang, 1999). While an understanding of this mechanism is fundamental to current therapeutic intervention for diabetes, many protein components in this process have yet to be fully characterised.
It is well established that increases in β-cell cytosolic Ca$^{2+}$ concentration is a key mediator in glucose-stimulated insulin secretion coupling (Rorsman and Renstrom, 2003) and that Ca$^{2+}$ regulates TG cross-linking activity (Casadio et al., 1999). Some studies have demonstrated a link between TG cross-linking activity and the regulation of glucose-stimulated insulin release from pancreatic β-cells (Porzio et al., 2007; Bernassola et al., 2002; Driscoll et al., 1997; Bungay et al., 1986; Sener et al., 1985; Gomis et al., 1984), where it was thought that TG may play a critical role in the mechanical events involved in the translocation and membrane fusion of secretory granules to the β-cell exocytotic site (Gomis et al., 1983). However, the factors responsible for precise regulation, inhibition or over-expression of TG cross-linking, specific to the β-cell, warrants further investigation.
The enzymatic role of TG in cells is usually assessed by standardised and comparable biochemical assays involving a reaction mechanism carried out under
repeatable *in vitro* conditions where the exogenous addition of TG-compatible amine acceptors, incorporated into specific glutamine-donor substrates, are used as a measure of TG enzymatic activity (refer to section 1.1.2). Rat islets of Langerhans have been the primary β-cell model used to optimise biochemical TG cross-linking assays, where enzyme reactions were initially shown to require dithiothreitol (a thiol reducing agent) and Ca$^{2+}$ (Bungay *et al.*, 1984). Although freshly isolated islets have the advantage of a close resemblance to the *in vivo* scenario, the use of these models to study the biochemical aspects of insulin secretion is limited in efficiency by a number of factors; including availability of pancreatic endocrine tissue, difficulty in preparing large numbers of viable islets, maintaining cellular heterogeneity, and the rapid decline of insulin production in tissue culture (Hohmeier *et al.*, 1997). Despite these drawbacks, the use of rat islets in previous TG research (refer to section 1.4.7.) would have been partly due to the inaccessibility of stable and immortalised insulin secreting clonal β-cells at the time.
Many researchers have attempted to establish cell lines that retain normal regulation of insulin secretion, but few attempts have been successful due to the difficulty of finding a compromise between the highly differentiated state of normal insulin-secreting β-cells, and the ability to proliferate in tissue culture (McClenaghan *et al.*, 1999; Efrat, 1999; Newgard *et al.*, 1997). Currently, the most widely used insulin-secreting cell lines are RINm5F (Gazdar *et al.*, 1980), HIT-T15 (Santerre *et al.*, 1981), INS-1 (Asfari *et al.*, 1992), β-TC (Efrat *et al.*, 1988), and more recently MIN-6 (Miyazaki *et al.*, 1990) and BRIN-BD11 (McClenaghan *et al.*, 1996).
Studies of TG2 expression in numerous non-pancreatic cell-types have demonstrated that TG2 is subject to regulation at the post-translational level by Ca$^{2+}$ (Casadio *et al.*, 1999; Smethurst and Griffin, 1996) or GTP-binding (Liu *et al.*, 2002); and at the transcriptional level by growth factors such as TGFβ-1, IL-6, TNF-α (Ikura *et al.*, 1994; George *et al.*, 1990), glucocorticoids (Johnson *et al.*, 1998) and retinoids (Chiocca *et al.*, 1988). To date, only a small number of studies involving TG and clonal β-cell models have been published. Studies with HIT-T15 cells revealed that TG may be involved in β-cell apoptosis as a result of GTP-depletion (Huo *et al.*, 2003). Another study demonstrated that TG may be involved in the mediation of
retinoid-induced changes in RINm5F and INS-1 clonal β-cell insulin secretion function (Driscoll et al., 1997).
To address the lack of a fully characterised clonal β-cell line which could potentially be used in future studies, the model of choice for this investigation was the BRIN-BD11 rat pancreatic insulinoma β-cell line. This was mainly due to the high proliferative capacity of BRIN-BD11 cells, an established record of having the highest insulin content compared to other rat β-cell lines, and the best step-wise insulin secretory response to increasing glucose concentrations, closely mimicking that of rat islets (Hamid et al., 2002). The BRIN-BD11 cells possess GLUT2 and glucokinase expression which are key elements of the β-cell glucose sensing mechanism, in addition to expressing the two component $K_{ATP}$ channel complex (KIR 6.2 and SURI), furnishing these cells with the ability to couple metabolic and electrical events of the stimulus secretion coupling pathway, as in the case of normal pancreatic β-cells (McClenaghan et al., 1999).
The use of competitive substrate inhibition by alkylamines, monodansylcadaverine, $N$-$p$-tosylglycine, bacitracin, glycine alkylesters and hypoglycaemic sulphonylureas, has been the most effective way of estimating the formation of isopeptide $\varepsilon$-(γ-glutamyl)-lysine TG cross-links in rat islets biochemically (refer to section 1.4.7). However, these results have failed to provide conclusive evidence (refer to Table 1.4), due to the non-specific effects of these competitive amines on other biological processes or enzymes (Hutton et al., 1982; Gomis et al., 1984; Lebrun et al., 1984), poor penetration into the islet cell (Gomis et al., 1983), and the unforeseen effect some inhibitors had on cationic fluxes causing increased Ca$^{2+}$ entry into the β-cells (Malaisse et al., 1983). A revised *in vitro* approach, addressing the specificity of this TG inhibition within a monolayer of homogenously penetrable clonal β-cells would therefore be advantageous in providing confirmatory evidence for the role of TG2 in insulin-secreting pancreatic β-cells.
To account for this, irreversible TG active-site directed inhibitors, developed in-house (Griffin et al., 2004): R283 (1, dimethyl-2[oxopropyl] thio] imidazolium) and R281 (a synthetic CBZ-glutaminyl glycine analogue; N-benzyloxycarbonyl-Lphenylalanyl-6-dimethylsulphonium-5-oxo-Lnorleucine), were used in this investigation. The commercially available BOC-DON-Gln-Ile-Val-OMe TG2-specific peptide (N-Zyme, Germany), a large molecule similar in size to R281, was also tested for active-site inhibition of the β-cell TG protein. These compounds represent a novel set of irreversible TG inhibitors that act through alkylation of the active-site Cys residue (refer to section 1.1.3), and have not been previously tested on pancreatic β-cells. However, these site-specific inhibitors still have the potential to act on a broad range of the TG family. In order to assess inhibition of TG2-specific effects, subsequent studies will focus on the *ex vivo* state of TG2 inhibition in islets that have been isolated from TG2 knockout (TG2\(^{-/-}\)) mice (De Laurenzi and Melino, 2001). In these animals, the targeted deletion of 1,200 base pairs of the TG2 gene from exon 5 to intron 6 by homologous recombination results in the abolition of the active site and associated protein cross-linking activity (De Laurenzi and Melino, 2001), which is reported to have created a Type 2 diabetes phenotype in mice with associated decline in glucose homeostasis (Porzio *et al.*, 2007; Bernassola *et al.*, 2002).
BRIN-BD11 cells have been previously studied in the context of some diabetic disease states, such as: hyperglycaemia (Davies *et al.*, 2001; Wilson *et al.*, 1997), nitric oxide-induced β-cell death (Welters *et al.*, 2004a; Gao *et al.*, 2003; Stickings and Cunningham, 2002), and apoptosis induced by the lipotoxic effector palmitate (Dhayal *et al.*, 2008; Diakogiannaki *et al.*, 2008; Morgan *et al.*, 2007; Welters *et al.*, 2006; 2004a and 2004b; Sener and Malaisse, 2002). In addition to transcriptional regulation, TG2 can also be modulated post-transcriptionally during apoptosis (Melino *et al.*, 1997), where TG2 activation leads to the assembly of intracellular cross-linked protein polymers, which stabilise the integrity of the apoptotic cell, preventing the release of harmful intracellular components into the extracellular space. Characterising the TG activity of BRIN-BD11 cells within these simulated diabetic stress states, will enable the assessment of a possible cell survival role conferred by TG2.
In the present chapter, a clonal rat pancreatic insulinoma β-cell line (BRIN-BD11) will be characterised for the effect of TG activity upon glucose-stimulated insulin
secretion. Regulation of TG activity by Ca$^{2+}$, GTP, retinoic acid, membrane proteases and glucose will be assessed in these $\beta$-cells, using TG activity assays chosen for optimal substrate-specificity of the $\beta$-cell-expressed TG. Following regulation of the $\beta$-cell TG enzyme, inhibition studies will be carried out using competitive amine TG inhibitors, novel irreversible active-site directed TG inhibitors, and a TG2$^{-/-}$ mouse islet model shown to exhibit a type 2 diabetes phenotype (De Laurenzi and Melino, 2001). Cytotoxicity studies of BRIN-BD11 cells in response to the diabetic stress conditions of hyperglycaemia, oxidative stress, and lipotoxicity will be initiated using TG enzyme inhibitor treatments. The chapter will be concluded with quantitative [$^{125}$I]-insulin radioimmunoassay analysis of insulin secretion function, as a result of targeted inhibition of TG cross-linking, comparing BRIN-BD11 cells to rat islets.
4.2. **Results**
4.2.1. **Post-translational and Transcriptional Regulation of TG Activity**
18.104.22.168. **Regulation of $\beta$-cell TG with Ca$^{2+}$ and GTP**
The presence of TG activity in BRIN-BD11 cells was confirmed in this investigation through the optimisation of various substrate-specific assays. However the TG catalysed incorporation of biotin cadaverine into fibronectin (FN) proved to be the most sensitive. As a starting point it was necessary to confirm whether the enzyme present in homogenates from BRIN-BD11 cells demonstrated any classical TG2 characteristics. This was firstly addressed by means of a dose-dependent increase in enzyme activity, on account of the incorporation of biotin cadaverine into FN, that was both thiol (10 mM DTT) and Ca$^{2+}$-dependent (fig. 4.1A), establishing an optimum concentration of 5 mM Ca$^{2+}$ which was utilised in all subsequent assays. The addition of 10 mM EDTA to the reaction mixture produced complete inhibition of TG activity (data not shown), and was consistently subtracted as a blank background measurement for each data point in subsequent experiments. The usefulness of this assay in screening for inhibitors was assessed at the outset with the addition of GTP, which acts as a reversible non-competitive inhibitor for TG2,
where inhibition would be expected to partially reverse due to saturating Ca$^{2+}$ concentrations. The TG present in these $\beta$-cells at concentrations of 5 mM Ca$^{2+}$ and 10 mM DTT produced a concentration-dependent decrease in activity as a result of the addition of GTP (10 $\mu$M – 1000 $\mu$M), suggesting potential GTP-binding capabilities for this enzyme (fig 4.1B).
### 22.214.171.124. Regulation of $\beta$-cell TG2 with Retinoic Acid
To determine if a well-recognised transcriptional regulator of TG2 was able to induce $\beta$-cell TG activity, BRIN-BD11 cells were treated for 48 hours with either 300 nM or 3 $\mu$M of all trans retinoic acid (fig. 4.2). Measurement of TG activity was performed on the cell-surface of BRIN-BD11 monolayers themselves, through the incorporation of biotin cadaverine into endogenous $\beta$-cell substrates formed over 48 hours. Treatment with retinoic acid (fig. 4.2) was shown to have a potent stimulatory effect on TG activity, with 300 nM showing a 2-fold increase in enzyme activity compared to untreated cells ($p < 0.001$), while the higher concentration of 3 $\mu$M resulted in only a modest increase in enzyme activity.
### 126.96.36.199. Reduction in Cell Surface TG activity by Membrane Proteolysis
Routine subculturing of BRIN-BD11 cells with trypsin revealed that these cells exhibited a high sensitivity to the proteolytic action of this enzyme, with only a minute’s exposure resulting in complete detachment of the $\beta$-cell monolayers. Both trypsin and dispase have been implicated in the proteolytic release of TG1 from its membrane-bound form in human keratinocytes, where the enzyme is solubilised and subsequently released into the cytosol (Kim et al., 1995; Rice et al., 1990). To test if the membrane-associated $\beta$-cell TG enzyme would be susceptible to the proteolytic action of trypsin or dispase, BRIN-BD11 cells were treated in suspension with 0.25% (w/v) trypsin solution or 0.01 unit/ml dispase solubilised in serum-free RPMI respectively for 15 minutes, prior to seeding on FN-coated 96-well plates (fig 4.3). The amount of *in situ* cell-surface TG catalysis was revealed by the amount of biotin cadaverine cross-linked into FN after 2 hours in reaction mix, with trypsin pre-treatment showing a significant 4-fold decrease ($p < 0.001$); and dispase preFigure 4.1. Calcium and GTP
Figure 4.2. and fig 4.3. Retinoic acid/trypsin/dispace
treatment also revealing a significant 2-fold decrease ($p < 0.001$) in cell-surface related TG activity (fig 4.3).
### 188.8.131.52. Glucose-stimulated TG activity in β-cells
The usual method of choice for the precise and comparable measurement of specific TG activity in cell homogenates is the assay by Lorand *et al.* (1972), as described in section 184.108.40.206, where radiolabelled $[^{14}\text{C}]$-putrescine is incorporated into N,N’-dimethylcasein substrate and precipitated onto filter paper discs. However, the results obtained from this assay (Table 4.1) revealed that the TG enzyme present in BRIN-BD11 β-cells was almost 10-fold lower in activity compared to freshly isolated rat islet homogenates, which in turn caused any possible changes in glucose-induced TG activity to be indistinguishable.
Subsequent TG assays using biotin cadaverine cross-linking showed significant trends in response to glucose (Table 4.2), suggesting that these results were presumably due to the radiolabelled assay being developed for sensitivity with high basal TG concentrations, or perhaps due to an incompatibility of the BRIN-BD11 β-cell TG with the N,N’-dimethylcasein substrate. The β-cell models were significantly lower in their values of specific TG activity when compared to the classical high TG2-expressing model of human urinary bladder carcinoma cells which were approximately 36-fold higher in basal enzyme activity (Table 4.1).
A colorimetric assay developed at NTU (Trigwell *et al.*, 2004) to measure the ε-(γ-glutamyl) lysine crosslink using glutamine-rich peptides showed a similar trend, where in spite of total protein standardisation, the amount of TG cross-links from BRIN-BD11 cell homogenates were at least 3-fold lower in comparison to the homogenates from 5637 human urinary bladder carcinoma cells when casein was used as a substrate (fig. 4.4).
In order to induce and measure *in situ* increases in cell-surface TG activity, live BRIN-BD11 β-cells were seeded in serum-free RPMI onto FN-coated wells and stimulated for 2 hours with increasing glucose concentrations (5 mM to 40 mM).
Table 4.1
Figure 4.4 peptide cross-link assay
Fig. 4.5 and Fig. 4.6. Glucose and BRIN cells
Cell-surface TG activity (fig. 4.5) was measured colorimetrically through the incorporation of biotinylated cadaverine into deoxycholate-insoluble FN (and other possible β-cell derived extracellular protein substrates) after cell lysis, as described in section 220.127.116.11.1.
In the presence of serum-free culture medium only, there was a significant increase \((p < 0.05)\) in cell-surface TG activity upon stimulation at glucotoxic levels of 40 mM glucose (fig. 4.5). This activity was further increased by the addition of 5 mM Ca\(^{2+}\) and 10 mM DTT (in order to maximise reduction of –SH active sites of TG) to the culture medium, where concentrations of 20 mM \((p < 0.05)\) to 40 mM \((p < 0.001)\) glucose exhibited significant enzyme cross-linking. When irreversible active-site directed inhibitor R283 was added to the culture medium at a concentration of 250 μM for 2 hours, TG activity was found to be significantly suppressed at all concentrations above 5 mM glucose (fig. 4.5).
Subsequently, the extracellular TG activity induced by the presence of glucose treatment was assessed using the incorporation of biotin cadaverine into endogenous substrates for 24 hours in live BRIN-BD11 cells (fig 4.6). These results showed that at concentrations of 20 mM glucose which would be optimal for insulin secretion coupling in BRIN-BD11 cells (McClenaghan et al., 1998), TG activity was significantly higher \((p < 0.001)\), whereas at concentrations of 40 mM glucose which induces glucotoxicity, extracellular TG activity was similar to the 5 mM glucose controls.
### 18.104.22.168. Visualisation of β-cell TG Activity using FITC-cadaverine
It was possible to visualise and quantify TG activity through the addition of fluorescein cadaverine (FITC-cadaverine) into the culture medium resulting in the primary amine’s incorporation by the enzyme into living cells (Verderio et al., 1998). The advantage of employing this method with the BRIN-BD11 cells was the direct intracellular and extracellular visual detection of TG catalysis as a result of glucose stimulation that was noted in previous assays. Even more significant was the
Fig. 4.7. FITC- cadaverine micrographs
**Figure 4.7. Fluorescent visualisation of TG activity in BRIN-BD11 cells using *in situ* FITC-cadaverine incorporation.** BRIN-BD11 β-cells were seeded onto 8-well chamber slides and allowed to settle for 24 hours, prior to further 24 hours treatment with glucose, GSNO and active-site inhibitor R283. FITC-cadaverine was added to the normal growth medium with treatments for 18 hours, and enzymatic activity was detected through TG-catalysed incorporation of the molecule into endogenous cellular substrates as described in section 22.214.171.124 Following fixation and permeabilisation of the cells in methanol, slides were mounted for fluorescent visualisation and quantification using a Leica TCSNT confocal laser microscope. **Panel A**, TG active-site inhibition with 250 μM R283. **Panels B to D**, Glucose curve with 5 mM, 20 mM and 40 mM treatments. **Panels E to F**, Treatments used to induce oxidative stress at concentrations of 50 μM and 150 μM GSNO in 5 mM glucose. Images are representative of at least three separate experiments, where 9 non-overlapping fields were captured digitally. Arrows show the localisation of TG activity in the extracellular processes of these cells. Bar equals 20 μm.
**Figure 4.8. TG-catalysed FITC-cadaverine incorporation into BRIN-BD11 cells displayed through A) semi-quantitation of confocal fluorescence intensity from fig. 4.7, and B) immunostained TG protein substrates using western blotting.** **A)** The images shown in fig. 4.7 were quantified using the Leica TCSNT confocal software, where 9 non-overlapping images per treatment were examined for their mean fluorescence intensity in a set area of 62500 μm². Data represents ±SD of three separate experiments, where **p < 0.001** comparing the TG activity at 5 mM glucose to other treatments. **B)** The cellular substrates, into which the β-cell TG enzyme cross-linked FITC-cadaverine, were analysed based on their molecular weights using western blotting as described in section 126.96.36.199. Blots were immunoprobed with a mouse anti-FITC antibody, which was subsequently bound to an anti-mouse-IgG-HRP conjugate that was visualised using enhanced chemiluminescence. Four predominant immunoreactive bands were present at approximate molecular weights of 150-kDa, 100-kDa, 65-kDa and 20-kDa. This blot is representative of three separate experiments showing similar staining.
Figure 4.8. fitc-cadaverine blot
observed affinity for these β-cells to crosslink FITC-cadaverine into their endogenous substrates (fig. 4.7, fig. 4.8A and B).
Firstly, at 5 mM glucose-stimulation over 24 hours in the culture medium, minimal TG activity was visualised (fig. 4.7 panel B and fig. 4.8A). Glucose concentrations of 17 mM, known to be optimal for the induction of insulin-secretion, showed significant ($p < 0.001$) increases in FITC-cadaverine incorporation (fig. 4.8A) that was localised intracellularly and along the cell membrane with a large amount of signal observed when cells were aggregated (fig. 4.7 panel C). A negative control was set up where BRIN-BD11 cells were pre-incubated for 24 hours with 250 μM of the active-site directed TG inhibitor R283, showing a decrease in the quantified fluorescence intensity of cross-linked FITC-cadaverine at 17 mM glucose (fig. 4.7 panel A and fig. 4.8A). This inhibition of TG activity as a result of R283 treatment confirmed that the amine incorporation observed was indeed TG-specific. When glucotoxicity was induced at concentrations of 40 mM glucose, TG-mediated incorporation of FITC-cadaverine centred in the nucleus of cells, suggesting morphological cell stress (fig. 4.7 panel D), and confirming the lack of extracellular TG activity observed in previous assays (fig 4.6), despite significantly higher levels ($p < 0.001$) of total enzyme activity (fig 4.8A).
FITC-cadaverine incorporation was also used to detect the molecular weights of specific *in vitro* protein substrates cross-linked by TG, through SDS-PAGE and western blotting. Preliminary experiments using BRIN-BD11 cells have shown that a predominant substrate protein cross-linked to FITC-cadaverine by β-cell TG displays a predominant immunoreactive band at 65-kDa, with three additional substrate bands present at molecular weights of approximately 150-kDa, 100-kDa and 20-kDa (fig 4.8B).
### 4.2.2. Inhibition of TG cross-linking activity in β-cells
The TG inhibitors, R281 and R283 were solubilised from a lyophilised powder into appropriate concentrations as described in section 188.8.131.52, and the different batches were routinely tested for inhibition of TG activity in the presence of purified TG2
from guinea pig liver (*gp*/TG2). Seeing as the R281 and R283 compounds could potentially exert inhibitory effects on other TG’s besides TG2, a *gp*/TG2 activity curve (fig. 4.9) was used to standardise approximate amounts of TG2 activity in the BRIN-BD11 cells, and to confirm the effectiveness of the TG inhibitors due to batch variation, when biotin cadaverine was incorporated into FN.
To determine the effectiveness of active-site directed inhibition on BRIN-BD11 cell monolayers themselves, extracellular TG activity after 24 hours pre-incubation with R283 and R281 was tested (fig 4.10A). A range of inhibitor concentrations from 0 μM to 500 μM was assessed, with 250 μM concentrations for both inhibitors proving optimal in these clonal β-cells (data not shown). Enzyme activity through the incorporation of biotin cadaverine into endogenous β-cell substrates revealed that 250 μM R283 inhibitor was more effective ($p < 0.05$) at blocking the amount of cross-linked biotin cadaverine compared to 250 μM R281 after 24 hours of treatment (fig. 4.10A). Furthermore, analysis of BRIN-BD11 cell viability using MTS reagent, was performed after the addition of both R281 and R283 inhibitors at a concentration of 250 μM for 24 hours, confirming that there were no significant differences in cell viability as a result of these inhibitor treatments (fig. 4.10B).
The comparative effect of TG inhibitors, R283 and R281, were then assessed in total BRIN-BD11 homogenates (which consisted of both cytosolic and membrane fractions), since the R281 molecule is thought to be too large to reach the cytosol of these β-cells (fig. 4.11). BRIN-BD11 cells were pre-incubated for 24 hours with increasing concentrations of R281 and R283, and the respective cell homogenates were then assayed for TG activity in an enzyme reaction that incorporated biotin cadaverine into FN. These dose-response experiments revealed a 50% lower level of TG activity in treated BRIN-BD11 cells compared to untreated controls ($p < 0.001$) when 250μM TG inhibitor R281 was used, and a 60% decrease in activity compared to the control ($p < 0.001$) when 250μM TG inhibitor R283 was used (fig. 4.11).
A similar 24 hour pre-incubation assay (fig 4.12) as described in fig 4.11 showed a comparative 10% decrease ($p < 0.05$) in BRIN-BD11 homogenate TG activity when 10 μM of the commercially available TG2-specific BOC-DON-Gln-Ile-Val-OMe
Fig. 4.9 and fig. 4.10
Fig 4.11 and fig. 4.12
Table 4.2.
(BOC) peptide was tested. Classical enzyme inhibition studies using the competitive amines, cystamine and putrescine revealed an approximate 50% decrease in enzyme activity at concentrations of 1 mM cystamine ($p < 0.05$) and 10 mM putrescine ($p < 0.001$) respectively.
A summary of the approximate TG2 activity in BRIN-BD11 cells relative to their corresponding $gpITG2$ standard curves is summarised in Table 4.2., where three different modifications to the colorimetric assay, originally described by Jones et al. (1997), have been developed using biotin cadaverine. The values in Table 4.2 were taken from assays presented in this chapter, and show the relative applicability of measuring i) the *in situ* cross-linking activity of cell surface TG enzyme secreted by live cells over 2 hours; ii) the cross-linking activity of TG enzyme present in cytosolic and membrane homogenates; and iii) the *in situ* enzyme activity from aggregated cell monolayers, using endogenous $\beta$-cell substrates instead of purified FN (see fig. 2.4).
### 4.2.3. TG Activity in TG2$^{+/+}$ and TG2$^{-/-}$ mouse islets
The investigation thus far has characterised the effects of site-specific irreversible TG inhibitors (R281, R283 and BOC-peptide), however the possibility of other TG enzymes besides TG2 being irreversibly extinguished cannot be fully ruled out using the biochemical assays that have been developed. In order to assess possible TG2-specific effects within $\beta$-cells, this section will focus on the *ex vivo* state of TG2 inhibition in islets that have been isolated from TG2 knockout (TG2$^{-/-}$) mice (De Laurenzi and Melino, 2001) (fig. 4.13, fig 4.14, fig 4.15).
TG cross-linking activity was visualised and quantified through the enzyme-mediated incorporation of FITC-cadaverine into freshly isolated live TG2 knockout (TG2$^{-/-}$) and wildtype (TG2$^{+/+}$) mouse islets (fig 4.13 and fig 4.14), which were treated with 5 mM and 20 mM glucose concentrations over 24 hours. The TG2$^{+/+}$ mouse islets displayed a higher overall amount of FITC-cadaverine signal under low (fig. 4.13 panel A) and high (fig. 4.13 panel C) glucose treatments, compared to the TG2$^{-/-}$ islets (fig 4.13 panels B and D), with 20mM glucose-stimulated TG2$^{+/+}$ islets showing the highest quantifiable fluorescence (fig 4.14). Although these results
Figure 4.13. knockout islet fitc-cadaverine
Figure 4.14
Figure 4.15
show the possibility of FITC-cadaverine being used as a measure of TG activity in mouse islets, the complete permeability of the fluorescent molecule into the whole islet remained a challenge.
TG2\(^{-/-}\) and TG2\(^{+/+}\) mouse islets were analysed for specific TG activity through the incorporation of radiolabelled \([^{14}C]\)-putrescine into N, N\(^{\prime}\)-dimethylcasein (DMC) substrate (fig. 4.15). The enzyme activity in TG2\(^{+/+}\) mouse islet homogenates was 4-fold higher (\(p < 0.05\)), than in that of TG2\(^{-/-}\) islet homogenates or BRIN-BD11 cells (fig. 4.15, red bars). In order to determine whether the \(\beta\)-cell TG activity was best reflected with a DMC substrate, a variation of this assay was performed where the radiolabelled \([^{14}C]\)-putrescine was allowed to cross-link to \(\beta\)-cell endogenous substrates instead of DMC. In the latter experiment (fig. 4.15, blue bars), specific TG activity was consistently higher for all comparative treatments in the absence of DMC.
### 4.2.4. The Effect of TG Inhibition and Diabetic Stressors on \(\beta\)-cell Survival
Conditions of hyperglycaemia (D-glucose treatment), oxidative stress (S-nitrosoglutathione/GSNO treatment) and hyperlipidaemia (palmitate treatment) were simulated for a diabetic-like status in BRIN-BD11 \(\beta\)-cells *in vitro* (fig. 4.7 panels D, E and F; fig. 4.16; fig. 4.17; fig. 4.18). TG activity was visualised morphologically using FITC-cadaverine incorporation, where 40 mM glucose induced cellular stress that was evident through the localisation of intense enzyme cross-linking in the nuclei of these \(\beta\)-cells (fig. 4.7 panel D, arrows). When these \(\beta\)-cells were maintained at 5 mM glucose, and treated with concentrations of 50 \(\mu\)M and 150 \(\mu\)M GSNO, TG2 activation lead to the assembly of excessive intracellular cross-linked protein polymers in the nuclei, cytoplasm and extracellular processes (fig. 4.7 panels E and F, arrows).
BRIN-BD11 cell viability under diabetic stress treatment (fig. 4.16) was measured through the mitochondrial metabolism of MTS tetrazolium compound. Under conditions of hyperglycaemia, concentrations between 30 mM to 40 mM glucose were accompanied by a slight but significant (\(p < 0.05\)) increase in mitochondrial
Figure 4.16. MTS assays
Figure 4.17
Figure 4.18
Figure 4.19
metabolism after 24 hours (fig 4.16A). BRIN-BD11 cells appeared to generally sustain high levels of glucose in the medium at concentrations up to 40mM glucose for 24 hours, however with the addition of R281 active site-directed cell surface TG inhibitor (data not shown for corresponding R283 inhibitor treatments due to insignificant changes), cell viability appeared significantly ($p < 0.001$) reduced (fig. 4.16A).
Oxidative stress at concentrations between 50µM and 500µM GSNO over 24 hours resulted in no apparent decreases of tetrazolium-measured cell viability (fig. 4.16B), however with the addition of R281 TG inhibition at these same concentrations, the BRIN-BD11 cells appeared to be significantly ($p < 0.001$) more susceptible to oxidative stress. The TG inhibitor R283, in corresponding experiments, did not appear to affect cell viability under these conditions (data not shown).
Under conditions of hyperlipidaemia, palmitate was found to be very effective as a lipotoxic agent (fig. 4.16C), causing extensive cell death with an LD50 of $\sim 150\mu M$ after 24 hours treatment, when assessed using MTS reagent. The addition of R281 and R283 (data not shown) did not adversely affect $\beta$-cell survival. Due to the high level of cell death as a result of palmitate treatments, optimal values to induce apoptosis were set at 50 µM so that caspase-3 activity could be more measurable.
To assess whether the observed decreases in BRIN-BD11 cell viability were as a result of caspase-3 mediated apoptosis, concentrations of 40 mM glucose, 50 µM GSNO and 50 µM palmitate were assessed after 72 hours treatment, using a colorimetric caspase-3 activity assay (fig. 4.17) and immunofluorescent visualisation of a cleaved caspase-3 antibody (fig. 4.18). The colorimetric caspase-3 activity assay measured the apoptotic index by the ability of caspase-3 within $\beta$-cells to cleave Ac-DEVD-p-nitroaniline substrate and release the p-nitroaniline (pNA) chromophore (fig 4.17). Caspase-3 activity was evident in BRIN-BD11 cells after 72 hours treatment under conditions of 40 mM glucose, 50 µM GSNO and 50 µM palmitate ($p < 0.001$). Hyperglycaemia at 40 mM glucose was then expanded to assess the effects of TG inhibition on caspase-3 mediated apoptosis, through the addition of the large cell surface TG inhibitors (250 µM R281 and 10 µM BOC peptide), but no
significant changes were seen when compared to the glucose treatments (fig. 4.17). However, when the smaller R283 TG inhibitor (which is believed to enter live β-cells and also act on their cell surface) was added to the hyperglycaemic cells, the amount of caspase-3 specific activity was significantly lowered ($p < 0.001$) to levels nearing that of the caspase inhibitor (50 μM Z-VAD-FMK) which was used as a routine negative control (fig. 4.17). These results were confirmed immunofluoresently using a cleaved caspase-3 (Asp175) antibody, where ~70% induction of caspase activity was observed after 72 hours treatment under all 3 simulated diabetic conditions (fig. 4.18 F, G, H) compared to the 10mM glucose control (fig 4.18 E).
Cleaved caspase-3 antibody staining was also visualised in freshly isolated TG2 knockout (TG2−/−) and wildtype (TG2+/+) mouse islets (fig 4.19), which were treated with 5 mM and 20 mM glucose concentrations (serum free RPMI) over 24 hours. Although it was possible to detect β-cell apoptosis occurring within the islets, insufficient permeability of the antibody and differences in islet size made it difficult to draw quantifiable conclusions.
### 4.2.5. The Effect of TG Inhibition on β-cell Insulin Secretion Function
It was important to confirm the effect of β-cell TG activity on insulin stimulus secretion coupling, using active-site directed inhibition of the enzyme with R281 and R283, since non-specific competitive amine inhibition studies have been the main source of information in past research (refer to section 1.4.7). Insulin secretion function was therefore analysed quantitatively in both BRIN-BD11 cells (fig. 4.20) and freshly isolated rat islets (fig. 4.21) by [125I]-insulin radioimmunoassay, after acute glucose stimulation and pre-treatments with active site-specific TG inhibitors R281 and R283.
In clonal rat pancreatic BRIN-BD11 β-cells, there was an almost 3-fold increase in insulin secretion between 0.25 mM glucose and 20 mM glucose after 1 hour 30 minutes ($p < 0.001$), confirming that these cells were glucose-responsive and secreted high amounts of insulin (fig. 4.20). The larger irreversible active-site
Figure 4.20
Figure 4.21
directed TG inhibitor R281, brought about significantly ($p < 0.05$) lower insulin secretion at 20mM glucose compared to the normal controls, while R283 which is predicted to inhibit TG activity both intracellularly and extracellularly showed the most marked decrease ($p < 0.001$) in insulin secretion overall (fig. 4.20). In this experiment, KCl was used as a positive control to depolarise the $K^+$ channels in the $\beta$-cell membranes and cause insulin release, with the intention of ruling out any possible effects the TG inhibitors themselves may have on depolarising the cells. However, TG inhibition also seemed to affect the complete depolarisation effect induced by KCl, which suggests another possible role for TG activity in this mechanism that could be related to $K^+$ channels on the cell surface (fig. 4.20).
A similar experiment was undertaken using isolated whole rat islets, except that the inhibitors R281 and R283 were introduced at the same time as acute glucose stimulation, and the insulin secretion measured was for a shorter period of 1 hour (fig. 4.21). There was a significant ($p < 0.001$) 5-fold increase in rat islet insulin secretion between 2 mM and 20 mM glucose stimulation, and whilst the larger R281 molecule had minimal effects on insulin secretion after 1 hour, the R283 inhibitor lowered ($p < 0.05$) rat islet insulin secretion function at the same time point (fig. 4.21), with the inhibitory effect of R281 and R283 on insulin release following KCl membrane depolarisation also being observed in these rat islets.
### 4.3. Discussion
The precise role of TG2 in pancreatic $\beta$-cell function and survival still remains largely unknown. A lasting reflection from early research in this field is that TG cross-linking activity seems to be present in the membrane fractions of pancreatic islets, where the enzyme catalyses the access of secretory granules to the exocytotic sites of islet $\beta$-cells during insulin release, and was also found to participate in the machinery controlling the conversion of pro-insulin to insulin (Bungay et al., 1984 and 1986; Gomis et al., 1983, 1984 and 1989; Sener et al., 1985; Owen et al., 1988). More recently, targeted disruption of the TG2 gene in mice (TG2$^{-/-}$) lead to a gradual decline in glucose homeostasis and the development of a type 2 diabetes phenotype (Porzio et al., 2007; Bernassola et al., 2002; De Laurenzi et al. 2001). In this chapter,
studies into the catalytic profile of the BRIN-BD11 β-cell TG enzyme were determined using regulatory factors such as glucose, Ca$^{2+}$, GTP, retinoic acid, membrane proteases and active-site directed inhibition of TG protein activity. Diabetic stressors in the form of hyperglycaemia, oxidative stress and hyperlipidaemia were used to assess the action of the TG protein in β-cell survival, while the TG2$^{-/-}$ mouse model created by De Laurenzi et al. (2001) was bred for further characterisation of islet TG dynamics. The insulin secretion function of the BRIN-BD11 cells in comparison to rat islets were then quantified using an $[^{125}\text{I}]$-insulin radioimmunoassay.
In this investigation, the BRIN-BD11 clonal rat β-cells were used as a model to study TG expression and activity for the first time. Clonal β-cells that demonstrate a high level of differentiation such as MIN-6 usually have a slow turnover rate and clustered aggregation of the β-cells during culture in the form of pseudo-islets for a high insulin response (Miyazaki et al., 1990). The less differentiated β-cell lines such as BRIN-BD11 have the advantage of a daily turnover rate, while still retaining a high insulin secretion response, making them more conducive as a model for numerous high-throughput biochemical assays. Several substrate-specific TG activity assays were assessed using either *in situ* cell-secreted or extracted β-cell TG from a source of BRIN-BD11 rat pancreatic insulinoma clonal cells. The assays presented in this chapter were modifications to: i) the catalysed TG-mediated incorporation of $[^{14}\text{C}]$-putrescine into N’N-dimethylcasein (DMC) or endogenous substrates (Lorand et al., 1972); ii) the cross-linking of biotin cadaverine into deoxycholate-insoluble fibronectin or endogenous β-cell substrates (Slaughter et al., 1992; Jones et al., 1997); iii) the *in situ* cross-linking of FITC-cadaverine into endogenous β-cell substrates (Lajemi et al., 1997; Verderio et al., 1998); iv) or the cross-linking of glutamine-rich (TVQQEL) biotinylated peptides into casein (Trigwell et al., 2004). Each assay was selected in turn for the optimal expression of controlled or regulated TG activity and site-specific inhibition according to the necessary enzyme reaction specifications. The results showed a high degree of BRIN-BD11 substrate specificity, where the use of biotin cadaverine and FITC-cadaverine proved to be the optimal amines of choice (see fig. 4.22 for chemical structures), when cross-linked into endogenous physiological β-cell substrates. A limitation that currently remains with these established *in vitro* assays is
Fig 4.22.
that the β-cell specific TG activity could represent other low level TG’s that may be present in the homogenates in addition to TG2.
Pioneering studies into the TG activity of rat islets (Gomis et al., 1983) revealed that a range of primary amines could be incorporated into N’N’-dimethylcasein (DMC) substrate using a variation of the standard *in vitro* assay devised by Lorand et al. (1972). This investigation confirmed that homogenised TG extracts from both rat and mouse islets also contained high affinity for the TG-mediated cross-linking of radiolabelled [14C]-putrescine into DMC substrate, with noticeably higher activities in the presence of endogenous islet substrates compared to DMC. However, when the BRIN-BD11 cell extracts were assayed at similar total protein concentrations to the islets, TG activity levels were ~10-fold lower compared to the freshly isolated islets. Nonetheless, the colorimetric biotin cadaverine assays appeared most appropriate to study quantifiable trends in these BRIN-BD11 cells, where low levels of homogenate- and surface-associated β-cell enzyme were still evident. This led to speculation that the clonal β-cells could possess lower overall potential for enzyme activity as is the case with the TG expressed by some immortalised or undifferentiated cell lines (Birkbichler et al., 1978; 1980), or that this difference was a reflection of the islets possessing an additional endothelial microcapillary source of TG (exhibiting high substrate specificity for DMC), which the homogenous colonies of BRIN-BD11 lacked. Methods of extracting pure β-cell fractions from intact islets such as immunofluorescent β-cell sorting using flow cytometry (Suzuki et al., 2004) could prove useful in determining the true localised subcellular activity of the TG activity in islets.
Additionally, assays that rely on the amine incorporating activity of the TG enzyme, such as the biotin cadaverine incorporation assay and the radiometric [14C]-putrescine incorporation assay may be compromised by Ca$^{2+}$-dependent and Ca$^{2+}$-independent incorporation of polyamines into casein substrates by other enzymes in cell extracts, such as diamine oxidases (Carpene et al., 1995) and thioredoxin-family protein disulphide isomerases (Chandrashekar et al., 1998). In contrast, cross-linking of proteins and peptides via ε-(γ-glutamyl) lysine linkages is TG-specific (Griffin et al., 2002), as was demonstrated previously using the incorporation of a biotinylated hexapeptide (biotin-TVQQEL) into casein substrate (Trigwell et al., 2004). In this investigation, the β-cell TG catalysed low levels of ε-(γ-glutamyl) lysine isopeptide
bonds between the glutamine rich peptide and casein showing similar trends in activity when DMC was used, suggesting that this may be due to substrate specificity or low overall activity of the BRIN-BD11-expressing TG isoform.
Amine incorporation into protein substrates in the TG-catalysed reaction has been shown with purified proteins or with cell lysates in previous studies, but it is essential to determine whether these proteins are truly physiological substrates in β-cells (Bungay et al., 1986; Owen et al., 1988; Gomis et al., 1989). The use of fluorescent derivatives of polyamines as probes was preferred in the current experimental design since simple observation of the cells by direct fluorescence microscopy would permit detection of the substrates accessible to active TG, while the methanol fixative eliminated free FITC-cadaverine and preserved a lattice of covalently labelled fluorescent structures (Lajemi et al., 1998; 1997; Verderio et al., 1998). In the BRIN-BD11 cells, TG-catalysed incorporation of FITC-cadaverine evidently increased upon normal glucose stimulation, with excessive protein cross-linking and obvious nuclear localisation of the enzyme under conditions of hyperglycaemic and oxidative cell stress, demonstrating a possible switch from normal TG-mediated insulin secretion function to TG-associated cell survival function. Furthermore, TG2\(^{-/-}\) mice, which were expected to manifest a type 2 diabetes phenotype, seemed to contain high levels of islet β-cell mass, but revealed decreases in the amount of amine incorporation into endogenous β-cell substrates, confirming the mechanism for TG2-deficient insulin circulating levels reported previously in this model (Bernassola et al., 2002). However, the reduced amine cross-linking observed in the islet structure of TG2\(^{-/-}\) mice could also possibly be the result of deficiencies in TG2 expression within the islet endothelial microvasculature, and not just the insulin secreting β-cells. This would be a very important point to clarify, before the precise role of the enzyme within TG2\(^{-/-}\) islets can be taken further.
Antibodies against the fluorescein moieties made it possible to detect labelled TG2 substrates after western blotting (Lajemi et al., 1998; 1997), thus permitting further characterisation of the β-cell protein substrates at molecular weights of approximately 150-, 100-, 65-, and 20-kDa. Interestingly, high molecular weight polymer aggregates that were unable to traverse a 3 % (w/v) polyacrylamide gel
were found in previous reports using rat islets, and were reduced in the presence of competitive TG inhibitors during glucose stimulation (Bungay et al., 1986; Owen et al., 1988; Gomis et al., 1989). These polymer aggregates were thought to be important in the stabilisation of the rat islet β-cell membrane during membrane recycling and following the membrane-associated events of insulin secretion. Seeing as the less differentiated BRIN-BD11 β-cells showed less complex FITC-cadaverine cross-linked substrates, it may be worth pursuing more intensive investigations under non-reducing SDS-PAGE conditions in order to isolate these high molecular weight phosphoprotein polymers, as they could also possibly be a source of large extracellular matrix proteins associated with the endothelial fraction of pancreatic islets. Furthermore, the use of TG inhibition in these β-cells, prior to such substrate analysis could potentially reveal insights into the interaction of TG cross-linking to specific protein substrates during the insulin release mechanism.
BRIN-BD11 β-cell-specific TG exhibited classical reciprocal mechanisms of the functional conformational change necessary for switching between Ca$^{2+}$- and GTP-binding, that was also thiol-dependent, as described to some extent by Bungay et al. (1984a) in rat islets. This was evident through increases in BRIN-D11 TG activity in response to increases in Ca$^{2+}$ concentration, and the non-competitive inhibition of this β-cell specific TG in the presence of GTP-$\gamma$S (see fig. 4.23. for chemical structure). It is possible that the interaction of GTP with β-cell TG induces structural changes that block the accessibility of the Ca$^{2+}$-binding and active-sites, thereby decreasing cross-linking activity (Achyuthun and Greenberg, 1987; Smethurst and Griffin, 1996; Monsonego et al., 1998). These results are interesting in the context of a G-protein function being attributed to a possible β-cell specific TG2/G$\alpha$h, seeing as heterotrimeric and low molecular weight GTP-binding proteins have already both been involved in regulating glucose-triggered exocytosis of insulin from pancreatic β-cells (Kowluru et al., 1996). The possibility of GTP-dependant inhibition of the β-cell TG may also lend clues about the mechanism of activi 173 enzyme exhibits in response to the Ca$^{2+}$ influx via voltage-dependant Ca$^{2+}$ channels that is necessary during insulin release (Rorsman and Renstrom, 2003). It also confirms the possibility that the β-cell TG could only be either TG2, TG3 or TG5.
Figure 4.23. Inhibitors
since GTP-binding is only possible with these types (Liu et al., 2002; Ahvazi et al., 2004a; Candi et al., 2004).
The transcriptional regulation of increases in TG induced by retinoic acid was evident through higher amounts of cross-linking in BRIN-BD11 cells. Retinoic acid has been shown to up-regulate TG2 in both murine peritoneal macrophages, promyelocytic leukemia cells, INS-1E and RINm5F pancreatic β-cells (Murtaugh et al. 1983; Chiocca et al. 1989; Driscoll et al., 1997). Retinoic acid is also known to regulate TG2 expression via the binding of nuclear receptors to specific response elements located within the TG2 gene promoter (Chiocca et al. 1988; Lu et al. 1995). Previous studies suggest that increased expression of retinoid receptors is critical for an increase in TG2 gene expression (Johnson et al. 1998), suggesting that the BRIN-BD11 cells used in this study may possess similar retinoid receptors.
The importance of cell-surface TG activity in the membrane-associated insulin secreting machinery was conceivable due to reductions in cross-linking as a result of broad range serine protease trypsin and dispase treatments. It would be interesting to further investigate β-cell TG proteolysis using western blot analysis of the resulting protein products, since it is possible that proteolysed membrane-associated TG may have been released from the particulate fraction into the cytosolic fraction (Rice et al., 1990; Knight et al., 1991a). Cell-surface β-cell TG investigations were then carried out using glucose stimulation of the BRIN-BD11 cells, where an apparent increase in surface-related or total homogenate TG activity was evident only in the presence of a Ca$^{2+}$- and thiol-dependant enzyme reaction, suggesting that if any membrane-associated TG was present, it was not being actively secreted out of the β-cell. It is thought that the mechanism of glucose stimulation within β-cells may increase TG enzymic activity as a result of *de novo* synthesis of the enzyme or alternatively the induction of a more reduced state as a result of a rise in cytosolic Ca$^{2+}$ activity, with subsequent changes in the thiol-disulphide balance due to increases in the content of sulphydryl groups (Gomis et al., 1986b). The precise molecular mechanisms by which glucose might stimulate TG activity, and the possibility of β-cell TG being released upon glucose-stimulated insulin secretion still remains to be fully clarified.
Competitive substrate inhibition as a result of alkylamines, monodansylcadaverine, $N$-$p$-tosylglycine, bacitracin, glycine alkylesters and hypoglycaemic sulphonylureas confirmed the importance of TG cross-linking during insulin secretion function in rat islets (Hutton et al., 1982; Malaisse et al., 1983; Gomis et al., 1983 and 1984; Lebrun et al., 1984), however some of these competitive amines showed non-specificity, poor penetration into the islet cell and effects on cationic fluxes which caused increased Ca$^{2+}$ entry into the $\beta$-cells. In this chapter, the specific properties of two inhibitors of TG activity: R283 (1, dimethyl-2[oxopropyl] thio] imidazolium) and R281 (N-benzyloxycarbonyl-L-phenylalanyl-6-dimethylsulphonium-5-oxo-Lnorleucine) have been characterised for the first time in terms of their action against $\beta$-cell TG (see figure 4.23. for chemical structures). Both inhibitors contain a dimethylsulfonium group that has previously been shown to interact with cysteine residues including Cys$_{277}$ within the active site via an acetylation reaction (see fig. 4.24.) leading to non-competitive and irreversible inhibition of the enzyme (Freund, 1994).
Data obtained from pilot studies for the use of these inhibitors in the current cell system demonstrated that both inhibitors were highly effective at reducing $\beta$-cell TG activity when applied to BRIN-BD11 homogenates or live cells. The action of both R281 and R283 at optimal concentrations did not affect mitochondrial metabolism through the determination of cell viability under normal culture conditions of the BRIN-BD11 cells. The inhibitors seemed to show slight differences in their ability to cross the cell membrane when TG activity was tested on live $\beta$-cells. R283 was found to be highly soluble and was concluded to readily enter the intracellular compartment, while exerting its action on the cell-surface as well. In contrast, R281 was much less able to transfer across the cell membrane due to its large molecular weight (Griffin et al., 2004) and its action seemed to be limited to the extracellular compartment, showing slightly lower levels of TG activity. The BOC-peptide TG inhibitor is a large molecule, and showed a mechanism of inhibition similar to the action of R281. Such differences were important in determining whether total (intracellular and extracellular) inhibition or extracellular TG inhibition alone was sufficient to impede the action of TG2 in BRIN-BD11 cells. When these irreversible active-site directed inhibitors were tested on BRIN-BD11 cell homogenates, the level of inhibited TG activity was similar to trends seen with the non-specific
Figure 4.24. Inhibitor mechanism
competitive substrate inhibition of cystamine and putrescine commonly used in TG assays.
The relatively equal effectiveness of R281 and R283 on the insulin secretion function of β-cells indicates that their principle inhibitory actions are extracellular. It could be said that the poor cell solubility expected of R281 could limit any potential non-specific effects on other intracellular TG or thiol containing enzymes, however this inhibitor is not specific to TG2 since it has been shown previously to inhibit the extracellular activity of TG1 in myocardium microvascular endothelial cells (Baumgartner et al., 2004). Furthermore, the chances of R283 affecting intracellular targets apart from TG2 cannot be dismissed given its known ability to inhibit other TG isotypes (Freund et al., 1994). Interestingly, the mechanism of R283 inhibition appeared to mimic caspase inhibitor levels in BRIN-BD11 cells suggesting that the role of intracellular TG in caspase-mediated apoptosis may be more complicated than originally expected. There remains the possibility that the R283 molecule could possibly be acting on caspase-3 directly, suggesting questions for the sole specificity of this molecule on TG enzymes within a complex cell system.
Caspases, a family of aspartate-specific cysteine proteases, play an essential role in both initiation and execution of apoptosis (Green and Amarante-Mendes, 1998; Budihardjo et al., 1999). Typical morphological changes in pancreatic β-cells (HIT-T15 and INS-1E) and rat islets, associated with apoptosis, include cytoplasmic shrinkage, membrane protuberances, chromatin condensation and DNA fragmentation (Li et al., 1998, Huo et al., 2002 and 2003). Many studies have suggested that TG2 may participate in the activation of apoptosis, where the enzyme was found to accumulate and its activity increased in these apoptotic cells (Fesus and Thomazy, 1988; Fesus, 1998; Melino and Piacentini, 1998, Autuori et al., 1998). During apoptosis TG2 modifies several proteins including histone protein (Ballestar et al., 1996), actin (Nemes et al., 1997), troponin (Gorza et al., 1996), and retinoblastoma protein (Oliverio et al., 1997). The cross-linking of proteins by TG may therefore play an important role in the morphological changes during apoptosis. Cytoskeletal proteins such as actin, microtubules and intermediate filaments may act as anchorage sites or substrates for TG in cells undergoing apoptosis (Melino and Piacentini, 1998; Trejo-Skalli et al., 1995; Piredda et al., 1999, Huo et al., 2002 and 2003). These
morphological changes in TG activity as a result of FITC-cadaverine incorporation were evident in BRIN-BD11 cells under conditions of hyperglycaemia and oxidative stress induced by GSNO.
Furthermore, under conditions of oxidative stress the cell-surface associated TG activity, which is thought to be the target of the R281 molecule, was shown to be crucial for the extended viability of BRIN-BD11 cells. Interestingly, increased generation of reactive oxygen species as a result of oxidative stress and subsequent alteration in cell redox state is known to stimulate TG2 expression (Melino et al., 1997; Bernassola et al., 1999), as was also observed morphologically in this study with FITC-cadaverine cross-linked into BRIN-BD11 cells. Therefore induction of TG2 may be part of a broader biochemical response to oxidative stress, in pancreatic β-cells also. These results may suggest that in a similar *in vivo* situation, alterations in TG expression could render β-cells susceptible to the toxic effects of free radical generation seen during the development of Type 2 diabetes.
Given the complexity with which TG2 interacts with numerous proteins, the role of TG2 in apoptosis is not yet understood (Melino and Piacentini 1998). Furthermore, many of the TG2-targeted proteins are also substrates of caspases, so there is a possibility for an association between TG2 and caspases (Autuori et al., 1998). In HIT-T15 insulin secreting β-cells, GTP depletion resulted in increases of TG2 activity (Huo et al., 2002 and 2003). However, these authors found that the pancaspase inhibitor (Z-VAD-FMK) entirely prevented apoptosis induced by mycophenolic acid, but did not block the enhanced TG activity, indicating that GTP-depletion can induce apoptosis and activate TG either independently or part of a cascade of events involving caspases. Interestingly, TG2 is a caspase-3 substrate and is cleaved during apoptosis in lymphoid cells (Fabbri et al., 1999). Cleavage of TG2 causes loss of its cross-linking function, and this event is regarded as a valuable biochemical marker of caspase-3 activation during the late execution phase of apoptosis. This may explain reductions in TG2 activity at the late stages following caspase-3 activation in mycophenolic treated HIT-T15 cells (Huo et al., 2003). Alternatively, the reduction in TG2 activity might be due to activation of other proteases, since it was reported in SH-SY5Y cells that depletion of GTP increases TG2 degradation by calpain after elevation of intracellular Ca$^{2+}$ levels (Zhang et al.,
This phenomenon may also be the case in pancreatic β-cells. Of further consequence is the finding that increases in TG2 activity was not observed in some cases, such as treatment with dexamethasone (Johnson *et al.*, 1998), peroxinitrate (Virag and Szabo, 2000), or by Fas receptor stimulation (Szondy *et al.*, 1997). Apoptosis induced by various agents was not affected in TG2\(^{-/-}\) mice (De Laurenzi *et al.*, 2001), as was also evident in this study using caspase-3 antibody staining. The known cytotoxic action of palmitate and hyperglycaemia (Davies *et al.*, 2001; Welters *et al.*, 2004 and 2006; Dhayal *et al.*, 2008; Sener and Malaisse, 2002) in BRIN-BD11 cells also did not seem to differ significantly under conditions of inhibited TG activity. These studies taken together imply that the notion of TG2 being a crucial component of the main pathway of early apoptotic programs remains to be fully substantiated, in pancreatic β-cells as well.
The use of specific active-site directed TG inhibition made it possible to confirm the precise role played by this enzyme in the insulin secretion function of BRIN-BD11 cells. The TG inhibitors, R281 and R283 caused significant reductions in the insulin levels released by BRIN-BD11 cells and rat islets when measured with the \([^{125}\text{I}]\)-insulin RIA. Seeing as the secretion of insulin is usually carried out over a period of several minutes to one hour, within this time-frame biosynthesis cannot lead to secretion (Howell and Bird, 1989), suggesting the importance of TG catalysis in the exocytotic machinery necessary to immediately translocate insulin granules out of the β-cell. The contraction of the microfilamentous cell web that controls the access of secretory granules to the exocytotic site was previously found to reduce stimulus secretion coupling of insulin when TG was inhibited (Gomis *et al.*, 1983a). Taken together with the number of cytoskeletal proteins which are known to act as substrates for TG (Esposito and Caputo, 2005) there is great potential for understanding this β-cell exocytotic process in future studies. It would also be interesting to clarify any effect TG may have on the molecular mechanisms involved in the biosynthesis of insulin, since most secretion studies reflect trends from the distal stages of insulin release, as a result of the nature of measuring insulin release over the first hour of stimulation. The possibility that TG activity may also be crucial for the conversion of pro-insulin into mature granules produced in response to stimulatory glucose concentrations (Gomis *et al.*, 1986b) warrants further clarification. Additionally, these investigations showed that the total insulin content contained in the BRIN-BD11 cells and rat islets seemed to be
reduced in the presence of TG inhibition when KCl was used to release this insulin by depolarising the β-cell membrane. It is entirely plausible that cell-surface TG could also be exerting an effect on the β-cell ATP-sensitive $K_{ATP}$ channels during membrane depolarisation.
The data presented in this chapter revealed that the TG activity specific to BRIN-BD11 β-cells may be regulated by a number of factors within the insulin secreting mechanism unique to this cell system. TG activity appeared to increase in response to elevated glucose sensing mechanisms, and transcriptional regulation by retinoic acid also appeared to over-express the level of enzyme activity in BRIN-BD11 cells. The regulated increase of BRIN-BD11 TG activity in response to increased Ca$^{2+}$ concentrations, and inhibition of this cross-linking activity in the presence of GTP, together with the effective inhibition by active site directed R281 and R283 inhibition, suggests classical thiol-dependent reactivity mechanisms in β-cell TG function. Furthermore, the importance of cell-surface TG cross-linking activity has been highlighted in these insulin-secreting BRIN-BD11 cells. The impaired cross-linking activity observed in TG2$^{-/-}$ mouse islets compared to their TG2$^{+/+}$ counterparts suggests that the TG present within this cell system may be of the TG2 variety, and supports the potential for inhibited TG2 activity being a direct cause of the diabetes type 2 phenotype present in these mice. Cellular stress factors such as oxidative stress and hyperglycaemia could also be potential regulators of TG activity in β-cells. Such data may be important in developing experimental and therapeutic strategies aimed at controlling the expression and activity of TG within β-cells.
Chapter Five:
Characterisation of Transglutaminase Expression in Pancreatic β-Cells
Arthur Eddington from *The Expanding Universe*
"Now I have told you 'everything right as it fell out.' How much of the story are we to believe?
Science has its showrooms and its workshops. The public today, I think rightly, is not content to wander round the showrooms where the tested products are exhibited; they demand to see what is going on in the workshops. You are welcome to enter; but do not judge what you see by the standards of the showroom.
We have been going round a workshop in the basement of the building of science. The light is dim, and we stumble sometimes. About us is confusion and mess which there has not been time to sweep away. The workers and their machines are enveloped in murkiness. But I think that something is being shaped here – perhaps something rather big. I do not quite know what it will be when it is completed and polished for the showroom. But we can look at the present designs and the novel tools that are being used in its manufacture; we can contemplate too the little successes which make us hopeful.
A slight reddening of the light of distant galaxies, an adventure of the mathematical imagination in spherical space, reflections on the underlying principles implied in all measurement, natures curious choice of certain numbers such as 137 in her scheme – these and many other scraps have come together and formed a vision. As when the voyager sights a distant shore, we strain our eyes to catch the vision. Later we may more fully resolve its meaning. It changes in the mist; sometimes we seem to focus the substance of it, sometimes it is rather a vista leading on and on till we wonder whether aught can be final."
Eddington, Sir Arthur (1882-1944), Astrophysicist. *The Expanding Universe*, Cambridge Penguin, 1940. Quoted from *The Oxford Book of Modern Science Writing* by Richard Dawkins, Oxford University Press, 2008.
Chapter Five:
Characterisation of Transglutaminase Expression in Pancreatic β-cells
5.1. Introduction
As demonstrated in chapter 4, the TG enzyme specific to β-cells revealed biochemical properties for cross-linking activity through the Ca$^{2+}$-activated formation of ε-(γ-glutamyl) isopeptide bonds, which were inhibited in the presence of GTP-γ-S, Cys$_{277}$ active-site directed inhibitors (R281, R283), as well as membrane proteases (dipase and trypsin), but were up-regulated in the presence of all trans retinoic acid and glucose stimulation. However, the protein expression profile of this enzyme requires further characterisation in order to establish the functional status of this β-cell TG.
When routine experiments into the protein characterisation of BRIN-BD11 cells were initiated, it was assumed that the pancreatic β-cell TG2 profile would be of the native 75-80-kDa enzyme type. In fact, the first two studies documenting western blot evidence of an ~80-kDa TG2 protein in insulin-secreting HIT-T15 cells (Huo et al., 2003) and human islets (Porzio et al., 2007) were only published after the start of these investigations. However, the serendipitous discovery of a shorter form of the TG enzyme in pancreatic β-cells resulted in a re-evaluation of the original hypothesis and aims that were set out. The direction of this investigation was then expanded to include the possibility of alternatively spliced variants of the TG2 gene in pancreatic β-cells.
In addition to the two well established roles of reciprocally regulated activities: cross-linking proteins by virtue of transamidating activity, and G-protein function in intracellular signalling (Lorand and Graham, 2003; Griffin et al., 2002); TG2 can be viewed as quite a unique member of the TG family, since it is not only ubiquitously expressed in various tissues, but also exhibits a growing amount of multiple enzyme properties. For instance, TG2 has recently been characterised as a protein disulphide isomerase (Hasegawa et al., 2003) and a protein kinase (Mishra et al., 2007; Mishra and Murphy, 2004). Additionally, TG2 has a wide variety of functions independent of its enzymatic activities (Lorand and Graham, 2003; Griffin et al., 2002) such as: functioning as a cell surface adhesion molecule; binding to nitric oxide; serving as a co-receptor for integrins and the G-protein coupled receptors (GPCRs), involvement in signalling functions; promoting cell death, survival and inflammation (see section 1.3.6. for referenced descriptions); as well as being a therapeutic target in neurodegenerative, fibrotic, autoimmune, and cardiovascular disorders (see section 1.3.7. for referenced descriptions). It has therefore remained speculative, how a single TG2 gene product can perform and control such a vast array of activities and functions in so many distinct cellular localisations. There is a growing belief that the many attributes of TG2 function may in fact be a result of post-translational modifications and/or alternative splicing (Fraij and Gonzales; 1997), which could lead to the generation of a subfamily of TG2 molecules, each with their own unique characteristics.
A growing number of shortened versions of the TG2 protein have already been reported in both human and rat tissue (see Table 5.1. for a descriptive summary), in addition to a larger immuoreactive 120-kDa protein seemingly present in some cancerous or immortalised cell-types (Knight et al., 1990a; 1990b). Alternative splicing of the TG2 gene was originally observed in human erythroleukaemia (HEL) cells where SDS-PAGE analysis revealed a shorter protein homologue with a molecular weight of 63-kDa (Fraij et al., 1992), and an additional even shorter form at 38-kDa in these cells (Fraij and Gonzales, 1996). Another two short-form variants of human TG2 protein were reported recently (Lai et al., 2007), exhibiting molecular weights of 70-kDa and 75-kDa respectively, but differing from the preceding two in alternative splicing events (Fraij et al., 1992; Fraij and Gonzales, 1996). Furthermore, a short-form of human TG2 was also found in brain tissue from
| Molecular weight | Tissues characterised | Description and Functional attributes | References |
|------------------|-----------------------|--------------------------------------|------------|
| 120-kDa | Metastasising rat sarcoma, HSV-2-induced hamster fibrosarcomas | Inactive form that is absent in normal tissue; shares common antibody-recognising epitope with native TG2; treatment with trypsin and thrombin resulted in the expression of native 80-kDa TG2 | Knight et al., (1990a; 1990b) |
| 61.7-kDa | Human erythroleukaemia (HEL) cells | Termed TG-H, confirmed alternatively spliced human variant; treatment with retinoic acid revealed transcript, cDNA encodes a shorter polypeptide of 548 amino acids which possesses the native TG2 active site and Ca$^{2+}$-binding site, possesses a 1.9-kb mRNA transcript | Fraij et al., (1992) |
| 38-kDa | Human erythroleukaemia (HEL) cells | Termed TG-H2, confirmed alternatively spliced human variant, treatment with retinoic acid revealed transcript, cDNA encodes a shorter polypeptide of 349 amine acids which possesses the TG2 active site and Ca$^{2+}$-binding site | Fraij and Gonzales, (1996) |
| 36-kDa | Rabbit liver nuclei | GTP-binding TG2 isoform found in the nucleus | Singh et al., (1995) |
| 73-kDa | Rat brain astrocytes | Termed S-TGN; confirmed alternatively spliced rat variant, treatment with the cytokines IL-1β and TNF-α up-regulated S-TGN transcript levels; cDNA encodes a shorter polypeptide of 652 amino acids; possesses a 2.4-kb mRNA transcript; predicted pI of 4.64; C-terminus lacks a site for GTP-binding resulting in a reduction of Ca$^{2+}$-dependent transamidating activity, production of aggregated proteins in neurodegeneration, and a switch to apoptotic TG function. | Monsonego et al., (1997) |
| n/a | Middle cerebral and spinal cord injury in rats | S-TGN described by Monsonego et al., (1997) was confirmed by RT-PCR analysis. | Tolentino et al., (2004); Festoff et al., (2002) |
| n/a | Human brain (Alzheimers disease patients) | S-TGN described by Monsonego et al., (1997) was confirmed by RT-PCR analysis, however sequencing of the short TG2 DNA revealed a structure similar to the TG-H described by Fraij et al., (1992) | Citron et al., (2001) |
| 62-kDa | Mouse central nervous system | Isoform was not due to alternative splicing, but thought to be a product of proteolytic cleavage | Citron et al., (2005) |
| n/a | Mouse Embryonic Fibroblasts (NIH-3T3) | Termed TG2-S; Myc-TG2-S constructs as described by (Fraij et al., 1992) were transfected into NIH-3T3 cells; revealed that TG2-S induced apoptosis in NIH 3T3 cells after 12 hours that was not dependent on transamidation activity, but was rather the outcome of its unique capability to undergo high-order aggregation. | Antonyak et al., (2006) |
| 75-kDa and 70-kDa respectively | Human leukocytes; Aortic vascular smooth muscle; Human umbilical vein endothelial cells (HUVEC) Neuroblastoma | Termed TG2v1 and TG2v2; both confirmed as novel alternatively spliced variants of human TG2; cDNAs encoded 674 and 645 amino acids respectively, that shared 622 identical amino acids with native 80-kDa TG2, with an alternate 52 and 23 amino acids on the C-terminus; C-terminus lacks a site for GTP-binding resulting in a reduction of Ca$^{2+}$-dependent transamidating activity, however still active in the presence of GTP; retained FN-binding, sensitive to proteolysis by trypsin, did not alter caspase activation suggesting preservation of the anti-apoptotic role of TG2 | Lai et al., (2007) |
| | | | Lee et al., (2010) |
Alzheimers disease patients (Citron et al., 2001), that was identical to the version discovered earlier in HEL cells by Fraij et al., (1992). In rat tissue, pioneering investigations carried out on cytokine-treated rat brain astrocytes (Monsonego et al., 1997), middle cerebral artery injury (Tolentino et al., 2004) and rat spinal cord injury (Festoff et al., 2001) revealed alternative splicing mechanisms similar to those reported in human tissue by Lai et al., (2007), where a 73-kDa TG2 protein was observed (Monsonego et al., 1997). Taken together, these discoveries present an avenue for an emerging field of TG research that is crucial for a complete interpretation of TG2 biochemical enzyme roles attributed to the specific functions of various cell types.
One characteristic that is evidently shared by all the shorter TG2 isoforms reported to date is that there is a high degree of sequence conservation at the N-terminal end of these proteins where the Cys\textsubscript{277} active site and Ca\textsuperscript{2+}-binding sites exist, with modifications of the transcripts occurring in the C-terminus, where the main GTP-binding site is found (Fraij et al., 1992; Monsonego et al., 1997; Liu et al., 2007, Antonyak et al., 2007; Tee et al., 2010). Some of the sophisticated approaches taken in these published studies to isolate and confirm the presence of new TG2 isoforms were initiated by cDNA sequencing, site-directed mutagenesis and other techniques such as stable cell transfection. However, the experimental design adopted in this chapter focussed firstly on the biochemical protein characterisation of β-cell TG in various pancreatic tissues as a starting point, due to the lack of published evidence for this cell system in the literature from which to draw upon. It was already evident from activity studies in the previous chapter that the β-cell TG appeared to catalyse Ca\textsuperscript{2+}-activated cross-linking of various amines into proteins, demonstrating inhibition of enzyme activity when GTP was included in the reaction, and the occurrence of irreversible inhibition of enzyme activity in the presence of Cys\textsubscript{277} active site directed TG inhibition by R281, R283 and BOC-peptide. These clues led to strategies used in experimental design which focussed on antibody-antigen recognition using the CUB7402 antibody which acts on the Ca\textsuperscript{2+}-binding epitope, further GTP-binding analysis, and the use of molecular primers and probes directed towards the C-terminal end of the β-cell TG molecule.
The current chapter will therefore aim to support the biochemical aspects presented in the previous chapter by characterisation of the TG protein expression profile in clonal pancreatic β-cells and freshly isolated islets of Langerhans. In order to confirm and visualise the morphological expression and molecular weight of TG2 in rat clonal β-cells, glucose-stimulated insulin-secreting BRIN-BD11 cells will be assessed using immunofluorescence and western blotting respectively. Human pancreas cryosections from normal or diabetic donors will then be viewed immunofluorescently for TG2 and insulin content, together with western blot analysis of human islets. Freshly isolated islets from the pancreases of TG2\(^{+/+}\) and TG2\(^{-/-}\) mice exhibiting a type 2 diabetes phenotype (De Laurenzi and Melino, 2001) will be assessed once again in this chapter for TG expression and insulin content using both immunofluorescence and western blotting. To address the possibility of a unique TG isoform present in pancreatic β-cells, further analysis of BRIN-BD11 cells will be performed by two dimensional SDS-PAGE and western blotting followed by peptide mass fingerprinting using mass spectrometry. The effect of matrix metalloproteinases (MMP) on BRIN-BD11 TG2 and the potential for GTP-binding of this enzyme will then be carried out using western blotting. A simple comparative screening of TG1, TG2, and TG3 in BRIN-BD11 (together with MIN-6 and INS1E) will then be considered by utilising western blotting and RT-PCR analysis. Further molecular characterisation of the BRIN-BD11 TG2 mRNA profile (together with MIN-6 and INS1E) using northern blot analysis will be the next step. The chapter will then be concluded using RT-PCR analysis of BRIN-BD11 RNA by constructing primers directed at the alternatively spliced transcripts reported previously in rat brain (Monsonego et al., 1997; Tolentino et al., 2004).
5.2. Results
5.2.1. The expression of TG2 protein in pancreatic β-cells
184.108.40.206. BRIN-BD11 rat clonal insulinoma β-cells
As a starting point, it was important to confirm the presence of TG protein reported in chapter 4 by visualising the morphological expression of TG2 antigen in glucoseFigure 5.1. Immunofluorescence
Figure 5.2
Figure 5.3.
stimulated insulin secreting BRIN-BD11 β-cells. This was achieved using immunofluorescent staining with a well established monoclonal TG2-specific antibody (CUB 7402) originally raised against guinea pig liver TG2. When the BRIN-BD11 cells were stimulated with concentrations of glucose between 5 mM to 40 mM for insulin secretion (fig. 5.1), TG2 antigen signal appeared to increase intracellularly (fig. 5.1., panels A, D, G, J) together with the presence of insulin content (fig. 5.1, panels B, E, H, K). Co-localisation of both TG2 and insulin antigen in the extracellular adhesion processes of the glucose-stimulated BRIN-BD11 cells was also evident (fig 5.1., panels C, F, I, L, arrows), and confirmed using semi-quantitation of the fluorescence signals, where glucose concentrations of 17 mM proved to result in optimal expression ($p < 0.001$) of both insulin granules and TG2 protein (fig. 5.2.). Under conditions of low glucose (5 mM), when the primary insulin secreting function of these β-cells was at basal levels (fig. 5.1., B; fig. 5.2.), TG2 antigen expression was also at corresponding low levels (fig. 5.1., A; fig. 5.2), suggesting the importance of TG2 in this functional β-cell mechanism.
The molecular weight of the TG2 antigen present in BRIN-BD11 cells was confirmed in an immunoblot, showing a shorter CUB 7402 immuno-reactive protein at 60-kDa, compared to the 75-kDa guinea pig liver TG2 positive control (fig. 5.3. A). A second immuno-reactive TG2 band was observed at 120-kDa when whole cells were collected for lysis using a cell scraper (fig. 5.3A), which was less noticeable when the cells were collected for lysis using the membrane protease trypsin (fig. 5.3B). When BRIN-BD11 cells homogenates were treated with increasing glucose concentrations (10 mM to 30 mM), the TG antigen at 60-kDa appeared to increase in response (fig. 5.3B), and was confirmed to show maximal TG2 antigen levels at 17 mM glucose ($p < 0.001$) after densitometric analysis (fig. 5.3C).
220.127.116.11. **Human Islets**
The morphology of human islet structure in diabetic (fig. 5.4., panels, B, D, F) and normal (fig. 5.4., panels A, C, E) pancreas cryosections was viewed using immunofluorescent labelling with CUB 7402 and insulin antibodies. Islets of Langerhans within normal pancreas exocrine tissue could be delineated using
figure 5.4
Figure 5.5
insulin-positive β-cell staining (fig. 5.4., C, arrows). Co-staining for TG2 revealed the presence of this enzyme within the insulin-secreting islet structures, and also amongst the other exocrine tissue (fig. 5.4., A, E). The diabetic human tissue showed a lack of insulin-containing islet structures (fig. 5.4., D, arrows), however TG2 still seemed to be predominantly present within the surrounding exocrine tissue (fig. 5.4., B, F).
The molecular weight of the TG2 protein present within human islets was characterised using western blotting with CUB 7402 antibody, revealing two predominant immuno-reactive bands at the normal size of 85-kDa and an additional shorter protein at 60-kDa (fig. 5.5.).
18.104.22.168. Wild type (TG2\textsuperscript{+/+}) and Knockout (TG2\textsuperscript{-/-}) Mouse Islets
Freshly isolated TG2\textsuperscript{+/+} and TG2\textsuperscript{-/-} mouse islets were stimulated for glucose-mediated insulin secretion at 5 mM and 20 mM concentrations, and visualised immunofluorescently for TG2 expression (CUB 7402) and insulin content (fig. 5.6). The wild-type islets (TG2\textsuperscript{+/+}) showed insulin responsiveness at both 5 mM (fig. 5.6., panel A) and 20 mM (fig. 5.6., panel G) glucose concentrations with concomitant increases in fluorescent TG2 expression (fig. 5.6., panels B, H) that appeared to co-localise with insulin release (fig. 5.6., panels C, I). In comparison to the normal mouse islets, TG2\textsuperscript{-/-} mouse islets showed consistently lower insulin granule staining at 5mM (fig. 5.6., panel D) and 20 mM (fig. 5.6., panel J) glucose levels. Despite the TG2 gene knockdown in these mice, CUB 7402 staining revealed the presence of low levels of residual TG2 expression at both 5 mM (fig. 5.6., panel E) and 20 mM (fig. 5.6., panel K) glucose concentrations in the TG2\textsuperscript{-/-} mouse islets, which appeared to co-localise with insulin content (fig. 5.6., panels F, L) as in the case of the normal mouse islets.
Immunoblot analysis for the molecular weights of TG2 proteins present in mouse islets revealed the presence of two CUB 7402 immunoreactive short-form proteins in TG2\textsuperscript{+/+} islets at 60-kDa and 35-kDa, compared to the 75-kDa purified guinea pig liver TG2 positive control (fig. 5.7.). Surprisingly, despite TG2 gene knockdown, the TG2\textsuperscript{-/-} mouse islets exhibited CUB 7402 immunoreactive proteins at molecular
Figure 5.6 Immunofluorescence
Figure 5.7
weights of 60-kDa and 120-kDa, similar to the BRIN-BD11 rat clonal cells (fig. 5.7.).
**2-D analysis of TG2 in the BRIN-BD11 proteome**
More intensive characterisation of the BRIN-BD11 β-cells was performed by western blotting after 2-D SDS-PAGE analysis (fig. 5.8). The total BRIN-BD11 proteome was characterised for the first time by silver staining the 2-D SDS-PAGE gel, with IPG strips in the 4-7 pH range proving optimal for isoelectric focussing (fig. 5.8.A). When 2-D SDS-PAGE gels were transferred electrophoretically to nitrocellulose membranes and stained for TG2 proteins using CUB 7402 antibody, one immunoreactive spot was evident at 120-kDa (pI ~5.5), seven predominant spots at ~60-kDa (between pI 4-6), and 3 spots around ~35-kDa (between pI 4-6). Three separate attempts were made to pick immunoreactive spots matching those observed in the immunoblot for peptide mass fingerprinting using mass spectrometry (Table 5.2.), however despite a number of proteins being recognised, the method was unsuccessful in confirming a TG protein.
**22.214.171.124. MMP proteolysis and GTP-binding potential of BRIN-BD11 TG2**
In order to determine whether the 60-kDa short-form immunoreactive TG2 might have been the result of proteolysis by matrix metalloproteases (MMPs), whole BRIN-BD11 β-cells were treated with broad range MMP inhibitors (Galardin, 364205) and resulting western blots were stained using CUB 7402 antibody (fig. 5.9.). MMP inhibition resulted in no molecular weight changes of the TG2 short-form proteins originally observed, when compared to negative controls (fig. 5.9.).
Following on from the inhibition of TG activity in BRIN-BD11 cells as a result of GTP-γ-S treatment (fig. 4.1), it was important to determine whether the 60-kDa β-cell TG protein observed in these investigations might have the potential for this GTP-binding ability. The BRIN-BD11 cells were separated into cytosolic and membrane fractions, and incubated with GTP-agarose beads to reveal predominant GTP-binding by the 60-kDa TG protein in the membrane fraction (fig. 5.10).
Figure 5.8. 2-D gel
Table 5.2
Figure 5.9
Figure 5.10
5.2.2. **TG1, TG2 and TG3 screening of clonal β-cells**
Further analysis of the TG profile in clonal pancreatic β-cells was continued using western blotting. When another TG2 antibody (ID-10) developed in-house and raised against guinea pig liver TG2 was used on the BRIN-BD11 cell lysates, the immunoblot did not pick up the 60-kDa short-form protein previously reported with CUB 7402 (fig. 5.11A).
Two additional β-cell lines were tested for TG2 antigen using CUB 7402 antibody, and similar short-form 60-kDa immunoreactive proteins were detected (fig. 5.11B) in the more differentiated mouse pancreatic insulinoma β-cell line (MIN-6) and rat pancreatic insulinoma cell line (INS-1E).
A screening for the possibility of other TG proteins besides TG2 in BRIN-BD11 and MIN-6 cells revealed the presence of TG1-positive bands in the molecular weight range of 65- to 75-kDa in both cell lines (fig. 5.11 C, D). Western blot analysis using TG3 staining revealed the absence of any immunoreactive bands in both MIN-6 and BRIN-BD11 cells (fig. 5.11 E, F).
The mRNA isolated from BRIN-BD11 rat clonal β-cells, freshly isolated rat islets and rat pancreas were used in RT-PCR experiments where conventional probes directed at the TG1, TG2 and TG3 active-site regions were constructed (fig. 5.12A). The PCR products were electrophoresed on a 1.5% agarose gel, and ethidium bromide stain was quantified using densitometric analysis (fig. 5.12B). Untreated BRIN-BD11 cells (fig. 5.12A, lane a), rat islets (fig. 5.12A, lane d) and rat pancreas (fig. 5.12A, lane e) possessed high basal levels of TG2, with low levels of TG1 and virtually no signal for TG3 (fig. 5.12B) present.
BRIN-BD11 cells treated with 0.1 μM and 3 μM all trans retinoic acid for 48 hours (fig. 5.12A, lane b), resulted in significant ($p < 0.05$) up-regulation of TG1 and a concomitant down-regulation of TG2, compared to the untreated BRIN-BD11 controls (fig. 5.12B).
Figure 5.11.
Figure 5.12
5.2.3. The expression of TG2 mRNA in BRIN-BD11 β-cells
126.96.36.199. Northern blotting
To verify whether the short-form 60-kDa β-cell protein observed using western blotting was possibly sourced from the mRNA level, northern blotting was employed (fig. 5.13 and fig. 5.14). BRIN-BD11 cells revealed the presence of a full-length 3.5-kb TG2 transcript (~30% expression), and additional shorter transcripts in the 2.5-kb (~60% expression) and 1-kb range (~10% expression), after a minimum of 5 hrs exposure with a BAM 388 TG2-specific probe directed towards the N-terminus of the TG molecule (fig. 5.13C). Exposure of another BRIN-BD11 northern blot for 24 hours with a BAM 1638 TG2-specific probe directed towards the C-terminus of the TG molecule, showed a predominant short-form TG2 transcript in the 2.5-kb range (~90% expression) and minimal expression (~10%) of the full-length 3.5-kb TG2 transcript (fig. 5.13D).
Northern blot analysis of the TG2 mRNA profile in other clonal β-cells exhibited only the full-length 3.5-kb TG2 transcript in MIN-6 mouse β-cells when the N-terminus BAM 388 probe (fig. 5.14A) was used (5 hours exposure), and no signal evident when the C-terminus BAM 1638 probe (fig. 5.14B) was used (24 hours exposure). The other rat clonal β-cell line, INS1-E exhibited a TG2 transcript slightly shorter (~2-kb) than the BRIN-BD11 TG transcript present in the 2.5-kb range, when this northern blot was exposed for 24 hours to the C-terminus BAM 1638 TG2-specific probe (fig. 5.14B).
188.8.131.52. RT-PCR analysis
PCR analysis of mRNA derived from the rat clonal BRIN-BD11 β-cells (fig. 5.15) was performed using primers constructed specifically to lead to the synthesis of distinct C-terminal fragments, corresponding to either full-length or alternatively spliced short-form TG2 transcripts previously reported in rat brain cells (Monsonego et al., 1997). The BRIN-BD11 rat β-cells exhibited a 512 bp fragment consistent with full-length TG2 and a corresponding 410 bp fragment for short-form TG2 when PCR amplification products were electrophoresed on a 1.5% agarose gel (fig. 5.15),
Figure 5.13
Figure 5.14
Figure 5.15
suggesting similarities between the shortened TG2 isoform present in rat brain and rat pancreatic BRIN-BD11 cells.
5.3. Discussion
Investigations into the β-cell specific TG2 present within BRIN-BD11, human and TG2\(^{-/-}\) mouse islets were performed in the current chapter using protein and mRNA characterisation techniques. The ~60-kDa short-form CUB 7402-immunoreactive protein in BRIN-BD11 cells was evident from immunoblots at the outset of this investigation, despite numerous attempts at maintaining low temperatures and varying lysis buffers or protease inhibition of the tissue culture samples before western blot analysis. Within the context of a short-form β-cell TG protein being evident through western blot analysis, the question remains about whether the protein may be an alternatively spliced variant, a proteolytically cleaved functional isoform, a possible degradation product, or that the antibody specificity may require further confirmation for the antigen being tested. Nonetheless, the presence of a non-classical truncated TG protein present within these β-cells dictated the route of investigation in the current chapter.
At the outset, membrane proteolysis through routine BRIN-BD11 cell culture trypsinisation procedures resulted in slight changes between the signal strength at 120-kDa and 60-kDa. Interestingly, in studies performed by Knight et al., (1990a and b), proteolysis of the 120-kDa TG2 protein by thrombin and trypsin resulted in the expression of an 80-kDa TG2 isoform, suggesting that more extensive proteolytic investigations of the BRIN-BD11 β-cell TG could potentially reveal further information. In the present study, the short-form 60-kDa β-cell TG2 did not seem to be affected by broad range MMP proteolysis. It would be interesting to assess the activation of other proteases such as calpain on the β-cell TG2 during stimulus secretion coupling, since it has been reported in SH-SY5Y cells (Zhang et al., 1998) that depletion of GTP increases TG2 degradation by calpain after elevation of intracellular Ca\(^{2+}\) levels, which results in a reduction of TG2 activity as well.
Western blot analysis of BRIN-BD11 lysates separated into cytosolic and membrane fractions revealed that the 120-kDa immunoreactive protein was associated mostly with the membrane fraction, and exhibited GTP-agarose binding potential. In addition, the membrane-associated 60-kDa CUB 7402 immunoreactive protein showed the potential to bind GTP-agarose, suggesting that the GTPase function of TG could be attributed to the cytoskeletal exocytotic web present in the particulate fraction of β-cells. The CUB 7402 antibody is monoclonal with an epitope targeting the TG2 Ca$^{2+}$-binding site region (see fig. 5.16.), suggesting a structural conservation in this region for the short-form β-cell enzyme. This Ca$^{2+}$-dependent TG activity in β-cells was also evident from the assays demonstrated in chapter 4. The influx of Ca$^{2+}$ during stimulus secretion coupling may therefore be an important contributor to the activation of the TG enzyme in these β-cells. Immunofluorescent visualisation of the TG2 protein in BRIN-BD11 cells using the same CUB7402 antibody confirmed the large extent to which this enzyme was up-regulated upon 17 mM glucose-stimulation, co-localising with the assembly of insulin granules in extracellular secretory processes.
Multiple TG2 CUB 7402-immunoreactive spots were evident in the ~60-kDa molecular weight range between the predicted isoelectric point (pI) 4 to 6, when western blot analysis was performed following 2-D SDS-PAGE separation of BRIN-BD11 proteins. This may be an interpreted as an indication of post-translational modifications to the TG2 protein that migrated to ~60-kDa, possibly through phosphorylation (Riederer, 2008). Additional spots were evident at 120-kDa and ~35-kDa from these whole cell lysates, confirming the characterisation of immunoblots described above. The pI from the short-form TG2 characterised by Fraij et al., (1992) was 4.84, while classical human TG2 has a pI of 4.95, guinea pig liver TG2 is 4.92, and human factor XIIIa exhibits a pI of 5.88. In spite of the 147 amino acids missing in the short-form TG2 characterised by Fraij et al. (1992), when compared to full-length TG2, the pI’s were similar implying that the amino acids at the carboxy-terminal of full length TG2 may not have a drastic effect on the tertiary structure of the protein. Unfortunately, many attempts at protein spot-picking for mass spec analysis did not reveal peptides matching any TG, in the course of these investigations. Nonetheless, a search through the literature revealed that the BRINFig. 5.16
BD11 proteome has not been published to date, making these investigations a good foundation for the continued characterisation of this particular pancreatic β-cell line.
Despite published reports by Porzio *et al.*, (2007) of a single 85-kDa isoform for human islet TG2 when the same CUB 7402 antibody was used, in this investigation, there remained the consistent presence of an ~60-kDa short-form TG2 protein (in addition to the 85-kDa protein already published). The discrepancy between both results could be due to differences in lysate preparation, or half communication by these authors as a result of dismissing any shorter bands as degradation products, as can be the case with western blot analysis. Taking into account the two prominent TG2-positive bands at 60-kDa and 85-kDa in human islets within this investigation, but the lack of an ~85-kDa band in clonal BRIN-BD11 β-cells, it may be tempting to speculate that a microcapillary source of TG2 is always present in freshly isolated islets and could reflect the differences in protein sizes between endothelial- and β-cell sources. DNA and protein sequencing experiments for human islet TG2 would be worth pursuing in the future as a means of substantiating these differences.
Results from RT-PCR analysis of human islet mRNA has been recently published (Porzio *et al.*, 2007), revealing high amounts of TG2 expression when primers were directed at the TG2 active site region, which was also evident during preliminary experimentation in this study. The data was not presented here due to the extent of RNA degradation in the three separate batches of cryopreserved human islets obtained from the UK Tissue Bank (UKTB). In the human diabetic pancreas, despite reductions in insulin-producing β-cells or islet-structures compared to normal controls, there were still high levels of TG2 antigen in diabetic exocrine tissue, suggesting additional roles for TG2 that may not be related to insulin function, but rather associated with a cell survival role within the diseased pancreas. However, the result of human pancreas cryosections being viewed by confocal microscopy meant that the TG2 antigen levels could have been over-emphasised, despite background autofluorescence being subtracted, so that it may be worth assessing the presence of TG2 during the stress response of diabetes, using more quantitative biochemical techniques.
Western blot analysis of wild-type mouse islets revealed the presence of a predominant short 60-kDa protein, and an even shorter 35-kDa product, similar to that observed in the 2-D SDS-PAGE BRIN-BD11 immunoblots. Investigations carried out by Fraij and Gonzales (1996) reported the presence of a 38-kDa human TG2 isoform as a result of alternative splicing, which was structurally made up of the N-terminus region of the TG2 molecule, and contained the Cys\textsubscript{277} active site region. In order to confirm the possibility of shorter functional mouse TG2 isoforms, protein and DNA sequencing would be required. Until then any shorter immunoreactive bands are certainly worth reporting in an attempt towards characterisation for future reference. Immunofluorescent analysis of wild-type mouse islets isolated through collagenase digestion, and stimulated with 20 mM glucose revealed co-localised insulin and TG2 staining, however background autofluorescence within mouse tissue, as in the case with human tissue, remains an issue that needs to be overcome when employing this technique.
Western blot analysis of lysates from both the wild type and TG2\textsuperscript{-/-} mouse islets demonstrated the presence of an immunoreactive band at ~60 kDa corresponding to the short-form protein found in BRIN-BD11 cells. This CUB 7402 immunoreactive band in the TG2\textsuperscript{-/-} mouse islets could be viewed as a contradiction to the original findings of Melino and co-workers (De Laurenzi, et al., 2001). The reason for this apparent discrepancy is unclear, although a clue may come from examining the construct used to disrupt the TG2 gene. Generation of the original TG2 knockouts resulted from the replacement of exons 5 and 6 with a targeting vector containing the neomycin resistance gene (fig. 5.17). Whilst this abolished TG2 activity, there could presumably still be transcription to give an inactive protein. It could be that the original recombination resulted in the generation of a stop codon that lead to the production of an inactive and slightly truncated protein. If the truncated region did not incorporate the binding site of the TG2 antibody, then probing would fail to detect a TG2 band in these animals. It could be speculated that the loss of such a stop codon through repeated breeding of the TG2 knockouts would again lead to read through and the generation of the 60-kDa TG2 protein, which appeared prominently in the islets of the TG2\textsuperscript{+/+} wild-type counterparts also. However, it also cannot be ruled out that the original TG2 knockouts might have shown the presence of this 60-kDa TG2 protein in the mouse islets, given that previous western blot
Fig 5.17
analysis was only performed on liver and thymus extracts in the original publication (De Laurenzi et al., 2001). In a second TG2-deficient mouse model created by Nanda et al. (2001) the absence of a 75-kDa band confirmed the successful generation of a TG2\(^{-/-}\) genotype, however three bands at 60-kDa, 50-kDa and 20-kDa were still reported in heart and liver extracts using the same CUB 7402 antibody.
The presence of a TG2 positive 60-kDa band in the TG2\(^{-/-}\) islet lysates is likely to represent an inactive form of the enzyme since generation of the knockout results from disruption of the active site of TG2 rather than deletion of the gene. This is supported by the measurement of TG activity in the TG2\(^{-/-}\) islets presented in chapter 4 using cross-linked FITC cadaverine and \([^{14}\text{C}]\)-putrescine, which showed an extensive decrease of TG activity. However TG2\(^{-/-}\) islets still retained about half the TG activity of wild type cells when endogenous β-cell substrate proteins were used. Immunofluorescent analysis of the TG\(^{-/-}\) mouse islets upon 20 mM glucose stimulation revealed slight increases in the CUB7402-reactive TG2 protein and associated insulin content, however the levels of expression were much lower compared to the TG2\(^{+/+}\) islets. These results are in keeping with studies undertaken by Bernassola et al. (2002), where fasting insulin release and glucose-stimulated insulin secretion from TG2\(^{-/-}\) islets revealed mild impairment in the β-cell secretory mechanism due to the TG2 gene disruption. Only slight differences were noticeable in islet β-cell mass within the TG\(^{-/-}\) islets, compared to wild type controls in this study, corroborating morphological observations made by these authors (Bernassola et al., 2002). An additional point worth considering is that the TG2 knockout model is expected to affect TG2 expression in both the β-cells and the endothelial microvasculature of the functional islet, which should in combination contribute towards the diabetes phenotype of these mice.
Not much is known about the expression of other TG enzymes in mouse pancreatic islets apart from TG2 that may account for this enzyme activity. A likely candidate could be TG1 (keratinocyte TG) since this enzyme is expressed in the major organs of the TG2\(^{-/-}\) mouse in the absence of TG2 activity (De Laurenzi et al., 2001) and is significantly expressed (albeit at low levels) in human islets using RT-PCR analysis (Porzio et al., 2007). Taken together with the possibility of other TGs compensating
for the targeted disruption of TG2 gene function as well, the amount of TG activity reflected in the TG2\(^{-/-}\) model should be viewed more holistically. It would be interesting to analyse the TG2 mRNA profile of the TG2\(^{-/-}\) mice using northern blot analysis and RT-PCR, in order to verify transcription and splicing as a result of intron manipulation in these mice.
Screening for the presence of TG1, TG2 and TG3 in \(\beta\)-cells was performed on the protein level using western blotting, and extended to mRNA analysis using RT-PCR. The ID-10 antibody was raised against a guinea pig liver TG2 immunogen, which is known to detect an 80-kDa protein with purified human TG2, but more specifically targets plant TG (pers. comm. Dr. Alan Hargreaves). In this instance, the ID10 antibody did not detect the BRIN-BD11 \(\beta\)-cell TG. It would be interesting to understand why there was no immunoreactivity in this case, but seeing that the ID10 antibody was developed in-house and has not been fully characterised for site-specificity, these results cannot be further verified. The amount and distribution of rat pancreatic mRNA using specific primer sets and known cDNA sequences for TG1, TG2 and TG3 were analysed through RT-PCR. The relative amounts of TG transcripts standardised to GAPDH content through densitometry revealed an abundance of TG2 within BRIN-BD11 cells, with a low levels of TG1 and virtually no TG3 present in rat \(\beta\)-cells, which was similar to the trend previously reported in human islets (Porzio et al., 2007).
Preliminary immunoblots used to detect the presence of TG1 were expected to give a positive band (if any) at 106-kDa or 92-kDa, however immunoreactive bands were evident in the 60-70-kDa size range in both BRIN-BD11 and MIN-6 cells. The TG1 protein is an inactive zymogen at 106-kDa and 92-kDa (depending on membrane attachment through a 10-kDa adduct), and is then proteolytically cleaved into a 67-kDa; 67-kDa/33-kDa complex; or 67-kDa/33-kDa/10-kDa complex that has respectively increasing transamidating activity (Kim et al., 1995; Steinert et al., 1996). Further analysis for a possible \(\beta\)-cell specific TG1 would be interesting seeing as lysate preparations using keratinocytes are already known to result in the differential expression of TG1 proteins through western blot analysis and TG activity assays. For instance; trypsin treatment for 15 minutes usually results in a proteolytically cleaved 80-kDa version of the TG1 protein within particulate
fractions (Rice et al., 1990); while the use of dispase treatment on cytosolic fractions produces an activated 67-kDa/33-kDa/10-kDa TG1 form (ie. 106-kDa) which has very high transamidating activity when measured through common TG assays (Kim et al., 1995). Membrane-bound TG1 can also be released from particulate fractions so that the 10-kDa lipid adduct is still attached to the protein with the use of Triton-X-100 (Steinert et al., 1996), whereas endogenous proteolytic cleavage is also possible by incubating particulate fractions in the presence of high Ca$^{2+}$ at 37°C for 90 minutes with controlled protease inhibition (Rice et al., 1990). Additionally, calpain treatment, retinoic acid and the use of protease inhibitors are known to affect the level of TG1 protein expression in western blot analysis (Michel et al., 1989). Immunoprecipitation experiments using both TG1 and TG2 antibodies for the BRIN-BD11 $\beta$-cells would confirm whether both TG proteins play any associative or functional roles, as suggested by these preliminary investigations.
Immunoblot analysis for TG3 revealed the absence of this protein in BRIN-BD11 and MIN-6 cells, as was observed through RT-PCR analysis. Much like TG1, the TG3 protein requires proteolytic cleavage to facilitate activation, where the latent pro-enzyme exhibits a molecular mass of 77-kDa which is cleaved to produce a catalytically active 50-kDa fragment and a 27-kDa carboxy-terminal peptide (Kim et al., 1990). The proteases responsible for the activation of TG3 remains unknown, however both dispase and calpain have been used successfully to proteolysate the TG3 zymogen. Perhaps the most significant part of the lack of TG3 in $\beta$-cells is the possibility that the GTP-binding potential observed in the BRIN-BD11 cells so far could most likely be the result of TG2 or TG5, seeing as only TG2, TG3, and TG5 have the conformational capacity to bind GTP, compared to the other TGs (Liu et al., 2002; Ahvazi et al., 2004a, Candi et al., 2004).
Retinoids are known to increase TG gene transcription and TG activity in a variety of tissues and cell lines (Davies et al., 1988; Goldman, 1987; Suedhoff et al., 1990; Rubin et al., 1986; Jetten et al., 1986; Mehta et al., 1987; Nara et al., 1989; Michel et al., 1989; Denning et al., 1991, Driscoll et al., 1997). TG activity assays presented in chapter 4 showed a dependence of BRIN-BD11 cells on all trans retinoic acid for an almost 2-fold increase in TG activity. Pilot experiments using RT-PCR analysis in this chapter, revealed that under the 48 hours treatment of 0.1 $\mu$M retinoic acid, there
was a decrease in the amount of TG2 PCR product but a noticeable upregulation in TG1 transcript compared to untreated cells. These results are intriguing when viewed in the context of studies performed by Driscoll *et al.*, (1997) where a 100% increase in retinoic acid-stimulated TG activity was observed within RIN-m5F (the parent cell line of BRIN-BD11), however no classical 3.5-kbTG2 transcript was evident in these cells with or without retinoic acid stimulation, using northern blot analysis of mRNA. Of further interest, these authors also reported that the retinoic acid receptor β (RARβ) mRNA was not evident under northern blot analysis of the RINm5F cells, but was present in the slower growing INS-1E and βTC6-7 cells (Driscoll *et al.*, 1997). It would have been worthwhile assessing the effects of retinoic acid on the shortened β-cell TG2 mRNA expression in this investigation using northern blotting, but such experiments were beyond the scope of the current timeframe.
Since the TG activity assay used in chapter 4 does not exclude the action of TG1, increases in catalytic activity within BRIN-BD11 cells may still be due to increases in this enzyme on the transcriptional level. The possibility of retinoic acid stimulation inducing a more differentiated form of BRIN-BD11 cells that results in an upregulation of TG1 seems plausible. Cytoplasmic TG1 is known to be directly involved in the cornified envelope of the epidermis by covalently cross-linking a number of different subplasmalemmal proteins. Recently, TG1 was shown to be expressed in tissues other than the keratinocytes in the epidermis (Eckert *et al.*, 2005) such as the brain hippocampus and cerebral cortex (Ientile *et al.*, 2004), liver (De Laurenzi *et al.*, 2000), lung and kidney (Hiiragi *et al*, 1999), and more recently myocardium microvascular endothelial cells (Baumgartner *et al.*, 2004 and 2007). However, its functional importance within these tissues is far from being understood, but may be worth noting when considering the large endothelial source of TG protein present within the microvascular structures associated between aggregated β-cells in islets (Nikolova *et al.*, 2004).
In a recent study, the cytoplasmic TG1 enzyme was shown to be expressed in murine myocardial microvascular endothelial cells (MyEnd cells) where it gradually accumulates underneath the junctional cell surface during maturation of confluent monolayers (Baumgartner *et al.*, 2004). This endothelial barrier is regulated
according to external stimuli via two types of intercellular junctions, tight junctions and adherens junctions (Lampugnani et al., 2007). Treatment of the MyEnd monolayers with monodansylcadaverine, TG inhibitor R281, as well as specific down-regulation of TG1 by gene silencing siRNA negatively affected the sensitivity of the monolayer towards permeability-increasing stimuli such as depletion of extracellular Ca$^{2+}$ and treatment with the actin-fragmenting compound cytochalasin-D (Baumgartner et al., 2002; 2004), showing that TG1 is causally involved in the strengthening of endothelial barrier properties. Baumgartner et al., (2007) showed that the actin network is stabilised in late confluent MyEnd cells, an effect that can be reversed by TG blocking. Effective immobilisation or clustering of cell-cell adhesion molecules by linkage to the cortical actin filament network dramatically increased intercellular adhesion without changing the extracellular affinity of the adhesion proteins (Baumgartner et al., 2004). TG1-induced cross-linking or stabilisation of junction associated actin may serve to immobilise cadherins, thereby stabilising cadherin-mediated intercellular adhesion, which could be very interesting in the context of cell-cell adhesion within islets and the exocytosis of insulin in these aggregated $\beta$-cells.
The questionable nature of multiple $\beta$-cell tissues possessing a low molecular weight ~60-kDa TG2 protein as presented in this chapter, was addressed with the use of northern blotting probes that were designed to specifically target the TG2 molecule (Johnson et al., 1997). The original TG3400 probe was digested with BAMH1 to give a BAM 388 (towards the N-terminal) and BAM 1638 probe (towards the C-terminal) as described in fig. 5.18. The use of these probes confirmed for the first time the presence of a shortened mRNA transcript in pancreatic $\beta$-cells. The BRIN-BD11 cells exhibited a full-length 3.5-kb TG2 transcript, and additional truncated transcripts in the 2.5-kb and 1-kb range following exposure to the BAM 388 TG2-specific probe. The BAM 1638 TG2-specific probe highlighted a predominant short-form TG2 transcript in the 2.5-kb range with minimal expression of the full-length 3.5-kb TG2 transcript. The differences in signal strength as a result of these two probes could signify clues into the structural nature of this $\beta$-cell TG molecule, since the BAM 1638 would be expected to hybridise towards the C-terminal end, a region expected to be the first to undergo possible deletions as a result of shortened transcripts being produced by the $\beta$-cell. More specifically (see fig. 5.18), the
Fig. 5.18
BamHI 388bp probe would be expected to recognise rat TG2 in the region 1267-1655 (and mouse 1244-1632); while the BamHI 1638bp probe should recognise rat TG2 in the region 1656-3298 (mouse 1633-3270), suggesting that the β-cell TG may have variations in the C-terminal end, compared to full length TG2.
When two other clonal β-cells were tested for CUB 7402 immunoreactivity, both the mouse insulinoma MIN-6 cells and rat insulinoma INS1-E cells showed a ~60-kDa TG2 protein similar in size to the BRIN-BD11 cells, suggesting the potential for these additional β-cell models to be used in future characterisation studies of the short-form TG2. Northern blot analysis of these two cell types revealed the presence of a full-length 3.5-kb TG2 transcript in MIN-6 mouse β-cells when the BAM 388 probe was used, with no signal evident as a result of the BAM 1638 probe; whereas the INS1-E rat cells exhibited a TG2 transcript slightly shorter than the BRIN-BD11 TG2 transcript in the ~2.0-kb range, after exposure to the BAM 1638 TG2-specific probe. Both MIN-6 and INS-1E are slower growing and more differentiated β-cell lines, compared to BRIN-BD11 and its parent cell line, RINm5F, so it is not surprising that there may be differences in the TG expression profile of these insulin secreting cell-types. For instance, there was the absence of a 3.5-kb TG2 transcript in RINm5F cells, but evidence of this TG2 transcript in INS-1E cells when northern blotting was performed by Driscoll et al. (1997), using a different TG2-specific probe. Variations in mRNA and protein expression are a common occurrence in the regulation of gene expression. Discordance in mRNA abundance between the three β-cell lines (BRIN-BD11, MIN-6 and INS-1E) in this investigation using western blotting compared to northern blotting and that of its translated product may also be due to low transcription rates of the mRNA, rapid degradation or aberrant messaging. Furthermore, northern blot analysis may not reflect transcriptional activity of TG2 in a time or dose-dependent manner, and there remains the possibility that mRNA is actively translated to measurable TG protein levels, and then rapidly degraded.
Scanning the literature for shorter TG2 proteins, or shortened mRNA transcripts led to an area of research that dealt with the discovery of alternatively spliced TG2 genes by a few authors (Fraij et al., 1992; Fraij and Gonzales, 1996; Monsonego et al., 1997; Citron et al., 2001; Antonyak et al., 2006; Liu et al., 2007; Tee et al.,
Alternative splicing was observed earliest in human samples of cultured human erythroleukemia (HEL) cells (Fraij and Gonzales, 1997, 1996; Fraij, 1996; Lee et al., 1993; Fraij et al., 1992), where cloning and sequencing of the protein revealed a 1.9-kb cDNA transcript, consisting of a 548 amino acid polypeptide, with a molecular weight of 61.7-kDa. The deduced amino acid sequence revealed a 98% homology to the human TG2 sequence, with the cysteine position at 277 and the putative Ca$^{2+}$-binding site (446-453aa) being conserved (Fraij et al., 1992). Furthermore, comparison of the 5'-end (bases 1-1747) of the 1.9-kb short form homologue to the full-length 3.5-kb TG2 protein showed a high degree of similarity, with the divergence point starting at 1748 on the 3' end showing no homology, and correlating with known intron-exon consensus boundaries as indicative of alternative splicing (Fraij et al., 1992). Northern blot analysis of the short form TG2 in HEL cells (Fraij et al., 1992) revealed the absence of the classical 3' end in the shorter 1.9-kb transcript, and eliminated the possibility that smaller RNA species were due to a degradation of the classical 3.5-kb transcript. When the alternatively spliced products in HEL cells were compared to normal fibroblasts (Fraij et al., 1992), the short-form 1.9-kb transcript was expressed at much lower levels, suggesting that the short-form in HEL cells may have been associated with oncogenesis.
Furthermore, a third human homologue of TG2 was described by Fraij and Gonzales (1996), and was characterised by a polypeptide encoding 349 amino acid residues with a molecular weight of 38.7-kDa by SDS-PAGE. The region coding for the first 286 amino acids of the short-form TG2 (63-kDa), which contains the active site, was identical to this third TG2 (38-kDa) homologue (Fraij and Gonzales, 1996). This 38-kDa variant differs from the 63-kDa isoform in that it was reported to be 199 amino acids shorter, and had an alternative 63 amino acid COOH-terminal peptide. It was concluded from these studies that the smaller RNA species encode for truncated proteins with novel carboxyl termini, since both 63-kDa and 38-kDa isoforms produced transcripts that start with the regular coding sequence for TG2 and then fail to splice at specific donor sites, resulting in the use of an alternative exon that contains a stop codon (Fraij and Gonzales, 1996). It has been suggested that the additional amino acids in both these TG2 isoforms generate glycine-rich areas homologous to the consensus GTP-binding regions (Takeuchi et al., 1992), and it was confirmed that this short-form 63-kDa TG2 isoform displayed a higher GTPbinding activity than the native 80-kDa human TG2 enzyme (Fraij, 1996), which may be related to functions in cell signalling.
The short TG2 isoform observed in human AD brain (Citron et al., 2001) was identical to that found in the HEL cells. The truncation of the TG2 C-terminal region through alternative splicing results in the loss of a domain required for GTP-binding (Citron et al., 2002). However, this is not the 15 amino acid region in the core domain that was identified by others as being required for GTP-binding [^{159}YVLTQQGFIYQGSVK^{173}] (Iismaa et al., 1997; 2000). The shorter TG2 isoform differs from the full-length TG2 with respect to the absence of 30 amino acid residues of the C-terminus (Monsonego et al., 1997). This truncation affects the barrel 2 region of TG2, where GTP binds to the region Lys^{171}. It is thought that the loss of this region produces a much more active enzyme, since the inhibitory effect of GTP is minimised allowing optimal conformation for Ca^{2+}-binding. This short TG2 isoform with higher crosslinking activity is also present in the cytokine treated rat astrocytes in culture (Monsonego et al., 1997), and can be seen with the increased cross-linking observed in affected Alzheimers disease brain regions presenting a likely mechanism underlying the deleterious production of aggregated proteins (Citron et al., 2001; Norlund et al., 1999). Furthermore, the crosslinking found in these neuronal proteins supports a reciprocal role between cross-linking ('irreversible' aggregation) and proteosome function, where proteosome inefficiency is thought to underlie Alzheimers disease with an emphasis on oxidative stress (Citron et al., 2001; Checler et al., 2000). The important aspect of alternative splicing observed in TG2 may be the result of a critical transcriptional regulatory process that becomes disrupted at some early stage during the development of neurodegeneration. The identification of a balance between aggregation, proteosome function and apoptosis is highlighted within neurodegeneration as a possible therapeutic target (Citron et al., 2002).
Pioneering studies by Monsonego et al. (1997) on rat brain astrocytes reported that only low levels of the full-length TG2 transcript (3.7-kb) were expressed, whereas treatments with the cytokines IL-1β and TNF-α upregulated TG2 transcript levels with the induction of an additional 2.4-kb transcript. When this rat astrocyte TG was
cloned, the cDNAs were both almost identical and shared a marked homology with full-length TG2 (encoding an ~77-kDa protein), except that the shorter form (~73-kDa) encoded an enzyme with a different C-terminus (than the longer form) that accounted for lower GTP-dependence and consequently higher Ca$^{2+}$-dependence (Monsonego et al., 1997). A schematic representation of both the alternatively spliced TG2 isoforms present in human (Fraij et al., 1992) and rat (Monsonego et al., 1997) have been described in figure 5.19, where the predicted C-terminal site-specificity of the northern blotting probes (BAM 388 and BAM 1638) used in this study have also been shown.
An interesting study revealed that the clonal isolation of multipotential precursor cells from the adult pancreas express markers characteristic of both pancreatic and neuronal precursors (Seaberg et al., 2004). These authors reported that since these cells were able to generate multiple neuroectodermal and endodermal cell types they were termed pancreas-derived multipotent precursors (PMP’s), and upon differentiation, these clonal pancreas colonies generated multiple types of neural progeny (including astrocytes, oligodendrocytes and mature neurons). These cells also had the potential to produce islet endocrine sub-types such as insulin-producing $\beta$-cells, $\alpha$-cells and $\delta$-cells, as well as exocrine acinar cells and pancreatic stellate cells (Seaberg et al., 2004), where pancreas colonies also generated a significantly higher proportion of neurons than the adult brain-derived clonal neurospheres. The capacity of PMP’s to generate neural and pancreatic progeny may be explained by two alternative hypotheses: i) the pancreas and brain have a common embryological origin from an ectodermal/endodermal precursor population that exists during early embryonic development; or ii) the similarity in gene expression patterns of the brain and pancreas (eg. nestin, Ngn3, Beta2/NeuroD, Pax6) indicate that evolution has re-used the same ‘toolbox’ of genes in two otherwise unrelated tissues (Seaberg et al., 2004). It is notable that neuronal cell bodies lie in close juxtaposition to islet $\beta$-cells in the postnatal pancreas (Persson-Sjogren et al., 2001) and therefore may play a role in the co-ordination of insulin release. This relationship could be extended to the possibility that the alternative splicing reported in rat brain (Monsonego et al., 1997) may very well be related to the shorter TG2 transcripts observed in the BRIN-BD11 rat clonal pancreatic $\beta$-cell observed in this investigation.
Fig. 5.19.
The possible similarity in alternative splicing events between brain and pancreatic β-cells was confirmed in the present study with preliminary RT-PCR experiments using the C-terminal directed TG2-specific primers (refer to fig. 5.19) designed by Monsonego et al., (1997). As demonstrated previously with the same primers by Tolentino et al. (2002) in rat brain, the BRIN-BD11 cells also exhibited PCR amplification products of a 512 bp fragment consistent with full-length TG2 and a corresponding 410 bp fragment for short-form TG2. According to the primers described by these authors (Monsonego et al., 1997; Tolentino et al., 2002; Citron et al., 2002), the 5’TG (bp 1470-1489) recognized an upstream homologous sequence in full-length TG2 (TG-L) and short-form TG2 transcripts (TG-S). The 3’TG2-L (bp1961-82) recognized a downstream TG2-L mRNA-specific sequence, while the 3’TG2-S (bp 1861-1872 and 2083-93) recognized a downstream TG2-S mRNA-specific sequence. It was predicted that the 3’TG2-S primer bridges the junction created by the absence of bp 1873-2082 (a sequence present exclusively in TG2-L). Half of the 3’TG2-S sequence was expected to hybridize to both TG2-L- and TG2-S-specific sequence, while the full length primer was seen to hybridize only to TG2-S mRNA sequence (Tolentino et al., 2002). The possibility of a shortened TG2 isoform in BRIN-BD11 cells, that could be similar in function to the rat brain TG2 isoforms remains to be fully elaborated in the future, however these initial data are promising.
The evidence already existing for shortened, alternatively spliced variants of TG2 have shown deletions and alterations in the C-terminal end of these molecules, where the GTP-binding and phospholipase C regions are expected to be compromised (Fraij et al., 1992; Fraij and Gonzales, 1996; Monsonego et al., 1997; Citron et al., 2001; Antonyak et al., 2006; Liu et al., 2007; Tee et al., 2010). It was recently suggested that the site of ATP and/or GTP hydrolysis in TG2 is located in the N-terminal region between amino acid residues 1 and 185 (Lai et al., 1996). In another study, a 36-kDa protein was co-purified with an 80-kDa TG2 from rabbit liver nuclei, where the 36-kDa fragment was identified as the N-terminal region of the enzyme, and consisted of the first domain and part of the core domain, retaining GTPase activity (Singh et al., 1995). More recently, GTPase activity was detected following deletion of both the N-terminal β-sandwich domain and the two C-terminal β-barrel domains (Iismaa et al., 1997), however it remains to be determined
whether this deletion form is dependent on GTP for its cross-linking activity. In the same study it was suggested that a 47 residue region, and in particular the fragment $^{165}$-GFIYQGSVK$^{173}$, was involved in GTP/ATP binding and hydrolysis (Iismaa et al., 1997). Moreover, the C-terminal region of TG2 is important for its ability to interact with phospholipase C (Hwang et al., 1995; Feng et al. 1996) and with receptor molecules (Feng et al., 1999). The suggestive deletion of this part of the $\beta$-cell TG2 molecule could affect the phospholipase C signal transduction potential of this enzyme, since Go$_{\alpha_1}$ (TG2) was originally identified as the signal transducer between epinephrine binding to $\alpha_1$-adrenoreceptor and phospholipase C activation (Im et al., 1990; Das et al., 1993), specifically phospholipase C-$\delta_1$ (Feng et al., 1996). Further analysis of the short-form $\beta$-cell TG in the context of GTP-binding and possible phospholipase C activation could give important clues for the functional reason behind the TG molecule being modified by this cell system.
The identification and characterisation of any new related mRNA is important for further TG studies, and particularly to what functional role the new protein might perform in the cell. In this chapter, the possibility of an alternatively spliced TG2 variant specific to pancreatic $\beta$-cells seems likely. Western blot analysis showed that rat, human and mouse (TG2$^{+/+}$ and TG2$^{-/-}$) pancreatic $\beta$-cell TG had a predominant shortened molecular weight of $\sim$60-kDa, with close total net changes as judged from the isoelectric points. To our knowledge, no TG of this size has been reported previously in $\beta$-cells. It is likely that the short-form TG described here may represent an isoform of the full-length TG2, since northern blotting has revealed multiple novel short-form mRNA transcripts in BRIN-BD11 cells. This assumption is further strengthened by the $\beta$-cell TG showing a conservation of the active site cys$^{277}$ region as demonstrated in activity assays from chapter 4, the potential for GTP-binding, and the presence of a putative Ca$^{2+}$-binding site immunoreacting with the CUB 7402 antibody. Modifications to the major functions of this short-form $\beta$-cell TG enzyme in isopeptide crosslinking and GTP hydrolysis could very well be affected, depending on any conformational changes resulting from a shortened TG2 protein. Additionally, the possibility that TG1 (which may be transcriptionally regulated by retinoic acid in concert with TG2) could also play a role in the functional dynamic of the pancreatic islet should be noted. RT-PCR analysis of the BRIN-BD11 $\beta$-cell TG
suggests the absence of amino acids from the carboxyl-terminus similar in structure to rat brain alternative splicing transcripts, which may also account for changes in function compared to full-length TG2.
The precise mechanisms of possible alternative splicing in pancreatic β-cells needs to be characterized further using sequencing and carefully designed site-directed mutagenesis studies. However the evidence presented in this chapter certainly points to the exciting possibility of a new TG2 isoform specific to the pancreas, which could represent only the fourth C-terminal truncated TG2 isoform of its type discovered to date (Fraij et al., 1992; Fraij and Gonzales, 1996; Monsonego et al., 1997; Lai et al., 2007). The characterisation of alternative processing in β-cell TG may also have the potential to impact drug discovery paradigms in the future, where specific site-directed modulation of TG isoform activity could have therapeutic value.
Chapter Six:
Extracellular Matrix-Associated Transglutaminase 2 in Pancreatic β-Cells
Sydney Brenner from *Theoretical Biology in the Third Millenium*
“Our analytical tools have become so powerful that complete descriptions of everything can be attained. In fact, obtaining the DNA sequence of an organism can be viewed as the first step, and we could continue by determining the 3D structure of every protein and the quantitative expression of every gene under all conditions. However, not only will this catalogue be indigestible but it will also be incomplete, because we cannot come to the end of different conditions and especially of combinations and permutations of these. Mere description does not allow computation, and novelty cannot be dealt with…To do this effectively not only must we use the vocabulary of the machine language but we must also pay heed to what may be called the grammar of the biological system.
The signal-transduction machinery, a complicated set of interacting proteins, converts signals (delivered to the outside of the cell and to the inside) into chemical currencies, which are used to control a multitude of cellular functions including growth, movement, division, secretion and differentiation. In multicellular organisms, increased complexity has been achieved not by the invention of new genes but simply by the regulation of gene expression.
Building theoretical models of cells would be based not on genes but on their protein products and on the molecules produced by these proteins. We do not have to wait to solve all the difficult problems of protein structure and function, but can proceed by measuring the properties that we require. The reader may complain that I have said nothing more than ‘carry on with the conventional biochemistry and physiology’. I have said precisely that, but I want the new information embedded into biochemistry and physiology in a theoretical framework, where the properties at one level can be produced by computation from the level below. I believe that this is what we should be trying to do in the next century. It will require theoretical biology.”
Brenner, Sydney (1927- ), Biologist and Nobel laureate. ‘*Theoretical Biology in the Third Millenium*’, 1999. Quoted from *The Oxford Book of Modern Science Writing* by Richard Dawkins, Oxford University Press, 2008.
Chapter Six:
Extracellular Matrix-Associated Transglutaminase 2 in Pancreatic β-Cells
6.1. Introduction
Evidence presented in the preceding chapters has highlighted the importance of intracellular and cell surface TG-mediated expression and cross-linking in the insulin secretion function of pancreatic β-cells via its regulation by glucose stimulation, Ca$^{2+}$, GTP, retinoic acid and cell surface proteases; together with a possible role for TG2 in cell survival under conditions resembling the diabetic milieu such as hyperglycaemia, oxidative stress and hyperlipidaemia. Furthermore, molecular characterisation of the β-cell TG presented a possible alternatively spliced short-form variant of the classical TG2 enzyme that may lack a portion of the GTP-binding motif, which could confer higher cross-linking activity in the presence of the high cytosolic Ca$^{2+}$ levels during insulin secretion. A strategy that promotes the fine balance of normal enzymatic function for TG within pancreatic β-cells may therefore be effective in preventing the decline of insulin secretion function or loss of β-cell mass associated with diabetes mellitus, and could potentially represent therapeutic avenues in the context of intra-hepatic islet transplantation.
The survival and functional competence of pancreatic β-cells has been shown to depend upon their interaction with the surrounding extracellular matrix (ECM) (Bosco et al., 2001). To date, the survival of islet cells in attempts for prolonged culture required the presence of pre-conditioned ECM derived from non-endocrine cell sources, such as endothelial cells or bladder carcinoma cells (Bosco et al., 2001; Kaiser et al., 1991; Beattie et al., 1991; Hulinsky et al., 1995; Perfetti et al., 1996; Wang and Rosenburg, 1999; Lefebvre et al., 1998). Pre-conditioned matrices have
also been used in the culture of isolated β-cells derived from dispersed islets (Hayek et al., 1995; Bosco et al., 2000). Further supporting the use of these pre-conditioned matrices, β-cells which spread onto ECM components were found to also maintain optimal insulin secretion in response to glucose stimulation. Pancreatic β-cells may therefore share a commonality with many other anchorage dependent cells, where matrix adhesion is crucial for optimal function and survival. The components of the ECM required for propagating and transducing signals that match respective β-cell surface receptors remains to be fully characterised, especially within the capacity of intracellular survival signals mediated by these interactions. In the present study, a human urinary bladder carcinoma cell line (5637) was used as model to determine the role of ECM-associated TG2 on β-cell survival and function.
Since 1980, 5637 cells have been known to produce and release growth factors for granulocytes and monocytes (Welte et al., 1985). The conditioned medium from this cell line is often used as a source for haematopoietic growth factors in order to sustain the continuous growth and proliferation of cytokine-dependent leukaemia cell lines. These cells are the parental strain for 1A6 (PTA-556), which produces between two- to ten-fold higher amounts of pluripotent hematopoietic colony-stimulating factor (p-CSF) than the parental cell line 5637. The p-CSF is a glycoprotein constitutively produced by human tumor cells.
**Table 6.1. Cytokine secretion of 5637 cells measured by ELISA**
| Cytokine | pg/ml |
|----------|-------|
| G-CSF | 42 000|
| GM-CSF | 2 100 |
| IL1-β | 14 |
| IL-3 | Negligible |
| M-CSF | 110 |
| SCF | 120 |
IL1-β - Interleukin 1-β; IL3 - Interleukin 3; G-CSF - granulocyte-colony-stimulating factor; GM-CSF - granulocyte-macrophage colony-stimulating factor; M-CSF - macrophage colony-stimulating factor; SCF - stem cell factor. Table adapted from Quentmeier et al., (1997).
The 5637 pre-conditioned medium has been used in laboratories to obtain available metaphases, and is shown to improve both mitotic index and morphological index of
cells in leukaemia studies (Gozzetti et al., 2004). Alternative applications of the 5637 cells have also been employed successfully as an extracellular matrix for the culture of sorted human β-cells (Ris et al., 2002), although here it was a lawn of lysed cells used as a matrix instead of pre-conditioned medium, which has also been used in the culture of whole human islets (Beattie et al., 1997). The 5637 cells constitutively produce and secrete several functionally active cytokines (see Table 6.1.; Quentmeier et al., 1997).
Numerous secreted constituents of this cell line have been characterised, which are known to induce cell proliferation when used as a support matrix (see Table 6.2), and are described here. Pluripoeitin alpha (Gabrilove et al., 1986) is constitutively produced by 5637 cells, and has the capacity to: i) induce the differentiation of the human promyelocytic leukemic cell line HL-60; ii) induce the expression of chemotactic peptide receptors in leukemic cells as well as in normal peripheral blood granulocytes; iii) function as a chemoattractant for neutrophils as well as, under certain conditions, inhibiting their migration; iv) support the growth of eosinophil and granulocyte/macrophage progenitors; and v) support the growth of human mixed pluripotent progenitors and erythroid bursts from normal human bone marrow.
**Table 6.2. Other characterised constituents secreted from 5637 cells**
| Constituent | Reference |
|--------------------------------------------------|----------------------------|
| Pluripoeitin alpha | Gabrilove et al., (1986) |
| Human Interleukin for DA cells (HILDA)/Leukemia Inhibitory Factor (LIF) | Gascan et al., (1990) |
| Hemopoietin 1 (H-1) | Jubinsky et al., (1994) |
| Mononuclear phagocyte specific growth factor (CSF-1) | Jubinsky et al., (1994) |
| Synergistic Factor (SF-1) | McNiece et al., (1989) |
Leukemia inhibitory factor (LIF) (Gascan et al., 1990) was reported to trigger the proliferation of the DA1.a cell line. Hemopoietin 1 (H-1) and mononuclear phagocyte specific growth factor (CSF-1) (Jubinsky et al., 1994) act synergistically on developmentally early bone marrow cells to generate primitive CSF-1 receptor-bearing cells, and synergistic factor (SF-1) McNiece et al., (1989), produced by these 5637 cells, stimulates primitive bone marrow progenitor cells, which are
termed high proliferative-potential colony-forming cells (HPP-CFC) in the presence of an optimal dose of macrophage colony stimulating factor (CSF-1).
Cells adhere and spread on an extracellular matrix by virtue of the binding of cell surface integrins to their cognate proteins in the matrix (Lucas-Clerc et al., 1993; Wang et al., 1999; Aharoni et al., 1997; Beattie et al., 1991). The identification of a discrete panel of integrins expressed by purified human β-cells was published by Ris et al., (2002) to allow for matching their cognate extracellular matrix components with a view to improving attachment and spreading (Ris et al., 2002). The expression of integrin subunits in the human islets, and on the various support matrices by these authors are of interest to this study, and are shown in Table 6.3 and Table 6.4 respectively.
**Table 6.3. The expression of select integrin subunits in human islets**
| | Integrin subunits present in all | Integrin subunits not present in all |
|----------------------|----------------------------------|-------------------------------------|
| **Islets** | α3; α5; α6; αV, β1 | β4 – present |
| **β-cells** | α3; α5; α6; αV, β1 | β4 – not present |
| **Fibroblastoid cells** | α3; α5; α6; αV, β1 | β4 – present |
Table adapted from Ris et al., (2002)
The 5637 lysed matrix was the only one of those listed in Table 6.4. that promoted human β-cell attachment, spreading and survival (Ris et al., 2002). Nonetheless, survival was still low and only increased by adding anti-apoptotic agents (Z-VAD) and antioxidants (nicotinamide), suggesting that the 5637 cells provide only partial restoration of integrin signalling to purified β-cells (Ris et al., 2002). Furthermore, the cell line 804G mentioned in Table 6.4 is a rat bladder carcinoma cell line which showed enhanced attachment and spreading of rat β-cells to this enriched laminin-5-containing matrix (Bosco et al., 2000; Kantengwa et al., 1997), however it was not suitable for the human β-cells when used by Ris et al., (2002).
The 804G matrix was initially considered for use in this investigation, but a patent already existed for this matrix at the time, making it inaccessible. The 5637 cells are considered the human counterpart to these 804G cells and have been used successfully for the culture of monolayers from intact human islets (Quentmeier et
Similar to the laminin-5 present in the 804G cells, the 5637 cell line has also recently (Chakraborty et al., 2004) demonstrated G-CSFR-mediated upregulation of β1-integrin-dependent adhesion to fibronectin and laminin. In the current investigation, a lawn of 5637 cells were characterised and modified for TG2 expression and used as a support matrix in the maintenance of BRIN-BD11 rat pancreatic β-cells.
**Table 6.4. Cognate integrins present in different matrices**
| Human β-cell Attachment | ECM ligand | α6β1 | α3β1 | α5β1 | αVβ3 | αVβ5 | α1β1 |
|-------------------------|-------------------------------------------------|------|------|------|------|------|------|
| Yes | Lysed 5637 cells (Human Laminins) | ++ | ++ | | | | |
| No | Lysed 804G cells (Rat Laminins) | ++ | ++ | | | | |
| No | 5637 cells conditioned medium (Human Laminins) | ++ | ++ | | | | |
| No | 804G cells conditioned medium (Rat Laminins) | ++ | ++ | | | | |
| Yes | Fibronectin | | ++ | ++ | ++ | ++ | |
| Yes | Vitronectin | | | ++ | ++ | | |
| Yes | Gelatin | | ++ | ++ | | ++ | |
++ represents expression of the integrin. Table adapted from Ris et al., (2002)
The environment of a cell can be termed a ‘niche’, which in turn affects its differentiation, survival and proliferation. The term ‘vascular niche’ has been used to describe the environment of cellular development that happens in close proximity to blood vessels (Palmer et al., 2000). Pancreatic β-cells have a high degree of plasticity in that they proliferate *in vivo* to adjust to an increased demand for insulin, but their potential for expansion is severely inhibited *in vitro*, which is usually accompanied by a loss of their endocrine function (Rhodes, 2005). Thus, the therapeutic potential of β-cells can only be fully exploited if the components of their particular ‘niche’ is better understood (Fuchs et al., 2004). Evidence for a vascular niche can be demonstrated by proving that it is not only the blood supply that supports the cells in question.
For pancreatic β-cells this has been shown in co-culture experiments where endothelial cells induced endocrine pancreatic differentiation from embryonic gut epithelium (Dor et al., 2004). This idea was supported further by studying the effects of factors predominantly expressed by endothelial cell basement membranes within pancreatic islets such as laminins and collagen IV, which when added *in*
reproduced increases in insulin secretion and $\beta$-cell proliferation that were observed *in vivo* (Nikolova *et al.*, 2006; 2007). Most of the cell types that seem to require a vascular niche are also interestingly unable to form their own basement membranes, and it is believed that this limitation may be a result of the plasticity of these cells that interferes with the formation of a stable basement membrane (Nikolova *et al.*, 2007). Endothelial cells are remarkable in that they can migrate into every tissue, change their morphology tremendously and simultaneously produce various basement membrane components. These components are found on endothelial cells during angiogenesis and vasculogenesis.
Based on the production of basement membranes, a conserved function of endothelial cells may be to provide the islet $\beta$-cell with an ECM (Nikolova *et al.*, 2007) that could play an important role during tissue development and homeostasis by (i) facilitating the binding of basement membrane proteins to integrins, which serves to signal on their own and also amplify the cell response to various growth factors; (ii) activation of growth factors such as FGFs and VEGFs by heparin sulphate proteoglycans on the basement membrane; (iii) polarisation of cells by basement membranes enabling symmetric and asymmetric cell divisions that depend on the mitotic cleavage plane; and (iv) provide cells with structural support and facilitate migration.
The basement membrane (basal lamina) is a specialised form of ECM that lies close to the basolateral surface of endothelial cells, epithelial cells, smooth and skeletal muscle cells, peripheral nerve cells and adipocytes (Kalluri *et al.*, 2003). The basement membrane provides mechanical stability to cells, serves as a barrier between different cell types and acts as a substrate for cellular interactions. All basement membranes contain laminins, collagen IV, nidogen (entactin) and heparin sulphate proteoglycans. The individual components of the basement membrane have important roles in cell proliferation, differentiation, migration, development and repair. Depending on its specific location and function, the exact composition of the basement membrane in terms of types and isoforms of glycoproteins differs. The formation of the basement membrane is driven by the interesting property of certain laminins (heterotrimeric glycoproteins composed of $\alpha$, $\beta$ and $\gamma$ chains) to
polymerise and to form a scaffold. This scaffold is further stabilised by nidogen and collagen IV. Additional glycoproteins such as heparin sulphate proteoglycans and growth factors bind to this structure (Yurchenco *et al.*, 2004). In mature blood vessels, the basement membrane is located between endothelial cells and mural cells.
Islets of Langerhans are like mini endocrine organs in their own right, made up mostly of aggregates of insulin secreting β-cells surrounded by a network of dense vascularisation (Konstantinova and Lammert, 2004). Islets have 5-7 times more capillaries present compared to its surrounding exocrine tissue in the pancreas (Konstantinova and Lammert, 2004), which enables every β-cell to be directly adjacent to a capillary. For many years it was believed that this dense capillary network served the sole purpose of helping secreted insulin gain access to the bloodstream (Lammert *et al.*, 2003). However it was recently shown (Takahashi *et al.*, 2002) that insulin granules are actually released toward the islet interstitium rather than directly into the capillaries. It has now been proposed that one of the main functions of the numerous endothelial cells within the capillary network is actually to provide β-cells with a vascular basement membrane that promotes their endocrine function and proliferative potential (Nikolova *et al.*, 2006). It has been shown for the first time by these authors that β-cells do not form their own basement membranes, which has some consequence in the context of ECM-associated TG2.
A characteristic feature of TG2 is that this enzyme can be externalised from cells into the ECM via a non-ER/Golgi route (Gaudry *et al.*, 1999). Furthermore, matrix deposition of TG2 occurs in normal physiology, but is increased during cell stress or trauma (Haroon *et al.*, 1999; Johnson *et al.*, 1999). This in turn leads to the immobilisation of TG2 on matrix proteins such as FN (Verderio *et al.*, 1998; Jeong *et al.*, 1995), and subsequent improvements in ECM-adhesion and increased viability in a range of cell types, suggesting that TG2 may propagate survival signals and is therefore an important component of the ECM.
The precise role played by extracellular matrix-associated TG2 in pancreatic β-cells has not been fully established, and the potential for this enzyme as a regulator of βcell adhesion and viability has not been investigated to date. In view of a body of evidence that points to the function of TG2 in survival signalling, matrix interactions and a role that supports cell viability, the present chapter explores whether this enzyme may fulfil these roles in pancreatic β-cells also. A human urinary bladder carcinoma matrix (5637), which was previously used as a β-cell support matrix (Ris et al., 2001) will firstly be characterised for TG content and cross-linking activity, and optimised for the maintenance of BRIN-BD11 β-cells. The optimised 5637 matrix will then be pre-conditioned during matrix protein accumulation by manipulating the levels of TG2 cross-linking activity with the use of active site directed TG inhibitors, or modified by transient transfection with stealth siRNA oligonucleotides targeted towards the knockdown of TG2 protein levels. The optimised 5637 matrix will then be pre-conditioned by immobilisation of purified guinea pig liver TG2 (gpTG2), or catalytically cross-linked by gpTG2 in the presence of Ca$^{2+}$ and DTT. These pre-conditioned 5637 support matrices will then be characterised for levels of fibronectin, laminin and collagen protein turnover. BRIN-BD11 β-cell and rat islet aggregation on the pre-conditioned 5637 matrices will then be assessed by three dimensional (3-D) morphological visualisation, and quantified for insulin content using immunofluorescence. The adherence and spreading profiles of BRIN-BD11 cells on these pre-conditioned matrices will then be viewed immunofluorescently for actin stress fibre formation and quantified in the presence of RGD peptide, hyperglycaemia, oxidative stress and hyperlipidaemia. The viability and apoptosis levels in BRIN-BD11 cells will then be presented as a result of the 5637 support matrix, using hyperlipidaemia.
6.2. Results
6.2.1. Optimisation of the 5637 Pre-conditioned Support Matrix
184.108.40.206. Characterisation of TG2 in the 5637 matrix
Human urinary bladder carcinoma cells (5637), described previously for optimal integrin-matrix matching with pancreatic β-cells (Ris et al., 2001) were selected as a support matrix for the maintenance of BRIN-BD11 cells. The 5637 matrix formed an optimal extracellular support matrix after 72 hours growth, in which very high levels of TG antigen was consistently present when visualised using immunofluorescence with the monoclonal TG2-specific CUB 7402 antibody (fig. 6.1, panels A, B, C).
Furthermore, the TG2 antigen present in the 5637 cells was found to be a full-length classical 85-kDa protein when analysed using western blotting with the CUB 7402 antibody (fig. 6.2). The TG2 cross-linking activity in 5637 cell homogenates was found to be extremely high, at specific activity levels in excess of 8 nmole radiolabelled [14C]-putrescine incorporated into N’N-dimethylcasein per mg of TG2 protein, after 72 hours 5637 matrix accumulation (fig. 6.3).
The 5637 matrices were then optimised and tested routinely using a TG2 ELISA (section 220.127.116.11.2.) after the formation of a 3-day lysed support matrix starting out with $1 \times 10^5$ cells seeded per ml of RPMI medium (containing 10% foetal calf serum) on day 1, as described in section 18.104.22.168.
22.214.171.124. 5637 Pre-conditioned Matrices Over-expressing TG2
It was possible to modify the untreated 3-day 5637 support matrices before lysis by supplementing 10-20 μg/ml purified guinea pig liver TG2 (gpLTG2) in the growth medium of live cells on day 1, which resulted in a 3-fold ($p < 0.05$) increase of immobilised cell-surface TG2 levels, when measured colorimetrically using ELISA with CUB 7402 antibody (fig. 6.4). Detection of TG2 activity in these 3-day 5637
Figure 6.1. and figure 6.2
Figure 6.3.
Figure 6.4. and Figure 6.5.
matrices over-expressing TG2 revealed a 50% reduction ($p < 0.05$) in active enzyme through the incorporation of biotin cadaverine into endogenous 5637 matrix proteins (fig. 6.5), compared to untreated 3-day 5637 matrices.
Another modified 5637 matrix was created by further cross-linking the 3-day 5637 matrix with the addition of 20 $\mu$g/ml gplTG2 in a reaction mix (5 mM CaCl$_2$ and 10 mM DTT added to serum free growth medium for 1 hour at 37°C, 5% (v/v) CO$_2$) before lysis, which resulted in a 10-fold increase ($p < 0.001$) in matrix TG2 levels when detected with an ELISA using CUB 7402 antibody (fig. 6.4). However, despite the high levels of TG2 protein now present on this 3-day 5637 matrix, the levels of cross-linking activity as measured by the incorporation of biotin cadaverine into endogenous 5637 matrix proteins, revealed similar TG2 catalysis to the untreated 3-day 5637 matrix (fig. 6.5).
### 126.96.36.199. 5637 pre-conditioned matrices with inhibited TG2 activity
Manipulation of the 5637 matrix was also possible by the exogenous supplementation of irreversible active-site directed TG inhibitors (R281, R283 and BOC-peptide) in the normal 5637 growth medium on day 1, with a fresh supply of these inhibitors in the growth medium on day 2 and day 3 (see section 188.8.131.52.1). Optimal concentrations for the efficient non-toxic action of R281 and R283 on 5637 cells up until day 3 was measured using MTS viability assays, and was set at 250 $\mu$M for both inhibitors (data not shown). Similarly, optimal inhibitory concentrations for the BOC-peptide was set at 10 $\mu$M up until day 3 (data not shown). When the level of TG2 activity was measured in these 3-day TG-inhibited 5637 matrices using the incorporation of biotin cadaverine into endogenous 5637 matrix proteins (fig. 6.5), the levels of TG activity with both R281 and R283 was found to be reduced by ~50% ($p < 0.05$).
### 184.108.40.206. 5637 pre-conditioned matrices with transient siRNA TG2 Knockdown
3-day 5637 matrices were also modified by reducing the level of TG2 gene transcription, using transient transfection with TG2 gene silencing technology by
Figure 6.6
Figure 6.7
Figure 6.8
constructing specific short interfering RNA (siRNA) oligonucleotide sequences as described in section 220.127.116.11.2. It was important to optimise the TG2 protein knockdown in these 5637 matrices by determining the most efficient concentrations of stealth siRNA duplex combinations over 3 days (fig. 6.6). Concentrations of 40 pmol siRNA oligonucleotide in combination with 1 μl Lipofectamine 2000 over 48 hours in RPMI medium (2% foetal calf serum), with fresh medium (10% foetal calf serum) supplemented on day 3, proved optimal for the transient TG2 gene knockdown in the 5637 cells (data not shown). Western blot analysis of the 5637 cell lysates after 72 hours treatment with the three stealth siRNA duplexes (TG 13, TG14 and TG15) revealed that double combinations of all TG2-specific siRNA complexes knocked down the level of CUB 7402 immunoreactive TG2 at 85-kDa (fig. 6.6A), with the combination of 40 pmol TG13/TG14 being most effective by inducing a 50% reduction ($p < 0.05$) in TG2 protein levels compared to untreated 5637 cells (fig. 6.6B). Assessment of the specific TG2 cross-linking activity in the siRNA transfected cells was performed by measuring the incorporation of radiolabelled $[^{14}\text{C}]$-putrescine into N’N-dimethylcasein, and all three combinations of stealth siRNA duplexes resulted in a greater than 50% reduction ($p < 0.001$) in TG2 cross-linking activity, with the 40 pmol TG13/TG14 combination being most effective after 3 days (fig. 6.6.C).
As a result of these optimisation studies, the 40 pmol TG13/TG14 siRNA duplex combination was then used in all subsequent 3-day siRNA-transfected 5637 matrices. The morphology (fig. 6.7) and semi-quantified TG2 activity levels (fig. 6.8) of siRNA-transfected 5637 matrix formation over 3 days was visualised fluorescently through the incorporation of FITC-cadaverine, and revealed ~75% reduction ($p < 0.001$) of TG2 activity (fig. 6.8) and fewer cell to cell contacts through matrix aggregation as a result of TG13/TG14 siRNA-mediated TG2 gene silencing (fig. 6.7 panel I, arrows).
### 18.104.22.168. 5637 Pre-conditioned Extracellular Matrix Protein Turnover
The current investigative approach of using a support matrix already rich in TG2 protein and cross-linking activity meant that the experimental design focussing on the importance of extracellular matrix-associated TG2 would be achieved by
inhibiting or knocking down TG2 protein levels, and then assessing any functional effects on the β-cell thereof. However, one important consequence that needed consideration as a result of reducing the levels of TG2 protein and/or TG2 activity in the 5637 support matrix is that profound effects on the extracellular matrix protein (fibronectin, laminin, collagen) profile would be expected, resulting in complete restructuring of the accumulated protein scaffolds, and associated adhesion and signalling receptors or molecules.
As a starting point, it was important to determine the effect of TG2 reduction on extracellular matrix protein turnover in the 3-day 5637 matrices already optimised in this study. This was initiated by visualising and quantifying any changes to the levels of TG2, fibronectin (FN) and laminin (LN) protein expression over the 3 days in which the TG2 siRNA transfected 5637 pre-conditioned matrix was formed using immunofluorescence (fig. 6.9; fig 6.10). The result of TG2 gene silencing using siRNA-mediated transient transfection of 5637 matrices, was observed with morphological changes in a reduction of 5637 cell to cell contacts (fig. 6.9, panels G, H, I, arrows) and an ~80% reduction ($p < 0.001$) in TG2 (fig. 6.9, panel G), FN (fig. 6.9, panel H) and LN (fig. 6.9, panel I) antibody-mediated fluorescence intensity (fig. 6.10), compared to the untreated controls (fig. 6.9, panels A – F).
These results were confirmed using an ELISA which measured TG2, FN, LN and collagen IV antigen levels over 72 hours, which showed an ~50% reduction ($p < 0.001$) in all protein levels tested (fig. 6.11), when comparing TG2 siRNA-transfected 5637 pre-conditioned matrices to untreated 5637 matrices. The same ELISA experiment was used for 3-day 5637 matrices formed in the presence of irreversible active-site directed TG inhibitors (R281, R283 and BOC peptide), where TG2 antigen levels remained the same for modified matrices as in the untreated 5637 matrices (fig 6.11), and ~50% reductions ($p < 0.001$) in FN turnover being evident for all three TG inhibitor treatments. The levels of laminin protein turnover was unchanged in 5637 matrices modified by the larger R281 and BOC-peptide inhibitors which were expected to act only on the cell surface, however the smaller cell permeable R283-inhibited 5637 matrix showed an ~80% reduction ($p < 0.001$) in laminin protein expression compared to the untreated 5637 control (fig 6.11). Collagen IV antigen levels remained unchanged as a result of R281 inhibition, with
Figure 6.9. Immunofluorescence
Figure 6.10
Figure 6.11
an ~25% reduction ($p < 0.05$) as result of R283 treatment, and an ~50% reduction ($p < 0.001$) in the 5637 matrices formed in the presence of BOC-peptide (fig. 6.11).
### 6.2.2. β-cell Aggregation and Insulin content on 5637 Pre-conditioned Matrices
The adhesion, maintenance and aggregation of BRIN-BD11 cells and rat islets seeded onto the 3-day 5637 pre-conditioned matrices was assessed immunofluorescently in 8-well chamber slides, using co-staining with insulin antibody and CM-dil cell tracker (fig. 6.12; 6.13; 6.14; 6.16). While the usual 2-dimensional (2-D) confocal images (fig. 6.12, panels C; F and fig. 6.13, panels C; F) were originally captured to assess and quantify any trends as a result of the various modified matrices, it was not possible to properly assess aggregation in rat islets or BRIN-BD11 cells due to the large size of compacted β-cell structures formed in response to the 5637 support matrices after 24 hours. Extending the Leica confocal software to capture 3-dimensional (3-D) images instead, made it possible to communicate the aggregation trends routinely observed in a larger visual field through the microscope eyepiece.
For instance, rat islets were cultured on untreated glass chamber slides (fig. 6.12, panels A, B; fig. 6.13, panels A, B) or 3-day 5637 support matrices (fig. 6.12, panels D, E; fig. 6.13, panels D, E) in the presence 5 mM or 20 mM glucose for 24 hours. The rat islets attached and spread on the 5637 matrix more readily, and were also more insulin responsive (6.12, panel E; 6.13, panel E), in comparison to no matrix. This was evident through 3-D imaging where, in addition to the x, y function, the ‘z function’ exposed a measurable 3-fold increase ($p < 0.05$) in the height of rat islets on 5637 matrices under 20 mM glucose (~36 µM; fig. 6.13, panel D) compared to 20 mM glucose (~12µM; fig. 6.13, panel D) treatments with no matrix. Even, when comparing glucose responsiveness on the 5637 matrices only, there appeared to be an ~40% increase in the height of 20 mM glucose-treated islets (~36 µM; fig. 6.13, panel D) compared to the 5 mM glucose-treated controls (~20µM; fig. 6.12, panel D).
Seeding BRIN-BD11 cells at a consistent density of 2 x 105 cells/well on 5637 pre-conditioned matrices over 24 hours (fig. 6.14 and fig 6.16) made it possible to
Figure 6.12. Immunofluorescent 3-D morphology of rat islets treated with 5 mM glucose on 3-day 5637 support matrices, using CM-Dil cell tracker and insulin antibody. 3-day 5637 pre-conditioned matrices labelled with CM-Dil cell tracker were prepared in 8-well chamber slides, as described in section 22.214.171.124. Rat islets (50 islets/well) were then seeded onto the matrices in serum-containing RPMI growth medium supplemented with 5 mM glucose for 24 hours, and stained *in situ* with CM-Dil reagent for 5 minutes prior to fixation and permeabilisation. Rat islet β-cell insulin content was detected by the addition of anti-swine insulin antibody, revealed through the conjugation of anti-rabbit IgG-FITC, and viewed using a Leica TCSNT confocal laser microscope as described in section 126.96.36.199. **Panels A, B, C**, Confocal micrographs of rat islets on a glass chamber-well surface (no matrix) with 5 mM glucose treatment. A) 3-D image showing islet insulin content (green); B) 3-D image showing islet morphology with cell tracker (red); C) 2-D image of A) showing co-staining with insulin and cell tracker. **Panels D, E, F**, Confocal micrographs of rat islets on a 5637 pre-conditioned matrix with 5 mM glucose treatment. D) 3-D image showing islet insulin content (green); E) 3-D image showing islet morphology with cell tracker (red); F) 2-D image of D) showing co-staining with insulin and cell tracker. Micrographs are representative of at least two separate experiments. Bar equals 40 μm.
Figure 6.13. Immunofluorescent 3-D morphology of rat islets treated with 20 mM glucose on 3-day 5637 support matrices, using CM-Dil cell tracker and insulin antibody. 3-day 5637 pre-conditioned matrices labelled with CM-Dil cell tracker were prepared in 8-well chamber slides, as described in section 188.8.131.52. Rat islets (50 islets/well) were then seeded onto the matrices in serum-containing RPMI growth medium supplemented with 20 mM glucose for 24 hours, and stained *in situ* with CM-Dil reagent for 5 minutes prior to fixation and permeabilisation. Rat islet β-cell insulin content was detected by the addition of anti-swine insulin antibody, revealed through the conjugation of anti-rabbit IgG-FITC, and viewed using a Leica TCSNT confocal laser microscope as described in section 184.108.40.206. **Panels A, B, C**, Confocal micrographs of rat islets on a glass chamber-well surface (no matrix) with 20 mM glucose treatment. A) 3-D image showing islet insulin content (green); B) 3-D image showing islet morphology with cell tracker (red); C) 2-D image of A) showing co-staining with insulin and cell tracker. **Panels D, E, F**, Confocal micrographs of rat islets on a 5637 pre-conditioned matrix with 20 mM glucose treatment. D) 3-D image showing islet insulin content (green); E) 3-D image showing islet morphology with cell tracker (red); F) 2-D image of D) showing co-staining with insulin and cell tracker. Micrographs are representative of at least two separate experiments. Bar equals 40 μm.
Figure 6.12. Immunofluorescence
Figure 6.13. Immunofluorescence
Figure 6.15
Figure 6.14 Immunofluorescence
Figure 6.17
Figure 6.16 Immunofluorescence
quantify the 3-D aggregation status (fig. 6.17) and the insulin content (fig. 6.15) of these cells using the Leica QWin image analysis software. Visualisation of the BRIN-BD11 aggregation morphology using 3-D image capturing at 5 mM (fig. 6.14, panels B, D, F, H, J, L) and 20 mM (fig. 6.16, panels B, D, F, H, J, L) glucose concentrations, revealed the highest ($p < 0.001$) overall CM-dil cell tracker fluorescent $\beta$-cell aggregation on untreated TG2-rich 3-day 5637 matrices (fig. 6.14, panel D; fig. 6.16., panel D; fig. 6.17) compared to no matrix or other TG-inhibited 5637 pre-conditioned matrices. The BRIN-BD11 cells appeared to form pseudo-islet aggregated structures on the TG-rich 3-day 5637 matrices under conditions of optimal 20 mM glucose-stimulation (fig. 6.16, panel D). When the BRIN-BD11 cells attached and spread on the TG-inhibited 5637 matrices in response to 5 mM glucose, TG2 siRNA-transfected 3-day 5637 matrices showed trends similar to the untreated 5637 matrix (fig. 6.14, panel D, F; fig. 6.17), however there was an ~50% reduction ($p < 0.001$) in islet-like aggregation at optimal insulin secreting concentrations of 20 mM glucose (fig. 6.16, panel D, F; fig. 6.17) on these matrices, compared to the untreated 3-day 5637 control matrix. Pre-conditioned 5637 matrices formed in the presence of the TG inhibitors: BOC-peptide (fig. 6.14., panel H; fig. 6.16, panel H), R281 (fig. 6.14., panel J; fig. 6.16, panel J) and R283 (fig. 6.14., panel L; fig. 6.16, panel L); showed the most marked reduction of $\beta$-cell aggregation, in excess of ~50% ($p < 0.001$) especially under conditions of 20 mM glucose-stimulated insulin release (fig. 6.16; fig. 6.17), compared to the 5637 untreated control matrices.
The total insulin content BRIN-BD11 cells cultured on the pre-conditioned 5637 matrices was visualised (fig. 6.14) and quantified immunofluorescently (fig. 6.15), in response to concentrations of 5 mM (fig. 6.14, panels A, C, E, G, I, K) and 20 mM (fig. 6.16, panels A, C, E, G, I, K) glucose for 24 hours. The fluorescent insulin content of the BRIN-BD11 cells on all 5637 support matrices showed responsive glucose-stimulated insulin secretion at 20mM glucose treatments compared to the lower 5 mM glucose treatments (fig. 6.15). The untreated TG2-rich 3-day 5637 matrix proved optimal for $\beta$-cell insulin secretion function at 20 mM glucose levels and exhibited pseudo-islet aggregation (fig. 6.15; fig. 6.16, panel C). The BRIN-BD11 cells grown on TG2 siRNA-transfected 3-day 5637 matrices showed ~30% reduction in measurable insulin content at both 5 mM and 20 mM ($p$
< 0.001) glucose concentrations, compared to the untreated 3-day 5637 support matrices (fig. 6.15). Pre-conditioned 5637 matrices formed in the presence of the TG inhibitors: BOC-peptide (fig. 6.14., panel G; fig. 6.16, panel G), R281 (fig. 6.14., panel I; fig. 6.16, panel I) and R283 (fig. 6.14., panel K; fig. 6.16, panel K); showed the most marked reduction of β-cell islet-like aggregation and fluorescent insulin content, in excess of ~50% reductions ($p < 0.001$) especially under conditions of 20 mM glucose-stimulated insulin release (fig. 6.15 ; fig 6.16), compared to the 3-day 5637 untreated control matrices.
### 6.2.3. BRIN-BD11 Adhesion and Spreading on 5637 Pre-conditioned Matrices
To determine the level of BRIN-BD11 attachment and spreading in response to TG-modified 5637 support matrices, preliminary experiments assessing actin stress fibre formation (fig. 6.18), focal adhesion kinase-mediated cell adhesion (fig. 6.19; fig. 6.20), and quantification of attachment and spreading profiles using Giemsa/May-Grunwald staining (fig. 6.21; fig. 6.23; fig. 6.24; fig. 6.25).
The morphology of BRIN-BD11 cells were assessed fluorescently for actin stress fibre formation using FITC-phalloidin after overnight cell-spreading on a FN matrix (fig. 6.18, panel A), FN matrix immobilised with TG2 (fig. 6.18, panel B), untreated 3-day 5637 matrix (fig. 6.18, panel C), and a 3-day TG2 siRNA-transfected 5637 support matrix (fig. 6.18, panel D). The formation of BRIN-BD11 focal adhesion points was evident in response to the FN-TG2 matrix compared to the FN matrix alone (fig. 6.18, panel B, arrows), whereas the spreading profile of these β-cells on the TG2-rich 5637 matrix exhibited intense phalloidin staining of the cell aggregates with more focal adhesion points (panel 6.18, panel C, arrows), compared to the TG2-deficient 5637 matrix formed as a result of siRNA treatment.
When the BRIN-BD11 cells were viewed for immunofluorescent phosphorylated FAK staining, enhanced FAK-mediated adhesion was evident in the β-cells attached for 3 hours on TG2-rich 5637 matrices (fig. 6.19, panel C) and FN matrices (fig. 6.19, panel B), compared to 3-day TG2 siRNA-transfected 5637 support matrix (fig. 6.19, panel D) or bovine serum albumin treated surfaces (no matrix) (fig. 6.19, panel A). The amount of phosphorylated FAK and total FAK produced as a result of
Figure 6.18 Actin
Figure 6.19. and 6.20 FAK
Figure 6.20 Blue stained cells
3 hours BRIN-BD11 adhesion in response to various 5637 pre-conditioned matrices was quantified after western blot analysis and β-tubulin standardisation for each treatment (fig. 6.20). BRIN-BD11 cells attached to TG2-rich untreated 5637 matrix appeared to have the most extensive FAK signal, with an ~50% reduction ($p < 0.001$) in FAK signal as a result of adhesion to TG2-deficient 5637 matrix transfected with siRNA, and even greater ~75% reduction ($p < 0.001$) in FAK signal when these β-cells were attached to 5637 matrices formed in the presence of active-site directed R281 and R283 TG inhibition (fig. 6.20).
It was possible to quantify the effect that these TG-modified pre-conditioned matrices had on BRIN-BD11 attachment and spreading through the quantification of nuclear Giemsa and cytoplasmic May-Grunwald staining (fig. 6.21) detected using Leica QWin image analysis, where the number of cells present after 1 hr was taken as a measure of attachment, and the cytoplasmic area ($\mu M^2$) of each attached cell was measured per field and added together to give total spread cell area ($\mu M^2$). As demonstrated in fig. 6.21, quantification values communicated the major differences of the β-cells in response to matrix variation. For instance, there were very low levels of BRIN-BD11 cell attachment in the absence of any support matrix (fig. 6.21A), whereas higher cell attachment was evident in response to a FN matrix (fig. 6.21B) and TG2-rich 5637 matrix (fig. 6.21C), with only spread cell area ($\mu M^2$) values being able to express the extensive cell spreading evident on the latter matrix. Some preliminary experiments were attempted with the dissociated β-cells from rat islets seeded on various matrices (fig. 6.21D shows rat islet β-cells before dissociation), however these results are not shown due to incomplete data sets.
The BRIN-BD11 cell attachment and spreading profile was assessed at the outset by comparing responses to matrices from various cell-types (data not shown), before the 5637 cells were concluded as being the optimal support matrix for these β-cells. BRIN-BD11 contained low levels of cell-surface TG2 activity ($p < 0.001$), when compared to the TG2-rich human urinary bladder carcinoma 5637 cells or the well characterised human umbilical vein endothelial ECV-304 cells (fig. 6.22). The 3-day lysed matrices from both 5637 and ECV-304 TG2-rich cell systems were compared in addition to a FN matrix, where 10 µg/ml gplTG2 was immobilised on all three matrices, before quantification of β-cell attachment and spreading (fig. 6.23). There
Figure 6.22 and fig. 6.23
Figure 2.24
Figure 2.25
was an ~50% ($p < 0.001$) increase in BRIN-BD11 attachment and spreading on the 3-day 5637 matrix, compared to FN or ECV-304 matrices (fig. 6.23). When the 3-day 5637 matrix was modified to over-express TG2 levels, a 2-fold increase ($p < 0.001$) in the amount of $\beta$-cell attachment was observed, despite spread cell area remaining similar to the untreated 5637 matrix, thus reflecting the observation of a higher amount of attached cells that were less spread as a result of exogenous TG2 supplementation. Despite high levels of TG activity (fig. 6.22), the 3-day ECV-304 support matrix did not facilitate $\beta$-cell spreading as profoundly as the 3-day 5637 matrix (fig. 6.22).
Since FN was found to be an important TG2-mediated component of the 3-day 5637 matrix, the interaction of this matrix protein with exogenously supplemented gplTG2 was assessed to reveal slight decreases in the total $\beta$-cell spread area, and no significant changes in cell attachment numbers (fig 6.23 and fig. 6.24). When the BRIN-BD11 cells were incubated in the presence of RGD function-blocking peptide (fig. 6.24), the number of cells attached and spread was significantly reduced ($p < 0.001$). However, the presence of supplemented TG2 on the same FN matrix resulted in a significant ($p < 0.05$) rescue of $\beta$-cell attachment and spreading levels back to normal (fig. 6.24).
In order to determine whether the high TG2 levels present in the untreated 3-day 5637 support matrices contributed in any way to the attachment and spreading levels of BRIN-D11 cells under conditions of diabetic stress, $\beta$-cell spread area was quantified on 5637 matrices modified for TG2 expression and activity (fig. 6.25). Treatments of 40 mM glucose-induced hyperglycaemia (fig. 6.25A), 150 $\mu$M GSNO-induced oxidative stress (fig. 6.25B), and 150 $\mu$M palmitate-induced lipotoxicity (fig. 6.25C) for 1 hour on the BRIN-BD11 cells resulted in minimal attachment and spreading in the absence of any support matrix ($p < 0.001$), whereas the TG2-rich 3-day 5637 support matrix, and the two gplTG2-modified 5637 matrices over-expressing protein levels, resulted in dramatic 80% increases ($p < 0.001$) of $\beta$-cell maintenance assessed through cell spread area. The pre-conditioned 5637 matrices formed in the presence of the TG inhibitors: BOC-peptide, R281 and R283; showed the most marked reduction of attached $\beta$-cell spread area, in excess of ~50% reductions ($p < 0.001$) especially under conditions of GSNO-induced
oxidative stress (fig. 6.25B) and palmitate-induced hyperlipidaemia (fig. 6.25C), compared to the 3-day 5637 untreated control matrices.
6.2.4. BRIN-BD11 survival on 5637 Pre-conditioned Matrices
Preliminary experiments were performed assessing BRIN-BD11 cell viability and apoptosis under diabetic stress treatments was measured through the mitochondrial metabolism of MTS tetrazolium compound (fig 6.26) and colorimetric apoptotic index by the ability of caspase-3 within β-cells to cleave Ac-DEVD-p-nitroaniline substrate and release the p-nitroaniline (pNA) chromophore (fig. 6.27). When the BRIN-BD11 cells were cultured on untreated TG-rich 5637 support matrices for 24 hours, cell viability was significantly higher ($p < 0.05$) on the 5637 support matrix at normal 10-20 mM glucose-stimulated insulin release concentrations (fig. 6.26A) compared to viability without any support matrix. The metabolism of tetrazolium compound was consistently higher ($p < 0.001$) in BRIN-BD11 cells grown on the 3-day 5637 support matrix, under treatments of 50 – 500 μM GSNO-induced oxidative stress conditions (fig. 6.26B), compared to no matrix support. Cell viability was also significantly higher in BRIN-BD11 cells attached to the TG2-rich 5637 matrix at concentrations between 50 μM and 150 μM palmitate for 24 hours (fig. 6.26C), compared to the absence of matrix support. When diabetic stress treatments were used in 24 hour treatments for BRIN-BD11 cells cultured on the 3-day TG2-rich 5637 matrices, apoptosis induced by palmitate was more noticeable compared to GSNO and high glucose treatments (data not shown), where the 5637 support matrix appeared to reduce the levels of caspase-3 mediated apoptosis by ~50% ($p < 0.05$) at 150 μM and by ~20% ($p < 0.05$) at 250 μM palmitate concentration compared to the β-cells grown in the absence of a support matrix.
Figure 6.26
Figure 6.27
6.3. Discussion
In the current chapter, the optimisation and modification of TG expression and activity in a human urinary bladder carcinoma cell (5637) matrix was attempted so it could be used as a TG-mediated support matrix for the increased maintenance of BRIN-BD11 β-cells, with a view towards current therapeutic strategies described for intra-hepatic islet transplantation. A number of studies have successfully used constitutive TG2 expression systems to study of the role of TG2 in cell matrix interactions (Fisher et al., 2009; Telci et al., 2009; Balklava et al., 2002; Gaudry et al., 1999; Verderio et al., 1998; Jones et al., 1997; Gentile et al., 1992). However, this is the first time that TG2 expression in 5637 cells has been modulated in this way.
A 3-day untreated, lysed 5637 support matrix was prepared as described in a previous study by Ris et al., (2001). This matrix was shown to be extremely rich in TG2 expression and activity, and favoured optimal BRIN-BD11 adhesion, cell spreading, islet-like aggregation and viability when compared to other support matrices (data not shown). With the inclusion of this 3-day untreated 5637 matrix, five TG2-modified variations of the 5637 matrix were used in these investigations. The other four pre-conditioned support matrices included two 5637 matrices exhibiting the over-expression of immobilised guinea pig liver TG2 (gp/TG2) protein on the 3-day 5637 matrix, and the over-expression of gp/TG2-catalysed extracellular matrix (ECM) cross-links; while the other two 3-day 5637 matrices were down-regulated for TG activity and/or expression by the addition active-site directed inhibitors R281, R283, BOC peptide (described previously in chapter 4), or the addition of siRNA constructed for the silencing of TG2 gene through transient transfection.
Characterisation of these five 3-day lysed matrices revealed the principle intention that: i) the untreated 5637 matrix possessed the highest amount of cell surface TG2 activity and ECM protein accumulation, ii) the gp/TG2 immobilised 5637 matrix contained high amounts of inactive cell surface TG2 protein, iii) the gp/TG2 cross-linked matrix would exhibit high amounts of immobilised protein with excessively
cross-linked ECM proteins (fibronectin, laminin, collagen, iv) the site-specific R281 and R283 TG inhibited matrix contained inhibited amounts of ECM protein accumulation but high amounts of inactive TG protein, v) the TG2 siRNA-transfected matrix expressed lower levels of TG2 protein resulting in concomitant lowering of ECM protein (fibronectin, laminin, collagen) accumulation.
For the preparation of these five support matrices it was important to keep conditions consistent so that the same number of cells were seeded to reach confluency after 3-days, and screened using ELISA-assessment of the TG2 protein levels. Competitive substrate assays were employed to determine the amount of catalytically active TG2 in the lysed 5637 matrices. The most catalytically active matrix was found to be the gp/TG2 cross-linked matrix, since this involved the addition of Ca$^{2+}$ and DTT to create the excessive ECM cross-linking. It was found previously that catalytically cross-linking matrices in this way exposes cryptic sites on the collagen scaffolds that affect cell-matrix interactions (Chau et al., 2005). For the preparation of TG-inhibited matrices, it was important to aspirate and replace the treatments containing the irreversible active site-directed inhibitors R281, R283 and BOC inhibitor every 24 hours, in order to maintain a catalytically inactive 5637 matrix after 3 days. Previous studies have shown that the presence of the intact active site Cys$^{277}$ is important for secretion and deposition of the enzyme into the matrix (Balklava et al., 2002). Disruption of this site in the R283 inhibited 5637 matrix may have crucial consequences for the export of TG2. Seeing as the active-site TG-inhibited matrices showed consistent detriment towards β-cell maintenance and function, compared to the controls, it could be suggested that this was due to lower overall ECM-associated TG2 levels, however further characterisation remains to be done. In the case of the TG2-modulated 5637 matrix which was transiently transfected using siRNA oligomers, the stealth siRNA duplexes TG13 and TG14 were found to create the most effective matrix for enzyme knockdown.
The principles for characterising the 5637 cells were related to changes in the extracellular expression and activity of TG2. An increase in extracellular TG2 is consistent with *in vivo* models of renal scarring in which an up-regulation of TG2 by tubular cells is associated with elevated levels of TG2 and cross-link in the peritubular space (Huang et al., 2010; Fisher et al., 2009; Skill et al., 2001; Johnson
Numerous *in vitro* studies have also demonstrated a link between expression of TG2 and extracellular levels of the enzyme. For example, increased intracellular expression of TG2 in human umbilical vein cells (ECV 304) following transfection led to increased externalisation of TG2 (Gaudry *et al.*, 1999). Similarly, induction of TG2 in 3T3 fibroblasts by stable transfection resulted in the appearance of an extracellular pool of the enzyme that localised to fibronectin (Verderio *et al.*, 1998). In OK tubular cells, glucose stimulated increases in TG2 expression and activity were found to be associated with increased extracellular TG2 in the ECM and culture media (Skill *et al.*, 2004). Another study using ECV 304 cells demonstrated that anti-sense transfection-mediated reductions in TG2 expression were accompanied by a decrease in the amount of externalised TG2 enzyme (Jones *et al.*, 1997). In this study, characterisation of the ECV-304 cells compared to the 5637 cells as a support matrix showed that the 5637 support matrix was more conducive for the sustenance of BRIN-BD11 cells in particular.
It was evident from the 5 different 5637 support matrices used in this investigation, that manipulation of the amount of active TG2 protein allowed to externalise into the ECM network determined the relative ratios of extracellular TG2 enzyme in combination with fibronectin, laminin, collagen IV, which were differently distributed in each case. Previous trends found in extracellular fibrosis models have shown that fibroblasts stably transfected to over-express TG2 resulted in increased deposition of fibronectin and collagen, along with increases in NFκβ and TGFβ1 activation (Telci *et al.*, 2009; Verderio *et al.*, 1999; Verderio *et al.*, 1998), while kidney fibrosis models over-expressing TG2 showed similar trends (Huang *et al.*, 2010; Fisher *et al.*, 2009; Skill *et al.*, 2004). Interestingly, application of the irreversible specific R283 inhibitor to these fibrotic models resulted in decreases in the amount of finronectin and collagen deposition leading to an amelioration of the fibrotic condition (Telci *et al.*, 2009; Johnson *et al.*, 2007; Skill *et al.*, 2004). The dynamic nature of these TG2-mediated extracellular protein scaffolds could be quantified further for the 5637 matrices developed here, however this variation was revealed in preliminary protein turnover assays, and should be kept in mind for interpretation of β-cell behaviour on these matrices.
The presence of active extracellular TG2 in 5637 cells had important implications for its effects on the ECM, and β-cell attachment, aggregation and spreading. Whilst both active and inactive forms of the enzyme are capable of being expressed at the cell surface, only active cell surface enzyme is deposited into the ECM from intracellular stores (Balklava et al., 2002). It was possible to visualise and quantify the 3 dimensional morphology of rat islets grown on the TG2-rich 5637 matrices using the Leica confocal software. Glucose stimulated (20 mM) rat islets revealed marked increases in the aggregated size of the islets, suggesting that the 5637 matrix supported enhanced functional capabilities following islet-matrix disruption as a result of collagenase digestion. In the case of the 3-D aggregation results developed within this investigation, a pseudo-islet like morphology and high insulin producing content of BRIN-BD11 cells cultured was observed on the untreated TG2-rich 5637 matrices, which may be due to the high amount of TG2 cross-linking activity and preserved ECM protein scaffolds conferred by this matrix. The 5637 matrices inhibited for TG2 activity and expression were incapable of sustaining BRIN-BD11 pseudo-islet aggregation and associated insulin content, suggesting the importance of this enzyme within pancreatic β-cells.
It was proposed previously that matching the laminin-rich 5637 matrix to the integrins present on the β-cells was essential to the successful maintenance by this matrix (Ris et al, 2001; Bosco et al., 2000). The TG2 enzyme is known to act as an integrin co-receptor for FN (Akimov et al., 2000) and associates with several β1 and β3 integrins, whilst simultaneously binding to FN. The presence of cell-surface TG2 enhances FN-matrix formation mediated by the α5β1 integrin (Akimov and Belkin, 2001). The adhesive function of TG2 is independent of its cross-linking activity but requires the formation of ternary complexes with FN and β1 and β3 integrins (Akimov et al., 2000). Another major component of the basement membrane is the laminin-nidogen complex, which extracellular TG2 was found to cross-link through interaction with the nidogen motif (Aeschlimann et al., 1992; Aeschlimann and Paulsson, 1991), and is expected to associate with laminin-specific integrins on the cell surface (Akimov et al., 2000). An analysis of the integrin profile from the BRIN-BD11 cells in association with the 5637 matrix protein scaffolds could lend further clues into the involvement of TG2 in this cell aggregation. Additionally, the maintenance of cell-to-cell contacts is thought to be important for synchronised
glucose-stimulated insulin secretion, so characterisation of a possible role for TG2 in aggregated β-cell contacts may contribute to a better understanding underlying this mechanism.
The expression of active TG2 in a fibronectin-complex at the cell surface appears to be important for attachment (Gentile et al., 1992; Jones et al., 1997). This is in keeping with a number of other studies in which modulation of increased extracellular TG2 (both active and inactive), is associated with increases in cell adhesiveness (Balklava et al., 2002; Gaudry et al., 1999a; Johnson et al., 1994; Jones et al., 1997; Verderio et al., 1998). Preliminary studies into the adhesion profile of BRIN-BD11 cells revealed the presence of increased focal adhesion points through immunofluorescent visualisation of actin on TG2-containing support matrices, and the appearance of enhanced phosphorylated focal adhesion kinase-mediated adhesion in the TG2-rich matrices also. Previous studies on osteoblasts and dermal fibroblasts demonstrated that TG2 is able to form complexes with fibronectin and heparin sulphate proteoglycans (syndecan-2 and syndecan-4) leading to the activation of actin-associated RhoA and stimulation of the cell survival focal adhesion kinase (Wang et al., 2011; Scarpellini et al., 1999; Telci et al., 2008; Verderio et al., 2003). The importance of the Rho-ROCK pathway was recently described in β-cell spreading, actin cytoskeleton dynamics, and insulin function (Hammar et al., 2009). Pilot studies using RGD-peptide on BRIN-BD11 cells attached to fibronectin matrices, as described previously by Verderio et al., (2003) revealed a similar TG2-mediated RGD-independent rescue of β-cells and could be extended as a mechanism that protects cells from apoptosis via non-classical adhesion dependent mechanisms such as anoikis.
In the case of BRIN-BD11 cells, significant increases in attachment and spreading were observed on the TG2-rich 5637 matrices compared to the TG2-inhibited matrices, suggesting the importance of TG2 cross-linking and an appropriate ECM protein scaffold for β-cell maintenance. Under conditions of hyperglycaemia (D-glucose), oxidative stress (GSNO), and lipotoxicity (palmitate), the TG2-rich 5637 support matrix appeared to confer greater β-cell attachment and spreading, suggesting a protective role for this enzyme under diabetic stress conditions. When the same diabetic stressors were assessed for β-cell death using MTS reagent, the
BRIN-BD11 cells attached to TG2-rich 5637 matrices appeared to retain high mitochondrial viability. In the case of palmitate, caspase-3 mediated apoptosis was seen to decrease as a result of growth on the TG2-rich 5637 matrix. It is tempting to propose a possible protective role for extracellular TG2 through the exogenous addition of TG2 (Jones et al., 2006) to the endothelial microcapillary source in islets, having therapeutic potential for islet β-cells in the early stages of diabetes.
The data presented in this chapter demonstrated successful TG2-mediated modifications to a 5637 matrix previously reported for enhanced β-cell maintenance in the context of donor to recipient optimisation techniques preceeding intrahepatic islet transplantation. Such data confirms the importance of ECM-associated TG2 in the survival and insulin-secreting function of β-cells, which in the *in vivo* scenario may have important implications regarding islet β-cell and microvasulature endothelial cell interactions.
Chapter Seven:
General Discussion
S. Chandrasekhar from Truth and Beauty
“I am frankly puzzled by the difference that appears to exist in the patterns of creativity among the practitioners in the arts and the practitioners in the sciences: for, in the arts as in the sciences, the quest is after the same elusive quality: beauty. But what is beauty? There is ample evidence that in science, beauty is often the source of delight. One can find many expressions of such delight scattered through the scientific literature. Let me quote a few examples…
David Hilbert (in his memorial address for Hermann Minkowski):
Our science, which we loved above everything, had brought us together. It appeared to us as a flowering garden. In this garden there were well-worn paths where one might look around at leisure and enjoy one-self without effort, especially at the side of a congenial companion. But we also liked to seek out hidden trails and discovered many an unexpected view which was pleasing to our eyes; and when one pointed it out to the other, and we admired it together, our joy was complete.
…indeed everything I have tried to say in this connection has been stated more succinctly in the Latin mottos:
Simplex sigillum veri – The simple is the seal of the true.
and
Pulchritudo splendour veritatis – Beauty is the splendour of truth.”
Chandrasekhar, S (1910-1995), Astrophysicist and Nobel Laureate. Truth and Beauty, University of Chicago Press, 1987. Quoted from The Oxford Book of Modern Science Writing by Richard Dawkins, Oxford University Press, 2008.
Chapter Seven:
General Discussion
7.1. Introduction
The cellular function of the TG2 subfamily has been the focus of extensive research since its first description in 1957 (Sarkar et al., 1957). The TG2 enzyme is known for its widespread organ distribution and sub-cellular localisation; its multiple catalytic activities and complex regulation; as well as its implication in diverse cellular functions. This thesis investigates whether TG2 plays a role in diabetic disease and physiological pancreatic β-cell function and survival.
The transamidation reaction is brought about by the Ca$^{2+}$-dependent catalytic activity of TG enzymes during post-translational modification, which involves protein-protein cross-linking or the incorporation of primary amines into proteins by the formation of isopeptide bonds (Griffin et al., 2002). The monomeric TG2 enzyme consists of 685-691 amino acids and has a molecular mass of 77-85-kDa across different species (Griffin et al., 2002). The TG2 enzyme has important amino acids involved in the active site (Cys$^{277}$, His$^{335}$ and Asp$^{358}$), the Ca$^{2+}$ binding site (Ser$^{449}$, Pro$^{446}$, Glu$^{451}$ and Glu$^{452}$), and the GTP-binding site (Ser$^{171}$, Lys$^{173}$, Arg$^{478}$, Val$^{479}$ and Arg$^{580}$). In the absence of Ca$^{2+}$, TG2 assumes the latent conformation, where the reactivity of Cys$^{277}$ is decreased either by hydrogen bonding with the phenolic hydroxyl group of Tyr$^{516}$ or by formation of a disulphide bond with the neighbouring Cys$^{336}$ (Noguchi et al., 2001). The inhibitory effect of GTP on TG2 transamidating activity is mediated by GTP-binding and hydrolysis to GDP involving Ser$^{171}$ and Lys$^{173}$ residues of domain 2 called the GTP-binding pocket (Iismaa et al., 2000). The binding and hydrolysis of ATP is also an intracellular function carried out by the TG2 enzyme (Lee et al., 1993). The membrane-associated enzyme can bind phospholipids (Fesus et al., 1983), and localises at the cell surface for surface receptor function or as an
integrin co-receptor to fibronectin (FN) (Akimov et al., 2000). TG2 secretion out of the cells requires the active state conformation of the enzyme (Balklava et al., 2002) and an intact N-terminal FN binding site (Gaudry et al., 1999), where the TG2 enzyme cross-links to numerous extracellular matrix (ECM) protein scaffolds (Verderio et al., 2004).
A number of known mechanisms within the pancreatic β-cell could be extended to incorporate the functioning TG enzyme. A summary of the published literature in this field has been presented in table 7.1. The initial hypothesis for TG2 function in the pancreatic islet linked the Ca$^{2+}$-responsive transamidating activity of the enzyme (Clarke et al., 1959) to a possible catalytic role associated with increased intracellular Ca$^{2+}$ levels which mediates glucose-stimulated insulin secretion coupling (Wollheim and Sharp, 1981). This was first confirmed by the presence of TG activity that was both Ca$^{2+}$- and thiol-dependent in rat pancreatic islets (Gomis et al., 1983a, Bungay et al., 1984a), and subsequent findings that TG2 may participate in the conversion of pro-insulin to insulin, as well as being involved in the subplasmalemmal machinery controlling the access of secretory granules to exocytotic sites in rat β-cells during insulin release (Sener et al., 1985; Bungay et al., 1986; Gomis et al., 1989; Owen et al., 1988). Studies using the lymphocytes of type-2 diabetics showed impaired TG2 cross-linking activity (Berntorp et al., 1989; 1987), while the sera of type-1 diabetics showed TG2 to be an auto-antigen associated with coeliac disease and pancreatic β-cell autoimmunity (Franzeze et al., 2007; Lampasona et al., 1999). The TG2 enzyme has already been seen to mediate retinoid-induced changes in β-cell insulin secretion (Driscoll et al., 1997), and to be involved in GTP depletion-induced caspase-mediated apoptosis in β-cells (Huo et al., 2003). There was a decline in insulin secretion and a gradual deterioration of glucose tolerance in TG2$^{(-/-)}$ mice lacking TG2 activity (De Laurenzi and Melino, 2001), which resulted in a type-2 diabetes phenotype (Porzio et al., 2007; Bernassola et al., 2002). These TG2$^{(-/-)}$ mice manifested a tendency of developing hypoglycaemia after administration of exogenous insulin as a consequence of enhanced insulin receptor substrate 2 (IRS-2) phosphorylation (Bernassola et al., 2002). Furthermore, the human TG2 gene in MODY patients revealed 3 missense mutations (N$^{333}$S; M$^{330}$R and I$^{331}$N) found in residues located close to the catalytic site of the enzyme, which resulted in the
Table 7.1. Beta Cell literature review
loss of transamidating activity (Porzio et al., 2007). The most recent development to this field is described by Paulmann et al., (2009), where TG2 was found to covalently couple intracellular serotonin (5-HT) to the small GTPases Rab3a and Rab27a during insulin exocytosis.
The aims of this investigation were to characterise the expression and activity of TG2 in the pancreatic β-cell from intracellular insulin secretion and apoptotic survival processes, to cell surface and matrix-associated roles. In this study, various functional roles of TG2 were tested in clonal rat insulinoma BRIN-BD11 β-cells, and islets of Langerhans from human, rat, and TG2\(^{(-/-)}\) mice (De Laurenzi and Melino, 2001). The objective of chapter 4 was to explore the factors that may regulate TG catalytic activity during β-cell insulin secretion function such as post-translational modifications caused by intracellular Ca\(^{2+}\), GTP, glucose and membrane proteases, as well as transcriptional regulation by retinoic acid. Enzyme activity was then inhibited by the use of irreversible active-site directed molecules (R281 and R283) to determine the role of the active enzyme in stimulus secretion coupling. The involvement of TG in β-cell survival under conditions of diabetic pathology such as hyperglycaemia, oxidative stress and lipotoxicity was then assessed. Following this, chapter 5 sought to characterise the expression of a novel short-form β-cell TG2 transcript that was recognised using antigen-antibody immunoreactivity and mRNA probes. In chapter 6, an extracellular support matrix (5637) was modified for TG2 expression and activity, and then used *in vitro* for the adhesion and maintenance of β-cells in culture. A summary of the results in this thesis have been presented in fig. 7.1, where the proposed roles of TG2 have been extended to known mechanisms in the functioning and dying β-cell.
### 7.2. Experimental pancreatic β-cell model
In order to assess the physiological role of TG2, various experimental models have been successively developed over time to either modulate the enzyme’s expression, or to regulate its activity. These models have been subjected to careful interpretation for use in this investigation with pancreatic β-cells, since each of these individual systems result in their own respective limitations. For instance, numerous inhibitors of TG activity that were initially employed to study
Fig 7.1. Proposed role for TG function in the life and death of the pancreatic β-cell.
the loss of enzymatic activity, had the drawback of leading to non-specific effects on other biologically active molecules, including other TG isoforms (Cornwell *et al.*, 1983; Bungay *et al.*, 1984). Later, the transcriptional regulation of TG2 expression by agents such as retinoids often induced the expression of an array of other genes (Chen *et al.*, 2001; Chiocca *et al.*, 1989; Davies *et al.*, 1985). The use of cell lines stably transfected with the full length TG2 constructs to over-express the enzyme, together with transfection of TG2 cDNA in antisense orientation to silence the TG2 gene have proved more resourceful (Gentile *et al.*, 1992; Melino *et al.*, 1994; Mian *et al.*, 1995; Jones *et al.*, 1997; Verderio *et al.*, 1998; Balklava *et al.*, 2002). As a natural progression from these *in vitro* models, the effect that TG2 over-expression or silencing had on a single cell line in isolation was soon expanded to *in vivo* mouse models where the TG2 gene was knocked out (De Laurenzi and Melino, 2001; Nanda *et al.*, 2001). The TG2 enzyme might also provide a novel therapeutic tool through the use of an exogenous enzyme delivery approach, in which *gp*/TG2 is administered to cultures in its active or inactive form mimicking the tissue wounding/fibrotic process, where physical injury results in cellular TG2 ‘leaking’ into the surrounding ECM and becoming activated to catalyse the cross-linking of proteins (Balklava *et al.*, 2002; Verderio *et al.*, 2004; Jones *et al.*, 2006).
Clonal BRIN-BD11 β-cells used as an experimental model for TG2 characterisation was investigated for the first time in this study. These cells offered the advantages of consistency, reproducibility, proliferation and propagation of highly uniform cell monolayers, the ability to quantitatively test the effect of various drugs or chemical compounds, manipulation by transfection, and the analysis of endogenous and exogenous protein functions related to cell signalling and transcription events. In biochemical and molecular research, the use of primary islet β-cells is limited by the availability of pancreatic endocrine tissue. Initial islet isolation of individual pancreatic cells, cell purification and the maintenance of native characteristics is a technically demanding process. In previous TG research (Gomis *et al.*, 1983a; 1984a; 1989; Bungay *et al.*, 1984, 1986, 1989; Sener *et al.*, 1985; Lebrun *et al.*, 1984), the use of primary rat islets was also limited by cellular and hormonal heterogeneity among different individuals. In this context, the major disadvantage of the BRIN-BD11 cell line
being used as an experimental model is primarily the disruption of islet cell-to-cell interaction which would influence cellular functions with known and still-unknown consequences.
The ability of immortalised β-cell lines to grow without limits is related to their tumour origins and genetic mutations, which could result in abnormal chromosomal content or protein expression, resulting in modified metabolism. Although insulinoma-derived cell lines have the advantage of unlimited growth in tissue culture, many exhibit vast differences in their insulin-secretory responsiveness to glucose compared to normal β-cells (Efrat, 2004). Only a few cell lines show a normal response to glucose concentrations in the physiological range with most transformed β-cell lines manifesting hypersensitivity to glucose (Efrat, 2004). The MIN-6, INS-1 and BRIN-BD11 cell lines used in this study have the advantage of best reflecting physiological conditions since they express appropriate levels of glucokinase compared to hexokinase (Ulrich et al., 2002). Most β-cell lines are derived from Simian vacuolating virus 40 (SV-40) T-antigen transfection, however the BRIN-BD11 cells were derived via electrofusion from a parent cell line, RINm5F which was derived by irradiation of a rat insulinoma (McClenaghan and Flatt, 1999; Gazdar et al., 1980). Although all these cell lines represent transformed cells, they have retained most of the characteristics of normal β-cells.
Chapters 4 and 5 presented the enzymatic and structural characterisation of TG2 in the β-cell. Unusual results obtained from the immortalised BRIN-BD11 β-cells revealed that the active TG2 protein expressed was ~20-kDa shorter than the classical TG2 isoform, which usually has a molecular weight between 77- to 85-kDa in other tissues (Griffin et al., 2002). Whether the shortened TG2 transcript reported in this study is expressed by BRIN-BD11 cells compensating for the immortalisation process by alternative splicing has yet to be fully determined. Nonetheless, this ~60-kDa β-cell specific TG2 appeared in primary islet β-cells as well, demonstrating both Ca$^{2+}$-activated cross-linking activity and GTP-binding potential. The biochemical results obtained using TG2 enzyme sourced from the BRIN-BD11 cells should therefore be interpreted throughout this study as the ~60-kDa novel TG2 isoform.
7.3. The Regulation of TG activity in pancreatic β-cells
The results from chapter 4 dealt with the potential regulators of TG activity in BRIN-BD11 β-cells using substrate-specific TG assays that quantified cross-linking activity. A consistent observation was that the amount of TG activity present in the clonal β-cell lines from all assays were significantly lower compared to the cross-linking activity found in primary islets of Langerhans standardised to the same total protein concentration. This difference could be attributed to the additional endothelial microcapillary source of TG present in the complex islets but not in the clonal β-cell monolayer. A comparison of the TG2 activity in a total islet fraction compared to a β-cell sorted fraction after mild trypsination may reveal the reason for these large differences in enzyme activity.
In a complex cell system such as pancreatic islets, it is possible that the standardised competitive amine assays developed for TG2 cross-link analysis, also reflect the activity of other TG family members such as fXIII and TG1. The non-aggregated, undifferentiated state, and daily turnover potential of the BRIN-BD11 clonal β-cells is also likely to account for this low level of active TG expression (McClenaghan et al., 1998; Birkbichler et al., 1978; 1980). Physiologically, the turnover of adult β-cells is a slow process, since only about 1% of cells enter into the mitotic phases G1, S, G2 in M from resting G0 phase (Berne, 1998). As the steady-state replication rate is just over 2% per day, the lifespan of a rat β-cell can be estimated as ~58 days (Finegood et al., 1995). Adult β-cells are functionally heterogeneous (Pipeleers, 1992), but this heterogeneity has not been correlated to replicative ability or age. It is possible that those β-cells which divide might ‘de-differentiate’ and transiently lose function as they replicate (Bonner-Weir et al., 1989).
Previous assays carried out on rat islets revealed that a range of primary amines could be incorporated into N’N’-dimethylcasein substrate by the TG present in β-cells (Gomis et al., 1983, Bungay et al., 1984). Kinetic analysis of the competitive substrates methylamine, monodansylcadaverine, propylamine and ethylamine showed that the most effective primary amine was monodansylcadaverine with a
potency that matched their ability to inhibit glucose-stimulated insulin release in rat islets (Bungay et al., 1984a). The incorporation of radiolabelled $[^{14}\text{C}]$-putrescine into N’N’-dimethylcasein used in this study, which is a modification of the radiolabelled filter paper assay by Lorand et al. (1972), revealed that the specific TG activity of rat islets was $7.02^{±0.8}$ U/mg protein, while BRIN-BD11 cells were $0.193^{±0.1}$ U/mg protein. In this investigation, optimal quantifiable amine incorporation was achieved using either biotin cadaverine or FITC-cadaverine into endogenous protein substrates. The chemical parameter usually used to assess the inhibition potency of competitive amines is the specificity constant $k_{cat}/Km$, where $k_{cat}$ is the turnover rate, and $Km$ is the Michaelis constant (Siegel and Khosla, 2007). It could be useful to compile a comparison of the inhibition potencies of competitive amines on the $\beta$-cell models used in this study, in order to further understand the substrate specificity of TG2 in $\beta$-cells.
Experiments into the regulation of the TG2 enzyme showed that it was possible to activate the TG stores in BRIN-BD11 cell homogenates with the addition of exogenous Ca$^{2+}$, under low glucose conditions. The Ca$^{2+}$-activated TG stores from these cells were then inhibited in the presence of the reversible TG2 inhibitor, GTP-$\gamma$-S, and later bound to GTP-agarose in western blotting experiments, suggesting normal enzymatic functional switches between GTP-binding and Ca$^{2+}$-binding for the ~60-kDa $\beta$-cell TG2 isoform. The thermodynamics of Ca$^{2+}$ and GTP ligand-binding to TG2 occurs via conformational changes which facilitate or interfere with the peptidyl-glutamine substrate interaction, where the intrinsic ability of TG2 for high affinity Ca$^{2+}$-binding (Kd: 0.15 uM) occurs together with high affinity binding of GTP (Kd: 1 uM) now thought to involve the replacement of GDP normally bound to the protein (Bergamini et al., 2010). The physiological levels of GTP in most studied cells correspond to the calculated Ki (90-150 $\mu$M) for TG inhibition by GTP, implying that triggering TG activity into cells requires both a decrease of guanine nucleotide levels and major influx of extracellular Ca$^{2+}$, two events that usually happen in pathological situations like cell senescence, degeneration or apoptosis (Mhaouty-Kodja, 2004). However, the pancreatic $\beta$-cell is a special exception that contains a Ca$^{2+}$-rich environment during stimulus secretion coupling, which may affect the subcellular behaviour of
TG2 in a unique way. For instance, in a previous study with rat insulinoma cells using 30 mM glucose stimulation, intracellular cytosolic Ca$^{2+}$ concentrations increased from 104 to 248 nM in the first 15 minutes (Hoenig and Sharp, 1986). In the resting $\beta$-cell (i.e. not stimulated by glucose), it could be assumed that the cross-linking function of TG2 would be limited to the cell surface where guanine nucleotides are absent and Ca$^{2+}$ concentrations are in the mM range.
In $\beta$-cell research, the TG2 protein may also be known as a G protein called the Gh$\alpha$ subunit which exhibits both GTPase and TG activities (Nakaoka et al., 1994). Activation of Gh by G protein coupled receptors (GPCRs) turns off TG activity and shifts Gh$\alpha$ into a signal transducer that regulates downstream effectors. Interaction of Gh with $\alpha$1-adrenergic receptors switches off TG activity, and directly stimulates PLC$\delta$1, thereby resulting in phosphoinositide hydrolysis and an increase in intracellular concentrations of Ca$^{2+}$ (Nakaoka et al., 1994). When the distributional pattern of the numerous phospholipase C (PLC) isozymes were analysed in the rat pancreas, PLC$\delta$1 expression strongly featured in islet tissue, suggesting that the modulation of pancreatic endocrine function occurs through PLC-mediated signal transduction (Kim et al., 2001). Gh$\alpha$ can also integrate signals from retinoic acid and nitric oxide. Retinoic acid is a known inducer of Gh$\alpha$ expression and in HeLa cells it was also shown to increase the GTP-binding ability and associates with the plasma membrane inducing phosphoinositide hydrolysis (Singh and Cerione, 1996). Nitric oxide selectively inhibits the cross-linking function of Gh$\alpha$ without altering its GTPase activity (Lai et al., 2001). Interestingly, such S-nitrosylation is expected to increase the sensitivity of TG activity to the inhibitory effect of GTP. It would be interesting to determine if the ~60-kDa BRIN-BD11 $\beta$-cell TG2 reported here acts in the same capacity as the full-length Gh$\alpha$ signal transducer that stimulates PLC$\delta$1 and causes increases in intracellular Ca$^{2+}$ concentrations as a result of phosphoinositide hydrolysis. Heterotrimeric and low molecular weight GTP-binding proteins have also been involved in regulating glucose-triggered exocytosis of insulin from pancreatic $\beta$-cells (Kowluru et al., 1996), where TG2 was found to covalently couple intracellular serotonin (5-HT) to the small GTPases Rab3a and Rab27a during insulin exocytosis (Paulmann et al., 2009).
In the presence of retinoic acid which is a known transcriptional regulator that increases TG2 expression (Chiocca *et al.*, 1988), BRIN-BD11 TG activity increased, supporting the idea that the usually low level of differentiation and high proliferative potential of this cell line could be a contributing factor towards the low enzyme activity observed (Birkbichler *et al.*, 1978; 1980). It was reported previously with INS-1 and RINm5F cells that retinoic acid treatment resulted in increased glucose-stimulated insulin secretion, TG expression and activity (Driscoll *et al.*, 1997). Similarly in this study, the presence of 0.3µM *all trans* retinoic acid for 2 days led to the BRIN-BD11 cells adopting a more differentiated and aggregated morphology compared to untreated cells. Previous studies suggest that increased expression of retinoid receptors is critical for an increase in TG2 gene expression (Johnson *et al.* 1998), suggesting that the BRIN-BD11 cells used in this study may possess similar retinoid receptors. These results for TG2 function in β-cells are promising when viewed in the context of stem-cell based therapies for type-1 diabetes (Ostrom *et al.*, 2008), where retinoic acid promoted the generation of endocrine progenitor cells that differentiated into insulin-producing β-cells. The use of retinoid therapy to differentiate cancer cells and downregulate pancreatic cancer could also point to a role for TG2 in this mechanism (Riecken and Rosewicz, 1999). It is worth noting here that TG2 may also have the potential to indirectly influence β-cell growth by the transcriptional regulation of growth factors such as the growth inhibitor TGFβ1 (Kojima *et al.*, 1993), IL-6 (Ikura *et al.*, 1994; Suto *et al.*, 1993), TNFα gene family (Kuncio *et al.*, 1998), increase growth/differentiation through the factor midkine (Kojima *et al.*, 1997), or negatively regulate the growth signal of EGF through down-regulation of its high affinity receptor (Katoh *et al.*, 1996).
When live BRIN-BD11 cells were treated for 15 minutes with the membrane proteases, trypsin and dispase, the β-cell surface-associated TG activity was significantly reduced compared to untreated cells. Proteolysis studies have shown that TG2 is easily proteolysed by calpain and trypsin in the presence of Ca$^{2+}$, while GTP-binding protects the protein against proteolysis (Zhang *et al.*, 1998; Begg *et al.*, 2006). The decrease in cell-surface TG activity in BRIN-BD11 β-cells
as a result of membrane proteases supports previous findings that TG2 catalysed the formation of phosphoprotein polymers in the membrane fraction in rat islets (Owen et al., 1988). In addition, subcellular fractionation studies revealed that, in addition to its postulated role in the control of intracellular motile events, TG also participated in surface protein interactions at the site of cell-to-cell contact (Gomis et al., 1989). Partial proteolysis by trypsin led to the cytosolic release of an activated enzyme from membrane-bound TG2 in metastatic tumours (Knight et al., 1990) and keratinocytes (Rice et al., 1990), suggesting that the BRIN-BD11 membranes that were proteolysed with trypsin in this study could have been released intracellularly instead of being active at the cell-surface.
Another regulator of increased TG2 activity in BRIN-BD11 cells was D-glucose. This was shown previously with studies on rat islets where glucose stimulation resulted in the *de novo* synthesis of the enzyme or alternatively the induction of a more reduced state due increased sulphhydryl groups, with subsequent changes in the thiol-disulphide balance (Gomis et al., 1986b). The use of biotin cadaverine in the formation of amine-isopeptidyl adducts in BRIN-BD11 cells also proved useful for the determination of cell-surface glucose-mediated enzyme activity. The presence of high TG activity at the cell surface of BRIN-BD11 cells when stimulated with glucose (10 mM to 20mM) could potentially contribute to cell adhesion through covalently protein-crosslinked matrices at the sites of cell-to-cell contact. In the case of cell surface TG expression, protein substrates in the plasma membrane are accessible to cell surface-associated TG by small molecular weight amines in the form of SDS-insoluble large molecular weight aggregates (Slife et al., 1986). Cell-surface TG2 was previously shown to covalently incorporate itself, fibrinogen and fibronectin into high molecular weight aggregates on the extracellular surface of isolated hepatocytes (Barsigian et al., 1991). Accumulating evidence suggests that transport of TG2 to the cell surface may involve non-covalent association with β1 and β3 integrins during biosynthesis (Akimov et al., 2000). Interaction of TG2 with multiple integrins of β1 and β3 subfamilies, and α5β1 integrin in particular, suggests a role for TG2 as an integrin adhesion co-receptor for FN that promotes TGFβ-mediated FN assembly (Akimov et al., 2000; Akimov and Belkin, 2001; Verderio, et al., 2003). The integrin
profile of BRIN-BD11 cells may lend further clues into the observed formation of a TG2-FN complex to enhance cell-to-cell contact.
The successful incorporation of FITC-cadaverine into BRIN-BD11 endogenous substrates allowed for the visualisation of cellular expression and activity of the TG2 enzyme switching from normal physiological expression to highly cross-linked stress conditions with hyperglycaemia and oxidative stress. The amount of FITC-cadaverine incorporated into endogenous β-cell substrates by TG2 catalysis appeared to increase in aggregation upon glucose stimulation. The use of antibodies against FITC-cadaverine also made it possible to detect labelled β-cell TG2 substrates by molecular weight after western blotting. The formation of high molecular weight phosphoprotein polymer substrates during glucose stimulation in rat islets have been described previously (Smethurst et al., 1993; Lindsay et al., 1990; Gomis et al., 1989; Owen et al. 1988). The conversion of proinsulin to insulin also depends on the oriented translocation of microvesicles from the rough endoplasmic reticulum (ER) to the Golgi complex, in which TG2 activity has been implicated (Gomis et al., 1986b). Pro-insulin is produced in the ER by the cleavage of the signal peptide and formation of disulfide bonds, thereafter passing to the Golgi apparatus where it is packed into vesicles. After cleavage of the C peptide, mature insulin is formed in the vesicles and is stored in the form of zinc-containing hexamers or secretory granules until secretion (Koolman and Röhm, 2005). The treatment of islets with cytochalasin B facilitated insulin release by causing the contraction of the microfilamentous cell web (Somers et al., 1979; Malaisse and Orci, 1979), which normally controls the access of secretory granules to the exocytotic site. Many cytoskeletal proteins are known to be TG2 substrates *in vitro*, including actin and myosin (Eliquula et al., 1998; Nemes et al., 1996; Kang et al., 1995), β-tubulin (Lesort et al., 1998; Cohen and Anderson, 1987), α-actinin (Puszkin and Raghuraman, 1985), and spectrin (Harsfalvi et al., 1991). Further characterisation of the endogenous substrates interacting with the ~60-kDa BRIN-BD11 β-cell TG2 would be worth expanding on in order to understand the mechanical events involved in the translocation of secretory granules to their exocytotic site through membrane trafficking and the fusion of membranes at such a site.
7.4. The inhibition of TG activity in pancreatic β-cells
Although many biological functions have been attributed to TG2, the precise *in vivo* function of this protein in pancreatic β-cells still remains a mystery. The *in vitro* functions which occur as a result of TG2 being transfected into the cell, or TG2 being up-regulated with cell-differentiation factors such as retinoic acid, or the enzyme being artificially activated by inducing large intracellular Ca$^{2+}$ fluxes, should be cautiously broached since these unnatural and incompatible cellular environments may never occur in an *in vivo* environment. It is therefore important to attempt to study TG in its natural environment, both in cell culture and *in vivo*. The use of specific, potent irreversible TG inhibitors has the advantage of clarifying a biological function by blocking only a fraction of the TG protein which has been enzymatically activated under physiological conditions. Disadvantages associated with the use of these TG inhibitors are the possibilities of off-target inhibitor binding, or the effect of trapping the inhibited TG2 protein into an unnatural conformation relative to its cellular localisation (Siegel and Khosla, 2007). Conformational constraints placed upon TG2 when inhibited could prevent it from performing its natural biological functions, which could cause additional side-effects. Correlating TG2 conformation to biological function may be a key element in the design of TG2 inhibitors for the future, since these molecules should ideally allow for the conformational flexibility of the TG protein.
Small molecule and peptidomimetic TG inhibition is an important field of study in possible therapeutic targets of various disease states, and in understanding the mechanism of normal TG activity under physiological conditions. TG2 inhibitors can be divided into 3 classes based upon their mechanism of inhibition: competitive amine inhibitors (such as putrescine, biotin cadaverine and fluorescein cadaverine), reversible inhibitors (such as GTP and ATP), and irreversible custom-designed inhibitors. Previous investigations on pancreatic islets using competitive substrate inhibition as a result of alkylamines, monodansylcadaverine, *N*-p-tosylglycine, bacitracin, glycine alkylesters and hypoglycaemic sulphonylureas confirmed the importance of TG cross-linking
during insulin secretion function (Hutton et al., 1982; Malaisse et al., 1983; Gomis et al., 1983 and 1984; Lebrun et al., 1984). Hindrances to be overcome with these compounds was non-specificity, poor penetration into the islet cell and effects on cationic fluxes which caused increased Ca$^{2+}$ entry into the $\beta$-cells.
The use of custom-designed irreversible active-site inhibitors R283 and R281 have been documented in numerous investigations, with a view towards therapeutic medical application in various pathologies (Kotsakis et al., 2010; Caccamo et al., 2010; Mastroberardino and Piacentini, 2010; Huang et al., 2010 and 2009; Collighan and Griffin, 2009; Griffin et al., 2008; Telci et al., 2009 and 2008; Garcia et al., 2008; Maiuri et al., 2008; Siegel and Khosla, 2007; Jones et al., 2006; Beck et al., 2006; Griffin et al., 2004, Griffin et al., 2002; Freund et al., 1994). These irreversible TG2 inhibitors prevent enzyme activity by covalently modifying the enzyme, thereby preventing substrate binding. They contain a dimethylsulfonium group that has previously been shown to interact with Cys$_{277}$ within the active site via an acetylation reaction leading to non-competitive and irreversible inhibition of the enzyme (Freund et al., 1994; Griffin et al., 2004).
The R281 and R283 inhibitors were applied previously to stably-transfected mouse colon carcinoma CT26 cells expressing a catalytically active (wild type) and a transamidating-inactive TG2 (Cys$_{277}$Ser) mutant (Kotsakis et al., 2010), where active externalised TG2 from the cells resulted in inhibited tumour growth, increases in TGF-$\beta$1 levels and matrix-deposited fibronectin, the effect of which was reversed by the use of these TG inhibitors. A role for TG2 in pregnant human myometrial contractility has been established, where application of R283 and R281 attenuated contractility, thus suggesting the importance of TG2 in the regulation of pregnant uterine contractility (Alcock et al., 2010). The active-site directed inhibitor, R283 was used to determine the importance of TG activity in the development of a collagen scaffolded dermal rudiment for enhanced wound healing response (Garcia et al., 2008). The importance of TG2 activity was demonstrated in differentiated human SH-SY5Y neuroblastoma cells, where the use of inhibitor R283 resulted in enhanced Parkinsonian neurotoxicity (Beck et al., 2006). Investigation into cystic fibrosis showed that increased TG2 activity lead to functional sequestration of the anti-inflammatory peroxisome proliferatoractivated receptor (PPARγ) and increases in the classic parameters of inflammation, such as TNF-α, tyrosine phosphorylation, and MAPKs, wherein specific inhibition of TG2 by R283 was able to reinstate normal levels of PPARγ and dampen down inflammation both in cystic fibrosis tissues and transmembrane conductance regulator (CFTR)-defective cells, suggesting potential therapeutic benefits for this targeted inhibitor (Maiuri et al., 2008). The R283 site-directed inhibitor of TG abolished NF-κB and TGFβ1 activation and the subsequent elevation in the synthesis and deposition of extracellular matrix proteins such as collagen, confirming that nitric oxide may play a role in the regulation of extracellular matrix-associated TG2 activity (Telci et al., 2008; 2009). TG2 inhibition by R283, achieved via drug treatments was beneficial to the treatment of Huntington’s disease in animal models, where inhibition of TG-mediated cross-linking of Huntington protein stopped the progression of pathogenesis (Mastroberardino and Piacentini, 2010). In celiac disease, the inhibition of TG2 by R283 could represent a strategy to prevent the toxic action of gliadin by controlling gliadin-specific T-cell activation (Maiuri et al., 2005).
Diabetic nephropathy fibrotic and scarring models using renal proximal tubular epithelial cells showed that both R283 and R281 site-directed inhibitors of TG normalized TG activity and ECM-associated epsilon(gamma-glutamyl)lysine levels per cell, returning them to near control levels with non-transcriptional reductions in deposited collagen and fibronectin (Skill et al., 2004). Furthermore, application of the site-directed TG inhibitor R281 caused a 25% reduction in the levels of active TGF-β1 in the kidney of a streptozotocin model of diabetic nephropathy and TG2 overexpressing opossum kidney (OK) proximal tubular epithelial cells, exerting a renoprotective effect by targeting not only direct extracellular matrix collagen deposition but also TGF-β1 activation and recruitment, suggesting a clinical application for the R281 TG inhibitor in the progression of experimental diabetic nephropathy (Huang et al., 2009 and 2010).
The R283 and R281 inhibitors were also highly effective at reducing β-cell TG activity in BRIN-BD11 homogenates and live cells within this investigation. These inhibitors caused significant reductions in the insulin levels released by BRIN-BD11 cells and rat islets when measured with the I^{125}-insulin RIA.
However, the relatively equal effectiveness of R281 and R283 on the insulin secretion function of β-cells indicates that their principle inhibitory actions are extracellular. This cell-surface TG could also be exerting an effect on the β-cell ATP-sensitive $K_{ATP}$ channels during membrane depolarisation. It could be said that the poor cell solubility expected of R281 could limit any potential non-specific effects on other intracellular TG or thiol containing enzymes, however this inhibitor is not specific to TG2 since it has been shown previously to inhibit the extracellular activity of TG1 in myocardium microvascular endothelial cells (Baumgartner et al., 2004). Furthermore, the chances of R283 affecting intracellular targets apart from TG2 cannot be dismissed given its known ability to inhibit other TG isotypes such as fXIII (Freund et al., 1994).
TG2 conformation may be a critical factor in the success or failure of enzymatic inhibitors of TG2. It is clear that multiple conformations of TG2 exist. The binding of GTP or irreversible inhibitors to TG2 causes significant shifts in electrophoretic mobility of the protein under native conditions (Murthy et al., 1999). Certain anti-TG2 antibodies have a high affinity for one population of TG2, while other antibodies bind preferentially to a distinct population of the enzyme (Fesus and Laki, 1977; Monsonego et al., 1998; Maiuri et al., 2005). In the GDP-bound crystal structure of TG2, the two C-terminal β-barrels overlap a significant surface area of the catalytic core domain effectively blocking substrate access to the active site (Liu et al., 2002). A crystal structure of TG2 bound to an irreversible inhibitor was recently done (Siegel and Khosla, 2007; Pinkas et al., 2007) where the two C-terminal β-barrels were extended away from the catalytic core and twisted 180°, giving the protein a rod-like shape and making the active site easily accessible to substrates. It is not possible to predict the biological consequence of trapping TG2 in certain conformations, due to a lack of data correlating TG2 conformation to biological function (Siegel and Khosla, 2007). It is possible that conformational constraints placed upon TG2 when inhibited prevent it from performing one or more of its natural biological functions, causing potential side effects.
7.5. The Experimental TG2\(^{(-/-)}\) Mouse Pancreatic Islet Model
The generation of TG2\(^{(-/-)}\) knockout mice was aimed at understanding the physiological role of TG2 (De Laurenzi et al., 2001; Nanda et al., 2001; Bernassola et al., 2002). However, these animal models did not clarify predominant functions for this enzyme, since mild glucose intolerance associated with defective first phase insulin secretion (Bernassola et al., 2002) was the main feature observed in the model created by De Laurenzi et al., (2001), while altered fibroblast function and impaired wound healing was primarily observed by the model from Nanda et al., (2001). The lack of TG2 in the mice generated by De Laurenzi et al. (2001) also prevented the production of active TGFβ1 in macrophages exposed to apoptotic cells, affecting the efficient deletion or phagocytosis of CD4+CD8+ apoptotic bodies in the thymus (Szondy et al., 2003), and de-regulated the autophagosome maturation process (D’Eletto et al., 2009).
Taking these observations into account, the TG2\(^{(-/-)}\) mice generated by De Laurenzi et al. (2001) were bred in-house for this investigation, and the islets of Langerhans from young mice were isolated and characterised further for TG2 expression and activity, apoptotic signals, and insulin secretion function.
These TG2 knockout mice rendered the advantage of inhibiting the expression of a specific full-length TG2 protein, resulting in not only a lack of TG2-mediated cross-linking activity in this mouse tissue, but the absence of the full-length TG2 protein entirely (De Laurenzi et al., 2001). Immediate morphological observations while analysing the islets for confocal microscopy was that the C57BL6 wild-type TG2\(^{(+/+)}\) mouse islets showed significantly higher specific cross-linking activity through the incorporation of radiolabelled \([^{14}\text{C}]\)-putrescine into N’N’-dimethylcasein compared to the TG2\(^{(-/-)}\) islets. The use of FITC-cadaverine may have been compromised by the molecule’s entry into live, intact islets, however the TG2\(^{(+/+)}\) mouse islets still showed high fluorescein incorporation, which was obviously lacking in the TG2\(^{(-/-)}\) islets even upon 20 mM glucose stimulation. Given the importance that TG2 cross-linking is claimed to have in the insulin secretion process (Gomis et al., 1984; Bungay et al., 1984), it was surprising that the transgenic knockdown of the full-length TG2 did not cause severe alterations
in glucose-stimulated insulin secretion compared to the TG2\(^{+/+}\) mouse islets, as measured in this study with confocal microscopy and through \([I^{125}]\)-insulin RIA previously carried out by Bernassola and co-workers (2002). The authors who created this transgenic mouse, have not characterised the TG protein expressed in the TG2\(^{-/-}\) islets of Langerhans through western blotting as yet. In this investigation, western blotting experiments revealed that the CUB7402 antibody immunoreacted with a predominant ~60-kDa protein in both the TG2\(^{+/+}\) and TG2\(^{-/-}\) islets, suggesting that the animals used in this investigation may have been expressing the shortened β-cell TG2 isoform all along, similar to the short-form BRIN-BD11 rat β-cell TG2 described above. If the presence of a shortened β-cell TG2 isoform in the TG2\(^{+/+}\) mouse islets can be corroborated, it may explain the reason why the glucose-stimulated insulin secretion in the TG2\(^{-/-}\) islets was only mildly impaired despite the genetic knockdown of full-length (75-kDa) TG2. It is already accepted that the TG2\(^{-/-}\) mouse models still express other TG family members (Porzio et al., 2007; De Laurenzi et al., 2001) such as TG1, however a reason why this model would express a possible alternative spliced shortened β-cell TG2 transcript, recognised by the TG2-specific CUB7402 antibody, may only be properly understood through further understanding of the mechanism of genetic TG2 deletion in the transgenic knockdown (De Laurenzi et al., 2001).
Supporting the role of full-length TG2 in diabetes, is that TG2\(^{-/-}\) mice were found to have low energy levels with a maturity onset diabetes of the young (MODY) phenotype (Porzio et al., 2007; Bernassola et al., 2002) and a mitochondrial functional defect that lead to alterations in the respiratory chains, which decreased the global production of ATP in tissues (Szondy et al., 2006), leading to the conclusion that TG2 acts as a protein disulphide isomerase by contributing to the formation of disulphide bridges in proteins of mitochondrial respiratory complexes (Mastroberardino et al., 2006). Bernassola et al. (2002) have implicated TG2 in the aggregation, internalisation and intracellular processing of the insulin receptor (IR) in which TG2 is thought to cross-link receptors in the area of clathrin coated pits (Davies et al., 1980) through increased insulin-induced tyrosine phosphorylation of IRβ and IRS-2 in skeletal muscle. At the cellular level insulin associates with target tissues through the autophosphorylation of the insulin receptor which possesses intracellular tyrosine
kinase activity (Baldwin *et al.*, 1980). Insulin resistance, which is associated with obesity and type-2 diabetes occurs as a result of defects in the insulin receptor internalisation process, as was seen with the TG2\(^{(-/-)}\) mice (Bernassola *et al.* 2002). The interaction of different ECM proteins with cell surface intregins would result in a changed cytoskeletal organisation (polymerised actin networks) that may affect the rate of insulin receptor endocytosis or internalisation. An additional reason why the TG2\(^{(-/-)}\) mice may have exhibited the diabetes type-2 phenotype is that insulin receptor internalisation may have been affected by the ECM proteins onto which the cells adhere, since the lack of ECM-associated TG2 in these cells could have re-modelled the poorly cross-linked islet endocrine matrix scaffolds surrounding the \(\beta\)-cells (Verderio *et al.*, 1999; Johnson *et al.*, 1999).
The results obtained in this study with TG2\(^{(-/-)}\) mouse islets support some of the findings in previous publications using the same transgenic animals (Porzio *et al.*, 2007; Bernassola *et al.*, 2002). However, new evidence was obtained on these islets using \([^{14}\text{C}]\)-putrescine and fluorescein cadaverine as competitive amine substrates, and the characterisation of a novel western blotting profile. Preliminary experimentation suggests the satisfactory use of this islet model in order to understand the various roles that TG2 may be playing. Of further interest, is that the MIN-6 cells originate from a transgenic C57BL6 mouse insulinoma expressing an insulin-promoter/T-antigen construct, whereas the TG2\(^{(-/-)}\) mice and their wild-type counterparts are also of the same mouse strain. The MIN-6 cells are highly differentiated, forming pseudo-islets in culture, and they express GLUT-2 and glucokinase, responding to glucose within the physiological range in the presence of nicotinamide (Miyazaki *et al.*, 1990). The MIN-6 cell line could potentially make a good accompaniment to any future TG2\(^{-/-}\) mouse experiments.
### 7.6. Survival Role for TG2 in Pancreatic \(\beta\)-cell Apoptosis
A role for TG2 in \(\beta\)-cell apoptosis remains to be fully addressed. This investigation showed the potential for excessive TG2 cross-linking being involved in BRIN-BD11 cells under the stress-induced conditions of hyperglycaemia and oxidative stress, through the visualisation of FITC-cadaverine incorporation into endogenous \(\beta\)-cell substrates. The use of R281 as an extracellular irreversible
inhibitor of TG, resulted in exacerbated mitochondrial-associated cell death measured with tetrazolium compound under the conditions of hyperglycaemia and oxidative stress, while the induction of lipotoxicity using palmitate (Welters et al., 2004 and 2006) resulted in a sufficient *in vitro* model to assess caspase 3-mediated apoptotic cell death in the BRIN-BD11 cells. The presence of caspase-3 mediated apoptosis was also evident in the freshly isolated TG2\(^{(+/+)}\) and TG2\(^{(-/-)}\) mouse islets visualised using confocal microscopy, however poor penetration of the antibody into the permeabilised islet prevented quantification of this trend. In HIT-T15 insulin secreting \(\beta\)-cells, GTP depletion resulted in increases of TG2 activity (Huo et al., 2002 and 2003), however the induction of apoptosis as part of a cascade of events involved reductions in the enzyme during late-stage caspase activation.
The physiological occurrence of \(\beta\)-cell apoptosis has been shown *in vivo* during the involution of the \(\beta\)-cell mass in the post partum pancreas (Scaglia et al., 1995) and in a remodelling of the endocrine pancreas in the neonatal rat (Scaglia et al., 1997). Elevated glucose levels can have beneficial effects, such as stimulating \(\beta\)-cell proliferation, as well as having detrimental effects, such as cell death. In chronic hyperglycemia, oxidative stress is increased and can lead to apoptosis, but antioxidants prevent the loss of cells (Kaneto et al., 1999). The \(\beta\)-cells exposed to hyperglycemia accumulate intracellular proteins modified with \(O\)-linked monosaccharide \(N\)-acetylglucosamine (\(O\)-Glc–Nac), with a sustained accumulation of such modified proteins suggested to cause the \(\beta\)-cell apoptosis induced by hyperglycemia (Liu et al. (2000). Prolonged exposure to increasing levels of hyperglycemia correlates with progressive loss of \(\beta\)-cell differentiation in rats (Jonas et al. 1999) as indicated by altered expression of several key islet transcription factors and other islet genes important for normal glucose-stimulated insulin secretion, however despite the increased apoptosis in these animals, there was increased \(\beta\)-cell mass.
The induction of oxidative stress in the BRIN-BD11 cells using S-nitrosoglutathione (GSNO) induced a marked increase in intracellular TG2 cross-linking as a result of the cellular stress response. In keratinocytes, GSNO treatment resulted in inhibited cornified envelope formation, but increased crosslinking of a natural substrate of TG called locicrin (Rossi et al., 2000). The presence of NO modifies proteins through nitrosylation of free cysteine residues, which is important in mediating biologic activity. TG2 is in proximity to sites of NO production, has 18 free cysteine residues, utilizes a cysteine for catalysis, and was found in the presence of Ca$^{2+}$ to result in an inhibition of TG2 activity by NO (Lai et al., 2001). Titration of the thiol groups of TGs indicated that nitric oxide (NO) regulated enzymatic activity by chemically modifying a cysteine residue through S-nitrosylation (Rossi et al., 2000). The use of GSNO as a NO donor modulates and decreases apoptosis at an upstream level, by interfering with the ability of AP-1 to induce CD95L expression (Melino et al., 2000; Bernassola et al., 1999; Melino et al., 1997). A role for NO in the regulation of TG2 function in the extracellular environment has also been proposed, where NO donors caused decreases in TG activity, which was paralleled by a reduction in activation of NF-$\kappa B$ and TGF$\beta 1$ production with a subsequent decrease in collagen expression and deposition (Telci et al., 2009).
It is now widely accepted that TG2 plays both pro- and anti-apoptotic roles in apoptosis (Wyllie et al., 1980). The onset of apoptosis \textit{in vivo} is often characterised by the induction of the TG2 gene (Amendola et al., 1996; Knight et al., 1993; Piacentini et al., 1992; Fesus et al., 1989). The cross-linking of intracellular components by TG2 was found to be pivotal in the stabilisation of the apoptotic cells prior to clearance by phagocytosis (Knight et al., 1991). TG2 is also known to share substrates, such as histone H2B, pRB, actin, troponin with pro-apoptotic caspases (Piacentini et al., 1999). TG2 is thought to be mediated through both upstream and downstream events in the apoptotic pathway. The induction of TG2 is regulated by a number of factors such as retinoic acid and TGF-$\beta 1$ that are also able to regulate apoptosis suggesting that TG2 is able to act as an early effector “death” protein (Melino and Piacentini, 1998). Similarly, the GTP-binding ability of TG2 may also contribute to the regulation of apoptosis (Melino and Piacentini, 1998) as GTP availability affects second messengers that are known to inhibit apoptosis such 1,2 diacylglycerol (DAG) (Leszczynski et al., 1994; Nakaoka et al., 1994).
TG2 may also promote apoptosis by direct interaction with proteins of the apoptotic pathway such as *Bax* where interaction with the BH3 domain of TG2 can cause conformational changes leading to translocation of *Bax* to the mitochondria, the release of cytochrome c, and cell death (Rodolfo *et al.*, 2004). In the downstream stages of apoptosis, the activation of TG2 leads to extensive cross-linking of intracellular proteins and the formation of detergent insoluble protein polymers, which again may serve to stabilise apoptotic cells, preventing leakage of proinflammatory intracellular components prior to clearance by phagocytes (Fesus, 1998; Fesus *et al.*, 1987). TG2 may also protect cells from apoptosis via non-classical adhesion dependent mechanisms such as anoikis. Studies on osteoblasts and dermal fibroblasts demonstrate that TG2 is able to form complexes with fibronectin and heparin sulphate leading to the activation of RhoA and stimulation of the cell survival focal adhesion kinase (Verderio *et al.*, 2003). Similarly, studies of renal scarring *in vivo* also suggest that TG2 may participate in a novel form of cell death in which epithelial cells die through extensive crosslinking of their intracellular proteins as a result of accumulating levels of TG2 (Johnson *et al.*, 1997). Taking these findings into account, a more intensive investigation into the role of TG2 in pancreatic β-cell apoptosis may prove useful.
### 7.7. Novel Shortened TG2 Isoform in Pancreatic β-cells?
The evidence presented in chapter 5 described a potentially new TG2 isoform specific to the pancreas (see fig. 7.2. and 7.3. for proposed β-cell TG models), which could represent only the fourth C-terminal truncated TG2 isoform of its type discovered to date (Fraij *et al.*, 1992; Fraij and Gonzales, 1996; Monsonego *et al.*, 1997; Lai *et al.*, 2007). However, these preliminary results still require much confirmation on the molecular level. The presence of a ~60-kDa CUB 7402-immunoreactive protein in pancreatic BRIN-BD11 β-cells using western blotting seems plausible when supported by the demonstration of truncated ~2.5kb and ~1.0kb mRNA transcripts in these β-cells using northern blotting, and similar short-form transcripts present in these cells when using primers directed at a previously described alternatively spliced short-form of TG2 in rat brain (Monsonego *et al.*, 1997). This ~60-kDa β-cell TG2 was also present in western
Figure 7.2. proposed beta cell protein
Figure 7.3. proposed beta cell transcript
blots of rat, mouse, and human islets. In the BRIN-BD11 cells, the ~60-kDa protein showed the ability to bind GTP-agarose, however whether this level of GTP-binding might be compromised as a result of functional changes in the truncated isoform was not fully ascertained in these preliminary experiments. In addition to the ~60-kDa short-form TG2, the BRIN-BD11 cells also revealed the presence of an ~120-kDa protein similar that described by Knight *et al.*, (1991), and an ~38-kDa protein similar to the alternatively spliced product described by Fraij and Gonzales, (1996) which was structurally made up of the N-terminus region of the TG2 molecule, and contained the Cys\textsubscript{277} active site region.
The evidence for a truncated form of the β-cell TG in this investigation was supported by the design of the northern blot probes using BAMH1 digestion (Johnson *et al.*, 1997), where the BAM1638 probe was directed towards the C-terminal end, with the BAM388 probe directed towards the N-terminal. The differences in the probe specificity revealed changes in the expression level of the ~2.5-kb and ~1.0-kb truncated β-cell TG2 isoforms, suggesting a possible alternative splicing event in the C-terminal end of the transcript. Northern blot analysis of the short form TG2 in HEL cells (Fraij *et al.*, 1992) revealed the absence of the classical 3' end in the shorter 1.9-kb transcript, and eliminated the possibility that smaller RNA species were due to a degradation of the classical 3.5-kb transcript. When the alternatively spliced products in HEL cells were compared to normal fibroblasts (Fraij *et al.*, 1992), the short-form 1.9-kb transcript was expressed at much lower levels, suggesting that the short-form in HEL cells may have been associated with oncogenesis. It remains to be confirmed whether the short-form transcript reported here in BRIN-BD11 cells may only be the result of cell immortalisation and oncogenesis.
Further molecular studies may confirm whether the shortened mRNA β-cell transcripts revealed through northern blotting in this study are a result of possible genetic mutations or oncogenesis in the immortalised BRIN-BD11 cells by analysing and comparing the mRNA from normal *ex vivo* primary islets of Langerhans in human, rat and mouse. The isolation of non-degraded mRNA from primary islets is a challenge due to the amount of time it takes before intact islets can be isolated free from the remnants of exocrine tissue that remain after the
collagenase digestion process. In this study, the addition of the freshly isolated islets immediately into Trizol was found to be the best way to obtain high quality total RNA for use in northern blotting experiments. It was also possible to obtain intact RNA from rats and mice by snap freezing the islet suspension immediately after isolation in cryovials using liquid N₂. However, these samples were nonetheless transferred to Trizol soon after. In the case of human islet tissue obtained from the UK Tissue Bank, the amount of time most of the tissue was stored after snap freezing in cryovials, and the transportation process meant that the RNA was mostly degraded before extraction with Trizol. If these experimental measures can be optimised, a northern blot of the primary islets from human, rat and mouse could confirm whether the shortened β-cell transcript reported in this investigation is a result of BRIN-BD11 oncogenesis or a novel alternatively spliced TG2 isoform that could be related to the unique β-cell environment where its protein has numerous functions.
Further support for a truncated alternatively spliced TG2 isoform in BRIN-BD11 β-cells was confirmed in the present study with preliminary RT-PCR experiments using the C-terminal directed TG2-specific primers designed by Monsonego et al., (1997) in rat brain, where the PCR amplification products of a 512 bp fragment consistent with full-length TG2 and a corresponding 410 bp fragment for short-form TG2 was evident using DNA electrophoresis. The possibility of the two shortened rat clonal BRIN-BD11 β-cell TG2 transcripts being similar in structure to the previously reported (Monsonego et al., 1998; Fraij et al., 1992) alternatively spliced rat brain TG2 isoforms opens a new avenue for future experimental design in order to characterise these novel β-cell-specific TG2 isoforms further.
Western blot characterisation of the TG2 protein in pancreatic β-cells was carried out in this investigation, using the commercially available CUB7402 protein. The BRIN-BD11 rat clonal cells revealed a predominant ~60-kDa protein that was interpreted as a shortened spliced isoform of TG2. Additional immunoreactive proteins in the BRIN-BD11 cells migrated to 120-kDa and 35-kDa. The 120-kDa protein was interpreted as the inactive, oncogenic TG2 reported previously by Knight et al., (1990). In addition all three subtypes of this β-cell TG, were evident
from 2-D gel electrophoresis and western blotting experiments, where the ~60-kDa TG2 protein showed multiple post-translationally modified spots that could be interpreted as phosphorylation. The ~60-kDa protein appeared in lysates from MIN-6 mouse clonal β-cells, TG2\(^{+/+}\) and TG2\(^{-/-}\) mouse islets as well. Human islet homogenates exhibited two predominant proteins at 85-Da and ~60-kDa. It would be interesting to fractionate the different subtypes of TG2 reported here to enable fuller protein characterisation in the future.
Shortened mRNA transcripts that have been confirmed as alternatively spliced events of TG2 genes have only been reported by a small number of authors (Fraij et al., 1992; Fraij and Gonzales, 1996; Monsonego et al., 1997; Citron et al., 2001; Antonyak et al., 2006; Liu et al., 2007; Tee et al., 2010). The short-form TG2 proteins reported by Monsonego et al., (1997) featured at 73-kDa and 77-kDa, while the short TG2 isoform described by Fraij et al., migrated to 61-kDa. A shorter N-terminal homologue of TG2 was described by Fraij and Gonzales (1996), and was characterised by a polypeptide encoding 349 amino acid residues with a molecular weight of 38.7-kDa. It is possible that smaller RNA species may encode for the truncated proteins with novel carboxyl termini, since both 63-kDa and 38-kDa isoforms produced transcripts that start with the regular coding sequence for TG2 and then fail to splice at specific donor sites, resulting in the use of an alternative exon that contains a stop codon (Fraij and Gonzales, 1996). It has been suggested that the additional amino acids in both these TG2 isoforms generate glycine-rich areas homologous to the consensus GTP-binding regions (Takeuchi et al., 1992), and it was confirmed that this short-form 63-kDa TG2 isoform displayed a higher GTP-binding activity than the native 80-kDa human TG2 enzyme (Fraij, 1996), which may be related to functions in cell signalling.
The evidence already existing for shortened, alternatively spliced variants of TG2 have shown deletions and alterations in the C-terminal end of these molecules, where the GTP-binding and phospholipase C regions are expected to be compromised (Fraij et al., 1992; Fraij and Gonzales, 1996; Monsonego et al., 1997; Citron et al., 2001; Antonyak et al., 2006; Liu et al., 2007; Tee et al., 2010). However, the site of ATP and/or GTP hydrolysis in TG2 is located in the N-terminal region between amino acid residues 1 and 185 (Lai et al., 1996),
suggesting that most of the enzymatic function remains conserved. Given the evidence in this study with BRIN-BD11 cells, where a truncated version of the β-cell TG2 was revealed using protein, mRNA and cDNA analysis, it is plausible that this truncated version may be similar to other alternatively spliced TG2 isoforms with deletions in the C-terminal region (Citron et al., 2002). Assigning a role for this shortened TG2 protein in β-cells could be related to its primary function of insulin secretion, in which glucose causes increases in ATP that are accompanied by increases in cytosolic Ca$^{2+}$, switching TG2 cross-linking activity on. The fine balance between Ca$^{2+}$, GTP and ATP ligand-binding by TG2 in the Ca$^{2+}$-rich insulin secreting β-cell may hold the reason behind a possible alternative splicing event in the adaptation of this protein to its unique insulin-producing environment.
7.8. Extracellular Matrix Associated TG2 in pancreatic β-cells
The possible role of TG2 in the extracellular matrix of pancreatic β-cells is a previously undescribed area of research. It would be expected that within an islet the pancreatic β-cells would be closely associated through cell-to-cell contacts, but also exposed to a rich source of extracellular TG2 from the surrounding endothelial microcapillaries. The involvement of TG2 in the extracellular matrix has been firmly established in many tissue-types despite the enzyme’s externalisation mechanism being unknown (Fisher et al., 2009; Verderio et al., 1998; Jones et al., 1997; Johnson et al., 1997; Aeschlimann and Paulson, 1994; Martinez et al., 1994; Barsigian et al., 1991). It would be expected in pancreatic β-cells that the mechanism of protein externalisation would be unusual because TG2 lacks a signal peptide and is not secreted by a classical endoplasmic reticulum/Golgi-dependent route (Lorand and Graham, 2003). Many ECM proteins are known substrates of TG2 (Esposito and Caputo, 2005), and the cross-linking of these proteins by endothelial cell TG2 is thought to play a role in the stabilisation of the basement membrane (Martinez et al., 1994). Pancreatic β-cells have recently been found to lack a basement membrane, instead using the rich source of endothelial cells from microcapillaries dispersed throughout the islet (Nikolova et al., 2006) to compensate for normal cellular function and survival.
There is much potential for ECM-associated TG2 to offer a protective role towards the prolonged maintenance of pancreatic β-cells during diabetic pathogenesis, as a support matrix application for donor islets before intrahepatic islet transplantation and associated stem cell research. In this investigation, five 3-day lysed 5637 matrices were developed so that: i) the untreated 5637 matrix possessed the highest amount of cell surface TG2 activity and ECM protein accumulation, ii) the gp/TG2 immobilised 5637 matrix contained high amounts of inactive cell surface TG2 protein, iii) the gp/TG2 cross-linked matrix would exhibit high amounts of immobilised protein with excessively cross-linked ECM proteins (fibronectin, laminin, collagen), iv) the site-specific TG inhibited matrix contained inhibited amounts of ECM protein accumulation but high amounts of inactive TG protein, v) the TG2 siRNA-transfected matrix expressed lower levels of TG2 protein resulting in concomitant lowering of ECM protein (fibronectin, laminin, collagen) accumulation.
The use of the 5637 pre-conditioned matrix in order to culture β-cells had the advantage of mimicking the *in vivo* environment of a rich external source of TG2 from the endothelium of the islet microvasculature which enhanced insulin secretion function as a result of integrin-matrix matching (Ris *et al.*, 2002) from dispersed β-cells. These TG2-rich matrices appeared to compensate for the loss of cell-cell contact following the protein digestion as a result of islet isolation and also promoted migration and aggregation in the clonal undifferentiated BRIN-BD11 cells into pseudo-islet structures. It is interesting that the external TG2 present on the β-cell surface may be involved in cell migration (Balklava *et al.*, 2002), and cell adhesion (Jones *et al.*, 1997) by a mechanism that is independent of its transamidating activity (Verderio *et al.*, 2003). This was demonstrated in the current study, using inactivated TG2 that was immobilised on the matrix surface, but still supported enhanced β-cell function.
Disadvantages associated with the use of this support matrix for the prolonged culture of β-cells before islet transplantation or other experimentation is the introduction of a whole array of complex changes that may occur in the β-cell as a result of the support matrix, and the further disruption of cell-cell contact in order to re-use the cultured islets. The 5637 urinary bladder carcinoma cell line was
chosen in this investigation, due to previous reports of successful integrin-matrix matching (Bosco et al., 2001; Ris et al., 2002) with β-cells. Since islet transplantation involves the injection of islets through the hepatic portal vein, to be embedded within the liver (Shapiro et al., 2000), perhaps a more conducive model for matrix support should be sourced from the liver. TG2 has already been implicated in the stabilisation of different tissues such as liver, heart, lung, muscle and kidney revealing extracellular distribution of the enzyme with intensive staining in collagen rich connective tissue (Verderio et al., 2004), and co-localision with nidogen (Aeschlimann et al., 1991). The use of the 5637 support matrices under *in vitro* conditions meant that it was difficult to gauge the concentration of active TG2 once added to the culture medium since much of it was likely to be sequestered by the FN-containing serum. Perhaps the closest physiological equivalent could be equated to situations of chronic tissue damage, where increased extracellular TG2 both secreted and released by virtue of cell damage leads to increased cross-linking, promoting massive tissue scarring and fibrosis (Johnson et al., 1997; Grenard et al., 2001).
The 5637 matrix which was deficient in TG2 expression and activity could also be viewed as a similar environment to the previously described TG2\(^{-/-}\) model (De Laurenzi et al., 2001; Bernassola et al., 2002; Porzio et al., 2007), where it would be expected that the microcapillary source of external TG2 would have been compromised due to gene silencing. The TG2 cross-linked ECM is thought to be composed of TG2 autopolymers, together with heteropolymers of TG2, FN and or other ECM proteins deposited by the pre-conditioned matrix (Jones et al., 2006). It has been demonstrated through previous turnover studies that the *in vitro* cross-linking of a conditioned cell-deposited matrix by TG2 leads to an increased resistance of MMP digestion, thus accounting for a slower rate of turnover (Jones et al., 2006). The same was observed in the current investigation, where the ECM levels of fibronectin, laminin, and collagen production in the 5637 support matrix were lessened when TG2 expression and activity was blocked. It would be interesting to determine whether the ECM-associated TG2 and scaffold proteins are affected within human pancreatic islets under conditions of diabetic stress.
Preliminary studies into the adhesion profile and cell signalling of BRIN-BD11 cells revealed the presence of increased focal adhesion points through immunofluorescent visualisation of actin on TG2-containing support matrices, and the appearance of enhanced phosphorylated focal adhesion kinase (FAK)-mediated adhesion in the TG2-rich matrices. These results could be potentially applied to the growing understanding FAK-mediated cell signalling mechanisms within the context of β-cells. Previous studies have shown that during tissue injury and/or remodelling, the compensatory effect of the TG-FN complex in the presence of RGD-containing peptides is mediated by TG2 binding to the heparan sulphate chains of the syndecan-4 cell surface receptor (Wang et al., 2010 and 2011; Telci et al., 2008; Verderio et al., 2003). This binding mediates activation of protein kinase Cα (PKCα) and its subsequent interaction with β₁ integrin, where cell signalling by this process leads to the reinforcement of actin-stress fiber organization, the activation of focal adhesion kinase (FAK) and ERK1/2 mitogen-activated protein kinases, and the involvement of the Raf-1 protein (Telci et al., 2008). Activation of α5β1 integrin was shown to occur by an inside out signalling mechanism (Wang et al., 2010). Unlike syndecan-4, syndecan-2 does not interact directly with TG2 but acts as a downstream effector in regulating actin cytoskeleton organization through the ROCK pathway, in which PKCα is likely to be the important link between syndecan-4 and syndecan-2 signalling (Wang et al., 2011). Membrane trafficking of TG2, and hence its extracellular activity is involved in TG2 binding to cell-surface heparin sulphate proteoglycan (HSPG), with fibroblasts deprived of syndecan-4 being unable to effectively externalize TG2 (Scarpellini et al., 2009). It is likely that pancreatic β-cells may be following similar mechanisms during the membrane trafficking involved with insulin secretion.
7.9. Summary and Conclusion
A number of diseases result from abnormalities in insulin secretion, including type 1 and type 2 diabetes, persistent hyperinsulinemic hypoglycaemia of infancy (PHHI) and insulinoma. Understanding the role of TG in the mechanisms that regulate insulin secretion may allow for the development of new therapies for these diseases as well as contribute to our ability to engineer insulin-producing
cells for cell replacement therapies of type 1 diabetes. Additionally, the role of TG in regulating insulin secretion could be important for the development of new drugs and to generate substituted insulin-producing cells. There still remains an urgent need to establish a “normal” not cancerogenic β-cell line of human origin either by establishment of a spontaneously transformed stable cell line directly from the healthy pancreas or by the use of stem cells.
Ideas that have developed from this project could lead to promising future research for characterising the role of TGs in the pancreatic β-cell. The clustered aggregation of β-cells in human islets make them a difficult model to manipulate by transfection. Following on from the results with the BRIN-BD11 and MIN-6 clonal β-cells in this investigation, these experimental models could be used for future transfection studies, where up-regulation or down-regulation of various isoforms of TG2 could reveal a better understanding of enzymatic action. The primary role that sets the β-cell apart from other cell types in which TG activity has been involved, is that of a Ca$^{2+}$-rich intracellular environment during insulin secretion function. The dynamic between Ca$^{2+}$-, GTP- and ATP-binding of the intracellular TG enzyme would be an important mechanism to unravel biochemically. It would be useful to carry out a more intensive characterisation of the physiological β-cell substrates on which the enzyme acts, in order to understand its precise balance on the membrane trafficking of insulin granules through to exocytotic release. This association could be extensive, considering the high aggregation of phospho-polymers in β-cells that result from TG enzyme activity. The modulation of TG expression using transcriptional growth factors such as retinoids would be worth pursuing, considering the therapeutic potential for β-cell survival during diabetes. The behaviour of TG on the β-cell membrane could shed light on a number of important functions such as cell-cell contacts which are important for a synchronised physiological glucose response.
New developments in the invention of site-specific TG2 inhibitors could prove useful in β-cell research. For instance, fluorescently tagged site-specific TG inhibitors would improve upon the use of non-specific competitive amines. A novel group of site-directed irreversible specific inhibitors for TGs have been developed by Griffin and co-workers (Daneshpour et al., 2010; Griffin et al.,
2008), targeted to the extracellular matrix, and with some using a liposome-based drug-delivery system for the site-specific delivery of these TG inhibitors into the liver. The inhibited full-length TG2 expression in the TG2\(^{(-/-)}\) mice could have important implications in the context of a shortened \(\beta\)-cell TG2 transcript. The presence of alternative processing of TG could have an impact on drug discovery paradigms, where modulation of activity by targeting unique structural elements of the enzyme may have therapeutic value. Furthermore, a protective role for ECM-associated TG2 in \(\beta\)-cells could be extended to current advances in diabetes treatments and curative strategies using intra-hepatic islet transplantation and \(\beta\)-cell stem cell research, where the application of TG2 protein could potentially prolong the maintenance of donor islet tissue.
Interpretation of the significant results presented in this thesis, involves a wholistic view of TG2 function in the pancreatic \(\beta\)-cell, and being a part of an aggregated islet structure that is richly supplied by a microcapillary vasculature containing endothelial cells that have their own extracellular source of TG2 as well (fig. 7.1.). In this investigation, the TG enzymatic activity specific to BRIN-BD11 \(\beta\)-cells was regulated by a number of important factors. The influx of high cytosolic Ca\(^{2+}\) concentrations which are associated with a response to elevated glucose levels and insulin secretion, or transcriptional up-regulation by retinoic acid were seen to increase TG cross-linking activity. The reversible inhibition of TG cross-linking activity was observed in the presence of GTP, and the short-form \(\beta\)-cell TG2 protein was seen to have GTP-binding capability despite possible deletions in the C-terminal region. Irreversible active site-specific R281 and R283 TG inhibitors caused a significant quantifiable decrease in glucose-stimulated insulin secretion in rat \(\beta\)-cells. Cellular stress factors such as oxidative stress and hyperglycaemia could also be potential regulators of TG activity in \(\beta\)-cells. Such data may be important in developing experimental and therapeutic strategies aimed at controlling the expression and activity of TG within \(\beta\)-cells.
The identification and characterisation of a possibly alternatively spliced shortened TG2 mRNA transcript resulted in a re-assessment of the functional role the new protein might perform in the \(\beta\)-cell. Western blot analysis showed that rat, human and mouse (TG2\(^{+/+}\) and TG2\(^{-/-}\)) pancreatic \(\beta\)-cell TG2 appeared as a predominant
shortened ~60-kDa molecular weight protein with an additional ~120-kd and 35-kDa protein in some cases. The impaired cross-linking activity observed in TG2\(^{-/-}\) mouse islets compared to their TG2\(^{+/+}\) counterparts supports the potential for inhibited TG2 activity being a direct cause of the diabetes type 2 phenotype, however the short-form immunoreactive TG2 protein that was evident in these mouse islets, suggests a possible functional difference between the full-length (~80-kda) TG2 and the shortened isoform (~60-kDa) in the pancreatic islet. To our knowledge, no TG of this size has been reported previously in \(\beta\)-cells. It is likely that the short-form TG described here represents an isoform of the full-length TG2 since northern blotting revealed multiple novel short-form mRNA transcripts in BRIN-BD11 cells, while RT-PCR analysis of the \(\beta\)-cell TG suggested the absence of amino acids from the carboxyl-terminus similar in structure to rat brain alternative splicing transcripts. This assumption is further strengthened by the \(\beta\)-cell TG showing a conservation of the active site Cys\(^{277}\) region as demonstrated in activity assays, the potential for GTP-binding, and the presence of a putative Ca\(^{2+}\)-binding site immunoreacting with the CUB 7402 antibody. Additionally, TG1 (which may be transcriptionally regulated by retinoic acid in concert with TG2) could also be playing a role in the functional dynamic of the pancreatic islet.
Investigations into a role for ECM-associated TG2 in pancreatic \(\beta\)-cells lead to the characterisation of five 3-day lysed matrices where: i) the untreated 5637 matrix possessed the highest amount of cell surface TG2 activity and ECM protein accumulation, ii) the \(gpI\)TG2 immobilised 5637 matrix contained high amounts of inactive cell surface TG2 protein, iii) the \(gpI\)TG2 cross-linked matrix would exhibit high amounts of immobilised protein with excessively cross-linked ECM proteins (fibronectin, laminin, collagen), iv) the site-specific TG inhibited matrix contained inhibited amounts of ECM protein accumulation but high amounts of inactive TG protein, v) the TG2 siRNA-transfected matrix expressed lower levels of TG2 protein resulting in concomitant lowering of ECM protein (fibronectin, laminin, collagen) accumulation. The TG2-rich matrices which possessed high cross-linking activity proved optimal for maintaining \(\beta\)-cell adhesion, spreading, aggregation and resulting insulin production, a process seen to be mediated by actin filaments and the phosphorylation focal adhesion sites.
In conclusion, the investigations in this thesis have laid the foundation for many avenues of research, that include an intracellular role for the active TG enzyme, an intracellular role for TG with as a G-protein function, a possible cell survival role, and an extracellular matrix-associated role within pancreatic β-cells.
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DPM
MuchMoreMusic
The New Collection
disc one
Annie Lennox Why
Eric Clapton My Father's Eyes
Sting You Still Touch Me
Natalie Merchant Carnival
Seal Kiss From A Rose
Jann Arden The Sound Of
Amanda Marshall Dark Horse
Boyz II Men A Song For Mama
Vanessa Williams Save The Best For Last
Celine Dion It's All Coming Back To Me Now
Shania Twain The Woman In Me (Needs The Man In You)
Shawn Colvin Sunny Came Home
Neil Young Harvest Moon
Melissa Etheridge Come To My Window
Corey Hart Third of June
Cowboy Junkies A Common Disaster
Bruce Cockburn Pacing the Cage
disc two
Colin James Let's Shout
(Baby Work Out)
Bonnie Raitt One Belief Away
Holly Cole Union Girl
The Corrs Dreams
Tony Bennett Steppin' Out With My Baby
Diana Krall Peel Me A Grape
Leonard Cohen Closing Time
The Rankins Maybe You're Right
Loreena McKennitt The Bonny Swans
Joni Mitchell How Do You Stop
James Taylor Little More Time With You
Robbie Robertson Unbound
Brian Wilson You've Got to See Me in a Mirror
Anne Murray What Would It Take
Tina Turner The Best
Whitney Houston Greatest Love of All
Gloria Estefan Reach
Plus a Bonus Video
A 15 minute presentation of what you will see when you tune in to MuchMoreMusic including full-length videos from Joni Mitchell w/Seal, and Robbie Robertson.
MuchMoreMusic
The New Channel
MuchMoreMusic is Great Music on Television:
Canada’s highly-anticipated music programming and entertainment channel delivering 24 hours a day of adult contemporary music, light rock, classic hits, soul, R&B, as well as some reggae, jazz, and new age music videos, plus concerts and specialty programming.
WALT SAYS . . .
A great quote!!! A VIP record guy recently joked "I've never been in the position where you hear ten rumours about yourself every day and none of them are true!" (EC: That's why he's a VIP record guy!!!)
America's darkest hour! Do you believe that the poster boy for oral sex is the President of the United States . . . the most powerful man in the world? (EC: Could this be an undercover attempt to control population???) Things will never be the same! Someone should write a song about it! (EC: Build an ad campaign around it!!!) I hope the cigar was a Trinidad! Nothing but the best! He's a regular American guy, I'd vote for him. (EC: Wasn't it Abe Lincoln who said "folks who have no vices have very few virtues"???)
Setting the "swing" trend!!! Had the opportunity to check out Johnny Favourite's Swing Band at Universal's reception and launch of the album at Toronto's Reverb this week. We first saw the band in action at the East Coast Music Awards and thought then they were going to be big, and guess what, the band is actually setting a trend. And what a show . . . and on top of it they're a nice bunch of guys with a great sense of humour. As an example, while I was talking to Johnny, he suddenly looked annoyed and grabbed a guy who was talking to a girl, and said "Hey buddy, that's my sister. Get away from her or I'll flip you like a nickel." The guy was lucky . . . the room was so crowded there wasn't enough room to flip a nickel, and in that crowd, who would have a nickel? (EC: Do they still mint nickels???)
Dumping TV programs!!! Did I read in a leading Toronto paper a reference to "dumping" TV programs into Canada cheaply? I don't think I've ever seen that word used before! (EC: I think they've thought of a way of covering their assets!) Then you could say they're "dumping" motion pictures into Canada! (EC: Then say it!!!)
Elvira says: It has nothing to do with Canadian culture! It has to do with accumulating wealth and an inheritance . . . to pass on to be sold! Greed! (WG: That may change!!!) see TV!
Speaking of nickels!!! Stopped in at Celine Dion's Nickels Restaurant in Ajax for breakfast. She wasn't there! (EC: Might have been in the kitchen!!!) The place was in pretty good running order, and cheap, like a couple of eggs, bacon, toast, jam and peanut butter, all for three bucks and a little bit. The joint was packed which is pretty good considering it's across the road from McDonald's. And, the staff is very customer friendly, particularly our server whose name was Kristi. I just might make this a Saturday morning habit. (EC: Does Celine get royalties on food sales???)
Rummaging for cigars??? You've heard this before, but here's a new spin. Apparently when Monica was checking out Bill's Oval Office looking for BIG cigars, she came across Sarah McLaclachlan's Surfacing CD and told Big Bill she liked track 5 which is Do What You Have To Do. But track 6, Witness, would have been better. It's got the catchy line "Make me a witness. Take me up out of the darkness out of doubt. I won't weigh you down." (EC: Not too many lines now, you might have to pay a royalty!!!)
Takin' it easy!!! How's this for taking advantage of those retirement years. Gerry Lacoursiere and his wife Gaye are off on a three month holiday beginning in Athens which will include a cruise of the Mediterranean where they'll hook up with Joe Summers and his wife Glory and then the four of them are off to Africa for a safari. They'll also be visiting Victoria Falls and a lot of other places us working stiffs can only read about. And I don't believe this, they get back home in December. (EC: December? Are they crazy???)
No! It ain't broke!!! Good reaction to David Basskin's quote in RPM last week, referring to the MAPL system as "It ain't broke, so let's not try to fix it." Basskin heads up the Canadian Music Publishers Association. (EC: He always uses the best lawyer language!!!)
Another Canadian mover!!! Interesting to see that Torontonian Kevin Newman, a former CBC journalist is using his savvy to turn around the troubled TVer Good Morning America. Great in-depth article by Donna Bailey Nurse on Newman and his accomplishments and his five year association with ABC in the Sept. 24 Arts & Leisure section of the Globe and Mail. Hey! Canadians are the best in news, comedy and music . . . and CD manufacturing! (EC: Shhh. You'll wake the NAFTA guys!!!)
Do you believe this? A report out of Hollywood claims 30 old rock 'n rollers have taken an action against EMI-Capitol Music asking for "unspecified" damages, claiming the company sold their music without first buying their rights. They're talking about fraud, breach of contract and misrepresentation. Taking part in the action are Freddy Fender, Jan Berry of Jan and Dean, Chubby Checker and Pat Boone. (EC: Pat Boone . . . a rocker???) Pretty heavy stuff. (EC: Don't you mean pretty heavy stuff???)
Racing Demon is great theatre!!! Not being too inclined to drama theatre, I had set myself up for a boring night of Racing Demon, now playing Toronto's Royal Alexandra Theatre. Much to my surprise and delight, this was not a nod-off piece of fluff. This theatrical masterpiece looks at some pretty thorny and entertaining revelations about the church. They've got a gay priest (Mark Kingston), a drunk one (Peter Bourke), a doubting priest (Dinsdale Landen) a wise-cracking and very animated young priest (Paul Venables). Holding it all together is a very stern bishop (Michael Jayston). And, there's a woman, who isn't too shabby as a priest groupie (Caroline Loncq). (EC: Sounds like real heavy stuff!!!)
Handicap budgeting??? That's a new reference you might be hearing more of. When the big money making artists take a hiatus, which sometimes lasts three or four months, the commission-driven sales guys would like to know what to expect. On the other hand, they've made so much money, they can afford to take a hiatus as well. (EC: Or take a hike!!!)
Like the good old days!!! Sat in on a 38-minute video of what's coming down from Warner Music this past week. It reminded me of the old days of fall plans which got everybody looking forward to the first snowfall. (EC: You mean that's good???) The fact they can cram everything into 38 minutes is pretty phenomenal, considering the hot acts they've got coming. It covered everything from rock, urban, pop, country and even classical music. It was so well done I even came away humming a couple of songs, one being by Alanis Morissette, which is going to be a huge smash, and the other by . . . oh well, I know the song, but I forgot who the artist was. (EC: Too much to take in old buddy???)
100 HIT TRACKS
& where to find them
Teamwork is a powerful thing
Congratulations to SOCAN songwriters
Jason McCoy
Naoise Sheridan
and to BMI’s
Denny Carr
Winners of the 1998 CCMA Award for SOCAN Song of the Year “Born Again in Dixieland”
Society of Composers Authors and Music Publishers of Canada
BETTE MIDLER - Camp
Bathhouse Betty
Warner Bros-47078-P
Camp is the only description to fit Midler's latest incursion into or assault on the recording business. There's lots here for Midler's legion of movie fans, not too shabby a number, but her record fans will have to take this one with a bit of their own tongue in cheek delivery. That may be David Foster showing his humorous side on his production of My Own True Friend, the first single, which, by the way, he wrote with a couple of Carolies, Bayer Singer and King. The song could become hugely popular being that it's the theme from the upcoming Universal film One True Thing starring Meryl Streep and Renee Zellweger. Midler also does a somewhat spoozy version of Leonard Cohen's Song Of Bernadette, produced by Ted Templeman and on son Adam Cohen's Lullaby in Blue produced by Brock Walsh. There should be some Cancor here, a nice rock and roll track could do wonders. Mandel produced Ukulele Lady, a popular "live" Midler number will also serve to satisfy the appetite of her fans. The Divine Miss M is obviously having a lot of fun. In-store play of any of the above plus I'm Hip, One Monkey Don't Stop The Show and Laughing Matters will stop customers in their tracks. -WG
REBECCA MILLER - Country
Listen To The Radio
Wolfe Lake Music/Popular-3267-P
Currently charting with Country To The Bone, Miller had a #1 single in Europe on the European Country Music Association and the Astra Satellite Network charts with the title track. Miller will bolster her status by performing at major country music festivals in Europe next summer. Miller eases into her song message with a natural, free-flow projection that makes the interpretation of each track an experience. This is particularly poignant on Roy Orbison's After The Love Is Gone and the Kostas penning of I'm Going Up, a natural for a single. But don't overlook Don't Do Lonely, Miller's also not too shabby as a songwriter, expressing a bluesy side on Louvin's Blues, another sho' nuff as a single. Produced by Randall Prescott and recorded at Prescott's Lakeside Studio where it was mastered by Martin Russell. Session players are some of the best pickers in the business including string man Mike Keates, fiddlemaster Don Rutherford, Jon Paul Wheeler on acoustic and slide guitar, keyboardists Steve O'Connor and Andy Thompson and Prescott on mouth harp. That's Tracey Brown doing background assist on No More Me & You. Also supplying background vocals are Dan Paul Rogers, Mike Keates and Craig Bignell. -WG
BILL KING - Jazz
East Side Symphony
Radioland-10012
There's no tiring of the keyboard magic of Cancon jazz icon Bill King. He weaves a carpet of instrumental fantasies that conjures up aural visions of his writing, particularly on the title track, Friends, That's What I Want, The Great Wall and Summer Cornin'. Although he adds to being a Gershwin fan, his fusion of jazz and the classics is uniquely his and crosses into all formats. There's room for King instrumentals on A/C, CHR and country radio. Interesting too is King's awesome take on Roy Orbison's Crying which offers a new dimension of this classic. The album was produced by King and Greg Sutherland and recorded at D.A.V.E. Audio in Toronto and mastered by Peter Moore at The E Room in Toronto. King is given superb instrumental backup by Vernon Dorge on saxophones and flute, guitarist Levon Ichkhamian, bassist Lionel Williams, drummer Mark Kelso and percussionist Art Avalos. -WG
KRIS TAYLOR - Pop
The Bigger Blue
MKT-1001
Guitar-driven aggressive pop with a purist, almost folky approach that demands attention. The Secret To Life, taken as the first single, is now at Campus, Multi-Format and Adult Contemporary radio, an important door-opener with its smooth and mildly crunchy projection. Taylor's vocals are unstructured, but fresh with a unique urgency that smooths out the carefully structured lyrics. Having written all the lyrics and music with the exception of the title with music by his guitarist Paul McDonald, Taylor knows his message territory explicitly and carefully paints his aural picture of what could be considered as personal experiences. The title track, I'm So Lonely I can lie me down and hope to go where others dare not dare to go, "Cause they don't know The Bigger Blue." Taylor also impacts with Highway, Bones To Stand, Means To An End and In No Position. But don't overlook Six Day Shadow and Breathe. Produced by Nando Sporzana and recorded at CMS Studios in Moncton. Taylor on lead vocals, bass and 12-string guitar. Is accompanied by Paul McDonald (acoustic guitar, harmonica, back-up vocals), Mike Bourgeois (lead electric-acoustic guitar), Dion MacBeth (electric-acoustic guitar, back-up vocals), Danny Bourgeois (drums), Etienne LeBlanc (five-string, fretless bass) and Tony Grant (percussion). Nice balance of vocals and instruments. Managed by Michael Ardenne at 902-492-8000 or fax 902-423-2143. -WG
VUJA DÉ - Exotica
VujaMusic-001
Vuja Dé is a clever group appellative for this Toronto-based sextet; too clever actually. The cover art evokes déjà vu until one realizes that it's similar, accidentally or otherwise, to that often used by Arthur Lyman. This feeling continues while listening to the music. It's rather like the music may have resulted from Lyman and Martin Denny ever combined forces in tribute to Stan Kenton. There's the requisite exotic percussion as well as the jagged structure of the later Kenton. It's all interesting and, on the whole, enjoyable. A few of the tracks approach cacophony it's true, but the cause would seem to be effusiveness, the lack of restraint. Suddenly, it's especially enjoyable with a melodic structure that reminds the listener of Gershwin's Summertime interpolated with Tabu. It's not one's intention to philosophize, but it seems that in attempting to be novel, Vuja Dé is merely imitative. That's not bad you understand, but the talent so abundantly displayed here might better be deployed in another genre. -BW
BLACKHAWK - Country
The Sky's The Limit
Arista/Nashville-3134-N
There You Have It, written by Steve Bogard and Rick Giles, taken as the first single, is already making international grass roots radio play and builds up a #31 hit peak on the RPM Country 100. Nice, eye-catching packaging with an interesting fold-out die-cut of the band's Blackhawk logo, plus photos of the trio: Henry Paul, Van Stephenson and Dave Robbins. Packaging aside, the album is hot and, with the across-the-board radio play of the single, should attract customary attention. Radio play is also building fast. Excellent, hard-hitting material that should give them at least a half dozen singles. Key are Your Own Little Quarter Of My Heart, written by Walt Aldridge and Brad Crisler, Van Stephenson's penned of Thinking Again, In My Heart Of Hearts, written by Byron Hill and Annie Robbott and The Last Time from Gary Burr, Sharon Vaughn and Paul Young. That musical signature is instantly recognizable with the trio's superb vocal harmonies that move with ease in and out of the nicely laid-out instrumentation that includes strings, fiddle, steel, mouth harp, accordion, keys, mandolin, and very effective acoustic guitar work by Greg Jennings, which is all the instruments needed to make for a lush country session. Produced by Mark Bright and Tim DuBois. -WG
ARTHUR LYMAN - Exotica
Yellow Bird
Rykodisc-50433
Reviewing an Arthur Lyman album is relatively easy given the excellent liner notes that accompany them. That's especially so with Yellow Bird. Reprinted from the originals of 1956 they advise what one can expect on each of the 12 tracks. What they don't, and we suspect can't do, explain how this Hawaiian-sounding quintet can put such a different spin on each song yet have them all sound exotic. As examples, Arrivederci Roma is played at rhumba tempo; Havaah Naglah starts as a sarabande then morphs through a military two step into a peabody and the love chestnut, Sweet and Lovely comes across as slow R&B. And, wait till you hear the folk song, John Henry. But, damme, they all sound exotic, and delicious. -BW
ALBUM PICK
DEBORAH COX - Dance 'n Blues
One Wish
Arista-07822-19022-N
The smoky, cool musical signature of Cox on the Montell Jordan produced Nobody's Supposed To Be Here, taken as the first single, is an ear-soothing assault on the dance and R&B market. With music and vocals arranged by Jordan and Anthony "Shep" Crawford, the album features songs written and produced by a number of top names in the business. Also key and very radio friendly is We Can't Be Friends, a duet with RL from Next, also produced by Montell; One Day You Will, written by Diane Warren and produced by David Foster; and the sweet penning, Couldn't We, produced by Daryl Simmons, who did the same for Toni Braxton; and It's Over Now, a track that has single potential, produced by KayGee, who produced Naughty But Nice and Next; and the Stevie J. production of September. Cox also shows her writing talent on I Won't Give Up, which is two parts Caroon (Ariola) on Cox's track on the album, also a potential single. There are 14 tracks here, including a couple of remixes (September, Things Just Ain't The Same and Nobody's Supposed To Be Here), and a hidden track, and all display varying Cox mood swings which adds to the entertainment value. Should be the album to bring Cox into the mainstream. The aggressive promotion and marketing strategy being mounted by BMG should quickly establish Cox both at radio and retail. -WG
OL' BLUE EYES: A Frank Sinatra Encyclopedia by Leonard Mustazza - 480 pages, hardcover, $29.95. St. Martin's Press, 1998.
Jenkins arrangement in 1959. Lowe’s song was inducted into the Grammy Hall of Fame in 1982. Another Lowe song, which she co-wrote with Paul
BOOKS
CessioN
| TW | LW | WO | SEPTEMBER 28, 1998 |
|----|----|----|-------------------|
| 1 | NEW | CELINE DION | St'chaft Uramer (Columbia) 80339-H |
| 2 | 1 | 11 | ARMAGEDDON O.S.T | Various Artists (Epic) 69440-H |
| 3 | NEW | HOLE | Celebrity Skin (Geffen) 25164-J |
| 4 | 4 | 9 | BEASTIE BOYS | Hello I Must (Capitol) 37166-F |
| 5 | 2 | 3 | BACK TO TITANIC O.S.T | Various Artists (Sony Classical) 80891-H |
| 6 | NEW | CANIBUS | Lyrical Warfare (Universal) 53136-J |
| 7 | 3 | 3 | ROB ZOMBIE | Hellbilly Deluxe (Geffen) 25212-J |
| 8 | 5 | 14 | BRANDY | Never Say Never (Atlantic) 63038-P |
| 9 | 8 | 3 | FROSH | Various Artists (Polymedia) 585104-Q |
| 10 | 11 | 9 | MONICA | The Boy Is Mine (Arista) 19011-N |
| 11 | 6 | 36 | SPICE GIRLS | Spice World (Virgin) 45111-F |
| 12 | 7 | 19 | NOW! 3 | Various Artists (Universal) 81072-J |
| 13 | 16 | 3 | LAURYN HILL | Misadventure Of Lauryn Hill (Ruffhouse) 68035-H |
| 14 | 10 | 24 | CITY OF ANGELS O.S.T | Various Artists (Warner Bros.) 48867-P |
| 15 | 16 | 36 | SAVAGE GARDEN | Savage Garden (Columbia) 6795-H |
| 16 | 14 | 17 | GROOVE STATION 4 | Various Artists (Arlo) 58378-N |
| 17 | 12 | 4 | KORN | Follow The Leader (Epic) 69001-H |
| 18 | 17 | 36 | SHANIA TWAIN | Come On Over (Mercury) 536003-Q |
| 19 | 9 | 9 | THE TRAGICALLY HIP | Phantom Power (Universal) 61083-J |
| 20 | 25 | 29 | MADONNA | Ray Of Light (Maverick) 46847-P |
| 21 | 13 | 7 | BOY POWER | Various Artists (BMG) 80244-N |
| 22 | 20 | 10 | BARENAKED LADIES | Stunt (Reprise) 49693-P |
| 23 | 19 | 3 | BUMP N' GRIND | Various Artists (Polymedia) 56637-Q |
| 24 | 21 | 29 | ALL SAINTS | All Saints (London) 556004-Q |
| 25 | 24 | 25 | N SYNC | N Sync (RCA) 57189-N |
| 26 | 32 | 23 | THE WEDDING SINGER O.S.T | Various Artists (Maverick) 46840-P |
| 27 | 27 | 4 | FIFTY-FOUR VOL. 2 O.S.T | Various Artists (Tommy Boy) 1234-N |
| 28 | 26 | 36 | AQUA | Aquarium (IMCA) 85020-J |
| 29 | 31 | 27 | NATALIE IMBRUGLIA | Left Of The Middle (RCA) 67834-N |
| 30 | RE | 3 | BLADE O.S.T | Various Artists (VTF) 82102-Q |
| 31 | 18 | 2 | BIG SUGAR | Heated (A&M) 314 540 955-Q |
| 32 | 29 | 8 | THE WEDDING SINGER VOL. 2 O.S.T | Various Artists (Maverick) 46846-P |
| 33 | 23 | 36 | TITANIC O.S.T | Various Artists (Sony) 63213-H |
| 34 | 22 | 6 | SNOOP DOGG | Da Game Is To Be Sold, Not To Be...(No Limit) 46283-F |
| MAPL: Indicates album has some Cancon |
|---------------------------------------|
| 35 | 44 | 7 | BRIAN SETZER ORCHESTRA | Dirty doogie (Interscope) 30183-J |
| 36 | 30 | 13 | LOVE INC. | Love Inc. (VK/3MAG) 59031-N |
| 37 | 28 | 2 | ALAN JACKSON | High Mileage (Arista) 18877-N |
| 38 | NEW | 1 | JIM CUDY | All In Time (WEA) 23017-P |
| 39 | 36 | 21 | BULWORTH O.S.T | Various Artists (Interscope) 90160-J |
| 40 | 39 | 38 | CELINE DION | Let's Talk About Love (Columbia) 68861-I |
| 41 | 37 | 38 | ANDREA BOCELLI | Romanza (Philips) 56456-Q |
| 42 | 33 | 15 | SMASHING PUMPKINS | Adore (Virgin) 45879-F |
| 43 | 48 | 4 | RAMMSTEIN | Shissiznizt (London) 314 539 901-Q |
| 44 | 42 | 14 | CHERRY POPPIN' DADDIES | Zoot Suit Riot (Moto) 53301-J |
| 45 | 41 | 5 | HOW STELLA GOT HER GROOVE O.S.T | Various Artists (MCA) 11806-J |
| 46 | NEW | 1 | FAT JOE | Don Cartagena (Atlantic) 92805-P |
| 47 | 46 | 12 | COLIN JAMES | Little Big Bang II (WEA) 23010-P |
| 48 | 40 | 38 | BACKSTREET BOYS | Backstreet's Back (Jive) 41617-N |
| 49 | 38 | 17 | GODZILLA O.S.T | Various Artists (Epic) 69338-H |
| 50 | 43 | 18 | GARBAGE | Version 2.0 (Almo) 80018-J |
| 51 | 34 | 8 | JERMAINE DUPRI | Life In 1472 (Columbia) 69397-H |
| 52 | 45 | 38 | SARAH McLACHLAN | Surfacing (Networth) 30116-F |
| 53 | NEW | 1 | TATYANA ALI | Kiss The Sky (Epic) 68856-H |
| 54 | 52 | 38 | MATCHBOX 20 | Yourself Or Someone Like You (Lava) 92721-P |
| 55 | 54 | 3 | FIFTY-FOUR VOL. 1 O.S.T | Various Artists (Tommy Boy) 1233-N |
| 56 | 47 | 14 | KEVIN PARENT | Grand Parleur (Taccia) 4510-Select |
| 57 | 35 | 4 | FUNKMASTER FLEX | Vol. 3 Mixtape Final Chapter (RCA) 67647-N |
| 58 | 56 | 12 | DOCTOR DOLITTLE O.S.T | Various Artists (Atlantic) 83113-P |
| 59 | 53 | 21 | FAITH HILL | Faith (Warner Bros.) 46790-P |
| 60 | 84 | 9 | NOTRE DAME DE PARIS | Various Artists (Select) 807-Select |
| 61 | 49 | 9 | ACE OF BASE | Everytime It Rains (Arista) 19021-N |
| 62 | 61 | 4 | DANCE WITH ME O.S.T | Various Artists (Epic) 68905-H |
| 63 | 50 | 36 | SPICE GIRLS | Spice (Virgin) 42174-F |
| 64 | 51 | 19 | ALLY McBEAL O.S.T | Various Artists (Epic) 69365-H |
| 65 | 57 | 35 | MATTHEW GOOD BAND | Underdoga (Adn) 280-394-001-D |
| 66 | 59 | 36 | WILL SMITH | Big Willie Style (Columbia) 68863-H |
| 67 | 62 | 27 | BIG WRECK | In Loving Memory Of (WEA) 83032-P |
| 68 | 60 | 17 | SEMISONIC | Feeling Strongly Fine (Universal) 11733-J |
| 69 | 66 | 5 | VINCE GILL | The Key (MCA Nashville) 70017-J |
| 70 | 74 | 5 | JENNIFER PAGE | Jennifer Page (Hollywood) 62171-Q |
| 71 | 58 | 36 | CREED | My Own Prison (Attic) 21500-J |
| 72 | 70 | 25 | FRANK SINATRA | My Way (WEA) 48710-P |
| 73 | 64 | 36 | BIG SHINY TUNES 2 | Various Artists (VCMG) 38040-Q |
| 74 | 55 | 2 | GINETTE RENO | Love to All (Attic) 1513-J |
| 75 | 77 | 20 | DAVE MATTHEWS BAND | Before These Crowded Streets (RCA) 67660-N |
| 76 | 65 | 35 | JANET JACKSON | Velvet Rope (Virgin) 44762-F |
| 77 | 67 | 9 | FIVE | Five (Arista) 18033-N |
| 78 | 72 | 11 | 54.40 | Since When (Columbia) 80338-H |
| 79 | 82 | 35 | GREEN DAY | Nimrod (Reprise) 46784-M |
| 80 | 69 | 3 | PHILOSOPHER KINGS | Famous Rich And Beautiful (Columbia) 80291-H |
| 81 | 68 | 13 | CAN'T HARDLY WAIT O.S.T | Various Artists (Epic) 62201-P |
| 82 | 75 | 27 | THE FULL MONTY O.S.T | Various Artists (RCA Victor) 688024-N |
| 83 | 83 | 36 | LOREENA McKENNITT | The Book Of Secrets (WEA) 19404-P |
| 84 | 73 | 3 | THE THREE TENORS | Paris 1998 (London) 465030-Q |
| 85 | 78 | 2 | DIXIE CHICKS | Wide Open Spaces (Epic) 68195-H |
| 86 | 86 | 24 | FASTBALL | All The Pain Money Can Buy (Hollywood) 621302-Q |
| 87 | 76 | 3 | NICOLE | Make It Hot (East/West) 62209-P |
| 88 | 71 | 23 | HIT ZONE 4 | Various Artists (Polymedia) 555 738-Q |
| 89 | 92 | 14 | NEW COUNTRY 5 | Various Artists (WEA) 38524-P |
| 90 | 93 | 9 | LENNY KRAVITZ | 5 (Virgin) 456305-F |
| 91 | 81 | 18 | LES COLOCS | De Hors l'novembre (Musicmecanor/d.e.t.c.)-Select |
| 92 | RE | 15 | HOPE FLOATS O.S.T | Various Artists (EMI) 83402-F |
| 93 | 88 | 12 | MONSTER MAGNET | Powertrip (ABM) 540386-Q |
| 94 | 79 | 11 | PUNK-O-RAMA | Vol.3 Punk-O-Rama (Eptagon) 86534-Sonic Unyon |
| 95 | RE | 5 | SQUIRREL NUT ZIPPERS | Perennial Favourites (Attic) 390169-J |
| 96 | 95 | 18 | LEANN RIMES | Sittin' On Top Of The World (Curb) 77901-F |
| 97 | RE | 162 | AMANDA MARSHALL | Amanda Marshall (Cycl) 80229-H |
| 98 | 96 | 11 | CRYSTAL METHOD | Vegas (Geffen) 30033-J |
| 99 | 98 | 11 | OKOUME | Okoume (WRT) 5821 |
| 100| 63 | 20 | LILITH FAIR | Various Artists (Networth) 30125-F |
Bonnie Raitt meets and greets at the SkyDome
Brooks & Dunn ease into the #1 slot with How Long Gone, their latest Arista single. The track is also on their double-platinum album, How Long.
artists which should be sent to P.O. Box 1467, Willis, Texas 77378 USA. Steele's latest focus is on the "W" in Western.
COUNTRY continued on page 16
single was added to light rotation on CMT and due to viewer response has been moved up twice and is now on a steady medium rotation. O'Keeffe's self-titled album is expected to be released in England on the South Bound label distributed by PolyGram. Well known choreographer Bill Bader who created the Boot Scootin' Boogie line dance, has created a line dance for Still The One. Instructions on how to do the line dance are included on O'Keeffe's album. Six of the tracks on the album were produced by Tom McKillip and Craig Zurba. The remaining four were produced by Andreas Schuld. The album was recorded at MRND Studios and Magic Lab Studios in Surrey, BC and mastered by Zurba at MRND. Check out O'Keeffe's website at http://mypage.direct.ca/~o/okeeffe/. For product call 1-800563-7234 (JOE-RADIO). Watch for a review of the album.
Morris Rainville has found an interesting website from Sudbury called Country Music Northern Ontario that contains a lot of information on country music in Northern Ontario along with guestbooks and people from all countries who are sending messages. The website has some very important country links. Check it out at www.cyberbeachnet/~country/ >http://www.cyberbeach.net/country/>. Rainville's current single, Would'a Been Here Much Sooner is now on a total of 93 radio stations in 16 countries. The track is included on Hillcrest CD compilation #42.
Hilda V who was featured in RPM (April 6/98) is now on the web (http://www.shipmgmt.com). She is presently working on her second CD titled Time. One track, Time Heals, is featured on the net in its entirety. Hilda's manager says that anyone reading Hilda's bio "will understand why she wanted to do this song. Not only is it for herself but for the millions of people struggling to get over problems."
Paquin Entertainment Agency based in Winnipeg, represents Michael Martin Murphy exclusively in Canada. Murphy's latest album is titled The Horse Legends. He will be heading out on a Canadian tour next summer and will be available for bookings from Oct. 15 through Nov. 15. Call Julien Paquin at 204-697-0650 or fax 204-697-0903 for more information. Check out their website (www.paquinentertainment.com).
Dan Nash continues to make good inroads into country radio with his latest single A Man Like That which moves up to #57 this week on the RPM Country 100. More than 130 stations have playlisted the single. It's interesting to note that the overwhelming majority of stations spinning the single are A/C-CHR (54%) or multiformat-easy listening (19%). Watch for the single to enter the A/C chart.
Trina has a follow-up single to Tears Dry, titled Where Your Road Leads. The new song was written by Nashville writers Desmond Child and Victoria Shaw and qualifies as two-parts Cancon (AP). Trina recorded the song in September of 1997. Her single is released on the Carina Music label out of Sackville, Nova Scotia. Call 902-861-1434.
Duane Steele is expected to chart shortly with his new Mercury single Right From The Start. The song was written by Steele and Tim Taylor and is included on his album This Is The Life. Steele, who is booked through T. Skorman Productions of Orlando, Florida, has just completed a full schedule of dates for September. He is playing Outlaws in Calgary (Oct. 6), Cook County Saloon (7) in Edmonton and The Corral in Grande Prairie (8) all with Perfect Stranger and at Brock University in St. Catharines (22) with Tracey Brown. Steele will also be cruising the Caribbean aboard MV Flemenco (Regent Holidays) from Feb. 27 through March 6.
Terri Clark and Lorianne Crook at TNN's party at Cowboy's in Calgary during Country Music Week
Charlie Chase and Lorianne Crook with CCMA Hall of Honour inductee Ray Griff (contact Anya Wilson 416-977-7704).
4th consecutive CCMA award for Patrick Duffy
Patrick Duffy of the Toronto-based Attention Agency has won his fourth consecutive CCMA award, this time for Best Music Video for "The Way I Am" by The Barenaked Ladies.
Duffy, who is also a graphic designer in his spare time, was presented with the award at the 1998 CCMA Awards held in Toronto on September 25. He was also named Best Music Video Director for "The Way I Am" and Best Music Video Director for "I'm So Afraid" by The Barenaked Ladies.
Duffy's previous CCMA awards include Best Music Video for "The Way I Am" by The Barenaked Ladies in 1996, Best Music Video for "I'm So Afraid" by The Barenaked Ladies in 1997, and Best Music Video for "The Way I Am" by The Barenaked Ladies in 1998.
## RPM ALTERNATIVE 30
**Record Distributor Codes:**
- BMG - N
- EMI - F
- Universal - J
- Polygram - O
- Sony - H
- Warner - P
### TW LW WO SEPTEMBER 28, 1998
| Rank | TW | LW | WO |
|------|----|----|----|
| 1 | 1 | 14 | POETS |
| | | | The Tragically Hip - Phantom Power |
| | | | Universal 81083 (promo CD)-J |
| 2 | 3 | 6 | HOOCH |
| | | | Better Than 'Sugar Natural' |
| | | | Sire 38003 (comp 366)-P |
| 3 | 11 | 2 | THE SCENE |
| | | | Daft Punk - Harder |
| | | | A&M 514 540 955 (comp 7)-Q |
| 4 | 2 | 7 | PERFECT |
| | | | Smashing Pumpkins - Adore |
| | | | Virgin 40145 (comp 188)-F |
| 5 | 4 | 15 | THE DOWNTOWN |
| | | | Day Of The New - Days Of The New |
| | | | Outlook 301004 (comp 6)-J |
| 6 | 6 | 4 | IN HIM |
| | | | Pearl Jam - Yield |
| | | | Epic 68164 (comp 077)-H |
| 7 | 5 | 14 | ANY DAY NOW |
| | | | The Warlocks - Short Radar |
| | | | EMI 59031 (promo CD)-F |
| 8 | 7 | 5 | DU HAST |
| | | | Rammstein - Shnuscht |
| | | | Swan 314 538 901 (CD track)-Q |
| 9 | 8 | 8 | IRIS |
| | | | Geo Geo Dolls - City Of Angels O.S.T |
| | | | Republic 49001 (promo CD)-F |
| 10 | 16 | 13 | FIRE ESCAPE |
| | | | Fastball - Make Your Mama Proud |
| | | | Hollywood 62045 (promo CD) |
| 11 | 9 | 8 | SOMEHOW, SOMEWHERE, SOMEWAY |
| | | | Korn - Somehow, Somewhere, Sometime Is |
| | | | Revolution 24688 (CD track)-P |
| 12 | 14 | 9 | OVER YOUR SHOULDER |
| | | | 7 Mary 3 - Orange Avenue |
| | | | Atlantic 81100 (comp 87)-P |
| 13 | 10 | 8 | WHAT KIND OF LOVE ARE YOU ON |
| | | | Aerosmith - Armageddon O.S.T |
| | | | Columbia 46330 (promo CD)-H |
| 14 | 15 | 17 | APPARITIONS |
| | | | Matthew Good Band - Underdogs |
| | | | A&M 228 991 (promo CD) |
| 15 | 12 | 14 | WHAT'S THIS LIFE FOR |
| | | | The White Owls - What's This Life For |
| | | | Attic 1500 (promo CD)-J |
| 16 | 13 | 7 | SAVE TONIGHT |
| | | | Eagle Eye Cherry - Dangerous |
| | | | Word 63001 (comp 075)-H |
| 17 | 18 | 5 | DRAGULA |
| | | | Rob Zombie - Hell Billy Deluxe |
| | | | Geffen 25164 (promo CD) |
| 18 | 23 | 3 | CELEBRITY SKIN |
| | | | Hole - Celebrity Skin |
| | | | Geffen 25164 (promo CD)-J |
| 19 | 27 | 2 | PSYCHO CIRCUS |
| | | | Alice In Chains - Alice In Chains |
| | | | Mercury 314 558 992 (promo CD)-Q |
| 20 | 17 | 11 | IT'S ALRIGHT |
| | | | Candlebox - It's Alright |
| | | | Maverick 44697 (comp 366)-P |
| 21 | 19 | 4 | THE DOPE SHOW |
| | | | Marilyn Manson - Mechanical Animals |
| | | | Nothing 10073 (promo CD)-J |
| 22 | 30 | 2 | GOT THE LIFE |
| | | | Korn - Follow The Leader |
| | | | Epic 69001 (comp 077)-H |
| 23 | 20 | 18 | SPACE LORD |
| | | | Ministry - Space Lord |
| | | | Powertrip A&M 314 540-908 (comp 051898)-Q |
| 24 | NEW | 21 | SLIDE |
| | | | Geo Geo Dolls - "Ozzy Up The Girl |
| | | | Warner 47058 (promo CD) |
| 25 | 22 | 21 | HEROES |
| | | | The Vastfowers - Spacelife O.S.T |
| | | | Epic 58830 (promo CD)-H |
| 26 | 29 | 2 | YOUR LIFE IS NOW |
| | | | John Mellencamp - Self-titled |
| | | | Columbia 4680 (promo CD)-H |
| 27 | 24 | 12 | PSYCHOSTOMP |
| | | | The Tee Pee Band - Transmission |
| | | | EMI 55308 (pro single)-F |
| 28 | 21 | 17 | SINCE WHEN |
| | | | John Mellencamp - When |
| | | | Columbia 80338 (comp 074)-H |
| 29 | NEW | 25 | ADAM'S RIB |
| | | | Meatloaf - Adam's Rib |
| | | | Columbia 80328 (promo CD)-H |
| 30 | 25 | 13 | BLOWN WIDE OPEN |
| | | | Big Wreck - In Loving Memory Of... |
| | | | WEA 83032 (comp 364)-P |
---
## RPM URBAN TOP 30
**Canada's only national weekly urban music chart**
### TW LW WO SEPTEMBER 28, 1998
| Rank | TW | LW | WO |
|------|----|----|----|
| 1 | 2 | 6 | LOOKIN' AT ME |
| | | | Mase w/Puff Daddy |
| | | | Bad Boy-N |
| 2 | 1 | 8 | KING OF THE WORLD |
| | | | Brandy w/Mase |
| | | | Atlantic-C |
| 3 | 3 | 10 | GO DEEP |
| | | | Janet Jackson |
| | | | Virgin-F |
| 4 | 4 | 10 | HORSE & CARRIAGE |
| | | | Cam'Ron feat. / Mase |
| | | | Atlantic-P |
| 5 | 8 | 5 | I'LL BE AROUND |
| | | | Raftsun w/Bg Pun |
| | | | SSD-H |
| 6 | 7 | 6 | MONEY AIN'T A THANG |
| | | | Jay Z w/Genieva Man |
| | | | So So Def-H |
| 7 | 5 | 7 | WE WILL BALL |
| | | | Lord Tings w/Peter Gunz |
| | | | So So Def-H |
| 8 | 12 | 3 | DAYDREAMIN' |
| | | | Tatyana Ali |
| | | | Virgin-H |
| 9 | 6 | 11 | ARE YOU THAT SOMEBODY |
| | | | Aaliyah |
| | | | Atlantic-P |
| 10 | 19 | 3 | YOU CAN FREAK IT |
| | | | Kurupt |
| | | | Polymedia-Q |
| 11 | 9 | 11 | THA BOMB |
| | | | SaltNPea |
| | | | Epic-H |
| 12 | 11 | 17 | STILL NOT A PLAYER |
| | | | Big Pun |
| | | | Bad Boy-N |
| 13 | 14 | 4 | CAN'T STOP WON'T WAIT |
| | | | The Lex w/Puff Daddy |
| | | | Bad Boy-N |
| 14 | 24 | 2 | I HONOR U |
| | | | Busta |
| | | | Universal-J |
| 15 | 10 | 14 | WITH ME (PART II) |
| | | | Deuce feat. w/Master P |
| | | | Columbia-H |
| 16 | 17 | 7 | WOOF WOOF |
| | | | 69 Boys |
| | | | Warner Bros.-P |
| 17 | 28 | 2 | BLUE ANGELS |
| | | | Peas |
| | | | House-H |
| 18 | 13 | 15 | FREAK OUT |
| | | | Nutta Butta |
| | | | Interscope-J |
| 19 | 16 | 17 | THE BOY IS MINE |
| | | | The Lox feat./Mavinci |
| | | | Atlantic-C |
| 20 | 18 | 11 | BABY YOU ARE |
| | | | Uncle Sam |
| | | | Epic-H |
| 21 | 21 | 10 | IT'S ALL ABOUT ME |
| | | | Mya |
| | | | Interscope-J |
| 22 | 15 | 14 | SUMMERTIME '98 |
| | | | DJ Jazzy Jeff |
| | | | Columbia-H |
| 23 | 20 | 15 | STILL IN LOVE |
| | | | Brandy |
| | | | BMG-N |
| 24 | 23 | 16 | HE GOT GAME |
| | | | Public Enemy |
| | | | Def Jam-N |
| 25 | 22 | 13 | BOUNCIN' |
| | | | Lost Boyz |
| | | | Universal-J |
| 26 | 25 | 18 | GET AT ME DOG |
| | | | DMX feat. The Lox |
| | | | Def Jam-N |
| 27 | 26 | 20 | MY WAY |
| | | | Brandy |
| | | | LaFace-N |
| 28 | 27 | 18 | I GOT THE HOOK UP |
| | | | No Limit-P |
| 29 | 30 | 23 | ANYTIME |
| | | | Brian McKnight |
| | | | Epic |
| 30 | 29 | 21 | A ROSE IS STILL A ROSE |
| | | | Aretha Franklin |
| | | | Arista-N |
RPM
Adult Contemporary TRACKS
If you had only one wish...
the extraordinary collection of new songs from Deborah Cox!
Deborah Cox
One Wish
Featuring the single
"Nobody's Supposed To Be Here"
in stores this week
ARISTA
|
MORPHOLOGY OF PHYSIOLOGICALLY IDENTIFIED W-CELLS IN THE C LAMINAE OF THE CAT'S LATERAL GENICULATE NUCLEUS
L. R. STANFORD, MICHAEL J. FRIEDLANDER,2 AND S. MURRAY SHERMAN3
Department of Neurobiology and Behavior, State University of New York at Stony Brook, Long Island, New York 11794
Abstract
The projections from the retina through the lateral geniculate nucleus to the visual cortex in the cat are comprised of three parallel, independent pathways. These three pathways involve, respectively, W-, X-, and Y-cells in the retina and the lateral geniculate nucleus. In this study, we investigated the morphology of those neurons in the C laminae of the lateral geniculate nucleus that receive input from retinal W-cells. Micropipettes filled with horseradish peroxidase (HRP) were used to record the responses of single geniculate neurons identified as W-, X-, or Y-cells. Five W-cells in the C laminae then were stained intracellularly by impalement of the cell with the microelectrode followed by iontophoresis of HRP. Each of these neurons has a small to medium size soma and fine dendrites oriented roughly parallel to the plane of the geniculate laminar borders. These geniculate W-cells differ among themselves mainly in the detail of their dendritic processes. Three of these cells have virtually no dendritic appendages, while the other two have complex appendages not previously reported among neurons in the C laminae. Also, the degree of horizontal orientation of the dendrites differs considerably among these cells. Overall, the morphology of these W-cells is generally consistent with the class 4 cell briefly described by Guillery (Guillery, R. W. (1966) J. Comp. Neurol. 128: 21–50), and consequently, our data indicate that class 4 neurons are the morphological correlate of neurons physiologically classified as W-cells. Since greater morphological detail is presented by these HRP-filled cells than by previous Golgi-impregnated preparations, we can describe more completely the morphology of class 4 cells.
The aim of this study was to determine directly the morphology of individual W-cells in the C laminae of the cat's lateral geniculate nucleus. W-cells comprise one of three parallel, independent pathways from the retina through the lateral geniculate nucleus to the visual cortex (Cleland and Levick, 1974; Cleland et al., 1975; Wilson and Stone, 1975; Wilson et al., 1976; Leventhal, 1979; Geisert, 1980; Raczkowski and Rosenquist, 1980). The other two pathways are comprised of X- and Y-cells (Enroth-Cugell and Robson, 1966; Hoffmann et al., 1972). In addition to their projection to geniculate W-cells in the C laminae, retinal W-cells also project to the medial interlaminar nucleus (Dreher and Sefton, 1979), particularly to its rostral thalamic extension (Guillery et al., 1980), to the ventral division of the lateral geniculate nucleus (Spear et al., 1977), to the pretectal nucleus of the optic tract (Hoffmann and Schoppmann, 1975), and to the superior colliculus (Hoffmann, 1973).
We have been particularly interested in the question as to whether functional types of neurons possess characteristic morphological features. Recently, Friedlander et al. (1979, 1981) used intracellular injection of horseradish peroxidase (HRP) into physiologically identified neurons to show that geniculate X-cells possess morphological features distinct from those of Y-cells. Briefly, X-cells have small to medium size somata with dendrites contained within one lamina and a dendritic tree oriented perpendicular to the laminar borders. Y-cells have larger somata with translaminar dendrites and radially symmetric dendritic arbors. According to the morphological classification scheme of Guillery (1966), the X-cells generally occupy classes 2 and 3 and the Y-cells occupy classes 1 and 2 (Friedlander et al., 1981).
We have begun to use this intracellular HRP approach to study W-cells in the C laminae of the lateral geniculate nucleus. Guillery (1966) has described a population of C laminae neurons, termed class 4, that have medium size somata and a dendritic tree oriented parallel to the geniculate laminar borders. The data from the present experiments have enabled us to describe the morphology of cells in the cat lateral geniculate nucleus that are physiologically classified as W-cells and, further, to suggest a correlation between physiological W-cells and the
class 4 morphology. A preliminary report of these results was presented recently (Stanford et al., 1980).
**Materials and Methods**
The methods used in these experiments have been described previously, and therefore, only a brief description will be given here. Further details of the physiological preparation, visual stimulation, electrophysiological recording techniques, and histological procedures can be found elsewhere (Friedlander et al., 1979, 1981). Adult cats (2 to 4 kg) were used for all experiments. All surgical procedures were performed under halothane anesthesia. For the recording session, the halothane was discontinued and the animals were maintained on a mixture of 70% N₂O and 30% O₂ with a continuous infusion of Flaxedil (gallamine triethiodide) at 3.6 mg/hr and d-tubocurarine at 0.7 mg/hr in a 5% lactated Ringer's solution.
Bipolar stimulating electrodes were positioned across the optic chiasm to activate the retinal input to geniculate neurons. Also, an array of four electrodes was placed stereotaxically into the optic radiation below the visual cortex to provide antidromic and/or trans-synaptic stimulation of geniculate neurons. Antidromic activation was verified by the spike collision test. Visual stimuli consisted of both hand-held targets flashed or moved against a frontal tangent screen as well as counterphased, sine wave gratings generated on a cathode ray tube. The gratings could be varied continuously in counterphase rate, spatial frequency, spatial phase, and contrast (from 0 to 0.6).
Single unit recordings were obtained from the lateral geniculate nucleus with micropipettes filled with 4 to 6% HRP (Sigma type VI) in a 0.2 M KCl, 0.05 M Tris (tris(hydroxymethyl)aminomethane) buffer solution. The micropipettes were beveled to a final impedance of 80 to 100 megohms at 100 Hz. The neurons encountered in the lateral geniculate nucleus were classified extracellularly on the basis of a battery of tests including: latency of orthodromic response from optic chiasm stimulation, size and responsiveness of receptive field, strength of inhibitory surround (if present), and linearity of spatial summation from responses to the counterphased sine wave gratings (Enroth-Cugell and Robson, 1966; Hochstein and Shapley, 1976; Lehmkuhle et al., 1980). After classification of the neuron, the electrode was advanced in small steps and brief depolarizing current pulses were used to impale the cell. The responses of the neuron were tested again to ensure that the impaled cell was the cell previously classified extracellularly, and the cell was then
*Figure 1.* Microscope tracing of a W-cell. The scale is 50 μm and applies only to the somatic and dendritic tracings. For reference, the scale is oriented parallel to the laminar borders in the lateral geniculate nucleus. The *inset* shows the location of the soma of this cell, indicated by the *star*, near the ventral border of the C laminae. MIN refers to the medial interlaminar nucleus.
A
B
C
Responses too poor or sluggish to evaluate are indicated by asterisks.
| Cell Illustration | Optic Chiasm Latency | Receptive Field Center size | Receptive Field Eccentricity | Ocular Dominance (Eye) | Center Type | Phasic or Tonic | Linear or Nonlinear |
|-------------------|----------------------|-----------------------------|------------------------------|------------------------|-------------|-----------------|---------------------|
| Figure 1 | 4.5 | 1.5° | 3.5° | Contralateral | On | Phasic | Linear |
| Figure 3A | 2.5 | 1.0° | 4.5° | Contralateral | On | Phasic | * |
| Figure 3B | 5.0 | * | 2.0° | * | * | * | * |
| Figure 3C | 5.5 | * | 1.0° | Ipsilateral | On | Phasic | * |
| Figure 3D | 4.0 | 0.5° | 3.0° | Contralateral | On | Tonic | Linear |
Figure 2. Photomicrographs of the W-cell drawn in Figure 1. A, Lower power view of the W-cell. The dashed rectangles outline higher power views in B and C. The scale is 50 μm and is oriented parallel to the laminae. B, Higher power view of region indicated by right rectangle in A. The scale is 10 μm and also applies to C. C, Higher power view of region indicated by left rectangle in A. Note the collection of bulbous structures appended at a dendritic branch point (arrow).
---
**Figure 2.** Photomicrographs of the W-cell drawn in Figure 1. A, Lower power view of the W-cell. The dashed rectangles outline higher power views in B and C. The scale is 50 μm and is oriented parallel to the laminae. B, Higher power view of region indicated by right rectangle in A. The scale is 10 μm and also applies to C. C, Higher power view of region indicated by left rectangle in A. Note the collection of bulbous structures appended at a dendritic branch point (arrow).
extrapolated from field positions of nearby neurons; see "Materials and Methods"), ocular dominance, center type (on or off), tonic or phasic responsiveness, and linearity of spatial summation. An asterisk indicates that the cell's responsiveness was too poor or sluggish to evaluate the feature in question. Only one W-cell in Table I had a latency to optic chiasm stimulation (2.5 msec) sufficiently short to overlap with the most slowly conducting retinal X-cell axons. However, this W-cell failed to respond to the grating stimuli, and every X-cell tested clearly responded to such stimuli. The only W-cell in Table I that could be driven from cortex antidromically.
Figure 3. Microscope tracings of the other four W-cells not shown in Figures 1 and 2. The scale below D applies to all of the cells, is 50 μm, and is oriented parallel to the laminae. A to C, Cells with virtually no dendritic appendages; D, cell with numerous appendages clustered near dendritic branch points (e.g., arrows).
was the cell illustrated in Figure 3D, and it had a latency to such stimulation of 3.5 msec. Naturally, we studied many more W-cells electrophysiologically than the five indicated in Table I, since these represent only the small subgroup for which anatomical data are available. Among these W-cells not illustrated are off-center cells, cells with "on-off" responses, and cells with nonlinear spatial summation.
Figure 1 is a microscope tracing of a W-cell and Figure 2 includes photomicrographs of the same neuron. The soma of this W-cell is just dorsal to the border of the lateral geniculate nucleus with the optic tract and has a cross-sectional area of 262 \( \mu m^2 \) (Figs. 1 and 2A). It is conspicuously flattened in a plane parallel to the geniculate laminae. The rich dendritic arbor of this neuron was reconstructed from five 100-\( \mu m \) serial sections. Note that the dendrites are oriented parallel to the laminae, and indeed, the dendritic arbor of this W-cell is the most oriented of the five W-cells. This horizontal dendritic orientation is one primary characteristic of the class 4 neurons described by Guillery (1966). Figure 2, B and C, shows the dendrites of this cell in more detail. Although few appendages can be seen, they tend to be concentrated near dendritic branch points in a manner reminiscent of the class 2 cells described by Guillery (1966) for the A laminae. An example is shown in Figure 2C.
The axon of this W-cell is extremely thin (<1 \( \mu m \) in diameter). Along its course through the perigeniculate nucleus (immediately dorsal to the lateral geniculate nucleus), this axon contributes very fine collateral branches (<0.5 \( \mu m \) in diameter) ending in terminal swellings. No collaterals from this axon were seen within the lateral geniculate nucleus. We found no collateral branches from axons of the other four W-cells.
All of the five W-cells of this study possess medium size somata (mean, 210 \( \mu m^2 \); range, 165 to 262 \( \mu m^2 \)) and dendritic arbors oriented more or less parallel to the lamination. These characteristics are consistent with their classification as class 4 neurons. The five W-cells differ from each other primarily in the details of their dendritic morphology, such as the relative thickness and the number of dendrites, the number and appearance of the dendritic appendages, and the degree of orientation of the dendritic arbor.
Three of the W-cells (Fig. 3, A to C) possess virtually no dendritic appendages. The cell shown in Figure 3D has relatively few dendrites, but appendages are seen at many of the dendritic branch points (arrows). Thus, two of these W-cells have this morphological feature in common with class 2 cells (see also Fig. 2C).
Figure 4 illustrates the variability in the degree of dendritic orientation by means of a Sholl ring analysis described in detail by Friedlander et al. (1981). Briefly, a series of five concentric circles spaced 50 \( \mu m \) apart was drawn onto the tracing of each cell and centered upon the soma. These circles were divided into horizontal and vertical quadrants relative to the laminar borders, and the number of intersections made between the dendrites and rings was counted for each quadrant. Figure 4 shows this analysis along with a line with a slope of 1 to indicate the locus of points expected for radially symmetric dendritic arbors. Each of the W-cells falls below this line, suggesting horizontally oriented dendrites. However, the degree of this orientation varies considerably from cell to cell.
**Discussion**
Guillery (1966) described a population of neurons in the C laminae of the cat's lateral geniculate nucleus that have medium sized somata and dendritic arbors oriented parallel to the laminar borders. This represents the morphological class 4 cell. Electrophysiological recordings in the C laminae have demonstrated that many of the neurons in these laminae belong to a physiological class that receives input from retinal ganglion cells with slowly conducting axons. These geniculate neurons have been termed W-cells (Wilson and Stone, 1975; Cleland et al., 1975; Wilson et al., 1976). The data presented here for the lateral geniculate nucleus indicate that the physiologically identified W-cells are, morphologically, class 4 neurons.
If W-cells are to be associated with class 4 morphology, then the morphological description of this class should be broadened to include the variation described here, including the appearance in some cells of dendritic appendages at branch points. This feature should not be considered a characteristic unique to class 2 cells. Furthermore, we now can associate this morphological feature with some examples of each of the physiological classes, since some X- and Y-cells also possess such appendages at branch points (Friedlander et al., 1981). Thus, there is no reason to believe that such appendages at dendritic branch points are unique to either a morphological class (class 1, 2, 3, or 4) or a physiological class (W-, X-, or Y-cell) of geniculate neurons.
An important qualification to the above conclusion must be emphasized. We have more or less defined class 4 morphology as isomorphic with W-cell physiology. While this is not inconsistent with Guillery's (1966) brief description of class 4 features, our definition includes
structural details, such as dendritic appendages, and variability not described before. Our restatement of class 4 morphology is thus somewhat arbitrary. One could argue from Guillery's (1966) classification scheme that these C laminae neurons with dendritic appendages at branch points are morphologically class 2, and thus, class 2 neurons include some W-cells in the C laminae as well as some X- and Y-cells in the A laminae (Friedlander et al., 1981). However, we are less concerned with the determination of how these cells distribute among previously defined morphological classes than with a description of the distinctive morphological features of W-, X-, and Y-cells. We conclude that each of these physiological classes possess morphological features quite distinct from the others, regardless of its position among Guillery's (1966) morphological scheme.
The conclusion that W-cells are class 4 is perhaps not surprising since previous reports have established the concentration of these physiological (Wilson et al., 1976) and morphological (Guillery, 1966) classes in the C laminae. Nonetheless, the prior description (Guillery, 1966) of these cells was quite limited due to the difficulty of impregnating neurons in the C laminae by various Golgi methods. We thus can offer a considerably more detailed morphological description of somatic and dendritic features as well as axonal distributions for these cells. Also, given the capriciousness and difficulty of the Golgi method, it seemed quite possible that previously undiscovered morphological types exist in the C laminae and that many, most, or all W-cells exhibit such morphology. However, we found no evidence for previously unrecognized morphological classes of cells in the C laminae. Our direct relationship of W-cell physiology with class 4 morphology, if unsurprising, is nonetheless useful.
W-cells in the lateral geniculate nucleus, like their retinal counterparts, are a diverse physiological group in terms of their responses to visual stimulation. However, although all of the geniculate W-cells recovered thus far are consistent in some morphological features (soma size and general orientation of dendritic arbors), cells in this physiological class may differ widely in the detail of certain dendritic morphological characteristics. An interesting question raised by these data concerns the possible correlations among some of the morphological and physiological variations. Finally, the precise relationship between W-cell dendrites and the specific C laminae is unclear from our current data, since we have not used special techniques, such as autoradiographic demonstration of these laminae (Hendrickson, 1969; Cowan et al., 1972), to determine such relationships. Experiments are underway to explore some of these questions regarding the structure/function relationships of W-cells.
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Multipatch Unbiased Distance Non-Local Adaptive Means With Wavelet Shrinkage
Xiaoyao Li, Yicong Zhou\textsuperscript{✉}, Senior Member, IEEE, Jing Zhang, and Lianhong Wang
Abstract—Many existing non-local means (NLM) methods either use Euclidean distance to measure the similarity between patches, or compute weight $\omega_{ij}$ only once and keep it unchanged during the subsequent denoising iterations, or use only the structure information of the denoised image to update weight $\omega_{ij}$. These may lead to the limited denoising performance. To address these issues, the paper proposes the multi-local adaptive means (NLAM) for image denoising. NLM uses weights as an optimization variable and iteratively updates its value. We then introduce three unbiased distances, namely, pixel-pixel, patch-patch, and coupled unbiased distances. These unbiased distances are more robust to measure the image pixel/patch similarity than Euclidean distance. Using the coupled unbiased distance, we propose the unbiased distance non-local adaptive means (UD-NLAM). Because UD-NLAM uses only a single patch size to compute weight $\omega_{ij}$, we introduce multipatch UD-NLAM (MUD-NLAM) to adapt different noise levels. To further improve denoising performance, we also propose a new denoising method called MUD-NLAM with wavelet shrinkage (MUD-NLAM-WS). Experimental results show that the proposed NLAM, UD-NLAM, and MUD-NLAM outperform existing NLM methods, and MUD-NLAM-WS achieves a better performance than the state-of-the-art denoising methods.
Index Terms—image denoising, non-local means, non-local adaptive means, unbiased distance, multipatch unbiased distance non-local adaptive means, wavelet shrinkage.
I. INTRODUCTION
When we acquire or transmit an image, different types of noise are inevitably introduced. Many applications of computer vision, such as image recognition and segmentation, require image denoising as a pre-process. The goal of image denoising is to remove the noise from the original image effectively while preserving the fine details, structures and edges of the original image as much as possible. Thus, image denoising plays an important role in computer vision.
In recent years, various methods were proposed to remove Gaussian noise. Yaroslavsky proposed a denoising filter [1] that considers a given neighborhood of each pixel and takes the average values of pixels which are similar in intensity. Based on the work in [1], Smith and Brandy presented the SUSAN filter [2] that computes the weights according to the spatial distance between the center pixel and the others. Using the similar idea, Sigma filter [3] and bilateral filter [4], [5] were proposed for image denoising. Dual domain image denoising (DDID) method [6], [7] alternatively uses the bilateral filter in spatial domain and wavelet shrinkage in frequency domain to obtain the optimal denoised results. Derived from DDID, progressive image denoising [8] utilizes deterministic annealing to remove the noise progressively. In addition, the Gaussian scale mixture algorithm [9] and its orientation-adapted version [10] were also proposed to remove the Gaussian noise. However, these pixel-based or local denoising methods consider only local structure information and their denoising performance is often limited.
Unlike these pixel-based or local denoising methods, the non-local means (NLM) [11], [12] introduced in 2005 takes an image patch as a processing unit, and estimates the denoised result within a non-local search area by computing the similarity between patches. Thereafter the patch-based non-local idea was widely utilized in many denoising methods. UINTA [13]–[15] is an unsupervised and adaptive filtering method that iteratively estimates the patch value by decreasing the joint entropy between the target patch and its neighbourhoods. Block-matching and 3D filtering (BM3D) [16], [17] applies collaborative filtering to the grouped similar patches to obtain an enhanced sparse representation in transform domain and to preserve the essential features of images. In 2013, Non-local Bayes (NL-Bayes) [18], [19] was proposed to calculate the denoised image patches by matrix inversion. In 2015, a novel patch-based multiscale products algorithm [20] was proposed. It also uses the patch similarity in spatial domain and multiscale products in frequency domain to obtain two initial denoised images.
Given a noisy image $Y = X + N$, where $X$ is the clean image and $N$ is the Gaussian noise model, the principle of NLM is to take each image patch as a unit and calculate the weighted means of all neighbouring patches in a given search window. NLM is defined by
$$\hat{X}_i = \frac{\sum_{j \in S_i} \omega_{ij} Y_j}{\sum_{j \in S_i} \omega_{ij}},$$
(1)
Manuscript received January 1, 2019; revised April 11, 2019 and July 1, 2019; accepted July 2, 2019. Date of publication July 19, 2019; date of current version September 12, 2019. This work was supported in part by the Science and Technology Development Fund, Macau SAR (File no. 002/2017/A3), and in part by the Research Committee of the University of Macau under Grant MYRG2016-001-FST and Grant MYRG2018-00116-FST. The associate editor coordinating the review of this manuscript and approving it for publication was Prof. Tolga Tasdizen. (Corresponding author: Yicong Zhou.)
X. Li is with the College of Electrical and Information Engineering, Hainan University, Changsha 410082, China, and also with the Department of Computer and Information Science, University of Macau, Macau 999078, China (e-mail: firstname.lastname@example.org).
Y. Zhou is with the Department of Computer and Information Science, University of Macau, Macau 999078, China (e-mail: email@example.com).
J. Zhang and L. Wang are with the College of Electrical and Information Engineering, Hainan University, Changsha 410082, China (e-mail: firstname.lastname@example.org; email@example.com).
Digital Object Identifier 10.1109/TIP.2019.2928644
| Notation | Description | Notation | Description |
|----------|-------------|----------|-------------|
| $X$ | Clean image | $F_x(f)$, $D_x(f)$ | Short-time Fourier transform (STFT) coefficients of $i$ at $f$ |
| $Y$ | Noisy image | $H_i(f)$ | Shrinkage factor of pixel $i$ at $f$ |
| $N$ | Noise model | $S_i$, $S_j$ | Search windows centered at $i$, $j$ |
| $G$ | Guide image | $S^*$ | The intersection of $S_i$ and $S_j$ |
| $\hat{X}$ | Denoised image | $s$ | Radius of search window |
| $Y$, $G$ | Blurred layer of $Y$ or $G$ | $|P|$ | Size of patch window $P$ |
| $X(i)$, $Y(i)$, $G(i)$, $\hat{X}(i)$, $\hat{Y}(i)$, $\hat{G}(i)$ | Pixel values of $i$ in corresponding images | $p_1, p_2, \ldots, p_N$ | Radii of patches |
| $X_i$, $Y_i$, $G_i$, $\hat{X}_i$, $\hat{Y}_i$, $\hat{G}_i$ | Image patches centered at $i$ of corresponding images | $f_i$ | Frequency window of $i$ |
| $\bar{x}_i$ | The average pixel value of $X_i$ | $\sigma^2$ | Noise variance |
| $Y_{i,k}$, $G_{i,k}$, $\hat{X}_{i,k}$ | Image patches with center $i$ and radius $p_k$ | $\eta^2_i$ | The variance of STFT coefficients |
| $\omega_{ij}$ | Weight between $X_i$ (or $Y_i$) and $X_j$ (or $Y_j$) | $\varepsilon$ | Trade-off parameter |
| $\omega_{ij,k}$ | Weight between $X_{i,k}$ (or $Y_{i,k}$) and $X_{j,k}$ (or $Y_{j,k})$ | $\gamma$ | Shrinkage parameter |
| $K_{ij}$ | Weight between $G_i$ and $G_j$ | $h$ | Trade-off parameter/Smoothing parameter |
| $K_{ij,k}$ | Weight between $G_{i,k}$ and $G_{j,k}$ | $h_s$ | Spatial parameter |
| $\mu_{X_i}, \mu_{\hat{X}_i}$ | The average of $X_i$ or $\hat{X}_i$ | $t$ | Iteration time |
| $\sigma^2_{X_i}, \sigma^2_{\hat{X}_i}$ | The variance of $X_i$ or $\hat{X}_i$ | $\lambda_k$ | Weight for patch size $p_k$ |
| $\sigma^2_{X_i \hat{X}_i}$ | The covariance of $X_i$ and $\hat{X}_i$ | $D_C$ | Coupled unbiased distance |
| $D_U$ | Unbiased distance | $W$ | Normalization factor |
where $\hat{X}_i$ is the denoised image patch centered at pixel $i$, and $\hat{Y}_j$ is the noisy image patch centered at $j$. $S_i$ denotes the search window with center pixel $i$. The weight $\omega_{ij}$ between two patches $\hat{Y}_i$ and $\hat{Y}_j$ is defined as
$$\omega_{ij} = \exp(-\frac{||\hat{Y}_i - \hat{Y}_j||^2}{h})$$ \hspace{1cm} (2)
where $|| \cdot ||$ denotes the $\ell_2$ norm and $h$ is the smoothing parameter.
Based on the framework of NLM, many improved versions were proposed successively, such as non-local Euclidean medians (NLEM) [21], improved NLEM (INLEM) [22], non-local patch regression (NLPR) [23], probabilistic NLM (PNLM) [24]. NLM with local James-Stein type center pixel weights (LJS-NLM) [25] and affine NLM [26]. As seen from the optimization models of NLEM, INLEM and NLPR in Table II, they differ from weight $\omega_{ij}$ or $||X_i - Y_j||$. PNLM computes the probabilistic weight which reflects the distribution of the image patch distances. LJS-NLM obtains the center pixel weight by constructing the James-Stein shrinkage estimator. Affine NLM calculates the weight as the affine invariant patch similarity. These methods also aim at obtaining the average image patch in a search window, while their difference is how to calculate weight $\omega_{ij}$. However, in order to avoid a heavy computation burden, many NLM-based methods keep weight $\omega_{ij}$ unchanged. It means that these methods compute $\omega_{ij}$ only once and keep it fixed in subsequent denoising iterations. This may lead to a bad denoising performance because the similarity between two image patches changes in each denoising iteration. Other NLM-based methods utilize only the structure information of the denoised image in each iteration. This often leads to detail loss and even over-smoothing in the denoised images.
To preserve more effective information of the original image in the iterative denoising processes, we propose four NLM-based algorithms in this paper. Our main contributions are listed below:
1. We propose the non-local adaptive means (NLAM). NLAM treats weight $\omega_{ij}$ as an optimization variable that is adaptive to the image content change, and then updates its value in each denoising iteration.
2. To better evaluate patch/patch similarity, we introduce three unbiased distances, namely the pixel-pixel unbiased distance, patch-patch unbiased distance and coupled unbiased distance. These unbiased distances take advantage of the structure information of both the noisy image and the denoised image in each iteration. Compared with Euclidean distance, they are more robust to measure the similarity between two image pixels/patches.
3. Using the coupled unbiased distance, we propose the unbiased distance non-local adaptive means (UD-NLAM). It takes advantages of NLAM and robustness of the coupled unbiased distance.
4. Extending UD-NLAM from single patch to multipatch, we further introduce multipatch UD-NLAM (MUD-NLAM) that uses multipatch coupled unbiased distance to measure the similarity between two image patches. MUD-NLAM is able to automatically adjust the importance of denoising effect of each patch size according to different noise levels.
5. Including wavelet shrinkage, we propose the MUD-NLAM with wavelet shrinkage (MUD-NLAM-WS) that not only takes advantages of MUD-NLAM but also applies the wavelet shrinkage for preserving image details while minimizing artifacts near the edges.
6. We also provide extensive experiments to evaluate our proposed methods. The experiment results demonstrate that the proposed NLAM, UD-NLAM and MUD-NLAM show superior denoising performance over existing NLM-based
TABLE II
Optimization Models
| Method | Optimization Model |
|-----------------|-------------------------------------------------------------------------------------|
| Mean Filter | $\hat{\mathbf{X}}(i) = \arg\min_{\mathbf{X}(i)} \sum_{j \in S_i} (\mathbf{X}(i) - \mathbf{Y}(j))^2$ |
| Gaussian Filter | $\hat{\mathbf{X}}(i) = \arg\min_{\mathbf{X}(i)} \sum_{j \in S_i} \omega_{ij} (\mathbf{X}(i) - \mathbf{Y}(j))^2$ |
| NLM [22] | $\hat{\mathbf{X}}_i = \arg\min_{\mathbf{X}_i} \sum_{j \in S_i} \omega_{ij} ||\mathbf{X}_i - \mathbf{Y}_j||^2$ |
| NLEM [21] | $\hat{\mathbf{X}}_i = \arg\min_{\mathbf{X}_i} \sum_{j \in S_i} \omega_{ij} ||\mathbf{X}_i - \mathbf{Y}_j||$ |
| INLEM [22] | $\hat{\mathbf{X}}_i = \arg\min_{\mathbf{X}_i} \sum_{j \in S_i} \sqrt{\omega_{ij}} ||\mathbf{X}_i - \mathbf{Y}_j||$ |
| NLPR [23] | $\hat{\mathbf{X}}_i = \arg\min_{\mathbf{X}_i} \sum_{j \in S_i} \omega_{ij} ||\mathbf{X}_i - \mathbf{Y}_j||^\rho$ |
| PNLM [24] | $\hat{\mathbf{X}}_i = \arg\min_{\mathbf{X}_i} \sum_{j \in S_i} f_{ij} ||\mathbf{X}_i - \mathbf{Y}_j||^2$ |
methods, and MUD-NLAM-WS shows the competitive denoising performance with BM3D and outperforms other algorithms in terms of quantitative evaluations and visual comparisons.
Our initial works were published in conference papers [27] and [28]. Compared with the conference papers, we propose two new denoising methods, i.e. MUD-NLAM and MUD-NLAM-WS, and perform comprehensive experiments for algorithm validation.
This paper is organized as follows. Section II will briefly review the optimization models of several filters and NLM-based methods. Section III will introduce NLAM. Section IV will define three unbiased distances and then present the proposed UD-NLAM. Section V will propose MUD-NLAM. Section VI will describe the new denoising method MUD-NLAM-WS in detail. Section VII will show the experiment results in both quantitative evaluations and visual effects. Finally, Section VIII will summarize the paper.
For easy reading, Table I summarizes the main notations used in this paper.
II. Optimization Models
Due to the fact that NLM was proposed to find the optimal center patch in a search window, we can convert it into an optimization problem. The optimization models of five NLM-based methods are listed in Table II. They are traditional NLM, NLEM, INLEM, NLPR and PNLM. In addition, we also include two filters in Table II. They are the mean filter and Gaussian filter. In Table II, $\mathbf{X}(i)$, $\hat{\mathbf{X}}(i)$, $\mathbf{Y}(j)$ denote the values of pixel $i/j$ in the denoised image $\hat{\mathbf{X}}$, clean image $\mathbf{X}$ and noisy image $\mathbf{Y}$, respectively. $\hat{\mathbf{X}}_i$, $\mathbf{X}_i$, $\hat{\mathbf{Y}}_j$ are patches centered at the pixel $i/j$ in $\hat{\mathbf{X}}$, $\mathbf{X}$ and $\mathbf{Y}$, respectively.
Mean filter aims at calculating the average value of all pixels within a given window and set it to the target pixel value. Gaussian filter can be considered as a weighted mean filter and it calculates the average in a Gaussian weighted window. NLM [11] uses an image patch as a processing unit and calculates the weighted patch in a search window. By changing the distance term $||\mathbf{X}_i - \mathbf{Y}_j||^2$ into $||\mathbf{X}_i - \mathbf{Y}_j||$, NLEM [21] obtains better denoising effect than traditional NLM. Based on NLEM, INLEM [22] further modifies weight $\omega_{ij}$ into $\sqrt{\omega_{ij}}$. NLPR [23] keeps the same weight style as NLM while replacing the $\ell^2$ norm in NLM with $\ell^\rho$ norm. PNLM [24] uses the distribution of patch differences to calculate the probabilistic weight $f_{ij}$.
However, these denoising methods calculate weight $\omega_{ij}$ only once and keep it unchanged in the subsequent denoising iterations. This results in less computation cost but worse denoising performance because the similarity between two patches changes during iterative denoising processes.
III. NLAM
In Table II, the denoising methods update only $\hat{\mathbf{X}}(i)$ or $\hat{\mathbf{X}}_i$ and keep weight $\omega_{ij}$ fixed in each denoising iteration. This is improper because the similarity between two image patches will change in each denoising result. To solve this problem, we propose the non-local adaptive means (NLAM), which makes weight $\omega_{ij}$ to be iteratively adaptive to image content change. NLAM treats weight $\omega_{ij}$ as an optimization variable and calculates its value in each denoising iteration. Thus, in terms of the non-local functional in [29], [30], the optimization model of NLAM can be defined as
$$\{\hat{\mathbf{X}}_i, \omega_{ij}\} = \arg\min_{\mathbf{X}_i, \omega_{ij}} \sum_{j \in S_i} \omega_{ij} ||\mathbf{X}_i - \mathbf{Y}_j||^2 + h \sum_{j \in S_i} \omega_{ij} \log \omega_{ij}$$
$$s.t. \ \omega_{ij} \geq 0, \quad \sum_{j \in S_i} \omega_{ij} = 1.$$
(3)
where $\sum_{j \in S_i} \omega_{ij} ||\mathbf{X}_i - \mathbf{Y}_j||^2$ and $\sum_{j \in S_i} \omega_{ij} \log \omega_{ij}$ are data and regularization terms, respectively. $h > 0$ is a trade-off parameter.
To solve the optimization model in Eq. (3), we first fix $\hat{\mathbf{X}}_i$ and solve $\omega_{ij}$ by setting the derivative with respect to $\omega_{ij}$ to zero, and then fix $\omega_{ij}$ to calculate $\hat{\mathbf{X}}_i$. Given the initial settings of $\hat{\mathbf{X}}^{(0)} = \mathbf{Y}$ and $t = 0$, after $t+1$ denoising iterations, we alternatively calculate $\omega_{ij}$ and $\hat{\mathbf{X}}_i$ as
$$W_i^{(t)} = \sum_{j \in S_i} \exp\left(-\frac{||\hat{\mathbf{X}}_i^{(t)} - \mathbf{Y}_j||^2}{h}\right),$$
$$\omega_{ij}^{(t+1)} = \frac{1}{W_i^{(t)}} \cdot \exp\left(-\frac{||\hat{\mathbf{X}}_i^{(t)} - \mathbf{Y}_j||^2}{h}\right),$$
$$\hat{\mathbf{X}}_i^{(t+1)} = \frac{\sum_{j \in S_i} \omega_{ij}^{(t+1)} \mathbf{Y}_j}{\sum_{j \in S_i} \omega_{ij}^{(t+1)}},$$
(4)
(5)
(6)
where $W_i^{(t)}$ denotes the normalization factor. The iterative denoising processes of NLAM are shown in Algorithm 1.
IV. UD-NLAM
This section introduces three distances to measure the similarity between pixels or patches, namely pixel-pixel unbiased distance, patch-patch unbiased distance and coupled unbiased distance. Using the coupled unbiased distance, the unbiased distance non-local adaptive means (UD-NLAM) is then proposed.
Algorithm 1 NLAM
**Input:** Noisy image $Y$; Radius of patch $p$, radius of search window $s$ and smoothing parameter $h$;
**Output:** Denoised image $\hat{X}$;
1: Initialize $\hat{X}^{(0)} = Y$ and $t = 0$;
2: **while** $\|X^{(t+1)} - X^{(t)}\|_2 > \tau$ **do**
3: **for** each pixel located at $i$ **do**
4: Extract a patch $\hat{X}_i^{(t)}$ with center $i$;
5: Calculate $\omega_{ij}^{(t+1)} (j \in S_i)$ by Eq. (5);
6: Calculate $\hat{X}_i^{(t+1)}$ by Eq. (6);
7: **end for**
8: $t = t + 1$;
9: **end while**
10: **return** $\hat{X}$
A. Unbiased Distances
1) Pixel-Pixel Unbiased Distance: Given two noisy pixels $Y(i)$ and $Y(j)$ centered at $i$ and $j$ of noisy image $Y$, and their corresponding clean pixels $X(i)$ and $X(j)$ from clean image $X$, the relationship between $(Y(i) - Y(j))^2$ and $(X(i) - X(j))^2$ can be described as the following equation [11], [12], [31],
$$E\left[(Y(i) - Y(j))^2\right] = (X(i) - X(j))^2 + 2\sigma^2.$$
(7)
where $E[\cdot]$ is expectation calculator and $\sigma^2$ is the noise variance.
Inspired by Eq. (7), the squared pixel-pixel unbiased distance between $Y(i)$ and $Y(j)$ is defined as
$$D_U^2(Y(i), Y(j)) = (Y(i) - Y(j))^2 - 2\sigma^2.$$
(8)
This equation shows that the unbiased distance conveys more similarity information between two pixels than Euclidean distance by removing the bias caused by noise.
Similarly, if we have $\hat{X}(i) = \sum_{l \in S_i} \omega_{il} Y(l)$, $\sum_{l \in S_i} \omega_{il} = 1$ and $j \in S_i$, we can define the squared unbiased distance between the denoised image pixel $\hat{X}(i)$ and the noisy image pixel $Y(j)$ as
$$D_U^2(\hat{X}(i), Y(j)) = (\hat{X}(i) - Y(j))^2 - \left(\sum_{l \in S_i} \omega_{il}^2 - 2\omega_{ij} + 1\right)\sigma^2.$$
(9)
More generally, the squared unbiased distance between $\hat{X}(i)$ and $\hat{X}(j)$ is
$$D_U^2(\hat{X}(i), \hat{X}(j)) = (\hat{X}(i) - \hat{X}(j))^2 - \left(\sum_{l \in S_i} w_{il}^2 + \sum_{q \in S_j} w_{jq}^2 - 2\sum_{n \in S^*} w_{in}w_{jn}\right)\sigma^2,$$
(10)
where $\hat{X}(i) = \sum_{l \in S_i} \omega_{il} Y(l)$, $\hat{X}(j) = \sum_{q \in S_j} \omega_{iq} Y(q)$ and $S^* = S_i \cap S_j$.
2) Patch-Patch Unbiased Distance: Given two noisy image patches $Y_i$ and $Y_j$, we add up all the squared pixel-pixel unbiased distances within the patch window $P$ to calculate the squared patch-patch unbiased distance as
$$D_U^2(Y_i, Y_j) = \sum_{p \in P} D_U^2(Y_i(p), Y_j(p))$$
$$= ||Y_i - Y_j||^2 - 2||P||\sigma^2,$$
(11)
where $||P||$ denotes the number of pixels within the patch window $P$. $Y_i(p)$ and $Y_j(p)$ are the values of the $p$th pixels in $Y_i$ and $Y_j$, respectively.
Similarly, we can calculate the squared unbiased distance between the denoised image patch $\hat{X}_i$ and the noisy patch $Y_j$ as
$$D_U^2(\hat{X}_i, Y_j) = \sum_{p \in P} D_U^2(\hat{X}_i(p), Y_j(p))$$
$$= ||\hat{X}_i - Y_j||^2 - ||P||\left(\sum_{l \in S_i} \omega_{il}^2 - 2\omega_{ij} + 1\right)\sigma^2,$$
(12)
and the squared unbiased distance between two denoised image patches $\hat{X}_i$ and $\hat{X}_j$ as
$$D_U^2(\hat{X}_i, \hat{X}_j) = \sum_{p \in P} D_U^2(\hat{X}_i(p), \hat{X}_j(p))$$
$$= ||\hat{X}_i - \hat{X}_j||^2 - ||P||\left(\sum_{l \in S_i} w_{il}^2 + \sum_{q \in S_j} w_{jq}^2 - 2\sum_{n \in S^*} w_{in}w_{jn}\right)\sigma^2,$$
(13)
where $\hat{X}_i = \sum_{l \in S_i} \omega_{il} Y_l$, $\hat{X}_j = \sum_{q \in S_j} \omega_{iq} Y_q$ and $S^* = S_i \cap S_j$.
3) Coupled Unbiased Distance: Using the patch-patch unbiased distance, we can define the squared coupled unbiased distance between $\hat{X}_i$ (or $Y_i$) and $\hat{X}_j$ (or $Y_j$) as
$$D_C^2(\hat{X}_i, \hat{X}_j) = \varepsilon \cdot \max\left[0, D_U^2(\hat{X}_i, \hat{X}_j)\right] + (1 - \varepsilon) \cdot (\hat{x}_i - \hat{x}_j)^2,$$
(14)
where $\varepsilon$ is the trade-off parameter and $0 \leq \varepsilon \leq 1$. $\hat{x}_i$ and $\hat{x}_j$ are average pixel values of $\hat{X}_i$ and $\hat{X}_j$.
Since $D_U^2(\hat{X}_i, \hat{X}_j)$ may be negative, we apply max $\left[0, D_U^2(\hat{X}_i, \hat{X}_j)\right]$ in Eq. (14) to guarantee that the patch-patch unbiased distance is not less than zero. Compared with Euclidean distance, the coupled unbiased distance contains more structure information because it calculates not only patch-patch distance (i.e. max $\left[0, D_U^2(\hat{X}_i, \hat{X}_j)\right]$) but also pixel-pixel distance (i.e. $(\hat{x}_i - \hat{x}_j)^2$). In addition, the coupled unbiased distance releases the similarity requirement such that we can find more similar neighboring patches $\hat{X}_j$ satisfying $D_C^2(\hat{X}_i, \hat{X}_j) = 0$ than that satisfying $||\hat{X}_i - \hat{X}_j||^2 = 0$.
B. UD-NLAM
Using the coupled unbiased distances, this subsection introduces the unbiased distance non-local adaptive means
Algorithm 2 UD-NLAM
**Input:** Noisy image $Y$; Radius of patch $p$, radius of search window $s$ and parameters $\sigma^2$, $h$, $h_s$, $\varepsilon$;
**Output:** Denoised image $\hat{X}$;
1: Initialize $\hat{X}^{(0)} = Y$ and $t = 0$;
2: **while** $\| \hat{X}^{(t+1)} - \hat{X}^{(t)} \|_2 > \tau$ **do**
3: **for** each pixel located at $i$ **do**
4: Extract a patch $\hat{X}_i^{(t)}$ with center $i$;
5: Calculate $\omega_{ij}^{(t+1)}$ ($j \in S_i$) by Eq. (17);
6: Calculate $\hat{X}_i^{(t+1)}$ by Eq. (18);
7: **end for**
8: $t = t + 1$;
9: **end while**
10: **return** $\hat{X}$
(UD-NLAM). Its optimization model is given as
$$\{\hat{X}_i, \omega_{ij}\} = \arg \min_{\hat{X}_i, \omega_{ij}} \sum_{j \in S_i} \omega_{ij} D_c^2(\hat{X}_i, Y_j)$$
$$+ h \sum_{j \in S_i} \omega_{ij} \log \omega_{ij}$$
$$s.t. \quad \omega_{ij} \geq 0, \quad \sum_{j \in S_i} \omega_{ij} = 1.$$
(15)
Firstly, we replace the Euclidean distance $\|X_i - Y_j\|^2$ of NLAM in Eq. (3) with the coupled unbiased distance $D_c^2(X_i, Y_j)$ that is robust to measure the similarity between two image patches. Secondly, keeping the content-adaptive concept of NLAM, UD-NLAM also considers weight $\omega_{ij}$ as an optimization variable and updates its value in each denoising iteration. Similar to NLAM, given the initial state of $\hat{X}_i^{(0)} = Y_i$, we use the following two equations to update $\omega_{ij}$ and $\hat{X}_i$ alternatively:
$$W_i^{(t)} = \sum_{j \in S_i} \exp \left( -\frac{D_c^2(\hat{X}_i^{(t)}, Y_j)}{h} \right) \cdot H_{ij}$$
(16)
$$\omega_{ij}^{(t+1)} = \frac{1}{W_i^{(t)}} \cdot \exp \left( -\frac{D_c^2(\hat{X}_i^{(t)}, Y_j)}{h} \right) \cdot H_{ij}$$
(17)
$$\hat{X}_i^{(t+1)} = \frac{\sum_{j \in S_i} \omega_{ij}^{(t+1)} Y_j}{\sum_{j \in S_i} \omega_{ij}^{(t+1)}}.$$
(18)
where the spatial kernel $H_{ij} = \exp \left( -\frac{(i-j)^2}{h_s} \right)$ where $h_s$ is the spatial parameter. $W_i^{(t)}$ is the normalization factor. $\hat{X}_i^{(t+1)}$ and $\omega_{ij}^{(t+1)}$ are the denoised image patch $\hat{X}_i$ and weight $\omega_{ij}$ after $t + 1$ iterations. The procedures of UD-NLAM are shown in Algorithm 2.
C. Comparison of UD-NLAM, NLAM and NLM
First, in terms of the optimization models, NLM takes only $X_i$ as an optimization variable and calculates weight $\omega_{ij}$ once and keeps it fixed in the subsequent denoising iterations. NLAM treats both $X_i$ and $\omega_{ij}$ as optimization variables and updates their values iteratively. UD-NLAM inherits the adaptive concept of NLAM, and introduces the coupled unbiased distance instead of Euclidean distance to measure the image patch similarity.
Second, according to Eqs. (8)-(14), the unbiased distances are based on the adaptive $\omega_{ij}$. If $\omega_{ij}$ is fixed, we will calculate only the distance between two noisy patches by Eqs. (8) and (11). UD-NLAM will revert back to NLM. If we use the adaptive $\omega_{ij}$ and Euclidean distance, instead of unbiased distances, UD-NLAM will revert back to NLAM.
V. MUD-NLAM
UD-NLAM uses a single patch size to calculate $\omega_{ij}$ on each noise level. Its denoising performance changes dramatically for different noise levels. Here, we provide two examples of UD-NLAM. Their denoised results are obtained by using patch sizes $3 \times 3$, $5 \times 5$ and $7 \times 7$, respectively. Fig. 1 shows the zoom-in version of the denoised results of the cameraman image using UD-NLAM when noise level $\sigma = 20$. The second row of Fig. 1 shows the center patches (blue squares) in the search window and their similar neighbouring patches (green regions). As can be seen, there are less similar neighbouring patches when the patch size increases. Their denoised results are shown in the third row of Fig. 1. When the patch size is $5 \times 5$ (Fig. 1(h)) or $7 \times 7$ (Fig. 1(i)), there remains noise around edges of the object. The results indicate that a smaller patch
is more appropriate in removing low-level noise than a larger patch. Fig. 2 shows the denoised results of the *cameraman* image using UD-NLAM when $\sigma = 80$. Observing from the denoised result with $3 \times 3$ patch in Fig. 2(b), the hollow formed by noise is wrongly preserved as a signal. Many obvious ringing artifacts are introduced on the background. The denoised results obtained by using $5 \times 5$ (Fig. 2(c)) and $7 \times 7$ (Fig. 2(d)) patches have better visual effects because a larger patch keeps more structure information and a smaller patch is more sensitive to the noise pattern. Therefore, the large patch achieves better denoising effect than the small patch on high noise levels.
Motivated by these results, we further propose multipatch UD-NLAM (MUD-NLAM) to combine the advantages of different patch sizes with UD-NLAM. Given a set of patch radii $\mathbf{K} = \{p_1, p_2, \cdots, p_N\}$, we firstly calculate $\omega_{ij,k}$ for each $p_k \in \mathbf{K}$ as
$$\omega_{ij,k}^{(t+1)} = \frac{1}{W_{i,k}^{(t)}} \cdot \exp \left( -\frac{\|\hat{\mathbf{X}}_{i,k}^{(t)} - \mathbf{Y}_{j,k}\|^2}{h} \right) \cdot H_{ij}$$ \hspace{1cm} (19)
where $\hat{\mathbf{X}}_{i,k}^{(t)}$ and $\mathbf{Y}_{j,k}$ are patches with patch radius $p_k$ and center pixel $i$. Then Eq. (17) can be modified as
$$\omega_{ij}^{(t+1)} = \sum_{k=1}^{N} \lambda_k \omega_{ij,k}^{(t+1)},$$ \hspace{1cm} (20)
where $\sum_{k=1}^{N} \lambda_k = 1$. In our experiments, $\lambda_k = c \sigma^a$, where $\sigma$ denotes the noise level and $c$ is a positive constant. For a small patch size, we set $a < 0$ such that $\lambda_k$ decreases with the increase of noise level. For a large patch size, the change of $\lambda_k$ is opposite to that for the small patch when setting $a > 0$. This can also be referenced in real applications.
The detail processes of MUD-NLAM are presented in Algorithm 3. Compared with UD-NLAM in Algorithm 2, we add steps 4-7 to calculate $\omega_{ij,k}$ for multipatch denoising.
**Algorithm 3** MUD-NLAM
**Input:** Noisy image $\mathbf{Y}$; Parameters $\mathbf{K} = \{p_1, p_2, \cdots, p_N\}, s, \sigma^2, h, h_s, \varepsilon$;
**Output:** Denoised image $\hat{\mathbf{X}}$; Weight $\omega_{ij}$;
1: Initialize $\hat{\mathbf{X}}^{(0)} = \mathbf{Y}$ and $t = 0$;
2: **while** $\|\hat{\mathbf{X}}^{(t+1)} - \hat{\mathbf{X}}^{(t)}\|_2 > \varepsilon$ **do**
3: **for** each pixel located at $i$ **do**
4: **for** each patch radius $p_k \in \mathbf{K}$ **do**
5: Extract a patch $\hat{\mathbf{X}}_{i,k}^{(t)}$ with radius $p_k$ and center $i$;
6: Calculate $\omega_{ij,k}^{(t+1)}$ ($j \in S_i$) by Eq. (19);
7: **end for**
8: Calculate $\omega_{ij}^{(t+1)}$ ($j \in S_i$) by Eq. (20);
9: Calculate $\hat{\mathbf{X}}_i^{(t+1)}$ by Eq. (18);
10: **end for**
11: $t = t + 1$;
12: **end while**
13: **return** $\hat{\mathbf{X}}, \omega_{ij}$
VI. MUD-NLAM-WS
Based on MUD-NLAM, this section proposes a new denoising method, named MUD-NLAM with wavelet shrinkage (MUD-NLAM-WS). The denoising processes of MUD-NLAM-WS are illustrated in Fig. 3. In the proposed MUD-NLAM-WS, we use MUD-NLAM to generate a guide image, and then alternatively use MUD-NLAM and wavelet shrinkage [6], [32] to obtain the final denoised image.
The detail procedures of MUD-NLAM-WS are shown in Algorithm 4. In the stage of guide image generation, we apply MUD-NLAM to preprocess the noisy image $\mathbf{Y}$ and obtain the denoised image $\hat{\mathbf{X}}$ and weight $\omega_{ij}$ by Eqs. (19) and (20). Then, we set the denoised image $\hat{\mathbf{X}}$ as the initial guide image $\mathbf{G}^{(0)}$, and use the following equations to update $\mathbf{G}$ and $\hat{\mathbf{X}}$. In the $(t+1)$th iteration, we first calculate weight $K_{ij}^{(t+1)}$ as
$$K_{ij}^{(t+1)} = \frac{1}{W_{i,k}^{(t)}} \cdot \exp \left( -\frac{\|\mathbf{G}_{i,k}^{(t)} - \mathbf{Y}_{j,k}^{(t)}\|^2}{h} \right) \cdot H_{ij},$$ \hspace{1cm} (21)
$$K_{ij}^{(t+1)} = \sum_{k=1}^{N} \lambda_k K_{ij,k}^{(t+1)},$$ \hspace{1cm} (22)
where $N$ denotes the size of the set of patch radii $\mathbf{K}$. Then we obtain $\hat{\mathbf{G}}_i^{(t+1)}$ and $\hat{\mathbf{Y}}_j^{(t+1)}$ as
$$\hat{\mathbf{G}}_i^{(t+1)} = \frac{\sum_{j \in S_i} K_{ij}^{(t+1)} \mathbf{G}_j^{(t)}}{\sum_{j \in S_i} K_{ij}^{(t+1)}},$$ \hspace{1cm} (23)
\[
\hat{Y}_i^{(t+1)} = \frac{\sum_{j \in S_i} K_{ij}^{(t+1)} Y_j}{\sum_{j \in S_i} K_{ij}^{(t+1)}},
\]
where \( \hat{G} \) and \( \hat{Y} \) are the blurred layers of \( G \) and \( Y \), respectively.
Next, we obtain the short-time Fourier transform (STFT) [33] coefficients \( K_i^{(t+1)}(f) \) and \( D_i^{(t+1)}(f) \) as
\[
K_{ij}^{(t+1)} \cdot \left( G_i^{(t)}(j) - \hat{G}^{(t+1)}(j) \right) \frac{STFT}{j \in S_i} F_i^{(t+1)}(f),
\]
\[
K_{ij}^{(t+1)} \cdot \left( Y(j) - \hat{Y}^{(t+1)}(j) \right) \frac{STFT}{j \in S_i} D_i^{(t+1)}(f),
\]
where \( G_i^{(t)}(j), G_i^{(t+1)}(j), Y(j), \hat{Y}^{(t+1)}(j) \) are image pixels centered at \( j \).
The frequency window \( F_i \) is of the same size as the search window \( S_i \) and \( f \in F_i \). Using \( F_i^{(t+1)}(f) \), we calculate the shrinkage factor \( H_i^{(t+1)}(f) \) as
\[
H_i^{(t+1)}(f) = \exp \left( -\frac{\eta_i^2}{|F_i^{(t+1)}(f)|^2} \right),
\]
where the variance \( \eta_i^2 = \sigma^2 \sum_{j \in S_i} \left( K_{ij}^{(t+1)} \right)^2 \) and \( \gamma \) denotes the shrinkage parameter.
Then we utilize the inverse short-time Fourier transform (ISTFT) and obtain the detail layer \( \hat{D} \) as
\[
H_i^{(t+1)}(f) D_i^{(t+1)}(f) \frac{ISTFT}{f \in F_i} \hat{D}^{(t+1)}(i),
\]
where \( \hat{D}^{(t+1)}(i) \) is the pixel value of \( i \) in \( \hat{D}^{(t+1)} \).
Finally, we update the denoised image as \( \hat{X}^{(t+1)} = \hat{Y}^{(t+1)} + \hat{D}^{(t+1)} \) and then the guide image as \( G^{(t+1)} = \hat{X}^{(t+1)} \).
As shown in Fig. 3, we call the first stage of MUD-NLAM-WS as guide image generation (i.e. the blue block) and the second stage as image denoising (i.e. the red block). The detail steps of MUD-NLAM-WS are shown in Algorithm 4.
**Algorithm 4** MUD-NLAM-WS
**Input:** Noisy image \( Y \); Parameters \( K = \{p_1, p_2, \cdots, p_N\}, s, \sigma^2, h, h_s, \varepsilon, \gamma \);
**Output:** Denoised image \( \hat{X} \);
1: Use MUD-NLAM and obtain \( \hat{X} \) and \( \omega_{ij} \);
2: Initialize \( G^{(0)} = \hat{X} \) and \( t = 0 \);
3: while \( ||X^{(t+1)} - \hat{X}^{(t)}||_2 > \tau \) do
4: for each pixel located at \( i \) do
5: for each patch radius \( p_k \in K \) do
6: Extract a patch \( G_i^{(t)} \) with radius \( p_k \) and center \( i \);
7: Calculate \( K_{ij,k}^{(t+1)} \) (\( j \in S_i \)) by Eq. (21);
8: end for
9: Calculate \( K_i^{(t+1)} \) (\( j \in S_i \)) by Eq. (22);
10: Calculate \( G_i^{(t+1)} \) and \( \hat{Y}_i^{(t+1)} \) by Eqs. (23)-(24);
11: Use STFT and obtain coefficients by Eqs. (25)-(26);
12: Calculate shrinkage factors \( H_i^{(t+1)}(f) \) by Eq. (27);
13: Obtain ISTFT result \( D_i^{(t+1)}(i) \) by Eq. (28);
14: end for
15: \( X^{(t+1)} = \hat{Y}^{(t+1)} + D^{(t+1)} \);
16: \( G^{(t+1)} = X^{(t+1)} \);
17: \( t = t + 1 \);
18: end while
19: return \( \hat{X} \)
The guide image \( G \) is a pre-denoised image that is used to guide the noisy image \( Y \) to go through the iterative denoising processes. \( \hat{X} \) denotes the denoised result after each denoising iteration. They are two different images in MUD-NLAM-WS. In the stage of guide image generation in Fig. 3, the guide image \( G \) is initialized as the denoised result of applying MUD-NLAM once. \( G \) can provide more accurate structural information than the noisy image \( Y \) itself when computing weight \( K_{ij,k} \). Besides, the parameter settings of MUD-NLAM in the stage of guide image generation are different from these in the stage of image denoising.
### VII. EXPERIMENTS
#### A. Quality Measures
To evaluate the performance of the denoising methods, we use three image quality measures including the peak signal-to-noise ratio (PSNR), structural similarity (SSIM) [34] index and method noise.
1) **PSNR:** PSNR measures the intensity similarity between the clean image \( X \) and the denoised image \( \hat{X} \). The higher PSNR value indicates the more intensity similarity of \( X \) and \( \hat{X} \). Its calculation equation is
\[
PSNR(X, \hat{X}) = -10 \cdot \log_{10}(\frac{1}{N_1 N_2} ||X - \hat{X}||_2^2 / MAX_X),
\]
where \( X, \hat{X} \) are of size \( N_1 \times N_2 \) and \( MAX_X \) is the maximum pixel value of \( X \).
2) **SSIM:** SSIM [34] measures the structure between the clean image \( X \) and the denoised image \( \hat{X} \). The larger SSIM
value means the more similarity between \( \mathbf{X} \) and \( \hat{\mathbf{X}} \), and thus the better denoising performance. Its calculation equation is
\[
SSIM(\mathbf{X}, \hat{\mathbf{X}}) = \frac{1}{N_1 N_2} \sum_{i=1}^{N_1 N_2} \frac{(2\mu_{\mathbf{X}_i} \mu_{\hat{\mathbf{X}}_i} + c_1)(2\sigma_{\mathbf{X}_i \hat{\mathbf{X}}_i} + c_2)}{(\mu_{\mathbf{X}_i}^2 + \mu_{\hat{\mathbf{X}}_i}^2 + c_1)(\sigma_{\mathbf{X}_i}^2 + \sigma_{\hat{\mathbf{X}}_i}^2 + c_2)},
\]
(30)
where \( \mu_{\mathbf{X}_i} \) and \( \mu_{\hat{\mathbf{X}}_i} \) are the averages of \( \mathbf{X}_i \) and \( \hat{\mathbf{X}}_i \), respectively, \( \sigma_{\mathbf{X}_i}^2 \), \( \sigma_{\hat{\mathbf{X}}_i}^2 \) are variances and \( \sigma_{\mathbf{X}_i \hat{\mathbf{X}}_i} \) is the covariance of \( \mathbf{X}_i \) and \( \hat{\mathbf{X}}_i \). \( c_1 \) and \( c_2 \) are constants.
3) Method Noise: Method noise equals to the difference between the noisy image and the denoised image. The less structural information in the method noise indicates the better quality of the denoised image.
\[
M_{noise}(Y, \hat{X}) = Y - \hat{X}.
\]
(31)
B. Evaluation of NLAM, UD-NLAM and MUD-NLAM
In this subsection, we compare NLAM, UD-NLAM and MUD-NLAM with seven NLM-based methods, i.e. NLM [11], UINTA [14], NLEM [21], INLEM [22], NLPR [23], LJS-NLM [25] and PNLM [24]. We set the parameters of NLAM as \( p = 2 \), \( s = 7 \), \( h = 20\sigma^2 \), those of UD-NLAM as \( p = 2 \), \( s = 7 \), \( h = 7.5\sigma^2 \), \( h_b = \sigma \), \( c = 0.16 \), and those of MUD-NLAM as \( K = \{1, 2, 3\} \), \( s = 7 \), \( h = 0.3 \cdot ||P||\sigma^2 \), \( h_b = \sigma \), \( c = 0.16 \). As we use the noise variance \( \sigma^2 \) to compute the unbiased distance, we roughly estimate its value before denoising. For other competing methods, we set their parameters as recommended in related references.
Fig. 4 shows the average PSNR and SSIM values on forty test images of size 256 × 256. As can be seen, MUD-NLAM performs the best among the existing NLM-based methods on both PSNR and SSIM. From the PSNR results in Fig. 4(a), NLAM is about 1.0dB higher than NLM on all situations, and surpasses LJS-NLM by about 0.4dB when \( \sigma > 50 \). By introducing the coupled unbiased distance, UD-NLAM achieves great improvements on PSNR. It improves NLM and PNLM for about 1.8dB and 0.4dB, respectively. UD-NLAM shows slightly worse performance than LJS-NLM when \( \sigma < 20 \) due to the limitation of using single patch. However, UD-NLAM outperforms other existing NLM-based methods when \( \sigma \geq 20 \). By applying multipatch to UD-NLAM, MUD-NLAM further improves the denoising performance, especially when \( \sigma < 70 \). MUD-NLAM surpasses PNLM by 0.6dB approximately. Generally speaking, the denoising performance of all methods decreases as the noise level increases. In terms of the SSIM results in Fig. 4(b), NLAM and UD-NLAM improves NLM by about 8% and 13%, respectively. Besides, UD-NLAM and MUD-NLAM are 3% and 4% higher than PNLM when \( \sigma > 40 \), respectively. Moreover, all competing denoising methods drop below 55% when \( \sigma \geq 90 \). However, the denoising performance of UD-NLAM and MUD-NLAM descends more gradually than other methods and reaches 55% when \( \sigma = 100 \).
Fig. 5 shows the denoised results of the flower image at noise level \( \sigma = 30 \). As can be observed from the zoom-in part,
**Group 2:** We conduct the comparative experiments on MUD-NLAM, MUD-NLAM-WS, NL-Bayes, DDDID and BM3D and NLM-SB. Different from **Group 1**, we use signal-to-noise ratio (SNR) to measure the noise level in this group. The simulations are implemented on a set of images with size of about $512 \times 512$ at $SNR = 0.5$, 0.75 and 1, respectively.
**Group 3:** We compare MUD-NLAM and MUD-NLAM-WS with NLM-SB, NLM-SB2, SB-Meyer, Meyer, NL-Bayes, DDDID and BM3D. The experiments are implemented on a set of test images with size $120 \times 120$ at $SNR = 1$.
In each group of experiments, the parameter settings of MUD-NLAM-WS are shown in Table IV. For the competing methods, we set their parameters as recommended in corresponding references. Related results are described as follows:
1) **Group 1:** In Table III, the best two results are marked with bold font in blue and black, respectively. By analysing these quantitative results, we find that MUD-NLAM-WS surpasses PNLM by about $1.5dB$ at each noise level in terms of PSNR. In view of SSIM, MUD-NLAM-WS performs the best when $\sigma > 40$. Furthermore, MUD-NLAM-WS achieves competitive results with BM3D especially when $\sigma$ varies from 40 to 100. This is because, when noise level $\sigma$ is small, BM3D takes advantage of the enhanced sparse representation in transform domain to effectively remove noise and retain details. However, as noise level increases, the sparse representation also makes BM3D more sensitive to the noise patterns and produces noticeable artifacts.
Fig. 6 presents the denoised results of the *montage* image with noise $\sigma = 50$. As can be observed in the zoom-in part within red square of the clean image (Fig. 6(b)), there is obvious sawtooth edge on the contour of the cropped circle. UD-NLAM, MUD-NLAM and MUD-NLAM-WS reconstruct this detail in their denoised results. However, the sawtooth textures are almost disappeared in the denoised images by the other methods. For the letters shown in the zoom-in part highlighted within blue square, UD-NLAM, MUD-NLAM and MUD-NLAM-WS outperform other NLM-based methods in noise removal and edge preservation. In addition, the competing denoising methods introduce some ringing artifacts to the edges of letters or on the background in the denoised results. However, MUD-NLAM-WS generates significantly less artifacts and retains much more detail structures than other methods.
Fig. 7 shows the denoised results of the *cameraman* image with noise $\sigma = 70$. As shown in the zoom-in part, NLM, NLEM, INLEM and NLPR over-smooth the image. As a result, it is hard to identify the structures and details of the camera. NLEM, INLEM and NLPR also bring many ringing artifacts to the background of the denoised images. LJS-NLM, PNLM and NL-Bayes leave some noise around the edges of the camera. UINTA produces clear edges, but loses some structure information. UD-NLAM and MUD-NLAM perform better in denoising and keeping edges than other NLM-based methods. MUD-NLAM-WS preserves more details and produces less artifacts than BM3D and DDDID.
Fig. 8 shows the corresponding method noises of the denoised results in Fig. 7. Observing the denoised results of
### TABLE V
**PSNR Comparison Among MUD-NLAM-WS, MUD-NLAM and Other Four Methods at SNR = 0.5, 0.75 and 1**
| Noise level | Image | NLM-SB | NL-Bayes | DDID | BM3D | MUD-NLAM-WS | MUD-NLAM | NLM-SB | NL-Bayes | DDID | BM3D | MUD-NLAM-WS | MUD-NLAM |
|-------------|-----------|--------|----------|------|------|-------------|----------|--------|----------|------|------|-------------|----------|
| | | [35] | [18] | [6] | [16] | [35] | [18] | [6] | [35] | [18] | [6] | [35] | [18] |
| 0.5 | crowd | 20.36 | 22.01 | 22.06| **22.39** | 21.27 | 22.23 | 22.30 | 24.02 | 23.99| **24.19** | 23.26 | 24.04 |
| | flower | 21.27 | 23.85 | 24.15| 24.36 | 23.51 | **24.48** | 23.14 | 26.20 | 26.23| 26.43 | 25.49 | **26.47** |
| | flowers | 21.51 | 23.17 | 23.44| 23.90 | 23.87 | 23.87 | 23.87 | 26.45 | 26.62| 26.80 | 25.73 | **26.80** |
| | girlface | 21.45 | 24.23 | 24.74| 24.92 | 23.87 | **24.99** | 22.58 | 26.45 | 26.62| 26.80 | 25.73 | **27.87** |
| | monarch | 21.48 | 24.72 | 24.72| 24.79 | 23.78 | **25.01** | 24.09 | 26.84 | **27.06**| 26.76 | 26.18 | 27.01 | 25.57 |
| | pens | 21.38 | 23.85 | 23.85| 24.31 | 23.83 | **24.32** | 23.83 | 26.55 | 26.55| 26.55 | 25.55 | 25.55 |
| | sailboat | 14.24 | 20.87 | 20.99| 21.02 | 20.35 | **21.17** | 16.38 | 22.74 | 22.74| **23.15**| 22.11 | 22.89 | 19.76 |
| | tulips | 19.37 | 22.27 | 22.70| 22.75 | 21.95 | **23.05** | 20.38 | 24.46 | 24.07| 24.81 | 23.95 | **25.04** |
| | volta | 21.97 | 24.45 | 24.79| 25.04 | 24.54 | **25.08** | 24.97 | 26.62 | 26.71| 26.89 | 26.42 | **27.04** |
Fig. 8. Method noise of the *cameraman* image with noise $\sigma = 70$: (a) clean image; (b) noise; (c) NLM; (d) UINTA; (e) NLEM; (f) INLEM; (g) NLPR; (h) LJS-NLM; (i) PNLM; (j) NL-Bayes; (k) DDID; (l) BM3D; (m) NLM; (n) UD-NLAM; (o) MUD-NLAM; (p) MUD-NLAM-WS.
NLM-based methods in Figs. 8(c)-(i) and (m), we can identify the outline of the cameraman. Compared with competing NLM-based methods, the method noises of UD-NLAM and MUD-NLAM show much less structure information of the object. In addition, there is almost no noticeable structural information remaining in the method noises of NL-Bayes, DDID, BM3D and MUD-NLAM-WS. This demonstrates their excellent denoising performance.
2) **Group 2**: As shown in Table V, MUD-NLAM and MUD-NLAM-WS have better denoising performance than NLM-SB on all situations. MUD-NLAM-WS surpasses NLM-SB, NL-Bayes and DDID by about $2.9dB$, $0.3dB$ and $0.2dB$ in average, respectively. Besides, MUD-NLAM-WS obtains higher PSNR values than BM3D in most cases. The denoised results of NLM-SB are from the reference [35].
Fig. 9 shows the visual results of NL-Bayes, DDID, BM3D, MUD-NLAM and MUD-NLAM-WS on the *girlface* image at $SNR = 1$. As can be observed, NL-Bayes, DDID and BM3D yield many noticeable ringing artifacts in the face, while MUD-NLAM-WS removes the noise more effectively than the competing methods.
3) **Group 3**: As can be seen in Table VI, MUD-NLAM-WS and MUD-NLAM perform better than NLM-SB, NLM-SB2, SB-Meyer and Meyer in terms of PSNR on all test images. Besides, MUD-NLAM-WS achieves comparable performance with BM3D, DDID and NL-Bayes, especially on the *boat* and *lena* images. However, on the *man1* and *woman blonde* images, the PSNR values of MUD-NLAM-WS are greater than that of BM3D for about $0.3dB$. The denoised results of NLM-SB, NLM-SB2, SB-Meyer and Meyer are from the reference [35].
From the results of the three groups of experiments, the main conclusions can be drawn as follows:
- MUD-NLAM-WS produces much more pleasant denoised images while achieving higher PSNR and SSIM values than the competing NLM-based methods.
- Although PSNR results of MUD-NLAM-WS over BM3D are not significant, MUD-NLAM-WS improves BM3D up to 4% in terms of SSIM. In addition, MUD-NLAM-WS generates more visually pleasant denoised results than BM3D. As can be seen in Figs. 6, 7 and 9, BM3D yields noticeable ringing artifacts and false contours in smooth areas, especially under the cases with a high level of noise. These artifacts seriously degrade the visual quality of denoised images of BM3D. On the other hand, MUD-NLAM-WS produces much less artifacts while effectively preserving structure and detail information.
- We have conducted the experiments on the images with two different resolutions, e.g. $256 \times 256$ and $512 \times 512$.
The denoised results of $256 \times 256$ are shown in Table III and Figs. 6-8, and the denoised results of $512 \times 512$ are shown in Tables V and Fig. 9. As can be seen, MUD-NLAM-WS produces more appealing denoised results than other competing denoising methods in terms of quantitative evaluations and visual comparison. Therefore, with appropriate parameter settings, the image resolution does not influence the denoising performance of our MUD-NLAM-WS.
VIII. CONCLUSION
In this paper, we introduced the non-local adaptive means (NLAM) for image denoising. The weight $\omega_{ij}$ is considered as an optimization variable that is adaptive to the image content. By measuring the image patch similarity, NLAM updates weight $\omega_{ij}$ in each denoising iteration. We then defined three unbiased distances, i.e. pixel-pixel unbiased distance, patch-patch unbiased distance and coupled unbiased distance. Since these distances contain the structure information of noisy image and the denoised image in each iteration, they provide more robustness to measure the image pixel/patch similarity than the traditional Euclidean distance. Using the coupled unbiased distance, we proposed the unbiased distance non-local adaptive means (UD-NLAM), and then extended UD-NLAM into its multipatch version to adapt different noise levels and proposed multipatch UD-NLAM (MUD-NLAM). Integrating wavelet shrinkage, we further introduced a novel denoising method, named MUD-NLAM with wavelet shrinkage (MUD-NLAM-WS). We conducted extensive comparison experiments between our methods and several existing denoising methods. The quantitative evaluations and visual comparisons showed that NLAM outperforms some of the existing NLM-based methods. UD-NLAM and MUD-NLAM further improve the denoising performance of NLAM, and MUD-NLAM-WS is superior to the competing state-of-the-art denoising methods in both noise removal and detail preservation.
Since the proposed methods focus on grayscale image denoising, our future work will investigate how to extend the proposed methods to color image denoising. For example, we will introduce a novel distance criteria to measure the similarity between two color image pixels/patches. Moreover, integrating non-local means into deep learning framework is interesting to explored.
ACKNOWLEDGMENT
The authors would like to sincerely thank the editors and anonymous reviewers for their valuable comments and suggestions that helped to significantly improve the quality of our manuscript.
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---
**Xiaoyao Li** received the B.S. degree in mathematics and applied mathematics from the China University of Petroleum, Beijing, China, in 2012.
She is currently pursuing the Ph.D. degree with Control Science and Engineering, College of Electrical and Information Engineering, Hunan University, Changsha, China. She was a Research Assistant with the Department of Computer and Information Science, University of Macau in 2017. Her current research interests include image denoising and signal/image processing.
**Yicong Zhou** (M’07-SM’14) received the B.S. degree from Hunan University, Changsha, China, and the M.S. and Ph.D. degrees from Tufts University, Massachusetts, USA, all in electrical engineering.
He is an Associate Professor and the Director of the Vision and Image Processing Laboratory, Department of Computer and Information Science, University of Macau. His research interests include image processing, video understanding, computer vision, machine learning, and multimedia security.
Dr. Zhou serves as an Associate Editor for the *IEEE TRANSACTIONS ON CIRCUITS AND SYSTEMS FOR VIDEO TECHNOLOGY*, the *IEEE TRANSACTIONS ON GEOSCIENCE AND REMOTE SENSING*, and several other journals. He is the Co-Chair of Technical Committee on Cognitive Computing in the IEEE Systems, Man, and Cybernetics Society. Dr. Zhou is a Senior Member of the International Society for Optical Engineering (SPIE). He was a recipient of the Third Price of Macau Natural Science Award in 2014.
**Jing Zhang** received the B.S., M.S. and Ph.D. degrees from Hunan University, Changsha, China, in 1982, 1984, and 1997, respectively.
He is currently a Professor with the College of Electrical and Information Engineering, Hunan University, Changsha. He has published over 300 papers in journals and conferences. His research interests include optimal control, fuzzy control, intelligent control for complex industrial system, and pattern recognition.
Dr. Zhang was a recipient of the Second Prize and the First Prize of National Scientific and Technological Progress Awards of China in 2010 and 2018, respectively.
**Lianhong Wang** received the B.S., M.S., and Ph.D. degrees from Hunan University, Changsha, China, in 1993, 2002, and 2009, respectively.
She is currently an Associate Professor with the College of Electrical and Information Engineering, Hunan University, Changsha. She was a visiting scholar at Brandeis University from 2011 to 2012. She has published over 30 papers in journals and conferences. Her research interests include signal/image processing, data mining, and modern network communication technology.
Dr. Wang was a recipient of the First Prize of Teaching Achievement Award for Higher Education in Hunan Province.
|
Sunflower County Consolidated School District
Miskia Davis, Superintendent
“United for Excellence”
APPROVED
SEP 14 2021
Sunflower Co Cons. School District
Board of Trustees
Instructional Management Plan
Office of Curriculum and Instruction
# Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| District Mission & Vision | 3 |
| Core Belief | 3 |
| Strategic Goals | 3 |
| Section I Purpose Statement | 4 |
| Section II Instructional Philosophy | 4 |
| Section III Curriculum Belief Statements | 4 |
| Section IV Instructional Management Plan Overview | 5 |
| Section V Roles & Responsibilities | 6-9 |
| Section VI Curriculum Monitoring | 10 |
| Section VII Curriculum Evaluation | 10 |
| **Appendix A** MTSS/IRP Alignment Checklist | |
| **Appendix B** Professional Learning Community Form | |
| **Appendix C** Mississippi Educator & Administrator Professional Growth System | |
Sunflower County Consolidated School District
Mission:
To become a model District that attracts and retains highly qualified staff who graduate college, career and community ready young adults.
Vision:
Empowering Staff, Engaging Communities, and Educating Students
Core Beliefs:
• A safe and orderly climate is important to the teaching and learning process. (Safety)
• Building positive relationships is critical to school success. (Relationship Building)
• All children can and will learn academic and social skills necessary to advance in society. (All Children Will Learn)
• High expectations will be held for students, teachers, and staff. (High Expectations)
• The schools, students, parents, and community members should be partners in the educational process for our children. (Partners in Education)
• Administrators, staff, and faculty are committed to life-long learning. (Life-long Learning)
Strategic Goals
Goal I: Ensure all students show academic and social growth each school year.
Goal II: Provide every school with effective teachers and leaders.
Goal III: Increase technology access and integration to support innovative teaching and learning.
Goal IV: Provide safe, secure facilities and a safe transportation system.
Goal V: Operate a financially stable school district.
Purpose Statement
The purpose of the Sunflower County Consolidated School District’s Instructional Management Plan is to coordinate efforts that will assist in the development and delivery of a curriculum that is uniform throughout the district. The plan explains the expectations and procedures regarding curriculum maps, instruction, instructional resources, assessments, and lesson plans and is in accordance with Board policy number ID.
Instructional Philosophy
We believe students learn best when they are actively engaged with rigorous and relevant academic content. The curriculum and instruction should both be driven by standards-based learning outcomes and measured by authentic assessments that will guide instructional decisions and increase achievement. In preparing students to be college, career, and community ready, we believe engaging technology must be integrated into instructional practices on a regular basis.
Curriculum Belief Statements
We believe that quality, all-inclusive curriculum should:
- Be collaboratively designed to coordinate and connect instruction horizontally and vertically Pre-K through 12th grade.
- Be informed by research and data, developed with an awareness of future trends, and aligned to designated standards.
- Guide teaching and learning with an emphasis on high expectations for student achievement.
- Emphasize quality instruction that is aligned to the curriculum in order to better accommodate the needs of all students.
- Outline essential student learning, define depth and breadth of instruction, include aligned assessments, and provide scope and sequence as appropriate to guide instruction.
Professional Learning- Results from instructional staff, leaders, and support systems working collaboratively together to modify instructional practices, curriculum implementation, and evaluation procedures in order to increase learning outcomes. (PLC meetings, staff meetings, and professional development)
Curriculum Implementation-Comprehensive staff development designed to empower teachers by building their capacity necessary to deliver the curriculum. (Best Practices)
Curriculum Monitoring-Procedures used to ensure curriculum delivery is implemented consistently in classrooms. (Observations)
Curriculum Evaluation - Procedures devised to examine the effectiveness of the curriculum in achieving the aims, goals and objectives of the curriculum.
(Assessments)
Roles and Responsibilities for Curriculum Management
Curriculum
- The Curriculum Department will maintain copies of all frameworks for K-12 science, social studies, mathematics, language arts, foreign language, physical education, health; the arts, and other elective courses in the approved course list. The suggested teaching strategies, sample test items (if applicable), test blueprints, scaffolding documents, and performance level descriptors will also be housed in the department electronically.
- The Curriculum Department will provide each teacher with a Curriculum binder that contains curriculum frameworks for each teacher’s assigned subject area. Each school will also have a hard copy of each course/subject framework housed in a labeled, designated area for teacher and parent/community use. The approved frameworks will also be posted on Sunflower County Consolidated School District’s Curriculum and Instruction webpage under the “Instructional Management System” section.
- Principals will verify that teachers have and are using these documents through instructional observations and lesson plan review.
- Curriculum binders will be utilized to store supplemental curriculum materials and will be available in each classroom at all times.
Pacing Guide
- The Curriculum Department will maintain a complete set of pacing guides, suggested teaching resources, and assessment items (where applicable) for grades K-12 in the areas of language and math, 5th and 8th grade science, Algebra I, English II, Biology I and U.S. History.
- Each principal will maintain a complete set of pacing guides for tested areas and sample assessment items, relative to his/her school to help ensure proficiency level performance electronically and within our Learning Management System.
- Instructional staff members in grades K-12 will have copies of pacing guides for grades K-12 in the areas of English/Language Arts, Math, Science, and History. Each instructional staff will
have College and Career Readiness Standards and sample assessments (where assessed) for each course or grade he/she teaches.
- The pacing guide ensures that all the standards and competencies are covered during the year.
**Lesson Plan Requirements**
- All teachers will utilize a common template for lesson planning located electronically and within the Learning Management System.
- All lesson plans will be completed in electronic form using Google Docs and/or the Learning Management System.
- Lesson plans will be available via the Learning Management System.
- All lesson plans will consist of state approved standards/objectives, modeling, guided practice, student-centered learning activities, formative assessments, opportunities for differentiation, and closure.
- Lesson plans will be submitted weekly to the building level principal or his/her designee for approval.
- All teachers will plan lessons that demonstrate knowledge of content and pedagogy.
- All teachers will plan lessons that meet the diversity of students’ backgrounds, cultures, skills, learning level, interests, and special needs.
- All teachers will select instructional goals that incorporate higher level learning for all students.
- All teachers will plan units of instruction that align with the Mississippi College & Career Readiness Standards or where applicable, MS Curriculum Frameworks.
**Professional Learning Communities**
- Teachers will have a minimum of two grade level professional learning community meetings per month to discuss, but not limited to:
- Data analysis for progress monitoring
- Goals for specific grading or instructional periods
- Instructional strategies/practices
- Student Engagement strategies and tools
- PBIS initiatives
- Integrating Literacy/Mathematics Across the Content Areas
- Principals or designee(s) will monitor these meetings.
• Agendas, meeting minutes, and sign in sheets must be submitted to the Principal(s) or designee for all grade level and departmental meetings.
**Progress Monitoring of Teachers**
• Frequent observations and evaluations will be used to monitor best practices in the district. Administrators will complete a minimum of two formal evaluations per school year for each teacher and a minimum of ten informal MS-TGR evaluations per week.
• Principals will maintain documentation of all post conference observation records.
• Building level administrators will provide opportunities for professional development to help improve areas of weakness.
• As principals conduct observations, they will particularly note:
- Teaches’ pedagogy and content knowledge
- Alignment of tasks, questioning, instruction, and assessments to MS-CCR standards/Frameworks
- Differentiated instruction (learning styles, process, product, or content)
- Authentic student engagement
- Classroom organization and management
• All principals will keep record of observations via SchoolStatus. Documentation of classroom observation visits and other documentation of academic related monitoring may be available electronically.
**Progress Monitoring of Students**
• All students will be administered a universal screener 2-3 times a year. After the initial universal screener, all K-3 grade students performing in the lowest levels of the screener will receive an Individual Reading Plan (IRP) as a result of the Literacy Based Promotion Act. Any 4th graders who received a Good Cause Exemption will also have an Individual Reading Plan.
• Three formal benchmark assessments will be administered to all students enrolled in a state tested area/or any other area selected at the end of each nine weeks. The English/Language Arts assessments will be comprehensive. All other tested areas will be based on the approved pacing guide.
• Teachers will use enCase, Standards Mastery, bi-weekly assessment data, benchmark assessment data, fluency probes, and/or other progress monitoring tools to track student growth and progress.
• The district will provide a nine week assessment (Benchmark) for Reading and Math K-12th and in state tested areas and/or selected areas. Non-tested areas will create their own Benchmark Assessments. Principals and/or designee will review and approve teacher created assessments.
• District administration will support principals in data analysis.
• Principals will provide guidance to instructional staff in utilization of data to make instructional decisions.
**Intervention Plan**
• The District MTSS Coordinator will provide guidance to the school in the implementation of the Multi-Tiered System of Supports process to comply with MDE State Board Policy 41.1 through the Development and implementation of a district MTSS handbook.
• The District MTSS Coordinator will provide all staff with a digital and/or hard copy of the MTSS Handbook. One will also be placed on the district’s website.
• The District MTSS coordinator will train school-level MTSS coordinators on the district’s process for implementing interventions.
• The MTSS District-Based Leadership Team will monitor the MTSS process throughout the school year to ensure fidelity and integrity in the implementation.
• The district will implement at a minimum two-three universal screenings per year during the school year in the areas of reading and mathematics.
• Principals or designee(s) will ensure progress monitoring of students is conducted in accordance with the MTSS process.
• The principals or designee(s) will be responsible for the implementation of the MTSS process in his/her school, including maintaining all required documentation.
• Principals or designee will keep a record of intervention processes for Tier II/III students.
• The district will provide schools with an electronic and hard copy of the Literacy-Based Promotion Act requirements. The electronic copy will be accessible on the Curriculum Department webpage under “Instructional Management System” section.
**Professional Development**
• The district has implemented a comprehensive professional Development plan that focuses on school and district needs as outlined in the district’s strategic plan. Professional development will entail various types of facilitated learning opportunities.
• Building level principals will submit professional development plans aligned to the needs of schools.
• Teachers will participate in professional learning communities at the school and district level to share research-based strategies, instructional practices, learning outcomes, and action steps needed to improve.
• Teachers will also participate in job-embedded, targeted, and district-level professional development.
**Curriculum Monitoring**
All central office and building-level instructional administrators are expected to monitor the delivery of the curriculum from teacher to student. Sunflower County Consolidated School District will monitor both the curriculum and instructional practices using the following monitoring instruments:
- Classroom observations (virtual and/or traditional)
- Lesson Plans
- School Status
**Curriculum Evaluation**
Sunflower County Consolidated School District will analyze various forms of data in determining if the standards set are achievable using the selected curriculum. Teachers will be provided assessment strategies and resources to use when teaching the required competencies/standards.
Assessments that will be used to evaluate the curriculum are:
1. Formative assessments
2. Universal screening assessments
3. Benchmark assessments
4. State standardized assessments; End of Course Assessments
Appendix A
Appendix B
Professional Learning Community Team Meeting
School Name ____________________________________________________________
Meeting Date: ________________ Grade Level/Name: _________________________ Next Meeting Date: ________________
Members In Attendance:
| | |
|---|---|
| | |
| | |
| | |
Type(s) of Student Data Examined: ___________________________________________
Summary of Data Analysis:
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
What Do We Want Students To Learn Based on Data? (Instructional Focus)
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
Shared Instructional Methods and Strategies
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
How Will We Know When They Have Learned It? (Which Common Assessments? What Proficiency Level?)
What Will We Do For Those Who DID NOT Achieve Proficiency?
What Will We Do For Those Who DID Achieve Proficiency?
Next Steps
Questions, Concerns, Professional Development Needs:
Appendix C
Teacher Growth Rubric Design
**Domain I: Lesson Design**
Evidence may include lesson plans, classroom observations, and pre- and post-observation conferences.
1. **Lessons are aligned to standards and represent a coherent sequence of learning.**
- Include student learning outcomes and instructional activities that
- are fully aligned to current Mississippi College and Career Ready Standards or Framework
- are part of a coherent and focused sequence of learning with meaningful connections made to previous and future learning
- reflect collaboration with other school staff within and across disciplines to enrich learning
2. **Lessons are partially aligned to standards and represent an ineffective sequence of learning.**
3. **Lessons are not aligned to standards and represent no sequence of learning.**
---
**Teacher Growth Rubric Domains and Standards**
The Teacher Growth Rubric has four domains and nine standards.
**Domain I: Lesson Design** - Teachers must be skilled in planning instruction that is appropriate for their students, fully aligned to state standards and reflect teaching to high standards of student learning.
1. Lessons are aligned to standards and represent a coherent sequence of learning.
2. Lessons have levels of learning for all students.
**Domain II: Student Understanding** - Teachers build the classroom to develop students’ competence and confidence. This includes a wide range of inputs and processes such as modeling, collaborative and cooperative learning experiences, and assessments.
3. The teacher assists students in taking responsibility for learning and monitors student learning.
4. The teacher provides multiple ways for students to make meaning of content.
**DOMAIN III: CULTURE AND LEARNING ENVIRONMENT** - Teachers build a learning environment that is predictable with established routines and procedures, one in which they know their students as people and as learners, and one in which students thrive.
5. The teacher manages a learning-focused classroom community.
6. The teacher manages classroom space, time, and resources (including technology when appropriate) effectively for student learning.
7. The teacher creates and maintains a classroom of respect for all students.
**DOMAIN IV: PROFESSIONAL RESPONSIBILITIES** - Teachers engage with the professional community both within the school and beyond, demonstrate a commitment to ongoing learning, collaborate productively with colleagues and contribute to the life of the school.
8. The teacher engages in professional learning.
9. The teacher establishes and maintains effective communication with families/guardians.
**Teacher Performance Levels**
A teacher’s practice on each standard will be evaluated in accordance with a four-level rating scale:
- **Level 4 Practice**: This teacher demonstrates advanced instructional practices, particularly those that foster student ownership of learning and the environment. In Level 4 teaching, a community of learners has been created in which students assume a large part of the responsibility for the success of a lesson and their own learning. Level 4 practice goes above and beyond the expectations for an effective teacher.
- **Level 3 Practice**: This teacher demonstrates effective instructional practices. Level 3 teaching is characterized by “teacher-directed success” while Level 4 teaching is characterized by “student-directed success.” Level 3 practices are expected of all effective teachers.
- **Level 2 Practice**: A teacher demonstrating Level 2 practices is making attempts, but does not fully demonstrate effectiveness. This teacher has potential to become effective, but requires clear, specific, and actionable feedback to improve his/her practice. A teacher whose practice is at Level 2 is a high potential teacher. High-quality feedback is essential in improving his/her practice.
- **Level 1 Practice**: This teacher should receive immediate and comprehensive professional learning and support(s) designed to address the identified area(s) for growth.
Teacher Growth Rubric
Domain I: Lesson Design
Evidence may include lesson plans, classroom observations, and pre- and post-observation conferences.
1. LESSONS ARE ALIGNED TO STANDARDS AND REPRESENT A COHERENT SEQUENCE OF LEARNING
Lessons:
Include student learning outcomes and instructional activities that
4 • are fully aligned to current Mississippi College and Career Ready Standards or Framework
• are part of a coherent and focused sequence of learning with meaningful connections made to previous and future learning
• reflect collaboration with other school staff within and across disciplines to enrich learning
3 Include student learning outcomes and instructional activities that
• are fully aligned to current Mississippi College and Career Ready Standards or Framework
• are part of a coherent and focused sequence of learning with meaningful connections made to previous and future learning
2 Include student learning outcomes and instructional activities that
• are partially aligned to current Mississippi College and Career Ready Standards or Framework
• are part of an ineffective sequence of learning with few connections made to previous and future learning
1 Include student learning outcomes and instructional activities that
• are not aligned to current Mississippi College and Career Ready Standards or Framework
• are not part of a coherent sequence of learning with meaningful connections made to previous and future learning
2. LESSONS HAVE HIGH LEVELS OF LEARNING FOR ALL STUDENTS
Lessons:
Provide assignments and activities that contain the following components:
4 • appropriate scaffolding that effectively builds student understanding
• ample evidence that the teacher knows each student's level and tracks each student's progress toward mastery
• differentiation based on students' abilities and learning styles
• student-centered learning whenever appropriate
• relevant connections to students' prior experiences¹ or learning
• opportunities for students to choose challenging tasks and instructional materials
3 Provide assignments and activities that contain the following components:
• appropriate scaffolding that effectively builds student understanding
• ample evidence that the teacher knows each student's level and tracks each student's progress toward mastery
• differentiation based on students' abilities and learning styles
• student-centered learning whenever appropriate
• relevant connections to students' prior experiences¹ or learning
2 Provide assignments and activities that contain the following components:
• minimal scaffolding that builds student understanding
• limited evidence that the teacher knows each student's level and/or tracks each student's progress toward mastery
• some differentiation based on students' abilities and learning styles
• limited student-centered learning
• adequate connections to students' prior experiences¹ or learning
1 Provide assignments and activities that contain the following components:
• no scaffolding that builds student understanding
• little or no evidence that the teacher knows each student's level
• little or no differentiation based on students' abilities and learning styles
• little or no evidence of student-centered learning
• few connections to students' prior experiences¹ or learning
---
¹ Experience refers to students' experiences in and out of school - e.g., family, community, culture, language, etc.
Domain II: Student Understanding
Evidence includes classroom observations.
3. ASSISTS STUDENTS IN TAKING RESPONSIBILITY FOR LEARNING AND MONITORS STUDENT LEARNING
Teacher:
- Communicates the lesson goals and the content in a way that is accessible for every student at his/her level
- Uses formative assessments to effectively monitor student progress
- Provides ample and effective opportunities for students to self-assess and correct their own errors
4
- Provides students with clear, specific, actionable, and timely feedback
- Creates opportunities for students to apply teacher and peer feedback to improve performance and accelerate learning
- Provides opportunities for students to demonstrate connections between what they are learning and how it advances their personal and professional goals/interests
3
- Communicates the lesson goals and the content in a way that is accessible for every student at his/her level
- Uses formative assessments to effectively monitor student progress
- Provides effective opportunities for students to self-assess and correct their own errors
- Provides students with clear, specific, actionable, and timely feedback
- Creates opportunities for students to apply teacher and peer feedback to improve performance and accelerate learning
2
- Communicates the lesson goals and the content in a way that is accessible for most students
- Uses formative assessments to adequately monitor student progress
- Provides adequate opportunities for students to self-assess and correct their own errors
- Provides students with adequate feedback
1
- Communicates the lesson goals and the content in a way that is not accessible to most students
- Inadequately monitors student progress
- Provides inadequate opportunities for students to self-assess and correct their own errors
- Provides students with little or no feedback
4. PROVIDES MULTIPLE WAYS FOR STUDENTS TO MAKE MEANING OF CONTENT
Teacher:
Moves all students to deeper understanding of content through various techniques including
- a variety of explanations and multiple representations of concepts
- extended productive discussion
4
- effective questioning to support students' attainment of the learning goals
- making connections to other content across disciplines
- independently connecting lesson content to real-world application
Moves almost all students to deeper understanding of content through various techniques including
- a variety of explanations and multiple representations of concepts
- extended productive discussion
3
- effective questioning to support students' attainment of the learning goals
- making connections to other content across disciplines
- independently connecting lesson content to real-world application
Moves most students to deeper understanding of content through various techniques including
- a variety of explanations and multiple representations of concepts
- extended productive discussion
2
- effective questioning to support students' attainment of the learning goals
- making connections to other content across disciplines
- independently connecting lesson content to real-world application
Does not move or moves few students to deeper understanding of content through various techniques including
- a variety of explanations and multiple representations of concepts
- extended productive discussion
1
- effective questioning to support students' attainment of the learning goals
- making connections to other content across disciplines
- independently connecting lesson content to real-world application
Domain III: Culture and Learning Environment
Evidence includes classroom observations.
5. MANAGES A LEARNING-FOCUSED CLASSROOM COMMUNITY
Teacher:
- Creates effective routines and expectations for students to safely voice opinions and ask and answer questions
- Proactively monitors student behavior and redirects when necessary to maximize instructional time
4
- Provides effective collaborative learning opportunities whenever appropriate
- Ensures students take ownership of their work and are active participants in their learning
- Provides opportunities for students to take on academic leadership roles that promote learning
3
- Creates effective routines and expectations for students to safely voice opinions and ask and answer questions
- Proactively monitors student behavior and redirects when necessary to maximize instructional time
- Provides effective collaborative learning opportunities whenever appropriate
- Ensures all or almost all students are active participants in their learning
2
- Creates adequate routines and expectations for students to safely voice opinions and ask and answer questions
- Adequately monitors student behavior
1
- Provides adequate collaborative learning opportunities for students
- Ensures most students are active participants in their learning
- Creates inadequate and/or inconsistent routines and expectations for students to voice opinions and ask and answer questions
- Inadequately monitors student behavior
- Provides inadequate collaborative learning opportunities for students
- Ensures some or few students are active participants in their learning
6. MANAGES CLASSROOM SPACE, TIME, AND RESOURCES (INCLUDING TECHNOLOGY WHEN APPROPRIATE) EFFECTIVELY FOR STUDENT LEARNING
Teacher:
4
- Effectively maximizes use of physical space and resources (including technology whenever appropriate) in support of student learning
- Maximizes time such that students always have something meaningful to do
- Creates an environment where students execute transitions, routines, and procedures in an orderly and efficient manner with minimal direction or narration from the teacher
- Provides opportunities for students to share responsibility for leading classroom routines and/or procedures
3
- Effectively maximizes use of physical space and resources (including technology whenever appropriate) in support of student learning
- Maximizes time such that students always have something meaningful to do
- Creates an environment where students execute transitions, routines, and procedures in an orderly and efficient manner most of the time, though they may require some direction from the teacher
2
- Adequately uses physical space or resources (including technology whenever appropriate) in support of student learning
- Allows brief periods of time when students do not have something meaningful to do
- Creates an environment where students execute transitions, routines, and procedures in an orderly and efficient manner only some of the time and require substantial direction from the teacher
1
- Inadequately uses physical space or resources (including technology whenever appropriate) in support of student learning
- Allows significant periods of time when students do not have something meaningful to do
- Creates an environment where students do not execute transitions, routines, and procedures in an orderly and efficient manner
Domain III: Culture and Learning Environment
Evidence includes classroom observations.
7. Creates and Maintains a Classroom of Respect for All Students
Teacher:
- Communicates respectfully to all students
- Effectively fosters respectful relationships among all students
- Demonstrates a strong positive relationship with all students
- Fosters a classroom culture where students give unsolicited praise or encouragement to their peers
4
- Communicates respectfully to all students
- Effectively fosters respectful relationships among all students
- Demonstrates a strong positive relationship with all students
3
- Communicates respectfully to students with rare exceptions
- Fosters respectful relationships among some students but not others
- Demonstrates a strong positive relationship with some students but not others
2
- Often communicates disrespectfully with students
- Does not foster respectful relationships among students
- Does not demonstrate a strong positive relationship with students
1
Domain IV: Professional Responsibilities
Evidence may include lesson plans, classroom observations, and pre- and post-observation conferences.
8. Engages in Professional Learning
Teacher:
- Proactively seeks out and participates in professional learning activities
- Fully integrates knowledge gained in professional learning communities, collaboration with peers and leadership, and focused professional development
4
- Strengthens teaching practice based on observer feedback and other types of performance data
- Shares new information and lessons learned with colleagues
- Serves as a critical friend for colleagues, both providing and seeking meaningful feedback on instruction
3
- Proactively seeks out and participates in professional learning activities
- Fully integrates knowledge gained in professional learning communities, collaboration with peers and leadership, and focused professional development
- Strengthens teaching practice based on observer feedback and other types of performance data
- Shares new information and lessons learned with colleagues
2
- Participates in required professional learning activities
- Applies knowledge gained from professional learning but does not fully integrate the new information
- Applies some observer feedback to improve teaching practice
1
- Participates in required professional learning activities
- Does not apply knowledge gained from professional learning
- Applies little or no observer feedback to improve teaching practice
Domain IV: Professional Responsibilities
Evidence may include lesson plans, classroom observations, and pre- and post-observation conferences.
9. Establishes and Maintains Effective Communication with Families/Guardians
Teacher:
- Partners with families/guardians to coordinate learning between home and school
- Establishes mutual expectations for student learning with families/guardians
- Includes students and/or families/guardians in the planning of positive reinforcements for progress
- Partners with families/guardians to coordinate learning between home and school
- Establishes mutual expectations for student learning with families/guardians
- Communicates with families/guardians reactively concerning student academic progress and development, and outreach is mostly for intervention or corrective reasons
- Rarely or never communicates with families/guardians
Some of the language in this rubric was adapted from the TNTP Core Teaching Rubric.
Domain I: Shared Vision, School Culture and Family Engagement
1. Implements a shared vision
4. Fully develops and implements a schoolwide vision that is adopted and embraced by the school and community.
- Builds the capacity of the staff to ensure all instructional strategies and decisions support the vision.
- Documents processes that ensure all decision are aligned to and support the vision.
3. Implements a schoolwide vision that is adopted by some of the members of the school and community.
- Works with the leadership team to implement effective instructional strategies to achieve the vision.
- Makes decision aligned to and in support of the vision.
- Communicates vision to the school and community but implementation is not clearly evident.
- Adequately implements instructional strategies that align to the vision.
- Demonstrates some consideration of vision in decision-making.
2. Does not or ineffectively communicates and implements the vision.
- Makes little or no connection between instructional strategies and the vision.
- Makes decisions without consideration of the vision.
Examples of Evidence
- Documentation of vision and efforts to communicate vision are evident.
- Written values and beliefs reflecting high expectations for all students are publicly visional.
- School vision includes a focus on student academic achievement and the social, intellectual and emotional development.
- School vision is clearly articulated and understood by all staff.
- Documentation of decision-making processes is available that aligns to the vision.
- Alignment of school goals, instructional program and vision is visible.
Administrator Growth Rubric
Domains and Standards
The Administrator Growth Rubric has five domains and nineteen standards.
**DOMAIN I: SHARED VISION, SCHOOL CULTURE AND FAMILY ENGAGEMENT**
Administrators must be skilled in creating shared vision for the school, maintaining school culture and ensuring that there is family and community engagement within the school.
1. Implements a shared vision.
2. Maintains a supportive, secure and respectful learning environment.
3. Engages in courageous conversations about diversity.
4. Welcomes families and community members into the school.
**DOMAIN II: TEACHING AND LEARNING**
Administrators support staff and teachers with the development and implementation of strategies and focus on student learning needs, while tracking data for continuous improvement.
5. Supports the development and implementation of Mississippi standards-based lessons and unit plans.
6. Implements effective instructional strategies to meet learning needs.
7. Tracks student-level data to drive continuous improvement.
8. Uses disaggregated data to inform academic intervention.
**DOMAIN III: STAFF DEVELOPMENT**
Administrators build a learning environment with development of all staff within the school, which includes feedback, coaching, leadership opportunities and an effective leadership team.
9. Provides actionable feedback.
10. Coaches and implements learning structures.
11. Provides leadership opportunities.
12. Develops a highly effective leadership team.
**DOMAIN IV: STRATEGIC PLANNING AND SYSTEMS**
Administrators develop strategy plan and monitor progress toward goals within the plan, by managing professional time and aligning school resources to accomplish goals that are set.
13. Develops and implements a strategic goal.
14. Monitors progress toward goals.
15. Effectively manages professional time.
16. Aligns and manages the school’s resources.
**DOMAIN V: PERSONAL LEADERSHIP AND GROWTH**
Administrators should develop their own sets of goals and skills toward personal leadership and growth, that will enhance the school in which they lead and manage. Facing challenges and communicating with stakeholders and personnel are a must for leadership and growth.
17. Demonstrates self-awareness, reflection and on-going learning.
18. Demonstrates resiliency in face of challenge.
19. Communicate with stakeholders.
Administrator Performance Levels
An administrator’s practice on each standard will be evaluated in accordance with a four-level rating scale:
- **Level 4 Practice:** This administrator empowers staff and leadership team. This school leader is constantly building the leadership of his/her team – whether teachers or other leaders – so that the seeds of sustainable leadership are being planted. Effective practices are not just being employed, but there are systems in place to ensure that the best results are gotten reliably, time and time again. Level 4 practice goes above and beyond the expectations for an effective administrator.
- **Level 3 Practice:** This administrator practices and demonstrates effective leadership practices. If you are a parent, you’re delighted that your child is in the school of a leader with Level 3 practice because this leader gets positive results. An effective school leader builds and sustains a positive culture of high expectations. Level 3 practices are expected of all effective teachers.
- **Level 2 Practice:** The administrator practice represents attempted implementation of effective practices, but the results are inconsistent or limited. This is a high-potential leader who will likely produce strong results with effective support. This might be common for leaders in turn-around situations, or leaders in the first five years of practice. As leaders, we need to feel comfortable rating practice in this level – it’s not a stigma or a sign that the leader doesn’t have potential. This level just highlights that there is more work to do. High-quality feedback is essential in improving his/her practice.
- **Level 1 Practice:** This administrator should receive immediate and comprehensive professional learning and support(s) designed to address the identified area(s) for growth. A Level 1 administrator represents practice that is rarely effective. This suggests a serious concern for the school and school district.
Administrator Growth Rubric
Domain I: Shared Vision, School Culture and Family Engagement
1. Implements a shared vision.
4
- Fully develops and implements a schoolwide vision that is adopted and embraced by the school and community.
- Builds the capacity of the staff to ensure all instructional strategies and decisions support the vision.
- Documents processes that ensure all decisions are aligned to and support the vision.
3
- Implements a schoolwide vision that is adopted and embraced by some of the members of the school and community.
- Works with the leadership team to implement effective instructional strategies to achieve the vision.
- Makes decisions aligned to and in support of the vision.
2
- Communicates vision to the school and community but implementation is not clearly-evident.
- Adequately implements instructional strategies that align to the vision.
- Demonstrates some consideration of vision in decision-making.
1
- Does not effectively or ineffectively communicates and implements the vision.
- Makes little or no connection between instructional strategies and the vision.
- Make decisions without consideration of the vision.
Examples of Evidence:
- Documentation of the vision and efforts to communicate vision are evident.
- Written values and beliefs reflecting high expectations for all students are publicly visible.
- School vision includes a focus on student academic achievement and the social, intellectual and emotional development.
- School vision is clearly articulated and understood by all staff.
- Documentation of decision-making processes is available that aligns to the vision.
- Alignment of school goals, instructional programs and vision is visible.
2. Maintains a supportive, secure and respectful learning environment.
4
- Builds the capacity of the staff to support and enhance students’ social, intellectual and emotional development.
- Ensures each student is respected and valued through systems that foster strong connections among students and adults.
- Continually assesses systems and procedures to ensure the school environment is safe and secure.
3
- Works with the staff to support students’ social, intellectual and emotional development.
- Respects and values each student in the school and fosters strong connections among students and adults.
- Implements processes that ensure the school environment is safe and secure.
2
- Provides some support for support students’ social, intellectual and emotional development.
- Respects and values students but provides limited support to ensure meaningful connections between students and adults.
- Manages a school environment that is safe and secure.
1
- Provides minimal or inadequate support for students’ social, intellectual and emotional development.
- Provides no clear support to ensure that each student is respected and valued.
- Fails to ensure that the school environment is safe and secure.
Examples of Evidence:
- Schoolwide code of conduct aligned with district/school priorities is consistently implemented across all classrooms.
- Values and behaviors are referenced in daily school structures.
- The school’s culture encourages students to respect and value peers.
- Core components of social, emotional, intellectual and behavioral supports are in place to support student learning.
- School building is clean and safe; all basic facilities are in working order.
- Routines and procedures are discussed regularly and implemented with fidelity.
Domain I: Shared Vision, School Culture and Family Engagement
3. Engages in courageous conversations about diversity.
4. Publicly models beliefs in the potential of every student to achieve at high level; build expectations for students, staff and parents/guardians that success is possible for all students; challenges low expectations.
3. Builds the school’s collective capacity to engage in courageous conversations about diversity and culture, as well as how they may impact student learning.
2. Builds expectations for students, staff and parents/guardians that success is possible for all students; challenges low expectations.
1. Initiates courageous conversations about diversity and culture, as well as how they may impact student learning.
2. Sets expectation for students, staff and parents/guardians that success is possible for all students but may not consistently communicate expectation.
1. Reactively responds to courageous conversations about diversity and culture, as well as how they may impact student learning, but rarely initiates conversations demonstrates limited awareness of the impact of diversity on student learning.
1. Rarely demonstrates confidence in the potential of every student to achieve at high levels; does not create an environment that supports all students.
1. Avoids courageous conversations about diversity and culture; demonstrates limited or no awareness of the impact of diversity on student learning.
Examples of Evidence:
- The school is building the capacity of adults to support diverse student needs and diverse student groups through professional development.
- Adults and students monitor themselves and hold each other accountable for language, attitudes and behaviors that are racially or culturally offensive or uninformed.
- Staff participate in and lead learning experiences where they explore their personal assumptions and approaches to diversity.
- Community conversations about culture and diversity occur regularly.
4. Welcomes families and community members into the school.
4. Creates a schoolwide culture in which all families/guardians and community members are welcomed into the school and builds the capacity of the staff to do so, as well.
3. Shares the school’s vision for high student achievement with all visitors and builds the capacity of the staff to do so, as well.
2. Builds the capacity of the staff to welcome all families/guardians and community members into the school.
1. Shares the school’s vision for the high school’s vision for high student achievement with all visitors.
2. Welcomes all families/guardians and community members into the school but does not build the capacity of staff to do so.
1. Occasionally shares the school’s vision for high student achievement with visitors.
1. Rarely or inconsistently welcomes families/guardians or community member into the school.
1. Rarely shared the school’s vision for high school achievement with visitors.
Examples of Evidence:
- Families feel included and invested in the school.
- Families are given strategies and tools to support student learning outside the school day.
- Families have multiples ways to communicate with staff.
- Consistent communication between families and school is present.
- Communications from families and stakeholders are responded to appropriately and in a timely manner.
Domain II: Teaching and Learning
5. SUPPORTS THE DEVELOPMENT AND IMPLEMENTATION OF MISSISSIPPI STANDARDS-BASED LESSON PLANS AND UNIT PLANS.
4. Builds the capacity of staff to effectively develop and implement lesson and unit plans aligned to Mississippi state standards, curricula and assessments.
- Implements ongoing systems to review and improve lesson and unit plans based on student outcomes.
3. Leads staff in the development and implementation of lesson and unit plans aligned to Mississippi state standards, curricula and assessments.
- Oversees revisions to lesson and unit plans based on student outcomes.
2. Provides limited support to staff in the development and implementation of lesson and unit plans aligned to Mississippi state standards, curricula and assessments.
- Rarely ensures lesson or unit plans are revised based on student outcomes.
1. Provides no support to staff in the development and implementation of lesson and unit plans aligned to Mississippi state standards, curricula and assessments.
- Rarely ensures lesson or unit plans are revised on student outcomes.
Examples of Evidence:
- Systems ensure that lesson and unit plans align to the scope and sequence and prepare students to be on a college readiness track based on Mississippi standards.
- Instructional decisions throughout the year based on ongoing formative and summative assessments, instructional observations and various data analyses.
- Lesson Plans, unit plans and curricular materials demonstrate curriculum coordination and alignment to Mississippi College and Career Ready standards and Frameworks.
- Rigorous course content is accessible to all students.
- Throughout the school, classroom activities engage students in cognitively challenging work that is aligned to the Mississippi state standards.
- Instructional staff (teachers, coaches and administrators) have a broad repertoire of pedagogical approaches that are effectively incorporated into lesson plans.
6. IMPLEMENTS EFFECTIVE INSTRUCTIONAL STRATEGIES TO MEET STUDENT LEARNING NEEDS
4. Builds the capacity of staff to effectively implement a variety of rigorous instructional strategies and pedagogical methods that meet students' needs and drive students' learning.
- Builds the capacity of staff to effectively adapt instructional practices to ensure that all students master content.
3. Supports staff in implementing a variety of rigorous instructional strategies and pedagogical methods that meet students' needs and drive students' learning.
- Supports staff in effectively adapting instructional practices to ensure that all students master content.
- Provides no support to staff in the development and implementation of lesson and unit plans, aligned to Mississippi state standards, curricula and assessments.
2. Rarely ensures lesson and unit plans are revised based on student outcomes.
1. Rarely ensures instructional strategies meet students' needs and drive students' learning.
Examples of Evidence:
- Systems ensure that lesson and unit plans align to the scope and sequence and prepare students to be on a college readiness track based on Mississippi standards.
- Instructional decisions throughout the year based on ongoing formative and summative assessments, instructional observations and various data analyses.
- Lesson Plans, unit plans and curricular materials demonstrate curriculum coordination and alignment to Mississippi College and Career Ready standards and Frameworks.
- Rigorous course content is accessible to all students.
- Throughout the school, classroom activities engage students in cognitively challenging work that is aligned to the Mississippi state standards.
- Instructional staff (teachers, coaches and administrators) have a broad repertoire of pedagogical approaches that are effectively incorporated into lesson plans.
- Rarely or never adapts instructional practices to ensure all students master content.
Domain II: Teaching and Learning
7. TRACKS STUDENT-LEVEL DATA TO DRIVE CONTINUOUS IMPROVEMENT
4
- Creates systems for the consistent monitoring and collection of data to inform continuous improvement.
- Uses multiple sources of both quantitative and qualitative data to evaluate instruction, identify student outcome trends, prioritize needs and inform continuous improvement.
- Facilitates, supports and builds staff capacity to monitor progress toward student learning goals.
- Consistently monitors and collects data to inform continuous improvement.
- Uses multiple sources of data to evaluate instruction, identify student outcomes trends, prioritize needs and inform continuous improvement.
- Facilitates and supports staff in monitoring progress toward student learning goals.
3
- Provides limited monitoring and collection of data to inform continuous improvement.
- Uses limited forms of data to evaluate instruction, identify student outcome trends, prioritize needs and inform continuous improvement.
- Provides limited support to staff in monitoring progress toward student learning goals.
2
- Does not ensure consistent monitoring and collection of data to inform continuous improvement.
- Rarely uses data to evaluate instruction, identify student outcome trends, prioritize needs and inform continuous improvement.
- Does not support staff in monitoring progress toward student learning goals.
- Does not demonstrate a strong positive relationship with students.
Examples of Evidence:
- Instructional decision throughout the year are based on student outcome data.
- Student performance data are readily available and can be organized by cohort, grade, subject, sub-group, etc.
- Elementary students who are not yet proficient are identified and supported to ensure progress.
- Secondary student performance is closely monitored to ensure that the students remain “on track” to graduate in four years.
- Data are used and reviewed in every teacher team meeting to improve instruction, to determine differentiation and to drive re-teaching.
- Staff monitor student progress through frequent checks for understanding.
- Students receive rapid, data driven interventions matched to current needs.
- Intervention assignments and schedules are frequently updated to reflect students’ needs and progress.
8. USES DISAGGREGATED DATA TO INFORM ACADEMIC INTERVENTION
4
- Builds the capacity of staff to analyze disaggregated student-specific data to determine appropriate differentiation and academic intervention.
- Builds the capacity of staff to use data to make updates to the intervention plans for students or sub-groups not making progress.
3
- Leads staff in analyzing disaggregated student-specific data to determine appropriate differentiation and academic intervention.
- Leads staff in using data to make updates to the intervention plans for students or sub-groups not making progress.
2
- Provides limited support to staff in analyzing disaggregated student-specific data to determine appropriate differentiation and academic intervention.
- Provides limited support to staff in using data to make updates to the intervention plans for students or sub-groups not making progress.
1
- Provides no support to staff in analyzing disaggregated student-specific data to determine appropriate differentiation and academic intervention.
- Rarely or never supports staff in using data to make updates to the intervention plans for students or sub-groups not making progress.
Examples of Evidence:
- Instructional decision throughout the year are based on student outcome data.
- Student performance data are readily available and can be organized by cohort, grade, subject, sub-group, etc.
- Elementary students who are not yet proficient are identified and supported to ensure progress.
- Secondary student performance is closely monitored to ensure that the students remain “on track” to graduate in four years.
- Data are used and reviewed in every teacher team meeting to improve instruction, to determine differentiation and to drive re-teaching.
- Staff monitor student progress through frequent checks for understanding.
- Students receive rapid, data driven interventions matched to current needs.
- Intervention assignments and schedules are frequently updated to reflect students’ needs and progress.
Domain III: Staff Development
9. PROVIDES ACTIONABLE FEEDBACK
4. Provides ongoing, timely and individualized actionable feedback to staff based on evidence collected from observations; build the capacity of staff to use feedback as a tool for professional learning and growth.
Develops and implements a strong system to ensure feedback is incorporated into teacher practice.
Develops interrater reliability with the leadership team by co-observing and utilizing results to improve the quality of feedback.
3. Provides ongoing, timely and individualized actionable feedback to staff based on evidence collected from observations.
Implements a sufficient system to ensure feedback is incorporated into teacher practice.
Conducts co-observations with leadership team and utilizes results to improve the quality of feedback.
2. Provides feedback to staff based on evidence collected from observations, but feedback may be vague or not actionable.
Limited system in place to ensure feedback is incorporated into teacher practice.
Inconsistently conducts co-observations with leadership team that has limited feedback on the quality of feedback.
1. Provides limited, confusing feedback to teachers based on limited data.
No system in place to ensure feedback is incorporated into teacher practice.
No co-observations system in place; no value placed on reliability of classroom observations.
Examples of Evidence:
- Leadership team members conduct frequent observations and provide verbal and written feedback to staff on instructional practices with follow-up to ensure improvement.
- Evidence of teacher practice is gathered through classroom observations and in informal interactions with students, staff and families.
- Instructional feedback builds effective teacher practice and observable changes in teacher practice.
- Teachers are taught how to use variety of instructional strategies.
- Teacher-driven professional development focuses on student learning challenges, progress toward goals and information from teacher team meetings and peer visitations.
10. COACHES AND IMPLEMENTS LEARNING STRUCTURES
4. Develops, implements and facilitates effective professional learning opportunities and coaching.
Tailors professional learning to individual staff member’s growth needs.
3. Facilitates or provides effective professional learning opportunities and coaching.
Provides some differentiated professional learning to meet individual staff member’s growth needs.
2. Facilitates or provides limited professional learning opportunities.
Provides undifferentiated professional learning to staff members.
1. Does not facilitates or provide regular or appropriate professional learning opportunities for staff.
Does not provide professional learning to staff members.
Examples of Evidence:
- Leadership team members conduct frequent observations and provide verbal and written feedback to staff on instructional practices with follow-up to ensure improvement.
- Evidence of teacher practice is gathered through classroom observations and in informal interactions with students, staff and families.
- Instructional feedback builds effective teacher practice and observable changes in teacher practice.
- Teachers are taught how to use variety of instructional strategies.
- Teacher-driven professional development focuses on student learning challenges, progress toward goals and information from teacher team meetings and peer visitations.
Domain III: Staff Development
11 PROVIDES LEADERSHIP OPPORTUNITIES
4 • Identifies effective teachers and actively and consistently provides them with meaningful leadership opportunities.
• Mentors and supports the development of teacher leaders and leadership team members.
• Communicates a clear leadership trajectory to those teachers with the most leadership potential.
3 • Identifies effective teachers and provides them with meaningful leadership opportunities.
• Supports the development of teacher leaders and leadership team members.
• Supports leadership advancement for teachers with the most leadership potential but does not communicate a clear trajectory.
2 • Provides leadership opportunities to teachers who express interest.
• Inconsistently supports the development of teacher leaders and leadership team members.
• Provides leadership advancement information to those who request it.
1 • Rarely provides leadership opportunities to teachers.
• Does not support the development of teacher leaders and leadership team members.
• Does not communicate a leadership trajectory for any teachers.
Examples of Evidence:
• Multiple staff members serve as instructional leaders in the school.
• Staff members proactively assume leadership roles.
• Teacher leaders are utilized as teacher mentors and instructional coaches in the school.
• Teacher leaders and leadership team are offered professional learning opportunities to strengthen leadership skills.
• Teacher leaders and leadership team facilitate professional development in the school.
• Teacher leaders are provided with leadership opportunities that allow them to remain in the classroom.
• Leadership team focuses on student learning to target key instructional needs.
• Leadership team consistently models and enforces schoolwide philosophy, core values and professional responsibility.
• Leadership team is comprised of highly skilled staff who are engaged in instructional leadership.
12 DEVELOPS A HIGHLY EFFECTIVE LEADERSHIP TEAM
4 • Establishes an effective leadership team (potentially including multiple teams with unique purposes) and builds team’s capacity to focus on student learning.
• Builds the capacity of the team to oversee complex projects, lead teacher teams and conduct teacher observations.
3 • Establishes an effective leadership team (potentially including multiple teams with unique purposes) with a focus on student learning.
• Provides support for leadership team to lead teacher teams and conduct teacher observations.
2 • Establishes a leadership team with a limited focus on student learning.
• Provides limited support to the leadership team.
1 • Establishes an ineffective leadership team with little or no focus on student learning.
• Rarely or never provides support to the leadership team.
Examples of Evidence:
• Multiple staff members serve as instructional leaders in the school.
• Staff members proactively assume leadership roles.
• Teacher leaders are utilized as teacher mentors and instructional coaches in the school.
• Teacher leaders and leadership team are offered professional learning opportunities to strengthen leadership skills.
• Teacher leaders and leadership team facilitate professional development in the school.
• Teacher leaders are provided with leadership opportunities that allow them to remain in the classroom.
• Leadership team focuses on student learning to target key instructional needs.
• Leadership team consistently models and enforces schoolwide philosophy, core values and professional responsibility.
• Leadership team is comprised of highly skilled staff who are engaged in instructional leadership.
Domain IV: Strategic Planning and Systems
13. Develops and Implements a Strategic Plan
4. Engages staff and school-level stakeholders in developing and implementing a detailed strategic plan that describes milestones.
Includes staff capacity building to implement strategies for rigorous classroom content and effective instructional practices to support students in achieving the learning targets.
3. Develops and implements a strategic plan that describes milestones.
Includes effective strategies for implementing rigorous classroom content and effective instructional practices to support students in achieving the learning targets.
2. Drafts a strategic plan that identifies milestones, but implementation is inconsistent.
Includes some strategies for effective instruction to support students in working toward learning targets.
1. No strategic plan developed; rarely formalizes strategies or plans to reach school priorities or goals.
Includes minimal or no strategies for effective instruction to support students in working toward learning goals.
Examples of Evidence:
- Protocols and processes to diagnose the current state of the school (including review of data, school practices and instructional practices) are clear and transparent to all staff.
- Evidence of Plan – Do – Study/Check – Act Cycles.
- Each grade and each sub-group have specific student outcome targets, clear milestones and benchmarks to track student outcomes and school practice implementation.
- Strategic plan priorities are public; stakeholders share a common understanding of short- and long-term milestones and goals.
- Teacher leaders and members of the leadership team focus on weekly discussions on student learning outcomes.
- Leadership team creates short- and medium-term action plans to address on-going areas of concern and celebrates areas of success on developing the whole child.
14. Monitors Progress Toward Goals
4. Develops and effectively implements a clear plan to conduct on-going, documented monitoring of the progress toward achieving goals identified as part of the strategic process.
Utilizes progress monitoring results to continually improve activities.
3. Develops and effectively implements a plan to monitor progress toward achieving goals identified as part of the strategic process, but no documented process is in place to ensure monitoring is ongoing.
Utilizes progress monitoring results to improve activities, but no clear process is in place to ensure continuous improvement occurs.
2. Some evidence of monitoring progress toward goals is present, but monitoring is inconsistent.
Limited/inconsistent utilization of progress monitoring results to improve activities.
1. Minimal or no monitoring of progress toward achieving goals identified as part of the strategic planning process.
Minimal or no evidence that progress monitoring results are utilized to improve activities.
Examples of Evidence:
- Protocols and processes to diagnose the current state of the school (including review of data, school practices and instructional practices) are clear and transparent to all staff.
- Evidence of Plan – Do – Study/Check – Act Cycles.
- Each grade and each sub-group have specific student outcome targets, clear milestones and benchmarks to track student outcomes and school practice implementation.
- Strategic plan priorities are public; stakeholders share a common understanding of short- and long-term milestones and goals.
- Teacher leaders and members of the leadership team focus on weekly discussions on student learning outcomes.
- Leadership team creates short- and medium-term action plans to address on-going areas of concern and celebrates areas of success on developing the whole child.
Domain IV: Strategic Planning and Systems
15. Effectively Manages Professional Time
4 • Strategically plans daily schedule to address instructional leadership priorities supporting the on-going development of teacher quality, effective staff collaboration, data analysis and other schoolwide priorities.
3 • Maintains a daily schedule to address instructional leadership priorities supporting the on-going development of teacher quality, effective staff collaboration, data analysis and other schoolwide priorities.
2 • Schedules time daily to address instructional leadership priorities but blocks of time are used ineffectively.
1 • Rarely plans own time in advance; neglects to protect time for instructional leadership priorities.
Examples of Evidence:
• School calendar of professional development, interim assessments and re-teaching is in place.
• Daily/weekly schedules create adequate time for all student interventions and staff development and are flexible enough to adjust to new priorities and needs.
• Keeps a persona/professional calendar.
• Finances and other resources are aligned with strategic priorities.
• External partners are identified and accessed to supplement available resources.
16. Aligns and Manages School’s Resources
4 • Maximizes school and district resources; actively seeks external resources that align with strategic priorities.
3 • Allocates resources in alignment with school priorities; seeks external resources that align with strategic priorities.
2 • Allocated resources based on priorities; leverages external resources when available.
1 • Allocated resources to initiatives that do not align with the school goals; does not seek external resources.
Examples of Evidence:
• School calendar of professional development, interim assessments and re-teaching is in place.
• Daily/weekly schedules create adequate time for all student interventions and staff development and are flexible enough to adjust to new priorities and needs.
• Keeps a persona/professional calendar.
• Finances and other resources are aligned with strategic priorities.
• External partners are identified and accessed to supplement available resources.
Domain V: Personal Leadership and Growth
17. Demonstrates Self-Awareness, Reflection and On-Going Learning
4
- Consistently seeks feedback on their own practice, self-reflects and adapts their leadership practice; build the capacity of staff to do so, as well.
- Engages in multiple learning opportunities aligned with staff needs.
- Accepts personal responsibility for mistakes and uses them, as learning opportunities; build the capacity of staff to do so.
3
- Proactively seeks feedback, self-reflects and adapts their leadership practice.
- Engages in learning opportunities aligned with staff needs.
- Accepts personal responsibility for mistakes and uses them, as learning opportunities.
2
- Demonstrates a non-defensive attitude in receiving feedback from staff members and makes minor adjustments to worn leadership practice.
- Seeks some learning opportunities aligned with student needs.
- Accepts some responsibility for mistakes but are not used for learning opportunities.
1
- Unwilling to accept feedback and adjust leadership practice.
- Rarely or never seeks learning opportunities aligned with student needs.
Examples of Evidence:
- Message about goals does not change in moments of challenge or adversity.
- Shares personal failures and the lessons learned from them.
- Continuously reflects on performance, seeks feedback and actively pursues opportunities to improve personal and school leadership.
- Takes initiative and remains solutions-oriented at all times to move the work of the school forward.
- Staff is aware of and can share missteps, mistakes, tactics that were unsuccessful and how they were used as learning opportunities.
18. Demonstrates Resiliency in the Face of Challenge
4
- Models and builds the capacity of staff to maintain the focus on conversations and initiatives on improving student achievement and finding solutions despite adversity.
- Actively identifies solutions and remains focused when faced with setbacks.
- Capitalizes on challenges as opportunities to grow and develop themselves and their staff; communicates the opportunity clearly.
3
- Encourages staff to focus on conversations and initiatives on improving student achievement and finding solutions despite adversity.
- Identifies solutions when faced with setbacks.
- Supports staff growth and development in the face of challenges.
2
- Demonstrates personal belief in the potential for improving student achievement but may struggle when faced with adversity; does not encourage staff to focus on student achievement despite adversity.
- Attempts to remain solutions oriented.
- Provides some support to staff to grow in the face of challenges.
1
- Easily loses focus on improving student achievement.
- Rarely remains solution-oriented.
- Reacts with visible frustration to challenges and setbacks; fails to respond to challenges as they arise.
Examples of Evidence:
- Message about goals does not change in moments of challenge or adversity.
- Shares personal failures and the lessons learned from them.
- Continuously reflects on performance, seeks feedback and actively pursues opportunities to improve personal and school leadership.
- Takes initiative and remains solutions-oriented at all times to move the work of the school forward.
- Staff is aware of and can share missteps, mistakes, tactics that were unsuccessful and how they were used as learning opportunities.
Domain V: Personal Leadership and Growth
19. COMMUNICATES WITH STAKEHOLDERS
4
- Implements effective two-way communication structures with district leadership and all stakeholders.
- Engages stakeholders in focused conversations about school goals and values.
- Builds the capacity of staff to effectively lead and participate in conversations about professional practice/student learning and to tailor messages to the intended audience.
3
- Engages in two-way communication with all stakeholders.
- Communicates with stakeholders about school goals and values.
- Supports staff to effectively leading and participating in conversations about professional practice/student learning and to tailoring messages to the intended audience.
2
- Inconsistently engages in two-way communication with stakeholders, or communication is one-way.
- Inconsistently communicates with stakeholders about school goals and values.
- Supports staff in engaging conversations about professional practice and student learning.
1
- Rarely or never engages stakeholders in meaningful conversations about the school.
- Rarely or never communicates with stakeholders about school goals and values.
- Rarely or never supports staff in engaging conversations about professional practice and student learning.
Examples of Evidence:
- School staff development plan addresses difficult conversations to improve and enhance student learning.
- Administrator reacts to difficult moments or feedback in calm and positive ways.
- Differentiates communication style and has demonstrated a positive and appropriate rapport with students, staff, families and community members.
- Systems, processes and structure are in place to share the current state of the school and solicit feedback.
- Leadership team participated in professional development to learn and practice active listening skills.
|
Contribution à la robustesse des traitements fongiques et enzymatiques de contaminants organiques persistants dans des matrices environnementales complexes
Thèse de doctorat
Spécialité : Génie civil
Arielle Farida ARISTE
Sherbrooke (Québec) Canada
Novembre 2020
MEMBRES DU JURY
Professeur
Hubert CABANA
Directeur de recherche
Département de génie civil et génie du bâtiment
Professeur
Jean-Philippe BELLENGER
Évaluateur
Département de chimie
Professeure
Satinder KAUR BRAR
Évaluatrice
York University
Professeur
Spiros AGATHOS
Évaluateur
Université catholique de Louvain
RÉSUMÉ
Les effluents industriels et domestiques représentent les principales sources de contamination des milieux aquatiques par une variété de substances organiques persistantes. L’élimination de ces substances dans les eaux usées relève d’un défi technologique qui nécessite l’adaptation ou l’amélioration des systèmes de traitement conventionnels des eaux actuelles. Les approches de mycoremédiation exploitant les champignons responsables de la pourriture blanche du bois (WRFs) et celles de biocatalyse enzymatique utilisant des enzymes fongiques isolées constituent des méthodes versatiles et durables pour le traitement de ces matrices complexes. Malgré leur efficacité, ces techniques souffrent d’un manque de robustesse qui freine leur usage à l’échelle industrielle. En effet, la majorité des études concernant leur utilisation ont été réalisées à l’échelle du laboratoire dans des conditions optimales contrôlées et peu représentatives des matrices complexes ainsi que des concentrations ciblées. L’exploitation de ces technologies présente un défi pour la communauté scientifique. Ce projet de recherche vise à mettre en place, et à évaluer des stratégies contribuant à l’amélioration de la robustesse des traitements fongiques et enzymatiques.
Les travaux développés dans ce document ont porté sur deux aspects : 1 – la mise en place de stratégies de sélection de souches fongiques dans un effluent industriel de bioraffinerie riche en composés phénoliques. 2 – l’évaluation d’une méthode pour la stabilisation d’un extrait brut de laccase pour l’élimination de contaminants dans les effluents municipaux.
Le choix était basé sur l’aptitude de sept souches de champignons à éliminer les phénols totaux de l’effluent, ainsi que sur leur capacité à sécréter la laccase. Les deux stratégies employées (l’une utilisant du glucose et l’autre des copeaux de bois comme cosubstrat pour la croissance des souches) ont permis d’identifier *P. dryinus* et *T. hirsuta*. Ces deux souches ont permis d’éliminer les phénols totaux de l’effluent à des taux supérieurs à 94 %, avec les deux stratégies testées. De plus, sur les sept souches étudiées, seules *P. dryinus* et *T. hirsuta* ont produit la laccase. Ces résultats établissent la possibilité d’exploiter *P. dryinus* et *T. hirsuta* pour le prétraitement de l’effluent issu de la valorisation industrielle des bois traités en fin de vie. Cette conclusion ouvre la voie au développement de procédés de mycoremédiation durables. Cette expérience suggère également que la valorisation des déchets lignocellulosiques peut se révéler
une alternative économique pour la mise en place d’une telle approche de traitement. En effet, l’utilisation des copeaux de bois comme cosubstrat a démontré une meilleure efficacité en ce qui concerne la production de la laccase (une enzyme au fort potentiel biotechnologique). Cependant, une pareille approche nécessite encore d’être optimisée.
L’insolubilisation reste un des moyens les plus efficaces pour la stabilisation et l’utilisation des enzymes isolées dans des bioprocédés opérant en continu. La laccase brute insolubilisée sous forme de CLEAs (cross-linked enzyme aggregates) demeure une méthode prometteuse pour des applications environnementales. Pourtant, la transition de cette technologie vers des applications industrielles est limitée par sa faible résistance mécanique. Cette thèse a permis de confirmer, la possibilité d’employer la méthode EPES (enzyme polymer engineered structure) pour la stabilisation d’un extrait brut de laccase de *T. hirsuta*. La caractérisation des EPES-CLEAs formés a démontré une nette augmentation de la stabilité des CLEAs dans différentes conditions dénaturantes. De plus, les résultats ont démontré une meilleure recyclabilité et une préservation de l’efficacité du biocatalyseur dans un effluent municipal.
En somme, ces travaux apportent de nouvelles connaissances sur l’amélioration des procédés de mycoremédiation et de biocatalyse enzymatique des contaminants organiques persistants dans des matrices complexes. Ils démontrent en particulier l’intérêt de caractériser ces technologies novatrices dans les conditions typiques de l’environnement afin d’augmenter la robustesse des procédés.
**Mots clés :** Contaminants organiques persistants, Eaux usées, Mycoremédiation, Enzymes immobilisées, Agrégats d’enzyme réticulée, Laccase, Stabilisation.
DÉDICACE
À ma mère, Delphine ARISTE.
À Louisa, Noah, Inès, Adèle et Nolan ARISTE.
REMERCIEMENTS
Je remercie, le professeur Hubert CABANA pour m’avoir permis d’intégrer son laboratoire et son équipe de recherche. Merci grandement pour votre implication, votre disponibilité, et pour l’encadrement et l’accompagnement dont j’ai pu bénéficier tout au long de ces années. Merci également pour votre soutien, votre bienveillance et votre humanité.
Merci au professeur Jean Philippe BELLENGER de la faculté de sciences pour m’avoir ouvert les portes de son laboratoire et de faire partie du jury d’évaluation de ma thèse.
Je tiens à exprimer ma profonde reconnaissance aux professeur(e)s Satinder KAUR BRAR et Spiros AGATHOS. Merci pour l’honneur que vous me faites en acceptant d’évaluer mon travail.
Je tiens à témoigner toute ma gratitude à Olivier SAVARY (coordinateur du laboratoire de génie de l’environnement), pour sa disponibilité. Je ne saurais te remercier Olivier sans mentionner tes petits bouts et particulièrement « mon petit clown ». Merci pour ces partages qui m’ont apporté un peu de bonheur loin des miens.
Merci au docteur Lounès HAROUNE. Merci pour tout le temps que tu m’as accordé. Merci pour tes conseils.
Merci à mes collaborateurs en particulier le docteur Ramon BATISTA-GARCIA et son équipe du Mexique.
Merci à tous mes collègues étudiants (Lorène, Gulten, Rania, Zeltzin, Vasanth, Sabrina, Komla, Élodie…) et à tous les stagiaires du laboratoire de génie de l’environnement et de l’UDES avec qui j’ai eu à échanger. Merci à tous pour vos partages, votre disponibilité et votre amitié.
Un grand merci à ma FAMILLE, à DD et à tous mes Ami(es) pour tout le soutien qu’ils m’ont apporté.
Enfin, je remercie le FRQNT et le CRSNG pour le financement de ce projet.
# TABLE DES MATIÈRES
RÉSUMÉ .......................................................................................................................... I
DÉDICACE ..................................................................................................................... III
REMERCIEMENTS ........................................................................................................ IV
TABLE DES MATIÈRES ................................................................................................. V
LISTE DES FIGURES ................................................................................................... VIII
LISTE DES TABLEAUX ............................................................................................... XI
LISTE DES ACRONYMES .......................................................................................... XIII
Chapitre 1 - Introduction générale .............................................................................. 1
1.1 Mise en contexte .................................................................................................... 1
1.2 Problématique et questions de recherche ............................................................ 4
1.3 Objectifs du projet ................................................................................................ 5
1.4 Structure de la thèse ............................................................................................. 6
Chapitre 2 - État de l’art ............................................................................................... 7
2.1 Problématique des contaminants organiques d’intérêt dans l’environnement .... 7
2.2 Mycoremédiation des contaminants dans l’eau .................................................. 11
2.2.1 Mécanismes d’élimination et efficacité des WRFs ..................................... 11
2.2.2 Limitations de la mycoremédiation ............................................................. 13
2.2.3 Les enzymes fongiques d’intérêt en bioremédiation ............................... 15
2.3 Les laccases fongiques .......................................................................................... 16
2.3.1 Mécanisme catalytique et production ....................................................... 16
2.3.2 Versatilité de la laccase ............................................................................. 19
2.4 Immobilisation des enzymes ............................................................................... 20
2.5 Les agrégats de laccases réticulées ..................................................................... 23
2.6 Stratégies d’amélioration de la stabilité et de la recyclabilité des CLEAs .......... 25
2.7 Synthèse ................................................................................................................ 27
Chapitre 3 - Application des lac-CLEAs pour la bioremédiation des PPhAs dans l’eau : Efficacité et défis à relever ................................................................. 29
3.1 Avant-propos ....................................................................................................... 29
3.2 Introduction ......................................................................................................... 30
3.3 Cross-linked enzyme aggregate technology .......................................................... 33
3.4 Determining the conditions for laccase aggregation and cross-linking .................. 34
3.5 Lac-CLEAs in bioremediation: promises, efficiency, and drawbacks ..................... 36
3.6 Enhancement of lac-CLEA stability for bioremediation applications .................... 42
3.7 Continuous reactors designed for lac-CLEA-based bioremediation ...................... 46
3.8 Conclusions ........................................................................................................... 49
Chapitre 4 - Prétraitement fongique d’un effluent industriel de bioraffinerie et évaluation concomitante de la production de laccase ......................................................... 51
4.1 Avant-propos ........................................................................................................ 51
4.2 Introduction ......................................................................................................... 53
4.3 Materials and methods ....................................................................................... 55
4.3.1 Characterization of the biorefinery wastewater ........................................... 55
4.3.2 Fungal inoculation in biorefinery wastewater ............................................. 57
4.3.3 Mycoremediation of the biorefinery wastewater ....................................... 58
4.3.4 Cost Estimate of laccase production from biorefinery wastewater mycoremediation ................................................................. 59
4.3.5 Statistical analysis ....................................................................................... 61
4.4 Results and discussion ....................................................................................... 61
4.4.1 Initial characteristics of biorefinery wastewater ........................................ 61
4.4.2 Fungal growth in biorefinery wastewater .................................................. 64
4.4.3 Fungal screening based on biorefinery wastewater dephenolization .......... 66
4.4.4 Mycoremediation of organic and inorganic compounds from biorefinery wastewater ................................................................. 68
4.4.5 Economic assessment of laccase production ............................................ 72
4.5 Conclusion .......................................................................................................... 77
Chapitre 5 - Évaluation d’une stratégie d’amélioration de la stabilité des lac-CLEAs 79
5.1 Avant-propos ........................................................................................................ 79
5.2 Introduction ......................................................................................................... 81
5.3 Material and methods ....................................................................................... 83
5.3.1 Chemicals and reagents ............................................................................. 83
5.3.2 Biocatalyst preparation ................................................................. 83
5.3.3 Characterization of the biocatalysts........................................... 85
5.3.4 Organic contaminant removal .................................................... 88
5.3.5 Organic contaminants analysis .................................................. 89
5.4 Results and discussion .................................................................. 89
5.4.1 Laccase insolubilization ............................................................. 89
5.4.2 Biocatalyst characterization...................................................... 90
5.4.3 Batch elimination of organic contaminants from aqueous solutions 99
5.5 Conclusion ....................................................................................... 103
Chapitre 6 - Estimation des coûts de production des EPS-CLEAs .............. 105
6.1 Méthodologie ............................................................................... 105
6.2 Coûts de production des biocatalyseurs ........................................ 111
Chapitre 7 - Conclusion générale et perspectives ..................................... 115
7.1 Mycoremédiation d’un effluent industriel ...................................... 115
7.2 Stabilisation des lac-CLEAs par la méthode EPES ......................... 116
ANNEXES ............................................................................................... 119
Annexe 1 : Informations supplémentaires - chapitre 4 .......................... 119
Appendix A : Mycoremediation of phenols and polycyclic aromatic hydrocarbons from a biorefinery wastewater and concomitant production of lignin modifying enzymes .... 119
Annexe 2 : Informations supplémentaires - chapitre 5 .......................... 121
Appendices : Size-increasing Strategy to Enhance Cross-linking Enzyme Aggregate Stability: A Step Forward in Laccase Exploitation in Bioremediation Processes. ...... 121
RÉFÉRENCES .......................................................................................... 130
LISTE DES FIGURES
Figure 2-1. Nombre de publications par an entre 2000 et 2019 sur les contaminants émergents. Analyse bibliométrique réalisée à partir de la base de données Scopus (mots clés utilisés : emerging contaminants, contaminants of emerging concern, pollutants of emerging concern, emerging organic contaminanats, emerging organic pollutants, emerging environmental concern contaminants, emerging environemental concern pollutants (extrait de [49]). ...........................................9
Figure 2-2. Schéma des principaux mécanismes fongiques impliqués dans l’élimination des contaminants (extrait de [76]).................................................................12
Figure 2-3. Représentation schématique du cycle catalytique d’oxydation d’un substrat phénolique par la laccase (extraite de [104]). .......................................................17
Figure 2-4. Représentation schématique du système enzyme-médiateur. .............................................19
Figure 2-5. Représentation schématique des deux principales méthodes physiques (adsorption et encapsulation) et chimiques (fixation sur support par liaison covalente et réticulation) d’immobilisation et d’insolubilisation des enzymes. (illustration extraite de [128]). ..............21
Figure 2-6. Étapes de réticulation de la laccase par le chitosane et l’EDAC (adapté de [142]). ..................................................................................................................................................................................24
Fig. 3-1. Schematic representation of Cross-Linked Enzyme Aggregate preparation. ....................33
Fig. 3-2. Schematic reactor configurations for enzymes. Batch operation reactors: A) stirred tank; B) recirculation stirred tank. Continuous operation reactors: C) stirred tank; D) stirred tank membrane; E) packed bed; F) fluidized bed. (Adapted from [176]). ........................................46
Fig. 3-3. Experimental setup of the perfusion basket reactor (adapted from [166]). ......................47
Fig. 3-4. Experimental setup of the hybrid membrane bioreactor (adapted from [164]). ..........48
Fig. 4-1. Total phenol removal from the BRW by the studied strains (A: Strategy 1 and B: Strategy 2). Values plotted are the means and the error bars represent the standard deviation of triplicate assays.................................................................................................................................67
Fig. 4-2. Phenolic compounds and polycyclic aromatic hydrocarbons (PAHs) removal from BRW after mycoremediation treatment (A and A’: represent respectively P. dryinus and T. hirsuta for Strategy 1, and B and B’ represent respectively P. dryinus and T. hirsuta for Strategy 2). Values plotted are the means and the error bars represent the standard deviation of triplicate assays.................................................................................................................................69
Fig. 4-3. Metal concentrations in the BRW before and after fungal treatments (A: Strategy 1 and B: Strategy 2). Values plotted are the means and the error bars represent the standard deviation of triplicate assays.
Fig. 4-4. Time course of laccase activity during mycoremediation of the biorefinery wastewater (A: Strategy 1 and B: Strategy 2). Values plotted are the means and the error bars represent the standard deviation of triplicate assays.
Fig. 5-1. Laccase activity profile as a function of pH after a 24-h incubation at 20°C. Each value plotted represents the means of the triplicate sample with the error bars representing the standard deviation.
Fig. 5-2. Laccase activity profile as a function of temperature after 24 h of incubation in sodium phosphate monobasic/sodium phosphate dibasic 0.1 M buffer at pH 7. Each value plotted represents the means of the triplicate sample with the error bars representing the standard deviation.
Fig. 5-3. Residual laccase activity after 24 h of incubation at 20°C for free-LAC, CLEAs and EPES-CLEAs in the presence of denaturing agents in sodium phosphate monobasic/sodium phosphate dibasic 0.1 M buffer at pH 7. Each value represents the means of the triplicate sample with the error bars representing the standard deviation.
Fig. 5-4. Size distributions of CLEAs and EPES-CLEAs.
Fig. 5-5. Residual activity for CLEAs and EPES-CLEAs during five recycles with ABTS as the substrate in sodium phosphate monobasic/sodium phosphate dibasic 0.1 M buffer at pH 7 at 20°C. The values represent the means of the triplicate sample with the error bars representing the standard deviation.
Fig. 5-6. Time course residual laccase activity (Fig. 5-6a) and acetaminophen removal (Fig. 5-6b) from sodium phosphate monobasic/sodium phosphate dibasic 0.1 M buffer at pH 7 and 20°C by free-LAC, CLEAs and EPES-CLEAs. Cannabidiol (CBD) elimination in sodium phosphate monobasic/sodium phosphate dibasic 0.1 M buffer at pH 7 (PBS) and evaluation of the presence of acetaminophen (ACT) on CBD elimination from PBS (Fig. 5-6c). CBD elimination in non-buffered municipal wastewater effluent (WW) and evaluation of the presence of acetaminophen (ACT) on CBD elimination from WW (Fig. 5-6d). All free-LAC, CLEAs and EPES-CLEAs were used for 8 h of treatment at 20°C for CBD removal. Each value represents the means of the triplicate sample with the error bars representing the standard deviation.
Figure 6-1. Schéma simplifié de l’unité de production .......................................................... 105
Figure 6-2. Répartition des CTP de free-LAC (A), CLEAs (B) et EPES-CLEAs (C) .............. 111
Figure 6-3. Répartition des CDP de CLEAs (B) et EPES-CLEAs (C). ........................................... 112
LISTE DES TABLEAUX
Tableau 2-1. Ordre de grandeur des concentrations en ng L$^{-1}$ de PPhAs dans les milieux aquatiques ................................................................. 10
Tableau 2-2. Caractéristiques majeures des principaux enzymes extracellulaires d’intérêt [11,91,92] ........................................................................................................... 15
Table 3-1. Lac-CLEA preparation and efficiency from contaminant bioremediation from waste streams .................................................................................................................. 38
Table 3-2. Developed strategies for the improvement of catalytic properties as well as the stability of lac-CLEAs ........................................................................................................... 44
Table 4-1. The physicochemical parameters and concentrations of selected phenols [pentachlorophenol (PCP) and 2,3,4,6-tetrachlorophénol (TCP)], and polycyclic aromatic hydrocarbons (PAHs) [benzo(a)anthracene (BAA), phenanthrene (PHE), fluoranthene (FLU) and pyrene (PYR)]. Cs represents the aqueous solubility at 25 degrees Celsius and Log Kow, the octanol-water partition coefficient .................................................................................................................. 63
Table 4-2. Laccase (LAC); lignin peroxidase (LIP); aryl alcohol oxidase (AAO) maximum activity detected in the BRW .................................................................................................................. 65
Table 4-3. Cost analysis of one cycle of laccase (LAC) production (18 Liters) under different cultivation conditions using biorefinery wastewater (BRW). The cost of culture medium ($C_{CM}$), total equipment costs ($C_{EQ}$), total operating costs ($C_{OP}$) and the final costs are given in Canadian dollars, CAD ($) for 2018-2019. .................................................................................................................. 73
Table 4-4. A comparative view of LAC production profiles using different wastewater as a growth substrate .................................................................................................................. 76
Tableau 5-1. CLEA and EPES-CLEA insolubilization performances .................................................................................................................. 90
Tableau 5-2. Michaelis-Menten kinetic constants of free-LAC, CLEAs and EPES-CLEAs. Value represents the means of triplicate standard ± deviation obtained from ABTS oxidation at pH 3 and 20°C. .................................................................................................................. 96
Tableau 6-1. Ratio (%) des facteurs de Lang pour une usine de traitement des fluides. .................................................................................................................. 107
Tableau 6-2. Prix et caractéristiques des équipements considérés .................................................................................................................. 107
Tableau 6-3. Investissement en capital de l’installation .................................................................................................................. 108
Tableau 6-4. Méthode d’estimation des charges fixes. .................................................................................................................. 108
Tableau 6-5. Charges fixes de l’installation. .................................................................109
Tableau 6-6. Considérations pour l’estimation des coûts de production. ..................109
Tableau 6-7. Paramètres et considérations pour l’estimation des OPEX.....................110
Tableau 6-8. OPEX et coûts totaux de production des biocatalyseurs étudiés. ...........110
Tableau 6-9. Considérations et résultats d’estimation des coûts du traitement............113
LISTE DES ACRONYMES
ABTS : 2,2’-azino-bis-(3-éthylbenzothiazoline-6-sulfonic acid
AINS : anti-inflammatoires non stéroïdiens
APTES : 3-aminopropyltriethoxysilane
CHI : chitosane
CLEAs : cross-linked enzymes aggregates
CLECs : cross-linked crystallized enzymes
CLEs : cross-linked enzymes
CLSD : cross-linked spray dried enzymes
DCO : demande chimique en oxygène
EDAC : éthyl-3-(3-diméthylamino-isopropyl) carbodiimide
EPES : enzyme polymer engineered structure
GLU : glutaraldéhyde
HAPs : hydrocarbures aromatiques polycycliques
HOBt : hydroxybenzotriazole
PPhAs : produits pharmaceutiques actifs
SA : sulfate d’ammonium
SENs : single enzyme nanoparticules
STEPS : stations d’épuration
TrOCs : contaminants organiques traces
WRFs : white rot fungus
Chapitre 1 - Introduction générale
1.1 Mise en contexte
Les effluents issus des activités anthropiques (effluents municipaux et industriels) demeurent la principale voie d’entrée de contaminants organiques persistants (ex. : produits pharmaceutiques actifs (PPhAs), hydrocarbures aromatiques polycycliques (HAPs), chlorophénols) dans l’environnement [1]. L’impact de ces substances sur la santé humaine et les écosystèmes n’est plus matière à discussion [2,3]. L’élimination de ces contaminants des eaux usées représente un défi technologique, avec un réel besoin de moderniser les dispositifs de traitement conventionnels actuels. Plusieurs techniques ont été proposées (ex. : les techniques d’oxydation avancée, les méthodes physiques de filtration, les procédés de bioremédiation) [4–6]. Pour des applications à l’échelle industrielle, la démarche de bioremédiation reste la mieux adaptée, car plus économique et plus respectueuse de l’environnement [7,8].
La bioremédiation consiste à tirer profit des capacités métaboliques des microorganismes pour la dépollution des milieux contaminés. Le principe même des stations d’épuration (STEPs) actuelles est basé sur cette technique. Les STEPs utilisent des consortiums microbiens pour une approche spécifique de dépollution (ex. : élimination de la matière organique). Ces ouvrages sont conçus pour traiter les eaux usées selon les normes en vigueur. Parmi les contaminants organiques d’intérêt environnemental présents à l’état de traces (TrOCs) dans les eaux usées figurent les PPhAs [9]. En absence de réglementation, et face à la diversité et à l’impact de ces contaminants dans l’environnement, la recherche de procédés de traitement alternatifs non spécifiques s’avère nécessaire. Parmi les voies de bioremédiation, la mycoremédiation à l’aide de champignons responsables de la pourriture blanche du bois ou white rot fungus (WRFs), apparaît prometteuse [10]. Les WRFs offrent une approche de traitement versatile. À travers leurs mécanismes enzymatiques uniques et leurs potentiels de biosorption, ces organismes ont démontré une grande efficacité à dégrader une multitude de contaminants organiques persistants dans diverses matrices (liquides, solides) [11,12].
La capacité des WRFs à éliminer les contaminants organiques dans l’eau a été établie depuis plusieurs années à l’échelle du laboratoire [10,13]. Des eaux usées synthétiques stérilisées et enrichies en substrats pour la croissance des champignons sont souvent utilisées. De plus, les
contaminants étudiés proviennent en majorité de solutions standards ajoutées au milieu de réactions à des concentrations non représentatives des conditions environnementales. Ces pratiques coûteuses restent incompatibles avec l’application du procédé à grande échelle dans les conditions environnementales réelles. Malgré les conditions contrôlées, les mécanismes d’élimination des contaminants par les WRFs restent complexes et demandent également à être élucidés [14]. Les WRFs ont déjà été expérimentés dans des applications de traitement en continu en condition non stérile. La difficulté de mise en œuvre de cette approche réside dans la compétition entre les WRFs utilisés et les microorganismes indigènes (bactéries et autres champignons) présents dans l’effluent [15]. L’immobilisation des WRFs sur des matériaux lignocellulosiques (ex.: copeaux de bois) présente un double avantage. Cette approche contribue à réduire la viscosité du milieu, causée par la production de biomasse, et permet de tirer avantage du support comme cosubstrat abordable pour la croissance des WRFs [16]. Toutefois, la lenteur du traitement (plusieurs jours) demeure une des principales restrictions à l’application de ce traitement à l’échelle industrielle [4,17,18]. Compte tenu de ces limitations, les applications de niche telles que le prétraitement d’effluents particuliers tels que les eaux usées des moulins à huile d’olive [19] ou de bioraffineries [20] avant leur rejet dans le réseau d’assainissement ou leur réutilisation apparaissent comme l’une des meilleures stratégies.
Depuis quelques années, la durabilité régit les modes d’exploitation industrielle [21]. Le gouvernement du Québec a pris des mesures dissuasives dans le but d’encourager la valorisation et limiter l’enfouissement des déchets de bois traité. Le Canada fait partie des 3 plus grands pays producteurs de bois traité au monde avec une production maintenue à près de 3,5 millions de mètres cubes ces vingt dernières années. La majorité du bois traité produit (90 %) est utilisé par le pays [22]. En fin de vie, ces rebuts sont généralement incinérés ou enfouis avec des risques de contamination de l’environnement. Ces modes de gestion ne s’intègrent pas dans une démarche de développement durable. Une des principales stratégies de valorisation reste l’exploitation industrielle pour la production de biocarburant [23]. La bioraffinerie demeure une approche durable pour la valorisation des déchets lignocellulosiques [24]. Cependant, la revalorisation du bois traité génère des eaux usées composées d’un éventail de contaminants organiques persistants provenant des agents de préservation. L’intérêt pour la mycoremédiation de ce type d’effluent industriel existe [20].
Toutefois, l’efficacité des traitements de mycoremédiation dépend du type de WRFs et des conditions opératoires. De ce fait, une sélection préalable des champignons dans les conditions représentatives de l’application ciblée apparaît déterminante, afin d’assurer la robustesse du traitement.
Une alternative pour pallier les limitations des traitements fongiques consiste à isoler et à utiliser les enzymes extracellulaires des WRFs [4]. Les enzymes fongiques d’intérêt biotechnologique comme les laccases et les peroxydases ont permis d’éliminer une variété de TrOCs dans l’eau [25]. Parmi ces enzymes, cette thèse s’intéresse en particulier à la laccase. Cette enzyme au potentiel versatile apparaît plus avantageuse pour les applications environnementales, car elle n’a besoin que de l’oxygène moléculaire comme cofacteur pour oxyder une large gamme de substrats [26].
Cependant, les laccases libres existent sous forme soluble dans l’eau, et leur utilisation peut s’avérer coûteuse, car, limitée par un manque de recyclabilité et de stabilité vis-à-vis des conditions opératoires. Les pratiques physico-chimiques d’immobilisation des enzymes utilisant des stratégies avec ou sans supports apparaissent efficaces pour assurer la stabilité et la récupération des enzymes du milieu réactionnel [27,28]. Pour des applications environnementales comme le traitement des eaux usées, le choix de la méthode se porte sur des approches relativement peu coûteuses et respectueuses de l’environnement. Les stratégies d’immobilisation sans support (ou insolubilisation), en particulier, la technique des agrégats d’enzymes réticulés (CLEAs) démontrent le plus d’avantages. La méthode CLEA est simple à produire, elle offre une meilleure activité volumétrique et ne requiert pas d’enzymes purifiées [29,30]. La technologie CLEA a permis d’améliorer la stabilité des laccases (lac-CLEAs) face à des conditions dénaturantes telles que les variations de pH et de température, ainsi que la présence de sels et de solvants organiques [31,32]. L’efficacité des lac-CLEAs, pour l’élimination des TrOCs dans l’eau a également été démontrée [33,34]. Par exemple, un extrait brut de laccase de *C. polyzona* insolubilisé sous forme de CLEAs a permis d’éliminer 100 % du Triclosan en solution après 6 h de traitement [35].
Malgré leurs potentiels biotechnologiques, la faible résistance mécanique, et le manque de caractérisation des lac-CLEAs, dans des conditions environnementales réelles crée un fossé entre leur utilisation à l’échelle du laboratoire et leur exploitation à l’échelle industrielle. Pour
être appliquée avec succès dans des conditions dénaturantes comme celles rencontrées dans des matrices complexes, la robustesse des CLEAs doit être améliorée [36]. La souplesse de la méthode la rend compatible avec d'autres techniques existantes. L'encapsulation (E-CLEAs) [34], la fixation sur nanoparticules magnétiques (M-CLEAs) [37] et le greffage de structure polymérique ou enzyme polymer engineered structure (EPES) [38], ont été employés pour améliorer la stabilité, et la recyclabilité des lac-CLEAs.
Ces méthodes conduisent à l'augmentation ou à la diminution de la taille des CLEAs, ce qui engendre un compromis entre l'efficacité catalytique du biocatalyseur et leur recyclabilité. En effet, comparées aux particules nanométriques, les particules plus grosses (supérieure à quelques micromètres) apparaissent plus facilement recyclables avec des procédés simples conventionnels. La méthode par encapsulation souffre du risque de fuite du biocatalyseur au travers de la matrice poreuse [39]. L'approche de stabilisation des CLEAs par la méthode EPES semble mieux adaptée, car elle résulte de la fixation par liaisons chimiques du réseau polymérique. Cette technique prometteuse a été proposée il y a quelques années pour la stabilisation de la laccase commerciale de *T. versicolor* [38]. Depuis lors, aucune étude ne s'est intéressée à cette approche pour les applications de bioremédiation environnementale.
1.2 Problématique et questions de recherche
Les systèmes enzymatiques fongiques offrent un potentiel biotechnologique remarquable qui soutient l'aptitude des WRFs pour la bioremédiation des contaminants organiques persistants dans les eaux usées. Toutefois, la mise en place de ce traitement dépend du type d'eau usée, de l'utilisation finale des eaux usées traitées et du coût du traitement.
Les effluents contenant des polluants concentrés en composés chlorés et phénoliques tels que les effluents de l'industrie de blanchiment des pâtes et papiers posent un problème pour les procédés classiques d'épuration des eaux usées. Les WRFs sont connus pour survivre à ces conditions et dégrader les polluants dans ce type de matrice. Ces dernières pourraient ainsi représenter une bonne alternative pour le traitement de ces eaux usées. Cependant, les travaux de recherches actuelles présentent plusieurs lacunes qui constituent un frein à l'exploitation des WRFs dans les situations réelles d'opération. Les traitements fongiques dépendent essentiellement des souches de WRFs utilisées et des conditions opératoires. Le transfert de cette technologie vers des applications environnementales nécessite l'utilisation de matrices
réelles non enrichies et non stériles, afin d’augmenter la robustesse des systèmes. Cela passe également par la sélection préalable des souches fongiques dans des milieux représentatives de l’application ciblée. Cette thèse s’inscrit dans cette démarche et tente de répondre à la question suivante :
- Le prétraitement fongique par l’exploitation des WRFs est-il applicable à un effluent industriel issu de la valorisation du bois traité en fin de vie ? Quelle stratégie de culture apparaît la mieux adaptée pour la sélection des WRFs dans l’effluent étudié ?
Les eaux usées municipales contiennent généralement un mélange d’un large éventail de TrOCs. Les bactéries apparaissent moins polyvalentes pour le traitement de combinaisons de TrOCs. Par exemple, les STEPs de boues activées conventionnelles ne sont pas capables de dégrader la plupart des PPhAs dans les eaux usées municipales. Les WRFs offrent une approche de traitement plus polyvalente. Toutefois, malgré le potentiel de bioremédiation des WRFs et les études intéressantes publiées, la mycoremédiation des eaux usées par les WRFs n’est pas appliquée à l’échelle industrielle, car limitée par des contraintes économiques, et la durée excessive des traitements. L’isolation des enzymes fongiques extracellulaires d’intérêt biotechnologique comme la laccase insolubilisée sous forme de CLEAs représente une technique intéressante pour pallier ces limitations. Cependant, des limitations pratiquent telles que le manque de stabilité et les difficultés de recyclage, limitent encore l’utilisation à l’échelle industrielle des CLEAs. La nécessité de renforcer la robustesse de cette technologie est réelle.
Le choix de cette étude visant la stabilisation des lac-CLEAs porte sur la méthode de greffage par liaison chimique d’un réseau de polymères ou enzyme polymer engineered structure (EPES). Cette méthode a permis de stabiliser une laccase commerciale de *T. versicolor* insolubilisée sous forme de CLEAs et caractérisé dans des conditions expérimentales contrôlées.
- Dans le but d’appliquer les lac-CLEAs, pour l’élimination des TrOCs dans les eaux usées municipales, cette thèse cherche à déterminer si la méthode EPES permet de stabiliser un extrait brut de laccase insolubilisée sous forme de CLEAs, et quel est l’impact de cette méthode sur les propriétés des lac-CLEAs formés ?
### 1.3 Objectifs du projet
De manière générale, cette thèse vise d’une part, à mettre en place une stratégie de sélection de souches fongiques en vue du prétraitement d’un effluent industriel issu de la valorisation du bois
traité, et d’autre part, à évaluer la méthode EPES pour la stabilisation d’un extrait brut de laccase destinée à des applications biotechnologiques de traitement des TrOCs eaux usées.
Les objectifs spécifiques suivants ont été définis :
- Déterminer l’aptitude d’une collection de champignons pour le prétraitement d’un émissaire industriel issu de la valorisation du bois traité.
- Démontrer la possibilité de préparer des EPES-CLEAs robustes à partir d’un extrait brut de laccase fongique.
- Caractériser les EPES-CLEAs formés dans une matrice simple (solution tampon) et évaluer leur stabilité dans une matrice complexe (effluent de STEP).
- Utiliser et évaluer l’efficacité des EPES-CLEAs pour le traitement en batch de modèle de PPhAs dans l’eau.
- Estimer les coûts de production des EPES-CLEAs formés.
1.4 Structure de la thèse
À la suite du chapitre 1 (introduction générale), ce document présente dans le chapitre 2 un état de l’art succinct qui justifie l’utilisation et fait ressortir les limitations des traitements fongiques et enzymatiques pour l’élimination des contaminants organiques persistants dans l’eau.
Le chapitre 3 consiste à évaluer deux stratégies de sélection pour la sélection de champignons en vue du prétraitement d’un effluent industriel en condition non stérile.
Le chapitre 4 comporte un résumé sur les lac-CLEAs, et souligne la nécessité d’améliorer leur potentiel d’application à l’échelle industrielle (ex. : recyclabilité, stabilité).
Le chapitre 5 propose l’utilisation de la méthode EPES pour la stabilisation d’un extrait brut de laccase sous forme d’EPES-CLEAs et leur application pour l’élimination de modèle de PPhAs dans l’eau.
Le chapitre 6 présente une estimation préliminaire des coûts de production des EPES-CLEAs.
Finalement, le chapitre 7 fait état des conclusions et des perspectives.
Chapitre 2 - État de l’art
Les contaminants organiques persistants représentent un groupe diversifié de composés chimiques, qui présentent les quatre propriétés suivantes : 1 – ils sont toxiques pour l’environnement et la santé humaine. 2 – ils demeurent persistants dans l’environnement. 3 – ils sont bioaccumulables dans les tissus vivants. 4 – ils peuvent être transportés sur de longues distances [1,40]. Leur présence ubiquiste dans l’environnement particulièrement dans l’eau, constitue un défi technique, sociopolitique et écologique. Leur élimination nécessite le développement, l’évaluation et la mise en œuvre de technologies durables de traitement adapté. Ce chapitre expose les approches de mycoremédiation et de biocatalyse enzymatique de traitement pour l’élimination de ces contaminants dans l’eau.
2.1 Problématique des contaminants organiques d’intérêt dans l’environnement
L’industrialisation et l’urbanisation de nos sociétés entraînent la pollution de l’environnement par un cocktail de contaminants de sources variées. Ces dernières proviennent principalement des rejets directs ou après traitement d’effluents industriels ou domestiques, des contaminations diffuses d’origine agricole ou des ruissellements urbains et retombés atmosphériques [1,41]. Ce document aborde la problématique des agents organiques de préservation du bois traité dans les eaux usées de bioraffinerie issue de la valorisation du bois traité et celle des PPhAs dans les effluents municipaux.
L’utilisation du bois pour les usages domestiques et industriels nécessite un traitement afin de prolonger leur durée de vie contre l’altération atmosphérique et la détérioration due aux microorganismes et assurer la longévité des installations. Le Canada fait partie des trois plus grands pays producteurs de bois traités au monde, avec seulement 10 % exporté [22]. Différents produits chimiques organiques et inorganiques sont utilisés comme agents de préservation. Les agents organiques de préservation du bois comprennent la créosote et le pentachlorophénol (PCP)). Ces composés sont utilisés de manière intensive par les industries de production de travers de chemins de fer et la fabrication de poteaux électriques [23].
La créosote est un distillat de goudron de houille composée majoritairement (85 %) d’hydrocarbures aromatiques polycycliques (HAPs) [23]. Les HAPs sont des substances
chimiques formées d’au moins deux anneaux aromatiques d’atomes de carbone et d’hydrogène. La principale source des HAPs est la combustion ou la pyrolyse de matières organiques telles que le charbon, le pétrole et le bois. Ils sont bioaccumulables et modérément persistants dans l’environnement [42]. Les produits traités à la créosote restent l’une des principales sources de HAPs dans l’eau et le sol avec des quantités annuelles qui peuvent atteindre jusqu’à 2 000 tonnes [43]. La créosote n’est plus utilisée dans le traitement des poteaux des lignes électriques au Canada depuis près de cinquante ans [43]. Ces derniers sont principalement traités avec le PCP. Le PCP est un pesticide organochloré synthétisé par l’homme. C’est un composé organique stable et difficilement biodégradable [44]. Le PCP est commercialisé avec une pureté inférieure à 90 %. Les autres composantes représentent principalement des phénols plus faiblement chlorés tels que les tri et les tétrachlorophénols, les chlorobenzènes, les dioxines et les furanes à l’état de trace [45].
En fin de vie utile, l’enfouissement et l’incinération demeurent les principaux modes de gesticions du bois traité. Ces pratiques représentent un risque de dispersion des agents de préservation dans l’environnement. Le gouvernement du Québec a pris des mesures dissuasives concernant l’enfouissement et l’incinération des déchets solides dont le bois traité. Des mesures telles que l’augmentation des frais d’enfouissement afin encourager les industries à adopter des modes de gestion durable basés sur le recyclage et la valorisation des déchets de bois traités [46]. Le compostage, la production de bioéthanol sont des exemples de valorisation envisageables [23]. Cependant, une détoxification préalable des déchets de bois traités est nécessaire du fait de la toxicité des agents de préservation du bois. En effet, ces substances peuvent inhiber l’activité des levures durant le processus de fermentation qui conduit à la production de biocarburant [47]. Les HAPs et les phénols chlorés sont nocifs pour la santé humaine et l’environnement. Certains sont répertoriés par l’Agence de protection de l’environnement des États-Unis (USA-EPA) comme contaminants environnementaux prioritaires, car elles peuvent causer de graves problèmes toxicologiques. La plupart de ces contaminants sont connus pour s’accumuler dans le foie, les reins, les tissus adipeux… etc., leurs effets cancérigènes et mutagènes sont également bien établis [3,48].
Ces deux dernières décennies, la communauté scientifique s’est intéressée à une variété de contaminants organiques persistants présents à l’état de trace (TrOCs) dans l’environnement [49]. Les TrOCs proviennent essentiellement des activités industrielles, domestiques et
Les effluents des STEPs figurent parmi les principales sources de TrOCs dans l'environnement, en particulier dans les milieux aquatiques, car les ouvrages de traitement ne sont pas conçus pour éliminer ces contaminants [51]. Les TrOCs comprennent entre autres : les PPhAs (humains et vétérinaires), les produits d'hygiènes et de soins personnels, les nanoparticules, les microplastiques, etc. [1, 52].
La figure 2-1 illustre l'attention accordée à ces contaminants depuis l'an 2000. La croissance annuelle exponentielle du nombre de publications sur les 19 dernières années témoigne de l'importance du sujet (Figure 2-1). Cet intérêt est soutenu par les progrès de chimie analytique qui a permis de révéler la présence des TrOCs dans l'environnement, ainsi que la compréhension graduelle des effets néfastes de ces substances sur l'environnement et la santé [1, 53].
**Figure 2-1.** Nombre de publications par an entre 2000 et 2019 sur les contaminants émergents.
Analyse bibliométrique réalisée à partir de la base de données Scopus (mots clés utilisés : *emerging contaminants, contaminants of emerging concern, pollutants of emerging concern, emerging organic contaminanats, emerging organic pollutants, emerging environmental concern contaminants, emerging environemental concern pollutants* (extrait de [49]).
Parmi les TrOCs d’intérêt environnemental, les PPhAs font partie des plus préoccupantes, car ce sont des molécules biologiquement actives initialement conçues pour des applications de santé précise. La présence de ces substances dans l’environnement expose les organismes à des risques considérés comme toxiques [2]. À l’échelle mondiale, plusieurs classes de PPhAs (ex.: antibiotiques, analgésiques, anti-inflammatoires, etc.) ont été détectées et quantifiées dans différents compartiments aquatiques. Les concentrations reportées restent souvent de l’ordre du μg/L au ng/L [1]. Le tableau 2-1 présente un ordre de grandeur des concentrations de quelques PPhAs couramment quantifiés dans les milieux aquatiques. La présence de ces contaminants dans l’eau potable et d’irrigation pose également risque sanitaire et un défi de gestion de l’eau dans de nombreuses régions, notamment, dans les zones souffrant de pénurie d’eau potable et de mauvaise gestion des eaux usées [2].
**Tableau 2-1.** Ordre de grandeur des concentrations en ng L\(^{-1}\) de PPhAs dans les milieux aquatiques.
| | Effluent STEP | Eau de surface | Eau souterraine | Références |
|----------------|---------------|----------------|-----------------|------------|
| Acétaminophène | 11,1 - 59 | 25 - 127 | 2,1 - 1890 | [54]; [55]; [56]; [57]; [58]; [59] |
| Bézafibrate | 22,5 - 400 | | 10 | [60]; [61] |
| Carbamazépine | 420 - 1510 | 36 - 114 | 72 | [62]; [63]; [56]; [57]; [64] |
| Diclofénac | 60,5 - 263,5 | 10 - 60 | 15 - 55 | [60]; [65] |
| Ibuprofène | 30 | 34 | 2,12 - 988 | [63]; [66]; [56]; [67]; [64] |
| Sulfaméthoxazole | 65 - 102,25 | 82 | 9 - 113 | [60]; [57] |
En effet, ces molécules biologiquement actives dans l’environnement même à faible concentration peuvent être potentiellement dangereuses (ex.: perturbation endocrinienne, cancérigène, troubles hormonaux) pour les organismes non ciblés qui y sont exposés de façon chronique [2,68,69]. Par exemple, certains anti-inflammatoires non stéroïdiens (AINS) sont reconnus comme des substances perturbatrices du système endocrinien. Ji et al., ont observé une réduction de la fécondité et une diminution de la quantité d’œufs ainsi qu’un retard de l’éclosion chez des poissons-zèbres dus à des concentrations en ibuprofène ≥ 1 μg/L [70]. La présence de ces PPhAs dans l’eau potable et les eaux usées recyclées à des fins d’irrigation soulèvent aussi une question de santé publique [2]. De plus, certains PPhAs sont bioaccumulables. Celles-ci présentent donc un risque pour les organismes dans la chaîne alimentaire. Le déclin des populations de vautour au Pakistan, est lié à la consommation de carcasse de bœufs qui avaient été traités au diclofénac un anti-inflammatoire connu pour s’accumuler dans les organismes
Une autre préoccupation concerne l’effet synergique encore méconnu des mélanges de contaminants dans l’environnement d’autant plus qu’à ce jour, aucune norme ne fixe des limites réglementaires de concentrations pour les PPhAs dans l’environnement. L’absence de méthode de traitement efficace et l’augmentation de la production industrielle pour soutenir la croissance démographique suscitent des défis technologiques, sociopolitiques et sanitaires.
Plusieurs méthodes de traitement physicochimiques et biologiques ont été proposées ces dernières années pour l’élimination des contaminants organiques persistants dans l’environnement [72]. Les procédés de traitement biologiques représentent des stratégies durables et économiques qui consistent à exploiter les capacités métaboliques des organismes vivants (ex. : bactéries, champignons) pour la dépollution des milieux contaminés (ex. : eaux, sols). La mycoremédiation basée sur l’usage des champignons responsables de la pourriture du bois figure parmi les alternatives attrayantes de traitements biologiques [73].
### 2.2 Mycoremédiation des contaminants dans l’eau
Avec plus de 100 000 espèces répertoriées, le règne des champignons constitue plus de la moitié de la biomasse microbienne dans le sol (>2 tonnes/Ha contre <1 tonne/Ha pour les bactéries) [11]. Les familles des ascomycètes et des basidiomycètes représentent la majorité des espèces identifiées dans l’environnement. Ces espèces lignivores sont, entre autres, responsables de la pourriture du bois [11]. Selon leur capacité à dégrader les composés du bois, les basidiomycètes sont classés en différentes catégories parmi lesquelles ceux responsables de la pourriture blanche du bois (WRFs) [10]. Au moyen de leur machinerie métabolique unique constituée d’une variété de biomolécules (ex. : enzymes lignolytiques, médiateurs rédox), les WRFs ont la particularité de décomposer tous les polymères du bois, même les plus complexes et récalcitrants comme la lignine. Cette caractéristique leur confère un fort potentiel biotechnologique pour la bioremédiation des contaminants organiques persistants [11,74].
#### 2.2.1 Mécanismes d’élimination et efficacité des WRFs
À l’image de la diversité des biomolécules qu’elles sécrètent, les processus impliqués dans la transformation des contaminants par les WRFs demeurent complexes et ne sont pas encore complètement établis [14]. Une des difficultés reste la distinction entre les mécanismes intra et
extracellulaires, qui interviennent dans l’élimination des contaminants. Les mécanismes connus engagés dans la mycoremédiation comprennent la sécrétion d’enzymes extracellulaires et intracellulaires ainsi que les phénomènes de biosorption (Figure 2-2). De plus, les WRFs peuvent sécréter des métabolites naturels qui peuvent jouer le rôle de navette lors du transfert des électrons entre les enzymes et les contaminants. Ce mécanisme contribue à élargir la gamme de contaminants dégradés [75]. L’utilisation des WRFs pour la bioremédiation présente l’avantage de bénéficier de l’ensemble de ces processus biochimiques et physiques.
**Figure 2-2.** Schéma des principaux mécanismes fongiques impliqués dans l’élimination des contaminants (extrait de [76]).
Les WRFs ont été étudiés pour des applications variées de mycoremédiation. Les recherches ont démontré leurs capacités à éliminer des contaminants organiques persistants (ex. : HAPs, chlorophénols, colorants et PPhAs), dans des matrices complexes (ex. : les effluents municipaux, hospitaliers, des usines de pâtes à papier) [10,77–80]. Diverses études ont montré que divers champignons de la pourriture blanche, y compris *Phanerochaete* sp. et *Trametes* sp., sont capables de minéraliser les hydrocarbures aromatiques polycycliques (HAPs), ce qui est en corrélation avec la production d’enzymes modifiant la lignine [81]. Par exemple, la forte demande chimique en oxygène (DCO) et la présence de composés phénoliques persistants dans
les eaux usées des moulins à huile d’olive constituent un problème environnemental majeur. L’étude de Ntougias et al. a permis d’évaluer l’aptitude de 49 souches à éliminer les phénols totaux dans ce type d’effluent préalablement stérilisé. Après 35 jours de traitement, l’ensemble des souches a permis d’éliminer au moins 60 % des phénols totaux et de réduire sa toxicité [19]. Marco-Urea et al. ont mis en évidence la capacité de *T. versicolor* à éliminer près de 91 % de l’acide clofibrique et 58 % de la carbamazépine dans un milieu réactionnel synthétique favorisant la croissance du champignon [82].
Une revue récente présente les procédés en continu de mycoremédiation à l’aide des deux souches de WRFs les plus étudiées (*P. chrysosporium* et *T. versicolor*). La plupart des traitements répertoriés utilisent des milieux de culture stériles, souvent synthétiques et avec ajout des contaminants issus de standards commerciaux à des concentrations généralement plus élevées que celles qui sont rencontrées dans les matrices environnementales [73]. Ces pratiques permettent d’évaluer le potentiel de mycoremédiation des contaminants dans des conditions optimales, car, elles empêchent la compétition vis-à-vis du substrat avec d’autres microorganismes, et offrent une meilleure reproductibilité des expériences [4].
Les chercheurs ont observé que l’efficacité du traitement de mycoremédiation dépend de paramètres tels que l’espèce de WRFs utilisée, les conditions d’opération (ex. : composition du milieu, pH, température) et les propriétés physicochimiques des contaminants [76,83]. De ce fait, la mise en place de procédé nécessite une sélection préalable des organismes. Le choix s’effectue généralement par des expériences de décoloration de colorants en milieu solide sur plaque d’Agar [84]. La sélection dans les matrices réelles devrait être privilégiée afin d’assurer la robustesse du traitement [20].
### 2.2.2 Limitations de la mycoremédiation
Malgré leur efficacité démontrée à l’échelle du laboratoire, les traitements de mycoremédiation des eaux utilisant les WRFs ne sont toujours pas appliqués à l’échelle industrielle. Les WRFs utilisent des mécanismes métaboliques secondaires qui permettent de dégrader les contaminants même à faibles concentrations. Cependant, ces derniers ont besoin d’une source de carbone et de nutriments autres que les contaminants pour supporter leur croissance [11]. Les approches d’ajout de cosubstrat telles que le glucose et l’usage de conditions stérile pour les traitements de
mycoremédiation ne sont pas économiquement soutenables à grande échelle. Les substrats lignocellulosiques (ex. : bagasse, déchets de sciure) représentent une alternative bon marché pour la croissance des WRFs. Ces déchets contiennent du carbone, de l’azote et d’autres minéraux qui supportent la croissance des WRFs. De plus, ils permettent de simuler l’environnement naturel des WRFs [85]. L’exploitation de ces sources de carbone moins coûteuse est de plus en plus étudiée, et nécessite d’être optimisé. Ces stratégies devraient être à privilégier dans le but de développer des approches de traitement économique et durable.
La formation de biomasse pendant la croissance des champignons peut augmenter la viscosité du milieu et causer des problèmes de transfert de masse et d’oxygène dans le milieu. L’immobilisation du champignon sur des matériaux tels que le charbon actif, la mousse de polyuréthane, etc. constitue une technique qui peut être utilisée pour atténuer ces problèmes [86]. Une stratégie intéressante d’immobilisation consiste à recourir à des matériaux lignocellulosiques (ex. : copeaux de bois) [87]. Cette stratégie permet de tirer avantage du matériau comme support, et comme source de carbone à faible coût pour la croissance des WRFs. Récemment, la souche de *T. versicolor* a été immobilisée sur des copeaux de bois et appliquée en continu dans un réacteur à lit garni ruisselant. L’expérience a permis durant 49 jours d’éliminer un ensemble de PPhAs (ibuprofène, kétoprofène et naproxène) ajouté dans un effluent hospitalier non stérilisé [16]. Toutefois, pour des effluents industriels initialement riches en composés phénoliques, la dépolymerisation du substrat pourrait ralentir le traitement en augmentant le taux de phénol dans le milieu réactionnel [88].
Le temps de croissance assez long (plusieurs jours) reste un inconvénient majeur des traitements de mycoremédiation [17]. De ce fait, la mise en place d’un tel traitement dans une STEP apparaît inenvisageable pour le moment. Une revue récente suggère l’utilisation des WRFs pour des applications de prétraitement de niche, en particulier pour des effluents spécifiques avant leurs rejets dans le réseau d’assainissement ou dans l’environnement [73].
De plus, plusieurs auteurs, dont Ding et al. 2013, ont démontré la capacité de biosorption de contaminants tels que les HAPs par les WRFs. Les résultats de leur étude ont montré qu’après 3 jours d’incubation la biomasse vivante de *P. chrysosporium* a permis d’absorber plus de 50 % du pyrène en solution [89]. La principale contrainte de cette approche concerne également la gestion de la biomasse à la fin du traitement.
Certaines études se concentrent sur l’isolation et l’emploi des enzymes extracellulaires des WRFs. Cette approche permet d’éviter les temps de croissance longs des WRFs ainsi que des phénomènes de biosorption. L’utilisation des enzymes isolées offre également plus de contrôle vis-à-vis des conditions opératoires. Cependant, l’application des enzymes libres isolées dans des conditions environnementales dénaturantes (ex. : température, pH, et présence de toxines) peut entraîner une dénaturation ou une instabilité de ces dernières et ainsi réduire leur efficacité ou leur durée de vie [90].
2.2.3 Les enzymes fongiques d’intérêt en bioremédiation
Plusieurs enzymes extracellulaires sont impliqués dans les mécanismes catalytiques des WRFs. Les trois principaux enzymes d’intérêt en bioremédiation et quelques spécificités typiques sont présentés dans le tableau 2-2.
**Tableau 2-2. Caractéristiques majeures des principaux enzymes extracellulaires d’intérêt [11,91,92]**
| Enzymes | Caractéristiques typiques et conditions optimales |
|---------|--------------------------------------------------|
| **Laccase**
(EC 22.214.171.124) | Masse molaire : 50-80 kDa / Cofacteur : O₂ / Glycosylation : 10-20 %
pH : 3,5-6 / Température : 20-30°C / Potentiel rédox : 0,3-0,8 V
Substrats : phénoliques, non phénoliques |
| **Lignine peroxydase**
(EC 126.96.36.199) | Masse molaire : 35-48 kDa / Cofacteur : H₂O₂ / Glycosylation : 20-30 %
pH : ~3 / Température : 35-45°C / Potentiel rédox : 1-1,5 V
Substrats : phénoliques, non phénoliques |
| **Manganèse peroxydase**
(EC 188.8.131.52) | Masse molaire : 32-62 kDa / Cofacteur : H₂O₂ / Glycosylation : 5-15 %
pH : ~4 / Température : 30-40 °C / Potentiel rédox : 0,8-1,5 V
Substrats : non phénoliques |
Ces trois oxydoréductases ont démontré une grande capacité pour la dégradation de contaminants phénoliques et non phénoliques dans l’eau (ex. : des PPhAs, perturbateurs endocriniens, des HAPs, chlorophénols) [25,91,93–95]. Par exemple, un extrait de LiP de *P. chrysosporium* a permis d’éliminer 100 % du diclofénac en solution, au bout de 2 h [96]. Tsutsumi et al. ont observé une élimination totale du bisphénol A et du nonylphenol en solution avec la MnP après 1 h de traitement [97]. Le MnP de *P. chrysosporium* a également permis
d’éliminer 99,4 % du triclosan dans l’eau après 1 h de traitement [98]. La laccase de *T. versicolor* a permis l’élimination d’un mélange de 10 PPhAs dans une solution. Le diclofénac, le naproxène et l’indométhacine ont été complètement éliminés au bout de 2 h de traitement, suivi du kétoprofène (50 %) et de l’ibuprofène (37 %) au bout de 3 h de traitement [99]. Ces biocatalyseurs sont en cours d’évaluation pour la bioremédiation des contaminants dans l’eau [100].
Bien que leurs potentiels rédox soient plus élevés, l’utilisation à l’échelle industrielle des peroxydases est limitée par l’ajout de leur cofacteur (H$_2$O$_2$). En revanche, les laccases apparaissent plus avantageuses pour des applications à grande échelle, car, elles n’utilisent que l’oxygène moléculaire comme cofacteur.
### 2.3 Les laccases fongiques
Les laccases, sont des glycoprotéines multi cuivre oxydase, dont la production a été observée chez les plantes, champignons, bactéries et insectes [101]. À cause de leur potentiel rédox plus élevé, les laccases fongiques figurent parmi les plus utilisées dans les applications de bioremédiation.
#### 2.3.1 Mécanisme catalytique et production
Ces dernières décennies, plusieurs auteurs ont proposé une description détaillée des structures et propriétés des laccases [102,103]. Brièvement, le mécanisme d’oxydation de la laccase s’effectue généralement par l’extraction d’un électron du substrat. Il en résulte la formation d’un radical libre avec la réduction de l’oxygène en molécule d’eau (Figure 2-3). Le cycle catalytique de la laccase repose sur les 4 atomes de cuivre qu’elle comporte. Ces atomes sont classés en trois types distribués entre différents sites. La catalyse d’oxydation du substrat s’opère en trois étapes. Le type de cuivre 1 (T1) est impliqué dans la capture des électrons issus de l’oxydation du substrat. Par la suite, le transfert des électrons vers la structure trinucléaire des cuivres de types 2 et 3 (T2 et T3) conduit à la réduction de l’oxygène en eau. La connexion entre les deux sites (T1 et T2-T3) est assurée par une connexion tripeptide d’acides aminés (His-Cys-His) (Figure 2-3).
Les laccases sont essentiellement extracellulaires et sont sécrétées majoritairement par les basidiomycètes (ex. : *T. versicolor*, *P. chrysosporium*, *P. ostreatus*) [103]. Bien que la plupart des laccases purifiées soient des enzymes extracellulaires, les WRFs sécrètent également des laccases intracellulaires. Il a été suggéré que la localisation de la laccase est probablement liée à sa fonction physiologique [104]. Les laccases fongiques sont impliquées dans des processus tels que la sporulation, la production de pigments, la défense contre le stress, dégradation de la lignine… etc. La quantité de laccase sécrétée dépend du type de champignons, des conditions de culture ainsi que de la composition du milieu de croissance. Les basidiomycètes sont reconnus pour être les plus grands producteurs de laccase. Les groupes de *Pleurotus* et de *Trametes* font partie des espèces les plus étudiées, parmi lesquelles *P. ostreatus*, *T. versicolor*, ou *T. hirsuta* [103]. Le pH et la température optimaux pour la production de la laccase pour la majorité de ces souches se situent entre 4 et 6 et entre 25 °C et 30 °C, respectivement [74]. Le type de culture (submergée ou solide), la source de carbone, ou la présence d’agents inducteurs peuvent influencer la croissance des WRFs et la production de la laccase [105,106]. La méthode de fermentation submergée demeure la plus couramment employée [107]. Ce mode de croissance consiste à inoculer le champignon dans un milieu liquide avec les nutriments.
nécessaires à sa croissance. L’usage d’un milieu liquide favorise la distribution homogène et une meilleure absorption des nutriments. L’un des principaux inconvénients de cette technique est la formation de mycélium pendant la croissance des champignons. Cela peut augmenter la viscosité du milieu et rendre ainsi difficile l’opération d’un agitateur lors de l’utilisation d’un bioréacteur agité pour la production. Le dysfonctionnement des agitateurs peut causer des problèmes de transfert de masse et d’oxygène dans le réacteur.
Ces dernières années, les techniques de fermentation solide ont beaucoup été étudiées pour la production de la laccase. La fermentation solide se fait en utilisant des matériaux synthétiques ou organiques comme substrats en l’absence ou presque d’eau libre [108,109]. Les substrats utilisés sont généralement des déchets lignocellulosiques riches en carbone, de l’azote et autre élément nécessaire à la croissance des microorganismes [110,111]. Les techniques de fermentation valorisant les déchets lignocellulosiques riches en carbone et autres éléments nécessaires à la croissance des WRFs sont de plus en plus étudiées pour la production économique de la laccase [85,112]. De nombreux groupes de recherche ont tenté d’améliorer la production de laccase à travers la sélection de souches en fonction du milieu de culture [113,114]. L’utilisation de déchets comme substrat est économiquement avantageuse et la technique est simple à mettre en place et consomme moins d’énergie. De plus, contrairement à la fermentation en milieu liquide, la fermentation solide reflète l’environnement naturel des WRF [115,116]. L’inconvénient principal de cette technique réside dans la difficulté de concevoir des bioréacteurs adaptés. La non-uniformité du milieu entraîne également une grande variation interbatch au niveau de la production d’enzyme [111,117].
La purification des enzymes emploie des méthodes coûteuses telles que la filtration sur gel, la chromatographie d’affinité. L’utilisation des enzymes purifiées pour les applications de bioremédiation à faible valeur ajoutée comme le traitement des eaux usées à grande échelle ne peut pas être économiquement viable. L’usage d’extrait brut d’enzyme est donc à prioriser pour ce type d’études. À ce jour, plusieurs applications utilisent encore des enzymes commerciales. En plus de réduire les coûts du procédé, les extraits bruts d’enzymes peuvent contenir d’autres biomolécules telles que les médiateurs naturels sécrétés par le champignon qui contribuent à élargir le spectre d’action de l’enzyme [76,83].
2.3.2 Versatilité de la laccase
La laccase a un potentiel redox inférieur à ceux des peroxydases. Cela restreint leur application pour l’oxydation directe de composés non phénoliques avec un potentiel redox supérieur au leur [75]. L’utilisation d’agents médiateurs redox permet de surmonter cette limitation. Les médiateurs sont des composés chimiques de faible poids moléculaire qui participe à élargir le spectre d’action de l’enzyme. Le médiateur est d’abord oxydé par l’enzyme avant d’agir comme transporteur d’électron entre l’enzyme et le substrat permettant ainsi l’oxydation du substrat (Figure 2-4). À travers le médiateur, l’enzyme peut oxyder des molécules présentant des structures complexes (ex. : lignine) [118].
Les médiateurs peuvent être naturels (provenir de l’environnement (ex. : alcool vérétrylique)). Ils peuvent également venir de substances synthétiques. Parmi les médiateurs les plus connus de la laccase, on compte le 2,2’-azino-bis-(3-éthylbenzothiazoline-6-sulfonic acid) (ABTS) et l’hydroxybenzotriazole (HOBt) [119]. L’efficacité du système enzyme-médiateur pour l’élimination d’un composé reste dépendante du type de médiateur et de la source de l’enzyme. Parra Guardado et al. ont récemment évalué le potentiel de la laccase provenant de 3 souches différentes pour l’élimination de PPhAs dans l’eau. Après 72 h de traitement, les trois laccases seules n’ont pas permis d’éliminer les molécules étudiées (amoxicilline, sulfaméthoxazole, ciprofloxacine et carbamazépine). Cependant, l’ajout de l’ABTS et du syringaldehyde a fourni des taux d’élimination allant de 50-100 % en moins de 3 h pour toutes les molécules sauf la carbamazépine [120]. La carbamazépine est un composé persistant et omniprésent dans l’environnement. Cette molécule est difficilement dégradable par la laccase [51,120]. Naghdi et al. ont démontré que les conditions de réactions peuvent influencer le taux d’élimination de ce type de composé. En présence d’ABTS, la laccase de *T. versicolor* a permis de dégrader jusqu’à 95 % de la carbamazépine à 35 °C et à pH 6 [121]. Cependant, ce type de traitement nécessite
d’être optimisé. De plus, la question reste posée quant à la faisabilité et la viabilité économique des médiateurs synthétiques assez coûteux comme l’ABTS.
Les radicaux produits durant la catalyse enzymatique de composés phénoliques permettent également à travers des réactions non enzymatiques (ex. : polymérisation) d’accroître le spectre d’action de l’enzyme [122,123]. Ces mécanismes ont permis d’expliquer l’élimination de molécules non phénoliques par la laccase [124–126]. Dernièrement, ces phénomènes ont conduit à une meilleure élimination de la carbamazépine en solution en présence d’acétaminophène par la laccase de *T. hirsuta*. En présence d’acétaminophène, cette laccase a permis d’éliminer 40 % de la carbamazépine contre 5 % en absence d’acétaminophène [127].
Malgré leurs efficacités démontrées au laboratoire, l’application à grande échelle des traitements enzymatiques est restreinte par les coûts élevés de production du biocatalyseur. La difficulté de récupérer et de recycler les enzymes constitue aussi un frein à leur utilisation sous forme soluble. De plus, la sensibilité des enzymes libres aux conditions opératoires souvent dénaturantes telles que celles rencontrées dans les eaux usées (ex. : variations de pH et de température, etc.) limite fortement leur utilisation.
### 2.4 Immobilisation des enzymes
Une enzyme immobilisée est une enzyme qui est maintenue par des moyens physiques et/ou chimiques dans un espace sans complètement altérer son activité catalytique. Selon les mécanismes impliqués, deux grandes techniques d’immobilisation existent : les méthodes physiques (adsorption, encapsulation) et chimiques (fixation par liaisons covalentes, réticulation) (Figure 2-5).
Figure 2-5. Représentation schématique des deux principales méthodes physiques (adsorption et encapsulation) et chimiques (fixation sur support par liaison covalente et réticulation) d’immobilisation et d’insolubilisation des enzymes. (illustration extraite de [128]).
Ces techniques permettent d’améliorer la stabilité des enzymes, ainsi que leur utilisation pour des applications en continu et de façon répétée [4,129]. Le choix d’une méthode dépend, des exigences attendues des propriétés du biocatalyseur (activité, stabilité), de la procédure d’immobilisation (degré de difficulté), de l’aspect économique (coût de production de l’enzyme, possibilité de recycler le biocatalyseur pour plusieurs cycles), etc. [130].
L’immobilisation des enzymes est un sujet qui a été amplement couvert dans la littérature. Succinctement, l’utilisation de solide pour l’immobilisation des enzymes conduit à la production de biocatalyseurs avec de grandes masses non catalytiques. Le support peut représenter plus de 90 % de la masse du biocatalyseur final, ce qui entraîne un faible rendement et une efficacité réduite du biocatalyseur [28]. Les approches de fixation irréversible peuvent conduire à la perte du support une fois l’enzyme désactivée, ce qui peut se révéler très coûteux à long terme pour des applications à grande échelle [131]. De plus, la fixation par liaisons chimiques des enzymes sur support peut produire des changements structurels au niveau de l’enzyme, conduisant en une modification (souvent une diminution) des propriétés catalytiques de cette dernière [132]. L’adsorption et l’encapsulation sont des méthodes qui n’altèrent pas la structure de l’enzyme. Les limitations de ces deux méthodes sont liées respectivement, à la faiblesse des interactions
entre l’enzyme et le support (ex. : interactions ioniques, forces de Van Der Waals) et aux limitations de diffusion du substrat (Figure 2.5). Il existe également un risque de relargage de l’enzyme adsorbée dû aux variations des paramètres physico-chimiques, ou à une perte de l’enzyme à travers la capsule poreuse [132].
Dernièrement, différents nanomatériaux organiques et inorganiques (ex. : nanotubes de carbone, nanoparticules) ont été proposés pour l’immobilisation des enzymes. Par exemple, certains auteurs ont mis en place des techniques utilisant des réseaux (organique et inorganique) de polymères poreux autour d’une enzyme pour former des single enzyme nanoparticles (SENs) [133,134]. Ces techniques nanométriques offrent une grande surface spécifique donc une charge protéique plus élevée et contribue à diminuer les transferts de masse. Ces méthodes ont participé à l’expansion du champ d’application des enzymes immobilisées dans des domaines comme la biomédecine, ou dans des applications industrielles chimiques particulières telle que l’hydrolyse de l’amidon [135,136]. En ce qui concerne les applications de bioremédiation des eaux usées à grande échelle, la difficulté de recyclage de ces nanomatériaux semble le principal frein à leur utilisation. Certains auteurs présentent les propriétés magnétiques comme une alternative à cette limitation, mais la faisabilité à grande échelle reste à démontrer [37].
Au regard des limitations des méthodes physiques, les techniques chimiques d’immobilisation par réticulation (ou insolubilisation) apparaissent intéressantes (Figure 2.5). L’insolubilisation s’effectue par le biais d’une réaction entre un agent de réticulation et les groupes fonctionnels des acides aminés des enzymes entre elles [130]. Cette technique permet de produire un biocatalyseur avec une plus grande proportion d’enzyme et évite des coûts supplémentaires liés au support [137]. Le mode de préparation des enzymes avant la réticulation diffère selon les techniques. Les méthodes de réticulation reposent sur la liaison des enzymes sous forme dissoutes entre elles, après cristallisation, après précipitation ou après séchage. Ces procédés aboutissent respectivement à la formation de cross-linked enzymes (CLEs), cross-linked crystallized enzymes (CLECs), de Cross-linked enzymes aggregates (CLEAs) et Cross-linked spray dried enzymes (CLSD). Ces techniques ont été décrites par plusieurs auteurs [28,29,137]. Parmi ces méthodes, les CLEAs offrent la meilleure alternative pour des applications enzymatiques comme la bioremédiation des eaux usées. En effet, cette méthode est simple à mettre en place et à optimiser [30]. Les CLEAs possèdent également une activité enzymatique élevée après insolubilisation (~70 % de l’activité initiale). De plus, cette méthode est compatible
avec l’utilisation d’extrait brut d’enzymes [138]. Plusieurs classes d’enzymes telles que les oxydoréductases (ex. : laccases, glucose oxydases), les hydrolases (ex. : lipases, protéases) ont été insolubilisées sous forme de CLEAs pour différentes applications, dont la l’élimination des TrOCs dans l’eau [129,139].
2.5 Les agrégats de laccases réticulées
La préparation des CLEAs se réalise en deux étapes simples qui sont : la précipitation des enzymes suivie de leur réticulation [138]. Plusieurs agents de précipitation des protéines tels que des sels, des solvants organiques miscibles à l’eau, etc. peuvent être utilisés [140]. L’un des agents précipitant le plus utilisé est le sulfate d’ammonium (SA), car il offre l’avantage d’être peu dénaturant pour les enzymes. Cette pratique souvent généralisée n’est pas sans conséquence sur le taux de précipitation de la protéine. L’étude de Matijošyte et al. 2010, souligne l’intérêt du choix de l’agent de précipitation, car celui-ci n’éprouvera pas la même efficacité selon la source de l’enzyme [30]. De même, plusieurs agents de réticulation (ex. : glutaraldéhyde (GLU), dextran polyaldehyde) ont également été décrits dans la littérature et peuvent être utilisés pour la préparation des CLEAs [141].
Dernièrement, l’évolution des techniques de préparation des lac-CLEAs à conduit à l’utilisation du chitosane (CHI), un biopolymère peu onéreux, disponible en quantité et respectueux de l’environnement [32,35]. La réticulation de la protéine avec le CHI s’opère par le biais d’un agent d’activation. Le l’éthyl-3-(3-diméthylamino-isopropyl) carbodiimide (EDAC) est l’agent carbodiimide le plus utilisé à cet effet [27]. Le mécanisme de réticulation en deux étapes consiste en la formation de liaisons covalentes entre les groupes fonctionnels carboxyles (-COOH) de l’enzyme et les groupes amines (-NH₂) du CHI, par l’intermédiaire de l’EDAC qui sert d’activateur (Figure 2-6).
Cette méthode a été appliquée avec succès ces dix dernières années pour l’insolubilisation de la laccase [33, 35]. Il est difficile de comparer les études, car les résultats d’insolubilisation sont enzymes dépendants, et les conditions utilisées sont variables d’une expérience à l’autre. Néanmoins, de manière générale, la méthode CLEA a permis de renforcer la stabilité des laccases commerciales et des extraits bruts de laccase vis-à-vis des variations de pH, de température, mais aussi en présence de sels dénaturants et de solvants. Par exemple, la laccase de *S. putrefaciens* a pu être insolubilisée sous forme de CLEAs après précipitation avec du SA et réticulation avec le GLU. Le CLEAs formé a su maintenir 100 % de son activité initiale au-delà de 70 °C, tandis que l’activité de la laccase libre a chuté à partir de 55 °C. Les résultats ont également montré une amélioration des propriétés catalytiques des CLEAs (2 fois plus) que celles des laccases libres. Les auteurs ont par la suite évalué la capacité des CLEAs à décolorer une solution contenant un colorant utilisé dans l’industrie textile (le vert de malachite). Après 24 h de traitement en batch, le taux d’élimination était sensiblement le même (~90 % d’élimination) pour les laccases libres et les CLEAs [143].
La préparation des CLEAs entraîne la formation de particules insolubles amorphes de tailles variables (généralement entre 0,1 – 200 µm) [140]. La taille des particules des biocatalyseurs hétérogènes est un paramètre déterminant, en particulier pour l’efficacité du biocatalyseur, le
choix du réacteur adapté pour l’application continue et le choix de la méthode de recyclage. La vitesse de diffusion est influencée par la taille des particules, et celle-ci est déterminée, entre autres, par le rapport réticulant / enzyme. Des taux optimaux sont observés avec des particules plus petites, mais des considérations pratiques, par exemple la facilité de filtration, dictent l’utilisation de particules plus grosses [138]. La centrifugation reste le moyen le plus utilisé pour la préparation des CLEAs (collecte et lavage). Cette méthode est connue pour faire agrégérer les particules de CLEAs entre elles du fait du manque de résistance mécanique [138]. Cette agrégation entraîne une augmentation de la taille des CLEAs et pourrait accentuer les limitations de transfert de masse. Certains auteurs proposent des techniques de filtration membranaire pour le recyclage des CLEAs. Récemment, Ba et al. 2014, ont insolubilisé deux enzymes commerciales (la laccase et la tyrosinase) sous forme de combi-CLEAs. Les enzymes ont été précipitées en utilisant, le SA et réticulées avec du CHI après activation avec l’EDAC. En plus d’assurer la stabilité des enzymes, les combi-CLEAs ont été appliqués avec succès dans un traitement en continu à l’aide d’un bioréacteur membranaire durant 5 jours. Ce traitement a permis d’éliminer complètement un mélange de 14 PPhAs ajouté dans une eau usée municipale, avec une diminution de l’activité enzymatique des combi-CLEAs d’environ 30 % à la fin du traitement [33].
Malgré leur potentiel biotechnologique et les applications de traitement encourageant qui leur sont attribués, les CLEAs ne sont toujours pas appliquées à l’échelle industrielle, en particulier dans les bioprocédés environnementaux. La faible stabilité mécanique et les difficultés de recyclage des particules de tailles variables des CLEAs demeurent les principales causes [138]. Le recyclage des biocatalyseurs est facilité par l’augmentation de leur taille. Cependant, l’effet de la taille entraîne une diminution des propriétés cinétiques à cause des limitations de transfert de masse [140]. Par conséquent, pour atteindre une capacité opérationnelle et une robustesse satisfaisante face aux conditions opératoires, il est nécessaire de proposer de nouvelles stratégies d’amélioration de la stabilité et de recyclabilité des CLEAs.
2.6 Stratégies d’amélioration de la stabilité et de la recyclabilité des CLEAs
Plusieurs chercheurs ont travaillé l’amélioration de la stabilité et de la recyclabilité des CLEAs. Dernièrement, des stratégies, telles que la fixation d’un réseau polymérique poreux (ou enzyme
polymer engineered structure (EPES)) autour des CLEAs pour former des EPES-CLEAs [38], la fixation des CLEAs sur des nanoparticules magnétiques (M-CLEAs) [37] et l’encapsulation des CLEAs par piégeage dans des matrices polymériques poreuses (E-CLEAs) [39], ont été étudiées pour la stabilisation des lac-CLEAs.
Les considérations pratiques pour l’application des CLEAs à grande échelle pour le traitement des eaux usées nécessitent l’utilisation de particules plus grosses pour faciliter leur récupération à l’aide de techniques simples. Au regard des avantages et inconvénients de ces méthodes de stabilisation physiques et chimiques (Section 2.4), la méthode EPES apparaît comme la meilleure alternative pour l’amélioration de la stabilisation des CLEAs pour des applications environnementales de bioremédiation. Cette stratégie a été mise au point pour la première fois par Kim et Grate pour la stabilisation d’une enzyme (la chymotrypsine) [133]. La méthode consiste à fixer de façon covalente des structures de polymères avec les résidus d’acides aminés présents à la surface de l’enzyme. Ainsi une structure de polymères hybrides faits de vinyle et de silane (3-aminopropyltriethoxysilane (APTES)) a été fixée à la surface de l’enzyme étudiée, par polymérisation orthogonale sous un rayonnement UV. Cette préparation laborieuse a conduit à la formation de SENs de tailles nanométriques et a permis de stabiliser l’enzyme en augmentant de près de 280 fois sa demi-vie qui était initialement de 12 h [133]. Dans la foulée, Yadav et al. 2011, se sont inspirés de cette méthode pour stabiliser la carbonique anhydrase en simplifiant la méthode. Ces derniers ont procédé à la conjugaison de l’enzyme étudié avec le CHI et l’EDAC, avant de stabiliser le SENs formé par fixation de l’APTES. Exposés à différentes températures (-20, 4 et 20 °C), les SENs obtenus sont demeurés stables plus d’une centaine de jours [134]. Dans une étude plus récente [38], cette méthode a été adaptée pour la stabilisation des lac-CLEAs.
Dernièrement, les travaux de Hassani et al. 2014, ont conduit à la formation d’une nouvelle génération de CLEAs (ou EPES-CLEAs) [38]. Les EPES-CLEAs formés avec la laccase commerciale de *T. versicolor* ont été caractérisés dans des conditions contrôlées au laboratoire. Les résultats ont révélé des propriétés intéressantes pour la stabilisation des lac-CLEAs. Les EPES-CLEAs ont démontré une stabilité accrue entre 5 et 30 fois plus que les CLEAs face aux variations de pH, de température et face à la présence d’agents dénaturants [38]. Cette stabilité est liée à la rigidification du biocatalyseur par la fixation multipoints de réseaux de polymères
autour des CLEAs. Les résultats ont également montré une amélioration des propriétés catalytiques des EPES-CLEAs soit une augmentation 4 fois plus par rapport au CLEAs en utilisant l’ABTS comme substrat [38].
Toutefois, afin de confirmer le potentiel biotechnologique des EPES-CLEAs pour la bioremédiation des eaux usées municipales, la méthode EPES demande à être validée pour la stabilisation des CLEAs préparés à partir d’extrait brut de laccase. Cela est d’autant plus important, car les résultats obtenus avec un biocatalyseur sont difficilement attribuables à un autre. Des études complémentaires, portant sur la caractérisation de l’EPES-CLEAs dans des conditions environnementales appropriées de pH et de température et dans des matrices complexes réelles, permettront d’évaluer la robustesse de cette technologie.
2.7 Synthèse
La présence de contaminants organiques persistants dans l’environnement, en particulier, les PPhAs dans les eaux usées a conduit à la recherche de technologie de traitements versatiles. La stratégie de traitement à travers l’utilisation des WRFs et de leurs enzymes lignolytiques extracellulaires isolées a démontré une grande efficacité pour la dégradation d’une variété de molécules dans diverses conditions.
Les études réalisées au sujet de l’utilisation des WRFs pour des applications de bioremédiation des eaux usées ont permis de faire ressortir plusieurs restrictions pour des applications continues à l’échelle industrielle. La cinétique trop longue de ces procédés est identifiée dans la littérature comme le principal frein à l’exploitation des WRFs. De plus, le nombre de travaux effectués dans des conditions environnementales réelles demeure limité et difficile à réaliser. Ce champ de recherche est en plein développement. L’exploitation de cette approche prometteuse pour des applications de traitement d’effluent industriel particulier est suggérée. Toutefois, la complexité de ces matrices implique une sélection des WRFs les mieux adaptés au traitement.
Les travaux qui ont conduit à l’isolation et à l’utilisation des enzymes extracellulaires des WRFs pour la biocatalyse enzymatique des TrOCs dans l’eau apparaissent comme une alternative avantageuse pour contourner les limitations associées aux traitements fongiques. Cette approche offre un meilleur contrôle des conditions d’opération. Les choix de l’enzyme et de la stratégie d’immobilisation semblent toutefois importants et doivent être appropriés à l’application visée,
afin d’en assurer la faisabilité. La laccase et la méthode CLEA d’insolubilisation des enzymes ont été identifiées comme un biocatalyseur et une technologie versatile, économique, efficace et adaptée aux applications environnementales. Les recherches effectuées à ce sujet, suggèrent pour la plupart une nette amélioration de la stabilité des laccases avec même pour certaines, une augmentation des propriétés catalytiques de l’enzyme après insolubilisation. Toutefois, le nombre d’études réalisées dans des conditions représentatives de l’environnement reste limité. De plus, la robustesse des CLEAs doit être améliorée afin de résister aux conditions dénaturantes que peuvent représenter les matrices complexes et aussi assurer le recyclage du biocatalyseur par des méthodes conventionnelles simples. De même, l’évaluation des techniques de stabilisation dans des conditions environnementales s’impose pour une meilleure appréciation du potentiel réel des biocatalyseurs. Les stratégies de stabilisation des lac-CLEAs proposées restent insuffisantes et comportent plusieurs limites. Actuellement, la méthode EPES apparaît comme la meilleure stratégie de stabilisation. À ce jour, aucune étude n’a encore procédé à l’évaluation de cette méthode pour la stabilisation d’un extrait brut de laccase et son application pour la biocatalyse des TrOCs dans les eaux usées.
Les limitations et contraintes évoquées dans ce chapitre appellent, à développer les points suivants. À savoir : la mise en place de stratégies visant à renforcer la robustesse des approches de traitement par mycoremédiation et biocatalyse enzymatique des contaminants organiques persistants dans l’eau. Ce projet contribue au sujet à travers les points suivants : 1 – la présélection de souches de WRFs pour des applications futures de bioremédiation d’effluents industriels. 2 – l’adaptation de la méthode EPES pour des applications de bioremédiation environnementales à travers la valorisation d’un extrait brut de laccase insolubilisée sous forme de CLEAs.
Chapitre 3 - Application des lac-CLEAs pour la bioremédiation des PPhAs dans l’eau : Efficacité et défis à relever
3.1 Avant-propos
Ce chapitre a été publié dans le livre intitulé « laccases in bioremediation and waste valorisation ».
Titre français : Défis liés à l’application d’agrégats de laccase réticulés dans la biorestauration des polluants émergents des eaux usées.
Auteurs et affiliation: Arielle Farida Ariste¹, Hubert Cabana¹
¹Department of Civil and Building Engineering, University of Sherbrooke, Sherbrooke (Québec), Canada.
État : « publié; laccases in bioremediation and waste valorisation, SpringerNature microbiology monographs, Éditeur : Dietmar Schlosser ».
Contribution au document : Ce chapitre présente une revue sur l’application des lac-CLEAs pour l’élimination des PPhAs dans l’eau ainsi que des techniques utilisées pour améliorer les propriétés et le potentiel d’application des lac-CLEAs pour des applications de bioremédiation environnementales.
Résumé français : Les eaux usées municipales ont été reconnues comme la principale source de contaminants d’intérêt émergents tels que les produits pharmaceutiques et de soins personnels (PPSP) dans l’environnement. Les impacts de cette contamination sur l’environnement et la santé humaine ne sont pas encore entièrement connus. Les laccases sont des enzymes capables de dégrader divers PPSP. Cela a conduit à développer des biocatalyseurs prometteurs à base de cette enzyme. Les techniques d’immobilisation contribuent à améliorer la stabilité de l’enzyme en ce qui concerne la dénaturation et les conditions opérationnelles et permettent le recyclable du biocatalyseur. En raison de sa rétention d’activité élevée et de sa
simplicité, la technologie CLEA est considérée comme une méthode d’insolubilisation avantageuse, car elle n’utilise pas de supports physiques. La technologie CLEA a été appliquée avec succès pour la préparation de lac-CLEA. Cependant, des efforts considérables sont encore nécessaires pour améliorer la stabilité et la réutilisabilité des lac-CLEA, notamment pour leurs applications dans les procédés de traitement en continu. De nouvelles stratégies de stabilisation ont été développées pour surmonter ces limitations. Ce chapitre fait état des dernières stratégies mises en place pour la préparation et la stabilisation des lac-CLEA.
**Title:** Challenges in applying cross-linked laccase aggregates in bioremediation of emerging pollutants from wastewater.
**Abstract:** Municipal wastewaters have been recognized as the primary source of contaminants of emerging concern such as pharmaceuticals and personal care products (PPCPs) in the environment. The impacts of this contamination on the environment and human health are still not fully understood. Laccases are enzymes capable of degrading various PPCPs leading to widespread promising applications of laccases in bioremediation processes. Laccases are immobilized to broaden their applicability. Immobilization improves the enzyme stability regarding denaturing and operational conditions and creates a recyclable catalyst. Because of its high activity retention, stability, and simplicity, the cross-linked enzyme aggregate (CLEA) technology, has been considered as an effective carrier-free immobilization method. CLEA technology has been successfully applied for laccase insolubilization (lac-CLEA). However, considerable attempts are still needed to improve the stability and reusability of lac-CLEAs, especially in continuous treatment processes. Novel stabilization strategies have been developed to overcome the undesirable limitations of lac-CLEA applications in bioremediation. This chapter focuses on the latest improvements in the preparation and stabilization of lac-CLEAs for the removal of pollutants from waste streams.
### 3.2 Introduction
Pharmaceuticals and personal care products (PPCPs) are among emerging contaminants in water that have been commonly identified in the environment [1]. Municipal wastewater treatment plant effluents have been recognized as the primary source of these emerging pollutants in the environment [51]. Hence, existing WWTPs designed in the 19th and 20th centuries to treat
household wastewater and industrial effluents are not effective in removing these emerging contaminants [144].
The presence of PPCPs in wastewater is of interest in environmental pollution (aquatic and terrestrial ecosystems) because some PPCPs are biologically active even at low concentrations and have bioaccumulation potential [68, 69, 145]. PPCP contamination may lead to environmental and health problems. For example, male fish feminization as a result of exposure to steroidal hormones, development of antibiotic-resistant genes due to the release of antibiotic active compounds into the environment and various harmful effects on development or reproduction that may be caused by endocrine-disrupting chemicals (EDCs) [2, 146, 147]. The occurrence of these PPCPs in drinking water and irrigation water may also pose health concerns and wastewater management challenges in many regions, particularly in developing countries where wastewater treatment plants (WWTPs) are rare [148, 149].
Furthermore, to face the problems of water scarcity in some regions of the world, the mobilization of alternative water sources, including wastewater recycling, is increasing [150]. Recycled wastewater is mainly used for non-potable direct and indirect uses, such as irrigation, watering green spaces, or industrial processes [148]. The impacts of these practices on the environment and human health are still not very well-known [151, 152]. The health risks (chronic exposure to contaminants) and environmental risks (soil degradation, contamination of groundwater), present a gap to be filled to understand the impact of reusing wastewater containing emerging contaminants [153].
The progress in advanced wastewater treatment technology development has led to the creation of some innovative treatment processes. Bioremediation processes are considered one of the most effective and eco-friendly mechanisms for emerging pollutant treatment. Enzymatic technologies have gained interest because of their specificity and selectivity in removing contaminants from waste streams [100].
Enzymes are catalysts capable of carrying out specific reactions. Laccases (EC 184.108.40.206) and peroxidases (EC 220.127.116.11) are enzymes capable of degrading various PPCPs [154]. The effectiveness of enzymes has led to a focus on ligninolytic enzymes as a promising tool for biotransformation processes. Laccases have drawn attention in recent decades because of their high bioremediation potential [155]. Laccases are copper-containing oxidoreductase
glycoprotein widely distributed in fungi, bacteria, and plants. They have been broadly applied in numerous biotechnological and industrial fields [95,156]. Laccases are versatile catalysts capable of oxidizing a variety of phenolic and non-phenolic compounds and have been used in different operational conditions. They only need oxygen to oxidize their substrates, which is a significant economic advantage. The reaction end-products resulting in laccase degradation of phenolic compounds are also one of the advantages of laccase application in bioremediation processes. The resulting metabolites (reactive phenoxy radicals) form a variety of oligomers that have been found to significantly lose their biological activity and toxicity [27,157].
The economic viability of a large-scale application of enzymes in bioremediation is directly affected by the cost contribution of the enzyme to the treatment. So, to be cost-effective, enzymes must be simple to produce and handle, as well as stable and reusable, with high catalytic activity [121]. When suspended in an aqueous, the enzymes are soluble, making them challenging to reuse. The immobilization techniques consist of physical or chemical interactions to generate insoluble enzymes by confining them in a certain region of space. The immobilized enzymes are then reusable and contribute to reducing the treatment cost [158].
Physical immobilization methods consist of entrapment or binding enzymes onto a carrier material. The physical support reduces the volumetric activity of the enzymes compared with carrier-free immobilization approaches [135]. The most valuable carrier-free immobilization technique is the cross-linking enzyme aggregate (CLEA) method. The CLEAs are produced through covalent bonds that keep the enzyme aggregates together. CLEAs appear to have considerable bioremediation potential because of their high activity retention and stability, combined with their simple preparation protocol. CLEAs display a high catalytic property because the insolubilization method does not need physical support [28,138]. CLEA technology has been used for laccase insolubilization (lac-CLEA). Lac-CLEAs have been successfully applied to treat pollutants from different waste streams. However, to increase the probability of satisfying the operational requirements for large-scale applications, it is still necessary to improve the existing lac-CLEA preparation methods, to enhance the insolubilized laccase stability, as well as its catalytic properties. Better reactors adapted for the application of lac-CLEAS in real environmental and operational conditions need to be developed [33,100].
This chapter presents an overview of the latest strategies to enhance lac-CLEA formulation and stability enhancement to apply lac-CLEAs as a promising bioremediation tool for the removal of emerging contaminants from waste streams.
3.3 Cross-linked enzyme aggregate technology
Enzyme cross-linking technologies were developed in the middle of the 20th century. Three cross-linking methods using dissolved enzymes (CLEs), crystallized enzymes (CLECs) and aggregated enzymes (CLEAs) have been reported and extensively reviewed [28,137]. Among these methods, CLEA technology has shown many advantages for large-scale industrial applications. The method is simple and allows rapid optimization of the insolubilization conditions. CLEA technology provides a stable and recyclable catalyst with high enzymatic activity retention. Also, crude enzyme extract can be used to prepare CLEAs, which results in the formation of a low-cost biocatalyst [138]. CLEAs can be applied to a wide range of enzymes (including laccases) that can be combined to form combined cross-linked enzyme aggregates (Combi-CLEAs). A detailed description of CLEA technology has been exhaustively reviewed [137].
Briefly, CLEAs are obtained from precipitated enzymes forming aggregates that remain permanently insoluble after covalent binding with a cross-linking agent in a two-step process (Fig. 3-1).
**Fig. 3-1.** Schematic representation of Cross-Linked Enzyme Aggregate preparation.
The first step in CLEA preparation consists of physical precipitation of the enzymes. The precipitation occurs by changing the hydration state of the molecules or by altering the
electrostatic constant of the solution [30]. The common precipitants involved in laccase aggregation are salts, organic solvents, or non-ionic polymers, such as ammonium sulphate, polyethylene glycol and tertbutyl alcohol) [30].
The second step is based on the formation of covalent bindings between the enzymes’ primary amino groups of lysine and the reactive groups of the cross-linker [138]. Depending on the enzyme used, different cross-linkers can be used in CLEA formulation. Due to its availability and low cost, glutaraldehyde, a bifunctional aldehyde agent, is the most widely used cross-linker in CLEA preparation [138]. Glutaraldehyde reacts with the amino groups of the enzymes to form an amide bond that links the enzymes together. Other cross-linkers such as glyoxal, dextran polyaldehyde and the biopolymer chitosan, can also be used for lac-CLEA preparation [27].
The two-step procedure in CLEA preparation is simple. However, the combination of different enzyme properties, as well as the choice of precipitants and cross-linking agents can significantly turn this simple procedure into a more complex one that can result in numerous permutations. It is essential therefore, to determine the cross-linking condition from the start of the insolubilization process.
3.4 Determining the conditions for laccase aggregation and cross-linking
The two-step CLEA preparation procedure can affect the catalytic properties of the enzymes. These properties depend on the precipitating agent and the cross-linker used, as well as their concentrations [30]. Since, the precipitant and cross-linker can affect the conformation and rigidity of the enzyme which then changes the CLEA reactivity, they must be carefully chosen [30]. This choice depends on the biochemical properties of the enzymes. So, the best conditions must be defined experimentally and optimized to determine the concentrations needed for the enzymes’ insolubilization. The optimum ratio of cross-linkers and enzymes is crucial to determine, especially when using an undefined crude enzyme preparation [30,122]. Generally, a low concentration of cross-linking agent is known to create insufficient bonds with the enzyme, while at a high concentration, it can increase the enzyme rigidity and prevent the substrate from reaching the active site resulting in lower apparent enzyme activity [122].
To reduce these adverse effects on the catalytic properties of lac-CLEAs, it is crucial to optimize the formulation conditions. Mathematical models using experimental designs are helpful in process optimization [159]. However, these empirical models do not allow for an in-depth characterization of the insolubilized enzymes. Other alternatives exist, such as the addition of polymers containing primary amino groups during the precipitation step to avoid excessive cross-linking of the enzyme. Bovine serum albumin (BSA) is mostly used as a source of protein and amino groups during lac-CLEA preparation. This technology can help increase the stability of the immobilized enzyme [122].
Optimization helps to reduce the use of the reagents and their undesirable effects on lac-CLEA properties and can also help to reduce the cost of the resulting insolubilized biocatalyst by reducing the reagent quantities to the minimum necessary, avoiding waste. During the optimization process, it is important to determine an equilibrium between the stability and apparent activity of the resulting lac-CLEAs, not to favor one parameter more than the others [32]. In some cases, laccase insolubilization might lead to a partial or complete loss of laccase activity because the reagents used during lac-CLEA preparation might interfere with the active site of the enzyme. Although glutaraldehyde remains an inexpensive and widely used cross-linker in laccase insolubilization, it is well known that it can contribute to enzyme inactivation during CLEA preparation. Glutaraldehyde can modify the active site residues of the enzyme. So, it is crucial to find solutions to prevent the cross-linker from entering the active site or inducing extreme conformational changes. Mild insolubilization conditions must be employed, or the reagents must be replaced, to prevent such problems.
Only a few studies report perspectives about the investigation of new cross-linking agents in lac-CLEA formulation for a sustainable biocatalyst preparation. A dextran-based cross-linker has been developed and successfully applied in CLEA preparation from several enzymes (penicillin G acylase, hydroxynitrile lyase, alcohol dehydrogenase, and two different nitrilases) [160]. The dextran molecules are too large to penetrate the active site of the enzyme, and CLEAs exhibited a higher enzyme activity. This technique has not been applied in lac-CLEA preparation yet.
Recently, chitosan was successfully tested as a cross-linking agent for laccase from *C. polyzona* insolubilization. The results showed hyperactivation of the lac-CLEA-based chitosan
conjugation formed. This overexpression can come from the conformational changes in laccase during the conjugation reaction by locking the enzyme into a more favorable conformation [32,35].
Most of the studies about lac-CLEAs have focused on characterization and batch experiment applications (Table 1). The shape and size of the CLEA particles are essential characteristics of a direct effect on the biocatalyst catalytic properties and recyclability. The structural organization of CLEAs is influenced by the cross-linking time. Generally, the particle size of CLEAs varies between 0.1 and 200 μm [140]. Although CLEA structure is known to significantly influence the effectiveness on solubilization of the insolubilized biocatalyst, this parameter is not often evaluated, and information on the lac-CLEA structure is still missing (Tables 1 and 2).
3.5 Lac-CLEAs in bioremediation: promises, efficiency, and drawbacks
In addition to being a low-cost process, one of the benefits of bioremediation is that it results in the generation of less toxic reaction end-products compared to chemical treatment processes [161]. A significant number of PPCPs are phenolic compounds, oxidable by laccases. The oxidation reaction involving laccases leads to the production of water and free reactive phenoxy radicals. These radicals are likely to polymerize and precipitate from the reaction solution [125]. The polymerization implies the inactivation of their biological activity and inhibits their action on living organisms [162].
Acetaminophen, a model phenolic pharmaceutical compound, has been frequently employed to study this reaction mechanism in order to propose reaction pathways involving laccases in the degradation of phenolic PPCPs [125,126]. Laccases have low redox potential, which prevents them from degrading non-phenolic compounds. However, some small molecules can act as an electron shuffle (laccase mediator system) and allow the transformation of non-phenolic compounds. Cross-coupling phenomena between the reactive phenoxy radicals and the non-phenolic compounds can also contribute to the elimination of non-phenolic compounds by laccases [127,163]. These reaction mechanisms expand the range of contaminants that can be oxidized by laccases, making this biocatalyst a promising tool for bioremediation processes.
Lac-CLEAs have been prepared from a wide variety of laccases in the past decades and efficiently applied to remove a variety of contaminants (Table 1). PPCPs have been successfully removed from aqueous solutions in batches and continuous experiments using lac-CLEAs. A crude enzyme extract from *C. polyzona* lac-CLEAs was prepared with glutaraldehyde and applied in a fluidized bed reactor to treat EDCs. The biocatalyst removed more than 95% of EDCs in 150 minutes [122]. Later, a new cross-linking method was proposed using chitosan to prepare lac-CLEAs [32,35,125]. In a six-hour batch experiment, Cabana et al. showed that the chitosan-based lac-CLEAs were able to remove 100% of triclosan from an aqueous solution, while the free laccases were less efficient with a 60% removal rate [35]. The same CLEA technology was applied in batches and continuous experiments to remove pharmaceutical compounds from wastewater. Acetaminophen and mefenamic acid were eliminated from the filtered wastewater in 24 h, and up to 93% of carbamazepine, a more recalcitrant compound, was eliminated after 72 h [164]. Lac-CLEAs have also been efficiently applied for PPCP elimination from wastewaters and other biotechnological applications such as dye decolorization from solutions (Table 3-1).
The efficiency of the laccase-based treatment process can be improved by enhancing its selectivity using the Combi-CLEA method [165]. Combi-CLEAs have the same economic and environmental benefits as CLEAs, with the difference that combi-CLEAs can target a greater variety of substrates, specific to each co-immobilized enzyme (Table 1). This combination system offers significant advantages in bioremediation. However, it is crucial to rigorously optimize the insolubilization conditions to respect the specificity of each enzyme. Laccases were successfully co-immobilized with two other oxidative enzymes, namely versatile peroxidase and glucose oxidase [139]. This combi-CLEA contributes to degrading a plethora of pharmaceutical compounds in laboratory conditions in solution and removes 25% of detected acetaminophen in real municipal wastewater in a batch experiment. Ba et al. 2014 tested the efficiency of a combi-CLEA of laccase and tyrosinase for the transformation of acetaminophen in wastewaters. In batch mode, the combi-CLEA transformed from 80 to 100% of acetaminophen from the municipal wastewater and more than 90% from a hospital wastewater [125]. Mass spectrometry detection of acetaminophen transformation products showed the formation of its oligomers as dimers, trimers, and tetramers due to the laccase and 3-hydroxyacetaminophen due to the tyrosinase.
| Laccase sources | Precipitants / Cross-linkers | Lac-CLEA activity (Substrate) | Structures | Experiment conditions and pollutant removal rate. | References |
|-----------------|-------------------------------|-------------------------------|------------|--------------------------------------------------|------------|
| Crude laccases from C. polyzona | Polyethylene glycol / Glutaraldehyde | 148 U/g (ABTS) | BSA-free: 1 to 5 µm. With BSA: 100 to 200 µm | Continuous elimination: Fluidized bed reactor. Elimination after 50 min.: Nonylphenol = 90%; Bisphenol A = 30%; Triclosan = 90%. After 150 min.: > 95% elimination for all compounds. | [122] |
| Crude laccases from C. polyzona | Polyethylene glycol / Glutaraldehyde | 148 U/g (ABTS) | - | Continuous elimination: perfusion basket reactor (BR). EDC elimination after 325 min.: 85%. Stable performances of the BR over 7 days. | [166] |
| Laccases from T. versicolor, T. villosa and A. bisporus. | Different precipitants / glutaraldehyde. Best precipitants: Polyethylene glycol 3400 (PEG 3400); Ammonium sulphate AS; 1,2 Dimethoxyethane (DME). | (Metol) T. versicolor: 17.6 U/mg (PEG 34000 at 20 °C). T. villosa: 9.6 U/mg (AS at 4 °C). A. bisporus: 3.6 U/mg (DME and AS at 4 °C) | - | A batch experiment of T. versicolor lac-CLEAs with TEMPO as a mediator. After 5 h: Benzyl alcohol: 80%; 1-pentanol: 7%; 1-hexanol: 15%. After 20 h: 1-heptanol: 55%; 1-octanol: 34%; 1-nonanol: 13%; 1-decanol: 21%. | [30] |
| Laccases from T. versicolor | Tris buffer / Chitosan/ EDAC | 626 U/g (ABTS) | - | 6 h batch experiment. Triclosan removal: Free laccase = 60%; Lac-CLEAs =100%. | [35] |
| Crude laccases from C. polyzona | Ammonium sulphate / Chitosan/EDAC | 737 U/g (ABTS) | 1694.3 nm to 2313.7 nm | - | [32] |
| Laccases from S. putrefaciens | Ammonium sulphate / Glutaraldehyde | (ABTS) | - | 24 h batch experiment. Malachite green dye decolorization. Free laccase and Lac-CLEAs ≈90%. | [143] |
| Three oxidative enzymes: laccase (Lac) from T. versicolor, versatile peroxidase (VP) from B. adusta and glucose oxidase (GOD) from A. niger. | Ammonium sulphate / Chitosan_EDAC | 30% of initial laccase activity was recovered along with 40% for each of VP and GOD. Lac (ABTS); VP (veratryl alcohol); GOD (qualitatively estimated through the increase of Mn-oxidizing activity of VP). | - | Batch experiments with free enzyme ability to degrade, a pharmaceutical compound (acetaminophen, naproxen, mefenamic acid, indometacin, diclofenac, ketoprofen, caffeine, diazepam, ciprofloxacin, trimethoprim, fenofibrate and bezafibrate, carbamazepine and its by-products 10–11 epoxy-carbamazepine) in synthetic wastewater. More than 80% elimination for the first five compounds. Combi-CLEA mediated removal reached up to 25% contained in real municipal wastewater effluent. | [139] |
| Laccases from T. versicolor (TvL) and Mushroom tyrosinase (Tyr). | Ammonium sulphate / Chitosan_EDAC | Combi-CLEAs-TvL: 12.3U/g (ABTS). Combi-CLEAs-Tyr: 167.4 U/g (L-DOPA). | - | Batch experiment: transformation of 80% to ≈100% of acetaminophen from the municipal wastewater and more than 90% from a hospital wastewater. Acetaminophen metabolites: oligomers as dimers, trimers and tetramers due to the laccase and 3-hydroxyacetaminophen due to the tyrosinase. | [125] |
| Laccases from T. versicolor (TvL) | Ammonium sulphate / Chitosan_EDAC | (ABTS) | - | Batch experiment + hybrid bioreactor. Acetaminophen and mefenamic acid ≈ 100% in 24 h; carbamazepine 93% in 72 h, from wastewater. | [164] |
|----------------------------------|-----------------------------------|--------|----|---------------------------------------------------------------------------------|------|
| Laccases from Cerrena sp. | Ammonium sulphate / Glutaraldehyde | Activity recovery: 68.1% (ABTS) | - | With 80 mM NaCl, over 90% decolorization was obtained with free and immobilized laccases in 4 and 2 h, respectively. | [167] |
| Laccases from F. fomentarius and T. versicolor | Ammonium sulphate / Glutaraldehyde | - | - | Batch experiment: decolorization of Malachite green, Bromothymol and Methyl red dyes within 10 h. T. versicolor lac-CLEAs: 95% and F. fomentarius lac-CLEAs: 90%. | [141] |
| Laccases from T. versicolor (TvL) and Mushroom tyrosinase (Tyr) | Ammonium sulphate / Chitosan_EDAC | Combi-CLEAs-TvL: 12.3U/g (ABTS). Combi-CLEAs-Tyr: 167.4 U/g (L-DOPA). | - | Continuous elimination of 14 pharmaceutical compounds (PPs) from municipal wastewater using a hybrid bioreactor (HBR). Complete removal of all PPs after a 5-day continuous operation. The Combi-CLEAs retained ≈ 70% of its initial enzymatic activity after the treatment. | [33] |
Lac-CLEAs are efficient in eliminating PPCPs from aqueous solutions and have many advantages for bioremediation applications (Table 3-1). However, the lack of a biocatalyst production cost estimate as well as the lack of understanding of the heterogeneous catalytic reaction mechanism and the need for the development of suitable reactors are some drawbacks for a large-scale application of lac-CLEAs.
Laccase insolubilization has a significant influence on the catalytic properties of the biocatalyst. Contrary to free laccases, lac-CLEAs are heterogeneous. The reaction occurs where the laccases are located (on the surface or within the insoluble structure of the CLEAs), while the substrates (contaminants) and the reaction products are dissolved in the reaction solution [168]. The catalytic parameters of free and insolubilized laccases are generally measured by determination of Michaelis-Menten kinetic constants with 2,2'-azino-bis(3-éthylbenzothiazoline-6-sulphonique (ABTS) as substrate (Table 1). Syringaldazine is another model substrate used for laccase activity assay [169]. The assays using these model substrates are simple, accurate and reproducible. However, for an efficient characterization of the biocatalyst, none of them reflects the laccase activity appropriately compared to a real substrate (e.g. the targeted PPCPs). The choice of a more effective method and substrate for laccase activity assay could help to better understand how the biocatalyst reacts to the target contaminants. In the case of oxidase catalysts, the activity can be assessed by monitoring the change in pressure in the reaction system [170]. Recently, this method was developed by [171], to measure laccase activity and provides an alternative to the commonly used spectrophotometric assays. However, the necessity to use high substrate concentrations with high molar extinction coefficient, and the use of a substrate with interfering biocatalytic products in the target UV-vis spectrum, are some of the limitations to the method [171]. Another promising alternative consists of assessing the enzyme kinetics using mass spectrometry combined with liquid chromatography (HPLC-MS). The latest method developed using this technique provided an accurate kinetic parameter measurement of laccases from *T. versicolor* and *G. lucidum*. Natural phenolic compounds (p-coumaric, ferulic and sinapic acid, and a lignin model OH-dilignol) were employed as substrates for laccase kinetic determination by HPLC-MS. The new method has been reported to be highly suitable and accurate for assaying laccase activity. This method also has the advantage of concomitantly examining laccase oxidation product profiles [172]. These examples are some interesting ways that must be explored more in order to better characterize lac-CLEAs.
In addition to the importance of choosing the best method for measuring laccase activity, it is also important to take into consideration that the kinetic properties of the insolubilized lac-CLEAs are influenced by their structure (shape and size), which can induce mass-transfer limitation phenomena. Most of the time, these diffusion phenomena are mingled with the enzyme inhibition caused by the insolubilization process, as discussed in the previous section. The lac-CLEA activity reported in the literature reflects the apparent activity. The intrinsic activity can be approximatively obtained by increasing the substrate diffusion through the heterogeneous structure, by promoting nano-sized aggregates. CLEA structure and size can be tuned during the insolubilization process to overcome this problem. The stirring speed and time during the biocatalyst washing steps can be optimized to avoid CLEA aggregation to form “clusters” (CLEAs size > 1 μm). Aggregates can also be formed during the CLEA recuperation by centrifugation or filtration. The aggregation increases the size of the CLEAs and then increases mass-transfer limitations [140].
One strategy consisting of the use of a magnetic field to facilitate CLEA recovery has been developed and proposed as an alternative to avoid the drawback of aggregation caused by centrifugation or filtration. [37] successfully immobilized laccase to form a stable and rigid structure of magnetic CLEAs (M-CLEAs). The catalytic efficiency of laccase was significantly improved, and the M-CLEAs were effectively applied in batch and continuous experiments of dye degradation in solution. The results showed more than 60% and 90% decolorization, respectively. More recently, Arca-Ramos et al. also demonstrated the catalytic potential of M-CLEAs to transform various phenolic and non-phenolic pharmaceutical active compounds present in solution. The developed biocatalyst showed good operational stability after ten successive batch reactions, maintaining up to 70% of the initial activity [124]. These results showed that M-CLEA technology provides a remarkable means to efficiently recover and maintain the catalytic properties of lac-CLEAs.
Nguyen et al. 2017 developed a novel strategy consisting of a multifluidic reactor carrying two coaxial laminar flows to create hollow cross-linked aggregates of laccases (h-CLEAs), by using acetonitrile and an aqueous solution. This method creates uniform h-CLEA sizes (220 nm) and provides high stability to the laccase. The h-CLEAs were able to degrade trypan blue dye molecules under an alkaline condition in a batch and continuous membrane treatment [173].
In addition to all these newly developed technologies to enhance lac-CLEA catalytic properties, a simple method consisting of co-precipitation of the enzyme with starch, followed by the cross-linking and removal of the starch by $\alpha$-amylase to form porous CLEAs (p-CLEAs) was proposed. This method helps to decrease mass-transfer limitations [174]. A p-CLEA of laccase was successively prepared using a three-partitioning method. The resulting p-CLEA exhibited improved storage stability. The porous biocatalyst was successfully recycled 15 times [175].
All these preparation methods succeed in improving lac-CLEA non-catalytic (shape, size) and catalytic (activity, recyclability) properties for bioremediation (Table 3-2). Furthermore, to obtain a robust biocatalyst for waste stream bioremediation, lac-CLEAs must be highly stable.
### 3.6 Enhancement of lac-CLEA stability for bioremediation applications
CLEA technology improved the stability of laccases regarding denaturing conditions such as pH and temperature variation, as well as the presence of salts and organic solvents (Table 3-2). The effectiveness of lac-CLEAs for PPCP elimination from aqueous solutions has been widely proved. However, large-scale applications do not exist yet. One of the reasons is that efforts are still needed to improve lac-CLEA stability. A robust biocatalyst is necessary for the long continuous operation process in denaturing conditions like the conditions found in wastewater.
Besides the methods previously presented, new strategies focused on the stabilization of lac-CLEAs have been developed. CLEAs are compatible with some existing technologies such as encapsulation, silica coating, or polymer-engineered structure techniques that could provide resistance to operational stress factors [36].
Hence, the well-known and easy method of immobilization of enzymes by entrapment in a solid polymeric matrix is suitable for CLEA stabilization and easy recovery. A crude laccase extract from *T. pubescens* was cross-linked with glutaraldehyde before entrapment into Ca-alginate beads [39]. The resulting entrapped lac-CLEAs contributed to increasing the immobilization yield by 30% and reducing the catalyst leakage from the beads by 7-fold compared to entrapped free laccases. The entrapped lac-CLEAs were able to remove 99% of bisphenol A from an aqueous solution in batch experiments. The efficiency of the biocatalyst remained high (70%) after ten successive batch treatment cycles.
Another strategy, recently developed for lac-CLEA stability enhancement, consists of the formation of a polymeric network to stabilize the insolubilized biocatalyst. The resulting biocatalysts were named EPES-lac and EPES-CLEAs for Enzyme Polymer Engineered Structure using free laccase and lac-CLEAs [38], respectively. This strategy was developed based on the sustainable method of lac-CLEA formulation using the biocompatible cross-linking agent chitosan which was successively developed and optimized by [35] and [32]. The resulting EPESs were made from a commercial laccase from *T. versicolor*. The enzyme was surrounded by a polymeric network made of chitosan and 3-aminopropyltriethoxysilane (APTES). This stabilization method contributed to improving the thermoresistance of EPES-lac and EPES-CLEAs 30 times more than free laccases and lac-CLEAs. The stabilized biocatalyst also showed higher resistance than the free laccase and lac-CLEAs to denaturing conditions involving salts and organic solvents. However, the effectiveness of EPESs to treat contaminants in solutions has not been studied yet.
It is also interesting to consider the structure of the EPESs. The scanning microscopy of EPES-lac and EPES-CLEAs revealed a spherical shape for EPES-lac with an average size of 100 μm while the EPES-CLEAs showed an amorphous shape, which is consistent with the previous works about lac-CLEAs prepared with chitosan [32,35]. These results showed that the formulation conditions influence the structure of the EPESs.
The described approach for lac-CLEA stabilization, ensured a robust and easily recoverable catalyst, with excellent potential for the removal of emerging contaminants from waste streams. However, as is well-known, the final goal of immobilizing enzyme is to apply the recyclable biocatalyst for operations involving reactors. Further studies are needed to understand the behavior, particularly the mass-transfer limitations induced by the stabilization methods and resistance of lac-CLEAs, in a continuous reactor operation.
Table 3-2. Developed strategies for the improvement of catalytic properties as well as the stability of lac-CLEAs.
| Enzymes | Immobilization method | Laccase activity (Substrate) | Particle size | Pollutants/Removal rate | Stability | References |
|------------------|---------------------------------------------------------------------------------------|------------------------------|----------------------------------------------------|----------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------|
| Laccase from P. | p-CLEAs. Three-phase partitioning co-precipitation technique of laccase and starch, | 16 U/mg (ABTS) | Spherical shape with pores. p-CLEAs with 0.2% starch | Batch experiment elimination of triphenylmethane and reactive dyes by 60 – 70% respectively. | The half-life of free laccase at 55 °C was calculated to be 1.3 h, while p-CLEAs did not lose any activity even after 14 h. p-CLEAs exhibited improved storage stability, catalytic efficiency and could be recycled 15 times with 60% loss of activity. | [175] |
| ostreatus | followed by cross-linking with glutaraldehyde. | | ≈ 0 – 81 nm. | | | |
| Laccase from T. | EPES-lac and EPES-CLEAs. Free laccase and lac-CLEA stabilization through a polymeric | Apparent specific activity | EPES-lac ≈ 100 nm (spherical shape). EPES-CLEAs was | - | Optimal pH and temperature: Free laccase: pH 3 / 60 °C EPES-lac: pH 4 / 20-60 °C CLEAs and EPES-CLEAs: pH 4 / 60 °C. Residual activities: After 22 days: EPES-lac and EPES-CLEAs ~300%. Free laccase and CLEAs lost 10% and 25% respectively after 24 h of incubation and were completely denatured after 7 and 9 days. In the presence of organic solvents: EPES-lac and EPES-CLEAs showed more than 100% of their initial activity, while free laccase and CLEAs lost 95% and about 30% of their initial activity respectively. In the presence of ZnCl2 and EDTA, free laccase, CLEAs and EPES-lac activities dropped to 5, 35 and 50%, respectively while EPES-CLEAs maintained nearly 100% of their activity. | [38] |
| versicolor | network of chitosan and 3-aminopropyltriethoxysilane (APTES). Ammonium sulphate /Chitosan_EDAC. | of laccase and CLEAs dropped from 1110.6 U/g to 34.3 U/g and 55.7 U/g to 11.5 U/g respectively (ABTS). | amorphous and relaxed rather than compact and uniform. | | | |
| Laccase from T. | M-CLEAs. Amino-functionalized magnetic nanoparticles bonded to lac-CLEAs. Chilled propanol /glutaraldehyde. | Activity recovery ~ 32% (ABTS). | M-CLEAs = 48 – 74 nm with few agglomerated particles. | A laboratory-scale perfusion basket reactor (BR) application for continuous decolorization of dyes. | Optimal temperature and pH: Free laccase: 40 °C / pH 4 Lac-CLEAs: 4 °C / pH 5 M-CLEAs: 30 °C / pH 6 | [37] |
| Enzyme | Preparation | Specific Activity (U/mg) | Wavelength (nm) | Substrate Removal | Stability and Reusability | Reference |
|---------------------------------------------|------------------------------------------------------------------------------|--------------------------|-----------------|--------------------|-------------------------------------------------------------------------------------------|-----------|
| Laccase from *T. versicolor* | h-CLEAs. Preparation in a millifluidic reactor with two coaxial laminar flows. Acetonitrile/glutaraldehyde | 0.26 U/mg (ABTS) | ~220 nm | Trypan blue dye was decolorized within 270 min. | Free laccase optimum pH = 4. Free laccase retained around 42% and 13.9% of its optimal activity at pH 7.0 and 10.0, respectively. h-CLEAs retains about 90.4% and 80.9% of its activity at pH 7.0 and 10.0, respectively. h-CLEAs laccase can be trapped in a membrane for continuous degradation of trypan blue up to 96 h without losing any activity. | [173] |
| Crude laccase from *T. pubescens* | E-CLEAs (Entrapped CLEAs) E-lac (Entrapped laccase) Laccase was cross-linked with glutaraldehyde before entrapment into Ca-alginate beads. | Immobilization yield (> 72%) than that of the laccase immobilized only by entrapment (61.6%), (ABTS). | - | E-CLEAs: 99% removal of Bisphenol A (BPA) from an aqueous solution in 2 h in a batch experiment. BPA was removed in 10 successive batches with higher than 70% efficiency at the end of the last batch. | Thus, the free laccase: pH 3.0 and E-CLEAs: pH 4.0. Both catalysts showed optimal activity at 40 °C. At 70 °C, E-lac and E-CLEAs showed a relative activity of 49.1% and 54.6%, respectively, while the free laccase retained only 16.8% of its initial activity. | [39] |
| Laccase from *T. versicolor* | Entrapped lac-CLEAs; E-CLEAs. Entrapment carrier: porous silica Ammonium sulphate/Glutaraldehyde | E-CLEAs: 6.29 U/mg (ABTS), ≈50% specific activity loss upon the enzyme insolubilization. | Granulated appearance. | 40 min batch experiment with complete removal of total phenol in solution. | Thermal and pH stability and activity retention in hydrophobic and hydrophilic solvents. Good operational stability and reusability: > 79% of initial activity after 20 cycles of successive operations. | [34] |
3.7 Continuous reactors designed for lac-CLEA-based bioremediation
For economic and technical reasons, enzyme-based processes require reuse of the biocatalyst in long-time continuous operations. Different reactor configurations ranging from stirred tank to column-type reactors can be applied to enzyme reaction processes either in sequential batch operation or continuously (Fig. 3-2).
**Fig. 3-2.** Schematic reactor configurations for enzymes. Batch operation reactors: A) stirred tank; B) recirculation stirred tank. Continuous operation reactors: C) stirred tank; D) stirred tank membrane; E) packed bed; F) fluidized bed. (Adapted from [176]).
In batch mode operation, the biocatalyst is recovered after each batch process by centrifugation or filtration. If combined with a membrane filtration system, the biocatalyst can be directly recycled back to the batch reactor for a continuous operation. Despite this wide choice, there are very few studies on the continuous applications of lac-CLEAs. The trend in lac-CLEA-based technology focused on the development and stabilization of the biocatalysts (Table 3-2). These developments must ensure a high catalytic and operational stability to lac-CLEAs for an efficient continuous application. Nevertheless, few attempts to apply lac-CLEAs in continuous reactors have been proposed.
A perfusion basket reactor (PBR) was developed by [166] for the continuous operation of lac-CLEAs. The PBR consisted of an unbaffled basket made of a metallic filtration compartment filled with the biocatalyst and the reaction solution, which were continuously agitated (Fig. 3-3). The continuous elimination of some EDCs (nonylphenol, bisphenol A and triclosan) was monitored at an initial concentration of 5 mg/L for each EDC. The results showed that most of the EDCs were removed from the solution (> 85% removal) with a hydraulic retention time of 325 minutes. The performance of the PBR was stable over a week of continuous running [166].
**Fig. 3-3.** Experimental setup of the perfusion basket reactor (adapted from [166]).
Another reactor system was proposed for the continuous application of lac-CLEAs. The developed Hybrid Bioreactor (HBR) proposed by Ba et al. 2014 consists of a stirred tank reactor containing lac-CLEAs, combined with a polysulfone hollow fiber microfiltration membrane [164]. The membrane filtration system confined the lac-CLEAs and recycled them back to the
reaction solution (Fig. 3-4). The HBR was operated continuously for pharmaceutical compounds (acetaminophen, mefenamic acid, carbamazepine) removal in aqueous solution at an initial concentration of 100 μg/L for each compound. The results showed that the synergistic effects of the biocatalyst and the membrane filtration achieved complete elimination of acetaminophen and mefenamic acid and over 90% elimination of carbamazepine from wastewater. In addition, the system efficiently recycled the lac-CLEAs during the experiment with negligible fouling membrane phenomena [164]. Later, the same HBR system was operated using a combi-CLEA made of laccase and tyrosinase for a continuous elimination of a mixture of 14 pharmaceutical compounds from municipal wastewater at an environmentally relevant concentration of 10 μg/L [33]. The results showed complete removal of all active compounds after five days of operation. After the treatment, the Combi-CLEA retained ~70% of its initial enzymatic activity.
**Fig. 3-4.** Experimental setup of the hybrid membrane bioreactor (adapted from [164]).
These two examples demonstrated that the continuous operation of lac-CLEAs in reactors is feasible. However, the lack of a suitable design restricts the large-scale applications of lac-CLEAs. From these first attempts, it was shown that further investigation is needed to characterize the reactor design in depth and evaluate both parameters (catalytic and operational) for lac-CLEA applications in wastewater bioremediation.
The reactor design must be carefully chosen while taking into consideration the properties of the insolubilized biocatalyst. When applied to large-scale processes, lac-CLEAs will have low volumetric productivity which is influenced by the process volumetric flow. So, we believe that
for real application of lac-CLEAs in continuous mode, favored approaches, which are more compatible with potential streamflow, such as the one proposed by Ba et al. 2018 will be appropriate [33]. Another consideration when designing a suitable reactor for lac-CLEAs application is to understand and develop strategies to deal with the gradual decrease in enzyme activity during the operation processes [177].
All in all, the developed continuous reactors should be simple to implement for large-scale application purposes, adapted to current wastewater treatment plants and be economically sustainable [178].
### 3.8 Conclusions
Laccases are oxidoreductases, which show excellent potential for the elimination of emerging contaminants from municipal, industrial and hospital wastewaters. This potential has led to a focus on laccase immobilization and insolubilization techniques in recent decades. The insolubilization method using CLEA technology has been shown to apply to a wide range of enzymes, turning it into a useful tool for bioremediation processes. The simplicity of preparation, lower production costs from crude laccase extract and the possibility of combining laccases with other enzymes, are some of the advantages of CLEAs. Also, laccases only need oxygen to oxidize substrates, which is another significant economic advantage for large-scale bioremediation.
Recently, lac-CLEA technology has been improved with some strategies, such as a combination of formulation methods (e.g. physical entrapment of CLEAs) and the formation of polymer engineered structures. The developed strategies help to enhance the stability of lac-CLEAs and increase their applicability for wastewater bioremediation.
As the impact of PPCPs in the environment and the health risks associated with wastewater reuse are still not well-established, the growing interest in developing lac-CLEAs for wastewater bioremediation purposes gives hope for the refinement of current wastewater treatment. Lac-CLEAs may contribute to reducing the environmental risks associated with some PPCPs, which could help to ease and diversify wastewater reuse. At this time, efforts are still needed to understand the phenomenon governing the behavior and performance of lac-CLEA technology. In addition, to overcome the current limitations related to lac-CLEA operations in continuous
processes, more scaling-up experiments and applications in real conditions are needed. The choice of lac-CLEA technology for bioremediation of PPCPs from wastewater of other industrial biotechnological applications can be accelerated by the economic viability assessment of the biocatalyst production. To the best of our knowledge, no cost estimation of insolubilized lac-CLEA production has been published. Information on the profitability of lac-CLEA production could help industries and decision-makers analyze the feasibility of these sustainable technologies in bioremediation processes. Also, the lack of a suitable reactor design for the continuous application of insolubilized laccases also limits the lac-CLEA application in large-scale processes.
**Acknowledgements:** This project was supported by a grant from the Fonds de recherche du Québec - Nature et Technologie.
Chapitre 4 - Prétraitement fongique d’un effluent industriel de bioraffinerie et évaluation concomitante de la production de laccase
4.1 Avant-propos
Auteurs et affiliation : Arielle Farida Ariste\textsuperscript{a}, Ramón Alberto Batista-García\textsuperscript{a,b}, Vinoth Kumar Vaidyanathan\textsuperscript{a,c,*}, Nikila Raman\textsuperscript{c}, Vasanth Kumar Vaithyanathan\textsuperscript{a}, Jorge Luis Folch-Mallold, Stephen A. Jackson\textsuperscript{e}, Alan D. W. Dobson\textsuperscript{e,f}, Hubert Cabana\textsuperscript{a,*}
\textsuperscript{a} Department of Civil and Building Engineering, Université de Sherbrooke, Sherbrooke, Québec. Canada.
\textsuperscript{b} Centro de Investigación en Dinámica Celular, Instituto de Investigaciones en Ciencias Básicas y Aplicadas, Universidad Autónoma del Estado de Morelos. Cuernavaca, Morelos, Mexico.
\textsuperscript{c} Integrated Bioprocessing Laboratory, Department of Biotechnology, SRM Institute of Science and Technology. Kattankulathur, Chennai, India.
\textsuperscript{d} Centro de Investigaciones en Biotecnología, Universidad Autónoma del Estado de Morelos. Cuernavaca, Morelos, Mexico.
\textsuperscript{e} School of Microbiology, University College Cork. Cork, Ireland.
\textsuperscript{f} Environmental Research Institute, University College Cork. Cork, Ireland.
Date d’acceptation : 23 Décembre 2019
État de l’acceptation : version finale publiée
Revue : Journal of Cleaner Production
Référence : [Ariste et al., 2020]
Titre en français : Mycoremédiation de phénols et d’hydrocarbures aromatiques polycycliques dans un effluent de bioraffinerie et production concomitante d’enzymes ligninolytiques.
Contribution au document : Cet article propose une stratégie de sélection de WRFs pour la mycoremédiation de contaminants organiques persistants dans un effluent industriel de bioraffinerie. Cette étude a également permis de mettre en évidence la possibilité d’exploiter une stratégie de déphénolisation par mycoremédiation de l’effluent pour la production d’enzymes d’intérêt biotechnologique comme la laccase.
Résumé en français : Cette étude a évalué la capacité de sept souches fongiques à éliminer les phénols et à produire des enzymes à partir d’un effluent de bioraffinerie (BRW) à pH 7,0 non stérilisée résultant de la valorisation de la biomasse de bois traité. Deux stratégies consistant à ajouter du glucose et des copeaux de bois à faibles concentrations (4 g L\(^{-1}\)) pour supporter la croissance des champignons ont été étudiées. La caractérisation chimique du BRW a révélé la présence d’une concentration importante de certains composés organiques et inorganiques toxiques (chlorophénols, hydrocarbures aromatiques polycycliques et métaux lourds). Comparée à la biosorption, la biotransformation était le principal mécanisme impliqué dans l’élimination des contaminants. La mycoremédiation, utilisant *Pleurotus dryinus* et *Trametes hirsuta*, a atteint des taux de déphénolisation élevés (94 % et 100 %, respectivement), et a contribué à l’élimination d’autres composés organiques et inorganiques. Les résultats ont également démontré un potentiel de production d’enzymes ligninolytiques telle que la laccase durant le prétraitement du BRW. L’utilisation de déchets lignocellulosiques comme source de carbone a contribué à diminuer le coût du milieu de culture, mais pas le coût final de la production de la laccase. L’estimation des coûts de production de la laccase a montré que la stratégie 1, qui utilisait le milieu le plus cher (avec le glucose), était 60 fois et 4 fois moins chère pour *Pleurotus dryinus* et *Trametes hirsuta*, respectivement, que la stratégie 2, qui utilisait des copeaux de bois. La durée du traitement était un paramètre crucial à considérer pour obtenir une production rentable de laccase durant la mycoremédiation du BRW.
Mots-clés : Bois traité; effluent de bioraffinerie; Mycoremediation; Élimination des phénols; Hydrocarbures aromatiques polycycliques; Laccase; Estimation de coûts.
Title: Mycoremediation of phenols and polycyclic aromatic hydrocarbons from a biorefinery wastewater and concomitant production of lignin modifying enzymes.
Abstract: This study assessed the ability of seven fungal strains to remove phenols and produce enzymes from a non-sterilized pH 7.0 biorefinery wastewater (BRW) resulting from the valorization of treated wood biomass. Two strategies using glucose and woodchips at low concentrations (4 g L\(^{-1}\)) were studied. The chemical characterization of the BRW revealed the presence of a significant concentration of some toxic organic and inorganic compounds (chlorophenols, polycyclic aromatic hydrocarbons and heavy metals). Compared to biosorption, biotransformation was the primary mechanism involved in the elimination of the contaminants. Mycoremediation, using *Pleurotus dryinus* and *Trametes hirsuta*, achieved high dephenolization yields (94% and 100%, respectively), contributed to the removal of some other organic and inorganic compounds, and concomitantly produced laccase in the BRW. The use of lignocellulosic waste material as the carbon source contributed to decreasing the cost of the culture medium but not the final cost of laccase production. The laccase production cost estimate showed that Strategy 1, which used the most expensive medium (with glucose), was 60-fold and 4-fold less expensive for *Pleurotus dryinus* and *Trametes hirsuta*, respectively, than the Strategy 2, which used woodchips. The processing time was a crucial parameter to consider for achieving cost-effective of laccase production from sustainable BRW mycoremediation.
Keywords: Treated wood; Biorefinery wastewater; Mycoremediation; Phenol removal; Polycyclic aromatic hydrocarbon; Laccase; Cost estimate.
4.2 Introduction
Biorefineries have been gaining substantial attention because of their sustainability and the renewable nature of the biomass they use. The raw materials used in biorefineries can include treated wood used for utility poles, railway ties or sidewalks [179,180]. Canada is one of the primary producers of treated wood. The treated wood is obtained by the usage of pentachlorophenol (PCP), creosote and chromated copper arsenate (CCA) to protect the wood from the deterioration caused by microbial colonization [22]. Canadian treated wood is mostly used within the country, with only 10% of it being exported. Quebec is one of the largest wood
producers in the country, and as a result, biorefineries have gained more attention in this province [181].
Enormous opportunities exist for generating high-value products from recycling treated wood after its service life. However, the valorization process of treated wood releases harmful contaminants (chlorinated phenolic compounds, polycyclic aromatic hydrocarbons (PAHs), and heavy metals). Chlorophenols and PAHs are harmful to human health and can cause severe ecotoxicological issues due to their persistence and bioaccumulation properties. These compounds are known to accumulate in the liver, kidneys, adipose tissue and can be metabolized into even more toxic compounds. Their carcinogenic and mutagenic effects are also well established [3,48], and some of them are listed by the United States Environmental Protection Agency (USA-EPA) and the National Pollutant Release Inventory (NPRI) as priority environmental contaminants.
Consequently, due to the requirement of preliminary detoxification of the biomass, the recycling process of the treated wood can be challenging. The decontamination steps of the biomass generate toxic wastewater [182]. The discharge of this untreated wastewater into the environment or sewage network is not accepted as it contains high concentrations of hazardous chemicals from the wood preservatives.
Additionally, the high concentration of hazardous compounds does not allow conventional bioremediation treatment [20]. BRW from the lignocellulosic waste treatment processes can provide carbohydrates and other nutrients (i.e., organic and inorganic compounds), which can support microbial growth. However, microbial growth in biorefinery wastewater (BRW) to support biotechnological applications has not yet been investigated in depth. Microbes can grow in BRW and thus bring a promising alternative to exploit BRW as a resource, thereby helping to promote a sustainable treatment process. Furthermore, metals and lignin derivatives from wood material in BRW could support mycoremediation, by inducing fungal ligninolytic enzyme activity [20]. It is well known that fungi and their lignolytic enzymes can oxidize a wide range of chemical compounds in a variety of waste streams [10]. Thus, assessing the fungal ligninolytic capacity could be a valuable approach from a bioremediation perspective, to develop a sustainable mycoremediation process for BRW treatment.
Fungal growth in BRW, to support potential biotechnological applications (i.e., simultaneous pollutant removal and enzyme production), has not been investigated to any great extent to date. The mechanisms involved in fungi-based biotransformation processes include the extracellular production of lignin-modifying enzymes (LME) such as laccase (LAC) and lignin peroxidase (LIP), intracellular enzymes such as cytochrome P-450 and monooxygenase systems and sorption phenomena [14]. The efficiency of these enzymes for bioremediation has been extensively studied [95]. Although LME offers some advantages for environmental biotechnology applications, their utilization is still limited due to the relatively high production costs associated with using traditional growth media [183]. One potential solution for reducing the production cost of these enzymes could be using industrial waste streams as the growth media. Such an approach warrants further attention to determine whether these bioprocesses can be transferred to large-scale purposes, thereby appropriately addressing industrial needs.
In a previous study, twelve fungal strains from our in-house culture collection were screened to determine their potential to grow in BRW from treated wood. Seven fungal strains tolerated the toxic BRW conditions over a twelve-day incubation period [20]. The present work has been focused on these seven strains, intending to identify changes in the organic fraction of BRW during the mycoremediation process. Firstly, it was necessary to characterize the BRW. Secondly, the ability of the strains to produce LME for bioremediation of the BRW under the studied strategies was assessed. Finally, the mycoremediation potential based on the dephebolization of the BRW was evaluated, and a preliminary economic aspect of LAC production as a value-added product was assessed.
4.3 Materials and methods
All the reagents were of analytical grades and obtained from Fluka (Buchs, Switzerland) and Sigma-Aldrich (Saint-Louis, Missouri, United States). The experiment was performed under batch conditions in duplicate.
4.3.1 Characterization of the biorefinery wastewater
A second generation lignocellulosic biorefinery wastewater located in Quebec, Canada was used in this study. The total phenol content was evaluated spectrophotometrically. This method is based on the use of 4-aminoantipyrine (AAP) [184]. Briefly, phenolic compounds react with
AAP at pH 8 in the presence of potassium ferricyanide to form a colored antipyrine dye. Then the absorbance of the solution was measured at 500 nm. A calibration curve with phenol as the standard (in the range of 1 to 50 ppm) was used to calculate the total phenol concentration.
Phenolic compounds and PAHs were analyzed according to the standard method of the Quebec Centre of Expertise in Environmental Analysis [185,186]. A liquid/liquid (v/v) of the culture medium supernatant and solid-liquid extraction of the mycelium pellets for biosorption characterization was performed. Extractions were repeated twice using dichloromethane as solvents, as described by González-Abradelo et al. (2019) [187]. A G1800A Gas Chromatography-Mass Spectrometry (GC-MS) equipped with an electron ionization detector and an HP-5 MS fused-silica column (30cm × 0.25mm, 0.25mm film thickness) (Hewlett-Packard Company, Palo Alto, California, United States) was used to obtain an accurate quantification of phenols and PAHs. The data were acquired with the instrument operating in electronic impact ionization mode and selective ion acquisition mode. The injection volume was 1 µL. The limit of detection of the method was of the order of 0.05 µg L\(^{-1}\) and the quantification limit was 0.15 µg L\(^{-1}\). The column was held at 40 °C for 0.5 min then temperature was increased to 310 °C for 5 min at the rate of 20 °C min\(^{-1}\), 2 °C min\(^{-1}\) and 25 °C min\(^{-1}\) at the respective programming levels of 120 °C, 170 °C and 310 °C for phenolic compounds. For PAHs, the column temperature was held at 80 °C for 1 min then temperature was increased to 335 °C for 10 min at the rate of 35 °C min\(^{-1}\) and 3 °C min\(^{-1}\) at the respective programming levels of 320 °C and 335 °C. Helium was used as carrier gas at the flow rates of 1.1 ml min\(^{-1}\) and 1.4 ml min\(^{-1}\) respectively for phenolic compounds and PAHs. A total of twenty-eight phenolic compounds, fifteen PAHs and eight heavy metals were measured in the BRW. The concentrations of all analyzed compounds are given in Appendix A (Annexe 1).
Heavy metal concentrations were determined by using an inductively coupled plasma mass spectrometry (ICP-MS), equipped with an AS-93 auto-sampler (PerkinElmer Company, Woodbridge, Ontario, Canada). The method was set up as follows: 20 sweeps per reading, one reading per replication and three replications per sample. Germanium was used as an internal standard. A standard curve was prepared from 1,000 ppm single element ICP-MS grade standards (Delta Scientific, Mississauga, Ontario, Canada) and 2% nitric acid as the diluting solvent. The calibration was from 1 to 500 µg L\(^{-1}\). Diluting solvent and wash solutions were
prepared using nitric acid and ultra-pure water (18.2 MΩ.cm$^{-1}$) (ELGA Purelab System, ELGA LLC, Canada).
The chemical oxygen demand (COD) of the wastewater was determined by the standard method using the Hach-DRB-200 analyzer [188]. The COD values were determined by using AccuSPEC COD reagent tubes (1,500 ppm) (SCP SCIENCE Company, Québec, Quebec, Canada). The dilutions were prepared before the COD determinations, with the BRW being diluted between five and ten times to fit the recommended range of the analysis test tubes.
4.3.2 Fungal inoculation in biorefinery wastewater
Four ascomycetes (*Aspergillus caesiellus*, *Emericellopsis* sp., *Pseudogymnoascus* sp., *Trichoderma atroviride*) and three basidiomycetes (*Pleurotus dryinus*, *Phanerochaete chrysosporium*, *Trametes hirsuta*), were used during this study.
*A. caesiellus* was isolated from sugarcane bagasse enriched with 2M NaCl [189]. The *Emericellopsis* and *Pseudogymnoascus* species were isolated from deep marine sponges [182]. The *T. atroviride* strain used in this study carries a recombinant clone that expresses the LAC gene from *Pycnoporus sanguineus* [77]. The basidiomycetes, *P. dryinus* IBB 903, *P. chrysosporium* ATCC 787 and *T. hirsuta* MTCC 1171 were obtained from the Institute of Biochemistry and Biotechnology in Georgia, the American Type Culture Collection Centre, and the Microbial Type Culture Collection Centre in India, respectively.
The strains were grown in Petri plates containing potato dextrose agar (dextrose: 20 g L$^{-1}$, agar: 15 g L$^{-1}$ and potato starch: 4 g L$^{-1}$) under sterile conditions. A 1 cm$^2$ agar plug from the fungal growing region was inoculated onto agar Petri dishes and incubated at 30 °C for seven days to obtain the inoculum. After seven days of growth on agar plates, four seven-millimeter diameter plugs (selected at the same physiological state on the youngest border of one colony ≈ $10^8$ spores) were separately inoculated into 100 mL of non-sterilized BRW in 250 mL Erlenmeyer flasks. The cultures were grown in batch conditions in an orbital shaker at 150 rpm at 27 °C. The pH of the BRW was lowered to a neutral pH using 0.1 N sulfuric acid before inoculation.
Two strategies were assessed for mycoremediation of the BRW: *Strategy 1*) BRW supplemented with 4 g L$^{-1}$ of glucose and *Strategy 2*) BRW supplemented with 4 g L$^{-1}$ of cylindrical woodchips (6 mm in diameter and 10 mm in length) from *Pinus arizonica*. The sample was periodically
withdrawn to determine pH, protein concentrations and enzymatic activities: LAC, LIP and aryl alcohol oxidase (AAO), as well as phenols and PAHs measurement. The supernatants and pellets were obtained by centrifugation of the sample at 10,000 ×g for 15 minutes. Non-inoculated flasks and non-sterile BRW were used as controls. All the parameters mentioned above were determined for cultures derived from both strategies for the seven tested fungi.
4.3.3 Mycoremediation of the biorefinery wastewater
Protein concentration was estimated using the bicinchoninic acid (BCA) test kit from Thermo Fisher Scientific (Rockford, Illinois, United States). BCA determination was performed by colorimetric detection at 562 nm, and bovine serum albumin was used as a standard for total protein quantification [190].
LAC, LIP and AAO activities were determined according to previously reported methods [139]. LAC activity was determined by measuring the conversion of 1 mM 2,2’-azino-bis-(3-ethylbenzthiazoline-6-sulfonic acid) (ABTS) to its radical cation (ABTS⁺) at 420 nm (molar extinction coefficient (E) = 36,000 M⁻¹ cm⁻¹) in 0.1 M sodium acetate buffer (pH 4). The LIP assay measured the oxidation of 2 mM veratryl alcohol at 310 nm (E = 9,300 M⁻¹ cm⁻¹) in 0.1 M tartrate buffer at pH 3 in the presence of 0.4 mM H₂O₂. AAO activity was measured by following the oxidation of 10 mM veratryl alcohol to veratraldehyde at 310 nm in 0.1 M sodium phosphate buffer, pH 6.
All protein content and enzyme activity assays were conducted in 96-well plates and spectrophotometrically determined by using a double-beam UV–Vis spectrophotometer SpectraMax Plus 384 (Molecular Devices Corp., Sunnyvale, California, United States). One unit of enzymatic activity (U) represents the amount of enzyme that forms 1 μmol of product per minute.
The removal of pollutants from the BRW was monitored after 38 days following fungal inoculation. Total removal and adsorption percentages were determined for both strategies. The extent of removal was calculated according to equation 1 and expressed as a percentage. C_initial represents the initial phenol concentration in the BRW before treatment and C_final, the final phenol concentration in the BRW after treatment.
Extent of removal = \((\frac{(C_{initial} - C_{final})}{C_{initial}}) \times 100\)
The adsorption capacity was determined by washing the pellets with sterile deionized water and vigorously shaking and sonicating them after centrifugation to facilitate the desorption. The most promising strains, according to the dephebolization ability and LME production, were selected for subsequent experiments.
4.3.4 Cost Estimate of laccase production from biorefinery wastewater mycoremediation
The production of value-added products from a mycoremediation treatment is a sustainable alternative to valorize this treatment by the production of valuable products such as enzymes, polysaccharides or other organic compounds [191]. In this study, instead of considering the BRW and fungal biomass as waste to discard, we considered them as valuable products to produce a potentially high biotechnological enzyme (LAC).
The cost estimate of LAC production helps to determine whether the application of a non-sterilized bioprocess strategy of utilizing the BRW to produce an enzyme can benefit the overall mycoremediation process. All prices are given in 2019 Canadian dollars, CAD ($), and all the costs were evaluated for one cycle of 18 litres of BRW mycoremediation, based on the shaker capacity. The calculations are based on the cost estimate of biocatalyst production determined by Osma et al. (2011) [183]. Five terms contributing to the total cost of enzyme production were considered: the cost of the culture medium (\(C_{CM}\)), the equipment cost (\(C_{EQ}\)), the operation cost (\(C_{OP}\)), the time taken to obtain maximum enzyme activity (\(D_{MAX}\)) and the volume of the crude enzyme (\(V_{CE}\)).
For the \(C_{CM}\), the production cost of BRW was considered insignificant because it is a waste that can be disposed of. For this reason, its cost was assumed to be null. However, we considered the cost of the sulfuric acid used to adjust the pH of the BRW ($0.004 per production cycle) based on a review of the sulfuric acid market in 2017 [192]. To help fungal growth and enzyme production, BRW was enriched with two carbon sources; glucose ($0.026 per production cycle) and woodchips ($0.004 per production cycle) at low tested concentration (4 g L\(^{-1}\)) for both strategies. The market price for glucose was $0.360 kg\(^{-1}\) [193], and $0.060 kg\(^{-1}\) of dry weight based on local sawmill prices in February 2019 for the woodchips.
Regarding the $C_{EQ}$, two equipment models were used for enzyme production, a Megafuge 8 centrifuge from Thermo Fisher Scientific (Montreal, Quebec, Canada) and an Innova 2300 platform shaker from New Brunswick Scientific (Midland, Ontario, Canada). Each $C_{EQ}$ was expressed based on the price of the equipment, its capacity and lifetime (Equation (2)). Let us assume that $D_{MAX}$, the maximum enzyme activity of the culture, was obtained in 30 days. Then, the number of cycles that the given equipment can be used is 12 times every year. The capacity of the equipment ($C_{AP}$) has been taken into consideration to determine the maximum number of cultures that can occur in each cycle. The manufacturer’s description was consulted to calculate the power consumption and capacity of the equipment. Another essential term in this process is the lifetime (LT) of the given equipment, which is the warranty period. The warranty periods were: 730 days for the shaker and 365 days for the centrifuge. The price (P) of the shaker was $9,611, and the price (P) of the centrifuge was $2,139.
$$C_{EQ} = \frac{P}{((365/D_{MAX}) \times LT \times C_{AP})} \quad (2)$$
The total $C_{EQ}$ is represented as the sum of the $C_{EQ}$ of the shaker and the centrifuge (equation 3).
$$Total\ C_{EQ} = (C_{EQ}\ centrifuge + C_{EQ}\ shaker) \quad (3)$$
The energy spent using the shaker and the centrifuge reflects the culture conditions in the calculation and is considered as the $C_{OP}$. The human resource cost of the given process was not considered supposing that the process is automated and does not require manual labor. The operating capacity of the centrifuge is limited by the capacity of the shaker. So, the $C_{EQ}$ and $C_{OP}$ of the centrifuge were calculated using the $C_{AP}$ of the shaker (equations 2 and 4).
$$C_{OP} = \frac{(E \times D_{MAX} \times 24)}{C_{AP}} \quad (4)$$
$E$ represents the energy price in CAD ($). Its calculation was obtained by equation 5. Operation time for the shaker was considered equal to $D_{MAX}$ and was estimated at 15 hours for the centrifuge.
$$E = Energy\ price\ (\$/kW^{-1}h^{-1}) \times Power(kW) \times Operation\ time(h) \quad (5)$$
The total $C_{OP}$ is represented as the sum of the $C_{OP}$ of the centrifuge and shaker (equation 6).
$$Total\ C_{OP} = (C_{OP}\ centrifuge + C_{OP}\ shaker) \quad (6)$$
The total enzyme production cost ($C_T$) is affected by $C_{CM}$, $C_{EQ}$ and $C_{OP}$ (equation 7).
$$C_T = (C_{CM} + Total \ C_{EQ} + Total \ C_{OP})$$
(7)
The final enzyme production cost ($C_{EP}$) is the measure of the total enzyme production cost divided by the product of maximum enzyme activity ($D_{MAX}$) and volume of crude extract ($V_{CE}$) that was fixed as the capacity of the shaker (18 litres) (equation 8).
$$C_{EP} = \frac{Total \ cost}{(D_{MAX} \times V_{CE})}$$
(8)
4.3.5 Statistical analysis
Statistical analysis was performed by variance analysis (one-way ANOVA) using Tukey test to determine statistically significant differences. The analysis tools of SigmaPlot version 12.0 (Systat Software, San Jose, CA) was used for the statistical analysis. All the assays were carried out in triplicate with three independent measurements for each test, and the mean value was used ($\pm$ standard deviation).
The levels of significance are expressed as a p-value < 0.05. All analysis was performed in triplicate.
4.4 Results and discussion
4.4.1 Initial characteristics of biorefinery wastewater
Two groups of organic pollutants (phenolic compounds and PAHs) were identified and quantified in the BRW (Annexe 1: Appendix A). The BRW displayed a high COD level (3.5 g L$^{-1}$). The phenols, in their chlorinated forms, were predominant. Twenty-eight phenolic compounds were identified with a total concentration of 28,323 µg L$^{-1}$. PCP, the most commonly used wood preservative was predominant at 84%, followed by 2,3,5,6-tetrachlorophenol (TCP), which represented 15.5% of the total phenolic compound’s concentration (Table 1). Fifteen PAHs were measured in the BRW, with a total concentration of 498.5 µg L$^{-1}$. The main PAHs detected were phenanthrene (PHE), fluoranthene (FLU), pyrene (PYR) and benzo(a)anthracene (BAA) (Table 1).
Heavy metals were also found in the BRW. The major compounds were arsenic (2,950.0 µg L\(^{-1}\)) followed by copper (827 µg L\(^{-1}\)), iron (709 µg L\(^{-1}\)) and zinc (436 µg L\(^{-1}\)). Other metals were found at lower concentrations. These are: manganese (61 µg L\(^{-1}\)), mercury (28 µg L\(^{-1}\)), lead (19 µg L\(^{-1}\)) and cadmium (1 µg L\(^{-1}\)) (Annexe 1: Appendix A).
Copper, iron, manganese and zinc are essential metals for living organisms. However, they are toxic at high concentrations. Other metals such as cadmium, mercury and lead are also known to display toxic properties [194]. Arsenic is also a toxic metal found in the environment and has demonstrated carcinogenic effects in humans, as well as toxicity in plants and animals [195].
BAA is classified as a potential human carcinogen, while the carcinogenic potential of FLU, PHE and PYR has not yet been established. The Canadian Environmental Quality Guidelines (CEQG) provides recommendations for water quality and terrestrial ecosystems regarding the concentration of phenols and PAHs in the environment. The concentration of phenols and PAHs present in the BRW was very high when compared to the guidelines (Table 4-1).
The characterization of the BRW shows that the effluent contains a cocktail of toxic compounds. So, it is necessary to find an appropriate pretreatment before discharging it into a sewage treatment plant or the environment.
Table 4-1. The physicochemical parameters and concentrations of selected phenols [pentachlorophenol (PCP) and 2,3,4,6-tetrachlorophénol (TCP)], and polycyclic aromatic hydrocarbons (PAHs) [benzo(a)anthracene (BAA), phenanthrene (PHE), fluoranthene (FLU) and pyrene (PYR)]. Cs represents the aqueous solubility at 25 degrees Celsius and Log Kow, the octanol-water partition coefficient.
| Compound | Molar mass (g mol⁻¹) | Cs (25 °C) (mg L⁻¹) | Log Kow | Concentration in BRW (µg L⁻¹) | Recommendations a CEQG (µg L⁻¹) * (mg kg⁻¹ DW) # | Health and environmental risks b |
|----------|----------------------|---------------------|---------|-------------------------------|--------------------------------------------------|--------------------------------|
| Phenols | | | | | | |
| PCP | 266.3 | 14 | 5.1 | 23,800 ± 2,380 | 0.5* 7.6# | Carcinogenic Very toxic to aquatic organisms |
| TCP | 231.9 | 1×10³ | 4.4 | 4,380 ± 526 | n.d.* 0.5# | Carcinogenic, teratogenic toxic to aquatic organisms |
| BAA | 228.3 | 9.4×10⁻³ | 5.7 | 18.8 ± 2 | 0.018* n.d.# | Carcinogenic, teratogenic toxic to aquatic organisms |
| FLU | 202.3 | 0.26 | 5.1 | 121.4 ± 14 | 0.04* n.d.# | Toxic to some organs Toxic to aquatic organisms |
| PAHs | | | | | | |
| PHE | 178.2 | 1 | 4.4 | 212 ± 24 | 0.4* n.d.# | Toxic and bioaccumulation effect in fish, molluscs and algae |
| PYR | 202.3 | 0.13 | 4.8 | 86.8 ± 10 | 0.025* n.d.# | Toxic and bioaccumulation effect in fish, molluscs and algae |
a Canadian Environmental Quality Guidelines for *pure water quality and aquatic life protection, and #for soils and human health for the residential and park environment.
b Data from PubChem – https://pubchem.ncbi.nlm.nih.gov/compound and International Agency for Research on Cancer – http://www.cancer-environement.fr/226-Classification-du-CIRC.ce.as
n.d.: data not available.
4.4.2 Fungal growth in biorefinery wastewater
Preliminary experiments have demonstrated that any of the studied fungi could grow in the hyperalkaline BRW at pH 12.4. In this study, the pH of the BRW was adjusted to neutral pH 7.0 using sulfuric acid before inoculation. The common trend observed when the fungi were grown in BRW supplemented with glucose was a shift in the pH to an acidic range (4 < pH > 5). In contrast, when the BRW was supplemented with woodchips, the pH increased to an alkaline range (8 < pH > 9).
pH plays a significant role in mycoremediation because fungal growth, enzymatic activity and stability, and the contaminants’ availability are pH-dependent [196]. When the fungi were grown in the presence of sugars, it resulted in the production of organic acids, which contributed to the acidification of the media [197]. The pH value is also a controlled parameter for industrial wastewater before it can be discharged into the municipal sewage network. The variation in pH, which occurred during fungal growth when supplemented with woodchips, would be acceptable for the discharge of the effluent after mycoremediation. However, the BRW treated in the presence of glucose would require an additional pH adjustment step, before being discharged, which would potentially increase the overall operational costs.
The initial protein concentration in the BRW was determined to be 2 g L\(^{-1}\). For both strategies, and all the fungal strains, the dynamics of protein production were similar. In general, during the first week (Day 0 to Day 6), the protein content increased to reach a maximum concentration of 3 to 4 g L\(^{-1}\), before it slightly decreased and stay constant between 2 and 3 g L\(^{-1}\) (data not shown). The control samples displayed an insignificant variation in protein concentration over the experiment. So, the most significant contribution to the increase in protein was not due to the original microbiota, but, to the fungal growth and LME production in BRW.
The most studied LME in biotechnological applications is LAC. Maximal LAC activity was observed in *P. dryinus* and *T. hirsuta* after Day 7 and Day 3 when supplemented with glucose and after Day 35 and Day 3 in the presence of woodchips, respectively, for both strains. No LAC activity was observed after Day 20 for *T. hirsuta* for both strategies, contrary to *P. dryinus*, which displayed LAC activity throughout the experiment. Other enzymes among the tested LME were also detected during the fungal growth. All the fungal strains produced AAO when
BRW was supplemented with glucose. *T. hirsuta* and *Emericellopsis* sp. showed the highest AAO activity on Day 16 and Day 13, respectively (Table 4-2). When BRW was enriched with woodchips, only three basidiomycetes (*P. chrysosporium*, *P. dryinus* and *T. hirsuta*) produced AAO on Day 9. LIP activity was only observed in *T. hirsuta* on Day 3 when it was inoculated in the presence of glucose. In BRW supplemented with woodchips, LIP activity was observed on Day 6 in two ascomycetes (*A. caesiellus* and *Emericellopsis* sp.), and the two basidiomycetes (*P. dryinus* and *T. hirsuta*) on Day 6 and Day 3, respectively (Table 4-2).
**Table 4-2.** Laccase (LAC); lignin peroxidase (LiP); aryl alcohol oxidase (AAO) maximum activity detected in the BRW.
| Fermentation system | Enzymes | Fungal strain | Maximum enzyme production |
|---------------------|---------|---------------------|---------------------------|
| | | | Enzyme activity (U L\(^{-1}\)) | Culture duration (days) |
| **Strategy 1** | AAO | *A. caesiellus* | 70 | 16 |
| | | *Emericellopsis* sp.| 107 | 17 |
| | | *Pseudogymnoascus* sp.| 63 | 16 |
| | | *T. atroviride* | 63 | 9 |
| | | *P. chrysosporium* | 81 | 13 |
| | | *P. dryinus* | 75 | 16 |
| | | *T. hirsuta* | 119 | 16 |
| | LAC | *P. dryinus* | 32 | 7 |
| | | *T. hirsuta* | 17 | 3 |
| | LiP | *T. hirsuta* | 139 | 3 |
| **Strategy 2** | AAO | *P. chrysosporium* | 69 | 10 |
| | | *P. dryinus* | 65 | 13 |
| | | *T. hirsuta* | 84 | 9 |
| | LAC | *P. dryinus* | 60 | 3 |
| | | *T. hirsuta* | 47 | 35 |
| | | *Emericellopsis* sp.| 89 | 16 |
| | | *A. caesiellus* | 136 | 3 |
| | | *P. dryinus* | 59 | 6 |
| | | *T. hirsuta* | 131 | 6 |
The nature and concentration of the carbon source are known to play a critical role in LME production in fungi [198]. Thus, the BRW or the added carbon sources (glucose or woodchips) appeared to have an influence on LME production during fungal growth. Glucose at concentrations ranging from 5 to 20 g L\(^{-1}\) has been used as a co-substrate to enhance fungal growth in bioremediation processes [199,200]. For industrial applications, it could be
excessively expensive, making the process economically unsustainable. However, some other waste materials could be used to replace glucose. BRW is a very complex matrix that contains many pollutants with unknown cocktail effects on microbial growth. Therefore, the effects of adding glucose at low concentration (Strategy 1) and woodchips (Strategy 2) to the BRW as grow medium was assessed.
In this work, the tested strategies demonstrated that, as a cheap and effective culture medium, BRW supplemented with lignocellulosic waste material could support both fungal growth and LME production for mycoremediation.
4.4.3 Fungal screening based on biorefinery wastewater dephenolization
Practically all fungi caused a high total phenol removal rate (>85%) for both strategies after 30 days, apart from *Emericellopsis* sp., which showed a lower removal rate (51%) when supplemented with woodchips (Fig. 4-1). The biosorption potential of all the strains was around 10%, except for *A. caesiellus* and *P. dryinus*, where biosorption of phenols was not observed. *T. hirsuta* also showed an insignificant sorption potential (4% and 6% for Strategy 1 and Strategy 2, respectively) (Fig. 4-1).
The total phenol removal rate was slightly lower when BRW was enriched with woodchips than with glucose. When BRW was supplemented with woodchips, the maximal phenol concentration observed during the experiment was twice the initial concentration in the first two weeks of treatment. After Day 15, the phenol content gradually decreased until the end of the experiment (time course data not shown).
Mycoremediation efficiency of phenolic compounds in aqueous streams is a function of various parameters such as temperature, substrate concentration, enzyme type, pH, reaction time or rotational speed [83]. LAC has been recognized to be an efficient enzyme for phenol removal [201]. The basidiomycetes that showed LAC activity (*P. dryinus* and *T. hirsuta*) were the most efficient strains for phenol degradation. However, LAC may not be the only enzyme involved in the BRW dephenolization process. These results also indicate that phenol removal in BRW was predominantly attributed to fungal degradation and not to biosorption, excluding *Emericellopsis* sp. when supplemented with woodchips for which the total phenol removal (51%) was caused by biosorption (49%) (Fig. 4-1).
Comparable results in the removal of phenols from industrial wastewater using fungal treatment was observed under similar conditions (high phenol concentrations) [19,202]. So, among the forty-nine white-rot fungal strains screened for diluted olive-mill wastewater dephenolization, Ntougias et al. 2015, found that all strains were able to grow in the effluent and degrade more than 60% of total phenolic compounds after five weeks of incubation. *Pleurotus* and *Trametes* species were top degraders of phenol with respectively, more than 95% and 80% removal [19]. Basidiomycetes are more often used in fungal whole-cell treatment for phenol removal [203]. Our results are in accordance with previously reported works and show that basidiomycetes are more efficient in removing phenols (Fig. 4-1).
**Fig. 4-1.** Total phenol removal from the BRW by the studied strains (A: Strategy 1 and B: Strategy 2). Values plotted are the means and the error bars represent the standard deviation of triplicate assays.
The experimental conditions (dilution or sterilization), also play an essential role in phenol degradation processes. The sterilization process slightly increases the phenol degradation efficiency compared to non-sterile and diluted industrial olive mill effluent using *P. ostreatus* [202]. However, for an industrial application, such pretreatment of the effluent before mycoremediation would increase the processing cost. In this study, we showed that fungi can use phenolic compounds as a carbon source to grow under the tested non-sterile condition. So, such thermal pretreatment is not required for total phenol elimination from BRW.
Similar results have been published where the fungus *A. awamori* was able to remove 85% phenol content after six days in a liquid medium supplemented with phenolic compounds (3 g L\(^{-1}\)) as the only carbon and energy source [204]. These results open the door to a less expensive treatment option for industrial effluent rich in phenolic compounds. However, most of the time, bioremediation applied to real effluents, requires the addition of a co-substrate such as glucose. The co-substrate may help to increase the efficiency of the treatment, but it is usually considered as a drawback for the treatment because it will induce additional costs [205].
The depolymerization of lignin from the wood material increased the phenol level in the BRW. In some cases, using an inexpensive woodchip material as an external carbon source can be a source of secondary contamination that can slow down phenol removal from the BRW. Thus, screening different carbon sources and optimizing the concentrations is necessary.
### 4.4.4 Mycoremediation of organic and inorganic compounds from biorefinery wastewater
Fungi transform organic and inorganic compounds with their enzymes and synthesis system metabolites that perform physicochemical modifications. The variation of the organic compounds (Chlorophenols and PAHs) was monitored after 30 days culture for *P. dryinus* and *T. hirsuta* in BRW.
The elimination of phenolic compounds (PCP and TCP) was favoured in the presence of glucose (Fig. 4-2). The highest PCP removal (25.6 %) was observed in the presence of glucose for *T. hirsuta*. In contrast to phenolic compounds, a high PAHs removal level was observed, which reached up to 90% in some cases (Fig. 4-2). *P. dryinus*, demonstrated better PAHs removal potential than *T. hirsuta* when grown in presence of glucose, while both strains showed similar
removal levels when grown in BRW supplemented with woodchips (Fig. 4-2). Relative to the control samples, degradation of all the monitored organic contaminants was observed apart from PCP. In general, for both strategies, total removal percentages increased following inoculation of BRW with *P. dryinus* and *T. hirsuta* (Fig. 4-2).
**Fig. 4-2.** Phenolic compounds and polycyclic aromatic hydrocarbons (PAHs) removal from BRW after mycoremediation treatment (A and A’: represent respectively *P. dryinus* and *T. hirsuta* for Strategy 1, and B and B’ represent respectively *P. dryinus* and *T. hirsuta* for Strategy 2). Values plotted are the means and the error bars represent the standard deviation of triplicate assays.
The COD value allowed to determine any potential reduction in the degree of total organic composition in the BRW. The COD concentration decreased by around 30% for Strategy 1 and
20% for Strategy 2, which is quite encouraging. Regarding inorganic compounds, all metal concentrations found in the BRW complied with the legislation except for arsenic for which the concentration (2,900 μg L\(^{-1}\)) was almost three times above the regulation (1,000 μg L\(^{-1}\)). So, metal removal was not considered as a principal goal in this study. Only arsenic was a problematic heavy metal in BRW. The highest percentage of arsenic removal was obtained with Strategy 1 for both strains, with around a 10% removal of arsenic from the BRW, while Strategy 2 showed an insignificant increase from 1 to 3% in the arsenic level in the BRW. Our results indicate that acidic pH (Strategy 1) was most suitable for arsenic removal (Fig. 4-3).
**Fig. 4-3.** Metal concentrations in the BRW before and after fungal treatments (A: Strategy 1 and B: Strategy 2). Values plotted are the means and the error bars represent the standard deviation of triplicate assays.
Chlorophenols are resistant to biodegradation, mainly when the chlorine atoms are located at both the *meta* and *para* positions [206]. For both strategies, the removal of PCP was challenging compared to TCP. PCP is a *para* and *meta*-substituted phenolic compound, which confers it a high degree of stability and limited biodegradability. Most of the PAHs present in the BRW are low molar mass compounds, which are known to be more readily biodegradable. The biodegradation of PAHs can be negatively impacted due to their low solubility, thereby limiting the application of liquid bioremediation processes [207]. Also, the presence of other compounds, such as heavy metals is known to facilitate PAHs removal [208].
In most cases, adsorption by the fungal biomass did not markedly contribute to the total removal. These removal levels again support the theory that the microbes present in the BRW are physiologically active. Thus, biotransformation was the primary mechanism involved in the elimination of phenols and PAHs.
However, like all monitored contaminants, COD reduction cannot be correlated to any specific enzyme activity, as a cocktail of ligninolytic enzymes and intracellular degradation mechanisms are likely to be involved in the mycoremediation process [14]. The COD removal levels observed were lower than those observed in the literature (> 40%) for the removal of organic compounds [19]. It is important to remember that the experiment described here was not conducted under optimal growth conditions, which might improve the removal of xenobiotics.
The removal of arsenic in water depends on parameters such as temperature, pH and organic compounds. These results are consistent with [209] study, which demonstrated that the arsenic removal percentage decreased as the pH of the solution increased. Arsenic can be removed from a solution by biotic absorption, adsorption of iron or manganese hydroxides or by a fixation with organic matter [210]. All these interactions can influence the presence of arsenic in the BRW. Fungi are also using some pathways to entrap and accumulate metals in their cells. Therefore, the slight increase in arsenic concentration in Strategy 2 could also be due to cells lysis [209]. Despite the differing results from Strategies 1 and 2, additional experiments are required to optimize and better understand the mechanisms of *P. dryinus* and *T. hirsuta* in arsenic removal from complex BRW.
Mycoremediation using *P. dryinus* and *T. hirsuta* achieved high dephenolization yields and contributed to removing some other organic and inorganic compounds, and concomitantly
producing LME from a hazardous BRW in non-sterile condition. As bioremediation depends a lot on the process operation conditions, further studies are required for better characterization of the behavior of these strains in BRW mycoremediation. Efforts are needed to focus on optimization of the physicochemical parameters (pH, carbon source type and concentration), considering the variability in the effluent composition and the large-scale implementation.
4.4.5 Economic assessment of laccase production
In the past decades, LAC from white-rot fungi (WRF) has found a prominent place in various biotechnological applications, and it is essential to find the cheapest ways to produce LAC. The use of waste materials as a substrate is economically advantageous, and cost analysis of this process is necessary to help industries choose the best treatment strategy. The cost estimate of this mycoremediation process is based on the work of [183] (see details in section 4.2.5). Among the tested fungi, *P. dryinus*, and *T. hirsuta* can be regarded as the best candidates to grow in BRW and to produce LAC. To produce the fungal culture independent of variants, like the cost of materials and nutrients used to prepare traditional media, BRW was enriched in a low concentration of glucose and an inexpensive readily available material (woodchips).
When supplemented with glucose, the $C_{CM}$ ($0.30) is 30-times higher than the $C_{CM}$ ($0.01) with woodchips (Table 4-3). This result confirmed that lignocellulosic waste material, as the main constituent of the fungal growth medium, results in a decrease in the $C_{CM}$ [183]. The most sensitive parameter for such a fermentation process cost estimate is the $D_{MAX}$. A higher $D_{MAX}$ implies a higher $C_{EQ}$ and $C_{OP}$. For a $D_{MAX}$ 11-times higher, LAC produced by *P. dryinus* in Strategy 2 showed $C_{EQ}$ and $C_{OP}$, respectively 8-times and 128-times higher compared with Strategy 1 (Table 4-3). The same trend was observed for *T. hirsuta* with a $D_{MAX}$ 3-times higher, resulting in the $C_{EQ}$ and the $C_{OP}$ being respectively 3-times and 9-times higher in Strategy 1 (Table 4-3).
Table 4-3. Cost analysis of one cycle of laccase (LAC) production (18 Liters) under different cultivation conditions using biorefinery wastewater (BRW). The cost of culture medium ($C_{CM}$), total equipment costs ($C_{EQ}$), total operating costs ($C_{OP}$) and the final costs are given in Canadian dollars, CAD ($) for 2018-2019.
| Fermentation system | Strategy 1 | Strategy 2 |
|---------------------|------------|------------|
| **Fungal strains** | $P. dryinus$ | $T. hirsuta$ | $P. dryinus$ | $T. hirsuta$ |
| **Equipment** | Shaker | Centrifuge | Shaker | Centrifuge | Shaker | Centrifuge |
| Price P ($) | 9,611 | 2,139 | 9,611 | 2,139 | 9,611 | 2,139 |
| Lifetime LT (days) | 730 | 365 | 730 | 365 | 730 | 365 |
| Capacity Cap (L) | 18 | 0.2 | 18 | 0.2 | 18 | 0.2 |
| Operation time (h) | 72 | 15 | 72 | 15 | 816 | 15 |
| Power (kW) | 1.2 | 0.31 | 1.2 | 0.31 | 1.2 | 0.31 |
| Energy price ($ kW^{-1} h^{-1}$) | 0.06 | 0.06 | 0.06 | 0.06 | 0.06 | 0.06 |
| $D_{MAX}$ (days) | 3 | 3 | 3 | 3 | 34 | 9 |
| LAC (U L$^{-1}$) | 31.7 | 31.7 | 16.9 | 16.9 | 60.8 | 38.4 |
| $C_{EQ}$ ($) | 0.06 | 0.06 | 0.06 | 0.06 | 0.06 | 0.19 |
| $C_{OP}$ ($) | 20.4 | 0.01 | 20.4 | 0.02 | 2,623.5 | 0.02 |
| Total $C_{CM}$ ($) | 0.3 | 0.3 | 0.01 | 0.01 |
| Total $C_{EQ}$ ($) | 0.1 | 0.1 | 0.8 | 0.3 |
| Total $C_{OP}$ ($) | 20.4 | 20.4 | 2,623.5 | 183.8 |
| Total cost ($) | 20.8 | 20.8 | 2,624.3 | 2.4 |
| Final cost $C_{EP}$ ($ U^{-1}$) | 0.04 | 0.07 | 2.4 | 0.27 |
The high $D_{\text{MAX}}$ contributed to an increase in the final LAC $C_{\text{EP}}$. The results showed that a low $C_{\text{CM}}$ did not necessarily result in a low $C_{\text{EP}}$. This conclusion was also confirmed by [171], who demonstrated in a more detailed cost analysis that the most expensive medium using glucose was two times cheaper than the one using agricultural material (wheat bran). LAC productivity in the presence of glucose was double that in the strategy using agricultural material (Table 4-2). So, the assumption that reducing the biocatalyst production cost by using inexpensive waste material as a substrate to grow fungi and produce a low-cost enzyme hypothesis is not always true. Undeniably, the $D_{\text{MAX}}$ plays a crucial role in the final cost. A scale-up process can contribute to a reduction in the $C_{\text{EP}}$ by changing the process productivity. Osma et al. demonstrated that an increase of fermentation surface area by 7.5 times allows a reduction of 22% of the final cost of LAC produced by *T. pubescens* using sunflowers as a growth substrate [183]. Another approach that can be used to decrease the $C_{\text{EP}}$ is to improve fermentation productivity by optimizing the fermentation medium and consequently decreasing the $D_{\text{MAX}}$. The time course of laccase in the presence of woodchips showed significant activity in the early stage of the culture compared to the $D_{\text{MAX}}$ (Fig. 4-4). Laccase production is quite high on Day 3, which could significantly reduce the $D_{\text{MAX}}$ and, therefore, the $C_{\text{EP}}$.
**Fig. 4-4.** Time course of laccase activity during mycoremediation of the biorefinery wastewater (A: Strategy 1 and B: Strategy 2). Values plotted are the means and the error bars represent the standard deviation of triplicate assays.
A comparative view of the enzyme production profile from different wastewater with the results obtained from the present study demonstrates that BRW could be valorized as a fermentation substrate for mycoremediation. From these reports, the most popular growth medium is olive mill wastewater, which is an excellent substrate for laccase production ranging from 100 to 1,000 U L\(^{-1}\) in various fungal strains [19,191]. To the best of our knowledge, this is the first study where non-sterilized BRW from treated wood biomass recycling was used as a fermentation medium for fungal growth, to achieve mycoremediation and to produce LAC. Sterilized media typically results in better enzyme production levels versus non-sterile conditions. Contrary to some published studies, the BRW demonstrates good potential for LAC production in non-sterile conditions (Table 4-4).
This study was not focused on process optimization through medium engineering and cost-effective production of LAC. Even if mycoremediation is advantageous for phenol removal in BRW, the process still requires additional research to find practical solutions to ensure the industrial-scale applicability. This study gives a global examination of the challenges in choosing the best strategy for BRW mycoremediation.
Table 4-4. A comparative view of LAC production profiles using different wastewater as a growth substrate.
| Wastewater | Enrichment | Condition | Culture | Microbial source | LAC (U L\(^{-1}\)) | Enzyme productivity (U L\(^{-1}\) h\(^{-1}\)) | Treatment efficiency | References |
|------------------|----------------|-------------|---------|------------------|--------------------|-----------------------------------------------|----------------------------------------------------------|------------|
| Biorefinery | Glucose | Non-sterile | SmF | T. hirsuta | 16.90 | 0.23 | 90 to 100% dephenolization. 25% COD | Present work |
| | Woodchips | | | P. dryinus | 31.70 | 0.44 | | |
| | | | | T. hirsuta | 38.40 | 0.11 | | |
| | | | | P. dryinus | 60.80 | 0.07 | | |
| Olive mill | | | | F. trogii | 11,190 | 46.62 | 65% decolorization | [106] |
| Cheese whey | Wheat bran | Sterile | SSF | F. trogii | 2,700 | 23.08 | | |
| Sugar | | | | | 3,460 | 14.41 | | |
| Alcohol | | | | | 14,180 | 59.08 | | |
| Olive mill | - | Non-sterile | SmF | P. chrysosporium | 23 | 0.063 | 37% decolorization. 35% COD | [211] |
| | | | | T. versicolor | 8 | 0.022 | 84% decolorization. 83% COD | |
| | | | | C. polyzona | 200 | 0.55 | 73% decolorization. 71% COD | |
| | | | | P. coccineus | 51 | 0.14 | 81% decolorization. 81% COD | |
| Olive mill | Defined medium + tannic acid | Sterile | SmF | A. niger | 650 | 21.66 | 70% dephenolization | [212] |
| Olive mill | - | Sterile | SmF | P. ostreatus | 133 | 0.55 | 69-76% dephenolization | [213] |
| Distillery | - | Sterile | SSF | A. flavus | 350 | - | | [214] |
| | | | | P. ostreatus | 110 | - | | |
SmF: semi-solid fermentation, SSF: solid substrate fermentation, COD: dissolved organic carbon. - no data available.
4.5 Conclusion
It has been demonstrated that BRW can be used as a culture medium for both fungal growth and enzyme production, once the pH of the BRW has been adjusted to 7. All fungal strains tested here were found to produce LME and to remove both phenols and PAHs to varying degrees, with the basidiomycetes *P. dryinus* and *T. hirsuta* being the best-performing strains. The removal of these xenobiotic compounds occurred by mechanisms involving both biotransformation and biosorption of the xenobiotics, depending on the strain and the compound tested. A high removal level of phenols and PAHs was observed at detectable levels, with complete removal in some cases. A lower removal level of PCP was observed as this compound is intrinsically more recalcitrant to biodegradation. Another treatment condition has to be investigated to treat BRW to ensure the complete removal of PCP. The use of industrial wastewater in the removal strategy is significant, and the approaches employed here, involving fungal strains, offer a good starting point in the development of mycoremediation-based BRW treatment.
**Authors contributions:** Arielle Farida Ariste: Methodology, Validation, Formal analysis, Investigation, Writing-Original draft, Writing-Review & Editing, Visualization, Project administration. Ramón Alberto Batista-García: Methodology, Writing-Review & Editing, Visualization, Supervision. Vinoth Kumar Vaidyanathan: Conceptualization, Writing-Original draft, Supervision. Nikila Raman: Methodology, Editing. Vasanth Kumar Vaithyanathan: Methodology, Editing. Jorge Luis Folch-Mallol: Methodology, Supervision. Stephen A. Jackson: Methodology, Supervision. Alan D. W. Dobson: Methodology, Supervision, Writing-Review & Editing, Supervision. Hubert Cabana: Conceptualization, Validation, Resources, Writing-Review & Editing, Supervision, Project administration, Funding acquisition.
**Acknowledgements:** The authors are thankful to Olivier Savary, coordinator of the Engineering Environmental Laboratory (University of Sherbrooke), for his assistance in data acquisition.
**Funding:** This work was supported by the Natural Sciences and Engineering Research Council of Canada (NSERC) and the Fonds de recherche du Québec – Nature et technologies (project 182383). Vaidyanathan Vinoth Kumar and Jorge Luis Folch-Mallol would like to thank the
Indo-Mexican Bilateral Cooperation Project funded by the Department of Science and Technology (DST), the Government of India along with the National Council for Science and Technology (CONACyT), Mexico.
Chapitre 5 - Évaluation d'une stratégie d'amélioration de la stabilité des lac-CLEAs
5.1 Avant-propos
Auteurs et affiliations : Arielle Farida Ariste\textsuperscript{a}, Lounes Haroune\textsuperscript{b}, Sabrina Saibi\textsuperscript{b}, Hubert Cabana\textsuperscript{a,*}
\textsuperscript{a}Université de Sherbrooke Water Research Group, Department of Civil and Building Engineering, Université de Sherbrooke, Sherbrooke (Québec), Canada.
\textsuperscript{b}Sherbrooke Pharmacology Institute, Université de Sherbrooke, Sherbrooke (Québec), Canada.
Date de soumission : 23 octobre 2020
Revue : Environmental Science and Pollution Research
Titre français : Stratégie d'augmentation de la taille pour améliorer la stabilité des agrégats d'enzymes de réticulés : un pas en avant dans l'exploitation de la laccase pour les procédés de bioremédiation.
Contribution au document : Cet article évalue la méthode EPES comme une méthode prometteuse pour la stabilisation et le recyclage des CLEAs. Cette technologie a permis d'améliorer le potentiel d'application des CLEAs pour la bioremédiation des contaminants organiques à l'état de trace dans une eau usée municipale.
Résumé français : Malgré tous les avantages et le potentiel de la technologie des agrégats d'enzymes de réticulation (CLEA), celle-ci n'est toujours pas appliquée à l'échelle industrielle pour l'insolubilisation enzymatique à des fins de bioremédiation. Dans cette étude, la méthode EPES (Enzyme Polymer Engineered Structure) a été utilisée pour améliorer la stabilité et la réutilisation des CLEAs. Une laccase brute de \textit{Trametes hirsuta} a été insolubilisée avec succès pour former des EPES-CLEAs. Le réseau polymère a fourni une excellente stabilité (> 90%) aux CLEAs après une incubation de 24 h dans un effluent d'eaux usées municipales brute (WW). Par centrifugation le recyclage des CLEAs et EPES-CLEAs a été évalué. Après cinq cycles d'oxydation ABTS, l'activité résiduelle des CLEAs a chuté à 17 %, tandis que les EPES-CLEA
ont montré une rétention d'activité de 67%. De plus, les EPES-CLEAs ont permis d'éliminer le cannabidiol (CBD) au même niveau que la laccase libre (free-LAC) (~37%), après 8 h de traitement dans WW. Ces travaux prouvent que la méthode EPES est une alternative prometteuse pour la stabilisation et la réutilisation des CLEAs dans des conditions environnementales.
**Mots clés :** Laccase, CLEAs, Stabilisation, Contaminants émergents, Efficacité d'élimination, Eaux usées.
**Title:** Size-increasing Strategy to Enhance Cross-linking Enzyme Aggregate Stability: A Step Forward in Laccase Exploitation in Bioremediation Processes.
**Abstract:** Despite all advantages and potential, Cross-linking enzyme aggregates (CLEAs) technology is still not applied at the industrial scale for enzyme insolubilization for bioremediation purposes. In this study, the enzyme polymer engineered structure (EPES) method was used to enhance CLEA stability and reuse. A crude laccase from *Trametes hirsuta* was successfully insolubilized to form EPES-CLEAs. The polymeric network provided an excellent stability (> 90%) to CLEAs after a 24-h incubation in a non-buffered municipal wastewater effluent (WW). Moreover, a centrifugation process allowed to recycle the biocatalysts. While CLEAs activity dropped to 17%, EPES-CLEAs showed a laccase activity retention of 67% after five cycles of ABTS oxidation. After 8 h treatment in WW, the EPES-CLEAs removed cannabidiol (CBD) at the same level as free-LAC (~37%). This work proves that the EPES method is a promising alternative for CLEAs stabilization and reuse in environmental conditions.
**Keywords:** Laccase, CLEAs, Stabilization, Emerging contaminants, Removal efficiency, Wastewater.
5.2 Introduction
The cost of the enzymes is unequivocally limiting the large-scale development of the biocatalytic process for industrial applications [177]. Therefore, extended active shelf life must be ensured with the reuse of biocatalysts for many cycles [215]. Enzyme insolubilization is one of the primary techniques for enhancing their industrial application. Physical or chemical techniques are used to generate insoluble biocatalysts by limiting the freedom of the enzyme [216]. Insolubilization allows reuse of the biocatalyst through methods such as centrifugation or filtration [158]. Insolubilization also contributes to stabilizing the enzymes by limiting the exposure of the enzymes to the denaturing environment and reducing their sensitivity to parameters such as pH, temperature or organic solvent denaturation [4].
The support-free enzyme insolubilization technique, using the cross-linking method, is a valuable technique consisting of binding the enzymes’ amino-acid residues to each other, employing a cross-linker agent [137]. Enzyme cross-linking was initially developed using crystallized enzymes to produce cross-linking crystallized enzymes (CLECs). However, the demanding process of crystallization requires highly purified enzymes, which could rapidly become expensive for large-scale applications [4].
To improve the cross-linking method applicability, a strategy that does not require highly purified enzymes obtained from the precipitation of a fermentation broth was developed. Precipitation is the most common and a much less expensive technique used for enzyme isolation that can be rapidly optimized. Precipitation makes it possible to maintain the catalytic activity in a preorganized aggregate structure. Cross-linking of the aggregates forms a cross-linking enzyme aggregate (CLEAs) [28,138]. CLEA methodology does not require purified enzymes, which is a significant advantage for large-scale processes. A simple purification technique using a selective precipitation method can be combined with CLEA methodology when using crude enzyme extract. Thus, CLEAs can be prepared from the fermentation broth directly at the application site of the biocatalyst production [137].
Moreover, CLEA technology could be improved to broaden the application as it enables the combination of multiple enzymes [217]. In the past decades, fungal laccases gained attention as green biocatalysts for bioremediation purposes. Indeed, laccases only require oxygen as a cofactor to oxidize their substrates to produce water molecules [218]. This advantage makes
laccase-based biocatalysts suitable for large-scale sustainable bioremediation applications [103]. The technology was already performed for emerging contaminant removal from aqueous solutions such as spiked buffer solutions and real wastewater samples [155,219].
Overall, CLEA technology is a promising technology. However, it is still not applied in industrial scale applications because of low mechanical stability and recycling issues due to the small size of CLEA particles (in general < 100 μm) [140]. Increasing the efficiency of CLEAs involves decreasing the particle size, which in turn makes recycling difficult. Alternatives such as encapsulated CLEAs or magnetic CLEAs are techniques that have been studied as solutions to increase CLEA recovery and for reuse of nano-sized biocatalysts at the laboratory scale [34,124]. But the suitability of these alternatives for large-scale bioremediation purposes remains to be demonstrated. Therefore, increasing the size of the biocatalyst to improve recycling while maintaining catalytic efficiency should be more suitable for industrial applications. However, the encapsulation strategy suggested to increase CLEA size results in the dilution of the enzymatic activity and a subsequent decrease in the kinetic properties of the enzyme due to mass-transfer limitations [140]. Consequently, new stabilization strategies are required to make the biocatalyst effective and robust enough for real environmental conditions. The developed strategies should enable CLEAs to target large-scale applications such as emerging contaminant elimination from municipal wastewater effluents (WW).
In parallel, while research continues on the development of CLEA stabilization techniques, the ongoing detection of a new generation of contaminants adds to the complexity of the issue of emerging contaminants in the environment, such as pharmaceutical active compounds (PhACs). Recently, the Food and Drug Administration (FDA) approved a drug based on cannabidiol (CBD). CBD is the second active ingredient in cannabis, which is legalized in certain countries for medicinal or recreative practices [220]. Like PhACs, CBD molecules are known to transform in environments, and uncertainties exist regarding their fate and toxicity [221]. Thus, it is essential to evaluate the efficiency of the developed biocatalysts for the removal of emerging contaminants such as PhACs and CBD.
The main objective of this study is to evaluate a size-increasing technology for crude fungal laccase CLEA stabilization for organic contaminant removal from an aqueous solution. The method studied is an enzyme polymer engineered structure (EPES) technique. EPES is used to
form EPES-CLEAs by the formation of a polymeric network generated around the CLEAs [38]. This study addresses (i) the bioremediation potential of both CLEAs and EPES-CLEAs through physical and chemical characterization and (ii) the biocatalytic efficiency of the insolubilized biocatalysts toward acetaminophen (ACT) as a selected phenolic PhAC substrate model for laccase-based catalytic evaluation. Finally, the robustness of CLEAs and EPES-CLEAs has been assessed by (iii) testing CBD removal in a controlled environment and real municipal wastewater.
5.3 Material and methods
5.3.1 Chemicals and reagents
The high-purity LC-MS grade solvents (acetonitrile (ACN), methanol (MeOH), dichloromethane (DCM), water, formic acid (FA)), were purchased from Fisher Scientific (Ottawa, ON, Canada). All the chemicals used were of analytical grade, and were purchased from Sigma-Aldrich (St. Louis, MO, USA), except for the CBD standard, which came from Cerilliant Corporation (Round Rock, TE, USA). A high molecular weight chitosan (CHI) powder (310-375 kDa, >75% deacetylated) was used with 1-ethyl-3-(3-dimethyl-aminopropyl)-carbodiimide (EDAC) for CLEA preparation [32]. The CHI powder was initially dissolved in 0.1 M HCl at 30°C at an initial concentration of 10 g L\(^{-1}\). The solution was filtered through a 0.45 µm and the filtrate was stored at 4°C before use for CLEA preparation. EDAC (2 M) was freshly prepared in milli-Q water and directly used for CLEA preparation. The ultra-pure water (pH 6.8, 18.2 MΩ.cm\(^{-1}\), 25°C) produced with an ELGA Purelab System (ELGA LLC, Canada) was used as a water solvent and referred to as milli-Q water.
5.3.2 Biocatalyst preparation
Laccase was produced using the basidiomycetes strain *Trametes hirsuta* (*MTCC 1171*) obtained from the Microbial Type Culture Collection, India.
18.104.22.168 Crude fungal laccase production
- Culture conditions
The crude laccase extract was produced by the cultivation of *T. hirsuta* in a liquid medium. The fungal blended mycelium was prepared, according to [222]. Briefly, in this study, a standard medium containing 10g dextrose, 6g peptone, 3g malt extract, and 3g yeast extract in 1,000 mL of milli-Q water was sterilized (autoclaved 45 min at 121°C and 19 psi) before being used. The medium solution reached a pH of 6.5 after preparation, which is the optimum pH for *T. hirsuta* (*MTCC*) growth. 200 mL of this medium was dropped in 500 mL Erlenmeyer flasks, and 2.5 mL of blended mycelium (150 mg dry weight) was inoculated in each flask. The mycelium preparation was performed under aseptic conditions. The cultures were continuously stirred on an orbital shaker at 150 rpm and 27°C.
- **Laccase partial purification from the fermentation broth**
After seven days of growth (at maximum laccase activity), the fungal biomass was discarded from the supernatant by centrifugation (4,500 rpm for 15 minutes at 4°C). The supernatant was then clarified by filtration through a 0.45 µm glass-fibre. Laccase was partially purified by precipitating the enzyme from the filtrate using ammonium sulphate at 80% saturation. The precipitated proteins were isolated by centrifugation at 4,500 rpm for 30 minutes at 4°C. The supernatant was discarded, and the precipitated protein was reconstituted in milli-Q water before overnight dialysis using a 14 kDa regenerated cellulose dialysis tubing. The purification process allowed us to obtain a laccase activity recovery of 72.0%, and a purification factor of 26.0 (data not shown). The dialysate designated as free-Laccase (free-LAC) was collected and stored at 4°C in the dark. The free-LAC was then concentrated about ten times using 10 kDa Amicon Ultra centrifugal filters (final laccase activity of 11,000 U L\(^{-1}\)) before insolubilization. Moreover, the zymogram clearly shows two major bands of laccases on the SDS-PAGE at around 100 kDa and 40 kDa after guaiacol and ABTS oxidation (Annexe 2 : See appendix: Fig. 7).
**22.214.171.124 Laccase insolubilization**
The free-LAC was insolubilized and stabilized using a two-step procedure to form the EPES-CLEAs. First, the free-LAC was precipitated using ammonium sulphate and cross-linked using CHI and EDAC to form CLEAs. Secondly, APTES was used for CLEA stabilization and size-enhancer to form EPES-CLEAs.
• **CLEA preparation**
Each enzyme has a unique property regarding its amino acid residue arrangements. Therefore, the insolubilization effectiveness depends on the source of the enzyme and the insolubilization procedure [30]. A statistical analysis using experimental design (Design-Expert V11, Stat-Ease Inc, Minneapolis, MN) has been used to select the optimum parameter for the cross-linking reaction (Annexe 2: See appendix: Fig. 8 and 9, and Tables 3 to 7). As a result, 10 mL of free-LAC was mixed with 1.7 mL of CHI solutions and 1.0 mL of EDAC. The mixture was homogenized for 10 min at 150 rpm on an orbital shaker. Then, sodium phosphate monobasic (50 mM)/sodium phosphate dibasic (50 mM) buffer pH 5 (phosphate buffer) was added to the mixture to reach a final volume of 20 mL (buffered pH ≈ 5). The reaction solution was performed at 4°C for 24 hours to complete the cross-linking reaction. The formed CLEAs were collected after centrifugation (4,500 rpm for 15 minutes). The supernatant was kept for further laccase activity measurements to determine the insolubilization yields (Table 5-1). CLEAs were then washed with 4 mL of deionized water using centrifugation at 4,500 rpm for 5 minutes. The washing step was repeated (4 times) until no laccase activity was detected in the supernatant. CLEAs were reconstituted in 10 mL of milli-Q water and stored at 4°C.
• **EPES-CLEA preparation**
CLEAs were stabilized by using APTES to form EPES-CLEAs, according to [38]. Briefly, 10 mL of CLEA solution was mixed with 10 mL of a solution containing APTES and dichloromethane (DCM) (1:10 v:v APTES:DCM). The reaction solution was vortexed for 5 minutes and then centrifuged at 4,500 rpm for 15 minutes. The supernatant was discarded, and 4 mL of milli-Q water was used to wash the biocatalyst. These washing steps were repeated (3 times) until no laccase activity was detected in the supernatant. The EPES-CLEAs obtained were stabilized at 4°C for 72 hours in a static condition before characterization or use.
**5.3.3 Characterization of the biocatalysts**
**126.96.36.199 Laccase activity measurement**
The free-LAC activity was determined spectrophotometrically by the oxidation of (3-ethylbenzthiazoline-6-sulfonic acid) 2,2-azino-bis (ABTS) to its radical cation (ABTS⁺) at 420 nm ($\varepsilon_{\text{max}} = 36,000 \text{ M}^{-1}.\text{cm}^{-1}$) and 20°C according to [118]. In a microplate reader, 10 µL of
free-LAC and 90 µL of ABTS solution (1 mM) were mixed with 100 µL of pH 3 citric acid (0.1 M)/sodium phosphate monobasic (0.1 M) buffer (citrate-phosphate buffer) solution. For blank samples, 10 µL of milli-Q water was used instead of the laccase solution.
The insolubilized laccase enzymatic activity was measured through the absorbance of an aliquot. The reaction solution contained 50 µL of insolubilized laccase (CLEAs or EPES-CLEAs), dispersed in 500 µL of citrate-phosphate buffer solution (pH 3, 0.1 M) and 450 µL of ABTS solution (1 mM). The mixture was agitated at 150 rpm for 10 minutes before measurement. The samples were centrifuged for 1 min at 4,500 rpm and 20°C to separate the supernatant and the insolubilized laccase. The supernatant was used for endpoint absorbance measurement at 420 nm at 20°C, and the laccase activity was calculated according to [223] (Eq. 1). The collected CLEAs and EPES-CLEAs were dried overnight at 105°C to determine the dry weight of each biocatalyst. The weight allowed us to determine the measured laccase activity as a function of the mass of the catalyst (U g\(^{-1}\) of catalysts).
\[
U \ L^{-1} = \frac{(\Delta A)(V_t)(D_f)(10^6)}{(t)(\varepsilon)(d)(V_s)}
\]
(Eq. 1)
Where: U: enzyme activity (µmol min\(^{-1}\) mL\(^{-1}\)), ΔA: (final absorbance – initial absorbance), V\(_t\): total volume during the reaction (mL), t: reaction time (min), ε\(_{\text{max}}\): molar extinction coefficient (M\(^{-1}\) cm\(^{-1}\)), d: optical path (1 cm), V\(_s\): sample volume (mL), D\(_f\): dilution factor (included if the enzyme needs to be diluted before measurement), 10\(^6\): correction factor (µmol to mol\(^{-1}\)).
One unit (U) of enzymatic activity is defined as the amount of enzyme that converts 1 µmole of substrate per min.
### 188.8.131.52 pH and temperature assay
The optimal pH and temperature were monitored through the oxidation of ABTS. The optimal pH value was determined to the range from 2 to 6 using citrate phosphate buffers (0.1 M), and phosphate buffers (0.1 M) for pH 7 to 9, and the optimal temperature was determined to range from 4 to 60°C at the optimal pH value.
The pH stability assay was conducted in environmental pHs and temperatures ranging from pH 6 to 9, and 4 to 60°C, respectively. After 24 h of reaction on an orbital shaker at 150 rpm at the pH and temperature conditions tested, the residual laccase activity was measured.
All assays took place by using 250 µL of each catalyst incubated in 750 µL of the targeted solution.
### 184.108.40.206 Chemical and environmental denaturing assay
Denaturing solutions were made of 10 µM of chaotropic agents, calcium chloride (CaCl₂), and zinc chloride (ZnCl₂), and a chelating agent, ethylenediaminetetraacetic acid (EDTA). A water-miscible organic solvent made of 25% v/v methanol (MeOH) was also tested. The target application of the biocatalysts was to be applied for PhAC removal from WW. So, their stability was also tested in a 100% WW from a local municipal wastewater treatment plant (Magog, Québec, Canada) (Annexe 2: See appendix: Table 8). 250 µL of each biocatalyst was incubated in 750 µL of the denaturing solution. After 24-h of reaction on an orbital shaker at 150 rpm at optimal pH and 20°C, the laccase activity was measured.
Kinetic parameters of free-LAC, CLEAs and EPES-CLEAs were determined in pH 3 citrate phosphate buffer solution (0.1 M) at 20°C by increasing ABTS concentration from a 0.05 mM to 2 mM 8-point calibration dissolved. Michaelis-Menten constant Km and Kcat were obtained by curve fitting of the Michaelis-Menten equation from experimental data using Microsoft Excel (2016) (Annexe 2: See appendix: Eq. 2, 3 and 4).
### 220.127.116.11 Physical characterization
The size distributions of CLEAs and EPES-CLEAs were determined using a Malvern Mastersizer 2000 laser diffraction analyzer (Malvern Instruments, Malvern, UK). Particle size was measured using the following optimum conditions: a particle refractive index of 1.5, a dispersant refractive index of 1.3 and a particle absorption index of 0.1.
CLEAs and EPES-CLEAs were subjected to an electron dispersive spectroscopy (EDS) analysis. An Hitachi S4700 analyzer (Hitachi Ltd., Tokyo, Japan) was used at 20 kV. A few microliters (~20 µL) of suspended CLEAs and EPES-CLEAs were dried at room temperature for the elemental identification analysis.
18.104.22.168 Reusability assessments
The reusability of CLEAs and EPES-CLEAs was assessed during 5 successive cycles of ABTS oxidation (as described in section 22.214.171.124). One cycle was considered as a 10-min reaction time of the ABTS oxidation. After each cycle, the CLEAs and EPES-CLEAs were thoroughly washed (5 times during 1 min) with milli-Q water and centrifuged to remove the remaining ABTS from the biocatalysts altogether. Triplicate assays were performed, and the relative laccase activity was determined by the ratio of measured laccase activity after each cycle and that of the initial one.
5.3.4 Organic contaminant removal
The efficiency of the biocatalysts to eliminate ACT as a model phenolic compound and CBD as an emerging contaminant of interest has been assessed in a controlled environment using phosphate buffer solution (pH 7, 0.1 M). The robustness of the biocatalysts was also assessed through CBD removal by using a WW solution.
126.96.36.199 Evaluation of removal efficiency with a model phenolic compound
The experiment was performed in 1.5 mL Eppendorf containing 1 mL of pH 7 phosphate buffer solution (0.1 M). An initial concentration of 0.662 µM of ACT was spiked in each Eppendorf. 0.1 U mL\(^{-1}\) of each biocatalyst was used for the catalytic experiment. The samples were placed in the dark at 20°C on an orbital shaker at 135 rpm, at a regular time interval (0, 1, 2, 4, 6, 8, 24 and 48 h), and one triplicate of each sample was used to determine ACT removal.
188.8.131.52 Cannabidiol elimination and biocatalyst robustness assay
The experiments were carried out to evaluate the efficiency of laccase to eliminate CBD from aqueous solutions using two experimental setups. The first set of experiments was carried out in a 1.5 mL Eppendorf using a simple buffered solution (pH 7 phosphate buffer (0.1 M)). The second set of experiments took place in WW to evaluate the efficiency of the biocatalysts to eliminate CBD in a real WW solution. Each sample (final volume of 1 mL) contained 0.1 U mL\(^{-1}\) of laccase and a final CBD concentration of 0.318 µM for both sets of the experiments. For all conditions studied, the effect of ACT as a model phenolic organic contaminant on CBD removal
was evaluated by the addition of ACT to the reaction mixture at two concentrations (0.1 and 1 mM). The experiments were conducted for 8 h at 20°C in the dark and under agitation on a rotary shaker (135 rpm). One triplicate of each condition was sacrificed for analysis at the end of the reaction time.
All experiments were performed using control samples made of active and inactivated (heat and sodium azide deactivation) biocatalysts, which allowed for sorption, removal and compound stability to be considered during the experiment.
**5.3.5 Organic contaminants analysis**
Briefly, ACT and CBD were extracted using a solid-phase extraction method and filtered through a 0.22 µm PTFE syringe filter. They were then analyzed with liquid chromatography coupled to a tandem mass spectrometer using a positive/negative electrospray ionization (ESI) source in the Multiple-Reaction-Monitoring mode (MRM) (Annexe 2 : See appendix: Methods 1 and 2). The control samples were used to correct the removal observed in order to report the effective removal of each biocatalyst. The reaction mixture containing the contaminants and inactivated biocatalysts served as controls. Individual abiotic controls containing only the studied contaminants and the studied biocatalysts were also used. Results are expressed as the means of triplicate values, and the error bars represent the standard deviation.
**5.4 Results and discussion**
**5.4.1 Laccase insolubilization**
Laccase insolubilization yield, efficiency, and activity recovery were calculated (details of the calculation are provided in (Annexe 2 : See appendix: Eq. 5, 6 and 7). The insolubilization yield was determined to be approximately 70% (69.80% for CLEAs and 68.40% for EPES-CLEAs) (Table 5-1). Nevertheless, a significant difference was observed in the measured activity of insolubilization efficiency and activity recovery (Table 5-1). The efficiency was 61.70% and 3.90% for CLEAs and EPES-CLEAs, respectively. The activity recovery reached 43.10% and 2.60% for CLEAs and EPES-CLEAs, respectively (Table 1). Thus, having a 100% yield did not directly involve either high activity recovery or efficiency [130]. An activity recovery of 1% using a commercial laccase of *T. versicolor* was already reported [38]. Arsenault and co-workers
observed a reduction of laccase activity when preparing CLEAs from a CHI concentration higher than 1 g L\(^{-1}\) [32]. The studied technology leads to the preparation of CLEAs and EPES-CLEAs with a specific activity (unit per gram of biocatalyst) of 417.30 U g\(^{-1}\) and 28.10 U g\(^{-1}\), respectively (Table 5-1).
The decrease in the measured enzymatic activity can be explained by several factors such as enzyme deactivation during the insolubilization procedure, changes in the three-dimensional structure of the enzyme and/or mass transfer limitations. All these factors can prevent the substrate from reaching the active sites of the enzyme after insolubilization [138]. CLEAs have a highly porous structure, which results in diffusional limitations. The particle size can affect the rate of diffusion. Therefore, the bigger the particle size, the higher the diffusion limitations. The EPES method is proposed here as a size-increasing strategy to stabilize CLEAs. The enzymatic activity of insolubilized enzymes showing low activity such as EPES-CLEAs should be discussed with caution. Indeed, the mass transfer limitations may hamper the real potential of the biocatalyst.
**Tableau 5-1.** CLEA and EPES-CLEA insolubilization performances.
| Parameters | CLEAs | EPES-CLEAs |
|---------------------|---------------|----------------|
| Yield (%) | 69.80 ±1.90 | 68.40 ±1.80 |
| Efficiency (%) | 61.70 ±1.10 | 3.90 ±0.10 |
| Activity recovery (%)| 43.10 ±1.10 | 2.60 ±0.10 |
| Specific activity (U g\(^{-1}\)) | 417.30 ±11.00 | 28.10 ±0.50 |
Nowadays, it is still difficult to compare the published CLEA insolubilization yields to each other because of a lack of comparable data. Uniformization of CLEA data based on the target application should then allow a better characterization and comparison of the CLEAs and consequently contribute to a step towards their industrial applications.
### 5.4.2 Biocatalyst characterization
#### 184.108.40.206 Effect of pH on biocatalyst activity
The optimum pH value for all biocatalysts was found to be pH 3 (Annexe 2 : See appendix: Fig. 10). Beyond the optimum pH value, laccase activity decreases until complete inhibition above
pH7 (Annexe 2: See appendix: Fig. 10). These results are in accordance with the literature where optimal pH values for most free fungal laccases are observed in the acidic region from pH 3 to pH 6 [155]. This inhibition is known to be caused by an interruption of the internal electron transfer from T1 to T2/T3 copper sites of laccase through the binding of hydroxide anions to the T2/T3 copper [224]. A few previous works have shown that CLEA preparation could result in a shift of the optimum pH towards the alkaline region [39,225]. Such a shift also was observed after laccase insolubilization using chitosan [38]. The ionic interaction between enzymes and charged insolubilization agents leads to a microenvironment that could change the protonation pattern of the enzyme and consequently alter the enzyme structure and activity [135]. From this result, pH 3 was used in the study as an optimum value for laccase activity measurement.
Insolubilization contributes to enhancing laccase stability towards the environmental pH range (pH 6 to pH 9) after a 24-h incubation. As shown in Fig. 5-1, the free-LAC biocatalyst decreased under 60% of its enzymatic activity from pH 6 to pH 8 and decreased around 30% at pH 9. It has been demonstrated that at pH values higher than 6.5, fungal laccases are poorly active or inactive [224]. Thus, free-LAC is not directly suitable for environmental conditions.
Interestingly, CLEAs and EPES-CLEAs maintained over 90% of their initial activity across the tested pH (Fig. 5-1). These data showed that CLEA and EPES-CLEA stability toward pH was the same. The results demonstrate that the covalent binding between the laccase and CHI provided a stable conformation to pH variation. The EPES method didn't affect the high pH stability of CLEA. The buffering impact provided by the polymeric network surrounding the enzyme could explain the higher stability of the insolubilized laccase [226].
Fig. 5-1. Laccase activity profile as a function of pH after a 24-h incubation at 20°C. Each value plotted represents the means of the triplicate sample with the error bars representing the standard deviation.
The regulation on municipal wastewater treatment plants in Quebec sets the standard for the pH value of wastewaters between 6 and 9.5. Therefore, the application of CLEAs and EPES-CLEAs for environmental pH conditions such as the one encountered for WW is highly recommended.
220.127.116.11 Effect of temperature on biocatalyst activity
The efficiency of the biocatalysts at different temperatures was evaluated to determine the optimum values. From 20°C to 60°C, CLEA activity remains higher than 90%, while the relative activities of free-LAC and EPES-CLEA reach a maximum at 40°C before decreasing (Annexe 2 : See appendix: Fig. 11).
After 24 h of incubation at a different temperature, all biocatalyst activities decreased with the increase in temperature, as showed in Fig. 5-2. Compared to free-LAC, insolubilization contributes to stabilizing laccase with higher residual activity over a wide range of temperatures. The residual activity for free-LAC was maintained around 60% until 40°C (Fig. 5-2). CLEA
and EPES-CLEA activities were higher at 4°C to 20°C with 101% and 108%, respectively, before a decrease from 20°C with the increase in temperature (Fig. 5-2). Free-LAC and CLEA activities dropped from 46% and 75% at 40°C to reach 14% and 20% at 60°C, respectively, while EPES-CLEA activity remained higher, with 79% of its initial activity (Fig. 5-2). The covalent bond formation helps to preserve the insolubilized enzyme for conformational changes through the rigidification of its structure [227].
**Fig. 5-2.** Laccase activity profile as a function of temperature after 24 h of incubation in sodium phosphate monobasic/sodium phosphate dibasic 0.1 M buffer at pH 7. Each value plotted represents the means of the triplicate sample with the error bars representing the standard deviation.
The EPES method provided high stability to CLEAs over 40°C. The insolubilization process is prompt to increase the overall stability of the CLEAs through the protection provided by the polymeric cage against the temperature changes in the environment surrounding the biocatalyst [228].
18.104.22.168 Biocatalyst stability against chemical and environmental denaturants
Fig. 5-3 shows the stability of the biocatalysts after a 24-h exposure to selected chaotropic salts (CaCl$_2$, ZnCl$_2$), a chelator (EDTA), a water-miscible organic solvent (MeOH) and a WW. The insolubilization helped maintain laccase activity regarding the studied denaturants (Fig. 5-3).
**Fig. 5-3.** Residual laccase activity after 24 h of incubation at 20°C for free-LAC, CLEAs and EPES-CLEAs in the presence of denaturing agents in sodium phosphate monobasic/sodium phosphate dibasic 0.1 M buffer at pH 7. Each value represents the means of the triplicate sample with the error bars representing the standard deviation.
The residual activity of free-LAC and CLEAs was significantly impacted by the presence of both chaotropic salts. The free-LAC showed the lowest residual activity with the same activity, around 60% in the presence of CaCl$_2$ and ZnCl$_2$. CLEA activity appeared to be more sensitive to CaCl$_2$ (74%) than to ZnCl$_2$ (89%). In the presence of both salts, EPES-CLEAs were able to maintain their initial laccase activity (Fig. 5-3). These results could be explained by changes in the ionic strength of the solution that could inhibit laccase activity [229].
When incubated in the presence of EDTA, free-LAC, CLEAs, and EPES-CLEAs showed 57%, 67% and 89% residual activity, respectively (Fig. 5-3). In the presence of MeOH, free-LAC lost
around half of its activity, while CLEAs and EPES-CLEAs maintained 90% of their initial activity (Fig. 5-3). The enhancement of laccase stability towards these chemicals' denaturants could be attributed to the polymeric cage made of CHI and APTES that contribute to reducing the transfer of denaturing agents from the solution to the enzyme and thus protect the active site of the enzyme.
Interestingly, the results obtained with WW showed that environmental matrices significantly impact the efficiency of free-LAC and CLEAs by decreasing the residual activity by about 50% and 25%, respectively. EPES-CLEAs exhibited the highest residual activity, with only a 5% loss (Fig 5-3). Again, the results highlight that the EPES method contributes to increasing CLEA stability toward environmental conditions.
The activity and the stability of the biocatalysts involved in the enzymatic bioprocess is one of the crucial elements that must be validated for enzymatic bioremediation purposes. These results support that insolubilization prevents the inhibition of free-LAC from denaturing agents in the tested conditions, and that the EPES method improved CLEA stability, making EPES-CLEAs a biocatalyst of choice for conditions typically met in the environment.
### 22.214.171.124 Kinetics parameters
The Michaelis-Menten constant values for free-LAC, CLEAs and EPES-CLEAs are provided in Table 5-2. The results showed that the $K_m$ value increased after insolubilization and stabilization. The $K_m$ value was 17.0 $\mu$M for free-LAC, 103.9 $\mu$M for CLEAs and 107.4 $\mu$M for EPES-CLEAs (Table 5-2). The $K_m$ values for CLEAs and EPES-CLEAs did not have a significant difference ($p \leq 0.05$), indicating that the EPES method did not induce additional significant diffusion limitations to the CLEAs. Compared to free-LAC, the increase in $K_m$ values of CLEAs and EPES-CLEAs indicates a lower substrate (ABTS) affinity (up to 6-fold lower) (Table 5-2). The measured turnover number ($K_{cat}$) of free-LAC (1.014 $\mu$mole min$^{-1}$ U$^{-1}$) is higher than that of CLEAs (0.901 $\mu$mole min$^{-1}$ U$^{-1}$) as well as of EPES-CLEAs (0.712 $\mu$mole min$^{-1}$ U$^{-1}$). This observation indicates that the insolubilization process decreases the active sites of the enzyme by 10% for CLEAs and 30% for EPES-CLEAs compared to free-LAC (Table 5-2). The catalytic efficiency ($K_{cat}/K_m$) showed that CLEA stabilization leads to
a decrease in the kinetics parameters. Indeed, 6.7-fold and 8.6-fold lower efficiencies than free-LAC were observed after insolubilization (Table 5-2).
**Tableau 5-2.** Michaelis-Menten kinetic constants of free-LAC, CLEAs and EPES-CLEAs. Value represents the means of triplicate standard ± deviation obtained from ABTS oxidation at pH 3 and 20°C.
| Parameters | free-LAC | CLEAs | EPES-CLEAs |
|---------------------|------------|-----------|------------|
| Km (µM) | 17.0 ±1.0 | 103.9 ±1.0| 107.4 ±6.0 |
| Kinetics parameters | | | |
| Kcat (µmole min⁻¹ U⁻¹) | 1.014 ±0.018 | 0.901 ±0.012 | 0.712 ±0.066 |
| Kcat/Km (L U⁻¹ min⁻¹) | 0.060 ±0.018 | 0.009 ±0.012 | 0.007 ±0.001 |
| R² | 0.90 | 0.96 | 0.98 |
The results revealed that the EPES method decreased the catalytic properties of CLEAs by 20% but provided a stable biocatalyst with efficient catalytic capabilities. Steric hindrances or the substrate diffusion limitations are factors readily contributing to a decrease in the accessibility of the enzyme active site after enzyme insolubilization [230]. The particle size is also known to influence the diffusion rate of the substrate through the biocatalyst structure [138].
### 126.96.36.199 EDS characterization and size distribution of CLEAs and EPES-CLEAs
The result of the elemental EDS analysis confirms the successful silanization of CLEAs with APTES to form EPES-CLEAs. The results presented show the presence of silica on the surface of the EPES-CLEAs. In contrast, no elemental silica was detected on the surface of the CLEAs (Annexe 2 : See appendix: Fig. 12).
As presented in Fig. 5-4, the particle size of the formed CLEAs, and EPES-CLEAs varied from 1 µm to 1000 µm. The average size was around 60 µm for CLEAs and 130 µm for EPES-CLEAs confirming the increasing particle size of the EPES method (Fig. 5-4). The CLEA particle size is known to significantly influence the activity and effectiveness of the biocatalyst. Unfortunately, the size distribution of insolubilized laccase is not systematically evaluated when preparing CLEAs. Such information is still missing in the literature and remains to be addressed in order to perform a normalized comparison between CLEA efficiencies. These facts could significantly impact the step forward to CLEA industrialization. The reported studies show that
the insolubilized laccase particle size using different CLEA preparation strategies, varied between 0.1 to 200 μm [140]. In addition, the narrow distribution of EPES-CLEAs suggested that the EPES method results in the formation of a more uniform particle size distribution compared to CLEAs (Fig. 5-4). A uniform and large biocatalyst should facilitate the biocatalyst’s recyclability and help control the mass transfer limitation, which is beneficial for industrial applications [28,231].
**Fig. 5-4.** Size distributions of CLEAs and EPES-CLEAs.
Overall, the structure (size and shape) of the insolubilized enzyme is an essential characteristic of a direct effect on the biocatalyst catalytic properties and recyclability. These results show that particle size plays a major role in the overall parameters. However, further research is needed to study the effect of the particle shape of the insolubilized enzyme on their physicochemical properties.
### 188.8.131.52 Reusability
The industrial reuse of oxidative enzymes for many reaction cycles should be the primary goal of enzyme insolubilization. The recycling potential of CLEAs and EPES-CLEAs was investigated using a common centrifugation process as a recycling technique, as described in
Section 2.3.5. The results showed that EPES-CLEAs are more stable in the recovery process than CLEAs (Fig. 5-5). After 5 oxidation cycles using ABTS as substrate, the EPES-CLEAs maintained 67% of their initial laccase activity while CLEA activity dropped to 17% (Fig. 5-5). Moreover, from the second cycle, the residual activity drastically diminished to 26% for CLEAs, while only a slight decrease was observed for EPES-CLEAs with 81%.
**Fig. 5-5.** Residual activity for CLEAs and EPES-CLEAs during five recycles with ABTS as the substrate in sodium phosphate monobasic/sodium phosphate dibasic 0.1 M buffer at pH 7 at 20°C. The values represent the means of the triplicate sample with the error bars representing the standard deviation.
In practice, the recovery of the biocatalysts is facilitated by a larger particle size [28]. The additional polymer layer made of APTES contributes to an increase in the size of CLEA particles, as presented in Fig. 5-4. However, as previously discussed (Section 184.108.40.206), an increase in CLEA particle size contributes to reducing the catalytic efficiency of the biocatalyst through mass transfer and/or access to the active site limitations. Consequently, to the best of our knowledge, a compromise must be made between the catalytic properties of the biocatalyst and its recovery.
Centrifugation is a standard method used in the industry for biocatalyst recovery during preparation or during the recycling process [232]. However, the centrifugal force can also cause CLEA aggregation. It could lead to the formation of clusters, which can contribute to aggregating the CLEA particles and subsequently decrease the biocatalyst activity and accentuate mass-transfer limitations [140]. The wider distribution of CLEA particle size could illustrate the aggregation phenomena toward the narrow particle size obtained with EPES-CLEAs (Fig. 5-4). Our results suggest that EPES-CLEAs are more suitable when reusability is an issue and demonstrate that the EPES method contributes to enhancing CLEA stability and application.
5.4.3 Batch elimination of organic contaminants from aqueous solutions
Laccase efficiency for contaminant removal from water depends on a multifactorial condition, such as, among others, the chemical structure of the target contaminant and the presence of other compounds. ACT and CBD have a hydroxyl (OH) functional group in their chemical structure, which could make them suitable substrates for laccases [83,221]. The efficiency of the studied biocatalysts to eliminate both contaminants have been tested in the following sections.
220.127.116.11 Model phenolic compound removal from a buffered solution
ACT has been selected as a model compound to assess the effectiveness of the presented biocatalysts for phenolic PhAC elimination in water. No significant pH variation was observed during the reaction time. All the studied biocatalyst activities were maintained to around 100% of the initial activity (Fig. 5-6a). Regarding ACT removal, after 8 h of reaction, the free-LAC achieved 100% elimination, while both CLEAs and EPES-CLEAs reached 40% and 25%, respectively, after 48 h of treatment (Fig. 5-6b). These results are consistent with the literature where a significant decrease in the biocatalyst's efficiency was observed for the insolubilized enzyme. Recently, 80% and 34% removal using ACT as a subtract for free-LAC and CLEAs after 6 h of treatment were reported [124].
The elimination rate of acetaminophen was calculated for all the biocatalysts studied. The results confirmed that free-LAC was 100 times more efficient in acetaminophen elimination with $1.45 \times 10^{-03}$ μmole h$^{-1}$ U$^{-1}$, than CLEAs and EPES-CLEAs which showed $4.9 \times 10^{-05}$ μmole h$^{-1}$ U$^{-1}$ and $2.3 \times 10^{-05}$ μmole h$^{-1}$ U$^{-1}$ elimination, respectively. A two-fold increase in the average
particle size of CLEAs leads to a two-fold decrease in ACT removal efficiency. However, an experiment with multiple particle sizes must be performed in order to support such an assumption, as the insolubilized biocatalysts showed a wide range of sizes (from 1 to 1000 μm) as showed in Fig. 5-4.
18.104.22.168 Cannabidiol elimination and evaluation of the presence of acetaminophen
• Cannabidiol elimination from a buffer solution
In a simple controlled environment of sodium phosphate monobasic/sodium phosphate dibasic 0.1 M, pH 7 buffer solution (PBS), free-LAC was more effective in CBD elimination compared to CLEAs and EPES-CLEAs (Fig. 5-6c). After 8 h of treatment, the free-LAC was able to remove 35% of CBD, while the CLEAs removed 25% of CBD and the EPES-CLEAs were only able to remove 4% of CBD (Fig. 5-6c). These results confirmed that insolubilization readily influences biocatalyst effectiveness by decreasing the catalytic efficiency of the insolubilized biocatalysts as previously supposed (Table 5-2). After 8 h of reaction, CLEAs were around 5 times more efficient than EPES-CLEAs regarding CBD removal in PBS (Fig. 5-6c). This result can be explained by the combined effect of all phenomena previously discussed, such as mass-transfer limitations or rigidification of the enzyme structure after stabilization at the tested conditions.
It has been demonstrated that in the presence of a complex environment, containing easily oxidizable phenolic compounds such as WW, the removal of CBD is enhanced. The transformation of the easily oxidable laccase substrate ACT by laccase, formed radicals and oligomers [125]. The radicals derived from this compound are known to act as electron shuttles, enabling laccases to indirectly eliminate weakly oxidized compounds by possible cross-coupling phenomena [126]. Therefore, the effect of ACT has been tested to assess its impact on CBD elimination in PBS but also in WW.
Fig. 6c the elimination of CBD in PBS after the 8 h of reaction. The results showed significant CBD elimination for all the tested biocatalysts. In the presence of ACT at 0.1 mM, EPES-CLEAs were the most efficient in eliminating CBD with 65% elimination. The free-LAC and CLEAs showed 52% and 51% CBD elimination, respectively (Fig. 5-6c). At a higher concentration of ACT (1 mM), the elimination of CBD by EPES-CLEAs remains approximately the same with 63% CBD removal. At the same time, free-LAC and CLEA efficiencies were
84% and 70%, respectively (Fig. 5-6c). This result could be explained by the cross-coupling mechanism of ACT toward the recalcitrant PhAC carbamazepine reported by [127].
• Cannabidiol elimination from municipal wastewater
The effect of a real WW matrix in the removal of CBD was evaluated in a non-buffered WW (Fig. 5-6d). The results showed that all the biocatalysts were able to eliminate CBD at a significant level (> 38%). Free-LAC and EPES-CLEAs were able to eliminate CBD at approximately the same level, with 38% and 37%, respectively, while, CLEAs showed the highest CBD elimination with 50% removal (Fig. 5-6d). As previously discussed, WW can provide an environment that could inhibit or enhance enzymatic activity (Section 22.214.171.124). These results demonstrated that WW has a positive effect on CBD removal. Indeed, the insolubilized laccase was more effective in eliminating CBD in the WW (Fig. 5-6d) than in the PBS (Fig. 5-6d). It has been demonstrated that some compounds, such as natural organic matter and humic substances, and other small organic contaminants present in WW, can act as mediators, and contribute to enhancing laccase-based oxidation of some emerging recalcitrant contaminants [120,233].
Fig. 5-6d shows the elimination of CBD in the WW in the presence of ACT. The free-LAC was the most efficient at removing CBD with 68% and 92% elimination in the presence of 0.1 mM and 1 mM ACT concentration, respectively (Fig. 5-6d). CLEA and EPES-CLEA efficiencies were not radically influenced by the concentration of ACT. Indeed, CLEAs eliminate 42% and 44%, while EPES-CLEAs eliminate 36% and 30%, in the presence of 0.1 mM and 1 mM ACT, respectively (Fig. 5-6d).
The comparison of both Fig. 5-6c, and Fig. 5-6d suggests that the efficiency of free-LAC was influenced by the presence and concentration of ACT in WW. Regarding CLEAs and EPES-CLEAs, the presence of ACT did not enhance their capability to eliminate CBD in WW. CLEA efficiency slightly decreases by about 10% in the presence of ACT compared to the experiment in WW without ACT. EPES-CLEA efficiency toward CBD remained the same at around 38% in all studied conditions in WW. Overall, these interesting results suggested that the competitive substrates present in WW could be limiting the mediator effect observed by the presence of ACT on CBD removal in the WW (Fig. 5-6).
Fig. 5-6. Time course residual laccase activity (Fig. 5-6a) and acetaminophen removal (Fig. 5-6b) from sodium phosphate monobasic/sodium phosphate dibasic 0.1 M buffer at pH 7 and 20°C by free-LAC, CLEAs and EPES-CLEAs. Cannabidiol (CBD) elimination in sodium phosphate monobasic/sodium phosphate dibasic 0.1 M buffer at pH 7 (PBS) and evaluation of the presence of acetaminophen (ACT) on CBD elimination from PBS (Fig. 5-6c). CBD elimination in non-buffered municipal wastewater effluent (WW) and evaluation of the presence of acetaminophen (ACT) on CBD elimination from WW (Fig. 5-6d). All free-LAC, CLEAs and EPES-CLEAs were used for 8 h of treatment at 20°C for CBD removal. Each value represents the means of the triplicate sample with the error bars representing the standard deviation.
To the best of our knowledge, this is the first time that results from the use of an isolated *T. hirsuta* laccase for CBD elimination in aqueous solutions have been presented. These results also highlight the beneficial environment offered by WW and open the gate to this more precise research area regarding the industrial applicability of CLEAs for bioremediation of emerging contaminants.
### 5.5 Conclusion
In this study, a crude isolated laccase from *T. hirsuta* was successfully insolubilized using a size-increasing strategy of CLEAs made with CHI using a polymeric network made of APTES to form the so-called EPES-CLEAs. The method studied resulted in the formation of EPES-CLEAs with an average particle size twice that of CLEAs. The characterization of free-LAC, CLEAs and EPES-CLEAs indicated that the EPES method significantly enhanced the enzyme stability regarding environmental ranges of pH and temperature, and denaturing conditions with higher stability in real non-buffered WW. The EPES method also helped to enhance CLEA recyclability. The higher recyclability of EPES-CLEAs also contributes to emphasizing its potential for industrial applications.
This work also demonstrated, the application of EPES-CLEAs in PhAC elimination in aqueous solutions. The results showed the capacity of EPES-CLEAs to remove ACT and CBD from PBS (pH7) and non-buffered real WW. The present technology indicates that EPES-CLEAs is a promising technology for environmental applications of CLEAs. However, as a size-increasing approach, the EPES method increases the mass-transfer limitations of CLEAs. Therefore, further research is needed to optimize the catalytic performances of EPES-CLEAs.
**Author contributions:** All authors contributed to the study conception and methodology. Investigation, formal analysis and writing – original draft was performed by **AFA. LH** contributed to the methodology and data presentation. **SS** contributed to the investigation. The supervision, project administration and funding acquisition were ensured by **HC. All** authors read and approved the final manuscript.
**Acknowledgements:** The authors are thankful to Olivier Savary, coordinator of the Engineering Environmental Laboratory (Université de Sherbrooke) and to Ramón Batista-Garcia and Yordanis Perez Illano from Centro de Investigacion en Dinamica Celular, Instituto de
Investigaciones en Ciencias Basicas y Aplicadas, Universidad Autonoma del Estado de Morelos (Mexico), for sharing their passion for biochemistry and their help in laccase molecular weight determination. Our thanks are also addressed to the coordinators of Centre de Caractérisation des Matériaux (CCM) of Université de Sherbrooke, for their assistance.
**Funding:** This work was supported by a grant from the Fonds de Recherche du Québec – Nature et Technologies (FRQNT) [project 182383].
Chapitre 6 - Estimation des coûts de production des EPS-CLEAs
Ce chapitre a pour objectif de fournir une estimation des coûts de production des biocatalyseurs étudiés au chapitre 5 (free-LAC, CLEAs et EPES-CLEAs) à grande échelle. Cette amorce préliminaire a pour finalité d’identifier les facteurs clés qui pourraient sur le plan économique limiter l’application à grande échelle de ces biocatalyseurs.
6.1 Méthodologie
L’estimation des coûts de production du biocatalyseur a été réalisée en considérant chaque étape du processus (fermentation, purification et insolubilisation) (Figure 6-1). Le principe du procédé repose sur la production d’un extrait brut de laccase (free-LAC) et de son insolubilisation sous forme de CLEAs et EPES-CLEAs. Les valeurs retenues sont celles décrites dans le chapitre 5.
L’investissement en capital (CAPEX) et les coûts d’exploitation (OPEX) pour une production en batch ont été déterminés. Les CAPEX représentent les frais pour les achats et installations
des équipements nécessaires au démarrage et à l’exploitation de l’unité de production. Les OPEX eux regroupent les coûts de fonctionnement (ex. : matières premières, services publics, main d’œuvre…) [234].
Les considérations suivantes ont été prises en compte :
- La souche de champignon utilisée est *Trametes hirsuta*. L’inoculum de départ est fourni gratuitement par un laboratoire.
- Composition du milieu de culture : dextrose (10 g/L), peptone (6 g/L), malt (3 g/L) et levure (3 g/L) (chapitre 5).
- Les coûts et prix sont donnés en dollar canadien CAD ($, 2020). Les conversions s’ils y avaient lieu ont été effectuées en considérant les valeurs de taux de change (1 CAD = 0,75 USD : juillet 2020).
- Le Québec a été choisi comme lieu pour la fixation des coûts de la main-d’œuvre et des services.
- Les coûts sont calculés sur une base unitaire. Une unité correspondant à une batch (capacité du fermenteur : 10 min$^3$ avec 75 % de volume utile). Une batch de fermentation permet de produire 750 L de free-LAC, de CLEAs et d’EPES-CLEAs.
- L’unité de production est opérée à sa capacité maximale (330 jours par an pour tenir compte de la maintenance). Le nombre de batch par année est de 30. Celui-ci a été déterminé en considérant le temps nécessaire pour produire la laccase (free-LAC) soit 11 jours. Une batch de fermentation fournit 750 L de free-LAC à 11 kU/L.
- En raison du stade préliminaire de cette étude, les coûts de préparation de l’inoculum, de gestion des déchets et autres coûts tels que ceux liés aux installations de laboratoire, au contrôle et assurance qualité, n’ont pas été considérés.
**Détermination des coûts d’investissement en capital total**
Différentes méthodes peuvent être utilisées pour déterminer l’investissement en capital total d’un système. Le choix d’une méthode dépend du degré de précision dont on dispose sur notre installation [235]. Dans cette étude préliminaire, le procédé n’est pas encore assez développé pour fournir des détails précis. L’investissement en capital a été estimé en utilisant la méthode de Lang. Cette méthode permet d’estimer l’investissement en capital d’une unité de traitement en multipliant le coût des équipements de base par des ratios qui ont été déterminés en fonction
du type d’unité de traitement considéré (procédé solide, fluide ou mixte) [235]. Dans cette étude, les ratios des variables pour les usines de traitement des fluides ont été utilisés (Tableau 6-1).
**Tableau 6-1. Ratio (%) des facteurs de Lang pour une usine de traitement des fluides.**
| Composants | Ratios |
|----------------------------------|--------|
| Équipements (E) | 100 |
| Installation | 47 |
| Instrumentation | 18 |
| Tuyauterie | 66 |
| Électriques | 11 |
| Bâtiments | 18 |
| Amélioration du site | 10 |
| Services | 70 |
| Terrain | 6 |
| Coûts directs totaux (CDT) | CDT |
| Ingénierie et supervision (IS) | 33 |
| Frais de construction (FC) | 41 |
| Coûts directs et indirects totaux (CDIT) | (CDT+IS+FC) |
| Honoraires de l’entrepreneur (HE)| 21 |
| Contingence (C) | 42 |
| Investissement en capital fixe (ICF) | (CDIT+HE+C) |
| Fonds de roulement (FR) | 86 |
| Investissement en capital total (ICT) | (ICF+FR) |
Les coûts des équipements ont été obtenus à partir du site www.matche.com (Matche Inc.) (Tableau 6-2). Les montants étaient fournis pour l’année 2014 en USD. Des ajustements pour tenir compte de l’augmentation des prix ont en tenant compte de la localisation du site (Québec, Canada). Les prix ont été majorés de 2 % ce qui correspond à l’augmentation moyenne annuelle des prix au Québec [236].
**Tableau 6-2. Prix et caractéristiques des équipements considérés**
| Équipements | Prix ($) | Caractéristiques |
|-----------------------------------|----------|----------------------------------------------------------------------------------|
| Réservoir dextrose | 8 568 | Vertical, cone top & bottom, small, carbon steel & API, 1000gal |
| Réservoir peptone | 8 568 | Vertical, cone top & bottom, small, carbon steel & API, 1000 gal |
| Réservoir malt et levure | 17 136 | Vertical, cone top & bottom, small, carbon steel & API, 1000 gal |
| Réservoir | 15 912 | Vertical, cone top & bottom, small, carbon steel & API, 3000gal |
| Agitateur | 27 064 | Propeller, top entering, carbon steel, 40hp (1 kW/m³) |
| Fermentateur | 283288 | Kettle, jacketed agitated, stainless steel, 2 600 gal |
| Stockage | 15 912 | Vertical, cone top & bottom, small, carbon steel & API, 3000gal |
| Compresseur d’air | 19 040 | Air rotary screw, 125 psi, 20Hp, 0.1-1 m³ d’air/min/ m³ |
| Filtration | 145 248 | Plate and Frame, Carbon steel, 300 ft² (300 l/l ou 1,3 gal/min) soit 1,3 hp ou 10 kW |
Les prix équipements ont permis de calculer l’investissement en capital total (~4 500 000 $) (Tableau 6-3).
**Tableau 6-3. Investissement en capital de l’installation.**
| Composants | Fermentation | Purification | Insolubilisation |
|---------------------|--------------------|------------------|------------------|
| Équipements (E) | 614 720 $ | 69 343 $ | 120 088 $ |
| Coûts directs totaux (CDT) | 2 126 931 $ | 239 927 $ | 415 504 $ |
| Coûts directs et indirects totaux (CDIT) | 2 581 824 $ | 291 241 $ | 504 370 $ |
| Investissement en capital fixe (ICF) | 2 969 098 $ | 334 927 $ | 580 025 $ |
| Investissement en capital total (ICT) | 3 497 757 $ | 394 562 $ | 683 301 $ |
**Ensemble des unités**
| Composants | Fermentation | Purification | Insolubilisation |
|---------------------|--------------------|------------------|------------------|
| Investissement en capital fixe (ICF) | 3 884 049 $ | | |
| Investissement en capital total (ICT) | 4 575 619 $ | | |
**Détermination des charges fixes**
Les charges fixes regroupent les dépenses annuelles constantes d’une installation. Celles-ci sont prises en compte que le procédé de fabrication soit en opération ou non. Il s’agit principalement des coûts d’amortissement, des impôts locaux ou encore des assurances [234]. Ces coûts peuvent être estimés à partir de l’ICF [235]. Les ratios (Tableau 6-4) ont été appliqués dans cette étude.
**Tableau 6-4. Méthode d’estimation des charges fixes.**
| Charges fixes | Ratio (% de ICF) |
|-----------------------------|------------------|
| Amortissement | 10 |
| Impôts | 4 |
| Assurances | 1 |
| Maintenance et réparation | 2 |
Le tableau 6-5 présente l'estimation des charges fixes (~22 000 $/batch).
**Tableau 6-5. Charges fixes de l'installation.**
| Composantes | Fermentation | Purification | Insolubilisation |
|------------------------------|--------------------|------------------|------------------|
| Dépréciation | 296 910 $ | 33 493 $ | 58 003 $ |
| Taxes | 118 764 $ | 13 397 $ | 23 201 $ |
| Assurance | 29 691 $ | 3 349 $ | 5 800 $ |
| Maintenance et réparation | 59 382 $ | 6 699 $ | 11 601 $ |
| CF ($/an) | 504 747 $ | 56 938 $ | 98 604 $ |
| CF ($/batch) | 16 825 $ | 1 898 $ | 3 287 $ |
**Ensemble des unités**
| | |
|------------------------------|--------------------|
| CF ($/an) | 660 288 $ |
| CF ($/batch) | 22 010 $ |
**Détermination de coûts directs de production**
Ces coûts sont constitués principalement des coûts des matières premières (CMP), des coûts des services (CS) et des coûts de la main-d’œuvre (CMO). Les considérations du tableau 6-6 et 6-7 ont permis de déterminer les coûts directs de production (CDP) des biocatalyseurs. La consommation d’électricité et les quantités de matières premières ont été évaluées à partir de bilan de masse et d’énergie estimé pour chaque unité du procédé. À ce stade préliminaire, certains coûts tels que les frais généraux (contrôle au laboratoire, sécurité et protection…), les frais administratifs et autres dépenses générales, n’ont pas été considérés. Les coûts tels que de traitement des déchets liquides et solides sont en général négligeables pour ce type de procédé [171]. Ces dernières n’ont pas été prises en compte dans cette étude préliminaire. Les coûts des services ont été majorés d’un facteur 2 pour tenir compte des pertes en ligne et autres coûts qui n’ont pas pu être évaluées.
**Tableau 6-6. Considérations pour l’estimation des coûts de production.**
**Coûts de matières premières (CMP)**
- Les prix des matières premières proviennent de fournisseurs en gros sur le site www.made-in-china.com. Les prix (Tableau 6-7) ont été majorés de 5 % pour tenir compte des frais de livraison.
**Coûts des services (CS)**
- Électricité : 0,059 1 $/kWh (Hydro-Québec, 2020).
Coûts de la main-d’œuvre (CMO)
- Salaire moyen d’un ingénieur chimique 39 $/h (Neuvoo, 2020).
- Les besoins en main-d’œuvre : 6 h employé/tonne de produits.
Coûts de supervision (CS)
- 100 % de la main d’œuvre.
Tableau 6-7. Paramètres et considérations pour l’estimation des OPEX.
| Matières premières | Services (h) | Main-d’œuvre (h/batch) |
|--------------------|--------------|------------------------|
| | | Dextrose 75 | Stérilisation 10 | 45 |
| | | Peptone 45 | Aération 168 | |
| | | Extrait de levure 23 | Agitation 168 | |
| | | Extrait de malt 23 | Filtration 25 | |
| Purification free-LAC | SA 4 193 | Agitation 0,5 | 5 | |
| | | Centrifugation 2 | | |
| | | Dialyse 48 | | |
| Insolubilisation CLEAs | free-LAC 750 | Agitation 1 | 5 | |
| | SA 419 | Centrifugation 3 | | |
| | HCl 1 | | | |
| | CHI 1 | | | |
| | EDAC 29 | | | |
| EPES-CLEAs | CLEAs 750 | Agitation 1 | 5 | |
| | DCM 675 | Centrifugation 3 | | |
| | APTES 68 | | | |
Le tableau 6-8 présente une synthèse des résultats d’estimation des coûts totaux de production des biocatalyseurs.
Tableau 6-8. OPEX et coûts totaux de production des biocatalyseurs étudiés.
| | free-LAC ($/batch) | CLEAs ($/batch) | EPES-CLEAs ($/batch) |
|----------------|--------------------|-----------------|----------------------|
| CMP | 496 $ | 5 485 $ | 5 863 $ |
| CS | 264 $ | 533 $ | 1 072 $ |
| CMO | 3 900 $ | 4 290 $ | 4 680 $ |
| CDP | 4 661 $ | 10 308 $ | 11 614 $ |
| CF | 18 723 $ | 22 010 $ | 22 010 $ |
6.2 Coûts de production des biocatalyseurs
La figure 6-2 montre la répartition des coûts des biocatalyseurs (free-LAC, CLEAs et EPES-CLEAs). Les CE représentent la majeure partie des CTP (entre 65 % et 80 %), suivi des CMO et CMP, puis des CS < 3 % (Figure 6-2). La tendance reste similaire aux études publiées sur des sujets semblables [171,234]. En général, la majeure partie des coûts est partagée entre CE, CMO et CMP. Les proportions varient en fonction du type et de la taille des systèmes. Pour des unités de production de petite taille (< 10 m³), les coûts sont majoritairement repartis entre CE et CMO. À l'inverse, les CMP qui seront plus élevés pour de grosses unités de production (>50 m³) [234].
L’optimisation du procédé peut contribuer à une meilleure répartition des coûts. Par exemple, en augmentant le nombre de batch par année pour une production en continu, aboutit à une meilleure rentabilité et une diminution des coûts de production. Dans cette étude, le nombre de batch a été estimé à partir du temps de production de free-LAC (11 jours). Une optimisation du milieu de culture pourrait permettre d’accroître la production de laccase, de réduire la durée de l’étape de fermentation et aussi supprimer la phase de purification qui sert principalement pour la concentration de l’enzyme.
L’investissement en capitaux apparaît très déterminant dans la mise en place du procédé. Le montant des installations lié à la production de la laccase équivaut à ~80 % des investissements en capitaux totaux. Cela peut représenter un risque d’investissement pour un marché peu développé. À l’image de la compagnie *CLEA technology* (Delft, Pays-Bas) qui commercialise des CLEAs, la stratégie de sous-traitance semble la mieux adaptée à ce stade du développement.
des CLEAs. Ce business model permet de contourner les coûts d’investissements en capitaux élevés de l’unité la plus coûteuse du procédé à savoir la fermentation et l’isolation de l’enzyme.
L’objectif de cette ébauche est d’identifier pour une production à grande échelle les limitations en termes de CDP de la technologie. Pour cela nous avons considéré uniquement les OPEX (Figure 6-3). Cette figure montre clairement les postes les plus chers en fonction de chaque biocatalyseur. Les CMO représentent ~80 % des CDP de free-LAC, principalement dû à la sous-unité de fermentation (Tableau 6-7). À elle seule, l’EDAC, correspond à près de la moitié du coût des CLEAs (~48 %), suivi des CMO dus au coût des free-LAC. La méthode EPES quant à elle contribue à faire augmenter les CDP des CLEAs d’environ ~10 % avec la majeure partie des coûts (~89 %) attribués aux CLEAs.
Les CMP des CLEAs étant un paramètre très important, renforce l’idée d’augmenter la stabilité et la recyclabilité de ce biocatalyseur. La méthode EPES a permis de stabiliser les CLEAs (chapitre 5). Cependant, la principale limitation des EPES-CLEAs réside dans leur faible efficacité catalytique qui devra être améliorée afin de réduire les coûts du traitement. Ces technologies nécessitent d’être optimisées, en particulier pour leur application dans des bioprocédés environnementaux.
Toutefois, une simulation à partir des résultats du chapitre 5 a permis d’estimer l’impact de la méthode EPES sur les coûts d’application des CLEAs. Le tableau 6-9 présente les hypothèses qui ont été considérées. Les coûts ont été estimés en considérant l’élimination complète de l’acétaminophène (ACT) dans 1 m$^3$ d’eau en 24 h. La stabilité et la recyclabilité des biocatalyseurs ont également été prises en compte.
Tableau 6-9. Considérations et résultats d’estimation des coûts du traitement.
| | CLEAs | EPES-CLEAs |
|------------------------|-------------|--------------|
| Coût de prod ($/L) | 14 | 15 |
| Concentration ACT (µmol/L) | 0,662 | 0,662 |
| Volume d’eau à traiter (L) | 1 000 | 1 000 |
| Taux d’élimination ACT (µmole h\(^{-1}\) U\(^{-1}\)) | 4,90E-05 | 2,30E-05 |
| Quantité de biocatalyseur (L) | 5 629 | 11 993 |
| Pertes d’activité par cycle (%) | 100 | 28 |
| Perte par cycle ($) | 78 810 $ | 50 370 $ |
Cycle 1: 78 810 $
Cycle 2: 157 619 $
Cycle 3: 236 429 $
Cycle 4: 315 238 $
Cycle 5: 394 048 $
Après un cycle de traitement, le coût du traitement est 3 fois plus élevé avec l’EPES-CLEAs qu’avec les CLEAs. Cependant, le manque de stabilité et de recyclabilité des CLEAs cause plus de perte par cycle (78 810 $), que les EPES-CLEAs (50 370 $). Après 4 cycles, l’utilisation des CLEAs devient plus coûteuse que celle des EPES-CLEAs. Ces coûts excessifs sont dus à la faible efficacité catalytique des CLEAs et EPES-CLEAs, qui nécessite une quantité importante de biocatalyseur.
Pour évaluer l’applicabilité des EPES-CLEAs formés, le coût d’un traitement tertiaire existant a été considéré. La station d’épuration de Neugut (Dübendorf, Suisse) est équipée d’un traitement tertiaire physico-chimique pour l’élimination des TrOCs. Le coût du traitement représente approximativement 0,06 $/m\(^3\) [237]. À ce coût, un litre d’EPES-CLEAs devrait permettre de traiter 250 m\(^3\) d’eau.
Cabana et al. ont pu évaluer la robustesse d’une CLEAs dans un réacteur pour l’élimination de TrOCs en continu [166]. En considérant des conditions identiques (densité de CLEAs de 0,003), il faudra environ 750 volumes de réacteur pour assurer le traitement avec l’EPES-CLEAs. L’étude de Cabana et al. a démontré la stabilité du système jusqu’à 30 volumes de réacteur avec une baisse maximale de l’activité enzymatique de ~30 % dans certaines conditions [166]. Avec un autre dispositif, Ba et al. ont pu opérer durant 120 volumes de réacteur avec un maintien de l’activité enzymatique des combi-CLEAs testés à ~70 % de l’activité initiale [164]. Il semble
alors plausible, qu’avec une EPES-CLEAs, plus stable que les CLEAs classiques, d’atteindre la cible des 750 réacteurs volumes.
Ces résultats préliminaires ont permis de visualiser pour une production à grande échelle la nécessité de stabiliser les CLEAs afin d’améliorer leur réutilisation. Dans le but d’optimiser l’activité enzymatique, et réduire les coûts de production des free-LAC, l’étude et l’optimisation des conditions de cultures de la souche *T. hirsuta* dans un réacteur apparaissent nécessaires. En parallèle, une optimisation des propriétés catalytiques et non catalytiques des EPES-CLEAs devra être réalisée pour améliorer les performances de ces dernières et diminuer le coût des traitements.
Un bilan de masse de l’ensemble du procédé à plus grande échelle devra permettre d’estimer de façon plus précise les coûts des biocatalyseurs. En dernier, une analyse du cycle de vie pourra être réalisée. Par exemple, les déchets liquides et solides peuvent être recyclés et valorisés. La récupération des eaux de lavage pourrait être considérée afin de réduire ces pertes dans une analyse plus détaillée à grande échelle. En outre, la valorisation de la biomasse fongique comme inoculum pour le procédé et pour d’autres stratégies de bioremédiation (ex. : traitement fongique des boues de STEPs ou effluents industriels) pourrait être envisagée.
Chapitre 7 - Conclusion générale et perspectives
Les travaux de cette thèse consistaient dans un premier temps à travers une stratégie de sélection mise en place, d’évaluer le potentiel d’exploitation d’une collection de souches de champignons en vue du prétraitement d’un effluent industriel. Ensuite, la méthode EPES a été évaluée pour la stabilisation d’un extrait brut de laccase fongique isolée et insolubilisée sous forme de CLEAs pour la biocatalyse de PPhAs dans l’eau.
7.1 Mycoremédiation d’un effluent industriel
Ce projet s’est focalisé sur l’évaluation du potentiel de mycoremédiation en conditions non stérile de sept souches fongiques pour le prétraitement d’un effluent industriel de bioraffinerie, obtenu à partir de la valorisation du bois traité en fin de vie. Cette étude a eu recours à deux stratégies utilisant deux sources de carbone (1 : glucose et 2 : copeaux de bois) comme cosubstrats pour soutenir la croissance des champignons. Dans un premier temps, la sélection des souches les plus prometteuses a été réalisée sur la base de leur capacité à éliminer les composés phénoliques et à sécréter la laccase, dans l’effluent. Ensuite, l’efficacité des souches sélectionnées a été évaluée pour l’élimination des contaminants persistants contenus dans l’effluent. Enfin, une estimation préliminaire des coûts de production de la laccase comme produit de valeur ajoutée obtenu durant le prétraitement a été réalisée.
- Les stratégies de sélection des souches mise en place dans cette étude ont permis d’identifier deux souches appartenant à la famille des basidiomycètes (*P. dryinus* et *T. hirsuta*). Indépendamment de la source de carbone utilisée, ces deux souches ont démontré respectivement une efficacité de déphénolisation de > 94 % et 100 % au bout des 30 jours de traitement. Les souches *P. dryinus* et *T. hirsuta* ont été les seules souches à produire la laccase durant le traitement. La stratégie 2 (copeaux de bois) a permis d’obtenir une meilleure production de la laccase.
- Le PCP (composé majoritairement quantifié dans l’effluent) est une molécule difficilement biodégradable. Après 30 jours de traitement, le PCP a connu une légère élimination à hauteur de 25 % par *T. hirsuta* et 15 % par *P. dryinus*, en présence de glucose et de copeaux de bois, respectivement.
Les résultats obtenus sont également encourageants quant à l’exploitation de l’effluent comme substrat pour la production de biomolécules d’intérêt biotechnologique comme la laccase. Des études plus approfondies avec les souches de *P. Dryinus* et *T. hirsuta* pourront être mises en place à cet effet.
### 7.2 Stabilisation des lac-CLEAs par la méthode EPES
L’insolubilisation est une pratique essentielle à l’utilisation des enzymes pour leur application à l’échelle industrielle. Dans cette thèse, la méthode EPES a été retenue et évaluée pour l’amélioration de la stabilité et la recyclabilité des lac-CLEAs.
- Un extrait brut de laccase de *T. hirsuta* a été produit, isolé et stabilisé avec succès sous forme d’EPES-CLEAs (Chapitre 5). La caractérisation des biocatalyseurs (free-LAC, CLEAs et EPES-CLEAs) dans des plages environnementales de pH et de température a indiqué une amélioration significative de la stabilité des CLEAs par la méthode EPES. Au bout de 24 h d’incubation dans une eau usée municipale, les EPES-CLEAs ont maintenu une activité résiduelle de 95 %, soit 20 % de plus que les CLEAs. Ces résultats encouragent l’utilisation de cette méthode pour la stabilisation des CLEAs dans des conditions environnementales tels que celles rencontrées dans les effluents de STEPs.
- Les paramètres non catalytiques tels que la taille des particules d’un biocatalyseur enzymatique hétérogène poreux influencent la vitesse de diffusion du substrat vers le site catalytique de l’enzyme. Cela influence également le choix de la méthode de recyclage du biocatalyseur. La méthode EPES a abouti à la formation d’EPES-CLEAs avec une taille moyenne deux fois supérieure à celle des CLEAs (130 µm contre 60 µm). Les tests de recyclabilité par centrifugation, ont montré que l’activité résiduelle des EPES-CLEAs était nettement plus élevée (3 fois plus) que celle des CLEAs qui ont perdu près de 75 % de leur activité initiale, après seulement un cycle d’oxydation en utilisant l’ABTS comme substrat. Le recyclage est une condition indispensable à l’application industrielle des biocatalyseurs enzymatique. La méthode EPES a su offrir une meilleure stabilité aux CLEAs même après 5 cycles. La résistance des EPES-CLEAs face au recyclage augmente le potentiel d’application des CLEAs pour des applications de biocatalyse en continu.
Cependant, l’optimisation des conditions de préparation des EPES-CLEAs est nécessaire, afin d’améliorer leur potentiel biotechnologique.
- L’insolubilisation entraîne généralement une diminution de l’activité enzymatique via la modification de la conformation tridimensionnelle de l’enzyme et/ou en limitant l’accessibilité du substrat à l’enzyme à travers les limitations de transfert de masse. Dans cette étude, la méthode EPES a accentué ces phénomènes et a contribué à diminuer l’efficacité catalytique des CLEAs. L’utilisation de l’ACT comme modèle de substrat phénolique a permis d’observer une diminution par deux de la vitesse d’élimination de cette molécule par les EPES-CLEAs dans un milieu contrôlé (solution tampon; pH 7; 0,1 M). Toutefois, pour des applications continues à l’échelle industrielle la durée de vie du biocatalyseur est déterminante quant au choix de celui-ci. Il est alors préférable de choisir un biocatalyseur stable sur la durée contrairement à un biocatalyseur actif uniquement sur une courte durée. Les EPES-CLEAs ont permis d’éliminer 37 % du CBD rajouter dans l’effluent, soit près de 7 fois plus que dans un milieu synthétique. Ces résultats soulignent l’intérêt d’évaluer les biocatalyseurs dans les conditions identiques ou semblables à celles de l’application visée.
La caractérisation des EPES-CLEAs a permis de déterminer la faible performance catalytique du biocatalyseur comme la principale limitation de cette méthode. Ces résultats encouragent à l’optimisation des propriétés catalytiques et à une caractérisation plus complète des biocatalyseurs dans des conditions environnementales réelles.
Les CLEAs ont l’avantage d’être une technologie modulable. Les études actuelles ne tirent pas assez profit de cet avantage. Au regard des avancées et alternatives existantes pour l’application biotechnologique des CLEAs, la combinaison de stratégies existantes telle que la préparation de CLEAs poreux (p-CLEAs) pourrait être envisagée pour améliorer les propriétés catalytiques des EPES-CLEAs. La technique consiste à co-précipiter l’enzyme avec de l’amidon qui sera par la suite retiré avec de l’amylase afin de créer une plus grande porosité des CLEAs. Cette méthode a été proposée par Wang et al. et a permis d’augmentation de plus de 90 % les propriétés catalytiques des CLEAs préparés [174].
La mesure expérimentale de l’activité des biocatalyseurs insolubles est une valeur moyenne qui indique le comportement de l’ensemble des particules. La variation des tailles de particules des
CLEAs et des EPES-CLEAs est très large (1 – 1000 µm). Les résultats obtenus semblent indiquer une corrélation entre la moyenne des tailles des particules et leur efficacité catalytique. Une multiplication par deux de la taille moyenne des particules des CLEAs a conduit à une diminution par deux de la vitesse d’élimination de l’ACT. La taille des EPES-CLEAs n’étant pas uniforme, l’évaluation de cette tendance est une piste intéressante à explorer. L’uniformisation et l’optimisation des tailles de particules devraient également permettre de mieux contrôler les phénomènes de diffusion du substrat à travers la structure du biocatalyseur. Récemment, l’utilisation d’un réacteur multifluidique a permis de produire des CLEAs de laccase uniforme (~200 nm) appelés *hallow CLEAs* (h-CLEAs). Cette méthode permet aussi de moduler la forme du biocatalyseur formé [173]. Cette approche pourrait être exploitée pour uniformiser la taille des EPES-CLEAs. Une combinaison avec la méthode p-CLEAs, pourra être envisagée. Par la suite, l’efficacité et la robustesse du biocatalyseur optimisé pourront être évaluées pour la dégradation de mélange de contaminants d’intérêt environnemental lors d’expériences en continu utilisant des réacteurs de type membranaire par exemple.
Somme toute, l’ensemble des travaux de cette thèse offre des éléments et orientations tangibles vers le développement de stratégie de mycoremédiation et de biocatalyse enzymatique de matrices complexes. La poursuite des efforts de recherche dans cette lancée et selon les perspectives proposées pourra contribuer à améliorer la robustesse de ces procédés versatiles. Enfin, le choix d’une technologie dépend du coût de production. Pour cela, une estimation des coûts de production est nécessaire, et cela dès le début de développement du procédé. Dans le but de compléter l’évaluation du potentiel biotechnologique des EPES-CLEAs, le chapitre 6 propose à ce stade une ébauche préliminaire des coûts de production à grande échelle du processus de préparation des EPES-CLEAs telle que présentée dans le chapitre 5.
Annex 1: Informations supplémentaires - chapitre 4
Appendix A: Mycoremediation of phenols and polycyclic aromatic hydrocarbons from a biorefinery wastewater and concomitant production of lignin modifying enzymes.
Phenolic compounds, polycyclic aromatic hydrocarbons (PAHs) and heavy metals concentration in the pH7 BRW.
| Phenolic compounds | Concentration (µg L\(^{-1}\)) |
|-------------------------------------|-------------------------------|
| phenol | 5.8 |
| \(o\)-cresol | 5.95 |
| \(m\)-cresol | 7.15 |
| \(p\)-cresol | 8.3 |
| 2,4-dimethylphenol | 5.45 |
| 2-nitrophenol | 1.8 |
| 4-nitrophenol | 1.15 |
| 2,4-dinitrophenol | 20.3 |
| 2-methyl-4,6-dinitrophenol | 21.55 |
| 2-chlorophenol | 1 |
| 3-chlorophenol | 2 |
| 4-chlorophenol | 1.3 |
| 2,3-dichlorophenol | 1.7 |
| 2,4-2,5-dichlorophenol | 1.9 |
| 2,6-dichlorophenol | 1.7 |
| 3,4-dichlorophenol | 8 |
| 3,5-dichlorophenol | 1.85 |
| 2,3,4-trichlorophenol | 1 |
| 2,3,5-trichlorophenol | 1.7 |
| 2,3,6-trichlorophenol | 1.6 |
| 2,4,5-trichlorophenol | 1.95 |
| 2,4,6-trichlorophenol | 2.1 |
| 3,4,5-trichlorophenol | 1.85 |
| 2,3,4,5-tetrachlorophenol | 34.5 |
| 2,3,4,6-tetrachlorophenol | 4,380 |
| 2,3,5,6-tetrachlorophenol | 2 |
| pentachlorophenol | 23,800 |
| PAHs | Concentration (µg L\(^{-1}\)) |
|-------------------------------------|-------------------------------|
| Acenaphthene | 11.9 |
| Anthracene | 13.7 |
| Benzo(\(a\))anthracene | 18.8 |
| Compound | Concentration (µg L\(^{-1}\)) |
|-------------------|-------------------------------|
| Benzo(a)pyrene | 3.3 |
| Benzo(k)fluoranthene | 2.9 |
| Chrysene | 9.4 |
| Fluoranthene | 121.4 |
| Fluorene | 18.4 |
| Phenanthrene | 212 |
| Pyrene | 86.8 |
**Heavy metals**
| Heavy metal | Concentration (µg L\(^{-1}\)) |
|-----------------|-------------------------------|
| Arsenic | 2,900 |
| Cadmium | 1 |
| Copper | 827 |
| Iron | 709 |
| Manganese | 61 |
| Mercuric | 28 |
| Lead | 19 |
| Zinc | 436 |
Fig. 7: SDS-PAGE of the partially purified laccase from *T. hirsuta*. The zymogram showing laccase bands was obtained after laccase oxidation of 1 mM guaiacol (1) and 1 mM ABTS (2) as substrates.
Fig. 8: Diagnosis of the statistical properties of the model – Normal distribution plot.
Fig. 9: Three-dimensional contour plots of the significant factors affecting laccase insolubilization.
Fig. 10: Laccase activity profile after ABTS oxidation as a function of pH at 20°C. Each value plotted represents the means of the triplicate sample with the error bars representing the standard deviation.
Fig. 11: Laccase activity profile after ABTS oxidation as a function of temperature at pH 3. Each value plotted represents the means of the triplicate sample with the error bars representing the standard deviation.
Fig. 12: EDS analysis of EPES-CLEAs (A) and CLEAs (B).
Table 3: Factors and factor levels chosen for the CLEA preparation optimization test.
| Factors | Name | Units | Low | High |
|---------|----------|---------|-----|------|
| A | Chitosan | g L\(^{-1}\) | 1 | 3 |
| B | EDAC | mM | 150 | 400 |
| C | Time | H | 24 | 48 |
Table 4: ANOVA and statistical results for the obtained quadratic model.
| Source | Sum of Squares | df | Mean Square | F-value | p-value | significance |
|------------|----------------|----|-------------|---------|---------|--------------|
| Model | 1.261E+07 | 9 | 1.401E+06 | 6.80 | 0.0044 | significant |
| A-Chitosan | 1.462E+06 | 1 | 1.462E+06 | 7.09 | 0.0259 | |
| B-EDAC | 1.304E+05 | 1 | 1.304E+05 | 0.6328 | 0.4468 | |
| C-Time | 113.30 | 1 | 113.30 | 0.0005 | 0.9818 | |
| AB | 1.087E+06 | 1 | 1.087E+06 | 5.27 | 0.0473 | |
| AC | 1.597E+05 | 1 | 1.597E+05 | 0.7746 | 0.4017 | |
| BC | 49536.70 | 1 | 49536.70 | 0.2403 | 0.6357 | |
| A\(^2\) | 7.780E+06 | 1 | 7.780E+06 | 37.74 | 0.0002 | |
| B\(^2\) | 2.767E+06 | 1 | 2.767E+06 | 13.42 | 0.0052 | |
| C\(^2\) | 1.136E+05 | 1 | 1.136E+05 | 0.5512 | 0.4768 | |
| Residual | 1.855E+06 | 9 | 2.061E+05 | | | |
| Lack of Fit| 1.392E+06 | 5 | 2.783E+05 | 2.40 | 0.2082 | not significant |
| Pure Error | 4.636E+05 | 4 | 1.159E+05 | | | |
| Corr. Total| 1.598E+07 | 19 | | | | |
Table 5: Constraint table.
| Name | Goal | Lower Limit | Upper Limit | Lower Weight | Upper Weight | Importance |
|----------|-----------------------|-------------|-------------|--------------|--------------|------------|
| A: Chitosan | is in range | 1 | 3 | 1 | 1 | 3 |
| B: EDAC | is target = 194.3 | 100 | 400 | 1 | 1 | 3 |
| C: Time | is target = 24 | 15 | 48 | 1 | 1 | 3 |
| Response | maximize | 200 | 4000 | 1 | 1 | 3 |
Table 6: Desirability-based solutions determined by the model.
| Number | Chitosan | EDAC | Time | Response | Desirability |
|--------|----------|--------|------|----------|--------------|
| 1 | 1.725 | 194.354| 24.00| 2559.252 | 0.781 |
| 2 | 1.734 | 194.355| 24.00| 2559.011 | 0.781 |
| 3 | 1.712 | 194.354| 24.00| 2559.380 | 0.781 |
Table 7: Predicted and confirmation table of CLEA optimization.
| Response | Predicted Mean | Predicted Median | Std Dev | n | SE Pred. | 95% PI low | 95% PI high |
|----------|----------------|------------------|---------|----|----------|------------|-------------|
| Activity | 2558.48 | 2558.48 | 454.03 | 2 | 397.39 | 1659.53 | 3457.44 |
Table 8: Standard characteristics of the studied wastewater.
| Parameters | Values |
|-----------------------------|--------------|
| pH | 6.8 |
| DCO (mg L\(^{-1}\)) | 27 |
| DBO\(_5\) (mg L\(^{-1}\)) | 6 |
| MES (mg L\(^{-1}\)) | 40 |
| Total phosphorus (mg L\(^{-1}\)) | 0.11 |
| NH\(_4\) (mg L\(^{-1}\)) | 1.42 |
| Alkalinity (mg L\(^{-1}\)) | 107 |
Equations:
Kinetic study of acetaminophen removal
Curve fitting of zero (Eq. 2) and first-order (Eq. 3 and 4) kinetic model equations for the apparent rate of acetaminophen elimination with the experimental data.
\[ C_t = C_0 - r \times t \]
(Eq. 2)
Where: \( C_t \) is the acetaminophen concentration at a given time (\( \mu M \)), \( C_0 \) refers to the initial acetaminophen concentration (\( \mu M \)), \( r \) represents the apparent rate of acetaminophen removal (\( \mu M \ h^{-1} \)), and \( t \) is the reaction time (h).
\[ C_t = C_0 \times e^{(-k \times t)} \]
(Eq. 3)
\[ r = -k \times C \]
(Eq. 4)
Where: \( C_t \) is the acetaminophen concentration at a given time (\( \mu M \)), \( C_0 \) refers to the initial acetaminophen concentration (\( \mu M \)), \( k \) represents the apparent first-order decay constant (\( h^{-1} \)), \( t \) is the reaction time (h), and \( r \) represents the apparent rate of acetaminophen removal (\( \mu M \ h^{-1} \)).
Laccase insolubilization yield, efficiency, and activity recovery calculation
\[ Yield (\%) = \left( \frac{Calculated \ insolubilized \ laccase \ activity}{Free-LAC \ activity} \right) \times 100 \]
(Eq. 5)
\[ Efficiency (\%) = \left( \frac{Measured \ insolubilized \ laccase \ activity}{Calculated \ insolubilized \ laccase \ activity} \right) \times 100 \]
(Eq. 6)
\[ Activity \ recovery (\%) = \left( \frac{Measured \ insolubilized \ laccase \ activity}{Free-LAC \ activity} \right) \times 100 \]
(Eq. 7)
*The calculated insolubilized laccase activity was obtained from the difference between the free-LAC activity and that not bonded during the insolubilization process.*
Method 1: Analytical parameters of acetaminophen quantification
The ACT concentration was analyzed using an Acquity UPLC XEVO TQ mass spectrometer (Waters Corporation, Milford, MA) equipped with an Acquity UPLC HSS-T3 (100 mm × 2.1 mm) column (Waters Corporation, Milford, MA, USA). A positive electrospray ionization source (ESI+) in multiple reaction monitoring mode was used.
The mobile phases consisted of an aqueous phase made of acidified water made of formic acid (FA: 0.20%) (mobile phase A) and an organic phase made of a mixture of methanol, acetonitrile and formic acid at the respective ratios of 80% A, 20% B and 0.20% FA. The elution gradient started with 5% of mobile phase A and 95% of mobile phase B and the flow rate was set at 0.4 ml min\(^{-1}\). Five µL of the sample was injected for analysis through the column (column temperature: 30°C). Two daughter molecule transitions (m/z = 110.4 used for ACT quantification and m/z = 92.5 used for confirmation) were used. The optimum parameters obtained for ACT quantification were: desolvation nitrogen gas flow rate: 700 L h\(^{-1}\), cone nitrogen gas flow rate: 50 L h\(^{-1}\), collision gas flow rate: 0.22 ml min\(^{-1}\), capillary voltage: 2.5 kV, source temperature: 150°C and desolvation temperature: 550°C.
Method 2: Analytical parameters of cannabidiol quantification
CBD analysis was performed on liquid chromatography (M3 eksigent) coupled to a mass spectrometer (QTRAP 6500+) from SCIEX (Redwood City, CA, USA) equipped with an Acquity UPLC HSS-T3 column (100 mm X 1 mm, 1.8 µm, equipped with 0.2 µm fritted pre-filter) (Waters Corporation, Milford, MA, USA). The solvent flow rate was set to 50 µL min\(^{-1}\), and the column temperature was kept at 35°C. The sample volume injected was 2 µL. The mobile phase was 0.1% formic acid/water (A) and 0.1% formic acid/methanol-acetonitrile (80:20 v/v) (B). The elution gradient started with 80% of eluent B for 1 min, increased to 85% for 1 min, increased to 90% for 3 min, increased to 100% for 0.5 min, held for 1.5 min and then decreased back to 80% for 0.5 min. The equilibration time was 1.5 min for a total run time of 9 min. The mass spectrometry analysis was performed using a positive/negative electrospray ionization (ESI) source in the Multiple-Reaction-Monitoring mode (MRM). Two ion products (transitions m/z = 313.1>106.80 and 313.1>178.9) were used; the most abundant transition was used for quantification, whereas the second most abundant transition was used for qualification. The MS/MS acquisition and data processing were performed with Analyst and MultiQuant software from SCIEX (Redwood City, CA, USA).
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|
of our concept, next to the Japanese American National Museum and because they have an entrance and exit as well.
So far, our design meets the standards, the typical standards, but definitely we have to go through the process of working with everybody during this EIR, the draft of the report. And in addition to that, we have the pedestrian bridge as well. We may restrict pedestrians to move in certain areas across the street.
You know, all that will be detailed after hearing your comments and then working with the industry.
MR. ALLEN: Yeah, because there's a lot right next -- you know, right next to the station there that you could bring a portal up out of the ground and not affect any of that and then just tie it into the bridge going up.
MR. SOSA: Which lot is that?
MR. ALLEN: Just east of the station there.
MR. SOSA: The northeast station? That's the private-company development which has been very active in trying to get development there for the community, and last year the City awarded the development of that site and we're coordinating with them so that there are opportunities to do something like that. But right now we've designed it so that we're not dependent upon the site.
There are issues with doing that which we looked at during the A.A. process as well. There are traffic issues, because your trains have to get into that property to be able to get underneath First and Alameda, which makes that property very difficult to utilize, from the development standpoint.
In addition, we'd have to remove the Little Tokyo Arts District station if we were to do that. So then the community -- when we presented that to the
community as well, they were not in favor of having that station removed.
MR. ALLEN: Well, it would be two separate alignments, wouldn't it?
MR. SOSA: If we had an opportunity to use the property, there may be other ways to go about it, but we're willing to work with them if they're able to allow us to do that.
MR. GREIN: George Grein of the Sheriff's. What's the thought process you were mentioning about somebody could ride all the way from one point to another without having to get another ticket? How's that going to work? Is that a terminal at First and Alameda or would the rider continue on on the Gold Line extension?
MS. SALTARELLI: Uh-huh.
MR. GREIN: So, in other words, you're going to have the line coming out of Union Station and the line coming through the Downtown connector coming together at that point and the same thing at Seventh and Metro?
MS. SALTARELLI: Possibly. Well, keep -- the initial operating plan is you would be coming from Pasadena,
leaving Union Station -- this would be for the underground alignment -- going to the Little Tokyo Arts District and then going through Downtown; and depending
on which train you're on, you would either go down to Pasadena or -- sorry -- to Long Beach. And then coming back up, you would again have to be on the right train and you would either be going back up to Pasadena or then you would be going to the Eastside.
MR. GREIN: So the existing Gold Line extension, Gold Line -- sorry. The existing Gold Line would be the line you're talking about, and that becomes -- it goes through Downtown, and the East L.A. is a separate line coming in, both using that one short distance?
MS. SALTARELLI: Yes.
MR. GIBBS: You know, that's always been confusing. When you're doing your scoping meetings, maybe you should
just do a slide that really lays it out so people understand when they're coming from Long Beach that these are their choices as to which direction you go, depending on the alternative, so it's really laid out very clearly for everyone, 'cause it's hard to keep track of it.
MR. JENKINS: Yeah. I think if it provides a lot of flexibility -- Tom Jenkins -- a lot of flexibility, but you have to explain how people would use it on that. But, I mean, you could go -- as an example, we're talking about if you were in Downtown Pasadena.
Let's say you got onto the Pasadena line, the Gold Line, and you wanted to go to L.A. Live as an example. That would be, in essence, one seat. You'd sit down and you'd get off at Pico. Right now, to do that, you would have to transfer twice and that gets to what we've talked about in one of the benefits, is reducing our problems at this station and at Seventh and Metro
with the transfer issues.
So -- and right now, if you pay cash fare, that would cost you $3.75 to do that under the current fare structure. Under this, it would be $1.25 under the current fare structure, but there's a lot of benefits to the rider not only in time but costs, and there's operational efficiencies in there because of reducing our issues at Union Station and Seventh and Metro, not just moving people up and down the corridors to get them back and forth to trains.
MR. GIBBS: So would you have time to do another Board like that, a summary board? I think it really helps people understand what each of these alternatives means, especially for those that actually ride the rail system.
MR. BLAIR: You know, the San Francisco system has a series of colored lines that overlap each other and, Curt, if we're not explaining it clear, we've got to do it better. So the answer is we'll work on it on this site.
MR. JENKINS: This way, the basic operating plan is
if you lived on the Eastside in Boyle Heights and you wanted to, say, go to USC, if you were to go to school there or L.A. Trade or more to USC, that would be a single ride across Downtown on that, clear to the USC station, or go clear to Santa Monica when Expo phase two is up.
And even from Pasadena, it would only be one transfer from that. You could come from Pasadena and come down. You might -- and you could transfer at any of those stations in Downtown. You don't have to transfer at Seventh and Metro or Union Station. You could transfer at the one at Bunker Hill and catch the train out to Santa Monica. So you have to have -- that's where you were talking about where you might transfer. There's many opportunities to do the transfer to sort of spread the grief of the transfer, and some might be easier than others, but in Downtown those trains would each run five-minute headways. Combined, you would have two-and-a-half -- every two-and-a-half minutes, you'd see
MR. GREIN: Just a clarification. George Grein again. If you're coming from the Eastside from the soon-to-be-built Gold Line extension, if you're coming from Boyle Heights and you want to go to SC, it's still going to be a connection at First and Alameda; correct?
MS. SALTARELLI: No.
MR. JENKINS: No. You'd go straight through.
MR. GREIN: So we've got some trains --
MR. JENKINS: If you got on the train at Boyle Heights, and the concept that we had laid out on the first or second slide there, the east-west line, you would get on that train and the next time you want to get off of it would be at SC.
MR. GREIN: So what you're saying is that, what, every other train would be doing that and the other half --
MR. JENKINS: No.
MR. GREIN: -- is going to be going to Union Station?
MR. JENKINS: No. In this operation --
MR. GREIN: I'm confused.
MR. JENKINS: -- you would not be able to go to Union Station, coming from the Eastside, in this concept.
MR. BLAIR: I think, George -- if I can, whatever we're operating today, once the original connector is in, it will operate differently.
MR. JENKINS: It will operate differently.
MR. GIBBS: That's something people don't realize.
MR. JENKINS: I know what you mean and right now --
MR. GREIN: And I'm familiar with the system and I'm confused, 'cause I don't know how they're going to do that connection.
MR. JENKINS: If you go back -- and remembering doing
the Red Line extension to the Eastside, that's what it would be.
MR. GIBBS: You doing that, do the colors of the lines have to change?
MR. BLAIR: I think we'll have to redefine the system, but the easiest way to make this issue clear, we are going to run, based upon this environmental document, a north-to-south run and an east-to-west run. That's it. We have the options and the flexibilities of doing all kinds of things; but for practical purposes, it's Pasadena to Long Beach and it's East L.A. to the Westside, and those are the two lines. In the middle you've got four or five opportunities to change any time you want, but there's no one station you have to change at. We're going to overlap several of them.
As you mentioned, Shane, we've got some concerns now at Seventh and Metro now for transferring. This will allow us to disburse some of those populations to four or five other stations. This is a chance to do that, work through a few. But what we operate today is different than what we're going to operate once the system is in place.
The huge advantage that has been mentioned, this
is fast. Instead of 20-minute transfer times for various locations, you can sit down one time to get to your destination and save yourself anywhere from 10 to 20 minutes or so per direction. So if you're doing this every day, that's somewhere between 20 and 40 minutes transportation time saved every single day. So the whole system runs faster, it runs quicker north, south, east, west, and the operations are better.
MS. SALTARELLI: And I would like to add that this is our initial operating plan. As I mentioned earlier, we're going to have a lot of changes in the next 20 years. The regional connector closing the gap in the light-rail system gives us a lot of flexibility and we can change our operating plan based on what our needs are, so that's the beauty of this project.
Any other questions?
Well, as a conclusion -- thank you -- I'd just
like to remind everybody to please submit comments to us during the scoping period, which ends on May 11th. As I said earlier, we're going to engage you throughout this process. If you have any questions, comments, you know, outside of May 11th, please call me and, you know, we look forward to working with you during this phase of the project. Thank you.
And just to add, you know, please sign in and we'll be sending everybody a copy of the presentation. So thank you very much.
(Proceedings concluded at 2:10 p.m.)
9
10
11
12
13
Appendix K
Notification Database
| 100 Black Men of LA | Brotherhood Crusade |
|---------------------|--------------------|
| 1010 Development Corporation | City of Commerce Industrial Council |
| 330 Alameda LLC | City of Commerce Municipal Bus Lines |
| 953 Associates LLC | City of Compton |
| A Range Ments Special Event Planning | City of Culver City |
| ABC’s 123 | City of Culver City Engineering: Department of Public Works |
| Access Services Inc. | City of Culver City: Culver City Bus |
| Advanced Investment Group | City of Culver City: Department of Public Works |
| Advanced Parking Systems | City of El Monte |
| Advisory Council on Historic Preservation | City of Gardena |
| AFSCME | City of Huntington Park |
| Alameda Corridor Jobs Coalition | City of Industry |
| Aldaron: Inc. | City of Long Beach |
| Aldaron: Inc. | City of Long Beach: Traffic & Transportation Bureau |
| Altadena Senior Center | City of Long Beach: Transit |
| American Holiday Travel | City of Los Angeles |
| American Lung Cancer Association | City of Los Angeles: City Council: District 2 |
| AMTRAK | City of Los Angeles: City Council: District 5 |
| Angelenic | City of Los Angeles: City Planning |
| Anschutz Entertainment Group | City of Los Angeles: Community Development |
| APT Parking Technologies | City of Los Angeles: Community Redevelopment Agency |
| Architecture Tours Los Angeles | City of Los Angeles: Cultural Affairs |
| Arnie Berghoff & Associates | City of Los Angeles: Department of Engineering |
| Artisan on Second Management Office | City of Los Angeles: Department of Neighborhood Empowerment |
| Asian American Architects & Eng. | City of Los Angeles: Department of Planning |
| Automobile Club of Southern California | City of Los Angeles: Department of Public Works: Bureau of Engineering: Bridge Improvement Program |
| Avalon Gardens | City of Los Angeles: Department of Public Works: Bureau of Street Services |
| Backstage 21 / May 15 | City of Los Angeles: Department of Transportation |
| Banerjee & Associates | City of Los Angeles: Department of Transportation: ATSAC |
| Bank of the West | City of Los Angeles: Department of Transportation: Bike Program |
| Barker Block Management Office | |
| Barrio Planners: Inc. | |
| Bethesda Missionary Baptist Beulah Baptist | |
| Bikestation Coalition | |
| Biscuit Company Lofts Management Office | |
| Black Business Association of LA Black Women’s Forum | |
| BNSF Railway | |
| Bonaventure | |
| Bradley Multipurpose Center | |
| Breathe California of Los Angeles County | |
| Brookfield Properties Corporation | |
| Building LLC Binford | |
| Building Owners and Management Association | |
| Bunker Hill Towers Management Office | |
| Burke, Williams, & Sorensen | |
| Bus Riders Union | |
| CAKCO Management | |
| California Bank & Trust | |
| California Coastal Commission | |
| California Community Economic Development Association | |
| California Endowment | |
| California High-Speed Rail Authority | |
| California Hospital | |
| California League of Conservation Voters | |
| CALPIRG/Environment California Calstart | |
| Cambodian American Chamber of Commerce | |
| Casa Heiwa Tenants Council | |
| Cameo Woods Homeowners Association | |
| Carpenters-Contractors Cooperation Committee | |
| Carson Chamber of Commerce | |
| Catellus Development Corporation | |
| Cathedral of Our Lady of the Angels | |
| CB Richard/Ellis | |
| Centenary Church | |
| Center for the Study of Los Angeles | |
| Central City Association of Los Angeles | |
| Central City East Association | |
| Cherrywood Ave Block Club | |
| Chow Mark & N Trust | |
| Christ Unity | |
| Cinema Properties Group | |
| Citibank | |
| Citizens United to Save South Pasadena | |
| City of Carson | |
| City of Commerce | |
| City of Commerce | |
City of Los Angeles: Department of Water and Power
City of Los Angeles: Emergency Preparedness
City of Los Angeles: Environmental Affairs Department
City of Los Angeles: Fire Department
City of Los Angeles: Office of Council President Eric Garcetti
City of Los Angeles: Office of Councilmember Bernard Parks
City of Los Angeles: Office of Councilmember Bill Rosendahl
City of Los Angeles: Office of Councilmember Dennis Zine
City of Los Angeles: Office of Councilmember Ed Reyes
City of Los Angeles: Office of Councilmember Greg Smith
City of Los Angeles: Office of Councilmember Herb Wesson
City of Los Angeles: Office of Councilmember Jan Perry
City of Los Angeles: Office of Councilmember Janice Hahn
City of Los Angeles: Office of Councilmember Jose Huizar
City of Los Angeles: Office of Councilmember Richard Alarcón
City of Los Angeles: Office of Councilmember Tom LaBonge
City of Los Angeles: Office of Councilmember Tony Cardenas
City of Los Angeles: Office of the Mayor
City of Los Angeles: Parks and Recreation
City of Los Angeles: Police Department
City of Los Angeles: Public Works
City of Lynwood
City of Monterey Park
City of Norwalk
City of Pasadena
City of San Marino
City of Signal Hill
City of South Gate
City of South Pasadena
City of Vernon
Civic Alliance c/o Manatt Phelps & Phillips, LLP
Coalition for Clean Air
Coalition for Clean and Safe Ports
Coalition for Humane Immigrant Rights of Los Angeles
Colfax Consulting
Communities for a Better Environment
Communities for Clean Ports
Community Health Council
Compton Chamber of Commerce
Compton Latino Chamber of Commerce
Concerned Citizens of South Central Los Angeles
Consensus Planning Group
Consulate General of Japan at Los Angeles
Copy Best: Inc.
Cornerstone Theater Company
CORO
County of Los Angeles
Department of Public Works
County of Los Angeles Regional Planning
Crain & Associates
Crenshaw Chamber of Commerce
Crenshaw Christian Center
Crenshaw Economic Development Department
Culver City Chamber of Commerce
Curry Temple Community Development Corporation
Dakota Communications
Davis Christian
Debbie's Day Care
Debris Free: Inc.
Diverse Strategies
Downtown Women's Center
East Los Angeles Chamber of Commerce
East Los Angeles Remarkable Citizens' Association, Inc.
East West Development Corporation
East West Eye Institute Third Street Medical Building
East West Players
East Yard Communities for Environmental Justice
Edison
Electric Railway Historical Association
Elizabeth Peterson Group: Inc.
Emerson & Associates
Emi Yamaki: K. Shishido
Empowerment Congress
Central Area Neighborhood Development Congress
Empowerment Congress South West Neighborhood Development Congress
Empowerment Congress West Neighborhood Development Council
Endangered Habitats League
Engineers & Architects IUPA 8000
Environmental Defense
Equity Office
Ethnic Coalition
Euclid Avenue Elementary School
Evergreen Academy
Evergreen Avenue Elementary School
Exposition Construction Authority
Factory Place Lofts Management Office
Fair Housing Foundation
FAME Renaissance Program
Fansteel Inc
Far East Café Management Office
Fashion Institute of Design & Merchandising
Fifth Street Dicks Coffee House
Figueroa Corridor Partnership
Film L. A. Inc.
Film This!
First AME Church
First Street Elementary School
First Street South Plaza
First United Methodist Church of Los Angeles
Flanigan Farms
Foc Electronics Inc
Ford Boulevard Elementary School
Fourth Street Elementary School
Frank D. Lanterman Regional Center
Freda Mohr Multiservice Center - JFS
Friedman Bag Company
Friedman Occupational Center - LAUSD
Friends of the Little Tokyo Library
Friends of the Los Angeles River
Fukui Mortuary
Gabrielino Tongva Indians of California Tribal Council
Garboard/Keelson Asset and Property Management Company
Garfield High School
Gascon Elementary School
Gateway to Los Angeles Business Improvement District
Gilmore Associates
Go for Broke National Education Center
Gonzaque Village
Grand Avenue Medical Joint Venture
Grand Tower Management Office
Greater Leimert Park Village/Crenshaw Corridor BID
Greater Los Angeles African American Chamber of Commerce
Greater Los Angeles African American Chamber of Commerce
Green Tech Coast, LLC
Griffith Middle School
Groundwork Café
Grubb & Ellis Management Services
GVA Charles Dunn
GVA Daum
Hacienda La Puente Unified School Distrit
Hamasaki Elementary School
Hammel Street Elementary School
Happy Day, Inc.
Harrison Elementary School
Hewitt St Lofts Management Office
Higashi Honganji Buddhist Temple
Higgins Building Homeowners Association
Hikari Management Office
Hillcrest Elementary School
Hilton Checkers
Hiroshima Kenjinkai Of Southern California Historic Cultural Neighborhood Council
HNTB Corporation
Hollenbeck Middle School
Hollenbeck Police Station
Hollywood Business Improvement District
Hollywood Chamber of Commerce
HomeBoy Industries
Honda Plaza Merchants
Hotel Llc Sogo
House of Trophies
Housing Authority of Los Angeles
Humphreys Avenue Elementary School
Huntington Park Chamber of Commerce
Imperial Courts
Industry Manufacturers Council (Chamber)
Infinity Insurance/Staff Counsel
International Brotherhood of Teamsters
International Enterprise Singapore
Itsuo & Fusako Tachibana
J-Town Voice
J-Town Voice
J-Town Voice
Japan America Television: Inc.
Japan Exposition Foundation
Japan Travel Bureau Intl Inc
Japanese American Citizens League - Pacific Southwest District
Japanese American Community Services
Japanese American Cultural & Community Center
Japanese American National Museum
Japanese American Optimist Club
Japanese Chamber of Commerce of Southern California
Japanese Community Pioneer Center
Japanese Evangelical Missionary Society
Japanese Village Plaza Tenant Association
Japanese Women's Society of Southern California
Jeffer Mangels Butler and Marmaro
Jeffer Mangels Butler and Marmaro
Jodoshu N.A. Buddhist Missions
Jones Lang LaSalle
Kaiser Permanente
Kaiser Permanente: Public Affairs
Kaji & Associates
Katz Fram and Company
Keiro Sr. Health Care
Keller Williams Beverly Hills Commercial
Kennedy Elementary School
Kimota Photomart
King Taco
Koraku
Korean Business & Professional Women's Association
Korean Resource Center
Korean-American Coalition
Koreatown Youth & Community Center
Kosmont Companies
Koyasan Buddhist Temple
Kumamoto Associates
LA ArtCore
LA City/County Native American Indian Committee
LA OPERA
Labor/Community Strategy Center
Lafayette Square
Laguna Nueva Elementary School
Lane Elementary School
| Larchmont Boulevard Association | Los Angeles County Department of Public Health |
|---------------------------------|---------------------------------------------|
| Latham & Watkins | Los Angeles County Department of Social Services |
| LBA Realty | Los Angeles County Fire Department |
| Leadership Education for Asian Pacifics: Inc. | Los Angeles County Health Services Administration |
| Lee Andrews Group | Los Angeles County Museum of Art |
| Legal Aid Foundation of Los Angeles | Los Angeles County Office of Education |
| Leimert Park Village Farmers Market | Los Angeles County Sheriff's Department |
| Little Tokyo Branch Library | Los Angeles County: Office of Mark Ridley-Thomas |
| Little Tokyo Business Association | Los Angeles County: Office of Supervisor Don Knabe |
| Little Tokyo Community Council | Los Angeles County: Office of Supervisor Gloria Molina |
| Little Tokyo Lions Club | Los Angeles County: Office of Supervisor Michael Antonovich |
| Little Tokyo Public Safety Association | Los Angeles County: Office of Supervisor Zev Yaroslavsky |
| Little Tokyo Recreation Center | Los Angeles Economic Development Council |
| Little Tokyo Service Center Community Development Corporation | Los Angeles Fashion District |
| Little Tokyo Service Center | Los Angeles Gay & Lesbian Center |
| Little Tokyo Towers Residents Council | Los Angeles Hompa Hongwanji Buddhist Temple |
| Loft Appeal | Los Angeles Housing Department |
| Lofts at the Security Building Management Office | Los Angeles Junior Chamber of Commerce |
| Long Beach Alliance for Children with Asthma | Los Angeles League of Conservation Voters |
| Long Beach Area Chamber of Commerce | Los Angeles LIVE |
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Appendix L
Direct Mail Scoping Letter
This information is available from Metro upon request.
This appendix has been intentionally left blank.
Appendix M
“Take Ones”
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This appendix has been intentionally left blank.
Appendix N
Electronic Meeting Notice
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This appendix has been intentionally left blank.
Appendix O
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Appendix P
Public Scoping Meeting #1 Sign In Sheet
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This appendix has been intentionally left blank.
Appendix Q
Public Scoping Meeting #2 Sign In Sheet
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This appendix has been intentionally left blank.
Appendix R
Public Scoping Meeting #3 Sign In Sheet
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This appendix has been intentionally left blank.
Appendix S
Public Scoping Meeting #4 Sign In Sheet
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This appendix has been intentionally left blank.
Appendix T
Meeting Boards and Scoping Packet
Welcome!
Thank you for attending this public scoping meeting for the Regional Connector Transit Corridor project. The public scoping meetings start the Draft Environmental Impact Statement/Environmental Impact Report (DEIS/DEIR) process.
Agenda
• Open House – 20 Minutes
• Formal Presentation – 20 Minutes
• Public Comment Period – 60 Minutes
Project Purpose
The project purpose is to improve the region’s public transit service and mobility by providing a connection through downtown Los Angeles that links the region via the Metro Gold Line to Pasadena and East Los Angeles, Metro Blue Line to Long Beach, and Metro Expo line to Culver City.
- Support Community Planning Efforts
- Public Involvement and Community
- Improve Local and Regional Mobility and Accessibility
- Provide a Cost Effective Transportation Alternative
- Provide a Financially Feasible Project
- Provide a Safe and Secure Transportation Alternative
Project Need
- Multiple transfers to travel across downtown result in overcrowding at stations and increased travel times.
- Project area has many transit-dependent residents.
- As the Metro Expo Line and Metro Gold Line Eastside Extension are completed, the lack of regional connectivity may result in reduced schedule reliability.
- Improved system-wide operations could result in improved travel times and safety throughout the entire system.
- Employment & residential growth and traffic congestion in the region expected to increase over the next 20 years.
Environmental Issues to be Analyzed
The purpose of the DEIS/DEIR is to study the potential effects of the construction and operation of the proposed project alternatives. Measures to avoid, minimize, and mitigate adverse impacts will be identified and evaluated.
- Traffic, Transit & Parking
- Visual & Aesthetics
- Air Quality
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- Geology & Soils (Subsurface & Seismic)
- Water Resources
- Biological Resources
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- Hazardous Materials
- Parks & Other Community Facilities
- Land Use
- Displacement/Relocation of Uses
- Community Impacts
- Economic Development
- Fiscal Impacts
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- Growth Inducing Impacts
Mode: Light Rail Transit (LRT)
- At grade, below grade
- Exclusive lane
- Overhead electrical power
- Up to 55 mph/up to 35 mph or posted speed if street running
- Up to 3 cars/train
- Up to 500 passengers/train
- Approximately one mile station spacing (closer in urban areas)
- Approximately 270-foot long high platform stations
| Event | Mar-April | May-Sept | Oct-Dec | Jan-Feb | Mar-May | June-Aug |
|--------------------------------------------|-----------|----------|---------|---------|---------|----------|
| NOI/NOP to Prepare DEIS/DEIR | | | | | | |
| Public Scoping Meetings | | | | | | |
| Environmental Analyses & Review | | | | | | |
| Public Review of DEIS/DEIR | | | | | | |
| Selection of Locally Preferred Alternative (LPA) | | | | | | |
| Prepare Request to enter Preliminary Engineering | | | | | | |
**Legend:**
- **Public Participation Opportunities**
- **Project Tasks**
- **Milestone: Circulate DEIS/DEIR**
Project Development Process
On-going Public Participation & Communication 7-10 Years
Alternative Analysis 1 Year
Completed & Approved July 2007 - January 2009
Draft Environmental Impact Statement/Report (DEIS/DEIR) & Conceptual Engineering 1-2 Years
WE ARE HERE
Final EIS/EIR 1-2 Years
LPA Selected
Preliminary Engineering
Final Design 1-2 Years
Construction 3-4 Years
Revenue Operations
Regional Connector Transit Corridor Study
Alternatives Analysis Process
Early Scoping
Initial Screen
AA Report Conclusion
DEIS/DEIR Advanced Conceptual Engineering
33 Initial Conceptual Alternatives
8 Alternatives Identified for Screening
Promising Alternatives
BOARD APPROVAL OF 4 ALTERNATIVES JANUARY 2009
No-Build
TSM
At-Grade Emphasis LRT Alternative
Underground Emphasis LRT Alternative
Regional Connector Transit Corridor Study
Land Use
General Land Uses
- Agriculture
- Commercial
- Industrial
- Military Installations
- Mix Uses
- Open Space
- Public Facilities - Institutions
- Residential
- Under Construction
- Vacant
- Water
Regional Connector Transit Corridor Study
|
Batch-to-batch model improvement for cooling crystallization
Marco Forgione\textsuperscript{a,*}, Georgios Birpoutsoukis\textsuperscript{e}, Xavier Bombois\textsuperscript{a}, Ali Mesbah\textsuperscript{b}, Peter J. Daudey\textsuperscript{c}, Paul M.J. Van den Hof\textsuperscript{d}
\textsuperscript{a} Laboratoire Ampère UMR CNRS 5005, Ecole Centrale de Lyon, Ecully, France
\textsuperscript{b} Department of Chemical and Biomolecular Engineering, University of California, Berkeley, USA
\textsuperscript{c} Chemical Engineering Department, Delft University of Technology, The Netherlands
\textsuperscript{d} Department of Electrical Engineering, Eindhoven University of Technology, Eindhoven, The Netherlands
\textsuperscript{e} Vrije Universiteit Brussel, Department ELEC, Brussel, Belgium
\textbf{Article history:}
Received 29 April 2014
Accepted 21 April 2015
\textbf{Keywords:}
System identification
Iterative learning control
Process control
Batch processes
Batch cooling crystallization
\textbf{Abstract}
Two batch-to-batch model update strategies for model-based control of batch cooling crystallization are presented. In Iterative Learning Control, a nominal process model is adjusted by a non-parametric, additive correction term which depends on the difference between the measured output and the model prediction in the previous batch. In Iterative Identification Control, the uncertain model parameters are iteratively estimated using the measured batch data. Due to the different nature of the model update, the two algorithms have complementary advantages and disadvantages which are investigated in a simulation study and through experiments performed on a pilot-scale crystallizer.
© 2015 Elsevier Ltd. All rights reserved.
\section*{1. Introduction}
Cooling crystallization is a separation and purification process often performed in batch mode in the pharmaceutical, food and fine chemicals industries for the production of high value-added products (Myerson, 2002). In a batch cooling crystallization process, a solution consisting of a solute dissolved in a solvent is loaded at high temperature into a vessel called crystallizer, and is subsequently cooled down. The crystallizer temperature is manipulated by circulating a cooling medium inside the jackets surrounding the crystallizer. Due to cooling, the equilibrium concentration of the solution (i.e. the solubility) is lowered and part of the solute is transferred from the solution to the solid crystalline phase. The content of the crystallizer is no longer a clear solution, but a two-phase fluid slurry consisting of the solution and the solid crystals. The concentration of the solute in the solution decreases, while the amount of solid crystals increases. When the final temperature corresponding to the desired yield is reached, the solid crystals are separated from the solution and the batch ends.
In industrial batch cooling crystallizers, the crystallizer temperature is often the only process variable that is controlled (Fujiwara, Nagy, Chew, & Braatz, 2005). The jacket temperature is the manipulated variable used to steer the crystallizer temperature. Since accurate on-line temperature measurements can be readily obtained, the crystallizer temperature is controlled in a closed-loop setting. In this configuration, the desired cooling profile is given as set-point to a feedback temperature control loop.
However, even when the temperature is effectively controlled, the crystal product of a batch might not show all the desired properties. In fact, even though the temperature is an important process variable, it is not the one most closely related to the crystallization dynamics. The process variable having the most direct influence on the crystallization process is the supersaturation, often defined as the difference between the solute concentration and the solubility at a given temperature. Supersaturation is the driving force for physicochemical phenomena involved in crystallization such as the birth and the growth of crystals (Myerson, 2002), and its trajectory throughout the process influences several aspects of the final product including chemical purity, polymorphic state, crystal size and shape (Barrett, McNamara, Hao, Barrett, & Glennon, 2010; Sanzida & Nagy, 2013). In general, operating at too high supersaturation has to be avoided since it leads to a degradation of the product quality. Conversely, operating at low supersaturation leads to a slow growth of the crystals and therefore to a low production rate. A trade-off between product quality and productivity is often defined by aiming at a constant supersaturation during the batch time (Fujiwara et al., 2005; Gutwald & Mersmann, 1990; Mesbah, Nagy, & Huesman, 2012).
In a batch cooling crystallization process, the supersaturation can be manipulated by changing the crystallizer temperature, since the latter determines the solubility. Supersaturation control strategies for batch cooling crystallization have been widely investigated in the literature (Fujiwara et al., 2005; Nagy, Chew, Fujiwara, & Braatz, 2008; Vissers et al., 2012; Xie, Rohani, & Phoenix, 2002). In general, supersaturation control has been shown to give better performance...
compared to temperature control only, particularly in terms of consistency of the product quality.
In most of the supersaturation control strategies, a nominal model of the supersaturation dynamics is used to design the model-based controller. Therefore, the quality of the model has a direct influence on the tracking performance that the model-based controller can achieve. Unfortunately, the models describing the process often suffer from severe uncertainties. Due to these uncertainties, the performance delivered by the model-based controller can significantly deteriorate in the case of a model–plant mismatch.
This paper investigates the opportunity of using input/output data collected from previous batches in order to improve the model, and consequently the performance delivered by a model-based control solution. In particular a situation is considered in which the concentration measurements collected throughout a batch (which are required in order to compute the supersaturation) are available for control only at the end of the batch. This situation can occur in an industrial environment, where the measurements are often obtained through the off-line analysis of samples collected throughout the batch. The quality of the model is even more important than in the case of feedback control. Indeed, feedforward control solutions are in general more sensitive to model–plant mismatches than the ones based on on-line feedback.
In Forgione, Mesbah, Bombois, and Van den Hof (2012a, 2012b) the authors introduced a novel batch-to-batch (B2B) control strategy conceived in order to track efficiently a supersaturation profile in a batch cooling crystallization process, under the presence of disturbances and model uncertainties. The findings presented in those previous contributions, which were obtained using a simulation model of the process, are here complemented with the results of real experiments performed on a pilot-scale crystallization setup which confirm the applicability of our method. To the best of the authors’ knowledge, these are the first B2B control experiment for a batch cooling crystallization process documented in the literature.
The B2B control strategy exploits the fact that the concentration measurements are only available off-line, but the temperature measurements are readily available on-line. In fact, a higher-level B2B supersaturation control algorithm is combined with a lower-level feedback PI temperature controller. Based on the desired supersaturation profile and the off-line concentration measurements from the previous batches, the B2B algorithm updates a model of the process dynamics. Subsequently, it uses the updated model in order to compute an improved reference temperature profile $T'$. This profile is set as reference to a lower-level PI temperature controller in the next batch. The role of the PI controller is to suppress the system disturbances as efficiently as possible in order to decrease their influence on the supersaturation dynamics.
Two B2B algorithms, namely Iterative Identification Control (IIC) and Iterative Learning Control (ILC), are presented. While IIC is based on a parametric model update, ILC performs a more flexible, nonparametric model correction. Due to the different nature of the model update, the two algorithms have complementary advantages and disadvantages, which are investigated in this paper.
The ILC algorithm used in this paper is based on the two-step procedure first introduced in Volckaert, Diehl and Swevers (2010). After a batch, the model of the dynamics from the reference temperature $T'$ to the supersaturation $S$ is updated using a non-parametric additive correction term, which depends on the difference between the measured supersaturation and the supersaturation predicted by the model for the previous batch. This correction term is obtained in such a way that the updated model matches more closely the actual supersaturation measured during the previous batch. Subsequently, the improved reference temperature is computed using the updated model in order to minimize the supersaturation tracking error for the next batch. In the literature, other applications of ILC for supersaturation control in batch cooling crystallization have been presented in Zhang, Nguyen, Xiong, and Morris (2009), Sanzida and Nagy (2013). In both algorithms, a new temperature trajectory is designed based on a linear time-varying perturbation model of the nonlinear supersaturation dynamics. Compared to those papers, the advantage of the approach presented here is twofold. First, the presence of a lower-level PI controller, which is an asset in the presence of disturbances on the temperature dynamics. The ILC algorithm alone, which is a feedforward control solution, could not compensate for these real-time disturbances. In addition, these disturbances could be easily confused by the algorithm with parts of the actual process dynamics since ILC is based on a non-parametric model correction. Second, the use of the nonlinear, first-principles model of the process in the algorithm, as opposed to the linearized model used in Zhang et al. (2009) and Sanzida and Nagy (2013), which is an acceptable approximation of the dynamics only along the time-varying working point. Besides, it has to be mentioned that while in Zhang et al. (2009) and Sanzida and Nagy (2013) only simulation results have been reported, in this paper experimental results are also included.
In the IIC algorithm, estimates of the uncertain physical parameters are refined after a batch according to a Maximum a Posteriori criterion which combines the information coming from the measurements collected during the most recent batch with the previous parameter estimates. By doing this, the accuracy of the model increases after each batch, since the parameter estimates are obtained using an increasing amount of information. Next, as in the ILC algorithm, the reference temperature $T'$ for the next batch is optimized off-line using the updated model in order to follow the desired supersaturation set-point.
The remainder of the paper is organized as follows. First, a model for the batch cooling crystallization process is presented in Section 2. Subsequently, the B2B control framework is discussed in Section 3. The framework is applied in a simulation study in Section 4 and on the pilot-scale crystallizer in Section 5. Finally, overall conclusions and directions for future research are discussed in Section 6.
2. The batch cooling crystallization model
A model of the batch cooling crystallization process is presented in this section. This model is used extensively throughout this paper. First, it is used in Section 3 for the design of the B2B control algorithms. Second, the data-generating system used in Section 4 to represent the crystallizer in the simulation study is a numerical implementation on this model. Finally, the B2B control algorithms based on this model are applied on the real pilot-scale crystallization setup in Section 5.
As previously discussed in the Introduction, in a batch cooling crystallization process a chemical solution is cooled down in a crystallizer. The jacket temperature $T_j$ is the manipulated variable used to steer the crystallizer temperature $T$.\footnote{In practice, the jacket temperature $T_j$ is not directly manipulated, but it is controlled by a low-level control loop. The set-point of the low-level controller is the variable that is actually accessible (see the description of experimental set-up in Section 5.1). However, the dynamics of this low-level control loop is usually much faster compared to the other system dynamics, and for this reason it is ignored in the modeling.} By cooling, the solubility of the solution is lowered, and part of the solute is transferred from the solution to the solid, crystalline phase. Therefore, the concentration $C$ of the solute within the solution decreases. The batch cooling crystallization process is often represented using the so-called moment model (Randolph & Larson,
A state-space representation of this model is
\[
\begin{align*}
x &= \mathcal{F}(x) + \mathcal{G}(T_j) \\
y &= \mathcal{H}(x) \\
S &= \mathcal{M}(y).
\end{align*}
\] (1)
The states \( x = (m_0 \ m_1 \ m_2 \ m_3 \ T)^\top \) are the first four moments of the crystal size distribution (Randolph & Larson, 1971) and the crystallizer temperature. The input is the jacket temperature \( T_j \), the measured outputs \( y = (T \ C)^\top \) are the crystallizer temperature and the concentration of the solute. The latter may be expressed as
\[
C = C_i - \rho_c k_s (m_3 - m_{3,i})
\] (2)
where \( C_i \) and \( m_{3,i} \) are the initial values of \( C \) and \( m_3 \), respectively. The control output \( S \) is the supersaturation, i.e. the difference between the concentration \( C \) and the solubility \( C_s(T) \)
\[
S = C - C_s(T)
\] (3)
where the solubility \( C_s(T) \) is a third-order polynomial function of the temperature \( T \)
\[
C_s(T) = a_0 + a_1 T + a_2 T^2 + a_3 T^3.
\] (4)
The state and the output mappings in (1) are given by
\[
\mathcal{F}(x) = \begin{pmatrix}
-\frac{UA}{\rho c_p V} T \\
k_b (C - C_s(T))^b m_3 \\
k_g (C - C_s(T))^g m_0 \\
2k_g (C - C_s(T))^g m_1 \\
3k_g (C - C_s(T))^g m_2
\end{pmatrix}, \quad
\mathcal{G}(T_j) = \begin{pmatrix}
\frac{UA}{\rho c_p V} T_j \\
0 \\
0 \\
0
\end{pmatrix}, \quad
\mathcal{H}(x) = \begin{pmatrix}
T \\
C
\end{pmatrix},
\] (5)
\[
\mathcal{M}(y) = C - C_s(T).
\] (6)
Note that \( S \) is given by the static, nonlinear function \( \mathcal{M}(y) \) of the measured output \( y \).
The initial concentration \( C_i \) and the initial state \( x_i = (m_{0,i} \ m_{1,i} \ m_{2,i} \ m_{3,i} \ T_i)^\top \) are assumed to be fixed and known. The parameter vector \( \beta = [k_b \ g]^\top \) contains the kinetic coefficients determining the growth behavior. In practice, these parameters are often subject to a large uncertainty. It is here assumed that a nominal parameter vector \( \hat{\beta}_1 \) is known a priori. However, the true parameter vector \( \beta_0 \) used in the data-generating system (i.e. the model representing the true system in the simulation study) will differ from \( \hat{\beta}_1 \) in order to take the effect of parametric model mismatches into account. All the other symbols appearing in the model equations represent fixed coefficients and are assumed to be known exactly.\(^2\) The values of these fixed coefficients and the ones of the true parameters \( \rho_o \) used in the data-generating system are given in Table 1.
It will be convenient to consider the system in a finite, discrete-time representation. To this purpose, an ODE integration scheme with a fixed step \( t_d = 5 \) s is applied to the continuous-time system (1). After discretization, the batch time (assumed for simplicity to be equal for all the batches) corresponds to a certain number \( N \) of samples. For a certain input, output, or state variable \( V \) of the crystallization process, the bold-face symbol \( V \) denotes a vector containing the \( N \) samples of \( V \) at the \( N \) discretization points. For instance, \( C \) is the \( N \)-length vector containing the values of the concentration \( C \) at the discretization point. Furthermore, the notation \( F_{WV}(\cdot) \) represents the mapping from the variable \( V \) to the variable \( W \). Thus, for instance, the input/output dynamics \( F_{CT_j}(\cdot) \) from \( T_j \) to \( C \) is denoted as \( F_{CT_j}(\cdot) \), i.e. \( C = F_{CT_j}(T_j) \). Note that such dynamics can be seen as the concatenation of a part \( F_{TT_j}(\cdot) \) from \( T_j \) to \( T \) which is linear and fixed (first state equation in (5), and a part \( F_{CT}(\cdot) \) from \( T \) to \( C \) that is nonlinear and depends on the uncertain parameters, i.e. \( C = F_{ST_j}(T_j, \beta) = F_{ST}(\widehat{F_{TT_j}(T_j)}, \beta) \) (see the two rightmost blocks in Fig. 1).
Measurements \( \hat{C} \) and \( \hat{T} \) of \( C \) and \( T \) are collected at the same rate \( t_s = t_d \) and corrupted by the noise signals \( e_C \) and \( e_T \), respectively. The noise signals \( e_C \) and \( e_T \) are modeled as realizations of two independent white Gaussian processes having standard deviation \( \sigma_T = 0.1 \ ^\circ C \) and \( \sigma_C = 0.002 \) kg/kg, respectively. Furthermore, an additive disturbance \( \delta_T \) is included on the crystallizer temperature in order to take into account the effect of unmodeled dynamics such as the thermal losses to the external environment, and the heat released due to the crystallization process. The disturbance \( \delta_T \) is modeled as a first-order autoregressive process having standard deviation \( \sigma_{AR} = 0.2 \ ^\circ C \):
\[
\delta_T(t+1) = a \delta_T(t) + e(t)
\] (7)
where \( a = 0.9895 \) and \( e(t) \) are white noise with standard deviation \( \sigma_e = \sigma_{AR} \sqrt{1-a^2} \). The realizations of \( e_C, e_T \) and \( \delta_T \) are different for all batches.
### 3. Batch-to-batch control algorithms
#### 3.1. B2B+PI configuration
In order to cope with the disturbance \( \delta_T \) on the temperature dynamics, a PI temperature controller is included in the control scheme. The B2B algorithm will be designed to update from batch to batch the reference trajectory \( T' \) for the PI controller in order to track the supersaturation set-point \( S' \). The overall B2B+PI control scheme used in this paper is sketched in Fig. 1. The two leftmost blocks in the scheme represent the control system: the B2B supersaturation controller and the PI temperature controller. The signals coming and departing from the B2B block are updated offline only, i.e. from batch to batch, and are indicated by dashed lines. All other signals are represented by continuous lines and are updated on-line during the same batch.
The different steps of the B2B+PI control approach are illustrated in a flowchart in Fig. 2. After batch \( k \) is executed, the B2B controller uses the measurements in order to compute a temperature profile \( T_{k+1}^{(s)} \). This profile is used as a reference for the PI controller during the next batch, and so on and so forth for the following ones. Note that the temperature profile \( T_1^{(s)} \) corresponding to the first batch has to be fixed in advance. In practice, it may be set to an initial guess of the optimal temperature trajectory based on prior process knowledge.
**PI temperature controller:** The PI controller manipulates the jacket temperature \( T_j \) in such a way that the crystallizer temperature \( T \) follows the reference temperature \( T' \). The controller design is performed in the Laplace domain using a model reference approach aiming at a first-order closed loop transfer function from \( T' \) to \( T \) in the form
\[
T(s) = \frac{1}{1+s t_{cl}} \ T'(s),
\] (8)
where \( t_{cl} \) is the closed-loop time constant. Note that \( T(s) \) is the complementary sensitivity function of the control loop and is given by
\[
T(s) = \frac{L(s)}{1+L(s)}
\] (9)
where \( L(s) \) is the loop transfer function. From the model equations (5), the open-loop thermal dynamics from \( T_j \) to \( T \) in the Laplace
Table 1
Fixed coefficients and true parameters used in the data-generating system.
| Symbol | Description | Value | Units |
|--------|--------------------------------------------------|---------|-----------|
| $\rho_c$ | Crystal density | 1130 | kg/m$^3$ |
| $k_v$ | Crystal shape factor | 0.1 | – |
| $\rho$ | Slurry density | 789 | kg/m$^3$ |
| $c_p$ | Slurry specific heat capacity | 4185 | J/(C·kg) |
| $V$ | Crystallizer volume | 0.905 | m$^3$ |
| $UA$ | Heat transfer coefficient · jacket area | $1.5 \cdot 10^5$ | J/(min · °C) |
| $a_0$ | Solubility coefficient 0 | 278428 | – |
| $a_1$ | Solubility coefficient 1 | 2.0891 | 1/C |
| $a_2$ | Solubility coefficient 2 | −0.0311 | 1/C$^2$ |
| $a_3$ | Solubility coefficient 3 | 0.0017 | 1/C$^3$ |
| $k_g$ | Growth rate coefficient | $4.0 \cdot 10^{-4}$ | m/min |
| $g$ | Growth rate exponent | 1.0 | – |
| $k_b$ | Nucleation rate coefficient | $1.57 \cdot 10^{13}$ | 1/(m$^3$ min) |
| $b$ | Nucleation rate exponent | 1.7 | – |
The domain is
$$T(s) = -\frac{\rho c_p V}{UA} \frac{T_f(s)}{s + \rho c_p V}$$
while the transfer function of the PI controller is $Pl(s) = K_P + K_I/s$. The open loop transfer function is thus $L(s) = Pl(s)G(s)$. Substituting this expression of $L(s)$ in (9) and equating the resulting expression to the desired complementary sensitivity function in (8), we find the required values for the coefficients of the PI controller $K_P = \rho c_p V/t_d UA$ and $K_I = 1/t_d t$. The closed-loop constant $t_d$ is set to 10 min. The resulting controller guarantees an effective rejection of $\delta_T$ and $e_T$, and a zero steady-state error in response to a constant temperature reference $T'$ owing to the presence of an integrator in the loop. A discrete-time version of this controller having sampling time $t_d = 5$ s is implemented in the simulation model: $Pl(z) = K_P + t_d K_I/(z-1)$.
**B2B supersaturation controller:** After batch $k$, the corrupted measured outputs $\hat{y}_k = (\hat{T}_k, \hat{C}_k)^T$ are available. The role of the B2B controller is to use this information to design an improved reference temperature profile $T'_{k+1}$ for the PI controller in order to track the supersaturation reference $S'_{k+1}$ in the batch $k+1$, i.e. to obtain a smaller supersaturation tracking error in the next batch (see Fig. 1). The B2B algorithms ILC and IIC are described in detail in the following subsections.
### 3.2. Iterative learning control
Different B2B control algorithms are categorized as ILC in the literature (Bristow, Tharayil, & Alleyne, 2006). In general, ILC algorithms may be defined as mappings that determine the input in the next batch based on a nominal process model and the input–output data from previous batches in order to reduce the tracking error in the next batch.
The ILC algorithm presented here uses as a nominal model of the dynamics $F_{ST'}(\cdot, \hat{\beta}_1)$ from the reference temperature $T'$ to the supersaturation $S$ based on the nominal parameter vector $\hat{\beta}_1$.\(^3\) During the batch $k$, a certain temperature profile $T'_k$ is given as a reference to the PI controller, and the outputs $\hat{y}_k = (\hat{T}_k, \hat{C}_k)^T$ are collected. The ILC algorithm is used to design an improved temperature profile $T'_{k+1}$ for the PI controller in order to track the supersaturation reference $S'_{k+1}$ in the batch $k+1$.
Once the batch $k$ is performed, the measurement $\hat{y}_k = (\hat{T}_k, \hat{C}_k)^T$ is first used to estimate the control output $S_k$. The measurements are first filtered through a low-pass Butterworth filter $B(z)$ having cutoff frequency $1/t_f$, where $t_f = 5$ min. The filtering removes a good portion of the measurement noise, but it does not affect the underlying process dynamics, whose time constants are expected to be significantly larger than $t_f$. The filtered measurements $\hat{y}_{k,f} = (\hat{T}_{k,f}, \hat{C}_{k,f})^T$ are used to compute an estimate $\hat{S}_{k,f}$ of the supersaturation $S_k$ according to (6), i.e. $\hat{S}_{k,f} = \hat{C}_{k,f} - C_s(\hat{T}_{k,f})$.
Subsequently, an additive correction of the supersaturation model is performed using the estimated supersaturation $\hat{S}_{k,f}$. The ILC-updated model $\hat{S}^{\text{ILC}}_{k+1}(\cdot)$ of the dynamics from the reference temperature $T'$ to the supersaturation $S$ for the batch $k+1$ is defined as
$$\hat{S}^{\text{ILC}}_{k+1}(\cdot) = F_{ST'}(\cdot, \hat{\beta}_1) + \alpha_{k+1}$$
where $\alpha_{k+1}$ is the *correction vector* for the batch $k+1$. The correction vector $\alpha_{k+1}$ is an estimate obtained using $\hat{S}_{k,f}$ of the difference $S_k - F_{ST'}(T'_k, \hat{\beta}_1)$ (see later in this section for the exact definition of $\alpha_{k+1}$). Let us assume now for simplicity that $\alpha_{k+1}$ is exactly equal to $S_k - F_{ST'}(T'_k, \hat{\beta}_1)$. In this case, the output of the ILC-corrected model $\hat{S}^{\text{ILC}}_{k+1}(\cdot)$ in response to the reference temperature $T'_k$ is equal to the output $S_k$ given by the data-generating system in response to the same reference temperature profile $T'_k$.
In ILC, the model (10) is used to optimize the reference temperature profile $T'_{k+1}$ for the next batch according to the quadratic criterion
$$T'_{k+1} = \arg \min_{T' \in R^N} \| S'_{k+1} - \hat{S}^{\text{ILC}}_{k+1}(T') \|^2$$
where $S'$ is the supersaturation set-point.\(^4\)
Note that, even in the ideal case where $\alpha_{k+1} = S_k - F_{ST'}(T'_k, \hat{\beta}_1)$, the ILC-corrected model $\hat{S}^{\text{ILC}}_{k+1}(\cdot)$ is just an approximation of the data-generating system for the batch $k+1$. In fact, the ILC-corrected model matches the output of the data-generating system only for the reference temperature $T'_k$, while the reference $T'_{k+1}$ (obtained using (11)) will be applied in the batch $k+1$. Nonetheless, the supersaturation output $S_{k+1}$ obtained by applying the reference profile $T'_{k+1}$ is still expected to be closer to the set-point $S'$ than $S_k$. Therefore, after a number of batches, the supersaturation is expected to approach the desired set-point.
As suggested in Volckaert et al. (2010), the correction vector is actually computed according to the quadratic criterion
$$\alpha_{k+1} = \arg \min_{\alpha \in R^N} \| \hat{S}_{k,f} - \left( F_{ST'}(T'_k, \hat{\beta}_1) + \alpha \right) \|^2 + \lambda_k \| \alpha - \alpha_k \|^2.$$
The first term in (12) forces $\alpha_{k+1}$ to be close to the difference $\hat{S}_{k,f} - F_{ST'}(\cdot, \hat{\beta}_1)$. The second term in (12) has a regularization effect and prevents large variation for the correction vector $\alpha_{k+1}$ with respect to the previous correction vector $\alpha_k$. On one hand, this regularization term is beneficial in order to reduce the influence of
---
\(^3\) $\hat{\beta}_1$ is the best parameter estimate available before batch 1 is executed. Since in ILC model parameters are not updated from batch to batch, $\hat{\beta}_1$ will also be used in the following steps of the algorithms.
\(^4\) Problem (11) is solved numerically using the *active-set* method of the Matlab function *fmincon* and adopting a *single-shooting* dynamic optimization approach (Binder et al., 2001). In order to reduce the dimensionality of the problem, the total length of $T'$ is divided in $n_p=40$ equally spaced intervals. $T'$ is parametrized as a piecewise quadratic, continuous and differentiable function on the $n_p$ intervals as in Forgione et al. (2012b) and is thus determined by $n_p$ optimization variables. Model equations are integrated at each optimization step in order to evaluate the objective as a function of the $n_p$ optimization variables. The gradient of the objective function with respect to these optimization variables is obtained via finite differences. Note that such an approach is not guaranteed to find – in general – the global optimal solution of a non-linear, possibly non-convex optimization problem such as (11). However, in the simulations and in the experiments the optimization algorithm returned the same optimal value for different initialization of the optimization parameters. Thus, the result is likely to be close to the global optimum for the particular optimization problem at stake.
the noise affecting $\hat{S}_{k,f}$. On the other hand, the regularization term should not be too large because the actual difference $S_{g,f} - S_{T^r}(T_k', \hat{\beta}_1)$ changes from batch to batch, since the reference temperature $T_k'$ also changes from batch to batch. The scalar $\lambda_k$ is a tuning parameter, possibly iteration-dependent, which represents a trade-off between the two objectives.
### 3.3. Iterative identification control
In the IIC algorithm, the measurements $\tilde{y}_k = (\tilde{T}_k, \tilde{C}_k)^\top$ collected from one batch are used to update an estimate $\hat{\beta}_{k+1} = [\hat{k}_{g,k+1}, \hat{g}_{k+1}]$ of the unknown parameter vector $\beta_o$. The IIC-updated model from the reference temperature $T'$ to the supersaturation $S$ for the batch $k+1$ is defined as
$$\hat{S}_{k+1}(\cdot) = F_{ST'}(\cdot, \hat{\beta}_{k+1}).$$
The estimation of the parameter $\hat{\beta}_{k+1}$ is performed iteratively in a Maximum a Posterior (MAP) framework (van den Bos, 2007), which combines the previous estimate $\hat{\beta}_k$ with the data $\tilde{y}_k = (\tilde{T}_k, \tilde{C}_k)^\top$ measured in the current batch. By doing this, the variance of the estimated parameters decreases after each batch since the estimation is performed using an increasing amount of information.
Using the notation introduced in Section 2, the dynamics of the data-generating system from $T$ to $C$ is described by the mapping $F_{CT}(\cdot, \beta)$ with $\beta = \beta_o$.
An approximation of the MAP estimator for this problem is given by\footnote{Formally, an Errors-in-Variables (EIV) estimation problem (Soderstrom, 2007) should be solved since both $\tilde{T}_k$ and $\tilde{C}_k$ are corrupted by measurement noise. However, computing the MAP estimator for an EIV problem is rather complicate, in particular for a generic nonlinear system such as the one describing the batch cooling crystallization process. The approximated formula (14) is rigorously valid only in the case $\tilde{T}_k = T_k$, i.e. in the absence of temperature measurement noise. Nonetheless, the authors verified from numerical simulations that effect of this approximation is negligible for typical values of temperature measurement noise.}
$$\hat{\beta}_{k+1} = \arg \min_\beta \frac{1}{\sigma_C^2} \| \tilde{C}_k - F_{CT}(\tilde{T}_k, \beta) \|^2 + \| \beta - \hat{\beta}_k \|^2_{P_k^{-1}},$$
where $F_{CT}(\cdot, \beta)$ is the uncertain dynamics from $T$ to $C$, the matrix $P_k$ for $k \geq 2$ is the covariance matrix of the estimated parameter vector $\hat{\beta}_k$ (the covariance matrices will also be iteratively estimated, see later). Since there is no covariance matrix associated with $\hat{\beta}_1$, the matrix $P_1^{-1}$ is set to 0 in our algorithm. By doing so, $\hat{\beta}_1$ has no influence on the estimates $\hat{\beta}_k, k \geq 2$.\footnote{A covariance matrix $P_1$ may be available when $\hat{\beta}_1$ is obtained from a preliminary identification step. In that case, $P_1^{-1}$ could be initialized using that covariance matrix.}
When the data-generating system belongs to the assumed model structure $F_{CT}(\cdot, \beta)$, the estimated parameter vector $\hat{\beta}_{k+1}$ is asymptotically\footnote{In the number $N$ of samples.} normally distributed around $\beta_o$ with a covariance matrix $P_{k+1}$ given by
$$P_{k+1}^{-1} = P_k^{-1} + \frac{1}{\sigma_C^2} \left[ \frac{\partial F_{CT}(\tilde{T}_k, \hat{\beta})}{\partial \beta} \right]_{\beta = \hat{\beta}_o}^{\top} \frac{\partial F_{CT}(\tilde{T}_k, \hat{\beta})}{\partial \beta} \bigg|_{\beta = \hat{\beta}_o} I_k,$$
where $I_k \geq 0$ is the information matrix related to the experiment $k$. In practice, the true parameter $\beta_o$ and the noise-free temperature $T_k$ are not known. Therefore, the information matrix is here approximated as
$$I_k = \frac{1}{\sigma_C^2} \left[ \frac{\partial F_{CT}(\tilde{T}_k, \hat{\beta})}{\partial \beta} \right]^{\top} \frac{\partial F_{CT}(\tilde{T}_k, \hat{\beta})}{\partial \beta} \bigg|_{\beta = \hat{\beta}_k},$$
i.e. the derivatives of $F_{CT}(T_k, \beta)$ with respect to the parameter vector $\beta$ are computed in $\hat{\beta}_k$ instead of the unknown $\beta_o$, and the noisy signal $\tilde{T}_k$ is used instead of $T_k$.
Finally, the updated model $S_{k+1}^{IIC}(\cdot)$ is used to design the temperature profile for the next batch as
$$T_{k+1}' = \arg \min_{T' \in \mathbb{R}^N} \| S_{k+1}' - S_{k+1}^{IIC}(T') \|^2.$$
**Remark 1.** In IIC, the inverse $P_k^{-1}$ of the parameter covariance matrix increases from batch to batch by a term that corresponds to the information matrix $I_k$ (see Eq. (15)). Thus, the covariance of the estimated parameters decreases significantly only if the information matrix is sufficiently large. This condition could be enforced for instance by superposing a specially tailored excitation signal on...
top of reference temperature profile $T'$ (see Ljung, 1999). However, such an excitation signal would also decrease the supersaturation tracking performance when it is applied, since it would act as an additional disturbance on the system. In our case, it was found that the reference temperature profile $T'$ generated according to (17) leads to a sufficiently large information matrix. For this reason, we did not consider the use of excitation signals in the IIC algorithm.
Summarizing, in the ILC and the IIC algorithms these steps are executed for each batch $k$:
1. The reference temperature $T'_k$ is set as the input to the temperature controller. The batch $k$ is performed and the noisy measurements $\hat{y} = (\hat{T}_k, \hat{C}_k)^\top$ are collected.
2. A corrected model $\hat{S}_{k+1}(\cdot)$ of the dynamics from $T'$ to $S$ is obtained according to the ILC criterion (10) or the IIC criterion (13), respectively.
3. The corrected model is used to compute the temperature profile for the next batch according to (11) in ILC or (17) in IIC.
**Remark 2.** The model update performed in ILC to obtain $\alpha_{k+1}$ (12) and in IIC to obtain $\rho_{k+1}$ (14) have a very similar structure. They are both defined as the solution of a multi-objective optimization problem aiming at fitting the most recent dataset, while limiting the model change with respect to the previous batch. However, while in IIC the optimization problem is formally derived as the MAP solution of an estimation problem formulated in a stochastic framework, in ILC it is the introduced using an intuitive argument. In Forgione et al. (2012a), the authors introduced a stochastic framework for ILC that allows one to obtain the correction vector $\alpha_{k+1}$ as the result of a MAP estimation procedure. This approach can ease the tuning of the ILC algorithm, i.e. the choice of the parameter $\lambda_k$. However, we do not present this approach in detail in this paper since (i) it would require the introduction of further concepts and notational complexity and (ii) the technique was not used in the experimental campaign. The interested reader is referred to Forgione et al. (2012a).
### 4. Simulation results
In this section, the performance of the B2B scheme on two different simulation cases is evaluated, namely in the presence of parametric model mismatches only (Case 1) and in the presence of parametric and structural mismatches (Case 2). The batch time is $t_f = 150$ min and the total number of batches is $n = 20$. The desired supersaturation is the constant value $S' = 0.0028$ kg/kg for all the batches. The reference temperature for the first batch $T'_1$ is set to a linear cooling trajectory from 45 to 22.5 °C in the time interval [0, $t_f$]. The corresponding supersaturation is far from the set-point (Fig. 3, Batch 1).
For the ILC algorithm, the tuning parameter $\lambda_k$ is set to 0 for $k = 1, ..., 5$ and to 4 for $k = 6, ..., 20$. This choice of is adopted because in the first batches a significant change in the reference temperature is expected, and adapting the correction vector in order to match the previously measured supersaturation is considered more important than rejecting the measurement noise. Therefore, $\lambda_k$ is kept to zero. Afterwards, the change of the reference temperature is expected to be lower and $\lambda_k$ is increased in order to further improve the tracking performance by filtering the noise from estimate of the correction vector.
#### 4.1. Case 1
The performance of the algorithms in the presence of parametric model mismatch is evaluated. The data-generating system is constructed based on the system equations (1)–(5) with the true parameter vector $\beta_0 = [4 \cdot 10^{-4} \ 1]^\top$, while the nominal parameter vector $\beta_1 = [5 \cdot 10^{-4} \ 1.1]^\top$ is used in the design of the ILC algorithms.
The simulation results are shown in Fig. 3. For batches 1, 2, 3, and 20 the reference temperature profile $T'_k$, the supersaturation $S_k$, and the supersaturation set-point $S'$ are reported. In the case of ILC, we also report the correction vector $\alpha_k$.
In Batch 2 the tracking error is already small for ILC, while it is still appreciable for ILC. This confirms the intuition that IIC can be more efficient than ILC, at least in the case when the model structure used for parameter estimation can describe the data-generating system (see later). After some iterations, also ILC approaches the set-point more closely (Batch 10). Note also that the correction vector $\alpha_k$ is smoothened through the iterations owing to larger value of the tuning parameter $\lambda_k$.
#### 4.2. Case 2
In addition to the parametric mismatch, Case 2 considers a structural model mismatch. A temperature-dependent crystal growth mechanism is introduced in the data-generating system. The state equations (2)–(4) in the state-space map (5) are multiplied by the term $A_0 \exp(-E_a/R(T+K_0))$, with $A_0 = 1.0 \cdot 10^7$, $E_a = 4.2 \cdot 10^4$ J/mol, $R = 8.3144$ J mol/K and $K_0 = 273.15$ °C.
The modified state-space mapping is
$$\tilde{f}_c(x) = \begin{pmatrix}
k_h(C - C_S(T))^b m_3 \\
A_0 \exp(-E_a/R(T+K_0)) k_g(C - C_S(T))^b m_0 \\
A_0 \exp(-E_a/R(T+K_0)) 2 k_g(C - C_S(T))^b m_1 \\
A_0 \exp(-E_a/R(T+K_0)) 3 k_g(C - C_S(T))^b m_2 \\
-\frac{\rho U}{\rho^2 V} T
\end{pmatrix}$$
However, the B2B algorithms are still based on the nominal state-space mapping (5). The results of the simulations are reported in Fig. 4. As in Case 1, the reference temperature profile $T'_k$, the supersaturation $S_k$, and the supersaturation set-point $S'$ are reported for the batches 1, 2, 3, and 20. In the case of ILC, the correction vector $\alpha_k$ is also reported.
The IIC algorithm leads to a rather poor tracking performance in all the batches. Apparently, due to the structural model mismatch the estimated models cannot represent the dynamics of the data-generating system with a sufficient accuracy in order to track the desired supersaturation set-point. On the contrary, the ILC algorithm is still capable of approaching the set-point, even though more iterations than in the Case 1 are required. The general model correction performed using the correction vector $\alpha_k$ is indeed more suitable to compensate the nominal model for structural model mismatches.
#### 4.3. Discussion on the simulation results
The Root Mean Square (RMS) of the supersaturation tracking error is plotted against the batch number for all cases in Fig. 5. The different behavior of the two algorithms is evident in this plot. IIC provides the best performance when the model structure selected can describe the data-generating system. A good result is already obtained after the first iteration of the algorithm. However, the behavior of the algorithm is hard to predict (and the performance is in general lower) in the case of structural model mismatches. The IIC framework indeed strongly relies on the assumption of the model structure. In the situation considered where an unmodeled temperature-dependent growth behavior is incorporated in the data-generating system, IIC leads to a worse overall performance compared to ILC. Indeed, ILC is much more robust to structural model mismatches due to the non-parametric model correction.
Even though these mismatches make the convergence somewhat slower, a satisfactory set-point tracking is eventually achieved. In this sense, in order to fully benefit from the B2B approach it would be useful to design an additional control layer suggesting the most appropriate model update strategy for the next batch (i.e. IIC or ILC) based on the results obtained in the previous batches. Ideas in this direction may be found in the field of Supervisory Control (Morse, 1996).
5. Experimental results
In this section, the results of the batch-to-batch supersaturation control experiments performed on a pilot-scale batch cooling crystallizer are presented. A schematic representation of the experimental setup is given in Fig. 6. The crystallizer is a 50-liter, jacketed glass vessel (Fig. 7). An impeller is used to agitate the content of the crystallizer and ensure that the suspension is well mixed. The temperature in the crystallizer is manipulated by circulating a cooling medium (a solution of water and glycol) in the jackets of the vessel. A thermostatic bath (LAUDA RUK 90 S) is used to heat up and cool down this cooling medium. The same thermostatic bath is equipped with a pump that allows the circulation of the cooling medium in the jackets.
The measurements are collected using a skid platform that is described in detail in Kadam et al. (2012). The skid platform consists of two separate pieces of equipment called pump skid and instrument skid, respectively. The crystal slurry is circulated from the bottom valve of the crystallizer to the pump skid, from the pump skid to an instrument skid, and finally back to the top of the crystallizer with the help of a lobe pump (Omac BF330) mounted on the pump skid. Different sensors can be mounted inside the instrument skid in order to collect measurements from the liquid and/or the solid phase of the slurry. In this work, the K-Patents PR-23 refractometer was used. By measuring the refractive index (and through a previous calibration of the instrument), it is possible to reconstruct the concentration $C$ of the solute dissolved in the liquid phase (Rozsa, 2006). Two PT100 temperature sensor is also mounted inside the thermostatic bath and inside the vessel in order to measure the jacket temperature $T_j$ and the crystallizer temperature $T_c$, respectively. The control tasks are performed on the Control PC that communicates with the instrument skid (and with the thermostatic bath) using the OPC communication protocol.
The crystallization compound is Succinic acid dissolved in water. A small amount of Fumaric acid was also added in order to simulate the presence of impurities, which are very common in industrial crystallization processes. The crystallizer was initially loaded with 45.2 kg of water, 8.6 kg of Succinic acid, and 0.4 kg of Fumaric acid.
5.1. Temperature control architecture
The temperature inside the crystallizer was controlled using the master-slave control configuration represented in Fig. 8. A lower-level slave PID controller (which is directly integrated in the thermostatic bath) was used to regulate the jacket temperature $T_j$ in order to follow the set-point $T_{j}^r$. The default factory settings for this PID were found to be satisfactory and were not modified. The dynamics of the slave loop
were found to be much faster (in the order of few minutes) than the ones of the temperature in the crystallizer (in the order of an hour).
A higher-level master PI controller (implemented on the Control PC) was designed in order to provide the set-point $T_j^r$ to the slave PID controller in such a way that the crystallizer temperature $T$ follows the reference $T^r$. Note that the slave loop was ignored in the simulation model presented in Section 3.1. The master PI controller in Fig. 8 corresponds in fact to the PI controller in Fig. 1, while the slave loop is not present in Fig. 1, since it was assumed for simplicity that $T_j^r = T_j$.
The design of the master PI controller was performed similar to the design of the PI controller presented in Section 3.1. Based on the linear model of the temperature dynamics $T = \frac{(2.925 \cdot 10^{-4})}{(s + 2.53 \cdot 10^{-4})} T_j$, which was previously identified with the Matlab System Identification Toolbox (Ljung, 2007) using experimental data, the master PI controller $\text{PI}(s) = \frac{5.698(s + 2.53 \cdot 10^{-4})}{s}$ was designed. The resulting closed-loop system from $T^r$ to $T$ has a linear, first-order...
behavior with a time constant $t_{cl} = 10$ min
$$T = F_{TT'}(s) = \frac{1}{\frac{1}{S} + \frac{1}{600}} T'. \tag{19}$$
The actual command $T_f$ was generated by a discrete-time version of the controller $P(s)$, and was limited in the range [5–90 °C] for safety considerations.
### 5.2. Batch-to-batch supersaturation control experiments
A total of four batch cooling crystallization experiments were performed. The first two experiments were performed to estimate a nominal process model and to find a suitable supersaturation set-point. In the next two experiments, the supersaturation was controlled using the ILC algorithm presented in Section 3.
The time profiles of temperature and supersaturation for the four experiments are shown in Fig. 9. For all the experiments, seeding (Kalbasenka, Spierings, Huesman, & Kramer, 2007) was applied at the time instant $t=0$ using 0.005 kg of milled Succinic acid crystals having a mean size of 25 μm in order to initialize the process with a fixed crystal size distribution. The duration of a batch is $t_f = 150$ min. We aimed at initial values of temperature and concentration of $T_i = 45$ °C and $C_i = 0.1731$ kg/kg, respectively. The corresponding initial value for the supersaturation is $S_i = C_i - C_s(T_i) = 0.0034$ kg/kg.
Two metrics are considered in order to compare the outcome of the experiments: the maximum value of the supersaturation during the experiment and the RMS of the supersaturation tracking error.
**Experiment 1: preliminary model estimation:** The crystallizer was cooled from 45 °C to 22.5 °C in 150 min following an approximately linear temperature trajectory. The objective of this experiment was to collect data in order to build a preliminary process model.
The time profiles of crystallizer temperature $T_1$ and of the supersaturation $S_1$ are reported in Fig. 9 (Experiment 1). The measurements of temperature and concentration obtained from this experiment were used in order to estimate the kinetic parameters of the model. The parameters estimated according to (14) were $\hat{\beta}_2 = [\hat{k}_{g,2} \hat{g}_2]^{\top} = [6.77 \cdot 10^{-4} \ 1.05]^{\top}$. The supersaturation output $F_{ST}(T_1, \hat{\beta}_2)$ of the model $F_{ST}(\cdot, \hat{\beta}_2)$ fed by the measured temperature $T_1$ is also shown in the supersaturation plot for this experiment. This model is able to describe the supersaturation dynamics of the experiment rather accurately.
The model $F_{ST}(\cdot, \hat{\beta}_2)$ was complemented with the model of the closed-loop temperature dynamics $F_{TT'}(\cdot)$ given by (19), and a model $F_{ST'}(\cdot, \hat{\beta}_2)$ from the reference temperature $T'$ to the supersaturation $S$ was obtained: $F_{ST'}(\cdot, \hat{\beta}_2) = F_{ST}(F_{TT'}(\cdot), \hat{\beta}_2)$.
**Experiment 2: model validation and set-point selection:** The crystallizer was cooled down 45–27 °C following a parabolic-like temperature trajectory.\(^8\) The objective of Experiment 2 was twofold. The first aim is to evaluate the predictive capability of the model $F_{ST'}(F_{TT'}(\cdot), \hat{\beta}_2)$ obtained from the data of Experiment 1 in response to a different reference temperature trajectory. The second aim is to find a suitable supersaturation set-point for the following experiments.
The time profiles of the reference temperature $T_S$, the measured temperature $T_2$, the temperature model $F_{TT'}(T_2)$, and the supersaturation $S_2$ for this experiment are shown in Fig. 9 (Experiment 2). The temperature $T_2$ is described very accurately by the model $F_{TT'}(T_2)$ for most of the batch time and drifts slightly away in the final 10 min of the experiment, indicating that the constraint on the maximum cooling power of the thermostatic bath is reached. Thus, apart from the small deviation due to the actuator limitations, the temperature dynamics is accurately described by the model $F_{TT'}(T_2)$. Conversely, the supersaturation $S_2$ is very far from the output $F_{ST}(T_2, \hat{\beta}_2)$ given by the previously estimated model. For this reason, the measurements of temperature and concentration from this experiment were used to compute new estimates for the parameters $k_g$ and $g$. The newly estimated parameters were $\hat{\beta}_3 = [\hat{k}_{g,3} \hat{g}_3]^{\top} = [1.78 \cdot 10^{-4} \ 1.00]^{\top}$.
The output $F_{ST}(T_2, \hat{\beta}_3)$ of the new model is also shown in Fig. 9 (Experiment 2). Note that not even the model $F_{ST}(T_2, \hat{\beta}_3)$ estimated using the data of Experiment 2 interpolates the actual supersaturation $S_2$ accurately. Apparently, the actual process dynamics are more complicated than the ones that our model structure can describe. In other words, there is a significant structural model mismatch. In order to compensate for the structural model mismatch in the next batch-to-batch control experiments, ILC model corrections were applied for the following experiments.
In Experiment 2, the supersaturation $S_2$ reached a maximum value of approximately 0.01 kg/kg around time 50 min. In general, too high values for the supersaturation have to be avoided since they could lead to a degradation of the quality of the produced crystals. Our objective for the following experiments was to reduce the peak of the supersaturation. In order to achieve this, the supersaturation set-point $S' = 0.006$ kg/kg was selected in the following experiments. The RMS of the supersaturation tracking error for Experiment 2 with respect to the set-point $S' = 0.006$ kg/kg is 0.0057 kg/kg.
**Experiment 3: tracking of $S' = 0.006$ kg/kg using ILC:** In order to account for the structural model mismatch observed in Experiment 2, an ILC correction based on the model $F_{ST'}(\cdot, \hat{\beta}_3) - F_{ST}(F_{TT'}(\cdot), \hat{\beta}_3)$ was performed. The correction vector $\alpha_3$ was computed as $\alpha_3 = B(z)(S_2 - F_{ST'}(T_2, \hat{\beta}_3))$, where $S_2$ is the measured output from the previous experiment and $B(z)$ is the low-pass Butterworth filter introduced in Section 2. The updated model $F_{ST}(\cdot, \hat{\beta}_3) + \alpha_3$ was used to optimize the reference temperature $T_S$ in order to track the reference $S' = 0.006$ kg/kg. The time profiles of the reference temperature $T_S$, the measured temperature $T_3$, the temperature model $F_{TT'}(T')$, and the supersaturation $S_3$ for this experiment are shown in Fig. 9 (Experiment 3). The RMS of the supersaturation tracking error is significantly reduced, from 0.0057 kg/kg of the B2B experiment 2 to 0.0029 kg/kg. Furthermore, the maximum of the supersaturation is also slightly reduced, from 0.01 kg/kg of Experiment 2 to 0.008 kg/kg.
---
\(^8\) This trajectory was obtained by optimizing the model $F_{ST'}(F_{TT'}(\cdot), \hat{\beta}_2)$ in order to follow the constant supersaturation set-point $S' = 0.0028$ kg/kg. The latter was determined as the average of the supersaturation in the first two hours of Experiment 1.
Note that the reference temperature $T_3^r$ decreases very slowly for the first part of the experiment, and much faster towards the end. However, the actual crystallizer temperature cannot decrease as fast as required due to the limitations of the thermostatic bath (and $T_3$ moves away from the model $F_{TT}(T_3^r)$). Therefore, the supersaturation $S_3$ drops below the set-point (and very close to zero) towards the end of the batch.
**Experiment 4: tracking of $S' = 0.006 \text{ kg/kg}$ using ILC:** A final experiment was performed with the same set-point $S' = 0.006 \text{ kg/kg}$. An ILC model update from the B2B experiment 3 was applied. The correction vector $a_4$ was computed as $a_4 = B(2)(S_3 - F_{ST}(T_3, \hat{\theta}_3))$, and the ILC-updated model $F_{ST'}(\cdot, \hat{\theta}_3) + a_4$ was used to design the reference temperature $T_4^r$. The time profiles of the reference temperature $T_4^r$, the measured crystallizer temperature $T_4$, the temperature model $F_{TT'}(T_4)$ and the supersaturation $S_4$ for this experiment are shown in Fig. 9 (B2B experiment 4). The RMS of the supersaturation tracking error is further reduced, from 0.0029 kg/kg in the B2B experiment 3 to 0.0025 kg/kg. The maximum of the supersaturation is around 0.008 kg/kg, as in Experiment 3.
### 5.3. Discussion on the experimental results
The B2B control framework enables reducing the supersaturation tracking error and lowering the maximum value of the supersaturation. Even though we did not perform a thorough particle analysis of the crystals produced (in terms e.g. of crystal size distribution, morphology), the improved supersaturation control is expected to lead to a better quality (Nagy et al., 2008). The results of these experiments are promising, but further work is still required in order to bring similar B2B control strategies to an industrial production environment.
First, achieving a constant supersaturation seems to be an unfeasible objective for this crystallization process since towards the end of the batch a very fast cooling rate is required. In practice, this temperature trajectory cannot be implemented due to limitations on the actuator. Therefore, it may be debated whether a different control objective could be chosen.
Second, it was observed that there is a severe structural mismatch between the available crystallization model and the actual process dynamics. This prevented us from using the ILC strategy, which potentially could lead to a faster learning of the optimal temperature trajectory.
In order to overcome the issues caused by the structural model mismatch, ILC model corrections were applied. However, a difficulty in the implementation of ILC is that the algorithm requires the same initial conditions for all the batches. We found that bringing the system to the same initial condition is a rather involved procedure even for a pilot-scale setup, and it would hardly be possible to incorporate into the industrial practice. In this sense, it would be useful to develop ILC strategies that are guaranteed to be robust to variations in the initial condition.
### 6. Conclusions
A batch-to-batch framework for the control of supersaturation in a batch cooling crystallization process has been presented. The batch-to-batch controller designs a temperature trajectory in
order to track a given supersaturation reference. The temperature trajectory determined by the batch-to-batch controller is given as a reference to the PI temperature controller, whose main role is to reject the real-time disturbances on the temperature dynamics. Two batch-to-batch algorithms are examined in this paper, namely Iterative Learning Control (ILC) and Iterative Identification Control (IIC).
The simulation results indicate that the algorithms have complementary advantages and disadvantages. On one hand, IIC provides the best performance when the assumed model structure can describe the data-generating system. However, the performance of ILC is hard to predict (and generally lower) when the true system is not contained in the assumed model structure, i.e. in the case of structural model mismatches. On the other hand, ILC is more robust to structural model mismatches. Even though these mismatches slow down the convergence, a satisfactory result is eventually obtained after a number of batches. From a theoretical perspective, it would be attractive to proof these properties observed in simulation in rigorous and possibly quantitative terms. Such a theoretical background would also be useful for the design of a supervisory control layer suggesting at each step which of the two algorithms should be used. Note however that developing this knowledge is a tough challenge due to the inherently non-linear nature of the crystallization process.
Experiments were performed to apply the ILC algorithm to a real pilot-scale crystallization setup. The results of these experiments are promising. The supersaturation tracking error and the maximum value of the supersaturation were lowered in three batches. Even though a number of issues still have to be solved, the authors expect that in the near future similar B2B control strategies could be applied for this process in industrial production environments.
References
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WORLD TOURISM DAY 2011
Tourism Linking Cultures
The Banker Awards 2010
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Bank of the Year 2010
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Winning our 4th Bank of the year award in 7 years could not have been possible without you. We appreciate your commitment and patronage.
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Several political quakes aside, Nepal faced a major physical earthquake recently. Although the jolt measured 6.9 in the Richter at its epicenter, very nominal damage was caused in terms of casualty across the country. Even after a week, the people living in remote parts of Nepal are yet to get the relief. Despite increasing capability to handle disasters like quake, Nepal needs to enhance its capability further. This is what the message of the quake.
In a course of prolonged economic difficulties, Nepalese are celebrating their great festival Dashain and Dipawali. The rising market prices and scarcity of essential items have already created troubles among many. Along with this, people are facing difficulty to go home due to lack of connectivity. At a time when the country has been passing through unstable political situation, nobody seems to have time to look at the people. Although Prime Minister Dr. Babu Ram Bhattarai repeatedly claimed that he will conclude the peace process and constitution writing within three months, there is no sign for early conclusion of the peace process.
With the announcement of Nepal Tourism Year 2011, Nepal started aggressive marketing globally, the wrok resulted in the drastic increase in the arrival of the tourists. From diversification of culture to nature, Nepal has many things to boast. Although Nepal remained isolated till 1950, tourism helped to link’s Nepalese unique cultures with the rest of the world. One of the important aspects of this year’s slogan of World Tourism Day Tourism Linking Cultures is very much appropriate for Nepal. As tourism is a back bone of Nepal’s economy which provides employment for larger portion of population, any change in the status of tourism can make a lot of differences. As Nepal celebrated World Tourism Day, we also decided to look at different aspects of tourism in Nepal as a cover story. As Nepalese are celebrating Dashain festival, we would like to wish all our readers, patrons and well wisher Happy Dashain.
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British Council Organised A Workshop
British Council Global School Partnership (GSP) Program organized a “Student Workshop” on the Global Themes of Sustainable Development and Peace & Conflict Resolution on September 19. Fifty five students from 18 schools participated in the program. The students included 12 from Kathmandu, 4 from Pokhara, one each from Butwal and Biratnagar.
Along with presentations on the Global Themes, the workshop included a demonstration on briquette making from recycled waste by Sanu Kaji Shrestha, Chairman of Foundation of Sustainable Technologies (FoST) and British Council International Climate Champion Kriti Shrestha and a forum theatre on conflict resolution by Climate Champion Babu Ram Regmi.
Vaishali Pradhan, County Manager, GSP said, “In order to bring a global dimension into our teaching and learning, it is important to make students understand subjects through practical means. This workshop was an invaluable opportunity for students aged 13-15 years to understand the concepts of Sustainable Development and Conflict Resolution through practical demonstrations and forum theatre.”
Some Women Find Wife Beating Ok In Some Instances; NMICS
Forty-eight percent of Nepalese women between 15 and 49 believe that wife beating by husband is justified in at least one of the circumstances like she goes out without telling him, neglects the children, argues with him, refuses sex with him and burns the food.
Similarly, 62 percent of Nepalese women thought verbal abuse and threat to the daughter-in-law was okay in the circumstances like she goes out without telling her, neglects the children, argues with or disobeys her, does not bring dowry and does not finish work in time.
This is what Nepal Multiple Indicator Cluster Survey (NMICS, 2010) Preliminary Report has showed. The Multiple Indicator Cluster Survey (MICS) is an international household survey program developed by UNICEF. It provides up-to-date information on the situation of children and women, and measures key indicators that allow countries to monitor progress towards the Millennium Development Goals (MDGs).
US, Nepal Armies In Disaster Response Exercise
The Armies of Nepal and the United States were co-hosting the Nepal Disaster Response Exercise and Exchange (DREE) September 18-21 at the Nepal Army Club. The DREE is a comprehensive effort focusing on building multilateral interoperability in disaster response between the United States and Nepal and identifying areas to increase preparation and risk mitigation.
The DREE is part of Pacific Resilience, the United States Army Pacific Humanitarian Assistance and Disaster Relief Initiative. The overarching theme of Pacific Resilience is to bring the disaster response stakeholders from all echelons of government, military, and civilian agencies together in one venue to build working relationships for future relief endeavors. Dialogue and practical application form the nucleus of the training methodology of this wide-ranging humanitarian assistance and disaster relief event.
Partnership Focuses Maize Sector Improvement
The Ministry of Agriculture and Cooperatives, the Department of Agriculture, USAID, and a US-based company, Monsanto, have partnered to promote the use of hybrid maize seeds and provide training to farmers in Nepal.
India Funds Morang School Buildings
Ambassador Jayant Prasad visited Morang on 14 September 2011 to lay the foundation of a school building for Shree Adarsha Higher Secondary School, Biratnagar, and inaugurate the school building for Shree Saraswati Higher Secondary School, Itahara, built with India’s assistance under Nepal – India Economic Cooperation Programme.
The Indian Ambassador first laid the foundation stone for the construction of a school building for Shree Adarsha Higher Secondary School at Biratnagar. One of the oldest schools in Nepal, this was established by Krishna Prasad Koirala in 1929.
NIBL gives 25 percent cash dividend and 25 percent bonus share
Board of Directors of Nepal Investment Bank Ltd. in its meeting held on September 22, 2011 has proposed 25% Cash dividend & 25% bonus share on Bank’s paid up Capital from the Profit of fiscal year 2067/068 subject to the approval of Nepal Rastra Bank, and forthcoming Annual General Meeting.
After releasing 25 % bonus share, NIBL will be the only private commercial bank in Nepal to have paid up capital over 3 billion. While Nepal Rastra Bank requires commercial banks to maintain the paid up capital of 2 billion, this significant surge in capital will further reinstate the stability of NIBL. At the end of FY2010/II NIBL has achieved the total profit of 1.17 billion.
Nepal Investment Bank Limited, which has completed the 25 years of banking operations in Nepal, has at present 41 branches, one open counter at Kathmandu University and 67 ATM outlets, covering as many district as Kailai, Jumla in west to Solukhumbu and Jhapa in east.
South Asia needs one million new jobs each month to Sustain Growth: World Bank Report
South Asia has seen an accelerated job growth and a substantial decrease in poverty over the past three decades, second only to East Asia. The region will be the largest contributor to the global workforce over the next two decades. More and better jobs are needed to sustain growth and reduce poverty, says a World Bank report released today.
According to the report, More and Better Jobs in South Asia, the region—defined by the World Bank as Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal, Pakistan and Sri Lanka,—will need to add between 1 and 1.2 million additional jobs every month for the next twenty years, equivalent to about 40% of the increase in the global labor force. Reforms will have to be accelerated if the region is going to meet the challenge of providing better jobs for them.
“The key asset to South Asia is its people. South Asia has a young population and the second lowest female participation rate in the labor force. The demographic transition will result in more than 350 million people to enter the working age population over the next two decades,” said Isabel Guerrero, World Bank South Asia Vice President. “Creating jobs for them will contribute to growth, equity, and peace in the region.”
According to the World Bank Press release, South Asia created nearly 800,000 jobs per month between 2000 and 2010. However, despite growth, the region is still home to the largest number of the world’s poor—a half billion people. Since labor is the primary asset of the poor, having more and better jobs is the key employment challenge facing the region.
WB’s Goldstein Visits To Learn Govt Piorities
Ellen Goldstein, the World Bank Country Director for Nepal and Bangladesh, visited Kathmandu to consult with the new government, political party leaders, and senior government officials on the World Bank’s country strategy for Nepal for the period FY12-FY13.
During her visit, Goldstein met with Finance Minister Barsha Man Pun and discussed the economic and development priorities of the new government. She also met with President of the Nepali Congress Sushil Koirala, Chairman of the CPN-UML and former Prime Minister Jhal Nath Khanal, as well as Constituent Assembly members and the economic advisors to the main political parties.
ADB Helps Nepal Boost Water Supply to Poor Households in Kathmandu Valley
The Asian Development Bank (ADB) is extending an $80 million loan to Nepal for water distribution improvements which will benefit more than 2.72 million people in the densely populated Kathmandu Valley.
The ADB Board of Directors has approved the Kathmandu Valley Water Supply Improvement Project which will expand piped water access to many more households. Residents of Kathmandu Valley will get better quality water for more hours and at higher pressure. The project will reduce water losses in the distribution system and also raise the financial and asset management capabilities of agencies overseeing the sector.
The project will complement other ongoing water services work being carried out by ADB and its development partners, including the construction of the Melamchi tunnel which, when completed, will more than double the current available supply of water in the valley.
“The project will prioritize underserved areas and poor sections of the population in Kathmandu Valley,” said Manoj Sharma, Urban Development Specialist in ADB’s South Asia Department. “Piped water through individual connection will relieve women of the drudgery of collecting water, giving them more time for social and economically productive activities.”
Kathmandu Valley’s population has been growing at over 6% a year, but a lack of sustainable water sources and underinvestment has left many households with inadequate, low quality supplies which pose health risks, especially for the poor and for women.
We extend the heartiest felicitation for peace, progress and prosperities to all our well wishers on the auspicious occasion of DASHAIN & DEEPAWALI -2068
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Indian Maoist Influences
After the keys of the cantonments were handed over to the special committee, Mohan Baidya faction has reacted to the decision by coming out on the streets. Prachanda faction is suspecting whether the Baidya faction is doing this in the influence of R.I.M. and COMOSA. Although COMOSA has not yet given the official reaction about the new coalition government, the ‘brother’ organization of Indian Maoists, Naxalites and Maoist communist center Manipur have taken the side of the Mohan Baidya and strongly criticized Prachanda through an email over the decision of handing the keys to the special committee.
In the email, they have also asked Prachanda to make details about his recent secret India visit public. (Jana Aasha)
‘RAW’ Accusation
From the support of party chairman Puspha Kamal Dahal Prachanda and vice-chairman Mohan Baidya-Kiran, Dr. Baburam Bhattarai was appointed the Prime Minister. But now the Baidya faction has accused PM Bhattarai of betraying them and taking decisions at the behest of India’s foreign intelligence agency – the Research and Analysis Wing [RAW]. Now it’s only left to declare Baburam and Prachanda as traitors, said the leaders from the Baidya faction. They have even requested government officials to provide them with the information about activities of the Prime Minister and the party chairman. Leaders from Baidya faction, Dev Gurung and Hitman Shakya requested government officials last Friday in the capital at a meeting of the party cadres.
Last Sunday on Jundo party palace, Kalimati, all the government officials, employees of various organizations and bankers of the valley met. Likewise, other officials held a meeting last Saturday at Lumanti. At the meeting, people were trained by Gurung and Shakya. “Are the people who meet with ‘RAW’ revolutionary?” questioned the politburo member, Shakya, at the meeting. “It’s only left to declare them as traitors.” Although we made Baburam Prime Minister, he betrayed us, he said and he requested the participants at the meeting: “Give us the report about what they (Baburam and Prachanda) do.” (Jana Aasha)
About 300 Firms Counterfeited VAT Bills..
In the investigation of fake VAT (value added tax) bill scam, around 294 firms—including the big business houses—have been found to be engaged in producing forged VAT bills and they have evaded taxes worth 3.2 billion. Out of 518 suspected tax payers, who were brought into investigation by Inland Revenue Department, it was found that 294 businessmen have evaded taxes worth 3.20 billion.
Out of 3.2 billion determined by the department, 1.5 billion has been counterfeited in the VAT, 1.38 billion in income tax and 0.29 billion in others bills. Businessmen have already paid 0.81 billion fines slapped on them by the department. Twenty-eight businessmen who have not been satisfied by the fine determined as by the tax officer have approached the department and submitted their application. Under the existing law, firms can approach the director of the department if they are not convinced with the decision of tax officer.
The department has not yet finished investigation on the VAT bills although it has started the investigation from the previous year. Finance Minister Barsha Man Pun said the investigation on the 518 business men will be concluded till Ashoj and will be kept as top priority. “Against those who have forged the VAT bills and evaded taxes, stringent action will be taken by the end of Ashoj,” said the Finance Minister during a press conference at the finance ministry. “I have been working to make environment on which tax evaders won’t be able flee to at any cost.” (Naya Patrika)
Unravelling Of A Revolution
By DIPAK GYAWALI
Dussain, when the entire country shuts down for two weeks of family reunion and gastronomic orgy, is also when the incubation of new political ideas takes place. It sets the agenda for the coming ‘political year’ with the pressure rising after Tihar and peaking around Chaitre Dussain in March. Those working in the capital and cities abroad return to the villages to describe what is happening in Kathmandu, and in turn pick up the mood and feelings in the village hinterlands. What might be the stories they will exchange this Dussain that will impact on events in November?
At the top undoubtedly will be the Vaidya faction of the Maoists denouncing Prachanda and Baburam as “Indian stooges out to ‘Sikkimify’ Nepal”. In Leninin’s fatherland, one or the other set of comrades would long have seen the Gulag or even the hereafter for much milder charges. In a feat similar to Delhi bringing the Seven Parties together with the Maoists for the 12-point Delhi deal in November 2005, the “uncooked spooks” have brought together the highly fractious and essentially anti-Maoist Madhesi parties under Baburam’s even more fractious, politically incomplete cabinet packed with many holding criminal charges. Their godfathered 4-point midnight deal has riled up not just the Vaidya faction but also the Kangress and EhMaLey. To ease the signing of the earlier 12-point deal, Mohan Vaidya and CP Gajurel had to be kept under detention in Siliguri and Chennai: this time they and their followers are on Nepali soil, still smarting from that experience, and angry at the duplicity of their own leaders.
There is rift within the Kangress too between the Deuba and the Koirala-Sitaula factions. However, unlike the Vaidya revolt which has a nationalist colour, the Kangress infighting is purely personal, bereft of political content, and hence more toxic for long-term democratic evolution. The question that will be asked by every villager is: In the wake of the mandate-expired and hence illegitimate CA being finally certified dead, what next after November? What bothers normal Kangress voters is the path hewed by the 12-point Delhi deal in 2005, the primary features of which have been accurately summarized by law professor Ganesh Datta Bhatta in Kantipur on 29th August as follows: it legitimized and rewarded political violence, divorced Kangress from friendly traditional forces, and put external powers (a.k.a. Mughlani Sahu and European proselytisers) in the driving seat of Nepali politics. No one aspiring for liberal democratic leadership has explained how we can get out of this mess without going back to the 1990 constitution.
A headline story in Kantipur on 18th September by its editor proves the point. It describes with breathless excitement how China’s deputy minister talked with Bihar’s chief minister Nitish Kumar (without Nepal’s involvement!) during the latter’s visit to China about developing Nepal’s hydropower. The reason the ever pragmatic Chinese did something so unthinkable (they or the Indians would never allow another country to do so regarding their resource development) is because they have seen how the new Loktantrick politicians of Nepal surrendered the driving seat to their southern benefactors who assured them a seat in the cabinet bus! Despite Nepal’s calamitous power deficit, all licenses for important hydro development sites have been given to Indian companies or their proxies for export to meet India’s demand.
The looming electrical winter of discontent, with power cuts of fourteen or more hours per day, will no doubt also be the subject of heated Dussain discussions. What will come under scrutiny along with this will be the politics of populism, both of Baburam Bhattarai’s “Mustang limo” and of erstwhile energy minister Gokarna Bista’s “energetic ministership”, especially when both raised hopes but subsequently failed to deliver substantive policy changes. Populism is an essential element of mass politics and those dedicated to it must constantly re-invent themselves along those lines. Both Baburam and Bista must be commended for effectively pointing this out to their political class who in their time in office failed to connect with the masses and only enriched themselves and their coterie. History, however, will be cruel in its assessment and not as adulatory as fickle mass opinion. Had Baburam managed to actually implement the long-awaited pollution tax on diesel and petrol and used that to fund the development of renewable energy, Nepal would be well on her way to a more sustainable and prosperous future. Had Gokarna Bista spent some of his remarkable oomph getting the long-pending electricity bill passed, together with its regulatory commission, might it have averted NEA’s impending bankruptcy? Both comrades failed to bring forth any such substantive changes.
The list of Dussain discussions is long – the federalism impasse; its impractical unit boundaries if it ever came to that; anger over the categorization of largest ethnic groups such as Chhetris and Bahuns as “others”; the attack on their cultural symbols including the national dress; the growing sense of insult felt by the majority Hindus with the imposition of secularism; its implied condemnation of their religion as inherently un-reformable and hence worthy of expurgation through aggressive proselytising; the marginalizing of heroes, martyrs and leaders of Nepali history with Baburam’s first
Nepal-Russia
Searching Opportunities
The diplomatic relationship between Nepal and the Soviet Union was established back on July 20, 1956. From then, Russia has given continuous support to Nepal. The support came mainly in the fields of economy, tourism, infrastructure and education. However, in the current times there has been a gap in the relationship between the two nations.
At an interaction program organized by Nepal-Russia Press Club (NRPC) and Russian Centre of Science and Culture (RCSC) to mark the 'International Day of Solidarity of Journalists' at RCSC building, Ambassador of Russian federation in Nepal, Dr. Sergey V. Velichkin agreed that there has been a gap in the Russian relationship with Nepal and said that Russia has already started to take measures to improve the relationships. "We have started to improve the diplomatic relationship with Nepal which was drifted in the past," he said.
He said he met with Prime Minister Dr. Baburam Bhattarai and stated that Russia was ready to help Nepal to achieve peace and economic prosperity.
Dr. Sergey V. Velichkin also pointed out the importance of journalists and value of journalism to society and said Russian diplomacy has paid uttermost respect to journalists.
At the event, Shiva Gaunle, chairperson of Federation of Nepalese Journalists of Nepal shared his experience of his Russia visit and said, "We can learn lots of things from the experience of Russian journalists from their vast exposure to Europe and technology."
He explained the importance of Nepal-Russian Press Club (NRPC) and said, "Around 800 journalists will be involved in this club in some form and this club will also help improve Nepal-Russia relationship."
We extend the heartiest felicitation for peace, progress and prosperities to all our well wishers on the auspicious occasion of DASHAIN & DEEPAWALI -2068
Pioneer Saving & Credit Co-operative Ltd.
New Road, Kathmandu
Tel.: 4219450, 4216635, E-mail: email@example.com
Fresh from the first foreign tour that included a handshake with President Obama and face-to-face meeting with Prime Minister Man Mohan Singh, Baburam Bhattarai faces the same old challenge: completing the peace process and preparing a draft of the new constitution.
There has been no substantive progress on either front since he left for New York a week ago. Nor was there any expectation.
As he gets down to the business on return from New York, the challenge has only got stiffer.
The so-called hardliner faction of the party led by senior vice chairman, Mohan Vaidya ‘Kiran’ has openly declared a war against the Bhattarai government over the alleged attempt at ‘Sikkimisation’ of Nepal.
Bhattarai may have hoped to bolster his position by direct meetings with Obama and Man Mohan Singh on the sidelines of the UN general assembly.
But his detractors inside the party would see the same as adding up to his liability.
Chairman Prachanda, currently seen to be aligned with Bhattarai, has vowed to carry the peace process forward even unilaterally if other parties did not cooperate. Said a pro-Prachanda party secretary and a senior minister, Post Bahadur Bogati, “the peace process will not stop due to the Maoists.”
This will please the opposition Nepali Congress and the UML. But antagonise the opposition within the party – the Vaidya faction.
With Prachanda only tactically backing Bhattarai in the PM’s chair and a major faction opening a battle front of its own, the prime minister finds himself in a tight spot.
As the peace process and the constitution are increasingly looking unlikely before the extended deadline of November 30, the prime minister may want to look beyond.
He may be popular at home and abroad. But that alone is not sufficient to enable him to deliver the goods. He is not too strong within the party and relies heavily on chairman Prachanda for organisational support.
Until and unless Prachanda makes it sure that the party is firmly and genuinely committed to the universally accepted form of democracy and peace process, Bhattarai’s solo commitment will not much ice.
The Nepali Congress and the UML are not ready now to trust the Maoists on borrowed commitment.
The Maoist leaders do realise this. They said that informal talks with the two big opposition parties will be intensified during the Dasain festival holidays to win their trust and build a credible base for completing the peace process and preparing a draft of the new constitution.
Said the Prime Minister Bhattarai’s principal political advisor, Devendra Poudel, “A lot of things will move forward after the prime minister returns from New York.”
But this is just a hope. There is no guarantee that the hopes will not dashed, given the deep mutual mistrust among the parties.
Prime Minister Bhattarai and chairman Prachanda are said to be mulling alternatives too.
According to sources, “they want to put pressure on the Nepali Congress and the UML by portraying the two opposition parties to the international community as the villain of the piece, in case they did not on board of the Maoists’ roadmap of peace.”
Integration And Rehabilitation Discourse
Transformation from violent conflict to peaceful competition for power
By DR. SHAMBHU RAM SIMKHADA
Among the many problems facing Nepal today, taking the peace process to a meaningful conclusion is the most important one. Management of rebel combatants is always a difficult side of any post-conflict peace building. Integration and Rehabilitation (I & R) of the Maoist Army Combatants (MACs) is at the root of the problem in Nepal too. At what stage is the I & R debate in Nepal? What are the real issues and difficulties? What is the way forward?
The I & R Discourse: Initially the I & R discourse centered around Disarmament, Demobilization and Reintegration (DDR) of the MACs stressed by the non-Maoists and Security Sector Reform (SSR) linking it with “Democratization of the Nepal Army” (NA) by the Maoists. Both are envisaged in the Comprehensive Peace Agreement (CPA).
The DDR/SSR mantras developed in the context of conflicts in Africa and changes in Eastern Europe do not fully address the dilemmas of the unique Nepali peace process. So, numbers, norms, modalities and ranks emerged as the four core issues of integration. Prioritization and sequencing of along with resources and their prudent use were also identified as the key issues for leaders to come to an understanding and move the peace process forward. (Presented many times in many places these ideas were later published see Integration and rehabilitation, Shambhu Ram Simkhada, the Kathmandu Post, 19 May, 2010).
Integration: Since then discussions on integration have revolved around these core issues of:
Numbers: 19602 MACs were verified by the United Nations Mission in Nepal (UNMIN) and registered in the seven main cantonments and 21 satellite camps. There is no agreement on how many are to be integrated into which security forces but the numbers issue could be settled within the 4 to 6,000 range.
Norms: Clause 4.1.3 of the Agreement on Monitoring of the Management of Arms and Armies (AMMA) of 8 December, 2006, complimentary to the CPA signed on 21 November, both parts of the Interim Constitution, stipulates “Only those Maoist Army Combatants who have been properly registered at cantonment sites will be eligible for possible integration into the security forces fulfilling the standard norms”. Disagreement on norms revolves around the UCPNM demand of new integration norms while the others insist on the established standard norms of recruitment. Consensus around flexibility on education, age and marital status is slowly emerging.
Modality: The debate on modality has been dominated by insistence on individual qualification by the non-Maoists and unit (group) integration demand of the Maoists. Individual qualification based on agreed norms, training and deployment in units could bridge the difference.
Rank: Rank determination or harmonization is always complex. This is made even more so by the high officer-soldier ratio of the MACs compared to the NA which follows the standard international practice. The UCPNM decision to withdraw members of the politburo and central committee from I & R could make this little easier.
Bridging Training: Many unresolved issues could be cleared during the bridging course through a dual process of training and evaluation. But such decisions will need political understanding.
NA Directorate: Towards the fag end of Madhav Kumar Nepal’s Prime Ministership a proposal for integration of an agreed number of MACs in a separate Directorate of the NA became public. The directorate would be composed of 35% from the NA, 35% from the MACs and 15% each from the Armed Police Force (APF) and the Nepal Police (NP). It would be headed by a Major General of the NA. Its role focuses on disaster relief, development work, forest and industrial security.
This proposal credited to the NA, highlights its readiness to assist the political leadership in taking the peace process forward dispelling any confusion that NA is opposed to the integration of the MACs. Acceptance of UNMIN record of date of entry could also facilitate rank determination. While these are positive sides, some people argue that such a proposal should have come from the Special Committee (SC), the body with both political and constitutional mandate and its Technical Committee (TC), now Secretariat rather than the NA. Others see the separate directorate contrary to the CPA saying such an arrangement allows the MACs retain their separate identity within the NA, a view UCPNM leaders insist openly and others oppose vehemently.
On the core issues of numbers, norms, modality and ranks there are continuing disagreements with no clarity on leadership, functions and composition. How will the existing disaster relief and forest security units of the NA relate to the new directorate? Is there a need for the APF and NP also to be included in the model? So, many issues remain unclear. If there is political agreement on 5,000 for example 3,500 could be integrated into the NA and the remaining in the APF and NP.
Voluntary Exit: Some MACs are expected to leave the camps voluntarily. Agreement on the terms at the SC and exit of a number of MACs could send a good signal, reduce the time and resources needed for eventual I & R.
Rehabilitation: The following rehabilitation options could be offered:
Formal and non-formal Education
Vocational training and skills
enhancement for employment
Entrepreneurship development
Foreign employment
Special packages for pregnant women, lactating mothers, disabled and wounded MACs
Many rehabilitation packages are under discussion. But pre-occupation with integration has overshadowed focus on rehabilitation with no agreement on amounts and methods of disbursement.
Institutional Arrangement: In the present scheme of things, MACs opting for integration go to the respective security forces. Rehabilitation will be taken care of by the Ministry of Peace and Reconstruction (MOPR). But, who will oversee the bridging training and evaluation? With the fiasco of the verified minors and late recruits discharged from the cantonments, experts feel the need of better institutional arrangement for effective implementation of the rehab of the MACs. In this context three options are suggested: strengthen the concerned division of the MOPR, establish an independent Rehabilitation Board or create a task force within the SC Secretariat. Whichever option is chosen, it should be inclusive with ability to resolve problems at the political level and outreach to implement programs and monitor progress in the field.
Resources: Management, I & R is complex and costly. The state already spends a lot. Without agreement more scarce resources will have to be spent as the prospect of renewed conflict is even more painful. Nepal is fortunate that the international community is willing to help. An ambassador of a friendly country recently complained “I have ...million...I can spend on I & R but you do not seem to be able to use it”. If we can agree on a viable plan resources are available. However we should be prepared to implement parts of the plan ourselves and meet some donor concerns if we want their help.
I & R plans should be consistent with the prevailing country situation. To reorient the MACs from using bullets to reading books and earning bread rehabilitation packages should be more attractive than cash grants for voluntary exit. Packages should be fair to the MACs but reasonable for others to be able to defend. Most important, packages should not provide incentives for the MACs to return to violence or others to take up arms. Based on these principles, agreement in the SC on voluntary exit and rehab packages can move the process forward.
Supervision and Monitoring: Until I & R is complete the cantonments need to be managed. The CPA, AMMAA and the Interim Constitution clearly assign the role of the management, integration and rehabilitation of the MACs to the SC. As there was no progress, “the understanding between the political parties to facilitate Constitution Amendment and Peace Process” of June 25, 2008 clarified:
“In clause 2.2.4 “The combatants of the Maoist Army and any weapons within or outside the cantonments shall be under the supervision, control and direction of the SC until the task of I & R is completed.”
The composition of the SC was changed to make it inclusive of “representatives of the major political parties having representation in the CA”.
The provision of the TC was added
A new urgency was added by declaring “The state shall not bear any responsibility for the verified combatants who have not been integrated and rehabilitated after six months”.
Five years on, the state spends a lot while the MACs suffer the indignities of life in temporary camps and uncertain future. Handover of cantonments and keys of the weapons containers make headlines but there is no clarity on the command and reporting. Thank God nothing untoward has happened after UNMIN left and SC Secretariat started the monitoring work. But the SC-S has been unable to fulfill its core TOR, ascertain the number of MACs now in the camps, verify the records left by UNMIN and prepare profiles for I & R. Discussion on weapons has not even started. Politicians expect input from security experts to move the process forward while the secretariat leadership, happy with its new realm, waits for instructions. Any wonder, deadlock on the core issues identified so long ago continues.
Conclusions Management, I & R of the MACs is the indicator of conflict transformation from violent to peaceful competition for power, foundation of all agreements and the goal of the peace process. That is what makes the resolution of this problem so crucial. There is no definite pattern of sequencing; which comes first, numbers or norms, which is more important I or R? These concepts can be used to move the process forward with flexibility or block progress with rigid positions.
Should integration take place into the security forces or in the much talked about NA directorate? There is no agreement on the core issues. Rehabilitation is in the back burner. Meanwhile the UCPNM leadership wants to go ahead with regrouping amidst objections in their own party and doubts from others on how re-grouping can start without agreement in the SC on some fundamentals of I & R.
Why is there so much confusion? Wars may be fought by and among armies but war and peace are essentially political decisions. For sustainable peace in war-torn societies, mindsets need to change first from war to peace, bullets to books and bread, rebellion to reconciliation/reconstruction/rehabilitation. Without this mental transformation, debate on I & R can be murky, discussions on numbers, norms, modality and rank confusing. It takes leadership of wisdom and courage to lead society out of the quagmire of confusion, chaos and conflict.
Dr. Simkhada, firstname.lastname@example.org, is a member of the SC- Secretariat
BUDDHA AIR CRASH
Dangerous Sky
Buddha Air’s plane crash has again raised the question of aviation safety in Nepal
By KESHAB POUDEL
The reason behind Buddha Air plane crash is yet to be known for sure. The controlled flight into terrain (CFIT), according to preliminary estimates, seems to be the reason behind the accident as the plane hit a mountain in the process of landing.
Buddha Air’s beach craft, which was returning after completing mountain flights, crashed in a hill south of Kathmandu Airport early on Sunday, killing all 19 on board, including three crew members. Some locals said the plane flew lower than its usual course before it crashed on a foggy morning.
The cause of the crash is believed to be the adverse weather condition. The aircraft, which lost its communication at 7:30 with the control room at Tribhuvan International Airport, Kathmandu, crashed while returning from a mountain flight.
Meteorological Forecasting Division on Sunday said that bad weather could have been a major cause of the plane crash. Civil Aviation Authority (CAA) also said that it had not registered the weather forecast for that fateful day.
“We always notify about the weather forecast, but today the forecast was not recorded at all,” said senior official of CAA Rajendra Shrestha. According to Shrestha, the visibility at the crash site was minimum because of heavy fog and rain. He said that the crash could have been averted if a proper reading was taken on time.
CFIT shows an accident in which an airworthy aircraft, under pilot control, is unintentionally flown into the ground, a mountain, water, or an obstacle. The term was coined by engineers at Boeing in the late 1970s. The pilots are generally unaware of the danger until it is too late.
“The nature of the accident showed that it is the result of pilots’ failure to maintain height due to bad weather,” said an aviation expert on condition of anonymity. “Since the plane conditions were reportedly good and it was returning after completing the hour-long flight, there may be no other reason than CFIT.”
Buddha Air crash was the first in the year 2011 but the third in the last 13 months. In August last year Agni Air’s flight crashed near Makawanpur while it was returning from Lukla to Kathmandu.
Rescue operation
Buddha Air accident site, Kotdanda, lies between Lamatar and Bisankhunaryan VDCs in Lalitpur, around 15 kilometers south of the Tribhuvan International Airport. Eighteen dead bodies were recovered from the site and one died in the hospital while undergoing treatment, according to SP Bhog Bahadur Thapa, who is overseeing rescue operations.
In all, there were 19 people—ten Indian, two American, a Japanese, three Nepalese and three not identified—on board the Buddha Air beach craft, Buddha Air confirmed. The ill-fated aircraft was approaching Kathmandu airport in a cloudy weather after completing its mountain flight.
The identities of the Indians killed are Pankaj Mehta, Chhya Mehta, S. Nagrai, I. Nagraj, L. Nagraj, HD Nagraj, D. Talosubrisum, DP Talosubrisum, P. Talosubrisum and Nagaraja Talosubrisum. All of them hailed from India’s southern state of Tamil Nadu.
The names of the other foreigners are Jegina Toshinoru of Japan, and Andre Wade and Natalie Neinan of US.
The Nepali casualties included Niranjan Karmacharya, Sarada Karmacharya and Jagajan Karmacharya, all of whom are believed to be from Jawalakhel, Lalitpur and from the same family. Thirty-six-year-old Niranjan was rescued alive but succumbed to his injuries while being rushed to B & B Hospital, Gwarko, for treatment. Captain JB Tamrakar, Captain Padma Adhikari and Air Hostess Asmita Shrestha were the crew members.
Chronology of accident
Last year, in a crash involving ill-fated Agni Air’s Dornier aircraft, 14 people on board were killed, including six foreigners—four Americans, one Briton and one Japanese. Last year, all 22, including three crew members, were killed in a Tara Air Twin Otter that crashed in Lamidanda in December. Nepal Airlines DHC-6 Twin Otter 300 met an accident in April 19 at Kangle Danda, but there was no casualty.
A helicopter owned by Fishtail Air has crashed on Ama Dablam while rescuing two Japanese climbers above 16,000, according to multiple Asian news reports.
The Nepali skies saw 65 air mishaps in the last two decades, 65 percent of them involving fixed-wing aircraft. This was revealed by the Tourism Ministry’s High Level Taskforce on Compliance Status of Safety Recommendation.
Four-point Deal Is Anti-National
By CP. GAJUREL
Our party waged the People's War against the process of Bhutanisation and Sikkimisation and tens of thousands of people sacrificed their lives for the cause of Nepal's independence and sovereignty. The recent agreement signed by United Democratic Madhesi Front (UDMF) and two Maoist leaders Prachanda and prime minister Dr. Baburam Bhattarai, however, has put our party on an anti-national plank. This is the reason our leader and ideologue Mohan Baidyaji, along with several other top leaders, including Ram Bahadur Thapa Badal, raised their voices against the anti-national deal. I agree with leader Baidyaji that the agreement paved the way for the process of Sikkimisation and Bhutanisation. We will oppose all such kinds of move. If our two leaders Prachandaji and prime minister Dr. Bhattarai fail to respond to us, they will have to face severe consequences. No patriotic person can tolerate this kind of agreement any more.
There is no doubt that the four-point deal between UCPN-Maoist and United Democratic Madhesi Front (UDMF) is against the national interest and contravenes the party's ideology. I would like to warn the leadership that they will be punished by the people if they fail to correct their mistakes. There is nobody above the country and our party leader Prachandaji and Dr. Baburamji are not exception. Party leadership and the prime minister have committed mistakes by signing the 'erroneous' deal.
I don't think it is possible to induct 10,000 Madheshis en masse in Nepal Army. By pushing this agenda, Madhesh based parties have made an attempt to infiltrate in the army and divide the institution. We oppose the exclusion of entry of any community in the army in bulk. If so, what about the youths from Limbu, Tharu or other communities? The army should be democratized to make it an inclusive institution. It does not mean that Nepal Army should be made an army of regional and ethnic groups. Nepal Army must bear national characters with composition of various ethnic groups of Nepal. The inclusion of People's Army in the national army is a different matter as our People's Army sacrificed their lives to bring the changes and transform Nepal into a federal, democratic republic. Our People's Army is inclusive in nature. The decision to form a separate Madheshi unit with the strength of 10,000 personnel in the national army would be counterproductive. This kind of commitment would instigate other ethnic groups to demand similar share in the Nepal Army.
I would like to stress that the provisions in the agreement that commit to inclusive, democratic and republican constitution, return of the seized properties, resolution of outstanding issues with two neighbours and the creation of a separate unit for Madheshis in Nepal Army were against the policy of the Maoist party.
One of the most objectionable points in the agreement is settling the proposed and pending issues with neighboring countries. I would like to ask Baburamji: What are those proposed issues yet to be resolved? Nepal and India are yet to sign the treaties on extradition and on allowing Indian air marshals. If Nepal signs these two treaties, the status of Nepal will not even be on par with Bhutan. In the name of resolving the outstanding issues with neighboring countries, Nepal should not sign extradition treaty and allow air marshals in Indian flights. Such decisions will not benefit Nepal but would reduce the country's sovereign status as in Bhutan.
I am also opposed to the wordings "inclusive democratic republic" used in the deal. It is not in line with our party's policy which advocates people's federal republic. Therefore it is not acceptable to us. The provision on the right to property was also unacceptable. The provision states there will be no infringement, in any form, on the property legally owned by any individual. "Such a provision is unacceptable even to the Nepali Congress, let alone to a communist party like ours."
On the return of property seized by the Maoists, Gajurel said the properties can be returned only after the government provides an alternative to those who are using it. All the moves of this government are anti-national and anti-party. We objected to the government decision to hand over the keys of the arms containers to the Special Committee without first settling thorny issues of integration. One thing is certain that we are not anti-peace.
In whatever ways the political leadership tried to defend it, what I can say is that the deal was against the national interest. Although almost all clauses are objectionable, most objectionable clauses are 4.2, 4.5 and 4.6. Under the clause 4.6, the present government seems to be heading to sign an extradition treaty and Air Marshal agreement with India, which has been demanding this kind of treaty for long. If this government will sign these agreements, Nepal's sovereign rights will be curtailed. This is the reason Maoist leaders are opposing this. Although our leadership put forward it in the meeting, both Bhattarai and party chairman Pushpa Kamal Dahal had not taken us into confidence before signing the pact.
We are not against anybody and any country. However, it is unacceptable for us to sign any treaty which will curtail our sovereign rights. Nepal is an independent and sovereign country of the world. Our aim is not to oppose any group. We are raising the genuine issues of Nepal. What I can say is that the four-point deal can turn Nepal's status as Bhutan and Sikkim.
(CP Gajurel, Maoist leader close to Baidya, is a CA member. This article is based on his talk with New Spotlight)
Opposing 4-Point Deal Is Against Wishes Of Madheshis
By JAYA PRAKASH GUPTA
It is very unfortunate that UCPN-Maoist leader Mohan Baidya and some of his party associates are making provocative remarks regarding the four-point agreement between the UCPN-Maoist and Samyukta Madhesi Loktantrik Front (SMLF). It was signed in the presence of Mohan ‘Baidyaji’. I don’t understand why he backed out from the agreement, which initially originated from his party. There is nothing wrong about it. The four-point agreement is basically related to establishing the rights of the people of Madhesh. One of the objections raised by Maoist dissidents is on the recruitment of 10,000 Madheshis in Nepal Army en masse. Everyone knows that, compared to the current population, the proportion of Madheshis in Nepal Army is very negligible. If Baidyaji sees it justified to include over 10,000 ideologically indoctrinated Maoists in Nepal Army, what is wrong to include Madheshis in the army? Unlike Baidyaji, we have not demanded that our party cadres should be recruited in the army.
I don’t understand their objection to the compensation for those who attained martyrdom and were injured during the great Madhesh Andolan. If the injured and killed of various other agitations were compensated by the state as a just thing to do, what is wrong with this? It is the mindset of some sections of the people, who always question the loyalty of Madheshi people towards Nepal, that is at work here. Whether it concerned their dress, language or inclusion in security forces, Madheshi’s loyalty was questioned. There is no ground to say that the agreement is anti-national. This kind of charge will hurt the sentiments of the Madheshi people. I would like to warn that these statements will turn the country into another conflict, dividing the nation further. Madheshis cannot tolerate oppression and anti-national charges. We are more patriotic than anybody else.
I challenge the dissenting leaders to hold a public meeting and prove how the four-point pact was anti-national and posed the threat of “Sikkimisation.” Instead, the act of marginalizing the Madhesh that is home to half the population of Nepalis would do no good to nationality.
NC and UML had also supported the four-point pact prior to the formation of the new government. The parties threw up venomous labels such as “Sikkimisation” and “anti-national” out of desperation for having to stay out of the government. The four-point pact was endorsed by the Maoist Standing Committee meeting and was signed in the presence of Baidya. Maoist General Secretary Ram Bahadur Thapa, who is considered close to Baidya, echoed him on the issue. Serious charges have been leveled against the four point agreement due to the failure on the Maoists’ part to settle their internal differences.
The NC and the UML had agreed on the four-point pact but we signed it with the Maoists because the peace process could not be completed in the leadership of the former two. The dissenting faction of the Maoists had also supported the agreement while the pact was inked.
The allegations against the four-point pact were against political discipline. This is nothing other than a politically orchestrated propaganda against us.
We are neither discouraged nor harassed by such irrational comments of various political forces. We were expecting this kind of reaction from power hungry political parties. I am happy to say that the allegations have further strengthened the Samyukta Loktantrik Madhesi Morcha. Our five party alliance of Madhes-based parties will fight tooth and nail for the avowed cause. Don’t miscalculate that this is just an agreement of leaders of Madhesi political parties. I would like to say that Madheshi people have also supported this and people are behind Morcha and the agreement.
Madheshis have been completely suppressed by Nepali Congress (NC), CPN-UML and other hill based parties for hundreds of years. When Madheshis and Maoists signed the four-point agreement, it has created a panic among them. I want to challenge vice chairman Mohan Baidya camp of the UCPN (Maoist) to prove that the four-point agreement was anti-national. The four-point pact signed between Samyukta Loktantrik Madhesi Morcha (SLMM) and UCPN (Maoist) before the formation of the new government is the destiny and it will be basic for any new deal in the future. I am confident that this agreement will give justice and equality to all Madheshis.
Maoist leaders who are opposed to the deal are hypocrites. When they signed the agreement on army integration and compensation, that was regarded as nationalist. When we signed a similar deal, they term this as a threat of Sikkimisation. These kinds of statements will create further mistrust and distrust. I would like to question: will Nepali unite without bringing Madheshis in the mainstream? The act of marginalizing the Madhesh, which is home to half the population, is not going to serve Nepal’s national interest and nationality. Although the agreement was supported and backed by Maoist Standing Committee meeting, the failure on the Maoists’ part to settle their internal differences resulted in this posture.
I expected that some Maoist leaders will question the agreement but I never realized that the leaders like UCPN (Maoist) Mohan Baidya and Ram Bahadur Thapa Badal would term the four-point agreement as against the ‘national sovereignty’. I like to challenge Nepali Congress, CPN-UML and Baidya faction to prove the pact as against national sovereignty. The objection on the part of Nepali Congress and UML is understandable as they reacted because they were not included in the cabinet.
But the recent statement from the leaders like Baidya and Thapa is just an outcome of intra-party rift flaring up within Maoists. I would like to warn leaders of so-called mainstream political parties that such comments will bring dire consequences. If the nation ignored the Madheshi people and their issues, they will revolt.
(Gupta, Minister for Information and Communication, Kitcheshwari Madheshi Janadhikar Forum-Gautantrik. Excerpts of his recent statement compiled by New Spotlight)
Dr. Baburam Bhattarai has the distinction of being the first Ph.D to hold the office of the Prime Minister in Nepal. He may have many other qualities and qualification as well. Yet, he has proved that he utterly lacks team spirit, suffers from megalomaniac arrogance, believes in one-up manship, and has utter contempt for the rest. He may have proved he is different, but not a good leader with vision and ability to implement that.
All these qualities appeared starkly when he stood at the podium of the United Nations General Assembly hall, and made his maiden address. To the world community, and especially the big and rich powers, his message was “we kill, and you heal.” He reeled out from the books and reports that expose the disparity between the amount spent on defense and arms by the rich countries and the amount spent on poverty alleviation. But in the next breath, he literally said “we have killed, and now you must heal.” He asked for generous help in the reconstruction in the post conflict Nepal with a warning that ‘lip service alone will not do’.
But nowhere did he express any remorse for the death, destruction and devastation that the politics and policies he authored and implemented during the years of insurgency during his address. The US assistant Secretary of State for Asia and Pacific Robert O Blake gave a clear message to Bhattarai that under the current situation, the Unified Communist Party of Nepal-Maoists (UCPN-M) continued to remain in the terrorist list of the US government. That leaves Bhattarai with no option than prove by his action and conduct that he believes in and adheres to democracy.
To the world body, he assured that ‘my government’ will be completing the unique peace process in Nepal. When he said that, he had already consumed two third of the 45 days deadline he had set for the purpose. While he sought the support and generous assistance from the international community, he made no commitment that he would be implementing the comprehensive peace agreement and its provisions. He simply sought that the world community must recognize the insurgency as the ‘people’s war’, and that his real agenda was the implementation of the 4-point agenda that Prachanda signed with heads of five Madhesh groups on August 28.
What the Prime Minister said naturally amounts to convey to the world community that ‘it is me, and my agenda, and not what the CPA might have said’ will be the course that Bhattarai government will follow. Only saving grace for him was the assurance from India’s beleaguered Prime Minister Manmohan Singh who not only promised all help for completion of the peace process and constitution writing, but also hoped that the twin task will be completed under the leadership of Bhattarai.
India perhaps may have to say that for several reasons, and the loss of image it has suffered in Nepal, especially during the past five years. Not only because it mediated and substantially influenced Nepal’s political course from the day 12-point agreement was signed until now, but it also has to discover the last ‘Nepali actor’ on whose shoulder the entire responsibility for the inevitable failure could be fixed. India is being held responsible in the esteem of average and ordinary apolitical Nepali—even those who would never think ill of the South—for the mess and uncertainty that Nepal has been pushed into since the 2006 change.
A weak Bhattarai who does not command support even in his own party will not be able to institutionalize the changes that political parties, mainly the Maoists, Communist Party of Nepal-Unified Marxist Leninist (CPN-UML) and the Nepali Congress announced at a time when they were pursuing the policy of competitive radicalism. Bhattarai knows it, and therefore, has now resorted to the politics of populism that has discredited him more than any other leader in the contemporary politics. People’s anger and lack of trust on him is soaring fast. He will have only two options to address that: one by using force against them, and the other by succumbing to their will and accepting failure. Will his lust for power and being a superior human allow him to take the second course?
He had the taste of the anger of the Nepalis in New York who waved black flag at him. Bhattarai’s deliberate disregard for Nepali dress, his disrespect for a section of the Nepali populace—Brahman, Dalits, Chhetris, Newars and a large section of ethnic groups —by denying any space to the first three in deciding federal province, and all of them by discarding what they consider their national or formal dress, and by challenging the unification of Nepal under the leadership of Prithvinarayan Shah, and of late not being sensitive towards the earthquake victims, and by promoting his family –has all gone against him! He is no more a leader perceived as the man who could retrieve the country at the time of crisis. Instead, he is a suspect in the eyes of the people as a man with a hidden agenda.
He is back from New York, but that means nothing for the country, mainly because he did not have the country’s interest uppermost in his mind. If posing for a photograph with Obama means anything for him, he must consider himself lucky.
WORLD TOURISM DAY 2011
Near Goal Post
The World Tourism Day 2011 carries a special meaning at a time when Nepal is celebrating the Nepal Tourism Year with an aim of bringing a million tourists. Thanks to the efforts of Nepal Tourism Board and Nepal Tourism Year Committee, more tourists are pouring in Nepal this year than in the past. So the World Tourism Day 2011 celebrations will be an occasion to express this high hope with the slogan Tourism Linking Cultures.
By DEBESH ADHIKARI
If the last nine months of tourist arrivals by air are any indication, they show that Nepal’s tourism is in the stage of a high growth. After a full over decades of constraints in tourist infrastructure, the hotel industry has also found a time to put the money into expanding and improving infrastructure.
As the number of tourist arriving in Nepal increases, the hotel rates have also gone up. More international airlines are connecting Nepal with different capitals of the world. Had Nepal got its own airlines and aircraft; the arrival would certainly have increased further.
Despite the lack of aircraft with Nepal Airlines, the country’s national flag carrier, more than ninety percent of hotels have already been booked for September and October. According to Hotel Association of Nepal, tourist arrivals increased drastically.
As tourists increase, the room rates at hotels around the country have gone up. Local hoteliers in Pokhara have raised the rate of Hotel rooms by 40 percent for this season.
“Our rooms are still cheaper than that of other countries around the world,” said Bharat Raj Parajuli, vice president of Western Regional Hotel Association and a hotel owner.
Be it due to the effects of sustained peace in the country or the Nepal Tourism Year campaign, tourism is on a rising trend.
“This is the dividend of peace. If political parties support fully in helping maintain law and order and peace, Nepal’s arrivals will increase by many folds,” said Pasiddda Bahadur Pandey, chairman of Hotel Association of Nepal.
“Nepal has enough prospects to bring more tourists. Compared to the last few years, the hotel business is in a better shape this time.”
Only about 4.4 million tourists visited Nepal during the Maoist insurgency from 1996 to 2006.
Nepal witnessed an encouraging rise in tourism after the civil war came to an end and effects were felt immediately. Some 526,705 tourists visited Nepal on 2007, 37.2 percent more than the previous year 2006.
However, in 2008, the total number of tourists that arrived in Nepal fell by 5 percent. Some 500,000 visited that year. Now, that decreasing trend looks like a distant history.
From 2009 the number of tourists visiting Nepal has proliferated. In 2009, the number increased slightly to 509,956 with annual growth rate of 1.9 percent.
In 2010, figures reached new heights and exceeded 6 lakhs for the first time in the history of Nepal: 602,867 arrived that year with annual growth rate of 18.2 percent.
Against the backdrop of such promising and encouraging figures, Nepal entered Nepal Tourism Year (NTY) 2011 with a target to bring about 1 million tourists—700,000 tourists via air
and 300,000 tourists via land routes. Given the rise in tourism after the civil war, the goal all but looked achievable. But, there were uncertainties and doubts looming as the target looked a bit implausible considering the limited number of flights that used to fly into the country at that time, the limited accommodation capacity of hotels, lack of infrastructure to attract tourists and the deficiency of needed promotional activities in the international market before the tourism year.
Tourism Industrialists have worked hard from the outset in order to achieve such an ambitious target. Total numbers of flights into the country were increased. Infrastructures to carry tourists from land were improved. Hotels — from five star to roadside lodges — have worked hard and expanded their accommodation capacity by spending loads of money. Promotional campaigns were amplified in the international market at the latter months of this year. Meanwhile, peace is sustained in the country despite political uncertainties. So, due to the all-round effort, Nepal is close to achieving its goal, which at one time looked unachievable.
Despite political instability with frequent changes in the government, tourist arrivals continue to increase.
“As long as there is peace in the country, political instability is not an issue for tourism. Tourists are least concerned about the political situation if it is not a violent one. They don’t want their tour itinerary to be disturbed by banda, chakkajam and other violent activities,” said Aditya Baral, Director of Public Relations and Publicity Department. “We are nature based destinations. We cannot change the topography of our country. Hence, the tourism here does not connote changing the products, it is more about changing the perception through proper presentation supplementing it with more value addition.”
Current Scenario
As of September 2011, the total number of tourists that have arrived in Nepal has exceeded seven lakhs and with three more months remaining, Nepal is on the course to touch the magical 7 digit number as the major Tourist Season is just about to begin.
According to the data released by tourism organizations, Nepal is about to welcome an overwhelming number of tourists as around 90% of hotels in and around Kathmandu valley and in the major tourist destinations have already been booked for the upcoming tourist season. Although the tourist season starts early October and ends late November, hotels are fully booked. This has raised hopes and tourism businessmen are very optimistic about Nepal achieving its 1 million tourist goal for the year.
“Thanks to the last one year’s efforts, the number of tourist arrivals has increased. Nepal still needs to do a lot
“We Can Make Nepal A Major Tourism Spot”
Dr. GANESH RAJJOSHI
Dr. GANESH RAJ JOSHI, secretary at the Ministry of Tourism, Civil Aviation and Culture, is a well known agriculture economist. Dr. Joshi, a Ph. D in agro-economy, also served as a secretary at the Ministry of Environment. As Nepal is celebrating the World Tourism Day on September 27, Dr. Joshi spoke to New Spotlight on various issues regarding the effects of climate change in the tourism sector.
As Nepal is celebrating the World Tourism Day on September 27 by organizing various programs, what do you say about the prospects of Nepal’s tourism?
Nepal is rich in natural, cultural and historical resources, which are considered to be the foundation for a sustainable tourism development. This year’s slogan “Tourism – Linking Culture” is very appropriate for us given our enormous cultural diversity. We can make Nepal an important tourist destination within 10-15 years by consolidating the efforts of all the stakeholders concerned.
As Nepal has been celebrating Nepal Tourism Year 2011 with an aim to bring a million tourists in the country, what promise does the present trend hold for this?
Nepal Tourism Year 2011 is a campaign and the Government of Nepal in its policy and program has announced to give it a continuity. This has created awareness about tourism potential in Nepal and abroad and has also created a solid base for tourism promotion in the future. The tourist arrival in Nepal is encouraging. There has been a growth of about 25% in tourist arrival in the first 8 months of 2011 compared to the last year.
Nepal’s tourism is based on mountains. But the receding of glaciers and snow melting due to rise of temperature are going to affect our Himalayas. How is the government responding to this?
Tourism is one of the major livelihood opportunities of the people in the mountains of Nepal. The studies and researches undertaken in the Himalayas (in Nepal and elsewhere) have shown the rise in temperature in the mountains compared to other ecological regions. This will lead to rapid rate of snow melting, receding of glaciers and related events. Nepal has already prepared the National Adaptation Program of Action (NAPA) for climate change, which has identified priorities and immediate actions for intervention. The efforts should be geared towards its implementation through garnering technical and financial support. Adaptation is the survival strategy for the mountain people.
Don’t you think Nepal’s tourism will be hit by the temperature rise?
Yes, climate change (due to rise in temperature) will impact many important sectors including tourism. This is evident from the findings of the studies and research (although in limited scale) undertaken in Nepal.
What options do you suggest for tourism to cope with climate change? How do you make sure there is balance between climate change and tourism response?
We should orient our policy and programs to make the mountain ecosystem resilient. However, to cope with the impact of climate change, adaptation is the option left before us. We should make every effort to emit low carbon from tourism related activities so that we can regard it as a responsible and sustainable tourism.
Has your ministry ever done any study on the effect of climate change in tourism sector?
The Ministry, and the institutions affiliated with it, have not carried out any studies related to the impact of climate change in the tourism sector. It has been grossly missed in NAPA given its importance to livelihood and contribution to national economy. We have proposed a few studies in the FY 2068/69 which will be administered by Nepal Tourism Board.
What is your impression about the role of Nepal Tourism Board to sell Nepal abroad?
Nepal Tourism Board has representation from both public and private sector. It has been given a mandate of promoting Nepal’s tourism through different activities abroad. It has been able to translate its mandate into action to some extent in this regard. However, additional efforts are needed in a coordinated way (with relevant stakeholders) so as to make Nepal known abroad in real sense.
level of peace in the country, we don’t need to worry about the number of tourists.
Budget Effects
Lack in promotional activities about the Nepal Tourism Year in international arena during previous years and even early months of this year affected the total tourist arrivals which could have gone up further by at least a few percent. The promotional campaign kicked off quite late due to delay in promulgation
of budget.
At the same time, the government has increased the budget in this sector by 25 percent for the Fiscal Year (FY) 2011-12 compared to FY 2010-11.
**Promotional Activities**
Although promotional activities were stalled during the early months of the year, after the budget was promulgated, the campaign took off at a rapid pace.
A few months back, Nepal Tourism Board stated that NRs 130 million out of NRs 230 million (for tourism) announced in this year’s budget will be used for promotional activities. NRs 30 million was planned to be spent on promotional activities in China, NRs 60 million in India and the remaining NRs 40 million in other countries, which included advertising in CNN and BBC.
Officials of Nepal Tourism Year (NTY) 2011 Implementation Committee said that over three dozen promotional activities were successfully completed in international markets over the first six months of 2011. Since the outset of NTY 2011, Nepal has taken part in 25 international tourism fairs—seven in Europe, two in America, six in India and ten in Asia.
Promotional programs were also organized in Melbourne, London, Munich, Bonn, Paris and other cities in coordination with Nepali diplomatic missions and Non-resident Nepalis Association.
International TV channels will start broadcasting Nepali promotional ads after mid-September. Likewise, Nepal Tourism Board has also placed promotional posters of NTY 2011 in metro buses in DC metro, USA.
**Revenue woes**
Average income has been recorded as high as $791 per tourist per day in 2003. However, from 2003, revenue generation is all downhill. In 2004, it declined to $451. Despite a little rise, the decreasing trend continued in the succeeding years at $58.5 and $55.
The average income from each tourist was $45 and $73 in 2007 and 2008 respectively. On an average, a tourist spent $65.3 in 2009. In 2010, it dropped to $43.2.
Nepal earned nearly NRs 29 billion through tourism in 2009 which was reduced to NRs 23.43 billion in 2010.
Tourism entrepreneurs complain that the problem has continued even this year, as the total earning from tourism has declined by 12.5 percent during this period. The average length of stay of tourists in Nepal has increased but the revenue has been on the weaker side. Although there has been a rise in the number of tourists this year, the majority of them are Chinese and Indian tourists. The number of high-profile European and American tourists coming to the country has decreased. This is one of the reasons for the decrease in revenues, despite increase in the number of tourists.
**Growth in International Tourism**
International tourism also saw a rise in the first half of 2011, as tourism grew by almost 5 percent, totaling a new record of 440 million arrivals, which is 19 million more than in the same period of 2010.
Growth in advanced economies (+4.3 percent) has maintained strength and is closing the gap with emerging economies (+4.8 percent), which have been driving international tourism growth in recent years. This trend reflects the decreases registered in the Middle East and North Africa, as well as a slight slowdown in the growth of some Asian destinations following a very strong 2010.
“The sustained growth registered in tourism demand in such challenging times clearly makes the case for the sector and reinforces our call to consider tourism as a priority in national policies. Tourism can play a key role in terms of economic growth and development, particularly at a moment when many economies, for the most part in Europe and North America, struggle for recovery and job creation,” said UNWTO Secretary-General, Taleb Rifai.
With a growth +6 percent, the Americas were slightly above the world average, with remarkably strong results for South America (+15 percent). Asia and the Pacific grew at a comparatively slower pace of 5%, but this more than consolidates its 13% bumper growth of 2010.
**Conclusion**
Amidst skepticisms about the goal of NTY 2011 being achievable, tourism year is quietly reaching towards its goal. In the upcoming months—in which the tourist arrival is maximum—Nepal is expected to land more than 3 lakhs tourists, which is enough to surpass the tourism year goal. But, still loads of hard work are needed to turn the expectation into reality. If Nepal could reach the 1 million mark, it would be the moment for celebration and could mark a new beginning in the Nepalese Tourism history.
Industrialists should follow the determination that they have shown in this year and carry this momentum to the upcoming years and establish tourism as the backbone of the economy of the nation.
SURYA NEPAL GARMENT CLOSURE
Cost Of Militant Unionism?
As Surya Nepal’s garment unit becomes the latest victim of militant trade unionism, serious questions have been raised on Nepal’s FDI attracting prospects
By SANJAYA DHAKAL
Neeetu Thapa Magar wore a despondent look when she went to the office of Morang Industry association to receive the final payment from Surya Nepal Garment Factory that formally shut down in the third week of September.
“It was true we had carried out agitation. But we did not intend to see the factory close down. I am really sad,” said Magar, one of the almost 600 women workers who lost their jobs due to the protracted struggle between workers and the management.
Gita Regmi, another worker, said they had found dependable employment in the factory. “It was good for the ladies compared to other factories,” she said.
Magar and Regmi along with other women workers are sad that they lost job on the eve of Dashain festival.
It had been four months since the trouble flared up in one of the country’s largest garment factory.
A spat between management and workers had worsened after a group of workers locked up managers and administrative staffs leading to intervention by police.
Subsequently, Surya Nepal garment, which is a subsidiary of ITC Limited of India, located in eastern Nepalese city of Biratnagar, announced in August that it would shut down its operations citing cancellation of its export orders due to labour unrest.
The factory had remained closed since previous two months after the workers there agitated demanding pay during strike period.
“In the subsequent period we had tried to hold dialogue and settle the issue amicably but in vain. Our importers then cancelled their orders. We were left with no option than to shut down our entire operations,” said Rabi KC, vice president of Surya Nepal.
A trade union leader affiliated to the Maoists, Tej Lal Karna, denied that the company shut down due to their agitation. “The company only wanted a pretext to close down,” he said.
The garment factory established with the investment of around Indian Rs 40 crore used to export 90 percent of its production to India and Europe. Ninety-five percent of its nearly 600 workers were women.
Earlier, Dabur Nepal and Unilever Nepal had also faced labour problem. The GMR group that is working in the Upper Karnali hydropower project, too, faced troubles with workers and local people.
Huge Cost
Many say, the latest episode of Surya Nepal shows how the continued labour unrest is eating into the vitals of Nepalese industrial sector.
“Labour unrest is becoming a huge problem. In the last three years, we have seen almost 80 percent of manufacturing plants shut down, mainly due to this problem,” said Bhaskar Raj Rajkarnicar, senior vice president of Federation of Nepalese Chambers of Commerce and Industry (FNCCI) – the umbrella body of Nepalese private sector.
Economists have said that these episodes will deter even domestic, let alone Foreign Direct Investment (FDI) in the country.
“Our labour policies are rather rigid. And our labour productivity, too, is very low,” said Dr. Chiranjibi Nepal, an economist.
But trade union leaders differ.
They say that while in some specific cases they cannot deny that workers might have ‘crossed their limit,’ in most cases the management is to blame.
“Just look at how the industrialists have moved the Supreme Court and obtained a stay order against the rise in the minimum wage,” said Ramesh Badal, a leader of Nepal Trade Union Federation –GEFONT – a sister wing of ruling CPN-UML party.
Apart from labour unrest, the energy crisis and political instability have also worked to derail the economy, say experts.
Consequently, as job opportunities vanish within the country, over 1000 Nepalese youths are forced to leave their homeland everyday in search of jobs overseas.
'Wild Weed Threatening Rhino Habitat'
- CHANDA RANA
CHANDA RANA, Chairperson of the Save the Environment Foundation (SEF), has already taken a number of steps against the deadly plant Mikania Micrantha which is posing a serious threat to the Chitwan National Park. She has been raising the issue since 2008. Rana released a video documentary in 2009 highlighting the sate of the wild plant that infested a large swath of grassland. Her documentary drew national and international concern over the issue as it threatened the habitat of the one-horned rhino, other wild plants and trees of the Chitwan National Park. Environmental activist Rana participated in a program to mark the World Rhino Day on behalf of the Save the Environment Foundation (SEF). Rana spoke about the importance of her participation in the program.
Excerpts:
Why did you participate in the program?
I participated in the program as part of my initiative for safeguarding the biodiversity of the Chitwan National Park (CNP) from the invasion of the wild climber, Mikania Micrantha. The plant is posing a serious threat to the rhino habitat. I consider the potential threat to the rhino habitat in CNP by the rampant colonization of the wild weed as serious as poaching and the illegal trade in endangered species.
How have you been raising the issue?
I have been initiating a campaign to raise awareness at the national level. I have already produced a documentary called "Milea Minute, a serious threat to CNP". This documentary was launched by the Minister for Forest Deepak Bohara two years ago. Later, I also held a conservation meeting at CNP along with a weeding program in the presence of then prime minister Madhav Kumar Nepal, ministers and other international conservation organizations.
Is the plant threatening the rhinos?
During my filming, I found out that besides poaching, another possible threat to the rhino population is due to loss of its habitat from the infestation of the wild weed. It has engulfed more than a third of the prime rhino habitat in the CNP.
How do you claim that the habitat areas have already decreased?
In my documentary, I have clearly highlighted the survey carried out by the Zoological Society of London (ZSL) and NTNC where about 50 percent of the rhino range is already affected by Mikania. At the primary rhino habitat, approximately 75 percent of the rhinos were found to be affected.
What is your next step?
Realizing the severity of the infestation, I have been carrying out my lone efforts to safeguard the CNP and the rhino habitat. As a follow up after my documentary I have been taking up this issue at the international level to mobilize collective support to tackle this serious problem.
When will your program start?
Tentatively from the second week of November. I am organizing a national workshop of all the stakeholders on the Mikania infestation in the CNP. It will be a week long program with Village Development Committees, Community Forest Users Groups, Biodiversity Conservationists, Representatives from the Buffer Zone, National Park Wardens, Nepal Army, Representatives from the Hotel Association of Sauraha, and the Nature Guide Association, Representatives from the Ministry of Forests and Ministry of Environment and the Department of Forests and Agriculture, Representatives from NTNC, WWF and IUCN and NARC.
What would be the next step?
Gleaning from the three-day workshop, we will form a Chitwan Mikania Control Task Force Committee based in Chitwan, which will contribute towards controlling the spread of the wild weed. The role of the CMCTC will be to review the infestation, and formulate an awareness program at the community level. It will document the information on the infestation and its impact on the eco-system and habitat of the rhino and other animals. A pilot project at severely infested areas will be chosen to ascertain whether a manually controlled option is feasible. This project will be implemented involving the community forest user groups and CNP representatives and other concerned local bodies.
How do you generate resources?
The needed funds would be sought from the concerned ministries and line agencies to tackle this problem. The Task Force will also be the liaison between the government and other donors for funds and solutions aimed at controlling and containing the wild weed.
Do you have any plan to organize other meetings?
I am planning to organize a high level conservation meeting inside the CNP on the last day of the workshop. The Prime Minister will be invited as the Chief Guest along with the concerned Ministers. The PM will be informed about the severity of the problem and the need to take action both at the government and the local levels.
The PM will also be taken to the sites in CNP where the infestation is the most severe. The PM will also be informed about the formation of the Task Force Committee and its role and a request will be made to support the Task Force and its efforts. This is a tentative program that I have planned.
Great Himalayan Quake
Wake Up Call
Along with awareness and preparedness level, the timing of the recent quake reduced the casualty this time.
By KESHAB POUDEL
Sajan Shrestha, his daughter Anisha and Bir Bahadur Majhi were killed when the dilapidated wall on the southern premises of the British Embassy fell on them. They were among the nine killed in Nepal by the earthquake of September 18, 2011.
Although there was a huge loss of infrastructure like school buildings and individual houses, the human casualties were nominal. When the quake hit the valley, many feared that it devastated the country. Their anticipation was proved wrong. This time, the loss was far less than that during the quake of 1988.
An earthquake measuring 6.9 on the Richter scale rocked the Himalayan region with its epicenter bordering north India and Nepal at 6:25 pm Nepali time on that Sunday. The epicenter was located 64 km north-west of Gangtok, capital of Sikkim, 133km from Namche Bazar in Nepal, and 40 km from Yadong county in Tibet, China. Aftershocks measuring 6.1 and 5.3 on the Richter scale were also felt around Sikkim 20 minutes after the earthquake.
The Trauma
Hem Nath Poudel, a resident of Dokhu-2 in Taplejung, and his family members spent nights in the open after the earthquake destroyed their house. Poudel, a disabled, set up a ‘kitchen’ near a boulder close by his quake-ravaged house.
“I was unable to go to the district headquarters all by myself, thanks to the disability,” he said.
He said neither rescuers nor government employees reached the village to inquire about the situation and provide relief materials.
There are scores of other people in Dokhu, its adjoining VDCs and various eastern districts close to the epicenter in the northern Indian state of Sikkim, who received relief five days after quake.
Chief District Officer Devraj Dhakal said, “We sent a relief team to the remote VDC (where Poudel lives) within a couple of days despite the rain.”
Current reports from Nepal Red Cross Society (NRCS) district chapters reveal that there were nine people dead and 89 injured and over 12,000 people affected across 17 districts. Structural damage to nearly 2,000 houses left over 1,213 families displaced (more than 7,278 people). They are frightened to return to their damaged homes. It is expected that the true scale of damage and number of displaced will increase in the coming days as more isolated areas are reached. Exacerbating the situation, monsoon rains and landslides in the region are affecting access.
The Government of Nepal’s National Emergency Operations Centre (NEOC) has been activated and the District Disaster Relief Committees (DDRC) are convening meetings in affected district headquarters to ensure effective and coordinated response activities. The NRCS district chapters are represented in the DDRCs and will feed back information they have gathered as well as identify areas where there may be gaps in assistance needed.
The death toll from the earthquake in India has reached 83, leaving 200 people injured. Besides the loss to human lives, over 15,000 houses were razed to the ground and more than 100,000 were partially damaged.
Similarly, the earthquake affected 13 counties in Shigatse city of Tibet, China. Seven people were killed and 37 were injured. A total of 1,000 houses are reported to have collapsed during the earthquake. According to a report from the Bhutan Department of Disaster Management, the earthquake has caused one death, injured 16, and damaged about 4,000 houses.
“I cannot say right now about the exact damage as the ministry is collecting the data,” Minister of Home Affairs Bijaya Kumar Gachchhadar told New Spotlight.
“What I can say now is that the destruction was nominal because of our preparedness and level of awareness,” he said.
As Nepal lies in seismically active zone, it is natural to experience one or other quake from time to time. An earthquake occurred in 1988 near the Indian border, affecting much of northern Bihar. The magnitude 6.8 earthquake shook the region on August 21, 1988, killing about 1004 persons in India and 722 in Nepal and injuring more than 16,000.
“This is a wake-up call for many, for all those people who are indifferent to earthquakes,” said Amod Mani Dixit, executive director of Nepal’s National Society for Earthquake Technology-Nepal (NSET). “I am happy that the earthquake took place, though I am sorry for the loss of lives. I feel earthquakes are being forgotten. Now they are saying, ‘don’t forget quakes.’”
The main affected districts included Sankhuwasabha, Taplejung, Ilam, Dhanakuta, Panchthar, Sunsari, and Okhaldhunga in the eastern region, and Bhaktapur in the central region, Nepal’s National Emergency Operation Centre within the Ministry of Home Affairs reported.
“This generation has never experienced an earthquake like this before,” said Umesh Prasad Dhakal, executive director of the Nepal Red Cross Society (NRC), while calling for increased earthquake preparedness and awareness.
Over 16 major earthquakes have struck Nepal since 1223, the last occurring in 1988, according to the 2009 Nepal Disaster Report by the government of Nepal and the Disaster Preparedness Network-Nepal.
Tall building threat
Valley’s apartment buildings that did not follow the building codes are the most vulnerable. In case of another quake, no tall building will survive. Experts argue that all the tall buildings constructed in the valley are unsafe to live.
“There are regulations but they are not followed,” says Suresh Prakash Acharya, a high-ranking official, at the Ministry of Physical Planning and Works, in charge of urban development.
Kathmandu, which sprawls over the soft sediment of an ancient lakebed and is surrounded by mountains, is more vulnerable generally. This deadly combination of vulnerable buildings and geology can magnify seismic hazards by ten times, says Brian Tucker, president of Geohazards International. A 2001 study by the California-based NGO ranked Kathmandu the most vulnerable to damage by a major earthquake among twenty high-risk cities it assessed (Tehran, Istanbul and parts of Indonesia also sit atop many seismologists’ watchlists).
Despite an unprecedented building boom in the latest times, the safety aspect has always remained ignored. Officials of Department of Urban Development and Building Construction (DUDBC) accept that they fail to make construction guidelines stricter.
“There is no mandatory provision or regulation. We are only allowed to check the buildings after approval of the municipality,” said DUDBC spokesman Shivahari Sharma.
More than 50 apartments and housing companies registered at DUDBC claim their apartments and housings are safer than the other public structures as they have to pass the department’s monitoring process.
“We have safest structures in the capital,” claimed Min Man Shrestha, general secretary of Nepal Land and Housing Developers’ Association.
For Nepal, disasters are an inevitable part. So, the best thing to do was be prepared. UN Resident and Humanitarian Coordinator Robert Piper said that disaster risk reduction systems are getting better but they are still very badly equipped.
As the recent quake is just a wake up call, it is wise to take this question urgently: How prepared are we for another major jolt?
As Millennium Development Goals Needs Assessment for Nepal 2010 revealed that Nepal achieved some goals, development partners have hailed the progress
By A CORRESPONDENT
As there are gaps in the resources in certain sectors to meet MDGs by 2015, the recent statements by Nepal’s development partners lauding the country’s progress in reproductive and maternal health at UN forum are a welcome boost to Nepal’s efforts.
“The total resource gap is US$ 19.7 billion. Given Nepal’s progress, Nepal’s development partners will support us to meet the resources gap,” said Dr. Dinesh Chandra Devkota, former vice chairman of the National Planning Commission. “It is good that our efforts are hailed in international forum by Nepal’s development partners.”
The heads of the US and UK governments’ aid programs have recognized that efforts to reduce maternal mortality in Nepal offer potentially “game changing” lessons in the fight against international poverty.
At a high-profile event on September 21 during the UN General Assembly in New York, Dr. Rajiv Shah, Administrator of USAID, and Andrew Mitchell, UK Secretary of State for International Development, highlighted the innovative policies and programs to improve reproductive and maternal health in Nepal as bringing about a significant step toward achieving the UN’s Millennium Development Goals (MDGs).
The event – MDG Countdown: Successes and Innovations – examined the successes and the potential for expansion in other countries.
Dr. Sudha Sharma, Secretary of Ministry of Health and Population (MOHP), presented Nepal’s case at the MDG Countdown event.
UK Secretary of State for International Development, Mitchell, said, “These efforts are making a real difference toward reducing poverty. We want to hold it up to the world, so others can learn from these successes. It demonstrates that development buys results – it shows that through innovations we can deliver inspirational change to people’s lives.”
USAID Administrator Dr. Shah remarked, “To meet the Millennium Development Goals by 2015, we must work more effectively and efficiently to deliver meaningful results for the people we serve. By working directly with country governments and local partners, we can increase transparency and support more innovative policies and interventions with the potential to transform development.”
The MDGs consist of internationally agreed targets to reduce global poverty by 2015. As the international community counts down to 2015, the US and UK have said they remain committed to inspire action by celebrating successes and innovations across the MDGs. As the first of the MDG Countdown series, the event highlighted programs, policies and partnerships from Nepal, Brazil, Ethiopia, Gambia, Peru, Vietnam, and Zambia.
“As we saw from the MDG progress report last year, Nepal has made significant progress on a number of the Millennium Development Goals over the past years. Nepal is on the track to achieve many of the targets, except those related to full and sustained employment, hunger, education and environment,” said Robert Piper, UN Resident and Humanitarian Coordinator.
“It is good news to hear from Nepal’s development partners about Nepal’s progress. Nepal is on the right track now,” said Dipendra Chhetri, vice chairperson of National Planning Commission.
DR. ANJANI KUMAR SHARMA
'Way To Go'
Known for his perfect hands to perform a surgery, Dr. Anjani Kumar Sharma holds the vision that everybody should get the medical facility
By SHRADHAGYAWALI
On those days when there were a few surgeons in the country, almost everyone aspired to get an appointment from Dr. Anjani Kumar Sharma. They waited for quite a long time to see him. Many people still believe this surgeon's hands had a precision others rarely had.
Till a decade or two ago, there were no medical facilities like today to diagnose the disease. Surgeons and physicians were responsible to find out the cause of pain or disease.
Dr. Sharma, therefore, is not a new name in Nepal's health sector. He is among a few surgeons to lead the surgery department of Bir Hospital.
Sharma wanted to be a doctor ever since his mother died in the absence of doctors.
"My mother did not get any medical help and ended up losing her life. I don't think anyone should die in the absence of medical help," said Sharma.
Health care problems are varied and enormous in Nepal. The health care facilities are considerably poor. The majority of people here live in mass poverty while the nation's small wealth is concentrated in the hands of the few. Poor nutrition and sanitation, inadequate housing for most families and the general absence of modern medical care and other services, especially in the rural areas, have been the major issues of the health sector.
In those days, polio and typhoid were also common. And most importantly, a large number of people relied on "Jhakri", a traditional spirit healer.
Dr. Anjani Kumar Sharma shares with Shradhga Gyawali how he saw Nepal's health system evolve over time. Experts:
How do you describe your first surgery?
My first surgery was a big challenge for me. I still remember my first patient was a VIP, who was paralyzed. I was asked to help her out and I tried. The surgery was successful and she started walking again. This success gave me a lot of satisfaction. I was then appointed as the 'Royal Surgeon'.
How do you view the advancement of medical facilities in Nepal?
It is improving but there is a long way to go in order to meet the international standards. I know a time when we only had a few people, but today, we have a lot of people working in this field. Things are surely improving and the day isn't far when we will meet up to the international level.
You have been an activist in cancer awareness in Nepal. How do you describe that role?
As a surgeon, I came across a lot of cancer patients. I felt a need of developing a cancer center in the country. Ten years back, all the cancer patients had to be sent to Mumbai. But now things are different. Prime Minister late G.P. Koirala said we should have a cancer hospital in Bharatpur. Then the Bharatpur hospital was made. We have all the facilities, but few people are using it well. All the doctors are using the hospital as a stepping stone to come to Kathmandu.
Then I approached the locals in Bhaktapur to develop a cancer hospital. In the beginning, we had nine beds there. Now we have sixty and we are aiming to take it up to hundred in the near future. We have all the necessary facilities available. If cancer is detected early, it's curable. I have also published a book (Cancer Chetana) to make people aware of this deadly disease.
Do you think the health system in the country has improved?
Not really. I am sure there are a lot of people like me who want to develop and improve the health system here, but a man can do only so much alone. We rarely get help (monetary help) from the government. The Bharatpur hospital is a gift from China and the best highway in the country is the gift from the government of Japan.
You have also been involved with the Lion's Club. What is it that motivates you at this age of 78?
In 1972, I felt the need of improving the society. Social uplift was an issue. There are a lot of people who can afford a decent education but the number of people who cannot afford education is much higher in our country. Lion's club wanted to improve the quality of life. We try to help people with physical disabilities so that they can compete with the rest. I have also established a school in my village. I feel great pride when I see students from the school helping the village as a health assistant.
What do you think has been your greatest achievement?
The fact that the health services in the country have somehow improved gives me immense pleasure. I am also proud of the fact that Nepali doctors are now representing their country in International forums. This doesn't mean we stop here. There is a long way to go in order to improve the health system in the country. Only if we have diligent doctors, I am sure we will soon be competing in the international level.
KRISHNA MAN PRADHAN, executive director of Nepal Law Society, has been working for reform in politics, judiciary and electoral system in Nepal for the last two and a half decades. Pradhan recently made an observation tour of the United States, visiting various states and institutions, and exchanging views and knowledge about Nepal’s situation with the people of the highly developed democracy. Pradhan shared his experience with NEW SPOTLIGHT. Excerpts:
Tell us about your recent observation tour of the United States of America?
I was nominated by the US government for a program tour of study of the American Institute. One of the major highlights of that program was to learn about American politics and political thought as well as functioning of the institutions at the grassroots level. I visited a number of states and places in the United States to interact with various persons, including academicians, elected representatives and officials.
What did you learn?
The focus of my program was politics and political parties. I visited a number of institutions and got the opportunity to see the development of various sectors. For three weeks, I attended a course at the Massachusetts University, where I learned how political evolution and institutionalization took place in America. We interacted with various university professors during the program. We learned the evolutionary process of American politics and constitutional development and functioning of federal structure since 1789 in the context of the contribution of war of independence, constitution writing process and civil war. We were taught the principles of government, origins of American government, the division of power in federal structures, the role of Supreme Court in protecting the constitution as well as civil rights and liberties of the people, role of political parties and interest groups and their influence.
How are they relevant to us?
We learned about the election process, decision making process and relations between America’s three main state organs executive, judiciary and legislature. We also learned the functioning of structures of states including federal, states and local elected bodies like city councils and counties. An orientation was also given on the presidential system, legislative system and judiciary as well as federal systems, the role of the president, Congress and political parties in America. These were quite relevant as Nepal is involved in the debate to formulate a new constitution with federal and democratic outlook.
What is your impression?
I have been working in the constitution making process for the last 25 years. Comparing the situation between Nepal and USA, I have drawn the conclusion that it is the institution which is fundamental to strengthen democracy. It is not a constitution but commitments of individuals towards the institutions. The United States has one of the shortest constitutions, which has been functioning well for over 200 years. However, we have already changed the sixth constitution in just over five decades. Instead of strengthening the institution, Nepalese leaders always tried to change the constitution whenever there is a fault in their behavior. I am not certain that even the new constitution will work for another hundred years.
What impressed you the most about American system?
When I was visiting different places, I was reminded of the experiences shared by Alexis de Tocqueville in his famous book Democracy in America. America has gone through a history of turbulence such as during civil war. However, American democratic institutions coped well with all the situations. There were many ups and downs in American history over 200 years. As American people continue to express their faith in the constitution and political system, they don’t have to face political instability. This helps American people to concentrate their efforts in economic development. One of the important parts of American constitution is that it strongly follows the separation of power among three different structures of the states: executive, judiciary and legislature. The Supreme Court has been given power to interpret the constitution. In early days, American court played a very important role by protecting the constitutional process. Interestingly, at the time the Constitution was written, parties simply did not exist in American politics, although they were already a part of the political system in Britain. Major parties were reshaped primarily by the events and emotions of the Civil War period and the Great Depression of the 1930s.
How do you view American Judiciary?
Functioning of American judiciary shows that appointment process cannot make any difference in imparting justice. The judges of Supreme Court are appointed by the president and governors appoint the judges in states. Similarly, the local judges are appointed by chiefs of local bodies. In some places, judges are elected. The judges are appointed on the basis of party’s line and the appointed judges are trusted persons of the government at the time. I heard a lot of negative things about the judiciary including political biasness. However, I find the situation is different. Once the judges are appointed, they deliver impartial justice and nobody questions the neutrality of judgment. When it comes to performing its duty, American judiciary is able to protect the individual freedom and increase the public trust in judiciary and state’s institution. It was very strange for me to see that there were no fixed tenure for the judges and they are appointed for life. One of the judges even announced his retirement at the age of 88. But, they perform their duty as per the constitution and law. In the context of Nepal, our judges retire at the age of
65 and judges are appointed by Judicial Council and chief justice is appointed by Constitutional Council. Even so, the people often question the neutrality of judgment. As the judges retire at the age of 65, they always aspire for another appointment even after their retirement. These tendencies may affect their judgments.
What were your other experiences?
I travelled to Boston, New York, Washington DC, Virginia, and Pennsylvania. What I found was that the long struggle of American people gave the present shape to America. There were racial, and ideological conflicts in the American history. The history of African American is the history of hope and frustration. Before the civil war, many African Americans were held in slavery. The civil war put an end to slavery and postwar laws brought high hopes. The issue of slavery threatened to divide the nation. The constitution was amended and new laws were drafted to protect the rights of the people. My experience is that the economic development and democracy need to go together, side by side. Democracy flourishes with the prosperity and high economic growth. Economic development is necessary to provide a congenial environment for the democratization process. As Nepal's economy is still based on agriculture and the economic growth is too slow, democracy will take more time to flourish in Nepal.
What is the role of American citizenry?
The beauty of American democracy is that citizens are always concerned about their duties, along with their rights. American citizens are concerned about caring for the public property than individual property. The situation in Nepal is that everybody is concerned about the personal property and state property is nobody's agenda. This is the reason people create obstruction to roads and services. I don't think it is possible to change Kathmandu even in 200 years in the current pace of development and with the current social attitude. Nepalese are concerned about individual interests rather than the community and public, whereas American people are concerned about public property and community interest. American society and system are guided by rule of law, but Nepal does not have any working rule of law at all. Nepalese enjoy much more rights but they don't feel their responsibility towards the state. Democracy and development need to go together. Democracy cannot be sustained without development. I learned the lesson that democracy needs development. Development is not possible without a responsible citizenry and democracy needs a citizenry that can abide by the rule of law. Nepal lacks both. State is not in a position to compensate for the gap.
What did you think of the functioning of local bodies?
There are different types of executive, judiciary and legislature at center, state and local levels. All of them are independent to function. There is no interference by constitution and law in the functioning of state organs and check and balance is working perfectly well. There are more than 7300 local bodies in America and all of them have different structures or the structures of local bodies are based on local needs. The structure of local government institutions are based on local community. This is the reason local bodies are capable to solve the problems. In Nepal's context, the structures of all 3913 VDCs are the same as all of them are divided in nine wards with 45 plus representatives. Even more interesting is that Nepal's VDCs receive similar amount of annual budget from the government. Nepal's local bodies have same rights, same budgets and similar structures. This is the reason local bodies are unable to manage the conflict. Although all the VDCs have different needs and different demands in terms of composition of population and area, they have similar budget and structure. I think there should be need based budgets and structures on the basis of local surroundings. Democracy is not possible without economic development.
What is the state of American political parties?
I found it quite strange to know that American political parties do not have full time workers. Political parties do not intervene in the day to day affairs of the government. The role of political parties is limited only to the elections. Once elections are completed, the role of political parties diminishes. Similarly, there are no permanent party workers. Elected representatives do not need to be accountable to the party. Elected representatives are accountable to the people. Party workers are mobilized during the elections only. Political parties in America are not member based. In Nepal, every political party issues membership and claims that they have one million or two million members. Candidates hire the workers. After the elections, they leave the candidates. One of the reasons behind the rampant corruption in Nepal is that there are full time political workers who need to be paid on monthly basis. Political parties often interfere in the day to day affairs of the government and elected representatives need to serve the party workers all the time. To pay full time party workers, an elected representative has to collect the money by any means. Party workers will be there before elections, during elections after elections. Nepalese parties need to learn from America.
How did you find the participation of women in the USA?
In terms of participation of women in politics, Nepal is far ahead than America. Nepalese women face a number of discrimination in Nepal but they are
15 YEARS OF AIN
As Development Platform
For the last 15 years, the Association of INGOs in Nepal (AIN) has been supporting Nepal's development efforts as an important platform to bring the development partners together.
By A CORRESPONDENT
Although International NGOs started work in Nepal 60 years back, their visible and organized representation began only with the formation of the Association of International NGOs fifteen years ago.
Early INGOs were scattered and had to deal with the government and concerned authorities regarding their projects and policy matters individually. Despite offering a variety of working experiences, they didn't have a common platform to share. The situation prompted leaders of the INGOs to conceive a common platform in 1996.
"AIN is a fantastic platform where we can share, learn and make a position to safeguard the commitment of INGOs to bring about positive changes in the poor people's lives," said Achyut Luitel, chairperson of AIN.
AIN has been working in almost all areas of development, from sanitation to livelihood improvement and from health to education.
"If the total contribution of INGOs working in Nepal is calculated, it will be big," said Luitel, country representative of Practical Action. "AIN's contribution of 10 billion rupees annually (based on survey conducted in 2010, in which about 60 organizations responded) works out to 6% of the development budget, 12% of foreign aid, 15% of foreign grants, 45% of foreign loans, and 18% of deficit budget for the fiscal year 2006/67," said Luitel.
AIN promotes mutual understanding, and exchange of information, experience and learning in the development work in Nepal.
"AIN is a group of like-minded people working in development of Nepali, an oasis of sorts of those who need it," said Brian J. Hunter, country director of Save the Children and treasurer of the AIN.
With the historical turn in Nepal's politics after Janandolan II, the country has been passing through a critical phase of political, social and economic transformation. AIN has been a partner in the process for a just, democratic and socially inclusive development in Nepal.
"By supporting Janandolan II in 2006, AIN has shown solidarity to the cause of democracy, human rights and inclusion. This was the turning point in history. The civil society has recognized us for our role," said Dr. Shibebs C. Regmi, regional associate and vice president of the World Neighbors.
"AIN is a platform for INGOs to bring about meaningful changes in the lives of poor, marginalized and excluded people of Nepal," Regmi, a former chairperson of AIN, added.
New Scenario
As the young population grows up in a new political, social and economic environment, AIN has to take stock of the changing scenario to make its work more relevant. Former chairperson Dale Davis said the present scenario is different from that of 15 years ago. With increasing number of young and educated Nepalese in an inclusive society, new working environment, with greater transparency and accountability, is imperative.
Out of 200 INGOs registered in Nepal, 97 INGOs have secured the membership of AIN and many more members are joining it. “AIN, a unique organization in many ways, is a symbol of solidarity among almost 100 INGOs working towards the common goal of poverty reduction, sustainable development, protection and promotion of human rights and good governance in Nepal,” said Chij K.Shrestha, former chairperson of AIN, and vice president and country director of the World Education.
Currently, AIN is working on a wide range of issues and sectors that include education, health, drinking water, hygiene and sanitation, natural resources management, governance, human rights and rural infrastructure to contribute to community development in Nepal.
“As a member secretary of the Social Welfare Council, I am very happy that the presence of AIN helps us a lot whenever we need to disseminate information,” said Chhewang Lama Sherpa, adding, the two were like development partners.
“I feel that the experience sharing has been building my capacity as well as the organization’s empowering people, in advocacy, and for institutional development and strengthening in Nepal,” said Chanda Rai, CCS Italy’s country director.
Some of the key initiatives of AIN were policy research studies in areas related to the PRSP, MDGs and conflict, policy discourses with stakeholders, including the government, for advocacy on various issues, and support to government agencies such as the Social Welfare Council in matters relating to the development of INGOs in the country.
“It is heartening for me to see AIN grow from a very small, a handful of INGOs, to its present size with such significant capacity for advocacy and service provision to its members. It may continue to grow in the quality and strength of its services which will enable members to contribute even more to Nepal,” said Scott Falla, country representative of Oxfam.
“Congratulation AIN on 15 years of cooperation for the betterment of Nepal,” said Michael Frank country director World Vision International Nepal.
INGO’s In Nepal
Founded in 1954, the United Mission to Nepal, an international interdenominational Christian Mission, is the first INGO to come to Nepal. For a long period after that, only a few international non-governmental organizations were allowed to work. Swiss INGO Helvetas Swiss Intercooperation Nepal was another long time INGO in Nepal.
Helvetas came to Nepal in 1956 and now it cooperates with many technical and social organizations in all the 75 districts across the country. Helvetas Nepal works within four main sectors like Water and Infrastructure, Governance and Peace, Education and Skill Development, Environment and Climate and Rural Economy.
Leprosy Mission International came in 1957, opening the Anandaban Leprosy Hospital in Lalitpur. Anandaban is the largest Leprosy Hospital in Nepal, with 100 beds for leprosy patients and a further 25 for general admissions.
After the promulgation of the new federal constitution, Nepal will enter into a new era. “There is the need to change the pattern of working as we need to reach out to all stakeholders. Realizing the need of the changed atmosphere, we have developed a communications strategy to reach to the people through the media,” said Phanindra Adhikari, former chairperson of AIN.
Over the years, INGOs have played a crucial role as key stakeholders and partners in the development of Nepal. “We would like to continue to engage with the government, donors, various other sectors of the civil society, NGOs and poor and excluded people on development issues.”
World Development Report 2012 Shows Advances
The World Development Report 2012: Gender Equality and Development details big advances in narrowing gender gaps but shows that inequalities still persist in many areas. The report notes that development has closed gender gaps mainly in educational enrollment, life expectancy and labor force participation.
According to the report, gender gap in primary school has been closed in all the countries. Girls now outnumber boys in secondary schools in 45 countries. Similarly, since 1980, women are living longer than men in all parts of the world. And, in low-income countries, women now live 20 years longer on average than they did in 1960. Likewise, over half a billion women have joined the world’s labor force over the last 30 years as women’s participation in paid work has risen in most of the developing world.
“We need to achieve gender equality,” said World Bank Group President Robert B. Zoellick.
“Blocking women and girls from getting the skills and earnings to succeed in a globalized world is not only wrong, but also economically harmful,” said Justin Yifu Lin, World Bank Chief Economist and Senior Vice-President, Development Economics. “Sharing the fruits of growth and globalization equally between men and women is essential to meeting key development goals.”
“Focused domestic public policies remain the key to bringing about gender equality,” said Ana Revenga, WDR Co-Director. “And to be effective, these policies will need to address the root causes of gender gaps. For some problems, as with high maternal mortality, this will require strengthening the institutions that deliver services.
“Development partners can support domestic policies in many ways — more funding, greater innovation and better partnerships,” said Sudhir Shetty, WDR Co-Director. “Additional financing for clean water and sanitation and maternal services, for instance, will help the poorest countries.”
On August 24, 1991 Ukraine emerged on the world map as an independent nation, followed by swift international recognition from more than 170 countries. Within the next 5-10 years Ukraine established diplomatic relations with 115 countries and opened 119 diplomatic missions abroad. At the same time, 102 foreign diplomatic missions were established in Ukraine.
Since then the country has undergone complex transformation asserting itself as a democracy. 21 priority economic and social reforms are underway or being launched, with focus on improving administrative, judicial, military, pension, education, financial, health care and the law enforcement systems.
Despite the fact that today’s Ukraine may be considered as a young state, its history is rooted in ancient and glorious past. Trough many centuries its strategic geographic location allowed Ukraine to play an important role in Eurasian migrations and trade. In this regard ancient Trypillya and Scythian cultures should be mentioned as well as empire of Kyivan Rus. During the Rus times Kyiv monarchs established strong dynastic ties with European royal houses, with famous Anna of Kyiv, daughter of Yaroslav the Wise, known as the Queen of France.
From the 15th century AD the Cossacks’ Sich republic became legendary around Europe for its military heroism, brotherhood and adherence to freedom and self-reliance. In 1918-1920 Ukrainians liberated themselves from subordination to Russian and Austro-Hungarian empires, but fell victim to the Communist regime. Millions in Ukraine were killed during the years of Communist terror, repressions and artificial famines aimed to suppress national aspirations. In the heroic pursuit to defeat fascism during World War II, Ukrainians paid a toll of 7 millions of lives, striving to defeat fascism.
But the history was not blind to the sufferings of the nation and in 1991 it peacefully embraced its historic chance for independence. Ukraine began a new life, having strong growth potential inherited from the dissolution of the Soviet Union. The young country experienced internal transformation and subsequent integration into the global economy, bounding its development to a key priority of Ukraine’s foreign economic strategy. The DCFTA would enable Ukraine’s economic integration into the Common European Market, providing mutual market access based on the free movement of goods, services, labor and capital.
Relations with the Russian Federation are also among the strategic priorities of Ukraine. Both countries possess significant potential for deepening mutually beneficial cooperation in transport, aerospace industry, energy and many other economic sectors, as well for strengthening their cultural ties. Relations between Ukraine and the USA are aimed at promoting democracy, reforms and investments. Political dialogue with the USA on security issues, fighting against terrorism, conflict resolution is also very important.
Ukraine is a member of the World Trade Organization and is committed to deepening international economic partnership and cooperation, with BRICS countries being among the most important.
The chairmanship of the OSCE in 2013 is yet another opportunity for the country to promote stability at the continent. Kyiv is also looking forward to the UN Security Council membership in 2016-2017 (Ukraine was a UNSC member in 2000-2001, Ukrainian representative chaired at 52nd session of the UN General Assembly). Ukraine’s position as an important contributor to international security is world renowned. The country made a unique decision to dismantle its nuclear weapon arsenal, which was world 3rd biggest, while remaining committed to non-proliferation and nuclear disarmament. UN peacekeeping operations are another realm of sustained Ukrainian participation.
Next year Ukraine together with Poland will host the European Football Championship 2012.
Message of H.E. Mr. Oleksandr Shevchenko
Ambassador Designated of Ukraine to the Republic of Nepal
Ukraine is a non-aligned country with no membership in any military political alliance. However, the country supports efforts to develop a European system of collective security and continues intensive dialogue with NATO.
Its favorable geographic location, abundant natural resources, and qualified workforce are the most promising factors for Ukraine's economy.
The abundance of mineral resources and fertile soil provides a strong impetus to the development of metallurgy, the agriculture and chemical industry - Ukraine's three core export branches. The country has developed aero-space and shipbuilding industries. It is the homeland to the world's largest aircraft, the AN-225 "Mriya" and the popular transport aircraft, the AN-124 "Ruslan".
Ukraine also possesses 60% of the world's black soil, the best soil for agriculture. Thus, being historically a "bread-basket" of Europe, the country has outmost significance for future global food security. Ukrainians pin great hopes on a full-fledged land market, expected to be developed in the near future.
Ukraine is also on par with Western European countries with respect to the share of people with a higher education. Together with 46 other countries, Ukraine is implementing the Bologna reforms, making a transition to a three-cycle system of higher education and integrating into the global academic scene.
Over the years of independence, foreign investors brought more than US $40 billion into Ukraine. Globally recognized transnational companies now operate in every branch of Ukraine's economy, among them, Indian Mittal Steel in metallurgy.
The tourism business holds great potential. As Ukraine is one of Europe's largest territories, tourists can find activities and leisure to match their tastes – beaches of Black and Azov seas, Crimean and Carpathian mountains, preservation areas, including Europe's only desert, Oleshkivski Sands, gothic spikes of the catholic cathedrals in Lviv and the golden domes of the Eastern Orthodox churches in Kyiv. The beauty of nature is harmonically complemented with heritage palaces, parks and country estates, old towns and modern architecture.
Jazz Koktebel, "Kraina Mriy" and many others. Ukraine has a rich and original culture with unique ethnic roots and cultural life. The country regularly hosts the Vladimir Horowitz Piano Competition, Serge Lifar International Ballet Competition, the world music festivals.
Ukrainians are a nation of friendly and tolerant people. Ukraine is home to more than 130 ethnicities with different cultural and religious backgrounds living together in harmony. The stability of interethnic relations without confrontation on a national basis is a remarkable phenomenon, especially in the light of its painful history and current global tensions.
An estimate of 10 to 15 millions of Ukrainians live outside national boundaries, with foreign diaspora comprising ¼ of the nation. The majority of Ukrainians live in Russia, Kazakhstan, USA and Canada, being respected for have experiences in many areas, the Government and people of Ukraine are ready to extend their hands of cooperation for the development of Nepal.
Undoubtedly, the cooperation between our countries must be based on firm legal foundation. Therefore, there is a clear need to work out and expand our legal and treaty base. Interparliamentary links should also make an important contribution to further development of bilateral relations.
We are looking forward to maintain regular contacts between the Foreign offices of Ukraine and Nepal as well as to start political dialog at the highest level.
In the context of promotion of Ukrainian-Nepali relations, I would like to appreciate the personal contribution of Mr. Kiran Vaidya, Honorary Consul of Ukraine in Nepal, to the development of beneficial ties between our countries and peoples.
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Diabetic Complications
By BUDDHA BASNYAT, MD
In South Asia diabetes is becoming the new scourge. The incidence of diabetes is indeed increasing worldwide, but it will have a greater impact in this region because of a lack of facilities and health insurance that is generally prevalent in South Asia. Diabetes is not a stand-alone disease because it affects all the other organs in the body. With infectious diseases, you can take effective drugs for usually a finite period of time and you may be cured of the disease. For example from typhoid to tuberculosis (both very common diseases in South Asia), antibiotics if taken for a certain period of time will do the job. Unfortunately with metabolic diseases like diabetes, the problems linger on and treatment with close monitoring needs to continue for the rest of one's life.
Diabetes Mellitus manifests as increased blood sugar in the patient, and it is so rampant in Nepal that even "nuances" in the treatment have become important. Some years ago a robust trial (United Kingdom Prospective Diabetes Study, UKPDS) in over 5000 diabetic patients revealed that with "tight" blood glucose control, eye problems, kidney problems, and nerve problems were significantly decreased. The study population was Type 2 diabetics just like the vast majority of diabetics seen in Nepal, who are affected by the disease (not early but later in their lives).
As we are increasingly starting to find out in Nepal, uncontrolled diabetes more commonly requires dialysis due to kidney failure, eye surgery for retinal hemorrhages, and even amputations for nerve and vasculature-related problems. In other words, conscientiously controlling blood sugar leads to fewer complications of the kidneys, eyes, and nerves. In medical parlance these are called "microvascular" complications. Unfortunately in medicine what may seem to be an obvious cause (high blood sugar) and effect (complications) does not always pan out.
Indeed, as revealed in the same strokes and heart attacks independent of their blood glucose control.
The "take home message" for diabetics is that it is important to keep both the blood pressure and blood glucose under proper control so that the important organs (including the heart, brain, eyes, kidneys) that diabetes affects are protected. Furthermore, unlike high blood sugar in a patient which usually manifests with excessive urination, thirst, and hunger, high blood pressure may essentially have no symptoms to start with until there is that catastrophic stroke or heart attack. The prevention of both diabetes and hypertension with "way of life" changes also needs to be emphasized.
Finally, also important for the diabetic are periodic eye exams to make sure that vision is not compromised as diabetes causes haemorrhages (bleeding) and other problems in the eye.
Hypertension or high blood pressure usually goes hand in hand with diabetes. Hypertension is an important risk factor for both heart attacks and strokes.
UKPDS trial showed that the tighter control of blood sugar did not do was decrease "macrovascular" complications in other important organs that diabetes has a serious impact on, namely the heart and the brain. So, despite a good control of blood sugar, the rates of heart attacks and strokes in these patients did not improve, although there was a decrease in kidney and eye problems. However, there was a silver lining in the study.
Hypertension or high blood pressure usually goes hand in hand with diabetes. Hypertension is an important risk factor for both heart attacks and strokes. So, those diabetics in the study who had proper control of blood pressure clearly had fewer
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Putting Auction Theory to Work:
The Simultaneous Ascending Auction
Paul Milgrom
Stanford University
I review the uses of economic theory in the initial design and later improvement of the “simultaneous ascending auction,” which was developed initially for the sale of radio spectrum licenses in the United States. I analyze some capabilities and limitations of the auction, the roles of various detailed rules, the possibilities for introducing combinatorial bidding, and some considerations in adapting the auction for sales in which revenue, rather than efficiency, is the primary goal.
I. Introduction
The “simultaneous ascending auction” was first introduced in 1994 to sell licenses to use bands of radio spectrum in the United States. Much of the attention devoted to the auction came from its role in reducing federal regulation of the radio spectrum and allowing market values, rather than administrative fiat, to determine who would use the spectrum resource. Many observers were also fascinated by the then-novel use of weblike interfaces for bidders. The large amounts of money involved were yet another source of interest. The very first use of the auction rules was a $617 million sale of 10 paging licenses in July 1994. In the broadband personal communications services (PCS) auction, which began in December 1994, 99 licenses were sold for a total price of approximately $7 billion. Once the auctions had been conducted, it became much harder to ignore the tremendous value of the large amounts of spectrum allocated to uses.
My thanks go to Peter Cramton, Paul Klemperer, Yoav Shoham, and Padmanabhan Srinagesh, as well as seminar participants at Stanford, the University of Pittsburgh, and Yale for comments on an earlier draft.
[Journal of Political Economy, 2000, vol. 108, no. 2]
© 2000 by The University of Chicago. All rights reserved. 0022-3808/2000/10802-0007$02.50
such as high-definition television, for which Congress had demanded no compensation at all. Moreover, the perceived successes with the new rules inspired imitators to conduct similar spectrum auctions in various countries around the world and to recommend similar auctions for other applications.
Among academic economists, attention was also piqued because the auction design made detailed use of the ideas of economic theory and the recommendations of economic theorists. Indeed, the U.S. communications regulator adopted nearly all its important rules\(^1\) from two detailed proposals for a simultaneous ascending auction: one by Preston McAfee and the other by Robert Wilson and me. Economic analysis dictated nearly all the rule choices in the first few auctions. Various reviews suggest that the new auction design realized at least some of the theoretical advantages that had been claimed for it.\(^2\)
Several parts of economic theory proved helpful in designing the rules for the simultaneous ascending auction and in thinking about how the design might be improved and adapted for new applications. After briefly reviewing the major rules of the auction in Section II, I turn in Section III to an analysis based on *tatonnement* theory, which regards the auction as a mechanism for discovering an efficient allocation and its supporting prices. The analysis reveals a fundamental difference between situations in which the licenses are mutual substitutes and others in which the same licenses are sometimes substitutes and sometimes complements. When the licenses are mutual substitutes for all bidders, not only is it true that equilibrium prices exist, but straightforward, “myopic” bidding in the auction leads bidders to prices and an allocation that are close to competitive equilibrium. This happens even though, in contrast to traditional *tatonnement* processes, prices in the auction process can never fall and can rise only by fixed increments. However, if even one bidder has demand in which licenses are not mutual substitutes, then there is a profile of demands for the other bidders, all of which specify that licenses are mutual substitutes, such that no competitive equilibrium prices exist. There is an inherent limitation in the very conception of the auction as a process for discovering a competitive allocation and competitive prices in that case.
Section IV is a selective account of some applications of game theory to evaluating the design of the simultaneous ascending auction for spectrum sales. Game-theoretic arguments were among those
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\(^1\) The sole exceptions were the financing rules, which were devised to encourage participation in the auctions by financially weak smaller businesses and those owned by women and minorities.
\(^2\) See Cramton (1995), Milgrom (1995), and McAfee and McMillan (1996) for accounts of the auction and the run-up to it.
that convinced regulators to adopt my suggestion of an “activity rule,” which helps ensure that auctions end in a reasonable amount of time. Game theory also provided the decisive argument against the first “combinatorial bidding” proposals and has also been employed to evaluate various other suggested rule changes.
Results like those reported in Section III have led to renewed interest in auctions in which bids for license packages are permitted. In Section V, I use game theory to analyze the biases in a leading proposal for dynamic combinatorial bidding. Section VI briefly answers two additional questions that economists often ask about auction design: If trading of licenses after the auction is allowed, why does the auction form matter at all for promoting efficient license assignments? If the number of licenses to be sold is held fixed, how sharp is the conflict between the objectives of assigning licenses efficiently and obtaining maximum revenue? Section VII presents a conclusion.
II. Simultaneous Ascending Auction Rules in Brief
A simultaneous ascending auction is an auction for multiple items in which bidding occurs in rounds. At each round, bidders simultaneously make sealed bids for any items in which they are interested. After the bidding, round results are posted. For each item, these results consist of the identities of the new bids and bidders\(^3\) as well as the “standing high bid” and the corresponding bidder. The initial standing high bid for each item is given (it may be zero), and the “corresponding bidder” is the auctioneer. As the auction progresses, the new standing high bid at the end of a round for an item is the larger of the previous standing high bid or the highest new bid, and the corresponding bidder is the one who made that bid. In addition to the round results, the minimum bids for the next round are also posted. These bids are computed from the “standing high bid” by adding a predetermined bid increment. For spectrum licenses, the increments are typically the larger of some fixed amount or a fixed percentage of the standing high bid.\(^4\)
A bid represents a real commitment of resources by the bidder. In the most common version of the rules, a bidder is permitted to
---
\(^3\) The first trial of the simultaneous ascending auction did not include announcements of bidder identities, but the larger bidders were often able to infer identities anyway, leading to a change in the rules to remove that advantage. The practice of identifying the bidders continues to be controversial.
\(^4\) In the spectrum auctions, the percentage has usually been 5 percent or 10 percent (and in recent auctions has been dependent on the level of bidding in the auction). The appropriate size of the increment has also been subjected to economic analysis that takes into account the cost of adding rounds to the auction and the extent and type of the uncertainty about bidder values.
withdraw bids, but there is a penalty for doing so: if the selling price of the item is less than the withdrawn bid, the withdrawing bidder must pay the difference. In other applications, bid withdrawals are simply not permitted.
A bidder’s eligibility to make new bids during the auction is controlled by the “activity rule.” Formally, the rule is based on a “quantity” index, such as spectrum bandwidth or population covered by a license, that roughly corresponds to the value of the license. During the auction, a bidder may not have active bids on licenses that exceed its *eligibility*, measured in terms of the index.
At the outset of the auction, each bidder establishes its *initial eligibility* for bidding by making deposits covering the quantity of spectrum for which it wishes to be eligible. During the auction, a bidder is considered *active* for a license at a round if it makes an eligible new bid for the license or if it owns the standing high bid from the previous round. At each round, a bidder’s activity is constrained not to exceed its eligibility. If a bid is submitted that exceeds the bidder’s eligibility, the bid is simply rejected.
The auction is conducted in a sequence of three stages, each consisting of multiple rounds. The auction begins in stage 1, and the administrator advances the auction to stage 2 and later to stage 3 when there are two or more consecutive rounds with little new bidding. In each round during stage $j$, a bidder that wishes to maintain its eligibility must be active on licenses covering a fraction $f_j$ of its eligibility. If a bidder with eligibility $x$ is active on a license quantity $y < f_j x$ during stage $j$, then its eligibility is reduced at the next round to $y/f_j$.
The activity rules have two functions. First, they create pressure on bidders to bid actively, which increases the pace of the auction. Second, they increase the information available to bidders during the auction, particularly late in the auction. For example, in stage 3, bidders know that the remaining eligible demand for licenses at the current prices is just $1/f_3$ times the current activity level, which can be rather informative when $f_3$ is close to one.
The auction also provides five “waivers” of the activity rule for each bidder, which can be used at any time during the auction, that allow the bidder to avoid reduction in its eligibility in a given round. The waivers were included to prevent errors in the bid submission process from causing unintended reductions in a bidder’s eligibility, but they also have some strategic uses.
---
5 In the 1998 auction of licenses to spectrum in the 220 MHz range, the fractions used were $(f_1, f_2, f_3) = (.8, .90, .98)$.
6 See Cramton (1997) for evidence on the informational content of bids.
There are several different options for rules to close the bidding that were filed with the regulator. One proposal, made by Preston McAfee, specified that when a license had received no new bids for a fixed number of rounds, bidding on that license would close. That proposal was coupled with a suggestion that the bid increments for licenses should reflect the bidding activity on a license. A second proposal, made by Robert Wilson and me, specified that bidding on all licenses should close simultaneously when there is no new bidding on any license. To date, the latter rule is the only one that has been used.\footnote{The activity rule and the closing rule make this auction perform very differently from the otherwise similar “silent auction” commonly used in charity sales. In a silent auction, the items being sold are typically set on tables in a room and bidders walk around the room, entering their bids and bidder identification on a paper sheet in front of the items. Bidding closes at a predetermined time. It is a common experience that bidders in silent auctions often delay placing their bids until the final moment, completing their entry on the paper just as the bidding closes. With its closing and activity rules, the simultaneous ascending auction eliminates both the “final moment” that bidders exploit in silent auctions and also bidders’ ability to wait until late in the auction before making any serious bids.}
When the auction closes, the licenses are sold at prices equal to the standing high bids to the corresponding bidders. The rules that govern deposits, payment terms, and so on are quite important to the success of the auction,\footnote{Failure to establish these rules properly led to billions of dollars of bidder defaults in the U.S. “C-block auction.” Similar problems on a smaller scale occurred in some Australian spectrum auctions.} but they are mostly separable from the other auction rule issues and receive no further comment here.
\section*{III. Auctions and Tatonnement Theory}
The simultaneous ascending auction is a process that, on its surface, bears a strong resemblance to the \textit{tatonnement} process of classical economics. Like the \textit{tatonnement} process, the objective of the auction is to identify allocations (which the spectrum regulators call “assignments”) and supporting prices to approximate economic efficiency. Yet there are differences as well. First, bids in the auction represent real commitments of resources, and not tentatively proposed trades. Consequently, bidders are reluctant to commit themselves to purchases that may become unattractive when the prices of related licenses change. Second, in the auction, prices can never decrease. That is an important limitation because the ability of prices to adjust both upward and downward is a fundamental requirement in theoretical analyses of the \textit{tatonnement}. Third, in the initial version of the simultaneous ascending auction, the bidders themselves name the prices. That contrasts with the Walrasian \textit{tatonnement}, in which some
fictitious auctioneer names the prices. Other differences arise from the nature of the application. The licenses sold in the auction are indivisible. This fact means that the set of allocations cannot be convex, so the usual theorems about the existence of competitive equilibrium do not apply. My analysis focuses on all these issues: the risk that bidders take when they commit resources in early rounds of the auction, the existence of competitive equilibrium, and whether the simultaneous auction process in which prices increase monotonically can converge to the equilibrium.
Let $L = \{1, \ldots, L\}$ be the set of *indivisible* licenses to be offered for sale. Denote a typical subset of $L$ by $S$. In describing license demand, I also use $S$ to represent the vector $1_S$.
Assume that a typical bidder $i$ who acquires the set of licenses $S$ and pays an amount of money $m$ for the privilege enjoys utility of $v_i(S) - m$. Given a vector of prices $\mathbf{p} \in \mathbb{R}_+^L$, $\mathbf{p} \cdot S$ denotes the total price of the licenses composing $S$. The demand correspondence for $i$ is defined by $D_i(\mathbf{p}) = \arg\max_S \{v_i(S) - \mathbf{p} \cdot S\}$. Assume that there is *free disposal*, so $S \subset S'$ implies that $v_i(S) \leq v_i(S')$. I sometimes omit the subscript from demand functions, relying on the context to make the meaning clear.
During an auction, it often happens that a bidder is the high bidder on a subset of the licenses it would wish to acquire at the current bid prices. To describe such situations, I introduce the following definition: An individual bidder demands the set of licenses $T$ at price vector $\mathbf{p}$, written $T \in X(\mathbf{p})$, if there exists $S \in D(\mathbf{p})$ such that $S \supset T$.
The usual definition of substitutes needs to be generalized slightly to deal with the case of demand correspondences. The idea is still the same, though: raising the prices of licenses not in any set $S$ cannot reduce the demand for licenses in the set $S$.
**Definition.** Licenses are *mutual substitutes* if for every pair of price vectors $\mathbf{p}' \geq \mathbf{p}$, $S \in X(\mathbf{p})$ implies that $S \in (X(p_s, p'_{l \setminus S}))$.
After any round of bidding, the minimum bids for the next round are given by the rule described in Section II. If the standing high bids at a round are given by the vector $\mathbf{p} \in \mathbb{R}_+^L$, then the minimum bid at the next round for the $l$th license is $p_l + \epsilon \max(p_l, \hat{p}_l)$ for some $\epsilon > 0$. The vector of minimum bids is then $\mathbf{p} + \epsilon (\mathbf{p} \vee \hat{\mathbf{p}})$, where $\hat{\mathbf{p}} \in \mathbb{R}_+^L$ is a parameter of the auction design, and the “join” $\mathbf{p} \vee \hat{\mathbf{p}}$ denotes the price vector that is the component-wise maximum of $\mathbf{p}$ and $\hat{\mathbf{p}}$.
During a simultaneous ascending auction, the minimum bid increment drives a wedge between the prices faced by different individual bidders. To analyze the progress of the auction, it is useful to
define the *personalized* price vector $p^j$ facing bidder $j$ at the end of a round to be $p^j = (p_{S_j}, (p + \epsilon(p \lor \hat{p}))_{i \in S_j})$. That is, $j$’s prices for the licenses $S_j$ that it has been assigned are $j$’s own standing high bids, but its prices for the other licenses are the standing high bids plus the minimum bid increment. This reflects the fact that under the rules of the auction, $j$ can no longer purchase those other licenses at their current standing high bids.
My analysis of the *tatonnement* process consists of a study of what happens to bidder $j$ when it (possibly) alone bids in a “straightforward” (nonstrategic) manner, and what happens when all bidders bid in a straightforward manner. When I say that $j$ bids “straightforwardly,” I mean that if, at the end of some round $n$, bidder $j$ demands the licenses assigned to it (formally, if $S_j \in X_j(p^n)$), then $j$ makes the minimum bid at round $n + 1$ on a maximal set of licenses $T$ such that $S_j \cup T \subset D_j(p^n)$. Of course, bidders that wish to acquire multiple licenses commonly have an incentive to withhold some of their demand in order to reduce prices.\footnote{Ausubel and Cramton (1996) argue that an incentive of this sort is unavoidable in a wide class of auctions, including all those that establish uniform prices for identical objects.} Consequently, the part of the analysis employing straightforward bidding must be understood as only a partial analysis, which ignores strategic incentives to highlight important nonstrategic properties of the auction design.
Intuitively, whenever the auction allows, the straightforward bidder bids to acquire the set of licenses that it demands at its personalized prices. Notice that the antecedent condition is automatically satisfied at the beginning of the auction because no bidder has yet been assigned any licenses.
Straightforward bidding often leads to ties at some rounds of the auctions. For the analysis of this section, any tie-breaking rule that selects a winner from among the high bidders will work.
My first theorem says that if $j$ bids straightforwardly from the beginning of the auction and if licenses are mutual substitutes for $j$, then the antecedent condition for straightforward bidding continues to be satisfied round after round.
**Theorem 1.** Assume that all the licenses are mutual substitutes for bidder $j$. Suppose that, at the end of round $n$, bidder $j$’s assignment $S_j \in X_j(p^n)$. If, at round $n + 1$, bidder $j$ bids straightforwardly, then, regardless of the bids made by others, $j$’s assignment $S'_j$ at the end of round $n + 1$ satisfies $S'_j \in X_j(p'^n)$, where $p'^n$ is $j$’s personalized price at the end of round $n + 1$. Moreover, $j$’s tentative profit after any round—what it would earn if the auction were terminated after
that round at the then-current prices and allocation—is always nonnegative.
**Proof.** Let $T$ be the set of licenses on which $j$ bids at round $n + 1$. Then, by the rules of the auction, $S'_j \subseteq S_j \cup T$. Also, by the hypothesis of straightforward bidding, $S_j \cup T \in D_j(p^j)$. So, by definition, $S'_j \in X_j(p^j)$.
The rules also imply that $j$’s personalized prices $p^{j'}$ for the licenses in $S'_j$ coincide with the prices of those licenses according to $p^j$. Moreover, $j$’s personalized prices cannot fall from round to round: $p^{j'} \geq p^j$. Hence, by the definition of mutual substitutes, $S'_j \in X_j(p^{j'})$.
Finally, $j$’s tentative payoff after any round is independent of the prices of items outside the set $S_j$. Hence, without affecting $j$’s payoff, we may replace those other prices by prices $p'$ so high that $j$ would prefer not to acquire any of those other items at these prices. By mutual substitutes, $S_j \in X_j(p^j_S, p'_{L,S_j})$, and hence $S_j \in D_j(p^j_S, p'_{L,S_j})$. This implies that $j$’s tentative profits are indeed nonnegative. Q.E.D.
The next issue is what happens when all bidders bid in a straightforward way. Theorem 2 provides an answer.
**Theorem 2.** Assume that the licenses are mutual substitutes for all bidders and that all bidders bid straightforwardly. Then the auction ends with no new bids after a finite number of rounds. Let $(p^*, S^*)$ be the final standing high bids and license assignment. Then $(p^*, S^*)$ is a competitive equilibrium for the economy with modified valuation functions defined by $\hat{v}_j(T) = v_j(T) - \epsilon(p \lor \hat{p}) \cdot (TS^*_j)$ for each bidder $j$. The final assignment maximizes total value to within a single bid increment:
$$\max_{\{S_j\}} \sum_j v_i(S_j) - \sum_j v_j(S^*_j) \leq \epsilon(p^* \lor \hat{p}) \cdot L.$$
**Proof.** In view of theorem 1, at the end of every round, every bidder’s tentative profit is positive. This implies that the total price of the licenses assigned to the bidders after any round of the auction is bounded above by the maximum total value of the licenses. Given the positive lower bounds on the bid increments, it follows that the auction ends after a finite number of rounds.
By construction, bidder $j$’s demand at the final price vector $p^*$ with $j$’s modified valuation is the same as its demand at the corresponding personalized price vector $p^j$ for the original valuation. Since there are no new bids by $j$ at the final round, we may conclude from the condition of straightforward bidding and theorem 1 that $S^*_j \in \hat{D}(p^*)$. Since this holds for all $j$, $(p^*, S^*)$ is a competitive equilibrium with the modified valuations.
For the second statement of the theorem, we can make the following calculation:
\[
\max_S \sum_j v_j(S_j) = \max_S \sum_j [\hat{v}_j(S_j) + \epsilon(p^* \lor \hat{p}) \cdot (S_j \setminus S_j^*)]
\]
\[
\leq \max_S \sum_j [\hat{v}_j(S_j) + \epsilon(p^* \lor \hat{p}) \cdot S_j]
\]
\[
= \max_S \sum_j \hat{v}_j(S_j) + \epsilon(p^* \lor \hat{p}) \cdot L
\]
\[
= \sum_j \hat{v}_j(S_j^*) + \epsilon(p^* \lor \hat{p}) \cdot L
\]
\[
= \sum_j v_j(S_j^*) + \epsilon(p^* \lor \hat{p}) \cdot L.
\]
The first equality follows from the definition of the modified valuations, the inequality from the restriction that all prices are nonnegative, and the following equality from the fact that $S$ partitions $L$. The fourth step follows from the already proven fact that $(p^*, S^*)$ is a competitive equilibrium for the modified valuations combined with the first welfare theorem and the fact that, with quasi-linear payoffs, a license assignment is efficient if and only if it maximizes the total value to all the bidders. Finally, the last equality follows by the definition of $\hat{v}_j(\cdot)$, which coincides with $v_j(\cdot)$ when evaluated at $S_j^*$. Q.E.D.
If the coefficient $\epsilon$ varies during the auction, then the most relevant values of $\epsilon$ for this analysis are ones that apply when bidders are last eligible to make new bids, which is normally near the end of the auction. (The activity rule is what makes this statement inexact.) This suggests that very high levels of *tatonnement* efficiency might be obtained by using small increments near the end of the auction. It was with this in mind that the Milgrom-Wilson rules originally adopted in the United States by the Federal Communications Commission (FCC) called for using smaller minimum bid increments in the final stage of the auction.\(^{10}\)
The final questions in this section are, What relation does the auction outcome have to the competitive equilibrium outcome? Does a competitive equilibrium even exist in this setting with indivisible licenses? Theorem 3 provides answers.
**Theorem 3.** Suppose that the licenses are mutual substitutes in
\(^{10}\) That rule was later changed for reasons of transaction costs: smaller increments late in the auction led to large numbers of costly rounds with relatively little bidding activity.
demand for every bidder. Then a competitive equilibrium exists. For $\epsilon$ sufficiently small, the final license assignment $S^*(\epsilon)$ is a competitive equilibrium assignment.\footnote{Milgrom and Roberts (1991) show the existence of a competitive equilibrium with mutual substitutes using a lattice-theoretic argument that does not require all goods to be divisible. They proceed to show that a wide variety of discrete and continuous “adaptive” and “sophisticated” price adjustment processes converge to the competitive equilibrium price vector. Unlike the present analysis, however, their analysis assumes that demand is given by a function, rather than by a correspondence, and they do not address the monotonicity of the auction process. Kelso and Crawford (1982) obtain results analogous to theorems 1 and 3 in a model of job matching. Gul and Stacchetti (1997) characterize utility functions that display “no complementarities,” which is an alternative formulation of the idea of mutual substitutes. They also introduce a new auction process in which an auctioneer announces price vectors $p$ and the bidders report their corresponding sets of demands $D_j(p)$. The auctioneer uses the reported information to control a continuous process of price increases. For the case of no complementarities in bidder utility, they demonstrate that their new auction process converges monotonically up to a competitive equilibrium.}
Proof. Let $\epsilon_n \to 0$ and let $S^*(\epsilon_n)$ and $p^*(\epsilon_n)$ be corresponding sequences of final license assignments and prices. Since there are only finitely many possible license assignments, some assignment $S^{**}$ must occur infinitely often along the sequence. Also, each license price is bounded above by the maximum value of a license package. So there exists a subsequence $n(k)$ along which $S^*(\epsilon_{n(k)}) = S^{**}$ and such that $p^*(n(k))$ converges to some $p^{**}$. By theorem 2, for all $k$, $S^{**}_j \in D_j(p^*(n(k)), \epsilon_{n(k)})$, where the second argument of $D_j$ identifies the relevant perturbed preferences. By the standard closed graph property of the demand correspondence, $S^{**}_j \in D_j(p^{**})$, so $(S^{**}, p^{**})$ is a competitive equilibrium. Q.E.D.
Intuitively, because the number of possible allocations is finite, a value-maximizing allocation generates a greater total value than the best nonmaximizing allocation by some amount $\delta > 0$. If the bid increment $\epsilon$ is sufficiently much smaller than $\delta$, then, according to theorem 2, only an efficient allocation can result from straightforward bidding. The auction prices that support that allocation approximate the competitive equilibrium prices.
Thus, when all licenses are mutual substitutes for all bidders, the simultaneous ascending auction with straightforward bidding is an effective \textit{tatonnement}. First, a bidder that bids straightforwardly during the auction is “safe”: it is sure to acquire a set of licenses that is nearly optimal relative to its valuation and the final license prices, and it never risks actually losing money. If every bidder bids straightforwardly, then the auction eventually ends with an assignment that approximately maximizes the total value. Indeed, if the bid increment is small, then the final assignment exactly maximizes the total
value and is a competitive equilibrium assignment. The final bids “approximately support” the solution, in the sense that they are close to the personalized prices that support the solution for each bidder. A number proportional to the bid increment bounds the error in each of these approximations.
The first three theorems were developed only for the case of licenses that are mutual substitutes. In practice, the status of spectrum licenses as substitutes or complements may often depend on how the licenses are defined. For example, in the DCS-1800 spectrum auction conducted in the Netherlands in February 1998, some of the offered licenses permitted use of only very small amounts of bandwidth relative to the efficient scale. A bidder that sought to establish an efficiently scaled mobile wireless telephone system would find that the value of, say, two small licenses is more than two times the value of a single license. Formally, that scale economy creates a complementarity among licenses: the value of a pair of licenses is more than the sum of the individual values. A similar complementarity from economies of scale and scope would be created by recent proposals in Australia to establish licenses covering small geographic areas with small amounts of bandwidth.
While there may be positive results available for some environments in which some of the goods are complements, my next result establishes a sharp limit. It shows that introducing into the previous model a single bidder for which licenses are not mutual substitutes leads to drastic changes in the conclusions.
**Theorem 4.** Suppose that the set of possible individual valuation functions includes all the ones for which licenses are mutual substitutes in individual demand. Suppose that, in addition, the set includes at least one other valuation function. Then if there are at least three bidders, there is a profile of possible individual valuation functions such that no competitive equilibrium exists.
Intuition for theorem 4 is given in a two-license, two-bidder example, summarized in table 1. In the table, the licenses are denoted by A and B and the bidders by 1 and 2. Bidder 1 is the bidder for which licenses are not substitutes. This requires that the value of the pair AB exceed the sum of the individual values, that is, $c > 0$. Now let us introduce another bidder for which the same two licenses are
| | A | B | AB |
|-------|-------|-------|-------|
| 1 | $a$ | $b$ | $a + b + c$ |
| 2 | $a + d$ | $b + d$ | $a + b + d$ |
substitutes. Let us take \( c/2 < d < c \). In this case, the unique value-maximizing license allocation is for bidder 1 to acquire both licenses. In order to arrange for bidder 2 not to demand licenses, the prices must be \( p_A \geq a + d \) and \( p_B \geq b + d \), but at these prices bidder 1 is unwilling to buy the licenses. Consequently, there exist no equilibrium prices.
**Proof of theorem 4.** Suppose that there is a bidder in the auction with valuation function \( v \) for which licenses are not mutual substitutes. Then there is some price vector \( p \), real number \( \epsilon > 0 \), and licenses \( j \) and \( k \) such that \( \{j, k\} \in X(p) \), but \( j \not\in X(p \setminus (p_j + \epsilon)) \) and \( k \not\in X(p \setminus (p_k + \epsilon)) \). For this bidder, define an indirect valuation function \( w \) on the set of licenses \( \{j, k\} \) by
\[
w(S) = \max_{T \subset L \setminus \{j, k\}} v(T \cup S) - p \cdot T.
\]
The bidder’s demand for licenses in the set \( \{j, k\} \) given the established prices \( p_{L \setminus \{j, k\}} \) for the licenses besides \( j \) and \( k \) is determined by \( w \). Set \( a = w(j) \), \( b = w(k) \), and \( c = w(jk) - a - b \). From our assumptions about the bidder’s demand, it follows that \( c > 0 \) and that \( p_j + p_k < a + b + c < p_j + p_k + \epsilon \). Let us now introduce two new bidders whose values are given by the following valuation function:
\[
\hat{v}(S) = p(S \setminus \{j, k\}) + (a + d)1_{j \in S} + (b + d)1_{k \in S} - d1_{j \in S, k \in S},
\]
where \( c/2 < d < c \). For the new bidders, the various licenses are mutual substitutes. (Indeed, the bidders’ demands for each license in \( L \setminus \{j, k\} \) are independent of all prices except the license’s own price. For the two licenses \( j \) and \( k \), the verification is routine.) By construction, the competitive equilibrium prices, if they exist, of licenses in \( L \setminus \{j, k\} \) are given by \( p_{-jk} \). But then the problem of finding market-clearing prices for \( j \) and \( k \) is reduced to the example analyzed above, in which nonexistence of equilibrium prices has already been established. Q.E.D.
This nonexistence is related as well to a problem sometimes called the “exposure problem” that is faced by participants in a simultaneous ascending auction. This refers to the phenomenon that a bidder that bids straightforwardly according to its demand schedule is exposed to the possibility that it may wind up winning a collection of licenses that it does not want at the prices it has bid, because the complementary licenses have become too expensive. If the bidders in the example in the table were to adopt only undominated strategies in every subgame of the simultaneous ascending auction game, then it is not possible that at the end of the auction bidder 1 will acquire both licenses unless the prices are at least \( a + d \) and \( b + d \) minus one increment. The reason is that bidder 2 always does at
least as well (and could do better) in that subgame of the auction by placing one more bid. Whenever bidder 1 wins both licenses, it loses money, and at equilibrium it will anticipate that. To avoid “exposure” completely, bidder 1 must bid no more than $a$ for license A and no more than $b$ for license B. If it does so, then the outcome will be inefficient and the prices, $a$ and $b$, will not reflect any of the potential “synergy” between the licenses.
One puzzle raised by the preceding analysis is that there have been spectrum auctions involving complements that appeared to function quite satisfactorily. The U.S. regional narrowband auction in 1994 was an auction in which several bidders successfully assembled collections of regional paging licenses in single spectrum bands to create the package needed for a nationwide paging service. In Mexico, the 1997 sale of licenses to manage point-to-point microwave transmissions in various geographic areas exhibited a similar pattern. What appears to be special about these auctions is that licenses covering different regions in the same spectrum band that were complementary for bidders planning nationwide paging or microwave transmission networks were not substitutes for any other bidders. The nonexistence theorem given above depended on the idea that licenses that are complements for one bidder are substitutes for another.\footnote{The following table presents an example of nonexistence even when licenses are mutual complements for all bidders, but the degrees of complementarity vary. Tabulated are the values of three bidders (labeled 1, 2, and 3) for three licenses (A, B, and C). If a competitive equilibrium did exist, its assignment would be efficient, assigning licenses A and C to bidder 3 and B to bidder 1 or 2. For bidders 1 and 2 to demand their equilibrium assignments, the prices must satisfy $p_B \leq 1$, $p_A + p_B \geq 3$, and $p_B + p_C \geq 3$. However, these together imply that $p_A + p_C \geq 4$, which is inconsistent with bidder 3’s demand for the pair AC. So no competitive equilibrium exists.}
The potential importance of the exposure problem is illustrated by the Netherlands auction mentioned earlier: the DCS-1800 auction in February 1998 in which 18 spectrum licenses were offered for sale. In that auction, two of the lots—designated A and B—were believed to be efficiently scaled; the remaining 16 lots were too small to be valuable alone and needed to be combined in groups of perhaps six licenses to be useful for a mobile telephone business. In
\begin{table}[h]
\centering
\begin{tabular}{c c c c c c c c}
\hline
\multicolumn{8}{c}{Licenses and Combinations} \\
Bidder & A & B & C & AB & AC & BC & ABC \\
\hline
1 & 1 & 1 & 0 & 3 & 1 & 1 & 3 \\
2 & 0 & 1 & 1 & 1 & 1 & 3 & 3 \\
3 & 1 & 0 & 1 & 1 & 3.5 & 1 & 3.5 \\
\hline
\end{tabular}
\end{table}
this auction, the smaller licenses would naturally be complements for one another for bidders with no other licensed spectrum, but they would be substitutes for one another for bidders that were merely seeking to increase their amounts of licensed spectrum.
The outcome of the auction involved final prices per unit of bandwidth in lots A and B that were more than twice as high as those for any of the 16 smaller lots. It might seem that the bidders on lots A and B behaved foolishly since they might have acquired as much spectrum for less by bidding on smaller lots. However, bidders may have been deterred from aggressive bidding for the smaller lots for fear that that would drive up the prices of those lots while still leaving some of the winning bidders with too little bandwidth for an efficiently scaled business. This may simply be an instance in which, as suggested by theory, the prices fail to reflect the potential synergies among the licenses.
The problem of bidding for complements has inspired continuing research both to clarify the scope of the problem and to devise practical auction designs that overcome the exposure problem.
IV. Auctions and Game Theory
Another part of economic theory that has proved useful for evaluating alternative auction designs is game theory. Here I consider two such applications. The first model formalizes the ideas that motivated the introduction of the activity rule. The second is a study of how the auction closing rules affect the likelihood of collusive outcomes.
The Need for Activity Rules
In the design of the auction, one of the concerns was to estimate how long the auction would take to complete. This, in turn, depended on forecasting how aggressively bidders would behave. Could one count on the bidders to move the auction along, perhaps to economize on their own costs of participating? Or would the bidders sometimes have a strategic incentive to hold back, slowing the pace of the auction substantially?
There were several reasons to be skeptical that the bidders themselves could be relied on to enforce a quick pace. In the mutual substitutes model analyzed earlier, there is no affirmative gain to a bidder from bidding aggressively early in the auction, since all naive bidding paths lead to the same competitive equilibrium outcome. So bidders with a positive motive to delay might find little reason not to do so. In some of the spectrum auctions, the major bidders
included established competitors in the wireless industry that stood to profit from delays in new entry caused by delays in the auction process.
There can also be a variety of strategic motives for delay in the auction itself. Here I shall use a model to investigate one that is so common as to be decisive for planning the auction design. The model is based on the notion that the bidders are, or may be, budget-constrained.\(^{13}\) (A large measure of strategic behavior in the actual spectrum auctions seemed to be motivated by this possibility.) If a bidder’s competitor for a particular license is budget-constrained and its values or budget or both are private information, then the bidder may gain by concealing its ability or willingness to pay a high price until its competitor has already committed most of its budget to acquiring other licenses. The budget-constrained competitor may respond with its own delay, hoping to learn something about the prices of its highest-valued licenses before committing resources to other licenses. These behaviors delay the completion of the auction. What follows is a sample bidding game verifying that such behaviors are possible equilibrium phenomena.
Suppose that there are three bidders—1, 2, and 3—and two licenses—A and B. Each bidder has a total budget of 20, and its total payments cannot exceed this limit. A bidder’s payoff is its value for the licenses it acquires minus the total amount it pays. The values of the three bidders for the two licenses are listed in table 2.
The rules of the game are as follows. Initially, the prices are zero, and both items are assigned to the auctioneer. At any round, a bidder can raise the bid by one unit on any license for which it is eligible to bid. Ties are broken at random. After a round with no new bids, the auction ends. Payoffs are determined as described above.
\(^{13}\) Budget constraints can have profound effects on bidding behavior and equilibrium strategies. Pitchik and Schotter (1988) initiated research into the effects of budget constraints; see also Che and Gale (1996, 1998). For some of the other effects of budget constraints on actual bidder behavior in the spectrum auctions, see Milgrom (1995, chap. 1).
My question is, Does there exist a (sequential) equilibrium in which bidders 2 and 3 bid “straightforwardly,” that is, in which each raises the bid on a license whenever it is not assigned the license and its value strictly exceeds the current highest bid? If bidder 3’s value is common knowledge among the bidders, then one can routinely verify that the answer is affirmative. Bidder 1’s corresponding strategy depends on bidder 3’s value for license B. If that value is 5, then at the equilibrium, bidder 1 bids in the same straightforward manner as the other two bidders. If, however, bidder 3’s value is 15, then bidder 1’s best reply is different. At one equilibrium, 1 bids straightforwardly on license B and limits its bids on license A to ensure that it will win license B with its limited budget.
If 3’s value is private information, however, then the answer changes. For suppose that bidders 2 and 3 bid straightforwardly. Then 1 could learn 3’s value by bidding on license B until it was assured of acquiring that license, then devoting its remaining budget in an attempt to win license A. In particular, 1 would always win license B. It would also win license A at a price of 10 or 11 when 3’s value for B was low. There can be no equilibrium with these properties, however. For if there were, then when bidder 3 has the high value, it could wait until 1 bids 10 or 11 on license A before bidding more than 5 on license B. Then 3 would win license B and earn a positive profit.
**Theorem 5.** There is no sequential equilibrium of the private information game in table 2 in which bidders 2 and 3 each bid “straightforwardly,” as described above.
Both bidders 2 and 3 may have an incentive to slow their bidding in this auction, each hoping that bidder 1 will become unable to compete effectively for one license because it has spent its budget on another license. What the equilibrium in this example does not show is a delay induced by bidder 1, since it avoids committing resources until after bidder 3 has shown its hand. I conjecture that the example can be extended to incorporate that feature, so that all bidders have a tendency to delay.
In the actual spectrum auctions, the activity rule limited such wait-and-see strategies by specifying that a bidder that remained inactive in the early rounds of the auction would be ineligible to bid in later rounds. However, the first auctions cast doubt on the necessity of the rule. In the national and regional narrowband auctions, there was far more bidding activity than required by the activity rule, leading some to propose that the auction be simplified by dropping the rule. However, the AB block PCS auction, which was the third simultaneous ascending auction, followed quite a different pattern.
For the AB auction, the volume of activity associated with each
license is measured by the population in the region covered by the licenses according to the 1990 U.S. census ("POPs"). The average license in this auction covered a region with approximately 5 million POPs. The auction generated 3,333 data points, each consisting of a vector of bids made by a bidder at a round.\(^{14}\) Only 30 of the 3,333 observations reveal activity that exceeds the required level by at least one average size license, that is, 5 million POPs, and only 140 observations reveal activity exceeding required activity by more than 1 million POPs. Thus bidders most often bid only slightly more than was minimally necessary to maintain their current bidding eligibility.
**Free Riding**
One of the main issues in the early debates about the spectrum auction was whether all bidding should apply to individual licenses or whether, instead, bids for combinations of licenses should be allowed. According to one combinatorial bidding proposal, bids would first be accepted for certain predetermined packages of licenses, such as a nationwide collection of licenses, and then bidding on individual licenses would ensue. After all bidding had ceased, the collection of bids that maximize total revenues would be the winning bids, and licenses would be assigned accordingly.\(^{15}\) The model of this auction below assumes that in the event of ties, package bids are selected in preference to bids on individual licenses and that bids must be entered as whole numbers.
The primary economic argument against allowing combination bids is that such bids can give rise to a free-rider problem among bidders on the individual licenses, leading to avoidable inefficiencies. Table 3 provides a simplified version of an example I presented
---
\(^{14}\) Observations in which bidders take a "waiver" are excluded for two reasons. First, the required activity does not apply at rounds with waivers, so there is no natural \(x\) variable. Second, each bidder that ceases bidding before the end of the auction automatically exercises five waivers according to the FCC rules, so those observations contain no information about bidder decision making.
\(^{15}\) Depending on what combinations are allowed, there may also need to be rules specifying the winner when there are overlapping combinations. Generally, the recommendation was that the winning set of bids should be the set that maximizes the total bid price.
during the deliberations to show how that can happen. In this example, there are three bidders—labeled 1, 2, and 3—and two licenses—A and B. Bidders 1 and 2 are willing to pay up to 4 for licenses A and B, respectively, and neither is eligible to acquire the other license.\(^{16}\) With \( \epsilon \) small and positive, bidder 3 has the lowest values for the licenses but is distinguished by its desire to acquire both. To keep the strategy spaces small and ease the analysis, I impose economically insignificant budget constraints on the bidders, as shown in table 3.
With the specified values, the sole efficient license assignment has bidders 1 and 2 acquiring licenses A and B, respectively. With bids restricted to be whole numbers, that corresponds to a subgame-perfect equilibrium of the simultaneous ascending auction. At the equilibrium, bidders 1 and 2 make minimum bids at each round as necessary to acquire their respective licenses of interest, whereas bidder 3 bids 1 for each license and then gives up.
If the proposed combinatorial auction is used, bidder 3 can refrain from bidding for licenses A and B directly, bidding instead for the pair AB. This strategy creates a free-rider problem for bidders 1 and 2. A high bid by bidder 1 on license A helps bidder 2 to acquire license B. A symmetric observation applies to bidder 2. Each would prefer that the other raise the total of the individual bids sufficiently to beat 3’s bid.
Even in the complete information case shown here, this free-rider problem can lead to inefficient mixed-strategy equilibria. The corresponding equilibrium strategies are as follows. In the combination bidding round, bidder 3 bids 2 for the license combination AB. Bidder 1 raises the price of license A by 1 whenever it does not own the standing high bid for that license. Otherwise, if at any time during the auction the license prices are 1 for A, 1 for B, and 2 for AB, then bidder 1 raises its high bid on license A with probability two-thirds. Bidder 2’s strategy is symmetrical to bidder 1’s but is focused on license B instead of license A.
The key to understanding this equilibrium is to recognize the payoffs in the subgame after the prices are 1 for A, 1 for B, and 2 for package AB. The payoff matrix for bidders 1 and 2 in that subgame is shown in table 4.
This subgame has a symmetric equilibrium in which each bidder raises the bid with probability two-thirds. Backward induction from
\(^{16}\)In the actual auctions, bidders were ineligible to acquire additional wireless telephone licenses for areas they already served. This restriction was motivated by competition policy.
there supports the equilibrium strategies described above. At the equilibrium, there is a one-ninth probability that 3 acquires both licenses, even though its value for those licenses is just one-fourth of the total of the competitors’ values. This example is representative of a robust set of examples, including especially ones with asymmetric information that make the free-rider problem even harder to resolve.
The following theorem summarizes this discussion.
**Theorem 6.** The proposed two-stage auction (in which combinatorial bidding is followed by a simultaneous ascending auction for individual licenses) can introduce inefficient equilibrium outcomes that would be avoided in the simultaneous ascending auction without combinatorial bidding.
It bears emphasis that this defect applies to the particular combinatorial rule that was proposed and is not a general criticism of all combinatorial bidding.
### Collusion and Closing Rules
Motivated by the idea of the *tatonnement*, the rules of the spectrum auction specified that bidding would close on no licenses until there were no new bids on any license. In that way, if a license that changed hands at some round were a substitute or complement for another license, the losing bidder could react by bidding for the substitute or withdrawing a bid for a complement, and the winner could react in the reverse way.
Strategically, however, simultaneous closings create opportunities for collusion that can be mitigated by other closing rules.\(^{17}\) To illustrate this in a simple model, suppose that there are two bidders, 1 and 2, and two licenses, A and B. Each bidder has a value for each license of 10. The auction rules are the same as in the preceding
\(^{17}\) An unpublished paper by Rob Gertner (1995) inspired my analysis of closing rules. His presentation analyzed the vulnerability to collusion of the simultaneous ascending auction with simultaneous closings and showed that the same form of collusion is not consistent with equilibrium in the traditional auctions in which items are sold one at a time, in sequence.
subsection, with a simultaneous close of bidding on all licenses when there is no bidding on any license. The next two theorems, the proofs of which are straightforward, show that both “competitive” and “collusive” outcomes are consistent with equilibrium in this game.
**Theorem 7.** The following strategy, adopted by both bidders, constitutes a sequential equilibrium of the game with simultaneous closes of bidding: if the price of either license is below 10, bid again on that license.
This is the “competitive” outcome and results in prices of 10 for both licenses and zero profits for the bidders. However, other outcomes are also possible.
**Theorem 8.** The following strategies constitute a sequential equilibrium of the game with simultaneous closes of bidding. (1) For bidder 1, if 2 has never bid on license A, then if license A has received no bids, bid $1 on license A; otherwise, do not bid. If 2 has ever bid on license A, then bid according to the strategy described in theorem 7. (2) Bidder 2 bids symmetrically.
This is the most collusive equilibrium, resulting in prices of just 1 for each license and total profits of 18 for the two bidders, which are the lowest prices possible if the licenses are to be sold. The collusive outcome is supported by the threat, inherent in the strategies, to shift to competitive behavior if the other party to the arrangement does not refrain from bidding on a particular license.
An extreme alternative is to close bidding on a license after any round in which there is no new bid on *that license*. This rule excludes the possibility that bidders can each retaliate if the other cheats on the arrangement. For example, suppose that the auction is supposed to end after round $n$ with a bid price of $b \leq 8$ on license A, won by bidder 1. Then bidder 2 has nothing to lose and, in the trembling-hand logic of equilibrium, something to gain by raising the price at round $n + 1$. Consequently, we have the following result.
**Theorem 9.** In the game with license-by-license closes of bidding, at every (trembling-hand) perfect equilibrium, the price of each license is at least 9.
Similar results can be obtained from a rule that arranges for bidding to close on a license if there has been no new bid in the past three rounds. Alternatively, bidding may close on a license when there has been no new bid for three rounds and the total number of new bids on all licenses for the past five rounds is less than some trigger value. Rules along these lines can allow for substitution among licenses until late in the auction while still deterring some of the most obvious opportunities for collusion.
V. Dynamic Bidding for Combinations of Licenses
The considerations raised in the *tatonnement* analysis suggest the need to use a mechanism that does not rely simply on prices for individual licenses and instead allows bidding for license packages. An auction design that, in theory, uses combination bidding to good effect is the generalized Vickrey auction, also called the Groves-Clarke “pivot mechanism” (Vickrey 1961; Clarke 1971; Groves and Loeb 1975). Since that will serve as our standard of comparison, I review it briefly here.
Let $L$ denote the set of available licenses and let $P$ be the set of license assignments; these are indexed partitions of $L$. For any assignment $S \in P$, partition element $S_i$ represents the set of licenses assigned to bidder $i$.
The rules of the generalized Vickrey auction are as follows. Each bidder submits a bid that specifies a value for every nonempty subset of $L$. For any set of licenses $T$, let $v_i(T)$ denote $i$’s bid for that set. The auctioneer chooses the license assignment $S^*$ that maximizes $v_1(S^*_1) + \ldots + v_N(S^*_N)$. Each bidder $i$ pays a price $p_i$ for its licenses according to the formula
$$p_i = \max_{S \in P} \sum_{j \neq i} v_j(S_j) - \sum_{j \neq i} v_j(S^*_j).$$
It is well known that, subject to certain assumptions,\(^{18}\) the bidders in a generalized Vickrey auction have a dominant strategy, which is to set their bids for each license package equal to its actual value. When each bidder uses its dominant strategy, licenses are assigned efficiently. Moreover, if the bidder types have independent, atomless\(^{19}\) distributions, then any other auction design that leads to effi-
\(^{18}\) Among the important assumptions are the following. First, the bidders know their own values; i.e., this is a pure private-value model with no common-value elements. (See Milgrom and Weber [1982] for a discussion of this assumption.) Second, bidders must care only about the sets of licenses they acquire and the prices they pay, and not about the identities of the other license acquirers and the prices they pay (although extensions of the Vickrey auction can accommodate bidders that care about the entire license allocation). Third, budget constraints must never be binding. Each of these assumptions is a strong one. None precisely fits the facts about the U.S. spectrum auctions. In addition, there is the relatively more innocuous assumption that bidder preferences are quasi-linear. This means that a bidder’s utility is representable as the value of the licenses assigned to it minus the price that it pays.
\(^{19}\) I am indebted to Paul Klemperer for pointing out the necessity of the atomless type distribution condition. In this application, a “type” is a vector of values for licenses and combinations of licenses.
cient outcomes must involve the same expected payments by all the types of all the bidders (see, e.g., Engelbrecht-Wiggans 1988).
The generalized Vickrey auction itself is not practical for use in spectrum sales. If there were no restrictions on feasible license combinations, the number of combinations would be $2^{|I|} - 1$. Most of the sales being conducted presently involve hundreds of licenses, and even though in practice most of the combinations can be ruled out as infeasible or irrelevant, the number of potentially important combinations is still infeasibly large.\footnote{An additional objection to Vickrey auctions is that they require bidders to reveal their value estimates. Bidders have been reluctant to do that, possibly because they fear that reporting their values would reveal information to competitors about how they form estimates, what discount rates they use, what financing they have available, or what their business plans are.} I seek to use the Vickrey auction here as a benchmark, in much the same way that the competitive equilibrium benchmark is used in market welfare analyses.
Given that it is infeasible to specify all relevant combinations in advance, one idea to economize on computing power is to specify combinations as the auction progresses. The leading such proposal is based on a procedure called the “adaptive user selection mechanism” (AUSM) that was developed in experimental economics laboratories for solving what the experimenters regarded as “difficult” resource allocation problems (Banks, Ledyard, and Porter 1989; Ledyard, Noussair, and Porter 1996).
The AUSM differs from the simultaneous ascending auction in a number of respects, and many of its features have been proposed for adoption in the spectrum auctions. Among the proposed changes are the following: First, allow bidding to take place continuously in time, rather than force bidders to bid simultaneously in discrete rounds. Second, in place of an activity rule, follow the experimenters’ technique of using random closing times, which motivate bidders to be active before the end of the auction. Third, permit bids for combinations of licenses rather than just for individual licenses. When a new combinatorial bid is accepted, it displaces all previous standing high bids for individual licenses or combinations of licenses that overlap the licenses in the new bid. The new bid should be accepted if the amount of the bid is greater than the sum of the displaced bids. Fourth, allow the use of a “standby queue” on which bidders may post bids that cannot, by themselves, displace existing bids but become available for use in new combinations. For example, suppose that bidder 1 owns the standing high bid of 20 for license combination ABCD. Bidder 2 is interested in acquiring AB for a price of up to 15 but has no interest in CD. It may post a bid of 12
for AB on the standby queue. Suppose that it does so and that bidder 3 is willing to pay up to 15 for CD. Then bidder 3 may “lift” 2’s bid from the standby queue and submit that together with its bid of 10 for license combination CD, thereby creating a bid of 22 for the combination ABCD. Under the rules, bidders 2 and 3 become the new owners of the standing high bids.
We can begin to analyze this proposal using a simple example, represented in table 5. There are three bidders, labeled 1–3, and two licenses. The first two bidders each want to acquire a single license; the third bidder is interested only in the pair. The final column shows what price the bidder would pay in a generalized Vickrey auction in which it is a license winner.
The bidders’ values are drawn from continuous distributions. For the first two bidders, the distribution has support on \([a, b]\), and for the third bidder, it has support on \([c, d]\). We assume that \(2a < d\) and that \(2b > c \geq b\). These inequalities mean that (1) there is a priori uncertainty about the efficient license assignment, and (2) the two single-license bidders need to coordinate to be able to outbid bidder 3.
Since there are many different implementations of AUSM, I regard it as a class of games. I limit attention to implementations in which bidding takes place in rounds and does not end after a round in which there are new bids. I look for properties of equilibrium in undominated strategies of any such AUSM game in which no bidder makes jump bids. Three general properties hold. First, no bidder \(j\) bids more than its own actual value \(V_j\), for to do so would entail using a weakly dominated strategy. With no jump bids, this implies that bidder 3 never pays more than \(V_1 + V_2\). Second, since bidder 3 always has an opportunity to respond to the bids by 1 and 2, equilibrium entails that bidder 3 wins a license when \(V_3 > V_1 + V_2\). Free-riding among the individual bidders may mean that bidder 3’s AUSM equilibrium price is strictly less than the Vickrey price \(V_1 + V_2\). Third, when the single-license bidders 1 and 2 win licenses in an AUSM game, the total price they pay is \(V_3\). They win only when \(V_1 + V_2 >\)
| Bidder | License ID | Vickrey Price |
|--------|------------|---------------|
| | A | B | AB | |
| 1 | \(V_1\) | \(V_1\) | \(V_1\) | \(V_1 - V_2\) |
| 2 | \(V_2\) | \(V_2\) | \(V_2\) | \(V_2 - V_1\) |
| 3 | 0 | 0 | \(V_3\) | \(V_1 + V_2\) |
$V_3$, and given the free-rider problem, they may not always win even when that inequality holds.\footnote{Notice that a solution to the free-rider problem may require that one bidder pay more for its license than another bidder pays for a perfectly substitutable license. One may guess that such a solution would be particularly difficult to achieve if the bidders are ex ante identically situated.} From the preceding inequality, the total price $V_2$ that the bidders pay when they win is strictly greater than the total Vickrey price of $2V_3 - V_1 - V_2$. This leads to the following conclusion.
\textbf{Theorem 10.} In the example analyzed here, the total equilibrium prices under AUSM for the single-license bidders are always at least as high as and sometimes higher than the Vickrey prices, whereas the price paid by the combination bidder is never more and sometimes less than the Vickrey price. The combination bidder wins (weakly) more often than it would at an efficient auction, and the single-license bidders win (weakly) less often than they would at such an auction.
Experiments have established that AUSM performs well in some environments with significant complementarities. The questions for auction designers are, Which kinds? And how can their disadvantages be minimized? Identifying biases is a first step toward answering such questions.
\section*{VI. Two Additional Questions}
One of the most frequently expressed doubts about the spectrum auctions is the doubt that the form of the auction matters at all. After all, the argument goes, one should expect that if the initial assignment resulting from the auction is inefficient and if licenses are tradable, the license owners will be motivated after the auction to buy, sell, and swap licenses until an efficient assignment is achieved.
There are both theoretical and empirical grounds for rejecting this argument. The theoretical argument is developed at length in Milgrom (1995). Briefly, the argument combines two theoretical observations from the theory of resource allocation under incomplete information in private-values environments. The first observation is that, once property rights have been assigned, ex post bargaining cannot generally achieve efficient rearrangement of the rights. The older theoretical literature shows this for the case in which there are just two parties to the bargain and the efficient allocation of the license is uncertain. Recent work by Cai (1997) suggests that the efficient outcomes become even less likely when there are multiple parties involved, as is the case when a bidder needs to assemble a
collection of spectrum licenses from multiple owners to offer the most valuable mobile telephone service.\footnote{The same theoretical analysis applies to attempts to resolve the problem by contracting: ex post bargaining under incomplete information after property rights have already been assigned does not generally lead to efficient outcomes.} The years of delay in developing nationwide mobile telephone services in the United States, despite the value that customers reportedly assign to the ability to “roam” widely with their phones, testify to the practical importance of this theoretical effect. An inefficient initial assignment cannot, in general, be quickly corrected by trading in licenses after the auction is complete.
In contrast, the generalized Vickrey auction applied to the initial assignment of rights in the same environment can achieve an efficient license assignment—at least in theory. There are significant practical difficulties in implementing a Vickrey auction in the spectrum sales environment, but the theoretical possibility of an auction that always yields an efficient assignment establishes the possibility that a good initial design can accomplish objectives that ex post bargaining cannot.
A second common question concerns the trade-off between the goals of allocational efficiency and revenue. The primary goal of the spectrum auctions was set by the 1993 budget legislation as one of promoting the “efficient and intensive use” of the radio spectrum. However, the simultaneous ascending auction is now also being touted for other applications, such as the sale of stranded utility assets (Cameron, Cramton, and Wilson 1997) in which revenue is regarded as an important objective. Such applications call for putting more emphasis both on how the auction rules affect revenue and on the extent of the conflict between the goals of efficiency and revenue in multiobject auctions.
Particularly when the number of bidders is small, the goals of efficiency and revenue can come into substantial conflict. A particularly crisp example of this is found in the decision about how to package groups of objects when there are only two bidders.\footnote{See Palfrey (1983) for a related analysis, showing that bundling can increase revenue even when it reduces efficiency in various kinds of auctions.} Using the spectrum sale as an example, suppose that the available bands of spectrum are denoted \(\{1, \ldots, B\}\) and that these are packaged in licenses \(L = \{1, \ldots, L\}\). The \(j\)th license consists of a set of bands \(S_j \subseteq \{1, \ldots, B\}\), and a “band plan” is a partition \(S = \{S_1, \ldots, S_N\}\) of the \(L\) bands into \(N \leq L\) licenses.
Next, I introduce a special assumption. Suppose that each bidder \(i\)’s valuation for any license is given by \(X_i(S_j) = \sum_{k \in S_j} x_{ik}\). This assumption abstracts from some potential interactions between efficiency and revenue and isolates the one effect on which I wish to focus.
Let $R(S)$ denote the revenue from the license sales corresponding to the band plan $S$, and let $V(S)$ be the total value of the licenses to the winning bidders when the licenses are sold individually in simultaneous second-price auctions and each bidder adopts its dominant strategy.
The conflict between efficiency and revenue in this context is very sharp. When one is choosing band plans in this setting, there is a dollar-for-dollar trade-off between the seller’s revenue $R(S)$ and the value $V(S)$ of the final license assignment: any change in the band plan $S$ that increases the value of the assignment reduces the seller’s revenue by an equal amount!
**Theorem 11.** The sum of the value created and the revenue generated by the auction is a constant, independent of the band plan $S$: $R(S) + V(S) = X_1(L) + X_2(L)$. Coarser band plans generate higher revenues and create less value.
*Proof.* For the first statement, it suffices to show that, for any license $S_j$, the value created by the auction plus the license price is equal to $X_1(S_j) + X_2(S_j)$, for the result then follows by summing over licenses.
Suppose (without loss of generality) that bidder 1 has the higher value for the license. Then in an English auction, bidder 1 will win; the winner’s value will be $X_1(S_j)$; and the price will be the second-highest value, $X_2(S_j)$.
For the second statement, recall that the outcome of the ascending auction is to assign each license to the bidder that values it most highly. Given two band plans $S$ and $S'$, with $S$ coarser than $S'$, the associated values are
$$V(S) = \sum_{T \in S} \max\left( \sum_{k \in T} x_{1k}, \sum_{k \in T} x_{2k} \right)$$
$$\leq \sum_{T \in S} \sum_{T' \subset T \atop T' \in S'} \max\left( \sum_{k \in T} x_{1k}, \sum_{k \in T} x_{2k} \right) = V(S).$$
The inequality applies term by term to the maxima over sets $T \in S$. Q.E.D.
To illustrate the theorem, suppose that there are two bands with $x_{11} > x_{21}$ but $x_{12} < x_{22}$, and suppose in addition that $x_{11} + x_{12} > x_{21} + x_{22}$. There are two possible band plans according to whether the bands are sold as one license or two. When the bands are sold separately, bidder 1 wins band 1 at price $x_{21}$ and bidder 2 wins band 2
at price $x_{12}$, creating a total value of $x_{11} + x_{22}$ and revenue of $x_{21} + x_{12}$. When the bands are sold together, bidder 1 acquires both at price $x_{21} + x_{22}$, creating a total value of $x_{11} + x_{12}$. The loss of value from adopting this plan is $x_{22} - x_{12}$, which is precisely the same as the increase in revenue from the same change.
In the analysis of Cameron et al. (1997), the items being sold are electrical generating plants or other “stranded utility assets” associated with deregulation. In that case, revenue (which reduces the burden on ratepayers) and efficiency are both typically among the goals of the public authority. In that case, if the number of serious bidders is sufficiently small, then the effect identified in this suggestion contributes to a trade-off in the public decision process between the goals of revenue and efficiency.
VII. Conclusion
In the last few years, theoretical analyses have clearly proved their worth in the practical business of auction design. Drawing on both traditional and new elements of auction theory, theorists have been able to analyze proposed designs, detect biases, predict shortcomings, identify trade-offs, and recommend solutions.
It is equally clear that designing real auctions raises important practical questions for which current theory offers no answers. The “bounded rationality” constraints that limit the effectiveness of the generalized Vickrey auction are important ones and have so far proved particularly resistant to simple analysis. Because of such limits to our knowledge, auction design is a kind of engineering activity. It entails practical judgments, guided by theory and all available evidence, but it also uses ad hoc methods to resolve issues about which theory is silent. As with other engineering activities, the practical difficulties of designing effective, real auctions themselves inspire new theoretical analyses, which appears to be leading to new, more efficient and more robust designs.
References
Ausubel, Lawrence M., and Cramton, Peter. “Demand Reduction and Inefficiency in Multi-unit Auctions.” Working Paper no. 96-07. College Park: Univ. Maryland, 1996.
Banks, Jeffrey S.; Ledyard, John O.; and Porter, David P. “Allocating Uncertain and Unresponsive Resources: An Experimental Approach.” *Rand J. Econ.* 20 (Spring 1989): 1–25.
Cai, Hong-Bin. “Delay in Multilateral Bargaining under Complete Information.” Working paper. Los Angeles: Univ. California, 1997.
Cameron, Lisa; Cramton, Peter; and Wilson, Robert. “Using Auctions to Divest Generating Assets.” *Electricity J.* 10, no. 10 (1997): 22–31.
Che, Yeon-Koo, and Gale, Ian. “Financial Constraints in Auctions: Effects and Antidotes.” In *Advances in Applied Microeconomics*, vol. 6, edited by Michael R. Baye. Greenwich, Conn.: JAI, 1996.
———. “Standard Auctions with Financially Constrained Bidders.” *Rev. Econ. Studies* 65 (January 1998): 1–21.
Clarke, Edward H. “Multipart Pricing of Public Goods.” *Public Choice* 11 (Fall 1971): 17–33.
Cramton, Peter C. “Money Out of Thin Air: The Nationwide Narrowband PCS Auction.” *J. Econ. and Management Strategy* 4 (Summer 1995): 267–343.
———. “The FCC Spectrum Auctions: An Early Assessment.” *J. Econ. and Management Strategy* 6 (Fall 1997): 431–95.
Engelbrecht-Wiggans, Richard. “Revenue Equivalence in Multi-object Auctions.” *Econ. Letters* 26, no. 1 (1988): 15–19.
Gertner, Robert. “Revenue and Efficiency Differences between Sequential and Simultaneous Multiple-Unit Auctions with Limited Competition.” Manuscript. Chicago: Univ. Chicago, Grad. School Bus., 1995.
Groves, Theodore, and Loeb, Martin. “Incentives and Public Inputs.” *J. Public Econ.* 4 (August 1975): 211–26.
Gul, Faruk, and Stacchetti, Ennio. “Walrasian Equilibrium without Complementarities.” Working Paper no. 97-01. Ann Arbor: Univ. Michigan, Dept. Econ., 1997.
Kelso, Alexander S., Jr., and Crawford, Vincent P. “Job Matching, Coalition Formation and Gross Substitutes.” *Econometrica* 50 (November 1982): 1483–1504.
Ledyard, John O.; Noussair, Charles; and Porter, David. “The Allocation of Shared Resources within an Organization.” *Econ. Design* 2 (November 1996): 163–92.
McAfee, R. Preston, and McMillan, John. “Analyzing the Airwaves Auction.” *J. Econ. Perspectives* 10 (Winter 1996): 159–75.
Milgrom, Paul. “Auction Theory for Privatization.” Book manuscript. Stanford, Calif.: Stanford Univ., 1995.
Milgrom, Paul, and Roberts, John. “Adaptive and Sophisticated Learning in Normal Form Games.” *Games and Econ. Behavior* 3 (February 1991): 82–100.
Milgrom, Paul, and Weber, Robert J. “A Theory of Auctions and Competitive Bidding.” *Econometrica* 50 (September 1982): 1089–1122.
Palfrey, Thomas R. “Bundling Decisions by a Multiproduct Monopolist with Incomplete Information.” *Econometrica* 51 (March 1983): 463–83.
Pitchik, Carolyn, and Schotter, Andrew. “Perfect Equilibria in Budget-Constrained Sequential Auctions: An Experimental Study.” *Rand J. Econ.* 19 (Autumn 1988): 363–88.
Vickrey, William. “Counterspeculation, Auctions, and Competitive Sealed Tenders.” *J. Finance* 16 (March 1961): 8–37.
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LIQUID CRYSTAL DISPLAY DEVICE VIEWABLE FROM BOTH SURFACES AND PORTABLE APPARATUS USING SAME
VON BEIDEN OBERFLÄCHEN AUS BETRACHTBARE FLÜSSIGKRISTALLANZEIGEEINRICHTUNG UND TRAGBARE VORRICHTUNG DAMIT
DISPOSITIF D'AFFICHAGE A CRISTAUX LIQUIDES VISIBLE A PARTIR DE DEUX SURFACES ET APPAREIL PORTABLE UTILISANT LESDITS DISPOSITIF
Designated Contracting States:
DE FR GB NL
Priority: 29.10.2002 JP 2002314388
Date of publication of application:
07.09.2005 Bulletin 2005/36
Proprietor: CASIO COMPUTER CO., LTD.
Shibuya-ku,
Tokyo 151-8543 (JP)
Inventors:
• NISHINO, Toshiharu
Tokyo 205-0023 (JP)
• ARAI, Norihiro
Tokyo 191-0062 (JP)
KOBAYASHI, Kunpei
Tokyo 190-0021 (JP)
Representative: Grünecker, Kinkeldey,
Stockmair & Schwanhäußer
Anwaltssozietät
Leopoldstrasse 4
80802 München (DE)
References cited:
EP-A- 1 245 994
WO-A-00/04417
US-A1- 2001 040 658
US-A1- 2002 041 351
US-B1- 6 329 968
PATENT ABSTRACTS OF JAPAN vol. 2000, no. 10, 17 November 2000 (2000-11-17) -& JP 2000 193946 A (SEIKO EPSON CORP), 14 July 2000 (2000-07-14)
Note: Within nine months of the publication of the mention of the grant of the European patent in the European Patent Bulletin, any person may give notice to the European Patent Office of opposition to that patent, in accordance with the Implementing Regulations. Notice of opposition shall not be deemed to have been filed until the opposition fee has been paid. (Art. 99(1) European Patent Convention).
Description
Technical Field
[0001] The present invention relates to a both surface display type liquid crystal display device and a portable apparatus having a both surface display function.
Background Art
[0002] As disclosed in Unexamined Japanese Patent Application KOKAI Publication No. H10-90678 and Unexamined Japanese Patent Application KOKAI Publication No. 2001-290445, a liquid crystal display device in which two liquid crystal display elements are disposed back to back with their display surfaces facing the opposite directions from each other, and a surface light source for emitting a light toward both the liquid crystal display elements is disposed between them, is known as a both surface display type liquid crystal display device to be used in a portable apparatus such as a portable phone, which has a display function on both surfaces of its case.
[0003] However, using two liquid crystal display elements as described above costs high, and both surface display with the use of one liquid crystal display element is desired.
[0004] As a liquid crystal display device for both surface display using one liquid crystal display element, there is proposed a liquid crystal display device in which the screen area of a liquid crystal display element is divided into a first screen portion and a second screen portion so that an image to be viewed from the front is displayed by the first screen portion and an image to be viewed from the back is displayed by the second screen portion, as disclosed in Unexamined Japanese Patent Application KOKAI Publication No. 2000-193946 and Unexamined Japanese Patent Application KOKAI Publication No. 2001-305525.
[0005] However, in a both surface display type liquid crystal display device having the screen area of its liquid crystal display element divided into a first and a second screen portions, the entire display area of the liquid crystal display element has a size corresponding to the size of the display screen for the front plus the size of the display screen for the back which are arranged side by side. Therefore, the occupation area of this liquid crystal display device is much larger than that of a display screen for either front or back display. Accordingly, this liquid crystal display device can not be used in a portable apparatus such as a portable phone, in which the mount space for a liquid crystal display device is limited.
[0006] The Japanese Patent Application with the publication number JP 2000-193946-A discloses a double-sided liquid crystal panel comprising an area for color display and an area for black and white display in which reflecting/polarizing devices are arranged on the whole of each of the two outer surfaces of the panel, so that the image can be seen from both sides of the panel. These reflecting/polarizing devices are provided in addition to polarizing plates on each side.
[0007] Furthermore, the following documents are pertinent to the use of reflecting/transmitting films in single-sided liquid crystal display devices. US-B1-6 329 968 discloses a front-light illumination system for the transreflective display device based on polarization separation in a light guide at the interface of two materials with different refractive indices. In WO 00/04417-A a liquid crystal display device according to the preamble of appended claim 1 is disclosed. The liquid crystal device in EP-A-1 245 994 is of the transreflective type with a backlight and comprises a transreflective film on the back substrate. US 2001/040658 A1 discloses the use of a semitransparent reflective film with apertures corresponding to pixels in a transreflective liquid crystal display with a backlight. The transreflective liquid crystal display in US 2002/0041351 A1 discloses a pixel electrode with reflective and transparent portions as semitransparent means.
Disclosure of Invention
[0008] It is an object of the present invention to provide a liquid crystal display device which is capable of both surface display using one liquid crystal display element, capable of reducing its occupation area, and capable of displaying an image to be viewed from one surface and an image to be viewed from the other surface in a display manner using a light from a surface light source and in a display manner using an external light existing in the external environment.
[0009] It is another object of the present invention to provide a liquid crystal display device which is capable of being miniaturized as a portable apparatus having a both surface display function, capable of displaying images to be viewed from the respective surfaces in a sufficiently large screen size, and capable of displaying images to be viewed from the respective surfaces in a display manner using a light from a surface light source of the liquid crystal display device and in a display manner using an external light.
[0010] To achieve the above objects, a double-sided liquid crystal display device arranged to display an image viewable from the back side and the front side of the device, device according to the present invention comprises the features recited in appended claim 1. Further preferred embodiments of the invention and a portable apparatus comprising a liquid crystal display device according to the invention are defined in dependent claims 2 to 8.
[0011] A liquid crystal display device according to the invention displays an image to be viewed from the front by letting a light from the surface light source arranged at the front of the liquid crystal display element come to the liquid crystal display element, reflecting a part of the light coming to each of the plurality of pixels from the front of the liquid crystal display element by the reflection/transmission means, and emitting the reflected light toward the front of the surface light source, and displays an image to be viewed from the back by letting the other part of the light permeate the reflection/transmission means and emitting this light toward the back of the liquid crystal display element.
[0012] Since this liquid crystal display device displays an image to be viewed from the front by reflecting a part of a light coming to each of the plurality of pixels from the front of the liquid crystal display element, and displays an image to be viewed from the back by transmitting the other part of the light, this liquid crystal display device can display both of an image to be viewed from the front and an image to be viewed from the back by using the entire display area of the liquid crystal display element. Accordingly, the display area of the liquid crystal display element needs only to have a size corresponding to the display screen for either front display or back display.
[0013] Accordingly, with this liquid crystal display device, it is possible to perform both surface display with the use of only one liquid crystal display element, and to make the occupation area of the liquid crystal display device smaller.
[0014] Further, in this liquid crystal display device, the surface light source which emits a light toward the liquid crystal display element and transmits lights coming from its front and its back therethrough is arranged at the front of the liquid crystal display element. Because of this, this liquid crystal display device can transmit an external light (a light in the external environment) coming from the front of the surface light source the surface light source and then come to the liquid crystal display element, can emit a part of this light that is reflected by the reflection/transmission means toward the front of the surface light source, and can emit the other part of the light that passes through the reflection/transmission means toward the back of the liquid crystal display element, and at the same time, can transmit an external light coming from the back of the liquid crystal display element the reflection/transmission means, a liquid crystal cell, and the surface light source so as to be emitted toward the front. Accordingly, this liquid crystal display device can display an image to be viewed from the front by reflection display using a light from the surface light source, by reflection display using an external light coming from the front of the surface light source, and by transmission display using an external light coming from the back of the liquid crystal display element, and can display an image to be viewed from the back by transmission display using a light from the surface light source and by transmission display using an external light coming from the front of the surface light source.
[0015] As described above, according to this liquid crystal display device of the present invention, both surface display can be achieved with the use of one liquid crystal display element, the occupation area can be reduced, and both of an image to be viewed from one surface (front surface) and an image to be viewed from the other surface (back surface) can be displayed in a display manner using a light from the surface light source and in a display manner using an external light which is a light in the external environment. The portable apparatus according to the invention can be applied to any of a portable phone, a digital camera, a personal computer, and a video camera.
[0016] According to this portable apparatus, since the liquid crystal display device performs both surface display with the use of one liquid crystal display element, the occupation area and volume required by the liquid crystal display device inside the portable apparatus is only the occupation area and volume of approximately one liquid crystal display element. Accordingly, this portable apparatus can be miniaturized. Further, images to be displayed on both surfaces can be displayed in a sufficiently large screen size.
[0017] Further, since the liquid crystal display device displays an image to be viewed from the front and an image to be viewed from the back in a display manner using a light from the surface light source and in a display manner using an external light, this portable apparatus can display the images to be displayed on both surfaces in a display manner using a light from the surface light source of the liquid crystal display device and in a display manner using an external light.
[0018] This portable apparatus of the present invention can be miniaturized by providing display windows to two opposing external surfaces of the portable apparatus respectively, and mounting the liquid crystal display device of the present invention inside the portable apparatus such that the front surface of the liquid crystal display device faces the display window on one of the two external surfaces and the back surface of the liquid crystal display device faces the display window on the other of the two external surfaces. Further, this portable apparatus can display both images to be viewed from the front and the back in a sufficiently large screen size, and can display images on both surfaces in a display manner using a light from the surface light source of the liquid crystal display device and in a display manner using an external light.
Brief Description of Drawings
[0019] These objects and other objects and advantages of the present invention will become more apparent upon reading of the following detailed description and the accompanying drawings in which:
FIG. 1 is an exploded perspective view of a liquid crystal display device according to a first embodiment of the present invention;
FIG. 2 is a fragmentary sectional view of the liquid crystal display device shown in FIG. 1;
FIG. 3 is a plan view of a surface light source of the liquid crystal display device shown in FIG. 1;
FIG. 4 is a side view of the surface light source shown in FIG. 3;
FIG. 5 is an exemplary diagram showing the arrangement of a solid light emitting element, a light guiding member, and a light guiding plate of the surface light source shown in FIG. 3;
FIG. 6 is a fragmentary sectional view of a liquid crystal display device according to a second embodiment of the present invention;
FIG. 7 is a fragmentary sectional view of a liquid crystal display device according to an example not forming part of the present invention;
FIG. 8 is a fragmentary sectional view of a liquid crystal display device according to another example not forming part of the present invention;
FIGS. 9A and 9B are perspective views of a portable phone utilizing a liquid crystal display device of the present invention;
FIGS. 10A and 10B are perspective views of a digital camera utilizing a liquid crystal display device of the present invention;
FIGS. 11A and 11B are perspective views of a personal computer utilizing a liquid crystal display device of the present invention; and
FIGS. 12A and 12B are perspective views of a video camera utilizing a liquid crystal display device of the present invention.
Best Mode for Carrying Out the Invention
[0020] Liquid crystal display devices will be described below as embodiments of the present invention with reference to the accompanying drawings.
(First Embodiment)
[0021] An embodiment of a liquid crystal display device of the present invention will now be explained below. FIG. 1 to FIG. 5 show a liquid crystal display device according to a first embodiment of the present invention. FIG. 1 is an exploded perspective view of the liquid crystal display device, and FIG. 2 is a fragmentary sectional view of the liquid crystal display device.
[0022] As shown in FIG. 1 and FIG. 2, the liquid crystal display device according to the present embodiment comprises a liquid crystal display element 1, and a surface light source 25 arranged in front (in the upper part in the drawings) of the liquid crystal display element 1 (in the upper part in the drawings).
[0023] The liquid crystal display element 1 comprises a liquid crystal cell 2, reflection/permeation means 10 provided at the back (in the lower part in the drawings) of a liquid crystal layer 5 of the liquid crystal cell 2, and a front polarizing plate 16 and a back polarizing plate 17 which are arranged in front of and at the back of the liquid crystal cell 2. Please note, that permeate an permeation as used here, is equivalent to transmit and transmission.
[0024] In the liquid crystal cell 2, the liquid crystal layer 5 is provided between a transparent substrate (front substrate) 3 at the front (in the upper part in the drawing) and a transparent substrate (back substrate) 4 at the back (in the lower part in the drawings) which are, as shown in FIG. 2, arranged oppositely from each other. At least one transparent electrode 6 is provided to one of the opposing internal surfaces of the front substrate 3 and back substrate 4, and a plurality of transparent electrodes 7 forming a plurality of pixels 80 arranged in a matrix in the area opposing to the at least one transparent electrode 6 are provided to the other of the internal surfaces of the substrates.
[0025] The liquid crystal cell 2 is an active matrix type. The transparent electrode 6 provided to the internal surface of the front substrate 3 is a monolithic-film-like opposing electrode 6, and the transparent electrodes 7 provided to the internal surface of the back substrate 4 are a plurality of pixel electrodes 7 arranged in a row direction and a column direction to form a matrix.
[0026] The plurality of pixel electrodes 7 are connected respectively to a plurality of TFTs (Thin Film Transistors) 8 which are provided to the internal surface of the back surface 4 so as to correspond to the pixel electrodes 7. The plurality of TFTs are connected to unillustrated gate lines and data lines which are provided to the internal surface of the back substrate 4.
[0027] The liquid crystal cell 2 comprises color filters 9R, 9G, and 9B in plural colors, for example, red, green, and blue, which correspond respectively to the plurality of pixels 80. These color filters 9R, 9G, and 9B are formed on the internal surface of one of the substrates, for example, the front substrate 3, so as to cover the entire area of each pixel 80. The opposing electrode 6 is formed on the color filters 9R, 9G, and 9B.
[0028] The reflection/permeation means 10 provided behind the liquid crystal layer 5 of the liquid crystal cell 2 reflects part of a light coming to each of the plurality of pixels 80 from the front side of the liquid crystal cell 2, and allows other lights to permeate therethrough. In the present embodiment, the reflection/permeation means 10 is a half-transparent and half-reflection film which is made of a very thin aluminum alloy film having a film thickness of approximately 0.025 μm or less and which reflects or allows permeation of an incident light with a predetermined reflection ratio and a predetermined permeation ratio. The reflection/permeation means 10 will hereinafter be referred to as a half-transparent and half-reflection film 10.
[0029] The half-transparent and half-reflection film 10 is formed on the internal surface of the back substrate 4 of the liquid crystal cell 2 so as to correspond to the entire area of each of the plurality of pixels 80.
[0030] The plurality of pixel electrodes 7 are formed on the plurality of half-transparent and half-reflection films 10 corresponding to the plurality of pixels 80 respectively.
[0031] In the present embodiment, the pixel electrodes 7 are formed directly upon the half-transparent and half-reflection films 10 as shown in FIG. 2.
[0032] Aligning films 11 and 12 are provided respectively to the internal surfaces of the front substrate 3 and back substrate 4 of the liquid crystal cell 2 so as to cover the transparent electrode 6 and the transparent electrodes 7.
[0033] The front substrate 3 and the back substrate 4 are connected to each other via a frame-like seal member 13 (see FIG. 1) which encloses the display area where the pixels 80 are arranged, and the liquid crystal layer 5 is provided in an area enclosed by the frame-like seal member 13 between the front substrate 3 and the back substrate 4.
[0034] Liquid crystal molecules of the liquid crystal layer 5 have their aligning direction near the front and back substrates 3 and 4 defined by the aligning films 11 and 12, and they are oriented in an initial aligning state which is predefined between the front and back substrates 3 and 4.
[0035] The polarizing plates 16 and 17 arranged at the front and at the back of the liquid crystal cell 2 are absorptive polarizing plates 16 and 17 which have absorption axes (not illustrated) and permeation axes 16a and 17a in orthogonal directions to each other, absorb, of two linearly-polarized lights orthogonal to each other of an incident light, one polarized light, and let the other polarized light permeate.
[0036] The liquid crystal display element 1 of the present embodiment is a TN (Twisted Nematic) type liquid crystal display element of a normally white mode. The liquid crystal molecules of the liquid crystal display 5 of the liquid crystal cell 2 are twist-orientated at a twist angle of substantially 90° between the front and back substrates 3 and 4, and the absorptive polarizing plates 16 and 17 are arranged with their permeation axes 16a and 17a substantially orthogonal to each other.
[0037] The liquid crystal display element 1 further comprises retardation plates 18 and 19 which are arranged between the liquid crystal cell 2 and the polarizing plate 16 at the front and between the liquid crystal cell 2 and the polarizing plate 17 at the back, and a light scattering layer (hereinafter referred to as scattering layer) 20 which is arranged between the liquid crystal cell 2 and the retardation plate 18 at the front, in order to improve the display contrast and the view angle.
[0038] The surface light source 25 arranged at the front of the liquid crystal display element 1 (at the front of the front polarizing plate 16) emits a light toward the entire display area where the plurality of pixels 80 of the liquid crystal display element 1 are arranged, and allows a light coming thereto from its front and its back to permeate therethrough.
[0039] FIG. 3 and FIG. 4 are the plan view and the side view of the surface light source 25, and FIG. 5 is an exemplary diagram showing a light emitted from a light guiding member and a light guiding plate of the surface light source 25.
[0040] As shown in FIG. 3 and FIG. 4, the surface light source 25 of the present embodiment comprises a light guiding plate 26, a light guiding member 31 arranged at the side of the light guiding plate 26, a retardation plate 36 arranged between the light guiding plate 26 and the light guiding member 31, and a light emitting element 38 arranged at the side of the light guiding member 31.
[0041] The light guiding plate 26 is constituted by a transparent plate made of an acryl resin plate having an area opposing to the entire display area of the liquid crystal display element 1. One end surface of the light guiding plate 26 constitutes an incident surface 27 from which a light comes to the light guiding plate 26. One of the two plate surfaces of the transparent plate constituting the light guiding plate 26 constitutes a flat emission surface 28 from which a light guided by the transparent plate is emitted, and the other plate surface constitutes a reflection surface 29 for internally reflecting a light coming from the incident surface 27 so as to be emitted from the emission surface 28.
[0042] The reflection surface 29 of the light guiding plate 26 is constituted by a plurality of prism units 30 which are formed densely in parallel with one another side by side over the entire surface of the other plate surface of the light guiding plate 26, and which internally reflect light coming from the incident surface 27 of the light guiding plate 26 in a direction in which an angle to the normal of the emission surface 28 is smaller.
[0043] The plurality of prism units 30 are long and slender prism units which are parallel with the incident surface 27 of the light guiding plate 26 and have a length corresponding to the entire width of the light guiding plate 26, and whose cross section has a trapezoidal shape. Of both the side surfaces of each of the prism units 30, the side surface at the side of the incident surface 27 is formed as a steep-angle surface which is approximately perpendicular to the emission surface 28, and the other side surface is formed as an inclined surface which is inclined in the direction of the incident surface 27 toward the external surface of the reflection surface 29 at an angle of 30 to 60 degrees (preferably, approximately 45 degrees) to the emission surface 28. The top surface between these side surfaces (steep-angle surface and inclined surface) is formed as a flat surface parallel with the emission surface 28.
[0044] FIG. 3 and FIG. 4 show the plurality of prism units 30 exaggeratedly largely. However, the prism units 30 are formed in a pitch smaller than the pixel pitch of the liquid crystal cell 2.
[0045] The light guiding plate 26 is for guiding a light coming from the incident surface 27 so as to be emitted from the emission surface 28. A light coming into the light guiding plate 26 from the incident surface 27 either goes straight in the light guiding plate 26 as shown by arrows in FIG. 3, or is internally reflected on the emission surface 28 by total internal reflection at the interface with the external air (atmosphere) to come into any of the inclined surfaces of the plurality of long and slender prism units 30 of the reflection surface 29, and to be internally reflected on the inclined surface by total internal reflection at the interface with the external air toward a direction in
which an angle to the normal of the emission surface 28 is smaller and then emitted from the emission surface 28.
[0046] The light guiding member 31 arranged at the side of the light guiding plate 26 is made of a slender transparent material (for example, acryl resin) having a square stick shape having a length corresponding to the incident surface 27 of the light guiding plate 26. One side surface of the light guiding member 31 forms a slender emission surface 33 for emitting a light. One of two end surfaces intersecting with the slender emission surface 33 of the slender transparent material forms an incident surface 32 from which a light comes to the slender transparent material. The other side surface that is opposing to the slender emission surface 33 forms a reflection surface 34 for internally reflecting a light coming from the incident surface 32 so as to be emitted from the slender emission surface 33.
[0047] The reflection surface 34 at the other side surface of the light guiding member 31 is constituted by a plurality of prism units 35 which are formed densely in parallel with one another side by side over the entire surface of the other side surface, and which internally reflect a light coming from the incident surface 32 of the light guiding member 31 toward a direction in which an angle to the normal of the slender emission surface 33 at the one side surface of the light guiding member 31 is smaller.
[0048] The plurality of prism units 35 are slender prism units which are parallel with the incident surface 32 of the light guiding member 31 and have a length corresponding to the entire width of the other side surface of the light guiding member 31, and whose cross section has a triangular shape. Of both the side surfaces of each of the prism units 35, the side surface at the side of the incident surface 32 is formed as a steep-angle surface which is approximately perpendicular to the slender emission surface 33, and the other side surface is formed as an inclined surface which is inclined in the direction of the incident surface 32 toward the external surface of the reflection surface 34 at an angle of 30 to 60 degrees (preferably, approximately 45 degrees) to the slender emission surface 33.
[0049] FIG. 3 shows the plurality of prism units 35 exaggeratedly largely. However, the prism units 35 are actually formed in a pitch approximately the same as the pitch of the prism units 30 on the reflection surface 29 of the light guiding plate 26.
[0050] The light guiding member 31 is for guiding a light coming from the incident surface 32 to be emitted from the slender emission surface 33 at the one side surface of the light guiding member 31. A light coming into the light guiding member 31 from the incident surface 32 either goes straight in the light guiding member 31 as shown by arrows in FIG. 3, or is internally reflected on the slender emission surface 33 by total internal reflection at the interface with the external air so as to come to any of the inclined surfaces of the plurality of prism units 35 of the reflection surface 34, and to be internally reflected on the inclined surface by total internal reflection at the interface with the external air toward a direction in which an angle to the normal of the slender emission surface 33 is smaller, and then to be emitted from the entire surface of the slender emission surface 33 with a uniform distribution of intensity.
[0051] The light guiding member 31 has its slender emission surface 33 opposing to the incident surface 27 of the light guiding plate 26, such that the slender emission surface 33 of the light guiding member 31 and the incident surface 27 of the light guiding plate 26 are arranged in parallel with each other.
[0052] In the present embodiment, a reflector 37 is provided behind the reflection surface 34 of the light guiding member 31, in order to return a light permeating the reflection surface 34 and leaking behind the light guiding member 31 back to the light guiding member 31.
[0053] The retardation plate 36 arranged between the light guiding plate 26 and the light guiding member 31 is a λ/2 retardation plate for providing a phase difference of 1/2 of a wavelength between a normal light and an abnormal light of a permeation light. The retardation plate 36 rotates the polarization plane of a linearly-polarized component of a light emitted from the slender emission surface 33 of the light guiding member 31 by substantially 90 degrees, and then lets the light come to the incident surface 27 of the light guiding plate 26.
[0054] The λ/2 retardation plate 36 has a slender shape corresponding to the entire incident surface 27 of the light guiding plate 26 and the entire slender emission surface 33 of the light guiding member 31. The λ/2 retardation plate 36 is arranged between the incident surface 27 of the light guiding plate 26 and the slender emission surface 33 of the light guiding member 31 with one surface adhered to the incident surface 27 of the light guiding plate 26 by a transparent adhesive agent and the other surface adhered to the slender emission surface 33 of the light guiding member 31 by a transparent adhesive agent.
[0055] The light emitting element 38 arranged so as to oppose to the incident surface 32 of the light guiding member 31 is a solid light emitting element 38 which is constituted by an LED (Light Emitting Diode) and which emits a white light. For example, a red LED, a green LED, and a blue LED are molded by a transparent resin to constitute the solid light emitting element 38, and a white light made by mixing red, green, and blue lights emitted from these LEDs is emitted from the solid light emitting element 38.
[0056] In the surface light source 25, a light emitted from the solid light emitting element 38 comes into the light guiding member 31 from the incident surface 32, is internally reflected on the reflection surface 34 opposite to the slender emission surface 33 of the light guiding member 31 to be emitted from the entire slender emission surface 33 of the light guiding member 31 with a uniform distribution of intensity toward the incident surface 27 of the light guiding plate 26, and then comes to the entire
incident surface 27 of the light guiding plate 26 while keeping the uniform distribution of intensity so as to be internally reflected on the reflection surface 29 of the light guiding plate 26 and emitted from the entire emission surface 28 of the light guiding plate 26. With this surface light source 25, a light having a uniform distribution of strength can be emitted from the entire emission surface 28 of the light guiding plate 26 by using a small number of light emitting element.
[0057] Further, in the surface light source 25, a light emitted from the slender emission surface 33 of the light guiding member 31 comes into the incident surface 27 of the light guiding plate 26 after the polarization plane of a linearly-polarized component of the light is rotated by substantially 90 degrees by the λ/2 retardation plate 36 arranged between the incident surface 27 of the light guiding plate 26 and the slender emission surface 33 of the light guiding member 31. Therefore, of a light coming into the light guiding member 31 from the incident surface 32 to be internally reflected on the reflection surface 34 of the light guiding member 31 and emitted from the slender emission surface 33 of the light guiding member 31 and coming into the light guiding plate 26 from the incident surface 27, a linearly-polarized component having a high intensity can be internally reflected on the reflection surface 29 of the light guiding plate 26 with a high reflection intensity and can be emitted from the emission surface 28 of the light guiding plate 26 as a light having a sufficient intensity.
[0058] As described above, the light guiding plate 26 lets a light coming from the incident surface 27 go straight in the light guiding plate 26 or be internally reflected on the emission surface 28 to come to the reflection surface 29 to be internally reflected on the reflection surface 29 and emitted from the emission surface 28. A linearly-polarized component that vibrates in the direction perpendicular to a plane including the incident light to the reflection surface 29 and its reflection light (such a component will hereinafter be referred to as S wave) is internally reflected with a higher intensity than that for a linearly-polarized component that vibrates within the plane (hereinafter referred to as P wave).
[0059] Further, as described above, the light guiding member 31 lets a light coming from the incident surface 32 be internally reflected on the reflection surface 34 to be emitted from the slender emission surface 33. An S wave, which is a linearly-polarized component vibrating in the direction perpendicular to a plane including the incident light to the reflection surface 34 and its reflection light is internally reflected with a higher intensity than that for a P wave, which is a linearly-polarized component vibrating within the plane.
[0060] Accordingly, of the light emitted from the slender emission surface 33 of the light guiding member 31, the intensity of the S-wave polarized component is higher than that of the P-wave polarized component.
[0061] Since the reflection surface 29 of the light guiding plate 26 and the reflection surface 34 of the light guiding member 31 are arranged so as to intersect with each other at an angle of 90 degrees, a light emitted from the slender emission surface 33 of the light guiding member 31 is let to come into the light guiding plate 26 from the incident surface 27 after its polarization plane is rotated by 90 degrees by the λ/2 retardation plate 36.
[0062] Accordingly, of a light emitted from the slender emission surface 33 of the light guiding member 31, an S wave S1 having a high intensity comes to the reflection surface 29 of the light guiding plate 26 as an S wave S2 which is to be reflected by the reflection surface 29 with a high reflection intensity. Thus, the surface light source 25 can let a polarized component having a high light intensity that is emitted from the slender emission surface 33 of the light guiding member 31 be internally reflected on the reflection surface 29 of the light guiding plate 26 with a high reflection intensity, and thus can let a light having a sufficient intensity be emitted from the emission surface 28 of the light guiding plate 26.
[0063] Since the surface light source 25 comprises the light guiding plate 26 in which one end surface of a transparent plate forms the incident surface 27 from which a light comes, one of two plate surfaces of the transparent plate forms the emission surface 28 for emitting a light guided in the transparent plate, and the other plate surface forms the reflection surface 29 for internally reflecting a light coming from the incident surface 27 to be emitted from the emission surface 28, and the light guiding member 31 for guiding a light from the solid light emitting element 38 toward the incident surface 27 of the light guiding plate 26, a light having a sufficient intensity can be emitted from the entire emission surface 28 of the light guiding plate 26 with a uniform distribution of intensity.
[0064] Since the surface light source 25 of the present embodiment comprises only one solid light emitting element 38 constituted by an LED as a light emitting element, it is possible to reduce the cost required, and reduce the amount of electricity to be consumed.
[0065] Further, since the light emitting intensity of the solid light emitting element 38 can be changed by controlling the drive voltage for the solid light emitting element 38, it is possible to arbitrary adjust the intensity of a light to be emitted from the emission surface 28 of the light guiding plate 26.
[0066] Further, in the surface light source 25, the reflection surface 34 of the light guiding member 31 is constituted by the plurality of prism units 35 for internally reflecting a light coming from the incident surface 32 of the light guiding member 31 toward a direction in which an angle to the normal of the slender emission surface 33 of the light guiding member 31 is smaller, it is possible to let a light emitted from the slender emission surface 33 of the light guiding member 31 come into the light guiding plate 26 from around a direction perpendicular to the incident surface 27 and let the light prevail uniformly in the light guiding plate 26 to be emitted from the entire emission surface 28 of the light guiding plate 26 as a light having a more uniform distribution of intensity.
Further, in the surface light source 25, the reflection surface 29 of the light guiding member 26 is constituted by the plurality of prism units 30 for internally reflecting a light coming from the incident surface 27 of the light guiding plate 26 toward a direction in which an angle to the normal of the emission surface 28 of the light guiding plate 26 is smaller, a light having a high frontal luminance (the luminance of a light emitted in a direction near the normal of the emission surface 28 of the light guiding plate 26) can be emitted from the emission surface 28 of the light guiding plate 26.
The liquid crystal display device of the present embodiment performs display by letting a light from the surface light source 25 come to the liquid crystal display element 1 from its front surface. A light emitted from the emission surface 28 of the light guiding plate 26 of the surface light source 25 is polarized by the front polarizing plate 16 of the liquid crystal display element 1 to be a linearly-polarized light parallel with the permeation axis 16a as shown by arrows in FIG. 2, permeates the front retardation plate 18 to be scattered by the scattering layer 20, and comes to the liquid crystal cell 20 from its front.
The light coming to the liquid crystal cell 20 from its front is colored by the color filters 9R, 9G, and 9B corresponding to the respective pixels 80 of the liquid crystal cell 2 and comes to the liquid crystal layer 5. While permeating the liquid crystal layer 5, this light is subjected to a birefringence effect corresponding to the aligning state of the liquid crystal molecules that is changed by an electric field applied between the transparent electrode 6 and the transparent electrode 7 of each pixel 80, and then comes to the half-transparent and half-reflection film 10 on the internal surface of the back substrate 4 of the liquid crystal cell 2. Part of the light coming to the half-transparent and half-reflection film 10 is reflected by the half-transparent and half-reflection film 10 in accordance with its reflection ratio, and the rest of the light permeates the half-transparent and half-reflection film 10.
The light reflected by the half-transparent and half-reflection film 10 again permeates the liquid crystal layer 5 and the color filters 9R, 9G, and 9B to be emitted to the front of the liquid crystal cell 2 and scattered by the scattering layer 20, and permeates the front retardation plate 18 to come to the front polarizing plate 16. Of this light, a polarized component parallel to the permeation axis 16a of the front polarizing plate 16 permeates the front polarizing plate 16 and also permeates the light guiding plate 26 of the surface light source 25 to be emitted to the front of the surface light source 25, and a polarized component parallel to the absorption axis of the front polarizing plate 16 is absorbed into the front polarizing plate 16, thereby an image to be viewed from the front is displayed.
On the other hand, of the light coming to the liquid crystal cell 2 from its front, the light permeating the half-transparent and half-reflection film 10 is emitted toward the back of the liquid crystal cell 2. The light emitted toward the back of the liquid crystal cell 2 permeates the back retardation plate 19 and comes to the back polarizing plate 17. Of the light coming to the back polarizing plate 17, a polarized component parallel to the permeation axis 17a of the back polarizing plate 17 permeates the back polarizing plate 17 to be emitted to the back, and a polarized component parallel to the absorption axis of the back polarizing plate 17 is absorbed into the back polarizing plate 17, thereby an image to be viewed from the back is displayed.
In the present embodiment, since the liquid crystal display element 1 is a normally white mode type, both of the image to be viewed from the front and the image to be viewed from the back are color images in which, a light emitted from a non-electric-field pixel (a pixel whose liquid crystal molecules are in an initial aligning state) that is sandwiched between the transparent electrodes 6 and 7 between which no electric field is applied permeates the front and back polarizing plates 16 and 17 to be emitted to the front and back and displayed as bright display having any of red, green, and blue colors, and a light emitted from an electric-field-applied pixel that is sandwiched between the transparent electrodes 6 and 7 between which an electric field by which liquid crystal molecules are oriented to stand substantially perpendicularly to the front and back substrates 3 and 4 is applied, is absorbed into the front and back polarizing plates 16 and 17 to be displayed as dark display having a black color.
That is, the present liquid crystal display device lets a light from the surface light source 25 arranged in front of the liquid crystal display element 1 come to the liquid crystal display element 1, lets a part of the light coming to the plurality of pixels 80 of the liquid crystal cell 2 from the front of the liquid crystal display element 1 be reflected on the half-transparent and half-reflection film 10 and emitted toward the front of the surface light source 25 so that an image to be viewed from the front will be displayed, and lets the other part of the light permeate the half-transparent and half-reflection film 10 to be emitted toward the back of the liquid crystal display element 1 so that an image to be viewed from the back will be displayed.
Since the present liquid crystal display device displays an image to be viewed from the front by reflecting a part of a light coming to the plurality of pixels 80 of the liquid crystal cell 2 from the front of the liquid crystal display element 1 and displays an image to be viewed from the back by allowing the other part of the light to permeate, it can display both of the image to be viewed from the front and the image to be viewed from the back by using the entire display area (an area where the plurality of pixels 80 of the liquid crystal cell 2 are arranged in a matrix) of the liquid crystal display element 1. Accordingly, the display area of the liquid crystal display element 1 needs only to have a size corresponding to the display screen for either front display or back display.
Therefore, according to the present liquid crystal display device, it is possible to achieve both surface
display by using only one liquid crystal display element 1, and to reduce the occupation area of the liquid crystal display device in a case where the liquid crystal display device is mounted on an apparatus, to an area approximately the same as the display screen for only either front display or back display.
[0076] Further, since the present liquid crystal display device is structured by arranging one surface light source 25 in front of the liquid crystal display element 1, it is possible to reduce the occupation area and volume of the liquid crystal display device in an apparatus, to approximately the area and volume of the liquid crystal display element 1.
[0077] Further, since the present liquid crystal display device is structured such that the liquid crystal display element 1 includes the liquid crystal cell 2 and the half-transparent and half-reflection film 10 which is provided behind the liquid crystal layer 5 for reflecting a part of a light coming to the plurality of pixels 80 from the front of the liquid crystal cell 2 and letting the other part of the light permeate the half-transparent and half-reflection film 10, and the surface light source 25 for emitting a light toward the entire display area where the plurality of pixels 80 of the liquid crystal display element 1 are arranged and letting lights coming from the front and back permeate the surface light source 25 is arranged in front of the liquid crystal display element 1, it is possible to, as shown by broken arrows in FIG. 2, let an external light (a light in an external environment) coming from the front of the surface light source 25 permeate the surface light source 25 to come into the liquid crystal cell 2, let a part of this light that is reflected on the half-transparent and half-reflection film 10 be emitted toward the front of the surface light source 25, let the other part of this light that permeates the half-transparent and half-reflection film 10 be emitted toward the back of the liquid crystal display element 1, and let an external light coming from the back of the liquid crystal display element 1 permeate the half-transparent and half-reflection film 10, the liquid crystal cell 2, and the surface light source 25 to be emitted toward the front.
[0078] Accordingly, the present liquid crystal display device can display an image to be viewed from the front by reflection display using a light from the surface light source 25, by reflection display using an external light coming from the front of the surface light source 25, and by permeation display using an external light coming from the back of the liquid crystal display element 1, and can display an image to be viewed from the back by permeation display using a light from the surface light source 25 and by permeation display using an external light coming from the front of the surface light source 25.
[0079] In case of display using an external light, an image to be viewed from the front is displayed by both of reflection of an external light coming from the front and permeation of an external light coming from the back in an environment where the liquid crystal display device has an external light coming thereto from both of its front and its back, and is displayed by reflection of an external light coming from the front in an environment where an external light does not come to the liquid crystal display device from its back.
[0080] Further, in case of display using an external light, if the intensity of an external light that comes to the liquid crystal display device is insufficient and thus a display having sufficient brightness cannot be obtained, the surface light source 25 can be used as an auxiliary light source, so that a light having an intensity supplementing the intensity of the external light will be emitted from the surface light source 25 and thereby a display having sufficient brightness will be obtained.
[0081] As described above, the present liquid crystal display device is structured such that the surface light source 25 that emits a light toward the liquid crystal display element 1 and lets lights coming from its front and back permeate therethrough is arranged in front of the liquid crystal display element 1 including the liquid crystal cell 2 and the half-transparent and half-reflection film 10 which is provided behind the liquid crystal layer 5 for reflecting a part of a light coming from the front of the liquid crystal cell 2 to the plurality of pixels 80 and letting the other part of the light permeate the half-transparent and half-reflection film 10. Accordingly, it is possible to obtain both surface display with the use of one liquid crystal display element 1, to reduce the occupation area and volume of the liquid crystal display device, and to display an image to be viewed from the front and an image to be viewed from the back in a display manner using a light from the surface light source 25 and in a display manner using an external light which is a light in the external environment.
[0082] Further, since the present liquid crystal display device is provided, behind the liquid crystal layer 5 of the liquid crystal cell 2 of the liquid crystal display element 1, with the half-transparent and half-reflection film 10 that reflects an incident light or lets this incident light permeate therethrough with a predetermined reflection ratio and a predetermined permeation ratio as reflection/permeation means, it is possible to let a light be emitted toward the front and back from the entire area of the plurality of pixels 80 of the liquid crystal cell 2, and to display both of an image to be viewed from the front and an image to be viewed from the back by using the entire area of the plurality of pixels 80 of the liquid crystal cell 2 regardless of whether the display is performed by using a light from the surface light source 25 or by using an external light.
[0083] Further, the present liquid crystal display device is provided, between the liquid crystal cell 2 of the liquid crystal display device 1 and the front polarizing plate 16 and between the liquid crystal cell 2 and the back polarizing plate 17, with the retardation plates 18 and 19 for improving the display contrast and the view angle, and is provided, between the liquid crystal cell 2 and the front retardation plate 18, with the scattering layer 20, it is possible to emit a light which is scattered by the scattering layer 20 and thereby has a uniform distribution of luminance toward the front and the back. Accordingly, both of an image to be viewed from the front and an image to be viewed from the back can be a high quality image having a sufficient contrast and a sufficient view angle, and having no unevenness in the luminance.
[0084] In the present embodiment, the scattering layer 20 is arranged between the liquid crystal cell 2 and the front retardation plate 18. However, the scattering layer 20 may be arranged between the front polarizing plate 16 and the front retardation plate 18.
(Second Embodiment)
[0085] FIG. 6 is a fragmentary sectional view of a liquid crystal display device according to a second embodiment of the present invention. The liquid crystal display element 1 of the liquid crystal display device of the present embodiment is provided with a reflection film 14 as reflection/permeation means behind the liquid crystal layer 5 of the liquid crystal cell 2. The reflection film 14 has open portions 14a each of which is formed in a region 82 defined in each of a plurality of pixels 80 of the liquid crystal cell 2, and reflection portions 14b each of which is formed in another region 81 defined in each of the plurality of pixels 80. The reflection film 14 is a partial reflection/permeation layer 14 which reflects, of a light coming to each of the plurality of pixels 80, a light that comes to the reflection portions 14b, and lets a light that comes to the open portions 14a permeate therethrough. In the present embodiment, it is preferable that the reflection film 14 be a metal single-sided reflection film in which a low reflection treatment is applied to the surface opposite to the surface facing the liquid crystal layer 5, and a specular surface treatment is applied to the surface facing the liquid crystal layer 5. The reflection film 14 is formed on the internal surface of the back substrate 4 of the liquid crystal cell 2 to be fitted to approximately 1/2 of the area of each of the pixels 80 arranged in a matrix. Each of the plurality of pixel electrodes 7 is formed with its one part (approximately 1/2 of each pixel electrode 7) overlaid directly upon the reflection film 14.
[0086] Since the liquid crystal display device of the present embodiment is the same as the liquid crystal display device of the first embodiment, except that the partial reflection/permeation layer 14 replaces the half-transparent and half-reflection film 10 of the first embodiment as the reflection/permeation means provided behind the liquid crystal layer 5 of the liquid crystal cell 2, the same components as those in the first embodiment will be denoted by the same reference numerals and the explanation for such components will be omitted.
[0087] The present liquid crystal display device lets one or both of a light from the surface light source 25 and an external light coming from the front of the surface light source 25 come to the liquid crystal display element 1 from its front, and lets a part of the light coming to each of the plurality of pixels 80 of the liquid crystal cell 2, i.e. a light that comes to the region (reflection display region) 81 within each of the plurality of pixels 80 that corresponds to the reflection portion 14b of the reflection film 14 be reflected by the reflection portion 14b and emitted toward the front, and lets the other part of the light, i.e. a light that comes to the region (permeation display region) 82 within each of the plurality of pixels 80 that corresponds to the open portion 14a of the reflection film 14 permeate the open portion 14a to be emitted toward the back.
[0088] Further, if an external light comes to the liquid crystal display element 1 also from its back, the present liquid crystal display device lets a light, of the light coming from the back, that permeates the open portion 14a and comes to each of the plurality of pixels 80 of the liquid crystal cell 2 be emitted toward the front.
[0089] That is, the present liquid crystal display device displays an image to be viewed from the front by using one or both of a light that comes to the plurality of pixels 80 of the liquid crystal cell 2 from the front of the liquid crystal display element 1 (this light including one or both of a light from the surface light source 25 and an external light coming from the front of the surface light source 25) and then is reflected by the reflection portion 14b, and a light (an external light coming from the back of the liquid crystal display element 1) that comes to the plurality of pixels 80 of the liquid crystal cell 2 after permeating the open portion 14a from the back of the liquid crystal display element 1, and displays air image to be viewed from the back by using a light that comes to the plurality of pixels 80 of the liquid crystal cell 2 from the front and permeates the open portion 14a.
[0090] Accordingly, with the present liquid crystal display device, likewise the liquid crystal display device of the first embodiment, it is possible to obtain both surface display with the use of one liquid crystal display element 1, to reduce the occupation area and volume of the liquid crystal display device, and to display both of an image to be viewed from the front and an image to be viewed from the back in a display manner using a light from the surface light source 25 and in a display manner using an external light which is a light in the external environment.
[0091] Since the present liquid crystal display device comprises, as the reflection/permeation means, the reflection film 14 which is formed behind the liquid crystal layer 5 of the liquid crystal cell 2 of the liquid crystal display element 1 so as to correspond to the regions 81 and 82 of each of the plurality of pixels 80 of the liquid crystal cell 2, and lets a light, of a light coming to each of the plurality of pixels 80, that comes to the reflection portion 14b be reflected thereon, and a light that comes to the open portion 14a permeate therethrough, it is possible to display an image to be viewed from the front by letting a light be emitted toward the front from the predetermined region 81 within each of the plurality of pixels 80 of the liquid crystal cell 2, and display an image to be viewed from the back by letting a light be emitted toward the back from the other region 82 within each of the plurality of pixels 80 regardless of whether the display is performed.
by using a light from the surface light source 25 or by using an external light.
[0092] A part of the liquid crystal layer 5 that corresponds to the reflection display region 81 is thinner than a part of the liquid crystal layer 5 that corresponds to the permeation display area 82. Due to this, it is possible to unify display characteristics such as contrast between reflection display and permeation display.
[0093] In the present embodiment, the reflection portion 14b is formed so as to correspond to 1/2 of the area of each of the plurality of pixels 80 of the liquid crystal cell 2. However, the shapes of the reflection portion 14b and open portion 14a and the area ratio between them may be arbitrary. Further, the reflection portion 14b and the open portion 14a may be formed in one pixel 80 in plural numbers respectively.
(example not forming part of the present invention,
[0094] FIG. 7 is a fragmentary sectional view of a liquid crystal display device according to an example not forming part of the present invention. The liquid crystal display element 1 of the liquid crystal display device of the present example is provided as reflection/permeation means, behind the liquid crystal layer 5 of the liquid crystal cell 2, 20 with a polarized light separating element 15 for reflecting, of two different polarized components of an incident light, one polarized component, and letting the other polarized component permeate therethrough.
[0095] In the present example, the polarized light separating element 15 is a reflecting/polarizing element for reflecting, of two linearly-polarized components orthogonal to each other of an incident light, one polarized component, and letting the other polarized component permeate therethrough. In the present example, a reflecting/polarizing plate which has a permeation axis and a reflection axis (both not illustrated) in orthogonal directions to each other, and which reflects, of two linearly-polarized components orthogonal to each other of an incident light, one polarized component having a vibration surface parallel to the reflection axis and lets the other polarized component having a vibration surface parallel to the permeation axis permeate therethrough, is used as the polarized light separating element 15. The polarized light separating element 15 will hereinafter be referred to as reflecting/polarizing plate.
[0096] In the present example, the reflecting/polarizing plate 15 is arranged at the back of the back substrate 4 of the liquid crystal cell 2, and the back polarizing plate (absorptive polarizing plate) 17 which is arranged at the back portion of the liquid crystal display element 1 in the first and second embodiments is omitted. Further, the back retardation plate 19 which is arranged at the back portion of the liquid crystal display element 1 in the first and second embodiments is also omitted.
[0097] The liquid crystal display element 1 of the present example a TN type liquid crystal display element whose display to be viewed from the front is in a normally white mode, and the reflecting/polarizing plate 15 is arranged such that its permeation axis is substantially parallel with the permeation axis 16a of the absorptive polarizing plate 16 which is arranged at the front of the liquid crystal cell 2, and its reflection axis is substantially orthogonal to the permeation axis 16a of the absorptive polarizing plate 16.
[0098] The liquid crystal display device of the present example is the same as the liquid crystal display device of the first embodiment, except that the reflection/permeation means behind the liquid crystal layer 5 of the liquid crystal cell 2 is the reflecting/polarizing plate 15 which serves also as a back polarizing plate. Therefore, the same components as those in the first embodiment are denoted by the same reference numerals and explanation of such components will be omitted.
[0099] The present liquid crystal display device lets one or both of a light from the surface light source 25 and an external light coming from the front of the surface light source 25 come to the liquid crystal display element 1 from its front, lets a part of the light coming to each of the plurality of pixels 80 of the liquid crystal cell 2, i.e. a polarized component parallel with the reflection axis of the reflecting/polarizing plate 15 arranged at the back of the liquid crystal cell 2 be reflected by the reflecting/polarizing plate 15 and emitted toward the front, and lets the other part of the light, i.e. a polarizing component parallel with the permeation axis of the reflecting/polarizing plate 15 permeate the reflecting/polarizing plate 15 to be emitted toward the back.
[0100] In a case where an external light comes to the liquid crystal display element 1 also from its back, the present liquid crystal display element 1 lets a part of the light coming from the back, that permeates the reflecting/polarizing plate 15 and comes to the plurality of pixels 80 of the liquid crystal cell 2 be emitted toward the front.
[0101] That is, the present liquid crystal display device displays an image to be viewed from the front by using one or both of a light that comes to each of the plurality of pixels 80 of the liquid crystal cell 2 from the front of the liquid crystal display element 1 (this light including one or both of a light from the surface light source 25 and an external light coming form the front of the surface light source 25) and is reflected by the reflecting/polarizing plate 15 and a light (an external light coming from the back of the liquid crystal display element 1) that permeates the reflecting/polarizing plate 15 from the back of the liquid crystal display element 1 and comes to each of the plurality of pixels 80 of the liquid crystal cell 2, and displays an image to be viewed from the back by using a light that comes to each of the plurality of pixels 80 of the liquid crystal cell 2 from the front and permeates the reflecting/polarizing plate 15.
[0102] Accordingly, with the present liquid crystal display device, it is possible to achieve both surface display with the use of one liquid crystal display element 1, to reduce the occupation area of the liquid crystal display device, and to display both of an image to be viewed from
the front and an image to be viewed from the back in a display manner using a light from the surface light source 25 and in a display manner using an external light which is a light in the external environment, likewise the liquid crystal display device of the first embodiment.
[0103] In the present liquid crystal display device, since a part of an external light coming from the back is reflected by the reflecting/polarizing plate 15, the background of the entire back screen looks like a specular surface due to the reflected light. An image to be viewed from the back is displayed in the specular surface background by a light that comes from the front and permeates the reflecting/polarizing plate 15.
[0104] Since the present liquid crystal display device comprises as the reflection/permeation means, the reflecting/polarizing plate 15 for reflecting, of two different linearly-polarized components of an incident light, one polarized component, and letting the other polarized component permeate therethrough behind the liquid crystal layer 5 of the liquid crystal cell 2 of the liquid crystal display element 1, it can let a light be emitted from the entire area of the plurality of pixels 80 of the liquid crystal cell 2 toward the front and the back and display both of an image to be viewed form the front and an image to be viewed from the back by using the entire area of the plurality of pixels 80 of the liquid crystal cell 2, regardless of whether the display is performed by using a light from the surface light source 25 or by using an external light.
(Another example not forming part of the present invention.
[0105] FIG. 8 is a fragmentary sectional view of a liquid crystal display device according to another example not belonging to the present invention. The liquid crystal display device of the present example comprises a light scattering layer (hereinafter referred to as scattering layer) 21 behind the reflecting/polarizing plate 15 of the third embodiment.
[0106] The present liquid crystal display device lets an external light coming from the back of the liquid crystal display element 1 be scattered by the scattering layer 21 and come to the reflecting/polarizing plate 15, and lets a light returning to the back by being reflected by the reflecting/polarizing plate 15 (a polarized component having a vibration surface parallel with the reflection axis of the reflecting/polarizing plate 15) and a light that comes from the front of the liquid crystal display element 1 to be emitted toward the back be scattered by the scattering layer 21.
[0107] The present liquid crystal display device can change the background of the back screen made by the light reflected by the reflecting/polarizing plate 15 from the specular surface background of the above third embodiment to a white background due to scattering of the reflected light, and can restrict floating of the dark display level of the image to be viewed from the back due to scattering of the reflected light, thereby the contrast of the image to be viewed from the back can be improved.
[0108] In this and the previous example, a polarized light separating element constituted by the reflecting/polarizing plate 15 is provided as the reflection/permeation means behind the liquid crystal layer 5 of the liquid crystal cell 2 of the liquid crystal display element 1. As long as having a polarized light separating characteristic of reflecting, of two different polarized components of an incident light, one polarized component and letting the other polarized component permeate, the polarized light separating element may be structured by sandwiching a circularly-polarized light separating plate (for example, a polarized light separating plate made of a cholesteric liquid crystal film) for reflecting, of two circularly-polarized components of an incident light rotating rightward and leftward respectively, one circularly-polarized component and letting the other circularly-polarized component permeate therethrough, between a pair of retardation plates (\(\lambda/4\) plates) one of which circularly polarizes a linearly-polarized light coming thereto and lets this light come to the circularly-polarized light separating plate, and the other of which linearly polarizes the circularly-polarized light emitted from the circularly-polarized light separating plate and emits this light.
[0109] The liquid crystal display device of the two examples comprises a TN type liquid crystal display element 1. However, the liquid crystal display element is not limited to the TN type, but a liquid crystal display element of an STN (Super Twisted Nematic) type, a non-twisted homogeneous aligning type, a ferroelectric type, an antiferroelectric type, etc. may be used.
[0110] Further, the liquid crystal display element is not limited to a normally white mode type, but may be a normally black mode type. The liquid crystal cell is not limited to an active matrix type, but may be a simple matrix type.
[0111] Further, in the surface light source 25 of the liquid crystal display device of the above-described embodiments, the reflection surface 34 of the light guiding member 31 is constituted by the plurality of prism units 35 which internally reflect a light coming from the incident surface 32 of the light guiding member 31 toward a direction in which an angle to the normal of the slender emission surface 33 of the light guiding member 31 is smaller. However, the reflection surface 34 of the light guiding member 31 may be constituted by continuous inclined surfaces which are inclined toward the slender emission surface 33 in the direction from the incident surface 32 to its opposing surface of the light guiding member 31.
[0112] Further, in the surface light source 25 of the above-described embodiments, the reflection surface 29 of the light guiding plate 26 is constituted by the plurality of prism units 30 which internally reflect a light coming from the incident surface 27 of the light guiding plate 26 toward a direction in which an angle to the normal of the emission surface 28 of the light guiding member 26 is smaller. However, the reflection surface 29 of the light guiding plate 26 may be constituted by continuous inclined surfaces which are inclined toward the emission surface 28 in the direction from the incident surface 27 to its opposing surface of the light guiding plate 26.
[0113] Further, in the surface light source 25 of the above-described embodiments, one solid light emitting element 38 is arranged so as to oppose to the incident surface 32 of the light guiding member 31. However, in a case where the area of the incident surface 32 of the light guiding member 31 is larger than that of the solid light emitting element 38, a plurality of solid light emitting elements 38 may be arranged so as to oppose to the incident surface 32 of the light guiding member 31.
[0114] Further, in the surface light source 25 of the above-described embodiments, one end surface of the light guiding plate 26 is formed as the incident surface 27, the light guiding member 31 whose one end surface is formed as the incident surface 32 is arranged so as to oppose to the incident surface 27 of the light guiding plate 26, and the solid light emitting element 38 is arranged so as to oppose to the incident surface 32 of the light guiding member 31. However, both of the end surfaces of the light guiding member 31 may be formed as incident surfaces 32 respectively, and solid light emitting elements 38 may be arranged so as to oppose to both of the incident surfaces 32. Further, both of the end surfaces of the light guiding plate 26 may be formed as incident surfaces 27, and λ/2 retardation plates 36 and light guiding members 31 may be arranged so as to oppose to both of the incident surfaces 27 as well as solid light emitting elements 38 may be arranged so as to oppose to the incident surfaces 32 of these light guiding members 31 on both sides.
[0115] Further, the surface light source 25 arranged at the front of the liquid crystal display element 1 may not comprise the light guiding member 31, but may comprise a light emitting element constituted by a straight tubular cold-cathode tube which is arranged so as to oppose to the incident surface 27 of the light guiding member 26, as long as the surface light source 25 keeps its function of emitting a light toward the liquid crystal display element 1 and letting lights coming from both its front and back permeate therethrough.
[0116] Next, an example where the liquid crystal display device of the present invention is applied to a portable apparatus will be explained. FIG. 9A and FIG. 9B are perspective views of a portable phone as a portable apparatus. FIG. 10A and FIG. 10B are perspective views of a digital camera as a portable apparatus. FIG. 11A and FIG. 11B are perspective views of a personal computer as a portable apparatus. FIG. 12A and FIG. 12B are perspective views of a digital video camera as a portable apparatus.
[0117] The portable apparatus shown in FIG. 9A and FIG. 9B is a folding portable phone 40. The portable phone 40 comprises a body 41 having a keyboard 42 on the top surface thereof, and a lid 43 which has display sections 44a and 44b on the two opposing external surfaces thereof, and is rotatably opened and closed with respect to the body 41.
[0118] While the lid 43 is opened as shown in FIG. 9A, the portable phone 40 displays main information such as addressee data and e-mails which are to be sent or have been received on the main display section 44a on the internal surface (the surface facing the user of the portable phone 40 when the lid 43 is opened) of the lid 43. While the lid 43 is closed as shown in FIG. 9B, the portable phone 40 displays sub information such as a clock and addressor data on the sub display section 44b on the external surface of the of the lid 43. The display sections 44a and 44b on both surfaces of the portable phone 40 are provided with display windows 45a and 45b on the internal surface and external surface of the lid 43. The liquid crystal display device of any one of the above-described embodiments, for example the liquid crystal display device of the first embodiment is set inside the lid 43 such that the front surface of the liquid crystal display device, i.e. the surface on the side of the light guiding plate 26 of the surface light source 25 is positioned so as to be viewed from the display window 45a on the internal surface of the lid 43, and the back surface of the liquid crystal display device, i.e. the surface on the side of the back polarizing plate 17 of the liquid crystal display element 1 is positioned so as to be viewed from the display window 45b on the external surface of the lid 43.
[0119] The portable phone 40 is provided with display drive means for driving the liquid crystal cell 2 of the liquid crystal display element 1 of the liquid crystal display device in a manner that the portable phone 40 displays an image reversely in the left-to-right or right-to-left direction between when the lid 43 is opened and when the lid 43 is closed. Accordingly, a proper image having no reverse can be displayed on the main display section 44a on the internal surface of the lid 43 and on the sub display section 44b on the external surface of the lid 43.
[0120] FIG. 10A and FIG. 10B show a thin digital camera 50. The digital camera 50 comprises display sections 54a and 54b at positions corresponding to each other back to back on the two opposing external surfaces of its camera body 51 provided with a photographing lens 52 and a finder 53, i.e. the back surface (the surface facing the user) shown in FIG. 10A, and the front surface (the surface facing the photo subject) shown in FIG. 10B.
[0121] The digital camera 50 displays an image being photographed and an already photographed and stored image on the main display section 54a on the back surface and on the sub display section 54b on the front surface. The display sections 54a and 54b on the both surfaces of the digital camera 50 are provided with display windows 55a and 55b on the back surface and front surface of the camera body 51. The liquid crystal display device of any one of the above-described embodiments, for example the liquid crystal display device of the first embodiment is set inside the camera body 51 such that the front surface of the liquid crystal display device (the front surface of the light guiding plate 26 of the surface light source 25) is positioned so as to be viewed from the
display window 55a on the back surface of the camera body 51, and the back surface of the liquid crystal display device (the back surface of the back polarizing plate 17 of the liquid crystal display element 1) is positioned so as to be viewed from the display window 55b on the front surface of the camera body 51.
[0122] The digital camera 50 can display an image being photographed and an already photographed and stored image on either of the main display section 54a and the sub display section 54b that is selected, and can also display such an image on both of the main display section 54a and the sub display section 54b at the same time. In a case where displaying an image on either of the main display section 54a and the sub display section 54b that is selected, the digital camera 50 can display this image properly with no reverse on either of the main display section 54a and the sub display section 54b that is selected, by driving the liquid crystal cell 2 of the liquid crystal display element 1 of the liquid crystal display device in a manner that the image is displayed reversely in the left-to-right or right-to-left direction between when the image is displayed on the main display section 54a and when the image is displayed on the sub display section 54b. In a case where displaying an image on both of the main display section 54a and the sub display section 54b at the same time, the digital camera 50 displays a proper image on one of the display sections 54a and 54b, for example, on the main display section 54a, and displays on the other display section 54b, an image reversed left-side right or right-side left from the proper image on the main display section 54a.
[0123] FIG. 11A and FIG. 11B show a lap-top personal computer 60. The personal computer 60 comprises a body 61 having a keyboard 62 on the top surface thereof, and a lid 63 which has display sections 64a and 64b on its two opposing external surfaces and is rotatably opened and closed with respect to the body 61.
[0124] While the lid 63 is opened as shown in FIG. 11A, the lap-top personal computer 60 displays main information on the main display section 64a on the internal surface (the surface facing the user of the personal computer 60 when the lid 63 is opened) of the lid 63. While the lid 63 is closed as shown in FIG. 11B, the personal computer 60 displays sub information on the sub display section 64b on the external surface of the of the lid 63. The display sections 64a and 64b on both surfaces of the personal computer 60 are provided with display windows 65a and 65b on the internal surface and external surface of the lid 63. The liquid crystal display device of any one of the above-described embodiments, for example the liquid crystal display device of the first embodiment is set inside the lid 63 such that the front surface of the liquid crystal display device (the front surface of the light guiding plate 26 of the surface light source 25) is positioned so as to be viewed from the display window 65a on the internal surface of the lid 63, and the back surface of the liquid crystal display device (the back surface of the back polarizing plate 17 of the liquid crystal display element 1) is positioned so as to be viewed from the display window 65b on the external surface of the lid 63.
[0125] Even when the lid 63 is closed, the lap-top personal computer 60 can partly display a clock and illustrations in a part of the sub display section 64b on the external surface of the lid 63, or can display a television image on the entire sub display section 64b. By driving the liquid crystal cell 2 of the liquid crystal display element 1 of the liquid crystal display device in a manner that an image is displayed reversely in the left-to-right or right-to-left direction between when the lid 63 is opened and when the lid 63 is closed., the personal computer 60 can display a proper image having no reverse on both of the main display section 64a on the internal surface of the lid 63 and the sub display section 64b on the external surface of the lid 63.
[0126] The lap-top personal computer 60 may be so structured as to include a transparent touch input panel which would be arranged at the sub display section 64b on the external surface of the lid 63 so as to be overlaid on the back surface of the liquid crystal display device. With this structure, even when the lid 63 is closed, the personal computer 60 can be used for inputting information from the touch input panel and displaying this information on the sub display section 64b.
[0127] FIG. 12A and FIG. 12B show a video camera 70. The video camera 70 comprises a camera body 71 which are provided with a photographing lens 72 and a finder 73 and which has a monitor storage unit 74 in its one side surface, and a monitor unit 75 which has display sections 76a and 76b on its two opposing external surfaces and which is used by being stood from the monitor storage unit 74.
[0128] The video camera 70 displays an image being photographed and an already photographed and stored image on the main display section 76a on the back surface of the monitor unit 75 shown in FIG. 12B and on the sub display section 76b on the front surface of the monitor unit 75 shown in FIG. 12A. The display sections 76a and 76b on both surfaces of the monitor unit 75 are provided with display windows 77a and 77b on the back surface and front surface of the monitor unit 75. The liquid crystal display device of any one of the above-described embodiments, for example the liquid crystal display device of the first embodiment is set inside the monitor unit 75 such that the front surface of the liquid crystal display device (the front surface of the light guiding plate 26 of the surface light source 25) is positioned so as to be viewed from the display window 77a on the back surface of the monitor unit 75, and the back surface of the liquid crystal display device (the back surface of the back polarizing plate 17 of the liquid crystal display element 1) is positioned so as to be viewed from the display window 77b on the front surface of the monitor unit 75.
[0129] The video camera 70 can display an image being photographed and an already photographed and stored image on either of the main display section 76a
and sub display section 76b of the monitor unit 75 that is selected, and can also display such an image on both of the main display section 76a and the sub display section 76b at the same time. In a case where displaying an image on either of the main display section 76a and the sub display section 76b that is selected, the video camera 70 can display this image properly with no reverse on either of the main display section 76a and the sub display section 76b that is selected, by driving the liquid crystal cell 2 of the liquid crystal display element 1 of the liquid crystal display device in a manner that the image is displayed reversely in the left-to-right or right-to-left direction between when the image is displayed on the main display section 76a and when the image is displayed on the sub display section 76b. In a case where displaying an image on both of the main display section 76a and the sub display section 76b at the same time, the video camera 70 displays a proper image on one of the display sections 76a and 76b, for example, on the main display section 76a, and displays on the other display section 76b, an image reversed left-side right or right-side left from the proper image on the main display section 76a.
[0130] Since the liquid crystal display device which is mounted inside the portable apparatuses 40, 50, 60, and 70 shown in FIGS. 9A and 9B to FIGS. 12A and 12B performs both surface display with the use of one liquid crystal display element 1, the occupation area and volume required by the liquid crystal display device inside each apparatus is only the occupation area and volume of approximately one liquid crystal display element 1. Accordingly, each apparatus can be miniaturized. Further, each apparatus can display images on both surfaces in a sufficiently large screen size, and can be manufactured at a lower cost than an apparatus in which a both surface display type liquid crystal display device including two liquid crystal display elements is mounted.
[0131] Further, since the liquid crystal display device displays images to be viewed from the front and back in a display manner using a light from the surface light source 25 and in a display manner using an external light, the apparatuses 40, 50, 60, and 70 can display images on both surfaces in a display manner using a light from the surface light source 25 of the liquid crystal display device and in display manner using an external light.
[0132] The present invention can be applied not only to the portable phone 40, the digital camera 50, the laptop personal computer 60, and the video camera 70 described above, but also to other portable apparatuses. In that case too, display windows may be provided on two opposing external surfaces of the apparatus, and any of the above-described liquid crystal display devices may be mounted inside the apparatus such that the front surface of the liquid crystal display device faces the display window on one of the two external surfaces of the apparatus and the back surface of the liquid crystal display device faces the display window on the other of the two external surfaces.
[0133] Various embodiments may be made without departing from the scope of the invention as defined in the attached claims. The above-described embodiments are intended to illustrate the present invention, not to limit the scope of the present invention.
Claims
1. A double-sided liquid crystal display device arranged to display an image viewable from the back side and the front side of the device, comprising:
a first substrate (3) and a second substrate (4) which are arranged so as to oppose to each other;
at least one first electrode (6) which is formed on one of opposing internal surfaces of said first substrate (3) and said second substrate (4);
a plurality of second electrodes (7) which are formed on the other of the opposing internal surfaces of said first substrate (3) and said second substrate (4), and which form a plurality of pixels (80) arranged in a matrix in an area opposing to said first electrode (6) on the one internal surface;
a liquid crystal layer (5) which is sealed in a predetermined gap between said first substrate (3) and said second substrate (4);
a pair of polarizing plates (16, 17) which are arranged so as to sandwich said first substrate (3) and said second substrate (4); and
a reflection/transmission means (10, 14) which is provided between said liquid crystal layer (5) and one of said pair of polarizing plates (16, 17), and which reflects a part of a light coming to each of said plurality of pixels (80) and transmits the other part of the light,
a surface light source (25) which is arranged on the other side of said liquid crystal layer (5) so as to oppose to the other of said pair of polarizing plates (16, 17), and which emits a light toward said opposing other polarizing plate (16), and transmits lights coming to said surface light source (25) from a side of the opposing other polarizing plate (16) and from a side opposing to this side,
wherein said reflection/transmission means (10, 14) is constituted by an aluminum alloy film (10) having a thickness of 0.025 μm or less, or by a metal reflection film (14) having an open portion (14a) and a reflection portion (14b) formed for each of said pixels (80) to constitute a partial reflection/transmission layer (14) which reflects, of a light coming to each of said pixels (80), a light that comes to said reflection portion (14b), and transmits a light that comes to said open portion (14a), and said first and second substrates (3, 4), said first and
second electrodes (6, 7) and said pair of polarizing plates (16, 17) are transparent,
characterized in that
said aluminum alloy film (10) or said metal reflection film (14), which has said open portion (14a) and said reflection portion (14b), of said reflection/transmission means (10, 14), is formed to be laminated on the internal surface of the same of said first substrate (3) or said second substrate (4) on which said plurality of second electrodes (7) is formed, such that said plurality of second electrodes (7) is formed directly upon said aluminum alloy film (10) or said metal reflection film (14).
2. The liquid crystal display device according to claim 1, further comprising two retardation plates (18, 19) which are arranged between said pair of polarizing plates (16, 17) so as to sandwich said first substrate (3) and said second substrate (4).
3. The liquid crystal display device according to claim 1, further comprising a scattering layer (20) which is arranged between said other polarizing plate (16) and said first substrate (3) or said second substrate (4) on a side of said other polarizing plate (16).
4. The liquid crystal display device according to claim 1, wherein, in the case that said reflection/transmission means (10, 14) is constituted by a metal reflection film (14) having an open portion (14a) and a reflection portion (14b) formed for each of said pixels (80), a part of said liquid crystal layer (5) that corresponds to the reflection display region is thinner than a part of said liquid crystal layer (5) that corresponds to the transmission display region.
5. The liquid crystal display device according to claim 1, wherein, in the case that said reflection/transmission means (10, 14) is constituted by a metal reflection film (14) having an open portion (14a) and a reflection portion (14b) formed for each of said pixels (80), said partial reflection/transmission layer (14) is constituted by a metal reflection film in which an opening having a predetermined size is formed for each of said plurality of pixels (80).
6. A portable apparatus comprising:
a liquid crystal display device according to any of claims 1 to 5; and
a body which is provided with display windows on its two opposing external surfaces, and inside which said liquid crystal display device is accommodated,
wherein said liquid crystal display device is accommodated in said body such that a front surface of said liquid crystal display device is faced with said display window on one of the two external surfaces, and a back surface of said liquid crystal display device is faced with said display window on the other of the two external surfaces.
7. The portable apparatus according to claim 6, wherein in said portable apparatus is a portable phone (40).
8. The portable apparatus according to claim 6, wherein in said portable apparatus is a personal computer (60).
Patentansprüche
1. Doppelseitige Flüssigkristall-Bildschirmvorrichtung, die so eingerichtet ist, dass sie ein Bild anzeigt, das von der Rückseite und der Vorderseite der Vorrichtung betrachtet werden kann, wobei sie umfasst:
ein erstes Substrat (3) und ein zweites Substrat (4), die so angeordnet sind, dass sie einander gegenüberliegen;
wenigstens eine erste Elektrode (6), die an einer von einander gegenüberliegenden Innenflächen des ersten Substrats (3) und des zweiten Substrats (4) ausgebildet ist;
eine Vielzahl zweiter Elektroden (7), die an der anderen der einander gegenüberliegenden Innenflächen des ersten Substrats (3) und des zweiten Substrats (4) ausgebildet sind und die eine Vielzahl von Pixeln (80) bilden, die in einer Matrix in einem Bereich angeordnet sind, der der ersten Elektrode (6) an der einen Innenfläche gegenüberliegt;
eine Flüssigkristallschicht (5), die in einem vorgegebenen Zwischenraum zwischen dem ersten Substrat (3) und dem zweiten Substrat (4) eingeschlossen ist,
ein Paar polarisierender Platten (16, 17), die so angeordnet sind, dass sie das erste Substrat (3) und das zweite Substrat (4) einschließen; und
eine Reflektions-/Durchlasseinrichtung (10, 14), die zwischen der Flüssigkristallschicht (5) und einer der paaren polarisierenden Platten (16, 17) vorhanden ist und die einen Teil eines Lichtes, das zu jedem der Vielzahl von Pixeln (80) gelangt, reflektiert und den anderen Teil des Lichtes durchlässt,
eine Oberflächen-Lichtquelle (25), die an der anderen Seite der Flüssigkristallschicht (5) so angeordnet ist, dass sie der anderen der paaren polarisierenden Platten (16, 17) gegenüberliegt, und die ein Licht auf die gegenüberliegende andere polarisierende Platte (16) zu emittiert und Licht durchlässt, das von einer Seite der gegenüberliegenden anderen polarisierenden Platte (16) und von zu einer dieser Seite gegenüberliegenden Seite zu der Oberflächen-Lichtquelle (25) gelangt,
wobei die Reflektions-/Durchlasseinrichtung (10, 14) durch einen Aluminiumlegierungs-Film (10), der eine Dicke von 0,025 µm oder weniger hat, oder durch einen Metall-Reflexionsfilm (14) gebildet wird, der einen offenen Abschnitt (14a) und einen Reflexionsabschnitt (14b) hat, die für jedes der Pixel (80) ausgebildet sind, um eine Teilreflexions-/Durchlassschicht (14) zu bilden, die von einem Licht, das zu jedem der Pixel (80) gelangt, ein Licht reflektiert, das zu dem Reflektionsabschnitt (14b) gelangt, und ein Licht durchlässt, das zu dem offenen Abschnitt (14a) gelangt, und
das erste und das zweite Substrat (3, 4), die erste und die zweite Elektrode (6, 7) und die paaren polarisierenden Platten (16, 17) transparent sind,
dadurch gekennzeichnet, dass
der Aluminiumlegierungs-Film (10) oder der Metall-Reflexionsfilm (14) der Reflektions-/Durchlasseinrichtung (10, 14) der den offenen Abschnitt (14a) und den Reflexionsabschnitt (14b) hat, so ausgebildet wird, dass er auf die Innenfläche desjenigen von dem ersten Substrat (3) oder dem zweiten Substrat (4) laminiert wird, auf der die Vielzahl zweier Elektroden (7) ausgebildet ist, so dass er die Vielzahl zweier Elektroden (7) direkt auf dem Aluminiumlegierungs-Film (10) oder dem Metall-Reflexionsfilm (14) ausgebildet wird.
2. Flüssigkristall-Bildschirmvorrichtung nach Anspruch 1, die des Weiteren zwei Verzögerungsplatten (18, 19) umfasst, die zwischen den paaren polarisierenden Platten (16, 17) so angeordnet sind, dass sie das erste Substrat (3) und das zweite Substrat (4) einschließen.
3. Flüssigkristall-Bildschirmvorrichtung nach Anspruch 1, die des Weiteren eine Streuschicht (20) umfasst, die zwischen der anderen polarisierenden Platte (16) und dem ersten Substrat (3) oder dem zweiten Substrat (4) an einer Seite der anderen polarisierenden Platte (16) angeordnet ist.
4. Flüssigkristall-Bildschirmvorrichtung nach Anspruch 1, wobei in dem Fall, in dem die Reflektions-/Durchlasseinrichtung (10, 14) durch einen Metall-Reflexionsfilm (14) gebildet wird, der einen offenen Abschnitt (14a) und einen Reflexionsabschnitt (14b) hat, die für jedes der Pixel (80) ausgebildet sind, ein Teil der Flüssigkristallschicht (50), der dem Reflexions-Bildschirmbereich entspricht, dünner ist als ein Teil der Flüssigkristallschicht (5), der dem Durchlass-Bildschirmbereich entspricht.
5. Flüssigkristall-Bildschirmvorrichtung nach Anspruch 1, wobei in dem Fall, in dem die Reflektions/Durchlasseinrichtung (10, 14) durch einen Metall-Reflexionsfilm (14) gebildet wird, der einen offenen Abschnitt (14a) und einen Reflexionsabschnitt (14b) hat, die für jedes der Pixel (80) ausgebildet sind, die Teilreflexions-/Durchlassschicht (14) durch einen Metall-Reflexionsfilm gebildet wird, in dem eine Öffnung mit einer vorgegebenen Größe für jedes der Vielzahl von Pixeln (80) ausgebildet ist.
6. Tragbare Vorrichtung, die umfasst:
eine Flüssigkristall-Bildschirmvorrichtung nach einem der Ansprüche 1 bis 5; und
ein Gehäuse, das mit Bildschirmfenstern an seinen zwei einander gegenüberliegenden Außenflächen versehen ist und in dessen Inneren die Flüssigkristall-Bildschirmvorrichtung aufgenommen ist,
wobei die Flüssigkristall-Bildschirmvorrichtung so in dem Gehäuse aufgenommen ist, dass eine Vorderseite der Flüssigkristall-Bildschirmvorrichtung dem Bildschirmfenster an einer der zwei Außenflächen gegenüberliegt, und eine Rückseite der Flüssigkristall-Bildschirmvorrichtung dem Bildschirmfenster an der anderen der zwei Außenflächen gegenüberliegt.
7. Tragbare Vorrichtung nach Anspruch 6, wobei die tragbare Vorrichtung ein tragbares Telefon (40) ist.
8. Tragbare Vorrichtung nach Anspruch 6, wobei die tragbare Vorrichtung ein Personalcomputer (60) ist.
Revendications
1. Dispositif d'affichage à cristaux liquides à double face agencé pour afficher une image pouvant être vue depuis le côté postérieur et le côté antérieur du dispositif, comportant :
un premier substrat (3) et un second substrat (4) qui sont agencés de manière à s'opposer ; au moins une première électrode (6) qui est formée sur l'une des surfaces internes opposées dudit premier substrat (3) et dudit second substrat (4) ;
une pluralité de secondes électrodes (7) qui sont formées sur l'autre des surfaces internes opposées dudit premier substrat (3) et dudit second substrat (4), et qui forment une pluralité de pixels (80) agencés en une matrice dans une zone opposée à ladite première électrode (6) sur la première surface interne ;
une couche de cristaux liquides (5) qui est scellée dans un intervalle prédéterminé entre ledit substrat (3) et ledit second substrat (4) ;
une paire de plaques polarisantes (16, 17) qui sont agencées de manière à prendre en sandwich ledit premier substrat (3) et ledit second substrat (4); et
un moyen de réflexion/transmission (10, 14) qui est prévu entre ladite couche à cristaux liquides (5) et l'une de ladite paire de plaques polarisantes (16, 17), et qui réfléchit une partie d'une lumière provenant de chacun de ladite pluralité de pixels (80) et transmet l'autre partie de la lumière,
une source lumineuse superficielle (25) qui est agencée sur l'autre côté de ladite couche à cristaux liquides (5) de manière à être opposée à l'autre de ladite paire de plaques polarisantes (16, 17), et qui émet une lumière vers ladite autre plaque polarisante opposée (16), et transmet les lumières provenant de ladite source lumineuse superficielle (25) depuis un côté de l'autre plaque polarisante opposée (16) et d'un côté opposé à ce côté,
dans lequel ledit moyen de réflexion/transmission (10, 14) est constitué d'une pellicule en alliage d'aluminium (10) possédant une épaisseur de 0,025 μm ou moins, ou d'une pellicule de réflexion métallique (14) possédant une partie ouverte (14a) et une partie réflechissante (14b) formée pour chacun desdits pixels (80) afin de constituer une couche partielle de réflexion/transmission (14) qui réfléchit, d'une lumière provenant de chacun desdits pixels (80), une lumière qui se dirige vers ladite partie de réflexion (14b), et transmet une lumière qui se dirige vers ladite partie ouverte (14a), et
lesdits premier et second substrats (3, 4), lesdites première et secondes électrodes (6, 7) et ladite paire de plaques polarisantes (16, 17) sont transparents,
caractérisé en ce que
ladite pellicule en alliage d'aluminium (10) ou ladite pellicule de réflexion métallique (14), qui possède ladite partie ouverte (14a) et ladite partie réflechissante (14b), dudit moyen de réflexion/transmission (10, 14), est formée pour être laminée sur la surface interne de celle-ci dudit premier substrat (3) ou dudit second substrat (4) sur laquelle ladite pluralité de secondes électrodes (7) est formée, de sorte que ladite pluralité de secondes électrodes (7) est formée directement sur ladite pellicule en alliage d'aluminium (10) ou ladite pellicule de réflexion métallique (14).
2. Dispositif d'affichage à cristaux liquides selon la revendication 1, comportant en outre deux plaques de retard (18, 19) qui sont agencées entre ladite paire de plaques polarisantes (16, 17) de manière à prendre en sandwich ledit premier substrat (3) et ledit second substrat (4).
3. Dispositif d'affichage à cristaux liquides selon la revendication 1, comportant en outre une couche de diffusion (20) qui est agencée entre ladite autre plaque polarisante (16) et ledit premier substrat (3) ou ledit second substrat (4) sur un côté de ladite autre plaque polarisante (16).
4. Dispositif d'affichage à cristaux liquides selon la revendication 1, dans lequel, au cas où le moyen de réflexion/transmission (10, 14) est constitué par une pellicule de réflexion métallique (14) possédant une partie ouverte (14a) et une partie de réflexion (14b) formée pour chacun desdits pixels (80), une partie de ladite couche à cristaux liquides (5) qui correspond à la région d'affichage de réflexion est plus mince qu'une partie de ladite couche à cristaux liquides (5) qui correspond à la région d'affichage de transmission.
5. Dispositif d'affichage à cristaux liquides selon la revendication 1, dans lequel, au cas où ledit moyen de réflexion/transmission (10, 14) est constitué par une pellicule de réflexion métallique (14) possédant une partie ouverte (14a) et une partie de réflexion (14b) formée pour chacun desdits pixels (80), ladite couche partielle de réflexion/transmission (14) est constituée par une pellicule de réflexion métallique, dans laquelle une ouverture possédant une dimension prédéterminée est formée pour chacun de ladite pluralité de pixels (80).
6. Appareil portable comportant :
un dispositif d'affichage à cristaux liquides selon l'une quelconque des revendications 1 à 5; et
un corps qui est muni de fenêtres d'affichage sur ses deux surfaces externes opposées, et à l'intérieur duquel ledit dispositif d'affichage à cristaux liquides est logé,
dans lequel ledit dispositif d'affichage à cristaux liquides est logé dans ledit corps de sorte qu'une surface antérieure dudit dispositif d'affichage à cristaux liquides est exposée grâce à ladite fenêtre d'affichage sur l'une des deux surfaces externes, et une surface postérieure dudit dispositif d'affichage à cristaux liquides est exposée grâce à ladite fenêtre d'affichage sur l'autre des deux surfaces externes.
7. Appareil portable selon la revendication 6, dans lequel le ledit appareil portable est un téléphone portable (40).
8. Appareil portable selon la revendication 6, dans lequel le ledit appareil portable est un ordinateur personnel (60).
Fig. 1
25, 26, 28, 31, 37, 38
P2, S2
16, 16a
18
20
2, 3, 4, 13, 19, 17, 17a
1
Fig. 2
1 7 10 8 7 10 12 8 7 10 8 7 10 8
25 26 28 9R 80 9G 9B 6 30 9R 29 16 18 20 3 2 12 11 12 12 5 4 19 17
Fig. 3
Fig. 4
Fig. 5
Fig. 6
Fig. 7
Fig. 8
Fig. 9A
Fig. 9B
Fig. 10A
Fig. 10B
Fig. 11A
Fig. 11B
Fig. 12A
Fig. 12B
REFERENCES CITED IN THE DESCRIPTION
This list of references cited by the applicant is for the reader's convenience only. It does not form part of the European patent document. Even though great care has been taken in compiling the references, errors or omissions cannot be excluded and the EPO disclaims all liability in this regard.
Patent documents cited in the description
- JP H1090678 B [0002]
- JP 2001290445 A [0002]
- JP 2000193946 A [0004] [0006]
- JP 2001305525 A [0004]
- US 6329968 B¹ [0007]
- WO 0004417 A [0007]
- EP 1245994 A [0007]
- US 2001040658 A1 [0007]
- US 20020041351 A1 [0007]
|
A State of Emergency
- Nepal-China Tourism Agreement
- The Fall of Kabul
- Profile: Father Donnelly
नया Superior Pepsodent
GERMICHECK PLUS FORMULA
FLUORIDE को साथमा
NEW SUPERIOR
Pepsodent
FIGHTS GERMS EVEN HOURS AFTER BRUSHING
GERMICHECK PLUS
आफ्नौ Pepsodent ले दिनको दुई पटक अवश्य ब्रश गर्नुहोस्। दन्त चिकित्सक कहाँ नियमित जोखि गराउनहोस्।
## CONTENTS
| Section | Page |
|----------------------------------------------|------|
| News Notes | 4 |
| Briefs | 6 |
| Quote Unquote | 7 |
| Off The Record | 8 |
| FAMILY PLANNING: Indonesian Experience | 10 |
| TOURISM: Nepal-China Agreement | 11 |
| LOCAL GOVERNANCE: Municipal March | 12 |
| HEALTH: Pharmaceutical Potency | 13 |
| CYCBER SECURITY: Are We Safe Enough? | 14 |
| AFGHAN CRISIS: The Home Front | 21 |
| PROFILE: Preacher Of Education | 24 |
| Little Literatures | 26 |
| THE BOTTOMLINE | 27 |
| VIEW POINT: Bikesh Shrestha | 28 |
| PASTIME | 29 |
| LEISURE | 30 |
| ENCOUTER: Asko Luukkainen | 32 |
**COVER STORY: A State of Emergency**
With a view to contain growing Maoist violence, the government declares a state of emergency all over the country. As the Maoists break the truce unilaterally and unleash terror, the government says it had no other options available than to use force to contain the violence.
**Nepal-China Tourism Agreement**
Nepal China sign a Memorandum of Understanding to allow more Chinese tourists to visit Nepal.
**INTERVIEW: J.Bill Musoke**
UNFPA's representative Musoke highlights the role of UNFPA in Nepal.
Editor's Note
That the country has become embroiled in a civil war is, indeed, very unfortunate. This terrible situation could have been avoided had our humble advice been heeded. The unforgivable complacency on the part of the establishment and security forces has, to a great extent, helped such a sorry episode to happen. This has only substantiated, once again, how miserably unqualified are they who bear the burden of ruling the country. What an irony of fate that it is again Sher Bahadur Deuba who has made another record 'the first ever promulgation of Emergency in the country.' Poor Deuba thinks he has been betrayed. He, perhaps, cannot realize that he has been treated like a child and taken for a drive by the Maoists. Naturally, we are always blind to our own blemishes. Be that as it may, if he has any semblance of integrity and love of the country, he must give in to some one who is better equipped to tackle the volatile situation and avoid unnecessary losses of precious human lives and properties of a poor nation like ours. It is an extraordinary situation and for the nation to get over such a cataclysm without greater damage we need leadership with imagination and strength of character. The present leadership has proved its imbecility and it is not a time to nourish personal and partisan interest. We are facing a national calamity and we must all unite, sinking all differences, to fight it tooth and nail. And this urgently calls for a national government. We know, it will be a cry in the wilderness, because it is not for the first time we have made such a call. We had definite prognostications of such a situation and had, time and again, exhorted the King to act. May be, King Gyanendra is destined to come to the rescue of the nation and the people. And he cannot afford to procrastinate.
It is, indeed, very gratifying to see that Nepal's friends are really getting concerned at the turn of events here and have called upon the Maoists to give up their violent activities and return to search for a negotiated outcome. Even though it might not be opportune, at this juncture, to humbly ask them to delve into the causes that have brought forth such a disastrous situation, the poor people of this wretched country would really feel ingratiated if they could believe that the anxiety shown by Nepal's friends is not hypocritical and what they are shedding are not crocodile tears. For about a decade the poor country was virtually subjected to loot and except a handful of crooks the poor people did not profit. But our foreign friends could only advise their poor friends to have patience as democracy was a lengthy process and it was the only panacea for all ills of the poor and developing nations. If Nepal's friends and donors are genuinely concerned for Nepal's poor people and want their cooperation to become more productive, they not only have to reshape and reorient their aid policies but also twist the arms of the recipient governments for better governance of their respective projects. It needs no emphasis that these powerful friends can have a big sway in the functioning of the governments of the poor third world countries. Since the pressing problem in our country, at the moment, is to restore peace and normalcy, Nepal's traditional and non-traditional friends have to quit rhetorics and come out with total sincerity to help her in her fight with terrorism. The Maoists too must give second thoughts and quit their suicidal activities, which will only contribute to destroy our poor economy. We Nepalese as a whole should never overlook the plain and obvious fact that such fratricide will only further the evil interests of those who do not want to see Nepal develop and prosper.
Madhav Kumar Rimal
Chief Editor & Publisher
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'SAARC Summit To Take Place On Time'
Amid fears that the upcoming 11th summit of the South Asian Association for Regional Cooperation (SAARC) could be postponed because of terrorist threats, secretary-general of the seven-member body, Nihal Rodrigo, has said meeting will be held as scheduled. Talking to reporters at the Reporters' Club here Thursday, Mr. Rodrigo said the reports of terrorist threats were blown out of proportion and expressed confidence that the Nepalese government would take all necessary measures to ensure security during the summit due to take place in early January next year. The secretary-general said the SAARC heads of states or governments were expected to sign a convention to protect the rights of children and a convention against trafficking of women and children from and within SAARC countries. The leaders were also expected follow-up earlier decisions on the summit on poverty alleviation, food security and the fight against terrorism. He said a new deadline is likely to be set for the creation of a South Asian Free Trade Agreement during the summit. Compiled from reports Nov. 23
Nepal-India Treaty To Be Renewed
Outgoing Indian ambassador to Nepal, Deb Mukharji, said that the Nepal-India trade treaty, which is to expire on December 5, would be renewed as per schedule. Talking to reporters here Thursday, the Indian envoy expressed hope that the two neighbors would be able to overcome their differences on certain provisions in their bilateral trade treaty. Mr. Mukharji said India wanted value addition on "third country goods that enter India from Nepal" and export "surge" of five items ó acrylic yarn, zinc oxide, copper wire, steel pipes and vegetable ghee. Referring to Indian Foreign Minister Jaswant Singh's statement in August, the ambassador said India did not intend to alter the basic structure of the treaty, but admitted that it had some genuine grievances about certain clauses. Ambassador Mukharji also confirmed that Indian Prime Minister Atal Behari Vajpayee would attend the 11th SAARC summit due to be held in the Nepalese capital early next year despite alleged terrorist threats. Space Time, a Nepali daily, had reported Thursday that four heads of states ó those of Bangladesh, India Pakistan and Sri Lanka ó faced terrorist threats during the summit. Leading dailies report Nov. 23
US May List Maoists As Terrorists
The United States is likely to declare Nepalese Maoists as a terrorist organization, a tabloid newspaper said Friday. According to a journal published by the US Information Agency, as the US government has already declared The Shining Path, a Maoist organization in Peru, as a terrorist organization, its affiliate in Nepal, the CPN (Maoist) is also likely to be enlisted in the list. Both organizations are considered leading members of the Revolutionary International Movement. A pro-Maoist intellectual, Govinda Neupane, said the US policy could have direct bearing on the Nepalese Maoists. Both the United States and India could pressure Nepal to suppress the Maoists movement militarily, he said. Naya Sadak Nov. 23
UN Convention Against Child Soldiers
An international treaty on banning the use of child soldiers is going to come into effect from February 12, UN officials said. Ten countries have ratified the treaty. New Zealand being the latest one. Eighty-seven countries including Nepal have signed on the protocol to the treaty. In May 2000, the UN General Assembly had adopted a resolution to prohibit the participation of children under the age of 18 in armed conflicts and their forced recruitment or conscription. According to the UN, an estimated 300,000 child soldiers are currently fighting in armed conflicts in nearly 40 countries. International human rights groups, including Amnesty International, have accused Nepalese Maoists of using children as soldiers in their guerrilla force. Compiled from reports Nov. 23
Maoists Form 'PLA,' Declare Ad Hoc 'People's Govt.'
The chairman of the Maoist party, Comrade Prachanda, has declared that the underground party has formed a ePeoplefs Liberation Army (PLA)f with himself as supreme commander. In a provocative statement issued Saturday, he also called upon security personnel to rebel and join the PLA. "We will take care of all the needs of those personnel and guarantee their jobs," he said. Comrade Prachanda alias Pushpa Kamal Dahal also took responsibility for the attacks in different parts of the country on Friday night. Alleging that peace talks did not lead to any political way out, Prachanda claimed that his party was "still in favor of seeking a forward looking political outlet through peaceful dialogue." Meanwhile, the underground party has declared a central level 37-member epeoplefs government with senior Maoist leader Dr. Baburam Bhattarai as its convener. Named as eJoint Revolutionary People's Council Nepal (JRPCN), central ad-hoc committee, the government has Krishna Bahadur Mahara as co-convenor and Dev Gurung as secretary. The underground party has already formed district level epeoplefs governments in over two dozen districts in the country. The recent national council meeting of the JRPCN has also called eNepal Bandhfo a nationwide shutdown strike f on Friday, December 7, a statement issued by Dr. Bhattarai Friday said. Compiled from reports Nov. 25
'Maoists Are Anti-National Force': Defense Ministry
Referring to well-coordinated Maoist attacks in different districts Friday, the Defense Ministry has said f for the first time in six years f that the group's activities have made it clear that they are out to erode national sovereignty and democracy attained through the sacrifices made by the people, and (want to) impose an autocratic regime at gunpoint. A day after the Maoists launched deadly coordinated attacks, the Defense Ministry said all security agencies have taken the assaults very seriously and are determined to counter in a more organized and effective manner any untoward Maoist activity in future. In a statement issued Saturday, the ministry said as the insurrectionary attacks by the Maoists have jeopardized the country's law-and-order and security situation, all security agencies, including the Royal Nepalese
Army, are determined to fulfill their duties. The ministry also blamed the rebels of suddenly breaking the cease-fire unilaterally and taking up weapons against the wishes of the people "despite utmost flexibility demonstrated by the government to solve the problem through talks". Leading dailies report Nov. 25
**Army To Launch 'Cordon, Search And Sweep Operation'**
After police and army personnel failed to defend themselves in the latest assaults by the Maoist rebels, the Royal Nepalese Army is preparing well-planned counter-insurgency operations against the guerrillas, a news report in a leading weekly said Sunday, quoting sources. According to the report, after hours-long deliberations on Saturday, the army top brass has demanded that the government declare emergency in the Maoist affected areas and delegate it necessary authorities. After that, the army will immediately launch what is called, 'cordon and search' and 'sweep' operations. The army sources said if swung into action immediately, the army could still recover the arms seized by the rebels from Dang and disintegrate their force. "Any delay would pose great risks to the government," the source said. The rebels have looted arms and weapons, including 303 rifles, SLRs, LMGs, machine guns, mortar launchers and other sophisticated equipment. The rebels took away three truckloads of weapons to the nearby northern districts of Rolpa and Salyan, the report said. A total of 237 soldiers were supposed to be stationed at the Bhagvati Prasad Company of the army. Deshanter Nov. 25
**Number Of Nepali Students Doubles In The US**
The number of Nepali students studying in the United States has more than doubled in the last three years, authorities said. According to the American Universities Admission Program (AUAP), the number of Nepali students enrolled in various campuses and universities in the US for the year 2000/2001 has reached 2,618, up from 1,214 in 1997. The AUAP cited the improved economic and academic status of the country for the rising enrolment in the US from the Himalayan kingdom. Nearly 548,000 students from all over the world, 55 percent of them from Asia, are enrolled in the US for the year 2000/01, the AUAP said. Foreign students poured US$ 11 billion into the US economy in tuition fees, living expenses, and related costs during the academic year 2000/01. Compiled from reports Nov. 20
**VAT Enters Fifth Year**
The number of taxpayers registered under the Value Added Tax (VAT) has reached 22,000 over the last four years, officials said. According to the Department of Inland Revenue (DIR), the government collected Rs 11.85 billion in the year 2000-2001. Introduced four years ago amid strong protests from the business community, the VAT has emerged as one of the important sources of tax revenue in the country. Addressing a function organized by the DIR to mark the fifth anniversary of the new tax, experts said political instability and lack of awareness among the consumers were mainly responsible for poor implementation of the tax. Reports said up to 90 percent consumers don't ask for a receipt after purchasing goods and services. Compiled from reports Nov. 20
**India On High Alert**
As waves of Maoist attacks shatter a tentative truce in Nepal, prospects of another armed revolution in the next-door Himalayan kingdom has put India on a heightened state of alert, a leading Indian daily reported. Recent Maoist attacks in Nepal killing nearly 50 security personnel opens up another front of instability for India, the news report said. While the (Indian) government denies stoutly any presence of Maoist training camps in India, there is no doubt that the Maoists retain intimate contacts with the PWG (People's War Group) and the MCC (Maoist Coordination Center). What impact the current developments in Nepal might have on the forthcoming SAARC summit is difficult to say, but if the conflict continues in Nepal, the summit may well become a casualty, which would put paid to hopes for an Indo-Pak summit. India has already condemned the Maoists as being terrorists, and according to sources, even shared intelligence with Nepali's security forces, the report said. The Economic Times Nov. 25
**Foreign Aid Commitment**
Nepal has gone up by fourfold in the first four months of the current fiscal year 2001-02, officials said. According to Foreign Aid Coordination Division at the Ministry of Finance, foreign aid commitment by different donors to Nepal reached equivalent to Rs 15.37 billion, up from only Rs 4.3 billion over the same period last year, Kantipur daily reported. Of the total foreign aid, the grant component was equivalent to Rs 12.69 billion and that of loan worth Rs 1.7 billion. In terms of projects, Melamchi Water Supply Project attracted the biggest amount worth Rs 5.53 billion. Similarly, Reduced Fertility and Protected Health Project received grant assistance worth Rs 4.48 billion whereas the Banepa-Sindhuli road project received grant assistance from the Japanese government worth Rs 2.05 billion. The United States was the largest donor by extending Rs 5.9 billion for three projects.
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King Gyanendra offering Puja at the Ram Janaki Temple in Janakpurdham.
BHUTANESE REFUGEE LEADERS HAVE STARTED preparations to launch a joint agitation, reports said. Chairman of the Bhutanese Refugees Repatriation Committee (BRRC), S.B. Subba, said the Bhutanese leaders recently met their senior leader, Tek Nath Rizal, who is currently in Bhutan, secretly and have urged him to lead the movement. "There is no option left for us other than to internationalize the issue," Subba said. As agreed during the tenth joint ministerial level meeting, a joint verification team has started verifying the nationality of refugees in one of the seven refugee camps in eastern Nepal from early this year. Refugee leaders say it will take several years for the verification process to be completed at the present pace.
THE GOVERNMENT OF NORWAY WILL CONTINUE to extend technical and financial assistance to Nepal by keeping it in its list of priority countries for assistance, reports said. During a meeting between Finance Minister Dr. Ram Sharan Mahat and Norwegian Minister for International Development H F Johnson in Oslo Tuesday, it was informed that Nepal was still one of the seven countries in the priority list. During the meeting, Minister Mahat requested the Norwegian government to extend both private and government cooperation on areas including infrastructure, rural electrification and rural telecommunications. Minister Johnson said the Norwegian government was interested to support education sector in Nepal as part of their strategic program to reduce poverty in Nepal.
A DUTCH CONSULTANCY HAS COMPLETED THE third phase of the feasibility study of the Mahakali Irrigation Project, a leading daily reported Thursday. As per the project, mooted under the Integrated Mahakali Treaty concluded between Nepal and India in 1996, some 34,000 hectares of land in far-western districts of Kailali and Kanchanpur. As per the feasibility report, it would take 20 years for the completion of the project at an estimated investment of worth Rs. 11.6 billion rupees. Under the Mahakali treaty, Nepal will get 1,000 cusec of water for irrigation, a news report in Kantipur daily said.
THE EXPORT OF READYMADE APPARELS FROM Nepal has plunged drastically in the first 10 months of 2001, entrepreneurs said. According to Garment Association of Nepal (GAN), export to the United States, the single largest buyer of the Nepali garment products, went down by almost 12 per cent compared to the same period last year. Nepal exported garments worth US$ 120.96 million during this period compared to US$ 136.8 million over the same period. The association claimed that nearly 75 per cent of the garment industries have been closed down and rest are running at less than 50 percent capacity. The recent labor agitation back home and slowdown in the American economy have been termed as major reasons for slump in the exports of Nepalese garment products.
ON THE OCCASION OF INTERNATIONAL CHILD Rights Day, the Nepalese government decided to make arrangement for all juveniles now living in different prisons in the country. Inaugurating a cycle rally in the capital Tuesday, Minister of State for Home Devendra Raj Kandel said the government had decided to hand over those juveniles who were in prison by default as their parents were in jail to Nepal Children's Organization. There are around 64 such children presently across the country, officials said.
THE PROPOSAL TO REPAIR AND MAINTAIN NEARLY 30 km sections of road in the capital ahead of the SAARC summit has been delayed due to lack of funds. The Ministry of Works and Physical Planning has estimated the job to be completed at around Rs 70 million but the money is yet to be allocated by government agencies, Himalaya Times daily reported. Meanwhile, officials are trying to hand over the job to competent private companies through the state-owned National Construction Company of Nepal (NCCN). "We are still hopeful to complete the job in time," said Dr. Hare Krishna Bhagat, chief of the Division Road Office at Min Bhawan. The SAARC summit is to convene in the capital in the first week of January.
NONE OTHER THAN SPEAKER OF THE HOUSE OF Representatives Taranath Ranabhat has said the present parliament should be dissolved and mid-term poll should be announced. Addressing an interaction program in the capital (on Nov. 21), Mr. Ranabhat said the solution to the Maoist insurgency should be sought through talks. "The best way for this is dissolution of the present parliament and holding elections in a free and fair way." Mr. Ranabhat further said the Maoists should hand over their arms to the state and join political competition by enrolling at the Election Commission.
CHIEF OF THE ROYAL NEPALESE ARMY, GENERAL Prajwolla Shumsher JB Rana, cut short his visit to Germany and returned home Sunday (Nov. 25), reports said. General Rana had left for Germany on a 10-day visit Friday. After attending a high-level meeting at the Army headquarters upon his return, General Rana also attended the extended cabinet meeting at Singha Durbar late Sunday. Inspector General of Police Pradip Shumsher JB Rana has been admitted at Norvic Hospital after he fell indisposed Sunday. He was rushed to the hospital from the Airport in Kathmandu where he was supposed to accompany Home Minister Khum Bahadur Khadka during his tour to Dang and Syangja districts.
"I will be ahead in terms of collections. It must be realized that the film too must be good."
Bhuwan K C, a famous Nepali actor, in the Business Age.
---
"I was frail before; now that I have got your mandate and I will be stronger"
Prime Minister Sher Bahadur Deuba after receiving the consent by the Central Working Committee of Nepali Congress in Jan Bhanwana
---
Why didn't you (looking at PM Deuba) take this crisis to the King? How come the King had to ask about the current crisis?"
Girija Parsad Koirala speaking in Jan Bhanwana replying to the queries raised by the media.
---
The problems Maoists are causing are to be dealt with the barrel of the gun. What have human rights, democracy, laws and the rights of common people if you are standing in front of a gun barrel?"
Ex-Chief Justice, Mohan Parsad Sharma speaking to JanaAsthya weekly.
---
The parliament and voices of all the parties agreed in passing this act. So, when the parliamentarians and the parliament agreed on it there is no question of disapproval of the bill."
Minster of Education Amod Prasad Upadhaya in Deshanter on how the act of providing free education since the 2058 taking money from 6 grade onwards.
---
A HIV patient doesn't grow horns on his head and tails on his back. I am the first Nepali to come out in the open saying that I am HIV positive."
29 Year-old, Rajiv Kafle - in the Space Time Dainik
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The incidents in Dang have the whole nation in a dilemma and all the security tentacles of the government will be used to contain the present crisis in the nation."
Home Minister Khum Bahadur Khadhka, speaking to media persons on the aftermath of the Maoists attacks in Dang, Kantipur daily.
---
We will certainly find the solution to the ongoing feud in the national Soccer team."
N.P. Saud, Minister of State for Education and Sports, speaking to media persons- in Kantipur.
Mercurial Leader
House of Representatives Speaker Taranath Ranabhat
Ranabhat: What is next?
has maintained a consistent record of behavioral inconsistency. When the Nepali Congress formed the first government in 1991 after the restoration of multiparty democracy, Ranabhat sided with former prime minister Krishna Prasad Bhattarai and led the Group of 36 dissidents. During the second parliament, when he lost the election, Ranabhat sided with party president Girija Prasad Koirala. In the third House of Representatives, Ranabhat was elected speaker but he came full circle. When Koirala was prime minister, Ranabhat did little to ease the troubles of the premier. After Koirala's ouster, Ranabhat has sided with Prime Minister Sher Bahadur Deuba. However, Deuba must be wondering how long it would be safe to count on Ranabhat.
Time And Trouble
Some people have developed their own culture when it comes to working. Whatever the situation, they do not care about how their actions may affect others. Perhaps this is why even senior officials aren't bothered about time. Tribhuvan International Airport is one place where you can see senior officials and junior employees acting in strange ways. Whether this is coincidental or intentional, officials appear every time several flights land in close succession. From customs officials to immigration personnel and from loaders to sweepers, all the people start working. For the arriving passengers, this creates trouble. Can these people spread out their work evenly over the day?
Emotional Discipline
Prime Minister Sher Bahadur Deuba is admired for his patience and courage, but there are times when he loses both. When Deuba was coming out of the Nepali Congress Central Committee meeting this week, he was without both patience and courage. Replying queries from journos, Deuba roared that he was as fierce as a lion in keeping with his name. Deuba knows all the rules of playing with ice and fire. If a lion loses his temper, what will happen to the jungle? Let's hope Deuba has the wisdom of remaining cool when he needs it the most.
Voice Recognition
Communist leaders, too, are sources of strange actions. CPN-ML leader Bam Dev Gautam seems to have mastered the art of recognizing voices on the telephone. When some Maoist leader phoned Gautam without introducing himself recently, the former deputy prime minister declared that he could tell that the caller was not Comrade Prachanda. Helpful Gautam's skills might be, it didn't help those who wanted to know who the caller was.
Mum's The Word
Former foreign minister Chakra Prasad Bastola is maintaining a Sphinx-like silence these days. After the Nepali Congress Central Committee meeting this week, Bastola, who used to be friendly to journos, deliberately avoided them. Bastola seems to have understood that silence has its value, but does he believe reporters can easily forget his previous cordiality?
FAMILY PLANNING
Indonesian Experience
Indonesia shows how a well-organized community-based family program can offer an enduring model for managing population growth
By KESHAB POUDEL in Indonesia
At a time when countries like Nepal have been struggling to control their burgeoning population growth rates, Indonesia has recorded successes by experimenting with a novel model. After the implementation of a community-based family planning program, Indonesia has been able to reduce its population growth rate from more than 2.87 percent to 1.6 percent.
Nepal and Indonesia began their family planning programs almost at the same time. But Nepal’s population continues to expand at the rate of over 2 percent whereas Indonesia has been able to reduce the growth rate dramatically through a vigorous approach of community mobilization.
Although the country was under a semi-authoritarian political system for nearly three decades, Indonesia achieved some important targets in terms of economic and social development. One of the major achievements of the Suharto regime, which was overthrown by popular uprising in 1997, was in controlling population growth through a robust program of community mobilization.
Under a program designed by the National Family Planning Coordination Board (BKKBN), the Indonesian government executed effective reproductive health and family planning programs through widespread community participation. The role of males in the process is very insignificant. It is the women who have led the drive.
During an observation study tour of a community-based national family planning/reproductive health program under a decentralized approach, an 11-member Nepalese delegation took a close look at Indonesia’s participatory approach.
Community mobilization and decentralization are not new concepts for Nepalis. The kingdom has already experimented a successful forest management program through community participation. The introduction of a decentralized approach to development is in the implementation stage.
Indonesian officials emphasize that success did not come overnight. “Our achievement in the field of community-based national family planning is not a work of a few years. It has been introduced through vigorous attempts,” said Dr. Jasi Kamil, international training program coordinator. As Nepal’s population continues to expand, it urgently needs a community-based approach in the area of reproductive health. When a Muslim nation with strong values against family planning can achieve such successes, there is no reason why Nepalese society, which is more receptive to population management issues, cannot expect a similar approach to bear results.
Indonesia has many advantages, as the literacy rate is high and the participation of women in the area of family affairs is massive. Although Indonesian society remains male-dominated, like much of the Muslim world, the voices of women are fully respected. This is the reason why a large number of women have the choice of using contraceptives and adopting other family planning methods.
Over the last five decades, Nepal has developed a sturdy infrastructure from the ward to central level and trained a large number of health workers. But the problem is lack of political commitment to family planning and population issues. Indonesia’s success in managing its population rests on strong political commitment.
Active community participation has allowed Indonesia to maintain well-recorded data for everything from marriages to the growth stages of children. Family planning has become an integral part of the social and religious system and has instilled in Indonesians deep appreciation for the value of a small family.
Sponsored by UNFPA Nepal’s country office, the observation and training tour provided a major opportunity for Nepalese participants to familiarize themselves with what is by all standards a highly effective approach to family planning. The program was based on seminars as well as observation tours of Yogyakarta Special Territory and Bali, which allowed the participants to understand the underpinnings of the model and to observe how community-based family planning and reproductive health programs can bring results.
PROCLAMATION OF EMERGENCY
Constitutional Safeguard
At the recommendation of the council of ministers, King Gyanendra declares a state of emergency
By KESHAB POUDEL
For the first time in the 12 years since the restoration of democracy, Nepalis are experiencing restrictions on their fundamental rights and freedoms.
Following a fresh wave of violent attacks unleashed by the Maoists, which resulted in the indiscriminate killing of innocent people and the massive destruction of property, the government was compelled to take recourse to the emergency provisions contained in the Constitution of Kingdom of Nepal 1990.
"We have been compelled to recommend the [declaration of] emergency as Maoist terrorists attacked public offices and killed security personnel indiscriminately in different parts of the country," said Prime Minister Sher Bahadur Deuba in an address to the nation on Tuesday evening.
"I tried my best to solve the problem through peaceful negotiations, but the Maoists broke the peace process and went on killing spree."
On the advice and consent of the council of ministers on being satisfied as to the existence of a grave emergency threatening the sovereignty, territorial integrity and national security of the country arising out of the armed rebellion as posed by Maoist insurgents, in exercise of the power conferred by Article 115 (1) of the constitution, King Gyanendra declared a state of emergency effective from November 26.
To deal with the emergency, the king also suspended Articles 12(2a) b, c and d and 13.1, 15 and 16, 17, 22 and 23 of the constitution. These are the clauses through which citizens can get remedy.
Although the situation following the state of emergency is going to be normal for the common people, the suspension of these articles would allow ordinary laws to temporarily regulate constitutionally guaranteed rights.
The proclamation can remain in effect for up to three months even without parliamentary approval.
It can be extended for another six months if the proclamation is approved by a two-thirds majority of the members present in the Lower House. According to Article 115(2) every proclamation or order issued under clause (1) shall be laid before a meeting of the House of Representatives for approval within three months from the date of issuance.
If a proclamation or order laid for approval pursuant to clause (2) is approved by a two-thirds majority of the House of Representatives present meeting at the meeting, such proclamation or order shall continue in force for a period of six months from the date of issuance.
"The government has every right to exercise the constitutional provision to safeguard the interest of the people and sovereignty of the country at a time of armed rebellion," said Supreme Court Justice Laxman Prasad Aryal.
Prime minister Deuba: Tough decision
"The emergency clauses have been included in the constitution to protect the country and the constitution from armed rebellion," said Justice Aryal, who was a member of the panel that drafted the constitution.
A state of emergency is declared during extraordinary situations and has serious implications on the fundamental rights citizens enjoy during normal times. Citizens shall be deprived of these fundamental rights for the duration of the proclamation. No citizen can go to the Supreme Court to seek remedy for the protection of fundamental rights suspended by the order.
The suspension of Article 12(2) a, b, c, d would affect the civil liberties Nepalis have become accustomed to since the political changes of 1990.
This article guarantees the freedom of opinion and expression, freedom to assemble peacefully and without arms,
freedom to form unions and associations, freedom to move throughout the kingdom and reside in any part thereof.
His Majesty also promulgated an ordinance making all terrorist and disruptive activities illegal and punishable.
Through this ordinance, the government has filled the vacuum created by the non-existence of anti-terrorist laws in Nepal.
The ordinance has also sought to provide some relaxation in the exercise of rights of freedom of speech and expression and other rights suspended by the proclamation of emergency. Only those activities that support and incite violence and terrorism are to be restricted.
Under the order, the press and publication right is also suspended. According to Article 13(1), no news item, article or other reading material shall be censored but the article gives some rights to impose reasonable restrictions on any act which may undermine the sovereignty and integrity of the kingdom, or which may jeopardize national harmony.
The order also suspends Article 15, which relates to the right against preventive detention and the right to information.
"The government has rightly taken the constitutional decision to quell terrorism. The government has every right to order the emergency and impose restrictions on certain fundamental rights," said senior advocate Mukunda Regmi, who was also on the panel that drew up the constitution.
"Of course, people will have to lose their rights and freedom for a certain period."
As the king has ordered the emergency by activating the constitutional provisions, it will last for three months without any challenge. For their part, the people would have to sacrifice their freedoms.
The country can only hope this trade-off would bring peace and stability that is vital for democratic growth and economic progress.
NEPAL-CHINA TOURISM ACCORD
Economic Lifeline
The agreement between Nepal and China allowing Chinese tourists to visit the kingdom has encouraged tourism entrepreneurs
By A CORRESPONDENT
Following the resurgence of Maoist violence, the uncertainty gripping the Himalayan kingdom has turned more ominous. On the tourism front, the situation has gone from bad to worse, as a large number of western and Indian tourists have either cancelled or postponed their travel plans. At a time when the backbone of the economy is gasping for its very survival, a 20-member Chinese delegation led by Tourism Minister Hu Quanbai arrived in Kathmandu and signed a formal agreement, injecting new hope in the industry.
Although China placed Nepal as one of 19 foreign destinations for Chinese visitors last year, this week's agreement has formalized the mechanism for the inflow of tourists from the northern neighbor. Nepal is the only country in South Asia Chinese tourists are allowed to visit. While other countries, including Nepal's close southern neighbor, India, are discouraging their citizens from visiting the kingdom, Beijing has extended a welcome gesture of goodwill to Kathmandu.
After the signing of the formal agreement, Chinese tourists will be allowed to visit Nepal in groups of at least five. China, which has long supported Nepal's efforts to become economically independent, has again come to the kingdom's aid at a time of crisis. This agreement would go on to strengthen Nepal's overall economy by reviving the vital tourism sector.
"Nepal and China need to change many things before the agreement's objectives can materialize. This agreement will help boost economic ties between the two countries," said Chinese Tourism Minister Hu. "The agreement has paved the way for other arrangements, including the exchange of Chinese currency, aviation service and other entry points."
Minister of Tourism and Civil Aviation Bal Bahadur K.C. was equally upbeat. "We hope Nepal will receive continual support from China to in coming days to achieve the objectives of the agreement," he said.
According to official figures, Chinese visitors make up 1.27 percent of the total tourist arrivals in Nepal. Some 5,000 Chinese visited Nepal last year. With a formal agreement now in place, tourism entrepreneurs believe annual arrivals from China could go up to 50,000. "The agreement has boosted our confidence as Nepal's tourism sector has got another big market," said a leading tourism entrepreneur.
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LOCAL GOVERNANCE
Municipal March
The umbrella body of Nepalese municipalities fosters discussions on local development
By AKSHAY SHARMA
Democratic governance in Nepal is underpinned by the national commitment to empower people at the lowest rungs of society both politically and economically. Despite the existence of institutional mechanisms to promote local governance, Nepal's record in encouraging local communities to become the driving force of development has much room for improvement.
MUAN held a consultative workshop on the Local Self-Governance Act 1999 on August 9-10 at Nagarkot to gather input from stakeholders on the major issues and difficulties faced by the municipalities while implementing the SGA and regulations. The consultation process is expected to shed light on important issues needed to be addressed by the central government and the municipalities reinforcing their partnership. These consultations are also expected to enable MUAN to evolve a comprehensive strategy to influence policies, laws, rules and regulations at the central level.
MUAN and the Federation of Canadian Municipalities (FCM) have established a strategic partnership for municipal development in Nepal. The process includes facilitation of decentralization, good governance and inter-governmental relations, among other things.
"The FCM stresses governance systems by fostering local ownership and delivering development results that have an impact at both the local and the nation levels," said Subani Thapa, highlighting the activities of the organization. "The program has been taking a collaborative approach to international municipal development. Its program has been taking a collaborative approach to international municipal development. Therefore, its programming and policy involve a range of local, international and Canadian partners."
MUAN was formed about four years ago to unify the municipalities of the country and to make them constantly active for their own development. The organization works towards attaining its objectives by promoting coordination and understanding as well as attaining functional unity among municipalities, including the sharing of experiences for all-round development of urban residents. MUAN has been working to enhance the rights of municipalities in maximizing the involvement of the urban population in their development work and in self-governance through decentralization. It is also actively engaged in providing physical infrastructure and services and facilities at the local level.
Over the years, MUAN's projects have focused on such areas as the country framework for infrastructure development, institutional strengthening, study of water optimization in Kathmandu Valley through integrated water resources management, strengthening of municipal government in Nepal, municipal capacity building for improvement, and coordination and facilitation of a Canadian team's bid for the management lease contract for water supply and sewerage facilities for urban areas of Kathmandu Valley.
A popular drug used to treat high blood pressure and heart disease, and recently shown to help prevent strokes and heart attacks, also appears to reduce the risk of developing diabetes. In a large trial first reported last year, researchers found that people at high risk for developing diabetes who take the drug Altace were 34 percent less likely to develop diabetes than those who did not get the drug.
Those findings have now been confirmed in a detailed analysis, published in the Oct. 17 issue of The Journal of the American Medical Association. "This is an exciting finding, which could potentially open up new ways of preventing both diabetes and heart disease," Dr. Dikshya Bhattachan of Tribhuvan University told SPOTLIGHT. "Standard diabetes drugs haven't been shown to reduce heart disease convincingly, but we know what this drug does," he added.
People with diabetes are up to four times more likely to have heart disease or suffer a stroke than the general population. In fact, some form of heart complication such as a heart attack is present in 75 percent of diabetes-related deaths. But American Diabetes Association (ADA) spokesman Dr. Nathaniel G. Clark says doctors are only now beginning to understand the importance of preventing these cardiovascular complications in diabetic patients.
Dr. Poonam Risal of Jorpati Hospital says, "In the past, we focused on the need to control blood sugar, which is, of course, important. ... But the reality is that for patients with type 2 diabetes, the most significant complications in terms of the time spent in hospitals and death are ... problems like heart attack and stroke."
Dr. Clark says the findings from the Heart Outcomes Prevention Evaluation (HOPE) study are intriguing but not conclusive because the diabetes data were incidental findings. The study's primary focus was to determine if taking Altace, a type of drug called an ACE inhibitor, prevented heart attacks in people at high risk for having one. People at risk for diabetes have similar risk profiles of people at risk of heart disease.
As hoped, significant reductions in deaths from heart attack, strokes, or other cardiovascular diseases were seen among participants taking the ACE inhibitor. But the reduction in diabetes incidence was unexpected. A total of 3.6 percent of the participants taking Ramipril developed type 2 diabetes, compared to 5.4 percent of participants given a dummy pill for comparison.
- US experts have begun a new study designed to directly evaluate whether Altace prevents diabetes in some 4,000 subjects at high risk for the disease. Although the HOPE trial evaluated only Altace, Dr. Clark says other ACE inhibitors, like Vasotec or Lotensin, may have similar protective properties for people at high risk for cardiovascular disease and diabetes. Dr. Clark, the ADA's national vice president for clinical affairs, said research published last month in The New England Journal of Medicine suggests that a similar class of high blood pressure drugs known as angiotensin-receptor blocking agents, may be protective against diabetes-related kidney disease.
There is clearly a lot of discussion about what should be the drug of choice for someone with diabetes and hypertension. There is a lot of information that suggests that one class of drugs may be better at preventing some diabetes complications and another may be better for others.
Medical experts say the evidence is mounting that making modest lifestyle changes may be the most important factor in lowering the risk of diabetes. A large clinical trial found that people at high risk who exercised moderately and lost just 5 percent to 7 percent of their body weight reduced their risk of type 2 diabetes by almost 60 percent. Those who did not change their lifestyles, but took a widely prescribed diabetes drug reduced their risk by only 31 percent. But experts caution it is too soon to recommend Altace or any other drug of its type solely for the reduction of diabetes risk.
CYBER SECURITY
Are We Safe Enough?
The security of government computer systems comes under greater scrutiny amid the global campaign against terrorism
By AKSHAY SHARMA
One major fall-out of the September 11 attacks in the United States has been a growing focus on the need to ensure the security of government computer systems. There were notable security weaknesses in such systems, including Internet networks, well before the horrific suicide attacks in New York City and Washington DC. The global campaign against terrorism has revitalized efforts to thwart attacks in cyberspace.
Nepal, too, has been stepping up efforts to ensure cyber security. "Government computer security systems are quite easy to get into," says a 24-year-old Kathmandu University graduate working for a leading computer firm in Kathmandu, on condition of anonymity. The arrest of a hacker a few weeks ago has highlighted the urgency of drawing up proper security measures and instituting effective legal measures to fight cyber-crime.
Money is the main reason why many companies choose to overlook Internet security altogether. While it's true that computer security audits are usually costly, they're important because they identify security weaknesses and benchmark where the company needs to make improvements.
"The Nepalese government has never thought of a program to regularly inspect the computer systems of government agencies and reports their findings to," says Sayed Nabeel Shah, a computer science graduate.
"There has been growing media attention on security issues recently. Yet not much coverage is given to the really important stories, such as attempts to deface government agency Web sites in recent years," he adds.
"Another glaring omission in many of these reports is the notable security breaches of government contractors in the past year. One interesting report concerns a breach of security that allowed hackers to access a large amount of the source code for a noted satellite and the defense secrets of an organization," says another computer expert.
In a recent speech at Microsoft's Trusted Computing Conference, Richard Clarke, the Bush administration's special adviser on computer and Internet security, reiterated his call for a separate Internet for government use.
If the private sector follows the lead of the government, many analysts say, it's doubtful that the Internet will continue to be the business tool it is. "Segmenting the Internet into a public and private version does not address the core problems with Internet security. Unless the problems of government computer and network systems are addressed, it makes no difference whether the government physically or logically separates its networks from the rest of the Internet," says Shaket Shrestha, who recently completed computer studies abroad.
Good computer and Internet security can be expensive, but in the long run, the only way to solve these security issues is to fix them at the source rather than trying to hide from them. "It's time for the government in Nepal to focus on the security of the Internet services used by governmental agencies," a network security manager says.
In Denial of Service (DoS) attacks, hackers flood Web servers and networks with sudden and overwhelming bursts of network data, slowing down server performance and eventually crashing the Web site. Unlike a virus or worm, which can cause severe damage to databases, a DoS attack only interrupts network service for a limited period.
Even an hour of service outage can mean serious losses and angry customers. In February 2000, DoS attacks took down five of the 10 most popular Web sites in the world, including Amazon, Yahoo, and eBay. Yankee Group has estimated that these attacks have caused at least $1.2 billion in lost revenue and subsequent drops in market capitalization.
Hackers gain unauthorized access to computer resources to steal data or sabotage systems. According to current research, in early 2001, as many as 210 hacker groups made attacks on about 1,280 Web sites across the world.
While we commonly associate hackers with the image of a professional cyber terrorist, we now know that there are a variety of different kinds of hackers with different motives. A forensic psychology expert describes one type of hacker: the so-called "script kiddies," who have little hacking skill.
They use other hackers' programs and like to cause malicious damage such as defacing Web sites. Security experts attribute the rise of this threat in part to the proliferation of simple, point-and-click programs that make it easy to exploit known holes in server software. The temporary shutdowns of Amazon, eBay, and Yahoo in 2000 were blamed on script kiddies armed with software they downloaded from the Internet.
Insider's malicious hackers are not the only threats to companies. Disgruntled company insiders like current employees and former workers often represent the most dangerous security threats. They understand the business and how the computer systems work and, more importantly, they have authorized access to
network resources and critical company information.
In-house security breaches account for 70 to 90 percent of all security breaches, according to experts. The percentage is probably even higher than that because most insider attacks go undetected. Strategies said for every in-house attack reported, as many as 50 go unreported or undetected.
"The majority of high-value breaches—those costing $25,000 or more—are perpetrated from the inside," says Shah, "because insiders often know how and where to access the most valuable data."
Virus and worm attacks cost businesses up $17.1 billion in 2000, according to an independent research firm based in Kathmandu. The costs incurred include cleaning viruses from computer systems and networks, restoring lost or damaged files, and lost productivity of workers caused by system outages and downtime.
"It is estimated that the Code Red worm and its variants have infected 760,000 servers worldwide to the tune of $2.05 billion in system repairs and lost productivity. The Love Bug attacks, including the 50-plus variants of the virus that rampaged through systems worldwide in May 2000, have cost businesses up to $8.7 billion in lost productivity and system repairs," says Shah. All your firewalls, virus scanners, and encryption measures are useless if a malicious individual gains unauthorized, physical access to your premises and destroys or steals computing equipment, including all the valuable project data contained within.
"Sometimes, data thieves don't even have to break into the office. Portable computing and information devices like laptops and PDAs make it easy for your remote team members to touch base with your project and exchange files, plans, and information. But this portability also makes it an easy target for data thieves, especially in conferences and airport lounges where a moment's inattention can give thieves the chance to walk away with your equipment and gain easy access to all the confidential information stored on the portable machines," says Shah.
The situation gets a little more critical if your machines are set up to access corporate networks via a remote dial-up or virtual private network (VPN) connection: The data thief is potentially only one click away from all your project secrets, since any password mechanisms you have can be easily defeated by the plethora of password-cracking tools available on the Internet, say experts.
Information is power is the slogan of the century and contrary to what many people may think, Internet security isn't the sole responsibility of the IT staff. You can't simply throw inexpensive firewalls and antivirus software at the problem and hope that everything will turn out for the better. Effective security requires a comprehensive, holistic policy.
FESTIVALS
Changing Mood
With other pressing jobs at hands, youths find little time to rejoice
By A CORRESPONDENT
"The days were so soft when I was young," Shekhar Gurung, a BBS student, gets a little carried away. "Can you imagine how different time has become. Those days were free of worries, you never had time to think about the future. In one way, it was like the most beautiful moment to be treasured. Two things have changed. The semantic elixir of good old days appears so far beyond the reach. We can't make it happen again."
A sense of nostalgia ran across the face of Shabi Pradhan, a BSc student. "It used to be lot of fun. But it's been long since I had fun. I have no idea about intricate things going around but I think it is mainly the sense of a rising burden of responsibility and concern about one's career. It doesn't mean that I don't enjoy the mosaic of cultures, but the intensity has decreased. It is not what it used to be. The conventional theme of the festival has lost its originality."
These comments by two college students on Vijaya Dashami and Tihar are by no means representative of the national mood. However, their views are a sampling of how the youth feel about what is arguably the most important period in Nepal's cultural calendar.
Academics tell you that culture is a complex whole that includes art, knowledge, belief and any other capabilities acquired by people as members of society. It is hard to figure out whether there is a decreasing interest in major Nepalese culture events, especially among the youth. Flying kites high in the sky, swinging on "rote pings" have become rare scenes in urban areas. And everybody does love to get back to the times when these scenes were the ornaments of the festival. People are now less inclined towards celebrating great festivals mainly because their essence has become trivial in the sense that life has become more rigorous.
As the Maoist rebels unleash a fresh wave of terror across the country and target the army for the first time, the government declares a nation-wide state of emergency. The belated move, which some call an over-reaction, highlights the gravity of the situation and exposes the weaknesses of the security agencies. But the unanswered question is: despite growing international opinion against terrorism, why did the Maoists choose a suicidal course and at whose behest?
Forty-eight hours after the deadly attacks by the Maoists in western districts of Syangja and Dang, among others, killing nearly 40 people (See Box), including 23 policemen and 14 soldiers, the government in Kathmandu was still considering options and modalities available to it to counter the growing Maoist violence. At around the same time, hundreds of Maoist guerrillas were on their ‘adventurous’ mission to capture Salleri, the district headquarters of the beautiful eastern mountainous district of Solukhumbu, the gateway to the Everest region.
At the end of a nearly six-hour-long battle, 27 policemen, half a dozen soldiers and couple of senior government officers, including Chief District Officer Buddhí Sagar Tripathi, had been killed. As in Dang, most of the government offices, including the district court, had been destroyed and burnt down by the insurgents, two local bank branches
looted and documents burnt. Despite their heroic feat, the casualties on the part of the rebels were no less staggering. The dead bodies of around 50 rebels were discovered the next morning and authorities said at least dozens of others might have been killed during their overnight encounter with the army and police.
Upon his return from religious trip to the Ram Janaki temple in Janakpurdham, King Gyanendra granted audience to Prime Minister Sher Bahadur Deuba late Monday (Nov. 26). The same evening, he endorsed the recommendation made by the Council of Ministers to declare a state of emergency throughout the kingdom. During its extended meetings over three days, the Council of Ministers okayed the proposal to declare the Maoist insurgents as terrorists. It also endorsed an anti-terrorist ordinance, promulgated by King Gyanendra on Monday, which gives sweeping powers to the security agencies to launch sustained and decisive action against the terrorists.
Less than a week back, chairman of the CPN (Maoist), Comrade Prachanda, had issued a statement saying that there was no longer any justification for the on-going government-Maoist talks and the nearly four-month-long cease-fire. In his statement, Prachanda alias Pushpa Kamal Dahal asserted that his party's efforts to establish peace had been rendered unsuccessful due to the conspiracy of the imperialist and reactionary forces. Though he did not name those forces, it could be understood that the Maoist leader was pointing toward the United States as imperialist and the royal palace as reactionary.
Prachanda's statement was no less than a bombshell for Prime Minister Sher Bahadur Deuba, who had rode to power only four months ago pledging a peaceful settlement of the insurgency through talks with the Maoists. Deuba's aides, however, continued to hope that the Maoist leader did not mean what he said and would not ask his rebels to break the informal truce.
But as soon as the Maoist guerrillas launched well-coordinated attacks Friday night on army, police and other government installations in Dang, Syangja and Surkhet districts, security agencies found themselves caught off-guard.
So was Prime Minister Deuba. His relentless emphasis on the resolution of the problem through talks had been shattered at once. "I have been betrayed (by the Maoists)," said Deuba, at a public function on Sunday. "Now, I will not relent and do whatever is necessary to defeat the insurgents."
As the Deuba-led government sat idle for four long months, hoping peace to prevail on its own, the Maoist rebels had a field day in re-grouping their cadres, recruiting and training new ones, raising forced donations and taking revenge against anyone who they thought did not toe their line.
Despite severe criticism from the opposition, the government would not take any measures to provide law and order in the country. Instead, it agreed to release 69 Maoist rebels and withdraw the Public Security Regulation only to persuade the Maoist negotiators to sit for the third round of talks early this month.
Government negotiators taking part in the talks say the rebels were never serious in the three rounds of talks that took place over the last three months. From Godavari Resort to Bardia and back to Godavari, the Maoist negotiators deliberately chose to highlight the points of difference with the government rather than trying to negotiate on other 'soft issues.'
In the latest round of talks, the Maoists said they had decided to drop their demand for making Nepal a republic but insisted that they would not agree at anything less than elections to a constituent assembly to draft a new constitution and form an interim government. "Now the ball is in the government's court," said chief Maoist negotiator Krishna Bahadur Mahara after coming out of the third round of talks on November 12.
Analysts say there was asymmetry at the level of negotiators too. "While the government side was headed by high level policymakers, the Maoist side was represented by a lower level. It seemed that the Maoists negotiators did not have clear guidelines and were confused," said Dr. Panna Kaji Amatya, professor of political science at Tribhuvan University. "The Deuba government had shown utmost sincerity (to find a peaceful solution) but there was a lack of consensus and honesty on the part of the Maoists."
Amid growing pressure from his own party and the opposition, Prime Minister Deuba had promised that he would try his best to convene a fourth round of talks. As predicted by SPOTLIGHT, that
MAOIST ATTACKS
Red Terror
After breaking the truce unilaterally, the Maoists mount daring raids in Dang and Syangja districts
Last Friday (Nov. 23), local residents at Tribhuvan Nagar, Ghorahi had little imagination of what was in store for them that night. As the evening approached, hundreds of people from faraway places started entering the town—district headquarters of Dang. Within a couple of hours, Maoist guerrillas had reached the towns in around one dozen buses from nearby districts of Rolpa and Pyuthan. But the local administration was simply unaware.
Little before mid-night, hundreds of Maoist guerrillas under the command of Comrade Pasang simultaneously opened fire at District Police Office, District Administration Office, official residence of Chief District Officer, District Forest Office, Bhagvati Prasad Company of the Royal Nepalese Army, among others. In half an hour, the police had surrendered. Another squad of the Maoists daringly entered the barrack on a hijacked police van and proceeded directly to the court-guard, where the sophisticated weapons were stored. They shot dead Major Naresh Upreti and other soldiers who resisted. Their comrades had already surrounded the barrack and opening fire relentlessly. The soldiers fought bravely for a couple of hours but had to give up later. They had lost 14 of their colleagues—first-ever army casualty in six years in the Maoist attacks. The rebels then took away three truckloads of weapons to northern district of Rolpa.
The rebels killed five policemen during their attacks at Ilaka Police Office at Narayanpur, 10 kms west of Ghorahi. They also looted around 100 million rupees in cash, gold and jewelry from local branches of Nepal Bank Limited, Rastriya Banijya Bank and Agriculture Development Bank. They abducted Chief District Officer Lok Bahadur Khatri who was later released. Two civilians were killed during the Maoist attacks.
In western district of Syangja, hundreds of Maoist rebels stormed the district headquarters at around same time Friday night. Major government offices were destroyed in the Maoist attacks. Over a dozen policemen lost their lives fighting the insurgents. The rebels set free inmates after raiding prisons in Dang and Syangja districts. In mid-western district of Surkhet, rebels set fire on a private helicopter belonging to Asian Airlines. Sometime back, they had set on fire a private helicopter owned by Air Ananya.
Lack of intelligence gathering by the security agencies and lack of coordination among them has been blamed mainly for the overpowering of even an army barrack by the rebels. The army top brass is said to be worried mainly about the seizure of powerful automatic weapons in huge quantity by the Maoists. The army has already launched operations to recover the weapons and disarm the rebels, reports said.
never happened. Nine days after the third round of talks, the Maoists unilaterally withdrew from the truce and two days later launched massive assaults against the security forces.
Power Struggle Within the Maoists
At a time when there is an almost unanimous global opinion against terrorism, what might have led the Maoists -- who had emerged as a major political force in the country over the last six years through sheer violence-- to choose, what many believe, would be a suicidal course. Sources said growing dissension within the Maoist party was mainly responsible for their turning back to armed insurrection. While party chairman Prachanda and politburo member Dr. Baburam Bhattarai were said to be in favor of a negotiated settlement and joining mainstream politics, chief of the 'people's militia' Comrade Badal or Ram Bahadur Thapa and one of the seniormost Maoist leaders, Mohan Vaidya, were reportedly in favor of continuing the 'people's war.'
After the Thapa-Vaidya duo backed Dr. Bhattarai, the power equation within the underground party started to change. To cut military strategist Thapa and company to size, Prachanda announced the formation of 'People's Liberation Army' (PLA) and declared himself its supreme commander. Dr. Bhattarai was appointed convenor of the 37-member Joint Revolutionary People's Council Nepal (JRPCN), central ad-hoc committee--dubbed as the parallel, central level 'people's government.'
The rapid expansion of the party's base, collection of billions of rupee through daring raids and extortion and entry of criminals in its fold had, to a great extent, diluted the 'militant and revolutionary character' of the Maoist party, said critics. In their strongholds in mid-western hills and other parts of the country, the Maoist cadres were running a parallel administration and courts and forcing people to obey them at gunpoint. With the availability of easy money, their lifestyle had also changed. To change all this, and protect his own supremacy in the party that had adopted 'Prachanda Path,' as the guiding philosophy, Comrade Prachanda had, perhaps,
no other way but to send his troops on military actions.'
The Maoist cadres were very critical of their party leadership's decision to drop the demand for a republic state -- the cause for which hundreds of their comrades had lost their lives. Moreover, the central meeting of the party at Kureli, Rolpa in September this year had instructed the party leadership that the Maoist cadres would accept nothing less than a constituent assembly.
Even then, why did a sharp strategist like Prachanda and Dr. Bhattarai -- who quickly changed and tried to re-adjust their strategies in the aftermath of the Royal Palace massacre on June 1 -- choose to send their guerrillas to fight with the army? Analysts say the Maoist leadership may have thought of adopting the strategy of 'talks' and 'military action' simultaneously or pressuring the government to accede to their demand for a constituent assembly by exhibiting their guerrilla force. As usual, they would still try to play a game of 'divide and rule' between the political establishment and security agencies and remain elusive.
In the aftermath of the US war against terrorism in Afghanistan and top Indian government official declaring them as a terrorist group, the best option for the Maoists would have been to prolong the talks, conserve their power and wait for an opportune moment, say analysts. But they did not. This means that there is much more than meets the eye.
**External Dimension**
"Nobody plays an apparently losing game," says Prof. Amatya. "There must be an external force behind the Maoists which sent them on a suicidal mission." Those looking at the origin, growth and present state of the Maoist party argue that it is into a clandestine operation. "The Maoists have nothing to do with Maoism or Communism," said a noted political analyst, on condition of anonymity. "Code-named Maoist 'people's war': it is nothing more than an operation launched by a foreign military intelligence in the Nepali territory in view of the growing power struggle in this part of the world."
After his failed bid to mobilize the Royal Nepalese Army to rescue nearly 70 policemen abducted by the Maoists from Holei, Rolpa earlier this year, Prime Minister Girija Prasad Koirala resigned from his post. During his farewell statement, the septuagenarian leader and four-time prime minister said the Maoist insurgency was not only targeted against the country's democracy and constitution but also against Nepal's national security. After the massacre of policemen at Dunai last year, then Home Minister Govinda Raj Joshi resigned from his post accusing the Royal Nepalese Army of not cooperating to fight the rebels. But the Royal Nepalese Army chose to look the other way until the Maoist rebels drove within one of their barracks in mid-western Nepal in the dark of the night, said critics.
Within hours, the Defense Ministry issued a statement saying that "the Maoists were an anti-national force and they were out to erode the national sovereignty of the country and democracy attained through the sacrifices made by the people, and impose an autocratic regime at gunpoint."
After September 11, 2001, things have changed a lot around the world. So have the definitions of terrorism and national security. As the major global powers start their games in South Asia, small, land-locked countries like Nepal find it hard to protect their legitimate interests.
It is but natural that the flare-up of violence in Nepal is of utmost concern for its immediate neighbors, India and China. Though the two Asian giants had not commented on the latest wave of violence in this Himalayan kingdom till Tuesday, western democratic governments were quick to condemn the Maoists. In a statement issued Monday, the US Embassy in Kathmandu said it strongly condemned the recent actions by the Maoists and called on them to achieve their goals through peaceful
means by remaining within the framework of the present constitution. "The US government fully supports the Nepalese government's efforts to protect its civilians and officials by remaining within the bounds of the constitution," the statement said.
The head of Mission of the European Union in Kathmandu also condemned the recent acts of violence in the severest term and called upon Maoists to desist at once from all acts of violence and intimidation and return to search for a negotiated outcome. In New York, United Nations Secretary General Kofi Annan expressed his deep concerns about the flare-up of violence in Nepal.
After the famous Siliguri tete a tete with other communist leaders, it became clear that top Maoist leaders, including Prachanda, enjoyed safe haven on Indian territory. But after Indian Foreign Minister Jaswant Singh's statement declaring Nepali Maoists as terrorists, the Indian government decided to deploy its nearly 10,000 soldiers along the Nepal-India border to check cross-border terrorism, among others. West Bengal state police also started conducting raids on hideouts of the Nepalese Maoists, who are said to have very good connections with other Maoist groups operating in India.
The recent seizure of huge cache of explosives at Kapilvastu-- brought in a passenger bus from New Delhi-- proves that the Maoists still have their supply lines open. "The Kapilvastu incident showed that the Indian soil is being used in aid of terrorists in Nepal. So the government should immediately hold talks with the Indian government in this regard," said a front-page editorial in Kantipur daily Tuesday. "As part of the global campaign against terrorist, the international community will support Nepal's latest initiative because the Maoists are terrorists and they have stood against democracy, civil rights, human rights and development."
State of Emergency
Though the opposition parties have expressed reservations on the issue of supporting the government's decision to declare emergency, they have reiterated that it is the duty of the government to maintain law and order in the country at any cost. But analysts say declaring a nation-wide emergency may have been made in haste.
"Though there had been an escalation of violence (over the last few days) emergency is not declared in a democratic system unless there is a national calamity. Though nobody will protest the government's right to use coercive instruments to control violence, questions could be raised on whether a nation-wide emergency was essential," said Prof. Dhruba Kumar, a security expert at the Tribhuvan University's Center for Nepal and Asian Studies. "The government could have used its security apparatus even without declaring an emergency. Instead of taking the people and security forces into confidence in order to isolate the Maoists, it seems that the government took this decision in a haste and with insecure mindset."
Nepali academics and human rights activists are equally worried about the possibilities of misuse of authorities by the security personnel during their campaign against Maoists. Citing the declaration of emergency by Indira Gandhi in India in 1975, Prof. Kapil Shrestha, a member of the National Human Rights Commission, recalls that once an emergency is declared, it may have very far-reaching consequences. "Emergency is like a radical surgery, the scars of which are bound to remain. An emergency addiction could also develop. So, the government must move cautiously and should not curtail the people's fundamental rights under any pretext," said Prof. Shrestha.
A highly disciplined and professional force, Royal Nepalese Army is facing real challenge to quell the insurgency on the home front. But the history of insurgencies around the world show that use of military power alone can't contain insurgency in an effective manner. As long as terrorist outfits find poor and unemployed youths as their recruits willing to risk their lives for an abstract cause, no military can contain the rebellion. The solution perhaps lies in creation of an equitable and just society envisaged by the country's democratic constitution -- against which the Maoist rebellion is targeted.
Twelve years after the restoration of democracy, the political leadership and the country's democratic polity are facing their greatest challenge. Will peace be restored and at what cost? Only time will tell.
AFGHAN CRISIS
The Home Front
Nepal needs to properly assess the emerging scenarios in Afghanistan, experts say
By A KSHAY SHARMA
As Kabul fell into the hands of the Northern Alliance with the help of massive American firepower, most nations began setting their eyes on the new government to be installed in Afghanistan. This week, the Northern Alliance endorsed international calls for a broad-based government.
"The Taliban was a creation of Pakistan and the new government would have broader recognition from the international community if it could open Afghanistan to the rest of the world," said Professor Shree Dhar Khatri of the Institute of Foreign Affairs.
However, the old dilemma haunts the region: Will Afghanistan be stable? Will the international community be able to encourage the emergence of a broad-based government in Kabul that would be acceptable to all of its neighbors?
Some analysts fear a repetition of the bloody conflict Afghanistan has been engulfed in the past. Others worry the country might eventually split along ethnic lines. "Much will depend on how broad-based the new government Kabul would be," Professor Khatri added.
With South Asia having become the main theater of the US-led war on terrorism, the region can expect both positive and negative fall-outs, an expert says. The neighborhood has been described as the "most dangerous" place on the globe. According to a 1998 Pentagon report, until 2030 there will be no country to challenge the United States in military and economic might. This has left regional powers like India and China in a quandary. After all, history has shown that wherever US troops have been stationed, they have never left, except in Vietnam.
The change of government in Kabul represents a positive signal for India, as Al Qaeda, the organization Washington blames for the September 11 attacks, is also on the wanted list of Indian security agencies. In recent days, images of Afghan civilians listening to Indian film songs have been broadcast around the world. Bollywood has a very big market in Afghanistan, which India could use to cement ties.
Although Pakistan is alarmed by the prospect of having a less friendly government on a sensitive flank, there are positive signs for Islamabad, too, since it has proved itself indispensable to the West. The United States has always been known to aid Pakistan and many in Islamabad see a clear opportunity to settle the long-running Kashmir conflict through US involvement. "Pakistan always wanted third-party involvement in the dispute and maybe this is the right time," an expert says.
"On the other hand, the Indians might have problems sharing their influence in the region if there is a long-term presence of US troops," the expert adds. "But Pakistan will definitely play a pivotal role in the region with the United States close by its side."
Nepal will have to respond carefully to the unfolding scenarios. "We in Nepal need to keep our eyes and ears peeled with proper assessment to the scenario in Afghanistan in the future," says Nischal Narayan Pandey, deputy executive director of the Institute of Foreign Affairs.
Kathmandu could find itself in the middle of conciliation efforts between New Delhi and Islamabad early next year. The Indian and Pakistani leaders are to hold talks in Kathmandu on the sidelines of the South Asian Association for Regional Cooperation summit in January.
However, non-state parties could exert a greater influence on regional stability. "South Asia has been long one of the transit routes of international arms smuggling. The war in Afghanistan and the Burmese insurgency were the major causes of transforming South Asia into an important transit route," writes Neil Hussain in "Problems of Proliferation in Small Arms".
Adds Rohan Gunaratna in "Sources of Arms to the LTTE": "Dual-use technology with military applications are sold in the open market, but in the hands of a terrorist, a guerrilla, their application can enhance militant performance." He says terrorists have access to modern weapons and law-enforcement agencies working with the global coalition against terrorism need to control small-arms proliferation in South Asia. That challenge is bound to grow, with the US Central Intelligence Agency mounting a hidden war in Afghanistan with secret paramilitary units on the ground and Predator surveillance drones in the sky, which provided key intelligence for concentrated air strikes on Al Qaeda leaders.
The CIA units, whose existence has not been previously disclosed, are operating in what amounts to a central combat role in America's war in Afghanistan. One of these units was the first US force to enter the country in the current terrorism war, paving the way for US Special Operations Forces. The units also have been providing the Northern Alliance with intelligence on opposing Taliban and Al Qaeda troop concentrations.
The units are part of a highly secret CIA capability, the Special Activities Division, which consists of teams of about half a dozen men who do not wear military uniforms. The division has about 150 fighters, pilots and specialists, and is made up mostly of hardened veterans who have retired from the US military. The division's arsenal includes helicopters, airplanes and the unmanned aerial Predator drones equipped with high-resolution cameras and Hellfire antitank missiles.
Assuming that the Taliban are routed, will the alliance be able to rule Afghanistan or will it splinter? Enter King Zahir Shah, whose long exile in Rome may soon end. Countless delegations, including one from the Northern Alliance, have called on him recently to discuss his return as an interim head of state.
At age 86, the king is still active and undoubtedly has a following. In a poll in the Afghan refugee camps in Peshawar in the 1980s, 70 per cent voted for his return. Today, his supporters want a loya jirga (the grand council of Afghan leaders), or general assembly, to vote on the country's future. The alternative is a Western-style election supervised by the United Nations, which would undoubtedly be fraught with difficulties.
In step with the military offensive, the allies will need to engage in a massive airdrop of food and medical supplies to the starving people of Afghanistan, who are already suffering famine on a Biblical scale. Immediate humanitarian aid would have to be followed by an Asian equivalent of the Marshall Plan for investment and reconstruction, and the wiping out of opium and heroin production.
Having restored some sort of order in Afghanistan, the West would then need to address the more critical task of all: establishing a just peace in the Middle East. Without that, any success in Afghanistan will be meaningless," says Sandy Gall, a specialist on Afghan and Middle Eastern affairs.
The synchronization of diplomacy, criminal law, financial controls, military force, intelligence is the best arrangement for the broader war on terrorism America is fighting. As the attacks of September 11 proved, you do not need anything sophisticated for a massive terrorist attack. All this suggests that Nepal must brace itself for the unfolding challenges. "After the Maoists decided to end the four-month cease-fire with massive coordinated armed attacks, we must be better prepared for the repercussions from the events taking place so close to Nepal," says an expert. As the war on terrorism is a new kind of war, its repercussions could be felt in ways that can scarcely be comprehended today.
“Nepalis Must Take The Initiative For Their Development”
— J. BILL MUSOKE
J. BILL MUSOKE, United Nations Population Fund (UNFPA) Representative to Nepal, has been working to implement various projects in the area of population management. He spoke to SKESHAB POUDEL on Nepal’s population status and the role of UNFPA. Excerpts:
UNFPA recently released its annual report. How do you see the position of Nepal?
First of all, let me thank you and, through you, the people of Nepal, the media and government of Nepal for the continued focus and interest in population and development issues of this country. Unlike several other reports, we do not rank countries based on particular indicators. The statistical tables in our report are directly linked to the goal of the International Conference on Population and Development (ICPD) to which the UNFPA is committed. However, like the other reports before this one, the theme of the State of the World Population focuses on a specific issue. This year it was on Footprints and Milestones: Population and Environmental Change.
What are the main thrust of the report?
The report identifies several footprints and milestones around the globe. Increases in population, particularly in developing countries, and a deteriorating environment are the major focus of the report. The report says that unless population growth is maintained and sustainable development practices are adhered to, the world will witness worsening population and environment dynamics detrimental to people’s health and development. One of the key areas of Nepal’s development challenge has been deteriorating environment and rapid population growth. Given this, the report has direct bearings on Nepal’s population and environment and its policies and programmes in the years to come.
What is the position of demographic transition in Nepal?
You are asking a relatively complex question. Demographic Transition (DT) entails many more things than just transition from high fertility and mortality to low fertility and mortality. Decades of efforts to lower both mortality and fertility have shown encouraging results in Nepal. Demographic and health surveys of the recent past in the country show steadily declining fertility and mortality. In the mid-1960s, a Nepali woman of reproductive age bore about 6.4 children. Today, she is bearing 4.1 children in her lifetime. Knowledge of modern methods of contraceptives has become universal while about one-third of women are current users of contraceptives. Likewise, infant mortality, which is now around 70/1000 live births from around 200/1000 live births in the 1960s, has reduced significantly, contributing to the increased life expectancy of around 60 years (from around 40 during the 1950s) for both sexes in 2001. These are significant achievements and indicative of what one would refer to as the onset of a demographic transition.
How do you evaluate the DT?
However, we have not achieved the implied “Demographic Transition” in your question. Perhaps, the DT you are referring to means a situation that you can compare with that of the West (developed countries), women having two or less than two children during the course of their reproductive life. Let me also hasten to add here that DT is shorter, and swift in countries where the pace of socio-economic development has been rapid (Taiwan, South Korea, Thailand, and the states of Kerala and Tamil Nadu in India. Even Bangladesh, which has almost a similar history of population management programme to Nepal’s, is far ahead of us. Almost 69 percent of Nepal’s burden of disease is due to disorders related to infectious diseases, maternal and prenatal ailments and nutritional deficiencies). An epidemiological transition from this group of disorder to degenerative and non-communicable diseases) will also hasten the pace of demographic transition in the country. This is still to happen in Nepal. Despite this, even in Nepal, one can say that we are at various levels of demographic transition. In urban areas, and among educated women, total fertility rate is almost half of the national average, indicating educated and urban women are more likely to hasten demographic transition by bearing fewer children and caring more for the survival of their children than their uneducated and rural counterparts. Therefore, the key is the pace of socio-economic development; education, health and women’s empowerment. Since the pace of the socio-economic development is rather slow in Nepal, so is the pace of the demographic transition and may take some more years to complete. However, it may not be too long if the pace of socio-economic development and epidemiological transition is rapid.
How would Nepal’s resources be affected by overpopulation in the future?
I wouldn’t use the word “over-population”. This is a relative term to be taken together with resources and other issues. The population of a country may become “over” only if its resources are constrained, there is continued hunger, disease, unemployment, violence, lack of basic facilities and amenities. People have to judge for themselves whether or not they are “over populated” and take whatever actions they deem necessary. Almost half of Nepal’s population is under the poverty line. The poverty level has remained almost stable during last three decades. However, the absolute number of people living below the poverty line has increased significantly. Almost 30 percent of children of school-going age are still not attending school, six out of 10 women can not read and write, 80 percent of households do not have toilet facility and about 30 percent do not have access to drinking water. Frontier land has already been brought into cultivation, which has further added to environmental deterioration. According to the UN Population Projection, Nepal’s population is likely to double and reach...
44 million by the year 2035. The increased population will require basic services. Now, you tell me, whether you would call Nepal overpopulated or not. It is not too late to take corrective measures that would allow the country to manage the population and strike a balance between the population and the available resources. However, if corrective steps are ignored or delayed more problems lie ahead. Obviously, rapid increases in any given context without commensurate economic development is bound to create resource constraints and Nepal is not an exception.
**How do you see the response of the government?**
Nepal is one of the countries with "early recognition" of population problem, sometime in the early 1970s. However, until recently, policies and programme to manage the population were not well defined. The government has been sensitive to population issues and has been attempting to formulate a comprehensive population policy especially since the Cairo Conference. We see commitment at the highest level. For example, Nepal is one of the few developing countries that contribute to UNFPA's global activities on a regular basis, which UNFPA is very grateful for. On the other hand, at the local level this commitment is not often translated into practice. For example, the National Population Committee or Board has not met for the last two years. This is the policy-making body at the highest level. If it does not monitor what is happening, who will do it? Population being a cross-cutting issue requires common understanding among the stakeholders. I do not want to sound negative. But I would like to draw a comparison between Nepal and Bangladesh. Both countries had same levels of fertility in the 1970s. But today, the fertility level of Bangladeshi women is almost half that of Nepali women. Why and how could Bangladesh achieve this feat while Nepal lagged behind? There must be reasons. Among other things, it is the leadership in population issues; it is the lack of that commitment to put what we say in practice.
**Does Nepal have comprehensive population policy?**
Nepal still lacks a comprehensive population policy that addresses spatial and temporal distribution of population, elderly, adolescent and youth, migration (both internal and international), urbanization, ethnic and minority populations, women and gender issues and last but not least the emerging but serious issue of HIV/AIDS. Let me emphasize that formulation of a sound population policy alone is not enough, unless it is accompanied by a coherent and well-articulated operational modality, equally accompanied by sufficient budgetary allocation to translate the sweet words into practice.
**What has UNFPA been doing to manage Nepal's population?**
Let me make it very clear right from the outset that UNFPA is in Nepal at the request of His Majesty's Government to assist it in identifying and offering solutions to population problems. The onus of managing the population of Nepal lies squarely on the government and people of Nepal. Thus, UNFPA is working with HMG to manage its population in two ways, namely, technical and financial support. UNFPA started its work in Nepal in the early 1970s. Up to 1996, UNFPA support was directed to family planning, maternal and child health care programmes, population education, expansion of the population database, and development of a national plan of action for women in development and the introduction of an integrated health management information system (HMIS). In the Fourth Country Programme (1997-2001) UNFPA's support focused on improving the coverage, access, quality and continuity of gender-sensitive reproductive health services; and at strengthening the capacity of nodal agencies to integrate, plan, and coordinate gender sensitive population and development issues.
**What will be the highlights of the fifth country program?**
Under the fifth country programme that is to begin from Jan 2002, we are adopting a two-pronged approach. UNFPA will continue to support some of the nation-wide activities that we have been supporting and also focus on selected districts. This allows us to strengthen the national as well as the district capacity to formulate, implement, coordinate and monitor population, reproductive health (RH) and gender projects. UNFPA is committed to assist HMG towards its commitment for the fulfilment of ICPD goals. Therefore, UNFPA will focus on improving access to quality RH services including family planning and HIV/AIDS prevention, adolescent reproductive health, and safer motherhood.
**How do you see the role of government ministries and other local bodies?**
UNFPA will further work with HMG to ensure that there is an effective delivery and management system, and improved monitoring and evaluation of the programmes and projects. It will therefore, be necessary to continue to work with the nodal ministries/department such as the Ministry of Population and Environment, Ministry of Women, Children and Social Welfare, National Planning Commission, Ministry of Local Development and local bodies (DDCs, VDCs, Municipalities) to improve their capacity to design and implement gender-sensitive population and sustainable development policies and programmes both at the national and local level. I wish to reiterate that UNFPA believes that it is the people of Nepal and their government who have to take the initiative and lead in their own development. Donors are here only for a short time for a specific technical input to speed up the tempo of the development. The process has to be initiated and owned by Nepal and where necessary supported by donors with technical and financial resources. In short, UNFPA and I believe other development partners in Nepal are here to support your own effort and to contribute to the development goals of HMG.
*I do not want to sound negative. But I would like to draw a comparison between Nepal and Bangladesh. Both countries had same levels of fertility in the 1970s. But today, the fertility level of Bangladeshi women is almost half that of Nepali women.*
PROFILE
Preacher Of Education
A pioneer of education takes pride in the work his students have been doing for the nation
By AKSHAY SHARMA
Having taught 3,000 students during his 40 years with Saint Xavier's School, Father James J. Donnelly S.J. has retired from his full-time teaching job because of poor health. As he looks back, Fr. Donnelly takes immense satisfaction at the work his boys have been doing for their nation.
Fr. Donnelly says September 4 was one of the most memorable days of his life. He was granted an audience by King Gyanendra, who spent 11 years at St. Joseph's North Point Jesuit School in Darjeeling, India. During the audience with the new monarch, Fr. Donnelly took the opportunity to reminisce about mutual acquaintances at the school and to reflect on Nepal's future.
"I told His Majesty that teaching at the two St Xavier's schools was my chief mission," Fr. Donnelly told SPOTLIGHT last week. "The 3,000 students that I've taught are active participants in nation building. I believe our country is in capable hands and His Majesty needs grace from the Almighty to help care for his 23 million subjects."
Fr. Donnelly adds: "We talked about the fathers, mostly Canadians, Belgians too, who had taught the king at St Joseph's, literally dozens of those who passed through the 11 years of his education there." The late King Birendra, King Gyanendra and his younger brother, the late former prince Dipendra all studied at St Joseph's. King Birendra went to pursue further studies at Eton College, England.
"I told King Gyanendra that I had done the same job at Godavari which the Jesuits at St. Joseph's did. We talked about the Belgian father -- whose name we both had forgotten -- who ordered movies for students. I told him that from the day I came into Nepal, I have been pouring my energies on the students."
Born in Cincinnati, in the US state of Ohio, Donnelly was educated in the mid-western American city. He joined the Jesuits in 1947 and was ordained a priest in 1959. For 40 years, he has been a teacher and administrator at St. Xavier's school in Nepal.
"When I was 8 or 9, I read a magazine from Patna. As a little boy, I saw priests in White Cassocks helping people. I wanted to be a Jesuit priest and go to India, a thought I pursued in school. My superiors told me to go into theology and get ordained to priesthood. In 1961, I came to Godavari School to join Father Nisen and Father Watrin (they were the rector principal and the vice-principal respectively). I was one of the 14 Jesuits that were in Godavari. We were only a handful of teachers for 130 students."
"It operated on the Senior Cambridge system and we believed the students were going to be very successful and would get into any field they would like. The system was inspiring for the teachers and the students. The exams were inspiring because the students were given a fair evaluation and good marks," Fr. Donnelly speaks of his early days in Nepal.
"We cut across everything from a distance then. Our students went into diverse professions. They became doctors and engineers. The army was an attractive career. The previous commander-in-chief, Dharmapal Singh Thapa, was among the 70 students we had in 1951." The incumbent, Gen. Prajwala Sunsireh JB Rana, is also a Xaverian.
"The class of 1962 consisted of Pyar Jung Thapa. I coached him in basketball and soccer. I hear he's slated to be the next commander in chief. The next in line is a boy I had taught in Grade 7 in 1961, Sadeep Shah. We are proud of what our boys have turned out to be."
"I taught Susheel Silpakar for four years before he went on to become a doctor. I have to visit him these days for my ear. I am under the care of two other very good doctors. Dr. Ranjeet Singh Baral, who was in the batch of 1965, takes care of my heart. Dr. Ashok Baskota, who was in the batch of 1964, operated on my hip. Raju Pradhan, of the 1971 batch, is among the best radiologists. There are countless medical professionals like them who attended St. Xavier's."
Fr. Donnelly says there is a reason why his students have been able to serve their country so well. "We have managed to motivate students because we were able to run a top-quality school. I admire Fr. Moran for the style of teaching he introduced in Nepal. I loved what I was doing and I look upon myself as an educator rather than an administrator. I always wanted to do that -- teach -- and I had fun."
When he came to Nepal, Fr. Donnelly says, the education system was patterned on the one set up by the British Empire to create secretaries, clerks and other people. "You had to be good in English but you also had to be good in math, history, science and language as well. So there was a good spectrum of subjects. In St Xavier's, we had the Senior Cambridge and General Certificate exams from England. On the other hand, we had to adapt to a system that had existed in the Asian continent. You had to be very well motivated to pass the three-hour O Level exams."
He says schools around the world then were much the same, whether they were in Tanzania, Uganda or Burma. "In all parts of the former British Empire, students were studying the same things our boys were doing here. I found it rather inspiring and meaningful to be able to walk into a classroom and expect high-quality education. I taught English language, English literature and moral science. I was relatively sure that when I left the class, the students would not be cheating. The boys knew that at the end of the line they had to talk, think, and write honestly because the system was so well worked out that the questions were never ever repeated. The students knew that they could not just mug up answers and expect to get through. The system that existed until 1976 was meaningful and inspiring."
But the scenario changed when the government implemented the New Education System Plan (NESP). "We were told to get into the model and we gradually did. At the end 1976, we had two senior classes, the Senior Cambridge and the first SLC Class 10. The Senior Cambridge became a coaching alternate but regular classes have been suspended since then. Then-Crown Prince Birendra and his planners wanted to introduce a better-motivated education system."
The government brought all educational institutions -- public and private -- under the NESP program. "Now that was idealistic. They had a lot of bright people and well-educated planners. There was nothing wrong..."
with the planning, but the education system, including the teachers and the whole administration, fell into pieces. The system didn’t click because it was implemented too fast. It was implemented without everybody aboard.”
He says the new system overleapt itself. “I wasn’t privy to all that was going on at the Ministry of Education, but they did not leave room for any school to escape the program. In the late 70s and the 80s, however, some people saw that the Ministry of Education did not have the proper mechanism to implement the planning.
“As a result, many people started private schools, gradually bringing in their own textbooks and ideals. And they started charging for money because the government system was not working well. People expected better education but the NESP was a big disappointment. We thought the government was going to do it all but they did not have all of the wares needed to implement the NESP.
“Ten years later, the scenario has changed. The private schools had to set up their own standards and the people became satisfied with the English-medium schools. That is where we are today—private education has dominated public education. And I see nothing wrong with that. I support that, if you are charging good money for good education,” he says.
“There are hundreds of private schools around the country providing good education and charging a high amount of money. A private school would mean that the headmaster would be in charge and he would certainly provide good education. If he were a government servant only, his ideals would not have been so strong. And that is the stimulus—the headmaster doesn’t want to fall flat on his face.
“Unlike the NESP episode, they know that they are going to be rewarded for their service. That was lacking in the NESP program because nobody felt that he was going to be rewarded for its efforts. I think the key lies on demonstrating on how to get a person on the line in education to give the motivating and to expect good results from his students,” Fr. Donnelly says.
“Boarding schools at least have created a façade, if not a reality, for a better quality education. Quality education means that you have to pay for that and what is wrong with that? These people have to earn a living; they should be given a family wage for their work. If people are providing private education in a productive and demanding way, they are doing a big service to the nation as a whole. They are producing good citizens for our land and I would like to see more of that. May their tribe increase.”
TOURISM
Recurring Reversals
Already hit hard by the slowdown in the international travel trade, Nepal’s tourism industry suffers another major blow from the sudden upsurge of Maoist insurgency
By A CORESPONDENT
Surendra Bahadur Khadka, a car driver at Tribhuvan International Airport, has remained idle in the midst of a continuing decline in tourist arrivals. For Khadka, this year has been particularly miserable, with tourism hit by a serious of adverse national and international factors. In what should have normally been a peak tourist season between September and November, Khadka finds his prospects of recovering earlier losses close to nil.
“I don’t understand what benefit do our political parties get by promoting the violent activities in the country. The Maoists’ violent activities have already proved fatal for Nepalis directly and indirectly,” he says. “The latest upsurge in rebel violence will only keep tourists away and push the country into a very difficult position,” said Khadka.
There are tens of thousands of Nepalis like Khadka in the tourism industry whose livelihoods are on the line. The slump that began after the hijacking of an Indian Airlines flight to New Delhi in December 1999 has been worsened because of serious violent incidents. The sharp fall in tourists from India after the hijacking worsened by days of street violence triggered anti-Nepal remarks attributed to Indian movie star Hrithik Roshan, which he denied making.
Frequent bouts of politically inspired strikes and work stoppages, interspersed with labor unrest in the hotel industry, prevented Nepal’s tourism industry from making a recovery. Just when some signs of an improvement were becoming visible, the June 1 massacre at the Royal Palace brought another blow.
In 2000, tourist arrivals declined by 25 percent, rattling the entire travel trade. Despite some disturbances in January, the first five months of 2001 were very encouraging in terms of arrivals. After the palace tragedy, arrivals plunged again. But things started to look better when the government and Maoists announced a cease-fire in July after Prime Minister Sher Bahadur Deuba assumed office.
The September 11 terrorist attacks in New York City and Washington DC again hit Nepal’s tourism sector. The violence unleashed by the Maoists, shattering the four-month truce, has come as a further setback to an industry that once was hailed as the engine of Nepal’s quest for modernization and prosperity.
“Our livelihood is once again under threat following the resurgence of Maoist violence,” says Khadka, who failed to get even a single trip for two successive days this week. According to airline sources, renewed Maoist violence has badly affected reservations.
Although terrorism activities are confined to remote parts of the country, including far-eastern and far-western districts, hotels and airlines have been received a stream of cancellations from various parts of the world.
“If situation does not improve soon, Nepal’s tourism sector will have to face dire consequences,” says a private airline operator. “We have already reduced the number of mountain flights and scheduled services to Pokhara and other hilly areas. The upsurge in Maoist violence has frightened the entire world and many tourists, needless to say, will cancel their travel plans.”
The Maoist violence has taken a heavy toll on the economy. Tourism is the hardest hit sector because of a confluence of a series of national and international factors. The country primarily needs peace and tranquillity for tourism to recover. With law and order taken care of, entrepreneurs could then seek specific policy support for the government and the cooperation of political parties. With help from all vital quarters becoming elusive by the day, the tourism industry can only reminisce about its glory days and hope the present phase of uncertainty ends soon.
Little Literatures, Great Dreams
By YUYUTSU R. D. SHARMA
Last fortnight at a poetry reading that we have at a roadside restaurant at the heart of Kathmandu every first Saturday of the month, a young journalist from a Nepali weekly asked me a rather awkward question: What do you think is the future of Nepali literature?
A silence spread at the readings. I repeated the question in the quiet spaces of my mind. The idea of little literatures and great dreams that a Yugoslav poet had lately proposed came to my mind. I wondered, could the great dreams of these little literatures ever get realized?
For the making of these little literatures has been part of the making of these little nations. Right from the times of Bhanubhakta Acharya, who wrote the Ramayana in Nepali and gave birth to the literary horizon of Nepal, to the turbulent times of Gopal Prasad Rimal who gathered his fellow poets and activists in temples and public squares to read poems/hymns of protest against despotic rulers, the poets in Nepal have meaningfully written the script of a poet’s role in autocratic societies.
The vibrant tradition that Rimal initiated influenced not only his contemporaries like Laxmi Prasad Devkota, Siddicharan Shrestha and Balkrishna Sama but also generations that followed, including Bhupi Sherchan, Parijat, Basu Shashi, Poshan Pande, Krishna Bhakta Shrestha, Shailendra Sakar, Manjul, Krishna Bhushan Bal, Bimal Nibha and even several younger poets writing today. Regardless of political differences, these poets have launched several movements like Amliekh, Boot Polish, Sadak Kavita, Movement of Discarded Communities and Ralfa, among others, that made them take active part in the socio-political set-up and culminated in the 1990 democratic upsurge establishing the present political system. Thus, Nepal’s literary life has been vehemently built on the idea that poetry can “make things happen”. As evident in the past, the poets who tried to join the despotic regimes or tried to raise obscurantist or quasi-western movements have been either marginalized or have stopped writing or have been dropped out from the body of Nepali literature by younger generations.
But today the scene is different. After decades of dialogue with undemocratic, despotic regimes, Nepali poetry has come to confront a bigger opponent – the multinational market as a touchstone of its authenticity. In the first decade of the new millennium, as the debate on the impact of globalization is raging, as multinational publishers continue to bombard the minds of these writers with much orchestrated networks, the question of survival and future of these little literatures has become more intriguing than ever before. So far, each poet writing in Nepali has listened to the authenticity of his/her own voice and hoped its sheer honesty, its distinct fresh cultural colors will win the hearts of the world. Nepali literature has a long history of writing for an audience that has been won over by these writers over the centuries. But now the same voice that they have mastered after their grandpoets, the voice whose traditions go back to Sanskrit poets or oral traditions of Buddhist literature and the influence of Bhakti and Sufi poets has to adopt itself to the voice and demand of the new world order of cyberspace and success-story network of the multinational markets.
In India and elsewhere, experience shows that the classics of these little literatures didn’t make much difference, even after they joined the rat race of the market. Indian classic Premchand’s “Godan” and other works in English translation didn’t do so well as compared to works by a novice picked up randomly by a multinational publisher. The advance royalty and the senseless media furor made such a glaring difference that great classics of the Indian subcontinent were left licking the dust of the streets and pavements of Daryaganj.
Recently a poet from Hungary at a Sahitya Academy reading mentioned that all they had known back home of Indian literature remained the Ramayana, the Bhagavad Gita, Rabindranath Tagore and Arundhati Roy. The awkward space between the Bhagavad Gita and Arundhati Roy is the space where little literatures lie languishing for their dreams to be realized, for the world to listen to their voices. Instead, come novice snobs from rich families with Western backgrounds to blame them for their shoddy editing or populist motifs. The way the voice of these little literatures has come under the shadows of multinational English blockbusters is a phenomenon to watch.
What would become of the world after globalization has had its grinding march is yet to become clear. At the moment the skeptics’ demi-god remains Chomsky’s much flouted talk of corporate tyranny behind these big houses. Every year, the skeptics believe, an icon is built, encashed and forgotten only to discover a newer sensation, a fresher genius of the year. Milan Kundera and V. S. Naipaul’s prediction that best writing will come out of the fresher societies narrated by Asian or Latin American authors is the guiding ideology. Each year, believe the skeptics, they starle us with their advance royalties, claiming the sale of millions of copies, exploiting their well-knit infrastructure! Salman Rushdie, Vikram Seth, Arundhati Roy, Jhumpa Lahiri – the list is endless.
Of course, the flood of this new writing that this icon building has triggered is welcome with the hope that out of all this turbulent commotion one day a great classic, a “War and Peace” or a “One Hundred Years of Solitude” would come. But the impact it has in belittling the little literatures is horrendous. And there is always a fear that these novice multinational first timers tuned to the demands of Western readers and ruthless copy-editing and glamour-greed might be representing/misrepresenting the little literatures they are advertised to belong to. And secondly, over the years it might get a blunt dismissal like Rushdie’s who a few years ago announced that regional writing of the Indian subcontinent has not been able to produce works of enduring value and everlasting appeal.
(Yuyutsu R. D. Sharma has published three poetry collections and recently brought out a collection of Nepali poetry in English. He edits Pratik, a literary magazine).
Who is to blame?
Sons of Nepal.
**TRANSITION**
**AWARDED:**
Krishna Bhakta Shrestha Devkota Kabya Samman 2058 by Laxmi Prasad Devkota Academy.
**LEFT:**
Environment and Population minister P.L. Singh Montreal Canada.
**RETURNED:**
Chief of the General Staff of Royal Nepalese Army Prajwalla Sumsher Rana suspending his 10 days visit to the Federal Republic of Germany.
Main opposition party leader and CPN-UML general secretary Madhav Kumar Nepal after a brief visit to the US.
The team of the expert divers from Bangladesh citing the reasons that there is a very thin possibility of successfully carrying out rescue work in the Rara Lake.
**NOMINATED**
Nona Koirala as head of the Congress Women's Department and Gopal Raj Pahadi as a head of the department concerning parliamentary and local bodies by Congress president Girija Prasad Koirala.
**ELECTED:**
Sushil Kumar as president of Kathmandu Jaycees. Amod Raj Rajbhanari and Nilkaji Shakya as secretary and co-treasurer respectively.
**FORMED:**
Nepal Media Society under the convenorship of Pushkar Lal Shrestha, chief editor and publisher of Nepal Samacharpatra Daily.
The Nepal Football Fan Club (NFFC) is deeply saddened that the much awaited All Nepal Football Association (ANFA) elections has failed to resolve the long standing feud within ANFA that has crippled Nepali football for the better part of a year.
The various parties involved continue to put personal benefit over the interest of Nepali football. This is utterly deplorable. The manipulative, calculated and deceitful way in which the elections were held clearly show the character and intentions of the personalities and associations involved.
There was great optimism that a single election would bring the two ANFA factions together and allow Nepali football to move forward. Unfortunately both ANFAs decided to hold their own separate election and have perpetuated their feud to the detriment of Nepali football.
The NFFC is very disappointed that the AFC and FIFA have not been proactive in trying to resolve Nepalis football crisis. They have shown minimal interest in trying to research all the facts of the situation and to bring the two sides together. They continue to send funds to one faction of ANFA despite the fact that it has not been able to do anything in the last year for the average Nepali footballer or football fans. Nor has the other faction of ANFA done any better.
It has been over two years that the Nepali public has been unable to see its national team in action on home-soil or on television. We still lack a proper national league or youth development system. Football clubs are in disarray because of a lack of proper guidance from ANFA, and absence of any rules and regulations. There has been no football infrastructure development. The majority of football players receives negligible training and is not cared for.
Organizing an Mickey-mouse tournament every couple of months and sending select Nepali teams abroad to participate in insignificant tournaments is not what Nepali football or Nepali football fans want and need!
The NFFC will no longer stand and watch Nepali football being destroyed. Effective immediately we will start an international awareness campaign to shed light on what is really going on in Nepal as the international football community seems to be ill-informed about it.
We will ask all international donors to temporarily stop all funding for ANFA and seriously review the way they allocate funds to ANFA in the future. It is our view that the lure of cashing in the foreign grants, and the perks associated with being in the ANFA executive have contributed to the current dispute in ANFA and will continue to hinder the stability and development of ANFA and Nepali football.
The NFFC is extremely disappointed that we are put in such a position. The Nepali football fans deserve to have their football back! The football fans of Nepal neither started nor picked sides in this feud. Therefore it is wrong that they have to suffer because of the greed and politics of a few.
Having said that, we still continue to invite the two ANFAs, the national sports bodies and international football bodies to come together and resolve this crisis for the sake of Nepali football and football fans. ■
They have shown minimal interest in trying to research all the facts of the situation and to bring the two sides together. They continue to send funds to one faction of ANFA despite the fact that it has not been able to do anything in the last year for the average Nepali footballer or football fans. Nor has the other faction of ANFA done any better.
Now In Town
Brian Hodgson at the Kathmandu Residency 1825-1843
K.L. Pradhan/2001 Rs. 632.00
Civil Society in Nepal: Opening the Ground for Questions
D.R. Dahal/2001 Rs. 200.00
Democracy in Nepal: Challenges and Prospects
Rabindra Khanal/2001 Rs. 200.00
Decision Making in Village Nepal
C.J. Miller/2000 Rs. 472.00
Firing Corruption
R.K. Regmee/2001 Rs. 125.00
Globalization: The Essentials A Citizen's Handbook to the Imbalances of the Newest International Order
V.K. V.P. Thacker/2001 Rs. 200.00
Heir to a Silent Song Two Rebel Women of Nepal
N.N. Aziz/2001 Rs. 300.00
Information Technology and Ecommerce for Development
Bishwa Keshar Maskay/2001 Rs. 300.00
Ritual, Power and Gender: Explorations in the Ethnography of Vanuatu, Nepal and Ireland
Michael Allen/2000 Rs. 960.00
Mountain Environment and GIS Models and Applications
K.P. Poudel/2001 Rs. 235.00
Small and Medium Enterprise Development in Nepal: Emerging Issues and Opportunities
Bishwa Keshar Maskay/2001 Rs. 400.00
Who is the Daughter of Nepal? A collection of Essays
Sangita Rayamajhi/2001 Rs. 315.00
Nepal's Tourism Uncensored Facts
Diwaker Chand/2000 Rs. 632.00
WTO Regional Cooperation and Nepal
Horst Mundl/1999 Rs. 160.00
(Source: Himalayan Book Center, Bagh Bazar, Kathmandu, Ph.: 242085)
Video (English)
Bandits
From Hell
Max Keeble's Big Move
The One
Backyard Dogs
Croky Romans
Hard Ball
Training Day
Creepshow II
Jeeper's Creeper's
Hindi
Belagam
Ashoka
Indian
Kasam
Rehna Hai Tere Dil Main
Pyar Zindagi Hai
Yeh Tere Ghar Yeh Mera Ghar
Mitti
Kiyon Ki Mein Jhoot Nahin
Ajnabee
(Source: SuperStar Video, New Road)
ANDY CAPP
© 1998 M.G.M.
DIST. BY SYNDICATION INTERNATIONAL NORTH AMERICA SYNDICATE INC.
ON THE PLUS SIDE, I ALWAYS SOUND TERRIBLY ILL WHEN I PHONE IN TO WORK SICK.
GARFIELD
CLIMB ME NO WAY!
YOU KNOW YOU WANT TO
THAT'S BESIDE THE POINT
I'VE GROWN A NEW BRANCH REALLY?
FRED BASSET
Associated Newspapers, Ltd. 1988
Dist. by Tribune Media Services, Inc., all rights reserved.
He's treated himself to a new driver.
Guaranteed to put yards on your tee shot,' the pro said...
I'd take it back if I were you!
OVERBOARD
YOU GUYS ARE SO SWEET AND CUTE.
YEAH...
YOU'RE HANDSOME AND WITTY, AND WE WANT TO SHOWER YOU WITH KISSES AND-WHOA-WAIT A MINUTE.
STOP THIS.
CROSSWORD
ACROSS
1. Abigail's dismal day off (5,4)
6. Matches containing sulphur in bunches of five (5)
9. Open cart covered by elegant umbrella (7)
10. Lash out, left locked inside plant (7)
11. Joint given to one about to leave (5)
12. Familiar US stars, including outstanding diver (3,6)
13. Pre-arranged drill without approval, among rocky bens (8)
15. It's no more than a drop of water (4)
19. Noisily opening carriage (4)
23. Resumed, given international honours again (8)
23. Invoice timber for hoarding (9)
24. Stalks maiden on trail (5)
26. Capture in sudden attack (7)
27. Leather case in rambling hostelry, not closed (7)
28. Outcome of a word in confidence one's given away (9)
DOWN
1. One leaving papers around found a Listener under bed (9)
2. Under protest, bishop has to stand down (5)
3. Second team cap or lid (5-3)
4. Did Babel spread improvised words? (8)
5. Condescend to accept direction in project (6)
6. Write up tablet if needing stimulus (6)
7. Tip to get rid of old car (5,4)
8. A bit of Asparagus — mint may be added (5)
14. Picture, even so, is not wholly devoid of animation (5-4)
16. Fatty type of make MOH ponder (9)
17. Try graphite first for slugs (4,4)
18. Graduate composer getting up function (8)
21. A bishop, by roman law, has to recant (6)
22. Brownie's eccentric cycle (6)
23. Support for anecdotes taken from Xenophon's history (5)
25. Extremist, having given up painting, left university (5)
SOLUTION
ACROSS: 1. Lady's maid 6. Fists 9. Thumb 10. Splice 11. Elbow 12. Big dipper 13. Beepocon 15. Meter 19. Gait 20. Billboard 23. Recapped 24. Haulm 26. Seizure 27. Holster 28. Steve 29. Aftermath
DOWN: 1. Lintbough 2. Diamond 3. Screw-top 4. Alibabah 5. Design 6. Fillip 7. Scrap heap 8. Spear 14. Still life 16. Edmundopth 17. Leadshot 18. Bachelor 21. Aubrey 22. Cameron 23. Basis 25. Ultra
BRIDGE
NORTH
♦ K 8 6
♥ Q 6 5
♦ K 6 4
♦ Q 9 3 2
WEST
♦ A 5 3
♥ Q J 10 3
♦ Q 10 9 2
♦ A 10 9
EAST
♦ A 10 2
♥ A 9 4 2
♦ 8 7
♦ K 1 8 7 5
SOUTH
♦ A Q 9 7 4
♥ K 7
♦ A 1 8 7 5
♦
Vulnerable: North-South
Dealer: West
The bidding:
West North East South
Pass Pass Pass 1
Pass 2 Pass 4
All pass
Opening lead: Heart queen
"You pay a great deal too dear for what's given freely."
— SHAKESPEARE
When declarer gives you an opportunity to score a small trump, should you grab it while you can? Be careful. Not many declarers are certified members of the Philanthropic Trick-Donating Society.
West leads his heart queen to East's ace, and East returns a heart to South's king. After South cashes the ace and king of trumps, he leaves a trump at large to begin the diamonds. He cashes dummy's diamond king and leads another diamond. Should East ruff with his "useless" trump jack?
If he does, he is betting South has forgotten to draw East's last rump. If East accepts South's gift and ruffs with his trump jack, South enjoys an easy time. He cashes his diamond ace and ruffs a diamond with dummy's last trump, limiting his losses to only a heart, a club and the diamond ruff.
It's a different story if East is suspicious and refuses to ruff. After East discards, what can South do? If he cashes his ace and concedes a diamond, West will cash his club ace and lead a fourth diamond for East to ruff. And if South finesses in diamonds, the onetrick set arrives even sooner.
Ruffing one of declarer's winners is a good strategy; ruffing one of his losers is usually worth nothing.
Asko Luukkainen is the Charge d’Affaires at the Embassy of Finland in Kathmandu. He was working in the Foreign Office of Finland as a director in the unit for sector policies before he came to Nepal in August 2000. He has been posted also in Tanzania. Finland is celebrating its 84th independence day on 6th December, 2001. On the eve of the independence day, Luukkainen spoke to SANJAYA DHAKAL on the bilateral relations between the two countries and prospects for enhancing them in the coming days. Excerpts:
**How do you see the state of Nepal-Finland relations at the moment?**
The relations between the two countries are very good. The implementation of the development cooperation program in your country shows that relations are very good and cordial. There has been growth in political contacts as well. Last year, then Foreign Minister of Nepal Chakra Prasad Bastola visited Finland which was followed by the Finnish environment and development cooperation minister’s visit here in September this year. At the moment (November 21-22), Nepalese Minister for Finance Dr. Ram Sharan Mahat is in Finland. This shows the growing contacts especially at the political level.
**What have been the major areas of Finnish cooperation in Nepal?**
They are geared at mainly four-five sectors. Environment is one of our major priorities. We are involved in the rural water supply and sanitation project in Lumbini since 1989 and now we have reached phase III of the project. We want to be active in human rights and democracy support programs. Mapping is another area of our cooperation. We are one of the donors financing the Basic and Primary Education Project II (BPEP II). In the past, we were quite active in forestry sector. Energy used to be also one of the sectors Finland supported. Rural electrification and Khimti Transmission Line are examples of this cooperation.
**Do you think the HMG of Nepal could have used your funds more fruitfully?**
Well, the money has not been wasted. For instance, the transmission line is functioning. The other important project is that of rural water supply and sanitation. If you go to villages, you will find the health situation is improving and women have more time for their households than before because they do not need to collect the water from far anymore. These two examples prove that money has not been wasted. It has been put to good use. But, we don’t know yet about the results of the environment projects. Same applies to the education. The mid-term review is coming up soon so will know about it only after that.
**How do you see the prospects of promoting economic relations between the two countries? What should be done to promote trade and investment between Nepal and Finland?**
Geographically, Nepal and Finland are far from each other. The main export products of Nepal are agricultural products, garments, carpet, pashmina and so on. I think, the trade cannot grow much by depending on these products alone. I always stress on the Information Technology (IT). There is good prospect in developing this sector. Finland is very advanced in IT and we have many world-class companies that provide the service. Right now we are experiencing shortage of skilled labor although the demands for our IT products/services are on the rise. There is a possibility that Nepalese and Finnish IT companies could start cooperating. But the problem is, the IT education is still very low here. This has to be improved. We, at the Embassy, have been trying to find out what the bottlenecks are for IT education in Nepal. If the education and training can be improved, there are good prospects, as you know IT doesn’t know any border. Although Nepal is a land-locked country, we can cooperate by using internet.
**Depending upon the performance, do you think there is bigger scope for enhancing Finnish cooperation to Nepal in coming years?**
Yes, the basic possibilities exist. A year ago, the government of Finland had reviewed its aid programmes with many countries. Countries were classified into different groups like those which we call long-term partner countries. Nepal was chosen as one of the countries with long-term cooperation. So there is this possibility. Still, the scope of our assistance depends on the performance of the country, we expect that Nepal has such priorities like poverty reduction, democracy, good governance, sustainability in natural resources etc.
**What about the possibilities of luring more Finnish tourists? How many of them come to Nepal at present?**
It is always possible. Everybody in Finland has some kind of idea about Nepal. I remember when I was assigned here almost all of my friends started to plan a visit to Nepal. Of course, Nepal has Himalayas, landscapes are wonderful and people nice and friendly. You have all that is necessary to lure tourists. Also, you have quite a lot of experience. There are good hotels and trekking routes. So it is the question of advertising. At the moment the political situation in the whole world is quite unstable. But people tend to forget these things after a while if nothing else happens. If advertisement programs like exhibition contacts between travel agents of two countries are enhanced, there is a plenty of possibility of luring Finnish tourists. At present, about 1300 Finnish tourists come to Nepal every year.
**How do you see the on-going government-Maoist talks? Will the donors, including Finland, come forward to support the Integrated Security and Development Program (ISDP) being implemented by HMG/Nepal?**
Like everybody else, I welcome the talks. The situation looks to be better now than a few months ago. Both sides have made moves towards making the atmosphere conducive. Government has released prisoners and the Maoists have released those abducted by them. I hear Maoists talking about settlement. I am really hopeful about some negotiated settlement. As far as the ISDP is concerned, all donors have not decided yet. ISDP is trying to create some development especially in those remote areas which are strongholds of Maoists. It is very easy to say that this is the right thing as the government has not been able to take development to these regions. But questions remain on how and under which umbrella such programs will be implemented. We are not yet in a position to say that we support ISDP. Though we are willing to assist the grass-root projects, we have not decided what is the right channel for that. All of us (donors) realize that there has to be development in these areas, that the people there should experience it but we (at least, us Finnish) are undecided as to what the right channel should be.
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6th Meeting of the Working Group on Alternative Reference Rates in Mexico (GTTR)
October 2022
Introduction
- At the previous meeting of the Working Group on Alternative Reference Rates in Mexico (GTTR) on July 5th, the proposed timeline and methodologies regarding the transition of TIIE rates with tenors greater than one business day were discussed.
- Afterwards, Banco de México held conversations with diverse market participants through multiple committees/forums within ABM (banks’ association), AMIB (stock market institutions’ association), AMAFORE (administrators of Retirement Funds’ association), and AMEFAC (factoring enterprises’ association). Additionally, the Central Bank engaged in private meetings with price vendors, organized derivatives exchanges, and some financial institutions. The purpose of these consultations was to analyze and later on to formalize the proposals for the transition of TIIE rates with tenors greater than one business day.
- Based on those consultations and on an internal analysis process, in the following weeks the final proposal will be discussed within the Board of Governors of Banco de México. The proposal will address two main topics:
A. Modify the methodology to estimate TIIE rates with tenors greater than one business day.
B. Set final transition dates for the use of TIIE with tenors greater than one business day regarding new contracts.
Topics
1. Methodology for legacy contracts
2. Transition calendar for 28, 91 and 182-day TIIE rates
3. Additional issues to consider for the transition process
Legacy contracts
After a careful analysis of market participants’ feedback, it was decided to modify the methodology of TIIE rates with tenors greater than one business day, instead of using fallback rates (as it was done with LIBOR rates).
TIIE rates with tenors greater than one business day under the new methodology will continue to be published indefinitely.
However, the aforementioned TIIE with tenors greater than one business day will only be allowed to be used for outstanding contracts at the transition date (legacy contracts).
Legal perspective
- Restructuring
- Redocumentation
- Modifying legal agreements
There is no need for legal modifications by market participants
This alternative could potentially reduce costs and the legal burden compared with the scheme of fallback rates (contracts restructure nuisance), which would help to have a smoother transition.
New contracts
Therefore, after the set dates of transition, **new trades /contracts will NOT be allowed to use TIIE rates with tenors greater than one business day under the new methodology. Hence, only the ON TIIE Funding Rate (Overnight TIIE Funding rate or TIIE de Fondeo),** or any other reference rate authorized by Banco de México’s regulation (established in Circular 3/2012 and 4/2012), may be used.
- New contracts
- New debt issues
The Central Bank continues to emphasize the importance of **using TIIE de Fondeo in new contracts as soon as today**, as it will contribute to a planned and smooth transition, with fewer legacy contracts. **This recommendation will be formalized in the press release** announcing the changes that Banco de México will undertake.
A. Market participants’ preference on the proposed methodologies
Comparing the last two analyzed methodologies (based on the Overnight target rate and the ON TIIE funding rate), around two thirds of participants within ABM and AMIB prefer using a methodology based on the latter. None expressed disagreement with any of these two methodologies.
Percentage of ABM’s members in favor of the proposed methodologies\(^1/\)
- Compounded overnight target rate: 18%
- Compounded TIIE de Fondeo: 68%
- Other methodology: 7%
- No comments: 7%
Note: In other methodologies, the proposal was an *in-Advance* methodology with TIIE Fondeo.
Source: ABM.
Percentage of AMIB’s members in favor of the proposed methodologies
- Compounded overnight target rate: 20%
- Compounded TIIE de Fondeo: 60%
- Other answers: 20%
Note: In other answers, one participant suggested to use a methodology based on TIIE de Fondeo for the Short-Term, and CETES for Medium and Long-Term.
Source: AMIB.
\(^1/\) Estimated percentage based on 28 institutions.
A. New proposed methodology: TIIE de Fondeo (ON TIIE Funding rate) compounded by tenor
Hence, the new methodology will be based on the **ON TIIE Funding rate of the reference day, compounded by the number of days in the corresponding term to maturity, plus a historical spread adjustment**. In other words:
\[
\text{Term TIIE } n = \left[ \left( 1 + \frac{TF}{36000} \right)^n - 1 \right] \times \frac{36000}{n} + \text{Adjustment}
\]
Where:
- \( TF = \text{ON TIIE Funding rate of the reference day} \) expressed in percentage points.
- \( \text{Adjustment} = \text{The historical spread adjustment will remain fixed during the time in which TIIE rates with tenors greater than one business day are published.} \)
- The definition of this spread adjustment was based on international experience (i.e. ISDA’s methodology for fallback rates). This value is defined as the **historical median of the last five years** (October 2017 - September 2022) of the daily spreads between TIIE with tenors greater than one business day and the ON TIIE Funding rate compounded by the number of days of the corresponding term to maturity (28, 91 or 182 days, which would imply similar adjustments across tenors of **24, 23, and 24 bps, respectively**). The historical spread adjustment defined as the median of the last five years, considers both restrictive and accommodative monetary policy cycles.
Source: Banco de México.
A. New proposed methodology: TIIE de Fondeo (ON TIIE Funding rate) compounded by tenor
The proposed methodology is the best option because of the following advantages:
- It would be known at the beginning of the interest calculation period.
- It replicates the stepped adjustments of the monetary policy decisions.
- It is consistent with international standards and practices as it is based on an RFR.
- It incentivizes the usage of the ON Funding TIIE.
- Derivatives clearing houses mentioned the possibility to transform the current interest rate swaps contracts (IRS) to OIS contracts linked to the ON TIIE Funding rate.
New proposed methodology vs corresponding TIIE with tenors greater than one business day
Source: Banco de México.
It is important to mention that the ON TIIE Funding rate is currently being published until 5:00 p.m., therefore changing the methodology of TIIE with tenors greater than one business day will imply a delay in their publication. Only few institutions expressed an inconvenience due to their internal processes (if any participant has a significant impact because of this change, it should inform Banco de México during the corresponding public consultation period so that it is further analyzed).
Topics
1. Methodology for legacy contracts
2. Transition calendar for 28, 91 and 182-day TIIE rates
3. Additional issues to consider for the transition process
B. Estimated timeline for the methodological change of TIIE rates with tenors greater than one business day
The transition calendar of TIIE rates with tenors greater than one business day would be as follows:
I. **Ban the usage of the 91-day and 182-day term TIIE, with effects after the last business day of 2023, for new contracts.** From this point onward, the new methodology rates should be used only for legacy contracts and the ON TIIE Funding rate should be used for new trades/contracts.
II. **Ban the usage of the 28-day term TIIE, with effects after the last business day of 2024, for new contracts.** From this point onward, the new methodology rates should be used only for legacy contracts and the ON TIIE Funding rate should be used for new trades/contracts.
Topics
1. Methodology for legacy contracts
2. Transition calendar for 28, 91 and 182-day TIE rates
3. Additional issues to consider for the transition process
The Central Bank will support the conversion made by the derivatives clearing houses of all IRS contracts linked to TIIE with tenors greater than one business day into OIS products linked to ON TIIE Funding rate.
In order for clearing houses to be able to make this conversion, it is vital that derivatives market participants start providing liquidity into the existing futures contracts to develop solid valuation curves, and to set prices based on these curves.
At the same time, it is important to start developing the OIS market linked to the ON TIIE Funding rate. The Central Bank is willing and will be alert of any action that authorities could undertake to accelerate this process.
Additionally, to provide more alternatives/incentives to participants to use the ON TIIE Funding rate, Banco de México is planning to publish compounded rates of the ON TIIE Funding rate for 28, 91, and 182 days tenors with “in advance” methodologies, as well as complementary indices to be used as reference (e.g. SOFR Index) (Annexes 2 and 3).
Next steps
The methodological change of TIIE rates with tenors greater than one business day and the transition dates exposed here, will be presented to the Board of Governors of Banco de Mexico for its approval.
The modifications to the applicable regulation (Circulars), will be subject to public consultation.
A press release will be issued announcing the next steps to take during the transition process as well as the final definition of the new methodology for term TIIE. In the press release, there will be an exhortation to stop using TIIE rates with tenors greater than one business day and to start using only the ON TIIE Funding rate.
The Central Bank will start publishing compounded in advance rates of the ON TIIE Funding rate for 28, 91, and 182 days tenors, as well as complementary indices, to be used as reference.
Local progress in the transition process: issues for discussion
- Is there any additional comment about the change in methodology of TIIE with tenors greater than one business day?
- Is there any additional comment about the proposed deadlines for the transition applicable to TIIE with tenors greater than one business day?
- Is there anything Banco de México could do, as a financial authority, in order to encourage a similar initiative to SOFR First? It could be called “TIIE de Fondeo Primero”.
- If there are any additional comments please submit them as soon as possible (before October 14th, 2022).
Información que ha sido publicada por el Banco de México
www.banxico.org.mx
Annex 1: Compounded in arrears vs in advance
1) The compounded in arrears rate methodology capitalizes, on a daily basis, the observed overnight rate throughout the interest payment period, so the obtained information is aligned with the computation period (similar to Bonde F, Bonde G, SONIA compounded index, or SOFR Index).
2) The compounded in advance rate methodology capitalizes, on a daily basis, the observed overnight rate throughout the period prior to the interest payment period, so the obtained information has a lag (similar to SOFR Average).
Annex 2: TIIE de Fondeo compounded in advance (similar to SOFR Average)
Following international experience, a reference rate that could be published is **TIIE de Fondeo compounded in advance**; in other words, with a methodology similar to SOFR Average.\(^1\)
For any published date, TIIE de Fondeo compounded in advance includes all the values published of TIIE de Fondeo during the last 28, 91, and 182 calendar days, depending on the term requested.
The formula to estimate TIIE de Fondeo compounded in advance on different terms, would be as follow:
\[
\text{TIIE de Fondeo compounded in advance} = \left[ \prod_{i=1}^{d_h} \left( 1 + \frac{TF_i}{360} \right)^{n_i} - 1 \right] \times \frac{360}{d_c},
\]
Where:
- \(TF_i\) = TIIE de Fondeo published on the \(i\) business day,
- \(n_i\) = number of calendar days applicable for the \(TF_i\),
- \(d_c\) = number of calendar days of the estimation period (28, 91, or 182 days),
- \(d_h\) = number of business days during the estimation period.
---
\(^1/\) See Annex 1 for a comparison between in advance and in arrears methodologies.
Annex 3: TIIE de Fondeo Index (similar to SOFR Index)
To facilitate the estimation of the interest rate compounded with TIIE de Fondeo in a specific period, it is possible to publish a **TIIE de Fondeo Index**. This index will measure the cumulative impact of capitalizing TIIE de Fondeo in a unit of investment since January 2, 2006.
The formula to estimate the TIIE de Fondeo Index for the business day $k$ is as follows:
$$
TIIE\ de\ Fondeo\ Index_D = \begin{cases}
1.00000000, & D = January\ 2, 2006 \\
\prod_{i=January\ 2, 2006}^{D-1} \left(1 + \frac{TF_i}{360}\right)^{n_i}, & D > January\ 2, 2006
\end{cases}
$$
Where:
- $TF_i =$ TIIE de Fondeo published on the business day $i$,
- $n_i =$ number of calendar days applicable for the $TF_i$.
The **TIIE de Fondeo Index will allow to estimate the compounded interest rate for any period between two days with a published TIIE de Fondeo rate**. The formula would be as follows:
$$
TIIE\ de\ Fondeo\ compounded\ between\ D_1\ and\ D_2 = \left(\frac{TIIE\ de\ Fondeo\ Index_{D_2}}{TIIE\ de\ Fondeo\ Index_{D_1}} - 1\right) \times \frac{36000}{\delta}.
$$
Where:
- $D_1 =$ first date of the period.
- $D_2 =$ last date of the period.
- $\delta =$ the number of days between $D_1$ and $D_2$.
|
THANK HEAVENS FOR PERCH
TARGETING BIG CHUB
QUEST FOR SPRING BREAM
BILL & VIRGINIA’S COMMERCIAL BREAKS
AT THE SHARP END! FIND THE PERFECT HOOK
CATCH YOUR FIRST ZANDER
Having recently ‘discovered’ the zander, Duncan Charman (who hasn’t changed his name to Cushelle) wants to spread the word.
Amazingly, with over four decades of angling behind me, I’d never managed to put any time aside to target zander – until this winter. I hope this feature will help others understand the basic fundamentals required to land their first zed.
Having spent numerous hours pursuing other predators such as pike and perch it was another species that helped me understand and get to grips with zander quicker than I had expected: eels. Eels hate resistance, dropping a bait at the slightest indication when something feels wrong, they feed in short bursts when conditions are right and require the use of simple rigs. Overlooking any of these factors will only bring average returns and frustrating sessions.
My learning period has been spent on probably the most prolific zander water in the country, Old Bury Hill Lake, Surrey, a day-ticket water that’s available to all. Not only does this fishery contain lots of zander, it has the potential of producing really big fish in excess of 14lb. On one of my recent sessions, an angler targeting the species for the very first time caught three zeds, all in the last half an hour before closing up time; all three were 11-pounders. That’s some fishing and a story that brings me to my first piece of advice.
**Conditions and timing**
Zander are far more active in low light conditions, so if you’re planning a session at Old Bury Hill, keep a close eye on the weather forecast and try and time your visit to coincide with an overcast, mild day. Even when the conditions are favourable, make sure you are at the water as soon as it opens as dawn is a prime feeding time. Dusk is also a period of high activity, so don’t leave early; the last 10 minutes before the venue closes can produce more runs than the whole of the day! My advice is that as long as it’s mild, the wetter and windier the weather is, then the better the fishing will be. Most
Search them out – cast regularly at different angles and distances
Zander fight well on the right kit
planned trip does unfortunately fall on a bright sunny day, as mentioned before, be on the water as early as allowed and leave as late as you can as the first and last hours will undoubtedly be the best.
**Areas to target**
This again varies with the time of year, but in general you will find zander in the shallower areas during the autumn moving into deeper water as the water temperature drops. This is a pretty consistent pattern with all species, so if an area is producing bream or plenty of silver fish you can bet zander won’t be far away. Zander hunt in packs so once you receive a bite it’s often the case that more will follow quickly, so try and get your rod back out as quickly as possible after each capture. One good method is to keep moving, maybe spending half an hour in a swim before moving a few yards further down the bank. If you see another angler catching don’t be afraid to move closer to him, though obviously not so close that it effects his fishing.
Try to imagine what most anglers do when they pack up. They remove their bait and throw it into the lake along with a few other leftovers. Zander aren’t stupid and will switch on to the time this happens and feed close in, so don’t go casting to the horizon, often a short underarm cast is all that’s required. Quite often one rod will receive more takes than the other. This is because the zander are shoaled up close together, so maximise your chances and place both rods close together on the going spot.
**Casting frequently**
I’m not sure whether or not zander respond to the noise of a lead hitting...
the water, but it’s often the case that a run will occur very quickly after casting out, sometimes when you’re setting the indicator. When I arrive at a swim I keep casting frequently at different angles and distances until I get a bite. Once a bite comes I cast back to the same area, as this will often produce another. Twitching baits back is meant to work, but all I found it did is mask the bait with leaf debris, making it less appealing, so I wouldn’t recommend it, especially on waters surrounded by trees. Some anglers seem happy to cast out and wait, confident that this is the way to catch the bigger fish, but my plan in catching a big fish is to catch as many fish as I can.
**Simple running rigs**
Just like eel fishing, as soon as you try to complicate your rigs you will see a downturn in runs. The more bits of terminal tackle making up your end rig, the more resistance it has and the fewer bites it will produce. A simple running leger rig with just enough weight to get your bait where the fish are feeding is adequate. Let me try to explain my thoughts on leads that are too big or the use of a float when legering. A lead that’s too heavy will sink into the bottom of the lake. If that is silt it could...
dig in a few inches and the angle of your main line and hooklink through the eye of the lead will cause friction, creating aborted runs; hence the need to use the lightest lead possible. A float also causes an angle through it to the lead, once again creating resistance, and if the float is too big, its buoyancy will also cause dropped runs. If you’re going to use a float then use the smallest one possible, maybe a loaded waggler or chubber style float, shotted right down and the bait just resting on the bottom. I can’t see the point of float legering; it over-complicates what really does need to be kept simple. As long as you have a sensitive indicator system set-up with a simple running leger rig then you’ve won half the battle.
**Balanced tackle**
In fighting terms zander are similar to bream. Hook them using 15lb line and 3lb test curve rods and not a lot will be felt. However, refine your rods, line and terminal tackle and these creatures can fight back. The rods I’ve been using are 1¾lb Korum Precision Specialists teamed with 8lb Gardner Hydro-Flow main line; balanced, adequate and enjoyable.
My set up may not look trendy, somewhat primitive in fact, but using long banksticks that set your rods around waist height is perfect, and bobbins set close to the ground allow plenty of time to strike before they reach the rod. No resistance, no dropped runs – just steady, hittable bites every time. Bobbins should be as light as possible. I still use old Fairy Liquid bottle tops with isotopes pushed in when fishing after dark. Unfortunately, these seem to be unavailable now; that’s unless Dave Ball’s fishing next door, he seems to have an everlasting supply of what has to be the best lightweight indicator ever available. I thought the bottle top type couldn’t be beaten but the foam poppers simply have the plastic tube that comes with the cheap isotopes pushed into them and a broken paper clip Araldited into the top. If you need to weight them down then heavy metal putty can be added to the tube before pushing in the isotope.
My father joined me recently for his first ever zander trip, and after a few hours of missed runs due to using inadequate bobbins, we sat down and created what now seems the ultimate zander bobbin. If you need the isotopes, they can be bought from Lidl’s at around two quid for 50. What more do you want!
The key to converting bites into hooked fish is to sit on your rods and strike before the bobbin reaches the top. Also, don’t use back rests that grip the rod handle. I use Korum Butt Rests, which allow the rod to be picked up with minimal fuss.
**Hookbait mounting**
Old Bury Hill Lake seems to be one that’s different to all others in that it’s one of the only waters where zander feed confidently on sea deadbaits. I’m not sure why this is so, but can only assume that so much has entered the water from pike anglers over the years the zander have switched on to it as an easy food source, similar to how catfish switch on to pellets and boilies. When targeting zander, err on the side of small baits rather than large, as although they look quite frightening, they have relatively small mouths compared to pike.
Early on in the season, whilst the water temperature is still warm naturals work well, as do sprats, but as it cools the oily nature of mackerel start to become the more favoured bait. I’ve never been a lover of mackerel due to its tough skin, so I decided to use sardine sections instead and before I
It seems logical to me to keep the hook out of the bait – frozen sections also cast well and quickly defrost leaking attractants into the water.
I knew it they were out-fishing all other baits. Knowing that hooking a piece of sardine wasn’t the best option, especially for casting, I started to hair rig a frozen section on a single, barbless size 6 Korum S3 and I haven’t looked back since. The frozen section can be easily mounted and cast, slowly defrosting and leaking off all its blood and oil into the water, simply irresistible as well as leaving the hook free to easily penetrate the zander’s hard, bony mouth.
Sea deadbaits will not work on all waters, probably very few, but keep in mind what’s happening on Old Bury Hill, as it may be worth a trial as an alternative on your water when the going gets tough. My thoughts on hair rigging seem to be going into overdrive, not only for zander, but pike as well. Surely this option is far safer for the well being of the fish stocks than snap-tackle, and looking at my strike rate, the latter is a thing of the past. Give it a go – you may be surprised just how effective it is.
Probably the best piece of advice on the subject of bait is to always carry a good variety of different baits as zander have a tendency of changing their feeding preference on a daily basis. Never be afraid of hair-rigging two tiny sections of a small bait like a gudgeon or lamprey as these maybe the only items they will feed on, especially during the day.
**Handling.**
One word of warning with zander, and one I found out on my first outing is they have a very sharp pointed dorsal fin and are just as lively on the bank as in the water. The first zander I caught caught me with this spike, right at the
Duncan Charman Catch your first zander
Small fish baits can attract other species – the bream took a liking to a sprat tail!
base of by thumb. Like perch they also have a sharp gill cover that can also catch you out, so beware.
Hopefully, my introduction to zander fishing has inspired a few anglers to refine their kit and make a visit to Old Bury Hill, or maybe to one of the harder venues such as the River Severn, Trent or Thames. Wherever you go, some of the things learnt throughout my early sessions should help you in understanding the way zander feed, the tackle required and when to target this quite addictive species.
Please note some items of kit described here may not comply with Old Bury Hill’s rules. This is because special permission was granted by the owner for us to carry out tests, to supply statistics to him for the future running of the business. When visiting the venue, please make sure you comply with the rules.
Vital statistics
Based on two anglers fishing five short afternoon sessions:
Runs – 101
Fish hooked – 77
Fish landed – 69 zander and one pike
24 runs missed due to either not striking out of bait or sometimes two runs coming at same time
Fact file
Address: Bury Hill Fisheries, The Boathouse, Old Bury Hill, Westcott, nr Dorking, Surrey, RH4 3JU.
Tel: 01306 877540
Website: www.buryhillfisheries.co.uk
Etang La Saussaie
www.carpe-france.com
3 hours from Calais • 10.5 acre lake in rural setting • 14 prepared swims (max 8 anglers) • Lake record 72lb common (October 2008) • Lodge • full cooking facilities with fridge, freezer etc. • English shower & toilets • Mains water • Full access around lake • Anglers’ chalet (sleeps 4) with private facilities • Baits sold on site • Bait freezer available • 230v mains power on site
VIDEO £5.00
Plus p&p
DRIVE & FISH
£250.00 per person
Food & transport package
Full lake booking available
72lb LAKE RECORD
For more information: Tel: 07971 049455 • Fax: 01623 654990
Email: email@example.com
Or by post: Etang La Saussaie, PO Box 6177, Mansfield, Nottingham, NG18 3GW
|
2021 SENTINEL LANDSCAPES ACCOMPLISHMENTS REPORT
SENTINELANDSCAPES.ORG
Cover photo credits: (clockwise)
U.S. Air Force F-15E Strike Eagles, U.S. Air Force photo by Staff Sgt. Eric Harris/Released; Fort Huachuca, Pacheco Conservation Easement photo by Arizona Land and Water Trust; Black duck at Blackwater National Wildlife Refuge, photo by Scott Nielsen/U.S. Fish and Wildlife Service (USFWS); Pararescueman at Joint Base Lewis-McChord, National Guard photo by Joseph Siemandel; Cabin Bluff, The Nature Conservancy photo by Wade Harrison; A-10 Thunderbolt II aircraft refuel, U.S. Air Force photo by Airman 1st Class Adam R. Shanks.
Chapter photo credits:
Page 1: (top) Soldiers and UH-60 Black Hawk helicopter at Joint Base Lewis-McChord, Army photo by Captain Tania Donovan
Page 1: (bottom) Camp Ripley prescribed burn photo by U.S. Army
Page 2: Marine photo by Staff Sgt. Luis Agostini
Page 5: UH-1Y Venom photo by U.S. Marine Corps
Page 7: Fort Huachuca, Pacheco Conservation Easement photo by Arizona Land and Water Trust
Page 8: Gopher tortoise, Georgia Department of Natural Resources photo by Joe Burnam
Page 9: Stewart’s Canal at Harriet Tubman Underground Railroad National Historical Park, photo by National Park Service
Page 10: (top) HH-60G Pave Hawk helicopter, U.S. Air Force photo by Staff Sgt. Jamal D. Sutter
Page 10: (bottom) Blackwater National Wildlife Refuge photo by USFWS
# TABLE OF CONTENTS
Executive Summary .................................................................................................................. 1
Partnership Overview ............................................................................................................. 2
- Figure 1: Locations of Sentinel Landscapes ........................................................................... 3
- Federal Coordinating Committee ............................................................................................ 4
- Figure 2: Funding Committed to Sentinel Landscapes Through FY 2020 in Millions .............. 4
- Federal Agencies and Programs Aligned ................................................................................. 5
- Figure 3: Federal Cost Savings from the Sentinel Landscapes Partnership .......................... 5
- Table 1: Federal Agencies and Programs Aligned with Sentinel Landscapes Goals and Objectives ..... 6
Fiscal Year 2020 Partnership Highlights ............................................................................. 7
- Figure 4: Acres Protected and Enrolled within Each Sentinel Landscape from their establishment through FY 2020 ................................................................. 7
- Prescribed Fire Protects Georgia’s Longleaf Pines ............................................................... 7
- Enabling Marsh Migration in Middle Chesapeake ............................................................... 8
Partnership Outlook ............................................................................................................... 10
- Sentinel Landscapes 2021 Application Cycle ....................................................................... 10
- Enhancing Resilience to Climate Change Across Sentinel Landscapes ............................... 10
SENTINELANDSCAPES.ORG
The Sentinel Landscapes Partnership is a broad coalition of federal agencies, state and local governments, and non-governmental organizations that works with willing, private landowners to advance sustainable land management practices within designated sentinel landscapes anchored by military installations and ranges. The partnership was established in 2013 by the United States (U.S.) Department of Agriculture (USDA), Department of Defense (DoD), and Department of the Interior (DOI) with the strategic goals of strengthening military readiness, bolstering agricultural productivity, preserving natural resources, and increasing access to recreation. As of fiscal year (FY) 2020 there were seven federally designated landscapes across the U.S.: Joint Base Lewis-McChord, Washington; Fort Huachuca, Arizona; Middle Chesapeake, Maryland, Delaware, and Virginia; Avon Park Air Force Range, Florida; Camp Ripley, Minnesota; Eastern North Carolina; and Georgia.
This report outlines how USDA, DoD, and DOI are creating holistic, integrated solutions to complex land-use challenges by combining resources and aligning funding around mutually beneficial goals within these seven landscapes.
Whether it’s a catastrophic wildfire leveling neighborhoods and forests, extreme storms flooding coastal communities and damaging infrastructure, or severe droughts diminishing agricultural productivity, these climate-related events threaten public safety and exacerbate existing natural resource and encroachment challenges nationwide. In addition to strengthening military readiness, bolstering agricultural and forestry productivity, and conserving natural resources, the Sentinel Landscapes Partnership is uniquely positioned to address climate-related issues head on to help build community resilience to climate change at a landscape scale.
Through fiscal year 2020, projects across sentinel landscapes have attracted roughly $178 million in DoD funds, $250 million in USDA funds, $57 million in DOI funds, $230 million in state funds, $16 million in local funds, and $104 million in private funds. These contributions have permanently protected over 515,000 acres of land and enrolled 2.7 million acres of land in technical assistance programs.
In FY 2020, the Sentinel Landscapes Partnership increased its focus on enhancing resilience to climate change realizing that climate-related threats can exacerbate existing impacts to military readiness, agricultural productivity, and natural resources. In recent years, communities across the country have been witnessing the devastating effects of climate change.
Staff from the Minnesota Department of Natural Resources and The Nature Conservancy help Camp Ripley workers conduct prescribed burns to combat wildland fires. Prescribed fires reduce fuel loads, enhance training, and sustain natural diversity (credit: U.S. Army).
Founded in 2013 by the Department of Agriculture (USDA), Department of Defense (DoD), and Department of the Interior (DOI), the Sentinel Landscapes Partnership is a broad coalition of federal agencies, state and local governments, and non-governmental organizations that works to advance common land-use objectives in high-priority areas known as sentinel landscapes. Each sentinel landscape is anchored by one or more military installations and contains natural and working lands of high conservation value. Natural and working lands, such as cropland, grassland, pasture, and forest, make up 74%, or roughly 1.7 billion acres, of land use in the United States but are rapidly declining.\(^1\)
It is estimated that nearly 6,000 acres of open space in the United States are converted to other uses every day.\(^2\) These open spaces include forests, grasslands, farms, ranches, streams, rivers, and parks, all of which are compatible with most military missions and provide vital ecological, agricultural, and recreational services to surrounding communities. Conversion and development of these lands not only causes light pollution, spectrum interference, and safety concerns resulting in less effective or restricted military training, testing, and operational activities, but also leads to increased habitat loss and natural resource degradation. These concerns make the protection or sustainable management of remaining natural and working lands a high priority for USDA, DoD, and DOI.
Conservation initiatives that occur on working lands tend to improve soil, air, and water health, which increases agricultural and forestry productivity. For DoD, farms, ranches, forests, and open spaces buffer military installations and ranges from incompatible development. Likewise, conservation projects can reduce the likelihood that habitat loss and fragmentation will cause threatened, endangered, and other at-risk species to migrate to DoD land. By protecting these natural amenities at the landscape scale, sentinel landscapes can strengthen military readiness, bolster agricultural and forestry productivity, conserve natural resources, and increase access to recreation.
In addition to existing land-use challenges, communities across the country are experiencing an increase in extreme weather and climate-related threats such as wildfires, hurricanes, sea level rise, and drought. As the frequency and intensity of these events continue to increase, the focus on cooperation to build resilient communities is becoming more important. Climate change is a complex phenomenon that threatens every facet of our nation’s security and exacerbates existing land-use and natural resource challenges relating to water resources, supply chains, biodiversity, and national defense. Preserving natural areas and sustainably managing them can help restore or enhance the natural systems and resilience of entire landscapes. For example, preserving shorelines and marshlands can reduce flood impacts on coastal and inland communities and military installations. Additionally, the sustainable management of forests can reduce wildfire risks, protecting public safety and infrastructure.
The Sentinel Landscapes Partnership addresses land-use, encroachment, and climate-related challenges and carries out its mission by connecting private landowners around military installations or ranges with voluntary government assistance programs that offset the cost of implementing sustainable management practices and conservation projects. While USDA, DoD, and DOI maintain oversight of the Partnership, sentinel landscapes are predominantly local enterprises. Each sentinel landscape is unique in its land cover, economic
---
\(^1\) Economic Research Service: “Major Uses of Land in the United States, 2012”: [https://www.ers.usda.gov/webdocs/publications/84880/eib-178.pdf?v=9562.2](https://www.ers.usda.gov/webdocs/publications/84880/eib-178.pdf?v=9562.2)
\(^2\) [https://www.fs.usda.gov/science-technology/loss-of-open-space](https://www.fs.usda.gov/science-technology/loss-of-open-space)
drivers, cultural heritage, and natural resource and climate challenges. Therefore, USDA, DoD, and DOI rely on networks of state agencies and local governments to inform land-use goals and carry out projects on the ground. Additionally, private organizations such as the U.S. Endowment for Forestry and Communities, National Fish and Wildlife Foundation, and The Nature Conservancy, participate at the federal and local level contributing to the administration of the Sentinel Landscapes Partnership and advancing projects within individual landscapes across the country. This collaborative model saves partners time and money and helps create resilient communities that balance the needs of humans and the environment.
As depicted in Figure 1, the Partnership has designated seven locations as sentinel landscapes, as of the end of fiscal year (FY) 2020:
- Joint Base Lewis-McChord (JBLM), Washington, est. 2013
- Fort Huachuca, Arizona, est. 2015
- Middle Chesapeake, Maryland, Delaware, and Virginia, est. 2015
- Avon Park Air Force Range (AFR), Florida, est. 2016
- Camp Ripley, Minnesota, est. 2016
- Eastern North Carolina, est. 2016
- Georgia, est. 2018
---
**Figure 1:** Locations of Sentinel Landscapes
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3 [https://www.congress.gov/bill/115th-congress/house-bill/2810/text](https://www.congress.gov/bill/115th-congress/house-bill/2810/text)
FEDERAL COORDINATING COMMITTEE
Although the success of the individual sentinel landscapes is largely due to the work of the partners on the ground, organization at the federal level is integral to the operation of the Sentinel Landscapes Partnership. The Partnership was established in 2013 through a Memorandum of Understanding signed by representatives from USDA, DoD, and DOI and later affirmed in statute under the 2018 National Defense Authorization Act (NDAA). The 2018 NDAA authorizes the secretaries of the three departments to designate new sentinel landscapes and coordinate actions among their departments or with other agencies and organizations to accomplish the goals of the Partnership more efficiently.
Representatives from DoD, the Natural Resource Conservation Service (NRCS), the U.S. Forest Service, the Farm Service Agency, the U.S. Fish and Wildlife Service, and the Bureau of Land Management make up the Sentinel Landscapes Federal Coordinating Committee (FCC) and manage coordination and designation at the national level. All designated sentinel landscapes share qualities that make them excellent sites for USDA, DoD, and DOI to collaborate on projects. Sentinel landscapes are all anchored by at least one high-value military installation or range, encompass agricultural and forestry lands, and are the appropriate scale to address restoration objectives such as water quality and quantity improvement and wildlife habitat enhancement.
Once a location is designated as a sentinel landscape, the FCC works with local partners to develop land-use objectives and implementation plans that reflect USDA, DoD, DOI, and local priorities. Moving forward, the local partnership works with the FCC to execute projects and connect private landowners within the sentinel landscape with voluntary government assistance programs that could contribute to accomplishing the partnership’s goals.
In total, through FY 2020, over $178 million in DoD funds, $249 million in USDA funds, and $57 million in DOI funds have supported projects in sentinel landscapes. The Partnership also attracts funding from participating states—Arizona, Florida, Georgia, Maryland, Delaware, Virginia, Minnesota, North Carolina, and Washington—local governments, and private
Figure 2: Funding Committed to Sentinel Landscapes Through FY 2020 in Millions
| Partner | FY 2012 | FY 2013 | FY 2014 | FY 2015 | FY 2016 | FY 2017 | FY 2018 | FY 2019 | FY 2020 | Total |
|---------|---------|---------|---------|---------|---------|---------|---------|---------|---------|-------|
| USDA | $0.6M | $0.5M | $4.8M | $18.9M | $16.5M | $34.5M | $34.8M | $46.4M | $26.4M | $250M$ |
| DoD | $1.5M | $6.5M | $9.6M | $15.0M | $21.7M | $35.3M | $25.0M | $26.6M | $37.2M | $178M |
| DOI | $1.2M | $1.0M | $1.5M | $8.1M | $13.0M | $6.6M | $4.0M | $5.9M | $15.6M | $57M |
| Local | $0.1M | $1.0M | $1.5M | $2.8M | $0.7M | $3.4M | $0.5M | $4.8M | $1.0M | $16M |
| Private | $1.2M | $2.0M | $2.8M | $5.7M | $3.7M | $13.7M | $31.6M | $19.0M | $24.7M | $104M |
| State | $0.8M | $0.6 | $2.6M | $17.5M | $30.1M | $36.7M | $24.3M | $56.2M | $60.6M | $230M |
| **Total** | **$5.4M** | **$11.7M** | **$22.8M** | **$68.0M** | **$85.7M** | **$130.2M** | **$120.2M** | **$159.0M** | **$165.5M** | **$835M** |
$ Protected acres are recognized as land acquisitions—fee simple or easement—that have completed the due diligence and closing actions necessary to obtain a real estate interest.
$ Land is considered enrolled if the property owner voluntarily participates in a federal or state land-management program that provides financial or technical assistance to promote sustainable agricultural practices, restore imperiled species and their habitat, or preserve critical natural resources; or if a landowner or an organization receives a federal or state grant to conduct a conservation project on said property.
$ USDA subtotals may not sum to combined total due to the addition of non-fiscal year funds contributed.
organizations. To date, Partnership efforts have received $229 million in state funds, $15 million in local funds, and $104 million in private funds. These contributions have permanently protected over 515,000 acres of land within sentinel landscapes and enrolled an additional 2.7 million acres of land in technical assistance programs.
In FY 2020 there was an overall increase in federal, state, local, and private funding of over $6 million that went directly towards projects within sentinel landscapes, as depicted in Figure 2. In total, this combination of funding represents a cost savings of $590 million, $711 million, and $519 million for USDA, DoD, and DOI, respectively (Figure 3).
**FEDERAL AGENCIES AND PROGRAMS ALIGNED**
There are numerous land management and technical assistance programs within USDA, DoD, and DOI that support the sentinel landscapes’ goals and objectives, for example, USDA’s Agricultural Management Assistance Program, DoD’s Military Installation Sustainability Program, and DOI’s State, Tribal, Local, Plans & Grants Division of the National Park Service. These programs provide a range of complementary benefits including tax reductions, agricultural loans, disaster relief, educational opportunities, technical aid, and funding for conservation easements.
Aside from the services and programs represented on the FCC, many other federal departments, agencies, and programs have land-use missions related to conservation, agriculture, forestry, defense, and resilience that could contribute to the strategic goals of sentinel landscapes. Table 1 provides a list of federal agencies and programs currently involved in the Sentinel Landscapes Partnership and many that have not been utilized yet. This list is not comprehensive; however, it demonstrates the federal government’s broad commitment to conservation and resilience within and outside of USDA, DoD, and DOI. The diversity of government programs listed below also represents the vast number of opportunities for inter-agency coordination and collaboration to better align funding and accomplish more within sentinel landscapes with fewer resources.
In addition to the programs listed in Table 1, there are many other federal, state, and local landowner assistance opportunities that can help private landowners manage their land sustainably, thereby contributing to the strategic goals of the Sentinel Landscapes Partnership. A variety of landowner assistance programs can be explored through the Interactive Landowner Resources Tool on the Sentinel Landscapes Partnership website at: [HTTPS://SENTINELLANDSCAPES.ORG/LANDOWNER-RESOURCES/](https://sentinellandscapes.org/landowner-resources/).
| Agency | Agencies/Programs | About | Relevant Programs |
|--------|-------------------|-------|------------------|
| DoD | Readiness and Environmental Protection Integration Program (REPI) | The REPI Program protects these military missions by helping remove or avoid land-use conflicts near installations and addressing regulatory restrictions that inhibit military activities. | |
| | Office of Local Defense Community Cooperation (OLDCC) | OLDCC furthers the priorities of the National Defense Strategy by supporting the readiness and resiliency of military installations and defense communities across the country. | Compatible Use Program; Community Investment Program; Military Installation Sustainability Program |
| | Natural Resources (NR) Program | The DoD’s NR Program supports the military’s testing and training mission by protecting its biological resources through policy, guidance, and oversight of management of natural resources on military land, air, and water resources owned or operated by DoD. | Integrated Natural Resource Management Plans |
| | Legacy Resource Management Program | The Legacy Resource Management Program assists DoD in protecting and enhancing resources while enabling military readiness through projects involving regional ecosystem management initiatives, habitat preservation efforts, etc. | |
| USDA | Natural Resources Conservation Service (NRCS) | NRCS provides America’s farmers and ranchers with financial and technical assistance to voluntarily put conservation on the ground, not only helping the environment but agricultural operations, too. | Agricultural Management Assistance Program; Regional Conservation Partnership Program; Conservation Stewardship Program; Environmental Quality Incentives Program; Agricultural Conservation Easement Program |
| | Farm Service Agency (FSA) | FSA is equitably serving all farmers, ranchers, and agricultural partners through the delivery of effective, efficient agricultural programs for all Americans. | Incentives and Conservation Reserve Program; Emergency Conservation Program; Farmable Wetlands Program |
| | U.S. Forest Service (USFS) | The mission of the USFS is to sustain the health, diversity, and productivity of the Nation’s forests and grasslands to meet the needs of present and future generations. | Forest Legacy Program; Farm Bill Programs |
| DOI | U.S. Fish and Wildlife Service (USFWS) | USFWS is the premier government agency dedicated to the conservation, protection, and enhancement of fish, wildlife and plants, and their habitats. | North American Wetlands Conservation Act Grants; Partners for Fish and Wildlife Program; Cooperative Endangered Species Conservation Fund; Recovery Planning and Implementation; Recovery Challenge Grants; Wildlife and Sport Fish Restoration Program; Coastal Program; National Coastal Wetland Conservation Grant Program |
| | National Park Service (NPS) | NPS cares for our national parks, but also helps revitalize communities by preserving local history, celebrating local heritage, and creating close-to-home opportunities for kids and families to get outside. | Federal Lands to Parks Program; Land and Water Conservation Fund Program; Rivers, Trails, and Conservation Assistance Program |
| | Bureau of Land Management (BLM) | The mission of BLM is to sustain the health, diversity, and productivity of the public lands for the use and enjoyment of present and future generations. | Threatened and Endangered Species Program; Wildlife Program; Soil, Water, and Air Program; Rangeland Management Program; Riparian and Wetlands Program |
| | Bureau of Indian Affairs (BIA) | BIA’s mission is to enhance the quality of life, promote economic opportunity, and carry out the responsibility to protect and improve the trust assets of American Indians, Indian tribes, and Alaska Natives. | Agriculture & Range Program; Wildlife and Parks Program; Endangered Species Program; Water Program |
| Additional Agencies | Environmental Protection Agency (EPA) | The mission of EPA is to protect human health and the environment through the development and enforcement of regulations. | Wetlands Program Development; Multipurpose Grants to States and Tribes |
| | Department of Commerce—National Oceanic and Atmospheric Administration (NOAA) | NOAA’s mission is to understand and predict changes in climate, weather, oceans, and coasts, share that knowledge and information, and conserve and manage coastal and marine ecosystems and resources. | Coastal Estuarine Land Conservation Program |
| | Department of Homeland Security—Federal Emergency Management Agency (FEMA) | FEMA provides on-the-ground support in response to a disaster, makes available experts in specialized fields, and awards funding and grants for preparedness, hazard mitigation, and resilience. | Hazard Mitigation Grant Program; Flood Mitigation Assistance Program; Building Resilient Infrastructure & Communities; HMGP Post-Fire Grant; Pre-Disaster Mitigation Program |
Through FY 2020, the contributions and collaborative efforts of federal, state, local, and private partners across nine states have culminated in the protection of over 515,000 acres of land within sentinel landscapes and enrolled an additional 2.7 million acres of land in technical assistance programs, as depicted in Figure 4. This represents an increase in nearly 48,000 acres protected and 490,000 acres enrolled in FY 2020 alone.
The following case studies are just two examples of how sentinel landscapes are advancing federal, state, and local natural resource and land-use goals using innovative strategies and effective collaboration. To learn more about other landscapes’ accomplishments, view the individual landscape profiles at: HTTPS://SENTINELLANDSCAPES.ORG/.
**PRESCRIBED FIRE PROTECTS GEORGIA’S LONGLEAF PINES**
One of the Georgia Sentinel Landscape’s primary goals is the protection of longleaf pine forests. With an increase in development and a lack of consistent land management throughout the Southeast, longleaf pine forests have been degrading or disappearing. Concurrently, populations of important species that depend on these forests for habitat, such as the gopher tortoise, have also been declining drastically. As a keystone species,\(^7\) the success of gopher tortoise populations within longleaf pine forests is integral to the stability of the entire ecosystem, making their protection a high priority for not only state and local conservation organizations, but also federal agencies and programs.
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**Figure 4:** Acres Protected and Enrolled within Each Sentinel Landscape from their establishment through FY 2020\(^8\)
| Landscape | Acres Protected | Acres Enrolled |
|--------------------|-----------------|----------------|
| Eastern North Carolina | 149K | 936K |
| Avon Park AFR | 63K | 744K |
| Fort Huachuca | 65K | 309K |
| Middle Chesapeake | 51K | 203K |
| JBLM | 20K | 79K |
| Camp Ripley | 16K | 75K |
\(^7\) https://www.nrcs.usda.gov/wps/portal/nrcs/detailfull/fl/technical/op/cta/?cid=stelprdb1047006
\(^8\) The values listed represent the acres protected and acres enrolled within the sentinel landscapes from the year of their federal designation through FY 2020. For that reason, within each landscape the total number of acres protected and enrolled may be higher than what is reported above.
If gopher tortoise populations decline to the point of being listed under the Endangered Species Act, DoD installations and ranges throughout the Southeast would potentially be subject to increased regulation leading to mission hindrance and added costs. By protecting this species proactively, DoD may avoid these potential impacts altogether.
In direct support of these goals, the Georgia Sentinel Landscape was allocated over $2 million from USDA NRCS’s Regional Conservation Partnership Program (RCPP) in FY 2020. RCPP promotes coordination between NRCS and its partners to deliver conservation technical and financial assistance to producers and landowners through partnership agreements, conservation program contracts, or easements. This award was combined with an additional $2.2 million in partner contributions from the Georgia Conservancy, a state conservation organization dedicated to finding sustainable solutions to natural resource challenges. This project is using multiple strategies to promote working land conservation and compatible land use and to contribute to the Georgia Gopher Tortoise Initiative which aims to preclude the listing of the species under the Endangered Species Act through proactive protection and management.
In addition to acquiring traditional conservation easements, the Georgia Sentinel Landscape is using this funding to expand upon current prescribed burn efforts on private lands containing longleaf pine ecosystems. Prescribed burns enhance these ecosystems that serve as ideal habitats for the gopher tortoise and help reduce the risk of catastrophic wildfires by removing hazardous fuel loads. Additionally, longleaf pine forests naturally have a greater resilience to climate-related threats such as wildfires, hurricanes, and drought compared to other tree species, making the protection of these ecosystems essential for maintaining the resilience of the surrounding communities.
These management efforts complement the ongoing work being carried out through NRCS’s Agricultural Conservation Easement Program and DoD’s Readiness and Environmental Protection Integration (REPI) program, both of which support the establishment of conservation easements across the Georgia Sentinel Landscape. The Georgia Sentinel Landscape is also using the RCPP funding for outreach and education, focusing on historically undeserved producers in specific counties, in hopes of garnering additional support from landowners interested in participating in these programs.
“Through collaboration and aligning our resources toward a common goal, the Georgia Conservancy and NRCS is making an impact for natural resource conservation that could never have been realized on our own.”
— Terrance O. Rudolph, USDA, NRCS, Georgia State Conservationist
**ENABLING MARSH MIGRATION IN MIDDLE CHESAPEAKE**
Spanning the Chesapeake Bay and communities on either side, the Middle Chesapeake Sentinel Landscape includes a unique makeup of land uses and community dynamics and challenges. Just south of Washington, DC, and Baltimore, Maryland, the waterfront communities in the Middle Chesapeake Sentinel
Landscape are commonly used for weekend or summer homes causing an increase in development of natural wetlands and marshes.
During tidal changes or flood events, marshes and wetlands act as natural sponges, holding the water from flowing further inland. The more these natural areas are lost, the less resilient coastal communities and DoD installations and ranges are to climate-related threats and extreme storms, and the more susceptible they are to public safety threats and infrastructure damage.
To combat these threats, $3 million was allocated to DoD’s Atlantic Test Ranges and Naval Air Station Patuxent River through the 2020 REPI Challenge, an annual funding opportunity through DoD’s REPI program. This program aims to cultivate projects that conserve land at a greater scale, test promising ways to finance land protection, and harness the creativity of the private sector and market-based approaches. This project, which also attracted $5 million in partner funding, is an example of a unique opportunity where more resources can be leveraged to accelerate the rate of land conservation within the Middle Chesapeake Sentinel Landscape.
Middle Chesapeake Sentinel Landscape partners, including The Nature Conservancy, The Conservation Fund, Chesapeake Conservancy, and the Maryland Department of Natural Resources, along with federal partners such as the U.S. Fish and Wildlife Service, U.S. Forest Service, and the U.S. Navy, are using this funding to contribute to an initiative to create a 4,000-acre marsh migration climate resilience corridor under Atlantic Test Ranges’ Special Use Airspace. The protection of this land allows for the unhindered continuance of the Navy’s manned and unmanned aircraft test operations and supports existing and future marshlands. It may also lead to future projects, including consideration of a potential microgrid system to support the Navy’s infrastructure located on the Eastern Shore of Maryland to help improve energy resilience.
“These efforts are helping to ensure the vitality of the range by permanently preserving swaths of land beneath the 2,300 square miles of restricted airspace that is essential for naval aviation testing. Our REPI program has made significant strides to protect the mission…We are looking forward to continuing these partnerships in the future to benefit both the Navy and our community.”
— Rob Vargo, Director, Naval Air Warfare Center Aircraft Division, Atlantic Ranges and Targets Department
SENTINEL LANDSCAPES 2021 APPLICATION CYCLE
The Sentinel Landscapes FCC was thrilled to initiate a new designation cycle in 2021 and build on the success of the existing seven sentinel landscapes. Any entity whose mission aligns with or otherwise supports the goals of the Sentinel Landscapes Partnership was eligible to apply with pre-proposals due in March and full proposals due in August 2021. The FCC anticipates announcing the newly designated sentinel landscapes in late 2021. The 2021 application window is now closed, but the FCC anticipates continuing to open a new designation cycle on a biennial basis.
Throughout the 2021 application process, the FCC was exposed to numerous innovative and inspiring partnerships across the country already advancing the shared goals of DoD, USDA, DOI, and local partners. Although not every applicant will be designated as a sentinel landscape, the growing interest in the Partnership demonstrates the universal importance of strategic coordination to accomplish shared land-use, conservation, and resilience goals.
Parties interested in applying to be designated as a sentinel landscape in the future are encouraged to begin coordinating locally before submitting a proposal. Any questions about the application process can be directed to the FCC on the Contact Us page of the Partnership’s website.
ENHANCING RESILIENCE TO CLIMATE CHANGE ACROSS SENTINEL LANDSCAPES
Moving into the future, the Sentinel Landscapes Partnership will continue to prioritize building resilience to climate change and extreme weather events within sentinel landscapes in addition to other strategic priorities. Changes in atmospheric conditions and weather patterns can alter the natural balance of ecosystems across the country. Climate-related threats such as drought, flooding, and desertification limit access to fresh water, disrupt food supplies, hinder military training, and degrade wildlife habitats, while the increase in frequency and intensity of wildfires and hurricanes creates public safety concerns and damages critical infrastructure. To address and mitigate these increasingly complex problems, cooperation among federal, state, and local agencies and organizations is imperative.
Having already established such partnerships, sentinel landscapes are uniquely equipped to effectively plan and implement projects to help enhance communities’ and ecosystems’ resilience to climate change. Many of the protection efforts already underway within sentinel landscapes are contributing to this goal. For instance, preserving and strengthening wetlands protects coastal communities from erosion and flooding; sustainably managing croplands and rangelands conserves water, mitigating the effects of drought; and clearing brush and fuel loads from forests can reduce the risk of extreme wildfires.
Through these collective actions, the Sentinel Landscapes Partnership can advance its strategic goals of strengthening military readiness, supporting the long-term viability of agricultural and forestry operations, enhancing wildlife habitat, and increasing access to recreation while simultaneously creating communities and landscapes resilient to the dangerous effects of climate change.
View of wetland from boardwalk at Blackwater National Wildlife Refuge within the Middle Chesapeake Sentinel Landscape. Maryland’s Lower Eastern Shore is home to more than 75% of Maryland’s remaining tidal wetlands, which provide critical habitat for a variety of commercially and recreationally important fish, bird, and shellfish species that state and local economies depend on. Coastal marshes also provide a defense against coastal hazards, protecting communities by reducing wave heights and erosion along shorelines, thereby reducing emergency recovery expenses (credit: USFWS).
2021 SENTINEL LANDSCAPES ACCOMPLISHMENTS REPORT
SENTINELLANDSCAPES.ORG
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This is a repository copy of *Measurements of the $yvp \rightarrow p'\pi^+\pi^-$ cross section with the CLAS detector for 0.4 GeV$^2 < Q^2 < 1.0$ GeV$^2$ and 1.3 GeV$<W<1.825$ GeV*.
White Rose Research Online URL for this paper:
https://eprints.whiterose.ac.uk/135799/
Version: Published Version
**Article:**
Fedotov, G. V., Skorodumina, Iu A., Burkert, V. D. et al. (48 more authors) (2018) Measurements of the $yvp \rightarrow p'\pi^+\pi^-$ cross section with the CLAS detector for 0.4 GeV$^2 < Q^2 < 1.0$ GeV$^2$ and 1.3 GeV$<W<1.825$ GeV. Physical Review C. 025203. ISSN 2469-9993
https://doi.org/10.1103/PhysRevC.98.025203
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Measurements of the $\gamma p \rightarrow p \pi^+ \pi^-$ cross section with the CLAS detector for $0.4 \text{ GeV}^2 < Q^2 < 1.0 \text{ GeV}^2$ and $1.3 \text{ GeV} < W < 1.825 \text{ GeV}$
G. V. Fedotov,1,24,29 Iu. A. Skorodumina,35 V. D. Burkert,37 R. W. Gothe,36 V. I. Mokeev,37,34 S. Adhikari,13 Whitney R. Armstrong,1 H. Avakian,37 J. Ball,1 I. Balossino,18 L. Barion,18 M. Bashkanov,39 M. Battaglieri,20 V. Batourine,37 I. Bedlinsky,23 A. S. Biselli,11,5 S. Boiarinov,37 W. J. Briscoe,16 W. K. Brooks,38,37 D. S. Carman,37 A. Celentano,20 G. Charles,30 T. Chetry,29 G. Ciullo,18,12 Brandon A. Clary,37 P. L. Cole,17,37 M. Contalbrigo,18 O. Cortes,17 A. D’Angelo,21,33 N. Dashyan,45 R. De Vita,20 E. De Sanctis,19 M. Deurne,1 A. Deur,37 C. Djulali,35 R. Dupre,32 H. Egiyan,37 L. El Fassi,26 P. Eugenio,14 R. Fersch,8,44 G. Gavalian,37 Y. Ghadilyan,45 G. P. Gilfoyle,32 F. X. Giord,37 E. Golovatch,34 K. A. Griffioen,44 L. Guo,13,37 K. Hafidi,1 H. Hakobyan,38,45 C. Harneyt,37 N. Harrison,37 F. X. Holtrop,27 Y. Ilieva,35,16 D. G. Ireland,40 B. S. Ishkhanov,34 E. L. Isupov,34 D. Jenkins,46 H. S. Jo,29 S. Johnston,37 S. Joosten,36 M. L. Kabin,26 D. Keller,43 G. Khachatryan,45 M. Khachatryan,30 M. Khandaker,28 A. Kim,9 W. Kim,25 A. Klein,30 F. J. Klein,6 V. Kubarovsky,37,31 S. V. Kuleshov,38,23 L. Lanza,21 P. Lenisa,14 K. Livingston,40 J. D. MacGregor,40 N. Markov,9 B. McKinnon,49 T. Mineeva,38 R. A. Montgomery,40 C. Munoz Camacho,22 P. Nadel-Turonski,37 S. Nicolai,22,16 G. Niculescu,24,29 M. Osipenko,20 M. Paolone,38 R. Paramuzyan,27 K. Park,37,25 E. Pasyuk,37,2 O. Pogorelko,23 J. W. Price,3 S. Procureur,7 Y. Prok,41,30 D. Protopopescu,40,27 M. Ripani,20 D. Riser,9 B. G. Ritchie,2 A. Rizzo,21,33 F. Sabatié,7 C. Salgado,28 R. A. Schumacher, Y. G. Sharabian,37 G. D. Smith,39 D. I. Sober,46 D. Sokhan,46 N. Sparveris,16 I. I. Strakovsky,16 S. Strauch,35,16 M. Taiuti,37 A. Tan,23 N. Tyler,37 M. Ungaro,37,31 H. Voskanian,38 E. Voutier,22 X. Wei,37 M. H. Wood,35,35 N. Zachariou,39 J. Zhang,43 and Z. W. Zhao30,10 (CLAS Collaboration)
1Argonne National Laboratory, Argonne, Illinois 60439, USA
2Arizona State University, Tempe, Arizona 85287-1504, USA
3California State University, Dominguez Hills, Carson, California 90747, USA
4Canisius College, Buffalo, New York, USA
5Carnegie Mellon University, Pittsburgh, Pennsylvania 15213, USA
6Catholic University of America, Washington, D.C. 20064, USA
7IRFU, CEA, Université Paris-Saclay, F-91191 Gif-sur-Yvette, France
8Christopher Newport University, Newport News, Virginia 23606, USA
9University of Connecticut, Storrs, Connecticut 06269, USA
10Duke University, Durham, North Carolina 27708-0305, USA
11Fairfield University, Fairfield, Connecticut 06824, USA
12Universita' di Ferrara, 44121 Ferrara, Italy
13Florida International University, Miami, Florida 33199, USA
14Florida State University, Tallahassee, Florida 32306, USA
15Università di Genova, 16146 Genova, Italy
16The George Washington University, Washington, D.C. 20052, USA
17Idaho State University, Pocatello, Idaho 83209, USA
18INFN, Sezione di Ferrara, 44100 Ferrara, Italy
19INFN, Laboratori Nazionali di Frascati, 00044 Frascati, Italy
20INFN, Sezione di Genova, 16146 Genova, Italy
21INFN, Sezione di Roma Tor Vergata, 00133 Rome, Italy
22Institut de Physique Nucléaire, CNRS/IN2P3 and Université Paris Sud, Orsay, France
23Institute of Theoretical and Experimental Physics, Moscow, 117259, Russia
24James Madison University, Harrisonburg, Virginia 22807, USA
25Kyungpook National University, Daegu 41566, Republic of Korea
26Mississippi State University, Mississippi State, Mississippi 39762-5167, USA
27University of New Hampshire, Durham, New Hampshire 03824-3568, USA
28Norfolk State University, Norfolk, Virginia 23504, USA
29Ohio University, Athens, Ohio 45701, USA
30Old Dominion University, Norfolk, Virginia 23529, USA
31Rensselaer Polytechnic Institute, Troy, New York 12180-3590, USA
32University of Richmond, Richmond, Virginia 23173, USA
33Università' di Roma Tor Vergata, 00133 Rome, Italy
34Skobeltsyn Institute of Nuclear Physics, Lomonosov Moscow State University, 119234 Moscow, Russia
35University of South Carolina, Columbia, South Carolina 29208, USA
36Temple University, Philadelphia, Pennsylvania 19122, USA
New results on the single-differential and fully integrated cross sections for the process $\gamma, p \rightarrow p' \pi^+ \pi^-$ are presented. The experimental data were collected with the CLAS detector at Jefferson Laboratory. Measurements were carried out in the kinematic region of the reaction invariant mass $W$ from 1.3 to 1.825 GeV and the photon virtuality $Q^2$ from 0.4 to 1.0 GeV$^2$. The cross sections were obtained in narrow $Q^2$ bins (0.05 GeV$^2$) with the smallest statistical uncertainties achieved in double-pion electroproduction experiments to date. The results were found to be in agreement with previously available data where they overlap. A preliminary interpretation of the extracted cross sections, which was based on a phenomenological meson-baryon reaction model, revealed substantial relative contributions from nucleon resonances. The data offer promising prospects to improve knowledge on the $Q^2$ evolution of the electrocouplings of most resonances with masses up to $\sim 1.8$ GeV.
DOI: 10.1103/PhysRevC.98.025203
I. INTRODUCTION
During the past several decades, experiments have been performed in laboratories all over the world in order to investigate exclusive reactions of meson photo- and electroproduction off proton targets. This investigation is typically carried out through the detailed analysis of the experimental data with the goal of extracting various observables. Further theoretical and phenomenological interpretations of the extracted observables provide valuable information on nucleon structure and features of the strong interaction [1–4].
A large amount of experimental data on exclusive meson photo- and electroproduction has been collected in Hall B at Jefferson Laboratory with the CLAS detector [5]. The analysis of these data has already provided a lot of information on differential cross sections and different single- and double-polarization asymmetries with almost complete coverage of the final hadron phase space.\footnote{The numerical results on observables measured with the CLAS detector are available in the CLAS physics database [6].} Some kinematic areas, however, are still lacking this information.
This paper introduces new information on the fully integrated and single-differential cross sections of the reaction $\gamma, p \rightarrow p' \pi^+ \pi^-$ at $1.3 \text{GeV} < W < 1.825 \text{GeV}$ and $0.4 \text{GeV}^2 < Q^2 < 1.0 \text{GeV}^2$. The cross sections were extracted along the standards of the CLAS data analysis and added into the CLAS physics database [6]. They are also available on GitHub [7]. High experimental statistics allow for narrow binning (i.e., 0.05 GeV$^2$ in $Q^2$ and 25 MeV in $W$), as well as smaller statistical uncertainties than were achieved in previous studies of double-pion electroproduction cross sections [8–10]. The conditions of the experiment and the data analysis procedure are described in Secs. II–IV.
The kinematic region covered by the analyzed data has already been partially investigated by measurements of double-pion electroproduction cross sections [8,9]. The cross sections reported in Ref. [8], although extracted in $Q^2$ bins of the same width (0.05 GeV$^2$), overlap with the present results only in the low region $0.45 \text{ GeV}^2 < Q^2 < 0.6 \text{ GeV}^2$ and $W$ up to $\sim 1.55 \text{ GeV}$. The comparison of the present results with the measurements from Ref. [8] is given in Sec. V B. The cross sections reported in Ref. [9] for $1.4 \text{GeV} < W < 1.825 \text{GeV}$, that have been extracted in much wider $Q^2$ bins $0.5 \text{GeV}^2 < Q^2 < 0.8 \text{ GeV}^2$ and $0.8 \text{GeV}^2 < Q^2 < 1.1 \text{ GeV}^2$, also partially overlap with the results reported here. However, since they have been averaged over a large $Q^2$ range, direct comparisons with these data are not straightforward and are not shown here.
One of the promising ways to move closer to the understanding of nucleon structure and principles of the strong interaction is the study of nucleon excited states [1–4]. The extracted cross sections are of great significance for these studies because of the essential sensitivity of the double-pion electroproduction channel to the manifestation of resonances above $\Delta(1232)$. Most of these excited states have a considerable branching ratio to the $N\pi\pi$ final state, especially those with masses above 1.6 GeV, which are known to decay mostly by the emission of two charged pions. Beside that, the reported cross sections benefit from a narrow $Q^2$ binning, which is valuable for investigating the resonant structure through establishing the $Q^2$ evolution of the resonance electrocouplings.
The most common way to investigate nucleon resonances is to perform a phenomenological analysis of the observables within a reaction model, as in the case of the double-pion exclusive channel with the JLab - Moscow State University
(Russia) model JM [11]. This model, which aims at the extraction of resonance electrocouplings and the identification of different reaction mechanisms, has proven itself as an effective tool for the analysis of the experimental cross sections [11–13].
Section V introduces the JM-model-based preliminary interpretation of the extracted cross sections, which includes the estimation of contributions from nucleon resonances. The relative resonant contributions to the cross section are found to range from 20% to 70% (depending on the kinematic region), which is a very promising indication that a reliable extraction of the resonance electrocouplings within the JM model will be possible.
The complete analysis of the present cross sections within the JM model, which aims to determine the evolution of the electrocouplings of most nucleon resonances with masses up to $\sim 1.8$ GeV (including the new potential candidate state $N(1720)3/2^+$ [14]), will be the subject of a future publication.
II. EXPERIMENTAL SETUP
The data reported in this paper were acquired at Jefferson Laboratory (JLab) Hall B with the CEBAF Large Acceptance Spectrometer (CLAS) [5], which consisted of six sectors that were operated as independent detectors. Each sector included drift chamber (DC), a Čerenkov counter (CC), a time-of-flight system (TOF), and a sampling electromagnetic calorimeter (EC). The CLAS detector had a toroidal magnetic field that bent charged particle trajectories and therefore allowed for the determination of their momenta in the DC. The electron beam was provided by the Continuous Electron Beam Accelerator Facility (CEBAF). The measurements were part of the “e1e” run period that lasted from November 2002 until January 2003 and included several datasets with different configurations (hydrogen and deuterium targets as well as two different beam energies of 1 and 2.039 GeV).
The experimental configuration for the analyzed dataset was the following. The torus field setting was such as to bend negative particles toward the beam line (in-bending configuration). The data were obtained with a 2-cm-long liquid hydrogen target, located at $-0.4$ cm along the $z$ axis (near the center of CLAS) and a 2.039-GeV electron beam.
The target was specific to the “e1e” run period and its setup is presented in Fig. 1. In order to avoid bubble formation, the target had a special conical shape that allowed draining the bubbles away from the beam interaction region. The target cell had 15-$\mu$m-thick aluminum entrance and exit windows. In addition, an aluminum foil was located downstream of the target. This foil was made exactly the same as the entry/exit windows of the target cell and served for both the estimation of the number of events that originated in the target windows and the precise determination of the target $z$ position along the beam line.
The dataset included runs with the target cell filled with liquid hydrogen (full) as well as runs with an empty target cell (empty). The latter served to subtract the contribution from the background events produced by the scattering of electrons on the target windows. In Fig. 2, the distributions of electron coordinate $z$ at the interaction vertex are shown for events from both empty (dashed curve) and full (solid curve) target runs. Both distributions are normalized to the corresponding charge accumulated on the Faraday cup (FC). The value of the vertex coordinate $z$ was corrected for the effects of beam offset\(^2\) at the stage of data calibration. Both distributions in Fig. 2 demonstrate the well-separated peak around $z_{ep} = 2.4$ cm originating from the downstream aluminum foil. The distribution of events from the empty target runs also shows two other similar peaks that correspond to the windows of the target cell. In addition to the empty target event subtraction, a cut on the $z$ coordinate of the electron was applied. This cut is shown by the two vertical lines in Fig. 2: Events outside these lines were excluded from the analysis.
III. EXCLUSIVE REACTION EVENT SELECTION
To identify the reaction $ep \rightarrow e'p'\pi^+\pi^-$, the scattered electron and at least two final-state hadrons need to be detected, while the four-momentum of the remaining hadron can be
\(^2\)The beam offset is the deviation of the beam position from the CLAS central line $(x, y) = (0, 0)$ that can lead to the inaccurate determination of the vertex position.
calculated from energy-momentum conservation. The fastest particle that gives signals in all four parts of the CLAS detector (DC, CC, TOF, and EC) was chosen as the electron candidate for each event. To identify hadrons, only signals in the DC and TOF were required.
A. Electron identification
To reveal good electrons from all electron candidates, electromagnetic calorimeter (EC) and Čerenkov counter (CC) responses were analyzed.
According to Ref. [15], the overall EC resolution as well as uncertainties in the EC output summing electronics lead to the fluctuation of the EC response near the hardware threshold. Therefore, to select only reliable EC signals, a minimal cut on the scattered electron momentum $P_e$ (which is known from the DC) should be applied at the software level. As was suggested in Ref. [15], this cut was chosen to be $P_e > 0.461 \text{ GeV}$.
In the next step, a so-called sampling fraction cut was applied to eliminate in part the pion contamination. To develop this cut, the fact that electrons and pions had different energy deposition patterns in the EC was used. The energy deposited by an electron ($E_{\text{tot}}$) is proportional to its momentum ($P_e$), while a $\pi^-$ loses a constant amount of energy per scintillator ($\approx 2 \text{ MeV/cm}$) independently of its momentum. Therefore, for electrons the quantity $E_{\text{tot}}/P_e$ plotted as a function of $P_e$ should follow a straight line that is parallel to the $x$ axis (in reality this line has a slight slope). This line is located around the value $1/3$ on the $y$ axis, since by the EC design an electron loses about $1/3$ of its energy in the active scintillators.
In Fig. 3, the total energy deposited in the EC divided by the particle momentum for the data (top plot) and the Monte Carlo (bottom plot). In this figure, a cut on the minimal scattered electron momentum is shown by the vertical line segment, while the other two curves correspond to the sampling fraction cut that was determined via a Gaussian fit to different momentum slices of the distribution. The distributions for the experimental data and the Monte Carlo simulation differ, since the former is plotted for inclusive electrons, while the latter is for simulated double pion events only. The mean value of the simulated distribution turned out to be slightly below that of the experimental one due to the approximations used in the reproduction of electromagnetic showers in the Monte Carlo reconstruction procedure.
To improve the quality of electron candidate selection and $\pi^-/e^-$ separation, a Čerenkov counter was used. As was shown in Ref. [16], there was a contamination in the measured CC spectrum that manifested itself as a peak at low number of photoelectrons (the so-called few photoelectron peak). The main source of this contamination was found to be the coincidence of accidental photomultiplier tube (PMT) noise with a pion track measured in the DC [16].
It turned out that the CC had some inefficient zones that could not be simulated by the Monte Carlo technique as being too dependent on specific features of the CC design. Signals from these zones, being depleted of photoelectrons, shifted the measured CC spectrum toward zero and therefore add up to the few photoelectron peak. Thus the inefficient zones can be differentiated from the efficient ones by a more pronounced few photoelectron peak. The following criterion for the geometrical selection of the efficient zones in the CC was used (see Ref. [17] for details)
$$\frac{N_{N_{\text{ph.e}} > 5}(\theta_{cc}, \varphi_{cc})}{N_{\text{tot}}(\theta_{cc}, \varphi_{cc})} > 0.8,$$
where the denominator corresponds to the total number of events in the particular $(\theta_{cc}, \varphi_{cc})$ bin, while the numerator corresponds to the number of events with more than five photoelectrons in the same $(\theta_{cc}, \varphi_{cc})$ bin. The polar ($\theta_{cc}$) and azimuthal ($\varphi_{cc}$) angles of the electron candidate are defined in the CC plane.
In Fig. 4, the distribution of the CC regions with reliable detection efficiency, which were selected according to the criterion (1), are shown in black as a function of $\theta_{cc}$ and $\varphi_{cc}$ for CLAS sector 1. As is seen in Fig. 4, there was an inefficient area in the middle of the sector (shown in white). This was
expected since two CC mirrors were joined there. The curves, which are superimposed on the distribution, show an overall fiducial cut that is applied in the CC plane. Then, within that overall cut, for both the experimental data and the Monte Carlo simulation, only electron candidates that originated from the black regions were analyzed.
Although being substantially reduced after elimination of signals from the inefficient zones, the few-photoelectron peak was still present in the experimental CC spectrum as shown in Fig. 5. This peak in the photoelectron distribution was cut out for each PMT in each CC segment individually. The cut position for one particular PMT is shown by the vertical line in Fig. 5. Since there was no way of reproducing the photoelectron spectrum by a Monte Carlo simulation, this cut was applied only to the experimental data, and good electrons lost in this way were recovered by the following procedure. The part of the distribution on the right side of the vertical line was fit by the function given by Eq. (2), which is a slightly modified Poisson distribution,
\[ y = P_1 \left( \frac{P_3^{\frac{y}{p}}}{\Gamma \left( \frac{y}{p} + 1 \right)} \right) e^{-P_3}, \]
where \( P_1, P_2, \) and \( P_3 \) are free fit parameters.
The fitting function was then continued into the region on the left side of the vertical line. In this way, the two regions, shown in black and hatched in Fig. 5, were determined. Finally, the correction factors were defined by Eq. (3) and applied as a weight for each event which corresponded to the particular PMT:
\[ F_{\text{ph. el.}} = \frac{\text{hatched area} + \text{black area}}{\text{hatched area}}. \]
The correction factor \( F_{\text{ph. el.}} \) depended on PMT number and was typically on the level of a few percent.
B. Hadron identification
The CLAS TOF system provided timing information, based on which the velocity (\( \beta_h = v_h/c \)) of the hadron candidate was calculated. The value of the hadron candidate momentum (\( p_h \)) was in turn provided by the DC. The charged hadron can be identified by a comparison of \( \beta_h \), determined by the TOF, with \( \beta_n \) given by
\[ \beta_n = \frac{p_h}{\sqrt{p_h^2 + m_h^2}}, \]
where \( \beta_n \) is the nominal value that is calculated using the hadron candidate momentum (\( p_h \)) and an exact hadron mass assumption \( m_h \).
The experimental event distributions \( \beta_h \) versus \( p_h \) were investigated for each TOF scintillator in each CLAS sector. An example of these distributions is shown in Fig. 6 for positively charged hadron candidates (top plot) and negatively charged hadron candidates (bottom plot). The example is given for scintillator 34 of CLAS sector 1. In Fig. 6, the solid curves are given for \( \beta_n \) calculated according to Eq. (4) for the corresponding hadron mass assumptions. The event bands of the pion and proton candidates are clearly seen around the corresponding \( \beta_n \) curves. The dashed curves show the cuts that were used for pion identification, while the dot-dashed curves serve to identify protons.
During the run, some TOF scintillator counters worked improperly and therefore their signals were considered to be unreliable and were removed from consideration in both data and simulation. For properly working counters, the hadron identification cuts were chosen to be the same as shown in Fig. 6. They were applied on both experimental and reconstructed Monte Carlo events. It was found that for some scintillators the hadron candidate bands in the experimental distributions were slightly shifted from the nominal positions. A special procedure was developed to correct the timing information for the affected TOF counters [17].
C. Momentum corrections
Because of slight misalignments in the DC positions, small inaccuracies in the description of the torus magnetic field, and other possible reasons, the measured momentum and angle of particles had some small systematic deviations from the real values. Since the effects were of an unknown origin, they could not be simulated, and therefore a special momentum correction procedure was needed for the experimental data. According to Ref. [18], the evidence of the need of such corrections is most directly seen in the dependence of the elastic peak position on the azimuthal angle of the scattered electron. It was shown in Ref. [18] that the elastic peak position turns out to be shifted from the proton mass value and this shift depends on CLAS sector.
The significance of the above effect depends on the beam energy. It was found that in this dataset, with the beam energy of 2.039 GeV, a small shift ($\sim$3 MeV) in the elastic peak position took place, while Ref. [18] demonstrated that in the case of 5.754-GeV beam energy, this shift reached 20 MeV. Moreover, Ref. [18] also showed that this effect became discernible only if the particle momentum was sufficiently high (e.g., for pions the correction was needed only if their momentum was higher than 2 GeV). Here, because of the small beam energy and the fact that in double-pion kinematics hadrons carry only a small portion of the total momentum, the correction is needed only for electrons, while deviations in hadron momenta can be neglected.
The electron momentum corrections used for this dataset were developed according to Ref. [18] for each CLAS sector individually and included an electron momentum magnitude correction, as well as an electron polar angle correction. Although the corrections were established using elastic events, they were applied for all electron candidates in the dataset. The influence of these corrections on the elastic peak position is shown in Fig. 7. The corrections bring the position of the elastic peak closer to the proton mass for all six CLAS sectors.
The above effects do not lead to substantial distortions of the hadron momenta. However, hadrons lose a part of their energy due to their interaction with detector and target media, and hence their measured momentum appears to be lower than the actual value. Simulation of the CLAS detector correctly propagates hadrons through the media and, therefore, the effect of the hadron energy loss is included into the efficiency and does not impact the extracted cross section value. However, in order to avoid shifts in the distributions of some kinematic quantities (e.g., missing masses) from their expected values, an energy loss correction was applied to the proton momentum magnitude, since the low-energy protons were affected the most by energy loss in the materials. The simulation of the CLAS detector was used to establish the correction function, which then was applied for both experimental and reconstructed Monte Carlo events.
D. Other cuts
1. Fiducial cuts
The active detection solid angle of the CLAS detector was smaller than $4\pi$ [5] as the areas covered by the torus field coils were not equipped with any detection system, thus forming gaps in the azimuthal angle coverage. In addition, the detection area was also limited in polar angle from 8° up to 45° for electrons and up to 140° for other charged particles. The edges of the detection area, being affected by rescattering from the coils, field distortions, and similar effects, should be excluded from consideration by applying specific (fiducial) cuts on the kinematic variables (momentum and angles) of each particle. These cuts were applied for both real events and Monte Carlo reconstructed events.
The “e1e” run period used a torus magnetic field configuration that forced negatively charged particles to be inbending. For these particles, sector-independent, symmetrical, and momentum-dependent cuts were applied. Figure 8 shows the number of detected electrons (top plot) and $\pi^-$ (bottom plot) as a function of the angles $\varphi$ and $\theta$ for CLAS sector 1 in a specific momentum slice. The angles $\varphi$ and $\theta$ were taken at the interaction vertex. The solid black curves correspond to the applied fiducial cuts that select the regions with a relatively flat particle density along the azimuthal angle.
For positively charged particles, which were outbending in the “e1e” run period, momentum-independent and slightly asymmetrical fiducial cuts are the best choice. These cuts were established in the same way as for negatively charged particles, i.e., by selecting the areas with a relatively flat particle density along the $\varphi$ angle. In Fig. 9, these cuts are shown by the black curves that are superimposed on the $\varphi$ versus $\theta$ event distributions for protons (top plot) and $\pi^+$ (bottom plot). All angles are given at the interaction vertex.
FIG. 8. Fiducial cuts for negatively charged particles. The top plot shows the $\varphi$ vs $\theta$ distribution for electrons, while the bottom plot corresponds to that for $\pi^-$. Both distributions are given for sector 1 of CLAS and the range over momentum specified in the plots. The solid black curves show the applied fiducial cuts.
Some additional inefficient areas, not related to the CLAS geometrical acceptance, were revealed in this dataset. These areas were typically caused by the DC and TOF system inefficiencies (dead wires or PMTs). To exclude them from consideration, additional fiducial cuts on the $\theta$ versus momentum distributions were applied, where $\theta$ was taken at the point of the interaction. These cuts were different for each CLAS sector. An example of the cut for a $\pi^+$ in sector 1 of CLAS is shown by the black curves in Fig. 10.
2. Data quality check
During a long experimental run, variations of the experimental conditions, e.g., fluctuations in the target density or changes in the response of parts of the detector, can lead to fluctuations in event yields. Only the parts of the run with relatively stable event rates should be considered. Therefore, cuts on data acquisition (DAQ) live time and number of events per Faraday cup (FC) charge need to be established.
The FC charge was updated with a given frequency, and hence the whole run time could be divided into blocks. Each block corresponded to the portion of time between two FC charge readouts. The block number ranged from one to a certain maximum number over the run time.
The DAQ live time is the portion of time within the block during which the DAQ was able to accumulate events. A significant deviation of the live time from the average value indicates event rate alteration.
In Fig. 11, the number of blocks is shown as functions of the DAQ live time and the yields of inclusive and elastic events normalized to FC charge (from top to bottom). The blocks between the vertical black lines in Fig. 11 were taken into consideration.
3. Exclusivity cut
For picking out the reaction $ep \rightarrow e'p\pi^+\pi^-$, it is sufficient to register two final-state hadrons along with the scattered electron. The four-momentum of the remaining unregistered hadron can be recovered using energy-momentum conservation (the “missing mass” technique). Thus one can distinguish
between four different event topologies depending on the specific combination of registered final hadrons ($X$ is the undetected part):
1. $ep \rightarrow e'p'\pi^+X$,
2. $ep \rightarrow e'p'\pi^-X$,
3. $ep \rightarrow e'\pi^+\pi^-X$, and
4. $ep \rightarrow e'p\pi^+\pi^-X$.
Because of the experimental conditions, topology 1 with a $\pi^-$ missing contains about 50% of the total statistics, while the remaining half of the total is relatively equally distributed among the other topologies that require a $\pi^-$ detection. This uneven distribution of the statistics between the topologies originates from the fact that CLAS does not cover the polar angle range $0^\circ < \theta_{lab} < 8^\circ$ [5]. The presence of this forward acceptance hole does not affect much the registration of the positive particles ($p$ and $\pi^+$), since their trajectories are bent by the magnetic field away from the hole, whereas the negative particles ($e$ and $\pi^-$) are in bending so that their trajectories are bent in the forward direction. Electrons, having generally a high momentum, undergo small track curvature, and the presence of the forward hole leads for them only to a constraint on the minimal achievable $Q^2$. However, for negative pions, the situation is dramatic: Being heavier and slower, they are bent dominantly into the forward detector hole and therefore most of them cannot be detected. This leads to the fact that the $\pi^-$ missing topology contains the dominant part of the statistics.
The topologies were defined so that they did not overlap. For example, the topology $ep \rightarrow e'p'\pi^+X$ required the presence of $e'$, $p'$, and $\pi^+$ candidates and the absence of $\pi^-$ candidates, avoiding in this way double counting. In most of the CLAS papers on double-pion electroproduction [8–10], only topologies 1 and 4 were used. However, in this study all four topologies were used in combination. This approach allowed not only an increase of the analyzed statistics (about 50%), but also population of events in a broader part of the reaction phase space, since the topologies had nonidentical kinematic coverage.
For the case when one of the final hadrons was not detected, the missing mass $M_X$ for the reaction $ep \rightarrow e'h_1h_2X$ is determined by
$$M_X^2 = (P_e + P_p - P_{e'} - P_{h_1} - P_{h_2})^2,$$
where $P_{h_1}$ and $P_{h_2}$ are the four-momenta of the registered final-state hadrons, $P_e$ and $P_p$ the four-momenta of the initial state electron and proton, and $P_{e'}$ is the four-momentum of the scattered electron.
For topology 4, the missing mass $M_X$ for the reaction $ep \rightarrow e'p'\pi^+\pi^-X$ is given by
$$M_X^2 = (P_e + P_p - P_{e'} - P_{\pi^+} - P_{\pi^-} - P_{p'})^2,$$
where $P_e$, $P_p$, $P_{e'}$, $P_{\pi^+}$, $P_{\pi^-}$, and $P_{p'}$ are the four-momenta of the initial- and final-state particles.
The distributions of the missing mass squared ($M_X^2$) for various topologies are shown in Fig. 12 for $1.675 \text{ GeV} < W < 1.7 \text{ GeV}$ in comparison with the Monte Carlo. The stars show the experimental data, while the curves are from the simulation. The plots in Fig. 12 represent the topologies 1 to 4 from top to bottom. The arrows show the applied exclusivity cuts. Each distribution in Fig. 12 is normalized to the corresponding integral.
Figure 12 demonstrates good agreement between the experimental and the Monte Carlo distributions, since the simulation included both radiative effects and a background from other exclusive channels. The former was taken into account according to the inclusive approach [19]. The main source of the exclusive background was found to be the reaction $ep \rightarrow e'p'\pi^+\pi^-\pi^0$. The events for that reaction were simulated along with the double-pion events, considering the ratio of three-pion/double-pion cross sections taken from Ref. [20]. The simulation of double-pion events was carried out based on the JM05 version of double-pion production model [21–23], while for three-pion events a phase space distribution was assumed.
IV. CROSS SECTION CALCULATION
A. Kinematic variables
Once the selection of the double-pion events has been carried out, the four-momenta of the final-state hadrons are known (either detected or calculated as missing) and defined in the laboratory frame that corresponds to the system where the target proton is at rest and the axis orientation is the following: $z_{\text{lab}}$, along the beam; $y_{\text{lab}}$, pointing upward with respect to the Hall floor; and $x_{\text{lab}}$, along $[y_{\text{lab}} \times z_{\text{lab}}]$.
The cross sections were obtained in the single-photon exchange approximation in the center-of-mass frame of the virtual photon–initial proton system (c.m.s.). The c.m.s. is uniquely defined as the system where the initial proton and the virtual photon exchanged in the scattering move towards each other with the axis $x_{\text{c.m.s.}}$ along the photon and the net momentum equal to zero. The axis $x_{\text{c.m.s.}}$ is situated in the electron scattering plane, while $y_{\text{c.m.s.}}$ is along $[z_{\text{c.m.s.}} \times x_{\text{c.m.s.}}]$.
To transform the laboratory system to the c.m.s., two rotations and one boost should be performed [17]. The first rotation situates the axis $x$ in the electron scattering plane. The second one aligns the axis $z$ with the virtual photon direction. Then the boost along $z$ is performed.
The kinematic variables that describe the final hadronic state are calculated from the four-momenta of the final hadrons in the c.m.s. [8,10]. The three-body final state is unambiguously determined by five kinematic variables. Beside that, the variables $W$ and $Q^2$ are needed to describe the initial state.
There are several ways to choose the five variables for the description of the final hadronic state. In this study, the following generalized set of variables is used [8,10,11,17,24]:
1. invariant mass of the first pair of hadrons $M_{h_1 h_2}$;
2. invariant mass of the second pair of hadrons $M_{h_3 h_4}$;
3. the first hadron solid angle $\Omega_{h_1} = (\theta_{h_1}, \varphi_{h_1})$;
4. the angle $\alpha_{h_1}$ between the two planes (i) defined by the three-momenta of the virtual photon (or initial proton) and the first final-state hadron and (ii) defined by the three-momenta of all final state hadrons (see the Appendix).
The cross sections were obtained in three sets of variables depending on various assignments for the first, second, and third final hadrons:
1. first $p'$, second $\pi^+$, third $\pi^-$:
$$M_{\pi^+ p'}, M_{\pi^- \pi^+}, \theta_{\pi^+}, \varphi_{\pi^+}, \alpha_{\pi^+} \quad \text{(or } \alpha_{(p'p)(\pi^+\pi^-)}\text{),}$$
2. first $\pi^-$, second $\pi^+$, third $p'$:
$$M_{\pi^- \pi^+}, M_{\pi^- p'}, \theta_{\pi^-}, \varphi_{\pi^-}, \alpha_{\pi^-} \quad \text{(or } \alpha_{(p'\pi^-(\pi^+\pi^+)}\text{), and}$$
3. first $\pi^+$, second $\pi^-$, third $p'$:
$$M_{\pi^+ \pi^-}, M_{\pi^- p'}, \theta_{\pi^+}, \varphi_{\pi^+}, \alpha_{\pi^+} \quad \text{(or } \alpha_{(p'\pi^-(\pi^+\pi^-)}\text{).}$$
B. Binning and kinematic coverage
The kinematic coverage in the initial-state variables is shown by the $Q^2$ versus $W$ distribution in Fig. 13. The distribution represents the number of exclusive double-pion events left after the cuts and corrections described above. The white boundary limits the analyzed kinematic area, where the double-pion cross sections were extracted, and encompasses...
about 1.2 million events. The black grid demonstrates the chosen binning in the initial-state variables.
The binning in the hadronic variables is listed in Table I. It was chosen to maintain reasonable statistical uncertainties of the single-differential cross sections for all $W$ and $Q^2$ bins. The binning choice also takes into account the cross section drop near the double-pion production threshold at $\approx 1.22$ GeV, as well as the broadening of the reaction phase space with increasing $W$.
Special attention is required for the binning in the invariant masses. The upper and lower boundaries of the invariant mass distributions depend on the hadron masses and $W$ as
$$M_{\text{lower}} = m_{h_1} + m_{h_2} \quad \text{and} \quad M_{\text{upper}}(W) = W - m_{h_3},$$
where $m_{h_1}$, $m_{h_2}$, and $m_{h_3}$ are the masses of the final hadrons.
Since the cross section is calculated in a bin $W_{\text{left}} < W < W_{\text{right}}$, the boundary of $M_{\text{upper}}$ is not distinct. For the purpose of binning in mass, the value of $M_{\text{upper}}$ was calculated using $W_{\text{center}}$, at the center of the $W$ bin. As a result, some events with $W > W_{\text{center}}$ turned out to be located beyond $M_{\text{upper}}$. Hence, it was decided to use a specific arrangement of mass bins with the bin width $\Delta M$ determined as
$$\Delta M = \frac{M_{\text{upper}}(W_{\text{center}}) - M_{\text{lower}}}{N_{\text{bins}} - 1},$$
where $N_{\text{bins}}$ is the number of the bins specified in the first row of Table I.
The chosen arrangement of bins forces the last bin to be situated completely out of the boundaries given by Eq. (7) using $W_{\text{center}}$. The cross section for this extra bin was very small, but it was kept so that no events were lost. When integrating the cross section over the mass distribution, these events in the extra bin were included, but a cross section for this bin is not reported.
The cross section in the next to last bin (labeled as bin number $N_{\text{bins}} - 1$) should be treated carefully. This is best illustrated in Fig. 14, which shows schematically the distribution of events in mass, ending in $M_{\text{upper}}$ for three choices of $W$ at $W_{\text{left}}$ (dot-dashed), $W_{\text{center}}$ (solid), and $W_{\text{right}}$ (dashed). The black points at $M_{\text{left}}^{N_{\text{bins}}-1}$ and $M_{\text{right}}^{N_{\text{bins}}-1}$ show the left and right boundaries of the next to last bin, respectively. In the next to last bin events with $W < W_{\text{center}}$ are distributed over a range, which is less than $\Delta M$ defined by Eq. (8). However, when extracting the cross sections, the event yield was divided by the full bin width $\Delta M$, thus leading to an underestimation of the cross section.
The correction for this effect was made using the TWOPEG double-pion event generator [25], because the statistics of the experimental data were not sufficient for this purpose. The correction factor to the cross section in the next to last bin is the ratio of the simulated cross sections calculated with fixed $\Delta M$ defined by Eq. (8) and with $\Delta \tilde{M} = W - m_{h_3} - M_{\text{left}}^{N_{\text{bins}}-1}$, which was different for each generated event. This factor provided the correction to the cross section in the next to last bin that varied from 5% to 10%.
In addition to the above procedure, one more binning issue should be considered. The cross section extracted within the bin in any kinematic variable was assigned to its central point. In the areas with nonlinear cross section behavior, the finite bin size caused the distortion of the cross section value due to its averaging within the bin. To cure this effect, a binning correction was applied that included a cubical spline approximation for the cross section shape [17]. The typical value of the correction was $\sim 1\%$ rising up to 4% for some data points at low $W$.
C. Cross section formula
In the single-photon exchange approximation, the virtual photoproduction cross section $\sigma_\gamma$ (which is the focus of this paper) is connected with the experimental electron scattering
cross section $\sigma_\nu$ via
$$\frac{d^5 \sigma_\nu}{d^5 \tau} = \frac{1}{\Gamma_\nu} \frac{d^7 \sigma_\nu}{dW dQ^2 d^5 \tau},$$
$$d^5 \tau = dM_{h_1 h_2} dM_{h_3 h_4} d\Omega_{h_1} d\alpha_{h_1}. \quad (9)$$
Here $d^5 \tau$ is the differential of the five independent variables of the final $\pi^- \pi^- p$ state that were described in Sec. IV A, $\Gamma_\nu$ is the virtual photon flux given by
$$\Gamma_\nu(W, Q^2) = \frac{\alpha}{4\pi} \frac{1}{E_{\text{beam}}^2 m_p^2} \left(1 - e_T\right) Q^2,$$
where $\alpha$ is the fine structure constant $(1/137)$, $m_p$ is the proton mass, $E_{\text{beam}} = 2.039$ GeV is the energy of the incoming electron beam, and $e_T$ is the virtual photon transverse polarization, given by
$$e_T = \left[1 + 2\left(1 + \frac{v^2}{Q^2}\right) \tan^2 \left(\frac{\theta_e}{2}\right)\right]^{-1}. \quad (11)$$
Here $v = E_{\text{beam}} - E_e$ is the virtual photon energy, while $E_e$ and $\theta_e$ are the energy and the polar angle of the scattered electron in the laboratory frame, respectively.
The experimental electron scattering cross section $\sigma_\nu$ introduced in Eq. (9) was calculated as
$$\frac{d^7 \sigma_\nu}{dW dQ^2 d^5 \tau} = \frac{1}{\mathcal{E} R} \frac{(N_{\text{full}} - N_{\text{empty}})}{\Delta W \Delta Q^2 \Delta^5 \tau \left(\frac{1}{q_i M_H}\right)}, \quad (12)$$
where $N_{\text{full}}$ and $N_{\text{empty}}$ are the numbers of selected double-pion events inside the seven-dimensional bin for runs with hydrogen and empty target, respectively. Each event was weighted with the corresponding photoelectron correction factor given by Eq. (3). Also $Q_{\text{full}} = 5999.64 \mu C$ and $Q_{\text{empty}} = 334.603 \mu C$ are the values of the charge accumulated on the Faraday cup for runs with hydrogen and empty target, respectively, and $q_i = 1.6 \times 10^{-19}$ C is the elementary charge, $\rho = 0.0708 \text{ g/cm}^3$ is the density of liquid hydrogen at a temperature of 20 K, $l = 2$ cm is the length of the target, $M_H = 1.00794$ g/mol is the molar density of the natural mixture of hydrogen, and $N_A = 6.02 \times 10^{23} \text{ mol}^{-1}$ is Avogadro’s number.
In Eq. (12), $\mathcal{E} = \mathcal{E}(\Delta W, \Delta Q^2, \Delta^5 \tau)$ is the detector efficiency for the seven-dimensional bin coming from the Monte Carlo simulation and $R = R(\Delta W, \Delta Q^2)$ is the radiative correction factor described in Sec. IV E.
The electron scattering cross section in the left-hand side of Eq. (12) was assumed to be obtained in the center of the finite seven-dimensional kinematic bin $\Delta W \Delta Q^2 \Delta^5 \tau$.
The limited statistics of the experiment did not allow estimates of the five-fold differential cross section $\sigma_\nu$ with a reasonable accuracy. Therefore, being obtained on the multi-dimensional grid, the cross section $\sigma_\nu$ was then integrated over at least four hadron variables. Hence only the sets of the single-differential and fully integrated cross sections are presented as a result here.
For each bin in $W$ and $Q^2$, the following cross sections were obtained:
$$\frac{d\sigma_\nu}{dM_{h_1 h_2}} = \int \frac{d^5 \sigma_\nu}{d^5 \tau} dM_{h_3 h_4} d\Omega_{h_1} d\alpha_{h_1},$$
$$\frac{d\sigma_\nu}{dM_{h_2 h_3}} = \int \frac{d^5 \sigma_\nu}{d^5 \tau} dM_{h_1 h_4} d\Omega_{h_1} d\alpha_{h_1},$$
$$\frac{d\sigma_\nu}{d(-\cos \theta_{h_1})} = \int \frac{d^5 \sigma_\nu}{d^5 \tau} dM_{h_1 h_2} dM_{h_3 h_4} d\psi_{h_1} d\alpha_{h_1},$$
$$\frac{d\sigma_\nu}{d\alpha_{h_1}} = \int \frac{d^5 \sigma_\nu}{d^5 \tau} dM_{h_1 h_2} dM_{h_3 h_4} d\Omega_{h_1},$$
and
$$\sigma_\nu^{\text{int}}(W, Q^2) = \int \frac{d^5 \sigma_\nu}{d^5 \tau} dM_{h_1 h_2} dM_{h_3 h_4} d\Omega_{h_1} d\alpha_{h_1}. \quad (13)$$
Since the cross sections were obtained on the five-dimensional kinematic grid, integrals in Eq. (13) were calculated numerically on that grid.
D. Efficiency evaluation
For the Monte Carlo simulation, the GENEV event generator [26] developed by Genova group was used. This event generator uses the JM05 model [23] for the investigated double-pion channel, while for the background channel $ep \rightarrow e' p \pi^- \pi^- \pi^0$, which was generated along with the main one, GENEV assumes a phase-space distribution for all kinematic variables. The simulation accounts for radiative effects according to the approach described in Ref. [19].
The generated events were passed through the GEANT-based detector simulation and reconstruction procedures. The efficiency factor $\mathcal{E}$ from Eq. (12) was then calculated in each $\Delta W \Delta Q^2 \Delta^5 \tau$ bin as
$$\mathcal{E}(\Delta W, \Delta Q^2, \Delta^5 \tau) = \frac{N_{\text{rec}}}{N_{\text{gen}}}, \quad (14)$$
where $N_{\text{gen}}$ is the number of generated double-pion events (without any cuts) inside the multi-dimensional bin, while $N_{\text{rec}}$ is the number of reconstructed either double- or three-pion events that survived in the bin after event selection. This definition of the efficiency factor $\mathcal{E}$ accounted for the three-pion background that was negligible at $W < 1.6$ GeV and increased up to a few percent at $W \approx 1.8$ GeV. The averaged (over all analyzed multi-dimensional cells) value of the efficiency was found to be about 11%.
Because of the blind areas in the geometrical coverage of the CLAS detector, some kinematic bins of the double-pion production phase space turned out to have zero acceptance. In such bins, which are usually called empty cells, the cross section cannot be experimentally defined. The empty cells contribute to the integrals in Eq. (13) along with the other kinematic bins. Ignoring the contribution from the empty cells leads to a systematic cross section underestimation and, therefore, some model assumptions for the cross section in these cells are needed. This situation causes a slight model dependence of the final result.
A special procedure was developed in order to take into account the contributions from the empty cells to the integrals in Eq. (13). The map of the empty cells was determined using the Monte Carlo simulation. A cell was treated as empty, if it contained generated events ($N_{\text{gen}} > 0$) but did not contain any reconstructed events ($N_{\text{rec}} = 0$).
Additionally, the efficiency in some kinematic bins could not be reliably determined due to boundary effects, bin-to-bin event migration, and limited Monte Carlo statistics. Such cells were excluded from consideration and also treated as
FIG. 15. The number of five-dimensional cells plotted as a function of the relative efficiency uncertainty vs efficiency. The example is given for one particular bin in $W$ and $Q^2$ ($1.625 \text{ GeV} < W < 1.63 \text{ GeV}$ and $0.5 \text{ GeV}^2 < Q^2 < 0.55 \text{ GeV}^2$).
empty cells. They can be differentiated from the cells with reliable efficiency by a larger relative efficiency uncertainty $\frac{\delta E}{E}$ (absolute efficiency uncertainty $\delta E$ is defined in Sec. IV F). In order to determine the criterion for the cell exclusion, the distribution shown in Fig. 15 was produced for each bin in $W$ and $Q^2$. This figure gives the uncertainty $\frac{\delta E}{E}$ versus efficiency $E$, showing the number of multi-dimensional cells. As is seen in Fig. 15, cells with relative efficiency uncertainty greater than 30% are clustered along the horizontal stripes. This clustering originates from the fact that efficiency was obtained by the division of two integer numbers and reveals the bins with small statistics of the reconstructed events. Moreover, these horizontal stripes contain many cells with unreliable extremely small efficiency. Therefore, the multi-dimensional bins that are located above the horizontal line in Fig. 15 were excluded from consideration and treated as empty cells.
Once the map of the empty cells was determined, the cross section produced by the TWOPEG event generator [25] was used as a model assumption for these kinematic bins. This event generator employs the double-pion cross sections from the recent version of the JM15 model fit to the data [8,9,13,27], as well as the data [20,28] itself and up to now provides the best cross section estimation in the investigated kinematic region. Reference [25] describes in detail the approach used in TWOPEG in order to estimate the cross sections.
Figure 16 introduces the single-differential cross sections given by Eq. (13) extracted for three sets of the kinematic variables described in Sec. IV A. The empty squares correspond to the case when the contribution from the empty cells was ignored, and the black circles are for the case when that was taken into account in the way described above. The black curves represent the TWOPEG cross sections that were used as a model assumption. The figure demonstrates a reasonably small contribution from the empty cells (and therefore a small model dependence of the results) that was achieved using all four available reaction topologies in combination. Only the edge points in the $\theta$ distributions reveal pronounced empty cell contributions due to the negligible or zero CLAS acceptance in the corresponding directions. To account for the model dependence, the part of the single-differential cross section that came from the empty cells was assigned a 50% relative uncertainty. The corresponding absolute uncertainty $\delta_{\text{model}}$ was combined with the total statistical uncertainty, as was done in Refs. [10,27].
E. Radiative correction
The radiative correction to the extracted cross sections was performed using the TWOPEG event generator for the double-pion electroproduction [25], which accounts for the radiative effects by means of the well-known approach of Ref. [19]. This approach has successfully proven itself as an efficient tool to calculate inclusive radiative cross section from the nonradiative one. In Ref. [19], the approach is applied to the inclusive case, while in TWOPEG, the double-pion integrated cross sections are used instead. The radiative photons are supposed to be emitted collinearly either to the direction of the initial or scattered electron (the so-called “peaking approximation”).
In Refs. [19,25], the calculation of the radiative cross section is split into two parts. The “soft” part assumes the energy of the emitted radiative photon to be less than a certain minimal value (10 MeV), while the “hard” part is for the photons with an energy greater than that value. The “soft” part is evaluated explicitly, while for the calculation of the “hard” part, an inclusive hadronic tensor is assumed. The latter assumption is, however, considered adequate, since approaches that are capable of describing radiative processes in exclusive double-pion electroproduction are not yet available.
The radiative correction factor $R$ in Eq. (12) was determined in the following way. The double-pion events either with or without radiative effects were generated with TWOPEG, and then the ratio given by Eq. (15) was taken in each $\Delta W \Delta Q^2$ bin.
$$R(\Delta W, \Delta Q^2) = \frac{N_{\text{rad}}^{2D}}{N_{\text{norad}}^{2D}},$$
(15)
where $N_{\text{rad}}^{2D}$ and $N_{\text{norad}}^{2D}$ are the numbers of generated events in each $\Delta W \Delta Q^2$ bin with and without radiative effects, respectively. Neither $N_{\text{rad}}^{2D}$ nor $N_{\text{norad}}^{2D}$ are subject to any cuts.
This approach gives the correction factor $R$ only as a function of $W$ and $Q^2$, disregarding its dependence on the hadronic variables. However, the need to integrate the cross section at least over four hadronic variables [see Eq. (13)] considerably reduces the influence of the final-state hadron kinematics on the radiative correction factor, thus justifying the applicability of the procedure [19,25].
The quantity $1/R$, which is averaged over all considered $Q^2$ bins, is plotted in Fig. 17 as a function of $W$. The dependence of the correction factor on $Q^2$ was found to be negligible. The uncertainties associated with the statistics of the generated events are very small and therefore not seen in Fig. 17.
FIG. 16. The extracted single-differential cross sections for the cases when the contribution from the empty cells was ignored (empty squares) and when it was taken into account (black circles). The former are reported with the uncertainty $\delta_{\text{stat}}^{\text{ex}}$ given by Eq. (19) (it is smaller than the symbol size), while the latter are with the uncertainty $\delta_{\text{stat}}^{\text{tot}}$ given by Eq. (20). The curves show the TWOPEG cross sections that were used as a model assumption for the empty cell contribution. All distributions are given for one particular bin in $W$ and $Q^2$ ($W = 1.6125 \, \text{GeV}$, $Q^2 = 0.475 \, \text{GeV}^2$).
F. Statistical uncertainties
The limited statistics of both the experimental data and the Monte Carlo simulation are two sources of statistical fluctuations of the extracted cross sections. The cut on the efficiency uncertainty described in Sec. IV D was chosen in a way that the latter source gives a minor contribution to the total statistical uncertainty.
The absolute statistical uncertainty to the five-fold differential virtual photoproduction cross section caused by the statistics of the experimental data was calculated as
$$\delta_{\text{stat}}^{\text{exp}}(\Delta^5 \tau) = \frac{1}{\mathcal{E}} \frac{1}{R} \frac{1}{\Gamma_V} \frac{1}{\Delta W \Delta Q^2 \Delta^5 \tau \left( \frac{\mu N_{\gamma p}}{q_e M_H} \right)}.$$
(16)
The absolute uncertainty to the cross section due to the limited Monte Carlo statistics was estimated as
$$\delta_{\text{stat}}^{\text{MC}}(\Delta^5 \tau) = \frac{d^3 \sigma_\gamma}{d^5 \tau} \left( \frac{\delta \mathcal{E}}{\mathcal{E}} \right).$$
(17)
where $\mathcal{E}$ is the efficiency inside the multi-dimensional bin defined by Eq. (14), while $\delta \mathcal{E}$ is its absolute statistical uncertainty.
Because $N_{\text{gen}}$ and $N_{\text{rec}}$ in Eq. (14) are not independent, the usual method of partial derivatives is not applicable in order to calculate $\delta \mathcal{E}$. Therefore, the special approach described in Ref. [29] was used for this purpose. Neglecting the event migration between the bins, this approach gives the following expression for the absolute statistical uncertainty of the efficiency:
$$\delta \mathcal{E} = \sqrt{\frac{(N_{\text{gen}} - N_{\text{rec}}) N_{\text{rec}}}{N_{\text{gen}}^3}}.$$
(18)
The two parts of the statistical uncertainty given by Eqs. (16) and (17) were combined quadratically into the total absolute statistical uncertainty to the cross section in the multi-dimensional bin:
$$\delta_{\text{stat}}^{\text{tot}}(\Delta^5 \tau) = \sqrt{\left( \delta_{\text{stat}}^{\text{exp}} \right)^2 + \left( \delta_{\text{stat}}^{\text{MC}} \right)^2}.$$
(19)
The uncertainties $\delta_{\text{stat}}^{\text{tot}}$ for the extracted single-differential cross sections were obtained from the uncertainties $\delta_{\text{stat}}^{\text{tot}}(\Delta^2 \tau)$ of the five-fold differential cross sections according to the standard error propagation rules.
Finally for the single-differential cross sections, the total statistical uncertainty $\delta_{\text{stat}}^{\text{tot}}$ was combined with the uncertainty $\delta_{\text{model}}$, which accounted for the model dependence of the results that came from the empty cell contribution (see Sec. IV D):
$$\delta_{\text{stat,mod}}^{\text{tot}} = \sqrt{(\delta_{\text{stat}}^{\text{tot}})^2 + (\delta_{\text{model}})^2}. \quad (20)$$
G. Systematic uncertainties
The systematic uncertainties of the obtained results dominate the statistical ones and originate from several sources.
The presence of the elastic events in the dataset helped with the normalization verification of the extracted cross sections. For this purpose, the elastic cross section was extracted and compared with the parametrization [30], and a 3% fluctuation was found. Therefore this value was included into the systematic uncertainty of the extracted double-pion cross sections as a global factor. This factor takes into account inaccuracies in the luminosity calculation (due to miscalibrations of the Faraday cup, target density instabilities, etc.) as well as errors in the electron registration and identification.
In order to study the systematic uncertainties, the double-pion cross sections were obtained using an alternative method of the topology combination. In contrast with the main method, where events from all four topologies were summed up in each multi-dimensional bin, the alternative one considers only those events that come from the topology with the maximal efficiency in the bin. The difference between the cross sections obtained in these two ways was interpreted as a systematic uncertainty. Since various topologies correspond to different detected final hadrons, this uncertainty includes the errors due to the hadron identification. This uncertainty was calculated for each bin in $W$ and $Q^2$ and found to be of the order of 2%.
According to Sec. IV A, the double-pion cross sections were extracted in three sets of the kinematic variables. The difference between the cross sections obtained by integration over these three kinematic grids was interpreted as a systematic uncertainty. This uncertainty was computed for each bin in $W$ and $Q^2$ and was typically of the order of 5%. For the final results, the integrated cross sections averaged over these three grids are reported.
As a common practice with CLAS [8,10], an extra 5% global uncertainty was assigned to the cross section due to the inclusive radiative correction procedure (see Sec. IV E).
The uncertainties due to the sources mentioned above were summed up in quadrature to obtain the total systematic uncertainty for the integrated double-pion cross sections. The relative systematic uncertainty in each $W$ and $Q^2$ bin can be propagated as a global factor to the corresponding single-differential cross sections, which are reported with the uncertainty $\delta_{\text{stat,mod}}^{\text{tot}}$ only [see Eq. (20)].
V. COMPARISON WITH THE MODEL AND PREVIOUSLY AVAILABLE DATA
In Fig. 18, the $W$ dependencies of the extracted integrated cross sections of the reaction $\gamma e p \rightarrow p \pi^+ \pi^-$ are shown by the black circles for twelve bins in $Q^2$. The gray shadowed areas correspond to the total cross section uncertainty, which is the uncertainty $\delta_{\text{stat,mod}}^{\text{tot}}$ given by Eq. (20) summed up in quadrature with the total systematic uncertainty. The error bars that correspond to the uncertainty $\delta_{\text{stat,mod}}^{\text{tot}}$ only are smaller than the symbol size.
For each $(W, Q^2)$ point shown in Fig. 18, nine single-differential cross sections [see Eq. (13)] are reported. An example of these cross sections is presented in Fig. 19 for the particular point $W = 1.6375$ GeV and $Q^2 = 0.525$ GeV$^2$, where the black symbols are for the single-differential cross sections, while the error bars show the uncertainty $\delta_{\text{stat,mod}}^{\text{tot}}$.
The whole set of the extracted cross sections is available in the CLAS physics database [6] and also on GitHub [7].
The extracted cross sections benefit from the minimal statistical uncertainty and the minimal model dependence among the previous studies of double-pion electroproduction cross sections [8–10]. This was achieved due to the high experimental statistics and the fact that four reaction topologies were analyzed in combination.
A. Comparison with the model
A preliminary interpretation of the extracted cross sections was based on the meson-baryon reaction model JM, which is currently the only available approach for phenomenological analysis of the double-pion electroproduction cross sections. This model aims at extracting the resonance electrocouplings as well as establishing the contributions from different reaction subchannels and has proven itself as an effective tool for the analysis of the experimental cross sections [11–13].
The preliminary interpretation of the results included the estimations of the full double-pion cross sections (integrated and single-differential), as well as their resonant parts. The former is shown in Figs. 18 and 19 by the solid curves, while the latter are shown by the dashed curves.
For this study, a fit of the obtained results within the JM model was not performed, and therefore an estimation of the full double-pion cross sections was obtained using
FIG. 18. The $W$ dependencies of the integrated cross sections (symbols) in various bins in $Q^2$. The gray shadowed area for each point is the total cross section uncertainty, which is the uncertainty $\delta_{\text{stat,mod}}$ given by Eq. (20) summed up in quadrature with the total systematic uncertainty. The error bars that correspond to the uncertainty $\delta_{\text{stat,mod}}$ only are smaller than the symbol size. The solid curves are the cross section prediction obtained from TWOPEG [25], while the dashed curves correspond to the resonant contribution estimated within the unitarized Breit-Wigner ansatz of the JM model [11,13] (see text for more details).
the JM-model-based TWOPEG [25] event generator. This generator employs the five-fold differential structure functions from the recent version of the JM model fit to all existing CLAS results on double-pion photo- and electroproduction [8,9,13,27]. In the kinematic areas already covered by the CLAS data, TWOPEG performs the interpolation of the model structure functions and successfully reproduces the available integrated and single-differential cross sections. In the areas not yet covered by the CLAS data, special extrapolation procedures have been applied that included additional world data on the integrated photoproduction cross sections [20,28]. This event generator gives the absolute cross section values (see Ref. [25] for details) that can be treated as a cross section prediction. To perform a comparison with the reported cross sections, TWOPEG predictions were adjusted to them using their experimentally established $Q^2$ dependence. The quality of the description of the experimental results achieved in this way is shown in Figs. 18 and 19 by the solid curves for the integrated and single-differential cross sections, respectively.
The resonant contribution to the full cross section was estimated using the unitarized Breit-Wigner ansatz of the JM model [13]. The model considered that, in the investigated $W$ range, the dominant part of the resonant contribution to the cross section is formed by the following nine resonances: $P_{11}(1440)$, $D_{13}(1520)$, $S_{11}(1535)$, $S_{31}(1620)$, $S_{11}(1650)$, $F_{13}(1680)$, $D_{23}(1700)$, $P_{13}(1720)$, and $P'_{13}(1720)$,\footnote{In the updated PDG format $N(1440)1/2^+$, $N(1520)3/2^-$, $N(1535)1/2^-$, $\Delta(1620)1/2^-$, $N(1650)1/2^-$, $N(1680)5/2^+$, $\Delta(1700)3/2^-$, $N(1720)3/2^+$, and $N'(1720)3/2^+$, respectively.} where $P'_{13}(1720)$ is a new potential candidate state [14]. The electrocouplings of these nine states in the investigated $Q^2$ range were evaluated using the functions of their $Q^2$ dependences taken from the study [10]. These functions were obtained as a polynomial fit of the available data on the resonance electrocouplings including those at the photon point [11,13,31–41]. Reference [10] describes in detail the fit procedure. Because of the scarce data on electrocouplings close to the photon point and the fact that the $S_{1/2}$ does not exist at the photon point, the fit for the $S_{1/2}$ electrocoupling of the resonances $S_{31}(1620)$, $F_{15}(1680)$, and $P_{13}(1720)$ is unreliable at $Q^2 \lesssim 0.6$ GeV$^2$. Therefore, for these three states at $Q^2 \lesssim 0.6$ GeV$^2$, the constant value of the $S_{1/2}$ taken at the last available $Q^2$ point was used.
Additionally, the states $P_{33}(1600)$, $D_{15}(1675)$, and $D_{13}(1700)$,\footnote{$\Delta(1600)3/2^+$, $N(1675)5/2^-$, and $N(1700)3/2^-$, respectively.} although giving an insignificant contribution comparing with the nine resonances mentioned above, were
FIG. 19. The extracted single-differential cross sections (symbols) for one particular bin in $W$ and $Q^2$ ($W = 1.6375 \text{ GeV}$, $Q^2 = 0.525 \text{ GeV}^2$). The error bars correspond to the uncertainty $\sigma_{\text{exp,mod}}$ given by Eq. (20). The solid curves are for the cross section prediction obtained from TWOPEG [25], while the dashed curves correspond to the resonant contribution estimated within the unitarized Breit-Wigner ansatz of the JM model [11,13] (see text for more details).
included into the calculations with the values of their electrocouplings taken from the studies [11,23] for $Q^2 = 0.65 \text{ GeV}^2$. In order to partially take into account a contribution from the tails of the high-lying states, the resonances $F_{35}(1905)$ and $F_{37}(1950)^5$ were also introduced into the model with the values of their electrocouplings taken from the study [23] for $Q^2 = 0.65 \text{ GeV}^2$. These two states give from 2% to 20% of the total resonant contribution as $W$ grows from 1.7 to 1.8 GeV. For all resonance states, the unitarized Breit-Wigner ansatz [13] was used and the hadronic decay widths to the $\pi \Delta$ and $\rho p$ final states were taken from Ref. [11].
The estimation for the resonant part of the cross section is shown by the dashed curves in Figs. 18 and 19 for the integrated and single-differential cross sections, respectively. The relative resonant contribution to the integrated cross section is shown in Fig. 20 as a function of $Q^2$ for various ranges in $W$. It was obtained as the ratio of the evaluated resonant part to the TWOPEG estimation for the full cross section. Figure 20 demonstrates the growth of the relative resonant contribution with increasing $W$, consistent with previous studies [11,12]. For small $W \sim 1.45 \text{ GeV}$, this contribution stays on a level of 20%, while at higher $W \sim 1.75 \text{ GeV}$ it reaches 70%. The resonant contribution at $W \sim 1.75 \text{ GeV}$ is somewhat underestimated, since the resonances with masses above 1.8 GeV were not fully taken into account in this estimation.
The estimated resonant part of the cross section depends on the assumption for the $Q^2$ behavior of the resonance electrocouplings. Since a fit within the JM model was not performed, the uncertainty for this estimation can hardly be evaluated explicitly. A recent JM model fit of the data [10] gives an uncertainty for the resonant part of about 6%.
---
5 $\Delta(1905)5/2^+$ and $\Delta(1950)7/2^+$, respectively.
B. Previously available data
In Fig. 21, the extracted integrated double-pion cross sections are compared with the available data [8]. The cross sections [8] were obtained with a 1.515-GeV electron beam energy, which is different from that of the data reported here. This introduces a small systematic distortion into the comparison caused by a beam energy dependence of the longitudinal cross section part. The kinematic coverages of these two datasets overlap only in three bins in $Q^2$. Meanwhile, the cross sections presented here should be treated as more reliable, since they were extracted with a more advanced technique—i.e., the combination of all four available topologies was used instead of only two in Ref. [8], the map of the empty cells was better determined using the cut on the efficiency uncertainty, the contribution from the empty cells was accounted for by the advanced method using TWOPEG [25], and furthermore, finer binning in the hadronic variables was achieved. Nevertheless, Fig. 21 demonstrates reasonable agreement between these two sets of the cross sections within the total uncertainties.
VI. CONCLUSIONS AND OUTLOOK
In this paper, new results on the integrated and single-differential cross sections of the reaction $\gamma_e p \rightarrow p^\prime \pi^+ \pi^-$ at $W$ from 1.3 to 1.825 GeV and $Q^2$ from 0.4 to 1 GeV$^2$ are reported. The results are a significant improvement over previously available data [8,9] in this kinematic region due to the extension in the $W$ coverage and due to the increased statistics, thereby achieving a finer binning in $Q^2$ (0.05 GeV$^2$). The whole set of the obtained cross sections is available in the CLAS physics database [6] and also on GitHub [7].
The kinematic coverage of the extracted cross sections overlaps with that of the previously available results [8] in three $Q^2$ points 0.475, 0.525, and 0.575 GeV$^2$ for $W$ from 1.3 to $\sim 1.5$ GeV. In this region of overlap, the two cross section sets were found to be in agreement, as Fig. 21 demonstrates. The double-pion cross sections reported in Ref. [9] also partially overlap with the results presented here, but since they were obtained in much wider $Q^2$ bins, a comparison with them is not straightforward.
The cross section extraction procedure has some improvements in comparison with previous studies [8–10]. An original method of revealing cells with unreliable efficiency via a cut on the relative efficiency uncertainty was applied. The cross sections in kinematic cells with zero acceptance were estimated using a recently developed event generator TWOPEG [25]. All available reaction topologies were combined together to minimize statistical uncertainties as well as the contribution from kinematic cells with zero acceptance, in this way achieving a very modest model dependence of the obtained cross sections.
The obtained cross sections are compared with the predictions of the JM-model-based TWOPEG event generator, which currently provides the best double-pion cross section estimation in the investigated kinematic region. The comparisons presented in Figs. 18 and 19 show reasonably good agreement between the TWOPEG estimations (solid curves) and the experimental cross sections (symbols). The resonant contributions to the cross section (dashed curves in Figs. 18 and 19) were evaluated using the unitarized Breit-Wigner ansatz of the JM model, which includes all well-established resonances in amplitude form. This estimation shows a sizable resonant contribution (see Fig. 20) that indicates the possibility of reliable extraction of the resonance rescattering couplings.
The experimental results presented here will be further analyzed within the framework of the reaction model JM
This analysis will eventually allow a determination of the $Q^2$ evolution of the electrocouplings of most nucleon resonances with masses up to $\sim 1.8$ GeV for photon virtualities $Q^2$ from 0.425 to 0.975 GeV$^2$. For those resonances with mass greater than 1.6 GeV, which decay preferentially to the $p\pi^+\pi^-$ final state, this information will be obtained for the first time. These efforts are under way and the results will be presented in a future publication on the subject.
ACKNOWLEDGMENTS
The authors thank the technical staff at Jefferson Laboratory and at all the participating institutions for their invaluable contributions to the success of the experiment. We are grateful for the help and support of the University of South Carolina (USC), the Skobeltsyn Institute of Nuclear Physics (SINP), and the Physics Departments at Moscow State University (MSU, Moscow) and Ohio University (OU). This work was supported in part by the U.S. Department of Energy (DOE) and National Science Foundation (NSF), the Chilean Comisión Nacional de Investigación Científica y Tecnológica (CONICYT), the Italian Istituto Nazionale di Fisica Nucleare (INFN), the French Centre National de la Recherche Scientifique (CNRS), the French Commissariat à l’Energie Atomique (CEA), the Skobeltsyn Institute of Nuclear Physics (SINP), the Physics Departments at Moscow State University (MSU, Moscow) and Ohio University (OU), the Scottish Universities Physics Alliance (SUPA), the National Research Foundation of Korea (NRF), and the UK Science and Technology Facilities Council (STFC). Jefferson Science Associates (JSA) operates the Thomas Jefferson National Accelerator Facility for the United States Department of Energy under Contract No. DE-AC05-06OR23177.
APPENDIX: THE DEFINITION OF THE ANGLE $\alpha$
The calculation of the angle $\alpha_{\pi^-}$ from the second set of hadron variables mentioned in Sec. IV A is given below. The angles $\alpha_{\pi^+}$ and $\alpha_{\pi^+}$ from the other sets of variables are calculated analogously [17].
**FIG. 22.** Definition of the angle $\alpha_{\pi^-}$. The plane B is defined by the three-momenta of all final-state hadrons, while the plane A is defined by the three-momenta of the $\pi^-$ and initial proton. The definitions of the auxiliary vectors $\vec{\gamma}$, $\vec{\beta}$, and $\delta$ are given in the text.
The angle $\alpha_{\pi^-}$ is the angle between the two planes A and B (see Fig. 22). The plane A is defined by the initial proton and $\pi^-$, while the plane B is defined by the momenta of all final-state hadrons. Note that the three-momenta of the $\pi^+$, $\pi^-$, and $p'$ are in the same plane, since in the c.m.s. their total three-momentum has to be equal to zero.
To calculate the angle $\alpha_{\pi^-}$, first two auxiliary vectors $\vec{\gamma}$ and $\vec{\beta}$ should be determined. The vector $\vec{\gamma}$ is the unit vector perpendicular to the three-momentum $\vec{P}_{\pi^-}$, directed toward the vector $(-\vec{n}_z)$ and situated in the plane A. $\vec{n}_z$ is the unit vector directed along the z axis. The vector $\vec{\beta}$ is the unit vector perpendicular to the three-momentum of the $\pi^-$, directed toward the three-momentum of the $\pi^+$ and situated in the plane B. The angle between the two planes $\alpha_{\pi^-}$ can be calculated as
$$\alpha_{\pi^-} = \arccos(\vec{\gamma} \cdot \vec{\beta}),$$ \hspace{1cm} (A1)
where arccos is a function that runs between zero and $\pi$, while the angle $\alpha_{\pi^-}$ may vary between zero and $2\pi$. To determine the $\alpha$ angle in the range between $\pi$ and $2\pi$, the relative direction between the $\pi^-$ three-momentum and the vector product $\delta = [\vec{\gamma} \times \vec{\beta}]$ of the auxiliary vectors $\vec{\gamma}$ and $\vec{\beta}$ should be taken into account. If the vector $\delta$ is collinear to the three-momentum of the $\pi^-$, the angle $\alpha_{\pi^-}$ is determined by Eq. (A1), and in the case of anticollinearity by
$$\alpha_{\pi^-} = 2\pi - \arccos(\vec{\gamma} \cdot \vec{\beta}).$$ \hspace{1cm} (A2)
The defined above vector $\vec{\gamma}$ can be expressed as
$$\vec{\gamma} = a_\alpha (-\vec{n}_z) + b_\alpha \vec{n}_{P_{\pi^-}} \quad \text{with}$$
$$a_\alpha = \sqrt{\frac{1}{1 - (\vec{n}_{P_{\pi^-}} \cdot (-\vec{n}_z))^2}} \quad \text{and}$$
$$b_\alpha = -(\vec{n}_{P_{\pi^-}} \cdot (-\vec{n}_z)) a_\alpha,$$ \hspace{1cm} (A3)
where $\vec{n}_{P_{\pi^-}}$ is the unit vector directed along the three-momentum of the $\pi^-$ (see Fig. 22).
Taking the scalar products $(\vec{\gamma} \cdot \vec{n}_{P_{\pi^-}})$ and $(\vec{\gamma} \cdot \vec{\gamma})$, it is straightforward to verify that $\vec{\gamma}$ is the unit vector perpendicular to the three-momentum of the $\pi^-$.
The vector $\vec{\beta}$ can be obtained as
$$\vec{\beta} = a_\beta \vec{n}_{P_{\pi^+}} + b_\beta \vec{n}_{P_{\pi^-}} \quad \text{with}$$
$$a_\beta = \sqrt{\frac{1}{1 - (\vec{n}_{P_{\pi^+}} \cdot \vec{n}_{P_{\pi^-}})^2}} \quad \text{and}$$
$$b_\beta = -(\vec{n}_{P_{\pi^+}} \cdot \vec{n}_{P_{\pi^-}}) a_\beta,$$ \hspace{1cm} (A4)
where $\vec{n}_{P_{\pi^+}}$ is the unit vector directed along the three-momentum of the $\pi^+$.
Again taking the scalar products $(\vec{\beta} \cdot \vec{n}_{P_{\pi^-}})$ and $(\vec{\beta} \cdot \vec{\beta})$, it is straightforward to see that $\vec{\beta}$ is the unit vector perpendicular to the three-momentum of the $\pi^-$.
Further detailed information about the kinematics of the reactions with three-particle final states can be found in Ref. [24].
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|
Beyond a One-Dimensional State: An Emerging Right to Autonomy?
Edited by Zelim A. Skurbaty
Martinus Nijhoff Publishers
## TABLE OF CONTENTS
### Autonomy and Cultural Rights
*The Argument of Cultural Disadvantage*
**Juha Räikkä** .......................................................................................................................... 211
*The Right of a People to Exercise their Culture – A Scandinavian Model*
**Isi Foighel** ............................................................................................................................. 231
### PART III CROSS-BORDER COOPERATION, INTERNATIONAL MONITORING AND IMPLEMENTATION
#### International Guarantees of Autonomy
*Autonomy (International Guarantees of Autonomy)*
**Yoram Dinstein** ...................................................................................................................... 243
*International Criminal Law: Protection of Minority Rights*
**Lyal S. Sunga** ......................................................................................................................... 255
#### Autonomy: The Problem of Irredentism and Cross-Border Cooperation
*Cross-Border Cooperation as an Indicator for Institutional Evolution of Autonomy: The Case of Trentino-South Tyrol*
**Francesco Palermo and Jens Woelk** ................................................................................. 277
#### Autonomy, Participation and Minority Rights
*Participation and the Council of Europe’s Framework Convention for the Protection of National Minorities (FCNM)*
**Alan Phillips** ........................................................................................................................... 305
*Autonomy and the Effective Participation of Minorities in Public Life: Developments in the OSCE*
**John Packer** .......................................................................................................................... 321
#### Autonomy and Indigenous People
*Indigenous Rights and the Promise of a Limited Autonomy Model*
**Darren Hawkins** .................................................................................................................. 337
*The Question of Indigenous Autonomy in Latin America*
**José Bengoa** .......................................................................................................................... 351
### PART IV NATIONAL AND COMPARATIVE CASE STUDIES
#### Autonomy, Minorities and Self-Determination
*The Protection of the Rights of Minorities by Means of Autonomy: The Cases of the Åland and Kosovo*
**Markku Suksi** ....................................................................................................................... 379
#### Failed Experiences with Autonomy
*The Autonomy of Eritrea (1952-62): Learning from the Failed Experience*
**Eyassu Gayim** ....................................................................................................................... 401
#### Autonomy in the Countries of Transition
*A Combined Approach to Autonomy: Estonian Experience*
**Aleksei Semjonov** .................................................................................................................. 421
*Autonomy of Gagaузia: A Post-Soviet Experience*
**Priit Järve** ............................................................................................................................ 429
#### Autonomy and Conflict Resolution
*Autonomy: The Danish-German Border Region*
**Sten Harck** ............................................................................................................................ 457
*Continued Challenges, Post-Settlement, to the Cyprus Conundrum*
**Tim Potier** ............................................................................................................................. 473
*Strategies of Ethnic Conflict Resolution: The Trentino-South Tyrol Case and the Balkans*
**Paolo Foradori and Riccardo Scartezzini** ........................................................................ 489
#### National and Regional Experiments with Autonomous Arrangements
*Experiments with Autonomy in the United Kingdom since 1998*
**Patricia Leopold** .................................................................................................................... 503
*The Status of Autonomous Territories in International Organizations: Experiences in Nordic and Continental European Co-operation*
**Elisabeth Nauclér** ................................................................................................................ 525
*Minority Rights and Forms of Autonomy in South Asia*
**Ranabir Samaddar** ............................................................................................................... 541
#### Summary Conclusions
*Is There an Emerging Right to Autonomy? Summary Reflections, Conclusions and Recommendations*
**Zelim A. Skurbaty** ................................................................................................................ 565
#### Index ........................................................................................................................................ 569
1. INTRODUCTION
The quest for greater autonomy on the part of ethnic, racial and religious minorities has sometimes been met with fierce reaction from Governments and in extreme cases, with violence and even war. In many instances, the reluctance of the State to deal seriously with minority rights stems from the concern that such claims could eventually lead to a devolution of power from the central Government or even to the break up of the State. The outbreak of numerous civil wars since the end of the Cold War underscores how social tension can take the form of extreme nationalism and degenerate into protracted ethnic, racial and religious violence.
Tragically, even in the era of the United Nations collective security system, the international community has largely failed to prevent massive violations of minority rights. Until very recently, international criminal justice has been more concept than reality. For the victims of genocide in Nazi Germany, the former Yugoslavia, Rwanda or Bangladesh, or of severe violations committed in Angola, Cambodia or Sierra Leone, international criminal justice has been either completely absent or ‘too little too late’. One can even consider the UN Security Council’s International Criminal Tribunals for the former Yugoslavia and Rwanda primarily as salves for the international community, which had failed to prevent both the outbreak of war in these countries and the horrible atrocities that attended them.
Despite this discouraging record, the international community at large has been forced to recognize that, unless it checks systematic violations prospectively i.e. before they are committed, such violations can destroy not only the stability and territorial integrity of individual States, but also regional and international peace and security.
It is argued in the present paper that the institutionalization of international criminal law enforcement since 1945 has been propelled largely by the international community’s concern to halt, suppress and deter the kinds of violations typically perpetrated in serious ethnic, racial and religious conflicts and that international criminal law enforcement constitutes in effect an important form of minority rights protection. Moreover, although neither the International Criminal Court’s\(^2\) Statute nor its Rules of Procedure and Evidence refer explicitly to ‘minority’ or ‘minority rights’, the ICC is designed to provide deterrence on a more prospective and global basis than the international criminal tribunals, and therefore the ICC holds out
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\(^1\) The author thanks Dr. Ilaria Bottigliero for her helpful comments on this paper.
\(^2\) The International Criminal Court is hereinafter referred to as the ‘ICC’.
greater promise for the effective protection of minority groups against the severest forms of abuse.\(^3\)
In line with this argument, we first relate how severe minority rights violations played a critical role historically in the outbreak of the Second World War and the Allied Powers' decision to establish the Nuremberg and Tokyo Tribunals. Second, we sketch the development of minority rights protection in the period from 1945 to the end of the Cold War, and we underline that although the international community has generally been quite ambivalent about the issue, it has had to resort to the establishment of *ad hoc* international criminal tribunals to address severe violations of minority rights where domestic jurisdictions have failed to do so. Finally, we consider the relevance of the ICC's material jurisdiction and procedures to strengthen minority rights protection in future.
2. INTERNATIONAL CRIMINAL LAW AND MINORITY RIGHTS FROM 1945 TO THE END OF THE COLD WAR
The potential for minority tension to lead to violence and even the collapse of the State has always made Governments wary of addressing minority problems at home. Equally, Governments confronted with minority rights challenges commonly consider international attention to these questions as unwelcome interference in their domestic affairs. The traditional ambivalence of States on minority rights questions partly accounts for the international community's failure to deal effectively with Nazi Government policies prior to World War II. The stigmatization and persecution of the Jewish, Roma and Sinti minority groups, as well as the elderly, homosexuals and disabled persons, constituted a key element of the Nazi Party programme since its rise to power in 1933. Hitler's skilful manipulation of minority rights prior to the opening of hostilities as a pretext to seize the Sudetenland and snatch the Free City of Danzig realized the worst fears of democratic Governments as to the vulnerability of political and legal sovereignty in the face of insistent minority rights claims. The systematic persecution of minorities at home prepared the German people for aggression to be projected internationally and in this sense, the abuse of minorities in Germany contributed directly to the outbreak of the Second World War.\(^4\) For too long left unchecked by Chamberlain's appeasement policy,\(^5\) American isolationism,\(^6\) and Stalin's cynical mutual non-aggression pact with Hitler,\(^7\) the Nazi Government was left a free hand to form Axis power alliances and pursue grand imperial designs for world domination, until 'blood, toil, tears, and sweat' eventually assured Allied victory.\(^8\)
Look at the immense cost: between 50 and 60 million deaths,\(^9\) countless injured and billions of dollars in property damage, including the massive destruction of cultural and personal property, not only in Europe but in other theatres of the conflict. In the Far East, Japanese forces perpetrated systematic murders and mass rape as early as 1937 in Nanjing and committed horrendous atrocities against other peoples in the countries they invaded throughout the duration of World War II under the guise of aiding peoples to liberate themselves from colonial domination.
The point is that the international community ignores severe minority rights violations at its own peril and it can become very costly not to intervene. The massive suffering brought about by the Second World War had an inescapable dimension of ethnic persecution, genocide, and severe minority rights violations, from the events leading to the outbreak of war, to its fateful conclusion, the setting up of the Nuremberg and Tokyo International Military Tribunals and the post-World War II reformation of the international legal order. World War II should have taught Governments that they can not stand by while a Government persecutes its own citizens, not only because human dignity should be considered a matter of
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\(^3\) Statute of the International Criminal Court, adopted in Rome in a non-recorded vote, 120 in favour, seven against and 21 abstaining, on 17 July 1998 (A/CONF. 183/9); entered into force on 1 July 2002, ratified by 88 States as of 1 February 2003, hereinafter referred to as the 'Rome Statute'.
\(^4\) See 'International Military Tribunal (Nuremberg): Judgment and Sentences', of 1 October 1946, 41 *American Journal of International Law* (1947) at p. 217, particularly the sections entitled 'Invasion of Austria' as well as Hitler's speech to the Reichstag of 1 September 1939 in which he bitterly denounced the oppression of German minorities in Poland and the Free City of Danzig. See also R. B. Bilder, *Can Minorities Treaties Work?* in Y. Dinstein and M. Tabory (eds.), *The Protection of Minorities and Human Rights* (1992) pp. 59–82.
\(^5\) See A. J. Crozier, *Appeasement and Germany's Last Bid for Colonies* (1988); K. Robbins, *Appeasement: Second Edition* (1997); S. R. Rock, *Appeasement in International Politics* (2000); and A. L. Rowse, *Appeasement: A Study in Political Decline: 1933–1939* (1963).
\(^6\) See M. Jonas, *Isolationism in America: 1935–1941* (1966); S. Adler, *The Isolationist Impulse: Its Twentieth-Century Reaction* (1966) and R. W. Tucker, *A New Isolationism: Threat or Promise?* (1972).
\(^7\) See the German-Soviet Non-Aggression Pact, *signed* on 23 August 1939 in Moscow between Ribbentrop and Molotov, the Secret Additional Protocol as well as cables No. 360 of 15 September 1939, No. 395 of 19 September 1939; No. 417 of 22 September 1939 and German-Soviet Confidential Protocol, *signed* on 18 September 1939 in Moscow between Ribbentrop and Molotov and its Secret Supplementary Protocol, *signed* on 28 September 1939 concerning the partition of Poland.
\(^8\) On 13 May 1940, in his maiden speech to the British Parliament, Prime Minister Winston Churchill steered the nation to fight the Nazi Government with these words: 'I say to the House as I said to ministers who have joined this Government, I have nothing to offer but blood, toil, tears, and sweat. We have before us an ordeal of the most grievous kind. We have before us many, many months of struggle and suffering. You ask, what is our policy? I say it is to wage war by land, sea, and air. War with all our might and with all the strength God has given us, and to wage war against a monstrous tyranny never surpassed in the dark and lamentable catalogue of human crime. That is our policy. You ask, what is our aim? I can answer in one word. It is victory. Victory at all costs - Victory in spite of all terrors - Victory, however long and hard the road may be, for without victory there is no survival.' See also D. Cannadine (ed.), *Blood, Toil, Tears and Sweat: The Speeches of Winston Churchill* (1989).
\(^9\) See M. Small and J. D. Singer, *Resort to Arms: International and Civil War: 1816–1980* (1982).
everyone's moral concern regardless of the potential victim's race or nationality, but also because severe violations tend to spiral out of control, threatening lives and property in other countries as well. Even before the Allied Powers secured victory, they understood that it would not be enough to win the war militarily, but that Nazi and Fascist totalitarian ideology had to be de-legitimized. Despite the fact that the Nuremberg and Tokyo Trials are often criticized, quite justifiably, for being 'victors' justice', they affirmed the principle of individual criminal responsibility under international law for massive crimes and shattered the doctrine of absolute sovereign immunity.\(^{10}\) The UN General Assembly's adoption of the Nuremberg Principles was intended to affirm the principle of individual criminal responsibility for crimes against peace, war crimes and crimes against humanity.\(^{11}\) The General Assembly accordingly tasked the International Law Commission to elaborate an international criminal code and court.\(^{12}\) The crime of genocide was added to the rubric of international criminal law with the Assembly's adoption of the Genocide Convention on 9 December 1948, which has been ratified by over 130 States.\(^{13}\) In 1949, the international community developed the four Geneva Conventions\(^{14}\) to update the rules of international humanitarian law and for the first time to make
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\(^{10}\) See A. C. Brackman, *The Other Nuremberg: The Untold Story of the Tokyo War Crimes Trials* (1987); R. Clark and I. A. Lediakh, ‘The Influence of the Nuremberg Trial on the Development of International Law’, in G. Ginsburgs and V.N. Kudriavtsev (eds.), *The Nuremberg Trial and International Law* (1990) 249–283; B. B. Ferencz, ‘International Criminal Courts: the Legacy of Nuremberg’ 10 *Pace International Law Review* (1998) p. 203; G. Finch, ‘The Nuremberg Trial and International Law’ 41 *American Journal of International Law* (1947) pp. 20–37; D. W. Layton, ‘Forty Years after the Nuremberg and Tokyo Tribunals: The Impact of the War Crimes Trials on International and National Law’, 80 *American Society of International Law Proceedings* (1986) p. 56; E. J. O’Brien, ‘The Nuremberg Principles, Command Responsibility, and the Defense of Captain Rockwood’, 149 *Military Law Review* (1995) p. 275; W. O’Brien, ‘The Nuremberg Precedent and the Gulf War’, 31:3 *Virginia Journal of International Law* (1991) pp. 391–401; S. Pomorski, ‘Conspiracy and Criminal Organization’, in G. Ginsburgs and V.N. Kudriavtsev (eds.), *The Nuremberg Trial and International Law* (1990) pp. 213–248; F.B. Schick, ‘The Nuremberg Trial and the International Law of the Future’, 41 *American Journal of International Law* (1947), pp. 770–794; L. S. Sunga, ‘Full Respect for the Rights of Suspect, Accused and Convict: From Nuremberg and Tokyo to the ICC’, in M. Henzelin et al. (eds.), *Le droit pénal à l'épreuve de l'internationalisation* (2002) pp. 217–239; T. Taylor, *The Anatomy of the Nuremberg Trials: A Personal Memoir* (1993); and Q. Wright, ‘The Law of the Nuremberg Trial’, 41 *American Journal of International Law* (1947) pp. 38–72.
\(^{11}\) General Assembly resolution 95(1), adopted on 11 December 1946 on Affirmation of the Principles of International Law Recognized by the Charter of the Nuremberg Tribunal.
\(^{12}\) The UN General Assembly requested the International Law Commission in 1947 to elaborate the Nuremberg Principles and to prepare a draft international criminal code to ensure that the lessons provided by the Judgements of Nuremberg and Tokyo would not be forgotten. See General Assembly resolution 177 (II) of 21 November 1947.
\(^{13}\) Convention on the Prevention and Punishment of the Crime of Genocide, adopted unanimously 9 December 1948, entered into force 12 January 1951; 78 UNTS 277.
\(^{14}\) Geneva Conventions, adopted 12 August 1949, entered into force 21 October 1950.
certain ‘grave breaches’ of the Conventions crimes under international law for which individuals could be prosecuted and punished.\(^{15}\)
All these initiatives seemed to signal the international community’s determination and resolve to develop coherent deterrence of the major crimes through international law. However, little further advance was to be achieved in the field of international criminal law until the end of the Cold War opened fresh opportunities for international political and legal cooperation through the United Nations. In other words, the onset of the Cold War had a chilling effect on international cooperation at all levels and this effectively froze the development of international criminal law for almost half a century.\(^{16}\)
In contrast, norms and implementation in the field of international human rights managed to grow and develop in fits and starts since 1945, mainly because governments found the UN Commission on Human Rights provided a valuable forum in which to attack the human rights practices of countries they did not like.\(^{17}\) However, while human rights norms and mechanisms began to develop throughout the Cold War, minority rights protection remained on the sidelines of international human rights law. In the immediate aftermath of the Second World War, particularly when Hitler’s abuse of the minority rights treaty system was fresh in the minds of policy makers, States remained wary of developing human rights in terms of minority rights guarantees. At the same time, American liberal political ideology found expression in the Universal Declaration of Human Rights,\(^{18}\) elaborated by the UN Commission on Human Rights under the guidance of Chairperson Ms. Eleanor Roosevelt,\(^{19}\) and in the International Covenant on Civil and Political Rights\(^{20}\) and the International Covenant on Economic, Social and Cultural Rights.\(^{21}\) Thus, in the early days of the United Nations, minority rights protection through domestic mechanisms
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\(^{15}\) The grave breaches provisions of the four Geneva Conventions, 1949, are found in Articles 50 of Convention I, 51 of Convention II, 130 of Convention III, and 147 of Convention IV.
\(^{16}\) See generally L. S. Sunga, *The Emerging System of International Criminal Law: Developments in Codification and Implementation* (1997).
\(^{17}\) See generally M. Lempinen, *Challenges Facing the System of Special Procedures of the United Nations Commission on Human Rights* (2001); M. van der Stoel, ‘Interview with Max van der Stoel, Special Rapporteur of the UN Commission on Human Rights on Human Rights in Iraq’ 10 *Netherlands Quarterly of Human Rights* (1992) pp. 277–302; L. S. Sunga, ‘The Special Procedures of the United Nations Commission on Human Rights: Should They Be Scrapped?’, in G. Alfredsson et al. (ed.), *International Human Rights Monitoring Mechanisms* (2001) pp. 231–275; and H. Tolley, *The UN Commission on Human Rights* (1987).
\(^{18}\) Universal Declaration of Human Rights, adopted by UN General Assembly resolution 217A (III) of 10 December 1948.
\(^{19}\) See G. Alfredsson and A. Eide (eds.), *The Universal Declaration of Human Rights: A Common Standard of Achievement* (1999) p. 782.
\(^{20}\) International Covenant on Civil and Political Rights, adopted 16 December 1966; entered into force 23 March 1976; U.N.T.S. No. 14668, vol 999 (1976) at 171.
\(^{21}\) International Covenant on Economic, Social and Cultural Rights, adopted 16 December 1966; entered into force 3 January 1976; U.N.T.S. No. 14531, vol. 993 (1976) at 3.
was effectively side-stepped with the elevation of individualistic human rights guarantees to the international level. If universal human rights standards could prove effective for everyone, who would need special ‘minority rights guarantees’?
The international community’s emphasis on individualistic human rights guarantees at the expense of group rights is reflected even in the ambiguous phrasing of Article 27 of the International Covenant on Civil and Political Rights which reads: ‘In those States in which ethnic, religious or linguistic minorities exist persons belonging to such minorities shall not be denied the right, in community with the other members of their group, to enjoy their own culture, to profess and practise their own religion, or to use their own language’. Instead of a positive right on the part of minorities to assert their own cultural, religious or linguistic distinctiveness in association with other members of the group, ‘persons belonging’ in other words, *individual minority group members* shall not be denied the right to enjoy their own culture etc. Article 27 also fails to call for special measures, i.e. programmes of preferential treatment to help address the problem of entrenched patterns of *de facto* inequality and to protect the rights of the minority as a group, and it conceives of cultural, religious and language rights almost purely in terms of individual rights.\(^{22}\) Fortunately, Article 1(4) of the International Convention on the Elimination of All Forms of Racial Discrimination\(^{23}\) provides that special measures do not count as forms of racial discrimination and the Convention refers both to groups and individuals.\(^{24}\)
More recently, States have shown greater willingness to revisit the question of minority group rights and in 1992 Yugoslavia introduced a draft which the UN General Assembly adopted as the Declaration on the Rights of Persons Belonging to National or Ethnic, Religious and Linguistic Minorities.\(^{25}\) In preambular paragraphs (which in any case are only hortatory), the Declaration underlines the contribution of minority rights ‘to the political and social stability of States in which they live’ and the promotion and protection of minority rights ‘to the strengthening of friendship and cooperation among peoples and States’. The text of the Declaration deliberately avoids references to ‘peoples’ or the principle of ‘self-determination’ and follows the highly individualistic tenor of Article 27 of the ICCPR. Nonetheless, the
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\(^{22}\) For the interpretation of the Human Rights Committee on Article 27 of the ICCPR, *see* General Comment 18(37); HRI/GEN/1 of 4 September 1992.
\(^{23}\) Adopted by General Assembly resolution 2106 (XX) of 21 December 1965, entered into force, 4 January 1969.
\(^{24}\) ‘special measures taken for the sole purpose of securing adequate advancement of certain racial or ethnic groups or individuals requiring such protection as may be necessary in order to ensure such groups or individuals equal enjoyment or exercise of human rights and fundamental freedoms shall not be deemed racial discrimination, provided, however, that such measures do not, as a consequence, lead to the maintenance of separate rights for different racial groups and that they shall not be continued after the objectives for which they were taken have been achieved’.
\(^{25}\) United Nations Declaration on the Rights of Persons Belonging to National or Ethnic, Religious and Linguistic Minorities, adopted by the General Assembly in resolution 47/135 of 18 December 1992.
Declaration does provide in Article 1 that: ‘States shall protect the existence and the national or ethnic, cultural, religious and linguistic identity of minorities within their respective territories and shall encourage conditions for the promotion of that identity’ and it obliges States to adopt appropriate legislative and other means to that effect. In addition to reiterating non-discrimination guarantees, the Declaration in Article 3 underlines the right of persons to exercise minority rights ‘individually as well as in community with other members of their group’. More concretely, Article 4 of the Declaration urges States to take measures ‘to create favourable conditions to enable persons belonging to minorities to express their characteristics and to develop their culture, language, religion, traditions and customs, except where specific practices are in violation of national law and contrary to international standards’ including to preserve the opportunity to learn one’s mother tongue, history, traditions, language and culture and to participate fully in the economic development of their country. Such measures are subject, of course, to the Article 8(4) proviso that: ‘Nothing in the present Declaration may be construed as permitting any activity contrary to the purposes and principles of the United Nations, including sovereign equality, territorial integrity and political independence of States’.
One must add of course that, as a resolution of the UN General Assembly, the Declaration is not legally binding in any way, although it remains a valuable register of the current sentiments of States on this important issue. Significantly, the Declaration was followed up with the establishment in 1995 of the Working Group on Minorities under the Sub-Commission on Promotion and Protection of Human Rights (known formerly as the Sub-Commission on Prevention of Discrimination and Protection of Minorities), consisting of five members of the Sub-Commission. The Working Group meets for one week annually in May in Geneva to consider ways in which to promote and protect the minority rights enunciated in the Declaration.\(^{26}\)
Despite the evident lack of consensus on most core issues, the World Conference on Racism, Racial Discrimination, Xenophobia and Other Forms of Related Intolerance held in Durban, South Africa, in August – September 2001, did manage to set up a Working Group of People of African Descent to explore constructive solutions with regard to persistent discrimination against African origin minorities around the globe. As well, there have been some important initiatives in the area of the rights of indigenous peoples, namely, the establishment of the Working Group on Indigenous Populations under the UN Sub-Commission on the Promotion and Protection of Human Rights which has been working on a draft declaration on the rights of indigenous peoples, as well as the establishment of the Permanent Forum on Indigenous Issues.\(^{27}\)
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\(^{26}\) *See further*, Final text of the Commentary to the Declaration on the Rights of Persons Belonging to National or Ethnic, Religious and Linguistic Minorities, by Asbjørn Eide, Chairperson of the Working Group on Minorities of the Sub-Commission, on the Promotion and Protection of Human Rights; E/CN.4/Sub.2/AC.5/2001/2 of 2 April 2001.
\(^{27}\) UN Draft Declaration on the Rights of Indigenous Peoples; UN Doc E/CN.4/Sub.2/1994/2/Add.1 of 20 April 1994.
To further round out the picture, one must mention that existing human rights implementation mechanisms at the global and regional levels accommodate minority claims in one way or other. Nothing prevents minority group members to send communications to the United Nations alleging a violation of their human rights. Once received by the UN, such communications are passed to the Working Group of Communications of the UN Sub-commission on Promotion and Protection of Human Rights for examination under the confidential ECOSOC resolution 1503 procedure, 'with a view to determining whether to refer to the Commission on Human Rights particular situations which appear to reveal a consistent pattern of gross and reliably attested violations of human rights requiring consideration by the Commission'. Such situations can then be referred to the Commission on Human Rights for consideration as to whether they should become the subject of public investigation, study and reporting procedures under ECOSOC resolution 1235. In this connection, one must mention also that special rapporteurs and independent experts of the Commission on Human Rights can also highlight minority rights issues as they see fit. As for conventional human rights mechanisms, in addition to the Human Rights Committee consideration of individual complaints under the Optional Protocol as regards an alleged breach of Article 27 of the International Covenant on Civil and Political Rights, minority rights issues have come before other human rights treaty bodies, namely: the Committee on Economic, Social and Cultural Rights; and the Committee on the Rights of the Child (which do not have individual complaints faculties); the Committee on the Elimination of Racial Discrimination; the Committee on the Elimination of Discrimination against Women; and the Committee against Torture. In short, minority rights issues have arisen frequently before each of these bodies in the context of State reporting and through the consideration of individual complaints where this faculty exists.
At the regional level, one must mention the European Convention on Human Rights, the Inter-American Convention on Human Rights and the African Convention on Human and Peoples' Rights, as legal grounds for possible minority rights claims in one form or another, although it must be noted that none of these instruments actually refer explicitly to 'minorities' or 'minority rights'. More recently however, the Council of Europe's Committee of Ministers adopted in 1994 the Framework Convention for the Protection of National Minorities, which entered into force in 1998. The Framework Convention represents perhaps the most comprehensive legally binding multilateral treaty ever concluded on minority rights
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28 European Convention on Human Rights, adopted on 4 November 1950 in Rome, entered into force 3 September 1953.
29 The American Convention on Human Rights, signed on 22 November 1969, entered into force on 18 July 1978, OAS Treaty Series No. 36 at 1.
30 African Charter on Human and Peoples' Rights, adopted 27 June 1981, entered into force 21 October 1986; OAU Doc. CAB/LEG/67/3 Rev. 5; 21 ILM 58 (1982). See also the Protocol to the African Charter on Human and Peoples' Rights on the Establishment of an African Court of Human Rights on Human and Peoples' Rights, adopted on 10 June 1998; OAU Doc. CAB/LEG/66/5, not yet entered into force.
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and signals that States seem to be more willing to return to minority rights questions.
Taking a bird's eye view of the development of international minority rights guarantees since 1945 one sees that, in the aftermath of World War II when Hitler's use of minority rights guarantees to legitimize gross transgressions of international law and State sovereignty were fresh in the public mind, Governments chose to elaborate human rights norms almost exclusively in individualistic terms. The expansion in the size of the international community to accommodate African and Asian States that had liberated themselves from the yoke of colonial domination by the late 1950's and 1960's consolidated governmental wariness over minority rights guarantees. International boundaries that had been arbitrarily drawn by the former colonial Powers remained in force according to the uti possidetis principle and most of the newly independent States suddenly had to cope with challenges from minority groups which found that authoritarian colonial administrations had been replaced by authoritarian Governments. The political climate of the Cold War in which each superpower sought to undermine the influence of the other in countries around the globe through proxy wars and covert aid to dissidents, who often comprised ethnically, racially or religiously distinct groups fighting for self-determination, further discouraged States from developing strong and effective minority rights guarantees at the international level.
All these factors explain why minority rights guarantees were virtually dropped from the international agenda in the immediate post-World War II political climate and were not picked up again for decades. Recently however, the international community has had to deal more explicitly with minority rights protection and promotion, and the post Cold War climate has made it possible to establish international criminal law enforcement mechanisms that serve this purpose.
3. POST-COLD WAR RESURGENCE OF MINORITY RIGHTS VIOLATIONS AND THE RENAISSANCE OF INTERNATIONAL CRIMINAL LAW THROUGH THE ICTY AND ICTR
The efforts of the modern constitutional State to downplay race, ethnicity, culture, language and religion have not been completely successful, perhaps because classic liberal prescriptions of individualism and formal legal civil liberties against the
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31 Framework Convention for the Protection for National Minorities, adopted 10 November 1994, opened for signature 1 February 1995, entered into force 1 February 1998; ETS 157; 34 ILM 351 (1995).
32 Uti possidetis is Latin for 'as you now possess'. This principle was affirmed in a resolution AGH/Res. 16 (I) adopted in Cairo in July 1964 at the first summit conference following the establishment of the Organization of African Unity, in which all member States 'solemnly ... pledge themselves to respect the frontiers existing on their achievement of national independence'. See also Case concerning the Frontier Dispute (Burkina Faso/Republic of Mali), 1986 ICJ Reports, Judgment of the International Court of Justice of 22 December 1986, paras. 20-26 et. seq.
power of the State have often left minority groups feeling alienated and disenfranchised. The situation is far worse in countries ruled by illiberal or authoritarian regimes and therefore we are not likely to see ‘the end of history and the last man’\(^{33}\) anytime soon, but rather continued ethnic and denominational strife wherever minority rights are systematically abused, although an all-out ‘clash of civilizations’\(^{34}\) seems a bit far-fetched, even in our times of terrorist troubles. One can recall that Yugoslavia was once considered by many to have been an exemplary multinational State, that ethnically distinct former Soviet Socialist Republics have defected *en masse* from the bosom of Mother Russia, while violence rages on in Azerbaijan (Nagorno-Karabakh), Chechnya and Dagestan. Ethnic conflict continues to loom large in Rwanda and Burundi, Afghanistan, Burma and Congo (Brazzaville), the Democratic Republic of Congo, Abkhazia/Georgia, Ossetia, in many parts of India and Pakistan, in Aceh and Kalimantan and Papua New Guinea, Somalia, Sudan and Turkey, to name just a few places.
Given the weakness of international minority rights guarantees and the failure of some States to protect minorities against severe violations, the international community has had to turn to international criminal law enforcement as a way of suppressing violations that amount to crimes under international law.
The systematic and widespread violations perpetrated in the territory of the former Yugoslavia impelled the UN Security Council to establish the International Criminal Tribunal for the Former Yugoslavia in 1993\(^{35}\) to address genocide, war crimes and crimes against humanity which were perpetrated mainly along ethnic, religious and cultural lines. In 1994, an even worse catastrophe in Rwanda - another story of ethnocultural enmity and terror – motivated the Security Council to establish the International Criminal Tribunal for Rwanda.\(^{36}\)
It is worth recalling that Tito had suppressed extreme ethnic nationalism consistently throughout Yugoslavia during his rule from 1946 until he died in 1980. Shortly after Tito’s death, individual states within Yugoslavia intensified their quest for greater autonomy from the central Government. Slovenia first opted to secede from Yugoslavia following a December 1990 referendum on the issue and declared its independence on 8 May 1991 providing other Yugoslavian states with a bold example that secession was indeed possible. Slovenia’s swift secession stimulated dormant minority rights claims for greater territorial and political autonomy and led quickly to ethnic and religious violence to avenge the harm, suffering and distress from wounds inflicted in past times. The Serbs of Croatia declared their independence from what was left of the Federation of Yugoslavia on 16 March 1991 and Bosnia-Herzegovina, after 63 per cent voted for the emergence of an independent Republic, declared independence in April 1992. This event led Serb nationalist militia, including some soldiers from the Yugoslav National Army to invade parts of Bosnia-Herzegovina while the Serb Republic proclaimed its independence under Serbian Democratic Party leader Radovan Karadzic, headquartered in Pale.\(^{37}\) By this time, Serbian leaders were carrying out a policy of genocide dubbed ‘ethnic cleansing’ to clear Bosnian Muslims out of Serb occupied territories.
When Yugoslavia dissolved in 1992, a number of the Governments of the newly emergent States were either unable or unwilling to prosecute the perpetrators of serious violations of international human rights and humanitarian law. In some cases, the judiciary was either intimidated from prosecuting alleged offenders because the Government responsible remained in power, or it lacked the necessary independence from the Executive to prosecute alleged offenders and considered them ‘war heroes’ rather than criminals. People were getting away with murder.
In response to a stream of alarming media reports and NGO alerts, the UN Commission on Human Rights held its first ever special session and appointed a special rapporteur ‘to investigate first hand the human rights situation in the territory of the former Yugoslavia, in particular within Bosnia and Herzegovina’.\(^{38}\) In his first report,\(^{39}\) the Special Rapporteur documented a shocking range of minority rights violations and called for the prosecution of individual perpetrators to halt the ongoing violence and to deter future crimes from being committed.\(^{40}\) He also called for the establishment of a commission to assess and further investigate specific cases in which prosecution may be warranted and to include data already collected by various UN entities, other intergovernmental organizations and NGOs.\(^{41}\) This eventually led to a number of Governments, international organizations and NGOs calling for international prosecutions to be conducted\(^{42}\) and in response, on 6
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\(^{33}\) See F. Fukuyama, *The End of History and the Last Man* (1992).
\(^{34}\) S. P. Huntington, *The Clash of Civilizations and the Remaking of World Order* (1996).
\(^{35}\) See Report of the Secretary-General pursuant to Paragraph 2 of Security Council resolution 808 (1993), including the Statute of the Tribunal; UN Doc. S/25704 of 3 May 1993 & Add.1 of 17 May 1993.
\(^{36}\) See Security Council resolution 955, adopted with 13 votes for, China abstaining, and Rwanda against, on 8 November 1994.
\(^{37}\) In July 1996, Karadzic was indicted by the International Criminal Tribunal for the Former Yugoslavia.
\(^{38}\) *See Report on the situation of human rights in the territory of the former Yugoslavia submitted by Mr. Tadeusz Mazowiecki, Special Rapporteur of the Commission on Human Rights, pursuant to paragraph 14 of Commission resolution 1992/S-1/1 of 14 August 1992, E/CN.4/1992/S-1/9*, 28 August 1992.
\(^{39}\) *Ibid.*, Chapter I.
\(^{40}\) *Ibid.*, at para. 69.
\(^{41}\) *Ibid.*, at para. 70.
\(^{42}\) *See e.g.* E/CN.4/1992/S-1/10 of 27 Oct. 1992 at para 18 as well as Annex II (Statement by Dr. Clyde Snow). *See also* Report of the Special Rapporteur (transmitted by the Secretary-General to the Security Council and General Assembly) A/47/666; S/24809 of 17 November 1992, para. 140, where Mr. Mazowiecki stated: ‘There is growing evidence that war crimes have been committed. Further investigation is needed to determine the extent of such acts and the identity of those responsible, with a view to their prosecution by an international tribunal, if appropriate’. *See further* the later reports of the Special Rapporteur for more details on the human rights situation in the former Yugoslavia: E/CN.4/1993/50 of 10 Feb. 1993; E/CN.4/1994/3 of 5 May 1993; E/CN.4/1994/4 of 19 May 1993; E/CN.4/1994/6 of 26 August 1993; E/CN.4/1994/8 of 6 September 1993; E/CN.4/1994/47 of 17 November 1993; E/CN.4/
October 1992, the Security Council adopted resolution 780\(^{43}\) establishing a Commission of Experts
‘to examine and analyze the information submitted pursuant to resolution 771 (1992) and the present resolution, together with such further information as the Commission of Experts may obtain through its own investigation or efforts, of other persons or bodies pursuant to resolution 771 (1992), with a view to providing the Secretary-General with its conclusions on the evidence of grave breaches of the Geneva Conventions and other violations of international humanitarian law committed in the territory of the former Yugoslavia’.
Finally, on 25 May 1993, the Security Council adopted resolution 827 to establish the ICTY ‘for the sole purpose of prosecuting persons responsible for serious violations of international humanitarian law committed in the territory of former Yugoslavia between 1 January 1991 and a date to be determined by the Security Council upon the restoration of peace’.
As of 31 December 2002, 42 accused were in custody at the ICTY Detention Unit, 11 had been provisionally released, 23 arrest warrants were outstanding, 19 had been transferred or released, there were 30 completed cases and 34 accused had been tried. Slobodan Milosevic and a number of other high level leaders and commanders were in the process of being tried.\(^{44}\)
In the case of Rwanda, the international community had been given fair warning of the impending disaster in a report of 11 August 1993 in which the Special Rapporteur of the UN Commission on Human Rights on extrajudicial, summary or arbitrary executions\(^{45}\) drew attention to continuing serious human rights violations in Rwanda and flagged that these violations might constitute ‘genocide’.\(^{46}\) At this juncture, it is important to remember that the United Nations had already preoccupied itself with the deteriorating situation in the Great Lakes region of Africa and on 24 September 1993, UN Secretary-General Mr. Boutros-Boutros Ghali recommended that the Security Council should authorize an international military force to ensure compliance with the Arusha Accords, and in fact succeeded in establishing the ‘United Nations Assistance Mission in Rwanda’ (UNAMIR) with the adoption on 5 October 1993 of Security Council resolution 872. However, these peace manoeuvres by the international community were viewed by extremist Hutu militia in Rwanda as proof that the Government of Rwanda was merely a puppet of foreign Tutsi interests and in the final months of 1993, these extremist Hutu elements planned the full-scale elimination of the Tutsi people by training groups of 300 persons how to conduct systematic massacres of unarmed civilians. Despite the presence of UN peace-keepers in Kigali to enforce the Arusha Accords, the international community failed to intervene.
Tragically Prime Minister Agathe Uwilingiyimana, as well as 10 Belgian peace-keeping soldiers assigned to protect her, were murdered by soldiers of the Rwandese Government on 7 April 1994 – a day after the downing of the aircraft that carried the Presidents of Rwanda and Burundi into Kigali, provoking the sudden withdrawal of Belgium’s UNAMIR contingent from Rwanda on 12 April for fear of further attacks which cleared the way for Hutu extremists to carry out the genocide unimpeded by foreign forces. The international community did little to prevent the genocide while it raged on from 6 April 1994 until the end of June 1994, at which time Paul Kagame’s Rwandan Patriotic Front stopped the massacres and took control of the country from the génocidaires. From 6 April until around the end of May 1994, the génocidaires succeeded in wiping out approximately one million mainly Tutsi men, women and children while the world watched. Again, the international community had failed to act decisively in time to prevent severe minority rights violations.
Following the approach it took with regard to the violations being perpetrated in the former Yugoslavia, the Security Council adopted resolution 935 on 1 July 1994, establishing a Commission of Experts to provide the Secretary-General with ‘its conclusions on the evidence of grave violations of international humanitarian law committed in the territory of Rwanda, including the evidence of possible acts of genocide’. On 8 November 1994, the Security Council passed resolution 955 creating the International Criminal Tribunal for Rwanda, with its Statute as the resolution’s annex, reiterating its ‘grave concern at the reports indicating that genocide and other systematic, widespread and flagrant violations of international humanitarian law have been committed in Rwanda’ and determining that the situation constituted a continuing threat to international peace and security. As of 31 December 2002, the ICTR had completed 11 cases and 64 were in progress.\(^{47}\)
However, as \textit{ad hoc} international criminal tribunals created after the main part of the violations had already been committed, the ICTY and ICTR have probably exerted a rather limited deterrent effect. The vagaries of international diplomacy and relations and the continuation of Big Power politics made the whole process of the Security Council’s establishment of the \textit{ad hoc} international criminal tribunals one of political whim and public caprice and this situation effectively annulled the possibility of such tribunals for Afghanistan, Burundi, the Democratic Republic of
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\(^{43}\) See S/Res/780 (1992) adopted by the Security Council at its 3119\(^{th}\) meeting, 6 October 1992. Reprinted in 31 International Legal Materials (1992) 1476.
\(^{44}\) See <www.un.org/icty/glance/index.htm> last accessed on 31 December 2002.
\(^{45}\) See the report of Mr. Bacre Waly Ndiaye on his mission to Rwanda from 8–17 April 1993, E/CN.4/1994/7/Add.1 of 11 August 1993.
\(^{46}\) \textit{Ibid.}, paras. 78–80.
\(^{47}\) See <www.ictr.org/> last accessed 31 December 2002.
Congo, Chechnya, Colombia or anywhere else, except for Sierra Leone, where a Special Court was established.\textsuperscript{48}
Despite having encountered serious difficulties early on, the ICTY and ICTR must now be judged successes, and more importantly, they have pointed the way to move beyond mainly retrospective ‘too little too late’ solutions towards a standing permanent international criminal court to act \textit{prospectively} wherever violations may be perpetrated.
\section*{4. THE ICC’S CONTRIBUTION TO MINORITY RIGHTS PROTECTION}
Before considering the ways in which the ICC can contribute to minority rights protection, it is valuable to review the basic principles underlying this newly established institution, its general relevance to minority rights protection, and then to consider more specific aspects of the ICC, in particular, the principle of complementarity, the crimes covered and certain procedural aspects.
\subsection*{4.1. The ICC’s Relevance to Minority Rights Protection}
As discussed above, \textit{ad hoc} tribunals are typically limited in temporal and material competence and tend to be established after the major part of violations have already been committed. As such, they are essentially retrospective and their deterrent value is limited. Moreover, the process to establish \textit{ad hoc} tribunals is inherently politically selective and to that extent, arbitrary, because it depends upon the will of a political body – the UN Security Council. Additionally, it is less efficient to establish diverse enforcement mechanisms for various countries each with different mandates and competences, which would duplicate functions, waste resources and hinder the coherent development of international criminal law jurisprudence.
The ICC is intended to be a permanent, standing institution that symbolizes the international community’s seriousness and commitment to prevent, punish and deter crimes under international law and dispel the climate of impunity for major crimes. As such, it can act prospectively, provide a more universal presence and provide more credible deterrence than \textit{ad hoc} criminal tribunals can. Article 1 of the Rome Statute captures the ICC’s essence by stating that the ICC: shall be permanent; shall exercise jurisdiction over persons (i.e. natural persons and not corporations or States); shall cover only the most serious crimes of international concern, in other words, that the ICC is not designed to intervene every time crimes of purely local concern are committed; and shall be \textit{complementary} to national criminal jurisdictions.
The principle of complementarity means that the ICC is not intended to replace the domestic obligation to prosecute crimes and it must be kept in mind that States
\textsuperscript{48} In Sierra Leone, broad amnesties have been doled out as the price of peace. Now that the killing and raping and maiming of innocent civilians has been carried out, soldiers and commanders seem quite happy to return home to fight another day – perhaps in another conflict for another set of amnesties.
have the right and the responsibility either to prosecute or extradite alleged offenders of certain crimes even where such crimes are not committed by a national of that country, where the crimes was not committed in the country’s territory, or even without any other connection to the prosecuting State. The ICC is designed to act only where a State will not or cannot prosecute individuals for the crimes under the Rome Statute.
\subsection*{4.2. ICC Protection of Minority Rights in Terms of Crimes Covered}
Broadly speaking, the Rome Statute covers only the most severe crimes under international law i.e. those categories of violations of a more systematic and widespread character: genocide, war crimes and crimes against humanity\textsuperscript{49} – all crimes that figure typically in severe minority rights abuse.
\textit{Genocide}
Looking more closely at the specific crimes covered by the Rome Statute from the angle of minority rights protection, we see that the crime of genocide has been basically lifted from the Genocide Convention, 1948.\textsuperscript{50} Article 6 of the Rome Statute takes the definition of ‘genocide’ word for word from part of Article II of the Genocide Convention, 1948 as follows:
‘genocide means any of the following acts committed with intent to destroy, in whole or in part, a national, ethnical, racial, or religious group, as such:
(a) Killing members of the group;
(b) Causing serious bodily or mental harm to members of the group;
(c) Deliberately inflicting on the group conditions of life calculated to bring about its physical destruction in whole or in part;
\textsuperscript{49} The crime of aggression, that is, the international use of force beyond that permitted by the UN Charter or general international law, had to be included as well because war creates the context in which serious violations are frequently committed. Delegations to the Rome Conference realized that for the ICC to address only the consequences of aggression without addressing aggression as a crime itself would produce a prosecutorial paradox in which only the symptoms of war would be outlawed and not the launching of aggressive war itself. However, aggression has never been defined for the purposes of international criminal prosecution, and so definitive inclusion of this crime into the Rome Statute must await completion of this important task by the Assembly of State Parties to the ICC. See further Proposals pursuant to resolution F of the Final Act for a Provision on Aggression, including the Definition and Elements of Crimes of Aggression and the Conditions under which the International Criminal Court shall Exercise Its Jurisdiction with regard to This Crime UN Doc. PCNICC/2002/2/Add.2 and PCNICC/2002/WGCA/L.1 and Add.1.
\textsuperscript{50} Convention on the Prevention and Punishment of the Crime of Genocide, adopted unanimously 9 December 1948, entered into force 12 January 1951; 78 UNTS 277.
(d) Imposing measures intended to prevent births within the group;
(e) Forcibly transferring children of the group to another group.'
It is well known that during the drafting of the Genocide Convention, the main preoccupation was to prevent future extermination policies of the kind carried out by the Nazi German Government which tried to wipe out specific groups distinguishable from the majority population by relatively immutable and stable attributes. Accordingly, neither the Genocide Convention nor the Rome Statute provisions on genocide protect groups that may find themselves the target of Government crackdowns on political dissident movements, except to the extent that race, religion and ethnicity or other relatively immutable characteristics are involved.
Crimes against Humanity
The insertion of the new legal category of 'crimes against humanity' in the Nuremberg and Tokyo Charters alongside 'crimes against peace' and 'war crimes' was designed specifically to cover crimes committed by Germans against Germans, in other words, the violations of the Government of Germany of the rights of its own minority populations, 'namely, murder, extermination, enslavement, deportation, and other inhumane acts committed against any civilian population, before or during the war; or persecutions on political, racial or religious grounds in execution of or in connection with any crime within the jurisdiction of the Tribunal, whether or not in violation of the domestic law of the country where perpetrated.' The other two main avenues for the Allied prosecution of Axis crimes would not have been sufficient to sweep in the horrendous persecution and mass killing perpetrated by the Nazi Government against sections of its own population.
In the Rome Statute, crimes against humanity can be committed either during armed conflict, or in situations that qualify technically as peace-time. Article 7(1) lists the acts covered by the broad legal category of 'crimes against humanity', whereas Article 7(2) defines a number of key terms to guide the Court's adjudication on any crime against humanity. The chapeau to Article 7(1) makes clear that the prohibited acts only qualify as 'crimes against humanity' 'when committed as part of a widespread or systematic attack directed against any civilian population, with knowledge of the attack'.
The Rome Statute's refinement of 'crimes against humanity' makes an important contribution to minority rights protection by removing any necessary connection between the legal category of 'crimes against humanity' and the existence of an armed conflict. This is of capital importance because many severe minority rights violations are perpetrated in situations where the intensity of the violence falls below that required to qualify them as 'armed conflicts'. In effect, this represents an important lowering of the threshold for the applicability of 'crimes against humanity' and one hopes, an increasing level of deterrence for would-be perpetrators of minority rights violations.
On the other hand, Article 7(1) does not bring isolated acts listed as 'crimes against humanity' within ICC jurisdiction, but only situations where the acts were 'committed as part of a widespread or systematic attack directed against any civilian population, with knowledge of the attack'. At the Rome Conference, States were not prepared to go further and confer upon the ICC authority to seize jurisdiction over isolated acts of murder, extermination, enslavement, etc. because they did not envisage the ICC either to function as a sort of human rights court competent to take individual complaints on this basis, or as an enforcement mechanism empowered to replace competent domestic authorities.
Finally, the kinds of acts listed under the umbrella of 'crimes against humanity' remain highly relevant to minority rights protection, in particular, the crime of 'extermination' can cover killings that might target a minority group, but which fall short of the definition of genocide. In fact, the formula for the Rome Statute's
51 See J. Kunz, 'The United Nations Convention on Genocide' 43 American Journal of International Law (1949) pp. 738–746; L. Leblanc, 'The Intent to Destroy Groups in the Genocide Convention: Proposed U.S. Understanding' 78 American Journal of International Law (1949) pp. 369–385; N. Robinson, The Genocide Convention: a Commentary 1960; and G. J. Andreopoulou, (ed.) Genocide: Conceptual and Historical Dimensions 1994. See further W. A. Schabas, Genocide in International Law (2000).
52 See M. Cherif Bassiouni, Crimes against Humanity in International Criminal Law: Second Revised Edition (1999); W. J. Fenrick, 'should Crimes Against Humanity Replace War Crimes?' 37 Columbia Journal of Transnational Law (1999) p. 767; Ph. Hwang, 'Defining Crimes' 22 Fordham International Law Journal (1998) p. 457; G. Mettraux, 'Crimes Against Humanity in the Jurisprudence of the International Criminal Tribunals for the Former Yugoslavia and for Rwanda', 43 Harvard International Law Journal (2002) p. 237; D. Robinson, 'Defining "Crimes Against Humanity" at the Rome Conference', 93 American Journal of International Law (1999) p. 43; B. Van Schaack, 'The Definition of Crimes Against Humanity: Resolving the Incoherence', 37 Columbia Journal of Transnational Law (1999) p. 787; L. S. Sunga, 'The Crimes within the Jurisdiction of the International Criminal Court (Part II, Articles 5–10)', 6:4 European Journal of Crime, Criminal Law and Criminal Justice (1998) pp. 377–399.
53 Article 7(1) provides that: 'For the purposes of this Statute, "crimes against humanity" means any of the following acts when committed as part of a widespread or systematic attack directed against any civilian population, with knowledge of the attack' and then lists the following specific acts: murder; extermination; enslavement; deportation or forcible transfer of population; imprisonment or other severe deprivation of physical liberty in violation of fundamental rules of international law; torture, rape, sexual slavery, enforced prostitution, forced pregnancy, enforced sterilization, or any other form of sexual violence of comparable gravity; persecution against any identifiable group or collectivity on political, racial, national, ethnic, cultural, religious, gender as defined in paragraph 3, or other grounds that are universally recognized as impermissible under international law, in connection with any act referred to in this paragraph or any crime within the jurisdiction of the Court; enforced disappearance of persons; the crime of apartheid; other inhumane acts of a similar character intentionally causing great suffering, or serious injury to body or to mental or physical health.
definition of 'crimes against humanity' comes from Article 6(c) of the Nuremberg Charter, 1945, which listed 'murder, extermination, enslavement, deportation and other inhumane acts committed against any civilian population before or during the war, or persecutions on political, racial, or religious grounds'. Interestingly, Articles 5 and 3 of the Statutes of the International Criminal Tribunals for the Former Yugoslavia and Rwanda, narrowed the definition of 'crimes against humanity' by altering the Nuremberg formula of 'persecutions on political, racial or religious grounds' to 'persecutions on political, racial and religious grounds'. Fortunately, the Rome Statute reintroduces the broad coverage originally intended for 'crimes against humanity' and in so doing increases minority rights protection in respect of the acts listed.
Another important contribution from the point of view of minority rights protection, comes in the form of Article 7(2)(h) of the Rome Statute which expands the scope of the crime of persecution beyond that expressed in the Nuremberg and Tokyo Charters and the narrower Yugoslavia and Rwanda Tribunal Statutes to cover:
'Persecution against any identifiable group or collectivity on political, racial, national, ethnic, cultural, religious, gender as defined in paragraph 3, or other grounds that are universally recognized as impermissible under international law, in connection with any act referred to in this paragraph or any crime within the jurisdiction of the Court.'
The reference in paragraph (h) to 'any identifiable group or collectivity' is considerably broader than terms in the Rome Statute employed for delimiting the scope of crimes. Moreover, paragraph (h) is non-exhaustive in that it refers to 'other grounds that are universally recognized as impermissible under international law'.
Yet another important development pertaining to minority rights protection is the introduction of 'enforced disappearance of persons' in Article 7(1)(l) of the Rome Statute. As we know, Governments have on many occasions resorted to the practice of enforced disappearances to rid the country of political opponents and to silence dissidents over such issues as greater autonomy for minority groups.
The Rome Statute definition of 'crimes against humanity' also encompasses 'rape, sexual slavery, enforced prostitution, forced pregnancy, enforced sterilization, or any other form of sexual violence of comparable gravity'. This expansion of the legal norms has to be particularly welcomed since international criminal law had for a long time paid scant attention to such horrendous crimes. It is important also that Article 7(1)(g) includes sexual slavery and enforced prostitution and forced pregnancy which have often been systematically perpetrated in territories under occupation, for example in many of the territories of the former Yugoslavia, by Japanese forces during World War II, during the genocide carried out in Rwanda in 1994, and in many other armed conflicts. Moreover, the formula 'or any other form of sexual violence of comparable gravity' allows the ICC to bring a flexible interpretation to these sorts of crimes rather than to have to take an overly narrow or technical approach.
Finally in connection with 'crimes against humanity' one must mention also the crime of apartheid which Article 7(2)(j) of the Rome Statute defines as 'an institutionalized regime of systematic oppression and domination by one racial group over any other racial group or groups and committed with the intention of maintaining that regime'.
**War Crimes**
The Rome Statute's definition of 'war crimes' also contributes to minority rights protection because it establishes that war crimes can be committed either in international or non-international armed conflict situations. Prior to the Rome Statute, it had been unclear as to whether the kinds of acts that qualified as 'war crimes' in international armed conflict, could also be considered to import individual criminal responsibility in the context of non-international armed conflict. Certain Delegations to the Rome Conference, supported by a wide range of NGOs, insisted that because civil wars have become much more frequent relative to inter-State wars, the ICC had to be conferred competence over war crimes committed in non-international armed conflict situations as well. This view ultimately prevailed and accordingly Article 8(2) of the Rome Statute distinguishes among four categories of 'war crimes'. Concerning international armed conflict, Article 8(2) defines 'war crimes' as grave breaches of the Geneva Conventions of 1949 and secondly, 'other serious violations of the laws and customs applicable in international armed conflict, within the established framework of international law'. As for non-international armed conflict, Article 8(2) defines 'war crimes' as serious violations of Article 3 common to the four Geneva Conventions and secondly, 'other serious violations of the laws and customs applicable in armed conflicts not of an international character, within the established framework of international law'.
The ICC has to apply the Rome Statute's provisions on war crimes subject to Article 8(1) which provides that the 'Court shall have jurisdiction in respect of war crimes in particular when committed as part of a plan or policy or as part of a large-scale commission of such crimes', in other words, only in cases where there is a certain level of organization and the violations have been carried out in the context of a command structure (whether that of a State or otherwise), rather than with respect to isolated acts or those committed outside any responsible authority whatsoever.
**4.3. Procedural Aspects of the ICC's Protection of Minority Rights**
Minority groups can access the available ICC procedures in order to spur the response of the international community in any situation where the violations in question amount to crimes under international law coming within the ICC's jurisdiction as described above.
It is important to note that the ICC Prosecutor has an independent role in the sense that he or she has the authority to initiate investigations on his/her own motion, and gather information from any reliable source. Minority group members
suffering serious violations can draw the attention of the ICC Prosecutor to the matter, who then has to determine whether the State having jurisdiction over the territory is both willing and able to prosecute the perpetrators. In other words, as mentioned briefly above, the ICC can seize jurisdiction over a situation only where the State or States with jurisdiction to prosecute remains or remain unwilling or unable to prosecute. In addition to the inability or unwillingness of the competent State to prosecute offenders for crimes under ICC jurisdiction, the ICC will not seize jurisdiction unless the preconditions to the exercise of jurisdiction have been satisfied, i.e. unless: 1) a State Party to the Rome Statute accepts the ICC’s jurisdiction;54 2) a State Party refers a situation to the ICC;55 3) the person accused of the crime is a national of a State Party;56 4) the UN Security Council acting under Chapter VII of the Charter of the United Nations refers the situation to the Prosecutor;57 or 5) the Prosecutor himself or herself has initiated an investigation *proprio motu* on the basis of information from ‘States, organs of the United Nations, intergovernmental or non-governmental organizations, or other reliable sources that he or she deems appropriate’.58
It is important to bear in mind that the Prosecutor’s investigation is subject to the judicial oversight of the Pre-Trial Chamber, which has to determine whether ‘there is a reasonable basis to proceed’. At this stage in the ICC process, victims can make representations to the Pre-Trial Chamber, and equally, minority group members that have suffered violations that qualify as crimes within the ICC’s jurisdiction can make their cases known.59
In effect, the establishment of the ICC means that minority groups now enjoy the opening up of an entire new institutional framework to halt, suppress, prosecute and punish minority violations that constitute crimes under international law under the Rome Statute, as long as all ICC jurisdictional criteria are met.
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54 Article 12(2)(a) of the Rome Statute.
55 Article 13(a) of the Rome Statute.
56 Article 12(2)(b) of the Rome Statute
57 Article 13(b) of the Rome Statute.
58 Articles 13(c) and 15 of the Rome Statute.
59 In addition to the initiation of investigations by the Prosecutor *ex proprio motu*, a State Party may refer a situation to the Prosecutor requesting him or her to investigate (Article 14), the Security Council may invoke Chapter VII and refer a situation to the ICC pursuant to Article 13, or the Pre-Trial Chamber may review a decision of the Prosecutor not to proceed, in essence, reactivating an investigation. There are of course a number of checks and balances within the ICC, such as the fact that under the Rome Statute, the Security Council can defer an investigation into a situation for a period of 12 months, if it manages to adopt a resolution pursuant to Chapter VII of the UN Charter to this effect, and it can renew this deferral. Moreover, the jurisdiction of the ICC in a given case can be challenged by an accused, a State having jurisdiction over the case as well as a State whose jurisdiction is necessary under Article 12 of the Rome Statute to proceed. See Article 19 of the Rome Statute.
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Highway Boondoggles
Wasted Money and America’s Transportation Future
WISPIRG Foundation
Highway Boondoggles
Wasted Money and America’s Transportation Future
WISPIRG Foundation
Jeff Inglis,
Frontier Group
Phineas Baxandall, Ph.D.,
U.S. PIRG Education Fund
September 2014
Acknowledgments
The authors wish to thank Kevin Brubaker of Environmental Law and Policy Center; Patrick J. Kennedy of Space Between Design Studio; Julie Mayfield of the Western North Carolina Alliance; Cary Moon of People’s Waterfront Coalition; Akshai Singh of Ohioans for Transportation Choice; Clark Williams-Derry of Sightline Institute; and several people who wished to remain anonymous for their review and comments. Thanks to Frontier Group intern Danielle Elefritz and MASSPIRG Education Fund intern Jess Nahigian for their contributions to this report. Thanks also to Tony Dutzik and Tom Van Hecke of Frontier Group for editorial support.
WISPIRG Foundation and Frontier Group gratefully acknowledge the earlier support of the Rockefeller Foundation for projects upon which this research draws.
The authors bear responsibility for any factual errors. Policy recommendations are those of WISPIRG Foundation. The views expressed in this report are those of the authors and do not necessarily reflect the views of our funders or those who provided review.
© 2014 WISPIRG Foundation. Some Rights Reserved. This work is licensed under a Creative Commons Attribution Non-Commercial No Derivatives 3.0 Unported License. To view the terms of this license, visit creativecommons.org/licenses/by-nc-nd/3.0.
With public debate around important issues often dominated by special interests pursuing their own narrow agendas, the WISPIRG Foundation offers an independent voice that works on behalf of the public interest. The WISPIRG Foundation works to protect consumers and promote good government. We investigate problems, craft solutions, educate the public, and offer citizens meaningful opportunities for civic participation. For more information about WISPIRG Foundation or for additional copies of this report, please visit wispirgfoundation.org.
Frontier Group provides information and ideas to help citizens build a cleaner, healthier, fairer and more democratic America. We address issues that will define our nation’s course in the 21st century—from fracking to solar energy, global warming to transportation, clean water to clean elections. Our experts and writers deliver timely research and analysis that is accessible to the public, applying insights gleaned from a variety of disciplines to arrive at new ideas for solving pressing problems. For more information about Frontier Group, please visit www.frontiergroup.org.
Layout: Harriet Edstein Graphic Design
Cover: Clockwise from top left: Washington State Department of Transportation, Ohio Department of Transportation, Michigan Department of Transportation, Transportation Corridor Agencies, Colorado Department of Transportation, Mode Shift
# Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Executive Summary | 1 |
| Introduction | 6 |
| Americans’ Driving Habits Have Changed; Government Transportation Spending Habits Have Not | 8 |
| Why Americans Are Driving Less | 8 |
| The U.S. Still Spends Vast Amounts of Money on Highway Expansion | 10 |
| Eleven Questionable Highway Projects Demonstrate the Need for New Priorities | 12 |
| Seattle’s Alaskan Way Viaduct | 12 |
| Extending California 241 | 15 |
| Interstate 11 from Phoenix to Las Vegas | 18 |
| Dallas Trinity Parkway | 19 |
| Tolled Express Lanes on Colorado 470 | 21 |
| Double-decking I-94 in Milwaukee | 23 |
| Widening Detroit’s I-94 | 25 |
| Illiana Expressway | 28 |
| Cleveland’s Opportunity Corridor | 30 |
| Georgia’s Effingham Parkway | 34 |
| North Carolina’s I-26 Connector | 36 |
| Policy Recommendations | 38 |
| Notes | 40 |
Americans drive no more in total now than we did in 2005, and no more on average than we did at the end of Bill Clinton’s first term as president. The recent stagnation in driving comes on the heels of a six decade-long Driving Boom that saw steady, rapid increases in driving and congestion across the United States, along with the investment of more than $1 trillion of public money in highways.
But even though the Driving Boom is now over, state and federal governments continue to pour vast sums of money into the construction of new highways and expansion of old ones—at the expense of urgent needs such as road and bridge repairs, improvements in public transportation and other transportation priorities.
Eleven proposed highway projects across the country—slated to cost at least $13 billion—exemplify the need for a fresh approach to transportation spending. These projects, some of them originally proposed decades ago, either address problems that do not exist, or have serious negative impacts on surrounding communities that undercut their value. They are but a sampling of many questionable highway projects across the country that could cost taxpayers tens of billions more dollars to build, and many more billions over the course of upcoming decades to maintain.
With the federal Highway Trust Fund on life support, states struggling to meet basic infrastructure maintenance needs, and growing demands for investment in public transportation and other non-driving forms of transportation, America does not have the luxury of wasting tens of billions of dollars on new highways of questionable value. State and federal decision-makers should reevaluate the need for the projects profiled in this report and others that no longer make sense in an era of changing transportation priorities.
America’s driving habits are changing, and those changes are likely to last.
The total number of miles Americans drive is lower than it was in 2005, while per-capita driving has fallen by 7 percent in the last nine years. (See Figures ES-1 and ES-2.) If old Driving Boom trends had continued, Americans would currently drive an average of about 11,300 miles annually instead of the current
average which has fallen to just below 9,400. In fact, as Figure ES-1 shows, Americans are driving a total of about three hundred billion fewer annual miles today than if Driving Boom trends had continued. While the economic recession contributed to the fall in driving, the shift predates the recession by several years and many of the forces contributing to the fall in driving are likely to be lasting.
- The number of cars and licensed drivers per household both peaked during the 2000s and have subsequently declined. The workforce participation rate, which also increased during the Driving Boom years, has been falling and is expected to fall farther as the Baby Boomers age.
- Gasoline prices have been high for much of the last decade and government forecasters anticipate that they are unlikely to fall significantly in the foreseeable future.
- The long-term trend toward suburbanization has stopped. In the early 2010s, central cities grew faster than their suburbs for the first time in 90 years.
- The use of non-driving modes of transportation—transit, bicycling and walking—is on the rise. In addition, recent years have seen the emergence of new forms of mobility such as car-sharing, bikesharing and ridesharing whose influence is just beginning to be felt.
• Transportation behaviors have been changing fastest among members of the Millennial generation. Americans aged 16 to 34 drove 23 percent fewer miles on average in 2009 than they did in 2001. Millennials are not only the largest generation in the United States, but they will be the primary users of transportation infrastructure we build today.
**Despite the end of the Driving Boom, the United States continues to spend tens of billions of dollars each year on highway expansion.**
• U.S. federal, state and local governments spent roughly as much money on highway expansion projects in 2010 as they did a decade earlier, despite a dramatic change in anticipated future growth in driving. In 1999, the federal government anticipated that Americans would be driving 3.7 trillion miles per year by 2013—26 percent more miles than we actually did.
• States continued to spend $20.4 billion a year constructing new roads or expanding the capacity of existing roads between 2009 and 2011, according to Smart Growth America and Taxpayers for Common Sense. During that same period, states spent just $16.5 billion repairing and preserving existing roads, even as those roads’ surface conditions worsened.
• If the states had spent their road expansion money on repairs instead,
they could have halved the portion of road surfaces in poor condition by 2011. If that practice had continued, no state-owned roads would have surfaces in poor condition by the end of 2014.
States continue to spend tens of billions of dollars on new or expanded highways that are often not justified in terms of their benefits to the transportation system, or pose serious harm to surrounding communities. In some cases, officials are proposing to tack expensive highway expansions onto necessary repair and reconstruction projects, while other projects represent entirely new construction. Many of these projects began years or decades ago and have continued moving forward with no newer evaluation of whether their existence is justified.
Questionable projects poised to absorb billions of scarce transportation dollars include:
- **Seattle’s Alaskan Way Viaduct, Washington, $3.1 billion to $4.1 billion** – A cheaper transit-based alternative to an expensive highway tunnel has already been put in place as a stopgap during the much-delayed tunneling project. The stopgap’s successes could be built upon in order to achieve nearly all the same goals as the tunnel project for far less money.
- **Tesoro Extension to Toll Road 241, California, $200 million** – A proposed extension of a toll road already in danger of default because of lower-than-projected traffic.
- **Interstate 11, Arizona and Nevada, $2.5 billion** – A long-distance Interstate highway would be built in a corridor already well served by a non-Interstate highway that is not projected to become congested in the foreseeable future.
- **Dallas Trinity Parkway, Texas, $1.5 billion** – A nine-mile urban highway through the heart of Dallas would have a minimal impact on congestion while detracting from popular, ongoing efforts to make downtown Dallas an attractive place to live and work.
- **Tolled Express Lanes on Route 470, Colorado, $153 million** – The state’s own analysis assumes that the project won’t deliver net benefits until at least the early 2030s.
- **Double-decking I-94 in Milwaukee, Wisconsin, $800 million** – Insisting on a wider road despite its own data showing feared traffic increases are not materializing, the Wisconsin Department of Transportation wants to rebuild an existing highway as an eight-lane double-decker route through a narrow channel between three cemeteries, despite objections from local officials and citizen groups.
- **Widening I-94 through Detroit, Michigan, $2.7 billion** – Motor City area residents say they would rather live with current traffic congestion than pay for road widening projects. Nevertheless, state highway planners want to expand a highway through Detroit, further disconnecting two rebounding neighborhoods and demolishing 11 pedestrian-usable bridges.
- **Illiana Expressway, Illinois and Indiana, $1.3 billion to $2.8 billion** – A new privatized toll road proposed primarily to speed freight trucks across the Midwest may instead charge tolls too high to attract trucks, and will likely require hundreds of millions of dollars in taxpayer subsidies.
• **Cleveland Opportunity Corridor, Ohio, $331 million** – A $100-million-a-mile road has been proposed for a community where driving has been stagnant for years, and where residents are calling instead for repairs to existing roads and investment in transit improvements.
• **Effingham Parkway, Georgia, $49 million to $100 million** – A new road north and west of Savannah is intended to relieve the traffic burden from an existing state highway, where traffic is not keeping up with projections.
• **I-26 Connector, North Carolina, $400 million to $600 million** – A large part of this massive project includes widening a highway that does not have enough use to justify the expansion, in the process destroying homes and businesses in a mature livable neighborhood.
The diversion of funds to these questionable projects is especially harmful given that there is an enormous need for investment in repairs to existing roads, as well as transit improvements and investments in bicycling and pedestrian infrastructure, even as the federal Highway Trust Fund runs on empty. Federal and state governments should eliminate or downsize unnecessary or low-priority highway projects to free up resources for true transportation priorities.
Specifically, policy-makers should:
• Reconsider all plans for new and expanded highways in light of new transportation trends and recent changes in traffic volumes. This includes projects proposed to be completed via public-private partnerships.
• Reorient transportation funding away from highway expansion and toward repair of existing roads and investment in other transportation options.
• Encourage transportation investments that can reduce the need for costly and disruptive highway expansion projects. Investments in public transportation, changes in land-use policy, road pricing measures, and technological measures that help drivers avoid peak-time traffic, for instance, can often reduce congestion more cheaply and effectively than highway expansion.
• Reevaluate transportation forecasting models to ensure that they reflect changing preferences for housing and transportation among Millennials and others, and incorporate the availability of new transportation options such as carsharing, bikesharing and ridesharing.
• Invest in research and data collection to more effectively track and react to ongoing shifts in how people travel.
After World War II, the United States experienced decades of a self-perpetuating cycle: over and over again, new highways sparked new, automobile-oriented development that led Americans to drive more miles in their cars. As Americans drove more, they paid more in gasoline taxes, which was spent building more and bigger highways to alleviate the congestion that inevitably arose on the initial batch of highways. The newly uncongested highways sparked renewed development, which led to more driving, which further increased gas tax revenues and paid for more lane-miles to address the latest congestion problems.
This cycle continued until, early in the 21st century, the music stopped. The growth in vehicle travel in the U.S. slowed, then stopped, then reversed. Americans’ appetite for sprawling development and ever-longer commutes, once seemingly endless, began to abate. Gas tax revenues declined, partly as a result of rising vehicle fuel economy and the slower growth in driving. Meanwhile, the roads and bridges built during the early years of America’s highway building spree began to show their age, requiring ever more expensive repairs.
But amid all those changes, one thing stayed the same: public officials’ desire to build more, wider and bigger roads. Even as the federal government has been hurtling toward a “transportation fiscal cliff” with the potential insolvency of the Highway Trust Fund, many state and local officials have proven unwilling to change course, continuing to put forward expensive and fanciful proposals for new and bigger highways based on flimsy or outdated rationales.
Those rationales—of speculative and uncertain promises of economic development, of the urgent need to address hypothetical future congestion on roads that have recently seen declines in traffic—may once have been sufficient in the days when highway revenue seemed endless and the competing demands for transportation funds seemed few. Today, however, every dollar spent on a wasteful highway expansion project is a dollar that can’t be spent fixing our existing roads and transit systems, adding a new light rail line in a growing American city, or
exploring ways to serve America’s changing transportation needs more effectively and efficiently.
America faces tough choices. The good news, however, is that there is plenty of room for improvement. The 11 projects highlighted in this report illustrate a problem but also represent an opportunity—the amount of money that can be saved by cutting or downsizing these projects and others like them is more than enough to make a down payment on America’s 21st century transportation needs.
Americans’ Driving Habits Have Changed; Government Transportation Spending Habits Have Not
During the six decades after World War II, with short interruptions for crises such as the OPEC oil embargoes, Americans drove more and more each year. Annual miles driven per capita skyrocketed from 5,400 in 1970 to just over 10,000 in 2004.\(^1\) During this “Driving Boom,” government invested more than $1 trillion in highway capital projects, often expanding highway capacity with the intention of relieving growing congestion, but with the actual result of fueling even greater dependence on cars.\(^2\)
Today, however, the Driving Boom is over. Americans now drive no more in total than we did in 2005. (See Figure 1.) And we drive no more on average than we did at the end of Bill Clinton’s first term as president.\(^3\) (See Figure 2.) If old Driving Boom trends had continued, Americans would currently drive an average of about 11,300 miles annually instead of the current average which has fallen to just below 9,400. In fact, as Figure 1 shows, Americans are driving a total of about a three hundred billion fewer annual miles today than if Driving Boom trends had continued.\(^4\) Yet, despite those changes in behavior, and the likelihood that many of those changes will continue, state and federal officials continue to spend vast amounts of money on new and expanded highways.
Why Americans Are Driving Less
Driving has declined for a variety of reasons. While the economic recession contributed to the fall in driving, the downturn began years before the economic decline. More importantly, many of the forces contributing to the fall in driving are likely to be lasting.
- **Market saturation:** The Driving Boom was driven in part by increases in the number of cars and licensed drivers per household, both of which peaked during the 2000s and have subsequently declined.\(^5\)
- **Workforce participation declines:** The percentage of Americans in the workforce increased during the
Figure 1. Vehicle-Miles Traveled in the United States, 1946-2013
Vehicle-Miles Traveled (millions)
- VMT
- 1946-2007 Trajectory
- Linear (1946-2007 Trajectory)
Figure 2. Vehicle-Miles Traveled per Capita in the United States, 1946-2013
Vehicle-Miles Traveled per Capita
- VMT per capita
- 1946-2004 trajectory
- Linear (1946-2004 trajectory)
Driving Boom, but has been falling in recent years and is expected to fall farther as the Baby Boomers age.\textsuperscript{8}
- **High gas prices:** Gasoline prices have been high for much of the last decade and government forecasters anticipate that they are unlikely to fall significantly in the foreseeable future. Gasoline prices can have a significant short- and long-term influence on individuals’ driving habits.\textsuperscript{9}
- **Urban resurgence:** The long-term trend toward automobile-oriented suburban development has slowed or stopped. In the early 2010s, central cities grew faster than their suburbs for the first time in 90 years.\textsuperscript{10}
- **Increased use of transit and other non-driving modes:** The use of non-driving modes of transportation—transit, bicycling and walking—is on the rise. In 2013, transit ridership in the U.S. hit its highest point since 1956.\textsuperscript{11} In addition, recent years have seen the emergence of new forms of mobility such as carsharing, bikesharing and ridesharing whose influence is just beginning to be felt.\textsuperscript{12}
- **Changing preferences among young people:** These changes in transportation behaviors have been occurring fastest among members of the Millennial generation. Young Americans drove 23 percent fewer miles on average in 2009 than they did in 2001.\textsuperscript{13} Millennials are not only the largest generation in the United States, but they will be the primary users of the transportation infrastructure we build today.\textsuperscript{14}
**The U.S. Still Spends Vast Amounts of Money on Highway Expansion**
Despite nine consecutive years of declining per-capita driving, the United States continues to spend about as much on highway expansion as we did in the last years of the Driving Boom.
Even with the dramatic change in driving trends, federal, state and local governments spent about as much money, in inflation-adjusted dollars, on highway expansion projects in 2010 (the most recent year for which a total is available) as they did a decade earlier.\textsuperscript{15} In 1999, the federal government anticipated that Americans would be driving 3.7 trillion miles per year by 2013—26 percent more miles than we actually did.\textsuperscript{16} The U.S. DOT now forecasts that we will not attain those vehicle-miles traveled (VMT) levels until sometime between 2021 and 2026, while another government agency forecasts that they may not be reached for another two decades.\textsuperscript{17} It is possible that, at least in areas that are experiencing little to no population growth, we may never surpass the peak levels of VMT of the mid-2000s, but existing transportation models have largely failed to incorporate recent changes in trends.
Meanwhile, the highway construction spree continues—often at the expense of other important transportation priorities. From 2009 to 2011, state governments spent $20.4 billion a year constructing new roads or expanding the capacity of existing roads.\textsuperscript{18} During that same period, states spent just $16.5 billion repairing and preserving existing roads, even as those roads’ conditions worsened.\textsuperscript{19}
If the states had spent their road-building money on repairs instead, they could have halved the number of roads in poor condition by 2011. If that practice had continued, no state-owned roads would be in poor condition by the end of 2014, according to an analysis by Smart Growth
America and Taxpayers for Common Sense.\textsuperscript{20}
The United States has continued to spend big on highway expansion even as revenues from the gasoline tax, other truck-related excise taxes and highway user fees have stayed stagnant or declined.\textsuperscript{21} (See Figure 3.) The total shortfall in the Highway Trust Fund that needed to be made up with revenues from the general fund between 2004 and 2014 topped $50 billion.\textsuperscript{22}
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{figure3.png}
\caption{Federal Highway Trust Fund Highway Excise Tax and User Fee Revenues and Highway Expenditures, 2000-2012}\textsuperscript{23}
\end{figure}
Across the United States, there are countless proposed highway projects—many of them originally conceived of during the Driving Boom—that represent unnecessary or inefficient expenditures of public resources. These projects come in several forms:
- New highways or relocations of existing highways.
- Projects that add new lanes to existing roads.
- Highway expansions that are unnecessarily tacked onto needed highway reconstruction and repair projects.
Many highways originally built in the mid-20th century are now nearing the end of their useful lives and require major reconstruction. In many cases, however, officials have added expansion proposals onto these reconstruction projects, making them more expensive than they might otherwise be.
This report highlights eleven pending highway projects that represent a questionable expenditure of public resources at a time of strained transportation budgets and competing needs.
While not every state or region is included in the list of misguided highway projects below, nearly every state has one or more highway expansion projects whose wisdom is called into question by changing transportation trends or shifting priorities for transportation investment. The projects highlighted here are not necessarily the worst highway expansion projects in the country, but they are representative of the heavy potential costs in terms of money and community impacts of proceeding with disruptive projects that may no longer have a compelling transportation rationale.
**Seattle’s Alaskan Way Viaduct**
**$3.1 billion to $4.1 billion**
Seattle’s aging Alaskan Way Viaduct is a crumbling and seismically vulnerable elevated highway along the city’s downtown waterfront. After an earthquake damaged
the structure in 2001, state engineers decided that the highway needed to come down, but the question of how (and whether) to replace it sparked nearly a decade of heated debate. The Washington State Department of Transportation (WSDOT) rejected calls to replace the Viaduct with a combination of surface street and transit improvements, choosing instead an option that would result in more capacity: boring a mammoth tunnel underneath the city’s urban core. At 57 feet in diameter, it would be the widest bored tunnel ever attempted, with the full project carrying an estimated cost of at least $3.1 billion\textsuperscript{25} and perhaps as much as $4.1 billion.\textsuperscript{26}
Digging a double-decker tunnel was always the riskiest option for replacing the Viaduct. Beyond its exorbitant cost, the tunnel carried a high risk of going over budget. In 2010, WSDOT acknowledged a 40 percent chance of a cost overrun, with a five percent risk that overruns could top $415 million. (See Figure 4.)\textsuperscript{27} Shortfalls from tunnel tolls represent an additional
**Figure 4. Cost Overrun Probabilities**
Credit: Washington State Department of Transportation
Alaskan Way Viaduct looking south from Victor Steinbrueck Park, Pike Place Market.
---
\textsuperscript{25} See, e.g., “Alaskan Way Viaduct Replacement Project,” WSDOT, http://www.wsdot.wa.gov/Projects/AlaskanWayViaductReplacement.aspx (last visited Oct. 18, 2016).
\textsuperscript{26} See, e.g., “Alaskan Way Viaduct Replacement Project,” WSDOT, http://www.wsdot.wa.gov/Projects/AlaskanWayViaductReplacement.aspx (last visited Oct. 18, 2016); “Alaskan Way Viaduct Replacement Project,” WSDOT, http://www.wsdot.wa.gov/Projects/AlaskanWayViaductReplacement.aspx (last visited Oct. 18, 2016).
\textsuperscript{27} See, e.g., “Alaskan Way Viaduct Replacement Project,” WSDOT, http://www.wsdot.wa.gov/Projects/AlaskanWayViaductReplacement.aspx (last visited Oct. 18, 2016).
financial risk: Soon after settling on the tunnel, the state cut its tolling revenue projections in half.\textsuperscript{29} State officials later suggested that further reductions in estimated revenue might be forthcoming.\textsuperscript{30} Together with other potential revenue shortfalls, some estimates projected that the funding gap could reach $700 million.\textsuperscript{31}
Since 2010, the financial risks of the project have only increased. “Bertha,” the “world’s largest tunneling machine,” has been stuck underground since December 2013 and is not expected to be able to resume work until March 2015—and then only if precarious on-site repairs can be successfully completed.\textsuperscript{32} The project is also stuck in disputes over whether taxpayers or the project’s contractor must pay the estimated $125 million to repair the giant boring machine to get it going again, and in a lawsuit about whether the rescue operation should even be undertaken.\textsuperscript{33}
The expensive tunnel is not projected to improve traffic significantly compared with the rejected streets-and-transit hybrid alternative, a combination of a four-lane urban-scaled street on the waterfront, one additional lane on a nearby interstate highway, and hundreds of millions of dollars in improvements to city streets and area bus service.\textsuperscript{34}
WSDOT’s own statistics show that the tunnel, if completed, would likely \textit{increase} traffic delays downtown compared with the rejected streets-and-transit plan. At best, the tunnel was projected to reduce traffic delays in the surrounding four-county region by only about 1 percent, compared with the rejected alternative; and those delays could have been further reduced by expanding transit service under the hybrid plan.\textsuperscript{35}
With the tunnel now stymied, some elements of the hybrid plan have been
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{annual_average_daily_traffic.png}
\caption{Annual Average Daily Traffic, Washington State Route 99 at mile marker 29.37\textsuperscript{th}}
\end{figure}
temporarily put into place to relieve congestion caused by the construction, and have even been extended to accommodate the construction delays.\textsuperscript{36} (Their ability to help is, however, hampered by the fact that other transit services in the community are on the chopping block.)\textsuperscript{37}
According to WSDOT’s 2013 \textit{Annual Traffic Report} data, traffic at one end of the Alaskan Way Viaduct was on a decline before tunnel construction began, and has since declined even more.\textsuperscript{38} (See Figure 5.) In the region, average daily traffic has dropped 23 percent, and transit ridership has leapt 42 percent.\textsuperscript{39}
If the tunnel is ever finished, and if a proposal to charge tolls on the tunnel goes through, the project will have spent billions of taxpayer dollars to attract fewer drivers than are using the existing roadways right now. Traffic projections for even the cheapest tolls are at least 8 percent and perhaps as much as 35 percent below what the traffic volume has become during construction.\textsuperscript{41}
While the money spent on the tunneling project thus far may never be recouped, state officials have an opportunity to revisit the scope of the project and select options that are less likely to cause financial and traffic turmoil.
\section*{Extending California 241}
\textbf{\$200 million}
Southern California’s toll road agency has proposed to extend an existing toll highway that might eventually span inland Orange County and connect to Interstate 5. The number of cars on previous sections of the highway, however, have failed to meet expectations. Also, the agency is already struggling to avoid default on its debts.
California 241 is one of several toll roads in Orange County built and operated by the legislature-created Transportation Corridor Agencies (TCA). California officials enabled the creation of toll roads in the area in the late 1980s amid both a shortage of state transportation funding and the perception of insatiable demand for more highway capacity.\textsuperscript{42}
\begin{center}
Credit: Transportation Corridor Agencies
\end{center}
Demand for travel on California 241, however, hasn’t met official projections for a decade.\textsuperscript{45} In recent years—and especially since the collapse of the housing bubble in 2007—traffic on existing sections of California 241 has been in decline.
The TCA measures road use by counting the number of transactions conducted by toll payers on the combined Foothill/Eastern Toll Roads, which includes not only Route 241 but also Routes 133 and 261. The TCA’s count shows fewer transactions in fiscal year 2014 than in fiscal 2004.\textsuperscript{46} (See Figure 6.) As indicated by the dotted trend line below, there were about 32 million fewer transactions in fiscal year 2014 than would have been expected if the trend from 2000 to 2006 had continued.
TCA data do not allow measurement of traffic on Route 241 alone, but California Department of Transportation data do and show a similar trend: Traffic peaked in 2007 and has not shown a return to that level. By 2012, the most recent year for which data are available, traffic on Route 241 was lower than it was in 2002.\textsuperscript{46} (See Figure 7.) Traffic is 36 percent lower than it would have been if pre-2006 trends had continued. As a result, since 2007 toll revenue has not met projections.\textsuperscript{47} The toll roads’ system-wide revenue has been so low that the TCA was recently at risk of defaulting on $2.4 billion in bonds.\textsuperscript{48}
Despite the road’s declining use trends, the TCA has proposed a $200 million “Tesoro Extension” project to extend the road 5.5 miles, in what the agency intends to be the first stage of a 16-mile extension of Route 241.\textsuperscript{49} The project would add to the financial liabilities of an agency that is already in trouble.
The TCA’s financial woes come despite several attempts by the state of California to help the agency. The agreement between the Transportation Corridor Agencies and the state’s transportation agency, Caltrans,
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{toll_transactions.png}
\caption{Toll Transactions on Foothill/Eastern Toll Roads (California Routes 133, 241 and 261)\textsuperscript{45}}
\end{figure}
lets the TCA borrow money to build roads, and then collect tolls until its roads’ construction and operations debts are repaid, after which point the highways would become free to all drivers.\textsuperscript{51}
While the bonds are not backed by the state of California, Caltrans, which maintains the TCA’s roads, must approve any refinancing that would extend the TCA’s debt repayment schedule. In 1997, the TCA got permission to extend tolling on California 241 and two nearby toll roads (Routes 133 and 261) from 2033 to 2036, to get more time to pay off the roads’ construction costs. In 2011, the TCA was allowed to extend that time further, to 2040.\textsuperscript{52} In 2013 it asked for and received approval to extend tolling even longer, to 2053.\textsuperscript{53} As a result of stagnant driving and the TCA’s financial woes, drivers in Orange County will be paying tolls on these roads for decades longer than originally anticipated.
The TCA has also raised toll rates, which, Businessweek reported, “helped the agency’s revenue reach a record $111.8 million . . . even as the number of vehicles using the roads fell to a 12-year low.”\textsuperscript{54} The TCA’s finances show no sign of improvement—“income has been ‘about 75 percent of projections,’” according to Businessweek.\textsuperscript{55}
These facts have led critics to assail the financial case for the extension plan. An analysis by the free-market-supporting Pacific Research Institute found “there is scant evidence that the viability of the 241, which is currently questionable, is improved with the extension.” Concluding that drivers are not willing “to pay a toll that is high enough to cover all maintenance, operational, and capital investments necessary to support the road,” the Pacific Research Institute declared, “Spending money on plans to extend the 241 . . . is not justifiable and should cease immediately.”\textsuperscript{56}
Figure 7. Average Annual Daily Traffic, average of California 241 traffic-count locations, 2002-2012\textsuperscript{49}
Interstate 11 from Phoenix to Las Vegas
$2.5 billion
Arizona and Nevada have proposed a $2.5 billion project to expand U.S. 93 through the desert between Phoenix and Las Vegas—a change that would mean the road could be added to the federal Interstate highway system and renamed I-11—despite planners’ acknowledgments that barely any of the existing 200-mile road has any congestion at present, and that even under conditions of rapid traffic growth, that will not change substantially.\(^{67}\)
Justifications for building Interstate 11 often begin by noting that Phoenix and Las Vegas are the two largest adjacent U.S. cities that are not linked by an Interstate highway.\(^{68}\) But the two cities are linked by an existing highway—U.S. Route 93—which may not boast the designation of “Interstate,” but is a four-lane divided highway for all but 45 miles of its length between Phoenix and Las Vegas. The remaining 45 miles largely traverse sparsely populated areas. The Interstate 11 project would widen those remaining stretches, and make other modifications of varying scope to the entire length of the highway.\(^{69}\)
It is telling that in the official summary of reasons for constructing I-11, traffic and congestion are mentioned last, and only in terms of the potential of “reaching unacceptable levels of congestion, threatening economic competitiveness.”\(^{70}\) Recent trends in travel along the corridor show that at nearly all of the highway’s traffic counter locations, traffic growth has been slower than is forecast in project documents or has actually declined.\(^{61}\)
The state Departments of Transportation (DOTs) show 12 locations between Phoenix and Lax Vegas where they projected traffic counts and where actual traffic counts can be compared. In all 12 locations the DOTs projected that traffic would increase in the future. In 10 of those locations traffic counts failed to reach DOT forecasts. In only two locations did traffic counts actually surpass the forecasted level; the only such location in Arizona was the six-mile stretch of U.S. 93 between the Nevada border and the remote Kingman Wash Road. In six locations along the route, traffic counts were reduced altogether.\(^{62}\)
Indeed, the argument proponents make for I-11 seems to be as much about attracting more traffic to the Las Vegas-Phoenix corridor as reducing congestion.
The Corridor Justification Report released by the Nevada and Arizona Departments of Transportation claims that 9 percent of existing highways in the surrounding megaregion—which the report extends as far away as Los Angeles—were “unacceptably congested” in 2011. It claims that if no major road-building investment is made, and economic and population growth continue along current trend lines, 28 percent of the megaregion’s highways—again, many of them in the Los Angeles region—will be “unacceptably congested” by 2040.\(^{63}\) In other words, the justification for the project in the middle of the desert is based largely on expectations for worsening traffic in Los Angeles. Project proponents argue that I-11 will reduce congestion in this broader region by siphoning off interstate traffic that had
once passed through southern California and directing it to the Phoenix-Las Vegas corridor instead.\textsuperscript{64}
Proponents of the project hope it will spur economic development by drawing long-distance truck traffic to the corridor. Regional economic-development planners have been trying since at least 1991 to take advantage of opportunities they see in the North American Free Trade Agreement (NAFTA) to create a high-capacity freight corridor running north-south between Canada and Mexico in the region between the Rocky Mountains and the Sierra Nevada and Cascade ranges.\textsuperscript{65}
Backers of the widening also include major real-estate developers along the highway route, who hope to build major new residential and commercial projects. One developer sees so much potential to develop sprawling housing and commercial projects in the desert between Las Vegas and Phoenix that he is offering to \textit{donate} land on which to build the highway.\textsuperscript{66}
While construction of Interstate 11 might have a limited transportation benefit, other investments being made in the region are beating expectations at meeting pressing needs and could use additional support. From 2003 to 2013, Phoenix’s transit ridership rose 45.9 percent, from 50.3 million to 73.4 million.\textsuperscript{67} Its light rail system, opened in 2008, is already beating ridership expectations, a stark contrast with driving failing to reach forecasted levels.\textsuperscript{68} With 20 miles of track in place, there are plans to add 10 more miles in the next decade, and to triple ridership in the next 30 years.\textsuperscript{69}
\section*{Dallas Trinity Parkway}
\textbf{\$1.5 billion}
The Trinity Parkway is a proposed nine-mile, six-lane urban highway (with tolls) that would run along the Trinity River through the heart of Dallas. Proponents claim that it is needed to relieve crushing regional traffic congestion that they expect will only worsen over time.\textsuperscript{70} But planning documents suggest that the \$1.5 billion project would have only very limited impact on congestion and would be susceptible to flood damage.\textsuperscript{71} A growing chorus of city leaders is asking whether the highway is really compatible with a Dallas that is experiencing major urban revitalization driven in part by expansion of public transportation and quality of life improvements that would be hampered by a vast new highway.\textsuperscript{72}
This project has been justified in part by forecasts of rapid growth in traffic in the project area in the decades to come. In most parts of the project area, however, planners are anticipating far greater growth in driving between now and 2035 than actually took place between 2007 and 2012, the most recent years for which traffic data are publicly available. Indeed, traffic actually declined between 2007 and 2012 at eight of 12 specific locations affected by the route where officials forecast traffic to increase by 2035.\textsuperscript{73} (See Figure 8.)
The Trinity Parkway is part of a massive proposed highway expansion plan for the Dallas-Fort Worth area, with those additional projects costing as much as another \$5 billion.\textsuperscript{74} Advocates of the Trinity Parkway have argued that it is an essential piece of that broader plan.\textsuperscript{75}
But Dallas community leaders have expressed concerns that building the Trinity Parkway would interfere with other important goals, including the goal of revitalizing downtown Dallas. The highway would run directly next to an area along the Trinity River where wildlife and habitat preservation are in the works, including protection of a 6,000-acre hardwood forest and 4,000 more acres for trails, parks and lakes.\textsuperscript{76} Already, Dallas residents are taking advantage of new parks, trails and other amenities along the river, the enjoyment of which
would be threatened by construction of a major highway connector.
Even the original proposer of a Trinity roadway is horrified by the plan for a superhighway. Alex Krieger, a planning professor who originally discussed a modest access road outside the levees to approach the nature preserve recently apologized to the Dallas community, saying “a … highway is not the thing to do.”
Some prominent Dallas leaders who originally supported the idea of the Trinity Parkway have changed their minds upon further consideration of what it would do to the fabric of the city. A magazine publisher who had strongly backed the proposal in the late 1990s now says that city officials have had in hand since 2010 “expert advice [saying] not only not to build the [Trinity Parkway] but to tear down, depress or somehow link over most of its existing freeways,” to bolster connections within the community. And he observes that rather than sparking downtown development, highways in Dallas have killed the growth in areas that surround them. A local city-planning advocate in Dallas who for a decade supported the parkway wrote in a June 2014 column for the *Dallas Morning News* that “I have changed my mind and now confess publicly my opposition to building this highway.” He argued that its construction would jeopardize the successes of recent major “quality of life” investments in the area where the highway
would go, including outdoor recreation opportunities.\textsuperscript{80} Other developments in the city, such as improved light rail and infill development in urban neighborhoods could also benefit from funding for additional transportation options.\textsuperscript{81}
The sacrifices Dallas would need to make in both quality of life and dollars-and-cents do not appear to be worth it for the congestion reduction benefit the project would deliver. According to the project’s final environmental impact statement, the percentage of highway lane-miles in the project area that are subject to traffic congestion is expected to be the same in 2035 regardless of whether the project is built or not.\textsuperscript{82} In the aggregate, construction of the highway is anticipated to induce drivers to travel 1 million more vehicle-miles per day in the project area in 2035 compared with a “no build” scenario, with those drivers spending an additional 11,000 hours a day in their cars.\textsuperscript{83}
**Tolled Express Lanes on Colorado 470**
**$153 million**
Local and state officials are eagerly pushing forward on a $230 million project to add new tolled “express” lanes along an existing 12-mile stretch of a road southwest of Denver that was built in the late 1980s.\textsuperscript{84} The original Colorado 470 encouraged the expansion of far-flung development, benefiting a set of suburban land developers.\textsuperscript{85} But recent analysis suggests that expanding the highway would deliver little net benefit, and that the expanded highway may not receive as much use as planners anticipate.
The $230 million C-470 project has two elements. The first is a $77 million reconstruction effort that will add structural support to the existing two lanes in each direction, which will remain free to drivers.\textsuperscript{86} The additional $153 million would be used to build additional lanes on a 12-mile stretch between Platte Canyon Road and I-25, on which tolls would be charged to drivers.\textsuperscript{87} Tolls would be assessed in-lane, at-speed, with variable rates based on time of day.\textsuperscript{88}
While the need to reconstruct the existing roadway has not been contested, the state’s own analysis finds limited benefits from adding new lanes. According to the state’s analysis, the benefits of building the additional lanes—including time and fuel savings for drivers—will not exceed the costs until 2032 at the earliest, and more likely not until 2040.\textsuperscript{89} In other words, a Denver-area resident who turns 18 in 2014 would only begin to see the region benefit from the project when she is 36 years old, and more likely not until she is 44.\textsuperscript{90}
Nearly all of those benefits result from anticipated reductions in congestion that assume that traffic on the existing C-470 will increase at a brisk pace. But recent trends on the highway put that assumption
in doubt. Data are limited because CDOT operates just one continuous traffic counter on this section of C-470, but between 2002 and 2014, traffic at that location increased by an average of 0.5 percent per year.\textsuperscript{91} Yet CDOT assumes that traffic will increase by an average of 1.9 percent per year from 2015 through 2035.\textsuperscript{92} Traffic has increased at that projected rate in only two of the last 11 years, while actually declining in four of those years.\textsuperscript{93} (See Figure 9.) CDOT does not explain why it expects an almost four-fold increase in traffic growth when current trends are moving in the opposite direction.
While the C-470 project would be paid for in part by tolls, the public sector would also bear a significant share of the costs in taxes. Toll revenues are expected to support $103 million in toll-revenue backed bonds, which would supplement $80 million in federal funds, $22 million in state funds, and $10 million in contributions from nearby local and county governments (who have already started pitching in what is projected to be an additional $20 million in planning costs and making related improvements).\textsuperscript{94} If the increase in toll-paying traffic projected by CDOT does not occur, further general revenue tax dollars may be required to make up the difference.
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{traffic_change.png}
\caption{Percentage Year-to-Year Change in C-470 Traffic (Average Annual Daily Traffic), Actual 2003-2014, Projected 2015-2035\textsuperscript{94}}
\end{figure}
Double-decking I-94 in Milwaukee
$800 million
In Milwaukee, the Wisconsin Department of Transportation has proposed expanding a segment of I-94 that runs east-west through the city. WisDOT wants to increase the capacity of I-94, widening the road in places and adding a second deck to the highway for a narrow stretch that is bounded by three cemeteries—at a cost of $800 million over and above just repairing the existing road.\textsuperscript{96} Local officials have registered their opposition publicly, and have asked WisDOT to study alternatives, including those that would not expand the highway.\textsuperscript{97} Members of the community have advocated against the widening and in support of transit, bicycle and pedestrian projects—as well as repair of existing roads—instead.\textsuperscript{98} WisDOT projects that traffic will increase in the corridor, but traffic counts have been declining in recent years.
Other transportation modes could use significant investment. State funding for the Milwaukee County Transit System (MCTS) budget has been slashed, leading to route restructuring, curtailment of service and fare increases, all of which have made MCTS buses less convenient and less useful.\textsuperscript{99} Research by the University of Wisconsin–Madison Center for Economic Development found that at least 77,000 jobs in the Milwaukee metropolitan area became inaccessible by transit due to cuts in service since 2001.\textsuperscript{100} (Fully 43 percent of MCTS riders use its buses to get to work; 52 percent do not have a valid driver’s license and 23 percent choose to ride the bus despite the availability of a car.)\textsuperscript{101}
Not surprisingly, ridership has dropped, which hurts all Milwaukeecans.\textsuperscript{102} To benefit not only riders but everyone in the community, MCTS seeks funds to expand transit in ways that also reduce car travel, such as by adding new local bus routes, extending service hours and frequency, and limiting fare increases to no more than inflation.\textsuperscript{103}
Since 2010, the funding situation has only partially improved: though the 2013–2015 biennial state budget bumped up statewide transit aid, it failed to restore the full 10 percent cut that hit local agencies in the previous budget.\textsuperscript{104}
Expanding the highway would also displace businesses, and residents who would live near the double-decker highway are concerned about lower property values.\textsuperscript{105} City leaders have protested the plans and even encouraged state leaders to save the money for other, more pressing needs.\textsuperscript{106} Both the city of Milwaukee and Milwaukee County have passed resolutions opposing the highway expansion and urging state leaders to invest in local transportation improvements such as road repair and transit instead.\textsuperscript{107}
WisDOT’s latest description of the need for the project says, “This section of I-94 carries high traffic volumes, which currently vary between 138,000 and 156,000 AADT (Average Annual Daily Traffic). These traffic volumes are expected to grow to a range from 171,000 to 181,000 by 2030.”\textsuperscript{108}
That 2014 statement about traffic count numbers, however, oddly uses 2010 figures, while WisDOT’s own data show traffic instead dropping on that stretch of I-94 between 2010 and 2012, the latest year for which data are available.\textsuperscript{109} It is not clear why WisDOT ignores its own most recent data. (See Figure 10.)
The decline in traffic on that stretch is matched by statewide trends: vehicle-miles traveled in Wisconsin peaked in 2004, and have remained stagnant for a decade.\textsuperscript{111} (See Figure 11.)
Unfortunately, WisDOT has a recent track record of justifying highway expansion projects based on projections of future traffic increases that turn out not to materialize. For instance, WISPIRG Foundation research from 2013 found that traffic counts on seven recently completed highways in Wisconsin were well below the projected amounts that were used to justify the expansions.\textsuperscript{11}
Expanding I-94 through Milwaukee is an expensive and community-damaging solution to a congestion problem that has not gotten appreciably worse for at least a decade—one that will take money away from other transportation projects of greater use to the public.
**Widening Detroit’s I-94**
**$2.7 billion**
Michigan highway planners want to spend $2.7 billion to widen Interstate 94 through the heart of Detroit, saying that the existing road needs not just resurfacing and better bridges, but also more capacity.\textsuperscript{114} State officials continue to push forward with the project despite Detroit’s rapid population loss and other woes, and despite the fact that traffic volume on the stretch of road being considered for expansion is no higher than it was in 2005.\textsuperscript{115} Expanding the highway might even make Detroit’s economic recovery more difficult by further separating two neighborhoods that have been leading the city’s nascent revitalization.
The proposal would widen a seven-mile segment of I-94 (called the Edsel Ford Expressway) that runs in a trench sunk through the center of the city between the Midtown and New Center neighborhoods.\textsuperscript{16} Those areas are important for the city’s revitalization because of their central location; their efforts including boosting arts and culture, retail and commercial space, innovative planning, and promotion of downtown living have been gaining steam in recent years.\textsuperscript{17} In fact, better connecting the neighborhoods is one reason for a $140 million streetcar project that broke ground in late July 2014. Officials have already begun calling for expansion of that project, but funds are currently lacking.\textsuperscript{18} The proposed expansion of the highway would meanwhile have the opposite effect, widening the physical trench between the neighborhoods and removing 11 bridges across the freeway that would not be replaced.\textsuperscript{19} As a result, bicycle riders and pedestrians in the area would have to travel as much as six blocks out of their way to reach destinations.\textsuperscript{20}
Transportation officials say many buildings in the neighborhoods would have to be removed to make room for the wider road. The project requires displacing or demolishing 12 commercial buildings, 14 single-family homes, two duplexes and two apartment buildings with 14 units between them, as well as three buildings either on or eligible for inclusion in the National Register of Historic Places, including the city’s oldest recording studio.\textsuperscript{21}
These impacts could be lessened—along with the project’s cost—if state officials opted to rebuild the highway on its existing footprint. Despite Detroit’s plummeting population and the reduced use of the highway in recent years, planners—citing data compiled as early as 2002—say the road could not handle the traffic it previously handled, nor the level of use they predict for its future.\textsuperscript{122}
The project’s original documentation, from 2003, anticipated that vehicle-miles traveled in the region would increase by more than 11 percent by 2025. In fact, VMT in the region decreased by 14 percent by 2013.\textsuperscript{123}
Traffic counts throughout that section of road show that of 11 segments where comparisons are possible, 10 saw 2012 traffic lower than it was in 2000, and the 11\textsuperscript{th} saw less traffic in 2012 than in 2003.\textsuperscript{124} (See Figure 12.)
Questionable and outdated as the project’s future traffic projections seem, they remain crucial as the justification for not simply rebuilding the existing road surface and pedestrian bridges, which do need major work, but also adding a full travel lane in each direction on the highway, plus wider shoulders, additional lanes for entering and exiting the highway, and parallel service roads on both sides running the length of the project distance.\textsuperscript{126}
Southeastern Michigan residents have questioned the merit of prioritizing highway expansion in the region. A November 2012 survey of residents of the city of Detroit and seven surrounding counties found that more people say they “would rather live with current levels of traffic congestion (63 percent) than pay more to reduce traffic congestion (37 percent).”\textsuperscript{127}
Plenty of other transportation priorities lack funding. Other than the streetcar, there is no rail transit in the region. A
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{Figure_12.png}
\caption{Annual Average Daily Traffic (AADT), I-94 from I-76 to Conner Avenue, Detroit, 2000-2012\textsuperscript{125}}
\end{figure}
March 2014 Wall Street Journal article highlighted the advanced age and poor repair of Detroit’s buses—and noted that almost two-thirds of Detroit residents with jobs commute to workplaces outside the city limits. Public transportation in Detroit has long been of low quality, and recent efforts to improve transit service in the city have fallen victim to the city’s fiscal woes—a problem that does not seem to be slowing down the progress of the highway project.\textsuperscript{128}
The Illiana Expressway would run right next to the Midewin National Tallgrass Prairie, a 19,000-acre area being restored to its natural state.\textsuperscript{129}
**Illiana Expressway**
**$1.3 billion to $2.8 billion**
Illinois and Indiana are proposing to build a new highway across the far southern extent of the Chicago metropolitan area at a cost of more than $1 billion—and perhaps as much as $3 billion. Intended to divert truck traffic from Interstate 80, the tolls charged to finance the highway could instead discourage trucks from using the roadway.
The proposed Illiana Expressway would extend from I-55 in Wilmington, Illinois, to I-65 in Hebron, Indiana, at the southernmost reach of the Chicago metropolitan area, traversing a largely rural and thinly populated area.
The wisdom of the project has been questioned by staff of the region’s metropolitan planning organization, the Chicago Metropolitan Agency for Planning (CMAP), which said the project “expose[s] the State of Illinois to extensive financial risk,” even as it offered “unsubstantiated economic development potential” and “negligible impacts on regional transportation performance.”\textsuperscript{130} Further, the staff criticized the planning process for significantly underestimating potential costs—by at least 30 percent and possibly as much as 400 percent as compared with other similar highway projects around the country.\textsuperscript{131} A memo from the CMAP staff also notes that the staff projections show an economic impact only one-fifth as large in 2040 as that projected by the highway’s planners.\textsuperscript{132}
Despite objections from Chicago Mayor Rahm Emanuel and Cook County Board President Toni Preckwinkle, and the CMAP board’s resounding rejection of the tollway in a 10 to 4 vote, the Illinois Department of Transportation (IDOT) is proceeding with the tollway on the basis of a vote of approval by CMAP’s policy committee.\textsuperscript{133} In October, the CMAP board will consider a regional comprehensive plan that includes the Illiana.\textsuperscript{134} Environmental groups have brought a lawsuit challenging IDOT’s continued development of the tollway, alleging that the committee vote violated the required approval process laid out in Illinois law.\textsuperscript{135} Cost estimates for the highway range between $1.3 billion and $2.8 billion if related work on connecting roads is included.\textsuperscript{136} Illinois taxpayers are already on the hook for $250 million of that
cost, and Indianans will pay an additional $80 million to $110 million, even though the road is set to be built and operated by a private company that will charge tolls and profit from the proceeds.\textsuperscript{137} (See text box, “Protecting the Public from the Potential Pitfalls of Privatization.”)
Those cost numbers are just starting points. To make the project attractive for potential private-sector partners, Illinois taxpayers would have to kick in between $440 million and $1.1 billion in subsidies, and Indiana taxpayers will need to contribute additional amounts.\textsuperscript{138} According to CMAP staff, too few details of a proposed public-private partnership are available to make a more precise estimate of the public contribution, but the lower the toll rates will be, the more public support will be needed.\textsuperscript{139} This is problematic because higher toll rates will reduce actual use of the road.
It is unclear how much demand there actually is from drivers for the new route. The financing of the road is premised on strong and growing toll proceeds, yet tolling will reduce the number of drivers using the road—and therefore reduce the road’s potential benefit to the transportation system. Many drivers avoid toll roads, especially when tolls are high and there are toll-free alternatives. Trucks are even more likely than passenger cars to stay away and the larger the truck, the more likely it will go elsewhere. At even the lowest level of toll considered by the proposal, more than half the tractor-trailer trucks that would use the road if it were free are expected to avoid it; at the highest considered toll, more than
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{average_annual_change_in_vehicle_miles_traveled.png}
\caption{Average Annual Change in Vehicle-Miles Traveled, Actual and Projected\textsuperscript{145}}
\end{figure}
80 percent will use other roads instead.\textsuperscript{140} Further undermining the arguments for the road’s utility are planners’ traffic projections for the 18-county region that is designated as being affected by the Illiana project.\textsuperscript{141} The data show that from 2001 to 2010, the number of vehicle-miles traveled (VMT) in the region grew by an average rate of 0.42 percent a year.\textsuperscript{142} But official IDOT projections still anticipate rates of driving increase from the Driving Boom era. IDOT projects that from 2010 to 2040, VMT would grow more than twice as fast as last decade, at an annual rate of 0.91 percent.\textsuperscript{143} So far, since 2010, the region’s VMT has actually dropped by an average rate of 0.49 percent per year.\textsuperscript{144} (See Figure 13.)
\section*{Cleveland’s Opportunity Corridor}
\textbf{\$331 million}
The Ohio Department of Transportation (ODOT) is promoting a \$331 million, three-mile, five-lane road construction project starting at I-490’s terminus south of the city’s downtown and running northeast to the University Circle neighborhood.\textsuperscript{145} But it’s hard to see what need it would be meeting. The number of miles driven in and around Cleveland has been stagnant for more than a decade. And though project proponents have tried to package the project as an “opportunity corridor” that would help the disadvantaged neighborhoods
\begin{center}
\textit{Residents of this troubled Cleveland neighborhood that would have to be destroyed to make room for a large road have not had their voices heard or their needs met by Ohio Department of Transportation officials.}
\end{center}
Credit: Bob Perkoski
the road would traverse, the communities that would supposedly benefit have other priorities. Part of the neighborhood would also have to be destroyed to make room for the road.
Expanding road capacity is a questionable investment given recent travel trends in the Cleveland area. While ridership on the regional transit authority has been increasing,\textsuperscript{149} vehicle-miles traveled (VMT) in Cuyahoga County rose an anemic 0.3 percent from 2000 to 2013, an annual average of 0.02 percent.\textsuperscript{150} In the five counties making up the Cleveland-Elyria Metropolitan Statistical Area, VMT climbed just 1.9 percent from 2000 to 2013, an annual average increase of 0.14 percent.\textsuperscript{151} (See Figure 14.)
Critics of the project point out that the $100 million per mile set aside for constructing the new road could instead provide more than enough money to fix all the roads in Cleveland that need repaving and repair.\textsuperscript{152} (ODOT declared that it has a “fix-it-first” policy that is supposed to prioritize repair of existing roads over construction of new highways, but the agency lacks policies to ensure the principle is actually followed.)\textsuperscript{153} The $331 million price tag is also larger than the annual budget of the city’s public transit system.\textsuperscript{154} That system already does not adequately serve the existing neighborhoods, and in fact is slated to serve them worse with the expected closing of a key rail rapid-transit stop.\textsuperscript{155}
The positive economic effects that project backers claim will flow to the neighborhoods traversed by the Opportunity Corridor are vague at best.\textsuperscript{156} And local developers are skeptical that any benefit of the road would arrive without
significant additional public investment.\textsuperscript{158} The project design documents acknowledge that some impacts on the local neighborhood will be “disproportionately high and adverse,” including relocating 76 households and 16 businesses, as well as a church, and turning nine roads that currently connect with other streets into dead ends.\textsuperscript{159}
In an effort to mitigate those impacts, and provide options for local residents without cars, ODOT proposes to build two pedestrian/bicycle bridges over the new road, improve bus shelters along the new road, and “create a new entrance to the St. Hyacinth neighborhood by constructing enhancements . . . [that] will include street trees and sidewalk and pavement repairs or improvements.”\textsuperscript{160} Community residents, however, say most of that work wouldn’t be needed if not for the new road itself, and in any case it’s not enough to boost local economic development measurably.\textsuperscript{161} And those
Protecting the Public from the Potential Pitfalls of Privatization\textsuperscript{162}
With federal and state transportation budgets stretched thin, public officials eager to pursue highway expansion projects increasingly consider so-called “public-private partnerships,” or PPPs.
The idea behind PPPs is to share the cost, risks and rewards of transportation projects between government and private entities. PPPs can take many forms—from structures in which the vast majority of the risk and reward accrue to the public to those in which the private sector takes near-complete responsibility for financing, building and operating a road.
Several of the projects highlighted in this report are toll roads to be built through PPPs. At their best, PPPs promise to leverage the experience and unique capabilities of private sector firms to build transportation projects more quickly and cheaply than the public sector could do through traditional forms of private contracting. However, PPPs also bring with them a number of potential dangers for the public interest:
- **Risk may turn back on the public:** PPPs are often sold to the public and decision-makers as ways to reduce the financial risk to the public of transportation projects, but private investors seek to minimize potential risk on their long-term investment. Since events over several decades may unfold in unanticipated ways, the public sector can end up taking on a greater share of risk than originally understood. Whereas high-profile highway PPPs in the middle of last decade generally took the form of granting long-term leases for toll concessions, in recent years private toll road financiers have been far less willing to assume the risk that projected driving increases won’t materialize. Recent deals are far more likely to be an “availability payment” model, where the government assumes the chief risk of lower-than-projected traffic
are just the community members who have gotten involved in a process that has taken significant criticism for leaving out the voices of local residents.\textsuperscript{162}
A highway construction project makes little sense as an economic development tool for the neighborhood, where as many as 40 percent of residents do not drive at all.\textsuperscript{163} It also goes against the expressed desires of residents around the region, who are calling for increased investments in public transportation and in the development of communities that are less dependent on cars.
A 2012 survey by the Natural Resources Defense Council found that “a combined 68 percent of Cuyahoga County respondents say improving public transportation (35 percent) and developing communities where people don’t have to drive as much (33 percent) are the best ‘long term solutions to reducing traffic’ in their area—rather than other options like building roads (21 percent).”\textsuperscript{164}
volume and promises to pay the toll road builder and operator for ongoing availability of the lanes.
• **Loss of control over transportation policy**: Especially when private sector entities structure deals to recoup their investment in highway projects through tolls or other user fees, PPP contracts typically include provisions that are intended to assure private entities of revenue. Those provisions include “non-compete” or “compensation” clauses that bar government from making improvements on adjacent roads without also compensating the private entity. These provisions limit the public’s control over transportation policy by adding potentially prohibitive costs to normal policy decisions. At worst, public officials may feel compelled to make transportation decisions based on what is best for the toll road operator as opposed to what is best for the public as a whole.
• **Poor decisions based on less visible costs**: Politicians can view private investment through PPPs as “free money” that enables the construction of projects that would otherwise be more politically difficult to finance through the traditional method of issuing public bonds or raising public tolls. The money that will be paid to PPPs is a kind of off-budget debt that will be paid later in some form by the public.\textsuperscript{167} That disconnection can grease the wheels for projects that might otherwise not get built, but it can also create a bias in favor of projects favored by PPP financiers, even when they do not merit being the highest priority.
Projects that shift responsibilities toward the private sector still have broad and long-term ramifications for the transportation system as a whole, and are typically locked in with multigenerational contracts. It is imperative that governments subject PPP projects to at least as rigorous evaluation and transparency as more traditional publicly financed projects.
Georgia’s Effingham Parkway
$49 million to $100 million
Transportation officials in a rural area northwest of Savannah, Georgia, are worried that an existing state highway will be unable to cope with growing traffic volumes if hoped-for industrial expansion and resulting population increase occurs. Their proposal is a new $37.4 million highway. Recent trends, however, suggest that traffic isn’t growing as quickly as had been anticipated, raising questions about whether the new highway is necessary.
The proposed Effingham Parkway is a $37.4 million road that would run parallel to the existing Georgia Route 21.\textsuperscript{165} Connecting the new highway to other existing local roads will require spending an additional $11.5 million on nearby road work.\textsuperscript{166} State plans include expansion to four lanes in the future, and specify a total price tag of $100 million.\textsuperscript{167}
Traffic on Route 21, however, has failed to grow at the rate anticipated by officials along most of the relevant length.\textsuperscript{168} Of five locations on Route 21 parallel to the proposed parkway where both projections and traffic counts were available, only one saw traffic increase at an average rate higher than is expected to happen if the Effingham Parkway is not built. The other locations saw traffic rise far less than projected, stay flat, or even drop.\textsuperscript{169} (See Figure 15.)
The project’s official justification is partly based on hopes that the nearby port of Savannah will benefit from increased container ship traffic that could come as a result of the present widening of the Panama Canal, but it is no sure thing that Savannah will receive funding to adapt the harbor to wider ships, or—even if it does—that the harbor would outcompete the other East Coast ports that are also angling for these giant ships.\textsuperscript{171} And even if both those things occur, the Effingham Parkway would not be a major recipient of any traffic
resulting from the shipping, as it is not a designated freight corridor. The two nearby interstate highways—I-95 going north-south and I-16 going west—are already the key carriers of freight in the region, in addition to rail routes.\textsuperscript{172}
The Effingham Parkway project has been downscaled to two lanes from an originally planned combination of two- and four-lane segments, but the current proposal leaves room for future widening.\textsuperscript{173} State funding has not yet been secured, but the current timeline is for work to start in late 2017.\textsuperscript{174} The interim county administrator in June 2014 said officials are hoping “to avoid having to do a Federal Highway Administration environmental impact statement, which would lead to a lengthy timeline and an even bigger price tag.”\textsuperscript{175}
Georgia is already struggling to pay for its transportation infrastructure—the state had enough money to resurface just 2 percent of its highways in 2013, leading state Transportation Commissioner Keith Golden to tell a legislative committee that meant roads would only get resurfaced every 50 years.\textsuperscript{176}
Georgia has a long history of encouraging road expansion with little consideration of its specific merits. For instance, there is a longstanding “balancing” system that encourages dividing highway funds equally among Congressional districts, regardless of relative needs.\textsuperscript{177} Likewise, the Governor’s Road Improvement Program places highway access at the pinnacle of transportation access needs, and is premised on the idea that living within 20 miles of a four-lane highway should be a nearly universal entitlement for Georgians.\textsuperscript{178}
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{traffic_change.png}
\caption{Average Annual Change in Traffic (Average Annual Daily Traffic), Projected and Actual, Georgia State Route 21\textsuperscript{179}}
\end{figure}
North Carolina’s I-26 Connector
$400 million to $600 million
North Carolina officials have proposed expanding I-240, which runs through downtown Asheville and connects I-26 southwest of Asheville to other highway routes northwest of the city.\textsuperscript{179} Local residents, however, have questioned whether the project as currently designed would damage a mature, livable neighborhood to build road space that is not actually needed.\textsuperscript{180}
The I-26 project is a complex mix of reconstruction, rerouting and expansion of Asheville’s highway network. The $400 million to $600 million project is divided into three major subsections, each of which has been the subject of intense debate, including the proposed widening of 4.3 miles of four-lane highway through West Asheville to eight lanes.\textsuperscript{181}
State officials cite federal requirements to justify doubling the width of that 4.3 mile stretch to eight lanes plus an additional auxiliary lane on each side, and wider shoulders than the existing highway.\textsuperscript{182} Yet traffic data as old as 2004 suggest that six lanes could be more than enough to address the perceived need.\textsuperscript{183} And since that study, traffic has not increased significantly along that stretch of road. In fact, from 2005 to 2012, traffic has dropped on three of the four segments—and stayed flat on the fourth.\textsuperscript{184} (See Figure 16.)
The cost of going to eight, rather than six, lanes appears to be unjustified by the reduction in congestion that would result. The time saved by adding the two extra lanes would be just 9.6 seconds per driver (out of a 6.5-minute travel time) during the morning rush hour and 17.4 seconds during the evening.\textsuperscript{186}
In light of the lack of justification for expanding this segment, and controversies over other areas of the proposal, the whole project’s review process is being redone, with a new Draft Environmental Impact Statement expected to be issued in the summer of 2015. It will include a new traffic analysis.\textsuperscript{187} That undertaking is an important step to ensure that decisions about the future shape of the highway are made with full, updated information that reflects recent changes in transportation trends.
Figure 16. Annual Average Daily Traffic on I-240 in West Asheville, 2005-2012
Annual Average Daily Traffic
Year
FROM EXIT I-40 TO EXIT 1B
FROM EXIT 1B TO EXIT 1C
FROM EXIT 1C TO EXIT 2
FROM EXIT 2 TO EXIT 3
America has a tremendous need for investment in transportation. Across the nation, aging roads and bridges—many of them nearing the end of their useful lives—need to be repaired or rebuilt. Our transit and passenger rail systems require repairs and technology upgrades to meet 21st century needs. And an increasing number of Americans are seeking more and better transportation options, including improved public transportation, better infrastructure for bicycling and walking, and access to new transportation services such as carsharing and bikesharing.
Expanding highway capacity at a time of stagnant driving should be low on the nation’s list of transportation priorities. Yet, current state and federal transportation policies result in tens of billions of dollars being spent each year on new highway capacity—even as the federal Highway Trust Fund receives repeated bailouts as it teeters on the edge of insolvency.
The 11 projects highlighted in this report illustrate the need for a fundamental rethink of America’s transportation policy priorities—one that focuses resources on maintaining existing infrastructure and expanding the transportation choices available to Americans. The projects profiled in this report should be cancelled or updated to be more in tune with driving trends and community demands.
Specifically, policy-makers should:
- **Reconsider all plans** for new and expanded highways in light of new transportation trends and recent changes in traffic volumes. This includes highway expansion projects proposed to be completed via public-private partnerships. Just because a project has been in the planning pipeline for several years does not mean it deserves to receive scarce taxpayer dollars.
- **Reorient transportation funding** away from highway expansion and toward repair of existing roads and investment in other transportation options.
- **Encourage transportation investments** that can reduce the need
for costly and disruptive highway expansion projects. Investments in public transportation, changes in land-use policy, road pricing measures, and technological measures that help drivers avoid peak-time traffic, for instance, can often reduce congestion more cheaply and effectively than highway expansion.
- **Reevaluate transportation forecasting models** to ensure that they reflect changing preferences for housing and transportation among Millennials and others and incorporate the availability of new transportation options such as carsharing, bikesharing and ridesharing into new models.
- **Invest in research and data collection** to more effectively track and react to changes in transportation demand.
1 U.S. Department of Transportation, Federal Highway Administration, *Highway Statistics* series of reports, available at www.fhwa.dot.gov/policyinformation/statistics.cfm.
2 “More than $1 trillion in highway capital projects”, Congressional Budget Office, *Detailed Data on Infrastructure Spending, by Level of Government and Type of Infrastructure, 1956 to 2009*, accessed at www.cbo.gov/publication/21902, 11 July 2014; “greater dependence on cars”; Tony Dutzik, Frontier Group, and Phineas Baxandall, U.S. PIRG Education Fund, *A New Direction*, Spring 2013, 10.
3 See note 1.
4 Tony Dutzik, Frontier Group, and Phineas Baxandall, U.S. PIRG Education Fund, *A New Direction*, Spring 2013, 11.
5 See note 1.
6 Ibid.
7 Michael Sivak, University of Michigan Transportation Research Institute, *Has Motorization in the U.S. Peaked?*, June 2013; Tony Dutzik, Frontier Group, and Phineas Baxandall, U.S. PIRG Education Fund, *A New Direction*, Spring 2013, 12.
8 Congressional Budget Office, *CBO’s Labor Force Projections Through 2021*, March 2011.
9 For further information and discussion, see Todd Litman, Victoria Transport Policy Institute, *Understanding Transport Demand and Elasticities: How Prices and Other Factors Affect Travel Behavior*, 10 September 2012.
10 William H. Frey, Brookings Institution, *Will This Be The Decade of Big City Growth?*, 23 May 2014, accessed at www.brookings.edu/research/opinions/2014/05/23-decade-of-big-city-growth-frey, 10 July 2014; Conor Dougherty and Robbie Whelan, “Cities Outpace Suburbs in Growth,” *Wall Street Journal*, 28 June 2012.
11 American Public Transportation Association, *Record 10.7 Billion Trips Taken on U.S. Public Transportation in 2013* (press release), 10 March 2014.
12 Transit, 2011 data: U.S. Department of Transportation, Federal Transit Administration, *National Transit Database: Historical Data Files*, Table TS2.1, downloaded from www.ntdprogram.
gov/ntdprogram/data.htm, 10 December 2012; through 2012: American Public Transportation Association, *Public Transportation Ridership Report, Fourth Quarter 2012*, 1 March 2013. Biking and walking: Alliance for Biking & Walking, *Bicycling and Walking in the U.S. 2012 Benchmarking Report*, 12 October 2012, accessed at blog.bikeleague.org/blog/2012/10/infographic-bike-commuting-growing-faster-in-bicycle-friendly-communities.
13 Federal Highway Administration, *National Household Travel Survey*, downloaded from nhts.ornl.gov/det, as cited in Benjamin Davis and Tony Dutzik, Frontier Group, and Phineas Baxandall, U.S. PIRG Education Fund, *Transportation and the New Generation: Why Young People Are Driving Less and What it Means for Transportation Policy*, April 2012. Note that both 2001 and 2009 are recession years.
14 Floyd Norris, “Younger Turn for a Graying Nation,” *New York Times*, 23 May 2014.
15 U.S. Federal Highway Administration, *2013 Status of the Nation’s Highways, Bridges, and Transit: Conditions and Performance*, 2013, 6-15.
16 U.S. Federal Highway Administration, *1999 Status of the Nation’s Highways, Bridges, and Transit: Conditions and Performance*, 1999, 9-6.
17 U.S. DOT estimate: U.S. Federal Highway Administration, *2013 Status of the Nation’s Highways, Bridges, and Transit: Conditions and Performance*, 2013, 7-9; other government estimate: U.S Energy Information Administration, *Annual Energy Outlook 2014*, April 2014.
18 Smart Growth America and Taxpayers for Common Sense, *Repair Priorities 2014*, March 2014, iii.
19 Ibid. Nationwide, the percent of roads designated as in “good” condition fell from 41 percent in 2008 to 37 percent in 2011; meanwhile the number of roads in poor condition fell from 21 percent to 17 percent.
20 Ibid.
21 U.S. Department of Transportation, Federal Highway Administration, *Highway Statistics 2012*, July 2013, FE-210.
22 Congressional Budget Office, *The Highway Trust Fund and the Treatment of Surface Transportation Programs in the Federal Budget*, June 2014, 1.
23 U.S. Department of Transportation, Federal Highway Administration, *Highway Statistics 2012*, FE-210.
24 U.S. Federal Highway Administration, Washington State Department of Transportation, and City of Seattle, *Alaskan Way Viaduct Replacement Project: Final Environmental Impact Statement and Section 4(f) Evaluation*, July 2011, Chapter 2, 40–41.
25 Washington State Department of Transportation, *Budget*, accessed at www.wsdot.wa.gov/Projects/Viaduct/Budget, 13 August 2014.
26 Associated Press, “Murray: No Way Congress Will Chip In $1 Billion for Viaduct,” *Wenatchee World*, 21 January 2005.
27 Clark Williams-Derry, “WashDOT Says: 40% Chance of Tunnel Cost Overruns,” Sightline.org, 19 July 2010.
28 See note 25.
29 Alaskan Way Viaduct Replacement Program Review Panel, *Updated Report*, 27 February 2013, 12.
30 Clark Williams-Derry, “Alaskan Way Viaduct: More Revenue Shortfalls Expected,” Sightline.org, 18 September 2012.
31 Mike O’Brien, “40% Chance AWV Will Go Over Budget,” obrien.seattle.gov, 15 July 2010; CDM, *Cost Estimate Validation Process*, accessed at cosobrien.wpengine.netdna-cdn.com/wp-content/uploads/2010/07/AWVSRP-WSDOT-CEVP_ANNOTATION1.pdf, 10 June 2014.
32 Washington State Department of Transportation, *Follow Bertha*, accessed at www.wsdot.wa.gov/Projects/Viaduct/About/followbertha, 20 May 2014.
33 Joel Millman, “Seattle Tunnel Project Isn’t Boring,” *Wall Street Journal*, 16 May 2014.
34 Martin H. Duke, “Licata Dismisses Chances of Surface/Transit,” SeattleTransitBlog.com, 26 January 2011.
35 Tunnel’s projected traffic reduction: U.S. Federal Highway Administration, Washington State Department of Transportation, and City of Seattle, *Alaskan Way Viaduct Replacement Project: Final Environmental Impact Statement and Section 4(f) Evaluation*, July 2011, Chapter 2, 57; delays further reduced by transit: Clark Williams-Derry, “Rush Hour by the Numbers,” Sightline.org, 19 April 2006.
36 Elements of the hybrid plan put in place: King County Department of Transportation, Metro Transit Division, *Getting You Through the Construction: Alaskan Way Viaduct*, accessed at metro.kingcounty.gov/tops/get-you-there/alaskan-way-viaduct, 20 May 2014; extended by construction delays: King County Metro, *State Funding for Extra Service Extended through 2015*, accessed at metro.kingcounty.gov/tops/get-you-there/alaskan-way-Viaduct/index.html, 13 August 2014.
37 King County Department of Transportation, Metro Transit Division, *Service Cuts Are Coming*, accessed at metro.kingcounty.gov/am/future, 15 August 2014.
38 Washington State Department of Transportation, *Annual Traffic Report*, 2013, 121.
39 King County Department of Transportation, Metro Transit Division, *Getting You Through the Construction: Alaskan Way Viaduct*, accessed at metro.kingcounty.gov/tops/get-you-there/alaskan-way-viaduct, 20 May 2014.
40 See note 38.
41 Alaskan Way Viaduct Replacement Program Advisory Committee on Tolling and Traffic Management, *Advisory Recommendations for Tolling the SR 99 Tunnel*, March 2014, 27-28.
42 The Toll Roads, *Background and History*, accessed at www.thetollroads.com/aboutus/toll-roads-history.php, 28 July 2014.
43 Donna Arduin and Wayne Winegarden, Pacific Research Institute, *Orange County Toll Roads: Serious Concerns Should Lead to Significant Review by State and Local Officials*, April 2013, 10.
44 The Toll Roads, *Annual Results (133/241/261)*, accessed at www.thetollroads.com/aboutus/investorinformation/transactiontables/fe-annualresults.php, 28 July 2014.
45 Ibid.
46 California Department of Transportation, *Traffic Counts*, accessed at traffic-counts.dot.ca.gov, 8 July 2014.
47 Donna Arduin and Wayne Winegarden, Pacific Research Institute, *Orange County Toll Roads: Serious Concerns Should Lead to Significant Review by State and Local Officials*, April 2013, 11.
48 James Nash, “California Road Near Biggest Default Since Detroit,” *Businessweek*, 11 September 2013.
49 See note 46.
50 Transportation Corridor Agencies, *State Route 241 Tesoro Extension*, accessed at www.thetollroads.com/report/wb/images/004_13_Factsheet_Tesoro_Fact_Sheet_Web.pdf, 26 June 2014; Bob Filner, U.S. Congressman, 51st District of California, TCA’s Contradictory Statements Smack of Formal Project Segmentation (letter to Lt. Gen. Thomas P. Bostick, U.S. Army Corps of Engineers), 30 May 2012, as cited in Donna Arduin and Wayne Winegarden, Pacific Research Institute, *Orange County Toll Roads: Serious Concerns Should Lead*
to Significant Review by State and Local Officials, April 2013, 15.
51 Doug Irving, “Refinancing Plan Extends Tolls on the 247,” Orange County Register, 10 October 2013.
52 Nicole Santa Cruz, “Tolls on Orange County Road May Be Extended Another 6 Years,” Los Angeles Times, 6 May 2011.
53 James Nash, “California Road Near Biggest Default Since Detroit,” Businessweek, 11 September 2013; Foothill/Eastern Transportation Corridor Agency, $2.3 Billion in Bonds Refinanced by Foothill/Eastern Transportation Corridor Agency (press release), 16 December 2013.
54 See note 48.
55 See note 48.
56 Donna Arduin and Wayne Winegarden, Pacific Research Institute, Orange County Toll Roads: Serious Concerns Should Lead to Significant Review by State and Local Officials, April 2013.
57 Project cost: Parsons Brinckerhoff for Arizona Department of Transportation, Arizona’s Key Commerce Corridors, March 2014, 21–22; congestion at present and projected: CH2MHILL and Aecom, for Arizona Department of Transportation and Nevada Department of Transportation, I-11 and Intermountain West Corridor Study: Corridor Justification Report, 21 August 2013, xi.
58 Reid Wilson, “Nevada Governor Wants to Make New Interstate a Presidential Priority,” Washington Post, 25 February 2014.
59 Arizona Department of Transportation and Nevada Department of Transportation, I-11 and Intermountain West Corridor Study: Final Corridor Concept Report, August 2014, 37.
60 Nevada Department of Transportation, Project Background, accessed at i11study.com/wp/?page_id=34, 20 May 2014.
61 Actual: Nevada Department of Transportation, Traffic Records Information Access (TRINA), accessed at apps.nevadadot.com/Trina, 8 July 2014 and Arizona Department of Transportation, Annual Average Daily Traffic (AADT), accessed at www.azdot.gov/planning/DataandAnalysis/average-annual-daily-traffic, 19 May 2014; Projected: CH2MHILL and Aecom, for Arizona Department of Transportation and Nevada Department of Transportation, I-11 and Intermountain West Corridor Study: Corridor Justification Report, 21 August 2013, Appendix C, 1–14.
62 Ibid.
63 CH2MHILL and Aecom, for Arizona Department of Transportation and Nevada Department of Transportation, I-11 and Intermountain West Corridor Study: Corridor Justification Report, 21 August 2013, x.
64 CH2MHILL and Aecom, for Arizona Department of Transportation and Nevada Department of Transportation, I-11 and Intermountain West Corridor Study: Corridor Justification Report, 21 August 2013, 3–28.
65 CH2MHILL and Aecom, for Arizona Department of Transportation and Nevada Department of Transportation, I-11 and Intermountain West Corridor Study: Corridor Justification Report, 21 August 2013, viii.
66 Mike Sunnucks, “Phoenix-Vegas I-11 Connection Sought to Boost Business,” Phoenix Business Journal, 25 May 2012.
67 Valley Metro, Official Ridership Reports, accessed at www.valleymetro.org/valleymetro/ridership_reports, 5 August 2014.
68 Caitlin McGlade, “Citizen Panel to Draft Light-Rail Growth Plan,” Arizona Republic, 13 August 2014.
69 Adding track: Valley Metro, Current Valley Metro Projects, accessed at www.valleymetro.org/projects_and_planning/current_projects, 7 August 2014; growing ridership: Caitlin McGlade, “Citizen Panel to Draft Light-Rail Growth Plan,” Arizona Republic, 13 August 2014.
70 North Texas Tollway Authority, *Roads & Projects: Future Projects: Trinity Parkway*, accessed at www.ntta.org/roadsprojects/furproj/trihwy/Pages/default.aspx, 22 May 2014.
71 U.S. Federal Highway Administration, Texas Department of Transportation and North Texas Tollway Authority, *Final Environmental Impact Statement: Trinity Parkway*, March 2014, 6-4.
72 Expansion of public transit: U.S. Department of Transportation, *U.S. Department of Transportation Approves $120 Million Loan to Strengthen Public Transit in Dallas* (press release), 14 December 2012; quality of life improvements: *Trinity Corridor Project*, *Trinity Corridor Project*, accessed at www.trinityrivercorridor.com, 18 July 2014.
73 Texas Department of Transportation, *Statewide Planning Map*, accessed at www.txdot.gov/apps/statewide_mapping/StatewidePlanningMap.html, 18 July 2014.
74 Ibid. The projections assume completion of the Dallas Horseshoe Project, an $818 million project revamping the I-30 and I-35E interchange known locally as the “Mixmaster,” which is already under way and slated to be complete in 2017.
75 Transportation Department, North Central Texas Council of Governments, *10 Reasons to Build the Trinity Parkway* (press release), 11 October 2007.
76 Eric Nicholson, “Trinity Parkway Should Be Built Because Other Roads Were Built Elsewhere, Voncel Hill Says,” *Dallas Observer*, 28 April 2014.
77 *Trinity Corridor Project*, *Trinity Corridor Project*, accessed at www.trinityrivercorridor.com, 18 July 2014.
78 Eric Celeste, “Balanced Vision Plan Co-Author On Trinity River Toll Road: ‘I Want to Apologize to Dallas,’” *D Magazine*, 2 September 2014.
79 Jim Schutze, “How D Magazine’s Wick Allison Changed His Mind on the Trinity Parkway,” *Dallas Observer*, 15 May 2014.
80 Larry Good, “After 10 Years, I’ve Dropped My Support of the Trinity Tollway,” *Dallas Morning News*, 1 June 2014.
81 Tim Rogers, “What Dallas Architects Think of the Trinity Parkway,” *D Magazine*, 4 April 2014.
82 See “Percent Lane-Miles at LOS D, E or F” in Table 4-21, U.S. Federal Highway Administration, Texas Department of Transportation and North Texas Tollway Authority, *Final Environmental Impact Statement: Trinity Parkway*, March 2014, 4-70.
83 See “Vehicle Hours of Travel” in Table 4-21, U.S. Federal Highway Administration, Texas Department of Transportation and North Texas Tollway Authority, *Final Environmental Impact Statement: Trinity Parkway*, March 2014, 4-70.
84 Colorado Department of Transportation, *C-470 Tolted Express Lanes Project* (application to U.S. Department of Transportation TIGER program), 28 April 2014.
85 Susan Carey, “C-470’s Long and Winding History,” *Denver Business Journal*, 9 August 1998.
86 $77 million part of the project: Colorado Department of Transportation, *C-470 Tolted Express Lanes Project* (application to U.S. Department of Transportation TIGER program), 28 April 2014, 9; free to drivers: Colorado Department of Transportation, *C-470 Tolted Express Lanes Project* (application to U.S. Department of Transportation TIGER program), 28 April 2014, 2.
87 Colorado Department of Transportation, *C-470 Tolted Express Lanes Project* (application to U.S. Department of Transportation TIGER program), 28 April 2014, 1.
88 Colorado Department of
Transportation, *C-470 Tolted Express Lanes Project* (application to U.S. Department of Transportation TIGER program), 28 April 2014, 16.
90 Colorado Department of Transportation, *C-470 Tolted Express Lanes Project* (application to U.S. Department of Transportation TIGER program), 28 April 2014, Appendix B, 26–27.
At a 7 percent discount rate, the project is expected to deliver only $17 million in net benefits over 30 years, for a benefit to cost ratio of 1.1:1. Colorado Department of Transportation, *C-470 Tolted Express Lanes Project* (application to U.S. Department of Transportation TIGER program), 28 April 2014, Appendix B, 23.
91 Colorado Department of Transportation, *Online Transportation Information System (OTIS)—Traffic Data Explorer*, for traffic counter location 105448, accessed at dtapps.coloradodot.info/Otis, 25 June 2014.
92 Ibid.
93 Ibid.
94 Ibid.; 2014 YTD data through 30 June 2014.
95 Colorado Department of Transportation, *C-470 Tolted Express Lanes Project* (application to U.S. Department of Transportation TIGER program), 28 April 2014, 3.
Rehabilitating the existing highway on its current footprint would cost approximately $370 million. See Wisconsin Department of Transportation, *I-94 East-West Corridor, Draft Environmental Impact Statement*, February 2014. The state ruled out that option in September 2013, leaving in place options costing up to $1.2 billion, as much as $800 million more than the now-discarded rebuild option. See Lydia Mulvany, “I-94 Expansion Plan Riles Milwaukee Residents, City Leaders,” *Milwaukee Journal-Sentinel*, 2 September 2013.
96 Steve Schultze, “County Board Opposes Double-Deck Option for I-94,” *Milwaukee Journal-Sentinel*, 19 December 2013; Bill Glauber and Don Walker, “Scott Walker, Tom Barrett Square Off Over I-94 Traffic Plan,” *Milwaukee Journal-Sentinel*, 18 June 2014; Lydia Mulvany, “I-94 Expansion Plan Riles Milwaukee Residents, City Leaders,” *Milwaukee Journal-Sentinel*, 2 September 2013.
98 Brandon Cruz, “‘We Want More and Better Options: Some Not Happy With DOT’s Plan to Expand I-94,’” *Fox6Now.com*, 16 June 2014.
99 Public Policy Forum, *Milwaukee County’s Transit Crisis: How Did We Get Here and What Do We Do Now?*, May 2008.
100 “Milwaukee metropolitan area” is Milwaukee County, Ozaukee County, Waukesha County and Washington County, per Joel Rast, University of Wisconsin-Milwaukee Center for Economic Development, *Out of Service: The Impact of Transit Cuts on Access to Jobs in Metropolitan Milwaukee*, October 2008, 3. Total job number combines low-range estimates of 40,507 jobs from 2001 to 2007, per Joel Rast, University of Wisconsin-Milwaukee Center for Economic Development, *Out of Service: The Impact of Transit Cuts on Access to Jobs in Metropolitan Milwaukee*, October 2008, 3; 24,350 jobs from 2011 cuts, per Joel Rast, University of Wisconsin-Milwaukee Center for Economic Development, *An Analysis of the Impact of Proposed 2011 Milwaukee County Transit Service Reductions on Access to Employment*, September 2010, 3; and 13,553 jobs from 2012 cuts, per Joel Rast, University of Wisconsin-Milwaukee Center for Economic Development, *An Analysis of the Impact of Proposed 2012 Milwaukee County Transit Service Reductions on Access to Employment*, September 2011, 3.
101 Public Policy Forum, *Milwaukee County’s Transit Crisis: How Did We Get Here and What Do We Do Now?*, May 2008, 21.
102 Southeastern Wisconsin Regional Planning Commission, *Milwaukee County*
103 Southeastern Wisconsin Regional Planning Commission, *Milwaukee County Transit System Development Plan*, October 2010, 239.
104 Wisconsin Department of Transportation, Office of Policy, Budget and Finance, *2013-15 Biennial Budget Highlights: 2013 Wisconsin Act 20*, 2013.
105 See note 96.
106 Ibid.
107 City of Milwaukee Common Council, *Substitute Resolution Setting Forth the City of Milwaukee’s Position on the Draft Findings of a Study Entitled “A Regional Freeway Reconstruction System Plan for Southeastern Wisconsin,” a.k.a. SEWRPC Planning Report No. #7* (Resolution 011729), 26 March 2002; Milwaukee County Board of Supervisors, *Weisbar Freeway Expansion Resolution* (Resolution 13-940), 26 November 2013.
108 Wisconsin Department of Transportation, *I-94 East-West Corridor – Need/Purpose*, 25 July 2013, accessed at www.dot.wi.gov/projects/sergion/94stadiumint/need.htm, 20 June 2014.
109 Data for traffic count locations 401920, 400002, 401947, 400050, 401953, 400003, 400035 from Wisconsin Traffic and Operations Safety Laboratory, *Hourly Traffic Data for Milwaukee County*, accessed at transportal.cee.wisc.edu/products/hourly-traffic-data/bysiteid/milwaukee.html, 28 July 2014.
110 Ibid.
111 Wisconsin Department of Transportation, *Vehicle Miles of Travel (VMT)*, accessed at www.dot.wisconsin.gov/travel/counts/vmt.htm, 29 July 2014.
112 Ibid.
113 Tom Van Heeke and Tony Dutzik, Frontier Group, and Bruce Speight, WISPIRG Foundation, *Road Overkill: Wisconsin Spends Big on Questionable Highways, Even as Driving Declines*, May 2013.
114 Michigan Department of Transportation, *I-94 Rehabilitation Project, Final Environmental Impact Statement and Section 4(f) Evaluation*, December 2004, 2-13.
115 Michigan Department of Transportation, *Traffic Monitoring Information System*, accessed at mdotnetpublic.state.mi.us/tmispublic, 12 June 2014.
116 Ashley Woods, “I-94 Expansion: Controversial SEMCOG Vote Passes, Will Widen Freeway Through Detroit,” *Huffington Post*, 20 June 2013.
117 Arts and culture: Courtney Balestier, “As Detroit Flounders, Its Art Scene Flourishes,” *New York Times*, 6 August 2013; retail and commercial space: CBS Detroit, *Rock Ventures, Detroit Planners Show Off New Retail Plan for Downtown Detroit*, 28 March 2013, accessed at detroit.cbslocal.com/2013/03/28/rock-ventures-detroit-planners-show-off-new-retail-plan-for-downtown-detroit, 28 July 2014; innovative planning: Trent Design, Midtown Detroit Inc., *Downtown Revitalization Fellows Program*, 6 April 2014, accessed at midtowndetroitinc.org/newsroom/latest-news/detroit-revitalization-fellows-program-0, 28 July 2014; promotion of downtown living: Dawn Jamison, Opportunity Detroit, *The Live Downtown Games Return to Detroit*, 21 July 2014, accessed at opportunitydetroit.com/blog/live-downtown-games-return-detroit, 28 July 2014; national attention: Michigan State Housing Development Authority, *Detroit Sets Perfect Backdrop for Downtown Revitalization Conference Starting Sunday* (press release), 14 May 2014, accessed at www.michigan.gov/mshda/0,4641,7-141-7559_9637-328618--,00.html, 28 July 2014.
118 Jon Zemke, “M-1 Rail Construction Comes Alive, Duggan Calls for Expansion,” *ModelDMedia.com*, 29 July 2014.
119 Tommy O’Flynn, “Opinion: Heart of Midtown Threatened by Widening of I-94,” *ModelDMedia.com*, 18 June 2013.
120 The project would provide crossings “in three blocks or less of existing” crossings, but that is on each side of the trench; people used to riding or walking directly across the trench would have to go down the street three blocks, cross, and then back up three blocks. Michigan Department of Transportation, *I-94 Rehabilitation Project, Final Environmental Impact Statement and Section 4(f) Evaluation*, December 2004, 5-24.
121 Number of business and residential properties: Michigan Department of Transportation, *I-94 Rehabilitation Project, Final Environmental Impact Statement and Section 4(f) Evaluation*, December 2004, 5-21, 5-24; National Register of Historic Places eligible buildings: Timothy Boscarrino, “I-94 Freeway Expansion: Is Your House on the Demo List?,” *WeAreModeShift.org*, 13 July 2012; “oldest recording studio”: Ashley Woods, “I-94 Expansion: Controversial SEMCOG Vote Passes, Will Widen Freeway Through Detroit,” *Huffington Post*, 20 June 2013.
122 See note 114.
123 Angie Schmitt, “Detroit Advocates Challenge Michigan DOT’s Highway Expansions Plan,” *Streetshblog.org*, 5 December 2013.
124 See note 115.
125 Ibid.
126 Michigan Department of Transportation, *I-94 Rehabilitation Project, Final Environmental Impact Statement and Section 4(f) Evaluation*, December 2004, 2-12, 2-13.
127 Southeast Michigan Council of Governments, *What the Public Thinks*, accessed at www.sem cog.org/Sustainability_Infrastructure.aspx, 13 June 2014.
128 Matthew Dolan, “Broken Buses Vex a Broke City,” *Wall Street Journal*, 19 March 2014, A3.
129 Route: Illinois Department of Transportation and Indiana Department of Transportation, *Tier Two Preferred Alternative Map*, accessed at www.illianacorridor.org, 3 September 2014; prairie: U.S. Forest Service, *Midewin National Tallgrass Prairie*, accessed at www.fs.usda.gov/main/midewin/home, 3 September 2014.
130 Chicago Metropolitan Agency for Planning, *Recommendation on Proposed Illiana Corridor* (staff memorandum), 27 September 2013.
131 Chicago Metropolitan Agency for Planning, *Re: Proposed Amendment to GO TO 2040 – Illiana Corridor* (staff memorandum), 30 July 2013, 4.
132 The CMAP staff analysis found an improvement in the regional economy in 2040 of one-twentieth of a percent, compared to one quarter percent by the highway planners. Chicago Metropolitan Agency for Planning, *Re: Proposed Amendment to GO TO 2040 – Illiana Corridor* (staff memorandum), 30 July 2013, 14.
133 Greg Hinz, “Environmental Groups Sue to Block Illiana Expressway,” *Crain’s Chicago Business*, 17 April 2014.
134 Greg Hinz, “War Breaks Out Again Over Illiana Expressway,” *Crain’s Chicago Business*, 29 August 2014.
135 See note 133.
136 $1.3 billion estimate: Illinois Department of Transportation, *A Close Look at the Illiana Facts*, 26 August 2013; $2.8 billion estimate: Greg Hinz, “Federal Transit Watchdog Dings Illiana Expressway,” *Crain’s Chicago Business*, 1 August 2013, accessed at www.chicagobusiness.com/article/20130801/BLOGS02/130739924/federal-transit-watchdog-dings-illiana-expressway, 19 May 2014.
137 Richard Wronski, “Illiana Agreement Commits Illinois to Spend $250M,” *Chicago Tribune*, 7 May 2014.
138 Chicago Metropolitan Agency for Planning, *Recommendation on Proposed Illiana Corridor* (staff memorandum), 27 September 2013, 6-7.
138 Chicago Metropolitan Agency for Planning, *Recommendation on Proposed Illiana Corridor* (staff memorandum), 27 September 2013, 7.
140 U.S. Department of Transportation, Illinois Department of Transportation and Indiana Department of Transportation, *Tier Two Draft Environmental Impact Statement*, January 2014, Appendix C, 4.
141 Definition of 18-county region: Illinois Department of Transportation and Indiana Department of Transportation, *Draft Transportation System Report (TSP)*, 25 April 2012, 4.
142 Indiana Department of Transportation, *Historical Indiana VMT by County (1992–2012)*, accessed at www.in.gov/indot/2469.htm, 25 July 2014; Illinois Department of Transportation, *Illinois Travel Statistics*, accessed at www.dot.state.il.us/adtravelstats.html, 25 July 2014.
143 Illinois Department of Transportation and Indiana Department of Transportation, *Draft Transportation System Report (TSP)*, 25 April 2012, 114.
144 See note 142.
145 Indiana Department of Transportation, *Historical Indiana VMT by County (1992–2012)*, accessed at www.in.gov/indot/2469.htm, 25 July 2014; Illinois Department of Transportation, *Illinois Travel Statistics*, accessed at www.dot.state.il.us/adtravelstats.html, 25 July 2014; Illinois Department of Transportation and Indiana Department of Transportation, *Draft Transportation System Report (TSP)*, 25 April 2012, 114; Indiana Department of Transportation, *Historical Indiana VMT by County (1992–2012)*, accessed at www.in.gov/indot/2469.htm, 25 July 2014; Illinois Department of Transportation, *Illinois Travel Statistics*, accessed at www.dot.state.il.us/adtravelstats.html, 25 July 2014.
146 Except where otherwise noted, this text box is adapted and condensed from Phineas Baxandall, U.S. PIRG Education Fund, and Kari Wohlschlegel and Tony Dutzik, Frontier Group, *Private Roads, Public Costs: The Facts About Toll Road Privatization and How to Protect the Public*, Spring 2009.
147 John B. Gilmous, “The Indiana Toll Road Lease as an Intergenerational Cash Transfer,” *Public Administration Review*, 16 August 2012.
148 Ohio Department of Transportation and U.S. Federal Highway Administration, *Cleveland Opportunity Corridor Project: Draft Environmental Impact Statement*, August 2013, project location: ES-2, ES-3; project cost: 2-6.
149 Greater Cleveland Regional Transit Authority, Annual Reports 2013.
150 Ohio Department of Transportation, Division of Planning, Office of Technical Services, *Daily Vehicle Miles Traveled Report (DVMT)*, accessed at www.dot.state.oh.us/Divisions/Planning/TechServ/traffic/Pages/DVMT.aspx, 17 July 2014.
151 Counties in MSA: White House Office of Management and Budget, *Revised Delineations of Metropolitan Statistical Areas, Micropolitan Statistical Areas, and Combined Statistical Areas, and Guidance on Uses of the Delineations of These Areas* (OMB Bulletin 13–01), 28 February 2013, 28, accessed at www.whitehouse.gov/sites/default/files/omb/bulletins/2013/b-13–01.pdf, 17 July 2014; VMT: Ohio Department of Transportation, Division of Planning, Office of Technical Services, *Daily Vehicle Miles Traveled Report (DVMT)*, accessed at www.dot.state.oh.us/Divisions/Planning/TechServ/traffic/Pages/DVMT.aspx, 17 July 2014.
152 See note 150.
153 Michael O’Malley, “Jackson Targets Street Repaving as a Citywide Priority This Year,” *Cleveland Plain Dealer*, June 4, 2013, A1.
154 Ohio Department of Transportation, *Transportation Review Advisory Council Policy and Procedures*, 2 June 2011, 6.
155 Greater Cleveland Rapid Transit Authority, *Annual Report, 2005-2013*, accessed at www.riderta.com/annual, 23 June 2014.
156 Alison Grant, “Fate of Opportunity Corridor Rapid Transit Stops in Limbo,” *Plain Dealer*, 17 June 2014.
157 “The Big Road Solution: A Critical Look at the Opportunity Corridor,” *RustWire.com*, 3 April 2014.
158 Chris Stocking, “Opportunity Nowhere: The Beginner’s Guide to Being Outraged Over the $330 Million Opportunity Corridor,” *Cleveland Scene*, 2 July 2014.
159 “Disproportionately high and adverse”: Ohio Department of Transportation and U.S. Federal Highway Administration, *Cleveland Opportunity Corridor Project: Draft Environmental Impact Statement*, August 2013, ES-9; number and types of buildings relocated: Angie Schmitt, “The Ohio Department of Transportation Is Completely Tone Deaf,” *OpportunityCorridor.com*, 11 April 2014 and Angie Schmitt, “Institutional Barriers to Addressing Neighborhood Level Public Health Concerns,” *OpportunityCorridor.com*, 3 June 2014; nine roads dead-ending: Chris Stocking, “Opportunity Nowhere: The Beginner’s Guide to Being Outraged Over the $330 Million Opportunity Corridor,” *Cleveland Scene*, 2 July 2014.
160 Ohio Department of Transportation and U.S. Federal Highway Administration, *Cleveland Opportunity Corridor Project: Draft Environmental Impact Statement*, August 2013, 2-6.
161 Chris Stocking, “A Call for the Opportunity Corridor To Be Reevaluated With More Transparency and Honesty,” *EatRighteous.org*, 18 March 2014.
162 Steven Litt, “Opportunity Corridor Project Director Says the $331 Million Project Is In ‘Catch-Up’ Mode on Neighborhood Economic Benefits,” *Plain Dealer*, 29 August 2014; Chris Stocking, “Opportunity Nowhere: The Beginner’s Guide to Being Outraged Over the $330 Million Opportunity Corridor,” *Cleveland Scene*, 2 July 2014.
163 Mike Piepsny, Kim Foreman and Mandy Metcalf, Environment Health Watch, “Opportunity Corridor Will Not Help Residents Who Don’t Own a Car” (letter to the editor), *Cleveland Plain Dealer*, 6 November 2013.
164 Natural Resources Defense Council, *National Survey of Transportation Options: Cuyahoga County Key Findings*, 27 August 2012, accessed at docs.nrdc.org/energy/ene_12090401.asp, 23 June 2014.
165 Georgia Department of Transportation, *Project Concept Report CSMSL-0006-00 (700)*, 10 November 2009, 3, 7.
166 JE Jacobs Carter Burgess for Georgia Department of Transportation Office of Planning, *Multi-modal Transportation Study for Effingham County, Final Report*, July 2008, E-1.
167 Georgia Department of Transportation, *State Transportation Improvement Program* (draft), 28 July 2014.
168 Projections: Georgia Department of Transportation, *Project Concept Report CSMSL-0006-00 (700)*, 10 November 2009, 3; actual numbers: Georgia Department of Transportation, *State Traffic And Report Statistics (STARS)*, for traffic count locations 103-0151, 103-0137, 103-0131, 051-0109, 051-0112, 051-0307, 051 0387, 051-0386, and 051-0388, accessed at www.dot.ga.gov/informationcenter/Statistics/stars/Pages/default.aspx, 24 June 2014.
169 Ibid.
170 Ibid.
171 Greg Bluestein, “Georgia, Savannah Move to Benefit from Panama Canal Expansion,” *Savannah Morning News*, 27 September 2013.
172 JE Jacobs Carter Burgess for Georgia Department of Transportation Office of Planning, *Multi-modal Transportation Study for Effingham County*, July 2008, 5-19.
173 Georgia Department of Transportation, *Project Concept Report CSMSL–0006–00 (700)*, 10 November 2009, 7.
174 Patrick Donahue, “County Approves Parkway Concept,” *Effingham Herald*, 5 June 2014.
175 Ibid.
176 Jay Bookman, “Ga.’s Road to Decline Is Full of Potholes and Traffic Jams,” *Atlanta Journal-Constitution*, 7 August 2014.
177 Atlanta Regional Commission, *Financing Transportation*, accessed at www.atlantaregional.com/transportation/financing-transportation, 16 July 2014.
178 Georgia Department of Transportation, *Governor’s Road Improvement Project*, accessed at www.dot.ga.gov/Projects/programs/Pages/GRIP.aspx, 14 August 2014.
179 North Carolina Department of Transportation, *I-26 Connector: Draft Environmental Impact Statement*, March 2007, 1-4.
180 I26ConnectUs Project, *Project History*, accessed at www.i26connectusproject.org/Home/documents/project-history, 9 July 2014; I26ConnectUs Project, *NCDOT Traffic Modeling*, accessed at www.i26connectusproject.org/Home/documents/ncdot-traffic-modeling, 9 July 2014.
181 North Carolina Department of Transportation, *I-26 Connector*, accessed at www.ncdot.gov/projects/i26connector, 9 July 2014.
182 North Carolina Department of Transportation, *I-26 Connector: Draft Environmental Impact Statement*, March 2007, 8-26.
183 North Carolina Department of Transportation, *I-26 Connector: Draft Environmental Impact Statement*, March 2007, 1-45.
184 North Carolina Department of Transportation, *AADT Stations Shapefile*, accessed at www.ncdot.gov/projects/trafficsurvey, 18 June 2014.
185 Ibid.
186 North Carolina Department of Transportation, *I-26 Connector: Draft Environmental Impact Statement*, March 2007, 1-45.
187 Michael Wray, North Carolina Department of Transportation, *I-26 Connector Project: Newsletter #10*, April 2014.
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AN ORDINANCE TO AMEND CHAPTERS 4, 5, AND 28 OF THE TOWN OF CHEVY CHASE MUNICIPAL CODE TO CLARIFY APPLICABILITY.
WHEREAS, Maryland Code, Local Government Article, Section 5-202, as amended, authorizes the legislative body of each municipal corporation in the State of Maryland to pass ordinances that such legislative body deems necessary to assure the good government of the municipality, to protect and preserve the municipality’s rights, property and privileges, to preserve peace and good order, to secure persons and property from danger and destruction, and to protect the health, comfort, and convenience of the citizens of the municipality;
WHEREAS, Maryland Code, Local Government Article, Section 5-211, as amended, authorizes the legislative body of each municipal corporation in the State of Maryland to make reasonable regulations concerning buildings to be erected within the limits of the municipality, including a building code and the requirement for building permits;
WHEREAS, Maryland Code, Land Use Article, Section 20-509 grants to the legislative body of incorporated municipalities in the Maryland-Washington Regional District general power to adopt building regulations for the protection of the public health, safety, and welfare; the preservation, improvement, and protection of lands, water, and improvements in the municipal corporation; and to regulate the construction, repair, or remodeling of buildings on land zoned for residential uses at it relates to fences, walls, hedges, and similar barriers; signs; residential parking; residential storage; the location of structures, including setback requirements; the dimensions of structures, including height, bulk, massing, and design; and lot coverage, including impervious surfaces;
WHEREAS, Section 301 of the Town of Chevy Chase Charter authorizes the Town Council to pass ordinances as it may deem necessary for the good government of the Town; for the protection and preservation of the Town’s property, rights and privileges; for the preservation of peace and good order; for securing persons and property from violence, danger and destruction; and for the protection and promotion of the health, safety, comfort, convenience, welfare, and happiness of the resident(s) of the Town; and for such other police and health matters as it may deem necessary;
WHEREAS, after proper notice to the public, the Town Council introduced the following Ordinance in an open meeting conducted on the 8th day of November 2023;
WHEREAS, to comply with Maryland Code, Land Use Article, Section 20-509, on the 9th day of November 2023, a copy of following Ordinance was submitted to the Montgomery County Council for its comments;
WHEREAS, the Montgomery County Council indicated receipt of the draft on the 24th day of November 2023 and provided no comments;
WHEREAS, after proper notice to the public, and after at least thirty days from the date a copy of the following Ordinance was transmitted to the Montgomery County Council, the Town Council considered the following Ordinance in public session assembled on the 13th day of December 2023;
WHEREAS, the Town Council finds that certain provisions of the Town’s building regulations, sign regulations, and water drainage regulations, when substantially amended or adopted, effective in May 2008, December 2008, and December 2006, respectively, were intended to apply primarily to the residential lots in the Town being used for residential purposes, and not to the Chevy Chase Elementary School, the Jane E. Lawton Community Recreation Center, or the property formerly known as the 4-H Center, which is now being re-developed as a senior housing project;
WHEREAS, the Town Council finds that said regulations should be amended to clarify their applicability;
WHEREAS, nothing contained herein shall be construed to prevent the Town from adopting new ordinances in the future to regulate lots not being used for residential purposes;
WHEREAS, the Town Council finds that the ordinance as hereinafter set forth is necessary for the good government of the Town; for the protection and preservation of the Town’s property, rights and privileges; for the preservation of peace and good order; for securing persons and property from violence, danger and destruction; and for the protection and promotion of the health, safety, comfort, convenience, welfare, and happiness of the residents of the Town;
THEREFORE, BE IT ORDAINED AND ORDERED, this 13th day of December 2023, by virtue of the authority given to it by the Maryland Code and the Town of Chevy Chase Charter, the Town Council of the Town of Chevy Chase does hereby adopt the following ordinance.
SECTION 1. BE IT ORDAINED AND ORDERED, by the Town Council of the Town of Chevy Chase, acting under and by virtue of the aforementioned authority, that the Town Code is hereby amended to read as follows:
* * *
Chapter 4 – BUILDINGS
ARTICLE I. – IN GENERAL
Sec. 4-0. – Applicability.
(a) The provisions of this chapter apply to all real property and lots within the Town, except as expressly exempted by this section.
(b) The provisions of this chapter apply to all lots within the town that were used for residential purposes, or were vacant, as of May 17, 2008, and apply to any additional or new construction on such lots, and to the redevelopment of such lots.
(c) Sections 4-2(b) (Requirements for a preliminary plan and pre-permit application consultation), 4-3 (Building height, massing, and neighborhood compatibility), 4-4 (Building location requirements; prohibitions), 4-5 (Accessory building construction; prohibitions), 4-6 (Front-loading garages), 4-7 (Developmental nonconformities), 4-9 (Driveways), and 4-52 (Structures, walls, fences, guardrails, handrails, berms, trees, hedges, shrubbery and other plant growth on private property) of this chapter do not apply to a lot within the town that was used for institutional purposes as of May 17, 2008 for so long as such lot remains in institutional use. Said sections of this chapter shall apply to a lot if the use of the lot changes to a non-institutional use.
(d) Notwithstanding anything to the contrary contained herein, nothing in this section shall be construed to prevent the town from adopting any ordinances in the future to regulate any type of construction on any property in the town.
Footnote: May 17, 2008 is the effective date of Ordinance No. 08-01, adopted April 16, 2008, by which the Town’s building regulations were substantially amended.
Sec. 4-1. - Definitions.
(a) In this chapter, the following terms shall have the meanings indicated.
(b) Terms defined.
* * *
Institutional Use or Purpose: A use or purpose of an organization or establishment founded for a specific purpose, such as a hospital, church, school, community recreation center, senior living facility, or similar entity.
(a) The construction, expansion, or replacement of a driveway or driveway apron within a public right-of-way or on private property shall require a building permit and, in addition, be subject to the following requirements:
(1) There shall be no more than one (1) driveway for a lot. A driveway shall have no more than one (1) curb entrance at a street, provided however, that this limit shall not apply to a driveway on a lot requiring vehicular access to Bradley Lane, Connecticut Avenue, or East-West Highway. Except as provided above, in the event any portion of a shared driveway is located on a lot, the lot may not have an additional curb entrance.
(2) Driveways in the public right-of-way.
(a) A driveway shall be no wider than ten (10) feet in the public right-of-way.
(b) Notwithstanding the foregoing, a driveway in the public right-of-way that is wider than ten (10) feet as of May 17, 2008, may be maintained, altered, repaired, or replaced provided the width is not increased.
(c) At the curb entrance, the driveway apron may have an additional two and one-half (2½) foot radius on each side for a total width of up to a maximum of fifteen (15) feet. The driveway apron may have a maximum width of ten (10) feet where it intersects the sidewalk or four (4) feet from the paved street surface if there is no sidewalk.
(d) Notwithstanding the foregoing, a driveway apron that is wider than fifteen (15) feet, as of May 17, 2008, may be maintained, altered, repaired, or replaced provided the width is not increased.
(3) Driveways on private property.
(a) A driveway on private property shall be no wider than ten (10) feet in front of the front building line, except that this restriction shall not apply to lots with frontage on Bradley Lane, Connecticut Avenue or East-West Highway.
(b) Notwithstanding the foregoing, a driveway on private property that is wider than ten (10) feet as of May 17, 2008, may be maintained, altered, repaired, or replaced provided the width is not increased.
(4) Shared driveways.
(a) A shared driveway in the public right-of-way or on private property shall be no wider than twenty (20) feet, in front of the front building line farthest from the street, provided, however, that no more than ten (10) feet of the width shall be located on any one lot.
(b) Notwithstanding the foregoing, a shared driveway that is wider than twenty (20) feet in front of the front building line or ten (10) feet on one lot, as of May 17, 2008, may be maintained, altered, repaired, or replaced provided the width is not increased.
(c) At the curb entrance, the shared driveway apron may have an additional two and one half (2½) foot radius on each side for a total width of up to a maximum of twenty-five (25) feet. The driveway apron may have a maximum width of twenty (20) feet where it intersects the sidewalk or four (4) feet from the paved street surface if there is no sidewalk.
(d) Notwithstanding the foregoing, a shared driveway apron that is wider than twenty-five (25) feet, as of May 17, 2008, may be maintained, altered, repaired, or replaced provided the width is not increased.
(5) A curb entrance, driveway apron, and any sidewalk at the intersection of the driveway shall be installed in accordance with county construction standards in effect when the town permit is issued.
(6) The measurement of the width of a driveway or driveway apron shall be made from one (1) edge of the driveway or driveway apron to the other edge. Driveway and driveway apron width shall be measured parallel, or approximately parallel in the case of an oddly-shaped lot, to the front property line.
(7) Improved surfaces adjacent to a driveway or driveway apron are included in the driveway width unless there is an unimproved buffer of at least two (2) feet between the improved surface and the driveway or driveway apron. Notwithstanding the foregoing, up to four (4) feet of a public sidewalk and/or a private walkway may cross the unimproved buffer and intersect a driveway.
(b) The town manager shall grant a permit to construct or expand a curb entrance, driveway, driveway apron, or sidewalk only if the proposed construction would comply with all laws, rules, regulations, and ordinances, and would not interfere with the public health, safety, or welfare. In determining whether the construction would interfere with the public health, safety, or welfare, the town manager shall consider the following:
(1) In determining whether the construction would interfere with the public health, safety, or welfare, the town manager shall consider the following:
a. Location of trees, hedges, berms, shrubbery, or other plant growth;
b. Location of fences, walls, or other structures;
c. Location of public utilities;
d. Vehicle or pedestrian traffic hazards, including obstruction of visibility;
e. Location of other public and private improvements in the public right of way;
f. Location of other potential access points for the subject property;
g. Distance from other existing and proposed curb cuts on the same street;
h. Water drainage;
i. Traffic and parking congestion;
j. Detrimental impacts on other public and private property in the town resulting from noise and/or litter; and
k. Other factors as may be determined by the town manager to be necessary to protect the public health, safety, or welfare.
(2) Any person aggrieved by a decision or action of the town manager under this section may file an appeal to the town council according to section 4-61. In addressing such an appeal, the town council may affirm or overturn the decision of the town manager, may direct the town manager to issue a permit, or may direct the town manager to issue a permit upon such conditions, terms, or restrictions as the town council may deem necessary to accomplish the intent and purposes of this chapter.
Sec. 4-9A. - Driveway aprons.
(a) The construction, expansion, or replacement of a driveway apron shall require a building permit and, in addition, be subject to the following requirements:
(1) There shall be no more than one (1) curb entrance for a lot, provided however, that this limit shall not apply to a lot requiring vehicular access to Bradley Lane, Connecticut Avenue, or East-West Highway. Except as provided above, in the event any portion of a shared driveway is located on a lot, the lot may not have an additional curb entrance.
(2) Driveway aprons in the public right-of-way.
(a) A driveway apron shall be no wider than ten (10) feet in the public right-of-way. At the curb entrance, a driveway apron may have an additional two and one-half (2½) foot radius on each side for a total width of up to a maximum of fifteen (15) feet. The driveway apron may have a maximum width of ten (10) feet where it intersects the sidewalk or four (4) feet from the paved street surface if there is no sidewalk. The provisions of this subparagraph (2)(a) shall not apply to a lot within the town that was used for institutional purposes as of May 17, 2008 for so long as such lot remains in institutional use. Said provisions shall apply to a lot if the use of the lot changes to a non-institutional use.
(b) Notwithstanding the foregoing, a driveway apron that is wider than fifteen (15) feet, as of May 17, 2008, may be maintained, altered, repaired, or replaced provided the width is not increased.
(3) Shared driveways.
(a) At the curb entrance, a shared driveway apron may have an additional two and one-half (2½) foot radius on each side for a total width of up to a maximum of twenty-five (25) feet. The driveway apron may have a maximum width of twenty (20) feet where it intersects the sidewalk or four (4) feet from the paved street surface if there is no sidewalk.
(d) Notwithstanding the foregoing, a shared driveway apron that is wider than twenty-five (25) feet, as of May 17, 2008, may be maintained, altered, repaired, or replaced provided the width is not increased.
Sec. 4-9B. – Driveways and driveway aprons, miscellaneous requirements.
(a) A curb entrance, driveway apron, and any sidewalk at the intersection of the driveway shall be installed in accordance with county construction standards in effect when the town permit is issued.
(b) The measurement of the width of a driveway or driveway apron shall be made from one (1) edge of the driveway or driveway apron to the other edge. Driveway and driveway apron width shall be measured parallel, or approximately parallel in the case of an oddly-shaped lot, to the front property line.
(c) Improved surfaces adjacent to a driveway or driveway apron are included in the driveway width unless there is an unimproved buffer of at least two (2) feet between the improved surface and the driveway or driveway apron. Notwithstanding the foregoing, up to four (4) feet of a public sidewalk and/or a private walkway may cross the unimproved buffer and intersect a driveway.
(d) The town manager shall grant a permit to construct or expand a curb entrance, driveway, driveway apron, or sidewalk only if the proposed construction would comply with all laws, rules, regulations, and ordinances, and would not interfere with the public health, safety, or welfare. In determining whether the construction would interfere with the public health, safety, or welfare, the town manager shall consider the following:
(1) In determining whether the construction would interfere with the public health, safety, or welfare, the town manager shall consider the following:
a. Location of trees, hedges, berms, shrubbery, or other plant growth;
b. Location of fences, walls, or other structures;
c. Location of public utilities;
d. Vehicle or pedestrian traffic hazards, including obstruction of visibility;
e. Location of other public and private improvements in the public right-of-way;
f. Location of other potential access points for the subject property;
g. Distance from other existing and proposed curb cuts on the same street;
h. Water drainage;
i. Traffic and parking congestion;
j. Detrimental impacts on other public and private property in the town resulting from noise and/or litter; and
k. Other factors as may be determined by the town manager to be necessary to protect the public health, safety, or welfare.
(2) Any person aggrieved by a decision or action of the town manager under this section may file an appeal to the town council according to section 4-61. In addressing such an appeal, the town council may affirm or overturn the decision of the town manager, may direct the town manager to issue a permit, or may direct the town manager to issue a permit upon such conditions, terms, or restrictions as the town council may deem necessary to accomplish the intent and purposes of this chapter.
Chapter 5 – SIGNS
Sec. 5-0. – Applicability
(a) The provisions of this chapter apply to all real property and lots within the Town, except as expressly exempted by this section.
(b) The provisions of this chapter apply to all lots within the town that were used for residential purposes, or were vacant, as of December 13, 2008, and apply to any additional or new construction on such lots, and to the redevelopment of such lots.
(c) Sections 5-3(1) (Private property), 5-5 (Temporary directional signs), and 5-7 (Signs permitted) of this chapter do not apply to a lot within the town that was used for institutional purposes as of December 13, 2008 for so long as such lot remains in institutional use. Said sections of this chapter shall apply to a lot if the use of the lot changes to a non-institutional use.
(d) Notwithstanding anything to the contrary contained herein, nothing in this section shall be construed to prevent the town from adopting any ordinances in the future to regulate signs on any property in the town.
Footnote: December 13, 2008 is the effective date of Ordinance No. 08-14, adopted November 12, 2008, by which the Town’s sign regulations were substantially amended.
Sec. 5-2. - Definitions.
The following words, terms and phrases, when used in this article, shall have the meanings ascribed to them in this section, except where the context clearly indicates a different meaning:
Institutional Use or Purpose: A use or purpose of an organization or establishment founded for a specific purpose, such as a hospital, church, school, community recreation center, senior living facility, or similar entity.
Chapter 28 – WATER DRAINAGE
Sec. 28-1. - Purpose and authority.
(a) The purpose of this chapter is to protect, maintain and enhance the public health, safety, and general welfare by establishing minimum requirements and procedures to control the adverse impacts associated with water drainage. Proper management of water drainage will minimize damage to public and private property, reduce the effects of development on land, control stream channel erosion, reduce local flooding, and maintain after development, as nearly as possible, the pre-development runoff characteristics.
(b) The provisions of this chapter are adopted under the authority of the Local Government and the Land Use Articles 23A of the Annotated Code of Maryland and the Town of Chevy Chase Charter and shall apply to all development occurring within the incorporated boundaries of the Town of Chevy Chase except as expressly exempted by this section. The provisions of this chapter apply to all lots within the town that were used for residential purposes, or were vacant, as of December 8, 2006, and apply to any additional or new construction on such lots, and to the redevelopment of such lots. The application of this chapter shall be the minimum water drainage requirements and shall not be deemed a limitation or repeal of any other powers granted by state statute.
(c) The provisions of this chapter do not apply to a lot within the town that was used for institutional purposes as of December 8, 2006 for so long as such lot remains in institutional use. The provisions of this chapter shall apply to a lot if the use of the lot changes to a non-institutional use.
(d) Notwithstanding anything to the contrary contained herein, nothing in this section shall be construed to prevent the town from adopting any ordinances in the future to regulate any type of development activity on any property in the town.
Footnote: December 8, 2006 is the effective date of Ordinance No. 06-11, adopted November 8, 2006, by which the Town’s Water Drainage Ordinance was adopted.
Sec. 28-2. - Definitions.
(a) In this chapter, the following terms shall have the meanings indicated.
(b) Terms defined.
* * *
Institutional Use or Purpose: A use or purpose of an organization or establishment founded for a specific purpose, such as a hospital, church, school, community recreation center, senior living facility, or similar entity.
* * *
SECTION 2. AND BE IT FURTHER ORDAINED AND ORDERED, by the Town Council of the Town of Chevy Chase, acting under and by virtue of the aforementioned authority, that:
(1) If any part or provision of this ordinance is declared by a court of competent jurisdiction to be invalid, the part or provision held to be invalid shall not affect the validity of the ordinance as a whole or any remaining part thereof; and
(2) This ordinance shall take effect on the 12th day of January 2024 (30 days after adoption).
ATTEST:
Stephanie Martz, Secretary
TOWN OF CHEVY CHASE
Irene Lane, Mayor
Town of Chevy Chase
Bold and Underline indicates new material
Strike through indicates material deleted
* * * indicates material unchanged
|
Polar rotation angle identifies elliptic islands in unsteady dynamical systems
Mohammad Farazmand\textsuperscript{a,}\textsuperscript{*}, George Haller\textsuperscript{b}
\textsuperscript{a} Center for Nonlinear Science, School of Physics, Georgia Institute of Technology, 837 State Street, Atlanta GA 30332, USA
\textsuperscript{b} Department of Mechanical and Process Engineering, ETH Zürich, 8092 Zürich, Switzerland
\textbf{HIGHLIGHTS}
- Rigid body rotation of phase space elements extracted from flow gradient.
- Polar rotation angle (PRA) is introduced to identify invariant tori.
- Applications to vortex detection are illustrated.
\textbf{ARTICLE INFO}
\textit{Article history:}
Received 20 March 2015
Received in revised form 3 September 2015
Accepted 8 September 2015
Available online 4 November 2015
Communicated by H.A. Dijkstra
\textbf{Keywords:}
Non-autonomous dynamical systems
Invariant tori
Coherent structures
Turbulence
Polar decomposition
\textbf{ABSTRACT}
We propose rotation inferred from the polar decomposition of the flow gradient as a diagnostic for elliptic (or vortex-type) invariant regions in non-autonomous dynamical systems. We consider here two- and three-dimensional systems, in which polar rotation can be characterized by a single angle. For this polar rotation angle (PRA), we derive explicit formulas using the singular values and vectors of the flow gradient. We find that closed level sets of the PRA reveal elliptic islands in great detail, and singular level sets of the PRA uncover centers of such islands. Both features turn out to be objective (frame-invariant) for two-dimensional systems. We illustrate the diagnostic power of PRA for elliptic structures on several examples.
© 2015 Elsevier B.V. All rights reserved.
\section{Introduction}
Complex dynamical systems exhibit a mixture of chaotic and coherent behavior in their phase space. The latter manifests itself in coherent islands of regular behavior surrounded by a chaotic background flow. The best known classic examples of such islands are formed by Kolmogorov–Arnold–Moser (KAM) tori, composed of quasi-periodic trajectories in Hamiltonian systems (see, e.g., [1,2]). Outside elliptic regions filled by such tori, chaotic trajectories dominate the dynamics. For steady, time-periodic and quasi-periodic flows, the techniques of KAM theory help in visualizing elliptic regions (see, e.g., [3,4] for recent examples).
Even more intriguing is the existence of similar elliptic islands in turbulent fluid flow, as broadly confirmed by experiments and numerical simulations (see, e.g., [5,6]). Just as KAM islands, coherent vortices capture trajectories and keep them out of chaotic mixing zones. Unlike KAM tori, however, coherent vortices are composed of trajectories that are generally not recurrent in any frame. During their finite time of existence, these coherent vortices traverse without filamentation but also without displaying any particular periodic or quasiperiodic pattern. Still, we generally refer to such regions here as elliptic, as they mimic the dynamic role of elliptic islands occupied by classic KAM tori.
Eulerian approaches to describing elliptic islands seek domains where rotation dominates the instantaneous velocity field. At the simplest level, this involves locating regions of closed streamlines, high enough vorticity or low enough pressure (cf. [7,8] for reviews). Such domains reveal instantaneous velocity field features at a low cost, but are unable to frame long-term material coherence exhibited by trajectories. In addition, the results from these instantaneous approaches depend on the choice of scalar thresholds and on the frame of reference.
More sophisticated Eulerian principles for elliptic regions seek sets of points where rotation dominates strain (see, e.g., [9–12,7,13], and also Jeong and Hussain [7] and Haller [8] for...
reviews). These principles infer both rotation and strain from the instantaneous velocity gradient, thereby rendering the results Galilean invariant. The elliptic regions they provide, however, still change under rotations of the frame. Since truly unsteady flows have no distinguished frame of reference [14], frame-dependence in the detection of vortical structures is an impediment. Indeed, the available measurement velocity data of geophysical flows is often given in a rotating frame to begin with, and no optimal frame is known a priori for structure detection. More importantly, no mathematical relationship is known (or likely to exist) between instantaneous rotation–strain principles and material coherence over extended time intervals.
In contrast, Lagrangian approaches to elliptic islands seek to identify regions where trajectories stay close for longer periods. These approaches can roughly be divided into three categories: geometric, set-based and diagnostic methods. The geometric methods identify elliptic domain boundaries as special closed material lines showing no filamentation [15–17] or curvature change [18]. Set-based methods partition the phase space into almost invariant subsets (see [19,20] and references therein). While the boundaries of such sets may undergo filamentation, the overall subsets remain largely coherent. Finally, diagnostic approaches propose Lagrangian scalar fields whose features are expected to distinguish mixing regions from coherent ones [21–26]. These Lagrangian methods do not return identical results and are not backed by specific mathematical results on the features they highlight. In fact, the material invariance of the extracted vortical boundaries is only guaranteed in the case of the geodesic approach of Haller and Beron-Vera [15] and Haller [17].
The Lagrangian methods listed above focus on stretching or lack thereof. In contrast, very few Lagrangian diagnostics target rotation, even though sustained and coherent rotation is perhaps the most striking feature of trajectories forming elliptic islands. One of the few exceptions targeting material rotation is the finite-time rotation number (FTRN), developed to detect hyperbolic (i.e., repelling or attracting as opposed to vortical) structures through its ridges [27]. The FTRN assumes that the dynamical system is defined via an iterated map with an annular phase space. For dynamical systems with general time dependence and non-annular phase space, however, this approach is not applicable. This also means that the approach is frame-dependent, given that translations and rotations will generally destroy the time-periodicity of a dynamical system.
Another Lagrangian diagnostic involving a consideration of rotation is the mesoconic analysis of Mezić et al. [25]. This approach offers a formal extension of the Okubo–Weiss principle from the velocity gradient to the flow gradient, classifying an initial condition as elliptic if the flow gradient has complex eigenvalues at that point. The mesoelliptic diagnostic is efficient to compute and has been shown to mark vortical regions in several cases. The complex eigenvalues of a finite-time flow map, however, have no known mathematical relationship with elliptic islands in flows with general time dependence. Accordingly, some annular subsets of classic elliptic domains fail the test of meso-ellipticity even in steady flows (cf. [25], Fig. 1).
Here we propose a mathematically precise assessment of material rotation, the polar rotation angle (PRA), as a new diagnostic for elliptic islands in two- and three-dimensional flows. The PRA is the angle of the rigid-body rotation component obtained from the classic polar decomposition of the flow gradient into a rotational and a stretching factor. We show how the PRA can readily be computed from invariants of the flow gradient and the Cauchy–Green strain tensor. Level sets of the PRA turn out to be objective (frame-invariant) in planar flows. We find that these level sets reveal the internal structure of elliptic islands in great detail at a relatively low computational cost. We also find that local extrema of the PRA mark elliptic island centers suitable for automated vortex tracking in Lagrangian fluid dynamics.
## 2. Preliminaries
### 2.1. Set-up
Consider the dynamical system
$$\dot{x} = u(x, t), \quad x \in D \subset \mathbb{R}^3, \quad t \in I \subset \mathbb{R},$$
with the corresponding flow map
$$F_{t_0}^t : D \to D$$
$$x_0 \mapsto x(t; t_0, x_0),$$
the diffeomorphism that takes the initial condition $x_0$ to its time-$t$ position $x(t; t_0, x_0)$ under system (1). Here, $D$ denotes the phase space and $I$ is a finite time interval of interest.
The deformation gradient $\nabla F_{t_0}^t$ governs the infinitesimal deformations of the phase space $D$. In particular, an initial perturbation $\xi$ at point $x_0$ and time $t_0$ is mapped, under the system (1), to $\nabla F_{t_0}^t(x_0)\xi$ at time $t$. We also define the right Cauchy–Green strain tensor,
$$C_{t_0}^t(x_0) := [\nabla F_{t_0}^t]^T \nabla F_{t_0}^t : x_0 \mapsto C_{t_0}^t(x_0),$$
where the symbol $^T$ denotes matrix transposition. The tensor $C_{t_0}^t(x_0)$ is symmetric and positive definite. Therefore, it has an orthonormal set of eigenvectors $(\xi_1(x_0), \xi_2(x_0), \xi_3(x_0))$. The corresponding eigenvalues $0 < \lambda_1(x_0) \leq \lambda_2(x_0) \leq \lambda_3(x_0)$ therefore satisfy
$$C_{t_0}^t(x_0)\xi_i(x_0) = \lambda_i(x_0)\xi_i(x_0), \quad i \in \{1, 2, 3\},$$
$$\langle \xi_j(x_0), \xi_k(x_0) \rangle = 0, \quad j, k \in \{1, 2, 3\}, \quad j \neq k,$$
with $\langle \cdot, \cdot \rangle$ denoting the Euclidean inner product. For notational simplicity, we omit the dependence of the eigenvalues and eigenvectors on $t_0$ and $t$.
### 2.2. Polar decomposition
Any square matrix admits a factorization into the product of a unitary matrix with a symmetric positive-semidefinite matrix [28]. When the square matrix is nonsingular, such as $\nabla F_{t_0}^t$, then the symmetric factor in the decomposition is positive definite.
Specifically, the deformation gradient $\nabla F_{t_0}^t$ admits a unique decomposition of the form
$$\nabla F_{t_0}^t = R_{t_0}^t U_{t_0}^t,$$
where the $3 \times 3$ matrices $R_{t_0}^t$ and $U_{t_0}^t$ have the following properties [28–30]:
1. The rotation tensor $R_{t_0}^t$ is proper orthogonal, i.e.,
$$(R_{t_0}^t)^T R_{t_0}^t = R_{t_0}^t (R_{t_0}^t)^T = I, \quad \det R_{t_0}^t = 1.$$
2. The right stretch tensor $U_{t_0}^t$ is symmetric and positive-definite, satisfying
$$[U_{t_0}^t]^2 = C_{t_0}^t.$$
3. The eigenvalues of $U_{t_0}^t$ are $\sqrt{\lambda_k}$ with corresponding eigenvectors $\xi_k$:
$$U_{t_0}^t(x_0)\xi_k(x_0) = \sqrt{\lambda_k(x_0)}\xi_k(x_0), \quad k = 1, 2, 3.$$
4. The time derivative of the rotation tensor satisfies
$$\dot{R}_{t_0}^t = \left( W(x(t), t) - \frac{1}{2} R_{t_0}^t \left[ \dot{U}_{t_0}^t (U_{t_0}^t)^{-1} \right. \right.$$ $$\left. \left. - (U_{t_0}^t)^{-1} \dot{U}_{t_0}^t \right] (R_{t_0}^t)^T \right) R_{t_0}^t,$$
where \( W = \frac{1}{2} \left[ \nabla u - (\nabla u)^\top \right] \) is the vorticity (or spin) tensor and \( x(t) \) is a shorthand notation for the trajectory \( x(t; t_0, x_0) \). A derivation of (9) can be found, e.g., in [31, Section 23].
The geometric interpretation of the polar decomposition is the following [29,32]. At any point \( x_0 \) of the phase space, the orthogonal basis \( \{\xi_k\}_{1 \leq k \leq 3} \) is mapped into \( \{\nabla F^t_{t_0}(x_0)\xi_k\}_{1 \leq k \leq 3} \) under the linearized flow map \( \nabla F^t_{t_0} \). Any stretching and compression in the deformation is encoded into the stretch tensor \( U^t_{t_0} \), while the overall rigid-body rotation of material elements is encoded into the rotation tensor \( R^t_{t_0} \). Fig. 1 illustrates the action of these tensors on area elements in two dimensions.
When mapped forward under the deformation gradient \( \nabla F^t_{t_0} \), a general unit vector \( a \) experiences two stages of rotation. First, \( a \) is rotated (and simultaneously stretched) by the stretch tensor \( U^t_{t_0} \) into the vector \( U^t_{t_0} a \). This first stage of rotation is entirely due to shear, with the magnitude and axis of rotation depending on \( a \). The second stage of rotation experienced by \( a \) is due to the rotation tensor \( R^t_{t_0} \), which rotates \( a \) into its final position \( R^t_{t_0} U^t_{t_0} a \) at time \( t \). This second rotation acts in the same way on all \( U^t_{t_0} a \) vectors by the proper orthogonal nature of \( R^t_{t_0} \).
Formed by the eigenvectors of \( C^t_{t_0} \), the principle rectangle illustrated in Fig. 2 has a special feature: it is the unique rectangle on which the first stage of rotation under \( U^t_{t_0} \) is inactive. This is because the edges of the principal rectangle align with the eigenvectors of \( U^t_{t_0} \) (cf. eq. (8) and Fig. 1), and hence remain unrotated by \( U^t_{t_0} \). The total rotation experienced by the edges of the principal rectangle is, therefore, just the rigid-body rotation exerted by the rotation tensor \( R^t_{t_0} \).
Formula (9) shows the difference between instantaneous Eulerian rotation measured by the vorticity tensor \( W \) and finite-time material rotation measured by \( R^t_{t_0} \). In particular, at an initial time \( t_0 \), we have
\[
R^t_{t_0} \big|_{t=t_0} = W(x_0, t_0),
\]
but \( R^t_{t_0} \) differs from the vorticity tensor \( W(x(t), t) \) for times \( t \neq t_0 \).
### 3. Polar rotation angle (PRA)
The classic procedure for computing the polar decomposition in continuum mechanics starts with determining \( U^t_{t_0} \) as the principal square root of the Cauchy–Green strain tensor (cf. formula (7)). This is the simplest to do by diagonalizing \( C^t_{t_0} \), taking the positive square root of its diagonal elements, and transforming back the resulting matrix from the strain eigenbasis to the original basis. Next, one obtains the rotation tensor directly from (6) as \( R^t_{t_0} = \nabla F^t_{t_0} \left[ U^t_{t_0} \right]^{-1} \). More efficient numerical procedures are also available (see [33] and the references cited therein).
These computational approaches, however, offer little insight into the geometry of the rotation generated by \( R^t_{t_0} \). Taking a more geometric approach, one may recall that any three-dimensional rotation \( R^t_{t_0} \) has a Rodrigues representation [34] of the form
\[
R^t_{t_0} = I + \sin \theta^t_{t_0} P^t_{t_0} + (1 - \cos \theta^t_{t_0}) \left[ P^t_{t_0} \right]^2,
\]
(10)
where \( I \) is the \( 3 \times 3 \) identity matrix and \( P^t_{t_0} \) is a \( 3 \times 3 \) skew-symmetric matrix such that
\[
P^t_{t_0} a = r^t_{t_0} \times a, \quad \forall a \in \mathbb{R}^3.
\]
The unit vector \( r^t_{t_0} \) is the eigenvector of \( R^t_{t_0} \) corresponding to its unit eigenvalue, i.e.,
\[
R^t_{t_0}(x_0)r^t_{t_0}(x_0) = r^t_{t_0}(x_0).
\]
(11)
For planar flows, the eigenvector \( r^t_{t_0} \) is the unit normal to the plane of motion, and hence is independent of \( x_0 \). In three-dimensions, \( r^t_{t_0} \) depends on the location \( x_0 \) in a way discussed in the next section (cf. Proposition 1).
Once an orientation for the unit vector \( r^t_{t_0}(x_0) \) is selected, the angle \( \theta^t_{t_0}(x_0) \in [0, 2\pi) \) is uniquely determined. This angle measures the amount of local solid-body rotation experienced by material elements along the trajectory \( x(t; t_0, x_0) \).
**Definition 1.** We refer to the scalar function
\[
\theta^t_{t_0}(x_0) \in [0, 2\pi)
\]
determined by (10) as the *polar rotation angle* (PRA) at the initial condition \( x_0 \) with respect to the time interval \([t_0, t]\).
### 4. Computing the PRA
Taking the trace of both sides in (10), then taking the skew-symmetric part of both sides of (10) yields the formulas
\[
\cos \theta^t_{t_0} = \frac{1}{2} \left( \text{tr } R^t_{t_0} - 1 \right),
\]
(12a)
\[
\sin \theta^t_{t_0} = \frac{\left[ \widehat{R}^t_{t_0} \right]_{ij}}{\left[ P^t_{t_0} \right]_{ij}} \quad (i \neq j), \quad \widehat{R}^t_{t_0} := \frac{1}{2} \left( R^t_{t_0} - \left[ R^t_{t_0} \right]^\top \right).
\]
(12b)
To evaluate the expression for \( \cos \theta^t_{t_0} \) in (12a), Guan-Suo [35] expressed \( \text{tr } R^t_{t_0} \) as a somewhat cryptic function of the scalar invariants of the matrices \( \nabla F^t_{t_0}, \frac{1}{2} \left( \nabla F^t_{t_0} + \left[ \nabla F^t_{t_0} \right]^\top \right) \) and \( U^t_{t_0} \). Here we derive a simply computable and intuitive alternative that only involves quantities arising in typical Lagrangian coherent structure calculations [17]: the deformation gradient, and the eigenvalues and eigenvectors of the Cauchy–Green strain tensor.
Proposition 1. (1) In three-dimensional flows, the PRA satisfies the relations
\[
\cos \theta^t_{t_0} = \frac{1}{2} \left( \sum_{i=1}^{3} \frac{\langle \xi_i, \nabla F^t_{t_0} \xi_i \rangle}{\sqrt{\lambda_i}} - 1 \right),
\]
\[
\sin \theta^t_{t_0} = \frac{\langle \xi_i, \nabla F^t_{t_0} \xi_j \rangle - \langle \xi_j, \nabla F^t_{t_0} \xi_i \rangle}{2 \epsilon_{ijk} e_k}, \quad i \neq j \in \{1, 2, 3\},
\]
where \(e = (e_1, e_2, e_3)^T\) is the normalized eigenvector corresponding to the unit eigenvalue of the matrix
\[
[K'_{t_0}]_{jk} = \frac{\langle \xi_j, \nabla F^t_{t_0} \xi_k \rangle}{\sqrt{\lambda_k}}, \quad j, k \in \{1, 2, 3\},
\]
and \(\epsilon_{ijk}\) is the Levi-Civita symbol. Furthermore, we have \(e = r^t_{t_0}\) where \(r^t_{t_0}\) is the axis of rotation defined by (11).
(2) In two-dimensional flows, we have
\[
\cos \theta^t_{t_0} = \frac{\langle \xi_i, \nabla F^t_{t_0} \xi_i \rangle}{\sqrt{\lambda_i}}, \quad i = 1 \text{ or } 2,
\]
\[
\sin \theta^t_{t_0} = (-1)^j \frac{\langle \xi_i, \nabla F^t_{t_0} \xi_j \rangle}{\sqrt{\lambda_j}}, \quad (i, j) = (1, 2) \text{ or } (2, 1),
\]
where \(\lambda_1 \leq \lambda_2\) are the eigenvalues of the two-dimensional Cauchy–Green strain tensor with corresponding eigenvectors \(\xi_1\) and \(\xi_2\).
Proof. See Appendix A.
Using both expressions in the formulas (13) (or formulas (14), in the two-dimensional case), the four-quadrant polar rotation angle \(\theta^t_{t_0} \in [0, 2\pi)\) can be reconstructed as
\[
\theta^t_{t_0} = \left[ 1 - \text{sign} \left( \sin \theta^t_{t_0} \right) \right] \pi + \text{sign} \left( \sin \theta^t_{t_0} \right) \cos^{-1} \left( \cos \theta^t_{t_0} \right),
\]
where
\[
\text{sign}(\alpha) = \begin{cases}
1 & \text{if } \alpha \geq 0 \\
-1 & \text{if } \alpha < 0.
\end{cases}
\]
For completeness, in Appendix B, we also derive a formula for the total rotation of an arbitrary material element, not just for the strain eigenvectors. Evaluating this general formula is computationally more costly, as it involves advecting initial directions by the flow map through all intermediate times within the interval \([t_0, t]\). In addition, due to the non-rigid-body nature of deformation along a trajectory, the total material rotation will be different for different material elements. When evaluated on initial directions aligned with \(\xi_1\) and \(\xi_2\), however, this total Lagrangian rotation agrees with the PRA modulo multiples of \(2\pi\).
5. Polar LCS
A recent approach to the systematic detection of elliptic Lagrangian coherent structures (LCS) targets closed material lines that exhibit no filamentation over the finite time interval \([t_0, t]\) [15,17]. These elliptic LCSs turn out to be uniformly stretching closed material lines, i.e., all their subsets exhibit the same relative stretching. Outermost members of nested elliptic LCS families then serve as the ideal boundaries of perfectly coherent elliptic islands.
Here we propose a dual approach to elliptic LCSs by requiring uniformity in the polar rotation of material elements forming the LCS, as opposed to uniformity in their stretching.
Definition 2. A polar Lagrangian coherent structure (polar LCS) over the time interval \([t_0, t]\) is a closed (i.e., tubular in 3D and circular in 2D) and connected codimension-one material surface whose time \(t_0\) position is a level set of \(\theta^t_{t_0}(x_0)\).
As any material surface, a polar LCS is invariant under the flow. It is formed by trajectories starting from a closed and connected level set of \(\theta^t_{t_0}(x_0)\) at time \(t_0\). The following simple observation shows that polar LCSs can be detected as connected and closed level sets of trigonometric functions of \(\theta^t_{t_0}(x_0)\), and hence are directly computable from the formulas (13)–(14).
Proposition 2. Connected components of the level sets of \(\cos \theta^t_{t_0}\) and \(\sin \theta^t_{t_0}\) coincide with connected components of the level sets of \(\theta^t_{t_0}(x_0)\).
**Proof.** Assume the contrary, i.e., the existence of two points \( x_0 \) and \( \hat{x}_0 \) that are in the same connected component of a level set \( L \) of \( \cos \theta^L_{t_0}(x_0) \) but on different connected level sets of \( \theta^L_{t_0}(x_0) \). Then on any continuous path connecting \( x_0 \) and \( \hat{x}_0 \), the polar rotation angle \( \theta^L_{t_0} \) should change continuously from \( \theta^L_{t_0}(x_0) \) to \( \theta^L_{t_0}(\hat{x}_0) \neq \theta^L_{t_0}(x_0) \), and hence \( \cos \theta^L_{t_0} \) cannot be constant along this path. Since \( x_0 \) and \( \hat{x}_0 \) are in the connected set \( L \), there is therefore a continuous path connecting \( x_0 \) and \( \hat{x}_0 \) within \( L \) along which \( \cos \theta^L_{t_0}(x_0) \) cannot be constant. But this contradicts the assumption that \( L \) is a level set of \( \cos \theta^L_{t_0}(x_0) \). The argument for \( \sin \theta^L_{t_0} \) is identical. \( \square \)
A practical consequence of **Proposition 2** is that connected level sets of \( \theta^L_{t_0}(x_0) \) can be constructed as those of \( \cos \theta^L_{t_0} \) and \( \sin \theta^L_{t_0} \), without verifying the orientability of \( r^L_{t_0}(x_0) \) on \( U \). This renders the computation of the tensor \( K^L_{t_0} \) and the rotation axis \( r^L_{t_0} \) unnecessary, as one can compute the two-quadrant angle \( \theta^L_{t_0} \in [0, \pi] \) from Eq. (13a) as
\[
\theta^L_{t_0} = \cos^{-1} \left[ \frac{1}{2} \left( \sum_{i=1}^{3} \frac{\langle \xi_i, \nabla F^L_{t_0} \xi_i \rangle}{\sqrt{\lambda_i}} - 1 \right) \right].
\] (16)
**Proposition 2** ensures that the level sets of \( \theta^L_{t_0} \) computed from (16) coincide with those of the four-quadrant PRA angle computed from (15).
All quantities derived from the deformation gradient \( \nabla F^L_{t_0} \) are invariant with respect to time-dependent translations of the coordinate frame. Therefore, polar LCSs are Galilean invariant objects. For two-dimensional flows, polar LCSs also turn out to be invariant under time-dependent rotations of the frame. In the language of continuum mechanics [31], polar LCSs in two dimensions are objective.
**Proposition 3.** In two-dimensional flows, a polar LCS over the time interval \([t_0, t]\) is objective, i.e., invariant under coordinate changes of the form
\[
x = Q(t)y + b(t),
\] (17)
where \( Q(t) \in SO(2) \) and \( b(t) \in \mathbb{R}^2 \) are smooth functions of time \( t \).
**Proof.** See Appendix C.
An elliptic island marked by the PRA has a natural center point: the PRA extremum point surrounded by closed PRA contours. This leads to the following definition of a Lagrangian vortex center:
**Definition 3.** A Lagrangian vortex center over the time interval \([t_0, t]\) is a set of trajectories evolving from a connected, codimension-two level set of \( \theta^L_{t_0}(x_0) \).
A Lagrangian vortex center identified from the PRA is, therefore, composed of a single trajectory in two dimensions and of a one-parameter family of trajectories (i.e., a material line) in three dimensions. Despite recent progress in the accurate detection of coherent Lagrangian vortex boundaries [17], approaches to Lagrangian vortex center definition and detection have notably been missing. As we illustrate in Section 6.2, vortex centers defined as PRA extrema indeed show distinguished behavior: they capture the translational motion of an elliptic island without being affected by the rotational motion of trajectories inside the island. As connected level sets of the PRA, the Lagrangian vortex centers defined in **Definition 3** are also objective in two-dimensional flows (cf. **Proposition 3**).
### 6. Examples
In this section, we compute the PRA on several examples to illustrate how its closed level curves (i.e., initial positions of polar LCSs) highlight the internal structure of elliptic islands in detail. The first three examples, presented in Sections 6.1–6.3, are planar flows. These two-dimensional flows are a special case of (1) satisfying \( \partial_x u(x, t) \equiv 0, i = 1, 2, 3 \). A fully three-dimensional flow is considered in Section 6.4.
#### 6.1. Standard map
We first consider the standard map
\[
l_{n+1} = l_n + \epsilon \sin \phi_n,
\]
\[
\phi_{n+1} = \phi_n + l_{n+1},
\] (18)
which is a Poincaré map \( P \) of a rotor excited by a periodic impulsive force [36]. In the absence of the impulse, i.e., for \( \epsilon = 0 \), the angular momentum \( l_n \) is constant and the angular position \( \phi_n \) increases linearly as an integer multiple of the angular momentum.
For \( \epsilon \neq 0 \), however, the system can exhibit complicated dynamics. Depending on the initial condition \((l_0, \phi_0)\), the trajectories may be periodic, quasi-periodic or chaotic. The quasi-periodic trajectories lie on KAM tori, the classic examples of vortical structures that we wish to visualize through the PRA.
The left plot in Fig. 3a shows 1000 iterations of the standard map for 400 uniformly distributed initial conditions and \( \epsilon = 1 \). This reveals invariant KAM tori, resonance islands and chaotic regions. The right panel of the same figure shows the PRA, computed from formula (15) with \( i = 2 \), with the flow map being equal to 200 iterations of the map (18), i.e. \( F^L_{t_0}(x_0) = P^{200}(x_0) \), where \( x_0 = (\phi_0, l_0) \) and \( (\phi_{n+1}, l_{n+1}) = P(\phi_n, l_n) \). To ensure the accuracy of the finite differences for the computation of the deformation gradient \( \nabla F^L_{t_0} \), we use a dense grid of initial conditions consisting of 1000 \( \times \) 1000 uniformly distributed points over the phase space \( \mathbb{T}^2 = [0, 2\pi] \times [0, 2\pi] \).
Fig. 3b shows a close-up of a region of the phase space containing chaotic trajectories, KAM tori and a period-5 resonance island. For this close-up view, the Poincaré map is recomputed from 1000 iterations of 2500 initial conditions. The corresponding PRA plot on the right is computed only from 500 iterations, i.e., \( F^L_{t_0} = P^{500} \).
We conclude that the KAM tori and resonance islands are sharply enhanced by the PRA relative to a simple iteration of the map, even though the number of iterations used in constructing the PRA plot is only half the number used for the Poincaré map. The chaotic region is marked by small-scale rapid variations in the PRA, in line with the sensitive dependence of the rotation angle on initial conditions in these regions.
Fig. 3 also shows that the center-type fixed points in the elliptic islands are clearly marked with local extrema of the PRA, supporting the idea of defining Lagrangian elliptic centers as stated in **Definition 3**.
#### 6.2. Two-dimensional turbulence
Consider the Navier–Stokes equation
\[
\partial_t u + u \cdot \nabla u = -\nabla p + \nu \Delta u + f, \quad \nabla \cdot u = 0,
\] (19)
where \( \nu \) is the kinematic viscosity and \( f \) denotes the forcing. For an ideal two-dimensional fluid flow (\( \nu = 0 \) and \( f = 0 \)), the vorticity \( \omega \), given by \( \nabla \times u = (0, 0, \omega) \), is preserved along fluid trajectories, i.e.,
\[
\frac{D\omega}{Dt} = 0,
\] (20)
where \( \frac{D}{Dt} := \partial_t + u \cdot \nabla \) is the material derivative. Therefore, closed level curves of vorticity are material curves, acting as barriers to the transport of fluid particles. In the presence of molecular diffusion
and external forcing, however, vorticity is not a material invariant and hence its closed contours no longer signal elliptic islands for fluid trajectories.
To illustrate the use of PRA in detecting elliptic islands in a turbulent flow, we solve the Navier–Stokes equation (19) with $\nu = 10^{-5}$ on the domain $D = [0, 2\pi] \times [0, 2\pi]$ with periodic boundary conditions. We use a pseudo-spectral method with $512^2$ modes to evaluate the spatial partial derivatives and the nonlinear term. The external forcing is random in phase and only active over the wave-numbers $3.5 < k < 4.5$. The forcing amplitude is time-dependent and chosen to balance the instantaneous enstrophy dissipation $-\nu \int_D |\nabla \omega(x, t)|^2 dx$. The time integration is carried out by a variable step-size, fourth-order Runge–Kutta method [37]. We solve the equation up to time $t = 100$. We observe that the turbulent flow is fully developed after 50 time units. Therefore, we choose times $t_0 = 50$ and $t = 100$ as the initial and final times for the computation of the PRA $\theta^t_{t_0}$.
Such two-dimensional turbulent flows tend to generate long-lasting coherent vortices [38], which are also prevalent in geophysical flows [39]. Highly coherent Lagrangian signatures of such vortices have been recently identified as regions bounded by uniformly stretching material lines [15,17].
Here, we take an alternative approach and identify coherent Lagrangian vortices as regions filled with polar LCSs. In other words, we seek the elliptic islands of turbulence as regions of closed material lines that pointwise have the same rigid-body rotation component in their deformation over the time interval of interest.
Fig. 4 (right panel) shows the PRA computed from formula (15) for $512 \times 512$ uniformly distributed initial conditions. The polar LCSs are clearly visible as concentric closed contours of $\theta^t_{t_0}(x_0)$. Fig. 5 shows a closeup view of a coherent Lagrangian vortex identified from the PRA plot. Note how the PRA shows a sharp distinction between the vortical region and the surrounding chaotic background. As in the case of the standard map (see Fig. 3), the chaotic region is marked by small-scale, sharp variations of the Lagrangian rotation due to sensitive dependence of material rotation angle on initial conditions.
While the velocity field is well-resolved, resolving small-scale Lagrangian structures requires significantly higher resolution [40–42]. At the present resolution, the Lagrangian structures in the chaotic region are not well-resolved. Nonetheless, the boundary of the vortex can be approximated by the contour across which the PRA transitions from concentric large-scale contours to small-scale sharp variations (see the red-colored contour in Fig. 5).
We now illustrate that the large-scale polar LCSs, defined by closed contours of the PRA (cf. Definition 2) indeed remain coherent under advection. We advect two such contours under the flow, with their advected positions shown in the right panel in Fig. 5 at time $t = 100$.
As a measure of coherence we define relative stretching of material lines as $[\ell(t) - \ell(t_0)] / \ell(t_0)$, where $\ell$ denotes the length of the material line as a function of time. The relative stretching of the blue and red contours are 2.65% and $-1.38\%$, respectively. These relative stretching values remain in the order of stretching exhibited by perfectly coherent elliptic LCSs obtained from the geodesic LCS theory [15].
The cross in Fig. 5 marks a local extremum of the PRA, which is a Lagrangian vortex center by our Definition 3. This local extremum indeed turns out to behave as the vortex center over the time interval of interest, i.e., $t \in [50, 100]$. Fig. 6 shows the trajectory starting from this PRA extremum, whose initial coordinates are...
(1.690, 5.380). For reference, two other trajectories are also shown with initial positions at 0.05 and 0.1 distance from the vortex center. Due to the complexity of the flow, the trajectory patterns are not illuminating. However, their $x$- and $y$-coordinates as a function of time reveal the oscillatory motion of nearby trajectories around the vortex center, while the vortex center itself has minimal oscillations (cf. middle and right panels of Fig. 6). The oscillations of the vortex center are due to the motion of the vortex as a whole. The nearby trajectories, however, exhibit higher frequency oscillations which are due to their swirling motion around the vortex center.
### 6.3. Stratified geophysical fluid flow
We consider a simplified model for stratified geophysical fluid flow, the barotropic equation. This equation, in the vorticity-stream form, reads [43]
$$\partial_t \omega + J(\psi, \omega) + \partial_x \psi = 0, \quad \omega = \Delta \psi,$$
where $\omega(x, y, t)$ and $\psi(x, y, t)$ are non-dimensional vorticity and stream function, respectively. In deriving this equation, the viscous dissipation is neglected and the Coriolis frequency is
assumed to be linear in the meridional coordinate $y$ (i.e., the $\beta$-plane approximation is used [43]). The Jacobian operator reads
$$J(\psi, \omega) = \partial_x \psi \partial_y \omega - \partial_y \psi \partial_x \omega.$$
The fluid velocity field $\mathbf{u}$ is given in terms of the stream function by $\mathbf{u} = (\partial_y \psi, -\partial_x \psi)$.
Vorticity is not preserved along fluid trajectories when the flow satisfies (21). Instead, one can show that the potential vorticity $q = \omega + \psi$ is conserved along these trajectories (see, e.g., [43]).
We consider a steady exact solution of the barotropic equation (21) called a modon: a uniformly propagating vortex dipole. For this modon solution, the stream function and vorticity are given respectively by
$$\psi(r, \varphi) = \left( \frac{J_1(r)}{J_1(1)} - r \right) \sin \varphi, \quad 0 \leq r \leq 1$$
$$\omega(r, \varphi) = -\frac{J_1(r)}{J_1(1)} \sin \varphi, \quad 0 \leq r \leq 1$$
in polar coordinates $(r, \varphi)$ where $r = \sqrt{x^2 + y^2}$, $\tan \varphi = y/x$ and $J_1$ is the Bessel function of the first kind [44]. This solution is written in a frame co-moving with the modon at a constant speed $c = 1$.
The stream function $\psi$ defines a flow on the invariant domain $r \leq 1$. While this solution can, in principle, be extended to the entire plane [44,45], here we only consider the motion inside the unit disk.
Fig. 7 shows the stream function, the vorticity and the potential vorticity for the modon solution (22). Since the flow is integrable, its stream function completely describes the flow structure, showing two counter-rotating vortices.
The vorticity $\omega$ is negative in the upper half-disk $y > 0$ and positive in the lower half-disk $y < 0$. Its contours, however, do not reveal the two vortices present in the flow. This is because unlike the two-dimensional Euler flows, vorticity is not conserved along the trajectories of the solutions of the barotropic equation (21).
The potential vorticity $q$, as a conserved quantity, reveals the eddies. Its level curves (Fig. 7, right panel) resemble those of the streamlines. In fact, the particular solution (22) of the barotropic equation satisfies $q = -\psi$.
Fig. 8 shows the PRA for integration times $t = 100, 250$ and $500$. The integration time $t = 100$ is chosen such that almost all periodic orbits of $\dot{\mathbf{x}} = \mathbf{u}(\mathbf{x})$ complete at least one period. Even with this relatively short integration time, PRA contours already reveal the vortices. Obtained from a finite-time assessment of the flow, the PRA contours deviate from the trajectories. As the integration time increases, however, the PRA contours converge to the streamlines and Lagrangian vortex centers obtained from the PRA converge to the elliptic fixed points of the flow.
6.4. ABC flow
As our last example, we consider the Arnold–Beltrami–Childress (ABC) flow $\dot{\mathbf{x}} = \mathbf{u}(\mathbf{x})$ where
$$\mathbf{u}(\mathbf{x}) = \begin{pmatrix} A \sin(z) + C \cos(y) \\ B \sin(x) + A \cos(z) \\ C \sin(y) + B \cos(x) \end{pmatrix},$$
with $\mathbf{x} = (x, y, z)$ and $A, B, C \in \mathbb{R}$ are constant parameters [2]. The velocity field $\mathbf{u}$ is an exact steady solution of Euler’s equation for inviscid Newtonian fluids with periodic boundary conditions. The ABC velocity field is a Beltrami vector field satisfying $\omega(\mathbf{x}) = \mathbf{u}(\mathbf{x})$ with $\omega = \nabla \times \mathbf{u}$ being the vorticity field.
In the following, we set $A = 1$, $B = \sqrt{2/3}$ and $C = \sqrt{1/3}$. The Lagrangian computations are carried out on a uniform grid of $200 \times 200 \times 200$ initial conditions distributed over the domain $\mathbb{T}^3 \in [0, 2\pi] \times [0, 2\pi] \times [0, 2\pi]$.
Fig. 9 (left panel) shows the helicity density $\langle u, \omega \rangle (= |\omega|^2)$. While such Eulerian features may suggest coherent vortical motion throughout the domain, the ABC flow is known to have chaotic fluid trajectories in addition to coherent swirling trajectories lying on invariant tori [46].
These invariant tori form vortical regions that we seek to capture from finite-time flow samples as elliptic regions. Using a local variational principle extremizing Lagrangian shear, elliptic LCSs approximating the tori from finite-time flow samples have been constructed by Blazevski and Haller [16]. Here we illustrate that polar LCSs obtained from the PRA also give a close approximation at a reduced computational cost.
Indeed, the PRA admits tubular level surfaces that closely approximate the invariant tori (Fig. 9, right panel). Codimension-two level sets of the PRA are periodic material curves at the cores of the elliptic regions. These material lines serve as Lagrangian vortex centers by Definition 3. As in earlier examples, outside the elliptic islands formed by these closed level surfaces, PRA levels exhibit small-scale variations due to sensitive dependence of the rotation angle on the initial conditions.
To examine how accurately the PRA field $\theta_{t_0}^L$ captures the tori and the chaotic region boundaries, we release two trajectories from the initial conditions $x_0 = (3.085, 0, 3.820)$ (red square in the bottom panel of Fig. 10) and $x_0 = (3.505, 0, 3.568)$ (blue square in the bottom panel of Fig. 10). The initial conditions are chosen such that they are nearby, yet one belongs to the chaotic region (red square) and the other (blue square) belongs to a smooth level-surface of the PRA signaling an invariant torus.
These initial conditions are then advected under the ABC flow from time $t = 0$ to $t = 500$. The resulting trajectories are shown in the top panel of Fig. 10. As expected, the blue trajectory remains on a torus while the red trajectory exhibits chaotic behavior. Note that all curves correspond to a single trajectory and only appear as line segments because they are plotted modulo $2\pi$. The intersections of the coherent trajectory with the Poincaré section $y = 0$ show that the PRA captures the invariant torus accurately (Fig. 10, bottom panel).
We stress that both initial conditions studied here belong to topologically equivalent regions of the local helicity $\langle u, \omega \rangle = |\omega|^2$. The vorticity magnitude, therefore, fails to distinguish vortical regions from chaotic regions. This is because vorticity magnitude is not a material invariant of the Euler’s equation in three dimensions and therefore does not generally capture material behavior.
7. Conclusions
Most approaches to coherent structures seek their signature in material separation or stretching. By contrast, we have developed here an approach to locate coherent structures based on their signature in material rotation. To quantify finite material rotation in a mathematically precise fashion, we have used the polar rotation tensor from the unique rotation-stretch factorization of the deformation gradient.
For two- and three-dimensional dynamical systems, we have derived explicit formulas for the polar rotation angle (PRA) generated by the rotation tensor around its axis of rotation. While polar rotation has broadly been studied and used in continuum mechanics, the simple formulas we have derived here for the PRA in terms of the flow gradient, its singular values and singular vectors have not been available. These formulas enable the efficient computation of the PRA from basic quantities provided by existing numerical algorithms for Lagrangian coherent structure detection.
Building on the PRA, we have also introduced the notion of polar Lagrangian coherent structures (polar LCSs). These are tubular material surfaces along which trajectories admit the same PRA value over a finite time interval of interest. We have proposed regions filled by polar LCSs as rotation-based generalizations of the classic elliptic islands filled by KAM tori in Hamiltonian systems.
As we demonstrated on a direct numerical simulation of two-dimensional turbulence, the PRA identifies Lagrangian vortex boundaries with high accuracy. While geodesic LCS theory of Haller and Beron-Vera [15] offers an exact detection of such vortex boundaries as solutions of differential equations, the present diagnostic detection of these boundaries as outermost closed PRA level curves is substantially less computational, and hence preferable for an approximate identification of these boundaries.
Outside the Lagrangian vortex boundaries, the PRA is dominated by small-scale noise due to its sensitive dependence on initial conditions. In these regions, therefore, the PRA displays no clear signature for hyperbolic LCSs governing chaotic tracer mixing. These latter types of LCSs, by contrast, are efficiently revealed by another objective diagnostic, the finite-time Lyapunov exponent (FTLE) [17]. The PRA and FTLE have a well-defined duality: the former is a scalar field characterizing the rotational factor $R_{t_0}^L$, while the latter characterizes the stretch factor $U_{t_0}^L$ in the polar decomposition $\nabla F_{t_0}^L = R_{t_0}^L U_{t_0}^L$ of the deformation gradient.
We have found that local extrema of the PRA mark initial positions of trajectories that serve as well-defined centers for elliptic islands. Oscillations in these center trajectories are minimal and arise solely due to the material translation of the underlying island. Nearby trajectories inside the elliptic island, on the other hand, oscillate rapidly due to their swirling motion around the center trajectory (cf. Fig. 6). The ability of the PRA to identify
a unique vortex center should be helpful in Lagrangian versions of the Eulerian eddy censuses carried out by Dong et al. [47] and Chelton et al. [48].
The elliptic island boundaries marked by PRA do not necessarily remain unfilamented under advection. If the goal is to find perfectly coherent Lagrangian vortices (see, e.g., [49]), then the geodesic theory of Haller and Beron-Vera [15] should be applied. This theory identifies material vortex boundaries as closed null geodesics of the generalized Green–Lagrange strain tensor. The related computations require the a priori identification of phase space regions where such closed geodesics may exist [50]. Vortex regions identified from the PRA provide a quickly computable starting point for the detection of closed Green–Lagrange null geodesics. Incorporating the vortex centers obtained from the PRA in the geodesic LCS analysis is, therefore, expected to lead to a notable computational speed-up.
Finally, the polar LCSs obtained as level curves of the PRA are frame-invariant for planar flows (see Proposition 3). Such objectivity is desirable for coherent structure identification methods in order to exclude false positives and negatives specific to the coordinate system used in the analysis [17]. In three dimensions, however, the PRA does depend on the reference frame. The objective detection of higher-dimensional elliptic islands from their rotational coherence, therefore, requires further work (cf. Refs. [51,52]).
Appendix A. Proof of Proposition 1
Part (1): The trace of a tensor is independent of the choice of basis. If we represent the rotation tensor $R_{t_0}^r$ in the orthonormal basis $\{\xi_k\}_{1 \leq k \leq 3}$, then its entries satisfy $[R_{t_0}^r]_{ij} = \langle \xi_i, R_{t_0}^r \xi_j \rangle$. Therefore, using formula (8), we can write
$$\text{tr } R_{t_0}^r = \sum_{i=1}^{3} \langle \xi_i, R_{t_0}^r \xi_i \rangle = \sum_{i=1}^{3} \left\langle \xi_i, \nabla F_{t_0}^t \left[ U_{t_0}^t \right]^{-1} \xi_i \right\rangle$$
$$= \sum_{i=1}^{3} \left\langle \xi_i, \nabla F_{t_0}^t \frac{1}{\sqrt{\lambda_i}} \xi_i \right\rangle = \sum_{i=1}^{3} \frac{\langle \xi_i, \nabla F_{t_0}^t \xi_i \rangle}{\sqrt{\lambda_i}},$$
(24)
which, together with (12a), proves formula (13a).
To prove formula (13b), we first note the coordinate form of Eq. (12b):
$$\frac{1}{2} \left( [R_{t_0}^r]_{ij} - [R_{t_0}^r]_{ji} \right) = \sin \theta_{t_0}^t \epsilon_{ijk} [r_{t_0}^t]_k.$$
Applying the same argument used in (24) in the strain eigenbasis, we obtain
$$\sin \theta_{t_0}^t = \frac{\left\langle \xi_i, \nabla F_{t_0}^t \frac{1}{\sqrt{\lambda_j}} \xi_j \right\rangle - \left\langle \xi_j, \nabla F_{t_0}^t \frac{1}{\sqrt{\lambda_i}} \xi_i \right\rangle}{2 \epsilon_{ijk} [r_{t_0}^t]_k}, \quad i \neq j.$$
(25)
Next we write the eigenvector \( \mathbf{r}_{t_0}^e \) in strain basis as \( \mathbf{r}_{t_0}^e = \sum_k e_k \mathbf{\xi}_k \) to obtain
\[
\sum_k e_k \dot{\mathbf{\xi}}_k = \mathbf{R}_{t_0}^e \sum_k e_k \dot{\mathbf{\xi}}_k = \nabla \mathbf{F}_{t_0}^e \left[ \mathbf{U}_{t_0}^e \right]^{-1} \sum_k e_k \dot{\mathbf{\xi}}_k \\
= \sum_k \frac{e_k}{\sqrt{\lambda_k}} \nabla \mathbf{F}_{t_0}^e \dot{\mathbf{\xi}}_k,
\]
which implies
\[
e_j = \sum_k \frac{\langle \dot{\mathbf{\xi}}_j, \nabla \mathbf{F}_{t_0}^e \dot{\mathbf{\xi}}_k \rangle}{\sqrt{\lambda_k}} e_k,
\]
or, equivalently, \( \mathbf{K}_{t_0}^e \mathbf{e} = \mathbf{e} \), with \( \mathbf{K}_{t_0}^e \) and \( \mathbf{e} \) defined in the statement of Proposition 1. Since \( \left[ \mathbf{r}_{t_0}^e \right]_j = e_k \), formula (25) proves (13b).
**Part (2):** Two-dimensional flows are parallel to a distinguished plane and exhibit no stretching or shrinking along the normal of this plane. In this case, we have
\[
\lambda_1 \leq \lambda_2 = 1 \leq \lambda_3,
\]
with the strain eigenvector \( \mathbf{\xi}_2 \) pointing in the normal of the plane in question. Formula (13) then gives
\[
\cos \theta_{t_0}^t = \frac{1}{2} \left( \frac{\langle \dot{\mathbf{\xi}}_1, \nabla \mathbf{F}_{t_0}^e \dot{\mathbf{\xi}}_1 \rangle}{\sqrt{\lambda_1}} + \frac{\langle \dot{\mathbf{\xi}}_3, \nabla \mathbf{F}_{t_0}^e \dot{\mathbf{\xi}}_3 \rangle}{\sqrt{\lambda_3}} \right).
\] (26)
Restricting our consideration to the two-dimensional plane of the flow, we reindex the quantities in formula (26) as \( \lambda_3 \rightarrow \lambda_2 \) and \( \dot{\mathbf{\xi}}_3 \rightarrow \dot{\mathbf{\xi}}_2 \), given that the original \( \lambda_3 \) strain eigenvalue of the flow is the second largest principal strain in the plane of the flow. After this re-indexing, Eq. (26) gives
\[
\cos \theta_{t_0}^t = \frac{1}{2} \sum_{i=1}^{2} \frac{\langle \dot{\mathbf{\xi}}_i, \nabla \mathbf{F}_{t_0}^e \dot{\mathbf{\xi}}_i \rangle}{\sqrt{\lambda_i}}.
\] (27)
The summands in this last expression are just the diagonal elements of the two-dimensional rotation tensor \( \mathbf{R}_{t_0}^e \) represented in the \( \{ \dot{\mathbf{\xi}}_1, \dot{\mathbf{\xi}}_2 \} \) basis (cf. our discussion leading to Eq. (24)). Since the diagonal elements of any two-dimensional rotation matrix are equal, formula (14a) follows from (27).
In two dimensions, the rotation tensor is of the form
\[
\mathbf{R}_{t_0}^e (\mathbf{x}_0) = \begin{pmatrix}
\cos \theta_{t_0}^t (\mathbf{x}_0) & \sin \theta_{t_0}^t (\mathbf{x}_0) \\
-\sin \theta_{t_0}^t (\mathbf{x}_0) & \cos \theta_{t_0}^t (\mathbf{x}_0)
\end{pmatrix}.
\] (28)
Thus, using the argument in (24), we obtain that
\[
\sin \theta_{t_0}^t = \langle \dot{\mathbf{\xi}}_1, \mathbf{R}_{t_0}^e \dot{\mathbf{\xi}}_2 \rangle = \frac{\langle \dot{\mathbf{\xi}}_1, \nabla \mathbf{F}_{t_0}^e \dot{\mathbf{\xi}}_2 \rangle}{\sqrt{\lambda_2}} = -\langle \dot{\mathbf{\xi}}_2, \mathbf{R}_{t_0}^e \dot{\mathbf{\xi}}_1 \rangle \\
= -\frac{\langle \dot{\mathbf{\xi}}_2, \nabla \mathbf{F}_{t_0}^e \dot{\mathbf{\xi}}_1 \rangle}{\sqrt{\lambda_1}},
\]
which is the PRA formula (14b).
### Appendix B. Total Lagrangian rotation in planar flows
The polar rotation \( \theta_{t_0}^t \) defined in Definition 1 is the net rotation of the \( \{ \dot{\mathbf{\xi}}_1, \dot{\mathbf{\xi}}_2 \} \) eigenbasis over the time interval \([t_0, t]\). This quantity, however, measures the rotation modulo \( 2\pi \) and does not differentiate between rotation by \( \theta_0 \) and \( \theta_0 + 2k\pi \). Here, we also derive an expression for the total Lagrangian rotation of the eigenbasis that distinguishes between rotations differing by an integer multiple of \( 2\pi \).
Consider the equations of variations for a given infinitesimal displacement \( \dot{\mathbf{\xi}} \),
\[
\dot{\mathbf{\xi}}(t) = \nabla \mathbf{u}(\mathbf{x}(t), t) \mathbf{\xi}(t).
\] (29)
Write \( \mathbf{\xi}(t) = r \mathbf{e}_\phi \) where \( \mathbf{e}_\phi = (\cos \phi, \sin \phi)^\top \) and \( (r, \phi) \) are functions of time. Substituting this in the equations of variations (29) we get
\[
i \mathbf{e}_\phi + r \dot{\phi} \mathbf{e}_\phi^\perp = r \nabla \mathbf{u}(\mathbf{x}(t), t) \mathbf{e}_\phi,
\] (30)
with \( \mathbf{e}_\phi^\perp = (-\sin \phi, \cos \phi)^\top \). Since \( \mathbf{e}_\phi \) and \( \mathbf{e}_\phi^\perp \) are perpendicular, we have
\[
\dot{r} = \langle \mathbf{e}_\phi, \nabla \mathbf{u}(\mathbf{x}(t), t) \mathbf{e}_\phi \rangle,
\] (31a)
\[
\dot{\phi} = \langle \mathbf{e}_\phi^\perp, \nabla \mathbf{u}(\mathbf{x}(t), t) \mathbf{e}_\phi \rangle.
\] (31b)
Therefore, solving Eq. (31b), the total rotation of an arbitrary displacement vector \( \dot{\mathbf{\xi}}_0 = (\cos \phi_0, \sin \phi_0)^\top \) is given by
\[
\theta_{\text{tot}} := \phi(t) - \phi_0 = \int_{t_0}^{t} \langle \mathbf{e}_\phi^\perp(\tau), \nabla \mathbf{u}(\mathbf{x}(\tau), \tau) \mathbf{e}_\phi(\tau) \rangle d\tau.
\] (32)
If the initial vector \( \dot{\mathbf{\xi}}_0 \) is chosen to be \( \dot{\mathbf{\xi}}_1 \) (or \( \dot{\mathbf{\xi}}_2 \)), \( \theta_{\text{tot}} \) measures the total rotation of the eigenbasis \( \{ \dot{\mathbf{\xi}}_1, \dot{\mathbf{\xi}}_2 \} \). We refer to \( \theta_{\text{tot}} \) as the *total Lagrangian rotation*.
In practice, for evaluating the total Lagrangian rotation (32), one needs to first compute the deformation gradient \( \nabla \mathbf{F}_{t_0}^e \) from which the strain directions \( \{ \dot{\mathbf{\xi}}_1, \dot{\mathbf{\xi}}_2 \} \) are computed. The orientation of \( \dot{\mathbf{\xi}}_1 \) (or alternatively \( \dot{\mathbf{\xi}}_2 \)) determines the appropriate initial condition \( \mathbf{e}_{\phi_0} = (\cos \phi_0, \sin \phi_0)^\top \) with which Eq. (31b) should be solved. Note that Eq. (31b) must be solved simultaneous with the dynamical system \( \dot{\mathbf{x}} = \mathbf{u}(\mathbf{x}, t) \) since \( \nabla \mathbf{u} \) is evaluated along trajectories \( \mathbf{x}(t; t_0, \mathbf{x}_0) \).
Therefore, evaluating the total Lagrangian rotation is more expensive than computing the PRA. The connected components of the level sets of \( \theta_{t_0}^t \) and \( \theta_{t_0}^t \) are identical by an argument similar to the one used in the proof of Proposition 2. Thus the polar LCSs revealed by these two scalars are also identical.
### Appendix C. Proof of Proposition 3
Differentiating both sides of the formula (17) with respect to the initial condition \( \mathbf{x}_0 \) gives
\[
\nabla \mathbf{F}_{t_0}^t = \mathbf{Q}(t) \nabla \tilde{\mathbf{F}}_{t_0}^t \mathbf{Q}^\top(t_0),
\] (33)
where \( \nabla \tilde{\mathbf{F}}_{t_0}^t \) denotes the deformation gradient in the \( \mathbf{y} = \tilde{\mathbf{F}}_{t_0}^t(\mathbf{y}_0) \) coordinate system. From (33), we obtain
\[
\nabla \tilde{\mathbf{F}}_{t_0}^t = \mathbf{Q}^\top(t) \nabla \mathbf{F}_{t_0}^t \mathbf{Q}(t_0) \\
= \mathbf{Q}^\top(t) \mathbf{R}_{t_0}^t \mathbf{U}_{t_0}^t \mathbf{Q}(t_0) \\
= \mathbf{Q}^\top(t) \mathbf{R}_{t_0}^t \mathbf{Q}(t_0) \mathbf{Q}^\top(t_0) \mathbf{U}_{t_0}^t \mathbf{Q}(t_0) \\
= \tilde{\mathbf{R}}_{t_0}^t \tilde{\mathbf{U}}_{t_0}^t,
\]
where the rotation tensor \( \tilde{\mathbf{R}}_{t_0}^t = \mathbf{Q}^\top(t) \mathbf{R}_{t_0}^t \mathbf{Q}(t_0) \) and the positive definite, symmetric tensor \( \tilde{\mathbf{U}}_{t_0}^t = \mathbf{Q}^\top(t_0) \mathbf{U}_{t_0}^t \mathbf{Q}(t_0) \) represent the unique polar decomposition of \( \nabla \tilde{\mathbf{F}}_{t_0}^t \). Then
\[
\text{tr} \tilde{\mathbf{R}}_{t_0}^t(\mathbf{y}_0) = \text{tr} \left[ \mathbf{Q}^\top(t) \mathbf{R}_{t_0}^t(\mathbf{x}_0) \mathbf{Q}(t_0) \right] \\
= \text{tr} \begin{pmatrix}
\cos \left[ \theta_{t_0}^t(\mathbf{x}_0) + q(t_0) - q(t) \right] & -\sin \left[ \theta_{t_0}^t(\mathbf{x}_0) + q(t_0) - q(t) \right] \\
\sin \left[ \theta_{t_0}^t(\mathbf{x}_0) + q(t_0) - q(t) \right] & \cos \left[ \theta_{t_0}^t(\mathbf{x}_0) + q(t_0) - q(t) \right]
\end{pmatrix} \\
= 2 \cos \left[ \theta_{t_0}^t(\mathbf{x}_0) + q(t_0) - q(t) \right],
\]
where \( q(t) \) represents the angle of rotation associated with \( \mathbf{Q}(t) \). Therefore, if the polar rotation angle generated by transformed rotation tensor \( \tilde{\mathbf{R}}_{t_0}^t \) is \( \tilde{\theta}_{t_0}^t(\mathbf{y}_0) \), then
\[
\cos \left( \tilde{\theta}_{t_0}^t(\mathbf{y}_0) \right) = \frac{1}{2} \text{tr} \tilde{\mathbf{R}}_{t_0}^t(\mathbf{y}_0) \\
= \cos \left( \theta_{t_0}^t(\mathbf{x}_0) + q(t_0) - q(t) \right).
\] (34)
Consequently, if two points \( x_0 \) and \( \tilde{x}_0 \) lie on the same connected level set of \( \theta^t_{t_0}(x_0) \), then the corresponding points also lie on a connected level set of \( \tilde{\theta}^t_{t_0}(y_0) \), even though we generally have \( \theta^t_{t_0}(x_0) \neq \tilde{\theta}^t_{t_0}(y_0) \).
We note that the level sets of PRA in three dimensions are generally not objective. An essential part of the above argument, leading to Eq. (34), is that the rotation matrices \( Q(t) \), \( R^t_{t_0}(x_0) \) and \( Q(t_0) \) share the same axis of rotation (i.e., the normal to the plane of motion). In three dimensions, such a uniform axis of rotation does not generally exist, and hence a relation similar to (34) does not hold.
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|
BELL LABORATORIES RECORD
INDEX
VOLUME 26
January 1948 to December 1948
Bell Laboratories Record
Editor
PAUL B. FINDLEY
Science Editor
PHILIP C. JONES
Associate Editor
R. LINSLEY SHEPHERD
Assistant Editor
HELEN McLoughlin
Circulation
LEAH E. SMITH
BELL TELEPHONE LABORATORIES, INCORPORATED
463 West Street, New York 14, N. Y.
LIST OF ISSUES IN VOLUME 26
| No. | Month | Pages |
|-----|---------|-----------|
| 1 | January | 1–48 |
| 2 | February| 49–96 |
| 3 | March | 97–144 |
| 4 | April | 145–192 |
| 5 | May | 193–240 |
| 6 | June | 241–280 |
| 7 | July | 281–320 |
| 8 | August | 321–360 |
| 9 | September| 361–400 |
| 10 | October | 401–440 |
| 11 | November| 441–480 |
| 12 | December| 481–524 |
LIBRARY
NAVAL ELECTRONICS
LABORATORY
A NEW YEAR GREETING
Fellow-Members of the Laboratories:
As 1947 draws to its end, we can look back on it as a year of outstanding progress. Enthusiasm combined with hard work has produced imposing results. Projects interrupted by the war have been pushed to completion. Projects started since the war are now coming through. The birth rate of new ideas has been high, and the further we go the more opportunity looms ahead.
But we are not content with what we have done, and enter 1948 with a determination to mark the year with accomplishments that will surpass anything we have done in the past.
My grateful appreciation goes to all the members of our Laboratories family who have worked together so harmoniously and successfully, and my best wishes are for a New Year as happy as it is sure to be productive.
Oliver E. Buckley
Power lines over which M1 carrier systems\(^*\) are operated usually start from a sub-station and extend with branches and sub-branches through their service territory to supply power to the scattered customers. For the most part, the lines are single phase with a multi-grounded neutral, and operate at about 7,200 volts, 60 cycles. Transformers near the customers' houses reduce the 7,200 volts to the usual 120-240 voltage for lighting and power, but unfortunately, these transformers have a high attenuation for the M1 carrier-frequency currents. The simple expedient of plugging a suitable carrier-telephone set into a 120-volt outlet in the house thus cannot be utilized. A different method of coupling the telephone to the 7,200-volt line is required.
The coupling device employed consists of a high-voltage capacitor connected in series with a coil which is grounded, as shown in Figure 1. Telephone carrier equipment is connected across this coil. At power frequencies, the impedance of the capacitor is about 1.5 megohms, whereas that of the coil is about 3 ohms. Thus the normal 60-cycle voltage on the coil is only a small fraction of a volt. Abnormal voltages, which would otherwise appear across the coil if the capacitor failed or if the coil winding developed an open, are prevented by protector blocks across the coil and a high-voltage fuse in series with the capacitor, which insure prompt clearing of a damaged capacitor or the by-passing of an opened coil. A switch is provided in the coupler box which by-passes the coil and protector blocks, so that the blocks may be safely removed for inspection or the coil may be replaced. The coupling capacitor and 1-ampere fuse are shown in Figure 2, and a typical pole installation for a subscriber is shown on this page. The coupler box is shown in Figure 3. The coils shown in Figure 1 are in the larger of the two cans immediately above the terminal strip, while most of the other apparatus of the unit consists of filters.
The coupling capacitor consists of an oil-impregnated paper capacitor unit con-
---
\(^*\)Record, October, 1947, page 383, and November, 1947, page 413.
tained in a glass tube about 16 inches long and 2 inches in diameter. It has a capacitance of 2,000 μμf, and a maximum rated 60-cycle operating voltage of 8,700, but it must withstand impulse tests at 95,000 volts to conform with A.I.E.E. standards for this type of power equipment.
Efficient transmission of carrier over the power line requires proper terminations at the ends of lines and choke coils at taps to reduce reflection losses. Early field tests indicated the approximate inductances that should be used for the chokes. Three types of coils are specified: isolating, tap and transmission chokes. Although both the isolating chokes and tap chokes are for blocking carrier-frequency currents, the former has an inductance of 10 mh, while the latter has an inductance of 2.5 mh. The higher inductance of the isolating choke makes it suitable for use as part of a sectionalizing network to separate two adjacent M1 carrier systems. The 2.5 mh choke is used on branch lines which do not serve subscribers. The transmission chokes have inductances of 0.3 and 0.6 mh, and are used on branch lines serving subscribers.
Since all of these chokes operate at 7,200 volts to ground and carry the power-line current, they must meet the same requirements as similar power-line equipment for short-circuit currents, temperature rise due to load currents, and protection against lightning voltages. These requirements tend
Fig. 1—Circuit schematic of the 60-cycle section of a coupling unit
Fig. 2—Coupling capacitor and fuse used for connecting low-voltage carrier circuits to the high-voltage power lines
to conflict with those for carrier frequencies. Large current-carrying and heat-dissipating ability, for example, conflict with the objective of low winding capacitance. This imposed rather severe design problems. The three types of chokes are de-
Fig. 3—One of the coupling units used for connecting carrier subscribers to the power line. The coils shown in Figure 1 are in the larger of the two cans that are immediately above the terminal strip
hot-line stick and connections made without interrupting the 7,200-volt circuit.
Where load currents at either end of a carrier section exceed 15 amperes, two isolating chokes may be connected in parallel. Tap chokes are not operated in parallel because 2.5 mh is about the minimum inductance which will effectively block these carrier frequencies. If tap lines have currents greater than 7 amperes, therefore, an isolating choke can be installed in place of the tap choke.
Some rural power lines are equipped with automatic reclosing circuit-breakers to restore service on the line following trouble, and the winding of the operating solenoid is connected in series with the line. These coils insert a large loss in the line at carrier frequencies, and so, when there are circuit-reclosers in a carrier section, it is advisable to by-pass the solenoid coil with an impedance that is low at carrier frequencies, but high compared with the coil impedance at power frequencies. The by-passing unit, designed for mounting inside the oil tank of
Fig. 4—An isolating choke coil for the M1 carrier system
signed to withstand 500 amperes short-circuit current. Suitable gaps are provided on the coils for lightning protection.
The rated continuous power-line load current for the isolating chokes is 10 amperes, and they will carry up to 15 amperes continuously without undue heating. This choke coil is mounted in an oil-filled steel tank having two high-voltage porcelain bushings, as shown in Figure 4. The assembled coil, which weighs sixty pounds, is mounted on the power pole and connected in series with the power line.
The tap choke and the two transmission chokes are not oil-filled; they are rated at 4 amperes, but will carry up to 7, 9 and 10 amperes, respectively. A coil of this type with supporting clamp is shown in Figure 5. It is suspended by means of its clamp from a pin-type power insulator. The coils are designed for hot-line mounting, that is, they can be put in place with an insulated
the circuit recloser, has a maximum impedance of 50 ohms at carrier frequencies.
In applying the M1 carrier telephone system to a rural power line, the equipment mounted on power-line poles is installed by power linemen, except the common terminal and cabinet, which are installed by telephone linemen after power-line equipment connections have been made. Since telephone linemen must have access to the coupler boxes on the pole, they are located at least 40 inches below any power-line equipment. Drops are run from these boxes to the subscriber premises where standard station protection, as used for voice-frequency subscribers, is installed.
The choke coils were designed by S. G. Hale and are being manufactured by the Western Electric Company. The coupling capacitor now being used, shown in Figure 2, was designed by the Sprague Electric Company to meet requirements set up for the M1 carrier telephone system. Specifications and acceptance test requirements for the coupling capacitor were prepared by J. R. Weeks, Jr., and C. C. Houtz.
**THE AUTHOR:** J. M. Dunham received a B.E.E. degree from Ohio State University in 1924. After two years with the Commonwealth Southern Corporation he joined the D & R, where he worked on low-frequency induction as a member of Project Committee 2J of the Joint Subcommittee on Development and Research, Edison Electric Institute and Bell System. During World War II, he was associated with the development of radar equipment for certain fighter planes. Subsequently he has been concerned with the power-line equipment and protection features involved in adapting rural power lines for M1 carrier and also with low-frequency inductive coordination problems.
**UNDERGROUND DISTRIBUTION WIRE**
Among the more recent plant developments is this new UG distribution wire designed for burying in the ground. Perfected by the Laboratories and now used by a number of Bell companies, the wire consists of a pair of sixteen-gauge copper conductors covered with rubber insulation, over which is a braided steel wire armor. The outside jacket is of neoprene. The increased tensile strength of the wire results in fewer breaks and, with the armor acting as a shield against lightning, no separate shield wire is necessary. The armor and jacket provide additional protection against cutting and crushing during installation and in service. This new wire is used in place of open wire or cable in rural areas where soil conditions permit. It is also excellent in outdoor locations where tree interference exists. W. K. Oser of Outside Plant Development was the engineer on this project.
Since microwaves follow a line-of-sight path, one of the preliminaries to setting up a system is to assemble a set of topographic maps and pick out a series of suitable hilltops. But there might be a steel silo or water tank right in line; and in the plains country there are no hills to give a view along the radio path. So, as a preliminary to laying out the Chicago-New York radio relay system, the Laboratories have developed a tower for quick erection and a microwave transmitter and measuring receiver to go with the tower. With this outfit, the path can be surveyed by radio waves.
Noteworthy advantage of these towers over any heretofore built is that the erecting crew work entirely at, or very near, ground level; thus professional riggers are not required and the hazard of working far above ground is eliminated.
With the tackle fastened to the bottom of the lowest section, and with a long lever on the winch handle, the whole tower is lifted. The method of placing each section in the hoisting yoke is shown on the cover of this issue.
The tower is lowered onto the added section and bolted to it; tapered bushings in the ends of the pipes hold the two sections in alignment. As the tower goes up, additional guys are added every six sections.
First step in putting up the tower is to level off a few square feet of firm soil, then lay down a base plate and set on it the erection frame seen in accompanying illustrations. Inside the frame is placed the top section of the tower. It carries a communication antenna and its lead-wire; a pair of pulleys carrying a loop of light steel cable, and four guy cables.
Probably the first section will be lifted
After the tower is high enough, the erection frame is removed.
The receiver and its radiator are mounted on a carriage which rolls on either of two faces of the tower.
by hand, and the second section placed under it. But from then on, as shown in the illustration on the cover of this issue, a hoisting yoke is fastened to the bottom of each section and the whole tower is raised vertically upward. Guy anchors are placed, unless trees are available, at a distance from the tower suited to the final height, and a workman at each point tends a winch to pay out the guy cable as the top of the tower rises. When the tower has been lifted high enough, the erection frame is opened; and another section is put on the base plate. The tower is then lowered an inch or two until tapered bushings have engaged the ends of the four uprights; then the two sections are solidly bolted together and the hoisting yoke is shifted to the bottom in readiness for another lift.
As the tower goes up, additional guys are added every six sections (48 feet). When the desired height is reached—which may be as much as 200 feet—the erection frame is removed; a rolling carriage is put in.
With all connections made, the receiver starts on its dizzy voyage. Left to right, G. H. Baker, C. M. Phillips and H. G. Fisher.
The "dish" can be oriented in azimuth and elevation. Transmission is measured at various heights to determine a clear path.
place on one side of the tower framework, and a hand-operated hoisting drum is attached. The microwave transmitter (or receiver) is attached to the carriage and two electrical cables are connected to it.
With the winch, the carriage is raised while the two cables are being paid out from their reels. When the desired height is reached, the inboard ends of the cables, which have been stowed inside the reels, are unrolled and led to the apparatus shown in the illustration at the left.
Electrical equipment consists of a microwave oscillator with antenna at one end of the path to be surveyed, and a receiver-detector-meter set at the other end. To line up the transmitting and receiving antennas, each is provided with two motor drives; one can swing the "dish" through 180 degrees in azimuth and the other through 5 degrees in elevation. There is a two-way radio communication set similar to those used for mobile radio. Power for all equipment, including night lights for airplanes, comes from duplicate gasoline alternators at each end, which deliver 115-volt, 60-cycle, a-c.
The tower was designed by R. R. Andres and A. H. Lince of Transmission Equipment under the supervision of T. J. Grieser. The electrical system was designed by G. M. Phillips and G. H. Baker of Transmission Engineering under the supervision of J. M. Barstow.
High-frequency induction furnace in the Metallurgical Laboratory at Murray Hill. O. J. Barton is shown removing slag and cleaning out the crucible after pouring a heat in preparation for the next experimental melt.
On August 15, Bell System radio telephone service became available to passengers on certain trains of the Baltimore & Ohio and Pennsylvania Railroads operating between New York and Washington. This radio extension of telephone service—being operated only experimentally at the present time—has been made feasible by the recent installation of the urban mobile radio system* in many of the larger cities. The same mobile receivers and transmitters are used, and all calls pass through the mobile service operators in the city nearest the train when the call is made.
*Record, April, 1947, page 137.
On the Baltimore & Ohio Railroad, the equipment is installed in the club car on the "Royal Blue," which makes one round trip between the above points daily. On the Pennsylvania Railroad, it is located in the club car on both the northbound and southbound "Congressional Limiteds." Since these cars return northward on the "President" and southward on the "Speaker," the service will be available on these trains also in the directions indicated, as well as on the "Congressional Limited" in both directions. In the vicinity of New York, calls are completed through the Newark mobile service operator. After the train passes out of range of the Newark station, the calls are handled through Philadelphia, Baltimore, or Washington as the train passes into the areas within the range of these stations. Since, at the time the service was inaugurated, no one radio frequency was used for urban mobile service at all four of these cities, each train is provided with two sets of radio equipment so that communication can be established on either of two channels as desired.
A small compartment or booth for the passenger is provided on the train to reduce room noise and insure privacy, as shown in Figure 1. It contains a wall type subscriber set and a writing shelf for the convenience of the user. An attendant provided by the railroad handles the calls.
Fig. 1—William R. Triem, General Superintendent of Telegraph of the Pennsylvania Railroad, placing a call from the telephone booth on the lounge car "John Adams" with the recently installed mobile radio telephone apparatus.
with the aid of the cabinet shown in Figure 2, which is called Control Unit B. On its face, this unit has a lock to prevent unauthorized use of the equipment, a key to select either of the two channels available, and a three-position switch to permit the attendant to talk to a mobile operator or to the occupant of the telephone booth, or to connect a call through to the booth. In addition, there are a number of supervisory lamps and buttons for turning the transmitter on and for signaling the booth. The relays required for the switching operations are mounted in Control Unit A, which is installed with the radio equipment.
Fig. 2—Control Unit B used by the operator for mobile telephone service on railroad trains
In the usual mobile system, the handset in the vehicle is equipped with a button which is pressed for talking and released for listening. This permits a single antenna to be used both for transmitting and receiving; the antenna is switched to either the transmitter or receiver by the action of the press-to-talk switch. Since only one person or a very few people use the equipment in each mobile installation, they soon get accustomed to operating the press-to-talk switch.
For train telephone service, on the other hand, those using the telephone will for the most part not be familiar with press-to-talk operation, and thus the equipment on the trains has been modified to permit the handset to be used in the ordinary way. This is accomplished by using two antennas—one at one end of the car for the transmitter, and one at the other end.
Fig. 3—Train telephone operator, Miss Helen K. Reese, at the control point for the mobile radio telephone service in Pennsylvania lounge car “John Adams.” At her right is the Control Unit B shown in Figure 2. The window just to the right of the handset mounting opens to the telephone booth on the other side of the wall.
Fig. 4—A. S. Hunt, Chief Engineer of Communications and Signals of the B. & O., talks over the attendant’s telephone in the lounge car of the B. & O.’s “Royal Blue”
for the receiver—and connecting a filter in the receiving path to provide a large loss to frequencies from the transmitting antenna. The filter consists of sections of coaxial conductor and operates in accordance with principles already described.*
Standard mobile 38C radio transmitters† and 38A radio receivers‡ operating from 12 volts d-c are employed on the trains, there being two transmitters and two receivers on each car. The 12-volt source in each installation is supplied by the railroad from a specially installed 12-volt storage battery. This battery is charged when not in use from the regular 32-volt car battery through suitable voltage dropping and regulating equipment. The 12-volt battery is connected to the radio equipment through a small power panel which contains a disconnect switch and fusing equipment. A large part of the design work for the circuits and equipment was carried on by H. S. Winbigler, while the two control units together with the power panel and coaxial filter previously mentioned were produced in the Graybar-Varick Model Shop under the direct supervision of C. P. Bartgis.
A block schematic of the arrangement employed in each car is shown in Figure 6. The radio sets, filter, power panel, and Control Unit A are mounted together. On the Baltimore & Ohio Railroad, these units are contained in a built-in compart-
*Record, December, 1937, page 118. †September, 1947, page 330. ‡October, 1947, page 376.
ment next to the passenger booth. On the Pennsylvania, a special equipment cabinet is mounted in the interior of the car near the attendant's position, as shown in Figure 7.
The operation of the telephone service on the Baltimore & Ohio Railroad is under the supervision of The Chesapeake and Potomac Telephone Company of Baltimore, while that on the Pennsylvania is handled by The Bell Telephone Company of Pennsylvania. Since the trains lie over at night in yards outside the territories of these companies, maintenance assistance is being furnished by several other Bell System operating companies.
**Fig. 7—Transmitters, receivers, and power supply for the mobile telephone equipment on Pennsylvania Railroad trains are installed in a single cabinet**
**THE AUTHOR:** Newton Monk interrupted his college work at Harvard to spend two years with the Signal Corps during World War I. After graduating with an A.B. degree in 1920, he entered the Harvard Engineering School, from which he received the B.S. degree in Communication Engineering in 1922. He then joined the Department of Development and Research of the American Telephone and Telegraph Company, where his early work was concerned with interference prevention investigations. Later he became interested in carrier development, and continued this work after transferring to the Laboratories in 1934. Just prior to World War II, he devoted most of his time to applying carrier equipment to railroad communication systems. During World War II he was active in the development of voice-frequency and carrier systems for the Signal Corps. Since the war, he has been in charge of a group developing radio for railroads and airplanes.
Since their development in the years before the war, broadband carrier systems have come steadily into more extensive use, and modifications have been made in their circuits and apparatus as advances in the art have made them desirable. One such advance was the wire-supported, hermetically sealed crystal* unit replacing the previous clamp-type construction. These new units are not only more economical in the space they require, but also they can be more precisely adjusted for effective inductance and resonant frequency. It was these features that offered an opportunity to develop a new channel filter† of reduced size that could be produced in relatively large quantities more economically than the original design. These new 219-type channel filters, such as shown in Figure 1, require less than two-thirds as much mounting space as the earlier 75-type filters.
More compact than the earlier design, the configuration of the new filter also requires fewer coils and capacitors. This type of filter is critical of adjustment, and the desired performance is realized only if the electrical characteristics of the component elements are maintained close to their theoretical values. Hence, it is only with the development of the more precise wire-supported crystal unit replacing the clamp-type crystal unit that it has been possible to utilize this type of filter configuration. The new filter consists of only one lattice-type section in contrast to two in the earlier
Fig. 1—The author making adjustments of one of the new filters
Fig. 2—The new 219-type filter, at the left, requires only two-thirds the mounting space of the former 75-type filter shown at the right
*Record, April, 1945, pages 140 to 144.
†Record, October, 1938, pages 62 to 70.
design. The four coils used in the old filter are replaced by two less expensive coils in the new design, and four of the capacitors are omitted. These differences, and the resulting decrease in size, are evident in Figure 2, where the new filter is at the left and the old one at the right.
In the 75-type filter there was one crystal connected electrically in each of the four branches of each filter section, and thus eight crystals in all. The two crystals in the series branches of one section, however, had the same resonant frequency. This was also true of the diagonal branches of the same section, but the series branch resonance differed from the diagonal branch resonance, and the resonances for the corresponding arms of the two sections differed. Four resonant frequencies were thus required for the two sections. Since the coating on each side of the crystal plate was divided into two parts, and thus each plate became electrically two crystals vibrating in unison, only four plates were required in each filter to provide the eight crystals required in the electrical design. Likewise, the new filter also employs eight crystals with four resonant frequencies. In effect, it incorporates the two lattice sections into one by connecting two crystals in parallel in each of the four branches, as shown in Figure 3. The two crystals of each sealed crystal unit are connected in different lattice branches, as indicated by the markings $f_1$, $f_2$, $f_3$ and $f_4$ of Figure 3, where
Figs. 4 and 5—The four glass-sealed crystal units are cemented into a rectangular molded base. The eight elements of these units forming a filter are interconnected in the base to two input and two output leads
the two crystals of the same unit are separated to bring them into the branches of the filter into which they are connected.
The four glass-sealed crystal units that provide the basis of the lattice structure are mounted at the corners of a rectangular molded base, as shown in Figure 4. Four leads from each unit pass through the base and are interconnected, as shown in Figure 5. In Figure 6, where the same frequency markings are used as in Figure 3, the interconnections are shown schematically. Two input and two output leads are brought out from the interconnected points. The molded base of the crystal unit is fastened, in turn, to one side of a metal plate forming the chassis of the filter, as shown in Figure 7.
On the other side of the plate are mounted the capacitors and resistors associated with the crystal units. As will be noticed from Figure 3, there are three adjustable capacitors: a double capacitor adjusting the capacitances in one series and one diagonal branch differentially, and two single capacitors—one at the input and the other at the output of the lattice. These are the three elements mounted on the upright base, as evident in Figure 7. The fixed capacitors and the resistors associated with the coils are mounted on the bottom of the chassis.
The inductances shown at the ends of the filter in Figure 3 are air-core coils mounted in the cylindrical copper containers, evident in Figure 7. The high coil-impedance called for by the filter design requires that the parasitic capacitances between the windings, and between the windings and case, be kept as small as possible. This is accomplished by winding the coils in four sections, as shown in Figure 8.
A reactance-frequency diagram for the filter is shown in Figure 9, where the reactance of the series branches is shown solid and that for the diagonal branches, dashed. The pass-band for the filter spans the region where the reactances of the series and diagonal branches are of opposite sign, which is indicated by the heavy line along the axis of zero reactance.
A lattice-type filter section is a "bridge" circuit, as indicated in Figure 10, and when the reactances of all branches are alike, both in magnitude and sign, the bridge is balanced, and no energy from the input gets through to the load. Over the pass-band this balance never exists, as evident from Figure 11, but beyond the pass-band it exists whenever the reactance of the series branches equals that of the diagonal branches in magnitude. In the attenuating region, the reactances are always alike in sign, as evident from Figure 9. In this latter diagram, the series and diagonal branch reactances are shown equal except for a short distance just beyond the pass-band, but if the curves had been drawn to a larger scale, the two reactances would be seen to cross and recross each other—never departing very much, but exactly alike only at isolated points. At each crossing point there is a peak of attenuation due to balance of the bridge circuit, while between peaks the attenuation depends on the separation of the curves of reactance for the series and diagonal branches, the greater the separation, the lower the attenuation.
Very precise adjustment of the inducFig. 8—To reduce parasitic capacitances, the air-core coils are wound in four sections
Reactances and resonant frequencies of the crystal units is required to accurately control the location of these crossings and the separations of the two reactance curves. The required accuracy could not be attained with the clamp-type crystal units; hence, it was not until the wire-supported crystal unit was developed that this compact type filter design could be utilized.
In referring to the "bridge" balance of the four reactance branches, only reactance was mentioned because the arms are predominantly reactive. Associated with each of these reactances, however, there is some dissipation, and to obtain a high peak loss in the filter at a definite frequency, there must be a balance of the conductances of these four branches as well as of their reactances. Conductance unbalance of these branches in the attenuating region of the filter will degrade filter performance to the same extent as reactance unbalances. Whereas the tuning of the differential condenser balances these reactances at one frequency, no means is provided for balancing the conductance component. Extreme care must be exercised, therefore, to keep these four branches alike. Even though the crystal units are surrounded by dry air and enclosed in sealed glass containers, it is still necessary to protect the filter against atmospheric conditions of high relative humidity. A trace of salt or other contamination across the terminals in the molded base of...
the crystal units or across the ceramic in the air capacitors will make the insulation resistance highly sensitive to the moisture in the adjacent air and may result in large conductance unbalances in the lattice. To guard against this condition, only homogeneous low-loss materials are used for the insulating materials within the lattice structure. The insulating parts assembled in the filter are kept clean, and the filters are adjusted, tested and sealed hermetically when surrounded by an atmosphere in which the relative humidity is not greater than 40 per cent.
The 219-type crystal channel filter is the first commercial application of lattice-type filter circuits in which more than one crystal unit is used in each branch of the lattice. The economies it permits in space, material and labor are very desirable in view of the increasing use of broadband carrier systems in the telephone plant.
**THE AUTHOR:** E. S. Willis joined the Technical Staff of the Laboratories in July, 1927, after receiving the degree of M.A. from the University of Missouri. Since then he has been engaged in the development of various types of transmission networks, such as electric wave filters and equalizers. He had an active part in the first use of quartz crystal elements as applied to various types of filter circuits. In the past few years he has been chiefly engaged with problems associated with the crystal channel filter for broadband carrier systems. Recently, this work has involved the application of synthetic crystal units to filter circuits.
At the Chester field laboratory, J. H. Shuhart is preparing a test of various line-wire materials to study their fatigue properties under vibrations induced by winds.
While struggling with the problems of long-distance telephone lines during the early teen-age years of this century, Bell System engineers were considerably hampered by the reflection of electrical waves at impedance irregularities along the line. These electrical echoes proved serious obstacles, particularly to the application of repeaters, and for a long time limited their use in circuits. The objectionable characteristics of echoes on telephone lines was intimately associated with the distance between the points of origin and reflection. In fact, the effect of the echoes in producing a "humpy" impedance-frequency curve had been used by telephone engineers to measure this distance, and thus locate the position along the line of a defective loading coil or other "irregularity."
The work that had been carried on, and the precision and beauty of the reflection phenomena, suggested to Lloyd Espenschied that electrical reflections had merit in their own right, and that they could be put to more positive use. One of the early applications that occurred to him was as a warning and safety system for railways. His proposal was to send an electric wave along the track ahead of the locomotive. A broken rail or another train would form an impedance irregularity that would reflect the wave, and the arrival of the reflected wave at the locomotive would not only give warning of danger ahead, but would permit the distance to the danger to be determined and the train automatically controlled. A patent on such a system was applied for in 1919, and patent No. 1,517,549 was granted in 1924. Among the early ideas entertained at the time was that of the use of a frequency-swing oscillator and beat-frequency reception for indicating the distance — principles later used in the radio altimeter.
A number of allied and modified systems were devised in the immediately following years, but meanwhile the airplane was rapidly assuming an important position in the transportation field, and an electrical reflection system that would give an airplane a continuous indication of its height above ground seemed highly desirable. Barometer readings, the only indications of distance available for this purpose heretofore, gave the height above sea level, and thus were of little use when the elevation of the land beneath the plane was increasing rapidly, as when the plane was approaching a chain of mountains or a city with tall buildings. Espenschied therefore proposed an electrical reflecting system for use by airplanes using radio instead of rail transmission. At that time, however, 1926, a really practical terrain clearance indicator could not be built, largely because suitable radio instrumentalities were not available. It was felt that vacuum tubes capable of operating at frequencies some fifty times higher than existing commercial tubes could handle would be required before a satisfactory system could be built.
Although altitude determination was considered at various times following Espenschied’s first suggestion, it was not until 1930 that patents were applied for, and it was not until June, 1936, that patents 2,045,071 and 2,045,072 were granted to Espenschied for an airplane radio altimeter. Considerable commercial interest was aroused, and in the following year a group of Laboratories’ engineers headed by R. C. Newhouse undertook to develop commercial apparatus for Western Electric.
In 1938, a number of demonstration flights were made, culminating on October 8 and 9, 1938, in a joint demonstration* for the press by the Laboratories, the Western Electric Company, and the United Air-
*Recom, November, 1938, page 84.
**NEW WAVEGUIDE TUBE AT HOLMDEL**
To study microwave propagation through circular waveguides, it is necessary to begin with a waveguide which is as nearly straight as possible. So Radio Research constructed this copper tube, shown above, 1,200 feet in length, on supports which permit its accurate alignment. At the lower left, A. P. King closes line short-circuiting switch which disconnects the line beyond the switch. The other view shows R. Bown, H. T. Friis, M. J. Kelly and A. B. Clark inspecting line.
In the years before the war, a number of private-line teletypewriter systems had grown to considerable size—some of them spanning many states or even the entire country. A case in point is the Republic Steel Corporation. Its main office is at Cleveland, where it also operates steel mills, but it has other plants and offices extending from Boston to San Francisco and from Buffalo and Detroit to Birmingham and Houston. Since about 1925, these offices and mills had been linked for teletype-
Fig. 1—The control panel for the private-line teletypewriter network at the Cleveland office of the Republic Steel Corporation
writer communication through a system of private lines, which in more recent years had been augmented by TWX service.* Switching was all done manually, however. A message from Chicago to New York, for example, would first go to an operator in Cleveland who would establish manually a connection to New York. Twenty-six pri-
*Record, September, 1936, page 7; October, 1937, page 34.
vate-line teletypewriter circuits were in use, and traffic over these circuits was extended by TWX service to points all over this country.
About 1940, it was felt that faster and more economical service could be secured by the use of automatic switching, and after an extensive analysis by the Bell System, the 81B1 teletypewriter private-line switching system was decided upon. The original installation was completed in October, 1941, just in time to handle the rush of war business. Besides greatly increasing the speed of service, this new system made it possible to reduce the number of private-line teletypewriter circuits from twenty-six to thirteen. Seven of these thirteen are connected to the automatic system, and each of the circuits serves a number of receiving and sending stations.
In fundamental principles, this type of automatic private-wire teletypewriter switching differs basically from telephone switching. With the latter, the complete communication path between the originating and called stations must be idle before a connection can be established and the transmission of intelligence begun. When the paths are not idle, repeated time-absorbing attempts using expensive facilities must be made to reach the called station. In the teletypewriter system, however, once a message has been perforated in a tape and this tape placed in a transmitter, no further action by the sender is required for the transmission of the message. The sender's transmitter sends the message to the switching center as soon as the path to the center is available. At the switching center, facilities are provided to receive and sort the messages and to store them until the outgoing path to the called party is free. In this manner, messages are carried as far on their way to the ultimate receiver.
as idle facilities permit before they are delayed to wait for a free path.
At the switching point, Cleveland for the Republic Steel Corporation, a group of crossbar switches* is provided that has incoming circuits connected to their horizontals and outgoing circuits to their verticals, so that any two circuits may be connected together. Director and sequence circuits, consisting chiefly of relays, control the operation of the crossbar switches. Local teletypewriter transmitters and receivers are associated with the crossbar switches to handle messages originating or terminating at the switching office and for certain supervisory services, but the major unit of the switching system is the 14-D reperforator transmitter, which will be described in more detail in a subsequent article. In brief, this unit consists of a combined typing reperforator and a transmitter. The former perforates a tape in accordance with the received signals and at the same time prints the message on the tape, while the latter receives the tape punched by the receiver and retransmits the message, including the last character punched. Between the receiver and transmitter are facilities for storing tape.
Incoming messages for passage through the switching system arrive at one of these machines, and a tape is punched as a message comes in. The first two characters of the message will be a code indicating the ultimate destination, and the last two char-
*Record, July, 1937, page 338.
acters indicate a disconnect. The transmitter forwards this code to the control circuit of the crossbar switches, pauses until it has been notified that the connection has been made, and then transmits the message.
Each outgoing circuit has two verticals on the crossbar switches, and each vertical is connected to the receiving side of a reperforator transmitter. If one of these is receiving, a message from the incoming side of the office will be connected to the other, which will punch a tape and store it. This makes that message available for transmission as soon as the outgoing line is free, and permits the incoming line to send its following messages to other outgoing lines that may be ready to accept them, thus speeding up trans-office transmission. During traffic peaks a back load of messages may accumulate awaiting transmission, and these will be sent out in approximately the order in which they were received as the outgoing line becomes available, thus keeping the outgoing lines in use continuously. Each reperforator transmitter and its mounting arrangement can store about seventy-five feet of tape, which corresponds to about 1,500 words. Since the ordinary messages and orders run from fifty to three hundred words, ample storage is thus provided to carry the system over any ordinary peaks of load.
Besides its reperforator transmitter, each incoming circuit has a receiving teletypewriter that can be connected to the circuit in place of the reperforator transmitter.
Fig. 3—Each cabinet houses two reperforator transmitters with tape storage space in the lower section
when the message is for the local office. When the reperforator transmitter recognizes by the code of a message that it is for that office, it operates relays to disconnect itself from the circuit and to connect in the receiving teletypewriter.
The transmitters at the distant stations are under control of the switching office, which automatically starts those on any given line in turn by start patterns of teletypewriter characters sent from the switching office. Arrangements are also provided to start these transmitters by the manual operation of keys at the switching office.
One of the fundamental principles of this type of teletypewriter switching is that no message shall be lost or delayed more than a few minutes. Provisions are made, therefore, for taking care of such errors as incorrect or missing switching codes that otherwise might seriously delay the delivery of a message. Whenever a director circuit detects an incorrect code, that is, one for which there is no station, it sends the message to an intercept circuit. This circuit passes the message to a typing reperforator near a supervisor's desk. The supervisor determines the correct destination, either from the contents of the message or by questioning the sender. She then places the proper code at the head of the tape and starts it again on its way.
There are occasionally times when a particular plant or office, perhaps because of holidays or other such circumstances, is not able to receive messages. To take care of such situations, keys at the control board may be operated to permit messages to any station on an outgoing circuit to be directed to a willful intercept circuit. This includes one or more reperforator transmitters which will store all messages received until they can be transmitted to their destination. When this time comes, the messages are automatically transmitted through the crossbar switches in the usual manner.
The control panel from which the willful intercept is controlled is the nerve center for the entire system. It has lamps to indicate what machines are sending, what circuits are busy or idle, and all the many things that those responsible for the operation of the system should know. From here also is controlled the order in which the various stations on a single circuit are allowed to transmit. The control panel for the Cleveland office of Republic Steel is shown in Figure 1.
A general view of the teletypewriter operating room in Cleveland is shown in Figure 2. In the left foreground are the receiving teletypewriters that receive messages for the Cleveland office. To the right of these are machine cabinets containing the reperforator transmitters on the receiving circuits. As shown in Figure 3, each cabinet has two reperforator transmitters with storage spaces for their tapes. Next to the right is the control panel and then the reperforator transmitters on the outgoing circuits. In the cabinets at the rear are the crossbar switches and the various relay control circuits. At the right are order writing and originating machines where messages from
the Cleveland office are originated. The supervisor's desk where the intercepted messages are handled is at the rear of this group just in front of the relay cabinets.
The complete teletypewriter network of the Republic Steel Corporation is shown in Figure 4. There are six main duplex circuits, each with a number of stations connected to it and one single circuit to Gadsden, Ala. At Cleveland, Chicago, New York, and Gadsden, the network is associated with the Bell System teletypewriter service, and messages to offices not on their private-line network are transmitted over the TWX.
**THE AUTHOR:** W. M. BACON, after graduating with the E.E. degree from Cornell in 1930, joined the D & R and was concerned with teletypewriter development problems. This work was continued with the Laboratories telegraph facilities group after the 1934 consolidation, and has involved maintenance, repair, and installation methods and procedures as applied to teletypewriters. From 1938 to the present time, he has been engaged in the development of private-wire teletypewriter systems, including full automatic and manual switching systems. During the war years he was engaged in developing teletypewriter cipher arrangements for the Armed Forces.
In the past fifteen years, the waveguide has been developed from an electrical curiosity to an important medium for microwave transmission. Progress was especially rapid during the war years, since many of the most important developments in radar would have been virtually impossible without waveguides. It is now possible to judge with some perspective the rôle that waveguides will play in communications developments of the near future. Hollow-pipe guides do not assume a thoroughly practical form until the wavelength is shorter than about thirty centimeters. At this upper limit, the waveguide has supplanted coaxial cable in some instances. For shorter wavelengths, it becomes increasingly attractive, so that at ten centimeters it is the preferred medium for the efficient, shielded transmission of wave power, and at three centimeters it is almost exclusively used.
Although the earliest work emphasized waveguides as a form of transmission line for radio waves, it was apparent from the outset that waveguide structures would be required also to serve as numerous basic electrical components. At low frequencies, these components include such elements as coils, capacitors, resistors, transformers, relays, and switches. It was soon found that waveguide counterparts of these low-frequency elements could be constructed to operate in the microwave region. To the uninitiated, the electrical behavior and physical form of these new components appear novel and even revolutionary.
The investigation of waveguide transmission and of related circuit elements, as carried on by Dr. G. C. Southworth and his associates, opened up vistas of a radically new communications art for the Bell System. Expanding effort in microwave research and development is now bringing about a reduction to practice. The engineering of waveguide components, for example, is already sufficiently far advanced to permit construction of a microwave circuit between New York and Boston in a manner only dreamed of ten years ago.
One of the waveguide components which is finding a wide variety of uses is the four-arm junction shown in Figures 1 and 2. If wave power is sent into this junction from the arm s, Figure 2, half of the power flows into each of the arm 1 and arm 2, with no power appearing in the arm p. Conversely, if waves are sent into the junction from the arm p, the power is again equally divided between arm 1 and arm 2, with none flowing into the arm s. Thus, arm s and arm p are balanced with respect to each other, provided arm 1 and arm 2 are terminated in a symmetrical manner. Since the junction provides balance reminiscent of the familiar hybrid coil, it is called a hybrid junction.*
The features just described, depending upon the combination of geometrical symmetry with the polarization properties of rectangular waveguide, are inherent in the
*The term "Magic Tee," which has also been applied to this construction, is felt to be a misnomer.
junction by itself. An important refinement is realized, however, when reactive tuning, as exemplified by the metal post and rod in Figure 2, is associated with the junction. These added elements improve the impedance match of the junction to each of the four arms, and thereby automatically bring about a high degree of balance between ARM 1 and ARM 2.
A qualitative explanation of the hybrid junction can be arranged to bring out some of the more important aspects of modern waveguide theory and practice. It will be recalled* that radio waves can be freely propagated within any conducting tube, so long as the wavelength is shorter than a cutoff wavelength determined by the cross-sectional size and shape of the pipe. There is, indeed, an infinitude of transmission modes, corresponding to different patterns of lines of force, which can be established and maintained for wave transmission, and thus an infinitude of different cutoff wavelengths. For reasons of simplicity, however, waveguide developments have so far been confined almost exclusively to the mode of longest cutoff wavelength, the so-called dominant wave, in pipes so proportioned that no other mode can be freely sustained. Also, for practical reasons, only circular and rectangular shapes are in common use. In Figure 3, lines of electric intensity in the dominant wave are shown for tubes of circular, square, and oblong cross-section. A close resemblance to radio waves in free space is evident.
There is an important difference between symmetrical and nonsymmetrical pipes, however, with respect to the permissible orientation of the plane of polarization. Patterns are shown in Figure 3 for both vertical and horizontal polarization. In the circular and square pipes, the configuration may have any orientation, depending upon the manner in which the waves were initially launched. In an oblong pipe, however, the cutoff wavelength corresponding to the cross-polarized oscillation can be depressed below the operating wavelength, and only the fixed orientation shown can be freely transmitted.
An oblong shape is thus preferred whenever there is any chance that the polariza-
*RECORD, May, 1936, page 283.
tion may be rotated in an uncontrolled fashion. Experience has shown that unavoidable irregularities or deliberate distortions, such as bends, do tend to rotate the plane of polarization in circular waveguides to such an extent as to interfere seriously with the normal operation of the system. For the most part, therefore, waveguide components have been developed with rectangular guide. Best results are generally obtained when the proportions of the cross-section lie in the vicinity of 1 by 2, with the larger inside dimension equal to about three-quarters of a wavelength.
Waveguide studies are greatly facilitated by the close analogies that can be established with conventional transmission line circuits. Just as the waveguide itself is representable as a transmission line, so also can waveguide components be replaced for analytical purposes by equivalent networks of impedance elements in association with sections of line. For the simpler waveguide structures, the equivalent networks are obvious upon inspection or can be readily derived from elementary consideration of electric fields and currents within the configuration. This is true, for instance, of the post and rod already shown in the hybrid junction. As indicated in Figure 4, the metal post concentrates the electric field between itself and the nearby wall of the guide, and is equivalent to a capacitance placed in shunt across a transmission line. With the metal rod, on the other hand, the principal effect is to provide paths for conductive current flow between the connected walls of the guide, with a resulting increase in magnetic flux and flux linkages, and thus it is like an inductance in shunt across a line. Provided that reasonably good conductors have been selected for the post and rod, their resistance components can be neglected except in extreme cases.
For more complex waveguide structures, accurate representation in terms of equivalent networks can often be reached only after considerable study. This is true of the hybrid junction. For a first approach to this subject, equivalent network analysis is not well suited. Instead, use can be made of analogies with optics. Here the principal concern is with the spreading of a wave front from one portion of the structure to the others. In a straight section of guide, the wave fronts are plane; distribution of the electric field has been indicated in Figure 3. In the vicinity of a severe discontinuity such as an abrupt junction, there is local distortion, wave fronts become curved, and the field may follow a complicated distribution. An accurate knowledge of this distortion is not essential, however, in deriving important properties of the hybrid junction.
Figure 5 shows what happens when a
wave front spreads into a hybrid junction from the ARM s. Lines of electric intensity are drawn in several successive positions of the wave front. To show why no power flows into the ARM p, the electric intensity in a typical position of the front is indicated vectorially at two points A and B symmetrically disposed with respect to the center of the junction. At A, the local field has components a toward the left and a" downward, while at B the components are b' toward the left and b" upward. From symmetry, the magnitudes of the respective components at A and B are equal. Thus, the downward and upward intensities a" and b" cancel, or, more precisely, they induce equal and opposite voltages in the ARM p wave front as a whole, therefore, no power flows into the ARM p, and the power which is transmitted through the junction must appear in ARM 1 and ARM 2, and from symmetry, in equal amounts. It will be noticed that at points equidistant from the junction, the polarities of the electric intensity are reversed in ARM 1 and ARM 2. With respect to phase, at least, the ARM s acts as a transmission line connected in series with the line corresponding to ARM 1 and ARM 2.
What happens when a wave front spreads into the junction from the ARM p is shown in Figure 6. With respect to flow toward the ARM s, the lines of electric intensity are seen to be directed so as to create only a cross-polarized wave in the ARM s. As in
Fig. 6—Electric field at hybrid with power flowing in through ARM p
Fig. 7—Use of a waveguide hybrid junction with a balanced converter
as the wave front spreads into that arm. The intensities a' and b' reinforce each other and tend to produce in the ARM p a cross-polarized wave. If the ARM p guide is correctly proportioned, however, the cross-polarized wave cannot be freely propagated. This shows that no power flows into the ARM p as a result of the electromotive force exerted at A and B. All other points in the wave front can be grouped in pairs, symmetrically located with respect to the junction center, and the same conclusion holds for each pair of points. From the previous case, there are, in planes off-center from the junction, additional components arising from the curvature of the lines of force, but these are cancelled by the mirror image components on the other side of the junction center. With properly proportioned guide for the ARM s, therefore, no power flows into it from the ARM p. This conclusion is in harmony with the reciprocity theorem for electrical networks; if no power can be transmitted from ARM s and received at ARM p, then no power can flow the other way when the positions of
transmitter and receiver are interchanged.
Figure 6 also indicates how power from the arm p spreads into arm 1 and arm 2. With complete symmetry prevailing in these arms and their terminations, the power is equally divided between them. Here the geometry does not act to reverse the polarity of lines of force, and at equal distances from the junction, voltages in arm 1 and arm 2 are in phase. From this consideration, the arm p is regarded as analogous to a transmission line connected in parallel across a line corresponding to arm 1 and arm 2.
To reveal clearly the balancing and power dividing properties of the hybrid junction, the picturization of wave propagation has been simplified by neglecting waves reflected from various parts of the junction. On account of the sharp geometrical discontinuities involved, field patterns in the region of the junction are in reality very complicated, corresponding to the superposition of waves bouncing back and forth within this region. All reflected components are symmetrical or paired with respect to the center, so that they are incapable of disturbing the balance or power division. The presence of reflections does, however, lead to a serious impedance mismatch of the device to the individual arms. These mismatches can be eliminated by incorporating within the junction tuning elements, such as the rod and post visible in Figure 2. From an optical point of view, they are regarded as sources of additional reflections whose amplitudes and phases are such as to bring about cancellation of the original reflections. In terms of network analysis, the rod and post are equivalent, as has been pointed out, to a coil and capacitor, and are disposed so as to tune out the reactance associated with the equivalent network of the junction. By a proper choice of tuning elements, effective neutralization of reflections can be obtained over a remarkably broad band of frequencies. Other tuning means, metal plates for example, can be used in place of the rod and post. The particular combination shown, developed by C. F. Edwards, is being widely used.
When the hybrid junction has been matched by reactive tuning, it exhibits the further customary property, that of balance between arm 1 and arm 2. If power is caused to flow into the junction from arm 1, a hasty analysis of wave-front propagation leads to the conclusion that the power will be divided in some fashion among the other three arms. This is indeed true. The use of matching reactors, however, automatically brings about a balance between arm 1 and arm 2, so that power flows only into the arm s and arm p and is, moreover, evenly divided between them. This behavior, while not obvious from an optical standpoint, is a necessary consequence of the law of reciprocity.
Hybrid junctions have been built from various sizes of guide for use at frequencies in the vicinity of 4,000, 6,000, 9,000, and 24,000 megacycles per second. Constructed with reasonable care, they provide an isolation of 35 to 40 decibels between the arm s and arm p, and satisfactory impedance matching over frequency bands as wide as twelve per cent. If unusual pains are taken to secure a geometrically symmetrical junction, the balance is improved to 50 decibels or more.
The hybrid junction can be used in the same way as its low frequency counterpart, the hybrid coil. The junction has, in addition, many diverse applications in microwave systems and in laboratory measurements, so that it already occupies as important a position in centimeter wave
techniques as does the hybrid coil in low-frequency practice. New uses are constantly being discovered in which advantage is taken of the balance, power division, and phasing afforded by the junction.
Perhaps the most important use so far found for hybrid junctions is in the balanced converter. Since this was also one of the earliest applications, it has been brought to an advanced stage of development. The general principles underlying the operation of the balanced converter or first detector are shown in the block diagram of Figure 7. Two detectors, in this case point-contact silicon rectifiers, are used as terminations for ARM 1 and ARM 2 of a hybrid junction. The beating oscillator power is introduced from the ARM s, and the signal input from the ARM p. With this arrangement, half of the signal power and half of the beat frequency power are developed in each rectifier. The 180-degree phase shift between the signals in ARM 1 and ARM 2 by the nature of the series connection persists in the intermediate-frequency voltages developed at the two rectifiers. By combining the two intermediate-frequency signals with proper phasing, however, all of the intermediate-frequency power can be made available in a single output.
An important advantage afforded by such a balanced detector is the isolation achieved between the signal line and the local beating oscillator. If care is taken to build a truly symmetrical structure and to use rectifiers which are as nearly identical as possible, this uncoupling corresponds to the balance between the ARM s and ARM p of the hybrid junction. Another advantage is that the same intermediate-frequency phasing which combines the two intermediate-frequency signals additively causes noise contributions from the beating oscillator to be cancelled. For these and other reasons, the balanced converter is considered the most efficient and desirable microwave detector now available. A specific construction developed by C. F. Edwards is illustrated in Figure 8. This is the converter that is now being used in the microwave repeater system between New York and Boston, described in the last issue of the Record.
**THE AUTHOR:** Warren A. Tyrrell received a B.S. degree from Yale in 1935 and a Ph.D. degree in Physics in 1939. Upon graduation he joined the Technical Staff of the Laboratories and was assigned to the waveguide research group. During the war he developed a number of components for use in Navy radar systems. Since the war, Dr. Tyrrell has continued his work on waveguides at the Holmdel Laboratory in New Jersey, and is engaged in the application of waveguide techniques to measurements on dielectric and metallic material.
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**VOLUME 25—INDEX AND BOUND COPIES**
A separate index to Volume 25 of *Bell Laboratories Record* will be mailed with the January issue to those who received it last year. Others may obtain it upon request. Bound copies of Volume 25 (January, 1947 to December, 1947) will be available in the near future—$2.75, foreign postage 25 cents additional. Remittances should be addressed to Bell Laboratories Record, 463 West St., New York 14, N. Y.
An ideal hearing aid would have the highest acoustic performance that the ear could appreciate and be small in size and weight. These two major objectives, however, tend to oppose each other; the highest performance, including high gain and power output, tends to require more apparatus and thus larger size and weight. Since the Laboratories has always considered that high quality was the primary factor, Western Electric hearing aids have led the field in performance ever since the first 220-pound set of 1923. Size and weight reductions have come steadily, but they have depended on the development of materials and techniques that would permit the two objectives to be more effectively reconciled. Advances since the war greatly helped in this direction, and following the 64-type hearing aid, which came out immediately after the war, the Laboratories has developed the Models 65 and 66 hearing aids. These achieved greater convenience and a much smaller weight than previous designs—six and eight ounces, respectively, including batteries—and the 66 equals the high performance of the best previous aids.
In attaining excellent performance with very small size and weight, dependability in service has not been sacrificed. The components selected for the sets meet requirements of stability and ruggedness that assure they will stand up under conditions of use. In addition, many special measures have been taken to protect the components against the adverse effects that are encountered with moisture and dirt.
One of the innovations of the new development is the provision of two sets rather than a single set. In designing previous sets for the highest practical quality, the Laboratories has recognized that the user with only a small hearing loss was wearing an aid that had much more gain and range than he needed. The provision of two sets meets this situation, since one of them is designed to provide the best possible hearing for anyone with a correctable hearing loss, while the other, smaller and with less gain and power capacity, will satisfactorily serve the great majority of those requiring a hearing aid.
These two new sets are shown in Figure 1. Each consists of a plastic case housing the transmitter, amplifier, battery, and controls, to which a No. 724-type midget receiver and cord is attached. The Model 66 case is in either two tones of gray or flesh color, while the Model 65 is either dark gray or flesh. The microphones for both sets are of the crystal type, and each has a three-stage vacuum-tube amplifier with a volume control and also a tone control that
may be used to suppress the lower frequencies of background noise. The amplifier circuit for the Model 66 set is shown in Figure 2. The amplifier for the Model 65 has no feedback, and some of the capacitors and resistors have also been omitted.
A cross-section of the crystal microphone is shown in Figure 3. It is sealed by a plastic-coated metal-foil membrane across its face, and by closing other potential points of moisture leakage with moisture-proof plastic cement. Microphones for both sets are of essentially the same construction, but that for the Model 65 is somewhat smaller than that for the Model 66. The capacitor and resistors of the tone control network are housed in the microphone case. This not only protects these high-impedance elements from moisture but also shields them electrically.
This protected network principle is applied throughout the set. For the Model 66, all circuit elements between the first and second vacuum tubes are assembled in a compact, self-supporting group molded in a block of wax to form a moistureproof and tamper-proof network. Interconnections are made by wires that are parts of the elements, thereby reducing the number of joints required. Many of the connections are welded instead of soldered. The circuit elements between the second and third stages are treated in a like manner.
In the Model 65 set, this principle is extended. The entire amplifier—vacuum tubes, capacitors, and resistors—is wired together by the element’s own leads, and is then molded in wax to protect it from dirt and moisture. The resultant package is 1\(\frac{1}{8}\) by 1\(\frac{1}{4}\) by \(\frac{3}{8}\) inches. In case of failure of any of
Fig. 2—Amplifier circuit for the Model 66 hearing aid. That for the Model 65 is similar with fewer capacitors and resistors
Fig. 3—Cross-section of the crystal microphone
Fig. 4—Chassis for the Model 65 hearing aid
the elements, the entire network is replaced. The complete chassis for the Models 65 and 66 sets are shown in Figures 4 and 5.
One of the distinguishing features of both sets is the absence of distortion and a minimum of noise due to clothing. If adequate precautions are not taken, the noise of clothing rubbing against the set, which reaches the microphone either as mechanical vibration or as airborne sound, may so mask the useful sounds that the value of the hearing aid is seriously impaired. In the new hearing aids, it has been reduced at its source by the avoidance of any sharp corners or projections on the case, and by making the case of a material that has a very low coefficient of friction. In addition, the microphone is protected by a resilient mounting against any mechanical vibration that may be generated.
Besides providing two sets—one for those needing considerable aid and the other for those requiring only a moderate amount—a further division of the range is provided by additional options in the size of the battery (in the Model 66) and the type of receiver used. There are three 724-type receivers, the A, B, and C. Their characteristics are shown in Figure 6. The 724C has a flat characteristic extending from below 200 to over 4,000 cycles. The 724B gives greater output, but its response falls off above 3,000 cycles. The 724A has the same frequency range as the 724B, but has a high output peak at about 1,200 cycles which is helpful in some extreme cases. Only the 724B and 724A receivers are applicable to the Model 65 set, but all three may be used with the Model 66, as may also the 725 bone-conduction receiver.
When used with its self-contained 22½-volt B battery and with the wide-range 724C receiver, the Model 66 aid is capable of increasing the sound intensity reaching the ear by 55 db and of producing a sound pressure in the ear of 116 db above the minimum pressure that can be heard by a normal ear. The frequency range under these conditions is from 250 to 4,000 cycles. Within this range, the response is uniform within ±6 db. This flat response may be changed to one that rises toward the high frequencies at either 5 or 10 db per octave by turning a three-position tone control switch. Another control permits adjustment of amplifier gain over a 40 db range.
A special feature of the design of the Model 66 set is that the battery compartment may be detached and replaced by a small adaptor from which a cord extends to an external battery case. This permits the use of higher voltage, or of larger, more economical batteries, when desired. By taking advantage of this feature, amplification and sound pressure may be increased 4 db by using a 30-volt external B battery. These characteristics may also be increased 7 db by substituting the high-efficiency 724B receiver for the 724C. This latter method entails some sacrifice of high-frequency response. In extreme cases, both of these substitutions may be made with a resultant amplification of 66 db, and the maximum sound pressure level of 129 db. This pressure is about the maximum that the ear can tolerate.
With the Model 65 aid, a 15-volt B battery is employed, and when using a 724B-type receiver, which is recommended in most cases, the acoustic amplification is 50 db and the maximum sound pressure in the ear is 115 db above normal threshold. The effective frequency range is from 700 to 3,200 cycles, but even at 300 cycles, the response more than meets the requirements of the American Medical Association. Within the effective range, the response is normally quite flat, but may be tilted to slope upward toward the high frequencies at either 4 or 8 db per octave. Somewhat different gain and frequency characteristic is
possible by using the 724A receivers. Overall characteristics for the most commonly used combinations of the two sets are shown in Figure 7.
These two hearing aids thus complement each other. The Model 66 has the superior acoustic performance that is required by those who have a severe hearing loss or who want exceptionally good acoustic quality. On the other hand, the Model 65 is smaller and therefore more convenient to wear. The reduced size causes no loss in dependability. Its acoustic characteristics are of good quality and are entirely adequate for the majority of hard-of-hearing people. By offering the choice of either of these two sets, Western Electric is carrying out its long-established policy of rendering the greatest possible assistance to any person who is hard of hearing.
**THE AUTHOR:** J. R. Power received a B.S. degree in Electrical Engineering from Carnegie Institute of Technology in 1927. Entering the Apparatus Development Department of the Laboratories that same year, he engaged in the development of special motors and generators for use primarily in sound pictures. In 1935 he transferred to work on acoustical problems connected with noise conditions in the telephone plant and offices. Later he spent some time on the preliminary development of a new telephone ringer. This was interrupted by work on high power auditory systems for the Government. Since the end of the war, he has been engaged in the development of hearing aids, audiometers, and artificial larynges.
EUROPE AND THE MARCONI CONGRESS
W. H. DOHERTY
Radio Development Engineer
"Congresso Internazionale per il Cinquantenario della Scoperta Marconiana della Radio," was the announcement spelled out by banners stretched across the streets of Rome as engineers and physicists from many countries gathered there in late September to honor the name of Guglielmo Marconi. The tenth anniversary of Marconi's death was the fiftieth anniversary of the pioneering experiments of this brilliant and energetic Italian in wireless communication.
Sponsoring the Congress was the National Council of Research, whose fine headquarters building near the University of Rome was the scene of the technical sessions. My assignment was to represent the Laboratories and to give a paper dealing with our contributions to the design of modern broadcast transmitters. Mourontseff of Westinghouse, Zworykin of RCA, and Bolt of MIT were other Americans participating as the Congress commenced on a Sunday afternoon with ceremonies in the Campidoglio, or state capitol. Among the many foreign scientists I met for the first time were Smith-Rose from England and Strutt from Holland, whose names are familiar to all radio people through their many publications.
The papers presented during four days of technical sessions covered a wide field, including acoustics, wave propagation, circuit theory, vacuum tubes, communication systems, aural broadcasting, and television. Numerous Italian papers testified to a lively scientific endeavor in that country despite the present difficult economic conditions; while the importance assumed by microwave papers was in line with the technical trends of the times. Indeed, Marconi himself had been an enthusiast over centimeter waves, and no one a generation ago envisioned more clearly than he the vast possibilities for their practical use.
With all the art treasures and historic monuments Rome has to offer, the delegates welcomed a program arrangement that left time for sightseeing, though in a visit of ten days one could only glimpse briefly the "high spots" of the Eternal City. The management of the Congress arranged for splendid side trips to Villa d'Este at Tivoli, with its beautiful fountains and gardens; to the picturesque ruins of Ostia, ancient Roman port at the mouth of the Tiber; and to Castelgandolfo, papal summer residence, for an address by Pius XII and a personal introduction to the pontiff for each member. An evening concert provided by the Italian broadcasting organization and an inspection tour of the international radio transmitting station of Italcable at Torrenova rounded out a busy week. The Torrenova plant, a great communications center almost completely destroyed by the Germans, is being rebuilt and equipped with the most modern long-wave and short-wave radio telephone and telegraph equipment for European and overseas transmission.
After the close of the Congress on October 5, I spent a month visiting industrial and university laboratories and radio stations in Switzerland, France, Holland, Belgium, Luxembourg, England, and Ireland. An outstanding affair I attended in London, attracting the general public from all over England, is Radiolympia. Resumed this year, after a lapse of eight years, this exhibition of radio products of all kinds drew half a million spectators in ten days, a remarkable show of interest for these hard times. Improvements in radio technique, stemming from the intensive war effort in England and America in electronics, are plainly seen in these products; and all
The photograph at the head of the page shows the author (right) and V. I. Enders of Alpine Western Electric, Switzerland, returning from a sail on the Lake of Zurich.
WESTERN ELECTRIC-BELL LABORATORIES DEVELOPMENT CONFERENCES
To review the progress of development and manufacturing of wire, cables and cords, a conference of engineers and executives of the Laboratories and the Western Electric Company was held at the Point Breeze Works in October. This was the first in a series of similar conferences to discuss joint development and manufacturing problems. The second was held at the Kearny Works on December 10 and 11 and dealt with the development and manufacturing of transmission apparatus.
Under the general direction of M. J. Kelly, the Kearny conference was planned by R. G. McCurdy, H. H. Lowry and H. Rossbacher, Works Engineer of Manufacture at Kearny. After an introduction by R. F. Clifford, Works Manager, the program was outlined by Dr. Kelly and H. C. Beal, Vice-President of the Western Electric Company.
Presentations were made by engineers of the Laboratories and of Western Electric covering a number of areas of development and bringing out the relationships between the manufacturing and development problems in these fields. The subjects covered included coaxial line and terminal equipment, television terminals and video amplifiers, networks, equalizers and filters, measurement problems, crystals, component apparatus, the current size-reduction activities, and transmission economics.
It is the purpose of these conferences to bring up for discussion at an early date problems of engineering design and problems of manufacture relating to the developments being made by the Laboratories. As a result of these discussions, the manufacturing and development programs are geared together to achieve maximum effectiveness in translating new ideas from the Laboratories into equipment for the operating telephone companies of the Bell System.
over Europe, despite severe shortages in materials and components, one finds great activity in the development of new communication equipment operating in the ultra-high-frequency and microwave bands and employing FM and pulse modulation multiplex methods.
Television is popular in Britain, and video transmitting stations are planned for Birmingham and other important centers. For linkage with the present London installation, trials of both radio relay and broad-band coaxial cable are to be made, somewhat paralleling our own television network plans. British receivers, interestingly enough, differ from ours in being built for one channel only and for carrier-and-double-sideband reception.
The diary of the American traveler in Europe is sure to contain references to the droves of bicycles on the streets of Dutch and Swiss cities; to the immense variety of noisy motor-bikes and midget cars that dart about dangerously in Rome and Paris; to food rationing and London fogs. My notes mention these and other experiences, but the really deep impressions were of warm hospitality extended by Europeans everywhere, and of diligent and courageous efforts toward recovery in countries hard hit by the war.
Political tension was evident in Italy and France, with daily threats of a general strike, but except for a short walkout on the metro in Paris, there was no outward disturbance. The subsequent outbreaks of violence make one glad to be safely back, but concerned for the new friends left on the Continent to weather the storm.
POLYETHYLENE CABLE SHEATH
In a move to further accelerate the Bell System's nation-wide construction program, the Laboratories has developed a new type of telephone cable sheath using a thin sheet of aluminum covered with a polyethylene compound, a tough, flexible plastic that looks like black rubber. The new cable will supplement the familiar lead-covered cable which is now at peak production. Following extensive tests of its suitability, the Western Electric Company has begun quantity production of the new type of cable at Kearny and Hawthorne. The cable, called 'Alpeth,' is to be used within local exchange areas on pole lines and in underground conduit. It will be made in a
variety of sizes, ranging from the smaller cables to those containing hundreds of pairs of wires.
The immediate purpose to be served by the new cable will be to step up the delivery of cable to the telephone companies and help meet the continuing heavy demand for telephone service.
The name "Alpeth" is derived from the sheet of aluminum which goes next to the paper-insulated wires, and from the outer covering of polyethylene. Before carbon black is added, the polyethylene has a milky color.
For many years the Laboratories has carried on continuous research on cable improvement. Insofar as can be predicted from laboratory and field tests, polyethylene promises to give satisfactory service as a cable sheath material. No change has been made in the cable core itself.
Meanwhile, with the production of lead-covered cable continuing at a record pace, the new composite sheathing is helping to increase still further the total output of much-needed exchange cable.
Editor's Note: A more extensive account of this development will appear in an early issue of the Record.
Murray Hill Stamp Club Organized
Philatelists exhibited their prize specimens at an exhibition in the Lounge at Murray Hill on November 20 and 21, signaling the beginning of the newly organized Stamp Club at that location under the direction of the Bell Laboratories Club. S. C. Tallman was awarded first prizes for his displays in both the United States and foreign classes. C. W. Ferguson and K. H. Schunke took second prizes in those classes, while H. T. Webber took both prizes in the novelty class and also won the award "best in show."
W. A. Shewhart Now Lecturing in India
W. A. Shewhart sailed for Southampton on November 22 on the first leg of a trip by boat and plane to India for a four months' visit and lecture tour. Dr. Shewhart's invitation was sponsored jointly by the Indian Standards Institution; the Indian Science Congress Association, the Indian counterpart of the American Association for the Advancement of Science; and the Indian Statistical Institute, the largest research organization of its kind in the world. As Visiting Professor to the Statistical Institute, he plans to give a series of lectures at Calcutta University and one or more lectures elsewhere in India. He will also participate in round-table quality control conferences in Bombay and Calcutta with statisticians, industrial leaders and technical representatives from all over India.
In his lecture equipment, Dr. Shewhart included pamphlets describing the over-all organization and workings of the Bell System; descriptive material and lantern slides showing views of the newer Laboratories' buildings and equipments; a Fastax camera; and a colored sound film on quality control.
Christmas Programs at the Laboratories
The Murray Hill Chorus presented a varied program of Christmas music in the Arnold Auditorium on Tuesday, December 23, with the audience participating in several of the familiar carols. Daniel F. Kautzman directed the Chorus and Capitola Dickerson was the accompanist. W. H. Martin, chairman of the Murray Hill Committee, gave the annual Christmas greeting.
Carols were sung outdoors at Whippany, where members of the Laboratories gathered on the steps of the Administration building at noon on Christmas Eve. At about the same time, the System's Christmas Chorus of sixty-seven voices rendered a selection of carols in the drafting room of the Equipment Development Department on the ninth floor at West Street. The carolling was picked up by a microphone, transmitted into the courtyard, and amplified, so that many more members
Present at a conference to appraise technical and related subjects submitted to the Patent Department for consideration are, standing (left to right), Loretta Spacek, Catherine McQueeny, H. A. Burgess, G. H. Heydt, R. E. Poole, N. S. Ewing and E. L. Nelson. Seated around the conference table are (left to right) E. V. Griggs, J. W. Schmied, H. A. Blake, M. R. McKenney, D. A. Quarles, W. C. Kiesel and J. R. Wilson.
of the Laboratories than could be accommodated in the Auditorium had the pleasure of hearing the program. Under the direction of R. P. Yeaton, the chorus sings together only at Christmas and has been in existence five years. Originally comprised of draftsmen, it has grown each year, adding, as it did in 1947, a number of trained new voices from other departments.
New York State Veterans' Bonus
Many inquiries have been received regarding the New York State veterans' bonus in connection with transfers to New Jersey or other out-of-state locations of the Laboratories and subsequent changes in residence. To be eligible, the bonus law states "residence in New York State at the time of entry into service and at least six months immediately prior, and residence in the state at the time application for bonus is made out" is necessary. Thus, a member of the Laboratories who has been a resident of New York State is not eligible for the bonus if he or she changes his or her residence to another state before application for the bonus is made. Some veterans may be required to file special residence questionnaire forms after submitting their applications in order to clarify their domicile status.
New York State veterans who are on leaves of absence from the Laboratories to attend school are eligible for the bonus unless there are indications that he or she has become a permanent resident of some other state.
Recent Organization Changes
H. A. Blake, Assistant Commercial Relations Manager, was transferred to the Patent Department on October 22 as Executive Assistant to M. R. McKenney, General Patent Attorney.
Coincident with this appointment, C. R. McConnell and H. Schmitt, Commercial Projects Supervisors for New York and Murray Hill, respectively, now report to B. B. Webb. The title, Assistant Commercial Relations Manager, has been discontinued.
During the Months of September, October and November the United States Patent Office Issued Patents on Application Filed by the Following Members of the Laboratories
| Name | Name | Name | Name | Name | Name |
|--------------------|--------------------|--------------------|--------------------|--------------------|--------------------|
| T. Aamodt | R. C. Davis | R. H. Gumley | F. B. Llewellyn | R. K. Potter |
| W. P. Albert (2) | T. L. Dimond | H. A. Hilsinger, Jr.| G. A. Locke | R. M. Ryder |
| M. C. Biskeborn | R. A. Ehrhardt | W. H. T. Holden (2)| C. R. Lum | J. H. Scaff |
| F. B. Blake | C. H. Elmendorf | H. Hovland | W. P. Mason (2) | O. A. Shann |
| E. M. Boardman | E. P. Felch, Jr. | R. G. Humphrey | A. L. Matte | F. J. Singer |
| J. H. Bollman (2) | A. G. Fox | E. M. Julich | W. H. Matthies | T. Slonczewski (2) |
| W. L. Bond | A. L. Fox | A. P. King | H. J. McSkimin | J. E. Tarr |
| A. E. Bowen (2) | C. J. Frosch | W. Koenig, Jr. | W. J. Means | H. S. Wertz |
| D. E. Branson | G. W. Gilman | J. A. Krecek | W. A. Mehmel | A. H. White |
| H. W. Bryant | H. W. Goff | J. G. Kreer, Jr. | E. A. Nesbitt | H. T. Wilhelm |
| A. J. Busch | W. M. Goodall | A. G. Laird | C. W. Norwood | |
| J. A. Carr | H. L. B. Gould | A. G. Lang | W. G. Pfann | R. O. Wise |
January 1948
PAGING SANTA CLAUS
A—Florence McGuire, chairman of the New York Doll and Toy committee
B—Graybar’s committee, Rose Rovegno, Molly Ruddke, chairman; Eve Coll, Mary Burke, Shirley Zitzmann, and Marion Greenberger
C—Whippany’s committee. In the rear, Dorothy Clothier, Harriet Filmer, chairman; Joan Helm, Evelyn Selzer, and “Pat” Rooney; center, Bette Mocksfield, left, and Marion Merck, right; front row, Marilyn Miller, Betty Minerowitz, Elizabeth Myers, and Jean Force
D—F. D. Leuner, president, and Mrs. Anne Brokaw, executive secretary, Family Service Association of Summit, accept toys from Dorothy Thom
E—Peggy Grillo and three children of the Nursery School at the Greenwich House
F—Doll and toy display at West Street
G—Dennis Cronin admiring the little dogs he made from wash cloths for the display
H—Madeline Kiselica exhibiting story book and opera character dolls she dressed
I—Mrs. Claire Stevens, wife of P. A. Stevens at Graybar, dressed twelve dolls
J—At Whippany, Mrs. Filmer (left) with guardians of children in boarding homes
K—Mary Mahairas (left) and Florence McGuire present gifts to servicemen’s children at a party given by the Red Cross in Flushing
January 1948
FUTURE FUNCTIONAL LAYOUT AT MURRAY HILL
FIFTH FLOOR
- TRANSMISSION DEVELOPMENT
- TELEVISION RESEARCH
- ATTIC
- GASES UNDER PRESSURE
- CHEMICAL LABORATORIES
- DEVELOPMENT SHOPS
- SPECIALTIES BUILDING
FOURTH FLOOR
- EQUIPMENT DEVELOPMENT
- PHYSICAL RESEARCH
- TRANSMISSION APPARATUS
- STATION APPARATUS
- PATENT
- SPECIAL RESEARCH
- TRANSMISSION DEVELOPMENT
- ATTIC
THIRD FLOOR
- PHYSICAL RESEARCH
- TRANSMISSION APPARATUS
- LIBRARY
- ROOF
- STATION APPARATUS
- OUTSIDE PLANT
- PATENT
- CHEMICAL LABORATORIES
- APPARATUS DRAFTING
SECOND FLOOR
- ELECTRONIC RESEARCH
- TRANSMISSION APPARATUS
- DINING ROOMS
- LOUNGE
- TERRACE
- STATION APPARATUS
- PLANT
- TRANSMISSION RESEARCH
- LOUNGE
- ENCLOSED BRIDGE
- MAIN ENTRANCE
- ADMINISTRATION
- RESEARCH DRAFTING
- CHEMICAL LABORATORIES
- ADMINISTRATION
FIRST FLOOR
- ELECTRONIC RESEARCH
- TRANSMISSION APPARATUS
- PERSONNEL
- MEDICAL
- BUS TERMINAL
- LOUNGE
- CAFETERIA
- CHEMICAL LABORATORIES
- CAFETERIA
BUILDING NO. 2
BUILDING NO. 1
www.americanradiohistory.com
Progress on Project No. 2 at Murray Hill indicates that the first of its new occupants can begin to move about August 1 of this year. The chart on the opposite page shows where you will find the various departments when the moves are completed some time in 1949. The shaded arrow (circle, upper right) indicates the direction usually referred to as "North."
**NEWS NOTES**
M. J. Kelly addressed the engineering and supervisory force of the Southwestern Bell Telephone Company at St. Louis. He also attended the biannual meeting at Rolla, Missouri, of the Board of Directors of the Missouri School of Mines Alumni Association on November 7. On the following day, Dr. Kelly delivered the main address at the Homecoming Convocation at the School, his alma mater (B.S., 1914, and Honorary Doctorate in Engineering, 1936), selecting as his subject *Science, Technology and the "Good Society."*
During a two-day Research Conference in Washington of the Navy Industrial Association, Dr. Kelly, who is Chairman of the Research and Development Committee, addressed the Conference on its opening day, November 18, at a dinner session. His subject was *Our Country's Preparedness Research and Development Program—A Cooperative Undertaking of Our Military, University and Industrial Laboratories.*
D. A. Quarles went to Chicago for the Board of Directors meeting of the American Institute of Electrical Engineers. He was also in Washington on November 13 attending the meeting of the Committee on Electronics of the Joint Research Board and on November 19 attending the Navy Research Conference of the Navy Industrial Association.
A. B. Clark was a guest at the Navy Conference in Washington on November 18 and 19.
On November 25, Mr. Clark, H. H. Lowry, F. J. Scudder, T. C. Fry, J. G. Ferguson and F. A. Korn conferred with officials of The Bell Telephone Company of Pennsylvania in Philadelphia, and visited the No. 5 crossbar office in Media.
Harvey Fletcher has written on *The Science of Hearing* in the book *The Scientists Speak.* Two retired members of the Laboratories have also contributed articles to the book, H. E. Ives, *Physics and Art,* and R. R. Williams with R. J. Williams, *The Golden Age of Biochemistry.* Dr. Fletcher attended meetings of the National Academy of Science, November 17 to 19, in Washington. He also visited Rutgers University.
A. R. Kemp, rubber technologist and insulation engineer of the Chemical Laboratories, has been designated one of the country's ten ablest chemists in the field of rubber chemistry by his fellow-members in the American Chemical Society.
Lloyd Espenschied spoke on *The Dawn of Electrical Experimentation* on November 12 at a supper meeting of the Institute of Radio Engineers, New York Section, preceding the technical meeting.
C. H. Townes spoke on *Microwaves* at a joint Harvard-M.I.T. seminar at Cambridge.
C. Kittel selected *Paramagnetic Resonances* for his topic when he spoke to the Physics Colloquium at Rutgers University.
NELSON E. SOWERS
HONORED
In 1942, Nelson E. Sowers' health would not permit him to remain longer in the New York area, so he was granted a Disability Pension which allowed him to withdraw from Radio Research and live in the southwest. Three years later he went to work for the Army Ground Forces Board at Fort Bliss, Texas, as a Mathematical Data Analyst. Recently he has received from the War Department a Decoration of Exceptional Civilian Service. The citation, signed by the Secretary of War, reads: "His outstanding service in the development of instrumentation and computing equipment and procedures for antiaircraft artillery service testing constituted a contribution of inestimable value to the mission of his command."
Mr. Sowers' friends will be gratified to learn that his health has been restored. However, family reasons require his continued residence in the southwest, so he has now resigned from the Laboratories.
Retired But Active
George B. Thomas, until last summer Personnel Director, is now chief of the Industrial Relations Department of the Los Alamos laboratory of the Atomic Energy Commission.
Joseph P. Maxfield, who retired in September, is now a consulting engineer on the staff of the Altec-Lansing Corporation, acoustic engineers. His headquarters will be on the Pacific Coast.
Catharine C. Maull, who retired in October, 1945, from Personnel, is curator of the museum in the Zwaanendael House in Lewes, Delaware. This building is a replica of the town hall in Hoorn, Holland.
News Notes
J. R. Haynes presented an invited paper before the Houston meeting of the American Physical Society entitled Behavior of Photoelectrons in Silver Chloride Crystals Exhibited by Colloidal Silver Produced at Electron Traps.
G. T. Kohman, A. N. Holden, W. L. Bond and S. O. Morgan discussed crystal growing problems at the Squire Laboratory.
J. R. Flegal, G. T. Kohman, N. Y. Priessman and G. K. Teal visited the Norton Company in Worcester, where they discussed silicon carbide varistors. Mr. Kohman has been appointed to represent the Laboratories on the N.R.C. Committee on Design, Construction and Equipment of Laboratories.
L. H. Germer and F. E. Haworth participated in a colloquium on Electrical Contacts at Massachusetts Institute of Technology.
A. R. Kemp discussed plastic sheathing with cable engineers at Hawthorne during his week's visit to that plant.
J. R. Townsend visited The Mountain States Telephone and Telegraph Company, Denver; the Northwestern Bell Telephone Company, Omaha and Minneapolis; and the Southwestern Bell Telephone Company, St. Louis, where he spoke to telephone personnel on Materials Developments. During his trip, Mr. Townsend visited the University of Colorado at Boulder, Colorado. At Washington University, St. Louis, he addressed a joint session of the American Institute of Chemical Engineers and American Society of Mechanical Engineers. In Los Alamos, New Mexico, he addressed the local chapter of the American Society for Metals on Metals and Alloys for Magnetic and Electrical Applications.
V. T. Callahan and R. R. Gay visited repeater stations associated with the New York-Boston radio relay project regarding power items. Mr. Callahan also visited the General Motors Corporation in Detroit and the Duplex Truck Company in Lansing in connection with Diesel and gasoline engine sets.
"Could you use a flagpole sitter?"
W. Babington witnessed a series of die casting experiments at the Precision Casting Company in Syracuse. He also went to Hawthorne for die casting discussions.
E. E. Schumacher and I. V. Williams made an inspection trip to the School of Mineral Industries at Pennsylvania State College.
H. A. Birdsall visited the International Business Machines Company at Endicott, N. Y. He also attended the meeting of the A.S.T.M. Committee D-6 on paper and paper products at Albany. With D. A. McLean he attended the open house meeting of the Textile Research Institute at Princeton; and with K. G. Coutlee, J. J. Martin, G. Deeg and R. Burns, the meeting at Atlantic City of Committee D-9 on electrical insulating materials.
F. G. Foster received Honorable Mention in the metallographic exhibit at the recent National Metal Congress and Exposition at Chicago for his entry of a chart with eighteen photomicrographs.
R. Burns’ trip to Massachusetts Institute of Technology at Cambridge concerned new developments in mechanical testing of plastics.
W. O. Baker delivered an invited lecture at Northwestern University, Chicago, on The Organic Structure and Physical Nature of High Polymers. The lecture was one of a series sponsored by the university. Mr. Baker visited Hawthorne en route for casting resin development conferences. He also was in Washington for an advisory panel meeting called by the Office of Naval Research and the Bureau of Ordnance concerning polymer research.
C. C. Hipkins and J. C. Osten attended the convention of the Federation of Paint and Varnish Production Clubs in Atlantic City. Mr. Osten’s paper, A Comparison of Infra-red and Convection Oven Baking, which was presented at the convention, received the first award.
G. N. Thayer addressed the New York Sections of the A.I.E.E. and of the Institute of Radio Engineers on the New York-Boston Radio Relay System.
The following members of the Institute of Radio Engineers have been elected to the grade of Fellow by the Board of Directors of the Institute: M. W. Baldwin, Jr., H. S. Black, L. A. Meacham and J. R. Pierce.
A. B. Haines, in Rochester on November 19, attended a meeting of R.M.A. 10C Committee on power transformers (receiver section). Mr. Haines and L. W. Kirkwood were at Wright Field in connection with the development of high operating temperature transformers.
J. R. Weeks and R. K. Evenson attended conferences at Hawthorne on the aluminum can condenser problem.
W. R. Neisser observed the assembly at Archer Avenue of a trial lot of networks for the new combined set.
**ARE YOU VACATIONING IN FLORIDA?**
During the next few months, some members of the Laboratories may be spending their vacations in Florida. A number of retired members live in Florida and would be glad of a visit, particularly from those who have known them in their more active days.
| Location | Name | Address |
|-------------------|-----------------------------|----------------------------------------------|
| Clearwater | Ray S. Wilbur | 511 Hilltop Ave. |
| Daytona Beach | H. Francis Korthauer | 709 Goodall Ave. |
| Delray Beach | Harry C. Dieffenbach | P. O. Box 873, 8 Nassau St. |
| East Lake Weir | Loyd D. Plotner | East Lake Weir |
| Eau Gallie | Bruce Freile | Box 126 |
| Eustis | Stanley F. Nelson | |
| Fort Pierce | James L. Crouch | P. O. Box 405 |
| Lake Wales | Charles R. Young | 813 Campbell Ave. |
| Miami | Lansford B. Stark | 2513 SW 20th St. |
| Oneco | Gilbert T. Ford | P. O. Box 336 |
| Opa Locka | Walter E. Newton | P. O. Box 1283 |
| St. Petersburg | Oscar E. Benson | 1014 Bay St., NE |
| | George W. Folkner | Hollander Hotel |
| | Joseph F. Johlfs | 4200 4th Ave., North |
| | Charles W. Keckler | 1151-34 Ave., North |
| | Wm. Scharringhausen | 201 6th St., South |
| Tarpon Springs | Donald Ross | Star Route |
RETIREMENTS
Members of the Laboratories who retired recently include E. W. Hancock on December 28 and S. W. Shiley on December 31, both with 43 years of service; Anton Loder on December 31, 32 years; and R. J. Heffner on December 22, 29 years.
Roy J. Heffner
Roy J. Heffner of the Personnel Department retired on December 22 following twenty-nine years of service. After receiving the B.S. in E.E. degree from the University of California in 1916, Mr. Heffner immediately joined the Western Electric Company in Chicago but was soon transferred to the Engineering Department in New York. He served with the Air Service of the U. S. Army from 1917 to 1919 and when discharged had attained the rank of Major. For the next two years he was first Chairman of Engineering Extension at his alma mater and then Educational Director of the Hawaiian Department, U. S. Army. In July, 1921, he joined The Pacific Telephone and Telegraph Company, where he became supervisor of employment and training for men and women in 1924.
Mr. Heffner transferred to the Laboratories in 1929 and after a year as Assistant Educational Director, was made Educational Director in charge of the employment and training of members of technical staff, student assistants, drafting assistants and shop apprentices. From 1936 to 1939, as Assistant Personnel Director, he was in charge of employment and training. Since 1939, he has directed the personnel analysis and planning group.
Sam W. Shiley
Sam W. Shiley of Transmission Development retired on December 31 following forty-three years of service. Mr. Shiley joined the Clinton Street Works of the Western Electric Company in 1904 where he held several supervisory positions in the Drafting Department and was in charge of telephone circuit drafting when it was moved to Hawthorne in 1907. The following year he transferred to the Engineering Department to participate in the development and standardization of telephone switchboards, distributing frames, and racks. He was Standardization Engineer when he came to New York in 1915. Here he took part in the development of many manual and toll systems. Mr. Shiley became Laboratory Engineer in the carrier telephone and telegraph laboratories at the Graybar-Varick building in 1930. Previous to his retirement, he was in charge of the Transmission Development Laboratory and was also responsible for handling drawings and specifications of his department.
Edmund W. Hancock
Edmund W. Hancock of the Switching Development Department retired on December 28 following forty-three years of service. His
first work with the Bell System was in connection with installation of manual central offices in the New York area. After several years with the Installation Department he transferred to West Street, and took part in work on the first machine switching system which was tried out as a PBX in the West Street building, and which preceded the panel system. He was next engaged in design and development of the panel semi-mechanical system and supervised part of the testing of this system at the Newark and Wilmington installations. Later he was in responsible charge of a group designing selector circuits for the panel dial system. Beginning in 1926, he conducted field development work in connection with new features of various telephone switching systems and investigations of irregular conditions. In more recent years he has been associated with the development of the No. 1 crossbar system.
**Anton Loder**
Anton Loder of the Transmission Development Department retired on December 31 following thirty-two years of service. Mr. Loder joined the Development Department in 1914 and worked as an instrument maker on printing telegraph equipment and then on radio apparatus for the Signal Corps. Later, in 1917, he left the Company and went with the M. I. Instrument Company, where he worked on apparatus they were making for the Western Electric Company. He returned to the Development Department in 1919 and for the next fourteen years was engaged as an instrument maker with a variety of telephone apparatus, particularly for transatlantic and ship-to-shore service. From 1933 to 1938 he was with the design and wiring group of the Research Department on special wiring and mechanical work of an experimental nature. He then was transferred to do the same general type of work for the broad-band cable group of Transmission Development. Since April, 1946, Mr. Loder has been with the coaxial systems group of the same department.
**News Notes**
C. C. Houtz inspected manufacturing facilities and initial production of ceramic condensers for radar applications at Winston-Salem.
L. W. Stammerjohn’s visit to the New York Transformer Company at Alpha, N. J., had to do with manufacturing problems on power transformers for amplifier use.
C. N. Hickman spoke on Rockets at the Deal-Holmdel Colloquium on December 3 at Deal. He also lectured to the students of the Air War College, Maxwell Field, Ala., on December 8.
R. E. Poole, W. C. Tinus and M. H. Cook attended the meeting in Washington of the Navy Industrial Association.
F. L. Langhammen participated in discussions on components of radar equipment at the N.R.K. Manufacturing and Engineering Company in Chicago.
A. K. Bohren and B. O. Browne witnessed tests on an FM antenna tower at the Blaw-Knox Company, Pittsburgh.
W. W. Brown visited the Western Electric Repair Shop at Philadelphia to discuss operators’ chair problems.
R. G. Koontz and W. J. Adams visited Winston-Salem and Burlington to discuss engineering and drafting practices for Bell System Radio Communication equipment.
M. D. Brill and I. E. Fair attended the National Electronics Conference in Chicago, November 3 to 5.
R. A. Sykes attended the Piezoelectric Committee meeting of the Institute of Radio Engineers in New York on November 3.
E. B. Wood and N. Insley visited Hawthorne to consult with Western Electric Company engineers on switchboard lamp problems.
R. H. Ross studied aircraft radio motors at A. W. Haydon Company in Waterbury.
F. S. Malm, H. Peters and V. T. Wallder witnessed the field splicing of “Alpeth” cable at Belleville, N. J. Mr. Wallder and J. B. Howard conferred at Point Breeze on plastic compounding methods.
J. P. Guerard went to Pittsburgh for meetings of the A.S.T.M. Committee B5 on copper and copper alloys.
W. P. Smith has been reelected Mayor of Atlantic Highlands, N. J., for another two-year term. In his twelve years of civic life, Mr. Smith has been councilman for ten years, a member of the school board for six, and mayor for two.
M. S. Mason, in his capacity as a member of the New York Engineers Committee on Student Guidance, met students of the Bronx High School of Science on December 3 to discuss preparation for and opportunities in the engineering profession.
D. E. Trucksess and M. A. Froberg investigated noise conditions in connection with the use of the new 100-ampere selenium rectifier at Buffalo and Erie.
E. M. Tolman recently received a Ph.D. degree in Chemistry from Columbia University. Dr. Tolman presented his thesis as a paper before the September meeting of the American Chemical Society in New York City.
A. E. Ruppel and F. J. Skinner visited Albany to discuss problems concerning the New York State Police mobile telephone system.
O. J. Morzentl went to Media and Duluth in connection with equipment development problems concerning No. 5 crossbar system.
R. L. Lunsford conferred at the Northern Electric Company, Montreal, on studies of small community dial offices.
J. R. Stone participated in discussions on ringing equipment for No. 5 crossbar system at the Holtzer-Cabot Electric Company in Boston.
A. A. Burgess and R. P. Jutson, at Philadelphia, conferred with local telephone engineers on special equipment for the No. 5 crossbar.
H. H. Spencer tested electronic speed regulators for motor-generator sets used to supply power for the L carrier system at Dallas, Mineral Wells, and Sweetwater, Texas.
Following an illustrated lecture in the West Street Auditorium on Night Photography by Stanley Rayfield of Life Magazine, forty-eight members of the Photography Club took a field trip to Central Park. Putting into practice the techniques outlined by Mr. Rayfield were this group of photographers taken by Chairman W. S. Suydam. Left to right, K. L. Warthman, A. L. Johnsrud, R. Olsen, R. J. Nielson, two unidentified guests, W. J. Rutter and H. J. Braun.
W. C. Kirkman is treasurer of Troop Committee No. 114 of the Boy Scouts of America in Rochelle Park, N. J. In the campaign just concluded for funds for the Council, Mr. Kirkman's committee doubled the quota set for their area.
H. O. Siegmund spoke on the subject of Rockets at a meeting of the American Society of Mechanical Engineers on November 20, and on December 3 before the New York Chapter of Alpha Chi Sigma.
A. C. Peterson discussed mobile radio equipment problems with Motorola engineers at Chicago.
W. Strack visited Chicago in connection with the multi-channel mobile telephone system.
P. T. Sproul discussed television switching problems with engineers of the Illinois Telephone Company in Chicago.
J. L. Merrill, Jr., and J. A. Weller conducted a trial installation of the E-1 exchange area repeater in Chicago. G. C. Reier observed the installation and performance of these repeaters.
R. E. Crane attended the Midwest General Meeting of the A.I.E.E. and the National Electronics Conference in Chicago during the period from November 5 to 7. He presented before the A.I.E.E. a paper, Frequency Division Techniques for a Coaxial Cable Network, of which he was co-author with J. T. Dixon and G. H. Huber.
OBITUARIES
HUGH M. STOLLER, November 17
Mr. Stoller, who was a member of the Technical Staff in the Switching Apparatus Development Department, was stricken on his way to work and died shortly afterwards at a nearby hospital. A native of Schenectady, he had received his E.E. degree from Union College in 1913 before joining the Bell System. After a year in relay development work, he returned to his alma mater and received his M.S. degree in electrical engineering in 1915. Returning to the Physical Laboratory, he was engaged in miscellaneous research problems until World War I, when he designed and developed power equipment for radio apparatus used on airplanes and submarine chasers.
Mr. Stoller then transferred to what is now the Commercial Products Development Department, where he was responsible for the development of synchronizing and speed control devices for sound recording and reproducing systems for television and for picture transmission. Following that, he engaged in the development of electromagnetic apparatus for switching systems.
During World War II he contributed to the research and development of the electrical gun director, magnetic mines and sonar. The more than seventy patents that he held on voltage and speed regulators and on sound picture equipment attested to the valuable contributions he had made in his various fields of interest. Mr. Stoller was author of numerous articles in technical publications.
ALFRED E. KOPETZ, December 9.
Mr. Kopetz, who was born in 1872, was transferred from the Manufacturing Department of the Western Electric Company to the Model Shop of the Engineering Department in 1908. Prior to World War I he worked on machine switching equipment and was one of a group of instrument makers assigned to install the semi-mechanical switching system in the Market and Waverly exchanges in Newark. During World War I he became a supervisor of a group of instrument makers.
Mr. Kopetz retired March 1, 1926, and thus became the first employee to be pensioned under the benefit plan which was established when the Laboratories was incorporated in 1925.
H. M. STOLLER 1891-1947
AMANDA FORCE 1896-1947
Shortly after retirement, Mr. Kopetz, with his wife and two children, moved to a small farm in Greene County in the Catskills. Now both children are members of the Murray Hill Laboratories; Edward is an instrument and tool maker in the Development Shops, and his daughter, Mrs. Elsie K. Melroy, a clerical supervisor in Central Files.
AMANDA L. FORCE, December 8
Mrs. Force joined the Plant Department of the Laboratories at Murray Hill on October 22, 1942, as a member of the Restaurant staff. For the past two years she had been making salads at the Cafeteria counter, where she was a familiar figure to the patrons.
January Service Anniversaries of Members of the Laboratories
| 35 years | 30 years | 25 years |
|----------|----------|----------|
| L. H. Bachmann | M. J. Kelly | T. J. Mazzi |
| G. F. Fowler | William Muldoon, Jr. | I. C. Osten-Sacken |
| A. O. Adam, Jr. | F. J. Redmond | Elizabeth Viggers |
| Phyllis Barton | J. D. Beatty | M. E. Ellis |
| P. B. Findley | J. C. Gabriel | Rosario Gerardi |
| T. B. Grant | A. J. Aikens | Erland Anderson |
| | E. T. Ball | B. G. Bjornson |
| 20 years | 15 years |
|----------|----------|
| W. C. Burger | Dorothy Patchell |
| H. N. Christopher | H. R. Vail |
| J. F. De Zavala | C. A. Webber |
| William Eichinger | R. F. Elliott |
| Richard Haard | J. R. Erickson |
| H. W. Heimbach | I. M. Kerney |
| E. H. Leonard | V. L. Lundahl |
| Ethel McAlevey | D. S. Myers |
| E. F. Billman | A. F. Klare |
| J. H. Harding | M. R. Kleist |
| O. M. Hovgaard | Bernice Potwin |
| Mildred Ralph | H. G. Raupp |
| C. H. Rumpel | J. D. Tebo |
| C. G. Wennerberg | Theresa Marion |
| F. C. Cathers | C. S. Jackson |
| J. A. Miller | Alma Ostar |
| Muriel Walter |
Engagements
*Selma Bruckner—Jess Kaufman
*Carolyn Burton—Robert L. Culp
*Doris Hogben—Albert E. Kudrle
*Harriet Marcus—Seymour Feiring
*Elizabeth Minerowicz—Anthony F. Yavorski
Weddings
*Lillian Benjamin—Earl W. Fraser
*Marcae Bitowf—James G. Carolan
*Frances Fitzpatrick—*Eugene Flannery
Shirley Littman—*Bernard Littwack
*Janet Mysel—Ralph Sinclair
*Kim Mee Ng—Joseph F. Chu
Susan Rolio—*Bernard C. Guinter
Muriel Smith—*S. E. Michaels
*Members of the Laboratories. Notices of engagements and weddings should be given to Mrs. Helen McLoughlin, Room 803C, 14th St., Extension 296.
At Burlington, L. Vieth, F. S. Corso and R. Black were concerned with production of the new broadcast microphone; F. L. Crutchfield, matters relating to the high quality moving coil receiver; T. H. Crabtree, testing problems associated with hearing aids; and L. Vieth, the manufacture of the new broadcast microphone.
H. F. Hopkins attended the meeting on Loud-Speakers of the Sound Equipment Section of the Radio Manufacturers Association in Buffalo.
J. R. Power, J. M. Rogie and F. S. Corso visited the Western Electric hearing aid dealers in Boston, Detroit and Washington in connection with the field trials of hearing aid cords.
F. L. Crutchfield was at the Archer Avenue plant regarding problems on the new operators' receiver.
F. F. Farnsworth visited a number of plants in the Pacific northwest area that produce and treat poles, crossarms, and other timber products for Bell System use. He also discussed current outside plant development projects with interested engineers of the Mountain States Company at Denver and The Pacific Telephone and Telegraph Company at Portland, Seattle, San Francisco and Los Angeles.
J. W. Kenard and R. P. Ashbaugh visited Hawthorne and the Illinois Bell Telephone Company for discussions pertaining to the new types of composite sheath that is being used for exchange area cable.
A. H. Hearn was in Washington in connection with a special committee assignment to revise and reissue the present Manual of Standards of the American Wood-Preservers' Association. At Orville, Ohio, he supervised experimental treatments of Douglas fir poles to prevent bleeding. Mr. Hearn, G. Q. Lumsden and R. H. Colley inspected creosoted southern pine poles in the Harrisburg area.
F. E. Ward appeared before the Board of Appeals at the Patent Office in Washington relative to an application for patent.
O. H. Coolidge, at Milwaukee, spoke on Transmission Line Theory at a six-lecture symposium on telephone and radio transmission under the auspices of the Milwaukee Section of the Institute of Radio Engineers.
W. Hartmann attended the fall meeting of the Optical Society of America in Cincinnati, October 23 to 25, at which he presented a paper, co-authored by B. E. Prescott, The Quantitative Spectrochemical Determination of Barium, Strontium, and Calcium.
A. E. Johnson, M.D., of the West Street Medical staff, has recently completed four articles in a series of ten for the Encyclopedia Americana. Dr. Johnson's subjects include Penicillin Aerosol; Recent Advances in Tuberculosis; and Pulmonary Physiology.
C. B. H. Feldman, H. J. Fisher, M. D. Brill and I. E. Fair attended the National Electronics Conference, November 3 to 5, in Chicago.
J. R. Power participated in conferences at the United States Naval Hospital in Philadelphia on hearing aid problems.
B. E. Stevens conferred at the Magnetic Windings Company in Camden on magnetic materials for power transformers manufactured at Winston-Salem.
C. A. Smith visited Boston in connection with the VE repeater trial.
G. H. Keillen's visit to Winston-Salem concerned a Signal Corps project.
E. T. Ball, at Hawthorne, made framework studies for the No. 5 crossbar system.
J. R. Power and F. S. Corso were in Chicago in connection with initiating a field trial on hearing-aid receiver cords.
"The Telephone Hour"
NBC, Monday Nights, 9:00 p.m.
January 12 Marian Anderson
January 19 Fritz Kreisler
January 26 Lily Pons
February 2 Set Svanholm
|
Language and social power
Karodia, Ahmed Said
How to cite:
Karodia, Ahmed Said (1989) Language and social power. Durham theses, Durham University. Available at Durham E-Theses Online: http://etheses.dur.ac.uk/6540/
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Please consult the full Durham E-Theses policy for further details.
The copyright of this thesis rests with the author. No quotation from it should be published without his prior written consent and information derived from it should be acknowledged.
LANGUAGE AND SOCIAL POWER
Ahmed Said Karodia
This dissertation is submitted in partial fulfillment of the requirements for the degree of Master of Arts in Applied Linguistics with special reference to the teaching of English.
School Of English
University Of Durham
September, 1989
ABSTRACT
Unequal social relations and domination by individuals and groupings in a society can be created and maintained by violence. But this generally is inadequate for the legitimation of that situation or for the acquiescence of those less privileged; the maintenance of the inequality is effected by language, by devaluing the subjugated's language and by using language to create the impression of the legitimacy of the unequal relations. This study aims to explore some aspects of how language and specifically speech acts are structured to create unequal social relations and link this to discourse practices that maintain this inequality. Language is, however, not an inflexible medium; as it can be used to shape the subjugated's consciousness to regard the inequality as normal, it can also form and reflect a resistance consciousness.
Language and power mesh in many ways. Chapter one will deal generally with issues of language and power relations in society. This dissertation hopes to focus on how ideology and power are present in and structured into utterances. Chapter two will show that the speech act theory can be extended to include ideological force or intent as part of a speech act. This intent is structured in the details of the utterance; and that will be the area of chapter three, which reviews the "critical linguistics" thinking around discourse analysis of manipulative intent; and the last chapter will focus on how language can be a means of resisting social domination and creating true consensus.
ACKNOWLEDGEMENTS
My thanks to Lars Malmberg who supervised this dissertation, and for the year I thank the other course teachers, Professor C. Jones, Maggie Tallerman, Julian Edge, Arthur Brookes and Peter Grundy.
Dedicated to Nazira
CONTENTS
Introduction 1
1. General 1
2. Focus Of The Dissertation 2
CHAPTER ONE: Background 4
1. Language And Society 4
1.1. Language And Social Interaction 4
1.2. Language And The Social Construction Of Meaning 7
2. Language And Power 10
2.1. Privileging A Language 11
2.2. Privileging A Standard Dialect And Pronunciation 12
2.3. Specialized Rhetorical Styles 13
2.4. Schooling, Language And Inequality 14
2.5. Language, Prejudice And Stereotypes 16
2.6. Pragmatic Markers Of Power And Solidarity 17
CHAPTER TWO: Aspects Of The Speech Act Theory With A Focus On Perlocutionary Effects, Especially Ideological Effects. 19
CHAPTER THREE: Discourse Analysis To Unpack Ideological Content. 28
1. General 28
2. Critical Discourse Analysis 31
2.1. Lexical Processes 33
2.2. Transitivity 35
2.3. Syntax 36
2.4. Modality 40
3. How Deterministic Is The Ideological Force Of Language? 41
CHAPTER FOUR: Language As Means To An Alternative Consciousness; Freedom And Consensus 44
1. The Ambiguity Of Language: An Area For Contest 45
2. Communication For True Consensus:
The Universal Pragmatics Of Habermas 50
3. Language And Liberation:
The Pedagogy Of Paulo Freire 55
CONCLUSION 59
BIBLIOGRAPHY 61
INTRODUCTION
1. General
Ali Mazrui recounts his experience of having his Swahili tested at gunpoint to prove that he was not a supporter of the deposed Bugandan leader who had marked his resistance to amalgamation into the East African community by insisting that his supporters refuse to learn Swahili:
A linguistic test was now being used as a way of determining the degree of humiliation to which a captive person was to be subjected. (1975:37)
This incident presents a stark and extreme illustration of the relationship between language and social allegiance, social power and social resistance. The link can range from this unsubtle instance to careful ideological engineering of discourse aimed at persuading a receiver to accept a certain view as valid and normal.
This dissertation is based on the premise that people will often construct unequal power relations in society so that benefit may accrue to the more powerful. It requires violence and fear to create these unequal relations and they may be maintained by the same means. However stark violence is difficult to sustain; those less privileged would need to be persuaded that the inequality is legitimate or beyond their capacity to alter. For this to be accepted by the less powerful, for it to become part of their consciousness, the "message" has to be mediated in symbolic form, by ritual or by language. This study hopes to examine some aspects of how language mediates these ideological messages, and ways of
diffusing the tensions and inequalities this language nexus creates and maintains. Though Language can be the means of subjugation, it can also be the route to an alternative consciousness that rejects unequal power relations as an unaltering condition of people.
The introductory chapter one, which charts the background of the topic, will first consider the area of language and society, after which there will be a summary of the various processes in which language and power mesh, ways which are not the focus of this dissertation, but are important to consider as the extended field of the topic.
2. The Focus of the Dissertation
Chapter one will note a variety of ways in which social power and language are interrelated. The entire area of study is a wide one and outside the range of this dissertation. Therefore the general field will be covered by the first chapter. The study will then focus on the following aspects, which are the subjects of chapter two and three:
* The social effects of speech acts; that is their perlocutionary effects which have social significance.
* This will be linked to the manipulative aspect of discourse; for this critical discourse analysis will be evoked.
Both these demonstrate power and ideology being mediated through language to produce social domination and to maintain inequality among persons and between groups.
Inequality and social asymmetry are not the unquestionable
conditions of people. Language can alter the consciousness because the spread of alternative principles is also effected by language. Through education and cooperation, by the spread of the practice and principles of democracy, a new consciousness can be forged that cherishes consensus and equality through dialogue. That will be the focus of the last chapter.
CHAPTER ONE
BACKGROUND
There is a connection between language and the social structure which points to the link between the use of language and social power. Chapter one will consider this in a general sense, thus forming the background to the specific study of the same area within speech acts and discourse analysis which will be undertaken in chapters two and three.
1. Language and Society.
This section will discuss the relationship between language and social interaction, and the social construction of meaning.
1.1 Language and Social Interaction; social purposes through language
Social relations of power, domination or mutual respect are embedded in interaction between people, and this interaction finds its expression in language. Language reflects the live situation within the structure of social forces in which people take up positions in relation to each other. Unless we begin to view social interaction as a play of forces, we might tend to assume that there is a neutrality in interaction and there are no power relations presented in language, a view fostered by most schooling and socialization processes. But an analysis of the language will indicate power relations being created, accepted or contested, as Roger Fowler writes:
In real communication people are doing more than transmitting neutral positions...Their language assumes structuration reflecting their personal purposes in communication. (1986:70)
In communication people may wish to persuade, influence or have some effect on someone else, and these purposes and perlocutionary effects are expressed in the linguistic structure they employ.
It may be comparatively easy to perceive a marked and obvious intent if it is displayed overtly. I am arguing that all language has an intent. Even if the style suggests an innocence or neutrality, most language including accounts and descriptions contain what Shapiro (1984:2) calls the "mythic level", that is, they have a social function, a worldview to promote, affirm or deny. It is in the linguistic structure that these purposes can be found, as Shapiro writes:
Seemingly neutral accounts of activities deliver, by dint of their grammatical and rhetorical structures, implicit political arguments, either legitimations for entrenched authority or polemical critiques which seem to demystify or disestablish existing structures of power and domination. (1984:2)
Even this dissertation has a plot or view it promotes, which is revealed by what is said and by virtue of how it is said, that is by its linguistic structure. Against the much promoted view of the neutrality of language and its objective existence, mediated through a focus on how effective a communication may be, this dissertation promotes the view that the social relations indicated by language are as important a consideration as the communication language may serve, or more to the point, the messages of the
content can fully be realised only if there is an awareness of the social interaction and power relation between the speaker/writer and the receiver. This is not to deny that there can be referential or descriptive accounts of language, the stress here is on the social aspects and functions of language, especially its ideological purpose.
This does not mean that every speaker or utterance has some devious intent; to believe in this "plot" theory would be to display paranoia or cynicism. The point is that there are positions being promoted, either consciously or unconsciously. In the latter case the language structure has already assumed certain relations to which we have become socialized; we inherit by our upbringing a world view which is not neutral and we inherit a loaded language. Shapiro expresses this:
Argument is sedimented in language...The flow of statements and meanings in any discursive practice, even the most austere, descriptively orientated ones are part of historically engendered social practices which precede any speaker/author and, in addition, guide interpretative practices deployed on texts once they are produced.(1984:2)
Expressions of sexism in language are often in this way unconscious, part of the inherited language that mirrors the social world. There are examples of sexist language used in this dissertation, such as quotations employing the male pronoun for all people; this is the language I have inherited. We acquiesce to the ideological implications of the language we have learned and are unconscious of its bias. However we are not trapped in this; a critical reading of our own language forces an awareness of the power relations and
value laden nature of the language we ourselves deploy. This critical reading or change in awareness is the main focus of my last chapter which looks at social resistance through language.
Under normal circumstances we come to accept not only the bias but also the norms our society has developed about speech. Hudson sums this thus:
Society controls our speech in two ways. Firstly by providing a set of norms which we learn to follow...Secondly society provides us with the motivation for adhering to these norms. (1980:119).
Our motivation for not questioning these norms and values is the desire to fit into society, of being accepted as a member of the in-group or for our social security. In this we agree to the limits our social world imposes on our language and social behaviour. Foucault (1984:109) calls these "powers of exclusion", among which he lists "prohibition", which he defines as:
We know quite well that we do not have the right to say everything, that we cannot speak of anything in any circumstances whatever, and that not everyone has the right to speak anything whatever. In the taboo on the subject of speech, and the ritual of the circumstances of speech, and the privileged or exclusive right of the speaking subject we have the play of three types of prohibition. (in Shapiro 1984:109)
1.2. Language and the social construction of meaning
J.Wilson wrote:
Man alone is capable of controlling his environment and himself by means of language techniques. (1972:1)
We order the world through our language; it categorizes and abstracts what otherwise would be inchoate. In this "construction" of the world, which is the meaning we and our language impose on our environment, not only do we assign significance to objects and persons, but we define ourselves in relation to them. It is in this relation to others that we construct social relations; and if this meaning is disseminated widely enough it permeates a society's consciousness to become our shared reality and agreed categorization pattern. We agree on these conventions. Roger Fowler has argued the role of language as the coding medium of our imposed world view:
Language plays a major role in establishing the system of ideas or "theories" which we impose on the world...Language is the central part of the social process and is a highly efficient medium in the coding of social categorizations. (1986:18)
However any linguistic form studied in isolation has no set categorization or specific observable ideology; its significance or meaning emerges in the specific discourse. This argues for a study of language in use to discern an ideological structure, rather than considering isolated examples of language. That can be done for syntactic analysis of the formal sort, but not for the meanings being discussed here. Gunter Kress argues that ideology and discourse are aspects of the same phenomenon and so language has to be analysed for social functioning:
It is because linguistic forms always appear in a text and in a systematic form as the sign of the system of meaning embodied in a specific discourse that we can attribute ideological significance to them. The defined and delimited set of statements that contribute to a discourse are themselves expressive of and organised
by a specific ideology.
(in van Dijk 1985:30)
The purposes of the communication and the social setting generate a characteristic meaning set which is coded in a specific structure of a text. To elicit or study this set the language cannot be separated from the social setting and then dissected for its significance; the interrelatedness of meaning and social setting is central to analysis.
The social construction of meaning is not something that is often negotiated democratically in a society. Different sections of society are located in different and unequal positions and they have differing degrees of control over the meanings in the society. It is likely that those in more powerful positions, economically and politically, will be more in a position to influence the set of meanings. Fowler indicates the different meanings:
Our semantic repertoire and the structure of our language are similar to the resources of people who have similar paths through life and significantly different from others.
(1986:148)
Much of this chapter will look at the procedures by which the powerful in society control the production of meaning, the procedures Foucault talks about:
In every society the production of discourse is at once controlled, selected, organised and redistributed by a certain number of procedures whose role is to ward off its powers and dangers, to gain mastery over its chance events.
(in Shapiro 1984:110)
So we note that language is an artificially and consciously organised method of control by use of symbols and conventions in the first place, and an ideological structuring in the second place.
to give advantage to those in power in a society.
This view of power domination in language and society of which even those in power are often unconscious suggests a rather deterministic view of society, a lack of agency or contestation. This would be a narrow reading of what has been discussed thus far; there is often a clash of ideologies in a society, a contest reflected in the struggle to control the language, which by its ambiguous nature allows arenas of challenge. To believe otherwise would be to be trapped in a narrow version of the "Sapir-Whorf" hypothesis, a rigid social world insisting on a specifically constructed meaning system. Fowler has this to say about the challenge in the meaning system:
A language embodies ways, not one way, of looking at the world, and in the circumstances it is obvious that speakers are not going to be trapped within one overriding system of beliefs. (1986:149)
Nor is contest the only alternative to a dominant hegemony through language; it is possible for people to act out democracy, to engage in true dialogue on equal footing, and to be rational. As I have argued, to believe otherwise is be cynical and to have no affirmative sense of people. This study will demonstrate both the contest over meanings and power and the possibility of a resolution to that contest by learning democracy through language.
2 Language and power
This dissertation intends to study aspects of speech acts and
discourse analysis to show the ideological underpinning of language in use. The area of language and power is however larger than this narrowed study. To gain some idea of the wider study, for which there can be no space in a dissertation of this length, the other aspects of the relationship of language and power are summarised in the following sections. They constitute important background considerations to the main thrust being presented in this study, the ideological effects of speech acts and discourse.
2.1 Privileging a Language.
A group in power, be they a majority or a minority, will often grant or insist on an official preference to their language in a multilingual society, or into a society into which they have penetrated and gained control. In the colonizing drive native languages were often devalued and they gained the status of being inferior, and as a result became neglected. In this way Irish was displaced by English, though in that country there is now a reversal and Irish is being promoted officially. But there the strength of English cannot now be diminished because it has become the native language of the majority and is the language of access. Besides the economic and cultural dependence of Ireland on England insists on the de facto promotion of English.
Ngugi wa Thiongo (1988) related how under British rule in Kenya Gikuyu speaking children were punished for speaking their mother tongue. This was to promote English, and:
The domination of a people’s language by the language of the colonising nations was crucial to the domination of the mental universe of the colonised. (Ngugi 1986:16)
At present Afrikaans, the language of the white minority racist government in South Africa, is a compulsory official language in that country. The 1976 Soweto school student uprising against the state was triggered by the students' rejection of Afrikaans as the dominant medium of the school. South Africa, in common with many countries, has language selection as a central facet of its strife.
The list of such instances is large and growing. Often they appear idiosyncratic, such as the casting out from Hindi of Urdu derived vocabulary after the partition of India in 1947, but they are related to social issues of power, national pride, rejection of foreigners, forced integration, control of the economy and a host of cultural issues. The point is that power in society can be created and maintained by privileging a language over another. This is also an area of intense contestation, when languages are often kept alive, seemingly against all odds:
I believe that my writing in Gikuyu, a Kenyan language, an African language, is part of the anti-imperialist struggles of Kenyan and African people. (Ngugi 1986:28)
2.2. Privileging a standard dialect and a pronunciation preference
In countries where there is a range of dialects and regional pronunciation, that of the dominant group emerges as the standard form and is associated with prestige. Preference in society, for employment into better paid positions, often requires a command of the standard form because the other regional varieties are considered inferior and unschooled. In England television and radio
promote regional dialects and pronunciation to some extent, but status and education is still attached to those speaking the southern dialect of the middle-class with its "received" pronunciation. Economically prestigious jobs are likely to go to speakers of this form.
Because English is now an international language there are new dialects native to the colonised regions which have retained English as an official language. Here too, preference for better positions is likely to go to those speaking a form closer to standard English and the received pronunciation. One of the South African students on this M.A. course at Durham, who speaks English with a Black South African Accent, desires her children to acquire a received pronunciation, and for this purpose her children attend a White private school in South Africa. Regional dialects and accents may be seen to be "colourful" or interesting, but they do not gain the status of the standard form.
Again this is a contested area. Scottish people retain a Scottish accent which is seldom seen as inferior to standard English. That is true only of the standard Edinborough accent; the working-class Glasgow accent would be far less socially prestigious.
2.3. Specialised Rhetorical Styles.
The specialised language of the in-group, that is the jargon and technical phraseology of a subject, position or field becomes a gate-keeping mechanism to bar those not familiar or initiated into this rarified style. This close-shop pattern can range from street
gangs to the argot of trade unions, but finds its most powerful form in academia. Academics who become steeped in a special style begin to use it as if it were normal discourse, and in this way become inaccessible to the lay public or their students. Academic progress by students is often no more than cracking the code of the specialised area rather than any profundity. Pierre Bourdieu castigates the discourse of teachers, especially the "magisterial" discourse of university teachers:
Of all the distancing techniques with which the institution equips its officers, magisterial discourse is the most efficacious.(it) is able to appear as an intrinsic quality of the person. (1977:109)
Bourdieu sees this not as superior or specialised knowledge, but as prestige safe-guarding manoeuvres:
The ultimate protection of the traditional professor is the professorial use of a professorial language. (1977:110)
This specialised language, uttered in a certain manner may impress those unfamiliar, but it also keeps at bay the rest of society, and the substance of the field of knowledge fails to communicate or be intelligible except to those literate in the nuances and the almost devious use of language:
(This) language can ultimately cease to be an instrument of communication and serve instead as an instrument of incantation whose principle function is to attest and impose the pedagogic authority of communication and the context communicated. (Bourdieu 1977:116)
2.4. Schooling, Language and Inequality.
Because society privileges standard dialects and pronunciation
which are generally the domain of the middle-class, schools try to foster these forms. But for children already socialised into working-class or regional dialects, the pronunciation pattern, dialect and attendant norms of school are an alienating experience; and children of the working-class or non-dominant culture are disadvantaged by the schooling process. It teaches them failure in society at an early age. Basil Bernstein (1972) has argued that not only is there a difference in dialect and pronunciation, but because language articulates experience, the experience of working-class children is different and their language code will be different from that of middle-class homes, less given to detailed descriptions and deploying greater intimacy and tacit understandings. Schools favour detailed verbalizing and explicitness, and this creates a cultural clash for the working-class child. Pierre Bourdieu sums up this alienating experience which ensures that working-class children and those from different cultures seldom succeed in schooling and therefore are prevented from economic and social advantage:
There is a world of difference between the experience of school that is prepared for by a childhood spent in a family circle where words define the reality of the things, and the experience of unreality given to working-class children by a scholastic acquisition of a language which tends to make unreal the things it speaks of because it makes up their whole reality: the "pure", "correct" - i.e corrected - language of the classroom is opposed to the language the teacher's marginal notes stigmatize as "vulgar" or "common". (1977:119).
Related to the issue of schooling and language is the area of language and knowledge. Knowledge is constructed and transmitted by
a language. The dominant group in a society by controlling language can control knowledge or select that knowledge over which they have mastery and present it as prestigious knowledge. Thus lay knowledge and lay language are not valued as the specialised or selected knowledge and language. Geof Esland has this to say on this issue:
Language exists both as subjectivity and as objectivity. As subjectivity it structures an individual's intentions and thought processes; as objectivity it preserves and makes public vast systems of knowledge in human societies. (1972:57)
The knowledge mastered by the children of the dominant group, often book knowledge, is made "public" by language till it becomes high status knowledge and marginalises the knowledge of other groups who do not have the power or language monopoly to impose their own knowledge.
2.5 Language, prejudice and stereotypes.
In multicultural and multilingual communities there may be a wrestle over power or domination by one group. The domination and often rejection of other groups is marked linguistically by prejudiced discourse. This prejudice spreads among the in-group or the dominant group, as van Dijk writes:
We view prejudice as a form or as a result of what we may call "social information process", not at a purely individual or personal level, but rather as a central property of social members of groups, on one hand, and of groups and intergroup relations on the other hand. (1984:3)
We note that this prejudiced language serves communicative and social functions such as persuasion at the interpersonal level,
solidarity within a group, the dissemination of social beliefs and opinions within a group, and for the normalization of attitudes and social precepts for the behaviour towards other groups, often a group of another race or a minority group. This prejudiced language manifests itself as stereotypes, erroneous beliefs, clouded reasoning and biased perception regarding the other group:
Due to the socially shared representation of outgroups in general, and ethnic minorities in particular, members of the ingroup will tend to perceive the appearance and the actions of minority members as inherently "different", mostly in the negative sense. (van Dijk, 1984:17)
This is how hostile or derogatory social images of non-dominant groups are spread through language, be it sexist, racist or other prejudiced discourse.
2.6. Pragmatic Markers of Power and Solidarity.
According to Hudson (1980:125) linguistic signalling of power and solidarity has been researched enough to produce the universal that every language might be expected to display some way of signalling differences in either power or solidarity or both. The key concept in these relations is of "face", a term from Ervine Goffman, that suggests a social status which can be maintained, lost or enhanced. An extreme example is the one Coultard (1985:31) quotes from Albert (1972) of the Burundi peasant farmer employing an "ungrammatical" utterance when addressing a social superior; the peasant makes a "rhetorical fool" (Albert) of himself to save her/his face. And Hudson notes that:
In Japanese and Korean there is a fairly direct relation between power, solidarity and verb forms (1980:126)
Most languages will permit some such markers, some more pronounced than others.
Brown and Levinson (1978) note that markers of solidarity and power are expressions of politeness, or strategies to prevent breakdown in communication and promote cooperation:
All (people) choose means that will satisfy their ends....Given that face consists of wants satisfiable only by the actions of others, it will in general be to the mutual interest of two people to maintain each other's face. (1978:59,60)
What this overlooks is not cooperation but compulsory compliance or acquiescence to strategies which mark one as socially inferior and less powerful. Much of this kind of study in the field of ethnographic linguistics ignores social asymmetry or regards it as the normal social order; it ignores the implicit power relations which need a critical sense to bear on them. Brown and Levinson are interested in the presentation of self and cooperation in social interaction, rather than in social change or in any attempt to relate the social markers and strategies to a critical theory. Theirs is a descriptive/analytical ethnography with no critical edge, as found in Paul Willis (1977).
CHAPTER TWO
ASPECTS OF THE SPEECH ACT THEORY WITH A FOCUS ON PERLOCUTIONARY EFFECTS, ESPECIALLY IDEOLOGICAL EFFECTS
Geoffery Leech in describing his approach to linguistic pragmatics saw the study as answering this problem:
Given that I want to bring about such-and-such a result in the hearer's consciousness, what is the best way to accomplish this aim by using language? (1983:preface page x)
Of interest to this study is the accomplishment of the ideological "result in the hearer's consciousness" and behaviour. For this purpose I shall be looking at the perlocutionary aspects of Austin's work. Leech denies that perlocutionary effects are a proper study possible under the area of pragmatics:
Perlocutionary effects do not form part of the study of pragmatics, since pragmatic force has to do with goals rather than results. (1983:203)
There is too close a causal link between goals and results for there not to be great influence exerted by one over the other. Students of linguistic pragmatics need to consider results as an integral part of the field. Besides Leech's distinction is glib and he falls into the academic trap of disassociation from the social implications of speech, which was an essential aspect of the early thrust of pragmatics and its rationale. The goal/result dichotomy severs the text from its context, and denies the continuity and intertwining of utterance, goal, result and utterance.
The speech act theory formulated by J.L.Austin (1975) broke the monopoly of the "true/false" description of language; he showed
that an equally valid description of language was the action of an utterance, which he called "performative":
It indicates that the issuing of an utterance is performing an action—it is not normally thought of as just saying something. (1975:6)
I want to extend this concept of "performance" to include ideological performance; that is, the power-creating and maintaining function of language is part of what we perform when we produce language, it is what normal language does. Many of the speech acts such as naming are conventional and easily identifiable. Fowler adds to the conventional list, "requesting, denying, stating, commenting, informing, and so on" (1981:18). But he goes on to conclude:
Every utterance performs a speech act of some sort, although this may not be obvious from the surface structure of the sentences concerned. (1981:18)
The speech act may be direct, that is hinging onto the literal meaning, or indirect, that is what is implied. Both may be used to convey ideological force and therefore there would be no point in pursuing what difference there may be between them because force or intent is what I am dealing with, not directness or indirectness.
They both relate to a context:
Statements are about something, they suggest something, and to understand them is to understand their relationship to what they are about, i.e. to the world outside the statement. (Mclellan 1986:69)
To demonstrate the speech act theory let us take an example. Suppose person A says to person B in a warning whisper, "Keep away from that man, he smells unwashed," and because of this B does keep her/his distance from the man. A has said the words s/he uttered and by hearing this B has kept a wary distance from the man. A has
performed several different acts, according to Austin,
1. A has said something
2. A has said something to B
3. B has as a result kept away from the man.
Austin will call these three acts a locutionary act, an illocutionary act and a perlocutionary act respectively; ie the meaning of the words uttered, the intended force of the words and finally their effect on the receiver.
There seems to be no fruitful purpose in distinguishing between locutionary acts and illocutionary acts because saying something is intending what is implied by the words. Searle argues this same conclusion:
Austin tells us, performing a certain locutionary act; uttering a sentence with a certain force is part of the meaning, where the meaning uniquely determines a particular force, these are not two different acts but two different labels for the same act.
(in Rosenberg and Travis 1971:263,4)
The "meaning" referred to is interpreted as both literal and indirect meaning or implication. The concern with illocutionary and perlocutionary acts provides us with more information about communication. This study intends to view perlocutionary acts, which are the effects of our speech, and illocutionary intentions in producing the speech as being close, except when there is resistance to the purpose of the utterances. Illocutionary and perlocutionary acts coincide when the desired or structured-in-language effect is achieved by the utterance; the gap widens when between the intent and effect there is a difference:
We must systematically be prepared to distinguish between "the act of doing x", i.e. achieving x, and "the act of attempting to do x". (Austin 1975:105)
Some effects may be accidental or a desired effect may fail because of the participant's' different degrees of competence in the language being used. Of greater interest is the critical awareness of the receiver when s/he resists the illocutionary intent when that fails to coincide with the receiver being considered as a democratic equal to the producer of the speech. So the ideological structuring of utterances is their illocutionary intent and perlocutionary effect, and for that reason the focus of this chapter will be on perlocutionary causes, which are really illocutionary forces, and perlocutionary effects. That is where ideological intent is achieved or resisted.
Austin defined perlocutionary acts in this way:
Saying something will often, or even normally, produce consequential effects upon the feelings, thoughts or actions of the audience .....and it may be done with the design, intention, or purpose of producing them.......
We call the performance of an act of this kind the performance of a "perlocutionary" act. (1975:101).
Austin notes that illocutionary acts are related to effects in three ways, "securing an uptake, taking effect, and inviting a response" (1975:118). By "uptake" he meant that the receiver must hear/recieve the words and take them in a certain sense; s/he needs to understand them. Understanding can be at different levels. The ideological content may be understood by the receiver if s/he is critical of what is being said or consciously agrees with the position being promoted. However there may be an unconscious uptake, in the sense that the receiver accepts the ideological
underpinning as natural and not as an area for reflection.
By "taking effect" I understand the utterance must register with the hearer who is then poised for the response. "Taking effect" can in a similar way be conscious or unconscious. The receiver may accept and agree with the ideological intent; may unconsciously agree with the position; may disagree but accept the position; may disagree and reject the position but still cooperate with the desired response; or contend the view being promoted and respond with an active rejection. So we note a closeness between "taking effect" and "inviting a response", and the response itself is the perlocutionary act.
In chapter one and the preceding paragraph we noted that the ideological content is not something a speaker or receiver may be fully aware of. They inherit a language and world view. Austin is unaware of this unconscious intent of our language, but he acknowledges that effects can be unintentional:
The perlocutionary act always includes some consequences, as when we say "by doing x I was doing y": we do bring in a greater or less stretch of "consequences" always, some of which may be "unintentional". (1975:107)
The necessary condition for the performance of perlocutionary acts is the condition that the perlocutionary act is performed when an utterance produces an effect on the listener's thought, action or feeling. Steven Davis formulates it in this way:
(i) the speaker's saying something,
(ii) the occurrence of an effect on the feelings, thoughts or actions of the speaker's audience,
(iii) A causal connection between (i)
and (ii) (Searle et al 1980:38)
And to (ii) above we can add the ideological effect achieved or intended by (i).
Davis also offers an improvement on Austin's three terms. We have seen that illocutionary acts cannot be separated from locutionary acts (Searle in Rosenberg and Travis 1971:263,4). Davis argues that illocutionary acts cannot be separated from perlocutionary aspects. Austin had formulated the distinction in this way:
"We must distinguish the illocutionary from the perlocutionary act: for example we must distinguish "in saying it I was warning him" from "by saying it I convinced him, or surprised him, or got him to stop".(1975:110)
But in saying what was said the speaker intended the receiver to be convinced, surprised or to cease some action. Possible perlocutionary effects are already contained in the force of the utterance and as such the force is a perlocutionary cause. Unintended effects are also built into the words, but the speaker may not be conscious of them. Davis offers this terminology:
(i)"speaker's saying something" designates a perlocutionary cause.
(ii)"hearer's X-ing" designates a perlocutionary effect.
(iii)"speaker's causing hearer to X" designates a perlocutionary act.
(in Searle et al 1980:39)
These suggest the perlocutionary features of what has been called illocutionary acts.
The effects of saying something operate through the conventions of language:
saying something produces effects on other persons, or causes things.(and
this) has to operate through the conventions of language and is a matter of influence exerted by one person on another. (Austin 1975:113 footnote)
Conventions of language are accepted and often inherited agreements, which are accessible by gaining a competence in the language, a competence in the Hymesian rather than the Chomskyan sense. When a person knows how to speak and understand a language there is a range of knowledge or abilities s/he possesses, i.e. the person is competent in that language:
A speaker knows the rules which govern the performance of illocutionary and perlocutionary acts. (Davis in Searle et al 1980:41)
So for the effecting of a perlocutionary act the words uttered produce a response from the receiver because of her/his competence. I want to argue that this competence includes ideological competence. The producer of the speech uses her/his competence to say something, the receiver's competence is necessary for the production of an effect on her/him, which is already part of the response. For the utterance to produce a power relation or present a self-advancing world-view, the same competencies are required. This competence permits the ideological effects of the utterance which, if it is to be done successfully, needs the cooperation of both the producer and receiver. The same or more critical competence is necessary if there is to be a rebuttle of the ideological design of the utterance. This sharpening of competencies is the thrust of the educational principles of the language educationist Paulo Freire.
Ideological competency and cooperation with ideology, like general acquaintance with the conventions of the language, are not
necessarily conscious or deliberate. Inherited ideological positions are patterned on a language and the user may accept these "messages" because of a longer-than-one-life agreement with the social relations implied in the language. For most people the power and privilege social patterns indicated in the language seem a normal aspect of the language they are using. In the last chapter the work of Paulo Freire will be studied for the insight it sheds on how a critical appraisal can be brought to bear on the language we use, whether that language is ideologically favouring our positions or not.
The influencing of one person by another through speech is the act of producing perlocutionary effects. Much of language contains ideological positions being promoted and this is intended to be accepted by the receiver of the utterance. The ideological positions are promoted through perlocutionary causes and illocutionary force, and realised through perlocutionary effects. The receiver uses her/his competence in being affected by the intention of the utterance; the ideological purpose is effected by a conscious or unconscious collaboration with it. The producer may deliberately structure the utterance for this purpose, or use it knowingly or be unaware that s/he is employing it. The same producer, convinced of the need for consensus and democracy, may deliberately avoid structuring her/his language to gain social power or resist the ideological structure already inherent in the language, as will a critical receiver. We can alter the ideological underpinning of language and remove it altogether because neither ideology nor the language it is encoded in is deterministic to the
extent that we are helpless.
The argument thus far has been that ideology is an intent in the language we use; it is a part of the speech act. Now we need to search through discourse to see how ideology is packaged in language and how it operates there:
Sentences are used to perform speech acts such as stating, questioning, commanding, ..(etc). The speaker also communicates his attitudes towards the probability, desirability (etc) of the states of affairs mentioned in the propositions. Additionally, the utterance of a sentence contains indicators of the spatial, temporal, and interpersonal orientation of the contents. (Fowler 1986:68)
Chapter three will show how this packaging occurs in discourse.
CHAPTER THREE
DISCOURSE ANALYSIS TO UNPACK IDEOLOGICAL CONTENT
1. General
In asymmetrical social relations within societies structured on social inequality power relations are often intended or expressed in communication. As we are socialised into that society we learn and most often acquiesce to the hierarchy and unequal spread of advantages, which aspects are also reflected in the language. To lay bare these aspects, to demystify them we can scrutinize the communication in which they are embedded.
Roger Fowler and Gunter Kress write:
The structure of a language should generally be seen as having been formed in response to the structure of the society that uses it. (in Fowler et al 1979:188)
And Halliday had suggested three major functions in language: the "ideational" which conveys the contents, i.e. the events and processes; the "interpersonal" which expresses the speaker's attitude to the propositions and the receiver; and the "textual" which is about the presentation of the first two in understandable texts. These three are inextricably intertwined; the interpersonal cannot be separated easily from the ideational; the ideological force would be in the domain of the interpersonal but spills over into the other two. From these Fowler and Kress conclude that:
The selections which speakers make from the total inventory of forms and processes are principled and systematic; and the relation between form and content is not arbitrary or conventional, but that form signifies content. (in Fowler et al 1979:188)
And this brings us to the study of discourse in which social positions and intentions are packaged:
Let us not, therefore, ask why certain people want to dominate, what they seek, what is their overall strategy. Let us ask, instead, how things work at the level of on-going subjugation. (Foucault in Lukes 1986:233)
For this we need to engage in the ideological analysis of discourse.
Kress and Hodge (1979), Fowler, Hodge, Kress and Trew (1979), and the fourth volume of Handbook of Discourse Analysis, subtitled Discourse Analysis in Society, edited by van Dijk (1985), to name some major works, have researched this field. Drawing on Marxist and conflict explanations of the relationship between economic and cultural lives, these analyses home in on the class and interest conflict, exploitation and power relations in society and language, which are seen as part of the cultural world underpinned by the economic and other divisions in society. Features of discourse are scrutinised for social indicators that show how power is being mediated through language, how the interest of the speaker or her/his group is represented in the details of the language. van Dijk sums this thus:
Ideological analysis will often have a critical dimension in the sense that it intends to reveal underlying class conflicts, power relations, and ideologies through discourse analysis. (in van dijk 1985:8)
van Dijk goes on to explain that this sort of analysis is used on public discourse such as the statements of politicians, news bulletins and advertisements. The technique may equally well be applied to interpersonal discourse because it is not only in the
language of propaganda or of big corporations that we see manipulative techniques being deployed; they are also packaged into what may appear to be non-controversial or innocent discourse. True, more spectacular results may be achieved by scrutinising political talk for it is more given to manipulative intent.
The reason for this critical analysis of discourse is that the social meanings are not always apparent in the referential meanings of the statements, we need to interpret that which is implied. This is especially so because our literacy education and socialization have focused on referential meanings and not the social ones. That in itself is a method most societies employ to prevent their members from questioning the implied social relations in the language forged by the group in power. Power is maintained by keeping people in ignorance. It is therefore important for a critical discourse analysis which will demystify the social implications of utterances.
It needs to be repeated at this stage that I am not advocating a "plot" theory in language that suggests that speakers deliberately and constantly aim at mystification, concealment and conspiracy. The selection of linguistic forms indicating power and inequality may not be deliberately chosen by a speaker; often people occupying official positions, by using the institutional language of their professional world, may be uttering implications contrary to their sympathy. School teachers are often caught in this predicament. The discourses they employ are already existing in the repertoire of their social positions, a repertoire they have inherited. This is
not an attempt to exonerate such users, just to offer an explanation of how some people may use a linguistic form without consciously choosing it and in this way reinforce the social asymmetry. The last chapter will indicate that linguistic education of a demystifying kind may grant such unconscious users of a linguistic repertoire an awareness of the social implications of their own language. There may, however, be many instances where the users of a linguistic form may opt for it deliberately because of the social advantage it promises them. Critical discourse analysis aims to show the ideological content of utterances, be that content the speaker's deliberate design or not. Fowler and Kress sum this idea in relation to language:
Social structure provides the resources, individuals mediate their realization.
(in Fowler et al 1979:196)
2. Critical Discourse Analysis
There is a central ambiguity in language and therefore no critical analysis method can be devised which will provide ready answers at the end of the process. We can impose no analytic grid in any mechanical way and expect results to flow. Nor is there a sequential stage-by-stage method which will reveal the unpacked truth at the end of the process. The point is that we cannot just sit in front of a text and run a programme through it to produce critical results, though quantifiable items may be noted for some social effect. Social meaning and linguistic form do not correlate in some unambiguously predictable manner. Individuals may choose deliberately to cast their utterance in some specific way which grants them or their interests some social advantage or the person
may be employing an inherited repertoire. For a critical analysis we need to consider the social location of the producer of the utterance and the social setting in which it is deployed, and then specific characteristics of her/his discourse which suggest the ideological commitment of the utterance, be it implied or direct. This needs a more qualitative rather than a quantitative approach.
Because there is no ready packaged analysis programme for what we are seeking and because language is ambiguous we may be tempted to despair of gaining any analytic techniques. Language may be ambiguous, but it is not without structure. To scrutinize the structure we can follow the three assumptions presented by Fowler and Kress (in Fowler et al 1979:197), assumptions which can be used to guide critical discourse analysis:
*The first of these is to accept Halliday's three functions of language, the "ideational", the "interpersonal", and the "textual". This means that the analyst has to relate linguistic forms and items to these three functions which are themselves interrelated.
*The second assumption is that the linguistic forms are choices, deliberate or inherited. These are guided by the social purpose of the speaker or of the dominant group. A search for these will indicate some unity of purpose or some ideological positioning. This does not mean that there will always be this unity because language is both ambiguous and slippery and contradictions may appear.
*The last assumption presented is that the syntax suggests meanings, including social meanings. These can be read off from
Fowler and Kress (1979:198) offered an analysis checklist for the critical appraisal of a text to reveal its social signification. Their original five areas were: 1 the grammar of transitivity which indicated events and processes and their associated agencies; 2 the grammar of modality which marked the interpersonal relations between the interlocuters; 3 transformations which showed the linguistic manipulation of linguistic material; 4 the grammar of classification; and 5 the coherence or unity of the discourse. Since then Fowler (in van Dijk 1985:68-74) has reworked the checklist and offered the new one more tentatively as being informal and only a guide. The social investigation of discourse may consider the items on the list in collaboration with each other and with relation to the context of the utterance. The new list contains 1 Lexical processes, 2 transitivity, 3 syntax, 4 modality, 5 speech acts, 6 implicature, 7 turn taking, 8 address, naming, and personal reference and 8 phonology. In discussing these I intend to follow closely the reworked list Fowler offers and introduce new material where necessary.
2.1. Lexical Processes
The social interest of a person or group is reflected and expressed in the vocabulary of the individual or group. Fowler argues that concepts in the society are related to lexicalization. Concepts in greater currency and of advantage to the group or person will possess a wider range of synonyms. This would be overlexicalization, many words for one concept, such as "individual entrepreneurship", "merit", "endeavour", "pride in work" and the
range of similar expressions in the milieu of the conservative restoration, the period of Thatcherism. These indicate the prominence or promotion of a set of beliefs. In more restricted arenas we call the same proliferation of similar vocabulary items around a promoted concept "technical jargon" or the "slang" of the in-group. In South Africa the present racist regime slips into currency terms such as "evolutionary change", "negotiated settlement", "protection of group rights", and "cultural autonomy" to soften their fascist image and retain racial segregation to their economic and social advantage. In writing of this I too am privileging some vocabulary choices such as "racist" and "fascist" to promote my understanding of the ruling group in South Africa. Underlexicalization may occur when a system of related concepts is prevented from gaining social currency. Besides these there are groups of words in opposite categories and one set of categories is associated with power, learning and privilege. For example the category of abstract words is associated with privileged groups and advantaging schooling, and the concrete is viewed as rough and inferior. Examples of these would be abstract terms such as "predisposition" and "democracy," and the concrete such words as "spade" and "brick". Interestingly a word such as "democracy" is gaining currency with politically conscious youth in South Africa to the extent that it is a common word with them. General and specific are the next two categories, general terms suggesting a wider categorization ability, and specific seen as being tied to the particular and the narrow. Words borrowed from foreign languages often gather impressions of glamour, intellectual prowess or other advantage to them. Vocabulary choices may suggest complex
or simple morphology, such as "psychotherapy" and "red", the former suggesting association with learning and power and the second with things simple. So we note that the availability and use of certain vocabulary choices is allied to power and prestige in society. But we must note that these associations are not binding; they can slip, as I shall argue in chapter four.
2.2. Transitivity.
The study of transitivity and power looks at the actions and the participants of action in a clause. The predicates (i.e. the verbs, adverbs and adjectives) indicate processes, actions and states; and the roles are performed by the participants (i.e. the nouns). The agents or participants can be assigned the ability of deliberate power or control as in "Mandela met P.W. Botha" which is markedly different from "Mandela was taken to meet P.W. Botha". The second confers an object state rather than an agent state to Mandela. The agent is seen as controlling the process and performance while the object or instrument is seen as undergoing the process. Transitivity indicates a fundamental difference in how people are presented and this relates to issues of who is deemed to be powerful. But reading this off a text is not simple, it needs a context. In the Mandela example the official South African statements, by using the first sentence which normally would indicate an agent status, now suggest that he is a free agent and thus diminish the fact of his continued imprisonment. Fowler makes distinction between agents and objects, and between instruments and experiencers. Instruments are used to effect actions as in "Negotiations will iron out the differences", and experiencers are
shown as experiencing mental states and processes as in "De Klerk listens to the grievances of the Black people" and "The conservatives are jubilant".
Fowler argues that the effects of transitivity are central to the linguistic construction of reality and contribute to the formation of relations and differentials of power. The first focus is on the roles assigned to participants by the predicates, and the second is on what types of entities are seen as being able to perform certain processes. Fowler's example is widely applicable; a state sympathising newspaper may implicitly blame those demanding reform and portray them as the agents of subversion and disruption and exonerate the excesses of the government and its police. A group in power may disclaim its responsibility by assigning agency to some abstract formulation as in "Conditions in South Africa insist on the continuing state of emergency". Fowler calls this the use of *pseudoagents*. So we note that transitivity and its attribution of agency is marked in the structure of clauses and a critical discourse analysis will indicate how power relations are being mediated through these structures in sentences. While we have been looking only at sentences the attribution of agency can be dispersed through an entire text and is often identifiable only by looking at the patterns in whole text.
2.3. Syntax
Early transformational-generative grammar indicated that different syntactic choices expressed the same underlying meaning which was retrievable by discovering the *deep structure* of a sentence. I
agree with Fowler when he argues that the visible structure implies social meanings which cannot be found in a paraphrase which alters the essential meaning. This view insists that the social relations embedded in a sentence are part of its essential meaning. Let us take the example from the section on transitivity, "Conditions in South Africa insist on the continuation of the state of emergency". The pseudoagency of conditions mystifies the real agents. There has been a deliberate deletion of agents: insist has no object and continuation has no subject, and the state of emergency is not linked to who is going to impose it and who will be affected by it. We could rephrase the statement "The government of South Africa finds that the conditions created by the resistance to apartheid forces it to reimpose a state of emergency", but a government such as South Africa has at present would prefer the nonspecific mystifying syntax.
Fowler maps out three areas of syntax manipulation that indicate relations of power: deletion, sequencing and complexity:
2.3.1. Deletion
Normal speech contains many instances of truncations or ellipses which rely on the context for their interpretation. In modern English the more intimate the relationship the more likely the appearance of ellipses, and the more formal the situation the more complete the sentence details. But truncations are also related to other social values such as brusqueness (impatient truncations), emphasis (indicating power or deference) and shared knowledge (a shorthand for those in the know).
Two syntactic constructions that allow deletion and are of importance for the purpose of this study are (a) nominalization and (b) the passive.
Nominalization is when the action of a verb is presented as a noun as in continuation in the example used before. Other examples are statements such as "Compliance with the law will guarantee security". Fowler argues that nominalizations are endemic to authoritarian discourse such as police bulletins, official statements and legal jargon. They are used to try to cow the lay public. The ideological results of nominalization are two fold: first they create new nouns which code experience in a specific social manner and this encoding is then disseminated to become the general social reality by propaganda, the media and by education. The new terms are presented as given and no longer innovations or new constructions being foisted upon a public consciousness. The second consequence of nominalization is that it removes agency and modality and this makes distant and mysterious the real agents, their actions and motives. It mystifies their responsibility and culpability. In the example quoted above (Conditions in South Africa insist on the continuation of the state of emergency) the action or agency of the South African government is disguised and their motives mystified.
The Passive allows agent-deletion and this permits the omission of the reason or cause of an action, as in "Steve Biko was found dead in prison" or "David Webster was killed outside his house". In both these cases the state or agent responsible is exonerated by omission. Both passives and nominalizations practice the "ideology
of impersonality" (Fowler 1985:71) which mystifies the power behind the action. This sort of language use is spread in a community by the agents of the state, the school and the media till it is given a status of being superior and objective.
2.3.2. Sequencing
This is a prominence granting mechanism in a sentence. The passive may be used to grant this as in "Webster was killed by the state" as opposed to "The state killed Webster". The order in which the information is released to the addressee is intended to focus her/his attention differently and suggest agency differently. Different topicalizations may be used for prominence marking, as in "Insubordination we will not tolerate". The slightly unusual sequencing is used to express the power base of the uttering "authority". Other reorderings could include the use of parenthetical phrases. These deliberate sequencing of words for social effect are rhetorical devices to manipulate the focus of the receiver.
2.3.3. Complexity
Basil Bernstein (1972) offered his controversial theory of a code difference between working-class speech and that of the schooled middle-class. While the implication of his formulation is now in doubt, what can be salvaged is that experience is coded differently. Speech associated with power and prestige contains greater explicitness, a wider vocabulary of standard dictionary synonyms and a higher ratio of subordinate clauses indicating more explicit causal relations. The opposite forms that rely on shared
assumptions and greater use of coordinating sentences is associated with being socially naive. Children mastering the socially prestigious forms gain an advantage in school and in society.
2.4. Modality.
The speaker's attitude to her/his proposition and to the addressee can be encoded in the modality of the sentence, in words such as "must" and "will" and so on. According to Fowler the devices of modality fall into certain categories:
*Validity: this is when the speaker expresses her/his confidence or lack of it in the truth of the statement, as in "It may have been there".
*Predictability: This indicates the speaker's degree of sureness about some future event included in her/his statement, as in "It is likely to be over by then".
*Desirability and Obligation:: This indicates the speaker's judgement about some obligation by her/himself or more often by someone else. Expressions of "ought" and censure are included here.
*Permission: This is when the speaker allows someone else to perform some action, as in "You may do so now".
Modality is expressed in linguistic form by 1 modal auxiliary verbs such as "may, shall, must and need", 2 sentence adverbs such as "probably, certainly and regrettably", 3 adjectives such as "certain, unfortunate, necessary" and 4 verbs and nominalizations such as "permit, predict, prove, desirability, and authority". There is also what Fowler calls the modality of deference signalled
by words or phrases indicating subservience, deference, underconfidence, acquiescence and reliance. Expressions such as "I was wondering." and "Doesn't it" indicate deference. Such expressions can be tag-ons and therefore regarded as of modals. These are closely related to the issue of power and solidarity discussed in chapter one.
2.5. Speech Acts and Implicature.
By implicature is meant indirect or implied meanings, and is contained in the illocutionary act. This and speech acts have been covered in chapter two.
2.6. Turn Taking, Naming, Address, and Personal Reference.
The section on power and solidarity in chapter one dealt with these issues.
3. How Deterministic Is The Ideological Force Of Language?
Graddol et al (1987:205-208) accuse the critical discourse analysis underpinning of being deterministic:
An important point to note about this kind of analysis is that the theory underlying it is explicitly deterministic: it suggests that the language used in a culture affects the way people perceive and interpret events. (207)
Apart from evoking the Whorf hypothesis no more argument to support this claim is presented. True, language can determine consciousness especially when it is acquired and internalised in an unquestioning way, which is the manner most schooling fosters; or the linguistic construction of the world may agree with one's world view and
interests. But the theorists advocating critical discourse analysis do not claim that there cannot be resistance to this. The act of critical linguistic analysis is itself a powerfully persuasive argument that language structuration can be resisted and a critical attitude fostered.
Graddol et al also express their discomfort at the overt political position admitted by the proposers of critical discourse analysis, and at the same time grant that there can be no value free research or position (1987:208) They argue for degrees of objectivity, their own position being presented as being more objective than that of Fowler and the other theorists who agree with him. This desire to retain "academic" objectivity and yet admit the relative nature of positions is itself a political position increasingly allied with conservative thinking which fosters the ideology of separating academic debate from action on social issues. And this ideological position of Graddol et al is presented in the language they use.
Critical discourse analysis has not attempted some "objective" or "scientific" correlation between social relations and language, a study that may be presented in quantifiable results of tables and statistics. It offers a fact of social organization which calls for enquiry and action. To conclude I would like to review the seven points of recapitulation offered by Kress and Fowler (1979:194)
1. I agree that forms of social organization influence linguistic structure and linguistic use. By that I mean both the structure and use that acquiesce to the dominant ideology
and that which is a result of oppositional attitudes in a society.
2. The elaboration of the first point undermines the original point two presented: *This influence operates in a deterministic fashion*: social structure $x$ demands linguistic variety $y$. We can improve on this by adding that structure $x$ may be satisfied by variety $f$, or for opposition variety $z$ may be used to undermine structure $x$. Between the 1979 formulations and Fowler’s writing in 1985 this new perception has been noted.
3. I accept that the linguistic influence and choices made by people may not be deliberate or may be difficult to resist.
4. I agree that social structure is indicated in all aspects of language and not merely in the easily identifiable references to interpersonal relations.
5. Different forms of language are not just stylistic varieties of each other, but encode different social concepts and ideologies, and the availability of those concepts is controlled by the language being used.
6. Social inequality and power relations are prominent influences of linguistic structure. This is central to this dissertation.
7. The point is offered: *Language not only encodes power differences but is also instrumental in enforcing them*. To which can be added that language can be a powerful agent for resisting those power differences and for expressing alternative social values. That will be the thrust of the next chapter.
CHAPTER FOUR
LANGUAGE AS MEANS TO AN ALTERNATIVE CONSCIOUSNESS; FREEDOM AND CONSENSUS
One of the most persistent attacks on attempts to relate language to social control is the accusation that this is a deterministic line of thought. I am arguing that while language is a potent weapon of social control, it harbours a persistent ambiguity that permits challenge to that social process, a counter control, and the possibility of general demystification which promises egalitarian values and open rational communication. This is no mere theoretical position; the struggle to free language from oppressive control is recognised as a liberatory tool in freedom movements in places like South Africa and in the social assertion of marginalized communities in Britain. In South Africa transformative social change is being sought by democratic organizations who have formulated principles for what is termed "People's English", which is language for shared social power.
People's English intends all learners to:
- understand the evils of apartheid and to think in non-racial, non-sexist and non-elitist ways
- play a creative role in the achievement of a non-racial democratic South Africa
- use English effectively for their own purposes
- express and consider the issues and questions of their time
- transform themselves into full and active members of society
The education implication of the language theories of Paulo Freire which will be discussed in the last section of this chapter has the same force as these aims of People's English.
People are not only the objects of language and its social mechanism; they can also become its subjects, reforming language and its social implications to serve non-oppressive social functions. To present this argument I intend to discuss these aspects:
1. The central ambiguity of language
2. Communication for true consensus
3. Language and liberation
1. **The Ambiguity of Language**: an area for contest.
Utterances are acts of power because they act on people; either by giving them information and so altering their perceptions in some way, or by defining them and in this way modifying the ways in which they are seen by other people or by themselves. Engaging in communication is altering someone's world. These acts of power may be unilateral in the sense that the will or utterance of only one person may be the altering tool, or they may be a collaboration of wills, even if this collaboration is forced. The third alternative is that the power in an utterance may be resisted by an alternative utterance or encoding of view. This brings us to the contest possible over the power inherent in verbalizations. Language is an alternative to sheer force because we do not have the continual
ability to enforce violence; we use language to shape the same end at far less cost and psychological impairment to us. But a symbolic system, such as language, cannot be a naked and inflexible sword because it is difficult or impossible to construct verbal statements which cannot be refuted or distorted. Language is powerful but it is also an imperfect oppressive tool because it permits answering and opposition.
This "imperfection" in the power enforcing mechanism of language is its ambiguity. A useful piece of work arguing this ambiguity of language and its uses is "Verbalizing a Political Act: Towards a Politics of Speech" by J.G.A. Pocock in Shapiro (1984). Pocock writes about the malleability of language:
There is a certain refraction and recalcitrance in the medium which ensures that the language which I bend to perform my own acts can be bent back in the performance of another's act against me, without ceasing to be available for my counter-replication.
(in Shapiro 1984:31)
So while language grants its user power, that user may try but cannot fully control the ambiguities of language, nor can s/he prevent others from sharing that power of language. Though, through the control of education, the mass-media and other apparatuses, some may try to prevent others from gaining a foothold on the power of language. Essentially in using language the user enters the inevitable recognition of other people's power or potential power, a compromise that Pocock calls entering "a polity of shared power" (1984:31).
One of the reasons for this central ambiguity of language is that
it is not the product of one will, but the inheritance of many acts of power. Language consists of many institutionalized structures formed over time by people no longer known and for exercises of power and intentions no longer remembered. So the words that perform a person's acts are not hers/his alone, but inherited by that person. Besides they are institutionalized in form and defy reduction to the speech act of only one person. Pocock argues that language structures which have been institutionalised are available for use to more than one person, and serving more than one purpose in one situation:
They (the words) are never free from the ambiguity in the sense that they can never be reduced to the performance of any one person's intentions. (in Shapiro 1984:31)
A person has to borrow, inherit or take from another's words to enact her/his speech act, and the person at the receiving end is in a similar position. The institutionalized nature of language allows the person to or about whom the words are spoken the potential to answer in similar terms. Of course not everyone has the same ability to use the ambiguities language affords them. This is an aspect not recognized by Pocock who assumes all are free or able to perceive and use the ambiguities of language. The wrestle to gain mastery or recognition in the terrain of language struggle has to be conscious or learned. That is what Paulo Freire argues, as I will discuss later.
Pocock writes about our language inheritance:
Each of us speaks with many voices, like the tribal shaman in whom the ancestor ghosts are talking at once; when we speak, we are not sure who is talking or what is being said, and our acts of power in communication are not
wholly our own. (in Shapiro 1984:29)
This quotation must not be read as a mystification of ideological intent in language; we can be sure of the social location and affiliation of a speaker, and the ideological intentions of her/his speech act. The point being made here is, I think, that we do not create language anew each time we use it; it reaches us in an institutionalized form, or as Pocock says:
Very complex processes of assumption, mediation, and conventionalization have gone on to bring this language as a structure of givens. (in Shapiro 1984:29)
However we do not use the given language passively; we seek to impose our worlds onto others by means of symbolic communication, which is an act of power. The seeking through language rather than the guarantee of power suggests there are what Pocock (ibid:33) calls "frictions in the medium". Our intentions are mediated through language and we have no choice but to accept the uncertainties and institutionalized nature of the medium which others will also utilise. We have to recognize that other intelligences operate in the communication process and we cannot exclude the power they may bring to the mediation.
So we conclude that language is not wholly manageable to the extent that it is completely within our control; it is difficult to monopolize. We may impose our biases, but others can also impart their own opposing biases. This results in a contest of strategies of language control or we can drop all strategies and be rational and respecting of each other, which stage Pocock after Habermas calls true communication. What neither of them spells out is that
it is necessary for an education or change of heart for people to come to this last realization; it is not an inevitable resolution. Democracy and equality in communication have to be worked at if the ambiguities of language are to be exploited for these values.
The ambiguity of language allows for a "deconstruction" of ideology and fixed meanings, a task undertaken in literature by critics such as Edward Said and Michel Foucault. Said sees "textuality" or critical reading as confronting ideology in language. Ideology assumes a secure hierarchy of meanings, but according to Eagleton:
Textuality exposes those fissures, slippages and self-mutilations that are inevitable to ideological discourse as to any other (in Said 1980:149)
Shapiro (1984:221) in paying homage to Foucault writes of Foucault's pedagogy which teaches us to "read" power off a text. We begin to understand that in reading a text we can discover how power is packed into the discourse, and when we write how we encode ideology. However we need not inscribe this ideology or power into our language, we can offer alternative discourses which "deconstruct" the ideological positions around us. Thus we gain an insight into:
How power resides in the production of discursive entities that become fetishized and parade around us as literal descriptions. (Shapiro 1984:222)
Ambiguity in language sets the scene for the possibility of counter-oppression or for a resolution to the power-imposing game. In the next section I will discuss thinking around how rationality may achieve the latter result.
2. Communication for True Consensus: The Universal Pragmatics of Habermas.
In this section I will be reviewing the thinking about language of Jurgen Habermas who believes there is an essential rationality in people and language that is disposed towards non-oppressive agreement and dialogue, which he calls "communication". This term is not a loose synonym for language but a precise definition distinguishing from ideologically structured language which is not regarded as communication. Habermas's writing is a very large body and difficult for me to read. So I have restricted myself to a selection of his work, "Hannah Arendt's Communicative Concept of Power" in Lukes (1986) and "A Reply to my Critics" in Thompson and Held (1982), and on the article "Universal Pragmatics" by Thompson in Thompson and Held (1982) and T.Bottomore's book, "The Frankfurt School" (1984).
The dominant school of linguistics was that of formal linguistics inspired by Chomsky. This concentrates on syntax and "linguistic competence". Habermas noted the need to locate this competence in social settings of communication:
"In order to participate in normal discourse, the speaker must have - in addition to his linguistic competence - basic qualifications of speech and of symbolic interaction (role-behaviour) at his disposal, which we may call communicative competence." (quoted by Thompson 1982:119)
In his use of the term "communicative competence" Habermas is close to the concept and term as used by Dell Hymes who paid homage to Habermas (Hymes 1985:18). For them a study of language must be
extended beyond any ability to produce well-formed sentences to language in use, or speech acts.
For Habermas there are two starting points to his theory of language. Firstly he follows Austin and Searle in holding that saying something is doing something. The speech act becomes a basic aspect of speech and its forms need to be analysed and categorised. However he goes further to posit his second premise which is that there can be a fundamental rationality underpinning a speech act. This is revealed when the mystifying and distorting influence of ideology is removed by the desire for real human communication. This is idealistic, but Habermas has an affirmative sense of people and a belief in social change towards non-oppressive forms of society and communication.
This idealism is embedded in a critical theory of social change. Language analysis must share this critical edge with critical philosophy and social sciences, if it is to be a valid study of social phenomena. Cultural habits and social relations are institutionalized in language, as is ideology. Language is related to social processes which are outside linguistics. So a critique of ideology needs to scrutinize manipulative language which Habermas sees as containing distortions of power. Habermas notes that language is:
Also a medium of domination and social force. (quoted by Thompson 1982:117)
The unmasking of ideology and power differentials in language is a liberatory action in Habermas's thought, and close to the thinking of Freire.
One of the major distinctions Habermas draws is between violence on one hand and communication and consensus on the other. Language for him always carries the potential for the latter which is not the cessation of the use of power but its constructive social deployment. This is his concept of "universal pragmatics". In commenting on Hanna Arendt's evocation of fascism he wrote:
Every political order that isolates its citizens from one another through mistrust, and cuts off public exchange of opinions degenerates to a rule based on violence. It destroys the communicative structures in which alone power can originate. (in Lukes 1986:80)
The central rationality in people and language compels a "co-operative readiness to arrive at an understanding" (quoted by Thompson:119), and:
Those involved (in communication) are orientated to reaching agreement and not primarily to their respective individual successes. (in Lukes 1986:77)
This is not to deny that there is no attempt in our society to distort and manipulate through language, which Habermas accepts is the case. However for him there is a reconstructive possibility in language:
The strength of a consensus brought about in an unconstrained communication is not measured against any success but against the claim to rational validity that is immanent in speech. (in Lukes 1986:77)
My difficulty with this, as with Pocock's assumption that anybody can exploit the ambiguities of language, is that rationality and the ability to use the uncertainties of language have to be uncovered through dialogue and education. Those at the oppressed
end of symbolic violence have to become conscious of this for them to use it. This pedagogic aspect is not developed by either writer, partly because they assume people's freedom to follow these lines. This is an underestimation of the symbolic oppression prevalent in many societies that prevents access to an understanding of the possibilities of language. Paulo Freire is more specific about how language consciousness can be developed for liberation.
Thompson (1982:125) sums up the four areas that Habermas established for communication
1. that any speech act raises certain validity claims
2. that communicative competence implies ability to deploy certain pragmatic universals
3. that the ideal speech situation is presupposed on everyday speech
4. there is a rationality possible in any discourse.
These principles are meant to ensure the emergence of rationality and the discarding of ideology. I shall go through these, but my earlier criticism that these features have to be uncovered deliberately for social change still holds.
1. The first principle of the validity claims is that when true communication is to be maintained, what is said has to be intelligible, its propositional content true, the performative component correct (that is, aspects such as the way in which something is said), and lastly the intentions expressed need to be sincere. The maintenance of these four ensures consensus. This is the ideal situation which "competent speakers must reciprocally
maintain with each of their speech acts" (Habermas quoted by Thompson 1982:121).
2. The pragmatic universal Habermas suggests is the ability to use grammatically well-formed sentences as speech acts which are themselves rational.
3. This rationality is not for Habermas a rare phenomena, but possible in the desire to understand and be understood in everyday speech.
4. Claims to truth and correctness can only be proved, according to Habermas, through dialogue which is rationally motivated towards consensus.
These four points bring us to an assessment of the roles of the actors or participants in a communication, and by implication their roles in society. First Habermas suggests that a primary role in interaction is the "orientation towards reaching understanding":
I use the term communicative action for that form of social interaction in which the plans of action of different actors are co-ordinated through exchange of communicative acts, that is, through the use of language orientated towards reaching understanding. (Habermas in Thompson 1982:234)
This supposes that the potential consent of all the people involved would be freely given; an attempt towards rational consensus. This ideal speech situation should be characterised by an effective equality of chances for all the participants to assume dialogue roles. By that is meant the symmetrical chance to begin and continue discussions, to present arguments and to question, and to offer interpretations without preconceptions.
Habermas is not naive to believe that this ideal situation is the present case; for him, it is the social goal to be worked for by continual discussion or verbal praxis. Only by this transformation of society can the ideal be realised:
Only in an emancipated society, whose members' autonomy and responsibility have been realised, would communication have developed into the non-authoritarian and universally practised dialogue. (Habermas quoted by Mclellan 1986:79)
In our present society there are barriers to this ideal being realised. Next we shall turn to the work of Paulo Freire who offers an education for liberation based on language, an education intended to break those barriers.
3. Language and Liberation: The Pedagogy of Paulo Freire
Habermas implied that through consensus and respect for the other in dialogue a new social order could be forged. The writer and educationist who spelt out a methodology for this goal is the Brazilian Paulo Freire who worked with the dispossessed and illiterate people of the developing world where oppression is most rife. He showed how a people cowed into submission are not only materially dispossessed but barred from the power and control over language. This symbolic dispossession could be confronted by learning to reflect through and on language, and this was the beginning of questioning the social relations which perpetuated the unequal sharing of resources. Freire ties his language awareness programme with an explicit action theory or praxis which is revolutionary. Some may argue that this is outside the consideration of linguistics, but I want to point out that the area
of linguistics being explored in this dissertation is bound inextricably with questions of wider social significance and action. One cannot shy away from the implications of learning how to confront injustice through language; it leads inevitably to social action.
Freire's practical concern was initially with adult literacy education. He found the illiterate people cowed into a "culture of silence" which suggests a helplessness with control over verbalization and attendant reflection. There seemed no point in offering a traditional education which would keep such people marginalized (see the section on language and education; chapter one). Against this Freire posited a methodology (see his book Cultural Action For Freedom 1972) which encouraged reflection on one's position in society and one's relation with the world. People had to discover their subjectivity, their creative potential, and this could be achieved by focusing on language and literacy:
If learning to read and write is to constitute an act of knowing, the learners must assume from the beginning the role of creative subjects. It is not a matter of memorizing and repeating given syllables, words and phrases, but rather of reflecting critically on the process of reading and writing itself, and on the profound significance of language. (Freire 1972:29)
By organizing key vocabulary around a community's interests and by treating the learners as equals in the democratic education setting, more than literacy was learned by those participating. They began the "difficult apprenticeship in naming the word" (Freire 1972:28), which is Freire's sense of how the world can be transformed. People began to verbalize their relations with each
other and the social and economic world they occupied. For Friere acquiring critical language means gaining an insight into the relationships in the world and thereafter acting on that new knowledge. The next rather lengthy quotation sums up Freire's thought and gives some idea of the flavour and fervour of his writing:
Learning to read and write ought to be an opportunity for men to know what speaking the word really means: a human act implying reflection and action. As such it is a primordial human right and not the privilege of a few. Speaking the word is not a true act if it is not at the same time associated with the right of self-expression, of creating and re-creating, of deciding and choosing and ultimately participating in society's historical process. (1972:30)
An interesting feature of the language-naming theory of Freire is that there is no static resolution, the world cannot be named ultimately. That would suggest a future point where language comes to rest in equitable social relations and is no longer an arena for contest or creation. Freire sees our language and consciousness education as perpetually posing new problems ("problematization" in the vocabulary associated with Freire):
To exist, humanly, is to name the world, to change it. Once named, the world in its turn reappears to the namers as a problem and requires of them a new naming. (Freire 1979:76)
Traditional schooling and education imposed an unequal social relationship between the teacher and learners, which becomes institutionalized in the authority hierarchy in society. Freire caricaturized this teaching as depositing the teacher's language
and knowledge into the passive learner. In his adult literacy classes Freire developed new relationships in the group, based on the practice of democracy. The teacher or co-ordinator enters into a dialogue with her/his learners and together they explore the language. It is essentially respecting each other and entering a communication, as that term was used by Habermas. Freire calls this a dialogical relationship. It presumes a reciprocosity in the relations and a non-aggressive attitude or negotiation:
Dialogue is the encounter between men, mediated by the world, in order to name the world. Hence, dialogue cannot occur between those who want to name the world and those who deny other men the right to speak their word. (Freire 1979:76)
To conclude this section, it can be noted that both Habermas and Freire granted us philosophical and methodological insights of how the ideology present in the language used in unequal social relations can be resisted. Both offered the vision of a future ideal society in which manipulation would diminish and human values would be asserted. For both of them this is no rosy dream, but a future to be striven for and dynamic in its concept, sustained by continuous dialogue and power thrusts towards equality. Language may be highly oppressive, but we are not bound to suffer that without resisting and offering an alternative vision.
CONCLUSION
The area of language, ideology and social context is not as clear cut as the field of formal linguistics, nor free from controversy and ambiguity. Examination of social interaction and cultural values insists that language cannot be separated from social conduct; and that is an area for interpretation and contest.
In this dissertation I admit that I have considered a limited focus from the field of language and social relations or even language and power. I have tried to show that ideology resides in speech acts and it is packaged in ordinary discourse. An examination of the illocutionary force and expected perlocutionary effects directs one towards uncovering this ideological intent. An examination of discourse can unpack and demystify ideological bias. Both these assist in critical reading which is an act of resisting the maintenance of inequality through ideological manipulation of language.
In the last chapter this resistance was located in how people can utilize the constant ambiguity of language. Resistance and critical thinking can lead to a more equitable social world; that is the rational outcome of the use of language for communication rather than domination. Language is, however, only one aspect in the drive to liberate people; it can raise consciousness and debate. To assume more would be naive:
The whole concentration on language and
communicative competence seems to neglect material domination and class interest: access to unfettered communication may not be enough to secure an emancipated society if access to wealth and status are not similarly equalized. (Mclellan 1986:79)
This reservation is not offered to undermine the gist of the dissertation, but is presented to acknowledge that consciousness through and of language has a limited emancipatory ability.
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Appendix I
*Phrynopus barthlmai*: Peru: Departamento Huánuco: about 15km southeast of Maraypata near Laguna Gwengu, 09°08'S, 76°05.60'W, 3680m elevation; MHNSM 20603–06, MHNSM 20448–50, MTD 4434–36, SMF 80465–47, SMF 80467–21.
*Phrynopus dagmarae*: Peru: Departamento Huánuco, Provincia Pachitea: Palma Pampa (09°53'12"S, 75°53'22"W, 3020m elevation); MHNSM 20448–51, SMF 80467–79.
*Phrynopus horstpaulli*: Peru: Departamento Huánuco: Provincia Ambo: surroundings of Yauririn; MHNSM 20422–39, MTD 41754–57.
*Phrynopus montium*: Peru: Huánuco, 10.8km. W. Huancapallca 2950m elevation, UF 103967–73.
On the nomenclature and vernacular names of recent *Aspideretes* species (Reptilia, Testudines, Trionychidae)
RICHARD GEMEL¹ & PETER PRASCHAG²
¹ Naturhistorisches Museum Wien, 1. Zoologische Abteilung, Herpetologische Sammlung, Burgring 7, A-1014 Wien. E-mail: email@example.com (Corresponding author).
² Strauchergrasse 28/10, A-8020 Graz. E-mail: firstname.lastname@example.org
Abstract. Taxonomic and nomenclatorial aspects in the four species of the trionychid turtle genus *Aspideretes* are discussed. It is shown that Gray depicted *A. nigricans* already in 1831, however, did not recognise it as a taxon of its own but as a specimen of *A. hurum* described earlier. Commented synonyms of the four recent species of the genus *Aspideretes* are presented.
Kurzfassung. Taxonomie und Nomenklatur der vier Arten der WeichschildkrötenGattung *Aspideretes* werden erörtert. Es wird gezeigt, dass Gray *A. nigricans* bereits 1831 in einer Tafel abbildet, das abgebildete Taxon jedoch zur bereits beschriebenen Art *A. hurum* stellt und nicht als eigenständig ansieht. Zu den vier rezenten *Aspideretes*-Arten werden kommentierte Synonymienlisten präsentiert.
Key words. Reptilia, Testudines, Trionychidae, *Aspideretes*, taxonomy, nomenclature.
Introduction
Praschag & Gemel (2002) pointed out that our knowledge of the large-sized soft-shelled turtles is still fragmentary last but not least because of technical problems of preservation and transmission. The most recent descriptions of new taxa of the Chitrini (McCord & Pritchard 2002, Webb 2002) are clearly speaking in favour of the above statement and McCord & Pritchard (2002) address similar problems under "material". Praschag & Gemel (2002) were the first to report on the presence of *A. nigricans* in Assam, India - outside of the Mosque water tank of Chittagong. The reason for this late discovery is the species' similarity to other trionychid species especially *A. hurum* and the pronounced changes which *A. nigricans* undergoes during ontogeny. Four ontogenetic colour phases can be distinguished in *A. nigricans* and some of their differentiation were presented in that paper. In analysing the literature regarding diagnostic features that could make *Aspideretes* species distinguishable from each other, it became obvious that various species had been confused with each other during their exploration history. Confusion was not only observed within the genus *Aspideretes* but also among genera (*Amyda, Nilssonia*).
According to Gray (1872a), the fundamentals for the description of various Indian soft-shelled turtles were as well as new material from a small third collection by General Hardwicke. These drawings were not available to the scientific community before Gray (1831a, 1835) published them in two folio-sized volumes of his "Illustrations of Indian Zoology". In these volumes Gray presented some of the drawings of Hardwicke together with the drawings of Bingham-Hamilton and introduced new names to science, which are of nomenclatorial relevance (comp. ICZN 1999). "Illustrations of Indian Zoology" was published in form of 16 issues delivered in 20 parts, hence the various dates of publication have to be taken into account if nomenclatorial priorities are identified. Historical backgrounds of the paintings and the folio volumes are given by Dawson (1946), Archer (1962) and Wheeler (1998), while Webb (1980), Farkas (1994) and McCord & Pritchard (2002) clarified the taxonomic and nomenclatorial consequences for soft-shelled turtles specified herein.
We found that *A. nigricans*, although described by Anderson not until 1875, was already depicted in 1831 (Gray 1831b), however, not understood as a taxon of its own (Gray 1831a, b) and, thus, assigned to similar species, mainly *A. hurum*, until 1875. Moreover, two out of four *Aspideretes*-species accepted as valid today – *A. gangeticus* and *A. leithii* – were not distinguished and collectively arranged in the south-east Asian taxon *Trionyx javanicus* Geoffroy Saint Hilaire, 1809 mainly by Gray (1831a, b, 1844, 1855, 1864, 1872a) and subsequent authors who followed him.
These circumstances caused considerable confusion in the past and required an analysis of the taxonomic and nomenclatural situation of the four species of this genus. For this purpose, synonymies of the recent *Aspideretes* species together with remarks on historical notes are provided. In the synonymies only publications dealing with taxonomy, nomenclature and distribution were included. Interestingly vernacular names, originating from the natives, are much more consistently used and do refer mostly to a special species of softshell turtle.
### 1. Scientific names
**Aspideretes nigricans** (Anderson, 1875)
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**Fig. 1:** *A. nigricans*. Plate. X., without captions, from Gray (1831) (= Gray 1331b) "Synopsis Reptilium", bound between p. 46 and p. 47 in the copy in the library of the Herpetological Collection o' the Museum of Natural History in Vienna.
1831? *Trionyx hurum* Gray (= Gray 1831a): A synopsis of the species of the Class Reptilia: 18–19. In: Griffiths, C. (ed.): The animal kingdom arranged in conformity with its organization, by Baron Cuvier. London: 1831.
1831 *Trionyx hurum* Gray (= Gray 1831b), partim: Synopsis Reptilium or short descriptions of the species of reptiles. Part I.-Cataphracta. Tortoises, crocodiles, and enaliosaurians. London: 47, 48
1831 *Trionyx hurum* Gray (= Gray 1831b): Synopsis Reptilium or short descriptions of the species of reptiles. Part I.-Cataphracta. Tortoises, crocodiles, and enaliosaurians. London Pl. XI-(46-47); List of plates (unpag.) (viz. Fig. 1).
1835 *Gymnopus duvaucelii* Duméril & Bibron partim: Erpétologie générale ou Histoire naturelle compéte des reptiles. Paris 2: 487
1835[1836]: *Trionyx hurum* (Sectio *Aspidoretes*) Fitzinger, partim: Entwurf einer systematischen Anordnung der Schildkröten nach den Grundsätzen der natürlichen Methode. – Annalen des Wiener Museums der Naturgeschichte 1(1): 127
1844 *Trorse gangetica* Gray partim: Catalogue of the tortoises, crocodiles and amphibianians, in the collection of the British Museum. London: 47
1855 *Trionyx gangeticus* Gray, partim: Catalogue of shield reptiles in the collection of the British Museum. London: 66
1872 *Trionyx hurum* Gray (= Gray 1872a), partim: Ann. Mag. Nat. Hist., London 9(4): 475
1872 *Trionyx hurum* Gray (= Gray 1872b), partim: Ann. Mag. Nat. Hist., London 10(4): 335, 336
1873 *Trionyx hurum* Gray (= Gray 1873), partim: Proc. Zool. Soc. London: 10
1875 *Trionyx nigricans* Anderson: Ann. Mag. Nat. Hist., London, 16(4): 284 (first description)
1889 *Trionyx hurum* Boulenger, partim: Catalogue of the Cheloniants, Rhynchocephalians and Crocodiles in the British Museum (Natural History). London: 249
1912 *Trionyx nigricans* Annandale (=Annandale 1912a): Rec. Ind. Mus. 7: 152
1912 *Trionyx hurum* Boulenger, partim: A vertebrate fauna of the Malay Peninsula from the Isthmus of Kra to Singapore including adjacent islands. Reptilia and Batrachia. London: 9–10
1931 *Trionyx nigricans* Smith: The fauna of British India, including Ceylon and Burma. Amphibians and Reptiles. London: 168
1961 *Trionyx nigricans* Werdmüller & Mertens: Schildkröten, Crokodile, Brückeneksen, Jena: 275
1977 *Trionyx nigricans* Werdmüller & Mertens: Liste der rezenten Amphibien und Reptilien. Testudines Crocodylia, Rhynchocephalia, Das Tierreich Lieferung 100: 110
1979 *Trionyx nigricans* Palmer-Hard: Encyclopedia of turtles. Neptune, N. J.: 644
1987 *Trionyx nigricans* Annandale: Bull. Am. Mus. Nat. Hist. 186 (1): 1
1989 *Aspideretes nigricans* Webb: 109. In: Webb, D. (ed.): Crocodilian, Tuatara, and turtle species of the world. A taxonomic and geographic reference. Washington
1989 *Aspideretes nigricans* Ernst & Barbour: Turtles of the world. Washington: 108
1991 *Aspideretes nigricans* Das: Colour guide to the turtles and tortoises of Indian Subcontinent. Portishead: 60
1991 *Aspideretes hurum* Das, partim: Colour guide to the turtles and tortoises of the Indian Subcontinent. Portishead: 60
1992 *Aspideretes nigricans* Iverson: A revised checklist with distribution maps of the turtles of the world. Richmond, Indiana: 309
1994 *Aspideretes hurum* Frazier & Das, partim: Hamadryad 19: 59
1994 *Aspideretes nigricans* David: Liste des reptiles actuels du monde. I. Chelonii. – Dumerilia 1: 34
1995 *Aspideretes hurum* Das, partim: Turtles and tortoises of India. Bombay: 76
1995 *Aspideretes nigricans* Das: Turtles and tortoises of India. Bombay: 79
1998 *Aspideretes hurum* Datta: J. Bomb. Nat. Hist. Soc. 95 (1): 121
2001 *Aspideretes nigricans* Das: Die Schildkröten des Indischen Subkontinents. Frankfurt/M.: 85
Gray (1830–1835) used by then unpublished colour plates by two artists, Hardwicke and Buchanan-Hamilton, for his descriptions. He published part of these colour plates between 1830 and 1835 in his illustrations of British Zoology. An additional black and white drawing (Plate X) is found in "Synopsis Reptilium" (1831a, Plate X, Fig. 1), and two more drawings by the same artist are found in black and white as pl. VIII (1873a) (Fig. 2). The duplicated plates are of important for systematics. Plate X (1831b) corresponds to Hardwicke's drawing no. 35 (Webb, 1980). The drawing is bound between pages 46 and 47. In the copy of "Synopsis Reptilium" in the library of the Herpetological Collection of the Natural History Museum in Vienna, an unpaginated „List of Plates" is found between p. 78, after a figure plate, and preceding the Index on p. 79. The last row contains the reference: "Tab.X. Trionyx Hurum young". On page 47, under no. 35: Trionyx Hurum (Hurum Trionyx)", a Latin description is found, which is not worded according to the English text from 1831a, because, whereas the description of the specimen is retained, the anatomical details are given a more detailed coverage, which notes correspond well with the drawing on Plate X: "Testa supra obscure fusca, capite viridi nigro reticulato, fronte macula unica temporibusque duobus luteis ornatis. ...". Hardwicke supplied his drawing originally with the following remark: "Kaavez-Country Name Found in the Ganges-grows to 120 lbs. Futtelghur May 17th". Only the weight announcement, approximately 54 kg on conversion, is indicative of a remarkably
large turtle. On the contrary, *A. hurum* is the smallest species in the genus *Aspideretes* and is not capable of attaining the said weight (Das 1991, 1995; Ernst & Barbour 1989, Praschag & Gemel 2002).
In addition to the obvious importance of size and great weight, characters pertaining to markings and coloration, as depicted on Plate X, argue further for *A. nigricans*: The carapace features completely faded ocelli, and it has already taken a uniform grey colouration ("Testa supra obscure fusca"). The structure of the bony disc is clearly visible. It might be that a dry preparation was used as a model. The head shows the typical coloration of plate 3 (sensu Praschag & Gemel 2002): The rather relatively narrow and long proboscis correspond with the legend to Plate X: "young", and make it clear that the animal in question is certainly not fully grown. The pale-dark-striped (zebra-patterned) eye borders are a typical character of *A. nigricans* (Praschag & Gemel 2002). Additionally, the upper jaw and sides of mouth feature sprinkles, and the white temporal fleck is already clearly fading. Behind it, in the intermediate zone between head and neck, a large unpigmented white fleck is already to be seen. This will get more defined with age, in the 4th colour phase ("...tamporibusque duobus luteis ornatis"). The reticulated pattern of darker lines between the eyes ("...capite viridi nigro regulato") diffuses into the sprinkles beneath the bright temporal fleck. The coloration of soft parts including the neck is dorsally uniformly dark-grey, and changes gradually into a pale-brown in ventral direction ("...sterno luteo").
The written remark that the animal originates from the Ganges remains problematic, because until today there is no supporting evidence from the area under the river's influence. The addition "Futteghur May 17" could as well relate to the place and date of the making of the drawing. Webb (1980) classifies the depicted individual as *A. hurum*, but acknowledges the differences with respect to Pl. 66 in "Illustrations of Indian Zoology" (Gray 1830–1835). In this sense, the above mentioned outline drawing (1831b) is comparable to Plate X in the same work. It represents the description of *A. nigricans*. Gray's knowledge on the variability of the species was insufficient for a clear separation of the three species of eyed soft-shell turtles *Anigricans*, *A. hurum* and *A. gangeticus* as presently recognized. But there was never given a name of its own to this "nigricans fraction" of Gray's "T. hurum" until 1875 when Anderson published the description of *T. nigricans*.
In the same year Gray (1831a) had also given an expanded description of his collective taxon *T. hurum* by inclusion of some diagnostic characters of *A. nigricans* and the description is too broadly to attach it unambiguously to either one of the two species: "...head green with two yellow spots on each side over the eyes..." could as well match *A. nigricans*. Because Gray points in this context to the Illustrations of Indian Zoology, it is presumable that he thereby described *A. hurum* in its current meaning, although Pl. 66 depicts a problematic specimen. Anyway, the original description of *A. hurum* under the name *Trionyx ocellatus* was published on 4. – 6. October 1830 and, therefore *A. hurum* was doubtlessly described prior to *A. nigricans* (see remarks below under *A. hurum*). The Holotypes of *A. nigricans* are in the British Museum (Natural History): BMNH 19184.108.40.206 (adult, skeleton), BMNH 19220.127.116.11 (skull) (see Praschag & Gemel 2002).
**Aspideretes hurum** (Gray, 1830)
1830 *Trionyx ocellatus* Gray: Illustrations of Indian Zoology; chiefly selected from the collection of Major-General Hardwicke. London, Vol. I, Pl. 78 (first description)
1830 *Trionyx ocellatus* Gray: Illustrations of Indian Zoology; chiefly selected from the collection of Major-General Hardwicke. London, Vol. I, unpag. Legend to Pl. 78
1831 *Trionyx hurum* Gray (= Gray 1831a): partim: A synopsis of the species of the Class Reptilia: 18–19. In: Griffith, E. (ed.). The animal kingdom arranged in conformity with its organization, by Baron Cuvier. London
1831 *Trionyx gangeticus* Gray (= Gray 1831a): A synopsys of the species of the Class Reptilia: 18, Fig. 11. In: Griffith, E. (ed.). The animal kingdom arranged in conformity with its organization, by Baron Cuvier. London
1831 *Trionyx hurum* Gray (= Gray 1831b), partim: Synopsis Reptilium or short descriptions of the species of reptiles. Part I.-Cataphracta. Tortoses, crocodiles, and zniolosaurus. London: 47
1835 *Gymnosus davucellii* Duméril & Bibron, partim: Erpétologie générale ou Histoire naturelle complète des reptiles. Paris Vol. 2: 487
1835 *Gymnosus ocellatus* Duméril & Bibron, partim: Erpétologie générale ou Histoire naturelle complète des reptiles. Paris Vol. 2: 489
1835 *Trionyx hurum* Gray: Illustrations of Indian Zoology; chiefly selected from the collection of Major-General Hardwicke. London Vol. II, Pl. 66
1835 *Trionyx hurum* Gray: Illustrations of Indian Zoology; chiefly selected from the collection of Major-General Hardwicke. London Vol. II, unpag. Legend to Pl. 66
1835[1836] *Trionyx hurum* (Sectio Aspidometes) Fitzinger, partim: Entwurf einer systematischen Anordnung der Schildkröten nach den Grundsätzen der natürlichen Methode. – Annalen des Wiener Museums der Naturgeschichte 1(1): 127
1844 *Tyrse gangeticus* Gray, partim: Catalogue of the tortoises, crocodiles and amphibianians, in the collection of the British Museum. London: 47
1851 *Gymnosus ocellatus* Duméril & Duméril: Catalogue méthodique de la collection des Reptiles. Paris: 1
1855 *Trionyx gangeticus* Gray, partim: Catalogue of shield reptiles in the collection of the British Museum. London: 66
1864 *Trionyx gangeticus* Guenther, partim: The reptiles of British India. London: 47
1872 *Trionyx hurum* Gray (= Gray 1872a), partim: Ann. Mag. Nat. Hist. London 9(4): 475
1872 *Trionyx ocellatus* Gray (= Gray 1872b), partim: Ann. Mag. Nat. Hist. London 10(4): 330
1872 *Trionyx sewardi* Gray (= Gray 1872b), Ann. Mag. Nat. Hist. London 9(4): 336, 337
1872 *Trionyx hurum* Gray (= Gray 1872b), partim: Ann. Mag. Nat. Hist. London 10(4): 335, 336
1873 *Trionyx hurum* Anderson: Ann. Mag. Nat. Hist., London 9(4) 40: 382, 383
1873 *Trionyx gangeticus* Sowerby & Lear: "ortoises Terrapins and Turtles: Pl. 51
1873 *Trionyx hurum* Gray (= Gray 1872b) partim: Ann. Mag. Nat. Hist., London 10(4): 337, 338
1873 *Trionyx hurum* Gray (= Gray 1873b): Handlist of the specimens of shield reptiles in the Brit. Mus.: 79
1873 *Trionyx ocellatus* Gray (= Gray 1873b): Handlist of the specimens of shield reptiles in the Brit. Mus.: 80
1874 *Aspideretes Buchananani* Theobald: Proc. As. Soc., Bengal, March 1874: 78
1876 *Trionyx gangeticus* Theobald, partim: Descriptive catalogue of the reptiles of British India. Calcutta: 28
1876 *Trionyx ocellatus* Theobald: Descriptive catalogue of the reptiles of British India. Calcutta: 29
1876 *Trionyx sewardi* Theobald: Descriptive catalogue of the reptiles of British India. Calcutta: 32
1889 *Trionyx hurum* Bouleneger: Catalogue of the Chelonians, Rhynchocephalians and Crocodiles in the British Museum (Natural History). London: 249
1890 *Trionyx hurum* Bouleneger: The reptiles of British India, including Ceylon and Burma. Reptilia and Batrachia. London: 13, Fig. 5
1902 *Trionyx hurum* Siebenrock: Zur Systematik der Schildkrötenfamilie Trionychidae Bell, nebst der Beschreibung einer neuen Cyanorbis-Art. – Akad. Wiss. Wien 91: 6
1909 *Trionyx hurum* Siebenrock: Synopsis der rezenter Schildkröten mit Berücksichtigung der in historischer Zeit ausgestorbenen Arten. – Zoologische Jahrbücher Jena Suppl. 10(3): 597
1912 *Trionyx hurum* Annandale (= Annandale 1912a): Rec. Ind. Mus.: 7, 152
1912 *Trionyx hurum* Boulenger, partim: A vertebrate fauna of the Malay Peninsula from the Isthmus of Kra to Singapore, including adjacent islands. Reptilia and Batrachia. London: 9–10
1915 *Trionyx hurum* de Roë, partim: The reptiles of Indo-Australian archipelago 1 Lacertilia, Chelonia, Emydosauria: 328
1931 *Trionyx hurum* Smith: The fauna of British India, including Ceylon and Burma. Amphibia and Reptilia. Vol. 1 Loricata, Testudines London: 171
1961 *Trionyx hurum* Wermuth & Mertens: Schildkröten Krokodile Brückenechsen. Jena: 270
1977 *Trionyx hurum* Wermuth & Mertens: Liste der rezenten Amphibien und Reptilien. Teil 1: Die Crocidae, Rhynchocephalia, Squamata, Testudines. Stuttgart: 109
1979 *Trionyx hurum* Pritchard Encyclopedia of turtles, Neptune, N. J.: 643
1985 *Trionyx hurum* Tikader & Sharma: Handbook Indian Testudines: 132
1987 *Aspideretes hurum* Meylan: Bull. Am. Mus. Nat. Hist. 186(1): 1
1989 *Aspideretes hurum* Webb: 108. In King & Burke (ed.): Crocodilian, Tuatara, and turtle species of the world: a taxonomic and geographic reference. Washington
1989 *Aspideretes hurum* Ernst & Barbour: Turtles of the world. Washington: 107
1991 *Aspideretes hurum* Das: Colour guide to the turtles and tortoises of the Indian Subcontinent. Portishead: 59
1992 *Aspideretes hurum* IVERSON: A revised checklist with distribution maps of the turtles of the world. Richmond, Indiana: 307
1994 *Aspideretes hurum* DAVID: Liste des reptiles actuels du monde. I. Chelomii. — Dumerilia 1: 34
1994 *Aspideretes hurum* (partim) FRAZIER & DAS: Hamadryad 19: 59
1995 *Aspideretes hurum* DAVID: Turtles and tortoises of India. Bombay: 74
2001 *Aspideretes hurum* DAS: Die Schildkröten des Indischen Subkontinents. Frankfurt/M.: 81
2002 *Aspideretes hurum* SCHLEICH: 554, 560. In: SCHLEICH & KÄSTLE (ed.): Amphibians and reptiles of Nepal. Ruggell.
Plate 78 in Vol. I of the "Illustrations of Indian Zoology" (GRAY 1830) is titled "Eyed Trionyx. Trionyx ocellatus GRAY", and it is the same plate used from BUCHANAN-HAMILTON no. 528. This colour plate was issued in October 1830, and shows the dorsal and ventral view of a juvenile *A. hurum* with classic markings. *Testudo ocellata* depicts the type of *Trionyx ocellatus* (WEBB 1980). GRAY (1831b) introduces *T. ocellatus* as synonym of *Trionyx hurum*. Though *Trionyx ocellatus* was erected already in 1830, the name is a primary homonym of *Trionyx ocellatus* LESUEUR, 1827 (= *Apalone spinifera* [LESUEUR, 1827]) and thus not available (cf. WEBB 1980), the reason for the validation of *T. hurum*.
The colour plate Pl. 66 is depicted in Vol. II, and it was published 20 February 1835 (WEBB, 1980). It is one of three colour plates which GRAY used from BUCHANAN-HAMILTON (as illustration no. 525 of *Testudo hurum*) for the "Indian Zoology" Folio, and on which he supplied with the caption "TRIONYX HURUM, or HURUM TRIONYX, From Dr. BUCHANAN HAMILTON'S Drawings". The commentary by WISNER (1980), that it pertains to *A. hurum*, can only be agreed upon with caution because the depicted specimen features no typical colour characteristics, especially with respect to the long proboscis and the missing yellow band at its base. The ocelli which dissolve into meandering lines are reminiscent of *N. formosa*. THEOBALD (1876) considered this illustrated specimen as an Indian softshell turtle, and puts it into synonymy with *A. gangeticus*.
BOULENGER (1912) and DE ROOIJ (1915) relate in conjunction with *Trionyx hurum* also to Plate X in GRAY 1831a, to cover thus partly *A. nigricans*. Both announce the species in error from the Malayan region, DE ROOIJ even from Borneo and Indochina, which accounts rely probably on mix-ups with *A. cartilaginea*.
*Trionyx seware* remains an indistinct taxon (PRASCHAG & GEMEL 2002).
---
**Aspideretes leithii (Gray, 1872)**
1831 *Trionyx javanicus* GRAY (= GRAY 1931a), partim: A synopsis of the species of the Class Reptilia. 19: 152 (text only). The animal kingdom arranged in conformity with its organisation, by Baron CUVIER. London
1831 *Trionyx javanicus* GRAY (= GRAY 1931b), partim: Synopsis Reptilium or short descriptions of the species of reptiles. Part 1.-Cataphracta. Tortoises, crocodiles, and malhosaurus. London 48
1835 *Trionyx javanicus* GRAY: Illustrations of Indian Zoology; chiefly selected from the collection of Major-General HARDWICKE. London Vol. II, unpag. Legend to Pl. 65
1835 *Trionyx javanicus* GRAY: Illustrations of Indian Zoology, chiefly selected from the collection of Major-General HARDWICKE. London Vol. II, Pl. 65
1835 *Gymnopus javanicus* DUMÉRIL & BIBRON, partim: Erpetologie générale ou Histoire naturelle complète des reptiles Vol. 2: 493
[1835] *Trionyx javanicus* (Scoto Aspidonectes) FITZINGER, partim: Entwurf einer systematischen Anordnung der Schildkröten nach den Grundsätzen der natürlichen Methode. — Annalen des Wiener Museums der Naturgeschichte 1(1): 127
1844 *Tyrse javanica* GRAY, partim: Catalogue of the tortoises, crocodiles and amphibaenians, in the collection of the British Museum. London: 47
1855 *Trionyx javanicus* GRAY, partim: Catalogue of shield reptiles in the collection of the (British) Museum. London: 67
1864 *Trionyx javanicus* GÜNTHER, partim: The reptiles of British India. London: 48
1864 *Potamochelys stellata* GRAY, partim: Proc. Zool. Soc. London: 85: fig. 7, 8: 86
1870 *Potamochelys stellata* GRAY, partim: Supplement to the Catalogue of shield reptiles in the collection of the British Museum. Part 1 Testudinata (Tortoises) with figures of the skulls of 36 Genera. London: 104; fig. 34: 105
1870 *Aspilus cariniferus* GRAY ex error (according GRAY 1872b): Supplement to the Catalogue of shield reptiles in the collection of the British Museum. Part 1 Testudinata (Tortoises) with figures of the skulls of 36 Genera. London: 101; fig. 33: 102
1872 *Trionyx javanicus* GRAY, partim (= GRAY 1872 a): Ann. Mag. Nat. Hist., 9(4): 475
1872 *Trionyx leithii* GRAY (= GRAY 1872 b): Ann. Mag. Nat. Hist., 10(4): 334, 335 (first description)
1873 *Aspilus gataghol* GRAY (= GRAY 1872b): Ann. Mag. Nat. Hist., 10(4): 330
1872 *Trionyx gangeticus* ANDERSON, partim: Ann. Mag. Nat. Hist.; 9(4): 40: 382
1873 *Trionyx gangeticus* GRAY (= GRAY 1873a), partim: Proc. Zool. Soc. London: 47
1873 *Aspilus gataghol* GRAY (= GRAY 1873a): Proc. Zool. Soc. London: 67
1873 *Trionyx gangeticus* (sic!) GRAY (= GRAY 1873a), partim: Proc. Zool. Soc. London Pl. VIII (juvenile) (viz. Fig. 2)
1873 *Trionyx leithii* GRAY (= GRAY 1873b) Hand-list of the specimens of shield reptiles in the British Museum. London: 79
1876 *Trionyx leithii* THEOBALD, partim: Descriptive catalogue of the reptiles of British India. Calcutta: 28
1889 *Trionyx leithii* BOULANGER: Catalogue of the Chelonians, Rhynchocephalians and Crocodiles in the British Museum (Natural History). London: 249
1890 *Trionyx leithii* BOULANGER: The fauna of British India, including Ceylon and Burma. Reptilia and Batrachia. London: 12
1902 *Trionyx leithii* SIEBERROCK: Zur Systematik der Schildkrötenfamilie Trionychidae Bell, nebst der Beschreibung einer neuen Cylanorhinus-Art. — Akad. Wiss. Wien, Wien: 91: 6
1909 *Trionyx leithii* SIEBERROCK: Synopsis der rezenten Schildkröten mit Berücksichtigung der in historischer Zeit ausgestorbenen Arten. — Zoologische Jahrbücher Jena Suppl. 10(3): 597
19 2 *Trionyx leithii* ANNANDALE (= ANNANDALE 1912a): Rec. Ind. Mus., Calcutta 7: 152
19 2 *Trionyx leithii* ANNANDALE (= ANNANDALE 1912b): Rec. Ind. Mus., Calcutta 7: 262
19 5 ?*Trionyx sulcifrons* ANNANDALE: Rec. Ind. Mus., Calcutta 11: 341, Taf. 33: fig. 1, 2
1931 *Trionyx leithii* SMITH: The fauna of British India, including Ceylon and Burma. Amphibia and Reptilia. Vol. I Loricata Testudines. London: 170
1961 *Trionyx leithii* WERMUTH & MERTENS: Schildkröten Krokodile Brückenechsen. Jena: 279
1977 *Trionyx leithii* WERMUTH & MERTENS: Liste der rezenten Amphibien und Reptilien. Testudines Crocodylia, Rhynchocephalia. Das Tierreich Lieferung 100: 109
1979 *Trionyx leithi* PRITCHARD: Encyclopedia of turtles, Nepton, N. J.: 643
1985 *Trionyx leithi* TIKADER & SHARMA: Handbook Indian Testudines: 130
1987 *Aspideretes leithii* MEYLAN: Bull. Am. Mus. Nat. Hist. 186(1): 77
1989 *Aspideretes leithii* WEBB: 109. In KING & BURKE (ed.): Crocod., tuat., and turtle sp. of the world
1989 *Aspideretes leithii* ERNST & BARBOUR: Turtles of the world. Washington: 107
1991 *Aspideretes leithii* DAS: Colour guide to the turtles and tortoises of the Indian Subcontinent. Portsideh: 60
1992 *Aspideretes leithii* IVERSON: A revised checklist with distribution maps of the turtles of the world. Richmond, Indiana: 308
1994 *Aspideretes leithii* DAVID: Liste des reptiles actuels du monde. I. Chelomii. - Dumerilia 1: 34
1994 *Aspideretes leithii* FRAZIER & DAS: Hamadryad 19: 59
1995 *Aspideretes leithii* DAS: Turtles and tortoises of India. Bombay: 76
2001 *Aspideretes leithii* DAS: Die Schildkröten des Indischen Subkontinents. Frankfurt/M.: 83
Aspideretes gangeticus (Cuvier, 1824)
1824 Trionyx gangeticus Cuvier: Rech. Oss foss., écrhes sur les ossemens fossiles, où l'on rétablit les caractères de plusieurs animaux dont les révolutions du lobe ont détruit les espèces. Ed. 5(2): Paris, 1824: 203, Tab. 11 (for description)
1831 Trionyx hurum Gray (= Gray 1831a), partim: A synopsia of the species of the Class Reptilia: 18. In: Griffith, E. (ed.): The animal kingdom arranged in conformity with its organization, by Baron Cuvier. London
1831 ?Trionyx javanicus Gray (= Gray 1831a), partim: A synopsia of the species of the Class Reptilia: 19. In: Griffith, E. (ed.): The animal kingdom arranged in conformity with its organization, by Baron Cuvier. London
1831 Trionyx hurum Gray (= Gray 1831b), partim: Gray, J. E. (1831b): Synopsis Reptilium or short descriptions of the species of reptiles. Part I-Cataphracta. Tortoises, crocodiles, and enallossaurians. London: 47
1835 Gymnopus dawudii Duméril & Bibron, partim: Erpétologie générale ou Histoire naturelle complète des reptiles Vol. 2: 487
1835[1836] Trionyx indicus (Sectio Aspidonectes) Fitzinger, partim: Entwurf einer systematischen Anordnung der Schildkröten nach den Grundsätzen der natürlichen Methode. – Annalen der Wissenschaften und Naturgeschichte 1(1): 127
1844 Trionyx gangeticus Gray, partim: Catalogue of the tortoises, crocodiles and amphibaenians, in the collection of the British Museum. London: 47
1844 Trionyx javanica Gray, partim: Catalogue of the tortoises, crocodiles and amphibaenians, in the collection of the British Museum. London: 47
1851 Gymnopus dawudii Duméril & Duméril: Catalogue méthodique de la collection des Reptiles: 12
1855 Trionyx gangeticus Gray, partim: Catalogue of shield reptiles in the collection of the British Museum. London: 66, Pl. 42, 1a–1d
1864 Trionyx gangeticus Guenther, partim: The reptiles of British India. London: 47
1866 Trionyx gangeticus Theobald: Catalogue of reptiles in the Museum of Asiatic Society of Bengal. Journal As. Soc.: 35-6
1870 Trionyx gangeticus Gray, partim: Supplement to the Catalogue of shield reptiles in the collection of the British Museum. Part 1 Testudinata (Tortoises) with figures of the skulls of 36 Genera. London: 97
1872 Trionyx gangeticus Guenther, partim: Ann. Mag. Nat. Hist.; 9(4): 40; 382
1872 Trionyx gangeticus Gray (= Gray 1972b) Ann. Mag. Nat. Hist.; 10(4): 333, 334
1872 Aspilus leithii Gray (= Gray 1972b) Ann. Mag. Nat. Hist.; 10(4): 339
1873 Trionyx gangeticus Gray (= Gray 1873a), partim: Proc. Zool. Soc. London: 47
1873 Trionyx gangetica (sic) Gray (= Gray 1873 a), partim: Proc. Zool. Soc. London: Pl. VIII (large animal) (viz. Fig. 2)
1874 Trionyx gangeticus Theobald: Proc. As. Soc. Beng.: 77
1875 Trionyx gangeticus Theobald, partim: Proc. As. Soc. Beng.: 171
1876 Trionyx gangeticus Theobald, partim: Descriptive catalogue of the reptiles of British India. Calcutta: 28
1889 Trionyx gangeticus Boulienger: Catalogue of the Cheloniens, Rhynchocephalians and Crocodiles in the British Museum (Natural History). London: 248
1890 Trionyx gangeticus Boulienger: The fauna of British India, including Ceylon and Burma. Reptilia and Batrachia. London: 12
1902 Trionyx gangeticus Siebenrock: Zur Systematik der Schildkrötenfamilie Trionychidae Bell, nebst der Beschreibung einer neuen Cylamoritis-Art. Akad. Wiss. Wien: 91-7
1909 Trionyx gangeticus Siebenrock: Synopis der rezenten Schildkröten mit Berücksichtigung der in historischer Zeit ausgestorbenen Arten. – Zoologische Jahrbücher Jena Suppl. 10(3): 596
1912 Trionyx gangeticus Annandale (= Annandale 1912a): Rec. Ind. Mus., Calcutta 7:152
1912 Trionyx gangeticus Annandale (= Annandale 1912b): Rec. Ind. Mus., Calcutta 7: 261
1912 Trionyx gangeticus mahendranicola Annandale (=Annandale 1912b): Rec. Ind. Mus., Calcutta 7: 262.
1931 Trionyx gangeticus Smith: The fauna of British India, including Ceylon and Burma. Amphibia and Reptiles. Vol. 1: reptaca, Testudines. London: 167
1961 Trionyx gangeticus Werner, Mertens: Schädlerkrank Krokodil Brückeneichen. Jena: 268
1977 Trionyx gangeticus Wermuth, Mertens: Liste der rezenten Amphibien und Reptilien. Testudines Crocodylia, Rhynchocephalia. Das Tierreich Lieferung 100: 108
1979 Trionyx gangeticus Pritchard Encyclopaedia of turtles, Neptun, N. J.: 642
Fig. 2: Pl. VIII from Gray (1873) (= Gray 1873a): "Trionyx gangeticus, The "Tekoolee". In agreement with Webb (1980), the juvenile is classified as A. leithii and the large animal as A. gangeticus.
Aspideretes leithii (Gray, 1872)
"Dekolee" Hardwicke Icon. ined. Nr. 37 = Gray (1873a), Pl. VIII small animal (viz. Fig. 2)
"Testudo Gotagholi" Buchanan-Hamilton Icon. ined. Nr. 527 = Gray III. Ind. Zool. Pl.63
(as "Test. Gataghol" in the synonymy of Tyse javanica Gray 1844; Cat. Tort.: 48)
"Catajahi" Theobald 1874, 1876 (under Trionyx gangeticus)
"Catajahi" Theobald 1875
"Boulousse" (and "Keeled Boulousse") is used by Gray (1855: 67) in part for A. leithii,
including other trionychids like Pelodiscus siensis and Amyda cartilaginea.
Aspideretes gangeticus (Cuvier, 1824)
"Dekookee" Hardwicke Icon. ined. Nr. 37 = Gray (1873a), Pl. VIII large animal (viz. Fig. 2)
"Jaank" or "Dhank" Hardwicke Icon. ined. Nr. 37
Current names used by the local inhabitants for various softshell turtles are found in Das
(1991, 1995).
Acknowledgements
Thanks go to Järmo Perälä (Helsinki) for translation. Heinz Grillitsch (Vienna) improved significantly this paper by his comments.
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CONTENTS
Provisional agenda (S/Agenda/2200) ........................................ 1
Adoption of the agenda ......................................................... 1
The situation in the occupied Arab territories:
(a) Letter dated 15 February 1980 from the Permanent Representative of Jordan to the United Nations addressed to the President of the Security Council (S/13801);
(b) Letter dated 15 February 1980 from the Permanent Representative of Morocco to the United Nations addressed to the President of the Security Council (S/13802) ......................................................... 1
NOTE
Symbols of United Nations documents are composed of capital letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document.
Documents of the Security Council (symbol $S/\ldots$) are normally published in quarterly Supplements of the Official Records of the Security Council. The date of the document indicates the supplement in which it appears or in which information about it is given.
The resolutions of the Security Council, numbered in accordance with a system adopted in 1964, are published in yearly volumes of Resolutions and Decisions of the Security Council. The new system, which has been applied retroactively to resolutions adopted before 1 January 1965, became fully operative on that date.
2200th MEETING
Held in New York on Monday, 25 February 1980, at 3.30 p.m.
President: Mr. Peter FLORIN
(German Democratic Republic).
Present: The representatives of the following States: Bangladesh, China, France, German Democratic Republic, Jamaica, Mexico, Niger, Norway, Philippines, Portugal, Tunisia, Union of Soviet Socialist Republics, United Kingdom of Great Britain and Northern Ireland, United States of America, Zambia.
Provisional agenda (S/Agenda/2200)
1. Adoption of the agenda
At the invitation of the President, Mr. Nuseibeh (Jordan) took a place at the Council table. Mr. Roa-Kouri (Cuba), Mr. Abdel Meguid (Egypt), Mr. Blum (Israel), Mr. Filali (Morocco), Mr. Mansouri (Syrian Arab Republic) and Mr. Komatina (Yugoslavia) took the places reserved for them at the side of the Council chamber. Mr. Terzi (Palestine Liberation Organization) took a place at the Council table and Mr. Kane (Acting Chairman of the Committee on the Exercise of the Inalienable Rights of the Palestinian People) took the place reserved for him at the side of the Council chamber.
2. The situation in the occupied Arab territories:
(a) Letter dated 15 February 1980 from the Permanent Representative of Jordan to the United Nations addressed to the President of the Security Council (S/13801);
(b) Letter dated 15 February 1980 from the Permanent Representative of Morocco to the United Nations addressed to the President of the Security Council (S/13802)
The meeting was called to order at 4.05 p.m.
Adoption of the agenda
The agenda was adopted.
The situation in the occupied Arab territories:
(a) Letter dated 15 February 1980 from the Permanent Representative of Jordan to the United Nations addressed to the President of the Security Council (S/13801);
(b) Letter dated 15 February 1980 from the Permanent Representative of Morocco to the United Nations addressed to the President of the Security Council (S/13802)
1. The PRESIDENT (interpretation from Russian): In accordance with the decisions taken at the 219th meeting, I invite the representative of Jordan to take a place at the Council table, I invite the representatives of Cuba, Egypt, Israel, Morocco, the Syrian Arab Republic and Yugoslavia to take the places reserved for them at the side of the Council chamber, I invite the representative of the Palestine Liberation Organization (PLO) to take a place at the Council table and I invite the Acting Chairman of the Committee on the Exercise of the Inalienable Rights of the Palestinian People to take the place reserved for him at the side of the Council chamber.
2. The PRESIDENT (interpretation from Russian): I wish to inform the members of the Council that I have received letters from the representatives of Algeria, Pakistan and Viet Nam in which they request to be invited to participate in the discussion of the item on the Council's agenda. In accordance with the usual practice, I propose, with the consent of the Council, to invite those representatives to participate in the discussion without the right to vote, in conformity with the relevant provisions of the Charter and rule 37 of the provisional rules of procedure.
At the invitation of the President, Mr. Bouzarbia (Algeria), Mr. Naik (Pakistan) and Mrs. Nguyen Ngoc Dung (Viet Nam) took the places reserved for them at the side of the Council chamber.
3. The PRESIDENT (interpretation from Russian): The first speaker is Mr. Clovis Maksoud, permanent observer of the League of Arab States, to whom the Council has extended an invitation under rule 39 of its provisional rules of procedure. I invite him to take a seat at the Council table and to make his statement.
4. Mr. MAKSLOUD: I wish to express to you Mr. President, and to the members of the Council the appreciation of the Arab League for the invitation to address the Council on an issue of profound concern to the Arab nation, to the League and the Arab peoples. I wish to take this opportunity to express to you, Sir, our esteem for your friendly country and people, with whom the Arab people have close relations, and for you personally because of the exemplary manner in which you are fulfilling your responsibilities.
5. The report of the Security Council Commission established under resolution 446 (1979) makes it very clear, and indeed incontestable, that Israel's policy of colonization has largely contributed
"to a deterioration of the situation in the occupied territories and that it is incompatible with the pursuit of peace in the area" [S/13679, para. 45].
That is reiterated in one form or another in every paragraph of the report's conclusions, as, for instance, when it states that Israel's settlement policy is
"incompatible with the pursuit of peace in the area and that it is bound to lead to a further deterioration of the situation in the occupied territories" [ibid., para. 51].
6. I shall not belabour the evidence that has been submitted to the Commission and to the Council. It is conclusive, irrefutable and complete. If Israel had sought to challenge the evidence submitted to the Commission, it had every opportunity to do so. If it had been able to disprove the evidence or at least some of it, it had every opportunity to do so. If it had any justification for modifying the conclusions, it had at all stages of the Commission's work every opportunity to do so. I refer the Council to paragraphs 15, 19, 23, 38 and 39 of the Commission's report. Instead, Israel refused to collaborate with the Commission, obstructed its tasks and challenged its mandate. It did so because Israel considered that, since it could not answer the mounting criticism, it would wait for the moment when the Council convened to attack the credibility of this body, to heap insults on it—and on the United Nations as an organization—and to pursue diversionary tactics while accusing the Council of using them. Was that clever? Perhaps. Was it dangerous? Of course. Why?
7. What the Council is witnessing is an evolving pattern in the treatment by Israel of the Council's functions and deliberations and, ultimately, of its mandate. Knowing in advance what built-in constraints exist in view of the veto power of the United States, or the threat of its use, Israel hardens its position, considering each remark critical of its behaviour indicative of enmity. Israel is further undertaking to create a situation in which the United States would function in the light of its convenience rather than its convictions. When that is achieved and then communicated, or at least hinted at, the thrust of what ought to be done will be deflected to what can be done. When Israel, in view of the particular role of the United States in this case, finds that the United States has defined the parameters of its flexibility on issues pertaining to the question of Palestine, or any phase of it, then it reverts to its studied contempt of what takes place in the Council.
8. In general, what ought to be done in the light of the evidence becomes a question of how best to accommodate the position of the United States and reconcile it with the collective judgement of the international community. The issue then becomes whether to deplore or to condemn Israel's settlement policy, not whether to condemn Israel and impose sanctions on it as provided in the Charter, in as much as the colonizing policy of Israel is deemed objectively a serious threat to peace in the region, as is spelled out in paragraph 57 of the Commission's report, which states:
"In view of the magnitude of the problem of settlements and its direct effect on the over-all deterioration of the situation in the occupied territories and, therefore, its implications for peace in the region, as well as for international peace and security, the Security Council should keep the situation under constant review."
9. Hence, we end up with an annual or a semi-annual exercise in which the Council deals with such a grave threat to peace by merely expressing concern or deploring it, while Israel proceeds, in the mean time, to establish new settlements, to expand existing ones and to introduce new laws permitting settlement not only around the Arab Palestinian towns and cities but within them.
10. There has been a universal awareness of the dangers inherent in Israel's policy of creeping annexation. The vivisection of the Palestinian body politic is pursued so systematically that Israel shows no signs of relenting in or abandoning this expansionist process. Even Israel's use of such terms as "Jews' right to settle" in the "land of Israel" carries ominous signs of the realization of a design of annexation. The term "land of Israel" has no legal or political meaning except in the lexicon of Israel and of the Zionist movement. It includes the territories occupied in the West Bank and Gaza. If—as the Mayor of Al-Khalil (Hebron), Mr. Qawasma, whom the Israeli authorities have prevented from attending the Council's meeting, said—Israel asserts the rights of Jews to settle in Hebron, why not apply the same right to the Palestinians to settle in their homes—homes in the literal meaning of the term: in Jaffa, Lydda, Safad, Acre, Haifa, and so on? The pious protest of Israel that the international community's preventing Jews from settling wherever they want is racist could be a valid protest if it were not for the Israeli record replete with the institutionalized exclusion of Palestinian Arabs from their homes inside usurped Palestine, or what is called Israel. The racist entity not only resorts to double standards, it is blind to any standard of values except its own. Preventing Israelis from settling in Hebron is, according to this lopsided logic, racist; but forcibly preventing Palestinian Arabs from returning to their homes inside Israel is a matter of course.
11. The Security Council and various other United Nations bodies are by now familiar with the semantic acrobacy resorted to by Israel to shield its colonizing pursuits. It would therefore serve no useful purpose to analyse them. For many years it has been possible to discern a measure of permissiveness in dealing with Israel, especially in many Western societies.
What may be termed the guilt complex of many Western States has been manipulated by Israel to insulate it from questions. Sceptical remarks about its aggression, expansionism, colonization and violation of human rights and United Nations resolutions have been treated by Israel as lingering anti-Semitism. To shield its colonizing policy from scrutiny, it has resorted to a form of intellectual terrorism and diplomatic blackmail.
12. In the West generally, and more recently in the United States, public opinion has been silenced. Israeli apologists and Zionists have threatened to mar the reputation of any person who dares shed light on the behaviour pattern or policy of Israel. The United Nations itself has not been spared this conjured wrath. However, as evidence of Israel's aggressiveness, expansionism, racism and colonization has become more clear, visible and unmistakable, Israel has termed every criticism of its behaviour an act of endangering its security. The colonial settlements have thus been explained either as the fulfilment of metaphysical aspirations and theological tenets or as security measures for Israel. Which Israel? Israel never answers because the self-perception of Israel is that it is a State that is still becoming rather than a State that is. Hence, what many tend to treat as the existing State of Israel is, for Israel, the embryo of the State to be.
13. Unless this reality is grasped, Israel's behaviour pattern and its colonizing policies will not be clearly understood or adequately dealt with. The reality is that Israel considers all investigations of its settlement policies, all criticism of its colonizing process, all condemnations of its contempt for the United Nations Charter, resolutions and activities to be mere interruptions of its grand design to annex the occupied territories in their entirety and destroy whatever potential exists for the exercise of Palestinian self-determination. The reality is that Israel's appetite for the territories in Gaza and the West Bank has not been quenched. What Israel wants is for its plans of annexation to go unchallenged and uninterrupted. If that is not possible, then it wants to create new facts, create new colonies, break the framework of the Palestinian entity and emasculate the world body so far as that body's ability and, later on, its will to come to grips with the very essence of Israel's objectives are concerned.
14. Therein lie the dangers inherent in the Camp David agreements. We have witnessed the way in which Israel, in pursuit of its contempt of the authority of the Council and its challenge to the deliberations taking place in the light of the Commission's report, is interjecting the Camp David agreements and the so-called autonomy negotiations as a bar to this body's fulfilling its responsibilities. Maliciously and erroneously, Israel describes the negotiations it is undertaking with Egyptian authorities and the United States as the only "serious" ones. What is taking place here is consequently unworthy of a response.
15. Tomorrow, 26 February, while this body is deliberating on the colonizing policy in the occupied territories and is hearing elaborate evidence on the scope of the threat that this policy constitutes to the peace of the region, an exchange of ambassadors between Israel and Sadat's Government will take place. What a travesty, and how ironic!
16. It has often been said by some of our American friends that the Camp David agreements and the subsequent treaty between Israel and President Sadat will render Israel more amenable to the international standards of behaviour; the so-called peace treaty will constrain Israel to give up the pursuit of its expansionist objectives. "Give it a chance," apologists for the treaty said. But since the treaty was signed on the lawns of the White House, with unprecedented fanfare and false euphoria, Israel—as the Commission's report details and underlines—has established new colonies, pursued more vigorously its annexationist policies and initiated programmes, policies and legislation that would make the so-called autonomy talks a mockery even for those who are engaged in negotiating it.
17. The Camp David agreements and the so-called autonomy negotiations constituted—instead of incentives that would inhibit and restrain Israel's propensity for aggression, expansion and colonization—a licence for Israel to intensify its annexationist policies, as we have witnessed in south Lebanon and in the West Bank and Gaza. What did the other signatories of the Camp David agreements do about these Israeli transgressions that took place after the signing of the agreements, after the signing of the so-called peace treaty? True, they protested and even said that the settlements were illegal. But the process continued uninterrupted. It was and remains a pathetic sight: Israel defiantly implanting new colonies, mutilating the body politic of the areas it occupies and creating the new facts to ensure that at the terminal point of the so-called autonomy negotiations there would not be any viable entity to enjoy even the municipal level of administrative authority these autonomy negotiations envisage.
18. It was pathetic to see our leading Arab State's authorities incapable of using Egypt's great leverage to arrest the settlements policies by merely stating that negotiations would stop if the implantation of settlements did not stop. The diplomatic day-dreaming generated by the Camp David agreements cornered both Egyptian and United States diplomacy and caused its dysfunctioning because of the studied intransigence of a pampered Israel more eager to pursue what it has set out to achieve than to cater to ego trips of its cosignatories.
19. The equation that governs the interrelations of the three parties to the Camp David agreements is not of major concern and relevance to the deliberations of the Council. What is relevant is that Israel and, to a lesser extent, both the other partners seek to render the mechanism of the Camp David agreements an
alternative vehicle to the United Nations. True, this attempt will not succeed because the so-called peace treaty has become a step away from peace instead of the promised step towards peace. Yet what must be pointed out here is that the modalities which the Camp David agreements introduced have been aimed at undermining the credibility, the mandate, the authority and the effectiveness of the United Nations and, most recently, of the Security Council. This is too grave a precedent to be allowed to go unnoticed and undealt with.
20. We are being told that the United States did declare these settlements illegal. The Egyptian declaration considered them to be in violation of the spirit of the Camp David agreements. What was done? The United States did not stop its arms supplies to Israel; it did not freeze the financial assistance programmes, which amount in their aggregate to nearly half a billion dollars for the settlement programme that Israel is carrying out in the occupied territories. Egypt's President could not wait; he did not postpone his decision to send an ambassador; instead, he expedited the exchange and lost the last of his leverages—if indeed he had ever intended to use any.
21. What is germane to the issue before this body concerning the Camp David agreements is that the parties involved are eager to convince the world community that they are seriously dealing with the Palestinian question. Unfortunately, there are people in the United States, and to a much lesser extent in certain countries of Western Europe, who believe that this can be so. Israel and President Sadat are, each for their own reasons, hoping that those people will keep this illusion. Israel resorts to insulting the United Nations and the Security Council—as its representative did last Friday when this series of meetings opened.
22. Why has the League of Arab States vigorously opposed the Camp David agreements and, subsequently, the so-called Sadat-Israel peace treaty? The aspects which are most germane to the deliberations here are those related to the so-called "autonomy" talks.
23. Autonomy is, as is well known, an administrative formula and has no legal, constitutional or political meaning or connotation. Autonomy as an objective is therefore pre-emptive of sovereignty. It forecloses the Palestinians' right to an independent State, and, by implication, it denies the Palestinians the right to national self-determination.
24. When the end result of negotiations is stated to be autonomy, even if it is described as full autonomy, then the Camp David agreements constitute a clear negation of the Charter and of all the United Nations resolutions that have spelled out clearly and precisely the inalienable national rights of the Palestinian people. Then all statements to the contrary are designed to distract us from and to cover up the real plan to deny the Palestinians not only their right to statehood but also their existing status of peoplehood. That is the licence which the Camp David agreements gave Israel to proceed with the colonizing process which the Commission's report rightly concluded constituted a threat to peace in the region. How?
25. By confining the target of negotiations to the objective of autonomy, the parties to the Camp David agreements have acceded to Israel's plan of keeping sovereignty over the West Bank and Gaza pending. The deliberate equivocation on this central question at best puts the occupying Power on an equal footing with the Palestinian people in staking a claim to sovereignty over Palestinian territories. Israel's military occupation gave it a logistic, strategic and administrative advantage in making functional its claim to exercise the prerogatives of sovereignty. Israel has confiscated and annexed more than 30 per cent of the West Bank. So, even when the option of autonomy is being dangled, it covers less than 70 per cent of the occupied territories, and in a region criss-crossed with military and paramilitary settlements that renders meaningless whatever may be the outcome of the autonomy talks, making it an insult to international intelligence.
26. Therefore we see how the establishment of new settlements, the control over water resources and the various annexationist measures can go hand in hand with the so-called autonomy negotiations which the United States is sponsoring and which Egypt's rulers eagerly pursue. It is clear, in our view, that what the Council is dealing with today is something more than what the Commission's report concludes and recommends. It has to deal with the Zionist ideology which has made Israel the main cause of instability in the region and the serious threat to peace it constitutes.
27. The Council must ask itself: is it enough to express concern about Israel's obvious violations? Is it enough to deplore? Is it enough to condemn? Should not this body begin to think of imposing the sanctions that will deter Israel from the pursuit of its ignoble expansionist and colonizing objectives? Until when must Israel be treated as an exception to the rules of law, both civil and international? Does not the Council realize that, like all racist entities, Israel considers itself answerable to nobody, while the world must consider itself accountable to it? Is it not time that Israel's occupation of a privileged position be terminated? No privilege is enjoyed except at the expense of denying somebody his rights. For how long can Israel's racist privileges be tolerated when that means denying the Palestinian people their natural and national rights?
28. Those questions can no longer remain unanswered. The challenges they pose can no longer remain pending. The United States, the super-Power that underwrites—at times against its convictions and,
imately, its interests—the policies and objectives of Israel, should no longer provide the ultimate protective cover for an Israel playing havoc with the chances for a genuine, just and comprehensive peace in the region. We say that because many member States of the Arab League have close and friendly relations with the United States, but are alarmed at the level of deliberate inconsistency between utterance and performance when it comes to United States policies concerning Israel's obvious violations. By diluting the resolutions that articulate the real consensus of the body, the United States serves notice on Israel that it can pursue its objectives without fearing the sanctions necessary to make it comply with the minimum standards of international behaviour.
We in the Arab League are conscious of the discrepancy that exists between the political convergence of the United States—especially during election years—and the diplomatic convictions which do not differ substantially from the conclusions of the report. That is why the Arab Summit Conference, which met in November in Tunis, coupled with its severe censure of United States policies in the Middle East took a decision to intensify the Arab campaign of information and awareness among Americans on the vital issues involved in the Middle East conflict—the assumption being that, although greatly disappointed with United States policies on those issues, we have not reached either disillusionment or a state of rupture in our communications.
We are stating this because we know that the principal cause of Israel's capacity to defy the international consensus has been the United States' reluctance to draw the logical conclusions from its own assessment and evaluation of the Israeli violations and colonizing policies. In addition to finding itself boxed in by the mechanism of the Camp David agreements, the United States has given a dispensation to Israel to reject every minute and minor compliance with the dictates of the international will as a major concession or "sacrifice". That is how the partial withdrawal from Sinai is being projected, and thus Israel is able not only to buy time but also to concentrate on intensifying its colonizing policies in the West Bank and Gaza, as the Commission's report confirms.
The cycle that allows Israel to get away with its violations and contempt of the international consensus cannot remain unchecked. The clear-cut nature of the Commission's report, its conclusions and its recommendations render imperative the need to impose on Israel the necessary sanctions to make it desist from the pursuit of policies that threaten the peace and stability of a very vital region.
The PRESIDENT (interpretation from Russian): The next speaker is Mr. Faliou Kane, Acting Chairman of the Committee on the Exercise of the Inalienable Rights of the Palestinian People. I invite him to take a place at the Council table and to make his statement.
Mr. KANE (Acting Chairman of the Committee on the Exercise of the Inalienable Rights of the Palestinian People) (interpretation from French): First of all, I should like to thank you, Mr. President, and all the members of the Council for allowing me to speak in this debate in my capacity as Acting Chairman of the Committee on the Exercise of the Inalienable Rights of the Palestinian People.
May I also most warmly congratulate you, Sir, on your assumption of the presidency of this important organ of the United Nations. I am sure that your experience and talents as a seasoned diplomat will be of the greatest use to us in this debate. We are fortunate indeed that this debate is being held under your presidency, because the German Democratic Republic, your country, has always supported the Committee on the Exercise of the Inalienable Rights of the Palestinian People in its efforts to promote a just solution of the question of Palestine.
I should also like to pay a tribute to your predecessor, Ambassador Jacques Leprette, for the admirable way in which he conducted the Council's business during the month of January, a particularly difficult period.
Once again the Council must deal with Israel's serious violations of the inalienable rights of the Palestinian people and the threats that those violations constitute to international peace and security. The Government of that country has just authorized Israeli citizens to settle in the very heart of the Arab city of Al-Khalil, which is in the Arab territories illegally occupied since 1967. This new violation of international law by Israel is further proof of that country's determination to defy our organization by continuing its settlement policy in the illegally occupied Arab territories. That policy is meeting with almost unanimous condemnation within the international community. Even the countries regarded as staunch friends of Israel have declared that such a policy is in flagrant violation of the Geneva Convention relative to the Protection of Civilian Persons in Time of War of 12 August 1949 and a serious obstacle to peace.
It is because the Committee on the Exercise of the Inalienable Rights of the Palestinian People considers that Israel's affronts to the Organization cannot continue without gravely endangering international peace and security that it believes the latest events in Al-Khalil call for careful consideration by the Council and the subsequent adoption of effective measures. In this respect Israel's refusal to authorize the mayor of Al-Khalil to respond to the Council's invitation is deplorable. In the Committee's opinion, that act is an implicit admission of guilt, for why else should Israel so fear the testimony of the Mayor of Al-Khalil?
On 22 March 1979 the Council, following repeated infringements of the inalienable rights of the Palestinian
people by Israel, decided to establish a commission of inquiry "to examine the situation relating to settlements in the Arab territories occupied since 1967, including Jerusalem" [resolution 446 (1979)]. In spite of the innumerable obstacles which Israel sought to place in its way, that Commission was able to discharge its mandate and in July 1979 to submit a first objective and precise report to the Council [S/13450 and Add.1].
39. The Committee, which Israel has boycotted as it did the Commission, must once again condemn the lack of co-operation on the part of the Israeli authorities with the members of the Commission. By that attempted boycott Israel seeks to discredit the results of the Commission's work. However, no one is deceived by this sleight of hand. If the Israeli leaders are really sincere when they state that the settlements do not constitute an obstacle to peace, what have they to fear from a commission of inquiry? One must admit that, if they had nothing to hide, if they did not openly violate human rights in the occupied territories, they would have no difficulty in receiving the Commission.
40. I should like to take this opportunity to pay a well-deserved tribute to the representatives of Portugal, Bolivia and Zambia for the quality and the thoroughness of their two reports. Their concern to seek the truth impartially was borne out by the endeavours they made to obtain the points of view of all the parties concerned, including Israel. It is not their fault if Israel has chosen to boycott all the efforts of various bodies of the United Nations to shed light on the treatment of the populations of the occupied Arab territories.
41. Israel has on various pretexts boycotted the work of the Special Committee to Investigate Israeli Practices Affecting the Human Rights of the Population of the Occupied Territories, the Committee on the Exercise of the Inalienable Rights of the Palestinian People and the Commission established under resolution 446 (1979). Therefore, it has become clear that it is not those United Nations bodies that are partial but Israel, which fears the truth may come to light.
42. The consideration in July 1979 of the first report of the Commission gave the members of the Council the opportunity to realize that Israel was undeniably violating the inalienable rights of the Palestinian people by implementing what the report described as a wilful, systematic and large-scale process of establishing settlements in the occupied territories. That report showed clearly that the policy followed by Israel in the occupied Arab territories was aimed at effecting radical and irreversible demographic, cultural, social and religious changes.
43. The Committee on the Exercise of the Inalienable Rights of the Palestinian People, which had constantly been providing proof that Israel's policy in the occupied Arab territories was designed to deny the Palestinian people its right to self-determination and sovereignty, could not but express its approval of the conclusions in the Commission's report.
44. The Committee had also noted with satisfaction that the Council had, in its resolution 452 (1979), almost unanimously endorsed the recommendations of the Commission and called upon the Government and the people of Israel, on an urgent basis, to cease the establishment, construction and planning of settlements in the Arab territories occupied since 1967, including Jerusalem. Unfortunately, we are bound to observe that Israel took no notice of that resolution. On the contrary, it has stepped up its violations of the national rights of the Palestinian people by authorizing the establishment of new settlements, by arresting eminent Palestinians, including the Mayor of Nablus, who were "guilty" of expressing the feelings of their people, and, finally, by exercising harsh repression with the aim of dissuading the Palestinian people in the occupied territories from exercising the right freely to express its opinion, which is conferred upon it by the Universal Declaration of Human Rights.
45. The conclusions contained in the Commission's second report are quite edifying in this respect. Since the adoption of resolution 452 (1979), the Commission has noted that the Israeli authorities have confiscated 40,000 dunums of privately owned lands in order to allow for the expansion of settlements in the West Bank. Those authorities have extended and strengthened existing Israeli settlements. They have lifted all legal restrictions on a massive transfer of the Israeli population in the occupied territories by authorizing Israeli citizens to acquire land in those territories. Thus, at this time, the Government of Israel has, using many different pretexts and specious arguments, confiscated 31.4 per cent of all land in the West Bank.
46. It is daily becoming clearer that Israel's policy in the occupied Arab territories is one of gradual annexation through the continued Judaization of the demographic, economic, cultural and religious character of those territories. Thus, the Holy City of Jerusalem has now been surrounded by Jewish districts with the clear objective of separating it from the rest of the West Bank and accentuating its Jewish character. However, because Jerusalem is the meeting ground for the three great monotheistic religions, it should be able to preserve its unique historical and religious character. At the last meeting of the Council, the representative of Morocco, speaking on behalf of the Islamic Group, said how ardently the Moslem world aspired to seeing the city of Jerusalem returned to Arab sovereignty.
47. Another aspect of the Israeli policy of settlement in the occupied Arab territories is the implementation of all kinds of economic, legislative or financial measures aimed at inducing the Arab inhabitants to abandon their traditional occupations and leave their
homeland. That applies to the Israeli Government's measures aimed at reducing the water resources of the Palestinian population. Such measures can obviously have only disastrous effects on the agricultural activities of that population. If the Council does not act swiftly and firmly, the Arab inhabitants are threatened with progressive ruin and are in danger of being forced to abandon their land to the Israeli settlers.
48. The violations by Israel of the rights of the Palestinian people to self-determination and national sovereignty are nothing new, but they are a constant source of concern to the international community and they raise serious doubts among the friends of Israel about that State's desire for peace. Indeed, recent events in Al-Khalil have shocked international public opinion. By deciding to promote settlement in that holy city despite the protests of the Arab population, Israel is in danger of exacerbating tension in the area and causing bloody confrontations.
49. What is happening today in Al-Khalil is not, in the Committee's view, an isolated event. In fact, it is one of a series of systematic violations of the Charter and of the fourth Geneva Convention of 1949. It is a deliberate decision to destroy the identity of the Palestinian people and to deprive it of its most fundamental human rights. Above all, the intention is to transform the West Bank into a bantustan, making the Palestinians strangers in their own land, and covertly to annex Arab lands.
50. Israel, in this field, is following in the footsteps of South Africa, whose infamous policy of bantustanization is designed to strip the indigenous populations of their most sacred rights. Just as it has rejected the policy of bantustanization, the international community will oppose any application of a similar policy in Palestine.
51. The Committee on the Exercise of the Inalienable Rights of the Palestinian People has given me a mandate to express its deep concern to the Council. Indeed, it is the duty of the Security Council, as the main organ for the maintenance of international peace and security, to take the required decisions, in accordance with its powers under the Charter, in order to put an end to the Israeli policy of covert annexation of Arab territories. In this respect, the Committee feels that the Council must resolutely condemn the latest measures taken by Israel in Al-Khalil and reaffirm that the Israeli policy of establishing settlements in the Arab territories occupied since 1967 is illegal and is an obstacle to the attainment of a comprehensive, just and lasting peace in the Middle East.
52. The Committee also feels that the mandate of the Commission must be extended so that it may keep the Council informed of developments in this field.
53. The members of the Council, who have often expressed their concern about the violations of human rights in Africa, in Latin America and in other parts of the world, should understand that the question of Palestine is of the same nature, that the inalienable rights of the Palestinian people cannot be continually violated, while the Council is reduced to impotence, and that international peace and security cannot be perpetually threatened by the actions of a Member State of the United Nations, a Member which, furthermore, was entirely the creation of the Organization.
54. The non-aligned countries, at their last summit conference in Havana, had occasion to consider the question of the blocking of the Council where the recovery by the Palestinian people of their inalienable rights was concerned. Those countries intend to bring the matter to the General Assembly in special session if the Council continues to be reduced to impotence. As the Chairman of the Commission, Mr. Mathias of Portugal, stated last Friday:
"We wish to continue to believe that it is possible for reason and common sense to prevail. That, in the ultimate analysis, is the message which we bring to the Council." [219th meeting, para. 29.]
55. If Israel has lost its reason and flung aside all restraint, the Council, which is the body responsible for the maintenance of peace and security throughout the world, must fully assume its responsibilities under the relevant provisions of the Charter. It is to be hoped, however, that wisdom will prevail and that, in the face of the persistent and flagrant defiance of this body by Israel, the Council will finally be able to take specific and effective measures to find a way out of this situation, which seriously harms the prestige of the Organization.
56. Mr. ESSAAFI (Tunisia) (interpretation from French): The situation in the occupied Arab territories was already considered by the Council in March and July of last year, in the light of the incontrovertible facts of which it was informed, particularly those contained in the first report of the Commission established under resolution 446 (1979). Nevertheless, the situation has deteriorated considerably and has taken on alarming proportions which justify these meetings of the Council and necessitate immediate and effective action, on its part.
57. My delegation is aghast and filled with indignation at the intolerable actions of the Israeli Government and by the heavy exactions it makes daily from Palestinians. Such facts have been duly reported by the representative of Jordan and the representative of the Palestine Liberation Organization, who have proved, with facts and figures as corroboration, the seriousness and the extent of the repressive policy of the occupying Power. Their statements, which have been reliably documented, have given us a complete picture
of the present situation, a gloomy picture, which illustrates the expansionist policy of Israel and reveals its designs, which are dangerous for the region both in the long term and in the short term.
58. A number of these designs were unmasked in the Commission's second report, which the Chairman of the Commission, Ambassador Mathias of Portugal presented in such a clear and eloquent fashion at the Council's last meeting. The part of the report describing the way in which the situation has developed since the adoption of resolution 452 (1979) provides us with new facts, all equally serious, that cannot but once again arouse the anxiety and indignation of the international community.
59. First, the Israeli occupation authorities have proceeded to confiscate further private Arab land amounting to several thousand hectares to permit the expansion of the settlements already in existence.
60. Secondly, the decision taken by the Israeli Government in September last authorizes Israeli citizens to acquire land in occupied areas belonging to Palestinians, who, in the grip of terror, have no choice but to submit and comply.
61. Thirdly, the intensive exploitation of water resources by the occupying authorities and their diversion of other traditional water resources in the occupied territories exclusively to serve Jewish settlers have brought the Arab inhabitants and landowners to the brink of ruin and destitution, since they are deprived of the means of irrigating their farms and their plantations and are thus forced either to leave or to suffer the humiliation and degradation of working as hired hands on their own land.
62. Fourthly, the planning, construction and establishment of fresh settlements of the kind contained in the master plan established by the World Zionist Organization [see S/13582 of 22 October 1979]—a plan whose existence has been corroborated by various sources—is now being carried out by the Israeli Government.
63. Furthermore, the Israeli authorities do not shrink from deviating from their own laws and infringing on the legality of the institutions of their own country, as has been shown by the case of the colony of Qaddum, which the High Court of Justice of Israel declared illegal. Despite the verdict of the High Court, the Israeli authorities decided to shift the settlement a little, though their action remained illegal.
64. Those facts, which are listed in the Commission's report are in themselves extremely enlightening as to the purposes, whether covert or overt, of the resolutely expansionist policy pursued by the Government of Israel, a policy that both scorns and spurns international conventions. Furthermore, the Commission's conclusions and recommendations leave no doubt as to the obstinate determination of the occupying Power to continue its repressive policy, despite its having been condemned by the international community and despite the resolutions of the United Nations.
65. Israel has deliberately chosen to be ostracized by the international community. The number of countries that condemn it, that have rejected it or broken off diplomatic relations with it, is very eloquent in this respect. In this, only South Africa can be compared with Israel.
66. I should like to pay a tribute to the members of the Commission for their skill and objectivity and the remarkable work they have carried out in order to serve truth and justice, despite Israel's complete refusal to co-operate with them and despite its deliberately negative attitude, which should be resolutely condemned. To justify that attitude, an attitude which is hardly surprising to us, Israel bases its argument on its non-recognition of resolution 446 (1979). Thus, it accepts or rejects resolutions according to whether or not they suit it, and tramples underfoot Article 25 of the Charter. That is further proof of the total contempt in which Israel holds the Organization and of the need for the Council to ponder the inevitable conclusions that arise therefrom.
67. Since the Commission's second report was placed before the Council further serious events have occurred in the occupied Arab territories. As an example, let me mention only what happened recently in the Arab city of Al-Khalil. In addition to the decision of the Israeli Government to authorize Israelis to settle in the very heart of that Arab city, for days its population has been subjected to a particularly stringent curfew. Collective sanctions have been imposed on item because of the murder of an Israeli soldier. Thus it has been subjected to extreme brutality and most inhuman treatment by the occupying military authorities.
68. Who can forbear thinking of similar treatment meted out by the Nazis to Jews during the Second World War? The similarity is striking. It is repugnant and sad. To the credit of the Jews, there are, fortunately, here and there, and in Israel also, some who have branded the Israeli Government with infamy for its policy of settlement in occupied Arab territories and its behaviour towards the Palestinians. The Chief Rabbi of Great Britain, Emmanuel Jakobovitz, echoing others equally anxious about the future of Israel, such as Nahum Goldmann, has urged the Government of Israel to give up its expansionist policy and recognize a free and independent Palestinian State as its neighbour. A few days ago, in London, he stated:
"The key to peace in the Near East cannot be found in Sinai but rather in the relations between Israel and the Palestinians. It is precisely there that we are going to win or lose, because it is there that the fate of Israel will be decided."
Should we regard that declaration as a diversionary tactic to distract international attention from other events, such as we were accused of by the representative of Israel on Friday last? Of course, Israel will never think that the time is ripe to consider the situation prevailing in the occupied Arab territories, because its conscience is not easy. Far from it.
69. The policy of the Israeli Government is a colonialist policy in its most reprehensible form, because it is not aimed only at enslaving a people and exploiting it but also at expelling it from its country and taking its place. This policy is designed to turn that people into a stateless group of refugees doomed to eternal exile, for ever cut off from its roots and its homeland. Even worse, the Palestinians who live in the occupied territories are subject to daily harassment and extortion, which affects their national character and is harmful to their religion and its Holy Places, the purpose being to destroy their identity and to cast them into the melting-pot of ubiquitous Judaism. Those who refuse to bow are expelled, and the rest are enslaved.
70. Furthermore, humiliation is visited on the Palestinian not only as a person but also as a believer because he is the impotent witness of the desecration of the Holy Place, the great Al-Haram Al-Ibrahim Mosque. That is in addition to the damage done by the Israelis to the Holy Places of Jerusalem in order to serve an unbridled Judaization and it affects what is most profound and most sacred not only to the inhabitants of the occupied Arab territories but also to the hundreds of millions of Moslems throughout the world. It affects both their faith and their spiritual heritage.
71. Is this a policy of peace? Israel is doing everything it can to prevent the coming of peace. A just and equitable peace that takes account of the rights of the Palestinian people to self-determination and independence in a free and sovereign State has been deliberately thwarted by the Israeli Government. The only choice open to the Palestinian people is that of struggling by every means in its power to recover its sovereignty and its dignity.
72. The situation is extremely alarming. As has been frequently demonstrated an official policy of colonization has been unremittingly pursued by Israel since 1967. Israel is implacable in the way it constantly pursues the modification of the legal status, the geographical nature and the demographic composition of the occupied territories. New colonies have been set up. More lands, including the most fertile areas, have been illegally expropriated. Water resources have been diverted in order to quell a population that is doomed to despair, Palestinians who are daily expelled from their homeland or arbitrarily detained. All this is done in contempt of the numerous resolutions of the United Nations and of international law, in particular of the fourth Geneva Convention of 1949, to which the State of Israel is a party.
73. This is, indeed, a weighty charge-sheet of actions that are contrary to the provisions of the Charter, the most fundamental principles of international law and the most elementary standards of international morality. Consequently, it is necessary, indeed urgent, that the Council put an end to those actions. It is high time for it to take specific and effective steps aimed at putting an end to that policy of *faits accomplis* and to those actions that threaten international peace and security.
74. The representative of Israel has claimed that the present debate is designed to impede the peace efforts. We are all aware that nothing could impede the achievement of peace more than the continued policy of his Government and its repressive practices within the occupied Arab territories. We cannot over-stress the reason that has led to such a situation, namely, that the Palestinians, relegated as they have been to the status of refugees for decades now, have had their most fundamental and legitimate rights denied them.
75. Since the necessary reparation of this flagrant injustice is at the heart of any solution to the problems in that area, it is clear that half-measures are not enough to ensure respect for the aspirations of the Palestinian people. That people, which has long suffered from oppression and injustice, aspires only to peace, genuine peace, a peace based on justice and dignity, a peace that will restore to it its national rights and enable it to live as a free and sovereign people among all the other peoples in that area.
76. The PRESIDENT (interpretation from Russian): The next speaker is the representative of Yugoslavia. I invite him to take a place at the Council table and to make his statement.
77. Mr. KOMATINA (Yugoslavia): I should like to thank the Council for having offered me this opportunity to set forth the views of my Government concerning the negative consequences of the measures and actions taken by the Israeli Government against the populations of the occupied Arab territories.
78. It gives me great pleasure to greet you, Mr. President, as the representative of the German Democratic Republic, with which my country has been developing friendly relations and all-round cooperation, and to wish you every success in discharging the responsible function of President of the Council for the month of February.
79. The consideration of this problem by the Council confirms the fact that the crisis in the Middle East is continuing with relentless intensity and that new foci of crisis are constantly emerging in the area, thus increasing the possibility of a wider conflict. This confirms the fact that peace and stability in this region can be achieved only through a comprehensive settlement of all aspects of the crisis in the Middle
East, and especially the solution of the Palestinian question, on the basis of the creation of a national State of the Palestinian people. Any other approach not only does not solve but exacerbates the crisis in its entirety and postpones its solution.
80. The problem under consideration in the Council has assumed added significance in the present complex relations characterized by general and disquieting international tension. The ever more frequent cases of military intervention and interference in internal affairs, of various forms of attack on the freedom and independence of sovereign States, in particular of the non-aligned countries, and the unabated arms race and the intensification of great-Power and bloc rivalries threaten the very foundations of the system of international relations based on the principles of the Charter and constantly instigate various forms of usurpation of the rights of sovereign countries and peoples. All the greater, therefore, is the responsibility of the Council, and of us all, for creating conditions that would put the Middle East problem on a track leading to a genuine comprehensive settlement.
81. The world Organization and its organs, the Security Council in particular, have been compelled for a number of years to deal with problems resulting from the internationally prohibited actions and acts by the Israeli authorities against the populations of the occupied Arab territories. As has been many times established, the policy and practice of Israel, in addition to its permanent aggression against sovereign Arab States, a policy and practice of establishing illegal settlements in the occupied territories, of perpetrating acts of denationalization, of exploiting natural resources and of destroying historical and cultural wealth, amount actually to a systematic and persistent attempt at altering the geographical, ethnographic, economic, religious, cultural and historical characteristics of the occupied territories and their inhabitants. That practice has been known from the time of colonization. However, it is also known that that policy has been defeated in the past and that therefore all protagonists of such a policy should take this fact into account.
82. The actions of the Israeli occupation authorities cannot be characterized otherwise than as a flagrant violation of the rules of international law—of rules, principles and norms that Israel committed itself to observe by its signing or accepting them. By its membership in the United Nations, Israel has assumed the obligation to respect the Charter and the decisions of the world Organization; it has also signed the fourth Geneva Convention of 1949. In spite of this, we are witnesses to constant violations and total disregard of the principles and provisions of those documents. The actions of Israel are contrary to the provisions of The Hague Convention of 1907, which laid down the legal foundations of international law for the peaceful settlement of disputes. It has never been possible to ensure the application of the rules of law by violating them, nor can they be derived from something contrary to them. There is, consequently, no need to emphasize in particular that such acts perpetrated by an occupier or committed during occupation are null and void.
83. The documents of the United Nations are replete with data illustrating the negative policy and practices of Israel in the occupied territories. This is also proved by the most recent findings contained in the report of 4 December of the Commission established under resolution 446 (1979) and by the data embodied in the report of the Special Committee to Investigate Israeli Practices Affecting the Human Rights of the Population of the Occupied Territories which was adopted at the thirty-fourth session of the General Assembly.
84. It is also proved beyond any doubt by the most recent example of Al-Khalil (Hebron), the case of the Mayor of Nablus and others. All this shows that Israel continues to pursue its policy of occupation and annexation as well as the systematic expulsion of a whole people from its homeland. All this is aimed at consolidating its occupation in the Middle East and legalizing a policy of faits accomplis in order to prevent the Palestinian people from realizing its legitimate and inalienable rights. The settlement of the Middle East crisis as a whole is thereby indirectly impeded.
85. The position of Yugoslavia concerning the Middle East crisis is well known. It is founded on three basic principles, which have also been approved by the international community: first, the total withdrawal of Israel from all the Arab territories occupied in the 1967 war; secondly, the realization of the inalienable national right of the Palestinian people to self-determination, including the right to return and to establish its own State, with the Palestine Liberation Organization as its sole legitimate and internationally recognized representative; and thirdly, the right of all the countries and peoples of the region to a secure and independent development. This is, in our view, the only realistic and internationally acceptable platform for achieving a just and lasting peace in the region, and any delay in actions and measures for its realization could have serious consequences for international peace and security.
86. In this sense, we are all responsible for what emanates from the unsolved Middle East crisis. Any further delay in solving this question is tantamount to complicity in depriving of its rights a people which, by the high level of its national consciousness and its constructive contributions, has become an equal member of the international community. The denial of the national right of the Palestinian people to its homeland is contrary not only to the norms of international law, but also to the principles on which are based the whole international community and peace and security in the world. The international community must put a stop to such recidivist actions by Israel, as they constitute the naked use of force and
undermine the very foundations of international relations. That Israeli policy has been condemned repeatedly within the United Nations and by the decisions of numerous international gatherings, especially those of the non-aligned countries, which have given the broadest support to the Arab peoples and countries in their struggle for the realization of their legitimate rights and have become their allies.
87. Any further continuation of its policy of violence provides one more proof of Israel's lack of readiness to comply with the resolutions of the United Nations on a peaceful, just and lasting settlement of the crisis in the Middle East. It should also open the eyes of those on whom Israel relies in its intransigence and defiance of the international community. Hence, the need for all members of the Council to take immediately the necessary measures for checking such a policy. It is necessary to prevent the continuation of all activities designed to deprive the occupied territories of their national identity, having in mind, in the first place, Jerusalem, with its cultural and religious pluralism.
88. We therefore fully agree with the report of the Commission that the Council should take effective measures to prevail on Israel to cease the establishment of settlements in the occupied territories and to eliminate the consequences of such measures and actions, considering them null and void. We also agree with the need to examine within the United Nations all the possibilities for taking effective measures to prevent Israel from exploiting the natural, geographical, cultural and other resources that it has usurped as a result of its occupation. All these actions should be placed within the framework of general efforts to achieve a peaceful, just and lasting peace in the Middle East, to realize the legitimate national rights of the Palestinian people and to eliminate all the consequences of occupation and aggression.
89. Yugoslavia has been in solidarity with the victims of aggression from the very outset—with all the Arab countries and peoples, particularly the Palestinian people—proceeding from the assumption that lack of freedom in any part of the world threatens freedom everywhere. Together with the other non-aligned countries, we have consistently advocated a peaceful, comprehensive, just and lasting settlement of the Middle East crisis on the aforementioned internationally accepted bases. We shall support every action of the Council towards that end.
90. The PRESIDENT (interpretation from Russian): The next speaker is the representative of the Syrian Arab Republic. I invite him to take a seat at the Council table and to make his statement.
91. Mr. MANSOURI (Syrian Arab Republic): I thank you very much, Mr. President, for having given me the opportunity to speak in the Council.
92. First of all, I should like to express my congratulations to you, Sir, on your accession to the presidency of the Council for this month. The long-standing friendly relations between our countries, as well as your deep experience and high qualifications, assure us that you will conduct the work of this Council in a very efficient manner.
93. Allow me at the same time to pay due respect to your predecessor, the representative of France, Mr. Leprette, for the efficient manner in which he presided over the work of the Council last month.
94. This is not the first time that the Council has been seized of the question relating to the Israeli Zionist policy of settlement in the occupied Arab territories, and it will certainly not be the last. Indeed the Council considered the subject in the past and adopted resolution 446 (1979), in which it established a three-member Commission to examine the situation relating to the settlements in the Arab territories occupied since 1967, including Jerusalem. The Council met in July last year, considered the first report of that Commission and consequently adopted its resolution 452 (1979). In that resolution the Council, which reflects international opinion, called upon "the Government and people of Israel to cease, on an urgent basis, the establishment, construction and planning of settlements in the Arab territories occupied since 1967, including Jerusalem" and requested the Commission to continue its work.
95. What we are now facing is a situation in which the Israeli authorities are in total defiance of this resolution and other previous ones. The occupying authorities do not hide their policy of continuing their planning for more expansion and more settlements in the occupied areas. I need no more evidence than the conclusion reached by the Commission, as stated in paragraph 45 of its second report, that
"... the Commission has detected no evidence of any basic positive change in Israel's policy with regard to the construction and planning of settlements in the Arab territories under occupation, particularly in the West Bank of Jordan. On the contrary, the Commission is of the view that that policy has largely contributed to a deterioration of the situation in the occupied territories and that it is incompatible with the pursuit of peace in the area."
96. My colleagues from Jordan and the Palestine Liberation Organization have given the Council the details [2/199th meeting] about the recent events in Al-Khalil, and I need not repeat what they have said. What I want to state, and indeed to emphasize, is that the actions taken by the occupying authority are contrary to, and in violation of, all international laws and standards of conduct. They are also against basic human rights. Nobody in the world except the Zionist authorities applies collective punishment, against the whole population of a town, for an unspecified murder committed by someone unknown. That in itself is a violation of all international laws and treaties. It is a flagrant violation of the duties of the occupying authorities, as defined by the Geneva Conventions. Furthermore, one wonders about the Israeli authorities' claim to recognize the "historical" rights of a few Jewish families to return to Al-Khalil, under the pretext that they lived there 50 years ago, when, at the same time, those authorities shamelessly deny the same right of millions of Palestinians to return to their homeland, where they lived for centuries. Could that be called justice and equal treatment for equal human beings? Or is it something else? I leave it to everyone's logic and conscience to judge.
97. We share the view expressed by the Commission in its second report that the Israeli Government has to bear responsibility for the settlement programme, which is in fact in the process of implementation and was prepared as a plan by the World Zionist Organization—a plan to build 46 new settlements in the years 1979 to 1983. There is no doubt that what is going on in Al-Khalil and other areas in the West Bank is nothing more than the implementation of that plan.
98. We urge this body to consider carefully the recommendations of the Commission and to adopt effective measures to prevail on Israel to cease the establishment of settlements in the occupied territories and to dismantle the existing settlements accordingly. Unless Israel is forced to comply with the Council's resolutions and unless it gives up the policy of occupation and expansion and the Zionist plan for supremacy in the Middle East, security and peace in that area, and in the world, will face a grave threat.
99. I should like to draw the Council's attention to the following points. First, the Israeli media have reported time and again that General Sharon, Minister of Agriculture, has submitted to the Israeli Cabinet a plan involving the establishment of four new settlements in the occupied Golan Heights. Secondly, according to the Israeli newspaper Ha'aretz of 29 July 1979, the Israeli Minister of Education and Culture assured the "Council for the Israeli Settlements in the Occupied Golan Heights" that his Government considers the Golan Heights to be an indivisible part of Israel. Thirdly, it is clear that Israel persists in its attempts to change the demographic composition of the Golan Heights, in contravention of United Nations resolutions and the fourth Geneva Convention of 1949, as well as of other relevant conventions and regulations. In our view, this persistence confirms the systematic expansionist nature of a premeditated and organized policy by Israel.
100. We feel that the Council should keep the matter under constant consideration and that it should take the necessary measures to keep the investigations going as a matter of importance—and especially the investigation of the problem of the water resources, which the Commission has dealt with briefly in paragraphs 42 to 44, inclusive, of its report. We think that the Council should extend the mandate of the Commission and ask it to submit a new report on developments—regardless of the fact that such a report will certainly not solve the problems of the Middle East. We all know that peace and stability in the Middle East cannot be achieved if the essential requirements for such peace and stability are not fulfilled; and those requirements are: first, that there must be a total Israeli withdrawal from all Arab territories occupied since 1967, and, secondly, that the Palestinian people should be able to exercise their inalienable rights, including their right to self-determination and to a sovereign, independent State in their homeland.
101. We consider that all that is happening in the Middle East is outside the framework of the United Nations and, consequently, that it will not lead to any peaceful settlement in that area. We consider the Camp David agreements and the so-called peace treaty between Israel and Egypt, and any other agreements that may emerge out of them, to be null and void. Furthermore, we regard the denial of the Palestinian people's inalienable rights an insult not only to that people but to the Arab nation and to the United Nations itself as well.
102. We call upon those who are impeding the fulfilment of this aim to seize the opportunity and come to recognize the reality of the existence of the Palestinian people and its right to self-determination.
103. Finally, in paragraph 54 of its report the Commission recommends that the Council
"adopt effective measures to prevail on Israel to cease the establishment of settlements in occupied territories and to dismantle the existing settlements accordingly."
We feel that no measures could be effective in this situation except the application of Chapter VII of the Charter—and indeed it is high time to apply that Chapter.
104. The PRESIDENT (interpretation from Russian): The next speaker is the representative of Cuba. I invite him to take a place at the Council table and to make his statement.
105. Mr. ROA-KOURÍ (Cuba) (interpretation from Spanish): Comrade President, I should like first of all to thank you and, through you, the members of the Council for giving me the opportunity to take part in the Council's deliberations in my capacity as Chairman of the Non-Aligned Group in the United Nations. I should like also to congratulate you most warmly on your assumption of the presidency of the Council for this month. We are certain that your well-known diplomatic qualities of prudence and wisdom will make it possible for the Council to carry through to
a successful conclusion its consideration of the matter now before it—the claim for the exercise by the heroic Palestinian people of its inalienable rights.
106. In its resolution 452 (1979), the Council calls upon the Government and people of Israel to
"cease, on an urgent basis, the establishment, construction and planning of settlements in the Arab territories occupied since 1967, including Jerusalem."
Today we are meeting once again because the Zionist authorities of Israel not only ignored that resolution at the time but also continue to violate the inalienable rights of the Palestinian people in all the occupied territories and, most recently, in Al-Khalil. The fact that they have changed the Arab name to "Hebron" clearly shows the colonialist aims of Mr. Begin's henchmen.
107. On the other hand, it is worth remembering that that haughty attitude on the part of a State which claims membership in the United Nations and which owes its very existence to General Assembly resolution 181 (II) still persists in the main because the Council has been prevented from adopting the measures provided for in the Charter and has taken no action on Assembly resolutions 31/20, 32/40 and 33/28 concerning the inalienable rights of the Palestinian people.
108. The international community must not forget that peace in the Middle East can be attained only through a comprehensive agreement, including, among other things, the withdrawal of all Israeli troops from the Arab and Palestinian territories occupied by Israel since the act of aggression of 1967, recognition of the inalienable right of that people to national sovereignty and independence, and the right of the Palestinians to return to their homes and their right to enjoy their properties, in accordance with the relevant United Nations resolutions.
109. In looking at the situation in Al-Khalil we must stress that we are not dealing with an isolated or fortuitous incident. It is not by chance that the rights of the Arab and Palestinian people in that plot of land are being flouted and trampled under the heel of the conqueror; rather it is the result of premeditated and far-reaching actions that have been repeatedly condemned by the Palestine Liberation Organization, the Non-Aligned Movement and the international community.
110. Less than a year ago, the Committee on the Exercise of the Inalienable Rights of the Palestinian People alerted world public opinion and the United Nations to the existence of a "master plan" for the development of settlements in the occupied territories of Gaza and the West Bank of the Jordan, drawn up by Matityahu Drobles of the World Zionist Organization [see S/13582 of 22 October 1979]. That monstrosity, whose sole aim is to impose the Zionist State's domination on the territories it has illegally occupied since 1967, gives every detail, coldly calculated to the last Israeli pound, of how the foreign land is to be usurped and "de-Arabized" inch by inch. As we fathom the motives and thoughts of those calculating land-grabbers, we cannot but identify them with the sinister desire for Lebensraum.
111. The facts speak for themselves. Since 1967 the Israeli occupation authorities have implemented a policy of depriving the Arab and Palestinian inhabitants of Gaza and the West Bank of their land through the compulsory purchase of land and the multiplication of Israeli settlements. The Government of Israel has provided many material incentives for settlers, including water, electricity, telephone service, building materials and equipment, and means of transport. Despite the shamefaced denials of the Tel Aviv Government, people are well aware of the close co-operation between the military occupation forces and the ultranationalist settlement group Gush Emunim, and others of that ilk.
112. During the last 13 years a classic pattern of colonial domination and exploitation has been established. That policy, should it persist in the future, will reduce the territories' economy to almost complete dependence on the occupying Power, even after the occupation ends. Add to that the constant interference in—indeed, suppression of—the so-called self-government of those territories, the policy of systematic repression applied against the Arab population—curfew, torture, demolition of buildings, arrests, expulsions—and one will have an accurate picture of Israel's objective: the integration manu militari of the occupied territories of Gaza and the West Bank of the Jordan.
113. The fact that all that is taking place in explicit violation of the fourth Geneva Convention and of the relevant United Nations resolutions does not seem to upset the digestion of some members of the Council who are determined to run counter to the tide of history.
114. The Sixth Conference of Heads of State or Government of Non-Aligned Countries, held in Havana in 1979, reaffirmed that no just solution to the problem of the Middle East could be found or peace restored to the region until a number of basic principles were simultaneously applied in their entirety. Among them were the following:
"All measures taken by Israel in the Palestinian and Arab territories since their occupation, including all arrangements, constructions, modifications and alterations designed to transform the political, cultural, religious, physical, geographic and demographic features, are illegal and null and void; and
"The establishment of colonies (settlements) in the Palestinian and other Arab territories occupied
by Israel constitutes an illegal act which is null and void and is an obstacle to peace. For this reason, such colonies must be dismantled immediately and no new ones allowed to be established."14
Further,
"The Conference vigorously denounced Israel's exploitation of the natural resources of Palestine and the occupied Arab territories and its violation of the Hague and Geneva Conventions, and called upon all States to take the necessary measures to prevent any co-operation with Israel which might enable it to continue its illegal exploitation of those resources or obtain illicit profits from such exploitation.
"The Conference condemned Israel's persistent violation of the fundamental rights and freedoms of the inhabitants of the occupied Palestinian and Arab territories. It likewise condemned Israel's persistent policy of colonization and expulsion of the indigenous Arab population; its alteration of the physical, cultural, religious and demographic features of the occupied territories; the destruction of Arab homes; and the confiscation of Arab property in violation of the fourth Geneva Convention . . .
". . .
"The Conference affirmed that the restoration of Jerusalem to Arab sovereignty is an indispensable condition for a durable peace . . .
"The Conference denounced the Zionist and racist policy pursued by Israel, which is stubbornly continuing to ignore the decisions of the international community and maintaining its military occupation, engaging in terror and brutal oppression against the Palestinian people . . .
". . .
"The Conference invited the Security Council to meet its responsibilities by imposing on Israel the sanctions provided for in Chapter VII of the Charter . . .
"The Conference expressed its regret that the Security Council has not yet taken any decision concerning the General Assembly recommendations . . .
"The Conference condemned the threat by the United States to use the veto in the Security Council against any resolution concerning the implementation of the Palestinian people's inalienable national rights."15
115. As Chairman of the Group of Non-Aligned Countries in the United Nations, I appeal to the members of the Council not to continue disregarding the just claims of the Palestine Arab people oppressed by Israeli occupation. The vindication of its inalienable right to sovereignty, freedom and independence is in their hands. The non-aligned countries and the overwhelming majority of the Member States hope that the Council will take the measures provided for in the Charter and without delay and in all justice carry out its fundamental responsibility to the community of nations.
116. The PRESIDENT (interpretation from Russian): The next speaker is the representative of Israel. I invite him to take a place at the Council table and to make his statement.
117. Mr. BLUM (Israel): Reference has been made this afternoon by various speakers to the Council's invitation to the Mayor of Hebron, Mr. Fahd Qawasma, to participate in this debate.
118. The members of the Council will wish to know that Mr. Qawasma requested last week that he be permitted to travel to Amman and then to proceed from there to New York. On the morning of Friday, 22 February, Mr. Qawasma was informed that on this occasion his request could not be granted.
119. That took place many hours before the Tunisian representative made his request to the Council concerning Mr. Qawasma. Accordingly, on Friday afternoon here in New York, many hours after Mr. Qawasma had been notified that his application had been declined, it must have been clear to the representative of Tunisia and all those behind him that they were purposely engaged in a transparent exercise of duplicity in the knowledge that Mr. Qawasma would be unable to come to New York.
120. As I indicated in a letter to the Secretary-General this morning, although Israel is under no obligation whatsoever to permit the residents of Judea, Samaria and the Gaza District to travel abroad, its liberal policy in administering these territories has also found expression in consistently facilitating free movement of the local residents abroad, including movement and travel to Arab countries which regard themselves as being in a state of war with Israel. Mr. Qawasma himself has been the beneficiary of this liberal approach on numerous occasions and has been permitted to travel extensively to various Arab countries, as well as to Europe and the United States. However, the purpose of his intended trip on this occasion would have been to lend support to Israel's avowed enemies in their ongoing and concerted campaign of incitement and vilification and in this way to aid and abet them in their unrelenting political warfare against my country [S/13824, para. 4].
121. I should like to make one or two further observations.
122. As is well known, our enemies regard Judaea and Samaria as territories "occupied" by Israel, as the representative of Tunisia, for instance, stated here again this afternoon. According to their argument, since Israel is an "occupying Power", it is bound by the provisions of the fourth Geneva Convention of 1949.
123. The least one can expect is that those espousing such views should make an effort at consistency. If indeed Israel's conduct in Judaea and Samaria is subject to the fourth Geneva Convention, as is asserted by them, I would invite our adversaries to indicate under which provision of that Convention they claim the existence of a duty for Israel to permit travel abroad for the residents of Judaea and Samaria. In fact, they know full well that there is no provision in the Geneva Convention requiring that the movement of the local population outside the territories be permitted. As I have already mentioned before, Israel as a rule facilitates such movement in both directions, including movement to Arab countries that regard themselves as being in a state of war with Israel. In particular, Israel facilitates pilgrimages to Mecca and family visits in both directions. However, this liberal policy of Israel's cannot serve as justification for demands to be made on Israel in excess of the provisions of the Geneva Convention.
124. The only logical construction that can be placed on the request by Tunisia that the Council invite the Mayor of Hebron is, therefore, that the representative of Tunisia, as the representative of the Arab States on the Council, no longer regards Judaea and Samaria as territories "occupied" by Israel. It is somewhat bizarre though that such a significant shift in Arab foreign policy should have been announced in such a roundabout way. I therefore invite the representative of Tunisia to state plainly and clearly that his country, and the other countries he represents here, no longer regard Israel as an "occupying Power" in Judaea and Samaria, and I assure him that the implications of such a statement will be given earnest consideration by my Government.
125. The question of the invitation of the Mayor of Hebron again highlights the duplicity and hypocrisy of the Arab States, characteristics of their approach towards Israel ever since our accession to statehood in 1948. In the last 32 years, Arab Governments have violated every conceivable universal treaty, convention, Charter principle and requirement in relation to Israel. The explanation offered by them has been that they regard themselves as being in a state of war with Israel. This, incidentally, has not prevented them from systematically violating even the laws of war in respect of Israel. But while they piously claim for themselves the privileges of the international law of war, they seek to impose on Israel the duties that go even beyond those of the international law of peace. They should, of course, remember that no State can invoke in its favour benefits deriving from certain provisions of international law without at the same time being prepared to abide by the duties flowing from international law. Reciprocity is, as we all know, a cardinal principle and cornerstone of international law. Regrettably, lack of reciprocity, and duplicity, are the guiding principles of Israel's enemies in their attitude towards my country.
126. In their statements and letters to the Council, Arab representatives and their supporters have made a concerted effort to distort and misrepresent the questions concerning Hebron.
127. Hebron has always been a central link in the unswerving attachment of the Jewish people to its homeland. The Hebrew Patriarchs were buried almost 4,000 years ago in the Cave of Machpela in Hebron, and ever since that time their burial ground has been hallowed and venerated by the Jewish people. Apart from two short periods following expulsions by the Romans and the Crusaders, Jews lived continuously in the city for almost three millennia. In recent centuries, it was a community consisting largely of pious scholars and students. This peaceful and defenceless Jewish community was massacred by an Arab mob in 1929, when the forerunners of the present PLO terrorists turned their fanatical hatred against it. The attackers did not spare women, children, or the elderly. They destroyed Jewish houses, razed synagogues and burned sacred Torah scrolls. In 1948, with the invasion and illegal occupation of Judaea and Samaria by Jordan, the entire region became Judenrein, and any Jewish presence was prohibited.
128. On 5 June 1967, King Hussein spurned an official message from Israel delivered through the United Nations intermediary in which he was invited to stay out of the six-day war which began that day. Instead, the Jordanian occupiers of Judaea and Samaria opened fire all along the armistice lines with Israel and, as a result of their renewed aggression, lost control of Judaea and Samaria. Since 1967, experience has shown that Jews and Arabs can live together peacefully in Hebron and elsewhere with a modicum of mutual accommodation and without encroaching on each other's rights.
129. The enemies of peace and reconciliation, whose aim is to torpedo any peaceful Arab-Israel coexistence, have deliberately created incidents in Hebron and elsewhere in order to further their belligerent designs.
130. What happened in Hebron on 30 January is a prime example of their despicable modus operandi. On that day, Yehoshua Sloma, a young theological student in neighbouring Kiryat Arba, was fatally wounded while shopping in a market at the centre of Hebron. As a result, a curfew was imposed by the authorities on the immediate area of the crime. The purpose of the curfew was to facilitate the search for those responsible for the murder. Contrary to allegations made here, the curfew was not imposed on
the population as a form of collective punishment, and the greater part of the city as well as the bulk of its population were not affected. The curfew was lifted every day in order to allow residents in the curfew area to shop for food. In the city as a whole, except for the limited curfew area, life went on as usual. It is complete nonsense to suggest that food did not reach the city and its residents. Incidentally, the assertion made by the representative of Tunisia to the effect that the curfew is still in force is absolutely untrue. It was lifted more than two weeks ago. Apparently news of this kind does not reach the representative of Tunisia with the same rapidity as that relating to Mr. Qawasma’s travel plans.
131. I should add that during the curfew Moslem religious observances were carried on as usual in all parts of the city, except in the mosque erected over the Cave of Machpela, known as the Mosque of Abraham, on the edge of the curfew area.
132. It has been falsely reported to the Council that hundreds of residents were detained by the authorities. To be sure, some suspects were detained for investigation, but their number was limited. Most of them were released immediately, and all were released as soon as their investigation was completed. Reports that Arab residents were driven from their homes attest only to the unbridled fantasy of their authors.
133. Another recent incident in Hebron has been distorted and twisted in a way typical of the mendacious propaganda techniques of the Arab rejectionists. Arab youths started hurling rocks at Jewish worshippers who had prayed at the Cave of Machpela. One of the rocks hit an elderly Arab man in the eye and blinded him. As often occurs in rejectionist propaganda, this innocent victim of Arab religious intolerance was touted as an example of so-called Israeli brutality.
134. It has also been falsely alleged that the rights of Moslems to worship at the Mosque of Abraham have been revoked. The arrangements to facilitate worship by Moslems and Jews remain unchanged. These arrangements were brought to the knowledge of the Council by my predecessor in his letter dated 1 November 1976 [5/12223]. Under these arrangements, Moslems are able to pray in their area 24 hours a day, every day of the week. Jews are able to pray in their areas on weekdays and on the Jewish Sabbath as well as on Jewish holidays, in accordance with accepted hours of prayer. It should be noted that on Fridays—the Islamic special day of prayer—Moslems are able to pray throughout the whole day. Jews, on the other hand, are limited to evening prayers to greet the coming Jewish Sabbath. These arrangements were established with the greatest consideration for Moslem religious sentiments and without affecting or infringing on Moslem rights. That these arrangements have been working to the satisfaction of all sides in itself refutes the burden of the charges in the “information” supplied by the Islamic Conference.
135. Those are the facts. But how many States in this Organization care about the facts?
136. In the light of all the above I repeat that this debate and the elements being injected into it are nothing but an attempt by the enemies of peace to frustrate the peace process and to divert attention from the real threats to international peace and security. The whole exercise is transparent, and the racism being displayed with regard to Hebron is monstrous.
137. The members of the Council surely cannot let this pass without reneging on the primary responsibility entrusted to them for the maintenance of international peace and security in accordance with the purposes and principles of the Charter. This debate flies in the face of the Council’s mandate and all that the Charter stands for.
138. We reserve our right to speak again to address ourselves to other aspects raised in the course of this debate.
139. The PRESIDENT (interpretation from Russian): The next speaker is the representative of Jordan, upon whom I now call.
140. Mr. NUSEIBEH (Jordan): I shall not be drawn into engaging in calculated tactics of diversionary calumnies, extraneous, peripheral and diabolical irrelevancies, particularly when they are directed against me, as happened last Friday. For that is precisely what the Israeli representative would want me to do.
141. Last year, Mr. Blum awarded me what he called a very low credibility rating. I am glad I was not running for any office. Besides, he did not attribute that rating to any of those credible specialized agencies in the business such as the Gallup Poll, the Harris Poll, the CBS-New York Times random polls or any other polls. I am not aware that the United Nations has a set-up for such an evaluation. But I do know that the Security Council, which does not engage in popularity polls but in the serious and judicious assessment of situations affecting peace, security and the survival of nations, endorsed all the facts and figures which we presented in March 1979 on the magnitude of the Israeli despoliation of the occupied Palestinian and other Arab territories, not only after examining all the documentation presented to it but also after dispatching a Council Commission that examined the situation in the area.
142. The Commission’s findings, endorsed unanimously by the Council in resolution 452 (1979), were practically identical with the facts and figures that we had presented—namely, an Israeli colonization of the occupied territories, up to a year ago, in the magnitude of more than 27 per cent of the total area. If ratings of credibility are to be set by independent and objective
inquiry, then the rating of my Government, on whose behalf I spoke, was an unmitigated 100 per cent. And that applies equally to my colleagues who presented their facts and figures in the complaint.
143. If I were in the representative of Israel's place, my only recourse would have been to withdraw from the credibility race, for he must have found himself in a terribly untenable and discredited situation, and that is hardly edifying to any self-respecting individual.
144. To my astonishment—or was it astonishment?—the Israeli representative attempted last Friday to cast aspersions on our updating of the already established facts and figures. The 27.1 per cent Israeli colonization had jumped to 31.4 per cent. In a six-month period, April to October, land confiscations were the equivalent of 15 per cent extra, not to mention the substantial increases between October and today.
145. The position of the Israeli representative is, to say the least, truly pathetic as he is assigned the task of reconciling the irreconcilable, of refusing in this lofty hall what his superiors not only concede but publicly profess to be their official policy—namely, colonization of the whole of Jerusalem and the rest of the occupied lands. Should he not ask his Government to instruct him as to how he and his Government should confront this fundamental dichotomy before the Council and stop engaging in sophistry and perjury?
146. The facts of the case are as simple as they are awesome. Subsequently to resolutions 446 (1979) and 452 (1979), which had forcefully warned Israel of the disastrous consequences of its colonization policy, the occupation authorities went full speed ahead in confiscating additional lands and water, thereby augmenting their seizures to a stunning 1.7 million dunums in Jerusalem and the West Bank alone out of a total area of 5.5 million dunums. That makes an Israeli confiscation of almost one third of the tiny remnants of the Palestinian homeland. And where did we get our figures? From official and unofficial Israeli sources, from the very people whose lands, property and water have been foreclosed and from the landscape of the Holy Land itself, which is the victim of ruthless emasculation, despoliation and plunder.
147. What we are talking about here is the very survival of the Palestinian people in their ancestral homeland. We are not engaged in any exercise of self-flagellation or scourging.
148. In the past, the Palestinian people found themselves in dizzying whirlpools and twisters; they were subjected to calculated and rearranged acts of aggression—including, incidentally, what happened in 1967—designed to bring about their uprooting and eventual perdition; and they were faced with deception, concealment and the widespread application of organized violence before and after the emergence of the racist Israeli entity. These were the tools and techniques applied by a ruthless and heedless aggressor while the world watched with incredulity, ambivalence and murky vision.
149. Today the international community has no excuse for either ambivalence or masterly inaction. Will the world watch with indifference the systematic cannibalization of the Palestinian homeland and people while the evidence of it is massive, incontrovertible and officially conceded as such by the Israeli hierarchy responsible for that act of national genocide perpetrated against the Palestinian people? The question is: to be or not to be, and any other language would be evading or sugar-coating the basic issue of Palestinian survival.
150. A few days ago His Majesty King Hussein paid an official visit to Romania, after which a joint communiqué was issued that dealt with various aspects of the current international situation. President Nicolae Ceausescu and King Hussein, in their deliberations on the Middle East, reaffirmed the fact that the serious situation prevailing in that area stemmed from the continuance of Israeli occupation of the Arab territories since 1967 and Israel's refusal to abide by United Nations resolutions. The communiqué likewise asserted that the Palestinian question was at the core of the conflict in the Middle East. The two leaders were in agreement that a solution must be achieved by immediate and total Israeli withdrawal from all the Arab territories occupied since 1967, including Jerusalem, and recognition of the national rights of the Palestinian people and their right to self-determination and to decide their own future, including the creation, within the framework of Security Council and General Assembly decisions, of an independent State.
151. The communiqué expressed the profound concern of the two leaders resulting from the illegal practices that Israel was perpetrating in the occupied Arab territories and, in particular, the policy of colonization and the violation of the historical and cultural legacy, as well as the racist Israeli practices against the Arab civilians and their expulsion from their lands, with a view to altering the demographic composition of the occupied lands.
152. The communiqué called for the intensification of the efforts to bring about a just and lasting solution to the problem of the Middle East, with the participation of all the parties concerned, including the Palestine Liberation Organization, within the framework of the United Nations and on the basis of its resolutions.
153. Regarding the international arena, the two leaders stressed the necessity of respecting the sovereignty and national independence of all States and refraining from interfering in the internal affairs of States, directly or indirectly. The two leaders also expressed their concern over the division of the world into "spheres of influence"—a division that does not
serve the common interests of the States of the world, and I mean all the States of the world.
154. The Romanian-Jordanian communiqué emphasized the imperative of strengthening international solidarity and détente and of striving towards the limitation of armaments. It also stressed the importance of strengthening unity of action among the non-aligned States and the States of the developing world. And last but not least, the communiqué stressed the necessity of supporting the United Nations as the most efficacious framework for finding solutions to international disputes.
155. This is the official position of Jordan on the Middle East situation, the crux of which is the restoration of Palestinian national rights. One cannot very well uproot the majority of the 4 million Palestinians, strangle the remnants in what is left of their homeland and continue relentlessly to do more of the same and then expect the vast masses of our turbulent region to forget the burning centrality of their concerns and concentrate instead on the geo-political or geo-strategic dimensions in the grandiose designs of the game of nations. Perhaps Israel regards itself as a super-Power and could devote a good deal of its attention to this problem. This is the legitimate concern of the super-Powers, and all that the smaller nations can do is to be consistent in their assessment of the situation, declare what they think is right or wrong, depending on the situation, and give whatever considered opinion they believe would be conducive to concord, world peace, justice and harmony.
156. No nation, including the super-Powers, has a penchant for world destruction, and it is our duty as non-aligned nations, wherever and whenever we can, to urge all sides to put out the fires that will inevitably engulf us all. We have no presumptions or claims other than to ensure the very survival of the Palestinian people.
157. If there has been a diminution of the effectiveness of the United Nations, believe me, it is the result of the consistent and persistent audacious Israeli defiance of United Nations injunctions, the Charter and the rule of law. Such an attitude can only be contagious, particularly if the United Nations fails to do anything about it. The Israeli aggressors must be made fully aware that they cannot with impunity destroy the very fabric and foundations upon which the United Nations has been built. Indeed, such defiance exemplified by a deliberate, calculated and self-confessed crime, should disqualify Israel from membership of an esteemed world body for which it has nothing but disdain.
158. We have to face the fact that the Palestinian and Arab peoples of the occupied territories represent the most elemental imperatives of survival. Shall we watch them go down the drain? If we do, then we would merely be postponing the inevitable: the horrors of an unspeakable explosion in the years or decades to come.
159. Now, even though I had promised myself not to become involved in a discussion on distortions and irrelevancies, I feel that I must make a few remarks in answer to what the representative of Israel has told the Council today.
160. The representative of Israel has shed crocodile tears over the sad riots that engulfed the whole of Palestine, including Hebron, in 1929. The old generation knows what was behind that, but we should ask this: Who ignited that conflagration, the first of its kind to happen after centuries of coexistence between the Jewish and Palestinian inhabitants in peace and tranquillity? The rioting was ignited by provocative and aggressive armed attacks carried out by fanatic Zionist gangs against Al-Buraq Al-Sharif, the western wall of the Al-Haram Al-Sharif area.
161. An international committee of the League of Nations was set up at the request of the British Government to investigate the situation. It was presided over by a former Swedish Minister for Foreign Affairs and it concluded categorically that it was the Zionists who had started the attack and tried to violate the accepted status and proprietary rights of the area. I might remind members of the Council that, on the basis of documentation, that committee came to the conclusion that the entire area, the pavements and the properties, belonged to the Palestinians rather than to the Israelis, even though it conceded to the Israelis the right to worship at the Wailing Wall.
162. With regard to the Holy Places, I am sure that representatives will find in the records of the United Nations that the Arab States then directly concerned gave a solemn pledge to permit unlimited access to all the Holy Places, even during the armistice agreement and before the achievement of peace. It was the Israelis—as the records, which I am willing to produce, demonstrate—it was the Israeli representatives who refused and requested that the question be deferred.
163. Why did the Israelis request that the question be deferred? Because they did not wish to repatriate the refugees to their homes in West Jerusalem and they did not wish to restore electricity to what remained of our part of Jerusalem. They refused to restore the water supply and the people of Jerusalem spent six months almost without water except for that stored in wells. They preferred all that cruelty to performing their religious worship. If they had attached any importance to questions of religion, they would certainly have made things work. We were more than willing to do so, and we so declared openly, as the records of the United Nations will show.
164. The representative of Israel has made a mistake regarding the holiest Islamic shrine, namely the Al-Haram Al-Ibrahimi Mosque, which was built more
than 1,000 years ago—possibly 1,300 years ago. The Israeli representative must be made to understand that Abraham, through his son Ishmael, is the forefather of all the Arabs. Moreover, Abraham is venerated by all Moslems as the father of all prophets. It is an integral part of our religion. The point that I made last Friday was that not since the Middle Ages had the adherents of one religion converted the Holy Place of the adherents of another religion into something other than what it was, as the Israelis have done on a sizeable and substantial scale in the Al-Haram Al-Ibrahimi Mosque. They have literally transformed it into a synagogue.
165. The representative of Israel has again talked about the illegal Israeli occupation of what he illegally called Judaea and Samaria. Of course we have all become accustomed to wily Israeli distortions concerning Jordan. Even though it is repetitious on my part to reply, I feel in duty bound to do so at this moment.
166. As is well known, the Jordanian army was stationed in the whole of Palestine—and I repeat, in the whole of Palestine, including Haifa, Tel Aviv and the heart of Jerusalem—throughout the Second World War as part of the allied effort and forces. It could have remained there. It was in charge of the Alamein camp, one of the most strategic posts in Jerusalem. It was in charge of Katamon and it was in charge of all the strategic spots, both in Jerusalem and in the rest of Palestine. It could have remained there. But out of deference to the United Nations resolution on the creation of a Palestinian Arab State alongside a Jewish State, with a corpus separatum for Jerusalem [resolution 181 (II)], it withdrew promptly and to the last soldier on 14 May 1948, upon the termination of the British Mandate. Contingents of Jordanian troops—and believe it or not, there were no more than 600 riflemen—headed the urgent pleadings of the 80,000 or so crowded and beleaguered people of Jerusalem, of West Jerusalem as well as the Old City because the uprooted inhabitants of West Jerusalem had taken refuge in the Old City. Those people had been subjected for three days and nights on end to incessant attack and bombardment in the Old City, in which the Israelis used tanks, rockets and every weapon that they had in their possession. One will find this in the memoirs of all the older generation of Israeli leaders.
167. When Mr. Ben Gurion was trying to defend himself concerning what he did in the case of Jerusalem, he said that they had sent their best forces, namely the Palmach, to try to wrest in from the Palestinian Arabs, but they could not. But the population ran out of ammunition on 18 May. They did not have a single bullet. We used to pay a shilling in those days for a bullet. And the last attack by the Israeli aggressors, even though this was recognized as a part of the Palestinian Arab State, was turned back by whatever dynamite the Palestinians still had in their hands. It was then that the Jordanian army entered, in the dawn of 18 May. They entered the city because they wanted to stave off the genocide and uprooting which had befallen their Palestinian brethren elsewhere. Was that occupation—or was it an imperative and humane act of salvation? Would anybody in the world have been happy if 80,000 helpless civilians with no armed force whatsoever, except the few rifles and bullets that they had bought on the black market at extremely high prices which would have ruined even the richest country in the world, had run out of ammunition? What else could the people of Jerusalem have done but send a delegation of their national committee to ask for assistance from the Jordanian army?
168. Of course, the representative of Israel has always alleged that Jewish religious sites were deliberately destroyed in the Jewish quarter. Incidentally, 60 per cent of the Jewish quarter in the Old City of Jerusalem is owned by Palestinian Arabs. A month or two before the end of the Mandate, the Israeli forces planted 1,000 of Israel's troops in the Jewish quarter, against the specific pleas—I repeat: against the specific pleas—of the Jewish inhabitants of that quarter. They did not want that quarter to be the scene of fighting. But the fighting which Israel started resulted in the unfortunate destruction not only of Jewish sites but, equally of Islamic and Christian sites. One of them—the Al-Haram Al-Sharif area—took years to repair.
169. I think that I taxed the Council's patience sufficiently with my long statement on Friday. I would not wish to repeat what I said then; I wish to make only one or two comments in conclusion.
170. With regard to the Mayor of Hebron, Mr. Qawasma, in a sense I feel relieved—and I really mean this—that the Israeli authorities have denied him permission to come to New York and testify before the Council. We know that if he had come here, he would not have been allowed to return to his homeland. We would much rather have him there as the Mayor of Hebron than have him come here and find himself in the position of a refugee—another refugee, to be added to the 2 million that the Israelis have uprooted from their homes.
171. The rejection of a Council request is of course much more an affront to the Council, the highest executive organ of the United Nations, than an affront to the Arab States which the representative of Israel calls the rejectionists and the haters of peace. What peace? The Israelis have already devoured 31 per cent of the land. If this question is again brought before the Council two years from now, the figure may well have increased to 50 per cent.
172. So let the aggressor explain to the Council what his Government's plans are for the future of the Palestinians. What are its calculations? Into what sea does it want to throw the Palestinians?
173. The PRESIDENT (interpretation from Russian): I now call on the representative of the Palestine Liberation Organization.
174. Mr. TERZI (Palestine Liberation Organization): Listening to twisted logic—especially when it is used by racists—is sometimes an interesting exercise. Over the weekend I watched a seven-hour film on something called "Our Hitler". In that film, the spirit of Hitler apparently says, "If it were not for Hitler, there would not have been a State of Israel", or "Greater Israel", or something like that. That is the twisted logic of the racists and fascists. I say "twisted" because we have just heard the representative of the Zionist racists state that the enemies of Israel refer to the West Bank and Gaza as "occupied territories". But I think that the entire international community has repeatedly asserted that those territories that have been occupied since 1967 are illegally occupied. Are we to understand from the statement of the representative of the Zionist racists that the world is the enemy of Israel? Or is he confirming the fact that Zionism is the enemy of the world and that the Zionists are the enemies of the world? That is the kind of twisted mentality which the Zionist racists have.
175. The representative of the Zionist racists stated also that Israel was under no obligation to permit the free travel of the Mayor of Hebron. On 10 December 1948 the Universal Declaration of Human Rights was adopted. Article 13, paragraph (2), of that Declaration reads as follows: "Everyone has the right to leave any country, including his own, and to return to his country". Does that not apply to Israel? Does that not apply to the forces of occupation? Does that not apply to a Palestinian who is living under foreign occupation and domination? Mayor Qawasma wanted to leave his country, his town, to come here and respond to an invitation from the Council, and then, of course, to return to his country. Yet we are told that the forces of occupation are under no obligation to permit him to travel. Naturally—for in the territories under occupation, 2 million Palestinians have been taken hostage. The world talks about 5 hostages or 50 hostages. But there are 2 million Palestinians who have been living as hostages for years. The Security Council and the rest of the international community have not raised the same hue and cry about them; they have not expressed their determination to put an end to that situation. Yet, 2 million Palestinians are held hostage by the Zionist movement and its supporters—particularly the United States—in order to achieve their aim. And that aim can be achieved in only one way: through genocide, the physical elimination of the Palestinians.
176. We have been told that the Jews have an unswerving attachment to the Holy Land, be it Hebron or Jerusalem. No one denies that. The Holy Land is venerated not only by Jews, but also by Christians and Moslems. I do not claim that I can give lessons in history, but I would say this: after the Moslem conquest of Jerusalem in the seventh century, it was the Moslem Caliph who looked for that Rock of Moriah on which Abraham almost offered up his son as a sacrifice. On that rock—which was at that time a real garbage dump—the Caliph ordered the erection of one of the most beautiful mosques, a mosque which still stands today, a mosque that the Zionists are trying, with their excavations, to demolish. Again, it was the Moslem rulers who ordered the building, in Hebron on the Macphela Cave, of the large Al-Ibrahami Mosque. That was done out of veneration, not out of contempt. So if anyone has been keen on venerating the Patriarchs, starting with Abraham, it has been the Moslems—beginning with those who came to Jerusalem and to Hebron in the seventh century.
177. We have been told that a theological student was assassinated in Hebron. Perhaps he was a theological student—but he was in Hebron, on a spot that had been arbitrarily confiscated from its own people. There is every indication that he was one of the soldiers of occupation. As I said in my statement on Friday, the soldiers of occupation are legitimate targets for the legitimate resistance of the people under occupation.
178. My colleague from Jordan has already explained what happened in 1929. I would only repeat what I said the other day. Why did all this happen in 1929, after centuries during which Arabs and Jews, and Christians, Moslems and Jews, had not only coexisted but lived together? I come from Jerusalem and at my age I have had personal experience of living together with my Jewish and Moslem friends. We all went to school together. We had our youth group. What brought us to this situation of hostility? It was the Zionist plan to uproot us and evict us from our homes that made enemies of us.
179. And, now, why prevent Qawasma from coming here? All he would have done here in the Council would have been to testify about what exactly happened in Hebron, why it happened and maybe to express the aspirations of his own people. But then the Commission established under resolution 446 (1979) was not permitted to investigate the situation there nor was the elected Mayor permitted to come here. And we are told that we are enemies of Israel. Again, I repeat: it is Zionist Israel which is the enemy of the world, of peace and of religion.
180. Mr. ESSAAFI (Tunisia) (interpretation from French): I should like to go back to some remarks that the representative of Israel attributed to me and speak of two points that he presented differently from the way in which I presented them.
181. First of all, the invitation to the Mayor of Al-Khalil was extended by the Council. Confusion is deliberately being sown by the representative of Israel when he refers to the Geneva Convention which we cited in our statement in speaking about Israeli Government repression of the Arab population in the
occupied territories. The invitation sent to Mayor Qawasma is quite a different matter. The Mayor has been prevented from coming here to participate in a discussion that concerns precisely the situation prevailing in the occupied Arab territories. Elsewhere we spoke of how the Geneva Convention had been violated by the Israeli authorities and described at length the behaviour of those authorities towards the Arab population. When he speaks of duplicity, I think that all of us here are aware of the announcement of the Reuters despatch made by the representative of the Palestine Liberation Organization, who reported that the Mayor was being prevented from joining us here in New York. The duplicity is not on our side; it is on the other.
182. Statements about the curfew were also attributed to me. The representative of Israel claims that I said that the curfew was still in force. I shall read out the paragraph as I said it to the Council, and the record is there to prove who is telling the truth and who is distorting it. I said:
"... for days the population [of this town] has been subjected"—I repeat "has been subjected"—to a particularly stringent curfew. Collective sanctions have been imposed on them because of the murder of an Israeli soldier." [See para. 67 above.]
I said "'a été soumise'" in good French and everyone understands that that does not mean the curfew is necessarily still in force, as the representative of Israel has claimed. I should like to leave it to members to draw the appropriate conclusion; and the text is available to them.
183. The PRESIDENT (interpretation from Russian): The representative of Israel has asked to speak in exercise of his right of reply. I invite him to take a place at the Council table and to make his statement.
184. Mr. BLUM (Israel): We have been maintaining all along that the debate staged here, like those staged last March and July, has as its primary purpose the obstruction of the peace process in the Middle East. If there was any need for evidence to substantiate this fact, it was amply provided today in the statement of the observer of the new League of Arab States, who openly lamented the conclusion of the peace treaty between Egypt and Israel and the various steps taken to normalize the relations between the two countries. We should all be grateful to Mr. Maksoud for having so unambiguously clarified the anti-peace objectives of the sponsors of this debate.
185. As I stated earlier this afternoon, I shall ask to be allowed to speak again. I shall then take the opportunity to expose again the lack of credibility of the representative of the Palestinian Arab State of Jordan.
186. Let me address myself tonight only to one or two points raised in what he erroneously termed a statement. He asked—rhetorically, I presume—who started the pogroms of 1929. The answer is simple: they were started by the same people who started the riots of 1920 and the riots of 1936. More specifically, all those riots and acts of violence were started by the notorious Haj Amin Al-Husseini, the so-called Grand Mufti of Jerusalem, who, during the Second World War, having first participated in the abortive pro-Nazi coup d'état of Rashid Ali Al-Khailani in Iraq, then escaped to Nazi Germany, where he actively participated in the extermination of Jews. He was wanted as a war criminal in Nuremberg after the war. So that man and his supporters instigated the riots and the pogroms of 1929. To the present day he remains the mentor of the terrorist organization known as the PLO.
187. The representative of the Palestinian Arab State of Jordan tried again to explain away the illegality of the Jordanian aggression of 1948. We have been through this before, but I have no choice but to set the record straight again.
188. With the termination of the Mandate over Palestine on 14 May 1948, the armies of seven Arab States, including the Transjordan Arab Legion, illegally crossed the international boundaries in clear violation of general international law and in breach of the Charter, which prohibits the use or even the threat of force against the territorial integrity or political independence of any State. The armed aggression of those Arab armies was aimed at crushing the fledgling State of Israel, and the Governments which dispatched them had the effrontery to make formal announcements of their illegal action to the Security Council.
189. Referring specifically to the communication sent by Transjordan to the Council, the representative of the United States stated in the Council that the position of the King of Transjordan was characterized by:
"a certain contumacy towards the United Nations and the Security Council . . .
". . .
"The contumacy of that reply to the Security Council is the very best evidence of the illegal purpose of this Government in invading Palestine with armed forces and conducting the war which it is waging there. It is against the peace; it is not on behalf of the peace. It is an invasion with a definite purpose.
". . .
"Therefore, here we have the highest type of evidence of the international violation of the law: the admission by those who are committing this violation." [302nd meeting, pp. 41-43.]
The representative of the United States also stated on that occasion that the communications sent to the Council by Transjordan and by the other Arab countries whose armies had invaded Palestine
"are the best evidence we have of the international character of this aggression". [Ibid., p. 41.]
190. The representative of the Ukrainian Soviet Socialist Republic told the Council on the same occasion that the purpose of the armed intervention in the internal affairs of Palestine was "[to destroy the State of Israel by force of arms and to bombard the peaceful cities of Israel under the pretext of restoring order" [307th meeting, p. 13].
191. The representative of the Soviet Union pointed out, again on the same occasion, that:
"The USSR delegation cannot but express surprise at the position adopted by the Arab States in the Palestine question, and particularly at the fact that those States—or some of them, at least—have resorted to such action as sending their troops into Palestine and carrying out military operations aimed at the suppression of the national liberation movement in Palestine." [299th meeting, p. 7.]
Incidentally, the Soviet representative who made that statement was none other than Mr. Andrei Gromyko, and the national liberation movement he was referring to is none other than zionism, the national liberation movement of the Jewish people.
192. The violation of the international boundaries of Palestine by the Arab armies having constituted an act of armed aggression, the consequent illegal occupation by them of any territory previously forming part of the Mandated Territory of Palestine could not give rise to any legitimate claim of sovereignty—jus ex injuria non oritur. Thus the purported "annexation" of Judaea and Samaria by Jordan in 1950 was in violation both of general international law and of the Israel-Jordan General Armistice Agreement of 1949. It is not without interest to note in this connection that even the Arab League in 1950 threatened Jordan with expulsion from its ranks because of that purported "annexation".
193. The representative of the Palestinian Arab State of Jordan also referred to the wanton destruction by the Transjordan Arab Legion of the Jewish Quarter in the Walled City of Jerusalem. Jordan stands condemned as the first country in modern history to bombard the Holy City. It will be recalled that it was Jordan which, intent on destroying the new-born State of Israel and on unlawfully grabbing territory for itself, attacked Jerusalem in 1948, in clear defiance of the principles of the Charter. It placed Jerusalem under siege and opened fire on its inhabitants and on its historic and religious sites. Jordanian forces attacked and destroyed the densely populated Jewish Quarter of the Old City with mortar shells and seized the eastern part of the city, including the historic walled section which contains religious shrines holy to Jews, Christians and Moslems.
194. Between 1948 and 1967 Jerusalem was a city cut in two by barbed wire and minefields. In flagrant violation of the 1949 General Armistice Agreement, Jordan barred access by Jews to their Holy Places and cultural institutions. Further, the Jordanian Government began to eliminate systematically every trace of Jerusalem's Jewish past. Fifty-eight synagogues—some of great antiquity, like the 700-year-old Hurva Synagogue—were wantonly destroyed and desecrated. Those that were not razed to the ground were converted into toilets, stables and henhouses filled with dung-heaps, garbage and carcasses. In the process, hundreds of holy Torah scrolls and books, reverently preserved for generations, were plundered and burned to ashes. On the Mount of Olives, a hallowed spot for Jews for centuries, 38,000 of the 50,000 tombstones in the ancient Jewish burial ground were torn up, profaned, broken into pieces and used as flagstones, steps and building materials for public latrines and Jordanian army barracks. Large areas of the cemetery were levelled and converted into parking areas and gas stations. Through the devastated remains of the graves, the Jordanian Government cut an asphalt road to provide a short cut to a new hotel built irreverently on the top of the Mount of Olives.
195. During that entire period, as these foul acts of desecration were being perpetrated against places holy to the Jewish people, the world remained silent. When, may I ask, was there a Security Council meeting while synagogues were burned, Jewish graves defiled and Jewish shrines closed off?
196. We have on previous occasions had opportunities to expose the machinations of the so-called Palestine Committee, whose total partiality is now notorious. For years now it has been disseminating, as a pliant tool of the terrorist PLO, the latter's lies and fabrications. Since its former Chairman has departed from the scene, its Acting Chairman has been carrying the torch of mendacity or, I should perhaps say, the torch of acting mendacity. Since he is a newcomer to his noble post, let me reveal to him that the mere rehearsal of falsehoods does not turn them into truths. We have duly noted his singular contribution to world culture in his attempt to erase the name of the city of Hebron, by which it has been known for the past 3,000 years. His Cuban colleague managed to outdo him by suggesting that Israel is trying to change the name of the city. Perhaps he could tell us what the name of the city is in Spanish. Is it possible that his purpose here today has been to position himself so as to improve his chances of being elected the next Chairman of the Palestine Committee?
197. With the participation of Yugoslavia and Cuba in this debate, we have been witnesses once again to
a remarkable spectacle. That spectacle has repeated itself on numerous occasions in the past and has reduced debates such as this to a Punch-and-Judy show. The nature of the relations between these two countries at present is common knowledge and requires no elaboration. Indeed, they continue to jockey for position and vie for leadership of different segments within the non-aligned group. The competition between them is totally unconnected with the subject of the present debate. But if one of them chooses to leap into this debate, the other automatically feels obliged to follow suit.
198. With regard to Cuba, it is an affront that that country should have the gall to venture any opinion in public about "occupied territories", for here we have a country which has been ever ready over the last two decades to put itself militarily and politically at the disposal of one particular super-Power. It has been ever ready to do that super-Power's dirty work and assist on its behalf in the occupation of countries in various continents. Indeed, so long as it has Soviet troops on its shores, it might itself be regarded as an occupied country. Furthermore, as a country which was so aptly described in *Le Monde* of Paris on 16 February 1979 as a "tropical gulag", Cuba is scarcely qualified as an arbiter on anything which touches on fundamental human rights and the dignity of man. Cuba would thus be better advised to set its own house in order than to preach to others.
199. It is extraordinary that Syria should have the temerity to participate in this debate while it continues to occupy a very large part of Lebanon. The motives behind the recent Syrian moves in Lebanon were, at the beginning, a little obscure. They have, however, become abundantly clear in the last few days. The remarkable announcement that Syria might withdraw its troops from Lebanon was nothing but a trick designed to guarantee its permanent occupation of that country. There already have been numerous reports in the media, corroborated by information from intelligence sources, indicating that such Syrian troop movements as have taken place were nothing but the regroupment by Syria of its forces with the aim, *inter alia*, of better deploying them for a strike against Israel. Moreover, in recent days it has emerged that the object of the proposed defence agreement with Lebanon is to turn the latter into a Syrian protectorate. In the short term, the proposed agreement will allow Syria almost complete freedom of movement throughout Lebanon. It will also free Syria from its dependence on a mandate from other Arab countries to maintain its occupation forces in Lebanon. Thus, in the long term, it will enable Syria to realise its long-standing dream of incorporating Lebanon into a Greater Syria.
200. In conclusion, I should like to recall some of the words recently used by a prominent Arab diplomat to describe the internal situation in Syria. He said:
"Under nine years of Assad's rule, the Syrian people have experienced increased hardships and the continuous deterioration in their living conditions.
"In the absence of genuine democratic processes, rampant practices of corruption, extortion and bribery have remained unchecked.
"Many patriotic Syrians, civilians and military alike, who have criticized these policies or opposed the practices of the Assad régime have been silenced by arrest and incarceration. Amnesty International has documented the many violations of the human rights of political detainees in Syria, including the use of torture and the denial of the prisoners' right to a fair trial and open hearing.
"It is the combination of these heightened tensions, increasing frustrations and the intensified discontent which ignited the recent wave of terrorist actions in Syria. While regrettable in their futility and directionless impact, these acts must however be understood as mere reactions to the systematic violence which the Assad régime daily inflicts on the Syrian people.
"While he held meetings to purportedly 'listen to the people', Assad at the same time ordered a military crackdown on dissenters. Public executions have served to create a climate of fear in order to discourage other types of dissent against the régime.
"The undemocratic and bankrupt character of the Syrian régime is clear."
The man who spoke these words is none other than the former Syrian Ambassador to the United Nations. He said them in the course of the press conference which he held in this very building on 27 December 1979, when he announced his resignation out of disgust with the régime which he was required to represent.
201. The PRESIDENT (interpretation from Russian): The representative of Jordan has asked to speak in exercise of his right of reply. I now call on him.
202. Mr. NUSEIBEH (Jordan): I should like to make a few remarks in passing, reserving my right to make a more detailed refutation of the Israeli flagrant distortions which we have just heard.
203. The professor of law who today engaged in the defence of lawlessness has once again indulged in the usual distortions and misrepresentations with which the Zionist movement has, since its inception, tried to brainwash and mislead the world.
204. He started his statement by asking a very legitimate question. He said: "Why is it that we have brought the question of colonization once more before the Security Council?" Our answer is very simple
indeed. Not only was the debate called at our request and behest, it was mandated by the Council itself when it established the Commission of inquiry and decided in one of the provisions of its resolution to keep the situation under constant review. I need hardly repeat that, since the Commission was established, the rate of colonization has reached epidemic levels. It is indeed a cannibalization of the Palestinian people, and the Israelis are in a hurry to do it as quickly as they possibly can. Therefore, the least that the Council should do is to see whether its resolution has been observed, or defied according to Israel's custom. The updating of information on events and the confiscation of land clearly show the terrifying acceleration of Israeli colonization.
205. In passing, I would again repeat that the riots of 1929 were ignited by Zionist hooligans. I remember that very, very well. They attacked the Al-Buraq area, the western wall of the Al-Haram Al-Sharif area, to us the holiest place in Jerusalem. That led to widespread rioting throughout the length and breadth of Palestine. It was then that the Palestinian Arabs realized, after the normal and cordial relationship that they and the Jews had had, that the Jews there were out to uproot us. And that was the cause of the rioting, as was proved by the international committee to which the League of Nations assigned the task of investigating the rioting.
206. We are accustomed to the Israeli representative referring to the Hashemite Kingdom of Jordan as the Palestinian State of Jordan. Now, he must be made to understand that Jordan is Jordan, and Palestine is Palestine. Jordan is an independent sovereign State, a Member of the United Nations. The Palestinian Arab State has not been created because the Israelis aborted its creation by their notorious Deleup plan in 1947 and 1948, though pretending to pay lip-service to and acquiescing in General Assembly resolution 181 (II). I distinctly remember that two or three days after the declaration of the Partition Plan my own quarter in Jerusalem was subjected to a massive organized military attack, which included artillery and the destruction of dozens of houses over the heads of their inhabitants. In those early days we did not have even a revolver with which to defend ourselves, let alone a rifle. We could not have started fighting the Partition Plan even if we had wanted to, because we did not have the means to do so. We simply said that we would not welcome the dismemberment of our own country. That is a legitimate position that every country in the world that faces dismemberment normally takes.
207. As I have said, Jordan is Jordan, and Palestine is Palestine, and the creation of the Palestinian Arab State is clearly delineated in the maps attached to resolution 181 (II), which the Israeli Foreign Minister, in order to deceive and to obtain Israel's admission to the United Nations, himself pledged to abide by and respect. And what of the repatriation of the Palestinian refugees under General Assembly resolution 194 (III)? As we all know, not a single refugee was enabled to return to his home. In the meantime, what the Israelis did was to destroy hundreds and hundreds of not only Palestinian Arab villages and towns but also hundreds of holy sites throughout the length and breadth of Palestine.
208. As for the Act of Unity which we had between the East Bank and the West Bank in 1950, it specifically provided that that unity should in no way prejudice the ultimate solution of the Palestine problem and that the inhabitants of both banks of the River Jordan would work together in concert for the restoration of full Arab rights by all legal and legitimate means and in accordance with United Nations resolutions.
209. Again, the representative of Israel spoke about the aggression of the Arab armies. Let me remind him, and let him deny it if he can, that even before the end of the British Mandate, before the British army had withdrawn from Palestine, Israel had pre-empted the solution in accordance with United Nations decisions by occupying almost four fifths of Palestine. The entry of the Arab armies, or small contingents of Arab armies, was designed to rescue the remnants of the civilian population who had survived massacres such as the Deir Yassin massacre, in which 250 men, women and children were butchered and thrown into wells. The perpetrator of that heinous crime, the leader, was none other than Menachem Begin, with his Irgun. The Arab Legion did not enter Palestine for any purpose other than to stave off further genocide of the Palestinian people, at the request and pleading of the beleaguered Palestinians. They did not set one foot on the territories that were earmarked for the Jewish State. It was the other way around. It was the Israelis who, even after the end of the Mandate, continued their aggression and their massive attacks against the Arab quarters and against the Arab towns and villages, as I stated earlier.
210. The representative of Israel spoke about holy sites. Let me remind him—and the records are here at the United Nations and in books—that hundreds of Christian and Islamic sites were destroyed by the Israelis during the period 1947 to 1967, and more were destroyed thereafter. As for the Jewish cemetery to which he referred as dating back hundreds of years, it is common knowledge that that cemetery, on Mount Scopus, was leased to the Jews, whom we regarded as co-religionists, a mere 100 years ago by the Islamic Foundation. And the period of the lease was 100 years, which expired 10 years ago. And what did we do then? We kept the cemetery as it was, except that an outside company built an hotel and it was essential that a little road be built to make it accessible to the people. I would not like to mention the name of the company, but it was its suggestion.
211. Now, what did the Israelis do? The representative of Israel is probably not aware that they had
desecrated a more than 1,000-year-old Arab Islamic cemetery, the Mamillah cemetery, which is one of the most cherished Islamic sites in the whole of Jerusalem. I think that anybody who has served in the American Consulate in Jerusalem could testify that that cemetery, in which are buried some of the greatest men, thinkers, writers, theologians, scholastics, warriors and heroes, has been turned into a park on which dogs trample every day. I think that persons in the American Consulate can see that with their own eyes every day. This is where we see cemeteries that have been desecrated: not a 100-year-old cemetery that was leased from the Moslem Foundation, but that Mamillah cemetery which goes back more than 1,000 years.
212. In conclusion, I turn to the claim of the Israeli representative that the representative of the Committee on the Exercise of the Inalienable Rights of the Palestinian People has changed the name of Hebron into something else. It so happens that Al-Khalil is the Arabic name for the city of Hebron and means "The Beloved of the Compassionate", namely, "The Beloved of God". It is a term of veneration, and has been known for almost 1,400 years as Al-Khalil, in the same way as Jerusalem is known as Al-Quds, "The Holy". If it is known in English as Jerusalem and Al-Khalil is known in English as Hebron, it does not mean that the names have been arbitrarily changed. It is a term of veneration.
213. The PRESIDENT (interpretation from Russian): The representative of the Union of Soviet Socialist Republics has asked to speak in exercise of his right of reply, and I now call on him.
214. Mr. KHARLAMOV (Union of Soviet Socialist Republics) (interpretation from Russian): I only wish to make a few comments. There will still be enough time for replies later.
215. The logic of the representative of Israel is not only strange, it is insulting. It is insulting to the Security Council and to everybody here who is trying to make a contribution to the matter under discussion and to discuss the matter correctly.
216. At the last meeting, the representative of Israel called the Council a Council that is blinkered and does not want to see the truth. It is really difficult after that to have a conversation with him.
217. Today he has made his colleagues work better, I think, than last time. They have chosen quotations for him, excerpts, notes and other printed matter. He is trying to divert our attention from the matter under discussion, to the past, forgetting that we are not talking now about the 1920s or 1940s, but about the situation that now prevails in the territory occupied by Israel. He should not try to get away with that if he wants to help the Council to find a correct solution. He knows that he is acting like a soldier who is out of step and who blames the whole platoon, saying that he is marching correctly and that the others are out of step. Does he think anybody can believe him? No one believes him.
218. He made outrageous accusations against a whole number of countries to which I will not refer because they can answer for themselves. Today, he even read out a long quotation from a statement by a man who betrayed his country and his Government. I despise traitors, and I despise the methods whereby people read out quotations from statements by traitors. Any revolution sifts out people who cannot stand the strain, and he has taken advantage of that. It is shameful, simply shameful. He found it appropriate to take a quotation from a statement made by a traitor and to insult the Head of State of the Syrian Arab Republic. I did not expect him to go so far.
219. He is being criticized here not because Israel has formed itself into a State. The United Nations created that State. That is not what Israel is being criticized for. That is not the question. The question under discussion is the situation in the territories occupied by Israel, and that is the question that he is not answering but it is the one that he should answer. He is doing wrong by compelling the Council to take up secondary matters. If he really thought he was in the right he would have allowed the Council Commission to visit his country to see what the situation was and to speak about it. What is he so afraid of? Something must be wrong, something that he does not like. He must be afraid of something. How can we believe after that that he is in the right? Are we to believe him and not the Commission that submitted the report? The Commission consisted of highly respected representatives from Portugal, Zambia and Bolivia. We have no reason not to believe the Commission. On the contrary, none of the members of the Commission is partial in respect of Israel or of any other side. Why did Israel not grant them access? There must be something wrong. Let him answer that question. Why did Israel not allow the Mayor to come here at the request of the Council? The answer he gave does not satisfy anybody. What sort of an answer is it? No answer at all. If the Mayor had come here and spoken, then the representative of Israel could have said that he told lies about such and such, that the true situation is such and such, and the Council would have understood where the truth lay.
220. The representative of Israel mentioned other issues too; in particular, he insulted Cuba and Yugoslavia. They can answer for themselves. I shall not refer to that. I just wanted to say one thing: if Israel had had the same relations with its neighbours and with other countries as the Soviet Union has, let us say, with Cuba, then Israel's policy would never be the subject of discussion here in the Council.
221. The PRESIDENT (interpretation from Russian): The representative of Israel has asked to be
allowed to speak in exercise of his right of reply, and I now call on him to resume his place at the Council table and to make his statement.
222. Mr. BLUM (Israel): As regards the Tunisian representative's statement about the curfew, we have checked the verbatim record in English and it says: "For days its population has been subjected to a particularly stringent curfew". [Para. 67 above.] In English, at least, this implies that he thinks the curfew is still going on.
223. It is indeed ironic that the representative of the Palestinian Arab State of Jordan should challenge the fact that his country is the independent Palestinian Arab State established on 80 per cent of the area of the former Palestine Mandate. Mr. Nuseibeh himself is the quintessence of this thesis. He embodies it in his very person, for here we have the son of a well-known Jerusalem family serving as the Ambassador of Jordan to the United Nations. Is he going to tell us that he is not a Palestinian Arab? By challenging my thesis, does he mean to imply that his loyalties to Jordan are questionable? Or is he some form of diplomatic mercenary, a Palestinian Arab merely in the employ of the Jordanian Government? I challenge Mr. Nuseibeh to tell the Council how many other Palestinian Arabs, like him born in the area of Mandated Palestine west of the Jordan River, are Jordanian Ambassadors throughout the world today, such as Abdullah Salah in Washington, Tahir Al-Masri in Paris and Nahib Al-Nimr in Bonn? Is he going to tell us that none of them is a Palestinian Arab, that they have gone through some extraordinary metamorphosis—or are they all, like Ambassador Nuseibeh, diplomats of convenience?
224. Let me remind the Jordanian representative of the record. Between 1922 and 1946 Transjordan was an integral part of the Palestine Mandate. In 1946 it became the independent Palestinian Arab State in that area. When King Abdullah came to the Jericho Conference in December 1948, attended by Palestinian Arabs west of the Jordan River, he was crowned "King of Palestine". Abdullah in fact wanted to rename his country the "Kingdom of Palestine". King Hussein in his memoirs indicates clearly that Transjordan was arbitrarily siphoned off from the rest of Mandated Palestine. Crown Prince Hassan of Jordan stated unambiguously in the Jordanian National Assembly on 2 February 1970: "Palestine is Jordan and Jordan is Palestine. The nation is one and the land is one."
225. In the period of the Jordanian occupation of Judea and Samaria, that is, from 1948 to 1967, 400,000 Palestinian Arabs from those areas moved to the area east of the River Jordan, which they regarded, as a matter of course, as the Palestinian Arab State on the territory of the former Palestine Mandate. As is also well known, the Arab residents of Judea and Samaria are citizens of Jordan. The Palestinian Arabs from these areas who occupy leading positions in Jordan today are too numerous to mention. They constitute Jordan's economic, administrative and intellectual élite.
226. It is an irrefutable fact that Jordan is the Palestinian Arab State on the territory of the former Palestine Mandate, just as Israel is the Palestinian Jewish State in the same area. Those who would challenge this fact have an obvious political axe to grind or, as they would prefer, to wield.
227. I will not compete with Mr. Kharlamov either in logic or in standards of courtesy. Mr. Kharlamov was rude enough last Friday to burst into my remarks and accuse me of uttering what he so felicitously termed "idioscies". He was unable to control himself just at the moment when I suggested that there was a distinct convergence of interests between the initiators of the present debate and those who would try to divert attention from Afghanistan.
228. At the time I was speaking I, for one, was still unaware of the fact that his country was intensifying its use of heavy armour and aircraft against the civilian population of Kabul and other cities in occupied Afghanistan and that that may have been the immediate cause of the Soviet representative's inability to "keep his cool". Incidentally, was it not revealing that Mr. Kharlamov was also exercising his right of reply on behalf of Syria?
229. While I was not familiar with the developments in Kabul last Friday, I was familiar with the description of Mr. Kharlamov's Foreign Minister's visit to Damascus given by the head of the terrorist PLO to the Kuwaiti newspaper Al-Hadaf on 14 February. He said explicitly that Mr. Gromyko had visited Damascus last month in order to co-ordinate a confrontation against a "definite" Israeli attack on Syria.
230. Even though it comes from the mouth of a seasoned liar, we can regard Arafat's account as accurate, given his familiarity with Soviet leaders. Moreover, Arafat's account this time has a distinct ring of truth about it. Council members will recall that in 1967 the Soviet Union helped to precipitate the Six-Day War by making precisely the same empty allegations against Israel. When the then Prime Minister of Israel invited the Soviet Ambassador to visit the north of the country and see for himself the hollowness of the charge, the latter refused, in conformity with the Soviet doctrine that if the facts do not conform to the charge, so much the worse for the facts.
231. Mr. Kharlamov also suggested that if my country had with the Soviet Union the kind of relationship which Cuba enjoys with it, we should not have to come before the Council. I quite agree with him. If we became a satellite of the Soviet Union, the Soviet veto would be made available to us. That is what he evidently meant.
232. The PRESIDENT (interpretation from Russian): I now call on the representative of Jordan, who has asked to speak in exercise of his right of reply.
233. Mr. NUSEIBEH (Jordan): I realise that we have detained the Council until a somewhat late hour and I shall therefore make a very few, brief remarks.
234. If the alien Mr. Blum is castigating me for being a Jerusalemite, I should like to tell him that my family has been there for 1,400 years of uninterrupted habitation. It is an honour which he cannot claim. The fact that I am an ambassador of Jordan—and I could have been an ambassador of Syria, of Algeria or of Tunisia—is because I am a fervent believer in Arab unity.
235. Our unity was disrupted by a secret agreement, the Sykes-Picot agreement, which was made behind our backs and which vivisected the territorial integrity of the overall Arab homeland. Indeed, I have written a book on Arab nationalism which shows and proves what is natural, namely, that Arab unity is our ultimate aim. I think that our vivisection is the reason that a person like Mr. Blum can make all his distortions and tell his lies.
236. Is it any surprise that not only I but many others are ambassadors of Jordan? It simply proves that when we made an act of unity it was not a Jordanian occupation of Palestinian territory—it was unity in full equality and full sharing and participation. Indeed, I would add that half the Jordanian Cabinet consisted of Palestinians.
237. As I said earlier, the Act of Unity stipulated specifically that that unity, in which all citizens would live in dignity and equality, was contingent upon and without prejudice to the fulfilment of all the Palestinian Arab rights, including, of course, the creation of the Palestinian Arab State.
238. If I serve any country, it is my duty and it is my honour because the whole area is my homeland. It has been so for most of the 1,400 years of our history. And we shall make sure that it is restored to its unity.
239. The Israeli representative talked about the British Mandate. Let me remind him that, illegitimate as the Declaration was—emanating as it did from a single person, Balfour—it was the British Government itself which in 1923 requested the League of Nations to exclude the area to the east of the River Jordan from the aggressive and inimical application of the Balfour Declaration. It is the result of that aggressive and inimical application—the uprooting of the Palestinian people—that we are discussing here today.
240. As I said earlier, Palestine is Palestine and Jordan is Jordan. If one wants to see the Palestinian Arab State, one need only look in the records of the United Nations: it is delineated in the maps attached to the relevant resolution.
241. Mr. KHARLAMOV (Union of Soviet Socialist Republics) (interpretation from Russian): I very much regret that I must again take up the time of members of the Council.
242. First, I should like briefly to refer to the interpretation of what I said in my previous statement. I do not take back a single word of what I said. But my neighbour to the right, in his statement a few moments ago, made my words even stronger than they were. If he wants them to sound that way, then we will let it stand.
243. Secondly, in my previous statement I said something like this: If Israel had relations like those we have with Cuba, then we would not need to be discussing this matter here. And I would add something to that: if Israel had relations with the Palestinians, if it were to allow the Palestinians to have their own national State, if it were to establish friendly relations with them, the Council would not be meeting now and wasting so much time in discussing this question.
244. With regard to the word “satellite” which my neighbour to the right used, I find it very difficult to sort out his country’s relations with its sponsors. I do not know who is the satellite and who is the master among those who give billions of dollars of armaments to his country. He is obviously in a much better position to judge that than I am.
245. I come now to my last point. We know better than he does what our State should do. We know when to send our Foreign Minister, Mr. Gromyko, to another, friendly State. It is not up to Israel to decide, or to make an evaluation of the visit of our Foreign Minister to Syria.
The meeting rose at 7.55 p.m.
NOTES
1 United Nations, Treaty Series, vol. 75, p. 287.
2 Carnegie Endowment for International Peace, The Hague Conventions and Declarations of 1899 and 1907 (New York, Oxford University Press, 1915).
3 A/34/631.
4 A/34/542, annex, sect. I, para. 102 f and g.
5 Ibid., paras. 110, 111, 126, 128, 130, 132 and 133.
6 Official Records of the Security Council, Fourth Year, Special Supplement No. 1.
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AGENDA
This meeting will be held in person and the public is welcome to attend.
Storey County Board of County Commissioners are hosting a teleconference meeting this month. Members of the public who wish to attend the meeting remotely, may do so by accessing the following meeting on Zoom.com. Public comment may be made by communication through zoom.
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Meeting ID: 839 4633 1479
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Meeting ID: 839 4633 1479
For additional information or supporting documents please contact the Storey County Clerk’s Office at 775-847-0969.
JAY CARMONA
CHAIRMAN
CLAY MITCHELL
VICE-CHAIRMAN
LANCE GILMAN
COMMISSIONER
ANNE LANGER
DISTRICT ATTORNEY
VANESSA STEPHENS
CLERK-TREASURER
Members of the Board of County Commissioners also serve as the Board of Fire Commissioners for the Storey County Fire Protection District, Storey County Brothel License Board, Storey County Water and Sewer System Board and the Storey County Liquor and Gaming Board and during this meeting may convene as any of those boards as indicated on this or a separately posted agenda. All matters listed under the consent agenda are considered routine and may be acted upon by the Board of County Commissioners with one action, and without an extensive hearing. Any member of the Board or any citizen may request that an item be taken from the consent agenda, discussed, and acted upon separately during this meeting. Pursuant to NRS 241.020 (2)(d)(6) Items on the agenda may be taken out of order, the public body may combine two or more agenda items for consideration, and the public body may remove an item from the agenda or delay discussion relating to an item on the agenda at any time. The Commission Chair reserves the right to limit the time allotted for each individual to speak.
All items include discussion and possible action to approve, modify, deny, or continue unless marked otherwise.
1. CALL TO ORDER REGULAR MEETING AT 10:00 A.M.
2. PLEDGE OF ALLEGIANCE
3. DISCUSSION/FOR POSSIBLE ACTION:
Consideration and possible approval of the Agenda for February 15, 2022.
4. DISCUSSION/FOR POSSIBLE ACTION:
Consideration and possible approval of the Minutes for January 4, 2022.
5. CONSENT AGENDA FOR POSSIBLE ACTION: New (Section Text)
I Consideration and possible approval of claims in the amount of $889,981.16.
II Consideration and possible action, approval of business license first readings:
A. Atlas Copco Compressors LLC – Out of County / 6 Century Dr. Ste. 310 ~ Parsippany, NJ
B. Atlas Mechanical, Inc. – Contractor / 8260 Camino Santa Fe Ste. B ~ San Diego, CA
C. Coastal Steel Structures – Out of County / 631 Lucerne Ave. ~ Lake Worth, FL
D. JLH Inc. – General / 2777 USA Parkway Ste. 107 ~ McCarran, NV
E. Nice Cream Nitro LLC – Food Truck / 2301 Cordilla Ct. ~ Reno, NV
F. Vertiv Corp – Out of County / 1050 Dearborn Dr. ~ Columbus, OH
6. PUBLIC COMMENT (No Action)
7. DISCUSSION ONLY (No Action - No Public Comment): Committee/Staff Reports
8. BOARD COMMENT (No Action - No Public Comment)
9. DISCUSSION/FOR POSSIBLE ACTION:
Authorize the County Manager to approve and sign a contract between Storey County and Walker and Associates for consultation in water resource planning with focus on potential negotiations with the State of Nevada regarding allocation and acquisition of water and/or water system components of the Marlette Water System, at an hourly rate of $100 and not to exceed $20,000 on a time and materials basis, and for a period from March 1, 2022, to July 1, 2023.
10. DISCUSSION/FOR POSSIBLE ACTION:
Consideration of letters of interest and the appointment of a qualified person to fill the expected upcoming vacancy in the office of the Storey County Clerk/Treasurer. Upon the incumbent’s resignation from Clerk/Treasurers Office, the candidate appointed by the Board will serve until January 2, 2023.
11. DISCUSSION/FOR POSSIBLE ACTION:
Erik Schoen, Executive Director of Community Chest, Inc., to present the agency's 2021 annual report.
12. DISCUSSION ONLY (No Action):
Discussion by VCTC Director Deny Dotson regarding Virginia City Tourism Commission (VCTC) approval or possible approval to explore possible purchase of shuttle bus or other transportation not to exceed $105,000, for the purpose of transporting visitors to and from events and sites in Virginia City.
13. DISCUSSION/FOR POSSIBLE ACTION:
Consideration and possible action directing the Comptroller to notify the Nevada Department of Taxation that Storey County will not be changing the property tax rate for Fiscal Year 2022-2023.
14. DISCUSSION/FOR POSSIBLE ACTION:
Consideration and possible approval for the Comptroller to sign an engagement letter with Christiansen Accounting for the Tahoe Reno Industrial Center-Public/Private Partnership Audit for years ending June 30, 2020, and 2021 with a cost not to exceed $25,000.
15. **DISCUSSION/FOR POSSIBLE ACTION:**
Consideration and Possible Action of Grant of Easement to NV Energy for utilities within a portion of the South E Street Right-of-Way, Virginia City, Storey County, Nevada, planning case 2022-03.
16. **DISCUSSION/FOR POSSIBLE ACTION:**
Consideration and possible approval of Business License Second Readings:
A. A W Farrell & Son, Inc.- Contractor / 3649 Lakeshore Dr. East ~ Dunkirk, NY
B. Get Trash’d Removal Service – Home Business / 2569 Cartwright Rd. ~ Reno, NV
C. Lobo Roofing, Inc. – Contractor / 422 13th St.~ Sparks, NV
D. Michels Construction, Inc. – Contractor / 817 Main St. ~ Brownsville, WI
E. Victory Woodworks, Inc. – Contractor / 340 Kresge Ln. ~ Sparks, NV
17. **PUBLIC COMMENT (No Action)**
18. **ADJOURNMENT OF ALL ACTIVE AND RECESSED BOARDS ON THE AGENDA**
19. **CLOSED SESSION**
Call to Order Closed Session meeting pursuant to NRS 288.220 for the purpose of conferring with county management and legal counsel regarding labor negotiations with the Storey County Employees’ Association Comstock Chapter, AFSCME Local 4041. This meeting will begin immediately following the general meeting of the Board of Storey County Commissioners.
**NOTICE:**
- Anyone interested may request personal notice of the meetings.
- Agenda items must be received in writing by 12:00 noon on the Monday of the week preceding the regular meeting. For information call (775) 847-0969.
- Items may not necessarily be heard in the order that they appear.
- Public Comment will be allowed at the end of each meeting (this comment should be limited to matters not on the agenda). Public Comment will also be allowed during each item upon which action will be taken on the agenda (this comment should be limited to the item on the agenda). Time limits on Public Comment will be at the discretion of the Chairman of the Board. Please limit your comments to three minutes.
- Storey County recognizes the needs and civil rights of all persons regardless of race, color, religion, gender, disability, family status, or nation origin.
- In accordance with Federal civil rights law and U.S. Department of Agriculture (USDA) civil rights regulations and policies, the USDA, its Agencies, offices, and employees, and institutions participating in or administering USDA programs are prohibited from discriminating based on race, color, national origin, religion, sex, gender identity (including gender expression), sexual orientation, disability, age, marital status, family/parental status, income derived from a public assistance program, political beliefs, or reprisal or retaliation for prior civil rights activity, in any program or activity conducted or funded by USDA (not all
bases apply to all programs). Remedies and complaint filing deadlines vary by program or incident.
Persons with disabilities who require alternative means of communication for program information (e.g., Braille, large print, audiotape, American Sign Language, etc.) should contact the responsible Agency or USDA’s TARGET Center at (202) 720-2600 (voice and TTY) or contact USDA through the Federal Relay Service at (800) 877-8339. Additionally, program information may be made available in languages other than English.
To file a program discrimination complaint, complete the USDA Program Discrimination Complaint Form, AD-3027, found online at http://www.ascr.usda.gov/complaint_filing_cust.html and at any USDA office or write a letter addressed to USDA and provide in the letter all of the information requested in the form. To request a copy of the complaint form, call (866) 632-9992. Submit your completed form or letter to USDA by:
(1) mail: U.S. Department of Agriculture
Office of the Assistant Secretary for Civil Rights
1400 Independence Avenue, SW
Washington, D.C. 20250-9410;
(2) fax: (202) 690-7442; or
(3) email: email@example.com.
USDA is an equal opportunity provider, employer, and lender.
Notice to persons with disabilities: Members of the public who are disabled and require special assistance or accommodations at the meeting are requested to notify the Commissioners’ Office in writing at PO Box 176, Virginia City, Nevada 89440.
CERTIFICATION OF POSTING
I, Vanessa Stephens, Clerk to the Board of Commissioners, do hereby certify that I posted, or caused to be posted, a copy of this agenda at the following locations on or before 02/10/2022; Virginia City Post Office at 132 S C St, Virginia City, NV, the Storey County Courthouse located at 26 S B St, Virginia City, NV, the Virginia City Fire Department located at 145 N C St, Virginia City, NV, the Virginia City Highlands Fire Department located at 2610 Cartwright Rd, VC Highlands, NV and Lockwood Fire Department located at 431 Canyon Way, Lockwood, NV. This agenda was also posted to the Nevada State website at https://notice.nv.gov/ and to the Storey County website at https://www.storeycounty.org/agendacenter.
By ____________________________
Vanessa Stephens Clerk-Treasurer
Meeting date: 2/15/2022 10:00 AM - BOCC Meeting
Estimate of Time Required: 5 minutes
Agenda Item Type: Discussion/Possible Action
- **Title:** Consideration and possible approval of the Agenda for February 15, 2022.
- **Recommended motion:** Approve or amend as necessary.
- **Prepared by:** Vanessa Stephens
- **Department:**
**Contact Number:** 775-847-0969
- **Staff Summary:** None
- **Supporting Materials:** See attached
- **Fiscal Impact:** None
- **Legal review required:** False
- **Reviewed by:**
- Department Head
- County Manager
- **Board Action:**
| Approved | Approved with Modification |
|----------|----------------------------|
| Denied | Continued |
Meeting date: 2/15/2022 10:00 AM - BOCC Meeting
Estimate of Time Required: 5 minutes
Agenda Item Type: Discussion/Possible Action
- **Title:** Consideration and possible approval of the Minutes for January 4, 2022.
- **Recommended motion:** Approve or amend as necessary.
- **Prepared by:** Vanessa Stephens
- **Department:**
**Contact Number:** 775-847-0969
- **Staff Summary:** Minutes are attached for review.
- **Supporting Materials:** See attached
- **Fiscal Impact:** None
- **Legal review required:** False
- **Reviewed by:**
- Department Head
- County Manager
- **Board Action:**
| [ ] Approved | [ ] Approved with Modification |
|--------------|-------------------------------|
| [ ] Denied | [ ] Continued |
Roll Call: Chairman Carmona (via zoom), Vice-Chairman Mitchell, Commissioner Gilman, County Manager Austin Osborne, Clerk/Treasurer Vanessa Stephens, Sheriff Antinoro, Recorder Marney Hansen-Martinez, Communications Manager Becky Parsons, Tourism Director Deny Dotson, IT Director James Deane, Public Works Director Jason Wierzbicki, Fire Chief Jeremy Loncar, Deputy District Attorney Keith Loomis, Project Manager Mike Northan, Water/Sewer Project Manager Mike Nevin, Community Development Director Pete Renaud, Human Resources Director Tobi Whitten, Community Chest Director Erik Schoen, St. Mary’s Art Center Executive Director Arika Perry Review who attended
1. CALL TO ORDER REGULAR MEETING AT 10:00 A.M.
Meeting was called to order by Chairman Carmona at 10:01 A.M.
2. PLEDGE OF ALLEGIANCE
Commissioner Carmona led those present in the Pledge of Allegiance.
3. ELECTION OF CHAIRMAN TO THE STOREY COUNTY BOARD OF COUNTY COMMISSIONERS FOR A TERM OF ONE YEAR PURSUANT TO STOREY COUNTY CODE 2.04.008
Commissioner Gilman nominated Jay Carmona as Chairman to the Storey County Board of County Commissioners. Clay Mitchell moved to second the motion.
Public Comment: None
Vote: Motion carried by unanimous vote, (Summary: Yes=3).
4. ELECTION OF VICE-CHAIRMAN TO THE STOREY COUNTY BOARD OF COUNTY COMMISSIONERS FOR A TERM OF ONE YEAR PURSUANT TO STOREY COUNTY CODE 2.04.008
Public Comment: None
Commissioner Gilman moved to ask Clay Mitchell to take the position of Vice-Chairman of the Storey County Board of County Commissioners. Chairman Carmona seconded the motion.
Vote: Motion carried by unanimous vote, (Summary: Yes=3).
5. DISCUSSION/FOR POSSIBLE ACTION: Consideration and possible approval of the Agenda for January 4, 2022.
County Manager Osborne explained there are no agenda items missing, although the #15 is missing.
Public Comment: None
Motion: I, Commissioner Mitchell, move to approve today’s Agenda as presented, Action: Approve, Moved by: Vice Chairman Mitchell, Seconded by: Commissioner Gilman, Vote: Motion carried by unanimous vote, (Summary: Yes=3)
6. CONSENT AGENDA
I. Consideration and possible approval of appointments to serve on state, county, and regional boards, and committees for the 2022 calendar year.
II. Consideration and possible approval of claims in the amount of $1,237,435.69.
III. Consideration and possible action, approval of business license first readings:
A. A Welding Service LLC - Out of County/5235 Canyon Crest Ct., Sparks, NV
B. Delta Electronics (Americas) Ltd. - Out of County/46101 Fremont Blvd., Fremont, CA
C. Horizon Equipment Repair LLC - Out of County/1606 Donna Way, Fernley, NV
D. Standard Rock Ltd. - Contractor/5401 Longley Ln. Ste. 12, Reno, NV
E. Structural System Solutions, Inc. - Professional/410 Mill St., Ste. 206 - Reno, NV
F. Ultimate Air, LLC - Contractor/1125 Dinah Dr., Fernley, NVG
IV. Consideration and possible approval of tax bill correction for Ray & Samantha Loper parcel 1-185-25.
V. Consideration and possible approval of tax bill correction for Dan Salzwimmer Mobile Home acct # MH003102.
VI. Consideration and possible approval of tax bill correction for Lima Land Co. 5-061-26.
Public Comment: None
Motion: I, Commissioner Mitchell, move to approve today's Consent Agenda as presented, Action: Approve, Moved by: Vice Chairman Mitchell, Seconded by: Commissioner Gilman, Vote: Motion carried by unanimous vote, (Summary: Yes=3)
7. PUBLIC COMMENT (No Action) None
8. DISCUSSION ONLY (No Action - No Public Comment): Committee/Staff Reports
Fire Chief Jeremy Loncar:
- Christmas tree recycling has started - January 3rd to 13th. Locations are Station 74 in Lockwood, Station 73 in Mark Twain, the Ice House in Virginia City, and the piles at Station 72. The resulting chip-pile can be used in landscaping, and can be picked up for free.
- They are down a significant number of staff due to illnesses and injuries. Some additional services will be a little limited over the next couple of weeks.
Commissioner Gilman wishes everyone who is sick well.
Mike Northan, on behalf of Public Works:
- With the snow the first priority is public roads and critical infrastructure.
- Some personnel are working 14-hour shifts, with 6 hours of down-time, and then back on the job.
- There was water main break in Silver City that stretched resources considerably. This has since been repaired.
- This weather puts stress on equipment. Around Christmas the vehicle repair shop was a little short-handed. Colt Dotson did a great job keeping plows running and repairing ambulances.
- In the next couple of days, some widening and stock-piled snow will be moved out of parking lots.
Mike Northan, Projects Manager:
- The only active project right now is the Courthouse pavers. The contract and scope of work is being put together. This will be presented to the County Manager for signatures and then proceeding.
Commissioner Gilman said he appreciates all the hard work by the entire team - it has been a real test. Thank you.
Vice Chairman Mitchell asked how dependent on weather is the Courthouse paver project.
Mr. Northan: A project like that can generally go on if (the weather) is not super miserable. Part of the project will involve moving of blocks into the street so we need to be sensitive regarding snow removal and events.
Becky Parsons, Communications Director:
- The State is updating its criminal history system within the next couple of years. They need to prepare for it now.
Lara Mather, Emergency Management Director:
- Covid update for the week ending December 29th: There were no new cases, keeping (the County) under the more lenient mask requirements for Storey County.
- Go to GetHealthyCarsonCity.org for up-to-date information regarding mask mandates, isolation, and all other Covid info. Lara is also happy to answer any questions.
- Reminder to Storey County residents: As we move through winter, sandbags and sand are available throughout the County. Call her office or cell phone for information.
- Emergency Management is monitoring the weather.
Honey Tapley, Community Relations:
- The work done by Public Works (Rudy, Jeff, and Tyler) getting them into their office and at the office is really appreciated. They also cleared out the "sandbag" sheds. They are busy and never come with a bad attitude. She knows all of Public Works has a hand in getting those three there to help out.
Deny Dotson, VCTC Director:
- Nothing new other than what they do every year - to have a big party all year. Staff is working on marketing plans, special event plans. since he's been here.
- The year finished the Christmas on a wonderful note. Probably the best Christmas season
- Virginia City probably had one of its best years in a long time.
Commissioner Gilman: Congratulations on a great job. A great year for the County under adverse circumstances. You and your crew have stood tall during very difficult times. Thank you.
Vice Chairman Mitchell echoed Commissioner Gilman's sentiments.
Chairman Carmona: Agrees. All things considered, with the rest of the country falling apart, tourism in Virginia City seemed to be "rocking and rolling". You guys have done a terrific job.
Comptroller Jennifer McCain: Reiterated what Ms. Tapley said. Thank you to Public Works for everything they have done - they have all gone above and beyond. Also, moving into budgets - all thoughts are welcome, from staff and public, on how they would like to see things changed or done differently.
Kathy Canfield, Senior Planner:
- Update: Work is being finished on the construction of the AT&T tower at Public Works. It was thought this would come on-line in January. She is trying to confirm this as it is getting close.
- A Planning Commission meeting is set for January 20th, 6PM, in the Courthouse and via zoom. Michael Visher, State of Nevada Division of Minerals, will be a guest speaker. He has a very interesting presentation about minerals and how they react with the world at large. And how our "little" county plays such a big part. Everyone is invited to attend.
Pete Renaud, Acting Community Development Director:
- A lot of applications still coming in, with a lot of work coming up this year. We're looking forward to a great year.
Chairman Carmona responded to Mr. Renaud: He has heard a lot of good things about your department and thinks you have been doing a stellar job - especially in the industrial park and within the communities. Kudos to you and your staff.
**Erik Schoen, Community Chest Director:**
- They are back to regular programming. All youth programs, before and after school programs, and early childhood education programs are fully open. The library is open.
**Stacey York, Senior Center Director:**
- Louise Pena, a co-worker and huge volunteer in Lockwood, recently passed away.
- A Covid vaccine clinic is being held today at the Virginia City Senior Center.
- The Virginia City Senior Center will hold a fundraiser for Valentine's Day flowers. Stop by the Senior Center to place orders.
Chairman Carmona: What is the cost of the flowers this year?
Ms. York: A dozen roses, wrapped - $35; a flower bouquet (not roses) $25. Call 775 847-0957.
**Austin Osborne, County Manager:**
- Linda Ritter has been working with the departments on the Strategic Plan. These documents should be ready in February or March for Board consideration. The elected/appointed offices will be done after that.
- Final touches are being put on the Capital Improvement Plan. This will be on the January 18th or February 1st meeting for consideration. The latest document is on the County website for public view and comment.
- He also thanks Public Works folks for snow removal - they're working 24/7 - 14 hour shifts per DOT. He has received almost zero public complaints. The public are very grateful for the work they are doing throughout the County. Even with challenges with equipment, they are getting through th.
- Along with Commissioner Carmona, he has communicated with Waste Management to develop a plan in the Highlands due to the amount of snow in that community and roads that are not accessible to large equipment. We are working with Waste Management on potential remediation for this. There are large snow containers near Station 72 - they are being used by people who currently are not able to get curbside service. A Town Hall will be held in the next couple of weeks to talk about a plan to "make it right" for those people that are paying for those services and who will continue to get service - just under some mitigation during these big snow events. Commissioner Carmona's support is appreciated.
- Welcome Paul Hoyle to our team. He looks forward to working with Paul at VCTC and with his hotel.
Chairman Carmona: The dumpsters were removed yesterday. He talked with Waste Management before this meeting - due to road conditions they are going to bring back three dumpsters this afternoon or tomorrow morning. He will go ahead and notify the Highlands community. Once there is a date for the Town Hall, he will publish it.
9. BOARD COMMENT (No Action - No Public Comment): None
Commissioner Gilman sadly noted the untimely passing of Louise Pena from Lockwood. She was a personal friend for many years. She was a tremendous "driver" for, and cared greatly for the County. She was very active and made a lot of trips to County Commission meetings. She will be sorely missed in his life and everything she did.
Vice Chairman Mitchell: Echoes Commissioner Gilman's sentiments. He wishes everyone a Happy New Year. Department heads and elected officials have done a great job highlighting some of the excellent work staff has done keeping things rolling during challenging weather conditions. Thanks for all the hard work. To the community, he has noticed a lot of people stepping up to help out. It makes a big difference. The County has limited resources, that's the way we want to keep it. When there are situations, we rely on the community to step up and help neighbors. Thank you everyone who has been helping with that. He is looking forward to the new year.
Chairman Carmona: The last one and a half, two years, has been trying for the County. This last month, a lot of residents have stepped up for folks in need. Staff and Department Heads have really pulled together. He would not want to live in any other county in Nevada. We're surrounded by people who care - a very special thing. To follow up about Louise Pena - she put a smile on his face. She will be missed by her community and those who knew her.
10. DISCUSSION ONLY (No Action): Consideration of letter of interest for appointment of planning commissioner to serve a term representing Precinct 2 Virginia City/Gold Hill District position on the Storey County Planning Commission.
Senior Planner Kathy Canfield: The Planning Commission advertised for a Planning Commissioner for Precinct Two. One application was received from Jim Hindle, who is currently on the Commission. He has done an excellent job - staff highly recommends his re-appointment.
Public Comment: None
Mr. Hindle said it has been his honor to serve on the Planning Commission for several years and looks forward to continuing if that is the (Commission's) choice. Thank you for consideration.
Commissioner Gilman: Jim stands very tall in Storey County. We welcome him on the Planning Commission.
Vice Chairman Mitchell wholeheartedly supports Mr. Hindle continuing in this role. He is the longest serving Planning Commissioner and provides stability, wisdom, and experience. He has a good perspective on things - a credit for the County.
Motion: I, Commissioner Mitchell, move to approve Jim Hindle to represent Precinct Two - Virginia City/Gold Hill District position on the Storey County Planning Commission, Action: Approve, Moved by: Vice Chairman Mitchell, Seconded by: Commissioner Gilman, Vote: Motion carried by unanimous vote, (Summary: Yes=3)
11. DISCUSSION/POSSIBLE ACTION: Preview, comment on, and possible direction to staff regarding the ClearGov Transparency webpage development.
Comptroller Jennifer McCain shared and reviewed Elko County’s website in order to preview how easy the Transparency center will be once it's on the (Storey County) website. Ms. McCain reviewed and explained the Storey County page with numbers from the first quarter ending September 30, 2021. The website shows revenues and expenses for each department as well as budgets. The public will be able to view this in different formats. Explanations can be provided by staff in the different categories of the budget. Ms. McCain reviewed how much detail can be seen.
Ms. McCain explained that census population and demographics are provided. Important information when it comes to budget. Comparisons to other areas in the State can be done. County debts are also included along with reasons for (the) debts.
They are working on including a "dashboard" for each department. This gives departments a chance to explain who they are and why they spend the money they do. This is an opportunity for departments to include their strategic plan.
A project page will be implemented at some point. This will include the CIP for each department. It will show a county-wide map of where taxpayer money is going. As example, it would show the Highlands Community Center and fire bay, and the Lockwood Senior Center. Pictures of construction could be included. It will also show what was budgeted for a project and when it is completed. It can be as detailed as we want.
Ms. McCain asked the Board for input - anything they would like to see changed or expanded. Or anything the Commission or Department Heads would like to be included on their dashboard or in their comment section.
Public Comment: None
Commissioner Gilman: Has been looking forward to being able to generate this kind of information for the County. A lot of the public will be excited to be able to find this information, which seems to be a lot. How will responsibility be delegated for the constant update of the entire package? Will it be the various departments, or is (the Comptroller) taking responsibility?
Ms. McCain: Currently she will be fully responsible until she is comfortable and ready to "push it out". This is why it will not be updated every month - just every quarter. There are time constraints to all of those things.
Commissioner Gilman: Commends (Ms. McCain) for that. In the future, the focus should be on how to expand and delegate this. It's tremendous information. Thank you for all the effort.
Vice Chairman Mitchell: This is great. It is certainly valuable to help people understand, and to have the transparency and availability. He hopes the project management piece will be used as another resource for people who want to be engaged. And that this will foster more input and participation in projects.
Chairman Carmona: Kudos to you and the team. I am excited and can't wait until this "goes live". There is so much information I look forward to sharing with constituents of the County. This does not tie-in to our current County software - right?
Ms. McCain: She sends ClearGov a report quarterly and they upload everything.
Chairman Carmona: OK, that's not too bad. This is part of the fee we pay ClearGov?
Ms. McCain: Correct.
Chairman Carmona: Very excited. What we're looking at now, is this the design?
Ms. McCain: We can change that. This is the generic, canned version. She will reach out to Deny Dotson to see what pictures they have that might work. She would also like a phone number along with other general information.
Chairman Carmona: Looking forward to "launch" date. Learning a new system is not easy. Great job to you and your staff for getting this rolling.
**Motion:** I, Commissioner Mitchell, move to approve to direct staff to move forward with the ClearGov Transparency website, **Action:** Approve, **Moved by:** Vice Chairman Mitchell, **Seconded by:** Commissioner Gilman, **Vote:** Motion carried by unanimous vote, (Summary: Yes=3)
12. **DISCUSSION/POSSIBLE ACTION:** Consideration and possible approval of the Community Project Grant application the Comstock Cemetery Foundation in the amount of $8,800 for the installation of a french-drain to control erosion caused by water runoff in the historic carriage way which serves as a walking path.
Community Relations Director Lara Mather explained the Comstock Cemetery Foundation submitted an application for $8,800 towards the drain installation. A tour of the area showed a substantial issue. It is one of the main paths in the cemetery used by citizens and visitors. The current culvert and drainage goes through this path. This is a worthwhile project and a benefit to the community to approve this grant.
Public Comment: None
Commissioner Gilman: Agrees with Ms. Mather. This project is well worthwhile.
Vice Chairman Mitchell: He is also supportive. A concern was would this create on-going maintenance. It appears to be minimal if anything. There are similar installations that have not required virtually any maintenance. This is a good use of grant money and it would not be a burden.
Ms. Mather added: This is partial coverage of the cost. The Comstock Cemetery Foundation has secured in-kind donations, as well as other funding.
Motion: I, Commissioner Mitchell, move to approve the Community Project Grant application by the Comstock Cemetery Foundation in the amount of $8,800 for the installation of a french-drain to control erosion caused by water runoff in the historic carriage way which serves as a walking path,
Action: Approve, Moved by: Vice Chairman Mitchell, Seconded by: Commissioner Gilman,
Vote: Motion carried by unanimous vote, (Summary: Yes=3)
13. DISCUSSION/POSSIBLE ACTION: Consideration and possible approval to proclaim January 2022, "National Radon Action Month" in Storey County.
Honey Tapley, Community Relations: January is National Radon Action Month, this presentation is to raise awareness about radon. Radon is a natural occurring radioactive gas - the primary cause of lung cancer among non-smokers, the leading cause for smokers. Radon is present at elevated concentrations in one out of four tested homes in Nevada. Winter is the best time for testing. UNR Extension offers free test kits during January and February, and are available at 4955 Energy Way, Reno - 8AM to 5PM, Monday through Friday. Test kits can be ordered on-line at Extension.UNR.edu/radon
Public Comment: None
Ms. Tapley read the Proclamation:
Whereas, many Storey County residents may not be informed about radon, yet for the safety and health of their families, need to know that radon is a colorless, odorless, naturally occurring radioactive gas and is the leading cause of lung cancer among nonsmokers, the second leading cause of lung cancer in smokers, and
Whereas, the Environmental Protection Agency estimates 21,000 people in the U.S. die each year from lung cancer caused by indoor radon exposure; and radon kills more people than secondhand smoke, drunk driving, falls in the home, drowning, or home fires; and
Whereas, a home may have elevated levels of radon, even if neighboring homes do not; and living in a home with an average radon level of 4 picocuries per liter of air per liter of air poses a similar risk of developing lung cancer as smoking half a pack of cigarettes a day; and
Whereas, testing is the only way to know if a home has an elevated radon level, and testing is easy and inexpensive, and when identified, homes can be fixed; and
Whereas, University of Nevada Cooperative Extension, the Nevada Division of Public and Behavioral Health, and the U.S. Environmental Protection Agency support efforts to encourage all Storey County residents to test their homes for radon, mitigate elevated levels of radon, and have new homes built with radon-reducing materials and features.
Now, Therefore, we, the Storey County Board of Commissioners, do hereby proclaim January 2022, as "National Radon Action Month" in Storey County Nevada.
Motion: I, Commissioner Mitchell, move to approve the proclamation of January 2022 as "National Radon Action Month" in Storey County, Action: Approve, Moved by: Vice Chairman Mitchell, Seconded by: Commissioner Gilman, Vote: Motion carried by unanimous vote, (Summary: Yes=3)
14. DISCUSSION/FOR POSSIBLE ACTION: Consideration and possible approval and authorization of the County Manager to sign an extension to an existing contract between Storey County and Silver State Government Relations in the amount of $4,000 per month for lobbying and government affairs services and guidance through June 30, 2022, of the interim legislative session.
County Manager Osborne: The interim Legislative session regarding Innovation Zones is over. Discussions are on-going in the region with revenue sharing, impact fees, regional impacts, and all of the things embedded in SCR 11 and AB 90. Conservation about AB 240 from 2019 is still active regarding regional impacts to northwestern Nevada.
Work continues on the "white paper" that will ultimately show the positive, and other impacts in northwestern Nevada, from activity occurring in Storey County as well as other counties. As long as conversations continue in the Legislature and with regional leaders, we need to continue to have competent representation in these areas - which we do with the Walker Group. In this case, with the Silver State Government Relations group to work with us and help get us to leadership, Legislators, Senators, and others in the region, to help promote what we're trying to accomplish during the Interim Session. And to prepare for the upcoming Legislative session.
Mr. Osborne recommends continuing to retain Silver State Government Relations for these purposes. The amount per month does not change from the current contract, and was anticipated and budgeted for.
Public Comment: None
Commissioner Gilman: The issues surrounding this request have far-reaching consequences and probability/possibility of tremendous impacts on the County. It is one of the more important issues to be focused on in the next six months. We need the help of a group like Silver State and he supports continuing this contract.
Vice Chairman Mitchell: They have done excellent work on things worked on together. He agrees with Commissioner Gilman that the conversations and issues have substantial impact on the County. It makes sense to keep them active in this regard.
Chairman Carmona: Agrees. Storey County is growing every year - unfortunately this is the cost of doing business. Many things are changing on the State level that impact us. Having folks look out for us, and our constituents, is good.
Vice Chairman Mitchell: He would like to put on the record wording changes and incorporate them by reference.
Deputy District Attorney Loomis agrees this is the right way to do this.
Vice Chairman Mitchell: Specific changes recommended, and that will be included in the motion, are:
- First paragraph: Identifying Silver State Government Relations as an LLC, a Nevada Limited Liability Company.
• That both Silver State Government Relations and the County are sometimes referred to in this agreement as party or parties. Clarifying that's what that term means.
• Subsection II of the Agreement about notices: Specifically lists where notices should be sent and lists the addresses for Silver State Government Relations - move that from the first paragraph down, and that's 204 No. Minnesota Street, Suite 2A, Carson City, NV 89703.
• For the County, if a notice needs to be sent: County Manager, P. O. Drawer D, Virginia City, NV 89440.
**Motion:** I, Commissioner Mitchell, move to approve to authorize the County Manager to sign an extension to the existing contract between Storey County and Silver State Government Relations, in the amount of $4,000 per month for lobbying and government affairs services and guidance through June 30, 2022 in the interim Legislative Session and to incorporate the referenced changes into the agreement, **Action:** Approve, **Moved by:** Vice Chairman Mitchell, **Seconded by:** Commissioner Gilman, **Vote:** Motion carried by unanimous vote, (Summary: Yes=3)
16. **DISCUSSION/POSSIBLE ACTION:** Acknowledgement of the resignation of Vanessa Stephens as Storey County Clerk/Treasurer and direction from Board to recruit a qualified individual for appointment effective February 25, 2022.
Tobi Whitten, Human Resources Director: This item requests acknowledgement of Ms. Stephens' resignation as Storey County Clerk/Treasurer, and recognition that this position will be open on the effective date of February 25, 2022. Also, looking for direction from the Board as to how to proceed with recruiting for this position. A draft of the posting to recruit for this position is in the packet. Any changes to this draft, or suggestions, would be appreciated.
Public Comment:
Jennifer McCain, Comptroller: Thanked Ms. Stephens for her time and service to Storey County. Their offices work closely together. The person filling her shoes has a steep hill to climb.
Chairman Carmona echoed her sentiments. There is a wealth of knowledge that will be missed.
Commissioner Gilman: Ms. Stephens has been there for him since "day one" and has been a tremendous support. She will be sorely missed.
Michael Johnson: Noted the application states all applicants must reside within Storey County. He agrees but suggests there be a time limit - maybe within three or six months - that way you could have people outside of Storey County apply for the job. Giving them time to move to this area and providing an opportunity to have more people to look at.
Vice Chairman Mitchell: Because this is an elected position, there is a requirement the person be a resident and registered voter in the County for at least 30 days immediately preceding close of the filings. This position is up for re-election this November. Filing is in March. This appointment is to the end of the year, but this person could run to continue in the position. If this is considered a partisan position, maybe it should be noted in the posting that we would be required to appoint someone from the same party as the person resigning. He believes this is how the law reads - this should be clear up-front to avoid confusion. This appointment would be just before the time of filing opens-up for the position. It's an interesting juxtaposition of those rights - in a very close time frame.
Chairman Carmona: Indeed! Seeing that not accepting is not an option, he has nothing else to say. Thank you to Vanessa for many years of service.
Vice Chairman Mitchell indicated he is ready to make a motion as long as it includes the appointment should be someone from the same party.
Deputy District Attorney Loomis: It may be that (Vice Chairman Mitchell) is correct - he would like to confirm that. He recommended if (the motion) stated that the person appointed is from the same party, that it be subject to confirmation by the District Attorney's Office.
Chairman Carmona: That's fine.
Mr. Osborne: This is mentioned in the recommended motion, but per Commissioner Mitchell's recommendation, this can be changed to explain a bit more. Also follow Mr. Loomis' suggestion on how it is worded and how it is applicable.
Vice Chairman Mitchell: He saw that but is not sure it is to his liking and not clear enough to this specific issue. It specifically says you have to be a registered party/member of the party you claim to represent. Maybe by reference that incorporates it. He does not want to set an expectation by the public that's not accurate. Meaning we have the ability to consider candidates that we might not. He does want people to be disappointed thinking that we have more latitude than that. We want to consider anyone who meets the qualifications. But if we're limited, he wants to set that up-front. He is happy to do that subject to confirmation by the D.A.'s Office.
Chairman Carmona: Do we want to look at what Mr. Johnson talked about? Setting a timeframe for moving into the County? Assuming that's not already covered.
Vice Chairman Mitchell: It is proposed to close the filing for the position January 19th. It would be considered at the February 4th meeting....
Mr. Osborne: The letter shows the potential departure of the current Clerk/Treasurer would be February 25th. We will have to look at this conversation on how it relates and work with Vanessa on that. If that does happen and the person is a Storey County resident for 30 days, and registers in the right party - if required which we believe it is - that person would be eligible. A motion to direct staff would be accepted, also to make sure Keith Loomis is okay with being a registered party of the current person. Also working with Ms. Stephens and Deputy D.A. Loomis to make sure this 30-day thing - that the person that might fit within that window - is eligible to be part of this. There are some other moving parts involved. A motion to that effect would be accepted so we provide maximum and correct opportunity to those who might be eligible now, or at the time the departure occurs.
Vice Chairman Mitchell: The proposed posting makes clear the residency requirement is 30 days immediately preceding the close of declaration of candidacy filing. The plan is to close January 19th - we are pretty locked in with a residency requirement. He does not know if the Commissioners have the latitude to set a different residency requirement.
Mr. Osborne: A suggested motion is to read as is and allow HR staff to post, working with Vanessa and her departure, not necessarily follow the exact posting in the draft. Conversations are on-going
regarding her departure date, how it might line up with Commission meetings, where an appointment might occur. Direction would be to accept the resignation, direct staff to follow NRS's, and work with Deputy D.A. Loomis in recruiting for interim Clerk/Treasurer replacement. This will allow flexibility administratively, figure out when the posting occurs and line it up with a Commission meeting for an appointment.
**Motion:** I, Commissioner Mitchell, move to acknowledge the upcoming resignation of Vanessa Stephens as Storey County Clerk-Treasurer as presented to the Board on December 21, 2021 and to direct staff to post a notice of vacancy of the position effective February 25, 2022 as per the letter of resignation, further I move to make that posting subject to approval by the D.A.'s Office and to authorize staff and the H.R. office to modify the posting to assure compliance with NRS, and other applicable laws, **Action:** Approve, **Moved by:** Vice Chairman Mitchell,
Mr. Osborne requested the motion be modified to remove the date of February 25, 2022 in case there needs to be flexibility in the date.
Vice Chairman Mitchell said he is fine with removing that date.
**Seconded by:** Commissioner Gilman, **Vote:** Motion carried by unanimous vote, (Summary: Yes=3)
17. DISCUSSION/POSSIBLE ACTION: Consideration and possible action, Business License Second Readings:
A. Accent Counter Tops - Contractor/705 Trademark Dr. Ste. 104 - Reno, NV
B. Automatic Distributors - General/3300 Waltham Way Ste. 207 - Sparks, NV
C. Centimark Corporation - Contractor/2 Grandview Cir. - Canonsburg, PA
D. Kenji's - General/1 Electric Ave. - Sparks, NV
E. NH Research, LLC - Out of County/16601 Hale Ave. - Irvine, CA
F. Stord Warehousing LLC - General/2777 USA Parkway, Ste. 15 - McCarran, NV
G. Stord Warehousing LLC - General/425 E. Sydney Dr., Ste.120 - McCarran, NV
Public Comment: None
**Motion:** I, Commissioner Mitchell, move approve to approve second reading of business licenses A. through G., **Action:** Approve, **Moved by:** Vice Chairman Mitchell, **Seconded by:** Commissioner Gilman, **Vote:** Motion carried by unanimous vote, (Summary: Yes=3)
18. PUBLIC COMMENT (No Action) None
19. ADJOURNMENT of all active and recessed Boards on the Agenda
Chairman Carmona adjourned the meeting at 11:38 AM
Respectfully submitted,
By: [Signature]
Vanessa Stephens Clerk-Treasurer
Meeting date: 2/15/2022 10:00 AM - BOCC Meeting
Agenda Item Type: Consent Agenda
- **Title:** Consideration and possible approval of claims in the amount of $889,981.16.
- **Recommended motion:** Approval of claims as submitted
- **Prepared by:** Cory Y Wood
Department:
Contact Number: 7758471133
- **Staff Summary:** Please find attached claims
- **Supporting Materials:** See attached
- **Fiscal Impact:** N/A
- **Legal review required:** False
- **Reviewed by:**
___ Department Head
___ County Manager
Department Name:
Other Agency Review:
- **Board Action:**
[ ] Approved
[ ] Denied
[ ] Approved with Modification
[ ] Continued
Vendor Number: 405456
Vendor Name: PUBLIC EMPLOYEES RETIREMENT
Bank Code: AP Bank-AP Bank
Payment Date: 01/07/2022
Payment Type: EFT
Discount Amount: 0.00
Payment Amount: 256.42
Check Number: 10257
### Bank Code AP Bank Summary
| Payment Type | Payable Count | Payment Count | Discount | Payment |
|------------------|---------------|---------------|----------|---------|
| Regular Checks | 0 | 0 | 0.00 | 0.00 |
| Manual Checks | 0 | 0 | 0.00 | 0.00 |
| Voided Checks | 0 | 0 | 0.00 | 0.00 |
| Bank Drafts | 0 | 0 | 0.00 | 0.00 |
| EFT's | 1 | 1 | 0.00 | 256.42 |
Total: 1 1 0.00 256.42
Approved by the Storey County Board of Commissioners:
Chairman
Comptroller
2-3-22
Commissioner
Treasurer
| Fund | Name | Period | Amount |
|------|--------------------|--------|--------|
| 999 | Pooled Cash Account| 1/2022 | 256.42 |
| | | | 256.42 |
## Canceled Payables
| Vendor Number | Vendor Name | Total Vendor Amount |
|---------------|----------------------|---------------------|
| 406409 | INFINISOURCE INC. | -1,845.00 |
| Payment Type | Payment Number | Original Payment Date | Reversal Date | Cancel Date | Payment Amount |
|--------------|----------------|-----------------------|---------------|-------------|----------------|
| Check | 105034 | 11/05/2021 | 02/01/2022 | 02/01/2022 | -1,845.00 |
| Payable Number: | Description | Payable Date | Due Date | Payable Amount |
|-----------------|------------------------------|--------------|----------|----------------|
| 4671-4168-5214-R | Indigent Medical - EA | 11/05/2021 | 11/05/2021 | 1,845.00 |
---
Approved by the Storey County Board of Commissioners:
- **Chairman**
- Signature
- Comptroller
- Date: 2-3-22
- **Commissioner**
- Signature
- Date
- **Commissioner**
- Signature
- Date
- **Treasurer**
- Signature
- Date
Payroll Check Register
Report Summary
Pay Period: 1/17/2022-1/30/2022
Packet: PRPKT01325 - 2022-02-04 Payroll LS
Payroll Set: Storey County - 01
| Type | Count | Amount |
|---------------------|-------|----------|
| Regular Checks | 1 | 826.89 |
| Manual Checks | 0 | 0.00 |
| Reversals | 0 | 0.00 |
| Voided Checks | 0 | 0.00 |
| Direct Deposits | 173 | 370,098.04 |
| Total | 174 | 370,924.93 |
Approved by the Storey County Board of Commissioners:
Chairman
[Signature]
Comptroller
Commissioner
[Signature]
Date
Commissioner
[Signature]
Date
Treasurer
[Signature]
Date
| Vendor Number | Vendor Name | Payment Date | Payment Type | Discount Amount | Payment Amount | Number |
|--------------|------------------------------------|--------------|--------------|-----------------|----------------|--------|
| 404813 | ACTN | 01/28/2022 | Regular | 0.00 | 40.00 | 105705 |
| 101589 | AIRGAS NCN INC | 01/28/2022 | Regular | 0.00 | 418.56 | 105706 |
| 400481 | ALLISON, MACKENZIE, LTD | 01/28/2022 | Regular | 0.00 | 529.04 | 105707 |
| 100135 | ALSCO INC | 01/28/2022 | Regular | 0.00 | 110.50 | 105708 |
| 404394 | AMERICAN TOWER INVESTEMENTS | 01/28/2022 | Regular | 0.00 | 457.86 | 105709 |
| 403651 | ARC HEALTH AND WELLNESS | 01/28/2022 | Regular | 0.00 | 3,694.00 | 105710 |
| 404634 | BRANDON, FUSSELL D | 01/28/2022 | Regular | 0.00 | 60.00 | 105711 |
| 405077 | BRIAN BILLS | 01/28/2022 | Regular | 0.00 | 30.00 | 105712 |
| 100488 | BULBMAN | 01/28/2022 | Regular | 0.00 | 114.84 | 105713 |
| 403671 | BURRELL, SCOTT LEWIS | 01/28/2022 | Regular | 0.00 | 88.75 | 105714 |
| 406517 | BYERS, MARCUS OTHEA | 01/28/2022 | Regular | 0.00 | 100.00 | 105715 |
| 99763 | CANYON GENERAL IMPROVEMENT I | 01/28/2022 | Regular | 0.00 | 1,743.70 | 105716 |
| 405067 | CARBIENER, ALAN | 01/28/2022 | Regular | 0.00 | 64.95 | 105717 |
| 404216 | CARSON VALLEY OIL CO INC | 01/28/2022 | Regular | 0.00 | 4,964.19 | 105718 |
| 406086 | CFR AUTO LLC | 01/28/2022 | Regular | 0.00 | 742.27 | 105719 |
| 405519 | CIGNA HEALTH & LIFE INSURANCE CO | 01/28/2022 | Regular | 0.00 | 20,805.20 | 105720 |
| 405060 | CLEAR CHANNEL OUTDOOR | 01/28/2022 | Regular | 0.00 | 75.00 | 105721 |
| 405134 | CMC TIRE INC | 01/28/2022 | Regular | 0.00 | 2,708.80 | 105722 |
| 100639 | CMI INC | 01/28/2022 | Regular | 0.00 | 154.16 | 105723 |
| 406529 | COIT SERVICES OF RENO LLC | 01/28/2022 | Regular | 0.00 | 3,805.00 | 105724 |
| 403822 | COLLECTION SERVICE OF NEV | 01/28/2022 | Regular | 0.00 | 49.98 | 105725 |
| 403327 | COMBS, GRANT L | 01/28/2022 | Regular | 0.00 | 132.00 | 105726 |
| 100655 | COMMUNITY CHEST INC | 01/28/2022 | Regular | 0.00 | 13,413.75 | 105727 |
| 99652 | COMSTOCK CHRONICLE (VC) | 01/28/2022 | Regular | 0.00 | 100.00 | 105728 |
| 406406 | COMSTOCK PROPANE | 01/28/2022 | Regular | 0.00 | 9,111.90 | 105729 |
| 404684 | DASH MEDICAL GLOIEWS INC | 01/28/2022 | Regular | 0.00 | 723.60 | 105730 |
| 405128 | DEVNET, INC. | 01/28/2022 | Regular | 0.00 | 5,160.50 | 105731 |
| 405648 | DIANNE S. DRINKWATER PC | 01/28/2022 | Regular | 0.00 | 700.00 | 105732 |
| 404124 | DRIVELINE SERVICE INC REN | 01/28/2022 | Regular | 0.00 | 713.50 | 105733 |
| 404547 | ELLIOTT AUTO SUPPLY INC | 01/28/2022 | Regular | 0.00 | 68.92 | 105734 |
| 403216 | FARR WEST ENGINEERING | 01/28/2022 | Regular | 0.00 | 19,147.01 | 105735 |
| 404509 | FASTENAL COMPANY | 01/28/2022 | Regular | 0.00 | 961.34 | 105736 |
| 405264 | FIDELITY SEC LIFE INS CO | 01/28/2022 | Regular | 0.00 | 252.18 | 105737 |
| 406497 | FINDLEY, BREND A K | 01/28/2022 | Regular | 0.00 | 100.00 | 105738 |
| 404117 | FLEET HEATING & AIR INCOR | 01/28/2022 | Regular | 0.00 | 4,597.15 | 105739 |
| 405969 | FLEETPRIDE, INC | 01/28/2022 | Regular | 0.00 | 211.91 | 105740 |
| 405046 | GLENN, PHILLIP | 01/28/2022 | Regular | 0.00 | 150.00 | 105741 |
| 406526 | GOODMAN, CADE RICHARD | 01/28/2022 | Regular | 0.00 | 25.00 | 105742 |
| 101899 | GRAINGER | 01/28/2022 | Regular | 0.00 | 72.10 | 105743 |
| 103470 | GREAT BASIN TERMITE & PES | 01/28/2022 | Regular | 0.00 | 125.00 | 105744 |
| 404778 | HAT, LTD | 01/28/2022 | Regular | 0.00 | 437.41 | 105745 |
| 102983 | HD SUPPLY FACIL MAINT LTD | 01/28/2022 | Regular | 0.00 | 141.57 | 105746 |
| 403040 | HENRY SCHEIN, INC. | 01/28/2022 | Regular | 0.00 | 404.51 | 105747 |
| 403753 | HOT SPOT BROADBAND INC | 01/28/2022 | Regular | 0.00 | 169.00 | 105748 |
| 100978 | INTERSTATE OIL CO | 01/28/2022 | Regular | 0.00 | 589.52 | 105749 |
| 405726 | IT1 CONSULTING, LLC | 01/28/2022 | Regular | 0.00 | 3,570.69 | 105750 |
| 403834 | IT1 SOURCE LLC | 01/28/2022 | Regular | 0.00 | 5,171.38 | 105751 |
| 406428 | JOHN CRAIG, PAM TRUST, DEBRA CI | 01/28/2022 | Regular | 0.00 | 37.67 | 105752 |
| 406490 | JOSE A AGUIRRE MD PC | 01/28/2022 | Regular | 0.00 | 1,845.00 | 105753 |
| 405263 | KANSAS CITY LIFE INS CO | 01/28/2022 | Regular | 0.00 | 1,161.84 | 105754 |
| 406528 | KILIAN, NANCY LEE | 01/28/2022 | Regular | 0.00 | 25.00 | 105755 |
| 103119 | L A PERKS PLUMBING & HEATING IN | 01/28/2022 | Regular | 0.00 | 287.50 | 105756 |
| 101040 | L N CURTIS & SONS | 01/28/2022 | Regular | 0.00 | 229.55 | 105757 |
| 404043 | LANDIS, KOP, CARLEVATO, LOOS & | 01/28/2022 | Regular | 0.00 | 23.00 | 105758 |
| Vendor Number | Vendor Name | Payment Date | Payment Type | Discount Amount | Payment Amount | Number |
|--------------|-------------------------------------------------|--------------|----------------|-----------------|----------------|--------|
| 101030 | LIFE-ASSIST INC | 01/28/2022 | Regular | 0.00 | 180.00 | 105759 |
| 404849 | LINDE GAS & EQUIPMENT INC. | 01/28/2022 | Regular | 0.00 | 115.92 | 105760 |
| 405780 | LUKE BUSBY, LTD | 01/28/2022 | Regular | 0.00 | 820.00 | 105761 |
| 405548 | LUMOS & ASSOCIATES, INC | 01/28/2022 | Regular | 0.00 | 6,586.50 | 105762 |
| 100471 | MOUND HOUSE TRUE VALUE | 01/28/2022 | Regular | 0.00 | 570.96 | 105763 |
| 404565 | MPS DENTAL LLC | 01/28/2022 | Regular | 0.00 | 1,038.00 | 105764 |
| 101225 | NEV DIV OF FORESTRY | 01/28/2022 | Regular | 0.00 | 9,075.75 | 105765 |
| 101218 | NEV DIV OF HEALTH BUREAU OF SA | 01/28/2022 | Regular | 0.00 | 120.00 | 105766 |
| 404194 | NEVADA RUBBER STAMP CO IN | 01/28/2022 | Regular | 0.00 | 42.00 | 105767 |
| 101266 | NEVADA TAXPAYERS ASSN | 01/28/2022 | Regular | 0.00 | 550.00 | 105768 |
| 402926 | OFFSITE DATA DEPOT, LLC | 01/28/2022 | Regular | 0.00 | 279.79 | 105769 |
| 404118 | OPTUMINSIGHT INC | 01/28/2022 | Regular | 0.00 | 270.00 | 105770 |
| 405127 | O'REILLY AUTO ENTERPRISES LLC | 01/28/2022 | Regular | 0.00 | 955.47 | 105771 |
| 404556 | OUTFRONT MEDIA LLC | 01/28/2022 | Regular | 0.00 | 1,380.00 | 105772 |
| 403895 | PETRINI, ANGELO D | 01/28/2022 | Regular | 0.00 | 28.00 | 105773 |
| 406527 | PRICE, JESSICA JANE | 01/28/2022 | Regular | 0.00 | 25.00 | 105774 |
| 402937 | RAY MORGAN CO INC (CA) | 01/28/2022 | Regular | 0.00 | 459.43 | 105775 |
| 103307 | RECORDERS ASSOC OF NEV | 01/28/2022 | Regular | 0.00 | 50.00 | 105776 |
| 404863 | REFUSE, INC | 01/28/2022 | Regular | 0.00 | 213.99 | 105777 |
| 103273 | REMSA EDUCATION DEPT | 01/28/2022 | Regular | 0.00 | 528.00 | 105778 |
| 405081 | SHERMARK DISTRIBUTORS INC | 01/28/2022 | Regular | 0.00 | 165.00 | 105779 |
| 404187 | SHOAF, BRIAN ALLEN | 01/28/2022 | Regular | 0.00 | 6.00 | 105780 |
| 102462 | SIFRA ENVIRONMENTAL MONITORING | 01/28/2022 | Regular | 0.00 | 786.00 | 105781 |
| 101630 | SIERRA PACIFIC POWER CO | 01/28/2022 | Regular | 0.00 | 15,869.21 | 105782 |
| **Void** | | 01/28/2022 | Regular | 0.00 | 0.00 | 105783 |
| 403234 | SPALLONE, DOMINIC J III | 01/28/2022 | Regular | 0.00 | 665.84 | 105784 |
| 405695 | STANDLEY, BRUCE | 01/28/2022 | Regular | 0.00 | 200.00 | 105785 |
| 405475 | STAPLES CONTRACT & COMMERCIAL | 01/28/2022 | Regular | 0.00 | 25.87 | 105786 |
| 406494 | STRALLA, ROY C | 01/28/2022 | Regular | 0.00 | 3,125.00 | 105787 |
| 403892 | SUN PEAK ENTERPRISES | 01/28/2022 | Regular | 0.00 | 385.00 | 105788 |
| 405244 | SUTTON HAGUE LAW CORP | 01/28/2022 | Regular | 0.00 | 1,235.00 | 105789 |
| 405124 | TERRY, SHIRLEY | 01/28/2022 | Regular | 0.00 | 308.00 | 105790 |
| 405185 | THATCHER COMPANY | 01/28/2022 | Regular | 0.00 | 320.00 | 105791 |
| 404615 | THE ANTOS AGENCY | 01/28/2022 | Regular | 0.00 | 1,200.00 | 105792 |
| 404030 | TIJSSELING, DICK G | 01/28/2022 | Regular | 0.00 | 480.00 | 105793 |
| 405093 | TONICA LATHROP | 01/28/2022 | Regular | 0.00 | 300.00 | 105794 |
| 102962 | UNIFORMITY OF NEVADA LLC | 01/28/2022 | Regular | 0.00 | 70.00 | 105795 |
| 405729 | VERITEQUE USA, INC | 01/28/2022 | Regular | 0.00 | 137.50 | 105796 |
| 403268 | VERIZON COMMUNICATIONS INC | 01/28/2022 | Regular | 0.00 | 2,613.11 | 105797 |
| 405298 | VOTEC CORPORATION | 01/28/2022 | Regular | 0.00 | 5,975.44 | 105798 |
| 101890 | WASHOE CO CORONER | 01/28/2022 | Regular | 0.00 | 13,005.59 | 105799 |
| 101809 | WEDCO INC | 01/28/2022 | Regular | 0.00 | 155.32 | 105800 |
| 103237 | WESTERN ENVIRONMENTAL LAB | 01/28/2022 | Regular | 0.00 | 1,199.00 | 105801 |
| 405466 | ZOLL MEDICAL CORPORATION | 01/28/2022 | Regular | 0.00 | 148.68 | 105802 |
| 404295 | WELLS ONE COMMERCIAL CARD | 01/28/2022 | Bank Draft | 0.00 | 23,958.53 | DFT0001013 |
**Bank Code AP Bank Summary**
| Payment Type | Payable Count | Payment Count | Discount | Payment |
|----------------|---------------|---------------|----------|------------|
| Regular Checks | 154 | 97 | 0.00 | 182,280.67 |
| Manual Checks | 0 | 0 | 0.00 | 0.00 |
| Voided Checks | 0 | 1 | 0.00 | 0.00 |
| Bank Drafts | 28 | 1 | 0.00 | 23,958.53 |
| EFT's | 0 | 0 | 0.00 | 0.00 |
Total: 182 99 0.00 206,239.20
Approved by the Storey County Board of Commissioners:
Chairman
Comptroller
Date
Commissioner
Date
Treasurer
Date
| Fund | Name | Period | Amount |
|------|--------------------|--------|----------|
| 999 | Pooled Cash Account| 1/2022 | 206,239.20 |
Total: 206,239.20
Vendor Number: 405456
Vendor Name: PUBLIC EMPLOYEES RETIREMENT
Bank Code: AP Bank-AP Bank
Payment Date: 02/04/2022
Payment Type: EFT
Discount Amount: 0.00
Payment Amount: 56,316.89
Check Number: 10265
### Bank Code AP Bank Summary
| Payment Type | Payable Count | Payment Count | Discount | Payment |
|------------------|---------------|---------------|----------|---------|
| Regular Checks | 0 | 0 | 0.00 | 0.00 |
| Manual Checks | 0 | 0 | 0.00 | 0.00 |
| Voided Checks | 0 | 0 | 0.00 | 0.00 |
| Bank Drafts | 0 | 0 | 0.00 | 0.00 |
| EFT's | 2 | 1 | 0.00 | 56,316.89 |
Total: 2 1 0.00 56,316.89
Approved by the Storey County Board of Commissioners:
Chairman
Comptroller
Commissioner
Date: 23-22
Treasurer
Date
| Fund | Name | Period | Amount |
|------|--------------------|--------|----------|
| 999 | Pooled Cash Account| 2/2022 | 56,316.89|
| Vendor Number | Vendor Name | Payment Date | Payment Type | Discount Amount | Payment Amount | Number |
|--------------|-------------------------------------------------|--------------|--------------|-----------------|----------------|--------|
| 405456 | PUBLIC EMPLOYEES RETIREMENT | 02/04/2022 | EFT | 0.00 | 89,047.29 | 10263 |
| 404639 | VOYA RETIREMENT INS | 02/04/2022 | EFT | 0.00 | 11,671.94 | 10264 |
| 300003 | AFLAC | 02/04/2022 | Regular | 0.00 | 1,206.73 | 105803 |
| 300008 | AFSCME LOCAL4041 | 02/04/2022 | Regular | 0.00 | 594.51 | 105804 |
| 405610 | CALIFORNIA STATE DISBURSEMENT | 02/04/2022 | Regular | 0.00 | 658.04 | 105805 |
| 405519 | CIGNA HEALTH & LIFE INSURANCE C | 02/04/2022 | Regular | 0.00 | 129,494.59 | 105806 |
| 300001 | COLONIAL LIFE & ACCIDENT | 02/04/2022 | Regular | 0.00 | 103.38 | 105807 |
| 404704 | DVM INSURANCE AGENCY | 02/04/2022 | Regular | 0.00 | 109.42 | 105808 |
| 405264 | FIDELITY SEC LIFE INS CO | 02/04/2022 | Regular | 0.00 | 1,390.47 | 105809 |
| 405263 | KANSAS CITY LIFE INS CO | 02/04/2022 | Regular | 0.00 | 7,646.23 | 105810 |
| | **Void** | 02/04/2022 | Regular | 0.00 | 0.00 | 105811 |
| 300011 | NEVADA STATE TREASURER | 02/04/2022 | Regular | 0.00 | 2.00 | 105812 |
| 103233 | PUBLIC EMPLY RETIREMENT SYSTEM | 02/04/2022 | Regular | 0.00 | 388.00 | 105813 |
| 300010 | STATE COLLECTION & DISBURSEMEI | 02/04/2022 | Regular | 0.00 | 96.54 | 105814 |
| 300006 | STOREY CO FIRE FIGHTERS ASSOC | 02/04/2022 | Regular | 0.00 | 1,560.00 | 105815 |
| 300005 | WASHINGTON NATIONAL INS | 02/04/2022 | Regular | 0.00 | 808.53 | 105816 |
| 300002 | WESTERN INSURANCE SPECIALTIES | 02/04/2022 | Regular | 0.00 | 335.39 | 105817 |
**Bank Code AP Bank Summary**
| Payment Type | Payable Count | Payment Count | Discount | Payment |
|-----------------|---------------|---------------|----------|-----------|
| Regular Checks | 26 | 14 | 0.00 | 144,393.83|
| Manual Checks | 0 | 0 | 0.00 | 0.00 |
| Voided Checks | 0 | 1 | 0.00 | 0.00 |
| Bank Drafts | 0 | 0 | 0.00 | 0.00 |
| EFT's | 5 | 2 | 0.00 | 100,719.23|
Total: 31 17 0.00 245,113.06
Approved by the Storey County Board of Commissioners:
Chairman
Comptroller
Date: 2-3-22
Commissioner
Treasurer
Date
## Fund Summary
| Fund | Name | Period | Amount |
|------|--------------------|--------|----------|
| 999 | Pooled Cash Account| 2/2022 | 245,113.06 |
Total: 245,113.06
Meeting date: 2/15/2022 10:00 AM - BOCC Meeting
Estimate of Time Required: 0-5
Agenda Item Type: Consent Agenda
Title: Consideration and possible action, approval of business license first readings:
A. Atlas Copco Compressors LLC – Out of County / 6 Century Dr. Ste. 310 ~ Parsippany, NJ
B. Atlas Mechanical, Inc. – Contractor / 8260 Camino Santa Fe Ste. B ~ San Diego, CA
C. Coastal Steel Structures – Out of County / 631 Lucerne Ave. ~ Lake Worth, FL
D. JLH Inc. – General / 2777 USA Parkway Ste. 107 ~ McCarran, NV
E. Nice Cream Nitro LLC – Food Truck / 2301 Condilla Ct. ~ Reno, NV
F. Vertiv Corp – Out of County / 1050 Dearborn Dr. ~ Columbus, OH
Recommended motion: None required (if approved as part of the Consent Agenda) I move to approve all first readings (if removed from Consent Agenda by request)
Prepared by: Ashley Mead
Department: Contact Number: 7758470966
Staff Summary: First readings of submitted business license applications are normally approved on the Consent Agenda. The applications are then submitted at the next Commissioner's meeting for approval.
Supporting Materials: See attached
Fiscal Impact: None
Legal review required: False
Reviewed by:
___ Department Head Department Name:
___ County Manager Other Agency Review:
Board Action:
[ ] Approved [ ] Approved with Modification
To: Vanessa Stephens, Clerk’s office
Austin Osborne, County Manager
Fr: Ashley Mead
Please add the following item(s) to the **February 15, 2022** COMMISSIONERS Consent Agenda:
**FIRST READINGS:**
A. Atlas Copco Compressors LLC – Out of County / 6 Century Dr. Ste. 310 ~ Parsippany, NJ
B. Atlas Mechanical, Inc. – Contractor / 8260 Camino Santa Fe Ste. B ~ San Diego, CA
C. Coastal Steel Structures – Out of County / 631 Lucerne Ave. ~ Lake Worth, FL
D. JLH Inc. – General / 2777 USA Parkway Ste. 107 ~ McCarran, NV
E. Nice Cream Nitro LLC – Food Truck / 2301 Cordilla Ct. ~ Reno, NV
F. Vertiv Corp – Out of County / 1050 Dearborn Dr. ~ Columbus, OH
Ec: Community Development
Commissioner’s Office
Planning Department
Comptroller’s Office
Sheriff’s Office
• **Title:** Authorize the County Manager to approve and sign a contract between Storey County and Walker and Associates for consultation in water resource planning with focus on potential negotiations with the State of Nevada regarding allocation and acquisition of water and/or water system components of the Marlette Water System, at an hourly rate of $100 and not to exceed $20,000 on a time and materials basis, and for a period from March 1, 2022 to July 1, 2023.
• **Recommended motion:** I [commissioner] motion to authorize the County Manager to approve and sign a contract between Storey County and Walker and Associates for consultation in water resource planning with focus on potential negotiations with the State of Nevada regarding allocation and acquisition of water and/or water system components of the Marlette Water System, at an hourly rate of $100 and not to exceed $20,000 on a time and materials basis, and for a period from March 1, 2022 to July 1, 2023.
• **Prepared by:** Austin Osborne
**Department:**
**Contact Number:** 7758470968
• **Staff Summary:** Water rights for the Marlette System are owned by the State of Nevada and administered by the Nevada Public Works Division. The state has provided water to Storey County since 1963, and historically has entered into 10-year contracts with Storey County for delivery of Marlette System water. The state does the same for Carson City. Storey County and Carson City are negotiating with the State of Nevada a new successor water use agreement. During these negotiations and associated planning, the entities have agreed by MOU to operate under the terms of a prior 2002 contract.
• There are approximately 11,476 acre-feet in the Marlette Water System. The state, however, is not maximizing the beneficial use of these water resources, and only a portion are used by Carson City and Storey County. Additionally, state operations of this system are challenged by funding constraints, aging infrastructure, and the need for additional data to inventory and quantify system flows and capacities. These matters are being assessed by the parties in preparation for successor agreement negotiations.
• The results of Phase I of the Storey County Water Resources Master Plan, currently under development by Storey County, will guide county and state officials in negotiating
a successor water use agreement. Note that the Marlette Water System is the sole source of municipal water for Comstock communities, and priority will be given to protecting this resource for existing and future demands. However, the draft water master plan and the MOU state that attention will also be given to seek surplus water in the system that may be used in the future for the Highlands and Mark Twain in Storey County. These elements of the water plan conform to the goals and objectives for water resource development in the 2016 Storey County Master Plan.
- Retaining specialized expertise in areas is important to ensuring that Storey County’s best interests are appropriately negotiated into a successor water use agreement. Walker & Associates has over 30 years of experience and engagement with Nevada water law and the Franktown Water Decree; the Marlette Water System and Carson City Water Agreement; Truckee River Operating Agreement; and other water regulations and decisions affecting Storey County, Carson City, and Washoe County.
- **Supporting Materials:** See attached
- **Fiscal Impact:** 20,000
- **Legal review required:** TRUE
- **Reviewed by:**
- Department Head
- County Manager
- Department Name:
- Other Agency Review:
- **Board Action:**
| [ ] Approved | [ ] Approved with Modification |
| [ ] Denied | [ ] Continued |
PROFESSIONAL SERVICES AGREEMENT
THIS AGREEMENT is entered into this 15th day of February 2022 between Walker & Associates (hereinafter referred to as “the CONSULTANT”) and Storey County (hereinafter referred to as “the COUNTY”).
WITNESSETH:
WHEREAS the COUNTY desires to have the CONSULTANT provide specified services during the term of this Agreement; and,
WHEREAS the COUNTY and the CONSULTANT desire to provide a full statement of their respective rights, obligations and duties in connection with the performance of the CONSULTANT’S duties hereunder;
NOW, THEREFORE, in consideration of the mutual covenants and agreements contained in this Agreement, the parties do mutually agree as follows:
SECTION I: CONSULTANT’S SERVICES
A. The CONSULTANT, under the direction of the County Manager, shall perform the duties associated with water resource planning for the COUNTY with a focus on potential negotiations concerning allocation and acquisition of water and/or water system components of the Marlette Lake Water System from the current owner/operator. Activities would include meeting with interested entities involved with the potential negotiations, providing input on resource availability, and proposing potential terms and conditions for any acquisition of water resources and systems for the COUNTY. As requested, the CONSULTANT will research pertinent water related issues for the COUNTY, develop reports and make presentations.
SECTION II: COMPENSATION AND TERMS OF PAYMENT
A. The COUNTY agrees to pay the CONSULTANT $100.00 per hour for services provided not to exceed $20,000 on a time and materials basis. In addition, the COUNTY agrees to reimburse any related travel expenses if the CONSULTANT is required, as part of the duties described in SECTION I, to travel out of the general area.
B. The CONSULTANT shall invoice the COUNTY on or near the 10th of each month for the services provided. All payments shall be due within 30 days after the COUNTY receives the invoice from the CONSULTANT. Failure to pay the agreed upon amount as per Paragraph A of this Section will constitute a breach of this agreement.
SECTION III: TERM AND TERMINATION
A. This agreement shall remain in effect for the term beginning, MARCH 1ST, 2022 and ending July 1st, 2023.
B. Either party may terminate this Agreement without cause upon thirty (30) days prior written notice to the other party. The CONSULTANT is entitled to pro rata fees up to any termination date, only if the COUNTY terminates this agreement.
SECTION IV: INDEPENDENT CONSULTANT
A. The CONSULTANT is performing the services and duties required hereunder as an independent contractor and not as an employee, agent, partner of, nor joint venturer with the COUNTY.
C. The CONSULTANT may retain employees or other professional service providers to perform the services required by this agreement. Such employees or other professional service providers will be the obligation of the CONSULTANT.
D. CONSULTANT shall be responsible to pay all taxes, workers compensation, unemployment insurance, FICA and all other employee costs related to the CONSULTANT’S performance of service under this agreement.
E. CONSULTANT shall procure and maintain adequate insurance for protection of each from claims under worker’s compensation acts, from claims for damages because of bodily injury, sickness, disease or death of their respective employees and any other person, and from claims or damages because of injury to or the destruction of property, including the loss of use thereof.
SECTION V: SERVICES TO BE PERFORMED
A. The CONSULTANT shall be responsible for the professional quality, timely completion, and coordination of all services furnished to the COUNTY.
B. The COUNTY understands that the CONSULTANT will act solely in an advisory and consulting capacity. The CONSULTANT cannot and will not make decisions on behalf of the COUNTY. Any final decisions regarding any of the matters for which the CONSULTANT has been retained remain solely the COUNTY’S.
D. No services or work performed shall be released without the express written permission of the COUNTY.
SECTION VI: MISCELLANEOUS
A. Any notice required or permitted by this Agreement shall be in writing and shall be deemed given at the time it is deposited in the United States mail, postage prepaid, certified or registered mail, return receipt requested, addressed to the party to whom it is to be given as follows:
CONSULTANT: Steve K. Walker
Walker & Associates
661 Genoa Lane
Minden, NV 89423
COUNTY: Austin Osborne
Storey County Manager
Box 176
Virginia City, NV 89440
B. This agreement may not be assigned by either party without the express written consent of the other party.
C. The CONSULTANT and the COUNTY agree that this agreement does not constitute an exclusive relationship. Nothing herein shall be construed as a limitation upon the right of the CONSULTANT to engage in any other consulting agreement, service agreement, business venture or other activity.
D. This agreement will be interpreted and enforced under Nevada Law. Any lawsuits to enforce any part of this agreement must be brought in a Nevada Court.
E. This agreement is solely for the benefit of the parties hereto. This agreement shall not create any right in or benefit to any other persons or entities or members of the general public.
F. This agreement embodies the whole agreement between the parties. There are no inducements, promises, terms, conditions, or obligations made or entered into by the SUB-CONSULTANT or the COUNTY other than those contained in the agreement.
G. This Agreement may be executed in two or more counterparts, all of which shall be considered one and the same agreement and shall become effective when one or more counterparts have been signed by each party and delivered to the other party, it being understood that all parties need not sign the same counterpart. This Agreement may be executed by facsimile signatures.
IN WITNESS WHEREOF, the CONSULTANT and the COUNTY have duly executed this Agreement on the date first written above.
WALKER & ASSOCIATES
______________________________
Steve K. Walker
STOREY COUNTY
______________________________
Austin Osborne
Storey County Manager
• **Title:** Consideration of letters of interest and the appointment of a qualified person to fill the expected upcoming vacancy in the office of the Storey County Clerk/Treasurer. Upon the incumbent’s resignation from Clerk/Treasurers Office, the candidate appointed by the Board will serve until January 2, 2023.
• **Recommended motion:** I [commissioner] motion to appoint (name of selected applicant), to fill the expected vacancy in the Storey County Clerk-Treasurer’s Office upon the vacation of that office by the incumbent until January 2, 2023.
• **Prepared by:** Tobi Whitten
**Department:**
**Contact Number:** 7758470968
• **Staff Summary:** Upon vacancy of the Storey County Clerk-Treasurer expected to occur on February 25, 2022, the county published a county-wide notice of vacancy and request for letters of interest. Three letters of interest were received during the posting period, one from Doreayne Nevin, one from Jason Virden and the other from Durward James Hindle III. All applicants exhibited diverse and distinguished education and background. Staff has conducted introductory interviews to assure that all applicants are familiar with the duties, requirements, and characteristics of the position. The appointee will fill the vacancy until January 2, 2023, and this mid-term appointment will cause no change to the normal election cycle of the Storey County Clerk-Treasurer’s Office.
• **Supporting Materials:** See attached
• **Fiscal Impact:** None on local government
• **Legal review required:** TRUE
• **Reviewed by:**
___ Department Head
___ County Manager
**Department Name:**
**Other Agency Review:** ___________________
• **Board Action:**
| [ ] Approved | [ ] Approved with Modification |
|--------------|--------------------------------|
| [ ] Denied | [ ] Continued |
STOREY COUNTY PUBLIC NOTICE
INTERIM CLERK-TREASURER VACANCY
STOREY COUNTY
Position: Interim Storey County Clerk-Treasurer to fulfill term ending 1/2/2023. All interested parties must live within Storey County. The Clerk-Treasurer represents Storey County constituents. General provisions governing the duties of county clerks are found in NRS 246 and county treasurers are found in NRS 249. Examples of duties include:
- Serves as the District Court Clerk;
- Serves as the Clerk to the Board of County Commissioners;
- Performs a variety of budgeting, accounting and financial duties as required;
- Oversees the receipt of all public funds for the county, the school district, the state, and other taxing entities within Nevada;
- Collects and processes all property tax bills each year;
- Serves as the county’s investment officer by investing public funds;
- Manages the filing of documents such as: commission minutes, ordinances, contracts, and similar;
- Maintenance of records pertaining to all transactions conducted within the office; and
- Serves as the registrar of voters and filing officer for the county and township offices, and for any offices elected from districts completely within one county or part of one county per NRS 293.
Required Qualifications:
An applicant for appointment to the position of Clerk/Treasurer must:
- Be a United States Citizen
- Have actually and not constructively resided in the State of Nevada and in Storey County for at least 30 days in advance of the date of appointment to the vacant office.
- Be at least 18 years of age or older.
- If previously convicted of a felony shall have his/her civil rights restored.
- If previously adjudicated mentally incompetent he/she has been restored to civil capacity.
Candidates are required by law to submit various public financial reports including Contributions & Expenses, Financial Disclosure Statements and Ethics Reports pursuant to NRS 281 and 281A.
The county clerk or the registrar of voters is the filing officer for county and township offices and for any offices elected from districts completely within one county or part of one county. (NRS 293.185)
Letter of Interest: All interested parties must submit a letter of interest showing qualifications and reason for applying for the appointment. An official job application is not necessary but may be provided if desired.
Closing Date: Letters of interest (originals) must be received by the Storey County Human Resources Office, Storey County Courthouse, 26 South “B” Street (P.O. Box 176), Virginia City, NV 89440 by 5:00 p.m., Friday, January 28, 2022. Please contact 775.847.0968 for further questions.
Tentative Appointment Date: The County Commissioners will consider this appointment on 02-01-2022. Applicants may be asked to speak and should attend. Appointment is scheduled to take effect on 02/24/2022.
Storey County is an Equal Opportunity Employer. Posting dates: 01/14/22 – 01/28/21
Dear Commissioners:
I submit this letter to request your consideration for the appointment as the Interim Clerk-Treasurer of Storey County.
As this Board is aware, my professional achievements and community activity prepare me to quickly learn and perform the duties of the office of Clerk-Treasurer. Additionally, I have publicly demonstrated the skills and personal conduct required to successfully lead the office and its staff.
It has been my privilege to have had your prior appointments to serve Storey County as a Planning Commissioner for the past eight years, and to be chosen as Chair the last three. As you know, I take that role seriously and have dedicated myself to making educated, fact-based and judicious decisions that preserve the rights of those that come before the Board while also benefiting the citizens of the County. My time on the Planning Commission has exposed me to many of the issues challenging the County. This experience, coupled with my leadership and management skills and business experience, uniquely prepare me to step into the role of Clerk-Treasurer.
As I have presented previously to this Board: I worked hard to have a successful business career. I have managed complex multimillion-dollar contracts with major Fortune 100 industrial companies on both a domestic and international basis. I have also known the trials and joys of entrepreneurship and creating successful businesses from scratch. I am expert in building cooperative relationships to constructively solve problems and address new opportunities. I have led organizational transitions and operational evolution.
Consistently in all my assignments and endeavors I have been valued for my disciplined and reasoned approach to planning, team building, problem solving, and for decisive action in challenging circumstances and complex interpersonal and technical environments.
I have familiarized myself with the responsibilities of the Office of Clerk-Treasurer as defined by NRS 246 and 249, and I know I can quickly acquire the knowledge required to perform and lead office operation. Most importantly, I recognize and understand the scope and impact of the Office on County operations and the responsibility the Office has to serve the County’s residents and businesses.
If you should appoint me Interim County Clerk-Treasurer, I pledge to be a thoughtful leader and manager so that the professionalism and integrity of the Office is maintained and the unique quality of life we enjoy here on the Comstock and across the county, is protected.
I thank you for your time and consideration, and plan to be available to address any questions you may have regarding my interest and qualifications.
Respectfully,
Jim Hindle
Delivered by hand on January 31, 2022
Storey County Human Resources Offices
Storey County Courthouse
26 South “B” Street (PO Box 176)
Virginia City, NV 89440
January 26, 2022
Dear Human Resource Department:
I am including with this letter of interest for the Interim Clerk-Treasury Vacancy a completed Employment Application along with my current Resume and a letter of reference from my last employer.
I thank you in advance for any consideration.
Sincerely,
Jason S. Virden
775-830-9040
firstname.lastname@example.org
December 30, 2021
TO: Whom It May Concern
SUBJECT: Letter of Recommendation for Jason Virden
Message:
It is my pleasure to write this letter of recommendation for Jason Virden.
I personally hired Jason over 7 years ago, as a Contracts Specialist for my company: Pestmaster Services, Inc. It did not take Jason long to be named the Contracts Manager for our company (less than 6 months), and he assisted me in growing our pest management company to the #1 “Small Business” pest management company serving the federal government.
Jason also worked to grow our franchise system, implementing procedures that assisted franchisees to “follow the model.” Franchisees that followed the model helped us to becoming #1.
He continued to advance and grow with Pestmaster, becoming the General Manager of the company, and my right-hand man. I can honestly say that in the years we worked together, we never had a serious conflict or negative word towards one another. We both enjoyed the success of Pestmaster and were excited every day we came to work.
Honesty, integrity, loyalty, and professionalism are all characteristics I came to know and rely on from Jason, and he always delivered. And of special interest: we always seasoned into the effort’s fun!
His skills include (but are not limited to):
- Exceptional computer skills
- Expert at EXCEL and all Microsoft applications
- Excellent at Quick Books
- Excellent communication skills
STOREY COUNTY
EMPLOYMENT APPLICATION
An Equal Opportunity Employer
Original Application must be received by the closing date listed on the job posting.
Faxed, e-mailed and post-marks are NOT acceptable.
If you believe you require an accommodation during the selection process, please contact us to make appropriate arrangements.
Name Jason S. Virden
Date 1-26-2022
Address 120 N. HOWARD ST. PO BOX 1041
City VIRGINIA CITY
State NV
Zip Code 89440
Telephone(s) Home (___) ___________ Cell (775) 830-9040 Work (___) ___________
Email address: email@example.com
Position Applied for: Interim Clerk - Treasurer
How did you hear about this position? ☐ Advertisement ☐ Walk-In ☒ Referral (by whom?) Jeremy Lancon
☐ Other (explain)
If offered employment, when can you be available to begin? 3-1-2022 or sooner if needed
What type of employment will you accept? ☒ Full-Time ☒ Part-Time ☒ Temporary
Will you be available for shift work? ☒ Yes ☐ No
Will you be available to work weekends and/or holidays if necessary? ☒ Yes ☐ No
Have you been given a job description or had the requirements of the job explained to you? ☒ Yes ☐ No
Do you understand the job requirements? ☒ Yes ☐ No
Can you perform the requirements of this job with or without reasonable accommodation? ☒ Yes ☐ No
To qualify for employment, applicants must be at least 18 years of age unless otherwise specified in the job announcement. If offered employment, can you furnish proof of age? ☒ Yes ☐ No
After an offer of employment, can you submit verification of your legal right to work in the United States? ☒ Yes ☐ No
List other names, if any, you have used. None
EDUCATION RECORD
Did you graduate from high school or receive a GED certificate? ☒ Yes ☐ No
| School Name | Location | Hours Earned | Diploma, Degree, or Certificate | Major Field of Study |
|-------------|----------|--------------|---------------------------------|----------------------|
| Business/Technical/Vocational | | | | |
| College/University (Undergraduate) | | | | |
| Graduate School | | | | |
EMPLOYMENT HISTORY
Provide information regarding all paid, military, and volunteer work and how it may be related to the position for which you are applying. Describe your most recent position first; then list other positions in order held, beginning with the most recent. Use a separate block for each position, even if with the same employer. Use additional sheets if necessary. Do NOT use references such as “See Résumé” in place of completing this section.
May we contact all employers listed? (Attach a list of any exceptions with an explanation.)... ☑ Yes □ No
Present Employer: Kaigen LLC
Present Position: V.P. of Operations
Address: 9716 S. Virginia St., Ste E
From (Mo/Yr): 8/2016
To (Mo/Yr): 1/2022
City: Reno
State: NV
Zip Code: 89511
Full-Time (30+ hrs/wk)
Supervisor’s Name/Title: Jeff Von Deipen / President
Telephone: (775) 278-9344
Related Duties: See Resume
Reason for Leaving: Company Sold to Private Equity Group
Employer: Vital Systems
Position: GM/Controller
Address: 4999 Aircenter Circle
From (Mo/Yr): 7/2015
To (Mo/Yr): 4/2016
City: Reno
State: NV
Zip Code: 89502
Full-Time (30+ hrs/wk)
Supervisor’s Name/Title: Hamid Siyat
Telephone: (775) 828-1126
Related Duties: See Resume
Reason for Leaving: Better Opportunity
Employer: Tom's Tire Performance Center
Position: Consultant / Controller
Address: 4401 E. Anaheim St.
From (Mo/Yr): 6/2017
To (Mo/Yr): 12/2014
City: Long Beach
State: CA
Zip Code: 90804
Part-Time (<30 hrs/wk)
Supervisor’s Name/Title: Tom Bennett
Telephone: (562) 824-2863
Related Duties: See Resume
Reason for Leaving: moved to Nevada
Please READ ALL of the following statements and INITIAL EACH of the lines to indicate you have read and understand each of the statements. If you have any questions, contact Storey County Human Resources Department at (775) 847-0968.
All offers of employment and all information regarding compensation and other terms and conditions of employment will be made in writing. Verbal statements may not be relied upon.
This application is the property of Storey County and will become part of my personnel file if I am hired.
I authorize Storey County to contact any employer or individual that I have listed on my employment application and/or résumé or mentioned during job interviews to obtain from them any relevant information regarding my previous employment, military service, criminal history, characteristics or traits necessary for job performance, or other relevant qualifications for employment and/or continued employment with Storey County. In addition, I authorize Storey County to conduct a background search which includes criminal history and military history. In addition, if the position for which I am applying requires driving a vehicle, I authorize Storey County to conduct a Department of Motor Vehicles (DMV) search. If the position for which I am applying involves contact with minors or with any persons having diminished capacity to care for themselves, a search of government sex offender registries may be conducted. I further authorize Storey County to contact any institution and/or licensing authority to verify my possession of education, licenses, and/or certificates which may qualify me for employment.
In exchange for Storey County consideration of my employment application, and/or any continued employment with Storey County, I authorize anyone possessing information to furnish it to Storey County upon request, and I release the organizations and all individuals providing the information or acquiring the information, including Storey County, from all claims, liability, and damages whatsoever claimed to be related to furnishing, obtaining, or using said information. This release applies to, but is not limited to, claims for defamation, libel, slander, infliction of emotional distress, and interference with current or prospective economic relations.
I further understand this consent will apply during the entire course of my employment with Storey County should I obtain such employment. I understand and agree this consent shall remain in affect indefinitely.
I hereby certify that all statements made in this application are true. I understand that any false statement of material facts herein may cause forfeiture on my part of all rights to any employment with Storey County. I understand that any misrepresentation, falsification, or material omission of information may result in my failure to receive an offer, or if I have been hired, in my dismissal from employment regardless of length of employment. I understand that neither this document nor any offer of employment from Storey County constitutes an employment contract unless a specific contract document to that effect is executed. I agree to undergo any job-related physical examination and drug screening upon conditional offer of employment. I understand that Storey County is not requesting genetic information from the drug screening or the physical examination and that the person administering the examination should not provide any genetic information. I further understand and agree that this paragraph applies to any information supplied by me at a later date as part of this application.
Additionally, my signature below certifies that the information provided is true and correct to the best of my knowledge.
Signature of Applicant
Date 1/26/2022
NOTE: This Page MUST have original initials and signature. Photocopy or typed versions not acceptable.
Highly organized, confident, proactive results driven individual with proven track record. Strong management, financial, analytical, and budgeting experience. Ability to motivate and communicate effectively in all levels of an organization. Common sense approach to problem solving. Energetic, reliable, and dedicated individual. Experience in various industries including telecom, data networking, pest control, manufacturing, distribution, restaurant, automotive and retail.
**EXPERIENCE**
**KAIGAN LLC / PESTMASTER SERVICES LP / PFN LLC, Reno, NV – VP of Operations/Brand Pres. 2016-2022**
*Integrated Pest Management and Weed Control Services*
- Direct oversight and supervision of all operations of 2 Company Owned Pest Control businesses along with Brand President of our Franchising Company. Participate in the day-to-day management of business including strategic planning, oversight of Operations Management Team (i.e., Operations Managers, Service Managers, Controller, CSR’s, Contracts Department and Franchise Development) and the company’s key client relationships.
- Sold $62M in Government Contracts 2017-2021 – Received award for Highest Contract Sales in Company History.
- Developed new reporting procedures for the Franchise Network of 55 Locations in US.
- Provided Due Diligence reporting and compliance for Acquisition from a Private Equity group (2020).
**VITAL SYSTEMS CORPORATION, Reno, NV – General Manager / Controller 2015-2016**
*Design and Manufacturer of Electronic Printed Circuit Boards*
- Financial responsibility included, but not limited to: AP, AR, GL, Cash flow Management, Payroll & Tax Filings
- Managed all aspects and responsibilities as Human Resource Manager for staff of 32
- Developed a strategic marketing and branding plan to increase sales and celebrate 30 years in business
**TOM’S TIRE PERFORMANCE CENTER, Signal Hill, CA – Consultant / Controller 2007-2014**
*Automotive Retail Service Center*
- Fiscally responsible for $2MM Automotive Center including all aspects of accounting and payroll
- Researched and developed a company guideline Handbook and Compensation program
- Implemented sales incentive program that increased sales 17%
- Developed a cash flow analysis program that calculated actual cash available daily
**SGA ADVANCED SOLUTIONS, San Antonio, TX - Partner 2004-2014**
*Developer and Manufacturer of Chemical Additives*
- Budgetary and financial responsibility for a privately held startup company
- Established all accounting, inventory, purchasing & procurement procedures
- Received 5 utility patent designations for reduction of cure time in surface coatings
- Directed Sales and Marketing efforts to bring products to market
- Secured recurring governmental contract valued in excess of $500K
**KABO CAFE, Long Beach, CA – Managing Partner 2004-2007**
*Waterfront Restaurant*
- Project Manager for all aspects of the design, build out and completion of restaurant
- Created and implemented operational policies and procedures for all employees
- Managed, developed and motivated revolving staff of 15+ employees
- Accountable for all aspects of accounting, payroll, state and local tax filings
NETVERSANT, Houston, TX – General Manager / Controller 2000-2004
Data Network and Controlled Access Provider
• Full Profit & Loss responsibility including directing all business operations for 145 employees
• Developed and implemented operational procedures to manage growth from $10MM to $20MM annually
• Multi State and Multi site remote management experience
• Direct interaction with Corporate Officers to review all budgetary, sales and operational issues
SYZYGY NETWORK SOLUTIONS, Orange, CA – Director of Business Operations 1998-2000
Data Network Infrastructure Provider
• Established and accountable for all accounting policies and procedures for a startup venture
• Instrumental in managing operational growth with 2-year annual revenue growth to $10MM
• Developed, designed and implemented all business practices within the organization
• Strategic in the success of the roll up to NETVERSANT through detailed orientated and accuracy of financial records, verified by external auditors
ALERT COMMUNICATIONS, Los Angeles, CA - Administrative & Finance Manager 1985-1998
Authorized Phone System Distributor and Call Center
• Responsible for managing Accounting, Administration, Credit & Collection, Finance, Human Resource, Facility, Purchasing and Inventory Control
• Established Sales Compensation guidelines and tracking program
AREAS OF EXPERTISE INCLUDE:
Accounting & Bookkeeping
Excel / Word / PowerPoint
Oracle / SBT / Deltek / QuickBooks
Business Operations Analysis
Business Development
Purchasing / Negotiations
Presentations & Communications
Customer Service
Consultative Selling
COMMUNITY ACTIVITIES
Served as Membership Chair and Treasurer for Long Beach Century Club – increased membership by 25%
Long Beach Century Club supports all amateur athletics and school athletic programs within Long Beach.
Served as Treasurer for Team 100 – Food for Kids Program and Blue Martini Ball fundraiser
Team 100 provides weekend food packs for Title 1 students and families within the Long Beach USD.
Premier Member of Nevada’s Center for Entrepreneurship and Technology (NCET)
Member of Fort Churchill Living History Organization
Member of Silent Riders – Stewards of the Past. Ambassadors to the future.
February 10, 2022
Dear Chairman Carmona, Vice-Chair Mitchell, and Commissioner Gilman,
Due to a prior commitment, I have had scheduled for 18 months and not able to cancel, I will be unable to attend the February 15, 2022, meeting in person but will make myself available via zoom to answer any questions you may have.
Thank you for your understanding.
Sincerely
Doreayne Nevin
January 28, 2022
Dear Chairman Carmona, Vice-Chair Mitchell, and Commissioner Gilman,
As a loyal Storey County employee for the past thirteen years, I would like to formally apply for the Interim Clerk-Treasurer appointment.
For seven years, I have served as a Deputy Clerk/Treasurer before advancing to the position I currently hold and have held for the past two years, the title of Chief-Deputy Clerk/Treasurer. This job has allowed me to work alongside Clerk/Treasurer Vanessa Stephens. During this time, she has trained me in every important function of the office. These functions include cash management, investing in public funds, and overseeing the receipt of all funds for the county (school district, the state and other taxing entities), property tax billing and overseeing the collection process.
Should I be appointed, the past nine years have also given me the skills and training to step in as District Court Clerk, Clerk to the Board of County Commissioners, and Clerk of the Board of Equalization. I will maintain the filing of documents such as ordinances, resolutions, contracts, commissioner minutes, and vital records. I will also maintain the voters’ registration system as well as coordinate the elections held in the county.
If I am appointed, the knowledge, training, and vast experience I have acquired over the last nine years will help me successfully take on the role of Clerk/Treasurer. I will continue to provide the level of service to our community that is expected of our office.
My resume is enclosed with this letter for review of my education and training that I have completed while working for Storey County.
Thank you for your time and consideration.
Sincerely,
Doreayne Nevin
January 27, 2022
Storey County Board of County Commissioners
26 South B Street
Virginia City, NV 89440
RE: Appointment of interim Clerk & Treasurer
Dear Honorable Board of County Commissioners,
It is my pleasure to recommend Dore Nevin for the appointment of interim Storey County Clerk & Treasurer. I have known Dore for over ten years, during which time she has worked as Deputy Clerk & Treasurer in my office. Two years ago, she was promoted to the position of Chief Deputy Clerk & Treasurer due to her ability to act in my absence.
I have been consistently impressed with Dore’s attitude and productivity during the time she has served the residents and business owners of Storey County. Dore is both dedicated and quite motivated. I am confident that she will devote herself to the position of interim Clerk & Treasurer with a high degree of diligence.
Dore possesses the knowledge and skills to ensure that a smooth transition will take place with minimal impact. This office will face a multitude of challenges over the upcoming year, and she has illustrated her ability to lead and guarantee a successful outcome. She has and continues to establish strong and trusted working relationships with fellow employees and members of the community.
I recommend Dore without reservation. I am confident she is the best candidate for the appointment of interim Storey County Clerk & Treasurer. Please do not hesitate to contact me at 775-232-2712 if you have any questions or requests. I am more than happy to answer them.
Best regards,
Vanessa A. Stephens
Storey County
Clerk - Treasurer
Doreayne Nevin
Post Office Box 175
Virginia City, NV 89440
775-720-4974
firstname.lastname@example.org
EDUCATION/TRAINING
2013-2026 Notary Public
State of Nevada
2011-Project Management
University of Nevada
Extended Studies
2010-Supervisory Management
University of Nevada, Reno
Extended Studies
1997-First Responder
REMSA
1998 OSHA-Dental Certified in Infectious Diseases
OSHA
1989-Certified in Dental Radiology
Truckee Meadows Community College
1989-Dental Practice Management
Truckee Meadows Community College
1987-Introduction to Dental Assisting
Truckee Meadows Community College
1987-High School Graduate
Virginia City High School
CERTIFICATES
2020-Government Finance Officers Association
Investment Fundamental for Accounting-Accounting (Governmental)
Financial Disclosures for Investments-Accounting (Governmental)
2019-Tyler Technologies
Cashiering Admin
2012-FEMA/COSA
Essential Records
Record Emergency Planning and Response
2011-POOL/PACT
Essential Management Skills Certificate Program
2008-FEMA
Emergency Management Institute
IS- 00100.A, IS-200.A, IS-00700, IS-00800.B,
Computer Software
Votec Election Management
Dominion Voting Systems
Tyler Technologies-Cashiering/Accounts Payable
Tyler-Eagle Technologies-Recording/Filing
DevNet-Secured/Unsecured Property Taxes
Courtview-Court Filing
JAVS-Court Recording
AS400
EMPLOYMENT
2010-Current Storey County Clerk/Treasurer’s Office
Chief Deputy-Clerk/Treasurer-Office Manager- Administrative Specialist 2020-Current
Deputy-Clerk/Treasurer- Administrative Assistant III 2010 2019
2008-2010 Storey County Recorder’s Office
Deputy Recorder Administrative Assistant I-II
2004-2008 Louise J Patetta, DDS
Administrative Assistant/Collection Manager
2000-2004 James Megquier, DDS and Daniel Muff DDS, MD
Office Manager, Surgical Assistant, and Administrative Assistant
1994-1999 George Zatarain, DDS
Dental Assistant/Back Office Manager/Receptionist
1987-1994 Rafael Gamboa, DDS
Surgical Assistant
COMMUNITY SERVICE
Storey County Volunteer Fire Department
Virginia City Motorcycle Marathon
Virginia City Rodeo
Virginia City Camel Races
Nevada All State Trail Riders
Virginia City School District- Class Advisor for 14 years
Virginia City Booster Club
Memberships
CFOA (County Fiscal Officers Association)
ACTN (Association of County Treasurers of Nevada)
GFOA (Government Finance Officers Association)
NACO (National Association of Counties)
The Council of State Archivists awards this Certificate of Completion to
Dore Nevin
Who has dedicated time and effort toward protecting our nation's essential records through continued professional development and completion of this course:
Records Emergency Planning and Response Webinar
FEMA Course Number AWR-211-2
Issued this 23rd day of March 2012
Barbara Teague, President
Council of State Archivists
The Council of State Archivists awards this Certificate of Completion to
Dore Nevin
Who has dedicated time and effort toward protecting our nation's essential records through continued professional development and completion of this course:
Essential Records Webinar
FEMA Course Number AWR-210-2
Issued this 22nd day of March, 2012
Barbara Teague, President
Council of State Archivists
The Government Finance Officers Association
of the United States and Canada
presents this
CERTIFICATE OF PROFESSIONAL DEVELOPMENT
to
Ms. Dore Nevin
for successfully completing
Financial Disclosures for Investments - Session 3
in the field of
Accounting (governmental)
2/26/2020
2 CPE Credits
National Registry of CPE Sponsors ID Number: 103133
In accordance with the standards of the National Registry of CPE Sponsors, CPE credits have been granted based on a 50 minute hour.
Group Internet-based
203 North LaSalle, Suite 2700
Chicago, Illinois 60601
312/977-9700
Charles P. Merrill
Executive Director/CEO
The Government Finance Officers Association
of the United States and Canada
presents this
CERTIFICATE OF PROFESSIONAL DEVELOPMENT
to
Ms. Dore Nevin
for successfully completing
Investment Fundamental for Accounting - Session 1
in the field of
Accounting (governmental)
2/12/2020
National Registry of CPE Sponsors ID Number: 103133
In accordance with the standards of the National Registry of CPE Sponsors, CPE credits have been granted based on a 50 minute hour.
2 CPE Credits
Group Internet-based
203 North LaSalle, Suite 2700
Chicago, Illinois 60601
312/977-9700
__________________________
Cheryl P. Mavis
Executive Director/CEO
CERTIFICATE
Of Completion
THIS CPE CERTIFICATE IS PRESENTED TO
Dore Nevin
Course: Cashiering Admin
Field of Study: Computer Software & Applications
CPE Credits: 3
Instructional Delivery Method: Group Internet Based
Location: Online
Date: 11-25-19
National Registry of CPE Sponsors ID Number: 108275
Texas State Board of Public Accountancy Sponsor ID Number: 007227
In accordance with the standards of the National Registry of CPE Sponsors, CPE credits have been granted based on a 50-minute hour.
Tyler Technologies, Inc. 5517 53rd St., Lubbock, TX 79416
Issued By:
Mark Brumley, Certification Program Administrator
Emergency Management Institute
FEMA
This Certificate of Achievement is to acknowledge that
DOREAYNE M NEVIN
has reaffirmed a dedication to serve in times of crisis through continued professional development and completion of the independent study course:
IS-00200.a
ICS for Single Resources and Initial Action Incidents
Issued this 17th Day of October, 2008
Correia Lawrence, PhD
Superintendent
Emergency Management Insti
0.3 CEU
Emergency Management Institute
FEMA
This Certificate of Achievement is to acknowledge that
DOREAYNE M NEVIN
has reaffirmed a dedication to serve in times of crisis through continued professional development and completion of the independent study course:
IS-00100.a
Introduction to the Incident Command System (ICS 100)
Issued this 14th Day of October, 2008
Cortez Lawrence, PhD
Superintendent
Emergency Management Institute
0.3 CEU
Emergency Management Institute
FEMA
This Certificate of Achievement is to acknowledge that
DOREAYNE M NEVIN
has reaffirmed a dedication to serve in times of crisis through continued professional development and completion of the independent study course:
IS-00700
National Incident Management System (NIMS), An Introduction
Issued this 29th Day of October, 2008
Cortez Lawrence, PhD
Superintendent
Emergency Management Institute
0.3 CEU
Emergency Management Institute
FEMA
This Certificate of Achievement is to acknowledge that
DOREAYNE M NEVIN
has reaffirmed a dedication to serve in times of crisis through continued professional development and completion of the independent study course:
IS-00800.B
National Response Framework, An Introduction
Issued this 3rd Day of November, 2008
Cortez Lawrence, PhD
Superintendent
Emergency Management Institute
0.3 CEU
UNIVERSITY OF NEVADA, RENO
THIS IS TO CERTIFY THAT
Doreayne Nevin
HAS SUCCESSFULLY COMPLETED THE 45 HOURS OF INSTRUCTION REQUIRED TO EARN A CERTIFICATE IN
PROJECT MANAGEMENT ESSENTIALS
Fred B. Holman, Vice Provost
Extended Studies
December 15, 2011
University of Nevada, Reno
Extended Studies
Doreayne Nevin
has successfully completed
Project Management Essentials
September 15, 2011
18 Hours
Fred B. Holman, Vice Provost
Extended Studies
University of Nevada, Reno
Extended Studies
Doreayne Nevin
has successfully completed
Project Management: Beyond the Basics
November 17, 2011
18 Hours
Fred B. Holman, Vice Provost
Extended Studies
UNIVERSITY OF NEVADA, RENO
THIS IS TO CERTIFY THAT
Doreayne Nevin
HAS SUCCESSFULLY COMPLETED THE EDUCATIONAL REQUIREMENTS TO EARN A CERTIFICATE OF PROFESSIONAL DEVELOPMENT IN
SUPERVISORY MANAGEMENT
Fred B. Holman, Vice Provost
Extended Studies
May 14, 2010
University of Nevada, Reno
Extended Studies
Doreayne Nevin
has successfully completed
Managing & Supervising People
January 21 & 22, 2010
12 Hours
This program, ORG-PROGRAM-55162, has been approved for 6 recertification credit hours toward PHR, SPHR and GPHR recertification through the Human Resources Certification Institute (HRCI). Please be sure to note the program ID number on your recertification application form. For more information about certification and Recertification, please visit the HRCI homepage at www.hrci.org.
Fred B. Holman, Vice Provost
Extended Studies
Certificate of Completion
POOLPACT Human Resources
presents this certificate to
Dore Nevin
For successful completion of the
ESSENTIAL MANAGEMENT SKILLS
CERTIFICATE PROGRAM
Jeanne Greene, General Manager
Date 10-25-2011
Meeting date: 2/15/2022 10:00 AM - BOCC Meeting
Estimate of Time Required: 15 min.
Agenda Item Type: Discussion/Possible Action
• **Title:** Erik Schoen, Executive Director of Community Chest, Inc., to present the agency's 2021 annual report.
• **Recommended motion:** No action needed.
• **Prepared by:** Austin Osborne
**Department:**
**Contact Number:** 7758470968
• **Staff Summary:** Please see attached correspondence.
• **Supporting Materials:** See attached
• **Fiscal Impact:** none
• **Legal review required:** TRUE
• **Reviewed by:**
___ Department Head
___ County Manager
Department Name:
Other Agency Review: _______________
• **Board Action:**
[ ] Approved
[ ] Denied
[ ] Approved with Modification
[ ] Continued
Community Chest 2021 Annual Report
Mission and Programs
Founded in 1991, Community Chest, Inc. serves the greater Northwestern Nevada area with a myriad of prevention programs and formerly, two statewide initiatives: K-12 service-learning and homeless youth education. Our mission is “To act as a catalyst for change and a center for resources to help people help themselves, as together we build healthy families and communities.”
Community Chest is a United Way Partner agency with a staff of 40+ full and part-time employees, 20 youth employees, and regular volunteers. Our annual operating budget for calendar year 2020 was $2,527,247. Community Chest, Inc. was twice a semi-finalist for the Ford Foundation Leadership for a Changing World Award (2001 and 2002).
In 2021, Community Chest celebrated its 31st year of building community at home and abroad. Our programs serve the entire age span—from early childhood education to nutrition for seniors—but the primary focus of our work is building healthy youth, families, and communities.
Program Highlights in 2021
As with many, we had hoped that 2021 would be the transition to a post-COVID world. Unfortunately, that did not come to pass, which meant that the agency faced the usual organizational challenges for a mid-size and growing nonprofit, overlaid with the stressors and uncertainty of knowing how COVID might impact agency operations. As an illustration of this point, we had two known COVID exposures in Fall of 2021 that resulted in the brief closure of our before and after school elementary and middle school aged children, our Early Childhood Education classroom, and some of our counseling programs. On the plus side, there seems to be more grant funds available with the release of stimulus funds which has helped to ease things a bit.
And through it all, many of our programs served as many, if not more clients than they’d ever served previously.
We continued to provide counseling services via telehealth to more than 200 clients over the past year in many areas: personal, family, drug and alcohol prevention, domestic violence, and youth development. While this is more clients than we’ve ever previously served, what is perhaps more telling is that the number of counseling sessions more than doubled from 1,000 the year prior to more than 2,000 this year. As well, we are now not only substantially providing counseling services to both Storey and Lyon counties, but Mineral County as well.
Along those same lines, our DV Advocacy program serving victims of domestic violence across ALL of Storey and Lyon counties saw the number of victims it served increase to more than 300, and the number of sessions doubled from 1,000 to 2,000. Both of these numbers are at all-time highs.
One of the highlights of 2021 was reopening our Fernley building to face-to-face contact which has greatly helped the GAME Program for out-of-school youth. The staff continues to be creative at finding ways to engage an already-difficult-to-engage population. We served a total of 25 youth in 2021.
Likewise, our COW Bus program which pre-COVID had upwards of 4 buses on the road providing early childhood education services to 100+ children and their family members in isolated rural areas also and was shut down for 18+ months, has begun reopening with one bus serving 12 kiddos in Mark Twain. Our plan is to get all buses back on the road just as soon as resources allow.
Our office space in Mineral County continues to offer more and more services including in-home case management for families of little ones under 5, employment case management for those looking for work and training, community facilitation and leadership for developing capacity to address the opioid crisis, community health worker support for those needing connection to available resources, and community health worker support to kiddos in the middle and high schools who need a little bit of extra help.
Our before-and-after school and summer programs were once again able to operate at 100% capacity and provided a much needed safe space for students from grades 1 – 8 to receive vital social connection and support. With the ongoing struggle of COVID leading to more social isolation, we were able to provide one-on-one assistance with classes, homework, and mentoring.
We hosted a celebration in June celebrating of our 30th anniversary with nearly 100 people present at our Community Center sharing cake and being serenaded by dozens of little ones singing “Happy Birthday.” As well, we dedicated the “Giving Tree” in honor of the legacy of founding and former executive director, Shaun Griffin.
The County Library space also opened back up to face-to-face services. The number of library card holders increased again this year to 194 (from 177 the year prior), driven in large part due to the various e-platforms available. As well, we were able to hold a dedication to honor the legacy of longtime Storey County librarian, Lucy Bouldin. A beautiful sign renaming the library as “Lucy’s Library” was formally installed.
We have continued to see a high need for food during the pandemic and saw our a large number of individuals served in November and December with more than 200 being provided with some type of food assistance. As well, we have continued to support the schools in providing snacks and meals to 40+ students across all four Storey County schools.
Our Angel Tree program also saw continued high need in 2021 with 150 people who were provided a warm clothing item. This year was nothing short of a miracle to coordinate all of the presents/gifts with distributing them to those in need, with the social-distancing guidelines, but our staff found a way.
Thanks to a second exam room, our partners in our new Community Center’s primary health care clinic – Nevada Health Centers – provided services to more than 400 patients, our highest annual total ever. Telehealth services accounted for 8% of all such visits.
Our case management programs received more funding than prior years as we continued to offer expanded employment case management services with three full-time people who work at four sites in Storey and Lyon County. Our case management programs were also able to grow into both Mineral and Churchill counties. In 2020, we were able to provide direct employment training and other assistance to at least 45 people. Case management staff found themselves assisting many more clients by helping people enroll in pandemic unemployment assistance, and helping seniors sign up for their COVID-19 vaccinations.
Our licensed early childhood education center in Storey County has been at max capacity (at the reduced COVID limit) since it reopened in the Spring of 2019. This means that we are serving 18 little ones daily.
We continued the Nevada Family First programs in Storey, Lyon, Carson, and Hawthorne by moving to virtual services from the traditional in-home visit. This early childhood outreach program for families with kiddos under five has continued to operate at max enrollment through COVID and social distancing. Virtual connections have even increased participation in group connection attendance by over 50%.
Throughout 2021 Community Chest’s operations continued to be affected by the COVID-19 outbreak and the subsequent social-distancing and capacity restrictions. However, the agency and staff continued to flourish by being resilient and by adapting to new service platforms, being flexible with their delivery of programs, and continuing to meet the needs of our ever-changing community, through all spans of life, and by holding true to the mission and values of Community Chest, Inc.
Additional Financial Information
(From most Form 990 for 2020)
- Total Income for 2020: $2,527,247
- Total Expenses for 2020: $2,700,945
- Fund Raising Costs for 2020: $5,630
- Administrative Costs for 2020: $500,169
- Ending Net Assets for 2020: $212,316
Board Roster for 2021
Stacy York, President, term expires December, 2023
Shannon Parsons, Vice President, term expires December 2023
Lucy Pitto, Secretary/Treasurer, term expires December 2023
Michelle Gamble, Director, term expires December 2022
Harriet Cummings, Director, term expires December 2023
Ben Albers, Director, term expires December 2022
Suzanne Valdez, Director, term expires December 2022
1. Title: Discussion by VCTC Director Deny Dotson regarding Virginia City Tourism Commission (VCTC) approval or possible approval to explore possible purchase of shuttle bus or other transportation not to exceed $105,000, for the purpose of transporting visitors to and from events and sites in Virginia City.
2. **Recommended motion:** Discussion Only
3. Prepared by: Deny Dotson
Department: VCTC Telephone: 775-847-7500
4. Staff summary:
Storey County has had several used smaller shuttle vans and busses for years. However, with tourism growth, a larger shuttle bus is needed to safely transport visitors in and around Virginia City, and to and from its peripheral attractions such as Saint Mary’s Art Center, Gold Hill Hotel, Fourth Ward School Museum, Pipers Opera House and the newly acquired VC Freight Depot. Assisting senior citizens and persons with disabilities has also been forefront in discussions. For these reasons, a shuttle bus-type vehicle has been added to the draft Capital Improvement Plan.
The need for local transportation is also exacerbated by the influx of large events at the F Street Fairgrounds (e.g., rodeos, concerts, monster trucks, etc.) and increased V&T Railroad activities.
This purchase also responds to safety concerns associated with large numbers of visitors walking to and from the Fairgrounds at night and during inclement weather, and it will provide safe and reliable transportation for persons with disabilities.
A new shuttle bus-type vehicle has become available on the market. It appears to meet the needs of the VCTC including passenger capacity and drivetrains capable of handling local geography.
The VCTC Board has approved the Director, Deny Dotson to inspect this vehicle, arrive at a conclusion, and potentially negotiate a fair purchase price within set parameters. Authorization to proceed also included the costs for painting (or vinyl application wrap).
and other such improvements and travel accommodations for the VCTC director and a Storey County mechanic (if needed).
5. Supporting materials:
6. Fiscal impact:
Funds Available: Fund: Comptroller
7. Legal review required:
District Attorney
8. Reviewed by:
Department Head: Commissioner’s Office
County Manager: Other agency review: ________________
9. Board action:
[ ] Approved
[ ] Denied
[ ] Approved with Modifications
[ ] Continued
Agenda Item No.
Purchase Agreement
Storey County
Virginia City NV 89440
FAX: email@example.com
Unit Information
New/U Year Make Model Serial No. Stock No. Price (Incl factory options)
New 2022 FORD ELDORADO ADVANTAGE 1FDFE4FNXNDC37712 S37712 $99,850.00
Lienholder: None
Dealer Unit Price $99,850.00
Options:
Signed Bill of Sale Holds Bus Until:
Downpayment Holds Bus Until: 02/15/2022
Downpayment To Be Made Via:
Unit Must Be Paid in Full By: 02/15/2022
Payment In Full To Be Made Via:
Unit Must Be Removed By:
Wiring Instructions:
Account to Credit Name: Las Vegas Bus Sales
Account #: 140 268 539
ABA/Routing #: 325170754 (Timberland Bank)
Bank Address: 624 Simpson Ave. Hoquiam, WA 98550
Notes:
Price $99,850.00
Net Sale $99,850.00
Sales Tax $0.00
Document or Administration Fees $150.00
Total Other Charges $150.00
Sub Total (Net Sale + Other Charges) $100,000.00
Down Payment $1,000.00
Amount Due $99,000.00
Trade Information
UNITS WARRANTIED BY BODY MANUFACTURER AND CHASSIS MANUFACTURER ONLY
Title remains in seller's possession until payment is received in full. Buyer acknowledges receipt of a copy of this purchase agreement and further acknowledges having read and agreed to the terms and conditions printed on the agreement. Buyer understands that the down payment is not refundable unless stated otherwise.
New vehicles sold only with the manufacturer's warranty. Las Vegas Bus Sales Inc. disclaims any warranty, either express or implied, regarding the merchantability or fitness for a particular purpose regarding the new vehicle sold.
Customer Signature ___________________________ Dealer Signature ___________________________ Approved By ________________
Thank You for Your Business!
NEW 2022 ElDorado Advantage Shuttle Bus S37712
Price: CALL FOR PRICE
Stock #: S37712
This is a NEW 2022 ElDorado Advantage shuttle bus. This bus is built on the Ford E450 chassis and is powered by a 7.3 liter V-8 gas engine, nicknamed “Godzilla”. Inside the bus is seating for 24 passengers on high back seats with attractive vertical stitched fabric and equipped with seat belts. This shuttle has plenty of storage between the overhead parcel racks and rear storage. The bus is also equipped with a large A/C system including front and rear heat. Other options include a cruise steering wheel, back up camera, public address system and more. Call us today for all the details at 1-877-456-9804. Financing is available.
*All prices are listed after OEM rebates
*Rebate only applicable in the United States
| **Status** | In Stock – Las Vegas Location |
|------------------|-------------------------------|
| **Condition** | New |
| **Year** | 2022 |
| **Make** | ElDorado |
| **Model** | Advantage |
| **Chassis** | Ford E450 Super Duty |
| **Engine** | 7.3 Liter V-8 "Godzilla" |
| **Fuel Type** | Gas |
| **Transmission** | Automatic |
| **Odometer** | New |
| **GVWR** | 14,500 lbs. |
| **Capacity** | 24 |
| **Air Conditioning** | Front & Rear |
| **Heat** | Front & Rear |
| **Seats** | Fabric, High Back, Recliners |
| **Seat Belts** | Lap Belts |
| **Storage** | Yes |
| **Canadian Admissible** | Yes |
| **Media** | AM/FM Stereo, Back Up Camera, MP3 Player, PA System |
| **Misc. Options & Features** | Overhead Parcel Storage, Entry Area Grab Rails, Exterior LED Lights, Fire Extinguisher, First Aid Kit, Interior LED Lights, Reverse Alarm |
Ford F-150
2015 Ford E450 14 Passenger Bus
• **Title:** Consideration and possible action directing the Comptroller to notify the Nevada Department of Taxation that Storey County will not be changing the property tax rater for Fiscal Year 2022-2023.
• **Recommended motion:** I, Commissioner ________, hereby approve the Comptroller to notify the Nevada Department of Taxation that Storey County will not be proposing any changes in the property tax rate for fiscal year 2022-2023.
• **Prepared by:** Jennifer McCain
**Department:** ___________________________ **Contact Number:** 7758471133
• **Staff Summary:** Per the Nevada Department of Taxation, local governments must notify them in writing by February 21, 2022 regarding proposed tax rate. The attached letter will serve as notification of no changes upon approval.
• **Supporting Materials:** See attached
• **Fiscal Impact:** Yes
• **Legal review required:** False
• **Reviewed by:**
___ Department Head
___ County Manager
**Department Name:**
**Other Agency Review:**
• **Board Action:**
[ ] Approved
[ ] Denied
[ ] Approved with Modification
[ ] Continued
February 15, 2022
Department of Taxation
Local Government Finance
Attn: Evelyn Barragan
1550 College Parkway No. 115
Carson City, Nevada 89706
Dear Ms. Barragan,
This letter serves as notification that Storey County proposes to levy the same property tax rate (3.4607%) for fiscal year 2022-2023 as was used in fiscal year 2021-2022.
If you have any questions or comments please call me at (775)847-1133 or Email me at firstname.lastname@example.org.
Best Regards,
Jennifer McCain
Comptroller
Storey County, Nevada
• **Title:** Consideration and possible approval for the Comptroller to sign an engagement letter with Christiansen Accounting for the Tahoe Reno Industrial Center-Public/Private Partnership Audit for years ending June 30, 2020 and 2021 with a cost not to exceed $25,000.
• **Recommended motion:** I, Commissioner ________, move to approve the Comptroller to sign the engagement letter with Christiansen Accounting for the Tahoe Reno Industrial Center-Public/Private Partnership Audit for years June 30, 2020 and 2021 with a cost not to exceed $25,000.
• **Prepared by:** Jennifer McCain
**Department:** ___________________________ **Contact Number:** 7758471133
• **Staff Summary:** An audit of the projects revenues will determine Storey County’s annual liability to TRI for the road infrastructure in the Tahoe Reno Industrial Center. Connie Christiansen has done this audit for several years and I am confident in the work she will do on behalf of Storey County and the Tahoe Reno Industrial Center. The estimate cost for this is not to exceed $25,000. We have been behind in these annual audits, these two years will bring the audits up to date and we will not be on a regular annual schedule.
• **Supporting Materials:** See attached
• **Fiscal Impact:** Yes
• **Legal review required:** False
• **Reviewed by:**
___ Department Head
___ County Manager
**Department Name:**
**Other Agency Review:**
• **Board Action:**
August 16, 2021
Storey County, Nevada
PO Box 432
Virginia City, NV 89440
Tahoe Reno Industrial Center LLC
c/o Cindy Gagliano, Norman Properties
PO Box 838
Poway, CA 92074
The following represents our understanding of the services I will provide to Tahoe Reno Industrial Center, LLC (TRI) and Storey County, Nevada (County).
You have requested that I audit the schedules of project revenue and net revenue (Schedule) for the Tahoe Reno Industrial Center Public-Private Partnership (Project), as reflected in Storey County’s records for the years ended June 30, 2020 and 2021, and the related notes to the Schedules, which collectively comprise the Project’s schedules of project revenue and net project revenue. The Project costs will reflect the total amounts agreed upon by the County and TRI for the respective years, which are stipulated amounts that may not reflect actual amounts allocated to TRI in the County’s general ledger. Accordingly, the actual operations and maintenance costs and overhead will not be subjected to audit procedures. I am pleased to confirm the acceptance and our understanding of this audit engagement by means of this letter. The audits will be conducted with the objective of my expressing an opinion on the Project’s schedules of project revenue and net revenue.
In addition to the schedules of project revenue and net revenue, the schedules of net revenue reimbursement, project vouchers and reimbursement limits for the Project for the years ended June 30, 2020 and 2021 will be included as supplementary information. I will not audit the assessed valuations of real and personal property of the Project as determined by the Storey County Assessor or the detail of the vouchers submitted for approval. Otherwise, the supplementary information detailed above will be subjected to the auditing procedures applied in the audits of the Schedule and certain additional procedures, including comparing and reconciling the supplementary information to the underlying accounting and other records used to prepare the Schedules or to the Schedules themselves, and additional procedures in accordance with U.S. Generally Accepted Auditing Standards (GAAS).
**Auditor Responsibilities**
I will conduct the audits in accordance with U.S. GAAS. Those standards require that I plan and perform the audits to obtain reasonable assurance about whether the Schedules are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the Schedule. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the Schedule, whether due to fraud or error, misappropriation of assets, or violations of laws, governmental regulations, grant agreements, or contractual agreements.
An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the Schedule and related notes. If appropriate, my procedures will therefore include tests of documentary evidence that support the transactions recorded in the accounts. As part of our audit process, I may request written representations from your attorneys, and they may bill you for responding. At the conclusion of the audits, I will also request certain written representations from you about the Schedule and related matters.
Because of the inherent limitations of an audit, together with the inherent limitations of internal control, an unavoidable risk that some material misstatements (whether caused by errors, fraudulent financial reporting, misappropriation of assets, or violations of laws or governmental regulations) may not be detected exists, even though the audit is properly planned and performed in accordance with U.S. GAAS.
In making my risk assessments, I consider internal control relevant to the County’s preparation and fair presentation of the Schedule in order to design audit procedures that are appropriate in the circumstances but not for the purpose of expressing an opinion on the effectiveness of the County’s internal control. However, I will communicate to you in writing concerning any significant deficiencies or material weaknesses in internal control relevant to the audits of the Schedules that I have identified during the audits. My responsibility as auditor is limited to the period covered by our audits and does not extend to any other periods.
I cannot provide assurance that unmodified opinions will be expressed. Circumstances may arise in which it is necessary for me to modify my opinions or add emphasis-of-matter or other-matter paragraphs. If my opinions on the Schedules are other than unmodified, I will discuss the reasons with you in advance. If, for any reason, I am unable to complete the audits or are unable to form or have not formed opinions, I may decline to express opinions or to issue a report as a result of this engagement.
**Compliance with Laws and Regulations**
As previously discussed, as part of obtaining reasonable assurance about whether the Schedules are free of material misstatement, I will perform tests of the County’s compliance with the provisions of applicable laws, regulations, contracts, and agreements. However, the objective of the audits will not be to provide an opinion on overall compliance, and I will not express such an opinion.
**Other Services**
I will also prepare the schedules of project revenue and net revenue and supplementary information for the Tahoe Reno Industrial Center Public-Private Partnership in conformity with the development agreement between Storey County, Nevada and Tahoe-Reno Industrial Center, LLC, subsequent stipulation agreements, and will be based on information provided by you. These nonaudit services do not constitute an audit under GAAS and such services will not be conducted in accordance with GAAS.
**Management Responsibilities**
My audits will be conducted on the basis that the County and TRI, acknowledge and understand that they have responsibility:
a. For the preparation and fair presentation of the Schedule, notes and supplementary information in accordance with the development agreement between Storey County, Nevada and the Tahoe Reno Industrial Center, LLC and any related stipulation agreements;
b. For the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of the Schedule, notes, and supplementary information that are free from material misstatement, whether due to error fraudulent financial reporting, misappropriation of assets, or violations of laws, governmental regulations, grant agreements, or contractual agreements; and
c. To provide me with:
i. Access to all information of which the County and TRI is aware that is relevant to the preparation and fair presentation of the Schedule, notes, and supplementary information such as records, documentation, and other matters;
ii. Additional information that I may request from the County and TRI for the purpose of the audits; and
iii. Unrestricted access to persons within the County and TRI from whom we determine it necessary to obtain audit evidence.
d. For including the auditor’s report in any document containing the Schedules that indicates that such Schedules have been audited by the Project’s auditor;
e. For identifying and ensuring that the County and TRI comply with the laws and regulations applicable to its activities relative to the Project;
f. For adjusting the Schedules to correct material misstatements and confirming to me in the management representation letter that the effects of any uncorrected misstatements aggregated by me during the current engagement and pertaining to the current periods under audit are immaterial, both individually and in the aggregate, to the Schedules as a whole; and
g. For acceptance of nonattest services, including identifying the proper party to oversee nonattest work;
h. For maintaining adequate records, selecting and applying accounting principles, and safeguarding assets.
i. For informing me of any known or suspected fraud affecting the Project involving management, employees with significant role in internal control and others where fraud could have a material effect on the Schedules; and
j. For the accuracy and completeness of all information provided.
With respect to the preparation of the Schedules and related notes and any nonattest services I perform, the County and TRI’s management are responsible for (a) making all management decisions and performing all management functions; (b) assigning a competent individual to oversee the services; (c) evaluating the adequacy of the services performed; (d) evaluating and accepting responsibility for the results of the services performed; and (e) establishing and maintaining internal controls, including monitoring ongoing activities.
With regard to the supplementary information referred to above, you acknowledge and understand your responsibility (a) for the preparation of the supplementary information in accordance with the applicable criteria, (b) to provide me with the appropriate written representations regarding supplementary information, (c) to include my report on the supplementary information in any document that contains the supplementary information and that indicates that I have reported on such supplementary information, and (d) to present the supplementary information with the audited Schedules, or if the supplementary information will not be presented with the audited Schedules, to make the audited Schedules readily available to the intended users of the supplementary information no later than the date of issuance by you of the supplementary information and my report thereon.
As part of my audit process, I will request from County and TRI management and, when appropriate, those charged with governance, written confirmation concerning representations made to me in connection with the audits.
**Reporting**
I will issue a written report upon completion of our audits of the schedules of project revenue and net revenue for the Tahoe Reno Industrial Center Public-Private Partnership. My report will be addressed to the governing body of Storey County and TRI. I cannot provide assurance that unmodified opinions will be expressed. Circumstances may arise in which it is necessary for me to modify my opinions, add an emphasis-of-matter or other-matter paragraph(s), or withdraw from the engagement.
**Other**
I understand that your employees will prepare all confirmations I request and will locate any documents or support for any other transactions I select for testing.
If you intend to publish or otherwise reproduce the Schedules and make reference to my firm, you agree to provide me with printers’ proofs or masters for my review and approval before printing. You also agree to provide me with a copy of the final reproduced material for my approval before it is distributed.
**Provisions of Engagement Administration, Timing and Fees**
During the course of the engagement, I may communicate with you or your personnel via fax or e-mail, and you should be aware that communication in those mediums contains a risk of misdirected or intercepted communications.
Connie Christiansen is the engagement partner for the audit services specified in this letter. Responsibilities include supervising services performed as part of this engagement and signing the audit reports as Connie Christiansen, CPA or a legally authorized fictitious firm name. I expect to begin the audits upon receipt of the signed engagement letter.
My fees are based on my standard hourly rate of $200, plus actual out-of-pocket expenses. Travel time will be billed at 50% of my standard hourly rate. Invoices are payable by Storey County upon presentation. It is expected that each year’s audit will not exceed $20,000 for a total cost of $40,000. However, the recent stipulation agreement includes new revenue streams that have not previously been subject to audit and may require additional work. I will notify you immediately of any unusual circumstances I encounter that may result in a substantial increase in work and fees. Whenever possible, I will attempt to use County’s personnel to assist in the preparation of schedules and analyses of accounts. This effort could substantially reduce our time requirements and facilitate the timely conclusion of the audits.
In addition, I will be compensated for any time and expenses, including time and expenses of legal counsel, I may incur in conducting or responding to discovery requests or participating as a witness or otherwise in any legal, regulatory, or other proceedings as a result of my Firm’s performance of these services. You and your attorney will receive, if lawful, a copy of every subpoena I am asked to respond to on your behalf and will have the ability to control the extent of the discovery process to control the costs you may incur.
Should our relationship terminate before the audit procedures are completed and reports are issued, you will be billed for services to the date of termination. All bills are payable upon receipt. If collection action is necessary, expenses and reasonable attorney’s fees will be added to the amount due.
During the course of the audits, I may observe opportunities for economy in, or improved controls over, the tracking of Project revenue. I will bring such matters to the attention of the appropriate level of management, either orally or in writing.
I may use third party service providers and/or affiliated entities in order to facilitate delivering these services to you. My use of service providers may require access to client information by the service provider. I will take reasonable precautions to determine that they have the appropriate procedures in place to prevent the unauthorized release of confidential information to others. I will remain responsible for the confidentiality of client information accessed by such service provider and any work performed by such service provider.
You agree to inform me of facts that may affect the Schedules of which you may become aware during the period from the date of the auditor’s report to the date the Schedules are issued.
I agree to retain the audit documentation or work papers for a period of at least eight years from the date of my report.
At the conclusion of the audit engagement, I will communicate to Storey County and TRI the following significant findings from the audits:
- My view about the qualitative aspects of the significant accounting practices in relation to the development agreement between Storey County, Nevada and TRI and any related stipulation agreements;
- Significant difficulties, if any, encountered during the audits;
- Uncorrected misstatements, other than those we believe are trivial, if any;
- Disagreements with management, if any;
- Other findings or issues, if any, arising from the audits that are, in my professional judgment, significant and relevant to those charged with governance regarding their oversight of the financial reporting process;
- Material, corrected misstatements that were brought to the attention of management as a result of our audit procedures;
- Representations I requested from management;
- Management’s consultations with other accountants, if any; and
- Significant issues, if any, arising from the audits that were discussed, or the subject of correspondence, with management.
The audit documentation for this engagement is the property of Connie Christiansen, CPA and constitutes confidential information. However, I may be requested to make certain audit documentation available to regulators pursuant to authority given to them by law or regulation. If requested, access to such audit documentation will be provided under my supervision. Furthermore, upon request, I may provide copies of selected audit documentation to Storey County and TRI. The parties may intend, or decide, to distribute the copies of information contained therein to others, including other governmental agencies.
DISPUTE RESOLUTION
The following procedures shall be used to resolve any disagreement, controversy or claim that may arise out of any aspect of my services or relationship with you, including this engagement, for any reason (“Dispute”). Specifically, we agree to first mediate.
Mediation
All Disputes between us shall first be submitted to non-binding mediation by written notice ("Mediation Notice") to the other party. In mediation, I will work with you to resolve any differences voluntarily with the aid of an impartial mediator. The mediator will be selected by mutual agreement, but if we cannot agree on a mediator, one shall be designated by the American Arbitration Association ("AAA").
The mediation will be conducted as specified by the mediator and agreed upon by the parties. The parties agree to discuss their differences in good faith and to attempt, with the assistance of the mediator, to reach an amicable resolution of the Dispute. Mediation will be conducted with the parties in person in Reno, Nevada.
Each party will bear its own costs in the mediation. The fees and expenses of the mediator will be shared equally by the parties.
Either party may commence suit on a Dispute after the mediator declares an impasse.
INDEMNITY
You agree that Connie Christiansen, CPA, legally authorized fictitious firm, and any affiliates, officers or employees (collectively “Connie Christiansen, CPA”) shall be responsible for or liable to you for any misstatements in your Schedules and supplementary information that we may fail to detect as a result of knowing representations made to us, or the concealment or intentional withholding of information from us,
by any of your owners, directors, officers or employees, whether or not they acted in doing so in your interests or for your benefit, and to hold Connie Christiansen, CPA harmless from any claims, losses, settlements, judgments, awards, damages and attorneys’ fees from any such misstatement, provided that the services performed hereunder were performed in accordance with professional standards, in all material respects.
If a claim is brought against you by a third-party that arises out of or is in any way related to the services provided under this engagement, you agree to indemnify Connie Christiansen, CPA, its partners, affiliates, officers and employees against any losses, including settlement payments, judgments, damage awards, punitive or exemplary damages, and the costs of litigation (including attorneys’ fees) associated with the services performed hereunder provided that the services were performed in accordance with professional standards, in all material respects.
ASSIGNMENTS PROHIBITED
You agree that you will not and may not assign, sell, barter or transfer any legal rights, causes of actions, claims or Disputes you may have against Connie Christiansen, CPA, its partners, affiliates, officers and employees, to any other person or party, or to any trustee, receiver or other third party.
Please sign and return the attached copy of this letter to indicate your acknowledgment of, and agreement with, the arrangements for my audits of the schedules of project revenue and net revenue for the Tahoe Reno Industrial Center Public-Private Partnership.
I appreciate the opportunity to be your certified public accountant and look forward to working with you.
Respectfully,
Connie Christiansen, CPA
Christiansen Accounting Network
RESPONSE:
This letter correctly sets forth our understanding.
Acknowledged and agreed on behalf of Storey County, Nevada by:
Name: ________________________________
Title: __________________________________
Date: __________________________________
Acknowledged and agreed on behalf of Tahoe Reno Industrial Center, LLC by:
Name: ________________________________
Title: __________________________________
Date: __________________________________
• **Title:** Consideration and Possible Action of Grant of Easement to NV Energy for utilities within a portion of the South E Street Right-of-Way, Virginia City, Storey County, Nevada, 2002-03.
• **Recommended motion:** In accordance with the recommendation by staff, I [commissioner] move to approve a Grant of Easement (2022-03) to NV Energy for utilities located within a portion of the South E Street right-of-way, Virginia City, Storey County, Nevada.
• **Prepared by:** AGENDA_SUBMITTER
**Department:**
**Contact Number:** 7758471144
• **Staff Summary:** NV Energy is requesting an easement associated with existing power lines within Virginia City to construct, operate, add to, modify, maintain and remove communication facilities and electric line systems for distribution and transmission of electricity above and below ground, along with ingress and egress across easement areas and removal, clear, cut or trim any obstruction or material within easement areas for safe and proper use of facilities within the easement areas. The Public Works Director has reviewed the easement and given his approval. The proposed easement will also provide power to a new residence and is located within a portion of the South E Street right-of-way, Virginia City, Storey County, Nevada.
• **Supporting Materials:** See attached
• **Fiscal Impact:** None
• **Legal review required:** False
• **Reviewed by:**
___ Department Head
___ County Manager
___ Department Name:
___ Other Agency Review:
• **Board Action:**
| [ ] Approved | [ ] Approved with Modification |
|--------------|--------------------------------|
| [ ] Denied | [ ] Continued |
Location: E Street (Between Silver St. & Flowery St.)
The undersigned hereby affirms that this document, including any exhibits hereby submitted for recording does not contain the personal information of any person or persons (Per NRS 239B.030)
RECORDING REQUESTED BY:
WHEN RECORDED MAIL TO:
Land Resources
NV Energy
P.O. Box 10100 MS S4B20
Reno, NV 89520
GRANT OF EASEMENT
STOREY COUNTY, a political subdivision of the State of Nevada, ("Grantor"), for One Dollar ($1.00) and other good and valuable consideration, receipt of which is hereby acknowledged, and on behalf of itself and its successors and assigns, grants and conveys to Sierra Pacific Power Company, a Nevada corporation, d/b/a NV Energy ("Grantee") and its successors and assigns a perpetual right and easement:
1. To construct, operate, add to, modify, maintain, replace and remove communication facilities and electric line systems for the distribution and transmission of electricity above ground and underground, consisting of poles, other structures, wires, cables, bollards, pole-mounted transformers, anchors, guys and other equipment, fixture, apparatus, and improvements ("Utility Facilities"), and service boxes/meter panels, cabinets, bollards and other equipment, fixtures, apparatus, and improvements ("Additional Utility Facilities") upon, over, under and through the property legally described in Exhibit A attached hereto and by this reference made a part of this Grant of Easement ("Easement Area");
2. For ingress and egress to, from, over and across the Easement Area for the allowed purposes defined in numbered paragraph 1 above and for all other activities permitted by this agreement;
3. To remove, clear, cut or trim any obstruction or material (including trees, other vegetation and structures) from the surface or subsurface of the Easement Area as Grantee may deem necessary or advisable for the safe and proper use and maintenance of the Utility Facilities or the Additional Utility Facilities within the Easement Area.
Grantee will be responsible for any damages, proximately caused by Grantee negligently construction, operating, adding to, maintain, or removing the Utility Facilities and/or the Additional Utility Facilities, to any tangible, personal property or improvements owned by Grantor and located on the Easement Area on the date Grantor signs the Grant of Easement. However, this paragraph does not apply to and Grantee is not responsible for, any damages caused when Grantee exercises its rights under numbered paragraph 3 above so long as it exercises its rights in a prudent and non-negligent manner.
Grantee shall bear the entire cost and expense of installing and maintaining said Utility Facilities and Additional Utility Facilities in said Easement Area.
Grantee shall, at its expense, comply with all applicable laws, regulations, rules and orders regardless of when they become or became effective, including, without limitation, those relating to health, safety, noise, environmental protection, waste disposal, and water and air quality.
Grantee shall coordinate initial construction and/or maintenance with any existing lessees/occupants of the real property and shall use its best efforts not to unreasonably interfere with use/access of such lessees/occupants in the course of its construction and/or maintenance.
Grantee agrees that no assessments will be levied against the property of Grantor to defray any part of the expense incurred in connection with any construction in the Easement Area.
Grantee agrees to investigate, release, defend, indemnify and hold harmless Grantor, its officers, employees, agents, successors and assigns from all claims, liability, cost and expense, howsoever same may be caused, including reasonable attorney’s fees, for loss of or damage to property for injuries to or death of persons.
arising out of the construction, reconstruction, maintenance, presence in, or use of the Easement Area by Grantee, its employees, agents, licensees, invitees, successors or assigns.
Grantee shall fully pay for all materials installed in the Easement Area and shall pay in full all persons who perform labor thereupon. Grantee shall not permit any mechanics’ or materialmen’s liens of any kind or nature to be enforced against the property for any work done or materials furnished thereon at Grantee’s request.
Grantor covenants for the benefit of Grantee, its successors and assigns, that no building, structure or other real property improvements will be constructed or placed on or within the Easement Area without the prior written consent of Grantee, such structures and improvements to include, but not be limited to, drainage, trees, bridges, signage, roads, fencing, storage facilities, parking canopies, and other covered facilities. Grantee and Grantor must document Grantee’s consent by both signing Grantee’s standard, recordable use agreement. Grantor retains, for its benefit, the right to maintain, use and otherwise landscape the Easement Area for its own purposes; provided, however, that all such purposes and uses do not interfere with Grantee’s rights herein, Grantee’s electrical practices, and the National Electrical Safety Code. Grantee may use this easement to provide service to any of its customers.
(signatures on next page)
IN WITNESS WHEREOF, Grantor has caused these presents duly to be executed the day and year first above written.
GRANTOR:
Accepted for the County of Storey,
by the Board of County Commissioners
By: ________________________________
Name: _______________________________
Title: ________________________________
Date: _______________________________
GRANTEE:
Sierra Pacific Power Company
By: ________________________________
Name: Matt Gingerich
Title: Manager, Land Resources
Date: _______________________________
(acknowledgements on next page)
Location: E Street (Between Silver St. & Flowery St.)
RW# 0113-2022
Proj. #3008132788
Project Name: E-311 F ST-SO-RES-E-HEVERN AND THOMPSON
GOE_DESIGN_OH_UG
ACKNOWLEDGEMENTS
STATE OF NEVADA ) )
COUNTY OF WASHOE ) ss.
This instrument was acknowledged before me this _____ day of ____________, 2022, by Matt Gingerich as Manager, Land Resources of Sierra Pacific Power Company d/b/a NV Energy.
______________________________________________________
Notary Public
STATE OF NEVADA ) )
COUNTY OF STOREY ) ss.
This instrument was acknowledged before me this _____ day of ____________, 2022, by ____________________ as ____________________ of the BOARD OF COUNTY COMMISSIONERS OF STOREY COUNTY, a political subdivision of the State of Nevada.
______________________________________________________
Notary Public
Location: E Street (Between Silver St. & Flowery St.)
RW# 0113-2022
Proj. #3008132788
Project Name: E-311 F ST-SO-RES-E-HEVERN AND THOMPSON
GOE_DESIGN_OH_UG
A portion of the Southwest quarter of Section 29, Township 17 North, Range 21 East, M.D.M., Storey County, Nevada; situated within E street of Virginia City:
An easement, 15 feet in width, lying 7.5 feet on each side of the following described centerline:
COMMENCING at the most easterly Corner of Lot 1, Block 176, Range “D”, per a Record of Survey in Support of a Boundary Line Adjustment for Joann Aldrich, recorded as File Number 101075 on June 22, 2005, Official Records of Storey County, Nevada;
THENCE along the east side of said Lot 1, South 26°08'19" West, 92.76 feet;
THENCE leaving said east line, South 20°11'07" East, 37.54 feet to the POINT OF BEGINNING;
THENCE South 15°31'10" West, 228 feet to an existing NV Energy pole and the TERMINUS OF THIS DESCRIPTION.
Together with the right to install guy and anchor facilities at poles required, to support said poles. Said facilities to extend not more than 25 feet from poles so supported.
Said Easement contains 3,400 square feet more or less.
See Exhibit "A-1" attached hereto and made a part thereof.
The Basis of Bearings for this Exhibit is said record of survey.
Prepared by Brett Clarke, L.S.I.
EXHIBIT A-1
APN: 001-131-16
R/S 101075
APN: 001-131-12
APN: 001-131-08
APN: 001-132-29
APN: 001-132-30
STOREY COUNTY
VIRGINIA CITY
E STREET
EASEMENT AREA: 3,400 SF±
NV Energy
6100 NEIL RD.
RENO, NV 89511
775-834-4011
EXHIBIT MAP
EASEMENT
STOREY COUNTY
E STREET
SECT. 29, T. 17 N., R. 21 E., M.D.M.
VIRGINIA CITY STOREY COUNTY NEVADA
SCALE: 1" = 50'
1/2022 1 OF 1
Title: Consideration and possible approval of Business License Second Readings:
- A. A W Farrell & Son, Inc. – Contractor / 3649 Lakeshore Dr. East ~ Dunkirk, NY
- B. Get Trash’d Removal Service – Home Business / 2569 Cartwright Rd. ~ Reno, NV
- C. Lobo Roofing, Inc. – Contractor / 422 13th St. ~ Sparks, NV
- D. Michels Construction, Inc. – Contractor / 817 Main St. ~ Brownsville, WI
- E. Victory Woodworks, Inc. – Contractor / 340 Kresge Ln. ~ Sparks, NV
Recommended motion: Approval
Prepared by: Ashley Mead
Department: Contact Number: 7758470966
Staff Summary: Second readings of submitted business license applications are normally approved unless, for various reasons, requested to be continued to the next meeting. A follow-up letter noting those to be continued or approved will be submitted prior to the Commission meeting. The business licenses are then printed and mailed to the new business license holder.
Supporting Materials: See attached
Fiscal Impact: None
Legal review required: False
Reviewed by:
___ Department Head Department Name:
___ County Manager Other Agency Review:
Board Action:
[ ] Approved [ ] Approved with Modification
[ ] Denied [ ] Continued
To: Vanessa Stephens, Clerk’s office
Austin Osborne, County Manager
Fr: Ashley Mead
Please add the following item(s) to the February 15, 2022 COMMISSIONERS Consent Agenda:
SECOND READINGS:
A. A W Farrell & Son, Inc.– Contractor / 3649 Lakeshore Dr. East ~ Dunkirk, NY
B. Get Trash’d Removal Service – Home Business / 2569 Cartwright Rd. ~ Reno, NV
C. Lobo Roofing, Inc. – Contractor / 422 13th St.~ Sparks, NV
D. Michels Construction, Inc. – Contractor / 817 Main St. ~ Brownsville, WI
E. Victory Woodworks, Inc. – Contractor / 340 Kresge Ln. ~ Sparks, NV
Ec: Community Development
Commissioner’s Office
Planning Department
Comptroller’s Office
Sheriff’s Office
• **Title:** Call to Order Closed Session meeting pursuant to NRS 288.220 for the purpose of conferring with county management and legal counsel regarding labor negotiations with the Storey County Employees’ Association Comstock Chapter, AFSCME Local 4041. This meeting will begin immediately following the general meeting of the Board of Storey County Commissioners.
• **Recommended motion:** No action.
• **Prepared by:** Austin Osborne
**Department:**
**Contact Number:** 7758470968
• **Staff Summary:** Pursuant to NRS 288 and the existing 2019-2022 collective bargaining agreement between the Storey County Employees’ Association and the Storey County Board of County Commissioners, the bargaining agreement is proposed to be modified as tentatively agreed between the parties.
• **Supporting Materials:** See attached
• **Fiscal Impact:**
• **Legal review required:** TRUE
• **Reviewed by:**
___ Department Head
___ County Manager
Department Name:
Other Agency Review:
• **Board Action:**
| [ ] Approved | [ ] Approved with Modification |
| [ ] Denied | [ ] Continued |
|
A Climatology of Wintertime Barrier Winds off Southeast Greenland
B. E. Harden and I. A. Renfrew
University of East Anglia, Norwich, United Kingdom
G. N. Petersen
Icelandic Met Office, Reykjavik, Iceland
(Manuscript received 6 October 2010, in final form 23 February 2011)
ABSTRACT
A climatology of barrier winds along the southeastern coast of Greenland is presented based on 20 yr of winter months (1988–2008) from the ECMWF Interim Reanalysis (ERA-Interim). Barrier wind events occur predominantly at two locations: Denmark Strait North (DSN; 67.7°N, 25.3°W) and Denmark Strait South (DSS, 64.9°N, 35.5°W). Events stronger than 20 m s\(^{-1}\) occur on average once per week during winter with considerable interannual variability, from 0 to 20 per month. The monthly frequency of barrier wind events correlates with the monthly North Atlantic oscillation (NAO) index with a correlation coefficient of 0.57 (0.31) at DSN (DSS). The associated total turbulent heat fluxes for barrier wind events (area averaged) were typically about 200 W m\(^{-2}\) with peak values of 400 W m\(^{-2}\) common in smaller regions. Area-averaged surface stresses were typically between 0.5 and 1 N m\(^{-2}\). Total precipitation rates were larger at DSS than DSN, both typically less than 1 mm h\(^{-1}\). The total turbulent heat fluxes were shown to have a large range as a result of a large range in 2-m air temperature. Two classes of barrier winds—warm and cold—were investigated and found to develop in different synoptic-scale situations. Warm barrier winds developed when there was a blocking high pressure over the Nordic seas, while cold barrier winds owed their presence to a train of cyclones channeling through the region.
1. Introduction
Greenland presents a high, steep, and cold topographic barrier to the atmosphere. Its ice sheet, which covers 80% of the landmass, is responsible for the Greenland plateau being higher than 3000 m above sea level. This large, cold mass is capable of diverting and distorting atmospheric flow around it, forcing a number of intermittent, low-level, high-velocity wind events, such as westerly and easterly tip jets (Doyle and Shapiro 1999; Moore 2003; Moore and Renfrew 2005, hereafter MR05; Våge et al. 2009; Renfrew et al. 2009a; Outten et al. 2009, 2010), barrier winds (MR05; Petersen et al. 2009) and katabatic/downslope winds (Heinemann and Klein 2002; Klein and Heinemann 2002). It also has influences on the development of polar lows (Martin and Moore 2006), cyclogenesis (Petersen et al. 2003; Serreze et al. 1997), cyclolysis (Hoskins and Hodges 2002; Serreze et al. 1997), and the properties of cyclones that pass through the region (Kristjánsson and McInnes 1999; Skeie et al. 2006).
Not only are the low-level wind events produced by Greenland responsible for some of the stormiest seas in the world’s oceans (Sampe and Xie 2007; Moore et al. 2008) producing hazardous maritime conditions, but interest has been piqued recently into the possible influence that these intermittent events have on the ocean in a region that is vital for the thermohaline circulation. For example, westerly tip jets (produced around the southern tip of Greenland) have been shown to be capable of triggering deep convection in the Irminger Sea (Pickart et al. 2003; Våge et al. 2008). The knowledge that intense, but intermittent, wind phenomena can have a protracted impact on the slow overturning circulation of the Atlantic Ocean points to the importance of understanding the prevalent atmospheric conditions and ocean forcing in the region.
The subject of this study is barrier winds—low-level jets produced when air is forced toward a high and...
steep topographic barrier (such as Greenland) with a large nondimensional mountain height, \( Nh/U \), where \( N \) is the Brunt–Väisälä frequency, \( h \) is the mountain height, and \( U \) is the upstream wind speed (Schwerdtfeger 1975; Parish 1983; Pierrehumbert and Wyman 1985). The air, unable to ascend the barrier, is dammed and a pressure gradient perpendicular to the barrier develops, leading to geostrophic flow along the barrier (to first order). When the upstream winds are produced by a synoptic-scale cyclone, the separation of “synoptic” and “perturbation” pressure gradients is difficult (e.g., see Petersen et al. 2009). Barrier winds have been studied in situ and through numerical models at numerous mountainous locations around the world: the Antarctic Peninsula (Schwerdtfeger 1975; Parish 1983), Alaska (Loeschner et al. 2006; Olson and Colle 2009), California (Cui et al. 1998), New Zealand (Revell et al. 2002), the Rockies (Colle and Mass 1995), the Sierra Nevada (Parish 1982), the Appalachians (Bell and Bosart 1988), and the Alps (Chen and Smith 1987), plus have been the subject of a number of idealized numerical studies (Braun et al. 1999; Petersen et al. 2003, 2005).
Along the coast of Greenland, barrier wind events were comprehensively observed by instrumented aircraft during the Greenland Flow Distortion Experiment (GFDex) field campaign (Renfrew et al. 2008). Petersen et al. (2009) provide an overview of two barrier wind events, including jet cross sections from dropsonde soundings, numerical simulations, and trajectory analysis. They showed that the presence of Greenland caused up to a doubling in the maximum wind speed along the coastline—with the precise synoptic-scale situation being critical for the location and magnitude of the associated barrier winds. GFDex showed how potentially important these winds could be for the ocean. In the two and a half weeks of the field campaign, three barrier wind events were observed; in one case, measured total turbulent heat fluxes exceeded 600 W m\(^{-2}\) and surface stresses reached 1.5 N m\(^{-2}\) (Renfrew et al. 2009b).
An investigation of their effects on the ocean was conducted through very high-resolution numerical modeling of the Irminger Sea and Denmark Strait by Haine et al. (2009). They showed that these barrier winds were capable of producing maximum net heat fluxes of around 600 W m\(^{-2}\) and a peak current of nearly 2 m s\(^{-1}\), and that the boundary layer depth of the ocean responds rapidly and sensitively with mean values of around 100 m but with maximum values as large as 500 m. Recently, Straneo et al. (2010) showed that strong barrier winds off southeast Greenland are likely responsible for the recirculation of warm water up glacial fjords, increasing the melting of glaciers at their base and enhancing the speed of their descent into the ocean.
Tip jets and barrier winds around Greenland were the subject of the Quick Scatterometer (QuikSCAT) climatology of MR05. MR05 provided much useful information about strong wind events in the region but was limited by only having a 5-yr record over the ice-free oceans and only for 10-m winds. A lack of wind speed data over sea ice affects a large region in the north of Denmark Strait, where barrier winds are known to occur (Petersen et al. 2009). Tip jets have recently been the subject of climatologies using atmospheric reanalysis products (Sproson et al. 2008; Våge et al. 2009), but climatological knowledge of barrier winds in the region is still limited to that provided by MR05. Here we build upon that by compiling a climatology of barrier winds using state-of-the-art meteorological reanalyses, thus making use of a number of diagnostics throughout the atmosphere as well as over land and sea ice.
The aims of this study are summarized as follows:
- To extend knowledge about the frequency, strength, location, and properties of barrier winds in the region.
- To outline the impact these winds could be having on the ocean, providing the oceanic community with a useful tool for studying atmospheric forcing in the region.
2. Data
a. Description
Data from the European Centre for Medium-Range Weather Forecasts (ECMWF) Interim Reanalysis (ERA-Interim) (Berrisford et al. 2009) were used for this study. ERA-Interim is a global reanalysis product that covers the period from 1989 to the present. A number of improvements have been made on its predecessor, the 40-yr ECMWF Re-Analysis (ERA-40). These include many model refinements along with changes in data assimilation; most significantly, a four-dimensional variational data assimilation (4D-Var) process is now used (Rabier et al. 1998).
The underlying model for ERA-Interim is ECMWF’s Integrated Forecast System (IFS) cycle 31r2. This is a spectral, semi-implicit, semi-Lagrangian model with 255 spectral modes (T255) and 60 levels (L60) in the vertical. For gridpoint fields, a reduced Gaussian grid is used with an approximately uniform spacing of 80 km (N128). This is a marked improvement on ERA-40, which was T159, L60, and N80, so an approximate horizontal resolution of 125 km. The improvement in horizontal resolution is crucial, for this study, to adequately resolve the relatively small-scale barrier winds. The atmosphere is coupled to an ocean wave model with 30 wave frequencies that can propagate in 24 directions.
Reanalysis fields are produced 4 times daily at 0000, 0600, 1200, and 1800 UTC. Ten-day forecasts are run twice a day, initialized at 0000 and 1200 UTC. Data are available on the 60 model levels or, as used here, interpolated onto 37 pressure levels.
b. Verification
To appreciate the strengths and limitations of ERA-Interim, a verification of the output against observations is necessary. In the region of interest for this study (the subpolar seas of the North Atlantic), work has already been conducted to verify ECMWF products (Renfrew et al. 2002; Våge et al. 2009; Renfrew et al. 2009b). These studies were conducted under similar meteorological conditions to those of this study, which makes their findings particularly pertinent. These studies were examining ERA-40 and ECMWF operational analyses (not ERA-Interim); however, the underlying model dynamics are largely the same, so much of this verification should be applicable here. ECMWF products were found to perform reasonably well at the surface; however, high wind speed events were underrepresented in coarse-resolution models by up to 5 m s\(^{-1}\) (Våge et al. 2009; Renfrew et al. 2009b), near-surface temperatures had a systematic cold bias of around 1 K, and the resulting heat fluxes were observed to be too large by 10% (Renfrew et al. 2009b). To confirm that these findings are relevant to ERA-Interim, further verification is now presented.
Near-surface meteorological variables were collected during a research cruise in the Irminger Sea aboard the R/V *Knorr* in October 2008 (KN194–4). Specifically, pressure and wind speed measured by the Improved
Meteorological (IMET) package and temperature as recorded by the Vaisala WXT5–10 system. All meteorological instruments were mounted on a tower at the bow of the ship, which put them 15.5 m above sea level. In all subsequent analysis, the measurements are extrapolated to the same heights as the outputs from ERA-Interim—that is, to 10 m for wind speed, to 2 m for temperature, and to the surface for pressure. This was achieved using the logarithmic neutral profile formulas for wind speed and temperature, and hydrostatic balance for pressure. Stability-dependent surface-layer formulas (Smith 1988) were also used for the wind speed and temperature reductions but few discernible differences were seen. Because of an incomplete humidity record, the neutral formulas were used.
A number of barrier winds were observed during the October 2008 cruise, making this dataset ideal for verifying the performance of ERA-Interim for this study. Figure 1 illustrates that surface pressure and the 10-m wind speed from ERA-Interim compare well with data collected on the Knorr. The ERA-Interim pressure, in particular, is in excellent agreement with the measured pressure. Strong winds are only slightly underrepresented in ERA-Interim (mean bias is $-1$ m s$^{-1}$), indeed the product performs better than was found in comparing ERA-40 wind speeds with QuikSCAT (Vage et al. 2009). The thick dashed trend line in Fig. 1d shows the regression for all data points collected, but perhaps it is a little misleading. It includes points recorded after 20 October 2008 (dashed line in Fig. 1c), when the Knorr spent much of its time in coastal regions where sheltering effects often lead to stronger winds in the model than were recorded on the Knorr. These latter points are shown in Fig. 1d with circles, and the trend line excluding these points is shown as the solid line in Fig. 1d. The conclusion is that ERA-Interim represents 10-m winds well and better than previous studies in which high wind speeds were significantly underrepresented, for example, a mean bias of $-2.5$ m s$^{-1}$ in Renfrew et al. (2009b).
The temperature comparison and trend line in Figs. 1e,f show that the 2-m temperature model field has a cold bias of 2°C, a feature seen by Renfrew et al. (2009b) when comparing observations to the ECMWF 1.125° operational analysis and which they attribute to low model resolution—the feature was not there for the same comparison with the ECMWF T511 resolution model. As in that study, this is likely to produce an overestimation of surface turbulent heat fluxes. Overall, it seems that the performance of ERA-Interim at the surface is good.
To be able to say how well ERA-Interim performs with height, comparisons with radiosonde and dropsonde observations in the region of interest were conducted. Radiosondes were launched during the R/V Knorr
Fig. 3. (top) Mean of the 10-m wind field (m s\(^{-1}\)) and mean sea level pressure (contours every 2 hPa) for ERA-Interim in DJF of 1989–2008. Wind vectors are shown at every third data point. (bottom) Mean 2-m temperature over the same period (contours every 5 K below 270 K and every 2 K above this value).
Comparisons were also made between ERA-Interim and the cross sections shown in Petersen et al. (2009). These used dropsonde observations during barrier wind conditions in the Denmark Strait during GFDeX (not shown). These comparisons yielded similar features to those seen in Fig. 2. The magnitude and vertical structure of the barrier winds were generally well represented, although peak winds in the jet core and sharp vertical gradients were occasionally too weak. The fact that the general magnitude of the jet is captured is an indication that the horizontal resolution is sufficient to adequately resolve these features.
What we have learned from these verifications and from previous studies is that the ERA-Interim product is most accurate at the surface, where wind speed, temperature, and fluxes are generally well represented. The resolution is sufficient to resolve barrier jets, although care should be taken when interpreting their vertical structure which, although capturing the basic structure, will not necessarily capture the strength of the vertical gradients.
3. Near-surface climatology
The near-surface fields from ERA-Interim winters [December–February (DJF)] between 1989 and 2008 are used to draw a climatological picture of the mean state in the region. The winter period was chosen for study because of the increased frequency of strong wind events at this time (Sampe and Xie 2007) and the importance of this period for ocean processes (Våge et al. 2008). In Fig. 3, a large climatological low pressure system can be seen over the Irminger Sea, consistent with the climatological Icelandic low (Sahsamanoglou 1990; Serreze et al. 1997). This forces a climatological jet of \(\sim\)5 m s\(^{-1}\) running the length of the southeastern coast of Greenland. Along this jet sits isolated bullets in excess of 6 m s\(^{-1}\), the site of which two bullets (at 66°N, 34°W and 69°N, 23°W) agree well with the locations for barrier winds highlighted in MR05 and have magnitudes in good agreement with MR05. A third location of high wind is evident farther to the southwest at 65°N, 41°W, its location encroaching onto the land and with a larger offshore component than the other two bullets. This outflow could be partly influenced by katabatic and downslope winds, which are common occurrences in this region (Heinemann and Klein 2002; Klein and Heinemann 2002), or be part of the downslope flow associated with westerly tip jets (Doyle and Shapiro 1999). There is also a strong southerly flow over much of the western slopes of Greenland.
Also shown in Fig. 3 is the climatological mean 2-m temperature. The warmest air is found in the southeastern
part of the domain, reflecting the climatological sea surface temperature pattern. The temperature decreases to the north with the strongest gradient in temperature over the ocean (the Arctic Front) occurring along the southeastern Greenland coast, where the mean 2-m temperature is below freezing in the region represented by the climatological jet. The very low temperatures over Greenland’s interior are due to the combined influences of the ice sheet and altitude.
The fraction of time the wind speed exceeds 20 m s\(^{-1}\) at each location in the domain is shown in Fig. 4. The threshold of 20 m s\(^{-1}\) was arbitrarily chosen as the criterion for strong winds for this analysis, although qualitatively similar patterns are seen for other thresholds. This is a smaller threshold than used in MR05, but it was chosen to take into consideration QuikSCAT’s tendency to overestimate strong winds (e.g., Ebuchi et al. 2002; Moore et al. 2008). As with the analysis of MR05, three coastal locations of frequent high winds are clear: two along Greenland’s southeastern coast and a third at Cape Farewell. The two northerly locations correspond to the locations of frequent barrier winds and the third location to frequent tip jets. At each location, wind speeds exceed 20 m s\(^{-1}\) more than 6% of the time, in some places as much as 10% of the time.
In the remainder of this study, we focus on the two northerly sites. See MR05, Sproson et al. (2008), and Våge et al. (2009) for a climatological analysis of the Cape Farewell site.
### 4. Barrier wind detection
#### a. Method
Barrier winds are characterized by strong winds directed parallel to the coast. Therefore, in this study of southeast Greenland, a barrier wind event is defined if at any time the 10-m wind speed at a location is in excess of a threshold wind speed and directed between northerly (0°N) and easterly (90°N). Note that this pragmatic definition does not take into account the flow dynamics, but it is nonetheless useful in capturing what have previously been shown to be barrier flows in the region (e.g. MR05, Petersen et al. 2009). Furthermore, the proximity to the steep topography of Greenland makes it very unlikely that strong winds detected in this way will have been produced without feeling the influence of the barrier in some way.
Following MR05, the locations that will be used for barrier wind detection are the two maxima in frequency of high wind speed events (Fig. 4). These maxima correspond to the Denmark Strait South (DSS) and Denmark Strait North (DSN) locations identified in MR05 and for consistency, the same nomenclature will be used here. Instead of using a point measurement for detecting barrier winds like MR05, a region that encompasses the maxima will be used (marked by boxes in Fig. 4). These regions have been selected to not include any land grid points.
The steps in the detection routine for each region are as follows:
- At each time, the maximum 10-m wind speed in the region, for which the wind direction is between northerly (0°N) and easterly (90°N), is found and a time series is constructed from these values. Note that using a larger range of wind directions resulted in a similar number of detected events.
- The maxima in this time series greater than 20 m s\(^{-1}\) are selected. Different threshold values give qualitatively similar results.
- Finally, for a maximum to be defined as a barrier wind event, it must be distinct in time, that is, separate from other maxima by more than 24 h. If wind speed maxima greater than 20 m s\(^{-1}\) are separated by less than 24 h, then the time of the peak wind speed is chosen.
#### b. Results
Applying the detection routine described above results in the detection of 252 barrier wind events at DSS and 291 events at DSN over the 60-month period (December–February between 1989 and 2008). This is approximately one barrier wind event a week for each
location during these months. This can be compared to Våge et al. (2009), who observed roughly one westerly tip jet per two weeks in their ERA-40-based climatology. A similar number of barrier events at each location are slightly surprising, considering the difference in frequency of high winds observed between the two locations in Fig. 4 (around 5% at DSS and 8% at DSN)—the implication being that each event lasts longer at DSN than at DSS.
There exists a discrepancy between the mean frequency of barrier wind events in this study and in MR05. The 47 barrier wind events detected by MR05 in 5 yr (one barrier wind event a week) at DSS agrees well with the frequency observed by this study, but MR05 observed only 19 events at DSN. This discrepancy could be partly explained by the point method of MR05 compared with the area method used here; however, a more likely explanation is that MR05 is based on measurements from QuikSCAT, which cannot measure 10-m wind speeds above sea ice—this is much more prevalent at DSN than at DSS.
To investigate interannual variability, Fig. 5 shows the number of barrier wind events detected each month and each winter season for the two locations. Both locations experience a degree of year-to-year variability, but at DSN it is larger (a standard deviation of 3.5 compared with 2.4 at DSS). There is a reasonable correlation of 0.43 (0.64) between the number of barrier wind events at each location each month (winter season). Looking at individual months, it appears that no one month is particularly favored for the prevalence of barrier winds.
Also shown in Fig. 5 is the monthly and mean winter (DJF) North Atlantic Oscillation (NAO) index of Hurrell (1995). There is a positive correlation between the monthly NAO index and the monthly frequency of barrier wind events at both locations with correlation coefficients of 0.31 at DSS and 0.57 at DSN, both of which are statistically significant at a 99% confidence level. This is not entirely surprising considering high NAO indices are forced by a deeper Icelandic low, the result of more frequent and deeper cyclones, which are likely to produce more and stronger barrier winds. Correlation with the monthly southwestern Iceland mean sea level pressure [used in calculating the NAO index of Hurrell (1995)] yields a similar result but with slightly better correlations—coefficients of $-0.37$ and $-0.67$ are found at DSS and DSN, respectively. These correlations could be useful in reconstructing barrier wind frequency for times before meteorological reanalysis coverage, but for which we have reliable NAO and mean sea level pressure data.
It has been shown that there is a correlation between the interannual variability at DSS and DSN. A sensible question at this point seems to be, is there a causal relationship between events at DSS and those at DSN? Figure 6 shows how many events at DSS are succeeded by an event at DSN within a certain lag time. It can be seen that 30 of the 252 detected events at DSS are concurrent with an event at DSN (approximately 12%). The maximum in the figure (44 events) occurs at a lag time of 6 h. This means that 17% of the time, an event at DSS is succeeded by an event at DSN by 6 h. This implies retrograde propagation of the event; the region of strong winds travels northeastward up the coast.
Fig. 6. Histogram of lag time between barrier wind events at DSS and DSN. A positive (negative) lag indicates that the event at DSN occurred after (before) the event at DSS.
(seemingly against the along-barrier flow). The reason this lag exists is because of the common northeastward propagation of cyclones through the region (e.g., Hoskins and Hodges 2002). It is logical to suggest that as a cyclone moves through the region, an event is triggered first at DSS and subsequently at DSN. This result is evidence that barrier winds off Greenland are the result of the direct influence of Greenland’s topography on cyclones. The total number of events within ±24 h of the peak will give an upper limit on the number of causally linked events because this period is typical of the passage of a cyclone through the region. This criterion results in 162 events (65%), meaning that the upper limit of causally linked events is around two-thirds of the total number of events at DSS.
The 2-m temperature was extracted for each event at the DSN and DSS locations (Fig. 7). The thick dashed line shows the climatological (DJF) mean for the two locations (i.e., the boxes in Fig. 4). What is clear is that the median barrier wind event temperature is not significantly different from the climatological mean temperature over the entire 60-month period of study at each location. Around this mean value though, both locations exhibit quite a large range. At DSS, much of the variance is contained within a 4-K range of the median value, 274 K; however, temperatures can be as high as 278 K or as low as 263 K in extreme cases. At DSN, the temperatures are generally colder because of the more northerly location of the region and also the increased access to cold Arctic air that is available to the northeast of the Denmark Strait. The distribution is similar, although the range is somewhat larger; in particular, a cold tail is more exaggerated at DSN, with temperatures lower than 255 K in extreme cases. Not only are the median temperatures at each location comparable to their respective climatological means, but the range of barrier wind temperatures is also comparable to the climatological range observed throughout the 60-month period (not shown). This implies that barrier winds bring about no special temperature regime; they cannot be said to be generally “cold” or “warm” winds. A further discussion of barrier wind temperatures is addressed later, in section 7.
5. Composite analysis
Mean composite fields have been produced for the 291 barrier winds detected at DSN and the 252 at DSS. Looking first at the mean 10-m wind field in Fig. 8, we can see that at both locations, the composite barrier wind speed peaks at about 20 m s⁻¹ with a width of 200 km. The lengths of the composite barrier winds are 450 km at DSN and 700 km at DSS (as defined by the 15 m s⁻¹ contour). Importantly for DSS, much of the region of strong winds is located upwind of the maximum, emphasizing the number of events at DSS that occurs concurrently (or ± a small time lag), with events further upstream at DSN. Comparing with MRO5’s composites, the only substantial difference is that in this study, the barrier wind composites are well defined over
the sea ice, a feature that is especially important for barrier winds at DSN.
The barrier winds at both locations are forced by a composite low pressure of depth 980 hPa. For events at DSS, the location of this low is over the western Irminger Sea and for DSN it is farther to the northeast off the west coast of Iceland. The translation of the composite low is comparable to the translation of the centers of peak wind speeds and is further evidence that the barrier winds are produced due to the orography distorting the flow field of the cyclone. For events at DSN, the shape of the composite cyclone is more elongated along a southwest-northeast axis, implying a larger distribution of the centers of action of the member cyclones along this line. The fact that the location of the composite cyclone is over southwest Iceland for events at DSN could explain why the frequency of events at DSN is better correlated with the southwest Iceland mean sea level pressure record (and subsequently the NAO) than those at DSS.
Cross sections of the composite wind speed and potential temperature fields for events at DSN and DSS, taken perpendicular to the direction of flow through the region of maximum wind speed (see Fig. 8 for exact location), are shown in Fig. 9. The two composites show jet cores of 30 m s\(^{-1}\) at a height of 900 hPa at DSN and 875 hPa at DSS. This difference in jet core height is likely due to the 100-hPa lower topography at DSN, which also produces a jet with lower overall height at DSN. The shapes of the composite barrier winds are also different. At DSN, the barrier wind structure is vertically aligned. In contrast, at DSS the barrier wind leans with height toward the coast, suggesting there is a larger cross-barrier flow near the mountain top that hems in the barrier wind. The shape of the composite barrier wind at DSN is reminiscent of the shape of the barrier winds observed on 2 and 6 March 2007 by Petersen et al. (2009) at the same location.
At both locations there is evidence of a near-neutral boundary layer with a stably stratified atmosphere above (as seen in Petersen et al. 2009). As was shown previously (Fig. 2), ERA-Interim tends to “blur out” the vertical
structure of barrier winds, although the magnitude of the wind maxima is captured. Averaging over a number of events at each location is only likely to make this blurring worse in both wind speed and potential temperature. Indeed, manual inspection of individual cases confirmed this; many had much better defined potential temperature “inversion layers” with a range of heights.
6. Surface fluxes
To examine the potential impact on the ocean, surface turbulent heat fluxes, surface stress, and precipitation are investigated. In ERA-Interim these fields are provided as cumulative forecast fields that are run every 12 h. As the analyses are produced every 6 h, some processing is required to extract representative values at the same time steps as the analysis. This is achieved at 0000 and 1200 UTC by using the cumulative values for the following three hours. At 0600 and 1800 UTC, cumulative totals for the following three hours are used, but extracted from the forecast fields initialized at the previous 0000 and 1200 UTC. Clearly, this method relies on accurate forecast fields for a period of 9 h—a reasonable assumption. Note that all variables have been normalized by the length of the forecast to give mean heat fluxes in watts per square meter, surface stresses in newton per square meter, and precipitation rates in millimeter per hour.
The mean of the sensible and latent heat fluxes over each region (i.e., each box in Fig. 4) was calculated for each barrier wind event. Figure 10 shows the range of values found. The median values at both locations are around 100 W m\(^{-2}\) (from the ocean into the atmosphere) for both sensible and latent heat fluxes with the medians at DSS larger by about 20 W m\(^{-2}\) than at DSN. The effect of the 3–4-K colder temperatures of barrier wind events at DSN (Fig. 7) is being counteracted by colder seas and increased ice cover in this region (Fig. 3). What is notable in Fig. 10 are the large ranges. About half of these ranges are contained within ±50 W m\(^{-2}\) of the median, but values as high as 300 W m\(^{-2}\) (more than 400 W m\(^{-2}\) in one case) or as low as −50 W m\(^{-2}\) (i.e., a flux of heat from the atmosphere) are found as well. This shows us that at each location, the winds can be extracting as much as 600 W m\(^{-2}\) from the ocean averaged over each region or, at the other end of the spectrum, be losing 100 W m\(^{-2}\) to the ocean. The maximum heat fluxes in each region for each event (not shown) are commonly twice as large as the box-mean values, illustrating that twice as much heat flux is possible over localized regions.
It should be noted that the model outputs the fluxes of heat into the atmosphere and may not (because of the varying quantity of sea ice present) be interchangeable with fluxes out of the ocean. This discrepancy will be minor, as the fluxes of sensible and latent heat from the sea ice cover are dwarfed by those from the open ocean.
However, this does mean that the area-average fluxes shown in Fig. 10 will be a lower bound for the fluxes from the open ocean.
The cause of the large ranges in the heat fluxes associated with the barrier wind events is the large range in 2-m temperatures (Fig. 7). More specifically, the controlling factor for these turbulent heat fluxes appears to be the temperature difference across the air–sea interface, $\Delta T$; correlation coefficients of 0.86 and 0.90 are found between the mean $\Delta T$ and the mean total turbulent heat flux in DSN and DSS, respectively. Insignificant correlation was found between the 10-m wind speed and the turbulent heat fluxes, for the barrier wind events, despite heat fluxes being directly proportional to wind speed in the bulk formulas used to parameterize the fluxes. This is likely to be partially an artifact of the detection method; only a relatively small range of wind speeds are being sampled.
The mean surface stress and mean total precipitation rate for all barrier wind events over the DSN and DSS regions are also shown in Fig. 10. The median surface
stress for both locations is about 0.8 N m$^{-2}$, but more than a quarter of the events experience mean stresses of more than 1 N m$^{-2}$. The precipitation rate associated with barrier wind events is generally less at DSN than at DSS, with median values of 0.3 and 0.7 mm h$^{-1}$, respectively. The reduced precipitation at DSN could be in part due to the more frequent ice cover at this location, reducing the moisture content of the air, and the smaller amount of uplift due to the lower topography. The range is also greater at DSS, the warmer location.
7. Warm and cold barrier winds
To examine the synoptic conditions that bring about the range of 2-m temperatures and hence heat fluxes, composites of warm and cold barrier winds were produced. There is a continuous spectrum of temperatures at both DSN and DSS (as seen via scatterplots e.g., not shown), so an obvious criterion for distinguishing two classes of barrier winds from temperature does not present itself. Instead, we will take the extreme quartiles of the 2-m temperature time series to classify warm and cold barrier wind events and illustrate these via composites. Each composite at DSN (DSS) contains 73 (63) events.
a. Structure
Warm barrier winds at DSS (Fig. 11, middle panels) are characterized by a composite low pressure center nearer to Cape Farewell than average (Fig. 8). The position of the composite cyclone channels air from the south into a band of southeasterly winds (greater than 10 m s$^{-1}$) to the west of Iceland and into the barrier wind, which is as strong as (but more localized than) the average situation in Fig. 8.
In contrast, cold barrier winds at DSS have a composite low pressure center that is located farther northeast, closer to Iceland, and is 2 hPa deeper. This location appears to restrict the band of southeasterly winds seen in the warm composite and instead favors the channeling of air from the north through the Denmark Strait and into a long barrier wind that extends almost the entire length of southeast Greenland (from DSN to DSS). The maximum wind speeds are also greater than both the warm and the total mean composites. It is worth noting that the 2 March 2007 GFDex case of Petersen et al. (2009) appears to be a clear example of a cold barrier wind at DSS—in terms of the synoptic situation, barrier flow structure, and observed temperatures.
The corresponding zero lag figures for DSN are very similar to those for DSS in all but location of activity (Fig. 12). In the warm class, the composite cyclone is to the west of Iceland in a similar position to the cold DSS composite but with a rather zonal major axis, so with significant southerly flow. In the cold class, the composite low is over Iceland and has a more southwest–northeast tilt, channeling (cold) air through the Denmark Strait. The 6 March 2007 GFDex case of Petersen et al. (2009) appears to be a clear example of a cold barrier wind at DSN. Similarities between the DSN and DSS events persist throughout the subsequent analysis, so for brevity only barrier winds at DSS will be considered from now on. It should be presumed that results are transferable to DSN through a translation of about 500 km northeastward along the Greenland coast.
Figure 11 also shows the temporal evolution of warm and cold barrier winds at DSS, which highlights further differences between the classifications. For warm barrier winds, the composite parent cyclone is located south of
Cape Farewell 24 h previously, before moving into the lee of Greenland for the time of the peak barrier wind, and then appearing to become “captured” by Greenland—moving no farther eastward over the next 24 h. The lee of Greenland has been shown to be a region of cycloysis (Petersen et al. 2003; Hoskins and Hodges 2002). The spreading isobars at the northeast part of the domain suggest this is not always the case and that some cyclones do move through the region.
For cold barrier winds, the parent cyclone begins just east of Cape Farewell and moves progressively northeastward throughout the 48 h. The elongation and filling of the mean sea level pressure field at +24 h is symptomatic of a range of translation speeds of the cyclones responsible for cold barrier winds. The cold barrier wind exists for a longer time; it is evident from −24 to +24 h, initially located at DSS and then at DSN, in agreement with the calculated phase lags (Fig. 6). In contrast, for the warm class, the barrier winds have a shorter life time.
The differing behavior of the surface lows can be explained in part through analyses at 500 hPa (Fig. 13). Warm barrier winds have strong cross-barrier flow (18 m s\(^{-1}\)) above mountain height, associated with a well-defined trough over the Labrador Sea and a ridge extending from the United Kingdom to east Greenland. This upper-level flow pattern would help confine a surface low to the Greenland coast and restrict its passage through the region. It will also assist in advecting warm air from the south toward DSS, resulting in barrier winds with warm cores.
For cold barrier winds, the upper-level trough is located farther east, over the west Irminger Sea, and the ridge over the United Kingdom is shallower (Fig. 13). The result is a weaker cross-barrier flow at 500 hPa; the upper-level winds are orientated more zonally and farther to the south, aiding the surface cyclones in passing through the region.
The composite 2-m temperature anomalies for the warm and cold cases are shown in Fig. 14. In the warm composite, the region is flooded with air warmer than the climatological mean (Fig. 3) by as much as 3 K over the ocean and 7 K over land, the result of both the low-level flow pattern and the strong cross-mountain flow at 500 hPa. This anomalously warm region extends from DSS both northwest and southeast, indicative of warm advection from the southeast and is in agreement with the strong southeasterlies both over sea and land in Fig. 11.
The cold composite is characterized by an anomalously cold pool of $-4$ K to the north of Iceland, with a tongue extending southward through the Denmark Strait to DSS. The shape of the cold anomaly, in conjunction with the cold dome of air in 1000–850-hPa thickness along the east coast of Greenland (Fig. 13) and the long barrier wind seen in Fig. 11, is consistent with cold-air advection into the barrier wind from the northeast. These features of warm and cold barrier winds are corroborated by the 1000–850-hPa thickness composites (Fig. 13) but are much less obvious in the 1000–500-hPa thickness composites (not shown), indicative of these features existing below mountain height.
Our interpretation of this analysis is that warm barrier winds source their air from the southerly advected warm pool, whereas even though the cold barrier winds have milder air advected toward them, they are fed by an even colder source of air, that is, a source northeast of the Denmark Strait. It appears that the cold barrier winds in particular have an offshore (i.e., downslope) contribution (see Fig. 11). At this stage it is not possible to say whether this minor contribution is simply a downslope deflection of maritime air or is a downslope density-driven (katabatic) flow of continental air.
These configurations are reminiscent of the classical and hybrid barrier winds along the coast of Alaska, described in Loescher et al. (2006) and Olson and Colle (2009). Our warm barrier winds are similar to their classical barrier winds that form due to the coastal deflection of onshore winds, whereas our cold barrier winds have similarities to their hybrid barrier winds that have an offshore gap flow component that turns to become coast parallel as it reaches the ocean. Hybrid barrier winds are colder than classical barrier winds because they source their air from an inshore cold pool and the onshore synoptic flow is advected over the cold core of the barrier wind. This is analogous to the maritime southeasterly flow being lifted over the cold Arctic flow seen in our cold barrier winds (see also Petersen et al. 2009, p. 1965). Apart from these structural
similarities though, it is unclear at this stage how similar the dynamics of barrier winds around Greenland are to those found off Alaska—this is left to further investigation.
Returning to the mean sea level pressure composites (Fig. 11), it is apparent that there is not a great deal of difference in the strength or location of the parent cyclone for the two classes of barrier wind events (at zero lag). What is it about the synoptic environment then that brings about such different local conditions? Figure 15 shows the composite mean sea level pressure anomaly for warm and cold barrier winds at the time of peak winds at DSS and 48 h before and after. Only points that are statistically significant at the 95% level are shown. For the warm class, there is a significant high pressure anomaly of, at its peak, 10 hPa located over the Nordic seas for the 96 h shown. This not only blocks the passage of the low responsible for the barrier wind but also acts to restrict cold, northerly flow along the east coast of Greenland. This configuration therefore favors warm advection from the south into the barrier winds. The fact that this anomalous high pressure can be found in a similar region throughout the 96-h period shown is indicative of North Atlantic blocking (Rex 1950; Pelly and Hoskins 2003) being important in the production of warm barrier winds. The blocking high at the surface at zero lag is consistent with the ridge at 500 hPa seen in Fig. 13.
In contrast, the cold class is characterized by an anomalous low pressure system of $-10$ hPa over the Norwegian Sea 48 h before the peak barrier winds. This likely represents the signature from a previous cyclone that moved through the region and in so doing channeled cold air down the east coast of Greenland. As the cyclone responsible for the barrier wind moves into the region, it is steered by the upper-level zonal flow (Fig. 13) and can channel this preconditioned cold air into a barrier wind. Forty-eight hours later, the cyclone has exited the region to the northeast. The fact that the pressure anomaly fields at lag times of $\pm 48$ h are comparable suggests that this process may be repeated, providing a “conveyor belt” for channeling cold air from the Arctic down the southeastern coast of Greenland. This “train” of cyclones is reminiscent of the positive phase of the NAO. It is therefore unsurprising that the monthly frequency of cold barrier winds correlates (in a similar fashion to Fig. 5) with the monthly NAO index with a correlation coefficient of 0.35. Cold events at DSN see a similar correlation of 0.39. The warm barrier winds are produced by blocking highs; consequently, there is insignificant correlation between their monthly frequency and the NAO index at both locations.
b. Impact
The impact of these different temperature regimes can be seen in composites of the surface turbulent heat flux for the warm and cold barrier wind classes (Fig. 16). The cold class has a heat flux pattern that mirrors that of the wind speed composite. Total turbulent heat fluxes of more than 200 W m$^{-2}$ are seen all the way down the southeastern coast of Greenland with bullets of nearly 400 W m$^{-2}$ at, and upstream of, the DSS site. The largest heat fluxes are farther offshore than the wind speed maximum because of the influence of near-shore sea ice and a higher sea surface temperatures offshore. In the warm composite, only a small signature of scarcely more than 100 W m$^{-2}$ is observed at the location of strongest winds. At all other places up the Greenland coast, the total heat flux is less than 100 W m$^{-2}$. The two temperature regimes will therefore have very different impacts on the ocean. This is also true for the surface momentum flux (not shown), which is similar to
the wind speed pattern (Fig. 11) and thus quite different for the warm and cold classes. In short, the specific synoptic environment in which Greenland barrier winds form is vital in determining the range and spatial distribution of both surface heat and momentum fluxes along the coast.
8. Conclusions
This climatology of barrier winds along the southeastern coast of Greenland has confirmed (see MR05) that there are two predominant regions where barrier winds frequently occur—referred to as Denmark Strait North (DSN) and South (DSS). During the 20 yr of the climatology, barrier winds stronger than 20 m s\(^{-1}\) occur at both locations on average once a week in the winter months (DJF).
Good correlations were found between the monthly frequency of barrier winds and the monthly NAO index (especially at DSN). The relationship is explained in the following way. A high NAO index is the result of stronger and more frequent cyclones through the region, which are likely to trigger more and stronger barrier winds. It is possible that this correlation will potentially allow for the reconstruction of barrier wind frequency for periods of time before reanalysis are available.
One of the most striking features of the barrier winds investigated was the large range in 2-m temperatures—southeast Greenland barrier winds cannot be said to be typically cold or warm winds. An investigation into the meteorological conditions responsible for the warmest and coldest barrier winds showed that blocking highs are responsible for channeling warm air into warm barrier winds and that trains of cyclones can consecutively channel cold air down the east coast of Greenland and into cold barrier winds. A very different pattern in the surface heat and momentum fluxes is seen for each temperature regime, and this shows the importance of the wider meteorological environment in understanding the local wind forcing in the region.
Acknowledgments. We thank the following people and organizations: The European Centre for Medium-Range Weather Forecasts and the British Atmospheric Data Centre for providing the data; Bob Pickart for accommodating the launching of radiosondes on the *Knorr* cruise in October 2008; NCAS FGAM for providing the radiosonde equipment; Stefan Klink and Rudolf Krockauer from EUCOS for funding the radiosondes; Hreinn Hjartson from the Icelandic Met Office for providing equipment and assistance for radiosonde launches; Geraint Vaughan and Hugo Ricketts for radiosonde training; John Alberts and Eric Benway of WHOI for shipping equipment; and the radiosonde launchers for all their efforts in rough conditions.
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Holland City News, Volume 97, Number 38: September 19, 1968
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Holland City News, "Holland City News, Volume 97, Number 38: September 19, 1968" (1968). Holland City News: 1968. 38. https://digitalcommons.hope.edu/hcn_1968/38
United Fund Division Heads Are Appointed
Over 700 firms and employees will be asked to bolster the United Fund for 46 agencies included in this single campaign, which volunteers will work in three areas of the drive. Divisions quotas totaling $3,800,000.
William G. Oenk, president
William G. Oenk, vice-president
Foolproof State Bank, Kenneth M. Davis, president
James A. Brouwer Co., and
Paul Ettinger
Construction
In last year's drive while Oenk has served as the year's section major in the construction division.
Philip Baron, Gary Bartlett, Edward Beach, Jack Van Liere, Harry Newhouse, Richard K. Boyd and Robert Rakers will serve as section majors in the construction division.
Clyde J. Hulet, Erwin Koop, Robert Gosselin and Robert Rakers will serve as section majors in the retail division.
Section majors are presently recruiting a sufficient number of workers to adequately cover their respective areas of the drive.
Section majors and workers in the three divisions will attend a 7:30 a.m. "dutch treat" breakfast at the Holland Yacht Club Frieholz Hotel to review assignments and obtain campaign materials.
Although the campaign is scheduled to start Oct. 1, an informative pre-campaign organizational phase is planned and conducted by the section majors.
This is especially true this year since there must be a thorough review of the 1967 campaign and increased giving by all contributors. The 1967 goal was $1,606,434, which represents an increase over last year's return of 12% per cent, Kupsky said.
Holland and Spring Lake headed the list in the retail and construction divisions.
Kenneth D. Stan
Retail
Paul Ettinger, president of Ettinger & Valkers, Inc. have been named to top leadership positions in the Greater Holland United Fund Red Cross drive.
Charles Ettlinger, campaign chairman, said Oenk will head the construction division and that Stan and Ettinger will serve in like capacities in the retail and construction sections of the drive.
The total goal has been established for the three divisions, Kupsky said.
Supervisors Take County Road Tour
GRAND HAVEN — A tour of county roads and parks arranged by the Ottawa County Board of County Road Commissioners and the Ottawa County Board of Supervisors Tuesday strengthened the bond between the two bodies, focusing attention on both the strengths and problems of the road commission.
The bus tour, starting at road commission headquarters in Grand Haven, took the county officials over county roads and Appliance Park, showing the county with the slats at the Hager Hardwood Park near Hudsonville. The park features an extensive arborium development, at Tunnel Park where shuffling and pressing is causing a problem of erosion, at the new sanitary landfill, at the new highway, new bridge construction over Grand River at Eastmanville, and at the new park on Grand River at the foot of 6th Ave. in Holland.
The tour also took the group east of Eastmanville to Leonard Park, showing the time and creasing on the right of way resulting in court action against the road commission by the Eastmanville Improvement Association. The association, about a month ago ruled in favor of the road commission. With no appeal allowed, the commission is now free to continue its program of removing trees with a 10-foot clear right-of-way.
Engineer-Director Ronald Bakker said he hopes the establishment of the sanitary landfill being established at 160th Ave. between Leonard and Eastmanville in Port Huron township will serve the southwestern area of the county including Grand Haven.
The commission is building a road a quarter mile long around the 40-acre area far removed from residential areas. It is expected to be ready by Dec. 1 when Holland city's sanitary landfill is closed.
Bakker said the county has another land use permit for the area of public use.
The operation calls for depositing waste two feet above the water table. The waste will remain at two-foot depths and be compacted or reduced in size by means of sand before being moved into the sanitary landfill. Two feet of earth are added. The land eventually is slated for reclamation.
A temporary office will be constructed and a gate will pay gate will be some distance from the road. Bakker emphasized that the operation of the landfill must be covered to conform to neighboring litter. Rates are set at 50 cents per cubic yard, with special rates based on 50 cents per cubic yard for commercial packers at 25 cents per cubic yard.
Bakker estimates the 40-acre site will be used for 20 years. At Hager Park, a street sweeper, the newest piece of equipment purchased by the commission, was demonstrated for the supervisors. The sweeper mounts on a truck chassis and can go to locations at speeds up to 25 mph, but the operation moves at a speed as slow as a walk on a highway, deterring slow moving vehicles.
New Van Leeuwen and Richard Schramm of the commission accompanied the supervisors on the tour. Miami beach superintendent, John Parker, arranged by Richard Schramm, county park superintendent.
Charge Local Man In Boat Larceny
GRAND HAVEN — A Holland man was charged by two persons Tuesday night by the Coast Guard after being advised in his home stolen a boat at Lake Michigan for 26 miles.
The boat, owned by North Holland, was taken on a charge of grand larceny at 10:30 p.m. on Wednesday.
The commission said Wednesday that the boat was taken approximately a week and due to the travel, travel was not possible. The defense will be arranged with the railroad.
Waves Examination On Manslaughter Charge
GRAND HAVEN — Donald Green, 22, of Fruitport, waived his preliminary examination on a charge of manslaughter in the death of a man in Grand Haven Municipal Court.
He was released on his own recognizance, arraigned in Circuit Court Sept. 19 at 10 a.m.
The charge is in connection with the death of William Raymond, 18, also of Fruitport who was fatally injured when he was hit by a car driven by Donald Green's car on Sept. 8 in a Crocker township. Haywood was found dead at the scene of the accident.
Windmill Hours
Windmill Island has entered the post-summer season and visitor hours have been reduced. They will be open daily from Monday through Friday from 10 a.m. to 5 p.m. Saturday from 10 a.m. to 5 p.m. and Sunday from 10 a.m. to 5 p.m.
Several Area Students Named To Dean's List
Several area students at Ferris State College honored for academic achievement during the summer quarter by being named to the Dean's Honor List, Dr. Robert L. Huxel, vice president for instruction, said.
Those from Holland on the list were David L. Durkee, commerce; Ronald J. Stitt, technical and applied arts; and James W. Shantz, agriculture, from Janice L. B. Remmel, technical and applied arts; and Robert M. Wilcox, health sciences and Saugatuck.
Those named others to the list were: David L. Durkee, commerce; Ronald J. Stitt, technical and applied arts; and James W. Shantz, agriculture, from Janice L. B. Remmel, technical and applied arts; and Robert M. Wilcox, health sciences and Saugatuck.
Those named others to the list were: David L. Durkee, commerce; Ronald J. Stitt, technical and applied arts; and James W. Shantz, agriculture, from Janice L. B. Remmel, technical and applied arts; and Robert M. Wilcox, health sciences and Saugatuck.
Treasurer Quits For Draft Call
ZEELAND — Robert Uttinger, who has served as city treasurer here since July 1 following his graduation from Hope College, announced his resignation in a letter to City Council Monday night.
Uttinger, who was called for induction into the armed forces, said he had been registered with the Selective Service Board and was released from Holland Hospital on the day of his call.
He said he was still in high school, a good reason why he didn't register for the draft.
In his letter to council, Uttinger released his city any obligation to him and informed them of his military obligations. He said he would be pleased to be considered an applicant for a vacancy in the office when he returns at that time.
Avert Drowning In Grand Haven
GRAND HAVEN — A drowning was averted at a pool at the Roy Jeske home here Sunday afternoon when a 10-year-old boy, taught by Barbara Jenke, 17, was drowning when she jumped into the pool to save him.
Barbara was diving when she noticed eight-year-old Larry Lutz, son of Mr. and Mrs. Harry Lutz, rope a 5-foot by 10-foot pool in the back yard in eight feet of water. She pulled him out of the water and artificial respiration and the child showed signs of revival in about five minutes, responding by the time firemen arrived and the boy taken by ambulance to North Ottawa Community Hospital for a checkup.
There were 11 children in the pool at the time.
Arrest Four Adrift Aboard Stolen Boat
Four area residents were arrested by Ottawa county sheriff's deputies Tuesday night in connection with the theft of an 18-foot inboard motorboat, which they spent some 30 hours making their escape.
Deputies identified them as Sam Hays, 34, of Holland, Tom Ross, 30, of Holland, Patrick Pudl, 32, of Hamilton, and Laurie Hayes, 28, of Holland. Deputies said the boys are unrelated.
The four were being held in Ottawa county jail in Grand Haven awaiting court arraignment scheduled for today.
Holland Coast Guardsmen initiated a search for the missing boat Monday afternoon after Stan Ehrich of Holland reported the boat stolen and taken from his dock.
Deputies said the boat was left around 4 a.m. Monday and twisted the ignition wires together.
When the boat started, the motor on the boat failed when the quartz was about 10 miles off of Holland channel, travelling in a westerly direction.
They were spotted some 34 hours later by a Coast Guard helicopter at 4:30 p.m. Tuesday. The four were then drifting in the boat at a point about 10 miles south of Grand Haven.
The Coast Guard said the inboard motor was made with the exception of the boat around 6:45 and was then towed to the Holland Coast Guard station where deputies identified the four men. Their rights were arrested for them for grand larceny.
The Coast Guard said the inboard motor was made with the exception of the boat around 6:45 and was then towed to the Holland Coast Guard station where deputies identified the four men. Their rights were arrested for them for grand larceny.
Police Arrest Local Driver
Roslind Keppel, 20, of 49 Columbia Ave., was arrested by Holland Municipal Court Wednesday on a charge of driving under the influence of alcohol and speeding limits. He was arrested by police shortly after 11 a.m. when he was stopped on Columbia Ave.
Keppel was arrested at 1:45 a.m. Saturday, according to the report, and was released on a warrant charged with driving under the influence of alcohol and the other charge of speeding limits.
Piercy and the three Spring Lake men, Frank Lewis, Steve Lewis, Wayne Parker and Wayne Vander Jagt, 19, were arrested at 1:45 a.m. Saturday, according to the report, and were released on a warrant charged with driving under the influence of alcohol and the other charge of speeding limits.
Piercy was charged with a charge of murder and the other charge of conspiracy to violate the narcotics law.
All examined examination was made by Dr. Lawrence De Witt of Grand Haven, who reported shortly before noon today, and all were released on bonds of $10,000 each.
Mother Of T.E.H. Olsen Dies In Racine, Wis.
RACINE, Wis. — Mrs. Jacob Holman, 84, mother of T.E.H. Olsen, died early Monday in St. Luke's Lutheran Home here after a week's illness. Surviving besides her husband are two daughters, Mrs. Helen Hall and two daughters-in-law, eight grandchildren and eight great-grandchildren.
Father Warner Dies In Israel
TIBERIAS, Israel — The Rev. William C. Warner, pastor of the First Episcopal Church, Holland, for the past 25 years, died Tuesday of a heart attack at the age of 69.
Last Tuesday for a perforated ulcer in a hospital in Tiberias, according to his wife, Mrs. Jane Warner, who was visiting him at the time of his death, he was taken to the hospital in Tiberias, where he died.
Warner had left Holland less than three weeks ago to begin a sabbatical leave.
The pastor, who was born in Holland, the son of a minister, was ordained in the church in 1925 and was a member of the church in Holland until his retirement in 1960.
He was a native of Montour, Pa., and was graduated from Lehigh University at Bethlehem, Pa., and the Episcopal Theological Seminary at Princeton, N.J., in 1925. He and his family came to Holland in April 1945 from Traverse City.
He was active in civic affairs and was a member of the Holland Board of Education, the Holland Rotary Club, the Holland Kiwanis Club and the Holland Chamber of Commerce.
In church affairs he was a member of the vestry of St. Paul's Episcopal Church, Holland, and the General Convention of the Episcopal Church, past president of the Holland Kiwanis Club, past president of the Holland Rotary Club, and past Examining Chaplain for the Diocese of Western Michigan.
He was married to Mrs. Warner's former secretary, 25 years ago, and was a member of the First Congregational Church, Holland.
Besides his wife, Mrs. Warner and two daughters, Mrs. Jane Warner, and Mrs. Robert W. Parker of Holland, and three sons, Mr. Warner, and his brother, the Rev. William C. Warner, in Montour, Pa.
Hamilton Woman Dies Of Injuries
GRAND RAPIDS — A rural Hamilton woman injured in a two-car accident at the intersection of M-40 and US-31 Sept. 6, died Monday in Beldgett Hospital.
Other officers are Ted Parker, vice president, Jack Overbark, vice president, Joe McCrae, third vice president and secretary.
Herman Windemuller (left) points out the shifting dunes at Tunnel Park Tuesday morning. The Ottawa County Road Commission is planning to build a new bridge construction over Grand River at Eastmanville, and at the foot of 6th Ave. in Holland.
The tour also took the group east of Eastmanville to Leonard Park, showing the time and creasing on the right of way resulting in court action against the road commission by the Eastmanville Improvement Association. The association, about a month ago ruled in favor of the road commission. With no appeal allowed, the commission is now free to continue its program of removing trees with a 10-foot clear right-of-way.
Engineer-Director Ronald Bakker said he hopes the establishment of the sanitary landfill being established at 160th Ave. between Leonard and Eastmanville in Port Huron township will serve the southwestern area of the county including Grand Haven.
The commission is building a road a quarter mile long around the 40-acre area far removed from residential areas. It is expected to be ready by Dec. 1 when Holland city's sanitary landfill is closed.
Bakker said the county has another land use permit for the area of public use.
The operation calls for depositing waste two feet above the water table. The waste will remain at two-foot depths and be compacted or reduced in size by means of sand before being moved into the sanitary landfill. Two feet of earth are added. The land eventually is slated for reclamation.
A temporary office will be constructed and a gate will pay gate will be some distance from the road. Bakker emphasized that the operation of the landfill must be covered to conform to neighboring litter. Rates are set at 50 cents per cubic yard, with special rates based on 50 cents per cubic yard for commercial packers at 25 cents per cubic yard.
Bakker estimates the 40-acre site will be used for 20 years. At Hager Park, a street sweeper, the newest piece of equipment purchased by the commission, was demonstrated for the supervisors. The sweeper mounts on a truck chassis and can go to locations at speeds up to 25 mph, but the operation moves at a speed as slow as a walk on a highway, deterring slow moving vehicles.
New Van Leeuwen and Richard Schramm of the commission accompanied the supervisors on the tour. Miami beach superintendent, John Parker, arranged by Richard Schramm, county park superintendent.
Charge Local Man In Boat Larceny
GRAND HAVEN — A Holland man was charged by two persons Tuesday night by the Coast Guard after being advised in his home stolen a boat at Lake Michigan for 26 miles.
The boat, owned by North Holland, was taken on a charge of grand larceny at 10:30 p.m. on Wednesday.
The commission said Wednesday that the boat was taken approximately a week and due to the travel, travel was not possible. The defense will be arranged with the railroad.
Waves Examination On Manslaughter Charge
GRAND HAVEN — Donald Green, 22, of Fruitport, waived his preliminary examination on a charge of manslaughter in the death of a man in Grand Haven Municipal Court.
He was released on his own recognizance, arraigned in Circuit Court Sept. 19 at 10 a.m.
The charge is in connection with the death of William Raymond, 18, also of Fruitport who was fatally injured when he was hit by a car driven by Donald Green's car on Sept. 8 in a Crocker township. Haywood was found dead at the scene of the accident.
The crash occurred when Dan Lohr who was in the front seat of the car, lost control of the car, hit the back seat and started falling and his mother reached for him at that time. He fell off the left side of the road.
|
Estimating the Opportunity Costs of REDD+
A training manual
Version 1.3
March 2011
Estimating the opportunity costs of REDD+
A training manual
Version 1.3
March 2011
The findings, interpretations and conclusions herein are those of the author(s) and do not necessarily reflect the views of the International Bank for Reconstruction and Development / World Bank, its affiliated organizations, its Executive Directors, or the governments they represent.
The World Bank
1818 H Street, NW
Washington, DC 20433
Foreword
Over the last years, reducing emissions from deforestation and forest degradation in developing countries, the role of conservation, sustainable management of forests and enhancement of forest carbon stocks (what is known as “REDD+”) has arisen as a key issue in the international climate change negotiations and entered into the public media. There are good reasons for this. On the one hand, forest ecosystems, still covering one-third of the earth’s land surface, store more carbon than both the atmosphere and the world’s oil reserves combined. Forests are the most diverse terrestrial ecosystems, preserve watersheds and soils, regulate local climates and provide wood, energy, food, medicines, fibres and clean water to society, especially to forest-dependent peoples, a large number of whom are poor. On the other hand, ongoing deforestation and forest degradation, which the FAO estimates to amount to 5.2 million hectares net per year (more than the size of Costa Rica), accounts for up to one-fifth of global anthropogenic carbon emissions.
In December 2005, at the climate negotiations in Montreal, the Coalition for Rainforest Nations introduced the idea of compensating developing countries for reducing national rates of deforestation. Since then governments, international and civil society organizations, indigenous peoples, scientific institutions and private firms have been debating how to integrate REDD+ into a future international climate agreement. The December 2010 Cancun decision on REDD+, under the Ad Hoc Working Group on Long-term Cooperative Action, represents an important milestone in this respect as it recognizes the climate change mitigating role of forests in developing countries and the corresponding need for international financial support.
The cost of REDD+ is crucial knowledge for forest countries, donors and buyers of emission reductions in the future. While the transaction and implementation costs of REDD+ can be more readily estimated from similar forest-related activities or when they actually occur, an important cost component may remain hidden: by conserving their present forests, countries and landowners forgo the benefits of potentially more lucrative alternative land uses, such as crops or livestock — this foregone revenue is known as the opportunity cost of REDD+.
This manual is a collective effort of (1) the Facility Management Team of the Forest Carbon Partnership Facility (FCPF), (2) the World Bank Institute Carbon Finance Assist program
(CF-Assist) — the multi-donor trust-funded capacity building program of the World Bank Institute Climate Change Practice (WBI-CC) and (3) the Partnership for the Tropical Forest Margins (ASB) of the Consultative Group on International Agricultural Research (CGIAR).
The manual shares hands-on experiences from field programs and presents the essential practical and theoretical steps, methods and tools to estimate the opportunity costs of REDD+ at the *national* level. The manual addresses the calculation of costs and benefits of the various land use alternatives in relation to their carbon stocks. As required data are generally not readily available, the manual also includes information on data collection, analysis and evaluation techniques. Although sections of the manual are relevant for *sub-national* or *project* analysis, it is not intended to calculate compensation for farmers or landowners at a given site.
The target audience of the manual includes professionals within governments, universities, research institutions, international or non-governmental organizations and program developers who may use the presented methods and tools to estimate opportunity costs and incorporate these costs into recommendations for REDD+ policies and programs. As part of a capacity building objective, a series of training-of-trainer workshops is scheduled for countries participating in the FCPF and UN-REDD Programme in Africa, Asia and Latin America.
The cost of REDD+ is crucial knowledge for governments, donors and buyers of carbon credits
The manual was edited by Pablo Benitez, Marian de los Angeles and Gerald Kapp (World Bank Institute), Benoît Bosquet, Stephanie Tam, Alexander Lotsch (FCPF Facility Management Team), Stefano Pagiola (World Bank Latin America and Caribbean Region) and Carole Megevand (World Bank Africa Region). We are grateful for the dedicated work of the main authors Douglas White and Peter Minang (ASB) and their co-authors Brent Swallow, Fahmuddin Agus, Glenn Hyman, Jan Börner, Jim Gockowski, Kurniatun Hairiah, Meine van Noordwijk, Sandra Velarde and Valentina Robiglio. We also appreciate the contributions of Michael Richards and Simone Bauch. In addition, external reviews from Erick Fernandes, Gregory Frey, Ken Andrasko, Loic Braune, Martin Herold, and Timm Tennigkeit are appreciated.
Washington, DC, February 25, 2011
Joëlle Chassard
Manager, Carbon Finance Unit
The World Bank
Neeraj Prasad
Manager, Climate Change Practice
World Bank Institute
Lead authors and editors:
Douglas White and Peter Minang
Chapter authors and support:
Introduction:
Douglas White, Peter Minang, Stefano Pagiola, Brent Swallow
Overview and preparations:
Douglas White, Peter Minang, Meine van Noordwijk
RED(D++) policy context:
Douglas White, Peter Minang, Stefano Pagiola, Meine van Noordwijk
Land use and land use change:
Glenn Hyman, Valentina Robiglio, Douglas White, Sandra Velarde, Meine van Noordwijk
Carbon measurement of land uses:
Kurniatun Hairiah, Fahmuddin Agus, Sandra Velarde, Meine van Noordwijk
Profits and net benefits from land uses:
Douglas White, Stefano Pagiola, Jan Börner, Jim Gockowski
Opportunity cost analysis:
Douglas White, Peter Minang, Meine van Noordwijk
Co-benefits of water and biodiversity:
Douglas White, Stefano Pagiola, Meine van Noordwijk
Conclusions and next steps:
Peter Minang, Douglas White, Meine van Noordwijk
Support:
Joyce Kasyoki, Godfrey Mwaloma
Project management, editing and review:
Pablo Benitez, Stephanie Tam, Stefano Pagiola, Gerald Kapp.
This study was funded by the Forest Carbon Partnership Facility and by Carbon Finance Assist.
This is a living document. Please send your comments to the following address:
Gerald Kapp (email@example.com)
# Contents
Foreword .................................................................................................................. iii
Contents .................................................................................................................. vi
Figures .................................................................................................................... ix
Tables ..................................................................................................................... x
Boxes ...................................................................................................................... xi
Abbreviations and acronyms ................................................................................. xii
Chapter 1. Introduction .......................................................................................... 1-1
Objectives .............................................................................................................. 1-1
What are REDD and REDD+? ........................................................................... 1-2
National REDD+ strategies and benefit-sharing mechanisms .......................... 1-2
Costs of REDD+ .................................................................................................. 1-4
Why opportunity cost estimates are important .................................................. 1-8
Risks and limitations of REDD+ opportunity cost estimates ............................. 1-9
REDD+ safeguards ............................................................................................... 1-12
An important question ......................................................................................... 1-13
An opportunity cost example ............................................................................... 1-15
A training manual for estimating REDD+ opportunity costs ............................ 1-22
Current state-of-the-art in REDD+ opportunity cost analysis ............................ 1-24
References and further reading .......................................................................... 1-30
Chapter 2. Overview and preparations ................................................................. 2-1
Objectives .............................................................................................................. 2-1
Structure of the training manual .......................................................................... 2-2
Who should do the work? ..................................................................................... 2-6
Ways to use this manual ....................................................................................... 2-8
Process of estimating opportunity costs ............................................................. 2-9
References and further reading .......................................................................... 2-14
Chapter 3. RED(D++) policy context ................................................................. 3-1
Objectives .............................................................................................................. 3-1
REDD+ policy words ............................................................................................ 3-2
An evolving REDD+ eligibility policy ................................................................. 3-2
Who pays what costs: accounting stance ........................................................... 3-5
Reference emission levels ................................................................................... 3-7
Nationally Appropriate Mitigation Actions (NAMA) ........................................... 3-8
Chapter 3. Environmental and social safeguards analysis (SESAs) ........................................... 2-1
Objectives ........................................................................................................................................ 2-1
Introduction ..................................................................................................................................... 2-2
What is an SESA? ............................................................................................................................ 2-2
Why do we need them? .................................................................................................................. 2-4
How to do an SESA .......................................................................................................................... 2-5
The process ...................................................................................................................................... 2-6
The content ....................................................................................................................................... 2-7
Case study: The World Bank’s environmental and social safeguard policies ................................. 2-8
SESAs and safeguard policies of the World Bank ........................................................................... 3-9
References and further reading ....................................................................................................... 3-11
Chapter 4. Land use & land use change ....................................................................................... 4-1
Objectives ........................................................................................................................................ 4-1
Introduction ..................................................................................................................................... 4-2
Spatial analysis and remote sensing words .................................................................................... 4-2
Identifying land uses ....................................................................................................................... 4-3
Estimating land use change ............................................................................................................ 4-19
Explaining land use change ........................................................................................................... 4-22
Predicting land use change ............................................................................................................. 4-29
References and further reading ....................................................................................................... 4-30
Chapter 5. Carbon measurement of land uses ............................................................................. 5-1
Objectives ........................................................................................................................................ 5-1
Forester and carbon specialist words .............................................................................................. 5-2
Know your carbon ........................................................................................................................... 5-2
Establish a carbon analysis framework .......................................................................................... 5-7
Estimate “typical carbon stock” of a land use ............................................................................... 5-9
References and further reading ....................................................................................................... 5-28
Chapter 6. Profits and net benefits from land uses ....................................................................... 6-1
Objectives ........................................................................................................................................ 6-1
Economist words ............................................................................................................................ 6-2
Why such detail? ............................................................................................................................ 6-3
Upfront issues – clarifying assumptions ........................................................................................ 6-3
Enterprise budgets .......................................................................................................................... 6-13
Land use budgets ............................................................................................................................ 6-19
Profitabilities of land use trajectories .............................................................................................. 6-26
Backend issues – more methods and assumptions ......................................................................... 6-31
References and further reading ....................................................................................................... 6-33
Chapter 7. Opportunity cost analysis ............................................................................................ 7-1
Objectives ........................................................................................................................................ 7-1
Estimate opportunity costs ............................................................................................................ 7-2
Sensitivity analyses .......................................................................................................................... 7-4
Opportunity costs maps .................................................................................................................. 7-9
References and further reading ....................................................................................................... 7-11
Chapter 8. Co-benefits of water and biodiversity .................................................. 8-1
Objectives ................................................................................................................. 8-1
What are co-benefits? ............................................................................................. 8-2
What are ecosystem services? ............................................................................... 8-2
How to estimate co-benefits? ................................................................................ 8-4
Water co-benefits .................................................................................................... 8-4
Biodiversity co-benefits ........................................................................................... 8-8
Co-benefits and opportunity costs .......................................................................... 8-19
Conclusion .............................................................................................................. 8-23
References and further reading ............................................................................. 8-25
Chapter 9. Tradeoffs and scenarios ....................................................................... 9-1
Objectives ................................................................................................................. 9-1
Tradeoffs .................................................................................................................. 9-2
Scenarios .................................................................................................................. 9-5
Chapter 10. Conclusions and next steps ................................................................. 10-1
Objectives ................................................................................................................. 10-1
What opportunity costs reveal, and what not? ..................................................... 10-2
Next steps ................................................................................................................ 10-3
Chapter 11. Appendices .......................................................................................... 11-1
A. Glossary .............................................................................................................. 11-2
B. Required capacities for a national monitoring system of emissions .................. 11-7
C. Allometric equations ............................................................................................ 11-9
D. Steps to calculate time-averaged carbon stock: from plot to land use ............... 11-11
E. Methods to estimate the economic value of biodiversity ................................... 11-13
F. Spreadsheet examples .......................................................................................... 11-17
G. Example analysis using REDD Abacus ............................................................... 11-20
Figures
Figure 1.1. The costs of REDD+ ................................................................. 1-6
Figure 1.2. Carbon loss and profit gain from converting forest to agriculture ........... 1-15
Figure 1.3. Carbon and profits of four land use categories .................................. 1-17
Figure 1.4. Example opportunity costs of three land use changes .......................... 1-18
Figure 1.5. Tradeoffs and low-level conditions of NPV profit and carbon stocks ....... 1-19
Figure 1.6. A national opportunity cost curve (Indonesia) .................................. 1-21
Figure 1.7. Carbon price needed to reduce deforestation by 50% in 2030 .............. 1-26
Figure 1.8. Agricultural returns per ha ............................................................. 1-28
Figure 1.9. Mean estimates of opportunity cost approaches (and high-low range) .... 1-29
Figure 2.1. Analytical steps for developing an opportunity cost curve .................... 2-3
Figure 2.2. Stages of opportunity cost analysis within REDD+ program development .. 2-11
Figure 3.1. REDD+ rents and costs .................................................................. 3-8
Figure 4.1. A hierarchical land use framework in Cameroon humid forest zone ....... 4-4
Figure 4.2. A spatially heterogeneous farm landscape in Cameroon ....................... 4-11
Figure 4.3 Remote sensing data: cost and complexity versus resolution (MMU) ....... 4-12
Figure 4.4. Categories of forest transition ................................................................ 4-23
Figure 4.5. Direct and underlying causes of deforestation in the Peruvian Amazon ..... 4-25
Figure 4.6. Land use change trajectories: types and examples .............................. 4-27
Figure 4.7. Land use change: links between historical and future analyses ............. 4-29
Figure 5.1. Terrestrial carbon pools ...................................................................... 5-4
Figure 5.2. Comparison of stock-difference and gain-loss methods ......................... 5-9
Figure 5.3. Aboveground carbon stock and cash flows of three land uses ............... 5-10
Figure 5.4. Example carbon stock changes of different land uses .......................... 5-11
Figure 5.5. Recommended plot and sub-plots sizes for carbon stocks sampling ....... 5-18
Figure 5.6. Extrapolating carbon from land uses to land covers at the landscape level .. 5-21
Figure 6.1. Cocoa: harvest yields per ha, Ghana .................................................. 6-11
Figure 6.2. A geographic assessment of logging history (Para, Brazil) .................... 6-11
Figure 6.3 Logging regions within Para, Brazil ..................................................... 6-12
Figure 6.4 Regional estimates of timber quality (% timber; Brazil, 1998) ................. 6-12
Figure 6.5 Price of sawn timber per region and quality grade (US$/m$^3$; Brazil, 2001) ... 6-13
Figure 6.6. Sample multi-year profit analysis (undiscounted values, $/ha) ............... 6-27
Figure 6.7. Sample multi-year profit analysis (5% discounted values, $/ha) .............. 6-31
Figure 7.1. A national opportunity cost curve ....................................................... 7-3
Figure 7.2. Example opportunity cost results from spreadsheet ............................. 7-4
Figure 7.3. Sensitivity analysis A (with logged forest of $400NPV) ......................... 7-5
Figure 7.4. Sensitivity analysis B (with logged forest of 150tC/ha) .......................... 7-6
Figure 7.5. Land uses and regions of a sample analysis within REDD-Abacus .......... 7-8
Figure 7.6. An opportunity cost curve per land use change and sub-national region .... 7-8
Figure 7.7 An opportunity cost map, central Peruvian Amazon 1990 – 2007 ............ 7-10
Figure 8.1. V-index values of land uses in Cameroon ........................................... 8-15
Figure 8.2. V-index values of land uses in Indonesia ............................................ 8-16
Figure 8.3. A species-area curve .......................................................................... 8-17
Figure 8.4. Species area curves for three land uses in Cameroon .......................... 8-17
Figure 8.5. Biodiversity at different scales ............................................................ 8-18
Figure 8.6. Municipal water systems and supply areas, Guatemala ........................................... 8-20
Figure 8.7. A combined NTFP priority areas and soil-biomass carbon map of Tanzania.. 8-21
Figure 8.8. Identifying priority co-benefit analyses ..................................................................... 8-23
Figure 9.1. Example tradeoff of land uses: NPV profit vs. carbon stock .................................... 9-2
Figure 9.2. Comparisons of eligible land use changes per RED to REALU rules ...................... 9-8
Figure 11.1. Carbon stock changes in Mahogany-monoculture system, East Java ............... 11-12
Figure 11.2. Economic values attributed to environmental assets ........................................... 11-15
Figure 11.3. Valuation methods for biological diversity and resources .................................... 11-16
Figure 11.4. OppCost Spreadsheet (a): example inputs and outputs (Chapter 7) ................. 11-17
Figure 11.5. OppCost Spreadsheet (b): example inputs and outputs (Chapter 7) ................. 11-18
Figure 11.6. Tradeoffs (Chapter 9) .......................................................................................... 11-19
Figure 11.7. Context description screen of REDD Abacus example ..................................... 11-20
Figure 11.8. Time-averaged carbon stock of REDD Abacus example ................................... 11-21
Figure 11.9. NPV estimates for REDD Abacus example ......................................................... 11-22
Figure 11.10. Transition matrix for REDD Abacus example .................................................. 11-23
Figure 11.11. Output Summary and associated Chart from REDD Abacus example ............. 11-25
Tables
Table 1.1. Example carbon, profits and employment of land uses, Peruvian Amazon ............. 1-19
Table 2.1. Process planner and checklist .................................................................................. 2-13
Table 3.1. Contrasting names for accounting stances ............................................................. 3-5
Table 3.2. Type of REDD+ cost to be included per accounting stance ................................... 3-7
Table 4.1. A legend from a hierarchical land cover classification system .............................. 4-6
Table 4.2. Characteristics of satellite images .......................................................................... 4-10
Table 4.3. An error matrix ........................................................................................................ 4-18
Table 4.4. A hypothetical land use change matrix ................................................................. 4-20
Table 4.5. A categorization of observable and hidden causes of deforestation ..................... 4-24
Table 5.1. Four IPCC carbon pools .......................................................................................... 5-3
Table 5.2. Priorities and costs of measuring carbon by land use ........................................... 5-7
Table 5.3. Measuring forest degradation: stock-difference and gain-loss methods ............. 5-12
Table 5.4. Criteria for choosing an allometric equation .......................................................... 5-19
Table 5.5. Time-averaged carbon stock (mean and range) of selected land uses ............... 5-20
Table 5.6. Relative costs of building a national carbon accounting inventory ....................... 5-25
Table 5.7. Equipment and personnel for above ground biomass sampling in Colombia... 5-26
Table 5.8. Cost of measuring forest cover and change using satellite imagery in India .... 5-27
Table 6.1. Types of budgets ..................................................................................................... 6-10
Table 6.2. A sample enterprise budget .................................................................................... 6-14
Table 6.3. Advantages and disadvantages of data collection approaches ............................. 6-17
Table 6.4. Past and potential forest uses per status of forest quality ..................................... 6-22
Table 6.5. A multi-year profit analysis results, Peru (undiscounted; years 1-15, 30) .......... 6-28
Table 6.6. Profitabilities of land use trajectories (5% discount rate, 30 year analysis) ....... 6-31
Table 8.1. Forest ecosystem services ...................................................................................... 8-3
Table 8.2. Water benefits and services .................................................................................... 8-5
Table 8.3. Plant species richness of land uses in three ASB sites ......................................... 8-13
Table 9.1. Likely tradeoffs and complementarities of goods & services from land uses .....9-3
Table 9.2. Biodiversity benefits: segregated versus integrated landscapes .........................9-4
Table 11.1. Capacities required per phase ...........................................................................11-7
Table 11.2. Tropical allometric equations .............................................................................11-9
Table 11.3. Agroforestry allometric equations ....................................................................11-10
**Boxes**
Box 1.1. What is a carbon dioxide equivalent? .................................................................1-16
Box 1.2. Managing big numbers used with C accounting ..................................................1-24
Box 2.1. Opportunity cost analysis as a boundary object ..................................................2-7
Box 2.2. Do I know enough already? ..................................................................................2-8
Box 2.3. IPCC reporting tiers ..............................................................................................2-10
Box 3.1. What is a forest and does the name matter? .......................................................3-3
Box 4.1. Data management and analysis ............................................................................4-8
Box 4.2. Estimating carbon stocks from biomass maps versus land use maps .................4-12
Box 4.3. The challenge of identifying forest degradation ....................................................4-14
Box 4.4. Optimizing activities in the field ..........................................................................4-16
Box 4.5. Land use maps for Jambi Province, Indonesia ....................................................4-21
Box 5.1. Most of the biomass is in the few really big trees ...............................................5-5
Box 5.2. Off-site carbon storage ..........................................................................................5-15
Box 5.3. Steps to determine the number of sampling plots ...............................................5-15
Box 5.4. Large trees, large roots... but not always .............................................................5-19
Box 6.1. Profit is about more than just money ..................................................................6-2
Box 6.2. Understanding the potentially big effect of discount rates ................................6-5
Box 6.3. Risk and uncertainty analysis ................................................................................6-8
Box 6.4. Reduced impact logging .......................................................................................6-24
Box 6.5. High-value mahogany - but with what carbon effects? ......................................6-25
Box 8.1. Measurement approaches of biological diversity at different scales ..................8-11
Box 8.2. Plant species richness in tropical forest margins ..................................................8-13
Box 8.3. A cautionary note with species-area curves ..........................................................8-17
Box 8.4. A national analysis of water and biodiversity benefits ........................................8-20
Box 8.5. National analysis of multiple benefits: An example from UN-REDD ..................8-21
| Abbreviation | Description |
|--------------|-------------|
| AFOLU | Agriculture, Forestry and Other Land Use |
| AWG-LCA | Ad Hoc Working Group on Long-term Cooperative Action of the UNFCCC |
| BA | Basal area |
| BAP | Bali Action Plan |
| BAU | Business as Usual |
| CDM | Clean Development Mechanism |
| CER | Certified Emission Reduction |
| CMP | Conference of the Parties serving as the Meeting of the Parties to the Kyoto Protocol |
| CO₂ | Carbon dioxide |
| CO₂e | Carbon dioxide equivalent |
| COP | Conference of the Parties |
| DBH | Diameter at Breast Height |
| FAO | Food and Agriculture Organization of the United Nations |
| FCPF | Forest Carbon Partnership Facility |
| GHG | Greenhouse Gas(es) |
| GIS | Geographic Information System |
| GPS | Global Positioning System |
| IPCC | Intergovernmental Panel on Climate Change |
| LAI | Leaf Area Index |
| LCCS | Land Cover Classification System |
| LU | Land Use |
| LULUCF | Land Use, Land-Use Change and Forestry |
| LUS | Land Use System |
| MAI | Mean Annual Increment |
| MRV | Measurement (Monitoring), Reporting, Verification |
| NBSAP | National Biodiversity Strategy and Action Plan |
| NAPCC | National Action Plans for Climate Change |
| NFI | National Forest Inventory |
| NPV | Net Present Value |
| POA | Program of Activities |
| REALU | Reducing Emissions from All Land Uses |
| REDD | Reducing Emissions from Deforestation and Forest Degradation |
| REL | Reference Emission Level |
| RPP | Readiness Preparation Proposal |
| RS | Remote Sensing |
| SESA | Strategic Environment and Social Assessment |
| SBSTA | Subsidiary Body for Scientific and Technological Advice (UNFCCC) |
| SOM | Soil Organic Matter |
| tC | Metric ton of carbon (1tC = 3.67tCO₂) |
| Abbreviation | Description |
|--------------|-------------|
| tCO₂ | Metric ton of carbon dioxide (1tCO₂ = 0.27tC) |
| UNEP | United Nations Environment Programme |
| UNFCCC | United Nations Framework Convention on Climate Change |
| VHRI | Very high resolution imagery |
xiv
Chapter 1. Introduction
Objectives
1. Introduce the rationale behind REDD and REDD+
2. Describe the different costs of REDD+
3. Discuss risks and limitations of REDD+ and opportunity cost analysis
4. Introduce an example of opportunity cost estimation
5. Identify the training manual (a) goal, (b) learning objectives, and (c) targeted participants/end-users
6. Summarize the current state of the art of REDD+ opportunity cost analysis
Contents
What are REDD and REDD+? ................................................................. 1-2
National REDD+ strategies and benefit-sharing mechanisms .................. 1-2
Costs of REDD+ ..................................................................................... 1-4
Why opportunity cost estimates are important ........................................ 1-8
Risks and limitations of REDD+ opportunity cost estimates .................... 1-9
An important question .......................................................................... 1-13
An opportunity cost example ............................................................... 1-15
A training manual for estimating REDD+ opportunity costs ................... 1-22
Current state-of-the-art in REDD+ opportunity cost analysis ................... 1-24
References and further reading ............................................................. 1-30
What are REDD and REDD+?
1. Both REDD and REDD+ are intended to help reduce carbon emissions into the earth’s atmosphere. REDD (Reducing Emission from Deforestation and Degradation) is a general term for an international policy and finance mechanism that will make possible the funding of forest conservation and establishment, and/or large-scale purchases and sales of forest carbon. REDD is intended to address both deforestation (the conversion of forested to non-forested land) and forest degradation (reductions in forest quality, particularly with respect to its capacity to store carbon).\(^1\)
2. REDD+, an expanded version of REDD, was defined in the Bali Action Plan as: *policy approaches and positive incentives on issues relating to reducing emissions from deforestation and forest degradation; and the role of conservation, sustainable management of forest and enhancement of forest carbon stocks in developing countries.*\(^2\) For the purposes of this training manual, REDD+ is emphasized.
3. By making conservation and sustainable management of forests (along with their carbon) more economically feasible, REDD+ policy can influence land use decisions within countries. UNFCCC ratification of REDD+ would likely allow forested countries to sell carbon credits to interested buyers in markets or receive financial support from conservation funds. The particulars of REDD+ mechanisms are, however, still being clarified.
4. Financial flows from REDD+ programs could reach up to US$30 billion a year, in order to halve emissions between 2005 and 2030.\(^3\) Besides reducing carbon emissions, the flow of funds, primarily North-South, could support new, pro-poor development, and help conserve biodiversity and other vital ecosystem services (UN-REDD, 2010).
National REDD+ strategies and benefit-sharing mechanisms
5. With ratification, REDD+ will affect, and potentially benefit, a wide range of land users.\(^4\) Stakeholders include farmers, ranchers, loggers, rubber tappers, private businesses, etc. – anyone who has land-based activities in rural regions. Since REDD+ funds will pass through national governments, countries will need to decide how to prioritize programs and share the benefits. To facilitate the process of developing a national REDD+ strategy, this manual helps policymakers identify the costs of participating in REDD+ programs at a
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\(^1\) Specifics for a single widely-accepted definition of forest degradation have not yet been generated, for more see Chapter 5 and [http://www.fao.org/docrep/009/j9345e/j9345e08.htm](http://www.fao.org/docrep/009/j9345e/j9345e08.htm).
\(^2\) Paragraph 1 (b) (iii) of the Bali Action Plan (BAP).
\(^3\) Kindermann, et al. (2008) estimate that halving emissions from deforestation between 2005 and 2030, which corresponds to 1.7 to 2.5 billion tons of carbon dioxide (CO\(_2\)) emissions, would require financial flows of US$17 to 28 billion per year. This would require a payment of US$10–21/tCO\(_2\). A 10% emissions reduction over the same period would cost between US$0.4 and 1.7 billion annually and US$2–5/tCO\(_2\).
\(^4\) This section has benefitted from the contributions of G. Frey (2010, personal communication).
national level, by focusing on the analysis of opportunity costs. Given the importance of benefit sharing, we briefly discuss some of the ways the benefits of REDD+ can be shared within a country.
6. In some cases, countries may choose to make direct financial payments to individuals, businesses and communities to compensate them for their activities that protect and conserve forests. In other cases, countries may fund programs to finance capacity-building and investments for alternative livelihood strategies and/or other community development activities. Such an approach is a form of indirect compensation. The selection of national policies for benefit sharing is an important component of a REDD+ readiness process.\(^5\)
7. Identifying effective and equitable benefit-sharing mechanisms can be a challenging task. For instance, land ownership and associated rights may be contested or not formalized (titled) making fair and adequate compensation difficult. Similarly, if a REDD+ intervention is to reduce illegal logging, a policy to compensate to illegal operators could create perverse incentives to cut trees in order to receive payments. Here, indirect compensation and other mechanisms would likely work best to achieve a REDD+ goal. *(More on the risks and limitations of REDD+ and opportunity costs are discussed below in this chapter.)*
8. If a REDD+ strategy limits livelihood activities (being legal or not), then opportunity costs arise. If these costs are not compensated in some way (financially or otherwise) there are two implications: (1) pressure on forests will continue, or (2) the opportunity cost would cause harm to communities, which is a violation of international good practice standards (and World Bank Safeguards) of “doing no harm.” *(See Chapter 3 for a discussion on safeguards.)*
9. This manual does not advocate any particular REDD+ strategy or benefit-sharing mechanism. Rather, it is the opinion of the authors that estimating opportunity costs can provide important information to the process of developing and implementing effective and equitable REDD+ strategies.
\(^5\) From FCPF (2010): *Use clear and transparent benefit-sharing mechanisms with broad community support, so that REDD+ incentives are used in an effective and equitable manner with the objective to further tackle deforestation and forest degradation. In some cases, the national government can be the best actor to enact and implement the necessary policy changes and regulations. But many changes will also require the involvement of indigenous peoples, local communities and the private sector, in which case these stakeholders or rights-holders would expect to partake in the REDD+ activities and the corresponding carbon revenues (or alternative financing or support) in recognition of their contributions. In other cases, indigenous peoples, local communities and the private sector would be the primary actors implementing the ER [Emission Reduction] Programs and thus expect to be the principal beneficiaries of ERPA [Emission Reductions Payment Agreement] payments. These arrangements will have to reflect the assessment of the drivers of deforestation and forest degradation.*
Costs of REDD+
10. In order to receive REDD+ funding, countries must reduce deforestation and forest degradation, and/or enhance carbon stocks. To do so, however, generates costs. These costs can be grouped into three general categories:
(1) opportunity costs resulting from the forgone benefits that deforestation would have generated for livelihoods and the national economy,
(2) implementation costs of efforts needed to reduce deforestation and forest degradation, and
(3) transaction costs of establishing and operating a REDD+ program.\(^6\)
11. Although some of the individual components of implementation and transaction costs can be interchanged, implementation costs are typically associated with reducing deforestation directly, whereas transaction costs are indirectly associated. Brief descriptions of these costs are provided below and are summarized in Figure 1.1.
Opportunity costs
12. Deforestation, despite all its negative impacts, can also bring economic benefits. Timber can be used for construction, and cleared land can be used for crops or as pasture. Reducing deforestation and preventing land use change means forgoing these benefits. Similarly, forest degradation also generates benefits from selective logging, fuelwood collection, or grazing of animals, for example. Avoiding forest degradation implies forgoing these benefits. The costs of the forgone benefits (net of any benefits that conserved a forest generates) are known as “opportunity costs” and can be the single most important category of costs a country would incur while reducing its rate of forest loss within REDD+.
13. Opportunity costs include, most obviously, the forgone economic benefits of the alternative land use, what we term direct, on-site opportunity costs. They can also include social-cultural and indirect costs:
Social-cultural costs. Preventing the conversion of forests to other land uses, can significantly affect the livelihoods of many rural dwellers. Such an alteration in the way of life may bring about social and cultural costs that are not easily measured in economic terms.\(^7\) Examples of such costs could include psychological, spiritual or emotional impacts of livelihood change, loss of local knowledge, and erosion of social capital. These costs can be minimized if alternative livelihoods are viable and readily accessible with the implementation of a REDD+ program.
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\(^6\) These categories are not definitive, but provide an overview of the different REDD+ costs. For a discussion of REDD+ costs, see Pagiola and Bosquet (2009). Costs can be arranged in fewer or more categories.
\(^7\) See Chapter 3 for discussion of involuntary resettlement policy of the World Bank. For a comprehensive review of social impact assessment, see Richards and Panfil (2010).
Indirect, off-site costs. Changes in economic activities, from timber and agriculture to other productive sectors, can also affect downstream actors of associated product supply chains. In addition, less economic activity could have an effect on national tax revenues. Similar to opportunity costs, these indirect costs are not total, but need to be estimated on a difference basis (that is, with vs. without REDD+).\(^8\) Such indirect costs associated to REDD+ can be estimated by using multipliers or multi-market economic models.
Other indirect costs include global feedback relationships arising from REDD+ policy. Land uses within a country under a REDD+ policy scenario would be different than a non-REDD+ scenario. Since more land would be in forest with REDD+, the prices of timber, agricultural and ranching products would likely increase. The combined effect of less conversion of forest to agriculture and more restoration of forests from agriculture would reduce land under cultivation, potentially increasing the costs of food, fiber and fuel. Such price changes could represent significant opportunity costs.\(^9\)
14. This manual focuses on estimating direct, on-site opportunity costs. Along with other socio-economic information, the field-level economic data collected for this component of opportunity cost can be used to estimate indirect opportunity costs. The information and enhanced knowledge of farm, cattle and timber production and their performance within supply chains will help analysts understand potential REDD+ program impacts on the respective economic sectors. For the sake of brevity, the term *opportunity cost* will refer to direct, on-site opportunity costs throughout this manual.
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\(^8\)In addition, the growth of other productive sectors needs to be estimated, as economic conditions are not static.
\(^9\)Furthermore, global population increases and consumption patterns associated with higher living standards will also likely raise pressures to convert forests into pastures or agricultural fields, thereby increasing REDD+ opportunity costs. Nevertheless, these factors are independent of REDD+ programs and should therefore not be considered an indirect cost attributable to REDD+. Similarly, other factors such as technology change, which can improve the productivity of lands (e.g. higher yielding crops), could also be mistakenly included as an indirect benefit of REDD+.
In addition to opportunity costs, there are also costs involved in implementing a REDD+ program. These are the costs directly associated with actions to reduce deforestation, and hence emissions. Examples include the costs of:
- guarding a forest to prevent illegal logging,
- replanting trees in degraded or logged forests,
- relocating timber harvesting activities away from natural forests to degraded forests scheduled for reforestation,
- intensifying agriculture or cattle ranching so less forest land is needed for food, fiber and fuel production,
- re-routing a road project so that less forest land is destroyed as a result of opening the road,
- relocating a hydroelectric production project away from a natural forest,
- delineating and/or titling land of indigenous and settler communities so that they have an incentive to continue protecting forests against conversion,
• providing capacity building, infrastructure or equipment to develop alternative livelihoods to communities.
16. All of these and similar measures incur up-front investment and perhaps recurring costs for public and/or the private sectors, which need to be adequately assessed and financed.
17. Implementation costs also comprise the institution- and capacity-building activities that are necessary to make the REDD+ programs happen. Examples of costs include the expenses associated with the goods, training, research, and the political, legal and regulatory processes, including consultations and government decision-making processes.
Transaction costs
18. Over and above opportunity costs and implementation costs, REDD+ also comes with transaction costs. Transactions costs are incurred throughout the process: REDD+ program identification, transaction negotiation, monitoring, reporting, and verifying the emission reductions. Transactions costs are incurred by the implementers of a REDD+ program and third parties such as verifiers, certifiers, and lawyers. To illustrate, transactions costs arise from (1) different parties involved in a REDD+ transaction, such as the buyer and seller or donor and recipient, and (2) external parties such as a market regulator or payment system administrator that oversee compliance of stated emission reductions. Such activities and associated costs are nevertheless necessary to the transparency and credibility of the REDD+ program.
19. Transactions costs are typically considered separate from implementation costs, since by themselves they do not reduce deforestation or forest degradation. Transactions costs may also include so-called ‘stabilization costs’ arising from the need to prevent deforestation activities from moving to other countries that are not participating in REDD+. Nevertheless, it is not yet clear whether REDD+ participants will have to allow for such costs.\(^{10}\)
Examples of REDD+ cost estimates
20. Opportunity costs can be high (e.g. when forests are converted to establish lucrative oil palm plantations), low and even negative (e.g. when forest conversion is for low productivity pastures). A global review of 29 empirical studies by Boucher (2008a) found
\(^{10}\) Stabilization costs for the eleven most important high forest-low deforestation (HFLD) countries would cost an estimated US$1.8 billion annually. To cover 7 to 10 countries would cost only US$365 million to US$630 million (da Fonseca et al., 2007). These estimates refer to maintaining emissions constant. Stabilization costs of REDD+ are likely to be higher. Participating REDD+ countries will likely not pay these costs on an individual basis, rather a common fund would be established. Contribution mechanisms to the fund have yet to be determined but could be based on the size of the national REDD+ program, a flat-rate membership or a mix of these options.
an average opportunity cost of US$2.51/tCO₂. Eighteen out of the 29 estimates of land use change were less than US$2/tCO₂, and 28 out of 29 were less than US$10/tCO₂.
21. For other REDD+ costs, US$1/tCO₂ was estimated to represent transaction, implementation and administrative costs (Boucher 2008b).\(^{11}\) These costs somewhat overlap, possibly making this a conservative overestimation. Since these estimates were largely based on a project basis, cost efficiencies may be possible to achieve with larger REDD+ programs. Nevertheless, the estimate could be substantially higher in specific national contexts, thus impacting viability of some REDD+ program options.
**Why opportunity cost estimates are important**
22. Estimating the opportunity cost of REDD+ is important for five basic reasons:
One, opportunity costs are thought to be the largest portion of REDD+ costs (Boucher, 2008a; Pagiola and Bosquet, 2009; Olsen and Bishop, 2009). Boucher’s review of 29 regional empirical estimates found average opportunity costs to be between 80 and 95% of the costs of avoiding deforestation in the countries with the most forest cover. This estimate, however, will not necessarily be true for all countries. The relative magnitude of all REDD+ costs depends on national context and specific location. In some circumstances, the opportunity costs of some land uses, especially in remote areas, may be less than transaction and implementation costs.
Two, estimating opportunity costs provides insights into the drivers and causes of deforestation. Forests are not cut out of malice—they are cut because of the economic benefits generated. High opportunity costs tend to be linked with high deforestation pressures. Typically, such lands have been or are being converted to uses of higher economic value such as timber and agriculture (Pagiola and Bosquet, 2009). Here too, there is considerable variation; in some cases, forests are converted to very low-value uses (Chomitz, et al., 2006). By helping to better understand drivers of deforestation, opportunity cost estimates can thus help policymakers identify and develop appropriate responses.
Three, opportunity costs can help to identify the likely impacts of REDD+ programs across social groups within a country. Land uses are often associated with specific social groups. Knowing who would likely gain or would lose from a REDD+ program can help identify potential moral/ethical consequences – if losses were borne by marginalized groups. Possible hidden challenges of national REDD+ program strategies may also be apparent, such as losses being incurred by
\(^{11}\) Transaction: $0.38/tCO₂ (Antinori and Sathaye, 2007), implementation: $0.58/tCO₂ (Nepstad, et al. 2007) and administration: $0.04/tCO₂ (Grieg-Gran, 2006). In per hectare terms: a lower bound for annual administration costs is US$4 per ha and upper bound of US$15 per ha.
politically powerful groups able to prevent adoption of REDD+ policies or resist their implementation. With the insights gained from REDD+ opportunity cost estimates, national REDD+ strategies can develop effective policies and mechanisms to reduce deforestation and avoid adverse social consequences (Pagiola and Bosquet, 2009).
Four, opportunity costs help to identify fair compensation for those who change their land use practices as part of REDD+. Since livelihoods are affected by land use activities, REDD+ opportunity costs are an estimate of the amount of income that alternative livelihoods would need to provide. For instance, in cases where natural protected areas are strengthened, opportunity costs are an estimate of the loss of income to nearby communities arising from use restrictions. Even if these communities are not directly compensated, the cost information is important for policymakers to understand the impacts of a REDD+ conservation policy in order to develop other types of compensation.
Five, the information gathered to estimate opportunity costs is a basis for improving estimates of other REDD+ costs. Opportunity and other REDD+ costs are likely to significantly differ within a country – even for similar land use changes. The process of gathering sub-national information, increases knowledge of local biophysical and socioeconomic contexts, which can also improve understandings needed to refine estimates based on generic values. For example, models of indirect opportunity costs, which typically employ average opportunity cost estimates, can become more accurate by taking into account sub-national information. Similarly, implementation and transactions costs can also be estimated on a spatially differentiated basis.
**Risks and limitations of REDD+ opportunity cost estimates**
**Risks**
23. Opportunity cost analysis can help inform the development of national REDD+ policies. Nevertheless, some serious risks can arise. Below are two risks associated with opportunity cost estimates, along with remedies to reduce possible harm.
**One, inaccurate application of opportunity cost estimates.** Seemingly similar land use changes may have very different opportunity costs. Many factors determine opportunity costs, both biophysical and socio-economic. Therefore, opportunity costs should never be applied uncritically. For example, opportunity costs may differ due to distinct soil fertility or market access contexts. **Remedy:** Estimate and identify valid sub-national areas to which site-specific results can be extrapolated. This process is a crucial discussion topic within this training manual. In
addition, to foster a process of timely improvement (i.e. precision and accuracy)\textsuperscript{12} of opportunity cost estimates, three levels of data and analysis requirements (analogous to the UNFCCC Tiers 1,2,3) are suggested. (More on this in Chapter 2.)
Two, opportunity cost is considered to be the only component of REDD+ costs. Opportunity costs are only one piece of the REDD+ cost puzzle. If transaction and implementation costs are also taken into account, different conclusions regarding viable national REDD+ strategies could be reached. \textit{Remedy: Analysis and policies should not only focus on opportunity costs, but also address other REDD+ costs (implementation and transaction) that are important in developing nationally-appropriate REDD+ strategies.}
\textbf{Limitations}
24. Opportunity cost analysis in general, and the approach specifically presented here, both have limitations that should be considered while estimating REDD+ costs:
One, \textbf{opportunity cost analysis does not account for the cost of lost employment that could arise from wide-scale change in land use}. To obtain alternative employment, time and training is often required. Moreover, in many rural contexts where REDD+ is likely to be implemented, high levels of under- and un-employment prevail. Therefore, jobs forgone, from agricultural to forest land uses for example, could lead to substantial costs. In addition, many classes of people may not be eligible for compensation, yet their livelihoods would be affected, including people without land title, rural laborers, illegal loggers and potentially other groups of affected people. \textit{Remedy: Estimate employment impacts per type of land use change associated with a REDD+ program. Examine tradeoffs and scenarios (Chapter 9). Magnitude of costs will depend on the size of the REDD+ programs and their effect on the landscape. Results from analysis will enable policymakers to identify priority areas and efforts to generate jobs (a type of implementation cost). The success of REDD+ programs (i.e., sustainably diverting forest adverse activities) depends on creating lucrative alternative activities in intensified agriculture, forestry or other sectors of the national economy.}
Two, \textbf{direct, on-site opportunity costs underestimate total opportunity costs}. REDD+ could substantially alter forestry and agriculture economic sectors, input and output prices, and patterns of land use. Thus, other components of opportunity
\textsuperscript{12} Accuracy is how close the estimates are to the “true” value, whereas \textit{precision} is how close the estimates are to each other.
costs, socio-cultural and indirect off-site costs, also need to be considered within REDD+ policy analyses. **Remedy:** Direct on-site opportunity costs can approximate the effect of such cost components within sensitivity and scenario analyses (Chapter 9). For example, a multiplier or additional socio-cultural costs can be estimated for specific land use changes. Similarly, additional costs arising from economic changes (e.g. prices) can be included with multipliers. These initial analyses can be used as a basis for discussion and justification for subsequent multi sector economic modeling.
25. Despite these risks and limitations, the authors consider the analytical approach as a useful and essential step to understanding opportunity costs. The manual strives to illustrate a process of data collection and analysis to transparently estimate REDD+ opportunity costs and avoid calculation and interpretation pitfalls.
**Important issues not addressed by opportunity cost analysis**
**One, off-site environmental impacts (externalities) of land uses.** Although opportunity cost analysis of land uses is based multi-year time horizons, associated environmental impacts (e.g. negative downstream effects, biodiversity loss) are not explicitly taken into account. **Remedy:** Such negative impacts can be discussed when reviewing opportunity costs at sub-national and national levels. Adequate costing of negative effects can be accomplished within a country accounting stance (defined in Chapter 3). On-site impacts, such as land degradation, can be examined with sensitivity and scenario analysis of the opportunity cost estimates (Chapters 7 and 9). For example, yield estimates from agricultural activities can decrease over the time horizon of the analysis.
**Two, land and resource governance.** Since legal and customary rights may not coincide, especially where land and resource rights are not well defined or enforced, determining the opportunity costs and who bears them may not be possible. An opportunity cost analysis that only takes into account legal rights without recognizing customary rights and uses will fail to estimate the true cost impact of REDD+ on individuals and communities. Moreover, if REDD+ strategy or intervention is based on a misrepresented estimate, particular vulnerable groups could be disenfranchised. **Remedy:** As part of a national REDD+ strategy development process, discussion of governance is essential. Participation in discussions (and analysis) should go beyond government and include affected stakeholders in civil society.
**Other important REDD+ issues:**
- environmental impacts
- governance
- illegal forest activities
Three, appropriate strategies and interventions to reduce illegal forest activities. When laws are enforced as part of a national REDD+ strategy, actors in illegal practices will bear an opportunity cost. How and if the opportunity costs are recognized, may be different according to type of actor. In cases such as illegal logging by foreigners, a country may decide it is not appropriate to compensate opportunity costs. In this case, the more substantial cost of REDD+ would not be the opportunity cost, but the implementation cost of adequately enforcing the law. In other cases, such as customary but illegal activities undertaken by low-income groups, a country may decide to compensate for opportunity costs (either directly or indirectly). **Remedy:** Like the above limitation, a national REDD+ strategy development process should include discussion of legal and illegal forest activities. Participation in discussions should also include affected stakeholders in civil society. In this case, compensation should be given in form of creating legal jobs as an alternative to illicit forest depleting activities.
**REDD+ safeguards**
26. Advances in social and environmental safeguards include defining and building support for a higher level of social and environmental performance from REDD+ programs. As REDD+ policy moves forward, the participation of local and indigenous communities in the identification and analysis of potential positive and negative impacts of REDD+ can inform safeguard policies that ensure forest users can maintain their traditional rights and uses of land resources.
27. Besides the World Bank safeguards presented in Chapter 3, an international review is in process to ensure consistency across the country-specific interpretations (CCBA and CARE International, 2010). Proposed standards include principles, criteria and indicators that define the issues of concern and performance levels. The following principle addresses cost analysis:
| Principle 2: The benefits of the REDD+ program are shared equitably among all relevant rights holders and stakeholders. |
|---|
| **Criteria** | **Framework for indicators** |
| 2.1 The projected costs, potential benefits and associated risks* of the REDD+ program are identified for relevant rights holder and stakeholder groups at all levels using a participatory process. | 2.1.1 Projected costs, potential revenues and other benefits and associated risks of the REDD+ program are analyzed for each relevant rights holder and stakeholder groups at all levels using a participatory process. |
*All analysis of costs, benefits and risks should include those that are direct and indirect and include social, cultural, human rights, environmental and economic aspects. Costs should include those related to responsibilities and also opportunity costs. All costs, benefits and risks should be compared against the reference scenario which is the most likely land-use scenario in the absence of the REDD+ program.*
International efforts have been made to classify and prioritize REDD+ activities and assess critical constraints to sub-national project development. For example, well-defined land-use rights along with equitable and effective governance plays a key role in implementing REDD+ (e.g., illegal logging/conversion on public or private lands). Principles of good governance include transparency, participation, accountability, coordination and capacity (World Resources Institute, 2010). To address these and other challenges, reviews and reforms of legal, political, and institutional framework for carbon finance are typically required (see Richards, et al., 2010, The Forests Dialogue, 2010).
**An important question**
With REDD+ programs, lost are the potentially larger profits from future agriculture and logging activities.\(^{13}\) So we need to ask:
**Can REDD+ programs provide enough incentive to conserve or restore forests?**
The quick reply: it depends on the international carbon price, the type of land use change and the different types of REDD+ costs that a country will face in order to reduce emissions. Thus the answer to the question will be ‘yes’ for some forms of deforestation, and ‘no’ for others, and unclear in yet others. Because agro-ecological, economic, and social conditions can greatly differ from place to place within a country, the costs of REDD+ can likewise differ substantially. Furthermore, the cost and effectiveness of measures to reduce deforestation will vary per location.
It is quite likely that every country will find many locations in which REDD+ would not be justified by any realistic payment per ton of carbon emission reduction. Conversely, it is also very likely that every country will find that it has many areas in which even modest payments for avoided emissions would render efforts to reforest or avoid deforestation attractive. The real issue is not whether REDD+ payments would be attractive at all, but how many emission reductions a country would find it attractive to provide at any given price per ton of carbon reduced. Understanding the opportunity costs of land use changes is a critical step (but not the only step) in answering this question.
Let’s first examine three typical land use changes, from forest to:
**High-value agriculture**
*Examples: soybean, oil palm or cattle on productive lands*
Compensation from a REDD+ program is likely to be less than the profits from high-value activities on productive lands. In other words, the opportunity cost of the high-value agriculture is greater than the potential income from a REDD+ program. Carbon prices would need to be very high in order
\(^{13}\) The term agriculture also includes ranching and tree-based or perennial cropping activities.
for REDD+ to be attractive, unless there were also significant co-benefits to conserving forests, such as protecting the water supplies of downstream users.
**Mid-value agriculture**
*Examples: soybeans, oil palm or cattle on normal quality lands*
34. Income from a REDD+ program may be more than the profits of mid-value agriculture. Compensation from REDD+ is slightly more than the opportunity costs of such land use activities. Yet, transaction and implementation costs of a REDD+ program may erase net benefits.
**Low-value agriculture**
*Examples: shifting cultivation or cattle on marginal lands*
35. Most likely, income from a REDD+ program is more than the profits from low productivity agricultural activities. In this situation, it is worthwhile for a landowner to accept compensation associated with REDD+ and maintain land as a forest (instead of converting it to agricultural use).
36. So far, we have only mentioned land use changes that involve deforestation. What about increasing carbon stocks on lands already where the forest cover has been partly or totally removed? Low-productivity lands exist throughout much of the world, such as some degraded forests, pastures, grasslands, shifting cultivation lands, old and exhausted perennial croplands, etc. Depending on the specific REDD+ policy negotiated and implemented, restored low carbon / low productivity lands may have a significant role to play in carbon funds and markets.
**Reforestation or afforestation**
*Examples: Native timber tree plantations on low-productivity agricultural or pasture lands*
37. The investment costs to re-establish forests may be compensated by REDD+ programs. Earnings from the reforested areas may be greater than from low productivity agricultural, ranching uses, especially if timber is selectively harvested in the future.
**What about the value of wood and timber?**
38. The above deforestation examples only recognized the value of agricultural production after the land use change from forest. As we will show in this manual, the value from other sources can greatly affect opportunity cost estimates of land use change. These sources can include profits from timber, charcoal and firewood that are produced when
clearing the forest or, alternatively, with enhanced forest management. When these profits exist, accurate REDD+ opportunity costs estimates should include the contribution of these forest products as well.
**An opportunity cost example**
39. Since learning about opportunity costs is best illustrated with numbers, we present an example. Let’s compare a hectare of forest to a hectare of agricultural land. Figure 1.2 summarizes the carbon stock and profits of each land use. The forest has approximately 250 tons of carbon per ha (tC/ha), whereas agricultural use has about 5 tC/ha.\(^{14}\) *(Procedures on how to estimate the tC/ha stock value per land use is in Chapter 5.)* The estimated profits from agriculture are $400/ha, while forest profits are $50/ha, expressed in Net Present Value (NPV) terms.\(^{15}\) *(An explanation of how to estimate NPV profits is in Chapter 6.)*
40. While the forest stores more carbon, agriculture produces more profit, revealing a land use tradeoff between carbon and profits. Converting a forest into an agricultural land use increases profits by $350/ha but reduces carbon stock by 245 tC/ha.
41. The opportunity cost of not changing forest to agriculture is equal to the $350/ha of profit difference ($400−$50=$350/ha) divided by the 245 tC/ha not emitted (250−5=245tC/ha). Thus, the opportunity cost, per ton of carbon, is $1.43/tC (= $350/245tC).
42. REDD+ compensation, however, is not based on carbon (tC), but rather on emissions of carbon dioxide equivalents (CO\(_2\)e). A conversion factor of 3.67 is needed to translate tC
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\(^{14}\) These figures are illustrative. Significant variation can arise within landscapes and across countries.
\(^{15}\) Net present value is the summing of a stream of annual profits, whereby future profits are reduced by a factor (i.e., discount rate) that reflects the inherent preference for money now, rather than profits generated in the future.
to tCO$_2$e. (See Box 1.1 for further explanation.) So, the potential emissions of the land use change is 899tCO$_2$e/ha (245tC/ha * 3.67 tCO$_2$e/tC = 899tCO$_2$e/ha).
43. With an estimate of the difference in profits ($350/ha) and the emissions avoided (899 tCO$_2$e/ha), an opportunity cost of avoided emissions can be estimated. The opportunity cost is $0.39/tCO$_2$e of not converting a forest into agricultural land.
44. This per ton carbon equivalent estimate is one way of expressing opportunity costs. Yet for landholders, the more relevant way to express opportunity costs is per hectare. In this example, the per unit land area estimated opportunity cost is $350/ha. In other words, by not converting a forest to agriculture, the farmer forgoes $350/ha in NPV profits.
45. Although estimating opportunity costs is relatively simple in theory, in practice, generating reliable estimates can be difficult. Multiple series of calculations are required, each with possibilities of making errors. In addition, numerous assumptions about measures and methods need to be made, often requiring discussion and agreement, in order to generate precise and accurate estimates of both carbon and profits of land uses.
46. It is important to note that opportunity costs are not based on land use, but rather the change in land use. Land use change is the difference between an initial state and an end state. The time period of analysis can be of any length, but should follow the Intergovernmental Panel on Climate Change (IPCC) reporting requirements (i.e., 5 years) and/or the time frame of a national strategic plan (perhaps more than 5 years).
**Box 1.1. What is a carbon dioxide equivalent?**
The major greenhouse gas associated with land use change is carbon dioxide (CO$_2$). Carbon is approximately 46% of the biomass (per kilogram of dryweight) stored in trees and 57% of soil organic matter. When one unit of tree carbon is burned or otherwise decomposes, the carbon combines with two units of oxygen to produce one unit of CO$_2$. Given the atomic weights of carbon (12) and oxygen (16), one unit of C is equal to 3.67 units of CO$_2$ ((12+(2*16))/12)=3.67).
Deforestation and degradation also produce other greenhouse gases (GHGs) including nitrous oxide (N$_2$O) and methane (CH$_4$). N$_2$O has 231 times higher global warming potential than CO$_2$. Whereas, CH$_4$ has 23 time the warming potential. To standardize the effect of different gas emissions, international convention measures greenhouse gas loading in terms of CO$_2$ equivalents, represented by CO$_2$e.
*Source: IPCC, 2006.*
Carbon – profit tradeoffs
47. Let us extend the previous example to compare forests against three distinct land uses: agriculture, agroforests, and low-productivity pastures (Figure 1.3).
Comparing the land uses in this example, we can see that:
- Carbon stocks of agriculture, pasture and agroforestry are all lower than natural forest.
- Profit from agroforestry is highest, with agriculture about half as much. Profits from forest and pastures are both low.
- Low-productivity pastures have low carbon content (5tC/ha) and low profits ($40/ha). Therefore, unlike conversion to agriculture, conversion to pastures would not be a carbon-profit tradeoff.
- Although agroforestry has lower carbon stocks than forests, the carbon content of agroforestry is substantially (80tC/ha) more than agriculture (5tC/ha). Of particular interest is the high NPV profit ($800/ha).
Comparing opportunity costs
49. Figure 1.4 presents the opportunity costs of three types of land use change (forest to pasture, agriculture, and agroforestry). Each has a different opportunity cost. Both changes to agriculture and agroforestry land uses have higher opportunity costs. Since agriculture has lower NPV profits and lower carbon content than agroforestry, the opportunity costs of avoiding the emissions from changes to agriculture are less than those of agroforestry.
50. In the case of forest to low-productivity pastures, the opportunity costs of the land use change is not actually a cost. *The opportunity cost is negative – which can be considered a potential benefit*. Landholders could realize an economic gain by not deforesting for producing cattle on low-productivity pastures. Profits would increase from $40 to $50/ha reflecting the lack of a carbon-profit tradeoff. In terms of the associated CO$_2$e, the opportunity cost is negative, that is -$0.01/tCO$_2$e. This is example of so-called low-hanging fruit – where REDD+ compensation may not be necessary in financial terms, but may be available and needed, to avoid such a land use change or restore a forest.
**Tradeoffs within a national landscape**
51. People use land in many ways. Table 1.1 presents eleven categories of land use with their respective estimates of carbon stock, profits and rural employment. These land uses are representative of many tropical countries and can be adjusted to match predominant land uses.
52. Land uses with trees tend to have higher carbon, but with lower profits and employment. Throughout this training manual, these eleven land use categories and associated estimates will be used to illustrate how to estimate opportunity costs of REDD+ policies and their associated effects on countries, economic sectors and citizens.
Table 1.1. Example carbon, profits and employment of land uses, Peruvian Amazon
| Land use | C stock time-averaged (tC/ha) | CO₂e stock time-averaged (tCO₂e/ha) | Profitability (NPV*, $/ha) | Rural employment (workdays/ha/yr) |
|---------------------------|-------------------------------|-------------------------------------|-----------------------------|----------------------------------|
| Natural forest | 250 | 918 | 31 | 5 |
| Logged forest | 200 | 734 | 300 | 15 |
| Heavily logged forest | 120 | 440 | 500 | 25 |
| Agroforest 1 | 80 | 294 | 300 | 120 |
| Agroforest 2 | 60 | 185 | 120 | 100 |
| Cocoa | 50 | 147 | 604 | 135 |
| Oil palm | 40 | 183 | 245 | 84 |
| Improved pastures | 3 | 11 | 618 | 7 |
| Low-productivity pastures | 2 | 7 | 336 | 5 |
| Agriculture 8yr fallow | 5 | 18 | 302 | 27 |
| Agriculture 3yr fallow | 3 | 11 | 409 | 43 |
* Estimated using a 5% discount rate.
Sources: Palm, et al. 2004; White, et al. 2005.
53. To illustrate a wide range of carbon-profit relationships, Figure 1.5 plots eleven land uses of Indonesia according to their C stocks and NPV profits. Most of the land uses fall along a tradeoff arc (green line) ranging from high profitability with low carbon stocks to low profitability with high carbon stocks. The graph also identifies the landscape average (average C stock and average NPV).
54. A few points in the lower left corner (red circle) represent low level conditions of C stock \textit{and} profit, such as low-productivity pastures. Converting these low carbon – low profit lands into more profitable land uses could be a feasible and attractive REDD+ policy priority.
Figure 1.5. Tradeoffs and low-level conditions of NPV profit and carbon stocks
Source: Swallow, et al. 2008.
What is an abatement cost curve?
55. An abatement cost curve compares the quantity of potential emission reductions with their costs (i.e., opportunity, implementation and transaction). The vertical axis represents the abatement cost of the emissions reduction option (in monetary units per tCO$_2$e), while the horizontal axis depicts the corresponding quantity of reduction (often measured in million tCO$_2$e per year).
56. Besides representing potential REDD+ transactions, an abatement cost curve also helps to:
- summarize the attractiveness and feasibility of REDD+ options in a given region or country,
- clarify potential gains from REDD+ carbon trading.
57. Abatement, and opportunity, costs can be estimated at different levels: sub-national, national, and global, depending upon the scale of a REDD+ program. Figure 1.6 is a supposed example of a national abatement cost curve, for Indonesia, which includes abatement costs from both agricultural and industrial activities. Nevertheless, this “abatement cost curve” only considers direct, on-site opportunity costs (Dyer and Counsell, 2010). The fact that such a widely shared and well-publicized analysis is not actually of REDD+ abatement costs highlights the importance of reviewing methodological assumptions. Despite actual abatement costs being higher, arising from implementation and transactions costs, the graph is useful for illustrative purposes.
58. Reduction options associated with REDD+ are highlighted by red boxes. Their relative contribution is measured by the width of the respective bars. For example, abatement of forest conversion to smallholder agriculture would reduce emissions by approximately 250 MtCO$_2$e per year, whereas avoiding timber extraction would reduce about 90 Mt CO$_2$e per year. Reforestation could reduce emissions by approximately 100 MtCO$_2$e per year (Dewan Nasional Perubahan Iklim and McKinsey & Co., 2009).
59. The differences in opportunity costs can be substantial. The vertical height of each bar represents the cost of each option. While reducing forest conversions to low productivity slash-and-burn agriculture is estimated to cost less than €2 per tCO$_2$e, the opportunity cost of reforestation is approximately €10 per tCO$_2$e and reduced forest conversion to intensive agricultural production can cost over €20 per tCO$_2$e. Such cost differences affect feasibility of abatement options within national REDD+ programs.
60. By representing both the amount of emission reduction and cost per type of land use change, an abatement cost curve (representing opportunity, implementation and transactions costs) can help answer the question: *what quantity of CO$_2$ emissions reduction may be possible at a carbon price of $X/tCO$_2$e?* It can also help to answer the question: *which emissions reduction options are attractive to the country at a carbon price of $X/tCO$_2$e.*
A training manual for estimating REDD+ opportunity costs
61. Opportunity costs can greatly differ per country and within countries. For example, the value of timber and agricultural activities depend upon numerous factors including market access, soil fertility and rainfall patterns. Production factors such as labor and machinery inputs also need to be taken into account when estimating costs.
62. To address these challenges, the manual provides a systematic approach to identifying and analyzing data required to estimate the opportunity costs of REDD+ programs. To illustrate the process, the training manual contains detailed presentations of methods and assumptions. Below is a summary of the goal, objectives and likely users of the manual.
**Goal**
Countries estimate opportunity costs of REDD+ to help guide national policy.
**Objectives**
1. To provide methods and tools to estimate the opportunity cost of forgoing land use changes and fostering enhancements of forest carbon at a national level,\(^{16}\)
2. To document case study examples that enable professionals (governmental, university, non-governmental) to learn, adapt and use the analytical methods, interpret results, analyze different land use scenarios and identify optimal national REDD-related policies,
**Likely users**
*National-level decision makers and planners* involved in REDD+ policy and planning who want to be able to interpret and apply the results of opportunity cost studies in REDD+ national plans and international negotiations,
*National practitioners and experts* involved in studies of opportunity costs of REDD+ who want to understand how their own expertise (e.g., agricultural and forestry economics, forest ecology, geography, remote sensing, spatial analysis) contributes to estimating opportunity costs and associated REDD+ policy decisions.
63. Within this manual, we provide guidance on how to gather and analyze the necessary information to address questions of the economic viability and other decision criteria related to REDD+ programs at a national level. Such non-economic decision criteria include effects on biodiversity, water and livelihoods. Central to the analysis is the comparison of
\(^{16}\) And also acknowledging and including the wide range of forests and other land use types found in those landscapes.
opportunity costs arising from preventing land use changes (e.g., forest to agriculture, forest to pastures), or fostering land use changes (e.g., degraded land to forest).
64. In order to inform national level decisions, the current land uses are identified throughout the country along with drivers of land use change. Since carbon and profit levels of all land uses can differ according to bio-physical (e.g., soil quality) and socio-economic (e.g., distance to markets) conditions, sub-categories of land uses are also identified. This also ensures accuracy of the information required to estimate REDD+ opportunity costs. With knowledge of the types of land uses, likely future changes in land use and the related opportunity costs, REDD+ programs planners can review the implications of reducing carbon emission per type and sub-national location of land use. The results from these analyses enables countries to become informed of the potential costs linked to REDD+ program commitments and thereby identify optimal national development strategies.\(^{17}\)
**Who else may be interested in opportunity costs?**
65. The analytical methods and preparation plans within this manual can help to address a variety of questions arising from the concerns of people potentially affected by REDD:
**A government policymaker**
66. Trees make money when cut for timber; under REDD+, they can also make money when they remain standing. With carbon payment schemes such as REDD, tree carbon becomes an internationally-traded commodity like lumber. Much of our national economy, however, depends on cutting trees. Timber companies create jobs and benefit nearby towns. If trees are not cut, such economic activities and growth would not happen.
- What would be the cost to our country and to our citizens of avoiding deforestation?
- How big would the cost be, and who would bear it?
**An environmental conservation investor**
67. We want to conserve lands and defend forests from being cleared. The value of carbon in these landscapes may be a good incentive to protect forests and watersheds and to restore degraded lands.
- What are the conservation costs, including opportunity costs, of different lands?
- How can environmental benefits from forests, such as biodiversity and water, affect decisions about REDD?
\(^{17}\) Optimal is defined as having the most positive qualities, with respect to national objectives. Objectives can be numerous, including economic, social, cultural and environmental considerations.
68. REDD+ programs will impact how I earn my living from the land. My livelihood depends on cutting trees clearing forest.
- How much should I be asked to be compensated?
69. The concept of REDD+ is based on the belief that forests can help mitigate climate change only if their protection is viable and attractive within national development strategies. Therefore, as countries advance REDD+ preparations, an analysis of future costs and benefits of these programs is needed to inform both national and international policy decisions. The next section outlines the different approaches used in opportunity cost analysis.
Box 1.2. Managing big numbers used with C accounting
Since REDD+ at national or global scale addresses large quantities of carbon, the scientific notation frequently used can be unfamiliar and confusing. Even more confusing is that sometimes (particularly in the scientific literature) mass is expressed in terms of grams not tons (e.g., 1t = 1Mg). The below table summarizes the common notation.
| Prefix | Abbreviation | Scientific notation | Equivalent Value |
|--------|--------------|---------------------|------------------|
| - | t | $10^0$ | 1000 kg |
| kilo | kt | $10^3$ | 1,000t |
| mega | Mt | $10^6$ | 1,000,000t |
| giga | Gt | $10^9$ | 1,000,000,000t |
| tera | Tt | $10^{12}$ | 1,000,000,000,000t |
| peta | Pt | $10^{15}$ | 1,000,000,000,000,000t |
Current state-of-the-art in REDD+ opportunity cost analysis
70. Despite intense efforts of including REDD+ within climate change negotiations, relatively little is known about the opportunity costs of REDD. Existing studies can be divided into three distinct groups (Boucher, 2008b):
- **Global models**: a top-down approach, based on dynamic economic models.
- **Regional-empirical models**: a bottom-up approach, which relies on detailed empirical analysis of the tradeoffs between economic profits and carbon associated with land use change.
- **Area-based models**: a per area approach, using a synthesis of sub-national and global analyses to generate global estimates.
The studies differ in the type of questions addressed. The top-down and per area approaches emphasize estimating amounts of global emission reductions at specific opportunity costs. In contrast, the bottom-up approach (presented in this training manual) is typically used for estimating the opportunity costs of specific land use changes. Within a REDD+ preparedness context, the bottom up approach answers the question from the country perspective. All approaches employ a series of distinct methodological and data assumptions.
**Top-down approach (global models)**
72. Top-down approaches evaluate REDD+ economic potential from aggregate economic variables. Three research groups have produced the most frequently cited studies: Ohio State University, the International Institute for Applied Systems Analysis in Austria (IIASA), and the Lawrence-Berkeley National Laboratory.
73. Kindermann, et al. (2008) and Boucher (2008b) summarize the methods and assumptions of the top-down studies. The analytical models share a common approach, based on the opportunity costs of different land uses. The models differ, however, in many of their details, for example: the economic sectors included, how dynamics of the world economy (e.g., forest, agriculture and energy sectors) are simulated, spatial divisions of the globe and the interest rates applied. In addition, the models are based on different data sets, such as the distribution of carbon densities in world forests and rates of deforestation.
74. The Ohio State studies apply the Global Timber Model (GTM) – a dynamic model that calculates optimal area, tree age class, and management regime for 250 classes of forestlands worldwide (Sohngen, et al., 1999; Sohngen and Mendesohn, 2003). The GTM model assumes that forest lands are managed for timber production; it does not explicitly consider alternative land uses. GTM generally assumes lower opportunity costs than the other two models, partly because GTM assumes profits from agriculture and higher C stocks on forest land.
75. The IIASA studies apply the Dynamic Integrated Model of Forestry and Alternative Land Use (DIMA). The DIMA model focuses on the allocation of land between forestry, grazing and agriculture. The model predicts that deforestation will occur where land value in other uses is higher than in forest, and that afforestation will occur where land value in forestry is higher than in other land uses. The resolution of results from the DIMA model are based on 0.5° grid cells (~56x56 km at near the equator).
76. The Lawrence Berkeley laboratory studies use the Generalized Comprehensive Mitigation Assessment Model (GCOMAP). GCOMAP is a dynamic partial equilibrium model that analyzes afforestation in short- and long-term tree species and reductions in deforestation in ten regions of the world.
77. Limitations and uncertainties of global modeling efforts include:
• Use of average carbon stock estimates,
• Estimates of forest extent in each region based on imprecise data,
• Simplistic modeling of land use change (e.g., one type of forest to one type of agriculture),
• Only timber production considered to determine forest value,
• Lack of country-specific economic data.
Strengths of the global modeling efforts, include:
• explicit assumptions about future conditions shaping timber models (e.g., population pressure)
• explicit consideration of REDD+ policy effects on timber prices.
78. The three global models produce an array of results (Figure 1.7). Results generally reflect the higher productivity and value of agricultural activities in Asia and Latin America. With a scenario of reducing emissions from deforestation by 50% between 2005 and 2030, opportunity cost estimates range from a low of $1.7/tCO$_2$e in Latin America (GTM) to $38/tCO$_2$e in Asia (GCOMAP). The mean opportunity costs for Africa, the Americas and Asia were respectively US$2.22, US$2.37 and US$2.90/tCO$_2$e. Differences across the continents, however, were not statistically significant (Kindermann, 2008).
*Source: Kindermann, 2008.*
**Bottom-up approach (regional-empirical models)**
79. Bottom-up studies are based on sub-national, on-the-ground, empirical data. Both estimates of carbon density (ton/ha) and per-area opportunity cost ($/ha) are specific to particular regions or time periods. Thus, opportunity cost estimates depend on the availability and quality of local information.
Over twenty of these studies estimate a few land use changes, not complete supply curves (Boucher, 2008b). Much of the empirical base for the opportunity cost analysis in this manual was generated in the context of the Alternatives to Slash and Burn program (ASB). Swallow, et al. (2007) present sub-national opportunity cost curves for ASB sites in Indonesia, Peru and Cameroon. Such studies generate detailed cost curves based on detail field research thus requiring fewer assumptions than global models.\(^{18}\) Nevertheless, bottom-up approaches do not necessarily take into account global feedback relationships that would change prices (e.g., food and timber), and thus costs as a REDD+ system develops (Boucher, 2008b).\(^{19}\)
Börner and Wunder (2008) used a municipal-level methodology based on official Brazilian land-use statistics in a pilot analysis for two federal states. Including additional data sources (e.g., profit rates for land use categories, simulated future deforestation scenarios, etc.), the approach was extended to the entire Brazilian Amazon (Börner, et al., 2010).
**Per area approach (area-based models)**
The Grieg-Gran (2006) study within the Stern Review is an area-based synthesis of data and analysis from eight countries representing the majority of tropical forest (Brazil, Bolivia, Cameroon, Democratic Republic of the Congo, Ghana, Indonesia, Malaysia, and Papua New Guinea). The approach has a disadvantage of low resolution, thereby limiting its use at sub-national level. Furthermore, the opportunity cost estimates lack corresponding carbon density estimates, despite sub-national estimates opportunity cost information ($/ha) being used to estimate a global per-area cost of reducing deforestation.\(^{20}\) The midpoint (US$3.48/tCO2e) of the estimates was 36% higher than the mean of the local estimates of the bottom-up approach, due in part to no spatial variation of carbon density. The approach, however, permits data on per-area opportunity costs to be used for regions where no per-ton carbon costs exist (Boucher, 2008b).\(^{21}\)
Strassburg et al. (2008) conducted a similar study with data from 20 countries. The “field approach” used FAO data on forest area and past deforestation rates. Combined with global and regional biomass models and data, the analysis estimated carbon content per hectare for each country. Two different approaches were used to estimate profits from land uses. Recent field data from the top 8 developing countries by annual deforested area were
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\(^{18}\) Borner and Wunder (2008) base their analyses largely on official government statistics, possible in Brazil because of their availability.
\(^{19}\) The effect of changing prices and costs can be addressed with sensitivity analysis (Module T).
\(^{20}\) Termed *global-empirical models* by Wertz-Kanounnikoff, 2008.
\(^{21}\) To convert estimates based on area ($/ha) to emissions ($/Co2e), Boucher (2008b) used a conversion factor for mean carbon density: 3.94 billion tCO\(_2\) of emissions from 10.1 million hectares deforested, from Strassburg, et al. (2008).
used to estimate a general relationship between deforestation and opportunity costs that was then applied to the forest data of each of the 20 countries.
84. In the other approach, a recent GIS-referenced global map of potential economic returns from agriculture and pasture (Figure 1.8; Naidoo and Iwamura, 2007) was overlaid with GIS referenced global databases of spatial distribution of deforestation. Results show that at very low opportunity cost\(^{22}\) (~US$5.5/t), a mechanism could reduce 90% of global deforestation (Strassburg et al. 2008).
*Source: Sukhdev (2008) from Strassburg, et al. (2008) based on data from Naidoo & Iwamura (2007).*
**Three approaches compared**
85. Figure 1.9 summarizes the results of the three approaches. A review of sub-national opportunity cost analyses reveals a mean opportunity cost of US$2.51/tCO\(_2\)e, with 18 of the 29 estimates at less than US$2. Per area estimates conclude that in order to reduce global deforestation by 46 percent, opportunity costs range from US$2.76 to US$8.28/tCO\(_2\)e. Associated investments required to achieve such decreases range from US$5 to 15 billion per year. The global models produce much higher estimates of the costs of reduction than either the sub-national, empirical estimates or the area-based estimates of the Stern Review. Estimates from global models include the effects of local and global price changes arising from altered forest and agricultural activities (Boucher, 2008b).
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\(^{22}\) Since other costs of REDD+ were not considered, the original phrasing of CO\(_2\)e prices is more like an opportunity cost.
In addition to the differences in opportunity cost per type of emission reduction, costs can increase significantly if all deforestation in a region is to be stopped. With the global models, smaller reductions in emissions are less costly. A 10% reduction over the same period would cost only US$ 1 to 8/tCO$_2$e. In Brazil, Nepstad et al. (2007) estimated that eliminating 94% of emissions from deforestation and forest degradation would cost $0.76 per tCO$_2$e. Costs to eliminate 100% would be nearly double ($1.49 per tCO$_2$e).
For the purposes of generating national-level analysis of REDD+ opportunity costs, the bottom-up approach is recommended. Opportunity cost estimates are not only based on local information but will also easily fit within analytic frameworks developed by the IPCC for land use change (IPCC, 2003) and national inventories of greenhouse gases (IPCC, 2006). Furthermore, individual countries considering participating in a REDD+ require information on what it would cost them to reduce emissions from deforestation, forest degradation, and reforestation. Estimates of global costs provide little assistance. Similarly, the average approximations of large-scale analyses do not reflect the potentially wide range in conditions found within a country (Pagiola and Bosquet, 2009).
The next chapter provides an overview of the training manual contents and the process of estimating REDD+ opportunity costs.
References and further reading
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Blaser, J., C. Robledo. 2007. Initial analysis of the mitigation potential in the forestry sector. UNFCCC Secretariat, Bern, Switzerland
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Chapter 2. Overview and preparations
Objectives
1. Summarize the content of the training manual,
2. Identify the people and skills required to estimate REDD+ opportunity costs
3. Assess one’s knowledge of REDD+ opportunity costs,
4. Provide different tactics for effective manual use,
5. Introduce a “how-to” process guide for conducting a national REDD+ opportunity cost analysis
6. Identify information needed beforehand in order to estimate opportunity costs
Contents
Structure of the training manual ................................................................. 2-2
Who should do the work? ........................................................................... 2-6
Ways to use this manual ............................................................................. 2-8
Process of estimating opportunity costs .................................................... 2-9
References and further reading ................................................................. 2-14
Structure of the training manual
1. If estimating REDD+ opportunity costs were simple, a training manual would not be needed. Here we explain a process to estimate REDD+ opportunity costs. The approach used is based on detailed sub-national data. A strong foundation of empirical information helps to substantiate analysis results and support policy decisions. Sampling and extrapolation procedures are also shown to generate cost-effective and accurate national-level estimates of REDD+ opportunity costs.
2. The manual presents a series of distinct - but related- activities in estimating opportunity costs. An initial step is understanding the REDD+ policy context (Chapter 3). Topics include an evolving UNFCCC eligibility policy, accounting stance (who pays what costs), reference emission levels and nationally-appropriate mitigation actions (NAMAs). Although these policies are evolving within the UNFCCC framework, knowledge of them helps to link opportunity cost estimates within a larger decision framework.
3. Chapter 4, opportunity cost analysis begins with identifying and classifying land uses. An associated task includes estimating changes in land use – both historical and likely future trajectories. This latter component also includes analysis of the drivers of deforestation, which helps guide analysis of land use change scenarios and establishing reference emission levels. Histories of land use are helpful in identifying future land use trajectories. Scenario analysis of trajectories (e.g. business as usual and alternatives) is essential in estimating and negotiating reference emission levels of countries within the UNFCCC framework. As indicated above, these activities are closely linked to countries’ strategic objectives, as defined in national REDD readiness preparation proposals under the Forest Carbon Partnership Facility (FCPF) of the World Bank or national joint programs under UN-REDD.\(^{23}\)
4. For the entire range of land uses, Chapter 5 shows how to estimate their carbon stocks, while Chapter 6 illustrates how to estimate their associated profits. In addition to examining a range of land uses, these chapters also discuss how to conduct analysis over multiple year time horizons. With Chapter 4, these two chapters are the basic building blocks of opportunity cost analysis. It important to note that other REDD+ preparation activities may provide data for opportunity cost analysis. For example, countries are developing reference scenarios and operational forest monitoring and carbon accounting systems at the national level.
5. Chapter 7 brings together the information for estimating opportunity costs and creating an opportunity cost curve (Figure 2.1). The building blocks enable the analysis to
\(^{23}\)That is, land use classification, identification of drivers, and development of historical (and potentially future) reference scenarios are part of a country’s REDD+ policy process.
advance in two ways – for estimating the vertical (cost) and horizontal (quantity) components of the curve.
6. The vertical axis is based on an opportunity cost (oppcost) matrix, which summarizes the opportunity costs for all land use changes in $/tCO₂e. This is developed from the land use classifications along with associated carbon and profit information.
7. The horizontal axis also requires land use and carbon information, as represented by an emissions matrix. This matrix contains the quantities of emissions for all land use changes in terms of tCO₂e.
For the vertical axis (costs):
Ch4 Classify land uses
Forest
Ag
Ch5 Carbon stocks (tC/ha)
Ch6 Profits ($/ha)
OppCost matrix ($/tCO₂e)
For the horizontal axis (quantities):
Ch4 Estimate land use change (matrix of histories or trajectories)
Emission matrix (tCO₂e)
Figure 2.1. Analytical steps for developing an opportunity cost curve
8. In addition, the manual includes discussion of how to improve the precision and accuracy of opportunity cost estimates in a step-wise manner, similar to the IPCC Tiers (1,2,3).
9. In this overview, we introduce four of the more important basic components to estimating opportunity costs: (1) analyzing land use, (2) measuring carbon, (3) estimating profits, and (3) calculating an opportunity cost curve. Throughout the estimation, with discussion and critique process, participation of a range of professional expertises and scientific disciplines make the analytic approach and results not only more precise and accurate, but also more understandable to a wider audience – including those who may be affected by REDD+ policy.
Analyzing land use
10. A framework of land use systems is required to estimate opportunity costs of REDD+. The word *systems* is used because land uses often have multiple activities that may change over time. Although identifying and categorizing lands may seem as a straightforward exercise, a number of challenges confront researchers and policymakers, including (1) a potentially wide array of land uses, and (2) distinguishing between different land use systems from remote-sensing imagery.
11. A mix of national, IPCC and other criteria are used to determine categories. To enable systematic and rigorous analysis of REDD+ opportunity costs, land use systems need to be:
- Unambiguous (pertain to only one land use category),
- A basis from which to integrate multiple types of data,
- Carbon-relevant (homogenous in C stock),
- Profit-relevant (homogeneous in profits),\(^{24}\)
- Policy-relevant (supports the mandates of different national agencies),
- Valid for different versions of RED(D++),
- Consistent for reporting at multiple scales: global, national, local.
12. Easily observable characteristics of rural areas, both bio-physical (e.g., vegetation, elevation, soil quality) and socio-economic (e.g., population density, market accessibility, culturally homogeneous areas, etc.) serve as one of the determinants of land use system categories. Quantification of land use systems is achieved through a process of identifying land covers on maps (typically satellite images) and validating the actual land use systems, often by on-site confirmation.
13. Nevertheless, estimating land use system *changes* is the basis for REDD+ opportunity cost analysis. Past changes are calculated by comparing land use systems from different years. Probable future land use trajectories can be determined by extrapolating past changes and/or by developing land use models. The quantity of each type of land use change affects the estimate of national reference emission levels.
Estimating carbon and profits
14. The collected biophysical data and associated estimation methods are largely based on the general requirements set by the United Nations Framework Convention on Climate Change (UNFCCC). Especially for estimating *carbon stocks*, the training manual follows the available methods provided in the 2003 Intergovernmental Panel on Climate Change
---
\(^{24}\) Levels of homogeneity to be determined according to impact on results. In some instances, 5-10% difference may not greatly affect opportunity cost estimates. The topic of precision and rigor is a matter of discussion whereby the costs of data collection and analysis are weighed against the benefits of better estimates.
(IPCC) Good Practice Guidance for Land Use, Land Use Change and Forestry (GPG-LULUCF) and the 2006 IPCC Guidelines for National Greenhouse Gas Inventories for Agriculture, Forestry and Other Land Uses (GL-AFOLU) on how to estimate emissions from deforestation and forest degradation.
15. In contrast, socioeconomic data do not have protocols for collection and analysis. Similar to biophysical analysis, rigorous data collection, data management and analytical methods facilitate the generation of accurate and robust socioeconomic information needed to estimate profits of land uses. One important challenge includes taking account of how revenues and costs differ over multiple years within a land use system.
16. Accurate biophysical and socioeconomic information is not sufficient for opportunity cost analysis. Equally important the ability to integrate socioeconomic and biophysical information of land use systems identified within the analytical framework. In other words, the information must be based on the same units of analysis – per hectare with annual data transformable into a multi-year analytical framework. To facilitate a better understanding and transparency of the process, the recording of contexts, processes and assumptions are highly recommended.
Estimating opportunity costs and other analyses
17. Opportunity cost analysis of REDD+ generates a money-based representation (e.g., $/ha, $/tC or $/CO$_2$e) of the tradeoff between storing carbon and generating profits on lands. The graphical representation of this tradeoff, called an opportunity cost curve, is a key objective of the analysis.
18. Opportunity costs estimates are a basis for further analysis and discussion. Such topics include:
- sensitivity analysis of opportunity cost estimates to changes in methods, assumptions and data,
- biodiversity and water co-benefits,
- scenario analysis of
- different future land use trajectories,
- distributional impacts of REDD+ policies and compensation upon
- land users (e.g., smallholders, plantation owners), and
- associated economic sectors (timber, agriculture, etc.)
19. Such analyses related to opportunity cost estimation can help national policymakers understand the implication of REDD+ policies.
Sensitivity
20. Critical review of a REDD+ opportunity cost analysis also includes an evaluation of the data, methods and assumptions used. One way to do so is via sensitivity analysis, whereby specific parameters are adjusted, such as technical coefficients (e.g., carbon stock, profit estimates). Discussion of sensitivity analysis and exercises are in Chapter 7.
Co-benefits
21. Forests generate other environmental or ecosystem services in addition to storing carbon. Such services, or *co-benefits*, include biodiversity and water. The value of these services can be significantly greater than the value of carbon alone, and thereby have the potential of lowering the apparent opportunity costs of reducing emissions. Discussion of co-benefits and their implications on opportunity cost estimates are within Chapter 8.
Scenarios
22. Scenario analysis can reveal how assumptions of future conditions can potentially affect estimates of land use, reference emission levels and associated economic-social-environmental tradeoffs. Related to sensitivity analysis, analysts and policymakers can contrast a range of potential policy actions to identify preferable conservation and development outcomes. A dramatic rise in food and energy prices, for example, may increase incentives to expand agricultural production into forests. Thus, opportunity cost estimates would need to be recalculated. Analytical results from updated opportunity cost analysis can assist policy development and decision processes. Discussion and exercises are found in Chapter 9.
Conclusions and next steps
23. Reviews to and revisions of opportunity cost estimates should be conducted as new technical evidence becomes available (e.g., improved estimates of carbon stocks), when significant shifts in market conditions occur or changes in REDD policy. The opportunity cost models can be used for scenario analysis on an on-going basis. Discussion of revised analyses, communication of results and next steps is in Chapter 10.
Who should do the work?
24. Estimating the REDD+ opportunity costs requires a wide variety of expertises. Moreover, the scope of the work required at the national level is beyond what can be managed by one or two people. Therefore, a first step is getting the correct people and organizations involved. Only then can a country be assured that they can generate valid opportunity cost estimates, critique the methods used to reach the findings, and prepare the best national strategy for participating in REDD+ funds and marketplaces.
25. The chapters in this manual help countries identify the team of both analytic and policy-oriented people required to estimate REDD+ opportunity costs. The team needs the skill from different scientific disciplines and professional backgrounds to work together, such as forestry, economics, agriculture, geography, and policy.
26. Since many are likely to be affected by REDD+, others may want to be aware and participate, such as ecologists, hydrologists, community activists, and private sector.
Therefore, country teams will need to decide how best to balance the benefits of obtaining additional perspectives and insights with the costs of coordinating numerous contributors.
**A national REDD+ analytic and policy team**
27. National experts involved in REDD+ research and policy analysis should estimate opportunity costs. Since no one person, or even government agency, can do all of the above, a national REDD+ team needs the expertise of:
1. **geographers / spatial analysts** to map land uses and changes,
2. **foresters and carbon specialists** to measure carbon in land uses,
3. **agricultural and forest economists** to estimate profits of land uses,
4. **hydrologists and biodiversity specialists** to estimate possible co-benefits,
5. **sociologists** to help identify possible adverse social consequences, and
6. **national REDD+ administrators** to identify policy responses.
28. Participation of personnel within government agencies fosters discussion REDD+ concepts and helps to link directly with decisionmakers and policymakers (Box 2.1). Non-government organizations and university staff can help ensure continuity and resilience of analytic capacity, since personnel within government agencies can change frequently. Rural community-based organizations and the private sector may also wish to be involved.
**Box 2.1. Opportunity cost analysis as a boundary object**
An opportunity cost analysis is a *boundary object* that facilitates communication between science and policy. Many IPCC reports, for example, are boundary objects. Boundary objects must meet stringent demands. Their content must be credible and open to scrutiny, while the presentation is sensitive to the needs of policymakers at sub-national, national and international levels.
Working together helps communication and understanding. Crunching numbers, filling databases and generating numbers is not sufficient. Nor is quickly reading final reports and attending policy meetings. The *process* of estimating opportunity costs requires discussion amongst scientists and policymakers.
On the way to generating opportunity cost curve estimates, other intermediate boundary objects need to reconcile different levels of understanding: amongst academic distinct disciplines, professional expertise and the policy interests. Some of the most important boundary objects in opportunity cost analysis are the national *typology of land use systems* or *map legend* that serve as the skeleton of the analysis. We foresee a stepwise and iterative learning process to derive an appropriate land use typology.
The overall analysis approach can benefit from the Millennium Ecosystem Assessment and similar multidisciplinary efforts intended for wider audiences. Participation of policymakers in during the work in-the progressing work enables them to express concerns, need and make suggestions to be shared. This collaborative approach can make the final results more meaningful, useful and compelling.
Ways to use this manual
29. Achieving proficiency in REDD+ opportunity cost analysis requires different levels of investment, depending on the person involved. Given the quiz above, you probably have a better idea of what type of knowledge could be of use. In the list below, see which objective best matches yours, and identify the likely time investment required:
I need to:
- quickly read to confirm my knowledge (10 – 40 min);
- read to learn something important (1 hour – 1 day), enough to know:
- who should participate in the training workshops,
- who should be part of the national REDD+ analytic and policy team;
- thoroughly read to be familiar with a few of the subjects in order to question findings, and policy implications (1.5 – 5 days).
- read, participate in a workshop and practice with examples in order to be well-versed with all the subjects required to critically question findings, analytical methods, and policy implications (5 – 15 days).
Box 2.2. Do I know enough already?
The topic of REDD+ opportunity costs can be confusing and difficult to understand. Some words and terms may be new. How many do you know?
- Ground-truth – minimum mapping unit – land use trajectory
- Discount rate – net present value – accounting stance
- Reference emission level – business as usual
- Carbon flux – allometric equation
If you feel comfortable with all these terms, you are a rare person. You earned a score of 10 of 10. For the rest of us, including us authors, understanding the complex and sometimes subtle workings of REDD+ opportunity costs requires a time investment. The contents of this manual and practice exercises will help us reach a high level of expertise.
Likely topic priorities per expertise
30. National decisionmakers and policymakers would benefit from an ability to interpret, critique and apply the results of opportunity cost studies. Such capacity is necessary to know what policies are needed to develop REDD+ national and sub-national
plans. To achieve such capacity, the information contained in the following chapters are considered important within the manual:
- Introduction
- Overview and preparations
- REDD+ policy context
- Opportunity cost analysis
- Tradeoffs and scenarios
- Conclusions and next steps
31. **Sub-groups of the national REDD+ analytic and policy team** would concentrate on chapters intended for specific analyses. The following chapters need inputs from the following types of experts:
- **Land use & land use change**: remote sensing experts, geographers and land use planners;
- **Carbon**: foresters, agronomists, carbon measurement specialists;
- **Profitability**: agronomists, foresters, economists, sociologists;
- **Water & Biodiversity Co-Benefits**: hydrologists, ecologists, sociologists, economists.
**Process of estimating opportunity costs**
**Improving accuracy and precision**
32. Although countries may not have all the data required to estimate a wide range of opportunity costs, information may be available on similar land use systems in other countries. A preliminary analysis can generate approximate opportunity cost estimates, mirroring the three tier system used by the IPCC for estimating carbon stocks.
33. A recurring challenge of estimating REDD+ opportunity costs is improving their accuracy and precision. Since the carbon price received is likely to be significantly higher for better (substantiated) estimates, a stepwise process with increasing levels of time and money investments is recommended, analogous to the IPCC Tier 1, 2, 3 approach (Box 2.3). Nevertheless, per agreements reached in Cancun, the Subsidiary Body for Scientific and Technological Advice (SBSTA of the UNFCCC) will define C-accounting rules and MRV etc. for national REDD+ systems. The rules may supersede or complement the IPCC Good Practice Guide.
Box 2.3. IPCC reporting tiers
Tier 1: Basic estimation methods and existing data are used. Default values can be used when data is unavailable (e.g., from the IPCC emission factor database). Data are often spatially coarse (e.g., estimates of deforestation rates), and have large error range (e.g., ~70% for aboveground biomass).
Tier 2: Intermediate estimation methods use country-defined emission factors and activity data within the same approach as Tier 1. Estimates for specific regions and land use categories typically require higher-resolution activity data, which need to be collected.
Tier 3: Rigorous estimation methods, such as measurement systems and models, are used repeatedly over time and adjusted to reflect national characteristics. Areas of land use change are monitored. High-resolution activity data is collected with analysis disaggregated at the sub-national or district level. Parameterized models with plot data can be used to analyze all carbon pools. Models typically go through quality checks, audits and validations. Models may incorporate a climate dependency factors and can provide estimates of inter-annual variability.
Source: Adapted from Havemann, 2009 and IPCC, 2003.
34. To increase the level of analytical precision and accuracy, the REDD+ analytic and policy team can follow an iterative process of data identification and collection. Tier 1 - type analysis generates initial estimates that provide an initial sense of the orders of magnitude regarding opportunity costs. With these results, targeted efforts can improve key aspects of the information required for analysis, which might use either Tier 2 or Tier 3 methods, or a mix, depending on time and resources available, country land use context and the potential benefits of improved estimates.
Opportunity costs analysis within a REDD+ readiness process
35. Despite opportunity cost analysis not being required explicitly with REDD+ readiness processes, opportunity cost estimates inform the formulation of national REDD+ strategy. The inquiry process, analytical results, and critical review from stakeholders helps to identify optimal national strategies within Readiness Preparation Proposals (RPPs), presented to the FCPF of the World Bank (see FCPF, 2009; FCPF and UN-REDD, 2010). In addition, some investment and operating costs can be shared across other REDD+ preparations, such as collecting data and associated analytical frameworks for reference emission levels (RELs) and carbon measurement, reporting, and verification (MRV).
36. While speedy availability of results is valuable for informing decisions, accurately estimating opportunity costs requires substantial data inputs and rigorous analytical methods. If the needed data is not readily available, significant investments of time and cost can be made as Tier 1 or 2 type analyses are advanced.
37. REDD+ preparation is a process, and countries can be at different stages. Figure 2.2 summarizes three phases for implementing a comprehensive REDD+ program and associated levels of opportunity cost analysis. The phased approach allows policymakers to have important information in a timely manner in order to support discussion of potential REDD+ impacts within REDD+ readiness, consultation, consensus building, strategy development and negotiation processes (REDD+ Phase 1). Improved opportunity cost results will also help with policy design and implementation within national development strategies (REDD+ Phase 2).
38. During these phases, some of the technical information (e.g., profitabilities, carbon stocks) may indeed be general estimates applied to national conditions. As a country moves up the tiers, increasing amounts of national and sub-national technical information is required. Matured opportunity cost analysis enables countries to improve REDD+ policy effectiveness and efficiency (REDD+ Phase 3). Government ownership of the process and commitment from key actors in a country are important for successful REDD+ planning and implementation.
*Source: Authors.*
39. Table 2.1 provides a summary of tasks and associated expertise needed to accomplish them. Within the table, tasks appear in the rows and the required expertise are represented by the columns. Some tasks only require one type of expertise and can be advanced without much collaborative input from other members of the national REDD+ team. Given the nature of REDD+ opportunity cost analysis, however, many tasks require participation of different types of professionals.
Independent tasks have only one colored cell, whereas collaborative tasks requiring meetings have multiple colored cells. National workshops can be divided into sub-national workshops to focus on different contexts within a country.
What information is needed upfront?
To estimate the opportunity costs of REDD+ at the national level, a country will need to know:
- the area of all land uses (e.g., agriculture, pastures, forest),
- and likely future land uses (i.e. trajectories),
- the profits of all land uses in the country (e.g., agriculture, forests, pastures etc.),
- the carbon stock of each type of land use,
(also helpful: information on co-benefits of water & biodiversity).
In other words, three sets of information are the building blocks. Fortunately, all this work does not need to start from zero. Many studies typically exist within a country that can be used, including National Biodiversity Strategy and Action Plans (NBSAP) and National Action Plans for Climate Change (NAPCC), national forest plans and other land use planning information. Information on the profitability of at least some land use systems is often available from Ministries of Agriculture and/or producer groups.
By using existing data, collecting new data, conducting analyses and reviewing results, the team will be able to estimate the opportunity costs of REDD+ (and other costs of REDD+, the training manual contains guidance on this too.)
Technical and analytic support
Support for the training material and workshops on REDD+ opportunity costs is part of the Forest Carbon Partnership Facility (FCPF) effort to test and evaluate different approaches to REDD+ in tropical and subtropical countries. Opportunity costs are within issues identified in Step 4 (Planning: Define the issues to consult on) of the FCPF technical guidance on how to prepare an effective consultation and participation plan (FCPF, 2009).
References and further reading
Africover. http://www.africover.org/index.htm
Dutschke, M., R. Wolf. 2007. *Reducing Emissions from Deforestation in Developing Countries: The Way Forward*. GTZ Climate Protection Programme, Eschborn, Germany.
FAO Land and Water Development Division. http://www.fao.org/ag/agl/default.stm
FCPF and UN-REDD. 2010. Guidelines on Stakeholder Engagement in REDD+ Readiness With a Focus on the Participation of Indigenous Peoples and Other Forest-Dependent Communities. Draft. November 17. World Bank: Washington DC. 16p. http://www.forestcarbonpartnership.org/fcp/sites/forestcarbonpartnership.org/files/Documents/PDF/Nov2010/FCPF%20UN-REDD%20Stakeholder%20Guidelines%20Note%20Draft%2011-17-10.pdf
FCPF, 2009. *Readiness Mechanism on National Consultation and Participation for REDD*. Note FMT 2009-2. http://www.forestcarbonpartnership.org/fcp/sites/forestcarbonpartnership.org/files/Documents/PDF/FCPF_FMT_Note_2009-2_Consult_Particip_Guidance_05-06-09_2.pdf
Global Land Project. http://www.globallandproject.org/
GOFC-GOLD. http://www.fao.org/gtos/gofc-gold/index.html
GOFC-GOLD. 2008. Reducing greenhouse gas emissions from deforestation and degradation in developing countries: a sourcebook of methods and procedures for monitoring, measuring and reporting. Global Observation of Forest and Land Cover Dynamics. GOFC-GOLD Report version COP14-2. Alberta: Natural Resources Canada.
Havemann, T. 2009. *Measuring and Monitoring Terrestrial Carbon: The State of the Science and Implications for Policy Makers*. UN-REDD, FAO and the Terrestrial Carbon Group. http://www.terrestrialcarbon.org/site/DefaultSite/filesystem/documents/MM%20Report%20090922.pdf
IPCC, 2003. *Good Practice Guidance for Land Use, Land-Use Change and Forestry*. Chapter 3. http://www.ipcc-nggip.iges.or.jp/public/gpglulucf/gpglulucf_contents.html
Nabuurs, G.J., O. Masera, K. Andrasko, P. Benitez-Ponce, R. Boer, M. Dutschke, E. Elsiddig, J. Ford-Robertson, P. Frumhoff, T. Karjalainen, O. Krankina, W.A. Kurz, M. Matsumoto, W. Oyhantcabal, N.H. Ravindranath, M.J. Sanz Sanchez, X. Zhang, 2007. *Forestry*. In: Metz, B., O.R. Davidson, P.R. Bosch, R. Dave, L.A. Meyer (eds) *Climate Change 2007: Mitigation. Contribution of Working Group III to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change*, Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA. http://www.ipcc.ch/pdf/assessment-report/ar4/wg3/ar4-wg3-chapter9.pdf
UNFCCC. 2009. Cost of implementing methodologies and monitoring systems relating to estimates of emissions from deforestation and forest degradation, the assessment of carbon stocks and greenhouse gas emissions from changes in forest cover, and the enhancement of forest carbon stocks. Technical Paper Reference: FCCC/TP/2009/1. 31 May 2009. http://unfccc.int/resource/docs/2009/tp/01.pdf
Chapter 3. RED(D++) policy context
Objectives
1. Provide a background on REDD+ eligibility policy
2. Introduce the concept of reference emission level (REL)
3. Discuss issues of accounting stance
4. Present the concept of nationally appropriate mitigation actions (NAMAs)
5. Introduce WB safeguards relevant to REDD+
Contents
An evolving REDD+ eligibility policy ................................................................. 3-2
Who pays what costs: accounting stance ......................................................... 3-5
Reference emission levels .............................................................................. 3-7
Nationally Appropriate Mitigation Actions (NAMA) ....................................... 3-8
SESA and safeguard policies of the World Bank ............................................. 3-9
References and further reading ...................................................................... 3-11
1. Terms and phrases that are commonly used when discussing REDD+ policy are in Box 3.1. For definitions, see Glossary in Appendix A.
**REDD+ policy words**
| Deforestation | Baseline | Business as usual |
|---------------|----------|-------------------|
| Degradation | Removal | Reference emission level |
| AFOLU/REALU | LULUCF | Additionality |
2. A chapter on REDD+ policy could span dozens of pages. Here we briefly present five REDD+ policy issues that are linked with opportunity cost analysis:
- **Eligibility policy** – what types of land use changes qualify within the terms of REDD+ endorsed by the UNFCCC,
- **Accounting stance** – the perspective from which costs and benefits are estimated, typically individual groups, government agency or national.
- **Reference emission level** – a future optimal emission level of a country, based on carbon prices and opportunity costs, thereby identifying the line between a good and bad REDD+ market transactions.
- **Nationally Appropriate Mitigation Actions (NAMAs)** – are a set of policies and actions that countries undertake as part of a commitment to reduce greenhouse gas emissions. Countries may take different actions on the basis of equity and in accordance with common, but differentiated, responsibilities and respective capabilities.
- **Safeguard policies** – provide guidelines for the World Bank and clients in the identification, preparation, and implementation of programs and projects. Safeguard policies have often provided a platform for the participation of stakeholders in project design, and have been an important instrument for building ownership among local populations.
**An evolving REDD+ eligibility policy**
3. REDD+ is maturing. REDD+ itself is an evolving concept whereby rules, regulations and other matters continue to be developed, debated, and improved. Since the Montreal Conference of Parties (COP) in 2005, the United Nations Framework Convention on Climate Change (UNFCCC) Parties have held extensive discussions regarding the scope of REDD. The UNFCCC talks began with RED (i.e. limited to only deforestation\(^{25}\)) and expanded to
\(^{25}\) Changing carbon-rich forest land into another land use with lower carbon stocks.
REDD taking into consideration forest degradation (which does not involve a land use change from forest land to non-forest land).
4. The discussion next broadened to also consider forest conservation, sustainable forest management, and enhancement of forest carbon stocks (REDD+). In Bali December 2007, the parties to the UNFCCC confirmed their commitment to addressing global climate change, yet an agreement on REDD+ was not reached. Advances were made towards an agreement including reference to REDD,\textsuperscript{26} calling for:
\begin{quote}
Diverging opinions to continue debate whether a primary set of deforestation/degradation measures should be established, with a secondary set for other forest-based mitigation options (REDD+).
\end{quote}
5. Agreement has not yet been reached on whether the Parties intend “enhancement of forest carbon stocks” to be forest restoration only on lands already classified as forests, or also include forestation of non-forest land.\textsuperscript{27} During the COP16/CMP6 in Cancun, the Ad Hoc Working Group on Long-term Cooperative Action (AWG-LCA) of the UNFCCC adopted a mechanism that encourages developing countries to contribute to mitigation actions in the forest sector by the full scope of REDD+ activities (reducing emissions from deforestation, from forest degradation, conservation of forest carbon stocks, sustainable management of forest, enhancement of forest carbon stocks).
6. Although not discussed at the UNFCCC level, a long-term vision remains for comprehensive carbon accounting across the entire spectrum of Agriculture, Forest, and Other Land Uses (AFOLU), also known as Reducing Emission from All Land Uses (REALU) or REDD++.\textsuperscript{28} The definition of forest also may have implications on REDD+ (see Box 3.2 for details on what is considered forest).
\textbf{Box 3.1. What is a forest and does the name matter?}
The agreed forest definition of the UNFCCC within the Kyoto protocol has three significant parts:
1) Forest refers to any area of at least 500m$^2$ (0.5ha) and a country-specific choice of a threshold canopy cover (10-30%) and tree height (2-5 m),
2) The above thresholds are applied through ‘expert judgment’ of ‘potential to be reached \textit{in situ}\textsuperscript{29}, not necessarily to the current vegetation status,
3) Temporarily unstocked areas (with no specified time limit ) remain ‘forest’ as long as national forest entities claim that such areas will, can or should return to tree cover conditions.
\textsuperscript{26} UNFCCC Decision 1/CP.13, UNFCCC Decisions 2-4/CP.13, Decision 2/CP.13 dedicated to REDD.
\textsuperscript{27} The option will require policies and efforts to avoid double counting with eligible clean development mechanism (CDM) afforestation/reforestation projects.
\textsuperscript{28} The second + can have different meanings, depending on a person or context. It used to imply afforestation/reforestation, social safeguards, and REALU (Frey, 2010; personal communication).
Parts 2 and 3 were added to restrict the concept of re- and afforestation and allow ‘forest management’ practices including clear felling followed by replanting to take place within the forest domain. The above forest definition has a number of counter-intuitive consequences (van Noordwijk and Minang, 2009), such as:
- Conversion of forest to oil palm plantations may not be considered deforestation; such plantations can meet the definition of forest,
- There is no deforestation in countries where land remains under the institutional control of forest agencies, and is considered only ‘temporarily unstocked’;
- Swidden agriculture and shifting cultivation can be removed from the list of drivers of deforestation, as long as the fallow phase can be expected to reach minimum tree height and crown cover;
- Most tree crop production and agroforestry systems do meet the minimum requirements of forest; whereas unpruned coffee, for example, can reach a height of 5 m;
- The current transformation of natural forest, after rounds of logging, into fastwood plantations can occur fully within the ‘forest’ category;
- A substantial part of the peatland emissions may not fall under forest-related emission prevention rules if the associated deforestation is claimed before a cut-off date yet to be specified.
- Substantial tree-based land cover types fall outside of the current ‘institutional’ frame and jurisdiction of ‘forests’, and require broad-based implementation arrangements.
Although no single definition of forest can provide a ‘clean’ separation of forest and non-forest within the continuum of land uses, such a definition is likely not needed for the concept of REDD+ to advance. A draft version from the Ad Hoc Working Group on Long-term Cooperative Action (AWG-LCA) of the UNFCCC (2009a) text states:
the following safeguards should be [promoted and supported] [ensured]:
...
(e) Actions that are consistent with the conservation of natural forests and biological diversity, ensuring that actions referred to in paragraph 3 below are not used for the conversion of natural forests [into plantations, as monoculture plantations are not forest], but are instead used to incentivize the protection and conservation of natural forests and their ecosystem services, and to enhance other social and environmental benefits;\[1\]
In sum, the implications for the categorizing something as forest or non-forest may be unimportant if forest degradation is included. A forest definition will affect reporting procedures, not actions on the ground. To estimate REDD+ opportunity costs, associated levels of carbon and net earnings of degraded and improved forests can be calculated.
\[1\] Taking into account the need for sustainable livelihoods of indigenous peoples and local communities and their interdependence on forests in most countries, reflected in the United Nations Declaration on the Rights of Indigenous Peoples and the International Mother Earth Day.
7. Opportunity cost analysis of land use changes, both avoided (e.g., forest preserved) and achieved (e.g., forest restored), will enable countries understand the potential benefits of REDD+. Such benefits are not only economic, but also include water and biodiversity co-benefits that could be substantially affected by REDD+. In other words, REDD+ policies have the capability of altering national forests, agriculture, and livestock production along with affecting the national provision of environmental goods and services of water and biodiversity resources. In sum, countries will want to know how altered eligibility rules affect achievable emission reductions from avoided and achieved land use changes.
**Who pays what costs: accounting stance**
8. Identifying who pays the costs, and receives benefits, of REDD+ is essential to understanding how a policy will function. For national REDD+ program, three types of perspectives are important to recognize: (1) *individual groups or actors*, (2) *national or country*, and (3) *government agency*. The mixing of these perspectives can lead to estimation errors that potentially misinform policy decisions. The perspective from which impacts are estimated is termed an accounting stance.\(^{29}\)
9. The accounting stances of REDD+ policy can be identified by other names. The perspective of *individual groups* is also known as a *private* or *financial* accounting stance, whereas, a *national* perspective can be termed *social* or *economic* (Table 3.1). For purposes of estimating the opportunity costs of REDD+, the terminology has been adjusted to avoid confusion. (The term *social costs* is more aligned with *socio-cultural costs* associated with non-economic livelihood impacts, such as psychological, spiritual and emotional – as mentioned in the Introduction).
**Table 3.1. Contrasting names for accounting stances**
| Country/National | = | Social | = | Economic |
|------------------|---|--------|---|----------|
| Individual groups| = | Private| = | Financial|
\(^{29}\) This presentation is adapted from Pagiola and Bosquet, 2009.
country.\textsuperscript{30} In contrast, the perspectives of individual groups and of the government only include specific costs and benefits that these groups receive. (The distribution of REDD+ costs is discussed further below.)
11. The second difference refers to \textbf{how costs and benefits are calculated}. Under the national perspective, costs and benefits are valued at the social value of resources (their value in their next-best alternative use) rather than at their observed market prices. In some countries, these prices may differ either because of policy distortions (e.g., taxes, subsidies, trade restrictions, etc.) or because of market imperfections (e.g., monopoly power, externalities,\textsuperscript{31} or public goods). In contrast, costs to individual groups are valued at the prices that these groups actually pay, including taxes. Years ago, the difference between social values and observed market values was quite significant. Governments would systematically distort the prices, especially of agricultural inputs and outputs. As a result of reform processes, such distortions are typically less, yet can persist to different degrees according to country.
12. The third difference refers to the \textbf{discount rate used to assess future costs and benefits}. A national perspective should use the social discount rate normally applied by the government. In contrast, the discount rate for individual groups should reflect market rates or their individual rate of time preference. These rates can be represented by a bank loan rate, if credit is available, or other (often higher) rates if no credit is available. The topic of discount rates is discussed further in Chapter 6.
13. From the country’s perspective, all REDD+ costs have to be taken into consideration, including opportunity costs (including, where relevant, social-cultural and indirect costs) as well as implementation and transaction costs (Table 3.2). Nevertheless, some of these costs are cancelled out since they are simply transfers within the country. For example, although a government payment to forest owners is a cost to government, it is also a benefit to the landowner. The administrative cost, however, remain a cost to the country.
14. Individual groups, in contrast, typically are only aware of a subset of REDD+ costs, primarily opportunity costs (again, including socio-cultural and indirect costs where relevant), although in some cases they may also face some of a REDD+ program’s implementation costs.\textsuperscript{32}
\textsuperscript{30} Examples of benefits realized primarily outside the country include the climate change mitigation benefits of carbon sequestration and biodiversity conservation.
\textsuperscript{31} Externalities are the consequences of an action that affect someone other than the decisionmaker, and for which the decisionmaker is neither compensated nor penalized. In the context of forest management, impacts such as sedimentation, biodiversity loss, greenhouse gas emissions are externalities.
\textsuperscript{32} An illustrative example comes from a payment for environmental service program in Costa Rica. Individuals were responsible for the costs of preparing management plans, fencing and locating signposts, and monitoring by independent organizations (Pagiola, 2008; Pagiola and Bosquet 2009).
Table 3.2. Type of REDD+ cost to be included per accounting stance
| Cost category | Individual | Government agencies | Country |
|---------------|------------|---------------------|---------|
| Opportunity | ✓ | | ✓ |
| Implementation| * | ✓ | ✓ |
| Transaction | | ✓ | ✓ |
* denotes a cost that may be partially assumed by individuals.
15. **Government agencies** will assume a number of *budgetary costs*. Such costs typically include administrative, transaction, and implementation costs. In considering implementation costs, it is important to bear in mind that a large portion may consist of transfers, depending on how efforts to reduce deforestation are implemented. Any portion of budgetary costs which compensate individual landholders for their opportunity and other costs would be a transfer, and as such this portion would not be considered an economic cost to the country. *(For more on this subject, see Pagiola and Bosquet, 2009, and Chapter 6 on Estimating the profits from land uses.)*
**Reference emission levels**
16. How much emission reduction can be achieved at a specific carbon price? The answer to this question enables a country to identify and negotiate a reference emission level (REL) – a basis from which a country commits to reduce emissions. The REL is an important component of REDD+ preparation because:
- If a country reduces deforestation too little, it will miss opportunities to increase its net REDD+ revenues.
or
- It is possible for a country to reduce deforestation ‘too much’ – that is, to reduce deforestation at a cost that is higher than the compensation it receives through REDD+.
17. Figure 3.1 illustrates the above cases. The abatement level $A^*$ (on the horizontal axis) is the quantity at which the carbon price $P^*$ (on the vertical axis) is equal to REDD+ costs. At this level of abatement, the country receives a REDD+ payment the area of the rectangle $OP^*mn$. To reach this level of abatement, it faces costs equal to the area under the abatement curve up to $A^*$. The difference between these costs and the REDD+ payment are a net benefit to the country (known as a ‘rent’ or a ‘producer surplus’). Should a country reduce fewer emissions by less than this level (for example, abatement level $A_1$), it would give up some of this potential rent (the area of the triangle $tsm$). Conversely, if the country
chooses an abatement level higher than $A^*$ (for example, $A_2$), it will face additional costs that are not compensated by the additional REDD+ income (area $nmwv$).
*Source: Authors.*
18. It is important to note, however, that agreements on payment mechanisms and associated rules have not yet been reached. Thus, such REDD+ rents may not be structured exactly as explained above. For more on reference emission levels see Angelsen (2008, 2009) and Meridian (2009).
**Nationally Appropriate Mitigation Actions (NAMA)**
19. The term *Nationally Appropriate Mitigation Actions* (NAMA) is based on the concept that different countries take different nationally appropriate actions on the basis of equity and in accordance with common but differentiated responsibilities and respective capabilities. The concept is also linked with financial and technical assistance from developed countries to developing countries to reduce emissions. REDD can be seen as a subset of NAMA.
20. NAMA became part of the international agenda through its inclusion in the Bali roadmap, at COP13, alongside REDD. The Bali Action Plan of COP13 was centered on four main building blocks: (1) Mitigation, (2) Adaptation, (3) Technology, and (4) Financing. NAMA formed an important part of the mitigation component. Future discussions on mitigation were to address:
- Measurable, reportable and verifiable nationally appropriate mitigation actions or commitments (NAMA) by all developed countries, and
- Nationally appropriate mitigation actions (NAMAs) by developing country Parties, supported and enabled by technology, financing and capacity-building, in a measurable, reportable and verifiable manner.
21. Initially, interest in NAMA articulation was less than that in REDD since no financial mechanisms existed for international support. Although the COP15 in Copenhagen did not result in binding agreements, countries were asked to express their national commitments, in a context where international investment would be linked to such commitments (but without imposing a hard conditionality). In Cancun, agreement was reached to officially recognize NAMAs under the multilateral process. An international registry will be developed with the purpose of recording and matching developing country mitigation actions with finance and technology support.
22. In Indonesia, for example, the NAMA concept has become the major driver of the national climate change policy, with the REDD activities embedded within broader efforts to reduce emissions and other aspects of economic development. Indonesia has a NAMA commitment to reduce its emissions by 26% relative to a 2020 business as usual scenario. This is now the basis of the concept of an ‘own commitment’ NAMA to be linked with an ‘international co-investment’ NAMA.
23. A challenge remains in achieving Globally Appropriate Mitigation Actions (tentatively called GAMA) and Locally Appropriate Mitigation Actions (LAMA). Both are connected to NAMA as a concept for articulating “common but differentiated responsibility” within the UNFCCC principles.
**SESAs and safeguard policies of the World Bank**
24. A number of World Bank safeguard policies may affect national REDD+ strategies and implementation. These policies are also reflected within a Strategic Environment and Social Assessment (SESA) of an RPP (Forest Carbon Partnership Facility, 2010). World Bank safeguards and SESAs are two mechanisms that enable a REDD Country Participant to identify likely impacts and risks, as well as opportunities, and consequently make more informed and appropriate choices between strategic options.\(^{33}\)
25. Environmental and social safeguard policies are a cornerstone of the World Bank in its support to sustainable poverty reduction. The objective of the policies is to prevent and mitigate undue harm to people and their environment in the development process. The policies provide guidelines for bank and borrower staffs in the identification, preparation, and implementation of programs and projects. Safeguard policies have often provided a platform for the participation of stakeholders in project design, and have been an important instrument for building ownership among local populations. The following are some of the more relevant safeguard policies to REDD+.\(^{34}\)
\(^{33}\) FCPF. 2010. RPP template. Version 4
\(^{34}\) For a complete list and explanation, see: http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTSAFEPOL/0,,menuPK:584441~pagePK:64168427~piPK:64168435~theSitePK:584435,00.html
Involuntary resettlement
26. Involuntary Resettlement\(^{35}\) is triggered in situations involving involuntary taking of land and involuntary restrictions of access to legally designated parks and protected areas. The policy aims to avoid involuntary resettlement to the extent feasible, or to minimize and mitigate its adverse social and economic impacts.
27. The policy promotes participation of displaced people in resettlement planning and implementation, and its key economic objective is to assist displaced persons in their efforts to improve or at least restore their incomes and standards of living after displacement. The policy prescribes compensation and other resettlement measures to achieve its objectives and requires that borrowers prepare adequate resettlement planning instruments prior to Bank appraisal of proposed projects.
Indigenous peoples
28. The World Bank policy on indigenous peoples\(^{36}\) underscores the need for Bank staff and participating countries to identify indigenous peoples, consult with them, ensure that they participate in, and benefit from Bank-funded operations in a culturally appropriate way - and that adverse impacts on them are avoided, or where not feasible, minimized or mitigated.
Natural habitats
29. The policy on Natural Habitats\(^{37}\) seeks to ensure that World Bank-supported infrastructure and other development projects take into account the conservation of biodiversity, as well as the numerous environmental services and products which natural habitats provide to human society. The policy strictly limits the circumstances under which any Bank-supported project can damage natural habitats (land and water areas where most of the native plant and animal species are still present).
30. Specifically, the policy prohibits Bank support for projects which would lead to the significant loss or degradation of any Critical Natural Habitats, whose definition includes those natural habitats which are either:
- legally protected,
- officially proposed for protection, or
- unprotected but of known high conservation value.
31. In other (non-critical) natural habitats, Bank supported projects can cause significant loss or degradation only when
\(^{35}\) Operational Policy 4.12
\(^{36}\) Operational Policy (OP)/Bank Procedure (BP) 4.10
\(^{37}\) Operational Policy 4.04
i. there are no feasible alternatives to achieve the project's substantial overall net benefits; and
ii. acceptable mitigation measures, such as compensatory protected areas, are included within the project.
Projects in Disputed Areas
32. Projects in Disputed Areas\(^{38}\) may affect the relations between the Bank and its borrowers, and between the claimants to the disputed area. Therefore, the Bank will only finance projects in disputed areas when either there is no objection from the other claimant to the disputed area, or when the special circumstances of the case support Bank financing, notwithstanding the objection. The policy details those special circumstances.
33. In such cases, the project documents should include a statement emphasizing that by supporting the project, the Bank does not intend to make any judgment on the legal or other status of the territories concerned or to prejudice the final determination of the parties' claims.
References and further reading
Angelsen, A. 2008. How Do We Set the Reference Levels for REDD Payments? In A. Angelsen, ed., *Moving Ahead with REDD: Issues, Options and Implications*. Bogor, Indonesia: Center for International Forestry Research (CIFOR).
Angelsen, A. 2009. *What will REDD cost?* Presentation Rainforest Foundation Norway (RFN). 18 June. [www.slideshare.net/amiladesaram/angelsen-rfn-redd-costs](http://www.slideshare.net/amiladesaram/angelsen-rfn-redd-costs)
Busch, J., Strassburg, B., Cattaneo, A., Lubowski, R., Bruner, A., Rice, R., Creed, A., Ashton, R., Boltz, F. 2009. Comparing climate and cost impacts of reference levels for reducing emissions from deforestation. *Environmental Research Letters*, 4:044006.
Dyer, N., S. Counsell. 2010. *McREDD: How McKinsey ‘cost curves are distorting REDD*. Rainforest Foundation Climate and Forests Policy Brief. November. 12p.
Forest Carbon Partnership Facility. 2010. *Readiness Fund: Incorporating Environmental and Social Considerations into the Process of Getting Ready for REDD+. Note FMT 2010-16*. World Bank.[http://www.forestcarbonpartnership.org/fcp/sites/forestcarbonpartnership.org/files/Documents/PDF/Sep2010/2g%20FCPF%20FMT%20Note%202010-16%20SESA%20Mainstreaming.pdf](http://www.forestcarbonpartnership.org/fcp/sites/forestcarbonpartnership.org/files/Documents/PDF/Sep2010/2g%20FCPF%20FMT%20Note%202010-16%20SESA%20Mainstreaming.pdf)
Gittinger, J. P. 1982. *Economic Analysis of Agricultural Projects*. Johns Hopkins University Press, Baltimore.
\(^{38}\) Operational Policy (OP)/Bank Procedure (BP) 7.60
Meridian Institute. 2009. *Reducing Emissions from Deforestation and Degradation (REDD): An Options Assessment Report*. Prepared for the Government of Norway, by A. Angelsen, S. Brown, C. Loisel, L. Peskett, C. Streck, D. Zarin. Available at www.REDD-OAR.org
Monke, E., S.R. Pearson. 1989. *The Policy Analysis Matrix for Agricultural Development*. Cornell University Press, Ithaca, New York.
Pagiola, S., B. Bosquet. 2009. *Estimating the Costs of REDD+ at the Country Level*. Version 2.2, Forest Carbon Partnership Facility World Bank. Washington D.C. 22p.
Stoft, S.E. 2009. *Beyond Kyoto: Flexible Carbon Pricing for Global Cooperation* (October 23 2009). Global Energy Policy Center Research Paper No. 09-05. Available at: http://ssrn.com/abstract=1502944
UNFCCC 2009a. Ad Hoc Working Group on Long-Term Cooperative Action under the Convention. *Policy approaches and positive incentives on issues relating to reducing emissions from deforestation and forest degradation in developing countries; and the role of conservation, sustainable management of forests and enhancement of forest carbon stocks in developing countries*. Eighth session. Copenhagen, 7-15 December 2009. FCCC/AWGLCA/2009/L.7/Add.6, 15 December. http://unfccc.int/resource/docs/2009/awglca8/eng/l07a06.pdf
UNFCCC. 2009b. Advance unedited version. Decision -/CP.15. http://unfccc.int/files/meetings/cop_15/application/pdf/cop15_cph_auv.pdf
UNFCCC. 2009c. *Views on possible improvements to emissions trading and the project-based mechanisms, Submissions from Parties Addendum*. Ad Hoc Working Group on Further Commitments for Annex I Parties under the Kyoto Protocol. Eighth session. Bonn, 1-12 June. FCCC/KP/AWG/2009/MISC.9/Add.1. http://unfccc.int/resource/docs/2009/awg8/eng/misc09a01.pdf
van Noordwijk, M., P.A. Minang. 2009. “If we cannot define it, we cannot save it” *ASB Policy Brief No. 15*. ASB Partnership for the Tropical Forest Margins, Nairobi, Kenya. Available at: www.asb.cgiar.org
Chapter 4. Land use & land use change
Objectives
Show how to:
1. Develop a national land use framework and legend,
2. Create land use maps,
3. Validate land use maps,
4. Estimate land use change,
5. Explain land use change.
Contents
Introduction ........................................................................................................... 4-2
Identifying land uses ............................................................................................... 4-3
Estimating land use change .................................................................................... 4-19
Explaining land use change ..................................................................................... 4-22
Predicting land use change ..................................................................................... 4-29
References and further reading .............................................................................. 4-30
Introduction
1. This chapter describes how to classify land uses, estimate land use change, and explain land use change, thereby providing vital information for opportunity cost analysis. The approach is based on identifying different land use systems common within a country. These land use systems range from forests to agriculture, pasture, and urban areas.
2. A series of steps are presented to generate land use maps and assess land use change. In addition, the chapter explains how to acquire, organize, and classify remote sensing data and how to validate the accuracy of the derived maps. The approach described in this module is largely based on the GOFC-GOLD REDD Sourcebook, which should be consulted for in-depth guidelines on land use and land cover mapping (GOFC-GOLD, 2009). For detailed technical information related to developing land use maps, the chapter directs practitioners to additional sources. Deforestation monitoring and MRV activities should be consistent with other studies employing similar methods, independent of the scale and detection technologies used. For predicting land use change, important to develop scenarios, different modeling approaches are briefly presented.
3. In sum, this chapter provides guidance to produce the following outputs for opportunity cost analysis:
1. Land use framework and accompanying legend,
2. Land use maps of different dates,
3. An error analysis to assess the accuracy of the maps,
4. Land use change matrices,
5. Deforestation drivers and land use transitions
6. Predicting land use change
4. Land use analysis has its own vocabulary. For definitions, please refer to the Glossary in Appendix A.
Spatial analysis and remote sensing words
| Term | Definition |
|-----------------------|-----------------------------------|
| Land cover | Resolution |
| Land use | Spectral |
| Land use system | Spatial |
| Classification system | Ground truth |
| Land use legend | Minimum mapping unit |
| Land use trajectory | Mixed mapping unit |
| Attribute table | Vector GIS |
| | Raster GIS |
Identifying land uses
5. Although land cover and land use are related, they are not the same. Within a country, matching land covers (e.g. vegetation types) identified from satellite images with actual land uses on-the-ground is one of the greatest challenges of land use mapping (Cihlar and Jansen, 2001).
6. Remote sensing experts and specialists with field knowledge of specific geographic areas (e.g. land managers, scientists, and government staff) are needed to identify and classify land uses. The opportunity cost analysis team should ensure that categories are compatible with monitored land cover classes and are consistent with carbon content and economic activities.
7. To enable correct and consistent use of land use information (e.g., carbon, profits) for opportunity cost analysis at a national level, a hierarchal land use framework can be employed (Figure 4.1).
A national land use framework for REDD+
8. An initial step in developing a national land use framework is to identify the current state of land use mapping in the country. Since many countries already have a national land use framework, a literature search and acquisition of existing maps is essential. If the existing frameworks are unsuitable for the opportunity cost project, the project team will need to improve these frameworks in line with the requirements of the project. The discussion below serves as a guide to decide whether to use and adapt an existing framework or develop a new one.
9. The most important consideration for developing a workable national land use classification framework for an opportunity cost analysis is compatibility of resolutions between land use, economic and carbon information. A meaningful classification scheme must account for variation of carbon and profits across the landscape and country. Many factors cause variation, including:
1. Agro-ecology climate and/or topographic zones,
2. Soils, special consideration is needed for:
a) wetland, peat, mangrove, volcanic soils with potentially high C losses,
b) ‘poor soils’ of low profitability yet potential gain in C stocks,
3. Policy, institutional and management boundaries (agriculture and forest zones, tenure systems, etc.),
4. Accessibility characteristics of transport infrastructure (e.g. paved road, dirt road, river, etc.),
5. Preceding uses of land, which can affect soil fertility and carbon content.
Figure 4.1. A hierarchical land use framework in Cameroon humid forest zone.\textsuperscript{39}
Source: Robiglio, 2010.
\textsuperscript{39} Cafi-Cocoa Agroforest with different levels of shade trees coverage. Forest classes are defined on the basis of the level of disturbances/degradation. Classes may be associated to different types of management (Community Forest, Council Forest, Protected Areas) that provide for different intensities of logging.
10. How many land use classes? The selected number of class categories depends on: availability of geographic data and analysis, ability to detect differences in land cover on remote sensed imagery (image resolution), availability of carbon and profitability information of land uses, and the desired rigor of the opportunity cost analysis. Such a variety of factors points to a need for a multidisciplinary team with a clear understanding of opportunity cost analyses in the context of REDD+ programs.
11. Splitting land uses into sub-classes is needed if a class does not accurately represent a land use in terms of carbon stock or net returns. Soil properties or uses may differ within the same land cover. Different levels of net returns within a class may arise on the basis of accessibility and location. Profitability for the same crop may vary, depending on whether it was produced near to or far from the market.
12. On the other hand, aggregating (lumping) classes together may be needed. One reason is technical. The minimum mapping unit (MMU) of imagery may not be small enough to differentiate classes; thus a mixed mapping unit is required. Simplifying the land use framework is another reason. A lower number of classes requires less data management and analysis. In addition, a false sense of precision may arise by creating numerous sub-classes from inadequate resolution of images, carbon or profit information.
13. Note that the level of detail in a land use framework needs not be the same throughout the country. A greater level of detail may be used in areas that are of particular interest, or to take advantage of better available data in some areas. Moreover, the level of detail need not be static. As additional information becomes available, land use categories might be split into sub-categories. Alternatively, previously separate categories might be joined together if the differences are found to be less than anticipated. In this as in many aspects of estimating the opportunity costs of REDD+, it is useful to think of the work as an iterative process rather than a one-time task. In sum, decisions about splitting or aggregating classes will be guided by the level of spatial detail in the mapping process and the availability of ancillary data about biophysical and socio-economic/infrastructural or management data.
Table 4.1 shows a land cover and land use classification with three levels of hierarchy. This mixed classification system was part of an international effort to map deforestation in the tropics (Puig, et al., 2000; Achard, et al., 2002). The first level contains broad classes of land cover such as forest, agriculture and mixed covers. The second level includes land cover types of greater detail. The third level is even more specific, including some land types that are specific to certain sub-national regions. A fourth level (not depicted) only refers to forest, using percent canopy cover as distinguishing criteria. In this example, - differences in canopy cover (land cover) could be used to detect levels of selective logging (land use). Once the framework has been defined, the project team can focus on the logistics of remote-sensing analysis and the making of land cover and land use maps. During later stages of the analysis process, the analysts may need to revise the legend further.
Table 4.1. A legend from a hierarchical land cover classification system
| Level 1 | Level 2 | Level 3 |
|---------|---------|---------|
| **Forest** | > 10% canopy Cover and > 40 % forest cover * | |
| 1 | Forest | |
| 1 | Evergreen & Semi-evergreen Forest | 0 Unknown
1 Evergreen – lowland forest
2 Evergreen – mountain forest
3 Semi-evergreen forest | 4 Heath forest / Caatingas
5 Coniferous 6. Bamboo forest
9 Other |
| 2 | Deciduous Forest | 0 Unknown
1 ‘Dense dry’ forest (Africa)
2 Miombo (Africa) | 3 (Dry-) Mixed deciduous (Asia)
4 Dry Dipterocarp (Asia)
9 Other |
| 3 | Inundated Forest | 0 Unknown
1 Periodically inundated –Varzea
2 Swamp forest (perm. Inundated) | 3 Swamp forest with palms Aguaj.
4 Peat swamp forest
9 Other |
| 4 | Gallery-forest | 0 | |
| 5 | Plantation | 0 Unknown
1 Teak
2 Pine | 3 Eucalyptus
9 Other |
| 6 | Forest Regrowth | 0 | |
| 7 | Mangrove | 0 | |
| 9 | Other | 0 | |
| **Mosaic** | >10% - 40 % forest cover ( and > 10% canopy cover) | |
| 1 | Shifting Cultivation | 0 Undefined
1 ≤ 1/3 cropping
2 > 1/3 cropping | |
| 2 | Cropland & Forest | | |
| 3 | Other Vegetation & Forest | | |
| 9 | Other | | |
| **Non-Forest Natural Vegetation** | ≤ 10% forest cover or < 10% canopy cover | |
| 1 | Wood & shrubland | 0 Unknown
1 Woodland savanna – Cerrado ]
2 Tree savanna
3 Shrub savanna
4 Bamboo (pure stands) | 5 Swamp savanna
6 Humid (evergreen) type (Asia)
7 Dry (savanna) type (Asia)
9 Other |
| 2 | Grassland | 0 Unknown
1 Dry grassland
2 Swamp grassland –varzea
9 Other | |
| 3 | Regrowth of vegetation | | |
| 9 | Other | | |
| **Agriculture** | ≤ 10% forest cover or ≤ 10% canopy cover | |
| 1 | Arable | 0 Unknown, 1 Irrigated, 2 Rain-fed | |
| 2 | Plantations | 0 Unknown
1 Rubber
2 Oil Palm | 3 Coffee, Cacao, Coca
9 Other |
| 3 | Ranching | | |
| 4 | Small holdings | | |
| 9 | Other | | |
| **Non-vegetated** | | |
| 1 | Urban | | |
| 2 | Roads | | |
| 3 | Infrastructure | 1 Mining, 2 Hydro-electric, 9 other | |
| 4 | Bare soil | | |
| 9 | Other | | |
| **Water** | | |
| 1 | River | | |
| 2 | Lake | 1 Natural, 2 Artificial | |
| **Sea** | | |
| **Not visible** | | |
| 1 | Clouds | | |
| 2 | Shadow | | |
| **No data** | | |
Source: Puig et al., 2000
14. A land use legend is the map key that expresses each class as a distinct color or pattern on the map. In this manual, classes and sub-classes in a land cover legend are matched with land uses. Thus, at the end of the classification process, the hierarchical land use framework spans from general global land cover classes to local land use classes. The land use legend is the basis for identifying land covers and mapping land uses.
15. The land use legend must match a land cover legend that follows best practices for mapping, and meets additional criteria for compatibility with a REDD initiative (Cihlar and Jansen, 2001; GOFC-GOLD, 2005; Herold et al., 2006; IPCC, 2006; Herold and Johns, 2007). One of the best resources for developing the legend is the Land Cover Classification System\textsuperscript{40} (LCCS; Di Gregorio, 2005). The LCCS includes a thorough description of classification concepts and guidelines for matching land cover types to global standards.
Steps to identify land uses
- \textit{Consult the literature}. Cihlar and Jansen (2001) provide an overview on how to match land covers with land uses. Case studies from Lebanon and Kenya are practical examples (Jansen and Di Gregorio, 2003; Jansen and Di Gregorio, 2004)
- \textit{Check map availability}: Reviewing previous land use change analysis is an important early task. Available land cover and land use maps may only need small modifications for use in an opportunity cost analysis. For example, existing land cover and land use maps may be suitable for developing a land use legend for lower rigor opportunity cost analyses (Tiers 1, 2).
- \textit{Develop decision rules to convert land cover classes to land uses}. Rules will most often be based on local expert knowledge. For example, small patches of forest and cleared areas (land cover) shown in remote sensing data indicate shifting cultivation (land use). These decision rules should be put into a table for reference.
- \textit{Collect land use information during fieldwork activities}. One assumption of the analysis is that all land cover classes can be matched to all land uses. The fieldwork should confirm and validate the rules matching land cover with land use.
- \textit{Confirm land cover and land use data}. Monitoring, reporting and verification (MRV) activities are an opportunity to confirm the match between land cover and land use.
- \textit{Consider image resolution when developing land use legend}: Different land uses may look the same on a satellite image (e.g. intensive or extensive agriculture or the degree of forest degradation). Mixed mapping units are used if the elements composing a mapping unit are too small to be delineated independently.
\textsuperscript{40} The LCCS manual and software can be acquired from the Global Land Cover Network website (http://www.glcn.org/).
Box 4.1. Data management and analysis
Analysis of land use change requires careful management of data. The data management principles of an opportunity cost analysis are similar to those for REDD activities, such as monitoring, reporting and verification (MRV) of carbon stock data. Developing a system for data management and analysis described above requires a substantial investment. Costs will depend on the size of the country, existing expertise and resources, and other factors. For example, to build a national-level MRV system – something outside the normal scope of an opportunity cost analysis – Herold and Johns (2007) estimated a cost between several hundred thousand and US$2 million. Given these high costs, a national team conducting opportunity cost analysis has incentives to collaborate with and build on existing work and expertise. If your country has an MRV system, most or all of the information needed for the analysis may be available.
Countries that lack MRV systems will need to identify experts who have the resources to be able to carry out the land use change analysis and develop a robust information system for analyzing opportunity costs. If you were to build an information system for the land use change assessment of an opportunity cost analysis from scratch, five elements are needed: human resources, data and documentation, analytical methods, hardware and software.
1. **Human resources**: Expertise will be needed in remote sensing and geographic information systems (GIS) science and technology. Remote sensing experts should have prior experience producing land use and land cover maps. Experts should know how to pre-process data for subsequent classification and analysis, including knowledge of coordinate systems and data registration. Specialists should ideally have experience with visual interpretation of imagery, digital image processing, supervised and unsupervised classification, and image segmentation. Experts should know how to conduct field work with global positioning systems and digital photography. Personnel typically have a Masters degree or equivalent experience in fields that use remote sensing and GIS methods.
2. **Data and documentation**: An inventory of data needed should be made to determine the feasibility of acquiring imagery, and whether additional expenditures will be needed. If a national MRV activity is not yet established or no remote sensing data or classified land cover information is available, the costs (time and money) of acquiring data and their analysis must be considered. Documenting data, methods, and results of any opportunity cost analysis is a high priority. Context and description of data (or metadata) are needed, especially since the analysis requires the participation and contribution of many types of scientific expertise and participants may change over time. Documentation enables analysis to be repeatable and meet peer-review quality standards. The IPCC (2006) or other international standards can serve as guidelines. For remote sensing and spatial data, a national effort should produce metadata that meets the standards of the International Standards Organization (ISO) or the U.S. Federal Geographic Data Committee (FGDC). An opportunity cost analysis, or REDD effort should align itself with any national efforts to develop national spatial data infrastructure (NSDI).
More information on geospatial metadata can be found through the Global Spatial Data Infrastructure (GSDI).
3. **Analytical methods**: The complexity and targeted level of analysis will determine the analytical methods employed. Any country can draw on an extensive GIS and remote sensing literature.
4. **Hardware**: Required capacity of the computer hardware will also depend on the rigor of the analysis. Personal computers with large hard drives and ample memory (i.e. RAM) are typically sufficient.
5. **Software** options for land use analysis may be freely-available open source or proprietary, including: Google Earth, GRASS ([http://grass.itc.it/](http://grass.itc.it/)), SPRING (Camara, et al. 1996), ILWIS ([http://www.ilwis.org/](http://www.ilwis.org/)), low-cost IDRISI (Eastman, 2009), ArcGIS from Environmental Systems Research Institute (ESRI) and other software packages. The capacity of the software to identify appropriate characteristics must be considered. For example, do the image interpretation algorithms work well in tropical contexts?
**Creating land use maps**
16. This section is a general overview of available remote sensing (RS) techniques and associated challenges of developing land use maps for opportunity cost analysis. An extensive handling of the tools for estimating, accounting and reporting on land cover and carbon stocks is found in the IPCC Good Practice Guidance and the GOFC-GOLD REDD Sourcebook (IPCC, 2006; GOFC-GOLD, 2009).
**Remote sensing data**
17. Remotely sensed information comes from different sources, each with unique resolution, frequency (i.e., orbit cycle) and cost (Table 4.2). Two websites are useful for acquiring remote sensing data: the United States Geological Survey's GLOVIS site ([http://glovis.usgs.gov/](http://glovis.usgs.gov/)) and the Global Land Cover Facility at the University of Maryland ([http://glcf.umiacs.umd.edu/index.shtml](http://glcf.umiacs.umd.edu/index.shtml)). Remote sensing specialists are advised to consult the GOFC-GOLD Handbook (2009) for a complete discussion of the considerations related to selecting remote sensing imagery.
Table 4.2. Characteristics of satellite images
| Satellite | Sensor | Resolution (Spatial) | Orbit cycle | Image cost |
|-------------|------------|----------------------|-------------|------------|
| TERRA | MODIS | 250 m | 2 days | Low |
| | | 500 m | | |
| | | 1000m | | |
| LANDSAT 7 | ETM+ | 15 m (185 km) | 16 days | Medium |
| | | 30 m (185 km) | | |
| DMC II | | 32 m (80x80 km) | 1 day | Medium |
| SPOT 1-3 | XS | 20 m (60x60 km) | 26 days | Medium |
| | PAN | 10 m (60x60 km) | | |
| SPOT 4 | XS | 20 m (60x60 km) | 26 days | Medium |
| | PAN | 10 m (60x60 km) | | |
| | VGT | 1 (2000 km) | | |
| SPOT 5 | HRS | 10 m (60x60 km) | 26 days | Medium |
| | HRG | 5 m (60x60 km) | | |
| TERRA | ASTER | 15 m | | Medium |
| | | 30 m | | |
| IRS-C | Pan | 5.8 m (70 km) | 24 days | Medium |
| | LISS-III | 23 m (142 km) | | |
| IKONOS | PAN | 1 m (min10 x 10 km) | 3 days | High |
| | MS | 4 m (min10 x 10 km) | | |
| QUICKBIRD | | 2.5 m (22x22 km) | 3 days | High |
| | | 61 cm (22x22 km) | | |
| ALOS | PRISM | 2.5 m (70 km) | 46 days | High |
| | AVNIR2 | 10 m (70 km) | | |
| | PALSAR | 10 m (70km) | | |
Source: Adapted from GOFC-GOLD, 2010.
18. One satellite data option is high resolution imagery such as IKONOS and Quickbird. Such remote sensing data, however, becomes more expensive with smaller minimum mapping units (MMU) and require substantial computing power to be able to manage large quantities of small pixels. Moreover, geographic coverage of high resolution imagery is limited, especially in many areas of the tropics.
19. In contrast, low resolution imagery (large MMUs) are widely available at low cost. For example, MODIS images have 250m spatial resolution and can be freely downloaded from the Internet. The poor resolution, however, makes it difficult to distinguish land classes. This
problem is compounded in the humid tropics where landscapes often contain small agricultural plots (Figure 4.2).
**Figure 4.2. A spatially heterogeneous farm landscape in Cameroon.**
*Source: Robiglio, 2009.*
20. Medium resolution imagery such as Landsat and Aster represent an attractive compromise of resolution and cost (Figure 4.3). An important advantage of Landsat is the availability of older images to establish a baseline for determining medium-term deforestation rates. However, Landsat 7 has a sensor error that seriously limits image use since 2003. Therefore, the analyst should consider alternative sensors to overcome gaps in recent images.
21. The remote sensing data options described above are standard alternatives. Nevertheless, land use and carbon stock assessments may be able to take advantage of new methods and approaches to monitoring and measuring deforestation, forest degradation and land use change (see discussion on LIDAR in Box 4.4 below). As they become available and accepted, analysts can consider these new approaches.
**Box 4.2. Estimating carbon stocks from biomass maps versus land use maps**
Remote sensed imagery can be useful to estimate carbon in biomass and understand the geographic distribution of carbon across a landscape (Baccini, 2004; Foody, et al. 2003, Goetz et al. 2009). For example, Saatchi et al. (2007) estimated total carbon of 86 Pg C from their remote sensing assessment of aboveground live biomass in the Amazon. Biomass levels varied with the length of the dry season and across the landscape.
Biomass assessments have less relevance for calculating the opportunity cost of avoided deforestation. Opportunity cost calculations require information on land uses with associated C content (see Chapter 5) and profitability measures. Only from land use, can the net present values of economic activities be estimated.
**Image analysis**
22. Remote-sensing requires preprocessing of the satellite imagery. Such work often includes image geo-referencing and radiometric correction to account for atmospheric distortions. Nevertheless, many remote-sensing providers deliver satellite imagery that has
already been pre-processed. Standard methods to conduct the preprocessing are available in the remote sensing literature (for example, see Jensen, 1995; Lillesand and Kiefer, 2000).
23. In general, three methods are available to interpret remote-sensing imagery: (1) visual interpretation, (2) pixel-based digital image processing, and (3) image segmentation. To date, there is no consensus in the REDD literature on the best method. Selection of the interpretation method may depend on national human resource capacities, on the relative costs of the different methods, and on the characteristics and size of the area.
1. **Visual interpretation.** Analysts draw polygons around visible differences in the satellite images on the computer screen (Puig et al., 2002). The polygons are associated with a class from the land cover legend. An advantage of this method is that recent imagery can be updated using the base map from an initial date. A disadvantage is that the method is more subjective than other methods, depending on analyst judgment. In addition, for large countries, visual interpretation may be impractical and time-consuming.
2. **Pixel-level digital image processing.** Computer algorithms are used to conduct unsupervised and supervised classifications. Most digital image processing in the past has been conducted at the pixel level (Jensen, 1995). Each pixel is considered a land unit and is clustered into groups of similar pixels. The clustering may be based only on the digital number of the pixel, a method referred to as unsupervised classification. With supervised classification, however, an analyst assigns pixels representing a land cover to a class in the legend. This second method depends on the analyst knowledge of the study area. Digital image processing is more objective compared to visual interpretation, as it depends on computer algorithms to assign pixels to land classes.
3. **Image segmentation.** Recent remote-sensing software includes image segmentation methods to classify land cover and land use (Camara, 1996; Eastman, 2009). An algorithm clusters groups of pixels together based on their spectral responses and a set of rules established by the analyst. An advantage of this approach is relatively low cost over large areas. Nevertheless, careful linking of land cover with land use ground truth information is needed to avoid large scale errors.
24. After an image interpretation method is selected, an analysis can be conducted and digital maps produced. The next step will be validation of the results. Analysts will need to review and improve image interpretation processes and results, depending on the outcome of the verification and validation analysis. In general for tropical land uses, a high level of expert judgment and ground knowledge are needed.
Box 4.3. The challenge of identifying forest degradation
Forest degradation is a reduction of tree density, measured by canopy cover or stocking, within the forest (Schoene, et al., 2007). Forests are degraded by human or natural causes. The magnitude/intensity of degradation monitored depends on the definition of forest. For example, if a country identifies forest with a minimum surface of 0.5 ha then a loss of forest smaller than 0.5 would be reported as degradation. Losses of areas higher than 0.5 ha would be considered deforestation. A similar logic can be applied to other forest definition thresholds for canopy cover and height. For a discussion of the importance of definitions, see Sasaki and Putz (2009), van Noordwijk and Minang (2009) and Guariguata et al. (2009).
Degradation can be difficult to identify on satellite images. Forest inventory plots can produce accurate biomass and carbon estimates yet results are site specific (see Harris, et al. 2010) In the land use legend presented earlier in this chapter, forest degradation is accounted for by identifying the different levels of canopy cover. Associated spatial data may be used to identify areas where degradation may be occurring (e.g. in logging concessions). Forest density and tree coverage can be estimated using expert judgment, LIDAR (Light Detection and Ranging) or multispectral 3-dimensional aerial digital imaging.
Identification of forest degradation is a hot topic in remote-sensing research. Asner (2009) has developed a method to combine traditional satellite mapping approaches with an active airborne, laser technology approach called. LIDAR produces information on the height of trees, crown diameter and the structure of the forest, making it especially useful for determining whether a forest has been selectively logged over. More recently, LIDAR combined with MODIS imagery was used to map tree canopy height over the entire world (Lefsky, 2010).
M3DADI uses (1) GPS-based techniques to identify tree crown mosaics, and (2) off-the-shelf camera equipment mounted on Cessna aircraft to generate accurate raster-based photomaps. From the aerial videography, a 3D reconstruction is developed that identifies terrain features and vegetation types and measures the height and mass of individual trees. The measurements are then calibrated with the carbon inventory data and regression equations to estimate carbon remotely (Stanley, et al. 2006).
The time costs for the field sampling approach were about 2.5 to 3.5 times longer than for the M3DADI approach to achieve the same precision level. Although M3DADI has high fixed costs, the costs for additional plots are low (Brown and Pearson, 2006). Another advantage of remote-sensing approaches is that the data provide a permanent record of what was found in a given location at any given time. The images can be re-visited and verified, or new assessment techniques applied to historical data to improve historical estimates (Stanley, et al. 2006). These new methods and others promise to improve our capacity to cost-effectively identify forest degradation.
Checking accuracy
25. Are the land use estimates accurate? Validation of land cover and land use classification is a standard practice that opportunity cost analysis must include. Accuracy assessment and
validation of land uses are important to assure the credibility of land use change estimates. This section discusses (1) sources of error and uncertainty, and (2) the validation process.
**Sources of error and uncertainty**
26. An analysis should identify the sources of error and their magnitude. With this information, the analysis team can revise the work in an effort to reduce these problems.
27. Using multiple images – across the study area or for different dates – requires a separate classification process for each individual scene. These differences in the images and in the processing may lead to inconsistencies in quality of the classification for the study area. For example, a challenge could arise related to the timing of imagery. Interpretations may reflect errors due to varying vegetation vigor if different nearby image scenes were captured at different times of the year. If one scene was captured in the dry season and another in the wet season, the classification may reflect seasonal differences in vegetation, and not the longer-term land cover and land use.
28. Another typical challenge to land use mapping in the tropics is cloud cover. The analyst will need to acquire additional images for areas covered by clouds. Otherwise, areas with cloud cover must be left out of the analysis. Future technological development for the use of Radar and LIDAR images could help overcome cloud problems.
29. Cloud cover is a persistent problem, in particular in the coastal countries of Central Africa. The improved accessibility to SPOT images (Mercier, 2010) and the establishment of an Earth Observation Receiving Station for the Central African region in Gabon (Fotsing, et al. 2010) are expected to facilitate RS mapping and consistent monitoring of forest cover change in the area.
30. Acquiring imagery with appropriate spatial resolution is also a potential challenge. Difficulties arise when interpreting smallholder agriculture and degraded forests. A key task is to ensure that the resolution of the remote sensing imagery can capture land cover and related land uses that are relevant for the analysis. Expert use of the definition and composition of mixed mapping units for land use mosaics can help overcome problems of inappropriate spatial resolution.
**Validation process**
31. Validation methods can be found in textbooks and the remote sensing literature and should be consulted in depth (Jensen, 1995; Lillesand and Keifer, 2000; Congalton, 1991; Foody, 2001; Congalton and Green, 2009). This section briefly describes the general process to conduct a validation exercise for land cover and land use maps.
32. Validation requires information on the “true condition” of land use throughout the study area. Information can come from two sources: 1) ground truthing, or 2) reference data.
1. *Ground-truthing* is a remote sensing term for field verification. To acquire such information, a field survey is conducted to collect ground characteristics at sample points using a comprehensive sampling scheme. One way to develop sample points is by using random point generators within a GIS to assign locations to be verified. The points should cover as much as possible the variation in the RS imagery. Nevertheless, no well-established rule exists on how many data points are needed for the validation. One rule of thumb, however, is that 30 to 50 points are needed for each land cover / land use class.
The key technologies and tools needed for the field validation are spreadsheets, databases, global positioning systems (GPS), and digital cameras. An available field verification protocol document includes a sample survey form for recording information.\(^{41}\) The field team records the data in a standardized form. With *ground truthing*, the ability of survey team to access all parts of a study area may be limited. Many areas lack roads or present difficult terrain, making a representative sample of land uses and covers difficult to acquire. Therefore, sampling schemes need to be somewhat opportunistic, taking most points in places where access is low-cost and practical. (See Box 4.5 for other cost-savings approaches.)
2. Reference data are imagery or maps with a high degree of validity. The most common reference data are very high resolution imagery (VHRI), which may have spatial resolutions of 1 m, a level of detail that enables validation against land cover and land use classification. Common sources of VHRI include Quickbird and IKONOS. For some areas, virtual globes such as Google Earth and Microsoft Virtual Earth often include VHRI, displayed in their optical bands. Limitations to their use include an inability of the optical range to discern differences in some land uses, and a suitability of image date for comparisons.
**Box 4.4. Optimizing activities in the field**
Fieldwork in the study area can accomplish multiple objectives at the same time. For example, while researchers are taking plot level measurements of biomass, digital photographs and global positioning system (GPS) points can be collected with notes on the land conditions.
Before image interpretation, field work is needed to identify homogenous land units for classification. During field work, the analysis team can collect on-the-ground information that can be used for training and validation. To avoid any confusion, two different data sets have to be created – one with training points and the other with points for validation.
Ground-truth information should be managed in a data management system. For example, the figure below shows a Google Earth interface to photographs, GPS points and field notes
\(^{41}\) The CIFOR-ICRAF-Biodiversity Platform has produced a document titled "Ground-truthing Protocol," available from http://gisweb.ciat.cgiar.org/GoogleDocs/FPP_Mapper/groundtruth_protocol.pdf.
stored in an online spreadsheet. The study area was visited in a *ground truthing* campaign in the central Peruvian Amazon. To match photographs with locations, timestamps of the digital photos were matched with timestamps of the GPS point.
33. After the “true” land cover or land use has been determined for sample points, comparison with the classified map can begin. The recorded validation data is digitized into a map with its accompanying attribute table. Then the validation sample map is overlaid on top of the land use map. This point-in-polygon overlay produces a table where one column shows the land use validation information from the field survey or the VHRI. Another column shows the land use from the classification. These two columns of data are then used to create an error matrix (Table 4.3). This example compares a classified map to VHRI in Google Earth. The value in each cell is the number of validation points for each combination of land use designated according to the classified map and to the VHRI.
Table 4.3. An error matrix
| Land Cover Classes | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | Google | Users |
|--------------------|-----|-----|-----|-----|-----|-----|-----|-----|-----|--------|-------|
| 1 | 40 | | | | | | | | | 43 | 93.0 |
| 2 | | 31 | | | | | | | | 33 | 93.9 |
| 3 | | | 29 | | 1 | | 3 | | | 33 | 87.9 |
| 4 | | | | 28 | | 4 | 1 | 1 | | 34 | 82.4 |
| 5 | | | | | 24 | | 2 | | | 26 | 92.3 |
| 6 | 1 | 4 | 1 | 4 | 1 | 36 | 3 | 3 | 3 | 56 | 64.3 |
| 7 | | | | | | | 30 | | | 41 | 73.2 |
| 8 | 1 | | | | | | 4 | 26 | | 31 | 83.9 |
| 9 | | 1 | 2 | | | | 3 | | 21 | 27 | 77.8 |
| Landsat | 42 | 35 | 31 | 37 | 26 | 50 | 41 | 37 | 25 | 324 | |
| Producers | 95.2| 88.6| 93.5| 75.7| 92.3| 72.0| 73.2| 70.3| 84.0| | |
LCC Notes: 1-Forest, 95% canopy; 2-Forest, 80% canopy; 3-Forest, 65% canopy; 4-Forest, 50% canopy; 5-oil palm; 6-shifting cultivation; 7-short rotation fallow; 8-large cattle ranches; 9- without vegetation.
Source: White and Hyman, 2009.
34. The error matrix shows the overall number of correctly-classified points, as well as those that were misclassified. Using the results of the point-in-polygon overlay, the analyst fills the error matrix table. The vertical axis of the table represents the map classification based on Landsat images and the horizontal axis represents the VHRI imagery. The “Users” accuracy (far right column in the table) is the number of correctly assigned pixels divided by the total number of assigned pixels in that class, indicating errors of commission when pixels are committed to an incorrect class. The “Producers” accuracy (last row of the table) is the number of correct pixels for a class divided by the actual number of reference pixels for that class, indicating errors of omission when pixels are omitted from their correct class.
35. For example, the upper left-hand cell shows that 40 points were interpreted (from classified map) and verified (from a VHRI in Google earth) as 95% forest canopy. All 40 points were correctly classified, and therefore appear in diagonal set of numbers (shaded cells). Misclassified points are outside the diagonal set of numbers. For example, row 1 column 6 indicates that three points of the map were classified as 95% forest canopy, but according to VHRI were areas of shifting cultivation.
36. The advantage of the error matrix is that it allows the analysts to assess which land use and land cover change combinations have the highest errors. The results of the error matrix are used to review and improve the map. Analysts may conduct several sequences of map improvement and subsequent error assessment, until an acceptable level of an error is attained.
37. Error analysis and validation can be a difficult task. The above description is intended to give an overview of the process of map validation. Documentation of the validation effort must be complete in order for independent experts to assess the quality of the maps.
**Estimating land use change**
38. This section describes how to calculate land use change. The procedure contains four basic steps.
1. **Prepare**: Ensure that the maps for each individual date use the same classification system and the images are consistent in terms of area covered, season and sensor (spatial and spectral resolution).
2. **Overlay**: Use GIS or image processing software to overlay land use maps from two different dates. The overlay process creates a new table – called an *attribute table* – where each polygon or pixel in the map contains the recorded land use on both the first and second dates.
3. **Simplify**: The attribute table should be reduced to the set of unique combinations of land use change.\(^{42}\) Each individual polygon contains the land use code for the dates in the land use change analysis. The different land use change combinations are listed for each polygon. In order to reduce the attribute table to unique combinations of land use change, each distinct land use transition must be identified with its areas summed.\(^{43}\)
4. **Create the land use change matrix**: Information within the attribute table of land use change is an input to develop a land cover change matrix. The area values are summarized for each combination of land use change.
39. More information on methods and procedures can often be found in textbooks on natural resources assessments or software manuals (e.g. Lowell and Jaton, 2000; Eastman, 2009). In addition, some image processing and GIS software programs include tools to conduct LU change analysis, such as the low-cost and popular IDRISI (Eastman, 2009).
40. Table 4.4 is an example of a country level land cover change matrix. The vertical column indicates the year of the initial land cover image (2003). The duration of the period of change extends to 2006, as shown on the horizontal row. The diagonal of the table indicates unchanged land area units between 2003 and 2006 (in blue font).
41. Notice how these numbers are usually larger than most other numbers in the table. In most study areas, especially if the period of change is relatively short, the overall area of change is likely to be small. The figure in the first row and the second column indicates that
\(^{42}\) Using a raster GIS, the system automatically reduces the attribute table to unique combinations. Vector systems will need some kind of *dissolve* operation
\(^{43}\) This procedure is often called DISSOLVE in database and GIS software packages. In the Peru analysis, 60 unique combinations of land use change were identified.
1.22 million ha changed from forest land in 2003 to cropland in 2006. Each cell in the land cover change matrix is read the same way. The total value at the end of the first row is the area in Forest in 2003 (93.60). The total value at the bottom of the first column is the total area in Forest in 2006 (98.46). Therefore the study area gained almost 5 million ha of forest between the two dates.
Table 4.4. A hypothetical land use change matrix.
| Change from Land cover 2003 | FL | CL | GL | WL | SL | OL | ND | Total |
|-----------------------------|------|------|------|------|------|------|------|-------|
| FL | 89.11| 1.22 | 1.64 | 0.47 | 0.02 | 0.45 | 0.69 | 93.6 |
| CL | 0.87 | 45.28| 1.09 | 0.30 | 0.35 | 0.39 | 0.18 | 48.45 |
| GL | 1.79 | 1.27 | 14.73| 0.49 | 0.03 | 0.21 | 0.15 | 18.66 |
| WL | 1.22 | 0.65 | 0.58 | 7.78 | 0.03 | 0.30 | 0.01 | 10.57 |
| SL | 0.03 | 0.17 | 0.04 | 0.01 | 2.61 | 0.02 | 0.01 | 2.91 |
| OL | 0.20 | 0.28 | 0.32 | 0.11 | 0.02 | 2.09 | 0.01 | 3.02 |
| ND | 5.25 | 1.50 | 1.03 | 0.20 | 0.04 | 0.17 | 2.51 | 10.7 |
| **Total** | **98.46** | **50.37** | **19.42** | **9.36** | **3.09** | **3.63** | **3.57** | **187.91** |
Land covers: FL= forest land, GL= grassland, WL= wetland, SL= settlement, OL= other land, ND= no data.
Source: Authors
42. The land use change matrix is a key input for the opportunity cost analysis spreadsheet. The matrix is copied directly into the spreadsheet where land use change information can be used with economic data to calculate opportunity costs.
43. The measurement of land use change, as described above, provides important data for opportunity cost analysis and for REDD+. In addition to providing data needed for the opportunity cost analysis, the land use change matrix can be used to assess the driving forces of deforestation and land use trajectories over time. The final section of this chapter below describes how to use land use change data in an effort to explain land use change.
Box 4.5. Land use maps for Jambi Province, Indonesia
Below is an example of land use maps derived from remote sensing in Indonesia (van Noordwijk et al., 2007). The study area has been zoned according to accessibility and the presence of peat soils, factors important in assessing the opportunity cost of avoided deforestation.
Land use maps for 1990 and 2005 in Jambi province, Indonesia
Source: van Noordwijk et al., 2007.
Explaining land use change
44. Land uses can change rapidly or slowly, sometimes for obvious reasons and sometimes because of hidden forces. Within a REDD+ context, understanding and explaining land use change is essential to both identifying appropriate emission level reductions and effective policies to maintain and increase carbon stocks.
45. Here we discuss three related topics, the forest transitions, drivers of deforestation and land use trajectories. Inquiry into forest transitions helps to identify the conditions of national forests: ranging from natural/pristine to logged and degraded. Forest condition has implications on carbon content, future profits and opportunity cost estimates. Analysis of the drivers of deforestation attempts to answer the question of why deforestation occurs. The topic of land use trajectories is based on analysis of past land use change. Understanding of forest condition, drivers of change and types of change are essential to identifying plausible future land use trajectories, from which REDD+ opportunity costs are estimated.
Forest transitions
46. The world’s forests have experienced different levels of use. Given the condition of forests, specific components of REDD+ policy (with respect to deforestation, degradation, afforestation/reforestation) can be more relevant in some countries than others. To compare the status forests can be a transition curve can be used (Figure 4.4) that reflects the dynamics of agriculture, forests and other land uses over time (Angelsen, 2007). Consequently, the location of a country (or sub-national region) on the forest transition curve can affect the priorities for participating in REDD+ programs and associated opportunity costs. The forest transition framework uses four basic categories:
1) Countries with low deforestation and high forest cover such as the Congo Basin and Guyana. In these countries, forests are relatively undisturbed, however deforestation and degradation may increase in the future. Degradation is important since these countries are less likely to benefit from ‘avoiding deforestation’.
2) Countries with high deforestation such as (areas of) Brazil, Indonesia and Ghana. These countries have strong incentives to engage in deforestation accounting. Nevertheless, they are less likely to have a significant interest in accounting for degradation unless little additional accounting effort is required.\(^{44}\)
\(^{44}\) The exclusion of forest degradation from national REDD+ programs, especially where selective logging is common, could lead to considerable leakage.
3) Countries with **low deforestation and stable forest cover** are characterized by forest mosaics and stabilized forests. Either because the forest has already been largely cleared or because of effective forest protection policies, deforestation rates have leveled off. India and parts of Central America may pertain to this category. These countries may be interested in reducing degradation, probably in combination with forest conservation, afforestation and reforestation, and other schemes aimed at enhancing forest carbon stocks.
4) Countries with **increasing forest cover** such as China and Vietnam. These countries have interest in degradation accounting and enhancing their carbon stocks. Although national forest area may be increasing through plantations, existing forests may be simultaneously experiencing degradation, which could be reverted through protection or enrichment plantings.
**Driving forces of deforestation**
47. Knowledge of the broader factors driving deforestation helps analysts understand the potentially complex causes of land use change, estimate both business-as-usual and reference emission levels, and identify appropriate policies required for achieving REDD+.
48. Causes of deforestation can be either observable or hidden (Meyer and Turner, 1992; Ojima, et al., 1994). A global meta-analysis of 152 sub-national case studies categorized deforestation across the tropics into three categories of observable causes: (1) agricultural expansion, (2) wood extraction, and (3) infrastructure extension (Geist and Lambin, 2001, Table 4.5). These causes are in turn influenced by underlying driving forces that are more difficult to assess. Such hidden driving forces typically act in conjunction with each other – at different temporal and spatial scales.
Table 4.5. A categorization of observable and hidden causes of deforestation
| Observable causes | |
|-------------------|-----------------|
| **Agricultural expansion** | Staple food expansion (smallholder) |
| | Commercial agriculture (large-scale and smallholder) |
| **Wood extraction** | Timber extraction |
| | Private company logging |
| | Undeclared logging |
| | Fuelwood/charcoal |
| | Domestic uses rural & urban |
| | Industrial uses |
| **Infrastructure extension** | Roads (public, logging) |
| | Hydropower |
| | Private enterprise infrastructure |
| | Mining |
| | Human settlements |
| Hidden causes | |
|---------------|-----------------|
| **Economic** | Demand growth in urban centers |
| | Increased accessibility to urban markets |
| | Changes in consumer diets (e.g. meat) |
| | Market growth |
| | Poverty |
| | Price shocks |
| | Missing or underperforming credit and input markets |
| **Policy and institutional factors** | Export taxation, price interventions (e.g., subsidies) |
| | Industrial policy |
| | Formal policies |
| | Agricultural research and extension |
| | Migration policy |
| | Land reforms |
| | Open access to forest lands (Cote d’Ivoire, Ghana, Cameroon) |
| **Agricultural technology** | Labor saving innovations |
| | Little or no generation of land saving innovations |
| | Technological stagnation leading to extensification |
| **Demographic** | Population growth |
| | Migration |
| | Spatial population distribution |
| **Social triggers** | Health & economic crisis conditions (e.g., epidemics, economic collapse) |
| | Government policy failures (e.g., abrupt shifts in macro-policies) |
Source: Geist and Lambin, 2001.
49. In Peru, for example, the national REDD+ team first reviewed the global literature on the drivers of deforestation (Velarde, et al., 2010). Next, existing national deforestation studies were reviewed. Based on these resources, an analysis framework was created with the direct and indirect drivers of deforestation in the Peruvian Amazon (Figure 4.5). While this information is not directly needed for opportunity cost calculations, the analysis enabled the national team to develop future scenarios of land use and estimate reference emission levels (RELS). This information can help to prioritize specific land uses for opportunity cost analysis.
Figure 4.5. Direct and underlying causes of deforestation in the Peruvian Amazon
Source: Adapted from White, et al. (2005); Geist & Lambin (2002). Reducing Emissions from All Land Uses project (REALU; Velarde, et al., 2010).
Identifying land use trajectories
50. The term *land use change* can have different meanings, especially within a REDD+ context. Land use can imply a change from forest to agriculture, from one agricultural crop to another, or a series of land use changes. Therefore, clarification of what is meant by land use change is essential to REDD+ policy discussions and the estimation of opportunity costs.
51. Land use change is rarely a quick, one-time independent event, such as: natural forest to agricultural production. Especially in forest frontiers, lands typically undergo a series of inter-related changes over many years. An often-observed sequence begins when loggers enter a forest to selectively cut the highest value timber trees. Later, logging companies selectively cut other lower-value species. Next, pioneer settlers convert the remaining forest with slash-and-burn techniques into agricultural land parcels. After a few years of production, the parcel is left fallow for several years. Such swidden agricultural (crop-fallow) practices may continue, or the parcels may be converted to pastures for cattle or to intensive agriculture.
52. Analysis of land use histories within forest frontiers provides important indications of how land use would likely change without a REDD+ program. These future land use change scenarios are termed *land use trajectories*. Each of the land uses that comprise the changes have distinct carbon stocks and profit levels, and thus have an effect on REDD+ opportunity cost estimates.
53. The approach presented here integrates the whole sequence of changes, which takes into account land uses *during* and *after* forest conversion (e.g., from the initial forest to the end stage). This comprehensive approach of land use change enables countries to understand the current situation and estimate likely land uses in the future.
54. Identification of land use change is best achieved through collaborative discussions amongst local and external specialists. This dialogue can be advanced while identifying predominant land uses and the level of precision for the opportunity cost analysis (Tiers 1,2,3).
55. To guide a land use analysis of national level, five general types of land use change are identified. These changes are based on product (forest versus agricultural/ranching) and frequency of change within the analysis horizon: cyclical, direct or one-time and transitional. The five types are forest harvests, forest conversions, agricultural cycles, agricultural transitions and direct changes, and are depicted in Figure 4.6. Context of the analysis is provided by the forest and non-forest land uses before the analysis horizon.
Forest harvests
56. Some human activities within forests can generate profits with little or no effect upon trees. Harvesting activities, such as hunting and some non-timber forest product collection (NTFP), can occur consistently throughout a time horizon and not affect a forest’s carbon density levels. Other activities, such as logging or intensive fuelwood collection can significantly impact carbon. These activities change the forest from its natural state.
57. Even relatively invasive timber harvesting practices which have a great impacts upon a forest may not cause it to lose its land use categorization of forest. Recall that the broad
IPCC definition of forest enables somewhat substantial changes to occur (i.e. a reduction in tree coverage or degradation).
58. Each of these forest harvest activities generates different products and profit, with different carbon impacts upon forests. Therefore, carbon and profitability estimates from forest land uses should consider a potentially broad array of different forest management and harvest practices, some of which occur a few times in a given period (e.g., timber harvests) and others that occur more frequently, perhaps annually (e.g., NTFP collection).
**Forest conversion**
59. Conversion from forest to other uses is a well-known type of land use change. This one-time change, however, can produce distinct financial results depending on the context. Trees can be a financial burden or a benefit during the conversion process. If sold for timber or charcoal, trees can generate substantial profits. In contrast, if tree products cannot be sold, then the cost of their removal can reduce profits.
60. Forests are not all the same. Many forests, especially in established frontier areas, have been partially harvested, with high-value timber already having been logged. REDD+ opportunity cost analysis requires recognizing the often-spatially determined factors of tree use (and profits). This wide range of potential financial impacts can greatly affect estimates of REDD+ opportunity costs. More on this topic in Chapter 6.
*The next three land use changes primarily refer to agricultural and ranching activities.*
**Cyclical change**
61. Cyclical land use change is a repetitive series of land uses, often called a land use system. An example of a cyclical change is an agricultural crop and fallow rotation. This cycle of land use typically repeats itself throughout a time horizon. Although specific crops within the cycles may differ, general patterns can be discerned that can simplify a profitability analysis.
**Transitional change**
62. Land use transitions are changes that do not repeat over time. A common transition is slash-and-burn agriculture to perennial land uses, such as tree crop or cattle systems. The new enterprise activity typically replaces the fallow phase, rather than continuing a crop-fallow cycle. Substantial investments of capital and labor are often needed before the new land uses generate positive earnings.
**Direct change**
63. In some forest margin areas, lands are directly converted from forest to agricultural or tree production. Often led by large multinational firms, soy, agroforestry systems or oil palm plantations are examples of direct changes.
The following land use changes refer to the “+” in REDD+.
**Reforestation**
64. Reforestation refers to the replanting of a cleared or partially cleared forest (i.e., degraded forest). Numerous types of livelihood activities can occur with established forests.
**Afforestation**
65. Growing new forests is termed afforestation. Such an activity typically occurs where forests did not exist or were present many years ago.
**Predicting land use change**
66. Future projections of land use change are an important component in estimating baseline and reference emission levels. Figure 4.7 shows how analysis of historical trends link with future projections.
**Figure 4.7. Land use change: links between historical and future analyses**
*Source: FCPF, 2010.*
Analyses of future land use change range from simple to sophisticated. Simple approaches include extrapolating past land use change into the future. Adjustments can be made to account for both bio-physical (e.g., soil fertility, road access, etc.) and socio-economic factors (e.g., population growth, government development policy, food prices, etc. Sophisticated approaches include spatial probabilistic analyses with different explanatory variables and feedback effects. See Agarwal, et al. (2002) for an extensive review of land use change models. Despite the wide range of complex analytical methods, scenario analyses are important to compare the effect of different data, contextual and method assumptions.
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Chapter 5. Carbon measurement of land uses
Objectives
1. Explain basic concepts of terrestrial carbon cycle and global carbon accounting systems,
2. Guide carbon analysis within a national accounting framework,
3. Introduce carbon measurement protocols and reference materials, using a bottom-up approach for carbon measurements from plot to land use, to landscape/sub-national level, and to national scale,
4. Identify data sources, gaps and measurement priorities,
5. Estimate “typical carbon stock values” (time-averages) of land uses for use in an opportunity cost analysis.
6. Assess costs for capacity building based on available national capacities.
Contents
Know your carbon ........................................................................................................... 5-2
Establish a carbon analysis framework ............................................................................ 5-7
Estimate “typical carbon stock” of a land use ................................................................. 5-9
References and further reading ....................................................................................... 5-28
1. Numerous terms are used in the measurement of carbon. For definitions, please refer to the Glossary in Appendix A.
**Forester and carbon specialist words**
- Allometric equation
- Biomass
- Carbon dioxide flux
- Diameter at Breast Height (DBH)
- Humification
- Litterfall
- Landscape
- Necromass
**Know your carbon**
2. How much carbon would be emitted if a given hectare of forest were converted to another use? The answer to this question is a critical part of analyzing REDD+ opportunity costs. In this chapter, we first present basic concepts of terrestrial carbon (C) cycle and global carbon accounting systems. Next, we show how to estimate *typical carbon stock values* at sub-national and national levels. Important carbon measurement protocols and reference materials are presented along with how to identify data sources and carbon measurement priorities. Cost estimates for applying these methods are also provided.
**Terrestrial carbon cycle**
3. Carbon dioxide (CO$_2$) is exchanged between terrestrial vegetation and the atmosphere. Net balances change between sequestration (also known as storage or fixing) and release according to time period: (a) minute-to-minute (e.g., with cloud interception of sunlight), (b) day-night pattern, across a seasonal cycle of dominance of growth and decomposition, and (c) the lifecycle stages of a vegetation or land use system. Within this manual, we focus on the latter time scale, as part of annual (or 5-yearly) accounting of land use and land use change. At this time scale, many exchanges (or fluxes) can be expected to cancel out, thereby enabling a focus on net carbon changes.
4. Carbon can take different paths. In most years, the annual net effect of photosynthesis, respiration and decomposition is a relatively small increment in stored carbon. Nevertheless, accumulated gains sometimes are lost in drought years where fire consumes organic matter. Carbon can also move off-site. Organic products (e.g., wood, resin, grain, tubers) leave the area of production and become part of trade flows, usually being concentrated in urban systems and their waste dumps. Only small amounts of stored carbon may leach out of soils and enter long-term storage pools in freshwater or ocean environments, or contribute to peat formation.
Deforestation and carbon balance
5. When forests are converted to other uses, a large net carbon release occurs into the atmosphere. The process can happen in a matter of hours, in case of fire; over a number of years, due to decomposition; or over decades, where wood products enter domestic/urban systems. The net emissions can be estimated by examining the decrease or increase in the ‘terrestrial carbon stocks.’ Since tropical forests in their natural condition contain more aboveground carbon per unit area than any other land cover type (Gibbs, et al., 2007), they are important to consider within effort to mitigate climate change.
6. Consistent accounting for all carbon inflows and outflows is more complex than a simple check of the bottom-line change in total global carbon stock. Current estimates stating that ‘land use, land use change and forestry’ (LULUCF) is responsible for 15-20% of total greenhouse gas emissions is based on this type of stock accounting. Net sequestration is occurring in temperate zones and large net emissions in the tropics. Tropical peat areas are particularly small source areas with high emission estimates (IPCC, 2006). For the purposes of estimating REDD+ opportunity costs, carbon measures of different land uses are required in order to estimate the carbon effects from numerous types of land use change.
Carbon is not just carbon
7. Carbon is found in different pools. Terrestrial carbon stocks of all carbon stored in ecosystems are in:
- Living plant biomass (above- and below-ground)
- Dead plant biomass (above- and below-ground)
- Soil (in soil organic matter and, in negligible quantities, as animal and micro-organism biomass)
8. In the IPCC guidelines, these pools are described as *above-ground biomass*, *below-ground biomass*, *dead wood and litter*, and *soil carbon*. These are summarized in Figure 5.1 described in more detail below.
**Table 5.1. Four IPCC carbon pools**
| | Alive | Dead |
|----------------|-----------------------------------------------------------------------|-----------------------|
| **Above ground** | Biomass (, stems, branches leaves of woody and non-woody vegetation) | Wood and litter |
| **Below ground** | Biomass (roots, fauna) | Soil carbon (including peat) |
Living plant biomass carbon
9. Above-ground biomass comprises all woody stems, branches, and leaves of living trees, creepers, climbers, and epiphytes as well as understory plants and herbaceous growth. For agricultural lands, this includes trees (if any), crops and weeds.
10. Below-ground biomass comprises roots, soil fauna, and the microbial community.
Dead plant biomass carbon
11. The dead organic matter (i.e., necromass) includes fallen trees and stumps, other coarse woody debris, the litter layer and charcoal (or partially charred organic matter) above the soil surface. Carbon stock of litterfall in a tropical rain forest is typically about 5 tC /ha/yr, with a mean residence time in the litter layer of about 1 year. Dead trees may take about 10 years to decompose, and necromass is about 10% of total aboveground carbon stock in a healthy natural forest. Since logging tends to focus on harvesting the more valuable trees and damage many others, necromass may be 30-40% of the aboveground carbon stock after logging. If fire is used in land clearing, the resulting carbon will be emitted directly or reside for approximately a decade.
Soil Carbon
12. Soil carbon consists of organic carbon, inorganic carbon, and charcoal. Bicarbonate, an inorganic form of carbon, exists in calcareous soils, but is insignificant in neutral and acid
soils. The main form of soil carbon is in various stages of humification, with turnover times reaching up to 100’s (or even 1000’s) of years. In peat soils, turnover times can reach 1000’s of years.
13. For mineral soils, the change in soil organic carbon is relatively small and mostly occurs in the top 30 cm of the soil layer (IPCC, 1997). Organic carbon concentration in soils generally decreases with depth, with a higher fraction of relatively stable pools accompanying the lower total carbon concentration. The strongest response of soil carbon stock to land cover change occurs in the top 20-30 cm. With empirical data, however, only changes in the layer 0-5 cm depth are often noticeable.
14. The change in soil carbon content due to land use change is rarely larger than 20 Mg carbon per ha (IPCC, 1997; Murty, et al., 2002), unless in wetland conditions. Under specific climatic conditions (e.g., with an annual rainfall surplus but a prolonged dry season in flat terrain with deep groundwater storage) trees with deep root systems are able to prolong the growing season. In addition, the turnover of fine roots at depth adds soil carbon stocks at depths that can lead to soil carbon changes after conversion in excess of 20 Mg carbon per ha. For example, when *Imperata* grassland is converted to oil palm plantation on mineral soil, an increase in soil carbon stock of as high as $13.2 \pm 6.6$ Mg /ha from the initial stock of $40.8 \pm 20.4$ Mg /ha can be expected (Agus, et al., 2009).
**Box 5.1. Most of the biomass is in the few really big trees**
The carbon stock in an individual tree depends on its size. Trees of 10-19 cm stem diameter (measured at standardized 1.3 m above the ground and called ‘diameter at breast height’ or DBH), may have a biomass of around 135 kg/tree. With approximately 900 trees per ha, the corresponding associated biomass is 121.5 t/ha. Yet, most of the biomass is in the few large trees. With a DBH of 50-70 cm, the mass per tree could be approximately 20,000kg (20 t). With 10 trees/ha, the corresponding biomass would be about 200 t/ha. The below table summarizes this example.
Thus, the implications of large trees on biomass (and carbon) per ha is very significant. Although selective logging may only remove a few trees per ha (and damage surrounding ones), timber harvests can cause substantial decreases in total biomass and carbon stock.
**Example of tree biomass composition in a hectare of tropical forest**
| DBH (cm) | Kg/tree | No. Trees / ha | Mass (t/ha) |
|----------|---------|----------------|-------------|
| 10-19 | 135 | 900 | 121.5 |
| 20-29 | 2 250 | 70 | 157.5 |
| 30-49 | 8 500 | 20 | 170.0 |
| 50-70 | 20 000 | 10 | 200.0 |
Priority carbon pools for national accounting
15. The decision of which carbon pools should be measured as part of a national carbon accounting scheme are determined by several factors, such as:
- availability of financial resources,
- availability of good quality of existing data,
- ease and cost of measurement,
- the magnitude of potential changes in carbon pools.
16. In IPCC terminology, the prioritization of carbon pools process is regarded as “key category analysis.” Major sources and sinks of CO$_2$ are identified at specific reporting levels: Tier 1 or global scale data for non-key categories (or lower priority categories) and Tier 2 and 3 or finer scale/resolution for key categories. (IPCC, 2006, Vol 4, Chapter 1.3.3)
17. Since carbon estimates at the national level could be incomplete and highly uncertain, a principle of conservativeness should be applied to increase credibility of the estimates (Grassi et al., 2008). Conservative analysis implies not overestimating, and/or minimizing the risk of overestimation and error propagation. For example, not including soil carbon in the accounting is a conservative approach. Although fewer REDD+ credits might be obtained as a result, the inclusion of soil carbon could decrease the credibility of the estimates of total emissions reductions. (For details of the application of this principle see Grassi et al., 2008.)
18. Given limited resources, fieldwork to estimate carbon stocks needs to be selective. The highest carbon pools with the greatest likelihood of conversion/emission should prioritized. (See Chapter 4 for more information on drivers of deforestation and degradation). For example, the more vulnerable forest areas to change tend to be those with higher opportunity costs, such as forests next to roads.
19. Table 5.1 summarizes priorities in measuring different carbon pools along with the methods and relative cost involved. In general, we suggest giving the highest priority to tree biomass and soil carbon. The carbon stock of field crops tends to be low and can be inferred from the literature. For peatlands, the highest carbon pool is the peat itself and thus measurement of its carbon content is highly recommended.\footnote{Nevertheless, it is not clear whether or how peatlands will be included in REDD+.}
Table 5.2. Priorities and costs of measuring carbon by land use
| C pool | Method | Forest Cost | Forest Priority | Perennial Cost | Perennial Priority | Annual Crop Cost | Annual Crop Priority |
|-----------------|-------------------------------|-------------|----------------|----------------|--------------------|------------------|---------------------|
| Tree biomass | DBH and allometric equations | 2 | 4 | 2 | 4 | | |
| Understorey | Destructive samples | 4 | 2 | 4 | 1 | | |
| biomass | | | | | | | |
| Crop | Literature, secondary data | | | | | 2 | 3 |
| Dead biomass | Non destructive | 2 | 2 | 2 | 1 | | |
| Litter | Destructive | 3 | 2 | 2 | 1 | | |
| Soil C | Destructive: density and C content | 4 | 3 | 4 | 3 | 4 | 3 |
Note: Higher values indicate greater priority (shaded green) or higher cost (shaded red). Example from Indonesia.
Source: Authors.
Establish a carbon analysis framework
20. Clear and simple approaches to carbon stock measurement contribute to transparent national accounting. The simplified approach proposed here is for establishing a carbon basis for opportunity cost analysis. Although more straightforward, the approach is not always consistent with the detailed carbon calculation methods stipulated in the Good Practice Guidance (GPG) of the IPCC.\(^{46}\) The GPG provides procedural information to classify, sample and collect data for national accounting of carbon stocks and greenhouse gas emissions and removals associated with Agriculture, Forestry and Other Land Use (AFOLU) activities. Generally, all data should be:
- **Representative**: Capable of representing land-use systems/land cover categories, and conversions between land-use systems/land cover, as needed to estimate carbon stock changes and GHG emissions and removals;
- **Time consistent**: Capable of representing land-use systems/land cover categories consistently over time, without being unduly affected by artificial discontinuities in time-series data;
- **Complete**: All land within a country should be included, with increases in some areas balanced by decreases in others, recognizing
\(^{46}\) Examples include: (1) the use of a 4:1 default value for the shoot/root ratio, (2) a carbon conversion factor of 0.46 for living biomass, necromass and soil organic matter.
the bio-physical stratification of land if needed (and as can be supported by data) for estimating and reporting emissions and removals of greenhouse gases; and
• **Transparent**: Data sources, definitions, methodologies and assumptions should be clearly described.
**Two methods for carbon measurement**
21. Changes in average carbon stocks per land cover can be monitored using various methods, including secondary datasets and estimations from the IPCC (2003b). In addition, countries can conduct *in situ* forest inventories and sampling using permanent plots for land-use systems. To measure changes in carbon stocks resulting from degradation, the IPCC (2006) recommends two non-mutually exclusive options (Figure 5.2):
- the stock-difference method, and
- the gain-loss method.
22. The **stock-difference** method uses carbon stock inventories from land uses to estimate sequestration or emissions. Carbon stocks in each carbon pool are estimated by measuring the standing stock of biomass at the beginning and at the end of the accounting period.
23. The **gain-loss** method is based on growth models with an ecological understanding of how forests and other land uses grow, along with information on natural processes and human actions that lead to carbon losses. Biomass gains are estimated on the basis of typical growth rates in terms of mean annual increment minus biomass losses estimated from activities such as timber harvesting, logging damage, fuelwood, and other products collection, overgrazing as well as from fire (Murdyarso, et al., 2008). The cost of this method is usually lower because carbon pools are determined only once in the beginning and then modeled over time.
The choice of measurement method will depend largely on the data availability, and on the resources and capacities to collect new data. If the purpose is national carbon accounting, a combination of both methods can be used. Consistency checks are needed, however, if methods are combined.
The measurement approach used in this training manual is the stock-difference method, because we need a single ‘typical carbon stock’ of a land use system (t C/ha), for comparison with a typical economic attribute (NPV) ($/ha) to calculate the ratio for any type of land use change.
**Estimate “typical carbon stock” of a land use**
For the purpose of a REDD+ opportunity cost analysis, a value of a typical carbon stock is needed for each land use (in IPCC, 2000, this was termed a *time-averaged carbon stock*). This single value is used for carbon accounting purposes and compared with a single-value profitability estimate of net present value (NPV). A typical carbon stock value integrates the gains and losses over a life-cycle of a land use. Below, we discuss (1) steps to establish a national carbon accounting system, (2) approaches for measuring carbon, and (3) assessment of carbon data quality, sampling procedures and field measurements of carbon stocks.
Determining the typical carbon stock starts by recognizing the life-cycle of the land use (see Figure 5.3). A ‘time-averaged’ carbon stock recognizes the dynamics of land uses...
This approach accounts for tree re-growth and harvesting, and allows the comparison of land uses that have different tree growth harvest rotation times and patterns.
28. For land uses that are in equilibrium with regard to their age (all ages are equally likely), the time-averaged value will also be the spatially-averaged value, when applied to a sufficiently large landscape. Such an estimate equals the sum of gains and losses of carbon. For land use systems that are increasing in area, the spatial average will be lower than the time-averaged value, and likewise the spatial average will be higher than the time-averaged value for systems that are in decline. Therefore, the carbon loss or sequestration potential of a land use system is not determined by the maximum carbon stock of the system at any one point of time, but rather by the average carbon stored in that land use system during its life-cycle (ASB, 1996). Specific steps to calculate time-averaged carbon stock for a monoculture and mixed systems are in Appendix D.
Figure 5.3. Aboveground carbon stock and cash flows of three land uses
‘Time-averaged carbon stock’ in agroforestry systems
29. In agroforestry systems, where farmers incorporate various trees on farms, the carbon stocks behave differently than in cropland or managed forests. For example, trees in agroforestry systems are harvested more frequently than under forest management. To estimate carbon stocks, it is useful to develop annual time courses of the carbon stocks. In Figure 5.4, solid (darker) lines represent the annual carbon stocks, while dotted (lighter) lines depict corresponding time-averaged carbon stocks of: 230 tC/ha for forest, 80 tC/ha for agroforestry, and 29 tC/ha for annual crops or imperata grasslands of degrading productivity.
Accounting for forest degradation
30. Even without converting forests to other uses, carbon emissions can be produced from forest degradation. Forest degradation can be defined as *direct human-induced long-term loss (persisting for X years or more) of at least Y per cent of forest carbon stocks (and forest values) since time (T) and not qualifying as deforestation* (IPCC, 2003a). Despite this definition, agreement has not yet been reached on an operational procedure for monitoring, reporting and verification (MRV) of degradation. The measures of X, Y and minimum area are difficult to specify since the values depend on types of degradation activities and forest composition (Murdiyarso et al., 2008).
31. Common activities that degrade forests in the tropics include (GOFC-GOLD, 2009):
- Selective logging
- Large-scale and open forest fires
- Collection of fuelwood and non-timber forest products
- Production of charcoal, grazing, sub-canopy fires, shifting cultivation.
32. Apart from selective logging, few analyses has been made of the impacts of these processes on the loss of forest biomass and the time needed for regrowth. Estimating the carbon stocks of forests in contexts of deforestation and degradation requires monitoring of: (1) changes in forest area by forest type and (2) average carbon stocks per unit area and forest type (IPCC, 2003b). A Tier 1 analysis keeps track of area changes within forest categories and uses global default values for carbon densities of those forest categories. At Tier 2, precision and accuracy are increased by estimating carbon densities using country-specific data instead of global default values. A Tier 3 analysis uses models and inventory systems to adjust estimates to national circumstances repeatedly over time, thereby measuring changes in carbon densities within the accounting period.
### Table 5.3. Measuring forest degradation: stock-difference and gain-loss methods
| Activity | Stock-difference method | Gain-loss method |
|-----------------------------------------------|----------------------------------------------------------------------------------------|----------------------------------------------------------------------------------|
| **Selective logging** | • Legal harvesting usually requires measurement of biomass after harvesting, thus necessary data should be available.
• Illegal harvesting would require additional data collection.
• Data on undisturbed forest can be used as a proxy if pre-harvesting data for particular sites is not available.
• Reference data from undisturbed forest can be used for the pre-fire situation, but forest inventory would be needed to measure post-fire biomass. | • Uses estimates of mean annual increment (MAI) and centralized records on timber extraction activities.
• Reliability depends on honesty of timber companies in reporting rates of extraction. |
| **Large-scale forest fires** | • Pre-harvesting biomass levels could be estimated from typical levels in undisturbed forest, but in practice much of the forest subject to these uses will already be partially degraded at the start of the accounting period. | • Losses due to fire can be estimated from the area burned and emission factors used to estimate the emissions based on the biomass lost.
• Data on losses (e.g., registers of commercial wood-based products, estimates of fuel wood use) may be available.
• Fuel wood off-take could also be calculated using population and data on average household fuel wood consumption. |
| **Harvesting of fuelwood and non-timber forest products** | • In areas already under individual or community management, pre- and post period forest inventories can be carried out by forest users.
• Pre-harvesting biomass levels could be estimated from typical levels in undisturbed forest, but most forests subject to these changes will already be partially degraded at the start of the accounting period. | • Data on gain available from standard MAI statistics.
• Data on gain are available from standard MAI statistics. |
| **Cattle grazing, shifting cultivation, sub-canopy fire** | • Community measurements can be made and can help establish local ‘ownership’ of the process. | • Data of losses are rarely available in national statistics. |
*Source: Murdiyarso, et al. 2008.*
### Diagnosing existing carbon data
33. When compiling or reviewing estimates for the typical carbon stocks of land uses, a variety of data may already be available. Such information can be categorized according to IPCC tier:
- **Tier 1**: Global scale data (remote sensing imagery).
- **Tier 2**: National scale data
- forest inventory data, often focused on timber volumes of commercially-attractive timber species, yet potentially including all trees,
- Primary data that can be converted to total biomass estimates,
- **Tier 3**: Plot/watershed data
bio-economic models of biomass production under different management regimes, calibrated on plot-level biomass data (usually available for main crops and some plantation crops),
- ecological data on long-term plots that include all biomass and necromass pools.
34. As mentioned earlier, the prioritization of carbon pools or “key category analysis” takes into account the major sources and sinks of carbon and associated reporting level. Non-key categories, or lower priority categories, can be reported with Tier 1 data whereas key categories should use Tier 2 and 3 or finer scale/resolution data (IPCC, 2006, Vol. 4, Chapter 1.3.3). Existing carbon data within a country may be of varying types and quality. Therefore, a diagnosis of available national carbon data is needed to identify gaps and areas of weakness, where new data collection is warranted.
35. Since virtually all types of remote sensing depend on ground-based carbon stock measurements, efforts to spatially extrapolate and analyze temporal changes require carbon data sampled using transparent protocols. With any such data their usefulness and value depend on:
- adequate description of the method used in selecting the plots,
- completeness of records that allow the plot to be interpreted as part of a land use system with known intensity and time frame,
- representativeness of the collection of plots for the domain to be represented (e.g., across climatic, soil, and accessibility variations),
- adequate description of the method used in measurement, including the sample size or sampling intensity used in ‘plot-less’ sampling,
- viability of the primary data and opportunity for further calculations.
36. Questions regarding any of these issues can make data suspect for use, and may at the least warrant a sampling program to fill gaps and check uncertain parts of the data set.
Measuring carbon of different land uses
37. A basic premise of the IPCC Good Practice Guidance (GPG) is that land can be allocated to one (and only one) of six categories described below. A land use may be considered a top-level category for representing all similar land-uses, with sub-categories describing special circumstances significant to carbon content, and where data are available.\(^{47}\)
38. This IPCC GPG assumption of non-ambiguous land categories may agree with existing institutional traditions in some countries, but the premise can create challenges. Where does a rubber agroforest on peatland belong? Such a land use (1) meets the minimum tree height and crown cover of forest, but is (2) on a wetland, and (3) its production is recorded
\(^{47}\) For REDD+ opportunity cost analysis, sub-categories are also needed for land use systems generating different levels of profit.
within agricultural statistics. Therefore, consistency of accounting methods across land categories requires a good understanding of such relations. The IPCC land categories are:
(i) Forestland
39. This category includes all land with woody vegetation consistent with the thresholds used to define Forestland in the national greenhouse gas inventory. It also includes systems with a vegetation structure that currently fall below those thresholds, but *in situ* could potentially reach the threshold values used by a country to define the Forestland category.
(ii) Cropland
40. This category includes agricultural land, including rice fields, and agroforestry systems where the vegetation structure (current or potentially) falls below the thresholds used for the Forestland category.
(iii) Grassland
41. This category includes rangelands and pasture land that are not considered Cropland. It also includes systems with woody vegetation and other non-grass vegetation such as herbs and brushes that fall below the threshold values used in the Forestland category. The category also includes all grassland from wild lands to recreational areas as well as agricultural and silvopastoral systems, consistent with national definitions.
(iv) Wetlands
42. This category includes areas of peat extraction and land that is covered or saturated by water for all or part of the year (e.g., peatlands) and that does not fall into the Forestland, Cropland, Grassland, or Settlements categories. It includes reservoirs as a managed sub-division and natural rivers and lakes as unmanaged sub-divisions.
(v) Settlements
43. This category includes all developed land, including transportation infrastructure and human settlements of any size, unless they are already included under other categories. This should be consistent with national definitions.
(vi) Other land
44. This category includes bare soil, rock, ice, and all land areas that do not fall into any of the other five categories. It allows the total of identified land areas to match the national area, where data are available. If data are available, countries are encouraged to classify unmanaged lands by the above land-use categories (e.g., into Unmanaged Forest Land, Unmanaged Grassland, and Unmanaged Wetlands). This will improve transparency and enhance the ability to track land-use conversions from specific types of unmanaged lands into the categories above.
Box 5.2. Off-site carbon storage
Part of the biomass of forests, tree crop plantations, or annual cropping is removed from the field and enters within economic trade flows. Although efforts have been made to assign the carbon stocks of such products to the areas where they originated (especially in the case of wood), the integrity and transparency of the global carbon accounting system would be at risk if such calculations were to be made.
Current IPCC (2006) guidelines do not include off-site products as part of the system, although stock changes in the forest can be estimated from the difference between biomass increment and offtake (e.g., removals, harvests), if there are reliable data for both. Carbon stock accounting benefits from the simplicity that at any point in time all stocks can be inspected on site.
C stock sampling and measurement
45. Once the carbon pools to be measured are prioritized and the measurement method is defined, sampling will follow a series of guidelines with respect to the:
- sampling scheme, including stratification (See Chapter 4 of this manual, Dewi and Ekadinata, 2008, and Winrock, 2008)
- hierarchical system for land use classification (see Chapter 4).
46. Guidelines for obtaining the number of samples units needed can be found in Box 5.4. It is important to note that increasing the desired level of accuracy and precision will have cost implications.
Box 5.3. Steps to determine the number of sampling plots
Step 1. Select the desired level of accuracy and precision
The selection of precision and accuracy level is almost always related to the resources available and the demands of the buyer (the market). The level of precision required will have a direct effect on inventory costs. Usually, the level of precision for forest projects (sampling error) is +/-10% of the average carbon value with a level of confidence of 95%. Small-scale Clean Development Mechanism (CDM) forestry projects can use a precision level up +/- 20% (Emmer, 2007). Nevertheless, specific levels of precision can be defined for each type of land use system of the inventory. The highest precision generates higher costs.
The following figure illustrates the relationship between the number of plots and the level (degree) of precision (+/- % of total carbon stock in living and dead biomass) with 95% confidence for four types of combined carbon pools (above- and below-ground biomass, litter and soil organic matter) present in six vegetation categories of the Noel Kempff project in the tropical forest of Bolivia.
To achieve a precision level of +/-5%, 452 plots are needed, whereas only 81 plots would give a +/-10% level of precision. This example illustrates the cost-benefit implications of a higher precision level.
**Step 2. Select areas for making preliminary data gathering**
Before determining the number of plots required for monitoring and measurement carbon, an estimate of the existing variance must be obtained for each type of deposit (e.g. soil carbon) in each land use system corresponding to the land use legend. Depending on the occurrence of the same stratum in the project area, each layer must be sampled over an area (repetition), so that results have statistical validity. Initially, a recommended set is four to eight repetitions for each land use system.
**Step 3. Estimating the average, standard deviation, and variance of carbon stock preliminary data**
The time-averaged carbon stock is calculated of each land use system or land use legend from the preliminary data (or obtained from literature if one can find studies of similar area).
Output: Average, standard deviation and variance of carbon per land use system/legend.
\[
\bar{X} = \frac{X_1 + X_2 + \ldots + X_n}{n} = \frac{\sum_{i=1}^{n} x_i}{n}
\]
\[
S^2 = \frac{\sum_{i=1}^{n} (X_i - \bar{X})^2}{n - 1}
\]
\[
S = \sqrt{S^2}
\]
*Average*
*Variance*
*Std. deviation*
**Step 4. Calculating the required number of sampling plots**
Once the variance for each land use system/legend is known, the desired level of precision and estimated error (referenced in the confidence level selected) and the number of sampling plots required can be calculated. The generic formula for calculating the number of plots is as follows:
\[
n = \left( \frac{Z \times S}{E} \right)^2
\]
Where:
- \( n \) = Number of plots
- \( Z \) = Z-value (from Table 5-1)
- \( S \) = Standard deviation
- \( E \) = Estimated error
Source: IPCC 2003b, Chapter 4-3.
Formula for more than one land use system:
\[
n = \frac{(\sum_{h=1}^{L} N_h * s_h)^2}{N^2 * E^2 + (\sum_{h=1}^{L} N_h * s_h^2)}
\]
Where:
- \( n \) = number of plots
- \( E \) = allowed error (average precision x level selected).
As seen in the previous step, the recommended level of accuracy is ± 10% (0.1) of average but be up to ± 20% (0.2).
- \( t \) = statistical sample of the \( t \) distribution for a 95% level of confidence (usually used as a sample number)
- \( N \) = number of plots in the area of the layer (stratum area divided by the plot size in ha)
- \( s \) = standard deviation of land use system
Source: Section adapted from Rognitz, et al., 2009.
Online tools for calculating number of plots: Winrock International has developed an online tool: “Winrock Terrestrial Sampling Calculator” that helps calculate the number of samples and estimating the costs for base line studies as well as monitoring. See: http://www.winrock.org/ecosystems/tools.asp
47. Once the number of sampling units is calculated, a design of the sample is needed. Figure 5.6 summarizes the recommended sizes of plot and sub-plots under each sampling unit.
Figure 5.5. Recommended plot and sub-plots sizes for carbon stocks sampling
Source: Hairiah, et al. 2010.
Plot level sampling
Measuring carbon stock at the plot level requires assessing:
- Biomass
- destructive sampling of small plots of understory vegetation, annual crops, or grasses, and
- non-destructive tree biomass estimates using allometric biomass equations.
- default values for below-ground biomass (roots).
- Necromass
- destructive (for litter remains on soil surface) or
- non-destructive (for dead wood).
- Soil organic matter.
48. The procedures of carbon measurement of various pools are explained in detail in Hairiah, et al., 2010 (in English), Ruginitz, et al., 2009 (in Spanish and Portuguese) and several additional resources are available from GOFC-GOLD (2009).
49. The most important carbon stock pool is tree biomass. To calculate carbon stocks in trees we need to know:
- total number of trees per ha,
- distribution of their diameter at breast height,
- two parameters that relate biomass to stem diameter ('allometrics').
The devil is in the details. It is necessary to both (1) use the correct allometric equations (and to know when not to use the standard ones), and (2) to know the diameter frequencies, especially those for big trees. Using allometric equations from the literature can simplify the carbon stock calculations at the landscape level. Guidelines for choosing the right allometric equation(s) should be followed (Chave, et al. 2005; see Table 5.3 for a description of the criteria). If any of the criteria are *not* met, it is recommended to develop local allometric equations. If there are several equations that meet the criteria, choose the one with highest value for $R^2$ (for a detailed procedure see Rugnitz et al., 2009, p.51-59). A list of allometric equations by species and type of forest is shown in Appendix C.
**Table 5.4. Criteria for choosing an allometric equation**
| Criteria | Description |
|---------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------|
| Soil and climate conditions | Similar climatic conditions within the sample area to that of where the equation was developed for: |
| | - Annual mean temperature |
| | - Annual precipitation |
| | - Altitude |
| | Wherever possible, similar soil conditions. |
| Harvested species | At least 30% are of forest species used in the equation are present in the sample area |
| Tree sizes | Similar diameter at breast height (DBH) and tree height |
*Source: Adapted from Rugnitz, et al., 2009.*
**Box 5.4. Large trees, large roots... but not always**
Large trees tend to have large roots. For mixed tropical forests, the ratio of above to below-ground biomass is approximately 4:1. In very wet conditions, the ratio can shift upwards to 10:1; under dry conditions it may decrease to 1:1 (van Noordwijk et al., 1996; Houghton et al., 2001; Achard et al., 2002; Ramankutty et al., 2007). As measurement of root biomass is not simple (although there is a method that uses the root diameter at stem base and allometric equations), we normally use default assumptions for the shoot:root ratio based on available literature (Cairns et al., 1997; Mokany et al., 2006).
**From plot to land use**
For calculating carbon stock changes at the landscape level, we need data of the typical carbon stock or time-averaged carbon stock of each land use - *not* the carbon stock of each plot under current conditions. Here, we refer to the spreadsheet provided with this manual. The spreadsheet **OppCost** in the file **SpreadsheetexercisesREDDplusOppCosts.xlsm** links the carbon stocks for land use change according to land use category. A couple of examples to calculate time-average carbon stock for monoculture and diverse systems are
shown in Appendix D. Estimated values of time-averaged carbon stock of selected land-use systems from various countries are shown in Table 5.4 below.
Table 5.5. Time-averaged carbon stock (mean and range) of selected land uses
| Land use | Time averaged carbon stock, Mg /ha | Reference, remarks |
|-----------------------------------------------|-----------------------------------|-------------------------------------|
| Primary forest (Indonesia) | 300 (207-405) | Palm et al., 1999 |
| Selectively logged forest (Central Kalimantan, Indonesia) | 132 | Bearly et al., 2004 |
| Shrub/crop rotation | 15 | Prasetyo et al. (2000) |
| Imperata grassland | 2 | Palm et al. (2004) |
| Oil palm (Indonesia) | 60 | Recalculated from Rogi (2002) |
| Oil palm (Indonesia) | 40 | Recent data ICRAF-Indonesia |
| Rubber agroforest, 25 year old (Sumatra, Indonesia) | 68 | Averaged from Palm et al. (2004) |
| Rubber agroforest, 40 year old (East Kalimantan, Indonesia) | 100 | Rahayu et al., 2004 |
| Coconut plantation | 60 | Adjusted from 98 Mg ha\(^{-1}\) according to IPCC (2006) based on Rogi (2002) |
| Jatropha plantation | 10 | June (2008) based on Niklas (1994) |
| Tea plantation | 28 | Adapted from Kamau et al. (2008) |
| Sugar cane | 9 | Soejono 2004, modified |
| Coffee-based agroforestry system | 51 | Hairiah (2007, for shaded coffee) |
| Cacao | 58 | Lasco et al. (2002) |
From land use to sub-national region
52. Once the time-averaged carbon stock per land use system is obtained, we need to calculate/estimate the time-averaged carbon by land cover in order to extrapolate to landscape level. For example, in Figure 5.6, the “Plantation” land cover comprises five different land uses (pinus, agathy, mahogany, clove, and bamboo). Because it is not possible to distinguish these land uses at the land cover level (and the time-averaged carbon stock has relative small variation/deviation), an average for the land cover is estimated.
53. Once the time-averaged carbon stocks per land cover have been estimated, use them to extrapolate by multiplying by the area in the landscape of analysis in year y using the results of a GIS analysis. Then repeat the procedure in the map of year y+10, and then calculate the difference in carbon stocks.
Figure 5.6. Extrapolating carbon from land uses to land covers at the landscape level
Source: Hairiah, et al, 2010.
From sub-national region to nation
54. Scaling-up landscape carbon estimates to sub-national and national levels requires a combined effort of different government agencies, NGOs, and other institutions. At the national level, the data available normally corresponds to land cover level. The availability of specific spatial national data sets varies from country to country and the information is often scattered among different Ministries (Agriculture, Fisheries, Environment, Mining and Energy) or specialized government agencies.
55. Within countries, different areas with similar conditions have often been identified already with respect to climatic, elevation or vegetation. These different classes should be used as the basis for the stratification process within sampling scheme (Box 5.4) and the development of a land use map. Such information may likely be sufficient to spatially differentiate areas of similar carbon content, especially within forests. However, some weaknesses of the approach derive from:
- errors in classification of the pixels into land cover classes,
- uncertainty on the average carbon stock values per class,
- changes in carbon over time.
56. Inaccuracy and uncertainty of forest inventory data can range up to a multibillion-ton difference in the global stock of carbon in trees. Sources of error include area of forest, timber volume per area, biomass per timber volume, and carbon concentration. Since the factors are multiplied together to estimate carbon stock, a more precise measurement of the most certain variable improves accuracy little. In contrast, a 10% error in biomass per
hectare, for example, can cause a discrepancy equivalent to a mistake of measuring forest area by millions of hectares. Thus, unbiased sampling of regional forests is of important to accurately monitoring of global forests (Waggoner, 2009).
57. From the perspective of an opportunity cost analysis, the land use categories are key to identify and quantify the different land uses at the landscape and national level. Each land use should have a corresponding carbon content. By comparing and calculating the differences between carbon content of the different land uses in year y and year y+5, y+10 or the intervals defined, it would be possible to estimate the change in carbon stocks. Nevertheless, either using Tier 2 or Tier 3 data, weaknesses of the approach derive from:
- Errors in spatial classification by land use types, combining ‘land cover phases’ with on-the-ground characteristics and management styles,
- Uncertainty on shifts in time-averaged carbon stocks within the land use categories.
Building a national monitoring system
58. The UNFCCC (2009) has identified key elements and capacities for building national carbon monitoring systems for REDD+ as well as components and required capacities for establishing a national monitoring system for estimating emissions and removals from forests. These key elements include:
- Being part of a national REDD+ implementation strategy or plan,
- Systematic and repeated measurements of all relevant forest-related carbon stock changes,
- The estimation and reporting of carbon emissions and removals at the national level that either use or are in line with the methodologies contained in the IPCC good practice guidance for LULUCF due to the need for transparency, consistency, comparability, completeness, and accuracy that should characterize such systems.
59. The key components and required capacities for establishing a national monitoring system for estimating emissions and removals from forests are explained in detail in UNFCCC, 2009, pages 8-10 and include:
- planning and design,
- data collection and monitoring,
- data analysis,
- reference emission levels, and
- reporting.
60. Appendix B provides a summary table of required capacities for a national monitoring system of emissions.
61. At a finer scale, the challenges about data collection (Tier 3) equally refer to data collected by ‘forest professionals’ and community members. Quality control measures that
identify outliers and unexpected results need to be in place for whoever collects the primary data. Unexpected results may indicate an opportunity to learn, if they are confirmed via cross-checking. Nevertheless, inaccurate “participatory” results may skew overall results if retained in the dataset.
**A forest carbon database**
62. Carbon data is becoming more available. A Forest Carbon Database and exchange system is being developed within the public domain (CIFOR, 2010; Kurnianto and Murdiyarso, 2010). The database helps national and sub-national monitoring, reporting and verification of REDD+ activities. The open access database is designed to allow participation of researchers and practitioners, who conduct regular forest inventory, manage sample plots, and conduct research on forest carbon stocks and related topics.
63. The system allows the accounting of the five carbon pools. Supporting information can also be added (e.g., site details, land cover, climate and soil) to share the context of the carbon stock data. If the entire inventory of data is uploaded, the carbon stock will be automatically calculated, per factor that recognize ecosystem factor (e.g., rainfall, temperature). The system:
- reduces duplicate data collection by making data available, which have already been collected. This reduces costs.
- provides easy access to data that cannot be readily replicated, such as large surveys that are too expensive to replicate.
- enables comparison carbon stocks across land use types based on data provided by other contributors.
**Cost estimates of measuring carbon and capacity building**
64. Building a national or sub-national carbon stock inventory is a time-consuming and costly exercise. Although many countries are familiar with conducting forest inventories, carbon accounting is a step further. Carbon accounting outside forests or in mixed land use systems also increases the complexity of this task. Therefore, one of the initial major costs of measuring carbon faced by some countries is developing professional capacity.
65. Given the high and changing carbon content of forests and possibility for inaccurate measures, many efforts are advancing to improve cost effectiveness of ground-based inventories and surveys. Stratification of forests by carbon stock (e.g. affected by timber harvest), not necessarily by forest type, can reduce uncertainty and costs (Brown, 2008)
66. In the short term, capacity building is desirable at the national/sub-national level. In the medium to long term, some cost-effective approaches can be applied, such as: building institutional alliances, involving communities, and introducing specific carbon measurement topics and field practices in [tertiary] education curricula, and mainly, using
available national skills. In some cases, foresters, biologists, ecologists, etc., can transfer some of the basic skills for carbon measurement to communities living in the forest and forests margins. Such an approach encourages local community participation and reduces the costs in the long term.
67. Table 5.5 summarizes relative costs of using data of different resolution, capacities to be used and required capacities. Although the involvement of international organizations also results in higher costs, skills can be transferred to national and local levels through partnerships and alliances to achieve cost savings. Start-up costs are usually higher than maintaining and upgrading the capacities.
68. Costs will differ according to the country and extent of data gaps. Below are estimated costs for equipment and personnel for above-ground biomass sampling in Colombia (Table 5.6) and a national forest inventory in India (Table 5.7). The average cost of assessing forest cover and changes on a per unit area basis in India is US$ 0.60 per km$^2$. The cost per unit is derived from the total forest cover of the country, which is estimated at 677,088 km$^2$.
Table 5.6. Relative costs of building a national carbon accounting inventory
| Issue | Scale |
|------------------------------|----------------------------------------------------------------------|
| | Tier 1: Global estimates |
| | Tier 2: National available data |
| | Tier 3: Plot/watershed data |
| Data resolution | Freely available online but need expert knowledge to interpret data |
| | Not freely available and scattered in most cases. Costs are mostly |
| | related to the bureaucracy to obtain the data |
| | Normally only available at small scale or very specific and not |
| | freely available or need to collect own data. Sources are local or |
| | regional institutions or government |
| Relative cost | $ |
| | $$ |
| | $$$ |
| Capacities used | International expertise |
| | National expertise |
| | Local expertise |
| Personnel from international organizations (WB, UN, NGOs, etc) with direct access to governments and normally involved in the start-up of the process |
| Personnel from national government agencies and local NGOs, education institutions, usually based in the cities and setting national standards/policies |
| Local experts (e.g., universities and communities based in tropical forests). Some have built alliances with international experts or other national experts |
| Relative costs | $$$$$ |
| | $$ |
| | $-$$$ |
| Capacities required for MRV | Start-up |
| | Maintain |
| | Upgrade |
| Initial set up, varies according to current in country capacity |
| Keeping up to date and implement quality assurance and quality control schemes |
| Specialized training, participation in international conferences or access to international standards |
| Relative costs | $$$ |
| | $$ |
| | $$-$$$ |
Source: Authors.
| Activity | Equipment | Personnel | Time (*per plot, **per tree) |
|--------------------------|---------------------------------------------------------------------------|-----------|------------------------------|
| Sampling non-tree vegetation | 1 GPS
5 m nylon cord
3 machetes
1 25 kg or more scale
1 scale of 1 to 5 kg with 0.1 g accuracy
Plastic bags, markers, pencil, forms | 3 people | 40 - 60 minutes* |
| Forest inventory | 1 GPS
1 50 meter tape
1 hypsometer
3 machetes
1 2m long wood pole (can be obtained in the field)
30 m nylon cord
Markers, pencil, forms | 3 people | 120-150 minutes* |
| Trees and palms | 1 chain saw
1 metallic tape
4 machetes
1 scale 50 kg or more
1 scale 1 to 5 kg capacity and 0.1 g accuracy
Plastic bags, Markers, pencil, forms | 4 people | 1-5 hours** |
* Number of plots sampled in a day will depend on the transport time within sample points.
** Time varies according to the size (and hardness) of the tree.
Source: Carbono y Bosques, 2005, cited in Rughnitz, et al. 2009.
Table 5.8. Cost of measuring forest cover and change using satellite imagery in India
| Components | Cost per 100 km$^2$ (US$) | % |
|---------------------------------------------------------------------------|---------------------------|---|
| Human resources (cost of data interpretation by technicians, supervision and checking by professionals and ground truthing) | 38.5 | 64 |
| Cost of satellite data (IRS.P6- LISS III of 23.5 x 23.5 m)* | 6.5 | 11 |
| Equipment (cost of hardware/software with assumed life of 5 years plus day-to-day maintenance, air conditioning plant, network, etc.) | 15.0 | 25 |
| **Total** | **60.0** | **100** |
*Exchange rate used is 1 US$ = 50 Indian Rupees. In total, 393 satellite scenes using IRS P-6 LISS III cover the entire country. The area of each scene is about 20,000 km$^2$.
Source: UNFCCC, 2009.
**Measurement priorities arising from forest condition**
69. The cost of measuring and monitoring degradation depends on national circumstances, which include factors such as the:
- area of forest cover
- forest stratification (e.g., Democratic Republic of Congo has one major forest type, whereas Indonesia and Mexico have four or more)
- Tier level of carbon accounting
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Chapter 6. Profits and net benefits from land uses
Objectives
Show how to:
1. Develop an analytical framework to estimate the profits (net benefits) of land uses (forest, agriculture, ranching),
2. Estimate financial budgets of land uses,
3. Identify sources of cost and revenue information needed to calculate profits,
4. Develop multi-year profit analysis of land use trajectories,
5. Identify and critically review methodological and data assumptions.
Contents
Why such detail? ................................................................. 6-3
Upfront issues – clarifying assumptions ........................................... 6-3
Enterprise budgets .................................................................. 6-13
Land use budgets .................................................................... 6-19
Profitabilities of land use trajectories ............................................. 6-26
Backend issues – more methods and assumptions ....................... 6-31
References and further reading .................................................... 6-33
1. Economic analysis has many terms and phrases that are commonly used (Box 6.1). For definitions, see Glossary in Appendix A.
| Economist words |
|-----------------|
| Discount rate |
| Rent |
| Net present value | Net returns |
| Capital |
| Profit |
| Accounting stance |
| Enterprise budget |
2. Avoiding deforestation often requires giving up the profits and employment opportunities that new land uses would have provided. Reforesting lands may also reduce profits and jobs. To know what participating in carbon funds and markets will cost, we need answers to questions such as:
- What profits and jobs are generated by forests?
- When forests are cut, what do other land uses generate in terms of profit and employment levels?
- When forests are re-established what profits and jobs do they produce?
- What profits and jobs are associated with non-forested lands before aff(re)orestation?
3. This chapter shows how to estimate two important economic components of opportunity costs: profits and employment. Both profits and labor earnings from forests and other land uses are needed in order to estimate REDD+ opportunity costs. The procedures presented below are based on a bottom-up approach of data collection with analysis of revenues and costs for a wide range of land use activities.\(^{48}\)
**Box 6.1. Profit is about more than just money**
We use the term *profits* as a convenient shorthand. Other terms, such as *net benefits*, *net revenues* or *net returns* could be also used. *Profit* is a concise and convenient way to describe the concept of benefits minus costs.
It is also important to note that especially in rural regions, the value of production is not always based on money. Many products and services have value despite not being purchased or sold (e.g., family labor inputs, household consumption of harvests, etc.). Imputing, or estimating, the value of these non-market goods and services is a challenge facing REDD+ opportunity cost analysis. (Other off-site non-market ecosystem services, such as watershed function and biodiversity co-benefits, are addressed in Chapter 8.) Thus *profit* is used in this manual to represent the general concept of net benefits that land users receive from a given land use.
\(^{48}\) Other less-precise REDD+ opportunity cost approaches are described in the introduction, Chapter 1.
Why such detail?
4. The bottom-up approach provides a rigorous and transparent record of the data collected and its analysis, along with a review of methodological assumptions, that are essential for accurately estimating REDD+ opportunity costs. When coupled with carbon stock information, the profit analysis of land uses will enable policymakers to estimate REDD+ opportunity costs.
5. This chapter helps develop capacities to:
1) systematically estimate and compare profits generated from different land uses,
2) identify data required for analyses, and
3) estimate profits according to a three-level hierarchy of activities within land uses:
a) enterprise (or activity) budget, the basic building block of information per activity,
b) land use system budgets account for the multiple enterprises found within land uses,
c) budgets of land use trajectories represent how a land parcel may undergo numerous land use changes.
Upfront issues – clarifying assumptions
6. Many types of data and procedures are needed to estimate the profitability of land uses. Here are some details worth mentioning now.
Whose perspective? (the accounting stance)
7. REDD+ programs involve different types of landowners. Such owners can be a country or from an individual group (e.g., farmer, rancher, logging company, community). The way costs and revenues are calculated – called an accounting stance – represents the viewpoint of individual groups\(^{49}\) or the country.\(^{50}\) Although an accounting stance does not affect productivity data (e.g., yield/harvest quantities), the difference in perspective determines the data collected, prices and discount rates within budget accounts, and thus profit analyses. Inappropriate mixing of data and methods is a common and potentially easy error, and can result in misleading estimates (Pagiola and Bosquet, 2009).
8. For the accounting stance of a country, costs and benefits should be valued at the social value of resources (i.e., their value in their next-best alternative use) rather than
\(^{49}\) Often termed private or financial profitability.
\(^{50}\) Often called social or economic profitability.
observed market prices. The social value of a resource may differ from that observed in markets because of either policy distortions (e.g., taxes, subsidies, import restrictions, etc.), or market imperfections\(^{51}\) (e.g., from a lack of property rights). In contrast, costs to individual groups are valued at actual prices, including any taxes (Pagiola and Bosquet, 2009).
9. Discount rates, and how they are affected by accounting stance, are discussed below.
**Which actual price to use?**
10. Actual prices can differ, often substantially, according to location: farmgate, local market, national market and international market. Because of transportation and intermediary costs (e.g., of merchants/middlemen), farm gate prices can be 20-95% of a national or international market price. Analysts often use the following three types of price data, which represent different stages of a product within a product value chain:
- **Farmgate price**: the price a farmer receives for outputs or pays for inputs at the boundary of the farm. These prices are determined from field surveys with farmers or found in agricultural census data.
- **Wholesale or sub-national market price**: the price at which agricultural products are traded on various domestic markets. These prices include the cost of transportation between farm and market, and are available from surveys at market locations.
- **Border price**: the price at which agricultural goods are exported from the country. Such prices are available typically through official statistics.
11. The recommendation is to use farmgate prices to represent the actual costs on a particular land use. Adjustments are needed when farmgate prices are expected to differ from prices from where data are collected (e.g., local markets). Local agronomists and extensionists often know farmgate prices. Where not, an adjustment factor can be estimated – often related to distance to market and quality of road and river transportation.
**How to deal with prices distorted by policies?**
12. Prices can also differ due to government market interventions. Inputs subsidies (of e.g., agrochemicals, gasoline, fertilizers) can increase profitability; whereas input taxes can reduce profits. Similarly, profitability of farm and forest land use is decreased by export taxes which typically affect farmgate prices. Output subsidies or import taxes and quotas increase prices and profitability.\(^{52}\)
---
\(^{51}\) A situation in which the market does not allocate resources efficiently. Market imperfections can occur for one of three reasons: (1) monopoly - when one party has power that can prevent efficient transactions from occurring. (2) a transaction has externalities (side effects) that reduce efficiency elsewhere in the market or the broader economy, and (3) nature of certain goods or services (e.g., public goods such as roads).
\(^{52}\) In some countries, cattle production and oil palm are land uses, for example, that have received subsidies.
13. Despite all these potential distortions to prices, governments are intervening less in markets than before. To enhance global competitiveness and fair trade, international agreements on tariffs and trade typically limit the use of such mechanisms. In addition, governments often have less financial capability to subsidize economic sectors as budget overspending and debt is being controlled by lending organizations (e.g., banks, International Monetary Fund, etc.).
14. If such price distortions are apparent and important, the recommendation is to have separate estimates for (1) costs to land users and budgetary costs to the government (using unadjusted prices), and (2) costs to the country (using prices that correct for distortions). A Policy Analysis Matrix (PAM) can be used to compare the results of different accounting approaches (or methodological assumptions) of economic analysis. For example, differences in agricultural and natural resource policies and factor market imperfections can be contrasted with budgets calculated at private and social prices (Monke and Pearson 1989 is the basic reference).
Why use a discount rate?
15. A discount rate is the way economists account for time while estimating the value of goods and services. For profit analyses that examine multiple years, the value of future profits must be properly discounted. Simply put, a dollar today is worth more than a dollar tomorrow.
16. The discount rate to assess costs to the country should be the social discount rate normally used by the government. In contrast, the discount rate to estimate the costs and benefits to individual groups should reflect their rate of time preference. If the costs to all individual groups (including the government) were added up and re-calculated based on social value of resources rather than observed prices, they should equal the costs to the country. In other words, the costs to the government and the individual groups determine the overall costs to the country.
17. From a national perspective, the discount rate can be equated to the cost of borrowing money. The interest rate on loans (often between 5 and 10% annually) is a useful proxy. From an individual perspective, the costs of borrowing money are typically much higher. Interest rates in countries often range between 10 and 30% per year, or higher, if loans are available. For the purposes of opportunity cost analysis, the real interest rate should be used. How to deal with inflation is discussed below.
Box 6.2. Understanding the potentially big effect of discount rates
In many developing countries, interest rates are high, reflecting perhaps unstable economic conditions or the inherent risk of loans not being repaid. Nevertheless, strong criticism arises from employing the use of high discount rates. Within a NPV analysis, the chosen discount rate can have strong effects. This is a result of compounding, where the
discounting includes the cumulative effect of all previous years. For example, at a 10% discount rate, NPV of profits at the end of the first year (t=1) are valued 9.09% less. At the end of year 2, the profits are valued 17.4% less. In other words, to account for the time value of money, the profits would need to increase by these discounted amounts in order for the future profits to be of the same value.
When a discount rate is applied over a long time horizon (15+ years), the NPV profits in the final years can be dramatically lower. The effects a 2, 5, 10, 15 and 20% discount rate are depicted below. At a 2% discount rate, the NPV profits in year 20 “lose” over 32% of their value (nearly 45% at year 30). At a 5% discount rate, the NPV profits in year 20 “lose” over 62% of their value (nearly 77% at year 30).
At higher discount rates, the effects are more severe. Use of a 15% discount rate implies that the NPV profit in year 20 have lost 93% of their value (in year 30, over 98%). With 20% discount rate, the year 20 NPV profit is down approximately 97% (in year 30, down over 99%).
**Effect of discounting on future values (2, 10, 20%)**
*Source: Authors.*
---
**How to estimate unstable and non-existent prices?**
**How to value inputs provided and outputs consumed by the household?**
18. Especially with smallholder farms, labor inputs or inputs retained from previous harvests (e.g., seeds, manure, etc.) are often used within a farm and are not purchased. Therefore, the prices of such inputs may not be readily available. Smallholder farm households also may consume much of their harvests instead of selling them. Such
subsistence or semi-subsistence agriculture is common in many rural regions. While the earnings are not realized, the value of the output should be recognized at its market price.
19. In addition, some farm inputs may have multiple possible prices (e.g., seeds retained from harvest could be valued at the forgone income at time of harvest, or the cost at time of planting). It is recommended to use the cost that farmers actually incur for such inputs. In the case of seed, the cost of storing seed may be minimal, therefore the seed should be valued at the time of harvest.
20. Although such non-market inputs can be valued in different ways, be done justifiably, and produce different results, it is important to document the assumptions and methods. Sensitivity analysis of the assumptions can be conducted to see the impact of an assumption upon results of the analysis. With such an analysis and review, the difference may turn out to be rather either insignificant or worthy of discussion amongst peers to decide the best, most relevant, option.
**How to handle prices and yields that are highly variable over time?**
21. Agricultural production and product prices can be notoriously unstable. When collecting data at one point in time, it is likely that the information is not representative of yields and prices over a span of many years. Two basic types of variation exist (and their causes):
1. Prices and yields vary around a static mean (e.g., because of variable weather conditions, pest and disease outbreaks, exchange rate fluctuations), and
2. Prices and yields vary around a changing (trending) mean (e.g., mean yields decline because of soil degradation; real prices trend up because of increased consumer demand, energy costs; prices trend down because of demand shifts away for particular commodities or increasing supply associated with productivity growth).
22. It is therefore recommended that price information be examined over multiple years and the context of agricultural productivity and markets be examined. Past trends can provide us with important information on how parameters of profitability analyses may develop in future years. For example, yields and input use of agricultural enterprises often increase gradually over time as technology improves. Meanwhile, yields can decrease resulting from soil degradation.
23. Prices may also be subject to both positive and negative trends depending on population and economic growth at local, national, and global levels. While trends do not usually increase uncertainty, they can nevertheless lead to significant biases in opportunity cost estimations, especially if longer time REDD+ contracts are at stake. If there is reasonable evidence to expect major trends in key enterprise budget items, these items need to be adjusted accordingly for each year within the planning horizon. A gradual adoption of pest resistant corn varieties, for example, can be introduced in the analysis by
slowly increasing yields and reducing pesticide expenses in the corn enterprise budget according to the expected trends in these parameters. Uncertainty and associated risk of parameter estimates can be analyzed using stochastic analysis (Box 6.4).
**Box 6.3. Risk and uncertainty analysis**
Numerous computer programs are available to analyze the effects of risk and uncertainty (e.g., @Risk, Quametec, etc.). Using stochastic analysis methods within an Microsoft Excel spreadsheet, the programs can reveal the likelihood of a particular outcome given uncertainty of multiple parameters. Such analyses help decision makers to better understand the potential implications of interventions within uncertain environments.
24. All parameters used in profitability analysis are subject to uncertainty as a result of data collection and processing errors. District averages of yields, for example, often overestimate actual yields (aggregation bias\(^{53}\)), and information from field surveys may be subject to recall biases. In addition, survey respondents tend to generalize based on recent year experiences. To aid practitioners in understanding the process of assembling land use budgets, the accompanying spreadsheet workbook contains numerous notes. Sensitivity analysis of results can help analysts identify the most reasonable assumptions.
**Profits are calculated in terms of what?**
25. Profits can be measured in terms of time (e.g., workday or salary) or in terms of returns to land (i.e. $/ha). Within REDD+ opportunity analysis, returns to land typically makes most sense. Moreover, it is a common measure understood by many.
**Should the cost of land be included in calculations?**
26. Including land costs in the analysis only makes sense from the perspective of an investor who is considering acquiring land (through purchase or rental) to undertake an activity. For a farmer or logging company that already owns/controls the land, the analysis considers the returns to the next-best land use alternative. Therefore, the opportunity cost of land is already being taken into consideration. In other words, since the profitability of activity A to activity B is being compared, it makes little sense to include costs of land in profitability estimates, since the costs cancel out. For example, investments to improve profitability, and the value of land, are accounted for within a multi-year analysis.
**And labor?**
27. A more difficult question is whether profitability should be estimated in terms of returns to labor (i.e. $/workday). For many smallholder farm households, it could make
\(^{53}\) Resulting from assuming relationships observed for groups necessarily hold for individuals. For forest margin areas, lower yields can be masked if average values include areas with higher inputs and productivity.
more sense to express results both in terms of return to land and family labor. Especially in forest frontier regions, labor and capital are limiting factors of production. Since land is relatively abundant, smallholder farmers most carefully allocate their scarce labor resources (along with their land and capital resources).
28. Opportunity costs of REDD are nevertheless calculated in terms land. Fortunately, it is possible to impute the value of family labor in the farm activity costs, thus giving profitability in terms of returns to land. Since family labor can be reallocated to other uses if a different land use is chosen, the returns to land can be a relevant measure of the opportunity cost of land use change.
29. From the perspective of an individual, household income from a given land use is a relevant measure. This includes both profits and the implicit wage of their labor. REDD+ opportunity costs need to account for both the profits and implicit wages. Both types of earnings are forgone with REDD+.
**Which profits from a land use should be analyzed?**
30. A profitability analysis starts with developing detailed budgets of simple activities (also called enterprises) within land uses. These budgets are a summary of cost and revenue information. Enterprise budgets typically describe the activities that occur within a planting and harvest season. Examples of enterprises include NTFP collection, timber harvesting, and annual crops. Enterprise budgets of multi-year crops (e.g., cassava), animal production, perennial tree crops (e.g., cocoa, oilpalm, coffee, etc.) require accounting of multiple years that represent all phases of an enterprise: preparation/investment, maintenance, harvest and post-harvest activities on-farm. Enterprise budgets are an important building block to represent land uses and land use trajectories.
31. Budgets of land use systems can account for a combination of activities, such as agricultural and tree crops. These budgets are also multiple year summaries representing all phases of an activity: preparation, maintenance, harvest and, perhaps, fallow periods.
32. A budget of a land use trajectory is a longer-term summary of land uses and land use changes. Land use trajectories are developed as a basis for REDD+ opportunity cost estimates and analysis. Table 6.1 summarizes the three types of budgets and associated sources of information.
Table 6.1. Types of budgets
| Type of budget | Description | Data sources |
|----------------|------------------------------------------------------------------------------|-------------------------------|
| 1. Land activity/enterprise | A single year summary of costs and revenues from a single activity.
Forest conversion, forest harvests, agriculture & ranching activities within land use changes | Local experts |
| 2. Land use system | A multi-year summary of a single enterprise or linked enterprises of a land use
Land use change cycles and transitions | Local experts |
| 3. Land use trajectory | A summary of different land uses starting from current use. The basis for opportunity cost estimates. | Local experts, literature, remote sensing |
Source: Authors
With land use trajectories, a profitability analysis often represents different groups or individuals who are responsible for different portions of the trajectory. For example, logging companies for forest degradation, settlers for deforestation and slash-and-burn agriculture. Although these changes make no difference to an analysis from the country's perspective, it can be very important when the analysis is from the perspective of an individual group. Adequate and proper compensation for REDD+ depends on such knowledge of land use changes.
What to do when profits differ across sub-national regions?
The distribution of profits for a particular land use within a country can be highly variable. Consider cocoa land uses, a principal driver of deforestation and degradation that occupies more than 8 million ha in the Guinea rainforests of West Africa, coastal Atlantic rainforests of Brazil, rainforests on the Indonesian island of Sulawesi, and other areas.
Wide differences exist between the harvest yields of cocoa producers (Figure 6.1). In Ghana, the distribution of yields from nearly 5,000 producers show that the mean is more than 100 kg/ha greater than the median. Causes include significant differences fertilizer uses, and management practices. Thus although cocoa systems can be considered a land use system within an opportunity cost analysis, examination of yields and causes of differences is essential to improve the accuracy and precision of profit estimates.
36. Within the forest sector, timber prices and previous harvests often affect forest profit levels (and opportunity costs). In Brazil, for example, large amounts of timber have been harvested. Figure 6.1 is a provincial scale map of a forest logging history.
Figure 6.2. A geographic assessment of logging history (Para, Brazil)
Source: Souza Jr, et al. 2000.
37. Although a forest inventory provides an assessment of available timber and timber already harvested, analysis of current and future logging activities can be conducted per geographic region, thereby revealing profit potentials. Within Para, four areas of logging activity have been identified: Central, Estuarine, East and West (Figure 6.2).
*Source: Verissimo, et al. 2002.*
38. The location of a logging operation affects not only the amount and quality of available timber but also prices received. The figure below shows how timber quality of estuarine regions are of overall lower quality. The western region contains a higher percent of high and medium quality timber.
*Source: Verissimo, et al. 2002.*
39. Prices received for timber differ per quality category and, to a lesser extent, logging region. The price differential between high and medium quality is significantly greater than the difference between medium and low quality timber. The price of high value timber is approximately 2½ times more than prices of medium and low quality timber.
*Source: Verissimo, et al. 2002.*
40. Therefore, at a national level, different budgets should be developed to adequately represent the differences within land use systems.
**Enterprise budgets**
**Components and construction**
Enterprise budgets estimate profit ($\Pi$) in local currency per hectare ($/ha$):
$$\Pi = pq - c$$
Where: $p =$ price ($/ton), $q =$ yield (ton/ha), and $c =$ costs ($/ha)
41. Revenues ($pq$) come from the output (e.g., crop, animals, timber) of a land use activity. Costs ($c$) arise from the use of two types of inputs: physical (or capital) and labor. These measures serve as adjustable parameters for subsequent scenario, sensitivity and tradeoff analyses.\(^{54}\) A sample enterprise budget is presented in Table 6.2. For more detail on enterprise budgets, see Gittinger (1982).
---
\(^{54}\) A parameter is a specific value of variable estimated or selected (e.g., mean, median) within an analysis.
42. *Physical inputs* include seeds, fertilizers and chemicals, which are typically used annually. Longer-term investments such as fences, tools, machinery, animals (cattle), etc. are also physical inputs.
43. *Labor inputs* can be estimated using wage rates. Two types of rate, however, are typical: legal minimum wage and actual wage. Nationally-established minimum wages may include social benefits: health and pension. In contrast, actual wages are often significantly lower, especially in remote forest frontier areas. Actual wages should be used. Effects of different wage rates on opportunity cost estimates can be examined with sensitivity analyses.
44. A monthly labor calendar is helpful to identify, discuss and quantify workday activities in order to estimate total labor input. Labor activity may be valued at a single wage or a different wage rate, depending on skills required or scarcity of seasonal labor. The first task of the agricultural/logging season, typically land preparation, should determine the starting month of the calendar. The labor calendar can be differentiated between hired and family labor, and also by gender. This enables analysts to examine the potential social effects of REDD+ policies.
**Table 6.2. A sample enterprise budget**
| Rice (per hectare) | Profit |
|--------------------|--------|
| **Total Input Costs** | |
| Product | Quantity | Price | Cost | Units |
| Seed | | | | |
| Fertilizer | | | | |
| Machinery | | | | |
| Tools | | | | |
| **Total Revenues** | Harvest | Price |
| | | |
| Labor Activity | Workdays | Wage |
|----------------|----------|------|
| Preparation | | |
| Planting | | |
| Weeding | | |
| Harvest | | |
| Threshing | | |
| Transport | | |
**Calendar: Workdays**
| Activity | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Total |
|----------|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-------|
| Preparation | | | | | | | | | | | | | |
| Planting | | | | | | | | | | | | | |
| Weeding | | | | | | | | | | | | | |
| Harvest | | | | | | | | | | | | | |
| Post-harv. process | | | | | | | | | | | | | |
| Transport | | | | | | | | | | | | | |
| **Total** | | | | | | | | | | | | | |
45. Careful consideration of the units of analysis within budgets is essential. Units of measure, such as kg, liters, tons, should be noted. Local measurement units of land area and harvest weights can be used in order to facilitate discussion with farmers. Conversion to metric measures (e.g., hectares, kilograms), however, are needed to enable a standardized analysis.
46. While yields can be converted to required per hectare units, cost information may come in different units, e.g., workdays per ton of product harvested and thus require conversion to a land-based measure. If farm inputs are used for more than one enterprise, the cost of input should be shared and attributed to the other enterprises. For example, rental rates per hectare or day are convenient approximations for the use cost of tools and machinery (e.g., chain saws, machetes, machinery, etc.). Alternatively, prices and average lifetime values can be estimated to impute annual use cost per hectare.
47. Numerous methodological and data assumptions underlie the information within enterprise budgets. Parameters (e.g., of inputs, harvest yields and prices) can easily be adjusted to represent specific locations and contexts. Consequently, notes regarding contexts and assumptions are helpful to understand the accuracy and assure the relevance of budget information.
**Data collection**
48. The data needed to develop enterprise budgets can come from a variety of sources. Since budget information is basic to analyses of agriculture, ranching and logging activities, national research centers and universities may have budgets already available. If not, production data can be collected via interviews with farmers, or other experts (e.g., agronomists, extensionists, foresters) and via literature review of case study analyses of production systems.
49. Detailed secondary information on inputs (e.g., workdays, prices) is rarely readily available. Essential to estimating costs, accurate data on enterprise inputs is best obtained via farmer and key informant interviews. Given budgetary or time restrictions, precise measures for some items within an enterprise budget may not possible. In order to quickly advance analyses, estimated measures can be used, based on expert opinion and other sources. In addition, information from other budgets and studies can be used in an IPCC Tier 1 or Tier 2 manner and adjusted to local conditions.
50. Budgets should be developed in local domestic currency. As estimates in domestic currency are typically less vulnerable to exchange rate fluctuations,\(^{55}\) any database should be expressed and maintained in domestic currency. Conversion to foreign currency can be accomplished for specific purposes when needed. For example, at some later point
\(^{55}\) Prices of internationally-traded commodities such as cocoa or palm oil, may be less volatile.
countries will need to know how their REDD+ opportunity costs compare to possible REDD+ payments, which will be stated in US$/tCO$_{2e}$ or other such terms. For this particular purpose, countries will need to convert results to US$ or €.
51. Budgets collected through field surveys can avoid most of these problems but are much more expensive to collect. The accuracy and reliability of budgets also depends on appropriate sample design and enumerators being well-trained. Pre-testing of questionnaires with focus groups along with a review and critique of responses can help assure the collection of all needed information. Where areas are relatively homogeneous, focus group interactions instead of wide-scale surveys can provide better information. Focus groups permit the acquisition of in-depth information and beneficial dialogue in comparison with surveys, which typically extract rather repetitive basic information.
52. It is important to note that budgets developed through interviews can only obtain reliable data for the current and recent years. Data obtained while attempting to remember earlier years can be very inaccurate. In addition, when yields and prices are very variable, official budgets can also be very unreliable. Therefore, comparison and discussion of official government information, farmer responses and expert opinion are helpful to identify the most appropriate budgetary information.
53. Interviews are difficult when the activities concerned are illegal (e.g., logging, bushmeat trade, coca production). By enhancing trust and assuring anonymity of responses, required information can often be obtained. Working through social networks of families, friends and co-worker can also facilitate the data collection process.
54. Table 6.3 summarizes the advantages and disadvantages of different data collection approaches. For details on data collection methods, see Holmes, et al. (1999), FAO (2001, 2002), and Pokorny and Steinbrenner (2005).
Table 6.3. Advantages and disadvantages of data collection approaches
| Method | Advantages | Disadvantages |
|----------------------|-----------------------------------------------------------------------------|-------------------------------------------------------------------------------|
| Survey (in-person) | -Expert-based | -Follow-up questions require second communication |
| | -Timely | -Expensive for large sample |
| | -Comprehensive, large sample size can increase statistical significance of results. | -Proper training of interviewers/enumerators essential. |
| Case Study | -Close discussion with land user | -Dependence on secondary information and knowledge by personnel |
| | -Broader questions | -Limited representativity. |
| | -In-depth questions and answers possible. | |
| Experiment station | -Control over data quality | -Higher yields than field conditions |
| | -Allows for the testing of alternate scenarios and ideas. | -Limited validity of extrapolation |
| | | -Specific individual results |
| Existing sources | -Cheap to collect | -Results may not contain information needed |
| | -Data already processed. | -Results may reflect “average” conditions that do not represent any actual farmer |
| | | -Information may be out-of-date |
| | | -Results may be of “best case” yields, especially for crops of interest to the ministry/project, and rarely achieved in practice, |
| | | -Results show input use that reflects recommended rather than actual practice, |
| | | -Methods use official rather than observed prices, |
| | | -Methods may be based on hidden assumptions. |
Adapted from: Pokorny and Steinbrenner (2005); Pagiola (personal communication, 2010).
55. Given the challenges mentioned above, many estimates within enterprise budgets will likely be imperfect. A systematic approach to data collection with notes on context and assumptions enables the process to be transparent, reviewed, revised and improved. For example, price data may be affected by market distortions, as a result of government subsidies, sales taxes or minimum price policies. Sensitivity analysis of changes in parameters is a useful way to understand how much an estimate affects the final results of an opportunity cost and tradeoff analysis (discussed in Chapter 7).
56. The following section is divided into two parts to address particular data aspects of (1) agriculture/ranching, and (2) forest land uses.
Agriculture and ranching
57. Farmers can usually recall yields prices paid and received for the most recent season. In the absence of farm gate prices, other price data should be adjusted based on value-added marketing activities. For example, wholesale market prices of rice include the added
value of milling and farm-to-market transportation costs. If market prices are used, the cost of milling and transport should be subtracted in order to arrive at farm gate prices.
58. Agricultural census and government statistical information at provincial or department level can confirm yield estimates. With estimates of total crop area, such sub-national production figures can be converted to a per hectare basis. Even if farm-level data is used within the analysis, government census statistical information is helpful to check data accuracy.
59. On smallholder farms, many separate activities often occur in within a small patch of land. Slash-and-burn systems typically include a wide range of agricultural crops including rice, maize, beans, cassava, plantain, etc. To represent slash-and-burn agriculture in Peru for example, a rice-plantain-fallow cycle, which is common to the region, is used. The cycle can be adjusted according to age of forest frontier by changing the length of the fallow period. Similarly, pasture productivity is adjustable according to animal units (head of cattle per ha).
60. Since remote detection of individual crops is notoriously difficult, a subset of the major activities can be selected to represent a mixed land use, thereby reducing the need for detailed data collection. Similarly the productivity of pastures within a landscape is not possible to assess without on-site information.
61. Smallholder practitioners of slash-and-burn farming rarely have precise measures of their field size. This is particularly common in regions where land markets and land titling are not developed. In such cases, accurate estimates of field size may be obtained by walking the field perimeter with a handheld GPS.
62. Markets may not exist or function well in remote regions. For example, services such as wage labor could simply be unavailable for purchase. Since minimum wage rates are often poor approximations of actual rural wage rates, analysts are best advised to consult local experts about realistic wage rates. Even in remote areas, the hiring of casual workers is common. The daily wage is often quite standardized and known within a given locality. Since minimum wage rates are often poor approximations of actual rural wage rates, analysts are best advised to consult local experts about realistic wage rates.
63. Alternatively, hired laborers are commonly paid on a piece-rate rather than a monthly, daily or hourly wage basis. This complicates wage rate sensitivity analysis as this labor cost is a lump sum payment and therefore requires a data transformation. Perhaps the simplest way is to divide the lump sum payment by the wage rate to estimate the equivalent quantity of wage labor that could have been employed. Sharecropping is another labor institution common to smallholder agriculture in developing countries that requires a similar treatment.
Since the logging industry is highly competitive and under the scrutiny of tax officials, acquiring financial information can be particularly difficult. In addition, most timber extraction (around 90%) in the Amazon is estimated to be illegal (Stone, 1998). Operations are often led by self-made managers who have little business management training, deficient bookkeeping practices, and limited financial control of forest operations (Arima and Veríssimo, 2002, Pearce, et al. 2003). Nevertheless, personal interviews, mail surveys and informal discussions with industry experts may provide needed information.
Data collection methods for non-timber forest products (NTFPs) appear in numerous studies. Sheil and Wunder (2002) provide a useful critique of methods applied. For charcoal products, few studies exist; examples include: Hofstad (1997), Coomes and Burt (2001) and Labarta, et al. (2008).
Information from enterprise budgets is essential to estimating the profitability of land uses and land use trajectories. For land uses with more than one product, land use budgets require managing revenue and cost information of separate enterprise budgets. Thus the representation of profit is:
\[
\Pi = \left( \sum_{h=1}^{H} p_h q_h + \sum_{i=1}^{I} p_i q_i \right) - \left( \sum_{j=1}^{J} c_j y_j + \sum_{k=1}^{K} c_k y_k \right)
\]
The above equation makes explicit not only the prices and multiple market goods and services of a land use, \((p_h\) and \(q_h)\) but also the non-market prices \((p_i)\) of non-market goods and services \((q_i)\). Within a specific land use, the inputs may include both marketed inputs \((y_j)\) and non-marketed inputs \((y_k)\), which have distinct valuation challenges (of \(c_k\)). The use of shadow prices for non-marketed goods is common.
The enterprise budget example for rice above is a single year. Land uses, however, typically require a multi-year analysis, since annual profit levels can be very different (negative, zero or positive) depending on phase: establishment, fallow or production. Therefore, the above equation becomes:
69. The file SpreadsheetExercisesREDDplusOppCosts.xlsm (available on the manual website) contains examples of land use budgets with different phases and products. Such detailed budgets help analysts keep track of individual activities and enterprises as they change over time. Notes on how the costs and earnings change help analysts understand the assumptions employed and site context.
70. For some land uses, complementary activities should be noted, if not included in estimates. For example, fodder production for feeding animals that provide transport or other farm activities, such as plowing, should be attributed a proportional use basis. Details of such assumptions are discussed at the end of the chapter.
Agriculture
71. Land use budgets can be developed to represent both land use change cycles and transitions (see Chapter 3 for definitions). Distinct versions of land use budgets can differ between locations and context, such as within a forest frontier. For example, in Peru, swidden agricultural production typically has a three-year production phase, but different fallow periods according to age of settlement. Farmers in established settlements with higher population pressure commonly practice shorter “bush” fallows of 2-6 years. In contrast, pioneer farmers typically leave their lands fallow for longer periods, 6-15 years. Since both input (e.g., labor) and output (e.g., harvest) levels are different between such systems, separate budgets are justified.
72. Land use budgets of perennial systems, such as tree crops (cocoa, oil palm) and cattle, include costs of establishment and production. These multi-year budgets could typically have high investment costs and require numerous years before revenues exceed costs.
73. The workbook of land uses contains example spreadsheets of cocoa, oil palm, cattle, rice-plantain systems. Cells, highlighted in yellow, represent parameters that can be adjusted to better represent local conditions. Different contexts and land management practices should be examined within scenario analyses of land use trajectories. Adjustments of parameters such as yields could include harvest increases that represent new seed and fertilizers or harvest decreases resulting from land degradation. In addition, ash flow constraints (especially with cattle and perennial systems) may require land uses to be phased in as funds become available.
Forests
Timber
74. Forest harvest operations are typically diverse, ranging from small-scale informal loggers to vertically-integrated harvest, transport and processing firms. Therefore, different budgets for timber harvests are needed for each major variation that is observed in a country.
75. Timber cost analyses are typically divided according process stage: timber harvest, transportation and milling. Harvesting comprises a set of activities undertaken to fell and extract trees to a landing or a roadside where they are processed into logs and consolidated. Logs are then transported over unpaved and paved roads to a processing facility or other final destination. Milling refers to log sawing activities into a variety of different shapes and dimensions. The spreadsheet named Timber is an example of an enterprise budget for logging company. The level of detail can be expanded per process stage, by including estimates for the costs of labor and equipment, for example. For a comprehensive explanation of costing procedures, see Holmes, et al. (1999).
76. Forests can generate substantial profits or losses. Whether the profits are positive or negative, depend upon how forests are used and if products are sold. To understand the variety of forest uses and products, two aspects of forests need to be considered: forest quality and forest use.
77. Forest quality refers to the status of the forest with respect to previous use by people. Many relatively dense forests have already undergone a series of changes, including extractions of high-value tree species and selective logging. Hence, forest quality is also a measure of forest degradation.\(^{56}\)
78. While degraded forests can still be forests, according to definition, the carbon content and future profits can be substantially different from natural forests. A previously-harvested forest, for example, will not generate the same profits as a pristine forest. In order to enable a rigorous accounting of forests, distinct forest quality categories need to be developed. For the purposes of this training manual, general categories are employed, consisting of: pristine or natural, selectively cut (highest value species extracted), and partially cut (high-mid value species harvested). In order to obtain more precise estimates of forest profitability, sub-categories with greater levels of distinction and detail may be required per country context and REDD+ program criteria.
79. Past activities will affect future potential uses of the forest. Thus, in contrast to forest quality, forest use refers to upcoming activities within a forest. For example, pristine or
\(^{56}\) Although specific definitions of forest quality (e.g., carbon content and canopy cover) will likely differ according to national contexts and perhaps differ within a country. Forest categories and their geographic identification can be linked with land uses discussion.
natural forests have had few human activities but a wide range of potential uses. Respective select- and partially-cut forests have increasing levels of previous use, yet fewer potential uses. Fewer potential uses implies lower profitability. Per forest quality category, Table 6.4 summarizes both previous and potential forest uses.
Table 6.4. Past and potential forest uses per status of forest quality
| Forest quality status | Past uses | Potential future uses |
|-----------------------|----------------------------|--------------------------------------------------------------------------------------|
| Pristine or natural | NTFPs | NTFPs |
| | Tourism | Tourism |
| | | Highest-value trees extracted |
| | | High-mid value tree harvests |
| | | Forest conversion (timber, charcoal) |
| | | Other land uses (agriculture, ranching) |
| Selectively cut | Highest-value trees extracted | NTFPs |
| | NTFPs | Tourism |
| | Tourism | High-mid value tree harvests |
| | | Forest conversion (timber, charcoal, pulpwood) |
| | | Other land uses (agriculture, ranching) |
| Partially cut | Highest-value trees extracted | NTFPs |
| | High-mid value trees harvested | Forest conversion (timber, charcoal, pulpwood) |
| | NTFPs* | Other land uses (agriculture, ranching) |
* can also include areas of slash-and-burn agriculture, depending on land use definitions and resolution of analysis.
Source: Authors.
80. Forest quality also determines possible timber harvests. Select cut- or partial-timber harvests, for example, decrease carbon content and potential near-term future profits, albeit less than clear cutting. While selective forest harvest practices may not cause a land parcel to lose its distinction as a forest, their effects on carbon and potential future profitability need to be assessed.\(^{57}\) For example, after thinning (e.g., selective harvest) remaining trees grow faster.
81. Often used to describe forest use are the words *sustainable* and *unsustainable*. For the purposes of estimating REDD+ opportunity costs, however, the distinction is not sufficiently precise. Sustainable use activities, such as from non-timber forest products (NTFPs) or tourism, do not affect the carbon content and forest quality. Yet, other “sustainable” practices, such as sustainable forest management, are likely to reduce carbon content and forest quality - although less than conventional logging practices.
\(^{57}\) The opportunity costs of conserving selectively logged forests can be substantially lower and thus more affordable from a REDD+ point of view. “Log and protect” might thus become a way to avoid substantial emissions.
82. Profits from forests can also be generated in other ways. A lesser-known forest use and income source is the production and sale of charcoal, which is used as a cooking fuel. As an enterprise activity of a smallholder farmer, for example, charcoal production in the Peruvian Amazon can generate substantial earnings. A whole-farm profitability analysis estimates that charcoal-producing farmers generate 17% higher net income from their farm than merely slashing and burning the forest (Labarta et al. 2007).
83. When trees are not sold, forest conversion costs are not offset by income, thereby causing sometime substantial profit losses in the initial year. Especially in remote areas, many farmers prefer to burn trees on-site since expensive transportation often erases potential earnings. In such cases, the cost of clearing land typically exceeds the initial years of revenue generated from agriculture or pasture activities (Kotto-Same, et al., 2001; Merry, et al. 2001; White, et al. 2005).\(^{58}\)
84. Experiences from Brazil, the largest timber producing country in the tropics, and Peru are used to illustrate costs and revenues from the timber industry. Cost studies examined the entire sequence of activities related to forest operations, including cutting, skidding, landing activities, and transportation. Also included were costs for construction and maintenance of infrastructure (landings, and primary and secondary roads) and the costs for capital items (e.g., capital costs, depreciation, maintenance), labor, material, administration, and stumpage fees.\(^{59}\) Most studies took into account transportation costs from the forest site to the sawmill along public roads, whereas costs representing risks and administration salaries were largely ignored. Some studies used standard costs for labor and machinery, while others relied on data specific to the different activities.
85. Studies of logging operations provide numerous cost and revenue estimates. Profit estimates show significant variation – ranging from US$24/ha to US$1435/ha (Olsen & Bishop, 2009). In reviews of forest operation studies, Pokorny and Steinbrenner (2005) and Bauch, et al. (2007) found that differences in cost estimates arose from contextual conditions of:
- particular forests (e.g., species composition, forest structure, topography),
- commercial enterprises (e.g., staff, machinery, work processes, organization, wage rates),
- harvesting strategy
- conventional logging (CL) and reduced impact logging (RIL) practices. (See Box 6.5) for a description of the logging techniques and cost
- distance from the forest to the processing location
- cost calculation methods (overall costs versus specific sub-activity), and
\(^{58}\) Although trees can be used for many local uses, their estimated value is relatively small and therefore not included in an analysis of profits.
\(^{59}\) Stumpage fees are the cost of purchasing the rights to log a parcel of land. Payment is typically made on a m\(^3\) basis. Such fees are a component of opportunity cost of logging - the value of the trees to the landowner.
approaches used for data collection.
86. The conversion rate from logs to sawn timber is a useful factor to contrast efficiency (and profitability) of timber harvest operations. Stone (1990) considers a conversion rate of 47% while Stone (1995) considered a conversion rate of 34%.60
Box 6.4. Reduced impact logging
Reduced impact logging (RIL) can be more profitable than conventional logging (CL) practices. Despite requiring investments, RIL can accrue benefits in the both short and longer term. At an initial harvest, forest worker training generates efficiency gains to skidding, recovery of potential marketable timber and log deck61 productivity. Longer term economic and ecological benefits of RIL include less damage to residual trees and disturbed soils (Holmes, et al. 1999).
In a case study analysis, wood wasted in the CL practices represented about 24% of the harvest volume, but only 7.6% with RIL techniques. Less wood wasted and increased wood volume can reduce costs by 12% per cubic meter versus a typical CL operation (Holmes, et al. 1999).
The FAO model code of forest harvesting provides the basis for RIL system design, including many or all of the following activities: pre-harvest inventory and mapping of trees, pre-harvest planning of roads and skidtrails, pre-harvest vine cutting (where needed), directional felling, low stump cuts, efficient use of felled trunks, optimum width of roads and skid trails, winching of logs to planned skid trails, optimal size of landings, minimal ground disturbance and slash management (Dykstra and Heinrich 1996).
*Ground area disturbed by CL and RIL (m² per tree harvested and % area)*
*Source: Holmes, et al. 1999.*
Although RIL is not a fixed prescription, the techniques and guidelines attempt to adapt best harvesting practices to existing biophysical and economic conditions. Pre-harvest,
---
60 The revised rate, reflecting less efficiency is one of the main factors behind Stone’s conclusion that timber profits are decreasing (Bauch, 2010, personal communication).
61 Location to where logs are skidded stacked for subsequent loading onto trucks.
harvest planning and infrastructure costs of CL operations were $0.71 per m$^3$ and $1.93$ per m$^3$ for RIL. In some cases, RIL can be more expensive or of similar cost to CL depending on sophistication of the CL (e.g., harvest planning) and particular practices of RIL (Winkler, 1997; van der Hout, 1999). Effects of RIL on carbon density stock and regeneration capacity of the remaining have not yet been estimated. Nevertheless, the REDD+ opportunity costs of different forest management strategies can be examined through sensitivity and scenario analyses.
87. Timber waste is a concept related to conversion rate. Timber waste arises from felled logs not being skidded and young trees of commercial value being needlessly destroyed. In mills, waste is produced when logs degrade during storage and inaccurately sawn lumber (i.e. excessive thickness) (Gerwing, et al. 1996). According to Pokorny and Steinbrenner (2005), the multiple components of timber waste from field to mill, resulted in greater differences in the costs than single estimates of field productivity.
88. Profit estimates of logging operations can also differ because of assumptions regarding timber quality and prices received. Since many forests within a country may have already been harvested, timber profits could substantially differ per region. An assessment of current forest quality and potential forest uses establishes a starting point of analysis for estimating future profits.
89. The profits generated from high value forests can be substantial. A case of mahogany harvests in Brazil is an example of high profits with potentially low carbon impact (Box 6.6).
**Box 6.5. High-value mahogany - but with what carbon effects?**
High value species extracted from forests generate large profits with relatively little effect on forest carbon. In Brazil, for example, mahogany trees are usually widely scattered in patches. On average, 5 m$^3$ of mahogany logs are extracted per hectare and generate $81$ per hectare in profit, despite their high ($150$ per m$^3$) harvesting costs (Verissimo, et al., 1995). While this type of forest impact may be small, associated harvest practices can have greater effects on forest quality. Most logging operations use conventional harvesting techniques, sometimes termed high impact, that severely damage and degrade forests. Skidder road construction and damage to other trees during felling can affect both carbon and forest canopy. Yet, such effects are not typically included in deforestation maps (Nepstad, et al., 1999). In addition, since only a portion of the tree is being harvested, a substantial amount of the biomass is not of commercial quality. The unused portion of the tree should to be considered within carbon accounts of forests.
To assess selective logging, budgets should be estimated for the forest land with logging (and any subsequent land uses in the trajectory) and for the same forest land without such
logging. The profitabilities can be compared with differences in C stocks under the two land uses in order to estimate the REDD+ opportunity costs.
**Other forest products**
90. Estimates of profits generated from NTFPs also vary widely according to study methods, products gathered and economic context. In a meta-analysis of NTFP studies, Belcher, et al. (2005) estimated the value of three types of NTFP production (US$/ha): wild ($1.8), managed ($3.8), and cultivated ($25.6). Costs of collection, especially labor inputs, are difficult to measure comprehensively and are not reported extensively in the literature. Although likely to be minor, corresponding levels of carbon in forest and the effect of gathering on carbon stocks were not examined.
**Reforestation**
91. Since the 2010 UNFCCC meetings in Cancun, the enhancement of forest C stocks has been included with REDD (thereby becoming REDD+). This implies, for example, REDD+ eligibility would include changes from: (1) a particular non-forest land use returning to forest, or (2) a degraded low-carbon forest to a forest with higher carbon content.
**Profitabilities of land use trajectories**
92. With land use budgets, we now have an analytical framework and sufficient information to analyze the profitability of land uses over many years. Where needed, the enterprise budgets have been combined into multiple year budgets representing a land use. Yet, since land uses can change over time and credits represent carbon contained in land uses for multiple years (specifics not decided yet within REDD+ policy), a profit analysis of land use trajectories is called for when estimating REDD+ opportunity costs. Although the length of the time horizon for analysis can be an arbitrary decision, it should be guided by REDD+ policy. Common analysis horizons range from 20 - 50 years, and perhaps more.\(^{62}\) For the purposes of this manual, a 30-year horizon is used.
93. Sample results of a profit analysis from Peru are summarized in Figure 6.6 and associated Table 6.5. For each land use change in the Peru case, profits in the first year are negative. This is due to the high investment costs of preparing the land for subsequent agricultural or tree production.\(^{63}\)
94. Profits also differ each year for most of the land uses. While not producing greater profits, agriculture and pasture systems generate profits earlier than tree-based systems.
---
\(^{62}\) The longest horizon of CDM project activities, other than Afforestation/Reforestation (A/R), is 21 years. For A/R activities, the time horizon is 20 to 60 years (UNFCCC, 2010).
\(^{63}\) When timber can be sold, for example, first year profits are typically high. Likewise, first year profits can be positive when clearing costs are low (e.g., using burning with little slashing) and first crops are obtained quickly (annual crops).
In the Peru example, the agricultural systems are based on either short- and long-fallow systems, which produce positive profits in years two and three. During the fallow periods of 4 and 8 years, respectively, no costs or earnings result in zero profit.\(^{64}\)
95. With ranching land uses, although the initial costs of seeding pastures can be low, other establishment costs such as cattle purchases and fencing are high. The costs of establishing an improved pasture are greater than a native pasture, generating double the profits after year 1.
96. The profits of perennial land uses depend on investments required to establish the system, intercropping activities and the number of years until production from the trees. The tree-based systems generate negative profits (losses) for one or two years, given that weeding and other investments are typically required before production.
97. These sample results are highly sensitive to yield, price and input assumptions. Parameters, within the enterprise or land use budgets, can be adjusted to represent different socio-economic and biophysical contexts. The interconnected information enables rapid review of how parameter estimates affect profitability of a land use. More on the topic of sensitivity analysis, in Chapter 9.
\[\text{Figure 6.6. Sample multi-year profit analysis (undiscounted values, $/ha)}\]
\(^{64}\) The rental rate of land is considered to be zero. Discussion on this assumption below.
| Year | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 30 |
|------|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|
| **Cil palm** | -264 | -70 | -70 | -70 | 46 | 57 | 69 | 81 | 81 | 81 | 81 | 81 | 81 | 200 |
| **Cocoa** | (815) | (75) | 84 | 284 | 97 | 97 | 97 | 97 | 97 | 97 | 97 | 97 | 97 | 97 | 97 |
| **Rice+plantain By fallow** | -133 | 158 | 115 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | -45 | 158 | 115 |
| **Improved pasture** | -633 | 74 | 74 | 74 | 74 | 74 | 74 | 74 | 74 | 74 | 74 | 74 | 74 | 74 | 74 |
| **Traditional pasture** | -384 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 |
| **Charcoal** | 378 | | | | | | | | | | | | | | |
| **Charcoal+oil palm** | 114 | 70 | 70 | 70 | 46 | 57 | 69 | 81 | 81 | 81 | 81 | 81 | 81 | 81 | 200 |
| **Charcoal+rice+plantain By fallow** | 245 | 158 | 115 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | -45 | 158 | 115 |
| **Timber** | 450 | | | | | | | | | | | | | | |
| **Timber+improved pasture** | -183 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 | 38 |
| **NTPP collection** | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 |
6-28
Net present value
98. The above multi-year profit analyses illustrate how profit levels change annually during a time horizon. Despite all the results, it is not easy to determine the most attractive land use with respect to overall profitability. A land use may generate the highest profits, but occur at the end of a time horizon.
99. Net present value (NPV), or sometimes called present value, is a calculation commonly used to estimate the profitability of a land use over many years. NPV takes into account the time-value of money. Since waiting for profits is less desirable than obtaining profits now, the “value” of future profits is discounted by a specific percentage rate, often ranging from 2-20%.
100. With multi-year analysis, NPV is a discounted stream of profits (revenues minus costs of capital, land and labor inputs).
\[
NPV = \sum_{t=1}^{T} \frac{\Pi_t}{(1 + r)^t}
\]
Where \( t = \) year, \( T = \) length of time horizon, \( \Pi = \) annual profits of the LU ($/ha), \( r = \) discount rate. The major assumptions introduced at the stage of NPV calculation are the discount rate (\( r \)) and the time horizon (\( T \)).
Which discount rate should be used?
101. For discount rates, NPV analyses typically use loan interest rates, which are set by a national bank or the government. Such rates can range from 10-30%. Although agricultural loans are rarely available, especially in remote forest margins regions, bank interest rates do serve as a good indicator of the time value of money.\(^{65}\) The interest rate reflects the opportunity cost of obtaining profits - not now - but in the future.
102. High discount rates can dramatically reduce the viability and attractiveness of long-term investments. These include enterprises such as forestry, agroforestry, and cattle systems where initial years require up-front investments and payoffs occur 5-20 years later. Costs are scarcely discounted, whereas the value of future earnings can be significantly lower.
103. Another interpretation of the discounting effect from high rates is that future values do not matter. Since future profits are heavily discounted, they are not important. This can also be translated into saying that the benefits to future generations do not matter. The context of high discount rates creates incentives to generate profits and benefits in the short term, since waiting for the long term is nearly worthless. For example, the use of high
\(^{65}\) Furthermore, smallholder farmers rarely have title to their land or tangible assets to use for collateral to be able to borrow funds.
discount rates challenges the view of conservationists who consider current and future values of biodiversity to be high. Therefore, in order to value ecosystem services, a lower (social) discount rates could be more justifiable than higher discount rates used in a risky (private) business environment.
104. In sum, it is important to select a discount rate that reflects the transaction within the market and policy context. REDD+ programs are not based on the context of smallholders conservationists or businesses. The national accounting system of a country is likely intermediate and appropriate financial context of a REDD+ program. Therefore, within this training manual a 5% discount rate is employed. To see how NPV can be calculated in computer spreadsheets, examine sheet **30-year analysis** in the example workbook. The combination of enterprises that comprise each land use has been defined in 0. Now, in sheet NPV, a function within is used to calculate the NPV of the profit stream for each of the enterprises in a given LUT. The sensitivity of results to this assumption is examined in detail below and within 0.
**Results of profitability analysis**
105. Results of a sample profitability analysis are in Table 6.6. NPV estimates for the 30 year timeframe and 5% discount rate range from $15 per ha for NTFP collection to $1047 for a timber and improved pasture land use trajectory. The next lowest performing trajectory was traditional pasture. Low productivity and initial investment costs decrease the NPV estimates. In contrast, the inclusion of profits from either timber or charcoal sales significantly increases NPV estimates. Charcoal profits more than double the NPV of a rice-plantain swidden system. Similarly, the NPV of an improved pasture system nearly doubles with the inclusion of profits from timber.\(^{66}\)
106. All these results are highly dependent upon yields, prices and cost of inputs. Adjustment to parameters of particular land uses can be made within the corresponding spreadsheets.
107. Figure 6.7 show the discounted profit horizon of 30-year trajectory. In comparison to the undiscounted horizon, the discounted values during the latter years are closer to zero. This holds true for both positive and negative (investments) profits that occur in the distant future.
\(^{66}\) By law in Brazil, the minimum harvest cycle for tropical forests is 25 years. Although there no forest has been managed (and survived) for that long in order to be able to assess feasibility of another harvest in year 25, NPV could be higher based on a \(2^{nd}\) harvest; see van Gardingen, et al., (2006) for forest regrowth models.
Table 6.6. Profitabilities of land use trajectories (5% discount rate, 30 year analysis)
| Land Use Trajectory | Profitability |
|--------------------------------------------|---------------|
| Oil palm | 245 |
| Cocoa | 604 |
| Rice+plantain 8y fallow | 302 |
| Rice+plantain 4y fallow | 409 |
| Improved pasture | 618 |
| Traditional pasture | 336 |
| w/Charcoal | 360 |
| Charcoal+oil palm | 605 |
| Charcoal+rice+plantain 8y | 662 |
| w/Timber | 429 |
| Timber+improved pasture | 1047 |
| NTFP collection | 15 |
Source: Authors.
Figure 6.7. Sample multi-year profit analysis (5% discounted values, $/ha)
Source: Authors.
**Backend issues – more methods and assumptions**
108. Since the results of profitability analyses always depend on a series of assumptions (e.g., data sources or discount rate), results can and should be questioned. It is therefore crucial to review profit estimates and the steps taken to generate them. In this section, we revisit important elements of profitability analysis and discuss the implications of assumptions.
**How to handle shared and long-lasting inputs**
109. If farm inputs are used for more than one enterprise, the cost of input should be shared and attributed to the other enterprises. If the cost were to appear within the budget
of one enterprise, the profit would be incorrectly reduced while other activities become more profitable.
110. To account for shared inputs, it is recommended to use rental rates per hectare or day to approximate the cost of tools and machinery (e.g., chain saws, machetes, tractors, etc.). For long-lasting inputs, prices and average lifetime values can be estimated to impute annual use cost per hectare. Analysis can also depreciate the value of the input according to a depreciation schedule (for details, see Gittinger, 1982).
**How to estimate budgets for hypothetical land uses**
111. Countries may want to estimate hypothetical land use practices within a profitability analysis. Some practices are not currently observed but may have higher carbon benefits than current practices (e.g., RIL). Also, other potentially new land uses might come about (e.g., biofuel production).
112. When estimating hypothetical cases, extra caution should be taken. Often prospective budgets make unrealistic assumptions in order to obtain funds for research and implementation. Careful review of the literature about projected yields and associated costs savings are recommended. In addition, both the socio-economic and bio-physical conditions of case studies should be comparable to the proposed locations.
**How to account for inflation**
113. Estimates should be calculated in real terms. In other words, inflation is accounted for in the analyses, whereby the NPV analyses combines the discount rate with the inflation rate (Real Interest Rate = Nominal Interest Rate – Inflation). Analyses using real rates are important as they show the actual increase in value, and how much of a return was just the effect of inflation.
**Time horizon of a net present value analysis**
114. For NPV estimates to remain comparable across enterprises and land uses, the same time horizon must be used in all analyses. This manual uses a 30-year timeframe. As we are interested in the opportunity cost of entering a REDD+ contract, the choice of the time horizon may have important implications for buyers and sellers of emissions credits. If the time horizon for NPV calculation exceeds the respective REDD+ contract duration, opportunity costs may be overestimated and vice versa.
115. The use of a higher discount rate and longer time horizon can help to improve the methodological consistency when estimating the land use profits. Since harvest cycles of different land uses are likely to have differing period lengths, discrepancies can result within a time horizon. For example, some land uses may end in the end or middle of a productive phase while other may be in a fallow stage. (Note that in Figure 4.6, the agriculture-fallow cycles are not complete within the time horizon.) Fortunately, the discount rate can cause the contribution of later year profits to be less significant.
If a short time horizon is used, then substantial residual values may arise for many land uses. Using a long time horizon can be easier (long enough that, under whatever discount rate is chosen, any benefits or losses beyond the time horizon no longer matter) than to use a short horizon and have to compute and enter residual values.
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Tomich, T.P., M. van Noordwijk, S. Budidarsono, A. Gillison, T. Kusumanto, D. Murdiyarso, F. Stolle and A.M. Fagi. (eds.) 1998. *Alternatives to Slash-and-Burn in Indonesia: Summary Report & Synthesis of Phase II*. ASB-Indonesia Report Number 8. Bogor, Indonesia: ASB-Indonesia and ICRAF Southeast Asia.
Tomich, T.P., M. van Noordwijk, S.A. Vosti and J. Witcover. 1998. Agricultural Development with Rainforest Conservation Methods for seeking Best Bet Alternatives to Slash-and-Burn, with Applications to Brazil and Indonesia. *Agricultural Economics*. 19:159-174.
UNFCCC, 2010. Views related to carbon dioxide capture and storage in geological formations as a possible mitigation technology. SBSTA. Thirty-second session Bonn, 31 May. 8p. http://unfccc.int/resource/docs/2010/sbsta/eng/misc02a01.pdf
Van der Hout, P. 1999. *Reduced impact logging in the tropical rain forest of Guyana: ecological, economic and silvicultural consequences*. Tropenbos-Guyana Series 6, Wageningen, the Netherlands.
van Gardingen, P.R., D. Valle, I. Thompson, I. 2006. Evaluation of yield regulation options for primary forest in Tapajos National Forest, Brazil. *Forest Ecology and Management*, 231: 184-195. http://www.geos.ed.ac.uk/homes/paulvg/publications/tapajos.pdf
Vedeld, P., A. Angelsen, E. Sjaastad, G. Kobugabe Berg. 2004. *Counting on the Environment: Forest Incomes and the Rural Poor*. Environmental Economics Series Paper 98. The World Bank: Washington, D.C. 114 p.
Vera Diaz, M.C. and S. Schwartzman,. 2005. Carbon offsets and land use in the Brazilian Amazon. In Moutinho and Schwartzman (eds.) *Tropical Deforestation and Climate Change*. IPAM (Instituto de Pesquisa Ambiента de Amazonia), Pará, Brazil; Environmental Defense Fund, Washington, D.C.
Veríssimo, A., P. Barreto, M. Mattos, R. Tarifa, and C. Uhl. 1992. Logging impacts and prospects for sustainable forest management in an old Amazonian frontier: the case of Paragominas. *Forest Ecology and Management* 55: 169-199.
Veríssimo, A., P. Barreto, R. Tarifa, C. Uhl. 1995. Extraction of a high-value natural resource in Amazonia: the case of mahogany. *Forest Ecology and Management* (72):39–60.
Veríssimo, A., E. Lima, M. Lentini. 2002. *Pólos Madeireiros do Estado do Pará*. Belém, Brazil: Instituto do Homem e Meio Ambiente da Amazônia (IMAZON), 74p. http://www.imazon.org.br/downloads/index.asp?categ=1
Vincent, R. J., C. Clark Gibson, M. Boscolo. 2003. *The Politics and Economics of Forest Reforms in Cameroon*. The World Bank: Washington, D.C.
Vosti, S., J. Witcover, J. Gockowski, T.P. Tomich, C.L. Carpentier, M. Faminow, S. Oliviera, C. Diaw. 2000. *Alternatives to Slash-and-Burn. Report on Methods for the ASB Matrix*. Working Group on Economic and Social Indicators. ICRAF: Nairobi.
White, D., S.J. Velarde, J.C. Alegre and T.P. Tomich (Eds.), 2005. *Alternatives to Slash-and-Burn (ASB) in Peru, Summary Report and Synthesis of Phase II*. Monograph. Alternatives to Slash-and-Burn, Nairobi, Kenya. http://www.asb.cgiar.org/PDFwebdocs/White_et_al_2005_ASB-Peru.pdf
Winkler, N. 1997. *Environmentally Sound Forest Harvesting: Testing the Applicability of the FAO Model Code in the Amazon in Brazil*. Forest Harvesting Case Study 8. Food and Agriculture Organization of the United Nations, Rome, Italy.
Chapter 7. Opportunity cost analysis
Objectives
Show how to:
1. Generate an opportunity cost curve of REDD
2. Review effect of changes in policy, prices and technical coefficients on an opportunity cost curve (sensitivity analysis)
3. Create maps of opportunity costs
Contents
Estimate opportunity costs ................................................................. 7-2
Sensitivity analyses ........................................................................... 7-4
Opportunity costs maps ..................................................................... 7-9
References and further reading ......................................................... 7-11
1. This chapter integrates the outputs from previous chapters. Here we combine different types of information about land use – land use change, carbon stocks, and profitability.
**Estimate opportunity costs**
2. An opportunity cost is a type of tradeoff. With REDD+, an opportunity cost is measure of a land use change expressed in terms of money and physical units - instead of only physical units, as tradeoffs are often compared. The opportunity costs of REDD+ are based on $ or € per ton CO$_{2e}$.
**An opportunity cost curve**
3. A REDD+ opportunity cost curve is a comparison of the opportunity costs of many different types of land use change. The height represents opportunity cost of each land use change. The curve also shows the quantity of potential emissions reduction per type of land use change. This is the width of the respective segments.
4. In a national “abatement curve” developed by Dewan Nasional Perubahan Iklim and McKinsey and Co. (Figure 7.1), which in fact is an opportunity cost curve (see Figure 1.6 and related text discussion), the highlighted options are related to land use. In this example, some opportunity costs are negative meaning that reducing such activity generates net earnings not costs. Such options are located to the left of the graph and below the horizontal axis. Nevertheless, as the width of these bars is narrow, the quantity of abatement potential is relatively small.
5. Other abatement options have positive costs. Examples related to land use include four abatement options of REDD+ from smallholders, reforestation, timber extraction and intensive plantation dryland forest. Although the costs range between €<1 and €15, the potential quantity for abatement is more substantial than less expensive abatement options.
6. Such a national analysis is a useful step in understanding the costs of carbon abatement. The results, however, are a simplification of a diverse reality. A broad range of national and sub-national contexts typically reveals considerable differences from generalized results.
Spreadsheet analysis exercise
7. The spreadsheet file entitled **OppCost** is a simplified example of an opportunity cost analysis. (See Appendix F for sections of the described spreadsheets and manual website to download the file **SpreadsheetExercisesREDDplusOppCosts.xlsm** (with macro).
8. It is important to note that opportunity cost analysis is based on land use changes. Therefore, in addition to the land use legend, information on current land uses and land use changes at the national level are required.
9. In this example, land use information is based on the percentages. The initial land use distribution is within a single column of cells. Whereas, the row of future land use is a result of numerous land use changes corresponding to a matrix of cells. Land uses changes produce carbon emissions in three instances (Figure 7.2). The opportunity cost of avoiding a change of logged forest to agriculture is the lowest at $0.44/tCO₂e. A land use change from logged forest to agroforestry has an opportunity cost of $1.14/tCO₂e; and a change from natural to logged forest has the highest opportunity cost of $1.36/tCO₂e. A land use change from agriculture to agroforestry would imply a negative opportunity cost (in other words, a positive benefit) of $0.50/tCO₂e.
words – a potential benefit) of $0.84/tCO$_2$e. This type of land use change reflects how the higher profits can also store more carbon.
Figure 7.2. Example opportunity cost results from spreadsheet
10. As the number of land uses within an analysis increases, difficulties arise in discerning which factors matter most. A convenient way to identify major determinants is through sensitivity analyses. One (or more) parameters (e.g. input costs, wages, product prices) within an analysis can be changed sequentially or simultaneously in order to assess how much it influences the results. In addition, a structured sensitivity analysis, conducted by raising and lowering the value of a parameter by a certain percentage, is a useful means to assess the potential implications of uncertain parameters.
**Sensitivity analyses**
11. Sensitivity analyses are conducted to check the robustness of a quantitative analytical model, such as the opportunity cost model presented in this manual. By using such an approach, it is possible to identify the parameters that account for more effect in the model results. In short, the process of sensitivity analysis involves changing the value of input parameters of the model to capture and understand the impact that such changes would have on the results. Key steps thus include:
- Identifying the key input parameters and assumptions that are likely to affect the results,
- Prioritizing parameters for sensitivity analysis (e.g. inputs, yields, prices),
- Determining the realistic range of variation of the parameter or assumption,
- Examining the results of low and high estimates of each parameter,
- Documenting, comparing and discussing the results,
- Identifying priority scenarios to consider in policy discussions,
• Considering additional land use classifications in order to improve precision,
• Identifying priority areas of research to clarify the range of specific parameters (e.g. inputs, yields, prices).
12. In the case of opportunity cost analysis, key parameters for consideration are profits and carbon content of the land uses. Profits can change as a result of price or yield changes. Estimates of carbon content for different land use may be different with a country or as new research results become available.
13. Here we examine two parameter changes to see their effect on opportunity costs.
**Sensitivity analysis A. Logged forest generates $400NPV instead of $300NPV.**
In the spreadsheet page **OppCost**, a change in profitability of the logged land use affects three of the four opportunity costs (Figure 7.3).
1. **From logged forest to agriculture.** The opportunity cost estimate decreases from $0.44 to $0.29. In other words, a $100 increase in NPV reduces the opportunity cost of the land use change by 34%.
2. **From logged forest to agroforestry.** The opportunity cost estimate decreases from $1.14 to $0.91. Here, a $100 NPV increase reduces the opportunity cost of the land use change by 23%.
3. **From natural forest to logged forest.** The opportunity cost estimate increases from $1.47 to $2.02. In this case, a $100 NPV increase increases the opportunity cost of the land use change by 37%.
4. **From agriculture to agroforestry.** No effect.
Note that the quantity of emission does not change for any of the above.
Sensitivity analysis B. Logged forest contains 150 tC/ha instead of 200tC/ha.
In the spreadsheet example OppCost, a change in carbon content of the logged land use also affects three of the four opportunity costs and corresponding emissions (Figure 7.4).
1. **From logged forest to agriculture**. The opportunity cost estimate increases from $0.44/tCO$_2$e to $0.58$. In other words, a 50tC/ha decrease increases the opportunity cost of the land use change by 32%. The associated emissions change from 928 to 855 TgCO$_2$e.
2. **From logged forest to agroforestry**. The opportunity cost estimate decreases from $1.14/tCO$_2$e to $0.74$. Here, a 50tC/ha decrease reduces the opportunity cost of the land use change by 35%. The associated emissions decrease from 293 to 171 TgCO$_2$e.
3. **From natural forest to logged forest**. The opportunity cost estimate increases from $1.47/tCO$_2$e to $1.95$. In this case, a 50tC/ha decrease increases the opportunity cost of the land use change by 33%. The associated emissions increase from 305 to 611 TgCO$_2$e.
4. **From agriculture to agroforestry**. No effect.
14. In addition, an appraisal of trends, locations, and behavioral dynamics relating to change in a given country can also help identify priority parameters to examine. In this manner, sensitivity analyses thereby become related to analysis of different scenarios of future conditions and pathways (Chapter 9).
15. Sensitivity analyses require interpretation and critique of results. Changes in results should reflect a “normal” difference, whereby “normal” is determined with discussion to
ensure that the result make sense. In other words, sensitivity analysis requires skills of science and knowledge of the context. Since models are simplifications of a larger and more complex reality, the objective of sensitivity analysis is to ensure that the model behaves as expected.
**REDD-Abacus**
16. Opportunity cost curves of only a few land uses can be easily estimated with Microsoft XL spreadsheets. Two limitations hinder larger analyses:
1) Emission reduction options must be ordered according to costs, with lower costs to the left of the figure and increasing along the horizontal axis. A macro sub-program is needed to create opportunity cost curves.
2) Identifying and labeling each segment of the curve with a figure requires separate manual tasks, which cannot yet be automated.
17. REDD-Abacus is a computer program that facilitates the creation of cost curves (World Agroforestry Center, et al., 2010). Carbon and profit data of numerous land uses and sub-national regions can be examined entered within the program for analysis (Figure 7.5). By dividing a country into distinct sub-national zones, different characteristics that affect carbon content (e.g., rainfall or elevation) and profit levels (e.g., yields, farmgate prices) of land uses can be recognized in order generate a more accurate analysis of opportunity costs. Consequently, the resulting opportunity cost curves represent not only each possible land use change but also correspond to each sub-national region (Figure 7.6). The ease of data management and calculations helps to speed the process of sensitivity and scenario analyses. Appendix G contains an example analysis with results interpretation.
Figure 7.5. Land uses and regions of a sample analysis within REDD-Abacus
Figure 7.6. An opportunity cost curve per land use change and sub-national region
Opportunity costs maps
18. Maps of opportunity cost estimates are useful for visualizing the economic cost of avoiding deforestation and benefits of increasing carbon stocks. The analysis team can use the results of opportunity cost estimates to analyze their spatial distribution.
19. Figure 7.7 shows results of the type of map that may be useful for determining a starting point in the development of a REDD+ compensation program. It shows the four largest areas of forest transition in a central Peruvian Amazon study site between 1990 and 2007. The values of net emissions and abatement costs, shown in the cost abatement bar graph, are derived from the opportunity cost spreadsheet calculations. These calculations can be converted to database or tabular files that can then be imported into a GIS, where they are linked to the land use transition maps described above.
Figure 7.7 An opportunity cost map, central Peruvian Amazon 1990 – 2007.
Source: White and Hyman, 2009.
20. Analyzing results of the opportunity cost calculations in the GIS has several advantages:
- Future land use transitions are likely to be found adjacent to past transitions. The analysis team can overlay these areas on maps of protected areas, biodiversity hotspots, population distribution, the road network, indigenous reserves and other maps.
- Analysts can then visualize where different interventions may be necessary in a REDD+ program.
- Future analysis could use predictions of deforestation and land use change to better target REDD+ initiatives.
**References and further reading**
Dewan Nasional Perubahan Iklim (National Council on Climate Change) and McKinsey and Co. 2009. *Indonesia’s Greenhouse Gas Abatement Cost Curve*, Interim Report, Jakarta: September.
van Noordwijk, M., P. Akong Minang. 2009. If we cannot define it, we cannot save it. In: A.J. Van Bodegom H. Savenije, M. Wit. (eds.) *Forests and Climate Change: Adaptation and Mitigation*. Tropenbos International, Wageningen, The Netherlands. xvi + 160 pp.
van Noordwijk, M., T.P. Tomich, J. Gockowski, S. Vosti. 2001. Analysis of trade-offs between local, regional and global benefits of land use. Lecture note 10. 14p. In: van Noordwijk, M., S. Williams and B. Verbist (Eds.) *Towards integrated natural resource management in the humid tropics: local action and global concerns to stabilize forest margins*. ICRAF: Nairobi.
White, D., G. Hyman. 2009. *What are the Opportunity Costs of Reducing Carbon Emissions from Deforestation? An Amazon Case study in Ucayali, Peru*. CIAT and ASB: Cali, Colombia.
World Agroforestry Center (ICRAF), Directorate General of Forest Planning, Ministry of Forestry (Ditjen Planologi), Brawijaya University (UB) and Indonesian Centre for Agricultural Land Resources Research and Development (ICALLRD). 2010. *REDD-Abacus: ABAtement Cost cUrveS for Reducing Emission from Deforestation, Degradation*. Accountability and Local Level Initiative to Reduce Emission from Deforestation and Degradation in Indonesia (ALLREDDI) program. Version 1.0.2. ICRAF: Bogor Indonesia. http://www.worldagroforestrycentre.org/sea/projects/allreddi/softwares
7-12
Chapter 8. Co-benefits of water and biodiversity
Objectives
1. Explain water and biodiversity co-benefits and their importance within REDD+ mechanisms,
2. Summarize how to address co-benefits within opportunity cost analysis,
Contents
What are co-benefits? ................................................................. 8-2
What are ecosystem services? .................................................. 8-2
How to estimate co-benefits? ..................................................... 8-4
Water co-benefits ........................................................................ 8-4
Biodiversity co-benefits ............................................................ 8-8
Co-benefits and opportunity costs ........................................... 8-19
Conclusion .................................................................................. 8-23
References and further reading ............................................... 8-25
What are co-benefits?
1. It is important to put REDD+ programs into perspective. Forests generate other environmental or ecosystem services which have economic value. Such services, or co-benefits, include biodiversity and water of forests, which are addressed in this chapter.
2. When co-benefits are present, REDD+ programs can affect more than reducing emissions and mitigating climate change. In forests with high levels of co-benefits, say in upper water catchments with unique biodiversity, the value of all the benefits could be significantly greater than the value of carbon alone. When this higher forest value is taken into account (a benefit to the country – not the individual), the opportunity cost of forgoing alternative land uses is lower.
3. The relationships between biodiversity, water ecosystem services, and carbon stocks are rarely simple. Within countries, just as forests have different levels of carbon, the level of biodiversity and water ecosystem services that forests provide can also be very different. Furthermore, priority areas for reducing emissions may not be the same as those for generating forest co-benefits. For example, dryer forests may have higher biodiversity and less carbon content than moist forests (Stickler, et al. 2009). In order to achieve multiple forest benefits when implementing REDD+ programs, countries will need to identify potential synergies and trade-offs of benefit provision.
4. The objective of this chapter is to present an approach to consider the effects of two of the more substantial environmental co-benefits, water and biodiversity, on the opportunity costs of REDD+.67 It is important to note that the chapter is not a definitive analysis of water and biodiversity. Rather we discuss the potential importance of water and biodiversity services within a context of estimating opportunity costs.
What are ecosystem services?
5. Ecosystem or environmental services are the “benefits that people obtain from ecosystems.” Forests, and lands in general, provide numerous beneficial ecosystem services that can be grouped into four basic types: provisioning, regulating, cultural and supporting (Table 8.1). This comprehensive framework of the Millennium Ecosystem Assessment (2006) includes services that are the focus of:
- **opportunity cost analysis**: most provisioning services,
---
67 Poverty reduction, enhanced social equity, human and indigenous rights and governance are all important REDD+ related topics that also have been categorized as co-benefits. For more on these see Brown, et al. (2008) and Meridian Institute (2009). For example, Gold Standard CDM credits emphasize carbon benefits with sustainable development benefits. For a CDM project to generate Gold Standard CDM credits, specific sustainable development criteria more stringent than UNFCCC requirements must be met. Such credits are voluntary and receive a price premium. For more information see: www.cdmgoldstandard.org/
6. The more tangible and direct benefits come from supporting and provisioning services. Less tangible, yet still substantial benefits, are cultural services and associated social relations and livelihood security. Given that they are indirect, such benefits are often overlooked. Considering such a range of benefits helps to develop a better understanding of the many contributions the water makes to ecosystems and society.
Table 8.1. Forest ecosystem services
| Ecosystem service | Examples |
|-------------------|----------|
| **Provisioning** | |
| Food | Non-timber forest products such as fruits, berries, animals |
| Water | Water supplies of domestic, industrial and agriculture |
| Fiber | Timber, hemp, silk, rubber |
| Fuel | Fuel wood, charcoal |
| **Regulating** | |
| Climate | Regulation of the global carbon cycle; local and regional climate regulation (albedo effects, regional rainfall etc) |
| Floods/drought | Reduction of surface water runoff |
| Disease | Reduced breeding area for some disease vectors and diseases transmission, such as malaria |
| Water | Hydrological cycle |
| **Cultural** | |
| Aesthetic | Scenery and landscapes |
| Spiritual | Spiritual significance to forests |
| Educational | Genetic resources, biodiversity |
| Recreational | Tourism |
| **Supporting** | |
| Nutrient cycling | Nutrient flows through atmosphere, plants and soils |
| Soil formation | Organic material, soil retention |
| Pollination | |
Source: Adapted from UN-REDD, 2009.
7. Ecosystem services are interdependent. The amount of one type of ecosystem service is often related to other services, especially with forest. High priority conservation areas tend to generate multiple services with strong inter-linkages. Nevertheless, studies have shown varying degrees of interdependence amongst services. In some cases, minor or inverse relationships exist, depending on the types of services. For example, co-costs or "dis-benefits" may arise from land management practices that increase carbon density. Biodiversity can be lower within monoculture forest plantations.
8. Identifying such potential negatives are important to consider within a national REDD+ strategy. Like co-benefits, co-costs are site-specific consequences and therefore best to analyze on a case-by-case basis.
How to estimate co-benefits?
A pragmatic approach
9. To effectively address ecosystem co-benefits at a national level requires both speed and accuracy.
Tier 1: Participate and Identify
10. A first step in evaluating co-benefits of forest ecosystems is specifying the ecosystem services to be examined. Given the wide array of potential services, priorities per country will likely differ. A broad cross-section of public agencies, NGOs, academia and civil society should be involved in the identification process to ensure national ownership.
Examples: national gap analyses conducted by Parties to the CBD.\(^{68}\)
Tier 2: Prioritize and Locate
11. A second step in evaluating co-benefits is to locate areas with high levels of ecosystem benefits. Such a process requires combining distinct opinions and diverse types of data. Global and regional analyses, presented below, can supplement or be adapted for national analyses.
Examples: biodiversity hotspots, catchments above urban centers.
Tier 3: Quantitatively Estimate Economic Values
12. A third step in estimating co-benefits is estimating their economic value. Such information will enable direct comparison across different ecosystem services. Nevertheless, economic values do not reflect all values of such services. Moreover, tradeoffs are often difficult to value. While economic values can guide policy decisions, other non-economic values, are likely to have influence.
Examples: Environmental service valuation and compensation schemes
Water co-benefits
13. Land use affects water and associated benefits in many ways. Table 8.2 summarizes a variety of water benefits drawn from two analytical frameworks: international river cooperation (Sadoff and Grey, 2005) and ecosystem services (Millennium Ecosystem Assessment, 2003). The ecosystem concept provides a comprehensive approach for analyzing and acting on the linkages between people and environmental services.
\(^{68}\) The CBD Program of Work on Protected Areas (PoWPA) Gap Analysis: a tool to identify potential sites for action under REDD+ http://cdn.www.cbd.int/doc/programmes/cro-cut/pa/pa-redd-2008-12-01-en.pdf
Table 8.2. Water benefits and services
| Types of benefit | Water benefits / services | Type of environmental service (contribution to well-being) |
|-------------------------------------------------------|-------------------------------------------------------------------------------------------|----------------------------------------------------------|
| Increasing benefits to water | Water quantity, quality, regulation, soil conservation, ecology/biodiversity | Supporting/Regulating |
| Increasing benefits from water | Hydropower, agriculture, fishing, flood-drought management, navigation, freshwater for domestic use | Provisioning |
| | Spiritual and religious, recreation and tourism, aesthetic, inspirational, educational, sense of place, heritage | Cultural |
| Reducing costs because of water | Cooperation instead of conflict, economic development, food security, political stability | Cultural (social relations and security) |
| Increasing benefits beyond water | Integration of regional infrastructure, markets and trade, regional stability | Cultural |
Source: White, et al. 2008, adapted from Sadoff and Grey (2005) and MEA (2003).
Identify benefits
14. Another way to look at water is from a watershed perspective. Such an approach also helps associate environmental services generated from a land use, especially forests. Land-use decisions can affect the provision of watershed environmental services. Bruijnzeel (2005) provides a review of forest-water linkages. Nevertheless, disagreements are common about the extent and nature of the effects (Calder, 2005; van Noordwijk, 2005). Forest – water linkages are also often debated with many scientific results countering common beliefs.\(^{69}\)
15. Land use affects watershed services by affecting:
- quantity or total water yield (streamflow)
- regularity of flow (regulation)
- quality of the water
- lack of sediment from erosion
- lack pollution from farm waste (e.g. manure) and fertilizer runoff.
16. The relative importance of the watershed service depends on the site-specific conditions, the type of land-use change, and on the type of water user located within the watershed. Different water users have different needs, thereby determining the type of water services required. For example, a domestic water supply system needs clean water and a regular flow. In contrast, water quality is much less of an issue for a hydroelectric power facility. Nevertheless, reducing sediment loads is important for storage reservoir.
\(^{69}\) This section largely based on Porras, et al. (2008) and Pagiola, personal communication, (2010).
Quantity or total water yield
17. Forests can reduce *annual flows* or *quantity* of water. Experiments based on observations and theoretical reasons confirm that increased evapotranspiration from forests reduces annual flows (Calder, 1999). Forests lose more water through evaporation than other shorter vegetation, including crops. In dry conditions, the deeper roots of trees enable forests to access to water in the ground. Therefore, water losses from forests are higher in dry climates. Experiments show that evaporation from eucalyptus forests can be twice as much than from agricultural crops.
18. Forests can also increase total flows of water. In the case of cloud forests, evidence suggests that increased water yields from cloud interception (fog droplets on vegetation, sometimes called horizontal rain) offset higher rates of evapotranspiration, (Bruijnzeel, 2001)
Regularity of flow
19. The impact of forests on *water flow regulation* is also unclear. The common view that forests act as “sponges” soak up and gradually release water is widespread, although not supported by extensive evidence. In theory, forests have two opposing effects on base-level flows: (1) natural forests tend to have higher water infiltration, which enables higher soil water recharge and increased dry season flows, and (2) increased interception and transpiration during dry periods that increase soil moisture deficits and reduce dry season flows.
20. Instances of deforestation reducing seasonal water supplies tend to be site-specific and due to different factors. The type of tree species, new land uses and associated management practices affect outcomes of forest – water flow relationships. Upper catchment cloud interception can also contribute to increased dry season flows (Bruijnzeel, 2001). However, research from Costa Rica indicates that the added capture may be relatively small versus other land uses (Bruijnzeel, 2005).
21. Common management practices of non-forest land uses is a primary cause of reduced water services. For example, where deforestation is associated with high soil compaction (from roads, paths or grazing land), water runoff may rise by more than evapotranspiration declines. Similarly, exposed soils from tillage and overgrazing often cause increased runoff along with soil erosion and downstream sedimentation.
22. Forest may help *reduce flood risks* in rain events of “regular-intensity.” The public perceives forests as having significant benefits in terms of reducing floods. In theory, forests may help to reduce flooding by removing a proportion of the storm rainfall and by allowing the build-up of soil moisture deficits through increased evapotranspiration and rainfall interception. Expected effects are considered to be most significant for small storms and least significant for the largest storms.
23. On the other hand, logging activities may increase floods through high impact harvesting, drainage practices, and road construction, resulting in increasing stream density and soil compaction during logging. Some early hydrological studies show few linkages between land use and storm flow. Recent evidence supports a positive relationship yet only exist in smaller catchments and during small events. Forest type and management affect the extent to which forests absorb excess water during rainy periods. In larger catchments, flooding occurs in numerous basins allowing for an averaging of flood waters. For prolonged and heavy storms, even large catchments will generate floods, but will likely occur even in forested catchments (Bruijnzeel and Bremmer, 1989).
**Quality of water**
24. The relationship between forest and *reduced erosion* is also not straightforward. A general belief exists that high water infiltration rates associated with natural and mixed forests will reduce surface runoff – and thus erosion. Moreover, tree roots can bind soils thereby reducing the susceptibility of soils to erosion, especially on steep slopes. Trees also help to reduce the impact of rain on soils, and thus reduce the dislodgement of soil particles. Evidence also suggests that forests are less important than other factors, such as ground cover, soil composition, climate, raindrop size, terrain and slope steepness, in determining erosion rates.
25. For any given set of conditions, however, a forested plot will typically cause less erosion. It is also important to note that water quality can also be affected by other factors unrelated to land use. Untreated effluents from urban centers or industries are a major source of contamination unrelated to forest conservation.
26. Forests *reduce sedimentation* in some circumstances. Sediment delivery depends on a range of site-specific factors, including: the size of catchments, local geology, topology, stability of river banks, and land uses and road networks (Chomitz and Kumari, 1998). Forests have two potential roles. One, forests tend to be less erosive than most alternative land uses. Degraded forests, however, can also be significant source of sediment. Two, forests located in riparian corridors can intercept sediment eroded elsewhere before it reaches waterways.\(^{70}\) Although changes in land use may have significant impacts on sedimentation, comparison is needed between existing levels and before land-use change. Very few empirical studies have taken account of all relevant variables.
27. The extensive root systems of forests is commonly believed to help hold soil firmly in place and *resist landslides*. Nevertheless, this notion only hold true mostly for shallow landslides. Large landslides are not necessarily correlated to the existence of forests.
\(^{70}\) This second role is un-mentioned in Porras, et al. (2008) review, but can be a very important one (Pagiola, personal communication).
28. Natural healthy ecosystems, including forests, help *maintain of aquatic habitats*. Forests positively impact the health of aquatic populations in rivers, lakes and along coasts through controlling sedimentation, nutrient loading, water temperature and water turbidity (Calder, 2005). In contrast, high sediment and nutrient loads from some agricultural land uses are particularly damaging, causing eutrophication and the development of algae blooms that starve aquatic life of oxygen and sunlight.
**Quantify benefits**
29. This section needs to end on a much more positive note, indicating the kinds of services that forests can generally be expected to provide, compared to the most common alternatives of pasture and cropland. I would put reduced erosion and higher water quality at the top of that list, followed by reduced risk of flooding at the local level, and improved dry season flow with a question mark.
30. Benefits from water ecosystem services can be estimated in many different ways. These range from local participatory approaches to data intensive global analyses. The Rapid Hydrological Appraisal tool (Jeanes, et al. 2006; van Noordwijk, 2006) mixes the two. The approach brings together knowledge of land – water linkages from computer-based landscape-hydrological simulation models with stakeholder perceptions of watershed functions. Using participatory rural appraisal techniques the tool explores stakeholders’ perceptions on:
- severity of watershed problems in relation to land use
- positive contributions generated from specific land-use practices
- the potential of compensation for supporting positive actions upstream.
31. The appraisal is developed over a six month period, and has five steps:
- month 1: inception and reconnaissance of stakeholders and issues;
- months 2–4: baseline (desktop) data collection of existing literature and reports;
- months 3–4: baseline (fieldwork) data collection: spatial analysis, participatory landscape analysis, surveys of local and policymaker ecological knowledge;
- months 3–5: data processing into modeling and preparation of scenarios;
- month 6: communications and refinement of the findings.
**Biodiversity co-benefits**
32. What happens to the opportunity costs of REDD+ when forests have a high biodiversity value? Since biodiversity of forests can generate economic benefits, the difference between the profits from forest and non-forest land uses is lower. Thus, the opportunity costs of a REDD+ program are less. Assuming that the landowners earn profits
from biodiversity, fewer funds need to be invested in order to compensate them for conserving the forest (and biodiversity).
33. Biodiversity can alleviate the need for REDD+ projects. In some high-profile biodiverse forests, the value of the forested habitat could exceed the value generated from any other land uses.\(^{71}\) Tourists, for example, are often willing to pay to see mountain gorillas or jungle wildlife in national parks. If biodiversity benefits are reflected in the returns that landholders generate from a given area, such benefits are not considered co-benefits as they can be included within opportunity cost estimates. Nevertheless, land tenure arrangements can complicate such calculations as many forests are protected areas, whereby locals have rights ranging from none to limited use.
34. Should a country consider biodiversity a co-benefit to itself or not? With water services generated by avoiding deforestation, associated improvements provide benefits within the country (e.g., cleaner water, lower flood risk, etc).\(^{72}\) Thus, it makes sense for a country to try to foster these benefits. In contrast, biodiversity is different. Most benefits are enjoyed outside the country. Much like the case of carbon sequestration, biodiversity is a primarily a global benefit. Therefore, a country would be unlikely to devote efforts to securing these benefits unless compensated for doing so.
35. Fortunately most countries have already prepared elaborate biodiversity conservation priority analyses, under their National Biodiversity Action Plans and other programs. Thus, REDD+ planners can utilize these existing plans by adapting associated maps to land use analyses of REDD+.
36. The range and complexity of plants and animals within a forest creates problems of biodiversity identification and quantification. Since the 1950s, debates on the measurement of biodiversity have remained at the center of substantial part of the ecological literature. This lack of consensus also has important implications for the estimating the value of biodiversity conservation. Any measure of cost-effectiveness used to guide investments in conservation must have some index or set of indices of biodiversity change (Pearce and Moran, 1994). Similarly, without accurate biodiversity co-benefit measures, REDD+ investments based on opportunity costs may not be justified. Issues of biodiversity measurement and valuation are discussed below.
**Identify biodiversity: What is biodiversity?**
37. *Biological diversity*, or *biodiversity*, is the variety of living plants, animals and micro-organisms on Earth. Biodiversity is used to describe a wide range of life: from genes to ecosystems. Biodiversity is different from the global stock of biological resources, a more
\(^{71}\) In such cases, the opportunity costs of REDD+ could theoretically be negative.
\(^{72}\) And sometimes by other countries, as with transboundary rivers.
anthropocentric term for forests, wetlands and marine habitats. Biological resources are typically known elements of biodiversity that maintain current or potential human uses.
38. Biodiversity is important for ecosystem stability and function. Ecosystem stability has two components: resistance and resilience. Resistance is the “shock-absorbing” capacity of an ecosystem, the ability to withstand environmental change. In contrast, resilience is the ability of an ecosystem to return to its previous condition or “bounce back” after it has been severely disturbed. Loss of biodiversity typically affects both ecosystem resistance and resilience.
39. Alteration or conversion of natural habitats into agricultural lands is a primary cause of rapid biodiversity loss.\(^{73}\) Conversion of forests severely changes or simplifies an ecosystem. Modern agricultural practices, often monocultures of crop production, are an extreme case of simplification.
40. The potential impacts of accelerated extinction and depletion of biodiversity may be discerned sooner and later. In the long term, processes of natural selection and evolution may be affected by a diminished resource base, simply because fewer species are being born. The implications of species depletion for the integrity of many vital ecosystems are not known. The possible existence of depletion thresholds, associated system collapse, and huge impacts in related social welfare, are potentially the worst outcomes in any time horizon. More immediately, the impoverishment of biological resources in many countries might also be regarded as an antecedent to a decline in community or cultural diversity (Harmon, 1992).
**Quantify biodiversity**
41. Finding measures of biodiversity that can be used for policy decisions remains challenge. A number of factors cause difficulties. Determining the presence of a species or ecosystem in a specific location is not a straightforward task. Neither species or ecosystems have clear distinguishing boundaries. Although numerous species have been and continue to be identified,\(^{74}\) at times the definition of a particular species or boundary between
\(^{73}\) Losses can also be caused by:
- excessive harvesting of particular species, especially of high economic value,
- consequence of invading alien species including diseases,
- impacts of pollutants,
- extinction of essential companion species (e.g., pollinators, fruit or seed dispersers),
- climate change.
These causes of loss are outside the scope of REDD.
\(^{74}\) Between about 1.5 and 1.75 million species have been identified (Lecointre and Le Guyader, 2001). Scientists expect that the scientifically-described species represent only a fraction of the total number of species on Earth. Many additional species have yet to be discovered, or are known to scientists but have not been formally described. Scientists estimate that the total number of species on Earth could range from about 3.6 million up to 117.7 million, with 13 to 20 million being the range most frequently cited (Hammond, 1995; Cracraft, 2002).
species is debated and subject to revision (Gaston and Spicer, 1998). Similar difficulties challenge ecosystems. While the identification of ecosystems has improved with geographic information system technology (World Resources Institute, 2009), distinctions between ecosystems can be difficult to determine. Furthermore, ecosystems can be a moving target as climate change can have widespread effects (UNEP, 2008).
42. In sum, measurement of biodiversity is complex. Biodiversity is a multi-dimensional in scale (ranging from genes to ecosystems) and has different characteristics or attributes. Three features of biodiversity are often used to measure biodiversity: structure, composition and function, each at a different scale (Box 8.1). Structure is the pattern or physical organization of the biological components. Composition is their identity or variety. Functions refer to the ecological and evolutionary processes.
**Box 8.1. Measurement approaches of biological diversity at different scales**
(adapted from Putz, et al., 2000)
| Scale | Structure | Composition | Function |
|-------|-----------|-------------|----------|
| **Landscape**<br>Regional mosaics of land uses, ecosystem types | Areas of different habitat patches; inter-patch linkages; perimeter-area relations | Identity, proportions and distribution of different habitat types | Patch persistence (or turnover); inter-patch flows of species, energy and other resources |
| **Ecosystem**<br>Interactions between members of a biotic community and environment | Vegetative biomass, soil structural properties | Bio-geochemical stocks | Processes, including biogeochemical and hydrological cycling |
| **Community**<br>Functional groups (e.g., guilds) and patch types occurring in the same area, and strongly interacting through biotic relationships | Vegetation and trophic* structure | Relative abundance of species and functional groups | Flows between patch types, disturbances (such as fires and floods), succession processes, species interactions |
| **Species/population**<br>Variety of living species and their component populations at the local, regional or global scale | Population age structure or distributions of species abundance | Particular species ** | Demographic processes such as death and recruitment. |
| **Gene**<br>Variability within a species: variation in genes within a particular species, subspecies or population | Heterozygosity or genetic distances between populations | Alleles and their proportions | Gene flow, genetic drift or loss of allelic diversity. |
* the position that an organism occupies in a food chain.
** can address issues of safe minimum standard.
Measurement indices
43. Species richness and species evenness are commonly used as measures of diversity (Magurran, 1988). Both indices are based on identifying and counting species. Besides the drawbacks of identification mentioned above, use of the index assumes that all species present in a plot can be counted. The total number of species, however, is too high and there is no assurance that each one has been found. To illustrate the difficulty, one cubic centimeter of soil contains so many microbes that years of analysis would be required to fully characterize them.
44. Since comprehensive biodiversity measurement is not feasible, an ongoing debate surrounds the question of which groups of organisms to sample. These subsets of biodiversity are considered a surrogate for overall biodiversity. Plants are important, as they are the primary producers in an ecosystem and animals depend on them for food, shelter, etc. Vascular plant species\(^{75}\) are relatively well known (e.g., compared to fungi).
45. Certain animal groups (e.g., birds and butterflies) have been well studied and are commonly used as indicator taxa. The choice of these animals, however, has usually been due to practical considerations like their visibility (and audibility in the case of birds), and the fact that their taxonomy and biology has been relatively well studied. Care should be taken when counting the number of animal species within a plot, whichever group has been chosen. Some individuals may be temporary visitors rather than actually resident in the plot. Furthermore, land uses with different vegetation can affect the visibility (e.g., more birds can be seen in an open grassland than in a densely-vegetated complex agroforestry system).
Compositional diversity
46. Species richness is the simplest measure of biodiversity. Richness (or diversity) refers to the presence or absence of species in a plot and the total numbers of species for a particular group. Box 8.2 presents analyses of species richness for three ASB sites. The Simpson Index is a measurement that accounts for the richness and the percent of each subspecies from a biodiversity sample within an area. The index assumes that the proportion of individuals in an area indicate their importance to diversity.
\(^{75}\) higher plants that have lignified tissues (e.g., ferns, bushes, trees).
Box 8.2. Plant species richness in tropical forest margins
ASB scientists used a minimum standard of data collected in all sites: the number of plant species per standard plot (40 x 5 m). The results from forest and forest-derived land covers in three continents are found in Table 8.3.
Table 8.3. Plant species richness of land uses in three ASB sites
| Land use | Brazil | Cameroon | Indonesia |
|---------------------------|--------|----------|-----------|
| Natural forests | 63 | 103 | 111 |
| Managed forests | - | - | 100 |
| Logged forests | 66 | 93 | 108 |
| Extensive agroforests | 47 | 71 | 112 |
| Intensive agroforests | - | 63 | 66 |
| Simple tree systems | 25 | 40 | 30 |
| Long fallow agriculture | 36 | 54 | 43 |
| Short fallow agriculture | 26 | 14 | 39 |
| Continuous annual crops | 33 | 51 | 15 |
| Pasture/grasslands | 23 | 25 | 11 |
| Intensive pasture | 12 | - | - |
47. Forests typically have significantly higher levels of plant species richness. Nevertheless, disturbances to forests can increase diversity. After logging, newcomers species can cause biodiversity estimates to be greater that estimates in pristine forests (Cannon, et al., 1998).
Structural diversity
48. Species evenness is a measure of structure. Evenness is the relative abundance with which each species are represented within a specified area. The Shannon-Wiener index takes into account subspecies richness and proportion of each subspecies. The index increases either by having additional unique species, or by having a greater species evenness. The index is also called the Shannon or the Shannon-Weaver index.
49. A species richness index can account for evolutionary differences amongst species by assigning weights to species taxa. Differences in genetic composition are determined by family tree. Nevertheless, taxonomic analysis is data demanding and may not be a feasible approach for biodiversity assessments.
Functional diversity
50. Measuring only species is often considered inadequate in estimating biodiversity. Examining functions, or how plants and animals have adapted to their environment, is a
useful concept in measuring biodiversity. Plant and animal are classified according to their functions: what they do and how they do it. For example, the classification of below-ground organisms can be based on groups of animals that perform decomposition functions within an ecosystem, turning fallen leaves into other soil organic matter. Birds can be classified into functional groups (guilds) depending on their eating habits (trophic interactions). Species pertain to certain ‘diet guilds’ depending on what they eat (e.g., fruit, nectar, insects or seeds), or into certain ‘foraging guilds’, depending on where they eat (e.g., in the tree canopy, understory vegetation, or on the ground). Land uses can be compared according to the percentage of species falling into each guild.
51. Plants can also be classified into functional groups. Adaptive traits (i.e. characteristics that plants have developed to exploit or cope with the conditions of a particular environment) are likely to be similar within similar ecosystems - on whichever continent. Therefore, similar functional types may conduct the same activities (and fill the same type of niche) in the forests of the Africa, Asia or Latin America. For example, across the continents, the first trees (pioneers), which grow in an open patch of land and have very large leaves, belong to different plant families. Yet, the functional types of plants are comparable across continents in different parts of the lowland tropics.
A composite approach to estimate biodiversity
52. The V-index estimates the similarity of a land use to natural forest. It is a vegetation index calculated using a set of plant-based variables that are highly correlated with land uses, plant and animal richness and soil nutrient availability (Gillison, 2000b). The index can be also used as an indicator of land use impact on biodiversity and is based on key vegetation structural, plant taxonomic and functional types (PFTs). The index is not a direct measure of biodiversity, but more an indicator to characterize habitats or sites. Nevertheless, the V-index does include measures of vegetation structure, which is important in determining biodiversity. The component measures used to calculate the V-index are:
- mean tree canopy height,
- basal area (m$^2$/ha),
- total number of vascular plant species,
- total number of PFTs or functional modi
- the ratio of plant species richness to PFT richness (species/modi ratio)
53. The index is calculated using a technique called multi-dimensional scaling. Results are scaled between 0.1 and 1, with 1 being the value of natural forest. Therefore, each value of the index representing a land use indicates how much that land cover differs from the local natural forest, which serves as the reference point. An advantage of the V-index approach is that measurements are easy to make in the field (with no hi-tech equipment). Nevertheless, a computer is needed to convert the individual measurements into an index measure. Step
by step instructions regarding which data to collect, how, and how to analyze with the software are found in the VegClass manual (Gillison, 2000b).
54. The V-index was calculated for a range of forest margin land uses in Cameroon, Indonesia and Brazil. The index corresponds closely with observed impacts of land use on biodiversity, crop production and associated time since tree clearing. For example, in all sites, the V-index tends to be highest for primary forest, decreases through secondary and logged-over forests, then complex agroforestry systems, tree plantations and fallow systems and is lowest in annual agricultural crop systems, grasslands and pasture. Complex agroforestry systems based on economically-valuable tree crops have a much greater similarity to forest than monoculture plantations of the same tree crops. In Cameroon, jungle cocoa has a larger V-index value than plantation cocoa (Figure 8.1). Similarly in Indonesia, the V-index value of jungle rubber is greater than that of plantation rubber (Figure 8.2).
**Figure 8.1.** V-index values of land uses in Cameroon.
RF: Rainforest; Raff. palm: Raffia palm; J. cocoa: jungle cocoa; Chrom: *Chromolaena odorata* (fallow); Cocoa PL: cocoa plantation (monoculture).
In summary, the V-index is a measure of the complexity of vegetation. Biodiversity is positively correlated with structural complexity and the number of ecological niches available for plants and animals.
Comparing biodiversity estimates at different scales
While diversity measures can be expressed per unit area, they cannot be converted easily to other units of area (Rosenzweig, 1995). In other words, estimates of biodiversity at the landscape level are not calculated by simply adding across a series of plot estimate. The same species may be found in a number of plots, and such a procedure would lead to multiple counting. As biodiversity is sampled over larger and larger areas of a particular ecosystem, the number of additional species observed will increase, but at a decreasing rate (Figure 8.3). Eventually the curve levels off, meaning that even though the area may increase, any new species will not be found.
Box 8.3. A cautionary note with species-area curves
Scaling relations (the shape of the species-area curve) may differ between types of vegetation (Figure 8.4), or between types of species. This may be due to fundamental differences in the ecology of the species or vegetation type. Therefore, comparison of species richness per plot is valid only for plots of the same size in two different land uses.
Figure 8.4. Species area curves for three land uses in Cameroon
Source: Gillison (2000a)
Another way to examine scalar relationships of biodiversity is to associate three types of diversity (Figure 8.5).
- Alpha diversity – is species richness within a particular area, community or ecosystem, measured by counting the number of taxa within the ecosystem (typically species).
- Beta diversity – is species diversity across ecosystems, comparing the number of taxa that are unique to each of the ecosystems.
- Gamma diversity – is species richness of different ecosystems within a region.
For analysis of tropical forest margins, ASB contrasted the biodiversity of land uses. To obtain results comparable across the sites, standard protocols were used. The methodology for choosing plots can be found in Gillison (2000b). The studies were complemented by a detailed baseline study in Indonesia, which collected detailed information on vegetation, birds, insects, soil animals and canopy dwelling species (Gillison, 2000a).
**Biological resources and conservation priorities**
Given the data requirements and difficulty of measuring biodiversity, biological resources (e.g., species and ecosystems) are often used as a surrogate in the development of conservation priorities and strategies. The species-area relationship in regions of high species richness is one rapid approach to identifying conservation priorities (Brooks, et al. 2006). When such hotspot areas are under threat of land conversion, priorities can become urgent. Nevertheless, the cost of conservation efforts may be high and chances of success low, thereby further confounding biodiversity conservation challenges.
Gap analysis is another method to identify biodiversity (i.e., species, ecosystems and ecological processes) that are inadequately conserved within a protected area network or
through other long-term conservation measures. Although the number and size of protected areas continue to grow, a large number of species, ecosystems and ecological processes are not adequately protected. Gaps come in three basic forms:
- **Representation gaps**: a particular species or ecosystem does not exist within a protected area, or examples of the species/ecosystem insufficient to ensure long-term protection.
- **Ecological gaps**: although the species/ecosystem is represented in an area, the occurrence is either of inadequate ecological condition, or the protected area(s) fail to address the changes or specific conditions necessary for the long-term species survival or ecosystem functioning.
- **Management gaps**: protected areas exist but management (objectives, governance, or effectiveness) do not provide adequate security for particular species or ecosystems.
61. Gap analysis is a process that starts by setting conservation targets. Next, biodiversity distribution and status are evaluated and compared with the distribution and status of protected areas. The CBD Program of Work on Protected Areas (PoWPA) gap analysis can provide mapping data and tools for REDD. For more on gap analysis and recent research results see Dudley and Parish (2006), Langhammer, et al. (2007) and IUCN publications.
**Value biodiversity**
62. Despite the importance of biodiversity, economic valuations are often complex, expensive and likely imprecise. To address these shortcomings, non-economic methods exist that help to examine public concern for biodiversity. Insights gained from public participation can complement benefit-cost approaches for policy decisions. Appendix E includes details on estimating the value of bio-diversity also the references below contain numerous sources.
**Co-benefits and opportunity costs**
63. Benefits of forests can be divided into three categories:
- on-site benefits (e.g., fuelwood, timber, non-timber forest products, tourism)
- off-site benefits
- within-country (e.g., protection of water services).
- outside-country (e.g., carbon sequestration and biodiversity habitat).
64. Within REDD+ discussions, off-site within-country benefits are typically termed: co-benefits of conserving, improving or establishing forests.
Here we present two sample “Tier 2” studies. Pagiola, et al. (2006) identify areas within the highlands of Guatemala that are important for water and biodiversity services. Such information can be used in conjunction with opportunity cost estimates to determine whether particular areas should be prioritized within a REDD+ program (Box 8.4). The second example of co-benefits maps comes from Tanzania (Box 8.5).
**Box 8.4. A national analysis of water and biodiversity benefits**
Spatial analysis of water and biodiversity can help identify priority conservations. For example, Pagiola et al. (2007) developed maps of water supply and biodiversity conservation priority areas in Guatemala. Maps contain a simple but useful amount of quantification, and could be made more complex if and when data become available. Figure 8.6 shows a relationship between municipal water supply systems and associated supply systems. Darker red areas highlight areas that serve more households per area of catchment. This calculation can serve as a potential indicator of water co-benefit.
*Figure 8.6. Municipal water systems and supply areas, Guatemala.*
*Source: Pagiola, et al. 2007.*
Box 8.5. National analysis of multiple benefits: An example from UN-REDD
An effective way to identify and document co-benefits is through maps. One example of a recent effort is from UN-REDD+ Program at the UNEP World Conservation Monitoring Centre (WCMC) and the Tanzania Ministry of Natural Resources and Tourism. A national-scale analyses of co-benefits and other factors was conducted, including population density, honey-beeswax-gum production, and mammal and amphibian species richness (Figure 8.7). In addition, a revised combined soil and biomass carbon map for Tanzania was produced (UN-REDD+ Program, 2009).
Figure 8.7. A combined NTFP priority areas and soil-biomass carbon map of Tanzania
Source: Miles, et al. 2009.
66. Naidoo et al. (2008) reviewed theory, data, and analyses needed to produce ecosystem services maps. Data availability allowed the quantification of imperfect global proxies for four ecosystem services: carbon sequestration,\textsuperscript{76} carbon storage,\textsuperscript{77} grassland production of livestock and water provision. Using this incomplete set as an illustration, ecosystem service maps were compared with the global distributions of conventional targets for biodiversity conservation.
67. Preliminary results show that regions selected to maximize biodiversity provide no more ecosystem services than regions chosen randomly. Furthermore, spatial concordance varies widely amongst different services, and between ecosystem services and established conservation priorities. Nevertheless, “win–win” areas of ecosystem services and biodiversity can be identified, both among eco-regions and finer scales. An ambitious interdisciplinary research effort is needed to fully assess synergies and trade-offs in conserving biodiversity and ecosystem services. Comparisons of these attributes of land use changes can reveal tradeoffs and synergies useful for understanding the potential role of REDD+ policy to foster desired outcomes.
An example of co-benefit analysis
68. Although the value of co-benefits is very difficult to estimate and even more challenging to convert into per hectare values, opportunity cost analysis can guide where:
a. quantification and perhaps valuation efforts are priority,
b. the identification of land uses to include in a REDD+ program.
69. Figure 8.8 contrasts five emission abatement situations with different abatement costs and water co-benefits. For the purposes of illustration, these situations refer to a change from forest to agricultural land use with co-benefits from downstream water quality and availability. In order to directly compare both carbon and water benefits, the same unit of analysis must be used. This example converts the typical $/ha estimate of water co-benefits to a $/tCO2e measure (requires dividing the water co-benefits by the associated tCO2e of the land use). Water co-benefits can be considered REDD+ cost reductions, as represented by lighter green area.
70. Options A, B, and C have REDD+ costs less than the price of carbon (Pc). In contrast, option E has REDD+ costs higher than Pc. Only options A, B, D and E have water co-benefits. Even without the water co-benefits Options A, B and C would be priorities for REDD+ program inclusion given their low REDD+ costs. With the large water co-benefits, options B and D would be more of a priority that option A.
\textsuperscript{76} Net annual rate of atmospheric carbon added to existing biomass carbon pools.
\textsuperscript{77} Amount of carbon stored in vegetation both aboveground and belowground.
Figure 8.8. Identifying priority co-benefit analyses
Adapted from: Pagiola, 2010 personal communication.
71. Options D and E have higher REDD+ costs than the carbon price and would normally not be included in a REDD+ program. With consideration of water co-benefits, however, the option D would viable. Estimating benefits is more important for the case where the REDD+ costs exceed the price of carbon. In cases where the carbon costs are less than carbon price (Options A, B, C, D), estimation of co-benefits is less of a priority.
72. With respect to biodiversity co-benefits, an analysis would be similar – except that benefits can rarely be realized by a country. Protecting high biodiversity areas typically generate benefits outside the country (especially if tourism is not linked to biodiversity). Within Figure 8.8, avoiding deforestation in Area E based on carbon payments and water co-benefits may not be in the best interest of the country. The alternative land use poses greater benefits. Nevertheless, the country could try to attract a biodiversity-oriented donor to complement the carbon payments in order to make conservation viable.
Conclusion
73. The value of co-benefits can be substantial and greatly affect the opportunity cost estimates of REDD+ projects. Whether to or how to recognize water and biodiversity benefits within REDD+ policies is still being discussed (Ebeling and Fehse 2009; Pagiola and Bosquet, 2009). Though a REDD+ mechanism offers opportunities to achieve both carbon and other co-benefits, the limitations of a REDD+ mechanism to act as a panacea for biodiversity loss or water problems needs to be challenged. Overemphasis on non-climate change objectives within a REDD+ mechanism comes with a risk of raising transaction costs, potentially reducing the ability to conserve forests.
Specific suggestions for policy-makers include the following:
- **Biodiversity**\(^{78}\)
- Develop a national information base on national biodiversity to increase the likelihood of achieving and maximizing a range of biodiversity co-benefits in REDD. Biodiversity-targeted funding can then have better understanding of biodiversity and aim to complement REDD+ financing, such as focusing in areas with high biodiversity and low carbon benefits.
- Link on-going REDD+ demonstration activities with biodiversity performance assessments of monitoring, reporting and verification. This will enable the analysis, comparison, and evaluation of different approaches and methods used to promote biodiversity co-benefits in a REDD+ context. Lessons learned during the implementation of these REDD+ demonstration activities can ultimately feed into the international and national level policy-making processes.
- Establish a technical working group on REDD+ biodiversity co-benefits to develop best-practice guidelines and principles, including indicators for biodiversity. Such a group could also help guide the policy decisions and implementation REDD+ activities at the national, regional and/or local levels.
- **Water**
- Establish an national information base (e.g., inventories, maps) of water resources to increase the likelihood of achieving and maximizing water co-benefits in REDD. Water-targeted funding can then work within a REDD+ context, in order to focusing on areas of important water services (e.g., upper catchments).
- Support and review efforts in modeling water ecosystem services and link government decisions with national REDD+ policy development and implementation. The clarification of diverse water services (e.g., flow regulation, water quality, etc.) will help policymakers prioritize government investments and actions.
- Establish a technical working group on REDD+ water co-benefits to develop best-practice guidelines and principles, including indicators for water services. Such a group could also help guide the policy decisions and implementation REDD+ activities at the national, regional and/or local levels.
---
\(^{78}\) Adapted from Karousakis (2009).
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Chapter 9. Tradeoffs and scenarios
Objectives
1. Discuss tradeoff and synergies associated with REDD+ policy
2. Present methods to conduct scenario analyses to address uncertain future policy and economic contexts.
Contents
Tradeoffs ......................................................................................................................... 9-2
Scenarios ......................................................................................................................... 9-5
Tradeoffs
1. A tradeoff is a situation involving a loss of one thing with a gain in another. Win-lose situations are tradeoffs. They are often depicted with two dimensional graphs, by an inverse relationship (or downward slope of points) displaying the tradeoff. The axes of the graph are in typically in physical units of the good or service.
2. The relationship between profits from and carbon within different land uses is an example of a tradeoff (Figure 9.1). The horizontal axis represents carbon content of a land use (t/ha); the vertical axis corresponds to profits of a land use ($/ha). Natural forests, in the lower right-hand section, have high carbon stocks but low profitability. Agricultural crops, in contrast, have low carbon and high profitability. Some land uses, such as extensive cropping and cattle raising in this example, do not represent a tradeoff since they have both low carbon and profitability. More importantly, there are no apparent “win-win” high-carbon with high-profit land uses, as evidenced by no examples in the upper-right portion of the graph.
3. Many other REDD-related tradeoffs exist, for example, between profits and biodiversity co-benefits and profits and water co-benefits. Table 9.1 summarizes likely relationships, tradeoffs (−) or complementarities (+), between profits, employment, carbon, biodiversity and water. Instead of being tradeoffs, relationships between carbon, water and biodiversity are likely to be positive, also between profit and employment. A larger amount of one of these goods and services is likely to be linked with larger amounts of the other.
Generally, the human goods/services of profits are inversely related to the natural goods/services of carbon, biodiversity and water.
Table 9.1. Likely tradeoffs and complementarities of goods & services from land uses
| | Employment | Carbon | Biodiversity | Water |
|----------------|------------|--------|--------------|-------|
| Profit | + | - | - | - |
| Employment | - | - | - | - |
| Carbon | | | + | + |
| Biodiversity | | | | + |
4. A well-known tradeoff exists between profitability and biodiversity conservation. Farmer efforts to increase crop productivity often decreases biodiversity. Consequently, farmers may be unwilling to tolerate plant diversity and will remove trees and weeds in order to improve profit margins. Such productivity gains often occur in both agricultural monocrops and mixed land use systems. In rubber agroforests of Indonesia, for example, the number of rubber trees per unit area increased rubber production. Meanwhile, the number of other tree species decreased correspondingly (Lawrence, 1996). Extreme, yet common, cases are where economically-important agricultural crop or tree species are grown as monocultures.
5. At a landscape level, conservation and development objectives can become less clear. The spatial arrangement of land uses types can raise the question of how to achieve optimal levels of biodiversity within a landscape. Let’s illustrate this point with an example. An entire landscape of monoculture oil palm has less biodiversity than a landscape containing a mixture of different-aged forests of native species within a mosaic of smallholder farms.
6. A ‘segregated’ option is to keep agriculture and forest completely separate: the forest untouched (with high biodiversity), and intensive agricultural production using monocultures e.g., oil palm, rubber, foodcrops with high intensity use of inputs (very low biodiversity). In contrast, an ‘integrated’ option incorporates/conserves as much biodiversity as possible in the farms within the landscape e.g., in fallows, complex cocoa agroforests, or multistrata agroforestry systems (including Brazil nut, mahogany, peach palm etc.).
7. The consequences for biodiversity of the segregate-integrate choices are of a mixed nature (Table 9.2). On the agricultural side of a ‘segregated’ landscape, the main benefits of agrobiodiversity may focus on the prevention or control of outbreaks of pests and diseases along with pollination. Yet, at the same time, forest animals can damage crop harvests.
Table 9.2. Biodiversity benefits: segregated versus integrated landscapes
| Segregated - Agriculture | Segregated - Natural forest | Segregated landscape with Ag + Forest | Integrated - Agroforestry mosaic |
|--------------------------|----------------------------|--------------------------------------|----------------------------------|
| Agrobiodiversity mainly relevant for pest and weed control | Large reserves desirable to maintain viable populations | Sharp (fenced) boundaries reduce conflict but create isolated and potentially unviable populations | Agrodiversity provides benefits or has relatively little negative impacts on human activities |
Adapted from: Williams, et al. 2001.
8. Although economic – environmental tradeoffs may exist, the magnitude of the losses versus the gains can reveal opportunities for beneficial, and perhaps optimal, compromises. In some instance, it is possible to achieve a substantial gain with a small loss. Such insights into relationships help reveal the consequences of different policy options.
Spreadsheet analysis exercise
9. Let’s examine a number of tradeoffs and complementarities. The worksheet entitled Tradeoffs (in the SpreadsheetExercisesREDDplusOppCosts.xlsm file, or see Appendix F for a view) is a simplified version containing four land uses and compares three attributes of the land uses: profits, carbon and employment. The study context is the Peruvian Amazon. Data inputs are per ha estimates for carbon, profit and workday per land use. Outputs are three tradeoff graphs: profitability vs. carbon, profitability vs. employment and employment vs. carbon. Adjustments to the data within the land use legend will affect the associated graphs.
10. While profitability and employment reveal a complementary relationship, both comparisons of profitability vs. carbon and employment vs. carbon are tradeoffs. Agriculture and agroforestry land uses generate more profits and have less carbon than logged and natural forests. In this example, agroforestry generates both greater profits and has higher carbon content than agricultural land uses. Therefore, given these criteria agroforestry would be a preferable policy option. Nevertheless, such broad conclusions are based on two specific criteria. Many other criteria exist that make agriculture a valuable land use, such as the importance of staple food produced and ability to generate earnings without a lag time. (See Chapter 6 for further explanation.)
Scenarios
11. In simple terms, scenarios are logically-consistent and realistic stories about the future. Scenarios can account for a variety of possible futures and their associated uncertainties. Scenarios encourage us to open our minds in order to consider the range of changes or surprises that could occur in the future and think about their impacts. They go far beyond a “business as usual” approach, where we anticipate the future by looking at the past. Thus, scenarios can help to improve the understanding of decision-makers about the potential consequences of decisions taken today.
12. While sensitivity analysis (in Chapter 7) considers the effects of marginal changes in specific parameters of land uses both biophysical (e.g. carbon content) and economic (e.g., prices of outputs, efficiency of production, costs of inputs and net present value), scenario analysis can consider changes in groups of parameters due to overall economic changes, the introduction or prohibition of specific land uses, or alternative rules regarding the eligibility of land uses and land use changes for mitigation payments. Possible scenarios include:
- **Large shifts in relative prices due to changes in the world commodity markets.** An example contrasts is a high price scenario (2008), and a low price scenario (2006). Such scenarios need to be translated into sets of adjusted price parameters.
- **Shifts in relative prices due to domestic or international policies.** For example, biofuel policies have potential to shift prices for oil palm or sugar cane.
- **Changes in property rights.** Uncertainty in property rights can be captured in NPV analysis through explicit adjustments to NPV estimate, where expectations explicitly recognize the probability of a land user being able to invest and capture increased future revenues. In the Sumberjaya area of Indonesia, for example, farmers are less than certain that they will be able to benefit from land investments.
- **Policy-induced changes in returns to alternative land uses.** Policies can foster technology change and thereby affect production efficiency. Examples include improved access to fertilizers in Africa, export taxes (cocoa in Ghana) and subsidies (e.g., Malawi’s agricultural input subsidy programs)
- **Carbon market scenarios.** A possibility exists for farmers to be compensated for the carbon value of all or some land use types (e.g. AFOLU).
- **Different national land and forest use policies.** Avoided deforestation policies may decree and enforce the protection of certain land types (e.g.,
primary forests) that can be reflected in changes in the land use transition matrix.
- **Different carbon estimates.** Increased accuracy or removal of systematic bias in carbon measurements (e.g., LIDAR, improved allometric equations or wood density estimates).
- **Different carbon prices.** Risk of permanence may affect carbon price, and market prices may fluctuate.
13. Scenarios introduce creative thinking about driving forces of land use change and their potential impact. Scenarios can create awareness about current and future land use, as well as serving as a synthesis tool, where different types of knowledge are combined in different formats, using both quantitative and qualitative information/methods. For example, local knowledge on the driving forces of deforestation is key for scenarios to be credible and plausible. Scenarios can also help identify potential threats, uncertainties, conflicts, as well as opportunities that a community could be facing in the future. Key steps in scenario analysis include:
1. Identification of actors involved (stakeholders) and selection of participants to the participatory scenarios exercise,
2. Start the participatory scenarios process: Identification of focal questions including the goal / objectives of the analysis,
3. Identification of context and driving forces of change,
4. Develop the scenarios (storylines),
5. Description of the scenario, possible causes and implications for parameter values (changes in C, P, or elements of the land use transition matrix)
6. Analysis across scenarios:
- Derivation of the opportunity cost estimate based on different scenarios
- Comparison of results with the base scenario
7. Map the results of the scenario and compare the map results for the base case.
8. Interpretation of results and implications.
14. A combination of tools and methods, quantitative and qualitative can be used at any of the stages in scenario development above. The process could be based on expert knowledge or be developed as a participatory process in which all actors are involved. While expert knowledge of parameters is likely to be easier, cheaper and faster at Tier 1 level, expensive and comprehensive scenario modeling may be more appropriate at a Tier 3 level. In some cases, it can be argued that the best way for determining priority parameters and their likely range is via a participatory process. The choice of methods depends on each country given the skills, capacity and the resources available.
Exercise: the effects of different REDD+ eligibility rules
15. The spreadsheet **Eligibility filter** presents a quick analysis of how REDD rules will affect eligibility of different land use changes (in SpreadsheetExercisesREDDplusOppCosts.xlsm). Changes to the yellow highlighted cells reveals REDD+ policy effects on 11 categories of land use.
16. Given that no clear rules exist for REDD+, examining their potential effect is useful for national policy planning. Although discussions point toward agreement on conservation, sustainable management of forests and enhancement of forest carbon stocks as being eligible within REDD+, clarification on the eligibility of specific land uses is still needed.
17. Other issues include whether or not REDD+ will be part of National Appropriate Mitigation Actions (NAMA). If REDD+ becomes part of NAMA, then REDD+ policy would be equivalent to REDD++, AFOLU – Agriculture Forestry and Other Land Use or REALU – Reduced Emission from All Land Use, as described in the literature.
18. Thus, four types of approaches, RED, REDD, REDD+ and REALU are possible outcomes of a UNFCCC policy agreement. The implication of eligibility conditions under these four versions can be illustrated by identifying appropriate parts of a land cover change matrix (Figure 9.2).
- RED = Reducing emissions from (gross) deforestation: only changes from ‘forest’ to ‘non-forest’ land cover types are included; details depend on the operational definition of ‘forest’
- REDD = RED + (forest) degradation, or the shifts to lower C-stock densities *within* the forest; details depend on the operational definition of ‘forest’
- REDD+ = REDD, + restocking within and towards ‘forest’; in some versions RED+ will also include peatlands, regardless of their forest status; details still depend on the operational definition of ‘forest’
- REDD++ = REALU = AFOLU, all transitions in land cover that affect C storage, whether peatland or mineral soil, trees-outside-forest, agroforest, plantations or natural forest. No dependence on operational definition of ‘forest’
19. The approach to estimate opportunity costs within this manual could be selectively applied to any of the four versions. The eligibility filter works in conjunction with the land cover change matrix that is used in the opportunity cost estimation.
Figure 9.2. Comparisons of eligible land use changes per RED to REALU rules
Note: Land use change is from the initial state in the first column to a land use in one of the other columns. Eligibility of changes is indicated with colors (orange = permitted, blue = excluded)
Chapter 10. Conclusions and next steps
Objectives
1. Identify and discuss how to review and update the opportunity cost analyses,
2. Discuss how to communicate the results,
3. Present the next steps related to opportunity cost analysis and REDD+.
1. This manual has presented a bottom-up approach for estimating the opportunity costs of REDD+. The steps include:
- Analyzing land use change and generating land use change matrices,
- Estimating time-averaged carbon stocks of land uses,
- Estimating the profitabilities of land uses,
- Calculating opportunity costs and generating opportunity costs curves
- Interpreting the cost curves and conducting sensitivity analysis
2. In addition, the manual has presented how to:
- Examine water and biodiversity co-benefits,
- Identify and prioritize specific abatement options (land use change contexts) where co-benefits can substantially affect opportunity cost estimates,
- Estimate the economic value co-benefits,
- Review possible tradeoffs amongst carbon sequestration, biodiversity and water priorities.
- Develop scenarios of future national development and conservation paths,
- Examine the effects of different REDD+ eligibility rules,
3. In this chapter we explain how to review and update an opportunity costs estimates, effectively communicate results and identify next steps for opportunity cost analysis within national REDD+ efforts.
What opportunity costs reveal, and what not?
Opportunity costs are only one part of REDD+ costs
4. Opportunity costs are only part of the costs of REDD+. For many countries, opportunity costs could be largest of REDD+ costs (see Figure 1.1). Hence, getting a full picture of costs requires estimating all other associated costs and constructing REDD+ supply curve. Nevertheless, the opportunity costs estimates of land use changes, described above, is a significant step to understanding the cost implications that come with REDD+ participation.
The analysis is retrospective
5. The methodology presented is based on actual land uses. Although these land uses may not adequately represent future, higher-value land uses, estimates of their opportunity costs provide a useful starting reference for further analysis and estimation. Profits from land uses depend largely on soil fertility, management practices and market access, each of which can be adjusted to reflect likely future circumstances. Furthermore, the effect of new technologies and associated land uses can also be explored. Such information will become available as more countries estimate opportunity costs. Countries can use such Tier 1 type of information to develop “new” land use trajectories within scenario analyses.
No partial or general equilibrium effects are included
6. The above method of opportunity cost analysis generates simple, tractable estimates of the cost of REDD+ programs to landowners. The approach, however, does not account for global feedbacks of REDD+ that will likely affect prices and costs across a broad spectrum of land uses and economic sectors.
7. Additional analysis is required since the reach of REDD+ could be far. For example, global food and energy prices could be affected as the value of land rises. Such inter-sectoral linkages between forestry, agriculture and energy (especially with respect to biofuels) will likely impact opportunity costs. While partial and general equilibrium models deal can better estimate such complex and indirect effect, the method in this manual can provide useful first approximations via scenario analyses, whereby prices of timber and agricultural products are raised in order to estimate the effect on opportunity costs.
A qualitative valuation of co-benefits
8. This study limits the valuation of co-benefits to qualitative measures within an analysis of trade-offs. Sophisticated and expensive valuations of water, biodiversity, scenic beauty, and other co-benefits would provide potentially more accurate estimates of REDD+ opportunity costs. Nevertheless, methods to quantitatively estimate such co-benefits are not without substantial limitations and costs. Qualitative assessments of co-benefits can
help policymakers identify priority areas and land uses for special consideration within REDD+ programs.
**Next steps**
**Updating an opportunity cost analysis**
9. Since opportunity cost information can be time-sensitive, analyses should be updated periodically. National REDD+ analysis teams should review land use changes, technologies, management practices, carbon estimates and prices in order to help ensure the validity of opportunity cost estimates.
10. A second reason for updating the opportunity costs is related to the availability of analytical methods and data quality. For example, countries may start either at Tier 1, 2 or 3 have. Depending on where a country starts, updates and improved accuracy may be achieved accordingly. Consider the following examples:
1. A country begins an opportunity cost analysis at Tier 1, using default values and simple tools. The uncertainties of estimates are likely to be much higher, requiring that more data collected over time to improve accuracies. This is likely to be the case for most data-scarce developing countries within the FCPF and UN-REDD+ program.
2. A country starts estimating opportunity costs using a combination of default values and representative data from the area / country concerned, thereby achieving Tier 2. Such countries will need to continue collecting more data on the ground in order to improve accuracies and build models in order to achieve Tier 3.
3. A more developed country estimates opportunity costs at Tier 3 using complete and detailed data sets. Such countries will still need to update the estimates using updated prices, land use changes and policy changes.
11. One question that arises is: *when or how often should opportunity costs be updated?* A quick answer would be it depends on the rate of change within the given analytical context (i.e., landscape or a country). Although some may argue for regular updates, the associated expenses, however, could be prohibitive. In addition, such a procedure could also lead to revisions of only a sub-set of data required (e.g. land use, carbon, profits). The mixing of newer with older information could bias a comparisons across opportunity cost estimates. Therefore, updates should be comprehensive.
12. REDD+ policy and/or carbon markets may reward or even require updates of deforestation drivers and opportunity cost estimates. Such revised analyses could help identify pressures on forests potential areas of concern, such as where opportunity costs become significantly higher. These areas may require extra policy measures to assure compliance.
Communicating the results from opportunity costs analysis
13. Effective communication tactics can help assure the use of opportunity cost estimates within the policy and decision-making arena. Since analytical methods and even the concept of opportunity costs itself can be difficult to understand, particular approaches within a range of options may be more effective. Such options include:
1. Writing, printing and disseminating an executive summary of an opportunity cost report;
2. Synthesizing the study into a policy briefs, which are published and widely-distributed;
3. Presenting results at different science-policy and stakeholder forums;
4. Sharing results and their potential implications with popular media (newspapers, trade magazines, radio, television)
5. Involving policy makers in the opportunity cost analysis. (Within a Tier 3 context, modeling approaches of various policy scenarios can be collaboratively explored. For either a Tier 1 or 2 approaches, demonstrations and reviews of analytical results improve mutual understanding and help identify priority policies to develop and implement.)
14. In the communication process, key discussion questions are important to identify and address, such as:
a. Who are the likely winners and losers from REDD+?
b. How large are the other costs of REDD+? How do they differ within the country and per land use change?
c. At what price could most deforestation in the area be averted?
d. Which areas and land uses will be most / least affected by REDD+?
e. What aspects of the environment or the economy are likely to be most impacted by REDD+?
f. Will REDD+ affect food and fiber production at the national level?
g. What level of productivity increases must be achieved to offset production forgone from not expanding cultivate area?
h. What national policies are needed to achieve reference emission levels in the future?
15. The sharing of results and discussion of implications can help both policymakers and public understand the potential benefits and costs of REDD+ participation. Feedback from stakeholders could also improve the accuracy, precision and relevance of results.
Chapter 11. Appendices
Contents
A. Glossary .................................................................................................................. 11-2
B. Required capacities for a national monitoring system of emissions ................... 11-7
C. Allometric equations ............................................................................................... 11-9
D. Steps to calculate time-averaged carbon stock: from plot to land use .............. 11-11
E. Methods to estimate the economic value of biodiversity .................................... 11-13
F. Spreadsheet examples ............................................................................................ 11-17
G. Example analysis using REDD Abacus ................................................................. 11-20
A. Glossary
Definitions to important words and terms:
**Above ground biomass.** Biomass above the soil surface: trees and other vegetation.
**Accounting stance.** The viewpoint from which costs and benefits are calculated. Typical accounting stances for analyzing REDD+ initiatives are that of: an entire country, individual groups within a country, the government, and global community.
**Additionality.** The reduction in emissions by sources or enhancement of removals by sinks attributable to a project/program activity. (Modified from Climate Change 2001: Mitigation. http://www.grida.no/climate/ipcc_tar/wg3/454.htm).
**Allometric equation.** Scaling rule or equation that relates tree biomass (or similar properties) to stem diameter and/or tree height.
**Attribute table.** A database or tabular file with information linked to distinct features shown on maps; can refer to points, lines or polygons in a vector GIS or grid cells in a raster GIS.
**Basal area.** The cross section area of a tree stem in square cm commonly measured at breast height inclusive of bark ($3.14 \times \text{radius}^2$)
**Baseline.** A reference scenario, the basis for comparison, against which a change in carbon stock/greenhouse gas emission or removal is measured (IPCC Special Report on Land Use, Land Use Change and Forestry. http://www.ipcc.ch/pdf/special-reports/spm/srl-en.pdf).
**Below ground biomass.** Biomass below the soil surface: plant roots and other soil biota.
**Biomass.** The total mass of living organisms including plants and animals for a given area usually expressed as dry weight in g m$^{-2}$ or kg ha$^{-1}$. Organic matter consisting of or recently derived from living organisms (especially regarded as fuel) excluding peat. Includes products, by-products and waste derived from such material.
For most ecological research and for the purposes of this manual, "biomass" is a vegetation attribute that refers to the weight of plant material within a given area. Another commonly used term for biomass is "production" which refers to how much vegetation is produced in an area.
**Capital.** Also known as financial capital. Money and savings.
**Carbon budget.** The balance of the exchanges of carbon between carbon pools or within one specific loop (e.g., atmosphere –biosphere) of the carbon cycle.
**Carbon dioxide equivalent.** A measure used to compare different greenhouse gases based on their contribution to radiative forcing. The UNFCCC (2005) uses global warming potentials (GWP$s$) as factors to calculate carbon dioxide equivalent.
Carbon stocks. Total carbon stored (absolute quantity) in terrestrial ecosystems at a specific time, as living or dead plant biomass (above and below-ground) and in the soil, along with usually negligible quantities as animal biomass. The units are Mg ha\(^{-1}\).
Carbon pool. A reservoir or subsystem which has the capacity to accumulate or release carbon. Examples of carbon pools are forest biomass, wood products, soils and the atmosphere. The units are mass (kg ha\(^{-1}\) or Mg ha\(^{-1}\)).
Carbon sequestration. The process of increasing the carbon content of a carbon pool other than the atmosphere.
Charcoal. Blackish residue, porous, consisting of impure carbon (about 85-90% C) obtained by removing water and other volatile constituents of animal and plants substances. It is usually produced by heating wood in the absence (or at low levels) of oxygen.
Classification system. A framework to arrange objects into groups, called classes, on the basis of characteristics. Classifications are based on criteria used to distinguish classes and the relationship between them. The definition of class boundaries should be clear, precise, possibly quantitative, and based upon objective criteria (FAO LCCS handbook, 2000).
Country-specific data. Data for either activities or emissions that are based on research carried out on sites either in that country or otherwise representative of that country.
Discount rate. A rate reflecting a time-preference at which the value future profits are reduced in a multi-period analysis.
Emissions. The release of greenhouse gases and/or their precursors into the atmosphere over a specified area and period of time (UNFCCC Article 1.4).
Enterprise budget. A detailed accounting of revenues and expenses related to a business (e.g. land use) activity.
Good Practice. A set of procedures intended to ensure that greenhouse gas (GHG) inventories are accurate in the sense that they are systematically neither over- nor underestimates so far as can be judged, and that uncertainties are quantified and reduced so far as possible. *Good Practice* covers choice of estimation methods appropriate to national circumstances, quality assurance and quality control at the national level, quantification of uncertainties and data archiving and reporting to promote transparency.
Ground truth. A remote sensing term referring to the actual condition of the Earth surface as determined by field visits.
Land cover. The classification of the biophysical surface of the Earth, comprising vegetation, soils, rocks, water bodies and areas built by humans.
Land use (LU). The classification of human activities, occupation and settlement of the land surface; e.g., annual crops, tree crops, plantations, urban, conservation area, etc.
Land use legend. The key to features in a classification system on a map, expressing each class as distinct colors, patterns or descriptions. In this manual, classes and sub-classes in a land cover legend to are matched with LUs.
Land use classification system. A framework for organizing land uses according to characteristics that differentiate them and make them unique (forests, agriculture, pastures, urban, etc)
Land use system (LUS). Dynamic characteristics and interactions in activities across space and time on the Earth surface. The word *system* refers to sequential cyclical changes that are part of a land use, such as the crop/fallow rotation in shifting cultivation systems. For the sake of brevity, the term *land use* is employed throughout the manual.
Landscape. A non-exact area of land. A portion of land or territory which the eye can comprehend in a single view, including all the objects it contains.
Leakage. Changes in emissions and removals of greenhouse gases outside the accounting system that result from activities that cause changes within the boundary of the accounting system. There are four types of leakage: activity displacement, demand displacement, supply displacement, and investment crowding. If leakage occurs, then the accounting system will fail to give a complete assessment of the true aggregate changes induced by the activity. ([IPCC Special Report on Land Use, Land Use Change and Forestry](http://www.ipcc.ch/pdf/special-reports/spm/srl-en.pdf))
Minimum mapping unit (MMU). The smallest homogeneous area, or unit, that can be distinguished from remote sensing data and associated map. The MMU is dependent on the resolution of the imagery. Higher image resolution enables smaller, precise MMUs.
Mixed mapping unit. A mapping unit that represents a combination of LUS units. Because of insufficient spatial resolution, units are combined into a class that represents two or more land covers or land uses.
Mortality/ Tree mortality. Dead trees per area.
Necromass or Dead Organic Matter. The weight of dead organisms, usually expressed as g m\(^{-2}\) or kg ha\(^{-1}\). Necromass consists mainly of plant litter. It is usually on the soil surface or in the soil, but some may take the form of standing or attached dead material. Much of the transient or lag in response to rapid climate change by forest ecosystems can be estimated by the difference between tree regeneration (tree natality) and tree mortality. Annual necromass increments result from individual tree mortality within stands and from larger-scale disturbance and dieback events (fires, insect infestations, disease infestations, wind throw). In addition, a significant portion of the carbon stocks which comprise stored terrestrial carbon of forest and non-forest communities is in the form of necromass.
Net present value (NPV). The present value of an investment's future net cash flows minus the initial investment.
Net returns. See profit.
Organic matter (or organic material). Matter that has come from a once-living organism; is capable of decay, or the product of decay; or is composed of organic compounds.
Peatland. Peatland is the land rich in partly decomposed plant remains, with organic C of >18% and thickness of >50 cm. Peatland is intrinsic to many wetlands around the world. The tropical peat is about 1 to 7 m thick and at places it can be 20 m thick. Moss, grass, herbs, shrubs and trees may contribute to the buildup of organic remains, including stems,
leaves, flowers, seeds, nuts, cones, roots, bark and wood. Peat forms in wetlands or peatlands, variously called bogs, moors, muskegs, pocosins, mires, and peat swamp. Through time, the accumulation of peat creates the substrate, influences ground-water conditions, and modifies surface morphology of the wetland.
**Permanence.** The longevity of a carbon pool and the stability of its stocks, given the management and disturbance environment in which it occurs. [http://www.ipcc.ch/pdf/special-reports/spm/srl-en.pdf](http://www.ipcc.ch/pdf/special-reports/spm/srl-en.pdf)
**Profit.** Net returns, or revenues minus costs.
**Raster GIS.** represents the Earth surface as a grid of cells of uniform area, each holding information on characteristics of its respective geographic area; useful for continuous data such as satellite imagery or climate and elevation surfaces.
**Removals.** Removal of greenhouse gases and/or their precursors from the atmosphere by a sink.
**Rent.** Also known as economic rent or producer surplus. The value that producers obtain when actual price exceeds the minimum price sellers will accept. In a REDD+ context, rent is the difference between the international price of carbon and REDD+ costs.
**Resolution.** See spectral and spatial.
**Sink.** Any process, activity or mechanism which removes a greenhouse gas, an aerosol, or a precursor of a greenhouse gas from the atmosphere. (UNFCCC Article 1.8). Notation in the final stages of reporting is the negative (-) sign.
**Soil organic matter (SOM).** Mass of soil organic matter in a unit dry mass of soil. It’s often expressed in % by weight.
**Soil organic carbon.** Mass of carbon in a unit dry weight of soil, often expressed in % by weight. Unless measured directly, soil organic carbon is assumed 1/1.724 of soil organic carbon.
**Soil bulk density.** Oven-dry mass of soil in a unit volume of bulk soil (including the volumes of solid soil and soil pores).
**Source.** Any process or activity which releases a greenhouse gas, an aerosol or a precursor of a greenhouse gas into the atmosphere (UNFCCC Article 1.9). Notation in the final stages of reporting is the positive (+) sign.
**Spectral resolution.** Refers to the capacity of airborne or satellite remote sensing systems to detect surface features across a range of the electromagnetic spectrum. High spectral resolution generally improves the capacity to characterize the surface.
**Spectral signature.** The unique way in which a given type of land cover reflects and absorbs light.
**Spatial resolution.** The size of pixels or grid cells that represent areas on the Earth surface. High spatial resolution permits the identification of more detailed objects on the surface.
Standing litter. The amount of litter weight at a given time. Usually refers to the amount of litter found at soil surface.
Understory. Any plants growing under the canopy formed by other plants, particularly herbaceous and shrub vegetation under a tree canopy.
Vector GIS. represents geographic features on digital maps as points, lines or polygons.
Wood density. Wood density is the oven-dry weight of a given volume of wood, usually expressed as kg dm$^{-3}$.
Wetland. Land where an excess of water is the dominant factor determining the nature of soil develop.
| 6. Emissions from biomass burning | - In situ data collection of all the required parameters, and data processing
- Human resources and equipment to carry out fieldwork (vehicles, maps of appropriate scale, global positioning system, measurement units)
- National inventory & sampling (sample design, plot configuration)
- Detailed inventory of areas of forest change or REDD+ action.
- Use of remote sensing (stratification, biomass estimation)
• Estimation at sufficient IPCC tier for:
- The estimation of carbon stock changes due to land-use change
- The estimation of changes in forest land remaining forest land
- The consideration of the impact on five different carbon pools
• Understanding of national fire regime and related emissions of different greenhouse gases
• Understanding of slash slash-and-and-burn cultivation practices and knowledge of the areas where this is being practiced
• Fire monitoring capabilities to estimate areas affected by fires caused by humans and associated emission factors
• Use of satellite data and products for active fire and area burned
• Continuous in situ measurements (particularly emission factors)
• Separating fires leading to deforestation from degradation |
| 7. Accuracy assessment of activity data and uncertainty analysis of emission factors | • Understanding of sources of error and uncertainties uncertainty in the assessment process of both activity data and emission factors, and how errors propagate
• Knowledge of the application of best efforts using appropriate design, accurate data collection processing techniques, and consistent and transparent data interpretation and analysis
• Expertise on the application of statistical methods to quantify, report and analyze uncertainties for all relevant information (i.e. area change, change in carbon stocks, etc.) using, ideally, a higher-quality sample |
| Data analysis | 8. National greenhouse gas information system | • Knowledge of techniques to gather, store, archive and analyze data on forests and other data, with the emphasis on carbon emissions and removals from changes in forest area
• Data infrastructure, information technology (suitable hardware/software) and human resources to maintain and exchange data, and quality control
• Data access procedures for (spatially explicit) information presented in a transparent form |
| 9. Analysis of drivers and factors of forest change | • Understanding and availability of data for spatial-temporal processes affecting forest change, socio-economic drivers, spatial factors, forest management and land-use practices and spatial planning
• Expertise in spatial and temporal analysis and use of modeling tools |
| Reference emission levels | 10. The establishment of reference levels of emissions, which is regularly updated | • Data and knowledge of processes relating to REDD+, associated greenhouse gas emissions, drivers and expected future developments
• Expertise in spatial and temporal analysis and modeling tools
• Specifications for a national implementation framework for REDD+ |
| Reporting | 11. National and international reporting and verification | Consideration of uncertainties and understanding procedures for independent international review and verification |
Source: UNFCCC, 2009.
### C. Allometric equations
**Table 11.2. Tropical allometric equations**
*Note: BA= basal area*
| General classification | Species | Group Equation | Source | Data originating from | Max dbh |
|------------------------|---------------|---------------------------------------------------------------------------------|-------------------------|-----------------------|---------|
| Dry (900–1500mm rainfall) | General | Biomass = 0.2035 x dbh\(^{2.3196}\) | Brown (unpublished) | | 63cm |
| Dry (< 900mm rainfall) | General | Biomass = 10\(^{-0.535+\log_{10} \text{basal area}}\) | Brown (1997) | Mexico | 30cm |
| Moist (1500–4000mm rainfall) | General | Biomass = exp(-2.289+2.649 x lndbh-0.021 x lndbh\(^2\)) | Brown (1997, updated) | | 148cm |
| Wet (> 4000mm rainfall) | | Biomass = 21.297 – 6.953 x dbh+ 0.740 x dbh\(^2\) | Brown (1997) | | 112cm |
| Cecropia | *Cecropia* species | Biomass = 12.764 + 0.2588 x dbh\(^{2.0515}\) | Winrock | Bolivia | 40cm |
| Palms | Palms (*motacu*) | Biomass = 23.487 + 41.851 x (ln(height))\(^2\) | Winrock | Bolivia | 11m height |
| Lianas | Lianas | Biomass = exp(0.12+0.91 x log(BA at dbh)) | Putz (1983) | Venezuela | 12cm |
*Source: Pearson, et al., 2005.*
Table 11.3. Agroforestry allometric equations
Note: BA = basal area.
| General classification | Species | Group Equation | Source | Data originating from | Max dbh |
|------------------------|---------------|---------------------------------------------------------------------------------|-------------------------|-----------------------|---------|
| Agroforestry Shade Trees | All | Log10Biomass = -0.834 + 2.223 (log10dbh) | Segura et al. | Nicaragua | 44cm |
| Agroforestry Shade Trees | *Inga spp.* | Log10Biomass = -0.889 + 2.317 (log10dbh) | Segura et al. | Nicaragua | 44cm |
| Agroforestry Shade Trees | *Inga punctata* | Log10Biomass = -0.559 + 2.067 (log10dbh) | Segura et al. | Nicaragua | 44cm |
| Agroforestry Shade Trees | *Inga tonduzzi* | Log10Biomass = -0.936 + 2.348 (log10dbh) | Segura et al. | Nicaragua | 44cm |
| Agroforestry | *Juglans olanchama* | Log10Biomass = -1.417 + 2.755 (log10dbh) | Segura et al. | Nicaragua | 44cm |
| Agroforestry Shade Trees | *Cordia alliadora* | Log10Biomass = -0.755 + 2.072 (log10dbh) | Segura et al. | Nicaragua | 44cm |
| Shade grown | *Coffea arabica* | Biomass = exp(-2.719 + 1.991 (ln(dbh))) (log10dbh) | Segura et al. | Nicaragua | 8cm |
| Pruned coffee | *Coffea arabica* | Biomass = 0.281 x dbh\(^{2.06}\) | van Noordwijk et al. (2002) | Java, Indonesia | 10cm |
| Banana | *Musa X paradisiaca* | Biomass = 0.030 x dbh\(^{2.13}\) | van Noordwijk et al. (2002) | Java, Indonesia | 28cm |
| Peach palm | *Bactris gasipaes* | Biomass = 0.97 + 0.078 x BA – 0.00094 x BA\(^2\) + 0.0000065 x BA\(^3\) | Schroth et al. (2002) | Amazonia | 2–12cm |
| Rubber trees | *Hevea brasiliensis* | Biomass = -3.84 + 0.528 x BA + 0.001 x BA\(^2\) | Schroth et al. (2002) | Amazonia | 6–20cm |
| Orange trees | *Citrus sinensis* | Biomass = -6.64 + 0.279 x BA + 0.000514 x BA\(^2\) | Schroth et al. (2002) | Amazonia | 8–17cm |
| Brazil nut trees | *Bertholletia excelsa* | Biomass = -18.1 + 0.663 x BA – 0.000384 x BA\(^2\) | Schroth et al. (2002) | Amazonia | 8–26cm |
Source: Pearson, et al., 2005.
D. Steps to calculate time-averaged carbon stock: from plot to land use
Main output: Time-averaged C stock per land use (Mg ha\(^{-1}\)).
For monoculture systems
- Select plots of different ages of trees.
- **Tree level**: Measure trees by following the sample protocol/methods in Hairah et al, 2010. Calculate tree biomass by using the right allometric equation by species if possible, using the criteria described in this module.
Output 1: Biomass per tree (Kg), extrapolate to Mg C ha\(^{-1}\)
Output 2: Root biomass estimated using default value 4:1 (shoot/root ratio)
Output 3: C biomass (Output 1 + Output 2) x 0.46 = C (Mg C ha\(^{-1}\))
- **Plot level**: Measure necromass and soil organic matter as explained in Hairah et al, 2010.
Output 4: C Necromass (Mg ha\(^{-1}\)) x 0.46 = C (Mg C ha\(^{-1}\))
Output 5: C Soil organic matter (Mg ha\(^{-1}\)) x 0.47 = C (Mg C ha\(^{-1}\))
- Sum up outputs 3, 4 and 5 to calculate total C stock per hectare. (Mg ha\(^{-1}\))
- **Land use**: Develop the total C stock equation for the monoculture per life cycle (see Figure 2-1). Find the value of the median C stock. This is the time-averaged C stock for the species (in the monoculture).
For a Mahogany plantation
Example: 20 trees of mahogany of different ages (5, 15, 25 and 30 years old) are found in one plot of 200m\(^2\) of land use type A. The farmer informed us that Mahogany is harvested when it is about 50 years old. What is the time-average C stock for Mahogany in this case?
Step 1. Use the most suitable allometric equation for Mahogany and calculate the biomass (Mg ha\(^{-1}\)) for each tree.
Step 2. Transform biomass to total C by multiplying it by 0.46. Calculate the value per hectare.
Step 3. Add the necromass and soil organic matter estimations to the biomass per hectare. Transform them to total C by multiplying them by 0.46.
Step 4. Calculate total C by age (biomass, necromass and soil organic matter).
Step 5. Calculate the total C regression curve for Mahogany-monoculture system as in Figure 11.1. Note that it includes biomass, necromass and soil organic matter for each age group.
Step 6. If the trees would be harvested when 50 years old as expressed by the farmer, then we take the median of total C calculated with the equation at year 25 as the time-average carbon stock for this monoculture. This value is about 150 Mg C ha\(^{-1}\).
For mixed systems such as agroforestry
- Select plots of different stages within the same land use after forest conversion.
- **Tree level**: Measure all trees within the sampling plot by following the sample protocol/methods in Hairah et al, 2010. Calculate tree biomass by using the right allometric equation by species if possible.
Output 1: Biomass per tree (Kg per tree), extrapolate to (Kg ha\(^{-1}\))
Output 2: Root biomass estimated using default value 4:1 (shoot/root ratio), (Kg ha\(^{-1}\))
Output 3: C biomass (Output 1 + Output 2) x 0.46 = C (Mg C ha\(^{-1}\))
- **Plot level**: Measure necromass and soil organic matter as explained in Hairah et al, 2010.
Output 4: C Necromass (Mg ha\(^{-1}\)) x 0.46 = C (Mg C ha\(^{-1}\))
Output 5: C Soil organic matter (Mg ha\(^{-1}\)) x 0.46 = C (Mg C ha\(^{-1}\))
- **Land use level**: Sum up outputs 3, 4 and 5 to calculate total C stock per hectare in the mixed land uses per age of plot after forest conversion:
- 3 years
- 15 years
- 40 years
- Calculate the average of total C stock of the three ages. This would be the time-averaged C stock of a mixed land use. The reason we do not use total C curves as per the monoculture case is the diversity of species and ages found in mixed systems.
For example: The total C in an agroforestry system of 3 year old is 15 Mg C ha\(^{-1}\), for 15 year old is 40 Mg C ha\(^{-1}\) and 40 years old is 80 Mg C ha\(^{-1}\). Time-averaged C stock would be \((15+40+80)/3 = 45\) Mg C ha\(^{-1}\).
E. Methods to estimate the economic value of biodiversity
1. The Convention on Biological Diversity (CBD) recognizes the importance of economic valuation, and states that *economic valuation of biodiversity and biological resources is an important tool for well-targeted and calibrated economic incentive measures* (CBD, 1998). Economic valuation, based on sound theoretical foundations, can help clarify tradeoffs facing public policy decisions. Nevertheless, exceptions exist for prioritizing economic values over other cultural, traditional and spiritual values. Since numerous methodological limitations and moral questions regarding the rigor of economic valuation persist, non-economic values need to be recognized and addressed.
2. At the core of the debate are conflicting views regarding the concept of value. Philosophies clash. For some, the wants of the people are morally justified – costs may seem little or not even be considered. Priorities are to be identified through political process. For others, costs are relevant since they represent alternative use of funds. (Prioritization of alternative uses also has moral implications.) For people of such a perspective, priorities are best clarified through procedures such as benefit-cost analysis and multi-criteria analysis in order to inform decisions. Whichever viewpoint, a consensus prevails on the importance of conserving biodiversity while considering the associated costs (OECD, 2002).
3. Achieving cost-effectiveness is not straightforward. Conservation policies are often weighted down by attempts to deliver multiple outcomes. Two approaches are commonly used to identify priorities: (a) the use of money or price weights, which define benefit-cost relations, or (b) the calculation of scores, typically derived from experts or public opinion.
4. Both types of analysis produce measures to reveal the importance of biodiversity. Nevertheless, the determination of monetary values enables biodiversity conservation to compete on the same standardized basis against other demands for public funding. Below are outlined numerous approaches to estimate the economic value of biodiversity.
5. Despite the role of important economic measures, the participation of numerous stakeholders is often central to public decision-making processes. Deliberative and inclusive approaches that identify social preferences are an increasingly popular approach as governments respond to calls citizen involvement, consultations and recognition in policy decisions. Scientific information is typically provided in order to inform the participants in deliberation and decision processes. Resulting negotiation and/or consensus can be perceived as a better or fairer reflection of social preferences than benefit-cost analysis. Although results from public participation can reflect biases, insights gained from wider discussion and involvement can permit a more comprehensive socio-economic analysis for policy decisions when combined with benefit-cost approaches (OECD, 2002).
6. Efforts to estimate the economic values of biodiversity at spatial scale are being advanced (Wünsher, et al. 2008; Wendland, et al. 2009), including those by Conservation International (CI) and other NGOs. Future maps on biodiversity benefits can incorporate the total economic value, with an assessment of direct and indirect use values (concept presented below). Benefits transfer methods, which involve taking economic values from one context and applying them to another, could potentially be used to help establish these values, where site-specific analyses do not exist. Nevertheless, analyses are still likely to be data and time-intensive (Karousakis, 2009). Furthermore, the validity of benefit transfer methods can be suspect.
7. Economic values of biodiversity are derived from the preferences that people have for the functions of biodiversity. Since market prices rarely exist for biodiversity function, preferences are estimated via willingness to pay (WTP) in order to secure or retain functions. One advantage of this approach is that the benefits of biodiversity are expressed in monetary units, thereby enabling direct comparison with alternative actions.
8. The sum of the WTPs, of all relevant people affected by a due to a policy or project, is the total economic value representing the change in well-being. Total economic value consists of use values and non-use values (Figure 11.2). Use value refers to the value arising from an actual use of a given resource. Examples include use of forest for timber, or of a lake for recreation or fishing, and so on. Use values are further categorized into three types. One, direct use value, which refers to actual uses such as fishing, timber extraction, etc. Two, indirect use value, which concerns the benefits deriving from ecosystem functions. For example, the function of forests in protecting watersheds. Three, future option values represent an individual's willingness to pay to safeguard an asset for the option of using it at a future date.
9. Non-use values are more problematic in definition and estimation. Non-use values are comprised of bequest value and existence value (see Arrow et al, 1993). Bequest value is the benefit accruing to any individual from the knowledge that others might benefit from a resource in future. Existence value derives simply from the existence of any particular asset, and is unrelated to current use or option values. An example is individual's concern to protect the snow leopard although he or she has never seen one and is never likely to. Just knowing that leopards exist is the source of value. Altruistic value reflects the concern that the biodiversity is available for others.
Differentiating between use and non-use values is helpful for estimating the value of biodiversity. Non-use values can be much larger than use values, especially when the species or ecosystem is rare and widely valued (e.g., charismatic species and ecosystems). Nevertheless, estimates of non-use values can be controversial; therefore it is beneficial to separate these values for presentational and strategic purposes.
An array of methodologies is available for eliciting and estimating economic values.\(^{79}\) They can be divided into three broad approaches. One, the stated preferences or direct approach comprises techniques that attempt to elicit preferences directly by the use of surveys and experiments, such as the contingent valuation and choice modeling methods. People are asked directly to state their strength of preference for a proposed change.
Two, the revealed preferences or indirect approaches are techniques which seek to elicit preferences from actual, observed market-based information. Preferences for the environmental good are revealed indirectly when an individual purchases a marketed good to which the environmental good is related. In other words, revealed preference methods use observed behavior to infer the value. Since these techniques do not rely on people's direct answers to questions about how much they would be willing to pay for an environmental quality change, value biological resources instead of biodiversity.
\(^{79}\) Although much of the world’s threatened biological diversity is in the developing world, the theory and practice of economic valuation has been developed and applied mainly in the industrialized world. Consequently, it is important to assess if rich country methodologies can be applied in poor country contexts (Pearce and Moran, 1994).
Figure 11.3. Valuation methods for biological diversity and resources
13. Three, benefit transfer borrows an estimate of WTP from one site or species for use in a different context. Although fraught with methodological difficulties (e.g., reliability and validity), transferring benefit estimates is appealing. Avoidance of a detailed benefit study can save considerable resources for funders and agencies implementing environmental projects. In developed countries, such savings are motivating interest in an analysis of appropriate conditions for transferring estimates (Boyle and Bergstrom, 1992).
14. Details on the above are available in numerous publications. For more information see OECD (2002), Arrow, 1993, Pearce and Moran (1994). Issues of applicability and validity continued to be refined in the scientific literature.
F. Spreadsheet examples
15. This appendix contains pertinent sections of computer spreadsheets described in Chapters 7 and 9.
Figure 11.4, OppCost Spreadsheet (a): example inputs and outputs (Chapter 7)
| Land use legend | Time-averaged C stock (Mg C/ha) | Profit-ability (NPV, $/ha) | Employment (workdays/year) |
|--------------------------|---------------------------------|----------------------------|-----------------------------|
| Natural forest | 250 | 30 | 5 |
| Logged forest | 200 | 300 | 15 |
| Agro-forestry | 80 | 800 | 120 |
| Extensive agriculture | 10 | 600 | 100 |
Period of analysis: 30 years
Size of country: 2,000,000 km²
Total population: 1,000,000
Pop working age: 60%
Workdays / year: 230 days
Performance at national scale:
- Total LU-based emission, Pg CO2e/yr: 0.00
- Total C stock in land use, Pg C: 34.00
- Total NPV of land uses (M$): 60,400
- Total rural employment: 0.56
- Emissions as percentage of C stock: 0.0
Opportunity costs of land uses changes: $ per tCO2
| Initial \ Final | Natural forest | Logged forest | Agro-forestry | Extensive agriculture |
|-----------------|----------------|---------------|---------------|-----------------------|
| Natural forest | 0.00 | 1.47 | 1.24 | 0.65 |
| Logged forest | -1.47 | 0.00 | 1.14 | 0.43 |
| Agro-forestry | -1.24 | -1.14 | 0.00 | 0.78 |
| Extensive agriculture | -0.65 | -0.43 | -0.78 | 0.00 |
Carbon: 250, 200, 80, 10
NPV Profits: 30, 300, 800, 600
Emissions, Tg CO2e/yr
| Land use legend | Emissions, Tg CO2e/yr |
|--------------------------|-----------------------|
| Natural forest | 0.0 |
| Logged forest | 0.0 |
| Agro-forestry | 0.0 |
| Extensive agriculture | 0.0 |
Figure 11.5, OppCost Spreadsheet (b): example inputs and outputs (Chapter 7)
| Land use distribution |
|-----------------------|
| Initial landuse |
| Final landuse |
| Land use change matrix | Final landuse | Natural forest | Logged forest | Agro-forestry | Extensive agriculture |
|------------------------|---------------|----------------|---------------|---------------|----------------------|
| Initial landuse | | 15% | 25% | 30% | 30% |
| Natural forest | 40% | 15% | 25% | 0% | 0% |
| Logged forest | 30% | 0% | 0% | 10% | 20% |
| Agro-forestry | 10% | 0% | 0% | 10% | 0% |
| Extensive agriculture | 20% | 0% | 0% | 10% | 10% |
| LU change (%/year) | 100% | 2.1 | 1.3 | 0.8 | 0.8 |
Original
Scenario 2 Logged forest $300 -> $400 NPV/ha
Figure 11.6. Tradeoffs (Chapter 9)
**Tradeoff comparisons**
- **Data inputs:**
1. C stock per LU
2. Profit per LU
3. Workdays per LU
- **Output:**
- Tradeoff graphs:
1. Profitability v Carbon
2. Profitability v Employment
3. Employment v Carbon
| Land use legend | Time-averaged C stock (Mg C/ha) | Profitability (NPV, $/ha) | Rural employment (workdays/year) |
|-----------------------|---------------------------------|---------------------------|----------------------------------|
| Natural forest | 250 | 2 | 5 |
| Logged forest | 200 | 200 | 15 |
| Agro-forestry | 80 | 800 | 120 |
| Extensive agriculture | 15 | 600 | 100 |
**Profitability vs Carbon**
- Net Present Value, $/ha
- Cstock, Mg C/ha
**Employment vs Carbon**
- Employment, days/ha
- Cstock, Mg C/ha
**Profitability vs Employment**
- Net Present Value, $/ha
- Employment, days/ha
G. Example analysis using REDD Abacus
16. On the REDD Abacus website (www.worldagroforestry.org/sea/projects/allreddi/softwares), a sample file representing a context in Indonesia (Project Examples-Project.car file) can be examined within the REDD Abacus program (downloadable on the same website). To open, click File on the Toolbar, then click Open Project. A dialogue box opens for files stored on the computer. The file is called: sample_project.car. When opened, a reviewing pane is on the left of the screen, which shows one’s location within the program. On the right section of the screen is a box for data entry and of results.
Data entry
17. The first screen (test1) is a context description of the analysis – which can either be a sub-national project or national program. The right box contains subsections with the Project label, Description, Time Scale (Year) and an option of including belowground emissions. Two other subsections are for the Zone Partition and Land Cover List. The Zone Partition contains a box to enter the Size of the Total Area (ha). Each identified Zone is a fraction of the Total Area, in decimal terms, and can be classified (via a checkmark) as being eligible or not within a REDD policy scenario. The Land Cover List is where the names of the land covers are entered, along with a brief description (if needed). Each of land covers can be identified as either eligible or ineligible within a REDD policy scenario. The (+) adds an addition land cover to the list, while the (-) erases the highlighted cover. The sample_project example has 4 zones and 20 land covers (Figure 11.7).
Figure 11.7. Context description screen of REDD Abacus example
18. If starting a new file, a series of dialogue boxes will prompt the user for information on:
- title
- description
- number of zones
- total area
19. The second screen, *Time-averaged C-stock*, accepts data for each of the land uses per zone (Figure 11.8). For the example, 20 land uses in the 4 zones requires carbon data (t/ha) for 80 different land use contexts.
20. Profit data from land uses are entered in the third screen (in NPV - net present value per hectare). Profit levels can differ according to accounting stance (sectors being: private or social) in addition to the distinct zones. Although the discount rate is typically a major difference between the two stances, the example employs the same rate for both. (Private sector typically has a higher discount rate given the time value of money corresponding to a prevailing interest rate.) In the example, all social NPVs are higher than private NPVs - except for the rice field land cover. The lower social NPV of rice fields is the result of a 30% government tariff policy on rice imports, which artificially inflates the farm gate price of
rice. In contrast, export taxes on oil palm and rubber depress the prices that farmers receive, thus the social NPVs are higher than the private NPVs (Figure 11.9).
21. The fourth screen, *Conversion Cost-Benefit*, allows the user to include the per hectare cost-benefit associated with each land use change. In other words, the NPVs given up when converting one specific land use into another, e.g., converting (clearing) of undisturbed forest implies US$ 1,066 US$/ha of forgone profits.
22. The fifth screen, *Transition Matrix*, is a summary of each type of land use change within the area of analysis (Figure 11.10). This is the same as the *Land use change matrix*, mentioned within this manual (in Chapter 4). Each cell represents the fraction of change per sub-national Zone. (The sum of all cells is equal to 1.) As can be seen in the example, although 400 different land use changes are possible, changes did not occur for all land use covers.
23. The sixth screen, *Belowground Emissions*, provides a way to examine the effects of including belowground carbon pool of different land uses within an opportunity cost analysis. Belowground emissions or sinks, which typically occur at a slower rate, can be substantial, especially in peatlands.
**Analysis results**
24. The *Output summary* screen presents results from the opportunity cost analysis. The program calculates carbon emissions, sequestration and eligible emission (according to the REDD policy selected). The six summary results include: *Average Emission* per hectare per year (Mg CO$_2$e/ha/year), *Total emission* per year (Mg CO$_2$e/ha/year), *Average sequestration* per hectare per year (Mg CO$_2$e/ha/year), *Total sequestration* per year (Mg CO$_2$e/year), *Average Eligible Emission* per hectare per year (Mg CO$_2$e/ha/year) and *Total Eligible Emission* per year (Mg CO$_2$/year).
25. In addition, it is possible to examine the effect of a cost threshold, which can represent a carbon price, to identify which emission abatement options have a lower opportunity cost. The threshold can be changed by altering the value in the box or dragging the corresponding line in the graph. The analysis also generates a summary measure of *Net Emission by Threshold*, which is the cumulative level of abatements and sequestrations that have opportunity costs less than the cost thresholds. By clicking the **Detail**, the associated NPV and Emission for each of the contributing land use change options are displayed. (represented by the vertical axis labeled: Changes in NPV/C-stock ($/Mg CO$_2$)). Bars to the
left and below the dotted lines have opportunity costs of emissions abatement that are lower than the stated threshold.
26. The Chart tab in the Output Summary screen displays an opportunity cost curve. All the land uses changes in each of the sub-national zones are represented. The different colors of the bars identify the zones, while the specific land use changes can be highlighted with the cursor. Three different charts can be generated: Emission, Sequestration, Mixed [Both]. For any of the charts, labels that correspond to each bar can be temporarily highlighted by moving the cursor over the bar, or be added to the chart by right clicking on the desired bar and clicking Add Label in the dialogue box.
27. In Figure 11.11, a cost threshold value of $5 corresponds to an emission level of 47.59 Mg CO$_2$e/ha/year. Most of the land use changes have opportunity costs lower than the threshold level. For example, the land use change of Undisturbed mangrove to Log over mangrove has an opportunity cost of -$0.9 and contributes approximately 11 Mg CO$_2$e/ha to the (total) emission level. (Note: some of the land use options may not be readily apparent in the graph. This could be a result from either:
a) the opportunity cost is close to or equal to zero. In such a case, the height of the bar is the same as the horizontal axis.
b) the amount of emission reduction is relatively small. Therefore, the width of the bar is very narrow with only the gray color of the borders showing.
Enlarging the graph can help reveal the less visible land use change emissions.
Figure 11.11. Output Summary and associated Chart from REDD Abacus example
For more information, please contact
Pablo Benitez — firstname.lastname@example.org
Gerald Kapp — email@example.com
For specific information on the training manual and workshops,
please contact firstname.lastname@example.org.
www.worldbank.org/wbi
|
Effects of test administrations on general, test, and computer anxiety, and efficacy measures
Susan Kiskis
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Part of the Educational Psychology Commons
Recommended Citation
Kiskis, Susan, "Effects of test administrations on general, test, and computer anxiety, and efficacy measures" (1991). Theses Digitization Project. 579.
https://scholarworks.lib.csusb.edu/etd-project/579
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EFFECTS OF TEST ADMINISTRATIONS
ON GENERAL, TEST, AND COMPUTER ANXIETY,
AND EFFICACY MEASURES
A Thesis
Presented to the
Faculty of
California State
University, San Bernardino
by
Susan Kiskis
March 1991
Approved:
Richard Trafton, Ph.D. Chair 3/14/91
Matt Riggs, Ph.D.
Diane Halpern, Ph.D.
EFFECTS OF TEST ADMINISTRATIONS
ON GENERAL, TEST, AND COMPUTER ANXIETY,
AND EFFICACY MEASURES
A Thesis
Presented to the
Faculty of
California State
University, San Bernardino
In Partial Fulfillment
of the Requirements for the Degree
Master of Arts
in
Psychology
by
Susan Kiskis
March 1991
ABSTRACT
Using Item Response Theory, a computer adaptive test of clerical abilities was developed and compared to conventional computer and paper-and-pencil test administrations. Tests were administered to 150 applicants at a personnel agency. The study was designed to demonstrate the equivalency of computer adaptive testing to other test conditions using general and specific measures of anxiety and efficacy. It was concluded that computer adaptive testing was not only a psychometrically sound means of assessment, but also posed no threat to anxiety in evaluative situations. Conclusions regarding the impact of these findings are discussed.
# TABLE OF CONTENTS
| Section | Page |
|----------------------------------------------|------|
| ABSTRACT | iii |
| INTRODUCTION | 1 |
| GENERAL AND TEST ANXIETY | 5 |
| COMPUTER ANXIETY | 11 |
| BENEFITS OF COMPUTERS | 15 |
| SELF-EFFICACY | 17 |
| CLASSICAL AND MODERN TEST THEORIES | 21 |
| ADAPTIVE TESTS | 30 |
| RESEARCH QUESTIONS | 35 |
| METHOD | 36 |
| Subjects | 36 |
| Instruments | 37 |
| Procedure | 41 |
| RESULTS | 44 |
| DISCUSSION | 54 |
| APPENDIX A | 63 |
| REFERENCES | 69 |
LIST OF TABLES
1. Overall and Group Dependent Variable Means, Standard Deviations, and Alpha Measures ..........................52
2. STAI .........................................................45
3. TAI .........................................................46
4. Computer Anxiety ...........................................47
5. Self-Efficacy ...............................................48
6. Computer Efficacy ..........................................49
7. Correlation Matrix .........................................51
INTRODUCTION
Personnel selection processes typically consist of standardized paper-and-pencil tests. This method has proven to be time-consuming and costly. With the advent of computer testing technology and development of modern test theory, computer-administered and scored instruments have begun to be prevalent in personnel selection and screening. Applicants are increasingly required to use computers, both in the workplace and during the screening process. Computer testing technology has reduced test administration costs, relieved test administrators of the burdensome and time-consuming process of hand-grading and scoring, and allowed for multiple, concurrent test administrations.
Employing computerized tests presents an opportunity for fundamental changes in psychometric evaluation of tests. Even though computers offer advantages, controversial issues related to the effects on the examinee remain important for research.
Bracker and Pearson (1986) predicted that more than thirty-five million workers will be affected by growing technological changes. They will be faced with the need to master complex computer hardware and software. A legitimate question arises regarding aptitude and ability.
It is important to understand how these might affect the performance of examinees under computer-administered conditions, especially if computer anxiety were present. Additionally, applied research in this area is lacking.
Most test and computer anxiety research focuses on educational settings. Research in applied settings such as in personnel selection and screening is needed. Continued research to answer questions regarding computer testing and computer anxiety must be conducted to assist American business as it invests in this new technology.
Aside from conventional computer-administered tests, modern test theory has begun to provide a firm foundation for development of personnel testing strategies and methods. Research by Weiss (1983) and Lord (1980) has led to tailored and branched testing, as well as multistage tests that create a hierarchy of subtests for each examinee. These "pyramidal" tests allow each examinee to begin with the same item, and then branch out to more difficult or easy items, depending on the response.
Limitations found with pyramidal tests guided the development of "stradaptive" tests (Vale & Weiss, 1978; Weiss, 1983). This method allows the examinee to proceed through several subtests or strata. As correct or incorrect responses are made, the test branches to more difficult or easier strata. This resulted in a more
individualized testing procedure.
"Adaptive" or tailored tests use statistical calculations to match examinee performance on each item. Relatively easier items are administered to a low ability examinees; more difficult items are administered to high ability examinees. In this way, the test items discriminate more accurately among low or high examinees. Lord (1950) was instrumental in the eventual development of the adaptive testing methods.
These new testing methods are readily applied in the workplace due to innovative computer technologies. Test construction has been simplified with computer software packages that open the door to adaptive testing.
Few studies currently exist that establish and encourage the use of computer-adaptive testing in an organizational setting. No research was found that looked at the combined effects of general anxiety, test anxiety, and computer anxiety when test procedures included computer-adaptive methods.
Personnel screening/selection methods do not take examinee artifacts such as general, test, or computer anxiety into account. Yet Wine (1971) found that selection batteries administered under highly evaluative conditions increased anxiety. Ample evidence for the deleterious effects of anxiety in evaluative situations has been documented by many researchers (Sarason, 1960,
1973; Wine, 1971; Rosen, Sears, and Weil, 1987a). Ignoring this important part of the applicant testing procedure may have profound, long-term effects on the predicted productivity of workers.
Conceptually, general anxiety has been found to be a coping mechanism that pervades our lives, one that contributes to our survival as the fail-safe mechanism for adaptation. In non-adaptive modes, it promotes incompetence and misery (Sieber, 1978). Anxiety responses may vary, depending on past experiences, individual coping responses, problem context, and the level of anxiety evoked (Sarason, 1978).
Non-adaptive modes of anxiety include emotional responses such as panic, worry, anger, shame, or the desire to escape. Anxiety, as a general system of conditions, depends on the nature of the associated demands, feedback, or prior learning. Spielberger (1966) introduced the state-trait model of anxiety, which included these conditions. The transitory "State" anxiety occurred when perceived stimuli (real or imagined) resulted in emotional and behavioral responses. Trait anxiety was found to be a more stable personality characteristic.
Spielberger (1966) defined State anxiety as a reaction of heightened arousal, vigilance, enthusiasm, worry and fear, confusion, anger, lowered self-esteem, and other negative conditions. Prior experience moderates the
level of the State anxiety reaction. Cognitive reappraisal acts to guide State anxiety responses. Maladaptive coping strategies led to high anxiety as a disruptive emotional reaction, along with less constructive ways to deal with the immediate problem.
Early development of more specific measures of anxiety began with the Test Anxiety Scale (TAS; Sarason, 1952). It measured need for achievement, hostility, and lack of protection measures. The study compared predictive utility of Spielberger's General Anxiety scale to the TAS and found a more consistent correlation with performance with the TAS. Sarason concluded that the TAS would be useful as an index of proneness to performance disruptions. He emphasized the need to consider test anxiety when interpreting intellectual performance.
Sarason (1961) found that a more specific anxiety scale resulted in better prediction. The closer the scale content in relation to the assessed performance, the better the prediction.
Sarason's (1960) earlier model of test anxiety presented both cognitive and somatic components. Results of this study found that high test anxious individuals interpreted tests as serious threats to well-being with emotional reactivity. High test anxious subjects had increased sensitivity to cues which suggested the
imminence of an evaluative situation.
Evaluational stressors, or achievement-orienting instructions, were found to increase test anxiety (Sarason, 1978). Using the TAS, subjects were told that the task to be completed was a measure of intelligence. Performance was deleteriously affected by these instructions.
Wrightsman (1962) confirmed the "emotional reactivity" component of test anxiety. In his research, college students were told that results of intelligence tests were either important or unimportant. Performance decrements increased with emphasis on the importance of the test results. He concluded that a stressful situation interfered with successful performance of high anxious subjects. These results also underscored the strong influence of the testing instructions.
Wine (1971) reviewed the literature and found emphasis on the relationship between cognitive rumination (worry) and test performance. Worry and emotionality were viewed as major components of test anxiety in a study by Liebert and Morris (1967). Using their own worry-emotionality scale, they concluded that the cognitive, self-preoccupied component of test anxiety clearly interfered with performance.
Test anxiety has been strongly associated with a class of stimuli related to past evaluative or testing
experiences (Wine, 1971). These stimuli included test stimuli, interpretation of test stimuli, State anxiety reactions, cognitive reappraisal, coping, avoidance, and defensiveness (Spielberger, 1966).
Sarason (1957, 1963) found fear of failure in evaluative situations was based on negative interpretations of past experiences as opposed to fear of failing to carry out operations required at that specific time. Sarason found evidence that it acts as a non-intellectual influence.
In 1978, Spielberger used the TAS to develop the Test Anxiety Inventory (TAI). Factor analysis of the TAS and the TAI resulted in high factor loadings for worry and emotionality. He used these factors to define test anxiety. Spielberger concluded that the TAI could be used as an assessment device to determine the "situation-specific personality trait" of test anxiety.
Sieber (1978) devised questionnaires and surveys to assess the validity of test anxiety measures by Spielberger, Gorsuch, and Lushene (1970) and Sarason (1973). He found that the self-report scales proved to be the most valid predictors of test anxiety in both studies.
Additional studies on test anxiety point to the task-irrelevant responses in the testing situations as the key to performance interference. Two studies (Mandler and
Sarason, 1952; Wine, 1971) presented interference models of test anxiety. Wine's model focused on "evaluational apprehension," as a form of prior negative experience. He found that high test anxious subjects reacted with cognitive concern and subsequent decreased performance. The cognitive concern was viewed as an interfering anxiety that led to negative self-reflection. It was also found to compete with an individual's ability to perform.
Culler and Holahan (1980) conducted a study of the Wine (1971) and the Mandler and Sarason (1952) models. They found significant decrements in performance for high test anxious individuals. This effect was found to be mediated by increased study time, with high test anxious subjects having poorer study habits.
Anxious self-preoccupation and self-focusing remained the primary factors of current test anxiety theory. Researchers continued to move away from the autonomic response model which suggested anxiety was a result of maladaptive levels of autonomic arousal (Holroyd, Westbrook, Woolf, and Badhorn, 1978). In their study, both high and low anxious subjects experienced virtually identical changes in autonomic responses, such as heart rate and skin conductance, as a result of an evaluative condition. This study provided evidence for the cognitive interference models of test anxiety. Deficits in information processing did not result from maladaptive
levels of autonomic arousal. Conceptualization of test anxiety as a cognitive phenomena was supported in subsequent research. Additionally, the interference models of test anxiety related more strongly to distractions in attention than to autonomic responding.
COMPUTER ANXIETY
The growing trend to computerize test administrations has led to increased research to assess effects of test anxiety and computer anxiety. Similar performance decrements were found with both computer anxiety and test anxiety. Individuals found to be high test anxious have also been found to be high computer anxious (Rubin, 1981). Not only does the threat of evaluation interfere with performance in testing environments, but subjects experienced computer anxiety in a computer-administered testing setting.
Weinberg (1982) estimated that nearly 33% of the people sampled in a study of 500 college students and corporate managers could be categorized as "cyberphobic" or having high computer anxiety. Paul (1982) also found 30% of the business community as having experienced some form of anxiety about computers in a survey he conducted. It may be expected that these workers would bring a certain level of anxiety with them into the work environment, thereby interfering with their performance under testing conditions.
Development of scales to measure effects of computer anxiety began with strong emphasis on attitudes toward computers and included measures of task-specific efficacy.
Hill, Smith, and Mann (1987) studied computer anxiety using a measure of self-efficacy, perceived complexity of innovations and cognitive laziness to assess attitudes associated with the use of computers. They labeled computer anxiety as "technophobia." Subjects who had a high sense of efficacy regarding use of computers were found to be more likely to use them. Their study underscored the importance of efficacy beliefs in the decision to adopt an innovation.
Morrow, Prell, and McElroy (1986) outlined correlates of computer anxiety in their study of college students. They found that behavioral correlates, such as prior experience with computers and computer knowledge, accounted for 36% of the variance in computer anxiety. Self-reported behaviors explained more of the variance in computer anxiety than personality or attitudinal correlates. They concluded that computer anxiety may be a function of prior experience and viewed it as a modifiable condition.
Developing another label of computer anxiety, Brod (1982) proposed that the condition of "technostress" resulted from an inability to adapt to the introduction and operation of new technology. Correlates affecting this included age, prior computer experience, and perceived control over new tasks. In an applied setting,
Brod found that control of potentially negative statements about oneself, viewed in this context as self-efficacy, greatly improved the coping mechanisms of cyberphobics.
O'Neil and Richardson (1978) presented a review of studies in which modifications of instructional procedures in computer learning environments were attempted to reduce computer anxiety. However, as Hedl and O'Neil (1977) also found control over instructional variables and immediate feedback in the computer environment led to increased levels of anxiety. Instructions prior to the test led to significant differences between groups when an evaluative threat was introduced. Similar conclusions were found by Wrightsman (1961).
Rosen, Sears, and Weil (1987b) generated a 3-scale measure for computer anxiety comprised of attitudinal, anxiety, and cognitive elements. Elements of resistance to computers, fear or anxiety towards computers, and hostile or aggressive thoughts about computers were researched in a 5-part study using university students. The first two studies included use of the STAI.
Rosen's scales consisted of a computer anxiety rating scale (CARS; Rosen, 1988), attitudes toward computers scale (ATCS; Rosen, 1987), and a computer experience demographics questionnaire (CEDQ; Rosen, 1987). A negative relation was found between the anxiety and attitude scales \((r = -.29, p < .01)\). Subjects with prior
computer experience and positive attitudes toward computers were the least anxious. "General computer anxiety--operating the machines themselves" was found to account for 40.3% of the variance in computer anxiety. Women were found to have a less positive attitude overall towards computers, with the greatest fear that improper use of the computer would result in damage. Of the total sample, 14% were high anxious. Graduate students served as subjects and had a mean age of 37 years.
In a second study, Rosen, et al. (1987a) included the STAI. State anxiety was negatively correlated with computer attitudes ($r = -.17, p < .01$). The sample for this study consisted of 66% non-whites, such as blacks and Hispanics.
BENEFITS OF COMPUTERS
Most research has been conducted on the effects of conventional, computer-administered testing. The argument in the forefront states that computerized psychological testing is depersonalizing. In clinical research, studies typically have cast the client as an object of automated manipulations by a computer.
Burke and Normand (1987) reviewed the literature and found overwhelming evidence that clients reacted favorably to computerized testing. Investigating accuracy of information about sensitive areas, such as use of alcohol, drugs, and tobacco, Skinner and Allen (1983) had subjects answer questionnaires in face-to-face, self-report, and computer conditions. The computer condition was rated as most relaxing and interesting. The study was conducted on a clinical patient population and was therefore difficult to generalize to other settings. However, their research called into question the theory that computers were depersonalizing. It also underscored the need for further research and a redefinition of the interactions and effects of computers on human subjects.
Hulin, Drasgow, and Parsons (1983) underscored the increased measurement accuracy available with computerized testing, along with reduced boredom, fatigue and testing
time. Test administration becomes more flexible since it could be conducted at any time with scheduling of test administrators becoming unnecessary. Urry (1977) found substantial cost reductions with computerized tests. Finally, there is an improved scoring efficiency and accuracy.
These studies provide evidence for the changing view toward computers, at least on a theoretical level. Research has begun to reveal the user-friendly aspects of computers; users find them appealing in situations where sensitive information is to be divulged. Aside from the increased accuracy in testing and scoring, reduced test-taking time, reduced costs involved with testing, there remains a need to continue research to show clear evidence for the human factor in computer testing.
SELF-EFFICACY
Using the framework of self-efficacy theory (Bandura, 1977), efficacy perceptions are defined as the belief of one's ability to accomplish a particular task. Self-efficacy has been found to influence the choice to engage in a task, along with the effort and persistence necessary to perform it. Bandura established that perceived self-efficacy for particular tasks increased if prior experience provided positive information about related competencies for that task.
Bandura (1977) described persons high in self-efficacy as those able and personally effective. High test anxious persons were found to have low self-efficacy due to preoccupation with fear of failure and self-blame. Perceived positive self-efficacy functions as a cognitive setting for success; self-blame on the other hand, may be viewed as the converse of efficacy.
Consistent with Bandura's claim that self-efficacy directly affects levels of task performance, Wood and Locke (1987) found a significant positive relationship between efficacy and academic performance in their study of college students ($r = .27, p < .01$).
When Miura (1987) used perceived competency measures as an index of computer anxiety, women were found to be
more often high test anxious. His study focused on self-efficacy judgment as a belief that one could successfully execute a particular course of behavior. Using college students, Miura assessed self-efficacy beliefs as related to ownership, use, programming, and decision to take future coursework in computers. He found a relation between self-efficacy and current and past enrollment in school computer programming courses ($r = .29, .47,$ and $.31$ respectively, $p < .001$). Factor analysis of the results generated the highest factor loadings for prior experience.
Self-preoccupation with perceptions of being "unable" lead to attentional misdirection. High anxious individuals are unable to focus on the task at hand. Sarason (1978) found this negative preoccupation to be at the core of test anxiety.
Using self-efficacy as a unifying theoretical construct, Wine (1971) postulated that test anxiety was not unidimensional. Since high test anxious persons typically interpret a wide range of situations as evaluative, reacting with cognitive concern and performance deficits, he posited that test anxiety was a cognitive-attentional construct. Assessment of the positive orientations to evaluation with measures of self-efficacy resulted in increased predictive power of the
test anxiety scale. Wine's research resulted a moderate, negative correlation ($r = -.37$) between self-efficacy and test anxiety. Using 350 adolescent subjects, those who scored as high test anxious reacted with self-reports of high emotional reactivity.
Bandura (1977) offered a task-specific conceptual framework of the self-efficacy construct. He proposed that for each study, a unique scale would be developed. Gist (1987) had also adopted this definition of self-efficacy and the means to measure it. In her study, she found decreased predictive power as the self-efficacy measure became more generalized.
In a review of the literature, Gist (1989) offered significant results with situationally specific efficacy scales. She postulated that key efficacy perceptions, when identified, discriminated between high and low performers. However, this held only when vague past performance information was available. She continued research using task-specific efficacy instruments to explore computer efficacy. Significant increases in performance occurred for subjects with high computer efficacy. This particular study looked at self-confidence, prior computer experience and past success in learning situations. The 6-item scale measured efficacy of computer operation over six difficulty levels.
In other related research, Wang and Richarde (1988)
conducted a study to reconcile accepted task-specificity of the efficacy construct with growing evidence that it may be validly measured with more generalized scales. Correspondence between general and specific measures resulted in a bipolar factor, suggesting that each scale assessed opposite aspects of the same construct. They concluded that the generalized measure would most successfully predict performance in situations that were less familiar or perhaps ambiguous to the individual.
In contrast to these and other findings, Riggs (1989) found moderate evidence for the suitability of a more generalized job efficacy scale. His research was conducted in work-related setting. The design of the scale emphasized its applicability across occupational types. Thus the scale was general enough to be used in a variety of work settings, but specific to the workplace. He found personal efficacy correlated with performance \((r = .21, p < .01)\) and reliably measured a single construct.
CLASSICAL AND MODERN TEST THEORIES
Psychometric justification for use of computers in screening and selection processes must be established in order to encourage widespread use within organizations. Modern test theory, when applied in computer-administered test settings, offers some promising resolutions to problems of subject artifacts.
Entrenchment of modern test theory in place of classical psychometrics is the basis for new, computerized testing models. However, even though arguments against modern test theory are not fully resolved, advantages continue to appear in the literature.
A common characteristic of traditional testing instruments includes the fixed set of items which are administered to all examinees (Weiss, 1982). Scale development is based on comparisons of some internal criteria (i.e., a psychological trait) with emphasis on assessment of item validity. Internal consistency is usually assessed by Cronbach's coefficient alpha (1951). The obtained test score distribution is compared with the test developer's desired test score distribution. This method of test development compounds the difficulty of standardized scoring methods.
Generally, no two tests scores may be compared.
Difficulty and discrimination indices vary according to the distributions of ability in subgroups of examinees. Therefore, traditionally developed tests are not independent of the samples on which their development is based. This sample dependency is readily reflected by changes in the reliability coefficient as a function of the true score variance in the particular sample, despite consistency in the size of the measurement errors. Sample dependency occurs in the classical parameters of item p-values, item-test correlations, and validity coefficients (Hambleton & van der Linden, 1982).
Observed test scores and error of measurement are estimated. For theoretical reasons, one would expect some differences between test-retest scores due to random influences. Construction of exacting parallel measures seems difficult from a practical standpoint. However, parallel testing procedures are necessary in order to avoid problems from repeated administration of the same test.
Guion and Ironson (1983) delineated shortcomings of classical test development as compared with modern test theory, or item response theory (IRT). Sample dependency, a single overall standard error of measurement for all examinees, restriction of comparison due to test score metric, and disregard for the pattern of item responses
all contribute to problems with classical psychometric theory. IRT readily addresses these issues.
Hambleton and van der Linden (1982) presented comparative analysis of classical test theory and IRT. Classical test theory aims at the level of the test whereas IRT aims at the level of the item. IRT establishes a different relationship between the test score and the variable measured by the test. Rather than aggregating item responses as the total score, IRT employs individual item responses, with probabilities of success as a function of the examinee and the item. Individual item responses are used as indicators of ability.
A growing body of evidence shows that test development could be improved if individual item information about item responses were used. Early researchers, such as Lazarsfeld (1950) categorized the estimated ability estimate as a "latent trait."
In monte carlo studies, Lord (1952, 1953) provided strong mathematical evidence for use of latent trait theory in test construction. IRT was later successfully applied to test score equating (Lord, 1975), tailored testing (Lord, 1968; Weiss, 1976), and test design and evaluation (Wright, 1977).
IRT replaces the classical test theory true score estimate with the latent parameter theta ($\theta$), which is not
indexed to the test. The true score scale depends on a specific set of items, but the ability scale does not.
Since IRT modeling begins prior to scoring of the test, quantitative item and ability parameters are used to explain qualitative item responses. IRT analysis uses models of probabilities of $P(\theta)$, as the probability of a specific response at a given ability level $\theta$ (Anderson, 1982).
One, two, and three item parameter models are used in IRT. Parameters are determined by item discrimination, item difficulty, and a guessing parameter. Conditional, direct, or marginal maximum likelihood methods are applied to estimate the parameters. Goodness of fit tests such as chi-squared check the appropriateness of the model chosen.
Examinee true score, using classical test theory, will vary across nonparallel measures of the same ability. IRT establishes an ability estimate that would be the same across a sample of items, whether parallel or nonparallel measures. Examinee performance on a measure is transformed to a standardized estimate of ability, $\theta$, as a common scale. Examinees may be compared even when they have not taken the same items. In this respect, IRT is a "test-free" measurement (Crocker & Algina, 1986). The scale of measurement, as an arbitrary unit of measure,
establishes the mean latent trait score as equal to 0 and the standard deviation as equal to 1.
A common assumption of IRT states that a single ability underlies and explains examinee test performance. This single ability is also assumed to be unidimensional. A test is defined as unidimensional if items throughout the test measure a single trait or ability. The latent trait accounts for the statistical dependence among items (Crocker & Algina, 1986).
Local independence is another assumption for the IRT models. This assumption states that the probability of an examinee answering a test item correctly would not be affected by performance on any other item in the test (Hambleton & Swaminathan, 1985).
Latent trait models specify a relationship between observable examinee test performance and an unobservable latent trait. Thus latent traits or abilities are not directly measurable (Hambleton and Swaminathan, 1985).
Another basic assumption of latent trait theory is that examinees' performance on a test can be predicted by defining examinee characteristics or traits. For example, examinee estimated scores on assumed underlying traits are subsequently used to predict test performance (Lord and Novick, 1968).
IRT models depend on the number of parameters used. In the Rasch model (Wright, 1977) all items have the same
discrimination parameter. In the two-parameter model, the discrimination and difficulty parameters are indexed. The three-parameter model, or the logistic model (Birnbaum, 1968), includes the guessing parameter. Fischer and Formann (1982) used the three-parameter logistic model since they found it more flexible for items and item formats.
Three, two, and one-parameter IRT models have been reviewed in the literature. Essentially, within each model, item parameters are used to determine the item characteristic curves (ICC; See Figure 1.). The trait scale is placed on the horizontal axis as the level of ability or $\theta$. The probability of a specific response to an item is on the vertical axis. Parameters are: (1) item discrimination, $a_i$, (2) item difficulty, $b_i$, and (3) the guessing parameter, $c_i$.
The slope of the ICC is related to the item discrimination parameter. If the slope of the curve is steep, the probability of a particular response changes rapidly in relation to the changes of the trait level. Items discriminate maximally among examinees at slightly different levels of the trait at the steepest point of the slope. If it may be assumed that all items are of near-equal discrimination, then this parameter may be set at a constant.
Figure 1.
Typical Item Characteristic Curve
Location of the curve along the horizontal axis is a function of the difficulty parameter. This is the point on the latent trait scale at which the slope of the ICC is at a maximum. Increased accuracy of prediction from use of the mathematically-derived ICC occurs, relating the probability of success on an item to the ability measured (Hambleton and Swaminathan, 1985).
The lower left asymptote of the ICC indicates the guessing parameter. This represents the probability of an examinee of low ability correctly answering an item (Guion and Ironson, 1983). If none of the items may be answered correctly by guessing, this parameter may be set to 0, reducing computational time.
The ICC is a nonlinear regression function considered as either a normal ogive or logistic curve, depending on the particular model used. The normal ogive is similar to the cumulative normal distribution. Although used predominantly in early research, it has been replaced recently with the computationally simpler logistic model (Birnbaum, 1968).
IRT has the added advantage of providing equal precision at all levels of the trait continuum being measured. The item pool has highly discriminating items equally represented at the full range of difficulty. Conversely, conventional test construction leads to difficulties such as the "bandwidth-fidelity" dilemma.
(Weiss, 1983). "Peaked" conventional tests are most precise at trait levels where the test is peaked, but it does not provide optimal measurement for examinees for whom the test is too easy or too difficult.
IRT therefore takes into account the pattern of item responses. A precise standard error of measurement at each ability level leads to maximum information at that level. In classical psychometrics, a total score based on aggregated item responses is used to compute the overall standard error of measurement. With IRT, the probability of an examinee correctly answering an item depends on the form of the ICC and is therefore independent of the distribution of examinee ability. The probability of a correct response does not depend on how many other examinees are located at the same ability level. This "sample independence" is one of the strongest characteristics of IRT. Compared with classical test theory, it clearly distinguishes itself as the more attractive model.
IRT research has typically been simulations (Urry, 1970; Lord, 1968). Applied research generally has been in educational settings (Olsen, et al., 1986; Pine, 1986; Weiss, 1982).
ADAPTIVE TESTS
In standardized ability tests, when item difficulty is varied, there is the unintended consequence that most examinees must respond to items that are either too easy or difficult to provide information about their ability. Adaptive tests provide an effective solution to this problem. The total number of items required for administration to achieve a specified level of measurement precision is reduced. This reduces boredom, minimizes test fatigue, saves time and money.
Urry (1977) discussed several advantages of the new, computer-adaptive testing technology which included: 1) standardized administration and avoidance of test bias from variations in administration variability, 2) less risk of compromise because tests would no longer be printed, and 3) improved validity and measurement accuracy.
Adaptive tests are a result of IRT models. Lord (1980) found adaptive testing to be a more accurate and equiprecise measurement throughout the range of the trait or ability tested. Item selection procedures are based on an estimation process that computes examinee ability. At each response, the computer chooses an item that would best estimate the examinee's true ability score ($\theta$). This
is based on an initial ability estimate, which is typically derived from prior ability test scores or from item parameters from a normative sample.
Assuming the initial ability estimate is valid, IRT uses an iterative process to select items, optimizing specific criteria. Methods include maximum likelihood estimation (MLE; Lord, 1980), maximum information item selection (Hambleton and Swaminathan, 1985), and Bayesian priors (McBride, 1977).
In a monte carlo study of adaptive testing, Hulin (1983) combined the MLE and maximum information item selection procedures. He found that for examinees in an adaptive test administration with $\theta$ as low as -1.75, $\theta$ was estimated more accurately than with conventional test administration.
Olsen, et al., (1986) and Bock and Mislevy (1982) found that the 3-parameter model generally provided a better fit to the data as compared with the other models. In both studies, computer-adaptive tests produced an ability distribution with a mean closer to 0, as well as smaller variance. Results in both studies were contrasted with those from paper-and-pencil and computer-conventional test administrations.
Test equating studies showed strong possibilities for alternate versions of measures. Huba (1988) developed
alternate versions of the Western Personnel Test (WPT; Gunn and Manson, 1962) which included paper-and-pencil and computer-conventional. Correlations between test forms were high ($r = .76$) and no significant differences between test groups resulted. He concluded that these alternate versions could be used interchangeably. Thus, paper-and-pencil versions of tests might easily be adapted to administration on computer.
Simulations by Urry (1977) have shown that a model with insufficient parameters led to ineffective adaptive testing. He recommended that test developers carefully review the theoretical implications of their test prior to choice of the model. He cited the an example of the inappropriate use of the Rasch model for tests with multiple-choice items, since this model did not support the fidelity of multiple-choice item response data.
In a study by Olsen, Maynes, Slawson, and Ho (1986) equating and comparison of paper-and-pencil, computer-conventional, and computer-adaptive tests resulted in no significant differences among administrations. Calibrations from 1, 2, and 3-parameter models showed increased test information and reduced standard errors as the number of parameters was increased. These results were similar to those of Bock and Mislevy (1982) in a study of effects of administrations using the Armed Services Vocational Aptitude Battery.
Hulin (1983) pointed out a variety of potential problems with adaptive testing. During the ability estimation process, and "initial item" is chosen. This item is generally administered to all examinees first, no matter what their ability level. It is considered a starting point for the estimation processes.
Disagreements have occurred among researchers regarding the importance of this initial item. However, Lord (1977) had provided evidence that choice of the initial item had little or no effect on accuracy of the ability estimates.
Computer-adaptive testing adds another dimension to screening and selection processes. Faced with a computer adaptive instrument, examinees might become fearful that the test is too short to be effective or fear that the computer has malfunctioned. Implications for computer anxiety research must be considered.
Issues of motivation are affected also. Adaptive testing eliminates administration of high-difficulty items to low-ability examinees, and conversely, administration of low-difficulty items to high-ability examinees. It may be predicted that increased efficacy would occur using computer-adaptive testing.
In a review of the literature that focused on anxiety in computer-adaptive conditions, Garrison and Baumgarten (1961) gave entry level college students attitude
questionnaires. Questions were formulated such as: "The amount of time between questions was too fast/too slow..." "Operating the computer was simple/confusing," "while taking the test I was nervous/relaxed." A majority of the subjects responded with positive attitudes, even though nearly half found the use of the computer as more difficult.
Pine (1986) researched the possibility that adaptive testing provided increased motivation. He also assessed the test equivalency between paper-and-pencil methods and computer-adaptive methods. Using a 4-item scale to assess nervousness, he found significant effects of increased anxiety in the adaptive condition. He concluded that the constant matching of examinee ability on an item-by-item basis increased nervousness.
RESEARCH QUESTIONS
The present study used measures of general, test, and computer anxiety, along with self-efficacy and computer-efficacy scales to compare effects among three testing conditions. Equated computer-adaptive, computer-conventional, and paper-and-pencil formats were compared. It was predicted that no significant differences among administration methods would be found.
It was also predicted that the general self-efficacy scale and the computer-efficacy scale would be highly correlated. A negative correlation in the range of .30 was expected between the efficacy and anxiety instruments.
METHOD
Subjects
The test site was a small office at a private, for-profit personnel agency. Individuals who applied for work at a personnel agency were available for testing at an average of 5 to 10 applicants per day. Test batteries were required for placement in occupations such as clerk/typist, secretary, office manager, file clerk and other related clerical jobs. Ss ranged in age from 16 to 73, with both male and female applicants. Only 10 males participated in this study. Demographic statistics are presented in Table 1.
Random assignment to group, or test condition, occurred with each test condition in consecutive order until a total of 50 Ss participated in each condition. Conditions were: computer-adaptive, computer-conventional, and paper-and-pencil.
Ss in all three conditions were briefed, in writing, about the confidential nature of the test results, as well as provided full disclosure of the purpose of the questionnaire. Ss were given the right to terminate participation in the experiment by not turning in the questionnaire data. This addressed the issue of informed consent. Out of 150 total Ss, ten were eliminated due to
lack of complete test data. All but four Ss turned in the questionnaire.
Full disclosure of the purpose of the test took place immediately following the test, in writing. Treatment of participants was in accordance with the ethical standards as presented by the American Psychological Association.
Instruments
This study used measures of clerical aptitude as the test content. Clerical aptitude tests are measures of a specific aptitude or ability which emphasize perceptual speed and accuracy. Anastasi (1988) defined aptitude as a cumulative influence of multiple experiences. Clerical skills typically demand a large portion of time spent on tasks that require speed and accuracy to perceive details.
Tests of alphabetizing skills are considered job sample tests as opposed to aptitude measures. The "file-drawer" aptitude test was therefore a job sample test. The "name/number comparison" test was considered a clerical aptitude test, with scores depending on speed and accuracy. Anastasi (1988) found a marked and consistent difference in favor of women for such skills.
Clerical aptitude, along with other aptitude, achievement and ability measures, have been found to be valid predictors of performance on the job and in training for all jobs in all settings (Schmidt and Hunter, 1981).
Through validity generalization, it was therefore established that cognitive ability tests are equally valid for both minority and majority applicants. Cognitive test validities are generalizable with confidence across organizations and settings.
Additional research by Schmidt and Hunter (1981) resulting from data of 370,000 clerical workers provided consistent validity measures across five different task-defined clerical job families.
A review of available clerical aptitude batteries, such as the Clerical Abilities Battery and the Minnesota Clerical Test provided guidance for item construction. After the clerical tests were constructed, they were administered to 200 subjects in Study 1\(^1\).
Three equivalent versions of the two tests were developed (i.e., computer-adaptive (CA), computer-
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\(^1\)Item parameters were calculated based on responses by 200 Ss scores on the "file-drawer" and "name/number comparison" tests. Ss were recruited from undergraduate and graduate students at a Southern California University, ranging in age from 18 to 55, including males and females. Tests were administered in a classroom setting using portable computers over a period of six weeks. Both tests had 108 items each. Ss entered responses and data were collected on computer diskettes, analyzed, and used to produce item parameters. Only ten items of the "file-drawer" test were deleted due to no variance. Item parameters were based on the 3-parameter logistic model (Birnbaum, 1968). An adaptive version of the tests was generated using a computer program designed for this purpose (MicroCAT Testing System, version 3.0; Microcat Assessment Systems Corporation, 1989).
conventional (CC), and paper-and-pencil (PnP).
In the computer-administered conditions, Ss used a portable computer to enter responses. The CA condition matched item difficulty to previous examinee responses and therefore all subjects were not administered the same items. The CC condition presented all items in the same order as was presented in the PnP condition. Ss in the CC condition entered responses on the computer keyboard. All Ss in the computer conditions were briefed verbally by agency staff about how to enter the responses and were prompted on keyboard familiarity.
The PnP condition consisted of all test items administered using paper and pencil. Ss were given the test and sat in the testing area of the office. This method included written instructions for the test, along with practice items.
A self-report questionnaire was developed to assess anxiety and efficacy (See Appendix A). General anxiety was measured by the State Trait Anxiety Index (STAI; Spielberger, Luchene, and Goshen, 1970). Only State anxiety was assessed using a 20-item format. Trait anxiety was not assessed due to the nature of the construct as a stable personality characteristic.
Reliability estimates for the State anxiety scale were estimated to be in the range of .91 to .94 (Spielberger, 1966). Significant correlations between
State anxiety scale and Trait anxiety scale were found in the range of .70 to .75 in working adults (Spielberger, 1966). Stronger correlations were found in social-evaluative situations. Convergent and divergent validity reported by Spielberger (1980) positions the State anxiety scale as a solid measure.
Test anxiety was measured using the Test Anxiety Index (TAI; Spielberger, 1978). No changes or deviations from the standard 20-item scale occurred. Reliability of the TAI was reported in the range of .94 to .95 (Spielberger, 1978). The TAI was found to correlate .56 with the Test Anxiety Scale (TAS; Sarason, 1978), confirming its use as a situation-specific measure of anxiety proneness during tests.
Computer anxiety was assessed with the appropriate factor from the Computer Anxiety Rating Scale (CARS; Rosen, et al., 1988), a 19-item scale. Reliability of the scale ranged from .93 to .95 (Rosen, et al., 1988). Rosen cautioned on use of only a single factor from his research without verification through replication. However, use of the scale in the present study was perceived as acceptable due to the high face validity of the items. Additionally, Rosen reported that this factor accounted for 40.3% of the total variance explained in computer anxiety, as measured by his multi-dimensional scale.
Efficacy was assessed with both task-specific and general scales. Gist (1989) presented a specific computer-efficacy scale consisting of six items. Her research focused on efficacy in a training setting. The items were rated on a scale of 1 to 10, with a "can do/cannot do" response. For the purposes of this study, the question stems were used but with a more standard, 1 to 6 Likert format. The effects of this change on the psychometric properties of this scale could not be assessed, but were believed to be negligible.
The general self-efficacy scale (Riggs, 1989) was also administered based on its strong face validity. This 12-item scale was expected to contribute additional information about mean group differences on anxiety measures. The research conducted by Riggs included measures of outcome expectancy. The test-retest reliability was .80.
The combination of all scales produced a questionnaire of 75 items, which was presented in a paper-and-pencil format. Ss circled the answer that corresponded to their response. Questionnaires were placed in a sealed envelope to protect confidentiality.
**Procedure**
Ss entered the office of the personnel agency and requested an application for employment. They were handed
a clipboared and seated in the testing area. Agency staff reviewed the completed application for demographic data such as age, years clerical experience, total years education, years computer experience, computer ownership, and sex.
All Ss were tested. Each S was assigned a random identification number. Ss sat at either the computer terminal or in the testing area, depending on the assigned test condition. Staff of the personnel agency were briefed on the purpose of the experiment, the use of the computer, and how to collect test data. On site data collection took place over a period of approximately five months.
Once the testing was completed, all Ss were given the questionnaire, which included an introductory statement underscoring the confidentiality of the responses and that responses would not influence a decision for hire. This disclosure was repeated throughout. Approximately 20 extra minutes was required to fill out the questionnaire.
After completion of the questionnaire, Ss were presented with a written statement of disclosure regarding the purpose of the experiment.
The experiment had 3 conditions: 1) computer-adaptive, 2) computer-conventional, 3) paper-and-pencil. Testing was followed by administration of the questionnaire with five scales consisting of: 1) State
anxiety (STAI), 2) test anxiety (TAI), 3) computer anxiety factor from the computer anxiety rating scale (CARS), 4) general self-efficacy, and 5) computer-efficacy.
Results from the clerical tests were kept separate from the questionnaire data collection procedure. In order to preserve the experimental conditions, informed consent took place after each S had completed both the clerical tests and the questionnaire. Actual scores for placement were scored and ranked according to percentile norms by agency staff. Agency employees had no access to responses on the questionnaire. Ss were asked to place the questionnaire in an envelope and seal it. Only a randomly-assigned identification number appeared on the outside.
Applicants were then asked to interview for job placement. Test scores from the clerical batteries were used for screening/selection purposes.
RESULTS
A one-way ANOVA was conducted to compare the mean group differences among the three conditions using measures of state, test, and computer anxiety and efficacy scales, as well as on demographic variables. No significant differences among experimental conditions were found. For each ANOVA, the standard error of measurement for the dependent variable of interest was used as an effect size estimate, allowing for estimation of the statistical power. Power was uniformly high, ranging from .70 to .90.
In addition to conducting statistical tests for significance of group mean differences using one-way ANOVAs, additional light was shed on the magnitude of the group differences by the calculation of credible intervals (Hays and Winkler, 1971), also referred to as High Density Regions (HDR; Schmitt, 1969).
Credible intervals provide a probabilistic means by which to weight interpretation of the outcome of no significant differences. As a scale of credibility, they are presented in a familiar metric. Like 95% confidence intervals, credible intervals may be interpreted as a 95% chance the true mean difference is in the interval. Ends of the interval are compared, relative to 0, to the
standard error of measurement for the dependent variable of interest. If an interval includes 0, the probability is low that there is a large difference among group means and a Type II error has occurred. If the interval does not include 0, then there is not unequivocal support for the claim of no differences.
The ANOVA on the State anxiety from the STAI resulted in no significant differences. Results are presented in Table 2.
Table 2
STAI
| Source | DF | SS | MS | Ratio | Probability |
|--------|------|--------|-------|-------|-------------|
| Between| 2 | 59.81 | 29.91 | .33 | .72 |
| Within | 124 | 11246.41 | 90.70 | | |
| Total | 126 | 11306.22 | | | |
A 95% credible interval was calculated for STAI comparing CA to CC (HDR = -2.0350 to 1.5150). This interval included 0. The magnitude of the differences between the means was compared to the standard error of measurement for STAI (SEM = 2.81). Coupled with the credible interval estimate, this comparison suggests that
a conclusion of no substantive differences among groups on the STAI remains tenable. This analytic approach was continued for each pairwise comparison of the experimental conditions for each dependent variable.
The credible interval for the difference between CC and PnP ranged from -1.0063 to 3.5357, again relative to the SEM of 2.81.
The credible interval for the difference between CA and PnP also substantiated the result of no difference (HDR = -.7207 to 2.8728; SEM = 2.81.
The ANOVA conducted on TAI resulted in no significant differences. Results are presented in Table 3.
Table 3
| Source | DF | SS | MS | Ratio | Probability |
|--------|------|--------|-------|-------|-------------|
| Between| 2 | 226.55 | 113.27| .85 | .43 |
| Within | 124 | 16576.68 | 133.68 | | |
| Total | 126 | 16803.23 | | | |
Calculated 95% credible intervals for the TAI resulted in a difference between CA versus CC that ranged from -1.13 to 5.06; CA versus PnP ranged from .7015 to 5.7585; and CC versus PnP ranged from -.3540 to 2.840.
These intervals should be interpreted relative to the standard error of measurement which was 3.0634. Only the CA versus PnP interval does not include 0.
Similar results were achieved with the ANOVA on the CARS factor of computer anxiety. No significant differences were found. These results are reported in Table 4.
Table 4
Computer Anxiety
| Source | DF | SS | MS | Ratio | Probability |
|--------|------|--------|-------|-------|-------------|
| Between| 2 | 228.90 | 114.45| .63 | .53 |
| Within | 122 | 22090.29 | 181.07 | | |
| Total | 126 | 22319.20 | | | |
Computation of the 95% credible intervals for the CARS factor of computer anxiety resulted in the difference between CA versus CC ranging from -2.83 to 3.19 and CC versus PnP ranging from -.07 to 5.54, with both intervals including 0. These should be compared to the SEM = 3.32, with the conclusion of no substantive differences.
The conditions of CA versus PnP resulted in the difference ranging from .08 to 5.75. This did not include
0, but the lower end of the interval was close to 0 when contrasted to the SEM = 3.32. Marginal non-significance was found in the one-way ANOVA for the self-efficacy scale \((F(2,122) = 2.66, p = > .05)\). The CA condition had a higher mean score \((M = 56.14)\).
The results of the ANOVA for self-efficacy are presented in Table 5.
**Table 5**
**Self-Efficacy**
| Source | DF | SS | MS | Ratio | Probability |
|----------|----|--------|-------|-------|-------------|
| Between | 2 | 417.45 | 208.72| 2.66 | .07 |
| Within | 122| 9559.07| 78.35 | | |
| Total | 124| 9976.51| | | |
Calculation of the 95% credible interval for CA versus CC ranged from 1.22 to 5.06, with SEM = 3.02. The interval for CA versus PnP was 2.24 to 6.13. Neither of these intervals included 0. With other dependent variable group comparisons, the credible interval either included 0 or had a lower bound that was close in absolute magnitude and close to 0 relative to the SEM. However, with the self-efficacy measure, mean differences with experimental conditions produced credible intervals that did not
include 0. The lower bounds of the interval were also not close to 0 in absolute terms and different from 0 by a substantial portion of the SEM.
The credible interval for CC versus PnP was -0.72 to 2.52m which included 0.
Results of the ANOVA with findings of no differences among groups for the computer efficacy variable are presented in Table 6.
Table 6
Computer Efficacy
| Source | DF | SS | MS | Ratio | Probability |
|--------|----|------|-------|-------|-------------|
| Between| 2 | 30.49| 15.25 | .58 | .56 |
| Within | 132| 3445.51| 26.10 | | |
| Total | 134| 3476.00| | | |
Credible intervals for computer efficacy were not calculated because instrument was not used in any manner similar to that reported in the literature. No prior estimate of variance from the scale using the 1 to 6 Likert format was available from which to calculate the intervals.
Analysis of the relationships among the five scales
yielded moderate correlations between general and test anxiety \((r = .51, p < .001)\). Computer anxiety was not significantly related to general anxiety \((r = .09, p > .05)\).
Negative correlations between the anxiety scales and measures of efficacy occurred, as was supported by the literature (Wine, 1971). Additionally, general self-efficacy correlated with computer anxiety \((r = -.28, p < .001)\), as was predicted.
A moderate correlation occurred between general and computer efficacy measures \((r = -.37, p < .001)\). General self-efficacy accounted for 24% of the variance in test anxiety. Also, 26% of the variance in general anxiety could be accounted for by test anxiety. Results of the correlation matrix are presented in Table 7.
Reliability coefficients (using Cronbach's Alpha), reported in Table 1, for all scales were acceptably high. The lowest reliability occurred with the STAI \((r = .84)\).
Table 7
Correlation Matrix
| | General Anxiety | Test Anxiety | Self Efficacy | Computer Anxiety | Computer Efficacy |
|----------------|-----------------|--------------|---------------|------------------|-------------------|
| **General** | | | | | |
| Anxiety | 1.000 | .52** | -.50** | .09- | .26* |
| **Test** | | | | | |
| Anxiety | .52** | 1.000 | -.37** | .24* | -.25* |
| **Self-Efficacy** | - .50** | - .37** | 1.000 | - .30* | .38** |
| **Computer** | | | | | |
| Anxiety | .09 | .24* | -.28* | 1.000 | - .33** |
| **Computer** | | | | | |
| Efficacy | -.26* | -.25* | .37** | - .33** | 1.000 |
N of CASES: 99
1-Tailed Significance: * .01
** .001
Table 1
Overall and Group Dependent Variable Means, Standard Deviations, and Alpha Measures
| | N | Mean | Standard Deviation | Cronbach's Alpha |
|-------|-----|-------|--------------------|------------------|
| STAI | | 36.71 | 9.48 | .84 |
| CA | 42 | 36.07 | 1.20 | |
| CC | 39 | 36.33 | 8.55 | |
| PnP | 46 | 37.61 | 11.54 | |
| TAI | | 36.12 | 11.55 | .97 |
| CA | 40 | 37.93 | 12.11 | |
| CC | 42 | 35.95 | 10.75 | |
| PnP | 45 | 34.67 | 11.80 | |
| CARS | | 31.68 | 13.42 | .96 |
| CA | 40 | 32.75 | 13.90 | |
| CC | 42 | 32.57 | 12.62 | |
| PnP | 43 | 29.81 | 12.62 | |
| SE | | 53.65 | 8.97 | .87 |
| CA | 42 | 56.14 | 9.82 | |
| CC | 41 | 52.93 | 8.12 | |
| PnP | 42 | 51.86 | 8.51 | |
| CE | | 30.00 | 5.09 | .91 |
| CA | 44 | 30.41 | 5.45 | |
| CC | 45 | 29.33 | 5.05 | |
| PnP | 46 | 30.26 | 4.83 | |
Analysis of the demographic data resulted in a significant difference among the experimental groups in full-time work experience \((F(2,137) = 8.51, p < .001)\). The PnP condition \((M = 8.06)\) had the highest full-time years of work experience as compared to the CA condition \((M = 3.11)\) and the CC condition \((M = 4.54)\). No other significant differences between groups were found on other demographic variables.
To summarize, statistical analysis consisted of oneway ANOVAs on variables to compare group means. No differences among conditions were found on measures of general, test, and computer anxiety, along with general self-efficacy and computer efficacy. The credible intervals suggested that there were no substantive differences.
DISCUSSION
This study was designed to provide evidence that computerized and computer-adaptive tests would not adversely affect anxiety levels or efficacy when assessing clerical skills. The results of this study clearly suggest that this is the case.
These results accentuate findings by Schmidt, Hunter, McKenzie, and Muldrow (1979) regarding the economic utility of valid selection procedures. Their review of the literature emphasized increased productivity of workers tested with innovative testing technologies such as computers. They found that innovative selection procedures reduced test time and cost of administration, allowing for increases in the total number of applicants screened.
Hambleton, et al., (1978) pointed out the advantages of adaptive tests and the latent trait theoretical approach to resolve mental measurement problems. This study contributed to the growing body of evidence that applied latent trait theory and use of computers in testing situations actually help eliminate some of the long-standing measurement dilemmas such as length of test, fatigue, practice effects, and others while not increasing anxiety.
Review of the performance of the separate dependent measures produced interesting outcomes. The STAI performed equally well in this study as it did in research conducted by Spielberger (1978). Mean scores were comparable. However, it should be pointed out that Spielberger's data was primarily gathered in educational and clinical settings. He also focused his research on issues of validity, as did most other studies (Spielberger and Sarason, 1961). This study, on the other hand, looked only at the effects among methods of test administrations.
Hedl and O'Neil (1977) found reduced State anxiety under conditions of computer-based learning. Their study presented the computer testing environment as less anxiety-provoking overall. While the current study did not replicate the findings of less anxiety, adverse effects were not increased.
Analysis of data from the present study found lower mean scores of the TAI in all three conditions as compared to research and normative data presented by Sarason (1978). The lowest mean value occurred in the paper-and-pencil condition. Ss expressed less worry about test results and reduced cognitive concern. Sarason's research was conducted using students who were less likely to have even moderate years of work experience. In the present study, Ss had not only work experience, but also clerical
experience. Thus the test itself was not new material, and was not perceived as threatening.
Perceptions of an evaluative condition were minimized for all conditions by use of simple test instructions and a set of practice items preceding each clerical test. Non-achievement orienting instructions were found to affect the levels of general and test anxiety in a study by Sarason (1978). A reduction in the evaluative threat resulted in less general and test anxiety. Both this study and Sarason's had similar results. However, as pointed out earlier, Sarason conducted the study in educational settings. The present study therefore extends these findings into the workplace.
In an analysis of correlates of computer anxiety, Morrow, et al., (1986) found attitudinal or personality variables did not explain as much variance as prior experiences. However, researchers defined experience as prior, hands-on use of computers. Their research pointed out the possibility that computer anxiety may be a modifiable condition.
Spielberger (1966) had also found test stimuli contributing to the level of test anxiety. Thus, reduction of the evaluative threat, such as changes in the test instructions would help decrease anxiety levels in examinees. This study used not only non-threatening instructions, but also provided practice items for the
clerical tests.
The CARS factor of computer anxiety produced mixed results. A non-significant correlation was found with the TAI. The correlation with STAI was only modest. These results accounted for less than 1% of the variance found in the STAI, and approximately 5% of the variance in the TAI. Rosen (1988) had cautioned against the use of any single factor of the CARS, stating that interpretation should be treated prudently. The observed, mixed results support this caution. However, given the applied setting in which the CARS factor was used, it still yielded no significant differences among the group means and high reliability (alpha = .96).
Items found in the computer anxiety scale had high face validity and therefore performed well in the applied workplace setting. Nonetheless, Ss in the PnP condition did not use a computer. Many Ss failed to respond to these items. For this reason, the only genuinely accurate comparison could be made between the CA and CC conditions.
Mean scores on computer anxiety were found to be lower overall in the present study (CA; M = 32.75, CC; M = 32.57, PnP; M = 29.81). This may be due to response sets. Social desirability was stronger as a result of the screening/selection process. Ss wanted to appear less anxious about the use of computers, reflecting an
acceptance of the inevitable appearance of computers in the workplace.
Ss in the PnP condition had the lowest scores in computer anxiety, since they did not use a computer for testing. However, no significant differences occurred among conditions. Applicants may have wanted to appear more likely to be easily trained, and more willing to work with computers on the job. It should be pointed out that items on the computer anxiety scale were worded so that all Ss could respond.
Efficacy measures were included to assess other possible reactions to the testing process. Ss in the CA condition had the highest scores for general job self-efficacy (M = 56.14) as compared with the CC condition (M = 52.93) and the PnP condition (M = 51.86). Two studies (Brod, 1982; Hill, et al., 1987) also found that increased self-efficacy beliefs contributed to the ability to adapt to innovative technologies such as the use of computers. Despite the results of no significant differences among group means, the higher mean for the CA condition suggests some relevance to the Brod (1982) and the Hill, et al.(1987) studies. Continued research in this direction may uncover a trend toward more efficacious beliefs in computer conditions.
Ss in the CA condition had the highest levels of self-efficacy. Ss in this condition may have considered
the adaptive test as a "cutting edge" experience in the screening/selection process. Since computers continue to penetrate the workplace, applicants may have viewed their experience as an encounter with the office tool of the future. The fact that they simply were able to use it may have affected their sense of self-confidence and ability to perform well.
Gist (1989) found that task-specific efficacy measure most useful in determining prior task mastery. Since applicants in the present study had a substantial amount of prior work experience, it follows that their self-reported measures of efficacy would indicate a stronger sense of capability to perform a task. Results of this study confirm these findings.
Comparisons of the CARS computer anxiety factor with the efficacy measures yielded moderate negative correlations \((r = -.28, p < .01\) for general job self-efficacy; \(r = -.33, p < .01\) for computer efficacy\). If high anxious examinees experienced performance decrements, and efficacy measures have been found to increase the predictive validity of anxiety scales, this relation is reestablished in this study (cf., Wine, 1971).
Furthermore, the task-specific computer efficacy measure may be useful as a predictor of high performance. The study by Hill, Smith, and Mann (1987) found high selfefficacy as an indicator of willingness to use a computer, and helped distinguish those who were computer illiterates.
A negative correlation was found between general job self-efficacy and the STAI (r = -.49). In a study with parallel results, Wine (1971) found a - .36 correlation between the two scales. The general efficacy items had high face validity for job applicants. Questions were work related and might have easily been considered task-specific in the applied setting.
The higher negative correlation in the present study contradicts the findings by Gist (1989). Her study found decreased predictive utility of more general efficacy measures. However, her study focused on training aspects of computer use.
This study presented a cumulative corroboration of the hypothesis of no difference among testing methods. The results seem generalizable based on the applied setting of the study. Ss in the sample used were probably typical of employment agency applicants in general.
The outcome of this study has favorable utility for continued research. Overall, the computer-adaptive method does not present significant obstacles to test-taking strategies as delineated by Burke and Normand (1987), nor does it significantly affect levels of anxiety. As computer-administered testing continues to expand into all
realms, the results reported here suggest examinees will not experience higher levels of anxiety.
Examinees tested by computer-adaptive instruments do not experience increased levels of anxiety even though they are faced with a format very different from the paper-and-pencil method. They cannot review test questions in advance, nor can they necessarily repeat questions, especially with timed tests. Nonetheless, this study showed evidence that this new experience did not significantly affect anxiety levels.
Applicant self-efficacy was found to be associated with anxiety levels. With a need for ever more accurate screening and selection procedures, employers may be faced with the need to assess trainability and worker confidence in relation to computers. Computer-adaptive technologies, along with conventional computer use, do not present any additional problems to either employer or prospective employee.
This research has contributed to the understanding of the theories of applied modern test theory. It has additionally provided a basis for additional studies in applied settings. Further research on this might include an expanded subject pool to cross-validate findings. The issue of computer anxiety has yet to be fully explored, with an adequate scale to measure the construct. Other
extensions of this research might question whether these findings are generalizable to other abilities besides clerical skills, such as spatial, mental, psychomotor, mechanical, and others.
This study provides a strong foothold for future test developers, opening the door to new testing technology. Since no increases in anxiety were found in the computer-adaptive administration, statisticians and test constructors may begin to readily access item response theory for a more accurate, efficient, and quicker method of testing.
APPENDIX "A"
QUESTIONNAIRE
PART 1.
A number of statements which people have used to describe themselves are given below. Read each statement and circle the number that corresponds to your present feelings. There are no right or wrong answers. Do not spend too much time on any one statement.
1 = not at all
2 = moderately so
3 = somewhat
4 = very much so
1. I feel calm........................................... 1 2 3 4
2. I feel secure....................................... 1 2 3 4
3. I am tense......................................... 1 2 3 4
4. I feel strained................................. 1 2 3 4
5. I feel at ease.................................... 1 2 3 4
6. I feel upset...................................... 1 2 3 4
7. I am presently worrying over possible misfortunes..... 1 2 3 4
8. I feel satisfied.................................. 1 2 3 4
9. I feel frightened............................... 1 2 3 4
10. I feel comfort.................................. 1 2 3 4
11. I feel self-confident.......................... 1 2 3 4
12. I feel nervous.................................. 1 2 3 4
13. I am jittery..................................... 1 2 3 4
14. I feel indecisive.............................. 1 2 3 4
15. I am relaxed.................................... 1 2 3 4
16. I feel content.................................. 1 2 3 4
17. I am worried................................... 1 2 3 4
18. I feel confused............................... 1 2 3 4
19. I feel steady................................... 1 2 3 4
20. I feel pleasant............................... 1 2 3 4
PART 2.
1 = almost never
2 = sometimes
3 = often
4 = almost always
21. I feel confident and relaxed during tests........... 1 2 3 4
22. I have an upset, uneasy feeling during important tests.................. 1 2 3 4
23. Thinking about the final score on tests interferes with my ability to take the test................................. 1 2 3 4
24. I freeze up on important tests.......................... 1 2 3 4
25. During tests, I think about whether I’ll succeed.......................... 1 2 3 4
26. I become confused when working on tests.. 1 2 3 4
27. Thoughts of doing poorly interfere with my concentration while taking a test............................................ 1 2 3 4
28. I feel jittery during tests............................... 1 2 3 4
29. I feel anxious during tests, even when I’m well prepared............. 1 2 3 4
30. I feel uneasy before getting the results of my test...................... 1 2 3 4
31. I feel tense during tests.................................. 1 2 3 4
32. I wish tests did not bother me so much........... 1 2 3 4
33. I get so tense that my stomach gets upset during tests.................. 1 2 3 4
34. I defeat myself on tests.................................. 1 2 3 4
35. I feel panicky during tests................................ 1 2 3 4
36. I worry before important tests.......................... 1 2 3 4
37. I am thinking of failing during tests................. 1 2 3 4
38. My heart beats fast during tests........................ 1 2 3 4
39. I continue to worry after the test is over......................... 1 2 3 4
40. I get nervous and forget facts during a test......................... 1 2 3 4
PART 3.
Think about your ability to do the tasks required by your job. If you are not currently employed, think about the job you have applied for or are seeking. When answering the following questions, answer in reference to your own personal work skills and ability to do your job.
REMEMBER--YOUR ANSWERS WILL HAVE NO INFLUENCE OR EFFECT ON HIRING DECISIONS. IF YOU HAVE ANY QUESTIONS ABOUT THIS, PLEASE ASK THE TEST ADMINISTRATOR NOW.
1 = strongly disagree
2 = disagree
3 = disagree somewhat
4 = agree somewhat
5 = agree
6 = strongly agree
41. Few people in my line of work can do my job better than I can........ 1 2 3 4 6
42. I have the confidence in my ability to do my job.......................... 1 2 3 4 6
43. I enjoy doing my job......................................................... 1 2 3 4 6
44. There are some tasks required by my job that I cannot do well....... 1 2 3 4 6
45. When my performance is poor, it is due to my lack of ability........... 1 2 3 4 6
46. I doubt my ability to do my job............................................ 1 2 3 4 6
47. I have all the skills needed to perform my job very well............... 1 2 3 4 6
48. Most people in my line of work can do this job better than I can..... 1 2 3 4 6
49. I am an expert at my job.................................................... 1 2 3 4 6
50. My future in this job is limited because of my lack of skills........ 1 2 3 4 6
51. I am very proud of my job skills and abilities............................ 1 2 3 4 6
52. I feel threatened when others watch me work.............................. 1 2 3 4 6
PART 4.
HOW NERVOUS OR ANXIOUS WOULD YOU FEEL IF:
1 = not at all
2 = a little
3 = a fair amount
4 = much
5 = very much
51. You took a class in computer language (e.g., Basic, Cobol, etc.)................. 1 2 3 4 5
52. You applied for a job that required some training in computers............. 1 2 3 4 5
53. You reviewed and looked at a computer printout.................................. 1 2 3 4 5
54. You visited a computer center.......................... 1 2 3 4 5
55. You used a computer program to write a report............................... 1 2 3 4 5
56. You got an "error message" from the computer.............................. 1 2 3 4 5
57. You were asked to learn to write computer programs....................... 1 2 3 4 5
58. You dealt with billing errors that were caused by a computer...... 1 2 3 4 5
59. You learned to use the computer keyboard.................................... 1 2 3 4 5
60. You used a calculator that has statistical functions such as means, standard deviations, and correlations........... 1 2 3 4 5
61. You used a pre-packaged computer program to balance your checkbook........ 1 2 3 4 5
62. You attended a workshop on uses of computers............................. 1 2 3 4 5
63. You erased or deleted material from a computer file....................... 1 2 3 4 5
64. You thought about purchasing pre-packaged programs for a computer (software).................. 1 2 3 4 5
PART 4. (Continued)
1 = not at all
2 = a little
3 = a fair amount
4 = much
5 = very much
65. You took a class about the uses in computers......................... 1 2 3 4 5
66. You learned computer technology.............. 1 2 3 4 5
67. You thought about buying the hardware to go along with a personal computer (e.g., disk drive, modem).................. 1 2 3 4 5
68. You thought about having to take a class that required limited use of a computer............................... 1 2 3 4 5
69. You used a computer to do statistical computations........................................... 1 2 3 4 5
PART 5:
I WOULD BE CAPABLE OF OPERATING A MICROCOMPUTER:
1 = strongly disagree
2 = disagree
3 = disagree somewhat
4 = agree somewhat
5 = agree
6 = strongly agree
70. When I am provided with written instructional material.................. 1 2 3 4 56
71. When the computer gives me instructions at each step, and informs me when I have completed a step successfully........... 1 2 3 4 56
72. When I am able to listen to someone giving instructions, who pauses as I complete each step.............................................. 1 2 3 4 56
73. When I am able to watch someone going through the steps before I try the procedures myself............. 1 2 3 4 56
74. When there is an instructor to watch me as I complete each step, and give me feedback about the correctness of my actions............ 1 2 3 4 56
75. When there is an instructor to guide me by telling me each step as I proceed, and explaining the steps and any errors I make............. 1 2 3 4 56
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|
Dosing methods in ECT
Should the Scandinavian time-titration method be resumed?
NACT 16th Nordic Experience Meeting | Tallinn, May 25-27, 2022
Per Bergsholm, M.D., dr. med.
Psychiatrist, District General Hospital of Førde, Norway
One day in 2018, I sat in my home in Førde, Western Norway, screening PubMed on electroconvulsive.
Then an article from the other side of the world appeared. It was written by Stephen Rosenman in Australia. The title was “Electroconvulsive therapy stimulus titration: Not all it seems.” He argued that “seizure threshold titration in electroconvulsive therapy is not a proven technique of dose optimization.” Moreover, he wrote that “It is a prematurely settled answer to an unsettled question that discourages further enquiry. It is an example of how practices, assumed scientific, enter medicine by obscure paths.”
NACT Nordic Association for Convulsive Therapy
Response to Rosenman ‘electroconvulsive therapy stimulus titration: Not all it seems’
Colleen K Loo\textsuperscript{1,2}, Donel Martin\textsuperscript{1,2}, William Vaughn McCall\textsuperscript{3} and Harold Sackeim\textsuperscript{4,5}
\textsuperscript{1}School of Psychiatry, University of New South Wales, Sydney, NSW, Australia
\textsuperscript{2}Black Dog Institute, University of New South Wales, Sydney, Australia
\textsuperscript{3}Department Psychiatry and Health Behavior, Medical College of Georgia, Augusta University, Augusta, GA, USA
\textsuperscript{4}Departments of Psychiatry and Radiology, Columbia University College of Physicians and Surgeons, New York, USA
\textsuperscript{5}Department of Biological Psychiatry, New York State Psychiatric Institute, New York, USA
In a commentary, Loo and Martin in Australia, together with McCall and Sackeim in USA, wrote that «we disagree with the conclusions he reached,» and they presented thorough arguments against Rosenman.
However, Kellner and Borys in New York commented that “we completely agree and believe this represents the field having rushed from small research datasets to premature implications in clinical practice.”
Cronholm and Ottosson’s threshold from the 1960s was a dynamic of duration: A stimulus long enough to push the evolving seizure far enough along its path that it reliably continues to completion.
Sackeim’s threshold from the 1980s is a dynamic of intensity: A stimulus that would trigger the seizure by repeated stimuli with increasing frequency from 20 to 140 pulses per second.
Rosenman also wrote that Cronholm and Ottosson’s threshold from the 1960s was a “dynamic of duration,” i.e. a stimulus long enough to “push” the evolving seizure far enough along its path that it reliably continue to completion, whereas Sackeim’s threshold from the 1980s is a “dynamic of intensity,” i.e. a stimulus that would “trigger” the seizure by repeated stimuli with increasing frequency from 20 to 140 pulses per second. Actually, it was Hertz in the original papers, so it should be 40 to 280 pps.
Now, my memory wandered backwards 40 years, to Bergen, still Western Norway, where I lived and worked in the 1970s and 80s.
In 1979, I turned from neurology to psychiatry, and began working in the Psychiatric Clinic at Haukeland University Hospital. There I met professor Giacomo d’Elia, who had come from Sweden the year before, and to Sweden from Italy several years before. His supervisor in Sweden had been Jan-Otto Ottosson, who I also soon met. Giacomo became my supervisor. He taught me what I have named “the Scandinavian time-titration method”.
Börje Cronholm and Jan-Otto Ottosson in Sweden, Giacomo d’Elia in Sweden and Norway, and Lizzie Sand Strømgren in Denmark, are the names behind this method.
The Scandinavian time-titration dosing
**STIMULATION**
1. **Right unilateral** parietotemporal with long distance (12 cm).
2. Not a prefixed stimulus duration
3. Current is interrupted as soon as the clonic contractions shift to the tonic phase, most readily observed in the plantar extension of the great toes
**OBSERVATION AFTER STIMULATION**
1. Maximum seizure activity usually ends by degrees, starting distally, and is succeeded by a comatose stage from which consciousness is gradually regained
2. The dissociative convulsion is followed by early awakening
3. The clonic form has no tonic phase, ends abruptly and simultaneously in the whole body, and lasts only 10 to 20 s. Both have lower antidepressant efficacy
d’Elia G, Ottosson J-O, Strömgren LS
Present Practice of Electroconvulsive Therapy in Scandinavia
*Arch Gen Psychiatry* 1983;40:577-81
In 1983 d’Elia, Ottosson and Sand Strömgren described this method in the Archives of General Psychiatry. It included
1. Right unilateral parietotemporal electrode placement with a long distance, at least 12 cm, between the center of the electrodes
2. Not a prefixed stimulus duration, and
3. Current is interrupted as soon as the clonic contractions shift to the tonic phase, which is most readily observed in the plantar extension of the great toes.
This technique was possible thanks to the Siemens Konvulsator, which had a flexible stimulus duration with a long maximum of 10 seconds, and a low pulse frequency of 50 pulses per second, continuously or in volleys of 4 giving 25 pulses in a second. It also had a current push button on one of its electrode handles.
Historical development of maximal pulse train duration in ECT devices in USA versus Scandinavia
| Duration | Device | Year | Inventor | Location |
|----------|--------------|--------|-------------------|--------------|
| 2 s | Mecta | 1973 | Blachely | |
| 3 s | Mecta | 1985 | | |
| 4 s | Thymatron | 1985 | | |
| 6 s | Mecta | 1997 | | |
| 8 s | Thymatron | 1990 | Mecta | 2003 |
Sackeim HA. Personal communication, Dec. 22, 2020
**Siemens Konvulsator**
- **Börje Cronholm (1913-83) Stockholm**
- **Jan-Otto Ottosson (1925 - ) Stockholm-Umeå-Göteborg**
**MECTA**
- **Harold Sackeim (1951 - ) New York**
**Thymatron**
- **Richard Abrams (1929-2019) Illinois**
- **Conrad Swartz (1946 - ) Illinois/Oregon**
However, the Konvulsator went out of production in the 1990s, and was replaced with MECTA and Thymatron from the USA. With the first versions of these devices the stimulus dose had to be preselected due to short maximum stimulus or pulse train duration. With the latest versions time-titration is possible. The Thymatron even has a program for intermittent pulse volleys, mimicking the Konvulsator. But time-titration has not been studied with these devices.
A third commentary to Rosenman was by Pascal Sienaert in Leuven, Belgium. He wrote that “An alternative adequate and evidence-based dosing-strategy would be welcomed by the field.” Especially, he called for replication studies in psychological sciences by writing that “the only reasonable answer to the very valid questions raised by Rosenman is research and replication.”
The Scandinavian time-titration dosing may be an adequate, evidence-based alternative, which has been replicated:
Right unilateral ECT is highly efficacious and equal to bitemporal ECT, with less cognitive side effects.
**Randomized controlled trials**
1. d’Elia D. Unilateral electroconvulsive therapy
*Acta Psychiatr Scand Suppl* 1970;215:1-98
2. Sand Strömgren L. Unilateral versus bilateral electroconvulsive therapy. Investigations into the therapeutic effect in endogenous depression
*Acta Psychiatr Scand Suppl* 1973;240:1-65
Fromholt P, Christensen AL, Strömgren LS. The effects of unilateral and bilateral electroconvulsive therapy on memory
*Acta Psychiatr Scand* 1973;49:466-78
3. Lamy S, Bergsholm P, d’Elia G. The antidepressant efficacy of high-dose nondominant long-distance parietotemporal and bitemporal electroconvulsive therapy. *Convuls Ther* 1994;10:43-52
**Patient series**
4. Strömgren LS. Is bilateral ECT ever indicated?
*Acta Psychiatr Scand* 1984;69:484-90
5. Strömgren LS. Electroconvulsive Therapy in Aarhus, Denmark, in 1984: Its Application in nondepressive disorders. *Convuls Ther* 1988;4:306-13
Actually, the Scandinavian time-titration dosing may be an adequate, evidence-based alternative. It has been replicated a lot of times, first by Cronholm and Ottosson with bitemporal ECT, not shown here, then by demonstrating right unilateral ECT to be highly efficacious and equal to bitemporal ECT, with less cognitive side effects. There are three randomized controlled studies, and two naturalistic studies. Especially, the study number 4 is still exceptional in its kind.
Acute Psychiatric Department, Oslo University Hospital at Ullevål
In 1912 to 15 I worked in the Acute Psychiatric Department of Oslo University Hospital, at Ullevål. On the left is the main building, and on the right the old hospital building.
• Longer PRTs at the first and third treatments predicted a more rapid decline and a lower end-point in continuous HRSD$_{17}$ scores
• None of the patients who recovered from disorientation in less than 5 min met the remission criterion
• All patients with PRTs of 35 min or more achieved remission after 12 treatments or less
Tor Magne Bjølseth et al. Speed of recovery from disorientation may predict the treatment outcome of electroconvulsive therapy (ECT) in elderly patients with major depression. J Affective Disord 2016;190:178-86
He had found that longer postictal reorientation time, PRT, (measured from the resumption of spontaneous respiration and eye opening), at the first and third treatments predicted a more rapid decline and a lower end-point in continuous Hamilton scores. None of the patients who recovered from disorientation in less than 5 minutes met the remission criterion, whereas all with PRTs of 35 minutes or more achieved remission after 12 treatments or less.
The Scandinavian time-titration dosing
**STIMULATION**
1. Right unilateral parietotemporal with long distance (12 cm).
2. Not a prefixed stimulus duration
3. Current is interrupted as soon as the clonic contractions shift to the tonic phase, most readily observed in the plantar extension of the great toes
**OBSERVATION AFTER STIMULATION**
1. Maximum seizure activity usually ends by degrees, starting distally, and is succeeded by a comatose stage from which consciousness is gradually regained
2. The dissociative convulsion is followed by early awakening
3. The clonic form has no tonic phase, ends abruptly and simultaneously in the whole body, and lasts only 10 to 20 s. Both have lower antidepressant efficacy
d’Elia G, Ottosson J-O, Strömgren LS
Present Practice of Electroconvulsive Therapy in Scandinavia
*Arch Gen Psychiatry* 1983;40:577-81
We found that this fits with d’Elia, Ottosson and Strömgren’s inclusion of a postictal comatose stage in their description of maximum seizure activity, whereas early awakening is one of the signs of insufficient seizure activity, as is pure clonic convulsions.
Effects of stimulus intensity and electrode placement on the efficacy and cognitive effects of electroconvulsive therapy. Sackeim HA et al. N Engl J Med 1993;328:839-46.
A prospective, randomized, double-blind comparison of bilateral and right unilateral electroconvulsive therapy at different stimulus intensities. Sackeim HA et al. Arch Gen Psychiatry 2000;57:425-34.
Stimulus dose, electrode placement and PRT versus response
Double-blind RCTs
Postictal reorientation time (PRT) - minutes
Mean HRSD Score
The groups with best outcome:
~30-45 min
The groups with poorest outcome:
~10-20 min
It also fits with studies by Sackeim and coworkers using brief 1.5 ms pulses, published in 1993 and 2000. The patient groups with best outcome had PRTs of 30 to 45 minutes, the groups with poorest outcome 10 to 20 minutes.
Moreover, in this study by McCall and coworkers, including Sackeim, also published in 2000, PRT was about 30 minutes in the best outcome group, versus 15 to 20 minutes in the poorest outcome groups.
Stimulus dose, pulse width, electrode placement and PRT versus response
Double-blind RCT
Sackeim HA et al (NY)
Effects of pulse width and electrode placement on the efficacy and cognitive effects of electroconvulsive therapy
Brain Stimulation 2008;1:71-83,
This study, published by the Sackeim-group in 2008, is more complicated.
Using ULTRABRIEF pulses in right UNILATERAL ECT with 6 times threshold dose, outcome was good with a mean PRT of only 10 minutes. This deviates from the three studies they published in 1993 and 2000. However, there may have been something unusual with this group of patients, because mean threshold was exceptionally low, resulting in a mean dose of only 103 mC. In similar studies I have seen, mean dose has been 2 to 5 times higher.
Using ultrabrief pulses in BITEMPORAL ECT with 2.5 times threshold dose, outcome was poor, mean PRT 14 minutes and mean dose 165 mC. This is consistent with the three previous studies.
Using BRIEF 1.5 ms pulses outcome was good with BOTH bitemporal and right unilateral ECT. With bitemporal ECT PRT was 33 minutes and dose 285 mC. With right unilateral ECT PRT was 22 minutes and dose 318 mC. This, too, is consistent with the previous studies.
The groups with good outcome:
BT&RUL 1.5 ms ~20-30 min
RUL 0.3 ms ~10 min
The group with poor outcome:
BT 0.25 ms ~15 min
Five dosing methods in ECT
1. **Time-titration dosing** Cronholm, Ottosson, d’Elia, Sand Strömgren 1957-94
2. **Fixed high dosing:** 50-100% of maximal output Tradition of unknown origin
3. **Formula/age-based dosing**
- **Full-Age dosing:** 5 x age mC for RUL ECT Abrams & Swartz 1985
BF ECT closer to Full-Age than Half-Age dosing Bjølseth et al 2016
- **Half-Age dosing:** 2.5 x age mC for BT ECT Petrides & Fink 1996
Optionally ± 5-10% (?) for male/female gender
4. **Seizure threshold-based dosing**
- RUL ECT (2½)-5-8 x ST, BT ECT 1.5-2.5 x ST Sackeim, McCall 1987-2009
5. **Benchmark dosing:** Adjusting dose at each session to an initial optimal benchmark Swartz 1994-2009
Bergsholm P, Bjølseth TM. Dosing methods in electroconvulsive therapy: should the Scandinavian time-titration method be resumed? *Nord J Psychiatry* 2021 Aug 1, 1-7
These are the five dosing methods in ECT:
1. The Scandinavian time-titration dosing
2. Fixed high dosing, i.e., 50 to 100% of the device’s maximal output. Occasionally a lower dose has been used.
3. Formula- or age-based dosing, i.e. Full-Age dosing of 5 times age mC for RUL ECT, close to this for BF ECT, and Half-Age dosing of 2.5 times age mC for BT ECT.
4. Seizure threshold-based dosing, i.e. for RUL ECT 2½ to 8 times threshold dose, for BT ECT 1.5 to 2.5 times threshold dose.
5. Benchmark dosing, i.e. the dose is adjusted at each session to an initial optimal benchmark, based on satisfactory peak heart rate and tonic convulsions.
National guidelines preferring threshold titration
• American Psychiatric Association *The Practice of Electroconvulsive Therapy, 2001 pp 158-9*
Threshold and Formula/Age > Fixed high-dose for special situations.
«empirical titration provides the most precise method» RUL 2.5-6 x ST. BT 1.5-2.5 x ST
• Canadian Network for Mood and Anxiety Treatment (CANMAT) *Can J Psychiatry 2016;61:561-75*
**Threshold only. First line:** brief RUL 5-6 x ST, brief BF 1.5-2.0 x ST
**Second line:** ultrabrief RUL up to 8 x ST, ultrabrief BF 1.5-2.0 x ST, brief BT 1.5-2.0 x ST
• Royal College of Psychiatrists, UK & Ireland *The ECT Handbook, 2019 pp 183-201*
Threshold > Age. «measurements of the ST has real advantages». RUL 6 x ST. BT 1.5 x ST
• Royal Australian and New Zealand College of Psychiatrists *ANZJP 2019;53:609-23*
Threshold > Age. «It is recommended that the stimulus is determined on an individual basis using the dose titration method.»
RUL 0.3 ms: 6 x ST – 0.5-1.0 ms: 5-6 x ST
BF&BT 1.0 ms: 1.5 x ST – 0.5 ms: 1.5-2.5 x ST
National guidelines from USA, Canada, UK & Ireland, and Australia & New Zealand favor seizure threshold based dosing. The CANMAT even mentions threshold based dosing only.
Critique of seizure threshold based dosing
Conrad M Swartz. «A fixed multiple does not have similar effects with different patients - It does not account for common highly variable and large changes of seizure threshold along the course - Patients who respond to low stimulus doses are not selected to receive them; nor are patients who require high doses» (J ECT 2001;17:87–90).
Charles H Kellner. «the distribution of threshold values is tightly clustered in the 10–40% range, with a few outliers accounting for the large range. Thus, for most patients dose titration is unnecessary. For average practitioners, dose titration is cumbersome; for patients, it may lead to increased side effects at the first treatment session.» «The modal ECT treatment»: RUL 75% – BF 50% – BT 30-60% (J ECT 2001;17:1–2).
Richard Abrams. «the seizure threshold is a ‘mooving target’ that varies with the stimulus parameters … an infinite variety of seizure thresholds exist in the same patient, with no rationale provided for choosing among them.» «The best chance of success»: RUL 100% – BF age – BT half-age, «with no demonstrated long-term or persistent side effects» (J ECT 2002;18:3–9,14-5).
Max Fink. «Seizure threshold determinations to determine electricity dosing are neither necessary nor useful for effective ECT - unnecessarily reduces the efficiency of the treatment course.» (Acta Psychiatr Scand 2014;129: 417–26).
Critique of seizure threshold based dosing
The essentials of this critique are that
1) a fixed multiply does not have similar effects with different patients,
2) the threshold changes along the course in half of the patients,
3) the threshold varies with the stimulus parameters in the same patient,
4) In the clinic, threshold titration is cumbersome, increases side effects, reduces efficiency, and is neither necessary nor useful.
The essentials of this critique are that
1) a fixed multiply does not have similar effects with different patients;
2) the threshold changes along the treatment course in half of the patients;
3) the threshold varies with the stimulus parameters in the same patient; and
4) in the clinic, threshold titration is cumbersome, increases side effects, reduces efficiency, and is neither necessary nor useful.
Scandinavian national guidelines are without preferences
- The Danish Psychiatric Society *ECT-vejledning, 2020 p 47*
- **Age = Threshold**
- BT at least $1.5 \times ST$, RUL at least $2.5 \times ST$
- The Swedish Psychiatric Association *Kliniska riktlinjer för ECT, 2014 pp 51-2*
- **Age = Threshold.** «The initial setting is most often done according to age and gender, from tables offered by the manufacturers of the ECT devices»
- Norwegian Health Directory *Nasjonal faglig retningslinje om bruk av ECT, 2017 p 63*
- «Strong recommendation» (0.5 ms pulses):
- **Age = Threshold** RUL 5-6 $\times$ ST, BT about half the doses of RUL
- «Moderate recommendation»: BF (0.5 ms pulses): About half the doses of RUL
Scandinavian national guidelines equate age- and threshold-based dosings.
A fourth comment to Rosenman came from Declan McLoughlin in Dublin. He wrote that “The best way to administer ECT with regard to optimizing therapeutic benefit and simultaneously minimizing cognitive side-effects is not known.”
Two years later this was supported by Marilyne Landry and coworkers in Montréal. They published a systematic review of the clinical relevance of the seizure threshold-based method compared to the age- and fixed dose methods. They concluded that “no clear recommendations could be drawn regarding the clinical superiority of one method.”
[However, there was a certain trend in favor of dose titration as three out of seven articles with clinical comparisons and eight out of 14 articles depicting hypothetical comparisons tended to favor dose titration, mostly in order to reduce the risk of over- and underdosing.]
Our recommendation is that the Scandinavian time-titration method should be resumed and tested against other methods. It may have advantages as an individualized method. It may have been prematurely abandoned, due to technical reasons.
Our recommendation is that the Scandinavian time-titration method should be resumed and tested against other methods, because it may have advantages as an individualized method. It may have been prematurely abandoned, due to technical reasons.
Dosing methods in electroconvulsive therapy: should the Scandinavian time-titration method be resumed?
Per Bergsholm\textsuperscript{a} and Tor Magne Bjølseth\textsuperscript{b}
\textsuperscript{a}Department of Psychiatry, District General Hospital of Førde, ISP, Sogndal, Norway; \textsuperscript{b}Diakonhjemmet Hospital, Department of Geriatric Psychiatry, Oslo, Norway
In time-titration the current is continued beyond the seizure threshold until generalized tonic contractions have developed. As this is done in every session, it allows for an often rising seizure threshold during the treatment course.
NACT Nordic Association for Convulsive Therapy
The centerpiece of time-titration is a low number of pulses each second and a flexible duration of the pulse train. In the Scandinavian studies pulse train duration was 1.8 to 10 s, mostly less than 8 s. But the number of pulses delivered was only 45 to 250, due to only 25 pulses in a second delivered in separate volleys with a frequency of 50 pps inside each volley. I think the risk of overdosing is low. The risk may be higher of underdosing by interrupting the stimulus too early.
The centerpiece of time-titration is a low number of pulses each second and a flexible duration of the pulse train. In the Scandinavian studies pulse train duration was 1.8 to 10 s, mostly less than 8 s. But the number of pulses delivered was only 45 to 250, due to only 25 pulses in a second, delivered in separate volleys with a frequency of 50 pps inside each volley. I think the risk of overdosing is low, whereas the risk may be higher of underdosing by interrupting the stimulus too early.
A sufficiently long postictal reorientation time, PRT,* may be the ultimate sign of a therapeutic seizure. However, the optimal PRT is not known. It may be somewhat between 5 and 30 minutes, from the resumption of spontaneous respiration and eye opening, and it may depend on age.
*Also denoted Time to Recover Orientation (TRO)
CONCLUSION
The clinical indicators of an effective stimulation are 1) generalized tonic contractions, and 2) a postictal disorientation phase. These may be better indicators than age and seizure threshold.
The observation of when tonic contractions are generalized is somewhat arbitrary. However, so is the determination of seizure threshold and the number this is to be multiplied with.
Dosing methods in electroconvulsive therapy (ECT): towards the modal ECT technique
Thanks to Charles and Martin for their inspiring and to-the-point commentaries 😊
Finally, thanks to Charles and Martin for their kind and thoughtful editorial comments to our article in Nordic Journal of Psychiatry.
Then a surprise – an addendum. I presented the foregoing lecture for the first time on April 23 at the ISEN, i.e. the International Society for ECT and Neurostimulation. A few hours later I got an e-mail from Max Fink.
Dear Dr Bergsholm,
Your presentation at ISEN today was an effort to revive more effective dosing methods than the widely used and often ineffective threshold dosing. In the 1960s, Jan-Otto Ottosson and I tested flurothyl induced seizures. While the technic was effective, our inability to have full anesthesia air management ended our interest. In 2014 I attempted to recall flurothyl. My recollection and the work of William Karliner stimulate me to reconsider its testing. At age 99, I no longer have the opportunity.
The degradation of ECT as a neuromodulation, the widespread use of inadequate dosing methods has led to widespread inadequate treatments. Perhaps, with your skills, you may revive flurothyl seizures. Best of luck in your research.
Max Fink, M.D.
Revive Flurothyl Inhalation Therapy
March 19, 2014
Max Fink, MD, Edward Shorter, PhD
Psychiatric Times, Vol 31 No 3, Volume 31, Issue 3
Acknowledgement-We are indebted to Kathryn Cooper, BS, Class of 2016 of the University of Rochester School of Medicine in New York for a detailed review of the clinical experience with chemical inductions of seizures in man.
A reexamination of flurothyl infusions holds promise for improved resolution of severe mood disorders, as well as for a greater understanding of the mechanism of their pathophysiology.
Together with the psychiatry historian Edward Shorter Fink also tried to introduce a less scary name, Flurothyl Inhalation Therapy.
Flurothyl Induced Seizures: A Viable Alternative to ECT
Max Fink, M.D.
Conflicts of Interest: None
March 10, 2022
Flurothyl Inhalation Therapy
Resurrecting An Alternative to Electricity Induced Seizures
Amidst the exciting introductions of psychoactive drugs that marked the psychopharmacologic revolution of the 1950s and 1960s, was a passing interest in a homolog of diethyl ether, the inhalational anesthetic introduced to American surgery in the 1840s. In 1955 the Baltimore pharmacologist John Krantz synthesized flurothyl, hexafluorodiethyl ether (C$_3$H$_2$F$_6$O). Expecting a variation of anesthesia, the animal losing consciousness rapidly, he was surprised by a grand mal seizure that immediately followed after a few additional breaths. Recovery was quick and the first trials offered no prolonged effects.
Inducing grand mal seizures to relieve psychosis in the psychiatric ill had been demonstrated in 1934 using intramuscular camphor and intravenous penteteneletrazol (Metrazole) by Ladislais Meduna. His report to an international audience at Muensingen in 1936 and the publication in 1937 of a 50% recovery rate in 110 hospitalized psychiatric ill encouraged worldwide enthusiasm to induce seizures for the severe mentally ill. Italian psychiatrists Ugo Cerletti and Lucio Bini developed the electrical induction of seizures in May 1937 that developed to today’s electroconvulsive therapy (ECT) in worldwide use.
Krantz approached Albert Kurland, the psychiatrist treating severe mentally ill at Spring Grove State Hospital in Catonsville, Maryland to undertake human trials. Inducing seizures delivering flurothyl through a facemask elicited grand mal seizures equivalent in length, in cardiovascular effects, time to recovery, and changes in the EEG with patients treated with ECT. Three other RCT studies compared flurothyl-induced seizures with ECT, confirming the Krantz/Kurland findings.
| Remission Rate | 50%-55% | 47%-62% |
|----------------|---------|---------|
| Seizure Duration | 24-55 sec | 60-90 sec |
| Memory-anterograde | No difference | |
| Memory-retrograde | Greater effect | Lesser effect |
Max Fink 2022-1
Fink wrote to me that he “had planned to present a discussion of flurothyl at ISEN, but reconsidered and did not present the story.” But he did write an essay, to the right here, and collected a few slides, which he sent to me. This is his title-slide.
Flurothyl (Indoklon)
Hexafluoro-diethyl ether
Max Fink 2022-2
ethyl alcohol $\text{CH}_3\text{CH}_2\text{OH} + \text{CH}_3\text{CH}_2\text{OH}$
- $\text{H}_2\text{O} \downarrow$
diethyl ether $\text{CH}_3\text{CH}_2\text{OCH}_2\text{CH}_3$
- $6\text{H} \downarrow + 6\text{F}$
hexafluorodiethyl ether $\text{CF}_3\text{CH}_2\text{OCH}_2\text{CF}_3$
= flurothyl (Indoklon)
You take two ethyl alcohol molecules and six fluor atoms, and vips, you have flurotyl, or Indoklon. In his essay Fink writes: “The effects of flurothyl were rapid. After a few breaths the subject was asleep, and 2 to 3 more and the seizure was induced. The sequence occurred in less than a minute.”
History of Flurothyl Treatment
1953 LSD tested
1954 Chlorpromazine in clinics
1957 Imipramine in clinics
1956 Flurothyl created by John Krantz
1957 First clinical trials in Baltimore by Albert Kurland
1959 RCT Albert Kurland
1959 Office trials Lothar Kalinowsky, William Karliner
1961 RCT Hillside Hospital Max Fink
1968 RCT Joyce Small
1970 Memory study - Jan-Otto Ottosson and Björn Laurell
Max Fink 2022-3
Flurothyl was created by John Krantz, and Louise Speers according to Dolenz, in Baltimore in the early 1950s. The first clinical trial was done by Albert Kurland in Baltimore. Then followed office trials by Kalinowsky and Karliner, three RCTs in Baltimore and New York, and a systematic study by Laurell and Ottosson in Umeå.
Flurothyl – first clinical reports 1957
«four patients who were suffering with mental disturbances in which electroshock therapy was indicated were subjected to inhalation of hexafluorodiethyl ether.»
Krantz, Truitt, Speers, Ling. *New pharmacoconvulsive agent*. Science Aug 23 1957;126:353-4
Esquibel, Krantz Jr, Truitt, Kurland. *The use of hexafluorodiethyl ether (Indoklon) as an inhalant convulsant*. Am J Psychiatry Nov 1957;114:461
«HISTORY … In the early 50's, Dr. Louise Speers\textsuperscript{4} first synthesized Indoklon while working with fluorinated ethers in the hope of finding the ideal anesthetic agent. … Pharmacologist John Krantz\textsuperscript{4,12} and his co-workers demonstrated that Indoklon could produce convulsions regularly and dependably without tolerance in animals, and without harmful effects. … its usefulness as a convulsant agent in the treatment of the mentally ill was first demonstrated by Dr. Albert Kurland at Spring Grove State Hospital in 1956.»
Dolenz BJ. *Indoklon – a clinical review*. Psychosomatics 1965;6:200-5:
I think these are the first clinical reports from 1957, in Science and the American Journal of Psychiatry, and a short history from a 1965 review.
ECT and Flurothyl Seizures
| | ECT | Flurothyl |
|----------------------|-----------|-----------|
| Remission Rate | 50%-55% | 47%-62% |
| Seizure Duration | 24-55 sec | 60-90 sec |
| Memory - Anterograde | No difference | |
| Memory - Retrograde | Greater effect | Lesser effect |
Max Fink 2022-4
The points are that flurothyl seizures are equally effective as bitemporal ECT with lesser effect on retrograd memory. Seizure duration was longer.
Among many clinical trials exploring the effects of flurothyl, the 4 systematic studies compared 173 subjects receiving ECT and 170 flurothyl. The remission rates for both seizure induction methods were approximately 50% and considered clinically equivalent. The flurothyl inductions had measurably less impairment of psychological tests and fewer patient complaints.
Kathryn Cooper and Max Fink
The chemical induction of seizures in psychiatric therapy: Were flurothyl (Indoklon) and pentylenetetrazol (Metrazol) abandoned prematurely?
J Clin Psychopharmacol 2014;34:602-7
1 Kurland et al
Baltimore, USA
A comparative study of hexafluorodiethyl ether (Indoklon) and electroconvulsive therapy
J Nerv Ment Dis 1959;129:95-8
2 Fink et al
New York, USA
Inhalant-induced convulsions: significance for the theory of the convulsive therapy process
Arch Gen Psychiatry 1961;4:259-66
3 Small et al
Indianapolis, USA
A double-blind comparative evaluation of flurothyl and ECT
Arch Gen Psychiatry 1968;19:79-86
4 Laurell (&Ottosson)
Umeå, Sweden
Flurothyl convulsive therapy
Acta Psychiatr Scand Suppl 1970;213:1-79
This is a summary of the four systematic studies: «Among many clinical trials exploring the effects of flurothyl, the 4 systematic studies compared 173 subjects receiving bitemporal ECT and 170 flurothyl. The remission rates for both seizure induction methods were approximately 50% and considered clinically equivalent. The flurothyl inductions had measurably less impairment of psychological tests and fewer patient complaints».
| Author | Rx. & No. | Diagnosis | No. of Patients | Results |
|-----------------|---------------|----------------------------------|-----------------|---------------|
| | | | | Excellent | Good | No Change or Poor |
| Krantz et al 1958 | Inhalation (12) | Chronic Schizophrenia | 13 | 2 | 11 | |
| | (15) | Psychotic Depression | 5 | 3 | 2 | |
| | (25) | Catatonic Schizophrenia | 4 | 4 | | |
| | | Involutional Depression | 3 | 2 | 1 | |
| Karliner 1963 | Intravenous (13) | Schizo. Affective | 14 | 7 | 6 | 1 |
| | (80) | Schizophrenic | 50 | 13 | 34 | 3 |
| | Inhalation (13) | Manic Depressive | 16 | 10 | 5 | 1 |
| | (79) | Schiz. Affective | 4 | 3 | 1 | |
| | | Schizophrenic | 59 | 15 | 43 | 1 |
| | | Manic Depressive | 16 | 11 | 4 | 1 |
| Kurland 1960 | Intravenous (8) | Chronic schizophrenia | 3 | 2 | 1 | 1 |
| | (17) | Psychotid Depression | 6 | 2 | 3 | 1 |
| | | Involutional Depression | 3 | 2 | 1 | |
| | | Catatonic Schizophrenia | 5 | 1 | 3 | 1 |
| Padula 1963 | Inhalation (101) | Schizophrenic | 89 | 16 | 70 | 3 |
| | | Manic Depressive | 3 | 3 | | |
| Dolenz * | (14) | Involutional Depression | 1 | 22 | 10 | 1 |
| | (51) | Psychotic Depression | 33 | 3 | 1 | 1 |
| | | Paranoid Schizophrenic | 4 | 2 | 5 | |
| | | Chronic Schizophrenic | 7 | 2 | | |
Total 338 119 203 16
Recovery or Excellent - Premorbid personality in all respects of interpersonal relationships.
Good - Premorbid personality, but not in all areas of previous functioning level.
*31 had prior somatic treatment and were treatment problems.
Results in psychotic patients were excellent in 35% and good in 60%. Both inhalation and intravenous Indoklon were used.
Fluorothyl was produced by the Ohio Chemical Company under the name Indoklon, created from the words induction and klonic.
INDOKLON (FLUROTHYL) Advertisement in Psychiatric News, Sep 1965 (Official Newspaper of the American Psychiatric Association)
a more effective form of treatment for some
«It is felt that the greater effectiveness of Indoklon may be due to its effect on the entire brain, whereas electroshock therapy affects only the cerebral cortex.» (1)
A preferred treatment to electroshock for many
«In all cases, ready acceptance of the treatment was a characteristic feature. This was marked in those patients who feared and resisted electrotherapy.» (2)
INDOKLON pharmaconvulsive therapy has been used since 1956. An alternative to electroshock in the treatment of mental illness, administration of Indoklon is by inhalation. Seizures modified by anesthetics and muscle relaxants are soft and free of fractures. Indoklon is dependable in producing grand mal seizures. Late convulsion, common to some pharmaconvulsive agents, is not present. Write for Brochure No. 8180 and complete article reprints No’s. 390 and 391 – see references (1) and (2) – Ohio Chemical (a division of Air Reduction Company, Inc.) Madison, Wis. 53701.
Contraindications for Indoklon are similar to those for electroshock therapy. Indoklon should not be given to a patient with even a very mild upper respiratory infection. Indoklon should not be given to any patient with severe cardiovascular, hepatic, or renal disease. Indoklon should not be given to any patient with severe intraocular or intraspinal increase in pressure. Patients with abnormal body temperature should be temporarily excluded from Indoklon therapy until the temperature returns to normal. Indoklon is not to be used with pregnant females. For information on use and dosage, refer to detailed instructions contained in product package. Compatibilities – no known incompatibilities with Indoklon have been reported.
References: (1) Karliner, Wm.: Observations on the Use of Indoklon (accepted for publication April, 1964, by JOURNAL OF NEUROPSYCHIATRY). (2) Freund, J. C., Warren, F. Z.: A Clinical Impression of Hexaflourdiethyl Ether (Indoklon) following more than 800 treatments. DISEASE OF THE NERVOUS SYSTEM, Vol. 25, pp. 56-57, (January, 1965).
Ohio Chemical
Those interested can read here the hole advertisement in Psychiatric News of the American Psychiatric Association.
It seems to be a consensus ... that there is a tremendous margin of safety. No toxic conditions have been reported to date, and there have been no fatalities. Patient acceptance of Indoklon in our experience has been excellent and the procedures ... safe and simple. Kalinowski\textsuperscript{9} says, «In our experience, we were impressed by the fact that patients feel much more comfortable after this treatment than after ECT ... It seems that the unpleasant memory impairment is at least reduced by avoiding the electric current, and that the increasing fear of the treatment ascribed to the awakening from ECT is also diminished. If these observations are confirmed by further experience, Indoklon either by inhalation or by intravenous injection might easily replace ECT.»
\textit{Bernard J. Dolenz}
\textit{Indoklon – A Clinical Review. Psychosomatics 1965;6:200-5}
\textsuperscript{9}\textit{Kalinowski and Hoch}
\textit{Somatic Treatments in Psychiatry, New York, Grune and Stratton, 1961.}
It is unclear why intravenous flurothyl did not come into wider use. Less specialized equipment was required, and the smaller amounts of flurothyl could be precisely measured. Secondary convulsions were less likely, although this was not systematically studied.\textsuperscript{47,48}
\textit{Kathryn Cooper and Max Fink}
\textit{The chemical induction of seizures in psychiatric therapy: Were flurothyl (Indoklon) and pentylenetetrazol (Metrazol) abandoned prematurely? J Clin Psychopharmacol 2014;34:602-7}
After inhalation, flurothyl was not metabolized and was discharged unchanged into the atmosphere, giving the treatment room an ethereal aroma. For observers who had seen the rapidity with which a few breaths induced sleep and then a seizure, the fear of inhalation inhibited its use. (Were flurothyl seizures be examined today, modern controlled air exchange in anesthesia suites would minimize this objection.)
Max Fink
The seizure, not electricity, is essential in convulsive therapy: the flurothyl experience
J ECT 2014;30:91-3
After inhalation (and after injection I suppose), flurothyl was not metabolized and was discharged unchanged into the atmosphere, giving the treatment room an ethereal aroma. For observers who had seen the rapidity with which a few breaths induced sleep and then a seizure, the fear of inhalation inhibited its use. Were flurothyl seizures be examined today, modern controlled air exchange in anesthesia suites would minimize this objection. No complications in the treatment personnel were ever reported.
Cost played a role. Small and Small\textsuperscript{50} cite personal communications with the Ohio Chemical Company in 1974 saying that the drug would no longer be supplied because of its high production costs and limited demand. Indeed, a chemical that needed to be produced in laboratories and distributed would be more expensive than a short burst of electricity from a wall socket.
Kathryn Cooper and Max Fink
The chemical induction of seizures in psychiatric therapy: Were flurothyl (Indoklon) and pentylenetetrazol (Metrazol) abandoned prematurely? J Clin Psychopharmacol 2014;34:602-7
Cost also played a role. In 1974 the Ohio Chemical Company announced that Indoklon would no longer be supplied. Electricity was much cheaper and won the game.
Half a century ago, the two inductions were considered equivalent in clinical efficacy, with flurothyl treatments associated with lesser effects on memory. Flurothyl inhalations were discarded because of 1) a threatening aroma, 2) higher cost, and 3) the ease of use of ECT.
Kathryn Cooper and Max Fink
The chemical induction of seizures in psychiatric therapy: Were flurothyl (Indoklon) and pentylenetetrazol (Metrazol) abandoned prematurely? J Clin Psychopharmacol 2014;34:602-7
During the past half century, researchers, clinicians, and the public have been preoccupied with fears generated by electricity, of the association with death by electrocution and lightning, of the words “shock” and “electroshock,” and of the widespread concerns with losses of memories. Flurothyl offers effective relief of depression and psychosis without the risks associated with electricity. It encourages less threatening labeling, as in “inhalant treatments” or “intravenous chemotherapy.”
Kathryn Cooper and Max Fink
The chemical induction of seizures in psychiatric therapy: Were flurothyl (Indoklon) and pentylenetetrazol (Metrazol) abandoned prematurely? J Clin Psychopharmacol 2014;34:602-7
Conclusions: Persistent complaints of memory loss plague electricity induced seizures. Flurothyl induced seizures are clinically as effective without the memory effects associated with electricity. **Reexamination of seizure inductions using flurothyl in modern anesthesia facilities is encouraged** to relieve medication-resistant patients with mood disorders and catatonia.
*Kathryn Cooper and Max Fink*
*The chemical induction of seizures in psychiatric therapy: Were flurothyl (Indoklon) and pentylenetetrazol (Metrazol) abandoned prematurely? J Clin Psychopharmacol 2014;34:602-7*
|
About the Sweetwater County Adult Protection Team
The Sweetwater County Adult Protection Team is a multi-disciplinary team formed in 1996. The Team obtains its legal authority from statutes in compliance with Wyoming Statute 35-20-102 through 108 and the Adult Protection Rules of the Wyoming Department of Family Services. The mission of the Team is to:
“increase public awareness of the abuse of elderly and disabled adults, to network with existing community agencies for prevention and to provide a multi-disciplinary approach to staffing those at risk for abuse, neglect or exploitation.”
The team currently consists of representatives from the Department of Family Services, Memorial Hospital of Sweetwater County, Community Nursing of Sweetwater County, Lincare Inc., Mansface Terrace, Sage View Care Center, Rock Springs Police Department and the YWCA Support and Safe House Program and Southwest Wyoming Rehabilitation Center.
A Guide to Preventing Abuse and Neglect of the Elderly and Disabled in Sweetwater County
An Overview of the Problem
According to the National Center on Elder Abuse, elder abuse is a serious problem. The agency alleges that the actual incidence is grossly under-reported, as it remains hidden under a shroud of family secrecy. Since 1986, this agency has been recording data on reports received of domestic elder abuse. The data indicate that neglect is the most common form of elder maltreatment followed by physical abuse. The victim is more often female with the majority of the perpetrators being male. The data also indicate that adult children are the most frequent abusers of the elderly followed by other family members and spouses. (National Center on Elder Abuse, Elder Abuse Information Series No. 2).
In Wyoming, the legal basis for Adult Protective Services is set forth in Wyoming Statutes 35-20-101 through 35-20-109. This legislation provides for the protection of both the elderly and disabled populations. Under these Statutes, the Wyoming Department of Family Services have a mandate to provide protective services. Protective services are those services provided by the Department of Family Services to assist disabled adults in order to prevent or terminate abuse, neglect, exploitation or abandonment until the disabled adult no longer needs the services. In order to accomplish these goals, they coordinate with law enforcement and work collaboratively with licensed professionals as well as the county’s Adult Protection Team.
In Sweetwater County, the Department of Family Services has experienced an increase in adult protection referrals in recent years. Despite this increase, concern still exists that many people continue to be victimized and that the referrals received reflect only the tip of the iceberg as the National Center on Elder Abuse Incidence Study indicated. Possible reasons for the low report rate may be lack of knowledge regarding the problem or where to report concerns.
With this in mind, the goal of this booklet is to serve as a tool to aid those working with older adults and persons with disabilities in identification, assessment and intervention of abuse, neglect and exploitation of these populations.
Understanding Abuse and Neglect
Key Definitions as per Wyoming Statute:
**Abandonment** – means leaving a disabled adult without financial support or the means or ability to obtain food, clothing, shelter or health care.
**Abuse** – means the willful infliction, whether by another person or self-inflicted, of physical pain, injury, unreasonable confinement or deprivation, which conduct threatens the welfare and well-being of a disabled adult.
**Caretaker** – means any person or agency responsible for the day to day care of a disabled adult because of (a) a family relationship; (b) voluntary assumption of responsibility for day to day care; (c) court ordered responsibility or placement (d) rendering services on adult workshop or adult residential programs or (e) rendering services in an institution or in community-based programs.
**Disabled Adult** – means any person eighteen (18) years of age or older who is unable, without assistance to properly manage and take care of himself or his property as a result of the infirmities of advanced age, physical or mental disability, or the use of alcohol or controlled substances; disability may be temporary, progressive or permanent.
**Exploitation** – means taking advantage of a disabled adult or of his physical or financial resources for personal or monetary profit by the use of undue influence, harassment, duress, deception, false representation, or false pretenses.
**Lacks the capacity to consent** – means lack of sufficient understanding or ability to make or communicate responsible decisions concerning oneself including one’s finances, health, care, food, clothing or shelter.
**Mandated Reporter** – Any person who knows or has reasonable cause to believe that a disabled adult is abused, neglected, exploited or abandoned shall report the facts to the sheriff’s department, the local police department or the Department of Family Services. Anyone who in good faith makes a report pursuant to this section is immune from civil liability for making the report.
**Mental disability** – is defined as a condition causing mental dysfunction resulting in an inability to manage resources, carry out the activities of daily living or protect oneself from neglect, abuse, exploitation, or hazardous situations without assistance from others. Whether or not a mental dysfunction of this degree exists is subject to an evaluation by a licensed psychologist, psychiatrist, or physician, if disputed.
**Neglect** – means the deprivation, including self-deprivation, of the minimum food, shelter, clothing, supervision, physical and mental health care, and other care necessary to maintain a disabled adult’s life or health, or which may result in a life-threatening situation. The withholding of health care from a disabled adult is not neglect if:
1. Treatment is given in good faith by spiritual means alone, through prayer, by a duly accredited practitioner in accordance with the tenets and practices of a recognized church or religious denomination; or
2. The withholding of health care is in accordance with a declaration executed pursuant to W.S. 35-22-101 through 35-22-109 concerning living wills.
Types of Abuse and Neglect
The National Center on Elder Abuse defines seven types of elder abuse as follows:
**Physical Abuse** is the use of physical force that may result in bodily injury, physical pain, or impairment.
**Sexual Abuse** is the non-consensual sexual contact of any kind with an elderly person.
**Emotional Abuse** is the infliction of anguish, pain, or distress through verbal or non-verbal acts.
**Financial/material exploitation** is the illegal or improper use of an elder’s funds, property, or assets.
**Neglect** is the refusal, or failure, to fulfill any part of a person’s obligations or duties to an elderly person.
**Abandonment** is the desertion of an elderly person by an individual who has assumed responsibility for providing care to the elder.
**Self-neglect** is the result of an adult’s inability, due to physical and/or mental impairments or diminished capacity, to perform essential self-care tasks including:
- Providing essential food, clothing, shelter, and medical care;
- Obtaining goods and services necessary to maintain physical health, mental health, emotional well-being and general safety; and/or
- Managing financial affairs
From the National Center on Elder Abuse, Elder Abuse Information Series No. 1, Types of Elder Abuse in Domestic Settings.
Tips for Working with Victims of Abuse/Neglect and Exploitation
**Ask about abuse**
Leading statements are helpful in opening communication in a non-threatening manner. For example, “Because many of the people I work with are hurt by family members, I ask questions about relationships and abuse.”
Examples of specific questions you could ask are:
- How are things going with your spouse (or adult child)?
- Are you getting out with your friends?
- Are you afraid of your spouse (or other family member)?
- Have you ever been hit, kicked, or hurt in any way by a family member? Does anyone threaten you or force you to do things you do not want to do?
- Have you ever been forced to do sexual acts you did not wish to do? Is this going on now?
- Has anyone close to you called you names, put you down or made you feel bad recently (From Hwalek-Sengstock Elder Abuse Screening Test, Wolf, 2000)
- Does anyone in your family make you stay in bed or tell you you’re sick when you know you aren’t (From Hwalek-Sengstock Elder Abuse Screening Test, Wolf, 2000)
- Has anyone taken things that belong to you without your OK? (From Hwalek-Sengstock Elder Abuse Screening Test, Wolf, 2000).
If Yes to any of these questions, ask for more information and specifically how they are staying safe.
If No to any of these questions, state that if a family member ever does hurt you or you know someone who is being hurt, there are people who can help and offer further information.
**Things to listen and watch for**
**From a potential victim**
- Has repeated accidental injuries or untreated and unexplained bruises or injuries
- Appears isolated or often left alone
- Says or hints at being afraid
- Considers or attempts suicide
- Has a history of alcohol or drug abuse (including prescription drugs)
- Presents as a “difficult” patient or client
- Has vague, chronic complaints
- Is unable to follow through on treatment plans or medical care. Misses appointments.
- Exhibits severe depression
- Has not obtained prescribed medication
- Avoids seeking medical care or doesn’t follow through with recommendations
- Has poor hygiene or bed sores
- Observe little warmth or affection between the elder and the caregiver
**From a potential abuser**
- Is verbally abusive to service providers, or is overly charming and friendly to service providers
- Says things like “he’s difficult,” “she’s stubborn,” “he’s so stupid,” or “she’s clumsy”
- Attempts to convince others that the family member is incompetent or crazy
- Is “overly attentive” to the family member
- Controls the family member’s activities
- Refuses to allow interview or exam to take place without being present
- Talks about the family member as if he or she is not a person
**Intervention: At least do not harm**
**DO** everything possible to give the victim a sense of hope by
- Believing the account of the abuse
- Saying that abuse can happen to anyone and the victim is not to blame
- Planning for safety or finding someone who can
- Offering options and giving information about resources or finding someone who can
- Allowing the victim to make decisions about next steps (returning power to the victim)
- Keeping information shared by the victim confidential
**DO NOT** do anything that further isolates, blames or discourages victims, such as:
- Telling the victim what to do (i.e., “you should leave immediately”)
- Judging a victim who returns to an abusive relationship
- Threatening to or ending services if a victim does not do what you want
- Breaking confidentiality by sharing information with the abuser or other family members
- Blaming the victim for the abuse (if only you had tried better or done this, the abuse might not have happened)
- Reporting abuse to the authorities without permission from the victim (UNLESS MANDATED BY LAW AS IS THE CASE IN WYOMING). If you are a mandated reporter, tell the victim what you’re doing and why. Help the victim with safety planning or find someone who can.
- Documenting opinions
**DO NOT** collude with the abuser and give him/her more power and control by:
- Accepting excuses from the abuser and supporting the violence, (“I can understand how much pressure you are under. These things happen.”)
- Blaming alcohol/drug use, stress, anger, or mental illness for the abuse. Abusers must be held accountable for their actions before they will change their behavior.
- Minimizing the potential danger to the victim or yourself if you offer help. Arrange for appropriate security for the victim and your staff when working with a potentially lethal batterer (i.e., has made homicidal/suicidal threats or plans, owns weapons).
**Work Collaboratively**
- To learn more about potential interventions, contact local domestic abuse and/or sexual assault, victim/witness or adult protective services/elder abuse agencies.
- With the victim’s permission, refer to appropriate agencies for assistance.
- Use experts in a variety of fields as case consultants on difficult cases. Bring challenging cases to a multi-disciplinary team for review. Ensure client confidentiality.
---
**Escalating Danger**
- **Violating Confidentiality…**
- Interviewing in front of family.
- Telling colleagues issues discussed in confidence without her consent.
- Calling the police without her consent.
- **Trivializing and minimizing the abuse…**
- Not taking the danger she feels seriously. Expecting tolerance due to the number of years in the relationship or current illness.
- **Normalizing victimization…**
- Failing to respond to her disclosure of abuse.
- Acceptance of intimidation as normal in relationships.
- Belief that abuse is the result of non-compliance with patriarchy.
- **Ignoring her need for safety…**
- Failing to recognize her sense of danger. Being willing to ask her if she wants to go home.
- “Do you have a place you could go if the situation escalates?”
- **Medical Power Control**
- Not respecting her autonomy…
- “Prescribing” divorce, sedative medicines, going to court, couples counseling, or law enforcement involvement. Punishing the patient for not taking your advice.
- **Blaming the victim…**
- Asking what she did to provoke the abuse. Focusing on her as the problem. Why don’t you just leave? Why do you put up with it?
- Why do you let him do that to you?
---
**Increased Entrapment**
- **Respect Confidentiality…**
- All discussions must occur in private, without other family members present. This is essential to building trust and ensuring her safety.
- **Believe & validate her experiences…**
- Listen to her and believe her. Acknowledge her feelings and let her know she is not alone. Many women have similar experiences.
- **Promote access to community services…**
- Know the services in your community. Is there a hotline & shelter for battered women?
- **Help her plan for future safety…**
- What has been tried in the past to keep herself safe?
- Is it working? Does she have a place to go if she needs to escape?
- **Advocacy**
- Respect her autonomy…
- Respect her right to make decisions in her own life, when she is ready. She is the expert in her life.
- **Acknowledge the Injustice…**
- The violence perpetrated against her is not her fault. No one deserves to be abused.
Where to report if you suspect abuse and neglect
Wyoming Department of Family Services
Sweetwater County
1682 Sunset Drive
Rock Springs, WY 82901
(307) 362-5630
Sweetwater County Sheriff’s Office
(307) 352-6720
Rock Springs Police Department
221 C Street
Rock Springs, WY 82901
(307) 352-1575
Green River Police Department
50 E. 2 North
Green River, WY 82935
(307) 872-0055
Other Resources
Wyoming Long Term Care Ombudsman
(307) 322-5553
To report concerns about the long term care of an elderly person.
Wyoming Department of Health, Office of Health Quality
(307) 777-7123
For concerns related to a skilled medical facility, such as a skilled nursing home or a hospital.
Wyoming Medicaid Fraud Control Unit at 1 (800) 378-0345 or (307) 635-3597
Protection and Advocacy System, Inc. (Physical/Mental Disabilities)
320 West 25th st., 2nd Floor
Cheyenne, WY 82001
Phone (307) 632-3496
http://wypanda.vcn.com
Wyoming Guardianship Alliance Corporation
P.O. Box 2778
Cheyenne, WY 82003
(307) 635-8422
YWCA Support and Safe House
352-1030 or 872-3250 crisis line
352-6630 office number
To learn more contact:
The National Center on Elder Abuse
810 First St. N.E., Suite 500
Washington, D.C. 20002-4267
(202) 682-2470
www.elderabusecenter.org/
National Committee for the Prevention of Elder Abuse (NCPEA)
C/O Institute on Aging
Umass Memorial Health Care
119 Belmont Street
Worcester, MA 01605
(508) 334-6166
Wyoming Department of Family Services
Adult Protective Services
(307) 777-6137
References:
Wyoming Statute 35-20-101 through 35-20-109
The National Center on Elder Abuse, Elder Abuse Information Series No. 1, 2 and 3.
Wolf, R., (2000) Assessment Instruments, National Center on Elder Abuse Newsletter, Vol. 3, No. 1.
The Wisconsin Coalition Against Domestic Violence, 307 S. Paterson St., Suite 1, Madison, WI 53703. Phone (608) 255-0539 (4/99)
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Synthesis of Oligomers / Polymers from Plant Oil Derivatives
By
Seng Soi Hoong
A thesis submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy in Chemistry
University of Warwick, Department of Chemistry
February 2013
# Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Acknowledgement | viii |
| Declaration | ix |
| Abstract | x |
| Abbreviations | xi |
| Chapter 1 Introduction | 1 |
| 1.1 Polyurethane | 1 |
| 1.2 Diisocyanate | 7 |
| 1.2.1 Reaction of Isocyanate with Alcohol | 8 |
| 1.2.2 Reaction of Isocyanate with Amine | 9 |
| 1.2.3 Reaction of Isocynate with Carboxylic Acid | 9 |
| 1.3 Polyol | 10 |
| 1.3.1 Polyether Polyol by Anionic Polymerization | 11 |
| 1.3.2 Polyether Polyol by Cationic Polymerization | 14 |
| 1.4 Polyester Polyol | 16 |
| 1.5 Renewable Content in Polyurethane | 19 |
| 1.6 Plant oil | 23 |
| 1.6.1 Plant Oil Chemistry | 24 |
| 1.6.2 Reactions on the Fatty Acid Hydrocarbon Chain | 27 |
| 1.6.3 Reactions Involving the Carbonyl Group | 29 |
| 1.6.4 Reactions on the Alkene Group | 31 |
| 1.7 Plant Oil Based Polyol | 34 |
| 1.7.1 Plant Oil Based Polyol from Reactions on the Carbonyl Group | 35 |
| 1.7.2 Plant Oil Based Polyol from Reactions on the Alkene Group | 36 |
1.8 Summary 50
Chapter 2 Oligomers from Epoxidized Plant Oils 52
2.0 Introduction 52
2.1 Analysis of Plant Oils 55
2.2 Epoxidation of Unsaturated Plant Oils 57
2.3 Comparison between Tungsten Powder Catalyst System and Peroxo Phosphotungstate Catalyst System in the Epoxidation of Methyl Oleate 64
2.4 Epoxidation of Plant Oils 68
2.5 Oligomerization of Epoxidized Plant Oil by Epoxide Ring Opening without Solvent 71
2.6 Ring Opening of Epoxidized Methyl Oleate in Solvent 74
2.7 Ring Opening of Epoxidized Cocoa Butter in Solvent 76
2.8 Ring Opening of Epoxidized Palm Oil in Solvent 79
2.9 Effect of Monomer Concentration on the Properties of Oligomeric Polyol 81
2.10 Effect of Reaction Temperature on the Properties of Oligomeric Polyol 82
2.11 The Extent of Epoxide Ring Opening Oligomerization Reaction against Time 84
2.12 Ring Opening of Epoxidized Rapeseed Oil in Solvent 87
2.13 Ring Opening of Epoxidized Soybean Oil in Solvent 89
2.14 Ring Opening of Euphorbia Oil in Solvent 91
2.15 Summary of Ring Opening of Epoxidized Oils in Solvent 93
2.16 Ring Opening of Epoxidized Oils with Polyhydric Alcohols 96
2.17 Ring Opening of Epoxidized Oil with Water 106
Chapter 3 Synthesis of Polyurethanes 109
3.1 Polyurethanes Made from Plant Oil Based Polyol 109
3.2 Polyurethanes Made from Plant Oil Based Polyol and 1,4-butanediol 113
3.3 Polyurethanes Made from Plant Oil Based Polyol and Polyethylene Glycol 115
3.4 Polyurethanes Made from Epoxidized Palm Oil Based Polyols Prepared by Different Methods 120
3.5 Polyurethanes Made from Epoxidized Methyl Oleate and Epoxidized Cocoa Butter Based Polyols 122
3.6 Summary 124
Chapter 4 Copolymerization of Epoxidized Plant Oils with Heterocycles 126
4.0 Introduction 126
4.1 Screening of Chemical Compounds as Potential Catalyst 131
4.2 Copolymers of Epoxidized Methyl Oleate and Tetrahydrofuran 134
4.3 Copolymers of Epoxidized Cocoa Butter and Tetrahydrofuran 137
4.4 Copolymers of Epoxidized Palm Oil and Tetrahydrofuran 139
4.5 Effect of Monomer Ratio on the Properties of Copolymers 141
| Section | Page |
|------------------------------------------------------------------------|------|
| 4.6 Effect of Reaction Temperature on the Properties of Copolymers | 143 |
| 4.7 The Extent of Copolymerization Reaction against Time | 145 |
| 4.8 Copolymers of Epoxidized Rapeseed Oil and Tetrahydrofuran | 149 |
| 4.9 Copolymers of Epoxidized Soyaben Oil and Tetrahydrofuran | 152 |
| 4.10 Copolymers of Euphorbia Oil and Tetrahydrofuran | 154 |
| 4.11 Summary of Copolymerization of Epoxidized Oils and Tetrahydrofuran| 156 |
| 4.12 Effect of Water Content on the Properties of the Copolymers | 158 |
| 4.13 Homopolymerization of Tetrahydrofuran Catalyzed by Triflic Acid | 161 |
| 4.14 Attempted Copolymerization of Epoxidized Plant Oils with Other Heterocyclics | 162 |
| 4.15 Copolymerization of Epoxidized Plant Oils with ε-Caprolactone | 164 |
| 4.16 Polyurethanes Made from Copolymers of Epoxidized Plant Oils and Tetrahydrofuran | 167 |
| 4.17 Polyurethanes Made from Copolymers of Epoxidized Plant Oils and ε-Caprolactone | 171 |
| 4.18 Thermal Properties of Polyurethanes Made from Copolymers | 172 |
| 4.19 Summary | 175 |
Chapter 5 One-Pot Oligomerization of Plant Oil Derivatives
5.0 Introduction | 177 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 5.1 Direct Oligomerization of Plant Oil with Tungsten Based Catalyst | 178 |
| 5.2 Oligomerization of Oleic Acid | 181 |
| 5.3 1,9-Nonanedioic Acid | 188 |
| 5.4 Optimization of Oleic Acid Oligomerization to Estolides | 192 |
| 5.5 One-Pot Oligomerization of Oleic Acid without Catalyst | 195 |
| 5.6 One-Pot Oligomerization of Plant Oil with Succinic Acid | 198 |
| 5.7 One-Pot Oligomerization of Plant Oil with Adipic Acid and Phthalic Anhydride | 201 |
| 5.8 Polyurethanes Made from Estolides (5.6) and Oligomers (5.25) | 205 |
| 5.9 Summary | 207 |
| 5.10 Future Work | 209 |
| Chapter 6 Experimental | |
| 6.0 General Information and Procedures | 210 |
| 6.1 General Procedures for Substrates Synthesized in Chapter 2 | 213 |
| 6.1.1 General Procedures for Synthesis of Epoxidized Plant Oil | 213 |
| 6.1.2 General Procedure for Oligomerization of Epoxidized Plant Oil | 218 |
| 6.1.3 General Procedure for Oligomerization of Epoxidized Plant Oil | 221 |
| 6.1.4 Synthesis of Dihydroxy Methyl Stearate | 225 |
| 6.1.5 General Procedure for Ring Opening of Epoxidized Plant Oil | 226 |
6.1.6 General Procedure for Ring Opening of Epoxidized Plant Oil with Water 237
6.2 General Procedures for Substrates Synthesized in Chapter 3 238
6.2.1 General Procedure for Polyurethanes Synthesized with Oligomeric Polyols 238
6.2.2 General Procedure for Polyurethanes Synthesized with Oligomeric Polyols and 1,4-butanediol 239
6.2.3 General Procedure for Polyurethanes Synthesized with Oligomeric Polyols and Polyethylene Glycol 239
6.2.4 General Procedure for Polyurethanes Synthesized with Oligomeric Polyols, Polyethylene Glycol and Glycerol 240
6.3 General Procedures for Substrates Synthesized in Chapter 4 241
6.3.1 General Procedure for Copolymerization of Epoxidized Plant Oil and Tetrahydrofuran 241
6.3.2 Attempted Copolymerization of Epoxidized Palm Oil with THF analogue 250
6.3.3 Homopolymerization of Tetrahydrofuran 251
6.3.4 Copolymerization of Epoxidized Palm Oil and ε-Caprolactone 251
6.3.5 General Procedure for Polyurethanes Synthesized with Copolymers Polyols 252
6.3.6 Differential Scanning Calorimetry and Thermogravimetric Analysis 253
6.3.7 Tensile Test 253
6.4 General Procedures for Substrates Synthesized in Chapter 5 254
6.4.1 General Procedure for One-Pot Oligomerization of Plant Oil with Na₂WO₄ 254
6.4.2 General Procedure for One-Pot Oligomerization of Plant Oil with Tungsten Powder 256
6.4.3 Synthesis of Oleic Acid Based Oligomers (5.6) 258
6.4.4 Saponification of Estolides (5.6) 260
6.4.5 Reduction of Estolide (5.6) 261
6.4.6 Synthesis 9,10-Dihydroxystearic Acid (5.11) 262
6.4.7 Synthesis of Diacetate Estolides (5.17) 262
6.4.8 Synthesis of 9,10-Dimethoxystearic Acid (5.18) 263
6.4.9 General Procedure for Oxidative Cleavage of Fatty Acid Derivatives 264
6.4.10 Oligomerization of Oleic Acid without Catalyst 265
6.4.11 General Procedure for Oligomerization of Plant Oil with Succinic Acid 266
6.4.12 Oligomerization of Soybean Oil with Adipic Acid 268
6.4.13 General Procedure for Oligomerization of Plant Oil with Phthalic Anhydride 268
6.4.14 Polyurethane Synthesized from Estolides (5.6) 270
6.4.15 Polyurethane Synthesized from Oligomerized Soybean oil with Succinic Acid (5.25) 270
References 271
Acknowledgement
First and foremost, I would like to thank my academic supervisor Dr Andrew Clark for his great teaching, guidance and advice which help me tremendously to complete this work. Throughout my study, he provided good working environment and facilities that contributed to the success of this study. I would also like to thank Dr Stuart Coles and Dr Alana Collis for their help and advice on laboratory work and analytical methods. My thanks also extend to the members of the Clark Group for all their help and support as well as for all the good times and social events which make my study life very pleasant.
Thanks also to my advisory committee academics Prof Martin Wills and Prof Gregory Challis who provided good teaching and guidance in the development of my research. I extend my thanks to Dr Lijiang Song and Philip Aston for all the mass spectra they performed. The same gratitude to Dr Ivan Prokes and Edward Tunnah for the NMR service they provided. I am grateful to Dr Anthony Grice for the GPC service given to me.
Special thanks to my wife Sok Hua for her love, encouragement, support, sacrifice and patient throughout my study that I dedicate this work to her. I wish to express my gratitude to my mother and sisters for their sacrifices, help and encouragement which inspire me to complete this work. I wish to thank all my friends for their help and encouragement. Finally, I would also like to thank the Malaysian Palm Oil Board for the scholarship that enables me to pursue my PhD here in UK.
Declaration
The work presented in this thesis is the original work of the author. References to previous related results and ideas have been fully acknowledged. All work was performed in the Department of Chemistry at the University of Warwick between April 2009 and April 2012 and has not been submitted for a degree at any other institution.
Seng Soi Hoong
Abstract
The work presented in this thesis represents the chemical modifications of unsaturated plant oils to yield oligomeric/polymeric polyols suitable for polyurethane synthesis. Chapter 1 provides the introduction to the chemistry of polyurethanes, plant oils and plant oil based polyols. Chapter 2 focuses on making oligomeric polyols from unsaturated plant oils through epoxidation and subsequent epoxide ring opening oligomerization that yielded oligomeric polyols. The properties of these oligomeric polyols were influenced by the level of unsaturation of the plant oils. In addition, catalyst loading, monomer concentration and reaction time play vital roles in determining the properties of the oligomeric polyols. Plant oil based polyols were also prepared by epoxide ring opening with renewable polyhydric alcohols that provide a variety of plant oil based polyols for polyurethane synthesis.
Chapter 3 focuses on the synthesis of polyurethanes (PU) from various types of plant oil based polyols as well as the evaluation of the mechanical properties of these synthesized PU. The tensile test of the PU shows that the mechanical properties were related to the structure and functionalities of the plant oil based polyols. The bulk of Chapter 4 discusses the copolymerization of epoxidized plant oils with tetrahydrofuran and the use of these copolymers for the synthesis of PU. The properties of the copolymers were related to the epoxidized oils used in the reaction and therefore influence the mechanical properties of the PU synthesized from them. Finally, Chapter 5 is a collection of work on the one-pot oligomerization of unsaturated fatty acid and plant oils with and without catalyst as well as the synthesis of PU based on these polyols.
| Abbreviation | Description |
|--------------|-------------|
| AV | Acid value |
| COSY | H-H correlation spectroscopy |
| d | doublet |
| dd | doublet of doublets |
| Da | Dalton |
| DCM | Dichloromethane |
| DSC | Differential scanning calorimetry |
| ECB | Epoxidized cocoa butter |
| EuO | Euphorbia oil |
| EMO | Epoxidized methyl oleate |
| EO | Ethylene oxide |
| EPO | Epoxidized palm oil |
| ERO | Epoxidized rapeseed oil |
| ESO | Epoxidized soybean oil |
| ESI | Electropray ionization |
| FAC | Fatty acid composition |
| GPC | Gel permeation chromatography |
| HP | Hydroxylated plant oil polyols |
| HRMS | High resolution mass spectrometry |
| IR | Infra-red |
| m | multiplet |
| MALDI-TOF-MS | Matrix-assisted laser desorption/ionization time of flight mass spectrometry |
| MDI | 4,4'-methylene diphenyl diisocyanate |
| $M_n$ | Number average molecular weight |
| mol eq | mol equivalent |
| MPa | Megapascal |
| mW | miliWatt |
| $M_w$ | Weight average molecular weight |
| NCO | Isocyanate group |
| NMR | Nuclear magnetic resonance |
| OH | Hydroxyl group |
| Abbreviation | Description |
|--------------|-------------|
| OHV | Hydroxyl value |
| OOC | Oxirane oxygen content |
| OP | Oligomeric polyols |
| PDI | Polydispersity index |
| PEG600 | Polyethylene oxide, average molecular weight of 600 Da |
| PEG3350 | Polyethylene oxide, average molecular weight of 3350 Da |
| ppm | Parts per million |
| PO | Propylene oxide |
| POP | Plant oil based polyols |
| PPT | Phosphotungstate catalyst system |
| PTC | Phase transfer catalyst |
| PTHF-EO/PO | Copolymers of PTHF with EO or PO |
| PTHF | Polytetrahydrofuran |
| p-TSA | para toluene sulfonic acid |
| PU | Polyurethane |
| s | singlet |
| t | triplet |
| TGA | Thermal gravimetric analysis |
| THF | Tetrahydrofuran |
| TP | Tungsten powder catalyst system |
CHAPTER 1 - INTRODUCTION
1.1 POLYURETHANE
The polyurethanes (PU) are polymers that contain significant amount of the urethane group (Figure 1.1) as a repeating structural unit in the polymer chain.
\[
\begin{array}{c}
\text{R} \\
\text{N} \quad \text{O} \\
\text{H} \quad \text{R'} \\
\end{array}
\]
Figure 1.1 Structural unit of urethane
The urethane group –NH-COO- can be considered as an ester of the hypothetically unstable carbamic acid or an amide ester of carbonic acid.\(^1\) The first reported synthesis of a urethane compound was ethyl carbamate by Wurtz in 1849, where he reacted ethyl isocyanate with ethyl alcohol to give the urethane compound.\(^2\)
There are various methods\(^3\) to synthesize the urethane group but the most commercially important method is the reaction between an alcohol and an isocyanate.\(^4\) This commercially important reaction was investigated intensively by Dr. Otto Bayer and co-workers in 1937 to synthesize the first polyurethane\(^5\) as a response to the commercially successful nylon fibers by Carothers. In addition, they also discovered a new type of polymerization reaction, namely the polyaddition reaction,\(^6\) which is similar to the classical polycondensation reaction but without the formation of by-product.
Since its discovery in 1937, PU has found applications in many aspects of our daily life. The production of PU materials in Asia-Pacific alone in 2009 was estimated to
be about 7 million tonnes. The following shows the main applications of PU products in Asia-Pacific in 2009 according to product sector, (Figure 1.2).\(^7\)
The capability of PU polymers to fulfill various application requirements comes from the fact that they can be produced with a wide range of properties that can be linked to the structure of the PU in terms of crosslink densities\(^8\) and stiffnesses, (Figure 1.3).
The structure of the PU polymer determines the mechanical and thermal properties of PU products. The structure of a PU on a microscopic level can be divided into two segments. One of the segments is known as the ‘hard/rigid’ segment and the other segment is known as the ‘soft/flexible’ segment. The hard segment is formed by the urethane and urea linkages in the PU, while the soft segment is made up of polyol chain\(^9\) (Figure 1.4).
**Figure 1.4** Hard segment and soft segment in PU
It is the soft segment (polyol derived) of the PU that imparts the flexible properties to the material. Generally, there are two types of polyols available commercially in the PU industry. The first type of polyol has high molecular weight in range of 2,000-10,000 dalton (Da) and low functionality in the range of 2-3 hydroxyl groups per mol. This type of polyol is used in making flexible PU. Meanwhile, the second type of polyol has low molecular weight in the range of 300-1000 Da and higher
functionality in the range of 3-8 hydroxyl groups per mol and this type of polyol is more suitable for making rigid PU.\textsuperscript{10}
Thermoplastic PU structures can be made from the reaction between diisocyanates and high molecular weight polyols (3000 Da) which have a hydroxyl functionality of 2 per mol. The high molecular weight of the polyol assures high mobility of the polymer chain and therefore gives rise to high elasticity of the PU.
The urethane and urea functional groups in the thermoplastic PU (hard segment) can form hydrogen bonds and this promotes association between the urethane/urea linkages, (Figure 1.5). The incompatibility between the soft and hard segments also contributes to the formation of this higher ordered structure.\textsuperscript{11}
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{image.png}
\caption{Hard segments and soft segments of thermoplastic PU}
\end{figure}
The hard segments provide a physical crosslinked structure to the thermoplastic PU by hydrogen bonding. When the thermoplastic PU is heated to a high enough temperature, the hydrogen bonds that hold the hard segments together can be broken.
and the PU polymer chains are able to move freely. This enables the thermoplastic PU to be processed into any shape by ‘melting’.
Flexible PU structures can be made from polyols that have low hydroxyl functionality (about 2-3 hydroxyl groups per mol) and high molecular weights (about 3000-6000 Da). When reacted with a diisocyanate, this polyol type will yield flexible PU with low crosslinked densities which can be hypothetically illustrated in Figure 1.6. The long polymer chains of the high molecular weight polyol will impart flexibility to the PU structure.
Rigid PU structures are usually made from polyols that have high hydroxyl functionality (about 3-8 hydroxyl groups per mol) and low molecular weights (about 300-1000 Da). The high functionality of the polyol ensures that when it is reacted with diisocyanates or polyisocyanates (having 2-4 NCO group per mol), the resulting
PU has a high crosslink density and the high rigidity. Furthermore, the relatively short polymer chains of the low molecular weight polyol monomer do not allow the rigid PU to move freely and therefore, impart rigidity to the PU structure.\textsuperscript{14} The hypothetical structure of the rigid PU can be illustrated in Figure 1.7.
In order to fully understand the formation of these different types of PU structures (thermoplastic, flexible and rigid), the following sections will dwell on the building blocks of the PU, namely the isocyanates and polyols by looking at different types of diisocyanates and polyols as well as the chemistry aspect of diisocyanates and polyol.
1.2 DIISOCYANATE
All commercially available diisocyanates are prepared through phosgenation of their respective primary amines. These diisocyanates can be divided into two groups, namely aromatics and aliphatics. Examples of aromatic diisocyanates are 2,4-toluene diisocyanate and 4,4'-diphenylmethane diisocyanate (MDI). Aliphatic diisocyanates commonly used commercially are 1,6-hexamethylene diisocyanate and isophorone diisocyanate.\textsuperscript{15} The structures of these diisocyanates are given in Figure 1.8.
Generally, aromatic diisocyanates are preferred over aliphatic ones because the aromatic diisocyanates have much higher reactivities than aliphatic diisocyanates in the PU reaction.\textsuperscript{15} In addition, the aromatic diisocyanates are relatively cheap to produce as compared to the aliphatic feedstocks. However, the aliphatic diisocyanates have better light stability properties compared to aromatic diisocyanate, where the aromatic diisocyanates tend to yellow very quickly under sunlight.
Therefore, the aliphatic diisocyanates are usually used in applications where light stability is a required property.\textsuperscript{16}
\subsection*{1.2.1 REACTION OF ISOCYANATE WITH ALCOHOL}
The reaction between the NCO and alcohols is the most familiar of all the reaction of isocyanates. Nearly all commercial applications of the NCO functional group, such as foams, elastomers and coatings are based on this reaction. The reaction of an NCO group with an alcohol functionality gives a urethane functional group, which is also known as the carbamate group\textsuperscript{17} (Figure 1.9).
\[
\text{RNCO} + \text{R'OH} \rightarrow \text{R-N-C-O-R'}
\]
Figure 1.9 Reaction between isocyanate and alcohol
The reaction of an NCO group with simple primary alcohols and secondary alcohols usually give nearly quantitative yields of the urethane. However, there is significant reaction rate different between primary and secondary alcohols due to the effect of steric hindrance. Consequently, primary alcohols generally react readily at 25 °C, while secondary alcohols typically react at only a third of this rate. The steric hindrance effect is most profound for tertiary alcohols which react much more slowly than primary alcohols, approximately 0.005 as fast as a primary alcohol.\textsuperscript{18}
1.2.2 REACTION OF ISOCYANATE WITH AMINE
Generally, the reaction between the NCO and an amine is much faster than for an alcohol due to the stronger nucleophilicity of amine group. The reaction between a primary aliphatic amine and an NCO group is 1000 times faster than for a primary aliphatic alcohol. In addition, the secondary aliphatic and primary aromatic amines are 200 and 2 times faster than primary aliphatic alcohols respectively.\(^{19}\)
Therefore, the primary aliphatic amine is extremely reactive with NCO at 0-25 °C, yielding a disubstituted urea (Figure 1.10). This fast reaction ensures that the curing of polyurea products is not affected by moisture and temperature.\(^{20}\) Therefore, polyurea coatings are used in areas where the dampness is high and fast curing is required.
\[
\text{RNCO} + \text{R'NH}_2 \rightarrow \text{R-N-C=N-R'}
\]
Figure 1.10 Reaction between isocyanate and amine
1.2.3 REACTION OF ISOCYANATE WITH CARBOXYLIC ACID
The reaction between a NCO group and a carboxylic acid is much slower than its reaction with amines and alcohols\(^{19}\) and produces a mixture of unstable anhydrides, which decomposes to yield amides and gaseous carbon dioxide\(^{21}\) (Figure 1.11).
A study has been conducted with $^{14}$C labelled carboxylic acids to find out the carbon source of the gaseous carbon dioxide evolved from the reaction. The analysis results revealed that the carbon source comes from the isocyanate.\textsuperscript{22}
\subsection*{1.3 POLYOL}
There are two categories of polyols used in the production of PU products. The first category is the low molecular weight molecules with well defined molecular weight such as 1,4-butanediol, diethylene glycol and glycerol. These polyols are currently used in the PU industry as chain extenders or crosslinkers, depending whether they are a diol or triol.\textsuperscript{8}
The second category is polyols with relatively high molecular weight (oligo-polyol) (300-10000 Da) that is having a molecular weight distribution characterized by an average molecular weight. These polyols have primary or secondary hydroxyl functionality of 2-8 per mol. Generally, there are two types of commercially available oligo-polyols based on the functional group of the repeating unit, namely the polyethers and the polyesters.\textsuperscript{1}
1.3.1 POLYETHER POLYOL BY ANIONIC POLYMERIZATION
Polyether polyols based on alkylene oxide are the most commercially important polyol, which represents about 53% of the total polyol production in Asia Pacific in year 2009.\textsuperscript{7} The common alkylene oxides used in making polyether polyols are ethylene oxide (EO), propylene oxide (PO) and butylene oxide\textsuperscript{23} (Figure 1.12). The general structure of the polyether polyols derived from polymerization of alkylene oxide is illustrated in Figure 1.12.
**Figure 1.12 Alkylene oxides and general structure of polyether polyol**
The polymerization of alkylene oxides is initiated by chain initiators that contain active hydrogen atoms such as the hydroxyl group. Depending on the desired final functionality of the polyether polyol, the chain initiator can be selected from compounds having 2-6 hydroxyl functionalities, in which the same number of functionalities will be transferred to the polyether polyol. Example of chain initiators that have been used in industry are diethylene glycol, glycerol, trimethylolpropane, pentaerythritol and sucrose\textsuperscript{1} (Figure 1.13).
The alkylene oxide polymerization reaction is usually catalyzed by one of the three types of catalysts, namely anionic, cationic and coordinative catalysts. Examples of compounds used as anionic catalyst are hydroxide of alkaline metal (NaOH, KOH), calcium naphthenates and calcium octanoates.\textsuperscript{24}
The cationic catalysts used in the polymerization are Lewis acids and Bronsted acids (SbF$_5$, BF$_3$, HSbF$_6$, CF$_3$SO$_3$H).\textsuperscript{25} Meanwhile, examples of the coordinative catalysts used in the polymerization are zinc and titanium alcoholates [Zn(OR)$_2$, Ti(OR)$_4$], zinc and aluminum tetraphenyl porphiranates.\textsuperscript{26} However, the two most important catalysts used for the synthesis of high molecular weight polyether polyols on industrial scales are potassium hydroxide and the double metal cyanide catalyst Zn$_3$[Co(CN)$_6$]$_3$.ZnCl$_2$ with various ligands.\textsuperscript{27}
The most important polyether polyols are the polyether triols because they are used in the biggest sector of PU industry namely that of flexible PU foam. The polyether triols are made from random copolymerization of propylene oxide and ethylene oxide initiated by glycerol\textsuperscript{28}, with an average molecular weight of 3000-3600 Da.
The first step in the production of a polyether triol is the formation of potassium glycerolate and water from the equilibrium reaction between glycerol and potassium hydroxide (Figure 1.14). In order to shift the equilibrium to the formation of potassium glycerolate, the water of reaction is removed under vacuum at 100-130 °C.
In the end, a solution of potassium glycerolate in glycerol is formed, which is known as the initiator solution. The next step of the production of polyether triol involved the slow addition of the propylene oxide/ethylene oxide mixture to the initiator solution at 115 °C and 2-5 bar pressure.\(^{29}\)
\[
\text{HO} \quad \text{OH} \quad + \quad \text{KOH} \quad \rightleftharpoons \quad \text{HO} \quad \text{OH} \quad \text{O}^+ \quad + \quad \text{H}_2\text{O}
\]
Glycerol \quad Potassium Glycerolate
Figure 1.14 Reaction between potassium hydroxide and glycerol
The reaction between potassium glycerolate and propylene oxide is a \(S_N2\) nucleophilic substitution reaction, in which the strong nucleophile alcoholate group attacks the carbon atom of the alkylene oxide, causing ring opening of the oxirane group\(^{30}\) (Figure 1.15).
\[
\text{HO} \quad \text{OH} \quad \text{O}^+ \quad + \quad \text{R} \quad \rightarrow \quad \text{HO} \quad \text{OH} \quad \text{O} \quad \text{R} \quad \text{O}^+
\]
Potassium Glycerolate \quad Alkylene oxide \quad R= H or CH\(_3\)
Figure 1.15 \(S_N2\) nucleophilic reaction between potassium glycerolate and alkylene oxide
Referring to Figure 1.15, the product of this reaction is another alcoholate group, which can attack the oxirane ring of another alkylene oxide and this extends the molecule with another unit of alkylene oxide (Figure 1.16). This process repeats until the alkylene oxide is fully consumed. The final step of the process is the neutralization of the product (polyether polyol) with inorganic acids and removal of the salts.\(^{30}\)
\[
\text{HO} \quad \text{OH} \quad \text{O} \quad \text{O} \quad \text{R} \quad \text{O}^+ \quad + \quad n \quad \text{R} \quad \xrightarrow{\text{R}} \quad \text{HO} \quad \text{OH} \quad \text{O} \quad \text{O} \quad \text{R} \quad (\text{O} \quad \text{O})_{n+1} \quad \text{O}^+
\]
\(R = H \text{ or } CH_3\)
Figure 1.16 Polymerization of alkylene oxide
### 1.3.2 POLYETHER POLYOL BY CATIONIC POLYMERISATION
The cationic polymerization method is used to produce polyether polyols from homopolymerization of tetrahydrofuran (PTHF) and copolymerization of tetrahydrofuran with ethylene oxide or propylene oxide (PTHF-EO/PO). However, only the cationic homopolymerization of tetrahydrofuran is commercially important due to its application in the production of PU elastomers and elastic fibers (Spandex fibers). In addition, the higher cost of tetrahydrofuran also restricts the use of PTHF and PTHF-EO/PO polyols in the flexible PU foams area.\(^{31}\)
The ring opening homopolymerisation of tetrahydrofuran is conducted at 0-30 °C in the presence of Lewis acids or Bronsted superacids such as SnCl\(_4\), SbCl\(_5\),
fluorosulfonic acid, triflic acid and triflic anhydride.\textsuperscript{32} An example of the initiation step of the polymerization reaction is illustrated in Figure 1.17, in which the homopolymerization of tetrahydrofuran is initiated by propionyl chloride and catalyzed by AgSbF\textsubscript{6}. The reaction between the propionyl chloride and the catalyst generates the oxocarbenium salt, which is the active catalyst species.\textsuperscript{33}
\[
\begin{align*}
\text{Propionyl chloride} & \quad + \quad \text{AgSbF}_6 \\
& \quad \xrightarrow{} \quad \text{Oxocarbenium salt}
\end{align*}
\]
Figure 1.17 Formation of oxocarbenium salt.
The next step in the polymerization process is the propagation step where the oxocarbenium salt reacts with tetrahydrofuran (THF) to form the activated chain end species and this reaction is repeated with more THF molecule to form the polyether polyol based on THF. The termination step of the polymerization reaction is conducted with water to yield a terminal hydroxyl group (Figure 1.18). Finally, the polyether polyol is subjected to hydrolysis reaction in order to remove the propionyl group and yield telechelic polyether polyol.\textsuperscript{33} The polyether polyol based on homopolymerization of THF usually has an average molecular weight of 650-2000 Da.
1.4 POLYESTER POLYOL
Polyester polyols are the second most important type of oligo-polyol after polyether polyols as raw material for the production of PU’s. The polyester polyols represent about 27% of the market in Asia Pacific oligo-polyols in year 2009, which corresponds to about 785,000 tonne. Most of the polyester polyols are used in the production of PU elastomers and coatings.\(^7\)
Polyester polyols for PU application usually have a molecular weight range\(^{34}\) from 1000-4000 Da. They are characterized by the presence of ester groups as the repeating unit in the polymer and terminal hydroxyl groups. The general formula for the polyester polyol is illustrated in Figure 1.19.
Figure 1.19 General formula for polyester polyol
The conventional method used industrially to produce a polyester polyol is the polycondensation reaction between a glycol (or polyol) and a dicarboxylic acid, in which the by-product of the reaction is water (Figure 1.20).
\[
\text{HO} \quad \text{R'} \quad \text{O} \quad \text{OH} + \text{n+1} \quad \text{HO} \quad \text{R} \quad \text{OH} \quad \rightleftharpoons \quad \text{HO} \quad \text{R'} \quad \left( \text{O} \quad \text{R'} \quad \text{O} \quad \text{R'} \right)_{n} \quad \text{OH} + \quad 2n \quad \text{H}_2\text{O}
\]
Figure 1.20 Polycondensation reaction between glycols and dicarboxylic acids
This reaction is an equilibrium reaction and the method to shift the equilibrium to the formation of polyester polyol is through continuous removal of water. Therefore, the polycondensation is usually conducted at about 200 °C under continuous reduced pressure to remove water from the reaction. The polycondensation reaction can be catalysed by compounds such as \(p\)-toluene sulfonic acid, stannous octoate and zinc acetate.\(^1\)
The other method used industrially to produce polyester polyols is the transesterification reaction between dimethyl esters of dicarboxylic acids and glycols, in which alcohol is the by-product of the reaction instead of water. For example, the reaction between 1,4-butanediol and dimethyl adipate with titanium tetrabutoxide [Ti(OBu)\(_4\)] as the catalyst was conducted at 200 °C and yielded polyester polyols with methanol as the by-product\(^35\) (Figure 1.21).
Another method that is used to produce polyester polyols is through ring opening polymerization of cyclic esters. Examples of cyclic esters that can be polymerized to polyester polyols are $\varepsilon$-caprolactone and $\delta$-valerolactone. For example, $\varepsilon$-caprolactone was polymerized to polyester polyol through ring opening polymerization catalyzed by Sm(II) aryloxide complexes at room temperature\textsuperscript{36} (Figure 1.22).
Initiation of the ring opening polymerization of $\varepsilon$-caprolactone occurs by activation with a metal catalyst (La(acac)$_3$, Pr(acac)$_3$, Nd(acac)$_3$\textsuperscript{37} through the coordination mechanism shown in Figure 1.23. The activated carbonyl group is then attacked by the alcoholate group from the catalyst which causes carbonyl-oxygen bond cleavage and a new activated chain end species with the metal center at the end of the chain\textsuperscript{37} (Figure 1.23).
Figure 1.23 Mechanism for polymerization of ε-caprolactone with metal alkoxide catalyst.
This activated chain end species can repeat the whole process again with more ε-caprolactone to propagate the polymer chain. The polymerization is terminated by addition of methanol or ethanol to yield a polyester with a terminal hydroxyl group.
1.5 RENEWABLES CONTENT IN POLYURETHANE
Currently, most of the PU raw materials (polyols and isocyanates) are derived from the non-renewable petroleum resources, which will be depleted in the future. The scientific community as well as the chemical industry is carrying out research and development to find alternatives to the petrochemicals based raw materials.
Most of the research and development work on renewable PUs have been focusing on renewable polyols and less focus was on diisocyanates. Renewable polyols have been made from bio-based materials such as carbohydrates, lignin and plant oils. This will be discussed in the following section. In contrast, the synthesis of renewable diisocyanates has been made only from plant oils.
Plant sugars such as glucose, xylitol and sorbitol (Figure 1.24), which have multiple hydroxyl groups, have been used as initiators for the production of polyether polyols, where the plant sugars were reacted with propylene oxide or ethylene oxide in the presence of KOH as the catalyst.\textsuperscript{38} Polyesters were also be produced from glucose when it was reacted with $\varepsilon$-caprolactone and ethylene glycol at 150 °C with tin (II) 2-ethylhexanoate as the catalyst.\textsuperscript{39}
  
**Figure 1.24.** Example of plant sugars used as initiator in polyols production
Lignin is basically an aromatic based macromolecular compound that has primary and secondary hydroxyl group\textsuperscript{40} (Figure 1.25). Lignin recovered from the paper pulping process was used as starting material to make PUs by dissolving it in an ethylene oxide based polyether polyol and reacting the mixture with a diisocyanate to yield rigid PU.\textsuperscript{41}
Lignin based polyester polyols were produced by reacting the lignin with a dibasic acid and diethylene glycol. The resulting polyester polyol had a hydroxyl value of 305 mg KOH/g sample and it was used to make rigid PU.\textsuperscript{42}
Figure 1.25 Idealized structure of lignin
Plant oils are the main source of renewable material used in the synthesis of both renewable polyols (see Section 1.7) and renewable diisocyanates. Three examples of natural oil based diisocyanate synthesis have been reported.\textsuperscript{43,44,45} In one of the examples (Figure 1.26), oleic acid (1.1) was subjected to ozonolysis to yield the aldehyde compound (1.2). This aldehyde was then oxidized with \textit{tert}-butyl hydroperoxide to yield (1.3). Then (1.3) was reacted further with sodium azide to give an intermediate which then underwent a Curtius rearrangement to yield (1.4).\textsuperscript{43}
Figure 1.26 Synthesis of (1.4) from (1.1)
In another example (Figure 1.27), the first step of the synthesis utilized a self-metathesis reaction of (1.1) to yield a diacid (1.5a) which again was treated with sodium azide to yield the target diisocyanate (1.6) via a Curtius rearrangement.\(^{44}\) The co-product from this reaction was a long chain alkene (1.5b).
Figure 1.27 Synthesis of (1.6) from (1.1)
A conceptually different approach (Figure 1.28) utilized an allylic bromination of (1.7) as the first step to yield (1.8). Then (1.8) was reacted with AgNCO to prepare the target isocyanate functionalized (1.9).\(^{45}\)
The importance of plant oils as a raw material to produce renewable polyols will be better understood after detail discussion on the chemical composition and chemistry of plant oils in the following section.
1.6 PLANT OIL
The global production of oils and fats in 2010/11 was about 150 million tonnes. Most of the oils and fats were consumed as food, which is about 80% of the total volume, while the rest was used for non-food uses such as oleochemicals and animal feed.\textsuperscript{46} The following Table 1.1 shows the production volume\textsuperscript{46} and prices\textsuperscript{47} of some of the major commodity oils.
Table 1.1 Global production volume and annual average prices for some commodity plant oils for year 2010/11
| Plant oil | Production volume (million metric tons) | Prices(US$/tonne) |
|---------------|----------------------------------------|--------------------|
| Palm | 47.83 | 1154 |
| Soybean | 41.23 | 1306 |
| Rapeseed | 23.32 | 1367 |
| Sunflower | 12.20 | 1404 |
| Palm kernel | 5.66 | 1360 |
| Peanut | 5.14 | 2270 |
| Olive | 3.01 | 2874 |
Referring to Table 1.1, the three most suitable candidates for industrial application through chemical modification are palm, soybean and rapeseed oil because they are comparatively cheaper than other plant oils and they are available in larger quantity.
1.6.1 PLANT OIL CHEMISTRY
Plant oils are part of a larger chemical group known as lipids. Plant oils are also known as triglycerides because they are triesters of glycerol with three fatty acids (Figure 1.29) where the three fatty acids R, R', R'' could be the same fatty acid or could be different. Therefore, the number of triglycerides that could be constructed is enormous due to the many possible combination and permutations of fatty acids that can be reacted with the three hydroxyl groups of glycerol.
Generally, the common naturally occurring fatty acids have a hydrocarbon chain length of 12 carbons ($C_{12}$) or more with the most common being derived from $C_{16}$ and $C_{18}$ units. The hydrocarbon chain of the fatty acid could be saturated or unsaturated. The common saturated fatty acids\textsuperscript{48} are myristic ($C_{14}$), palmitic ($C_{16}$) and stearic ($C_{18}$) acids (Figure 1.30).
Meanwhile, the most common unsaturated fatty acids\textsuperscript{48} are oleic ($C_{18:1}$), linoleic ($C_{18:2}$) and linolenic ($C_{18:3}$) (Figure 1.31), where they respectively have mono-, di-, or tri-unsaturation on the 18 carbon chain. The carbon–carbon double bonds (unsaturation) are usually situated at carbon numbers 9, 12 and 15 and have a \textit{cis} configuration.\textsuperscript{48}
The following Table 1.2 shows the fatty acid composition\(^{10}\) of some of the commodity plant oils.
Table 1.2 Fatty acid composition of major commodity oils
| Fatty acid | #C\(^a\) : #DB\(^b\) | Palm (%) | Soybean (%) | Rapeseed (%) | Sunflower (%) | Olive (%) |
|---------------|------------------------|----------|-------------|--------------|---------------|-----------|
| Lauric | 12 : 0 | 0.2 | 0.0 | 0.0 | 0.0 | 0.0 |
| Myristic | 14 : 0 | 1.0 | 0.1 | 0.2 | 0.1 | 0.0 |
| Palmitic | 16 : 0 | 44.4 | 11.0 | 4.1 | 7.0 | 13.7 |
| Palmitoleic | 16 : 1 | 0.2 | 0.1 | 0.3 | 0.1 | 1.2 |
| Stearic | 18 : 0 | 4.1 | 4.0 | 1.8 | 4.5 | 2.5 |
| Oleic | 18 : 1 | 39.3 | 23.4 | 60.9 | 18.7 | 71.1 |
| Linoleic | 18 : 2 | 10.0 | 53.2 | 21.0 | 67.5 | 10.0 |
| Linolenic | 18 : 3 | 0.4 | 7.8 | 8.8 | 0.8 | 0.6 |
| Arachidic | 20 : 0 | 0.3 | 0.3 | 0.7 | 0.4 | 0.9 |
| Gadoleic | 20 : 1 | 0.0 | 0.0 | 1.0 | 0.1 | 0.0 |
| Behenic | 22 : 0 | 0.1 | 0.1 | 0.3 | 0.7 | 0.0 |
| Erucic | 22 : 1 | 0.0 | 0.0 | 0.7 | 0.0 | 0.0 |
| Lignoceric | 24 : 0 | 0.0 | 0.0 | 0.2 | 0.0 | 0.0 |
| Avg. #DB/mol oil | | 1.9 | 4.6 | 3.9 | 4.8 | 3.8 |
\(^a\)Number of carbon atoms in fatty acid chain
\(^b\)Number of carbon-carbon double bonds per mol oil
In addition, there are also some rarer fatty acids that are found in nature that bear the epoxy (vernolic) or hydroxyl (ricinoleic) functionalities, (Figure 1.32), which offer different chemical properties to the standard unsaturated fatty acids. However they are not produced in big enough quantities compared to the commodity plant oils to find a place in bulk industrial processes.
Ricinoleic acid
Figure 1.32 Fatty acids with hydroxyl and epoxy functionality
The chemistry of plant oils can be divided into three categories, namely (a) reaction on the hydrocarbon chain, (b) reaction involving the carbonyl group and (c) reaction involving the carbon-carbon double bond. Each of these categories will be discussed in the following section.
### 1.6.2 REACTIONS ON THE FATTY ACID HYDROCARBON CHAIN
For the purpose of the following discussion oleic acid (Figure 1.33) will be used as the model fatty acid.
Figure 1.33 Oleic acid
The methylene group next to the carbonyl group (C-2) is activated by the carboxylic acid or the ester functionalities because the carbonyl group can stabilize either a radical or anion generated as an intermediate.\textsuperscript{48} Therefore, this $\alpha$-methylene group can undergo alpha substitution reaction such as $\alpha$-halogenation (Hell-Volhard-Zelensky)\textsuperscript{49}, $\alpha$-sulfonation\textsuperscript{50}, acylation\textsuperscript{51}, alkylation\textsuperscript{52} and Claisen condensation.\textsuperscript{53} The C-8 and C-11 allylic carbons of oleic acid, can be functionalized through allylic hydroperoxidation\textsuperscript{54}, allylic hydroxylation\textsuperscript{55} and allylic halogenation.\textsuperscript{56}
The methyl group (C-18) of oleic acid can be converted to a carboxylic acid directly by both enzymatic and chemical methods. One example of an enzymatic method\textsuperscript{57} is the synthesis of 1,18-\textit{cis}-9-octadecenedioic from oleic acid by whole-cell biotransformation using \textit{C. tropicalis} ATCC20962. Chemical oxidation of the terminal methyl group of methyl oleate with carbon monoxide as the carboxylation source has been achieved to give 1,19-nonadecanedioate. The reaction was conducted at 90 °C under 20 bar pressure of carbon monoxide for 22 hours and catalyzed by a palladium based complex [(dtpbx)Pd(OTf)][OTf].\textsuperscript{58}
Substitution at C-3 to C-7 and C-12 to C-16 of oleic acid could theoretically occur with by standard alkane functionalization chemistry (e.g. chlorination). For example, chlorination\textsuperscript{59} of myristic acid (Figure 1.34) dissolved in CCl$_4$ was conducted with gaseous chlorine at 20 °C. A mixture of chlorinated products was obtained with the following distribution according to carbon number: 19.4% (C-3 to C-6), 9% (C-7 to C-11), 9.8% (C-12), 13.8% (C-13) and 3% (C-14). However, this functionalization is not synthetically useful as it is relatively unselective.
1.6.3 REACTIONS INVOLVING THE CARBONYL GROUP
Hydrolysis
The hydrolysis of plant oil is the basic chemical reaction of oleochemical industry. Plant oils can be hydrolyzed by water in a process known as fat-splitting that yield free fatty acids and glycerol. This fat-splitting process is usually carried out in continuous mode at 250 °C, under 20-60 bar and uncatalyzed\textsuperscript{48} (Figure 1.35).
\[
\begin{align*}
\text{Triglyceride} & \xrightarrow{250 \, ^\circ\text{C}, 20-60 \, \text{bar}} \text{Glycerol} + \text{Fatty acids} \\
\text{R}_1 \text{CO}_2\text{H} & \quad \text{R}_2 \text{CO}_2\text{H} \quad \text{R}_3 \text{CO}_2\text{H}
\end{align*}
\]
\[ R_1, R_2, R_3 = \text{Fatty acids hydrocarbon chain} \]
Figure 1.35 Hydrolysis of plant oil
Transesterification
The methanolysis of plant oil triglycerides is the process used to produce fatty acid methyl esters, which is bio-diesel. This reaction is usually catalyzed by a basic catalyst such as sodium methoxide or sodium hydroxide. The reaction is generally
conducted at 50 °C and is driven to completion by using a large excess of methanol\textsuperscript{48} (Figure 1.36).
\[
\begin{align*}
\text{Triglyceride} & \quad + \quad \text{CH}_3\text{OH} \quad \xrightarrow{\text{excess methanol}} \quad \text{Glycerol} \\
& \quad \xrightarrow{50 \, ^\circ\text{C}, \text{NaOMe}} \quad \text{R}_1\text{CO}_2\text{Me} \quad + \quad \text{R}_2\text{CO}_2\text{Me} \quad + \quad \text{R}_3\text{CO}_2\text{Me} \\
\end{align*}
\]
R\textsubscript{1}, R\textsubscript{2}, R\textsubscript{3} = Fatty acids hydrocarbon chain
Figure 1.36 Transesterification of plant oil with methanol
**High Pressure Hydrogenation**
The high pressure hydrogenation of fatty acid esters is the major commercial production method for the synthesis of alcohol surfactants, typical chain lengths being in the range of C\textsubscript{12} to C\textsubscript{16}. The hydrogenation is typically carried out between 250-275 °C under H\textsubscript{2} pressure of 12-25 MPa with 5% w/w of a metal catalyst. Generally, there are two types of catalysts employed in the high pressure hydrogenation. A CuO/Cr\textsubscript{2}O\textsubscript{3} (1:1) catalyst is employed to reduce both the carbonyl and alkene groups of unsaturated fatty esters to saturated fatty alcohols, while a CuCO\textsubscript{3}/ZnCO\textsubscript{3} (1:1) catalyst is employed to reduce the ester of saturated fatty acids\textsuperscript{48} (Figure 1.37).
Conversion of fatty acid to fatty amine
The conversion of fatty acid to fatty amine is a three steps reaction. In the first step, the fatty acid is reacted with ammonia at 180-200 °C under ammonia pressure of 3-7 bar to yield fatty amide. In the second step, the fatty amide is dehydrated to fatty nitrile at 300 °C in the presence of zinc oxide as catalyst. The third step involves the hydrogenation of the fatty nitrile catalyze by a Raney-type Ni/Co catalyst at 120-180 °C, 2-4 MPa H₂ to yield fatty amine\(^{60}\) (Figure 1.38).
\[ \text{RCO}_2\text{H} \xrightarrow{\substack{180-200 \text{ °C} \\ 3-7 \text{ bar NH}_3}} \text{RCONH}_2 \xrightarrow{\text{ZnO}} \text{RCN} \xrightarrow{\substack{120-180 \text{ °C} \\ 2-4 \text{ MPa H}_2}} \text{RNH}_2 \]
\( R = \text{fatty acid hydrocarbon chain} \)
Figure 1.38 Conversion of fatty acid to fatty amine
1.6.4 REACTION ON THE ALKENE GROUP
Reaction on the alkene group is the second most important type of reaction in the oleochemical industry after the reaction on the carbonyl group.\(^{61}\) On an industrial scale, the two most important reactions are hydrogenation\(^{62}\) and epoxidation.\(^{80}\) Other types of reactions that have been used to produce useful chemicals from unsaturated
plant oils are Friedel-Crafts acylation, oxidative cleavage, hydroxylation, metathesis, thiol-ene and hydroformylation.
In this section, only hydrogenation, and Friedel-Crafts acylation will be discussed while the other mentioned reactions (epoxidation, ozonolysis, hydroxylation, metathesis, thiol-ene and hydroformylation) will be discussed in the following section (plant oil based polyols), in which these reactions are the key process used in the making of the renewable polyols from plant oil.
**Hydrogenation**
Hydrogenation is the reaction used to reduce the polyunsaturated fatty acid content of the plant oils and to maintain or increase the content of monounsaturated fatty acid. This reaction is mostly used in the food industry to prepare solid fat (margarine) from polyunsaturated plant oil such as (1.10). The hydrogenation reaction is conducted at 120 °C under 300 bar of H\textsubscript{2} in the presence of Raney-type nickel catalyst (Figure 1.39).
*Figure 1.39 Partial hydrogenation of soybean oil*
Friedel-Crafts acylation
The unsaturation of the fatty acid can be functionalized by an electrophilic addition reaction such as a Friedel-Crafts acylation induced by alkylaluminium chlorides. For example, (1.1) was acylated with (1.12) at room temperature for 2 hours with 2 equivalents of EtAlCl$_2$ to yield two isomers $^{63}$ (1.13) and (1.14) in 55% yield (Figure 1.40).
\[
\begin{align*}
\text{CH}_2\text{Cl}_2, \text{EtAlCl}_2 & \\
\text{r.t., 2 hr} & \\
55\% \text{ yield} & \\
\end{align*}
\]
Figure 1.40 Friedel-Crafts acylation of (1.1) with (1.12).
The same Friedel-Crafts acylation can be carried out with (1.15) to give (1.16) and (1.17)$^{63}$ in isolated yield of 40% (Figure 1.41).
\[
\begin{align*}
\text{CH}_2\text{Cl}_2, \text{EtAlCl}_2 & \\
\text{r.t., 24 hr} & \\
40\% \text{ yield} & \\
\end{align*}
\]
Figure 1.41 Friedel-Crafts acylation of (1.1) with (1.15).
1.7 PLANT OIL BASED POLYOL
Castor oil is a naturally occurring plant oil that has hydroxyl functionality in its triglyceride molecules (Figure 1.42) and it is mainly used in the production of rigid PU. However, the use of castor oil in PU industry has been limited by its relatively small supply, high cost and the related toxicity of harvesting the castor bean.\textsuperscript{64}
\[\text{Figure 1.42 Castor oil triglycerides structure}\]
Therefore, scientists have been looking at using other more available and cheaper commodity plant oils such as palm, rapeseed and soybean oil in making polyols. These commodities plant oils were modified chemically to introduce hydroxyl functionality. The chemical modification of plant oils to introduce hydroxyl functionality could be categorized into (a) reaction on the carboxylic group and (b) reaction on the carbon-carbon double bond.
1.7.1 PLANT OIL BASED POLYOL FROM REACTION ON THE CARBONYL GROUP
Glycerolysis of triglycerides
Glycerolysis is basically the reaction between a plant oil’s triglycerides with excess glycerol to yield monoglycerides and diglycerides (Figure 1.43). The monoglycerides and diglycerides have one and two hydroxyl groups per molecule respectively, which can be reacted with diisocyanate to make PU. Glycerolysis can be carried out through chemical\textsuperscript{66} or enzymatic\textsuperscript{65} pathways.
\[
\begin{align*}
\text{Triglyceride} & \quad + \quad \text{Glycerol} \\
& \quad \xrightarrow{\text{catalyst}} \quad \Delta \\
& \quad \text{Monoglyceride} \quad + \quad \text{Diglyceride}
\end{align*}
\]
\( R_1, R_2, R_3 = \) Fatty acids hydrocarbon chain
Figure 1.43 Glycerolysis of triglycerides
One example of the enzymatic pathway is the use of Lipozyme IM20 as the glycerolysis catalyst.\textsuperscript{65} The enzymatic glycerolysis of triolein was conducted at 40 °C for 3 days to yield 67% monoglycerides and 25% diglycerides.
An example of glycerolysis through the chemical pathway is the reaction between glycerol and soybean oil at 230 °C for 30 minutes with 0.18% NaOH as the catalyst.
The molar ratio between glycerol and soybean oil is 2.5:1 and this reaction yielded 58% monoglyceride and 33% diglycerides.\textsuperscript{66}
**Transamidation**
Transamidation is another method to make plant oil based polyols through reaction between triglycerides and amine compounds. For example, (1.18) was reacted with (1.19) in the presence of sodium methoxide as the catalyst at 110 °C catalysed for 6 hours to yield (1.20) and (1.21)\textsuperscript{67} (Figure 1.44).
**Figure 1.44 Transamidation of (1.18) with (1.19)**
### 1.7.2 PLANT OIL BASED POLYOL FROM REACTIONS ON THE ALKENE GROUP
There are several key reactions involving the alkene group (unsaturation) that are used on industrial and laboratory scale to make plant oil based polyol. These key
reactions are ozonolysis, direct hydroxylation, metathesis, thiol-ene, hydroformylation and epoxide ring-opening. Each of these reactions will be discussed in the following section.
**Ozonolysis**
Oxidative cleavage of the unsaturation of fatty acids or triglycerides by ozone is a clean method to produce difunctional or trifunctional compounds because it does not require a catalyst and there is no spent oxidant to be handled after completion of the reaction. However, due to the hazard of ozone, the only industrial application of ozonolysis in the fats and oils industry is in the production of (1.22) and (1.23) from (1.1) (Figure 1.45). The (1.22) can be reduced to (1.24) by a standard hydrogenation process and this diol can be used to make PU (Figure 1.46).
**Figure 1.45** Ozonolysis of (1.1)
**Figure 1.46** Hydrogenation of (1.22)
The same ozonolysis can be applied to unsaturated triglyceride molecules and after reduction of the products from the ozonolysis reaction; the resultant compounds will have hydroxyl functionality. For example, (1.10) was subjected to ozonolysis at -40 °C with subsequent reduction of the ozonolysis products with NaBH₄ at 10 °C to yield (1.25), (1.26) and (1.27)⁶⁹ (Figure 1.47).
![Diagram showing the ozonolysis process]
Figure 1.47 Ozonolysis of (1.10) and subsequent reduction of ozonolysis products
**Metathesis**
The unsaturated fatty acid can be subjected to self-metathesis reaction to give $\alpha,\omega$-diacid. For example, (1.1) was self-metathesized at 40 °C for 24 hours in the presence of second generation Grubbs catalyst to yield (1.28a) in 64% yield and a long chain alkene (1.28b) as a co-product (Figure 1.48).
In subsequent reaction, (1.28a) was reduced to diol (1.29) by reaction with LiAlH₄ at room temperature⁷⁰ (Figure 1.48). The diol was used to make thermoplastic PU that exhibited a melting point at 130 °C.
Figure 1.48 Self-metathesis of (1.1) and subsequent reduction to (1.29)
**Thiol-ene**
The thiol-ene reaction was introduced by Sharpless and coworkers\textsuperscript{71} as click chemistry, which is a versatile reaction used in polymer synthesis.\textsuperscript{72} The thiol-ene reaction has been used to convert the unsaturation of plant oils into hydroxyl groups in order to make polyols from plant oils.
For example, (1.30) was reacted with an excess (1.31) in the presence of 2,2-dimethoxy-2-phenylacetophenone (DMPA) as the photo-initiator. The mixture was irradiated with an ultraviolet lamp ($\lambda = 365$ nm) for few minutes to yield a number of isomers of hydroxylated compounds (1.32) and (1.33) as a mixture.
Subsequently, the ester functionality of the hydroxylated compounds was reduced with LiAlH₄ to yield dihydroxylated compounds (1.34) and (1.35) as a mixture of isomers) that were used as monomers for PU synthesis⁷³ (Figure 1.49).
\[
\begin{align*}
&\text{DMPA, hv} \\
&\text{HSCH}_2\text{OH (1.31)} \\
&\text{HOCH}_2\text{S} \\
&\text{+} \\
&\text{HOCH}_2\text{S} \\
&\text{LiAlH}_4, \text{THF} \\
&\text{HOCH}_2\text{S} \\
&\text{+} \\
&\text{HOCH}_2\text{S} \\
&\text{CO}_2\text{Me (1.30)} \\
&\text{CO}_2\text{Me (1.32)} \\
&\text{CO}_2\text{Me (1.33)} \\
&\text{OH (1.34)} \\
&\text{OH (1.35)}
\end{align*}
\]
Figure 1.49 Dihydroxylated compound (1.34) and (1.35) from (1.30) through thiol-ene and reduction reactions
The thiol-ene reaction can also be applied to unsaturated plant oil triglycerides. An example of this is the reaction between (1.36) and (1.31) at 20 °C for 1 hour under UV irradiation (\(\lambda = 250-450\) nm) to yield (1.37) (Figure 1.50) that can be used as polyol⁷⁴ for PU synthesis.
Figure 1.50 Synthesis of (1.37) through thiol-ene reaction
**Hydroformylation**
Dow Chemical has patented a process to make polyol from plant oil derivatives.\(^{75}\) In the first step of the process, (1.30) was subjected to a hydroformylation reaction, in which the (1.30) was reacted with a 1:1 mixture of carbon monoxide and hydrogen gas in the presence of rhodium based catalyst. The hydroformylation reaction was conducted at 90 °C under 2.8 MPa pressure for 23 hours to yield the desired product (1.38)\(^{76}\) and regioisomer (Figure 1.51).
The (1.38) was subjected to a reduction reaction with hydrogen gas in the presence of a nickel based catalyst at 140 °C under 5.7 MPa of hydrogen gas pressure. As a result of this reduction reaction, the (1.38) was reduced to (1.39), thus creating a hydroxylated fatty ester (1.39)\(^{76}\) (Figure 1.52).
The (1.39) was transesterified with a poly(ethylene oxide) triol (average molecular weight of 600) (PEG 600 triol) in the presence of stannous octoate as the catalyst at 200 °C under reduced pressure to remove methanol from reaction system. The
product from this transesterification reaction was (1.40)\textsuperscript{75} that has an average molecular weight of 3100 (Figure 1.53) and this plant oil based polyol can be used to make PU products.
\[
\begin{align*}
&\text{PEG 600 triol} \quad \text{Stannous octoate, 200 °C} \\
&\text{HO} \\
&\text{O} \\
&\text{O} \\
&\text{O} \\
&\text{n = 13}
\end{align*}
\]
(1.39)
(1.40)
Figure 1.53 Plant oil based polyol (1.40) from transesterification of (1.39) with PEG 600 triol
**Direct hydroxylation**
Polyols can also be made from unsaturated plant oil triglycerides through direct conversion of the unsaturation to hydroxyl functionality. An example of this is the transition metal catalyzed vicinal hydroxylation of (1.30) with H\textsubscript{2}O\textsubscript{2}. One of the methods utilized rhenium (VII) oxide (Re\textsubscript{2}O\textsubscript{7}) as the catalyst for the vicinal hydroxylation of (1.30) with 60% H\textsubscript{2}O\textsubscript{2}. The reaction was conducted in 1,4-dioxane at 40 °C for 16 hour to yield 80% (1.41)\textsuperscript{77} (Figure 1.54).
Direct vicinal hydroxylation of (1.30) was also achieved with tungstic acid\textsuperscript{78} ($\text{H}_2\text{WO}_4$) as the catalyst and by using 70% $\text{H}_2\text{O}_2$ as the oxidant. The reaction was conducted at 50 °C for 3 hours and yielded 75% (1.41) (Figure 1.54).
**Figure 1.54** Direct vicinal hydroxylation of (1.30)
Direct hydroxylation can also be applied to unsaturated plant oil such as (1.42). The direct hydroxylation of (1.42) was carried out in acidic condition ($\text{H}_3\text{PO}_4$) at 100 °C for 6 hours with 30% $\text{H}_2\text{O}_2$ as the oxidant. The reaction was catalyzed by tungsten powder and a phase transfer catalyst (Adogen 464). The reaction yielded 70% (1.43)\textsuperscript{79} (Figure 1.55).
**Figure 1.55** Direct hydroxylation of (1.42)
Epoxidation and epoxide ring-opening
On an industrial scale, the epoxidation of unsaturated plant oils such as (1.44) is carried out through the Prileshajev reaction to yield (1.45), in which a peroxy acid is the epoxidation agent generated from a short-chain organic acid such as formic acid\(^{80}\) (Figure 1.56).
The performic acid can be generated in a separate step or *in situ* with hydrogen peroxide as the oxidant. However, the formic acid is sufficiently acidic to cause side reactions by ring opening of the formed epoxide group\(^{81}\). Therefore, the selectivity of this process seldom exceeds 80%.
Figure 1.56. Epoxidation of (1.44) with formic acid and hydrogen peroxide
The epoxidation of unsaturated fatty acids or esters with hydrogen peroxide as the oxidant can also be conducted with transition metal compounds as the catalyst such as methyltrioxorhenium\(^{82}\) (CH\(_3\)ReO\(_3\)) in an organic solvent system with quaternary ammonium peroxo phosphotungstate\(^{83}\) \[\{(C_6H_{13})_4N\}_3^+.(PO_4(W(O)(O_2)_2)_4)^{3-}\] in a two phase system.
The epoxidation of (1.46) catalyzed by methyltrioxorhenium was conducted in pyridine at room temperature for 4 hours and yielded 88% (1.47) (Figure 1.57). Meanwhile, the quaternary ammonium peroxy phosphotungstate catalyzed epoxidation reaction of (1.1) was conducted in two phase system (oleic acid-H$_2$O$_2$) at 60 °C for 1 hour to yield 89% (1.48) (Figure 1.58).
\[
\begin{align*}
\text{CH}_3\text{ReO}_3, \text{H}_2\text{O}_2 & \quad \text{pyridine, 20 °C, 4h} \\
\text{CO}_2\text{Me} & \quad (1.46) \\
\end{align*}
\]
\[
\begin{align*}
\text{H}_2\text{O}_2, 60 °C, 1 h & \quad [\text{(C}_6\text{H}_{13})_4\text{N}]^{3+}, (\text{PO}_4(\text{W(O)(O}_2)_2)_4)^{3-} \\
\text{CO}_2\text{H} & \quad (1.1)
\end{align*}
\]
Figure 1.57 Epoxidation of (1.46) catalyzed by methyltrioxorhenium
\[
\begin{align*}
\text{H}_2\text{O}_2, 60 °C, 1 h & \quad [\text{(C}_6\text{H}_{13})_4\text{N}]^{3+}, (\text{PO}_4(\text{W(O)(O}_2)_2)_4)^{3-} \\
\text{CO}_2\text{H} & \quad (1.48)
\end{align*}
\]
Figure 1.58 Epoxidation of (1.1) catalyzed by quaternary ammonium peroxy phosphotungstate
The epoxidized plant oils and fatty acids or esters can be subjected to epoxide ring-opening reactions to give polyols that can be used in PU synthesis. The epoxide ring can be cleaved by a wide range of nucleophilic reagents such as water, alcohols, amines and thiols.\(^{84}\)
Guo *et al.* reported the epoxide ring-opening of (1.49) with water\textsuperscript{85} to produce polyols. The reaction was conducted in a mixture of solvent and water (*t*-butanol : water) at 85 °C for 6 hours and the reaction was catalyzed by phosphoric acid. The products from this reaction consist of (1.50) and a significant amount of oligomers (1.51) (Figure 1.59).
**Figure 1.59** Epoxide ring-opening of (1.49) with water
Abraham *et al.* disclosed a process to make polyols from (1.49) by epoxide ring-opening in methanol\textsuperscript{86} at 65 °C for 1 hour and the reaction was catalyzed by fluoroboric acid (HBF$_4$, 48% in water). The reaction yielded 80% (1.52) and 20% (1.51) (Figure 1.60).
The epoxide ring of the epoxidized plant oil can also be opened by a carboxylic acid group\textsuperscript{87} as disclosed by Miao \textit{et al.} in which (1.49) was subjected to ring opening with (1.53) without any catalyst at 90 °C for 6 hours. The reaction yielded 70% (1.54) (Figure 1.61).
Biswas *et al.* disclosed a method to ring-open the epoxide group of (1.49) with (1.55). The reaction was conducted at 90 °C for 4 hours and was catalyzed by ZnCl$_2$. The reaction yielded 80% (1.56) (Figure 1.62). The reaction parameters (temperature, time) as well as the choice of amine and catalyst were optimized to favor the epoxide ring-opening reaction instead of the competing transamidation reaction.
**Figure 1.62** Ring opening of (1.49) with (1.55)
1.8 SUMMARY
PUs are a versatile class of polymer and PU products can be easily found in our daily life. PU products can be classified into foam products (flexible and rigid), elastomers, coatings, adhesives and sealant. Generally, PUs are made from the reaction between diisocyanate and polyol. Commercially, both the diisocyanate and the polyol are produced from non-renewable petroleum based chemicals. However, due to consumer demand for more environmental friendly products and higher prices of petroleum oil, many reactions have been carried out globally to synthesize polyols and diisocyanates from renewable resources.
In this introduction chapter, I have highlighted various types of renewable resources used in making polyols and diisocyanates. Plant oil is one of the bountiful renewable resources used to synthesize both the diisocyanates and polyols. Plant oils are converted to diisocyanates and polyols through chemical modifications on the unsaturation and ester functionalities of the plant oil. One of the frequently used synthetic methods to make plant oil based polyol is the epoxidation of unsaturation of plant oil and subsequent epoxide ring-opening with nucleophiles. However, most of the reported plant oil based polyols are monomeric macromonomers, which are basically a single unit of polyhydroxylated triglycerides that have molecular weight in the range of 1000-1500 Da such as (1.50) (Figure 1.63).
Therefore, in the next few chapters, the synthesis of oligomeric/polymeric polyols from plant oils such as (1.51) (Figure 1.63) and the evaluation of properties of PU
products prepared from this oligomeric/polymeric plant oil based polyols will be discussed.
\[
\begin{align*}
&\text{Figure 1.63 Monomeric macromonomers and oligomeric/polymeric polyols}
\end{align*}
\]
2.0 INTRODUCTION
Generally, commercially available petro-chemical based polyols have a molecular weight in the range of 400 to 10000 Dalton (Da). The low molecular weight polyols (400 to 1000 Da) with high functionality (3-8 hydroxyl group per mol) are suitable for making rigid polyurethane, while the high molecular weight polyols (2000 to 10000) with low functionality (2-3 hydroxyl group per mol) are suitable for making flexible/elastomeric polyurethane.\(^{10}\)
Most of the reported literature on plant oil based polyols focuses on making monomeric plant oil based polyols, which are basically a single unit of a polyhydroxylated triglyceride molecule such as \((2.1)^{89}\) that have a molecular weight in the range of 1000-1500 Da, which are suitable for making rigid PUs.
Not many literature reports have appeared on making oligomeric/polymeric polyols such as \((2.2)\) from plant oil and its derivatives. One of the examples is the work done by Lligadas et al., where the epoxidized methyl oleate \((2.3)^{90}\) was oligomerized through epoxide ring-opening polymerization at room temperature by using HSbF\(_6\) as the catalyst (Figure 2.1).
\[(2.2) \quad H-O-\overset{\underset{\overset{R}{\sim}}{\sim}}{\sim}O-H \quad R = \text{triglyceride}\]
Subsequently, the ester functionality of the oligomerized methyl oleate (2.4) was reduced to a hydroxyl group with LiAlH₄ in THF in order to yield oligomeric polyols (2.5) with higher hydroxyl functionality (3-4 hydroxyl per mol) that have molecular weight in the range of 1000 to 1500 Da (Figure 2.1), which are suitable for rigid PUs.
\[
\begin{align*}
n & \quad \text{O} \\
& \quad \text{CO}_2\text{Me} \quad (2.3) \\
& \quad \text{RT, 1 hour, HSbF}_6 \\
& \quad \text{OH} \\
& \quad \text{O} \\
& \quad \text{CO}_2\text{Me} \quad (2.4) \\
& \quad \text{LiAlH}_4, \text{ THF} \\
& \quad \text{OH} \\
& \quad \text{O} \\
& \quad \text{OH} \quad (2.5)
\end{align*}
\]
\[ \left[ \begin{array}{c}
\text{CO}_2\text{Me} \\
\text{CO}_2\text{Me}
\end{array} \right]_{n-1} \]
Figure 2.1 Oligomerization of (2.3) and subsequent reduction
Epoxide ring-opening polymerization has also been performed on epoxidized plant oil triglycerides. For example, Liu et al. reported the epoxide ring-opening polymerization of epoxidized soybean oil (2.6) in dichloromethane catalyzed by boron trifluoride diethyl etherate (BF₃.Et₂O) at 0 °C for 3 hours \(^91\) (Figure 2.2).
The products from this reaction were cross-linked polymers (2.7), which were insoluble in many common solvents. The cross-linked polymers were hydrolyzed to make hydrogels for pharmaceutical applications. However, the cross-linked polymers are not suitable for making PU due to their cross-linked nature.
Figure 2.2. Cross-linked polymer (2.7) from epoxide ring-opening polymerization of (2.6).
Therefore, one of the aims of this chapter is to produce oligomeric polyols from epoxidized plant oils through epoxide ring-opening polymerization without forming the cross-linked polymers. The successfully oligomerized epoxidized plant oils will give access to plant oil based polyols with high molecular weight and low hydroxyl functionality that are suitable for making flexible polyurethanes.
In this chapter, I have prepared epoxidized plant oils by using tungsten powder as the catalyst and hydrogen peroxide as the oxidant in the presence of a phase transfer catalyst.\(^{83}\) The prepared epoxidized plant oils were subjected to ring-opening polymerization to yield polyols that can be used for making PUs. The preparation of epoxidized plant oils and subsequent ring-opening polymerization of the epoxidized plant oils will be discussed in detail in the following sub-sections.
2.1 ANALYSIS OF PLANT OILS
The starting materials (plant oils and fatty acid methyl ester) for this project are methyl oleate (2.8), cocoa butter (2.9), palm oil (2.10), rapeseed oil (2.11) and soybean oil (2.12). These starting materials were analyzed by gas chromatography\textsuperscript{92} to determine their fatty acid composition (FAC). The result of the analysis was tabulated in Table 2.1.
Table 2.1. Fatty acid composition of the starting materials (see Figure 2.3)
| Fatty acid | \#C\textsuperscript{a} : \#AG\textsuperscript{b} | (2.8) (%) | (2.9) (%) | (2.10) (%) | (2.11) (%) | (2.12) (%) |
|---------------|---------------------------------|-----------|-----------|------------|------------|------------|
| Lauric | 12 : 0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Myristic | 14 : 0 | 0.5 | 0.0 | 0.0 | 0.0 | 0.0 |
| Palmitic | 16 : 0 | 6.5 | 25.8 | 42.0 | 5.4 | 11.4 |
| Palmitoleic | 16 : 1 | 6.0 | 0.3 | 0.0 | 0.2 | 0.0 |
| Stearic | 18 : 0 | 2.0 | 37.9 | 3.8 | 2.0 | 4.0 |
| Oleic | 18 : 1 | 77.0 | 32.2 | 43.4 | 61.2 | 23.1 |
| Linoleic | 18 : 2 | 7.4 | 2.9 | 10.0 | 19.0 | 54.2 |
| Linolenic | 18 : 3 | 0.0 | 0.0 | 0.4 | 9.6 | 7.3 |
| Arachidic | 20 : 0 | 0.0 | 0.9 | 0.4 | 0.6 | 0.0 |
| Gadoleic | 20 : 1 | 0.6 | 0.0 | 0.0 | 1.4 | 0.0 |
| Behenic | 22 : 0 | 0.0 | 0.0 | 0.0 | 0.3 | 0.0 |
| Erucic | 22 : 1 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Lignoceric | 24 : 0 | 0.0 | 0.0 | 0.0 | 0.3 | 0.0 |
| Avg. \#AG\textsuperscript{b}/mol oil | 1.1 | 1.1 | 1.9 | 4.0 | 4.7 |
\textsuperscript{a}Number of carbon in fatty acid chain
\textsuperscript{b}Number of alkene group per mol oil
The FAC analysis by gas chromatography enables us to calculate the theoretical average alkene group per mol of oil. The information from this analysis also indicates the most abundant structure for the respective starting materials. Further
2.2 EPOXIDATION OF UNSATURATED PLANT OILS
The project was initiated by investigating the epoxidation of (2.11), as the model plant oil, at various temperatures and in the absence and presence of air (oxygen), which was bubbled through the reactants mixture (Figure 2.4). A procedure previously published in the Clark group,\textsuperscript{79} that of Coles \textit{et al.} was chosen. A recent study investigating the epoxidation of oils using related tungstic acids\textsuperscript{94} indicated that if oxygen was bubbled through the reaction mixture increased yields of epoxides could be produced. Therefore a study was conducted to investigate the effect of air bubbling through the reaction using our conditions. The temperature was also varied to determine the effect on the rate and yield of epoxidized rapeseed oil (2.13).
**Figure 2.4** Epoxidation of (2.11)
Seven experiments were conducted in this study and are summarized in Table 2.2. The molar ratio between reactants and the experimental setup remained constant for these experiments. The duration of each experiment depended upon the time taken to fully convert the alkene ($\delta = 5.35$ ppm) to epoxide functionality ($\delta = 2.9-3.2$ ppm), which was monitored by $^1$H NMR.
The results of this study are represented in Figure 2.5, which is a line graph depicting the rate of conversion of the alkenes to epoxides against reaction time.
Table 2.2 Epoxidation of (2.11) with variation in reaction parameters.
| Experiment (Exp.) | Reaction Temperature (°C) | Duration (hr) | Air or O₂ bubbling through reaction mixture | Yield of epoxidized product (%) |
|-------------------|---------------------------|---------------|--------------------------------------------|-------------------------------|
| 1 | 40 | 7 | No | 84 |
| 2 | 40 | 7 | Air | 82 |
| 3 | 40 | 7 | O₂ | 85 |
| 4 | 40 | 7 | O₂ without H₂O₂ | 10 |
| 5 | 50 | 5 | No | 84 |
| 6 | 70 | 3 | No | 87 |
| 7 | 70 | 3 | Air | 85 |
Figure 2.5 Rate of epoxidation for experiments conducted in Table 3
Both Experiment 1 and 2 were conducted at 40 °C; however, the main difference between these two experiments is that Experiment 2 had compressed air bubbled through the reaction mixture. Referring to Figure 2.5, the rate of epoxidation for Experiment 2 was slightly faster than Experiment 1 but not significantly different. This suggests that bubbling air (20% oxygen) through the reaction mixture helps to increase the rate of reaction only slightly. Nonetheless, both experiments needed 7 hours to achieve 93% and 96% conversion respectively for Experiment 1 and 2.
The epoxidation reaction was repeated with molecular oxygen (instead of air) bubbling through the reaction mixture (Experiment 3) and the rate of reaction increased slightly again as compared to the experiment conducted with compressed air (Experiment 2). This again suggests that the rate of epoxidation can be increased with a higher concentration of oxygen (molecular oxygen) in the reaction system. As a result, the alkene in Experiment 3 was fully reacted. As expected, the control reaction, where the epoxidation reaction was conducted with molecular oxygen bubbling through the reaction mixture but without hydrogen peroxide in the reaction system (Experiment 4), gave a very slow rate of epoxidation and the alkene conversion achieved after 7 hours reaction was only 15%.
Experiment 5 and 6 were conducted at 50 °C and 70 °C respectively to investigate the effect of temperature on the rate of reaction. As expected, the higher temperature increased the rate of conversion (at 50 °C; the conversion reached 99% after 4 hours of reaction and at 70 °C the conversion was completed after 2 hour). Experiment 6 was repeated with compressed air bubbling through the reaction mixture (Experiment 7) and the rate of epoxidation was not significantly different between Experiment 6
and 7. This suggests that at higher temperature (70°C), the rate of epoxidation was mainly influenced by temperature and not the concentration of oxygen in the reaction system.
Referring to Table 2.2, the yield of epoxidised rapeseed oil from these experiments is comparable to each other (except for Experiment 4), which is in the range of 82-87%, which means that the air bubbling and reaction temperature did not influence the yield of product but they do affect the rate of reaction.
**Properties of epoxidized products**
The following Table 2.3 shows the properties of (2.13) prepared from these experiments.
| Experiment | % of Oligomer | M_w (Da) | M_n (Da) | OOC (%) | OHV | AV |
|------------|---------------|----------|----------|---------|-------|-------|
| 1 | 3.0 | 3000 | 2700 | 5.20 | 15.6 | 1.49 |
| 2 | 3.5 | 2900 | 2700 | 5.34 | 16.8 | 1.51 |
| 3 | 3.8 | 2900 | 2700 | 5.40 | 16.3 | 1.50 |
| 4 | 0.2 | 2900 | 2700 | 0.75 | 2.4 | 1.50 |
| 5 | 4.0 | 3000 | 2700 | 5.98 | 16.8 | 1.51 |
| 6 | 1.75 | 2700 | 2600 | 5.71 | 11.3 | 1.51 |
| 7 | 1.7 | 2700 | 2600 | 5.73 | 11.0 | 1.50 |
OOC= oxirane oxygen content, OHV= hydroxyl value (mg KOH/g), AV= acid value (mg KOH/g)
Referring to Table 2.3, the results [% of oligomer, oxirane oxygen content (OOC%) and hydroxyl value (OHV)] for Experiment 4 are lower than other experiments due
to low alkene conversion and these values will not be used for comparison. The gel permeation chromatography analysis reveals that the epoxidation process produces mostly the desired epoxidized oils, however the process also produces about 1.7 – 4.0% oligomeric products and the average molecular weight of these products is about 3000 Da, which corresponds to dimers of triglycerides.
The acid value analysis indicates the level of free carboxylic acids in the mixture that will occur upon competitive hydrolysis of the triglycerides. The amount of free carboxylic acid groups remains fairly constant throughout the experiments (1.49 – 1.51) however the hydroxyl values (11 – 16.8) are significantly different. Hydroxyl groups come from two possible mechanisms (Figure 2.6) (1) ring opening of the epoxide with water to give a diol, (2) ring opening of the epoxide by a diol formed in mechanism (1), which leads to oligomerization. Thus it is no surprise that experiments 1-3 and 5 have similar levels of oligomerization and consequently hydroxyl values. Experiments 6 and 7 have lower percentage of oligomerization and consequently a lower hydroxyl value.
Figure 2.6 Mechanism of epoxide ring opening
The oxirane oxygen content (OOC) is a measurement of epoxy functionality and the reaction products show OOC% ranges from 5.2 to 6.0 with products from higher reaction temperature showing higher value. However, the theoretical value of OOC for 100% conversion is about 7.3%, indicating that the formed epoxy groups were converted to diols or the oligomerized triglyceride compounds.
The FTIR spectroscopy analysis of the epoxidized sample from Experiment 6 (Figure 2.7) confirmed the formation of the epoxy group, which shows an absorption at 824 cm\(^{-1}\) and the alkene absorption at 1650 cm\(^{-1}\) (C=C stretching vibration) and 3000 cm\(^{-1}\) (alkene C-H stretching vibration) were not detected. \(^1\)H NMR spectroscopy was used to monitor the progress of the reaction by following the loss of alkene peak at 5.35 ppm and increase of peaks at 2.90-3.20 ppm, which correspond to the methine hydrogens of the epoxy group (Figure 2.8). While Figure 2.9 shows the high resolution mass spectrum of epoxidized rapeseed oil from Experiment 6.
**Figure 2.7** FTIR spectrum of (2.13)
Figure 2.8 400 MHz $^1$H NMR spectrum of (2.13) in CDCl$_3$
Figure 2.9 High resolution mass spectrum of (2.13) (ESI-HR-MS)
As a conclusion, based on results in Table 2.2, Table 2.3 and Figure 2.5, the reaction parameters of Experiment 6 was chosen as the general method for epoxidation of unsaturated plant oils because of the faster rate of reaction and less epoxide ring opened by-product.
2.3 COMPARISON BETWEEN TUNGSTEN POWDER CATALYST SYSTEM AND PEROXO PHOSPHOTUNGSTATE CATALYST SYSTEM IN THE EPOXIDATION OF METHYL OLEATE
The peroxo phosphotungstate catalyst \(([(C_{8}H_{17})_{3}NCH_{3}]_{3}^{+} [PO_{4}[W(O)(O_{2})_{2}]_{4}]^{3-})\) was prepared according to method described by Venturello\(^{93}\) et al. The peroxo phosphotungstate catalyst (PPT) system was used in the epoxidation of (2.8) as described by Poli\(^{94}\) et al. The optimized reaction condition was conducted at 40 \(^\circ\)C for 30 minutes with air bubbling through the reaction mixture to convert 97% of (2.8) to (2.3) (Figure 2.10).
**Figure 2.10** Epoxidation of (2.8) catalyzed by peroxo phosphotungstate system (PPT)
A study was conducted to find out whether the tungsten powder catalyst (TP) system developed by the Clark research group\(^{79}\) was any better than the reported PPT system. Therefore, the epoxidation of (2.8) was conducted by using the optimized reaction parameters reported by Poli\(^{94}\) et al. but the PPT was substituted with TP system (Figure 2.11).
Furthermore, the epoxidation of (2.8) with the TP system was carried out at various temperatures to evaluate the effect of temperature on the yield of (2.3). The results of this study were tabulated in Table 2.4.
Table 2.4 Reaction parameters and properties of (2.3) from PPT and TP system
| Entry | Catalyst system | Temperature (°C) | Yield (%) | AV | OHV | Oligomer (%) |
|-------|-----------------|------------------|-----------|------|---------|--------------|
| 1 | TP | 20 | 29 | 1.28 | 4.57 | 1.4 |
| 2 | TP | 30 | 44 | 1.29 | 6.04 | 2.1 |
| 3 | TP | 40 | 72 | 1.32 | 10.62 | 2.2 |
| 4 | TP | 60 | 83 | 1.34 | 24.28 | 3.6 |
| 5 | PPT | 40 | 87 | 7.92 | 13.65 | 0.0 |
OHV = hydroxyl value (mg KOH/g), AV = acid value (mg KOH/g)
$^1$H NMR spectroscopy was used to measure the yield of (2.3) by measuring the integration of peaks at 2.9-3.2 ppm, which correspond to the methine hydrogens of the epoxy group.
Referring to Table 2.4, the optimized reaction conditions for the PPT system was repeated as Entry 5 and the reaction yielded 87% (2.3). When the PPT system was
substituted with TP system and varied the reaction temperature, the yield of (2.3) increases with the reaction temperature.
In comparison to the PPT system, the epoxidation reaction with TP system at 40 °C (Entry 3) and 60 °C (Entry 4) yielded 72% and 83% of (2.3) respectively, which were lower than the PPT system (Entry 5). This indicates that the PPT system is more efficient than the TP system that we have developed.
**Oligomers of (2.8)**
In addition, the PPT system (Entry 5) did not produce any oligomers during the epoxidation reaction as analyzed by gel permeation chromatography (GPC). In contrast, epoxidation with TP system generated more oligomers of (2.8) (1%-3.6%, Entry 1 to 4) as the reaction temperature was increased. The oligomers were formed by epoxide ring opening by hydroxylated methyl oleate (2.14) during the epoxidation reaction according to mechanism shown below Figure 2.12.
**Hydroxyl value**
The oligomerization of (2.8) also produces hydroxyl functionality that can be analyzed by wet chemistry. Referring to Table 2.4, the hydroxyl value (a measure of hydroxyl functionality) increases with the reaction temperature, which corresponds to the amount of oligomers formed respectively to reaction temperature (Entry 1 to 4).
However, the PPT system (Entry 5) also produces hydroxyl functionality even though it did not produce oligomers. The hydroxyl functionality came from epoxide ring opening by water as shown in Figure 2.13, which produces (2.14).
\[
\begin{array}{c}
\text{H} \\
\text{H}^+ \quad \text{H}_2\text{O} \\
\text{H} \\
\end{array}
\]
Figure 2.13. Epoxide ring opening by water to yield (2.14)
**Acid Value**
The epoxidation reaction with the PPT system (Entry 5) produces higher acid value (7.92 mg KOH/g) as compared to TP system (1.28-1.34 mg KOH/g, Entry 1 to 4) indicating that the PPT system produces more carboxylic group (hydrolysis) during epoxidation as compared to TP system, (Figure 2.14). The results in Table 2.4 also show that for TP system (Entry 1 to 4), the reaction temperature has little effect on hydrolysis of the ester group of (2.8).
\[
\begin{array}{c}
\text{H}^+, \text{H}_2\text{O} \\
\text{CH}_3\text{OH} \\
\end{array}
\]
Figure 2.14 Hydrolysis of (2.8) to (2.15) and methanol during epoxidation
In summary, even though the PPT system is more efficient for the epoxidation of methyl oleate compared to the TP system, the significant hydrolysis of the ester group (side reaction), made the system unsuitable for the epoxidation of unsaturated
plant oils in this study because it would not be compatible with the aim of making oligomeric polyols from the epoxidized oil.
The other side reaction (oligomerization) found in the TP system, is acceptable because in the later part of the study was aimed at making oligomeric polyols from the epoxidized oil. Therefore, the TP system was chosen as the method to epoxidize unsaturated plant oil throughout this study.
2.4 EPOXIDATION OF PLANT OILS
For the purpose of this study, five plant oils were epoxidized with hydrogen peroxide by using the tungsten powder catalyst system (TP) (Figure 2.15). The prepared epoxidized plant oils (Figure 2.16) were epoxidized methyl oleate (EMO, 2.3), epoxidized cocoa butter (ECB, 2.16), epoxidized palm oil (EPO, 2.17), epoxidized rapeseed oil (ERO, 2.13) and epoxidized soybean oil (ESO, 2.6).
The yield and oligomeric content of the epoxidized plant oils was determined by GPC and $^1$H NMR analysis. The most abundant epoxidized plant oil structure for respective plant oils (Figure 2.16) was determined by high resolution mass spectrometry (HRMS) and $^1$H NMR. The properties of these epoxidized oils are tabulated in Table 2.5.
The different level of epoxide functionality of the respective plant oils enables the study on the effect of plant oils structure/unsaturation on the properties of the oligomeric polyols as well as the final products (polyurethane products).
Figure 2.16 Epoxidized plant oils
Table 2.5 Properties of the epoxidized oil
| Epoxidized oil | Yield (%) | Oligomers (%) | OHV | AV |
|----------------|-----------|---------------|-------|-------|
| (2.3) | 92 | 7 | 26 | 2.1 |
| (2.16) | 93 | 6 | 21 | 3.2 |
| (2.17) | 95 | 3 | 19 | 1.5 |
| (2.13) | 93 | 2 | 16 | 1.8 |
| (2.6) | 91 | 7 | 23 | 2.3 |
OHV = hydroxyl value (mg KOH/g), AV = acid value (mg KOH/g)
The results in Table 2.5 show that the yield of epoxidized plant oils from the tungsten powder catalyzed epoxidation reaction were good. As expected, the epoxidation reaction generated some oligomers of plant oil through epoxide ring opening, which give rise to a significant hydroxyl value. There is also a small degree of hydrolysis but in general, the properties of the epoxidized plant oils are acceptable for use in making oligomeric polyols for our purposes.
At this point of the research, a plant oil extracted from *Euphorbia lagacae* seed that naturally contains an epoxide functionality and alkene (unsaturation) was also included as one of the starting material in this study. The plant oil was analyzed by ESI mass spectrometry and $^1$H NMR spectroscopy to reveal the most abundant triglycerides as shown in Figure 2.17. For the purpose of discussion, this plant oil shall be known as euphorbia oil (*EuO*, 2.18).
2.5 OLIGOMERIZATION OF EPOXIDIZED PLANT OILS BY EPOXIDE RING OPENING WITHOUT SOLVENT
\[
\begin{align*}
\text{epoxidised plant oil} & \xrightarrow{\text{BF}_3.\text{Et}_2\text{O}} 20^\circ\text{C}, 24 \text{ h} \\
& \rightarrow \text{oligomeric polyol}
\end{align*}
\]
Figure 2.18 Oligomerization of epoxidized plant oils without solvent
The prepared epoxidized plant oils from section 2.4 were used as starting materials for the synthesis of oligomeric polyols. In the first approach, the epoxidized plant oils were oligomerized with $\text{BF}_3.\text{Et}_2\text{O}$ as the catalyst without solvent at $20^\circ\text{C}$ to yield oligomeric polyols (Figure 2.18). The yields of the oligomeric polyols were determined by GPC and $^1\text{H}$ NMR analysis. The following are the properties of products tabulated in Table 2.6.
Table 2.6 Properties of oligomeric polyols from ring opened epoxidized oil
| Epoxidised oil | Mol equivalent of $\text{BF}_3.\text{Et}_2\text{O}$ | Yield (%) | Gel permeation chromatography |
|----------------|---------------------------------|-----------|-------------------------------|
| | | | $M_w$ (Da) | $M_n$ (Da) | PDI |
| (2.3) | 0.15 | 76 | 2000 | 1800 | 1.11 |
| (2.16) | 0.15 | 56 | 6700 | 6100 | 1.10 |
| (2.17) | 0.15 | Gelled | - | - | - |
| (2.13) | 0.15 | Gelled | - | - | - |
| (2.6) | 0.15 | Gelled | - | - | - |
| (2.18) | 0.15 | Gelled | - | - | - |
$M_w =$ weight average molecular weight, $M_n =$ number average molecular weight, PDI = polydispersity index
The ring opening of (2.17), (2.13), (2.6) and (2.18) with $\text{BF}_3.\text{Et}_2\text{O}$ resulted in cross-linked (gelled) polymers which were soft gel solids at room temperature, while (2.3) and (2.16) yielded 76% and 56% oligomeric polyols respectively. The epoxidized oils (2.17), (2.13), (2.6) and (2.18) have more than one epoxy group per molecule compared to epoxidized oils (2.3) and (2.16) and this multiple epoxy group enables them to form cross-linked polymer. These cross-linked polymers were not soluble in common solvents such as hexane, toluene, diethyl ether, dichloromethane, chloroform, tetrahydrofuran, methanol, dimethylformamide and dimethyl sulfoxide. Therefore, no further analysis was performed on them.
It is proposed that the oligomerization of epoxidized oil occurs through the mechanism illustrated in Figure 2.19, where the initiation step involves the activation of the epoxide group by ion complex of $\text{BF}_3$ (2.19), where (2.19) was formed from the reaction between $\text{BF}_3.\text{Et}_2\text{O}$ and trace water found in the epoxidized oils.
$$\text{BF}_3.\text{Et}_2\text{O} + \text{H}_2\text{O} \xrightarrow{\text{initiation}} \text{H}^+[\text{BF}_3.\text{OH}]^- + \text{Et}_2\text{O}$$
(2.19)
The propagation step involves the nucleophilic attack of the activated epoxide group (2.20) by epoxide group from another molecule of plant oil (Figure 2.20). This process regenerates (2.20) for another nucleophilic attack and propagates the polymerization reaction. Termination step involves the nucleophilic attack of (2.20)
by water to generate oligomeric polyol with hydroxyl functionality (2.21) (Figure 2.21).
\[
\begin{align*}
\text{[BF}_3\text{,OH]}^- & \quad + \quad \text{epoxidized oil} \\
& \quad \rightarrow \quad \text{HO} \quad \text{[BF}_3\text{,OH]}^-
\end{align*}
\]
(2.20)
Figure 2.20 Propagation step in epoxide ring opening oligomerization
\[
\begin{align*}
\text{H}_n \quad \text{[BF}_3\text{,OH]}^- & \quad + \quad \text{H}_2\text{O} \\
& \quad \rightarrow \quad \text{H}_{n+1} \quad \text{[BF}_3\text{,OH]}^-
\end{align*}
\]
(2.21)
Figure 2.21 Termination step in epoxide ring opening oligomerization
In order to produce non-cross-linked polyols from all the epoxidized oils, the oligomerization reaction was conducted in solvents (instead of bulk) and with lower amount of BF$_3$.Et$_2$O (catalyst). The effect of solvent is to reduce the concentration of monomer, which helps to reduce the chances of the cross-linking between propagating chains. The lower amount of catalyst also reduces the initiation reaction which in turn reduces the amount of propagating chain, which helps to reduce the chances of cross-linking between propagating chains.
2.6 RING OPENING OF EPOXIDIZED METHYL OLEATE IN SOLVENT
The (2.3) was oligomerized in hexane with BF$_3$.Et$_2$O as the catalyst without ring opening agent at room temperature to yield oligomeric polyols (2.22) (Figure 2.22). The following are the properties of (2.22) tabulated in Table 2.7.
**Figure 2.22** Ring opening oligomerization of (2.3) in solvent with BF$_3$.Et$_2$O
| Entry | Mol equivalent of BF$_3$.Et$_2$O | Yield (%) | Gel permeation chromatography |
|-------|---------------------------------|-----------|------------------------------|
| | | | M$_w$ (Da) | M$_n$ (Da) | PDI |
| 1 | 0.03 | 57 | 1500 | 860 | 1.74 |
| 2 | 0.05 | 85 | 1800 | 1500 | 1.20 |
| 3 | 0.10 | 85 | 2100 | 1900 | 1.10 |
M$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index
The reaction was able to achieve good yield (85%) of (2.22) from (2.3) by using 0.05 mol of BF$_3$.Et$_2$O per mol of epoxy group (Entry 1). Similar result was achieved when higher amount of BF$_3$.Et$_2$O (0.1 mol equivalent) was used (Entry 2). When lower amounts of BF$_3$.Et$_2$O were used (0.03 mol equivalent), the yield of (2.22) dropped to 57% (Entry 3).
When compared to ring opening of (2.3) without solvent (refer to Table 2.6, (2.3)), the same reaction (epoxy ring opening with BF$_3$.Et$_2$O) carried out with solvent gave a better yield (85% vs 76%) even with lower amount of catalyst (0.05 mol Vs 0.15 mol equivalent of BF$_3$.Et$_2$O respectively).
High resolution mass spectrometry (HRMS) analysis shows that the (2.22) has an average molecular weight of 977 Da, which corresponded to the sodium adduct of the trimer of (2.3) formed by an ether linkage (Figure 2.23). The repeating unit of the oligomers has a molecular weight of 312 Da.
Figure 2.23 Trimer of (2.3)
Gel permeation chromatography (GPC) results need to be treated with caution as the instrumentation was calibrated for analysis of polymethacrylate polymers. However, the GPC of the monomer (2.3) was ran as a standard. This indicated a number average molecular weight of about 500 Da. A GPC of the ring opened (2.22) was mainly a trimer based upon this standard with a number average molecular weight of about 1500 Da (Table 2.7, Entry 2).
The following Figure 2.24 shows the stacked $^1$H NMR spectrum of (2.3) and (2.22) prepared from it. Referring to the $^1$H NMR spectrum, the epoxide group of (2.3) at
2.86-3.14 ppm was ring opened to yield ether and hydroxyl functionalities (3.20-3.60 ppm) of the (2.22).
Figure 2.24 Stacked 400 MHz $^1$H NMR spectrum of (2.3) and (2.22) in CDCl$_3$
### 2.7 RING OPENING OF EPOXIDIZED COCOA BUTTER IN SOLVENT
The oligomerization of epoxidized cocoa butter (2.16) was catalyzed by BF$_3$.Et$_2$O without ring opening agent in hexane at room temperature to yield oligomeric polyols (2.23) (Figure 2.25). The properties of (2.23) are tabulated in Table 2.8.
Figure 2.25 Ring opening oligomerization of (2.16) in solvent with BF₃.Et₂O
Table 2.8 Properties of (2.23) from ring opened (2.16)
| Entry | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |
|-------|---------------------------|-----------|------------------------------|
| | | | Mₜ (Da) | Mₙ (Da) | PDI |
| 1 | 0.03 | 19 | 6200 | 5700 | 1.09 |
| 2 | 0.05 | 49 | 6800 | 5900 | 1.15 |
| 3 | 0.10 | 87 | 8400 | 7300 | 1.15 |
Mₜ = weight average molecular weight, Mₙ = number average molecular weight, PDI = polydispersity index
The ring opening of (2.16) with 0.1 mol equivalent BF₃.Et₂O per mol of epoxy group gave reasonable yields of (2.23) (87%) (Entry 3), but dropped significantly at lower catalyst loadings (Entry 1 & 2). When compared to ring opening of ECB without solvent (Table 2.4, (2.16)), the yield were better even with a lower amount of catalyst (0.1 mol equivalent of BF₃.Et₂O) (87% vs 56%).
GPC analysis of monomer (2.16) (as a standard ~ 1000 Da) gave a Mₙ = 1500 Da. Referring to Table 2.8 (Entry 3), the GPC analysis shows that the (2.23) has a Mₙ =
Therefore, a conclusion can be made that the oligomeric polyols made from (2.16) had on average 5 units of (2.16) linked together by the ether functionality.
Matrix assisted laser desorption/ionization time-of flight (MALDI-TOF) mass spectrometry (MS) analysis confirmed oligomerization with dimers, trimers and tetramers of (2.16) (Figure 2.26). Figure 2.26 shows the tetramer (Na⁺ adduct peak of 3577 Da) and the repeating unit of 877 Da as shown in Figure 2.27.
Figure 2.28 shows the stacked 400 MHz $^1$H NMR spectrum of (2.16) and (2.23) in CDCl$_3$. Referring to the $^1$H NMR spectrum, the epoxide group of (2.16) at 2.78-3.05 ppm was ring opened to yield ether and hydroxyl functionalities (3.10-3.65 ppm) of the (2.23).
**Figure 2.28** Stacked 400 MHz $^1$H NMR spectrum of (2.16) and (2.23) in CDCl$_3$
### 2.8 RING OPENING OF EPOXIDIZED PALM OIL IN SOLVENT
**Figure 2.29** Ring opening of (2.17) in solvent with BF$_3$.Et$_2$O
The oligomerization of (2.17) was conducted in the same way as (2.16) (Figure 2.29) and the products were analyzed by GPC and $^1$H NMR as before.
Table 2.9 Properties of (2.24) from ring opened (2.17)
| Entry | Mol equivalent of BF$_3$.Et$_2$O | Yield (%) | Gel permeation chromatography |
|-------|---------------------------------|-----------|------------------------------|
| | | | M$_w$ (Da) | M$_n$ (Da) | PDI |
| 1 | 0.0325 | 85 | 226000 | 24000 | 9.41 |
| 2 | 0.0350 | 90 | 470000 | 27000 | 17.3 |
| 3 | 0.0375 | Gelled | - | - | - |
M$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index
When epoxide ring opening reaction of (2.17) was conducted without solvent (refer to page 71, Table 2.6, (2.17)), the product was cross-linked (gelled) polymer. When the same ring opening reaction was conducted in solvent ($n$-hexane) with lower amount of catalyst (0.0375 mol equivalent BF$_3$.Et$_2$O) (Table 2.9, Entry 3), gelled polymer was produced. However, when the reaction was conducted with even lower amount of catalyst (0.035 mol equivalent BF$_3$.Et$_2$O) (Entry 2), a liquid (2.24) was obtained in good yield (90%). When the amount of catalyst was further lowered (0.0325 mol equivalent BF$_3$.Et$_2$O) (Entry 1), the yield (85%) as well as the average molecular weight of the EPOP was even lower. This indicated that the reaction parameters (catalyst amount, monomer concentration, temperature, duration) reaction could be manipulated to influence the molecular weight and yield of the oligomeric polyols.
2.9 EFFECT OF MONOMER CONCENTRATION ON THE PROPERTIES OF OLIGOMERIC POLYOL
For this study, (2.17) was used as the starting material for epoxide ring opening oligomerization (Figure 2.30). The concentration of the monomer used in the ring opening reaction was varied in order to observe changes in the properties of the (2.24). The following Table 2.10 displays the properties of products from this study.
Table 2.10 Properties of (2.24) from ring opened (2.17) on different concentration
| Entry | Concentration (x $10^{-4}$ mol/ml) | Mol equivalent of BF$_3$.Et$_2$O | Yield (%) | Gel permeation chromatography |
|-------|-----------------------------------|---------------------------------|-----------|-----------------------------|
| | | | | M$_w$ (Da) | M$_n$ (Da) | PDI |
| 1 | 3.75 | 0.0375 | Gelled | - | - | - |
| 2 | 1.87 | 0.0375 | 89 | 82600 | 18500 | 4.47|
| 3 | 3.75 | 0.0350 | 90 | 467000 | 27000 | 17.3|
| 4 | 1.87 | 0.0350 | 85 | 58200 | 16100 | 3.61|
M$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index
When the epoxide ring opening oligomerization reaction was conducted at concentration $3.75 \times 10^{-4}$ mol/ml and 0.0375 mol equivalent of $\text{BF}_3\cdot\text{Et}_2\text{O}$ (Entry 1), the product was a cross-linked (gelled) polymer. However, when the reaction was repeated at lower concentration ($1.87 \times 10^{-4}$ mol/ml) (Entry 2), the product was liquid (2.24) (89% yield) with number average molecular weight ($M_n$) of 18500 Da.
When the same comparison was made ($3.75 \times 10^{-4}$ mol/ml vs $1.87 \times 10^{-4}$ mol/ml) with a lower amount of catalyst (0.035 mol equivalent $\text{BF}_3\cdot\text{Et}_2\text{O}$) (Entry 3 and 4), the yield of product was similar (90% vs 89%) but the average molecular weight of (2.24) from $1.87 \times 10^{-4}$ mol/ml reaction (Entry 4) was lower and the PDI was narrower than polyol from $3.75 \times 10^{-4}$ mol/ml (Entry 3). Thus, higher concentrations lead to larger molecular weights and more cross-linking and larger PDI’s.
### 2.10 EFFECT OF REACTION TEMPERATURE ON THE PROPERTIES OF OLIGOMERIC POLYOL
The epoxide ring opening oligomerization reaction of (2.17) was repeated at different temperatures to evaluate the effect of temperature on the properties of (2.24). The following Table 2.11 tabulates the result of this study.
Table 2.11 Properties of (2.24) from ring opened (2.17) at different temperature
| Entry | Temperature (°C) | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |
|-------|-----------------|---------------------------|-----------|-------------------------------|
| | | | | Mₚ (Da) | Mₘ (Da) | PDI |
| 1 | 20 | 0.0375 | Gelled | - | - | - |
| 2 | 60 | 0.0375 | 86 | 151000 | 18500 | 8.16|
| 3 | 20 | 0.0350 | 90 | 467000 | 27100 | 17.3|
| 4 | 60 | 0.0350 | 83 | 62600 | 17500 | 3.58|
Mₚ = weight average molecular weight, Mₘ = number average molecular weight, PDI = polydispersity index
When the reaction was conducted at 20 °C with 0.0375 mol equivalent of BF₃.Et₂O (Entry 1), the product was a cross-linked (gelled) polymer. However, by rising the reaction temperature to 60 °C (Entry 2), the product was a liquid (2.24) (86% yield) with an average molecular weight (Mₘ) of 18500 Da.
When reactions were conducted with lower amount of catalyst (0.035 mol equivalent of BF₃.Et₂O) at 20 °C (Entry 3) and 60 °C (Entry 4), the (2.24) from 60 °C has lower average molecular weight and narrower PDI. Therefore, it is apparent higher reaction temperature promotes chain termination during oligomerization resulting in smaller molecular weights and narrower molecular weight distribution.
2.11 THE EXTENT OF EPOXIDE RING OPENING OLIGOMERIZATION REACTION AGAINST TIME
Figure 2.31 Ring opening of (2.17) in solvent with BF$_3$.Et$_2$O
A study was conducted to evaluate the extent of epoxide ring opening oligomerization reaction of (2.17) catalyzed by BF$_3$.Et$_2$O against time (Figure 2.31). A small aliquot was removed from the reaction mixture after 30 minutes of reaction and then at every hour of reaction. The small sample was washed with water to quench the reaction before analyzing it with GPC. The following Table 2.12 shows the result of this study.
Table 2.12 The extent of epoxide ring opening oligomerization reaction of (2.17) catalyzed by BF$_3$.Et$_2$O against time
| Reaction time (hr) | Oligomeric content (%) | Gel permeation chromatography |
|-------------------|------------------------|------------------------------|
| | | M$_w$ (Da) | M$_n$ (Da) | PDI |
| 0.5 | 82 | 37900 | 13200 | 2.89 |
| 1 | 84 | 43200 | 13800 | 3.14 |
| 2 | 86 | 47100 | 14500 | 3.25 |
| 4 | 88 | 49800 | 14900 | 3.34 |
| 6 | 89 | 58100 | 15300 | 3.78 |
| 8 | 90 | 61600 | 16000 | 3.85 |
| 12 | 91 | 64500 | 16300 | 3.94 |
| 24 | 93 | 76300 | 17800 | 4.30 |
M$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index
Referring to Table 2.12, the oligomeric content of the reaction mixture reached 82% by the first 30 minutes of the reaction, which means that the epoxy ring opening oligomerization reaction happened rapidly as soon as the BF$_3$.Et$_2$O was added to the reaction mixture. It took a further 24 hours to increase the oligomeric content to 93% and at the same time the PDI of the product also broadens indicating more polymer chains are cross-linking with the longer reaction time. Referring to Table 2.12, the M$_n$ of (2.24) was 17800 Da, which correspond to about 12 units of (2.17) linked by an ether functionality (taking one unit of (2.17) as 1500 Da as analyzed by GPC).
As before the MALDI-TOF-MS analysis (Figure 2.32) showed oligomers up to the tetramer (sodium adduct peak of 3562 Da) and a repeating unit of 890 Da (Figure 2.33). The higher oligomers were not detected by MALDI-TOF-MS due to detector saturation caused by continuous stream of particles impacting the detector causes a loss of sensitivity at higher molecular masses.
Figure 2.32 MALDI-TOF-MS spectrum of (2.24) by using DHB as the matrix in the analysis
Figure 2.33 Repeating unit in oligomers of (2.24)
The reaction was also followed by $^1$H NMR analysis and the following Figure 2.34 shows the stacked $^1$H NMR spectrum of (2.17) at 30 minute, 6 hours, 12 hours and 24 hours of reaction time. $^1$H NMR analysis shows that the epoxide group of (2.17) (2.80-3.10 ppm) was ring opened to ether and hydroxyl functionality (3.30-3.65 ppm) as shown in Figure 2.34.
Figure 2.34 Stacked 400 MHz $^1$H NMR of (2.17) and reaction mixture at certain reaction time in CDCl$_3$
### 2.12 RING OPENING OF EPOXIDIZED RAPSEED OIL IN SOLVENT
Figure 2.35 Ring opening of (2.13) in solvent with BF$_3$.Et$_2$O
The oligomerization of epoxidized rapeseed oil (2.13) was catalyzed by BF$_3$.Et$_2$O without ring opening agent at room temperature to yield (2.25). The reaction was conducted in anhydrous dichloromethane (DCM) instead of $n$-hexane because (2.13) did not dissolve completely in $n$-hexane (Figure 2.35). The reaction products were analyzed by $^1$H NMR and GPC as before. The following are the properties of products tabulated in Table 2.13.
Table 2.13 Properties of (2.25) from ring opened (2.13)
| Entry | Concentration (x 10$^{-4}$ mol/ml) | Mol equivalent of BF$_3$.Et$_2$O | Yield (%) | Gel permeation chromatography |
|-------|-----------------------------------|----------------------------------|-----------|-------------------------------|
| | | | | M$_w$ (Da) | M$_n$ (Da) | PDI |
| 1 | 3.52 | 0.03 | Gelled | - | - | - |
| 2 | 1.76 | 0.03 | 77 | 110000 | 9200 | 11.5|
| 3 | 1.76 | 0.0275 | 77 | 24800 | 9700 | 2.55|
$M_w =$ weight average molecular weight, $M_n =$ number average molecular weight, PDI = polydispersity index
When the epoxide ring opening reaction was conducted with 3.52 x 10$^{-4}$ mol/ml of monomer concentration and 0.03 mol equivalent of BF$_3$.Et$_2$O (Entry 1), the product was cross-linked (gelled) polymer. However, when the same reaction was repeated with more solvent (1.76 x 10$^{-4}$ mol/ml, Entry 2), the product was a liquid oligomeric polyol (77 % yield) with average molecular weight ($M_n$) of 9200 Da.
GPC analysis reveals that the (2.25) has $M_n = 9700$ Da, which corresponds to oligomers of 6 units of (2.13) linked by ether functionality (one unit of (2.13) is about 1500 Da as analyzed by GPC). MALDI-TOF-MS analysis (Figure 2.36) shows that (2.25) contains tetramer (n=4) of (2.13) (Figure 2.36) with a repeating unit of 980 Da represented by Figure 2.37.
Figure 2.36 MALDI-TOF-MS spectrum of (2.25) by using DHB as the matrix in analysis
Figure 2.37 Repeating unit in (2.25)
2.13 RING OPENING OF EPOXIDIZED SOYBEAN OIL IN SOLVENT
Figure 2.38 Ring opening of (2.6) in solvent with BF$_3$.Et$_2$O
The oligomerization of epoxidized soybean oil (2.6) was conducted in similar method as (2.13) (Figure 2.38). The following are the properties of products tabulated in Table 2.14.
Table 2.14 Properties of products from ring opened (2.6)
| Entry | Concentration (x 10^{-4} mol/ml) | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |
|-------|---------------------------------|---------------------------|-----------|------------------------------|
| | | | | M_w (Da) | M_n (Da) | PDI |
| 1 | 3.47 | 0.0325 | Gelled | - | - | - |
| 2 | 3.47 | 0.03125 | 74 | 50800 | 17200 | 2.94|
| 3 | 1.74 | 0.03375 | 87 | 1030000 | 15800 | 65.1|
| 4 | 1.04 | 0.03375 | 82 | 147000 | 9600 | 15.3|
M_w = weight average molecular weight, M_n = number average molecular weight, PDI = polydispersity index
GPC analysis shows that the (2.26) has an average molecular weight of about 9600 Da, which corresponds to hexamer of (2.6) linked by an ether functionality (one unit of (2.6) is about 1500 Da as analyzed by GPC). MALDI-TOF-MS analysis of (2.26) shows that the oligomeric polyols contain up to tetramer (n=4) of (2.6) (Figure 2.39) with a repeating unit of 994 Da represented by Figure 2.40.
Figure 2.39 MALDI-TOF-MS spectrum of (2.26) by using DHB as the matrix in the analysis
Figure 2.40 Repeating unit in (2.26)
2.14 RING OPENING OF EUPHORBIA OIL IN SOLVENT
Figure 2.41 Ring opening of (2.18) in solvent with BF₃.Et₂O
Finally, the ring opening of the epoxide from euphorbia oil (2.18) was examined. This was conducted in similar manner to (2.6) (Figure 2.41).
Table 2.15 Properties of products from ring opened (2.18)
| Entry | Concentration (x 10^{-4} mol/ml) | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |
|-------|---------------------------------|---------------------------|-----------|------------------------------|
| | | | | M_w (Da) | M_n (Da) | PDI |
| 1 | 10.9 | 0.035 | Gelled | - | - | - |
| 2 | 5.5 | 0.035 | 83 | 26700 | 8600 | 3.10|
| 3 | 3.6 | 0.035 | 78 | 13800 | 6500 | 2.14|
M_w = weight average molecular weight, M_n = number average molecular weight, PDI = polydispersity index
GPC analysis shows that the (2.27) has an average molecular weight of 8600 Da, which corresponds to pentamer of (2.18) linked by an ether functionality. MALDI-TOF-MS analysis shows that the (2.27) has trimer of (2.18) linked by ether functionality as shown in Figure 2.42 and with a repeating unit of 913 Da represented by Figure 2.43.
Figure 2.42 MALDI-TOF-MS spectrum of (2.27) by using DHB as the matrix in the analysis
2.15 SUMMARY OF RING OPENING OF EPOXIDIZED OILS IN SOLVENT
The following Table 2.16 shows the properties of oligomeric polyols from methyl oleate (2.3) and the 5 types of epoxidized plant oils (2.16, 2.17, 2.13, 2.6 and 2.18) (Figure 2.44). These polyols were produced through the optimum reaction conditions (yield) found for each type of oils. The reaction products were analyzed by $^1$H NMR and GPC.
Table 2.16 Properties of oligomeric polyols from ring opened epoxidized oils
| EO | [C] | Mol eq. | Yield (%) | GPC | OHV | AV |
|------|---------|---------|-----------|--------------|-----|----|
| | | | | $M_w$ (Da) | $M_n$ (Da) | PDI | |
| (2.3)| 16.0 | 0.10 | 85 | 2100 | 1900 | 1.10 | 51 | 12 |
| (2.16)| 7.1 | 0.10 | 87 | 8400 | 7300 | 1.15 | 30 | 3 |
| (2.17)| 1.9 | 0.035 | 87 | 47000 | 15500 | 3.03 | 38 | 1 |
| (2.13)| 1.1 | 0.025 | 90 | 150000 | 10000 | 15.0 | 48 | 4 |
| (2.6 )| 1.1 | 0.025 | 90 | 223000 | 12600 | 17.7 | 88 | 4 |
| (2.18)| 5.5 | 0.035 | 83 | 26700 | 8600 | 3.10 | 36 | 1 |
EO = epoxidized oil, [C] = monomer concentration ($\times 10^{-4}$ mol/ml), Mol eq. = mol equivalent of BF$_3$.Et$_2$O, GPC = gel permeation chromatography, $M_w$ = weight average molecular weight, $M_n$ = number average molecular weight, PDI = polydispersity index, OHV = hydroxyl value (mg KOH/g), AV = acid value (mg KOH/g)
When the oligomeric polyols from each type of plant oils were compared, epoxidized oils (2.3) and (2.16) that have one epoxy group per molecule will not form cross-linked polymer even when catalyzed by 0.1 mol equivalent of BF$_3$.Et$_2$O and both (2.3) and (2.16) gave good yield of oligomeric polyols (85%, 87%). While for epoxidized oils with multiple epoxide groups per molecule (2.17, 2.13, 2.6 and 2.18) the amount of catalyst must be less than 0.04 mol equivalents of BF$_3$.Et$_2$O to avoid formation of cross-linked products. Molecules with more epoxides per molecule lead to larger molecular weights, hydroxyl values and PDI’s as expected.
Figure 2.44 Epoxidized plant oils
Both (2.17) and (2.18) have 2 epoxide groups per molecule and would be expected to behave similarly, but (2.18) also has 3 alkenes while (2.17) has none. Referring to Table 2.16, we can produce oligomeric polyol without gelling from (2.18) using higher monomer concentration ($5.5 \times 10^{-4}$ mol/ml) as compared to (2.17) ($1.9 \times 10^{-4}$ mol/ml) but with lower $M_n$ and yield. This indicates that the unsaturation in (2.18) helps to prevent cross-linking during the oligomerization reaction which is itself slower. Presumably the extra ‘kink’ on the fatty acid hydrocarbon chain of (2.18) is responsible for these properties.
The epoxidized oils (2.13) and (2.6) have 4 and 5 epoxide groups per molecule respectively, which are higher than the other epoxidized plant oils in this study. This high epoxide content led to higher cross-linking during the oligomerization reaction as shown by the significantly higher $M_w$ value and hence the higher PDI value of the (2.25) and (2.26). The higher epoxide functionality also contributed to slightly higher yield of the oligomeric polyols as well as high hydroxyl values.
Referring to Table 2.16, the hydroxyl value of the oligomeric polyols ranges from 30 to 50 mg KOH/g sample, depending on the starting material. In general, a plant oil with a higher amount of epoxide functionality will produce a higher hydroxyl value because the hydroxyl functionality was produced from the epoxide group through epoxide ring opening reactions. It is noteworthy that the low acid values indicate little hydrolysis (1-4 mg KOH/g sample) however oligomeric polyol (2.22) has higher acid value due to the relative ease of hydrolysis of the methyl ester group.
In summary, oligomeric polyols can be produced from various epoxidized plant oils through epoxide ring opening oligomerization catalyzed by BF$_3$.Et$_2$O. The properties of the oligomeric polyols depend on the degree of unsaturation of the plant oils as well as the reaction conditions (monomer concentration, catalyst amount, reaction temperature and reaction time).
These oligomeric polyols can theoretically be used to make polyurethane (PU) products as they have hydroxyl groups that can react with diisocyanates. In the later sections, we will compare the properties of PU products made from these oligomeric polyols with PU products made from other plant oils based polyols (ring opening of epoxidized plant oils with polyhydric alcohols and water).
### 2.16 RING OPENING OF EPOXIDIZED OILS WITH POLYHYDRIC ALCOHOLS
\[
n \quad \begin{array}{c}
\text{O} \\
\text{R} \\
\end{array} + \quad R(OH)_m \quad \xrightarrow{\substack{0.15 \text{ mol eq } BF_3.Et_2O \\ 60^\circ C, 24 \text{ h}}} \quad H \quad \begin{array}{c}
\text{O} \\
\text{R(OH)}_{m-1} \\
\end{array}
\]
\[ m \geq 2 \]
Figure 2.45 Epoxide ring opening with polyhydric alcohol
This study was conducted to investigate the epoxide ring opening oligomerization catalyzed by the BF$_3$.Et$_2$O in the presence of a polyhydric alcohol as chain transfer agents (Figure 2.45). The aim for this study is to produce oligomeric polyols that have higher hydroxyl values (from the initiator) compared to oligomeric polyols.
produced from epoxidized plant oils through epoxide ring opening in solvent as discussed in Section 2.15 (page 93).
The epoxide ring opening with polyhydric alcohol reaction was conducted without solvent. However, the BF$_3$.Et$_2$O was first mixed with the polyhydric alcohol before being added to the epoxidized plant oil. In a way, the polyhydric alcohol acts as solvent for the reaction system as well as the nucleophile for the epoxide ring opening. The epoxidized plant oils (2.3, 2.16, 2.17, 2.13 and 2.6) were ring opened with polyhydric alcohols (Figure 2.46) such as ethylene glycol (2.30), glycerol (2.31), dihydroxy methyl stearate (2.32) and glucose (2.33). The aim of this section of the work is to incorporate as much renewable content as possible into the polyol, hence the choice of polyhydric alcohols (2.31, 2.32 and 2.33). Polyhydric alcohol (2.32) was prepared from (2.8) through epoxidation followed by epoxide ring opening with water. The following Table 2.17 shows the oligomeric content of products from this study as analyzed by GPC.
Figure 2.46 Polyhydric alcohols used in epoxide ring opening reaction
Table 2.17 Oligomeric content of ring opened epoxidized oils by polyhydric alcohols.
| Epoxidized oil | Control | (2.30) | (2.31) | (2.32) | (2.33) |
|----------------|---------|--------|--------|--------|--------|
| (2.3) | 76 | 60 | 77 | 75 | - |
| (2.16) | 56 | 45 | 54 | 34 | 5 |
| (2.17) | Gelled | 70 | Gelled | 72 | 14 |
| (2.13) | Gelled | 63 | Gelled | 65 | 32 |
| (2.6) | Gelled | Gelled | Gelled | 80 | 32 |
Control reactions were epoxide ring opening reactions conducted without solvent or polyhydric alcohol catalyzed by $\text{BF}_3\cdot\text{Et}_2\text{O}$. The results of these control reactions were discussed in Section 2.5 (page 71). When the epoxidized plant oils were ring opened with (2.30), all the epoxidized oil were converted to liquid oligomeric polyols except for (2.6) (Figure 2.47), which gave a cross-linked product (due to its high epoxide value). The (2.30) acts as a chain transfer agent and should give rise to lower molecular weight oligomers.
![Figure 2.47 Epoxidized soybean oil (2.6)]
An example of an oligomeric polyol (2.34) produced from (2.3) ring opened with (2.30) is shown in Figure 2.48. The sodium adduct of this compound was detected by using high resolution mass spectrometry (HRMS) at 709 Da (Figure 2.49).
**Figure 2.48** Oligomeric polyol (2.34)
**Figure 2.49** High resolution mass spectrum of (2.34) in methanol
$^1$H NMR analysis on (2.34) show peaks at 4.17-4.21 ppm and 3.77-3.82 ppm that correspond to the (2.30) moiety linked to (2.3) through an ether linkage as shown in Figure 2.48. Another example is the (2.17) ring opened with (2.30) which yielded oligomeric polyols (2.35) that have a repeating unit of 953 Da (Figure 2.50) as shown in MALDI-TOF-MS analysis of the product (Figure 2.51).
Figure 2.50 Repeating unit of oligomeric polyols (2.35)
Figure 2.51 MALDI-TOF-MS spectrum of (2.35) by using DHB as the matrix in analysis
Referring to Table 2.17, when (2.31) was used as the polyhydric alcohol in the epoxide ring opening reaction, the results were similar to that of control reactions. This indicates that (2.31) promotes oligomerization and cross-linking between epoxidized plant oils. Therefore, only (2.3) and (2.16) gave oligomeric polyols, while (2.17), (2.13) and (2.6) yielded cross-linked polymers.
The epoxide ring opening of (2.3) with (2.31) yielded about 75% of oligomeric polyols (2.36) that can be represented by Figure 2.52 and was detected by HRMS as a sodium adduct at 1051 Da (Figure 2.53).
**Figure 2.52 Oligomeric polyols (2.36)**
**Figure 2.53 High resolution mass spectrum of (2.36) in methanol**
The other polyhydric alcohol that promotes oligomerization was (2.32). The epoxide ring opening reaction with (2.32) yielded 30% to 80% oligomeric polyols depending on the starting materials (as analyzed by GPC). For example, epoxide ring opening of (2.3) with (2.32) yielded 75% oligomeric polyols (2.37) that can be represented by Figure 2.54, and was detected as sodium adduct at 665 Da by HRMS.
Meanwhile, the epoxide ring opening of (2.17) with (2.32) yielded oligomeric polyols (2.38) that have both the (2.17) and (2.32) as the repeating unit. These mixtures of oligomeric polyols are best illustrated in Figure 2.55; MALDI-TOF-MS analysis indicated sodium adducts at 1243 Da, 1573 Da and 2795 Da respectively (Figure 2.56).
Epoxide ring opening reactions with (2.33) only produced low amounts of oligomeric compounds (5 – 32%), this may be due to the hydrophilic nature of glucose that did not mix well with hydrophobic epoxidized plant oil or its large number of hydroxyl groups. The following Table 2.18 shows the extent of ring opening oligomerization reaction with polyhydric alcohols in terms of average molecular weight ($M_n$).
Table 2.18 Molecular weight of oligomeric polyols produced from epoxide ring opening with polyhydric alcohol
| Epoxidized oil | Control | (2.30) | (2.31) | (2.32) | (2.33) |
|----------------|---------|--------|--------|--------|--------|
| (2.3) | 1700 | 1400 | 1800 | 1700 | - |
| (2.16) | 6100 | 3700 | 6600 | 4100 | 3200 |
| (2.17) | Gelled | 9600 | Gelled | 3100 | 3300 |
| (2.13) | Gelled | 9900 | Gelled | 2200 | 3700 |
| (2.6) | Gelled | Gelled | Gelled | 1800 | 4300 |
$M_n =$ number average molecular weight (Da)
Oligomeric polyols produced from reaction between epoxidized plant oils with multiple epoxy groups (2.13) and (2.17) and ethylene glycol (2.30) shows the highest molecular weight (9600-9900 Da) as compared to epoxidised plant oils with one epoxy group (2.3) and (2.16). When (2.3) and (2.16) were ring opened with (2.33), the resultant oligomeric polyols have higher molecular weight (1800-6600 Da) as compared to oligomeric polyols produced from the same starting material with other polyhydric alcohols.
In fact, plant oils with multiple epoxide groups (2.17, 2.13 and 2.6) produced cross-linked polymer when reacted with glycerol. Oligomeric products produced from reactions using (2.32) and (2.33) have relatively low molecular weight as compared to other polyhydric alcohols (2.30 and 2.31) may be due to the less reactive secondary alcohol of (2.32) and (2.33).
The following Table 2.19 shows the hydroxyl values of the oligomeric polyols. The hydroxyl values were higher than the control, and range from 55 to 134 mg KOH/g sample depending on starting material and polyhydric alcohols. This range of hydroxyl values is suitable for the making semi-rigid PU products\textsuperscript{34} and is higher than those obtained from the ring opening WITHOUT alcohol initiators prepared in section 2.15. Hence, by using a combination of ring-opening with or without polyhydroxyal initiators it is possible to prepare a palette of hydroxylated materials for a range of PU materials.
Table 2.19 Hydroxyl values of oligomeric polyols produced from epoxidized plant oils ring opened with polyhydric alcohols
| Epoxidized oil | Hydroxyl Value (mg KOH/ g sample) |
|----------------|-----------------------------------|
| | Control | Polyhydric alcohol |
| | | (2.30) | (2.31) | (2.32) |
| (2.3) | 54 | 110 | 148 | 75 |
| (2.16) | 39 | 55 | 77 | 69 |
| (2.17) | Gelled | 94 | Gelled | 85 |
| (2.13) | Gelled | 134 | Gelled | 96 |
| (2.6) | Gelled | Gelled | Gelled | 118 |
2.17 RING OPENING OF EPOXIDIZED OILS WITH WATER
Finally, the ring-opening of epoxidized oils with water under acid catalysis was explored. The aim of this part of the work was to prepare plant oil based polyols without ring-opening oligomerization (Figure 2.57). The monomeric hydroxylated plant oil polyols would act as the reference point for comparison of the materials properties of PU products made from oligomeric polyols prepared earlier in section 2.15 and 2.16.
For this study, (2.17) and (2.6) were selected as the starting materials because they are the most studied plant oils.\textsuperscript{10,89} They were ring opened with water at 100 °C in the presence of an acid catalyst to produce hydroxylated palm oil polyol (2.39) and hydroxylated soybean oil polyol (2.40) (Figure 2.58). The reaction products were analyzed by GPC, \textsuperscript{1}H NMR and the properties of these hydroxylated plant oil polyols were tabulated in Table 2.19.
Figure 2.58 Hydroxylated soybean oil polyol (2.40)
Table 2.19 Properties of hydroxylated plant oil polyols
| Polyol | Yield (%) | Oligomers content (%) | GPC | OHV | AV |
|--------|-----------|-----------------------|--------------|-----|----|
| | | | $M_w$ (Da) | $M_n$ (Da) | PDI | |
| (2.39) | 95 | 30 | 3800 | 3400 | 1.12 | 70 | 12 |
| (2.40) | 90 | 60 | 14700 | 8300 | 1.77 | 112 | 18 |
GPC = gel permeation chromatography, $M_w$ = weight average molecular weight, $M_n$ = number average molecular weight, PDI = polydispersity index, OHV = hydroxyl value (mg KOH/g), AV = acid value (mg KOH/g)
Referring to Table 2.19, the epoxide ring opening reaction with water catalyzed by para-toluene sulfonic acid ($p$-TSA) gave significant amount of oligomers (30-60%). The (2.6) gave a higher amount of oligomers due to the higher epoxide functionality of (2.6) as compared to (2.17) and thus more likely to form oligomers.
In addition, the higher epoxide functionality of (2.6) also gave higher hydroxyl values as compared to (2.17). However, due to the high amount of oligomers found in (2.40), it was deemed not suitable as reference point for our study in order to compare the properties of PU made from plant oil based monomeric polyols and oligomeric polyols. Therefore no further analysis was done on (2.40).
The epoxide ring opening with water catalyzed by $p$-TSA, also causes hydrolysis of the triglyceride as a side reaction. Based on the hydroxyl value and molecular weight alone, both hydroxylated polyols (2.39 and 2.40) are suitable for making semi-rigid to rigid PU products.
3.1 - POLYURETHANES MADE FROM PLANT OIL BASED POLYOLS
The prepared plant oil based *oligomeric polyols (OP)* as well as the *monomeric hydroxylated* plant oil polyols (*HP*) were used as starting materials for making PU samples. These polyols were reacted with 4,4’-diphenylmethane diisocyanate (MDI) (Figure 3.1) and yielded quantitative amounts of PU samples. The ratio between the isocyanate group (NCO) and the hydroxyl group (OH) was kept at 1.05 to 1 (NCO/OH ratio = 1.05) in order to ensure that all the hydroxyl groups of the plant oil based polyols (POP) were fully reacted and the PU samples were fully cured when the excess isocyanate group reacted with moisture from the air.
The PU synthesis was started with the six *OP* (2.22, 2.23, 2.24, 2.25, 2.26 and 2.27) prepared in Chapter 2 and they were reacted with MDI according to ratio describe above. The PU’s (3.1 and 3.2) made from (2.22) and (2.23) were pastes/viscous liquids at room temperature, while for the other *OP*, the PU’s made from them were solids at room temperature. Thus the PU’s (3.3, 3.4, 3.5 and 3.6) made from (2.24), (2.25), (2.26) and (2.27) respectively were cross-linked polymers at room temperature, indicating higher than 2 hydroxyl groups per molecule of macromonomer to enable the formation of network/cross-linked polymers.
Oligomeric Polyols (OP)
(2.22) – Oligomeric polyol based on epoxidized methyl oleate (2.3)
(2.23) – Oligomeric polyol based on epoxidized cocoa butter (2.16)
(2.24) – Oligomeric polyol based on epoxidized palm oil (2.17)
(2.25) – Oligomeric polyol based on epoxidized rapeseed oil (2.13)
(2.26) – Oligomeric polyol based on epoxidized soybean oil (2.6)
(2.27) – Oligomeric polyol based on euphorbia oil (2.18)
Polyurethane samples (PU)
(3.1) – PU based on oligomeric polyol (2.22)
(3.2) – PU based on oligomeric polyol (2.23)
(3.3) – PU based on oligomeric polyol (2.24)
(3.4) – PU based on oligomeric polyol (2.25)
(3.5) – PU based on oligomeric polyol (2.26)
(3.6) – PU based on oligomeric polyol (2.27)
(3.7) – PU based on hydroxylated palm oil polyol (2.39)
Tensile tests were carried out on these solid PU’s in order to give a better picture about their strength. Figure 3.2 shows the stress-strain curves of PU’s made from each type of OP. In addition, we have also included HP based PU (3.7) made from (2.39) in Figure 3.2 for comparison purposes. The PU made from (2.40) was not included in Figure 3.2 because the PU made from it was too brittle to make a tensile test sample. The properties of these PU will be discussed in following pages.
Figure 3.2 Stress-strain curves of PU samples made from $OP$ and $HP$ based polyols according to method EN ISO 529-4: 1997(CEN1997a)
Furthermore, swelling tests was conducted on each of the PU samples in order to determine the cross-link density by using the Flory-Rehner equation.\textsuperscript{95} The following Table 3.1 shows the properties of the PU samples made from $OP$ and $HP$ based polyols.
Table 3.1 Properties of the PU samples made from $OP$ and $HP$ based polyols
| PU | Tensile strength (MPa) | Elongation at break (%) | Cross-link density x 10\textsuperscript{-4} (mol/cm\textsuperscript{3}) |
|----|------------------------|-------------------------|---------------------------------------------------------------|
| (3.6) | 0.8 | 66 | 1.9 |
| (3.3) | 1.0 | 70 | 2.0 |
| (3.4) | 5.0 | 80 | 4.5 |
| (3.5) | 14.0 | 40 | 8.9 |
| (3.7) | 9.0 | 130 | 6.5 |
Referring to Figure 3.2 and Table 3.1, the PU samples (3.6) and (3.3) have low tensile strength (~ 1 MPa) and elongation at break (~70%). This was due to the relatively low hydroxyl value (36 and 38 mg KOH/g sample) of OP (2.27) and (2.24) compared to (2.25) and (2.26). The lower hydroxyl values yielded PU samples with lower cross-linking density (1.9 and 2.0 x 10^{-4} mol/cm^3 respectively) which therefore exhibited lower tensile strength and elongation. In comparison, PU sample (3.4) has a higher tensile strength (5 MPa) and elongation (80%) because the (2.25) has higher hydroxyl value (48 mg KOH/g sample) as well as cross-link density (4.5 x 10^{-4} mol/cm^3) than both (2.27) and (2.24).
The PU sample (3.5) exhibited even higher tensile strength (14.5 MPa) because of the high cross-linking density (8.9 x 10^{-4} mol/cm^3) in the PU sample that originated from the high hydroxyl value (88 mg KOH/g sample) of (2.26). However, the cross-linking density of (3.5) was high enough to restrict the movement of polymer chain that it becomes so rigid until elongation of the PU sample was limited and it snapped with increasing tensile strength, resulted in lower elongation (40%) as shown in Figure 3.2.
The PU (3.7) made from (2.39) exhibited tensile strength in between (3.5) and (3.4) because (2.39) has hydroxyl value (70 mg KOH/g sample) and cross-link density (6.5 x 10^{-4} mol/cm^3) in between the two OP. However, (3.7) exhibited higher elongation than (3.5) and (3.4) maybe because of the plasticizing effect from saturated fatty acid in the (2.39) that enable elongation of the PU sample.
3.2 POLYURETHANES MADE FROM PLANT OIL BASED POLYOLS AND 1,4-BUTANEDIOL
In the production of elastomeric polyurethane, it is very common to include chain extenders in the PU formulation in order to improve the properties of the PU products. The chain extender acts as the hard segment domain of PU that strengthens the PU through hydrogen bonding among urethane bonds.\(^8\) In order to strengthen the PU made from \(OP\) prepared in section 2.15, a chain extender such as 1,4-butanediol (3.8) was mixed with the \(OP\) macromonomer in the PU formulation (Figure 3.3). For this study (2.24) was chosen as the \(OP\) to investigate since (3.3) exhibited low tensile strength in the study conducted in section 3.1 (page 109).
The (2.24) was mixed with varying amount of (3.8) to yield PU samples with hard segments ranging from 10% to 50%. Meanwhile, the NCO/OH ratio was kept at 1.05/1, similar to previous study in section 3.1. The PU samples made from (2.24) and (3.8) were subjected to a quick test in which the PU samples were pulled at both...
end with the bare hands to evaluate the strength of the samples. The following Table 3.2 shows the strength and physical properties of the prepared PU samples of this study.
Table 3.2 Physical properties and strength of the PU samples
| Hard segment (%) | Physical properties | Pull apart by hand? |
|------------------|---------------------------|---------------------|
| 10 | Soft elastic solid | yes |
| 20 | Soft elastic solid | yes |
| 30 | Hard brittle solid | yes |
| 40 | Hard brittle solid | yes |
| 50 | Hard brittle solid | yes |
Referring to Table 2.21, the physical properties of the PU samples change from soft elastic to hard brittle as the hard segment of the PU sample increases from 10% to 50%. This shows that the increasing amount of (3.8) makes the PU sample more hard and brittle. However, all the PU samples made with (3.3) and (3.8) have failed the quick test, which indicates that the (3.8) is not strengthening the PU samples even at high percentages. It made the PU brittle at high percentages because the urethane linkages formed from reaction with the diisocyanate were too close to each other. This is because (3.8) is a small molecule and doesn’t strengthen PU as well as higher molecular weight polyols such as polyethylene glycol.
3.3 POLYURETHANES MADE FROM OLIGOMERIC POLYOLS AND POLYETHYLENE GLYCOL
\[ \text{OCN} \quad \text{MDI} \quad + \quad \text{HO} - \text{R} - \text{OH} \quad + \quad \text{H} \left[ \text{O} - \text{C} - \text{O} \right]_{n=76} \]
Plant oil based polyol PEG3350
\[ \text{Polyurethane} \]
\[ R' = \text{Oligomeric polyol or PEG3350} \]
Figure 3.4 PU made from plant oil based polyol and PEG3350
Based on the results from the quick test performed on PU made from (2.24) and (3.8), we decided to mix (2.24) with higher molecular weight diols such as polyethylene glycol 3350 (3.9) (average molecular weight of 3350 Da) and use this polyol mixture as a starting material to react with MDI (Figure 3.4). The (2.24) was mixed varying amount of (3.9) to yield PU samples with hard segment ranging from 30% to 70%. Meanwhile, the NCO/OH ratio was kept at 1.05/1, similar to previous study in section 3.1. The prepared PU samples were subjected to the same quick test. The following Table 3.3 shows the result of this study.
Table 3.3 Physical properties and strength of the PU samples
| Hard segment (%) | Physical properties | Pull apart by hand? |
|------------------|---------------------------|---------------------|
| 30 | Soft elastic solid | yes |
| 40 | Soft elastic solid | yes |
| 50 | Elastic solid | yes |
| 60 | Elastic solid | no |
| 70 | Hard brittle solid | no |
The results in Table 3.3 shows that the PU samples change from soft elastic PU to elastic solid PU and then to hard brittle PU as the hard segment of PEG of the PU increases from 30% to 70%. In addition, the strength of the PU samples increases with the increase in hard segment, in which at 60% hard segment, the PU can now not be pulled apart by a bare hand. At 70% hard segment, the PU sample was found to be brittle and breaks apart easily.
The PU sample with 60% hard segment exhibited acceptable physical properties; therefore tensile test samples were made based on this formulation. The PU sample with 60% hard segment was made from a 1:1 ratio of (2.24) to (3.9) based on hydroxyl value equivalent weight. The same ratio was used for other OP (2.25, 2.26 and 2.27) in making PU samples that incorporates (3.9) in order to compare the physical properties of the PU samples from different OP. These new materials were labeled as (3.10), (3.11), (3.12) and (3.13) for PU based on (2.24), (2.25), (2.26) and (2.27) respectively. The HP (2.39) was also included into the study for comparison purposes (abbreviated as 3.14). In addition, PU made from only (3.9) and MDI was also included as a control (abbreviated as 3.15).
The following Figure 3.5 shows the stress strain curves of PU’s made from combination of $OP$ and $HP$ with (3.9); (3.9) alone; and as a comparison those described earlier in section 3.1 (3.3, 3.4, 3.5, 3.6 and 3.7). Furthermore, the properties of these PU were tabulated in Table 3.4.
**Figure 3.5** Stress strain curve of PU made from $OP$, $HP$ and (3.9) according to method EN ISO 529-4: 1997(CEN1997a)
**Polyurethane samples (PU)**
(3.3) – PU based on oligomeric polyol (2.24); (palm oil based)
(3.4) – PU based on oligomeric polyol (2.25); (rapeseed oil based)
(3.5) – PU based on oligomeric polyol (2.26); (soybean oil based)
(3.6) – PU based on oligomeric polyol (2.27); (euphorbia oil based)
(3.7) – PU based on hydroxylated palm oil polyol (2.39)
(3.10) – PU based on oligomeric polyol (2.24) and PEG3350 (3.9)
(3.11) – PU based on oligomeric polyol (2.25) and PEG3350 (3.9)
(3.12) – PU based on oligomeric polyol (2.26) and PEG3350 (3.9)
(3.13) – PU based on oligomeric polyol (2.27) and PEG3350 (3.9)
(3.14) – PU based on hydroxylated palm oil (2.39) and PEG3350 (3.9)
(3.15) – PU based on PEG3350 (3.9) and MDI
Table 3.4 Properties of the PU samples made from $OP$, $HP$ and (3.9)
| PU | Tensile strength (MPa) | Elongation at break (%) | Cross-link density x $10^{-4}$ (mol/cm$^3$) |
|------|------------------------|-------------------------|---------------------------------------------|
| (3.15)| 16.0 | 20 | 0.0 |
| (3.6) | 0.8 | 66 | 1.9 |
| (3.13)| 5.5 | 270 | 3.5 |
| (3.3) | 1.0 | 70 | 2.0 |
| (3.10)| 6.5 | 650 | 3.5 |
| (3.4) | 5.0 | 80 | 4.5 |
| (3.11)| 3.5 | 120 | 3.8 |
| (3.5) | 14.0 | 40 | 8.9 |
| (3.12)| 6.0 | 100 | 4.3 |
| (3.7) | 9.0 | 130 | 6.5 |
| (3.14)| 8.8 | 350 | 5.6 |
**PU (3.15)**
Referring to Figure 3.5 and Table 3.4, the control PU sample (3.15) made from only (3.9) and MDI shows significantly high tensile strength (16 MPa) but low elongation (20%). The high tensile of (3.15) comes from the intermolecular forces between polymer chains of (3.15) as the PU can form a semicrystalline structure in which the crystalline (3.9) chains can act as a physical cross-link in the polymer matrix.\textsuperscript{96} However, the cross-link density of (3.15) was near to zero because both the (3.9) and MDI are bifunctional linear molecules, which cannot form cross-linking. The (3.15) sample completely dissolved in the test solvent (toluene).
When the $OP$ of similar hydroxyl value (2.24 and 2.27) were mixed with (3.9) and reacted with MDI to form PU samples (3.10) and (3.13); the tensile strength (6.5 MPa and 5.5 MPa respectively) of these PU samples was found to be better than PU samples made from only the $OP$ (3.3 and 3.6). This higher tensile strength was contributed by higher cross-link density found in the two PU samples ($3.5 \times 10^{-4}$ mol/cm$^3$ vs $\sim 2.0 \times 10^{-4}$ mol/cm$^3$ respectively).
The most significant improvement on the properties of (3.10) and (3.13) compared to (3.3), (3.6) and (3.15) is the elongation at break. The (3.13) was able to extend 270% its original length, while (3.10) was able to extend 650% its original length before breaking. In comparison, the (3.15), (3.6) and (3.3) were only able to extend 20%, 66% and 70% respectively. Referring to both tensile strength and elongation at break for (3.10) and (3.13), which point to the synergy from the co-polymerization of petroleum-based polyol (3.9) with plant oil based oligomeric polyols (2.24 and 2.27) to form PU (by reaction with MDI) as the PU formed from this mixture of polyols performed better than the PU made from either individual polyol respectively.
For PU samples (3.11) and (3.12), the mixture of (3.9) and $OP$ (2.25 and 2.26) have resulted in PU with significantly lower tensile strength (3.11, 3.5 MPa and 3.12, 6.0 MPa) as compared to PU made from $OP$ alone (3.4, 5.0 MPa and 3.5, 14 MPa). This is in tandem with the lower cross-link density exhibited by the (3.11) and (3.12). However, the lower tensile strength of the (3.11) and (3.12) was compensated by longer elongation of these PU samples (130% and 100% respectively) as compared
to (3.4) and (3.5). Overall, the mixtures of (3.9) with (2.25) and (2.26) have resulted in PU with poorer properties due to lower cross-link density exhibited by the (3.11) and (3.12).
**PU (3.14)**
For PU samples (3.14), the mixture of (3.9) and *HP* (2.39) has resulted in a PU with a slightly lower tensile strength as compared to PU (3.7) made from (2.39) only. This is in tandem with the lower cross-link density exhibited by the (3.14). However, the lower tensile strength of the (3.14) was compensated by significantly longer elongation (350%), which was double the elongation achieved by (3.7).
### 3.4 POLYURETHANES MADE FROM EPOXIDIZED PALM OIL BASED POLYOOLS PREPARED BY DIFFERENT METHODS
For this part of the study, various types of PU samples based on epoxidized palm oil (2.17) were prepared in order to determine how the different (2.17) based polyols (2.24, 2.38 and 2.39) affect the properties of a PU when incorporating (3.9). The prepared (2.17) based PU’s were (3.3), (3.10), (3.7), (3.14) and (3.16).
The properties of the PU samples (3.15), (3.3), (3.10), (3.7), and (3.14) were discussed earlier in Section 3.3. Thus the last material of the set to prepare was (3.16) from the palm oil macromonomer (2.38) prepared by reacting (2.17) with (2.32) as a ring-opening initiator, (see section 2.16, page 97). The (2.38) was reacted with MDI
but the PU produced from the reaction was a viscous paste, which indicated that the PU sample did not have sufficient cross-link density to form a solid PU.
Therefore, in order to make solid PU from (2.38), we mixed the (2.38) with (3.9) and the tensile strength of the PU (3.16) can be seen in Figure 3.6, which is the stress-strain curve of (3.16).
Figure 3.6 Stress strain curve of (3.16) according to method EN ISO 529-4: 1997(CEN1997a)
The (3.16) exhibited about 3 MPa of tensile strength and 170% elongation. In comparison with (3.10), the (3.16) showed inferior properties. In summary, this shows that the (2.38) was inferior to (2.24) (refer to Figure 3.5) in making PU products maybe due to the relatively low molecular weight of (2.38) as compared to (2.24).
3.5 POLYURETHANES MADE FROM EPOXIDIZED METHYL OLEATE AND EPOXIDIZED COCOA BUTTER BASED POLYOLS
In the previous section the PU’s from palm oil, rapeseed oil and soya bean oil were discussed. This section investigates the PU’s prepared from the OP (2.22) and (2.23). The PU samples made from these two OP were viscous pastes at room temperature. Thus, as with (2.38) above, we mixed the (2.22) and (2.23) with (3.9) in order to make a solid PU; however the resultant PU’s were still viscous pastes. This suggests that both (2.22) and (2.23) do not have enough cross-linking to form a solid PU due to their low hydroxyl values and mixing them with PEG3350 did not help either for the same reason.
In order to make solid PU from (2.22) and (2.23), glycerol (2.31) was introduced into the PU formulation. The (2.31) was chosen because in order to use more renewable raw material in the PU sample. The hydroxyl group ratio between (3.9): (2.22): (2.31) was 1:1:3 and the NCO/OH ratio was kept at 1.05/1. This combination of polyols was able to produce a solid PU. The prepared PU samples, methyl oleate derivative (3.17) and the cocoa butter derivative (3.18) were subjected to tensile tests to evaluate their mechanical properties. The following Figures 3.7 and 3.8 show the stress-strain curves of (3.17) and (3.18) respectively.
Figure 3.7 Stress-strain curve of (3.17) according to method EN ISO 529-4: 1997(CEN1997a)
Figure 3.8 Stress-strain curve of (3.18) according to method EN ISO 529-4: 1997(CEN1997a)
Referring to Figure 2.61, the incorporation of (2.31) in the PU formulation has enabled the production of a PU sample (3.17) with good elongation at break (470%) from (2.22) even though the tensile strength was relatively low. This shows that (2.22) itself contributed to the flexibility of the PU sample. For cocoa butter the
analogous PU sample (3.18) shows better tensile strength (3.5 MPa) than (3.17); however the elongation at break was only 100%, which shows the (3.18) was stiffer than (3.17). In summary, the incorporation of (2.31) was necessary in the formulations of PU in order to make solid PU from (2.22) and (2.23) due to low hydroxyl value of both oligomeric polyols.
3.6 SUMMARY
Unsaturated plant oils can be converted to epoxidized plant oils through epoxidation with hydrogen peroxide as the oxidant and tungsten powder as the catalyst. The prepared epoxidized plant oils can be oligomerized to yield $OP$ through epoxide ring opening conducted in solvent and catalyzed by $\text{BF}_3\cdot\text{Et}_2\text{O}$. This oligomerization reaction was affected by the amount of catalyst, reaction temperature, reaction duration and the concentration of the monomer (epoxidized plant oils). The properties of these $OP$ also depended on the degree of unsaturation of the plant oils. Plant oils with low unsaturation (2.8 and 2.9) will yield $OP$ with lower molecular weight; while plant oils with two or more unsaturation points will produce high molecular weight polyols with higher hydroxyl values and PDI’s.
These prepared $OP$ were used to make PU samples with MDI. Generally, the PU’s based on $OP$ made from plant oils with low levels of unsaturation (2.22 and 2.23) formed viscous paste PU samples. While, PU’s based on $OP$ made from plant oils with higher level of unsaturation (2.24, 2.25, 2.26 and 2.27) formed solid PU samples. The PU based on (2.26) had the highest tensile strength but the lowest elongation at
break of all the oils tested. In comparison, PU’s based on (2.24), (2.25) and (2.27) have significantly lower tensile strengths but higher elongation at break.
The PU samples based on (2.24) and (2.27) can be strengthened by mixing them with (3.9), which increased the tensile strength and elongation at break significantly. However, when (2.25) and (2.26) were mixed with (3.9), the tensile strength of the PU samples based on them were weaker than those without (3.9). Solid PU samples can be made from OP (2.22) and (2.23) by mixing them with (3.9) and (2.31). The (2.31) component contributed to cross-linking that enables a solid PU to be prepared from these oligomeric polyols.
The mechanical properties analysis of PU samples (3.10), (3.13) and (3.14) indicates that these PU samples were suitable for making elastomeric PU where high flexibility (high elongation at break) of the PU is a requirement. On the other hand, PU sample (3.5) was found to have mechanical properties suitable for semi-flexible PU elastomer where high tensile strength with low elongation at break is a common requirement.
The ring opening homopolymerization of tetrahydrofuran is typically conducted at 0-30 °C in the presence of Lewis acids or Bronsted superacids\textsuperscript{32} to generate PTHF with molecular weight in the range of 600 Da to 3000 Da. Generally, the yield of THF homopolymerization is in the range of 65-75% because of the equilibrium between propagation and depopagation steps during the polymerization of THF. The polymerization equilibrium is based on the concurrence between S\textsubscript{N}2 nucleophilic attack of the monomer oxygen atom (propagation reaction) and the nucleophilic attack of the oxygen atom of a neighbouring repeating unit in the polymer chain (depropagation reaction by ‘back biting’) as shown in Figure 4.3. This homopolymerization reaction mechanism is known as an ‘activated chain end’ mechanism.\textsuperscript{99}
The cationic ring opening of THF can also be conducted in the presence of alkylene oxide such as ethylene oxide (EO) and propylene oxide (PO) to generate copolymers of PTHF-EO and PTHF-PO respectively, which have molecular weights in the range of 3000 Da to 5000 Da. This copolymerization of THF with EO or PO is usually initiated by diols such as 1,4-butanediol\textsuperscript{100} (Figure 4.4).
\[ R = H \text{ or } CH_3 \]
The advantages of copolymerizing THF with EO or PO is the higher yield of polymers achievable (85-90%) by this method as compared to homopolymerization. This is due to the suppression of the equilibrium characteristic of homopolymerization of THF by the presence of EO or PO as the mechanism for the copolymerization reaction is different from homopolymerization and is known as ‘activated monomer’ mechanism. In the reaction system there are two types of activated monomers namely activated oxirane (4.1) and activated THF (4.2). The activated monomer (4.2) was produced from nucleophilic attack on (4.1) by THF (Figure 4.5).
**Figure 4.5** Activated monomers in the copolymerization reaction
The statistical copolymerization of THF with EO or PO by ‘activated monomer’ mechanism can be characterized by the following reactions (RN1, RN2, RN3 and RN4; Figure 4.6). These reactions are the main reactions during the initiation and propagation of the copolymerization reaction. The hydroxyl groups generated in RN1 and RN3 will be able to perform another nucleophilic attack on another activated monomer to propagate the copolymerization reaction.
Figure 4.6 Reactions occurring during copolymerization of THF with EO or PO initiated by 1,4-butanediol
It was reported that copolymers of THF and EO or PO are used especially for the production of elastomeric PU that exhibited better elastic properties (elongation, tensile strength and modulus) as compared to PU elastomers derived from PO homopolymers or PO-EO copolymers.\(^4\)
In view of the superior properties of PU elastomers derived from THF-EO or PO copolymers, this section intends to investigate the properties of PU elastomers derived from copolymers of THF with renewable epoxidized compounds, in which the EO and PO was substituted with renewable epoxidized plant oils.
The epoxidized plant oils prepared in Chapter 2 namely (2.3), (2.16), (2.17), (2.13) and (2.6) were used as the renewable epoxidized compounds in the copolymerization reaction with THF. In addition, euphorbia oil (2.18) was also included in this study.
which is a naturally occurring unsaturated plant oil with epoxide functionality (Figure 4.7).
Epoxidized methyl oleate (EMO, 2.3)
Epoxidized cocoa butter (ECB, 2.16)
Epoxidized palm oil (EPO, 2.17)
Epoxidized rapeseed oil (ERO, 2.13)
Epoxidized soybean oil (ESO, 2.6)
Euphorbia oil (EuO, 2.18)
Figure 4.7 Epoxidized plant oils
4.1 SCREENING OF CHEMICAL COMPOUNDS AS POTENTIAL CATALYSTS
According to literature, the copolymerization of THF with EO and PO were catalyzed by Lewis acids (BF$_3$, AlCl$_3$, SnCl$_4$) or superacids (HBF$_4$, ClSO$_3$H, CF$_3$SO$_3$H). Based on these literature, the same chemical compounds were screened in order to determine whether these reported chemical compounds can effectively catalyze the copolymerization of epoxidized plant oils and THF.
In addition, relatively weaker acids (trifluoroacetic acid, sulfuric acid) and other Lewis acids (TiCl$_4$, FeCl$_3$) were also screened as potential catalyst. The screening of catalyst was conducted with (2.17) as the renewable resources at 20 °C (Figure 4.8) to yield copolymers of (2.17) and THF (EPO-THF, 4.3). The results of this screening study were tabulated in Table 4.1.
Figure 4.8 Copolymerization of (2.17) with THF
Table 4.1 Screening of chemical compounds as potential catalyst
| Chemical compound | Mol equivalent of chemical | Polymer content (%) | Gel permeation chromatography |
|-------------------|----------------------------|---------------------|------------------------------|
| | | | M<sub>w</sub> (Da) | M<sub>n</sub> (Da) | PDI |
| BF<sub>3</sub>.EtO<sub>2</sub> | 0.02 | 97 | 282000 | 44100 | 6.39 |
| FeCl<sub>3</sub> | 0.1 | 90 | 45200 | 17400 | 2.60 |
| SnCl<sub>4</sub> | 0.1 | 93 | 111000 | 25200 | 4.40 |
| AlCl<sub>3</sub> | 0.1 | 0 | - | - | - |
| TiCl<sub>4</sub> | 0.1 | 0 | - | - | - |
| HBF<sub>4</sub> | 0.02 | 95 | 85000 | 22500 | 3.78 |
| CF<sub>3</sub>SO<sub>3</sub>H | 0.1 | 92 | 165000 | 35700 | 4.62 |
| ClSO<sub>3</sub>H | 0.1 | 0 | - | - | - |
| CF<sub>3</sub>CO<sub>2</sub>H | 0.1 | 0 | - | - | - |
| H<sub>2</sub>SO<sub>4</sub> | 0.1 | 0 | - | - | - |
M<sub>w</sub> = weight average molecular weight, M<sub>n</sub> = number average molecular weight, PDI = polydispersity index
The analysis of the copolymers produced from reactions was conducted with gel permeation chromatography (GPC) and was calibrated with polymethacrylate polymers. The GPC analysis of the monomer (2.17) indicated a number average molecular weight (M<sub>n</sub>) of about 1500 Da.
Out of the five evaluated Lewis acids, only three of the Lewis acids (BF<sub>3</sub>.EtO<sub>2</sub>, FeCl<sub>3</sub> and SnCl<sub>4</sub>) yielded the desired copolymers when (2.17) was used. On the other hand, two out of the three superacids (HBF<sub>4</sub>, CF<sub>3</sub>SO<sub>3</sub>H) were able to catalyze the copolymerization of (2.17) with THF. Meanwhile, the relatively weak acids (CF<sub>3</sub>CO<sub>2</sub>H and H<sub>2</sub>SO<sub>4</sub>) were not able to catalyze the reaction.
For all the acids that were able to catalyze the copolymerization reaction (BF$_3$.EtO$_2$, FeCl$_3$, SnCl$_4$, HBF$_4$ and CF$_3$SO$_3$H), a control reactions for each acid was conducted, where the copolymerization reaction in Figure 4.8 was conducted using the same protocols but without (2.17) (Figure 4.9). The experimental results show that ring opening polymerization of THF catalyzed by these acids do not happen without (2.17) as they failed to get any oligomeric or polymer material and end up with the starting material. This indicates that the (2.17) was needed for the ring opening polymerization of THF under reaction condition in Figure 4.8.
Figure 4.9 Control reactions of ring opening polymerization of THF with acid catalysts
Referring to Table 4.1, two boron based compounds (BF$_3$.EtO$_2$ and HBF$_4$) were used at lower amounts (0.02 mol equivalent per mol of epoxide group) compared to other acids (0.1 mol equivalent) because when both boron based compounds were used at higher amounts (0.1 mol equivalent), the resultant copolymers were cross-linked (gelled) polymers, which were difficult to characterize. Based on the results in Table 4.1, both boron based acids were found to be better catalysts for the copolymerization of (2.17) with THF because lower catalyst loading was possible. Furthermore, BF$_3$.Et$_2$O was chosen as the catalyst for the copolymerization of epoxidized plant oils with THF for further studies because it can produce copolymers with higher molecular weight.
4.2 COPOLYMERS OF EPOXIDIZED METHYL OLEATE AND TETRAHYDROFURAN
The epoxidized methyl oleate (EMO, 2.3) was copolymerized with THF and boron trifluoride etherate as the catalyst at room temperature to yield copolymers (EMO-THF, 4.4) (Figure 4.10). The following are the properties of the copolymers (4.4) tabulated in Table 4.2.
\[
\begin{align*}
\text{n} \quad & \text{R}_1 \quad \text{O} \\
& \text{R}_2 \quad \text{O} \\
\text{m} \quad & \text{O} \\
\text{BF}_3 \cdot \text{Et}_2 \text{O} \quad & \text{20 °C, 24 h} \\
\end{align*}
\]
(2.3) \quad (4.4)
\[ R_1 = \quad \text{R}_2 = \quad \text{O} \]
Figure 4.10 Copolymerization of (2.3) with THF
Table 4.2 Properties of (4.4)
| Entry | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |
|-------|---------------------------|-----------|------------------------------|
| | | | M_w (Da) | M_n (Da) | PDI |
| 1 | 0.01 | 0 | - | - | - |
| 2 | 0.025 | 75 | 17700 | 8500 | 2.08|
| 3 | 0.05 | 97 | 54200 | 26100 | 2.07|
M_w = weight average molecular weight, M_n = number average molecular weight, PDI = polydispersity index
GPC analysis was conducted on the produced copolymers with (2.3) as a standard, which indicated a M_n = 500 Da. Referring to Table 4.2, the optimum amount of catalyst needed to give good yield of copolymers (4.4) was 0.05 mol equivalent of
BF₃·Et₂O per mol epoxide of (2.3) (Entry 3), which gave 97% copolymers (4.4) that have a number average molecular weight \((M_n)\) of 26100 Da. Lower yield of copolymers was obtained with lower catalyst loading and when the reaction was conducted with 0.01 mol equivalent of catalyst only starting material was recovered. MALDI-TOF-MS analysis confirmed that (4.4) (Figure 4.11) was a copolymer with a molecular weight up to 3000 Da. The peak at 664 Da corresponds to (4.5), a sodium adduct of (2.3) dimer (Figure 4.12) and the peak at 1817 Da corresponds to (4.6), a sodium adduct of (4.5) with 17 repeating units of ring opened THF (Figure 4.13).
**Figure 4.11** MALDI-TOF-MS spectrum of (4.4) by using DHB as the matrix in the analysis
**Figure 4.12** Dimer of (2.3)
Figure 4.13 Dimer of (2.3) with 17 repeating units of ring opened THF
Figure 4.14 shows the stacked 400 MHz $^1$H NMR spectrum of (2.3) and (4.4). Referring to the $^1$H NMR spectrum, the epoxide group of (2.3) at 2.80-3.15 ppm was ring opened to copolymerize with THF yielding ether and hydroxyl functionalities (3.51-3.60 ppm) and peaks corresponding to ring opened THF [1.56-1.66 ppm (peak b) and 3.35-3.45 ppm (peak a)].
Figure 4.14 Stacked 400MHz $^1$H NMR spectrum of (2.3) and (4.4) in CDCl$_3$.
4.3 COPOLYMERS OF EPOXIDIZED COCOA BUTTER AND TETRAHYDROFURAN
The copolymerization of epoxidized cocoa butter (ECB, 2.16) and THF was conducted using the same method as for (2.3) (Figure 4.15). The properties of the copolymers (ECB-THF, 4.7) are tabulated in Table 4.3.
**Figure 4.15 Copolymerization of (2.16) with THF**
| Entry | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |
|-------|---------------------------|-----------|-------------------------------|
| | | | Mₜ (Da) | Mₙ (Da) | PDI |
| 1 | 0.02 | 0 | - | - | - |
| 2 | 0.05 | 82 | 37100 | 16500 | 2.25 |
| 3 | 0.1 | 93 | 83200 | 29600 | 2.81 |
Mₜ = weight average molecular weight, Mₙ = number average molecular weight, PDI = polydispersity index
The optimum catalyst loading for copolymerization of (2.16) with THF was 0.1 mol equivalent of BF₃.Et₂O, which yielded 93% (Entry 3) of copolymers (4.7). Lower
amount of catalyst gave lower yields of copolymers and lower $M_n$. Catalyst loading at 0.02 mol equivalent of BF$_3$.Et$_2$O was not sufficient to catalyze the reaction.
MALDI-TOF-MS analysis of (4.7) (Figure 4.16) confirmed the copolymerization of (2.16) with THF, in which the peak at 1116 Da corresponds to the sodium adduct of (2.16) plus 3 units of THF (4.8) (Figure 4.17). Furthermore, the peak at 1920 Da corresponds to dimer of (2.16) plus 2 units of THF (4.9) (Figure 4.17).
**Figure 4.16** MALDI-TOF-MS spectrum of (4.7) by using DHB as the matrix in the analysis
**Figure 4.17** Copolymers of (2.16) with THF
The stacked 400 MHz $^1$H NMR spectrum of (2.16) and (4.7) (Figure 4.18) shows that the epoxide group of (2.16) at 2.78-3.05 ppm was ring opened to copolymerize with THF similar to (2.3).
**Figure 4.18** Stacked 400 MHz $^1$H NMR spectrum of (2.16) and (4.7) in CDCl$_3$.
### 4.4 COPOLYMERS OF EPOXIDIZED PALM OIL AND TETRAHYDROFURAN
The copolymerization of epoxidized palm oil (2.17) and THF was conducted in the same way as epoxidized cocoa butter (2.17) (Figure 4.19) and the products (4.10) were analyzed by GPC, MALDI-TOF-MS and $^1$H NMR as before. The properties of the copolymers (EPO-THF, 4.10) are tabulated in Table 4.4.
Figure 4.19 Copolymerization of (2.17) with THF
Table 4.4 Properties of (4.10)
| Entry | Mol equivalent of BF$_3$.Et$_2$O | Yield (%) | Gel permeation chromatography |
|-------|---------------------------------|-----------|-------------------------------|
| | | | M$_w$ (Da) | M$_n$ (Da) | PDI |
| 1 | 0.005 | 0 | - | - | - |
| 2 | 0.01 | 80 | 147000 | 44800 | 3.28|
| 3 | 0.02 | 97 | 366000 | 55800 | 6.56|
| 4 | 0.03 | Gelled | - | - | - |
M$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index
Referring to Table 4.4, the optimum catalyst loading was 0.02 mol equivalent of BF$_3$.Et$_2$O, in which we were able to achieve about 95% yield of copolymers that have a number average molecular weight of about 56,000 Da. Catalyst loading at 0.005 mol equivalent was not sufficient to catalyze the reaction, while catalyst loading at 0.03 mol equivalent yielded cross-linked polymers, which indicates that higher amounts of catalyst generated more active polymer chains that promoted cross-linking during polymerization. This prompted the study on the effect of other
reaction parameters (monomer ratio, temperature and duration) on the properties of copolymers
4.5 EFFECT OF MONOMER RATIO ON THE PROPERTIES OF COPOLYMERS
\[
\begin{align*}
&\text{Figure 4.20 Copolymerization of (2.17) with THF on different monomer ratio} \\
&\text{For this study, epoxidized palm oil (2.17) was used as the renewable epoxidized plant oil to copolymerize with THF (Figure 4.20). The ratio between (2.17) and THF was varied in order to observe changes in the properties of the copolymers (4.10). The following Table 4.5 displays the properties of the copolymer from this study.}
\end{align*}
\]
Table 4.5 Properties of (4.10) from different monomer ratio
| Entry | Monomer ratio THF : (2.17) (ml : g) | Yield (%) | Gel permeation chromatography |
|-------|-----------------------------------|-----------|------------------------------|
| | | | M\textsubscript{w} (Da) | M\textsubscript{n} (Da) | PDI |
| 1 | 4 : 1 | Gelled | - | - | - |
| 2 | 8 : 1 | Gelled | - | - | - |
| 3 | 12 : 1 | Gelled | - | - | - |
| 4 | 16 : 1 | 79 | 147000 | 44800 | 3.28|
| 5 | 20 : 1 | 81 | 173000 | 56000 | 3.09|
| 6 | 24 : 1 | 83 | 169000 | 56100 | 3.01|
M\textsubscript{w} = weight average molecular weight, M\textsubscript{n} = number average molecular weight, PDI = polydispersity index
The results in Table 4.5 shows that the minimum ratio between THF and (2.17) must be equal to or above the 16 : 1 ratio (Entry 4) in order to get non-cross-linked (liquid) product. Below the specific ratio, we achieved cross-linked copolymers (Entry 1 to 3). Higher ratios of THF to (2.17) (Entry 5 and 6) yielded copolymers with higher number average molecular weight as compared to copolymer from Entry 4.
It is proposed that the cross-linking of copolymers (Entry 1 to 3) was due to the higher amount of (2.17) presence in the monomers mixture. Results from section 2.5, (page 71) show that (2.17) will form cross-linked polymers if it was ring opened with BF\textsubscript{3}.Et\textsubscript{2}O without solvent. However, it will form liquid oligomeric polyols if it was ring opened in solvent. In other word, it needs solvent to prevent the formation of cross-linked products. In this copolymerization reaction system, THF acts as a monomer as well as a solvent for the reaction system. Therefore, at lower THF : (2.17) ratios (Entry 1 to 3), the amount of THF was not sufficient to prevent the
cross-linking of (2.17). At higher THF ratios (Entry 4 to 6), the amount of THF as solvent was sufficient to prevent/retard cross-linking of the copolymers.
Higher amounts of THF in the reaction mixture also yielded copolymers with higher molecular weights. This suggests that reaction RN4 (Figure 4.6) is now dominating the reaction pathway. Furthermore, the presence of THF in the reaction system activated the epoxy ring opening reaction because the amount of catalyst needed \((\text{BF}_3.\text{Et}_2\text{O})\) (0.01 mol equivalent) for getting high yields of polymer was comparatively lower than similar epoxy ring opening reaction conducted without THF in n-hexane (0.035 mol equivalent). In other words, it takes less amount of catalyst to cause gelation in reaction conducted in THF than a reaction conducted in n-hexane.
### 4.6 EFFECT OF REACTION TEMPERATURE ON THE PROPERTIES OF THE COPOLYMERS
The copolymerization of (2.17) with THF was repeated at different temperature to evaluate the effect of temperature on the properties of the copolymers (4.10). The following Table 4.6 tabulates the result of this study.
Table 4.6 Properties of (4.10) from copolymerization at different temperature
| Entry | Temperature (°C) | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |
|-------|-----------------|----------------------------|-----------|------------------------------|
| | | | | Mₜ (Da) | Mₙ (Da) | PDI |
| 1 | 60 | 0.025 | 80 | 62900 | 16500 | 3.81 |
| 2 | 20 | 0.025 | Gelled | - | - | - |
Mₜ = weight average molecular weight, Mₙ = number average molecular weight, PDI = polydispersity index
When the reaction was conducted at 60 °C with 0.025 mol equivalent of BF₃.Et₂O (Entry 1), the product was liquid copolymers (80% yield) with an average molecular weight (Mₙ) of 16500. However, by lowering the reaction temperature to 20 °C (Entry 2), the product was a cross-linked (gelled) copolymer.
Results from Chapter 2 show that gelation occurs during homopolymerization of (2.17) catalyzed by BF₃.Et₂O (page 71) and this occurred through cross-linking of epoxide. The same cross-linking of epoxide caused the gelation in the copolymerization of (2.17) and THF at 20 °C. This is due to the lower activation energy for epoxide ring opening (20 kcal/mol)¹⁰⁴ as compared to THF ring opening (51.3 kcal/mol).¹¹⁶ Therefore, when the copolymerization was conducted at low temperature (20 °C), the epoxide ring opening reaction predominates thus causing gelation but when the reaction was conducted at higher temperature (60 °C), the THF ring opening reaction predominates yielding liquid copolymers.
4.7 THE EXTENT OF COPOLYMERIZATION REACTION AGAINST TIME
A study was conducted to evaluate the extent of copolymerization reaction of (2.17) with THF catalyzed by $\text{BF}_3\cdot\text{Et}_2\text{O}$ against time (Figure 4.21). A small aliquot was removed from the reaction mixture after 5 minutes and 30 minutes of reaction and then at every hour of reaction. The small sample was washed with water to quench the reaction before analyzing it with GPC. The following Table 4.7 and Figure 4.22 show the result of this study.
Table 4.7 The extent of copolymerization of (2.17) with THF catalyzed by BF$_3$.Et$_2$O against time
| Reaction time (minutes) | Polymer content (%) | Gel permeation chromatography |
|------------------------|---------------------|-------------------------------|
| | | $M_w$ (Da) | $M_n$ (Da) | PDI |
| 5 | 2 | 27900 | 26500 | 1.05 |
| 30 | 22 | 50800 | 32300 | 1.57 |
| 60 | 37 | 64000 | 36100 | 1.77 |
| 120 | 54 | 87800 | 40800 | 2.15 |
| 240 | 65 | 112000 | 46300 | 2.41 |
| 480 | 73 | 150000 | 48600 | 3.09 |
| 720 | 78 | 181000 | 53800 | 3.36 |
| 1440 | 82 | 234000 | 58700 | 3.99 |
$M_w =$ weight average molecular weight, $M_n =$ number average molecular weight, PDI = polydispersity index
Figure 4.22 Graph to show the copolymerization of (2.17) with THF against time
Referring to Table 4.7, after 5 minutes into the reaction, the amount of (4.10) was low (2%) but the $M_n$ of (4.10) was significantly high (26500 Da). The copolymers content increased progressively with reaction time, in which it reached 82% in 24 hours and at the same time the PDI of the copolymers also broadens indicating more
polymer chains were cross-linking with the longer reaction time. Referring to Figure 4.20, the polymer content starts to level out (plateau), indicating that the polymer content will not increase significantly with a longer reaction time.
The number average molecular weight ($M_n$) of (4.10) analyzed by GPC was about 58700 Da. MALDI-TOF-MS analysis of (4.10) (Figure 4.23) shows peak at 1086 Da, which correspond to sodium adduct of epoxide ring opened (2.17) plus 2 units of THF (4.11) (Figure 4.24). The other peaks in the spectrum were (4.11) plus additional units of THF (72 Da). The peak 1158 Da to 1246 Da is an additional 89 Da which is a unit of THF (72 Da) plus one hydroxyl group (-OH, 17 Da).
Figure 4.23 MALDI-TOF-MS spectrum of (4.10) by using DHB as the matrix in the analysis
Figure 4.24 Copolymers of (4.11)
The reaction was also followed by $^1$H NMR and the following Figure 4.25 shows the stacked 400 MHz $^1$H NMR plot of copolymers (4.10) at 30 minute, 6 hours, 12 hours and 24 hours of reaction time. $^1$H NMR analysis shows that the epoxide group of (2.17) (2.80-3.10 ppm) diminishes with time as expected.
Figure 4.25 Stacked 400 MHz $^1$H NMR spectrum of (2.17) and reaction mixture in CDCl$_3$ at certain reaction time during copolymerization.
4.8 COPOLYMERS OF EPOXIDIZED RAPSEED OIL AND TETRAHYDROFURAN
\[
\begin{align*}
&\text{Figure 4.26 Copolymerization of (2.13) with THF} \\
&\text{The copolymerization of epoxidized rapeseed oil (2.13) and THF was conducted in the same way as epoxidized cocoa butter (2.16) (Figure 4.26) in order to evaluate the effect of higher epoxide functionality on the properties of the copolymers. The products (4.12) were analyzed by GPC, MALDI-TOF-MS and } ^1\text{H NMR as before and the properties of the copolymers (ERO-THF, 4.12) are tabulated in Table 4.8.}
\end{align*}
\]
Table 4.8 Properties of (4.12)
| Entry | Monomer ratio THF : (2.13) (g : ml) | Mol equivalent of BF$_3$.Et$_2$O | Yield (%) | Gel permeation chromatography |
|-------|-----------------------------------|-------------------------------|-----------|-----------------------------|
| | | | | M$_w$ (Da) | M$_n$ (Da) | PDI |
| 1 | 50 : 1 | 0.02 | Gelled | - | - | - |
| 2 | 80 : 1 | 0.02 | 95 | 229000 | 53900 | 4.25|
| 3 | 100 : 1 | 0.02 | 97 | 276000 | 74300 | 3.71|
M$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index
In comparison to (2.17), the copolymerization of (2.13) needed more THF as solvent to prevent gelation of the reaction mixture, in which the ratio between THF and (ERO,X) must be at least 80 : 1 (THF : 2.13) to yield liquid copolymers. When the ratio was 100 : 1 (THF : 2.13), the yield of the copolymers was about 97% and the $M_n = 74300$ Da.
MALDI-TOF-MS analysis of (4.12) (Figure 4.27) shows a peak at 1170 Da which corresponds to a ring opened (2.13) plus 3 units of THF (4.13), while peak at 1262 Da correspond to (4.14) (Figure 4.28). Subsequent peaks are (4.14) plus additional units of THF (72 Da) as shown in Figure 4.27.
**Figure 4.27** MALDI-TOF-MS spectrum of (4.12) by using DHB as the matrix in the analysis
Figure 4.28 Copolymers of (2.13) and THF, (4.13) and (4.14)
The stacked 400 MHz $^1$H NMR spectrum of (2.13) and (4.12) (Figure 4.29) shows that the epoxide group of (2.13) at 2.84-3.22 ppm was ring opened to copolymerize with THF. The larger incorporation of THF to the copolymer can also be seen.
Figure 4.29 400 MHz $^1$H NMR spectrum of (2.13) and (4.12) in CDCl$_3$
4.9 COPOLYMERS OF EPOXIDIZED SOYBEAN OIL AND TETRAHYDROFURAN
The copolymerization of epoxidized soybean oil (2.6) with THF was conducted in similar method as epoxidized rapeseed oil (2.13) (Figure 4.30).
Table 4.9 Properties of (4.15)
| Entry | Monomer ratio THF : (2.6) (g : ml) | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |
|-------|----------------------------------|---------------------------|-----------|------------------------------|
| | | | | Mₜ (Da) | Mₙ (Da) | PDI |
| 1 | 50 : 1 | 0.02 | Gelled | - | - | - |
| 2 | 80 : 1 | 0.02 | 96 | 233000 | 57800 | 4.03|
| 3 | 100 : 1 | 0.02 | 98 | 364000 | 115000 | 3.17|
Mₜ = weight average molecular weight, Mₙ = number average molecular weight, PDI = polydispersity index
Similar to (2.13), the copolymerization of (2.6) needed more THF as solvent to prevent gelation of the reaction mixture, in which the ratio between THF and (2.6) must be at least 80 : 1 (THF : 2.6) to yield liquid copolymers. When the ratio was 100 : 1 (THF : 2.6), the yield of the copolymers was about 97% and the number
average molecular weight was about 115000 Da, which is higher than (4.12) because of the additional epoxide group of (2.6).
MALDI-TOF-MS analysis of (4.15) (Figure 4.31) shows a peak at 1033 Da which corresponds to a ring opened (2.6) (4.16), while peak at 1103 Da correspond to (4.17) (Figure 4.32). Subsequent peaks are (4.17) plus additional units of THF (72 Da) as shown in Figure 4.31.
**Figure 4.31** MALDI-TOF-MS spectrum of (4.15) by using DHB as the matrix in the analysis
**Figure 4.32** Copolymers of (2.6) and THF, (4.16) and (4.17)
Similarly to (4.12), the stacked 400 MHz $^1$H NMR spectrum of (2.6) and (4.15) shown below (Figure 4.33) shows the large amount of THF incorporated.
**Figure 4.33** Stacked 400 MHz $^1$H NMR spectrum of (2.6) and (4.15) in CDCl$_3$
### 4.10 COPOLYMERS OF EUPHORBIA OIL AND TETRAHYDROFURAN
**Figure 4.34** Copolymerization of (2.18) with THF
The copolymerization of euphorbia oil (2.18) with THF was conducted in similar method as epoxidized soybean oil (2.6) (Figure 4.34).
Table 4.10 Properties of (4.18)
| Entry | Monomer ratio (g : ml) | Mol equivalent of BF₃.Et₂O | Yield (%) | Gel permeation chromatography |
|-------|------------------------|----------------------------|-----------|------------------------------|
| | THF : (2.18) | | | Mₜ (Da) Mₙ (Da) PDI |
| 1 | 20 : 1 | 0.02 | Gelled | - - - |
| 2 | 30 : 1 | 0.02 | 97 | 112000 33500 3.34 |
Mₜ = weight average molecular weight, Mₙ = number average molecular weight, PDI = polydispersity index
The liquid copolymers of (2.18) and THF can be produced at lower monomer ratio (THF : 2.18) as compared to (2.6) due to the lower epoxide functionality of EuO. The optimum monomer ratio was 30 : 1, which yielded 97% copolymers that have an average molecular weight of 33500 Da. The 400 MHz ¹H NMR spectrum of (4.18) shows similar peaks exhibited by previous plant oils and MALDI-TOF-MS analysis of (4.18) shows a peak at 1150 Da which corresponds to a (4.19), while peak at 1190 Da correspond to (4.20) (Figure 4.35).
Figure 4.35 Copolymers of (2.18) and THF, (4.19) and (4.20)
4.11 SUMMARY OF COPOLYMERIZATION OF EPOXIDIZED OILS AND TETRAHYDROFURAN
The following Table 4.11 shows the properties of copolymers of THF with epoxidized methyl oleate (2.3) and the 5 types of epoxidized plant oils (2.16, 2.17, 2.13, 2.6 and 2.18). These copolymers were produced through the optimum reaction conditions (yield) found for each type of oils. The reaction products were analyzed by $^1$H NMR and GPC.
Table 4.11 Properties of copolymers from ring opened epoxidized oils and THF
| EO | THF:EO | Mol eq. | Yield (%) | GPC | OHV | AV |
|------|--------|---------|-----------|--------------|-----|----|
| | | | | M$_w$ (Da) | M$_n$ (Da) | PDI | |
| 2.3 | 20:1 | 0.05 | 97 | 54100 | 26100 | 2.07 | 25 | 7 |
| 2.16 | 5:1 | 0.1 | 93 | 83200 | 29600 | 2.80 | 27 | 1 |
| 2.17 | 30:1 | 0.02 | 97 | 366000 | 55800 | 6.56 | 40 | 1 |
| 2.18 | 30:1 | 0.02 | 97 | 112000 | 33500 | 3.33 | 33 | 1 |
| 2.13 | 100:1 | 0.02 | 97 | 276000 | 74300 | 3.71 | 48 | 1 |
| 2.6 | 100:1 | 0.02 | 98 | 364000 | 115000| 3.17 | 56 | 1 |
EO = epoxidized oil, THF:EO = monomer ratio (ml : g), Mol eq. = mol equivalent of BF$_3$.Et$_2$O, GPC = gel permeation chromatography, M$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index, OHV = hydroxyl value (mg KOH/g), AV = acid value (mg KOH/g)
The copolymerization reaction of THF with epoxidized oils (2.3) and (2.16) that have one epoxy group per molecule will not form cross-linked polymer even when catalyzed by 0.05 mol equivalent of BF$_3$.Et$_2$O and both the epoxidized oils (2.3 and 2.16) gave good yield of oligomeric polyols (97%, 93% respectively) with relatively
low PDI. The relatively high AV for (2.3) indicates significant hydrolysis during the reaction. While for epoxidized plant oils with multiple epoxide groups per molecule (2.17, 2.13, 2.6 and 2.18) the amount of catalyst must be less than 0.03 mol equivalents of BF$_3$.Et$_2$O to avoid formation of cross-linked products. Furthermore, the monomer ratio (THF : EO) for epoxidized oils increases with more epoxide groups per molecule as shown in Table 4.11 to avoid formation of cross-linked products. In general, epoxidized plant oils with more epoxides per molecule lead to larger molecular weights and hydroxyl values as expected.
Both (2.18) and (2.17) have 2 epoxide groups per molecule but (2.18) has 3 alkenes while (2.17) has none. Referring to Table 4.11, the copolymers made from (2.17) has higher $M_n$ and OHV than copolymers made from (2.18). This indicates that the alkenes of (2.18) has affected the properties of the copolymers and we think that the extra ‘kink’ on the fatty acid hydrocarbon chain of (2.18) is responsible for the lower $M_n$ and OHV of copolymers from (2.18). The epoxidized oils (2.13) and (2.6) have 4 and 5 epoxide groups per molecule respectively, which are higher than the other epoxidized plant oils in this study. This high epoxide content led to higher $M_n$ value and hydroxyl values.
The acid values of the copolymers (1 mg KOH/g) are considered low and acceptable for use in PU formulation and this indicates little hydrolysis happened during the copolymerization reaction; however copolymers based on (2.3) have a higher acid value due to the relative ease of hydrolysis of the methyl ester group. The hydroxyl value of the copolymers ranges from 25 to 60 mg KOH/g sample, depending on the starting material. In general, plant oils with a higher amount of epoxide functionality
will produce a higher hydroxyl value because the hydroxyl functionality was produced from the epoxide group through epoxide ring opening reactions.
In summary, copolymers of THF and various epoxidized plant oils can be prepared through ring opening polymerization catalyzed by BF$_3$.Et$_2$O. The properties of the copolymers depend on the degree of unsaturation of the plant oils as well as the reaction conditions (monomer ratio, catalyst amount, reaction temperature and reaction time).
These copolymers have hydroxyl groups that can react with diisocyanates, therefore they can theoretically be used to make polyurethane (PU) products. In the later sections, we will evaluate the properties of PU products made from these copolymers with PU product made from homopolymerization of THF.
4.12 EFFECT OF WATER CONTENT ON THE PROPERTIES OF THE COPOLYMERS
Figure 4.36 Copolymerization of THF and epoxidized oils
Earlier in Section 4.1 (page 131), the screening of chemical compounds as potential catalyst for the copolymerization reaction between THF and epoxidized plant oils was discussed. Two boron based compounds were identified as suitable catalysts for
the copolymerization reaction, they were $\text{BF}_3.\text{Et}_2\text{O}$ and $\text{HBF}_4$. The two boron based compounds were used to catalyze the copolymerization reaction of THF with (2.3) and (2.17) under same reaction conditions in order to evaluate the catalytic activities of both compounds (Figure 4.36). The results of this study were tabulated in Table 4.12.
Table 4.12 Properties of copolymers of THF and epoxidized oils
| EO | THF:EO | Mol eq. | Catalyst | Polymer content (%) | GPC |
|------|--------|---------|--------------|---------------------|--------------|
| | | | | | $M_w$ (Da) | $M_n$ (Da) | PDI |
| 2.3 | 5:1 | 0.05 | $\text{BF}_3.\text{Et}_2\text{O}$ | 87 | 22900 | 11400 | 2.00 |
| 2.3 | 5:1 | 0.05 | $\text{HBF}_4$ | 56 | 3400 | 2700 | 1.26 |
| 2.17 | 30:1 | 0.02 | $\text{BF}_3.\text{Et}_2\text{O}$ | 97 | 366000 | 55800 | 6.56 |
| 2.17 | 30:1 | 0.02 | $\text{HBF}_4$ | 95 | 85000 | 22500 | 3.78 |
$EO = \text{epoxidized oil}, \text{THF}:EO = \text{monomer ratio (ml : g)}, \text{Mol eq.} = \text{mol equivalent of BF}_3.\text{Et}_2\text{O}, \text{GPC} = \text{gel permeation chromatography}, M_w = \text{weight average molecular weight}, M_n = \text{number average molecular weight}, \text{PDI} = \text{polydispersity index},$
Referring to Table 4.12, for both epoxidized plant oils with mono-epoxide (2.3) and multi-epoxides (2.17) group per molecule, the $\text{BF}_3.\text{Et}_2\text{O}$ catalyzed reactions yielded copolymers with larger molecular weight ($M_n$) and higher polymer content. One of the main differences between $\text{BF}_3.\text{Et}_2\text{O}$ and $\text{HBF}_4$ is that $\text{HBF}_4$ was supplied in the form of 48% in water, while $\text{BF}_3.\text{Et}_2\text{O}$ was supplied in solution of 48% in ethyl ether.
It is proposed that water content of $\text{HBF}_4$ has significant effect on the properties of the copolymers. Therefore, the effect of water content in the reaction system on the properties of copolymers was evaluated by adding specific amounts of water into the reaction system. The study was conducted with (2.17) as the epoxidized oil (Figure 4.37) and the results of this study were tabulated in Table 4.13.
Figure 4.37 Copolymerization of (2.17) and THF with addition of water
Table 4.13 Properties of copolymers from copolymerization reaction with addition of water
| Entry | THF:EO | Mol eq. | Addition of water (µL) | Water content (% w/w) | Polymer content (%) | GPC | M<sub>w</sub> (Da) | M<sub>n</sub> (Da) | PDI |
|-------|--------|---------|------------------------|-----------------------|---------------------|-----|-------------------|------------------|-----|
| 1 | 10:1 | 0.02 | 0 | 0.03 | Gelled | - | - | - | - |
| 2 | 10:1 | 0.02 | 1 | 0.04 | Gelled | - | - | - | - |
| 3 | 10:1 | 0.02 | 5 | 0.08 | 92 | 81600 | 18700 | 4.36 | |
| 4 | 10:1 | 0.02 | 10 | 0.13 | 78 | 12800 | 7900 | 1.62 | |
| 5 | 10:1 | 0.02 | 100 | 1.06 | 0 | - | - | - | |
THF:EO = monomer ratio (ml : g), Mol eq. = mol equivalent of HBF<sub>4</sub>, GPC = gel permeation chromatography, M<sub>w</sub> = weight average molecular weight, M<sub>n</sub> = number average molecular weight, PDI = polydispersity index
The results in Table 4.13 clearly show that increasing the amount of water in the reaction system impeded the copolymerization reaction, in which at a low level of water content (Entry 1), the product was a cross-linked copolymer while at 1% water content (Entry 5), the reaction did not produce any copolymers. Comparing the data from Entry 3 and 4, the additional amount of water in Entry 4 significantly reduced the polymer content and molecular weight of copolymers. This information provides another method to control the molecular weight of the copolymer by addition of specific amounts of water into the reaction system.
4.13 HOMOPOLYMERIZATION OF TETRAHYDROFURAN CATALYZED BY TRIFLIC ACID
\[
n \text{O} \xrightarrow{\text{CF}_3\text{SO}_3\text{H}} \xrightarrow{60^\circ\text{C}, 8\text{ h}} \text{H}^+\text{O}\left(\text{CH}_2\text{CH}_2\text{O}\right)_n\text{H}
\]
(4.19)
The homopolymerization of THF was conducted according to method published by Dorai\textsuperscript{105} et al. The purpose of this work is to prepare homopolymers of THF as a benchmark in our study on the properties of PU made from copolymers of THF and epoxidized plant oils. The homopolymer of THF (4.19) was analyzed by GPC, MALDI-TOF-MS and $^1$H NMR. The Table 4.14 shows the properties of (4.19).
Table 4.14 Properties of (4.19)
| Mol eq. | Polymer content (%) | GPC | OHV | AV |
|---------|---------------------|--------------|-----|----|
| | | M_w (Da) | M_n (Da) | PDI |
| 0.08 | 100 | 33800 | 18000 | 1.87 |
Mol eq. = mol equivalent of CF$_3$SO$_3$H, GPC = gel permeation chromatography, M$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index, OHV = hydroxyl value (mg KOH/g), AV = acid value (mg KOH/g)
GPC analysis shows that the (4.19) has a M$_n$ = 18000 Da. While MALDI-TOF-MS analysis of (4.19) (Figure 4.38) shows a peak at 958 Da, which corresponds to sodium adduct of homopolymerized 13 units of THF (4.20) (Figure 4.39). The other peaks are (4.20) plus additional unit of the THF. The prepared (4.19) has hydroxyl functionality that can be used to make PU.
4.14 ATTEMPTED COPOLYMERIZATION OF EPOXIDIZED PLANT OILS WITH OTHER HETEROCYCCLICS
In earlier sections, the successful copolymerization of THF with epoxidized plant oils was discussed. This prompts a study to look into the possibility of copolymerizing epoxidized plant oils with other heterocyclics by using the same optimized reaction condition for copolymerization of epoxidized plant oils and THF. The first two heterocyclics that were evaluated were the analogue of THF, namely 2-methyl tetrahydrofuran (4.21) and 3-methyl tetrahydrofuran (4.22) (Figure 4.40) in order to know whether the extra methyl group at position 2 and 3 of THF ring will
affect the copolymerization reaction. The reactions were conducted with monomer ratio 20:1 (THF analogue: 2.17; ml:g) and with other reaction conditions as shown in Figure 4.40.
\[
\begin{align*}
\text{O} & \quad + \quad \text{O} \\
\text{C}_3\text{H}_6\text{O} & \quad + \quad \text{C}_5\text{H}_8\text{O} \\
(4.21) & \quad (2.17)
\end{align*}
\]
0.1 mol eq. BF$_3$·Et$_2$O
20 °C, 24 h
Copolymer
Figure 4.40 Copolymerization of (2.17) with (4.21) and (4.22)
After several attempts, the reactions failed to produce any copolymers of (2.17) and (4.21) or (4.22). Literature on homopolymerization of (4.21) pointed out that the (4.21) was not able to polymerize with BF$_3$·Et$_2$O, SbCl$_5$ or 4-ClC$_6$H$_4$N$_2$PF$_6$ because of an unfavorable thermodynamic factor for ring opening of (4.21). Furthermore, during THF polymerization reaction, the attack of activated THF is at the α position of the oxygen atom, therefore, methyl substitution at the α position hinders the polymerization reaction. Chiang et al. show that (4.22) can be polymerized using high amounts (>10% mol) of catalysts such as PF$_5$ and low reaction temperature (-22 °C) for 45 days to yield 40% poly(3-methyltetrahydrofuran).
4.15 COPOLYMERIZATION OF EPOXIDIZED PLANT OILS WITH ε - CAPROLACTONE
The ε-caprolactone (4.23) was copolymerized with (2.17) using the same reaction conditions employed for the synthesis of EPO-THF (4.10) (Figure 4.41) to yield copolymer (4.24). The results of the copolymerization were tabulated in Table 4.15.
**Figure 4.41 Copolymerization of (4.23) with (2.17)**
| Entry | (4.23 : 2.17) | Mol eq. | Polymer content (%) | GPC |
|-------|---------------|---------|---------------------|--------------|
| | | | | M_w (Da) | M_n (Da) | PDI |
| 1 | 0.25 : 1 | 0.05 | 77 | 9000 | 6200 | 1.45|
| 2 | 0.5 : 1 | 0.05 | 68 | 7700 | 5600 | 1.37|
| 3 | 1 : 1 | 0.05 | 54 | 6400 | 5400 | 1.18|
(4.23 : 2.17) = monomer ratio (mol : mol), Mol eq. = mol equivalent of BF₃.Et₂O, GPC = gel permeation chromatography, M_w = weight average molecular weight, M_n = number average molecular weight, PDI = polydispersity index.
The result in Table 4.15 shows that the average molecular weight of (4.24) as well as the polymer content decreases with increasing monomer ratio of (4.23) to (2.17) in the starting mixture. This indicates that the (4.23) retards the oligomerization of (2.17).
GPC analysis shows that the average molecular weight of (4.24) was about 6200 Da. MALDI-TOF-MS analysis of (4.24) (Figure 4.42) shows a peak at 1177 Da (Figure 4.43) that correspond to structure (4.25), while additional peaks are (4.25) plus additional units of (4.23). Furthermore, oligomers of (2.17) plus a unit of (4.23) was also detected with a peak at 1953 Da, which corresponds to structure (4.26).
$^1$H NMR spectroscopy (Figure 4.44) shows that copolymers of (4.24) have the ring-opened $\varepsilon$-caprolactone moiety at 4.06 ppm ($\varepsilon$-CH$_2$) and 3.61 ppm (HO-CH$_2$) as well as the ether and hydroxyl moiety of copolymers at 3.58 – 3.10 ppm. Furthermore, epoxide ring opening by carboxylic group of (4.23) was also detected by $^1$H NMR at 4.84 ppm.
Figure 4.42 MALDI-TOF-MS spectrum of (4.24) by using DHB as the matrix of the analysis
Figure 4.43 Copolymers of (4.24)
Figure 4.44 400 MHz $^1$H NMR spectrum of (4.24) in CDCl$_3$
4.16 POLYURETHANES MADE FROM COPOLYMERS OF EPOXIDIZED PLANT OILS AND TETRAHYDROFURAN
The prepared copolymers of epoxidized plant oils and tetrahydrofuran were used as starting materials for making polyurethane (PU) samples. These copolymers were reacted with 4,4'-diphenylmethane diisocyanate (MDI) and yielded quantitative amount of PU samples (Figure 4.45).
The ratio between the isocyanate group (NCO) and the hydroxyl group (OH) was kept at 1.05 to 1 (NCO/OH ratio = 1.05) in order to ensure that all the hydroxyl groups of copolymers were fully reacted and the PU samples were fully cured when the excess isocyanate group reacted with moisture from the air.
The PU synthesis was based on the six copolymers (4.4, 4.7, 4.10, 4.12, 4.15 and 4.18) and they were reacted with MDI according to ratio describe above. In addition, we have also included homopolymerized THF (4.19) as a control in the PU analysis. The PU samples made from these copolymers were cross-linked polymers, which
indicate that all the copolymers have 2 or more hydroxyl functionality that enable the formation of cross-linked polymer.
Tensile testing was carried out on these PU samples in order to give a better understanding of the strength of these PU. Figure 4.46 shows the stress-strain curve of PU made from each type of copolymers. Furthermore, swelling tests was conducted on the PU samples in order to determine the cross-linking density of the PU samples by using the Flory-Rehner equation.\textsuperscript{95} The following Table 4.16 shows the properties of the PU samples made from these copolymers.
**Figure 4.46** Stress-strain curves of PU samples made from copolymers according to method EN ISO 529-4: 1997(CEN1997a)
**4.19PU** – PU based on homopolymerized THF; (4.19)
**4.4PU** – PU based on copolymer of epoxidized methyl oleate (2.3) and THF; (4.4)
**4.7PU** – PU based on copolymer of epoxidized cocoa butter (2.16) and THF; (4.7)
**4.10PU** – PU based on copolymer of epoxidized palm oil (2.17) and THF; (4.10)
4.12PU – PU based on copolymer of epoxidized rapeseed oil (2.13) and THF; (4.12)
4.15PU – PU based on copolymer of epoxidized soybean oil (2.6) and THF; (4.15)
4.18PU – PU based on copolymer of euphorbia oil (2.18) and THF; (4.18)
Table 4.16 Properties of PU samples made from copolymers
| PU | Tensile strength (MPa) | Elongation at break (%) | Cross-link density x 10^{-4} (mol/cm^3) |
|------|------------------------|-------------------------|----------------------------------------|
| 4.19PU | 8.3 | 6 | 0.65 |
| 4.4PU | 5.3 | 350 | 3.23 |
| 4.7PU | 5.9 | 610 | 3.38 |
| 4.10PU | 9.1 | 425 | 5.30 |
| 4.12PU | 10.5 | 510 | 6.05 |
| 4.15PU | 9.5 | 250 | 7.52 |
| 4.18PU | 5.0 | 140 | 3.95 |
Referring to Table 4.16 and Figure 4.46, the (4.19PU) shows significantly high tensile strength (8.3 MPa) but low elongation (6%). The tensile strength of (4.19PU) comes from the intermolecular force between polymer chains of (4.19) as the polymer chains of (4.19) are more regular in structure, which can form semicrystalline structure in (4.19PU) and this semicrystalline structure acts as a physical cross-link in the PU polymer matrix.\textsuperscript{110} However, the cross-link density of (4.19PU) was low (0.65 x 10^{-4} mol/cm^3) because both the (4.19) and MDI are bifunctionals molecules that usually form linear polymers.
Both copolymers (4.4 and 4.7) were made from epoxidized oils with one epoxide group and the hydroxyl values of both copolymers were relatively lower than other copolymers. Therefore, the cross-link densities exhibited by PU made from both copolymers (4.4PU and 4.7PU) were relatively low (3.2-3.4 x 10^{-4} mol/cm^3). This
relatively low cross-link density translated to tensile strength in the region of 5.3 MPa to 5.9 MPa. However, there is a significant difference between these two PU as the elongation at break for (4.7PU) was significantly higher than (4.4PU). This better performance of (4.7PU) can be attributed to the plasticizing effect from the saturated fatty acid chains found in (4.7PU), which originated from epoxidized cocoa butter (2.16).
In comparison, (4.10PU) made from copolymers based on epoxidized palm oil (2.17), which has two epoxides functionality has a higher cross-link density and tensile strength exhibited than both (4.4PU and 4.7PU). However, the higher cross-link density also contributed to lower elongation at break as compared to (4.7PU). On the other hand, (4.18PU) made from (4.18) copolymers exhibited lower tensile strength and elongation at break as compared to (4.10PU) even though the copolymers (4.18) were made from euphorbia oil (2.18), which has the same level of epoxide functionalites as (2.17). As discussed earlier in Section 4.11 (page 156), the copolymer (4.18) has a lower hydroxyl value (33 mg KOH/g) as compared to (4.10) (40 mg KOH/g) due to the alkene groups still remaining in (4.18). The lower hydroxyl value of (4.18) contributed to lower cross-link density, tensile strength and elongation at break of (4.18PU). In addition, it is proposed that the extra ‘kink’ from alkene groups (4.18PU) also contributed to lower performance of (4.18PU) as compared to (4.10PU) by obstructing the packing of the PU polymer chains, which reduced the intermolecular force of the PU polymer chains.
Referring to Figure 4.46, (4.12PU) exhibited the highest tensile strength among all the PU samples. This is due to the relatively high cross-link density of (4.12PU),
which was contributed by the relatively higher hydroxyl value of (4.12) (48 mg KOH/g). In contrast, the (4.15PU) has a higher cross-link density than (4.12PU) due to the higher hydroxyl value of (4.15). However, the elongation at break of (4.15PU) was lower than (4.12PU) even though they have similar tensile strength. It is proposed that the cross-link density of (4.15PU) was now too high and that it made the PU (4.15PU) stiffer, which restricted the elongation of (4.15PU), resulting in lower elongation at break.
4.17 POLYURETHANES MADE FROM COPOLYMERS OF EPOXIDIZED PLANT OILS AND ε - CAPROLACTONE
\[
\begin{align*}
\text{OCN} & \quad \text{MDI} \\
& + \\
\text{HO} & \quad \text{R} & \quad \text{OH} \\
(4.24)
\end{align*}
\]
\[
\begin{align*}
\left[ \text{O} & \quad \text{C} & \quad \text{O} & \quad \text{N} & \quad \text{H} & \quad \text{N} & \quad \text{H} & \quad \text{O} & \quad \text{O} & \quad \text{R} & \quad \text{O} & \quad \text{O} & \quad \text{C} & \quad \text{O} & \quad \text{C} \right]_n \\
(4.24PU)
\end{align*}
\]
Figure 4.47 Synthesis of PU from MDI and (4.24)
The copolymers of (4.24) made from epoxidized palm oil (2.17) and ε-caprolactone (4.23) were reacted with MDI (Figure 4.47) according to reaction condition described in Section 4.16 to produce (4.24PU). The (4.24PU) was subjected to tensile strength evaluation as well as swelling test in order to evaluate the physical properties of the PU. The following Figure 4.48 shows the stress-strain curve of (4.24PU).
Figure 4.48 Stress-strain curve of (4.24PU) according to method EN ISO 529-4: 1997(CEN1997a)
Figure 4.48 show that (4.24PU) has relatively low tensile strength and elongation at break. This may be due to the relatively low average molecular weight of (4.24), which range from 5000 Da to 6000 Da as compared to THF based copolymers which range from 26000 Da to 110000 Da. The properties of cross-linked PU, such as tensile strength and elongation generally increase with the increasing molecular weight of the polyols.\textsuperscript{101}
\subsection*{4.18 THERMAL PROPERTIES OF POLYURETHANES MADE FROM COPOLYMERS}
Thermal gravimetric analysis (TGA) and differential scanning calorimetry (DSC) were conducted on the prepared PU samples made from copolymers in order to evaluate the thermal properties of these PU samples. In addition, PU made from
homopolymerized THF (4.19) was also evaluated for comparison purposes. The following are the results of the thermal analysis.
**Thermal gravimetric analysis (TGA)**
The following Figure 4.49 and 4.50 show the TGA analysis of PU samples made from copolymers and (4.19).
*Figure 4.49 TGA analysis of PU samples (4.4PU, 4.7PU and 4.10PU) and (4.19)*
*Figure 4.50 TGA analysis of PU samples (4.12PU, 4.15PU and 4.18PU)*
Referring to Figure 4.49 and 4.50, the PU made from copolymers and homopolymers of THF started to degrade at about 300 °C. The TGA analysis also shows that some of the PU samples (4.4PU and 4.18PU) exhibit a minor component and a major component in the samples. The minor component could be unreacted fatty acids / triglycerides. Meanwhile, the evaluated PU samples (4.7PU, 4.10PU, 4.12PU and 4.15PU) exhibit one component in the samples. All the PU samples were thermally stable up to 300 °C before they all start degrading.
**Differential Scanning Calorimetry (DSC)**
The following Figure 4.51 and 4.52 show the DSC analysis of PU samples made from the copolymers. The DSC analysis shows that all the PU made from the copolymers have glass transition temperatures (Tg) at about -70 °C. This low Tg contributed to the flexibility of the PU and they are able to remain flexible even at low temperatures. Furthermore, each of the PU samples exhibited a softening/melting point at temperature ranges from 10 °C to 45 °C, depending on the copolymers used in making the PU before they degraded at 300 °C.
*Figure 4.51 DSC analysis of PU samples (4.19PU, 4.4PU, 4.7PU and 4.10PU)*
4.19 SUMMARY
The prepared epoxidized plant oils (2.3, 2.16, 2.17, 2.13, 2.6 and 2.18) can be copolymerized with THF to yield copolymers polyols through cationic ring opening reaction of both epoxide and THF catalyzed by $\text{BF}_3\cdot\text{Et}_2\text{O}$. The copolymerization reaction was affected by the amount of catalyst, reaction temperature, reaction duration and the ratio between the two monomers (epoxidized plant oils and THF).
The properties of the copolymers also depended on the degree of unsaturation of the plant oils. Plant oils with low unsaturation [methyl oleate (2.8), cocoa butter (2.9)] will yield copolymers with lower molecular weights (4.4 and 4.7); while plant oils with two or more unsaturations will produce high molecular weight copolymers and higher hydroxyl values (4.10, 4.12, 4.15 and 4.18).
The prepared copolymers were used to make PU samples. PU based on copolymers made from plant oil with low levels of unsaturation (2.3, 2.16) formed PU samples (4.4PU and 4.7PU) with lower levels of tensile strength but with acceptable elongation (flexibility). In fact, (4.7PU) showed the highest elongation at break due to the plasticizing effect from the saturated fatty acid chains found in (4.7PU). These PU samples (4.4PU and 4.7PU) have suitable mechanical properties for making elastomeric PU that requires very good flexibility. On the other hand, PU samples based on copolymers made from plant oils with higher levels of unsaturation (4.10PU, 4.12PU and 4.15PU) exhibited higher tensile strength and elongation. The highest tensile strength was exhibited by (4.12PU). These PU samples have suitable mechanical properties for making semi-flexible PU elastomers that require high tensile strength with some flexibility.
Thermal gravimetric analysis (TGA) shows that most the PU samples made from copolymers were stable up to 300 °C. The TGA analysis also shows that PU samples (4.4PU and 4.18PU) exhibit a minor component and a major component in the samples. The minor component could be unreacted fatty acids/triglycerides. Meanwhile, PU samples (4.7PU, 4.10PU, 4.12PU and 4.15PU) exhibit one component in the samples. The DSC analyses also reveal that all the PU samples have melting/softening points between 10 °C to 45 °C, depending on the copolymers used in making the PU sample. The DSC analysis also shows that all the PU samples have glass transition temperatures at about -70 °C, which is relatively low and this makes them suitable for applications that require low temperature flexibility.
CHAPTER 5 – ONE-POT OLIGOMERIZATION OF PLANT OIL DERIVATIVES
5.0 INTRODUCTION
On a commercial scale, the epoxidation of unsaturated plant oil (5.1) is carried out through the Prileshajev reaction, in which a peroxy acid is the epoxidation agent generated from a short-chain organic acid such as formic acid\textsuperscript{111} (Figure 5.1). However, the selectivity of this reaction seldomly exceeds 90% due to side reactions such as dimerization of epoxidized plant oil (5.2) through ring opening of epoxide group by hydroxylated plant oil (5.3) generated \textit{in-situ} during the reaction (Figure 5.2). The amount of dimerized plant oil (5.4) found in the reaction products was about 2% as analyzed by the GPC method.\textsuperscript{111} In addition, analysis results reported in Chapter 2 (page 60) show that during the epoxidation of (5.1) with a tungsten based catalyst system, the reaction produced about 4% of (5.4) as a side product. In general, the amount of oligomers generated as side products during epoxidation of (5.1) was about 2% to 4%.
\[
\begin{align*}
\text{Figure 5.1 Epoxidation of palm oil with formic acid and hydrogen peroxide}
\end{align*}
\]
Figure 5.2 Dimerization of epoxidized plant oil
In comparison, more significant amount of oligomeric products were obtained during the ring-opening of epoxidized soybean oil (2.6) with water\textsuperscript{85} catalyzed by phosphoric acid. Likewise, the ring-opening of epoxidized soybean oil in methanol\textsuperscript{86} catalyzed by fluoroboric acid was also reported to produce about 20% oligomers of triglycerides. In addition, results in Chapter 2 (page 94) show that oligomeric plant oils can be produced from homopolymerization of epoxidized plant oils in good yield. However, this process requires two steps namely epoxidation followed by epoxide ring opening. This prompted a study to investigate the possibility of producing oligomeric plant oils using a one-pot method.
5.1 DIRECT OLIGOMERIZATION OF PLANT OIL WITH TUNGSTEN BASED CATALYST
Figure 5.3 Oligomerization of unsaturated plant oils
Having established that low oligomerization (2-4%) can occur during the epoxidation reaction of rapeseed oil catalyzed by tungsten powder as described in Chapter 2
(page 60), the next step was to investigate how the amount of oligomers can be increased by a) changing the catalyst ($\text{Na}_2\text{WO}_4$) and b) changing the plant oils feedstock (rape, palm, soy etc). The effect of these changes was compared at 100 °C (Figure 5.3). The experimental conditions for this study were listed in Table 5.1 and the results of this study were tabulated in Table 5.2.
Table 5.1 Experiments conducted with various plant oils and reaction conditions
| Entry | Plant oil | Catalyst | Mol equivalent |
|-------|--------------------|------------|----------------|
| 1 | Palm | $\text{Na}_2\text{WO}_4$ | 100: 2: 2: 500: 0: 0 |
| 2 | Soy | $\text{Na}_2\text{WO}_4$ | 100: 2: 2: 500: 0: 0 |
| 3 | 50%Palm + 50% Soy | $\text{Na}_2\text{WO}_4$ | 100: 2: 2: 500: 0: 0 |
| 4 | Rapeseed | $\text{Na}_2\text{WO}_4$ | 100: 2: 2: 500: 0: 0 |
| 5 | Rapeseed | $\text{Na}_2\text{WO}_4$ | 100: 2: 2: 150: 0: 0 |
| 6 | 50%Palm + 50% Soy | W powder | 100: 0.5: 0.3: 95: 65: 1450 |
| 7 | Rapeseed | W powder | 100: 0.5: 0.3: 95: 65: 1450 |
Mol equivalent = (alkene:catalyst:PTC:$\text{H}_2\text{O}_2$:Acid:$\text{H}_2\text{O}$), PTC= phase transfer catalyst Adogen 464; Acid= $\text{H}_3\text{PO}_4$
Table 5.2 Analysis results of reaction products
| Entry | Oligomer (%) | $M_w$ (Da) | $M_n$ (Da) | PDI | Yield % |
|-------|--------------|------------|------------|-----|---------|
| 1 | 20 | 2800 | 2600 | 1.08| 85 |
| 2 | 24 | 3100 | 2700 | 1.15| 88 |
| 3 | 33 | 3300 | 2800 | 1.18| 85 |
| 4 | 27 | 2900 | 2600 | 1.12| 84 |
| 5 | 18 | 5600 | 4900 | 1.20| 83 |
| 6 | 23 | 3600 | 3100 | 1.16| 83 |
| 7 | 39 | 11300 | 6700 | 1.67| 81 |
$M_w =$ weight average molecular weight, $M_n =$ number average molecular weight, PDI = polydispersity index
Referring to Table 5.2, direct oligomerization of palm oil (Entry 1) with $\text{Na}_2\text{WO}_4$ yielded 19.5% oligomers and GPC analysis showed that the oligomers have a $M_n$ of about 2600 Da, which indicates the formation of mainly dimers. The low amount of oligomers could be attributed to the relatively low unsaturation in palm oil. The $^1\text{H}$ NMR spectrum of the product shows a significant peak at 3.2 -2.8 ppm, which indicates unreacted epoxide groups. When plant oils with higher alkene contents were used as the starting material, namely soya bean oil (Exp. 2), the amount of oligomers formed (24%) in the reaction product was higher than palm oil (19%) while the $^1\text{H}$ NMR analysis shows the complete disappearance of the epoxide moiety, which suggests more effective formation of oligomers due to the higher amount of alkene group in the starting material.
**Mixture of palm and soy oil**
When an equal mixture of palm and soy oil was used (Exp. 3) as starting material, the amount of oligomers formed in the product was measured at 32.8%. This is significantly higher than observed in experiments conducted with pure soy (Exp. 2) or pure palm oil (Exp. 1). This suggests that the combination of soy and palm oil enhances the formation of oligomers in some way and may be due to the almost equal amount of oleic and linoleic acid found in the 50:50 mixtures of soy and palm oil.
In general the highest level of oligomers was formed using our original tungsten powder procedure (Entry 7, 39%) but this was not high enough to be useful as a one pot oligomerization procedure.
5.2 OLIGOMERIZATION OF OLEIC ACID
Due to the complexity of the triglyceride mixtures, similar reactions were conducted on simple fatty acids as model compounds (Figure 5.4). Oleic acid (5.5) (a monounsaturated fatty acid) was subjected to the oligomerization reaction with $\text{Na}_2\text{WO}_4$ as the catalyst and Adogen 464 as the phase transfer catalyst (PTC). These experiments were conducted with $\text{Na}_2\text{WO}_4$ as opposed to W powder because of a simpler experiment procedure. The gel permeation chromatography (GPC) analysis shows that 75% of the crude product from the reaction consists of dimer and higher oligomers. A detailed analysis is shown below (Table 5.3).
**Figure 5.4** Oligomerization of (5.5) with $\text{Na}_2\text{WO}_4$ and $\text{H}_2\text{O}_2$
**Table 5.3** GPC analysis of crude product from oligomerization of oleic acid
| Component detected | Gel permeation chromatography (GPC) | Content % |
|--------------------|-------------------------------------|-----------|
| | $M_w$ (Da) | $M_n$ (Da) | PDI | |
| 1 | 2800 | 2500 | 1.12 | 38 |
| 2 | 1400 | 1400 | 1.00 | 24 |
| 3 | 890 | 870 | 1.02 | 27 |
| 4 | 530 | 520 | 1.02 | 11 |
$M_w =$ weight average molecular weight, $M_n =$ number average molecular weight, PDI = polydispersity index
The crude product of the oleic acid oligomerization was subjected to column chromatography. The major component (75%) was subjected analyzed by $^1$H NMR, ESI-MS and MALDI-TOF-MS in order to determine the chemical structure of the compound (assigned as 5.6). $^1$H NMR analysis of (5.6) indicates two peaks that correspond to a methine proton attached to a carbon atom of a hydroxyl group (HO-C-H) and an ester group (O=C-O-C-H) at 3.7 ppm and 4.85 ppm respectively (Figure 5.5). Furthermore, $^1$H-$^1$H COSY analysis shows that both peaks are coupled to each other, which imply that both methine protons are next to each other as depicted in the proposed chemical structure of the compound (5.6) (Figure 5.6), which is an oligomer of oleic acid linked by an ester functionality known as estolide.
**Figure 5.5** 400 MHz $^1$H NMR spectrum of (5.6) in CDCl$_3$
**Figure 5.6** Proposed chemical structure of (5.6)
Compound (5.6) was analyzed with MALDI-TOF-MS that usually detects protonated molecular ions \([M+H]^+\) and also sodium adduct ions \([M+Na]^+\) as well as fragmentation ions. The MALDI-TOF-MS analysis of (5.6) shows molecular weight ranges from 500 Da to 2000 Da with the dominant mass peak at 1104 Da (Figure 5.7). This 1104 Da mass peak corresponds to the cleaved sodium adducts \([M+Na]^+\) (5.7) of tetramer \(n=4\) (\(M=1233\) Da) as shown in Figure 5.8. Furthermore, the dimer, trimer and pentamer sodium ion adduct were also detected in the mass spectra of (5.6) at 637 Da, 935 Da and 1531 Da respectively. This further confirms that the reaction produced oligomers of oleic acid linked by the ester group (estolides) and the major product was the tetramer of oleic acid.
**Figure 5.7** MALDI-TOF-MS spectrum of (5.6) by using DHB as the matrix in the analysis
**Figure 5.8** Cleaved sodium adduct of (5.6)
These results show that the oleic acid was oligomerized to form estolides with the proposed chemical structure (5.6). The formation of estolides from oleic acid through this one-pot oligomerization reaction is believed to occur via a two steps process. The first step is believed to be the conversion of the alkene (C=C) group to the epoxide group through $\text{Na}_2\text{WO}_4$ catalyzed epoxidation reaction with hydrogen peroxide and the second step involves ring opening of the newly formed epoxy group by the carboxylic acid group of another fatty acid to yield the observed estolides (Figure 5.9). Based on MALDI-TOF-MS mass spectrum, the most abundant oligomer is the tetramer of oleic acid, followed by trimer and dimer.
**Figure 5.9** Proposed mechanism for epoxy ring opening by carboxylic acid group of another fatty acid to yield the estolides
When the same reaction was conducted with methyl oleate (5.8) (in substitution of oleic acid) (Figure 5.10), no formation of oligomers was observed. The $^1\text{H}$ NMR spectrum of the crude product (Figure 5.11) from this reaction shows a singlet at $\delta=3.55$ ppm, which corresponds to the methyl of ester group and supports the idea that oligomerization did not take place.
Furthermore, no significant peaks at $\delta = 3.7$ ppm and $4.85$ ppm was observed, which correspond to methine proton attached to carbon atom of a hydroxyl group (HO-C-H) and an ester group (O=C-O-C-H) at $3.7$ ppm and $4.85$ ppm respectively as seen in Figure 5.5. Again, this indicates no formation of oligomerized oleate compounds (estolides). The product from this reaction is dihydroxy methyl stearate (5.9) (Figure 5.12), which shows a peak at $\delta = 3.33$ ppm in $^1$H NMR spectrum that corresponds to the methine proton attached to carbon atom of a hydroxyl group (HO-C-H) (Figure 5.11).
**Figure 5.11** 400 MHz $^1$H NMR spectrum of (5.9) in CDCl$_3$
The other chemical compound that could be produced from the oligomerization reaction of oleic acid is a polyether polyol (5.10) where an alcohol has reacted with
an epoxide instead of a carboxylic acid. This alternative product will have the same mass ion as discussed above for (5.6). The possible chemical structure is illustrated in Figure 5.13, which is an oligomer of oleic acid linked by ether functionality.
\[
\begin{align*}
&\text{OH} \\
&\text{O} \\
&\text{OH} \\
&\text{CO}_2\text{H} \\
&\left[ \text{OH} \right]_n
\end{align*}
\]
(5.10)
Figure 5.13 Oligomers of oleic acid linked by ether functionality
This oligomer could be produced when the oxirane group of epoxidized oleic acid was ring opened by water to yield initially a dihydroxyl group (HO-C-C-OH) and then one of the newly formed hydroxyl groups can attack the epoxide group of another epoxidized oleic acid molecule to form an ether linkage between the two fatty acid chains (Figure 5.14). The other hydroxyl group could repeat this process and form higher oligomers.
Figure 5.14 Mechanism for the formation of oleic acid oligomers linked by ether group
Reduction and saponification of (5.6)
In order to further confirm the chemical structure of (5.6) and rule out the formation of (5.10), the oligomerized compound (5.6) was subjected to two reactions, namely reduction (LiAlH₄) and saponification (NaOH). LiAlH₄ is a strong reducing agent and it is capable of reducing ester bonds to alcohols. Therefore, when oligomerized product (5.6) was subjected to reduction with LiAlH₄, the ester linkages between the repeating units of oleic acid should be broken and reduced to alcohol groups (causing depolymerization). If however the linkages between the monomers were ether linked then the compound would not be reduced to monomer. The same concept applies to the saponification reaction, where the ester linkages between monomer will be cleaved by NaOH but will not be cleaved if the linkages between monomer were ether groups.
When (5.6) was subjected to saponification and the crude product was purified by column chromatography the major product produced from the reaction was 9,10-dihydroxystearic acid (5.11). Reduction reaction of oligomerized product (5.6) with LiAlH₄ gave 1,9,10-trihydroxysterol (5.12) as the major product (Figure 5.15). Both these reactions indicate that the linkage between fatty acid units was the expected ester linkage and ruled out an ether linkage.
\[
\begin{align*}
&\text{OH} \\
&\text{OH} \\
&\text{CO}_2\text{H} \quad (5.11)
\end{align*}
\]
\[
\begin{align*}
&\text{OH} \\
&\text{OH} \\
&\text{OH} \quad (5.12)
\end{align*}
\]
Figure 5.15 Major products from saponification and reduction of (5.6)
Minor component from saponification reaction
While the major product isolated from the saponification reaction of (5.6) was 9,10-dihydroxy stearic acid (5.11), a minor component was also isolated from the column and identified as the alternative polyether polyol (5.13) (10% yield), in which the repeating units of oleic acid were linked by an ether group. ESI mass spectrometry of this polyether polyol shows a dominant peak at 637 [M+Na]+, which correspond to a dimer of (5.11) linked by an ether bond with molecular structure (5.13) as depicted in Figure 5.16.
In conclusion, analysis of the product arising from Na₂WO₄ reaction with oleic acid suggests a composition of 90% ester linked (5.6) and 10% ether linkage (5.13).
5.3 1,9-NONANEDIOIC (AZELAIC ACID)
During the oligomerization of oleic acid, a co-product was isolated namely 1,9-nonanedioic (5.14) (azelaic acid) (Figure 5.17). Azelaic acid dissolves in hot water; therefore it dissolved in the aqueous layer during the oligomerization reaction but crashed out from the cooled aqueous layer as a white solid during product work-up at room temperature. The yield of azelaic acid obtained in this way from the
oligomerization reaction was low (about 2%), however, due to its known applications in polymer (nylon 69) and anti-acne products, the renewable nature of this co-product made it a target of further study. In particular, how is the azelaic acid formed during the oligomerization of oleic acid and is it possible to maximize the yield of this co-product?
The azelaic acid could be produced from oxidative cleavage of one or more compounds involved in the oligomerization reaction, namely the starting material (oleic acid) (5.5), the intermediate product epoxidized oleic acid (5.15) or product [dihydroxystearic acid (5.11), ester linked (5.6) and ether linked (5.13) oligomers] (Figure 5.18). Therefore by subjecting these compounds individually to the same oligomerization reaction conditions, the intermediate responsible for the formation of (5.14) can be determined.
Figure 5.18 Chemical compounds involved in the oligomerization reaction
In order to achieve this goal, some oleic acid model derivatives were synthesized that represented the potential intermediate compounds involved in the oligomerization reaction. The oleic acid derivatives (5.11, 5.16, 5.17, 5.18) (Figure 5.19) were synthesized and subjected to the oligomerization reaction conditions.
Figure 5.19 Synthesized oleic acid model derivatives
The following Figure 5.20 – 5.23 shows the synthesis of these oleic acid derivatives. Compound (5.16) represents an intermediate in the oligomerization of oleic acid while compounds (5.11), (5.17) and (5.18) represent models of possible products from the oligomerization reaction of oleic acid. Compound (5.11) is the monomer of the oligomers while both (5.17) and (5.18) represent possible oligomers from the reaction. Compound (5.17) has a similar estolide carbon backbone structure to (5.6) with the addition of three acetyl groups to mimic further the oligomers of oleic acid linked by ester linkages (estolides oligomers). Meanwhile, the compound (5.18) has two methoxy groups that mimic the oligomers of oleic acid linked by ether linkages (polyether oligomers).
Figure 5.20 Synthesis of epoxidized methyl oleate (5.16)
Figure 5.21 Synthesis of 9,10-dihydroxystearic acid (5.11)
\[
\begin{align*}
&\text{1) } \text{H}_2\text{O}_2, \text{ HCO}_2\text{H, H}_2\text{SO}_4 \\
&\quad 90^\circ\text{C}, 24 \text{ h} \\
&\quad \downarrow \\
&\quad \text{2) NaOH, 95 }^\circ\text{C, 24 h} \\
&\quad \downarrow \\
&\quad \text{50%}
\end{align*}
\]
Figure 5.22 Synthesis of triacetyl estolides (5.17)
\[
\begin{align*}
&\text{(CH}_3\text{CO)}_2\text{O, H}_3\text{PO}_4 \\
&\quad 100^\circ\text{C, 6 h} \\
&\quad \downarrow \\
&\quad \text{36%}
\end{align*}
\]
Figure 5.23 Synthesis of 9,10-dimethoxystearic methyl ester (5.18)
\[
\begin{align*}
&\text{MeI, KOH, THF} \\
&\quad 40^\circ\text{C, 24 h} \\
&\quad \downarrow \\
&\quad \text{50%}
\end{align*}
\]
Each of the four potential precursors to azelaic acid were reacted under the original oligomerization reaction conditions (namely 5 molar equivalents of $\text{H}_2\text{O}_2$ at 100 °C for 8 hours, catalyzed by $\text{Na}_2\text{WO}_4$ and a phase transfer catalyst, Aliquat 336).
Based on analysis results, the formation of azelaic acid could only be detected when (5.11) and (5.16) were subjected to the oligomerization reaction with 1% and 3% yields respectively. Both (5.17) and (5.18) did not yield any azelaic acid when subjected to the same reaction conditions. Therefore, this indicates that the oxidative cleavage is a side reaction that happens before the formation of oligomers and it is not a continuation from the oligomerization reaction.
### 5.4 OPTIMIZATION OF OLEIC ACID OLIGOMERIZATION TO ESTOLIDE (5.6)
**Effect of reaction temperature**
This study was conducted to determine the most appropriate temperature for the oligomerization reaction. The temperature of the reaction was varied from 60 °C to 100 °C, while the other reaction parameters were kept constant. The following Figure 5.24 shows the stacked 400 MHz $^1\text{H}$ NMR spectrum of crude reaction products from oligomerization reaction conducted at 60 °C, 80 °C and 100 °C respectively.
Referring to Figure 5.24, when the oligomerization reaction was conducted at 60 °C, the alkene groups were not fully converted to epoxide group (compared to 100 °C). The $^1\text{H}$ NMR spectrum indicates that some of the alkene has been converted to an epoxide group ($\delta= 2.8-2.9$ ppm) and these epoxide groups would eventually be ring
opened by the carboxylic group to form estolide oligomers if the reaction time was prolonged. This indicates that at 60 °C the rate of oligomerization is very slow.
When the reaction was conducted at 80 °C, the alkene was fully converted to other functionalities. The $^1$H NMR spectrum shows similar peaks to those observed at 100 °C ($\delta = 3.7$ ppm, 4.85 ppm), which correspond to estolides. However, the $^1$H NMR spectrum also shows a residual peak at $\delta = 2.85$ ppm corresponding to the epoxide group. This means that at 80 °C, the oligomerization reaction could proceed to completion if the reaction time was prolonged. Therefore, the most optimum temperature for the oligomerization reaction is 100 °C because all alkene were converted to ester linkages of estolides oligomers in the shortest time possible.
Figure 5.24 Stacked 400 MHz $^1$H NMR spectrum of reaction products in CDCl$_3$ from oligomerization reaction conducted at 60 °C, 80 °C and 100 °C respectively
Effect of hydrogen peroxide : alkene molar ratio on oligomerization
The objective of this study was to determine the optimum molar ratio between $\text{H}_2\text{O}_2$ and the alkene functionality of the fatty acid. Three ratios were chosen (5:1, 2.5:1 and 1.5:1). When the ratio was lowered from 5:1 down to 2.5:1 ($\text{H}_2\text{O}_2$: C=C), the $^1\text{H}$ NMR spectrum (Figure 5.25) showed that the amount of $\text{H}_2\text{O}_2$ was enough to fully convert all the alkene to oligomers as the alkene peak at $\delta = 5.35$ ppm was not visible in the spectrum. However, when the ratio was further lowered to 1.5:1 ($\text{H}_2\text{O}_2$: C=C), the $^1\text{H}$ NMR spectrum showed that the amount of $\text{H}_2\text{O}_2$ was insufficient to fully convert all the alkene to oligomers. Therefore, the optimum molar ratio was determined as 2.5:1 ($\text{H}_2\text{O}_2$: C=C), which is the minimum amount of $\text{H}_2\text{O}_2$ needed to fully convert alkene to ester linkages of estolides oligomers.
Figure 5.25 Stacked 400 MHz $^1\text{H}$ NMR spectrum of crude reaction products in CDCl$_3$ from oligomerization reaction conducted at 1.5 mol, 2.5 mol and 5 mol of $\text{H}_2\text{O}_2$ respectively
5.5 ONE-POT OLIGOMERIZATION OF OLEIC ACID WITHOUT CATALYST
A report\textsuperscript{112} indicated that unsaturated fatty acids such as oleic acid (5.5) can be epoxidized in the presence of $\text{H}_2\text{O}_2$ with enzyme (Novozym 435) as the catalyst. The enzyme catalyzed the formation of peracid from the oleic acid with $\text{H}_2\text{O}_2$ as the source of oxygen. The newly formed oleic peracid in turn epoxidized the alkene group of another fatty acid. Based on this procedure, a study was conducted to determine whether (5.5) can be “self-epoxidized” without any catalyst (enzymatic or chemical). Therefore, (5.5) was reacted with hydrogen peroxide at 80 °C without any catalyst for 1 day in an attempt to yield estolides (5.6) and GPC analysis of the crude product showed 43% of oligomers and $^1\text{H}$ NMR spectrum shows some of the alkene group still remained unreacted. Then, the reaction time was prolonged to 3 days (Figure 5.26) in order to increase the oligomeric content and GPC analysis (Table 5.4) indicated that the crude product had about 71% oligomeric content.
Table 5.4 GPC analysis of crude product from oligomerization of oleic acid
| Component detected | Gel permeation chromatography (GPC) | Content % |
|--------------------|------------------------------------|-----------|
| | $M_w$ (Da) | $M_n$ (Da) | PDI | |
| 1 | 3300 | 2800 | 1.18 | 38 |
| 2 | 1300 | 1200 | 1.05 | 33 |
| 3 | 480 | 440 | 1.09 | 29 |
$M_w =$ weight average molecular weight, $M_n =$ number average molecular weight, PDI = polydispersity index
Figure 5.26 Self-oligomerization of oleic acid in the presence of $\text{H}_2\text{O}_2$
The following Figure 5.27 and 5.28 are the 400 MHz $^1$H NMR spectrum and $^1$H-$^1$H COSY NMR spectrum of the product respectively. Figure 5.27 shows two peaks that correspond to a methine proton attached to a carbon atom of a hydroxyl group (HO-C-H) and an ester group (O=C-O-C-H) at 3.6 ppm and 4.82 ppm respectively. Furthermore, Figure 5.28 analysis shows that both peaks are coupled to each other, which imply that both methine protons are next to each other as depicted in the proposed structure of (5.6)
Figure 5.27 400 MHz $^1$H NMR spectrum of (5.6) in CDCl$_3$
MALDI-TOF-MS analysis of product (Figure 5.29) shows oligomers of oleic acid with molecular weight of 1829 Da, which corresponds to sodium adduct of hexamer of oleic acid. The repeating unit of the estolides has a molecular weight of 298 Da, which corresponds to structure (5.19) depicted in Figure 5.30.
Figure 5.28 400 MHz $^1$H-$^1$H COSY NMR spectrum of (5.6) in CDCl$_3$
Figure 5.29 MALDI-TOF-MS spectrum of (5.6) by using DHB as the matrix in the analysis
5.6 ONE POT OLIGOMERIZATION OF PLANT OIL WITH SUCCINIC ACID
The same method (one-pot oligomerization of oleic acid) was applied to make oligomers from plant oils. The reactions were conducted with succinic acid (5.20) as the substitute for oleic acid in order to incorporate more renewable chemicals into the oligomers. The unsaturated plant oils [cocoa butter (5.21), palm oil (5.22), rapeseed oil (5.23) and soybean oil (5.24)] (Figure 5.31) were used in this study and they were reacted with (5.20) and hydrogen peroxide at 80 °C for 7 days (Figure 5.32). The following Table 5.5 shows the GPC analysis results of the reaction products. Acetic acid was included in this study as a control reaction and it was reacted with (5.24) using the same protocol.
(5.21)
(5.22)
Figure 5.31 Plant oils used in this study
\[
\begin{align*}
&\text{H}_2\text{O}_2, \ 80^\circ\text{C}, \ 7 \text{ days} \\
&\downarrow \\
&\text{Oligomers (5.25)}
\end{align*}
\]
Figure 5.32 Oligomerization of soybean oil (5.24) with succinic acid (5.20) and H$_2$O$_2$ as an example
Table 5.5 GPC analysis of reaction products
| Entry | Plant oil | Yield (%) | Gel permeation chromatography |
|-------|-----------|-----------|------------------------------|
| | | | M$_w$ (Da) | M$_n$ (Da) | PDI |
| 1 | Control | 25 | 5100 | 4400 | 1.16 |
| 2 | 5.21 | 0 | - | - | - |
| 3 | 5.22 | 50 | 8500 | 7400 | 1.15 |
| 4 | 5.23 | 68 | 23900 | 8900 | 2.70 |
| 5 | 5.24 | 75 | 80800 | 11600 | 6.97 |
M$_w$ = weight average molecular weight, M$_n$ = number average molecular weight, PDI = polydispersity index
The GPC analysis results show that the control reaction (Entry 1) only managed to yield 25% oligomeric products and the $^1$H NMR analysis of the products shows that (5.24) was majorly converted to epoxidized soybean oil (2.6). Next, the reaction was repeated with cocoa butter (5.21), which has one alkene group per molecule and it was reacted with (5.20) and H$_2$O$_2$. $^1$H NMR spectrum of product shows that (5.21) was epoxidized but was not oligomerized as shown by GPC analysis (Entry 2). The (5.21) with only one alkene group per molecule was not reactive to form oligomeric compounds with (5.20) due to the low level of unsaturation.
Palm oil (5.22) which has two alkene groups per molecule was reacted using the same method and the GPC analysis shows that reaction product has about 50% oligomers (Entry 3). $^1$H NMR spectrum of the reaction product shows that the alkene groups of (5.22) were converted to hydroxyl groups. The higher alkene content of (5.22) as compared to (5.21) has contributed to higher amount of oligomers. When (5.22) was substituted with (5.23) which has higher alkene content, the GPC analysis (Entry 4) shows that higher amount of oligomers (68%) was produced as compared to (5.22). As expected, (5.24) produced the highest amount of oligomers (75%) as compared to other plant oils because it has the highest alkene content. This finding supports the hypothesis that plant oil with higher alkene content will produce more oligomers. In addition, the higher alkene content of a plant oil also contributed to oligomers with higher molecular weight and PDI. $^1$H NMR analysis of the oligomers (5.25) made from (5.24) (Figure 5.33) shows that all the alkene groups were converted to hydroxyl (3.4 - 3.8 ppm) and esters (4.8 – 4.9 ppm) moieties.
5.7 ONE POT OLIGOMERIZATION OF PLANT OIL WITH ADIPIC ACID AND PHTHALIC ANHYDRIDE
In view that the direct oligomerization of unsaturated plant oils with succinic acid (5.20) needed 7 days of reaction time to yield significant amount of oligomers, (5.20) was substituted with other dicarboxylic acid to investigate the effect of different dicarboxylic acid on the oligomerization reaction. For this purpose, adipic acid (5.26) and phthalic anhydride (5.27) were chosen. Adipic acid was chosen because it is a C₆ linear aliphatic dicarboxylic acid, which has 2 extra -CH₂ group as compared to (5.20).
The study was conducted with (5.24) as the plant oil and it was reacted with (5.26) by using same one-pot oligomerization reaction as described in Section 5.6 (page 199) (Figure 5.34). $^1$H NMR analysis of reaction product (5.28) shows that all alkene groups of (5.24) were converted to epoxide as well as hydroxyl groups (Figure 5.35). It also shows that significant amount of epoxide group remained unreacted over the specific duration of reaction, which indicates that (5.26) is less reactive as compared to (5.20) in the oligomerization reaction. In addition, GPC analysis of reaction product shows that the oligomers content was about 40% ($M_w = 11000$ Da, $M_n = 8100$ Da, PDI = 1.36), which is significantly lower than product made with (5.20) under similar reaction condition. This may be due to the more hydrophobic nature of longer hydrocarbon chain of (5.26) as compared to (5.20) that made it less effective in an aqueous reaction system.
When the same reaction was conducted with phthalic anhydride (5.27), the reaction was stopped after 1 day because the reaction mixture became too viscous to stir (Figure 5.36). Analysis of the reaction product (5.29) with GPC shows that the oligomeric content was about 75% ($M_w = 20100$ Da, $M_n = 10100$ Da, PDI = 1.99), which is a significant improvement from earlier studies conducted with (5.20). In addition, the reaction time was also significantly reduced from 7 days to 1 day. $^1$H NMR spectrum of (5.28) (Figure 5.37) shows the presence of aromatic ring, hydroxyl group and ester group moieties in the product.
**Figure 5.35 400MHz $^1$H NMR spectrum of (5.28) in CDCl$_3$**
Encouraged by this significant improvement, the same reaction was conducted with palm oil (5.22) that has lower level of unsaturation (Figure 5.38). The GPC analysis shows that the reaction product (5.30) contains about 66% oligomers ($M_w = 9200$ Da, $M_n = 7300$ Da, PDI = 1.26), which is significantly higher than oligomer content produced from reaction system using (5.20). Furthermore, the reaction time of was also reduced from 7 days to 1 days when (5.27) was used instead of (5.20).
\[
\begin{align*}
&\text{H}_2\text{O}_2, \ 80^\circ\text{C}, \ 1 \text{ day} \\
&+ \\
&\text{Oligomers (5.30)}
\end{align*}
\]
Figure 5.38 Oligomerization of (5.22) with (5.27) and $\text{H}_2\text{O}_2$
$^1$H NMR spectrum (Figure 5.39) of (5.30) shows that all the alkene group of (5.22) was converted to hydroxyl moiety and the spectrum also shows that aromatic ring and ester group moieties were present in the product.
### 5.8 POLYURETHANES MADE FROM ESTOLIDES (5.6) AND OLIGOMERS (5.25)
The prepared estolides (5.6) and oligomers (5.25) were reacted with 4,4'-diphenylmethane diisocyanate (MDI) and yielded quantitative amount of PU samples (5.31) and (5.32) respectively (Figure 5.40). The (5.31) and (5.32) were cross-linked polymers and were subjected to a tensile test in order to evaluate the strength of these PU samples and the following Figure 5.41 shows the stress-strain curve of (5.31) and (5.32).
**Figure 5.41** Stress-strain curves of (5.31) and (5.32) according to method EN ISO 529-4: 1997(CEN1997a)
Referring to Figure 5.41, (5.31) has high tensile strength (65 MPa) but low elongation at break (64%). These mechanical properties can be attributed to the high cross-link density ($43 \times 10^{-4}$ mol/cm$^3$) found in (5.31), in which the highly cross-linked (5.31) requires more energy to pull it apart and at the same time restricts its elongation. The high cross-link density of (5.31) originated from high hydroxyl value of (5.6), which is 230 mg KOH/g sample. This range of hydroxyl value is suitable for making rigid PU products such as pipeline insulation materials and adhesives. On the other hand, the hydroxyl value of (5.25) was about 144 mg KOH/g sample. This
contributed to the lower cross-link density (30 x 10^{-4} \text{ mol/cm}^3) of PU (5.32) and eventually leads to lower tensile strength (28 MPa) and elongation at break (25%).
5.9 SUMMARY
When plant oils with varying degree of unsaturation were subjected to one-pot oligomerization reaction in the presence of a tungsten based catalyst and hydrogen peroxide, the amount of oligomers generated from this process was about 20 - 40% depending on the feedstocks and the number average molecular weight of the oligomers ranges from 3000 – 6000 Da. In general, the tungsten catalyzed one-pot oligomerization was not very an effective method to prepare oligomers of plant oil derivatives.
When the same reaction was repeated with oleic acid as the starting material, the reaction products were oligomers of oleic acid (estolides) and analysis with $^1$H NMR reveals that the estolides were linked by ester groups. Further confirmation of the estolides structure was achieved by reduction and saponification reactions. Furthermore, the one-pot oligomerization of oleic acid also yielded azelaic acid as a by-product and data from a series of investigative experiments indicated that the azelaic acid was produced mainly from epoxidized oleic acid before the oligomerization of oleic acid take place.
The oligomerization of oleic acid can also be achieved without any catalyst, in which the oleic acid was “self-epoxidized” by the peracid formed in situ from reaction
between itself and $\text{H}_2\text{O}_2$. The epoxidized oleic acid was then ring opened by another oleic acid, thus forming the ester linked estolides.
This one-pot catalyst free oligomerization method was applied on various unsaturated plant oils by using renewable dicarboxylic acids such as succinic acid as the epoxidation and epoxide ring-opening agent to oligomerize the unsaturated plant oils. The results show that plant oils with two or more alkene groups per molecule can be oligomerized by succinic acid and the yield of oligomeric products were proportionate with the level of alkene group per molecule.
In comparison with succinic acid, longer chain aliphatic dicarboxylic acid (adipic acid) was less reactive in the oligomerization reaction, in which significant amount of epoxide groups remained unreacted. Meanwhile, aromatic anhydride (phthalic anhydride) was more reactive than succinic acid in the oligomerization procedure and the reaction time was reduced to only 1 day from 7 days. In addition, oligomerization with phthalic anhydride also produced higher amounts of oligomeric products as compared to succinic acid.
The estolides (5.6) and oligomers (5.25) prepared in this study were used to produce rigid PU by reaction with MDI. Both (5.6) and (5.25) have relatively high hydroxyl values and gave PU samples with relatively high cross-link density. The high cross-link density restricted the elongation of these PU and also translated to relatively high tensile strength. These PU samples are suitable for making rigid PU for thermal insulation purposes such as pipeline insulation.
Future Work
The results reported in Chapter 3 and 4 reveal that the properties of PU made from individual plant oil based polyols greatly depends on the level of unsaturation of the plant oils. Generally, plant oil with higher unsaturation level yields PU that exhibits higher tensile strength but lower elongation at break. Based on this structure-property relationship, the blending of plant oils with different level of unsaturation offers a method to tailor the properties of PU made from plant oil based polyols. In addition, the $OP$, $HP$ and copolymers of THF can be blended to produce PU with specific properties.
Furthermore, the $OP$ can be subjected to saponification reaction to break the ester bond of the oligomerized plant oils and this will yield carboxylic acid groups, which can be reduced to hydroxyl, thus forming $OP$ with higher hydroxyl groups that can be used for making rigid PU. The said carboxylic acid groups can also be reacted with diamines to yield non-nylon polyamides or they can be converted to other functionalities that can be used for other applications.
6.0 GENERAL INFORMATION AND PROCEDURES
Materials
All reactions were performed using commercially available chemicals and the purchased chemicals were used as received without any further purification.
General procedure
Thin layer chromatography was carried out on Merck 0.25 mm silica layer foiled-backed 60F-254 TLC sheets developed from potassium permanganate. Column chromatography was performed with Davisil silica gel Grade 633 pore size 60 Å particle size 40-63 µm.
Wet chemical analysis of product
All wet chemical analyses were performed according to the AOCS official\textsuperscript{117} methods: acid value (AV), Te 1a-64 (89); hydroxyl value (OHV), Cd I3-60(89).
Procedure for acid value analysis:
(a) Weigh 0.5 g of sample into an Erlenmeyer flask.
(b) Add approximately 100 ml of neutralized solvent (Isopropanol : Toluene, 50:50 mixture) and 3 drops of indicator (1% phenolphthalein in methanol)
(c) Mix until sample completely dissolved.
(d) Titrate with standardized alkali solution (0.1 N KOH in ethanol), stirring vigorously to the appearance of the first permanent pink color that persist for 1 minute.
Calculation: Acid value, mg KOH per gram of sample =
\[
\frac{\text{volume of alkali, mL} \times N \times 56.1}{\text{mass of sample, g}}
\]
where \(N\) = normality of alkali determined by standardization.
**Procedure for hydroxyl value analysis:**
(a) Weigh 1.0 g of sample into an Erlenmeyer flask.
(b) Pipet 5.0 ml of pyridine-acetic anhydride reagent (pyridine : acetic anhydride, 3:1) into the flask containing the sample for acetylation. Thoroughly mix the contents by gentle swirling.
(c) Pipet 5.0 ml of pyridine-acetic anhydride reagent into an empty flask for the reagent blank.
(d) Place the samples and blank flasks on a hot plate, under a reflux condenser and heat at 100 °C for 1 hour.
(e) Add 10 ml of water through the condenser to the flask and heat for an additional 10 minute with the reflux condenser attached.
(f) Allow the flask to cool to room temperature with condenser attached.
(g) Using a total of about 25 ml of neutralized butyl alcohol, wash the condenser with about 12 ml, remove the condenser and use the remaining butyl alcohol to wash the sides of the flask.
(h) Add 1 ml of phenolphthalein indicator solution. Titrate to a faint pink end point with 0.5 N alcoholic KOH solution.
**Calculation:** The hydroxyl value is calculated as follow:
\[
\text{Hydroxyl Value} = \frac{B - S \times N \times 56.1}{W}
\]
Where
\[ B = \text{volume, ml KOH solution required for the reagent blank} \]
\[ S = \text{volume, ml KOH solution required for titration of the acetylated sample} \]
\[ N = \text{normality of alcoholic KOH determined by standardization} \]
\[ W = \text{mass, gram of sample used for acetylation} \]
**Characterization**
Infrared spectra were recorded as solid or liquid on Perkin-Elmer Spectrum100 FTIR spectrometer and absorption maxima (\( \nu_{\text{max}} \)) are recorded in wavenumbers (cm\(^{-1}\)). Solids were compressed into a thin table and non-volatile liquids were analyzed as thin film over diamond ATR top plate. Mass spectrometry of low resolution was recorded on Bruker Esquire ESI 2000 in which molecular ions, fragment ions and other major peaks are recorded as mass/charge (\( m/z \)) ratios. High resolution mass spectrometry was achieved by using Bruker MaXis instrument to carry out accurate ESI mass analysis. \( ^1 \)H and \( ^{13} \)C NMR spectroscopy were recorded on Bruker DPX-400 at 400 MHz and 100 MHz respectively at 298K with approximately 10% w/v solutions in deuterated NMR solvents. Chemical shifts are quoted in ppm relatively to internal standard tetramethylsilane (TMS) and reference to the residual solvent. All coupling constant are quoted in hertz (Hz). \( ^1 \)H and \( ^{13} \)C NMR assignments were routinely confirmed by \( ^1 \)H-\( ^1 \)H (COSY) and \( ^1 \)H-\( ^{13} \)C (HMQC) data. MALDI-TOF-MS measurement was performed with a Bruker Daltonics Ultraflex II TOF/TOF mass spectrometer equipped with a nitrogen laser delivering 3-ns laser pulses at 337 nm. 5 mg of sample was dissolved in 100 \( \mu \)l tetrahydrofuran and 50 mg of 2,5-dihydroxybenzoic acid (DHB) as the matrix was dissolved in 200 \( \mu \)l tetrahydrofuran. Sample solution (5 \( \mu \)l) and matrix solution (20 \( \mu \)l) were mixed and 0.5 \( \mu \)l of this mixture was spotted on the target plate and analyzed. The sample was irradiated with
(85%, 0.26 g, 2.24 mmol) in water (30 cm$^3$) was added into it (this is the tungsten catalyst solution). Methyl oleate (2.8) (100 g, 338 mmol) and Adogen 464 (0.45 g, 0.97 mmol) were charged into another 3-neck round bottom flask equipped with a motor stirrer. The methyl oleate mixture was heated to 50 °C and stirred vigorously. The tungsten catalyst solution was added to the methyl oleate mixture followed by deionized water (50 cm$^3$), hydrogen peroxide (65 g, 570 mmol). The temperature of the reaction mixture was kept at 70 °C for 3 hours. The reaction mixture was then poured into a separating funnel, and then saturated NaCl solution (100 cm$^3$) and diethyl ether (100 cm$^3$) were added to the reaction mixture. The aqueous layer was separated from the organic layer and the organic layer was neutralized with saturated sodium hydrogen carbonate solution (50 cm$^3$). The organic layer was again washed with NaCl solution (100 cm$^3$). The organic layer was dried over anhydrous MgSO$_4$ followed by removal of solvent *in vacuo* to yield epoxidised methyl oleate (EMO) (97 g, 311 mmol, 92% yield), which was a colorless liquid. $\nu_{\text{max}}$/cm$^{-1}$ 2924, 2855 (C-H) 1740 (C=O) 1170 (C-O) 825 (C-O-C) 723 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 3.60$ (3H, s, CH$_3$O), 3.20-2.80 (2H, m, CH$_2$CHOCHCH$_2$), 2.30 (2H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.67-1.54 (2H, m, O=CCH$_2$CH$_2$CH$_2$), 1.54-1.40 (4H, m, CHOCH$_2$CH$_2$), 1.37-1.15 (22H, m, CH$_2$CH$_2$), 0.87 (3H, t, $J= 7.5$ Hz, CH$_2$CH$_3$) $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 174.1$ (MeOC=O), 56.8-57.1 (CH$_2$CHOCHCH$_2$), 51.2 (CH$_3$O), 33.7 (O=CCH$_2$CH$_2$), 31.8-28.9 (CH$_2$CH$_2$), 27.7 (CHOCH$_2$CH$_2$), 24.8 (O=CCH$_2$CH$_2$CH$_2$), 22.5 (CH$_2$CH$_3$), 13.9 (CH$_2$CH$_3$); $m/z$ (ES$^+$) [M+Na$^+$] Required 335.2562, Found 335.2556
184.108.40.206 Synthesis of Epoxidized Cocoa Butter (ECB, 2.16)
The experiment was conducted according to the procedure described in section 220.127.116.11. Tungsten powder (1.62 g, 8.8 mmol), hydrogen peroxide (30% w/w, 18 g, 160 mmol), deionized water (6 cm$^3$), H$_3$PO$_4$ (85%, 1 g, 8.67 mmol), deionized water (16 cm$^3$), cocoa butter (2.9) (300 g, 349 mmol), Adogen 464 (2.1 g, 4.52 mmol), deionized water (500 cm$^3$), hydrogen peroxide (96 g, 850 mmol). Epoxidised cocoa butter (ECB, 2.16) (275 g, 324 mmol, 93% yield), pale yellow liquid. $v_{\text{max}}$/cm$^{-1}$ 2921, 2852 (C-H) 1743 (C=O) 1465 (CH$_2$) 1158 and 1113 (C-O) 820 (C-O-C) 721 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.20-5.10$ (1H, m, CHO) 4.19 (2H, dd, $J= 11.9$ Hz, 4.3 Hz, CH$_2$O), 4.02 (2H, dd, $J= 11.9$ Hz, 5.9 Hz, CH$_2$O), 2.94-2.74 (2H, m, CH$_2$CHOCHCH$_2$), 2.18 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.54-1.44 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.42-1.32 (4H, m, CHOCH$_2$CH$_2$), 1.31-1.08 (72H, m, CH$_2$CH$_2$), 0.76 (9H, t, $J= 7.5$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 172.8$, 172.4 (C=O), 68.9 (HC-O), 61.8, 61.6 (H$_2$C-O), 56.7 (CH$_2$CHOCHCH$_2$), 33.9 (O=CCH$_2$CH$_2$), 29.5-22.7 (CH$_2$CH$_2$), 27.9 (CHOCH$_2$CH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$); $m/z$ (ES$^+$) [M+Na$^+$] Required 899.7680, Found 899.7674
18.104.22.168 Synthesis of Epoxidized Palm Oil (EPO, 2.17)
The experiment was conducted according to the procedure described in section 22.214.171.124. Tungsten powder (1.6 g, 8.7 mmol), hydrogen peroxide (30% w/w, 18 g, 160 mmol), deionised water (6 cm$^3$), H$_3$PO$_4$ (85%, 1 g, 8.67 mmol), deionized water (16 cm$^3$), palm oil (2.10) (300 g, 350 mmol), Adogen 464 (2 g, 4.31 mmol), deionized water (450 cm$^3$), hydrogen peroxide (90 g, 794 mmol). Epoxidised palm oil (EPO, 2.17) (296 g, 333 mmol, 95% yield), pale yellow liquid. $v_{\text{max}}$/cm$^{-1}$ 2923, 2854 (C-H) 1742 (C=O) 1464 (CH$_2$) 1158 and 1111 (C-O) 821 (C-O-C) 722 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.28-5.21$ (1H, m, CHO) 4.30 (2H, dd, $J= 11.9$ Hz, 4.2 Hz, CH$_2$O), 4.13 (2H, dd, $J= 11.9$ Hz, 5.9 Hz, CH$_2$O), 3.10-2.80 (4H, m, CH$_2$CHOCHCH$_2$), 2.30 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.65-1.55 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.42 (8H, m, CHOCH$_2$CH$_2$), 1.42-1.20 (64H, m, CH$_2$CH$_2$), 0.89 (9H, t, $J= 7.5$ Hz CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 172.9$, 172.5 (C=O), 68.8 (HC-O), 61.8, 61.5 (H$_2$C-O), 56.5 (CH$_2$CHOCHCH$_2$), 33.7 (O=CCH$_2$CH$_2$), 29.4-22.4 (CH$_2$CH$_2$), 28.9 (CHOCH$_2$CH$_2$), 27.8 (O=CCH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$); $m/z$ (ES$^+$) [M+Na$^+$] Required 913.7467, Found 913.7467
126.96.36.199 Synthesis of Epoxidized Rapeseed Oil (ERO, 2.13)
The experiment was conducted according to the procedure described in section 188.8.131.52. Tungsten powder (1.2 g, 6.52 mmol), hydrogen peroxide (30% w/w, 16 g, 141 mmol), deionized water (4 cm$^3$), H$_3$PO$_4$ (85%, 0.8 g, 6.94 mmol), deionized water (8 cm$^3$), rapeseed oil (2.11) (200 g, 227 mmol), Adogen 464 (1.6 g, 3.45
mmol), deionized water (320 cm$^3$), hydrogen peroxide (120 g, 1058 mmol). Epoxidised rapeseed oil (ERO, 2.13) (200 g, 211 mmol, 93% yield), a pale yellow liquid. $v_{\text{max}}$/cm$^{-1}$ 2924, 2854 (C-H) 1742 (C=O) 1464 (CH$_2$) 1155 and 1108 (C-O) 825 (C-O-C) 723 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.30-5.20$ (1H, m, CHO) 4.31 (2H, dd, $J= 11.9$ Hz, 4.2 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.9$ Hz, 6.0 Hz, CH$_2$O), 3.20-3.00 (2H, m, CH$_2$CHOCHCH$_2$CHOCHCH$_2$), 2.97-2.90 (2H, m, CH$_2$CHOCHCH$_2$CHOCHCH$_2$), 2.89-2.82 (4H, m, CH$_2$CHOCHCH$_2$), 2.31 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$CH$_2$), 1.82-1.68 (2H, m, CH$_2$CHOCHCH$_2$CHOCHCH$_2$), 1.66-1.56 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.56-1.42 (12H, m, CHOCH$_2$CH$_2$), 1.40-1.20 (54H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J= 7.5$ Hz, CH$_3$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 172.6$, 172.3 (C=O), 68.8 (HC-O), 61.8, 61.7 (H$_2$C-O), 56.7, 53.7 (CH$_2$CHOCHCH$_2$), 33.8 (O=CCH$_2$CH$_2$), 29.1-22.6 (CH$_2$CH$_2$), 27.7-26.5 (CHOCH$_2$CH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$); $m/z$ (ES$^+$) [M+Na$^+$] Required 969.7365, Found 969.7368
### 184.108.40.206 Synthesis of Epoxidized Soybean Oil (ESO, 2.6)
The experiment was conducted according to the procedure described in section 220.127.116.11. Tungsten powder (1.8 g, 9.8 mmol), hydrogen peroxide (30% w/w, 24 g, 211 mmol), deionized water (6 cm$^3$), H$_3$PO$_4$ (85%, 1.2 g, 10.4 mmol), deionized water (12 cm$^3$), soybean oil (2.12) (300 g, 341 mmol), Adogen 464 (2.4 g, 5.17 mmol), deionized water (480 cm$^3$), hydrogen peroxide (180 g, 1588 mmol). Epoxidised
soybean oil (ESO, 2.6) (297 g, 310 mmol, 91% yield), a pale yellow liquid. \( \nu_{\text{max}}/\text{cm}^{-1} \)
2923, 2854 (C-H) 1741 (C=O) 1464 (CH₂) 1154 (C-O) 823 (C-O-C) 724 (CH₂); \( ^1 \)H NMR (400 MHz, CDCl₃): \( \delta_H = 5.28-5.20 \) (1H, m, CHO) 4.30 (2H, dd, \( J = 11.9 \) Hz, 4.3Hz, CH₂O), 4.12 (2H, dd, \( J = 11.9 \) Hz, 6.0 Hz, CH₂O), 3.16-2.98 (4H, m, CH₂CHOCHCH₂CHOCHCH₂), 2.97-2.88 (4H, m, CH₂CHOCHCH₂CHOCHCH₂), 2.88-2.81 (2H, m, CH₂CHOCHCH₂), 2.30 (6H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.82-1.66 (4H, m, CH₂CHOCHCH₂CHOCHCH₂), 1.66-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.56-1.42 (12H, m, CHOCH₂CH₂), 1.42-1.20 (48H, m, CH₂CH₂), 0.89 (9H, t, \( J = 7.5 \) Hz, CH₂CH₃); \( ^{13} \)C NMR (100 MHz CDCl₃): \( \delta_C = 172.5, 172.1 \) (C=O), 68.7 (HC-O), 61.8, 61.5 (H₂C-O), 56.5-53.7 (CH₂CHOCHCH₂), 33.7 (O=CCH₂CH₂), 29.3-22.3 (CH₂CH₂), 28.8-22.4 (CHOCH₂CH₂), 24.5 (O=CCH₂CH₂CH₂), 13.6 (CH₂CH₃); \( m/z \) (ES⁺) [M+Na⁺] Required 983.7158, Found 983.7158
6.1.2 General Procedure for Oligomerization of Epoxidized Plant Oil without Solvent
18.104.22.168 Oligomerization of epoxidized methyl oleate (2.3) catalyzed by BF₃.Et₂O without solvent as an example
Epoxidized methyl oleate (2.3) (5 g, 16 mmol) was weighed into a round bottom flask and was heated to 20 °C. It was stirred under N₂ atmosphere for 30 minutes before BF₃.Et₂O (0.34 g, 2.4 mmol) was added drop-wise to it. After the addition of BF₃.Et₂O was completed, the reaction temperature was maintained at 20 °C under N₂ atmosphere for 24 hours. Then, the reaction mixture was poured into separation funnel and washed with sodium bicarbonate solution (50 ml). The aqueous layer was separated from the organic layer and CHCl₃ (50 ml) was added to organic layer. The
organic layer was dried over anhydrous MgSO$_4$ and CHCl$_3$ was removed in vacuo to yield a yellowish liquid (4.95 g) $v_{\text{max}}$/cm$^{-1}$ 3358 (O-H) 2925, 2855 (C-H) 1738 (C=O) 1460 (CH$_2$) 1170 (C-O) 724 (CH$_2$). $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 3.67$ (9H, s, HCO), 3.60-3.20 (6H, m, HCO), 2.31 (6H, t, $J = 7.5$ Hz, O=CCH$_2$CH$_2$), 1.68-1.56 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.20 (72H, m, CH$_2$CH$_2$CH$_2$), 0.9 (9H, t, $J = 7.5$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.8$ (C=O) 74.0, 73.2, 71.6 (C-O), 50.8 (OCH$_3$) 33.6 (O=CCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 31.1, 29.3, 28.9, 22.5 (CH$_2$CH$_2$CH$_2$), 13.7 (CH$_2$CH$_3$) $m/z$ (ES$^+$), [M+Na].Required 977.7991, Found 977.7991
22.214.171.124 Oligomerization of epoxidized cocoa butter (2.16) catalyzed by BF$_3$.Et$_2$O without solvent
The experiment was conducted according to the procedure described in section 126.96.36.199. Epoxidized cocoa butter (2.16) (5 g, 5.7 mmol), BF$_3$.Et$_2$O (0.13 g, 0.9 mmol); a yellowish viscous liquid (4.9 g) $v_{\text{max}}$/cm$^{-1}$ 3355 (O-H) 2916, 2849 (C-H) 1739 (C=O) 1466 (CH$_2$) 1164 (C-O) 721 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.28$-5.25 (1H, m, CHO), 4.29 (2H, dd, $J = 11.8$ Hz, 4.0 Hz, CH$_2$O), 4.14 (2H, dd, $J = 11.9$ Hz, 5.9 Hz, CH$_2$O), 3.85-3.25 (2H, m, CHO), 2.35 (6H, t, $J = 7.5$ Hz, O=CCH$_2$CH$_2$), 1.65-1.56 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.45-1.15 (72H, m, CH$_2$CH$_2$), 0.9 (9H, t, $J =$
7.5 Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_{\text{C}} = 173.3$, 172.8 (C=O) 72.5 (HC-O) 68.8 (HC-O), 61.9, 62.0 (H$_2$C-O), 33.9 (O=CCH$_2$), 24.7 (O=CCH$_2$CH$_2$CH$_2$), 29.6, 23.8 (CH$_3$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)
188.8.131.52 Oligomerization of epoxidized palm oil (2.17) catalyzed by BF$_3$.Et$_2$O without solvent
The experiment was conducted according to the procedure described in section 184.108.40.206. Epoxidized palm oil (2.17) (5 g, 5.6 mmol), BF$_3$.Et$_2$O (0.23 g, 1.65 mmol). The reactant mixture gel-up / polymerized as soon as BF$_3$.Et$_2$O was added to it. The polymerized product was sticky and rubbery. $v_{\text{max}}/\text{cm}^{-1}$ 3326 (O-H) 2916, 2849 (C-H) 1740 (C=O) 1462 (CH$_2$) 1160 (C-O) 720 (CH$_2$)
220.127.116.11 Oligomerization of epoxidized rapeseed oil (2.13) catalyzed by BF$_3$.Et$_2$O without solvent
The experiment was conducted according to the procedure described in section 18.104.22.168. Epoxidized rapeseed oil (2.13) (5 g, 5.3 mmol), BF$_3$.Et$_2$O (0.45 g, 3.17 mmol). The reactant mixture gel-up / polymerized as soon as BF$_3$.Et$_2$O was added to it. The polymerized product was sticky and rubbery. $v_{\text{max}}/\text{cm}^{-1}$ 3348 (O-H) 2920, 2853 (C-H) 1741 (C=O) 1463 (CH$_2$) 1165 (C-O) 721 (CH$_2$)
22.214.171.124 Oligomerization of epoxidized soybean oil (2.6) catalyzed by BF$_3$.Et$_2$O without solvent
The experiment was conducted according to the procedure described in section 126.96.36.199. Epoxidized soybean oil (2.6) (5 g, 5.2 mmol), BF$_3$.Et$_2$O (0.55 g, 3.9 mmol). The reactant mixture gel-up / polymerized as soon as BF$_3$.Et$_2$O was added to it. The
polymerized product was sticky and rubbery. \( \nu_{\text{max}}/\text{cm}^{-1} \) 3334 (O-H) 2922, 2856 (C-H) 1738 (C=O) 1460 (CH\(_2\)) 1171 (C-O) 723 (CH\(_2\))
188.8.131.52 Oligomerization of euphorbia oil (2.18) catalyzed by BF\(_3\).Et\(_2\)O without solvent
The experiment was conducted according to the procedure described in section 184.108.40.206. Euphorbia oil (2.18) (5 g, 5.5 mmol), BF\(_3\).Et\(_2\)O (0.23 g, 1.65 mmol). The reactant mixture gel-up / polymerized as soon as BF\(_3\).Et\(_2\)O was added to it. The polymerized product was sticky and rubbery. \( \nu_{\text{max}}/\text{cm}^{-1} \) 3340 (O-H) 2924, 2855 (C-H) 1742 (C=O) 1458 (CH\(_2\)) 1160 (C-O) 736 (CH\(_2\))
6.1.3 General Procedure for Oligomerization of Epoxidized Plant Oil with Solvent
220.127.116.11 Oligomerization of epoxidized methyl oleate (2.3) catalyzed by BF\(_3\).Et\(_2\)O with solvent as an example
Epoxidized methyl oleate (2.3) (100 g, 320 mmol) was weighed into a round bottom flask and hexane (200 ml) was added to it. The reactants mixture was stirred and heated at 20 °C under N\(_2\) atmosphere for 30 minutes before BF\(_3\).Et\(_2\)O (2.3 g, 16 mmol) was added drop-wise to (2.3). After the addition of BF\(_3\).Et\(_2\)O was completed, the reaction temperature was maintained at 20 °C for another 24 hours. Then, the reaction mixture was poured into separation funnel and washed with sodium bicarbonate solution (250 ml). The aqueous layer was separated from the organic layer and CHCl\(_3\) (500 ml) was added to organic layer. The organic layer was dried over anhydrous MgSO\(_4\) and CHCl\(_3\) was removed in vacuo to yield a yellowish liquid
(2.22) (95.24 g); \( \nu_{\text{max}}/\text{cm}^{-1} \) 3350 (O-H) 2922, 2853 (C-H) 1739 (C=O) 1459 (CH₂) 1169 (C-O) 723 (CH₂) \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 3.66 \) (9H, s, HCO), 3.60-3.05 (6H, m, HCO), 2.30 (6H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.68-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.55-1.20 (72H, m, CH₂CH₂CH₂), 0.87 (9H, t, \( J = 7.5 \) Hz, CH₂CH₃); \( ^{13} \text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 173.9 \) (C=O) 74.1, 73.4, 71.7 (C-O), 58.8 (OCH₃) 33.6 (O=CCH₂), 24.5 (O=CCH₂CH₂CH₂), 29.3, 28.9, 22.6 (CH₂CH₂CH₂), 13.7 (CH₂CH₃) \( m/z \) (ES⁺), [M+Na⁺], Required 977.7991, Found 977.7989
18.104.22.168 Oligomerization of epoxidized cocoa butter (2.16) catalyzed by BF₃.Et₂O with solvent
The experiment was conducted according to the procedure described in section 22.214.171.124. Epoxidized cocoa butter (2.16) (50 g, 57 mmol), hexane (80 ml), BF₃.Et₂O (0.81 g, 5.7 mmol), a yellowish liquid (2.23, 49.3 g); \( \nu_{\text{max}}/\text{cm}^{-1} \) 3360 (O-H) 2918, 2850 (C-H) 1740 (C=O) 1468 (CH₂) 1165 (C-O) 722 (CH₂) \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.23-5.15 \) (1H, m, CHO), 4.24 (2H, dd, \( J = 11.7 \) Hz, 3.7 Hz, CH₂O), 4.07 (2H, dd, \( J = 11.9 \) Hz, 6.0 Hz, CH₂O), 3.60-3.10 (2H, m, HCO), 2.26 (6H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.62-1.47 (6H, m, O=CCH₂CH₂CH₂), 1.45-1.10 (72H, m, CH₂CH₂), 0.82 (9H, t, \( J = 7.5 \) Hz, CH₂CH₃); \( ^{13} \text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = \)
173.1, 172.6 (C=O) 72.5 (HC-O) 68.7 (HC-O), 61.9, 61.7 (H₂C-O), 33.8 (O=CCH₂), 24.6 (O=CCH₂CH₂CH₂), 29.6, 22.5 (CH₂CH₂CH₂), 13.8 (CH₂CH₃)
126.96.36.199 Oligomerization of epoxidized palm oil (2.17) catalyzed by BF₃.Et₂O with solvent
The experiment was conducted according to the procedure described in section 188.8.131.52. Epoxidized palm oil (2.17) (100 g, 112 mmol), hexane (600 ml), BF₃.Et₂O (1.1g, 7.8 mmol), a yellowish liquid (2.24, 98.4 g); \( \nu_{\text{max}}/\text{cm}^{-1} \) 3348 (O-H) 2921, 2851 (C-H) 1742 (C=O) 1459 (CH₂) 1158 (C-O) 722 (CH₂) \( ^1\text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.22-5.13 \) (1H, m, CHO), 4.21 (2H, dd, \( J = 11.9 \) Hz, 4.1 Hz, CH₂O), 4.07 (2H, dd, \( J = 11.8 \) Hz, 5.9 Hz, CH₂O), 3.80-3.00 (4H, m, HCO), 2.23 (6H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.60-1.47 (6H, m, O=CCH₂CH₂CH₂), 1.35-1.10 (64H, m, CH₂CH₂), 0.79 (9H, t, \( J = 7.5 \) Hz, CH₂CH₃); \( ^{13}\text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 173.2, 172.5 \) (C=O) 72.4 (HC-O) 68.8 (HC-O), 61.8, 61.6 (H₂C-O), 33.9 (O=CCH₂), 24.7 (O=CCH₂CH₂CH₂), 29.5, 22.7 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)
184.108.40.206 Oligomerization of epoxidized rapeseed oil (2.17) catalyzed by BF₃.Et₂O with solvent
The experiment was conducted according to the procedure described in section 220.127.116.11. Epoxidized rapeseed oil (2.13) (50 g, 53 mmol), dry dichloromethane (500 ml), BF₃.Et₂O (0.60 g, 4.24 mmol), a yellowish liquid (2.25, 49.5 g); \( \nu_{\text{max}}/\text{cm}^{-1} \) 3355 (O-H) 2920, 2851 (C-H) 1728 (C=O) 1459 (CH₂) 1072 (C-O) 752 (CH₂) \( ^1\text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.35-5.21 \) (1H, m, CHO), 4.30 (2H, dd, \( J = 11.9 \) Hz, 4.0 Hz, CH₂O), 4.14 (2H, dd, \( J = 11.6 \) Hz, 5.6 Hz, CH₂O), 3.80-3.05 (8H, m, HCO), 2.35 (6H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.70-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.42-1.12 (54H, m,
CH\textsubscript{2}CH\textsubscript{2}), 0.88 (9H, t, $J = 7.5$ Hz, CH\textsubscript{2}CH\textsubscript{3}); $^{13}$C NMR (100 MHz CDCl\textsubscript{3}): $\delta_C =$ 173.1, 172.7 (C=O), 68.8 (HC-O), 65.6 (HC-O), 61.2, 61.8 (H\textsubscript{2}C-O), 33.8 (O=CCH\textsubscript{2}), 24.6 (O=CCH\textsubscript{2}CH\textsubscript{2}CH\textsubscript{2}), 31.1, 29.4, 22.6 (CH\textsubscript{3}CH\textsubscript{2}CH\textsubscript{2}), 13.8 (CH\textsubscript{2}CH\textsubscript{3})
18.104.22.168 Oligomerization of epoxidized soybean oil (2.6) catalyzed by BF\textsubscript{3}.Et\textsubscript{2}O with solvent
The experiment was conducted according to the procedure described in section 22.214.171.124. Epoxidized soybean oil (2.6) (50 g, 53 mmol), dry dichloromethane (500 ml), BF\textsubscript{3}.Et\textsubscript{2}O (1.01 g, 7.1 mmol), a yellowish liquid (2.26, 49 g) $v_{\text{max}}$/cm\textsuperscript{-1} 3360 (O-H) 2922, 2853 (C-H) 1740 (C=O) 1458 (CH\textsubscript{2}) 1075 (C-O) 754 (CH\textsubscript{2}) $^1$H NMR (400 MHz, CDCl\textsubscript{3}): $\delta_H =$ 5.29-5.20 (1H, m, CHO), 4.30 (2H, dd, $J = 11.7$ Hz, 3.9 Hz, CH\textsubscript{2}O), 4.14 (2H, dd, $J = 11.3$ Hz, 5.6 Hz, CH\textsubscript{2}O), 3.90-3.05 (10H, m, HCO), 2.31 (6H, t, $J = 7.5$ Hz, O=CCH\textsubscript{2}CH\textsubscript{2}), 1.70-1.51 (6H, m, O=CCH\textsubscript{2}CH\textsubscript{2}CH\textsubscript{2}), 1.50-1.20 (48H, m, CH\textsubscript{2}CH\textsubscript{2}), 0.88 (9H, t, $J = 7.5$ Hz, CH\textsubscript{2}CH\textsubscript{3}); $^{13}$C NMR (100 MHz CDCl\textsubscript{3}): $\delta_C =$ 172.9, 172.5 (C=O), 73.4 (HC-O), 68.7 (HC-O), 61.7, 61.9 (H\textsubscript{2}C-O), 33.7 (O=CCH\textsubscript{2}), 24.5 (O=CCH\textsubscript{2}CH\textsubscript{2}CH\textsubscript{2}), 29.1, 22.4, 15.5 (CH\textsubscript{2}CH\textsubscript{2}CH\textsubscript{2}), 13.7 (CH\textsubscript{2}CH\textsubscript{3})
126.96.36.199 Oligomerization of euphorbia oil (2.18) catalyzed by BF\textsubscript{3}.Et\textsubscript{2}O with solvent
The experiment was conducted according to the procedure described in section 188.8.131.52. Euphorbia oil (2.18) (70 g, 77 mmol), dry dichloromethane (140 ml), BF\textsubscript{3}.Et\textsubscript{2}O (0.7 g, 5.0 mmol), a yellowish liquid (2.27, 50 g); $v_{\text{max}}$/cm\textsuperscript{-1} 3481 (O-H) 2924, 2854 (C-H) 1742 (C=O) 1464 (CH\textsubscript{2}) 1161 (C-O) 756 (CH\textsubscript{2}); $^1$H NMR (400 MHz, CDCl\textsubscript{3}): $\delta_H =$ 5.58-5.29 (6H, m, CH=CH), 5.28-5.23 (1H, m, CHO), 4.29 (2H,
dd, $J = 11.8$ Hz, 3.9 Hz, CH$_2$O), 4.14 (2H, dd, $J = 11.7$ Hz, 5.5 Hz, CH$_2$O), 3.75 – 3.10 (4H, m, HCO), 2.30 (6H, t, $J = 7.5$ Hz, O=CCH$_2$CH$_2$), 2.10-1.95 (12H, m, CH$_2$CH=CH) 1.67-1.54 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.50-1.20 (50H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J = 6.9$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.2$, 172.8 (C=O), 129.7, 125.5 (HC=CH), 74.6, 73.7 (HC-O), 68.8 (HC-O), 62.0, 61.9 (H$_2$C-O), 33.9 (O=CCH$_2$), 27.1 (CH$_2$CH=CH), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 29.4, 22.7 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)
### 6.1.4 Synthesis of dihydroxy methyl stearate (2.32) (DHMS)
Epoxidized methyl oleate (2.3) (57.6 g, 184 mmol) was weighed into a round bottom flask. Deionized water (50 ml) and H$_3$PO$_4$ (1 g, 10 mmol) were added to (2.3). The mixture was stirred and heated to 80 °C for 12 hours. The reaction mixture was poured into a separating funnel and was washed with NaCl solution (100 ml), NaHCO$_3$ (100 ml) and NaCl (100 ml). The aqueous layer was discarded and CHCl$_3$ (100 ml) was added to the organic layer. The organic layer was dried over anhydrous MgSO$_4$ and CHCl$_3$ was removed in vacuo to yield a colorless liquid. The colorless liquid was dissolved in hot hexane (60 °C, 60 ml) and the mixture was left to cool to room temperature. White precipitate was formed from the mixture upon cooling and was filtered and washed with hexane to yield white solid (2.32, 33.0 g, 100 mmol, 54% yield). $\nu_{\text{max}}/\text{cm}^{-1}$ 3342 (O-H) 2912, 2846 (C-H) 1742 (C=O) 1467 (CH$_2$) 1166, 1038 (C-O) 720 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 3.67$ (3H, s, HCO), 3.46-3.35 (2H, m, HCO), 2.31 (2H, t, $J = 7.5$ Hz O=CCH$_2$CH$_2$), 1.68-1.56 (2H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.39 (4H, m, HOCH$_2$), 1.37-1.20 (20H, m, CH$_2$CH$_2$CH$_2$), 0.88 (3H, t, $J = 7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 174.4$ (C=O) 74.3 (C-O), 51.3 (OCH$_3$) 33.8 (O=CCH$_2$), 33.2 (HOCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$),
31.3, 29.4, 22.9 (CH₂CH₂CH₂), 13.9 (CH₂CH₃); \( m/z \) (ES⁺) [M+Na⁺] Required 353.2662, Found 353.2662; Melting point: 65-67 °C (literature\(^{118}\) 67-68 °C).
\[ \text{HO} \quad \text{OH} \quad \text{CO}_2\text{Me} \quad (2.32) \]
### 6.1.5 General Procedure for Ring Opening of Epoxidized Plant Oil with Polyhydric Alcohol
#### 184.108.40.206 Ring opening of epoxidized methyl oleate (2.3) with ethylene glycol as an example
Ethylene glycol (1.5 g, 24 mmol) was stirred and heated to 60 °C in a round bottom flask for 30 minutes before BF₃.Et₂O (0.34 g, 2.4 mmol) was added to it. The mixture was stirred and heated at 60 °C for another 30 minutes. Epoxidized methyl oleate (2.3) (5 g, 16 mmol) was stirred and heated to 60 °C in another round bottom flask. The mixture of ethylene glycol / BF₃.Et₂O was added drop-wise to (2.3). After the addition was completed, the reaction temperature was maintained at 60 °C for 24 hours. Then, the reaction mixture was poured into separation funnel and washed with sodium bicarbonate solution (50 ml). The aqueous layer was separated from the organic layer and CHCl₃ (50 ml) was added to organic layer. The organic layer was dried over anhydrous MgSO₄ and CHCl₃ was removed *in vacuo* to yield a yellowish liquid (2.34, 5.1 g). \( \nu_{\text{max}}/\text{cm}^{-1} \) 3431 (O-H) 2924, 2854 (C-H) 1738 (C=O) 1457 (CH₂) 1076 (C-O) 723 (CH₂) \( ^1\text{H} \) NMR (400 MHz, CDCl₃): \( \delta_{\text{H}} = 4.19 \) (2H, t, \( J = 7.5 \) Hz, H₂CO), 3.80 (2H, t, \( J = 7.5 \) Hz, H₂CO), 3.68 (6H, s, H₃CO), 3.60-3.10 (4H, m, HCO), 2.32 (4H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.70-1.56 (4H, m, O=CCH₂CH₂CH₂), 1.55-1.20 (48H, m, CH₂CH₂CH₂), 0.87 (6H, t, \( J = 7.5 \) Hz, CH₂CH₃) \( ^{13}\text{C} \) NMR (100 MHz
CDCl$_3$): $\delta_C = 174.1$ (C=O), 72.5, 71.5 (C-O), 65.6 (H$_2$C-O), 60.6 (H$_2$C-O), 51.2 (H$_3$C-O) 33.8 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 31.4, 29.3, 28.9, 22.6 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$); $m/z$ (ES$^+$), [M+Na$^+$], Required 709.5589 Found 709.5589
### 220.127.116.11 Ring opening of epoxidized cocoa butter (2.16) with ethylene glycol
The experiment was conducted according to the procedure described in section 18.104.22.168. Ethylene glycol (0.56 g, 9 mmol), BF$_3$.Et$_2$O (0.13 g, 0.9 mmol), epoxidized cocoa butter (2.16) (5 g, 6 mmol), a viscous yellowish liquid (4.95 g) $v_{\text{max}}$/cm$^{-1}$ 3380 (O-H) 2916, 2850 (C-H) 1742 (C=O) 1467 (CH$_2$) 1162 (C-O) 719 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.21-5.11$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.9$ Hz, 4.2 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.8$ Hz, 5.9 Hz, CH$_2$O), 3.90-3.25 (4H, m, HCO), 2.23 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.60-1.45 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.42-0.95 (72H, m, CH$_2$CH$_2$), 0.79 (9H, t, $J = 7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.1$, 172.7 (C=O) 72.9, 72.6, 71.8 (HC-O) 68.5 (HC-O), 61.8, 61.9 (H$_2$C-O), 33.9 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 29.5, 22.5 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)
### 22.214.171.124 Ring opening of epoxidized palm oil (2.17) with ethylene glycol
The experiment was conducted according to the procedure described in section 126.96.36.199. Ethylene glycol (1.05 g, 17 mmol), BF$_3$.Et$_2$O (0.23 g, 1.65 mmol), epoxidized palm oil (2.17) (5 g, 5.6 mmol), a viscous yellowish liquid (2.35, 4.9 g). $v_{\text{max}}$/cm$^{-1}$ 3450 (O-H) 2922, 2854 (C-H) 1742 (C=O) 1465 (CH$_2$) 1161, 1096 (C-O)
755 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.30-5.20$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.7$ Hz, 3.6 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.8$ Hz, 5.8 Hz, CH$_2$O), 3.90-3.25 (8H, m, HCO), 2.31 (6H, t, $J= 7.0$ Hz, O=CCH$_2$CH$_2$), 1.67-1.55 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.54-1.15 (64H, m, CH$_2$CH$_2$), 0.86 (9H, t, $J= 7.5$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.2$, 172.8 (C=O) 72.6, 72.2, 71.6, 68.7, (HC-O), 62.0, 61.8 (H$_2$C-O), 33.8 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 29.5, 22.6 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)
188.8.131.52 Ring opening of epoxidized rapeseed oil (2.13) with ethylene glycol
The experiment was conducted according to the procedure described in section 184.108.40.206. Ethylene glycol (2.79 g, 45 mmol), BF$_3$.Et$_2$O (0.64 g, 4.5 mmol), epoxidized rapeseed oil (2.13) (5 g, 5.3 mmol), a viscous yellowish liquid (5.5 g) $v_{\text{max}}$/cm$^{-1}$ 3430 (O-H) 2925, 2856 (C-H) 1739 (C=O) 1463 (CH$_2$) 1162, 1097 (C-O) 754 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.30-5.21$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.9$ Hz, 4.0 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.6$ Hz, 5.7 Hz, CH$_2$O), 3.90-3.30 (8H, m, HCO), 2.33 (6H, t, $J= 7.0$ Hz, O=CCH$_2$CH$_2$), 1.70-1.55 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.52-1.18 (54H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J= 7.0$Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.0$, 172.3 (C=O) 72.7, 69.8, 68.7, 60.8 (HC-O), 62.2, 61.8 (H$_2$C-O), 33.9 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 31.3, 29.4, 28.8, 22.7 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)
220.127.116.11 Ring opening of epoxidized soybean oil (2.6) with ethylene glycol
The experiment was conducted according to the procedure described in section 18.104.22.168. Ethylene glycol (4.65 g, 75 mmol), BF$_3$.Et$_2$O (1.06 g, 7.5 mmol), epoxidized soybean oil (2.6) (10 g, 10.4 mmol). The reaction mixture polymerized overnight.
22.214.171.124 Ring opening of epoxidized methyl oleate (2.3) with glycerol
The experiment was conducted according to the procedure described in section 126.96.36.199. Glycerol (9 g, 98 mmol), BF₃.Et₂O (1.2 g, 8.5 mmol), epoxidized methyl oleate (2.3) (20 g, 64 mmol), a yellowish liquid (2.36, 17.3 g). \( \nu_{\text{max}}/\text{cm}^{-1} \) 3460 (O-H) 2924, 2854 (C-H) 1739 (C=O) 1458 (CH₂) 1170, 1075 (C-O) 723 (CH₂); \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 3.67 \) (9H, s, HCO), 3.57-3.10 (11H, m, HCO), 2.28 (6H, t, \( J = 7.0 \) Hz, O=CCH₂CH₂), 1.66-1.51 (6H, m, O=CCH₂CH₂CH₂), 1.49-1.15 (72H, m, CH₂CH₂CH₂), 0.85 (9H, t, \( J = 7.0 \) Hz, CH₂CH₃); \( ^{13} \text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 174.3 \) (C=O) 74.2, 73.2, 71.5, 65.1, 63.4, 61.4 (C-O), 51.2 (OCH₃) 33.8 (O=CCH₂), 24.7 (O=CCH₂CH₂CH₂), 31.3, 29.4, 22.6 (CH₂CH₂CH₂), 13.8 (CH₂CH₃); \( m/z \) (ES⁺), [M+Na⁺] Required 1051.8359 Found 1051.8359
188.8.131.52 Ring opening of epoxidized cocoa butter (2.16) with glycerol
The experiment was conducted according to the procedure described in section 184.108.40.206. Glycerol (0.83 g, 9 mmol), BF₃.Et₂O (0.13 g, 0.9 mmol), epoxidized cocoa
butter (2.16) (5 g, 6 mmol), a viscous yellowish liquid (5 g). \( \nu_{\text{max}}/\text{cm}^{-1} \) 3360 (O-H) 2920, 2851 (C-H) 1742 (C=O) 1466 (CH₂) 1163 (C-O) 721 (CH₂); \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.29-5.22 \) (1H, m, CHO), 4.30 (2H, dd, \( J = 11.8 \) Hz, 3.6 Hz, CH₂O), 4.14 (2H, dd, \( J = 11.9 \) Hz, 5.9 Hz, CH₂O), 3.9 – 3.2 (4H, m, HCO), 2.32 (6H, t, \( J = 7 \) Hz O=CCH₂CH₂), 1.55-1.67 (6H, m, O=CCH₂CH₂CH₂), 1.20-1.54 (72H, m, CH₂CH₂), 0.9 (9H, t, \( J = 7.5 \) Hz, CH₂CH₃); \( ^{13} \text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 174.3 \) (C=O) 74.2, 72.8, 61.4 (C-O), 51.2 (OCH₃) 33.8 (O=CCH₂), 24.7 (O=CCH₂CH₂CH₂), 31.3, 29.4, 22.6 (CH₂CH₂CH₂), 13.8 (CH₂CH₃).
**220.127.116.11 Ring opening of epoxidized palm oil (2.17) with glycerol**
The experiment was conducted according to the procedure described in section 18.104.22.168. Glycerol (1.56 g, 17 mmol), BF₃.Et₂O (0.23 g, 1.65 mmol), epoxidized palm oil (2.17) (5 g, 5.6 mmol), the reaction mixture polymerized 10 minutes later. \( \nu_{\text{max}}/\text{cm}^{-1} \) 3295 (O-H) 2923, 2851 (C-H) 1742 (C=O) 1415 (CH₂) 1033 (C-O).
**22.214.171.124 Ring opening of epoxidized rapeseed oil (2.13) with glycerol**
The experiment was conducted according to the procedure described in section 126.96.36.199. Glycerol (4.14 g, 45 mmol), BF₃.Et₂O (0.64 g, 4.5 mmol), epoxidized rapeseed oil (2.13) (5 g, 5.3 mmol), the reaction mixture polymerized 5 minutes later. \( \nu_{\text{max}}/\text{cm}^{-1} \) 3440 (O-H) 2925, 2855 (C-H) 1738 (C=O) 1464 (CH₂) 1163 (C-O) 753 (CH₂).
**188.8.131.52 Ring opening of epoxidized soybean oil (2.6) with glycerol**
The experiment was conducted according to the procedure described in section 184.108.40.206. Glycerol (17.3 g, 0.19 mol), BF₃.Et₂O (2.7 g, 18.8 mmol), epoxidized
soybean oil (2.6) (25 g, 26.4 mmol), the reaction mixture polymerized 5 minutes later.
\[ \nu_{\text{max}}/\text{cm}^{-1} \quad 3332 \ (\text{O-H}) \quad 2924, \ 2855 \ (\text{C-H}) \quad 1739 \ (\text{C=O}) \quad 1457 \ (\text{CH}_2) \quad 1161, \ 1041 \ (\text{C-O}) \quad 755 \ (\text{CH}_2). \]
### 220.127.116.11 Ring opening of epoxidized methyl oleate (2.3) with dihydroxy methyl stearate (2.32) (DHMS)
The experiment was conducted according to the procedure described in section 18.104.22.168. DHMS (7.9 g, 24 mmol), BF$_3$.Et$_2$O (0.34 g, 2.4 mmol), epoxidized methyl oleate (2.3) (5 g, 16 mmol), a yellowish liquid (2.37, 12.5 g) \( \nu_{\text{max}}/\text{cm}^{-1} \) 3354 (O-H) 2923, 2853 (C-H) 1736 (C=O) 1458 (CH$_2$) 1169 (C-O) 723 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): \( \delta_H = \) 3.67 (6H, s, HCO), 3.60-3.25 (4H, m, HCO), 2.30 (4H, t, \( J= 7.0 \) Hz, O=CCH$_2$CH$_2$), 1.68-1.56 (4H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.20 (48H, m, CH$_2$CH$_2$CH$_2$), 0.88 (6H, t, \( J= 7.0 \) Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): \( \delta_C = \) 174.1 (C=O) 74.3, 71.5 (C-O), 51.1 (OCH$_3$) 33.8 (O=CCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 31.2, 29.2, 22.6 (CH$_2$CH$_2$CH$_2$), 13.7 (CH$_2$CH$_3$); \( m/z \) (ES$^+$) [M+Na$^+$] Required 665.5327, Found 665.5327
### 22.214.171.124 Ring opening of epoxidized cocoa butter (2.16) with dihydroxy methyl stearate (2.32) (DHMS)
The experiment was conducted according to the procedure described in section 126.96.36.199. DHMS (2.97 g, 9 mmol), BF$_3$.Et$_2$O (0.13 g, 0.9 mmol), epoxidized cocoa
butter (2.16) (5 g, 6 mmol), a yellowish liquid (7.1 g); \( \nu_{\text{max}}/\text{cm}^{-1} \) 3345 (O-H) 2921, 2852 (C-H) 1740 (C=O) 1459 (CH₂) 1163 (C-O) 722 (CH₂); \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.30-5.22 \) (2H, m, CHO), 4.31 (2H, dd, \( J = 11.8 \) Hz, 4.0 Hz, CH₂O), 4.14 (2H, dd, \( J = 11.7 \) Hz, 5.8 Hz, CH₂O), 3.67 (3H, s, HCO), 3.60-3.25 (4H, m, HCO), 2.30 (14H, t, \( J = 7.0 \) Hz, O=CCH₂CH₂), 1.66-1.55 (14H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (176H, m, CH₂CH₂), 0.9 (21H, t, \( J = 7.0 \) Hz, CH₂CH₃);
\( ^{13} \text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 174.1 \) (C=O) 74.3, 72.1 (C-O), 68.7 (OCH), 61.9, 61.7 (CH₂O) 51.1 (OCH₃) 33.8 (O=CCH₂), 24.5 (O=CCH₂CH₂CH₂), 31.2, 29.2, 22.5 (CH₂CH₂CH₂), 13.8 (CH₂CH₃)
### 188.8.131.52 Ring opening of epoxidized palm oil (2.17) with dihydroxy methyl stearate (2.32) (DHMS)
The experiment was conducted according to the procedure described in section 184.108.40.206. DHMS (5.45 g, 16.5 mmol), BF₃.Et₂O (0.23 g, 1.65 mmol), epoxidized palm oil (2.17) (5 g, 5.6 mmol), a yellowish liquid (2.38, 10.7 g); \( \nu_{\text{max}}/\text{cm}^{-1} \) 3438 (O-H) 2921, 2852 (C-H) 1736 (C=O) 1459 (CH₂) 1166 (C-O) 722 (CH₂); \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.39-5.23 \) (2H, m, CHO), 4.30 (2H, dd, \( J = 11.8 \) Hz, 3.6 Hz, CH₂O), 4.15 (2H, dd, \( J = 11.7 \) Hz, 5.8 Hz, CH₂O), 3.66 (3H, s, HCO), 3.60-3.26 (8H, m, HCO), 2.30 (18H, t, \( J = 7.0 \) Hz, O=CCH₂CH₂), 1.68-1.56 (18H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (144H, m, CH₂CH₂), 0.87 (18H, t, \( J = 7.5 \) Hz, CH₂CH₃);
\( ^{13} \text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 173.7 \) (C=O) 74.3, 72.1 (C-O), 68.8 (OCH), 62.0, 61.8 (CH₂O) 51.2 (OCH₃) 33.8 (O=CCH₂), 24.6 (O=CCH₂CH₂CH₂), 29.5, 29.1, 22.6 (CH₂CH₂CH₂), 13.8 (CH₂CH₃)
220.127.116.11 Ring opening of epoxidized rapeseed oil (2.13) with dihydroxy methyl stearate (2.32) (DHMS)
The experiment was conducted according to the procedure described in section 18.104.22.168. DHMS (14.9 g, 45 mmol), BF$_3$.Et$_2$O (0.64 g, 4.5 mmol), epoxidized rapeseed oil (2.13) (5 g, 5.3 mmol), a yellowish liquid (18.7 g), $v_{\text{max}}$/cm$^{-1}$ 3440 (O-H) 2922, 2853 (C-H) 1735 (C=O) 1459 (CH$_2$) 1168 (C-O) 723 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.29-5.22$ (1H, m, CHO), 4.31 (2H, dd, $J= 11.6$ Hz, 4.0 Hz, CH$_2$O), 4.15 (2H, dd, $J= 11.7$ Hz, 5.7 Hz, CH$_2$O), 3.64 (3H, s, HCO), 3.62-3.20 (4H, m, HCO), 2.31 (8H, t, $J= 7.0$ Hz, O=CCH$_2$CH$_2$), 1.72-1.56 (8H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.18 (92H, m, CH$_2$CH$_2$), 0.88 (12H, t, $J= 6.5$Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 174.3$ (C=O) 74.4, 72.2 (C-O), 68.6 (OCH), 62.2, 61.8 (CH$_2$O) 51.2 (OCH$_3$) 33.8 (O=CCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 31.2, 29.3, 28.9, 22.6 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$).
22.214.171.124 Ring opening of epoxidized soybean oil (2.6) with dihydroxy methyl stearate (2.32) (DHMS)
The experiment was conducted according to the procedure described in section 126.96.36.199. DHMS (12.4 g, 37 mmol), BF$_3$.Et$_2$O (0.45 g, 3.8 mmol), epoxidized soybean oil (2.6) (5 g, 5.2 mmol), a yellowish liquid (15.7 g) $v_{\text{max}}$/cm$^{-1}$ 3354 (O-H) 2923, 2853 (C-H) 1736 (C=O) 1458 (CH$_2$) 1169 (C-O) 723 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.27-5.22$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.9$ Hz, 3.9 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.8$ Hz, 5.7 Hz, CH$_2$O), 3.66 (3H, s, HCO), 3.62-3.20 (4H, m, HCO), 2.30 (8H, t, $J= 7.0$ Hz, O=CCH$_2$CH$_2$), 1.68-1.55 (8H, m, O=CCH$_2$CH$_2$CH$_2$), 1.55-1.20 (88H, m, CH$_2$CH$_2$), 0.86 (12H, t, $J= 7.0$ Hz, CH$_2$CH$_3$);
$^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 174.1$ (C=O) 74.3, 72.1, 61.3 (C-O), 68.7 (OCH), 62.2, 61.8 (CH$_2$O) 51.1 (OCH$_3$) 33.8 (O=CCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 29.3, 28.9, 22.5 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)
### 188.8.131.52 Ring opening of epoxidized methyl oleate (2.3) with glucose
The experiment was conducted according to the procedure described in section 184.108.40.206. Glucose (4.32 g, 24 mmol), dry DMSO (10 ml), BF$_3$.Et$_2$O (0.34 g, 2.4 mmol), epoxidized methyl oleate (2.3) (5 g, 16 mmol), a white solid (4.92 g)
$v_{\text{max}}/\text{cm}^{-1}$ 3349 (O-H) 2925, 2853 (C-H) 1740 (C=O) 1467 (CH$_2$) 1168 (C-O) 721 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 3.67$ (3H, s, HCO), 3.43-3.37 (2H, m, HCO), 2.31 (2H, t, $J= 7.0$ Hz, O=CCH$_2$CH$_2$), 1.68-1.54 (2H, m, O=CCH$_2$CH$_2$CH$_2$), 1.53-1.39 (4H, m, HOCCCH$_2$), 1.38-1.19 (20H, m, CH$_2$CH$_2$CH$_2$), 0.87 (3H, t, $J= 7.0$ Hz, CH$_2$CH$_3$), $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 174.3$ (C=O) 74.2 (C-O), 51.2 (OCH$_3$) 33.7 (O=CCH$_2$), 33.2 (HOCCCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 29.3, 22.6 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$); $m/z$ (ES$^+$) [M+Na$^+$] Required 353.2662, Found 353.2664; Melting point: 65-67 °C (literature$^{118}$ 67-68 °C).
### 220.127.116.11 Ring opening of epoxidized cocoa butter (2.16) with glucose
The experiment was conducted according to the procedure described in section 18.104.22.168. Glucose (Glu) (1.62 g, 9 mmol), dry DMSO (5 ml), BF$_3$.Et$_2$O (0.13 g, 0.9 mmol), epoxidized cocoa butter (ECB) (5 g, 6 mmol), a yellowish liquid (4.1 g),
$v_{\text{max}}/\text{cm}^{-1}$ 2916, 2850 (C-H) 1739 (C=O) 1470 (CH$_2$) 1172 (C-O) 757 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.30-5.22$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.9$ Hz, 4.3 Hz, CH$_2$O), 4.15 (2H, dd, $J= 11.8$ Hz, 5.8 Hz, CH$_2$O), 3.52-3.36 (2H, m, HCO),
2.33 (6H, t, $J=7.6$ Hz, O=CCH$_2$CH$_2$), 1.68-1.53 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.52-1.19 (76H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J=7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.6$, 172.6 (C=O) 74.1 (HC-O), 68.8 (HC-O), 61.9, 61.8 (H$_2$C-O), 33.7 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 29.4, 22.5 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)
**22.214.171.124 Ring opening of epoxidized palm oil (2.17) with glucose**
The experiment was conducted according to the procedure described in section 126.96.36.199. Glucose (Glu) (3.0 g, 16.8 mmol), dry DMSO (10 ml), BF$_3$.Et$_2$O (0.24 g, 1.7 mmol), epoxidized palm oil (2.17) (5 g, 5.8 mmol), a yellowish liquid (4.7 g) $v_{\text{max}}$/cm$^{-1}$ 3450 (O-H) 2921, 2852 (C-H) 1738 (C=O) 1466 (CH$_2$) 1174 (C-O) 755 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.29$-5.22 (1H, m, CHO), 4.29 (2H, dd, $J=11.8$ Hz, 4.1 Hz, CH$_2$O), 4.13 (2H, dd, $J=11.9$ Hz, 5.8 Hz, CH$_2$O), 3.55-3.35 (2H, m, HCO), 2.31 (6H, t, $J=7.5$ Hz, O=CCH$_2$CH$_2$), 1.67-1.55 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.54-1.19 (72H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J=7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.8$, 172.8 (C=O) 74.3, 72.4, 62.8 (HC-O) 68.7 (HC-O), 62.1, 61.8 (H$_2$C-O), 33.8 (O=CCH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 29.4, 22.5 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)
**188.8.131.52 Ring opening of epoxidized rapeseed oil (2.13) with glucose**
The experiment was conducted according to the procedure described in section 184.108.40.206. Glucose (Glu) (8.1 g, 45 mmol), dry DMSO (10 ml), BF$_3$.Et$_2$O (0.64 g, 4.5 mmol), a yellowish liquid (4.7 g) $v_{\text{max}}$/cm$^{-1}$ 3353 (O-H) 2924, 2854 (C-H) 1741 (C=O) 1465 (CH$_2$) 1165 (C-O) 755 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.30$-5.22 (1H, m, CHO), 4.29 (2H, dd, $J=11.9$ Hz, 4.0 Hz, CH$_2$O), 4.14 (2H, dd, $J=11.7$
Hz, 5.9 Hz, CH₂O), 3.75–3.36 (8H, m, HCO), 2.34 (6H, t, J= 7.3 Hz, O=CCH₂CH₂), 1.70-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.53-1.19 (68H, m, CH₂CH₂), 0.88 (9H, t, J = 7.6 Hz, CH₂CH₃); \(^{13}\)C NMR (100 MHz CDCl₃): δ_c = 173.6, 172.7 (C=O) 74.1, 72.2, 71.8 (HC-O) 68.7 (HC-O), 62.0, 61.7 (H₂C-O), 33.7 (O=CCH₂), 24.5 (O=CCH₂CH₂CH₂), 31.1, 29.3, 22.6 (CH₂CH₂CH₂), 13.8 (CH₂CH₃).
### 220.127.116.11 Ring opening of epoxidized soybean oil (2.6) with glucose
The experiment was conducted according to the procedure described in section 18.104.22.168. Glucose (Glu) (6.75 g, 37.5 mmol), dry DMSO (10 ml), BF₃.Et₂O (0.53 g, 3.75 mmol), epoxidized soybean oil (2.6) (5 g, 5.7 mmol), a yellowish liquid (4.5 g)
\(v_{\text{max}}/\text{cm}^{-1}\) 3440 (O-H) 2924, 2855 (C-H) 1740 (C=O) 1464 (CH₂) 1162 (C-O) 755 (CH₂); \(^1\)H NMR (400 MHz, CDCl₃): δ_H = 5.30-5.20 (1H, m, CHO), 4.29 (2H, dd, J= 11.9 Hz, 4.0 Hz, CH₂O), 4.14 (2H, dd, J= 11.7 Hz, 5.8 Hz, CH₂O), 3.80–3.20 (10H, m, HCO), 2.32 (6H, t, J= 7.0 Hz, O=CCH₂CH₂), 1.72-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.45-1.15 (64, m, CH₂CH₂), 0.88 (9H, t, J= 7.5 Hz, CH₂CH₃);
\(^{13}\)C NMR (100 MHz CDCl₃): δ_c = 173.1, 172.6 (C=O) 74.1, 73.0, 71.8 (HC-O) 68.7 (HC-O), 61.9, 61.7 (H₂C-O), 33.6 (O=CCH₂), 24.5 (O=CCH₂CH₂CH₂), 29.3, 25.5, 22.4 (CH₂CH₂CH₂), 13.7 (CH₂CH₃)
6.1.6 General Procedure for Ring Opening of Epoxidized Plant Oil with Water
22.214.171.124 Ring opening of epoxidized palm oil (2.17) by water
Epoxidized palm oil (2.13) (50 g, 56 mmol) was weighed into a round bottom flask. Deionized water (500 ml) and para-toluene sulfonic acid (21.5 g, 113 mmol) were added to (2.13). The mixture was stirred and heated to 100 °C for 7 hours. The reaction mixture was poured into a separating funnel and was washed with NaCl solution (100 ml), NaHCO₃ (100 ml) and NaCl (100 ml). The aqueous layer was discarded and CHCl₃ (100 ml) was added to the organic layer. The organic layer was dried over anhydrous MgSO₄ and CHCl₃ was removed in vacuo to yield a yellowish liquid (2.39, 51.6 g). \( \nu_{\text{max}}/\text{cm}^{-1} \) 3355 (O-H) 2922, 2853 (C-H) 1742 (C=O) 1464 (CH₂) 1164 (C-O) 722 (CH₂); \( ^1\text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.30-5.22 \) (1H, m, CHO), 4.30 (2H, dd, \( J = 11.8 \) Hz, 3.8 Hz, CH₂O), 4.14 (2H, dd, \( J = 11.9 \) Hz, 5.7 Hz, CH₂O), 3.80-3.20 (4H, m, HCO), 2.30 (6H, t, \( J = 6.5 \) Hz O=CCH₂CH₂), 1.69-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.51-1.44 (8H, m, CH₂COH) 1.43-1.20 (64H, m, CH₂CH₂), 0.88 (9H, t, \( J = 6.5 \) Hz, CH₂CH₃); \( ^{13}\text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 173.3, 172.8 \) (C=O) 74.3, 72.3, 62.9 (C-O), 68.7 (OCH), 62.1, 61.8 (CH₂O), 33.8 (O=CCH₂), 24.6 (O=CCH₂CH₂CH₂), 31.3, 29.4, 29.5, 25.1, 22.5 (CH₂CH₂CH₂), 13.9 (CH₂CH₃).
126.96.36.199 Ring opening of epoxidized soybean oil (2.6) by water
The experiment was conducted according to the procedure described in section 188.8.131.52. Epoxidized soybean oil (2.6) (5 g, 5 mmol), deionized water (15 ml), phosphoric acid (1 g, 10 mmol), a yellowish liquid (2.40, 5.4 g). \( \nu_{\text{max}}/\text{cm}^{-1} \) 3358 (O-H) 2923, 2853 (C-H) 1743 (C=O) 1459 (CH₂) 1170 (C-O) 723 (CH₂); \( ^1\text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.29-5.22 \) (1H, m, CHO), 4.30 (2H, dd, \( J = 11.9 \) Hz, 4.0 Hz, CH₂O), 4.14 (2H, dd, \( J = 11.5 \) Hz, 5.7 Hz, CH₂O), 3.80-3.20 (10H, m, HCO), 2.31
(6H, t, $J= 6.5$ Hz O=CCH$_2$CH$_2$), 1.70-1.55 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.52-1.44 (14H, m, CH$_2$COH) 1.43-1.20 (50H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J = 6.5$Hz, CH$_2$CH$_3$);
$^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.2$, 172.8 (C=O) 74.2, 72.5, 65.9 (C-O), 68.7 (OCH), 62.0, 61.8 (CH$_2$O), 33.8 (O=CCH$_2$), 24.6 (O=CCH$_2$CH$_2$CH$_2$), 31.3, 29.4, 29.2, 25.0, 22.7 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$).
### 6.2 GENERAL PROCEDURES FOR SUBSTRATES SYNTHESIZED IN CHAPTER 3
#### 6.2.1 General procedure for polyurethanes synthesized with oligomeric polyols
**Polyurethane (3.3) based on oligomeric polyol (2.24) as an example**
Oligomeric polyol (2.24) (1 g, hydroxyl value = 35.7 mg KOH/g sample) was weighed into a round bottom flask and chloroform (2 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4’-methylene diphenyl diisocyanate (MDI) (0.07 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the chloroform was removed by using a rotary evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane (3.3) was cured at 60 °C for 24 hours in an oven. $v_{\text{max}}/\text{cm}^{-1}$ 2916, 2849 (C-H) 1725 (C=O) 1530 (aromatic =CH) 1173 (C-O) 721 (CH$_2$);
6.2.2 General procedure for polyurethanes synthesized with oligomeric polyols and 1,4-butanediol
Polyurethane based on oligomeric polyol (2.24) as an example
Oligomeric polyol (2.24) (1 g, hydroxyl value = 35.7 mg KOH/g sample) and 1,4-butane diol (92 mg) were weighed into a round bottom flask and chloroform (7 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4'-methylene diphenyl diisocyanate (MDI) (0.33 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the chloroform was removed by using a rotary evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane was cured at 60 °C for 24 hours in an oven. \( \nu_{\text{max}}/\text{cm}^{-1} \) 2915, 2849 (C-H) 1726 (C=O) 1527 (aromatic =CH) 1095 (C-O) 721 (CH₂);
6.2.3 General procedure for polyurethanes synthesized with oligomeric polyols and polyethylene glycol
Polyurethane (3.10) based on oligomeric polyol (2.24) as an example
Oligomeric polyol (2.24) (5 g, hydroxyl value = 35.7 mg KOH/g sample) and polyethylene glycol (average molecule weight = 3350) (6.5 g) were weighed into a round bottom flask and chloroform (25 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4'-methylene diphenyl diisocyanate (MDI) (1.7 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the
chloroform was removed by using a rotary evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane (3.10) was cured at 60 °C for 24 hours in an oven. $v_{\text{max}}/\text{cm}^{-1}$ 2922, 2853 (C-H) 1743 (C=O) 1597 (aromatic =CH) 1095 (C-O) 721 (CH$_2$);
6.2.4 General procedure for polyurethanes synthesized with oligomeric polyols, glycerol and polyethylene glycol
Polyurethane (3.18) based on oligomeric polyol (2.23) as an example
Oligomeric polyol (2.23) (7 g, hydroxyl value = 31 mg KOH/g sample), polyethylene glycol (average molecule weight = 3350) (6.5 g) and glycerol (0.42 g) were weighed into a round bottom flask and chloroform (70 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4'-methylene diphenyl diisocyanate (MDI) (3.6 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the chloroform was removed by using a rotary evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane (3.18) was cured at 60 °C for 24 hours in an oven. $v_{\text{max}}/\text{cm}^{-1}$ 2916, 2850 (C-H) 1734 (C=O) 1597 (aromatic =CH) 1014 (C-O) 793 (CH$_2$);
6.3 General Procedures for Substrates Synthesized in Chapter 4
184.108.40.206 General procedure for copolymerization of epoxidized plant oils with tetrahydrofuran [epoxidized cocoa butter (2.16) as an example]
Epoxidized cocoa butter (2.16) (50 g, 57 mmol) was weighed into a round bottom flask and dry tetrahydrofuran (250 ml) was added to it. The reactants mixture was stirred and heated at 20 °C under N₂ atmosphere for 30 minutes. Then BF₃.Et₂O (0.81 g, 5.7 mmol) was added drop-wise to the epoxidized cocoa butter (2.16) / tetrahydrofuran mixture. After the addition of BF₃.Et₂O was completed, the reaction temperature was maintained at 20 °C under N₂ atmosphere for another 24 hours. Then, the reaction mixture was poured into separation funnel and then saturated NaCl solution (200 cm³) and chloroform (300 cm³) were added to the reaction mixture. The aqueous layer was separated from the organic layer and the organic layer was neutralized with saturated sodium hydrogen carbonate solution (100 cm³). The organic layer was again washed with NaCl solution (200 cm³). The organic layer was dried over anhydrous MgSO₄ followed by removal of solvent *in vacuo* to yield a clear viscous liquid (4.7) (120 g) \( \nu_{\text{max}}/\text{cm}^{-1} \) 3360 (O-H) 2921, 2850 (C-H) 1742 (C=O) 1105 (C-O) 754 (CH₂); \( ^1\text{H NMR} \) (400 MHz, CDCl₃): \( \delta_{\text{H}} = 5.24-5.28 \) (1H, m, CHO) 4.25 (2H, dd, \( J = 11.9 \) Hz, 4.4Hz, CH₂O), 4.10 (2H, dd, \( J = 11.9 \) Hz, 5.9 Hz, CH₂O), 3.43 – 3.30 (64H, m, HCO), 2.26 (6H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.62-1.50 (72H, m, O=CCH₂CH₂CH₂, CH₂CH₂O), 1.30-1.18 (72H, m, CH₂CH₂), 0.83 (9H, t, \( J = 6.8 \) Hz, CH₂CH₃); \( ^{13}\text{C NMR} \) (100 MHz CDCl₃): \( \delta_{\text{C}} = 173.2, 172.8 \) (C=O) 70.4 (HC-O) 68.9 (HC-O), 62.0, 61.8 (H₂C-O), 33.9 (O=CCH₂), 26.3 (O=CCH₂CH₂CH₂, CH₂CH₂O), 29.5, 22.4 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)
220.127.116.11 Copolymerization of epoxidized methyl oleate (2.3) with tetrahydrofuran
The experiment was conducted according to the procedure described in 18.104.22.168. Epoxidized methyl oleate (2.3) (50 g, 160 mmol), dry tetrahydrofuran (1000 ml), BF$_3$.Et$_2$O (1.13 g, 8 mmol), clear viscous liquid (4.4) (78 g) $\nu_{\text{max}}/\text{cm}^{-1}$ 3353 (O-H) 2924, 2852 (C-H) 1739 (C=O) 1105 (C-O) 755 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 3.66$ (3H, s, CH$_3$O), 3.62-3.50 (2H, m, CHO), 3.46-3.34 (92H, m, CH$_2$O), 2.29 (2H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.69-1.55 (94H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.50-1.20 (24H, m, CH$_2$CH$_2$), 0.87 (3H, t, $J= 7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.4$ (C=O) 72.0, 70.1 (HC-O) 50.7 (H$_3$C-O), 33.4 (O=CCH$_2$), 26.0 (O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 31.1, 29.2, 22.4 (CH$_2$CH$_2$CH$_2$), 13.6 (CH$_2$CH$_3$)
22.214.171.124 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran
The experiment was conducted according to the procedure described in 126.96.36.199. Epoxidized palm oil (2.17) (50 g, 56 mmol), tetrahydrofuran (2000 ml), BF$_3$.Et$_2$O (0.32 g, 2.3 mmol), clear viscous liquid (4.10) (403 g) $\nu_{\text{max}}/\text{cm}^{-1}$ 3355 (O-H) 2918, 2851 (C-H) 1742 (C=O) 1103 (C-O) 746 (CH$_2$) $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H =$ 5.27-5.20 (1H, m, CHO), 4.27 (2H, dd, $J= 11.9$ Hz, 4.1Hz, CH$_2$O), 4.12 (2H, dd, $J= 11.9$ Hz, 5.9 Hz, CH$_2$O), 3.45-3.32 (400H, m, HCO), 2.31 (6H, t, $J= 7.8$ Hz, O=CCH$_2$CH$_2$), 1.68-1.52 (406H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.35-1.20 (64H, m, CH$_3$CH$_2$), 0.86 (9H, t, $J= 6.8$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C =$ 173.2, 172.8 (C=O) 70.6 (HC-O) 68.9 (HC-O), 62.2, 62.0 (H$_2$C-O), 33.9 (O=CCH$_2$), 26.3 (O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 29.6, 22.5 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)
188.8.131.52 Copolymerization of epoxidized rapeseed oil (2.13) with tetrahydrofuran
The experiment was conducted according to the procedure described in 184.108.40.206.
Epoxidized rapeseed oil (2.13) (10 g, 10 mmol), tetrahydrofuran (1000 ml), BF$_3$.Et$_2$O (0.13 g, 0.9 mmol), clear viscous liquid (4.12) (80 g) $v_{\text{max}}$/cm$^{-1}$ 3353 (O-H) 2922, 2854 (C-H) 1740 (C=O) 1106 (C-O) 755 (CH$_2$), $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H =$ 5.8-5.22 (1H, m, CHO), 4.29 (2H, dd, $J=$ 11.8 Hz, 4.2Hz, CH$_2$O), 4.14 (2H, dd, $J=$ 11.9 Hz, 5.9 Hz, CH$_2$O), 3.48-3.33 (400H, m, HCO), 2.31 (6H, t, $J=$ 7.4 Hz, O=CCH$_2$CH$_2$), 1.68-1.54 (406H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.53-1.39 (12H, m, CHOCH$_2$CH$_2$), 1.38-1.22 (54H, m, CH$_2$CH$_2$), 0.87 (9H, t, $J=$ 6.4 Hz, CH$_2$CH$_3$);
$^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C =$ 173.0, 172.6 (C=O) 70.4 (HC-O) 68.9 (HC-O), 62.3, 62.1 (H$_2$C-O), 33.8 (O=CCH$_2$), 26.3 (O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 29.5, 22.5 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)
220.127.116.11 Copolymerization of epoxidized soybean oil (2.6) with tetrahydrofuran
The experiment was conducted according to the procedure described in 18.104.22.168.
Epoxidized soybean oil (2.6) (10 g, 10 mmol), tetrahydrofuran (800 ml), BF$_3$.Et$_2$O (0.14 g, 1 mmol) clear viscous liquid (4.15) (85 g) $v_{\text{max}}$/cm$^{-1}$ 3355 (O-H) 2940, 2858 (C-H) 1742 (C=O) 1105 (C-O) 746 (CH$_2$), $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H =$ 5.28-5.22 (1H, m, CHO), 4.30 (2H, dd, $J=$ 11.7 Hz, 3.2 Hz, CH$_2$O), 4.14 (2H, dd, $J=$ 11.9 Hz, 5.9 Hz, CH$_2$O), 3.46-3.35 (244H, m, HCO), 2.31 (6H, t, $J=$ 7.4 Hz, O=CCH$_2$CH$_2$), 1.67-1.56 (250H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.53-1.39 (10H, m, CHOCH$_2$CH$_2$), 1.40-1.24 (46H, m, CH$_2$CH$_2$), 0.89 (9H, t, $J=$ 6.8 Hz, CH$_2$CH$_3$);
$^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C =$ 173.3, 172.9 (C=O) 70.3 (HC-O) 68.8 (HC-O),
61.9, 61.6 (H\textsubscript{2}C-O), 33.6 (O=CCH\textsubscript{2}), 26.2 (O=CCH\textsubscript{2}CH\textsubscript{2}CH\textsubscript{2}, CH\textsubscript{2}CH\textsubscript{2}O), 29.3, 22.4 (CH\textsubscript{2}CH\textsubscript{2}CH\textsubscript{2}), 13.8 (CH\textsubscript{2}CH\textsubscript{3})
22.214.171.124 Copolymerization of euphorbia oil (2.18) with tetrahydrofuran
The experiment was conducted according to the procedure described in 126.96.36.199. Euphorbia oil (2.18) (50 g, 55 mmol), tetrahydrofuran (1500 ml), BF\textsubscript{3}.Et\textsubscript{2}O (0.31 g, 2.2 mmol) clear viscous liquid (4.18) (175 g), \( \nu_{\text{max}}/\text{cm}^{-1} \) 3350 (O-H) 2941, 2861 (C-H) 1744 (C=O) 1107 (C-O) 745 (CH\textsubscript{2}), \( ^1\text{H NMR} \) (400 MHz, CDCl\textsubscript{3}): \( \delta_H = 5.56-5.30 \) (6H, m, CH\textsubscript{2}=CH), 5.28-5.23 (1H, m, CHO), 4.30 (2H, dd, \( J= 11.9 \) Hz, 4.0 Hz, CH\textsubscript{2}O), 4.14 (2H, dd, \( J= 11.9 \) Hz, 5.9 Hz, CH\textsubscript{3}O), 3.48-3.35 (254H, m, HCO), 2.31 (6H, t, \( J= 7.5 \) Hz, O=CCH\textsubscript{2}CH\textsubscript{2}), 2.09-1.97 (12H, m, CH\textsubscript{2}CH=CH) 1.68-1.56 (260H, m, O=CCH\textsubscript{2}CH\textsubscript{2}CH\textsubscript{2}, CH\textsubscript{2}CH\textsubscript{2}O), 1.52-1.23 (48H, m, CH\textsubscript{2}CH\textsubscript{2}), 0.89 (9H, t, \( J= 7.0 \) Hz, CH\textsubscript{2}CH\textsubscript{3}); \( ^{13}\text{C NMR} \) (100 MHz CDCl\textsubscript{3}): \( \delta_C = 173.0, 172.6 \) (C=O) 129.6, 125.3 (HC=CH), 70.4 (HC-O) 68.6 (HC-O), 62.1, 61.7 (H\textsubscript{2}C-O), 33.7 (O=CCH\textsubscript{2}), 26.3 (O=CCH\textsubscript{2}CH\textsubscript{2}CH\textsubscript{2}, CH\textsubscript{2}CH\textsubscript{2}O), 29.1, (CH\textsubscript{2}CH\textsubscript{2}CH\textsubscript{2}), 13.9 (CH\textsubscript{2}CH\textsubscript{3})
188.8.131.52 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by AlCl\textsubscript{3}
The experiment was conducted according to the procedure described in 184.108.40.206. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), AlCl\textsubscript{3} (0.29 g, 2.2 mmol), yellowish liquid (6 g) \( \nu_{\text{max}}/\text{cm}^{-1} \) 3560 (O-H) 2924, 2854 (C-H) 1742 (C=O) 1163 (C-O) 723 (CH\textsubscript{2}) \( ^1\text{H NMR} \) (400 MHz, CDCl\textsubscript{3}): \( \delta_H = 5.25-5.20 \) (1H, m, CHO), 4.27 (2H, dd, \( J= 11.9 \) Hz, 4.3 Hz, CH\textsubscript{2}O), 4.11 (2H, dd, \( J= 11.9 \) Hz, 5.9 Hz, CH\textsubscript{2}O), 3.65-3.35 (4H, m, HCO), 2.29 (6H, t, \( J= 7.5 \) Hz, O=CCH\textsubscript{2}CH\textsubscript{2}), 1.64-1.54 (6H, m, O=CCH\textsubscript{2}CH\textsubscript{2}CH\textsubscript{2}), 1.36-1.19 (64H, m, CH\textsubscript{2}CH\textsubscript{2}), 0.86 (9H, t, \( J= 7.0 \)
Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.1$, 172.7 (C=O) 73.3, 70.6 (HC-O), 68.7 (HC-O), 62.0, 61.8 (H$_2$C-O), 33.9 (O=CCH$_2$), 24.7 (O=CCH$_2$CH$_2$CH$_2$), 29.3, 22.8 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)
220.127.116.11 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by FeCl$_3$
The experiment was conducted according to the procedure described in 18.104.22.168. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), FeCl$_3$ (0.35 g, 2.2 mmol) yellowish liquid (25 g) $v_{\text{max}}/\text{cm}^{-1}$ 3351 (O-H) 2934, 2853 (C-H) 1743 (C=O) 1104 (C-O) 725 (CH$_2$) $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.25-5.15$ (1H, m, CHO), 4.31 (2H, dd, $J= 11.7$ Hz, 4.3 Hz, CH$_2$O), 4.13 (2H, dd, $J= 11.9$ Hz, 5.9 Hz, CH$_2$O), 3.60-3.10 (180H, m, HCO), 2.28 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.75-1.40 (186H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.35-1.15 (64H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J= 7.0$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.3$, 172.9 (C=O) 70.5 (HC-O) 68.9 (HC-O), 62.2, 61.8 (H$_2$C-O), 33.9 (O=CCH$_2$), 26.3 (O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 29.2, 22.4 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)
22.214.171.124 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by SnCl$_4$
The experiment was conducted according to the procedure described in 126.96.36.199. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), SnCl$_4$ (0.58 g, 2.3 mmol) yellowish liquid (43 g) $v_{\text{max}}/\text{cm}^{-1}$ 3336 (O-H) 2919, 2852 (C-H) 1741 (C=O) 1107 (C-O) 746 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.28-5.23$ (1H, m, CHO), 4.29 (2H, dd, $J= 11.8$ Hz, 4.2Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.9$ Hz,
5.9 Hz, CH₂O), 3.47-3.35 (252H, m, HCO), 2.30 (6H, t, J= 7.4 Hz, O=CCH₂CH₂), 1.67-1.57 (258H, m, O=CCH₂CH₂CH₂, CH₂CH₂O), 1.40-1.20 (64H, m, CH₂CH₂), 0.88 (9H, t, J = 6.8 Hz, CH₂CH₃); \(^{13}\)C NMR (100 MHz CDCl₃): \(δ_C\) = 172.9, 172.4 (C=O) 70.6 (HC-O) 68.9 (HC-O), 62.3, 61.9 (H₂C-O), 33.9 (O=CCH₂), 26.5 (O=CCH₂CH₂CH₂, CH₂CH₂O), 29.5, 22.5 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)
188.8.131.52 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by TiCl₄
The experiment was conducted according to the procedure described in 184.108.40.206. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), TiCl₄ (0.29 g, 2.2 mmol), yellowish liquid (10 g) \(ν_{\text{max}}/\text{cm}^{-1}\) 3563 (O-H) 2927, 2855 (C-H) 1741 (C=O) 1162 (C-O) 724 (CH₂) \(^1\)H NMR (400 MHz, CDCl₃): \(δ_H\) = 5.29-5.22 (1H, m, CHO), 4.30 (2H, dd, J= 11.9 Hz, 4.2 Hz, CH₂O), 4.13 (2H, dd, J= 11.9 Hz, 5.9 Hz, CH₂O), 3.74-3.37 (4H, m, HCO), 2.31 (6H, t, J= 7.5 Hz, O=CCH₂CH₂), 1.67-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (64H, m, CH₂CH₂), 0.89 (9H, t, J = 7.0 Hz, CH₂CH₃); \(^{13}\)C NMR (100 MHz CDCl₃): \(δ_C\) = 173.3, 172.9 (C=O) 73.4, 72.3, 70.7 (HC-O), 68.8 (HC-O), 62.3, 61.9 (H₂C-O), 33.8 (O=CCH₂), 24.5 (O=CCH₂CH₂CH₂), 28.9, 22.5 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)
220.127.116.11 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by HBF₄
The experiment was conducted according to the procedure described in 18.104.22.168. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), HBF₄ (80 mg, 0.45 mmol) clear viscous liquid (38 g) \(ν_{\text{max}}/\text{cm}^{-1}\) 3360 (O-H) 2930, 2858 (C-H)
1740 (C=O) 1105 (C-O) 744 (CH$_2$) $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.29-5.22$ (1H, m, CHO), 4.29 (2H, dd, $J= 11.9$ Hz, 4.1 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.9$ Hz, 5.9 Hz, CH$_2$O), 3.45-3.32 (160H, m, HCO), 2.31 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.68-1.54 (166H, m, O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 1.53-1.20 (64H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J= 6.8$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.1$, 172.7 (C=O) 70.5 (HC-O) 68.8 (HC-O), 62.1, 62.0 (H$_2$C-O), 33.9 (O=CCH$_2$), 26.3 (O=CCH$_2$CH$_2$CH$_2$, CH$_2$CH$_2$O), 29.5, 22.4 (CH$_2$CH$_2$CH$_2$), 13.9 (CH$_2$CH$_3$)
### 22.214.171.124 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by HBF$_4$ with addition of water
The experiment was conducted according to the procedure described in 126.96.36.199. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (100 ml), de-ionised water (1 ml), HBF$_4$ (80 mg, 0.45 mmol) clear liquid (9 g), $v_{\text{max}}/\text{cm}^{-1}$ 3461 (O-H) 2922, 2853 (C-H) 1742 (C=O) 1160 (C-O) 722 (CH$_2$) $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.29-5.23$ (1H, m, CHO), 4.30 (2H, dd, $J= 11.9$ Hz, 4.0 Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.8$ Hz, 5.9 Hz, CH$_2$O), 3.65-3.30 (2H, m, HCO), 3.15-2.80 (2H, m, CH$_2$CHOCHCH$_2$), 2.31 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.64-1.50 (6H, m, O=CCH$_2$CH$_2$CH$_2$), 1.48-1.36 (4H, m, CHOCH$_2$CH$_2$), 1.35-1.15 (64H, m, CH$_2$CH$_2$), 0.88 (9H, t, $J= 6.8$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.1$, 172.6 (C=O) 74.1, 70.4 (HC-O), 68.7 (HC-O), 62.0, 61.7 (H$_2$C-O), 56.9 (CH$_2$CHOCHCH$_2$) 33.7 (O=CCH$_2$), 28.2 (CHOCH$_2$CH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 29.4, 22.4 (CH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$)
188.8.131.52 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by triflic acid
The experiment was conducted according to the procedure described in 184.108.40.206. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), trifluoromethane sulfonic acid (0.34 g, 2.3 mmol) yellowish liquid (49 g); \( \nu_{\text{max}}/\text{cm}^{-1} \) 3460 (O-H) 2919, 2852 (C-H) 1742 (C=O) 1106 (C-O) 745 (CH₂); \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.30-5.20 \) (1H, m, CHO), 4.29 (2H, dd, \( J = 11.8 \) Hz, 4.1 Hz, CH₂O), 4.14 (2H, dd, \( J = 11.9 \) Hz, 5.9 Hz, CH₂O), 3.50-3.30 (230H, m, HCO), 2.31 (6H, t, \( J = 7.4 \) Hz, O=CCH₂CH₂), 1.70-1.53 (236H, m, O=CCH₂CH₂CH₂, CH₂CH₂O), 1.40-1.20 (64H, m, CH₂CH₂), 0.88 (9H, t, \( J = 7.0 \) Hz, CH₂CH₃); \( ^{13} \text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 173.3, 172.7 \) (C=O) 70.4 (HC-O) 68.8 (HC-O), 62.3, 61.7 (H₂C-O), 33.7 (O=CCH₂), 26.3 (O=CCH₂CH₂CH₂, CH₂CH₂O), 29.5, 22.6 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)
220.127.116.11 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by sulfuric acid
The experiment was conducted according to the procedure described in 18.104.22.168. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), sulfuric acid (0.22 g, 2.2 mmol), yellowish liquid (9 g); \( \nu_{\text{max}}/\text{cm}^{-1} \) 3465 (O-H) 2922, 2853 (C-H) 1743 (C=O) 1159 (C-O) 722 (CH₂); \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.30-5.22 \) (1H, m, CHO), 4.30 (2H, dd, \( J = 11.9 \) Hz, 4.3 Hz, CH₂O), 4.14 (2H, dd, \( J = 11.9 \) Hz, 5.9 Hz, CH₂O), 3.76-3.34 (2H, m, HCO), 3.14-2.82 (2H, m, CH₂CHOCHCH₂), 2.31 (6H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.67-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.55-1.44 (4H, m, CHOCH₂CH₂), 1.43-1.19 (64H, m, CH₂CH₂), 0.89 (9H, t, \( J = 6.8 \) Hz,
22.214.171.124 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by chlorosulfonic acid
The experiment was conducted according to the procedure described in 126.96.36.199. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), chlorosulfonic acid (0.29 g, 2.2 mmol), yellowish liquid (10 g) \( \nu_{\text{max}}/\text{cm}^{-1} \) 3563 (O-H) 2927, 2853 (C-H) 1740 (C=O) 1160 (C-O) 721 (CH₂); \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.29-5.22 \) (1H, m, CHO), 4.30 (2H, dd, \( J = 11.9 \) Hz, 4.0 Hz, CH₂O), 4.14 (2H, dd, \( J = 11.9 \) Hz, 5.9 Hz, CH₂O), 3.65-3.35 (2H, m, HCO), 3.15-2.85 (2H, m, CH₂CHOCHCH₂), 2.31 (6H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.68-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.45 (4H, m, CHOCH₂CH₂), 1.40-1.20 (64H, m, CH₂CH₂), 0.89 (9H, t, \( J = 7.0 \) Hz, CH₂CH₃); \( ^{13} \text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 172.7, 172.3 \) (C=O) 74.2, 72.6 (HC-O), 68.9 (HC-O), 62.1, 61.7 (H₂C-O), 56.6 (CH₂CHOCHCH₂) 34.1 (O=CCH₂), 28.3 (CHOCH₂CH₂), 24.8 (O=CCH₂CH₂CH₂), 29.7, 22.7 (CH₂CH₂CH₂), 14.0 (CH₂CH₃)
188.8.131.52 Copolymerization of epoxidized palm oil (2.17) with tetrahydrofuran catalyzed by trifluoroacetic acid
The experiment was conducted according to the procedure described in 184.108.40.206. Epoxidized palm oil (2.17) (10 g, 11 mmol), dry tetrahydrofuran (200 ml), trifluoroacetic acid (0.25 g, 2.2 mmol) yellowish liquid (7 g) \( \nu_{\text{max}}/\text{cm}^{-1} \) 3620 (O-H) 2923, 2853 (C-H) 1741 (C=O) 1161 (C-O) 823 (CHOCHCH₂) 724 (CH₂) \( ^1 \text{H NMR} \)
(400 MHz, CDCl₃): δ_H = 5.30-5.22 (1H, m, CHO), 4.30 (2H, dd, J= 11.9 Hz, 4.2 Hz, CH₂O), 4.14 (2H, dd, J= 11.9 Hz, 5.9 Hz, CH₂O), 3.73-3.41 (2H, m, HCO), 2.95-2.73 (2H, m, CH₂CHOCHCH₂), 2.32 (6H, t, J= 7.5 Hz, O=CCH₂CH₂), 1.67-1.57 (6H, m, O=CCH₂CH₂CH₂), 1.56-1.50 (4H, m, CHOCH₂CH₂), 1.49-1.24 (64H, m, CH₂CH₂), 0.89 (9H, t, J = 7.0 Hz, CH₂CH₃);¹³C NMR (100 MHz CDCl₃): δ_C = 173.1, 172.7 (C=O) 73.6, 71.8 (HC-O), 68.7 (HC-O), 62.0, 61.8 (H₂C-O), 57.3 (CH₂CHOCHCH₂) 33.9 (O=CCH₂), 27.9 (CHOCH₂CH₂), 24.6 (O=CCH₂CH₂CH₂), 29.3, 22.5 (CH₂CH₂CH₂), 13.7 (CH₂CH₃)
220.127.116.11 Attempted copolymerization of epoxidized palm oil (2.17) with 2-methyl tetrahydrofuran
The experiment was conducted according to the procedure described in 18.104.22.168. Epoxidized palm oil (2.17) (1 g, 1.1 mmol), 2-methyl tetrahydrofuran (20 ml), BF₃.Et₂O (3 mg, 0.022 mmol) yield back starting material epoxidised palm oil (2.17) (0.7 g).
22.214.171.124 Attempted copolymerization of epoxidized palm oil with 3-methyl tetrahydrofuran
The experiment was conducted according to the procedure described in 126.96.36.199. Epoxidized palm oil (2.17) (0.1 g, 0.11 mmol), 3-methyl tetrahydrofuran (1 ml), BF₃.Et₂O (3 mg, 0.022 mmol) yield back starting material epoxidised palm oil (2.17) (95 mg).
6.3.3 Homopolymerization of tetrahydrofuran catalyzed by triflic acid
Tetrahydrofuran (THF) (150 g, 2.1 mol) was weighed into a round bottom flask and was stirred and heated at 60 °C under N₂ atmosphere for 30 minutes. Then triflic acid (CF₃SO₃H) (24.0 g, 0.16 mol) was added drop-wise to the THF. After the addition of triflic acid was completed, the reaction temperature was maintained at 60 °C under N₂ atmosphere for another 8 hours. Then, the reaction mixture was poured into separation funnel. Cyclohexane (300 ml) and deionized water (300 ml) were added to it. The aqueous layer was discarded and the organic layer was washed with sodium bicarbonate solution (300 ml). The organic layer was separated from the aqueous layer. The organic layer was again washed with deionized water (300 ml). The organic layer was separated from the aqueous and was dried over anhydrous MgSO₄. The cyclohexane was removed in vacuo to yield homopolymer of THF (4.19) (61.4 g). \( \nu_{\text{max}}/\text{cm}^{-1} \) 3462 (O-H) 2924, 2854 (C-H) 1741 (C=O) 1464 (CH₂) 1088 (C-O) 723 (CH₂); \( ^1\text{H} \) NMR (400 MHz, CDCl₃): \( \delta_H = 3.43 \) (4H, t, \( J = 7.7 \) Hz, CH₂O), 1.68-1.56 (4H, m, CH₂); \( ^{13}\text{C} \) NMR (100 MHz CDCl₃): \( \delta_C = 70.3, \) (HC-O), 26.2 (CH₂CH₂)
6.3.4 Copolymerization of ε-caprolactone with epoxidized palm oil (2.17)
Epoxidized palm oil (2.17) (40 g, 45 mmol) and ε-caprolactone (10.2, 90 mmol) were weighed into a round bottom flask and dry dichloromethane (200 ml) was added to it. The reactants mixture was stirred and heated at 20 °C under N₂ atmosphere for 30 minutes. Then BF₃.Et₂O (640 mg, 4.5 mmol) was added drop-wise to the epoxidized palm oil / ε-caprolactone mixture. After the addition of BF₃.Et₂O was completed, the reaction temperature was maintained at 20 °C under N₂ atmosphere for another 24 hours. Then, the reaction mixture was poured into
separation funnel and CHCl₃ (100 ml) was added to it. The organic layer was washed with sodium bicarbonate solution (50 ml). The organic layer was separated from the aqueous layer. The organic layer was dried over anhydrous MgSO₄ and CHCl₃ was removed *in vacuo* to yield copolymers (4.24) (50 g). \( \nu_{\text{max}}/\text{cm}^{-1} \) 3475 (O-H) 2923, 2853 (C-H) 1737 (C=O) 1461 (CH₂) 1164 (C-O) 722 (CH₂); \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.29-5.22 \) (1H, m, CHO), 4.87-4.80(1H, m, CHOC=O), 4.30 (2H, dd, \( J = 11.8 \) Hz, 3.8 Hz , CH₂O), 4.14 (2H, dd, \( J = 11.8 \) Hz, 5.8 Hz, CH₂O), 4.06 (2H, t, \( J = 6.5 \) Hz, O=COCH₂) 3.61 (2H, t, \( J = 6.4 \) Hz, HOCH₂ ), 3.58-3.10 (4H, m, HCO), 2.32 (8H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.71-1.52(10H, m, O=CCH₂CH₂CH₂), 1.53-1.39 (4H, m, CH₂CH₂), 1.36-1.18 (64H, m, CH₂CH₂), 0.88 (9H, t, \( J = 6.6 \) Hz, CH₂CH₃); \( ^{13} \text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 173.1, 172.6 \) (C=O) 76.2, 74.3, 72.0 (HC-O), 68.7 (HC-O), 63.7, 62.2, 61.8 (H₂C-O), 61.9 (H₂C-OH), 33.8 (O=CCH₂), 24.6 (O=CCH₂CH₂CH₂), 29.4, 22.6 (CH₂CH₂CH₂), 13.8 (CH₂CH₃)
**6.3.5 General Procedure for Polyurethanes Synthesized with Copolymers Polyol**
**188.8.131.52 Polyurethane made from copolymerized epoxidized palm oil and tetrahydrofuran (4.10) as an example.**
Copolymerized epoxidized palm oil and tetrahydrofuran (4.10) (10 g, hydroxyl value = 30.5 mg KOH/g sample) was weighed into a round bottom flask and chloroform (150 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4'-methylene diphenyl diisocyanate (MDI) (1.7 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the chloroform was removed by using a rotary
evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane (4.10PU) was cured at 60 °C for 24 hours in an oven.
\[ \nu_{\text{max}}/\text{cm}^{-1} \]
3308 (O=CNH) 2915, 2849 (C-H) 1729 (C=O) 1595 (aromatic =CH) 1098 (C-O) 721 (CH₂)
### 6.3.6 Differential Scanning Calorimetric (DSC) and Thermogravimetric (TGA) method
DSC and TGA of polyurethane samples were conducted in a Mettler Toledo TGA/DSC 1 system. For DSC analysis, the samples were scanned from -100 °C to 600 °C at a heating rate of 10 K per minute in the presence of nitrogen. For TGA analysis, the samples were scanned from 25 °C to 600 °C at a heating rate of 10 K per minute in the presence of nitrogen.
### 6.3.7 Tensile test method
Tensile strength and elongation at break of polyurethane samples were determined according to EN ISO 529-4: 1997 (CEN1997a). This is the European standard test method for the determination of tensile properties of polymeric materials. Testing was conducted with an Instron 5800 universal testing machine with an initial cross-head speed of 1 mm/minute for 2 minutes and then 50 mm/minute. The test specimens were of the type 1BA.
6.4 General Procedures for Substrates Synthesized in Chapter 5
184.108.40.206 General procedure for one-pot oligomerization of unsaturated plant oil with Na₂WO₄
[Rapeseed oil (2.11) as an example]
Rapeseed oil (70 g, 80 mmol), Na₂WO₄·2H₂O (3 g, 9 mmol), Aliquat 336 (4 g, 9 mmol) and H₂O₂ (30% w/w, 257 g, 2270 mmol) were charged into a 3-neck round bottom flask equipped with magnetic stirrer bar and reflux condenser. The mixture was heated to 100 °C and stirred vigorously for 8 hours. The mixture was then poured into a separating funnel and was left to cool. The aqueous layer was separated from the organic layer. The organic layer was diluted with equal amount of dichloromethane (100 ml) and neutralized with saturated Na₂CO₃ (50 ml). The organic layer was again washed with NaCl solution (100 cm³). The organic layer was dried over anhydrous MgSO₄ followed by removal of solvent *in vacuo* to yield a viscous pale yellow liquid (68.1 g).
\[ \nu_{\text{max}}/\text{cm}^{-1} \quad 2926, \quad 2856 \ (\text{C-H}) \quad 1738 \ (\text{C=O}) \quad 1459 \ (\text{CH}_2) \quad 1165 \ (\text{C-O}) \quad 754 \ (\text{CH}_2); \]
¹H NMR (400 MHz, CDCl₃): \( \delta_H = 5.30-5.20 \ (1\text{H}, \ m, \ \text{CHO}), \ 4.32 \ (2\text{H}, \ dd, \ J= 11.9 \ \text{Hz}, \ 3.7 \ \text{Hz}, \ \text{CH}_2\text{O}), \ 4.16 \ (2\text{H}, \ dd, \ J= 11.9 \ \text{Hz}, \ 5.9 \ \text{Hz}, \ \text{CH}_2\text{O}), \ 3.75-3.30 \ (4\text{H}, \ m, \ \text{CHO}), \ 2.34 \ (6\text{H}, \ t, \ J= 7.5 \ \text{Hz}, \ \text{O=CCH}_2\text{CH}_2), \ 1.68-1.56 \ (6\text{H}, \ m, \ \text{O=CCH}_2\text{CH}_2\text{CH}_2), \ 1.39-1.21 \ (54\text{H}, \ m, \ \text{CH}_2\text{CH}_2), \ 0.90 \ (9\text{H}, \ t, \ J= 7.5 \ \text{Hz}, \ \text{CH}_2\text{CH}_3); \]
¹³C NMR (100 MHz CDCl₃): \( \delta_C = 173.1, \ 172.7 \ (\text{C=O}), \ 72.2 \ (\text{HC-O}), \ 68.7 \ (\text{HC-O}), \ 62.1, \ 61.7 \ (\text{H}_2\text{C-O}), \ 33.7 \ (\text{O=CCH}_2\text{CH}_2), \ 31.2, \ 29.2, \ 22.6 \ (\text{CH}_2\text{CH}_2), \ 24.3 \ (\text{O=CCH}_2\text{CH}_2\text{CH}_2), \ 13.7 \ (\text{CH}_2\text{CH}_3). \]
220.127.116.11 One-pot oligomerization of palm oil (2.10) with sodium tungstate
The experiment was conducted according to the general procedure described in 18.104.22.168. Palm oil (2.10) (100 g, 116 mmol), Na₂WO₄·2H₂O (2.7 g, 8 mmol), Aliquat 336 (3.6 g, 8 mmol) and H₂O₂ (30% w/w, 224 g, 1976 mmol) viscous pale yellow liquid (95.8 g). \( \nu_{\text{max}}/\text{cm}^{-1} \) 2929, 2858 (C-H) 1741 (C=O) 1461 (CH₂) 1165 (C-O) 754 (CH₂); \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.30-5.20 \) (1H, m, CHO), 4.30 (2H, dd, \( J = 11.9 \) Hz, 4.2 Hz, CH₂O), 4.14 (2H, dd, \( J = 11.9 \) Hz, 5.9 Hz, CH₂O), 3.70-3.56 (2H, m, CHO), 2.35 (6H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.69-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.53-1.21 (64H, m, CH₂CH₂), 0.90 (9H, t, \( J = 7.5 \) Hz, CH₃CH₃); \( ^{13} \text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 173.3, 172.9 \) (C=O), 72.5 (HC-O), 68.9 (HC-O), 62.3, 61.9 (H₂C-O), 33.9 (O=CCH₂CH₂), 31.1, 29.3, 22.5 (CH₂CH₂), 24.4 (O=CCH₂CH₂CH₂), 13.8 (CH₂CH₃).
22.214.171.124 One-pot oligomerization of soybean oil (2.12) with sodium tungstate
The experiment was conducted according to the general procedure described in 126.96.36.199. The experiment was conducted according to the general procedure described above. Soybean oil (2.12) (70 g, 80 mmol), Na₂WO₄·2H₂O (3.4 g, 10 mmol), Aliquat 336 (4 g, 9 mmol) and H₂O₂ (30% w/w, 267 g, 2355 mmol) viscous pale yellow liquid (67.5 g). \( \nu_{\text{max}}/\text{cm}^{-1} \) 2930, 2860 (C-H) 1742 (C=O) 1455 (CH₂) 1160 (C-O) 752 (CH₂); \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.30-5.23 \) (1H, m, CHO), 4.30 (2H, dd, \( J = 11.9 \) Hz, 4.1 Hz, CH₂O), 4.14 (2H, dd, \( J = 11.9 \) Hz, 5.8 Hz, CH₂O), 3.80-3.30 (4H, m, CHO), 2.34 (6H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.70-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.21 (48H, m, CH₂CH₂), 0.90 (9H, t, \( J = 6.8 \) Hz, CH₃CH₃); \( ^{13} \text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 173.2, 172.8 \) (C=O), 72.6 (HC-O), 68.8 (HC-O), 62.1, 61.8 (H₂C-O),
33.5 (O=CCH₂CH₂), 31.2, 29.5, 22.3 (CH₂CH₂), 24.5 (O=CCH₂CH₂CH₂), 13.9 (CH₂CH₃).
188.8.131.52 One-pot oligomerization of soybean oil (2.12) and palm oil (2.10) with sodium tungstate
The experiment was conducted according to the general procedure described in 184.108.40.206. The experiment was conducted according to the general procedure described above. Soybean oil (2.12) (50 g, 57 mmol), palm oil (2.10) (50 g, 57 mmol), Na₂WO₄·2H₂O (2.6 g, 8 mmol), Aliquat 336 (3.5 g, 8 mmol) and H₂O₂ (30% w/w, 220 g, 1941 mmol) viscous pale yellow liquid (97.8 g). \( \nu_{\text{max}}/\text{cm}^{-1} \) 2929, 2859 (C-H) 1740 (C=O) 1460 (CH₂) 1160 (C-O) 752 (CH₂); \( ^1\text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.31-5.23 \) (1H, m, CHO), 4.30 (2H, dd, \( J = 11.7 \) Hz, 4.1 Hz, CH₂O), 4.15 (2H, dd, \( J = 11.8 \) Hz, 6.0 Hz, CH₂O), 3.80-3.35 (4H, m, CHO), 2.33 (6H, t, \( J = 7.6 \) Hz, O=CCH₂CH₂), 1.70-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.53-1.21 (56H, m, CH₃CH₂), 0.90 (9H, t, \( J = 7.0 \) Hz, CH₂CH₃); \( ^{13}\text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 173.1, 172.7 \) (C=O), 72.1 (HC-O), 68.6 (HC-O), 62.0, 61.7 (H₂C-O), 33.7 (O=CCH₂CH₂), 31.0, 29.1, 22.2 (CH₂CH₂), 24.2 (O=CCH₂CH₂CH₂), 13.8 (CH₂CH₃).
220.127.116.11 General procedure for the oligomerization of unsaturated plant oil with tungsten powder
[Rapeseed oil (2.11) as an example]
Tungsten powder (12 \( \mu \text{m}, 99.99\%, 0.9 \) g, 4.9 mmol), hydrogen peroxide (30% w/w, 8 g, 61.8 mmol) and deionised water (3.5 cm³) were charged into a round bottom flask equipped with a magnetic stirrer and reflux condenser. The mixture was stirred and heated up to 50 °C until the tungsten powder was totally dissolved, then H₃PO₄
(85%, 0.65 g, 5.6 mmol) in water (7 cm$^3$) was added into it (this is the tungsten catalyst solution). Rapeseed oil (170 g, 0.21 mol) and Adogen 464 (1.2 g, 3 mmol) were charged into another 3-neck round bottom flask equipped with a motor stirrer. The oil mixture was heated to the desired temperature and stirred vigorously. The tungsten catalyst solution was added to the oil mixture followed by water (300 cm$^3$), hydrogen peroxide (115 g, 0.97 mol) and H$_3$PO$_4$ (101.1 g, 0.877 mol). The temperature of the oil mixture was kept at 100 °C for 8 hours. The oil mixture was then poured into a separating funnel, and then saturated NaCl solution (100 cm$^3$) and dichloromethane (100 cm$^3$) were added to the oil mixture. The aqueous layer was separated from the organic layer. The organic layer was neutralized with saturated sodium hydrogen carbonate solution (100 cm$^3$). The organic layer was again washed with NaCl solution (100 cm$^3$). The organic layer was dried over anhydrous MgSO$_4$ followed by removal of solvent \textit{in vacuo} to yield a viscous pale yellow liquid (165 g).
$\nu_{\text{max}}$/cm$^{-1}$ 2924, 2854 (C-H) 1740 (C=O) 1460 (CH$_2$) 1164 (C-O) 752 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.29-5.22$ (1H, m, CHO), 4.27 (2H, dd, $J= 11.9$ Hz, 4.4Hz, CH$_2$O), 4.14 (2H, dd, $J= 11.6$ Hz, 5.8 Hz, CH$_2$O), 3.60-3.40 (1H, m, CHO), 2.36 (6H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.70-1.55 (6H, m, O=CCH$_3$CH$_2$CH$_2$), 1.38-1.20 (54H, m, CH$_2$CH$_2$), 0.92 (9H, t, $J= 7.5$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 173.3$, 172.9 (C=O), 74.3 (HC-O), 68.8 (HC-O), 62.1, 61.8 (H$_2$C-O), 33.8 (O=CCH$_2$CH$_2$), 31.3, 28.9, 22.5 (CH$_2$CH$_2$), 24.5 (O=CCH$_2$CH$_2$CH$_2$), 13.8 (CH$_2$CH$_3$).
18.104.22.168 One-pot oligomerization of soybean oil (2.12) and palm oil (2.10) with tungsten powder
The experiment was conducted according to the general procedure described in 22.214.171.124. Tungsten powder (12 µm, 99.99%, 0.3 g, 1.6 mmol), hydrogen peroxide (30% w/w, 43 g, 380 mmol), deionised water (101.5 g), H₃PO₄ (85%, 28 g, 0.3 mol), soybean oil (50 g, 57 mmol), palm oil (50 g, 57 mmol), Adogen 464 (0.4 g, 1 mmol), a viscous pale yellow liquid (97.3 g). \( \nu_{\text{max}}/\text{cm}^{-1} \) 2920, 2850 (C-H) 1740 (C=O) 1465 (CH₂) 1168 (C-O) 751 (CH₂); \( ^1\text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.29-5.21 \) (1H, m, CHO), 4.29 (2H, dd, \( J = 11.9 \) Hz, 4.3 Hz, CH₂O), 4.14 (2H, dd, \( J = 11.8 \) Hz, 5.9 Hz, CH₂O), 3.76-3.33 (2H, m, CHO), 2.31 (6H, t, \( J = 7.5 \) Hz, O=CCH₂CH₂), 1.67-1.54 (6H, m, O=CCH₂CH₂CH₂), 1.53-1.21 (54H, m, CH₂CH₂), 0.88 (9H, t, \( J = 6.8 \) Hz, CH₂CH₃); \( ^{13}\text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 173.5, 172.8 \) (C=O), 73.5 (HC-O), 68.8 (HC-O), 62.1, 61.9 (H₂C-O), 33.8 (O=CCH₂CH₂), 31.0, 29.5, 22.3 (CH₂CH₂), 24.6 (O=CCH₂CH₂CH₂), 13.8 (CH₂CH₃).
6.4.3 Synthesis of oleic acid based oligomers (5.6)
Oleic acid (5.5) (100 g, 0.354 mol), Na₂WO₄·2H₂O (2.5 g, 7.5 mmol), Aliquat 336 (3.4 g, 7.7 mmol), H₂O₂ (30% w/w, 215 g, 1.9 mol) were charged into a 3-neck round bottom flask equipped with magnetic stirrer bar and reflux condenser. The mixture was heated to 100 °C and stirred vigorously for 24 hours. The mixture was then poured into a separating funnel and was left to cool. The mixture separated into an organic and aqueous layer, with some white precipitate in the aqueous layer. The aqueous layer together with the white precipitate was separated from the organic layer. The white precipitate was filtered from the aqueous and washed with deionised water (3 x 100 ml) to remove any aqueous residual. Then it was dried in oven and
was characterized to be 1,9-nonanedioic acid (azelaic acid) (1.5 g, 7.98 mmol, 2.3%) (5.14). \( \nu_{\text{max}}/\text{cm}^{-1} \) 1695 (C=O) 2932, 2856 (C-H) 1684 (C=O) 1468 (CH₂) 1251 (C-O) 912 (CH₂); \( ^1 \text{H NMR} \) (400 MHz, DMSO-d₆): \( \delta_H = 12.0 \) (2H, s, COOH), 2.20 (4H, t, \( J = 7.5 \text{Hz}, \ O=C\text{CH}_2\text{CH}_2\)), 1.46-1.53 (4H, m, \( \ O=C\text{CH}_2\text{CH}_2\text{CH}_2\)), 1.08-1.40 (6H, m, CH₂CH₂CH₂) \( ^{13} \text{C NMR} \) (100 MHz DMSO-d₆): \( \delta_C = 174.4 \) (C=O), 34.0 (O=CCH₂), 28.8 (CH₂CH₂CH₂), 24.4 (O=CCH₂CH₂CH₂); \( m/z \) (ES⁺) [M+Na⁺] Required 211.0941, Found 211.0941; melting point = 106 - 108 °C ( literature¹¹³: 105 – 107 °C) [Found: C, 58.0; H, 8.7; C₉H₁₆O₄ Required C, 57.4; H, 8.6; O, 34].
The organic layer was diluted with equal amount of dichloromethane (100 ml) and dried over MgSO₄. It was filtered and the solvent removed in vacuo to yield crude product (5.6) (95 g) as a viscous pale yellow liquid. A small amount of (5.6) (250 mg) was purified by column chromatography R_f 0.3 (petroleum ether (40-60°C)/ethyl acetate, 8:2) to yield purified (5.6) (190 mg, 0.157 mmol, 64%) as a viscous liquid. \( \nu_{\text{max}}/\text{cm}^{-1} \) 3354 (O-H), 2924, 2854 (C-H) 1708 (C=O) 1175 (C-O); \( ^1 \text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 4.86-4.80 \) (2H, m, HCOC=O), 3.61-3.56 (2H, m, HCO) 3.44-3.39 (2H, m, HCO), 2.33 (6H, t, \( J= 7.5 \text{ Hz}, \ O=C\text{CH}_2\text{CH}_2\)), 1.70-1.55 (6H, m, O=CCH₂CH₂CH₂), 1.51-1.21 (72H, m, CH₂CH₂CH₂), 0.9 (9H, t, \( J= 7.5 \text{ Hz}, \ CH_2CH_3 \)) \( ^{13} \text{C NMR} \) (100 MHz, CDCl₃): \( \delta_C = 179.7 \) (C=O), 77.4, 77.6, 72.7 (C-O), 34.0 (O=CCH₂), 29.2 (O=CCH₂CH₂CH₂), 33.0, 29.2, 29.0, 22.6 (CH₂CH₂CH₂), 15.0 (CH₂CH₃); \( m/z \) (ES⁺) [M+Na⁺] Required 935.7527, Found 935.7522.
6.4.4 Saponification of estolides (5.6)
2.5 g (2.06 mmol) of (5.6) was dissolved in 20 ml tetrahydrofuran in a 100 ml round bottom flask equipped with a magnetic stirrer. Then 1.3 g (32.5 mmol) of sodium hydroxide was dissolved in 20 ml deionised water and this sodium hydroxide solution was added to the round bottom flask. The mixture was heated to 80 °C for 12 hour under reflux, which was then acidify to pH=1 with 2 M HCl. The reaction mixture was poured into a separating funnel and the aqueous layer was separated from the organic layer. The aqueous layer was extracted with CHCl₃ (100 ml) and the CHCl₃ was combined with the organic layer, which was dried over MgSO₄. The organic layer was filtered and the solvent removed *in vacuo* to yield crude product (2.05 g). A small amount of crude product (250 mg) was purified by column chromatography (petroleum ether (40-60°C)/ethyl acetate, 7:3) to yield purified (5.11) (182 mg, 0.576 mmol, 57%) as a white solid. R_f 0.3 (petroleum ether (40-60°C)/ethyl acetate, 7:3); ν_max/cm⁻¹ 3292 (O-H) 2915, 2847 (C-H) 1716 (C=O) 1467 (CH₂) 1076 (C-O) 719(CH₂) ¹H NMR (400 MHz, DMSO-d₆): δ_H = 12.0 (1H, s, COOH), 3.24-3.18 (2H, m, HCOH), 2.2 (2H, t, J= 7.5 Hz, O=CCH₂), 1.65-1.55 (2H, m, HOOCCH₂CH₂), 1.50-1.35 (2H, m, HOCHCH₂), 1.35-1.20 (20H, m, CH₂CH₂CH₂), 0.85 (3H, t, J= 7.5 Hz, CH₂CH₃) ¹³C NMR (100 MHz DMSO-d₆): δ_C = 174.5 (C=O), 73.1 (C-OH), 33.6 (O=CCH₂), 31.3 (HOCHCH₂), 24.3 (O=CCH₂CH₂CH₂), 29.1, 28.0, 22.6 (CH₂CH₂CH₂), *m/z* (ES⁺), [M+Na⁺] Required 339.2511, Found 339.2506; melting point = 95 - 96 °C (literature¹¹⁴: 94 °C) [Found: C, 68.3; H, 11.5; C₁₈H₃₆O₄ Required C, 68.3; H, 11.5; O, 20.2].
6.4.5 Reduction of estolides (5.6)
2.5g (2.06 mmol) of (5.6) was dissolved in 25 ml dry tetrahydrofuran in a 100 ml round bottom flask equipped with a magnetic stirrer under nitrogen gas atmosphere. The reactant was cooled to 0 °C with an ice bath. Then, 40 ml of LiAlH₄ (1M, 40 mmol) was slowly added to the reactant while the reactant was being stirred. After the addition has finished, the reaction temperature was raised to room temperature and held for 24 hours. After 24 hours, the excess LiAlH₄ was decomposed with deionised water and 20 ml of H₂SO₄ (10% concentration) was added to reactant mixture. The reaction mixture was poured into separating funnel and the aqueous layer was separated from the organic layer. The aqueous layer was extracted with CHCl₃ (2 x 100 ml) and the CHCl₃ was combined with the organic layer, which was dried over MgSO₄. The organic layer was filtered and the solvent removed *in vacuo* to yield crude product (1.63 g). A small amount of crude product (250 mg) was purified by column chromatography (petroleum ether (40-60°C)/ethyl acetate, 8:2) to yield purified (5.12) (175 mg, 0.58 mmol, 46%) as a white solid. R_f 0.3 (petroleum ether (40-60°C)/ethyl acetate, 8:2); ν_max/cm⁻¹ 3340 (O-H) 2915, 2847 (C-H) 1463 (CH₂) 1057(C-O) 723 (CH₂); ¹H NMR (400 MHz, CDCl₃): δ_H = 3.60 (2H, t, J= 6.6 Hz, HCOH), 3.43-3.38 (2H, m, HCOH), 1.64-1.51 (2H, m, HOCH₂), 1.50-1.42 (2H, m, HOCH₂) 1.40-1.20 (22H, m, CH₂CH₂CH₂), 0.87 (3H, t, J= 7.5 Hz, CH₂CH₃) ¹³C NMR (100 MHz CDCl₃): δ_C = 72.7, 62.4 (C-OH), 33.0 (HOCHCH₂), 29.2 (O=CCH₂CH₂CH₂), 29.0, 28.7, 25.1, 22.6 (CH₂CH₂CH₂), 15.0 (CH₂CH₃); m/z (ES⁺),[M+Na⁺] Required 325.2713, Found 325.2714; melting point = 70 - 82 °C (literature¹¹⁵: 82 °C) [Found: C, 71.3; H, 12.4; C₁₈H₃₆O₄ requires C, 71.5; H, 12.7; O, 15.9].
6.4.6 Synthesis of 9,10-dihydroxystearic acid (5.11) from oleic acid
Oleic acid (5.5) (250 g, 708 mmol), H$_2$O$_2$ (10 g, 88 mmol), H$_2$SO$_4$ (0.6 g, 6 mmol) and HCOOH (41.4 g, 900 mmol) were weighed into a 3-neck round bottom flask. The mixture was stirred without heating as this is an exothermic reaction and when the temperature of the mixture reaches 40 °C, another portion of H$_2$O$_2$ (80 g, 706 mmol) was added drop-wise to the mixture while maintaining the reaction temperature at 60 °C. Once the addition of H$_2$O$_2$ was completed, the reaction temperature was raised and maintained at 90 °C for 24 hour. Then, the reaction mixture was poured into separating funnel and the organic layer was separated from the aqueous layer. Then 150 ml of NaOH solution (50% concentration) was added to the organic layer and the mixture was heated to 100 °C under reflux for 8 hour. Then the mixture was acidify to pH=1 with 2 M HCl and poured into separating funnel, where the organic layer was separated from the aqueous layer. The organic layer was dissolved in hot n-hexane at 60 °C and was left to recrystalize overnight. The white precipitate was filtered and washed with n-hexane to yield about 140 g of (5.11) (440 mmol, 62% yield).
6.4.7 Synthesis of diacetate estolides (5.17)
The compound (5.11) (31.6 g, 100 mmol), acetic anhydride (31 g, 304 mmol) and H$_3$PO$_4$ (1 g, 10 mmol) were weighed into a round bottom flask and was heated to 100 °C for 6 hour. Then, the mixture was poured into separating funnel and 100 ml of CHCl$_3$ was added to the mixture. The organic layer was separated from the aqueous layer and the aqueous layer was again extracted with 100 ml of CHCl$_3$. The organic layer was combined, dried over MgSO$_4$ and was filtered. The solvent was removed *in vacuo* to yield (5.17) (26.7 g, 360 mmol, 36% yield). $\nu_{\text{max}}/\text{cm}^{-1}$ 2925, 2855 (C-H)
1737, 1710 (C=O) 1465 (CH$_2$) 1371 (O=CCH$_3$) 1225 (C-O-C) 1022 (C-O) $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H = 5.03-4.96$ (4H, m, HCOC=O), 2.43 (2H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 2.33 (2H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 2.06 (9H, s, O=CCH$_3$), 1.69-1.57 (4H, m, O=CCH$_2$CH$_2$CH$_2$), 1.56-1.47 (8H, m, OCHCH$_2$), 1.38-1.18 (40H, m, CH$_2$CH$_2$), 0.87 (6H, t, $J= 6.8$ Hz, CH$_2$CH$_3$); $^{13}$C NMR (100 MHz CDCl$_3$): $\delta_C = 179.3$, 173.3, 170.6 (C=O) 73.2, 72.9 (C-O), 35.1, 34.2 (O=CCH$_2$), 29.1 (CH$_2$CHO), 24.1 (O=CCH$_2$CH$_2$CH$_2$), 22.6 (O=CCH$_3$), 28.6, 24.1, 22.6, 20.6 (CH$_2$CH$_2$CH$_2$), 14.1 (CH$_2$CH$_3$); $m/z$ (ES$^+$),[M+Na$^+$] Required 763.5336, Found 763.5333.
6.4.8 Synthesis of 9,10-dimethoxy methyl stearate (5.18)
Potassium hydroxide (KOH) (20 g, 357 mmol) was grounded to powder and was charged into a round bottom flask. Then, 9,10-dihydroxy methyl stearate (5.9) (30 g, 91 mmol) and anhydrous tetrahydrofuran (50 ml) were added to this mixture with stirring and the temperature was maintained at 40 °C for another an hour. Thereafter, methyl iodide (50 g, 350 mmol) was added drop-wise to the mixture and the reaction temperature was maintained at 40 °C for 24 hour. Then, the mixture was poured into separating funnel. 200 ml of NaCl solution and 300 ml of CHCl$_3$ was added to the mixture. The organic layer was separated from the aqueous layer and the aqueous layer was again extracted with 300 ml of CHCl$_3$. The organic layer was combined, dried over MgSO$_4$ and was filtered. The solvent was removed in vacuo to yield (5.18) as a pale yellow oil (16.3 g, 45.5 mmol, 50% yield). $\nu_{\text{max}}$/cm$^{-1}$ 2922, 2853 (C-H) 1741 (C=O) 1455 (CH$_2$) 1094 (C-O) 722 (CH$_2$); $^1$H NMR (400 MHz, CDCl$_3$): $\delta_H =$ 3.63 (3H, s, HCO), 3.40 (6H, s, HCO), 3.30-3.20 (2H, m, HCO) 2.30 (2H, t, $J= 7.5$ Hz, O=CCH$_2$CH$_2$), 1.60-1.50 (2H, m, O=CCH$_2$CH$_2$CH$_2$), 1.50-1.40 (4H, m, MeOCCH$_2$), 1.35-1.25 (22H, m, CH$_2$CH$_2$CH$_2$), 0.88 (3H, t, $J= 7.5$ Hz, CH$_2$CH$_3$); $^{13}$C
NMR (100 MHz CDCl₃): \( \delta_C = 174.1 \) (C=O), 81.9 (HC-OMe), 57.1 (OCH₃), 49.5 (O=CCH₃), 39.1 (O=CCH₂), 30.3 (CH₂CHO), 27.1 (O=CCH₂CH₂CH₂), 26.6, 23.7 (CH₂CH₂CH₂), 14.5 (CH₃CH₃); \( m/z \) (ES⁺), [M+Na⁺] Required 381.2981, Found 381.2975.
### 6.4.9 General procedure for oxidative cleavage of fatty acid derivatives
#### 126.96.36.199 Oxidative cleavage of epoxidized methyl oleate (5.16) as an example
Epoxidised methyl oleate (5.16) (50 g, 160 mmol), Na₂WO₄ (1.25 g, 3.79 mmol), Aliquat 336 (1.7 g, 3.85 mmol) and H₂O₂ (30% w/v) (100 g, 880 mmol) were weighed into a round bottom flask and the reaction mixture was stirred and heated to 100 °C for 24 hour. After 24 hour, 100 ml deionised water and 4 g H₃PO₄ were added to the reaction mixture. The reaction mixture was stirred and heated at 100 °C for another 24 hour. The reaction mixture was poured into separating funnel after 24 hour of reaction and 100 ml of NaCl solution was added to the separating funnel, then the mixture was left overnight for any azelaic acid to precipitate from the aqueous layer. The precipitated azelaic acid (5.14) in the aqueous layer was filtered and washed with deionised water, then dried overnight in oven. The weight of (5.14) collected is 0.92 g (4.9 mmol, 3% yield).
#### 188.8.131.52 Oxidative cleavage of 9,10-dihydroxystearic acid (5.11)
The experiment was conducted according to the procedure described in 184.108.40.206. The compound (5.11) (12 g, 38 mmol), Na₂WO₄ (0.22 g, 0.68 mmol), Aliquat 336 (0.3 g, 0.68 mmol) and H₂O₂ (30% w/v) (19.3 g, 170 mmol). The weight of azelaic acid (5.14) collected is 70 mg (0.37 mmol, 0.98% yield).
220.127.116.11 Oxidative cleavage of diacetate estolides (5.17)
The experiment was conducted according to the procedure described in 18.104.22.168. The compound (5.17) (25 g, 33.7 mmol), Na₂WO₄ (0.41 g, 1.24 mmol), Aliquat 336 (0.55 g, 1.24 mmol), H₂O₂ (30% w/v) (35.5 g, 313 mmol). No precipitation was observed in the aqueous layer and the major compounds in the crude organic layer were identified as (5.11) and (5.17).
22.214.171.124 Oxidative cleavage of 9,10-dimethoxy methyl oleate (5.18)
The experiment was conducted according to the procedure described in 126.96.36.199. The compound (5.18) (20 g, 55.9 mmol), Na₂WO₄ (0.4 g, 1.2 mmol), Aliquat 336 (0.53 g, 1.2 mmol), H₂O₂ (30% w/v) (32 g, 282 mmol). No precipitation was observed in the aqueous layer and the major compound in the crude organic layer was identified as (5.18).
6.4.10 Oligomerization of oleic acid without catalyst
Oleic acid (5.5) (50 g, 177 mmol) and hydrogen peroxide (30% w/w, 100 g, 890 mmol) were weighed into a round bottom flask. The mixture was stirred and heated at 80 °C for 3 days. The mixture was poured into a separating funnel and CHCl₃ (50 ml) was added to it. The organic layer was separated from the aqueous layer. The organic layer was dried over anhydrous MgSO₄ and CHCl₃ was removed *in vacuo* to yield a colorless liquid (5.6) (50 g) \( \nu_{\text{max}}/\text{cm}^{-1} \) 3467 (OH) 2923, 2854 (C-H) 1708 (C=O) 1174 (C-O) 723 (CH₂); \( ^1\text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 4.87-4.80 \) (2H, m, HCOC=O), 3.63-3.55 (2H, m, HCO) 3.45-3.38 (2H, m, HCO), 2.32 (6H, t, \( J=7.1 \) Hz, O=CCH₂CH₂), 1.68-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (72H, m,
CH₂CH₂CH₂), 0.88 (12H, t, $J=6.0$ Hz, CH₂CH₃), $^{13}$C NMR (100 MHz CDCl₃): $\delta_C =$ 179.2, 173.9 (C=O), 76.1 (HCOC=O), 74.4, 72.4 (HC-O), 33.9 (O=CCH₂), 24.4 (O=CCH₂CH₂CH₂), 31.3, 29.5, 24.6, 22.8 (CH₂CH₂CH₂), 13.8 (CH₂CH₃); $m/z$ (ES⁺) [M+Na⁺] (n=3) Required 935.7527, Found 935.7519
6.4.11 General procedure for oligomerization of plant oil with succinic acid
188.8.131.52 Oligomerization of soybean oil (5.24) with succinic acid as an example
Soybean oil (5.24) (5 g, 5.3 mmol), succinic acid (2.5 g, 21 mmol) and hydrogen peroxide (30% w/w, 30 g, 0.26 mol) were weighed into a round bottom flask. The mixture was stirred and heated at 80 °C for 7 days. The mixture was poured into a separating funnel and CHCl₃ (50 ml) was added to it. The organic layer was separated from the aqueous layer. The organic layer was dried over anhydrous MgSO₄ and CHCl₃ was removed in vacuo to yield a yellowish liquid (5.25) (6.5 g).
$v_{\text{max}}/\text{cm}^{-1}$ 3446 (OH) 2923, 2856 (C-H) 1736 (C=O) 1163 (C-O) 754 (CH₂); $^1$H NMR (400 MHz, CDCl₃): $\delta_H = 5.30-5.22$ (1H, m, CHO), 4.31 (2H, dd, $J=11.9$ Hz, 4.5 Hz, CH₂O), 4.15 (2H, dd, $J=11.9$ Hz, 5.9 Hz, CH₂O), 3.85-3.37 (4H, m, HCO), 2.63 (2H, t, $J=7.4$ Hz O=CCH₂CH₂), 2.33 (6H, t, $J=7.5$ Hz O=CCH₂CH₂), 1.66-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.52-1.20 (48H, m, CH₂CH₂), 0.89 (9H, t, $J=7.5$Hz, CH₂CH₃). $^{13}$C NMR (100 MHz CDCl₃): $\delta_C =$ 177.9, 175.7, 173.2, 172.8 (C=O) 78.7, 76.9, 74.3, 72.3 (HC-O), 68.8 (HC-O), 62.1, 61.7 (H₂C-O), 33.7, 28.3 (O=CCH₂), 24.4 (O=CCH₂CH₂CH₂), 29.4, 22.5 (CH₂CH₂CH₂), 13.7 (CH₂CH₃)
184.108.40.206 Oligomerization of rapeseed oil (5.23) with succinic acid
The experiment was conducted according to the procedure described in 220.127.116.11.
Rapeseed oil (5.23) (5 g, 5.3 mmol), succinic acid (2.7 g, 23 mmol) and hydrogen peroxide (30% w/w, 26 g, 0.23 mol), yellowish liquid (6.9 g); \( \nu_{\text{max}}/\text{cm}^{-1} \) 3450 (OH) 2924, 2854 (C-H) 1710 (C=O) 1164 (C-O) 755 (CH₂); \( ^1\text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.30-5.22 \) (1H, m, CHO), 5.12-5.04 (1H, m, CHO), 4.90-4.78 (1H, m, CHO), 4.29 (2H, dd, \( J = 11.8 \) Hz, 4.5 Hz, CH₂O), 4.15 (2H, dd, \( J = 11.7 \) Hz, 5.8 Hz, CH₂O), 3.80-3.30 (4H, m, HCO), 2.66 (2H, t, \( J = 7.5 \) Hz O=CCH₂CH₂), 2.33 (6H, t, \( J = 7.0 \) Hz O=CCH₂CH₂), 1.70-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (54H, m, CH₂CH₂), 0.88 (9H, t, \( J = 6.8 \) Hz, CH₂CH₃); \( ^{13}\text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 178.6, 176.3, 173.3, 172.1 \) (C=O) 77.0, 74.4, 72.5 (HC-O), 68.8 (HC-O), 62.1, 61.9 (H₂C-O), 33.9, 28.6 (O=CCH₂), 24.6 (O=CCH₂CH₂CH₂), 29.5, 25.1, 22.7 (CH₂CH₂CH₂), 13.9 (CH₂CH₃)
18.104.22.168 Oligomerization of palm oil (5.22) with succinic acid
The experiment was conducted according to the procedure described in 22.214.171.124.
Palm oil (5.22) (5 g, 5.6 mmol), succinic acid (1.39 g, 11.7 mmol) and hydrogen peroxide (30% w/w, 13.4 g, 0.118 mol), a yellowish liquid (4.5 g); \( \nu_{\text{max}}/\text{cm}^{-1} \) 3451 (OH) 2925, 2856 (C-H) 1725 (C=O) 1125 (C-O) 744 (CH₂); \( ^1\text{H NMR} \) (400 MHz, CDCl₃): \( \delta_H = 5.29-5.22 \) (1H, m, CHO), 4.92-4.78 (2H, m, CHO), 4.30 (2H, dd, \( J = 11.8 \) Hz, 4.6 Hz, CH₂O), 4.13 (2H, dd, \( J = 11.9 \) Hz, 5.8 Hz, CH₂O), 3.78-3.30 (4H, m, HCO), 2.63 (2H, t, \( J = 7.5 \) Hz O=CCH₂CH₂), 2.29 (6H, t, \( J = 7.5 \) Hz O=CCH₂CH₂), 1.68-1.56 (6H, m, O=CCH₂CH₂CH₂), 1.54-1.20 (64H, m, CH₂CH₂), 0.87 (9H, t, \( J = 7.5 \) Hz, CH₂CH₃). \( ^{13}\text{C NMR} \) (100 MHz CDCl₃): \( \delta_C = 176.9, 173.6, 172.6 \) (C=O) 78.2,
126.96.36.199 Oligomerization of cocoa butter (5.21) with succinic acid
The experiment was conducted according to the procedure described in 188.8.131.52. Cocoa butter (5.21) (5 g, 5.8 mmol), succinic acid (5.21) (0.70 g, 5.8 mmol) and hydrogen peroxide (30% w/w, 6.6 g, 58 mmol), a yellowish liquid (4.7 g) which was characterized by $^1$H NMR to be epoxidized cocoa butter.
6.4.12 Oligomerization of soybean oil (5.24) with adipic acid
The experiment was conducted according to the procedure described in 184.108.40.206. Soybean oil (5.24) (5 g, 5.3 mmol), adipic acid (4 g, 28 mmol) and hydrogen peroxide (30% w/w, 32 g, 0.28 mol), a yellowish liquid (4.8 g) which was characterized by $^1$H NMR to be epoxidized soybean oil.
6.4.13 General procedure for oligomerization of plant oil with phthalic anhydride
220.127.116.11 Oligomerization of soybean oil (5.24) with phthalic anhydride as an example
Soybean oil (5.24) (5 g, 5.3 mmol), phthalic anhydride (4 g, 28 mmol) and hydrogen peroxide (30% w/w, 15 g, 0.138 mol) were weighed into a round bottom flask. The mixture was stirred and heated at 80 °C for 1 day. The mixture was poured into a separating funnel and CHCl$_3$ (50 ml) was added to it. The organic layer was separated from the aqueous layer. The organic layer was dried over anhydrous MgSO$_4$ and CHCl$_3$ was removed *in vacuo* to yield a yellowish liquid (5.29) (6.5 g).
\( \nu_{\text{max}}/\text{cm}^{-1} 3449 \) (OH) 2924, 2854 (C-H) 1720 (C=O) 1599 (Ar-CH) 1069 (C-O) 743 (CH\(_2\)); \( ^1 \text{H NMR} \) (400 MHz, CDCl\(_3\)): \( \delta_H = 7.90-7.60 \) (2H, m, Ar-H) 7.60-7.45 (2H, m, Ar-H), 5.32-5.22 (1H, m, CHO), 5.19-5.06 (1H, m, CHO) 4.29 (2H, dd, \( J = 11.9 \) Hz, 4.5 Hz, CH\(_2\)O), 4.15 (2H, dd, \( J = 11.9 \) Hz, 5.9 Hz, CH\(_2\)O), 3.90-3.35 (4H, m, HCO), 2.31 (6H, t, \( J = 7.5 \) Hz O=CCH\(_2\)CH\(_2\)), 1.72-1.56 (6H, m, O=CCH\(_2\)CH\(_2\)CH\(_2\)), 1.54-1.17 (48H, m, CH\(_2\)CH\(_2\)), 0.87 (9H, t, \( J = 6.9 \) Hz, CH\(_2\)CH\(_3\)). \( ^{13} \text{C NMR} \) (100 MHz CDCl\(_3\)): \( \delta_C = 178.3, 173.3, 172.9 \) (C=O) 131.2, 129.2 (Ar-C) 83.1, 78.5, 74.4, 72.8 (HC-O), 68.7 (HC-O), 62.2, 61.9 (H\(_2\)C-O), 33.8 (O=CCH\(_2\)), 24.5 (O=CCH\(_2\)CH\(_2\)CH\(_2\)), 29.5, 22.7 (CH\(_2\)CH\(_2\)CH\(_2\)), 13.8 (CH\(_2\)CH\(_3\))
### 18.104.22.168 Oligomerization of palm oil (5.22) with phthalic anhydride
The experiment was conducted according to the procedure described in 22.214.171.124. Palm oil (5.22) (5 g, 5.6 mmol), phthalic anhydride (1.72 g, 21 mmol), hydrogen peroxide (30% w/w, 6.6 g, 58 mmol), a yellowish liquid (5.30) (6.7 g). \( \nu_{\text{max}}/\text{cm}^{-1} 3441 \) (OH) 2922, 2853 (C-H) 1738 (C=O) 1601 (Ar-CH) 1070 (C-O) 755 (CH\(_2\)); \( ^1 \text{H NMR} \) (400 MHz, CDCl\(_3\)): \( \delta_H = 7.85-7.67 \) (2H, m, Ar-H) 7.58-7.47 (2H, m, Ar-H), 5.32-5.24 (1H, m, CHO), 5.17-5.04 (1H, m, CHO) 4.31 (2H, dd, \( J = 11.9 \) Hz, 4.6 Hz, CH\(_2\)O), 4.15 (2H, dd, \( J = 11.9 \) Hz, 6.0 Hz, CH\(_2\)O), 3.80-3.37 (4H, m, HCO), 2.31 (6H, t, \( J = 7.3 \) Hz O=CCH\(_2\)CH\(_2\)), 1.80-1.56 (6H, m, O=CCH\(_2\)CH\(_2\)CH\(_2\)), 1.54-1.15 (64H, m, CH\(_2\)CH\(_2\)), 0.88 (9H, t, \( J = 6.4 \) Hz, CH\(_2\)CH\(_3\)). \( ^{13} \text{C NMR} \) (100 MHz CDCl\(_3\)): \( \delta_C = 177.9, 173.7, 172.7, 170.3 \) (C=O) 131.1, 129.1 (Ar-C) 78.4, 74.3, 72.5 (HC-O), 68.7 (HC-O), 62.0, 61.7 (H\(_2\)C-O), 33.7 (O=CCH\(_2\)), 24.5 (O=CCH\(_2\)CH\(_2\)CH\(_2\)), 29.4, 22.6 (CH\(_2\)CH\(_2\)CH\(_2\)), 13.8 (CH\(_2\)CH\(_3\))
6.4.14 Polyurethane synthesized from estolides (5.6)
Estolides (5.6) (10 g, hydroxyl value = 230 mg KOH/g sample) was weighed into a round bottom flask and chloroform (50 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4'-methylene diphenyl diisocyanate (MDI) (7.7 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the chloroform was removed by using a rotary evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane (5.31) was cured at 60 °C for 24 hours in an oven. \( \nu_{\text{max}}/\text{cm}^{-1} \) 3337 (O=CNH) 2924, 2854 (C-H) 1727 (C=O) 1597 (aromatic =CH) 1095 (C-O) 721 (CH₂)
6.4.15 Polyurethane synthesized from oligomerized soybean oil with succinic acid (5.25)
Polyol (5.25) (10 g, hydroxyl value = 144 mg KOH/g sample) was weighed into a round bottom flask and chloroform (50 ml) was added to dissolve it. The round bottom flask was purged with dry nitrogen gas to remove any moisture from the system. Then, 4,4'-methylene diphenyl diisocyanate (MDI) (4.8 g) was added to the dissolved polyol. The NCO/OH ratio index was 1.02. The reaction mixture was heated to 60 °C under reflux condition for 24 hours. After 24 hours, some of the chloroform was removed by using a rotary evaporator and then polyurethane product was poured into a pre-heated mold at 60 °C. The polyurethane (5.32) was cured at 60 °C for 24 hours in an oven. \( \nu_{\text{max}}/\text{cm}^{-1} \) 3337 (O=CNH) 2924, 2854 (C-H) 1727 (C=O) 1597 (aromatic =CH) 1046 (C-O) 723 (CH₂)
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|
REM
have rivalled for years. The club was launched two years ago, attracting 800,000 members which immediately caused a drop in pricing of club CDs as a direct result of the newly created competitive arena.
"The only conclusion one can make on Warner's renegeing on its initial agreement to supply BMG with product is that it wants to have exclusive control over the flow of music to record club members in Canada," stated George McMillan, president and CEO of BMG Direct Ltd. "Warner's behaviour is harmful to over 2 million Canadian record club members. They are being treated like second class citizens by being denied the benefits of competition enjoyed by US consumers."
For its part, Warner Music claims that the remedy being sought by the Bureau will lead to automatic compulsory licensing, something which would violate intellectual property rights of the artists and cripple their economic well-being.
But McMillan is accusing the label of employing "scare tactics" and of creating a "smokescreen to hide the real issue."
"Bertelsmann is a leader in the music industry and would not, out of concern for its artists, support compulsory licensing for music or any other intellectual property."
HMV’s Superstore to fete Yo-Yo Ma’s Bach series
Internationally-acclaimed cellist Yo-Yo Ma has brought the Suites for Cello Solo by J.S. Bach into prominence in a film series titled Inspired by Bach. The series pairs Ma with six artists, each of whom has chosen one of the Bach Suites to explore in collaboration with Ma; choreographer Mark Morris, filmmakers Atom Egoyan and Francois Girard, ice dancers Torvill & Dean, garden designer Julie Moir Messervy and Kabuki actor Tamasaburo Bando.
Ma will be on hand for an exclusive performance and meet and greet at HMV’s Toronto Superstore (333 Yonge Street) on Oct. 24 from 12:30 to 2 pm to celebrate the release of the films’ soundtrack, an all-new recording of the Suites by Ma.
Ma’s first recording of the Bach Cello Suites, released on Sony Classical, won a 1984 Grammy Award. His interest in exploring the Suites again, in this unique manner, came after he took part in a 1991 symposium on Bach scholar Albert Schweitzer. He was apparently so fascinated by Schweitzer’s description of Bach’s music as “painterly” and “pictorial”, that he began planning his Inspired by Bach project. The series of six short films that came out of this vision will be aired over six weeks on TVO, with the first film’s premiere scheduled for Sunday, Oct. 26.
Tower in-store for Jethro Tull’s Toronto date
From Noon until 1 pm on Oct. 20, Ian Anderson, Martin Barre and Andrew Giddings of Jethro Tull will be on hand at Tower Records in downtown Toronto.
The trio will perform three acoustic songs on the main floor, followed by a question and answer session open to the public and media. Vince Parr, Director of Marketing for Tower Records, is requesting that those wishing to take part should fax their questions to the marketing department, at 416-593-7995, ten of which will be chosen for the floor. After the Q&A session, the trio will sign autographs.
The Tower in-store is part of Jethro Tull’s 1997 North American Tour, promoting the EMI release of the Special 25th Anniversary Thick As A Brick. The band appears in concert at Massey Hall that same evening.
Cash injection extends life of Quality Dino
Louis Kircos, CEO of Quality Dino Entertainment, has announced that the company will receive an additional $10 million in cash from its existing investors to provide for the same conversion terms as the new investment. The company is currently developing a new line of products including performing Chris Sheppard's Destination Dancefloor, and the 9th volume of the successful Don Cherry's Rock'Em Sock'Em hockey action figures.
WALT SAYS . . . !
Attitudes are changing!!! It's taken a long time, but there appears to be a whole new respect for country music from the multi-nationals in particular, and with some retailers. And you can see why. Gold and multi-platinum certifications for country albums have been on the increase, ever since Garth Brooks and Shania Twain led the way. Every multi-national, without exception, have a full roster of country acts. Attitudes have been difficult to change however. It's one thing to have a large country roster, but if there's resistance down the line at the label, the country act isn't going anywhere, and there's been a lot of proof of this over the past dozen months. Competition in country is keener than ever. No sooner does a pretty face hit #1 and another one is bidding for that slot. Now, if we can only convince retailers to boot out some of the pop and rock crap and front-rack country, we'd see a major chain in customer buying habits. I wonder if anyone at retail ever monitors how many calls they get for country records? (EC: Are you kidding???)
There's more to Q than Stern!!! They say "as the morning goes, so goes the rest of the day," which is the case most of the time. When you have a shock-jock like Howard Stern opening the day, how do you program the rest of the day? Very carefully, I would imagine. So, it's been very interesting listening to what Pat Cardinal is doing with Q107. There's that feel of the old rock powerhouse, but with a difference. Cardinal is layering his music with a bit of his own shock and he's building a very entertaining format. It will be interesting to see just how the rest of the day is going. (EC: It's that western influence!!!)
Rewriting history!!! There are too many books coming out on the early evolution of Cancon that rewrite the facts and unfortunately there are many who will read this stuff and believe that it really happened. The truth is that many of the writers weren't there physically or mentally. The research is done by interviewing artists who they revere and believe anything they're told. The great book on early Cancon hasn't been written and it won't be by any of the current sycophants and free-loaders. Our doors are closed to researchers. We send them to the Toronto Music Library whose mandate is to use the public purse to store this Canadiana (EC: That's another story!!!) I've been writing the history of the industry for 33 1/3 years. This is Volume 66 Number 7, for those who are keeping track. Someday I'll condense it all into a book. (EC: Meanwhile, we'll have to live with the trash from L.L., M.M., R.F. and that ilk!!!)
Now that's an awards show!! We predicted that the MuchMusic Video Awards would be a big ratings winner. But can you believe more than three million Canadian viewers? This is almost triple last year's audience and the highest rating ever for the show. And the demographics were between 12 and 34, pretty key when it comes to consumer buying, and you have to admit that some record sales must have been realized. That Denise Donlon sure knows how to get to the heart of the matter. (EC: Other awards shows producers should take Denise to lunch!!!)
The cart or the horse??? There's a radio station out west that's letting their attitude hang out for everyone to interpret, and not very positively from the people who have called me. The station will no longer break new songs or artists. These artists and/or songs "must become chart items before consideration is given." Now, tell me, how do the artists and/or records become chart items if radio doesn't break them? (EC: Another reason for the CRTC to begin monitoring!!!)
People are asking!!! Without looking, how many sprockets are there in the hole of a CD? (EC: Is there a hole???) At what speed does a CD revolve? At what speed did the old 78s revolve? Is the mouse looking for a hole to be more whole? If he got trapped into a bad company would that be a mousetrap? What record company doesn't have corporate citizenship in its bottom line? What ever happened to "payola"? (EC: He means how its done now as opposed to back then!!!) Why was there such a lack of press coverage of the CCMA Awards and why are photogs complaining? (EC: Who was to blame???)
Celebrity roll call!!! With the new awakening at the Toronto Star, expect to see more photos of film celebrities in those colour spreads rumoured to be coming. Watch the Toronto Sun accelerate their celebrity coverage. The sports fans apparently love it and the entertainment advertisers are getting real excited. Watch the Globe and Mail to hire a photographer. Rumour has it they're looking for a younger readership.(EC: Photos in the dailies??? You must be dreaming . . . and IN COLOUR???)
A cliff hanger!!! The Warner Warriors are the proud holders of the RPM Cup, beating out the Warner Wackers. The Warriors looked like they would take it in a two-game sweep, but the Wackers staged a pretty dramatic comeback, thanks to John Robbie's three run, two-out homer. Universal Music won the CRIA Trophy, sweeping PolyGram. It's Universal's first trophy win. (EC: Until next year!!!)
Ed Preston, then president of RCA Records Canada, and the recently deceased John Denver and his 1974 gold award for his Greatest Hits album. CHUM's J. Robert Wood was instrumental in taping a special on Denver which remains a classic. (photo by John Rowlands)
CMAW'09
| TW | LW | WO | TRACKS & WHERE TO FIND THEM |
|----|----|----|-----------------------------|
| 1 | 1 | 11 | FLY Sugar Ray - Floored Universal (promo CD) - P |
| 2 | 3 | 5 | ANYBODY SEEN MY BABY? The Reflex Stunes - Bridges To Babylon Virgin 44712 (promo CD)-F |
| 3 | 2 | 17 | BUILDING A MYSTERY Sarah McLachlan - Surfacing Nettwerk 39709 (promo CD)-F |
| 4 | 5 | 7 | FOOLISH GAMES Jewel - Pieces Of You Warner Bros. 3301-F |
| 5 | 10 | 6 | THE SOUND OF Jack Johnson - Happy? A&M 5207892 (promo CD) - Q |
| 6 | 27 | 6 | PUSH Matchbox 20 - Yourself Or Someone Like You Lava/Atlantic (comp 97315 vol. 315) |
| 7 | 7 | 4 | I DON'T WANT TO WAIT Paul Cole - I Don't Want Warner Bros. (promo CD) - P |
| 8 | 4 | 7 | INVISIBLE MAN The Dap-Kings Columbia 530 796 (comp 61)-D |
| 9 | 15 | 5 | ON MY OWN Peach Unison - Audiobeach Warner Bros. 33039 (promo CD)-H |
| 10 | 9 | 24 | IF YOU COULD ONLY SEE Toric - The Lemon Parade Polydor 31543 1042-D |
| 11 | 21 | 3 | SHOW ME LOVE The Black Keys - Rockin' In The Arista (promo CD) - N |
| 12 | 35 | 2 | TUBTHUMPING The Prodigy - Tubthumping Universal 53099-J |
| 13 | 18 | 11 | WALKIN' ON THE SUN Smokie Moon - Tush Yu Man Mercury 50101 (promo CD) - J |
| 14 | 25 | 5 | 4 SEASONS OF LONELINESS Boyz II Men - Evolution Motown (promo CD) - Q |
| 15 | 13 | 15 | I BECOME 1 Simple Plan - Simple Plan Virgin 42174-F |
| 16 | 8 | 9 | HONEY Enya - Butterfly Polydor 31543 1042-D |
| 17 | 24 | 21 | ALL FOR YOU Sister Hazel - Middle Nowhere More Familiar Atlantic 53035-J |
| 18 | 11 | 12 | IT COULD HAPPEN TO YOU Blue Riders - I'm Here Now EMI (promo CD) - H |
| 19 | 19 | 3 | SOMETHING ABOUT THE WAY... Elton John - Something About The Way Mercury 314 588 109-Q |
| 20 | 12 | 25 | SEMI-CCHARMED LIFE The Black Keys - Third Eye Blind Elektra 52012-E |
| 21 | NEW | 1 | DON'T GO AWAY Oasis - Be Here Now EMI (promo CD) - H |
| 22 | 22 | 6 | MOST PRECIOUS Blues Traveler - Shining On Warner Bros. 3301-F |
| 23 | NEW | 1 | HITCHIN' A RIDE Green Day - Nimmo Reprise (comp 335)-P |
| 24 | 18 | 22 | OUR PLAYIN' GAMES WITH... Matchbox 20 - Playtime: Boys Jive/Zomba 15981-N |
| 25 | 14 | 7 | TAKES A LITTLE TIME Amy Grant - Behind The Eyes Capitol 3301-F |
| 26 | 28 | 8 | TRUST ME Amanda Marshall - Amanda Marshall Columbia 530 796 (comp 61)-D |
| 27 | 27 | 7 | THE IMPRESSION THAT I GET Mighty Mighty Bosstones - Let's Face It Mercury (comp 520) - Q |
| 28 | 30 | 2 | YOUR BOY You Me At Six - Flaming Pie EMI (comp 161)-F |
| 29 | 43 | 2 | LEGEND OF A COWGIRL Shania Twain - Come Cloppola Columbia 58851-H |
| 30 | 32 | 3 | AUTOMATIC FLOWERS Our Lady Peace - Clumsy Columbia 530 796 (comp 61)-H |
| 31 | 45 | 6 | MY ADDICTION Dylana Manning - Volume 1 EMI 53852 (comp 17) - F |
| 32 | 20 | 5 | CANDLE IN THE WIND '97 Whitney Houston - The album Rocket (promo CD) - Q |
| 33 | 47 | 3 | BLAME Colbie Caillat - Disappointed Breakdown Atlantic (promo 395)-P |
| 34 | 33 | 7 | BARBIE GIRL Aqua - Aquarama Universal (promo CD) - J |
| 35 | 2 | 3 | THREE MARLENAS The Wallflowers - Bringing Down The Horse Universal (comp 17) - F |
| 36 | 23 | 12 | EVERYBODY Backstreet Boys - Backstreet's Back Jive/Zomba 41617-N |
| 37 | 31 | 24 | THE DIFFERENCE The Wallflowers - Bringing Down The Horse Interscope 80059-J |
| 38 | 60 | 15 | TO THE MOON AND BACK Savage Garden - Savage Garden Columbia 58854 (comp 17) - H |
| 39 | 71 | 14 | MORE THAN THIS 10,000 Maniacs - Lost Among The Ruins Geffen (comp 17) - F |
| 40 | 17 | 15 | WHERE'S THE LOVE Hanson - Middle Of Nowhere Music 534615 |
| 41 | NEW | 1 | DO WHAT I CAN Justin Timberlake - Present Aquarius 6075 (promo CD) - F |
| 42 | 42 | 4 | PINK Aerosmith - Nine Lives Columbia (promo CD) - H |
| 43 | 26 | 6 | HOW DO I LIVE LeAnn Rimes - I Can't Fight Up My Life Epic (promo CD) - F |
| 44 | 44 | 27 | THE FRESHMEN Verve Poe - Villains RCA 688029-N |
| 45 | 36 | 7 | SHED A LIGHT Nickelback - Kissing Rain RV International 43978 (promo CD) - N |
| 46 | 81 | 8 | I AM THE MAN Phil Collins - Kings Are The Man Columbia (comp 128) - H |
| 47 | 28 | 10 | CONGO Genesis - Calling All Stations Atlantic (comp 330) - F |
| 48 | NEW | 1 | SURROUNDED Chantal Kreviazuk - Under These Rocks And Stones Columbia 87926 (promo CD) - H |
| 49 | NEW | 1 | TOUCH PEEL STAND Talk Of The Town - Days Of The New Outlook 30004-J |
| 50 | NEW | 1 | CRIMINAL Fabolous - Tell It Sony 67439-H |
| 51 | 29 | 9 | TURN MY HEAD Live - Secret Sessions Retrospect 41609 (comp 10) - J |
| 52 | NEW | 1 | ORDINARY DAY Great Big Sea - Play WEA 50101 (promo CD) - P |
| 53 | 37 | 19 | WHEN I'M UP (I CAN'T GET DOWN) Great Big Sea - Play Warner 18992 (comp 323) - P |
| 54 | 53 | 15 | DO YOU KNOW WHAT IT TAKES Razorlight - Run In Here EMI 64985-5 |
| 55 | 64 | 2 | ALL THAT YOU ARE Echobelly - Crush - The Devil You Know EMI 314 588 109-Q |
| 56 | 50 | 5 | GOT TIL IT'S GONE James Blunt - Reckless Virgin 44783 (promo CD) - F |
| 57 | 66 | 4 | IT'S OK, IT'S ALRIGHT Gavin Hoyle - I'm Popular (promo CD) - P |
| 58 | 55 | 3 | HEAVY Gazelle Twin - Zuchercabaty Mercury (comp 520) - Q |
| 59 | 72 | 26 | BITCH Miley Cyrus - Blurring The Edges Capitol 31014 (promo CD) - F |
| 60 | 54 | 16 | THIRD OF JUNE Corey Hart - Corey Hart Columbia 530 796 (comp 61)-H |
| 61 | 38 | 7 | SILVER SPRINGS Pavement Inc. - The Dance Reprise (comp 311) - F |
| 62 | 41 | 2 | YOU SHOULD BE HAVING FUN Bon Jovi - Last Call - I'll Tomorrow Columbia (comp 084) - H |
| 63 | 70 | 6 | DOWNTIME The Generals - Sold For A Smile Virgin 18970 (promo CD) - J |
| 64 | 48 | 3 | LAST OF THE BIG GAME HUNTERS Bastille Prophets - Last Of The Big Game Hunters Mercury (comp 520) - Q |
| 65 | 52 | 4 | OPEN UP BABY Big Sugar - Harm-Vision A&M (comp 7) - F |
| 66 | 63 | 2 | SIDE BLUE 38 Special - Flash Back A&M 39749-D |
| 67 | 76 | 25 | SUNNY CAME HOME The Beach Boys - Two Small Repairs Columbia 87119 (comp 60) - H |
| 68 | 46 | 3 | PEARLY WHITE Junoshine - Fuzz Columbia 53096 (promo 084) - H |
| 69 | 85 | 28 | CLUMSY Our Lady Peace - Clumsy Columbia 80242-H |
| 70 | 51 | 2 | HAVE YOU SEEN ME LATELY? The Wallflowers - Recovering The Satellites Universal (comp 12) - F |
| 71 | 58 | 2 | BLUE BOY The Fogerty - Blue Moon Swirls Warner Bros. 54203-P |
| 72 | 87 | 16 | NUMBER Holly Michael - Stuff Universal 53075 (promo CD) - J |
| 73 | 75 | 1 | LAZY EYE Goo Goo Dolls - Batman and Robin D.S.T. Warner Bros. 46202-F |
| 74 | NEW | 1 | STILL WATERS Lee Seals - Still Waters Polydor 3145373022-Q |
| 75 | 57 | 2 | WHAT I THINK SHE SEES Our Lady Peace - Sweet Sucker's Parade A&M 215407052-Q |
| 76 | 39 | 8 | MARCHING TO MARS Simple Plan - Marching To Mars Track Factory 53096 |
| 77 | 73 | 15 | MEN IN BLACK THEME Will Smith - Men In Black D.S.T. Columbia 681119 (promo CD) - H |
| 78 | 88 | 31 | I WANT YOU The Dap-Kings - Savage Garden Columbia 9435 (promo CD) - H |
| 79 | 80 | 4 | SMILE AND WAVE The Dap-Kings - Smile And Wave Universal (promo CD) - J |
| 80 | 40 | 2 | CRY LOVE Sugar Cain - Diamonds and Debris Columbia 68019-H |
| 81 | NEW | 1 | ONE DAY OF KISSES Carol Medina - N/A Polydor 314 588 109-Q |
| 82 | 65 | 10 | NO TENGO DINERIO Los Umbriellos - Red Hot Latin Hits EMI 57398-F |
| 83 | 62 | 13 | DRIVING IN' L.A. Ben Van 50307 - Uber AudioGram 10105-Select |
| 84 | 74 | 7 | MAKING LOVE OUT OF NOTHING AT ALL M-Aposis - N/A Third World Entertainment |
| 85 | 59 | 17 | TEMPTATION The Part Time - Transgression EMI 68370 (promo CD) - F |
| 86 | 83 | 7 | JANIE, DON'T TAKE YOUR LOVE TO TOWN Jon Bon Jovi - Destination Anywhere Mercury (comp 507) - Q |
| 87 | 87 | 13 | FOUR LEAF CLOVER Arctic Monkeys - Strongest Places Arista 185392-N |
| 88 | 95 | 1 | AU NATUREL See Spun Hun - Au Naturel High Longplay 1138 (promo CD) - Q |
| 89 | 69 | 2 | GOOD ENOUGH Dodgy - Good Enough Swirls A&M 314 540 373 (promo 5) - Q |
| 90 | 56 | 12 | D'YOU KNOW WHAT I MEAN? Oasis - D'You Know What I Mean? Columbia 3289-H |
| 91 | 79 | 28 | CHANGE Scott Stapp - Sheryl Crow A&M 314 540 587-Q |
| 92 | 77 | 11 | MO MONEY MO PROBLEMS The Neptunes - Mo Money After Death Asylum 79100 (comp 30) - H |
| 93 | 82 | 13 | I'LL BE MISSING YOU Put Daddy - With Faith Evans - No Way Out Bad Boy 50102 (comp 19) - N |
| 94 | 68 | 23 | WAYNE Chantel Kreviazuk - Under These Rocks And Stones Columbia 802246 (comp 61) - H |
| 95 | 78 | 6 | LOST HIGHWAY Lori Yester - Lost Highway Virgin (promo CD) - F |
| 96 | 81 | 9 | FOR YOU I WILL Monica - Space Jam O.S.T. Atlantic (comp 310) - F |
| 97 | 86 | 27 | MMMBOP Hanson - Middle Of Nowhere Mercury (comp 507) - Q |
| 98 | 89 | 13 | RETURN OF THE MACK Mark Morrison - Mark Morrison WEA 17286 |
| 99 | 92 | 12 | BREAK MY STRIDE Usher - Level II Columbia 91161 (comp 62) - H |
| 100| 84 | 18| LAST NIGHT ON EARTH U2 Island 504334 (comp 4) - J |
A Present from Sass Jordan -- in the Present
by Rod Cardine
"Something good did come out of all that," she says. "It was very dark and difficult but I'm really glad because I learned so much. I wouldn't have been able to do it without my family, my friends and my fans."
KACY CROWLEY - Pop/Rock
Anchorless
Atlantic 13038-P
This former deadhead plays the guitar and sings but hang on a sec, we mean sing. Here's a sample: "Will I surrender and learn to fight/ Like camouflage through the dark and the light/ From the bottom of my dreams comes the sound/I wear my music like a broken crown." Kacy Crowley was signed to Atlantic because her music is all about sincerity and plaintive emotion. She's a thinker who seems to elude the people who try most to achieve them. A native of Northampton Massachusetts, the singer/songwriter was baptised into popular music by the likes of John Denver and John Cougar Mellencamp. And despite the Grateful Dead period that followed her into late adolescence, she has managed to hold on to the fiery, groovy roots that marked her earlier influences. In Singers Are Ugly, Crowley makes cracks about people like Mick Jagger and... herself: "My dreams become bone thin/Bone dust indie my skin/in the city." Atlantic and Warner Bros. are planning a big push for the musician and are expecting a big reception in North America. For that reason, you will hear Hand To Mouth on your local radio where it will be a strong contender for the big CHR hit. Comparisons to Sheryl Crow might be informative but are ultimately pointless; this girl is dominating her very own corner in the pop world, a corner that stands to get a hell of a lot bigger in the months to come.
THE VERVE
Urban Hymns
Virgin 44913-F
In the seven years since their crash into the British music scene, The Verve have elicited all sorts of conflicting responses, turning them into a type of pop pariah par excellence. Much has been said -- for example, of the grandiose comments -- a la Oasis -- to a less than impressed media, of their hotel room antics and of their drug fuelled spats. And then there's the music. But before we go on to explain why Urban Hymns is a fantastically achieved pop album, we are obliged to refer to the past, when three singles, notably All In The Mind, She's A Superstar and Gravity Grave made this band a reference point for much of the stuff this decade has cranked out. Now back to Urban Hymns. The album has had an early introduction on CHR with Bitter Sweet Symphony, a tune that excludes the consequence that The Verve are accused of being arrogant for continually pointing out. In truth, Urban Hymns progresses to a semblance of their elder brothers in Oasis by concentrating guitar pop and breathy ballads into a '90s psychedelia that inexplicably makes this pop music a little sinister, a brittle and edgy piece of work. Talk about pa d'olive. Songs like Sonnet, which showcase strong words in a framework of perfect melody structure and playful delivery will ensure that this album will be canonsed among the best the period -- and the country -- has produced. Single to follow will be The Drugs Don't Work.
POP CAN
- Pop/Alternative
Various Artists
Alert 81033-Q
This cleverly titled release purports to contain some of the most refreshing indie pop currently fizzling in Toronto. Alert Music, who threw a nice little soiree for this thing last week sometime, is the one putting the compilation together under what must have been the guiding philosophy of any independent pop that works. The triumph of the release, and what it claims over other releases that try to bring together unknown bands, is that if the music has the stamp of commercial radio despite (or because of) its independent freshness, there is a lot to quench the thirst on the rock (all of sixteen tracks for a hot summer day). In our humble opinion, the standouts include Cool Blue Halo (Too Much Kathleen), Universal Honey (Wouldn't Want To Be In Your Shoes), Cinnamon (Another Edit) and the gem of the piece which belongs to that rockin' group of pop hipsters, Clue. Sour Mashslide (Hired Cook), You Will Hear Me and interesting on New Despots (an existential new wave pop experiment) and Minstrels (quaint pop with echoes of baja surfi). A release which is both well executed and important to showcasing the kinds of talent that is currently brewing in our own front doorstep. The release notes for the album called it cool, sweet, simple and pure. That about sums it. Oh, and did we mention it was 100% pure Canadian?
SANDBOX
- Alternative
A Murder In The Glee Club
EMI 857585-F
Cool. Here's an album that could be described as that game called Clue... or maybe it would be more intriguing to make the disingenuous association of James Joyce's Ulysses... or maybe it's choose your own adventure. Whatever the true concept of this concept album, the point is that Sandbox have learned a lot about zest, subtlety and strong pop melodies since their last album (1995's Bianco). That album, however, was No. 1, got quiet some promising attention, top ten action on Much, and a slew of nominations from the Junos, CASBY and ECMA's. Despite all that, it's good to hear the band still maintains its independent fervour, something which is evident from a concept album allegorically based on a murder mystery. While the lyrics give us much room to ponder whether Mr. White did it in the red room with a rope, the music stays close to the pop sensibilities that made Curious the wunderhit of yesteryear. Which means that while Murder In The Glee Club might not crown any sleuths over the next month, it will have the tendency to mysteriously appear on radio. The single called Carry and So It Goes will surely follow over at EMI tremendous possibilities for promotion. Of course it has a great chance at success. That's just elementary, my dear Watson.
KEVIN CLOSS
- Folk 'n Pop
Homecoming
Tower Bay-1
Carefull Kevin Closs could be catching. After reading the accompanying promotion piece, out of sheer curiosity, his squeaky clean instrumental (acoustic guitar) version of Canada was the first track sampled. The inspiration emerged from a trip to Ireland without saying. Closs is an artist with balls and a unique vocal property to play touch-and-go with not only his own but also the imagination of his listener. His folk roots are pretty obvious. He tailor-fits his word imaging to a warm, almost cuddly projection that creates a message title that fits several moods, all positive. Key here are Homecoming, Pell Mell, Nowhereland, and The Camp Song. But don't overlook Red Dan's Lament. Also Key is Old Voice, written by Ian Tamblyn, who also produced the album and doubles on several instruments, and the Paul Dunn penning of Careful What You Wish For. Recorded at Ottawa's Sound of One Hand and mastered by Bill Kipper at SNB in Montreal.
11:11 - Newfoundland Classics
Newfoundland Women Sing
Songs by Ron and Connie Hynes
TMP-1111
There's nothing more that captures the very essence of The Rock and its lush heritage than the works of Newfoundland's Ron and Connie Hynes. Add to that the individual vocal charm and a no-kidding delivery by 11 of the island's best known female vocalists, and you have an entertainment package that underscores not only the importance of being a Newfoundland but a female to boot. Needless to say, this has been a two-year labour of love by Ron and Connie and producer Declan O'Doherty, not to mention the support of TMP The Music Producer. All tracks are key, and whether by accident or design, the music and lyrics fit perfectly, the personality of each of the vocalists. Ants In The House (Met At A Bar), Dammit Doyle (He's Not Wild About You), Liz Picard (Picture To Remember), Kim Stockwood (Leave Or Be The One), Colleen Power (Mary Got A Baby), Vicki Hynes (If You Let Me Go I'll Fall), Mary Barry (April Fools), Shirley Montague (Only Lonely Sometimes), Shirley Dalton (I've Got Thin Lines), Pamela Morgan (May I Shiver Here?), and Kathy Phippard (Heart Of A Man). Recorded at The Junction Sound Studios in Toronto and mastered by Ted Carson at MusicLane Inc. in Markham, Ontario. Available through TMP The Music Producer 416-986-7788. Distributed on the east coast by Tidemark.
OLIVE
Extra Virgin
RCA 67507-N
Sure, BMG staffers Dale I Wish I Was Dick Assman' Peters and Cameron Carpenter bagged the every RPM staff with boozoo, turkey subs and olives when they dropped off this release, but that's not why you are currently reading this review. Olive pricked our ears because we heard in it what 500,000 Britons heard when they rushed out to buy the first single from the exploding UK phenom. The song was You're Not Alone and is, of course, included here in the trio's third North American release called Extra Virgin. The sound harkens to something we've heard before, notably Everything But The Girl, though Olive aims to throw a tasty splash of R&B into the techno-tinged trip hop mix that give their particular potion the taste of heaven. Something about the new Extra Virgin plays itself out, suggesting us that there's a huge crossover market for this music, including CHR, A/C and alternative. The fluid, soulful ebbs and flows reach crescendoes with Miracle, Safer Hands and, of course, You're Not Alone. Understandably, there is big anticipation for a North American invasion and the possibility seems glaringly tangible after a cursory listen to the album. Like their natural counterpart, Olive may be a matter of taste, but whatever you do, don't fail to give it a listen. You might be missing out on one of the main events of the year.
THE LAST TIME I COMMITTED SUICIDE
Soundtrack - Various Artists
Blue Note-36736-F
The music is good, the lyrics are interesting, but the album is not really all that. It's a bit too long and the songs are a bit too similar to each other. The vocals are also a bit too high-pitched for my taste.
COLUMBIA PICTURES WILL RELEASE KIRKLAND'S FAVORITE MOVIE SOUNDTRACK ON OCTOBER 21. THE LAST TIME I COMMITTED SUICIDE IS A COLLECTIVE OF MUSIC FROM THE FILM OF THE SAME NAME. THE ALBUM FEATURES A VARIETY OF GENRES, INCLUDING ROCK, POP, AND JAZZ. THE SONGS ARE ALL ORIGINAL COMPOSITIONS BY VARIOUS ARTISTS, INCLUDING BRIAN ENO, ROGER DALTREY, AND RICHARD HAMILTON. THE ALBUM IS AVAILABLE AT MOST RECORD STORES AND ONLINE.
| TW | LW | WO | Artist/Title | Label | Catalog |
|----|----|----|--------------|-------|---------|
| 1 | 1 | 5 | AQUA | Aquarium (MCA) 895020 |
| 2 | NEW| | JANET JACKSON | Velvet Rope (Virgin) 47692 |
| 3 | 3 | 2 | LOREENA McKENNITT | The Book Of Secrets (WEA) 19404 |
| 4 | 7 | 4 | JEWEL | Pieces Of You (Atlantic) 82700 |
| 5 | 6 | 9 | BACKSTREET BOYS | Backstreet's Back (Jive) 41617 |
| 6 | 4 | 13 | SARAH McLACHLAN | Surfacing (Nettwerk) 30116 |
| 7 | 2 | 2 | THE ROLLING STONES | Bridges To Babylon (Virgin) 44712 |
| 8 | 8 | 12 | PUFF DADDY & THE FAMILY | No Way Out (Bad Boy) 3072 |
| 9 | 10 | 4 | MARIAH CAREY | Butterfly (Columbia) 67835 |
| 10 | 14 | 15 | ANDREA BOCELLI | Romantica (Philips) 56456 |
| 11 | 9 | 3 | BOYZ II MEN | Evolution (Motown) 30818 |
| 12 | 12 | 7 | TRISHA YEARWOOD | Songbook (Universal) 70001 |
| 13 | 11 | 13 | JANIN ARDEN | Happy? (Asm) 40789 |
| 14 | 13 | 4 | SOULFOOD O.C.S.| Various Artists (Arista) 26041 |
| 15 | 15 | 38 | OUR LADY PEACE | Cuntry (Columbia) 80242 |
| 16 | 5 | 2 | PORTISHEAD | Portishead (London) 539189 |
| 17 | 17 | 15 | PRODIGY | The Fat Of The Land (XL Recordings/Koch) 40121 |
| 18 | 19 | 12 | SUGAR RAY | Flavors (Atlantic) 83006 |
| 19 | 18 | 44 | SPICE GIRLS | Spice (Virgin) 42174 |
| 20 | 16 | 3 | ELTON JOHN | The Big Picture (Mercury) 538286 |
| 21 | 20 | 7 | OASIS | Be Here Now (Epic) 68530 |
| 22 | 33 | 4 | CHUMBAWUMBA | Tubthumper (MCA) 53059 |
| 23 | 22 | 4 | BROOKS & DUNN | Greatest Hits Collection (Arista) 18852 |
| 24 | 25 | 29 | MATCHBOX 20 | Yourself Or Someone Like You (Lava) 92721 |
| 25 | 24 | 3 | DANCE HITS ALL STARS | Various Artists (Pipper) 80150 |
| 26 | NEW| | FRANCOIS PERUSSE | L'Album Du Peu (Zol) 90009 |
| 27 | 23 | 24 | NOW! 2 | Various Artists (WEA) 35296 |
| 28 | 21 | 5 | LEANN RIMES | You Light Up My Life (Curb) 77895 |
| 29 | 23 | 8 | HANSON | Middle Of Nowhere (Mercury) 34615 |
| 30 | 52 | 13 | HELMUT LOTTI | Various Artists (Masc) 1884 |
| 31 | 29 | 45 | WALLFLOWERS | Bringing Down The... (MCA) 90055 |
| 32 | 31 | 54 | AMANDA MARSHALL | Amanda Marshall (Columbia) 80229 |
| 33 | 39 | 8 | SMASH MOUTH | Fush-Ya Mang (Interscope) 90142 |
| 34 | 34 | 30 | DAFT PUNK | Homework (Virgin) 42609 |
| 35 | 36 | 3 | PURE DANCE | Various Artists (PolyTel) 40106 |
| 36 | 42 | 53 | BACKSTREET BOYS | Backstreet Boys (Jive/Zomba) 15981 |
| 37 | 26 | 3 | BJORK | Homogenic (Elektra) 62061 |
| 38 | 44 | 4 | MC MARIO DANCE | Various Artists (Sony) 24028 |
| 39 | 35 | 4 | BUSTA RHYMES | When Disaster Strikes (Elektra) 62064 |
| 40 | 32 | 15 | MEN IN BLACK O.S.T. | Various Artists (Columbia) 68189 |
| 41 | 30 | 2 | THE VERVE | Urban Hymns (Virgin) 44913 |
| 42 | 45 | 21 | FOO FIGHTERS | Colour And The Shape (EMI) 55632 |
| 43 | 38 | 29 | NOTORIOUS B.I.G.| Lite After Death (Blues Boy) 073011 |
| 44 | 47 | 21 | GREAT BIG SEA | Play (Warner Bros.) 18592 |
| 45 | 43 | 34 | LIVE | Secret Sumachi (Radioactive) 11590 |
| 46 | 27 | 2 | BOB DYLAN | Time Out Of Mind (Columbia) 68556 |
| 47 | 40 | 16 | THE TEA PARTY | Transmission (EMI) 55358 |
| 48 | 41 | 26 | SAVAGE GARDEN | Savage Garden (Columbia) 67954 |
| 49 | NEW| | EVERCLEAR | So Much For The After Glow (EMI) 36503 |
| 50 | 37 | 17 | RADIOHEAD | OK Computer (EMI) 55229 |
| 51 | NEW| | DIANA PRINCESS OF WALES 1961-1997 | Various Artists (London) 480000 |
| 52 | NEW| | HOLLY COLE | Dark Dear Heart (Alert) 81034 |
| 53 | 50 | 3 | USHER | My Way (Arista) 28043 |
| 54 | 55 | 16 | ROBYN | Robyn Is Here (RCA) 67477 |
| 55 | 99 | 2 | SWEET P MORIFOD | 20 Ans Depa... (Dorr) 79345 |
| 56 | 59 | 54 | CELINE DION | Falling Into You (Columbia) 33068 |
| 57 | 53 | 8 | FLEETWOOD MAC | The Dance (Reprise) 46702 |
| 58 | 46 | 9 | 98 DEGREES | 98 Degrees (Motown) 530796 |
| 59 | 49 | 50 | JAMIROUQAI | Traveling Without Moving (Columbia) 91109 |
| 60 | 51 | 54 | ELTON JOHN | Love Songs (MCA) 11481 |
| 61 | 58 | 6 | CMT COLLECTION | Various Artists (EMI/BMG) 1253 |
| 62 | 57 | 8 | ESCAPES Vol. 2 | Various Artists (Warner Bros.) 35691 |
| 63 | 48 | 4 | SOUL GROOVE | Various Artists (Universal) 81058 |
| 64 | 68 | 16 | WYCLEF JEAN | Presents...The Carnival (Columbia) 67974 |
| 65 | 54 | 8 | BRUNO PELLETIER | Miraire (Born) 30116 |
| 66 | 62 | 21 | MEREDITH BROOKS | Blurring The Edges (EMI) 36919 |
| 67 | 60 | 22 | TONIC | Lemon Parade (PolyGram) /1042 |
| 68 | 56 | 4 | ADAM SANDLER | What's Your Name? (Warner Bros.) 46738 |
| 69 | 61 | 19 | TIM McGRAW | Everywhere (Curb) 77888 |
| 70 | NEW| | THE PHILOSOPHER KINGS | Famous, Rich And Beautiful (Columbia) 80291 |
| 71 | 63 | 21 | TRAGICALLY HIP | Live Between Us (Universal) 81055 |
| 72 | 67 | 54 | NO DOUBT | Tragic Kingdom (Interscope) 90003 |
| 73 | 64 | 22 | THIRD EYE BLIND | Third Eye Blind (Elektra) 62012 |
| 74 | 75 | 4 | MACK 10 | Based On A True Story (Virgin) 50675 |
| 75 | 81 | 4 | BRIGHTMAN/CURA | Time to Say Go (A&M) 58311 |
| 76 | 70 | 30 | AEROSMITH | Nine Lives (Columbia) 67547 |
| 77 | 66 | 9 | SVW | Release Some Tension (RCA) 67525 |
| 78 | 93 | 19 | DUBMETIQUE | The Force de Compre... (Select) 43022 |
| 79 | 80 | 16 | BRAN VAN 3000 | Gee (Select) 77105 |
| 80 | 77 | 16 | MY BEST FRIEND'S WEDDING O.S.T. | Various Artists (Epic) 68168 |
| 81 | 65 | 4 | PAUL BRANDT | Outside The Frame (WEA) 46635 |
| 82 | 71 | 11 | SPAWN O.S.T. | Various Artists (Epic) 69494 |
| 83 | 76 | 34 | BLUR | Blur (EMI) 55582 |
| 84 | 82 | 54 | TONI BRAXTON | Secrets (Ja Face) 26020 |
| 85 | 84 | 21 | NEW COUNTRY 4 | Various Artists (Warner) 35328 |
| 86 | 79 | 7 | DIANA KRALL | Low Scenes (Impulse/Universal) 50234 |
| 87 | 73 | 16 | HOLLY McNARLAND | Stuff (Universal) 53075 |
| 88 | 68 | 8 | BOB DYLAN | The Best Of Bob Dylan (Sony) 24037 |
| 89 | 72 | 50 | DEANA CARTER | Did I Shave My Legs (EMI) 96080 |
| 90 | 78 | 54 | LEANN RIMES | Blue (Curb) 77821 |
| 91 | 83 | 6 | MONEY TALKS O.S.T. | Various Artists (Arista) 18875 |
| 92 | NEW| | JIMI HENDRIX | South Saturn Delta (MCA) 11684 |
| 93 | 85 | 25 | VERVE PIPE | Villains (BMG) 88809 |
| 94 | 74 | 19 | WU-TANG CLAN | Wu-Tang Forever (BMG) 69805 |
| 95 | 89 | 3 | EPMD | Back In Business (DefJam) 536389 |
| 96 | 91 | 54 | BECK | Odelay (Geffen) 24623 |
| 97 | 92 | 14 | BLUE RODEO | Tremolo (WEA) 19253 |
| 98 | 88 | 7 | COOLIO | Coolia My Soul (Tommy Boy) 1180 |
| 100| 95 | 54 | SHERYL CROW | Sheryl Crow (A&M) 314540 587 |
Gary Fjellgaard has been selected to perform at the 9th annual Western Music Festival which will be held in Calgary, Alberta from October 24-26. The festival is a showcase for Western music and features performances by some of the best artists in the genre.
Chely Wright is on the same edition where she will talk about her new single "Shut Up And Drive." The song is from her upcoming album "The Other Side," which is set to be released later this year. Chely has been making waves in the country music scene with her powerful vocals and unique style.
announced plans for a 14-city tour of Germany as well as a 20-city tour of the U.S. in November and December.
### RPM Adult Contemporary Tracks
**Record Distributor Codes:**
- BMG - N
- EMI - F
- Universal - J M Quality
- Polygram - Q
- Sony - H
- Warner - P
- Koch - K
#### October 20, 1997
| TW | LW | WD |
|----|----|----|
| 1 | 1 | 6 |
| 2 | 12 | 12 |
| 3 | 3 | 12 |
| 4 | 7 | 7 |
| 5 | 6 | 7 |
| 6 | 7 | 10 |
| 7 | 5 | 17 |
| 8 | 10 | 11 |
| 9 | 9 | 9 |
| 10 | 11 | 14 |
| 11 | 8 | 12 |
| 12 | 13 | 11 |
| 13 | 16 | 12 |
| 14 | 14 | 13 |
| 15 | 17 | 31 |
| 16 | 12 | 31 |
| 17 | 18 | 15 |
| 18 | 15 | 18 |
| 19 | 20 | 8 |
| 20 | 21 | 15 |
#### CANDLE IN THE WIND '97
Elton John - CD single
Rocket (supplied by Digital Counter)
#### TAKES A LITTLE TIME
Amy Grant - From The Eyes
Capitol-1464 (pro single)-F
#### THE SOUND OF
John Alden - Heartbeat
Atlantic-19703 (pro single)-Q
#### SOMETHING ABOUT THE WAY YOU LOOK
Elton John - Title track
Rocket-316-574-8912 (pro single)-Q
#### 2 BECOME 1
Sheryl Crow - Space
Virgin-2174 (pro single)-F
#### BUILDING A MYSTERY
Amy Grant - The Eyes
Netswtrks-30116 (pro single)-F
#### IF MY HEART HAD WINGS
Amy Sky - Cool Rain
Warner-31085 (CD track)-N
#### HONEY
Miriam Carey - Butterfly
Columbia-67835 (CD single)-H
#### SHED A LIGHT
Amy Grant - Kissing Rain
R.V International/3M-43978 (pro single)-N
#### IT COULD HAPPEN TO YOU
Amy Grant - The Eyes
WFA-19253 (comp 327)-P
#### FOOLISH GAMES
James - Pieces Of Your Soul
Atlantic-19703 (CD single)-P
#### GOOD MAN, FEELING BAD
Tim Crochere - Songs Of A Circling Spirit
EMI-44688 (pro single)-Q
#### WHERE'S THE LOVE
Hanson - Middle Of Nowhere
Mercury-314-534-6152 (comp 509)-Q
#### I DON'T WANT TO WAIT
Trisha Yearwood - Greatest Hits
MCA-79079 (CD track)-U
#### SEMI-CHARMED LIFE
Lyle Lovett - Self-titled
Elektra-82012 (CD track)-P
#### TO THE MOON AND BACK
Savage Garden - Self-titled
Columbia-67834 (comp 058)-H
#### DO WHAT YOU DO
Carolyn Arezzo - Feel Free
Philips-4466466 (comp 30306-2) (CD track)
#### SILVER SPARKS
Flawed Mic - The Dance
Reprise-46702 (comp 331)-P
#### ANYBODY SEEN MY BABY
The B-52's - The Eyes Of Babylon
Virgin-44712 (pro single)-E
#### SUNNY CAME HOME
Shawn Colvin - New Small Repairs
Colombia-67834 (comp 19704)-H
#### FOR YOU I WILL
Monica - Space Jam OST
Atlantic-19703 (CD single)-P
#### A SMILE LIKE YOURS
Natalie Cole - Title track OST
Warner Bros-62093 (comp 328)-H
#### HOW DO I LIVE
LeAnn Rimes - Light Up My Life
Curb-77885 (pro single)
#### HEALING WATERS - FOR DIANA
Cynthia - Self-titled
Columbia (CD single env)
#### HOW DO I LIVE
Trisha Yearwood - Greatest Hits
MCA-79079 (CD track)-U
#### MORE THAN THIS
10,000 Maniacs - Love Among The Ruins
Geffen-25000 (comp 10)-H
#### SITTING ON TOP OF THE WORLD
Aerosmith - Love Song
Epic-80229 (comp 061)-H
#### I'VE JUST SEEN A FACE
Tina Turner - Private Part
A&M-615-201-024 (pro single)-Q
#### DO YOU KNOW WHAT IT TAKES
Robyn - Robin In Her Eyes
RCA-44688 (pro single)-Q
#### GO THE DISTANCE
Michael Bolton - Disney's Hercules OST
Columbia-98938 (pro single)-H
#### ALL FOR YOU
Roger Hanin - Somewhere More Familiar
Universal-53030 (pro single)-J
#### INVISIBLE MAN
The Black Crowes - Self-titled
Motown-316-530-796 (comp 6)-Q
#### THE DIFFERENCE
The Wallflowers - Bringing Down The Horse
Interscope-30268 (CD track)-J
#### DO WHAT I CAN
Sara Jordan - Present
Aquarius-80229 (pro single)-F
#### WHEN I'M UP (I Can't Get Down)
Great Big Sea - Play
WEA-18592 (comp 323)-P
#### MY NEW JUDGMENT
Diana Marroquin - Vigo-1
EMI-56635 (CD track)-F
#### TIME TO SAY GOODBYE
Barbara Streisand - Romanza
Philips-566466 (CD track)-U
#### NO TENGO DINERO
Los Urrutelos - Red Hot Latin Hits
EMI-77393 (comp 328)-H
#### YOU SHOULD BE HAVING FUN
Barenaked Ladies - Legendary Hearts - Til Tomorrow
Columbia-80252 (comp 064)-H
#### DO YOU LOVE ME THAT MUCH
The Beach Boys - Self-titled
River North-768-74-2313 (CD track)-Q
#### A CHANGE WOULD DO YOU GOOD
Steryl Crow - Self-titled
A&M-615-201-024 (comp 3)-Q
#### YOUNG BOY
Paul McCartney - Flaming Pie
Capitol-50000 (CD single)-F
#### SOLDIER'S BOY
Spirit Of The West - Weights & Measures
WEA-19716 (comp 334)-P
#### IF I WAIT THERE FOR YOU
The Beach Boys - Self-titled
Nar/Popne-001 (CD track)
#### SO BEAUTIFUL
Chris de Burgh - Greatest Songs
Arista-615-040-734 (comp 7)-H
#### TO MAKE YOU FEEL MY LOVE
Billy Joel - Greatest Hits Vol. III
Columbia-67834 (comp 19704)-H
#### IT'S OKAY, I UNDERSTAND
Gavin Hone - No album
Popular (pro single)-P
#### PUSH
Marching 20 - Yourself With Someone
Lava-92721 (CD single)-J
#### COME BACK
The Black Crowes - Self-titled
TV-1 (CD track)
#### GOOD ENOUGH
Dana - Good Enough
Asm-514-540-573 (comp 3)-O
#### I DON'T WANT TO
Toni Braxton - Secrets
LaFace-80229 (CD single)-N
#### STILL WATERS RUN DEEP
The Black Crowes - Self-titled
Polydor-31453-7302 (comp 520)-O
#### SO HELP ME GIRL
Gary Clark - Self-titled
Arista-07822-18549 (comp 241)-N
#### FLY
Scott Ray - Hooray
Atlantic-43008 (CD single)-P
#### ON MY OWN
Peachy King - Audeoptron
MCA-79079 (CD track)-U
#### SEE THE PEOPLE
Soul Attitudes - Self-titled
Epic-80234 (comp 058)-H
#### SAY A LITTLE PRAYER
Donna King
Sony-H
#### CAN YOU KEEP A SECRET
First Base
Arista-N
#### YOUR NOT ALONE
Dana
BMG-N
#### MARIA
Robert Maran
Columbia-H
#### GET UP GO INSANE
Stretch N Vern
Polydor-Q
#### FIX
Blacstreet
Universal-J
#### SONG FOR MY BROTHER
Kenny Rankson - That's Right
Universal
#### CAN YOU FEEL IT
The Party
A&M-D
#### PUT YOUR HANDS WHERE MY...
Busta Rhymes
Verve
#### ONE DAY OF KISSES
Carol Medina
Popular-P
### RPM Dance
**Record Distributor Codes:**
- BMG - N
- EMI - F
- Universal - J M Quality
- Polygram - Q
- Sony - H
- Warner - P
- Koch - K
#### October 20, 1997
| TW | LW | WD |
|----|----|----|
| 1 | 2 | 2 |
| 2 | 1 | 7 |
| 3 | NEW | 1 |
| 4 | 8 | 4 |
| 5 | 3 | 9 |
| 6 | 22 | 9 |
| 7 | 13 | 2 |
| 8 | 18 | 8 |
| 9 | 11 | 2 |
| 10 | 4 | 8 |
#### HONEY (REMIX)
Miriam Carey
Columbia-67835-F
#### BABIE GIRL
Kylie
Universal - J
#### FEEL SO GOOD
Kylie
RCA-N
#### BEEN AROUND THE WORLD
Puff Daddy
Capitol-N
#### GET READY TO BOUNCE
Brooklyn Bounce
A&M
#### NOT TONIGHT
U2
King
Warner - P
#### ANGUS
Nathan Camp
BMG-N
#### EVERYBODY
Backstreet Boys
BMG-N
#### SOMEONE
SWV/Puff Daddy
RCA-N
#### RIPGROOVE
Double 98
Ice Cream-N
#### EXTASY
Elite
Quicks-M
#### C-LIME WOMAN
The People Movers
Popular-P
#### FREE
Ultra Nate
Quality - M
#### MO MONEY MO PROBLEMS
Notorious B.I.G.
BMG-N
#### HOLD YOUR HEAD UP HIGH
Bono Dugosh P, Booom
SPRM
#### DO IT TO IT
Michelle
Solid
#### MOVE YA FEET
PJ
Stickman
#### GOT TIL' IT'S GONE
Janelle Monae
Fatl-Virgin
#### I'LL BE MISSING YOU
Puff Daddy
Rox Records
#### PIECE OF MY HEART
Shaggy
Virgin-F
#### SAY A LITTLE PRAYER
Donna King
Sony-H
#### CAN YOU KEEP A SECRET
First Base
Arista-N
#### YOUR NOT ALONE
Dana
BMG-N
#### MARIA
Robert Maran
Columbia-H
#### GET UP GO INSANE
Stretch N Vern
Polydor-Q
#### FIX
Blacstreet
Universal-J
#### SONG FOR MY BROTHER
Kenny Rankson - That's Right
Universal
#### CAN YOU FEEL IT
The Party
A&M-D
#### PUT YOUR HANDS WHERE MY...
Busta Rhymes
Verve
#### ONE DAY OF KISSES
Carol Medina
Popular-P
CLASSIFIEDS
APPLICATIONS BEING ACCEPTED TO UPDATE FILES
You are Invited
To The Second Annual Music Industry Holiday Luncheon
To Benefit The Canadian Music Therapy Trust Fund
At The Toronto Ballroom in the Metropolitan Hotel 108 Chestnut Street, Toronto
On Friday, December 5th, 1997
Cocktails 12:00 PM Luncheon 12:30 - 3:00 PM Includes Auction
Tickets $125 per person
For Reservations Please Call (416) 488-6363
Music Therapy is a method of treatment which uses music to help people cope more effectively with their lives and with their difficulties. The goal of music therapy is to develop the potential of each person involved, not to promote musical ability.
The Music Therapy Trust Fund is a charitable non-profit organization, supported by volunteers, which raises funds for music therapy projects in Canada. In this past year, with help of the Canadian Music Industry, the Canadian Music Therapy Trust Fund has been able to give assistance to 32 such projects. These range from hospices for terminally ill persons with cancer or AIDS, centres for the aged, schools for children who are autistic, physically or mentally challenged, and for street kids.
Canadian Music Therapy Trust Fund Advisory Board
Laura Bartlett HMV, Rodney Bowes Rodney Bowes Design, Sarah Crawford MuchMusic, Joni Daniels Joni Daniels Management, Fran Herman Chairperson, Carl Herman CMTTF, Steve Kane Virgin, Christine Liber Universal Concerts, John Marshall The NewMusic, Garry Newman Warner, Don Oates Sony, Keith Porteus BMG, John Reid Polygram, Jeff Rogers handsome boy/Swell, Don Simpson Universal Concerts, Steve Tennant Universal Records, Robyn Walters EMI
|
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